Advising Your
Clients About Appeals

Successful
trial attorneys counsel their clients well for the rigors and risks of
civil litigation. From the pleading skirmishes to the discovery
disputes to the nerve-wracking moments before the court or jury
announces its decision, well-counseled clients temper their hopes and
expectations with the realities of life in the trial court lane.
But
all too often, that wise counsel ends with entry of judgment, as trial
attorneys (especially those on the short end of the judgment) fail to
prepare their clients for the next level: life on appeal.
While
trial counsel need not (and often should not) act as appellate counsel,
they should steer their clients in the right appellate direction. Here
are seven important points clients need to know about the appellate
process:
- Clients
often confuse an appeal with a new trial. It is not.
Appellate courts
will normally not reconsider the old evidence, hear new evidence, or
decide a case on the merits (In
re Zeth S. (2004) 31 Cal.4th 396;
Uriarte v. United States Pipe & Foundry Co. (1996) 51
Cal.App.4th 780). Nor will appellate courts normally
entertain claims
that a witness lied or that the judge was "unfair," thus disposing of
two typical reasons why clients believe they have a good appeal.
Clients often need to be reminded that the
question not asked, the answer not given, the exhibit not offered, and
(usually) the argument not made, won't make a difference on appeal.
Instead, the primary purpose of appellate
review is to determine whether the trial court committed a prejudicial
error of law (In re
Marriage of Shaban (2001) 88 Cal.App.4th 398). And
here's the rub: it's not sufficient to show that the trial court erred,
because not all errors of law are prejudicial. Trial proceedings are
rarely perfect, and minor errors usually do not warrant reversal on
appeal (Eisenberg,
Horvitz & Wiener, Cal. Prac. Guide: Civil
Appeals & Writs (TRG, 2006) ¶ 8:294). The
appellant
must also demonstrate that but for the error, the result would have
been different (Civ.
Pro. §475; 28 U.S.C. § 2111).
- It
is usually prudent to wait for judgment before seeking review.
Perhaps
the trial court has denied your discovery motion; granted a motion in
limine; or excluded a witness. Your client says: Let's appeal now!
But filing an interlocutory writ petition is
most often a waste of time and money, unless the issues are nearly
literally about life and death. See, e.g., Hernandez v. Superior Court
(2004) 115 Cal.App.4th 1242 where the death of trial
counsel made the
denial of a request for trial continuance "writ-worthy."
In general, the "one final judgment" rule
allows only one appeal from the judgment that disposes of the entire
action, within which all interlocutory orders and issues can be raised (Morehart v. County of Santa
Barbara (1994) 7 Cal.4th 725; Digital
Equip. Corp. v. Desktop Direct, Inc. 511 U.S. 863 (1994)).
At the same time, counsel must be careful. Some
interlocutory orders are made appealable by statute, such as orders
granting or denying injunctions (Civ.
Pro. §904.1(a)(6); 28
USC §1292(a)(1)). Other interlocutory orders can
be made
appealable by leave of court (see, e.g., Family Code §2025;
Federal Rules of Civil Procedure 54(b)). Still other
interlocutory
orders can only be reviewed by a writ petition, such as motions to
disqualify a judge or to approve a good faith settlement (Civ. Pro.
§§107; 877.6). And a pre-trial order
that results in
judgment for or against one of several co-defendants might be
appealable (Oakland
Raiders v. National Football League (2001) 93
Cal.App.4th 572 Pedrina v. Chun 987 F.2d 608 (9th Cir.,
1993)). Failure to timely seek interlocutory review in
many of these
situations will waive your right to review of these orders later.
- The
odds of reversal are slim, but not impossibly so. In
California, only
about 20 percent of civil appellants win reversal. The odds of
reversing a criminal conviction are even lower: only about 5 percent.
But these are across-the-board statistics, reflecting in part the great
number of appeals that merely challenge the trial court's exercise of
discretion and so are "'dead on arrival' at the appellate courthouse." (Estate of Gilkison (1998) 65
Cal.App.4th 1443).
Clients considering whether to prosecute or
defend an appeal need to know their actual risk, based on the
particular merits of their case. This requires an objective assessment
of the legal bases for the appeal, always keeping in mind the correct
standards of review. Many appeals are won or lost in the battle over
the proper prism through which the trial court proceedings are observed.
Clients should also be counseled on the risk of
prosecuting a frivolous appeal and the value of a midcourse correction.
See, e.g., Small v.
Hall's Furniture Defined Benefit Pension Plan
(2000) 79 Cal.App.4th 648, where appellant was spared an
adverse cost
award by dismissing a non-meritorious appeal on the advice of
"experienced and competent" appellate counsel.
- Winning isn't everything. A
prospective appellant must be advised that
winning the appeal usually does not mean winning the case. Although
appellate courts can enter judgment in favor of the appellant (Civ.
Pro. §906; 28 U.S.C. § 2106), they
rarely do so. Much
depends on the nature and context of the appeal. If a court of appeal
finds reversible error, it will usually remand for a new trial - a
foreboding concept for many litigants.
On the upside, both sides might abhor the cost
of a new trial, and the formerly prevailing party's expectations might
be deflated by the reversal. This all creates fertile ground for
settlement.
- Enforcement
isn't everything, either. Plaintiffs holding a money
judgment are never
happy to learn that the defendant has appealed and posted security,
thereby staying enforcement of that judgment (Civ. Pro. §
917.1; Federal Rules of Civil Procedure 62). But payment
deferred can
be a blessing, because that security can be more valuable than
expensive and unproductive enforcement efforts. Security virtually
guarantees satisfaction (with interest) if the judgment is affirmed.
Security can be king compared to chasing the money.
On the other hand, the defendant facing a money
judgment is rarely cheered to learn that filing the Notice of Appeal
alone does not stay enforcement. Something more - sometimes a lot more
- is required. Appellants must deposit with the court cash, securities
or a letter of credit (Civ.
Pro. §§ 995.710,
995.730); convince friends or relatives to tie up their
assets by
acting as personal sureties (Civ.
Pro. § 995.310); purchase a
surety bond or seek bankruptcy court protection (Civ. Pro. §
995.610; Federal Rules of Civil Procedure 62). None of
these options
may be cheap, easy or available.
A defendant who cannot secure a stay of
enforcement of the money judgment must weigh the value of prosecuting
an appeal even after satisfying the judgment or while simultaneously
battling enforcement skirmishes.
- And
speaking of money... The good news is that the price of
an appeal is
typically much less than that of the trial. To the appellant, an appeal
may cost between 20 to 50 percent of that spent on the trial, depending
on the nature and substance of the case. The cost to the respondent or
appellee is usually less, given the appellant's burdens and the
appellate court's presumptions. If state or federal Supreme Court
review is a possibility, however, all fee projections are off.
But on appeal, as everywhere, clients get what
they pay for. Appellate briefs are not trial-level points and
authorities with a new caption. Appellate practice "entails rigorous
original work in its own right." (In
re Marriage of Shaban (2001) 88
Cal.App.4th 398). At the same time, good appellate briefs
should be
"brief." Among the criticisms of briefs expressed by appellate judges,
the first is, "Too long. Too long. Too long." (Aldisert, "Winning on
Appeal" (NITA, 2d Ed., 2003) § 2.4)).
Good appellate counsel scours the record;
re-evaluates the evidence; independently researches the law; identifies
the proper standard of review; locates the errors; assesses the
prejudice; and prepares a tight, concise and convincing brief that
drives home in a few sentences the arguments that trial counsel may
have spent years developing. All this, like a short letter, takes time.
- Take
a deep breath, but don't hold it in. Appeals take a long
time, even in
the quickest courts. In the state appellate courts, the median time
between the filing of a civil Notice of Appeal and the filing of the
decision ranges from one to two years. With the 9th Circuit, the median
time for an appeal is 14 to 16 months. Some civil appeals take as long
as three years.
And the process can be maddening for anxious
clients, because very little seems to happen on appeal. Several months
after filing the Notice of Appeal, the record is completed. Several
months after that, briefs begin to be filed. Some months after that,
oral argument may be held. And months later, an opinion issues.
And
what if the California or U.S. Supreme Court grants review? Set all
clocks back to zero and take another deep breath.
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