Understanding the Federal Courts

Understanding The Federal Courts Administrative Office of the U.S. Courts This publication was developed by the Administrative Office of the United States Courts to provide an introduction to the federal judicial system, its organization and administration, and its relationship to the legislative and executive branches of the government. The Administrative Office, the judicial branch’s central support agency, provides a broad range of management, legal, technical, communications, and other support services for the administration of the federal courts. Contents The Constitution and the Federal Judiciary............................................................................................................................... 1 The Federal Courts In American Government.......................................................................................................................... 2 The Federal Courts and Congress.................................................................................................................................... 2 The Federal Courts and the Executive Branch............................................................................................................ 2 The Federal Courts and the Public................................................................................................................................... 3 Structure of the Federal Courts...................................................................................................................................................... 4 Trial Courts................................................................................................................................................................................. 4 Appellate Courts...................................................................................................................................................................... 4 United States Supreme Court............................................................................................................................................ 4 The Jurisdiction of the Federal Courts......................................................................................................................................... 6 United States Judges.......................................................................................................................................................................... 8 Appointment and Compensation..................................................................................................................................... 8 Judicial Ethics............................................................................................................................................................................ 9 Senior and Recalled Judges................................................................................................................................................ 9 The Federal Judicial Process In Brief...........................................................................................................................................10 An Adversarial System........................................................................................................................................................10 Fees and the Costs of Litigation......................................................................................................................................10 Procedural Rules for Conducting Litigation...............................................................................................................10 Civil Cases.................................................................................................................................................................................11 Criminal Cases........................................................................................................................................................................12 Jury Services............................................................................................................................................................................15 Jury Selection Procedures.................................................................................................................................................16 Bankruptcy Cases..................................................................................................................................................................17 The Appeals Process............................................................................................................................................................19 Federal Judicial Administration....................................................................................................................................................21 Individual Courts...................................................................................................................................................................21 The Circuit Judicial Councils.............................................................................................................................................21 The Judicial Conference of the United States and National Administration...............................................................23 The Judicial Conference of the United States............................................................................................................23 The Administrative Office of the United States Courts.........................................................................................23 The Federal Judicial Center (FJC)....................................................................................................................................23 Judicial Panel for Multidistrict Litigation.....................................................................................................................24 United States Sentencing Commission........................................................................................................................24 The Judiciary’s Budget.....................................................................................................................................................................25 Commonly Asked Questions About the Federal Judicial Process...................................................................................26 Common Legal Terms.......................................................................................................................................................................29 About the Administrative Office of the United States Courts..........................................................................................44 The Constitution and the Federal Judiciary Article III of the United States Constitution establishes the judicial branch as one of the three separate and distinct branches of the federal govern- ment. The other two are the legislative and executive branches. The federal courts often are called the guardians of the Constitution because their rulings protect rights and liberties guaranteed by the Constitution. Through fair and impartial judgments, the federal courts interpret and apply the law to resolve disputes. The courts do not enact the laws; that is the respon- sibility of Congress. Nor do the courts have the power to enforce the laws; that is the role of the President and the many executive branch departments and agencies. The founders of the nation consid- ered an independent federal judiciary essential to ensure fairness and equal justice for all citizens of the United States. The Constitution they drafted promotes judicial indepen- dence in two major ways. First, Article III federal judges are appointed for life, and they can be removed from office only through impeachment and conviction by Congress of “Treason, Bribery, or other high U.S. CONSTITUTION Crimes and Misdemeanors.” Second, ARTICLE III the Constitution provides that the compensation of Article III federal The judicial power of the United States judges “shall not be diminished during shall be vested in one supreme Court, and their Continuance in Office,” which in such inferior Courts as the Congress may means that neither the President nor from time to time ordain and establish. The Congress can reduce the salary of Judges, both of the supreme and inferi- a federal judge. These two protec- or Courts, shall hold their Offices during tions help an independent judiciary good Behaviour, and shall, at stated Times, to decide cases free from popular receive for their Services, a Compensation, passion and political influence. ■ which shall not be diminished during their Continuance in Office. UNDERSTANDING THE FEDERAL COURTS............................................................................................................1 the Federal Courts In American Government The three branches of the federal government—legislative, executive, and judicial—operate within a constitutional system of “checks and balances.” This means that although each branch is formally separate from the other two, the Constitution often requires cooperation among the branches. Federal laws, for example, are passed by Congress and signed by the President. The judicial branch, in turn, has the authority to decide the constitutionality of federal laws and resolve other disputes over federal laws, but judges depend upon the executive branch to enforce court decisions. The Federal Courts The Federal Courts and Congress and the Executive Branch The Constitution gives Congress the Under the Constitution, the President power to create federal courts other than appoints federal judges with the “advice the Supreme Court and to determine their and consent” of the Senate. The President jurisdiction. It is Congress, not the judiciary, usually consults senators or other elected that controls the type of cases that may be officials concerning candidates for vacan- addressed in the federal courts. cies on the federal courts. Congress has three other basic respon- The President’s power to appoint new sibilities that determine how the courts federal judges is not the judiciary’s only will operate. First, it decides how many interaction with the executive branch. The judges there should be and where they will Department of Justice, which is respon- work. Second, through the confirmation sible for prosecuting federal crimes and process, Congress determines which of for representing the government in civil the President’s judicial nominees ultimately cases, is the most frequent litigator in the become federal judges. Third, Congress federal court system. Several executive approves the federal courts’ budget and branch agencies assist the judiciary with appropriates money for the judiciary to its administrative operations. The United operate. The judiciary’s budget is a very States Marshals Service, for example, small part—two tenths of one percent—of provides security for federal courthouses the entire federal budget. and judges, and the General Services 2.......................................................................................................The Administrative Office of the U.S. Courts Administration builds and maintains Court dockets and case files also are federal courthouses. available on the Internet through the Public Specialized subject-matter courts and Access to Court Electronic Records system boards, and numerous federal administra- (known as “PACER”), at www.pacer.uscourts. tive agencies adjudicate disputes involving gov. In addition, every federal court maintains specific federal laws and benefits programs. a website with information about court These non-judiciary courts and tribunals rules and procedures. A list of these local include the United States Tax Court, the court websites is available on the judiciary’s United States Court of Appeals for the official website at www.uscourts.gov. Armed Forces, and the United States Court The right of public access to court of Appeals for Veterans Claims. proceedings is partly derived from the While these courts, also known as Constitution and partly from court tradi- Article I courts, are not part of the judicial tion. By conducting their judicial work in branch, Congress created them to maintain public view, judges enhance public confi- a certain degree of independence and to dence in the courts and allow citizens to operate impartially and without political learn first-hand how our judicial system influence. The decisions of these agencies works. and courts are in some cases appealable to Although there is a very strong the Article III courts. presumption that all court records and proceedings are open to the public, public The Federal Courts and the Public access may be limited in some situations. In With certain very limited exceptions, a high-profile trial, for example, there may each step of the federal judicial process is not be enough space in the courtroom to open to the public. Many federal court- accommodate everyone who would like houses are historic buildings, and all are to observe. Access to the courtroom also designed to inspire in the public a respect may be restricted for security or privacy for the tradition and purpose of the reasons, such as the protection of a juvenile American judicial process. or a confidential informant. Finally, certain An individual citizen who wishes to documents may be placed under seal observe a court in session may go to the by the judge, meaning that they are not federal courthouse, check the court calen- available to the public. Examples of sealed dar, and watch a proceeding. Anyone may information include confidential business review the pleadings and other documents records, certain law enforcement reports, in a case by going to the clerk of court’s and juvenile records. ■ office and viewing the appropriate case file using an electronic access terminal. Unlike most state courts, however, the federal courts are just beginning to permit limited live television or radio coverage of some civil trials. UNDERSTANDING THE FEDERAL COURTS............................................................................................................3 Structure of the Federal Courts The Supreme Court is the highest court in the United States. Article III of the U.S. Constitution created the Supreme Court and authorized Congress to pass laws establishing a system of lower courts. In the federal court system’s present form, 94 district-level trial courts and 13 courts of appeals sit below the Supreme Court. Trial Courts Appellate Courts The U.S. district courts are the primary The 94 judicial districts are organized into trial courts of the federal court system. 12 regional circuits, each of which has a Within limits set by Congress and the United States court of appeals. A court of Constitution, the district courts have appeals hears challenges to district court jurisdiction to hear nearly all categories of decisions from courts located within its federal cases, including both civil and crimi- circuit, as well as appeals from decisions of nal matters. There are 94 federal judicial federal administrative agencies. In addition, districts, including at least one district in the Court of Appeals for the Federal Circuit each state, the District of Columbia, and has nationwide jurisdiction to hear appeals Puerto Rico. Each district includes a U.S. in specialized cases, such as those involving bankruptcy court as a unit of the district patent laws and cases decided by the Court court. of International Trade and the Court of There are two special trial courts that Federal Claims. have nationwide jurisdiction over certain types of cases. The Court of International United States Supreme Court Trade addresses cases involving interna- The U.S. Supreme Court consists of the tional trade and customs issues. The United Chief Justice of the United States and States Court of Federal Claims has jurisdic- eight associate justices. At its discretion, tion over most claims for money damages and within certain guidelines established against the United States, disputes over by Congress, the Supreme Court hears a federal contracts, unlawful “takings” of small percentage of the cases it is asked to private property by the federal govern- decide each year. Supreme Court cases are ment, vaccine injury cases, and a variety of usually selected either because the lower other claims against the United States. courts have differed, or “split,” on a legal Three territories of the United States— issue or they involve important questions the Virgin Islands, Guam, and the Northern about the Constitution or federal law. ■ Mariana Islands—have U.S. district courts that hear federal cases, including bankruptcy cases. 4.......................................................................................................The Administrative Office of the U.S. Courts  THE UNITED STATES FEDERAL COURTS UNDERSTANDING THE FEDERAL COURTS............................................................................................................5 the Jurisdiction of the Federal Courts Before a federal court can hear a case, or “exercise its jurisdiction,” certain conditions must be met. First, under the Constitution, federal courts exercise only “judicial” powers. This means that federal judges may inter- pret the law only through the resolution of actual legal disputes, referred to in Article III of the Constitution as “Cases or Controversies.” A court cannot attempt to correct a problem on its Although the details of the complex own initiative, or to answer a hypothetical web of federal jurisdiction that Congress legal question. has given the federal courts is beyond the Second, in an actual case or controversy, scope of this brief guide, it is important the plaintiff in a federal lawsuit also must to understand that there are two main have legal “standing” to ask the court for a sources of the cases coming before the decision. That means the plaintiff must have federal courts: “federal question” jurisdic- been aggrieved, or legally harmed in some tion and “diversity” jurisdiction. way, by the defendant. In general, federal question jurisdiction Third, the case must present a category arises in cases that involve the U.S. govern- of dispute that the law in question was ment, the U.S. Constitution or federal laws, designed to address, and it must be a or controversies between states or between complaint that the court has the power to the United States and foreign governments. remedy. In other words, the court must A case that raises such a “federal question” be authorized, under the Constitution or may be filed in federal court. Examples a federal law, to hear the case and grant of such cases might include a claim by an appropriate relief to the plaintiff. individual for entitlement to money under a Finally, the case cannot be “moot,” that federal government program such as Social is, it must present an ongoing problem for Security, a criminal prosecution by the the court to resolve. The federal courts, government that alleges someone violated thus, are courts of “limited” jurisdiction a federal law, or a challenge to actions because they may only decide certain taken by a federal agency. types of cases as provided by Congress or A case also may be filed in federal as identified in the Constitution. court based on the “diversity of citizenship” 6.......................................................................................................The Administrative Office of the U.S. Courts of the litigants, such as between citizens creditors may either seek a court-super- of different states, or between U.S. citizens vised liquidation of their assets, or they may and those of another country. To ensure reorganize their financial affairs and work fairness to the out-of-state litigant, the out a plan to pay their debts. Constitution provides that such cases may Although federal courts are located in be heard in a federal court. An important every state, they are not the only forum limit to diversity jurisdiction is that only available to potential litigants. In fact, the cases involving more than $75,000 in great majority of legal disputes in American potential damages may be filed in a federal courts, civil or criminal, are addressed in court. Claims below that amount may the separate state court systems. State only be pursued in state court. Moreover, courts have jurisdiction over virtually any diversity jurisdiction case regardless all divorce and child custody matters, of the amount of money involved may probate and inheritance issues, real estate be brought in a state court rather than a questions, and juvenile matters, and they federal court. handle most criminal cases, contract Federal courts also have jurisdiction disputes, traffic violations, and personal over all bankruptcy matters, which Congress injury cases. In addition, certain catego- has determined should be addressed in ries of legal disputes may be resolved in federal courts rather than the state courts. special courts or entities that are part of the Through the bankruptcy process, individuals federal executive or legislative branches or or businesses that can no longer pay their state and federal administrative agencies. ■ Geographic Boundaries of United States Courts of Appeals and United States District Courts UNDERSTANDING THE FEDERAL COURTS............................................................................................................7 United States Judges The work of the federal courts touches upon many of the most significant issues affecting the American people, and federal judges exercise wide authority and discretion in the cases over which they preside. This section discusses how federal judges are chosen, and provides basic information on judicial compensation, ethics, and the role of senior and recalled judges. Appointment and Compensation Justices of the Supreme Court, judges of the courts of appeals and the district courts, and judges of the Court of International district court determines the number and Trade are appointed under Article III of the location of magistrate judges and appoints Constitution by the President of the United them. Judges of the Court of Federal States with the advice and consent of the Claims are appointed by the President with Senate. Article III judges are appointed for the advice and consent of the Senate. life, and they can only be removed from Each court in the federal system has office through the impeachment process. a chief judge who, in addition to hearing Although there are no special qualifica- cases, has administrative responsibilities tions to become a judge of these courts, relating to the operation of the court. The those who are nominated are typically chief judge is normally the judge who has very accomplished private or government served on the court the longest. Chief attorneys, judges in state courts, magis- district and court of appeals judges must trate judges or bankruptcy judges, or law be under age 65 to be designated as chief professors. The judiciary plays no role in judge. They may serve for a maximum of the nomination or confirmation process. seven years and may not serve as chief Bankruptcy and magistrate judges judge beyond the age of 70. are judicial officers of district courts. The All federal judges receive salaries and President and Senate have no role in their benefits that are set by Congress. selection. Congress determines the number and location of bankruptcy judges; they are appointed by the courts of appeals. The 8.......................................................................................................The Administrative Office of the U.S. Courts  their writing, speaking, and teaching. This CODE OF CONDUCT important role is recognized in the Code FOR UNITED STATES JUDGES of Conduct, which encourages judges to A judge should uphold the integrity and engage in activities to improve the law, independence of the judiciary. the legal system, and the administration of justice. A judge should avoid impropriety and the appearance of impropriety in all activities. Senior and Recalled Judges Court of appeals, district court, and A judge should perform the duties of the office fairly, impartially, and diligently. Court of International Trade judges have life tenure, and they may retire if they are at A judge may engage in extrajudicial least 65 years old and meet certain years of activities that are consistent with the obligations of judicial office. service requirements. Most Article III judges who are eligible to retire decide to continue A judge should refrain from political to hear cases on a full-time or part-time activity. basis as “senior judges.” Retired bankruptcy, magistrate, and Court of Federal Claims judges also may be “recalled” to active Judicial Ethics service. Without the efforts of senior and Federal judges abide by the Code recalled judges, the judiciary would need of Conduct for United States Judges, a many more judges to handle its cases. ■ set of ethical principles and guidelines adopted by the Judicial Conference of the United States. The Code of Conduct provides guidance for judges on issues of judicial integrity and independence, judicial diligence and impartiality, permissible extra-judicial activities, and the avoidance Senior judges typically of impropriety or even its appearance. handle about 15 to 20 Judges may not hear cases in which percent of the appellate they have personal knowledge of the and district court disputed facts, a personal bias concerning workloads. a party to the case, earlier involvement in the case as a lawyer, or a financial interest in any party or subject matter of the case. Many federal judges devote time to public service and educational activi- ties. They have a distinguished history of service to the legal profession through UNDERSTANDING THE FEDERAL COURTS............................................................................................................9 The Federal Judicial Process in Brief This section describes three key features of the federal judicial system and gives an overview of the process in criminal cases, civil cases, and bankruptcy proceedings. Also included are brief descriptions of jury service and selection procedures and the appeals process. An Adversarial System Fees and the Costs of Litigation The litigation process in U.S. courts Another characteristic of the American is referred to as an “adversarial” system judicial system is that litigants typically because it relies on the litigants to present pay their own court and attorneys’ fees their dispute before a neutral fact-finder. whether they win or lose. Most court fees According to American legal tradition, are set by Congress. Other costs of litiga- inherited from the English common law, tion, such as attorneys and experts fees, the clash of adversaries before the court are more substantial. In criminal cases, the is most likely to allow the jury or judge government pays the costs of investigation to determine the truth and resolve the and prosecution. The court also provides a dispute at hand. In some other legal lawyer without cost for any criminal defen- systems, judges or other court officials dant who is unable to afford one. In civil investigate and assist the parties to find cases, plaintiffs who cannot afford to pay relevant evidence or obtain testimony from court fees may seek permission from the witnesses. In the United States, the work court to proceed without paying those fees. of collecting evidence and preparing to present it to the court is accomplished by Procedural Rules for Conducting the litigants and their attorneys, normally Litigation without assistance from the court. There are federal rules of evidence and procedural rules governing civil, criminal, bankruptcy, and appellate cases that must be followed in the federal courts. The rules are designed to promote simplicity, fairness, the just determination of litigation, To avoid the and the elimination of unjustifiable expense expense and delay and delay. Committees of judges, lawyers, of having a trial, and professors appointed by the Chief judges encourage Justice draft the rules. The Administrative the litigants to try to Office publishes the rules for public reach an agreement comment. Rules are approved by the resolving their Judicial Conference of the United States, dispute... and promulgated by the Supreme Court. The rules become law unless the Congress votes to reject or modify them. 10T����������������������������������������������������������������������������������������������������The Administrative Office of the U.S. Courts Civil Cases A federal civil case involves a legal dispute between two or more parties. To begin a civil lawsuit in federal court, the plaintiff files a complaint with the court and “serves” a copy of the complaint on the defendant. The complaint describes the plaintiff’s damages or injury, explains how the defendant caused the harm, shows that the court has jurisdiction, and asks the answers, under oath, in the presence of court to order relief. A plaintiff may seek a court reporter. The court reporter is money to compensate for the damages, or a person specially trained to record all may ask the court to order the defendant to testimony and produce a word-for-word stop the conduct that is causing the harm. account called a transcript. The court may also order other types of To avoid the expense and delay relief, such as a declaration of the legal of having a trial, judges encourage the rights of the plaintiff in a particular situation. litigants to try to reach an agreement To prepare a case for trial, the litigants resolving their dispute. In particular, the may conduct “discovery.” In discovery, the courts encourage the use of mediation, litigants must provide information to each arbitration, and other forms of alternative other about the case, such as the identity dispute resolution, or “ADR,” designed to of witnesses and copies of any documents produce an early resolution of a dispute related to the case. The purpose of discov- without the need for trial or other court ery is to prepare for trial by requiring the proceedings. As a result, litigants often litigants to assemble their evidence and decide to resolve a civil lawsuit with an prepare to call witnesses. Each side also may agreement known as a “settlement.” file requests, or “motions,” with the court If a case is not settled, the court will seeking rulings on the discovery of evidence, schedule a trial. In a wide variety of civil or on the procedures to be followed at trial. cases, either side is entitled under the One common method of discovery is Constitution to request a jury trial. If the the deposition. In a deposition a witness parties waive their right to a jury, then the is required to answer questions about the case will be heard by a judge without a jury. case before the trial. Lawyers “depose” the At a trial, witnesses testify under the witness by asking questions that the witness supervision of a judge. By applying rules UNDERSTANDING THE FEDERAL COURTS......................................................................................................... 11 of evidence, the judge determines which information may be presented in the courtroom. To ensure that witnesses speak from their own knowledge and do not change their story based on what they hear The standard of proof another witness say, witnesses are kept out in a criminal trial is proof of the courtroom until it is time for them “beyond a reaonable to testify. A court reporter keeps a record doubt,” which means the of the trial proceedings. A deputy clerk of evidence must be so strong court also keeps a record of each person that there is no reasonable who testifies and marks for the record any doubt that the defendant documents, photographs, or other items committed the crime. introduced into evidence. As the questioning of a witness proceeds, the opposing attorney may object to a question if it invites the witness to say something that is not based on the witness’s personal knowledge, is unfairly prejudicial, or is irrelevant to the case. issues or order some kind of relief to the The judge rules on the objection, gener- prevailing party. In a civil case the plaintiff ally by ruling that it is either sustained or must convince the jury by a “prepon- overruled. If the objection is sustained, derance of the evidence” (i.e., that it is the witness does not answer the question, more likely than not) that the defendant is and the attorney must move on to his next responsible for the harm the plaintiff has question. The court reporter records the suffered. objections so that a court of appeals can review the arguments later if necessary. Criminal Cases At the conclusion of the evidence, each The judicial process in a criminal case side gives a closing argument. In a jury differs from a civil case in several important trial, the judge will explain the law that is ways. At the beginning of a federal criminal relevant to the case and the decisions the case, the principal actors are the U.S. attor- jury needs to make. The jury generally is ney (the prosecutor) and the grand jury. asked to determine whether the defen- The U.S. attorney represents the United dant is responsible for harming the plaintiff States in most court proceedings, includ- in some way, and then to determine the ing all criminal prosecutions. The grand amount of damages that the defendant will jury reviews evidence presented by the be required to pay. If the case is being tried U.S. attorney and decides whether there is before a judge without a jury, known as a sufficient evidence to require a defendant “bench” trial, the judge will decide these to stand trial. 12T����������������������������������������������������������������������������������������������������The Administrative Office of the U.S. Courts  After a person is arrested, a pretrial The defendant enters a plea to the services or probation officer of the court charges brought by the U.S. attorney at a immediately interviews the defendant court hearing known as an arraignment. and conducts an investigation of the Most defendants—more than 90%—plead defendant’s background. The information guilty rather than go to trial. If a defendant obtained by the pretrial services or proba- pleads guilty in return for the government tion office will be used to help a judge agreeing to drop certain charges or to decide whether to release the defendant recommend a lenient sentence, the agree- into the community before trial, and ment often is called a “plea bargain.” If the whether to impose conditions of release. defendant pleads guilty, the judge may A person accused of a crime is entitled impose a sentence at that time, but more to release before trial, unless the judge commonly will schedule a hearing to deter- determines that the person is likely to be mine the sentence at a later date. In most a danger to some other person or the felony cases the judge waits for the results community, is likely to engage in further of a presentence report, prepared by the criminal activity if released, or is not likely to court’s probation office, before imposing a appear for trial. sentence. If the defendant pleads not guilty, At an initial appearance, a judge the judge will proceed to schedule a trial. advises the defendant of the charges filed, considers whether the defendant should be held in jail until trial, and determines whether there is probable cause to believe that an offense has been committed and that the defendant has committed it. Defendants who are unable to afford counsel are advised of their right to a court-appointed attorney. The court may appoint either a federal defender or a private attorney who has agreed to accept such appointments from the court. In either type of appointment, the attorney will be paid by the court from funds appropriated by Congress. Defendants released into the commu- nity before trial may be subject to certain restrictions, such as electronic monitoring or drug testing, and required to make periodic reports to a pretrial services officer to ensure appearance at trial. UNDERSTANDING THE FEDERAL COURTS......................................................................................................... 13  Criminal cases include limited pretrial discovery proceedings, similar to those in civil cases, but with restric- tions to protect the identity of government informants and to prevent intimidation of witnesses. The attorneys also may file motions, which are requests for rulings by the court before the trial. For example, defense attor- neys often file a motion to suppress evidence, which asks the court to exclude from the trial States Sentencing Commission issues federal evidence that the defendant believes was sentencing guidelines which are advisory, obtained by the government in violation of but judges must still consider them when the defendant’s constitutional rights. determining a defendant’s sentence. The In a criminal trial, the burden of proof court’s probation office prepares a report is on the government. Defendants do not for the court that considers the individual have to prove their innocence. Instead, defendant and the crimes for which he or the government must provide evidence to she has been found guilty. During sentenc- convince the jury of the defendant’s guilt. ing, the court may consider not only the The standard of proof in a criminal trial gives recommendation in the sentencing guide- the prosecutor a much greater burden than lines and the evidence produced at trial, the plaintiff in a civil trial. The defendant but also relevant information that may be must be found guilty “beyond a reasonable provided by the pretrial services officer, the doubt,” which means the evidence must be U.S. attorney, and the defense attorney. so strong that there is no reasonable doubt A sentence may include time in prison, that the defendant committed the crime. a fine to be paid to the government, and If a defendant is found not guilty, the restitution to be paid to crime victims. The defendant is released and the government court’s probation officers assist the court in may not appeal. The person may not be enforcing any conditions that are imposed charged again for the same offense in a as part of a criminal sentence. The supervi- federal court. The Constitution prohibits sion of offenders also may involve services “double jeopardy,” or being tried twice for such as substance abuse testing and the same offense. treatment programs, job counseling, and If the verdict is guilty, the judge deter- alternative detention options, such as home mines the defendant’s sentence. The United confinement or electronic monitoring. 14T����������������������������������������������������������������������������������������������������The Administrative Office of the U.S. Courts Jury Service One of the most important ways JUROR QUALIFICATIONS individual citizens become involved with AND EXEMPTIONS the federal judicial process is by serving as Qualifications to be a Juror jurors. There are two types of juries serving United States citizen distinct functions in the federal trial courts: trial juries (also known as petit juries), and At least 18 years of age grand juries. Reside in the judicial district for one The functioning of a trial jury varies year slightly depending upon whether the trial Adequate proficiency in English is for a civil or criminal case. A civil trial jury typically consists of 6 to 12 persons, No disqualifying mental or physical while a criminal trial jury is made up of 12 condition jurors. In a civil case, the role of the jury Not currently subject to felony charges is to listen to the evidence presented, to Never convicted of a felony decide whether the defendant injured the (unless civil rights have been legally plaintiff or otherwise failed to fulfill a legal restored) duty to the plaintiff, and to determine what the remedy, compensation, or penalty should be. Criminal juries decide whether the defendant committed the crime as Exemptions from Service charged, while a judge determines the Active duty members of the armed defendant’s sentence. Verdicts in both civil forces and criminal cases must be unanimous, Members of police and fire unless the parties in a civil case agree to departments a non-unanimous verdict. A jury’s delib- Certain public officials erations are conducted in private, out of sight and hearing of the judge, litigants, Others based on individual court rules witnesses, and others in the courtroom. (such as members of voluntary emergency service organizations and A grand jury, which consists of 16 to 23 people who recently have served on a members, has a specialized function to jury) perform before a felony criminal case is filed in the district court. The U.S. attorney, the prosecutor in federal criminal cases, Temporary Deferrals of Service presents evidence to the grand jury for May be granted at the court’s them to determine whether there is “proba- discretion on the grounds of “undue ble cause” to believe that an individual has hardship or extreme inconvenience.” committed a crime and should be put on trial. If the grand jury decides there is enough UNDERSTANDING THE FEDERAL COURTS......................................................................................................... 15 evidence, it will issue an indictment against case, or who may have strong prejudices the defendant. Grand jury proceedings are about the people or issues involved in the not open for public observation. case typically will be excused by the judge. The attorneys also may exclude a limited Jury Selection Procedures number of jurors without giving a reason. Potential jurors are selected from any source that will yield a representative sample of the judicial district’s population. TERMS OF JURY SERVICE Most often, jurors are chosen from a pool generated by a random selection of Length of Service citizens’ names from lists of registered voters, or combined lists of voters and Trial jury service varies by court. people with a driver’s license. The potential Some courts require service for one jurors complete questionnaires to help day or for the duration of one trial; determine whether they are qualified to others require service for a fixed term serve on a jury. After reviewing the of up to one month (or more if a trial is questionnaires, the court randomly selects longer). individuals to be summoned to appear for Grand jury service may last up jury duty. These selection methods help to 24 months. ensure that jurors represent a cross section of the community, without regard to race, gender, national origin, age, or political affiliation. Jurors receive modest compen- Payment sation and expenses from the court for $40 per day; in some instances jurors their service. may also receive meal and travel Being summoned for jury service does allowances. not guarantee that an individual actually will serve on a jury. When a jury is needed for a trial, the group of qualified jurors is taken to the courtroom where the trial will Employment Protections take place. The judge and the attorneys By law, employers must allow then ask the potential jurors questions employees time off (paid or unpaid) to determine their suitability to serve on for jury service. The law also forbids the jury, a process called voir dire. The any employer from firing, purpose of voir dire is to exclude from intimidating, or coercing any the jury people who may not be able to permanent employee because of their federal jury service. decide the case fairly. Members of the panel who know any person involved in the case, who have information about the 16T����������������������������������������������������������������������������������������������������The Administrative Office of the U.S. Courts Bankruptcy Cases Federal courts have exclusive jurisdiction over bankruptcy cases. This means a bankruptcy case may not be filed in a state court. The primary purposes of the law of bankruptcy are: ❶ to give an honest debtor a “fresh start” in life by re- lieving the debtor of most debts; ❷ to repay creditors in a fair and orderly manner to the extent cannot bring or continue lawsuits, make that the debtor has property avail- wage garnishments, or even make able for payment; telephone calls demanding payment. Creditors receive notice from the clerk of ❸ to reorganize a failing business by court that the debtor has filed a bankruptcy restructuring debt or the business petition. entity itself, or, alternatively, to pro- Some bankruptcy cases are filed to vide a framework for the orderly allow a debtor to reorganize and estab- liquidation of the failed enterprise; lish a plan to repay creditors, while other and cases involve liquidation of the debtor’s ❹ to deter and remedy dishonest property. In many bankruptcy cases involv- actions by debtors or creditors that ing liquidation of the property of individ- would have the effect of undermin- ual consumers, there is little or no money ing the purposes of bankruptcy law. available from the debtor’s estate to pay A bankruptcy case normally begins by creditors. As a result, in these cases there the debtor filing a petition with the are few issues or disputes, and the debtor bankruptcy court. A petition may be filed is normally granted a “discharge” of most by an individual, by a husband and wife debts without objection. This means that together, or by a corporation or other the debtor will no longer be personally entity. The debtor is also required to file liable for repaying the debts. statements listing assets, income, liabilities, In other cases, however, disputes may and the names and addresses of all credi- give rise to litigation in a bankruptcy case tors and how much they are owed. The over such matters as who owns certain filing of the petition automatically prevents, property, how it should be used, what or “stays,” debt collection actions against the property is worth, how much is owed the debtor and the debtor’s property. As on a debt, whether the debtor should be long as the stay remains in effect, creditors discharged from certain debts, or how UNDERSTANDING THE FEDERAL COURTS......................................................................................................... 17  CATEGORIES OF BANKRUPTCY CASES Chapter 7 (Liquidation) Chapter 7 is designed to repay debts owed to creditors by selling most of the debt- or’s property. When a Chapter 7 case is filed, a trustee is appointed to take over the debtor’s property for the benefit of the debtor’s creditors. The debtor, however, is allowed to keep a limited amount of “exempt” property specified by law. The trust- ee then sells all non-exempt property of the debtor and distributes the proceeds to creditors in accordance with procedures set forth in the bankruptcy laws. Chapter 13 (Debt Adjustment of an Individual) In a Chapter 13 bankruptcy, the debtor may keep his or her property, but must repay creditors in installments taken from the debtor’s future earnings. A debtor is required to submit a plan for approval by the court specifying how and when the debts will be repaid to creditors. A trustee is appointed in a Chapter 13 case, and a portion of the debtor’s future income, in most cases, is paid to the trustee, who then pays creditors. Chapter 11 (Reorganization) Chapter 11 is designed mainly to give an ongoing business an opportunity to resolve financial problems through reorganization. A trustee is not normally appointed. The debtor is allowed to continue to operate the business under court supervision. Chapter 12 (Debt Adjustment of a Family Farmer) Chapter 12 is similar in many respects to Chapter 13, except that it is available only to family farmers. Chapter 9 (Debt Adjustment of a Municipality) Chapter 9 is available only to a political subdivision (i.e., a city, town, or county), public agency, or other instrumentality of a state. Chapter 15 (Cross-Border Insolvency) Chapter 15 of the Bankruptcy Code authorizes the commencement of a U.S. bankruptcy case related to a foreign case. 18T����������������������������������������������������������������������������������������������������The Administrative Office of the U.S. Courts much money should be paid to lawyers, accountants, auctioneers, or other profes- sionals. Litigation in the bankruptcy court is conducted in much the same way that civil cases are handled in the district court. In a criminal case the There may be discovery, pretrial proceed- defendant may appeal ings, settlement efforts, and a trial. a guilty verdict, but the government may not The Appeals Process appeal if a defendant is The losing party in a decision by a found not guilty. trial court in the federal system normally is entitled to appeal the decision to a federal court of appeals. Similarly, a litigant who is not satisfied with a decision made by a federal administrative agency usually may file a petition for review of the agency judges to hear appeals directly from the decision by a court of appeals. Judicial bankruptcy courts. In either situation, the review in cases involving certain federal party that loses in the initial bankruptcy agencies or programs—for example, appeal may then appeal to the court of disputes over Social Security benefits—may appeals. Under certain limited circum- be obtained first in a district court rather stances, an appeal may be taken from a than a court of appeals. ruling by a bankruptcy judge directly to the In a civil case, either side may appeal court of appeals. the verdict. In a criminal case, the defen- A litigant who files an appeal, known dant may appeal a guilty verdict, but the as an “appellant,” must show that the trial government may not appeal if a defendant is found not guilty. Either side in a criminal case may appeal with respect to the sentence that is imposed after a guilty verdict. In most bankruptcy courts, an appeal of a ruling by a bankruptcy judge may be taken to the district court. Several courts of appeals, however, have established Bankruptcy Appellate Panels consisting of three bankruptcy UNDERSTANDING THE FEDERAL COURTS......................................................................................................... 19  significant enough to affect the outcome of the case. Although some cases are decided on The court of appeals the basis of written briefs alone, many decision usually will be the cases are selected for an “oral argument” final word in the case, unless before the court. Oral argument in the it sends the case back to court of appeals is a structured discus- the trial court for additional sion between the appellate lawyers and proceedings, or the parties the panel of judges focusing on the legal ask the U.S. Supreme Court principles in dispute. Each side is given a to review the case. short time—usually about 15 minutes—to present arguments to the court. The court of appeals decision usually will be the final word in the case, unless it sends the case back to the trial court for additional proceedings, or the parties court or administrative agency made a ask the U.S. Supreme Court to review legal error that affected the decision in the case. In some cases the decision may the case. The court of appeals makes its be reviewed en banc, that is, by a larger decision based on the record of the case group of judges (usually all) of the court of established by the trial court or agency; appeals. it does not receive additional evidence or A litigant who loses in a federal court of hear witnesses. The court of appeals also appeals, or in the highest court of a state, may review the factual findings of the trial may file a petition for a “writ of certiorari,” court or agency, but typically may only which is a document asking the Supreme overturn a decision on factual grounds if Court to review the case. The Supreme the findings were “clearly erroneous.” Court, however, does not have to grant Appeals are decided by panels of three review. The Court typically will agree to judges working together. The appellant hear a case only when it involves an unusu- presents legal arguments to the panel, in ally important legal principle, or when writing, in a document called a “brief.” In two or more federal appellate courts have the brief the appellant tries to persuade interpreted a law differently. There are also the judges that the trial court made an a small number of special circumstances error and that its decision should be in which the Supreme Court is required by reversed. On the other hand, the party law to hear an appeal. When the Supreme defending against the appeal, known as Court hears a case, the parties are required the “appellee,” tries in its brief to show why to file written briefs and the Court may the trial court decision was correct, or why hear oral argument. ■ any error made by the trial court was not 20T����������������������������������������������������������������������������������������������������The Administrative Office of the U.S. Courts Federal JudiciAL aDMINISTRATION Individual Courts the administration of the courts located The day-to-day responsibility for judicial in that circuit. Each circuit judicial council administration rests with each individual consists of the chief circuit judge, who court. Each court is given responsibility serves as the chair, and an equal number of by statute and administrative practice to other circuit and district judges. appoint support staff, supervise spending, The judicial council oversees numer- and manage the court’s records. ous aspects of court of appeals and district The chief judge of each court plays court operations. The council is given broad a key leadership role in overseeing and authority with a statutory authorization to coordinating the efficient operations of the issue orders to promote accountability and court. Although the chief judge is gener- the “effective and expeditious administra- ally responsible for overseeing day-to-day tion of justice within its circuit.” Aside from court administration, important policy its fundamental responsibility to ensure decisions are made by the judges of the that individual courts are operating effec- court working together. tively, the judicial council is responsible for The clerk of court is the executive hired reviewing local court rules for consistency by the judges of the court to carry out the with national rules of procedure, approving court’s administrative functions. The clerk district court plans on topics such as equal manages the court’s non-judicial functions employment opportunity and jury selection, in accordance with policies set by the court, and reviewing complaints of judicial miscon- and reports directly to the court through duct. Each judicial council appoints a “circuit its chief judge. Among the clerk’s many executive,” who works closely with the chief functions are: circuit judge to coordinate a wide range of ●● Maintaining the records and dockets of administrative matters in the circuit. ■ the court ●● Managing the court’s information technology systems ●● Paying all fees, fines, costs, and other monies collected into the U.S. Treasury ●● Administering the court’s jury system The judicial council ●● Providing interpreters and court is authorized by statute reporters to issue orders to promote ●● Sending official court notices and accountability and the summons “effective and expeditious ●● Providing courtroom support services administration of justice within its circuit.” The Circuit Judicial Councils At the regional level, a “circuit judicial council” in each geographic circuit oversees UNDERSTANDING THE FEDERAL COURTS......................................................................................................... 21  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 The chief administrative officer of the court, who keeps court records, handles court monies, and supervises court operations. Circuit Executive Performs a broad range of administrative tasks under the direction of the regional circuit judicial council. Court Reporters Make a word-for-word record of court proceedings and prepares a transcript. Court Librarian Maintains court libraries and assists in meeting the information needs of the judges and lawyers. Staff Attorneys and Pro Se Law Clerks Assist the court with research and drafting of opinions. Pretrial Services Officers and Probation Officers Interview defendants before trial, investigate their backgrounds, file reports to assist judges in deciding on pretrial release or sentencing of convicted defendants, and supervise released defendants. 22T����������������������������������������������������������������������������������������������������The Administrative Office of the U.S. Courts The Judicial Conference of the United States and National aDMINISTRATION The Judicial Conference Conference and its committees. The of the United States numerous additional responsibilities of the The Judicial Conference Administrative Office include collecting and of the United States is the reporting judicial branch statistics, devel- federal courts’ national oping budgets, conducting studies and policy-making body. The Chief Justice of assessments of judiciary operations and the United States presides over the Judicial programs, providing technical assistance to Conference, which consists of 26 other the courts, developing training programs, members including the chief judge of and fostering communications within each court of appeals, one district court the judiciary and with other branches of judge from each regional circuit, and the government and the public. chief judge of the Court of International The Director of the Administrative Trade. The Judicial Conference works Office, who is appointed by the Chief through committees established along Justice in consultation with the Judicial subject matter lines to recommend national Conference, serves as the chief administra- policies and legislation on all aspects of tive officer of the federal courts. Congress federal judicial administration. Committees vested many of the judiciary’s admin- include budget, rules of practice and istrative responsibilities in the Director. procedure, court administration and case Recognizing, however, that the courts management, criminal law, bankruptcy, can make better business decisions based judicial resources (judgeships and person- on local needs, the Director delegates nel matters), information technology, and the responsibility for many administra- codes of conduct. tive matters to the individual courts. This concept, known as “decentralization,” allows each court to operate with considerable The Administrative autonomy in accordance with policies and Office of the United guidelines set at the regional and national States Courts level. The Administrative Office, an agency within the judicial branch, provides The Federal Judicial Center (FJC) a broad range of legislative, legal, finan- The Federal Judicial cial, technology, management, admin- Center provides train- istrative, and program support services ing and research for the to the federal courts. The Administrative federal judiciary in a wide Office is responsible for carrying out the range of areas including policies of the Judicial Conference of the court administration, case United States. A primary responsibility management, budget and finance, human of the Administrative Office is to provide resources, and court technology. The staff support and counsel to the Judicial FJC develops orientation and continuing UNDERSTANDING THE FEDERAL COURTS......................................................................................................... 23 education programs for judges and other United States Sentencing court personnel, including seminars; curric- Commission ulum materials for use by individual courts; The United States monographs and manuals; and audio, Sentencing Commission video, and interactive media programs. The establishes sentencing guide- FJC conducts studies of judiciary opera- lines for the federal criminal justice system. tions, and makes recommendations to the The Commission also monitors the perfor- Judicial Conference for improvement of mance of probation officers with regard the administration and management of to sentencing recommendations, and the federal courts. The FJC’s operations are has established a research program that overseen by a board of directors consist- includes a clearinghouse and information ing of the Chief Justice, the Director of the center on federal sentencing practices. Administrative Office, and seven judges The Sentencing Commission consists of a chosen by the Judicial Conference. chairman, three vice chairs, and three other voting commissioners who are appointed Judicial Panel for IA L PAN EL ON M UL TI for six-year terms by the President. ■ Multidistrict Litigation C D DI IS D STATES JU TR ICT The Judicial Panel for LITIGAT Multidistrict Litigation has TE IO NI N U the authority to transfer   cases that are pending in different districts but involve common questions of fact (for example, mass tort actions arising from airplane crashes, breast implants, or asbestos) to a single district “Decentralization” for coordinated or consolidated pretrial allows each court to proceedings. The Panel consists of seven operate with considerable court of appeals and district court judges autonomy and sound designated by the Chief Justice. management principles in accordance with policies and guidelines set at the regional and national level. 24T����������������������������������������������������������������������������������������������������The Administrative Office of the U.S. Courts THE JudiciaRY’S BUDGET In recognition of the constitutional separation of powers among the three branches of the federal government, Congress has given the judiciary authority to prepare and execute its own budget. The Administrative Office, in consultation with the courts and with various Judicial Conference commit- tees, prepares a proposed budget for the judiciary each fiscal year. The proposal is reviewed and approved by the Judicial Conference with an accompanying set of detailed justifications. By law, the President must include the judiciary’s proposed budget as a part of the unified federal budget submitted to Congress each year. The President may comment on the judiciary’s budget request, but the proposal must be transmitted to Congress without change. The congressional appropriations committees conduct hearings at which judges and the Director of the Administrative Office frequently present and justify the judiciary’s projected expenditures. After Congress enacts a budget for the judiciary, the Judicial Conference approves a plan to spend the money and the Administrative Office distributes funds directly to each court, operating unit, and program in the judiciary. Individual courts have considerable authority and flexibility to conduct their work, establish budget priorities, make sound business decisions, hire staff, and make purchases, consistent with Judicial Conference policies. ■ UNDERSTANDING THE FEDERAL COURTS......................................................................................................... 25 Commonly Asked Questions About the Federal Judicial Process How do I file a civil case? How can I find a lawyer? Is there a charge? Local bar associations usually offer A civil action begins when some party lawyer referral services, often without to a dispute files a complaint. The parties charge. The clerk’s office in each district beginning a civil action in a district court court usually is able to help find a referral are required to pay a filing fee that is set by service. But personnel in the clerk’s office statute. A plaintiff who is unable to pay the and other federal court employees are fee may file a request to proceed in forma prohibited from providing legal advice to pauperis. If the request is granted, the fee individual litigants. is waived. Defendants in criminal proceedings have a right to a lawyer, and they are How do I file a criminal case? entitled to have counsel appointed at Individuals may not file criminal charges government expense if they are financially in federal courts. A criminal proceeding unable to obtain adequate represen- is initiated by the government, usually tation by private counsel. The Criminal through the U.S. attorney’s office in coordi- Justice Act requires a court determina- nation with a law enforcement agency. tion that a person is financially eligible for Allegations of criminal behavior should court-appointed counsel. Defendants may be brought to the local police, the FBI, be required to pay some of these costs. or another appropriate law enforcement Defendants also have the option of waiving agency. their right to counsel; however, this requires consent of the presiding judge. How do I file for bankruptcy There is no general right to free legal protection? Is there a charge? assistance in civil proceedings. Some A bankruptcy case begins with the litigants obtain free or low-cost representa- filing of a petition. The required forms are tion through local bar association referrals available from the bankruptcy court clerk’s or legal services organizations. Litigants in office, on the court’s website, or at many civil cases may also proceed pro se; that is, stationery stores. There is a range of filing they may represent themselves without the assistance of a lawyer. fees for bankruptcy cases, depending on the chapter of the bankruptcy code under which the case is filed. Chapter 7, the most How are judges assigned to common type filed by individuals, involves a particular court? Each federal judge is commissioned to an almost complete liquidation of the a specific court. Judges have no authority assets of the debtor, as well as a discharge to hear cases in other courts unless they of most debts. are formally designated to do so. Because of heavy caseloads in certain districts, judges from other courts are often asked to hear cases in these districts. 26T����������������������������������������������������������������������������������������������������The Administrative Office of the U.S. Courts How are judges assigned to wide variety of other proceedings in civil specific cases? and criminal cases as referred to them by Judge assignment methods vary, but all district judges (including deciding motions, courts use some random case assignment reviewing petitions filed by prisoners, and procedure and manage caseloads so that conducting pretrial and settlement confer- each judge in a court receives roughly an ences); trial of most criminal misdemeanor equal caseload. cases; and trial of civil cases with the consent of the parties. What is a U.S. Magistrate Judge? Magistrate judges are judicial officers How can I check on the status of a appointed by the district court to serve case? for eight-year terms. Their duties fall into The clerk’s office responds without four general categories: conducting most charge to most inquiries on the status of initial proceedings in criminal cases (includ- a case. There is a fee to conduct certain ing search and arrest warrants, detention searches and retrieve some information, hearings, probable cause hearings, and and to print court documents. Most federal appointment of attorneys); conducting a courts have automated systems that allow UNDERSTANDING THE FEDERAL COURTS......................................................................................................... 27 for the search and retrieval of case-related How is staff hired in the federal information at the public counters in the courts? courthouse, and electronically from other The federal court system’s personnel locations. In the Supreme Court and many decisions are decentralized. This means bankruptcy courts, telephone informa- that each court conducts its own adver- tion systems enable callers to obtain case tising and hiring for job positions. Judges information by touch-tone phone. Court select and hire their own chambers staff. dockets and opinions are also available The clerk of court and certain other central on the Internet. The judiciary’s Internet court staff are hired by the court as a homepage, www.uscourts.gov, includes whole. Other court staff are hired by the links to individual court websites, as well as clerk of court, who acts under the super- a directory of court electronic public access vision of the court. Some employment services. opportunities are listed on the judiciary’s Internet homepage, www.uscourts.gov, but How quickly does a court reach a often the clerk’s office or the website of decision in a particular case? a particular court is the best source for a All cases are handled as expeditiously complete listing. ■ as possible. The Speedy Trial Act of 1974 establishes special time requirements for the prosecution and disposition of criminal cases in district courts. As a result, courts must give the scheduling of criminal cases a higher priority than civil cases. The Act normally allows only 70 days from a defen- dant’s arrest to the beginning of the trial. There is no similar law governing civil trial scheduling, but the courts usually are able to resolve civil cases in less than a year. Depending on its complexity, a particular case may require more or less time to resolve. There are many reasons why the progress of a particular case may be delayed, many of which are outside the court’s control. Cases may be delayed because settlement negotiations are in progress, or because the attorneys or judge have scheduling conflicts. 28T����������������������������������������������������������������������������������������������������The Administrative Office of the U.S. Courts  COMMON LEGAL TERMS a acquittal Judgment that a criminal defendant has not been proven guilty beyond a reasonable doubt. In other words, a verdict of “not guilty.” Under the Double Jeopardy clause of the Constitu- tion, an acquitted defendant may never be tried again criminally for the same offense. administrative law judge An officer in a regulatory or social service agency, such as the Securities and Exchange Commission or the Social Security Administration, who decides disputes under the law and regulations administered by his agency, subject to appeals to the Article III courts. affidavit A written statement of facts confirmed by the oath of the party making it, before a notary or officer having authority to administer oaths. affirmed In the practice of the court of appeals, it means that the court of appeals has concluded that the lower court decision is correct and will stand as rendered by the lower court. alternative dispute resolution (“ADR”) Methods of resolving a legal dispute without conducting a trial, including mediation and arbitration. answer The formal written statement by a defendant responding to a civil complaint and setting forth the grounds for his or her defense. appeal A request challenging the decision of a trial court by a party that has lost on one or more issues and seeks a higher court (appellate court) review of the decision to determine if it was correct. To make such a request is “to appeal” or “to take an appeal.” One who appeals is called the “appellant.” The other party is the “appellee.” arbitration A form of alternative dispute resolution in which an arbitrator (a neutral decision maker) issues a judgment on the legal issues involved in a case after listening to presentations by each party. Arbitration can be binding or nonbinding, depending on the agreement among the parties before the proceeding. UNDERSTANDING THE FEDERAL COURTS......................................................................................................... 29  arraignment A proceeding in which an individual who is accused of committing a crime is brought into court, told of the charges, and asked to plead guilty, not guilty, or nolo contendere (no contest). Article III judge A judge who exercises the judicial powers of the United States under the authority of Article III of the U.S. Constitution. Article III judges are appointed by the President, with the ad- vice and consent of the Senate. Article III of the Constitution protects the independence of Article III judges by guaranteeing them a lifetime appointment and no reduction in pay. An Article III judge can only be forcibly removed from office through the impeachment pro- cess. Article III judges sit on the U.S. Court of International Trade, the federal district courts, the appeals, and the U.S. Supreme Court. b bail Security (usually in the form of money) given for the release of a criminal defendant or wit- ness from legal custody to secure his appearance on the day and time set by the court. bankruptcy A legal process—over which the federal courts have exclusive jurisdiction—by which per- sons or businesses unable to pay their debts can seek the assistance of the court in liqui- dating and reorganizing their assets and liabilities. Under the protection of the bankruptcy court, debtors may discharge their debts. Bankruptcy judges preside over these proceed- ings. bankruptcy judge A federal judge, appointed by the court of appeals for a 14-year term, who has authority to hear matters that arise under the Bankruptcy Code. bench trial Trial by a judge without a jury in which a judge decides which party prevails. brief A written statement submitted by a party in a case that asserts the legal and factual reasons why the party believes the court should decide the case, or particular issues in the case, in that party’s favor. 30T����������������������������������������������������������������������������������������������������The Administrative Office of the U.S. Courts c capital offense A crime punishable by death. case law The law as reflected in the written decisions of the courts. case ancillary to a foreign proceeding A case commenced under Chapter 15 of the Bankruptcy Code by the representative of a foreign tribunal to protect the U.S. property of a debtor subject to an insolvency proceed- ing in another country. chambers A judge’s office, typically including a conference room and work space for the judge’s law clerks and secretary. chief judge The judge who has primary responsibility for the administration of a court. Chief judges are selected from the judges of the court based on seniority. circuit executive A federal court employee appointed by a circuit judicial council to assist the chief judge of the circuit and provide administrative support to the courts of the circuit. clerk of court An administrative officer appointed by the judges of the court to manage the flow of cases through the court, maintain court records, handle financial matters, and provide other ad- ministrative support to the court. common law The legal system that originated in England and is in use in the U.S. today. Common law relies on the articulation of legal principles in a historical succession of judicial decisions. Common law principles can be changed by legislation, but legislation is subject to interpre- tation by common law methodology. Many areas of the law, such as bankruptcy, are now codified in detailed statutes, but these statutes are applied according to their interpretations by successive precedents established by the courts. complaint A written statement filed by a plaintiff initiating a civil case, stating the jurisdiction of the court to resolve the legal dispute, the wrongs allegedly committed by the defendant, and the requested relief. UNDERSTANDING THE FEDERAL COURTS.........................................................................................................31  contract An agreement between two or more persons that creates an obligation to do or not to do a particular thing. conviction A judgment of guilt against a criminal defendant. counsel Legal advice; a term also used to refer to the lawyers in a case. court Government entity presided over by judges and authorized by statute to resolve legal disputes. Judges sometimes use “court” to refer to themselves in the third person, as in “the court has read the briefs.” court reporter A person who makes a word-for-word record of what is said in court, generally by using a stenographic machine or audio recording, and then produces a transcript of the proceed- ings upon request. Court of International Trade A court established by Congress under Article III of the Constitution to hear cases involving U.S. international trade law, including questions concerning tariffs, dumping, countervailing duties, and international property issues. d damages Money paid by defendants to successful plaintiffs in civil cases to compensate the plaintiffs for their injuries. debtor A person who is the subject of a bankruptcy case. default judgment A judgment rendered in favor of the plaintiff because of the defendant’s failure to answer or appear to contest the plaintiff’s claim. defendant In a civil case, the person or organization against whom the plaintiff brings suit; in a criminal case, the person accused of the crime. 32T����������������������������������������������������������������������������������������������������The Administrative Office of the U.S. Courts  deposition An oral statement made before an officer authorized by law to administer oaths. Such statements are often taken to examine potential witnesses, to obtain discovery, or to be used later in trial. discovery The process by which lawyers learn about their opponent’s case in preparation for trial. Typical tools of discovery include depositions, interrogatories, requests for admissions, and requests for documents. All these devices help the lawyer learn the relevant facts and col- lect and examine any relevant documents or other materials. docket A log containing the complete history of each case in the form of brief chronological entries summarizing all court proceedings. All federal court dockets are maintained in electronic form and are generally available to the public by computer. e en banc “In the bench” or “as a full bench.” Refers to court sessions with the entire membership of a court participating. U.S. circuit courts of appeals usually decide matters sitting in panels of three judges, but all the judges in the court may decide certain matters together or review panel decisions sitting “en banc” (occasionally spelled “in banc”). The largest courts of ap- peals may split their full membership into two en banc panels. equitable Pertaining to civil suits in “equity” rather than in “law.” In English legal history, the courts of “law” could order the payment of damages and could afford no other remedy. See “dam- ages.” A separate court of “equity” could order someone to do something or to cease to do something. See, e.g., “injunction.” In American jurisprudence, the federal courts have both legal and equitable power, but the distinction is still an important one in certain respects. For example, a trial by jury is normally available in cases at “law” but not in “equity.” evidence Physical material or information presented in testimony or in documents that is used to per- suade the fact finder (judge or jury) to decide the case in favor of one side or the other. The federal courts must follow the Federal Rules of Evidence. UNDERSTANDING THE FEDERAL COURTS.........................................................................................................33 f federal public defender An attorney employed by the federal courts on a full-time basis to provide legal defense to defendants who are unable to afford counsel. The judiciary administers the federal defender program pursuant to the Criminal Justice Act. federal question jurisdiction Jurisdiction given to federal courts in cases involving the interpretation and application of the U.S. Constitution, acts of Congress, and treaties. felony A serious crime carrying a penalty of more than one year in prison. Compare with “misde- meanor.” file (1) The act of transmitting or placing a document in the official custody of the clerk of court and entering it into the file or record of a case; (2) the official record of a case. g grand jury A body of 16-23 citizens who listen to evidence of criminal allegations presented by the prosecutors, and determine whether there is enough evidence to issue an indictment and conduct a trial. See also “indictment” and “United States attorney.” h habeas corpus A writ (court order) that is usually used to bring a prisoner before the court to determine the legality of his or her imprisonment. Someone in state prison may file a petition in feder- al court for a “writ of habeas corpus,” seeking to have the federal court review whether the state violated his or her rights under the U.S. Constitution. Federal prisoners may file habeas petitions as well. A writ of habeas corpus may also be used to bring a person in custody before the court to give testimony or to be prosecuted. hearsay Statements by a witness who did not see or hear the incident in question but heard about it second-hand from someone else. Hearsay is usually not admissible as direct evidence in court because it does not allow a defendant to confront his or her accusers and is not as reliable as first-hand testimony, but there are many exceptions to the hearsay rule. 34T����������������������������������������������������������������������������������������������������The Administrative Office of the U.S. Courts i impeachment (1) The process of calling a witness’s testimony into doubt. For example, if the attorney can show that the witness may have fabricated portions of his testimony, the witness is said to be “impeached.” (2) The constitutional process whereby the House of Representatives may “impeach” (accuse of misconduct) high officers of the federal government, who are then removed from office if found guilty in a trial before the Senate. indictment The formal charge issued by a grand jury stating that there is enough evidence that the defendant committed a crime to justify having a trial; it is used primarily for felonies. See also “information.” in forma pauperis “In the manner of a pauper.” The court may grant a litigant’s motion to proceed “in forma pauperis” and allow him or her to file a case without payment of the required court fees if the person does not have the financial means to pay a fee. information A formal accusation by a government attorney that the defendant committed a misde- meanor. An information may also be used in a felony case if the defendant formally waives his or her right to a grand jury indictment. See also “indictment.” injunction A court order prohibiting a defendant from performing a specific act, or compelling a de- fendant to perform a specific act. interrogatories Written questions sent by one party in a lawsuit to an opposing party as part of pretrial discovery in civil cases. The party receiving the interrogatories is required to answer them in writing under oath. issue (1) A disputed point between parties in a lawsuit. (2) To send out officially, as in a court issuing an order. j judge An official with statutory authority to decide legal disputes according to the law. Used ge- UNDERSTANDING THE FEDERAL COURTS.........................................................................................................35  nerically, the term “judge” may refer to all judicial officers, including Supreme Court justices, state and federal judges, military judges, and executive branch appointees who preside over tribunals and other bodies that decide legal disputes. See also “Article III judge,” “magistrate judge,” and “bankruptcy judge.” judgment The official decision of a court finally resolving a dispute between the parties to a lawsuit. jurisdiction (1) The legal authority or competence of a court to hear and decide a case. (2) The geo- graphic area over which the court has authority to decide cases. jurisprudence The study of law and the structure of the legal system. jury The group of local citizens selected by the court to hear the evidence in a trial and render a verdict on matters of fact. See also “grand jury.” jury instructions A judge’s directions to the jury before it begins deliberations regarding the factual questions that it must answer and the legal rules that it must apply. l lawsuit A legal action started by a plaintiff against a defendant based on a complaint that the de- fendant failed to perform a legal duty which resulted in harm to the plaintiff. litigation A case, controversy, or lawsuit. Participants (plaintiffs and defendants) in lawsuits are called litigants. m magistrate judge A federal judge, appointed by a concurrence of a majority of the court’s district judges, who conducts initial proceedings in criminal cases, decides criminal misdemeanor cases, con- ducts many pretrial civil and criminal matters on behalf of district judges, and decides civil cases with the consent of the parties. 36T����������������������������������������������������������������������������������������������������The Administrative Office of the U.S. Courts  mediation The alternative dispute resolution (ADR) method most commonly used in the district courts. Mediation is an informal process in which a mediator facilitates negotiations between the parties to help them resolve their dispute. misdemeanor An offense punishable by one year of imprisonment or less. Compare with “felony.” mistrial An invalid trial, caused by fundamental error. When a mistrial is declared, the trial must start again with the selection of a new jury. motion A request by a litigant to a judge for a decision on an issue relating to the case. n nolo contendere No contest. A plea of nolo contendere has the same effect as a plea of guilty, as far as the criminal sentence is concerned, but may not be considered as an admission of guilt for any other purpose. o opinion A judge’s written explanation of the decision of the court. Because a case may be heard by three or more judges in the court of appeals, the opinion in appellate decisions can take several forms. If all the judges completely agree on the result, one judge will write the opin- ion for all. If all the judges do not agree, the formal decision will be based upon the view of the majority, and one member of the majority will write the opinion. The judges who did not agree with the majority may write separately in dissenting or concurring opinions to present their views. A dissenting opinion disagrees with the majority opinion because of the reasoning and/or the principles of law the majority used to decide the case. A concur- ring opinion agrees with the decision of the majority opinion, but offers further comment or clarification or even an entirely different reason for reaching the same result. Only the majority opinion can serve as binding precedent in future cases. See also “precedent.” oral argument An opportunity for lawyers to verbally summarize their positions before the court and an- swer the judges’ questions. UNDERSTANDING THE FEDERAL COURTS.........................................................................................................37 p panel (1) In appellate cases, a group of judges (usually three) assigned to decide the case. (2) In the jury selection process, the group of potential jurors. (3) The list of attorneys who are both available and qualified to serve as court-appointed counsel for criminal defendants who cannot afford their own counsel. party One of the litigants in a case. At the trial level, the parties are typically referred to as the plaintiff and defendant. On appeal, they are known as the appellant and appellee, or, in some cases involving administrative agencies, as the petitioner and respondent. petit jury (or trial jury) A group of citizens who hear the evidence presented by both sides at trial and determine the facts in dispute. Federal criminal juries consist of 12 persons. Federal civil juries consist of at least six persons. See also “jury” and “grand jury.” petty offense A federal misdemeanor punishable by six months or less in prison. plaintiff The person who initiates a civil lawsuit. plea In a criminal case, the defendant’s statement pleading “guilty,” “not guilty,” or “no contest” in answer to the charges. pleadings Written statements filed with the court that describe a party’s legal or factual assertions about the case. precedent A court decision in an earlier case with facts and legal issues similar to a dispute currently before a court. Judges—following the common-law tradition—will generally “follow prece- dent.” They use the principles established in earlier cases to decide new cases that have sim- ilar facts and raise similar legal issues. A judge will disregard precedent if a party can show that the earlier case was wrongly decided, or that it differed in some significant way from the current case. Lower courts must follow precedents set by the decisions of higher courts. 38T����������������������������������������������������������������������������������������������������The Administrative Office of the U.S. Courts presentence report A report prepared by a court’s probation officer, after a person has been convicted of an offense, summarizing for the court the background information needed to determine the appropriate sentence. pretrial conference A meeting of the judge and lawyers to plan the trial, to discuss which matters should be presented to the jury, to review proposed evidence and witnesses, and to set a trial sched- ule. Typically, the judge and the parties also discuss the possibility of settling of the case. pretrial services A department of the district court that conducts an investigation of a criminal defendant’s background in order to help a judge decide whether to release the defendant into the com- munity before trial. probation (1) A sentencing alternative to imprisonment in which the court releases convicted defen- dants under supervision of a probation officer, who makes certain that the defendant fol- lows certain rules (e.g., gets a job, gets drug counseling, etc.) (2) A department of the court that prepares a presentence report in a criminal case. probation officer Officers of a court who conduct presentence investigations, prepare presentence reports on convicted defendants, and supervise released defendants. pro bono publico (“pro bono”) A Latin term meaning “for the good of the public.” Some lawyers take on certain kinds of cases pro bono, without expectation of payment; these cases are called “pro bono cases.” procedure The rules for conducting a lawsuit. There are rules of civil, criminal, bankruptcy, and appel- late procedure. pro per A slang expression sometimes used to refer to a pro se litigant. It is a corruption of the Latin phrase “in propria persona.” pro se A Latin term meaning “on one’s own behalf.” In courts, it refers to persons who present their own cases without lawyers. UNDERSTANDING THE FEDERAL COURTS.........................................................................................................39  prosecute To charge someone with a crime. A prosecutor tries a criminal case on behalf of the gov- ernment. r recalled judge A retired magistrate judge, bankruptcy judge, or judge of the Court of Federal Claims may return to duty for a limited term as a “recalled” judge. record A written account of the proceedings in a case, including all pleadings, evidence, and exhib- its submitted in the course of the case. remand The act of an appellate court sending a case to a lower court for further proceedings. reverse The act of an appellate court setting aside the decision of a trial court. A reversal is often accompanied by a remand to the lower court for further proceedings. s senior judge An Article III judge who has retired from active duty but continues to perform some judicial duties, usually maintaining a reduced caseload. Commonly referred to as “senior status.” A judge who has not taken senior status may be referred to as an “active judge,” although the distinction may be misleading as many senior judges maintain full caseloads. sentence The punishment ordered by a court for a defendant convicted of a crime. sentencing guidelines A set of rules and principles established by the United States Sentencing Commission that trial judges use as one factor to consider when they determine the sentence for a convicted defendant. sequester To separate. Sometimes juries are sequestered or isolated from outside influences during their deliberations. 40T����������������������������������������������������������������������������������������������������The Administrative Office of the U.S. Courts  service of process The delivery of writs or summonses to a party in a lawsuit or someone involved in the case. settlement Parties to a lawsuit resolve their dispute without having a trial. Settlements often involve the payment of compensation by one party in at least partial satisfaction of the other party’s claims, but usually do not include the admission of fault. statute A law passed by a legislature. statute of limitations A law that sets the deadline by which parties must file suit to enforce their rights. For example, if a state has a five-year statute of limitations for breaches of contract, and John breached a contract with Susan on January 1, 2005, Susan must file her lawsuit by Janu- ary 1, 2010. If the deadline passes, the “statute of limitations has run” and the party may be prohibited from bringing a lawsuit; i.e., the claim is “time-barred.” Sometimes a party’s attempt to assert his or her rights will “toll” the statute of limitations, giving the party addi- tional time to file suit. subpoena A command, issued under authority of a court or other authorized government entity, to compel an individual or organization to produce some kind of evidence, or require a wit- ness to appear and give testimony. subpoena duces tecum A command to a witness to appear and produce documents. summary judgment A decision made on the basis of statements and evidence presented for the record without a trial. It is used when it is not necessary to resolve any factual disputes in the case. Summa- ry judgment is granted when—on the undisputed facts in the record—one party is entitled to judgment as a matter of law. t temporary restraining order Prohibits a person from taking an action that is likely to cause irreparable harm. This differs from an injunction in that it may be granted immediately, without notice to the opposing party, and without a hearing. It is intended to last only until a hearing can be held. Some- times referred to as a “T.R.O.” UNDERSTANDING THE FEDERAL COURTS.........................................................................................................41  testimony Evidence presented orally by witnesses during trials or before grand juries. toll See “statute of limitations.” Certain actions will “toll” the statute of limitations, or extend the time by which parties must file suit to enforce their rights. tort A civil wrong or breach of a duty to another person. The “victim” of a tort may be entitled to sue for the harm suffered. Victims of crimes may also sue in tort for the wrongs done to them. Most tort cases are handled in state court, except when the tort occurs on federal property (e.g., a military base), when the government is the defendant, or when a dispute between parties from different states falls under the federal court’s diversity jurisdiction. transcript A written, word-for-word record of what was said, either in a proceeding such as a trial, or during some other formal conversation, such as a hearing or oral deposition. trustee In a bankruptcy case, a person appointed to represent the interests of the bankruptcy estate and the unsecured creditors. The trustee’s responsibilities may include liquidating the prop- erty of the estate, making distributions to creditors, and bringing actions against creditors or the debtor to recover property of the bankruptcy estate. u uphold The appellate court agrees with the lower court decision and allows it to stand. See “af- firmed.” U.S. attorney A lawyer appointed by the President of the United States in each judicial district to prose- cute and defend cases for the federal government. The U.S. attorney employs a staff of as- sistant U.S. attorneys (AUSAs) who appear as the government’s attorneys in individual cases. U.S. trustee The United States Trustee Program is a component of the United States Department of Jus- tice responsible for overseeing the administration of bankruptcy cases and private trustees. United States Trustees are government employees appointed by the Attorney General of the United States. United States Trustees appoint and supervise private trustees, take legal 42T����������������������������������������������������������������������������������������������������The Administrative Office of the U.S. Courts  action to enforce the requirements of the United States Bankruptcy Code, refer matters for investigation and criminal prosecution, and ensure that bankruptcy estates are administered efficiently and that professional fees are reasonable. v venue The geographical location in which a case is tried. verdict The decision of a trial jury or a judge that determines the guilt or innocence of a criminal defendant, or that determines the final outcome of a civil case. voir dire The process by which judges and lawyers select a trial jury from among those eligible to serve by questioning them to make certain that they would fairly decide the case. “Voir dire” is a phrase meaning “to speak the truth.” w warrant An arrest warrant is a written court order authorizing official action by law enforcement of- ficials, usually directing them to arrest the individual named in the warrant. A search warrant is a court order that permits a specific location be searched for items which, if found, can be used in court as evidence. witness A person called upon by either side in a lawsuit to give testimony before the court or jury. writ A formal written command or order, issued by the court, requiring the performance of a specific act. writ of certiorari An order issued by the U.S. Supreme Court directing the lower court to transmit records for a case it will hear on appeal. ■ UNDERSTANDING THE FEDERAL COURTS.........................................................................................................43 About the Administrative Office of the United States Courts Created by an Act of Congress in conducts studies and reviews of programs 1939, the Administrative Office of the U.S. and operations; develops new business Courts supports the work of the judicial methods for the courts; provides training branch. Its Director, who serves as the and technical assistance; issues manuals, chief administrative officer for the federal directives, rules, and other publications; courts, is appointed by the Chief Justice of fosters and coordinates communications the United States in consultation with the with the legislative and executive branches; Judicial Conference of the United States. and provides public information. The Administrative Office provides The Administrative Office’s Director has staff support and counsel to the judiciary’s delegated to the individual courts many of policymaking body, the Judicial Conference his statutory administrative authorities. As of the United States, and its committees. It a result, each court can plan, organize, and monitors and assesses judiciary operations manage its business activities and expendi- and emerging issues, makes recommen- tures, consistent with policies and spending dations for new policies and programs, limits, to meet its particular needs. This and implements and promotes the Judicial decentralization of administrative authority Conference’s policies. benefits both the courts and the taxpay- The Administrative Office develops ers because it reduces bureaucracy and programs, systems, and methods to encourages innovation and economy. ■ support and improve judicial administration. It provides a broad array of administrative, SOURCES OF ADDITIONAL INFORMATION legal, technical, communica- tions, and other services that Publications support the operation of the Federal Courts and What They Do federal appellate, district, and (Federal Judicial Center, 2006) bankruptcy courts, and the defender services and probation Strategic Plan for the Federal Judiciary and pretrial services programs. (Judicial Conference of the United States, 2010) Among its many functions, the Judiciary Website Addresses Administrative Office develops Administrative Office of the U.S. Courts and administers the judiciary’s www.uscourts.gov budget; audits court financial records; manages the judiciary’s Federal Judicial Center payroll and human resources www.fjc.gov programs; collects and analyzes Authorized Judgeships statistics to report on the business For current information on authorized federal of the courts; manages the judgeships visit the judges and judgeships section judiciary’s automation and infor- of www.uscourts.gov mation technology programs; 44T����������������������������������������������������������������������������������������������������The Administrative Office of the U.S. Courts