The Federal Court System in the United States

8/9/2019 The Federal Court System in the United States

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An Introduction for Judges and JudicialAdministrators in Other Countries

THE FEDERAL COURT SYSTEM

I N T H E U N I T E D S T A T E S

Honorable Thomas F. Hogan, Director

Administrative Ofceof the U.S. Courts


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This publication was developed by

the Administrative Ofce of the

United States Courts to provide

an introduction to the federal

judicial system, its organization and

administration, its relationship to the

legislative and executive branches

of the federal government, and

its relationship to the state court

systems. The Administrative Ofce is

the judicial branch’s central support

agency responsible for providing

a broad range of management,

legal, technical, communications,

and other support services for the

administration of the federal courts.

THE FEDERAL COURT SYSTEMI N T H E U N I T E D S T A T E S

An Introduction for Judges and JudicialAdministrators in Other Countries

Article III Judges Division

Ofce of Judges Programs

Administrative Ofce of the U.S. Courts

Thurgood Marshall Federal Judiciary Building

Washington, D.C. 20544

20103rd Edition


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This booklet is designed to introduce judgesand judicial administrators in other countriesto the United States federal judicial system,

its organization and administration, and itsrelationship to the legislative and executivebranches of the govern ment. It was developedby the Ofce of Judges Programs of theAdministrative Ofce of the United StatesCourts at the request of the Judicial ConferenceCommittee on International Judicial Relations.

The Judicial Conference of the United Statesis the national policy-making body of the federalcourts. Authorized by statute, it is presided overby the Chief Justice of the United States andcomposed of 26 additional judges—the chief

judge of each of the 13 federal courts of appeals,one district (trial) judge elected from each of the12 geographic circuits, and the chief judge of theCourt of International Trade.

The Judicial Conference is assisted in its workby more than 25 committees, whose members areappointed by the Chief Justice. The Committeeon International Judicial Relations is composedof several federal judges, a liaison member fromthe State Department and an academic member.Its mission, among other things, includes thefollowing functions:

· Coordinating the federal judiciary’srelationship with foreign judiciariesand other organizations interested ininternational judicial relations and theestablishment and expansion of the rule oflaw.

· Serving as a conduit for communication onmatters of mutual concern between theChief Justice, the Judicial Conference, thefederal judiciary, and foreign courts andinternational judicial organizations.

PREFACE


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THE UNITED STATES CONSTITUTION AND THE FEDERAL GOVERNMENT 7

The Legislative Branch 8 The Executive Branch 8 The Judicial Branch 8

THE ROLE OF THE FEDERAL COURTS IN AMERICAN GOVERNMENT 10

The Federal Courts and Congress 10 The Federal Courts and the Executive Branch 10 The Federal Courts and the Public 11

THE STRUCTURE OF THE FEDERAL COURTS 12

Trial Courts 12 Appellate Courts 13 The United States Supreme Court 13

THE JURISDICTION OF THE FEDERAL COURTS 16

Relationship Between the State Courts and the Federal Courts 16 Types of Cases that May be Filed in the Federal and State Courts 16

UNITED STATES FEDERAL JUDGES 18

Appointment of Judges 18 Article III Judges 18Other Federal Judges 19State Judges 19Federal Judicial Ethics 19

Judges’ Compensation 20Senior and Retired Judges 20 Judicial Education 21 Judges’ Staff 21

DISTINCTIVE FEATURES OF THE AMERICAN JUDICIAL SYSTEM 22

The Adversary System 22 The Common Law System 22Fees and Costs of Litigation 23Execution of Judgments 23Procedural Rules for Conducting Litigation 24Reporting of Judicial Proceedings 24Publication of Court Opinions 25


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THE FEDERAL JUDICIAL PROCESS IN BRIEF 26

Civil Cases 26Criminal Cases 27 Jury Service 30

Bankruptcy Cases 32 The Appeals Process 35

FEDERAL JUDICIAL ADMINISTRATION 37

Individual Courts 37Court Staff 37Clerk of the Court 38Other Central Court Staff 39 The Circuit Judicial Councils 39 The Judicial Conference of the United States 39 The Administrative Ofce of the United States Courts 40

The Federal Judicial Center 41

The United States Sentencing Commission 42 The Judiciary Budget 42Courthouse Space, Facilities, and Security 43Information Technology in the Judicial Branch 44Strategic Planning and Management Efciency in the Federal Courts 44

ACCOUNTABILITY 45

Disciplinary Mechanisms 45Other Formal Mechanisms 46Informal Mechanisms 47

COMMONLY ASKED QUESTION S ABOUT THE FEDERAL JUDICIA L PROCESS 48

COMMON LEGAL TERMS 51

SOURCES OF ADDITIONAL INFORMATION 55


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LIST OF FEATURES

U.S. CONSTITUTION, ARTICLE III 9

THE UNITED STATES FEDERAL COURTS 12

GEOGRAPHIC BOUNDARIES OF THE U.S. COURTS OF APPEALS AND THE U.S. DISTRICT COURTS 14

EXAMPLES OF JURISDICTION IN THE FEDERAL AND STATE COURTS 17

THE CODE OF CONDUCT FOR UNITED STATES JUDGES 20

JUROR QUALIFICATIONS AND EXEMPTIONS 31

TERMS OF JURY SERVICE 31

TYPES OF BANKRUPTCY PROCEEDINGS 32

CHARACTERISTICS OF FEDERAL JUDICIAL ADMINISTRATION 37

COURT SUPPORT STAFF 38

CURRENT JUDICIAL CONFERENCE COMMITTEES 40

THE FUNCTIONS OF THE ADMINISTRATIVE OFFICE 40


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The United States Constitution, adopted in1789 and amended only rarely since then, is thesupreme law of the United States. It establisheda republic under which the individual statesretain considerable sovereignty and authority.Each state, for example, has its own electedexecutive (governor), legislature, and courtsystem. The federal, or national, governmentis one of strong, but limited, powers. It mayexercise only the powers specied in theConstitution itself. All other powers are reservedby the Constitution to the states and the people.This system of divided powers between thenational and state governments is known as“federalism.”

The Bill of Rights is set forth as the rst tenamendments to the Constitution. It guaranteesfundamental rights to the people and protectsthem against improper acts by the government.The rights protected include such matters as freespeech, freedom of assembly, freedom to seekredress of grievances, freedom from unreasonable

searches and seizures, due process of law,protection against compelled self-incrimination,protection against sei zure of property without

just compensation, a speedy and public trial incriminal cases, trial by jury in both criminal andcivil cases, and assistance of counsel in criminalprosecutions.

The Constitution established three separatebranches of government—Legislative (Article I),Executive (Article II), and Judicial (Article III).

The three branches of the federal governmentoperate within a constitutional system known as“checks and balances.” Each branch is formallysep arate from the other two, and each has certainconsti tutional authority to check the actions ofthe others.

THE UNITED STATESCONSTITUTION AND THE

FEDERAL GOVERNMENT

Two central features

of the government established under

the United States Constitution are

· Federalism, and

· Checks and balances among

the three separate branches

of the government.


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T H E E X E C U T I V E B R A N C H

The President is elected every four years, andunder the Constitution may serve no more than

two terms in ofce. Once elected, the Presidentselects a cabi net, each member of which must beconrmed by a majority vote in the Senate. Eachcabinet member is the head of a department inthe executive branch. The cabinet includes, forexample, the Secretary of State, the Secretary ofDefense, the Secretary of the Treasury, and theAttorney General.

The President, his cabinet, and othermembers of the President’s administration are

responsible for operating the executive branchof the federal government and for executingand enforcing the laws. The Attorney General,who is head of the Department of Justice, isresponsible for all criminal prosecutions, forrepresenting the government’s legal interests incivil cases, and for administration of the Bureauof Prisons, the Federal Bureau of Investigation,the Marshals Service, the Immigration andNaturalization Service, and certain other lawenforcement organizations. At the local level, thechief prosecutor in each of the 94 federal judicialdistricts is the United States attorney, who isappointed by the President and reports to theAttorney General.

The Department of Justice plays no rolein administration or budgeting for the federalcourts. The judiciary communicates separatelyand directly to the Congress on legislative andappropriations matters.

T H E J U D I C I A L B R A N C H

The federal judiciary is a totally separate, self-governing branch of the government. Thefederal courts often are called the guardiansof the Consti tution because their rulings

T H E L E G I S L A T I V E B R A N C H

Congress, the national legislature of the UnitedStates, is composed of two houses or chambers—

the Senate and the House of Representatives.Each state has two Senators who are electedfor six-year terms. One-third of the Senate iselected every two years. Members of the Houseof Representatives are elected from local districtswithin states. Each state receives a number ofRepresentatives in proportion to its population.The entire House is elected every two years.

To become law, proposed legislation mustbe passed by both houses and approved by the

President. If the President does not sign, orvetoes, a bill, it may still be enacted, but only by atwo-thirds vote of each house of Congress.

The Constitution did not establish aparliamentary or cabinet system of government,as in the United Kingdom and many otherdemocracies around the world. Under the UnitedStates Constitution, the President is both thehead of state and the head of the government.The President appoints a cabinet—consistingof the heads of major executive departmentsand agencies—but neither the President norany member of the cabinet sits in the Congress.The President’s political party, moreover, doesnot need to hold a majority of the seats in theCongress to stay in ofce. In fact, it is not unusualfor one or both houses of the Congress to becontrolled by the opposition party.

Each house of the Congress has committeesof its members, organized by subject matter,that draft laws, exercise general oversight overgovernment agencies and programs, enactappropriation bills to fund government operations,and monitor the operation of federal programs.The federal courts, for example, maintain regularcommunications with the Judiciary Committeesand the Appropriations Committees of the Senateand the House of Representatives.


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U.S. Constitution, Article III

The judicial Power of the United

States, shall be vested in one

supreme Court, and in such inferi or

Courts as the Congress may from

time to time ordain and establish.

The Judges, both of the supreme

and inferior Courts, shall hold their

Ofces during good Behaviour,and shall, at stated Times, receive

for their Services, a Compensation,

which shall not be diminished during

their Continuance In Ofce.

protect the rights and liberties guaranteed bythe Constitution. Through fair and impartial

judgments, they determine facts and interpretthe law to resolve legal disputes.

The courts do not make the laws. That is theresponsibility of the Congress. Nor do the courtshave the power to enforce the laws. That is therole of the President and the many executivebranch departments and agencies. But the

judicial branch has the authority to interpret anddecide the constitutionality of federal laws and toresolve other disputes over federal laws.

The framers of the Constitution consideredan independent federal judiciary essential to

ensure fairness and equal justice to all citizensof the United States. The Constitution theydrafted promotes judicial independence in twoprincipal ways. First, federal judges appointedunder Article III of the Constitution can servefor life, and they can be removed from ofceonly through impeachment and convictionby Congress of “Treason, Bribery, or otherhigh Crimes and Misdemeanors.” Second, theConstitution provides that the compensation

of Article III federal judges “shall not bediminished during their Continuance in Ofce,”which means that neither the President norCongress can reduce the salaries of mostfederal judges. These two protections help anindependent judiciary to decide cases free frompopular passion and political inuence.


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T H E F E D E R A L C O U R T S A N DC O N G R E S S

Congress has three basic responsibilities underthe Constitution that determine how the federalcourts will operate.

First, it authorizes the creation of all federalcourts below the Supreme Court, denes the

jurisdiction of the courts, and decides how many judges there should be for each court.

Second, through the conrmation process,the Senate determines which of the President’s

judicial nominees ultimately become federal judges.

Third, Congress approves the federal courts’bud get and appropriates money for the judiciaryto operate. The judiciary’s budget is a very smallpart—about two-tenths of one percent—of theentire federal budget.

T H E F E D E R A L C O U R T S A N DT H E E X E C U T I V E B R A N C H

Under the Constitution, the President nominatesArticle III constitutional judges to a lifetimeappointment, subject to approval by majorityvote of the Senate. The President usuallyconsults senators or other elected ofcialsconcerning potential candidates for vacancies onthe federal courts.

The President’s power to appoint new federal judges is not the judiciary’s only interactionwith the executive branch. The Departmentof Justice, which is responsible for prosecutingfederal crimes and for representing thegovernment in civil cases, is the most frequentlitigator in the federal court system. Several otherexecutive branch agencies are involved withcourt operations. The United States Marshals

THE ROLE OF THEFEDERAL COURTS IN

AMERICAN GOVERNMENT


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The right of public access to court proceedingsis partly derived from the Constitution andpartly from court and common-law tradition. Byconducting their judicial work in public view,

judges enhance public condence in the courts,and they allow citizens to learn rsthand how our

judicial system works.In a few, limited situations the public may

not have full access to court records and courtproceedings. In a high-prole trial, for example,there may not be enough space in the courtroomto accommodate everyone who would like toobserve. Access to the courtroom also may berestricted for security or privacy reasons, such

as the protection of a juvenile or a condentialinformant. Finally, certain documents may beplaced under seal by the judge, meaning thatthey are not available to the public. Examplesof sealed information include certain typesof condential business records, certain lawenforcement reports, juvenile records, and casesinvolving national security issues.

Service, for example, provides security forfederal courthouses and judges, and the GeneralServices Administration builds and maintainsfederal courthouses.

Within the executive branch there are militarycourts and a number of other specialized subject-matter tribunals and administrative agencies thatadjudicate disputes in the rst instance involvingspecic federal laws and benets programs, suchas the tax laws, patent and copyright laws, laborlaws, social security statutes and regulations,approval of radio and TV licenses, and the like.Although these executive branch bodies are notpart of the judiciary established under Article

III of the Constitution, appeals of their naldecisions typically may be taken to the ArticleIII courts.

T H E F E D E R A L C O U R T S A N DT H E P U B L I C

With certain very limited exceptions, each stepof the federal judicial process is open to thepublic. Federal courthouses are designed to

inspire in the public a respect for the traditionand purpose of the American judicial process,and many courthouses are historic buildings.

A citizen who wishes to observe a courtin session may go to a federal courthouse,check the court calendar, which is posted ona bulletin board or television monitor, andwatch any proceeding. Anyone may review thele and papers in a case by going to the clerkof court’s ofce and asking to review or copythe appropriate case le. Increasingly, courtschedules, dockets, judgments, opinions, andpleadings are being made available to the publicin electronic format through the Internet. Unlikemost of the state courts, however, the federalcourts do not permit television or radio coverageof trial court proceedings.


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THE STRUCTURE OF THEFEDERAL COURTS

With certain notable exceptions, the federalcourts have jurisdiction to hear a broad varietyof cases. The same federal judges handle bothcivil and criminal cases, public law and privatelaw disputes, cases involving individuals andcases involving corporations and governmententities, appeals from administrative agencydecisions, and law and equity matters. Thereare no separate constitutional courts, becauseall federal courts and judges may decide issuesregarding the constitutionality of federal lawsand other governmental actions that arise in thecases they hear.

T R I A L C O U R T S

The United States district courts are theprincipal trial courts in the federal court system.The district courts have jurisdiction to hearnearly all categories of federal cases. There are94 federal judicial districts, including one ormore in each state, the District of Columbia,

Puerto Rico, and the overseas territories.Each federal judicial district includes a UnitedStates bankruptcy court operating as a unit ofthe district court. The bankruptcy court hasnationwide jurisdiction over almost all mattersinvolving insolvency cases, except criminalissues. Once a case is led in a bankruptcy court,related matters pending in other federal and statecourts can be removed to the bankruptcy court.The bankruptcy courts are administrativelymanaged by the bankruptcy judges.

Two special trial courts within the federal judicial branch have nationwide jurisdiction overcertain types of cases. The Court of InternationalTrade addresses cases involving internationaltrade and customs issues. The United StatesCourt of Federal Claims has jurisdiction overdisputes involving federal contracts, the taking of

The United States

Federal Courts

__________________

Supreme Court

United States Supreme Court

__________________Appellate courts

United States Courts of Appeals(12 Regional Courts of Appeals

and the Court of Appeals forthe Federal Circuit)

__________________

Trial courts

United States District Courts (94 judicial districts and the United

States Bankruptcy Courts)

Court of International Trade

Court of Federal Claims

__________________

Other federal tribunals that are

not within the judicial branch

Military Courts (trial and appellate)

United States Court of VeteransAppeals

United States Tax Court

Administrative agency ofces andboards


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appeals may remand the case to the trial court oradministrative agency. Remand is unnecessaryin most cases, however, and the court of appealseither afrms or reverses the lower court or agency

decision in a written order or written opinion.In cases of unusual importance, a court of

appeals may sit “en banc”—that is, with all theappellate judges in the circuit present—to reviewthe decisions of a three-judge panel. The fullcourt may afrm or reverse the panel decision.

T H E U N I T E D S T A T E SS U P R E M E C O U R T

The United States Supreme Court is the highestcourt in the federal judiciary. It consists of theChief Justice of the United States and eightassociate justices. The court always sits en banc,with all nine justices hearing and deciding allcases together. The jurisdiction of the SupremeCourt is almost completely discretionary, and, tobe exercised, requires the agreement of at leastfour justices to hear a case. (In a small number ofspecial cases, such as boundary disputes between

the states, the Supreme Court acts either as thecourt of rst instance or exercises mandatoryappellate review). As a general rule, the Courtonly agrees to decide cases where there is a splitof opinion among the courts of appeals or wherethere is an important constitutional question orissue of federal law that needs to be claried.

private property by the federal government, anda variety of other monetary claims against theUnited States.

Trial court proceedings are conducted by

a single judge, sitting alone or with a jury ofcitizens as nders of fact. The Constitutionprovides for a right to trial by a jury in manycategories of cases, including: (1) all seriouscriminal prosecutions; (2) those civil casesin which the right to a jury trial appliedunder English law at the time of Americanindependence; and (3) cases in which the UnitedStates Congress has expressly provided for theright to trial by jury.

A P P E L L A T E C O U R T S

The 94 judicial districts are organized into 12regional circuits, each of which has a UnitedStates court of appeals. A court of appeals hearsappeals from the district courts located withinits circuit, as well as appeals from certain federaladministrative agencies. In addition, the Court ofAppeals for the Federal Circuit has nationwide

jurisdiction to hear appeals in specialized cases,such as those involving patent laws and casesdecided by the Court of International Trade andthe Court of Federal Claims.

There is a right of appeal in every federal casein which a district court enters a nal judgment.The courts of appeals typically sit in panels ofthree judges. They are not courts of cassation, andthey may review a case only if one or more partiesles a timely appeal from the decision of a lower

court or administrative agency. When an appealis led, a court of appeals reviews the decisionand record of proceedings in the lower court oradministrative agency. The court of appeals doesnot hear additional evidence, and generally mustaccept the factual ndings of the trial judge. Ifadditional fact-nding is necessary, the court of


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G E O G R A P H I C B O U N D A R I E S O F T H E

UNITED STATES C OURTS O F AP PEALS


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D.C. CIRCUITW A S H I N G T O N , D . C

FEDERAL CIRCUW A S H I N G T O N , D . C

AND THE UNITED STATES DIST RICT CO URTS


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THE JURISDICTION OF THEFEDERAL COURTS

R E L A T I O N S H I P B E T W E E N T H ES T A T E C O U R T S A N D T H E

F E D E R A L C O U R T S

Although federal courts are located in everystate, they are not the only forum availableto litigants. In fact, the great majority of legaldisputes in American courts are addressed in theseparate state court systems established in eachof the 50 states. Most state court systems, likethe federal judiciary, have trial courts of general

jurisdiction, intermediate appellate courts, anda state supreme court. They may also havespecialized lower-level courts, county courts,municipal courts, small claims courts, or justicesof the peace to handle minor matters.

The state courts have jurisdiction over awider variety of disputes than the federal courts.State courts, for example, have jurisdiction overvirtually all divorce and child custody matters,probate and inheritance issues, real estatequestions, and juvenile matters, and they handlemost criminal cases, contract disputes, trafcviolations, and personal injury cases.

In general, federal courts may decide casesthat involve the United States government orits ofcials, the United States Constitution or

federal laws, or controversies between statesor between the United States and foreign

governments. A case also may be led in federalcourt—even if no question arising under federallaw is involved— if the litigants are citizens ofdifferent states or the dispute arises betweencitizens of the United States citizens and those ofanother country.

In the initial stages of any lawsuit, theplaintiff must assert the legal basis for thecourt’s jurisdiction over the case, and the courtmust make an independent determinationthat it has jurisdiction to address the case. If acase is led initially in a federal court, but thecourt determines that it lacks jurisdiction toadjudicate, the case must be dismissed. Undercertain circumstances, a case that was improperlyled in federal court may be “remanded” to astate court that has jurisdiction to hear the case.Conversely, a case that was led in a state courtmay, if certain conditions are met, be “removed”to a federal court.

The federal and state courts are required toextend “full faith and credit” to each other’srespective judgments. Under the SupremacyClause of the Constitution, however, a federal lawpreempts any state law that is in conict with it.

T Y P E S O F C A S E S T H A T M A YB E F I L E D I N T H E F E D E R A L

A N D S T A T E C O U R T S

The table to the right gives some examples of

the cases that may be addressed exclusively inthe state courts or in the federal courts, as well assome examples of concurrent jurisdiction (casesthat may be heard in either state or federal court).


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E X A M P L E S O F J U R I S D I C T I O N I N T H E F E D E R A L A N D S T AT E C O U R T S

State Courts State or Federal CourtsFederal Courts

crimes under state legislation

state constitutional issues

and cases involving state laws or

regulations

family law issues

real property issues

landlord and tenant disputes

most private contract disputes

(except those resolved under

bankruptcy law)

most issues involving the regulation

of trades and professions

most professional malpractice issues

most issues involving the internal

governance of business associations,

such as partnerships and corporations

most personal injury lawsuits

most workers’ injury claims

probate and inheritance matters

most trafc violations and

registration of motor vehicles

crimes punishable under both federal

or state law

federal constitutional issues

certain civil rights claims

“class action” cases

environmental regulation

certain disputes involving federal law

crimes under statutes enacted by

Congress

most cases involving federal laws or

regulations (for example: tax, Social

Security, broadcasting, civil rights)

matters involving interstate and

international commerce, including

airline and railroad regulation

cases involving securities and

commodities regulation, including

takeovers of publicly held corporations

admiralty cases

international trade law matters

patent, copyright, and other

intellectual property issues

cases involving rights under treaties,

foreign states, and foreign nationals

state law disputes when “diversity of

citizenship” exists

bankruptcy matters

disputes between states

habeas corpus actions

trafc violations and other

misdmeanors occurring on certain

federal property


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professors who reside within the district or circuitwhere the court sits.

Each federal judge is appointed to ll aspecic, authorized judgeship in a specic

district or circuit. Judges have no authority tohear cases in other courts unless they are formallydesignated to do so. Because of heavy caseloadsin certain districts, judges from other courts areoften asked to hear cases in these districts.

O T H E R F E D E R A L J U D G E S

Bankruptcy judges and magistrate judges are judicial ofcers of the district courts, but they are

not Article III judges. They are not appointedunder a political process, and the President andSenate play no role in their selection. Rather,they are appointed by the courts of appealsand the district courts, respectively, with theassistance of merit selection panels composed oflocal lawyers and other citizens.

Bankruptcy judges are appointed by the judges of the courts of appeals for 14-year terms.Magistrate judges are appointed by the judges

of the district court for eight-year terms. Beforereappointing a bankruptcy judge or a magistrate

judge to an additional term, the appointing courtmust publish a public notice seeking commentson the incumbent’s performance and convene amerit panel to recommend to the court whetherthe incumbent should be reappointed.

Judges of the Court of Federal Claims areappointed for terms of 15 years by the President,subject to conrmation by a majority of the Senate.

S T A T E J U D G E S

State judges handle most cases in the UnitedStates, but they are not part of the federal courtsystem. Rather, they serve in the state courtsystems established by state governments.

Like federal judges, state judges are requiredto support the federal Constitution and mayinvalidate state laws that they nd inconsistentwith the Constitution. State judges are selected

in several ways, according to state constitutionsand statutes. Most are either elected by thepublic in general elections or are appointed bythe governor of the state for an original term andmay be retained for additional terms by popularvote in a general election.

F E D E R A L J U D I C I A L E T H I C S

By statute, federal judges may not hear cases inwhich they have either personal knowledge of the disputed facts, a personal bias concerninga party to the case, any earlier involvement inthe case as a lawyer, or a nancial interest inany party or subject matter of the case. Federal

judges also are subject to the Code of Conductfor United States Judges, a set of ethicalprinciples and guidelines adopted by the JudicialConference of the United States. The Code ofConduct—and the opinions interpreting it—

provide guidance for judges on issues of judicialintegrity and independence, judicial diligenceand impartiality, permissible extra-judicialactivities, and the avoidance of impropriety oreven its appearance.

Judges may receive guidance on ethicalissues through the Judicial Conference’s Codesof Conduct Committee. That committee of

judges is authorized both to draft the codes ofconduct and to render written advisory opinions

to judges and court employees. It also publishesselected advisory opinions based on the factspresented in a specic request. The publishedopinions do not identify the particular judge or

judges requesting the advisory opinion, and theyare made available within the judiciary in bothpaper and electronic form.


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In order to avoid nancial conicts of interest,a federal statute requires all judges—as wellas other high-level government ofcials—tole annual nancial disclosure statements that

list their assets, liabilities, positions, gifts, andreimbursements (and those of their spouses andminor children). The disclosure statements forfederal judges and certain judicial branch ofcialsare maintained by the Administrative Ofce ofthe United States Courts and are available to thepublic on request.

Judges may not engage in political activity,the practice of law, or business activity (exceptinvestments). But they may devote time to

public service and educational activities.Indeed, federal judges have a distinguishedhistory of service to the legal profession throughtheir writing, speaking, and teaching. Thisimportant role is recognized in the Code ofConduct, which encourages judges to engage inactivities to improve the law, the legal system,and the administration of justice. Income fromoutside activities such as teaching is limited toapproximately 15% of the judge’s salary.

J U D G E S ’ C O M P E N S A T I O N

Federal judges receive salaries and benetsthat are set by Congress. Judicial salaries andemployment benets are comparable to thosereceived by Members of Congress and othersenior government ofcials. The Constitutionprovides that the compensation of an Article IIIfederal judge may not be reduced during the

judge’s service.

S E N I O R A N D R E T I R E DJ U D G E S

Court of appeals, district court, and Court ofInternational Trade judges have life tenure

The Code of Conduct for

United States Judges

· A judge should uphold the integrity

and independence of the judiciary.

· A judge should avoid impropriety

and the appearance of impropriety in

all activities.

· A judge should perform the

duties of the ofce impartially and

diligently.

· A judge may engage in extra-

judicial activities to improve the

law, the legal system, and the

administration of justice.

· A judge should regulate extra-

judicial activities to minimize the

risk of conict with judicial duties.

· A judge should regularly le reports

of compensation received for law-

related and extra-judicial activities.

· A judge should refrain from political

activity.


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under the Constitution. They are, therefore,not required to retire at any age. But they mayelect voluntarily to retire from active serviceon full salary if they are at least 65 years old

and meet certain years of service requirements.Most Article III judges who retire continue tohear cases on a full or part-time basis as “senior

judges” without additional compensation.Retired bankruptcy judges, magistrate judges,and Court of Federal Claims judges also maybe “recalled” to active service. Without theservice donated by senior and retired judges,the judiciary would need many more judges tohandle its cases. Senior judges, for example,

typically handle about 15-20% of the totalappellate and district court workloads in thefederal courts.

J U D I C I A L E D U C A T I O N

The Federal Judicial Center, an organizationwithin the judicial branch, is the principalresearch and training resource for federal

judges. It conducts a variety of educational

programs for judges on substantive legal topics,the art of judging, and case management. Inaddition to attending an orientation trainingprogram shortly after they are rst appointed,all judges are invited periodically by theCenter to attend workshops that focus on newlegislation, developments in case law, andspecic judicial skills. The Center has alsodeveloped a number of special focus programs,often in conjunction with law schools, that

address specic areas of the law in depth, suchas intellectual property or the use of scienticevidence. In addition to live seminars andworkshops, the Center produces a wide varietyof videotapes, audiotapes, manuals, and otherpublications to assist judges in performing theirduties.

The Administrative Ofce conducts trainingprograms for judges on the use of computersand on such administrative matters as pay andbenets, hiring staff, judicial branch organization

and governance, judicial ethics, and personalsecurity. The Administrative Ofce also offersspecial orientation programs on management andoperational topics for new chief judges of districtcourts, courts of appeals, and bankruptcy courts.

The Federal Judicial Center, theAdministrative Ofce, and the United StatesSentencing Commission jointly operate atelevision network that broadcasts dailyeducation and information programs for judges

and court staff. In addition, several individualcourts conduct in-house orientation andmentoring programs for new judges, as wellas roundtable discussions or other substantiveprograms for all judges.

J U D G E S ’ S T A F F

In addition to court-wide staff who are appointedby the court as a whole, each judge is allowed to

hire a small personal staff, known as “chambers”staff. Judges may hire a secretary to help themwith administrative matters and law clerksto help them research legal issues and draftpapers. Chambers staff are subject to the ethicalrestrictions contained in the Code of Conduct for

Judicial Employees.The duties of chambers staff vary depending on

the particular work and management preferences ofeach judge or court. Judges carefully supervise and

review the work of their chambers staff. By usingtheir staff to conduct legal research and other tasksthat do not involve exercising the discretionarypowers of a judge, each judge is better able toperform the tasks of judging.


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T H E A D V E R S A R Y S Y S T E M

The litigation process in United States courtsis referred to as an “adversary” system becauseit relies on the litigants to present their disputebefore a neutral fact-nder. According toAmerican legal tradition, inherited from theEnglish common law, the clash of adversariesbefore the court is thought most likely to allowthe jury or judge to determine the truth andresolve the dispute. In some other legal systems,

judges or magistrates conduct investigations to

nd relevant evidence or obtain testimony fromwitnesses. In the United States, however, thework of collecting evidence and preparing topresent it to the court is accomplished by thelitigants and their attorneys, normally withoutassistance from the court. The essential roleof the judge is to structure and regulate thedevelopment of issues by the adversaries andto make sure that the law is followed and thatfairness is achieved.

T H E C O M M O N L A W S Y S T E M

The American judicial process is based largely onthe English common law system. Common law islaw that is developed and interpreted by judges,rather than a xed body of legal rules such asthe codes of a civil law system. A basic feature ofthe common law is the doctrine of “precedent,”under which judges use the legal principles

established in earlier cases to decide new casesthat have similar facts and raise similar legalissues. Judges of the lower courts are required tofollow the decisions of the higher courts withintheir jurisdiction.

In most areas of federal law, Congress in thepast century has passed elaborately detailed

DISTINCTIVE FEATURESOF THE AMERICAN

JUDICIAL SYSTEM


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statutes, sometimes referred to as “codes,”that establish fundamental legal principles inparticular elds of law. These bodies of statutorylaw include, for example, the Bankruptcy Code,

the Internal Revenue Code, the Social SecurityAct, the Securities Act, and the SecuritiesExchange Act. In addition, the individualstates have adopted various comprehensivecodes, such as the Uniform Commercial Code.These statutes are often further developed andinterpreted by regulations adopted by federaland state administrative agencies.

Despite the growth of statutory law over thelast century, however, American statutes and

regulations, even when called “codes,” continueto be interpreted by the courts in common-law,or “precedent” fashion. Thus, for example,a bankruptcy court applying the BankruptcyCode will consult relevant case law to determinewhether there are Supreme Court or court ofappeals rulings applying the particular codesection in similar factual situations. Lawyers whoargue the question before the court will not onlydispute whether the situation is governed by a

particular section of the statute, but whether itshould be governed by an earlier court ruling in apurportedly similar case.

All judges in the United States, regardless ofthe level of the court in which they sit, exercisethe power of judicial review. While judges willnormally presume the laws or actions that they arereviewing to be valid, they will invalidate statutes,regulations, or executive actions that they ndto be clearly inconsistent with the Constitution.They are required to abide by a hierarchy of thelaws that places the United States Constitutionabove all other laws. Judges will therefore notonly abide by precedent in interpreting statutes,regulations, and actions by members of theexecutive branch, but will seek to interpret themconsistently with the Constitution.

F E E S A N D C O S T S O FL I T I G A T I O N

Another characteristic of the American judicial

system is that litigants typically pay their owncosts of litigation whether they win or lose. Thefederal courts charge moderate fees that aremostly set by Congress. Other costs of litigation,such as attorneys’ and experts’ fees, are moresubstantial. Civil plaintiffs who cannot affordto pay court fees may seek permission from thecourt to proceed without paying those fees. Insome categories of civil cases, including certaincivil rights violations, a winning plaintiff mayrecover attorney costs from the defendant. Incriminal cases, the government pays the costs ofinvestigation and prosecution. The governmentalso provides a lawyer without cost for anycriminal defendant who is unable to afford one.

E X E C U T I O N O F J U D G M E N T S

Execution and enforcement of judgments is theresponsibility of the parties to the litigation, notthe courts. In criminal cases, the United Statesmarshal (an employee of the Department of

Justice) is responsible for keeping a prisoner incustody. If the court has ordered the payment ofcriminal nes, the clerk of court is responsible forreceiving money and distributing it as directedby the court. The Department of Justice isresponsible, however, for enforcement of thecourt’s order and collection of money and assetsif the defendant fails to pay the required nes.

In civil cases, the parties themselves areresponsible for executing court orders, althoughthe courts maintain a record of all judgmentsfor public inspection. Many money judgmentsare covered by various forms of insurance, andin those cases the insurance companies resolvethe details of enforcement of a civil judgment.A winning party may obtain the assistance of


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the court in examining the debtor and takingcertain actions to protect property in the debtor’spossession. A winning party may also apply to astate court for assistance in enforcing a federal

court judgment through state law remedies suchas garnishing the wages or attaching the assetsof the losing party. In general, a civil judgmentbecomes a lien attached to any real property ofthe losing party, and the judgment earns interestat a specied rate of return until it is collected.

P R O C E D U R A L R U L E S F O RC O N D U C T I N G L I T I G A T I O N

In accordance with the Rules Enabling Act of1934, the federal judiciary itself is responsible forissuing the rules of procedure and evidence thatgovern all federal court proceedings. Under thisauthority, the judiciary has established federalrules of evidence, and rules of civil, criminal,bankruptcy, and appellate procedure. The rulesare designed to promote simplicity, fairness,and the just determination of litigation, and toeliminate unjustiable expense and delay. They

are drafted by committees of judges, lawyers,and professors appointed by the Chief Justice.They are published widely by the AdministrativeOfce for public comment, approved by the

Judicial Conference of the United States, andpromulgated by the Supreme Court. The rulesbecome law unless Congress votes to reject ormodify them.

R E P O R T I N G O F J U D I C I A L

P R O C E E D I N G S

All trial and pretrial proceedings conducted inopen court are written down by a court reporteror recorded by sound equipment. The courtreporter is a person specially trained to record alltestimony and produce a word-for-word account


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called a transcript. A transcript may be preparedif necessary for an appeal of a court’s decision, orupon request by one of the litigants or anotherperson.

P U B L I C A T I O N O F C O U R TO P I N I O N S

Because common-law courts rely on judicialprecedent to interpret and apply the law, it isvital for judicial opinions on current legal issuesto be readily available to courts and lawyersfacing similar issues. As a result, nearly allopinions and orders are open public records.

Access to these records is constantly improvingas a result of technology. The courts now prepareand enter most orders and opinions electronically,allowing attorneys to routinely accept ofcialnotice of court actions via system-generatedemail and facilitating next day electronicpublication.

The federal courts’ electronic docketing alsoallows the public to access court records in

multiple ways. The Judiciary’s Internet basedsystem, Public Access to Court ElectronicRecords (PACER, www.pacer.gov), is an on-line service that allows users to obtain freeaccess to orders and opinions from federalappellate, district and bankruptcy courts, orto search a national index of case and partynames. Additional case and docket informationon PACER can be accessed for a nominalfee. Many courts also make their opinionsavailable directly by posting them to the localcourt’s public website. Most documents arealso still available for review and copying at thecourthouse and the courts continue to formallypublish select opinions, usually through a privatecompany.

In addition to court initiated distribution,private lawbook publishing companies andcomputerized legal research services, such asWestlaw and Lexis/Nexis, make court opinions,

statutes, and other legal materials available tothe bar and public on a commercial basis. Lawschools and other organizations also collect courtopinions, mainly from the courts of appeals, andmake them available on the Internet. Examplesof collections of Supreme Court and Courts ofAppeals opinions include:

www.ndlaw.com/casecode/www.law.cornell.edu

law.justia.com/


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THE FEDERAL JUDICIALPROCESS IN BRIEF

C I V I L C A S E S

A federal civil case involves a legal disputebetween two or more parties. To begin a civillawsuit in a federal court, the plaintiff les adocument called a “complaint” with the courtand “serves” a copy of the complaint on thedefendant. The complaint is a short statementthat describes the plaintiff’s injury or otherlegal claim, explains how the defendant causedthe injury, and asks the court to order relief. Aplaintiff may seek money to compensate for theinjury or ask the court to order the defendant tostop the conduct that is causing the harm. Thecourt may also order other types of relief, such asa declaration of the legal rights of the plaintiff ina particular situation.

To prepare a case for trial, the litigants mayconduct “discovery.” In discovery, the litigantsmust provide information to each other aboutthe subject matter of the case, such as theidentity of witnesses, the expected testimonyof the witnesses, and copies of any documentsrelated to the case. The purpose of discoveryis to prepare for trial, and to prevent surpriseat trial, by requiring the litigants to assembletheir evidence and prepare to call witnesses,before the trial begins. The scope of discovery isbroad, and discovery is conducted by the partiesthemselves under the procedural rules of thecourts. Judges are involved only to the extentnecessary to oversee the process and to resolvedisputes brought to their attention by the parties.

One common method of discovery is the“deposition.” In a deposition, a witness isrequired to answer under oath questions aboutthe case asked by the lawyers in the presence ofa court reporter. A second method of discovery isthe “interrogatory,” which is a written questionfrom one party to another that must be answered


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under oath. A third method allows a party torequire another party to produce documents andother materials within its custody or control, or toenter on another party’s property for inspection

or other purposes relating to the litigation.Each side may le requests, or “motions,”

with the court seeking rulings on various legalissues. Some motions ask for a ruling thatdetermines whether the case may proceedas a matter of law. A “motion to dismiss,” forexample, may argue that the plaintiff has notstated a claim under which relief may be grantedunder the law, or that the court does not have

jurisdiction over the parties or the claim at issue,

and therefore lacks the power to adjudicate. A“motion for summary judgment” argues thatthere are no disputed factual issues for a jury toresolve, and urges the judge to decide the casebased solely on the legal issues. Other motionsfocus on the discovery process, addressingdisputes over what information is subject tothe discovery rules, protecting the private orprivileged nature of certain information, orurging the court to preserve evidence for use at

trial. Other motions address procedural issuessuch as the proper venue for the case, theschedule for discovery or trial, or the proceduresto be followed at trial.

To avoid the expense and delay of having atrial, judges encourage the litigants to reach anagreement resolving their dispute. Most judgesconduct settlement conferences with the parties,and they may refer a case to a trained mediator orarbitrator to facilitate an agreement. As a result,litigants often decide to resolve a civil lawsuitwith an agreement known as a “settlement.”Most civil cases are terminated by settlement ordismissal without a trial.

If a case is not settled, the court will proceedto a trial. In a wide variety of civil cases, eitherside is entitled under the Constitution to request

a jury trial. If the parties waive their right to a jury, the case will be heard by a judge without a jury.

If a trial is conducted, witnesses testify under

oath and respond to questions asked by theattorneys. Testimony is conducted under thesupervision of the judge, and it must complywith formal rules of evidence designed to assurefairness, reliability, and the accuracy of testimonyand documents. At the conclusion of theevidence, each side gives a closing argument. If acase is tried before a jury, the judge will instructthe jury on what the law is and will tell the jurywhat facts and issues it must resolve. If the case

is tried by a judge without a jury, the judge willdecide both the facts and the law in the case.In a civil case, the burden of proof lies with theplaintiff, who must convince the jury (or the

judge if there is no jury) by a “preponderance ofthe evidence,” i.e., that it is more likely than notthat the defendant is legally responsible for anyharm that the plaintiff has suffered.

C R I M I N A L C A S E S

The judicial process in a criminal case differsfrom a civil case in several important ways. Theparties in the case are the United States attorney(the prosecutor representing the Departmentof Justice) and the defendant or defendants.Criminal investigations are conducted bythe Department of Justice and other lawenforcement agencies, which are both part ofthe executive branch. The court plays no role in

criminal investigations. Its role in the criminal justice process is to apply the law and make legaland factual decisions.

Three main levels of federal criminal offenseshave been dened by Congress. Felony offensesare the most serious crimes and may be punishedby more than one year in prison. Misdemeanor


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offenses are less serious and may be punishedby up to one year in prison. The least seriousoffenses, known as petty offenses, may bepunished by up to six months imprisonment.

Most petty offenses are addressed through nesrather than a prison sentence.

After a person is arrested, a pretrial servicesofcer or probation ofcer of the courtimmediately interviews the defendant andconducts an investigation of the defendant’sbackground. The information obtained by thepretrial services ofcer or probation ofcerwill be used to help a judge decide whether torelease the defendant into the community before

trial and whether to impose conditions of release.At an initial appearance, a judge (normally a

magistrate judge) advises the defendant of thecharges led, considers whether the defendantshould be held in custody until trial, anddetermines whether there is “probable cause” tobelieve that an offense has been committed andthe defendant has committed it. Defendants whoare unable to hire their own attorney are advisedof their right to a court-appointed attorney. Each

district court, by statute, is required to have inplace a plan for providing competent attorneysto represent defendants who cannot afford theirown attorneys. The court may appoint a federalpublic defender (a full-time federal ofcialappointed by the court of appeals), a communitypublic defender (a member of a community-based legal aid organization funded by a grantfrom the judiciary), or a private attorney whohas agreed to accept such appointments fromthe court. In all these types of appointments,the attorney who represents the defendantis paid by the court from funds appropriatedto the judiciary by Congress. Defendantsreleased into the community before trial maybe required to obey certain restrictions, such ashome connement or drug testing, and to make

periodic reports to a pretrial services ofcer toensure appearance at trial.

Under the Constitution, a felony criminalcase may only proceed beyond the initial stages

if the defendant is indicted by a grand jury.The grand jury reviews evidence presented toit by the United States attorney and decideswhether there is sufcient evidence to require adefendant to stand trial.

The defendant enters a plea to the chargesbrought by the United States attorney ata hearing known as an arraignment. Mostdefendants— more than 90%—plead guiltyrather than go to trial. If a defendant pleads

guilty in return for the government agreeingto drop certain charges or to recommend a lesssevere sentence, the agreement often is calleda “plea bargain.” If the defendant pleads guilty,the judge may impose a sentence at that time,but more commonly will schedule a hearingto determine the sentence at a later date. Ifthe defendant pleads not guilty, the judge willproceed to schedule a trial.

Criminal cases include a limited amount of

pretrial discovery proceedings similar to those incivil cases, with substantial restrictions to protectthe identity of government informants and toprevent intimidation of witnesses. The attorneysalso may le motions, which are requests forrulings by the court before the trial. For example,defense attorneys often le a motion to suppressevidence, which asks the court to exclude fromthe trial evidence that the defendant believeswas obtained by the government in violation ofthe defendant’s constitutional rights.

In a criminal trial, the burden of proof is onthe government. Defendants do not have toprove their innocence. Instead, the governmentmust provide evidence to convince the jury ofthe defendant’s guilt. The standard of proof ina criminal trial is much higher than in a civil


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case. It must be beyond a reasonable doubt,”which means the evidence must be so strong thatthere is no reasonable doubt that the defendantcommitted the crime. The judge instructs the

jury on the law and the decisions that the jurymust make.

If a defendant is found not guilty, thedefendant is released and the government maynot appeal. Nor can the person be charged againwith the same crime in a federal court. TheConstitution prohibits “double jeopardy,” orbeing tried twice for the same offense.

In determining the defendant’s sentence, the judge must consult special federal sentencing

guidelines issued by the United StatesSentencing Commission, an organization withinthe judicial branch. The sentencing guidelinesare designed to:

· incorporate the purposes of sentencing (i.e., just punishment, deterrence, incapacitation,and rehabilitation);

· provide certainty and fairness in sentencing

by avoiding unwarranted disparity amongoffenders with similar characteristicsconvicted of similar criminal conduct,while permitting some judicial exibility totake into account relevant aggravating andmitigating factors;

· reect, to the extent practicable, advancementin the knowledge of human behavior as itrelates to the criminal justice process.

The sentencing guidelines provide federal judges with consistent sentencing ranges thattake into account both the seriousness of thecriminal conduct and the defendant’s criminalrecord. Based on the severity of the offense, theguidelines assign most federal crimes to one of 43

“offense levels.” Each offender is also assignedto one of six “criminal history categories” basedupon the extent and recency of his or her pastmisconduct. The point at which the offense level

and criminal history category intersect on theCommission’s sentencing table determines anoffender’s guideline range. In order to provideexibility, the top of each guideline rangeexceeds the bottom by six months or 25 percent(whichever is greater).

Ordinarily, the judge is advised to choose asentence from within the guideline range unlessthe court identies a factor that the SentencingCommission failed to consider that should result

in a different sentence. However, the judgemust in all cases provide the reasons for thesentence. Sentences outside the guideline rangeare subject to review by the courts of appeals for“unreasonableness,” and all sentences can bereviewed for incorrect application of the relevantguidelines or law.

In most felony cases the judge waits forthe results of a presentence investigationreport, prepared by the court’s probation ofce,

before imposing a sentence. The presentenceinvestigation report summarizes for the court thebackground information needed to determinethe appropriate sentence, including a thoroughexploration of the circumstances of the offenseand the defendant’s criminal background andcharacteristics. The report applies the sentencingguidelines to the individual defendant and thecrimes for which he or she has been found guilty.During sentencing, the court may considernot only the evidence produced at trial, but allrelevant information that may be provided bythe pretrial services ofcer, the United Statesattorney, and the defense attorney. In unusualcircumstances, the court may depart from thesentence calculated according to the sentencing


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guidelines .A sentence may include time in prison, a

ne to be paid to the government, communityservice, and restitution to be paid to crime

victims. If the convicted defendant is released,the court’s probation ofcers assist the court inenforcing any conditions that are imposed aspart of a criminal sentence. The supervisionof offenders also may involve services such assubstance abuse testing and treatment programs,

job counseling, and alternative detention options.

J U R Y S E R V I C E

Perhaps the most important way individualcitizens become involved in the federal judicialprocess is by serving as jurors. There are twotypes of juries serving distinct functions in thefederal trial courts: trial juries (also known aspetit juries), and grand juries.

A civil trial jury typically consists of 6 to 12persons. In a civil case, the role of the jury isto listen to the evidence presented at a trial, todecide whether the defendant injured the plaintiff

or otherwise failed to fulll a legal duty to theplaintiff, and to determine what the compensationor penalty should be. A criminal trial jury isusually made up of 12 members. Criminal juriesdecide whether the defendant committed thecrime as charged. The sentence usually is set bya judge. Verdicts in both civil and criminal casesmust be unanimous, although the parties in acivil case may agree to a non-unanimous verdict.A jury’s deliberations are conducted in private,

out of sight and hearing of the judge, litigants,witnesses, and others in the courtroom.

A grand jury, which normally consists of 16to 23 members, has a more specialized function.The United States attorney, the prosecutor infederal criminal cases, presents evidence to thegrand jury for them to determine whether there

is “probable cause” to believe that an individualhas committed a crime and should be put ontrial. If the grand jury decides there is enoughevidence, it will issue an indictment against the

defendant. Grand jury proceedings are not openfor public observation.

Potential jurors are selected from any sourcethat will yield a representative sample of thepopulation at large. Most often jurors are chosenfrom a jury pool generated by random selectionof citizens’ names from lists of registered voters,or combined lists of voters and people withdrivers licenses, in the judicial district. Thepotential jurors complete questionnaires to help

determine whether they are qualied to serveon a jury. After reviewing the questionnaires,the court randomly selects individuals to besummoned to appear for jury duty. Theseselection methods help ensure that jurorsrepresent a cross section of the community,without regard to race, gender, national origin,age or political afliation. Jurors receive modestcompensation and expenses from the court fortheir service.

Being summoned for jury service does notguarantee that an individual actually will serveon a jury. When a jury is needed for a trial,the group of qualied jurors is taken to thecourtroom where the trial will take place. The

judge and the attorneys then ask the potential jurors questions to determine their suitabilityto serve on the jury, a process called voir dire.The purpose of voir dire is to exclude from the

jury people who may not be able to decide thecase fairly. Members of the panel who knowany person involved in the case, who haveinformation about the case, or who may havestrong prejudices about the people or issuesinvolved in the case, typically will be excusedby the judge. The attorneys also may exclude acertain number of jurors without giving a reason.


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J U R O R Q U A L I F I C AT I O N SA N D E X E M P T I O N S

Qualications to be a Juror:

· United States citizen

· at least 18 years of age

· reside in the judicial district for one year

· adequate prociency in English

· no disqualifying mental or physical condition

· not currently subject to felony charges

· never convicted of a felony (unless civil rights have

been legally restored)

Exemptions from Service:

· active duty members of the armed forces

· members of police and re departments

· certain public ofcials

· others based on individual court rules (such as

members of voluntary emergency service organizations,

and people who recently have served on a jury)

Excuse from Service:

· may be granted at the court’s discretion on the grounds

of “undue hardship or extreme inconvenience”

Length of Service:

· trial jury service varies by court

· some courts require service for one day or for the

duration of one trial; others require service for a xed term

· grand jury service may be up to 18 months

Payment:

· $40 per day; in some instances jurors may also receivemeal and travel allowances

Employment Protections:

· By law, employers must allow employees time off

(paid or unpaid) for jury service. The law also forbids

any employer from ring, intimidating, or coercing any

permanent employee because of his or her federal juryservice

T E R M S O F J U R Y S E R V I C E


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B A N K R U P T C Y C A S E S

Federal courts have exclusive jurisdiction overbankruptcy cases. This means that a bankruptcy

case cannot be led in a state court. Thebankruptcy courts have been established byCongress to operate within the district courts andpresided over by bankruptcy judges.

The primary purposes of the law ofbankruptcy are:

(1) to give an honest debtor a “fresh start” inlife by relieving the debtor of most debts;

(2) to repay creditors in a fair and orderly

manner to the extent that the debtor hasproperty available for payment;(3) to reorganize a failing business by

restructuring debt or the business entityitself, or, alternatively, to provide aframework for the orderly liquidation ofthe failed enterprise; and

(4) to deter and remedy dishonest actions bydebtors or creditors that would have theeffect of undermining the purposes ofbankruptcy law.

Bankruptcy law creates predictability andharmony in the marketplace by providing therisk parameters for creditors in extending creditto debtors. Further, the bankruptcy courtsprovide commercial dispute resolution optionsbetween debtors and creditors once problemsarise in their relationship, providing stability tothe marketplace. Lastly, bankruptcy promotesentrepreneurialism since it allows a fresh start forthose who start new businesses, but fail for somereason beyond their control.

In the United States, unlike many othercountries, bankruptcy usually is voluntary.In other words, it is initiated by a debtor forprotection against creditors, rather than bycreditors to facilitate the collection of their claims

The Bankruptcy Code provides

three basic types of bankruptcy

proceedings:

· Liquidation of the debtor’s property

(except for certain exempt property)

and distribu tion of the proceeds, if

any, to creditors. (Chapter 7)

· Debt adjustment by an individual

debtor or husband and wife that

allows them to repay their credi tors,

in whole or in part, over a period of

up to ve years in accordance with a

detailed plan approved by the court.

(Chapter 13)

· Reorganization of the nancial

affairs of a debtor, usually a busi ness,

through a plan that is submitted for

approval by both creditors and the

court. (Chapter 11)


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from a common debtor. A voluntary bankruptcycase normally begins when the debtor les apetition with the bankruptcy court. A petitionmay be led by an individual, by a husband and

wife together, or by a corporation, partnership, orother business entity.

All individuals ling under any chapterof the Bankruptcy Code must have receivedcredit counseling from an approved creditcounseling agency either in an individual orgroup brieng within 180 days before lingfor bankruptcy. There are exceptions inemergency situations or where the U.S. trusteeor bankruptcy administrator has determined

that there are insufcient approved agencies toprovide the required counseling. In most states,the U.S. trustee or bankruptcy administrator isresponsible for approving the providers that offerthis special pre-bankruptcy brieng.

Creditors also may le involuntary bankruptcypetitions against debtors who are not paying theirdebts. Involuntary petitions are comparativelyrare in the United States system, where morethan 99% of all bankruptcy cases are commenced

voluntarily. A debt or who contests such a petitionmay not be placed into bankruptcy involuntarilyunless creditors can show that certain statutoryrequirements are met, including standing by thecreditors to le the petition, and that the debtor isnot generally paying debts as they become due.

A debtor, whether voluntary or involuntary, isrequired to le statements listing assets, income,liabilities, and the names and addresses of allcreditors and how much they are owed. Theling of a bankruptcy petition automaticallyprevents, or “stays,” virtually all collectionactions against the debtor and the debtor’sproperty (with some notable exceptions speciedby the Bankruptcy Code such as criminal actionsagainst the debtor). As long as the stay remainsin effect, creditors cannot bring or continue

lawsuits, garnish wages or seize property subjectto mortgages or other security interests, oreven make demands for payment, without rstobtaining permission from the bankruptcy court.

Creditors receive notice from the clerk of courtthat the debtor has led a bankruptcy petition,and they are required to le proofs of claim inorder to receive any share of a distribution fromthe debtor’s property.

More than 70% of bankruptcy cases are ledunder Chapter 7 of the Bankruptcy Code, whichinvolves liquidation of the debtor’s property. Inthese cases, the United States trustee, a JusticeDepartment ofcer appointed to supervise the

administration of the bankruptcy process inmost federal court districts, appoints a trustee inbank ruptcy who takes control of substantially allproperty of the debtor except for some categoriesthat are exempt from seizure. The trustee thenliquidates the property and distributes it tocreditors according to a schedule of prioritiesestablished by the Code. The trustee is alsoresponsible for challenging unjustied claims bycreditors, investigating possible misconduct by

the debtor before and during the bankruptcy, andfor recovering claims that the bankruptcy estatemay have against third parties, including partieswho may have received fraudulent transfers orpreferential payments from the debtor duringthe period immediately before bankruptcy. Atthe end of the liquidation process individualdebtors normally receive a “discharge” of allpre-bankruptcy claims against them, except forcertain categories of claims, such as for supportof dependents or for taxes, that may not bedischarged.

Any party in interest, including creditors andthe trustee in bankruptcy, may object to thedischarge of a particular claim or to the debtor’sgeneral discharge, on grounds such as fraud bythe debtor. If a timely objection is made, the


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bankruptcy court will hold a hearing and ruleon whether discharge of a challenged claim,or a general discharge of debts, is allowableunder the law. Litigation may also occur in a

bankruptcy case over such matters as who ownscertain property, how it should be used, what theproperty is worth, how much is owed on a debt,or how much money should be paid to lawyers,accountants, auctioneers, or other professionals.Litigation in the bankruptcy court is conducted inmuch the same way that civil cases are handled inthe district court. There may be discovery, pretrialproceedings, settlement efforts, and a trial.

In most liquidation cases involving debtors

who are consumers, there is little or no propertyin the bankruptcy estate to pay creditors. Inthese cases, the debtor will normally receive adischarge routinely, with little or no litigation.Bankruptcy cases may also be led to allow adebtor to reorganize and establish a plan to repaycreditors. Under Chapter 11 of the BankruptcyCode, nancially troubled businesses mayobtain court approval of a plan to repay theircreditors without immediately liquidating their

assets. Unlike “compositions” or other types ofnon-liquidation creditor arrangements in othercountries, Chapter 11 is part of United Statesbankruptcy law and occurs under the supervisionof a bankruptcy court. A trustee is not normallyappointed in Chapter 11 proceedings. Instead,the debtor continues to operate its business,subject to court supervision.

The ultimate purpose of Chapter 11 isto conrm a plan of reorganization for thedebtor. The U.S. trustee appoints at least onecommittee of creditors to monitor the debtorand to negotiate a plan of reorganization. Allplans must be submitted to the bankruptcycourt, along with proposed disclosure statementsexplaining to parties in interest what their rightswill be under each plan. If the court conrms

the plan, the reorganized entity emerges fromChapter 11, with the obligations established bythe plan replacing its pre-bankruptcy obligations.If no plan is conrmed, or if a party in interest

persuades the court that a reorganization wouldnot be practicable, the court may dismiss thereorganization case or convert it to a liquidationunder Chapter 7.

Chapter 13 of the Bankruptcy Code createsa simpler kind of reorganization for individualswith continuing incomes, subject to certainmaximum limits on amount of debt. UnderChapter 13, the debtor proposes a plan forrepaying debt from future earnings rather than

through liquidation of the debtor’s property.Plans of this kind typically provide that allthe debtor’s disposable income for a period ofthree to ve years will be devoted to repayingcreditors. If the court nds that the plan isproposed in good faith, it may conrm the planeven over the objections of creditors. A trusteeis appointed to supervise the execution of theplan. The debtor will pay everything requiredunder the plan to the trustee, who in turn will

pay creditors in the amounts required by theplan. If the debtor satisfactorily completes theplan’s requirements, he or she will then receivea discharge from all obligations other than thosespecically excepted from discharge by theCode.

A frequently used provision is BankruptcyCode § 304, which authorizes the commencementof a case ancillary to a foreign insolvencyproceeding. In cases where a debtor who is thesubject of an insolvency proceeding in anothercountry has property in the United States,a representative of the foreign tribunal maycommence a proceeding in a United Statesbankruptcy court under § 304. The bankruptcycourt has authority to fashion whatever reliefis appropriate under the circumstances,


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including the granting of injunctions barring thecommencement or continuation of proceedingsin other United States courts against theforeign debtor or its property. The court also

has authority, where appropriate, to order theturnover of United States property of the foreigndebtor to the foreign representative.

T H E A P P E A L S P R O C E S S

The losing party in a decision by a trial courtin the federal system is entitled as a matter ofright to appeal the decision to a federal court ofappeals. Similarly, a litigant who is not satised

with a decision made by a federal administrativeagency in the executive branch usually mayle a petition for review of the agency decisionby a court of appeals. Judicial review in casesinvolving certain federal agencies or programs—for example, disputes over Social Securitybenets—may be obtained rst in a district courtrather than directly to a court of appeals.

In a civil case either side may appeal theverdict. In a criminal case, the defendant may

appeal a guilty verdict, but the government maynot appeal if a defendant is found not guilty.Either side in a criminal case may appeal withrespect to the sentence that a judge imposesafter a guilty verdict.

In most bankruptcy courts, an appeal of aruling by a bankruptcy judge may be taken to thedistrict court. In several circuits, a BankruptcyAppellate Panel consisting of three bankruptcy

judges has been established to hear appeals

directly from the bankruptcy courts. In eithersituation, the party that loses in the initialbankruptcy appeal may then appeal further tothe court of appeals. Most appeals from decisionsof magistrate judges are taken to a district judge.But when a magistrate judge tries a case onconsent of the parties, an appeal may be taken

directly to the court of appeals.A litigant who les an appeal, known as an

“appellant,” must show that the trial court oradministrative agency made a legal error that

affected the decision in the case. The court ofappeals makes its decision based on the record ofthe case established by the trial court or agency.It does not receive additional evidence or hearwitnesses. The court of appeals also may reviewthe factual ndings of the trial court or agency,but typically may only overturn a decision onfactual grounds if the ndings were “clearlyerroneous.” The appellate court may not hearnew evidence, but may “remand” the case to the

trial court for that purpose.Appeals are decided by panels of three judges

working together. The appellant presents legalarguments to the panel, in writing, in a documentcalled a “brief.” In the brief, the appellant tries topersuade the judges that the trial court made anerror, and that its decision should be reversed. Onthe other hand, the party defending against theappeal, known as the “appellee,” tries in its briefto show why the trial court decision was correct,

or why any error made by the trial court was notsignicant enough to affect the outcome of the case .

Although some cases are decided on the basisof the litigants’ briefs through short writtendecisions by the court, many cases are selectedfor an “oral argument” before the court. Oralargument in the court of appeals is a structureddiscussion between the appellate lawyers and thepanel of judges focusing on the legal principlesin dispute. Each side is given a short time—usually about 15 minutes—to present argumentsto the court.

The court will usually state the reasons forits decision in a written opinion. A judge on thepanel who disagrees with the majority opinionmay write a separate dissenting opinion. Thedissenting opinion may help the analysis of the


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FEDERAL JUDICIALADMINISTRATION

Three of the essential

characteristics of federal judicial

administration are that:

· The federal judiciary is a separate,

independent branch of the

government that has been given

statutory authority to manage its own

affairs, hire and pay its own staff, and

maintain its own separate budget.

· The management of the federal

judiciary is largely decentralized.

The Judicial Conference of the

United States establishes national

policies and approves the budget

for the judiciary, but each court has

substantial local autonomy.

· Judges are in charge of the judiciary

at all levels and establish the policies

for management of the courts.

Court administrators are hired by the

judges and report to the judges.

I N D I V I D U A L C O U R T S

The day-to-day responsibility for judicialadministration rests largely with each individualcourt. Each court is given the responsibility bystatute and administrative practice to appoint itsown support staff and manage its own affairs. Underthe judiciary’s budget decentralization program,moreover, substantial budget and administrativeresponsibility has been delegated to each court.

Each court in the federal system has achief judge who, in addition to hearing cases,has administrative responsibilities relating to

the operation of the court. The chief judge isnormally the judge who has served on the courtthe longest. District court, court of appeals, andCourt of International Trade judges must beunder age 65 to become chief judge. They mayserve as chief judge for a maximum of sevenyears, and they may not serve as chief judgebeyond the age of 70.

The chief judge of each court plays a keyleadership role in overseeing the operations of

the court, promoting its efciency, and ensuringaccountability to the public. The court operatesas a collegial body, and important policy decisionsare made by all judges of the court workingtogether under the leadership of the chief judge.

C O U R T S T A F F

Judicial branch staff are not part of the executivebranch, and therefore are not part of the federal

civil service system. Instead, the JudicialConference and the Director of the AdministrativeOfce of the United States Courts haveestablished a separate personnel system for courtofcers and employees that includes a exiblepay structure, standard qualications for certainpositions, and an employee dispute resolution


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Court Support Staff

In addition to their personal chambers

staff of law clerks and secretaries,

judges rely on central court support

staff to assist in the work of the

court. These staff include:

Clerk

Circuit Executive

Court Reporter

Court Librarian

Staff Attorneys and

Pro Se Law Clerks

Pretrial Services Ofcers and

Probation Ofcers.

procedure. Individual courts have wide discretion,within the national standards, to hire and pay theirown employees. Court staff are supervised by, andresponsible to, the judges of their court, not the

Administrative Ofce of the United States Courts.

C L E R K O F T H E C O U R T

In addition to their own personal chambers staff oflaw clerks and secretaries, judges rely on centralcourt support staff to assist in the work of the court.

The primary administrative ofcer of eachcourt is the clerk of the court. The clerk managesthe court's non-judicial functions in accordance

with policies set by the court and reports directlyto the court through its chief judge. Among theclerk’s many functions are:

· Maintaining the records and dockets of thecourt

· Operating the court’s computerized systems · Keeping track of the court’s budget and

expenditures

· Maintaining property and personnel records

· Paying all fees, nes, costs and other moniescollected into the U.S. Treasury

· Administering the court’s jury system

· Providing interpreters and court reporters

· Sending ofcial court notices and summons · Providing courtroom support services · Responding to inquiries from the bar and

the public


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O T H E R C E N T R A L C O U R TS T A F F

Pretrial services ofcers and probation ofcers

interview defendants before trial; investigatedefendants’ backgrounds; le detailed reportsto assist judges in deciding on conditions ofrelease or detention of defendants before trialand on sentencing of convicted defendants; andsupervise released defendants.

Staff attorneys and pro se law clerks assist thecourt with research and drafting of opinions.

Court reporters make a word-for-word recordof court proceedings and prepare a transcript.

Court librarians maintain court libraries andassist in meeting the information needs of the

judges and lawyers.

T H E C I R C U I T J U D I C I A LC O U N C I L S

A judicial council in each geographic circuitoversees the administration of the courts locatedin the circuit. Each judicial council consists of thechief circuit judge, who serves as the chair, and anequal number of other circuit (court of appeals)

judges and district (trial court) judges. Each judicialcouncil appoints a circuit executive, who worksclosely with the chief circuit judge to coordinate awide range of administrative matters in the circuit.

The judicial council assures accountability tothe citizens through its broad authority to overseenumerous aspects of court of appeals and districtcourt operations. The council is authorized bystatute to issue orders to individual judges and

court personnel. As part of its responsibilityto ensure that individual courts are operatingeffectively, the judicial council reviews local courtpolicies and actions on such matters as employmentdisputes, jury selection, legal defense for indigentdefendants, court backlogs and local proceduralrules for litigation. In addition, the council has

authority to approve courts’ requests for exceptionsto national guidelines on stafng, resources, andexpenses. And the judicial council may be calledupon to take action to solve problems that the chief

judge or local court cannot resolve on its own.

T H E J U D I C I A L C O N F E R E N C EO F T H E U N I T E D S T A T E S

The Judicial Conference of the United States,established by statute in 1922, is the federal courts’national policy-making body, and it speaks for the

judicial branch as a whole. The Chief Justice of theUnited States presides over the Conference, which

consists of 26 other judges, including the chief judge of each court of appeals, one district court judge from each regional circuit, and the chief judge of the Court of International Trade.

The Judicial Conference works throughcommittees established along subject matterlines to recommend national policies andlegislation on all aspects of federal judicialadministration. The committees, all of which areappointed by the Chief Justice, consist mostly

of judges. Committees address such matters asbudget, rules of practice and procedure, courtadministration and case management, criminallaw, bankruptcy, judicial resources (judgeshipsand personnel matters), automat

Documents

The Federal Court System in the United States