APPEAL

Timely resort by an unsuccessful party in a lawsuit or administrative proceeding to an appropriate superior court empowered to review a final decision on the ground that it was based upon an erroneous application of law.

A person who initiates an appeal—the appellant, sometimes called the plaintiff in error, must file a notice of appeal, along with the necessary documents, to commence appellate review. The person against whom the appeal is brought, the appellee, then files a brief in response to the appellant's allegations.

There are usually two stages of review in the federal court and in many state court systems: an appeal from a trial court to an intermediate appellate court and thereafter to the highest appellate court in the jurisdiction. Within the appellate rules of administrative procedure, there might be several levels of appeals from a determination made by an administrative agency. For example, an appeal of the decision of an administrative law judge may be heard by a reviewing body within the agency, and from that body, the appeal may go to a trial court, such as a federal district court. Thereafter, the appeal might travel the same route as an appeal taken from a judicial decision, going from an intermediate to a superior appellate court, or it might go directly to a superior appellate court for review, bypassing the intermediate stage. The

rules of appellate procedure applicable to a particular court govern its review of cases.

Right to Appeal

There is no absolute right of appeal for all decisions rendered by a lower court or administrative agency. Federal and state constitutions and statutory provisions create appellate courts and prescribe the types of cases that are within their jurisdiction. An appeal may be granted as a matter of right, such as from a trial court to an intermediate appellate court or only at the discretion of a superior appellate court, for example, by a grant of certiorari by the Supreme Court. If the decision presented does not meet the statutory requirements for review, the appellate court is powerless to hear the appeal and review is denied.

The right to appeal a decision is limited to those parties to the proceeding who are aggrieved by the decision because it has a direct and adverse effect upon their persons or property. In addition, an actual case or controversy must exist at the time of review. Issues that have become moot while the appeal is pending and cases that have been settled during that time are not reviewable.

Final Decision

A final judgment or order must have been reached by the trial court in order for a case to be appealable. A judgment is considered final for purposes of appeal when it ends the action in the court in which it was brought and nothing more is to be decided. This rule is intended to prevent the piecemeal litigation of a lawsuit, to avoid delay resulting from interlocutory appeals, and to give the trial court the opportunity to render a decision in the case to the satisfaction of both parties, thereby obviating the need for appeal. The consideration of incidental matters, such as the computation of interest, attorneys' fees, or court costs, does not prevent a judgment or order from being appealed.

Grounds

Error is the basis for review of a final decision rendered by a court or administrative agency. Error is called to the attention of a court through the use of objections, protests made during the course of a proceeding that an action taken by the opposing side in a controversy is unfair or illegal. Decisions rendered in favor of one party at trial level are presumed by an appellate court to be correct unless objections have been made to the issues in question during the trial. Failure to do so will preclude their review on appeal. An objection must be made as promptly and specifically as possible for each act to which it is directed so that the court may make an intelligent decision regarding its merits. The trial judge rules on the objection, and the decision is included in the trial record. If the attorney for either party disagrees with the ruling, he or she may take an exception, an objection taken to a decision of a court on a matter of law, which is noted in the trial record to be preserved for purposes of appeal. Appellate jurisdiction is limited only to a review of actions taken by an inferior court. No new objections can be raised before an appellate court for its consideration unless exceptional circumstances exist to justify the appellate court raising the issues sua sponte, on its own motion. Exceptional circumstances mean the presence at trial of plain error, a mistake in the proceedings that substantially affects the rights of the party against whom the decision has been made and undermines the fairness and integrity of the judicial system, causing a miscarriage of justice.

Time of Appeal

Appeals must be made within the time prescribed by statute or by the governing rules of the appellate court. Such statutes begin to run only after a final decision has been made. The timely filing of the notice of appeal with the clerk of the appellate court and the appellee completes, or perfects, the procedure. If the appeal is not taken and perfected within the time set by statute, the right to appeal is foreclosed. Extensions of time for the filing of an appeal may be granted, however, if extenuating circumstances exist, such as if either party is adjudicated incompetent or dies.

Notice of Appeal

A notice of appeal—a written document filed by the appellant with the court and a copy of which is sent to the appellee—is the initial step in the appeals process. It informs the court and the party in whose favor a judgment or order has been made that the unsuccessful party seeks a review of the case. Failure to file a notice of appeal according to the statutory requirements will preclude appeal.

Bonds

An appeal bond, a promise to pay a sum of money, must often be posted by an appellant to secure the appellee against the costs of the appeal, if the appellee is successful and the appellant fails to pay. Its amount is determined by the court itself or by statute. The imposition of such a bond discourages frivolous appeals. If successive appeals are taken from an intermediate appellate court to a superior one, a new bond is usually required.

Record on Appeal

The function of the appellate court is limited to a review of the trial record sent up from the lower court and the briefs filed by the appellant and appellee. amicus curiae briefs, if permitted by the appellate court, also become part of the record on appeal. The trial record, sometimes called the record proper, must show the pleadings that initiated the case, the complete transcript (in cases of jury trial) of lower court proceedings, the verdict, and the entry of the final judgment or order. The appellant must clearly demonstrate that the grounds for review had been raised and unsuccessfully decided upon at the trial level and, therefore, prejudicial error exists to warrant the reversal of the decision of the lower court.

In some jurisdictions, a bill of exceptions—a written statement of the objections made by a party to the ruling, decision, charge, or opinion of the trial judge—must be submitted to the appellate court to provide a history of the trial proceedings. It should not include matters that belong in the record proper but, instead, should state those points concerning questions of law raised by the exceptions taken during the trial. The appellant's attorney prepares the bill and presents it to the trial judge for settlement, an agreement between the trial judge and the appellant that the bill contains a truthful account of the events of the trial. If there is disagreement, the judge returns the bill to the appellant with an explanation. The appellee must be given notice of the time and place of the settlement of the bill of exceptions in order to object to or approve its contents. The settled bill of exceptions becomes part of the trial transcript, which is part of the record on appeal. The appellant must submit a complete unabridged transcript of the trial that is prepared by the clerk of the trial court.

The entire trial record is printed and filed with the appellate court, and a copy is also sent to the appellee.

Assignment of Errors

A statement by the appellant of the errors alleged to have been committed in the lower court is an assignment of errors, a type of appellate pleading used to point out to the appellate court the grounds for review. It controls the scope of an appeal because if a ground for review is not contained in it, it will not ordinarily be considered by the court. The assignment of errors is usually part of the notice of appeal, the bill of exceptions, the transcript of the record, or the brief, although in some jurisdictions, it is a separate document.

Appellate Brief

The appellant and appellee must file individual briefs to aid the appellate court in its consideration of the issues presented. Failure to do so results in a dismissal of the appeal. The facts of the case, the grounds for review, and the arguments relating to those questions must be concisely stated. Any statements referring to the trial record must be supported by an appropriate reference to it.

The appellant's brief must specifically discuss the alleged errors that entitle the appellant to a reversal and discuss why each ruling of the lower court was wrong, citing authority, such as a case in which a similar point of law has been decided or a statute that applies to the particular point in issue. Disrespectful or abusive language directed against the lower court, the appellate court, the parties, witnesses, or opposing counsel cannot be used. If it is, it will be stricken from the brief, and the costs of the brief that might have been awarded are disallowed.

Review

Appellate courts have jurisdiction to decide only issues actually before them on appeal and nothing else. They cannot render opinions on controversies or declare principles of law that have no practical effect in settling the rights of the litigants.

Only conclusions of law, not findings of fact made by a lower court, are reviewable.

Harmless Error The appellate court must decide whether the errors alleged to have been made by the trial court are harmless or prejudicial. An error that substantially injures the rights of one party is called a prejudicial or reversible error and warrants the reversal of the final judgment or order. However, an error that is technical or minimally affects the rights of the parties or the outcome of the lawsuit is considered a harmless error, insufficient to require a reversal or modification of the decision of the lower court.

Hearing

The clerk of the appellate court schedules on the court calendar the date of the hearing on which each side may present an oral argument. Oral arguments, usually ten to fifteen minutes for each side, help the court understand the issues argued in the brief and persuade the court to rule in favor of the arguing party. During the arguments of appellant and appellee, it is not unusual for the appellate judge to interrupt with questions on particular issues or points of law.

The appellant's argument briefly discusses the facts on which the cause of action is based and traces the history of the case through the lower courts. It includes the legal issues raised by the exceptions taken to the allegedly erroneous rulings of the trial judge. Thereafter, the appellee's counsel presents arguments in favor of affirming the original decision.

Determination

An appellate court has broad powers over the scope of its decision and the relief to be granted. After reviewing the controlling issues in an action, it may affirm the decision of the inferior tribunal, modify it, reverse it, or remand the case for a new trial in the lower court pursuant to its order.

When a decision is affirmed, the appellate court accepts the decision of the lower court and rejects the appellant's contention that it was erroneously made. The modification of a decision by an appellate court means that, while it accepts part of the trial court's decision, the appellant was correct that the decision was partly erroneous. The trial court's decision is then modified accordingly.

A reversal of a decision means that the appellate court agrees with the appellant that the decision was erroneously made. The party who lost the case at the trial level becomes the winning party in appellate court.

In some cases, a decision might be reversed but the lawsuit is still unresolved. The appellate court then orders the reversal with the direction that the case be remanded to a lower court for the determination of the issues that remain unsettled.

If a judgment or order is reversed in an intermediate appellate court, the losing party may file an appeal with a superior appellate court for relief, and the appellate process begins again. The decision rendered by a superior appellate court cannot ordinarily be reviewed. In state cases involving issues based on federal statutes or the Constitution, however, an appeal may be brought in the federal court system on those questions that are within its jurisdiction.

further readings

Lynn, Richardson R. 1985. Appellate Litigation. New York: Wiley Law.

Magen, Barbara S. 2003. "Let's twist again: getting reargument and reconsideration on appeal." Pennsylvania Law Weekly 26 (April).

Wood, Jefri, and Diane Sheehey. 1997. Guideline Sentencing: An Outline of Appellate Case Law on Selected Topics. Washington, D.C.: Federal Judicial Center.

cross-references

Appellate Advocacy; Appellate Court; Federal Courts; Remand.

Appeal A litigant dissatisfied with the outcome of a lawsuit may exercise certain rights of appeal. To appeal means to have a lower court proceeding reviewed by a superior court. The party taking an appeal, known as the “appellant” or “petitioner,” argues through written briefs and oral arguments that errors committed by the lower court were sufficiently serious to invalidate the outcome. The opposing party, known as the “appellee” or “respondent,” argues that the lower court acted correctly and that its decision should stand.

Appeals courts are staffed by multiple judges and are interested only in whether prejudicial errors have been committed in a lower court. They are not concerned with new findings of fact. Consequently, the appeals court makes its decision based on an examination of the lower court record, written briefs, and oral arguments, not on newly introduced evidence or testimony. Depending upon whether any “reversible errors” are found, an appeals court may affirm, vacate, modify, or reverse the lower court ruling. Decisions are announced by written opinions following deliberation among the judges.

Appeals are either obligatory or discretionary. An obligatory appeal is one in which the appellant has the right to have the case reviewed and decided on its merits. In a discretionary appeal there is no obligation for the appeals judges to give the case such a full review. The Supreme Court historically has heard both obligatory and discretionary appeals, but the Judicial Improvements and Access to Justice Act of 1988 made the Court's appellate jurisdiction almost exclusively discretionary.

Thomas G. Walker

appeal in law, hearing by a superior court to consider correcting or reversing the judgment of an inferior court, because of errors allegedly committed by the inferior court. The party appealing the decision is known as the appellant, the party who has won the case in the lower court as the appellee. The term is also sometimes used to describe the review by a court of the action of a government board or administrative officer. Appellate procedure is set by statute. There are two types of errors, of fact and of law. An error of fact is drawing a false inference from evidence presented at the trial. An error of law is an erroneous determination of the legal rules governing procedure , evidence , or the matters at issue between the parties. Ordinarily, only errors of law may be reviewed in appeal. In an appeal from an action tried in equity , however, the appellate court passes on the entire record, both as to facts and law. Should the appeals court conclude that no error was committed, it will affirm the decision of the lower court. If it finds that there was error, it may direct a retrial or grant a judgment or decree in favor of the party who lost in the lower court. The determinations of appeals courts are usually printed, often with an opinion indicating the basis for the court's decisions. Such opinions are of great utility in guiding the inferior courts and are often cited as precedents in future cases. See also habeas corpus .

ap·peal / əˈpēl/ • v. [intr.] 1. make a serious or urgent request, typically to the public: she appealed to Germany for political asylum. 2. Law apply to a higher court for a reversal of the decision of a lower court: he said he would appeal against the conviction | [tr.] to appeal the decision. ∎  Baseball (of the defensive team) call on the umpire to rule a strike or out on a completed play. ∎  (appeal to) address oneself to (a principle or quality in someone) in anticipation of a favorable response: I appealed to his sense of justice. 3. be attractive or interesting: the topics will appeal to youngsters. • n. 1. a serious or urgent request, typically one made to the public. ∎  an attempt to obtain financial support: a public appeal to raise $120,000. ∎  entreaty: a look of appeal on his face. 2. Law an application to a higher court for a decision to be reversed: he has 28 days in which to lodge an appeal | the right of appeal. ∎  an address to a principle or quality in anticipation of a favorable response: an appeal to black pride. 3. the quality of being attractive or interesting: the popular appeal of football. DERIVATIVES: ap·peal·er n.

appeal appeal from Philip drunk to Philip sober proverbial saying, implying that an opinion or decision reflects only a passing mood. The original allusion is to Philip, King of Macedon, father of Alexander the Great, who is said to have been the subject of such an appeal.
appeal to Caesar appeal to the highest possible authority, originally with reference to the claim made by the apostle Paul to have his case heard in Rome, which was his right as a Roman citizen, ‘I appeal unto Caesar’ (Acts 25:11).

appeal XIV. — OF. apeler (mod. appeler) call :- L. appellāre, f. AP- + pell- of pellere drive.
So appeal sb. XIII.

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