State Judicial Database Coding Rules

Michigan State University


Contents

Introduction
Identification Variables
Basic Case Information
Participants
General Category for Issue Classification
Criminal Appeals Issue Classification
Criminal Cases Legal Issues
Outcome Variables Criminal Appeals
Civil Cases Legal Issues
Features of Civil Government Cases
Features of Civil Private Cases
Outcome Variables Juvenile Cases
Justice Voting - Sitting Justices
Justice Voting - Substitute/Ad Hoc Justices


Introduction

The state supreme court database template is intended to enhance the validity and reliability of case coding. This is accomplished by requiring coders, who have varying levels of knowledge about state judicial politics, to choose from a pre-defined set of responses to all but a few questions. These sets of responses initially were developed by the co-principal investigators based on their experiences working with state supreme court data, the United States Supreme Court and Courts of Appeals database p rojects, and extensive feedback from a variety of scholars reviewing the template. Refinement and revision of the template, including the pre-defined response categories, continued through rounds of testing conducted jointly at Michigan State University and Rice University in the Fall of 1997. The coding rules reported here are a product of this process and the experiences of the coders in Fall 1998 with the actual template. The coding rules are broken down by template section and are intended to offer guidance to coders by providing clarifications and illustrative examples.

IDENTIFICATION VARIABLES

Case Number
Cases are numbered from 1 up to 200 within each state.
Are both litigants in this case classified as appellants?
If both parties are listed as appellants (i.e., a cross appeal) in the court decision, code the first party listed as the petitioner and the second party listed as the respondent.
Case Title
If a case title begins "In re . . ." or "Ex parte . . ." type the words "In re" or "Ex parte" in the first blank field of the Case Title field and the remainder of the case title in the second blank field of the Case Title field. For example, if a case is entitled "In re Smith," the entry in the first blank field of the Case Title field is "In re" and the entry in the second blank field of the Case Title field is "Smith."
Docket number
Docket number is the docket number corresponding to the case title listed in the regional reporter table of contents. If a case has multiple docket numbers, entries for all fields on all pages of the template are based on the information contained in the opinion pertaining to the docket number corresponding to the case title listed in the regional reporter table of contents.
If a case has multiple docket numbers but a single case title, entries for all fields on all pages of the template are based on the information contained in the opinion pertaining to the first docket number listed. See, for example, 676 A 2d 375.
Year of state supreme court decision
Month of state supreme court decision
Day of state supreme court decision
If notation such as "rehearing denied Nov. 11, 1996" appears, the year, month and day of the decision refers to the last decision date prior to the application for rehearing. For example, in the case of the following notation:
Decided April 1, 1996
Rehearing denied November 11, 1996
the date of the decision is April 1, 1996 and not November 11, 1996. Or, for example, in the case of the following notation:
Decided February 14, 1996
Motion for Rehearing Denied March 31, 1996
the date of the decision is February 14, 1996 and not March 31, 1996.

BASIC CASE INFORMATION

Court that heard this case for the first time
The first court that heard the case and is listed on the state court organizational chart. For example, if the case was first heard by a worker's compensation commission, board, court or judge but that entity does not appear on the state court organizational chart, that entity is NOT the court that heard the case for the first time. In this case, if the decision of the worker's compensation commission, court or judge was appealed to the intermediate appellate court, the intermediate appellate court is the first court to hear the case.
Court being reviewed by the state supreme court
If the state supreme court is reviewing the decision of an entity not appearing on the state court organizational chart this field is coded "88 - Not Relevant."
Manner in which state supreme court takes jurisdiction
The state supreme court can be the first court to have heard a case but not be hearing the case via original jurisdiction For example, if a case is first heard by a worker's compensation commission, board, court or judge but that entity does not appear on the state court organizational chart, and the decision of that entity is appealed directly to the state supreme court, unless the decision specifies that the state supreme court is hearing the case as an original jurisdiction case, it is not hearing it as such. It is most likely heari ng the case on appeal and is coded "2 - Appeal/Certiorari."

PARTICIPANTS

Are there multiple petitioners/appellants in this case?
Are there multiple respondents/appellees in this case?
If there are multiple docket numbers in a case, whether or not there are multiple petitioners/respondents depends solely on the particulars pertaining to the docket number being coded. For example, docket 1 is "Smith v. Jones" and docket 2 is "Reynolds et al. v. Hastings": if docket 1 is the case being coded, there are not multiple petitioners; if docket number 2 is the case being coded, there are multiple petitioners.
For criminal cases only, was the criminal defendant represented before the supreme court by a public defender or state appointed counsel?
If the case is not a criminal case, change the default of "0 - No" to "88 - Not Relevant."
If the case is a criminal case, unless the decision specifies that a criminal defendant is being represented by a public defender or state appointed counsel, the default of "0 - No" is NOT to be changed. In other words, do not infer that the criminal defendant is being represented by a public defender or state appointed counsel unless it is specifically noted as such in the opinion.
Petitioners/Appellants - Respondents/Appellees
Natural Person
Code employee/job applicant when gender is known but race is not known as "1055 - unable to classify using above categories" and type "male [female] employee [job applicant]" in "Description of other litigant type."
Code employee/job applicant when race is known but gender is not known as "1055 - unable to classify using above categories" and type "white [black, Hispanic, etc.] employee [job applicant]" in "Description of other litigant type."
Code person making a tort claim and does not fit other choices for natural person as "1055 - unable to classify using above categories" and type "tort claimant - [type of tort claim]" in "Description of other litigant type." For example, "tort claimant - slip and fall." Note, use this option only if the natural person making the tort claim does not fit one of the provided categories.
Petitioner/Appellants - Respondents/Appellees
Private organization or association
"3012 - union - private" refers to classification of union representing private company employees.
"3013 - union - public" refers to classification of union representing public employees.
Petitioners/Appellants - Respondents/Appellees
Local or county government
State government
If a party to a case is a governmental party such as "The People," "The State," "Township of . . .," etc., select "[City of / County of, State of] - in corporate capacity."
if a party to a case is a school board, select "Legislative, school board, board of trustees for college or junior college." In other words, a school board is not coded under the Educational institutional category.
Petitioners/Appellants - Respondents/Appellees
Description of other litigant type
Any time "other - unable to classify using above categories" is selected, type a description, even if "Other first respondent" is left blank. In other words, the Description of other litigant type text field is not restricted to those cases in which "Other first respondent" has been selected.

GENERAL CATEGORY FOR ISSUE CLASSIFICATION

Criminal
If a case involves criminal penalties (including habeas corpus cases), code the case as criminal.
Civil Government
If a case is clearly civil rather than criminal and a court or other branch of government is listed as a party to a case, code the case as civil government. For example, elections, first amendment issues, government regulation, practice of law, public co ntracts, privacy issues, etc. are civil government cases. If a case involves the promulgation of rules of practice, code the case as civil government.
Civil Private
If a case is clearly civil and does not involve the government as a party, code the case as civil private. For example, domestic relations, estates, contracts, etc.
Non-Adversarial
If a case involves certification or advisory opinions code the case as non-adversarial.
Juvenile
If a case involves delinquency, truancy, curfew or runaways, code the case as juvenile.

CRIMINAL APPEALS ISSUE CLASSIFICATION

Convictions Reviewed
Did the court review a conviction for any of the following?
Assault - Aggravated
Assault - other
Check Assault - Aggravated only if text of opinion specifically uses that terminology. For all other assaults, check Assault - other.
Manslaughter - negligent
Manslaughter - nonnegligent
If conviction is for involuntary manslaughter, code "1 - Yes" for Manslaughter - negligent.
If conviction is for other than involuntary manslaughter, code "1 - Yes" for Manslaughter - nonnegligent.
Total number of convictions reviewed
Total number of convictions reviewed will not equal the sum of categories checked above if more than one conviction of a particular type is reviewed by state supreme court. For example, if a defendant is convicted of 3 counts of arson, 1 count of drunkenness and 2 counts of prostitution/commercialized vice, and the court addresses each conviction, the total number of convictions reviewed is 6, even though there are only 3 substantively different types of convictions checked in the above list.

CRIMINAL CASES LEGAL ISSUES

Did the court review a challenge involving any of the following legal issues?
Racial discrimination against defendant
If the issue of racial discrimination against defendant is raised in conjunction with another (procedural) legal issue in the listing of legal issues in criminal cases, select "1 - Yes" for both "Racial discrimination against defendant" and the other legal issue. For example, if a case involves a challenge to racially discriminatory jury selection, select "1 - Yes" for "Racial discrimination against defendant" and for "Jury selection."
Total number of legal issues addressed by the supreme court
Total number of legal issues is usually the sum of the legal issues (including "other legal issues) selected in the above listing, with the possible exception of cases with more than one "other legal issues" and "Racial discrimination against defendant," as noted below. If a case involves more than one other legal issue not covered by the list of legal issues in criminal cases, the total number of legal issues is the sum of the legal issues selected in the above listing plus the number of "other legal issues" over and ab ove 1. For example, if the supreme court reviews a challenge to the issue of discovery, the issue of jurisdiction and the interpretation of a habitual offender statute, select "1 - Yes" for "Discovery" and for "other legal issue," code "Total number of l egal issues addressed by the supreme court" as 3 and enter "jurisdiction" in the "DESCRIPTION OF OTHER If you selected other type a description" field (since jurisdiction is the first "other" issue listed). If the issue of racial discrimination against the defendant is raised in conjunction with another (procedural) legal issue in the listing of legal issues in criminal cases, the issue of racial discrimination does not count as a separate legal issue addressed by the supreme court. For example, if a case involves a challenge to racially discriminatory jury selection and sufficiency of the evidence, the total number of legal issues addressed by the supreme court is 2, not 3, even though 3 categories of legal issues are checked in the lis ting above.

OUTCOME VARIABLES CRIMINAL APPEALS

Form of the court majority
If court decision deals with more than one case (docket number) and a justice concurs in part and dissents in part, if the dissent is specific to the case not being coded then the "Form of the court majority" is "1 - Unanimous without concurrence(s)." For example, consider a case with 2 docket numbers: docket 1 People vs. Smith and docket 2 People vs. Jones. Assume the coding has been on the basis of those portions of the opinion referring to People vs. Smith; i.e., People vs. Smith is the case listed in the regional reporter table of contents. If the justice concurring in part and dissenting in part agrees with everything in the majority opinion relating to People vs. Smith, both the disposition and the logic behind that disposition, the "Form of the court majority" is "1 - unanimous ."
Supreme court's disposition of lower court
If the supreme court affirms and remands, code "55 - Other" and note in lab book disposition is affirm and remand.
Winning party in the supreme court
If the petitioner is any better off then code "Winning party in the supreme court" as "1 - Petitioner/Appellant." For example, if petitioner is appealing 3 convictions (murder, prostitution and vagrancy), and the supreme court affirms the murder and prostitution convictions but reverses the vagrancy conviction, the "Winning party in the supreme court" is "1 - Petitioner/Appellant," even though the murder and prostitution convictions (the more "serious" convictions) stand.
Did the supreme court overturn any convictions in this case?
Code as "1 - Yes" only if the supreme court specifically overturns a conviction. Code as "0 - No" if the supreme court specifically reviews at least one conviction but does not overturn a conviction. Code as "88 - Not Relevant" if the supreme court does not specifically review at least one conviction.
Did the supreme court overturn a sentence in this case?
Code as "1 - Yes" only if the supreme court specifically overturns a sentence. Code as "0 - No" if the supreme court specifically reviews a sentence but does not overturn a sentence. Code as "88 - Not Relevant" if the supreme court does not specifically review a sentence.
Did the supreme court overturn a death sentence in this case?
Code as "1 - Yes" only if the supreme court specifically overturns a death sentence. Code as "0 - No" if the supreme court specifically reviews a death sentence but does not overturn a death sentence. Code as "88 - Not Relevant" if the supreme court does not specifically review a death sentence.
Is there a constitutional challenge to a law passed by another branch of government under the U.S. Constitution?
If yes, what type of law was challenged?
If yes, was the law declared unconstitutional?
If the answer to the first questions is "0 - No" code the second two questions as "88 - Not Relevant."
Is there a constitutional challenge to a law passed by another branch of government under the state constitution?
If yes, what type of law was challenged?
If yes, was the law declared unconstitutional?
If the answer to the first question is "0 - No" code the second two questions as "88 - Not Relevant."

CIVIL CASES LEGAL ISSUES

Did the court review a challenge involving any of the following legal issues?
Abuse of discretion by trial judge
Code case as involving alleged "abuse of discretion" only if that terminology is used.
Even if the alleged abuse of discretion is not technically being considered by a "trial judge," code case as involving alleged "abuse of discretion" if that terminology is used. For example, if "abuse of discretion" is being alleged against a worker's compensation commission, board, court or judge but that entity does not appear on the state court organizational chart (and, therefore, that entity, is not being treated as the first "court" to hear the case), code "Abuse of discretion" as "1 - Yes."
Arbitrary or capricious standard
Clearly erroneous standard
Code as "1 - Yes" only if that exact terminology is used.
Total number of legal issues addressed by the supreme court
Total number of substantively different legal issues addressed by the supreme court. Entry in this field will equal the sum of categories checked above unless more than one "other" type of legal issue is addressed by the court. In this case, the total number will equal the sum of categories checked above plus the number of "other" legal issues addressed by the court over and above 1.
Description of Other
If you selected other type a description
If legal issue addressed by the state supreme court is regarding the proper interpretation of a statute and does not correspond to any of the other choices listed above, select "1 - yes" for "other legal issues" and type "statutory interpretation - [subject of statute]" in description field. For example, if the state supreme court is interpreting a workers' compensation statute, the entry in the description field would be "statutory interpretation - workers compensation."

FEATURES OF CIVIL [GOVERNMENT, PRIVATE] CASES

Form of the court majority
If court decision deals with more than one case (docket number) and a justice concurs in part and dissents in part, if the dissent is specific to the case not being coded then the "Form of the court majority" is "1 - Unanimous without concurrence(s)." For example, consider a case with 2 docket numbers: docket 1 People vs. Smith and docket 2 People vs. Jones. Assume the coding has been on the basis of those portions of the opinion referring to People vs. Smith; i.e., People vs. Smith is the case listed in the regional reporter table of contents. If the justice concurring in part and dissenting in part agrees with everything in the majority opinion relating to People vs. Smith, both the disposition and the logic behind that disposition, the "Form of the court majority" is "1 - unanimous ."
Supreme court's disposition of lower court
If the supreme court affirms and remands, code "55 - Other" and note in lab book disposition is affirm and remand
Winning party in the supreme court
If the petitioner is any better off then code "Winning party in the supreme court" as "1 - Petitioner/Appellant." For example, if petitioner is appealing 3 convictions (murder, prostitution and vagrancy), and the supreme court affirms the murder and prostitution convictions but reverses the vagrancy conviction, the "Winning party in the supreme court" is "1 - Petitioner/Appellant," even though the murder and prostitution convictions (the more "serious" convictions) stand.
Did the supreme court reduce liability or overturn a verdict?
Code as "1 - Yes" only if the supreme court specifically reduces liability or overturns a verdict. Code as "0 - No" if the supreme court reviews liability or a verdict but neither reduces liability nor overturns a verdict. Code as "88 - Not Relevant" if the supreme court does not specifically review liability or a verdict.
Did the supreme court reduce or overturn a monetary award?
Code as "1 - Yes" only if the supreme court specifically reduces or overturns a monetary award. Code as "0 - No" if the supreme court reviews a monetary reward but neither reduces nor overturns it. Code as "88 - Not Relevant" if the supreme court does not review a monetary award.
Did the supreme court overturn an injunction or other order?
Code as "1 - Yes" only if the supreme court specifically overturns an injunction or other court order. Note that when a lower court ruling uses terminology such as "It is so ordered . . . " and the supreme court overturns that lower court ruling, this does not necessarily mean that what the supreme court is overturning an "other" court order. In other words, for this question to be coded as "1 - Yes" the supreme court must be overturning an injunction or other such legal order and not simply a lower court ruling that does not inclu de such an injunction or order.
Is there a constitutional challenge to a law passed by another branch of government under the U.S. Constitution?
If yes, what type of law was challenged?
If yes, was the law declared unconstitutional?
If the answer to the first questions is "0 - No" code the second two questions as "88 - Not Relevant."
Is there a constitutional challenge to a law passed by another branch of government under the state constitution?
If yes, what type of law was challenged?
If yes, was the law declared unconstitutional?
If the answer to the first question is "0 - No" code the second two questions as "88 - Not Relevant."

OUTCOME VARIABLES JUVENILE CASES

Were any of the juvenile's activities gang related?
If there is any mention of gang activity in opinion, code as "1 - Yes."
Form of the court majority
If court decision deals with more than one case (docket number) and a justice concurs in part and dissents in part, if the dissent is specific to the case not being coded then the "Form of the court majority" is "1 - Unanimous without concurrence(s)." For example, consider a case with 2 docket numbers: docket 1 People vs. Smith and docket 2 People vs. Jones. Assume the coding has been on the basis of those portions of the opinion referring to People vs. Smith; i.e., People vs. Smith is the case listed in the regional reporter table of contents. If the justice concurring in part and dissenting in part agrees with everything in the majority opinion relating to People vs. Smith, both the disposition and the logic behind that disposition, the "Form of the court majority" is "1 - unanimous ."
Supreme court's disposition of lower court
If the supreme court affirms and remands, code "55 - Other" and note in lab book disposition is affirm and remand
Winning party in the supreme court
If the petitioner is any better off then code "Winning party in the supreme court" as "1 - Petitioner/Appellant."
Did the supreme court overturn a finding of delinquency?
Code as "1 - Yes" only if the supreme court is directly dealing with and overturning a finding of delinquency. Code as "2 - No" if the supreme court is directly dealing with but not overturning a finding of delinquency. Code as "88 - Not Relevant" if the supreme court is not directly dealing with a finding of delinquency.
Did the supreme court overturn a probation/confinement sentence?
Code as "1 - Yes" only if the supreme court is directly dealing with and overturning a probation/confinement sentence. Code as "2 - No" if the supreme court is directly dealing with but not overturning a probation/confinement sentence. Code as "88 - Not Relevant" if the supreme court is not directly dealing with a finding of delinquency.
Is there a constitutional challenge to a law passed by another branch of government under the U.S. Constitution?
If yes, what type of law was challenged?
If yes, was the law declared unconstitutional?
If the answer to the first questions is "0 - No" code the second two questions as "88 - Not Relevant."
Is there a constitutional challenge to a law passed by another branch of government under the state constitution?
If yes, what type of law was challenged?
If yes, was the law declared unconstitutional?
If the answer to the first question is "0 - No" code the second two questions as "88 - Not Relevant."

JUSTICE VOTING - SITTING JUSTICES

Did the court sit en banc?
Not all court state supreme courts sit en banc. The following state supreme courts may not be sitting en banc:
Alabama
Connecticut
Delaware
Iowa
Massachusetts
Mississippi
Montana
Nebraska
New Mexico
Virginia
Washington

Justice Name - [1, 2, . . .]
When an opinion does not list all of the participating judges, determine those judges participating, but not listed in the opinion, on the basis of the Natural Courts document. In those cases in which there has been a change of membership on the bench at or around the time that a case is argued and/or decided, determine participation for unlisted judges on the basis of the date the case is decided. To illustrate, consider a case that is argued on November 1, 1995 but not decided until December 31, 1995. If Justice A is not listed as a member of the court as of November 1, 1995 but is listed as a member of the court by December 31, 1995, assume Justice A is, in fact, a participating member of the court for the case in question. The exception to this ru le is when it is clear that Justice A could not be a participating member. For example, if Justice B, whom Justice A is replacing, is listed in the Natural Courts document as having retired effective November 15, 1995 but is specifically listed as writin g the opinion released December 31, 1995, then voting and opinion behavior should not be coded for Justice A. Justice [1, 2, . . .]
Opinion Behavior
In some states, the court uses "concurs" for "joins." Coding a justice as "2 - Joins majority opinion without writing" versus "5 - Concurs without comment" or vice versa is based on the actual behavior of the justices and not merely the language a partic ular court chooses to use. If a justice specially concurs or concurs in result only but does not write an opinion to support his or her concurrence, code justice as "5 - concurs without comment." '"9 - Concurs in part/dissents in part" refers to both writing a concur in part/dissent in part opinion and joining a concur in part/dissent in part opinion without writing.
If a justice is joining an opinion that concurs in part and dissents in part, enter the name of the justice who authors the opinion in both "If joins concurrence with whom does justice concur" and "If joins dissent with whom does justice dissent" fields.
In other words, if Justice Adam Smith is joining Justice John Paul Jones' opinion that concurs in part and dissents in part, then enter "Jones, John Paul" in both "If joins concurrence with whom does justice concur" and "If joins dissent with whom does j ustice dissent" fields for Justice Smith. If a justice concurs in part and dissents in part in an opinion involving more than one case, code the behavior of the justice as it pertains to the case being coded. For example, consider the following, case A and case B have been joined for the purposes of appeal and case A is the case being coded for the database. A justice writes an opinion dissenting in part and concurring in part. However, it is clear from the opinion that the justice is dissenting only with regard to case B; i.e., she agrees with the majority opinion with regard to cas e A. In this case, the justice should be coded as "2 - Joins majority opinion without writing" since that is the behavior of the justice with regard to the specific case being coded.

JUSTICE VOTING - SUBSTITUTE/AD HOC JUSTICES

Ad Hoc Justice Name - [1, 2, . . .]
When an opinion does not list all of the participating judges, determine those judges participating, but not listed in the opinion, on the basis of the Natural Courts document. In those cases in which there has been a change of membership on the bench at or around the time that a case is argued and/or decided, determine participation for unlisted judges on the basis of the date the case is decided. To illustrate, consider a case that is argued on November 1, 1995 but not decided until December 31, 1995. If Justice A is not listed as a m ember of the court as of November 1, 1995 but is listed as a member of the court by December 31, 1995, assume Justice A is, in fact, a participating member of the court for the case in question. The exception to this rule is when it is clear that Justice A could not be a participating member. For example, if Justice B, whom Justice A is replacing, is listed in the Natural Courts document as having retired effective November 15, 1995 but is specifically listed as writing the opinion released December 31, 1995, then voting and opinion behavior should not be coded for Justice A.
Ad Hoc Justice [1, 2, . . .]
Opinion Behavior
In some states, the court uses "concurs" for "joins." Coding a justice as "2 - Joins majority opinion without writing" versus "5 - Concurs without comment" or vice versa is based on the actual behavior of the justices and not merely the language a particular court chooses to use.
If a justice specially concurs or concurs in result only but does not write an opinion to support his or her concurrence, code justice as "5 - concurs without comment." '"9 - Concurs in part/dissents in part" refers to both writing a concur in part/dissent in part opinion and joining a concur in part/dissent in part opinion without writing.
If a justice is joining an opinion that concurs in part and dissents in part, enter the name of the justice who authors the opinion in both "If joins concurrence with whom does justice concur" and "If joins dissent with whom does justice dissent" fields.
In other words, if Justice Adam Smith is joining Justice John Paul Jones' opinion that concurs in part and dissents in part, then enter "Jones, John Paul" in both "If joins concurrence with whom does justice concur" and "If joins dissent with whom does j ustice dissent" fields for Justice Smith. If a justice concurs in part and dissents in part in an opinion involving more than one case, code the behavior of the justice as it pertains to the case being coded. For example, consider the following, case A and case B have been joined for the purposes of appeal and case A is the case being coded for the database. A justice writes an opinion dissenting in part and concurring in part. However, it is clear from the opinion that the justice is dissenting only with regard to case B; i.e., she agrees with the majority opinion with regard to cas e A. In this case, the justice should be coded as "2 - Joins majority opinion without writing" since that is the behavior of the justice with regard to the specific case being coded.
2/1/99