The Courts CHAPTER. Criminal Justice: A Brief Introduction, 7E by Frank Schmalleger

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1 CHAPTER 7 The Courts 1

2 America s Dual Court System The United States has courts on both the federal and state levels. This dual system reflects the state s need to retain judicial autonomy separate from the federal government. Most criminal cases originate within state courts. 2

3 Federal Court System 3

4 A Typical State Court System 4

5 Jurisdiction The jurisdiction of a court refers to those cases in which it may exercise lawful authority. Determined by statute or constitution 5

6 The State Court System 6

7 The Development of State Courts By 1776, each American colony had its own court system, though trained lawyers were lacking. After the American Revolution, these courts provided the basis for a system of states courts. 7

8 Early Court Systems Structure of colonial courts were not uniform. Initially, most states made no distinction between original and appellate jurisdiction. (Many did not allow for appeals.) 8

9 Original vs. Appellate Jurisdiction Original Jurisdiction the lawful authority of a court to hear or to act on a case from its beginning and to pass judgment on the law and the facts. may be over a specific geographic area or over particular types of cases. Appellate Jurisdiction the lawful authority of a court to review a decision made by a lower court. 9

10 State Court Systems Today Many differences among state courts. Most use the three-tiered structure. - Trial courts of limited jurisdiction - Trial courts of general jurisdiction - Appellate courts The court reform movement continues today, seeking to simplify and unify court structures. 10

11 State Trial Courts Where criminal cases begin. Bail hearings Arraignments Enters pleas Conducts trials Sentences Two types of trial courts: Courts of limited, or special, jurisdiction (lower courts) Courts of general jurisdiction 11

12 State Trial Courts: Courts of Limited Jurisdiction Trial courts of limited jurisdiction are also called lower courts. They are authorized to hear: Misdemeanors Family disputes Traffic violations Small claims 12

13 State Trial Courts: Courts of Limited Jurisdiction Lower courts: Rarely hold jury trials Do not maintain detailed records of proceedings (just charge, plea, finding, and sentence) Less formal than higher courts 13

14 State Trial Courts: Courts of General Jurisdiction Also called: high courts, circuit courts, or superior courts Formal courts that make full use of juries, witnesses, prosecutors, defense attorneys, and other actors Authorized to hear: Any criminal case Lower court appeals Trial de novo 14

15 Adversarial Process Trial courts of general jurisdiction operate under the adversarial process. Pits the interests of the state, represented by prosecutors, against the accused, represented by defense counsel, in a process constrained by procedural rules specified in law and by tradition. 15

16 State Appellate Courts Most state appellate systems consist of intermediate and high level appellate courts. All states have supreme courts. 39 states have intermediate level appellate courts. 16

17 Appeals Appeals are requests by a defendant to a higher court asking it to review the actions of a lower court. Some cases (involving death penalty or life sentences) are automatically appealed. 17

18 Appeals: The Process Appellate court reviews transcripts from lower trial courts and may allow for lawyers from both sides to make oral arguments. 18

19 Appeals: The Results Most convictions are confirmed. Some decisions are reversed and cases remanded. Recourse may be to a state supreme court. Generally, the state supreme court is the court of last resort. 19

20 Appeals: Moving to the Federal System Cases can be appealed to the U.S. Supreme Court if they are based on a claimed violation of the defendant s rights as guaranteed under federal law or the U. S. Constitution. State defendants access to federal courts are limited by the Keeney and Herrera decisions. 20

21 Keeney v. Tamayo- Reyes (1993) A respondent is entitled to a federal evidentiary hearing [only] if he can show cause for his failure to develop the facts in the state court proceedings and actual prejudice from that failure... It is hardly a good use of scarce judicial resources to duplicate fact-finding in federal court merely because petitioner has negligently failed to take advantage of opportunities in state court proceedings. 21

22 Herrera v. Collins (1993) Evidence of innocence is no reason for a federal court to order a new trial if constitutional grounds are lacking. Where a defendant has been afforded a fair trial and convicted of the offense for which he was charged, the constitutional presumption of innocence disappears. 22

23 State Court Administration State court administrators manage the operational functions of the court. 23

24 State Court Administrator s Duties ü Prepare, present, oversee court system s budget ü Analyze case flow and determine allocation of personnel and how to streamline cases ü Gather and present statistics ü Serve as liaison between legislators and court ü Develop and coordinate funding requests ü Manage court personnel (promotions, benefits) ü Coordinate plans to train judges and other personnel ü Assign judges to judicial districts ü Review payments to counsel for indigent defendants 24

25 Dispute Resolution Centers Offer a way to resolve disputes without a formal hearing Over 200 programs nationwide Frequently staffed by volunteers May or may not be run by the courts Central feature of restorative justice 25

26 Community Courts Low-level official courts that focus on quality-of-life crimes that erode neighborhood morale Emphasize problem solving rather than punishment Build on restorative principles such as community service and restitution 26

27 The Federal Court System 27

28 The Federal Court System Established by the U.S. Constitution Article III, Section 1 One Supreme Court, and such inferior courts as the Congress may from time to time ordain and establish. 28

29 Jurisdiction of Federal Courts Article III, Section 2 Federal courts are to have jurisdiction over cases arising under the Constitution, federal law, and treaties. Federal courts are to settle disputes between states and to have jurisdiction in cases where one of the parties is a state. 29

30 Structure of Federal Court System Three Levels of Courts U.S. Supreme Court U.S. Courts of Appeals U.S. District Courts 30

31 U.S. District Courts There are 94 judicial districts. At least one district court per state District courts in Puerto Rico, the District of Columbia, and other U.S. Territories 31

32 U.S. District Courts the trial courts of the federal system original jurisdiction over all cases involving alleged violations of federal statutes. Hears felony trials. 32

33 District Court Judges There are 650 district court judges. Appointed by the President and confirmed by the Senate Serve for life Assisted by magistrate judges, who: Conduct arraignments Set bail Issue warrants Try minor offenders 33

34 U.S. Courts of Appeal: Circuit Courts There are 12 U.S. Courts of Appeals, also called Circuit Courts. Review cases from lower-level federal courts Each court has at least six judges, one of whom is chief justice. These courts have mandatory jurisdiction over district court decisions. 34

35 U.S. Circuit Courts of Appeal 35

36 Right to Appeal The Constitution guarantees a right to appeal. A defendant s right to appeal, however, has been interpreted to mean the right to one appeal. Therefore, the U.S. Supreme Court does not hear every appeal by defendants dissatisfied with the decision of a federal appeals court. 36

37 U.S. Supreme Court 37

38 U.S. Supreme Court The U.S. Supreme Court consists of nine justices: Eight Associate Justices One Chief Justice Justices are nominated by the President, confirmed by the Senate, and serve for life. 38

39 Justices of the U.S. Supreme Court (As of January 2007) JUSTICE ENTERED DUTY VIEWS Chief Justice John G. Roberts, Jr. September 2005 Conservative John Paul Stevens December 1975 Moderate to liberal Antonin Scalia September 1986 Very conservative Anthony Kennedy February 1988 Conservative David H. Souter October 1990 Conservative Clarence Thomas October 1991 Conservative Ruth Bader Ginsburg August 1993 Moderate to liberal Stephen G. Breyer August 1994 Moderate Samuel A. Alito, Jr. January 2006 Conservative 39

40 Judicial Review the power of a court to review actions and decisions made by other agencies of government. It is probably the U.S. Supreme Court s greatest power. 40

41 Marbury v. Madison (1803) Formally established Court s power of judicial review. The U.S. Supreme Court established the Court s authority as final interpreter of the U.S. Constitution by declaring, It is emphatically the province of the judicial department to say what the law is. 41

42 Jurisdiction of the U.S. Supreme Court Original jurisdiction Limited Reserved for disputes between states and some cases of attorney disbarment Appellate jurisdiction Reviews the decisions from U.S. Courts of Appeals and state supreme courts 42

43 U.S. Supreme Court: Appeals Of 5,000 annual requests for review, only about 200 are heard. Four justices must vote in favor of a hearing for a case to be heard. Usually the Court only reviews cases that involve a substantial federal question. The Court issues a writ of certiorari to a lower court. 43

44 Writ of Certiorari a writ issued from an appellate court for the purpose of obtaining from a lower court the record of its proceedings in a particular case. 44

45 Opinions of the Court Supreme Court decisions are rarely unanimous. Types of opinions: Majority Justices agree in outcome and reasoning. This is the opinion of the court. Concurring Agree with outcome, but for different reasons. Dissenting Disagree with outcome. 45

46 Pretrial Activities 46

47 Pretrial Activities Several activities take place before a trial can begin: First appearance Pretrial release and bail The grand jury The preliminary hearing Arraignment and plea 47

48 First Appearance Defendants are brought before a judge and: Formally notified of the charges Advised of their rights Given the opportunity to retain a lawyer or have one appointed to represent them May be afforded the opportunity for bail 48

49 First Appearance must be held without unnecessary delay. Based on McNabb v. U.S. (1943), the standard is 48 hours. may include a probable cause hearing, if arrests were made without a warrant. some states waive the first appearance for arrests made based on arrest warrants. 49

50 Pretrial Release Most defendants are given the opportunity for pretrial release. Pretrial release decisions consider risk of flight or nonappearance in court and risk to public safety. Decisions focus on: Seriousness of pending charges Prior record Information about the defendant Available supervisory options if released 50

51 Pretrial Release The most common pretrial release mechanism is bail, the posting of a bond as a pledge that the accused will return for court proceedings. Bail serves two purposes: 1. Helps ensure reappearance of the accused in court 2. Prevents unconvicted persons from suffering imprisonment unnecessarily 51

52 Alternatives to Bail Release on Recognizance (ROR) Property Bond Deposit Bail Conditional Release Defendant provides written promise to appear in court. No cash or property bond required. Bail set in the form of tangible property, to become property of the court if the defendant absconds. The court acts as bond agent. Defendant posts percentage of full amount, including an administrative fee. Entire amount forfeited if absconds. Defendant must abide by a set of imposed requirements. Third-Party Custody Unsecured Bond Signature Bond Defendant assigned to an individual or agency that promises to ensure future court appearances. Court determines bail amount, but allows defendant to be released on credit. Entire amount forfeited if absconds. Written promise to appear. Used in minor offenses by arresting officer without assessment of dangerousness/ likelihood of appearance. 52

53 State and Federal Defendants Released Before Trial 53

54 Pretrial Release and Public Safety Most defendants are granted pretrial release. A growing movement seeks to reduce the number of defendants granted pretrial release. Some states enacted danger laws, which limit the right to bail to certain kinds of offenders. (1984 Federal Bail Reform Act) 54

55 Grand Juries Used by the federal government and about half of the states, grand juries: Are made of private citizens (usually 23). Hear evidence only from prosecutors. Are held in secret, and generally the defendant is not there. Serve as filters to eliminate cases without sufficient evidence. Move a case forward if the majority of grand jurors on an indictment. 55

56 Preliminary Hearing States that do not use grand juries rely on preliminary hearings: They give the defendant an opportunity to challenge the legal basis of his detention. A lower court judge summarizes the charges and reviews the rights of criminal defendants. Competency to stand trial may be determined. They have many of the same characteristics as a trial. 56

57 Arraignment Arraignment is the first appearance before the court with authority to try the case. Two purposes: Inform suspect of specific charges Allow defendant to enter a plea Types of pleas: Guilty Not guilty Nolo contendere 57

58 Plea Bargaining the process of negotiating an agreement among the defendant, the prosecutor, and the court as to an appropriate plea and associated sentence in a given case. Plea bargaining circumvents the trial process and dramatically reduces the time required for the resolution of a criminal case. 58

59 Plea Bargaining Negotiated pleas are guilty pleas and result in conviction. Some surveys have found that 90% of all criminal cases prepared for trial are eventually resolved through a negotiated plea. After a guilty plea has been entered, it may be withdrawn with the consent of the court. 59