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Appeal

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An appeal is a formal legal process used to review a court case. It occurs when a higher authority examines a decision made by a lower court. Parties involved in a case request this review to seek a formal change to an official decision. This mechanism serves two primary purposes in a legal system. First, it functions as a method for error correction to fix mistakes. Second, it acts as a way to clarify and interpret the law for the future. This process is generally referred to as appellate review. It is distinct from judicial review, which involves a court checking if a legislative or administrative act is valid.

New York Court of Appeals hearing oral arguments
New York Court of Appeals hearing oral arguments

Appellate review follows a specific sequence of steps. The process usually begins when an appellate court grants a petition for review or a petition for certiorari. Unlike a trial, which often uses a jury to decide facts, an appeal is typically presented to a single judge or a panel of judges. Before any spoken arguments occur, the parties must submit legal briefs. These are written documents that explain their legal arguments in great detail. Sometimes, an amicus curiae, or "friend of the court," may also submit a brief to support a specific position. Following the written briefs, lawyers often participate in oral arguments. During these sessions, judges frequently ask questions to challenge the attorneys' arguments or to explore new legal theories.

There are different ways that appellate courts handle the details of a case. In many legal systems, appellate courts review questions of law de novo. This means they look at the legal issues fresh. However, these courts generally do not conduct their own independent fact-finding. Instead, they usually defer to the record established by the original trial court. They only intervene if an error occurred during the initial fact-finding process. This is a major difference from systems like that of the Netherlands. In the Netherlands, appellate courts review cases in their entirety, including the facts. This distinction defines how much power the higher court has over the original trial's results.

Supreme Court of Victoria (5064240836)
Supreme Court of Victoria (5064240836)

Systems of error correction have existed for many millennia across the globe. During the first dynasty of Babylon, Hammurabi and his governors acted as the highest appellate courts. Ancient Roman law also recognized the right to appeal through the Valerian and Porcian laws in 509 BC. Rome eventually developed a complex hierarchy of courts where some appeals reached the emperor. In Japan, appellate courts have been present since at least the Kamakura shogunate from 1185 to 1333. During this period, the shogunate established a high court to help the state adjudicate lawsuits. These ancient examples show that humans have long sought ways to review official decisions.

In contrast, the concept of an affirmative right to appeal is a relatively recent development in common law countries. For a long time, English common law courts were slow to adopt this right. Early English courts used limited tools called writs of error and certiorari. A writ of error was not a right and often required a recommendation from the attorney general. Certiorari was originally only for summary offences. It only became available for indictable offences in the early 19th century to provide relief before a judgment. Because of widespread dissatisfaction, England finally switched to a system of appeals for civil cases in 1873. They implemented appeals for criminal cases in 1907.

New York Court of Appeals hearing oral arguments
New York Court of Appeals hearing oral arguments

When an appellate court finishes its work, it issues a formal written opinion. This document resolves the legal issues presented during the review. The outcome of an appeal usually results in one of several specific actions. If the court finds the appeal has merit, it may issue a reversal. A reversal means the lower court's decision is found to be incorrect. This can result in the original judgment being vacated and the case being sent back for a retry. If the court finds the appeal lacks merit, it may issue an affirmation. An affirmation means the lower court's decision is upheld as correct. Some courts may also vacate a decision entirely.

Supreme Court of Victoria (5064240836)
Supreme Court of Victoria (5064240836)

Appellate structures vary significantly between different jurisdictions. Many systems include intermediate appellate courts that sit between trial courts and the highest court. The highest court in a jurisdiction is often called a supreme court or a court of last resort. Some courts, like the Supreme Court of the United States, serve a dual role. They primarily hear cases on appeal, but they also maintain original jurisdiction over a limited range of specific cases. While many jurisdictions provide a statutory or constitutional right to appeal, this right can sometimes be waived. In the United States, a litigant may waive their right to appeal if the waiver is considered both intelligent and considered.

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