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The Appellate Process at the New York State Appellate Division
Perfecting Civil Appeals in the New York State Appellate Division, First, Second, Third and Fourth Departments
10 East 39th Street, 7th Floor, New York, NY 10016Tel: 212.719.0990 | www.phpny.com
Presented by: Eric J. Kuperman, Esq. and John McGorty
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I. Understand How and When to File a Notice of Appeal
II. Know What to Include in the Record on Appeal
III. Grasp What to Include in the Appellate Brief
IV. Present Oral Argument
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Learning Objectives
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I. Service with Notice of Entrya. 30 days from date the Order is served
with Notice of Entry by handb. 35 days from date the Order is served
with Notice of Entry by mailII. Jurisdictional requirementIII. Timing for Filing Notice of Cross-Appeal – CPLR § 5513(c) The Greater of:
a. 10 days from date of primary Notice of Appealb. 30 days from Order with Notice of Entry
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Timing for Filing Notice of Appeal – CPLR § 5513(a)
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AD1
a. Pre-Argument Statement
b. Notice of Appealc. Order appealing from
w/ Notice of Entryd. Original Affidavit of
Servicee. $65 check payable to
County Clerk
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AD2
a. RADI formb. Notice of Appealc. Order appealing from
w/ Notice of Entryd. Original Affidavit of
Servicee. $65 check payable to
County Clerk
Filing Notice of Appeal
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New York State Counties (AD1 & AD2)
First Department
Second Department
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Pre-Argument Statement
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RADI Form
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RADI Form
AD3
a. Pre-Calendar Statement
b. Notice of Appealc. Order appealing from
w/ Notice of Entryd. Original Affidavit of
Servicee. $65 check payable to
County Clerk
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AD4
a. Notice of Appealb. Order appealing from w/
Notice of Entryc. Original Affidavit of
Serviced. $65 check payable to
County Clerk
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Filing Notice of Appeal
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New York State Counties (AD3 & AD4)
Fourth Department
Third Department
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Pre-Calendar Statement
I. Appellate Division, First Departmenta. Term Calendar
• Filing dates falling within 9 months of date on Notice of Appeal (§600.11 (a)(3))
• Request for Argument Forms; stipulations to adjourn
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Time to Perfect Appeal
2015Calendar
I. Appellate Division, First Department (cont’d)b. 30-day rule (§600.5(d))
• Not followed• Respondent moves for relief
• Conditional grant of the relief• Ordered on for specific term
c. Multiple appellants• “First in time” perfects first• Must consult otherwise• Co-Appellants: must perfect for the same Term (though
not necessarily on the same day)
II. Appellate Division, Second Departmenta. 6 months from date on Notice of Appeal (§670.8(e) (1))b. Multiple appellants–race to perfect
• Co-Appellants: must perfect on the same day PrintingHouse Press | 10 East 39th Street, 7th Floor, New York, NY 10016 | Tel: 212.719.0990 | www.phpny.com 11
Time to Perfect Appeal
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Time to Perfect Appeal
III. Appellate Division, Third Departmenta. 9 months from date on Notice of Appeal (§800.12)b. 60-day rule (§800.9(a))
• Not followed• Respondent moves for relief
• Conditional grant of the relief• Ordered to file by specific date
c. Multiple appellants–race to perfect• Co-Appellants: must consolidate appeal and perfect on
the same day
IV. Appellate Division, Fourth Departmentd. 9 months from date on Notice of Appeal (§1000.2(b))e. 60-day rule (§1000.2(b))
• Not followed• Respondent moves for relief
• Conditional grant of the relief• Ordered to file by specific date
f. Multiple appellants–race to perfect• Co-Appellants: must consolidate appeal and perfect on
the same day
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Hand DeliveryOvernight Delivery
Regular Mail Delivery
Respondent Brief
30 Days from date served
31 Days from date served
35 Days from date served
Reply Brief 10 Days from date served
11 Days from date served
15 Days from date served
V. Appellate Division, Second, Third and Fourth Departments
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Time to Perfect Appeal
I. What to Includea. Trial
• Pleadings• Transcripts and exhibits admitted into evidence (transcripts
must be settled)• Notice(s) of Appeal• Order or Judgment being appealed• Post-Trial Motions
b. Motion• Motion papers for and against• All attached affirmations and exhibits• Replies• Notice(s) of Appeal• Order or Judgment being appealed
c. Memoranda of Lawd. Pre-Argument Statement (AD1) / 5531 Statement (AD2, AD3 &
AD4)e. 2105 Certification (AD1, AD2 & AD3) / 5532 Stipulation (AD4)
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Record on Appeal
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5531 Statement
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2105 Certification
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5532 Stipulation
I. What to Includea. What appellant plans to cite tob. What appellant can reasonably anticipate
respondent will cite toc. Must make good faith effort
II. Subpoena Lower Court File (AD1 & AD2)
III. File one copy of Record (AD3 & AD4)
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Appendix
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I. Color Documentsa. AD1, AD3 & AD4
• May use black and white
b. AD2• If in color in the lower court, must be in color in
Record/Appendix unless unavailable
II. Illegible Documentsc. AD1
• May be retyped• Include behind illegible document clearly marked as
retyped
d. AD2, AD3 & AD4• May not be retyped; document must be included exactly
as it appeared in the lower court19
Record on Appeal/Appendix
III. How to handle documents outside the scope of the Record/Appendix
a. Motion to enlarge scope of Record/Appendix• Must be necessary to determination• Rarely granted
b. Discuss in Brief• Footnote with explanation (not allowed in
AD4)• Bring copies to oral argument
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Record on Appeal/Appendix
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I. If appellant omitted toomany documents in Record on Appeal or Appendix
II. If Record on Appeal or Appendix is incompletea. If just a few pages missing, “tip-in”
methodb. Supplemental Record
• Stipulation or Motion
c. Respondent Appendix21
Motion to Strike
I. What to Includea. Table of Contentsb. Table of Authorities (only AD1)c. Preliminary Statementd. Questions Presentede. Statement of Factsf. Argumentg. Conclusionh. Printing Specifications Statement (AD1) / Certificate of
Compliance (AD2)i. No page certification required for AD3 and AD4
II. Appellant, Cross-Appellant and Co-Appellant Briefsa. Pre-Argument Statement – Appellate Division, 1st Departmentb. 5531 Statement – Appellate Division, 2nd Departmentc. No 5531 Statement required – Appellate Division, 3rd and 4th
DepartmentsPrintingHouse Press | 10 East 39th Street, 7th Floor, New York, NY 10016 | Tel: 212.719.0990 | www.phpny.com 22
Brief – Appellate Division, 1st, 2nd, 3rd, and 4th Departments
III. Formattinga. Mono-spaced v. Proportionally Spaced font,
examples of which are:• 14pt Times Roman or 12pt Courier New
b. Footnotes no smaller than 12pt Times Roman or 10pt Courier New• No footnotes allowed in AD4
c. Double spacedd. 1 inch margins all arounde. No bold or FULLY CAPITALIZED words except in
point headingsf. Underline and Italics acceptable if used sparinglyg. Covers must be color coded in AD4
• Appellant Brief – Blue Cover• Respondent Brief – Red Cover• Reply Brief – Gray Cover 23
Brief – Appellate Division, 1st, 2nd, 3rd and 4th Departments
IV. Length and Certification Requirementsa. AD1• Appellant/Respondent Brief
• 14,000 words• Must not exceed 70 pages• Printing Specifications Statement
• Reply Brief• 7,000 words• Must not exceed 35 pages• Printing Specifications Statement
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Brief – Appellate Division, First Department
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Brief – Appellate Division, First Department
V. Length and Certification Requirementsa. AD2• Appellant/Respondent Brief
• 14,000 words• Must not exceed 70 pages• Certificate of Compliance
• Reply Brief• 7,000 words• Must not exceed 35 pages• Certificate of Compliance
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Brief – Appellate Division, Second Department
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Brief – Appellate Division, Second Department
VI. Length and Certification Requirementsa. AD3• Appellant Brief
• Must not exceed 70 pages• No Certification Required
• Respondent Brief• Must not exceed 35 pages• No Certification Required
• Reply Brief• Must not exceed 15 pages• No Certification Required
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Brief – Appellate Division, Third Department
VII. Length and Certification Requirementsa. AD4• Appellant/Respondent Brief
• Must not exceed 70 pages• No Certification Required
• Reply Brief• Must not exceed 35 pages• No Certification Required
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Brief – Appellate Division, Fourth Department
I. AD1a. Paper service and filing
• File 8, serve 2b. Electronic service and filing
• Over 10MB on a CD• Under 10MB by e-mail
c. $315 filing fee payable to Appellate Division
II. AD2a. Paper service and filing
• File 9, serve 2b. $315 filing fee payable to Appellate Division
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Perfecting the Appeal
III. AD3a. Paper service and filing
• Record: File 10, serve 1• Appendix: File 10, serve 2 (and File/Serve 1 copy of
Record)• Brief: File 10, serve 2
b. $315 filing fee payable to Appellate Division
IV. AD4c. Paper service and filing
• Record: File 11, serve 2• Appendix: File 10, serve 2 (and File/Serve 1 copy of
Record)• Brief: File 11, serve 2
d. $315 filing fee payable to Appellate DivisionPrintingHouse Press | 10 East 39th Street, 7th Floor, New York, NY 10016 | Tel: 212.719.0990 | www.phpny.com 31
Perfecting the Appeal
I. AD1a. “To be argued by” on brief cover plus Request for
Oral Argument Formb. Request for Oral Argument Form submitted no later
than the day after Respondent’s Briefs are duec. If two parties, then the standard is 15 minutes
each. If multiple parties, then the break down should be itemized.
II. AD2, AD3 & AD4a. “To be argued by” on brief coverb. Time requested on brief cover
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Oral Argument
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Request for Oral Argument Form
I. AD1 – allowed requestsa. Perfecting the appeal
• Only by Motion
b. Respondent’s Briefs and Reply Briefs• Stipulation• Emergency Application
II. AD2 – allowed requestsa. Letterb. Motion
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Enlargements of Time
III. AD3 – allowed requestsa. Perfecting the appeal
• Only by Motion
b. Respondent’s Briefs and Reply Briefs• Phone Call to Court Clerk (30 Days Requested)• Stipulation (more than 30 Days Requested)
IV. AD4 – allowed requestc. Motion
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Enlargements of Time
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I. Determining appellate designation
II. Briefing schedule
III. How to navigate Terms in AD1 with multiple appellants
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Multiple Appellants
I. As of rightII. Motion for leave to the Court of Appeals filed in the
Appellate Divisiona. AD1, AD2, AD3 & AD4
• Timing – Motion to reargue/Motion for leave in the alternative
b. What to include
III. Motion for leave to the Court of Appeals filed in the Court of Appeals
a. Timingb. What to include
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Appeal to the Court of Appeals
I. Appeal as of righta. Notice of Appeal in court of original instance
with Notice of Entry, filing fee and Affidavit of Service
b. Preliminary Appeal Statementc. Scheduling Order from New York State Court
of Appealsd. Record/Appendix & Brief
II. Motion for Leave Granted - All the same except for filing a Notice of Appeal
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New York State Court of Appeals
PrintingHouse Press 10 East 39th Street, 7th Floor, New York, NY 10016Tel: 212.719.0990 | Fax: 212.398.9253 | www.phpny.com
Eric J. Kuperman, Esq.Vice President of SalesTel: [email protected]
John McGortySenior Appellate ConsultantTel: [email protected]
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