criminal justice 103 Intro to Law & Justice

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9/7/2016

Federal and State Courts

Chapter 4

What Do Courts Do?

• “Do justice” – Provide all parties with due process of law

• Make public policy decisions

• Clarify law through interpretation of statutes and application of general principles to specific fact patterns (Abraham, 1987)

Jurisdiction

• Defined

• Comes from Latin terms juris and dicere

• Conferred by statute or constitution

• Four primary types: – Personal

– Subject matter

– Geographic

– Hierarchical

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Personal Jurisdiction

• Involves authority of court over person

• Occurs when person comes in contact with court

– By being citizen of state

– Or by committing an act that contravenes laws of that state

Subject Matter Jurisdiction

• Involves authority of court to hear particular type of case

• Also known as limited jurisdiction – Those courts that may hear only a specified type of case

Geographical Jurisdiction

• Involves authority of court to hear cases that arise within specified boundaries – Venues

• Events must take place in whole or in part within specific area under jurisdiction of that court

• Not always clear‐cut – Continuing offenses

• Most crimes can only take place in one place • Requests for change of venue

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Hierarchical Jurisdiction

• Involves division of responsibilities and functions among various courts

• Includes: – Limited and general – Original and appellate

• Limited – Already discussed

• General – Involves authority of court to hear variety of cases

Hierarchical Jurisdiction

• Original – Involves authority of court to hear case initially

• Appellate – Involves authority of court to review decision of lower court

– May affirm or reverse decision or return case for consideration

– Does not conduct retrial • Relies on oral arguments and legal briefs

– Concerned with legal errors

U.S. Court Systems

• Two court systems in United States – Systems of each individual state – The federal court system

• Aka Article III courts

• Jurisdictions frequently overlap • Article III of Constitution

– Also authorized “such inferior courts as Congress” chose to create

– Number of justices nor form of potential “inferior” courts was described

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U.S. Court Systems

• First ideas of creating “inferior” federal courts was not welcomed

• Prominent writers argued for strong federal system

• Judiciary Act of 1789 – Set number of Supreme Court justices at six

– Also created three federal circuit courts and thirteen district courts

The Federal Courts

• First set of intermediate‐level appellate courts more than one hundred years later in 1891

– With purely appellate jurisdiction

• Federal court system consists of three tiers: – District Courts

– Intermediate appellate courts

– Supreme Court of the United States (SCOTUS)

The Federal Courts: District Courts

• Trial court and court of original jurisdiction for federal court system

• Ninety‐four federal judicial districts • Number of judges range from two to twenty‐ nine – About 677 total

• Federal magistrates – Subordinate judicial officers who conduct preliminary proceedings and issue warrants

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The Federal Courts: District Courts

• Have original jurisdiction over both civil and criminal cases involving federal statutes

• Can hear civil cases with diversity of citizenship

• Can hear state civil cases if amount in question exceeds $75,000.00 and parties are diverse – Even if it involves state law

• Most of docket consists of civil cases

The Federal Courts: District Courts

• Not courts of general jurisdiction – Only types specified by acts of Congress

• To protect independence, federal judiciary – Appointed for life pending good behavior

– Cannot receive salary reduction while in office

The Federal Courts: Court of Appeals

• Aka circuit courts

• Total of thirteen – Eleven for fifty states

– One for federal circuit

– One for District of Columbia

• District of Columbia has own appeals court due to large volume of cases filed there

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The Federal Courts: Court of Appeals

• Jurisdiction of federal circuit hears appeals from:

– Several federal administrative agencies

– Patent claims

– Claims court

– Court of International Trade

The Federal Courts: Court of Appeals

• Remaining eleven organized on territorial basis

– Each circuit presides over several states

• Number of judges varies – Six in First Circuit

– Twenty‐nine in Ninth Circuit

• Largest circuit is Ninth

The Federal Courts: Court of Appeals

• Appeals heard by three‐judge panels that are constantly changing

• If conflicts arise between two panels – Decision can be decided en banc

• Does not have to be all members in larger circuits

– As few as eleven for Ninth Circuit

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The Federal Courts: Supreme Court of the United States (SCOTUS)

• Court of last resort for federal system and state cases dealing with federal constitutional issue

• All decisions are precedents binding on all courts

• Decisions can be refuted only by other Supreme Court decisions or constitutional amendment

The Federal Courts: Supreme Court of the United States (SCOTUS)

• Has original jurisdiction in very few cases: – Suits between United States and a state

– Suits between a state and a foreign citizen

– Suits between states

• Appellate docket almost entirely discretionary

• Parties seeking appeals must petition for a writ of certiorari

– Oder to lower court to “send the record up”

The Federal Courts: Supreme Court of the United States (SCOTUS)

• Rule of four – The number of justices that must vote to hear a case

• Refusal to accept is not considered decision on merits of case

– Has no binding precedential value

• Only about 2% of cases are granted certiorari

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The Supreme Court Justices

• Law is inherently conservative – Reflected in court make‐up

• 92 of 112 justices have been white, Protestant and male

• First Catholic: Roger B. Taney (1835)

• First Jew: Louis Brandeis (1916)

• First black: Thurgood Marshall (1965)

• First woman: Sandra Day O’Connor (1981)

The Supreme Court Justices

• Current Court has nine justices, including one chief justice

– Chief Justice John Roberts (since 2005)

• Congress has authority to reduce or enlarge number of justices

• Court did not immediately establish significant presence in affairs of country

– During term of John Marshall

• Today Court plays significant role in public affairs

The State Courts

• Workhorses of American judicial system

• Systems differ from state to state

• In general, four tiers of courts – Courts of limited jurisdiction

– Courts of general jurisdiction

– Intermediate appellate courts

– Final appellate court, or court of last resort

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The State Courts: Courts of Limited Jurisdiction

• Deal with less‐serious offenses and civil cases

• Referred to by variety of names

• May be responsible for issuing search and arrest warrants and conducting preliminary stages of felony cases

• Civilly, handle juvenile delinquency cases, family law, and probate

The State Courts: Courts of Limited Jurisdiction

• Proceedings often more informal in nature • Generally no right to trial • Appeals done through a trial de novo • No records kept except for judgement

– No requirement to do so

• Are important for three reasons – May be only experience with court system for most – Process tremendous number of cases – Involved in crucial early stages of criminal cases

The State Courts: Courts of General Jurisdiction

• Trial courts for civil and criminal matters • Original jurisdiction for felony cases • Generally authorized to hear many matters not exclusively designated for courts of limited jurisdiction – May sometimes have concurrent jurisdiction with lower courts

• May also hear appeals from lower courts • Precise workload varies by jurisdiction

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The State Courts: Intermediate Appellate Courts

• Small states or those with small populations have only one level of appellate courts

• Other states (39) have two levels – Intermediate

– Court of last resort

• Largely a creation of the twentieth century

• Referred to by variety of names

The State Courts: Intermediate Appellate Courts

• Hear felony appeals of right – Those state legislatures permit all defendants as matter of law

– Occur after final order has been entered by trial court

• Number of judges vary

• Many states have more than one

The State Courts: Final Appellate Court or Court of Last Resort

• Usually called state supreme court • Forty‐eight states have one • Two states have two (Oklahoma and Texas)

– One for civil cases – One for criminal cases

• Number of judges vary from three to nine • Those in states with intermediate appellate levels hear majority of cases on discretionary basis

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The State Courts: Final Appellate Court or Court of Last Resort

• Most states require these courts to hear death penalty appeals

• Those with only one appellate level are mandated by law to hear all appeals

• Only option after state supreme court is the United States Supreme Court

Overview of the Criminal Process

• Pretrial proceedings

• Jury and jury selection

• Trial

• Sentencing

• Appeals

Pretrial Proceedings

• Begins with either filing of complaint or arrest – Complaint defined

– Serves as charging document for preliminary hearing

• If person arrested, police generally fill out complaint later

• Search and arrest warrants obtained by police officers

– Require affidavit delineating facts creating probable cause

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Pretrial Proceedings

• After arrest, individuals are booked – Official entry into police blotter – Indicates suspect’s name, arrest time, offense – Includes fingerprints and photographs

• First court appearance in initial appearance – Takes place in municipal or justice of peace court – Here suspects informed of:

• Rights • Nature of charges • Whether bail is granted (and amount) or denied

Pretrial Proceedings

• Next appearance is preliminary hearing – Magistrate determines if probable cause exists

• If yes, defendant “bound over” for trial

– Means trial date is set and defendant notified of pending charges

– Preliminary hearing is formal adversarial proceeding conducted in open court

– Deemed a “critical stage” requiring counsel

• Charges then filed in one of two ways – Information or indictment

Pretrial Proceedings

• Grand jury – Typically twenty‐three people – Proceeding not open to public – Formed only at discretion of prosecutor in some states

– Does not include defendant or defense counsel – Hears only evidence presented by state – Rare when indictments not returned – Are checks on overzealous prosecutors

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Pretrial Proceedings

• After charges filed, arraignment occurs – Formal hearing before felony court

• Defendants advised of rights and again informed of charges

• Defendant enters plea: – Guilty – Not guilty – No contest (nolo contendere) – Standing mute (entered as “not guilty” plea) – Alford plea (not widely accepted)

The Jury and Its Selection

• Replaced trial by combat or ordeal • Originally composed of knowledgeable witnesses – Could end up with witness/judgement wisdom – Gradually became disinterested parties

• Finders of fact, not law • Selection begins once trial date is set • Members randomly selected

– Automobile and voting records usually used

The Jury and Its Selection

• Potential jurors summoned (venire) • Prospective jurors examined to determine biases (ensure impartiality) – Called voir dire – Stacking the deck in reality – Jury consultants

• Especially for civil cases

• Both sides may seek to remove potential jurors by using challenges

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The Jury and Its Selection

• Challenges for cause – Use specific and valid reason to dismiss juror

– Typically unlimited number allowed

• Peremptory challenges – Do not use any reason

– Typically limited number allowed

– May not be based on race (Batson v. Kentucky, 1986)

– May not be based on gender (J.E.B. v. Alabama, 1994)

The Jury and Its Selection

• Juries need not be composed of traditional twelve members – No constitutional requirement

• Williams v. Florida (1970) – Juries with as few as six members approved for both civil and criminal trials

• No requirement verdicts be unanimous – Unless jury is composed of six members

• Burch v. Louisiana (1979)

• “Jury of ones peers” – Must be selected from community where crime took place

The Trial

• Opening statements – First prosecution (carry burden of proof)

– Defense can reserve opening until after prosecution presents case‐in‐chief

• Prosecution’s case‐in‐chief – Must establish each element of crime beyond reasonable doubt

• Burden of proof in criminal trial

– Accomplishes this with evidence and witnesses

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The Trial

• Defense’s case‐in‐chief – Not required

– Several types of defenses can be used

• Prosecution may choose to rebut defense’s case

• Closing arguments – Prosecution goes last

• Jury instructions and jury deliberation

Sentencing

• If found not guilty – Set free, protected by double jeopardy

• If found guilty – Sentence imposed by judge after presentence investigation report from probation

– In death penalty cases, jury must sentence • Ring v. Arizona (2002)

• Types of sentences – Incarceration, suspended sentences, probation, fines, etc.

Appeals

• Two ways to challenge trial outcome – Direct appeal

• Challenges conviction

– Indirect appeal • Challenges state’s power to incarcerate

• Habeas corpus is indirect appeal – “You have the body” – Requires person directed at to either justify confinement of person named or release them from custody

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Recent Dynamics in Habeas Corpus

• Congress restricted use of habeas corpus – Imposed time limits on federal petitions if evidence there is intentional delay to injure prosecutor’s case

• Congress and Supreme Court have limited habeas corpus

– Restricting how they are filed and pursued

– Require all issues be presented in one writ rather than several consecutive writs

Court Actors

• Judges

• Prosecutors

• Defense attorneys

Court Actors: Judges

• Serve as referees

• Responsible for enforcing court rules

• Instruct jury on law

• Determine law

• Not representative of American society – Mostly white, male, upper middle class

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Judge Selection Methods

• Appointment – Generally by chief executive

• Election – Partisan

– Nonpartisan

– By legislature

• Merit system

Merit System

• Created by American Judicature Society in 1909 • Aka Missouri plan • Become popular only recently

– Four states used in 1960 – About half used by 1998

• A nonpartisan commission draws up list of qualified candidates

• Governor appoints new judges from this list • After period of time after selection, they stand for

election – Retention

Court Actors: Federal Prosecutors

• No public prosecutors under early common law

• 1789 Judiciary Act – Provided U.S attorney for each court district

• Appointed by president

• In 1870, Congress authorized creation of Department of Justice

– Provided for attorney general and assistants

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Court Actors: Federal Prosecutors

• Attorney general is political appointee – Administrates prosecution priorities for deputy attorneys for deputy attorneys general

• Deputy attorneys general are appointed by president and confirmed by Senate

• Assistant U.S. attorneys are not appointees

Court Actors: State Prosecutors

• Usually elected – Have appointed assistants who do most of trial work

• Duty is to prosecute cases in name of people

• Duty is to do justice – Pursuing those who have committed crimes

• Have tremendous power in deciding whom to prosecute coupled with little oversight

Court Actors: Defense Attorneys

• Expected to represent clients as effectively as possible within courtroom rules

• Focus on five areas: – Ensure that the defendant’s rights are not violated – Ensure that the defendant is aware of all options – Provide the best, ethical defense – Investigate and prepare the defense – Argue for lowest possible sentence or best possible plea bargain

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Types of Defense Counsel

• Privately retained counsel

• Public defenders

• Court‐appointed counsel

• Contract system

The Legal Profession

• Has had long, colorful history • Until 1870s little control held over who called themselves a lawyer

• In 1878 the American Bar Association was created – Tasked with promulgating regulations and standards for practicing law

– Eventually all states created one and took over responsibility for their own regulations

The Legal Profession

• Bar membership requirements today (At minimum)

– Degree from accredited law school

– Passage of bar exam

– Background check

• Legal education – Casebook approach

– Socratic method