Introduction to Legal Process
in the United States
(1)
(2)
(3)
Sources of law
Court system
Judicial process
Alan R. Palmiter – Jan. 2005
(1) Sources of law
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Legislative
Administrative
Judicial
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Federalism: federal (supreme) vs. state
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(1) Sources of law
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Legislative (Congress)
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Constitution
Statutes
Legislative history
(1) Sources of law
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Administrative (Securities & Exchange Commission)
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Regulation (rules)
Agency decisions
Opinions
No-action letters
(1) Sources of law
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Judicial (federal courts)
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Constitutional review
Statutory interpretation
Common law (precedent)
(2) Court systems
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Federal
State (North Carolina)
(2) Court systems
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Federal
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US Supreme Court
US Courts of Appeals
US trial courts
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US District Courts
Special courts
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US Claims Court
– US Bankruptcy Court
– US International Court of Trade
– US Tax Court
(2) Court systems
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Federal
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US Supreme Court
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Discretionary review (from federal courts of appeal and
state supreme courts)
Original jurisdiction (state vs. state)
Appointed for life by President (Senate confirms)
US Courts of Appeals
US District Court
(2) Court systems
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Federal
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US Supreme Court
US Courts of Appeals
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Appeal of right from US trial courts
Review of errors (primarily legal)
11 regional circuits / DC Circuit / Federal Circuit
US District Court
(2) Court systems
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Federal
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US Supreme Court
US Courts of Appeals
US District Court
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Limited jurisdiction (federal questions / diversity cases)
Exclusive / concurrent jurisdiction
Juries for $ damages / judges for injunctions
(2) Court systems
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State (North Carolina)
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NC Supreme Court
NC Court of Appeals
NC trial courts
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Superior court
District courts
Magistrate court
Small claims court
(2) Court systems
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State (North Carolina)
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NC Supreme Court
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Discretionary review (questions of law)
Elected (7 justices)
NC Court of Appeals
NC trial courts
(2) Court systems
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State (North Carolina)
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NC Supreme Court
NC Court of Appeals
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Appeal of right from superior courts
Review of errors (factual / legal)
15 elected judges (appeals heard by 3-judge panels)
NC trial courts
(2) Court systems
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State (North Carolina)
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NC Supreme Court
NC Court of Appeals
NC trial courts
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Superior court: felonies / civil > 10K / jury trial
District courts: minor criminal / civil <10K / family law
Magistrate court: traffic court / small civil <4K
Small claims court: small civil <4K, pro se (no attorney)
(2) Court systems
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State (North Carolina)
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NC Supreme Court
NC Court of Appeals
NC trial courts
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Special business court: by reference
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Sits throughout state
– One appointed judge
– All filings in electronic form
(3) Judicial process
Pleading
Discovery
Pre-trial
Trial
Post-trial (appeals)
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Filters at each stage
(3) Judicial process
Pleading
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Complaint (individual or class action)
Answer (counterclaim / cross-claim)
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Filters
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Default judgment
Motion to dismiss
Rule11 sanctions
(3) Judicial process
Discovery
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Depositions
Interrogatories
Document requests
Examinations (physical and mental)
Admissions
Filters
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Discovery sanctions
(3) Judicial process
Pre-trial
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Settlement conference
Alternative dispute methods: mediation /
arbitration
Pre-trial conference
Filters
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Summary judgment
Voluntary dismissal (settlement)
(3) Judicial process
Trial
Jury / bench trial
 Live, continuous: witness / exhibits
 Rules of evidence
 Lawyer arguments
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Filters
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Directed verdict (judgment as matter of law)
(3) Judicial process
Post-trial (appeals)
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Reopen case before appeal
Enforcement of judgment
Appeal (on record)
Filters
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Judgment notwithstanding verdict (NOV)
Appeal: affirm, reversal, remand