Chapter Topics
Principles of U.S. Court Organization
The History of the Federal Courts
United States District Courts
United States Courts of Appeals
The United States Supreme Court
Specialized Courts
Federal Judicial Administration
Federal Courts Caseload Controversy
Attacks on the Federal Judiciary
Principles of Court Organization
• the U.S. court system is complicated and
technical
• a language of the courts exists
• three important organizational principles:
• jurisdiction
• dual court system
• trial and appellate courts
Jurisdiction
• jurisdiction is the power of a court to
decide a dispute
Geographical Jurisdiction
• geographical area from which courts
are authorized to hear and decide
disputes
• boundaries typically follow the lines of
other governmental bodies
Jurisdiction
Geographical Jurisdiction
• when an event occurs on the border of
two jurisdiction a dispute about where to
hear the case sometimes arises
• extradition involves the surrender by
one state (or country) of an individual
accused of a crime in another jurisdiction
Jurisdiction
Subject Matter Jurisdiction
• many courts are limited to cases
dealing with particular substantive issues
(e.g., misdemeanors, small claims,
bankruptcies)
Hierarchical Jurisdiction
• courts differ in their functions and
responsibilities
Jurisdiction
Hierarchical Jurisdiction
• Original jurisdiction means that a court
has the authority to tray a case and
decide it
• Appellate jurisdiction means that a
court has the power to review cases that
have already been decided by another
court.
• appellate courts may have some
limited original jurisdiction
Dual Court System
• America has one national court system
and separate court systems in each of the
50 states
• federal courts are located in every state
and territory
• organizationally the U.S. courts operate in
a similar throughout the country—but they
often differ in their interpretation of the law
• sometimes state and federal courts share
judicial power over a case (e.g., robbing
banks, selling drugs)
Trial and Appellate Courts
• most all cases, civil or criminal, begin in
trial court
• the losing party at trial may request an
appellate review of the case
• an appellate court ensures that the trial
court correctly interpreted and applied the
law
• in deciding cases appellate courts reexamine old rules, devise new ones, an
interpret past court decisions and
statutory language
Trial and Appellate Courts
• appellate courts and trial courts operate
very differently
• appellate courts have no witnesses, no
trials are conducted and juries are never
used
• appellate judges often provide written
opinions justifying their decisions
• the principal difference is that a trial
centers on determining the facts, whereas
an appeal focuses on correctly interpreting
the law
The History of the Federal Courts
• the federal courts reflects our federal
system of government
• Article III of the U.S. Constitution
• Judiciary Act of 1789
The Constitutional Convention
• the Articles of Confederation lacked a
national court system
• there was widespread agreement that “a
national judiciary be established”
• states’ rights advocates feared a strong national
court system
• federalists distrusted provincial state courts and
favored the establishment of lower federal courts
• Article III was a compromise – creating a
Supreme Court but other federal courts only
as Congress deems necessary
The Judiciary Act of 1789
• the first bill introduced in the Senate
• provided the foundation for the current
three-tier system of federal courts
• Supreme Court, circuit courts, and
thirteen district courts
The Judiciary Act of 1789
• the act was both a victory for the
federalists and a product of compromise
• district court boundaries were drawn
along state lines
• by custom district court judges would
be residents of their districts
• lower courts had limited jurisdiction
1789 to 1891
• Judiciary Act of 1789 was a temporary
compromise
• federalists pushed for the Judiciary Act of
1801
• eliminated circuit riding
• crated many new judgeships
• extended lower federal court jurisdiction
• but was repealed after the election of
Thomas Jefferson
1789 to 1891
• after the repeal of the Judiciary Act of
1801 numerous other pieces of minor
legislation were passed – but problems
remained
• circuit riding by Supreme Court justices
was a serious problem – justices were old
and faced many days of travel
• increasing caseloads from the growth in
federal activity and increase in corporate
business
Court of Appeals Act of 1891
• creating the courts of appeals was the
culmination of “one of the most enduring
struggles in American political history”
(Richardson and Vines 1970)
• the debate about state or federal
resolution of problems continued
• a nationalist victory
• created nine new courts known as
circuit courts of appeals where most
appeals of trial court decisions go
Court of Appeals Act of 1891
• released the Supreme Court from
hearing appeals in many types of petty
cases
• the Supreme Court now had greater
control over its workload (expanded even
further in the Judges Bill of 1925 and in
1988)
• period since 1891 has seen little change
• the basic structure today—district courts,
courts of appeals, and Supreme Court is a
function of the 1789 and 1891 laws
United States District Courts
• 94 U.S. District Courts
• 89 in 50 states, 1 in D.C., 1 each in
Guam, Puerto Rico, Virgin Islands and
Northern Mariana Islands
• at least one in each state
• no boundary crosses state lines
• many hold court in various locations
called divisions—ranging from 1-8
United States District Courts
• 667 judgeships
• nominated by president, confirmed by
U.S. Senate, serve during “good
behavior”
• number depends on workload (2 in
Wyoming, 28 in Southern District of New
York—Manhattan)
• assisted by clerks, admin. assts., court
reporters, probation officers, etc.
United States District Courts
• large Districts may have a federal public
defender
• each District has a U.S. Attorney
• nominated by the president, confirmed
by the Senate, but serves at the pleasure
of the president
• prosecutes violations of federal law and
represents the government in civil cases
Three-Judge District Courts
• a special type of District Court
• policy issues interact with court structure
• created by Congress to prevent single
federal judges from deciding certain types of
cases (e.g., Voting Rights Cases)
• created on an ad-hoc basis and disbanded
after the case has been decided
Three-Judge District Courts
• complex process
• party files suit in District Court
• the judge assigned to the case notifies
the chief judge of the Court of Appeals
covering that District
• the chief judge appoints two other
judges to sit with the judge assigned
• one of the two must be a member of the
Court of Appeals
• other cases put aside
Three-Judge District Courts
• appeals go directly to Supreme Court
• controversy over the years about which
and how many cases should go to three
judge district courts
• 1973 – 320 cases, 2002 – 45 cases, 2004
-6
• today cases are only heard if they deal
with legislative reapportionment or if
mandated by 1964 Civil Rights Act or 1965
Voting Rights Act
United States Magistrate Judges
• assist District Court judges
• created by the Federal Magistrates Act of
1968 to reduce the workload of District
Court judges, in 1990 Congress acted to call
them judges
• selected by District Court judges
• full-time are appointed for eight-year terms,
part-time for four years
• may be removed for “good cause”
• 487 full-time, 50 part-time
United States Magistrate Judges
• raises Constitutional issues
• magistrate judges perform quasi-judicial tasks
but are not Article III judges
• today Magistrate Judges perform a wide
variety of duties—depends on jurisdiction
• preliminary stages of criminal cases
• sentencing misdemeanor offenders
• supervising civil discovery
• conducting full trials with the consent of parties
involved
Bankruptcy Judges
• District Courts are aided by 324
bankruptcy judges
• before 1973 called bankruptcy referees
• Bankruptcy Reform Act of 1978
• bankruptcy cases filed in bankruptcy court
• presidential nomination, Senate confirmation,
14 year term
• expanded the jurisdiction
• changed in 1982 after a Supreme Court
decision to appointment by Court of
Appeals
Caseload of the U.S. District Courts
• trial courts of original jurisdiction—
caseload is large and growing
• 2005 – 407,690 Criminal and Civil
• only 71,022 of cases Criminal
• most are drug related, 26%
• drug cases increased 303% from 1980 to
1990
• 83% of cases involve Civil matters
• many cases involve: federal questions,
diversity of citizenship, or prisoner petitions
Caseload of the U.S. District Courts
Federal Questions
• case that contains a major issue
involving the U.S. Constitution, or U.S.
laws or treaties—most involve a
congressional statute (e.g., Social
Security, labor, civil rights laws, etc.)
• increase in civil caseloads is a function
of more legislative activity
• Americans with Disabilities Act is a recent
example of the expansion of civil rights—
leading to court cases
Caseload of the U.S. District Courts
Federal Questions
• other common federal questions include
cases involving voting rights, patent
claims, copyright infringements,
naturalization proceedings and admiralty
disputes
Diversity Jurisdiction
• involves suits between citizens of
different states or a U.S. citizen and a
foreign country of citizen
Caseload of the U.S. District Courts
Diversity Jurisdiction
• courts apply state, not federal law
• constitute 25% of civil docket
• power was first established in Judiciary
Act of 1789 but controversy remains
• critics believe state courts are better
able to resolve these disputes
• supporters like the impartiality of
federal court over state court
Caseload of the U.S. District Courts
Diversity Jurisdiction
• 1988 Congress increased the amount in
controversy requirement from $10,000 to
$50,000 which reduced number of cases
Prisoner Petitions
• controversial area of District Courts
• federal or state prisoners may file a
civil suit alleging that their rights under
federal law are being violated
Caseload of the U.S. District Courts
Prisoner Petitions
• in state courts these are called habeas
corpus petitions
• typically involve allegations of illegal
confinement, ineffective counsel,
conditions of confinement, inadequate
medical assistance, etc.
•in 1996 Congress passed limitations
United States Courts of Appeals
• created in 1891 to reduce Supreme Court
workload
• 13 Courts of Appeals (11 regional, 1
Washington, D.C., 1 Federal Circuit)
• 179 judges, nominated by president,
confirmed by Senate, serve during “good
behavior”
• size of Court varies—6 on First Circuit, 28 on
Ninth Circuit—based on workload
• each Circuit has a chief judge, and staff—
including a circuit executive
United States Courts of Appeals
• each judge may hire 3 law clerks and there is
also a central legal staff
• normally uses 3 judge rotating panels
• may include visiting judges (primarily district
judges) and senior judges (retired from active
practice)
• by majority vote all judges in circuit may
sit together—en banc—to hear or rehear a
case (typically less than 100 a year)
Caseload of U.S. Courts of Appeals
• very limited original jurisdiction (e.g.,
some cases from administrative agencies)
• mostly appellate jurisdiction over
• review of criminal and civil cases from district
courts—90% of cases
• appeals from administrative agencies—
Securities and Exchange Commission, National
Labor Relations Board
• 2004 – 62,762 cases, caseload has grown over
past three decades—mostly in civil appeals
• final appeal for virtually all federal cases
The United States Supreme Court
• highest court in the nation
• nine justices – 1 chief justice, 8 associate
justices
• nominated by the president, confirmed
by Senate, serve during “good behavior”
• most cases come through a writ of
certiorari – an order to the lower court to
send up the case records to the Supreme
Court
• reviews decisions from U.S. Courts of
Appeals and State Courts of Last Resort
Caseload of the Supreme Court
• the Court mostly decides which cases it
will review
• uses the rule of four – four judges must vote to
hear a case before it is placed on the docket
• a very small percentage of requests for appeals
are granted—in recent years less than 100
• cases must present a federal question
• cases often involve conflicting legal
doctrines
• despite small number the decisions are
very important—setting policy for the entire
nation
Specialized Courts
• Congress has created specialized federal
courts—courts authorized to hear a limited
range of cases (e.g., taxes or patents)
• most have permanent full-time judges
appointed to that court, others borrow
judges from District or Appeals courts
Article I and Article III Status
• judicial bodies established by Congress
under Article III are known as constitutional
courts (e.g., Supreme Court, District Courts,
Courts of Appeals)
• judicial bodies established by Congress
under Article I are known as legislative
courts (e.g., bankruptcy courts, tax court)
• important differences
• Article III judges serve for “good
behavior” Article I for a fixed term
Article I and Article III Status
• Article III judges are protected from
salary reductions while in office, Article I
judges are not
• constitutional courts enjoy a greater
degree of independence
• some Article I courts have been turned
into Article III courts—in 1982 Court of
Claims and U.S. Courts of Customs and
Patent Appeals were combined to form the
U.S. Court of Appeals for the Federal Circuit
Article I and Article III Status
• specialized federal courts are largely
unknown to the public
• are politically significant (e.g., cases
involving international trade disputes,
intellectual property and govt. contracts)
• expansion or contraction of the number
and type specialized courts is a function of
interest group politics
Military Justice
• September 11, 2001 brought attention to
issues of military justice
• based on the 1950 Uniform Code of
Military Justice
• created the Court of Military Appeals,
composed of three civilian judges
appointed by the president for 15 year
terms
• the 1968 Military Justice Act further
refined the practice of courts-martial
Military Justice
• military justice applies to members of the
military and civilian employees and applies
on and off a military base
• provide a determination of innocence or
guilt but also enforce order and discipline
• military tribunals are being planned for
many enemy combatants captured during
the War on Terrorism
• the use of military tribunals for non
military individuals is controversial
Federal Judicial Administration
• the federal courts began with a haphazard
administrative structure
• in 1922 Congress created the Judicial
Conference—at the urging of Chief Justice
Taft, the first effort at organization
• the Administrative Office Act of 1939
created the current administrative structure
• expanded the responsibilities of the Judicial
Conference
• created the Administrative Office of the U.S.
Courts
• established Judicial Councils
Chief Justice
• supervisory authority over federal system
• gets an extra law clerk and admin assistant
• spokesperson for the federal court system
Judicial Conference of the U.S.
• the administrative policy-making
organization of the federal judicial system
• members include: chief justice, the
chief judge from each courts of appeals,
one district judge from each circuit, and
the chief judge of the Court of
International Trade
• meets semiannually for 2-day sessions
• most work is done by committee
Judicial Conference of the U.S.
• directs the Administrative Office in
administering the budget
• plays a role in the impeachment of federal
judges
• revises the various rules of federal
procedure
• proposed changes originate with the
Judicial Conference and are approved,
modified or rejected by the Supreme
Court
Administrative Office of the U.S.
Courts
• created by Administrative Office Act of 1939
• the director is appointed by Chief Justice
and reports to the Judicial Conference
• presents the annual budget, allots
authorized funds, supervises expenditures
• collects statistical data on the operation of
the federal courts—publishes the Annual
Report
Federal Judicial Center
• created in 1967
• conducts research and training activities
• provides education and training of federal
judicial personnel (e.g., judges, probation
officers, clerks of court, and pretrial service
officers)
• oversight by board—including chief justice,
director of the Administrative Office, judges
from the U.S. District Courts, Courts of
Appeals, and bankruptcy court
Judicial Councils
• basic administrative of a Circuit
• membership determined by majority
vote and includes both Circuit and District
Judges
• authority to “make all necessary and
appropriate orders for the effective and
expeditious administration of justice within its
circuits”
• authorized to investigate complaints of
judicial disability or misconduct
U.S. Sentencing Commission
• created by the Sentencing Reform Act
provisions of the Comprehensive Crime
Control Act of 1984
• independent agency in the judicial branch
• establishes sentencing policies and practices
for the federal courts
• develops, monitors and amends sentencing
guidelines
• conducts training, research and
informational programs
The Ongoing Federal Courts
Caseload Controversy
• early in the nation’s history most all judicial
business was handled by state courts
• over time the federal caseload grew with
the industrial revolution, prohibition, New
Deal, Great Society and Civil Rights
legislation
• federal caseload grow is nothing new but it
has accelerated in the past 30 years
• critics complain about judicial gridlock
Reduce Federal Jurisdiction
• to understand, plan for an control the
growth Congress created a special study
committee—which published the Report of the
Federal Courts Study Committee
• recommended over 100 changes in the
administration of the federal courts
• blames Congress for expanding federal
jurisdiction
• members of Congress and even the
Judicial Conference disagree with some of
the recommendations
Congressional Expansion
• Historically the police power has been
reserved to states
• Congress has been extending federal
criminal and civil jurisdiction
• Efforts to expand federal jurisdiction are
often tied to partisan and ideological positions
• e.g., Schiavo Case
Judicial Reduction
• Federal judges tend to oppose the
“federalization” of state crimes
• the Supreme Court has challenged
congressional expansion of federal criminal
court jurisdiction
• U.S. v. Lopez 1995 (Gun-Free School Zones Act
unconstitutional)
• U.S. v. Morrison 2000 (Violence Against Women
Act unconstitutional)
• decisions are causing debate
Attacks on the Federal Judiciary
• attacks on the federal (and state) judiciary
are increasing
• opponents suggest:
• an inspector general to investigate judges
• tougher disciplinary measures
• limitations on lifetime appointments
• impeachment of judges who make unpopular
decisions
• elimination of some lower courts
• reduction of federal court funding
Conclusion
• the Federal Courts have substantial power
• debates continue about what cases the
federal courts should hear
• to some—the federal courts today hear too
many trivial cases
• but to others—the federal courts should be
open to average citizens to sue
• the federal judiciary today is much bigger
and more important today than ever before