The American Legal System
& the Federal Courts
Five Key Functions of Law in
Democratic Societies
Provide security for people and property
Under rule of law, enhance predictability.
Define rules for acceptable/unacceptable
behavior and resolving conflict
Reflect and enforce societal values
Determine costs and benefits associated
with societal goods.
The American Legal Tradition
Civil v. Common Law
Most democratic industrialized countries
(includes European countries & Japan) have
civil law tradition.
legal system based on detailed, comprehensive
legal code.
In contrast, U.S. has a common law
tradition
legal system based on precedent- the accumulated
rulings of judges over time. Known as stare
decisis.
The American Legal Tradition
(cont.)
Adversarial v. Inquisitorial Legal Systems
Many democratic industrialized societies
use inquisitorial systems, designed to
resolve truth (who is guilty) through use
of active judges who seeks evidence and
question witnesses.
By delegating fact finding to neutral judge,
such trials are generally faster and cheaper.
Judges in inquisitorial systems wield more
power, lawyers less power.
The American Legal Tradition
(cont.)
Adversarial v. Inquisitorial Legal Systems (cont.)
U.S. utilizes an adversarial trial system designed
to resolve conflict by allowing opposing sides to
present evidence, moderated by a neutral,
passive judge who applies the law.
Trials are longer, and subsequently, more costly.
Based on fundamental American premise of “innocent
until proven guilty.”
Reflects our cultural emphasis on individualism and
procedural values, and gives more power to lawyers.
The American Legal Tradition
(cont.)
The U.S. adversarial system tends to be litigious
(in other words, its common for citizens to seek
resolution of conflict through the courts).
Different views on whether our society is more
litigious than other nations.
More civil suits in U.S. than many other countries.
Amount of litigation tied to cultural values and lack of
alternative governmental mechanisms to seek compensation
and security from risk.
American concept of “total justice” (blaming others
and expecting compensation)-Discuss
Large number of “frivolous lawsuits.”
Types of Law in the U.S.
Substantive v. Procedural Law
Criminal v. Civil Law
Constitutional Law
Statutory Law
Administrative law
Executive Orders
Substantive vs. Procedural Law
Substantive Laws are laws whose actual content,
or “substance,” defines what is legal and illegal.
Procedural Laws establish the procedures
involved in applying and enforcing laws
Procedural Due Process refers to our system of
specifying the procedural rights for individuals dealing
with the legal system
Given their different purposes, these two types
of law sometimes clash.
Criminal vs. Civil Law
Criminal Law prohibits behavior that government
determines as harmful to society
Criminal laws referred to as “crimes against the state”
Penalty if found guilty is some form of payment to the public
(such as fines, community service, jail time, or even death)
Examples include felonies and misdemeanors
Civil Law regulates interactions between individuals or
parties.
A violation of civil law is called a tort, instead of a crime.
Damages awarded in civil cases can be compensatory as well as
punitive.
Burden of proof is higher in criminal cases (must prove guilt
“beyond a reasonable doubt”) than in civil cases (must
prove responsibility by a “preponderance of evidence.”)
Statutory Law, Administrative Law
& Executive Orders
Statutory laws are made by Congress and state
legislatures.
Made by the elected representatives of the people, statutory law lies at
the heart of the democratic process in America.
Statutory law can address virtually any behavior
Statutory laws are limited by constitutional law and the will of the
people.
Administrative laws consist of the rules and regulations
enacted by bureaucratic agencies and departments.
Authority for issuing administrative law rests through legislative
delegation of broad administrative discretion to bureaucrats.
Executive orders are made by the president, do not
require congressional authorization, and are not binding
on subsequent administrations.
Constitutional Law
Constitutional law consists of:
Explicit laws found in the Constitution and
subsequent amendments establishing: the powers
and restrictions on government; interrelationships
between different governmental actors; and
guarantees of fundamental freedoms and rights.
The body of judicial decisions regarding the meaning
and applicability of these laws.
Constitutional law has evolved over time with
changing circumstances and judges.
The Least Dangerous Branch?
Alexander Hamilton sought to ease concerns held by
opponents of Constitution regarding the lifetime tenure
of judges (during good behavior) by declaring that the
courts would be the least dangerous branch because
they would have "neither force nor will, but only
judgment.”
Hamilton saw constitutional checks on the judiciary in
impeachment or constitutional amendment. But both require
extraordinary majorities
At same time, Hamilton spent much time addressing the crucial
role played by the Supreme Court in serving as an intermediary
between Congress and the people, making sure that the laws
passed by Congress were constitutional.
An Imperial Judiciary
The Federal Judiciary Today:
Decides what “is” and what “is not” constitutional
through exercise of judicial review.
Has major impact on issues ranging from religious freedom
and privacy rights to defining the limits of executive,
congressional, and state powers.
In our increasingly litigious society, policy issues
increasingly resolved through the courts:
Federal courts deal with over 324,000 cases annually (over
890 million filed at state level!)
The Constitution & the Federal
Judiciary
Article III, Section I (Read)
“The judicial Power of the United States, shall be vested in one
supreme Court, and in such inferior Courts as the Congress may
from time to time ordain and establish.”
Federal judges appointed for life on demonstrating
“good behavior.”
Judicial pay cannot be reduced while in office.
Federal judges appointed by the president with the
“advice and consent” of the Senate.
Original jurisdiction of the Court narrowly prescribed, all
other cases fall under appellate jurisdiction.
Judicial Power of the U.S. Supreme
Court
Original jurisdiction limited to:
Cases arising under the Constitution & U.S.
laws/treaties
Cases of admiralty or maritime jurisdiction
Cases in which U.S. is a party.
Controversies between a state & citizens of another
state.
Controversies between two or more states.
Controversies between citizens of different states.
Controversies between citizens of the same state
claiming lands under grants of different states.
Controversies between a state, or the citizens thereof,
and foreign states
Cases affecting ambassadors or other public
ministers.
Judiciary Act of 1789
Marks first attempt by Congress to define the
structure of what has evolved into our modern
federal court system.
Established three-tiered structure of federal court
system.
Initially, circuit courts (courts of appeals) functioned
as trial court for important cases and composed of
one district judge & two itinerant Supreme Court
Justices who met as a circuit court twice annually (did
not become exclusively appellate courts until 1891)
Supreme Court initially set at six (6) justices.
How Many Justices on the Bench?
•Congress determines
the size of the Supreme
court
•The number of Justices
on the Supreme Court
has varied over time
from six to ten. Since
1869, there have been
nine Justices on the
Supreme Court.
The Origins of Judicial Review
Judicial review is the power of the Court to
review whether actions by the other branches
and states are constitutional.
Hamilton emphasized the role of the Court as an
intermediary between Congress and the people,
making sure that the laws passed by Congress were
constitutional.
Judicial Review established in Marbury v.
Madison (1803)
Three issues involved in this case:
Is Marbury entitled to the commission granted him by outgoing
President Adams?
If Marbury is entitled, do US laws provide remedy?
Does such remedy lie in the issuance of a Writ of Mandamus from
the Supreme Court?
Judicial Review
Extension of Judicial Review
In Fletcher v. Peck (1810) applied to the states.
In Youngstown Sheet & Tube v. Sawyer (1952),
judicial review applied to the President.
Judges have used this power sparingly.
The power has only been used about 140 times to
strike down acts of Congress.
Used more frequently (over 1200 times) to invalidate
acts of state legislatures.
Power given to the Court through Judicial Review runs
counter to democratic theory in that an unelected branch
can check power of elected branches.
The American Court System
The American Court system is a dual system:
state courts--actually 50 different 'systems'
federal courts
Both systems have three tiers:
trial courts--litigation begins and courts hear the facts
of the case at hand (original jurisdiction)
appellate courts--decide questions of law, not fact
(appellate jurisdiction)
high or supreme courts
The Federal Selection Process
The selection of judges is a very political
process.
Judges are nominated by the president
and confirmed by the Senate.
Often presidents solicit suggestions from
members of the House of Representatives,
Senators, their political party, and others.
Provides president opportunity to put
philosophical stamp on federal courts
Who Are Federal Judges?
Typically federal judges have:
held previous political office such as
prosecutor or state court judge
political experience such as running a
campaign
prior judicial experience
traditionally been mostly white males
been lawyers
President
Dept. of
Justice
Senators
ABA
Interest Groups Senate
Jud. Comm.
Senate
Nomination Criteria
No constitutional
qualifications
Competence
Ideology/Policy
Preferences
Rewards
Pursuit of Political
Support
Religion
Race and gender
Supreme Court Caseload
How A Case Goes to the
Supreme Court
How Supreme Court Decisions Get
Made
Case on the Docket Briefs and Amicus
Oral Argument
(Approx 88) Briefs submitted
Justices Conference
Opinions Drafted
•Cases discussed
and Circulated Opinions Announced
•Votes taken
for Comment
•Opinion Assigned
Factors Influencing Judicial
Decision Making
Legal Factors:
Judicial Philosophy
•Judicial Restraint - advocates
minimalist roles for judges, and
the latter
•Judicial Activism - feels that
judges should use the law to
promote justice, equality, and
personal liberty.
Precedent
•Prior judicial decisions serve as
a rule for settling subsequent
cases of a similar nature.
Factors Influencing Judicial
Decision Making
Extra-Legal Factors
Behavioral Characteristics
The personal experiences of the justices affect how they vote.
Early poverty, job experience, friends and relatives all affect how
decisions are made.
Ideology
Ideological beliefs influence justices' voting patterns.
The Attitudinal Model
A justice's attitudes affect voting behavior.
Public Opinion
Justices watch TV, read newspapers, and go to the store like
everyone else. They are not insulated from public opinion and
are probably swayed by it some of the time
The Supreme Court & Public Opinion
The Supreme Court Today
According to a 1990 poll, only 23% of Americans
knew how many justices sit on the Supreme
Court, and two-thirds could not name a single
member.
In 1998, a poll of teenagers showed that only
2% could name the Chief Justice.
The Supreme Court, and the federal court
system, have a number of powers and some
significant limitations.
The courts are peopled by individuals like all of
us who are influenced by participation in society.