The appeal system

Overview

The appeal system in England and Wales is a structured process within the judiciary that allows higher courts to review and reconsider decisions made by lower courts. Its primary function is to ensure that justice is accurately administered by correcting errors and misapplications of the law. The core principles of the appeal system include the rectification of judicial mistakes, the consistent application of legal precedent, and the clarification of legal interpretations. Understanding the design of this system, its basic concepts, and its procedural mechanisms is essential for comprehending how justice is maintained and developed within the legal framework.

Hierarchical Structure of the Appeal System

The appeal process is organized in a hierarchy, allowing decisions made by lower courts to be reviewed by higher ones. This structure acts like a safety net, ensuring that justice is fairly applied throughout the legal system.

Supreme Court

At the top of the judicial hierarchy stands the Supreme Court, established by the Constitutional Reform Act 2005.

• Jurisdiction: It hears appeals on significant points of law that have wide public importance.
• Composition: The court consists of 12 Justices, including the President and Deputy President.
• Case Selection: Appeals reach the Supreme Court only with permission (leave to appeal), granted by either the Court of Appeal or the Supreme Court itself.
• Precedential Power: Decisions made by the Supreme Court are binding on all lower courts and often on itself, ensuring consistency in the application of the law.

Court of Appeal

Moving down one level, we encounter the Court of Appeal, which is divided into two divisions: Civil and Criminal.

• Civil Division:
  • Jurisdiction: Hears appeals from the High Court, County Courts, and certain tribunals.
  • Leadership: Headed by the chief justice of the court.
  • Composition: Cases are typically heard by panels of three Lord Justices of Appeal.
• Criminal Division:
  • Jurisdiction: Deals with appeals from the Crown Court in criminal matters.
  • Leadership: Led by the Lord Chief Justice.
  • Composition: Usually consists of three judges, including at least one Lord Justice of Appeal.

High Court

Next in the hierarchy is the High Court, which serves both as a court of first instance for complex cases and as an appellate court.

• Divisional Courts: Specialized divisions within the High Court (Queen's Bench, Chancery, and Family Divisions) hear appeals from lower courts.
• Administrative Court: Part of the Queen's Bench Division, it handles judicial reviews and hears appeals on points of law from magistrates' courts and tribunals.

Crown Court

The Crown Court primarily handles serious criminal cases at first instance but also hears appeals.

• Appeal Function: It hears appeals against convictions and sentences from magistrates' courts.
• Composition: Appeals are usually heard by a Circuit Judge or Recorder, sitting with two to four magistrates.

Magistrates' Courts

At the base of the hierarchy are the magistrates' courts.

• Limited Appeal Functions: While primarily dealing with minor criminal cases and some civil matters, they have limited ability to reconsider their own decisions in specific circumstances.
• Appeals from Magistrates' Courts: Decisions can be appealed to the Crown Court or, on points of law, to the High Court.

Key Concepts in Appeals

Judicial Precedent

The doctrine of judicial precedent, or stare decisis, is central to the appeal process.

• Binding Precedent: Lower courts must follow decisions of higher courts in similar cases. This ensures consistency and predictability in the law.
• Persuasive Precedent: Courts may consider decisions from courts of the same level, lower courts, or even foreign courts as guidance, though they are not obliged to follow them.
• Ratio Decidendi: The legal principle or reasoning that is binding in future cases.
• Obiter Dicta: Remarks or observations made by a judge that are not essential to the decision and, while not binding, can be persuasive.

Judicial precedent is like following an established recipe in cooking: by using proven methods, you achieve consistent results. For example, the landmark case of Donoghue v Stevenson (1932) established the "neighbor principle" in negligence law, which has been followed by courts ever since.

Permission to Appeal

Before an appeal can proceed, permission (also known as "leave to appeal") is usually required.

• First Appeal: Generally, permission is needed from the court where the case was heard or from the appellate court.
• Second Appeal: Further appeals require permission granted only in exceptional circumstances, typically involving an important point of principle or practice.
• Criteria for Permission: The court considers whether the appeal has a real prospect of success or if there is some other compelling reason for it to be heard.
• Time Limits: Applications for permission to appeal must usually be made within a specific timeframe, often 21 days after the decision.

It's similar to needing approval before advancing to the next level in a game; you must meet certain criteria before proceeding.

Procedural Aspects of Appeals

Understanding the procedures involved in appeals is necessary.

Grounds for Appeal

An appeal must be based on valid grounds, such as:

• Error of Law: The judge applied the wrong legal principles or misinterpreted the law.
• Procedural Irregularity: There was a significant error in the way the trial was conducted.
• New Evidence: Relevant evidence that was not available at the time of the trial has emerged.
• Unreasonable Verdict: The decision was not supported by the evidence presented; no reasonable jury or judge could have reached that verdict.

Appeal Process

The appeal process generally involves the following steps:

1. Notice of Appeal: Filing a document that outlines the grounds of the appeal within the prescribed time limit.
2. Permission to Appeal: The court decides whether to grant permission based on the merits of the appeal.
3. Substantive Hearing: If permission is granted, a hearing is scheduled where the appellate court reviews the case.
4. Judgment: The appellate court delivers its decision, which may result in:
   • Upholding (affirming) the original decision
   • Overturning (reversing) or varying the decision
   • Ordering a retrial

Powers of Appellate Courts

Appellate courts have significant powers to correct errors:

• Substituting Verdicts: In criminal cases, they can substitute a conviction for a lesser offense if appropriate.
• Adjusting Sentences: They can increase or decrease sentences.
• Ordering a Retrial: If the trial was fundamentally flawed, they can order that it be retried.
• Remitting Cases: They can send a case back to a lower court for reconsideration.

Examples and Applications

Example 1: Criminal Appeal

Consider a case where John Smith is convicted of fraud in the Crown Court.

• Grounds for Appeal: His legal team argues that the trial judge gave incorrect directions to the jury regarding the legal definition of dishonesty.
• Appeal Process: They apply to the Court of Appeal (Criminal Division) for permission to appeal.
• Outcome: The Court of Appeal finds that the judge did misdirect the jury on the test for dishonesty, as established in Ivey v Genting Casinos. As a result, they overturn the conviction.

Example 2: Civil Appeal with Widespread Impact

Picture a fictional case, XYZ Ltd v ABC Corp, involving a dispute over a contract affected by unforeseen events like Brexit.

• Initial Decision: The High Court rules that Brexit does not constitute a force majeure event under the contract.
• Grounds for Appeal: The losing party believes that this interpretation of the force majeure clause is incorrect.
• Appeal Process: They seek permission to appeal to the Court of Appeal because the decision could affect many other commercial contracts.
• Outcome: The Court of Appeal overturns the High Court's decision, establishing a precedent that Brexit can, in certain circumstances, be considered a force majeure event.

Example 3: Constitutional Importance

In the real case of R (Miller) v Secretary of State for Exiting the European Union (2017):

• Issue: Whether the government could trigger Article 50 to leave the EU without an Act of Parliament.
• Appeal Process: The case progressed quickly from the High Court to the Supreme Court due to its constitutional significance.
• Outcome: The Supreme Court ruled that Parliament must authorize the triggering of Article 50, affirming the constitutional principle of parliamentary sovereignty.

Influence of Appellate Decisions on Legal Development

Decisions made by appellate courts play a significant role in shaping the law.

• Clarification of Legal Principles: Higher courts often clarify ambiguous areas of the law, providing guidance for future cases.
• Development of the Law: Through their interpretations, appellate courts can adjust the law to changing social and economic conditions.
• Consistency and Predictability: By following precedents, courts ensure that similar cases are decided similarly, which is essential for fairness.

Appellate decisions can also prompt legislative changes if Parliament decides to alter the law in response to a court ruling.

Conclusion

The appeal system in England and Wales is a fundamental component of the judiciary, ensuring that justice is properly administered and the law is consistently applied. This system allows higher courts to review lower court decisions, correcting errors of law or procedure.

For instance, the doctrine of judicial precedent (stare decisis) ensures that legal principles established by higher courts are binding on lower courts, promoting consistency and predictability. This interaction between courts solidifies the hierarchy and maintains the rule of law.

Procedural aspects, such as obtaining permission to appeal and meeting strict time limits, are essential requirements that govern how appeals are made. Understanding these procedural rules is necessary, as failing to comply can result in an appeal being dismissed outright.

Throughout the hierarchy—from magistrates' courts to the Supreme Court—each level plays a specific role in the appeal process. Cases like R (Miller) demonstrate how appellate courts can address complex constitutional issues, affecting not just the parties involved but the legal framework as a whole.

In summary, understanding the details of the appeal system is essential for interpreting legal scenarios accurately. Familiarity with the hierarchical structure, key concepts like judicial precedent, and procedural rules enables practitioners to engage with the legal system effectively and uphold the principles of justice.