Frequently Asked Questions

Click on the “plus” icons below to read answers to the following questions.

1) What documents will I need when filing my Notice of Appeal?
  • Pre-Argument Statement/RADI Form
  • Notice of Appeal
  • Order being Appealed
  • Original Affidavit of Service
  • $65 Filing Fee
2) What should my Record on Appeal consist of when appealing a State Court Judgment to the Appellate Divisions? (CPLR § 5526)
  • Statement Pursuant to CPLR 5531
  • Notice of Appeal
  • Judgment being Appealed
  • Judgment Roll (Pleadings), Transcript(s) and Exhibits
  • Any Other Reviewable Order or Opinion in the Case
  • Stipulation Settling the Transcript or Affirmation of Compliance
  • Stipulation Dispensing with Reproduction of Exhibits “So Ordered”
  • Certification Pursuant to CPLR 2105 or Stipulation Pursuant to CPLR 5532
3) What should my Record on Appeal consist of when appealing an Interlocutory Order to the Appellate Divisions? (CPLR § 5526)
  • Statement Pursuant to CPLR 5531
  • Notice of Appeal
  • Decision/Order being Appealed
  • Motion Papers/Order to Show Cause
  • Affidavits in Support with any Exhibits Annexed Thereto
  • Affidavits in Opposition with any Exhibits Annexed Thereto
  • Reply Affidavits with any Exhibits Annexed Thereto
  • Certification Pursuant to CPLR 2105 or Stipulation Pursuant to CPLR 5532
4) My adversary filed what purports to be a Record on Appeal, but failed to include one of the documents that was considered by the Lower Court in rendering the Order being appealed. What should I do?
  • You may stipulate with all parties to file a Supplemental Record. A sample Stipulation can be found at the PrintingHouse Press website. If parties will not stipulate to a Supplemental Record then a Motion can be filed.
5) Who is responsible for preparing the Joint Record on Appeal or Joint Appendix? Who bears the cost?
  • In cases where a Joint Record or Joint Appendix is warranted, the Appellant, Cross and/or Co-Appellants are responsible for assembling the Joint Record or Joint Appendix. The cost should be split between the appealing attorneys in the Appellate Division First and Second Departments. See rules: AD1–600.11 (d); AD2–670.8 (c)
6) What should my Appendix consist of to the Appellate Division?
  • Statement Pursuant to CPLR 5531
  • Notice of Appeal
  • Decision/Order being Appealed
  • Any Pleadings as to the Issues Raised on Appeal
  • Any Relevant Portions of Motions, Opinions, Transcripts or Exhibits
  • Stipulation Settling Transcript or Affirmation of Compliance
  • Certification Pursuant to CPLR 2105 or Stipulation Pursuant to CPLR 5532
  • No Certification for AD1 cases
7) When perfecting on the Appendix method, do I need to subpoena the Lower Court’s record?
  • Yes. The Lower Court record must be subpoenaed from the County of original instance and sent to the Department in which the case is being heard. Be sure to contact your PrintingHouse Press Sales Consultant with regard to subpoena fees as each county has different charges.
8) Are Memoranda of Law acceptable for inclusion in my Record or Appendix?
  • AD1, AD2, AD3 and AD4:
    Acceptable only if they have independent relevance-though typically excluded. Record is compilation of fact and Memoranda of Law is argument
  • AT1:
    Not acceptable even as an exhibit, unless they are cited in the Judge’s Order
  • Federal Courts:
    Acceptable only if they have independent relevance
9) What should I do if lower court documents I want to include in my Record to the Appellate Division First Department or Second Department are Illegible?
  • AD1:
    The illegible documents may be retyped and included behind the illegible document. Be sure to clearly mark the illegible pages as retyped.
  • AD2: 
    Illegible documents may not be retyped. Pages must be included exactly as they appeared in the lower court.
10) Am I required to include Color documents in my Record or Appendix to the Appellate Division First and Second Departments?
  • AD1:
    Allowed to use black and white photos and documents
  • AD2:
    If the photos or documents were in color in the lower court they must be submitted to the Second Department in color. If they were submitted in black and white or if color photos are no longer available, a letter stating such must be filed with the Record/Appendix.
11) How should I cite to my Record/Appendix in my Brief?
  • Record: R1, R54, R104, etc. Begin with the letter “R” for Record followed by the page number
  • Appendix: A1, A54, A104, etc. Begin with the letter “A” for Appendix followed by the page number
12) How do I settle my Transcripts? (CPLR 5525)

A) By 15 Day Notice of Settlement

  • Make a copy of the Transcript(s)
  • Prepare a Notice of Settlement Form
  • On letterhead list any proposed amendments to the Transcript(s)
  • Serve a copy of the transcript(s), with Notice of Settlement and proposed amendments upon the opposing party(ies)
  • Once 15 days have lapsed, prepare an Affirmation of Compliance to be included in the Record on Appeal

B) By Stipulation

  • Make a copy of the Transcript(s)
  • Prepare a Stipulation to be signed between the Parties
  • On letterhead list any proposed amendments to the Transcript(s)
  • Provide the parties with a copy of the Transcript(s), Amendments and Stipulation

C) If you cannot Settle Transcript by 15 Day Notice or Stipulation

  • Provide a copy of the original Transcript and Amendments to the Judge or Referee before whom the proceedings were held so as to be deemed settled.
13) What are acceptable fonts that may be used in the Appellate Division when preparing a Brief? What are some general formatting rules for when I prepare it?

Examples of Proportional Fonts [14 Point Font with 12 Point Footnotes]:

  • Times New Roman
  • Bookman
  • Century
  • Century Schoolbook
  • Palatino
  • Baskerville
  • Garamond
  • Georgia Caslon

Examples of Monospaced Fonts [12 Point Font with 10 Point Footnotes]:

  • Courier
  • Courier New

Generally, Briefs must have a Proportional/Monospaced typeface, with one inch margins all around. They also must be double-spaced with a single space between quotations longer than two lines (with double indentation). Please refer to our web app or your sales consultant for the nuances in regard to restrictions, page and word limits, etc.

14) Can anything be attached as an Addendum to the back of the brief?
Each Court has specific rules as to what may be attached. Generally the Courts do not allow documents to be attached to Briefs.
15) When perfecting an appeal in one of the State Courts is a filing fee required?
Yes. A filing fee of $315.00 is required made payable to the particular department of the Appellate Division in which the appeal is being perfected. Neither Appellate Term, First or Second Departments require a filing fee.
16) Am I required to e-file documents in the Appellate Division First Department?
Yes. As of September 1, 2010 each Brief, Record on Appeal or Appendix must be served and filed by email in a PDF text searchable format. If the Record/Appendix is over 10 MB it must be served/filed as a CD.
17) When should my Appeal be perfected?

The date of the Notice of Appeal or the Date of Entry of an Order Granting Leave to Appeal determines the date by which the appeal must be perfected. It is not the date that the appeal was filed with the Court.

*Please note that AD1, unlike the other Departments, has a Term Calendar for when Appeals will be heard.

  • AD1, AD3 and AD4:
    Generally perfected on the nine month rule, which is nine months from the date of the Notice of Appeal.
  • AD2:
    Generally perfected on the six month rule, which is six months from the date of the Notice of Appeal.
18) How do I extend my time to Serve and File?

AD1 Records Appendices:

  • Motion

AD1 Briefs:

  • Personal Application by Attorney
  • Stipulation among Parties
  • Motion to the Court

AD2 Records Appendices and Briefs:

  • By Letter Application
  • By Stipulation (So Ordered for Record/Appendix)

AT1 and AT2:

  • By Motion
  • By Stipulation

NYSCA:

  • Telephone call to the Clerk’s office. Once granted an extension, the requesting Party shall file a confirmation letter, with proof of service on each Party.

Second Circuit:

  • By Motion filed via ECF
19) Why wasn’t my Appeal calendared in the Term for which I filed my Record/Appendix & Brief in the First Department?
For reasons ranging from the Court Docket being overwhelmed to outstanding Briefs yet to be filed, the Court adjourned your Appeal sua sponte to the next available Term. The Court Argument/Submission Calendars will be accessible online. Your appellate consultant will send you the dates on argument/submission once available.
20) What are the requirements for any Motion to the Appellate Division? Is there a fee?
Eight days notice if served by hand or thirteen days notice if served by mail. Also required are a Notice of Motion and Affirmation in Support with Exhibits. Serve one copy and file one copy under blue back. Generally in the State Courts a filing fee of $45 is required to file a Motion.
21) My appeal has been perfected, moreover, I know right now that I will not be available on certain dates for oral argument and am worried that the Court may schedule my case for when I am unavailable.
You should advise the Court via letter (copying your adversaries) as soon as possible as to your schedule, noting specific dates when you will not be available for argument.  
22) I just realized that I am not going to be available for an Oral Argument that has already been calendared. Can I adjourn?
In order to adjourn an Oral Argument date that is already calendared, you must file a Stipulation to Adjourn that has been executed by both Parties with a letter describing the reason that you need the Adjournment.