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Business Law
Principles and Practices
Goldman, A., & Sigismond, W. (2014). Business Law: Principles and Practices (9th ed.). South- Western Cengage Learning.
Cengage Advantage Books
PRINCIPLES AND PRACTICES
he Legal System in the United States d Its Constitutional Foundation
CHAPTER PREVIEW
... he Role of the Judiciary in the United States
- u ucture of the U.S. Judiciary Tur is diction ubject Matter Jurisdiction
Personal Jurisdiction 'urisdiction in Cyberspace
..,eState Court System -:-rial Courts of Limited Jurisdiction -mall Claims Court How to Make a Winning Case in Small
Claims Court Commercial Claims Court
rher Trial Courts of Limited Jurisdiction -rrial Courts of General Jurisdiction .._atermediate Appellate Courts and the Court
of Final Resort .Jrug Courts _ !enta l Health Courts
e Federal Court System ~e Federal Court Structure Federal Trial Courts =.arermediate Courts of Appeal -:be U.S. Supreme Court
articipants in the Legal System -:be Role of the Attorney --:-" e Role of the Judge and the Jury
e Constitutional Framework of the U.S. Legal System
.=eparation of Powers - dicial Review __ -commodation of Interests - -igation
onstitutional Rights- The Bill of Rights 25
CHAPTER~ HIGHLIGHTS",
~ Suppose ', ~You're the
--~UDGE
In this chapter, you will be introduced to the judicial branch of American
government, the courts. You will be given an overview of the courts, the
personnel who play primary roles in helping the courts to function prope
the types of cases that courts have the authority to decide. (It may surprise
that the U.S. Supreme Court will not hear every case that is presented for
consideration). The chapter concludes with some of the important
constitutional principles that have a significant effect on the U.S. legal syste~
and that sets this system apart from legal systems in other countries.
Facts Mason, a homeless person was charged with unlawfully entering Gormont's World of Entertainment situated in a large city. He entered after closing hours at around 2 A. M. without perm ission and stole several thousand dollars from vend ing machines, an open safe, and from several cash reg isters . He was taken into custody by the police and held for trial.
At Trial He appeared in court without funds and without an attorney and asked the court to appoint an attorney for him. His request was denied by the judge on the grounds that the state of Mississippi in which he lived provided attorneys only to indigent defendants charged with crimes that might result in the death penalty if they were found gui lty. Mason left to defend himself, was convicted and sentenced to prison. While in prison , he applied to the highest level court in his state (state supreme court) to have his case reviewed and overturned on the grounds that his constitutional rights had been violated . This request was denied . Mason then appealed to the U.S. Supreme Court. The U.S. Supreme Court accepted his case and ruled that his constitutional rights had indeed been violated .
Questions 1. Which of Mason's constitutional rights had been violated? 2. What document did Mason need to file with the Court to have his case tried
by the U.S. Supreme Court? 3. Was the U.S. Supreme Court required to take Mason's case?
The Role of the Judiciary in the United States ·- LEARNING OBJECTIVE~ Describe the role of the judiciary
in t he United States.
In Chapter 1, it was pointed out that nonpeaceful m ea ns of settling dispute s are not only unlawful, but could also create m ore tro uble. O f course, t wo people en- gaged in a d ispute cou ld simply forget what happened and get on w ith their lives. Sometimes that is what happens. In other cases, wh at does a person do ? One an- swer is to take the case to co urt. Remember, however, before a person can bring a lawsuit, t he case to be presented must have merit; that is , (1) t he case must be bro ught in good faith, and (2) the party bringi ng the case mu st have a factual basis for winning in court. Frivolous cases (cases w it h no merit) t ie up an already overb urdened legal system. Judges refer to frivol ous cases as absurd . Take t he case of the prison inmate who claimed his rights were violated because his cell mirror was too high to use while he shaved . Under federa l law, fr ivolous litigat ion has consequences . One example is that the losing p arty must pay t he prevailing party money for any damages suffered. Another fede ral law, aimed at attorneys, fines them for using frivolous arguments during any he aring or tr ial.
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"sdiction: power to hear and :::de a case
ding to sue: a person has = • mate issues giving him or her the ;al ri ght to bring a lawsu it
- pel! ate court : court that hears ~als of lower court decisions
Under the system of government in the United States, the courts represent the judicial branch of the U.S. government. As individuals living in the United States, we are guided by the rule of law, the highest authority in our society, whether that society is a village, a town, a city, a state, or a nation (the entire country). No person or institution is above the law. While this may seem harsh, we in this country should feel comfortable and yes, safe, because law is subject to interpre- tation and its application does not necessarily have a guaranteed outcome. The courts are the testing ground for interpreting the rule of law and settling disputes through a fair and rational process- deciding cases that come before it and then rendering a decision. (The Constitution provides the framework for its decisions). This process allows a person to protect his or her interests but at the same time ensures that the results of a decided case also protects the common good, mean- ing the well-being of the individuals within the society where the case is being decided. Whatever the issue- civil or criminal liability of a wrongdoer, enforce - ability of a contract, or the resolution of a constitutional question-when the case is decided, the court will enforce the law by imposing punishment for a criminal violation, or in the case of a civil violation, by awarding damages to the injured party or granting relief in equity. Keep in mind that while U.S . courts are interpreting law, they are in many cases setting policy. They have, for example, decided important cases brought by special interest groups in such controversial areas as discrimination, abortion, and the environment.
Structure of the U.S. Judiciary The United States has two separate and distinct court systems: (1) the federal (national) court system established by the U.S. Constitution and the U.S. Congress and (2) the state and local court system established in each state under state law. With courts located throughout the country, principally in the larger cities, the federal court system uniformly follows the same rules and procedures. In con- trast, each state has its own court system with courts located in virtually every town and county. State courts handle over 95 percent of all cases such as traffic offenses, divorces, wills and estates, and buying and selling property because all these areas are governed primarily by state laws. Consequently, these are the courts with which citizens have the most contact. If there were no state or local courts, many cases could not be heard at all because the U.S. Constitution limits the cases that can be brought in federal courts. If you recall, O.J. Simpson's civil and criminal trials were both heard in California state courts. Although rules and procedures vary somewhat among the states, there are similarities between the two systems. Both systems have three levels of courts with different types of jurisdiction:
• trial courts, where cases start (lower courts) • intermediate courts called courts of appeals that review judicial decisions
and jury verdicts in the trial courts • courts of last resort, which hear further appeals and generally have final
authority in the cases they hear
Jurisdiction When a certain court case arises, jurisdiction will determine which of the many different kinds of courts operating at different levels will hear it. Jurisdiction is the legal authority of a court to hear and decide a case. Trial courts have origi- nal jurisdiction because they try cases for the first time. Keep in mind that to bring a lawsuit, a party must have standing to sue. This means that the plain- tiff (person bringing the suit) must have a good reason to do so (i.e., a personal interest in the outcome of the lawsuit, such as suffering harm from an assault or robbery).
The next level of courts above the trial courts is the appellate courts . These courts have appellate jurisdiction, or the authority to review cases that have
general jurisdiction: power of a co urt to hear almost any case bro ught before it
limited jurisdiction : power of a court to hear only certa in kinds of cases
already been tried in the lower courts and to make decisions about these - without holding a new trial. Appellate judges determine only whether err· law are made during a trial. They reach decisions by listening to the ora: a;-_ ments presented by the attorneys for the parties to the appeal, reading the ten information (briefs) presented by these attorneys, and reviewing the reco:~ the trial court proceedings. No new information such as additional fact s or p:- is permitted. Appellate court judges may affirm the trial court decision , re,-e- it, or order a new trial. Further appeals in both federal and state courts are to the next level, identified in the above as courts of last resort.
At both the federal and state levels, there are civil and criminal cour ts. C courts handle cases involving disputes between individuals, between a pers and a business, or between businesses. Disputes are usually settled by an aw~ .. of money damages or a relief in equity to the "winning party." Criminal cou: hear cases between a governmental unit- such as the state or federal govern me::;- (acting for society) - and a person or business accused of a crime. Crim =-- courts determine whether a crime has been committed and also set punishme- - for those who are found guilty of committing a crime (most criminal cases t:ti:e place in state courts). Finally, a few special courts at both the federal and sta:~ levels deal only with certain types of cases.
Subject Matter Jurisdiction No court can decide every kind of case. A case can be properly brought in a certain court only if the court has jurisdiction over the person and over t he subject matter of the dispute. Jurisdiction over the subject matter mean s tha: the court can hear and decide only certain types of cases. Some courts han~ general (or unlimited) jurisdiction, the power to hear and decide almost an:· type of case brought before them; other courts have limited jurisdiction, t he power to hear only certain cases limited by type (such as civil or criminal ), by the amount of money involved, and by the geographic area. Some courts , fo r example, can handle cases involving civil money damage claims but only up ro a certain amount and only within city or county limits. Other courts can han - dle cases involving civil money damage claims of any amount within a wide geographic area. Still others deal only with specific disputes, such as those relating to juveniles.
Otero wished to sue Clawson for $100,000, claiming that a permanent injury resulted from a car accident due to Clawson's carelessness. Both parties reside in New York State, County of Monroe, Rochester, New York. This case lies within the jurisdiction of the New York Supreme Court Monroe County, which is a trial court in that state.
In this example, if Otero goes to the wrong court, proper jurisdiction will not exist, and she will not be able to obtain a valid hearing. Moreover, if the case is heard in a court without proper jurisdiction, the decision handed down will be unenforceable.
Personal Jurisdiction "Jurisdiction over the person" means that a court can hear and decide a case because it has authority over the parties in the case, generally in a certain geographic area. The party who brings the case into court automatically comes under the court's jurisdiction. The defending party is brought under the court's jurisdiction through a legal process that describes the nature of the complaint and names the person or legal authority requesting that the case be brought to court. For example, the issuance of a summons (described in Chapter 5) in a civil lawsuit brings the defending party under the jurisdiction of the court. Personal jurisdiction includes a person domiciled in a particular state and, according to
the U.S. Supreme Court, a nonresident temporarily present if the summons is served in that state.
Lloyd sued Schnell to recover a sum of money for a financial loss he suffered when Schnell backed out of a legal contract. Both parties live in the state of Nevada. Lloyd should file a lawsuit in the appropriate Nevada court and then issue a summons to Schnell so as to bring Schnell within the jurisdiction of that court.
In a criminal case, an arrest (described in Chapter 3) made by means of an arrest warrant issued by a judge brings a person accused of a crime (the defend- ing party) into court.
Jurisdiction in Cyberspace The term jurisdiction as described on pages 27 and 28 is a preelectronic age def- inition and generally refers to a court's power to hear a case and settle a dispute involving persons or property located within state boundaries but generally not beyond. This fundamental principle was established in 1877 by Pennoyer v. Neff, 95 U.S. 714. Since then, several cases have extended jurisdiction outside the boundaries of a particular state by enacting long-arm statutes based on political and commercial reality. There was pressure to provide citizens and businesses of a particular state with the ability to sue nonresidents in local course. For exam- ple, in 1945, the case of Washington v. International Shoe Co., 326 U.S. 310, established the "minimum contact" rule. In this case, the court held that a state may sue a nonresident corporation provided the corporation has regular and sys- tematic contacts within the state bringing the lawsuit and provided the exercise of jurisdiction does not violate the rules of due process and fair play. Several cases since International Shoe have invoked the minimum contact rule and allowed lawsuits involving people and businesses in other states. So the question arises: Does cyberspace require the formal creating of a separate jurisdiction? The answer is probably no because it has become clear from decided cases that a defendant does not have to be physically present in a particular locale for a per- son or business in one state to do business with a person or business in another state. However, for those situations in which U.S. laws are impossible to apply to the Internet without creating substantial limitations on the technology, cyber communities have been formed. Similar to an association of people, the cyber communities or organizations create and define laws applicable to their commu- nity and work with other communities to resolve issues when there are differ - ences through a process called computer-mediated communications.
eState Court System
LEARNING OBJECTIVE~ Outline the structure of the state
and local court systems found in most states in the
United States.
As noted earlier, each state, as well as the District of Columbia, has its own court system established by legislation and as well as a state's constitution. It is impor - tant to recognize that the names of the individual courts handling the same types of cases vary from state to state. Nevertheless, it is possible to make some general observations about the organization of state courts. Each state court system in- cludes (1) trial courts of limited jurisdiction, (2) trial courts of general jurisdic- tion, (3) intermediate appellate courts (but not in all states), and (4) an appellate court of final resort, which is often called the supreme court. The supreme court is analogous to the United States Supreme Court. Figure 2.1 shows a typical state court system. The vast majority of legal disputes in the United States are handled at the state court level. State courts have authority to decide nearly every type of case, subject only to the limitations of the U.S. Constitution, their own state con- stitutions, and state law. A state court decision generally is not binding on the courts of other states.
• A unit within each District Court but staffed with its own bankruptcy judges.
•• Has limited appellate jurisdiction from U.S. Bankruptcy Courts.
(limited appeals)
APPELLATE JURISDICTION
ORIGINAL JURISDICTION
FIGURE 2.1 The Federal and State Court Systems
.. A case may be "removed" from a state trial court of general jurisdiction to the U.S. district court if the case originally could have been brought in federal court.
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sm all claims court: cou rt that hears - 'lo r civil cases involving small ~"Tlounts of mo ney
Trial Courts of Limited Jurisdiction Trial courts of limited jurisdiction generally try traffic cases, as well as minor civil and criminal cases. These courts have such names as justice court, magis- trate's court, and municipal (city) court.
Small Claims Court A court of limited jurisdiction that is of special interest is the small claims court, sometimes called magistrate court or justice of the peace court. If you are in a seri- ous dispute with someone, you would not file in a small claims court. Small claims court is a local court established to provide a fast, informal, and inexpensive forum for resolving certain types of small disputes on civil matters. The average case is heard within thirty to ninety days after the complaint is filed. The actual hearing generally lasts one hour or less (sometimes only fifteen minutes), and there is no jury. It may even be possible to have a proceeding conducted after normal working hours. A criminal case cannot be settled in a small claims court. Small claims courts exist in all states and commonly hear cases involving violation of contract rights (e.g., loan repayment), negligence, nuisance, minor personal injuries (e.g., automobile accident), landlord-tenant disputes , breach of warranty, and property loss or damage claims . Keep in mind that, while small claims court proceedings are informal, the judge will be applying the same laws to your case as if your case were being tried in a more formal court. Only an individual 18 years of age or older can sue another person or a corporation in small claims court. If you are younger than eighteen, your parent or guardian may sue on your behalf. Court procedures are established by state law, and there are differences in the operating rules of small claims courts from state to state, including the maximum amount for which you can sue. The one aspect that appears to be the most varied from state to state is where to sue. It could be in the county where you live or in the county in which the defendant (person being sued) resides or works or has a place of business; or you can bring suit where the disputed activity took place (e.g., where a contract was signed or in a case arising from a personal injury, where the accident happened), or where a corporation does business . Nevertheless, how to prepare and present a case properly is similar in all states. The average case is heard within thirty to ninety days after the complaint is filed. A typical small claims court case might be a suit by a tenant against a landlord who for no good reason refuses to return the tenant's security deposit.
Levin, a tenant, rented an apartment from Hale, the landlord, for one year. Levin gave Hale a security deposit amounting to one month's rent. At the end of the one-year lease, Levin moved out, but Hale refused to return the security deposit, claiming tenant damage beyond normal wear and tear. Although Levin proved she had not caused the damage to the apartment, Hale still refused to return the security deposit. Levin sued Hale in small claims court to secure the return of the security deposit.
Although the tenant in this example had a valid claim, she might have been discouraged from pursuing it in another court where legal fees and court costs might have exceeded the amount of the security deposit. Small claims court was a convenient, inexpensive way to recover her legitimate claim. Some other disputes that are commonly brought in small claims court involve breach of contract and damages to property claimed to be caused by a person's negligent actions . For example, the computer repair person you hired carelessly caused your hard drive to crash and ruin your computer.
Advantages of Filing a Small Claims Court Claim Although the rules vary from state to state, and although the court's jurisdiction is limited in both subject matter and dollar amount, there are three distinct advantages to taking a case to small claims court. First, technical rules of evidence
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and procedure normally followed in a court trial are not strictly applicaL' Second, the parties may proceed without attorneys, although most states do - ~ bar attorneys from small claims court. (It has been noted by the National Cen- for State Courts that people who represent themselves in small claims cou rt just as often without attorneys.) Finally, a dispute that can be resolved on ly court action remains economically feasible because such action does not im·o· attorneys' fees.
Limitation on Amount of Your Law Suit The maximum amount for which a person may sue in small claims court varie-s by state and may move upward from time to time. The range in many states fa' '- between $2,500 and $25,000, with a concentration in the $5,000 and $10,0 range . Be sure to check your state's small claims court amount before you file.
If you are seeking an amount that exceeds the small claims court lim it fm· your state, you may still bring your case to small claims court, but if you wi:: your case, you will be unable to claim any amount over the jurisdictional limit.
You signed an agreement with a contractor to add a room to your house that you intended to use as a workout room. The cost was $40,000, which you paid upon completion of the room. One month later, you discovered deficiencies amounting to $5,000. The contractor refused to correct these deficiencies and so you hired another contractor to do the work and sued the original contractor in small claims court for the money. The jurisdictional limit in your state for bringing a small claims action is $2,000. Consequently, if you win your case, you will be «out" $3,000, and you will not be able to return to court again and demand this amount. You need to decide before you take action whether it is more important to collect what you can in small claims court or sue in a higher court on the chance that you will recover the total $5,000, but only after deducting attorney's fees and higher court costs.
Filing a Complaint A small claim is fairly easy to file. The injured party (the claimant or plaintiff simply goes to the small claims court clerk's office and fills out a complaint form stating the amount of money in dispute and the reasons for suing. (In many juris- dictions, a complaint form is available online, and in some states you are even allowed to submit the form online.) You will be asked by the court clerk to pay a modest fee. After the claim is filed, the court notifies the defendant (the person against whom the action is being brought), usually by certified mail within thirty days. The claims notice tells the defendant the date, time, and place where the case will be heard, a brief statement of the reasons the plaintiff is suing, and the amount of money involved. Keep in mind that you file a claim only if you have decided that you have a good case. Ask yourself, "Did I suffer real monetary damage, and did the person I plan to sue cause that loss?" Don't worry that you cannot define the legal theory on which to bring your claim. The judge will do that. Just be able to state the facts clearly. To illustrate, consider the following example:
You took your $1,500 tailor-made JOSEPH suit to Martin's Laundry and Dry Cleaning. The suit, only three months old, was returned with holes in the jacket and pants. In your complaint you might start off by saying: «[took one tailor-made suit to Martin's Laundry and Dry Cleaning, and it was returned in a severely damaged condition (holes in front of jacket and on left pant leg-photos attached). JOSEPH placed cost of repairing the damaged material at $350.
Keep in mind that the purpose of your complaint form is not to present evi- dence (this you will do at the trial or hearing) but simply to inform the defendant that he or she is being sued.
Court Procedures A trial (hearing) date is usually set within four to six weeks of filing. At the trial, the plaintiff (claimant) and defendant each has a chance to tell his or her story to the judge (without a jury) and to present evidence and/or witnesses. Keep in mind that while small claims court proceedings are informal, the judge will be applying the same laws to your case as if your dispute were being tried in a more formal court. Consequently, you are not going to get just a "Yes, you won," or "No, you lost" decision. If you are the plaintiff, you will present your case first. Be pre - pared with appropriate evidence on your behalf, and be brief and to the point. The judge usually has a crowded calendar and other people may be waiting to have their case heard after your trial is over. In the dry cleaning case, you could present either the suit or a photograph (most likely approach) of the damage, a canceled check for the purchase of the suit, and the bill from Martin's Laundry and Dry Cleaning indicating that you paid to have the suit dry-cleaned.
If it is an accident case, you may ask an eyewitness to appear on your behalf, or if the case involved a breach of contract, you would bring a copy of the writ- ten contract, unless the contract was oral; in the latter case, a witness to the con- tract would be helpful to you. If an eyewitness cannot attend or does not wish to appear on your behalf at the hearing, he or she may prepare a letter containing the relevant information (some small claims courts will not accept letters or writ- ten statements from witnesses). After hearing both sides of the argument, the judge considers the evidence and renders a decision. The decision will usually be mailed to the parties within a few days of the hearing. It would be rare for the judge to announce his or her decision immediately after the trial. Once the judge's decision is reached, it is entered in the court record and becomes officially known as a judgment, and the loser, who now owes money, becomes a judgment debtor.
Appeal The rules governing appeals vary greatly from state to state, so check your state laws to determine if you do have the right of appeal. A few states allow no appeal; a few other states allow either party to appeal. The common approach (most states) allows only the loser to appeal. If you defaulted (didn't show up for the hearing), you cannot appeal. In many states, appeals can only be based on a legal error or mistake (i.e., the judge incorrectly applied the law). For example, a defendant appealed claiming that, according to the laws of her state, she was entitled to a larger amount of damages than she was granted in a decision by the small claims court judge. The appeals court would hear this case based on mistake. A few states allow an appeal on the facts in the case, that is, that the judge came to the wrong conclusion in deciding who won the case. An appeal must be filed promptly, usually from ten to thirty days after the decision was made by the judge hearing the original case.
Collecting Your Small Claims Award The judgment you win (if you do) simply means that you have the right to col- lect the amount of money you were seeking from the defendant. Don't think, however, that you can just demand the money and you will receive a check in the mail from the defendant. You may receive that check, but most likely you will need to take legal action to collect what is owed to you because the defen- dant stated that he or she cannot pay or will not pay. Also, if the defendant has appealed, you will need to wait for the outcome of the appeal. If there is no appeal, you may then begin the collection process immediately; the judge will not participate in the collection process. Collecting the money is in your hands. Keep in mind that your judgment is valid for many years (in most states between ten and twenty years). You could start by sending a polite letter asking for payment. (Don't in any way attempt to harass the defendant into paying in the letter or go to his or her residence and verbally threaten him or her. If you
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do, you could find yourself being sued.) If you get no response, then there are legal options available to you. Here are some possibilities: You might be abl e r get an order from the sheriff or marshal directing the defendant's employer to take the money owed to you out of his or her wages (called garnishment) . O r. if you discover that the defendant has a bank account, you might be able to ge- an order from the sheriff or marshal directing the bank to pay the amount fr orr. that account. Or at great expense (probably up to 50 percent), hire a collectioc. agency to seek payment for you, or secure a lien on the defendant's real property. hoping to eventually to get paid when the defendant either sells or refinance- this property. Keep in the mind that these and other possibilities will take u your time and cost you money, and even so you may discover that the defend a m: is "judgment proof"; that is, the defendant has no money and is unlikely to acquire any in the foreseeable future. In the long run, you might simply say "forget it" and get on with your life.
How to Make a Winning Case in Small Claims Court To make a case in small claims court you must first convince the judge that yo u really have a case and that you can present it properly without a lot of confusing detail, especially if the judge is unfamiliar with the subject matter of the lawsu it. Suppose, for example, that you are suing a mechanic for improper installation of a new driveshaft. Here are some tips:
1. Be sure to gather all the evidence that will help prove your case once you appear before the judge. Proceed on the assumption that the judge knows nothing about cars, other than you need gas to make it run. Be prepared for the mechanic to claim that the driveshaft he installed will work for your car and that the problem is really other mechanical difficulties, which you did not ask him to repair. Counter this by obtaining a second opinion (in writing and notarized) from a reputable mechanic who examines your car. The report should state that what the first mechanic did displayed lack of knowledge and showed incompetence (carelessness) and that a mechanic is in the business of offering reputable services to the public. Have the written statement include the fact that vehicles need a particular type of driveshaft, depending upon the type of car. There is a particular driveshaft for rear-wheel drive vehicles, another for front-wheel drive vehicles, and still another for all-wheel drive vehicles. Then be sure that the mechanic states in the written statement that your mechanic installed a rear-wheel driveshaft in your car that actually requires a front -wheel driveshaft. Your case may be a little stronger if the mechanic giving the second opinion appears at the court hearing so the judge can ask questions if necessary.
2 . Provide the judge with a written statement detailing your financial loss . Your car does not turn properly after installation of the new driveshaft because the mechanic installed the wrong type for your car. The mechanic who installed the driveshaft charged you $2,000, and you are out this amount of money. If the mechanic who provided you a second opinion charged a fee, try recovering this fee as part of the damages.
3. Try to settle out of court if you can. Present your evidence to the mechanic who worked on your car and give him a chance to settle. The evidence you present may be sufficient to convince the mechanic not to spend time in court where he stands a chance of losing the case. If the mechanic sticks to his story, then file your complaint if you have not already done so. If you really need your car, and it is drivable (which it probably isn't) , hope that your case comes up soon after you file. If you can't wait or the car is not driva ble, have the work redone by a reputable mechanic (most likely the one who presented you with the written statement and will appear in co urt).
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commercial claims court: special - er court, similar to small claims :.:uri, that allows businesses to sue :entors up to a certain limit
Commercial Claims Court In a few states-for example, New York-where corporations and partnerships are not allowed to sue in small claims court, there is a commercial claims court in which businesses may sue debtors up to a certain limit (in New York the amount is currently $3,000). This court is especially convenient for small busi- nesses, which can take customers, subcontractors, and other businesses to court, typically to receive payment for their bills. Commercial claims court offers busi- nesses the same low-cost, represent-yourself alternative that small claims court offers to individuals. For example, a veterinarian who runs an animal hospital under the corporate name of "Caring for Animals" may take the owner of a dog treated at the hospital to court for not paying the bill.
Other Trial Courts of Limited Jurisdiction There are other trial courts that have a greater amount of limited jurisdiction to try cases. These courts have the authority to hear civil matters involving large sums of money (e.g., $25,000) and major criminal cases involving felonies. These courts may also have appellate jurisdiction to hear cases from the lowest courts of limited jurisdiction. There are also specialized courts with limited jurisdic- tion. Examples of these courts include the probate (or surrogate's) court, which handles wills, the administration of estates; and the guardianship of minors and incompetents, and domestic relations (or family or juvenile) court, which deals with family difficulties and juvenile delinquency cases.
Trial Courts of General Jurisdiction Trial courts of general jurisdiction may hear cases involving any question (civil or criminal), any amount of money, or any degree of crime. They generally handle all serious disputes. A civil injury case involving a large sum of money or a major crime could be handled by such a court. Pursuing petty claims in this court is dis - couraged if the case can be settled in one of the local courts of limited jurisdiction, such as a city or justice court. In some states, a trial court of general jurisdiction is called the superior court; in others, it is called the court of common pleas, the cir- cuit court, or the district court. In at least one state, New York, it is called the supreme court.
Intermediate Appellate Courts and the Court of Final Resort At a higher level of the state court system are the appellate (review) courts. As mentioned previously, these courts review cases decided in the trial courts of both general and limited jurisdiction and determine whether a mistake of law was made during the trial. A mistake of law may consist of a trial judge allowing attorneys to ask witnesses improper questions, for example. In about three-quarters of the states, intermediate courts of appeal exist to review these cases. Argu- ments in appellate courts are presented in the form of written briefs, or judges may hear oral arguments when they find it appropriate. In the remaining states, the court of final resort is the only appellate court. Where intermediate courts do exist, they usually decide a majority of cases, which relieves the burden of cases on the court of final resort. With a few exceptions, they are called supreme courts. As in the appellate courts, arguments in the court of last resort are made in written briefs submitted to the court and sometimes in oral arguments.
The state's court of final resort may be called by various names: the court of appeals, the supreme court of appeals, the supreme court, or the supreme judicial court. This court will hear a case that has come from a lower court through an intermediate appellate court only when permission is given to the appealing party by the intermediate appellate court. If an appeal is denied, the interme- diate appellate court's ruling stands. In limited cases, appeals may be taken directly to the state's court of final resort from the trial court, as when the question involves the constitutionality of a state or federal statute or the death penalty.
drug court: court that handles drug-related crimes
There is no appeal from the decisions of this court to a federal court unless a fed- erallaw or question of constitutionality is involved.
There is a common misconception that anyone can appeal a case. Actually, the opportunities for successful appeal are limited. The appealing party must show that he or she would have won the case if the error of law had not been made during the trial. Another factor that limits the appeals process is its cost. One major expense is attorney's fees. Another major expense is the cost of reduc- ing to writing the entire record of the court trial (word for word). A copy of this record of the trial must be presented to each appellate court judge so that he or she can study it in great detail.
Drug Courts Innovative courts called drug courts have proliferated across the United States to handle drug-related crimes such as possessing or purchasing drugs and drug peddling. Drug courts were established with the ultimate goal of stopping the abuse of alcohol and other drugs (including prescription drugs). Currently, all fifty states have working drug courts. Drug courts are intended to substitute mandatory treatment for incarceration. More than 1 million arrests are made each year for drug crimes, and efforts in regular courts to deal effectively with these crimes have failed. Diversion programs that placed defendants into drug rehabilitation programs did not work in many cases because oversight of such programs by drug treatment personnel was too loose. Defendants often dropped out, and the system often didn't catch up with them for months or years or until they were arrested for another crime.
Drug courts are generally designed to fit the needs of a particular commu- nity, with input from local drug court judges, prosecutors, public defenders, police, drug treatment center personnel, and community leaders. For example, many drug courts target first-time offenders, whereas others target habitual offenders . These drug courts have established a system of accountability on the part of a defendant, immediate consequences with teeth for failure to comply, and a reward system for completion of the program. The drug court program uses a nonadversarial approach; once a defendant is accepted into the drug court program, focus is on the participant's recovery and law-abiding behavior. Defen- dants aren't required initially to plead guilty to their crimes. Instead, they agree to enter a drug treatment program with the understanding that if they fail, they will be prosecuted on the original charges and end up in jail; if they are successful, however, the crime is often erased from their record. Typically, program partici- pants are monitored for progress. They must have regular drug tests, return to court periodically (e.g., once a month) for a review of their progress, undergo counseling, participate in a job-training program, and if necessary, work toward a high school diploma. Of course, a drug court program is not for everyone. A defendant with a history of violent crime, a drug-trafficking arrest, or more than a designated number of previous nondrug felony convictions will most likely not qualify for the program. Although it may be difficult at this time to measure suc- cess, some research findings show that defendants referred for treatment through a drug court stay in treatment until completion to avoid a jail sentence. Those in a position to make judgments are taking a wait-and-see attitude about the future of drug courts.
Mental Health Courts Mental health courts have been created in numerous jurisdictions across the United States. Congress approved legislation for these courts in the autumn of 2000 to target a problem facing many American cities: how to deal with people who are mentally ill, become involved in the criminal justice system, and end up incarcerated. Treating defendants w ith mental illnesses who have been sentenced to prisons and jails is costly, and it is considered nearly impossible to provide humane and just treatment under these conditions. In a mental health court, the
defendant (person accused of committing a crime), if found guilty, is "sentenced" to treatment rather than jail. Treatment involves regular sessions with a psychiatrist, a caseworker, and a probation officer. When the defendant is initially brought to court, the prosecutor and defense counsel work as a team to determine what is best for the defendant, now called the "client." In determining what an appropri- ate sentence should be, the judge acts as much like a social worker on the bench as a jurist, considering the client as someone who may need treatment in a hospi- tal or a community treatment center. The treatment plan employed is one recom- mended by a court clinician after interviewing the client. Supporters say that this approach is good because inmates with mental illness are more expensive to house in jail than in treatment centers. Their mental illness often delays their release. On the other hand, there is a public safety issue: Some clients arrested for violent mis - demeanors o"r drunken driving may have been given probation and assigned to check in at a local clinic for treatment but failed to report. Some prosecutors say that just because a person has a mental illness does not mean that he or she should not be held accountable for his or her actions . Consequently, one county partici- pating in the mental health court project has reserved the option of sending offenders to jail if they violate the terms of their probation. Appearance in a mental health court is strictly voluntary. Ever y client must agree to transfer the case from the court in which they would normally be tried.
In 2008, the first veterans' court in the United States was opened. There are now several nationwide. Th is court serves veterans whose mental health or addiction problems landed them in the criminal justice system and who were facing jail or prison time. It was felt that veterans serving in the various wars had special problems and should be handled differently. The normal mental health courts were just not able to cope with the special problems that returning veter - ans have.
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LEARNING OBJECTIVE ~ Outline the structure of the
federal court system in the United States.
Select the best answer from those given .
1. The authority of a court to hear a case is known as: (a) certiorari, (b) venue, (c) jurisd iction, {d) habeas corpus.
2. A court that has the power to hear almost any case brought before it has: (a) appellate jurisdiction, (b) constitutional jurisdiction, (c) limited jurisdiction, (d) general jurisdiction.
3. The United States has two separate and distinct court systems. They are: (a) federal system and county system, (b) federa l system and local system, (c) federal system and state and local system, {d) state system and county and local system.
4. Howell, a landlord, was involved in a dispute with a tenant over unpaid rent. Howe ll should bring suit against the tenant in: (a) commercial claims court, {b) mental health court, (c) probate court, {d) small claims court.
5. A typ ical state court system includes all of the fo llowing except: lower level trial courts, (b) intermediate-level appeals courts, (c) bankruptcy courts, (d) small claims court.
Article III (Section 1) of the U.S. Constitution created the Supreme Court and gave Congress the power to create inferior federal courts and to determine their juris- diction. Federal courts decide cases that involve the Constitution and federal laws enacted by Congress or the U.S. government, including cases dealing with the relation of the United States and other nations and their representatives or their citizens. They also deal with cases for which state court jurisdiction is inappropriate.
The Constitution provides that federal judges and justices of the Supreme Court be appointed for life terms. Appointments are made by the president and are con- firmed by the U.S. Senate.
The Federal Court Structure The U.S. Supreme Court is the highest court in the federal judiciary. Congress has established two levels of federal courts under the Supreme Court: the trial courts and the appellate courts. In addition, there are specialized courts with limited jurisdiction, including U.S. Bankruptcy Courts, which handle the cases of financially troubled debtors; the U.S. Court of International Trade, which settles controversies over matters involving international trade and customs issues; the U.S. Tax Court, which has jurisdiction over matters involving contro- versies between taxpayers and the Internal Revenue Service; and the U.S. Court of Federal Claims, which has jurisdiction over most claims for money damages against the United States, disputes over federal contracts, unlawful "taking" of private property by the federal government, and a variety of other claims against the United States. The decisions in these specialized courts may be directly reviewed in the U.S. Courts of Appeals. Figure 2.1 illustrates the organization of the federal court system.
Federal Trial Courts The federal district courts (referred to as the U.S. district courts) are the trial courts of the federal court system. Within limits set by Congress and the Consti- tution, the district courts have both general and original jurisdiction to hear nearly all categories of federal cases, including both civil and criminal matters. The United States is divided into judicial districts. The number of districts is determined by Congress and varies over time, primarily because of population changes. Each state has at least one district court, and the more populous states- such as California, New York, and Texas-have several. U.S. district courts are also located in the District of Columbia, Puerto Rico, and the territories of Guam, the Virgin Islands, and the Northern Mariana Islands. Currently, there are ninety-four federal judicial districts. Each district includes a U.S. Bankruptcy Court as a separate unit of the district court. (Bankruptcy cases cannot be filed in state court.) District courts hear cases that fall into two categories: federal issues and diversity of citizenship.
Federal issues are those that pertain to federal statutes (federal law) passed by Congress. They include crimes such as counterfeiting, mail theft, narcotics sales, bank robbery, violation of the federal income tax laws, and treason committed against the federal government; injury cases in which citizens suffer damages caused by federal employees; environmental pollution cases; problems with copyrights and patents; and broken contracts . Also included under the umbrella of federal issues are those that pertain to the U.S. Constitution-such as a violation of a person's rights under the Constitution-and problems con- cerning treaties of the United States.
Diversity-of-citizenship cases apply to citizens of different states who are in- volved in a lawsuit based on state laws. Such cases can be tried in a U.S. district court. The amount of the claim, however, must exceed $75,000. A major reason for allowing this type of suit is to prevent the court of one state from showing partiality for its citizen over the citizen of the other state during any court proce- dure stemming from the lawsuit. If the parties agree, however, their case may be tried in state court.
Marta Rollands, a citizen of Ohio, was walking along a sidewalk on a busy street in Athens, Ohio, one day when a large drum containing cleaning fluid rolled off a passing truck traveling at high speed. She suffered severe injuries and incurred a great deal of pain and suffering. As a result, she could not work for one year. Rollands now wishes to
writ of certiorari : grants permission for a case to be heard by the U.S . Su preme Court
sue the trucking company for $200,000 to cover her injuries, pain and suffering, and loss of work over and above what her insurance will cover. The trucking company does business in Ohio but has its headquarters in Indiana. Because the amount of the claim exceeds $75,000, Rollands could bring her lawsuit in federal court on the basis of diversity of citizenship.
In this example, Rollands could, if she wished, sue not in federal court but instead bring the lawsuit either in Ohio (because the trucking company did busi- ness there) or in Indiana (because the trucking company was headquartered in that state) . For the reasons stated earlier, however, it would be wiser for Rollands to bring the lawsuit in federal court.
Finally, as units of the U.S. District Courts, bankruptcy courts hear requests from individuals and businesses seeking relief because they can no longer pay their creditors and wish to either liquidate assets to pay their debts or create a repayment plan. (More will be said about bankruptcy in Chapter 35.)
Intermediate Courts of Appeal The United States, including the District of Columbia, is divided into twelve cir- cuits (regions), each with a court of appeals . Each circuit court hears appeals from all the district courts located within its circuit. A circuit includes three or more states. The District of Columbia, however, is a separate circuit and has its own court of appeals. A thirteenth federa l circuit court of appeals is authorized to hear appeals from federal courts of any d istrict (nationwide jurisdiction) if the case relates to certain copyright, trademark, or patent issues. It may also hear appeals from the U.S. Court of Claims and the U.S. Court of International Trade. Decisions of this court are binding throughout the United States. The thirteen federal circuits, including the District of Columbia circuit and the federal circuit, are shown in Figure 2.2.
Neither the federal appeal courts nor the U.S. district courts have jurisdic- tion to review decisions of the highest state courts .
The U.S. Supreme Court The Supreme Court of the United States, located in Washington, D.C., is the highest court in the federal court system and the highest court in the land (see Figure 2.1) . It is the only court created by the Constitution. When the Supreme Court rules on constitutional issues, that judgment is virtually final. A party seeking review will file a petition asking the Court to issue a writ of certiorari. This writ grants permission for the Court to hear this case. Once the Court ren- ders a decision, this decision can rarely be altered. Furthermore, all other courts in the United States are required to follow that decision in similar cases. This consistency helps guarantee equal justice for all Americans. The vast majority of its work is appellate. The Supreme Court does, however, have limited original jurisdiction in some instances- for example, in cases involving fore ign ambassa- dors-but the Court rarely exercises this power.
Each year thousands of civil and criminal cases are tried in state and federal courts, and each year the Supreme Court receives thousands of petitions from these courts requesting certiorari. Whether the Court will issue a writ is entirely within its discretion. The Court is not required to issue one, and most petitions for writs are denied. Typically, the Court will grant permission if a constitutional issue is involved. However, it only hears on average between 150 and 200 cases that deal with the most important legal questions in the nation. In those civil cases that the Supreme Court dismisses, the preceding judgment by a federal court of appeals or a state's highest court stands as the final decision in the case. If certiorari is sought from a decision in a criminal case and denied, the criminal defendant who originally took the case to the Supreme Court, may request a writ of habeas corpus, which is a demand to have the case reviewed.
FIGURE 2.2
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The Thirteen Federal Judicial Circuits
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DISTRICT OF COLUMBIA CIRCUIT
Washington, D.C.
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FEDERAL CIRCUIT
Washington, D.C.
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u.s. SUPREME COURT
U.S. Supreme Court may hear appeal if a constitutional issue is involved.
State court of final resort rules on case.
Loser takes case to state appeals court.
I
Appeals court ruling is submitted to U.S. Supreme Court.
Loser takes case to a U.S. circuit court of appeals.
Case is tried in a U.S. district court.
Plaintiff or defendant loses in state trial court.
State Route Federal Route
FIGURE 2.3 The Road to the Supreme Court
The justices of the Supreme Court meet to decide which appeals they will hear. By tradition, most appeals will be heard only with the consent of at least four justices.
The Supreme Court, which has national jurisdiction, can hear appeals from any of the thirteen U.S. courts of appeals and from the highest state courts when a question about a constitutional issue or some other federal question is involved. It usually hears only cases that involve matters of great national importance and not cases that affect only the parties actually involved in the lawsuit. Ordinarily, a case must first be tried in one or more of the state or lower federal courts before it will be heard in the Supreme Court. Sometimes decisions rendered in the U.S. district courts, special federal courts, and the highest state courts may be appealed directly to the Supreme Court (see Figure 2.3).
The statement "I'll take my case all the way to the Supreme Court" is more an expression of a person's frustration or dissatisfaction with a lower court ruling than a reality. Those who direct an appeal to the Supreme Court cannot demand, as a matter of right, that the Court hear their case, even if a federal question is involved. In other words, there is no absolute r ight of appeal to the U.S. Supreme Court. Actually, very few cases go all the way to the Supreme Court; only the nine justices who compose the Court (eight associate justices and the chief justice) and hear the cases decide which ones they will take. There is good reason for this practice. Each year, thousands of civil and criminal cases are tried in state and federal courts.
articipants in the Legal System
LEARNING OBJECTIVE~ Name and describe the duties of
the people who play primary roles in helping the federal and state courts function.
The federal and state courts require the assistance of many people. Some of the personnel who play primary roles in helping the courts funct ion smoothly are the attorney, the judge, and the jury.
The Role of the Attorney An attorney is professionally trained and licensed to practice law and perform various roles in the justice system. During a court trial and in prior court pro - ceedings, your attorney must zealously advocate for you. Keep in mind that your
attorney, in addition to his or her relationship with you before and afi-e;- - must interact with the court, opposing counsel, and other parties. T hes tions, however, are strictly regulated by law as well as by a code of proies:.!.__ responsibility and rules of ethics .
Attorneys also conduct other business, such as drafting wills and se:- domestic or marital dispute. In serving clients, the attorney must provide - possible advice and must represent you with skill and integrity. In prepar...::;.= meet with you, the client, to help resolve a legal matter or to defend you in :: on a civil or criminal matter, the attorney must spend large blocks of time side the office preparing.
It is important to know when to consult an attorney. Sometimes it is a... lutely essential. An arrest or an indictment for a crime (discussed in Chapter .3 an example of a situation in which legal counsel is essential. The risks of 0.::- __ treated unfairly or improperly, of being held without bail, or of being f guilty and being sentenced improperly are too great to bypass legal advice. Ii have been accused of a crime and you cannot afford an attorney, the cour"L appoint an attorney to represent you.
You should also consult an attorney before executing certain legal d ments. For example, contracts are binding legal documents that m ay serious, long-term effects. An attorney may be helpful in negotiating the terffi5 a contract.
At other times, the services of an attorney are advisable, but not essen Planning for the development of real estate or for the start of a business is oi- helped by the advice of a knowledgeable attorney. Seeking and obtaining fin a:::.:- ing for the purchase of a home or the expansion of a business are also occas io; when the assistance of an attorney is helpful.
There are many ways to find a reliable attorney. The bar association in y community is a good source of information. Other sources are friends, rel atiy-- employers, accountants, bankers, and other professionals. In addition, many atro:- neys today advertise and provide information about their areas of specialization.
The Role of the Judge and the Jury A trial judge is the person who presides over a trial, listens to attorneys argue their clients' cases to ensure that the evidence presented during the trial on beha:: of the parties is relevant, and determines that the rules of trial procedure are no: violated. The judge rules on points of law that arise during the trial, and at t he conclusion of the trial, he or she instructs jurors regarding the law that applie s to the case before they retire to the jury room. If there is no jury, the judge alone decides the outcome of the case. In criminal cases, it is the judge who sentences those who are found guilty. In felony cases, the defendant has a constitutional right to a jury trial but may waive this right. If the defendant waives this right . the case will be decided by the judge.
The jury is a body of citizens randomly chosen from a cross-section of the community in which the trial is to be held. Juries are used in both civil and crim- inal cases. You are entitled to a jury of your peers. A right to trial of your peers, however, doesn't mean that you have the right to a jury of people just like your- self. For example, a female defendant can't request an all-women jury. Rather, a jury of your peers means a representative selection of members of the commu- nity. Trial by jury in serious criminal cases is guaranteed in the Sixth Amend- ment and in the constitutions of many states. Supreme Court decisions interpreting the due process clause of the Fourteenth Amendment have applied the Sixth Amendment guarantee to state criminal cases, Duncan v. Louisiana, 391 U.S. 145 (1968). It is interesting to note that nearly a million Americans serve on juries each year.
During a trial, it is the jury that decides what really happened. Its role is to listen to the facts presented during a civil or criminal trial, weigh the testimony,
determine which of the facts presented are true, and then decide on money dam- ages, equitable relief, or punishment. In both civil and criminal cases, the juror is expected to be impartial and to decide the facts based on the evidence pre- sented at trial and not based on any fixed personal view. The number of jurors will vary depending on whether the trial is civil or criminal and according to the particular state in which the jurors reside.
More information about the roles of the attorney, the judge, and the jury is given in Chapters 3 and 5.
The Constitutional Framework of the U.S. Legal System
LEARNING OBJECTIVE ~ Demonstrate an understanding
of the constitutional framework of the U.S .
legal system.
separation of powers: concept of ind ependent branches of government
judicial review: power of a court to review the decisions of a lower court
The legal system of the United States is unique. Although other countries have legal systems that resemble ours, the U.S. system combines elements almost unknown in other countries. The following sections discuss briefly the constitutional principles on which this system is based.
Separation of Powers The U.S. system of government and law is based on a concept known as separation of powers, which is set out in the U.S. Constitution. This concept establishes three distinct and independent branches of the federal government: the legislative branch, Congress, which makes laws; the executive branch, headed by the president, which enforces laws; and the judicial branch, the Supreme Court and lower courts, which interprets the laws. Each branch is independent of the others, and each has its own predominant power. This organization of the federal government was established when the Constitution was originally drafted. It was meant to prevent any one branch from obtaining more power than another branch and from gaining absolute control of the government.
As a practical matter, the concept of separation of powers is not always followed. Courts often "make law" by interpreting existing law. That interpretation may change a law in the same manner that a legislature might change it. Courts also make decisions that are often political in nature, such as deciding whether a certain politi- cal party may appear on an election ballot. These acts are incidental, however; for the most part, our judicial system concentrates on interpreting laws.
A distinctive characteristic of our legal system is that it combines statute laws (laws enacted by legislatures) and decisions made by courts . In contrast, most other civil law systems rely almost completely on statutes.
Another important principle of our legal system is that of "constitutional- ity." The U.S. Constitution is the supreme law of the land. Each state also has a constitution that is the supreme law in that state. Statutes, governmental actions, and court decisions may be declared invalid if they violate the principles of either the state or the federal constitution.
Judicial Review The concept of judicial review, while not mentioned in the U.S. Constitution, is an important part of our legal system. It gives higher courts the power to review decisions of a lower court and rule on their constitutionality. Federal courts review acts of the U.S. Congress and state legislatures, and the U.S. Supreme Court reviews decisions of the highest state courts. This review process allows decisions and laws to be reversed or changed if they are not in harmony with existing laws and constitutions. The Supreme Court case of Marbury v. Madison, 5 U.S. 137; 2 L. Ed. 60, established the basis for the concept of judicial review by declaring an act of Congress unconstitutional. In a more recent decision, Roe v. Wade , 410 U.S. 113; 93 S. Ct. 705; 35 L. Ed. 2d 147, the Court struck down a Texas statute that made performing an abortion a crime.
accommodation of interests: acknowledgment of the equitable consideration of parties involved in a dispute
litigation : lawsuit or legal action
Judicial review is a cornerstone of our Constitution. In the United States, our courts serve as the supreme protector of the rights of the individual. In no other country do so many citizens look to the courts to advance the interests of both individual citizens and society in general. In other countries, those who belieYe that their rights are being violated seek help from the legislature or from t he administration. In this country, it is more likely that these matters will be brought to the courts.
Accommodation of Interests Another principle of our legal system is that of accommodation of interests. As it is practiced in the United States, law is not simply a matter of right versus wrong. Law is more a matter of acknowledging the equitable considerations of the parties involved in a dispute. A tenant, for example, may be evicted for non- payment of rent. A court, however, will often give the tenant time to raise the money needed to pay the rent, even though the law doesn't provide for this. This action helps the tenant and may prevent the tenant from becoming a burden on society.
Litigation Our legal system operates almost exclusively within the framework of litigation- that is, a lawsuit or legal action. The Constitution does not give the courts the power to offer advisory opinions or to answer hypothetical questions. Courts may provide answers only to the questions brought before them in the form of law- suits. This framework ensures that the courts will not interfere with the rights and duties of the legislative and executive branches of government.
Judicial decisions that are based on litigation depend on adversarial system, a development of the common law. Opposing parties enter our courts for a trial be- fore a judge or a judge and jury and in the presence of an audience, the public. They are represented by attorneys who are adversaries (opponents) of each other. The system provides each side with the opportunity to present its case (and to point out the weaknesses in its opponent's case) to a neutral judge. The lawyers on each side follow the same statutes, case law, and rules of procedure. Each attorney attempts to ensure that her or his point of view should prevail and that the opposing attor- ney's point of view should lose. They do so by producing evidence in their client's favor and by attempting to disprove the evidence presented by the opposing party. The underlying thought is that this process will bring out all important evidence and that the result will be the truth. In reality, however, one party to a lawsuit may have advantages that are powerful enough to affect the outcome of a trial. The ability to hire a team of attorneys or a single attorney with a high degree of exper- tise, experience, and skill, or the ability to pay expert witnesses and jury consul- tants, can help win cases that might otherwise have been decided in favor of the opposing party.
All this having been said, you should be aware that formal adversarial tri- als are not always necessary. In fact, the majority of civil and criminal cases are resolved without a trial. The defendant in a criminal action will either plead guilty or negotiate a plea bargain asking to plead guilty to a lesser charge. Similarly, many civil cases are settled before trial through pretrial con- ferences.
Constitutional Rights-The Bill of Rights We who live in the United States want our government located in Washington, D.C., to follow the U.S. Constitution wh ile governing. What we do not want our gov- ernment to do is to violate our individual rights that are incorporated into the
RYou t eac
Bill of Rights: first ten amendments :: the U.S. Constitution
Reynolds, an unemployed 25-year-old, was stopped on a busy expressway by city police officers in his home town of Nashville, Tennessee, for an alleged violation of motor vehicle laws. Police claimed that Reynolds had been clocked driving at over 95 miles an hour but refused to stop for two pursuing patrol cars. (It was well-known through the car manufacturers published literature that the model car Reynolds was driving was incapable of speeds over 70 miles an hour). During the police chase, Reynold's car was forced off the road and three police officers immediately worked their way toward Reynolds to make an arrest for speeding. Reynolds was frightened since the police officers didn't seem interested in hearing what he had to say about the charge of driving 95 miles an hour. They brutally attacked him, kicked him in the knees, and punched him in the face. They then struck him with their nightsticks while he was on the ground. He was taken to a hospital for treatment, released, and then thrown in jail for three days before seeing a judge for an initial hearing to officially be told of the charges against him. While in jail , Reynolds requested to talk with an attor- ney but his request was denied. During an interrogation, Reynolds was forced into admitting that he was driving over 95 mph while the speed limit was 70 mph.
Questions 1. Every U.S. citizen has certain basic rights and civil liberties. In Reynolds case,
which of his basic rights and civil liberties were violated? 2. If this case goes to trail, will Reynolds be tried in a civil or criminal court? Explain
the advantages and disadvantages. 3. If Reynolds is convicted in the lower court that has authority to try his case, may
he appeal to a higher level court? 4. What will happen if Reynolds cannot afford an attorney?
U.S. Constitution. In fact, we don't want anyone-those associated with state and local government, businesses, friends, neighbors, or groups of individuals- promoting a cause to interfere with our constitutional rights embedded in the first ten amendments to the Constitution, commonly known as the Bill of Rights. Originally, the Bill of Rights limited only the powers of the federal government. As the result of passage of the Fourteenth Amendment to the U.S. Constitution, however, most of these rights provide protection against state actions. Keep in mind that the rights provided by the Bill of Rights are not absolute. They are written in general terms; consequently, challenges have left the U.S. Supreme Court to interpret (give meaning to) an amendment. Let us look closely at some of these amendments .
The First Amendment is considered the most important amendment in the Bill of Rights because without the freedoms in this amendment, it would not be possible for Americans to assert any other rights they have. It guarantees freedom of expression, which includes the five freedoms of religion, speech, press, assem - bly, and petition. Speech can take many forms. The spoken and written word, artistic media, and even symbolic action such as burning a flag as a political pro- test have all been held to be protected speech. There is a strong desire to protect speech as a fundamental right no matter how offensive it may be . As the result of the Supreme Court case Reno v. American Civil Liberties Union, 117 S. Ct. 2329, 138 L. Ed. 2d 874, protected speech now includes electronic speech (the Internet). This includes traditional forms of speech displayed as words or images on a computer, as well as Internet addresses (e.g., a person's speech on a Web site or bulletin board) or domain names and some aspects of software programs. In setting the stage for electronic speech to be included among those areas of speech
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to be protected, the Supreme Court recognized that in a democracy there is flow of information around the world, much of which constitutes free e_ sion. Placing electronic speech under the umbrella of speech protected First Amendment has caused some problems. For example, there has v-- strong movement in the United States toward "hate speech" and using the and chat rooms to carry on these activities. While "hate speech" is protec:e-_ a point, danger arises in the difficulty of determining at what point the effe.:- this speech incites others to perform illegal acts. Another example is the - culty in determining the appropriate limitations to place on speech before ing access by children to material on the Internet. Attempts by Congress to laws protecting minors (children under 18 years of age) were declared u nco- tutional because the wording was too broad and too vague and was still like. be an unconstitutional infringement on free speech. The result of the back-a nd-fG::: attempts by Congress and the courts to agree what should go into a law proce:- ing minors from the abundance of pornographic and adult material avail able the Web was to criminalize only the use of an interactive computer system - transmit indecent communication to any person under 18 years of age. o-·- forms of speech protected by the First Amendment are commercial speech ~ corporate political speech. Substantial protection is given to both. Commer. speech generally takes the form of advertising by businesses. In the intere protecting consumers from advertising deemed false, or, under certain circlll::- stances improper, a state may restrict certain types of advertising. In regard ;:. corporate political speech, corporations are, like individuals, free to expres themselves on controversial issues as, for example, supporting certain cand ida-- campaigning for political office.
The Fourth Amendment protects the individual's right to privacy by prohiL·- iting unreasonable search and seizure by the government. If an unreasonab~"' search and seizure should occur, the evidence obtained cannot be used in a t ria The Fifth Amendment is significant in that it guarantees due process of law (fairne __ throughout the criminal justice process. It mandates that the justice syste respect the rights of an accused person from the time of arrest, investigation a - the events leading to arrest and during any interrogation. Being fair includes th right of the accused person not to give testimony that might subject him or her t criminal prosecution and the right to object to charges made against him or her before a judge. The Sixth Amendment also guarantees due process. It outline_ the rights of the accused to have a speedy trial, to be informed of the charge- made against him or her, the right to call witnesses, and the right to an attorne~ in a criminal trial when the defendant is charged with a serious crime. It is up ro the government to prove guilt, not up to the individual to prove innocence.
With a few exceptions, the Fourteenth Amendment (as noted above) applie the Bill of Rights to the states. It guarantees the equal protection of the law to all persons. Equal protection means that the state and federal governments cannot treat one person differently from another unless there is a legitimate reason for doing so .
Answer True (T) or False (F) . 1. A federal case, civil or criminal, generally originates in a
federal district court. T F 2. The Supreme Court of the United States is the only court created
by the U.S. Constitution. T F 3. The First Amendment to the U.S. Constitution protects against
unreasonable searches and seizures. T F 4. The concept of judicial review is an important part of our legal system. T F 5. An accused person brought to trial for a serious crime does not
have a constitutional right to a jury trial in some jurisdictions. T F
Key Points in Chapter • • • Under the system of government in the United States the co urts represent the judicial branch of government. They ca rry out these responsibilities by deciding cases (render- ing a decision). Courts may decide cases only if they have jurisdiction (the authority to hear a case). Jurisdiction may be original (authority to try a case for the first time) or appellate (the authority to hear a case that has already been tried in a lower court).
The United States has two court systems: the federal established by the U.S. Constitution and the U.S. Con- gre ss and the state and local court system established in each state under state law and a state's constitution. At both the federal and the state levels, there are both civil and criminal courts.
Each state has (1) trial courts of limited jurisdiction, 2) trial courts of general jurisdiction, (3) intermediate
appellate courts, and (4) an appellate court of final resort highest court in the state often called the supreme court).
T hey also have courts of special interest, including
(1) small claims court, (2) drug courts, and (3) mental health courts . A small claims court provides a fast, non- technical, inexpensive hearing on a claim up to a certain amount that varies from state to state.
The federal court system established under the U.S. Constitution provides for the U.S. Supreme Court (the highest court in the land) and lower courts estab - lished by Congress as deemed necessary. Under this authority, Congress has established U.S. district courts (trial courts- at least one in every state); U.S . Circuit Courts of Appeals (a circuit includes three or more states); and special federal courts. Bankruptcy courts are units of the U.S. district courts.
The attorney, the judge, and the jury play key roles in helping the courts to function smoothly.
Several constitutional principles significantly influ- ence the U.S. legal system: separation of powers, judicial review, accommodation of interests, litigation, and con- stitutional rights.
Important Differences Between Federal and State Courts
U.S. Supreme Court was created by Article III Section of the United States Constitution.
The U.S. Supreme Court can only rule on matters involving federal issues (e.g., federal laws passed by Congress); cases involving citizens of different states; bankruptcy; and issues pertaining to the U.S. Constitution.
Federal judges are nominated by the president and confirmed by the senate. Judges hold offices for life.
State courts are established by the constitution and laws of each state.
State supreme courts can rule only on the meaning of laws and statutes within its own borders. A state court, however, cannot make a decision that conflicts with the U.S . Constitution.
Common disputes tried in state courts include crimes under state law, contracts , famil y matters, traffic violations, pe rsonal injuries (torts), and inheritance matters.
State court judges come into office by election or by appointment, either for life or for a specific number of years.
• [n in st a nce s when federa l a nd st ate laws overl ap, th e case ca n be t ri ed in both a state a nd fe de ral co urt. (Thi s wo uld not be double jeopard y.)
lm~o~tant Legal T~r"!s --------- accommodation of interests
app ellate court
Bill of Rights
-ommercial claims court
drug court
general jurisdiction
judicial review
jurisdiction
uestions and Problems for Discussion
limited jurisdiction
litigation
separation of powers
small claims court
standing to sue
writ of certiorari
- - ----- 1. Describe the role of the judiciary in the United
States. 2 . What role does the state judiciary system serve? 3. Johnson, who lives in West Virginia, is suing
R ichards, a citizen of New York State, for severe
injuries (loss of a limb and immobility for several months) received in an automobile accident in West Virginia. Richard's carelessness caused the accident. Johnson's injuries amounted to over $2 ,000,000. Could this case be brought in a federal court?
4. What are some strong reasons for taking your case to a small claims court?
5. Where in the U.S. Constitution will you find the due process clause?
6. You are a resident of New Jersey. While at a mall, you were assaulted by a gang. You were severely injured and blinded in one eye. May you sue the gang for monetary damages even though the gang was arrested and convicted for the assault upon you?
7. Vira, who lived in Virginia, was owed $80,000 by Caldwell, who also lived in Virginia. Vira sued in a state court to collect the amount due and won. Caldwell was unhappy with the decision and appealed to the highest state court, where she also lost the case. Caldwell then thought about appealing to a federal court, hoping for better
treatment. Does a federal court have jurisdiction to hear her case?
8. Candidates running for the office of city clerk petitioned the city manager to hang political poster on city stop signs, lamp posts, and utility poles to promote their election but discovered that a city ordinance prohibited the positing of signs on publ ic property. The city manager stated that posting sig n on public property was not allowed because they detracted from the main purpose of the ordinance , which was to improve the appearance of the entire city. The manager suggested other ways to promote their candidacy that did not violate the city ordinance. The candidates claimed, however, that this city ordinance was unconstitutional because it violated their rights to free speech. How would you decide this case?
