🪜Civil Procedure Unit 10 – Appeals

What's an Appeal?

• An appeal is a request made to a higher court to review and change the decision of a lower court
• Appeals are not a retrial or a new trial of the case, but a review of the proceedings in the lower court
• The party filing the appeal (appellant) must demonstrate that the lower court made a legal error that affected the decision in the case
• Appeals are limited to the evidence and testimony presented in the original trial court
• The appellate court will review the record of the trial court including the transcript of testimony and the documents admitted into evidence
• The appellate court does not hear additional witness testimony or admit new evidence
• If an appeal is successful, the appellate court may reverse the lower court's decision, modify it, or remand the case back to the lower court for further proceedings

Types of Appeals

• Direct Appeal: An appeal from a trial court's final judgment that goes directly to the appellate court with jurisdiction over the case
• Interlocutory Appeal: An appeal of a trial court's decision that is made before the final judgment, such as a decision on a motion or a ruling on evidence
  • Interlocutory appeals are generally not allowed without special permission from the appellate court
• Cross-Appeal: An appeal filed by the appellee (the party who won in the lower court) to challenge a part of the lower court's decision that was unfavorable to them
• Discretionary Appeal: An appeal that the appellate court has the discretion to accept or reject, often used in cases involving novel or significant legal issues
• Certified Questions: A procedure where a lower court asks a higher court to answer a specific legal question that is relevant to the case
• Appeals from Administrative Agencies: Appeals from the decisions of administrative agencies, such as the Environmental Protection Agency or the Social Security Administration, which often have their own internal appeal processes before a case can be appealed to a court

When Can You Appeal?

• Generally, a party can only appeal a final judgment that disposes of all claims in the case
• Some jurisdictions allow interlocutory appeals for certain types of orders, such as orders granting or denying an injunction
• A notice of appeal must be filed within a specific time frame after the final judgment is entered, which is typically 30 days in federal courts and varies by state
• If a party fails to file a notice of appeal within the required time frame, they may lose their right to appeal
• In some cases, a party may file a motion for post-judgment relief, such as a motion for a new trial or a motion to alter or amend the judgment, which can extend the time to file a notice of appeal
• In criminal cases, a defendant may have the right to appeal after a guilty plea or conviction, but may waive that right as part of a plea bargain
• In civil cases, the parties may agree to waive their right to appeal as part of a settlement agreement

Steps in the Appeals Process

1. Filing the Notice of Appeal: The party seeking to appeal (the appellant) files a notice of appeal with the trial court within the required time frame
2. Preparing the Record on Appeal: The trial court prepares the record on appeal, which includes the transcript of proceedings, exhibits, and other documents filed in the case
3. Filing the Appellate Brief: The appellant files a written brief arguing why the trial court's decision was wrong and should be reversed
   • The brief must include citations to the record on appeal and legal authorities
4. Filing the Appellee's Brief: The party opposing the appeal (the appellee) files a written brief responding to the appellant's arguments and explaining why the trial court's decision should be affirmed
5. Oral Argument (if granted): The appellate court may grant oral argument, where the attorneys for each side appear before a panel of judges to make their arguments and answer questions
6. Appellate Court's Decision: The appellate court issues a written decision either affirming the trial court's decision, reversing it, or remanding the case back to the trial court for further proceedings
7. Rehearing and Supreme Court Review: If a party is dissatisfied with the appellate court's decision, they may seek a rehearing or petition for review by the state or federal supreme court

Key Players in Appeals

• Appellant: The party who files the appeal and seeks to have the lower court's decision reversed or modified
• Appellee: The party who won in the lower court and seeks to have the lower court's decision affirmed on appeal
• Appellate Judges: The judges who sit on the appellate court and review the lower court's decision
  • Appellate judges are typically appointed or elected and have experience as trial court judges or attorneys
• Appellate Attorneys: Attorneys who specialize in handling appeals and presenting arguments to the appellate court
  • Appellate attorneys must have strong research and writing skills and be able to analyze complex legal issues
• Amicus Curiae: Latin for "friend of the court," an amicus is a person or organization that is not a party to the case but has an interest in the outcome and submits a brief to the court
• Court Clerk: The administrative officer of the appellate court who is responsible for maintaining the court's records and docketing cases
• Court Reporter: The person responsible for creating the transcript of the trial court proceedings, which becomes part of the record on appeal

Standards of Review

• De Novo Review: The appellate court reviews the trial court's decision without deference to the trial court's findings, essentially considering the issue as if for the first time
  • De novo review is typically applied to questions of law, such as the interpretation of a statute or contract
• Clear Error Review: The appellate court will only reverse the trial court's factual findings if they are clearly erroneous, meaning they are not supported by substantial evidence in the record
• Abuse of Discretion Review: The appellate court will only reverse the trial court's decision on matters within the trial court's discretion (such as evidentiary rulings or sentencing) if the trial court abused its discretion by acting arbitrarily, capriciously, or unreasonably
• Plain Error Review: In criminal cases, an appellate court may consider an error that was not raised in the trial court if it is a plain error that affects the defendant's substantial rights and seriously affects the fairness, integrity, or public reputation of judicial proceedings
• Harmless Error Review: An appellate court will not reverse a trial court's decision based on an error that is deemed harmless, meaning it did not affect the outcome of the case or prejudice the appealing party's rights
  • The burden is on the appealing party to demonstrate that an error was harmful and not harmless

Common Grounds for Appeal

• Legal Error: The trial court misinterpreted or misapplied the law
  • Examples include incorrectly instructing the jury on the law or granting/denying a motion based on an erroneous legal standard
• Factual Error: The trial court's factual findings are not supported by substantial evidence in the record
• Abuse of Discretion: The trial court abused its discretion in making a decision within its discretion, such as admitting or excluding evidence or imposing a sentence
• Ineffective Assistance of Counsel: In criminal cases, the defendant's attorney provided ineffective assistance by failing to provide competent representation
• Juror Misconduct: Jurors engaged in misconduct that prejudiced the appealing party's rights, such as discussing the case outside of deliberations or considering evidence not admitted at trial
• Improper Argument: An attorney made improper arguments to the jury, such as commenting on inadmissible evidence or making inflammatory remarks
• Insufficient Evidence: In criminal cases, the prosecution failed to present sufficient evidence to support a conviction beyond a reasonable doubt
• Sentencing Error: In criminal cases, the trial court imposed a sentence that is outside the permissible range or based on improper factors

Impact of Appeals on Cases

• Reversal: If the appellate court finds that the trial court made a reversible error, it may reverse the trial court's decision and enter a new judgment in favor of the appealing party
  • In some cases, the appellate court may reverse and remand the case back to the trial court for further proceedings consistent with its decision
• Affirmance: If the appellate court finds no reversible error, it will affirm the trial court's decision, and the judgment will stand
• Modification: The appellate court may modify the trial court's decision, such as reducing a damages award or altering a sentence in a criminal case
• Precedential Effect: Appellate court decisions can have a precedential effect on future cases, establishing legal principles that lower courts must follow
  • Published opinions of appellate courts are binding precedent on lower courts within the same jurisdiction
• Finality: Once the appellate process is exhausted and the appellate court's decision is final, the case is considered closed and the parties are bound by the judgment
  • In some cases, a party may seek review by a higher court (such as a state supreme court or the U.S. Supreme Court), but such review is discretionary and rarely granted
• Impact on Settlement: The possibility of an appeal can impact settlement negotiations, as parties may be more willing to settle if they face the risk of an unfavorable appellate decision
  • The pendency of an appeal can also delay the enforcement of a judgment and prolong the litigation process