Coding Guidelines-A | Citation Formats-B | Court Procedures-C | Glossary-D | Resources-E

Supreme Court Dataset Codebook Appendices

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Appendix A: U.S. Supreme Court Coding Guidelines

Listed below are some basic issues that are unique U.S. Supreme Court coding and used in conjunction with the Policy Agendas Codebook.

Issues by Code:

• 207: Freedom of Speech & Religion
Examples: Public protest/picket (at school or elsewhere), American Flag “abuse”
• 501: Worker Safety
  Examples: Any case that involves worker safety even when the accident occurs on a railroad, ship, or airplane for example (i.e. transportation)
• 501: Worker Safety and Protection, Occupational and Safety Health Administration
  Examples: Jones Act
• 504: Employee Relations and Labor Unions vs. 505: Fair Labor Standards
  Cases dealing with unions (504). Cases just mentioning unions but relating to a fair labor standards (505).
• 1200’s: Law, Crime, Family Issues
  Special Note: Although many cases have the potential to be included under this category, we have attempted to avoid doing this. Coders were instructed to code according to the issue before the court and not necessarily the facts of the case (i.e. although a given case may be about drug trafficking, the actual issue before the U.S. Supreme court may be double jeopardy). All motions as well as misc. orders (stays, habeas corpeas, in forma pauperis, degrees, etc.) not coded elsewhere are coded here.
• 1204: Court Administration
  Examples: All motions and misc. orders (stays, writ of habeas corpus, in forma pauperis, decrees etc.) with no reference to another topic,Budgeting, Court Jurisdiction, Class-Action (classification), Jury issues; Attorney’s fees (NOT related to some other topic)
• 1210: Legal Issues
  Examples: Miranda Rights, Double Jeopardy, Statute of Limitations, Search and Seizure, Due Process, Warnings, Counsel, Disbarment, Sentencing, Sexual Assault (other than prevention), Self-Incrimination/Involuntary Confession/Refusal to Testify, habeas corpus reform.
• 1211: Riots and Crime Prevention
  Examples: Sexual Assault (prevention)
• 1520: Corporate Mergers, Antitrust Regulation, and Corporate Management Issues
  Examples: Anti-trust cases (e.g. Sherman Act)
• 1706: Telephone and Telecommunication Regulation
  Examples: Telephone interception
• strong> 2009: IRS Administration
  Examples: Tax fraud/evasion, Hobbs Act
• 2015: Relief of Claims Against the U.S. Government
  Examples: (Little) Tucker Act
• 2103: Natural Resources, Public Lands, and Forest Management
  Examples: Border dispute cases between states and submerged lands (usually in the form of Supplemental degrees)

Issues by Subject

• Electronic Surveillance
Police wiretapping: 208
Other search and seizure: 1210
• Employee Oath
  All Anti-Government/Loyalty Issues (Federal Employees or not): 209
  Non-Federal Employees: 599
  Teachers: 699
  Other Federal Employees: 2004
• Employee termination
  Employment discrimination: 200
  All others: 599
• Obscene Material cases and other censorship issues
  Protecting children: 1207
  Television/Film industry: 1707
  Literature: 207
  Mail: 2003
• Reapportionment
  Racial gerrymandering: 201
  Census only: 2013
  Legislative only: 2011
• Taxes
  Tax policy/reform, sales tax: 107
  Tax Fraud: 1202
  IRS, tax collection, tax return filing, tax deductions, tax refund : 2009
  Specific tax changes: Coded based upon the subject matter
• Transportation
  Related to Interstate Commerce Commission (ICC) regulation/Interstate Commerce Act, transportation safety, rates, etc.: 1000’s
  Interstate Commerce (e.g. shipping of goods): 1500
  Bankruptcy/Re-organization: 1507
  Related to workers: 500

Appendix B: Lower Court Citation Formats

* Use the two-digit year format to retrieve Private Letter Rulings (PLR) and Technical Advice Memoranda (TAM) dated before 1999. For example, enter a 1995 PLR as:

plr 9526007

For recently issued Private Letter Rulings, search Tax Analysts Tax Notes Today.

** Use the two-digit year format to retrieve Revenue Rulings and Revenue Procedures dated before 2000.
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Appendix C: U.S. Supreme Court Procedures

*All words highlighted in red bold can be found in the Glossary of Terms.

The Court

The U.S. Supreme Court is the highest court in the United States, which has the ultimate power to decide constitutional questions and other appeals based on the jurisdiction granted by the Constitution. The court is made up of nine members appointed for life by the President of the United States, with confirmation required by the Senate. One of the nine is the Chief Justice (appointed by the President if there is a vacancy), and the others are Associate Justices.

Jurisdiction

The Court has two types of jurisdiction-

Original Jurisdiction: Parties involved can bring their case directly to the Supreme Court. In all controversies between states (e.g. boundary disputes), the Supreme Court has original and exclusive jurisdiction meaning only the Supreme Court has the authority to hear the case). Alternatively, the Supreme Court has original but not exclusive jurisdiction in all cases involving ambassadors or other public ministers and councils; all controversies between the United States and a state; and all actions or proceedings by aliens or a state against the citizens of another state.

Appellate Jurisdiction: The authority to hear cases brought on appeal from lower federal courts and from state courts when the issue concerning federal law or the U.S. Constitution is involved. More widely exercised than original jurisdiction.

Such cases reach U.S. Supreme Court either through the Federal Court or State Court.

Federal Court

State Court

Types of Cases before the Court

After passing through either the Federal or State court systems, a case comes before the U.S. Supreme Court in one of four ways:

1. A petition for a writ of certiorari (CERT): Most Common.  This allows the loser in a lower court to as the U.S. Supreme Court to review their case. Most cases, however, are denied cert. If denied, the loser may petition for a rehearing under specific grounds.

2. An appeal (APPL): Common. Most cases are decided with no oral arguments heard and no formal opinions given. Rather, the losing party from the lower court must file briefs citing legal reasons for over-turning the ruling, and show how those reasons (usually other appeal decisions called " precedents") relate to the facts in the case. These cases are decided in conference and the released decisions are labeled per curiam ("by the Court") and not by any particular justice.
3. A request for certification (MOT): Occurs when a lower court feels it needs the insight of the U.S. Supreme Court to decide a given issue. The Court may give the lower court instructions (which must then be followed) or decide that the entire case record (all briefs, motions, etc.) be brought before the Court for argument).

4. A petition for an extraordinary writ (MISC): Rare. Written at the Court's discretion and must show that exceptional circumstances are warranted and that one cannot get adequate relief in any other way or from any other court (e.g. petition for writ of habeas corpus, land decrees, etc.)

The process by which a petition for certiorari is as follows:

• Petition is sent to clerk of the Court for examination
• Upon okay of the clerk, (1) the fee is paid (The U.S. government and people who are indigent and filing in the manner of a pauper ( in forma pauperis) are excused from paying this fee) and (2) the petition is numbered and placed on the docket.
• Justices have the duty to look at all cases on the docket. However, when the case load is too great, they may assign their clerks to review and sort through those which seem of greatest importance.
• The chief justice creates a discussion list of all those cases he thinks should be looked at by the court. This list is sent to the associate justices and then discussed in conference. Most cases brought on appeal make the list, but few brought on cert. ever do. If a case does not make the discussion list, it will never be reviewed by the Court.
• At the conference the justices decide whether to grant or deny review. This process is never revealed to the public as no outsiders are present and no minutes taken. However, the unwritten "rule of four" say that it takes four yes votes in order for a case to be scheduled to be heard. A justice who feels strongly about a case that's been turned down for review can lobby the other justices to gain the necessary four votes at the next conference.
• In deciding to review a case, the justices either:
• Review a case on the basis of written material alone (no oral arguments). Such decisions are made per curiam. All justices agree and no opinion is handed down.
• Review a case on the basis of written and oral arguments and give a complete decision with concurring and dissenting opinions
• The results of the conference are listed on a certified orders list which is released to the public. The Court rarely gives explanations for denying a case for review; however a justice whose case failed to get the necessary four votes may publish a dissent.
• Oral arguments are scheduled by the clerk with most cases coming before the Court in the order in which they were reviewed.
• Counsel for both sides submit their briefs which must be consistent with all regulations laid down by the Court.
• The justices review the briefs and records that they have received from council and may check citations and research material with the help of their clerks.
• Oral arguments are heard. Attorneys must assume that the justices have read their briefs (although in fact they may not have) and therefore emphasize and clarify these written arguments, not restate them. The petitioner begins by presenting his complete argument and both sides have thirty minutes for its argument (unless otherwise stated). The justices may interrupt at for questions or remarks, which is then deducted from that side’s thirty minutes. Also, only one attorney is heard from each side, however anyone who as filed an amicus curiae ("friend of the court") brief my argue for his/her party with it's consent and this time with be deducted from that sides thirty minutes as well.
• Oral arguments are taped and transcribed both by the Court and by a private company the Court contracts with to do this job. Something can only be omitted by the chief or presiding justice and the letter Q is substituted for the name of any justice who asks a question. At the end of each term, the tapes are sent from the Court marshal to the National Archives and Records Administration (NARA).
• The justices meet in secrecy to decide the cases whose oral arguments they've heard. With the chief justice leading, each just speaks in the order of seniority. A vote is taken and the majority wins. At least six justices (a quorum) must be participating for a vote to be taken. In the case of a tie, the lower court's decision stands.
• Once the case has been decided, either the chief or senior associate justice—whoever voted with the majority—is the person who decides which justice will draft the majority opinion. Assigning the task may be a punishment or reward and include: a justice's interest or expertise in the topic, current workload, commitment to the issue at hand, lack of an extreme view, etc. In an important case, the assigning justice may wish to assign himself to the job and may even change his vote to put himself in the majority in order to do so (!).
• The justices now focus on the written opinion. Research is begun by the clerks and legal arguments constructed. As the justice assigned to write the majority opinion works on a draft the he hopes will reflect the Court's consensus, justices who agree with his opinion may send memos with suggestions. A justice who agrees with the majority, but for different reasons, may decide to write his own concurring opinion. Any justice who is adamantly opposed to the majority's view may draft a dissenting opinion.
• Drafts of the majority concurring, and dissenting opinions are circulated among the justices.
• Changes to the drafts are made and negotiations taken place. At times, the author of the minority opinion will attract other justices to his cause and what started out as a minority dissent can end up as a majority opinion.
• In the end, the Court may decide to: (1) affirm (to approve) the lower court's decision; (2) remand (send the case back for further deliberation) its decision; or (3) reverse the lower court's decision. When it does the latter, it generally sends the case back for a new trial that takes into account the reasoning behind the Supreme Court's decision. The court may also vacateor dismiss the case altogether.
• The reporter of decisions add a syllabus (a headnote) summarizing the decision at the beginning of the opinion. At the end of the syllabus is the "lineup", which shows how each justice voted. This is then printed, sent to the lower courts, and published in the U.S. Court Reports, the official record of U.S. Supreme Court decisions.
• Opinions are announced on Tuesdays and Wednesdays during the weeks the Court is hearing oral arguments; in other weeks they are announced on Mondays along with the Orders List.
• If a case brought on a writ of certiorari is lost, there is some recourse. One must file for a rehearing within twenty-five days after the Court's decision and a justice who concurred in the decision must bring the matter up before the Court. At a rehearing, oral arguments will not be heard, and the majority vote of the Court is needed in order to have the petition granted.
  
  
  This section was created using Ellen Greenberg's book, The Supreme Court Explained (1997) pp. 61-75.
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Appendix D: Glossary of Common U.S. Supreme Court Terms

The definitions cited here were obtained from Dictionary Law.

• affirm
  v. what an appeals court does if it agrees with and confirms a lower court’s decision.
• amicus curiae
  n. Latin for "friend of the court," a party or an organization interested in an issue which files a brief or participates in the argument in a case in which that party or organization is not one of the litigants. Usually the court must give permission for the brief to be filed and arguments may only be made with the agreement of the party the amicus curiae is supporting, and that argument comes out of the time allowed for that party's presentation to the court. For example, the American Civil Liberties Union often files briefs on behalf of a party who contends his constitutional rights have been violated, even though the claimant has his own attorney.
• appeal
  1) v. to ask a higher court to reverse the decision of a trial court after final judgment or other legal ruling. After the lower court judgment is entered into the record, the losing party (appellant) must file a notice of appeal, request transcripts or other records of the trial court (or agree with the other party on an "agreed-upon statement"), file briefs with the appeals court citing legal reasons for over-turning the ruling, and show how those reasons (usually other appeal decisions called "precedents") relate to the facts in the case. No new evidence is admitted on appeal, for it is strictly a legal argument. The other party (Respondent or appellee) usually files a responsive brief countering these arguments. The appellant then can counter that response with a final brief. If desired by either party, they will then argue the case before the appeals court, which may sustain the original ruling, reverse it, send it back to the trial court, or reverse in part and confirm in part. For state cases there are Supreme Courts (called Courts of Appeal in New York and Maryland) which are the highest appeals courts, and most states have lower appeals courts as well. For Federal cases there are Federal Courts of Appeal in ten different "circuits," and above them is the Supreme Court, which selectively hears only a few appeals at the highest level. 2) n. the name for the process of appealing, as in "he has filed an appeal."
• appellate jurisdiction
  n. given by statute to appeals courts to hear appeals about the judgment of the lower court that tried a case, and to order reversal or other correction if error is found. State appeals are under the jurisdiction of the state appellate courts, while appeals from federal district courts are within the jurisdiction of the courts of appeal and eventually the Supreme Court.
• brief
  1) n. a written legal argument, usually in a format prescribed by the courts, stating the legal reasons for the suit based on statutes, regulations, case precedents, legal texts, and reasoning applied to facts in the particular situation. A brief is submitted to lay out the argument for various petitions and motions before the court (sometimes called "points and authorities"), to counter the arguments of opposing lawyers, and to provide the judge or judges with reasons to rule in favor of the party represented by the brief writer. Occasionally on minor or follow-up legal issues, the judge will specify that a letter or memorandum brief will be sufficient. On appeals and certain other major arguments, the brief is bound with color-coded covers stipulated in state and/or federal court rules. Ironically, although the term was originally intended to mean a brief or summary argument (shorter than an oral presentation), legal briefs are quite often notoriously long. 2) v. to summarize a precedent case or lay out in writing a legal argument. Attentive law students "brief" each case in their casebooks, which means extracting the rule of law, the reasoning (rationale), the essential facts, and the outcome. 3) v. to give a summary of important information to another person.
• certiorari
  (sersh-oh-rare-ee) n. a writ (order) of a higher court to a lower court to send all the documents in a case to it so the higher court can review the lower court's decision. Certiorari is most commonly used by the U.S. Supreme Court, which is selective about which cases it will hear on appeal. To appeal to the Supreme Court one applies to the Supreme Court for a writ of certiorari, which it grants at its discretion and only when at least three members believe that the case involves a sufficiently significant federal question in the public interest. By denying such a writ the Supreme Court says it will let the lower court decision stand, particularly if it conforms to accepted precedents (previously decided cases).
• decree
  n. in general, synonymous with judgment. However, in some areas of the law, the term decree is either more common or preferred as in probates of estates, domestic relations (divorce), admiralty law and in equity (court rulings ordering or prohibiting certain acts). Thus, there may be references to a final or interlocutory decree of divorce, final decree of distribution of a dead person's estate, etc.
• dictum (or “dicta” pl.)
  n. Latin for "remark," a comment by a judge in a decision or ruling which is not required to reach the decision, but may state a related legal principle as the judge understands it. While it may be cited in legal argument, it does not have the full force of a precedent (previous court decisions or interpretations) since the comment was not part of the legal basis for judgment. The standard counter argument is: "it is only dictum (or dicta)."
• dismiss
  v. the ruling by a judge that all or a portion (one or more of the causes of action) of the plaintiff's lawsuit is terminated (thrown out) at that point without further evidence or testimony. This judgment may be made before, during or at the end of a trial, when the judge becomes convinced that the plaintiff has not and cannot prove his/her/its case. This can be based on the complaint failing to allege a cause of action, on a motion for summary judgment, plaintiff's opening statement of what will be proved, or on some development in the evidence by either side which bars judgment for the plaintiff. The judge may dismiss on his own or upon motion by the defendant. The plaintiff may voluntarily dismiss a cause of action before or during trial if the case is settled, if it is not provable or trial strategy dictates getting rid of a weak claim. A defendant may be "dismissed" from a lawsuit, meaning the suit is dropped against that party. (See also: dismissal)
• dismissal
  n. 1) the act of voluntarily terminating a criminal prosecution or a lawsuit or one of its causes of action by one of the parties. 2) a judge's ruling that a lawsuit or criminal charge is terminated. 3) an appeals court's act of dismissing an appeal, letting the lower court decision stand. 4) the act of a plaintiff dismissing a lawsuit upon settling the case. Such a dismissal may be dismissal with prejudice, meaning it can never be filed again, or dismissal without prejudice, leaving open the possibility of bringing the suit again if the defendant does not follow through on the terms of the settlement. (See also: dismiss)
• dissent
  n. the opinion of a judge of a court of appeals, including the U.S. Supreme Court, which disagrees with the majority opinion. Sometimes a dissent may eventually prevail as the law or society evolves.
• docket
  n. the cases on a court calendar.
• habeas corpus
  (hay-bee-us core-puss) n. Latin for "you have the body," it is a writ (court order) which directs the law enforcement officials (prison administrators, police or sheriff) who have custody of a prisoner to appear in court with the prisoner to help the judge determine whether the prisoner is lawfully in prison or jail. The writ is obtained by petition to a judge in the county or district where the prisoner is incarcerated, and the judge sets a hearing on whether there is a legal basis for holding the prisoner. Habeas corpus is a protection against illegal confinement, such as holding a person without charges, when due process obviously has been denied, bail is excessive, parole has been granted, an accused has been improperly surrendered by the bail bondsman or probation has been summarily terminated without cause. It may also be used as a means to contest child custody and deportation proceedings in court.
• holding
  n. any ruling or decision of a court.
• in forma pauperis
  (in form-ah paw-purr-iss) adj. or adv. Latin for "in the form of a pauper," referring to a party to a lawsuit who gets filing fees waived by filing a declaration of lack of funds (has no money to pay). These declarations are most often found in divorces by young marrieds or poor defendants who have been sued.
• jurisdiction
  n. the authority given by law to a court to try cases and rule on legal matters within a particular geographic area and/or over certain types of legal cases. It is vital to determine before a lawsuit is filed which court has jurisdiction. Jurisdiction is not to be confused with "venue," which means the best place to try a case. Thus, any state court may have jurisdiction over a matter, but the "venue" is in a particular county.
• lower court
  n. 1) any court of lesser rank, such as municipal or justice court below a superior or county court, a superior or county court below an appeals court, or a federal District Court of Appeals below the U.S. Supreme Court. 2) a reference in an appeal to the trial court which originally heard the case. Typical language in an appeals decision: "In the lower court, the judge ruled Defendant had no basis for…."
• mandamus (mandate)
  (man-dame-us) n. Latin for "we order," a writ (more modernly called a "writ of mandate") which orders a public agency or governmental body (including another court) to perform an act required by law when it has neglected or refused to do so (i.e. to follow the law by correcting its prior actions or ceasing illegal acts)
Examples: After petitions were filed with sufficient valid signatures to qualify a proposition for the ballot, the city refuses to call the election, claiming it has a legal opinion that the proposal is unconstitutional. The backers of the proposition file a petition for a writ ordering the city to hold the election. The court will order a hearing on the writ and afterwards either issue the writ or deny the petition. Or a state agency refuses to release public information, a school district charges fees to a student in violation of state law, or a judge will not permit reporters entry at a public trial. All of these can be subject of petitions for a writ of mandamus.
• motion
  n. a formal request made to a judge for an order or judgment. Motions are made in court all the time for many purposes: to continue (postpone) a trial to a later date, to get a modification of an order, for temporary child support, for a judgment, for dismissal of the opposing party's case, for a rehearing, for sanctions (payment of the moving party's costs or attorney's fees), or for dozens of other purposes. Most motions require a written petition, a written brief of legal reasons for granting the motion (often called "points and authorities"), written notice to the attorney for the opposing party and a hearing before a judge. However, during a trial or a hearing, an oral motion may be permitted.
• original jurisdiction
  n. the authority of a court to hold a trial, as distinguished from appellate jurisdiction to hear appeals from trial judgments.
• per curiam
  adj. Latin for "by the court," defining a decision of an appeals court as a whole in which no judge is identified as the specific author.
• petition
  1) n. a formal written request to a court for an order of the court. It is distinguished from a complaint in a lawsuit which asks for damages and/or performance by the opposing party. Petitions include demands for writs, orders to show cause, modifications of prior orders, continuances, dismissal of a case, reduction of bail in criminal cases, a decree of distribution of an estate, appointment of a guardian, and a host of other matters arising in legal actions. 2) n. a general term for a writing signed by a number of people asking for a particular result from a private governing body (such as a homeowners association, a political party, or a club). 3) in public law, a writing signed by a number of people which is required to place a proposition or ordinance on the ballot, nominate a person for public office, or demand a recall election. Such petitions for official action must be signed by a specified number of registered voters (such as five percent). 4) v. to make a formal request of a court; to present a written request to an organization's governing body signed by one or more members. 5) n. a suit for divorce in some states, in which the parties are called petitioner and respondent.
• precedent
  1) n. a prior reported opinion of an appeals court which establishes the legal rule (authority) in the future on the same legal question decided in the prior judgment. Thus, "the rule in Fishbeck v. Gladfelter is precedent for the issue before the court in this case." The doctrine that a lower court must follow a precedent is called stare decisis 2) adj. before, as in the term "condition precedent," which is a situation which must exist before a party to a contract has to perform.
• quorum
  n. the number of people required to be present before a meeting can conduct business. Unless stated differently in bylaws, articles, regulations or other rules established by the organization, a quorum is usually a majority of members.
• remand
  v. to send back. A court appeals, including the U.S. Supreme Court may remand a case to a lower court for further action if it reverses the judgment of the lower court, or after a preliminary hearing a judge may remand into custody a person accused of a crime if the judge finds that a there is reason to hold the accused for trial.
• stare decisis
  (stah-ree duh-sigh-sis) n. Latin for "to stand by a decision," the doctrine that a trial court is bound by appellate court decisions (precedents) on a legal question which is raised in the lower court. Reliance on such precedents is required of trial courts until such time as an appellate court changes the rule, for the trial court cannot ignore the precedent (even when the trial judge believes it is "bad law").
• stay
  n. a court-ordered short-term delay in judicial proceedings to give a losing defendant time to arrange for payment of the judgment or move out of the premises in an unlawful detainer case.
• stay of execution
  n. a court-ordered delay in inflicting the death penalty.
• United States Supreme Court
  n. the highest court in the United States, which has the ultimate power to decide constitutional questions and other appeals based on the jurisdiction granted by the Constitution, including cases based on federal statutes, between citizens of different states, and when the federal government is a party. The court is made up of nine members appointed for life by the President of the United States, with confirmation required by the Senate. One of the nine is the Chief Justice (appointed by the President if there is a vacancy), and the others are Associate Justices.

• vacate
  v. for a judge to set aside or annul an order or judgment which he/she finds was improper.
• writ
  n. a written order of a judge requiring specific action by the person or entity to whom the writ is directed.

Appendix E: Additional Resources

Official U.S. Supreme Court Website

Pending cases and current opinions of the U.S. Supreme Court

Resumes of Supreme Court Justices

Written by:

Michelle Huynh, fmr. Undergraduate Fellow, CAPP
Kyle Sommer, fmr. Undergraduate Fellow, CAPP