United States appellate procedure involves the rules and regulations for filing appeals in state courts and federal courts. The nature of an appeal can vary greatly depending on the type of case and the rules of the court in the jurisdiction where the case was prosecuted. There are many types of standard of review for appeals, such as de novo and abuse of discretion. However, most appeals begin when a party files a petition for review to a higher court for the purpose of overturning the lower court's decision.
An appellate court is a court that hears cases on appeal from another court. Depending on the particular legal rules that apply to each circumstance, a party to a court case who is unhappy with the result might be able to challenge that result in an appellate court on specific grounds. These grounds typically could include errors of law, fact, procedure or due process. In different jurisdictions, appellate courts are also called appeals courts, courts of appeals, superior courts, or supreme courts.
The specific procedures for appealing, including even whether there is a right of appeal from a particular type of decision, can vary greatly from state to state. The right to file an appeal can also vary from state to state; for example, the New Jersey Constitution vests judicial power in a Supreme Court, a Superior Court, and other courts of limited jurisdiction, with an appellate court being part of the Superior Court.
Access to appellant status A party who files an appeal is called an "appellant", "plaintiff in error", "petitioner" or "pursuer", and a party on the other side is called an "appellee", "defendant in error", "respondent". A "cross-appeal" is an appeal brought by the respondent. For example, suppose at trial the judge found for the plaintiff and ordered the defendant to pay $50,000. If the defendant files an appeal arguing that he should not have to pay any money, then the plaintiff might file a cross-appeal arguing that the defendant should have to pay $200,000 instead of $50,000.
The appellant is the party who, having lost part or all their claim in a lower court decision, is appealing to a higher court to have their case reconsidered. This is usually done on the basis that the lower court judge erred in the application of law, but it may also be possible to appeal on the basis of court misconduct, or that a finding of fact was entirely unreasonable to make on the evidence.
The appellant in the new case can be either the plaintiff (or claimant), defendant, third-party intervenor, or respondent (appellee) from the lower case, depending on who was the losing party. The winning party from the lower court, however, is now the respondent. In unusual cases the appellant can be the victor in the court below, but still appeal.
An appellee is the party to an appeal in which the lower court judgment was in its favor. The appellee is required to respond to the petition, oral arguments, and legal briefs of the appellant. In general, the appellee takes the procedural posture that the lower court's decision should be affirmed.
Ability to appeal An appeal "as of right" is one that is guaranteed by statute or some underlying constitutional or legal principle. The appellate court cannot refuse to listen to the appeal. An appeal "by leave" or "permission" requires the appellant to obtain leave to appeal; in such a situation either or both of the lower court and the court may have the discretion to grant or refuse the appellant's demand to appeal the lower court's decision. In the Supreme Court, review in most cases is available only if the Court exercises its discretion and grants a writ of certiorari.
In tort, equity, or other civil matters either party to a previous case may file an appeal. In criminal matters, however, the state or prosecution generally has no appeal "as of right". And due to the double jeopardy principle, the state or prosecution may never appeal a jury or bench verdict of acquittal. But in some jurisdictions, the state or prosecution may appeal "as of right" from a trial court's dismissal of an indictment in whole or in part or from a trial court's granting of a defendant's suppression motion. Likewise, in some jurisdictions, the state or prosecution may appeal an issue of law "by leave" from the trial court or the appellate court. The ability of the prosecution to appeal a decision in favor of a defendant varies significantly internationally. All parties must present grounds to appeal, or it will not be heard.
By convention in some law reports, the appellant is named first. This can mean that where it is the defendant who appeals, the name of the case in the law reports reverses (in some cases twice) as the appeals work their way up the court hierarchy. This is not always true, however. In the federal courts, the parties' names always stay in the same order as the lower court when an appeal is taken to the circuit courts of appeals, and are re-ordered only if the appeal reaches the Supreme Court.
Direct or collateral: Appealing criminal convictions Many jurisdictions recognize two types of appeals, particularly in the criminal context. The first is the traditional "direct" appeal in which the appellant files an appeal with the next higher court of review. The second is the collateral appeal or post-conviction petition, in which the petitioner-appellant files the appeal in a court of first instance—usually the court that tried the case.
The key distinguishing factor between direct and collateral appeals is that the former occurs in state courts, and the latter in federal courts.
Relief in post-conviction is rare and is most often found in capital or violent felony cases. The typical scenario involves an incarcerated defendant locating DNA evidence demonstrating the defendant's actual innocence.
Appellate review "Appellate review" is the general term for the process by which courts with appellate jurisdiction take jurisdiction of matters decided by lower courts. It is distinguished from judicial review, which refers to the court's overriding constitutional or statutory right to determine if a legislative act or administrative decision is defective for jurisdictional or other reasons (which may vary by jurisdiction).
In most jurisdictions the normal and preferred way of seeking appellate review is by filing an appeal of the final judgment. Generally, an appeal of the judgment will also allow appeal of all other orders or rulings made by the trial court in the course of the case. This is because such orders cannot be appealed "as of right". However, certain critical interlocutory court orders, such as the denial of a request for an interim injunction, or an order holding a person in contempt of court, can be appealed immediately although the case may otherwise not have been fully disposed of.
There are two distinct forms of appellate review, "direct" and "collateral". For example, a criminal defendant may be convicted in state court, and lose on "direct appeal" to higher state appellate courts, and if unsuccessful, mount a "collateral" action such as filing for a writ of habeas corpus in the federal courts. Generally speaking, "[d]irect appeal statutes afford defendants the opportunity to challenge the merits of a judgment and allege errors of law or fact. ... [Collateral review], on the other hand, provide[s] an independent and civil inquiry into the validity of a conviction and sentence, and as such are generally limited to challenges to constitutional, jurisdictional, or other fundamental violations that occurred at trial." "Graham v. Borgen", 483 F 3d. 475 (7th Cir. 2007) (no. 04–4103) (slip op. at 7) (citation omitted).
In Anglo-American common law courts, appellate review of lower court decisions may also be obtained by filing a petition for review by prerogative writ in certain cases. There is no corresponding right to a writ in any pure or continental civil law legal systems, though some mixed systems such as Quebec recognize these prerogative writs.
Direct appeal After exhausting the first appeal as of right, defendants usually petition the highest state court to review the decision. This appeal is known as a direct appeal. The highest state court, generally known as the Supreme Court, exercises discretion over whether it will review the case. On direct appeal, a prisoner challenges the grounds of the conviction based on an error that occurred at trial or some other stage in the adjudicative process.
Preservation issues An appellant's claim(s) must usually be preserved at trial. This means that the defendant had to object to the error when it occurred in the trial. Because constitutional claims are of great magnitude, appellate courts might be more lenient to review the claim even if it was not preserved. For example, Connecticut applies the following standard to review unpreserved claims: 1.the record is adequate to review the alleged claim of error; 2. the claim is of constitutional magnitude alleging the violation of a fundamental right; 3. the alleged constitutional violation clearly exists and clearly deprived the defendant of a fair trial; 4. if subject to harmless error analysis, the state has failed to demonstrate harmlessness of the alleged constitutional violation beyond a reasonable doubt.
State post-conviction relief: collateral appeal All States have a post-conviction relief process. Similar to federal post-conviction relief, an appellant can petition the court to correct alleged fundamental errors that were not corrected on direct review. Typical claims might include ineffective assistance of counsel and actual innocence based on new evidence. These proceedings are normally separate from the direct appeal, however some states allow for collateral relief to be sought on direct appeal. After direct appeal, the conviction is considered final. An appeal from the post conviction court proceeds just as a direct appeal. That is, it goes to the intermediate appellate court, followed by the highest court. If the petition is granted the appellant could be released from incarceration, the sentence could be modified, or a new trial could be ordered.
Habeas corpus
Notice of appeal A "notice of appeal" is a form or document that in many cases is required to begin an appeal. The form is completed by the appellant or by the appellant's legal representative. The nature of this form can vary greatly from country to country and from court to court within a country.
The specific rules of the legal system will dictate exactly how the appeal is officially begun. For example, the appellant might have to file the notice of appeal with the appellate court, or with the court from which the appeal is taken, or both.
Some courts have samples of a notice of appeal on the court's own web site. In New Jersey, for example, the Administrative Office of the Court has promulgated a form of notice of appeal for use by appellants, though using this exact form is not mandatory and the failure to use it is not a jurisdictional defect provided that all pertinent information is set forth in whatever form of notice of appeal is used.Jeffrey S. Mandel, New Jersey Appellate Practice (Gann Law Books)
The deadline for beginning an appeal can often be very short: traditionally, it is measured in days, not months. This can vary from country to country, as well as within a country, depending on the specific rules in force. In the U.S. federal court system, criminal defendants must file a notice of appeal within 10 days of the entry of either the judgment or the order being appealed, or the right to appeal is forfeited.
Appellate procedure