1. 14: The Federal Judicial System
Applying the Law

2. The Federal Judicial System
Constitution of the United States established the judiciary as a separate and independent branch
Also established the U.S. Supreme Court
Gave Congress the power to establish lower federal courts
All federal judges are nominated and appointed by the president and confirmed by the Senate
No age, residency, or citizenship requirements are delineated in the Constitution
Judges “hold their offices during good behavior”

3. The Supreme Court of the United States
Original jurisdiction: the authority to be the first court to hear a case
Supreme Court’s original jurisdiction:
Disputes involving foreign diplomats
Suits between states

4. The Supreme Court of the United States (2)
Appellate jurisdiction: the authority to review cases that have already been heard
Supreme Court’s appellate jurisdiction:
Cases arising under the Constitution, federal law and regulations, and treaties
Appeals to legal controversies that cross state or national boundaries

5. Selecting and Deciding Cases
Selecting a case:
Losing party in a lower court case appeals
If at least four justices agree to hear the case, the Court issues a writ of certiorari—a request for a record of the case
Court seldom accepts routine cases
Accepts fewer than 100 cases each year
There must be “compelling reasons” for accepting a case
About three-fourths of Supreme Court decisions reverse the lower court’s judgment

6. Figure 14-1 The Supreme Court’s Docket
The Supreme Court accepts only a small fraction of the roughly 8,000 cases appealed to it each year. The Court normally agrees to hear only those cases that have broad legal significance.
Source: Supreme Court of the United States. Figures based on yearly average for 1990–2015 period.

7. Figure 14-2 The Federal Judicial System
The simplified diagram shows the relationships among the various levels of federal courts and between state and federal courts. The losing party in a case can appeal a lower-court decision to the court at the next-highest level, as the arrows indicate. Decisions normally cannot be moved from state courts to federal courts unless they raise a U.S. constitutional issue, such as whether a defendant’s right to a fair trial has been violated.
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8. Selecting and Deciding Cases (2)
Supreme Court hearing:
Attorney for each side presents oral argument, typically limited to 30 minutes
Each also provides a written brief
Only the nine justices attend the judicial conference, where the case is discussed and the justices vote
Proceedings are secret, allowing the justices to speak freely

9. Issuing Decisions and Opinions
Decision: indicates which party won the case
Opinion: explains the legal basis for the decision
Opinion types:
Majority opinion: a majority agree on the legal basis
Plurality opinion: a majority agree on the decision, but they disagree on the legal basis
Concurring opinion: a separate view by a justice who agrees with the majority but disagrees with at least some of the reasoning
Dissenting opinion: one or more justices on the losing side explain the reason they disagree with the majority position

10. Other Federal Courts There are 94 U.S. district courts
Lowest of the federal courts
Chief trial courts of the federal system
There are 13 U.S. courts of appeals
These courts hear appeals from the district courts
Eleven of the courts have jurisdiction over geographical “circuits”
One has jurisdiction over the District of Columbia
One has jurisdiction over patents and international trade
Courts of appeals offer the only real hope of reversal for most appellants

11. Figure 14-3 Geographic Boundaries of U.S. Courts Of Appeals
The United States has 13 courts of appeals, each of which serves a “circuit.” Eleven of these circuit courts serve anywhere from three to nine states, as the map shows. The other two are located in the District of Columbia: the Court of Appeals for the District of Columbia and the Court of Appeals for the Federal Circuit, which specializes in appeals involving patents and international trade. Within each circuit are federal trial courts, most of which are district courts. Each state has at least one district court within its boundaries. Larger states, such as California (which has four district courts, as can be seen on the map), have more than one.
Source: Administrative Office of the U.S. Courts.

12. The State Courts
Each state has its own court system and decides the structure of its courts and selection of judges
Election of judges is the most common form
In some states the governor appoints judges
Other states use the merit plan (or “Missouri Plan”)
Governor or legislature appoints judges from a list of acceptable candidates
Retention election decides whether a judge stays in office
More than 95 percent of the nation’s legal cases are decided by state or local courts

13. Principal Methods of Selecting State Judges
The states use a variety of methods for selecting judges on their highest court, including the merit system, election, and political appointment.
Source: The Council of State Governments. Reprinted with permission.

14. Federal Court Appointees
President selects nominees and the Senate confirms
Appointment of federal judges is a partisan issue
Federal judges and justices are not free of political views, and the courtroom gives them an opportunity to promote their beliefs

15. Supreme Court Nominees
Nominations allow a president to influence judicial policy for years, sometimes decades
Presidents nominate those with a similar political philosophy
George H. W. Bush replaced a very liberal justice (Marshall) with a very conservative one (Thomas)
Most nominee rejections occurred before 1900
With an open seat on the Court, a tie may result, in which case the lower court decision is upheld

16. Lower-Court Nominees
Task of identifying nominees is often delegated to the deputy attorney general
Presidents typically nominate members of their own political party
Nominees must be confirmed by the Senate
Senatorial courtesy: a tradition holding that a senator from the state with the vacancy should be consulted and can request confirmation be denied

17. Personal Backgrounds of Judicial Appointees
White males are overrepresented
Women and minority-group members have made substantial gains in recent decades
Most have been appointed by Democratic presidents
About two-thirds of Obama’s appointees are in this group
Supreme Court has also become more demographically representative
Supreme Court’s diversity of experience has diminished
Most appointees today come from the appellate courts

18. Figure 14-4 Political Parties, Presidents, and Women and Minority Judicial Appointees
Reflecting differences in their parties’ coalitions, recent Republican and Democratic presidents have quite different records in terms of the percentage of their judicial appointees who have been women or minority-group members. Note: The figures here are based on appointees of Presidents Carter, Reagan, G. H. W. Bush, Clinton, G. W. Bush, and Obama.
Sources: Various sources.

19. Table 14-1 Justices of the Supreme Court*
Year Appointed
Nominating President
Position before Appointment
Anthony Kennedy
1988
Reagan
Judge, 9th Circuit Court of Appeals
Clarence Thomas
1991
G. H. W. Bush
Judge, D.C. Circuit Court of Appeals
Ruth Bader Ginsburg
1993
Clinton
Stephen Breyer
1994
Judge, 1st Circuit Court of Appeals
John Roberts Jr.
2005
G. W. Bush
Samuel Alito Jr.
2006
Judge, 3rd Circuit Court of Appeals
Sonia Sotomayor
2009
Obama
Judge, 2nd Circuit Court of Appeals
Elena Kagan
2010
Solicitor general of the United States
* At the time of this book’s publication, there were only eight justices. The vacancy created by the death of Justice Antonin Scalia had not yet been filled.

20. The Nature of Judicial Decision Making
Although federal judges make their decisions within the context of a legal system, they are political officials
Constitute one of three coequal branches of the national government
Decisions can have both legal and political impact

21. Legal Influences on Judicial Decisions
Constraints on federal courts
Court may only rule upon cases presented to it
Facts of a case: the relevant circumstances of a legal dispute or offense
Three primary sources of the law:
U.S. Constitution
Legislative statutes
Legal precedents (stare decisis)
Law is not always a precise guide
Judicial leeway
“Making” law

22. Table 14-2 Sources of Law that Constrain the Decisions of the Federal Judiciary
U.S. Constitution: The federal courts are bound by the provisions of the U.S. Constitution. The sparseness of its wording, however, requires the Constitution to be applied in the light of present circumstances. Thus, judges are accorded some degree of discretion in their constitutional judgments. Statutory law: The federal courts are constrained by statutes and by administrative regulations derived from the provisions of statutes. Many laws, however, are somewhat vague in their provisions and often have unanticipated applications. As a result, judges have some freedom in deciding cases based on statutes. Precedent: Federal courts tend to follow precedent (or stare decisis), which is a legal principle developed through earlier court decisions. Because times change and not all cases have a clear precedent, judges have some discretion in their evaluation of the way earlier cases apply to a current case.

23. Political Influences on Judicial Decisions
Judges’ political beliefs do play a role
Often vote in line with their political attitudes
Not all issues are clear-cut
Expectations of the public, groups, and elected officials also have importance
Court cannot move too far from public opinion
Interest groups file amicus curiae briefs to make their positions known
Congressional legislation may be rewritten
Judicial appointments offer the biggest opportunity to influence the courts

24. Judicial Power and Democratic Government
Judicial review: the power to declare a law to be unconstitutional
Precedent established in Marbury v. Madison (1803)
Court’s judgment is almost always the final word
Judiciary’s power has been a source of controversy
Unelected judiciary and the principle of majority rule
Judiciary at times has acted almost legislatively
Addressing broad social issues
Making policy

25. Judicial Restraint versus Judicial Activism
Judicial restraint: judges should abide strictly by precedent and legislation
Apply the law, never create it
Judicial activism: courts should not blindly uphold the decisions of elected officials when core principles are at issue
Practiced by both liberal and conservative courts
Marbury v. Madison (1803)
Citizens United v. FEC (2010)

26. What Is the Judiciary’s Proper Role?
Philosophical debates are inevitable
Constitution does not specify the method by which judges should arrive at their decisions
Judiciary acts within a governing system based on often-conflicting concepts:
Majority rule
Minority protections
Judiciary was established as a coequal branch to protect individual rights and limit political authority

27. Critical Thinking
Define majority opinion, concurring opinion, and dissenting opinion in the context of Supreme Court decision making. What role is the majority opinion expected to play in decisions made by lower-court judges?
Contrast the doctrines of judicial restraint and judicial activism.

28. Critical Thinking (2)
Explain the influence of politics on the selection of Supreme Court justices and on the decisions the justices make. In comparison with lower-court judges, why would Supreme Court justices be expected to let their political beliefs play a greater role in their decisions? (Consider here the nature of the cases heard by the Supreme Court.)

29. Long image descriptions
Appendix A

30. Figure 14-2 The Federal Judicial System Appendix
Cases may move from the lower state courts to the state supreme courts and from there to the U.S. Supreme Court.
Cases may move from the U.S. district courts to the U.S. courts of appeals and from there to the U.S. Supreme Court.
Cases may originate in special federal courts (for example, Claims Court) and move from there to the U.S. Supreme Court.
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