This booklet gives 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.
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2. THE FEDERAL COURT SYSTEM IN THE UNITED STATES An Introduction for Judges and Judicial Administrators in Other Countries Judicial Services Office Department of Program Services Administrative Office of the United States Courts Thurgood Marshall Federal Judiciary Building Washington, D.C. 20544 2016 4th Edition The Administrative Office of the U.S. Courts developed this publication 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 Office of the U.S. Courts 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.
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4. Preface This booklet is designed to introduce judges and judicial administrators in other countries to the U.S. federal judicial system, its organization and administration, and its relationship to the legislative and executive branches of the government. The Judicial Services Office of the Administrative Office of the U.S. Courts developed this booklet to support the work of the Judicial Conference Committee on International Judicial Relations. The Chief Justice presides over the Judicial Conference of the United States, the national policymaking body of the federal courts. Congress passed legislation establishing the earliest form of the Judicial Conference in 1922. Today, 26 judges comprise the Conference—the chief judge of each of the 13 federal courts of appeals, 12 district (trial) judges elected from each of the geographic circuits, and the chief judge of the U.S. Court of International Trade. The Chief Justice appoints judges and a small number of outside experts to serve on subject-matter committees that assist the Judicial Conference with its work. The Committee on International Judicial Relations—the committee responsible for this publication—is composed of several federal judges and a representative from the U.S. Department of State, who, among other things: • coordinate the federal judiciary’s relationship with foreign judiciaries and other organizations interested in international judicial relations and the establishment and expansion of the rule of law; and • serve as a point of contact for foreign courts and international organizations communicating with the Chief Justice, the Judicial Conference, and the federal judiciary.
5. Table of Contents The United States Constitution and the Federal Government........................................................................1 The Legislative Branch.........................................................................................................................................2 The Executive Branch...........................................................................................................................................3 The Judicial Branch................................................................................................................................................3 The Role of the Federal Courts in American Government................................................................................5 The Federal Courts and Congress ................................................................................................................5 The Federal Courts and the Executive Branch.........................................................................................5 The Federal Courts and the Public................................................................................................................6 The Structure of the Federal Courts.............................................................................................................................8 Trial Courts................................................................................................................................................................8 Appellate Courts.................................................................................................................................................10 The United States Supreme Court..............................................................................................................11 The Jurisdiction of the Federal Courts.....................................................................................................................12 Relationship Between the State Courts and the Federal Courts..................................................12 Types of Cases That May Be Filed in the Federal and State Courts...........................................13 United States Federal Judges.......................................................................................................................................15 Appointment of Judges...................................................................................................................................15 Article III Judges...................................................................................................................................15 Other Federal Judges.........................................................................................................................16 State Judges...........................................................................................................................................16 Federal Judicial Ethics.......................................................................................................................................17 Judges’ Compensation.....................................................................................................................................18 Senior and Retired Judges..............................................................................................................................18 Judicial Education...............................................................................................................................................18 Judges’ Staff...........................................................................................................................................................19 Distinctive Features of the American Judicial System......................................................................................20 The Adversary System......................................................................................................................................20 The Common-Law System.............................................................................................................................20
6. Fees and Costs of Litigation...........................................................................................................................21 Execution of Judgments..................................................................................................................................21 Procedural Rules for Conducting Litigation...........................................................................................22 Reporting of Judicial Proceedings..............................................................................................................22 Publication of Court Opinions......................................................................................................................23 The Federal Judicial Process in Brief.........................................................................................................................24 Civil Cases...............................................................................................................................................................24 Criminal Cases......................................................................................................................................................26 Jury Service............................................................................................................................................................30 Bankruptcy Cases................................................................................................................................................32 The Appeals Process.........................................................................................................................................35 Federal Judicial Administration...................................................................................................................................37 Individual Courts.................................................................................................................................................37 Court Staff..............................................................................................................................................................38 Clerk of the Court...............................................................................................................................................38 Other Central Court Staff................................................................................................................................39 The Circuit Judicial Councils..........................................................................................................................39 The Judicial Conference of the United States.......................................................................................40 The Administrative Office of the United States Courts....................................................................41 The Federal Judicial Center............................................................................................................................42 The United States Sentencing Commission...........................................................................................43 The Judiciary Budget.........................................................................................................................................43 Courthouse Space, Facilities, and Security.............................................................................................44 Information Technology in the Judicial Branch....................................................................................44 Strategic Planning and Management Efficiency in the Federal Courts....................................45 Disciplinary Mechanisms.................................................................................................................................47 Other Formal Mechanisms.............................................................................................................................48 Informal Mechanisms.......................................................................................................................................49 Commonly Asked Questions About the Federal Judicial Process..............................................................50 Common Legal Terms......................................................................................................................................................54
7. List of Features U.S. Constitution, Article III...............................................................................................................................................3 Geographic Boundaries of the United States Courts of Appeals and the United States District Courts..........................................................................................................................9 The United States Federal Courts...............................................................................................................................10 Examples of Jurisdiction in the Federal and State Courts..............................................................................14 The Code of Conduct for United States Judges..................................................................................................17 Juror Qualifications and Exemptions........................................................................................................................31 Terms of Jury Service........................................................................................................................................................31 Types of Bankruptcy Proceedings..............................................................................................................................33 Characteristics of Federal Judicial Administration..............................................................................................38 Court Support Staff...........................................................................................................................................................39 Current Judicial Conference Committees...............................................................................................................40
8. THE UNITED STATES CONSTITUTION AND THE FEDERAL GOVERNMENT The U.S. Constitution, adopted in 1789 rights. Adopted as the first ten and amended only rarely since then, is amendments to the Constitution in 1791, the supreme law of the United States. the Bill of Rights prohibits the government The Constitution established a republic from infringing upon an individual’s rights under which the individual states retain to free speech, freedom of assembly, considerable sovereignty and authority. freedom to seek redress of grievances, Each state, for example, has its own freedom from unreasonable searches and elected executive (governor), legislature, seizures, due process of law, protection and court system. The federal, or national, against compelled self-incrimination, government is one of strong, but limited, protection against seizure of property powers. The federal government may without just compensation, a speedy and exercise only the powers specified in public trial in criminal cases, trial by jury in the Constitution itself. The Constitution both criminal and civil cases, and assistance specifies that all other powers are reserved of counsel in criminal prosecutions. to the states and the people. This system of The Constitution also established divided powers is known as “federalism.” three separate branches of the U.S. The Bill of Rights guarantees that the Government—the legislative (Article I), government will not interfere with an executive (Article II), and judicial (Article III) individual’s exercise of certain fundamental branches. The constitutional system divides THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................1
9. powers among these three branches of for one or both houses of Congress to be the federal government and establishes controlled by the opposition party. Under a system of “checks and balances.” Each the Constitution’s structure of separate but branch is formally separate from the other equal branches of government, there are two, and each has certain constitutional no provisions to dissolve the government authority to check the actions of the other or call for early general elections. branches. The Senate and House of Representatives both establish their own rules of procedure and designate their THE LEGISLATIVE BRANCH members to serve on subject-matter committees. The committee assignments Congress, the national legislature of the in Congress are based primarily upon United States, is composed of two houses seniority. Congress carries out the or chambers—the Senate and the House of bulk of its work in committee, where Representatives. Each state is represented legislators draft laws, appropriate funds for by two senators who are elected for six- government operations, and hold hearings. year terms. One-third of the Senate is Congressional hearings develop the record elected every two years. Members of the on matters under a committee’s jurisdiction House of Representatives are elected from and may involve overseeing government local districts within states. Each state agencies, evaluating programs, or receives a number of representatives in investigating issues. Congress normally proportion to its population. The entire requests and occasionally compels House is elected every two years. government administrators and citizen To become law, proposed legislation experts to testify before its committees. must be passed by both houses of The federal courts, for example, maintain Congress and signed by the president. If regular communications with the Judiciary the president does not sign, or vetoes, a Committees and the Appropriations bill, it may still be enacted, but only by a Committees of the Senate and the House two-thirds vote of each house of Congress. of Representatives, and judges selected The U.S. government is not a to represent the courts regularly present parliamentary or cabinet system of testimony to congressional committees on government, as in the United Kingdom and issues of concern to the judiciary. many other democracies around the world. Under the U.S. Constitution, the president is both the head of state and the head of Two central features of the the government. The president appoints a government established under the U.S. cabinet—consisting of the heads of major Constitution are: executive departments and agencies—but • federalism; and neither the president nor any member of the cabinet sits in Congress. The president’s • checks and balances among the three political party, moreover, does not need separate branches of the government. to hold a majority of the seats in Congress to stay in office. In fact, it is not unusual 2............................................................................................................................The Administrative Office of the U.S. Courts
10. THE EXECUTIVE BRANCH The president is elected every four U.S. Constitution, Article III years and under the Constitution may serve no more than two terms in office. Once The judicial Power of the United States, elected, the president selects a cabinet, shall be vested in one supreme Court, each member of which must be confirmed and in such inferior Courts as the by the Senate. Each cabinet member is Congress may from time to time ordain the head of a department in the executive and establish. The Judges, both of the branch. The cabinet includes, for example, supreme and inferior Courts, shall hold the Secretary of State, the Secretary of their Offices during good Behaviour, Defense, the Secretary of the Treasury, the and shall, at stated Times, receive for Secretary of Homeland Security, and the their Services, a Compensation, which Attorney General. shall not be diminished during their The president, the cabinet, and other Continuance in Office. members of a president’s administration are responsible for operating the executive branch of the federal government and for executing and enforcing the laws. Although the Secretary of Homeland Security U.S. attorneys represent the oversees some law enforcement agencies, government in all criminal cases in federal such as Immigration and Customs court and most civil suits against the Enforcement and the Secret Service, the government, making the United States Attorney General is the government’s chief the chief litigant in the federal courts. To law enforcement officer. The Attorney prevent any undue influences or sway General heads the U.S. Department over the courts, the executive branch of of Justice and is responsible for the government plays no role in administration administration of the Bureau of Prisons; or budgeting for the federal courts. the Federal Bureau of Investigation; the Bureau of Alcohol, Tobacco, Firearms and Explosives; the U.S. Marshals Service; and THE JUDICIAL BRANCH other law enforcement organizations. The Attorney General also holds the authority The framers of the Constitution to prosecute crimes and represent the considered an independent federal government’s legal interests in civil cases. judiciary essential to ensure fairness and To serve as an adjunct to the Attorney equal justice to all citizens of the United General, the president appoints a U.S. States. As a result, the federal judiciary is attorney to serve as the chief prosecutor a separate, self-governing branch of the in each of the 94 federal judicial districts. government. The Congress enacts the The U.S. attorneys report to the Attorney laws, the president and the many executive General and may be removed from office branch departments and agencies act by the president. on and enforce the laws, and the courts interpret the law. The courts play no active THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................3
11. role in enforcing the laws—that is the role The Constitution protects the of the president and the executive branch independence and integrity of the judicial departments and agencies. branch in two principal ways. First, The courts interpret the law by issuing federal judges appointed under Article judgments on actual legal disputes III of the Constitution may serve for life brought before them by adversarial parties. and may only be removed from office Federal judges also interpret and issue through impeachment and conviction rulings on the constitutionality of laws by Congress for “Treason, Bribery, or when parties to a dispute challenge a other high Crimes and Misdemeanors.” law’s constitutionality. The federal courts Second, the Constitution provides that the are often called the guardians of the compensation of Article III federal judges Constitution, because court rulings protect “shall not be diminished during their the rights and liberties guaranteed by the Continuance in Office,” which means that Constitution. neither the president nor Congress can reduce the salaries of most federal judges. These two protections help an independent judiciary to decide cases free from popular passion and political influence. 4............................................................................................................................The Administrative Office of the U.S. Courts
12. THE ROLE OF THE FEDERAL COURTS IN AMERICAN GOVERNMENT THE FEDERAL COURTS AND become federal judges. Fourth, judges appointed under Article III of the U.S. CONGRESS Constitution may only be involuntarily removed from office after being impeached Congress has four basic responsibilities by the House of Representatives and under the Constitution that determine how convicted of treason, bribery, or other high the federal courts will operate. First, the crimes and misdemeanors in a trial before legislature authorizes the creation of all the Senate. federal courts below the Supreme Court, defines the jurisdiction of the courts, and decides how many judges there should be for each court. Second, Congress THE FEDERAL COURTS AND approves the federal courts’ budget and THE EXECUTIVE BRANCH appropriates money each year to fund the judiciary. The judiciary’s budget is a Under the Constitution, the president very small part—about two-tenths of one nominates Article III constitutional judges percent—of the entire federal budget. to a lifetime appointment, subject to Third, through the confirmation process, approval by the Senate. The president the Senate determines which of the usually consults senators or other elected president’s judicial nominees ultimately THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................5
13. officials concerning potential candidates access to court proceedings and inspire for vacancies on the federal courts. respect for the tradition and purpose of The president’s power to appoint new the American judicial process. In addition, federal judges is not the judiciary’s only many courthouses are historic buildings interaction with the executive branch. or landmark examples of contemporary The Department of Justice, which is architecture. responsible for prosecuting federal crimes A citizen who wishes to observe a court and for representing the government in session may go to a federal courthouse, civil cases, is the most frequent litigator check the court calendar, which is posted in the federal court system. Executive on a bulletin board or electronic kiosk, branch agencies also assist the judiciary and watch almost any proceeding. Anyone with certain administrative operations. may review a case file using an electronic The U.S. Marshals Service, for example, access terminal at the clerk of court’s office. provides security for federal courthouses Court schedules, dockets, judgments, and judges, and the General Services opinions, and pleadings are also available Administration builds and maintains to the public in electronic form through the federal courthouses. internet. Military courts, a number of specialized Limited radio or television coverage of subject-matter tribunals, and some arguments before the appellate courts is executive agencies adjudicate disputes in available in some federal courts, but, unlike the first instance involving specific federal most state courts, the federal courts do not laws and benefits programs. These bodies permit broadcast coverage of most trials. are not part of the judiciary established The right of public access to court under Article III of the Constitution, so proceedings is partly derived from the their jurisdiction is limited. Administrative Constitution and partly from court and law judges and non-judiciary tribunals are common-law tradition. By conducting their limited to resolving disputes on questions judicial work in public view, judges enhance arising from matters such as the tax laws; public confidence in the courts, allow patent and copyright laws; labor laws; citizens to learn firsthand how our judicial social security statutes and regulations; system works, and facilitate development approval of radio and TV licenses; and of the law. the like. Appeals of final decisions in Although there is a very strong these cases typically may be taken to the presumption that all court records and Article III courts. proceedings are open to the public, in some situations public access may be limited. In a high-profile trial, for example, THE FEDERAL COURTS AND there may not be enough space in the courtroom to accommodate everyone THE PUBLIC who would like to observe. The court may also restrict access to the courtroom for With few exceptions, the federal judicial security or privacy reasons, such as when process is open to the public. Federal a juvenile or a law enforcement informant courthouses are designed to provide public 6............................................................................................................................The Administrative Office of the U.S. Courts
14. is testifying. Finally, certain documents include confidential business records, law may be placed under seal by the judge, enforcement reports, criminal investigation meaning that they are not available to the documents, juvenile records, and cases public. Examples of sealed information may involving national security issues. THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................7
15. THE STRUCTURE OF THE FEDERAL COURTS The federal courts have jurisdiction to district courts have jurisdiction to hear hear a broad variety of cases. The same nearly all categories of federal cases. There federal judges handle civil and criminal are 94 federal judicial districts, including cases; public law and private law disputes; one or more in each state, the District of cases involving individuals, corporations, Columbia, and Puerto Rico. In the U.S. and government entities; appeals from territories of Guam, the Commonwealth administrative agency decisions; and law of the Northern Marianna Islands, and and equity matters. All federal judges the U.S. Virgin Islands, similarly structured have the authority to decide issues territorial district courts act as the federal regarding the constitutionality of laws and trial courts. governmental actions that arise in their Each U.S. judicial district includes a cases. The United States does not have a bankruptcy court operating as a unit of separate system of constitutional courts. the district court. The bankruptcy court has jurisdiction over almost all matters involving insolvency cases, except criminal TRIAL COURTS issues. Once a case is filed in a bankruptcy court, related matters pending in other The U.S. district courts are the principal federal and state courts may be removed trial courts in the federal system. The to the bankruptcy court. The bankruptcy 8............................................................................................................................The Administrative Office of the U.S. Courts
16. courts are administratively managed by trial by a jury in many categories of cases, bankruptcy judges. including: (1) all criminal prosecutions Two special trial courts in the U.S. except petty offenses; (2) civil cases in federal judiciary have nationwide which the right to a jury trial applied jurisdiction. The U.S. Court of International under English law at the time of American Trade addresses cases involving independence; and (3) cases in which the international trade and customs issues. The Congress has expressly provided for the U.S. Court of Federal Claims has jurisdiction right to trial by jury. over disputes involving federal contracts, In the U.S. territories of Guam, the the taking of private property by the Northern Marianna Islands, and the U.S. federal government, and a variety of other Virgin Islands, territorial district courts monetary claims against the United States. hear trials on matters arising under federal Trial court proceedings are normally law and resolve bankruptcy cases. These conducted by a single judge, sitting alone jurisdictions may limit the application of or with a jury of citizens as finders of fact. U.S. constitutional provisions in favor of The U.S. Constitution provides for a right to conflicting local laws (such as laws limiting Geographic Boundaries of the United States Courts of Appeals and the United States District Courts THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................9
17. the right to trial by jury). Territorial district judges also serve term appointments and The United States can be removed from office for cause. Federal Courts Supreme Court APPELLATE COURTS United States Supreme Court The 94 judicial districts are organized into 12 regional circuits, each of which Appellate courts has a U.S. court of appeals. A court of U.S. Courts of Appeals (12 regional appeals hears appeals from the district courts of appeals and the national courts located within its circuit, as well as jurisdiction Court of Appeals for the appeals from certain federal administrative Federal Circuit) agencies. In addition, the U.S. Court of Appeals for the Federal Circuit has nationwide jurisdiction to hear appeals in Trial courts specialized cases, such as those involving U.S. District Courts (94 judicial districts patent laws and cases decided by the U.S. and the U.S. bankruptcy courts) Court of International Trade or the U.S. Court of Federal Claims. U.S. Court of International Trade Litigants have a right of appeal in every U.S. Court of Federal Claims federal case in which a district court enters a final judgment. For a court of appeals to review a matter, one or more parties to a Other federal tribunals that are not case must file a timely appeal challenging within the judicial branch the lower court’s decision. When an appeal Military Courts (trial and appellate) is filed, a three-judge panel of the court of appeals typically reviews the decision. The U.S. Court of Appeals for Veterans court of appeals does not hear additional Claims evidence and normally must accept the United States Tax Court factual findings established by the trial court. If additional fact finding is necessary, Administrative agency offices and the court of appeals may remand the boards case to the trial court or administrative agency for further development of the record. Remand is unnecessary in most cases, however, and the court of appeals either affirms or reverses the lower court or agency decision in a written order or In cases of unusual importance, a court of appeals may vote to sit “en banc” to review the decisions of a three-judge panel. 10............................................................................................................................The Administrative Office of the U.S. Courts
18. During an en banc sitting, all the appellate THE UNITED STATES judges in the circuit will normally come together to rehear a case. The full court will SUPREME COURT then either affirm or reverse the panel with The U.S. Supreme Court is the highest an en banc decision. The largest courts court in the United States. The Court of appeals may split themselves into two consists of the Chief Justice of the United en banc panels that operate in the same States and eight Associate Justices. The Court sits en banc, with all nine justices hearing and deciding cases together, unless one of the justices does not participate in the case for some reason, such as an ethics conflict. The Supreme Court’s caseload consists of matters assigned to the Court and a small number of carefully selected discretionary cases. The Constitution and federal law provide that the Supreme Court will act as the court of first instance or exercise mandatory appellate review in a few designated cases, such as boundary disputes between the states. The remainder of the Supreme Court docket is determined electively when at least four Supreme Court justices agree to hear a case. The Court typically selects cases that present an important constitutional question or issue of federal law that needs to be clarified, such as when the regional courts of appeals “split” on a question of law and issue contradictory rulings. THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................11
19. THE JURISDICTION OF THE FEDERAL COURTS RELATIONSHIP BETWEEN The state courts have jurisdiction over a wider variety of disputes than the THE STATE COURTS AND THE federal courts. State courts, for example, FEDERAL COURTS have jurisdiction over virtually all divorce and child custody matters, probate and Although federal courts are located in inheritance issues, real estate questions, every state, they are not the only forum and juvenile matters. Most criminal cases, available to litigants. In fact, the great contract disputes, traffic violations, and majority of legal disputes in American personal injury cases are also resolved in courts are addressed in the separate state the state courts. or local court systems. Most of the state Federal courts decide cases that or local court systems, like the federal involve the U.S. government or its officials, judiciary, have trial courts of general the U.S. Constitution or federal laws, or jurisdiction, intermediate appellate courts, controversies between states or between and a supreme court. They may also have the United States and foreign governments. specialized lower level courts, county A case also may be filed in federal court— courts, municipal courts, small claims even if no question arising under federal courts, or justices of the peace to handle law is involved—if the litigants are citizens minor matters. of different states or the dispute arises 12............................................................................................................................The Administrative Office of the U.S. Courts
20. between citizens of the United States and TYPES OF CASES THAT MAY those of another country. In the initial stages of any lawsuit the BE FILED IN THE FEDERAL plaintiff must assert the legal basis for AND STATE COURTS the court’s jurisdiction over the case and the court must make an independent The table on page 14 gives some determination that it has jurisdiction to examples of the cases that may be address the case. If a case is filed initially in addressed exclusively in the state courts a federal court, but the court determines or in the federal courts, as well as some that it lacks jurisdiction to adjudicate, the examples of concurrent jurisdiction (cases case must be dismissed. Under certain that may be heard in either state or federal circumstances, a case that was improperly court). filed in federal court may be “remanded” to a state court that has jurisdiction to hear the case. Conversely, a case that was filed in a state court may, if certain conditions are met, be “removed” to a federal court. The federal and state courts are required to extend “full faith and credit” to each other’s respective judgments. But under the Supremacy Clause of the Constitution, a federal law preempts any conflicting state law. THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................13
21. Examples of Jurisdiction in the Federal and State Courts STATE OR FEDERAL STATE COURTS FEDERAL COURTS COURTS crimes under state legislation crimes under statutes enacted crimes punishable under both by Congress federal or state law state constitutional issues and cases involving state laws or most cases involving federal federal constitutional issues regulations laws or regulations (e.g., tax, Social Security, broadcasting, certain civil rights claims family law issues civil rights) “class action” cases real property issues matters involving interstate and international commerce, environmental regulation landlord and tenant disputes including airline and railroad regulation certain disputes involving most private contract disputes federal law (except those resolved under cases involving securities bankruptcy law) and commodities regulation, including takeovers of publicly most issues involving the held corporations regulation of trades and professions admiralty cases most professional malpractice international trade law matters issues patent, copyright, and other most issues involving the intellectual property issues internal governance of business associations, such as cases involving rights under partnerships and corporations treaties, foreign states, and foreign nationals most personal injury lawsuits state law disputes when most workers’ injury claims “diversity of citizenship” exists probate and inheritance bankruptcy matters matters disputes between states most traffic violations habeas corpus actions traffic violations and crimes occurring on certain federal property 14............................................................................................................................The Administrative Office of the U.S. Courts
22. UNITED STATES FEDERAL JUDGES APPOINTMENT OF JUDGES examinations are administered to judicial candidates. Rather, a person seeking a Article III Judges judgeship is required to complete a lengthy set of forms that set forth in detail his Justices of the Supreme Court, judges or her personal qualifications and career of the courts of appeals and the district accomplishments, including such matters courts, and judges of the U.S. Court as academic background, job experiences, of International Trade are appointed public writings, intellectual pursuits, legal under Article III of the Constitution and cases handled, and outside activities. essentially may serve for life. Article III Candidates also are subject to extensive judges are nominated and appointed by interviews, background investigations, the president of the United States and and follow-up questioning prior to their must be confirmed by the Senate. The nomination. judiciary plays no role in the political Politics may be an important factor process surrounding the nomination or in the appointment of Article III judges. confirmation of judges. Nominees are normally selected by the The primary criterion for appointment president from a list of candidates provided to a federal judgeship is a person’s total by senators or other office holders within career and academic achievements. No the state in which the appointment is to THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................15
23. be made. Article III judges are nominated U.S. Court of Federal Claims judges, by the president, usually from among the bankruptcy judges, and magistrate judges ranks of prominent practicing lawyers, who exercise specific authorities delegated lower federal court judges, state court to them by Congress or assigned to them judges, or law professors who reside within by the district courts. the district or circuit where the court sits. U.S. Court of Federal Claims judges The president’s nominee must appear in are appointed for terms of 15 years by the person at a hearing before the Senate president, subject to confirmation by the Judiciary Committee, and the Senate votes Senate, and they can be removed from to confirm each judge. office for cause by a majority vote of the Each federal judge is appointed to judges of the U.S. Court of Appeals for the fill a specified, authorized judgeship in a Federal Circuit. particular district or circuit. Judges have Bankruptcy judges and magistrate no authority to hear cases in another judges are judicial officers of the district federal jurisdiction unless they are formally courts, appointed by the courts of appeals designated and assigned to the other court and the district courts, respectively. The as a visiting judge. Courts seek assistance courts select bankruptcy and magistrate from visiting judges to manage temporary judges after evaluating applicants with increases in caseloads, cases that present the assistance of merit selection panels a conflict of interest for local judges, or composed of local lawyers and other backlogs that result from unfilled judicial citizens. vacancies. Bankruptcy judges serve 14-year terms, Once appointed, the Constitution gives while magistrate judges are appointed Article III judges two key protections— for 8-year terms. Before reappointing lifetime appointment and the guarantee a bankruptcy or magistrate judge, the that their pay will not be decreased while court must publish a public notice they are in office. The Constitution’s seeking comments on the incumbent’s protections limit the political pressures performance. The appointing court on the judicial branch and give judges then convenes a panel to consider some protection when they issue public comments and make a merit- unpopular decisions. To complement these based recommendation on whether the protections, Article III judges can only be incumbent should be reappointed. During removed from office for “high crimes and their term of service, bankruptcy and misdemeanors” by Congress through the magistrate judges may also be removed impeachment process. However, judges can for cause by a majority of the judges of the be prosecuted for criminal conduct while in appointing court. State Judges Other Federal Judges State judges handle most cases in the In addition to the judgeships United States, but they are not part of the established under Article III of the U.S. federal court system. Rather, state court Constitution, the judicial branch includes judges are a part of state court systems 16............................................................................................................................The Administrative Office of the U.S. Courts
24. established by state governments. Like percent of the judge’s salary. Furthermore, federal judges, state judges are required judges may not engage in political activity, to support the U.S. Constitution and the practice of law, or business activity may invalidate state laws that they find (except investments). inconsistent with the Constitution. State Judges may request specific guidance judges are selected in several ways, on ethical issues from the Judicial according to state constitutions and Conference’s Committee on Codes of statutes. In most states, judges are either Conduct. The Committee’s judges are selected by popular vote in a general authorized to draft the codes of conduct election or initially appointed by the state and render written advisory opinions to governor and later subject to a vote on judges and court employees interpreting retention in the general election. the code. The Committee also publishes selected advisory opinions based on the facts presented in common inquiries. The FEDERAL JUDICIAL ETHICS published opinions summarize a case and do not identify any particular judge. By statute, federal judges may not The advisory opinions are made available hear cases in which they have personal within the judiciary and are posted on the knowledge of the disputed facts, a courts’ public website. personal bias concerning a party to the case, any earlier involvement in the case as a lawyer, or a financial interest in any The Code of Conduct for party or subject matter of the case. Federal United States Judges judges also are subject to the Code of Conduct for U.S. Judges, a set of ethical A judge should uphold the integrity principles and guidelines adopted by the and independence of the judiciary. Judicial Conference of the United States. The Code of Conduct—and the opinions A judge should avoid impropriety and interpreting it—provide guidance for the appearance of impropriety in all judges on issues of judicial integrity and activities. independence, judicial diligence and impartiality, permissible extrajudicial A judge should perform the duties activities, and the avoidance of impropriety of the office fairly, impartially, and or the appearance of impropriety. diligently. The Code of Conduct encourages judges to engage in activities to improve A judge may engage in extrajudicial the law, the legal system, and the activities that are consistent with the administration of justice. Indeed, federal obligations of judicial office. judges have a distinguished history of service to the legal profession through A judge should refrain from political their writing, speaking, and teaching. activity. Income from teaching and similar outside activities is limited to approximately 15 THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................17
25. In addition to peer regulation under Constitution. They are, therefore, not the judiciary’s ethics rules, federal laws required to retire at any age. Life tenured enable broad public scrutiny of any judges may voluntarily elect to retire from potential conflicts of interest presented active service on full salary if they are at by judges’ financial holdings. A federal least 65 years old and meet certain years statute requires all judges—as well as of service requirements. Most Article III other high-level government officials—to judges who retire continue to hear cases on file annual financial disclosure statements a full or part-time basis as “senior judges.” that list their assets, liabilities, positions, Retired bankruptcy judges, magistrate gifts, and reimbursements (and those of judges, and U.S. Court of Federal Claims their spouses and minor children). The judges also may be “recalled” to active disclosure statements for federal judges service. Without the service donated by and certain judicial branch officials are senior and retired judges, the judiciary maintained by the Administrative Office would need many more judges to handle and are available to the public on request. its cases. Public interest groups, journalists, and publishing companies often request copies of the reports and post them on JUDICIAL EDUCATION the internet so that the public, particularly litigants, can search for potential conflicts Federal judges are not required to presented by judges’ finances. attend judicial training before they are appointed. Judges may elect to attend orientation programs on substantive JUDGES’ COMPENSATION legal topics, the art of judging, and case management shortly after they are Federal judges receive salaries and appointed and throughout their judicial benefits set by Congress. Judicial salaries careers. The new judges’ orientation and employment benefits are comparable and other legal education programs are to those received by Members of Congress sponsored by the Federal Judicial Center and other senior government officials. (FJC), the judicial branch’s principal The Constitution provides that the research and training resource. The compensation of an Article III federal judge FJC also develops a number of special may not be reduced during the judge’s focus programs on new legislation, service. developments in case law, and specific judicial skills, often in conjunction with law schools. The programs address SENIOR AND RETIRED specific areas of the law in depth, such as intellectual property and the use of JUDGES scientific evidence. In addition to live seminars and workshops, the FJC produces Court of appeals, district court, and videos, audio programs, manuals, and U.S. Court of International Trade judges other materials to assist judges. have life tenure under Article III of the 18............................................................................................................................The Administrative Office of the U.S. Courts
26. The Administrative Office conducts JUDGES’ STAFF administrative training programs for judges on the use of technology and management In addition to court staff appointed by issues such as pay and benefits, hiring the court as a whole, each judge is allowed staff, judicial branch organization and to hire a small personal staff known governance, judicial ethics, and personal as “chambers” staff. Judges may hire a security. The Administrative Office also secretary or judicial assistant to help them offers special orientation programs on with administrative matters and law clerks management and operations for new chief to help them review records, research legal judges. issues, and draft papers. Chambers staff is The FJC, the Administrative Office, and subject to the ethical restrictions contained the U.S. Sentencing Commission jointly in the Code of Conduct for Judicial operate a television network that streams Employees. daily education and information programs The duties of chambers staff vary for judges and court staff. In addition, depending on the particular work and several individual courts conduct in-house management preferences of each judge orientation and mentoring programs or court. Judges carefully supervise and for new judges, as well as roundtable review the work of their chambers staff. By discussions or other substantive programs using their staff to conduct legal research for all judges. and other tasks that do not involve exercising the discretionary powers of a judge, each judge is better able to perform the tasks of judging. THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................19
27. DISTINCTIVE FEATURES OF THE AMERICAN JUDICIAL SYSTEM THE ADVERSARY SYSTEM of issues by adversaries and to ensure that the law is followed and fairness is achieved. The litigation process in U.S. courts is referred to as an “adversary” system because it relies on the litigants to THE COMMON-LAW SYSTEM present their dispute before a neutral fact finder. According to American legal The American judicial process is tradition, inherited from English common based largely on the English common law law, the clash of adversaries allows the system. In a common law system, legal jury or judge to determine the truth and interpretations and distinctions recognized resolve the dispute. In some other legal in court rulings establish precedents that systems, judges or magistrates conduct become binding on lower courts in the investigations to find relevant evidence or jurisdiction. Rather than remaining a fixed obtain testimony from witnesses. In the body of legal rules, as in the codes of civil United States, however, litigants and their law systems, precedent allows the law to attorneys collect evidence and prepare develop over time, yet remain predictable. it for trial, without assistance from the In the past century, Congress has court. The essential role of the judge is to passed elaborately detailed statutes structure and regulate the development in most areas of federal law. The 20............................................................................................................................The Administrative Office of the U.S. Courts
28. comprehensive statutes, sometimes to place the Constitution above all other referred to as “codes,” establish legal laws. Judges will, therefore, not only abide principles and specific provisions governing by precedent in interpreting statutes, most aspects of a particular field of law. regulations, and actions by members of the These bodies of statutory law include, for executive branch, but will seek to interpret example, the Bankruptcy Code, the Internal them consistently with the Constitution. Revenue Code, the Social Security Act, the Securities Act, and the Securities Exchange Act. The states have also adopted various FEES AND COSTS OF comprehensive codes, such as the Uniform Commercial Code. These statutes are often LITIGATION further developed and interpreted by implementing regulations promulgated by Another characteristic of the American federal and state administrative agencies. judicial system is that litigants typically Despite the adoption of comprehensive pay their own costs of litigation whether codes and the general growth of statutory they win or lose. The federal courts law over the last century, the American charge litigants moderate fees when they courts continue to interpret statutes and initiate a case, submit subpoenas, and regulations as common law, or according in relation to certain other filings with to “precedent.” Thus, for example, a the court. Most fees are set by Congress. bankruptcy court applying the Bankruptcy Civil plaintiffs who cannot afford to pay Code will consult relevant case law to court fees may seek permission from the determine whether there are Supreme court to proceed without paying those Court or court of appeals rulings governing fees. Other costs of litigation, such as how a particular code section should attorneys’ and experts’ fees, are more be applied in certain situations. Lawyers substantial. In some categories of civil who appear before the court may then cases, including cases alleging certain civil argue that the facts in their case are rights violations, a winning plaintiff may similar to those in a case that resulted in a recover attorney costs from the defendant. favorable ruling, or they could argue that In criminal cases, the government pays an unfavorable precedent does not apply the costs of investigation and prosecution. because the factual and legal situation The court also provides a government- in their case is critically distinct from the funded attorney, necessary experts, and precedent. investigators to any criminal defendant All judges in the United States, who is unable to afford an attorney. regardless of the level of the court in which they sit, exercise the power of judicial review. While judges normally presume EXECUTION OF JUDGMENTS the laws or actions that they are reviewing are valid, they will invalidate statutes, Execution and enforcement of regulations, or executive actions that they judgments is the responsibility of the find to be clearly inconsistent with the parties to the litigation, not the courts. U.S. Constitution. All judges are required THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................21
29. In criminal cases, the U.S. Marshals PROCEDURAL RULES FOR Service (an organization within the executive branch’s Department of Justice) CONDUCTING LITIGATION is responsible for prisoners sentenced The Rules Enabling Act of 1934 gives to incarceration until they are delivered the federal judiciary the responsibility to to the Bureau of Prisons (also within the issue rules of procedure and evidence Department of Justice). Defendants may that govern all federal court proceedings. also be ordered to pay a fine. Any fines Under the Act’s authority, the judiciary are paid to the clerk of court who records has established federal rules of evidence, the transaction and processes the money and rules of civil, criminal, bankruptcy, as specified in the court order. Should the and appellate procedure. The rules are defendant fail to pay a required fine, the designed to eliminate unjustifiable expense Department of Justice will enforce the and delay and to promote simplicity, court order by pursuing actions to collect fairness, and the just determination of the money. litigation. Committees of judges, lawyers, In civil cases, the parties themselves and academics appointed by the Chief are responsible for executing court orders. Justice draft the rules. The Administrative Money judgments are frequently covered Office publishes the draft rules for public by insurance, and in those cases insurance comment, the Judicial Conference of the companies are usually quick to resolve the United States then approves the rules, and details of enforcing the judgment. the Supreme Court formally promulgates Individuals attempting to enforce a the rules. Congress has a limited period of judgment against an uncooperative party time to review the rules and vote to reject have several options. In general, a civil or modify them before they enter into judgment becomes a lien attached to any force. real property of the losing party, and the judgment earns interest at a specified rate of return until it is collected. In federal court, the winning party may obtain the REPORTING OF JUDICIAL assistance of the court to examine the PROCEEDINGS debtor and protect property in the debtor’s possession. A winning party may also apply All trial and pretrial proceedings to a state court for assistance in enforcing conducted in open court are recorded by a federal court judgment through state law a court reporter or sound equipment. The remedies such as garnishing the wages or court reporter is a person specially trained attaching the assets of the losing party. to record all testimony and produce a word-for-word account of court action called a transcript. A certified written transcript may be prepared from the court reporter’s record or a sound recording if necessary for the appeal of a court’s decision, or upon request by one of the litigants or another person. The party 22............................................................................................................................The Administrative Office of the U.S. Courts
30. requesting a transcript must pay a fee to In addition to court-initiated cover the costs of preparing the transcript. distribution, private legal publishing companies and research services, such as Westlaw and Lexis/Nexis, make court PUBLICATION OF COURT opinions, statutes, and other legal materials available to the public on a commercial OPINIONS basis. Law schools and other organizations also collect court opinions, mainly from the Common-law courts rely on judicial courts of appeals, and make them available precedent to interpret and apply the law, on the internet. Examples of collections so it is vital for judicial opinions on current of Supreme Court and courts of appeals legal issues to be readily available to opinions include: courts and lawyers facing similar issues. As a result, nearly all opinions and orders FindLaw’s Cases and Codes section: are open public records. Access to these http://www.findlaw.com/casecode/ records is constantly improving as a result of technology. Judges now enter most Cornell University Law School’s Legal orders and opinions electronically so that Information Institute: attorneys receive notice of court action http://www.law.cornell.edu via system-generated email messages. Electronically docketed materials are also The justia.com U.S. Law page: available to the public one day after they http://law.justia.com/ are entered. The federal courts’ electronic docketing system allows the public to access court records in multiple ways. The judiciary’s internet-based system, Public Access to Court Electronic Records (PACER, www. pacer.gov), is an online service that allows users to obtain free access to orders and opinions from federal appellate, district, and bankruptcy courts, and to search a national index of case and party names. Additional case and docket information on PACER can be accessed for a nominal fee. Courts also make their opinions available to the public at no cost by directly posting them to their public websites or providing them to a free document repository maintained by the Government Printing Office. Most documents are also still available for review and printing at any THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................23
31. THE FEDERAL JUDICIAL PROCESS IN BRIEF CIVIL CASES may also order other types of relief, such as a declaration of the legal rights of the A federal civil case involves a legal plaintiff in a particular situation. dispute between two or more parties. To To prepare a case for trial, the litigants begin a civil lawsuit in a federal court, may conduct “discovery.” In discovery, the plaintiff files a document called a the litigants must provide information to “complaint” with the court and “serves” a each other about the subject matter of copy of the complaint on the defendant. the case, such as the identity of witnesses, The complaint is a short statement the expected testimony of the witnesses, that describes the plaintiff’s injury or and copies of any documents related to other legal claim and explains how the the case. The purpose of discovery is to defendant caused the injury or damage. prepare for trial and to prevent surprises The complaint states a basis for the at trial by requiring the litigants to court’s jurisdiction and asks the court to assemble their evidence and prepare to order relief. A plaintiff may seek monetary call witnesses before the trial begins. The compensation for damages or ask the scope of discovery is broad, and the parties court to order the defendant to stop the themselves conduct discovery under the conduct that is causing the harm. The court procedural rules of the courts. Judges are 24............................................................................................................................The Administrative Office of the U.S. Courts
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