Introduction to Legal Processin the United States

(1) Sources of law(2) Court system(3) Judicial process

Alan R. Palmiter – Jan. 2005

(1) Sources of law

Legislative Administrative Judicial

Federalism: federal (supreme) vs. state

(1) Sources of law

Legislative (Congress)– Constitution– Statutes– Legislative history

(1) Sources of law

Administrative (Securities & Exchange Commission)

– Regulation (rules)– Agency decisions– Opinions– No-action letters

(1) Sources of law

Judicial (federal courts)– Constitutional review– Statutory interpretation– Common law (precedent)

(2) Court systems

Federal State (North Carolina)

(2) Court systems

Federal – US Supreme Court– US Courts of Appeals– US trial courts

US District Courts Special courts

– US Claims Court– US Bankruptcy Court– US International Court of Trade– US Tax Court

(2) Court systems

Federal – US Supreme Court

Discretionary review (from federal courts of appeal and state supreme courts)

Original jurisdiction (state vs. state) Appointed for life by President (Senate confirms)

– US Courts of Appeals– US District Court

(2) Court systems

Federal – US Supreme Court– US Courts of Appeals

Appeal of right from US trial courts Review of errors (primarily legal) 11 regional circuits / DC Circuit / Federal Circuit

– US District Court

(2) Court systems

Federal – US Supreme Court– US Courts of Appeals– US District Court

Limited jurisdiction (federal questions / diversity cases) Exclusive / concurrent jurisdiction Juries for $ damages / judges for injunctions

(2) Court systems

State (North Carolina)– NC Supreme Court– NC Court of Appeals– NC trial courts

Superior court District courts Magistrate court Small claims court

(2) Court systems

State (North Carolina)– NC Supreme Court

Discretionary review (questions of law) Elected (7 justices)

– NC Court of Appeals– NC trial courts

(2) Court systems

State (North Carolina)– NC Supreme Court– NC Court of Appeals

Appeal of right from superior courts Review of errors (factual / legal) 15 elected judges (appeals heard by 3-judge panels)

– NC trial courts

(2) Court systems

State (North Carolina)– NC Supreme Court– NC Court of Appeals– NC trial courts

Superior court: felonies / civil > 10K / jury trial District courts: minor criminal / civil <10K / family law Magistrate court: traffic court / small civil <4K Small claims court: small civil <4K, pro se (no attorney)

(2) Court systems

State (North Carolina)– NC Supreme Court– NC Court of Appeals– NC trial courts

Special business court: by reference– Sits throughout state– One appointed judge– All filings in electronic form

(3) Judicial process

Pleading

Discovery

Pre-trial

Trial

Post-trial (appeals)

Filters at each stage

(3) Judicial process

Pleading Complaint (individual or class action) Answer (counterclaim / cross-claim)

Filters – Default judgment– Motion to dismiss– Rule11 sanctions

(3) Judicial process

Discovery Depositions Interrogatories Document requests Examinations (physical and mental) Admissions

Filters– Discovery sanctions

(3) Judicial process

Pre-trial– Settlement conference– Alternative dispute methods: mediation /

arbitration– Pre-trial conference

Filters– Summary judgment– Voluntary dismissal (settlement)

(3) Judicial process

TrialJury / bench trialLive, continuous: witness / exhibits Rules of evidenceLawyer arguments

Filters– Directed verdict (judgment as matter of law)

(3) Judicial process

Post-trial (appeals) Reopen case before appeal Enforcement of judgment Appeal (on record)

Filters – Judgment notwithstanding verdict (NOV)– Appeal: affirm, reversal, remand