The Basics of an Appeal

“The case is on appeal.”

“We’re going to appeal the judge’s ruling.”

“We won our appeal!”

We’re all heard some version of these phrases. But what exactly is an appeal, and how do appeals work?

What Is An Appeal?

We have a court system composed of higher courts and lower courts. The lower courts are generally where cases start, and the higher courts review those decisions. For instance, let’s say you’re charged with a crime in Arkansas state court, such as, say, drug possession, disorderly conduct, terroristic threatening, etc. Or perhaps you file for divorce. Your case would be heard in an Arkansas circuit court.

If your case was in federal court, such as a Title VII discrimination case, a lawsuit against an insurance company, a Fair Labor Standards Act case, etc., it will often be heard, in the first instance, by a federal district court.

Federal district courts and state circuit courts are often called “trial courts”.

Often (in fact, roughly half the time), a party is dissatisfied with a ruling made by a trial court. An appeal is the process by which a party tries to have a higher court, such as the Arkansas Court of Appeals or Supreme Court of Arkansas (state court) or U.S. Court of Appeals for the Eighth Circuit or U.S. Supreme Court (federal court), review a decision by a trial court.

How Does An Appeal Begin?

On both the state and federal levels, a litigant looking to pursue an appeal must file a Notice of Appeal. A Notice of Appeal is a written expression of intent to the parties in a suit and the trial court that a party will be seeking appellate review of the trial court’s decision. Usually, a Notice of Appeal is filed after the court enters a final order disposing of the case, like a judgment entered after a verdict or an order granting a motion to dismiss. However, sometimes parties may pursue an Interlocutory Appeal, by which they can seek a review of an order that doesn’t end the case but is important enough that the appellate court will review it anyway. For instance, police defendants in a civil rights excessive force cases have the right to appeal a decision granting them qualified immunity.

Typically, a Notice of Appeal must be filed within 30 days of the order for which a party is seeking review.

Then, the appellant orders the trial court record, which will generally consist of the docket sheet, transcripts of all hearings, the court’s written orders, exhibits entered into evidence, and the parties’ filings. These documents and things make up the record on appeal. Though the parties’ written briefs and, if applicable, oral argument (both of which are discussed below), are what the parties use to establish their legal positions and provide the appellate court with the parties’ version of the facts of the case, the record is what appellate courts use to determine what happened at the trial court level—wjat the parties filed, what they argued, how witnesses testified, etc.

The Parties’ Arguments 

After receiving the record, the court will set a briefing schedule that sets forth when the parties will submit their written appellate briefs. An appellate brief is a written submission to the court in which a party sets forth the facts of the case, discusses relevant authority, and provides the court with what it believes are the reasons why it should rule a particular way. In general, the appellant, who initiated the appeals process and would like the appellate court to change the trial court’s ruling in some way, will point out what they believe to be mistakes made by the trial court and provide the appellate court with legal bases to reverse the lower court’s ruling(s). On the other hand, the appellee usually simply wants to preserve its win, and typically spends most of its brief trying to swat down the appellant’s arguments and otherwise support the trial’s court’s ruling. 

In most cases, the appellafe court will be able to make a decision solely from a review of the record and of the parties’ briefs. However, sometimes that isn’t enough. For instance, occasionally a case presents a new issue that the court has not dealt with before. Or perhaps after considering the briefs, the judges deciding the case think of questions that would be best answered by the parties themselves. When this happens, the court will set the case for oral argument. Oral argument is a discussion between the parties’ attorneys and the judges who are deciding the case. It is intended to clear up any questions the judges may have, explore any significant issues, or have any points of confusion cleared up before a ruling is issued. Most cases are affirmed. But if the appellate court requests oral argument, it usually means the court is at least thinking about reversing.

Who Decides the Case?

At the trial court level, an issue usually decided by a single judge. By contrast, an appeal is heard by a group of judges. Some courts, like the Arkansas Court of Appeals, decide cases in groups of 3 judges (known as a “panel”), and only increase the size of the group deciding a case under certain circumstances. Others, like the U.S. Supreme Court and Supreme Court of Arkansas, decide each case according to a vote of all the members of the court.

The Decision

After the parties have submitted their briefs and, as applicable, had oral argument, the court will decide the case. The judges will have a discussion, take a vote on whether to affirm or reverse, and draft and file the opinion. Depending on such factors as the complexity and difficulty of the case, a decision might be released a few weeks after being submitted to the court or take a few months. Some special classes of cases, like certain election challenges and death penalty cases, are heard and decided within a much shorter timeline.

There are two basic rulings an appellate court can make. As mentioned above, the more common result is an affirmance. When a court affirms, it holds that the issues the appellant identified did not justify changing the trial court’s ruling, and therefore leaves it in place. For instance, if a verdict went against the defendant, they appeal, and the appellate court affirms, that means that the verdict in favor of the plaintiff remains in force.

On the other hand, if the court reverses, that means that it decided that some error was severe enough that the trial court’s decision cannot stand. For instance, if a defendant who loses a jury trial wins their appeal, the reversal by the appellate court might require the trial court to either enter an order in favor of the defendant or have a new trial.

Often, the party that loses the appeal will make a request for further appellate review. For example, in courts where cases are heard by panels of 3, parties may request that a larger group of judges or the full court take a look at the case. In cases where the court hearing the appeal is not the highest authority on a particular matter, parties can also seek review from a higher court, like the U.S. Supreme Court in cases from U.S. Courts of Appeals or state supreme courts. 

If such a request is granted, some version of the just-completed process begins again. If not, the appellate stage on the case is done.

Conclusion 

This is obviously just a bird’s eye view of the appellate process. However, hopefully you’ve found it useful. If you have a case that is on appeal or seems like it’s headed that way, you are well served to consult with an Appellate Attorney as soon as possible. Contact our firm by phone, email, or our contact form if you would like your case evaluated.