The judiciary and the court system - The appeals test

Learning Outcomes

After reading this article, you will be able to identify the structure of the appeals system in England and Wales, explain the legal tests applied in criminal and civil appeals, distinguish between binding and persuasive precedent in appellate courts, and apply the principles of statutory interpretation and precedent to appellate decisions. You will also be able to answer SQE1-style questions on appellate procedure and reasoning.

SQE1 Syllabus

For SQE1, you are required to understand the appeals process and the legal principles governing appellate decisions. In your revision, focus on:

  • the structure and hierarchy of appellate courts in England and Wales
  • the legal tests for allowing appeals in criminal and civil cases
  • the doctrine of precedent as it applies to appellate courts
  • the role of statutory interpretation in appellate judgments
  • the distinction between binding and persuasive precedent in appeals

Test Your Knowledge

Attempt these questions before reading this article. If you find some difficult or cannot remember the answers, remember to look more closely at that area during your revision.

  1. Which court hears an appeal from a conviction in the Crown Court?
  2. What is the main test for allowing an appeal against conviction in criminal cases?
  3. What is the difference between ratio decidendi and obiter dicta in appellate judgments?
  4. When can the Supreme Court depart from its own previous decisions?

Introduction

Appeals are a core part of the English legal system, providing a mechanism for reviewing and correcting errors in court decisions. The appeals process is governed by a strict hierarchy of courts, specific legal tests for allowing appeals, and the doctrine of precedent. Understanding how appellate courts operate, the tests they apply, and the principles of statutory interpretation and precedent is essential for SQE1.

The Appellate Court Hierarchy

The appeals system is structured in a clear hierarchy, ensuring that decisions can be reviewed at progressively higher levels. Each appellate court has defined powers and responsibilities.

Magistrates’ Court

  • Handles minor criminal cases and some civil matters.
  • Appeals on facts go to the Crown Court.
  • Appeals on points of law go to the High Court (by way of case stated).

Crown Court

  • Hears serious criminal cases and appeals from the Magistrates’ Court.
  • Appeals from the Crown Court (on conviction or sentence) are heard by the Court of Appeal (Criminal Division).

High Court

  • Divided into Queen’s Bench, Chancery, and Family Divisions.
  • Hears significant civil cases and certain appeals.
  • Appeals from the High Court are heard by the Court of Appeal (Civil Division).

Court of Appeal

  • Civil Division: hears appeals from the High Court and certain County Court cases.
  • Criminal Division: hears appeals from the Crown Court.
  • Further appeals require permission to proceed to the Supreme Court.

Supreme Court

  • The highest appellate court in the UK.
  • Hears appeals of general public importance from the Court of Appeal or High Court.
  • Its decisions are binding on all lower courts.

Key Term: appellate court
An appellate court is a court with the authority to review, affirm, reverse, or modify decisions made by lower courts.

Legal Tests for Appeals

Appellate courts apply specific legal tests to determine whether an appeal should be allowed. These tests differ between criminal and civil cases.

Criminal Appeals

Appeals Against Conviction

The main test is whether the conviction is "unsafe."

Key Term: unsafe conviction
An unsafe conviction is one where the appellate court concludes that the verdict cannot be regarded as reliable due to legal error, procedural irregularity, or new evidence.

  • The Court of Appeal (Criminal Division) may quash a conviction if it considers it unsafe (Criminal Appeal Act 1968, s 2).
  • Factors considered include legal errors, procedural mistakes, or significant new evidence.

Appeals Against Sentence

The test is whether the sentence is "manifestly excessive" or "wrong in principle."

  • The Court of Appeal may reduce a sentence if it is clearly too harsh or based on an error of law.

Civil Appeals

First Appeals

The test is whether the lower court’s decision was "wrong" or "unjust because of a serious procedural or other irregularity" (CPR 52.21).

  • Appeals may address errors of law, fact, or procedure.

Second Appeals

A second appeal (e.g., from the County Court to the Court of Appeal) is only allowed if the appeal raises an important point of principle or practice, or there is another compelling reason for it to be heard (CPR 52.7).

Key Term: appeal test
The appeal test is the legal standard an appellate court applies to decide whether to allow an appeal.

Precedent in Appellate Courts

The doctrine of precedent (stare decisis) ensures consistency and predictability in appellate decisions. Appellate courts are bound by the decisions of higher courts and, in some cases, by their own previous decisions.

Key Term: precedent
Precedent is a previous judicial decision that must be followed by lower courts in future cases with similar facts or legal issues.

Key Term: stare decisis
Stare decisis is the principle that courts should follow established legal precedents to ensure consistency in the law.

Binding and Persuasive Precedent

  • Binding precedent: Decisions of higher courts that must be followed.
  • Persuasive precedent: Decisions that may influence but do not bind the court (e.g., decisions from courts at the same level or from other jurisdictions).

Ratio Decidendi and Obiter Dicta

  • Ratio decidendi: The legal reasoning essential to the decision; binding in future cases.
  • Obiter dicta: Comments not essential to the decision; persuasive but not binding.

Key Term: ratio decidendi
The ratio decidendi is the legal principle or rule on which a court’s decision is based and which is binding in future cases.

Key Term: obiter dicta
Obiter dicta are statements or observations in a judgment that are not essential to the decision and are not binding.

Departing from Precedent

  • The Supreme Court may depart from its own previous decisions "when it appears right to do so."
  • The Court of Appeal generally follows its own decisions but can depart in limited circumstances (e.g., conflicting decisions, a Supreme Court decision has overruled its own, or the previous decision was made per incuriam).

Statutory Interpretation in Appeals

Appellate courts often interpret statutes to resolve ambiguities or apply the law to new situations. Several approaches are used:

  • Literal rule: Words are given their ordinary meaning.
  • Golden rule: The literal meaning is modified to avoid absurdity.
  • Mischief rule: The court considers the problem the statute was intended to address.
  • Purposive approach: The court looks at the broader purpose and intent of the legislation.

Key Term: statutory interpretation
Statutory interpretation is the process by which courts determine the meaning and application of legislation.

Worked Example 1.1

A defendant is convicted in the Crown Court. New evidence emerges that casts doubt on the reliability of a key witness. The defendant appeals to the Court of Appeal.

Question: What test will the Court of Appeal apply to decide whether to quash the conviction?

Answer: The Court of Appeal will consider whether the conviction is "unsafe." If the new evidence undermines the reliability of the verdict, the conviction may be quashed.

Worked Example 1.2

A claimant loses a civil case in the County Court. The judge made a significant error in applying the law. The claimant appeals to the High Court.

Question: What must the claimant show for the appeal to succeed?

Answer: The claimant must show that the lower court’s decision was "wrong" or "unjust because of a serious procedural or other irregularity." An error of law may satisfy this test.

Worked Example 1.3

The Supreme Court is asked to reconsider a previous decision that is widely regarded as incorrect. What must the Supreme Court consider before departing from its own precedent?

Answer: The Supreme Court may depart from its own previous decisions if it considers it right to do so, especially if the earlier decision is clearly wrong or causes injustice.

The Appeals Process in Practice

Appeals follow a structured process:

  1. Permission to Appeal: Most appeals require permission from the lower court or the appellate court.
  2. Grounds of Appeal: The appellant must specify the legal or procedural errors alleged.
  3. Appellate Hearing: The appellate court reviews the case, usually focusing on points of law rather than re-examining all the facts.
  4. Decision: The appellate court may affirm, reverse, or vary the lower court’s decision, or order a retrial.

Revision Tip

Focus your revision on the appeal tests for criminal and civil cases, the hierarchy of appellate courts, and how precedent and statutory interpretation interact in appellate decisions.

Key Point Checklist

This article has covered the following key knowledge points:

  • The appeals system is structured in a clear court hierarchy, with each appellate court having defined powers.
  • Criminal appeals focus on whether a conviction is "unsafe" or a sentence is "manifestly excessive."
  • Civil appeals require showing that the lower court’s decision was "wrong" or "unjust" due to a serious procedural or other irregularity.
  • The doctrine of precedent ensures consistency in appellate decisions; appellate courts are bound by higher courts and, in some cases, by their own previous decisions.
  • Statutory interpretation methods (literal, golden, mischief, purposive) are used by appellate courts to resolve ambiguities and apply the law.
  • The Supreme Court may depart from its own previous decisions when it is right to do so.

Key Terms and Concepts

  • appellate court
  • unsafe conviction
  • appeal test
  • precedent
  • stare decisis
  • ratio decidendi
  • obiter dicta
  • statutory interpretation
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Pleased to share that I have successfully passed the SQE1 exam on 1st attempt. With SQE2 exempted, I’m now one step closer to getting enrolled as a Solicitor of England and Wales! Would like to thank my seniors, colleagues, mentors and friends for all the support during this grueling journey. This is one of the most difficult bar exams in the world to undertake, especially alongside a full time job! So happy to help out any aspirant who may be reading this message! I had prepared from the University of Law SQE Manuals and the AI powered MCQ bank from PastPaperHero.

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