Chapter 16: The Federal Courts - americandestiny.us · Chapter 16: The Federal Courts ... American judicial system and the major ... •Article III courts created by Judiciary Act

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Copyright © 2011 Pearson Education, Inc. Publishing as Longman

Chapter 16: 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• The Courts and Public Policy: An

Historical Review• Understanding the Courts• Summary


Chapter Outline and LearningObjectives

• The Nature of the Judicial System• LO 16.1: Identify the basic elements of the

American judicial system and the majorparticipants in it.

• The Structure of the Federal JudicialSystem• LO 16.2: Outline the structure of the federal

court system and the major responsibilitiesof each component.



• The Politics of Judicial Selection• LO 16.3: Explain the process by which

judges and justices are nominated andconfirmed.

• The Backgrounds of Judges andJustices• LO 16.4: Describe the backgrounds of

judges and justices and assess the impactof background on their decisions.



• The Courts as Policymakers• LO 16.5: Outline the judicial process at the

Supreme Court level and assess the majorfactors influencing decisions and theirimplementation.

• The Courts and Public Policy: AnHistorical Review• LO 16.6: Trace the Supreme Court’s use of

judicial review in major policy battles invarious eras of American history.



• Understanding the Courts• LO 16.7: Assess the role of unelected

courts and the scope of judicial power inAmerican democracy.

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The Nature of the Judicial SystemLO 16.1: Identify the basic elements of the

American judicial system and the majorparticipants 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 widerange 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 theyhave sustained or are likely to sustain a direct andsubstantial injury.

LO 16.1

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 insimilar circumstances.• Justiciable disputes – Issues capable of being

settled as a matter of law.


LO 16.1The Nature of the Judicial System

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 representationis equal.


LO 16.1


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

number of people to sue on behalf of all otherpeople similarly situated.• Amicus curiae briefs – Legal briefs submitted by

a “friend of the court” for the purpose ofinfluencing a court’s decision.


LO 16.1


LO 16.1

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Jurisdiction – Federal & State Courts

state

Crimes under state law

Cases involved state laws or regulations

Family law issues

Private contract dispute (not bankruptcy!)

Professional malpractice

Personal injury lawsuits

Traffic violations

Probate/inheritance

Federal

Crimes under statutes (laws) enacted byCongress)

Cases involving federal laws (tax, Soc.Security, broadcasting, civil rights)

Cases involving federal bureaucracy

Patent, copyright, intellectual property

Treaties/Foreign nations

Bankruptcy cases

Disputes between states

The Structure of the Federal JudicialSystem

LO 16.2: Outline the structure of the federalcourt system and the major responsibilities

of each component.Constitutional Courts• Article III courts created by Judiciary Act of 1789.

Legislative Courts• Article I courts created by Congress for special

purposes.• Judges have fixed terms and lack protections against

removal or salary reductions.


Supreme CourtCourts of Appeal

Trial

Supreme CourtCourts of AppealTrial (District Courts)

State Court System Federal Court System

The president appoints allthese federal judges withSenate confirmation.

These courts est. by U.S.Constitution or Congress

• Judges here are elected bythe people or appointed bystate governors for fix termor for life.

• These courts est. by statelegislature or stateconstitution

Do Cases in State Courts Cross Over to theFederal Side?

Yes, they do. But only if such cases involved a federal question (federal law orconstitutional issue). A real life case:

In 1963, Ernesto Miranda was arrested on kidnapping and violent crime. Hevoluntarily confessed and signed a statement which policed recorded. At trial,he was convicted based solely on his confession.

Miranda appealed to the Arizona Supreme Court claiming his 6th amendmentright to an attorney was violated. Still, this court re-affirmed the decision of thetrial court (lower court) and upheld Miranda’s conviction.

Miranda then appealed to the U.S. Supreme Court which agreed to review hiscase in 1966 => Here is the federal/constitutional question: Did Arizona policeviolated Miranda’s 6th & 5th Amendment rights?

The Supreme Court, in a 5-4 decision written by Chief Justice Earl Warren,ruled that the prosecution could not introduce Miranda's confession asevidence in a criminal trial because the police had failed to first inform Mirandaof his right to an attorney (6th amendment) who, in turn, could have preventedMiranda from incriminating himself (5th amendment).


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 16.2

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District Courts (original jurisdiction)Courts of Appeal (appellate jurisdiction)The Supreme Court (orig & appellate jurs)


LO 16.2The Structure of the Federal Judicial

System

District Courts• The 94 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 hasbetween 2 and 28 judges.


LO 16.2


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

civil suits between citizens of different states over$75,000; bankruptcy proceedings; review actionsof some federal administrative agencies; admiraltyand maritime law cases; and supervision of thenaturalization of aliens.



System

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 16.2


Courts of Appeal• Appellate courts empowered to review all final

decisions of district courts.• About 75 percent of 61,000 cases filed in courts of

appeal yearly come from district courts.



System

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.


LO 16.2

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

rotating panels consisting of 3 judges but may siten banc (with all judges present) in importantcases.• Decisions in either arrangement are made by

majority vote of the participating judges.


LO 16.2


LO 16.2


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

Composed of 12 judges to hear appeals inspecialized cases, such as those regardingpatents, claims against the United States, andinternational trade.



System

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 16.2


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.



System

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 LastResort.


LO 16.2

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LO 16.2


LO 16.2

The Politics of Judicial SelectionLO 16.3: Explain the process by whichjudges and justices are nominated and

confirmed.The Lower CourtsThe Supreme Court


The Politics of Judicial Selection

The Lower Courts• Senatorial Courtesy – District court nominees are

usually not confirmed if opposed by senator of thepresident’s party from state the nominee willserve.• Courts of appeal nominees are not confirmed

when opposed by a senator of the president’sparty who is from the nominee’s state.

LO 16.3


The Politics of Judicial Selection

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

to the Supreme Court, 112 people have served onthe Court, and 29 failed to secure Senateconfirmation.• Presidents have failed 20% of the time to appoint

the nominees of their choice to the Court.


LO 16.3


LO 16.3

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LO 16.3The Politics of Judicial Selection

The Supreme Court• 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 theSenate, and (4) nominee faces competence orethics questions.


LO 16.3

The Backgrounds of Judges andJustices

LO 16.4: Describe the backgrounds ofjudges and justices and assess the impact

of background on their decisions.Backgrounds of Federal Judges• They are all lawyers (although this is not a

constitutional requirement), and they areoverwhelmingly white males.• They have typically held office as a judge or

prosecutor, and often they have been involved inpartisan politics.



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 16.4



LO 16.4


LO 16.4

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LO 16.4The Backgrounds of Judges and

Justices

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 16.4


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 16.4The Backgrounds of Judges and

JusticesBackgrounds of Federal Justices (cont.)• Ideology influences judicial selection – 13 nominees

shared the president’s ideology, but were not frompresident’s party.• Presidents want to appoint to the federal bench people

who share their views because they want policies theyagree with.


LO 16.4

The Courts as PolicymakersLO 16.5: Outline the judicial process at theSupreme Court level and assess the major

factors influencing decisions and theirimplementation.

Accepting CasesMaking DecisionsImplementing Court Decisions


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 are denied).• When the Court agrees to hear a case, it issues a writ

of certiorari (an order to the lower court to send up thecase for review)• Case placed on the docket (fewer than 100 cases/year).

LO 16.5


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Is the Supreme Court the only court with power todeclare a law unconstitutional?

Copyright © 2011 Pearson Education, Inc. Publishing as LongmanTo Learning Objectives


If 4 justices agree to hear a case, the case will be heard by the entire court.


LO 16.5The Courts as Policymakers

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

office and in charge of the court appeals made by thefederal government.• Decide what cases to appeal, review and modify the

briefs, represent federal government before theSupreme Court, and submit amicus curiae briefs.


LO 16.5


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 16.5


LO 16.5

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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 thejudgment.• Per Curiam - An opinion from a court that does not

identify any specific judge who may have written theopinion.


LO 16.5


LO 16.5


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 16.5The Courts as Policymakers

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 the interpreting,

implementing, and consumer populations.


LO 16.5

The Courts and Public Policy: AnHistorical Review

LO 16.6: Trace the Supreme Court’s use ofjudicial review in major policy battles in

various eras of American history.Policy Eras of Supreme Court• Until the Civil War, dominant questions before the

Court concerned slavery and strength andlegitimacy of the federal government, and latterissues were resolved in favor of the supremacy offederal government.



Policy Eras of Supreme Court (cont.)• From the Civil War until 1937, questions of the

relationship between the federal government andthe economy predominated, and the Courtrestricted the power of the federal government toregulate the economy.

LO 16.6


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Policy Eras of Supreme Court (cont.)• Since 1938, personal liberty and social and

political equality questions have dominated, andthe Court has enlarged the scope of personalfreedom and civil rights and has removed many ofthe constitutional restraints on the regulation of theeconomy.


LO 16.6The Courts and Public Policy: An

Historical Review

John Marshall and the Growth of JudicialReviewThe “Nine Old Men”The Warren CourtThe Burger CourtThe Rehnquist and Roberts Courts


LO 16.6


John Marshall and the Growth of JudicialReview• Marbury v. Madison (1803) – The 1st use of

judicial review.• Judicial review – Power of the courts to

determine whether acts of Congress andPresident are in accord with the Constitution.



Historical Review

The “Nine Old Men”• Schechter Poultry Corporation v. United States

(1935) – National Industrial Recovery Act wasdeclared unconstitutional because it regulatedpurely local business that did not affect interstatecommerce.


LO 16.6



Historical Review

The Warren Court• Brown v. Board of Education – In this 1954

case, the Court held that laws requiringsegregation of the public schools wereunconstitutional.


LO 16.6

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The Burger Court• Roe v. Wade (1973) – Decision holding that a

state ban on all abortions was unconstitutional.• U.S. v. Nixon (1974) – Ordered Nixon to turn his

White House tapes over to the courts.



Historical Review

Rehnquist and Roberts Courts• Bush v. Gore (2000) – Decided the 2000

presidential election.• McDonald v. Chicago (2010) – The Court

extended 2nd Amendment’s limits on restrictingright to bear arms to state and local gun controllaws.


LO 16.6

Understanding the CourtsLO 16.7: Assess the role of unelected courtsand the scope of judicial power in American

democracy.

The Courts and DemocracyThe 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 16.7


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 constitutionalground.• Political questions – How courts avoid deciding

some cases.• Statutory construction – Courts interpret the act

of Congress.


LO 16.7Understanding the Courts


LO 16.7

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LO 16.7

LO 16.1Summary

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 16.1Summary

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 byothers.


Who can challenge a law in anAmerican 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 16.1


Who can challenge a law in anAmerican 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 16.1

LO 16.2Summary

The Structure of the Federal JudicialSystem• District courts have original jurisdiction and hear

federal criminal, civil, diversity of citizenship, andbankruptcy cases, and handle admiralty andmaritime, naturalization, and review the actions ofsome federal administrative agencies.


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LO 16.2Summary

The Structure of the Federal JudicialSystem (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 oflegal cases.


LO 16.2Summary

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

system, deciding individual cases, resolvingconflicts among the states, maintaining nationalsupremacy in the law, and ensuring uniformity inthe interpretation of national laws.


LO 16.2Summary

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

federal courts, but some are appeals from statecourts and a very few are cases for which theCourt has original jurisdiction.


Which of the following was actuallyspecified in the U.S. Constitution?

A. The Constitutional CourtsB. The Court of Military AppealsC. The Tax CourtD. The U.S. Supreme Court

LO 16.2


Which of the following was actuallyspecified in the U.S. Constitution?

A. The Constitutional CourtsB. The Court of Military AppealsC. The Tax CourtD. The U.S. Supreme Court


LO 16.2

LO 16.3Summary

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 senatorialcourtesy, while the White House has morediscretion with the Supreme Court justices.


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LO 16.3Summary

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

nominations, it has rejected or refused to act onmany in recent years, especially for positions inthe higher courts.


Which of the following is NOT one of the differentcriteria that have been used for selecting judges

and justices to the federal courts.

A. competenceB. incomeC. partisanshipD. ideology

LO 16.3


Which of the following is NOT one of the differentcriteria that have been used for selecting judges

and justices to the federal courts.

A. competenceB. incomeC. partisanshipD. ideology


LO 16.3

LO 16.4Summary

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 16.4Summary

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

views of the president who nominated them, andthese 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 thebackgrounds 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 16.4


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All of the following are true of thebackgrounds 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 16.4

LO 16.5Summary

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

Court decision making, and the Court is mostlikely to hear cases on major issues, when itdisagrees with lower court decisions, and whenthe federal government, as represented by thesolicitor general, asks for a decision.


LO 16.5Summary

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

written opinions.• Judicial implementation depends on the

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


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

A. When at least three justices decide thecase has merit.

B. When the justices have help readnumerous appeals.

C. When the case is appealed from a statesupreme court.

D. When the Solicitor General’s Officedecides to appeal a case the governmenthas lost in lower court.

LO 16.5


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

A. When at least three justices decide thecase has merit.

B. When the justices have help readnumerous appeals.

C. When the case is appealed from a statesupreme court.

D. When the Solicitor General’s Officedecides to appeal a case the governmenthas lost in lower court.


LO 16.5 LO 16.6Summary

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

the Court concerned slavery and the strength andlegitimacy of the federal government, with thelatter questions resolved in favor of the supremacyof the federal government.


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LO 16.6Summary

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

relationship between the federal government andthe economy predominated, with the Courtrestricting the government’s power to regulate theeconomy.


LO 16.6Summary

The Courts and Public Policy: AnHistorical Review (cont.)• From 1938 until the present, the key issues before

the Court have concerned personal liberty andsocial and political equality.• The Court has enlarged the scope of personal

freedom and civil rights and has removed many ofthe constitutional restraints on the regulation of theeconomy.


Judicial review was established byJohn Marshall and his associates in

.

A. Marbury v. Madison (1803)B. Schechter Poultry Corporation v. U.S.

(1935)C. U.S. v. Nixon (1974)D. Bush v. Gore (2000)

LO 16.6


Judicial review was established byJohn Marshall and his associates in

.

A. Marbury v. Madison (1803)B. Schechter Poultry Corporation v. U.S.

(1935)C. U.S. v. Nixon (1974)D. Bush v. Gore (2000)


LO 16.6

LO 16.7Summary

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

remove, are not totally insulated from politics, andhave promoted openness in political system.• They have a number of tools for avoiding making

controversial decisions, and the president andCongress have means they can use to overturnCourt decisions.


A judicial philosophy in which judges playminimal policymaking roles, leaving that

duty strictly to the legislatures.

A. political questionsB. statutory constructionC. judicial activismD. judicial restraint

LO 16.7


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A judicial philosophy in which judges playminimal policymaking roles, leaving that

duty strictly to the legislatures.

A. political questionsB. statutory constructionC. judicial activismD. judicial restraint


LO 16.7 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

466: Joe Sohm/The Image Works 467T: Carol Iwasaki/Getty Images 466TC: Reuters/New Media/Corbis 467TB: AP Photos 467B: David Hume Kennerly/Getty Images 470: Iwasaki/Getty Images 478: Reuters/New Media/Corbis 480: White House handout/Corbis 481: AP Photos 484: David Hume Kennerly/Getty Images 485: Joseph Mirachi/The New Yorker Collection/www.cartoonbank.com 486: Bettmann/Corbis 490: Supreme Court Historical 493T: Alex Wong/Getty Images 493B: Paul Conklin/PhotoEdit 494: By permission of Chuck Assay Creators Syndicate

Chapter 16: The Federal Courts - americandestiny.us · Chapter 16: The Federal Courts ... American judicial system and the major ... •Article III courts created by Judiciary Act

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