Contents of Records, appendices and exhibits in normal course appeals
By Joel R. Brandes
The Appellant may supply the Court with record material in one of three ways:1 Appellant may subpoena the original file to the Court of Appeals from the clerk of the court of original instance or other custodian, and submit original exhibits to be relied upon, and, in addition to the submission in digital format required by subsection 500.14 (g), supplement these with an original and nine copies of an appendix conforming to subsection 500.14 (b), with proof of service of three copies of the appendix on each other party. If appellant is represented by assigned counsel, or has established indigency, an oral or written request may be made of the Clerk of the Court to obtain the original file.2 In addition to the submission in digital format required by subsection 500.14 (g) appellant may file with the Clerk of the Court one copy of the reproduced record used at the intermediate appellate court. This record must be supplemented by an original and nine copies of an appendix conforming to subsection 500.14(b), with proof of service of three copies of the appendix on each other party.3 In addition to the submission in digital format required by subsection 500.14 (g), appellant may file with the Clerk of the Court an original and nine copies of a new and full record which must include the record used at the court below, the notice of appeal or order granting leave to appeal to the Court of Appeals, the decision and order appealed from to the Court of Appeals, and any other decision and order brought up for review, with proof of service of three copies of the new record on each other party. The new and full record referred to in subsection 500.14 (a)(3) or the appendix must contain the statement required by CPLR 5531.4 The correctness of the new and full record referred to in subsection 500.12 (a)(3) or the appendix and additional papers must be authenticated pursuant to CPLR 2105 or stipulated to pursuant to CPLR 5532.5 An appendix must conform to the requirements of CPLR 5528 and 5529. It must be sufficient by itself to permit the Court to review the issues raised on appeal without resort to the original file (see subsection 500.14 [a][1]) or reproduced record used at the court below (see subsection 500.14 [a][2]). The Clerk's Office encourages the filing of any appendix as a separately bound submission. The appendix must include, as relevant to the appeal, the following: (1) the notice of appeal or order or certificate granting leave to appeal; (2) the order, judgment or determination appealed from to this Court; (3) any order, judgment or determination which is the subject of the order appealed from, or which is otherwise brought up for review; (4) any decision or opinion relating to the orders set forth in subsections 500.14 (b)(2) and (3); and (5) the testimony, affidavits, jury charge and written or photographic exhibits useful to the determination of the questions raised on appeal or cited in the brief of the party filing the appendix.6 A respondent may file a supplementary appendix. The Clerk's Office encourages the filing of any supplementary appendix as a separately bound submission.7 Each appellant must submit in digital format its appendix pursuant to subsection 500.14 (a)(1), intermediate appellate court record and appendix pursuant to subsection 500.14 (a)(2), or new and full record pursuant to subsection 500.14 (a)(3). If a respondent files an appendix pursuant to section 500.14, respondent must submit in digital format such appendix. The record material in digital format must be identical to the filed original printed record material, except it need not contain an original signature, and it must comply with the technical specifications and instructions for submission available from the Clerk's Office. Unless otherwise permitted by the Clerk of the Court, record material in digital format must be received by the Clerk's Office no later than the due date for the printed record material.8 All submissions under section 500.14 must comply with the requirements of22 NYCRR 500.5 regarding sealing and redaction.9 The Court of Appeals adopted word and page limits for brief which apply to all appeals for which the preliminary appeal statement was filed on or after the June 22 effective date. Principal briefs filed on normal course appeals, certified questions and review of the determinations of the State Commission on Judicial Conduct are subject to a 14,000 word limit. Requests to exceed the limit may be made by letter. Rule 500.11 submissions (the Alternative Procedure for Selected Appeals), reply briefs, amicus curiae briefs and briefs in response to amicus curiae briefs are subject to a 7,000 word limit. The Rules provide corresponding page limits for briefs that are handwritten or prepared on a typewriter.10