4CHAPTER 4:

APPLICATION OF LAW

Using Case LawCourt Hierarchy

Part One: The Court Structure

Federal Court Hierarchy

United States Supreme Court

United States Court of Appeals

United States District Court

New York Court Hierarchy

New York Court of Appeals

Appellate Division

Appellate Term

NY Supreme Court

NYC Crim or Civil Court

Part Two: Understanding

Precedent

Making A Decision In order to make a decision, the court

must follow the law:

Constitutional law

Statutory law

Administrative law

Case law from a court decision

Making a Decision

Past case law is precedent

Making a Decision

A court when using court decisions to make a current court decision looks at past case law from various courts.

… It is well settled that police officers, in order to legally forcibly stop and seize an individual, must have articulable, reasonable suspicion that the individual was involved in criminal activity (see People v DeBour, 40 NY2d 210, 223 [1976]; People v McNair, 36 AD3d 1073, 1074 [2007], lv. denied 9 NY3d 847 [2007]). A seizure occurs when there is “a significant interruption with an individual’s liberty of movement” (People v DeBour, 40 NY2d at 216; see People v Ocasio, 85 NY2d 982, 984 [1995]).

Making a Decision

Not all courts are the same or equal.

New York Court of Appeals

Appellate Division

Appellate Term

NY Supreme Court

NYC Crim or Civil Court

What Is The Value Of That Court Decision?

Every court decision does two things: 

1) It binds both parties to the decisions. 

That is, both parties must follow that decision

2) It sets a precedent

It creates a decision that other court must either follow or think about.

(1) It Binds Both Parties To The Decisions.

When a court makes a decision, each party is bound by it. 

Examples:  

Trial Court motion is granted and an order is issued.

The losing party must follow that court order

Appellate Court hears appeal and reverses

The losing party and the lower court must follow that decision

(2) It Sets A Precedent When any court makes a decision, it

creates precedent.

Precedent is case law created by previous decision.

Does precedent bind other courts?

In other words, which courts who must follow that decision?

Which Courts Must Follow Other Courts Previous Decision

(i.e., Precedent)?

Federal Courts

Federal Court System

United States Supreme Court

United States Court of Appeals

United States District Court

Precedential Hierarchy

Using Case Law

When a party makes an argument through pleadings and/or oral arguments, the party will use law.

When they use case law, they want to use case law that is mandatory or controlling on the court before it.

In other words, the law they present is law that the court must follow.

If it is not controlling, then the law is persuasive (i.e., not controlling).

General Rule for Using Cases

CONTROLLING:

All decisions from court higher in the court hierarchy are controlling on that lower court.

NOT CONTROLLING (Persuasive):

All decisions from a court lower in the court hierarchy are not controlling on that higher court.

Highest Court

Intermediate Appellate Court

Court of Original Jurisdiction

Federal Courts

United States Supreme Court Decisions

The United States Supreme Court is the final interpreter of the United States Constitution.

If the United States Supreme Court interprets the Federal Constitution, all courts in the United States are bound by these decisions — they must follow that decision

US Supreme Court

US Court of Appeals

US District Courts

United States Court of Appeals Decisions

US Court of Appeals decisions must follow US Supreme Court decisions.

If the United States Court of Appeals renders a decision,

it is controlling on the US District Court

it is persuasive on the US Supreme Court

US Supreme Court

US Court of Appeals

US District Courts

United States District Court Decisions

US District Courts must follow US Supreme Court and US Court of Appeals decisions.

If the United States District renders a decision,

it is persuasive on the US Supreme Court and US Court of Appeals.

It is not controlling on any court.

US Supreme Court

US Court of Appeals

US District Courts

What This Means

If you are drafting a memorandum of law for the US District Court:

Cite

US Supreme Court and

US Court of Appeals Decisions

US Supreme Court

US Court of Appeals

US District Courts

What This Means

If you are drafting a memorandum of law for the US Court of Appeals:

Cite US Supreme Court Decisions

US Supreme Court

US Court of Appeals

US District Courts

New York Courts

New York Court of Appeals decisions

The New York Court of Appeals is the final interpreter of New York law, including the interpretation of New York statutes and the New York Constitution.

NY Court of Appeals

NY Appellate Division

NY Supreme Court

New York Court of Appeals decisions

All Court of Appeals decisions must be followed

by all lower appellate courts (Appellate Division or the Appellate Term) and

by all trial courts (courts of original jurisdiction).

NY Court of Appeals

NY Appellate Division

NY Supreme Court

Decisions of intermediate appellate courts

The intermediate appellate courts in New York are

the Appellate Division and

the Appellate Term.

NY Court of Appeals

Appellate Division

AppellateTerm

Supreme Court

NYC Criminal

Court

Decisions of intermediate appellate courts

The Appellate Division hears appeals from the trial court decisions of

The Supreme Court,

The Court of Claims,

Family Court, and

Surrogates Court.

Appellate Term (can).

NY Court of Appeals

Appellate Division

AppellateTerm

Supreme Court

NYC Criminal

Court

Decisions of intermediate appellate courts

The Appellate Terms hears appeals from decisions of

the NYC Criminal Court and

the NYC Civil Court.

NY Court of Appeals

Appellate Division

Appellate Term

Supreme Court

NYC Criminal

Court

Decisions of intermediate appellate courts

NY Court of Appeals decisions are controlling on all intermediate appellate courts.

NY Court of Appeals

Appellate Division

Appellate Term

Supreme Court

NYC Criminal

Court

Decisions of intermediate appellate courts

Decisions by the Appellate Division are controlling on

courts of original jurisdiction and

the Appellate Term.

NY Court of Appeals

Appellate Division

Appellate Term

Supreme Court

NYC Criminal

Court

Decisions of intermediate appellate courts

Decisions of the Appellate Term are controlling on courts whose decisions are appealed to it

NYC Criminal Court; and

NYC Civil Court.

NY Court of Appeals

Appellate Division

AppellateTerm

Supreme Court

NYC Criminal

Court

Hierarchy Of Authority Between Departments

NY trial courts must follow decisions from the Appellate Division.

The Appellate Division is divided geographically into 4 Departments.

First Department

Second Department

Third Department

Fourth Department 1st 2nd

3rd4th

What Happens When Two Departments Disagree With Each

Other? Is that possible?

Yes, each Department must follow the court of Appeals, BUT each Department does not have to follow each other.

First Department is not bound by the Second Department

What’s a trial court to do?

NY Court of Appeals

1st Dept

2d Dept

3d Dept

4th Dept

Sup Ct,

Bronx

County

Sup Ct,

Queens

County

Sup Ct,

Albany

County

Sup Ct, Erie

County

Rule

A trial court must follow their Department’s decisions.

NY Court of Appeals

1st Dept

2d Dept

3d Dept

4th Dept

Sup Ct,

Bronx

County

Sup Ct,

Queens

County

Sup Ct,

Albany

County

Sup Ct, Erie

County

Rule

If their Department has not ruled on the issue, they must follow another Department

NY Court of Appeals

1st Dept

2d Dept

3d Dept

4th Dept

Sup Ct,

Bronx

County

Sup Ct,

Queens

County

Sup Ct,

Albany

County

Sup Ct, Erie

County

Rule

If the Departments have conflicting rulings, then their decisions are not binding.

NY Court of Appeals

1st Dept

2d Dept

3d Dept

4th Dept

Sup Ct,

Bronx

County

Sup Ct,

Queens

County

Sup Ct,

Albany

County

Sup Ct, Erie

County

What Happens When Two United States Courts of Appeal

Disagree With Each Other?

The Federal Court of Appeals is divided into 13 Circuits

What Happens When Two Federal Circuits Disagree With Each Other?

The same rules that apply to the New York intermediate appellate courts, apply to the Federal intermediate appellate courts

Procedure in a Trial Court

Follow Court of Appeals decisions

NY Court of Appeals

1st Dept

2d Dept

3d Dept

4th Dept

Sup Ct,

Bronx

County

Sup Ct,

Queens

County

Sup Ct,

Albany

County

Sup Ct, Erie

County

Procedure in a Trial Court

If no Court of Appeals decision, then follow your Department.

NY Court of Appeals

1st Dept

2d Dept

3d Dept

4th Dept

Sup Ct,

Bronx

County

Sup Ct,

Queens

County

Sup Ct,

Albany

County

Sup Ct, Erie

County

Procedure in a Trial Court

If your Department has not ruled on the issue, then follow another Department.

NY Court of Appeals

1st Dept

2d Dept

3d Dept

4th Dept

Sup Ct,

Bronx

County

Sup Ct,

Queens

County

Sup Ct,

Albany

County

Sup Ct, Erie

County

Procedure in a Trial Court

If the other Departments are in conflict, then there are no controlling decisions.

NY Court of Appeals

1st Dept

2d Dept

3d Dept

4th Dept

Sup Ct,

Bronx

County

Sup Ct,

Queens

County

Sup Ct,

Albany

County

Sup Ct, Erie

County

Procedure in a Trial Court

Follow Court of Appeals decisions

If no Court of Appeals decision, then follow your Department.

If your Department has not ruled on the issue, then follow another Department.

If the other Departments are in conflict, then there are no controlling decisions.

NY Court of Appeals

1st Dept

2d Dept

3d Dept

4th Dept

Sup Ct,

Bronx

County

Sup Ct,

Queens

County

Sup Ct,

Albany

County

Sup Ct, Erie

County

Are Federal Court Decisions Controlling On New York State

Courts?

The United States Supreme Court is the FINAL interpreter of the United States Constitution.

All courts in the United States (both Federal and States Courts), must follow the US Constitution.

Are Federal Court Decisions Controlling On New York State

Courts?

In order to follow the constitution, they must interpret the US Constitution.

When the US Supreme renders a decision interpreting the US Constitution, all courts, both Federal and State, must follow the US Supreme Court decision.

The decision is controlling on ALL courts

What About Other Federal Court’s Decisions?

All decisions of the US Court of Appeals and the US District Courts are NOT controlling on the state courts.

They are persuasive on the state courts.

US Supreme Court

NY Court of Appeals

US Court of

Appeals

Appellate

Division

US District Courts

NY Supreme Court

Part Three: What Does a Court Decision Do?

What Does A Trial Court Decision Do?

Resolves a legal issue from a case.

What Does A Trial Court Decision Do?

In a trial court, the court will decide motions

A motion is a request for a court order.

Motion for discovery

Motion to suppress evidence

Motion to dismiss

The court will grant or deny the motion

What Does An Appellate Court Decision Do?

Resolves a legal issue from a case.

In an appellate court, the court will decide whether the lower court’s decision was within the bounds of law.

What Does An Appellate Court Decision Do?

Did the lower court follow the law correctly?

The appellate court will either

Affirm the lower court decision

Reverse the lower court decision

Modify the lower court decision

What Happens When a Court Reverses?

When the Court of Appeals reverses an Appellate Division case, it might mean the Appellate Division case can no longer be followed by the trial courts.

NY Court of Appeals

Appellate Division

AppellateTerm

Supreme Court

NYC Criminal

Court

STARE DECISIS

Dealing With Precedent: Decisions by the Same Court

Up until not we have talked about one court past decision and whether the lower court has to follow that decision.

What about whether the court has to follow their previous precedent?

Understanding The Concept Of Stare Decisis

Stare decisis:

basic legal principle that commands judicial respect for a court's earlier decisions and the rules of law they embody.

promotes the evenhanded, predictable, and consistent development of legal principles,

fosters reliance on judicial decisions, and

contributes to the actual and perceived integrity of the judicial process.

Understanding the Concept of Stare Decisis

Adhering to our prior case law be the norm.

Not an “inexorable command”

Not “a mechanical formula of adherence to the latest decision” especially in constitutional cases

Departure from precedent is exceptional, and requires “special justification.”