Chapter 16
APPELLATE AND HABEAS CORPUS REVIEW
TEST BANK
MULTIPLE CHOICE
1. Which of the following is a primary purpose of the appellate process?
a.
error correction
c.
enforcing judgments
b.
enforcing court orders
d.
controlling discretion
2. Most intermediate courts decide most cases in rotating panels of how many judges?
a.
3
c.
7
b.
5
d.
9
3. What is the name of the situation where a case is heard by all the judges on the appellate
court?
a.
de facto
c.
mandamus
b.
corpus delicti
d.
en banc
4. Criminal defendants are guaranteed the right to have an appellate court directly examine
their convictions for all types of alleged errors as long as they do what?
a.
file a writ of habeas corpus
c.
request a hearing with the judge
b.
file a notice of appeal within the
specified time limits
d.
file a request for de novo review
5. A court that must hear an appeal has what kind of appellate jurisdiction of that appeal?
a.
compulsory
c.
mandatory
b.
contingent
d.
presumptive
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6. A court that has a choice as to whether or not to hear the appeal is said to have what kind
of appellate jurisdiction?
a.
discretionary
c.
prescient
b.
optional
d.
elective
7. What is the appellate standard for questions of law?
a.
clear error
b.
harmless error
c.
deference
d.
de novo
8. The error-correction function of appellate review protects against arbitrary, capricious, or
mistaken legal decisions by a
a.
trial court judge.
b.
trial court prosecutor.
c.
trial court defense attorney.
d.
trial court work group.
9. During trials, attorneys must make timely objections to judge’s rulings on points of law,
or the objection will be deemed waived. What is the name of the rule?
a.
the contemporaneous objection rule
c.
the relinquished objection rule
b.
the on-the-record objection rule
d.
the concurrent objection rule
10. The party who lost in the lower court and files the first appeal is called the
a.
respondent.
c.
appellant.
b.
appellee.
d.
complainant.
11. What Act, passed in 1996, greatly restricted access to habeas corpus actions?
a.
the Innocence Protection Act
c.
the Antiterrorism and Effect Death
Penalty Act
b.
the Prosecutorial Misconduct Act
d.
the Judicial Act
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12. The written legal arguments filed with the appellate court are called
a.
notices.
c.
briefs.
b.
action documents.
d.
contentions.
13. What U.S. Supreme Court era is known for being a benchmark in civil liberties and civil
rights?
a.
The Warren Court
c.
The Burger Court
b.
The Rehnquist Court
d.
The Roberts Court
14. What is an amicus curiae brief?
a.
a friend of the court brief
b.
an appellate brief
c.
a request for the U.S. Supreme Court to hear an appeal
d.
a request for a state high court to hear an appeal
15. The Fifth Amendment to the U.S. Constitution prevents the prosecution from seeking to
have a “not guilty” verdict overturned on appeal?
a.
the Fifth Amendment
b.
the Fourth Amendment
c.
the Eighth Amendment
d.
the Sixth Amendment
16. Questions of law are reviewed
a.
de novo
c.
for clear error
b.
for reasonableness
d.
for abuse of discretion
17. High courts of last resort help to set justice policy through their exercise of their
a.
discretionary appellate jurisdiction.
b.
mandatory appellate jurisdiction.
c.
concurrent appellate jurisdiction.
d.
recurrent appellate jurisdiction.
18. What is the last of the six customary phases in the appeals process?
a.
filing a notice of appeal.
c.
designating the record on appeal.
b.
briefing the cases.
d.
writing the opinion.
19. A legal error by a lower court that does not require reversal is called a(n)
a.
harmless error
c.
frivolous error
b.
moot error
d.
undisrupted error
20. A legal error that requires the lower court’s ruling to be overturned is called a(n)
a.
fatal error
c.
primary error
b.
reversible error
d.
consequential error
21. Defects seriously affecting substantial rights that are so prejudicial to a jury’s
deliberations “as to undermine the fundamental fairness of the trial and bring about a
miscarriage of justice” are called
a.
consequential error
c.
critical error
b.
plain error
d.
primary error
22. Severe defects in trial proceedings that require reversal of a conviction and remand for a
new trial in order to avoid a miscarriage of justice are called
a.
plain error
c.
reversible error
b.
harmless error
d.
none of these answers is correct
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23. What happens during oral arguments?
a.
face-to-face contact between appellate judges and lawyers
b.
face-to-face contact between appellate judges and defendants
c.
face-to-face contact between appellate judges and prosecutors
d.
face-to-face contact between appellate judges and witnesses
24. Which of the following is true of many state court systems regarding postconviction
remedies?
a.
they are unlimited
b.
the are strictly limited
c.
prisoners can only file them pro se
d.
attorneys for filing are provided
25. How do postconviction remedies differ from appeals?
a.
They may be filed only by those actually in custody.
b.
Post-conviction petitions may bring up issues not raised during trial.
c.
Many state courts allow unlimited post-conviction remedies.
d.
All of these answers are correct.
26. The most common type of post-conviction relief is
a.
habeas corpus.
c.
de novo.
b.
mandamus.
d.
emeritus.
27. The practice of state courts using state constitutions to reinvigorate rights and make
policy is called the new judicial
a.
federalism.
c.
directive.
b.
activism.
d.
pronouncement.
28. What is the most common type of postconviction relief?
a.
habeas corpus
b.
en banc
c.
amicus curiae
d.
certiorari
29. A basic principle of U.S. law is that the losing party has the right to
a.
one appeal
c.
two appeals
b.
no appeal
d.
as many appeals as necessary
30. In a U.S. Supreme Court decision, the opinion which agrees with the majority result but
not with the reasoning of the majority is called what?
a.
a concurring opinion
c.
a plurality opinion
b.
a dissenting opinion
d.
a per curium opinion
31. The leading cause of wrongful convictions is
a.
overzealous police and prosecutors who develop “tunnel vision”.
b.
inadequate representation by incompetent or overworked attorneys.
c.
subjective forensic analysis (e.g., fingerprints) that are taken to be scientific and
unerring.
d.
mistaken eyewitness identification.
32. In less-populous states, which do not have intermediate appellate bodies, the initial
appeal is filed with the
a.
court of last resort
c.
U.S. Supreme Court
b.
judge advocate general
d.
prosecutor
33. The two primary functions of appeals include error correction and
a.
policy formulation
c.
legal maneuvering
b.
sentence restructuring
d.
correctional management
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34. What is it called when an appellate court upholds a lower court’s decision?
a.
affirmed
b.
reversed
c.
remanded
d.
recused
35. The majority of appeals involve what type of cases?
a.
civil cases
c.
criminal cases
b.
juvenile cases
d.
environmental cases
36. During trial, attorneys must make timely objections to the judge’s rulings on points of
law, or the objection will be deemed waived. This is called the
a.
the contemporaneous objection rule
b.
the off-the-record objection rule
c.
the contemporary objection rule
d.
the on-the-record objection rule
37. Why are most criminal cases affirmed on appeal?
a.
The harmless error rule
c.
standards of review applied by
appellate courts
b.
The harmless error rule and standards
of review applied by appellate courts
d.
none of these answers is correct
CRITICAL THINKING SCENARIOS
CASE 16.1
Appeals courts approach appellate decision making in different ways, depending on the types of
questions presented for review on appeal. Sometimes appellate courts are very deferential to
what happened in lower courts, while other times they give no deference at all. How much
deference or scrutiny an appellate court will afford to the decisions of a judge, jury, or
administrative agency in an appeal is referred to as the standard of review.
38. The least deferential standard of appellate review in criminal cases is
a.
de novo
c.
clear error
b.
reasonableness
d.
abuse of discretion
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39. Questions of fact decided by a judge will receive what standard of appellate review?
a.
de novo
c.
clear error
b.
reasonableness
d.
abuse of discretion
40. Discretionary decisions made by a judge will receive what kind of deference in the
appellate review process?
a.
none.
b.
moderate.
c.
high.
d.
very high.
CASE 16.2
Criminal appeals are generally routine because they seldom raise meritorious issues (Primus,
2007; Wold & Caldeira, 1980). Current standards of effective assistance of counsel often force
lawyers to appeal, no matter how slight the odds of appellate court reversal. As a result, a
significant number of criminal appeals lack substantial merit. For example, of the roughly 5,125
written dispositions in criminal appeals filed by defendants in the California Court of Appeals in
2010, the court reversed only 226 (4%) convictions (Judicial Council of California, 2011). Why
do criminal appeals rarely succeed? First, the appellate standards of review applicable to most
decision-making during criminal trials are highly deferential to trial court outcomes (Primus,
2007). Second, appellate courts often find that no reversible error was committed during the trial
court proceedings.
41. Given the information provided, which of the following statements is true?
a.
The rules of appeals are designed not to disturb the results of a criminal trial unless
a serious, reversible error has occurred.
b.
The rules of appeals are designed not to disturb the results of a criminal trial unless
any error has occurred.
c.
The rules of appeals are designed not to disturb the results of a criminal trial unless
no error has occurred.
d.
The rules of appeals are designed to disturb the results of a criminal trial.
42. Why do appellate courts often find no reversible error was committed during the trial
court proceedings?
a.
in large part because of the harmless error doctrine.
b.
in large part because of the plain error doctrine.
c.
in large part because of the reversible error doctrine.
d.
in large part because of the deferential error doctrine.
43. What defendants did Neubauer (1991) find were most likely to win on appeal?
a.
defendants convicted of nonviolent offenses and who received a relatively lenient
sentence.
b.
defendants convicted of violent offenses and who received a relatively lenient
sentence.
c.
defendants convicted of nonviolent offenses and who received a relatively harsh
sentence.
d.
defendants convicted of violent offenses and who received a relatively harsh
sentence.
CASE 16.3
One might think that the appeals and postconviction review processes would routinely correct
situations in which a defendant was wrongfully convicted, but that is clearly not the case. Up
until the mid-1990s, public perception was that criminal defendants had gained too many rights
during the Warren era, and, as a result, far too many criminal defendants escaped criminal
punishment on technicalities (Uphoff, 2006). Such perceptions led many—including judges and
several Supreme Court justices—to deny that wrongful convictions were a major problem (see
Herrera v. Collins, 1993). Since 1989, though, over 329 inmates have been exonerated by DNA
evidence, largely due to the efforts of the Innocence Project, the Death Penalty Information
Center, and similar organizations (Innocence Project, 2015a; see also Zalman, Smith & Kiger,
2008). As a result of these exonerations—and media portrayals of them—nearly 40 states have
changed their laws to allow for appellate or postconviction review on the grounds of actual
innocence and the federal government enacted the Innocence Protection Act of 2004.
44. What reason for wrongful convictions plays a role in 72% of the DNA exonerations to
date?
a.
mistaken eyewitness identifications
c.
improper forensic evidence
b.
false confessions
d.
unreliable informants
45. All of the following are known to contribute to false confession, except…
a.
duress
c.
coercion
b.
intoxication
d.
gender
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TRUE/FALSE
1. The jurisdiction of the U.S. Supreme court is almost completely discretionary.
2. Once a “not guilty” verdict is returned, the prosecutor cannot appeal the acquittal, even if
the original trial was littered with serious mistakes.
3. When a jury imposes a sentence of death, the case must be appealed regardless of the
defendant’s wishes.
4. Appeals courts hear evidence at trials.
5. Appeals courts hear evidence at trials.
6. Once a notice of appeal is filed, the next step in the process is for the appellate court to
hear oral arguments in the case.
7. Appeals are started when the prosecutor files a notice of appeal.
8. The losing party in the lower court has an unlimited amount of time to file an appeal.
9. In appeals cases, lawyers for both sides appear before a panel of judges to argue about the
law applicable to the case.
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10. All errors are subject to the harmless error rule except plain errors.
11. Postconviction reviews collaterally attack convictions in civil court.
12. Defendants convicted of violent offenses and sentenced to lengthy prison terms are less
likely to win on appeal than those convicted of less serious offenses.
13. Oral argument provide an opportunity for face-to-face contact between the appellate
judges and lawyers.
14. The bulk of trial court filing are never appealed because the case is settled without a trial.
15. Collateral attacks on criminal convictions are civil proceedings.
16. The most common type of postconviction relief is mandamus.
17. Judge who disagree with the majority opinion in an appeal may write a dissenting
opinion.
18. The two primary functions of appeals are error correction and policy formation.
19. The Double Jeopardy Clause of the Fifth Amendment to the U.S. Constitution prevents
the prosecution from seeking to have a “not guilty” verdict overturned on appeal.
20. If an attorney fails to object at trial it causes no problem on appeal.
21. In appeals, questions of fact are review de novo.
22. Postconviction remedies are also called collateral attacks.
23. In recent years, state supreme courts have become important policymakers in a number of
contentious areas, such as same-sex marriages and parental rights in divorce cases.
24. The leading cause of wrongful convictions is improper forensic evidence.
25. High courts of last resort accept only cases that present significant public policy
questions.
COMPLETION
1. Unlike trial courts, appellate courts do not hear _____ at trials.
2. The Fifth Amendment ban on _____ generally prohibits retrial of a person who has
already been convicted of the same crime.
3. The two primary functions of _____ are error correction and policy formation. .
4. The most obvious function of appellate courts is _____ correction.
5. Most of the U.S. Supreme Court’s jurisdiction is _____.
6. Questions of fact are reviewed for _____ error.
7. During trial, attorneys must make timely objections to the judge’s rulings on points of
law, or the objection will be deemed waived. This is called the _____ objection rule.
8. The amount of deference afforded by an appellate court is referred to as the _____ of
review.
9. The party who initiates or files the first appeal is called the _____.
10. An appellate court’s written decision and explanation is called a(n) _____.
11. Once a not guilty verdict is returned the prosecutor cannot _____ the acquittal.
12. When lawyers think an error is being made at trial, they must object in order to give the
trial court _____ the opportunity to correct the error.
13. _____ appellate jurisdiction concerns the cases that an appeals court may elect to hear,
but is not required to adjudicate.
14. The _____ standard allows an appellate court to consider any legal question without
regard or deference to the decision made by a lower court.
15. If the lower court made a substantial legal error, the appellate court deems it a(n) _____
error.
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16. Postconviction remedies may only be filed by those actually in _____.
17. Most criminal cases are affirmed on appeal because of the _____ error rule and the
standards of review applied by appellate courts.
18. Post-conviction remedies such as habeas corpus are called _____ attacks.
19. The federal government enacted the _____ Protection Act of 2004, which expands
judicial review of convictions on the basis of evidence that tends to exonerate.
20. In recent years, state high courts have become important _____.
ESSAY
1. Discuss the customary steps that must be taken to file an appeal and explain how the
appellate practice differs from trial work.
ANS:
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2. Discuss the nature of appellate review. Specifically, discuss the functions of appellate
courts and the scope of appellate review.
3. The U.S. Supreme Court is an extremely important institution because it shapes national
criminal justice policy. Explain why this is so. Be sure to provide examples and discuss
the trends of the Warren, Burger, Rehnquist, and Roberts Courts.
ANS:
4. Compare and contrast appeals and postconviction review processes.
5. Why are most criminal cases affirmed by appellate courts?
6. What are the different standards of appellate review? What impact do they have on
criminal appeals?
7. Define, compare, and contrast plain error, reversible error, and harmless error.
8. What are the leading causes of most wrongful convictions? What has been done to
attempt to remedy these causes of wrongful convictions?