New York Supreme Court, Appellate Division
Encyclopedia
The Supreme Court of the State of New York, Appellate Division is the intermediate appellate court
in New York State. The Appellate Division is composed of four departments (the full title of the "Fourth Department," for example, is Supreme Court of the State of New York, Appellate Division, Fourth Department).
, which is the state's general trial court. The Appellate Division also hears appeals from other specialized trial courts, such as the Surrogate's Court, Family Court, County Court, and Court of Claims. In addition, in civil cases the Appellate Division may hear from appeals from the County Court and the Appellate Term of the Supreme Court, when these courts have heard appeals from one of the lower trial courts.
New York's rules of civil procedure
allow for interlocutory appeal
s of right from nearly every order and decision of the trial court, meaning that most may be appealed to the appropriate appellate department while the case is still pending in the trial court.
The Appellate Division may make decisions of law
and fact
with respect to its power to hear first appeals from state trial courts, including the Supreme Court and County Courts. These trial level courts exercise specific jurisdiction as conferred by law. In contrast, both the New York Court of Appeals and the Appellate Division when it sits as a final appeals court with respect to appeals arising from decisions of the Appellate Terms in the First and Second Departments, generally may only decide questions of law. Appellate Divisions may adjudicate facts subject to specific constraints in the course of initial review of agency decisions under New York's CPLR Article 78, which provides for limited court review or agency and corporate decisions.
When a particular department rules on a given issue, that ruling is generally binding on all the courts below and generally in every department. The First and Second Departments have issued case law indicating that trial courts within their respective jurisdictions should follow the decisions of the other departments if the First or Second Department, respectively, have not ruled on a particular issue. If two different departments have made different rulings on the same issue, then the lower courts in each departmental area must follow the ruling made by the higher court for their particular department. This can sometimes result in the same law being applied differently in different departments. When this occurs, the highest court in the state, the Court of Appeals, can remedy the situation by hearing the case and issuing a single ruling, which is then binding on every court in the state.
. In some cases, an appeal lies of right, but in most cases, permission (or "leave") to appeal must be obtained, either from the Appellate Division itself or from the Court of Appeals. In civil cases, the Appellate Division panel or Court of Appeals votes on petitions for leave to appeal; in most criminal cases, however, the petition for leave to appeal is referred to a single Justice or Judge, whose decision whether to grant or deny leave is final.
The State Constitution provides that the First and Second Department are each to comprise 7 Justices, and the Third and Fourth Departments 5 Justices. In addition to these "constitutional" Justices, the Presiding Justice of each Department may ask the Governor to designate "additional Justices" where needed based on the court's workload. At present, for example, the First Department comprises 20 Justices in total when there are no vacancies. The qualifications for additional Justices are the same as for other Justices.
Each case is decided by a panel of 5, or in some instances 4, Justices of the Court. There is no procedure for the Court to sit en banc
.
, each department of the Appellate Division has its own sui generis
set of rules; there is no set of appellate rules shared by all departments.
, which is convenient only for attorneys coming from lightly populated southern Vermont
and western Massachusetts
, rather than the First or Second Departments, which would be more convenient for attorneys in heavily populated regions of Connecticut
, New Jersey
, and Pennsylvania
adjacent to New York City
.
Appellate court
An appellate court, commonly called an appeals court or court of appeals or appeal court , is any court of law that is empowered to hear an appeal of a trial court or other lower tribunal...
in New York State. The Appellate Division is composed of four departments (the full title of the "Fourth Department," for example, is Supreme Court of the State of New York, Appellate Division, Fourth Department).
- The First DepartmentAppellate Division of the Supreme Court, First Judicial DepartmentThe Appellate Division of the Supreme Court, First Judicial Department is headquartered in Manhattan.-Jurisdiction:The Appellate Division holds jurisdiction over the Counties of New York and the Bronx...
(seated in ManhattanManhattanManhattan is the oldest and the most densely populated of the five boroughs of New York City. Located primarily on the island of Manhattan at the mouth of the Hudson River, the boundaries of the borough are identical to those of New York County, an original county of the state of New York...
) covers the Bronx (Bronx CountyThe BronxThe Bronx is the northernmost of the five boroughs of New York City. It is also known as Bronx County, the last of the 62 counties of New York State to be incorporated...
) and Manhattan (New York County). - The Second Department (seated in BrooklynBrooklynBrooklyn is the most populous of New York City's five boroughs, with nearly 2.6 million residents, and the second-largest in area. Since 1896, Brooklyn has had the same boundaries as Kings County, which is now the most populous county in New York State and the second-most densely populated...
) covers QueensQueensQueens is the easternmost of the five boroughs of New York City. The largest borough in area and the second-largest in population, it is coextensive with Queens County, an administrative division of New York state, in the United States....
(Queens County), Brooklyn (Kings County), Staten IslandStaten IslandStaten Island is a borough of New York City, New York, United States, located in the southwest part of the city. Staten Island is separated from New Jersey by the Arthur Kill and the Kill Van Kull, and from the rest of New York by New York Bay...
(Richmond County), Long Island (Nassau CountyNassau County, New YorkNassau County is a suburban county on Long Island, east of New York City in the U.S. state of New York, within the New York Metropolitan Area. As of the 2010 census, the population was 1,339,532...
, Suffolk CountySuffolk County, New YorkSuffolk County is a county located in the U.S. state of New York on the eastern portion of Long Island. As of the 2010 census, the population was 1,493,350. It was named for the county of Suffolk in England, from which its earliest settlers came...
), DutchessDutchess County, New YorkDutchess County is a county located in the U.S. state of New York, in the state's Mid-Hudson Region of the Hudson Valley. The 2010 census lists the population as 297,488...
, OrangeOrange County, New YorkOrange County is a county located in the U.S. state of New York. It is part of the Poughkeepsie–Newburgh–Middletown, NY Metropolitan Statistical Area and is located at the northern reaches of the New York metropolitan area. The county sits in the state's scenic Mid-Hudson Region of the Hudson Valley...
, PutnamPutnam County, New YorkPutnam County is a county located in the U.S. state of New York, in the lower Hudson River Valley. Putnam county formed in 1812, when it detached from Dutchess County. , the population was 99,710. It is part of the New York Metropolitan Area. The county seat is the hamlet of Carmel...
, RocklandRockland County, New YorkRockland County is a suburban county 15 miles to the northwest of Manhattan and part of the New York City Metropolitan Area, in the U.S. state of New York. It is the southernmost county in New York west of the Hudson River, and the smallest county in New York outside of New York City. The...
, and WestchesterWestchester County, New YorkWestchester County is a county located in the U.S. state of New York. Westchester covers an area of and has a population of 949,113 according to the 2010 Census, residing in 45 municipalities...
Counties. - The Third Department (seated in AlbanyAlbany, New YorkAlbany is the capital city of the U.S. state of New York, the seat of Albany County, and the central city of New York's Capital District. Roughly north of New York City, Albany sits on the west bank of the Hudson River, about south of its confluence with the Mohawk River...
) includes an area extending from the territory of the Second Department north to New York's borders with VermontVermontVermont is a state in the New England region of the northeastern United States of America. The state ranks 43rd in land area, , and 45th in total area. Its population according to the 2010 census, 630,337, is the second smallest in the country, larger only than Wyoming. It is the only New England...
and QuebecQuebecQuebec or is a province in east-central Canada. It is the only Canadian province with a predominantly French-speaking population and the only one whose sole official language is French at the provincial level....
, and includes the cities of Albany, Troy, Schenectady, Saratoga Springs, and BinghamtonBinghamton, New YorkBinghamton is a city in the Southern Tier of New York in the United States. It is near the Pennsylvania border, in a bowl-shaped valley at the confluence of the Susquehanna and Chenango Rivers...
. This territory extends nearly as far west as SyracuseSyracuse, New YorkSyracuse is a city in and the county seat of Onondaga County, New York, United States, the largest U.S. city with the name "Syracuse", and the fifth most populous city in the state. At the 2010 census, the city population was 145,170, and its metropolitan area had a population of 742,603...
. - The Fourth Department (seated in RochesterRochester, New YorkRochester is a city in Monroe County, New York, south of Lake Ontario in the United States. Known as The World's Image Centre, it was also once known as The Flour City, and more recently as The Flower City...
) covers the remainder of the state (west of the Third Department's territory), and includes the cities of BuffaloBuffalo, New YorkBuffalo is the second most populous city in the state of New York, after New York City. Located in Western New York on the eastern shores of Lake Erie and at the head of the Niagara River across from Fort Erie, Ontario, Buffalo is the seat of Erie County and the principal city of the...
, Rochester, and Syracuse.
History
The Appellate Division was created by the New York State Constitution of 1894 to succeed the General Term of the Supreme Court, effective January 1, 1896.Jurisdiction
The Appellate Division hears appeals from the New York Supreme CourtNew York Supreme Court
The Supreme Court of the State of New York is the trial-level court of general jurisdiction in thestate court system of New York, United States. There is a supreme court in each of New York State's 62 counties, although some smaller counties share judges with neighboring counties...
, which is the state's general trial court. The Appellate Division also hears appeals from other specialized trial courts, such as the Surrogate's Court, Family Court, County Court, and Court of Claims. In addition, in civil cases the Appellate Division may hear from appeals from the County Court and the Appellate Term of the Supreme Court, when these courts have heard appeals from one of the lower trial courts.
New York's rules of civil procedure
Civil procedure
Civil procedure is the body of law that sets out the rules and standards that courts follow when adjudicating civil lawsuits...
allow for interlocutory appeal
Interlocutory appeal
An interlocutory appeal , in the law of civil procedure, is an appeal of a ruling by a trial court that is made before the trial itself has concluded. Most jurisdictions generally prohibit such appeals, requiring parties to wait until the trial has concluded before they challenge any of the...
s of right from nearly every order and decision of the trial court, meaning that most may be appealed to the appropriate appellate department while the case is still pending in the trial court.
The Appellate Division may make decisions of law
Question of law
In jurisprudence, a question of law is a question which must be answered by applying relevant legal principles, by an interpretation of the law. Such a question is distinct from a question of fact, which must be answered by reference to facts and evidence, and inferences arising from those facts...
and fact
Question of fact
In law, a question of fact is a question which must be answered by reference to facts and evidence, and inferences arising from those facts. Such a question is distinct from a question of law, which must be answered by applying relevant legal principles...
with respect to its power to hear first appeals from state trial courts, including the Supreme Court and County Courts. These trial level courts exercise specific jurisdiction as conferred by law. In contrast, both the New York Court of Appeals and the Appellate Division when it sits as a final appeals court with respect to appeals arising from decisions of the Appellate Terms in the First and Second Departments, generally may only decide questions of law. Appellate Divisions may adjudicate facts subject to specific constraints in the course of initial review of agency decisions under New York's CPLR Article 78, which provides for limited court review or agency and corporate decisions.
When a particular department rules on a given issue, that ruling is generally binding on all the courts below and generally in every department. The First and Second Departments have issued case law indicating that trial courts within their respective jurisdictions should follow the decisions of the other departments if the First or Second Department, respectively, have not ruled on a particular issue. If two different departments have made different rulings on the same issue, then the lower courts in each departmental area must follow the ruling made by the higher court for their particular department. This can sometimes result in the same law being applied differently in different departments. When this occurs, the highest court in the state, the Court of Appeals, can remedy the situation by hearing the case and issuing a single ruling, which is then binding on every court in the state.
Appeals from the Appellate Division
Decisions by the Appellate Division may be appealed to the state's highest court, the New York Court of AppealsNew York Court of Appeals
The New York Court of Appeals is the highest court in the U.S. state of New York. The Court of Appeals consists of seven judges: the Chief Judge and six associate judges who are appointed by the Governor to 14-year terms...
. In some cases, an appeal lies of right, but in most cases, permission (or "leave") to appeal must be obtained, either from the Appellate Division itself or from the Court of Appeals. In civil cases, the Appellate Division panel or Court of Appeals votes on petitions for leave to appeal; in most criminal cases, however, the petition for leave to appeal is referred to a single Justice or Judge, whose decision whether to grant or deny leave is final.
Appointment of Justices
Justices of the Appellate Division are chosen by the Governor from among those elected to the State Supreme Court. A justice does not have to have been elected from one of the judicial districts within a Department to be appointed to the Appellate Division for that Department. They serve at least 5 years, or until the completion of their 14-year elected terms, or reaching the constitutional age limit of 70, beyond which the governor may choose to reappoint them for up to three two-year terms.The State Constitution provides that the First and Second Department are each to comprise 7 Justices, and the Third and Fourth Departments 5 Justices. In addition to these "constitutional" Justices, the Presiding Justice of each Department may ask the Governor to designate "additional Justices" where needed based on the court's workload. At present, for example, the First Department comprises 20 Justices in total when there are no vacancies. The qualifications for additional Justices are the same as for other Justices.
Each case is decided by a panel of 5, or in some instances 4, Justices of the Court. There is no procedure for the Court to sit en banc
En banc
En banc, in banc, in banco or in bank is a French term used to refer to the hearing of a legal case where all judges of a court will hear the case , rather than a panel of them. It is often used for unusually complex cases or cases considered to be of greater importance...
.
Rules
While most states have a unified set of appellate rules modeled on or at least inspired by the Federal Rules of Appellate ProcedureFederal Rules of Appellate Procedure
The Federal Rules of Appellate Procedure are a set of rules, promulgated by the Supreme Court of the United States on recommendation of an advisory committee, to govern procedures in cases in the United States Courts of Appeals....
, each department of the Appellate Division has its own sui generis
Sui generis
Sui generis is a Latin expression, literally meaning of its own kind/genus or unique in its characteristics. The expression is often used in analytic philosophy to indicate an idea, an entity, or a reality which cannot be included in a wider concept....
set of rules; there is no set of appellate rules shared by all departments.
Case Management
To keep caseloads under control, most Appellate Division opinions are extremely concise. Often, an Appellate Division panel will dispose of an entire case in only two paragraphs, with the second paragraph stating: "We have considered plaintiff's (or defendant's) remaining contentions and find them unavailing." In contrast, courts in most other states traditionally devote a few more paragraphs to disposing of the other "remaining contentions."Admission of Attorneys
The Appellate Division has several other unique features. New York attorneys are admitted in an Appellate Division department rather than by the Court of Appeals, while in practically all other states, attorney admissions are officially conducted by the state's highest court (upon the recommendation of the state bar association or a special admissions office or committee). New York complicates things further by requiring that applicants must be interviewed in person after passing the bar exam. All nonresident applicants are admitted through the Third Department in AlbanyAlbany, New York
Albany is the capital city of the U.S. state of New York, the seat of Albany County, and the central city of New York's Capital District. Roughly north of New York City, Albany sits on the west bank of the Hudson River, about south of its confluence with the Mohawk River...
, which is convenient only for attorneys coming from lightly populated southern Vermont
Vermont
Vermont is a state in the New England region of the northeastern United States of America. The state ranks 43rd in land area, , and 45th in total area. Its population according to the 2010 census, 630,337, is the second smallest in the country, larger only than Wyoming. It is the only New England...
and western Massachusetts
Massachusetts
The Commonwealth of Massachusetts is a state in the New England region of the northeastern United States of America. It is bordered by Rhode Island and Connecticut to the south, New York to the west, and Vermont and New Hampshire to the north; at its east lies the Atlantic Ocean. As of the 2010...
, rather than the First or Second Departments, which would be more convenient for attorneys in heavily populated regions of Connecticut
Connecticut
Connecticut is a state in the New England region of the northeastern United States. It is bordered by Rhode Island to the east, Massachusetts to the north, and the state of New York to the west and the south .Connecticut is named for the Connecticut River, the major U.S. river that approximately...
, New Jersey
New Jersey
New Jersey is a state in the Northeastern and Middle Atlantic regions of the United States. , its population was 8,791,894. It is bordered on the north and east by the state of New York, on the southeast and south by the Atlantic Ocean, on the west by Pennsylvania and on the southwest by Delaware...
, and Pennsylvania
Pennsylvania
The Commonwealth of Pennsylvania is a U.S. state that is located in the Northeastern and Mid-Atlantic regions of the United States. The state borders Delaware and Maryland to the south, West Virginia to the southwest, Ohio to the west, New York and Ontario, Canada, to the north, and New Jersey to...
adjacent to New York City
New York City
New York is the most populous city in the United States and the center of the New York Metropolitan Area, one of the most populous metropolitan areas in the world. New York exerts a significant impact upon global commerce, finance, media, art, fashion, research, technology, education, and...
.