The U.S. Appellate Courts

Appellate courts play an important role in the judicial system, often having a greater impact than the public acknowledges. One key reason for the significant part played by the appellate courts is that they establish legal precedent. While trial courts find the facts and apply the law to specific cases, appellate courts review the trial court's proceedings to determine if the law was applied correctly. Since most cases do not reach the U.S. Supreme Court, the decisions made by the appellate courts typically serve as the final ruling on many legal issues.

The Structure of U.S. Appellate Courts

The United States operates a dual appellate court system: federal and state. Each of these systems has its jurisdiction and types of cases reviewed, as indicated below:

• Federal Appellate Courts: These courts review cases from U.S. District Courts, which are the federal trial courts. These cases generally involve federal laws, constitutional issues, disputes between states, treaties, maritime law, bankruptcy, or cases involving the federal government. Note that federal appellate courts do not retry cases; they only assess whether legal errors occurred during the trial.
• State Appellate Courts: Appellate courts at the state level review cases from lower state trial courts. While each state has its own appellate structure, the types of cases handled in the courts usually include civil, criminal, family, probate, and administrative matters. State appellate courts interpret both state and federal law but primarily focus on the application of state statutes and constitutions.

The Federal Appellate System

The federal appellate system is anchored by the U.S. Court of Appeals, which may also be referred to as circuit courts. In all, there are 13 circuit courts, including

• 11 regional circuit courts
• 1 court of appeals for the District of Columbia circuit
• 1 court of appeals for the federal circuit

Note that each of the 11 regional circuits and the District of Columbia circuit covers a group of states or territories. These courts hear appeals from federal district courts located within their assigned geographic areas. The circuit courts hear appeals from federal district courts located within their assigned geographic areas.

The U.S. Court of Appeals for the Federal Circuit is the 13th circuit. Unlike the other circuit courts, the 13th circuit is not based on geography. Instead, it is a highly specialized court that has nationwide jurisdiction over specific subject areas such as:

• Patent law
• International trade
• Veterans' claims
• Government contracts
• Appeals from certain administrative agencies

Each U.S. Court of Appeals comprises multiple judges; however, the exact number of judges in each court varies by circuit. Typically, there are between 6 and 29 active judges in each circuit, with cases often heard by a 3-judge panel selected from among the circuit judges. In some cases, especially those involving significant legal questions, the court may choose to rehear a case en banc, that is, all active judges in that circuit participate.

Note that appellate judges are appointed by the President of the United States and are required to be confirmed by the Senate. These judges serve lifetime appointments under Article III of the U.S. Constitution, unless they resign, retire, or are removed via impeachment.

The table below provides information on each circuit's geographic jurisdiction and the number of authorized judgeships:

Jurisdiction	Court Structure	Geographic Coverage
First	Maine, Massachusetts, New Hampshire, Puerto Rico, and Rhode Island	6
Second	Connecticut, New York, and Vermont	13
Third	Delaware, New Jersey, Pennsylvania, and the U.S. Virgin Islands	14
Fourth	Maryland, North Carolina, South Carolina, Virginia, and West Virginia	15
Fifth	Louisiana, Mississippi, and Texas	17
Sixth	Kentucky, Michigan, Ohio, and Tennessee	16
Seventh	Illinois, Indiana, and Wisconsin	11
Eight	Arkansas, Iowa, Minnesota, Missouri, North Dakota, Nebraska, and South Dakota	11
Ninth	Alaska, Arizona, California, Guam, Hawaii, Idaho, Montana, Nevada, Northern Mariana Islands, Oregon, and Washington	29
Tenth	Colorado, Kansas, New Mexico, Oklahoma, Utah, and Wyoming	12
Eleventh	Alabama, Florida, and Georgia	12
District of Columbia (D.C.)	Washington, D.C.	11
Federal (13th)	Nationwide jurisdiction over patents, international trade, and federal claims	12

Role of Intermediate Appellate Courts in State Jurisdictions

Intermediate appellate courts in state court systems serve as the middle tier of judicial review. The primary purpose of these courts is to review decisions from trial courts to determine whether errors of law or procedure occurred in the decision of the lower courts. Also, these courts develop precedent on issues of first impression and resolve the majority of appeals, relieving the workload of the state's highest court.

Although most states have intermediate appellate courts in their judicial structure, a few states operate their court systems without one. In such states, appeals go from trial courts directly to the state's highest court. Currently, the following states do not have intermediate appellate courts:

• Delaware
• Maine
• Montana
• New Hampshire
• Rhode Island
• South Dakota
• Vermont
• Wyoming

State intermediate appellate courts generally exercise mandatory jurisdiction over final judgments in civil and criminal cases. Their scope commonly includes:

• Appeals from civil and criminal trial court decisions
• Family law and probate matters
• Administrative agency appeals, where state agencies' rulings are challenged
• Certain interlocutory appeals

Judges may be appointed, elected, or chosen through a merit-based selection system in state appellate courts. Examples include the following:

• Appointment Systems: Some states, such as California and New Jersey, have appellate judges appointed by the governor. Judges in the California courts of appeal are appointed to 12-year terms.
• Elected Judges: In states like Texas and Georgia, appellate judges are decided through partisan or nonpartisan elections.
• Merit Selection: States such as Missouri and Arizona use judicial nominating commissions to recommend candidates to the governor, followed by a public retention election after a fixed term.

The appellate process in state intermediate courts generally follows a structured procedure:

• Notice of Appeal: The losing party at the trial level files a notice of appeal within a prescribed time, often 30 days.
• Record Preparation: The trial court clerk compiles the official record of the case, including transcripts, evidence, and filings.
• Briefing: Both sides submit written briefs outlining their legal arguments. The appellant argues for reversal, while the appellee argues for affirmation.
• Oral Argument (Optional): In some cases, the court holds a hearing where attorneys present their positions and answer judges' questions.
• Deliberation and Decision: A panel of judges reviews the record and issues a written opinion. The decision may affirm, reverse, or remand the case to the lower court for further proceedings.
• Further Appeal: If significant legal issues remain, the losing party may petition the state's highest court to review the decision.

Jurisdiction and Function

The jurisdiction of U.S. appellate courts can be separated under original and appellate scopes. Also, the court functions to correct trial-level errors and shape federal law through binding precedents.

Appellate vs. original jurisdiction

There is a difference in the original and appellate jurisdictions of appellate courts. Original jurisdiction refers to the court's power to hear a case for the first time, where parties introduce evidence, examine witnesses, and establish facts before a judgment is entered. For appellate courts, this function is highly limited. In rare instances, the U.S. appellate courts may exercise original jurisdiction in matters specifically granted by statute or rule. These include:

• Petitions for special writs, such as writs of mandamus, prohibition, or habeas corpus
• Emergency or interlocutory relief, such as temporary injunctions or stays pending appeal
• Certain administrative reviews, where Congress or a state legislature assigns direct review authority to an appellate court

On the other hand, the appellate jurisdiction refers to a court's power to review decisions made by lower courts and administrative agencies. Whether at the federal or state level, this is the primary and typical function of appellate courts.

Error correction vs. law development

The U.S. Courts of Appeal perform a dual role of ensuring fairness by correcting legal and procedural errors made at the trial level and shaping federal law through precedential opinions binding all district courts within their circuits.

In correcting legal and procedural errors at the trial level, U.S. Courts of Appeals review district court records for misinterpretations of statutes, evidentiary errors, or improper jury instructions, rather than rehearing witness testimony or re-weighing evidence. This function protects individual rights, reinforces due process, and maintains public confidence in the justice system.

In establishing binding precedents, appellate judges interpret statutes, resolve ambiguities, and address emerging legal questions not yet settled by the U.S. Supreme Court. Since the Supreme Court reviews only a small portion of appeals, the circuit courts function as the final arbiters in most federal cases.

Types of cases typically heard

In its appellate capacity, the U.S. Courts of Appeals typically hear the following cases:

Criminal Cases

Appellate review in criminal matters centers on whether the defendant received a fair trial and whether the law was correctly interpreted. Common issues include:

• Claims of constitutional violations, such as improper searches or denial of counsel
• Challenges to sentencing decisions under federal guidelines
• Allegations of prosecutorial misconduct or jury instruction errors

Civil Cases

Civil appeals involve disputes between individuals, businesses, or government entities that were previously decided in federal district courts. These may include:

• Contract disputes and tort claims, such as negligence or defamation
• Employment discrimination and civil rights actions under federal law
• Intellectual property and patent disputes
• Bankruptcy appeals from U.S. Bankruptcy Courts

Administrative Cases

The U.S. Courts of Appeals also review decisions made by federal administrative agencies. These cases often arise from agencies such as:

• The National Labor Relations Board (NLRB)
• The Environmental Protection Agency (EPA)
• The Securities and Exchange Commission (SEC)
• The Federal Communications Commission (FCC)

Immigration Cases

A significant portion of the appellate docket involves immigration appeals. These typically arise from decisions of the Board of Immigration Appeals (BIA) and include:

• Deportation and removal orders
• Asylum and refugee claims
• Motions to reopen or reconsider immigration decisions

Specialized Federal Matters

Certain specialized areas fall under the jurisdiction of specific appellate courts, particularly the U.S. Court of Appeals for the Federal Circuit. These include:

• Patent and intellectual property appeals from the U.S. Patent and Trademark Office (USPTO)
• Claims against the federal government under the Tucker Act
• Veterans' benefits appeals from the Board of Veterans' Appeals
• International trade and customs disputes

The Appeal Process

Cases reach the U.S. Courts of Appeals through several procedural routes, most commonly as appeals from federal district courts, but also through direct agency reviews, interlocutory appeals, writ petitions, and other specialized statutory pathways.

Appeals from U.S. District Courts

Litigants dissatisfied with a final judgment in a U.S. District Court initiate an appeal as of right. The process generally involves:

• Filing a notice of appeal with the district court clerk, typically within 30 days of the entry of judgment.
• Ordering the transcript of trial proceedings and assembling the record on appeal.
• Exchanging written briefs: the appellant's opening brief, the appellee's response, and an optional reply brief.
• Requesting and, if granted, presenting oral argument before a three-judge panel.
• Issuance of a written opinion that may affirm, reverse, or remand the case for further proceedings.

Appeals from Federal Administrative Agencies

When Congress grants direct review of an agency's final order, litigants bypass district courts and file petitions for review in the relevant circuit. The process include:

• Petitioning for review filed within the statutory deadline, often 30-60 days.
• Submission of administrative records rather than trial transcripts.
• Briefing (focused on whether the agency action was arbitrary, impulsive, an abuse of discretion, or contrary to law under the Administrative Procedure Act).
• Oral argument scheduled at the court's discretion, followed by a published or unpublished decision.

Interlocutory Appeals (Before Final Judgment)

Certain decisions can be appealed before the trial court enters a final judgment. Common types include collateral order appeals and orders certified under 28 U.S.C. § 1292(b). The pathway involves:

• District judge issuing an order that meets statutory criteria for immediate review.
• Parties jointly or unilaterally moving the circuit to accept interlocutory appeal.
• Court of Appeals deciding whether to grant permission and, if so, conducting briefing and argument on the narrow question presented.

Petitions for Writs

Under the All Writs Act (28 U.S.C. § 1651) and other statutes, the courts of appeals can issue extraordinary writs. Litigants file:

• A petition for mandamus to compel a lower court or official to perform a duty
• A petition for prohibition to stop a lower court from exceeding its jurisdiction
• A petition for an emergency stay or injunction pending appeal
• A petition for habeas corpus under 28 U.S.C. § 2241 in limited circumstances

Specialized Pathways (Federal Circuit)

The U.S. Court of Appeals for the Federal Circuit receives cases through specialized statutory pathways rather than geographic assignment. Its jurisdiction covers specific subject areas, including:

• Patent and intellectual property disputes
• Claims against the federal government
• International trade and customs cases
• Appeals from the U.S. Court of Federal Claims and the U.S. Court of International Trade

Habeas Corpus Appeals

Inmates in federal custody may file habeas petitions under 28 U.S.C. § 2255 (federal prisoners) or § 2241 (other custodies). The appellate path includes:

• Filing the motion or petition in the district court and obtaining a final ruling
• If denied, filing a notice of appeal to the circuit within the prescribed window
• In capital cases or repeated filings, obtaining a certificate of appealability before the circuit can review the merits
• Briefing and, if appropriate, oral argument on constitutional and statutory challenges to detention

Selection of Judges

The process of selecting judges to the U.S. Courts of Appeals follows the constitutional framework for federal judicial appointments. The framework is as follows:

• Constitutional Basis: Per Article II, Section 2 of the U.S. Constitution, the President of the United States has the power to nominate federal judges, including those on the U.S. Courts of Appeals, with the advice and consent of the Senate.
• Presidential Nomination: When a vacancy arises in one of the circuit courts, the President selects a nominee, typically a lawyer, state judge, or U.S. district court judge with significant judicial experience. In selecting a nominee, the President may consider recommendations from senators, the Department of Justice, and legal organizations such as the ABA (American Bar Association).
• Senate Review and Confirmation: Upon selecting a nominee, the nomination is forwarded to the Senate Judiciary Committee, which conducts checks and legal evaluations on the individual. Also, confirmation hearings are held where the nominee is questioned about their legal philosophy, prior rulings, and judicial temperament. After, the committee votes on determining whether to send the nomination to the full Senate. Subsequently, the full Senate debates and votes on the nomination. A simple majority vote is required to confirm the judge.
• Commissioning: Once confirmed by the Senate, the President signs a commission, formally appointing the judge to the U.S. Court of Appeals. The judge then takes the oath of office and begins their lifetime appointment, subject only to impeachment.

Accessing U.S. Courts of Appeals (Circuit Courts) Records

Accessing the records of the U.S. Courts of Appeal is straightforward; however, the level of access depends on the type of records sought. The following methods may be used to access records of the U.S. Courts of Appeals:

• Online Access: Most appellate dockets and filings are available electronically through the federal CM/ECF system, accessed via PACER (Public Access to Court Electronic Records). However, to view documents, you must register for a PACER account and pay nominal per-page fees. After, you can search dockets by case number, party name, or keyword.
• Access to Opinions: Appellate opinions from the U.S. Courts of Appeals are public and freely available online, typically from the website of each Circuit Court, the U.S. Courts official website, and legal research databases such as govinfo.gov's USCourts website.
• In-Person Access: Persons who need paper copies or want to view case files that are not available online can visit the clerk's office of the relevant circuit court. Services typically offered include the public terminals for docket access, assistance with locating specific filings, and certification of copies of records for a fee.
• Archived Records: Older case files and briefs that are no longer active may have been transferred to the National Archives and Records Administration (NARA). Archived records are usually stored off-site.
• Third-Party Access: Third parties or the public can access appellate court records unless sealed by court order. Public record aggregators, such as the Court Case Finder portal, may be used to access records of the U.S. Courts of Appeals. Such tools are convenient to use and offer access to records of multiple circuit courts in one online location.

FAQs About the U.S. Courts of Appeals

The following are frequently asked questions about U.S. Courts of Appeals.