CHAPTER 4:
APPLICATION OF
LAW
Using Case Law
Court 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
NYC Crim or Civil
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
Making a Decision
New York Court of Appeals
Not all courts are
the same or equal.
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
(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
(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.
Highest Court
Intermediate
Appellate Court
 NOT CONTROLLING
(Persuasive):
 All decisions from a
court lower in the
court hierarchy are
not controlling on that
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
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
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.
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

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
NY Court of
Appeals
NY Appellate
Division
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
Appellate
Term
Supreme
Court
NYC
Criminal
Court
Decisions of intermediate appellate
courts
 The Appellate Division
hears appeals from the
trial court decisions of
NY Court of Appeals
The Supreme
Court,
The Court of
Claims,
Appellate
Division
Appellate
Term
Supreme
Court
NYC
Criminal
Court
Family Court, and
Surrogates Court.
Appellate Term
Decisions of intermediate appellate
courts
NY Court of Appeals
 The Appellate Terms
hears appeals from
decisions of
 the NYC Criminal
Court and
 the NYC Civil
Court.
Appellate
Division
Appellate
Term
Supreme
Court
NYC
Criminal
Court
Decisions of intermediate appellate
courts
NY Court of Appeals
 NY Court of
Appeals
decisions are
controlling on
all intermediate
appellate courts.
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
NY Court of Appeals
Appellate
Division
Appellate
Term
Supreme
Court
NYC
Criminal
Court
 NYC Criminal
Court; and
 NYC Civil
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 4th
 Third Department
 Fourth Department
3rd
1st
2nd
What Happens When Two
Departments Disagree With Each
Other?
 Is that possible?
NY Court of Appeals
 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
1st
Dept
2d
Dept
Sup
Sup
Ct,
Ct,
Bronx Quee
Count
ns
3d
Dept
4th
Dept
Sup Sup Ct,
Ct,
Erie
Alban County
y
Rule
 A trial court must
follow their
Department’s
decisions.
NY Court of Appeals
1st
Dept
2d
Dept
Sup
Sup
Ct,
Ct,
Bronx Quee
Count
ns
3d
Dept
4th
Dept
Sup Sup Ct,
Ct,
Erie
Alban County
y
Rule
 If their Department
has not ruled on the
issue, they must
follow another
Department
NY Court of Appeals
1st
Dept
2d
Dept
Sup
Sup
Ct,
Ct,
Bronx Quee
Count
ns
3d
Dept
4th
Dept
Sup Sup Ct,
Ct,
Erie
Alban County
y
Rule
 If the Departments
have conflicting
rulings, then their
decisions are not
binding.
NY Court of Appeals
1st
Dept
2d
Dept
Sup
Sup
Ct,
Ct,
Bronx Quee
Count
ns
3d
Dept
4th
Dept
Sup Sup Ct,
Ct,
Erie
Alban County
y
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
NY Court of Appeals
 Follow Court of
Appeals decisions
1st
Dept
2d
Dept
Sup
Sup
Ct,
Ct,
Bronx Quee
Count
ns
3d
Dept
4th
Dept
Sup Sup Ct,
Ct,
Erie
Alban County
y
Procedure in a Trial Court
NY Court of Appeals
 If no Court of
Appeals decision,
then follow your
Department.
1st
Dept
2d
Dept
Sup
Sup
Ct,
Ct,
Bronx Quee
Count
ns
3d
Dept
4th
Dept
Sup Sup Ct,
Ct,
Erie
Alban County
y
Procedure in a Trial Court
NY Court of Appeals
 If your
Department has
not ruled on the
issue, then follow
another
Department.
1st
Dept
2d
Dept
Sup
Sup
Ct,
Ct,
Bronx Quee
Count
ns
3d
Dept
4th
Dept
Sup Sup Ct,
Ct,
Erie
Alban County
y
Procedure in a Trial Court
NY Court of Appeals
 If the other
Departments are in
conflict, then there
are no controlling
decisions.
1st
Dept
2d
Dept
Sup
Sup
Ct,
Ct,
Bronx Quee
Count
ns
3d
Dept
4th
Dept
Sup Sup Ct,
Ct,
Erie
Alban County
y
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
NY Court of Appeals
1st
Dept
2d
Dept
Sup
Sup
Ct,
Ct,
Bronx Quee
Count
ns
3d
Dept
4th
Dept
Sup Sup Ct,
Ct,
Erie
Alban County
y
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
US
Supreme
Court
NY Court
of
Appeals
US Court
of
Appeals
Appellat
e
Division
US
District
NY
Supreme
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
Appellate
Term
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.”