1. 9 CHAPTER The Courts: Structure and Participants
CRIMINAL JUSTICE TODAY, 9E PRENTICE HALL
By Frank Schmalleger ©2007 Pearson Education, Inc.

2. America’s Dual Court System
The United States has courts on both the
federal and state levels.
This dual system reflects the state’s need
to retain judicial autonomy separate
from the federal government.
Most criminal cases originate within state
courts.
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By Frank Schmalleger ©2007 Pearson Education, Inc.

3. Jurisdiction
The jurisdiction of a court refers to those cases in which it may exercise lawful authority
Determined by statute or
constitution
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By Frank Schmalleger ©2007 Pearson Education, Inc.

4. The Development of State Courts
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By Frank Schmalleger ©2007 Pearson Education, Inc.

5. Early Court Systems Each colony had its own court system.
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By Frank Schmalleger ©2007 Pearson Education, Inc.

6. Massachusetts Bay Colony **
1629—Massachusetts Bay Colony created a General Court, which combined legislative and judicial duties. (one of the earliest established General Courts) **
1639—County courts were established in the outlying areas. The General Court became primarily a court of appeal.

7. Pennsylvania Referee System **
Early system based on belief that “Every man could serve as his own lawyer.”
Common peacemakers served as referees in disputes. Their decisions were binding.
This system is similar to our modern day use of mediation to settle disputes. **
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By Frank Schmalleger ©2007 Pearson Education, Inc.

8. Early Court Systems
By 1776 all colonies had fully functioning courts, but there was a lack of “trained” lawyers.
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By Frank Schmalleger ©2007 Pearson Education, Inc.

9. Early Court Systems Prior to 1776 Most colonies restricted the
number of lawyers allowed to
practice.
Between 1695 and 1769, New York
allowed only 41 lawyers to practice
law.
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By Frank Schmalleger ©2007 Pearson Education, Inc.

10. Early Court Systems Structure of colonial courts were not uniform.
Initially, most states made no distinction between original and appellate jurisdiction.
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By Frank Schmalleger ©2007 Pearson Education, Inc.

11. Original vs. Appellate Jurisdiction
Original Jurisdiction … the lawful authority of a court to hear or to act on a case from its beginning and to pass judgment on the law and the facts. …may be over a specific geographic area or over particular types of cases.
Appellate Jurisdiction
…the lawful authority of a court to review a decision made by a lower court.
CRIMINAL JUSTICE TODAY, 9E PRENTICE HALL
By Frank Schmalleger ©2007 Pearson Education, Inc.

12. Federal Judiciary Act of 1789
3-Tier Model for Court System
Trial courts of limited jurisdiction
Trial courts of general jurisdiction
Appellate courts
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By Frank Schmalleger ©2007 Pearson Education, Inc.

13. State Court Systems Today
Many differences among state courts.
Most use the three-tiered structure.
Court reform movement seeks to simplify and unify court structures.
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By Frank Schmalleger ©2007 Pearson Education, Inc.

14. A Typical State Court System
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By Frank Schmalleger ©2007 Pearson Education, Inc.

15. State Trial Courts Where criminal cases “begin.” Bail hearings
Arraignments
Enters pleas
Conducts trials
Sentences
Two types of trial courts:
Courts of limited, or special,
jurisdiction (lower courts)
Courts of general jurisdiction
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By Frank Schmalleger ©2007 Pearson Education, Inc.

16. State Trial Courts: Courts of Limited Jurisdiction
Authorized to hear:
Misdemeanors
Family disputes
Traffic violations
Small claims
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By Frank Schmalleger ©2007 Pearson Education, Inc.

17. State Trial Courts: Courts of Limited Jurisdiction
Lower courts:
Rarely hold jury trials
Do not maintain detailed records of
proceedings (just charge, plea, finding, and
sentence)
Less formal than higher courts
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By Frank Schmalleger ©2007 Pearson Education, Inc.

18. State Trial Courts: Courts of General Jurisdiction
Also called: high courts, circuit courts, or superior courts.
Formal courts that make full use of juries, witnesses, prosecutors, defense attorneys, and other actors.
Authorized to hear:
Any criminal case
Lower court appeals
Trial de novo
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By Frank Schmalleger ©2007 Pearson Education, Inc.

19. Adversarial Process **
…pits the interests of the state, represented by prosecutors, against the accused, represented by defense counsel, in a process constrained by procedural rules specified in law and by tradition. (adversarial system)
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By Frank Schmalleger ©2007 Pearson Education, Inc.

20. State Appellate Courts
39 states have intermediate and
high-level appellate courts (courts of
last resorts).
All states have supreme courts.
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By Frank Schmalleger ©2007 Pearson Education, Inc.

21. Appeals Appeals are requests by a defendant
to a higher court asking it to review
the actions of a lower court.
Some cases (involving death penalty
or life sentences) are automatically
appealed.
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By Frank Schmalleger ©2007 Pearson Education, Inc.

22. Appeals: The Process Appellate court reviews transcripts
from lower trial courts and may
allow for lawyers from both sides to
make oral arguments.
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By Frank Schmalleger ©2007 Pearson Education, Inc.

23. Appeals: The Results **
Most convictions are confirmed. **
Some decisions are reversed and
cases remanded.
Recourse may be to a state supreme
court.
Generally, state supreme court is the
court of last resort.
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By Frank Schmalleger ©2007 Pearson Education, Inc.

24. Appeals: Moving to the Federal System
Cases can be appealed to the U.S.
Supreme Court if they are based on a
claimed violation of the defendant’s
rights as guaranteed under federal law or
the U. S. Constitution.
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By Frank Schmalleger ©2007 Pearson Education, Inc.

25. Keeney v. Tamayo-Reyes (1993)
“A respondent is entitled to a federal
evidentiary hearing [only] if he can show cause
for his failure to develop the facts in the state
court proceedings.”
“It is hardly a good use of scarce judicial
resources to duplicate fact-finding in federal
court merely because petitioner has
negligently failed to take advantage of
opportunities in state court proceedings.”
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By Frank Schmalleger ©2007 Pearson Education, Inc.

26. Herrera v. Collins (1993) **
Evidence of innocence is no reason for a federal court to order a new trial if constitutional grounds are lacking. **
“Where a defendant has been afforded a fair trial and convicted of the offense for which he was charged, the constitutional presumption of innocence disappears.”
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By Frank Schmalleger ©2007 Pearson Education, Inc.

27. State Court Administration
State Court Administrators manage the operational functions of the court.
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By Frank Schmalleger ©2007 Pearson Education, Inc.

28. State Court Administrator’s Duties **
Prepare, present, oversee court system’s budget
Analyze court case flow and determine allocation of personnel and how to streamline cases
Gather and present statistics
Serve as liaison between legislators and court
Develop and coordinate funding requests
Manage court personnel (promotions, benefits)
Coordinate plans to train judges and other support
personnel
Assign judges to judicial districts
Review payments to counsel for indigent
defendants
Also, coordinate between state court levels and jurisdiction (other authorities in jurisdiction)
CRIMINAL JUSTICE TODAY, 9E PRENTICE HALL
By Frank Schmalleger ©2007 Pearson Education, Inc.

29. Dispute Resolution Centers
Offer a way to resolve disputes
without a formal hearing
Over 200 programs nationwide
Frequently staffed by volunteers
May or may not be run by the courts
Central feature of restorative justice
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By Frank Schmalleger ©2007 Pearson Education, Inc.

30. Community Courts Low level courts focusing on quality-
of-life crimes that erode
neighborhood morale
Emphasize problem solving rather
than punishment
Build on restorative principles such
as community service and restitution
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31. The Federal Court System CRIMINAL JUSTICE TODAY, 9E PRENTICE HALL
By Frank Schmalleger ©2007 Pearson Education, Inc.

32. The Federal Court System
Established by the U.S. Constitution
Article III, Section 1
“One Supreme Court, and such inferior courts as the Congress may from time to time ordain and establish.”
CRIMINAL JUSTICE TODAY, 9E PRENTICE HALL
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33. Jurisdiction of Federal Courts
Article III, Section 2
Federal courts are to have jurisdiction over cases arising under the Constitution, federal law, and treaties.
Federal courts are to settle disputes between states and to have jurisdiction in cases where one of the parties is a state.
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By Frank Schmalleger ©2007 Pearson Education, Inc.

34. Structure of Federal Court System
Three Levels of Courts
U.S. Supreme Court
U.S. Courts of Appeals
U.S. District Courts
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35. Federal Court System CRIMINAL JUSTICE TODAY, 9E PRENTICE HALL
By Frank Schmalleger ©2007 Pearson Education, Inc.

36. U.S. District Courts ** There are 94 judicial districts **
At least 1 district court per state
District courts in Puerto Rico, the
District of Columbia, and other
U.S. Territories
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By Frank Schmalleger ©2007 Pearson Education, Inc.

37. U.S. District Courts …the trial courts of the federal system
…original jurisdiction over all cases involving alleged violations of federal statutes
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By Frank Schmalleger ©2007 Pearson Education, Inc.

38. District Court Judges There are 650 district court judges.
Appointed by the President and
confirmed by the Senate
Serve for life
Assisted by magistrate judges, who:
Conduct arraignments
Set bail
Issue warrants
Try minor offenders
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39. U.S. Courts of Appeal: Circuit Courts
There are 13 U.S. Courts of
Appeals
The 94 judicial districts are
organized into 12 regions (circuits)
Each region has 1 Circuit Court
1 U.S. Court of Appeals for the
Federal Circuit
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By Frank Schmalleger ©2007 Pearson Education, Inc.

40. U.S. Circuit Courts of Appeal
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41. U.S. Courts of Appeal: Circuit Courts
167 appeals court judges
Review cases on appeal from U.S.
district courts and trial-level
federal courts
Mandatory jurisdiction over
decision of appealed district
court cases
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By Frank Schmalleger ©2007 Pearson Education, Inc.

42. Right to Appeal The Constitution guarantees a right to appeal.
A defendant’s right to appeal, however, has been interpreted to mean the right to one appeal.
Therefore, the U.S. Supreme Court
does not hear every appeal by defendants dissatisfied with the decision of a federal appeals court.
An automatic appeal only occurs for those sentenced to the death penalty.
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By Frank Schmalleger ©2007 Pearson Education, Inc.

43. U.S. Supreme Court CRIMINAL JUSTICE TODAY, 9E PRENTICE HALL
By Frank Schmalleger ©2007 Pearson Education, Inc.

44. The U.S. Supreme Court consists of nine justices:
Eight Associate Justices
One Chief Justice
Justices are nominated by the
President, confirmed by the Senate,
and serve for life.
CRIMINAL JUSTICE TODAY, 9E PRENTICE HALL
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45. Jurisdiction of the U.S. Supreme Court
Original jurisdiction
Limited
Reserved for disputes between states
and some cases of attorney disbarment
Appellate jurisdiction
Reviews the decisions from U.S. Courts
of Appeals and state supreme courts
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By Frank Schmalleger ©2007 Pearson Education, Inc.

46. U.S. Supreme Court: Appeals
Of 5,000 annual requests for review, only
about 200 are heard.
Four justices must vote in favor of a
hearing for a case to be heard.
Usually the Court only reviews cases
that involve a substantial federal
question.
The Court issues a writ of certiorari to a
lower court.
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By Frank Schmalleger ©2007 Pearson Education, Inc.

47. Writ of Certiorari
… a writ issued from an appellate court for the purpose of obtaining from a lower court the record of its proceedings in a particular case.
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48. It is probably the U.S. Supreme Court’s greatest power.
Judicial Review
… the power of a court to review actions and decisions made by other agencies of government.
It is probably the U.S. Supreme Court’s greatest power.
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By Frank Schmalleger ©2007 Pearson Education, Inc.

49. Formally established Court’s power of judicial review.
Marbury v. Madison (1803)
Formally established Court’s power
of judicial review.
The U.S. Supreme Court established the
Court’s authority as final interpreter of
the U.S. Constitution by declaring “it is
emphatically the province of the judicial
department to say what the law is.”
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By Frank Schmalleger ©2007 Pearson Education, Inc.

50. Opinions of the Court Supreme Court decisions are rarely unanimous.
Types of opinions:
Majority—Justices agree in
outcome and reasoning. This is the
opinion of the court.
Concurring—Agree with outcome,
but for different reasons.
Dissenting—Disagree with
outcome.
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By Frank Schmalleger ©2007 Pearson Education, Inc.

51. Courtroom Work Group CRIMINAL JUSTICE TODAY, 9E PRENTICE HALL
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52. Courtroom Participants
Professional
Judge
Prosecuting attorney
Defense attorney
Bailiff
Court reporter
Clerk of the court
Expert witnesses
Non-Professional
Lay witnesses
Jurors
Defendant
Victim
Spectators
Press
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53. The Judge ** Primary duty  to ensure justice
Responsibilities include:
Setting and revoking bail *
Determining probable cause *
Ruling on most matters of the law
Weighing objections
Deciding the admissibility of evidence
Accepting guilty pleas & sentencing offenders*
Disciplining disorderly courtroom attendees
Deciding guilt or innocence (for bench trials)
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By Frank Schmalleger ©2007 Pearson Education, Inc.

54. The Judge The chief judge handles administrative
responsibilities if there is no court
administrator. The chief judge:
Hires staff
Ensures adequate training of new judges
and staff
Generally manages court operations
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55. Judicial Selection ** Federal Judges State Judges Nominated by
President
Confirmed by
senate
State Judges
Popular election
Gubernatorial
appointment
Missouri Plan
(combines
appointment and
election)
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56. Missouri Plan **
Non-partisan committee creates a list of possible candidates.
Final list sent to governor’s office.
The governor appoints from the list.
After a specified time period, the appointed judge stands for election.
This is the merit plan suggested by the ABA to select judges. **

57. Judges: Qualifications
At general and appellate levels:
Be a member of the state bar
Be a licensed attorney
Hold a law degree (in most
states)
Attend professional training
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By Frank Schmalleger ©2007 Pearson Education, Inc.

58. Prosecuting Attorney **
Prosecutors are also referred to as: solicitor, district attorney, state’s attorney, county attorney, or commonwealth attorney.
Federal prosecutors are called U.S. Attorneys.
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59. Prosecutor
All but five states elect prosecutors. Prosecutors are elected for a four-year term.
Five states and the federal government appoint their prosecutors.
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By Frank Schmalleger ©2007 Pearson Education, Inc.

60. Prosecutor’s Responsibilities
Present the state’s case against the defendant
State has the burden of proof
Supervise staff of assistant district attorneys
Serve as quasi-legal advisor to police
Files appeals on behalf of the state
Makes presentations to parole boards
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61. Prosecutorial Discretion **
…decision-making power, based on the wide range of choices available to them.
Prosecutor’s have a lot of discretion but are guided by the ABA’s Code of Professional Responsibility. **
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62. Prosecutorial Discretion **
Prosecutor decides:
Whether or not to charge someone with a crime (this decision is not reviewable; very powerful) **
Which charges are to be filed against the defendant
Whether multiple charges should be filed together or separately
When to schedule cases for trial
Whether or not to accept a negotiated plea
What evidence to present, including witnesses
What sentencing recommendations to make
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By Frank Schmalleger ©2007 Pearson Education, Inc.

63. Abuse of Discretion Prosecutors may abuse their discretion by…
Not prosecuting friends
Accepting guilty pleas or reduced charges for
personal consideration
Overzealous prosecution to gain visibility for
possible reelection
Scheduling activities to make life difficult for
defendants, in an attempt to put pressure on
them to plead guilty
Discrimination against minorities
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By Frank Schmalleger ©2007 Pearson Education, Inc.

64. Disclosure of Evidence
Brady v. Maryland (1963)
U.S. Supreme Court held that the prosecution is required to disclose to the defense any exculpatory evidence in its possession that directly or indirectly relates to claims of either guilt or innocence.
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65. Disclosure of Evidence
U.S. v. Bagley (1985)
The Court ruled that prosecution must disclose any evidence in its possession that the defense requests.
To withhold evidence, even when it does not directly relate to issues of guilt or innocence, may mislead the defense into thinking that such evidence does not exist.
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66. Prosecutorial Liability
Imbler v. Patchman (1976)
“State prosecutors are absolutely immune from liability…for their conduct in initiating a prosecution and in presenting a State’s case.”
Burns v. Reed (1991)
A “state prosecuting attorney is absolutely immune from liability for damages…for participating in a probable cause hearing, but not for giving legal advice to the police.”
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By Frank Schmalleger ©2007 Pearson Education, Inc.

67. Defense Counsel Represents the accused
Participates in plea negotiations
Prepares a defense
Calls witnesses
Refutes case presented by prosecutor
Presents arguments at time of sentencing
Files appeals
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68. Types of Defense Counsel
Private attorney (retained counsel)
Court-assigned counsel
Public defender
Criminal defense lawyers often handle a large volume of cases in order to make a decent living. **
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69. Right to Counsel
The Sixth Amendment to the U.S. Constitution guarantees criminal defendants the effective assistance of counsel.
Texas v. Cobb (2001)—the Supreme Court ruled that the Sixth Amendment right to counsel is “offense specific” and applies only to the offense with which a defendant is charged and not to other offenses, even if they are factually related to the charged offense.
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By Frank Schmalleger ©2007 Pearson Education, Inc.

70. Criminal Defense of the Poor
The Sixth Amendment to the U.S. Constitution guarantees criminal defendants the effective assistance of counsel.
Defendants who are unable to pay for private defense attorneys will receive adequate representation at all stages of criminal justice processing.
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71. Powell v. Alabama (1932) The Court required that states
provide defense counsel for those
defendants who are unable to employ
their own counsel and are charged
with a capital offense.
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72. Johnson v. Zerbst (1938) U.S. Supreme Court established the
right of indigent offenders to have
legal counsel appointed for them in
all federal cases.
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73. This case extended the right to appointed counsel for indigents in all
Gideon v. Wainwright (1963)
This case extended the right to
appointed counsel for indigents in all
felony cases.
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74. Argersinger v. Hamlin (1972)
The U.S. Supreme Court extended
the right of indigent offenders to
have legal representation
in any case where they could lose
their liberty (including misdemeanor
cases).
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75. In re Gault (1967) The U.S. Supreme Court extended
the right to legal counsel for
juveniles charged with a delinquent
act.
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76. Defendants in state courts who are
Alabama v. Shelton (2002)
Defendants in state courts who are
facing relatively minor charges must
be provided with an attorney at
government expense even when they
face only the slightest chance of
incarceration.
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77. Criminal Defense of the Poor
Three Types of Programs
Court-assigned counsel
Public defender
Contract attorney
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78. Court-Assigned Counsel
Fee paid based on state rate (most widely used).
Fee is usually low, raising questions about the level of commitment of defense attorneys.
Roster of local attorneys who are willing to take cases under established fees.
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79. Public Defender Program **
Uses full-time salaried attorneys who require a full-time, salaried staff. **
28% of counties nationwide use this system exclusively.
64% of counties nationwide use public defenders as part of their system.
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80. Contract Attorneys
Local attorneys are maintained on contract to handle all cases.
This is the least widely used form of indigent defense.
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81. Criticisms of Indigent Defense System
Criticisms relate to funding,
caseload, and quality of defense.
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82. Waiving the Right to an Attorney
1% of federally charged defendants and 3% of state level defendants represent themselves.
Faretta v. California (1975)
Indigents are not required to accept counsel. They
may waive their right and represent themselves.
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83. Canons of Professional Ethics Model Code of Professional
The Ethics of Defense
ABA Ethical Guidelines
Canons of Professional Ethics
Model Code of Professional
Responsibility
Model Rules of Professional
Conduct
Standards for Criminal Justice
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84. Bailiff Charged with ensuring order in the courtroom **
Announces judge’s entry
Calls witnesses
Maintains control over the defendant if person has not been released on bail
Maintains physical custody of and supervises jury during deliberations and sequestering. **
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85. Local Court Administrators
Facilitate the smooth running of courts in particular judicial districts
Provide uniform court management
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86. Court Reporter ** Also called the “stenographer” or “court recorder.”
Creates a written record of all court proceedings. **
Transcripts are necessary if an appeal is to be filed.
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87. Clerk of Court **
Maintains all records of criminal cases and verdicts **
Prepares jury pool and issues jury summonses
Subpoenas witnesses
Marks physical evidence for identification at trial
Swears in witnesses
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88. Expert Witness **
… a person who has special knowledge and skills in an established profession or technical area. This knowledge helps determine the guilt or innocence of the defendant. This person is usually a paid professional.
…unlike lay witnesses, they may express opinions and draw conclusions in their testimony.
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89. Lay Witness Non-expert witness May be: Are subpoenaed to appear
Eye witness
Character witness
Victim
Are subpoenaed to appear
Testify to that which they have direct knowledge of
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90. Jurors Article III of the U.S. Constitution
“trial of all crimes…shall be by jury”
States determine the number of jurors. Most use 12, plus 2 alternates.
Jury duty…a civic responsibility
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91. Peer Juries
Defendants have the right to have their cases heard before a jury of their peers.
Peer juries are those composed of a representative cross section of the community.
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92. Jury Reform
In 2005, the American Bar Association released a set of 19 principles intended to guide jury reform…to improve treatment of jurors and modernize the system.
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93. The Victim
Not all crimes have clearly identifiable or surviving victims
Victims often face hardships as they participate in the court process.
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94. The Defendant Generally, they must be present at trial.
Defendants exercise choice in:
Selecting and retaining counsel
Planning a defense strategy with counsel
Deciding what information to provide counsel
Deciding what to plea
Deciding whether or not to testify
Determining whether or not to file an appeal
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95. Spectators and the Press
May be present at trial; with more at higher-profile cases
The right of reporters to be there is supported by the Sixth Amendment’s requirement of a public trial.
Most courts allow cameras in the courtroom…for television coverage.
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