Cecily Zamora
Appellate courts are responsible for reviewing decisions made by lower courts or federal administrative agencies. They determine whether the law was applied correctly and if the proceedings were fair. The vast majority of appellate court decisions are final and binding on lower courts within the same circuit. In the US, appellate courts have jurisdiction over cases that allege violations of federal constitutional rights, including freedom of speech and religion, and the right to bear arms. In criminal cases, the defendant may appeal a guilty verdict or sentence, but the prosecution generally cannot appeal if the defendant is found not guilty. Appeals are usually based on arguments that there were errors in the trial procedure or the judge's interpretation of the law. Appellate courts make their decisions based on the trial court's case record, without considering new evidence or witnesses, and their rulings are set forth in writing.
| Characteristics | Values |
|---|---|
| Court of appeals decisions | Final and binding on lower courts within the same circuit |
| Appealing party | Defendant in a criminal case; either party in a civil case |
| Basis for appeal | Errors in procedure or interpretation of the law; sentence violates the law |
| Appellate court review | Based on the trial court's case record; does not consider new evidence or witnesses |
| Appellate court decision | May overturn a lower court's decision if findings were "clearly erroneous" |
| Appellate court judges | Bound to apply the law, regardless of personal beliefs |
| Appellate court jurisdiction | Cases involving federal constitutional rights, regardless of government level |
| Appellate court process | Majority of justices must agree; decision must be issued within 90 days |
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What You'll Learn
Appeals in civil and criminal cases
In the US, appeals in civil and criminal cases are usually based on arguments that there were errors in the trial procedure or errors in the judge's interpretation of the law. In a civil case, either party may appeal to a higher court, while in a criminal case, only the defendant has the right to appeal in most states. The government cannot appeal if the defendant is found not guilty, but they can appeal if they believe a sentence violates the law or reflects an incorrect application of sentencing guidelines.
The party making the appeal is known as the appellant or the petitioner. The other party is the appellee or the respondent. The appellant must file a notice of appeal, which marks the beginning of the time period within which they must file a brief. This is a written argument containing their view of the facts and the legal arguments they rely on to seek a reversal of the trial court. The appellee then has a specified time to file an answering brief, to which the appellant may respond with a second brief. In some cases, appeals courts make their decisions based solely on the written briefs, while other cases are selected for an "oral argument" before the court.
Appeals are decided by panels of three judges working together. The appellant presents legal arguments to the panel, trying to persuade the judges that the trial court made an error. The appellee, on the other hand, tries to show why the trial court's decision was correct or why any error made was insignificant. The court of appeals makes its decision based solely on the trial court's case record, without receiving additional evidence or hearing new witnesses. The court of appeals may review the factual findings made by the trial court, but it will generally only overturn a decision on factual grounds if the findings were "clearly erroneous".
The appellate court determines whether errors occurred in applying the law at the lower court level, and it will generally only reverse a trial court for an error of law. Not every error of law is cause for a reversal; some are considered harmless errors that did not prejudice the rights of the parties to a fair trial. After a case is orally argued or otherwise presented for judgment, the appeals court judges will meet in conference to discuss the case. They often issue written decisions, particularly when the decision deals with a new interpretation of the law or establishes a new precedent.
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Appealing a guilty verdict
In the US, a defendant can appeal a guilty verdict if they believe they were wrongly convicted or the sentence was too harsh. This is not a new trial, but an opportunity to raise specific errors that might have occurred during the original trial. Appeals are complicated and can result in the case being sent back to the trial court. A specific conviction may be reversed, a sentence altered, or a new trial may be ordered if the Appeals Court deems it necessary.
In a criminal case, the defendant may appeal a conviction based on a guilty verdict, but the government may not appeal if the defendant is found not guilty. If the defendant pleads guilty, they generally give up their right to appeal, except for claims relating to their sentencing. In most states, only the defendant has the right to appeal in a criminal case. Some states give the prosecution a limited right to appeal to determine certain points of law before the trial begins, but appeals by the prosecution after a verdict are not normally allowed because of the prohibition against double jeopardy.
The first step in appealing a guilty verdict is usually to file a notice of appeal in the district court, which informs the court of appeals and other parties. The party appealing is called the appellant, and the other party is the appellee or respondent. The appellant must then file a brief, a written argument containing their view of the facts and the legal arguments upon which they rely in seeking a reversal of the trial court. The appellee then has a specified time to file an answering brief, to which the appellant may respond. In some cases, appeals courts make their decision solely on the basis of the written briefs. However, many cases are selected for an "oral argument" before the court, a structured discussion between the appellate lawyers and the panel of judges focusing on the legal principles in dispute. Each side is usually given about 15 minutes to present their arguments.
The court of appeals makes its decision based solely on the trial court's case record and does not receive additional evidence or hear witnesses. Appeals in either civil or criminal cases are usually based on arguments that there were errors in the trial procedure or errors in the judge's interpretation of the law. Potential grounds for appeal in a criminal case include legal error, juror misconduct, and ineffective assistance of counsel. For example, legal errors may result from improperly admitted evidence, incorrect jury instructions, or a lack of sufficient evidence to support a guilty verdict. To grant the appeal, the appellate court must find that these errors affected the outcome of the case. If the errors would not have changed the verdict, they are considered harmless, and the conviction will stand.
If the defendant is unsuccessful in the intermediate court, they may appeal their conviction to the state's highest court. If the defendant can frame the appeal in terms of a federal issue, they may then pursue relief in the federal court system. Defendants convicted in a federal trial court may appeal their case directly to the federal appellate court. Federal appellate courts hear cases that originated in state courts when they involve claims that a state or local law or action violates rights guaranteed under the US Constitution.
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Habeas corpus appeals
Appellate courts review challenges to court decisions to determine whether the proceedings were fair and the law was applied correctly. In a criminal case, the defendant may appeal a conviction based on a guilty verdict, but the government may not appeal if a defendant is found not guilty. Either party in a criminal case may appeal a sentence that is imposed after a guilty verdict by arguing that the sentence violates the law. Habeas corpus appeals are an important category of federal appeals, which allege improper incarceration and form the basis of appeals against death penalties imposed by state courts.
Habeas corpus is one of the earliest common-law writs. In its simplest form, a writ of habeas corpus requires that a person in custody be brought before a judge or court and that they be able to challenge that custody. The writ of habeas corpus is used to challenge unlawful detention or illegal imprisonment. The term habeas corpus comes from the Latin meaning "that you have the body" of the detainee brought before the court. Typically, a petition is used when asking for a writ of habeas corpus to be issued. The writ of habeas corpus commands the person in custody to be presented.
A writ of habeas corpus is not a remedy in itself but a procedural method used as a guarantee against indefinite detention. A writ of habeas corpus has been superseded by statutory authority in many states, often being consumed by post-conviction relief rules that govern the motions and associated remedies. Several states have adopted, at least partially, what is known as the Uniform Postconviction Procedure Act to deal with habeas corpus types of writ petitions. Even in states where post-conviction relief rules and statutes have mostly replaced habeas corpus, there is often a stand-alone habeas corpus remedy for detention that does not fall within the exact definitions outlined in state-level post-conviction relief rules.
Habeas corpus is still an effective remedy at the federal level, where a petition for a writ of habeas corpus can be used to challenge both federal and state detentions where the detention may be in violation of federal law or federal constitutional protections. In New Jersey, for example, the writ of habeas corpus has been almost completely replaced by a primary post-conviction relief remedy in New Jersey Court Rule 3:22. In Texas, a habeas corpus petition is governed by Article 11.07 of the Texas Code of Criminal Procedure for non-death penalty cases.
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Reviewing decisions by federal agencies
Appellate courts can review decisions by federal agencies, as well as hear some original proceedings filed directly with the courts of appeals. In criminal cases, the defendant can appeal a conviction based on a guilty verdict, but the government cannot appeal if the defendant is found not guilty. In a civil case, either party may appeal to a higher court.
The appellate court's decision is based solely on the trial court's or agency's case record, and it does not receive additional evidence or hear witnesses. The court of appeals may review the factual findings made by the trial court or agency, but it generally may overturn a decision on factual grounds only if the findings were "clearly erroneous".
Federal appellate courts hear cases that originated in state courts when they involve claims that a state or local law or action violates rights guaranteed under the U.S. Constitution. These include habeas corpus cases, which allege improper incarceration and form the basis of federal appeals of death penalties imposed by state courts.
When a federal court reviews the actions of an administrative agency, it does not simply re-decide the matter from scratch. Instead, it employs standards of review that determine the extent to which the court will defer to the agency's findings and the basis on which it may overturn decisions. Courts distinguish between the standard of review applicable to an agency's determination of facts and the standard applicable for an agency's interpretation of the law.
In the Chevron case, a federal court reviewed an EPA rule concerning an ambiguous term in environmental legislation passed by Congress. The Supreme Court ruled that when the language of a statute is unclear, Congress implicitly delegates the right to interpret that statute to the agency responsible for enforcing it.
Opinions differ on the degree of deference courts should give to agency decisions. Progressives and New Dealers, for example, saw federal agencies as protectors of individual rights against corporations, while conservatives viewed governance by unelected bureaucrats as anti-democratic.
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The role of appellate court justices
Appellate court justices play a crucial role in the legal system by reviewing and deciding on appeals of lower court decisions. Their primary task is to determine whether the law was applied correctly in the trial court or federal administrative agency. This involves reviewing the written record and legal arguments presented by the appellant (the party appealing the lower court decision) and the appellee (the other party) to ensure that the trial court properly interpreted the law and followed the correct procedures.
Appellate court justices typically sit in panels of three to ensure that cases are examined from multiple perspectives, and a majority of justices must agree to decide a case. While they may review the factual findings of the lower court, they generally do not consider new evidence or witnesses unless there were clear errors in the trial court's factual determinations. Instead, they focus on the legal issues and whether the law was applied correctly.
Appellate court decisions are typically final and binding on lower courts within the same circuit. However, in certain cases, such as death penalty appeals, the decision may be further reviewed by a higher appellate court or the state Supreme Court. Appellate court justices play a vital role in ensuring the fair and proper application of the law, providing a mechanism for correcting legal errors made by lower courts, and establishing precedents that guide future decisions.
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Frequently asked questions
An appellate court is a court that hears appeals from lower courts. Appellate courts review challenges to court decisions to determine whether the proceedings were fair and the law was applied correctly.
Appellate courts hear both civil and criminal cases. In a criminal case, only the defendant has the right to appeal in most states. In civil cases, either party may appeal to a higher court.
Appellate courts make decisions based on the trial court's case record. They do not consider new witnesses or evidence. A majority of justices must agree for a decision to be made, and they are bound to apply the law regardless of their personal beliefs.
The vast majority of appellate court decisions are final and binding on lower courts within the same circuit. However, in some cases, the decision may be reviewed by a larger group of judges or by the Supreme Court.
