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Chapter 3
The Judicial Process

3-1
Learning Objectives
1. Explain the fundamental nature of American
courts
2. Determine when a case can be brought in
federa...
Learning Objectives
6.
7.
8.
9.

List the most common discovery techniques
Detail the nature of an appeal
Determine the ex...
The Court System
• Courts
– judicial tribunals that meet in a regular place and
apply the law in an attempt to settle disp...
The Federal Court System
• Consists of:
– Supreme Court
– Courts of appeal
– Federal district courts
• Authorized by Artic...
Court Jurisdiction
• Jurisdiction - Authority of a court to hear and
decide cases
– Original/Appellate
– General/Special
–...
Court Jurisdiction
• Original Jurisdiction
– Court has the authority to hear a case when it is first
brought to court

• A...
Court Jurisdiction
• General Jurisdiction
– The power to hear any type of case

• Special Jurisdiction
– The power to hear...
Court Jurisdiction
• Subject Matter Jurisdiction
– Power to hear a particular type of case

• Personal Jurisdiction
– Auth...
3-10
Court Jurisdiction
• Federal district courts have subject matter
jurisdiction over cases that pertain to a federal
questio...
Diversity
Diversity cases include lawsuits that are:
(1) between citizens of different states
(2) between citizens of a st...
Diversity
• Must involve an amount over $75,000
• An individual can only sue a foreign state if that state
supports terror...
U.S. Court of Appeals
• The judges at the appellate level must be guided
by the standard of review that is appropriate to
...
Standards of Review
• Plenary (de novo) – full review
• Clearly Erroneous – given the facts and evidence,
decision was wro...
The U.S. Supreme Court
• Supreme Court
– composed of a chief justice and eight associate
justices
– the court of final jur...
The U.S. Supreme Court
• Writ of certiorari
– an order from the Supreme Court to a lower court to
deliver its records to t...
State Court Systems
• The state trial courts
– also known as general jurisdiction courts
– have the power to hear any type...
Figure 3-2 – Federal and State Courts Systems

Federal and State Courts Systems

3-19
Civil Procedure
• Civil litigation
– Individual/organization/corporation
vs.
Individual/organization/corporation
– Bringin...
Civil Procedure
• Plaintiff
– person who begins the lawsuit by filing a complaint in
the appropriate trial court of genera...
Civil Procedure
1.
2.
3.
4.
5.
6.
7.
8.

Commencement of the Action
Service of Process
Pre-Answer Stage
Answer
Pretrial St...
Commencement of the Action
• The complaint - sets forth:
– The names of the parties to the lawsuit, identifying
them as pl...
Civil Procedure
• A class action
– One (or a small number) of the potential plaintiffs file
a lawsuit on behalf of all mem...
Civil Procedure
The courts will permit a class action lawsuit
provided that
(1) it is not feasible for the members of the ...
Civil Procedure
• Forum shopping
– occurs when a plaintiff searches for a jurisdiction with
law that is favorable to its c...
Service of Process
• Service of process
– giving the summons and the complaint to the
defendant

• The summons
– names the...
Pre-Answer Stage
• Pre-answer stage
– The time between service and the answer
– Defendant takes time to examine nature of ...
Answer
• Answer
– The defendant’s official response to the complaint

• Can include:
– Affirmative defense
– Counter-claim...
Answer (cont.)
• Affirmative defense
– Defendant shouldn’t be held liable even if the plaintiff proves
all the facts in th...
The Pretrial Stage
• While awaiting trial, several activities can
be carried out, including:
– Pretrial Conference
– Pretr...
Pretrial Stage
A pretrial conference – meeting of the parties to a
case prior to the trial. Usually has two
purposes:
1. T...
Pretrial Stage
• Pretrial Motions
– Summary judgment motion - a motion that asks the
court for an immediate judgment for t...
Pretrial Stage
• Discovery
– Searching for information relevant to the case

•
•
•
•
•

Depositions – oral statements
Inte...
The Civil Trial
• Jury selection (voir dire)
– The lawyers for both parties question prospective
jurors to determine wheth...
The Civil Trial
•
•
•
•
•
•
•

Opening Statements
The Plaintiff’s Case in Chief
The Defendant’s Case in Chief
The Rebuttal...
The Civil Trial
• The Plaintiff’s/Defendant’s Case in Chief
– Direct examination
– Cross-examination

• Rebuttal
– Discred...
The Civil Trial
• Closing Statements
– Each attorney recaps their case, emphasizing the
evidence/testimony they feel best ...
The Civil Trial
• Verdict and Judgment
– Verdict - finding of fact
– Liability – legal responsibility
– Damages – money re...
The Civil Trial
• Appeal
– The referral of a case to a higher court for review
– To be successful, must show that some leg...
The Civil Trial
Execution of the judgment
• Writ of execution
– If the judgment is not paid, the court will order the
lose...
Cyberprocedure
• Cyberjurisdiction
– the power of the court to hear a case based on
Internet related transactions.
– also ...
Cyberprocedure
• Cyberfiling
– electronic filing or e-filing

• More cost effective and efficient than paper filing
• Disa...
Cyberdiscovery
• The part of the litigation process that has been
affected the most by the cyber-revolution is the
discove...
Criminal Procedure
• Objectives are to protect society and punish the
wrongdoer
• Result is a fine or imprisonment

3-45
Criminal Procedure
The steps in a criminal prosecution include the
following:
• Arrest and initial appearance
• Preliminar...
Criminal Procedure
• Preliminary hearing
– Judge decides whether probable cause exists to
continue holding the defendant f...
Criminal Procedure
• Formal charges
– Indictment - set of formal charges against a
defendant issued by a grand jury
– Info...
Criminal Procedure
• Arraignment
– A formal court proceeding, during which the
defendant, after hearing the indictment or
...
Criminal Trial
• Burden of proof
– Criminal trial – beyond a reasonable doubt
– Civil trial – preponderance of evidence

3...
Question?
Which jurisdiction gives courts the power to review
a case for errors?
A. General jurisdiction
B. Original juris...
Question?
Which jurisdiction gives courts the power hear
certain types of cases?
A. Personal jurisdiction
B. Supreme juris...
Question?
What is the burden of proof in a criminal trial?
A.Beyond a shadow of a doubt
B.A preponderance of the evidence
...
Question?
What is the process by which the parties to a civil
action search for information that is relevant to
the case?
...
Question?
What is it called when representative party files a
lawsuit on behalf of all members of a group of
plaintiffs wh...
Question?
The court procedure during which the judge
decides whether probable cause exists to
continue holding the defenda...
Question?
Which court has the original jurisdiction in cases
affecting ambassadors ?
A. Supreme Court
B. State Circuit Cou...
Question?
What is an order from the Supreme Court to a
lower court to deliver its records to the U.S.
Supreme Court for re...
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BUS 115 Chap003 Judicial Process

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BUS 115 Chap003 Judicial Process

  1. 1. Chapter 3 The Judicial Process 3-1
  2. 2. Learning Objectives 1. Explain the fundamental nature of American courts 2. Determine when a case can be brought in federal court 3. Recognize those cases that can be heard by the U.S. Supreme Court 4. Identify the structure of most court systems 5. Define civil litigation 3-2
  3. 3. Learning Objectives 6. 7. 8. 9. List the most common discovery techniques Detail the nature of an appeal Determine the extent of cyberjurisdiction Explain the nature of electronically stored information (ESI) 10. Describe the steps in a criminal prosecution 3-3
  4. 4. The Court System • Courts – judicial tribunals that meet in a regular place and apply the law in an attempt to settle disputes by weighing the arguments presented by advocates for each party. 3-4
  5. 5. The Federal Court System • Consists of: – Supreme Court – Courts of appeal – Federal district courts • Authorized by Article III of the U.S. Constitution: “The Judicial Power of the United States shall be vested in one supreme court, and in such inferior courts as Congress may from time to time ordain and establish.” 3-5
  6. 6. Court Jurisdiction • Jurisdiction - Authority of a court to hear and decide cases – Original/Appellate – General/Special – Subject matter – Personal 3-6
  7. 7. Court Jurisdiction • Original Jurisdiction – Court has the authority to hear a case when it is first brought to court • Appellate Jurisdiction – Those courts that have the power to review a case for errors • Plenary review – courts with appellate jurisdiction will be empowered to determine whether the lower courts have made errors of law 3-7
  8. 8. Court Jurisdiction • General Jurisdiction – The power to hear any type of case • Special Jurisdiction – The power to hear only certain types of cases (business, family, drug, traffic, bankruptcy, etc.) 3-8
  9. 9. Court Jurisdiction • Subject Matter Jurisdiction – Power to hear a particular type of case • Personal Jurisdiction – Authority over the parties involved in a lawsuit 3-9
  10. 10. 3-10
  11. 11. Court Jurisdiction • Federal district courts have subject matter jurisdiction over cases that pertain to a federal question • Federal question – involves: – U.S. Constitution – a federal statute or statutes – a treaty • Removal – process of moving a case from a state to U.S. District Court 3-11
  12. 12. Diversity Diversity cases include lawsuits that are: (1) between citizens of different states (2) between citizens of a state or different states and citizens of a foreign nation (3) between citizens of a state and a foreign government as the plaintiff 3-12
  13. 13. Diversity • Must involve an amount over $75,000 • An individual can only sue a foreign state if that state supports terrorism and the request is for damages related to that support • If one defendant is a member of the same state as the plaintiff, diversity is not established 3-13
  14. 14. U.S. Court of Appeals • The judges at the appellate level must be guided by the standard of review that is appropriate to each case • The standard of review tells the appellate- level judges the degree to which they must remain faithful to the decision of the lower court judge 3-14
  15. 15. Standards of Review • Plenary (de novo) – full review • Clearly Erroneous – given the facts and evidence, decision was wrong • Abuse of Discretion – judge somehow misused his/her authority • Arbitrary and Capricious – finding has no reasonable basis 3-15
  16. 16. The U.S. Supreme Court • Supreme Court – composed of a chief justice and eight associate justices – the court of final jurisdiction in all cases appealed from the lower federal courts and in cases coming from state supreme courts – has original jurisdiction in cases affecting ambassadors or other public ministers and consuls and in cases in which a state is a party 3-16
  17. 17. The U.S. Supreme Court • Writ of certiorari – an order from the Supreme Court to a lower court to deliver its records to the U.S. Supreme Court for review. 3-17
  18. 18. State Court Systems • The state trial courts – also known as general jurisdiction courts – have the power to hear any type of case – often called superior courts, circuit courts, or courts of common pleas Gaston County Courts 3-18
  19. 19. Figure 3-2 – Federal and State Courts Systems Federal and State Courts Systems 3-19
  20. 20. Civil Procedure • Civil litigation – Individual/organization/corporation vs. Individual/organization/corporation – Bringing a case to court to enforce a right – Objective is usually to obtain money to compensate the victim 3-20
  21. 21. Civil Procedure • Plaintiff – person who begins the lawsuit by filing a complaint in the appropriate trial court of general jurisdiction • Defendant – person against whom the lawsuit has been brought and from whom a recovery is sought 3-21
  22. 22. Civil Procedure 1. 2. 3. 4. 5. 6. 7. 8. Commencement of the Action Service of Process Pre-Answer Stage Answer Pretrial Stage The Civil Trial Appeal Execution of Judgment 3-22
  23. 23. Commencement of the Action • The complaint - sets forth: – The names of the parties to the lawsuit, identifying them as plaintiffs or defendants – The facts in the case from the plaintiff’s perspective – The alleged legal violations by the defendant – The injuries that the plaintiff suffered – The plaintiff’s request for relief 3-23
  24. 24. Civil Procedure • A class action – One (or a small number) of the potential plaintiffs file a lawsuit on behalf of all members of the entire class • who share a similar injury 3-24
  25. 25. Civil Procedure The courts will permit a class action lawsuit provided that (1) it is not feasible for the members of the group to bring the suit on their own, (2) the members of the group share common questions of law that can be tried together, and (3) The class action approach is far better than forcing the plaintiffs to file separate actions 3-25
  26. 26. Civil Procedure • Forum shopping – occurs when a plaintiff searches for a jurisdiction with law that is favorable to its case, and then files the case in that jurisdiction • Class Action Fairness Act (CAFA) 2005 – Includes innovations designed to limit forum shopping and counteract other abuses associated with class actions 3-26
  27. 27. Service of Process • Service of process – giving the summons and the complaint to the defendant • The summons – names the court of jurisdiction, describes the nature of the action, and demands that the defendant answer the complaint within a specified period of time (usually 20-30 days) 3-27
  28. 28. Pre-Answer Stage • Pre-answer stage – The time between service and the answer – Defendant takes time to examine nature of the claim – May file one or more pre-answer motions • Motion – A request for the court to rule on a particular issue. 3-28
  29. 29. Answer • Answer – The defendant’s official response to the complaint • Can include: – Affirmative defense – Counter-claim – Cross-claim – Third-party complaint 3-29
  30. 30. Answer (cont.) • Affirmative defense – Defendant shouldn’t be held liable even if the plaintiff proves all the facts in the complaint • Counterclaim – Claim that a defendant has against a plaintiff • Cross-claim – Claim filed by a defendant against another defendant in the same case • Third-party complaint – Complaint filed by the defendant against a third party not yet named in the lawsuit 3-30
  31. 31. The Pretrial Stage • While awaiting trial, several activities can be carried out, including: – Pretrial Conference – Pretrial Motions – Discovery 3-31
  32. 32. Pretrial Stage A pretrial conference – meeting of the parties to a case prior to the trial. Usually has two purposes: 1. To discuss the possibility of settling the case without the need for a trial 2. To decide on the details involved in bringing the case to trial 3-32
  33. 33. Pretrial Stage • Pretrial Motions – Summary judgment motion - a motion that asks the court for an immediate judgment for the party filing the motion 3-33
  34. 34. Pretrial Stage • Discovery – Searching for information relevant to the case • • • • • Depositions – oral statements Interrogatories – written questions Requests for real evidence Request for physical or mental examination Requests for admissions 3-34
  35. 35. The Civil Trial • Jury selection (voir dire) – The lawyers for both parties question prospective jurors to determine whether they will be allowed to sit on the jury 3-35
  36. 36. The Civil Trial • • • • • • • Opening Statements The Plaintiff’s Case in Chief The Defendant’s Case in Chief The Rebuttal and the Surrebuttal Closing Statements Jury Instructions Verdict and Judgment 3-36
  37. 37. The Civil Trial • The Plaintiff’s/Defendant’s Case in Chief – Direct examination – Cross-examination • Rebuttal – Discrediting evidence of opposition and reestablishing credibility of his/her own 3-37
  38. 38. The Civil Trial • Closing Statements – Each attorney recaps their case, emphasizing the evidence/testimony they feel best supports the case • Jury Instructions – Given to the jury by the judge, stating what rules must be applied when deciding 3-38
  39. 39. The Civil Trial • Verdict and Judgment – Verdict - finding of fact – Liability – legal responsibility – Damages – money recovered/rewarded – Equitable remedy – action/inaction other than money • Specific performance • Injunction 3-39
  40. 40. The Civil Trial • Appeal – The referral of a case to a higher court for review – To be successful, must show that some legal error occurred • Cross appeal – Appeal filed by the prevailing party 3-40
  41. 41. The Civil Trial Execution of the judgment • Writ of execution – If the judgment is not paid, the court will order the loser’s property to be sold by the sheriff to satisfy the judgment 3-41
  42. 42. Cyberprocedure • Cyberjurisdiction – the power of the court to hear a case based on Internet related transactions. – also called electronic jurisdiction and e-jurisdiction 3-42
  43. 43. Cyberprocedure • Cyberfiling – electronic filing or e-filing • More cost effective and efficient than paper filing • Disadvantages – Courts must maintain dual filing system to accommodate “cyber-challenged” firms – Attorneys must learn rules for every court in which they do business 3-43
  44. 44. Cyberdiscovery • The part of the litigation process that has been affected the most by the cyber-revolution is the discovery process. • Due to the actual changes caused by the cyberrevolution itself and extensive changes made in the rules of discovery by the federal courts to accommodate the revolution 3-44
  45. 45. Criminal Procedure • Objectives are to protect society and punish the wrongdoer • Result is a fine or imprisonment 3-45
  46. 46. Criminal Procedure The steps in a criminal prosecution include the following: • Arrest and initial appearance • Preliminary hearing • Formal charges • Arraignment • Trial 3-46
  47. 47. Criminal Procedure • Preliminary hearing – Judge decides whether probable cause exists to continue holding the defendant for the crime 3-47
  48. 48. Criminal Procedure • Formal charges – Indictment - set of formal charges against a defendant issued by a grand jury – Information - set of formal charges against a defendant drawn up and issued by the prosecutor or district attorney 3-48
  49. 49. Criminal Procedure • Arraignment – A formal court proceeding, during which the defendant, after hearing the indictment or information read, pleads either guilty or not guilty 3-49
  50. 50. Criminal Trial • Burden of proof – Criminal trial – beyond a reasonable doubt – Civil trial – preponderance of evidence 3-50
  51. 51. Question? Which jurisdiction gives courts the power to review a case for errors? A. General jurisdiction B. Original jurisdiction C. Appellate jurisdiction D. Constable jurisdiction 3-51
  52. 52. Question? Which jurisdiction gives courts the power hear certain types of cases? A. Personal jurisdiction B. Supreme jurisdiction C. Appellate jurisdiction D. Subject Matter jurisdiction 3-52
  53. 53. Question? What is the burden of proof in a criminal trial? A.Beyond a shadow of a doubt B.A preponderance of the evidence C.Beyond a reasonable doubt D.Based on a simple majority vote 3-53
  54. 54. Question? What is the process by which the parties to a civil action search for information that is relevant to the case? A. Discovery B. Subpoena C. Writ of intervention D. Interrogation 3-54
  55. 55. Question? What is it called when representative party files a lawsuit on behalf of all members of a group of plaintiffs who share a single, similar injury A.Jury Trial B.Class Action C.Writ of Intervention D.Writ of Certiorari 3-55
  56. 56. Question? The court procedure during which the judge decides whether probable cause exists to continue holding the defendant for the crime is called the ___________. A. Arraignment B. Indictment C. Grand jury D. Preliminary hearing 3-56
  57. 57. Question? Which court has the original jurisdiction in cases affecting ambassadors ? A. Supreme Court B. State Circuit Court C. Federal District Court D. D.C. Appeals Court 3-57
  58. 58. Question? What is an order from the Supreme Court to a lower court to deliver its records to the U.S. Supreme Court for review? A. Writ B. Records subpoena C. Writ of subpoena D. Writ of certiorari 3-58

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