Overview of Appellate Procedure in Criminal Cases

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A criminal defendant has a right to appeal his/her conviction and sentence for a criminal offense. He/she is called the appellant in the appeal, and the prosecuting authority (such as the state or the city) is called the appellee. Generally, the prosecutor can file an appeal only under certain limited circumstances because of the constitutional protection against double jeopardy. The appellant has the burden of persuading the appellate court that the trial court committed a procedural error or an error in its interpretation of the law. Appellate procedure refers to the rules and practices used by the appellate court in reviewing a trial court's judgment.

What are the standards of review in a criminal case?

Standards of review refer to what the appellant must show in order to have the appellate court reverse or overturn a conviction or sentence. Under the substantial evidence standard of review, the appellate court looks at whether the evidence was legally sufficient to support the jury's verdict of guilty beyond a reasonable doubt. If the evidence was insufficient, the appellate court will reverse the conviction. Abuse of discretion is another standard of review. Under this standard, the appellate court decides whether the trial judge properly exercised his/her judicial discretion in making a ruling in the case. The appellate court has authority to review the trial court's factual findings under the clearly erroneous standard. Under the de novo, plenary, or independent standard of review, the appellate court reviews the trial court's conclusions about the application, interpretation, and construction of law. Applying the harmless error standard, the appellate court considers whether the error appealed was harmless beyond a reasonable doubt and thus did not prejudice the appellant. Finally, the plain error doctrine, as applied to criminal cases, allows an appellate court to review errors not preserved in the trial court record if those errors would result in a miscarriage of justice or seriously affect the basic fairness, integrity, and public reputation of the judicial process.

What procedures must be followed in an appeal?

Federal appellate courts are governed by the Federal Rules of Appellate Procedure (pdf). State appellate courts are governed by their state's rules of appellate procedure. The appellant must file a notice of appeal within the time set out by the appellate rules. The appellant must also submit a trial court record, including a trial transcript. Both sides prepare and file written briefs. The appellant has the burden of overcoming the arguments that were successful in convicting and sentencing him/her. The briefs for each side state the issues raised on appeal, present the parties' arguments, and include citations to legal authorities in support of each side's arguments. Most appeals are decided on the briefs that are submitted by the parties, but some states permit oral argument in every appeal. During an oral argument, the appellate court questions the attorneys for each side in order to clarify the legal issues presented in the appeal.

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