Curts in the Cmmunity Clrad Judicial Branch Office f the State Curt Administratr Lessn: Hw the Appellate Prcess Wrks Objective: Understand what happens t a case when it leaves the trial curts. (Clrad Mdel Cntent Standards: Civics, Standards 1.1, 2.1, and 2.3, grades 9-12) Activities: Teacher lecture (backgrund infrmatin and lecture utline prvided); class participatin activity. Outcmes: Students understand the appellate prcess and hw a case is appealed. Grade Level: Grades 9-12 Anticipated classrm time: 45-60 minutes Cmment frm Clrad Curt f Appeals Judge Arthur P. Ry: In my view, the appellate prcess is designed t accmplish tw primary gals. The first is t dilute pwer; that is, it is t be a check n the applicatin f the law by lwer curts r agencies. The secnd is t have unifrmity in the develpment and applicatin f the law. With respect t the first, there is a ld adage that states: pwer crrupts and abslute pwer crrupts abslutely. Imagine a wrld in which a judge culd make any decisin he r she wanted withut fear f an appeal. The appellate prcess accrds the parties t a dispute a means f crrecting the mistaken applicatin f the law and the finding f facts with n supprt in the evidence. With respect t the secnd, it is imprtant in a fair system that the crrect law be applied unifrmly. This is why, in ur traditin, curts can make law. The decisins f appellate curts are binding n lwer curts as t the interpretatin and applicatin f the law. On ccasin, the curts have made, r mdified, law t reslve a dispute fr which there is n applicable law. The law f cntracts and trts was initially frmulated and applied by the curts. The curts are als the final interpreter f the state and federal cnstitutins and, in that rle, they are a check the pwer f the legislative and executive branches f gvernment. Because f these imprtant functins, appellate curts are cmpsed f mre than ne judge r justice. That way it takes mre than ne jurist t review the wrk f anther and t make decisins binding n lwer curts. Our curt f appeals sits in panels f three judges, and the supreme curt is cmpsed f seven justices wh hear all cases befre that curt. Appellate curts d nt hear witnesses r determine the facts in a dispute. This is a functin f the trial curt. Appellate curts are bund by the findings f fact made by the trial judge r the jury after hearing the witnesses and reviewing ther evidence if thse findings have any supprt in the evidence. Appellate jurists read briefs, hear arguments frm cunsel, research the law, and issue pinins stating the crrect applicatin f the law t facts f the case.
Teacher backgrund infrmatin: Cmpiled with infrmatin frm the American Bar Assciatin and the Office f the State Curt Administratr. Fr mre infrmatin, please access the American Bar Assciatin website at http://www.abanet.rg/publiced/curts/appeals.html. A ppular miscnceptin is that cases are always appealed. Hwever, there usually must be a legal basis fr an appeal, such as an alleged material errr in the trial, nt just the fact that the lsing party didn t like the verdict. In a civil case, either party may appeal t a higher curt. In a criminal case in Clrad, the defendant has a right t an appeal, while the prsecutin has a limited right t appeal t determine certain pints f law. Prsecutin appeals usually ccur befre the actual trial is cncluded and g directly t the Supreme Curt fr determinatin. Appeals by the prsecutin after a verdict in a criminal case are nt nrmally allwed because f the prhibitin in the U.S. Cnstitutin against duble jepardy, r being tried twice fr the same crime. Criminal defendants cnvicted in state curts have a further safeguard. After using all f their rights f appeal n the state level, they may file a writ f habeas crpus in the federal curts in an attempt t shw that their federal cnstitutinal rights were vilated. The right f a federal review impses the check f the federal curts n abuses that may ccur in the state curts. The Clrad Curt f Appeals must accept every case that is prperly filed with the curt. The Clrad Supreme Curt des nt have this requirement, hwever, and grants certirari (the privilege f an appeal) t apprximately 10 percent f the cases filed with the curt. An appeal is nt a retrial r a new trial f the case. The appeals curts d nt cnsider new witnesses r new evidence. Appeals in either civil r criminal cases are usually based n arguments that there were errrs in the trial s prcedure r errrs in the judge s interpretatin f the law. Appeal Prcedure The party appealing is called the appellant, r smetimes the petitiner. The ther party is the appellee r the respndent. The appeal is instituted with the filing f a ntice f appeal, then there is a time perid within which the recrd must cme up frm the trial curt. The receipt f that recrd by the Curt f Appeals begins the time perid within which the appellant must file an Opening Brief, a written argument cntaining that side s view f the facts and the legal arguments upn which they rely in seeking a reversal f the trial curt. The appellee then has a specified time t file an Answer Brief, detailing his/her side and addressing issues raised in the Opening Brief. The appellant then files a Reply Brief, which is similar t a rebuttal. Because decisins f the appellate curts set precedents that affect the entire state, ther interested parties can present their views abut a case in amicus curiae (friend-f-the-curt) briefs. Appeals curts ften make their decisin nly n the basis f the written briefs. In ther cases, they hear ral arguments befre deciding a case. The curt may ask that the case be set fr ral argument, r ne f the parties may request ral argument. If a party requests an ral argument, it is mandatry in the Curt f Appeals and within the discretin f the Supreme Curt. During ral arguments, lawyers are frbidden t read at length frm the briefs, and they are limited t arguments raised in the briefs, unless permitted by the curt. Each side s attrney is
given a relatively brief pprtunity t argue the case t the curt and t answer questins psed by the judges. In the Clrad Supreme Curt, fr example, an hur is set fr ral argument f mst cases, which gives each side s lawyers 30 minutes t make their ral argument and answer questins. In the Clrad Curt f Appeals, the attrneys are alltted 15 minutes t make their arguments. The appellate curt determines whether errrs ccurred in applying the law at the lwer curt level. It generally will reverse a trial curt nly fr an errr f law. Nt every errr f law, hwever, is cause fr a reversal. Sme are harmless errrs that did nt prejudice the rights f the parties t a fair trial. Fr example, in a criminal case, a higher curt may cnclude that the trial judge gave a legally imprper instructin t the jury. Hwever, if the mistake was minr and, in the pinin f the appellate curt, had n bearing n the jury s finding, the appellate curt may hld it a harmless errr and let a guilty verdict stand. On the ther hand, an errr f law such as admitting imprper evidence may be determined t be harmful and therefre reversible errr. All seven justices n the Supreme Curt hear and take part in every case reviewed by the Supreme Curt (unless there is a cnflict f interest). Immediately after the cmpletin f ral arguments r review f the case, the justices meet in a cnference rm t determine the views f the members f the curt and take a tentative vte. A majrity is necessary t make a ruling in each case the curt hears. The chief justice presides, and, in general, the members f the curt express their views in rder f senirity, with the mst junir justice pening the discussin. The chief justice assigns the case t ne f the justices wh has vted in the majrity. The justice assigned t the case will, in mst instances, write the curt s majrity pinin. The pinin is a statement f the curt s decisin and the reasns upn which that decisin is based. The pinin may g thrugh several drafts befre a majrity f the curt agrees with it. Other justices can write cncurring r dissenting pinins in the case. A cncurring pinin is ne in which a justice agrees with the majrity pinin but nt fr the same reasns. A dissenting pinin is ne in which a justice disagrees with the result reached by the majrity f the ther justices. Hwever, the majrity pinin is the fficial pinin f the curt in the case. Unlike the Supreme Curt, Curt f Appeals judges sit in panels f three t decide cases befre the curt. Hwever, the cmpsitin f each panel f three judges rtates s that all Curt f Appeals judges handle an equal amunt f arguments. The judges discuss the case and take a vte t determine the views f the panel; at least tw f the three judges n a panel must agree fr an pinin t be issued. Usually, a case is assigned t a particular judge fr the writing f the pinin befre the actual ral argument r review f the case, but that assignment may change after the panel discusses the case. The ther judges n the panel can write cncurring r dissenting pinins if they s chse. Occasinally, the Supreme Curt will simply issue an unsigned pinin. These are called per curiam (by the curt). If the appeals curt affirms the lwer curt s judgment, the case ends, unless the lsing party appeals t a higher curt. The lwer curt decisin als stands if the appeals curt simply dismisses the appeal (usually fr reasns f jurisdictin). If the judgment is reversed, the appellate curt will usually send the case back t the lwer curt (remand it) and rder the trial curt t take further actin. It may rder that
a new trial be held, the trial curt s judgment be mdified r crrected, r the trial curt recnsider the facts, take additinal evidence, r cnsider the case in light f a recent decisin by the appellate curt. In a civil case, an appeal desn t rdinarily prevent the enfrcement f the trial curt s judgment. The winning party in the trial curt may rder the judgment executed. Hwever, the appealing party can file an appeal r supersedeas bnd. The filing f this bnd will prevent, r stay, further actin n the judgment until the appeal is ver by guaranteeing that the appealing party will pay r perfrm the judgment if it is nt reversed n appeal. Class participatin activity: Put students in grups f three r fur. Give each grup ne f the questins listed belw and allw them 15 minutes t fill ut the wrksheet entitled Analyzing the Appellate Prcess. Afterward, have the grups share their answers and/r grup cnsensus, alng with their reasning, with the rest f the class. 1) D yu think it is right that the Clrad Supreme Curt des nt rule n every case that is filed with it? 2) Hw d yu feel abut the prcess f having nly three f the 16 judges n the Curt f Appeals hear each case? 3) D yu think that the lawyers in a case shuld be limited t nly the issues raised in the briefs? What if smething cmes up after the riginal trial? 4) D yu think it is reasnable that sme cases are decided withut ral arguments, based nly n the written briefs? 5) D yu think the rule against duble jepardy is reasnable? 6) D yu think it is right that smene can repeatedly appeal curt decisins? In these types f cases wh shuld pay the expenses fr the curts and the ppsing side? Hmewrk assignment: Have students d the wrksheet entitled Granting Certirari. This wrksheet details what cases wuld and wuld nt be taken up by the Clrad Supreme Curt.
Lecture Outline: Wh Can Appeal Civil case Either party may appeal t a higher curt Criminal case In Clrad, defendant has a right t an appeal; prsecutin has limited right t appeal pints f law during trial Appeals by prsecutin after a verdict are nt nrmally allwed because f prhibitin in U. S. Cnstitutin against duble jepardy After criminal defendant uses all rights f appeal n state level, may file a writ f habeas crpus in federal curts Must shw that their federal cnstitutinal rights were vilated What Can Be Appealed Nt all cases appealed Must be legal basis Appeal is nt a retrial r a new trial Appeals curts d nt cnsider new witnesses r new evidence Appeals based n arguments that there were errrs in the trial s prcedure r errrs in the judge s interpretatin f the law Clrad Curt f Appeals Must decide every case that is prperly filed Clrad Supreme Curt Des nt hear every case filed Grants certirari (the privilege f an ral argument) t apprximately 10 percent f cases filed Details Party appealing called the appellant r smetimes petitiner Other party is appellee r respndent Appeal is instituted with filing f ntice f appeal Appellant must file an Opening Brief Appellee files an Answer Brief Appellant files a Reply Brief Other interested parties can present views in amicus curiae (friend-f-the-curt) briefs Appellate curt determines whether errrs ccurred in applying the law at the lwer curt level Generally appeals curts will reverse a trial curt nly fr errr f law Nt every errr f law is cause fr reversal Sme are harmless errrs that did nt prejudice the rights f the parties t a fair trial Oral Arguments Appeals curts ften make decisin nly n the basis f the written briefs Smetimes they hear ral arguments Lawyers frbidden t read at length frm the briefs Limited t arguments raised in the briefs Clrad Supreme Curt All seven justices take part in every case (unless there is a cnflict f interest)
Each side given 30 minutes during ral arguments After the cmpletin f ral arguments r review f briefs, justices meet t take a tentative vte Chief justice assigns the case t ne f the justices wh has vted in the majrity Justice assigned t the case writes curt s majrity pinin; ther justices can write cncurring r dissenting pinins Cncurring pinin is ne in which a justice agrees with the majrity pinin but nt fr the same reasns Dissenting pinin is ne in which a justice disagrees with the result reached by the majrity f the ther justices Clrad Curt f Appeals Three judges (ut f 16) decide each case Cmpsitin f each panel f three judges rtates s that all judges handle equal amunt Majrity is necessary t make a ruling After the cmpletin f ral arguments r after reviewing the briefs, panel judges meet t take a tentative vte Usually a case is assigned t a particular judge fr the writing f the pinin befre the ral argument r review f briefs, but assignment may change after the panel discusses the case Judge assigned t the case writes curt s majrity pinin Other judges n the panel can write cncurring r dissenting pinins Judgments Occasinally Supreme Curt will issue an unsigned pinin called per curiam If appeals curt affirms lwer curt s judgment Case can end Lsing party can appeal t a higher curt Lwer curt decisin stands if appeals curt dismisses the appeal If judgment is reversed Appellate curt will send case back t lwer curt Order the trial curt t take further actin May rder that New trial be held Trial curt s judgment be mdified r crrected Trial curt recnsider the facts, take additinal evidence, r cnsider the case in light f a recent decisin by the appellate curt Civil case Appeal desn t prevent the enfrcement f the trial curt s judgment Winning party in trial curt may rder the judgment executed Appealing party can file an appeal r supersedeas bnd Filing f this bnd will prevent further actin n the judgment until the appeal is ver
Analyzing the Appellate Prcess (Class participatin activity) Questin yu were given t analyze: Students in yur grup: Reasns why the appellate prcess wrks this way: Reasns why it might nt be fair: Reasns why it culd be cnsidered fair: Cnsensus f the grup (fair r unfair?):