answer legal questions

· 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