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LRAW Research Spring 2023

Jurisdiction & Hierarchy of Authority

Mandatory v. Persuasive Authority

Federal courts must follow primary mandatory authority

Secondary sources  are the encyclopedias, treatises, ALR annotations, journal articles, and restatements that you consult to better understand the law and to find primary authority. Secondary sources are always persuasive

Primary authority is the federal law: constitutions, statutes, administrative regulations, and court decisions.  Primary authority may be mandatory or persuasive, depending upon two factors: jurisdiction and hierarchy of authority.

Jurisdiction
A federal court will apply the law in its jurisdiction. For example, a decision from a U.S. District Court in Georgia is primary authority because it is case law. However, it is not binding/mandatory on a U.S. District Court for the District of South Carolina. It is only persuasive. A South Carolina court may be persuaded by a Georgia decision, but it is not required to follow precedent from another jurisdiction.


Hierarchy of Authority

South Carolina federal district court must only follow precedent from a higher court in its jurisdiction. For example, a U.S. District of South Carolina judge is not required to follow the law as applied by another District of South Carolina judge. Federal district court judges are only required to follow the decisions of the appellate courts for their jurisdictions, which for South Carolina would be the U.S. Court of Appeals for the Fourth Circuit and the U.S. Supreme Court. That same District of South Carolina judge would not be bound by a U.S. Court of Appeals decision from another circuit either, because, even though it is a higher court, it is from another jurisdiction.

The same rules apply across U.S. Courts of Appeals. The Fourth Circuit Court of Appeals, although on the same level, would not be required to follow a decision from the Seventh Circuit Court of Appeals because it is a different jurisdiction. However, both the Fourth and Seventh Circuits would be bound by a U.S. Supreme Court decision.

 

The Federal Court System

 

United States Supreme Court

Mandatory for all courts on issues of federal law.

""

United States Courts of Appeals
11 numbered circuits, plus the District of Columbia Circuit
and the Federal Circuit

Mandatory for district courts in that circuit only.

""

United States District Courts

At least one in each state.

Not mandatory.
 

You may visit the United States Courts website to read more about the role and structure of the federal courts. 

Questions to Ask When Researching a Federal Issue

Weight of authority is important when researching a federal issue. If the U.S. Supreme Court or the Court of Appeals in your circuit (e.g., Fourth), has ruled on a point of law, that opinion is mandatory authority. However, if you can distinguish the facts in the controlling case from the facts in your client's case, you might persuade the court to follow the reasoning of a lower court or a court from another jurisdiction that applied the same law to facts more similar to yours.

If the U.S. Supreme Court or  Court of Appeals in your federal circuit have not ruled on a particular legal issue, all cases on point (applying the applicable law to similar facts) are important, because they could have value as persuasive authority.

When researching cases on an issue of federal law, ask yourself the following questions included in the pyramid below, from top to bottom: 

  1. Has the U.S. Supreme Court ruled on this issue? If so, its decision is mandatory.
  2. Has the U.S. Court of Appeals for your Circuit, e.g., 4th Circuit, ruled on this issue? If so, its decision(s) are mandatory.
  3. Have the federal district (trial) courts in your circuit (e.g., S.C. N.C., Va., W. Va., Md. in the 4th Circuit) ruled on this issue? If so, these decisions are persuasive.
  4. Have federal courts from other circuits (trial or appellate) ruled on this issue? If so, these opinions are persuasive.

Pyramid including the four questions above.