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Solution Manual For Legal Research, Analysis, and Writing, 14th Edition

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    CHAPTER 1 INTRODUCTION TO LEGAL PRINCIPLES AND AUTHORITIES Lecture Plan/Chapter Outline Instructor’s Note: The purpose of this chapter is to provide students a basic familiarity with the sources of law, hierarchy of the law, federal and state court systems, and fundamental concepts involved in legal analysis, such as precedent and authority. The material in this chapter may be covered in greater depth in other courses. It is presented here to ensure that basic information and concepts related to legal analysis and writing are covered and available to students in the text. Even if there is repetition of material presented in other courses, the information is important and bears repetition. The assignments are designed to allow students the opportunity to apply the concepts presented in this chapter. I. INTRODUCTION Define legal research, legal analysis, and law. Legal research is the process of finding the law that applies to a client’s problem. Legal analysis is the process of determining how the law applies to the problem. For the purposes of the text, law is defined as the body of enforceable rules that govern individual and group conduct in a society. II. SOURCES OF LAW Summarize the history of the U.S. legal system. A. Enacted Law Define the term enacted law and what makes up enacted law. Enacted law encompasses all law that has been adopted by a legislative body or the people. It includes: ▪ Constitutions—adopted by the people

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    ▪ Statutes, ordinances—laws passed by legislative bodies ▪ Regulations—actions of administrative bodies that have the force of law 1. Constitutions A constitution is a governing document adopted by the people. It establishes the framework for the operation of government, defines the powers of government, and guarantees the fundamental rights of the people. Both the federal and state governments have constitutions. U.S. Constitution 1. Establishes and defines the powers of the three branches of federal government: executive (president), legislative (Congress), and judicial (courts) 2. Establishes the broad powers of the federal and state governments and defines the relation between the federal and state governments 3. Defines in broad terms the rights of the members of society State Constitutions Each state has adopted a constitution that establishes the structure of the state government. In addition, each state constitution defines the powers and limits of the authority of the state government and the fundamental rights of the citizens of the state. 2. Statutes Laws passed by legislative bodies are called statutes. Statutes declare rights and duties or command or prohibit certain conduct. A statute is any law passed by any legislative body: federal, state, or local. Such laws are referred to by various terms, such as acts, codes, statutes, or ordinances. 3. Administrative Law Administrative law is the body of law created by administrative agencies. It is composed of the rules, regulations, orders, and decisions promulgated by the administrative agencies when carrying out their duties.

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    B. Common Law or Case Law Define the terms common law and case law and explain how courts create and interpret law. In a narrow sense, the term common law refers to the law created by courts in the absence of enacted law. Case law encompasses a broader range of law than common law. Case law includes not only the law created by courts in the absence of enacted law but also the law created when courts interpret or apply enacted law. 1. Role of the Courts Disputes in our society arise from specific fact situations. The courts are designed to resolve these disputes. The creation of new law and the interpretation and application of existing law by the courts become law itself. The result reached by a court is usually called a decision. The court’s written decision, which includes the reasons for the decision, is called an opinion. The case law is composed of the general legal rules, doctrines, and principles contained in court opinions. 2. Court Systems There are two parallel court systems: the federal court system and the state court system. Jurisdiction Jurisdiction is the extent of a court’s authority to hear and resolve specific disputes. A court’s jurisdiction is usually limited to two main areas: 1. Personal jurisdiction is the authority of a court over the parties to resolve a legal dispute involving the parties. 2. Subject matter jurisdiction is a court’s authority over the types and kinds of cases it may hear and decide. ▪ There are two types of courts in both the federal and state court systems:

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    1. Courts of general jurisdiction have the authority to hear and decide any matter brought before them. 2. Courts of limited jurisdiction are limited in the types of cases they can hear and decide. Concurrent Jurisdiction Concurrent jurisdiction exists when more than one court has the authority to deal with the same subject matter. Federal Court System The federal court system is composed of three basic levels of courts: 1. Trial Courts. The trial court is the court where the matter is heard and decided. If the trial is conducted by a judge and a jury, the judge decides questions of law such as what the law is or how it applies. The jury decides questions of fact such as whether a person performed a certain act. 2. Court of Appeals. The primary function of a court of appeals is to review the decision of a trial court to determine and correct any error that may have been made. 3. U.S. Supreme Court. The U.S. Supreme Court is the final court of appeals in the federal system. It is the highest court in the land. A party who disagrees with the decision of a court of appeals must ask (petition) the Supreme Court to review it. The request is called a petition for writ of certiorari. State Court System Every state has its own state court system. 1. Trial Courts. All states have trial courts where the evidence is presented, testimony taken, and a decision reached. The court of general jurisdiction is often called a district court. There are various courts of limited jurisdiction, such as probate courts, small claims courts, county courts, domestic relations courts, and magistrate courts. 2. Courts of Appeals. Many states have intermediary courts of appeals that function in the same manner and play the same role in the state court system as the federal courts of appeals does in the federal system.

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    3. State Supreme Court. Every state has a highest appellate court, usually called the supreme court. This court is the highest court in the state, and its decisions are final on all questions involving state law. 3. Precedent and Stare Decisis Precedent Precedent is an earlier court decision on an issue that applies to govern or guide a subsequent court in its determination of an identical or similar issue based on identical or similar facts. A case that is precedent is often called on point. Stare Decisis The doctrine of stare decisis is a basic principle of the case law system that requires a court to follow a previous decision of that court or a higher court when the current decision involves issues and facts similar to those involved in the previous decision. The doctrine does not apply if there is a good reason not to follow it. Some of these reasons include: 1. The earlier decision has become outdated because of changed conditions or policies. 2. The legislature has enacted legislation that has, in effect, overruled the decision of an earlier court. 3. The earlier decision was poorly reasoned or has produced undesirable results. III. HIERARCHY OF THE LAW Define what the terms federalism and the supremacy clause mean. In general, within each jurisdiction, the constitution is the highest authority, followed by the other enacted law (legislative and administrative law), then the case law. The U.S. Constitution separates the powers to govern between the federal and state governments. This separation of powers is called federalism. The supremacy clause of the Constitution (Article VI) provides that between federal and state law, federal law is supreme. IV. AUTHORITY Define the term authority.

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    Authority may be defined as anything a court may rely on when deciding an issue. It includes not only the law but also any other nonlaw source that a court may look to in reaching a decision. A. Types of Authority 1. Primary Authority Primary authority is the law itself. It is composed of the two main categories of law: enacted law and case law. 2. Secondary Authority Secondary authority is any source a court may rely on that is not the law, that is, not primary authority. Secondary authority consists of legal resources that summarize, compile, explain, comment on, interpret, or in some other way address the law. Secondary authority can be used in several ways: ▪ To obtain a background or overall understanding of a specific area of the law. Legal encyclopedias are useful for this purpose. ▪ To locate primary authority (the law) on a question being researched. American Law Reports (ALR), treatises, digests, and Shepard’s can be used for this purpose. ▪ To be relied on by the court when reaching a decision, which usually occurs only when there is no primary authority governing a legal question or it is unclear how the primary authority applies to the question. Treatises, law reviews, and Restatements of the Law are relied on for this purpose. Annotations Annotations are notes and comments on the law. One of the well-known annotations is the ALR. Law Dictionaries Legal dictionaries include definitions of legal terms (and usually a citation to the authority for the definition) and guides to pronunciation.

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    Law Reviews Law reviews are scholarly publications usually published by law schools. Legal Encyclopedias A legal encyclopedia is a multivolume set of books that provides a summary of the law. Restatements of the Law Restatements of the Law, published by the American Law Institute, presents a variety of topics and discusses what the law is on each topic or what it should be. Treatises A treatise is a single-volume or multivolume work written by an expert in an area that covers that entire area of law. B. Role of Authority 1. Mandatory Authority Mandatory authority is any source that a court must rely on or follow when reaching a decision (e.g., a decision of a higher court in the jurisdiction on the same or a similar issue). Secondary authority can never be mandatory authority. Enacted Law There is a three-step process for determining whether an enacted law applies to govern a legal question: STEP 1: Identify all the laws that may govern the question. STEP 2: Identify the elements of the law or statute. STEP 3: Apply the facts of the case to the elements. Case Law For a court opinion to be mandatory authority, binding another court to follow the rule or principle of law established in the opinion, two conditions must be met: 1. The court opinion must be on point. 2. The court opinion must be written by a higher court in that jurisdiction.

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    2. Persuasive Authority Persuasive authority is any authority a court is not bound to consider or follow but may consider or follow when reaching a decision. Primary Authority as Persuasive Authority On occasion, courts look to enacted law as persuasive authority. Secondary Authority as Persuasive Authority Secondary authority should not be relied upon when there is mandatory authority. If there is no mandatory authority and there is persuasive primary authority, the secondary authority may be used in support of the primary authority. Secondary authority is most valuable in situations where there is no primary authority, either mandatory or persuasive. V. INTRODUCTION TO LEGAL CITATION There are two manuals that provide the rules and format of legal citation. A. The Bluebook: A Uniform System of Citation (The Bluebook) The Bluebook is organized into four main parts: Introduction, Bluepages, Rules, and Tables. 1. The Bluepages and Bluepage Tables Summarize the rules for citing legal resources in documents prepared for filing in court or for use in a law office. 2. Citation Rules There are rules of citation for each type of legal source. 3. Tables List necessary abbreviations for use in citations. B. The ALWD Guide to Legal Citation (ALWD Guide) The ALWD Guide is used in many colleges and law schools. It provides ease of use and in- depth explanations of the various citation rules. It is organized into seven parts, the following are essential to its effective use:

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    1. Part 1: Introductory Material 2. Text of Citation Rules 3. How to Use Citations 4. The Appendices There are eight appendices. VI. KEY POINTS CHECKLIST VII. APPLICATION Teaching Tips Focus first on the sources of law and the types of courts. Then discuss how the hierarchy of the law and types of authority are related. This is best accomplished through a review of the examples presented in the text. Emphasize the importance of knowing the definition of the terms used in the chapter. Suggested Assignments The following are additional assignments related to the subject matter presented in this chapter. 1. Direct students to identify the number and names of the justices on the state court of appeals and the state supreme court in your state. 2. If there is more than one court of limited jurisdiction in your state, have students identify the courts and show how the jurisdiction of each differs. For example, some states have county courts and municipal courts; each court has different limited jurisdiction. 3. Have students identify the sources of law in your state and discuss the hierarchy of authority of the sources of law in your state.

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    Text Assignments: Answers ASSIGNMENT 1 Instructor’s Note: Answers vary depending on location of student. This assignment requires students to research their own state’s statutes. Because most states have more than one court of limited jurisdiction, such as municipal, probate, and county courts, the assignment may be expanded to require students to name and describe the jurisdiction of more than one limited jurisdiction court. ASSIGNMENT 2 Instructor’s Note: This assignment may be expanded to require students to describe the jurisdictional differences between a state’s court of appeals and its supreme court. A trial court is where the evidence is presented, testimony is taken, and a decision is reached. It is where the matter is heard and decided. It differs from a court of appeals in that it is not the role of a trial court to review the decision of another court. The primary function of a court of appeals is to review the decision of a trial court to determine and correct any error that may have been made. A court of appeals differs from a trial court in that it does not hear the matter; that is, it does not hear testimony, try the case, or hear the evidence. ASSIGNMENT 3 A court opinion becomes a precedent when the facts and issues of an opinion are identical or similar to the facts and issues in the case before the court. ASSIGNMENT 4 Instructor’s Note: This assignment involves the following authority, which is listed here for quick reference: 1. State A’s Uniform Commercial Code Act 2. State A’s Consumer Credit Act 3. State B’s Uniform Commercial Code Act 4. Federal statute—Consumer Credit Act 5. Iron v. Supply Co. —a decision of the highest court in state A 6. Milk v. Best Buy Inc. —a decision of the highest court in state B 7. Control Co. v. Martin —a decision of an intermediary court of appeals in state A

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    8. Lesley v. Karl Co. —a decision of a trial court in state A 9. Irene v. City Co. —a federal case involving the federal Consumer Credit Act 10. Regulations adopted by state A’s Corporation Commission that apply to consumer credit and the sale of goods 11. Restatements of the Law defining sales, consumer credit, and other terms related to the problem 12. An ALR reference that directly addresses the issues in the case ASSIGNMENT 4A Primary authority is defined as the law itself. It is composed of enacted law (constitutional, legislative, regulatory, etc.) and common law or case law (court-made law). Secondary authority is any source a court may rely on that is not the law and that is not primary authority. With these definitions in mind, numbers 1 through 10 of the above-listed authorities are primary authority. a. Numbers 1 through 4 are laws passed by state or federal legislative bodies. b. Numbers 5 through 9 are court decisions that present common law or court-made law. c. Number 10 is administrative law. The regulations adopted by the state’s Corporation Commission have the force of law. d. Numbers 11 and 12 are secondary authority. They are reference sources that are not the law. Restatements of the Law includes formulations of what the law should be and comments and discussions on why the formulations are recommended. ALR references are notes and comments on the law, not actual law. ASSIGNMENT 4B PART 1 Mandatory authority is any primary authority a court must rely on when reaching a decision. In this assignment, since the problem involves the sale of goods in state A, the mandatory authority is the authority that the courts in state A must apply when reaching a decision. Of the 12 sources of authority listed in the assignment, the following may be mandatory authority for state A courts:

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    a. Number 4, the federal Consumer Credit Act. The federal Consumer Credit Act may be mandatory authority for a state A court if, by terms of the statute, it applies to govern the particular sale-of-goods question being addressed by a state A court. b. Numbers 1, 2, and 10, state A’s Uniform Commercial Code, Consumer Credit Act, and Corporation Commission regulations, respectively. These may be mandatory authority because they are enactments of state A’s legislature or an administrative agency, all of which are laws of state A. The state courts must follow the laws enacted by the state legislative body and administrative agencies unless the laws violate the U.S. Constitution or state A’s constitution. c. Numbers 5 and 7, Iron v. Supply Co. and Control Co. v. Martin . These court opinions are decisions of the highest court and intermediary court of appeals in state A, respectively. The decisions of these courts establish the law in state A and must be followed by the courts in state A. d. Number 9, Irene v. City Co. This federal court decision can be mandatory authority because if the federal Consumer Credit Act (number 4) applies, the federal court’s interpretation of that law must be followed by state A courts. e. Number 8, Lesley v. Karl Co. Trial court decisions in a state normally are not mandatory authority. Usually, only the opinions of a state’s highest court and intermediary courts of appeal are mandatory authority that other courts in the state must follow; however, this may vary from state to state. ASSIGNMENT 4B PART 2 Not all of the primary authority will be mandatory authority for state A courts. Certain conditions must be present for primary authority to be mandatory authority. a. Number 4, the federal Consumer Credit Act. For a federal statute to be mandatory authority, the provisions of the act must apply to govern the question being addressed by the court. In addition, a federal law will not apply if its application is deemed to violate the U.S. Constitution.

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    b. Numbers 1 and 2, state A’s Uniform Commercial Code and Consumer Credit Act, respectively. State statutes are mandatory authority when: 1. Their provisions apply to govern the facts of the case. (Use the three-step process discussed in Section IV.B.1.a of this chapter.) 2. Their application does not conflict with a federal law that governs the area. 3. Their application does not violate the U.S. Constitution or the state’s constitution. c. Number 10, Regulations adopted by state A’s Corporation Commission. Regulations adopted by a state A administrative body can be mandatory authority when: 1. Their provisions apply to govern the facts of the case. (Use the three-step process discussed in Section IV.B.1.a of this chapter.) 2. Their application does not conflict with a federal or state law that governs the area, and their application does not violate the U.S. Constitution or state A’s constitution. d. Number 9, Irene v. City Co . For the federal court decision to be mandatory authority: 1. The federal statute (number 4, the federal Consumer Credit Act, in this case) must apply to govern the question. 2. The case must be on point; that is, it is sufficiently similar to the facts of the case for the decision to apply as precedent (see Chapter 12). 3. The decision must not have been superseded by a higher federal court decision. e. Number 5, Iron v. Supply Co . Under the doctrine of stare decisis, the decision of the highest court in state A is mandatory authority and must be followed by the lower courts in state A. The prerequisites are that the decision is on point (see Chapter 12) and its application does not violate either the U.S. Constitution or state A’s constitution. f. Number 7, Control Co. v. Martin . Under the doctrine of stare decisis, the decision of the intermediary court of appeals is mandatory authority and must be followed by the lower courts in state A. The prerequisites are that the decision is on point, its application does not violate either the U.S. Constitution or state A’s constitution, and

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    its application does not conflict with a higher court decision in state A (the state supreme court). Also, under the doctrine of stare decisis, the intermediary court of appeals in state A will follow an earlier decision of a state A intermediary court of appeals if the earlier decision is on point. A later court of appeals, however, is not absolutely bound to follow an earlier court of appeals decision. It is free to amend or overrule the decision if it finds that the earlier decision was in error or no longer reflects current public policy or current legal thinking. ASSIGNMENT 4C Persuasive authority is authority that a court may rely on and follow but is not bound to rely on or follow. It can be either primary or secondary authority. In certain situations, all of the 12 listed sources of authority could be persuasive authority. a. Numbers 3 and 6, state B’s Uniform Commercial Code Act and Milk v. Best Buy Inc., respectively. The statutes and case law of state B cannot be mandatory authority in state A. A state is not required to follow the law of other states; however, in the absence of mandatory authority in state A, state A courts may consider, adopt, or follow state B law and court decisions. For a court decision to be considered persuasive authority, the decision must be on point. That is, the key facts and applicable law of the court opinion must be sufficiently similar to the key facts and applicable law of the case being heard by the court before the opinion may provide guidance to the court in deciding an issue (see Chapter 12). b. Numbers 11 and 12, Restatements of the Law defining sales, consumer credit, and other terms related to the problem and an ALR reference that directly addresses the issues in the case, respectively. Restatements of the Law and ALR references are secondary authority and therefore are not mandatory authority. In the absence of mandatory authority, a court may look to and adopt secondary authority if it so chooses. The usual prerequisite is that the secondary authority is on point; that is, it addresses legal questions and applies laws or legal principles that are sufficiently

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    c. similar to the questions and laws being applied in the case before the court. d. Number 8, Lesley v. Karl Co . A decision of a state trial court is not mandatory authority for other trial courts or higher courts in the state. The other courts, including the higher state courts, may consider, adopt, or follow a decision of a trial court. e. Numbers 5, 7, and 9, Iron v. Supply Co., Control Co. v. Martin, and Irene v. City Co., respectively. When the decision of a federal court or a higher state court is not mandatory authority (see the previous discussion in Assignment 4B), the reasoning or holding may still be persuasive precedent and considered, adopted, or followed in whole or in part. An opinion may not be mandatory authority, but a court may consider it persuasive authority when: ▪ It is not on point, but the court refers to the reasoning or analysis in the decision for general guidance in interpreting the statute (see Chapter 12). ▪ The decision has been superseded by a higher state court or later court of appeals decision in state A, yet the reasoning or analysis in the decision is persuasive to a subsequent court. The court may refer to the prior reasoning or analysis unless it was rejected by the subsequent ruling. ▪ The question is governed by a federal statute but there is no federal case law interpreting the statute, leaving the state case as guidance. ▪ The question is governed by a state statute but there is no state case law interpreting the statute; then, a federal case law may be referred to for guidance. f. Numbers 1, 2, 3, 4, and 10, state A’s Uniform Commercial Code Act, state A’s Consumer Credit Act, state B’s Uniform Commercial Code Act, the federal Consumer Credit Act, and Regulations adopted by state A’s Corporation Commission that apply to consumer credit and the sale of goods, respectively. A statute or regulation may not be mandatory authority because the elements of the law do not apply to govern the facts of the case. When a statute or regulation does not apply, a court may still look to the statute or regulation for guidance when interpreting another law that has similar provisions.

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