Introduction to Legal Process in the United States

Introduction to Legal Process in the United States (3) Sources of law Court system Judicial process (4) Alan R. Palmiter – Jan. 2005 (1) (2)

(1) Sources of law l Legislative Administrative Judicial l Federalism: federal (supreme) vs. state l l

(1) Sources of law l Legislative (Congress) – – – Constitution Statutes Legislative history

(1) Sources of law l Administrative (Securities & Exchange Commission) – – Regulation (rules) Agency decisions Opinions No-action letters

(1) Sources of law l Judicial (federal courts) – – – Constitutional review Statutory interpretation Common law (precedent)

(2) Court systems l l Federal State (North Carolina)

(2) Court systems l Federal – – – US Supreme Court US Courts of Appeals US trial courts l l US District Courts Special courts US Claims Court – US Bankruptcy Court – US International Court of Trade – US Tax Court –

(2) Court systems l Federal – US Supreme Court l l l – – 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 l Federal – – US Supreme Court US Courts of Appeals l l l – 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 l Federal – – – US Supreme Court US Courts of Appeals US District Court l l l Limited jurisdiction (federal questions / diversity cases) Exclusive / concurrent jurisdiction Juries for $ damages / judges for injunctions

(2) Court systems l State (North Carolina) – – – NC Supreme Court NC Court of Appeals NC trial courts l l Superior court District courts Magistrate court Small claims court

(2) Court systems l State (North Carolina) – NC Supreme Court l l – – Discretionary review (questions of law) Elected (7 justices) NC Court of Appeals NC trial courts

(2) Court systems l State (North Carolina) – – NC Supreme Court NC Court of Appeals l l l – 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 l State (North Carolina) – – – NC Supreme Court NC Court of Appeals NC trial courts l l Superior court: felonies / civil > 10 K / jury trial District courts: minor criminal / civil <10 K / family law Magistrate court: traffic court / small civil <4 K Small claims court: small civil <4 K, pro se (no attorney)

(2) Court systems l State (North Carolina) – – – NC Supreme Court NC Court of Appeals NC trial courts l 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) l Filters at each stage

(3) Judicial process Pleading l Complaint (individual or class action) Answer (counterclaim / cross-claim) l Filters l – – – Default judgment Motion to dismiss Rule 11 sanctions

(3) Judicial process Discovery l l l 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 – l Filters – – Summary judgment Voluntary dismissal (settlement)

(3) Judicial process Trial Jury / bench trial l Live, continuous: witness / exhibits l Rules of evidence l Lawyer arguments l l Filters – Directed verdict (judgment as matter of law)

(3) Judicial process Post-trial (appeals) l l Reopen case before appeal Enforcement of judgment Appeal (on record) Filters – – Judgment notwithstanding verdict (NOV) Appeal: affirm, reversal, remand