GUIDE TO FEDERAL & STATE COURTS
This section is intended as an introduction to the
operation of the courts and how a case is litigated.
Additional explanatory material is included
in the Federal and State sections,
including state court organization charts.
Federal-State Court Systems
Three Levels of Appeal
Steps in Litigation Process
Life Cycle of Civil Case
Differences in Civil and Criminal Cases
Alternative Dispute Resolution
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Copyright © 2024 Robert S. Want. All rights reserved.
FEDERAL-STATE COURT SYSTEMS Return to Top
There are basically two sets of judicial systems in the United States. One set is that of the state and local courts established in each of the 50 states under the authority of that particular state's constitution and statutory law. The other is that of the federal courts, established by the U.S. Congress, pursuant to the authority vested in it by the Constitution. This dual, Federal-State, structure is a distinguishing feature of our American judicial system. For chart showing Basic Structure of the U.S. Court System, click here. (State court organization charts are given in the State Section.)
It should be noted that while we have a dual federal-state judicial system, it is the states that handle the bulk of the nation's legal matters. State courts are the primary forums for such major areas of litigation as contract actions, torts (e.g., personal injury/product liability suits), criminal prosecutions, divorce and custody actions, and the probate of estates. The federal courts, on the other hand, specialize in such areas as intellectual property (patent, trademark, and copyright), civil rights, environment protection, and bankruptcy.
For example, because the U.S. Constitution gives Congress sole authority to make uniform laws concerning patents and copyrights and bankruptcies, a state court would lack jurisdiction in these matters. Likewise, since the Constitution does not give the federal government authority in most family law matters, a federal court would lack jurisdiction in a divorce case.
As the chart on the inside front cover indicates, the U.S. Supreme Court is the final court of appeals for both the federal and the state courts. A state court case, however, is appropriate for appeal to the U.S. Supreme Court only when a question of federal statutory or Constitutional law is involved. If the controversy relates only to a question of state law, then the state supreme court has the final say in the matter.
The U.S. Supreme Court consists of nine justices, one of whom is designated Chief Justice. The justices are appointed for life by the President with the advice and consent of the U.S. Senate, as are all Article III judges in the federal system. Article III judges, including federal appellate and district judges, receive lifetime appointments under Article III of the U.S. Constitution. The current Chief Justice, John G. Roberts Jr., was confirmed by the U.S. Senate on September 29, 2005.
In the states, the size of the courts of last resort (they are not always called "supreme courts") generally ranges from five to nine members. The method of selecting members of the state’s court of last resort varies from state to state. One method a number of states use is that of having the governor initially appoint a member to the court and then have that person stand for a state-wide retention vote after serving a fixed number of years. For additional information on state judicial selection procedures, see National Center for State Courts (www.ncsc.org).
THREE LEVELS OF APPEAL Return to Top
The federal courts (and most state courts) are organized into three levels and may be likened to a pyramid. At the apex of the pyramid stands the U.S. Supreme Court, the highest court in the land. On the next level stand the U.S. courts of appeal, 13 in all. On the third level stand the U.S. district courts, 94 in all. The district courts are the trial courts of the federal system, that is, the point at which federal cases are initially heard and a decision rendered.
The federal system also includes special courts, such as the Tax Court and the U.S. Court of Federal Claims, where general claims against the Government are filed (more on special courts below), and administrative agencies, such as the Federal Trade Commission and the National Labor Relations Board. Appeals from decisions of the Tax Court and most administrative agencies skip the district court (trial court) level and go directly to a U.S. Court of Appeals. Appeals from the U.S. Court of Federal Claims are to the Court of Appeals for the Federal Circuit. The final level of appeal in these cases is the U.S. Supreme Court.
Unlike judges of the three-tiered federal system who are appointed for life, judges of the U.S. administrative agencies -- called administrative law judges -- are employees of the Government, more specifically the particular agency for which they work. There are over one thousand administrative law judges employed by 28 federal agencies, about twice the number of federal district judges.
Most of the nation's litigation, as indicated, occurs in the state courts. When people have grievances or problems that need a hearing, they can generally be assured that there is a state court or state administrative agency that will consider their issues. The federal judiciary, on the other hand, is empowered to hear only those cases that have been granted to it by the U.S. Constitution or by Congress. These include: (1) Questions involving U.S. Constitutional or federal law; (2) Cases in which the U.S. Government is a party; or (3) Cases in which there is a "diversity" of citizenship between the parties, i.e., the plaintiff and defendant come from different states. The idea behind the diversity requirement is the concern that there may be a bias against the out-of-state litigant. In diversity cases, the amount in controversy must exceed $75,000.
STEPS IN LITIGATION PROCESS Return to Top
The steps involved in the initial filing and hearing of lawsuits are similar in both the federal and state courts. The typical civil (as opposed to criminal) suit begins when the plaintiff files a complaint alleging a grievance of some sort. If a plaintiff in a civil suit files not only on his own behalf but also on behalf of others who have suffered a similar injury, then the lawsuit is called a class action.
Once the civil complaint has been filed, the defendant is then required to file an answer to the complaint. The complaint and answer make up the pleadings, the formal allegations of the parties regarding their respective claims and defenses. From the pleadings it is possible to determine the general nature of the dispute. The specifics will emerge later, during the discovery process. Discovery refers to the process through which the plaintiff and defendant obtain from each other, and from other parties, the evidence necessary to support their respective positions. Depositions and interrogations are the two principal forms of discovery. For definition of legal terms, see "Glossary of Legal Terms" in Supplemental Material.
If the case cannot be settled (more than 90% of all cases are, in fact, settled before trial), it will proceed to trial, a jury selected, and witnesses called to testify. The judge instructs the jury on the law to be applied to the facts of the case. In some instances, cases are decided by a judge sitting without a jury. If either party is dissatisfied with the decision of the trial court, an appeal may be filed.
The steps in a criminal action differ in major aspects from those in a civil suit. A criminal action begins with an arrest or an indictment. The next step is the arraignment, where defendants are required to enter their plea -- guilty or not guilty. Also, in many jurisdictions a plea of nolo contendere (defendant neither admits nor denies guilt) is allowed, though there are various restrictions on its use.
In order to prevail in a civil suit, the plaintiffs must prove their cases by a preponderance of the evidence (a standard of proof generally interpreted as meaning it was "more likely than not" that an event happened in a certain way). In a criminal case, the plaintiff -- which is the government at the federal or state level -- has a more stringent standard in order to prevail: to obtain a conviction, the government must prove the defendant guilty beyond a reasonable doubt. More on the differences between civil and criminal litigation below.
LIFE CYCLE OF A CIVIL CASE Return to Top
Filing of a Complaint: The complaint contains the basic allegations of wrongdoing and a claim for relief, such as monetary damages or an injunction. To initiate litigation in a court, the plaintiff must file a complaint with the court and serve the complaint on all defendants. Service of the complaint may be accomplished by certified mail or by a process server who will personally serve the defendants.
Answering the Complaint: Following the filing and service of a complaint, the defendants typically must file a response. The time allowed to file this response is determined by the forum, generally 30 days. The plaintiff's complaint and the defendant's answer constitute the pleadings in the case.
Discovery Stage: After the response is filed, the parties often proceed to what is known as the discovery process. In this process, both parties are permitted to obtain information from each other and third parties for the purpose of evaluating the arguments and facts that will be relied upon by each side at trial. The most common methods of discovery are:
- Interrogatories: Written questions that a party must answer in writing;
- Requests for Admissions: A written statement prepared by a lawyer for one side that the other side is required to either admit or deny;
- Requests for Production of Documents: a written request for specifically identified documents; and
- Depositions: a question and answer session in which a lawyer asks an individual a series of questions. The person being deposed must first pledge to tell the truth and then answer questions in the presence of a court reporter who will transcribe the session.
Motion Stage: During the proceedings, a party may make various motions to the court, including asking the court to issue judgment in its favor by filing a motion for summary judgment. In such a motion, which is usually filed after there has been some discovery in the case, the moving party is attempting to convince the court that no issues of material fact exist to support the other side's case. If the court grants summary judgment, the case is over, unless the losing party files an appeal. If the court does not grant summary judgment, the case continues.
Settlement/Mediation: At some point after the parties have obtained information about each other's case, but prior to trial, settlement discussions may occur. Settlement negotiations may take place through a series of discussions between lawyers, or through a more formal settlement process called mediation (see below for additional discussion of Alternative Dispute Resolution).
Trial: If the case cannot be resolved by the parties and the court does not decide the outcome by granting a motion, a trial will commence. Various courts have different procedures for trial. In some courts cases are often tried to juries who decide the question of liability and damages. In others, a single judge will decide the question of liability and damages.
Appeal: After the judge or jury reaches a decision, the non-prevailing party may be entitled to appeal an adverse decision to the court of appeals.
DIFFERENCES IN CIVIL AND CRIMINAL CASES Return to Top
The above example dealt with a civil action rather than a criminal one. Two key differences between civil and criminal cases have already been mentioned: a criminal case begins not with the filing of a complaint but with an arrest or indictment, and it must be proven beyond a reasonable doubt, while civil suits require only a preponderance of the evidence, a lesser standard of proof.
Civil law deals with disputes between individuals or organizations in which compensation (damages) is awarded to the victim or an injunction issued. Criminal law deals with crimes and legal punishment for these crimes. Civil suits are filed by private parties, the plaintiff bringing the action against the defendant. Criminal actions are brought by the Government (federal, state or local), which acts as prosecutor in the case against the defendant. Examples of civil cases are landlord-tenant disputes, child custody proceedings, breach of contract, and torts (e.g., personal injury claims). Criminal actions involve such matters as assault, robbery, trafficking in controlled substances, manslaughter, and murder.
A civil case may be tried before a judge or a judge and jury. If the latter, the jury verdict need not be unanimous (laws vary by state). In a criminal case the defendant has a Constitutional right to trial by jury and the verdict must be unanimous before the defendant can be convicted.
The defendant in a civil action can be found by the court to be liable or not liable, and either party (plaintiff or defendant) may appeal the court’s decision. The defendant in a criminal action is convicted if found guilty by the jury and acquitted if found not guilty. Only the defendant may appeal the court’s verdict; the prosecution is not allowed to appeal.
The different standards of proof in civil and criminal law were brought into sharp focus by the O.J. Simpson trials that transfixed the nation in the mid-1990s. (Simpson died in April 2024 at age 76.) In the criminal trial, he was acquitted in the prosecution against him for murder. But a few years later, he was found liable for the deaths of his ex-wife and her friend in a civil wrongful-death action, where monetary damages were awarded to the victims’ families. So is O.J. Simpson a murderer? In a criminal sense, no. The jury in the criminal prosecution was unable to find beyond a reasonable doubt that he committed first-degree murder, while a civil jury found it more likely than not that he caused the deaths. Thus, he was held not to be a murderer under criminal law but was found liable for wrongful death under civil law, where monetary damages were at stake, not time in prison.
ALTERNATIVE DISPUTE RESOLUTION Return to Top
The above material deals with courts and the litigation process. Alternative Dispute Resolution (ADR) refers to a broad range of mechanisms (see ADR definitions below) designed to assist individuals and companies in resolving disputes without having to resort to court litigation, the intention being to avoid the high costs and long delays often associated with the litigation process.
Court-related arbitration and mediation programs have proliferated in recent years in both federal and state courts. Added impetus has come from the Civil Justice Reform Act of 1990, which directed federal courts to consider litigation management and ADR techniques. Currently, a number of federal courts and nearly every state court have voluntary or mandatory ADR programs.
An excellent source of information on ADR and the various organizations involved in dispute resolution is the American Bar Assoc. Section on Dispute Resolution.
ADR Definitions:
Listed below are some of the most common forms of dispute resolution, moving from the least to the most formal; terminology and procedures vary from jurisdiction to jurisdiction:
Negotiation. Negotiation is a voluntary, usually informal and unstructured process used by the parties to a dispute to reach a mutually acceptable agreement. The resolution is by the disputants themselves; there are generally no third parties involved, as in mediation and arbitration. Though not always feasible, negotiation is generally the quickest and least expensive -- and least confrontational -- method of dispute settlement.
Mediation. Mediation involves an attempt by the parties to resolve their dispute with the aid of a neutral third party. The mediator's role is advisory. The mediator may offer suggestions, but resolution of the dispute rests with the parties themselves. Mediation proceedings are confidential and private. In some jurisdictions (e.g., child custody disputes in California) parties are required to attempt mediation before they can go to court.
Arbitration. Arbitration is the submission of a dispute to one or more impartial persons for a final and binding decision. As such, arbitration differs from mediation in which the neutral third party brings the parties together or acts as an advisor. Another form of this procedure is nonbinding arbitration, which some jurisdictions require before filing a case in court. In arbitration, each party has the opportunity to present proofs and arguments at the arbitration hearing. The hearing is generally a considerably less formal procedure than in court litigation.
Mini-trial. The mini-trial is a confidential, nonbinding exchange of information by the parties to a dispute before a third party, who generally has settlement authority. The goal of the mini-trial is to encourage prompt, cost-effective resolution of more complex litigation. The mini-trial seeks to narrow the areas of controversy, dispose of collateral issues, and encourage a fair and equitable settlement. A variant of the mini-trial is small claims court, where the amount in question is generally limited to the $500 - $1000 range.
Summary Jury Trial. This is the jury equivalent of a mini-trial. It takes place in a courtroom with a presiding judge, or more commonly, a magistrate and a mock six-member jury impaneled by the court from the regular list. Each party is generally represented by counsel who makes presentations limited to evidence admissible at trial. The jury issues an advisory verdict, which gives the parties a basis on which to structure a settlement.
Litigation. This involves taking your case to court, a basic right of every American under the U.S. Constitution. In litigation, the parties give up control of their dispute to attorneys who seek, in the confrontational atmosphere of the courtroom, to present their client's position in the most favorable light. Litigation may be the way to go for some disputes, but it is wise to explore other options first. And even if litigation is the chosen course of action, the vast majority of cases are settled before (or during) trial.
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