Chapter 15
The Federal
Courts
The Federal Courts
The Legal System
• “A government of laws and not of men.”-John
Adams, describing the new Massachusetts state
constitution
• Rule of law: all are equal before the law and none
are immune from it.
– Fundamental fairness expectation Americans have of the
judicial system
• “That’s not fair” is a tacit reference to rule of law
The Legal System
• Criminal law: the branch of law that regulates the
conduct of individuals, defines crimes, and specifies
punishments for criminal acts.
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–
–
–
Government is always the plaintiff
Defendant cannot be forced to testify
Standard: guilty beyond a reasonable doubt
Penalties: fines, public service, imprisonment, death
The Legal System
• Civil law: the branch of law that deals with disputes
that do not involve criminal penalties.
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–
–
–
Plaintiff is the party that has been legally wronged
Defendant can be forced to testify
Standard: preponderance of evidence
Penalties: typically monetary
The Legal System
• Precedent: previous decisions from prior cases that
are used to understand how a law is applied
• Stare decisis: “let the decision stand”
– The use of precedent in a current case
– The court is hesitant to overturn precedent
Types of Courts
• State versus federal
• Trial versus appellate
• State supreme court
The U.S. Court System
Types of Courts
• State vs. federal courts
– Depends on the law in question
• Federal law  Federal court
• State law  State court
• State cases can be appealed in the federal system if
there has been a violation of the U.S. Constitution.
Types of Courts
• Trial vs. appellate
– Trial courts apply law to the facts of a given case.
• Facts of the case are introduced
• Judges and juries make sense of how facts relate to law.
• Trial cases take both law and precedent into account.
Types of Courts
• Trial vs. appellate
– Appellate courts examine whether the law has been
applied correctly in a trial court case.
• New facts cannot be introduced.
• If new facts are available, the case goes back to a trial
court.
• Appeals courts hear far fewer cases than trial courts
– Typically dwell on complicated elements
– Sole concern: whether laws applied correctly
The Supreme Court
Types of Courts
• Supreme Court
– The court of last resort
– Has final interpretation over the Constitution and statutory
law, be it state or federal
– No state constitution can run contrary to the federal
constitution
– Recall, the Supreme Court is an appellate court
• No new facts allowed
Types of Courts
• Jurisdiction: where court has authority, power
• Federal court domain includes:
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–
–
–
Cases between states
Ambassadors
Federal law
U.S. Constitution
• State and local courts have no say in the kinds of
cases listed above.
The Federal Courts
Types of Courts
• Federal courts:
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–
–
–
–
–
–
94 judicial districts, plus three for territories
11 regional circuits, plus one for the District of Columbia
U.S. Court of International Trade
U.S. Court of Federal Claims
U.S. Court of Appeals for the Federal Circuit
U.S. Court of Veterans Appeals
U.S. Court of Military Appeals
Types of Courts
• Habeas corpus
– A prisoner can appeal for a writ of habeas corpus to a
court, claiming a violation of rights.
– For a federal court to intervene in a state case, the
prisoner must argue that a federal right has been violated.
Federal Jurisdiction
• In 2008:
– Federal district courts heard 349,969 cases.
– Federal courts of appeal heard 61,104 cases.
– U.S. Supreme Court heard 75 cases.
• Procedures of note
– Only hear appeals they determine have merit
– Three judges on the panel (no jury)
Federal Trial Courts
• Original jurisdiction: the ability to hear a case for the
first time
• Appellate jurisdiction: the power to hear appeals
from a lower court
Federal Appellate Courts
• 89 courts in 50 states, +1 Puerto Rico, +1 D.C.,
three territories
– Staffed by 679 judges
– Almost always one judge per case
• All areas of the United States and territories are
covered by one of 12 circuit courts.
– Each court has six to 28 judges.
– Each trial usually has three judges.
Federal Appellate Courts
How Judges Are Appointed
The U.S. Supreme Court
• Nine justices
– Chief justice and eight associate justices
• System of equals, which functions on seniority basis
• All judges have equal say, and each has one vote.
• If chief justice sides with the majority opinion, he
assigns the writing of the majority opinion.
• If chief sides with the minority opinion, the most senior
justice in the majority does.
How Judges are Appointed
• Senatorial courtesy
– Senators from the president’s party suggest nominees for
district courts in their state when an opening appears.
– President chooses from the list, then the Senate confirms.
– The confirmation process has become highly political in
recent decades.
Supreme Court Justices, 2009 (in Order of
Seniority)
WHO ARE AMERICANS?
Who Are Federal Judges?
CHAPTER 15
WHO ARE AMERICANS?
Federal Judges in 2009, by Race and Gender
White men
860
African American men
84
Hispanic
men
58
White women
225
African American
women
40
Hispanic
women
26
= 10 federal judges
SOURCE: Russell Wheeler, “The Changing Face of the Federal Judiciary” (Washington, DC: Brookings Institution, 2009). Data are from August 2009.
WHO ARE AMERICANS?
Appointments to Federal Courts, by Administration
KENNEDY/JOH
NSON
NIXON/
FORD
CARTER
REAGAN
G.H.W. BUSH
CLINTON
G.W. BUSH
OBAMA
White men
White women
African America
men
African American
women
Hispanic men
Hispanic women
Asian America
men
93%
95%
66%
86%
72%
52%
67%
36%
1%
<1%
12%
7%
16%
23%
16%
27%
4%
3%
12%
1%
7%
12%
5%
10%
<1%
1%
3%
<1%
1%
4%
2%
7%
6%
5%
4%
6%
6%
5%
<1%
<1%
2%
4%
5%
1%
Asian American
women
SOURCE: Russell Wheeler, “The Changing Face of the Federal Judiciary” (Washington, DC: Brookings Institution, 2009).
2%
3%
The Power of the Supreme
Court: Judicial Review
Judicial Review
• Judicial review: the power of the courts to review
and, if necessary, declare actions of the legislative
and executive branches invalid or unconstitutional.
• The U.S. Constitution does not mention judicial
review.
– Marbury v. Madison (1803)
Judicial Review of Acts of Congress
• Supremacy Clause and Judicial Act of 1789
– All state laws and actions must be in conformity with the
U.S. Constitution, federal laws, and treaties.
Judicial Review of State Actions
Judicial Review of Federal Actions
• Congress’s dilemma: make laws too broad, and the
executive branch can subvert them; make them too
narrow, and they cannot adapt over time.
• The Court is hesitant to overturn executive-branch
decisions because Congress can do so.
Judicial Review and Presidential Power
• Historically, the Court is
hesitant to judge
presidential authority
during wartime.
– Allowed imprisonment of
Japanese Americans in
WWII
– Deferential to handling of
“enemy combatants”
during Iraq War
Judicial Review and Lawmaking
Judicial Review and Lawmaking
• Common law: body of law stemming from judges, not
from statutes
– Allows courts to function in the absence of lawmaking, just
as executive orders do
• Appellate courts also make rules that apply to how
courts decide cases.
Rules of Access
• “Cases and Controversies”: there must be an actual
dispute, not a hypothetical one.
• Standing: a party must have standing to sue by
being a stakeholder in the outcome.
• Standing gives the legal right to initiate a case.
• Mootness: a criterion used to dismiss cases that no
longer require a resolution.
– The issue is resolved; nothing to address.
Cases Filed in U.S. Supreme Court
Writ of Certiorari
• SCOTUS is more likely to “grant cert” to cases
where:
– An important civil right or civil liberty is at stake.
– Appellate courts have ruled differently on the same law,
and it needs to be applied universally.
– The federal government is filing the appeal.
Solicitor General
• Federal government’s top lawyer
– All cases before the Supreme Court are argued by an
attorney from the solicitor general’s office, often by the
solicitor general himself or herself.
– When the solicitor general requests a writ of certiorari, the
justices take the request extremely seriously.
Amicus Curiae
• Amicus briefs can be filed by any stakeholder in a
case, even if that person is not directly involved in
the litigation.
– Useful sources of legal interpretation and facts
Lobbying for Access
• Some interest groups have long-term legal
strategies.
– Bring test cases under the most favorable circumstances
– Bring cases in specific circuits, expecting the appeals court
to side a certain way
– Have access to top experts in the field
The Supreme Court’s Procedures
The Supreme Court’s Procedures
The Supreme Court’s Procedures
• Preparation
– Both sides submit briefs, as do other interested parties.
– The attorneys will also prepare extensively for the
questions they may face.
– By the time a case reaches the Supreme Court, the
original attorneys may be replaced by more experienced
attorneys.
The Supreme Court’s Procedures
• Oral argument
– The Court meets three times per week when in session.
– Each side gets a half hour, with many interruptions.
– Sometimes, several different attorneys will address
different aspects of the argument.
The Supreme Court in Action
The Supreme Court’s Decision-Making Process
The Supreme Court’s Procedures
• The conference
– Justices meet by themselves on Wednesdays and Fridays
when in session.
– Hold an initial vote
– Chief justice or most senior justice will assign a justice to
write the majority opinion.
– Usually the dissenting opinion is assigned as well.
– Most opinions are written by the clerks under the
supervision of the justice.
Traditional Limitations on the Court
• Standing limits the ability of many to bring issues into
the courts.
– Members of Congress have repeatedly tried to force the
president to obey the War Powers Act.
• The Court is willing to protect classes, but hesitant to
remedy with broad reparations.
• The Court has no mechanism to force the other
branches to obey.
• Congress can limit access to the Court.
Public Opinion Poll
Do you think federal judges should be appointed for
life terms, limited terms, or elected?
a) Federal judges should be appointed for life.
b) They should have limited appointment terms.
c) Federal judges should be elected.
Public Opinion Poll
Do you believe the decisions of the federal courts are
primarily driven by legal doctrine or individual judge’s
political ideology?
a) Legal doctrine
b) Political ideology
Public Opinion Poll
Do you believe members of the U.S. Senate should
have the ability to block the judicial nominations based
solely on the nominee’s political ideology and party?
a) Yes
b) No
Public Opinion Poll
Do you believe the U.S. Supreme Court should televise
or online stream their proceedings?
a) Yes
b) No
Public Opinion Poll
Compared to the presidency and the Congress, do you
think the Court has too little, too much, or the right
amount of influence on American policy and law?
a) Too little influence
b) Too much influence
c) About right amount
Chapter 15: The Federal Courts
• Quizzes
• Flashcards
• Outlines
• Exercises
wwnorton.com/we-the-people
Following this slide, you will find additional images,
figures, and tables from the textbook.
Cases and the Law
Digital Citizens
Two Judicial Revolutions
The Supreme Court and International Law