Introduction to Legal Process in 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 referencebusiness court – 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 P re-trial – Settlement conference – Alternative dispute methods: mediation / arbitration – Pre-trial conference Filters – Summary judgment – Voluntary dismissal (settlement)

(3) Judicial process Trial Jury / bench trial Live, continuous: witness / exhibits Rules of evidence Lawyer 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