Jurisdiction Waivers: Criminal Law's Complex Issue

Jurisdiction in criminal law is a multifaceted concept, encompassing both personal jurisdiction and subject-matter jurisdiction. While litigating parties can waive personal jurisdiction, the same does not hold true for subject-matter jurisdiction, which cannot be waived. This distinction is pivotal as it determines whether a court has the authority to preside over a case and administer justice. The intricacies of jurisdiction become even more complex when we consider the interplay between federal and state courts, each with its own unique expertise and jurisdictional boundaries. Understanding the nuances of improper jurisdiction and the potential for waiver is essential for navigating the legal landscape and ensuring that cases are adjudicated in the appropriate forums.

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Defendants can move for dismissal before trial based on a lack of jurisdiction

A defendant can move for dismissal before a trial based on a lack of jurisdiction. This is known as a pre-trial motion. The court may consider the matter at a pre-trial hearing or defer ruling on it until a later time, including after the trial begins.

If the defendant does not dispute the facts upon which jurisdiction is based but challenges whether an offense occurred or whether they were the perpetrator, the trial court can refuse to instruct the jury on the issue of jurisdiction. In such cases, the court itself must decide the issue.

If there is a genuine factual dispute regarding jurisdiction, the court must submit the matter to the jury to decide. The court must determine whether the state's evidence of jurisdiction is sufficient to reach the jury. If the court decides there is insufficient evidence of jurisdiction, it must dismiss the charges.

The defendant may also choose to wait to challenge jurisdiction until after the trial has begun. In State v. Patel, for example, both parties agreed that the issue of jurisdiction would be addressed at the close of the state's evidence.

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Courts can dismiss a case on their own for a lack of subject-matter jurisdiction

Subject-matter jurisdiction is the power of a court to hear and determine cases of a particular class. This means that the court has the authority to deal with the case or matter before it. If a court lacks subject-matter jurisdiction, the filing of a civil action is a nullity, and the court's only authority is to order its dismissal. This is because subject-matter jurisdiction is never waivable; either the court has it, or it cannot assert it.

In the US, federal courts are courts of limited jurisdiction, meaning Congress has placed limitations on the types of actions they can entertain. Thus, federal courts have subject-matter jurisdiction only over cases that present a federal question or have diversity jurisdiction. Federal question jurisdiction requires that the federal question appears on the face of a well-pleaded complaint, is a substantial component of the complainant's claim, and is of significant federal interest. Diversity jurisdiction permits individuals to bring claims in federal court where the claim exceeds $75,000 and the parties are citizens of different states.

State courts, on the other hand, are presumed to have the power to hear virtually any claim arising under federal or state law, except those falling under the exclusive jurisdiction of the federal courts. For example, some states may deny subject-matter jurisdiction to specific claims arising in other states. Additionally, most states maintain specialized courts of limited subject-matter jurisdiction, such as probate courts, traffic courts, and small claims courts.

In criminal law, the question of jurisdiction is typically raised by the defendant through a pre-trial motion or at trial. If the defendant challenges jurisdiction before the trial, the court may consider the matter at a pre-trial hearing or defer ruling until later, including after the trial begins. If the defendant waits until after the trial has begun, the court must decide whether the state's evidence of jurisdiction is sufficient to reach the jury. If there is no genuine dispute as to the facts, the court should decide the matter, and if there is a dispute, the matter must be submitted to the jury to decide.

In conclusion, subject-matter jurisdiction is essential for a court to hear and determine a case. If a court lacks subject-matter jurisdiction, it must dismiss the case as it cannot assert jurisdiction over the matter.

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Federal question jurisdiction: bringing a claim under federal law

Federal question jurisdiction is one of the two ways a federal court can gain subject-matter jurisdiction over a case, the other being diversity jurisdiction. Federal question jurisdiction allows federal courts to exercise jurisdiction over cases "arising under this Constitution" and "the Laws of the United States". In other words, if a case involves an alleged violation of the Constitution or federal law, federal courts likely have jurisdiction to decide it.

For federal question jurisdiction to exist, the requirements of 28 USC 1331 must be met, and there are both constitutional and statutory requirements that must be satisfied. Under Article III of the Constitution, federal courts can hear "all cases, in law and equity, arising under this Constitution, [and] the laws of the United States...". The Supreme Court has interpreted this clause broadly, allowing federal courts to hear any case with a federal ingredient.

To satisfy the federal question statute, plaintiffs must include a federal claim in their "well-written complaint". This means that the plaintiff must claim an alleged violation of federal law or their constitutional rights. Whether federal question jurisdiction can be invoked depends on whether the court must construe either the Constitution or federal law to decide the dispute. If the court does not have to interpret the Constitution or federal law, the case does not invoke federal question jurisdiction.

Congress has also passed legislation granting federal courts jurisdiction over specific federal claims, such as patent law and civil rights cases. Federal question jurisdiction provides the basis for many high-profile Supreme Court cases.

State courts have power to hear claims under federal or state law

In the United States, the federal government and each of the state governments have their own court systems. The US Constitution creates a federal system of government, where power is shared between the federal government and the state governments. State courts are presumed to have the power to hear virtually any claim arising under federal or state law. This is because most state courts are courts of general jurisdiction. However, this power is not unlimited. There are exceptions to the types of claims state courts can hear. For example, claims that fall under the exclusive jurisdiction of federal courts cannot be heard by state courts. Federal courts have exclusive jurisdiction over certain subject matters of national significance, such as patent and admiralty law, and taxation.

State courts also cannot hear claims that fall under the jurisdiction of specialized courts of limited subject-matter jurisdiction, which include probate courts, traffic courts, juvenile courts, and small claims courts. Additionally, for pragmatic reasons, some states may deny subject matter jurisdiction to specific claims, such as those arising in other states.

The question of jurisdiction must be addressed by the trial court only if it is raised by the defendant, either through a pre-trial motion or at trial. The defendant may move for dismissal prior to the trial based on a lack of jurisdiction. If there is a factual dispute about jurisdiction, the court must submit the matter to the jury to decide. However, if there is no factual dispute, but only a legal question about whether the agreed-upon facts are sufficient to confer jurisdiction, the court must decide the issue.

While litigating parties may waive personal jurisdiction, they cannot waive subject-matter jurisdiction. Federal courts have subject-matter jurisdiction over claims that exceed $75,000 when parties are citizens of different states, and over claims that arise under federal law, including the US Constitution.

Defendants can reassert personal jurisdiction defense after denial

Personal jurisdiction refers to the power that a court has to make a decision regarding the party being sued in a case. Typically, for a court to have personal jurisdiction over a defendant, the plaintiff needs to serve the defendant in the state in which the court sits, and the defendant needs to voluntarily appear in court. If the defendant does not object to the court's lack of personal jurisdiction, the court will assume that the defendant is waiving any challenge to personal jurisdiction.

However, defendants can generally present and preserve a personal jurisdiction defense through a pre-trial motion to dismiss for lack of jurisdiction or by raising it as one of the pled defenses. If the motion to dismiss is denied, the defendant must answer and reassert the personal jurisdiction defense with clear non-waiver language. This means explaining that further participation in the litigation remains subject to the rejected personal jurisdiction defense and does not constitute acquiescence to the court's ruling.

Several court decisions highlight the preservation pitfall of forfeiting a personal jurisdiction defense through litigation on the merits. For example, in German American Financial Advisors & Trust Co. v. Rigsby, the Seventh Circuit held that a defendant will waive an objection to the lack of personal jurisdiction by giving the plaintiff a "reasonable expectation" that she "will defend the suit on the merits." Similarly, in Blockowicz v. Williams, the defendant waived their personal jurisdiction defense by responding to the plaintiff's injunction motion and litigating on the merits without pressing their personal jurisdiction defense.

On the other hand, some courts have held that a defendant can fully participate and defend the litigation, even after an adverse ruling on personal jurisdiction, without waiving the defense. For instance, the D.C. Circuit held that if a defendant moves to dismiss at the outset of the case for lack of personal jurisdiction and litigates that issue fully, they can safely defend the merits of the case thereafter. The Ninth Circuit has also held that waiver does not arise from vigorous litigation of the remaining claims or defenses following an adverse ruling on personal jurisdiction.

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