1.3: Reading Cases

What's the Point of Reading Cases?

As noted in Section 1.1, we will be reading a number of cases. In this context a case is known as a judicial opinion, or simply an "opinion." This is largely because traditional textbooks in undergraduate courses are full of contexts and maybe a few simplistic hypothetical illustrations, which frequently deprives students of the factual nuance and context of real-world situations and implications. One of the predominant themes in understanding how courts arrive at their decisions is "the totality of the circumstances": A crucial factor in determining the constitutionality of an action is by considering all the facts involved in the matter that are relevant to the issue that a court must decide. In other words, in the criminal procedure context, the court looks at the case based on the entire constellation of facts—including the officer's experience and training—existing at the moment the officer acts. In essence, the court takes a picture a split-second before the officer's action, and it considers everything in that picture that may have any bearing on the constitutionality of the action.

Note

The term, opinion, in the legal setting is distinct from how the term typically is used in general public discourse. In general discourse, an opinion is more of a personal belief, viewpoint, thought, or feeling about a particular topic. In the law, although it is true that individual judges or justices may have conflicting viewpoints, they support their viewpoints with precedent and detailed reasoning that applies the precedent to the specific factual circumstances of a dispute legal dispute. These different viewpoints tend to arise from differing interpretations of the law. But these differing interpretations may not be based merely on beliefs and feelings; they are supported by reasoning.

An essential part of reading cases is breaking down a case into its pieces. By dissecting cases and understanding their parts, you will be equipped to create rules, analogize and distinguish cases, and predict and advocate for outcomes in factual scenarios. You will also detect patterns in judicial reasoning and see legal theory put into practice.

What to Identify When Reading Cases

Ultimately, when reading cases, students should learn to answer two key questions presented in every single criminal procedure case:

1. Were someone’s rights (usually constitutional rights) violated?
2. If the answer to the first question is 'yes,' so what?

Answering the first question requires knowledge of the Supreme Court’s decisions interpreting the Fourth, Fifth, and Sixth Amendments to the Constitution, among other provisions. For example, the Court has considered over several cases—decided over several decades—what counts as a “search” for purposes of the Fourth Amendment. It has debated what the Due Process Clauses of the Fifth and Fourteenth Amendments require of police officers conducting interrogations. And it has weighed how to protect the right to counsel guaranteed by the Sixth Amendment to all criminal defendants.

Answering the second question—“So what?”—requires knowledge of the remedies the Supreme Court has provided for violations of the rights of criminal suspects and defendants. For a defendant, the most desirable remedy is often the exclusion of evidence obtained illegally. When the “exclusionary rule” applies, evidence gained during an unlawful search or interrogation, for example, may become unavailable to prosecutors, which may lead to the dismissal of criminal charges. The proper scope of the exclusionary rule has been hotly debated for decades, and even its existence is not taken for granted by everyone on the Supreme Court. When exclusion of evidence is not available, the best remedy may be money damages, although that remedy has its own shortcomings. Students will learn the basics of when various remedies are available for violations of criminal procedure rules.

In a sense, the rules governing searches, seizures, interrogations, and so on can be considered the “substantive” law of criminal procedure. These rules constitute the bulk of most criminal procedure courses, and this one is no exception. Questions in this category include: When do police need a warrant? When must police give “Miranda warnings”? What must states provide for criminal defendants too poor to hire a lawyer?

The remedies are what one might call the “procedural” aspect of criminal procedure law. Questions in this category include: If police executing a search warrant break down someone’s door without justification, can the homeowner exclude evidence found during the ensuing search? Does the answer change if the warrant was somehow defective? When can prosecutors use confessions obtained in violation of the Miranda rule? The portion of assigned readings explicitly devoted to remedies is far less than that given to “substantive” criminal procedure rights. Keep in mind, however, that rights without remedies are largely worthless.

The Basics

At the outset, do not read cases in the same way you would read a book. (i.e., reading sequentially from the first word to the last). Reading cases requires active engagement and a strategic approach. For example, for students new to reading judicial opinions, it is frequently good to start at the end to see whether the court affirmed the decision of the court below, reversed it, or a combination of both. Comprehension is a little easier when you know how it ends.

Example

Assume that the name of an appellate court case is Smith v. Jones (at an intermediate court of appeals or a supreme court). This means that the court below ruled against Smith. Smith being the first party identified (i.e., Smith v.) means that Smith is claiming that the court below was wrong, and Smith is asking the court to reverse (or at least partially reverse) the ruling made below. Jones won in the court below and is defending the appeal, trying to get the court to keep the same result.  So, if the case is Smith v. Jones, and you skip to the end and see the word, "Affirmed," now you know that the court agreed with the court below, and Smith lost again. But if you see "Reversed" at the end, now you know that the court disagreed with the court below and Smith won this time.

When you read a case, you should read with the goal of pulling information from the text. As you read, ask yourself:

1. What is the issue that the court is deciding?
2. What facts are relevant to the court's decision? 
3. What legal arguments did the parties make?
4. How did the the facts and the legal arguments fit together? In other words, examine (a) the reasoning that the court used to reach its conclusion and (b) how the relevant facts and legal arguments fit into that reasoning.

If you read passively, just scanning your eyes across the screen and failing to engage with what you are reading, then you are wasting your time.

Below are definitions of the parts of a case to help you locate different pieces and to understand each component’s role. They are placed in the order you will typically encounter each one while reading an opinion. But be forewarned: There is never a guarantee that each piece will be found in the same place every time. At times, judicial writing can leave a lot to be desired in terms of structure.

After you read a case, you will then want to record what you discovered when reading the case. This process is called briefing a caseA case brief is different than a legal brief. Legal briefs are written arguments that parties submit to a court to explain why they should win a motion or the entire case., which we will be discuss in the next section. 

Typical Components of a Case

Caption

Sometimes referred to as the header, the caption tells you who the parties are in the case, which court the opinion comes from, the date the opinion was issued, and what the case citation is.

Citation

A citation is a unique set of numbers and letters that is assigned to that particular case. Think of it like a barcode. A citation for a case typically comes in this format: ### XXX ####. Back when you had to look up cases in bound book volumes, the XXX would tell you which reporter to look for the case in, and the numbers told you what volume of the case would be and page number the case would be. For instance, if a case citation was 123 S.E.2d 456, that would mean you should look for the case in the 123rd volume of the second series of the Southeastern Reporter on page 456. 

Procedural History

Sometimes referred to as the procedural facts, the procedural history explains how the legal dispute got from its start and how it reached this court. This section usually includes when the disputed conduct occurred when the litigation started (whether civil or criminal), and what type of proceedings occurred before the court heard the case.

Facts

These are the facts the court has decided are relevant or material to its decision-making process. These facts usually include who the parties are, their relationship to one another, and the circumstances relating to the nature legal dispute. A good, quick way to decide if a fact is relevant and material to the outcome is to see if it factors into part of the issue presented in some way (see "Issue," below). For example, if the case is about whether there was a signed agreement, then facts surrounding a written document and signatures on the paper will likely be material. Whether the ink used to sign was pink will likely not be material. 

Issue

Frequently referred to as "the question," the issue is what the legal dispute is about and the fundamental matter the court is deciding. For all practical purposes, this is why the case matters.

The issue may be presented in question form asking about what the outcome is when the legal rule is applied to the material facts. A court may identify the issues in multiple ways, including:

• The issue [or question] to be decided is whether the officer's placement of a GPS tracking device underneath the suspect's vehicle constituted a "search."
• The issue [or question] before the court is whether [same as above]. 
• The issue [or question] is: Did the officer's placement of a GPS tracking device underneath the suspect's vehicle constitute a "search"?

The court might otherwise say something like, "We must decide whether . . ." without using the term "issue" or "question."

Identifying the issue makes following the legal arguments, reasoning, and holding easier to understand. 

Rule Statement/Legal Rule

The legal rule, either from a statute, case, regulation, or some combination, that the court will use to address the legal question.

Standard of Review

This will tell you how much deference the appellate court must give the lower court’s decision. 

Reasoning

The court's reasoning is commonly referred to as "rationale," "analysis," or "application." The reasoning usually makes up the bulk of the opinion and is where the court “shows its work.” The court explains what sources of law and policy it used to answer the legal issue. In its reasoning, a court can use statutes, preview case law (i.e., precedent), public policy, and/or other sources of authority to support its thought process. Appellate courts tend to rely heavily on precedent in one way or another, even when they decide legal issues the court has not previously decided. Courts do not base their rationale entirely out of thin air. (This is not to say that a given court's reasoning is always sound. As noted below, court decisions are not always unanimous between the judges or justices on the court. In discourse, a phrase like, "the court said," really refers only to the majority of the court. See the distinction between "majority," "concurring," and "dissenting" opinions below.)

Holding

Outcome of the case when the legal rule is applied to the facts of the case. The outcome can serve as precedent for future cases. While this sounds simple, sometimes locating what the court has held can be challenging. A court's holding "consists of those propositions along the chosen decisions path or paths of reasoning that (1) are actually decided, (2) are based upon the facts of the case, and (3) lead to the judgment.^[1]

Disposition

The procedural outcome of the case. Cases can be affirmed (higher court says lower court got it right), reversed (higher court says lower court got it wrong and higher court is replacing lower court’s judgment with its own), vacated (judgment of the lower court is voided but not replaced with higher court’s judgment), or remanded (higher court sends the case back to the lower court to make a new decision or conduct further proceedings in light of higher court’s decision). A case that is vacated will usually also be remanded. Cases can be affirmed in part and reversed in part (the higher court says lower court got part of it right and part of it wrong).

Opinion, majority

Opinion by the majority of the judges or justices on the court, stating the outcome that is controlling in the case. The holding officially from the majority opinion, thus determining the dispute's outcome (and may be used as precedent in the future).

Opinion, concurring

Opinion in which the author agrees with the holding of the case but not based on the reasoning that the majority used. If the case in your assigned reading includes a concurring opinion, read it carefully because it likely presents a nuance that will be discussed in class.

Opinion, dissenting

Opinion in which the author disagrees with the holding of the case and wants to explain why the majority is wrong. If the case in your assigned reading includes a dissenting opinion, read it carefully because it likely presents a counterpoint to the majority's holding that will be discussed in class.

Footnotes and Endnotes

Case citations or substantive comments that the opinion's author did not place in the main body of the opinion but relate to the portion of the case where the footnote or endnote is flagged. Always read the footnotes. If the author felt strongly enough about something to take the time to add the footnote, it is important. Of course, since the cases in this book are edited, some footnotes might not have been originally written by the court. Regardless, when you see a footnote or endnote included for a case, you absolutely should read the footnote or endnote, because the court, the editor, or both decided it was important.

Tips for Reading Cases

(Even if a few of these tips were briefly referenced above, they bear repeating.)

First, you may want (or need) to skip to the end of the case to see the ultimate result. Some courts "spoil" the ending near the beginning of the opinion, which is an advantage to the reader. But it is common for courts to go back and forth, telling the reader what one party argued and addressing that, and then telling the reader what the other party argued and addressing that. This can be confusing because courts may both agree and disagree with certain points each party makes, which may lead the reader to think the court is leaning in one direction and then the other. So, it helps to get an idea of who wins before you really dig into the case. (As noted above, reading cases is not like reading most books, so spoiling the ending is helpful.)

What happens at the end of an opinion is that the court will state that they either affirm or reverse the lower court's decision. If the court says, "affirmed," then the respondent wins and the appellant/petitioner loses. If the court says, "reversed," then the petitioner wins and the respondent loses.

Second, before reading the statement of facts that led to the dispute, find the "issue" in the case, which is also referred to as the "question." (And there may be multiple.) Look for these to help you complete the Issue section of the brief. Typically, "issue," "question," or both will be in the opinion; sometimes, the court will use other language about it needs to "decide" or "determine." (See also Issue, above.)

Third, although the statement of facts leading to the dispute appears near the beginning of a court's opinion, do not read through them first. Starting with the issue (and sometimes even the Rule as well) can help you identify which facts will turn out to be the facts that will be relevant to the outcome. Frequently, courts go into detail to paint context for the reader, but all of the facts will not be relevant for the case brief. Also, sometimes relevant facts are listed elsewhere in the case (such as in the Analysis) that weren't listed in the statement of facts that appears early in the case. So, be on the lookout for those facts as well. (And if they are identified later in the case, they are most assuredly relevant to the outcome.)

Note

When you brief the case: Although the summary of the facts in the case brief is near the beginning, you should usually complete this section last. Before you finalize the brief, you will want to filter out facts that are not entirely relevant to the court's reasoning and the rule that it applied.

Fourth, in many opinions, the applicable rule or rules (i.e., the legal standards on which the court based its analysis) are located in a section or sections following the factual background that led to the issue before the court. However, sometimes, they also are distributed throughout the opinion, depending on how the court is addressing the issues and arguments. In that case, some facts are separated because the court divided its discussion into different areas of the opinion.

Fifth, the court's analysis (also known as its rationale or reasoning supporting its holding) follows its explanation of the applicable rules. Generally, a court's methodology is to apply the rules governing the dispute to the facts of the case. Sometimes, the court also creates a new rule as well because it had not dealt with these issues previously.

Other Resources

Reading and watching the content below is recommended, even though multiple readings and videos are about the same topic. People have differing approaches and strategies, and some may connect with you more than others. 

Articles

• How to Read a Case by Julie Novkov^[2]
• How to Read a Legal Opinion by Orin S. Kerr

Videos

• Reading Cases
• How to Read a Case

Next

The next section, will introduce how to brief cases.

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Notes

1. If not a holding, a proposition stated in a case counts as "dicta.” Michael Abramowicz and Maxwell Stearns, Defining Dicta, 57 Stan. L. Rev. 953, 1065 (March 2005). Any other commentary or "editorial" comments the court provides other than the holding. Dicta does not have any precedential value, although it can help you understand why the court made the holding that it did. Sometimes, people will argue over whether something is dicta or a holding. Generally, "statements narrowly tailored to the facts" are more significant and are more likely to be considered directly connected to the holding; "broader or more general statements" are more likely to be considered dicta.” Andrew C. Michaels, The Holding-Dictum Spectrum, 70 Ark. L. Rev. 661, 664 (2017). ↩

2. Also downloadable from the OpenLab at New York City College of Technology. ↩