Introduction to U.S. Legal System

Toni M. FineFordham Law School

New York Citytfine@law.fordham.edu

Course Overview

Course Overview

• Synthesis of the U.S. Legal System

• Overview of the U.S. Constitution

• How to Read a U.S. Judicial Opinion

• Federal Government: • Shared Powers = Federalism.• Overlapping Authority = Separation of Powers and Checks and Balances.

• U.S. Judicial Systems:• Federal Judiciary.• State Judiciaries.

• Sources of Law• Especially Precedent and Stare Decisis.

Synthesis of the U.S. Legal System

Synthesis of the U.S. Legal System

• The Constitution• Historical antecedents.• Essential attributes.

• The Judicial Systems

• The Importance of Case Law

• Civil Litigation in the U.S.

U.S. Constitution

Structural Overview

• Preamble:• Themes.

• 7 Articles:• Structure, organization, and powers of

national/federal government.• Relationship between federal government and states.• Amendments.• Ratification.

• 27 Amendments: • Structural changes.• Individual rights and freedoms.

History

• American Revolution.

• Articles of Confederation: “League of Friendship.”

• Need for National Government:• Military protection.• National commerce.

• Meeting to Amend Articles became Constitutional Convention.

Historical Underpinnings

• Fear of large, distant, national government.

• States had all power and were being asked to give some up.

Preamble

• “We the People…”

• “In order to ….”

• “United States of America.”

Amendments

• Refine governmental structure.

• Personal rights and liberties:• Bill of Rights (I - X).• Reconstruction Amendments (XIII – XV).• Additional Amendments.

• The Doctrine of Incorporation• McDonald v. City of Chicago

Articles: What They Do

• Separation of Powers and Checks and Balances.

• Federalism – the Sharing pf Powers between State and Federal Governments.

• Amending the Constitution.

• Ratifying the Constitution.

Articles: Overview

• Article I: Legislative Branch• NB Section 8 = limits on powers of Congress.

• Article II: Executive Branch

• Article III: Judicial Branch

• Article IV: Full Faith and Credit

• Article V: Amendment Process

• Article VI: Supremacy

• Article VII: Ratification

Articles: Divisions of Government Authority

• Federalism:• Division of power between federal government

and states/people.• “Vertical” separation of powers.

• Separation of Powers:• Division of power among branches of federal

government.• “Horizontal” separation of powers.

Articles: Federal/National

Government• Separation of Powers: Each branch

has its own delegated functions:• Article I -- Federal Legislative Branch”• Makes federal law.• Limited to powers enumerated in Article I section

8.

• Article II -- Federal Executive:• Administers/enforces federal law.

• Article III -- Federal Judicial Branch:• “Says what the law is.”

Articles: Federal/National

Government• Checks and Balances:• Each branch exercises authority over other

branches to prevent abuse or the accumulation of too much power in one branch.

• Overlapping authority to avoid tyranny/abuse of powers.

Articles: Federal-State Power

• Federalism• Division of power between federal government

and states/people.• “Vertical” separation of powers.• Federal government as a government of

limited powers.• Powers are limited to those that are

“enumerated” in Constitution:• Especially Article I section 8.

Articles: Federal-State Power

• Article I section 8 – “Congress shall have the power to…”• See list in Constitution, especially….• “[R]egulate commerce … among the several

states….” = interstate commerce clause.• “[M]ake all laws … necessary and proper … for

carrying into Execution the foregoing Powers....” = elastic clause.

Federalism: Interstate Commerce Clause

• Limits on the Powers of Congress:• United States v. Morrison• Gonzalez v. Raich• “Obamacare”• And the necessary and Proper clause:• United States v. Comstock

• Dormant Commerce Clause and Limits on the Powers of the States:• Granholm v. Heald

Federalism: Traditional Areas of State Authority

• Criminal law.

• Tort law.

• Contract law .

• Corporate law.

• Real property law.

• Family law.

• Trust and estate law.

Federalism: Federal/State Conflicts

• When Federal and State Law Conflict, which Prevails?

• Supremacy Clause, Article VI clause 2:• Federal law shall be “the supreme law of the

land.”• Inconsistent state law fails.

Federalism:Federal/State Conflicts

• Federal Law may Preempt (preclude, displace) State Law

• Types of Preemption• Express.• Implied:• Field preemption:• Pervasive federal framework.• Dominant federal interest.

• Conflict preemption:• Impossibility preemption.• Obstacle preemption.

• Arizona v. United States

Reading a U.S. Judicial Opinion

Reading a U.S. Judicial Opinion

• Preliminary Information:• Parties:• Names.• Litigation position.

• Court:• Jurisdiction.• Level in hierarchy.

• Date: • Year of decision.

Reading a U.S. Judicial Opinion

• Facts:• The underlying story.• Who did what to whom?• All “legally relevant” facts.

• Procedural History/Posture:• How did the case get to court?• What happened since the lawsuit began?• How did the case get to the court hearing it

now?

Reading a U.S. Judicial Opinion

• Issue(s):• Legal question(s) addressed by the court.

• Holding:• Court’s answer to the legal issue(s) presented.• Could be “yes” or “no” and, in appellate cases,

”affirmed” or “reversed.”

Reading a U.S. Judicial Opinion

• Rationale:• The court’s explanation/reasoning for

reaching the decision that it did.• May include text, precedent, policy,

fairness, etc.

• Other Opinions:• Concurring = agrees with majority but for

additional or different reason• Dissenting = disagrees with majority.

U.S. Judicial Systems

Several Independent Judicial Systems

• Product of Federalism

• Federal Judiciary.

• 50 State Judiciaries.

Structure of Federal Judiciary

• Federal Judiciary Organized By:• Hierarchy:• Three-tiered.

• Geography:• Courts in districts and circuits around nation.

Hierarchical Structure of Federal Judiciary

• One Supreme Court.• Congress given power to establish “inferior”

federal courts.• District Courts = courts of first instance.

• Courts of appeals:• (Mostly) geographically-based intermediate

appellate courts.

• Hear appeals from district court cases.

Geographical Structure of Federal Judiciary

• Nation divided into federal judicial districts and circuits.

• 94 judicial districts:• Each state has one, two, three, or four judicial

districts.• Each judicial district has one district court.

• 12 regional circuits:• Each circuit contains one court of appeals and all

the district courts within that geographic area.• Circuits critical to operation of stare decisis rules.

• One Supreme Court:• Nationwide jurisdiction.

Federal Judiciary: Hierarchical Organization

Federal Judiciary: Geographic Distribution

Features of Federal Judiciary

• Decentralized system with bottom-up management.

• Decentralized power of judicial review.• Courts of general jurisdiction.• Limited subject-matter jurisdiction.• Complete independence from political

branches.

Proceeding Through the Federal Judiciary

• District Court = Trial Court:• Court of first instance in most cases• Players:• Jury – finders of fact.• Judge – rulings on law..• Attorneys – adversarial system

• Presentation of evidence

Proceeding Through theFederal Judiciary

• Court of Appeals:• First level federal appellate court.• Appeal to court of appeals in circuit of district

court.• Appeal of right.• Legal issues only.• Three judge panel.• Briefs and oral argument.

Proceeding Through the Federal Judiciary

• The Supreme Court:• Jurisdiction:• Small original jurisdiction.• Small mandatory appellate jurisdiction.• Most jurisdiction discretionary via writ of certiorari.

• Seeking the writ.• Nine justices, sitting en banc.• Legal issues only.• Briefs and oral argument.

Federal Judiciary: Jurisdiction

• Courts of General Jurisdiction:• Most not specialized courts.

• Courts of Limited Jurisdiction:• Justiciability – “case or controversy”

requirement.• Subject Matter Jurisdiction -- Authority to

decide only certain types of cases (see below).

Federal Judiciary: Judicial Independence

• Institutional Mechanisms to Promote Judicial Independence:• Life term -- tenure “during good Behaviour.”• No diminution of judicial salaries.• The (implied) power of judicial review.

Federal Judiciary: Selection of Judges

• Appointment of Federal Court Judges:• Nomination by President.• Confirmation by Senate (“advice and

consent”).• Increasingly politicized in recent years.

A Note about State Judicial Systems

• Each state has independent court system.• Own rules of procedure and evidence, court

structure, judicial selection.

• Most structured like federal judiciary

• More specialized courts.

• Judges are appointed or elected.

• High state court is the ultimate arbiter of state law.

State and Federal: Dual/Parallel Judicial Systems

• Federal and each state judicial systems operate independently.

• Litigants go through one system or the other.

• Limited direct supervision of state systems by federal courts:• E.g., certiorari review from state court of last resort

when case decided on basis of federal question.

Selecting a Court: Overview

• Three main issues:• Subject matter jurisdiction.• Venue.• Personal jurisdiction.

• Related issue:• Choice of law.

Selecting a Court: Subject Matter

Jurisdiction• Does the case go to state or federal court?

• Federalism: Federal courts as courts of limited authority.

• Jurisdictional possibilities:• Exclusive federal court jurisdiction.• Exclusive state court jurisdiction.• Overlapping/concurrent jurisdiction.

Selecting a Court: Subject Matter

Jurisdiction• Federal Question Jurisdiction• Cases “arising under” a federal statutory or

constitutional question.

• Diversity Jurisdiction• Parties of different states; and• At least $75,000 in controversy.

• U.S. a Party

• Variants:• Removal jurisdiction.• Supplemental jurisdiction.

Selecting a Court: Venue

• Venue = Place.

• Geographic distribution of cases within a particular jurisdiction.

• Often where cause of action arose.

• Federal statutes often contain venue provisions.

Selecting a Court:Personal Jurisdiction

• Whether court can compel presence of out-of-state defendant(s) in that court.

• Two-step test:• State long arm statute; and• Due process: “Minimal purposeful contacts

with forum state so as not to offend fundamental notions of fair play and justice.”

Choice of Law

• Regardless of Court, What Law Applies?

• Two Choice of Law Questions (Erie):• Procedural Law.• Substantive Law:• Federal law – which? Rules of stare decisis• State law – which?• Most interest in or connection to the litigation.

The Power of Judicial Review

• Marbury v. Madison

Sources of U.S. Law

Sources of U.S. Law: Overview

• Primary versus Secondary Sources.

• Mandatory versus Persuasive Authorities.

• Priority of Sources of Law.

• Precedent and Stare Decisis.

Primary vs. Secondary Authorities

• Primary:• Positive sources of law – create rights and

obligations.• Federal and state.• Examples: Constitutions, statutes, administrative

rules and regulations, case law.• May be binding.

• Secondary:• Not positive sources of law – do not create rights or

obligations.• Describe, summarize, criticize, seek changes to law.• Examples: legal encyclopedias, law review articles,

restatements, uniform and model laws.• Never binding.

Priority: Primary Sources

• Supremacy – All Valid Federal Law is Supreme to any State Law.

• Within Sovereignties:• Constitution.• Legislation.• Executive issuances.• Case law.

Priority: Secondary Sources

• Some secondary sources are better than others.

• Restatements, treatises, law reviews are good secondary sources of law.

• Wikipedia, etc. are not good sources of law.

Binding vs. Persuasive

• Issue: How should courts treat specific sources of law?

• Binding/Mandatory/Controlling• Must be followed by court.• Hierarchy important.• Examples: Applicable constitutions, statutes,

administration regulations.• Case law may be but is not necessarily binding

– depends on rules of stare decisis.• Secondary sources are never binding.

Binding vs. Persuasive

• Persuasive• Legal authorities that a court is not compelled to

apply but should consider and may apply in the absence of binding/mandatory authority.

• Include secondary sources and non-binding primary sources.

• Hart v. Massanari

Precedent and Stare Decisis

• Precedent = Earlier Decided Cases.

• Stare decisis:• “Let it stand”• The tendency of courts in the U.S. to follow rules of

law announced in earlier decided cases.• Stare decisis reflects “the principle that carefully

considered constitutional interpretations … should not be revisited absent circumstances more compelling than a change in the identity of the individuals who authored the interpretations in question.” Professor Lawrence Tribe.

Precedent and Stare Decisis

• Rationale for Stare Decisis:• Historical dearth of legislation:• Courts looked to other decisions as a way of

developing fair and consistent rules.• Far more legislation today but:• Legislation vague, often with gaps and

ambiguities.• Courts do not use broad rules for statutory

construction to resolve gaps and ambiguities. • Instead look to common law – decisions of other

judges whose collective wisdom would inform a fair and equitable result.

Precedent and Stare Decisis

• Rationale for Stare Decisis:• Fairness, predictability, and integrity of the

judicial system.• Efficiency for the parties and the judicial

system.• Well-reasoned judicial decision-making.

• Factors in Application of Stare Decisis:• Legal issue.• Court – both jurisdiction and hierarchy.• Facts.• Holding versus dictum.

Precedent and Stare Deisis

• Holding versus Dictum• Holding = court’s resolution to the legal

issue presented; may include court’s stated rationale.

• Dictum:• Court statements that are beyond the scope of the

facts and issues squarely presented to the court.• Not always easy to identify. The lawyers’ role in

drawing the line between holding/rationale/dictum• Not desirable in adversary system.• Use/impact in future cases may be disputed.

Precedent and Stare Decisis

• Stare Decisis in Operation – A Summary of Principles.• Supreme Court precedent binding on all

state and federal courts.• Court of appeals precedent binds the

circuit.• District court case binds only the parties.

Precedent and Stare Decisis

• What about State Law?• State court of last resort is the ultimate

arbiter of state law.• State policies re stare decisis will vary.• Courts interpreting law of a state must

“stand in the shoes” of the state court of last resort to determine what state law is and how it should be applied in specific cases.

Precedent and State Decisis

• Power of U.S. courts to change law over time through individual case decisions.

• Tendency to follow precedent does not bar courts from modifying earlier decided cases or distinguishing earlier cases on their facts.

U.S. Civil Litigation

Overview

• General Matters

• Phases of U.S. Civil Litigation

General Matters

• The Players:• Parties/Attorneys.• Judge.• Jury.

• Lawyer Client Relationship:• Fee structure/costs.• Methods of dispute resolution.• Client confidentiality.

• Use of Settlement and Alternatives to Traditional Dispute Resolution Mechanisms.

Phases of U.S. Civil Litigation

• Complaint

• Answer or Motion to Dismiss

• Pre-Trial Conferences

• Discovery:• Scope and nature.• Methods of discovery:• Interrogatories.• Requests for production.• Depositions.• Requests for admission.• Physical or mental evaluation.

• Privileges

Phases of U.S. Civil Litigation

• Summary Judgment Motions

• Other Pre-Trial Motions

• Jury Selection

• Trial

• Jury Charge

• Jury Deliberations and Verdict

• Post-Trial Motions

• Entry of Judgment

Phases of U.S. Civil Litigation

• Appeal:• Selecting the court.• Limited to legal issues.• Standard of review.• How presented.• Finality.• Stay pending appeal.

Gracias!

Toni M. Fine

Fordham Law School New York City

tfine@law.fordham.edu