An Introduction for Judges and Judicial 

Administrators in Other Countries

THE FEDERAL COURT SYSTEM

IN THE UNITED STATES

Judicial Services Office

Department of Program Services

Administrative Office of the United States Courts 

Thurgood Marshall Federal Judiciary Building 

Washington, D.C. 20544

2016

4th Edition

The Administrative Office of the U.S. Courts developed this publication to provide 

an introduction to the federal judicial system, its organization and administration, its 

relationship to the legislative and executive branches of the federal government, and 

its relationship to the state court systems. The Administrative Office of the U.S. Courts 

is the judicial branch’s central support agency responsible for providing a broad range 

of management, legal, technical, communications, and other support services for the 

administration of the federal courts.

This booklet is designed to introduce judges and judicial administrators in other 

countries to the U.S. federal judicial system, its organization and administration, and its 

relationship to the legislative and executive branches of the government. The Judicial 

Services Office of the Administrative Office of the U.S. Courts developed this booklet to 

support the work of the Judicial Conference Committee on International Judicial Relations. 

The Chief Justice presides over the Judicial Conference of the United States, the 

national policymaking body of the federal courts. Congress passed legislation establishing 

the earliest form of the Judicial Conference in 1922. Today, 26 judges comprise the 

Conference—the chief judge of each of the 13 federal courts of appeals, 12 district (trial) 

judges elected from each of the geographic circuits, and the chief judge of the U.S. Court 

of International Trade. 

The Chief Justice appoints judges and a small number of outside experts to serve 

on subject-matter committees that assist the Judicial Conference with its work. The 

Committee on International Judicial Relations—the committee responsible for this 

publication—is composed of several federal judges and a representative from the U.S. 

Department of State, who, among other things: 

• coordinate the federal judiciary’s relationship with foreign judiciaries and other 

organizations interested in international judicial relations and the establishment and 

expansion of the rule of law; and 

• serve as a point of contact for foreign courts and international organizations 

communicating with the Chief Justice, the Judicial Conference, and the federal 

judiciary.

Preface
Table of Contents

The United States Constitution and the Federal Government.......................................................................1

The Legislative Branch........................................................................................................................................2

The Executive Branch..........................................................................................................................................3

The Judicial Branch...............................................................................................................................................3

The Role of the Federal Courts in American Government...............................................................................5

The Federal Courts and Congress ...............................................................................................................5

The Federal Courts and the Executive Branch........................................................................................5

The Federal Courts and the Public...............................................................................................................6

The Structure of the Federal Courts............................................................................................................................8

Trial Courts ...............................................................................................................................................................8

Appellate Courts ................................................................................................................................................10

The United States Supreme Court.............................................................................................................11

The Jurisdiction of the Federal Courts....................................................................................................................12

Relationship Between the State Courts and the Federal Courts.................................................12

Types of Cases That May Be Filed in the Federal and State Courts...........................................13

United States Federal Judges......................................................................................................................................15

Appointment of Judges..................................................................................................................................15

Article III Judges..................................................................................................................................15

Other Federal Judges........................................................................................................................16

State Judges ..........................................................................................................................................16

Federal Judicial Ethics ......................................................................................................................................17

Judges’ Compensation....................................................................................................................................18

Senior and Retired Judges.............................................................................................................................18

Judicial Education..............................................................................................................................................18

Judges’ Staff..........................................................................................................................................................19

Distinctive Features of the American Judicial System .....................................................................................20

The Adversary System.....................................................................................................................................20

The Common-Law System............................................................................................................................20
Fees and Costs of Litigation..........................................................................................................................21

Execution of Judgments .................................................................................................................................21

Procedural Rules for Conducting Litigation..........................................................................................22

Reporting of Judicial Proceedings.............................................................................................................22

Publication of Court Opinions.....................................................................................................................23

The Federal Judicial Process in Brief........................................................................................................................24

Civil Cases..............................................................................................................................................................24

Criminal Cases .....................................................................................................................................................26

Jury Service...........................................................................................................................................................30

Bankruptcy Cases...............................................................................................................................................32

The Appeals Process.........................................................................................................................................35

Federal Judicial Administration..................................................................................................................................37

Individual Courts................................................................................................................................................37

Court Staff.............................................................................................................................................................38

Clerk of the Court..............................................................................................................................................38

Other Central Court Staff...............................................................................................................................39

The Circuit Judicial Councils .........................................................................................................................39

The Judicial Conference of the United States ......................................................................................40

The Administrative Office of the United States Courts ...................................................................41

The Federal Judicial Center...........................................................................................................................42

The United States Sentencing Commission..........................................................................................43

The Judiciary Budget........................................................................................................................................43

Courthouse Space, Facilities, and Security.............................................................................................44

Information Technology in the Judicial Branch...................................................................................44

Strategic Planning and Management Efficiency in the Federal Courts...................................45

Accountability.....................................................................................................................................................................47

Disciplinary Mechanisms................................................................................................................................47

Other Formal Mechanisms............................................................................................................................48

Informal Mechanisms ......................................................................................................................................49

Commonly Asked Questions About the Federal Judicial Process.............................................................50

Common Legal Terms.....................................................................................................................................................54
List of Features

U.S. Constitution, Article III..............................................................................................................................................3

Geographic Boundaries of the United States Courts of Appeals 

and the United States District Courts.........................................................................................................................9

The United States Federal Courts..............................................................................................................................10

Examples of Jurisdiction in the Federal and State Courts .............................................................................14

The Code of Conduct for United States Judges.................................................................................................17

Juror Qualifications and Exemptions.......................................................................................................................31

Terms of Jury Service.......................................................................................................................................................31

Types of Bankruptcy Proceedings.............................................................................................................................33

Characteristics of Federal Judicial Administration.............................................................................................38

Court Support Staff..........................................................................................................................................................39

Current Judicial Conference Committees..............................................................................................................40
THE UNITED STATES 

CONSTITUTION 

AND THE FEDERAL 

GOVERNMENT

The U.S. Constitution, adopted in 1789 

and amended only rarely since then, is 

the supreme law of the United States. 

The Constitution established a republic 

under which the individual states retain 

considerable sovereignty and authority. 

Each state, for example, has its own 

elected executive (governor), legislature, 

and court system. The federal, or national, 

government is one of strong, but limited, 

powers. The federal government may 

exercise only the powers specified in 

the Constitution itself. The Constitution 

specifies that all other powers are reserved 

to the states and the people. This system of 

divided powers is known as “federalism.” 

The Bill of Rights guarantees that the 

government will not interfere with an 

individual’s exercise of certain fundamental 

rights. Adopted as the first ten 

amendments to the Constitution in 1791, 

the Bill of Rights prohibits the government 

from infringing upon an individual’s rights 

to free speech, freedom of assembly, 

freedom to seek redress of grievances, 

freedom from unreasonable searches and 

seizures, due process of law, protection 

against compelled self-incrimination, 

protection against seizure of property 

without just compensation, a speedy and 

public trial in criminal cases, trial by jury in 

both criminal and civil cases, and assistance 

of counsel in criminal prosecutions. 

The Constitution also established 

three separate branches of the U.S. 

Government—the legislative (Article I), 

executive (Article II), and judicial (Article III) 

branches. The constitutional system divides 

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for one or both houses of Congress to be 

controlled by the opposition party. Under 

the Constitution’s structure of separate but 

equal branches of government, there are 

no provisions to dissolve the government 

or call for early general elections.

The Senate and House of 

Representatives both establish their own 

rules of procedure and designate their 

members to serve on subject-matter 

committees. The committee assignments 

in Congress are based primarily upon 

seniority. Congress carries out the 

bulk of its work in committee, where 

legislators draft laws, appropriate funds for 

government operations, and hold hearings. 

Congressional hearings develop the record 

on matters under a committee’s jurisdiction 

and may involve overseeing government 

agencies, evaluating programs, or 

investigating issues. Congress normally 

requests and occasionally compels 

government administrators and citizen 

experts to testify before its committees. 

The federal courts, for example, maintain 

regular communications with the Judiciary 

Committees and the Appropriations 

Committees of the Senate and the House 

of Representatives, and judges selected 

to represent the courts regularly present 

testimony to congressional committees on 

issues of concern to the judiciary. 

powers among these three branches of 

the federal government and establishes 

a system of “checks and balances.” Each 

branch is formally separate from the other 

two, and each has certain constitutional 

authority to check the actions of the other 

branches.

THE LEGISLATIVE BRANCH

Congress, the national legislature of the 

United States, is composed of two houses 

or chambers—the Senate and the House of 

Representatives. Each state is represented 

by two senators who are elected for sixyear terms. One-third of the Senate is 

elected every two years. Members of the 

House of Representatives are elected from 

local districts within states. Each state 

receives a number of representatives in 

proportion to its population. The entire 

House is elected every two years. 

To become law, proposed legislation 

must be passed by both houses of 

Congress and signed by the president. If 

the president does not sign, or vetoes, a 

bill, it may still be enacted, but only by a 

two-thirds vote of each house of Congress. 

The U.S. government is not a 

parliamentary or cabinet system of 

government, as in the United Kingdom and 

many other democracies around the world. 

Under the U.S. Constitution, the president 

is both the head of state and the head of 

the government. The president appoints a 

cabinet—consisting of the heads of major 

executive departments and agencies—but 

neither the president nor any member of 

the cabinet sits in Congress. The president’s 

political party, moreover, does not need 

to hold a majority of the seats in Congress 

to stay in office. In fact, it is not unusual 

Two central features of the 

government established under the U.S. 

Constitution are:

• federalism; and 

• checks and balances among the three 

separate branches of the government.
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U.S. attorneys represent the 

government in all criminal cases in federal 

court and most civil suits against the 

government, making the United States 

the chief litigant in the federal courts. To 

prevent any undue influences or sway 

over the courts, the executive branch of 

government plays no role in administration 

or budgeting for the federal courts. 

THE JUDICIAL BRANCH

The framers of the Constitution 

considered an independent federal 

judiciary essential to ensure fairness and 

equal justice to all citizens of the United 

States. As a result, the federal judiciary is 

a separate, self-governing branch of the 

government. The Congress enacts the 

laws, the president and the many executive 

branch departments and agencies act 

on and enforce the laws, and the courts 

interpret the law. The courts play no active 

THE EXECUTIVE BRANCH

The president is elected every four 

years and under the Constitution may serve 

no more than two terms in office. Once 

elected, the president selects a cabinet, 

each member of which must be confirmed 

by the Senate. Each cabinet member is 

the head of a department in the executive 

branch. The cabinet includes, for example, 

the Secretary of State, the Secretary of 

Defense, the Secretary of the Treasury, the 

Secretary of Homeland Security, and the 

Attorney General. 

The president, the cabinet, and other 

members of a president’s administration 

are responsible for operating the executive 

branch of the federal government and for 

executing and enforcing the laws. Although 

the Secretary of Homeland Security 

oversees some law enforcement agencies, 

such as Immigration and Customs 

Enforcement and the Secret Service, the 

Attorney General is the government’s chief 

law enforcement officer. The Attorney 

General heads the U.S. Department 

of Justice and is responsible for the 

administration of the Bureau of Prisons; 

the Federal Bureau of Investigation; the 

Bureau of Alcohol, Tobacco, Firearms and 

Explosives; the U.S. Marshals Service; and 

other law enforcement organizations. The 

Attorney General also holds the authority 

to prosecute crimes and represent the 

government’s legal interests in civil cases. 

To serve as an adjunct to the Attorney 

General, the president appoints a U.S. 

attorney to serve as the chief prosecutor 

in each of the 94 federal judicial districts. 

The U.S. attorneys report to the Attorney 

General and may be removed from office 

by the president.

The judicial Power of the United States, 

shall be vested in one supreme Court, 

and in such inferior Courts as the 

Congress may from time to time ordain 

and establish. The Judges, both of the 

supreme and inferior Courts, shall hold 

their Offices during good Behaviour, 

and shall, at stated Times, receive for 

their Services, a Compensation, which 

shall not be diminished during their 

Continuance in Office.

U.S. Constitution, Article III
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The Constitution protects the 

independence and integrity of the judicial 

branch in two principal ways. First, 

federal judges appointed under Article 

III of the Constitution may serve for life 

and may only be removed from office 

through impeachment and conviction 

by Congress for “Treason, Bribery, or 

other high Crimes and Misdemeanors.” 

Second, the Constitution provides that the 

compensation of Article III federal judges 

“shall not be diminished during their 

Continuance in Office,” which means that 

neither the president nor Congress can 

reduce the salaries of most federal judges. 

These two protections help an independent 

judiciary to decide cases free from popular 

passion and political influence.

role in enforcing the laws—that is the role 

of the president and the executive branch 

departments and agencies. 

The courts interpret the law by issuing 

judgments on actual legal disputes 

brought before them by adversarial parties. 

Federal judges also interpret and issue 

rulings on the constitutionality of laws 

when parties to a dispute challenge a 

law’s constitutionality. The federal courts 

are often called the guardians of the 

Constitution, because court rulings protect 

the rights and liberties guaranteed by the 

Constitution. 
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................5

THE ROLE OF THE 

FEDERAL COURTS 

IN AMERICAN 

GOVERNMENT

THE FEDERAL COURTS AND 

CONGRESS 

Congress has four basic responsibilities 

under the Constitution that determine how 

the federal courts will operate. First, the 

legislature authorizes the creation of all 

federal courts below the Supreme Court, 

defines the jurisdiction of the courts, and 

decides how many judges there should 

be for each court. Second, Congress 

approves the federal courts’ budget and 

appropriates money each year to fund 

the judiciary. The judiciary’s budget is a 

very small part—about two-tenths of one 

percent—of the entire federal budget. 

Third, through the confirmation process, 

the Senate determines which of the 

president’s judicial nominees ultimately 

become federal judges. Fourth, judges 

appointed under Article III of the U.S. 

Constitution may only be involuntarily 

removed from office after being impeached 

by the House of Representatives and 

convicted of treason, bribery, or other high 

crimes and misdemeanors in a trial before 

the Senate. 

THE FEDERAL COURTS AND 

THE EXECUTIVE BRANCH

Under the Constitution, the president 

nominates Article III constitutional judges 

to a lifetime appointment, subject to 

approval by the Senate. The president 

usually consults senators or other elected 
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officials concerning potential candidates 

for vacancies on the federal courts. 

The president’s power to appoint new 

federal judges is not the judiciary’s only 

interaction with the executive branch. 

The Department of Justice, which is 

responsible for prosecuting federal crimes 

and for representing the government in 

civil cases, is the most frequent litigator 

in the federal court system. Executive 

branch agencies also assist the judiciary 

with certain administrative operations. 

The U.S. Marshals Service, for example, 

provides security for federal courthouses 

and judges, and the General Services 

Administration builds and maintains 

federal courthouses.

Military courts, a number of specialized 

subject-matter tribunals, and some 

executive agencies adjudicate disputes in 

the first instance involving specific federal 

laws and benefits programs. These bodies 

are not part of the judiciary established 

under Article III of the Constitution, so 

their jurisdiction is limited. Administrative 

law judges and non-judiciary tribunals are 

limited to resolving disputes on questions 

arising from matters such as the tax laws; 

patent and copyright laws; labor laws; 

social security statutes and regulations; 

approval of radio and TV licenses; and 

the like. Appeals of final decisions in 

these cases typically may be taken to the 

Article III courts.

THE FEDERAL COURTS AND 

THE PUBLIC

With few exceptions, the federal judicial 

process is open to the public. Federal 

courthouses are designed to provide public 

access to court proceedings and inspire 

respect for the tradition and purpose of 

the American judicial process. In addition, 

many courthouses are historic buildings 

or landmark examples of contemporary 

architecture.

A citizen who wishes to observe a court 

session may go to a federal courthouse, 

check the court calendar, which is posted 

on a bulletin board or electronic kiosk, 

and watch almost any proceeding. Anyone 

may review a case file using an electronic 

access terminal at the clerk of court’s office. 

Court schedules, dockets, judgments, 

opinions, and pleadings are also available 

to the public in electronic form through the 

internet. 

Limited radio or television coverage of 

arguments before the appellate courts is 

available in some federal courts, but, unlike 

most state courts, the federal courts do not 

permit broadcast coverage of most trials. 

The right of public access to court 

proceedings is partly derived from the 

Constitution and partly from court and 

common-law tradition. By conducting their 

judicial work in public view, judges enhance 

public confidence in the courts, allow 

citizens to learn firsthand how our judicial 

system works, and facilitate development 

of the law.

Although there is a very strong 

presumption that all court records and 

proceedings are open to the public, in 

some situations public access may be 

limited. In a high-profile trial, for example, 

there may not be enough space in the 

courtroom to accommodate everyone 

who would like to observe. The court may 

also restrict access to the courtroom for 

security or privacy reasons, such as when 

a juvenile or a law enforcement informant 
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is testifying. Finally, certain documents 

may be placed under seal by the judge, 

meaning that they are not available to the 

public. Examples of sealed information may 

include confidential business records, law 

enforcement reports, criminal investigation 

documents, juvenile records, and cases 

involving national security issues.
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THE STRUCTURE 

OF THE FEDERAL 

COURTS

The federal courts have jurisdiction to 

hear a broad variety of cases. The same 

federal judges handle civil and criminal 

cases; public law and private law disputes; 

cases involving individuals, corporations, 

and government entities; appeals from 

administrative agency decisions; and law 

and equity matters. All federal judges 

have the authority to decide issues 

regarding the constitutionality of laws and 

governmental actions that arise in their 

cases. The United States does not have a 

separate system of constitutional courts.

TRIAL COURTS

The U.S. district courts are the principal 

trial courts in the federal system. The 

district courts have jurisdiction to hear 

nearly all categories of federal cases. There 

are 94 federal judicial districts, including 

one or more in each state, the District of 

Columbia, and Puerto Rico. In the U.S. 

territories of Guam, the Commonwealth 

of the Northern Marianna Islands, and 

the U.S. Virgin Islands, similarly structured 

territorial district courts act as the federal 

trial courts. 

Each U.S. judicial district includes a 

bankruptcy court operating as a unit of 

the district court. The bankruptcy court 

has jurisdiction over almost all matters 

involving insolvency cases, except criminal 

issues. Once a case is filed in a bankruptcy 

court, related matters pending in other 

federal and state courts may be removed 

to the bankruptcy court. The bankruptcy 
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................9

trial by a jury in many categories of cases, 

including: (1) all criminal prosecutions 

except petty offenses; (2) civil cases in 

which the right to a jury trial applied 

under English law at the time of American 

independence; and (3) cases in which the 

Congress has expressly provided for the 

right to trial by jury.

In the U.S. territories of Guam, the 

Northern Marianna Islands, and the U.S. 

Virgin Islands, territorial district courts 

hear trials on matters arising under federal 

law and resolve bankruptcy cases. These 

jurisdictions may limit the application of 

U.S. constitutional provisions in favor of 

conflicting local laws (such as laws limiting 

courts are administratively managed by 

bankruptcy judges.

Two special trial courts in the U.S. 

federal judiciary have nationwide 

jurisdiction. The U.S. Court of International 

Trade addresses cases involving 

international trade and customs issues. The 

U.S. Court of Federal Claims has jurisdiction 

over disputes involving federal contracts, 

the taking of private property by the 

federal government, and a variety of other 

monetary claims against the United States.

Trial court proceedings are normally 

conducted by a single judge, sitting alone 

or with a jury of citizens as finders of fact. 

The U.S. Constitution provides for a right to 

Geographic Boundaries of the United States Courts of Appeals 

and the United States District Courts
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the right to trial by jury). Territorial district 

judges also serve term appointments and 

can be removed from office for cause. 

APPELLATE COURTS

The 94 judicial districts are organized 

into 12 regional circuits, each of which 

has a U.S. court of appeals. A court of 

appeals hears appeals from the district 

courts located within its circuit, as well as 

appeals from certain federal administrative 

agencies. In addition, the U.S. Court 

of Appeals for the Federal Circuit has 

nationwide jurisdiction to hear appeals in 

specialized cases, such as those involving 

patent laws and cases decided by the U.S. 

Court of International Trade or the U.S. 

Court of Federal Claims.

Litigants have a right of appeal in every 

federal case in which a district court enters 

a final judgment. For a court of appeals to 

review a matter, one or more parties to a 

case must file a timely appeal challenging 

the lower court’s decision. When an appeal 

is filed, a three-judge panel of the court of 

appeals typically reviews the decision. The 

court of appeals does not hear additional 

evidence and normally must accept the 

factual findings established by the trial 

court. If additional fact finding is necessary, 

the court of appeals may remand the 

case to the trial court or administrative 

agency for further development of the 

record. Remand is unnecessary in most 

cases, however, and the court of appeals 

either affirms or reverses the lower court 

or agency decision in a written order or 

opinion.

In cases of unusual importance, a court 

of appeals may vote to sit “en banc” to 

review the decisions of a three-judge panel. 

The United States 

Federal Courts

Supreme Court

United States Supreme Court

Appellate courts

U.S. Courts of Appeals (12 regional 

courts of appeals and the national 

jurisdiction Court of Appeals for the 

Federal Circuit)

Trial courts

U.S. District Courts (94 judicial districts 

and the U.S. bankruptcy courts)

U.S. Court of International Trade

U.S. Court of Federal Claims

Other federal tribunals that are not 

within the judicial branch

Military Courts (trial and appellate)

U.S. Court of Appeals for Veterans 

Claims

United States Tax Court 

Administrative agency offices and 

boards
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During an en banc sitting, all the appellate 

judges in the circuit will normally come 

together to rehear a case. The full court will 

then either affirm or reverse the panel with 

an en banc decision. The largest courts 

of appeals may split themselves into two 

en banc panels that operate in the same 

manner.

THE UNITED STATES 

SUPREME COURT

The U.S. Supreme Court is the highest 

court in the United States. The Court 

consists of the Chief Justice of the United 

States and eight Associate Justices. The 

Court sits en banc, with all nine justices 

hearing and deciding cases together, unless 

one of the justices does not participate in 

the case for some reason, such as an ethics 

conflict.

The Supreme Court’s caseload consists 

of matters assigned to the Court and 

a small number of carefully selected 

discretionary cases. The Constitution and 

federal law provide that the Supreme Court 

will act as the court of first instance or 

exercise mandatory appellate review in a 

few designated cases, such as boundary 

disputes between the states. The remainder 

of the Supreme Court docket is determined 

electively when at least four Supreme 

Court justices agree to hear a case. The 

Court typically selects cases that present 

an important constitutional question 

or issue of federal law that needs to be 

clarified, such as when the regional courts 

of appeals “split” on a question of law and 

issue contradictory rulings. 
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THE JURISDICTION 

OF THE FEDERAL 

COURTS

RELATIONSHIP BETWEEN 

THE STATE COURTS AND THE 

FEDERAL COURTS

Although federal courts are located in 

every state, they are not the only forum 

available to litigants. In fact, the great 

majority of legal disputes in American 

courts are addressed in the separate state 

or local court systems. Most of the state 

or local court systems, like the federal 

judiciary, have trial courts of general 

jurisdiction, intermediate appellate courts, 

and a supreme court. They may also have 

specialized lower level courts, county 

courts, municipal courts, small claims 

courts, or justices of the peace to handle 

minor matters.

The state courts have jurisdiction 

over a wider variety of disputes than the 

federal courts. State courts, for example, 

have jurisdiction over virtually all divorce 

and child custody matters, probate and 

inheritance issues, real estate questions, 

and juvenile matters. Most criminal cases, 

contract disputes, traffic violations, and 

personal injury cases are also resolved in 

the state courts.

Federal courts decide cases that 

involve the U.S. government or its officials, 

the U.S. Constitution or federal laws, or 

controversies between states or between 

the United States and foreign governments. 

A case also may be filed in federal court—

even if no question arising under federal 

law is involved—if the litigants are citizens 

of different states or the dispute arises 
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between citizens of the United States and 

those of another country.

In the initial stages of any lawsuit the 

plaintiff must assert the legal basis for 

the court’s jurisdiction over the case and 

the court must make an independent 

determination that it has jurisdiction to 

address the case. If a case is filed initially in 

a federal court, but the court determines 

that it lacks jurisdiction to adjudicate, the 

case must be dismissed. Under certain 

circumstances, a case that was improperly 

filed in federal court may be “remanded” 

to a state court that has jurisdiction to hear 

the case. Conversely, a case that was filed 

in a state court may, if certain conditions 

are met, be “removed” to a federal court.

The federal and state courts are 

required to extend “full faith and credit” 

to each other’s respective judgments. 

But under the Supremacy Clause of the 

Constitution, a federal law preempts any 

conflicting state law.

TYPES OF CASES THAT MAY 

BE FILED IN THE FEDERAL 

AND STATE COURTS

The table on page 14 gives some 

examples of the cases that may be 

addressed exclusively in the state courts 

or in the federal courts, as well as some 

examples of concurrent jurisdiction (cases 

that may be heard in either state or federal 

court).
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crimes under state legislation 

state constitutional issues and 

cases involving state laws or 

regulations 

family law issues 

real property issues 

landlord and tenant disputes 

most private contract disputes 

(except those resolved under 

bankruptcy law) 

most issues involving the 

regulation of trades and 

professions

most professional malpractice 

issues 

most issues involving the 

internal governance of 

business associations, such as 

partnerships and corporations 

most personal injury lawsuits 

most workers’ injury claims 

probate and inheritance 

matters 

most traffic violations

crimes under statutes enacted 

by Congress

most cases involving federal 

laws or regulations (e.g., tax, 

Social Security, broadcasting, 

civil rights)

matters involving interstate 

and international commerce, 

including airline and railroad 

regulation

cases involving securities 

and commodities regulation, 

including takeovers of publicly 

held corporations

admiralty cases

international trade law matters

patent, copyright, and other 

intellectual property issues

cases involving rights under 

treaties, foreign states, and 

foreign nationals

state law disputes when 

“diversity of citizenship” exists

bankruptcy matters

disputes between states

habeas corpus actions

traffic violations and crimes 

occurring on certain federal 

property 

crimes punishable under both 

federal or state law 

federal constitutional issues 

certain civil rights claims 

“class action” cases

environmental regulation 

certain disputes involving 

federal law 

Examples of Jurisdiction in the Federal and State Courts

STATE COURTS FEDERAL COURTS STATE OR FEDERAL 

COURTS
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................15

UNITED STATES 

FEDERAL JUDGES

APPOINTMENT OF JUDGES

Article III Judges

Justices of the Supreme Court, judges 

of the courts of appeals and the district 

courts, and judges of the U.S. Court 

of International Trade are appointed 

under Article III of the Constitution and 

essentially may serve for life. Article III 

judges are nominated and appointed by 

the president of the United States and 

must be confirmed by the Senate. The 

judiciary plays no role in the political 

process surrounding the nomination or 

confirmation of judges.

The primary criterion for appointment 

to a federal judgeship is a person’s total 

career and academic achievements. No 

examinations are administered to judicial 

candidates. Rather, a person seeking a 

judgeship is required to complete a lengthy 

set of forms that set forth in detail his 

or her personal qualifications and career 

accomplishments, including such matters 

as academic background, job experiences, 

public writings, intellectual pursuits, legal 

cases handled, and outside activities. 

Candidates also are subject to extensive 

interviews, background investigations, 

and follow-up questioning prior to their 

nomination.

Politics may be an important factor 

in the appointment of Article III judges. 

Nominees are normally selected by the 

president from a list of candidates provided 

by senators or other office holders within 

the state in which the appointment is to 
16............................................................................................................................The Administrative Office of the U.S. Courts

be made. Article III judges are nominated 

by the president, usually from among the 

ranks of prominent practicing lawyers, 

lower federal court judges, state court 

judges, or law professors who reside within 

the district or circuit where the court sits. 

The president’s nominee must appear in 

person at a hearing before the Senate 

Judiciary Committee, and the Senate votes 

to confirm each judge. 

Each federal judge is appointed to 

fill a specified, authorized judgeship in a 

particular district or circuit. Judges have 

no authority to hear cases in another 

federal jurisdiction unless they are formally 

designated and assigned to the other court 

as a visiting judge. Courts seek assistance 

from visiting judges to manage temporary 

increases in caseloads, cases that present 

a conflict of interest for local judges, or 

backlogs that result from unfilled judicial 

vacancies. 

Once appointed, the Constitution gives 

Article III judges two key protections—

lifetime appointment and the guarantee 

that their pay will not be decreased while 

they are in office. The Constitution’s 

protections limit the political pressures 

on the judicial branch and give judges 

some protection when they issue 

unpopular decisions. To complement these 

protections, Article III judges can only be 

removed from office for “high crimes and 

misdemeanors” by Congress through the 

impeachment process. However, judges can 

be prosecuted for criminal conduct while in 

office. 

Other Federal Judges

In addition to the judgeships 

established under Article III of the U.S. 

Constitution, the judicial branch includes 

U.S. Court of Federal Claims judges, 

bankruptcy judges, and magistrate judges 

who exercise specific authorities delegated 

to them by Congress or assigned to them 

by the district courts. 

U.S. Court of Federal Claims judges 

are appointed for terms of 15 years by the 

president, subject to confirmation by the 

Senate, and they can be removed from 

office for cause by a majority vote of the 

judges of the U.S. Court of Appeals for the 

Federal Circuit. 

Bankruptcy judges and magistrate 

judges are judicial officers of the district 

courts, appointed by the courts of appeals 

and the district courts, respectively. The 

courts select bankruptcy and magistrate 

judges after evaluating applicants with 

the assistance of merit selection panels 

composed of local lawyers and other 

citizens. 

Bankruptcy judges serve 14-year terms, 

while magistrate judges are appointed 

for 8-year terms. Before reappointing 

a bankruptcy or magistrate judge, the 

court must publish a public notice 

seeking comments on the incumbent’s 

performance. The appointing court 

then convenes a panel to consider 

public comments and make a meritbased recommendation on whether the 

incumbent should be reappointed. During 

their term of service, bankruptcy and 

magistrate judges may also be removed 

for cause by a majority of the judges of the 

appointing court. 

State Judges

State judges handle most cases in the 

United States, but they are not part of the 

federal court system. Rather, state court 

judges are a part of state court systems 
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................17

percent of the judge’s salary. Furthermore, 

judges may not engage in political activity, 

the practice of law, or business activity 

(except investments).

Judges may request specific guidance 

on ethical issues from the Judicial 

Conference’s Committee on Codes of 

Conduct. The Committee’s judges are 

authorized to draft the codes of conduct 

and render written advisory opinions to 

judges and court employees interpreting 

the code. The Committee also publishes 

selected advisory opinions based on the 

facts presented in common inquiries. The 

published opinions summarize a case 

and do not identify any particular judge. 

The advisory opinions are made available 

within the judiciary and are posted on the 

courts’ public website.

established by state governments. Like 

federal judges, state judges are required 

to support the U.S. Constitution and 

may invalidate state laws that they find 

inconsistent with the Constitution. State 

judges are selected in several ways, 

according to state constitutions and 

statutes. In most states, judges are either 

selected by popular vote in a general 

election or initially appointed by the state 

governor and later subject to a vote on 

retention in the general election. 

FEDERAL JUDICIAL ETHICS

By statute, federal judges may not 

hear cases in which they have personal 

knowledge of the disputed facts, a 

personal bias concerning a party to the 

case, any earlier involvement in the case 

as a lawyer, or a financial interest in any 

party or subject matter of the case. Federal 

judges also are subject to the Code of 

Conduct for U.S. Judges, a set of ethical 

principles and guidelines adopted by the 

Judicial Conference of the United States. 

The Code of Conduct—and the opinions 

interpreting it—provide guidance for 

judges on issues of judicial integrity and 

independence, judicial diligence and 

impartiality, permissible extrajudicial 

activities, and the avoidance of impropriety 

or the appearance of impropriety.

The Code of Conduct encourages 

judges to engage in activities to improve 

the law, the legal system, and the 

administration of justice. Indeed, federal 

judges have a distinguished history of 

service to the legal profession through 

their writing, speaking, and teaching. 

Income from teaching and similar outside 

activities is limited to approximately 15 

The Code of Conduct for 

United States Judges

A judge should uphold the integrity 

and independence of the judiciary.

A judge should avoid impropriety and 

the appearance of impropriety in all 

activities.

A judge should perform the duties 

of the office fairly, impartially, and 

diligently.

A judge may engage in extrajudicial 

activities that are consistent with the 

obligations of judicial office.

A judge should refrain from political 

activity.
18............................................................................................................................The Administrative Office of the U.S. Courts

In addition to peer regulation under 

the judiciary’s ethics rules, federal laws 

enable broad public scrutiny of any 

potential conflicts of interest presented 

by judges’ financial holdings. A federal 

statute requires all judges—as well as 

other high-level government officials—to 

file annual financial disclosure statements 

that list their assets, liabilities, positions, 

gifts, and reimbursements (and those of 

their spouses and minor children). The 

disclosure statements for federal judges 

and certain judicial branch officials are 

maintained by the Administrative Office 

and are available to the public on request. 

Public interest groups, journalists, and 

publishing companies often request 

copies of the reports and post them on 

the internet so that the public, particularly 

litigants, can search for potential conflicts 

presented by judges’ finances. 

JUDGES’ COMPENSATION

Federal judges receive salaries and 

benefits set by Congress. Judicial salaries 

and employment benefits are comparable 

to those received by Members of Congress 

and other senior government officials. 

The Constitution provides that the 

compensation of an Article III federal judge 

may not be reduced during the judge’s 

service.

SENIOR AND RETIRED 

JUDGES

Court of appeals, district court, and 

U.S. Court of International Trade judges 

have life tenure under Article III of the 

Constitution. They are, therefore, not 

required to retire at any age. Life tenured 

judges may voluntarily elect to retire from 

active service on full salary if they are at 

least 65 years old and meet certain years 

of service requirements. Most Article III 

judges who retire continue to hear cases on 

a full or part-time basis as “senior judges.” 

Retired bankruptcy judges, magistrate 

judges, and U.S. Court of Federal Claims 

judges also may be “recalled” to active 

service. Without the service donated by 

senior and retired judges, the judiciary 

would need many more judges to handle 

its cases. 

JUDICIAL EDUCATION

Federal judges are not required to 

attend judicial training before they are 

appointed. Judges may elect to attend 

orientation programs on substantive 

legal topics, the art of judging, and 

case management shortly after they are 

appointed and throughout their judicial 

careers. The new judges’ orientation 

and other legal education programs are 

sponsored by the Federal Judicial Center 

(FJC), the judicial branch’s principal 

research and training resource. The 

FJC also develops a number of special 

focus programs on new legislation, 

developments in case law, and specific 

judicial skills, often in conjunction with 

law schools. The programs address 

specific areas of the law in depth, such 

as intellectual property and the use of 

scientific evidence. In addition to live 

seminars and workshops, the FJC produces 

videos, audio programs, manuals, and 

other materials to assist judges.
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................19

JUDGES’ STAFF

In addition to court staff appointed by 

the court as a whole, each judge is allowed 

to hire a small personal staff known 

as “chambers” staff. Judges may hire a 

secretary or judicial assistant to help them 

with administrative matters and law clerks 

to help them review records, research legal 

issues, and draft papers. Chambers staff is 

subject to the ethical restrictions contained 

in the Code of Conduct for Judicial 

Employees.

The duties of chambers staff vary 

depending on the particular work and 

management preferences of each judge 

or court. Judges carefully supervise and 

review the work of their chambers staff. By 

using their staff to conduct legal research 

and other tasks that do not involve 

exercising the discretionary powers of a 

judge, each judge is better able to perform 

the tasks of judging.

The Administrative Office conducts 

administrative training programs for judges 

on the use of technology and management 

issues such as pay and benefits, hiring 

staff, judicial branch organization and 

governance, judicial ethics, and personal 

security. The Administrative Office also 

offers special orientation programs on 

management and operations for new chief 

judges.

The FJC, the Administrative Office, and 

the U.S. Sentencing Commission jointly 

operate a television network that streams 

daily education and information programs 

for judges and court staff. In addition, 

several individual courts conduct in-house 

orientation and mentoring programs 

for new judges, as well as roundtable 

discussions or other substantive programs 

for all judges.
20............................................................................................................................The Administrative Office of the U.S. Courts

DISTINCTIVE 

FEATURES OF 

THE AMERICAN 

JUDICIAL SYSTEM

THE ADVERSARY SYSTEM

The litigation process in U.S. courts 

is referred to as an “adversary” system 

because it relies on the litigants to 

present their dispute before a neutral 

fact finder. According to American legal 

tradition, inherited from English common 

law, the clash of adversaries allows the 

jury or judge to determine the truth and 

resolve the dispute. In some other legal 

systems, judges or magistrates conduct 

investigations to find relevant evidence or 

obtain testimony from witnesses. In the 

United States, however, litigants and their 

attorneys collect evidence and prepare 

it for trial, without assistance from the 

court. The essential role of the judge is to 

structure and regulate the development 

of issues by adversaries and to ensure that 

the law is followed and fairness is achieved.

THE COMMON-LAW SYSTEM

The American judicial process is 

based largely on the English common law 

system. In a common law system, legal 

interpretations and distinctions recognized 

in court rulings establish precedents that 

become binding on lower courts in the 

jurisdiction. Rather than remaining a fixed 

body of legal rules, as in the codes of civil 

law systems, precedent allows the law to 

develop over time, yet remain predictable. 

In the past century, Congress has 

passed elaborately detailed statutes 

in most areas of federal law. The 
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................21

comprehensive statutes, sometimes 

referred to as “codes,” establish legal 

principles and specific provisions governing 

most aspects of a particular field of law. 

These bodies of statutory law include, for 

example, the Bankruptcy Code, the Internal 

Revenue Code, the Social Security Act, the 

Securities Act, and the Securities Exchange 

Act. The states have also adopted various 

comprehensive codes, such as the Uniform 

Commercial Code. These statutes are often 

further developed and interpreted by 

implementing regulations promulgated by 

federal and state administrative agencies.

Despite the adoption of comprehensive 

codes and the general growth of statutory 

law over the last century, the American 

courts continue to interpret statutes and 

regulations as common law, or according 

to “precedent.” Thus, for example, a 

bankruptcy court applying the Bankruptcy 

Code will consult relevant case law to 

determine whether there are Supreme 

Court or court of appeals rulings governing 

how a particular code section should 

be applied in certain situations. Lawyers 

who appear before the court may then 

argue that the facts in their case are 

similar to those in a case that resulted in a 

favorable ruling, or they could argue that 

an unfavorable precedent does not apply 

because the factual and legal situation 

in their case is critically distinct from the 

precedent. 

All judges in the United States, 

regardless of the level of the court in which 

they sit, exercise the power of judicial 

review. While judges normally presume 

the laws or actions that they are reviewing 

are valid, they will invalidate statutes, 

regulations, or executive actions that they 

find to be clearly inconsistent with the 

U.S. Constitution. All judges are required 

to place the Constitution above all other 

laws. Judges will, therefore, not only abide 

by precedent in interpreting statutes, 

regulations, and actions by members of the 

executive branch, but will seek to interpret 

them consistently with the Constitution.

FEES AND COSTS OF 

LITIGATION

Another characteristic of the American 

judicial system is that litigants typically 

pay their own costs of litigation whether 

they win or lose. The federal courts 

charge litigants moderate fees when they 

initiate a case, submit subpoenas, and 

in relation to certain other filings with 

the court. Most fees are set by Congress. 

Civil plaintiffs who cannot afford to pay 

court fees may seek permission from the 

court to proceed without paying those 

fees. Other costs of litigation, such as 

attorneys’ and experts’ fees, are more 

substantial. In some categories of civil 

cases, including cases alleging certain civil 

rights violations, a winning plaintiff may 

recover attorney costs from the defendant. 

In criminal cases, the government pays 

the costs of investigation and prosecution. 

The court also provides a governmentfunded attorney, necessary experts, and 

investigators to any criminal defendant 

who is unable to afford an attorney.

EXECUTION OF JUDGMENTS

Execution and enforcement of 

judgments is the responsibility of the 

parties to the litigation, not the courts. 
22............................................................................................................................The Administrative Office of the U.S. Courts

In criminal cases, the U.S. Marshals 

Service (an organization within the 

executive branch’s Department of Justice) 

is responsible for prisoners sentenced 

to incarceration until they are delivered 

to the Bureau of Prisons (also within the 

Department of Justice). Defendants may 

also be ordered to pay a fine. Any fines 

are paid to the clerk of court who records 

the transaction and processes the money 

as specified in the court order. Should the 

defendant fail to pay a required fine, the 

Department of Justice will enforce the 

court order by pursuing actions to collect 

the money.

In civil cases, the parties themselves 

are responsible for executing court orders. 

Money judgments are frequently covered 

by insurance, and in those cases insurance 

companies are usually quick to resolve the 

details of enforcing the judgment. 

Individuals attempting to enforce a 

judgment against an uncooperative party 

have several options. In general, a civil 

judgment becomes a lien attached to any 

real property of the losing party, and the 

judgment earns interest at a specified rate 

of return until it is collected. In federal 

court, the winning party may obtain the 

assistance of the court to examine the 

debtor and protect property in the debtor’s 

possession. A winning party may also apply 

to a state court for assistance in enforcing 

a federal court judgment through state law 

remedies such as garnishing the wages or 

attaching the assets of the losing party. 

PROCEDURAL RULES FOR 

CONDUCTING LITIGATION

The Rules Enabling Act of 1934 gives 

the federal judiciary the responsibility to 

issue rules of procedure and evidence 

that govern all federal court proceedings. 

Under the Act’s authority, the judiciary 

has established federal rules of evidence, 

and rules of civil, criminal, bankruptcy, 

and appellate procedure. The rules are 

designed to eliminate unjustifiable expense 

and delay and to promote simplicity, 

fairness, and the just determination of 

litigation. Committees of judges, lawyers, 

and academics appointed by the Chief 

Justice draft the rules. The Administrative 

Office publishes the draft rules for public 

comment, the Judicial Conference of the 

United States then approves the rules, and 

the Supreme Court formally promulgates 

the rules. Congress has a limited period of 

time to review the rules and vote to reject 

or modify them before they enter into 

force.

REPORTING OF JUDICIAL 

PROCEEDINGS

All trial and pretrial proceedings 

conducted in open court are recorded by 

a court reporter or sound equipment. The 

court reporter is a person specially trained 

to record all testimony and produce a 

word-for-word account of court action 

called a transcript. A certified written 

transcript may be prepared from the court 

reporter’s record or a sound recording 

if necessary for the appeal of a court’s 

decision, or upon request by one of the 

litigants or another person. The party 
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................23

In addition to court-initiated 

distribution, private legal publishing 

companies and research services, such 

as Westlaw and Lexis/Nexis, make court 

opinions, statutes, and other legal materials 

available to the public on a commercial 

basis. Law schools and other organizations 

also collect court opinions, mainly from the 

courts of appeals, and make them available 

on the internet. Examples of collections 

of Supreme Court and courts of appeals 

opinions include:

FindLaw’s Cases and Codes section: 

http://www.findlaw.com/casecode/

Cornell University Law School’s Legal 

Information Institute: 

http://www.law.cornell.edu

The justia.com U.S. Law page: 

http://law.justia.com/

requesting a transcript must pay a fee to 

cover the costs of preparing the transcript. 

PUBLICATION OF COURT 

OPINIONS

Common-law courts rely on judicial 

precedent to interpret and apply the law, 

so it is vital for judicial opinions on current 

legal issues to be readily available to 

courts and lawyers facing similar issues. 

As a result, nearly all opinions and orders 

are open public records. Access to these 

records is constantly improving as a result 

of technology. Judges now enter most 

orders and opinions electronically so that 

attorneys receive notice of court action 

via system-generated email messages. 

Electronically docketed materials are also 

available to the public one day after they 

are entered. 

The federal courts’ electronic docketing 

system allows the public to access court 

records in multiple ways. The judiciary’s 

internet-based system, Public Access to 

Court Electronic Records (PACER, www.

pacer.gov), is an online service that allows 

users to obtain free access to orders and 

opinions from federal appellate, district, 

and bankruptcy courts, and to search a 

national index of case and party names. 

Additional case and docket information on 

PACER can be accessed for a nominal fee. 

Courts also make their opinions available 

to the public at no cost by directly posting 

them to their public websites or providing 

them to a free document repository 

maintained by the Government Printing 

Office. Most documents are also still 

available for review and printing at any 

courthouse.
24............................................................................................................................The Administrative Office of the U.S. Courts

THE FEDERAL 

JUDICIAL PROCESS 

IN BRIEF

CIVIL CASES

A federal civil case involves a legal 

dispute between two or more parties. To 

begin a civil lawsuit in a federal court, 

the plaintiff files a document called a 

“complaint” with the court and “serves” a 

copy of the complaint on the defendant. 

The complaint is a short statement 

that describes the plaintiff’s injury or 

other legal claim and explains how the 

defendant caused the injury or damage. 

The complaint states a basis for the 

court’s jurisdiction and asks the court to 

order relief. A plaintiff may seek monetary 

compensation for damages or ask the 

court to order the defendant to stop the 

conduct that is causing the harm. The court 

may also order other types of relief, such 

as a declaration of the legal rights of the 

plaintiff in a particular situation.

To prepare a case for trial, the litigants 

may conduct “discovery.” In discovery, 

the litigants must provide information to 

each other about the subject matter of 

the case, such as the identity of witnesses, 

the expected testimony of the witnesses, 

and copies of any documents related to 

the case. The purpose of discovery is to 

prepare for trial and to prevent surprises 

at trial by requiring the litigants to 

assemble their evidence and prepare to 

call witnesses before the trial begins. The 

scope of discovery is broad, and the parties 

themselves conduct discovery under the 

procedural rules of the courts. Judges are 
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................25

involved only to the extent necessary to 

oversee the process and to resolve disputes 

brought to their attention by the parties.

The discovery process often includes 

taking “depositions.” In a deposition, 

lawyers question a witness about the case 

and the witness is required to answer under 

oath and on the record, in the presence of 

a court reporter. Another discovery tool is 

the “interrogatory,” a written question one 

party submits to another. Interrogatories 

must also be answered under oath, and 

in writing. A third common method of 

discovery allows a party to demand that 

another party produce documents and 

other materials within its custody or control 

or permit entry onto their property for 

inspection or other purposes relating to 

the litigation.

Each side may file requests, or 

“motions,” with the court seeking rulings 

on various legal issues. Some motions 

ask for a ruling that determines whether 

the case may proceed as a matter of law. 

A “motion to dismiss,” for example, may 

argue that the plaintiff has not stated a 

claim under which relief may be granted 

under the law, or that the court does 

not have jurisdiction over the parties or 

the claim at issue, and therefore lacks 

the power to adjudicate. A “motion for 

summary judgment” argues that there 

are no disputed factual issues for a jury to 

resolve, and urges the judge to decide the 

case based solely on the legal issues. Other 

motions focus on the discovery process, 

addressing disputes over what information 

is subject to the discovery rules, protecting 

the private or privileged nature of certain 

information, or urging the court to 

preserve evidence for use at trial. Motions 

may also address procedural issues such as 

the proper venue for the case, the schedule 

for discovery or trial, or the procedures to 

be followed at trial.

As a result of ongoing civil justice 

reforms, each district court must have a 

formal plan to encourage civil litigants to 

consider an alternative dispute resolution 

(ADR) process at an appropriate time 

during the litigation of their case. To 

avoid the expense and delay of having 

a trial, most judges conduct settlement 

conferences with the parties. Under a 

court’s ADR plan, the judge may refer a 

case to a trained mediator or arbitrator to 

facilitate an agreement. Magistrate judges 

may act as the mediator or arbitrator in 

many courts. As a result, litigants often 

decide to resolve a civil lawsuit with a 

“settlement,” a contractual agreement 

between the parties that resolves their 

dispute. Most civil cases are terminated by 

settlement or dismissal without a trial.

If a case is not settled, the court will 

proceed to a trial. In a wide variety of civil 

cases, either side is entitled under the U.S. 

Constitution to request a jury trial. If the 

parties waive their right to a jury trial, the 

case will be decided by a judge without a 

jury.

During trial, witnesses testify by 

answering attorneys’ questions under oath. 

The judge supervises the questioning and 

ensures that it complies with the formal 

rules of evidence that are designed to 

assure fairness, reliability, and the accuracy 

of testimony and documents. At the 

conclusion of the evidence, each side gives 

a closing argument. If a case is tried before 

a jury, the judge will instruct the jury on 

the law and tell the jury what facts and 

issues it must resolve. If the case is tried 

by a judge without a jury, the judge will 

decide both the facts and the law in the 

case. In a civil case, the burden of proof 
26............................................................................................................................The Administrative Office of the U.S. Courts

lies with the plaintiff, who must convince 

the jury (or the judge if there is no jury) 

by a “preponderance of the evidence” (i.e., 

that it is more likely than not) that the 

defendant is legally responsible for any 

harm that the plaintiff has suffered.

CRIMINAL CASES

The U.S. courts play no active role in 

criminal investigations. The judiciary’s 

role in the criminal justice process is to 

apply the law, make legal and factual 

decisions, and issue necessary orders. 

The Department of Justice and other law 

enforcement agencies in the executive 

branch of government investigate and 

prosecute crimes.

The adversarial process in a criminal 

case is governed by the Federal Rules 

of Criminal Procedure. The parties 

in a criminal case are the United 

States (through the U.S. attorney—

the Department of Justice prosecutor 

representing the government) and the 

defendant or defendants. The public and 

individual crime victims also have some 

recognized rights in a criminal case. In all 

criminal cases, the defendant is presumed 

innocent and the government bears the 

burden of proving the guilt of the accused. 

After a person is arrested, a pretrial 

services officer or probation officer 

immediately interviews the defendant 

and conducts an investigation of the 

defendant’s background. The pretrial 

services and probation officers are 

employees of the court, and judges may 

use the information they collect to rule 

on motions to detain a defendant before 

trial. The court may detain the defendant, 

release the defendant, set bail, or release 

the defendant subject to conditions.

At an initial appearance, a judge 

(normally a magistrate judge) advises the 

defendant of the charges that he or she 

faces, considers whether the defendant 

should be held in custody until trial, and 

determines whether there is “probable 

cause” to believe that an offense has 

been committed and the defendant has 

committed it. 

Defendants who are unable to hire their 

own attorney are advised of their right to 

a court-appointed attorney. Each district 

court, by statute, is required to have a plan 

in place for providing competent attorneys 

to represent defendants who cannot afford 

their own. The court may appoint a federal 

public defender (a full-time federal official 

appointed by the court of appeals), a 

community public defender (a member of 

a community-based legal aid organization 

funded by a grant from the judiciary), or a 

private attorney who has agreed to accept 

such appointments from the court. In all 

these types of appointments, the attorney 

who represents the defendant is paid by 

the court from funds appropriated to the 

judiciary by Congress. 

A defendant must be released while 

awaiting trial unless the government 

shows that he or she poses a flight risk, 

is a danger to any other person or the 

community, or may engage in criminal 

activity during the period of release. Courts 

may impose restrictions or conditions on 

defendants released into the community 

before trial. Conditions may include home 

confinement, drug testing, electronic 

monitoring, or periodic reports to a pretrial 

services officer.
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................27

Under the U.S. Constitution, a felony 

criminal case may only proceed beyond 

the initial stages if the defendant is 

indicted by a grand jury. The grand jury 

reviews evidence presented to it by the 

U.S. attorney and decides whether there is 

sufficient evidence to require a defendant 

to stand trial. The grand jury may act on a 

matter before or after a suspect is arrested.

The defendant enters a plea to the 

charges brought by the U.S. attorney at a 

hearing known as an arraignment. Most 

defendants—more than 90 percent—

plead guilty rather than go to trial. If a 

defendant pleads guilty in return for the 

government agreeing to drop certain 

charges or to recommend a less severe 

sentence, the agreement is called a “plea 

bargain.” The court reviews and usually 

approves most plea bargains, and the 

Federal Rules of Criminal Procedure 

require the presiding judge to question 

the defendant in open court to ensure 

that the plea is voluntary, the defendant 

understands the consequences of the 

plea, and the government has a factual 

basis for the charges. If the defendant 

then pleads guilty, the judge will normally 

accept the plea and schedule the 

sentencing following the completion of a 

presentence investigation. A defendant is 

normally detained pending the sentencing 

determination, unless the judge finds by 

clear and convincing evidence that the 

defendant is not likely to flee or pose a 

danger to others. If the defendant pleads 

not guilty, the judge will schedule a trial.

Criminal trials involve pretrial discovery 

similar to civil case discovery, but with 

restrictions to protect the identity of 

government informants and prevent 

intimidation of witnesses. The attorneys 

may also file pretrial motions challenging 

evidence or seeking to limit testimony 

before the trial. For example, defense 

attorneys often file a motion to suppress 

evidence that the defendant believes was 

obtained by the government in violation of 

the defendant’s constitutional rights. 

In all criminal cases, except petty 

offenses, the defendant has the right to 

a jury trial. The government’s prosecutor 

bears the burden of proof and must 

provide evidence to convince the jury of 

the defendant’s guilt. The standard of proof 

in a criminal trial is much higher than in 

a civil case. The proof must be “beyond 

a reasonable doubt,” which means the 

prosecutor’s evidence must be so strong 

that there is no reasonable doubt that 

the defendant committed the crime. The 

defendant has no obligation to present 

evidence. Throughout the trial, the judge 

decides procedural issues and rules on 

various matters raised by the parties. After 

the government and the defense conclude 

their arguments, the judge instructs the 

jury on the law and the decisions that it 

must make.

The Fifth Amendment of the U.S. 

Constitution prohibits “double jeopardy,” 

or being tried twice for the same offense. 

If a defendant is found not guilty, or 

“acquitted,” the defendant is released and 

the government may not appeal. Nor may 

the defendant be charged again with the 

same crime.

Should the defendant be found guilty, 

the judge will determine the defendant’s 

sentence by considering several sentencing 

factors provided by statute, including 

the nature and circumstances of the 

offense, the history and characteristics 

of the defendant, the kinds of sentences 

available, the U.S. Sentencing Guidelines, 

pertinent policy statements, the need to 
28............................................................................................................................The Administrative Office of the U.S. Courts

avoid unwarranted sentencing disparities, 

and the need to provide restitution. The 

law requires that the judge impose a 

sentence that is sufficient, but not greater 

than necessary to achieve the following 

sentencing purposes:

• to reflect the seriousness of the 

offense, to promote respect for the 

law, and to provide just punishment 

for the offense;

• to afford adequate deterrence to 

criminal conduct;

• to protect the public from further 

crimes of the defendant; and

• to provide the defendant with 

needed education or vocational 

training, medical care, or other 

correctional treatment in the most 

effective manner.

Over the past several years, there 

have been significant changes in federal 

sentencing law. The sentencing guidelines 

were initially designed to be mandatory, 

but in 2005 the U.S. Supreme Court ruled 

that the mandatory guideline scheme 

was unconstitutional. Thus, the courts 

were instructed to treat the guidelines 

as advisory. The sentencing court must 

give respectful consideration to the 

guidelines, but the court may tailor 

the sentence in light of other statutory 

concerns as well. Accordingly, although 

the guidelines provide a starting point and 

the initial benchmark, courts may impose 

sentences within statutory limits based 

on appropriate consideration of all of the 

factors listed in the sentencing statute. See

18 U.S.C. § 3553(a).

Because the sentencing guidelines 

provide the initial benchmark for 

sentencing courts, it is important to 

understand how they operate. The U.S. 

Sentencing Commission, an organization 

within the judicial branch, issues the 

guidelines. 

The guidelines operate by reference to 

a sentencing table that provides sentencing 

ranges determined by “offense level” and 

the offender’s “criminal history category.” 

The top of each sentencing range exceeds 

the bottom by six months or 25 percent 

(whichever is greater).

To calculate a guideline sentence, the 

court will assign most federal crimes to 

one of 43 “offense levels.” The Federal 

Sentencing Guidelines Manual lists 

different categories of point values that are 

combined to set the defendant’s offense 

level. Points are assigned for the base 

offense, different kinds of offense conduct, 

and other factors, such as the offender’s 

role in the offense, or crimes targeting 

individuals because of their vulnerability, 

race, color, religion, national origin, 

ethnicity, gender, gender identity, disability, 

or sexual orientation. 

Once the offense level is set, each 

offender is assigned to one of six “criminal 

history categories” based upon the extent 

and recency of the individual’s past 

misconduct. 

As a simplified example, the base 

offense level for robbery is 20 points; 

brandishing a gun during a robbery 

increases the offense level by 5 points; if a 

victim was physically restrained to facilitate 

escape, an additional 2 points are added to 

the offense level. If the robber targeted a 

vulnerable child in a wheelchair, the offense 

level would then be elevated by 2 points, 

resulting in a total of 29 points. However, 

if the person accepts responsibility for 

his actions by entering a guilty plea, the 
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................29

offense level would be reduced by 3 points, 

resulting in a total of 26 points. With an 

offense level of 26, an offender with a 

minimal criminal history (Category I) may 

have a guideline sentence of 63-78 months 

of imprisonment; an offender with the 

most serious category of criminal history 

(Category VI) might have a guideline 

sentence of 120-150 months. Although 

this simplified example illustrates how the 

Federal Sentencing Guidelines are used to 

calculate guideline sentences, most cases 

will involve additional sentencing factors 

outlined systematically in the Federal 

Sentencing Guidelines Manual. 

As previously explained, a judge is 

not required to follow the guideline 

recommendation for sentencing, but the 

guideline sentence must be correctly 

calculated and considered when 

determining the appropriate sentence for 

a defendant. The judge is also directed 

to consider other statutorily designated 

factors at sentencing. The judge has the 

option of a within-guideline sentence, a 

below-guideline sentence, or an aboveguideline sentence based upon the analysis 

of the other statutory factors previously 

listed. Each crime has a statutorily set 

maximum which may not be exceeded. 

Some crimes have a statutory mandatory 

minimum sentence. In all cases, judges 

must state the reasons for a sentence. 

Sentences are subject to review by the 

courts of appeals for “unreasonableness,” 

and may be reviewed for incorrect 

application of the relevant guidelines or 

law.

In most cases, a judge waits for the 

results of a presentence investigation 

report prepared by the court’s probation 

office before imposing a sentence. The 

presentence investigation report includes 

a detailed account of the circumstances 

of the offense, and the defendant’s 

background and criminal history. The 

government and the defendant are both 

given an opportunity to object to or correct 

material presented in the presentence 

investigation report before it is finalized. 

The presentence investigation report 

concludes by applying information about 

the defendant and details of the offense 

to the sentencing guidelines. During 

sentencing, the judge may consider not 

only the evidence produced at trial, but 

relevant information that may be provided 

by the pretrial services officer, the U.S. 

attorney, and the defense attorney. In some 

cases, the parties may have agreed to 

stipulate some offense characteristics as a 

provision of their plea agreement (such as 

the quantity of drugs involved in an illegal 

narcotics sale). The judge may depart from 

the sentencing range under the sentencing 

guidelines, but for many offenses, statutes 

set mandatory minimum sentences that 

limit the range of a judge’s sentencing 

discretion.

A sentence may include time in prison, 

a fine to be paid to the government, 

community service, and restitution to be 

paid to crime victims. If the convicted 

defendant is released, the court’s probation 

officers assist the court in enforcing any 

conditions that are imposed as part of 

a criminal sentence. The supervision of 

offenders also may involve services such 

as substance abuse testing and treatment 

programs, job counseling, and alternative 

detention options, such as home 

confinement or electronic monitoring.
30............................................................................................................................The Administrative Office of the U.S. Courts

JURY SERVICE

One of the most important ways 

individual citizens become involved with 

the federal judicial process is by serving as 

jurors. There are two types of juries serving 

distinct functions in the federal trial courts: 

trial juries (also known as petit juries), and 

grand juries.

The functioning of a trial jury varies 

slightly depending upon whether the trial 

is for a civil or criminal case. A civil trial 

jury typically consists of 6 to 12 persons, 

while a criminal trial jury is made up of 12 

jurors. In a civil case, the role of the jury 

is to listen to the evidence presented, to 

decide whether the defendant injured the 

plaintiff or otherwise failed to fulfill a legal 

duty to the plaintiff, and to determine what 

the remedy, compensation, or penalty 

should be. Criminal juries decide whether 

the defendant committed the crime as 

charged and a judge usually determines 

the defendant’s sentence. Verdicts in 

both civil and criminal cases must be 

unanimous, unless the parties in a civil case 

agree to a non-unanimous verdict. A jury’s 

deliberations are conducted in private, out 

of sight and hearing of the judge, litigants, 

witnesses, and others in the courtroom.

A grand jury, which consists of 16 to 

23 members, has a specialized function to 

perform before a felony criminal case is 

filed in the district court. The U.S. attorney, 

the prosecutor in federal criminal cases, 

presents evidence to the grand jury for 

the members to determine whether there 

is “probable cause” to believe that an 

individual has committed a crime and 

should be put on trial. If the grand jury 

decides there is enough evidence, it will 

issue an indictment against the defendant. 

Grand jury proceedings are not open for 

public observation.

Potential jurors are selected from any 

source that will yield a representative 

sample of the judicial district’s population. 

Most often, jurors are chosen from a pool 

generated by random selection of citizens’ 

names from lists of registered voters, 

or combined lists of voters and people 

with drivers’ licenses. The potential jurors 

complete questionnaires to help determine 

whether they are qualified to serve on a 

jury. After reviewing the questionnaires, 

the court randomly selects individuals to 

be summoned to appear for jury duty. 

These selection methods help ensure that 

jurors represent a cross section of the 

community, without regard to race, gender, 

national origin, age, or political affiliation. 

Jurors receive modest compensation and 

expenses from the court for their service.

Being summoned for jury service 

does not guarantee that an individual 

will actually serve on a jury. When a jury 

is needed for a trial, a group of qualified 

jurors sit in the courtroom where the trial 

will take place. The judge and the attorneys 

then ask the potential jurors questions to 

determine their suitability to serve on the 

jury, a process called voir dire. The purpose 

of voir dire is to exclude from the jury 

people who may not be able to decide the 

case fairly. The judge typically will excuse 

potential jurors who know any person 

involved in the case, who have information 

about the case, or who may have strong 

prejudices about the people or issues 

involved in the case. The attorneys may 

also exclude a limited number of jurors 

without giving a reason.
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................31

Juror Qualifications and 

Exemptions

Qualifications to be a Juror:

• United States citizen

• at least 18 years of age

• reside in the judicial district for one 

year

• adequate proficiency in English

• no disqualifying mental or physical 

condition

• not currently subject to felony charges

• never convicted of a felony (unless 

civil rights have been legally restored)

Exemptions from Service:

• active duty members of the armed 

forces

• members of police and fire departments

• certain public officials

• others based on individual court 

rules (such as members of voluntary 

emergency service organizations and 

people who recently have served on a 

jury)

Excuse from Service:

• may be granted at the court’s 

discretion on the grounds of “undue 

hardship or extreme inconvenience”

Terms of Jury Service

Length of Service:

• trial jury service varies by court

• some courts require service for one 

day or for the duration of one trial; 

others require service for a fixed term

• grand jury service may be up to 24 

months

Payment:

• $40 per day; in some instances jurors 

may also receive meal and travel 

allowances

Employment Protections:

• By law, employers must allow 

employees time off (paid or unpaid) 

for jury service. The law also forbids 

any employer from firing, intimidating, 

or coercing any permanent employee 

because of his or her federal jury 

service.
32............................................................................................................................The Administrative Office of the U.S. Courts

BANKRUPTCY CASES

Federal courts have exclusive 

jurisdiction over bankruptcy cases. This 

means that a bankruptcy case may not be 

filed in a state court. Under the Bankruptcy 

Code enacted by Congress (Title 11 of the 

U.S. Code), bankruptcy judges operate the 

bankruptcy courts within the district courts.

The primary purposes of the Bankruptcy 

Code are: 

1. to give an honest debtor a “fresh 

start” in life by relieving the debtor of 

most debts; 

2. to repay creditors in a fair and orderly 

manner to the extent that the debtor 

has property available for payment; 

3. to reorganize a failing business by 

restructuring debt or the business 

entity itself, or, alternatively, to 

provide a framework for the orderly 

liquidation of the failed enterprise; 

and 

4. to deter and remedy dishonest 

actions by debtors or creditors that 

would have the effect of undermining 

the purposes of bankruptcy law.

Bankruptcy law creates predictability 

and harmony in the marketplace by 

providing the risk parameters for creditors 

in extending credit to debtors. Further, 

the bankruptcy courts provide commercial 

dispute resolution options between 

debtors and creditors once problems arise 

in their relationship, providing stability 

to the marketplace. Lastly, bankruptcy 

promotes entrepreneurialism since it 

allows a fresh start for those who start new 

businesses, but fail for some reason.

In the United States, unlike many other 

countries, filing for bankruptcy is usually 

voluntary. In other words, it is initiated by 

a debtor for protection against creditors, 

rather than by creditors to facilitate the 

collection of their claims from a common 

debtor. A voluntary bankruptcy case 

normally begins when the debtor files 

a petition with the bankruptcy court. A 

petition may be filed by an individual, by 

spouses together, or by a corporation, 

partnership, or other business entity.

All individuals filing under any chapter 

of the Bankruptcy Code must have received 

credit counseling from an approved credit 

counseling agency either in an individual 

or group briefing within 180 days before 

filing for bankruptcy. There are exceptions 

in emergency situations or where the 

U.S. trustee or bankruptcy administrator 

determines that there are insufficient 

approved agencies to provide the required 

counseling. In most states, the U.S. trustee 

or bankruptcy administrator is responsible 

for approving the providers that offer this 

special pre-bankruptcy briefing.

Creditors also may file involuntary 

bankruptcy petitions against debtors who 

are not paying their debts. Involuntary 

petitions are rare in the United States, 

where debtors voluntarily commence 

more than 99 percent of all bankruptcy 

cases. A debtor who contests a creditor’s 

petition may not be placed into bankruptcy 

involuntarily unless the creditor can show 

that certain statutory requirements are 

met. Requirements include legal standing 

by the creditor to file the petition, and 

a showing that the debtor is not paying 

debts as they become due. 

A debtor, whether in a voluntary or 

involuntary process, is required to file 

statements listing assets, income, liabilities, 
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................33

Types of Bankruptcy 

Proceedings

The Bankruptcy Code provides three 

basic types of bankruptcy proceedings:

• Liquidation of the debtor’s property 

(except for certain exempt property) 

and distribution of the proceeds, if 

any, to creditors. (Chapter 7) 

• Debt adjustment by an individual 

debtor or husband and wife that 

allows them to repay their creditors, 

in whole or in part, over a period of 

up to five years in accordance with a 

detailed plan approved by the court. 

(Chapter 13) 

• Reorganization of the financial affairs 

of a debtor, usually a business, 

through a plan that is submitted for 

approval by both creditors and the 

court. (Chapter 11)

and the names and addresses of all 

creditors and how much each is owed. The 

filing of a bankruptcy petition automatically 

prevents, or “stays,” virtually all collection 

actions against the debtor and the debtor’s 

property (with some notable exceptions 

specified by the Bankruptcy Code such as 

criminal actions against the debtor). As 

long as the stay remains in effect, creditors 

cannot initiate or continue lawsuits, 

garnish wages, seize property subject to 

mortgages or other security interests, 

or even make demands for payment, 

without first obtaining permission from the 

bankruptcy court. Creditors receive notice 

from the clerk of court that the debtor has 

filed a bankruptcy petition, and they are 

required to file proofs of claim in order to 

receive any share of a distribution from the 

debtor’s property. 

More than 70 percent of bankruptcy 

cases are filed under Chapter 7 of 

the Bankruptcy Code, which involves 

liquidation of the debtor’s property. In 

these cases, the U.S. trustee or bankruptcy 

administrator, a government officer 

appointed to supervise the administration 

of the bankruptcy process, appoints a 

trustee in bankruptcy to take control of 

the debtor’s property (excluding some 

property that is exempt from seizure). The 

case trustee, a private individual such as 

a lawyer or accountant, then liquidates 

the property and distributes it to creditors 

according to a schedule of priorities 

established by the Code. The trustee is 

also responsible for challenging unjustified 

claims by creditors, investigating possible 

misconduct by the debtor before and 

during the bankruptcy, and recovering 

claims that the bankruptcy estate may 

have against third parties. Such claims can 

be brought against parties that may have 

received fraudulent transfers or preferential 

payments from the debtor during the 

period immediately before bankruptcy. 

At the end of the liquidation process, 

individual debtors receive a “discharge” of 

pre-bankruptcy claims against them, except 

for certain categories of claims that may 

not be discharged, such as “child support” 

or unpaid taxes.

Any party in interest, including 

creditors and the trustee, may object to 

the discharge of a particular claim or to 

the debtor’s general discharge, on grounds 

such as fraud by the debtor. If a timely 

objection is made, the bankruptcy judge 
34............................................................................................................................The Administrative Office of the U.S. Courts

will hold a hearing and rule on whether 

discharge of a challenged claim or a 

general discharge of debts is allowable 

under the law. Litigation may also occur in 

a bankruptcy case over such matters as to 

who owns certain property, how it should 

be used, what the property is worth, or 

how much is owed on a debt. Litigation 

in the bankruptcy court is conducted in 

much the same way that civil cases are 

handled in the district court, but generally 

there are no rights to a jury trial in 

bankruptcy cases. (Defendants in a small 

number of bankruptcy related actions, 

such as fraudulent conveyance actions, 

may be entitled to a jury.) In a bankruptcy 

case, there may be discovery, pretrial 

proceedings, settlement efforts, and a trial. 

In most liquidation cases involving 

debtors who are consumers, there is little 

or no property in the bankruptcy estate to 

pay creditors. In these cases, the debtor will 

routinely receive a discharge, with little or 

no litigation. 

Bankruptcy cases may also be filed 

to allow debtors to reorganize their 

debts and other financial obligations 

and establish a plan to repay creditors. 

Under Chapter 11 of the Bankruptcy Code, 

financially troubled businesses may obtain 

court approval of a plan to repay their 

creditors without immediately liquidating 

their assets. Unlike “compositions” or 

other types of non-liquidation creditor 

arrangements in other countries, Chapter 

11 is part of U.S. bankruptcy law and occurs 

under the supervision of a bankruptcy 

judge. A trustee is not normally appointed 

in Chapter 11 proceedings. Instead, the 

debtor continues to operate its business, 

subject to court supervision.

The ultimate purpose of Chapter 11 is 

to confirm a plan of debt reorganization 

for the debtor. At least one committee 

of creditors is appointed to monitor 

the debtor and to negotiate a plan of 

reorganization. All plans must be submitted 

to the bankruptcy court, along with 

proposed disclosure statements explaining 

to parties in interest what their rights will 

be under each plan. If the court confirms 

the plan, the reorganized entity emerges 

from Chapter 11, with the obligations 

established by the plan replacing its 

pre-bankruptcy obligations. If no plan 

is confirmed, or if a party in interest 

persuades the court that a reorganization 

would not be practicable, the court may 

dismiss the reorganization case or convert 

it to a liquidation under Chapter 7.

Chapter 13 of the Bankruptcy 

Code creates a simpler kind of debt 

reorganization for individuals with regular 

continuing incomes, subject to certain 

maximum limits on the amount of debt. 

Under Chapter 13, the debtor proposes 

a plan for repaying debt from future 

earnings rather than through liquidation 

of the debtor’s property. Plans of this kind 

typically provide that all of the debtor’s 

disposable income for a period of three 

to five years will be devoted to repaying 

creditors. If the court finds that the plan is 

proposed in good faith, it may confirm the 

plan, even over the objections of creditors. 

A trustee is appointed to supervise the 

execution of the plan. The debtor will pay 

everything required under the plan to the 

trustee, who in turn will pay creditors in 

the amounts required by the plan. If the 

debtor satisfactorily completes the plan’s 

requirements, he or she will then receive 

a discharge from all obligations other 

than those specifically excepted from 

discharge by the Code. The advantages of 

a successful Chapter 13 plan are that the 
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................35

debtors get to keep their home and other 

property, while creditors recover part or all 

of the debts owed to them.

Chapter 15 of the Bankruptcy Code 

authorizes the commencement of a 

case ancillary to a foreign insolvency 

proceeding. In cases where a debtor is 

the subject of an insolvency proceeding 

in another country and has property in 

the United States, a representative of the 

foreign tribunal may commence a case 

in a U.S. bankruptcy court under Chapter 

15. The bankruptcy court has authority 

to fashion appropriate relief under the 

chapter’s provisions, including staying the 

commencement or continuation of actions 

against the foreign debtor or its property. 

The court also has authority, where 

appropriate, to order the turnover of the 

U.S. property of the foreign debtor to the 

foreign representative.

THE APPEALS PROCESS

The losing party in a decision by a trial 

court in the federal system is entitled to 

appeal the decision to a federal court of 

appeals. Similarly, a litigant who is not 

satisfied with a decision made by a federal 

administrative agency in the executive 

branch usually may file a petition for 

review of the agency decision by a court of 

appeals. Judicial review in cases involving 

certain federal agencies or programs—for 

example, disputes over Social Security 

benefits—may be obtained first in a district 

court rather than a court of appeals.

In a civil case, either side may appeal 

the verdict or remedy. In a criminal case, 

the defendant may appeal a guilty verdict, 

but the government may not appeal if a 

defendant is found not guilty. Either side 

in a criminal case may appeal the sentence 

that a judge imposes after a guilty verdict.

In most bankruptcy courts, an appeal 

of a ruling by a bankruptcy judge may 

be taken to the district court. In several 

circuits, a Bankruptcy Appellate Panel 

consisting of three bankruptcy judges 

has been established to hear appeals 

directly from the bankruptcy courts. In 

either situation, the party that loses the 

initial bankruptcy appeal may then appeal 

further to the court of appeals. In certain 

instances involving important questions of 

law, the bankruptcy court decision may be 

appealed directly to the court of appeals. 

Decisions of magistrate judges are 

normally brought before a district judge. 

However, when the parties to a civil case 

consent to a trial of their case before a 

magistrate judge, the court of appeals 

directly hears any challenges to the 

outcome of the case.

A litigant who files an appeal, known 

as an “appellant,” must show that the trial 

court or administrative agency made a 

legal error that affected the decision in 

the case. The court of appeals makes its 

decision based on the record of the case 

established by the trial court or agency. 

It does not receive additional evidence or 

hear witnesses. The court of appeals also 

may review the factual findings of the trial 

court or agency, but typically may only 

overturn a decision on factual grounds if 

the findings were “clearly erroneous.” While 

the appellate court may not hear new 

evidence, it may “remand” the case to the 

trial court for that purpose.

Most appeals are decided by a panel 

of three judges. The appellant presents 

legal arguments to the panel in a written 

document called a “brief.” In the brief, 

the appellant argues that the trial court 
36............................................................................................................................The Administrative Office of the U.S. Courts

made an error, and that its decision 

should be reversed. In response, the party 

defending against the appeal, known as 

the “appellee,” briefs the appellate court 

to show why the trial court decision was 

correct, or why any error made by the trial 

court was not significant enough to affect 

the outcome of the case.

The court of appeals panel may decide 

a case based solely on the arguments in 

the litigants’ written briefs, but many cases 

are selected for additional “oral argument.” 

Oral argument is a structured discussion 

between the appellate lawyers and the 

panel of judges focusing on the issues in 

dispute. Parties are typically given fifteen 

minutes to argue their case, but judges will 

often interrupt a prepared argument to ask 

questions that focus the parties on specific 

issues.

Once the court reaches a decision, 

it will usually explain the decision in a 

written opinion. A judge on the panel who 

disagrees with the majority opinion may 

write a separate dissenting opinion. The 

dissenting opinion may help develop a 

legal issue and can serve as a reference for 

legislators, academics, and other courts 

that may review the same issue at a later 

date.

Despite many possible outcomes, the 

court of appeals decision is usually the final 

word in the case. The decision of the threejudge panel of the court may be reviewed 

in a few cases by a larger group of circuit 

court judges (usually all) in an en banc 

proceeding. If the court does not review 

the decision en banc, the parties may ask 

the U.S. Supreme Court to review the case. 

Should the Supreme Court decline to hear 

the case, the appellate court may send the 

case back to the trial court for additional 

proceedings. Otherwise, the case is settled.

Litigants who do not prevail in a federal 

court of appeals or in the highest court of a 

state may petition the U.S. Supreme Court 

to review the case. The Supreme Court, 

however, does not have to grant review, 

except in a very small number of cases 

governed by special statutes. In a given 

year, the Court will typically receive about 

8,000 petitions for certiorari (applications 

for review), and it will agree to hear fewer 

than 100 cases on the merits.

The Supreme Court typically will agree 

to hear a case only when it involves an 

unusually important legal principle, or 

when two or more federal appellate courts 

have interpreted a law differently. The 

Supreme Court is required by law to hear 

a case or accept an appeal directly from 

a federal trial court in a small number of 

special circumstances. When the Supreme 

Court hears a case, the parties are required 

to file written briefs and the Court may 

hear oral argument. Additionally, other 

parties with significant interests in the legal 

issues raised by a case may ask permission 

to file briefs as friends of the court (amicus 

curiae). The executive branch, acting 

through the U.S. Solicitor General, will 

often file such briefs, which may help to 

define the issues and otherwise affect the 

outcome of a case.

The Supreme Court, like the lower 

courts, usually explains the reasons for 

its decision in a written opinion. Supreme 

Court opinions are precedent for all other 

courts in the United States. As with the 

courts of appeals, justices who disagree 

with the majority opinion may write 

dissenting opinions. In some cases, justices 

who agree with the result in a case but 

not with the majority’s reasoning will file 

concurring opinions.
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................37

FEDERAL JUDICIAL 

ADMINISTRATION

INDIVIDUAL COURTS

Day-to-day responsibility for judicial 

administration rests largely with each 

individual court. Each court is given 

responsibility by statute and administrative 

practice to appoint its own support staff 

and manage its own affairs. Under the 

federal judiciary’s budget decentralization 

program, moreover, substantial budget 

and financial responsibilities have been 

delegated to each court.

Each court in the federal system has 

a chief judge who, in addition to hearing 

cases, has administrative responsibilities 

relating to the operation of the court. The 

chief judge is normally the judge who has 

served on the court the longest and meets 

a set of statutory requirements. District 

court, court of appeals, and U.S. Court of 

International Trade judges must be under 

age 65 to become chief judge. They may 

serve as chief judge for a maximum of 

seven years, and they may not serve as 

chief judge beyond the age of 70.

The chief judge of each court plays 

a key leadership role in overseeing the 

operations of the court, promoting its 

efficiency, and ensuring accountability to 

the public. The court operates as a collegial 

body, and important policy decisions are 

made by all judges of the court working 

together under the leadership of the chief 

judge.
38............................................................................................................................The Administrative Office of the U.S. Courts

COURT STAFF

The judicial branch staff is not part 

of the executive branch’s federal civil 

service employment system. Instead, the 

Judicial Conference and the Director of 

the Administrative Office have established 

a separate personnel system for court 

officers and judicial employees that 

includes a flexible pay structure, standard 

qualifications for certain positions, and an 

employee dispute resolution procedure. 

Individual courts have wide discretion to 

hire and set pay for their own employees 

under the provisions of the national 

personnel system. Court staff is supervised 

by, and responsible to, the judges of their 

court, not the Administrative Office.

CLERK OF THE COURT

In addition to their chambers staff 

of law clerks and secretaries or judicial 

assistants, judges rely on central court 

support staff to assist with the work of the 

court.

The primary administrative officer of 

each court is the clerk of the court. The 

clerk manages the court’s non-judicial 

functions in accordance with policies set by 

the court and reports directly to the court 

through its chief judge. Among the clerk’s 

many functions are: 

• maintaining the records and dockets 

of the court 

• operating the court’s information 

technology systems

• tracking the court’s budget and 

expenditures 

• maintaining property and personnel 

records 

• paying all fees, fines, costs, and 

other monies collected into the U.S. 

treasury 

• administering the court’s jury system 

• providing interpreters and court 

reporters 

• sending official court notices and 

summonses

Characteristics of Federal 

Judicial Administration

Three of the essential characteristics of 

federal judicial administration are:

• The federal judiciary is a separate, 

independent branch of the 

government that has been given 

statutory authority to manage its own 

affairs, hire and pay its own staff, and 

maintain its own separate budget.

• The management of the federal 

judiciary is largely decentralized. 

The Judicial Conference of the 

United States establishes national 

policies and approves the budget 

for the judiciary, but each court has 

substantial local autonomy.

• Judges are in charge of the judiciary 

at all levels and establish the policies 

for management of the courts. Court 

administrators are hired by the judges 

and report to them as well.
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................39

range of administrative matters in the 

circuit.

The judicial council holds broad 

authority to ensure accountability to the 

public and effectively and expeditiously 

administer justice in the circuit. The council 

is authorized by statute to issue orders to 

individual judges and court personnel to 

ensure that courts are operating effectively. 

The council may also investigate and 

resolve issues related to judge misconduct 

and disability and it may take disciplinary 

action against a judge. The judicial council 

also reviews local court policies and actions 

on such matters as employment disputes, 

jury selection, legal defense for indigent 

defendants, court backlogs, and local 

• providing courtroom support services

• responding to inquiries from the bar 

and the public

OTHER CENTRAL COURT 

STAFF

Pretrial services officers and probation 

officers interview defendants before trial; 

investigate defendants’ backgrounds; file 

detailed reports to assist judges in deciding 

on conditions of release or detention of 

defendants before trial and on sentencing 

of convicted defendants; and supervise 

released defendants.

Staff attorneys and pro se law clerks 

assist the court with research and drafting 

opinions.

Court reporters make a word-for-word 

record of court proceedings and prepare a 

transcript.

Court librarians maintain court libraries 

and assist in meeting the information 

needs of the judges and lawyers.

THE CIRCUIT JUDICIAL 

COUNCILS

A judicial council in each geographic 

circuit oversees the administration of the 

courts in the circuit. Each chief circuit judge 

presides as the chair of the circuit’s judicial 

council and an equal number of other 

circuit (court of appeals) judges and district 

(trial court) judges serve as members of 

the council. Each judicial council appoints 

a circuit executive, who works closely with 

the chief circuit judge to coordinate a wide 

Court Support Staff

In addition to their personal chambers 

staff of law clerks and secretaries 

or judicial assistants, judges rely on 

central court support staff to assist 

in the work of the court. These staff 

positions include:

Clerk

Circuit Executive

Court Reporter

Court Librarian

Staff Attorneys and Pro Se Law Clerks

Pretrial Services Officers and 

Probation Officers
40............................................................................................................................The Administrative Office of the U.S. Courts

procedural rules for litigation. In addition, 

the council has authority to approve 

courts’ requests for exceptions to national 

guidelines on staffing, resources, and 

expenses. The judicial council ultimately 

may be called upon to resolve issues that 

a district chief judge or local court cannot 

resolve.

THE JUDICIAL CONFERENCE 

OF THE UNITED STATES

The Judicial Conference of the United 

States, established by statute in 1922, is 

the federal courts’ national policy-making 

body, and it speaks for the judicial branch 

as a whole. The Chief Justice of the United 

States presides over the Conference, which 

consists of 26 other judges, including the 

chief judge of each court of appeals, one 

district court judge from each regional 

circuit, and the chief judge of the U.S. 

Court of International Trade.

The Judicial Conference works through 

subject-matter committees that evaluate 

and recommend national policies and 

legislation on all aspects of federal judicial 

administration. The Chief Justice appoints 

judges and a small number of attorneys 

representing legal practitioners and 

academia to serve on the committees. 

Committees are assigned to develop 

Judicial Conference policy on such matters 

as budget, rules of practice and procedure, 

court administration and case management, 

criminal law, bankruptcy, judicial resources 

(judgeships and personnel matters), 

automation and technology, and codes of 

Current Judicial Conference 

Committees

• Executive (senior arm of the Judicial 

Conference)

• Audits and Administrative Office 

Accountability

• Administration of the Bankruptcy System 

• Budget 

• Codes of Conduct 

• Court Administration and Case Management 

• Criminal Law 

• Defender Services 

• Federal-State Jurisdiction 

• Financial Disclosure 

• Information Technology

• Intercircuit Assignments (temporarily 

assigning Article III judges to serve as 

visiting judges on different courts) 

• International Judicial Relations 

• Judicial Branch (judges’ pay and benefits)

• Judicial Conduct and Disability 

• Judicial Resources (Article III judgeship 

and court staffing requests, personnel 

matters)

• Judicial Security 

• Administration of the Magistrate Judges 

System

• Rules of Practice and Procedure 

• Space and Facilities
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................41

THE ADMINISTRATIVE OFFICE 

OF THE UNITED STATES 

COURTS

The Administrative Office provides a 

broad range of legislative, legal, financial, 

automation, management, administrative, 

and program support services to the 

federal courts. The Administrative 

Office, an agency within the judicial 

branch established by statute in 1939, is 

supervised and directed by the Judicial 

Conference and is responsible for carrying 

out Conference policies. The Chief Justice 

appoints the Director of the Administrative 

Office in consultation with the Judicial 

Conference. The Director serves as the 

chief administrative officer of the federal 

courts. Congress vested many of the 

judiciary’s administrative responsibilities 

in the Director by statute. Among its 

functions, the Administrative Office: 

• provides staff support and advice 

to the Judicial Conference and its 

committees 

• provides management advice and 

assistance to the courts 

• develops and administers the 

judiciary’s budget

• allocates funds to each court 

• audits court financial records 

• manages the judiciary’s payroll and 

human resources programs 

• provides legal services to the 

judiciary 

conduct. The main responsibilities of the 

Judicial Conference are: 

• approving the judiciary’s annual 

budget request (which is prepared 

by the Administrative Office and 

the Judicial Conference’s Budget 

Committee) 

• drafting and amending the general 

rules of practice and procedure 

for litigation in the federal courts, 

subject to the formal approval of the 

Supreme Court and Congress 

• proposing, reviewing, and 

commenting on legislation that may 

affect the workload and procedures 

of the courts

• implementing legislation by 

promulgating national regulations, 

guidelines, and policies

• supervising and directing the 

Administrative Office on policy 

matters, such as human resources, 

accounting and finance, automation 

and technology, statistics, and 

administrative support services 

• promoting uniformity of court 

procedures and the expeditious 

conduct of court business 

• exercising authority over codes of 

conduct, ethics, and judicial discipline 

• making recommendations to 

Congress for additional judgeships

• assisting courts with conducting 

audits and maintaining accountability 

for government funds and property 
42............................................................................................................................The Administrative Office of the U.S. Courts

• collects and analyzes statistics to 

report on the business of the courts 

• manages the judiciary’s automation 

and information technology 

programs

• conducts studies and reviews of 

programs and operations

• develops new business methods for 

the courts

• issues manuals, guides, and other 

publications

• coordinates communications with the 

legislative and executive branches

• provides public information on the 

work of the judicial branch

Recognizing that the courts can often 

make better business decisions based 

on local needs, the Director delegates 

responsibility for many administrative 

matters from the Administrative Office to 

the individual courts. This concept, known 

as “decentralization,” allows each court 

to operate with considerable autonomy, 

adhering to sound management principles, 

in accordance with policies and guidelines 

set at the national and regional levels. 

Decentralization of administrative authority 

has been shown to benefit both the courts 

and the taxpayers because it encourages 

innovation and economy. In conjunction 

with the delegation of administrative 

responsibilities, the Administrative Office 

offers the courts considerable guidance, 

training, technical assistance and advice, 

audits, and management review options.

THE FEDERAL JUDICIAL 

CENTER

The Federal Judicial Center, established 

in 1967, is the primary research and 

education agency of the federal judicial 

system. The Chief Justice of the United 

States chairs the Center’s Board, which also 

includes the Director of the Administrative 

Office and seven judges elected by the 

Judicial Conference. The Board appoints 

the Center’s Director, usually a federal 

judge, and Deputy Director.

Among its functions, the Center:

• conducts and promotes education 

and training for federal judges 

• develops education and training 

programs for court personnel, 

such as those in clerks’ offices and 

probation and pretrial services offices 

• conducts and promotes research 

on federal judicial processes, court 

management, and other issues 

affecting the judiciary 

• produces publications, manuals, 

videos, and audio programs for the 

federal judiciary on a broad range of 

topics 

• maintains a library of materials on 

judicial administration

• develops programs relating to the 

history of the judicial branch and 

assists courts with their own judicial 

history programs 

• facilitates exchanges with court 

systems of other countries
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................43

requests of various Judicial Conference 

committees for funding new or expanded 

programs.

The budget proposal is first reviewed 

by the Judicial Conference’s Budget 

Committee, then approved by the Judicial 

Conference and prepared for submission 

with a detailed set of justifications. 

The president transmits the judiciary’s 

proposed budget to Congress as a part of 

the unified federal budget, and by law, the 

president must submit the judiciary budget 

without change.

The appropriations committees 

of Congress conduct hearings on 

the judiciary’s proposed budget at 

which judges and the Director of the 

Administrative Office justify the judiciary’s 

projected expenditures. After Congress 

appropriates funds for the judiciary, the 

Judicial Conference Executive Committee 

approves plans to spend the money, and 

the Administrative Office distributes funds 

directly to each court, operating unit, and 

program in the federal judiciary.

The Director of the Administrative 

Office has delegated significant statutory 

administrative authorities to the individual 

courts. For this reason, individual courts 

have the flexibility to conduct their work, 

establish budget priorities, make sound 

business decisions, hire staff, and make 

purchases, consistent with national policies 

THE UNITED STATES 

SENTENCING COMMISSION

The U.S. Sentencing Commission was 

created as a part of the Comprehensive 

Crime Control Act of 1984. The 

Commission establishes sentencing 

guidelines for the federal criminal justice 

system. The Commission also monitors 

the performance of probation officers with 

regard to sentencing recommendations, 

and has established a research program 

that includes an information center 

on federal sentencing practices. The 

Sentencing Commission consists of a 

chair and six other voting commissioners 

who are appointed for six-year terms by 

the president, subject to approval by the 

Senate.

THE JUDICIARY BUDGET

In recognition of the constitutional 

separation of powers among the three 

branches of the federal government, 

Congress has given the federal judiciary 

authority to prepare and execute its own 

budget. The Administrative Office, in 

consultation with the courts and with 

various Judicial Conference committees, 

prepares a proposed budget for the 

judiciary each fiscal year. The proposed 

budget is based in large part on 

workload staffing and resources formulas 

developed by the Administrative Office in 

consultation with the courts. Using these 

formulas and other information, a budget 

proposal is developed that incorporates 

specific allocations for support staff and 

administrative services for each court. 

The proposed budget also includes the 

In recognition of the constitutional 

separation of powers among the three 

branches of the federal government, 

Congress has given the judiciary 

authority to prepare and execute its 

own budget.
44............................................................................................................................The Administrative Office of the U.S. Courts

of federal courthouses and works closely 

with the Administrative Office to manage 

facilities and projects.

The U.S. Marshals Service, a bureau of 

the Department of Justice, is responsible 

for providing security for judges wherever 

they are located. In the event of a threat to 

a judge or judge’s family, the marshals will 

make arrangements to provide protection 

until the threat can be neutralized. The 

Marshals Service is also responsible 

for ensuring the safety of courthouses 

and courtrooms. It accomplishes this 

task in two ways. First, the U.S. Marshal 

and deputy marshals in each judicial 

district work closely with the court and 

staff, as well as with the Federal Bureau 

of Investigation (FBI) and local law 

enforcement, to ensure the security of 

judges and court facilities. Second, the U.S. 

Marshals Service, using funds provided 

to it by the judiciary, hires private security 

firms to provide court security officers to 

assist with routine security functions.

INFORMATION TECHNOLOGY 

IN THE JUDICIAL BRANCH

Since 1975, when the first computer 

was used in the federal courts, the use of 

information technology (IT) has increased 

rapidly. The judicial business of opinion 

and order writing is currently performed 

almost exclusively on computers. The 

courts supplement their legal research 

with online legal research services. 

The dockets and case files of all courts 

have been automated. Presentence 

investigation reports in criminal cases 

are prepared using specially designed 

computer programs. Nationwide software 

and spending limits. The federal judiciary’s 

budget includes salaries for judges and 

court personnel, which typically account 

for the majority of the total budget. The 

next two major components of the budget 

are rent paid to the executive branch for 

court facilities and fees to provide counsel 

for defendants who cannot afford to 

retain their own legal representation. The 

remaining portion of the budget is spent 

on computers, travel, supplies, security for 

judges, fees for jurors, and other expenses.

COURTHOUSE SPACE, 

FACILITIES, AND SECURITY

The federal courts are located in 

more than 750 government-owned or 

leased facilities across the United States. 

As with most other federal entities, 

the judiciary has no direct authority to 

acquire facilities for its own use. By law, 

that responsibility lies exclusively with the 

General Services Administration (GSA), an 

executive branch agency. As the landlord 

for the federal court system (and almost 

all other government-owned buildings), 

GSA is charged with providing space in 

either public buildings or leased facilities. 

GSA also provides utilities and certain 

services in these accommodations. The 

Administrative Office works with the GSA 

to provide these accommodations and 

meet the needs of the courts.

In 1984, the Judicial Conference 

approved the first U.S. Courts Design 

Guide to provide guidelines and standards 

for GSA and architects constructing or 

furnishing federal courthouses. GSA 

adopted these standards and guidelines 

for the design, construction, and furnishing 
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................45

applications facilitate the collection of 

judicial statistics. Automated systems 

help the courts manage their resources—

such as personnel, funds, or lawbooks—

effectively and efficiently. The courts 

are inter-connected by the nationwide 

installation of the federal judiciary’s own 

limited access computer network, the 

Data Communications Network. The 

Administrative Office and the Federal 

Judicial Center provide information to 

the public electronically via the internet. 

The Administrative Office has also 

established an internal or “intranet” 

website for disseminating policy guidance, 

publications, guides, memoranda, bulletins, 

and other documents to judges and judicial 

branch staff.

The IT program for the federal courts 

is guided by the Long Range Plan for 

Information Technology in the Federal 

Judiciary. The plan is updated annually 

with input from the courts and is 

approved by the Judicial Conference on 

the recommendation of its Committee on 

Information Technology. Funding for IT is 

approved and expended in accordance 

with the plan. Additionally, IT requirements 

in general and for specific IT projects are 

developed by court users to ensure that 

the judiciary’s IT program continues to 

meet the essential needs of the federal 

courts over time.

STRATEGIC PLANNING AND 

MANAGEMENT EFFICIENCY 

IN THE FEDERAL COURTS

In recent years, strategic planning and 

management efficiency have become 

increasingly important in preserving 

judicial branch autonomy and judicial 

independence. Although the federal 

judiciary has little control over its workload 

and depends on Congress to provide its 

funding, the courts have used careful 

planning to meet the challenges of 

increasing workloads and tight budgets.

The Judicial Conference approved the 

first comprehensive Long Range Plan for 

the Federal Courts in 1995. Since that time, 

the judiciary has continuously worked 

to identify ways to accommodate more 

work, contain costs, and improve services. 

Ongoing responsibility for strategic 

planning rests with the Judicial Conference 

committees responsible for specific subject 

areas, with coordination by the Executive 

Committee. 

The current Strategic Plan for the 

federal judiciary focuses on actions needed 

to preserve the judiciary’s successes 

and, where appropriate, bring about 

positive change. The plan identifies seven 

fundamental issues that the judiciary 

must now address, and a set of responses 

for each issue. The scope of these issues 

includes the delivery of justice; the effective 

and efficient management of resources; 

the workforce of the future; technology’s 

potential; access to the judicial process; 

relations with the other branches of 

government; and the public’s level of 

understanding, trust, and confidence in 

federal courts.

At both the strategic and operational 

levels, careful planning, efficient 

management, and the judicial branch’s 

strong ethic of public service result in good 

performance that leaves most litigants and 

members of the public satisfied by their 

interactions with the courts. On occasion, 

the conduct or performance of a judge 

or a member of the courts’ staff may lead 
46............................................................................................................................The Administrative Office of the U.S. Courts

to a complaint or dispute. Most issues of 

this type are resolved informally by the 

chief judge of the court or collegially by 

all the judges of the court. However, in 

cases where informal resolution procedures 

prove inadequate, formal mechanisms are 

in place to assure accountability of judges 

and court staff.
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................47

ACCOUNTABILITY

DISCIPLINARY MECHANISMS

Any person who believes that a judge 

has engaged in inappropriate conduct 

that is prejudicial to the effective and 

expeditious administration of the business 

of the courts, or that a judge cannot 

discharge all the duties of the office 

because of physical or mental disability, 

may file a complaint with the clerk of the 

court of appeals for the circuit where the 

judge sits.

The chief judge of the court of appeals 

is authorized to dismiss the complaint 

if it does not allege conduct that meets 

the statutory definition of misconduct 

or disability, if the complaint relates 

to the merits of a judicial decision, or 

if the complaint is frivolous. The chief 

judge may also dismiss the complaint 

if corrective action has been taken or if 

intervening events have made further 

action unnecessary. The great majority of 

complaints are, in fact, dismissed.

If the chief judge does not dismiss the 

complaint, he or she is required to appoint 

a special investigatory committee of judges 

to examine the allegations and prepare 

a written report and recommendation to 

the judicial council of the circuit. After 

consideration of the special committee’s 

report, the council is empowered to 

investigate the allegations further or to 

take appropriate actions, including: 

• requesting that a judge retire 

voluntarily; 
48............................................................................................................................The Administrative Office of the U.S. Courts

• certifying the disability of the judge 

(thereby creating a vacancy on the 

court); 

• ordering that no further cases 

be assigned to the judge for a 

temporary period; 

• issuing a public or private reprimand 

of the judge; or 

• taking any other action as 

appropriate.

If the judicial council determines that 

an Article III judge may have engaged in 

criminal conduct or that the complaint 

is not amenable to resolution by the 

council, it must forward the matter to the 

Judicial Conference of the United States. 

The Judicial Conference may vote to 

refer the matter to Congress for possible 

impeachment and removal proceedings. In 

practice, impeachment and removal from 

office are rare events, and generally are 

reserved for situations in which a judge 

has already been convicted of a serious 

criminal offense. 

Although judiciary employees are not 

part of the government-wide civil service 

system and may be disciplined or removed 

without following the government-wide 

civil service rules, the federal judiciary is 

committed to ensuring equal employment 

opportunities to all staff. Each court has 

in place an employee dispute resolution 

plan to protect employees against arbitrary 

action and to provide them with due 

process and reasonable redress for their 

grievances. The chief judge of each court 

is normally the final arbiter on personnel 

matters, but employees generally may 

appeal the final decision of a local court 

under provisions established by the 

regional circuit judicial council.

In any case where it appears that a 

potential criminal violation may have been 

committed either by a judge or court staff, 

the matter is referred promptly to the 

Department of Justice for possible criminal 

prosecution.

OTHER FORMAL 

MECHANISMS

The Judicial Conference of the United 

States approves the budget for the 

judiciary and establishes guidelines as 

to what courts may spend on property 

and programs. Each court has been given 

local budget authority, but the court 

must stay within the guidelines approved 

by the Judicial Conference and follow 

pertinent statutes and rules governing the 

handling of money and the purchase and 

maintenance of public property.

In management matters, the chief judge 

of each court—acting on behalf of all the 

judges—is responsible for overseeing 

court operations, supervising central court 

staff, and making sure that court funds 

are spent legally, wisely, and efficiently. 

The chief judge generally resolves most 

administrative problems, but may involve 

other judges when necessary.

The Director of the Administrative 

Office, acting under the supervision of 

the Judicial Conference, may withdraw a 

delegation of budget or administrative 

authority to a court if the national 

spending guidelines or policies established 

by the Conference have been exceeded or 

if statutory or regulatory procedures have 

been violated.
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................49

usually shared with their colleagues on a 

regular basis, and the Administrative Office 

is required by law to publish important 

information on individual judges’ backlogs.

In addition, virtually all judicial decisions 

are subject to appeal, and federal judges’ 

decisions are widely distributed to the bar 

and the public through the media, lawbook 

publishers, and the internet. The legal and 

academic communities review, analyze, and 

publish commentary on judicial decisions 

and the disposition of cases.

Finally, the role of the media in a 

democracy cannot be understated. 

Particularly in the current era of 

“investigative” journalism, every action 

of a court or an individual judge or court 

employee is subject to potential media 

scrutiny and criticism.

The Director may also refer matters 

of concern to the chief judge of a court 

or to the judicial council of the circuit for 

appropriate action. The judicial council 

has statutory power to exercise general 

oversight over administrative matters 

within the circuit. It may order a court, or 

any judge or employee, to take appropriate 

administrative or management actions.

The Administrative Office conducts 

regular financial audits of all courts 

and court programs. It also provides 

management advice and conducts 

on-site management reviews of court 

operations on request. In addition, the 

U.S. Government Accountability Office, 

an audit arm of Congress, may conduct 

general reviews of court operations. 

Congress may also conduct hearings or 

request background information on judicial 

operations as part of its responsibility to 

determine the federal judiciary’s need for 

appropriations and changes in substantive 

law.

INFORMAL MECHANISMS

Federal judges and court staff take 

personal and collective pride in the federal 

judiciary as a whole and in their own 

court. The federal courts enjoy a national 

reputation for excellence and efficiency, 

and judges and their staff are vigilant in 

upholding that reputation. Peer pressure 

is very important. It is, for example, a 

powerful incentive for judges to stay 

current in their caseloads. By statute, 

the judges of each court are authorized 

collectively to divide up the caseload of 

the court, to determine where judges 

sit, and to determine local operating 

procedures. Judges’ caseload statistics are 
50............................................................................................................................The Administrative Office of the U.S. Courts

COMMONLY ASKED 

QUESTIONS ABOUT 

THE FEDERAL 

JUDICIAL PROCESS

How is a civil case filed? Is there a 

charge?

A civil action is begun by filing a 

complaint at the court clerk’s office. Parties 

beginning a civil action in a district court 

are required to pay a filing fee set by 

statute. A plaintiff who is unable to pay 

the fee may file a request to proceed in 

forma pauperis (meaning “in the form or 

manner of a pauper”). If the court grants 

the request, the fees are waived. Filing fees 

and other service fees constitute only a 

small percentage of the federal judiciary’s 

budget. Most fees charged by the courts 

are deposited into the general treasury 

of the United States. Congress, however, 

has authorized the courts to retain certain 

fees, such as those charged for providing 

electronic access to court records. 

How is a criminal case filed?

Individuals may not file criminal charges 

in federal courts. A criminal proceeding 

may only be initiated by the government, 

usually through the U.S. Attorney’s Office 

in coordination with a law enforcement 

agency. A magistrate judge or other 

judge may order the arrest of an accused 

person upon the filing of a complaint and 

accompanying affidavits sworn by law 

enforcement agents that set forth sufficient 

facts to establish “probable cause” that a 

federal offense has been committed and 

that the accused has committed it. A felony 

case, however, may not proceed beyond 

the initial stages unless a federal grand jury 

indicts the defendant.
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................51

professional responsibility to provide 

some uncompensated representation pro 

bono publico, or through legal services 

organizations. Attorneys may represent a 

litigant in a civil case on a contingent fee 

basis, an arrangement where counsel will 

be paid out of the funds recovered if their 

client prevails, and if the client does not 

win the case, the attorney will not be paid. 

Litigants in civil cases may also proceed pro 

se and represent themselves without the 

assistance of a lawyer.

Are litigants who do not speak 

English entitled to a court-appointed 

interpreter?

A certified interpreter is appointed 

and paid for by the government for any 

criminal defendant who needs one, and for 

any defendant in a civil case in which the 

government is the plaintiff.

How are judges assigned to specific 

cases?

Judge assignment methods vary, but 

Judicial Conference policy directs all courts 

to adopt some random case assignment 

procedure and to manage caseloads so 

that each judge in a court receives roughly 

an equal caseload.

How is a chief judge selected?

In federal district courts, the courts of 

appeals, and the U.S. Court of International 

Trade, the chief judge is selected by 

seniority and serves a seven-year term. The 

judge must be less that sixty-five years old; 

the judge must have served on the court 

How does one file for bankruptcy 

protection? Is there a charge?

A bankruptcy case is begun by filing 

a petition with a bankruptcy court. There 

is a range of filing fees for bankruptcy 

cases, depending on the chapter of the 

Bankruptcy Code under which the case is 

filed. Chapter 7, the most common type 

filed by individuals, involves an almost 

complete liquidation of the assets of the 

debtor, as well as a discharge of most 

debts. All individuals filing under any 

chapter of the Bankruptcy Code must 

have received credit counseling from an 

approved credit counseling agency either 

in an individual or group briefing within 

180 days before filing for bankruptcy.

How does one find a lawyer?

Local bar associations usually offer 

lawyer referral services, often without 

charge. The clerk’s office in each district 

court is usually able to help find a referral 

service. But personnel in the clerk’s office 

and other federal court employees are 

prohibited from providing legal advice to 

individual litigants.

Defendants in criminal proceedings 

have a constitutional right to a lawyer, and 

they are entitled to have counsel appointed 

by the court at government expense if they 

are financially unable to obtain adequate 

representation by private counsel. 

Although parties normally have the 

right to be represented by a lawyer of 

their choice in civil cases, there is no 

general right to free legal assistance 

in civil proceedings. Some litigants 

obtain free or low-cost representation 

through local bar association referrals, 

lawyers acting in recognition of their 
52............................................................................................................................The Administrative Office of the U.S. Courts

to conduct certain searches, to retrieve 

some types of information, and to make 

copies of court documents. Federal courts 

also have automated systems that allow 

for the search and retrieval of case-related 

information at the public counters in 

the courthouse and electronically from 

other locations. In some bankruptcy and 

appellate courts, telephone information 

systems enable callers to obtain case 

information by touch-tone phone. 

Opinions are also available on court 

websites. The federal judiciary’s internet 

homepage, www.uscourts.gov, includes 

links to individual court websites, as well as 

a directory of court electronic public access 

services.

How quickly does a court reach a 

decision in a particular case?

All cases are handled as expeditiously 

as possible. The Speedy Trial Act of 1974 

establishes special time requirements for 

the prosecution and disposition of criminal 

cases in district courts. As a result, courts 

must give the scheduling of criminal cases 

a higher priority than civil cases. The Act 

normally allows 70 days from a defendant’s 

arrest to the beginning of the trial.

There is no similar law governing civil 

trial scheduling, but on average the courts 

are able to resolve most civil cases in 

less than a year. Statistically, the national 

median time from filing to disposition of 

civil cases in the federal courts is about 

eight to nine months. Depending on its 

complexity, a particular case may require 

more or less time to address. There are 

numerous reasons why the progress of 

a particular case may be delayed, many 

of which are outside the court’s control. 

for one year or more; and the judge must 

have not previously served as chief judge. 

On the Supreme Court, the Chief Justice 

is appointed by the president with the 

advice and consent of the Senate. The chief 

judge of the U.S. Court of Federal Claims is 

designated by the president.

What is a U.S. Magistrate Judge?

Magistrate judges are judicial officers 

appointed by the district court to serve for 

eight-year terms. Their duties fall into four 

general categories:

1. conducting most initial proceedings 

in criminal cases (including 

issuing search and arrest warrants, 

conducting detention and probable 

cause hearings, and appointing 

attorneys to represent indigent 

defendants); 

2. conducting a wide variety of other 

proceedings in civil and criminal 

cases referred to them by district 

judges (including deciding motions, 

reviewing petitions filed by prisoners 

and pro se litigants, and conducting 

pretrial and settlement conferences); 

3. trial of most criminal misdemeanor 

cases; and 

4. trial of civil cases, if the parties 

consent.

How does one check on the status of a 

case?

The clerk’s office responds without 

charge to most inquiries on the status of 

a case. A fee may be charged, however, 
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................53

Cases may be delayed because settlement 

negotiations are in progress or because 

there are shortages of judges or available 

courtrooms.

How is staff hired in the federal courts?

The Judicial Conference, with the 

assistance of the Administrative Office, 

establishes general qualifications and 

pay ranges for court employees. The 

federal court system’s personnel decisions 

are decentralized. Each court conducts 

its own advertising and hiring for job 

positions. Judges select and hire their own 

chambers staff. The clerk of court and 

certain other central court staff are hired 

by the court as a whole. Other court staff 

are hired by the clerk of court, who acts 

under the supervision of the court. Some 

employment opportunities are listed on 

the federal judiciary’s internet homepage, 

www.uscourts.gov, but often the clerk’s 

office or the website of a particular court is 

the best source for a complete listing.
54............................................................................................................................The Administrative Office of the U.S. Courts

COMMON LEGAL 

TERMS

acquittal: Judgment that a criminal defendant has not been proven guilty 

beyond a reasonable doubt. In other words, a verdict of “not guilty.” Under the 

double jeopardy clause of the U.S. Constitution, the defendant may never be 

tried again criminally for the same offense.

administrative law judge: An officer in a regulatory or social service 

agency, such as the Securities and Exchange Commission or the Social 

Security Administration, who decides disputes under the law and regulations 

administered by his agency, subject to appeals to the Article III courts.

affidavit: A written statement of facts confirmed by the oath of the party 

making it, before a notary or officer having authority to administer oaths.

alternative dispute resolution (ADR): Methods of resolving a legal dispute 

without conducting a trial, including mediation and arbitration.

answer: The formal written statement by a defendant responding to a civil 

complaint and setting forth the grounds for his or her defense.

a
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................55

b

appeal: A request challenging the decision of a trial court by a party that has 

lost on one or more issues and seeks a higher court (appellate court) review 

of the decision to determine if it was correct. To make such a request is “to 

appeal” or “to take an appeal.” One who appeals is called the “appellant.” The 

other party is the “appellee.”

arbitration: A form of alternative dispute resolution (ADR) in which an 

arbitrator (a neutral decision maker) issues a judgment on the legal issues 

involved in a case after listening to presentations by each party. Arbitration 

can be binding or nonbinding, depending on the agreement among the 

parties before the proceeding.

arraignment: A proceeding in which an individual who is accused of 

committing a crime is brought into court, told of the charges, and asked to 

plead guilty, not guilty, or nolo contendere (no contest).

Article III judge: A judge who exercises the judicial powers of the United 

States under the authority of Article III of the U.S. Constitution. Article III 

judges are appointed by the president, with the advice and consent of the 

Senate. Article III of the Constitution protects the independence of Article 

III judges by guaranteeing them a lifetime appointment and no reduction in 

pay. An Article III judge can only be forcibly removed from office through the 

impeachment process. Article III judges sit on the U.S. Court of International 

Trade, the federal district and courts of appeals, and the U.S. Supreme Court.

bankruptcy: A legal process—over which the federal courts have exclusive 

jurisdiction—by which persons or businesses unable to pay their debts can 

seek the assistance of the court in liquidating and reorganizing their assets 

and liabilities. Under the protection of the bankruptcy court, debtors may 

discharge their debts. Bankruptcy judges preside over these proceedings.

bankruptcy administrator: An officer of the judiciary serving in the 

judicial districts of Alabama and North Carolina who, like the U.S. trustee, is 

responsible for supervising the administration of bankruptcy cases, estates, 

and trustees; monitoring plans and disclosure statements; monitoring 

creditors’ committees; monitoring fee applications; and performing other 

statutory duties. Compare with “U.S. trustee.” 
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bankruptcy judge: A federal judge, appointed by the court of appeals for a 

fourteen-year term, who has authority to hear matters that arise under the 

Bankruptcy Code.

bench trial: Trial by a judge without a jury in which a judge decides which 

party prevails.

brief: A written statement submitted by a party in a case that asserts the legal 

and factual reasons why the party believes the court should decide the case, 

or particular issues in a case, in that party’s favor.

chambers: A judge’s office, typically including a conference room and work 

space for the judge’s law clerks and secretary.

case law: The law as reflected in the written decisions of the courts.

case ancillary to a foreign proceeding: A case commenced under Chapter 

15 of the Bankruptcy Code by the representative of a foreign tribunal to 

protect the U.S. property of a debtor subject to an insolvency proceeding in 

another country.

chief judge: The judge who has primary responsibility for the administration 

of a court. Chief judges are determined by seniority.

circuit executive: A federal court employee appointed by a circuit judicial 

council to assist the chief judge of the circuit and provide administrative 

support to the courts of the circuit.

clerk of court: An administrative officer appointed by the judges of the court 

to manage the flow of cases through the court, maintain court records, handle 

financial matters, and provide other administrative support to the court. 

common law: The legal system that originated in England and is still in 

use in the United States that relies on the articulation of legal principles in 

a historical succession of judicial decisions. Common-law principles can be 

changed by legislation, but legislation is subject to interpretation by commonlaw methodology. Many areas of the law, such as bankruptcy, are now 

codified in detailed statutes, but these statutes are applied according to their 

interpretations by successive precedents established by the courts.

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complaint: A written statement filed by a plaintiff initiating a civil case, stating 

the jurisdiction of the court to resolve the legal dispute, the wrongs allegedly 

committed by the defendant, and the requested relief.

contract: An agreement between two or more persons that creates an 

obligation to do or not to do a particular thing.

conviction: A judgment of guilt against a criminal defendant.

court: Government entity presided over by judges and authorized by statute 

to resolve legal disputes. Judges sometimes use “court” to refer to themselves 

in the third person, as in “the court has read the briefs.”

court reporter: A person who makes a word-for-word record of what is said 

in court, generally by using a stenographic machine or audio recording, and 

then produces a transcript of the proceedings upon request.

Court of International Trade: A court established by Congress under Article 

III of the Constitution to hear cases involving international trade law, including 

questions concerning tariffs, dumping, countervailing duties, and international 

property issues.

debtor: A person who is the subject of a bankruptcy case.

defendant: In a civil case, the person or organization against whom the 

plaintiff brings suit; in a criminal case, the person accused of the crime.

deposition: An oral statement made before an officer authorized by law 

to administer oaths. Such statements are often taken to examine potential 

witnesses, to obtain discovery, or to be used later in trial.

discovery: The process by which lawyers learn about their opponent’s 

case in preparation for trial. Typical tools of discovery include depositions, 

interrogatories, requests for admissions, and requests for documents. All these 

devices help the lawyer learn the relevant facts and collect and examine any 

relevant documents or other materials.

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docket: A log containing the complete history of each case in the form of 

brief chronological entries summarizing all court proceedings. All federal 

court dockets are maintained in electronic form and are generally available to 

the public by computer.

en banc: “In the bench” or “as a full bench.” Refers to court sessions with 

the entire membership of a court participating. U.S. circuit courts of appeals 

usually decide matters sitting in panels of three judges, but all the judges 

in the court may decide certain matters together or review panel decisions 

sitting “en banc” (occasionally spelled “in banc”). The largest courts of appeals 

may split their full membership into two en banc panels.

equitable: Pertaining to civil suits in “equity” rather than in “law.” In English 

legal history, the courts of “law” could order the payment of damages and 

could afford no other remedy. See “damages.” A separate court of “equity” 

could order someone to do something or to cease to do something. See, e.g.,

“injunction.” In American jurisprudence, the federal courts have both legal 

and equitable power, but the distinction is still an important one in certain 

respects. For example, a trial by jury is normally available in cases at “law” but 

not in “equity.”

evidence: Physical material or information presented in testimony or in 

documents that is used to persuade the fact finder (judge or jury) to decide 

the case in favor of one side or the other. The federal courts must follow the 

Federal Rules of Evidence.

federal public defender: An attorney employed by the federal courts on 

a full-time basis to provide legal defense to defendants who are unable 

to afford counsel. The judiciary administers the federal defender program 

pursuant to the Criminal Justice Act.

federal question jurisdiction: Jurisdiction given to federal courts in cases 

involving the interpretation and application of the U.S. Constitution, acts of 

Congress, and treaties.

felony: A serious crime carrying a penalty of more than one year in prison. 

Compare with “misdemeanor.” 

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file: (1) The act of transmitting or placing a document in the official custody 

of the clerk of court and entering it into the record of a case; or (2) the official 

record of a case.

grand jury: A body of 16-23 citizens who listen to evidence of criminal 

allegations presented by prosecutors and determine whether there is enough 

evidence to issue an indictment and conduct a trial. See also “indictment” and 

“United States Attorney.”

habeas corpus: A writ (court order) that is usually used to bring a prisoner 

before the court to determine the legality of his or her imprisonment. 

Someone in state prison may file a petition in federal court for a “writ of 

habeas corpus” seeking to have the federal court review whether the state 

violated his or her rights under the U.S. Constitution. Federal prisoners 

may file habeas petitions as well. A writ of habeas corpus may also be used 

to bring a person in custody before the court to give testimony or to be 

prosecuted.

hearsay: Statements by a witness who did not see or hear the incident in 

question but heard about it secondhand from someone else. Hearsay is 

usually not admissible as direct evidence in court because it does not allow 

a defendant to confront his or her accusers and is not as reliable as firsthand 

testimony, but there are many exceptions to the hearsay rule.

impeachment: (1) The process of calling a witness’ testimony into doubt. 

For example, if the attorney can show that the witness may have fabricated 

portions of his testimony, the witness is said to be “impeached”; or (2) the 

constitutional process whereby the House of Representatives may “impeach” 

(accuse of misconduct) high officers of the federal government, who are then 

removed from office if found guilty in a trial before the Senate.

indictment: The formal charge issued by a grand jury stating that there is 

enough evidence that the defendant committed a crime to justify having a 

trial; it is used primarily for felonies. See also “information.”

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information: A formal accusation by a government attorney that the 

defendant committed a misdemeanor. Defendants may agree to waive 

their right to indictment by a grand jury and be charged with a felony in an 

information. See also “indictment.”

in forma pauperis: “In the manner of a pauper.” The court may grant a 

litigant’s motion to proceed “in forma pauperis” and allow him or her to file a 

case without payment of the required court fees if the person does not have 

the financial means to pay a fee.

injunction: A court order prohibiting a defendant from performing a specific 

act, or compelling a defendant to perform a specific act.

interrogatories: Written questions sent by one party in a lawsuit to an 

opposing party as part of pretrial discovery in civil cases. The party receiving 

the interrogatories is required to answer them in writing under oath.

issue: (1) A disputed point between parties in a lawsuit; or (2) to send out 

officially, as in a court issuing an order.

judge: An official with statutory authority to decide legal disputes according 

to the law. Used generically, the term “judge” may refer to all judicial officers, 

including Supreme Court justices, state and federal judges, military judges, 

and executive branch appointees who preside over tribunals and other bodies 

that decide legal disputes. See also “Article III judge,” “magistrate judge,” and 

“bankruptcy judge.”

judgment: The official decision of a court finally resolving a dispute between 

the parties to a lawsuit.

jurisdiction: (1) The legal authority or competence of a court to hear and 

decide a case; or (2) The geographic area over which the court has authority 

to decide cases.

jury: The group of local citizens selected by the court to hear the evidence in 

a trial and render a verdict on matters of fact. See also “grand jury.”

jury instructions: A judge’s directions to the jury before it begins 

deliberations regarding the factual questions it must answer and the legal 

rules that it must apply.

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lawsuit: A legal action started by a plaintiff against a defendant based on a 

complaint that the defendant failed to perform a legal duty which resulted in 

harm to the plaintiff.

litigation: A case, controversy, or lawsuit. Participants (plaintiffs and 

defendants) in lawsuits are called litigants.

magistrate judge: A federal judge, appointed by a concurrence of a majority 

of the court’s district judges, who conducts initial proceedings in criminal 

cases, decides criminal misdemeanor cases, conducts many pretrial civil and 

criminal matters on behalf of district judges, and decides civil cases with the 

consent of the parties.

mediation: The alternative dispute resolution (ADR) method most commonly 

used in the district courts. Mediation is an informal process in which a 

mediator facilitates negotiations between the parties to help them resolve 

their dispute. 

misdemeanor: An offense punishable by one year of imprisonment or less. 

Compare with “felony.”

opinion: A judge’s written explanation of the decision of the court. Because 

a case may be heard by three or more judges in the court of appeals, the 

opinion in appellate decisions can take several forms. If all the judges 

completely agree on the result, one judge will write the opinion for all. If all 

the judges do not agree, the formal decision will be based upon the view 

of the majority, and one member of the majority will write the opinion. The 

judges who did not agree with the majority may write separately in dissenting 

or concurring opinions to present their views. A dissenting opinion disagrees 

with the majority opinion because of the reasoning and/or the principles 

of law the majority used to decide the case. A concurring opinion agrees 

with the decision of the majority opinion, but offers further comment or 

clarification or even an entirely different reason for reaching the same result. 

Only the majority opinion can serve as binding precedent in future cases. See 

also “precedent.”

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oral argument: An opportunity for lawyers to verbally summarize their 

positions before the court and answer the judges’ questions.

panel: (1) In appellate cases, a group of judges (usually three) assigned to 

decide the case; (2) In the jury selection process, the group of potential jurors; 

or (3) The list of attorneys who are both available and qualified to serve as 

court-appointed counsel for criminal defendants who cannot afford their own 

counsel.

petit jury (or trial jury): A group of citizens who hear the evidence presented 

by both sides at trial and determine the facts in dispute. Federal criminal juries 

consist of 12 persons. Federal civil juries consist of at least six persons. See 

also “jury” and “grand jury.”

petty offense: A federal misdemeanor punishable by six months or less in 

prison.

plaintiff: The person who initiates a civil lawsuit.

plea: In a criminal case, the defendant’s statement pleading guilty, not guilty, 

or nolo contendere (no contest) in answer to the charges.

pleadings: Written statements filed with the court that describe a party’s legal 

or factual assertions about the case.

precedent: A court decision in an earlier case with facts and legal issues 

similar to a dispute currently before a court. Judges—following the commonlaw tradition—will generally “follow precedent.” They use the principles 

established in earlier cases to decide new cases that have similar facts and 

raise similar legal issues. A judge will disregard precedent if a party can 

show that the earlier case was wrongly decided, or that it differed in some 

significant way from the current case. Lower courts must follow precedents set 

by the decisions of higher courts.

pro bono publico (“pro bono”): A Latin term meaning “for the good of 

the public.” Some lawyers take on certain kinds of cases pro bono, without 

expectation of payment; these cases are called “pro bono cases.”

pro se: A Latin term meaning “on one’s own behalf.” In courts, it refers to 

persons who present their own cases without lawyers.

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recalled judge: Retired magistrate judges, bankruptcy judges, and judges 

of the U.S. Court of Federal Claims may return to duty for limited terms as a 

“recalled” judge. 

senior judge: An Article III judge who has retired from active duty but 

continues to perform some judicial duties, usually maintaining a reduced 

caseload. Commonly referred to as “senior status.” A judge who has not taken 

senior status may be referred to as an “active judge,” although the distinction 

may be misleading as many senior judges maintain full caseloads. 

trustee: A trustee is a private individual appointed and directly supervised 

by the U.S. Trustee or Bankruptcy Administrator to administer bankruptcy 

estates. Trustees perform statutorily designated duties. These duties differ 

among cases filed under different sections of the U.S. Bankruptcy Code, 

but may include: collecting and liquidating non-exempt assets, monitoring 

debtors’ activities, investigating the viability of small business debtors, 

making recommendations to the U.S. bankruptcy court regarding a debtor’s 

repayment plan, and disbursing funds to creditors.

United States trustee: The U.S. Trustee Program is a component of the 

U.S. Department of Justice responsible for overseeing the administration of 

bankruptcy cases and private trustees. See 28 U.S.C. §586. U.S. trustees are 

government employees appointed by the Attorney General of the United 

States. U.S. trustees appoint and supervise private trustees, take legal action 

to enforce the requirements of the U.S. Bankruptcy Code, refer matters for 

investigation and criminal prosecution, and ensure that bankruptcy estates are 

administered efficiently and that professional fees are reasonable.

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For additional copies, please contact:

Judicial Services Office

Department of Program Services

Administrative Office of the United States Courts

Thurgood Marshall Federal Judiciary Building 

Washington, D.C. 20544 

202-502-1800 

202-502-1888 (fax)

SOURCES OF ADDITIONAL INFORMATION

Publications:

The Federal Courts and What They Do

(Federal Judicial Center, 2000)

Strategic Plan for the Federal Judiciary

(Judicial Conference of the United States, 

September 2015)

Judiciary website addresses:

United States Supreme Court:

www.supremecourtus.gov

Administrative Office of the 

United States Courts:

www.uscourts.gov

Federal Judicial Center:

www.fjc.gov