· How is it made?
· American legal system = 51 legal systems
· 1 federal
· 50 state
U.S. Legal System
· Structure of U.S. legal system: derives from structure of U.S. government
· Structure of U.S. government: derives from U.S. Constitution
· Constitution government legal system laws
Federal Laws and Hierarchy
· U.S. Constitution
· Supremacy Clause (Article 6)
· Statutes
· Laws made by the legislature (Congress)
· Rules
· Federal Rules of Civil Procedure, Criminal Procedure, Evidence
· Made by Congress
· Regulations
· Made by agencies
· Cases
· Made by courts
The Constitution
· Why start with the Constitution?
· To this day, it controls the structure of the U.S. government:
· 3 branches of government
· Legislative (Article I)
· Executive (Article II)
· Judicial (Article III)
· Also, many laws derive directly from the Constitution (and courts’ interpretations of the Constitution)
· And, the history of the Constitution (the historical context) informs why it is what it is
· Has been the supreme law in the U.S. since 1789
· What is in the Constitution is a result of the historical context in which it was written
· History:
· 13 colonies of Great Britain (until 1775)
· American Revolutionary War (1775-1783)
· Governing body at this time: “Continental Congress”
· American Independence
· Why were the colonies unhappy with British rule?
· English settlers had been in the colonies since 1607 (Jamestown)
· French and Indian War (1754-1763)
· “Taxation without representation”
· Discontent grew
· Boston Tea Party (1773)
· Belief that Britain had become a “tyranny”
“Continental Congress”
· First attempts at self-governance
· Delegates from the 13 colonies
· (1) First Continental Congress (1774)
· (2) Second Continental Congress (1775-1781)
· Declaration of Independence
· American Revolutionary War (1775-1783)
· (3) Confederation Congress (1781-1789)
· Articles of Confederation
· Constitutional Convention (aka Philadelphia Convention)
Articles of Confederation
· First “Constitution”
· Agreement between the 13 colonies
· In effect from 1781-1789
· Colonies would not cede (give) any power to a central government
Constitutional Convention
· Intended to revise the Articles of Confederation
· Needed a stronger central government
· No power to regulate commerce
· No power to tax
· No power to resolve disputes between states
· Delegates (“deputies”) met in 1787 in Philadelphia
Structure and Content of
the Constitution
· 7 Articles
· 10 original Amendments (Bill of Rights)
· 27 Amendments total (though some repealed)
· Articles I, II, and III – define the 3 branches of government
· Legislative (Article I)
· Executive (Article II)
· Judicial (Article III)
· Other provisions of the Constitution
· Article VI: Supremacy Clause
Three Branches of Government
· Articles I, II, and III – define the 3 branches of government
· Legislative (Article I)
· Executive (Article II)
· Judicial (Article III)
Two key concepts:
Separation of Powers
“Checks and Balances”
· Article I: Legislative BranchCongress
· “Bicameral” (two houses)
· Senate and the House of Representatives
· Represented a compromise
· Article I, Section 8 (Powers of Congress)
· “Enumerated Powers”
· “Necessary and Proper Clause”
· Primary function: Make law
· Statutes
· Start as a bill
· Must pass both houses
Published in U.S. Codes
Legislative Branch (con’t)
· What laws may Congress pass?
· Federal government: one of limited (defined) authority
· Amendment 10 -- all powers not given are reserved to States
Legislative Branch (con’t)
· Article I, Section 8 (Powers of Congress)
· “Enumerated Powers”
· Includes:
· Power to tax
· Power to coin money
· “Power of the purse” (appropriations)
· To establish uniform laws for immigration and bankruptcy
· To declare war
The Commerce Clause
· In Article I, Section 8 (Enumerated Powers)
· “To regulate Commerce . . . among the several States”
· Has provided the basis for many federal laws
· The courts have interpreted “commerce” broadly
· Court has interpreted this power as social and economic necessities require
· i.e., New Deal
Gonzales v. Raich
The Necessary & Proper Clause
· “all Laws . . . necessary and proper for . . . execut[ing]” the Enumerated Powers
· M’Culloch v. Maryland (1819)
· Federal government established a bank (Congress passed a statute)
· The State of Maryland sought to tax the bank
· The federal bank officer refused to pay the state tax and challenged it
· What did the Court rule and why?
Other Powers of the Legislative Branch
· Impeachment Power
· Over the President, Vice President, and judges
· For “high crimes and misdemeanors”
· Used infrequently
· Three Presidents impeached by House, though non convicted
· Fifteen judges impeached, eight convicted
· Power to establish federal courts
· Article III defines Supreme Court and “other courts” as Congress will establish
· To date: 13 Courts of Appeals, 94 district courts (federal trial courts), other specialized courts (all courts have several judges)
Article II: Executive Branch
· Comprised of:
· President
· Vice President
· Departments
· Created by Congress
· Overseen by the President
· Includes: Department of State, Department of Defense
· Heads are called “Secretaries” and comprise the Cabinet (i.e., Secretary of State)
· Executive agencies
· Created by Congress
Some overseen by the President
Powers of the Executive Branch
· Article II, Section 2 powers:
· “Commander in Chief”
· Make treaties
· Appoint ambassadors and judges (all federal judges)
· As head of executive agencies, President may issue Executive Orders
· Roosevelt created bank holidays (Department of the Treasury)
· Most famous Executive Order: Emancipation Proclamation (issued by Abraham Lincoln as Commander in Chief during the Civil War)
Article III: Judicial Branch
· Article III: defines the federal court system
· A court hears cases
· Lawsuits by one party against another
· A court issues written decisions
· Also called: judicial opinions, cases
· May:
· Interpret the Constitution, statutes, or other laws
· Rule laws or acts of Legislature or Executive unconstitutional (“Judicial Review”)
· Make new law (Common Law)
· “Stare decisis” (to stand by)
Powers of the Judicial Branch
· Judicial branch (Article III): all federal courts
· Supreme Court
· 13 Courts of Appeals
· 94 district courts
· Power of “Judicial Review”
· Not explicit in the Constitution -- refers only to “judicial Power” being vested in the courts
What is “judicial Power”?
· Marbury v. Madison (1803):
· President Adams appointed judges shortly before he left office
· “Midnight Judges” (Judiciary Act of 1801)
· President Jefferson took office and instructed Madison (Secretary of State) not to deliver the commission
· Madison filed suit, seeking an order from the Court directing the Executive Branch to deliver the commission
What did the Court rule and why?
Marbury v. Madison
· Court held:
· (1) Marbury had a right to commission
· (2) Court had a right to order it
· (3) Writ of mandamus was not appropriate procedure to obtain it
· Power of “judicial review”
· “it is the power and duty of the [courts] to say what the law is”
· power is implicit in the Supremacy Clause (Article VI)
· Constitution is the supreme law of the land; must be a way to enforce it
· Effect of the holding:
· Courts may strike down laws (statutes or other laws) or other actions of Legislative and Executive Branches
· In the last 50 years, the Supreme Court has struck down +100 federal laws (about two per year)
Powers of Judicial Branch (continued)
· Case or controversy” requirement
· Article III states the “judicial Power shall extend to” certain “Cases” and “Controversies”
· Prevents courts from issuing advisory opinions
· Courts only rule on actual disputes between two parties with “standing” (parties who have suffered an injury that can be remedied)
Two Key Concepts
· “Separation of Powers”
· Power does not vest in any one person or body
· “Checks and Balances”
· Each of the three branches exercises power over the other two
Checks
· By the Legislature:
· Power of “2/3 override”
· Power of impeachment
· “Power of the purse” and power to declare war
· Senate’s power of consent over treaties, ambassadors, judges
· Creation of Executive Departments and agencies and new courts
· By the Executive:
· Veto power
· President Obama exercised 12 vetoes, only one was overriden
· Appointment of federal judges
· Defines the make-up of the federal courts, including the Supreme Court
· By the Judiciary:
“Judicial Review”
Hierarchy of Laws
· U.S. Constitution
· Supremacy Clause (Article 6)
· Statutes
· Laws made by the legislature (Congress)
· Rules
· Regulations
· Made by agencies
· Cases
Made by courts
States
· 50 states each has a similar structure as the federal government
· Each of the 50 states has a Constitution, codes/statutes, and case law
· What is the interplay between federal and state?
Federalism
· Supremacy Clause:
· Constitution and laws of the United States are the supreme law of the land
· But: federal government is one of defined power
· Each branch of the federal government must act within its stated authority
· 10th Amendment: powers not granted to the federal government are reserved to the states
· Supreme Court called the 10th Amendment a truism (meaning it added nothing new to the Constitution)
· Challenges to government exercise of power (either legislative or executive exercise) are made in cases filed in court (e.g., decided by the Judicial Branch)
The Roles of Judge and Jury
· The roles of judge and jury are separate and distinct
· The judge decides the law, makes legal rulings, and instructs the jury as to the law
· The jury decides the facts, including any disputed facts, and renders a verdict (decision) based on the legal instructions from the court
· The judge may decide if there are enough facts to allow a case to be submitted to a jury
· Motion for summary judgment in a civil case
· Motion for judgment of acquittal in a criminal case
· Such a motion tests sufficiency of plaintiff’s evidence
Types of Juries
· The word “jury” may refer to different groups
· Jury v. Grand Jury:
· grand jury – investigative; authorizes felony charges in an indictment
· jury – sits at trials
Stages of a Trial
· Pretrial includes motions and discovery
· Immediately before trial, “motions in limine” may be filed
· A jury trial commences with jury selection; a bench trial commences with opening statement
· jury pool (“jury venire”)
· voir dire (questioning of potential jurors)
· Challenges:
· (1) for cause
· (2) peremptory
· Once selected, the jury is empaneled/sworn
Stages of a Trial (continued):
· Opening statements
· Statements by each attorney that tells the jurors what the attorney expects the facts will show
· Previews the evidence in the case
· No legal argument permitted
· Presentation of evidence proceeds in turns:
· Case in chief (plaintiff)
· Defense case
· Rebuttal case (plaintiff)
· Evidence includes testimony given under oath and any exhibits (documents and physical evidence)
· Witness testimony
· May be lay witness or expert witness
· Questions must be asked and answered (no narrative testimony)
· Attorneys proceed in turns:
· direct examination
· cross-examination (leading questions; impeachment)
· re-direct examination
· Objections
· Motions after plaintiff rests and at the close of evidence (for directed verdict or judgment of acquittal)
· Closing Arguments
· Statements by the attorneys to jurors that argue the law and facts and request a particular judgment (and damages)
· Jury Instructions
· Judge provides the law to jurors
· Burdens of proof:
· civil -- preponderance of the evidence
· criminal -- beyond a reasonable doubt
· Jury deliberation
· In secret
· Deadlocked jury/hung jury
· Verdict
· Post-trial motions/sentencing in criminal case
General Court Structure
· All 51 jurisdictions: three-level systems
· Trial courts
· Intermediate appellate courts
· Highest court (one)
· Some specialized courts
· Each of the three levels has a different function
Trial Courts
· Cases begin (are filed) here
· One judge presides over a case
· Trial may occur
· By jury if right to jury trial
· By court otherwise (bench trial)
· Evidence is received
· Documents and physical evidence
· Testimony of witnesses
· Facts are decided
Right to Jury Trial
· In criminal cases
· Under the 6th Amendment
· All crimes for which possible sentence is 6 months or more
· Applies to states also
· In civil cases
· Under the 7th Amendment
· Preserved what existed in earlier common law
· Does not apply to states, though most states provide for the right
Right to Jury Trial
· Purpose: Allow for community norms and standards to apply to resolution of legal disputes
· Decisions/judgments should reflect things other than rote application of the law
· Roots trace back to the Colonies
· Jury nullification
· Who may serve?
Citizens, 18 years +, who have no felony conviction
Duties of Judge and Jury
· Separate and distinct roles
· Judge:
· decides the law
· makes legal rulings (i.e., admission of evidence)
· instructs the jury as to the law
· Jury
· decides the facts, including any disputed facts
· renders a verdict (decision) based on the legal instructions from the court
· Judge -- may also decide if there are enough facts to allow a case to be submitted to a jury
· Motion for summary judgment in a civil case
· Motion for judgment of acquittal in a criminal case
· Such a motion tests sufficiency of plaintiff’s evidence
Appellate Courts
· Function is different
· No trials; no new evidence; no witness testimony
· The “record” is reviewed for error
· Panel of judges decides a case
· Right to appeal:
· Usually one appeal as a matter of right (to intermediate court)
· Appeal to the one highest court of the jurisdiction is usually only by permission of that court
· U.S. Supreme Court “certiorari”
“Standards of Review”
· Appellate court usually considers claims with deference to the trial court (a.k.a., lower court)
· Why?
· A “standard of review” applies to each claim
· How closely will appellate court scrutinize/review the claim
· Depends on nature of the claim
· Examples:
· “Clear error” for questions of fact
· “Abuse of discretion” for matters within trial court’s discretion
· “De novo” for questions of law
Structure of the Federal Courts
· United States Supreme Court (1)
· United States Courts of Appeals (13)
· Other specialized appellate courts:
· Court of Appeals for Veterans Claims
· Court of Appeals for the Armed Forces
· United States District Courts (94)
· Other specialized trial courts:
· Bankruptcy Courts
· Tax Courts
· Court of International Trade
· Court of Federal Claims
Federal Court Jurisdiction
· When may a case be heard in federal court?
· “Subject matter jurisdiction”
· Two instances :
· In the Constitution and later codified in statute
· (1) “Federal question”; or
· (2) “Diversity jurisdiction”
· (a) Complete diversity of citizenship; and
· (b) Amount in controversy over $75,000
Determining Jurisdiction
· Citizenship:
· Natural person – place of domicile or permanent home
· Corporation – both
· state of incorporation; and
· state of “principal place of business”
· “Well-pleaded complaint” rule
Why have those bases for jurisdiction
New York State Courts
· Three-level system also
· Highest court: Court of Appeals
· Intermediate appellate courts: Appellate Divisions
· Trial courts: Supreme Courts
What law applies?
· State claims heard in federal court:
· Rules of Decision Act and Erie
· state law controls substantive issues, but federal procedure applies
· reduces “forum shopping”
· Federal claims heard in state court:
· federal law controls substantive issues
· state procedural law may apply, unless it “unduly” interferes with federal claim