Federal Judicial Caseload Statistics 2021

This report presents data on the work of the appellate, district, and bankruptcy courts and on the probation and pretrial services systems. The following is a summary of key findings provided for the year ending March 31, 2021. During this period, the COVID-19 pandemic affected the workload of most components of the federal Judiciary. When novel coronavirus cases began soaring, U.S. states shut down and issued stay-at-home orders. The federal Judiciary limited human contact in federal courthouses, shuttered some buildings, and used teleconferencing and other electronic methods to conduct proceedings. Many courts suspended jury trials when the pandemic surged in their areas. Not only court employees, but also attorneys and others making use of the courts had to acquire new skills and equipment to handle judicial work remotely. Many persons who otherwise would have become involved in litigation or other proceedings during the pandemic likely were unable or unwilling to do so.

• In the U.S. courts of appeals, filings decreased 8 percent.
• The bankruptcy appellate panels reported that filings fell 18 percent.
• Filings in the U.S. Court of Appeals for the Federal Circuit rose 14 percent.
• In the U.S. district courts, filings of civil cases grew 39 percent, largely because cases alleging personal injuries climbed 150 percent in response to multidistrict litigation filed in one district court; but for these cases, total civil filings would have gone down 4 percent. Filings for criminal defendants fell 30 percent.
• The U.S. bankruptcy courts received 38 percent fewer petitions.
• The number of persons under supervision by the federal probation system on March 31, 2021, was 1 percent below the total reported one year earlier.
• Pretrial services cases activated in the past 12 months declined 41 percent.

U.S. Courts of Appeals

Filings in the 12 regional courts of appeals fell 8 percent to 46,165 (down 4,093 appeals) in 2021. This reduction stemmed from lower filings of civil appeals, criminal appeals and original proceedings and miscellaneous applications, which more than offset increases in appeals of administrative agency decisions and bankruptcy appeals.

Civil appeals decreased by 3,767 cases to 23,733.

• Civil appeals not filed by prisoners fell 16 percent.
• Prisoner petitions dropped 11 percent.

Criminal appeals declined 5 percent to 9,862, mainly because of a 45 percent decrease in appeals related to immigration offenses.

• Seventy-eight percent of criminal appeals involved four offense categories: drugs, firearms and explosives, property offenses (including fraud), and sex offenses.

Appeals of administrative agency decisions rose 18 percent to 7,491, mostly due to growth in appeals of decisions by the Board of Immigration Appeals (BIA) and the Federal Energy Regulatory Commission (FERC).

• BIA appeals accounted for 85 percent of administrative agency appeals and constituted the largest category of administrative agency appeals filed in each circuit except the DC Circuit.
• FERC appeals rose 238 percent.

Original proceedings and miscellaneous applications fell 18 percent to 4,387, mostly because of a 24 percent decrease in original proceedings related to second or successive motions for writs of habeas corpus (down 867 proceedings).

• Sixty-seven percent of original proceedings involved second or successive motions for writs of habeas corpus, and 30 percent involved writs of mandamus.
• Of the 400 miscellaneous applications reported, motions for class actions accounted for 44 percent of the total.

Bankruptcy appeals rose 10 percent to 692.

Case terminations fell 4 percent to 47,210. Pending cases dropped 3 percent to 37,979.

For data on activity of the appellate courts, see the B series of tables.

Bankruptcy Appellate Panels

The Bankruptcy appellate panels (BAPs) reported that total filings decreased 18 percent to 433 (down 94 appeals). BAPs are three-judge panels authorized to hear appeals of bankruptcy court decisions. BAPs are units of the federal courts of appeals, and each BAP must be established by a circuit judicial council. Five federal judicial circuits—the First, Sixth, Eighth, Ninth, and Tenth Circuits—have BAPs.

This year, BAP filings fell in three of these circuits and increased in the other two circuits. Filings dropped by 70 appeals (down 20 percent) in the Ninth Circuit, by 22 appeals (down 35 percent) in the First Circuit, and by 14 appeals (down 39 percent) in the Eight Circuit. Filings grew by 9 appeals (up 30 percent) in the Sixth Circuit and by 3 appeals (up 5 percent) in the Tenth Circuit.

For data on activity of the BAPs, see Tables BAP-1 and Tables BAP-2.

U.S. Court of Appeals for the Federal Circuit

Filings in the U.S. Court of Appeals for the Federal Circuit increased 14 percent to 1,640.

• Filings involving the U.S. district courts decreased by 29 appeals to 298 (down 9 percent).
• Filings related to the U.S. Court of Federal Claims had the largest numeric growth, a rise of 133 appeals to 309 (up 76 percent).

Terminations of appeals declined 7 percent to 1,479 (down 116 appeals). The pending caseload climbed 13 percent to 1,392 (up 161 appeals).

For data on activity of the U.S. Court of Appeals for the Federal Circuit, see Table B-8.

U.S. District Courts

Combined filings in the U.S. district courts for civil cases and criminal defendants increased by 100,532 (up 24 percent) to 526,477. Terminations fell by 63,025 (down 16 percent) to 326,077. As filings exceeded terminations, the total for pending civil cases and criminal defendants rose by 199,546 (up 39 percent) to 711,778.

Civil Filings

Civil filings in the U.S. district courts increased 39 percent (up 128,746 cases) to 461,478. This growth occurred because of more than 190,000 multidistrict litigation (MDL) cases directly filed in a single district alleging that the 3M Company sold its Combat Arms earplugs to the U.S. military without disclosing defects that reduced hearing protection. Excluding these cases, civil filings would have fallen 4 percent this year, mainly in response to the effects of the COVID-19 pandemic.

Filings of cases involving diversity of citizenship (i.e., disputes between citizens of different states and/or between U.S. citizens and citizens of foreign nations) rose 96 percent to 275,453.

• Personal injury/product liability filings surged 150 percent (up 138,436 cases) as cases involving other personal injury/product liability rose by 136,905 filings (up 210 percent). Most were MDL cases filed in the Northern District of Florida that addressed 3M Combat Arms earplugs.
• Contract actions increased 9 percent (up 1,966 cases) to 22,829 as insurance cases jumped 22 percent (up 2,097 cases).
• Real property actions declined 42 percent (down 1,307 cases) as cases related to foreclosures fell 66 percent (down 1,047 cases).
• Filings under RICO (the Racketeer Influenced and Corrupt Organization Act) decreased 55 percent (down 169 cases).

Filings with the United States as defendant rose 21 percent to 47,282.

• Social security case filings grew 40 percent (up 7,170 cases) as cases involving disability insurance increased 44 percent (up 4,113 cases).
• Civil cases involving immigration climbed 32 percent (up 759 cases) as cases categorized as other immigration actions rose 44 percent (up 881 cases).
• Prisoner petition filings grew 7 percent (up 815 petitions) as petitions for writs of mandamus and other writs went up 117 percent (up 656 petitions) and those seeking habeas corpus relief for alien detainees increased 32 percent (up 504 cases).

Filings with the United States as plaintiff dropped 18 percent to 3,286.

• Cases involving recovery of overpayments and enforcement of judgments decreased 82 percent (down 136 cases) as defaulted student loan filings fell 94 percent (down 99 cases).
• Contract actions declined 58 percent (down 187 cases).

Federal question filings went down 9 percent to 135,456.

• Real property filings dropped 59 percent (down 1,479 cases) as cases involving rent, lease, and ejectment fell 79 percent (down 777 cases). Cases involving foreclosures declined 64 percent (down 435 cases).
• Civil rights filings decreased 6 percent (down 2,225 cases) as cases related to employment fell 15 percent (down 1,524 cases) and cases involving other civil rights dropped 6 percent (down 827 cases). Cases dealing with employment claims under the Americans with Disabilities Act went down 12 percent (down 290 cases), and cases addressing voting dropped 155 percent (down 160 cases).

Civil case terminations declined 10 percent to 269,248.

• The Southern District of West Virginia terminated 1,803 cases. Most were part of multidistrict litigation related to pelvic repair products.
• The District of Minnesota terminated 2,434 cases. Most were part of multidistrict litigation related to Stryker Rejuvenate and ABG II hip implant products.

Pending civil cases rose 49 percent to 590,288.

For data on activity related to civil cases in the district courts, see the C series of tables.

Criminal Filings

Criminal defendant filings (including transfers) in the U.S district courts dropped 30 percent (down 28,214 defendants) to 64,999. The reduction in defendant filings has been attributed mainly to the effects of the COVID-19 pandemic.

Filings for defendants charged with immigration offenses, which constituted 25 percent of all criminal defendant filings, decreased 53 percent to 15,952 (this total does not include defendants charged with immigration crimes in petty offense cases disposed of by magistrate judges).

• Eighty-seven percent of immigration defendant filings occurred in the five southwestern border districts. Immigration defendant filings within the southwestern border districts declined 50 percent.
• Filings dropped in all five southwestern border districts, falling 79 percent in the District of New Mexico (after growing 17 percent last year), 70 percent in the Southern District of California (after declining 13 percent last year), 51 percent in the Western District of Texas (after remaining relatively stable last year), 39 percent in the Southern District of Texas (after increasing 68 percent last year), and 33 percent in the District of Arizona (after growing 12 percent last year).

Filings involving drug offenses, which accounted for 33 percent of total defendant filings, decreased 17 percent to 21,150.

• Defendants charged with crimes involving drugs other than marijuana fell 16 percent to 19,597.
• Defendants charged with marijuana offenses dropped 30 percent to 1,553.

Defendants charged with crimes in the category of general offenses (e.g., public-order crimes such as money laundering) declined 19 percent to 1,553. Filings for defendants accused of sex offenses dropped 10 percent to 2,915. Defendant filings for firearms and explosives crimes went down 8 percent to 11,143. Traffic offense filings fell 46 percent to 1,004 (this total does not include defendants charged with traffic crimes in petty offense cases disposed of by magistrate judges).

Filings associated with property offenses, which amounted to 10 percent of all defendant filings, decreased 31 percent to 6,653.

Defendants charged with justice system offenses (i.e., crimes related to judicial proceedings, such as obstruction of justice or failure to appear) went down 14 percent to 720.

Terminations for criminal defendants decreased 36 percent to 56,829. The number for defendants pending rose 6 percent to 121,490.

For data on activity related to criminal defendants in the district courts, see the D series of tables.

U.S. Bankruptcy Courts

Filings of bankruptcy petitions declined 38 percent (down 290,933 petitions) to 473,349 (this total includes filings in the territorial courts—i.e., the Districts of Guam, the Northern Mariana Islands, and the U.S. Virgin Islands, where bankruptcy cases are heard by district court judges or visiting bankruptcy judges). Of the 90 bankruptcy courts, 89 reported lower filings. The reduction in bankruptcy petitions has been attributed mainly to the effects of the COVID-19 pandemic.

• The largest percentage decrease was a 61 percent drop in the Eastern District of New York. The largest numeric decline was a reduction of 19,104 filings in the Northern District of Illinois.
• The highest percentage increase was a rise of 10 percent in the District of Delaware.

Fewer petitions were filed under chapters 7, 9, 12, and 13 of the bankruptcy code. More petitions were filed under chapters 11 and 15.

• Chapter 13 filings fell 57 percent to 119,502.
• Chapter 9 filings decreased 50 percent to 3.
• Chapter 7 filings dropped 27 percent to 345,224.
• Chapter 12 filings declined 24 percent to 487.
• Chapter 15 filings increased 115 percent to 310.
• Chapter 11 filings grew 9 percent to 7,823.

Petitions filed by debtors with predominantly business debts fell 14 percent to 19,911. Debtors with nonbusiness (i.e., largely consumer) debts filed 453,438 petitions, 39 percent fewer than the previous year. Nonbusiness cases accounted for 96 percent of all petitions.

Terminations of bankruptcy cases declined 20 percent to 632,815. The number of cases pending on March 31 decreased 16 percent from the previous year’s total to 829,948. (Both totals include terminated and pending cases in the territorial courts.)

For data on the activity of the bankruptcy courts, see the F series of tables.

Adversary Proceedings

Adversary proceedings are separate civil lawsuits that arise in bankruptcy cases, including actions to object to or revoke discharges, to obtain injunctions or other equitable relief, and to determine the dischargeability of debt. Adversary proceedings may be associated with consumer bankruptcy cases, but most arise in cases filed under chapter 11. Because of time limits imposed by Section 546 of the bankruptcy code, the number of adversary proceedings filed usually is related to the number of chapter 11 cases filed two years earlier.

During the 12-month period ending March 31, 2021, the number of adversary proceedings filed declined 27 percent to 17,954 (this total includes filings in the territorial courts—i.e., the Districts of Guam, the Northern Mariana Islands, and the U.S. Virgin Islands, where bankruptcy cases are heard by district court judges or visiting bankruptcy judges). Seventy-three of the 90 bankruptcy courts reported reductions in filings, and 17 of the bankruptcy courts experienced increases in filings during this reporting period.

The number of adversary proceedings terminated fell 12 percent to 20,868. The number of pending adversary proceedings also fell 12 percent from the previous year to 21,649. These totals include terminated and pending adversary proceedings in the territorial courts.

For data on adversary proceedings filed in the bankruptcy courts, see Table F-8.

Post-Conviction Supervision

The number of persons under post-conviction supervision as of March 31, 2021, changed little from the total 12 months earlier, falling 1 percent from the prior year to 125,126 (down 1,749 persons). Persons serving terms of supervised release on that date following release from a correctional institution remained relatively steady, decreasing less than 1 percent to 111,635.

• Eighty-nine percent of persons under post-conviction supervision on March 31, 2021, were serving terms of supervised release.
• Ten percent of persons under post-conviction supervision were under supervision following the imposition of sentences of probation, and 1 percent were on parole.

Cases remaining open on March 31, 2021, that involved probation imposed by district and magistrate judges dropped 12 percent from the previous year’s total to 12,314.

Persons on parole, special parole, military parole, and mandatory release on the last day of the reporting period declined 10 percent to 757.

The number of persons received for post-conviction supervision was 57,931, a decrease of 8 percent from the previous year.

Closings of post-conviction supervision cases (excluding transfers and deaths) dropped 9 percent to 50,114 (down 4,843 cases).

In addition to their supervision duties, probation officers conduct investigations and prepare comprehensive reports to aid judges in sentencing convicted defendants. The officers’ presentence reports contain detailed background information on defendants and discuss issues related to the advisory sentencing guidelines.

• In 2021, probation officers wrote 48,585 presentence reports, a reduction of 38 percent from the previous year.
• Ninety-eight percent of the presentence reports addressed offenses for which the U.S. Sentencing Commission has promulgated sentencing guidelines.

For data on post-conviction supervision activity, see the E series of tables.

Pretrial Services

The number of cases opened in the pretrial services system equaled 64,823, a decrease of 41 percent from 2020. The reduction in pretrial services cases has been attributed mainly to the effects of the COVID-19 pandemic.

• A total of 319 pretrial diversion cases were activated, down 27 percent from the previous year.

The number of defendants received for supervision in the pretrial services system was 23,545, 11 percent below the number received in 2020.

• Defendants received for pretrial services supervision fell 11 percent to 23,036.
• Defendants received for pretrial diversion supervision dropped to 509, a 21 percent decrease from the previous year.

A total of 58,177 pretrial services cases were closed, a reduction of 42 percent.

Pretrial services officers prepare reports for judges to use in determining whether to order the release or detention of defendants. They also provide information judges use in establishing appropriate conditions for released defendants.

• Pretrial services officers interviewed 44,533 defendants (down 23 percent) and prepared 62,028 pretrial services reports (down 40 percent).

For persons under pretrial supervision, officers monitored their compliance with release conditions set by the courts, made referrals for support services that offer alternatives to detention (such as substance abuse treatment), and informed the courts and U.S. attorneys of apparent violations of release conditions.

• Defendants with release conditions dropped 11 percent to 26,132.

For data on pretrial services activity, see the H series of tables.