The Appellate Process at theNew York State Appellate Division
Perfecting Civil Appeals in the New York State Appellate Division,First and Second Departments
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Presentedby: EricJ.KupermanEsq., JohnMcGortyandStephenPreziosi,Esq.
I. UnderstandHowandWhentoFileaNoticeofAppeal
II. KnowWhattoIncludeintheRecordonAppeal
III.GraspWhattoIncludeintheAppellateBrief
IV.PresentOralArgument
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LearningObjectives
I. ServicewithNoticeofEntrya. 30daysfromdatetheOrderisservedwithNoticeof
Entrybyhandb. 35daysfromdatetheOrderisservedwithNoticeof
EntrybymailII. JurisdictionalrequirementIII. TimingforFilingNoticeofCross-Appeal– CPLR§ 5513(c)TheGreaterof:a. 10daysfromdateofprimaryNoticeofAppealb. 30daysfromOrderwithNoticeofEntry
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TimingforFilingNoticeofAppeal– CPLR§ 5513(a)
AD1a. Pre-ArgumentStatementb. NoticeofAppealc. Orderappealingfromw/
NoticeofEntryd. OriginalAffidavitofServicee. $65checkpayabletoCounty
Clerk
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AD2
a. RADIformb. NoticeofAppealc. Orderappealingfromw/
NoticeofEntryd. OriginalAffidavitofServicee. $65checkpayabletoCounty
Clerk
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FilingNoticeofAppeal
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NewYorkStateCounties
FirstDepartment
SecondDepartment
I. AppellateDivision,FirstDepartmenta. TermCalendar
• Filingdatesfallingwithin9monthsofdateonNoticeofAppeal (§600.11(a)(3))
• RequestforArgumentForms;stipulationstoadjourn
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TimetoPerfectAppeal
I. AppellateDivision,FirstDepartment(cont’d)b. 30-dayrule(§600.5(d))
• Notfollowed• Respondentmovesforrelief
• Conditionalgrantoftherelief• Orderedonforspecificterm
c. Multipleappellants• “Firstintime”perfectsfirst• Mustconsultotherwise• Co-Appellants:mustperfectforthesameTerm(thoughnotnecessarily
onthesameday)
II. AppellateDivision,SecondDepartmenta. 6monthsfromdateonNoticeofAppeal(§670.8(e)(1))b. Multipleappellants–racetoperfect
• Co-Appellants:mustperfectonthesameday
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TimetoPerfectAppeal
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HandDeliveryOvernightDelivery
RegularMailDelivery
RespondentBrief 30Daysfromdateserved
31Daysfromdateserved
35Daysfromdateserved
ReplyBrief 10Daysfromdateserved
11Daysfromdateserved
15Daysfromdateserved
II. AppellateDivision,SecondDepartment(cont’d)
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TimetoPerfectAppeal
I. WhattoIncludea. Trial
• Pleadings• Transcriptsandexhibitsadmittedintoevidence(transcriptsmust
besettled)• Notice(s)ofAppeal• OrderorJudgmentbeingappealed• Post-TrialMotions
b. Motion• Motionpapersforandagainst• Allattachedaffirmationsandexhibits• Replies• Notice(s)ofAppeal• OrderorJudgmentbeingappealed
c. MemorandaofLawd. Pre-ArgumentStatement(AD1)/5531Statement(AD2)e. 2105Certification(AD1&AD2)
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RecordonAppeal
I. WhattoIncludea. Whatappellantplanstocitetob. Whatappellantcanreasonablyanticipate
respondentwillcitetoc. Mustmakegoodfaitheffort
II. SubpoenaLowerCourtFile(AD1&AD2)
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Appendix
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I. ColorDocumentsa. AD1
• Mayuseblackandwhite
b. AD2• Ifincolorinthelowercourt,mustbeincolorinRecord/Appendixunless
unavailable
II. IllegibleDocumentsa. AD1
• Mayberetyped• Includebehindillegibledocumentclearlymarkedasretyped
b. AD2• Maynotberetyped;documentmustbeincludedexactlyasitappearedin
thelowercourt
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RecordonAppeal/Appendix
III. HowtohandledocumentsoutsidethescopeoftheRecord/Appendixa. MotiontoenlargescopeofRecord/Appendix
• Mustbenecessarytodetermination• Rarelygranted
b. DiscussinBrief• Footnotewithexplanation• Bringcopiestooralargument
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RecordonAppeal/Appendix
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I. IfappellantomittedtoomanydocumentsinRecordonAppealorAppendix
II. IfRecordonAppealorAppendixisincompletea. Ifjustafewpagesmissing,“tip-in”methodb. SupplementalRecord
• StipulationorMotion
c. RespondentAppendix
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MotiontoStrike
I. WhattoIncludea. TableofContentsb. TableofAuthorities(onlyAD1)c. PreliminaryStatementd. QuestionsPresentede. StatementofFactsf. Argumentg. Conclusionh. PrintingSpecificationsStatement(AD1)/Certificateof
Compliance(AD2)II. Appellant,Cross-AppellantandCo-AppellantBriefs
a. Pre-ArgumentStatement– AppellateDivision,1st Departmentb. 5531Statement– AppellateDivision,2nd Department
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Brief– AppellateDivision,1st and2nd Departments
III. Formattinga. Mono-spacedv.ProportionallySpacedfont,examples
ofwhichare:• 12ptCourierNewor14ptTimesNewRoman
b. Footnotesnosmallerthan10ptCourierNewor12ptTimesNewRoman
c. Doublespacedd. 1inchmarginsallarounde. Nobold orFULLYCAPITALIZEDwordsexcept inpoint
headingsf. Underline andItalics acceptableifusedsparingly
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Brief– AppellateDivision,1st and2ndDepartments
IV. LengthandCertificationRequirementsa. AD1
• Appellant/RespondentBrief• 14,000words• Mustnotexceed70pages• PrintingSpecificationsStatement
• ReplyBrief• 7,000words• Mustnotexceed35pages• PrintingSpecificationsStatement
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Brief– AppellateDivision,FirstDepartment
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Brief– AppellateDivision,FirstDepartment
V. LengthandCertificationRequirementsa. AD2
• Appellant/RespondentBrief• 14,000words• Mustnotexceed70pages• CertificateofCompliance
• ReplyBrief• 7,000words• Mustnotexceed35pages• CertificateofCompliance
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Brief– AppellateDivision,SecondDepartment
I. AppellateDivision,FirstDepartmenta. Paperserviceandfiling
• File8,serve2b. Electronicserviceandfiling
• Over10MBonaCD• Under10MBbye-mail
c. $315filingfeepayabletoAppellateDivision
II. AppellateDivision,SecondDepartmenta. Paperserviceandfiling
• File9,serve2b. $315filingfeepayabletoAppellateDivision
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PerfectingtheAppeal
I. AppellateDivision,FirstDepartmenta. “Tobearguedby”onbriefcoverplusRequestforOral
ArgumentFormb. RequestforOralArgumentFormsubmittednolater
thanthedayafterRespondent’sBriefsareduec. Iftwoparties,thenthestandardis15minuteseach.If
multipleparties,thenthebreakdownshouldbeitemized.
II. AppellateDivision,SecondDepartmenta. “Tobearguedby”onbriefcoverb. Timerequestedonbriefcover
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OralArgument
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Top16ListForMoreEffectiveBriefWriting
1. Tellthejudgeswhatyouwant.
2. Persuade,Persuade,Persuade:ineverypartofthebrief– facts,argument,etc.
3. Putyourbestfootforward:strongestargumentsgofirst.
4. ElementsofStyle:spellingcounts,usespellcheck,proofread,punctuationerrorsnotacceptable.
5. Useaformatthatiseasytofollow:IRAC– CRAC–ICRAC.
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Top16ListForMoreEffectiveBriefWriting
6.Useheadings,subheadingsandmoresubheadings.
7.Useparagraphbreaks:avoidpageswithnoparagraphbreaks– readingisavisualexperience.
8.Nomorethan25wordspersentence.
9.Varyyoursentencestructuretomakereadingmoreinteresting.
10.Beconcise:lessismoreinlegalbriefwriting.
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Top16ListForMoreEffectiveBriefWriting
11.Smallwordsarebetterthanbigwords:don’tgivethejudgesavocabularylesson.
12.TheRoadToHellIsPavedWithAdverbs:adverbsrobyouofthebetterverb, themoredescriptivemethodofwriting.
– Adverbsgenerallyendin–ly:badly,quickly,– Usebetterverbs:
• Don’tusetheverb“tobe”ifyoucanavoidit;excisethereis,therewas,thereare,therewere.
13.ActiveVoiceisbetterthanpassive:ACTIVE:Ihaveadream.PASSIVE:Adreamwashadbyme.ACTIVE:Justdoit.PASSIVE:Itshouldjustbedone.ACTIVE:IshottheSherriff.PASSIVE:TheSherriffwasshotbyme.ACTIVE:IgotthemmoveslikeJagger.PASSIVE:TheJaggermovesIhavegot.ACTIVE:Justsayno.PASSIVE:Noshouldjustbesaid.
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Top16ListForMoreEffectiveBriefWriting
14.Don’tAvoidTheBadStuff:don’tletajudgereadthebadfactsinyouropponentsbriefforthefirsttime.Iftherearebadfacts,youmustaddressthemandexplainthem– putitinthemiddlewhereitwon’tstandout.
15.ConsultLocalRules:content,font,margins,wordcount,deadlines.
16.Neverusecriticalordisparaginglanguagetodescribeopposingcounsel.
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StatementOfFacts:What’sTheBigDeal
1. AlwaysIncludeAStatementOfFacts.
2. TheMostImportantPartOfTheBrief:firstimpressionsformed,firstopportunitytopersuade.
3. GiveStatementOfFactsATitle/HeadingToDistinguishItFromLegalArgument:StatementofFacts,RelevantFactsAndCircumstances.
4. 95%OfQuestionsAtOralArgumentDealWithFactsOfYourCase.
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WritingTheStatementOfFacts:OpportunityForPersuasion
1. TheStatementOfFactsIsNever,Never,NeverNeutral(AlthoughItMustAppearToBeSo):youmustalwayswritepersuasively– thinkstructure,order,headings,include,exclude.
2. WriteTheStatementOfFactsLast:youdon’tknowwhatfactsareimportantuntilyouknowwhatlegalargumentsyou’llmake.
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WritingTheStatementOfFacts:OpportunityForPersuasion
3.Don’tWriteTheFactsChronologically,UnlessIt’sToYourAdvantage:fewstories(novels,movies,etc.)beginatthebeginning.Startattheplaceinthestorythatismostpersuasivetoyourargument.Backtracklater;firstandlastismostmemorable.
4.UseHeadingsAndSubheadings:createaroadmapforthereader,guidethemthroughthefactsfromyourperspective.
5.Don’tMakeArguments InTheStatementOfFacts:writethefactsonly,butinawaythatallowsthereadertocometotheirown(your)conclusions.
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WritingTheStatementOfFacts:OpportunityForPersuasion
6.UseDialoguefromtheTrialorHearings:usingdialoguebringsyourstoryandthecharacterstolife,indent,singlespace,putitinitalics.
TheCourt:Theapplicationformistrialisdenied.DefenseCounsel:ButyourHonor,theentirejuryfaintedwhentheevidencewaspresented.
7.WriteYourBestFactsOnlyOnce:repetitiondoesnotequalpersuasion.Repeatingyourbestfactsdiminishestheirimpact.Writeitgreat;writeitonce.
8.DealWithTheBadFacts:putthebadfactsincontextthatisleastharmfultoyourclient.Don’tletthejudgereadthebadstuffforthefirsttimeinyouropponent’sbrief.
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WritingTheStatementOfFacts:OpportunityForPersuasion
9.DoNotUseFootnotesInABrief:ifit’simportant,putitin;ifit’snotimportant,leaveitout.
10.WhatDidn’tHappenMayBeJustAsImportant:includingfactsthatdidn’toccurcansometimeshaveanimportantimpactonyourstory.Thecaseoftheburglarywherethedogsinthehousedidn’tbark.Noonetestifiedthatthedogsdidn’tbark,butthefactwasimportant:theydidn’tbarkbecausetheyknewtheburglar– thenextdoorneighbor.
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MakingItMemorable:UseLiteraryTechniquesInBriefWriting
1. MemorableIsPersuasive:thebetteryoucreateanimageinthereader’smind,themorememorableyourwriting.Themorememorableyourwriting,themorepersuasiveyourbrief.
2. Read,Read,Read:betheliterarythiefinthenight.Ifsomethingyoureadstrikesyou,askyourselfwhyitismemorable,persuasive,interesting.Then,adoptthattechnique.
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MakingItMemorable:UseLiteraryTechniquesInBriefWriting
3. UseYourCommonSenses:paintthepictureyouwantthereadertohaveinmind.A. Smellitlikeitis:ofallthesensessmellhasthestrongest
psychologicaleffect.Itevokesmemoriesandtriggersassociationsinthereader’smindandsubconscious.Describeasmellandpullthereaderintoyourstorybycreatingimages.
B. SoundsExciting!:soundscreateatmosphereandimage.Whateveryourcharacterisdoing,there isasoundassociatedwiththat.Usethistomakeyourstorymorevividandmemorable.
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MakingItMemorable:UseLiteraryTechniquesInBriefWriting
C.LightUpYourScenes:makethestoryclearer,insertasentenceaboutwherethelightcomesfrom.Givesthereaderaclearpictureabouttimeofday,yourclient’sperspective,andplace(sunlight,candles,lightbulb,neonlights,fire,window,tablelamp).
D.ColorsMakeThePicture:colorspaintpictures,evoke images,creatememorable scenes.Usedescriptivecolors:rose-red,banana-yellow,chocolate-brown.
E.TalkAboutTheWeather:everyonecanidentifywiththeweather.Createthenecessary imagewiththeweather:sunny,rainy,cloudy,foggy,etc.
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MakingItMemorable:UseLiteraryTechniquesInBriefWriting
F.UsePerspectiveOrPointOfView:tellthestoryfromyourclient’sperspective.Orthroughwhoseeyes,earsandthoughtsdoyouwantthejudgetoexperiencethestory.Perspectivedealswithhis/herjob,education,gender,hobbies, interests,age,physicality.Walkingdownthestreetthearchitectseesthebuildingdesign,thelawyerseestheslipperysidewalk,theanimalloverseesthedogruninthepark.Askyourclientwhattheyseeandhowtheyseeit.
G.PassageOfTime:keepthereaderinformedabouttimeanditspassage.Usedates,changeofweather,changefromlighttodark.Ifthetimechanges,changetheimageinthereader’smind.
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OralArgumentTop14List
1. Prepare,Prepare,Prepare:knowyourcasebetterthanthejudges,boththefactsandthelaw.
2. TellTheJudgesWhatYouWant:appliestobothbriefandoralargument.
3. Don’tGiveTheJudgesASpeech:bepreparedforaninteractivesession.
4. OpenWithAHeadline: givethejudgesatakeawayphrase– bepreparedtostateyourcaseinonesentence.
5. EveryQuestionIsAGift:everyquestionthejudgesaskisanopportunitytopersuade;itrevealstoyouwhattheyarethinkingandwheretheyperceivetheweaknesses inyourbrief.
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OralArgumentTop14List
6.MakeUseOfTheNon-Lawyers:DevelopYourTake-AwayPhraseWithSomeoneThatIsn’tALawyer.TheSimplerTheBetter.
7.AnswerQuestionsWithAYesOrNo:youcanfollowitupwithYes,because…orNo,because.Everyquestionbyajudgemusthaveaclearanswer.
8.Don’tTellTheJudgeHis/Her QuestionIsNotTheIssueOrNotImportant:ifthepersondecidingyourcaseasksthequestion,it’simportant.
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OralArgumentTop14List9.KnowTheDifferenceBetweenAPanelOfJudgesAndAJury:passionate,emotionalargumentsareusuallynotappropriateinanappellatecourt.TheJudgesareconcernedwithapplyingthe lawtoyourfacts.
10.MostQuestionsByTheAppellateDivisionDealWithTheFactsOfYourCase:thejudgesknowthelaw,youshouldknowthefactsofyourcasebetterthananyoneintheroom.
11.BeReadyForTheSoftballQuestion:judgesuseoralargumenttoconvincetheircolleaguesonthebench.Ifyougetaquestionthatisincompleteaccordwithyourargumentthejudgeisgivingyoufloortime.Takeit;makethemostofit.
12.AlwaysAskForRebuttalTime:FirstDepartmenthasit,SecondDoesn’t.
13.BeYourClient’sBestAdvocate:sayforyourclientwhattheycannotsayforthemselves. Bethegreatestadvocatefortheirposition.
14.OnePageAtThePodium:donotbringbriefsandappendices tothepodium,youwon’thavetimetorefertothem.Onepagetooutlinethearguments,quoteastatute(ifimportant),onesentencecasesummaryifthecase iscentraltoyourlegalargument.
I. AD1– allowedrequestsa. Perfectingtheappeal
• OnlybyMotion
b. Respondent’sBriefsandReplyBriefs• Stipulation• EmergencyApplication
II. AD2– allowedrequestsa. Letterb. Motion
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EnlargementsofTime
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I. Determiningappellatedesignation
II. Briefingschedule
III. HowtonavigateTermsinAD1withmultipleappellants
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MultipleAppellants
9DaysDecember27th
*Since it’s aSunday,thedeadline isnowDecember28th
I. AsofrightII. MotionforleavetotheCourtofAppealsfiledinthe
AppellateDivisiona. AD1&AD2
• Timing– Motiontoreargue/Motionforleaveinthealternative
b. Whattoinclude
III. MotionforleavetotheCourtofAppealsfiledintheCourtofAppealsa. Timingb. Whattoinclude
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AppealtotheCourtofAppeals
I. Appealasofrighta. NoticeofAppealincourtoforiginalinstancewith
NoticeofEntry,filingfeeandAffidavitofServiceb. PreliminaryAppealStatementc. SchedulingOrderfromNewYorkStateCourtofAppealsd. Record/Appendix&Brief
II. MotionforLeaveGranted- AllthesameexceptforfilingaNoticeofAppeal
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NewYorkStateCourtofAppeals
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EricJ.Kuperman,Esq.ExecutiveVicePresidentofSalesTel:[email protected]
JohnMcGortySeniorAppellateConsultantTel:[email protected]
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