Chapter 14

Copyright © 2011 Pearson Education, Inc. Publishing as Longman



Chapter 14: The Federal Courts

• The Nature of the Judicial System• The Structure of the Federal Judicial

System• The Politics of Judicial Selection• The Backgrounds of Judges and Justices• The Courts as Policymakers• Understanding the Courts• Summary


Chapter Outline and Learning Objectives

• The Nature of the Judicial System• LO 14.1: Identify the basic elements of the

American judicial system and the major participants in it.

• The Structure of the Federal Judicial System• LO 14.2: Outline the structure of the federal

court system and the major responsibilities of each component.



• The Politics of Judicial Selection• LO 14.3: Explain the process by which

judges and justices are nominated and confirmed.

• The Backgrounds of Judges and Justices• LO 14.4: Describe the backgrounds of

judges and justices and assess the impact of background on their decisions.



• The Courts as Policymakers• LO 14.5: Outline the stages of the judicial

process at the Supreme Court level and the development of judicial review and assess the major influences on decisions and their implementation.



• Understanding the Courts• LO 14.6: Assess the role of unelected

courts and the scope of judicial power in American democracy.

The Nature of the Judicial SystemLO 14.1: Identify the basic elements of the American judicial system and the major participants in it.

• Criminal Law• The government charges an individual with

violating specific laws.

• Civil Law• Involves a dispute between two parties

(one of whom may be the government itself) over a wide range of matters.

To Learning ObjectivesCopyright © 2011 Pearson Education, Inc. Publishing as Longman


The Nature of the Judicial System

• Participants in the Judicial System• Litigants – Plaintiff (bring charges) and

defendant.• Standing to sue – Plaintiffs have a serious

interest in a case, which depends on whether they have sustained or are likely to sustain a direct and substantial injury.

LO 14.1

To Learning Objectives



• Participants in the Judicial System (cont.)• Class action suits – Lawsuits in which a

small number of people sue on behalf of all people in similar circumstances.

• Justiciable disputes – Issues capable of being settled as a matter of law.

LO 14.1




• Participants in the Judicial System (cont.)• Attorneys – About a million attorneys are

practicing in the United States today.• Access to lawyers has become more

equal, but that does not mean that quality of representation is equal.

LO 14.1




• Participants in the Judicial System (cont.)• Groups – Class action suits permit a small

number of people to sue on behalf of all other people similarly situated.

• Amicus curiae briefs – Legal briefs submitted by a “friend of the court” for the purpose of influencing a court’s decision.

LO 14.1


LO 14.1


The Structure of the Federal Judicial SystemLO 14.2: Outline the structure of the federal court system and the major responsibilities of each component.

• Constitutional Courts• Article III courts created by Judiciary Act (1789)

• Legislative Courts• Article I courts created by Congress for special purposes.• Judges have fixed terms and lack protections against

removal or salary reductions.


LO 14.2



The Structure of the Federal Judicial System

• Original Jurisdiction• Jurisdiction of courts that hear a case first, usually in trial.• Determine facts about a case.

• Appellate Jurisdiction• Courts hear cases on appeal from lower courts.• Do not review factual record, only the legal issues involved.

LO 14.2




• District Courts• Courts of Appeal• The Supreme Court

LO 14.2




• District Courts• The 91 federal courts of original jurisdiction.• They are the only federal courts in which trials are held

and in which juries may be impaneled.• 678 judges preside over cases alone, rare cases require

a 3 judge court, and each court has between 2 and 28 judges.

LO 14.2




• District Courts (cont.)• Jurisdiction – Federal crimes; federal civil suits; civil

suits between citizens of different states over $75,000; bankruptcy proceedings; review actions of some federal administrative agencies; admiralty and maritime law cases; and supervision of the naturalization of aliens.

LO 14.2




• District Courts (cont.)• Decisions – More than 338,000 cases commenced in 2008.• Most cases are routine, and few result in policy innovations.• Usually judges do not publish their decisions.• The loser in a case only has to request an appeal to get

one.

LO 14.2




• Courts of Appeal• Appellate courts empowered to review all final

decisions of district courts, except in rare cases, and also hear appeals to orders of many federal regulatory agencies.

• About 75 percent of 61,000 cases filed in courts of appeal yearly come from district courts.

LO 14.2




• Courts of Appeal (cont.)• United States is divided into 12 judicial circuits,

including one for the District of Columbia.• Each circuit serves at least two states and has

between 6 and 28 permanent circuit judges (178 in all), depending on the amount of judicial work in the circuit.

LO 14.2




• Courts of Appeal (cont.)• Each court of appeal normally hears cases in rotating

panels consisting of 3 judges but may sit en banc (with all judges present) in important cases.

• Decisions in either arrangement are made by majority vote of the participating judges.

LO 14.2


LO 14.2




• Courts of Appeal (cont.)• U.S. Court of Appeals for the Federal

Circuit – Composed of 12 judges to hear appeals in specialized cases, such as those regarding patents, claims against the United States, and international trade.

LO 14.2




• Courts of Appeal (cont.)• Correct errors of procedure and law made in

original cases.• Hold no trials and hear no testimony.• Decisions – Set precedent for all the courts and

agencies within their jurisdictions.

LO 14.2




• The Supreme Court• Top of judicial system and has 9 justices to make

decisions.• Supreme Court ensures uniformity in interpreting national

laws, resolves conflicts among states, and maintains national supremacy in law.

• Has both original jurisdiction and appellate jurisdiction.

LO 14.2




• The Supreme Court (cont.)• Original Jurisdiction – Cases involving foreign

diplomats and cases involving a state.• Appellate Jurisdiction – Cases from U.S. Courts

of Appeal, Court of Appeals for the Federal Circuit, Legislative Courts, and State Courts of Last Resort.

LO 14.2


LO 14.2


The Politics of Judicial SelectionLO 14.3: Explain the process by which judges and justices are nominated and confirmed.

• The Lower Courts• The Supreme Court



The Politics of Judicial Selection

• The Lower Courts• Senatorial Courtesy – District court nominees are

usually not confirmed if opposed by senator of the president’s party from state the nominee will serve.

• Courts of appeal nominees are not confirmed when opposed by a senator of the president’s party who is from the nominee’s state.

LO 14.3




• The Supreme Court• Through 2010, there have been 153 nominations

to the Supreme Court, 112 people have served on the Court, and 29 failed to secure Senate confirmation.

• Presidents have failed 20% of the time to appoint the nominees of their choice to the Court.

LO 14.3


LO 14.3




• The Supreme Court (cont.)• Nominations are likely to run into trouble if

president (1) party is in the Senate minority, (2) makes a nomination at the end of their terms, (3) views are more distant from the norm in the Senate, and (4) nominee faces competence or ethics questions.

LO 14.3


The Backgrounds of Judges and JusticesLO 14.3: Explain the process by which judges and justices are nominated and confirmed.

• Backgrounds of Federal Judges• They are all lawyers (although this is not a

constitutional requirement), and they are overwhelmingly white males.

• They have typically held office as a judge or prosecutor, and often they have been involved in partisan politics.



The Backgrounds of Judges and Justices

• Backgrounds of Federal Justices (cont.)• All justices have been lawyers.• All but 6 (Marshall, O’Connor, Thomas,

Ginsburg, Sotomayor, and Kagan) have been white males.

• Most age 50s and 60s when they took office, from upper-middle or upper class, and Protestants.

LO 14.4


LO 14.4


LO 14.4




• Backgrounds of Federal Justices (cont.)• Most held high administrative or judicial

positions.• Most have experience as a judge at

appellate level and many worked for Justice Department.

• Some held elective office, had no government service, or had no previous judicial experience.

LO 14.4




• Backgrounds of Federal Justices (cont.)• Partisanship influences judicial selection.• 13 of 112 members of the Supreme Court

have been nominated by presidents of a different party.

• 90% of nominees are members of the president’s party.

LO 14.4




• Backgrounds of Federal Justices (cont.)• Ideology influences judicial selection –

13 nominees shared the president’s ideology, but were not from the president’s party.

• Presidents want to appoint to the federal bench people who share their views because they want policies they agree with.

LO 14.4


The Courts as PolicymakersLO 14.5: Outline the stages of the judicial process at the Supreme Court level and the development of judicial review and assess the major influences on decisions and their implementation.

• Accepting Cases• Making Decisions• Implementing Court Decisions• The Courts and Public Policy



The Courts as Policymakers

• Accepting Cases• Requests for Supreme Court review (about

8,000 cases).• Appeals discussed in conference.• Appeal accepted that obtains four votes

(rule of 4) and denied if not (99% of cases).• Case placed on the docket (fewer than 100

cases).

LO 14.5


LO 14.5




• Accepting Cases (cont.)• Solicitor General – 3rd ranking Justice

Department office and in charge of the court appeals made by the federal government.

• Decide what cases to appeal, review and modify the briefs, represent federal government before the Supreme Court, and submit amicus curiae briefs.

LO 14.5




• Making Decisions• Briefs submitted by both sides and amicus

curiae briefs filed.• Oral argument – 1 hour hearing.• Conference – Discuss case, vote, and

assign opinion writing.• Opinions drafted and circulated for

comments.• Decision announced.

LO 14.5


LO 14.5




• Making Decisions (cont.)• Opinion – Statement of legal reasoning

behind a decision.• Majority opinion – 5 justices.• Dissenting opinions – Justices opposed

to majority decision.• Concurring opinions – Support a majority

decision but stress a different constitutional or legal basis for the judgment.

LO 14.5


LO 14.5




• Making Decisions (cont.)• Stare Decisis – Phrase meaning “let the

decision stand.”• Most cases in appellate courts are settled

on stare decisis.• Precedent – How similar cases have been

decided in the past.• Lower courts are expected to follow the

precedents of higher courts in their decision making.

LO 14.5




• Implementing Court Decisions• Judicial implementation – How and

whether court decisions are translated into actual policy.

• Courts rely on other government units to enforce decisions.

• Judicial implementation involves interpreting, implementing, and consumer populations.

LO 14.5




• The Courts and Public Policy• Until the Civil War, dominant questions before the

Court concerned slavery and strength and legitimacy of the federal government, and latter issues were resolved in favor of the supremacy of federal government.

LO 14.5




• The Courts and Public Policy (cont.)• From the Civil War until 1937, questions of the

relationship between the federal government and the economy predominated, and the Court restricted the power of the federal government to regulate the economy.

LO 14.5




• The Courts and Public Policy (cont.)• Since 1938, personal liberty and social and political

equality questions have dominated, and the Court has enlarged the scope of personal freedom and civil rights and has removed many of the constitutional restraints on the regulation of the economy.

LO 14.5




• The Courts and Public Policy (cont.)• John Marshall – Chief justice from 1801 to 1835.• Marbury v. Madison (1803) – The 1st use of judicial review.• Judicial review – Power of the courts to determine

whether acts of Congress and President are in accord with the Constitution.

LO 14.5


Understanding the CourtsLO 14.6: Assess the role of unelected courts and the scope of judicial power in American democracy.

• The Courts and Democracy• The Scope of Judicial Power



Understanding the Courts

• The Courts and Democracy• Courts are not very democratic because

judges are not elected and are difficult to remove.

• The courts often reflect popular majorities and preferences.

• Groups are likely to use the courts when other methods fail, which promotes pluralism.

LO 14.6


LO 14.6



Understanding the Courts

• The Scope of Judicial Power• Judicial restraint – Judges play a minimal

policymaking role.• Judicial activism – Judges make bold policy

decisions and even chart new constitutional ground.

• Political questions – How courts avoid deciding some cases.

• Statutory construction – Courts interpret the act of Congress.

LO 14.6



LO 14.1Summary

• Nature of the Judicial System• The vast majority of cases are tried in

state, not federal, courts.• Courts can only hear “cases” or

“controversies” between plaintiffs and defendants.

• Plaintiffs must have standing to sue, and judges can only decide justiciable disputes.



LO 14.1Summary

• The Nature of the Judicial System (cont.)• Attorneys also play a central role in the

judicial system.• Interest groups sometimes promote

litigation and often file amicus curiae briefs in cases brought by others.



Who can challenge a law in an American court?

A. Any citizen can challenge any law.

B. Any tax-paying citizen can challenge any law.

C. Only a person who has a serious interest in a case can challenge a law.

D. Only a lawyer can challenge a law.

LO 14.1



Who can challenge a law in an American court?

A. Any citizen can challenge any law.

B. Any tax-paying citizen can challenge any law.

C. Only a person who has a serious interest in a case can challenge a law.

D. Only a lawyer can challenge a law.

LO 14.1



LO 14.2Summary

• The Structure of the Federal Judicial System• District courts have original jurisdiction and

hear federal criminal, civil, diversity of citizenship, and bankruptcy cases, and handle admiralty and maritime, naturalization, and review the actions of some federal administrative agencies.



LO 14.2Summary

• The Structure of the Federal Judicial System (cont.)• Circuit courts hear appeals from the district

courts and from many regulatory agencies.• They focus on correcting errors of

procedure and law that occurred in the original proceedings of legal cases.



LO 14.2Summary

• The Structure of the Federal Judicial System (cont.)• The Supreme Court sits at the pinnacle of

the system, deciding individual cases, resolving conflicts among the states, maintaining national supremacy in the law, and ensuring uniformity in the interpretation of national laws.



LO 14.2Summary

• The Structure of the Federal Judicial System (cont.)• Most Supreme Court cases come from the

lower federal courts, but some are appeals from state courts and a very few are cases for which the Court has original jurisdiction.



Which of the following was actually specified in the U.S. Constitution?

A. The Constitutional Courts

B. The Court of Military Appeals

C. The Tax Court

D. The U.S. Supreme Court

LO 14.2



Which of the following was actually specified in the U.S. Constitution?

A. The Constitutional Courts

B. The Court of Military Appeals

C. The Tax Court

D. The U.S. Supreme Court

LO 14.2



LO 14.3Summary

• The Politics of Judicial Selection• President nominates and Senate confirms

judges and justices.• Senators play an important role in the

selection of lower court judges, as a result of senatorial courtesy, while the White House has more discretion with the Supreme Court justices.



LO 14.3Summary

• The Politics of Judicial Selection (cont.)• Although the Senate confirms most judicial

nominations, it has rejected or refused to act on many in recent years, especially for positions in the higher courts.



Which of the following is NOT one of the different criteria that have been used for selecting judges and justices to the federal courts.

A. competence

B. income

C. partisanship

D. ideology

LO 14.3



Which of the following is NOT one of the different criteria that have been used for selecting judges and justices to the federal courts.

A. competence

B. income

C. partisanship

D. ideology

LO 14.3



LO 14.4Summary

• The Backgrounds of Judges and Justices• Judges and justices are not a

representative sample of the American people.

• They are all lawyers and are disproportionately white males.



LO 14.4Summary

• The Backgrounds of Judges and Justices (cont.)• They usually share the partisan and

ideological views of the president who nominated them, and these views are often reflected in their decisions.

• Other characteristics such as race and gender are also seen to influence decisions.



All of the following are true of the backgrounds of federal judges EXCEPT they typically

A. have been white males.B. have been from the appointing president’s

region of the country.C. share the appointing president’s political

party affiliation.D. share the appointing president’s ideology.

LO 14.4



All of the following are true of the backgrounds of federal judges EXCEPT they typically

A. have been white males.B. have been from the appointing president’s

region of the country.C. share the appointing president’s political

party affiliation.D. share the appointing president’s ideology.

LO 14.4



LO 14.5Summary

• The Courts as Policymakers• Accepting cases is a crucial stage in

Supreme Court decision making, and the Court is most likely to hear cases on major issues, when it disagrees with lower court decisions, and when the federal government, as represented by the solicitor general, asks for a decision.



LO 14.5Summary

• The Courts as Policymakers (cont.)• Decisions are announced once justices

have written opinions.• Judicial implementation depends on the

interpretation (judges and lawyers), implementation (the other units of government), and consumer (citizens affected by decision) populations.



LO 14.5Summary

• The Courts as Policymakers (cont.)• Until the Civil War, the dominant questions

before the Court concerned slavery and the strength and legitimacy of the federal government, with the latter questions resolved in favor of the supremacy of the federal government.



LO 14.5Summary

• The Courts as Policymakers (cont.)• From the Civil War until 1937, questions of

the relationship between the federal government and the economy predominated, with the Court restricting the government’s power to regulate the economy.



LO 14.5Summary

• The Courts as Policymakers (cont.)• From 1938 until the present, the key issues

before the Court have concerned personal liberty and social and political equality.

• The Court has enlarged the scope of personal freedom and civil rights and has removed many of the constitutional restraints on the regulation of the economy.



Under which scenario is the Court most likely to decide to accept a case?

A. When at least three justices decide the case has merit.B. When the justices have help reading numerous appeals.C. When the case is appealed from a state supreme court.D. When the Solicitor General’s Office decides to appeal a

case the government has lost in lower court.

LO 14.5



Under which scenario is the Court most likely to decide to accept a case?

A. When at least three justices decide the case has merit.B. When the justices have help reading numerous appeals.C. When the case is appealed from a state supreme court.D. When the Solicitor General’s Office decides to appeal a

case the government has lost in lower court.

LO 14.5



LO 14.6Summary

• Understanding the Courts• Judges and justices are not elected, are

hard to remove, are not totally insulated from politics, and have promoted openness in the political system.

• They have a number of tools for avoiding making controversial decisions and the president and Congress have means they can use to overturn Court decisions.



A judicial philosophy in which judges play minimal policymaking roles leaving that duty strictly to the legislatures.

A. political questions

B. statutory construction

C. judicial activism

D. judicial restraint

LO 14.6



A judicial philosophy in which judges play minimal policymaking roles leaving that duty strictly to the legislatures.

A. political questions

B. statutory construction

C. judicial activism

D. judicial restraint

LO 14.6



Text Credits

• JUDICIAL PROCESS 7E by Abraham (1998) Table 9 p. 309. By permission of Oxford University Press, Inc. Updated by the authors.


Photo Credits

• 455: Joseph Sohm/The Image Works• 469: Carol Iwaski/Getty Images• 480: House Handout/Corbis• 481: AP Photos• 487: David Hume Kennedy/Getty Images• 488: Joseph Mirachi/The New Yorker Collection/www.cartoonbank.com• 494: Paul Conklin/PhotoEdit

Chapter 14

Documents

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