ad1-ad2 the appellate process at the new york state ... · ad1 a. pre-argument statement b. notice...

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The Appellate Process at theNew York State Appellate Division

Perfecting Civil Appeals in the New York State Appellate Division,First and Second Departments

10East39thStreet,7thFloor,NewYork,NY10016Tel:212.719.0990|www.phpny.com

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


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


NewYorkStateCounties

FirstDepartment

SecondDepartment

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Pre-ArgumentStatement

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RADIForm

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RADIForm

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


TimetoPerfectAppeal

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HandDeliveryOvernightDelivery

RegularMailDelivery

RespondentBrief 30Daysfromdateserved

31Daysfromdateserved


ReplyBrief 10Daysfromdateserved



II. AppellateDivision,SecondDepartment(cont’d)


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)


RecordonAppeal

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5531Statement

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2105Certification

I. WhattoIncludea. Whatappellantplanstocitetob. Whatappellantcanreasonablyanticipate

respondentwillcitetoc. Mustmakegoodfaitheffort

II. SubpoenaLowerCourtFile(AD1&AD2)


Appendix


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


RecordonAppeal/Appendix


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


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


Brief– AppellateDivision,FirstDepartment


Brief– AppellateDivision,FirstDepartment

V. LengthandCertificationRequirementsa. AD2

• Appellant/RespondentBrief• 14,000words• Mustnotexceed70pages• CertificateofCompliance

• ReplyBrief• 7,000words• Mustnotexceed35pages• CertificateofCompliance


Brief– AppellateDivision,SecondDepartment

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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


PerfectingtheAppeal

I. AppellateDivision,FirstDepartmenta. “Tobearguedby”onbriefcoverplusRequestforOral

ArgumentFormb. RequestforOralArgumentFormsubmittednolater

thanthedayafterRespondent’sBriefsareduec. Iftwoparties,thenthestandardis15minuteseach.If

multipleparties,thenthebreakdownshouldbeitemized.

II. AppellateDivision,SecondDepartmenta. “Tobearguedby”onbriefcoverb. Timerequestedonbriefcover


OralArgument

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RequestforOralArgumentForm

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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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6.Useheadings,subheadingsandmoresubheadings.

7.Useparagraphbreaks:avoidpageswithnoparagraphbreaks– readingisavisualexperience.

8.Nomorethan25wordspersentence.

9.Varyyoursentencestructuretomakereadingmoreinteresting.

10.Beconcise:lessismoreinlegalbriefwriting.


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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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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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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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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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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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3. UseYourCommonSenses:paintthepictureyouwantthereadertohaveinmind.A. Smellitlikeitis:ofallthesensessmellhasthestrongest

psychologicaleffect.Itevokesmemoriesandtriggersassociationsinthereader’smindandsubconscious.Describeasmellandpullthereaderintoyourstorybycreatingimages.

B. SoundsExciting!:soundscreateatmosphereandimage.Whateveryourcharacterisdoing,there isasoundassociatedwiththat.Usethistomakeyourstorymorevividandmemorable.


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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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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


EnlargementsofTime


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


AppealtotheCourtofAppeals

I. Appealasofrighta. NoticeofAppealincourtoforiginalinstancewith

NoticeofEntry,filingfeeandAffidavitofServiceb. PreliminaryAppealStatementc. SchedulingOrderfromNewYorkStateCourtofAppealsd. Record/Appendix&Brief

II. MotionforLeaveGranted- AllthesameexceptforfilingaNoticeofAppeal


NewYorkStateCourtofAppeals

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EricJ.Kuperman,Esq.ExecutiveVicePresidentofSalesTel:[email protected]

JohnMcGortySeniorAppellateConsultantTel:[email protected]

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