READING MATERIALS
FOR
CLASS I
(3 October)
UNDERSTANDING FEDERAL AND
STATE COURTS
Introduction
The judicial system in the United States is unique Insofar as t .5 actually made up of two different court systems: the
federal court system and the state court systems. While each court system is responsible for hearing certain types of
cases, neither is completely independent of the other, and the systems often interact. Furthermore solving legal
disputes and vindicating legal rights are key goals of both cou,tsystems. This lesson • designed to examine the
differences, similarities, and interactions between the federal and state court systems to make the public aware of how
eadi system goes about achieving these goals.
Objectives
After completing this lesson, one should be able to.
• Understand that the American judicial system actually made up of two separate court systems: the
federal court system and the state court systems.
• Know the structure of the federal court system and a typical state court system and be Ether to
discuss the similarities and differences between the two.
• Distinguish between the toes of cases that are heard in the federal courts and those that are heard
in the state courts.
• Comprehend how the 14Th Amendment to the U.S. Constitution allows the federal courts to become involved t
cases arising in state courts and how, subsequently, this shows the two systems to interact.
Overview of Key Concepts
Why Are There Two Court Systems in the United States?
The U.S. Constitution created a governmental structure for the United States known as federalism. Federalism refers
to a sharing of powers between the national government and the state governments. The Constitution gives certain
powers to the federal government and reserves the rest for the states. Therefore, while the Constitution states that
the federal government is supreme with regard to those powers expressly or implicitly delegated to it, the states
remain supreme in matters reserved to them. This supremacy of each government in its own sphere is known as
separate sovereignty, meaning each government is sovereign in its own right.
Both the federal and state governments need their own court systems to apply and interpret their laws. Furthermore,
both the federal and state constitutions attempt to do this by specifically spelling out the jurisdiction of their
respective court systems.
For example, s nee the Constitution gives Congress sole authority to make uniform laws concerning bankruptcies, a
state court would lack jurisdiction in this matter. Likewise, since the Constitution does not give the federal
government authority in most matters concerning the regulation of the family, a federal court would lack jurisdiction
in a divorce case. This is why there are two separate court systems in America. The federal court system deals with
issues of law relating to those powers expressly or implicitly granted to it by the U.S. Constitution while the state court
systems deal with Issues of raw relating to those matters that the U.S. Constitution did not give to the federal,
government or explicitly deny to the states.
Describe the Differences In the Structure of the Federal and State Court Systems.
Federal Court System
The term federal court can actuafly refs to one of two types of courts. The first type of court is what is known as an Artkie II
court. These courts get their name ‘rom the fact that they derive their power from Article ill of the Constitution. These courts
include (1) the U.S. District Courts, (2) the U.S, Circuit Courts of Appeal, and (3) the U.S. Supreme Court They also no include
two special courts: (a) the U.S. Court of Claims and (b) the U.S. Court of international Trade. These courts are special
because unlike the 01 her courts, they are not courts of general jurisdiction. Courts of general jurisdiction can r ear almost any
case. All judges of Article II courts are appointed by the President of the United States the advice and consent of the
Senate and hold of during good behavior.
The second type o court also Is established by Congress. These courts are (1 magistrate courts, (2 bankruptcy courts, (3, he
U.S. Court of the Military Appeals (4) the U.S. Tax Court, and (5, the U.S. Court of Veterans Appeals. The judges of these
courts are appdnted by the President with the advice and consent of the Senate. They hold office for a set number ot years
usually about 15. Magistrate and bankruptcy courts are attached to each U.S. District Court. The U.S Court Military Appeals,
U.S. Tax Court, and U.S. Court of the Veterans’ Appeals are called Article I or legislative courts.
U.S. D strict Courts
There are 94 .S. District Courts the United States. Every state has at least one distnct court and some large states such as
California has as many as four. Each district court has between 2 and 28 Ages. The U.S. District Courts are
Ma: courts, or courts o originaljurisdiction. This means that most federal cases begin here. U.S. District Courts hear both
civil and criminal cases. In many cases, the judge determines issues of law, while the jury (or judge sitting without a jury)
determines findings of fact
U.S. Circuit Courts of Appeal
There are 13 U.S. Circuit Courts of Appeal - the United States. These courts are divided Into 12 regional circuits and sit in various
cities throughout the country. The U.S. Court o. Appeals for the Federal Circuit (the 13th Court) sits in Washington. With the
exception of criminal cases in which a defendants found not guilty, any party who is dissatisfied with the judgment of a U.S.
District Court (or the findings of certain administrative agencies) may appeal to the U.S. Circuit Court of Appeal in his/her
geographical district These Court decides will examine the trial record for only mistakes of law; the facts have already been
determined by the U.S. District Court. Therefore, the court usual y will neither review the facts of the case nor take any additional
evidence. When earing cases, these courts usually is in panels of three judges.
U.S. Supreme Court
The Supreme Court of the United States sits at the apex of the federal court system. It is made up of nine ,judges,
known as justices, ands presided over by the Chief Justice. It sits .n Washington, D.C. Parties who are not satisfied
with the decision of a U.S. Circuit Court of Appeal (or, in rare cases, of a U.S. District Court) or a state supreme court
can petition the U.S. Supreme Court to hear their case. This is done mainly by a legal procedure known as a Petition for
a Writ of Certiorari (sort). The Court decides whether o accept such cases. Each year, the Court accepts between 100
and 150 of the some 7.000 cases it is asked to hear for argument The cases typically lit within general criteria for oral
arguments. Four justices must agree to hear the case (grant cert.) While primarily an appellate court, the Court does have
original jurisdiction over cases involving ambassadors and two or more states.
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State Court Systems
No two state court systems are exactly alike. Nevertheless, there are suffident similarities to provide an example of what
a typical state court system looks like. Most state court sys ems are made up of (1) two sets of trial courts: (a) tr at courts
o mated jurisdiction (probate, family, traffic, etc.) and (b) trial courts of general jurisdiction (main trial-level courts); (2)
inten-nediate appellate courts (In many, but not all, states); and (3) the highest state courts (called by various names).
Unlike federal judges, most state court judges are not appointed for life but are eitherelected or appointed (or a
combination of both) for a certain number of years.
Thai Courts of General Jurisdiction
Trial courts of general jurisdiction are the main trial courts in the state system. They hear cases outs de the jurisdiction
of the trial courts of limited jurisdiction. These involve both clv and criminal cases. One judge (often sitting with a jury)
usually hears them. in such cases, the Judge decides issues of .aw, while the jury decides issues of fact. A record of the
proceeding is made and may be used on appeal. These courts are called by a variety of names, including (1) circuit
courts, (2) superior courts, (3) courts of common pleas, (4) and even, in New York supreme courts. In certain cases,
these courts can hear appeals from trial courts of limited jurisdiction.
Intemiediate Appellate Cowls
Many, but not all, states have Intermediate appellate courts between the trial courts of general jurisdiction and the highest
court in the state. Any party, excapt in a case where a defendant in a criminal trial has been found not guilty, who is not
satisfied with the judgment of a state trial court may appeal the matter to an appropriate intermediate appellate court. Such
appeals are usually a matter of right (meaning the court must hear them). However, these courts address only alleged
procedural mistakes and errors of law made by the trial court. They will usual neither review the facts of the case which
have been established during the trial, nor accept additional evidence. These courts usually sit in panels of two or three
judges
Highest State Courts
Ail states have some sort of highest court. While they are usually referred to as supreme courts, some, such as the
highest court in Maryland, are known as courts of appeal. In states with intermediate appellate courts, the highest
state courts usually have discretionary review as to whether to accept a case. In states without Intermediate
appellate courts, appeals may usually be taken to the highest state court as a matter of right. Like the intermediate
appellate courts, appeals taken usually allege a mistake of law and not fact. In addition, many state supreme courts
have original jurisdiction in certain matters. For example, the highest courts in several states have original jurisdiction
over controversies regarding elections and the reapportionment of legislative districts. These courts often sit in panels
of three, five, seven, or, nine judges/justices.
CIVIL CASES
Civil Cases CVr Cases Criminal Cases Bankruptcy Cases j The Appeals Process
A fede-al clvi, case nvoves a ega’ dispute betweci two or more parties. T0 beç’n a CVI awsuit in federal court, the
p’aint’ tites a compa’nt with the court and serves a copy of the complaint on the defenoant. The compiant descr’bes
:ne paint;ff’s ‘niury, expiarts now the defendant caused the Injury, and asks ‘he court to orcer retef. A plaint ft may seek
money to compensate for the injury, or may ask the cort to o-ce the defendant to stop tie conduct that is causing the
riarm. The court may also orde 012cr types ot reiie1, such as a dec’araiion o’ tie ;e;a. ghts o’ the pa’n’ it a patcdiar
S tuat on.
To prepare a case or :hai, the tgents may conduct discovery.” 2 --
ov e’ c. adscovery, tie tgants must orovda ‘ntorrat’or to each othe
.“sercu e ‘,anoi. ‘he case sch as the oerh’y o w “esses anc cop as o any
‘ccc’ aee”’.e’ .‘esoc,”erdocuments reiatec to the case. The puoose of dscovery s to
cisoie.orepare ‘or trial by requl-ing the t gants to assemble their
ev,c€nce and prepare to calf witnesses. Each sIde also may ‘ile reqests, or “rnotons’ w.lh Ibe court seek:ng ruirigs on
the ciscovery of ev.dence, or on the p’ocedures to be toloweo at trw!.
One common methoc of Qiscovery a Ire depos:tion in a depos.t.on, a witness is -equ-ed urde oatr to answer questons
about the case asked by the lawyers in the presence of a court reoorter. The court eoher is a oerson speca’iy trained to
record all testmory and produce a word-for-worc accourt ca.ed a transcript.
ro avoid the expense and delay of having a trial, udges encoura’e the Utigants to try to reach an agreement reso’ving
their dIspute. In particu.ar, the courts encourage the use or medahon, ab;traton, and other forms of alternative ospu:e
resoution, or °ADR,” des.gned to produce ar early reso’utiori of a dispute without the need for triai or other court
proceedings. As a result, litigants often decide to resolve a civU awsut with an agreemern known as a ‘settiemeri.
If a case is not settled, the court will schedule a trial. in a wide varely of civil cases, either side is entitiec under the
Constitution to request a ury trw. If the parties Waive their right to a ury, then the case wil be nearc by a judge Without a
1ury.
Ata trial, witnesses testify under the supervision of a udge. By apolying rules of evidence, the judge determines which
information may be presented in the courtroom. To ensure ha’ witnesses speak from their own knowiecige and do rot
change their story based on what they hear another witness say, witnesses are <apt out of the courtroom until it time
for them to testify.
A court reporter keeps a record of the trial proceedings.
A deputy cek of court also keeps a record of each person who testlies and marks for the record any documents,
photographs, or otriar items introduced into evdence.
As the questIoning of a witness pmceeds the opposng aI’orney may obec! to a question if it invites the wtness to say
someth:ng that is not based on the witness’s personal knowledge, is unfairly prejudlca. or a irrelevant to the case. The
judge rules on the obeclion. generaUy by rung that it is airier sustained or overruled. if the ob1ection is sustained the
witness is rot required to answer he quest’or, and the attorney must move on to I-is next Question The court reoortw
records the ob,ect’ons so that a court o appeals can revIew the arguments ater necessary.
At the corcluson of the ev;dence, each side gves a closing argument. In a jury trial, the judge will explain the law that is
relevant to the case and the decisions the jury needs to make. The jury gereraly s askec to determne whether the
cetendant is responsb’e for harming the praintft ri some way, and then to determine the amount of damages that the
defendant w;ll be requred to pay. If the case is beng tried before a udge w’thout a jury, known as a “bench” tral, the
judge will decide these .ssues. In a civil case the pisnttt must corvnce the jury oy a “preponderance of the
evidence .e., that it is more likeiy than not) that the cefendant is responsible for the harm the plaintiff 255 suffered.
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CRIMINAL CASES
Criminal Cases Civil Cases I Criminal Cases I Bankruptcy Cases I The Appeals Process
-e cc,a orocess in a cr’rnmai case D”ers from a cvi’ case -i seve’a rnoo-tant ways. Ar tie oegnrng o’ a ‘ecera
crm,na case, the princlpa actors are the U.S. attorney te Drosecutort arc the grand ury. The U.S. attorney represents
the Urted States in most court moceedrgs, inc;uang a crr’c’a orosecjt,o’s, The grand cry eviews e’,cence
oresented by tie U.S. attor ey and dec ces wnet’e there is suttcent evdence to requIre a ce’endant to stand trial.
After a person Is arreslec a re:r,a, servIces or probaton otticer of the court mreoiate.y ‘nta-viev,s the delendrrnt arc
conducts at’ rvestgaton o :he defe’ctam’s backgrouno. ‘‘e .n•o1nat.o obtainec by “c prefr at serv ces 0 rob’or
oftce wll be used to e p a udge dec,Ce w.iether to cease tre ceteica: Ito i’s commonly oe’ore trIal, anc wne:be’ to
nrpose cond lions of reease,
At an intal aooearance. a,uoge advises the deter.da”t o’ the
ThC52n:’co o”oc’rnac’c ra Scr.a’ges fled, consIders whether tna de’e cent ShoJC he hec n
E ‘easorass dccht,” ,,‘,cral unt tra., and deterrn,nes whether :hera .s orobao’e cs,.se to
nstr.t evctEce -‘sue sus’c’c I’’.be eve friat an o’fense has been comrnttad and tie ceendar1 has
3comm tIed ‘t. Defendants who am unabe to atfod counse’ are
ce’s-ca’ co-C--- :tec ne come.advised of their hght to a court-apoolnfed attorney. The court may
appoof either a tedera pubic cefen’ier m a Dr”,afe aior-ey who oas agreed t accept such apoc’tmerts ‘ron’ re urt.
neither type of apportment, the attorney will oe pad by c court ‘mm funds anpropratect by Gongreas. Delerdsnts
‘e.errsed into the corr munty before trial way be requ rec to obey cer’a n restrictons. sjch as home conf,-e Tent or d’..g
test’ng, and to make periodic reports to a pretr a serv ces officer to ensure appea’ance att”a.
The ce’erdaint enters a plea to the charges Drogl’.t cy the U.S. attorney at a hearng nown as an arragmert. ffost
defendants — more than 90%—— plead gutv rather han go to Inst. If a derendant p eacs guilty in return for the
government agreeing to droo certaIn charges or to recommend a lenIent sentence, the agreement often is cal,ed a pea
barga.n.’Hf ‘he defendant peads gci’ty, the judge tray moose a sentence a’ malt me, but more comrron’y w. I sced, a
a hearing to determIne the Sentence at a ater date. In most feony cases the udge wats for the results of a presentence
report, prepared by the courts probation office, efo’e imposing sentence, If the cefendarl pleads not guity, the udge w
proceed to schedule a trial.
Criminal cases nclude a imted amount of pretrial crscove’y proceedings s.mla to those in civI cases, With sjbstarial
restrictiocs to protect the identIty of government informants ano to prevent intimidaton of winesses. The attorneys also
may tile molona, which are requests br rulings by the court before the thaI. For examo1e, defense attorneys often tile a
motion to suppress evidence, which asks the court to exclude from the tral evoence that the defendant believes was
obia,ned by the government n volat:on of the defendant’s constitutiona r.gbts.
In a criminal trial tne ourder of proof .s on the cove’nmert. Defendants do not have to prove ocr ir.”ocence. osteac, the
government must provIde evdence to convrce be cry o the d&endan’s guilt “he s:andarci o’ proof ins cr:”‘inai ft a’ is
proof “Deyond a reasonable oout” whIch rreans tne evidence must be so s:’o g oat there s no ‘essC.rwDfe doubt “‘at
the defendant commtted the crime.
f a defendant is found not gu’Ity, the defendant 5 reeased a”d the governrr.e”i may rot apoea \or can the pe’sor he
crarged again with the same ur me in s tecera’ co.r. “‘e Constkr or, pron b ta “double eonardy, or being tried :tv te Or
the same oerse.
It the verdict s gulty t”e judge aetermi”es the ct&endent’s sentence accorcing to speca’ 4eae’a sentencing gu de ‘es
ssued by the U ted States Senlenc no Comm’ss’or,, The court’s prooston ottce .reps’es a report for the Court that
applies the sentencing guicei’nes to toe indvjdusl defendant arc the crimes for which he or she has been four.d ;c’ty.
D_’t”g sentenc og. me coon may consder not oi’y f”e ev’dence procucea at trial, but alt re &Vait ;ntorma?’on that may be
o’osideo by the pretrial serv:ces officer, the .S. attorrey, and the de1e”se attorney. In unusual crcumstances. the ccci
may depart ‘orn the sentence calculated accordrg to the sentencing guidelines.
A sentence may ncude time it c-son, a fr’s to he pact to the ;ov’arorent. and restitution to be paid to crime v:ctims Toe
court’s p’ooa or oticers sssst the court in enforcing any conditions that are imposed as part of a criwnal sentence. The
supervision of cttenders also may nvoive serv.ces sucn as substance SOuse 1555mg and treatment programs oh
cDursel,rct and aiternat.ve detention options.
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THE APPEALS PROCESS
The Appeals Process Civil Cases I Cnminal Cases Bankruptcy Cases I The Appeals Process
he :osng party in a dec:son by a triai court in the federa syste— normahy ‘5 ent’:leh to anpea e bec son to a federa
court ot appeals. Stmlarty, a ;tigart wno i5 not satis’ed wth a decision made by a feceral admmns:ratve agency usualy
may tie a petit.on for reve’.v of the agency decision by a court of apeas. ucca review in cases vo’ving cerfan
eaerai agencies or progams — ‘or exampe. oisputes ove Sodla Securty beneffs — may be obtared frst in a district
court afher than a court of arcpeais.
In a clv case aither ada may accea the vercct. In a crmna case. he deiendant r’ay socea a gu.ity vec.ct, cut
overnmanf may not apoea’ if a deferaart .s fond not guify. ltner side in a cnn ra case may appea wi:n espec: :o
the sentence that .s nposec afte a guty vedlct
In most bankrup’cy courts, an appeal at a ruiin by a bamruotcy
;udge may be taken to the d’strlct cou’. Seveai courts of aDosa’s,
however, have established a bankruptcy appalale panet consistrg
of three bankrulcy udges to hear appeals directly from the
bankuptcy corts In either shuat.on, he carty that ‘oses :n the
intia bankruptcy appeal may then appeci to the court of appea’s.
A itganr who files an aooeai, known as an “appeilant,’ must show hat the trial court or acrrtistra:,ve agency made a
egal error that affected tne decison in the case. The cou’t of appeals makes ts deciso based or the record of the case
estabished by the trial court or agency. It does not receive additional evidence or hear witnesses. The court of appeas
also may review fne ‘aCtual findings of the trial court or agency, but tyo cay may on y ovenurn a dec’slon or ‘actual
grounds if the findings were cleay erroneous.
Appeals are decdeo by panels of three udges working together.
The appellant Dreserts legal arguments to the panel .n wri:ng, in
a document cailea a ‘brief. In the brief, the appellant tres to
persuade the judges that the trial court made an error, and that its
decison should be reversed. On the other hand, the party
cefending againsl the appeal, known as the “appellee.’ tries in its ce.br;et
to show why the trtal court dec:sion was correct or why any
error made by the trial court was not sgnificant enough to affect the outcome of the case.
Although some cases are decided on the bass of written bhefs alone, many cases are selected for an “oral argument’
before the court. Oral argument in the court of appeals is a strucLred discuss or, between the appellate awyers and the
panel of udges focusing on the legal principles in dispute Each aide 5 given a short time usuahy about 15 minutes —
to present arguments to the court.
The court of appeals decision usuaiy wi be the final word in the case, unless it sends the case hack to the trial court fat
addif oral proceedings or the partes ask the U.S. Supreme Court to review the case In some cases the decson may be
reviewed en banc, that is, by a larger group o udges (usually at.) of the court of appeals for the circ,ut.
A litigant who loses in a federal court of aopeais, or in the highest court of a state, may fe a petition for a writ of
ceriorar, which s a document asking the &preme Court to revIew the case. The Supreme Court however, does not
have to grant review. The Court typically will a;ree to hear a case only when it nvolves an unusually important legal
orinciple, or when two or more federal appellate courts have interpreted a law dIte’entty There are aso a small number
of special cIrcumstances in whch the Supreme Court is required by Jaw to hear art appeal. When the Supreme Court
hears a case, the parties are required to file written bnefs ano I’ e Court may hear oral argument.
In -r ‘C: Gaas, cc ecr.-’ ‘‘av
.y ‘erc c’, Out the o’t
“‘c a;oer if a :a’€ca a ‘cur: -o’.
Tnecc’rto’ rc:vascecsio ,.sue ‘
will
cc the last co in a case. u’hess it se s
the case nac .0 he I-a co.rI ‘o’
soc ‘0-a n-cceertrcs or the e e as
the U.S. uc’ee Court to ‘cv ca the
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