N.Y. Comp. Codes R. & Regs. tit. 22 § 600.10

Current through Register Vol. 46, No. 16, April 17, 2024

Section 600.10 - Format and content of records, appendices and briefs

(a) Form and size.

(1) Generally; paper and page size. Records, appendices and briefs shall be reproduced by any method that produces a permanent, legible, black on white copy and shall be on a good grade of white, opaque, unglazed recycled paper that satisfies the requirements of subdivision (e) of this section. Paper shall measure vertically 11 inches on the bound edge and horizontally 81/2 inches. The clerk may refuse to accept for filing a paper which is not legible or otherwise does not comply with the provisions of this Part.

(2) Binding. Every record, appendix or brief shall be securely bound on the left side; when such binding is done by means of a metal fastener or other hard material which protrudes or presents sharp edges, such binding shall be covered by linen or plastic masking tape or similar material. The use of Acco, spiral or other bulky binding edge binders is discouraged.

(3) Typeface and type size. Records, appendices and briefs shall be in clear serified, proportionally space typeface, such as times new roman, or serified monospaced typeface, such as courier. Proportionally spaced typeface shall be no less than 14-point size, with the exception that footnotes, shall be in type of no less than 12-point size and headings, shall be in type no greater than 15-point size. Monospaced typeface shall be no less than 12-point size, with the exception that footnotes shall be in type no less than 10-point size and headings shall be in type no greater than 14-point size. Typewritten text shall be no less than elite size.

(4) Page format. Records, appendices and briefs shall be double spaced, with the exception that footnotes, headings, intended quotations, and a full size facsimile reproduction of the opinion of the trial court taken from the official State reports may be single spaced. The margin on each side of each page shall be at least one inch; the text on each page shall not exceed 9 inches by 61/2 inches.

(5) Captions. The parties to all appeals shall be designated in the record and briefs by adding the word "Appellant," "Respondent," etc., as the case may be, following the party's name, e.g., "Plaintiff-Respondent," "Defendant-Appellant," "Petitioner-Appellant," "Respondent-Respondent," etc. Parties who have not appealed and against whom the appeal has not been taken, shall be listed separately and designated as they were in the court below, e.g., "Plaintiff," "Defendant," "Petitioner," "Respondent." In appeals from the Surrogate's Courts or from judgments on trust accountings, the caption shall contain the title used in the court below, including the name of the decedent or grantor, followed by a listing of all parties to the appeal, properly designated. In proceedings and actions originating in this court, the parties shall be designated "Petitioner" and "Respondent" or "Plaintiff" and "Defendant."

(6) Numbering. Pages of records and briefs shall be numbered consecutively. Pages of appendices shall be separately numbered consecutively, each number preceded by the letter "A"; a respondent's appendix, if any, shall be numbered consecutively and may be preceded by the letters "RA."

(7) Page headings. The subject matter of each page of the record or appendix shall be stated at the top thereof, except that in the case of papers other than testimony, the subject matter of the paper may be stated at the top of the first page of each paper together with the page numbers of the first and last pages thereof. In the case of testimony, the name of the witness, by whom he was called and whether the testimony is direct, cross, redirect or recross examination, shall be stated at the top of each page.

(8) Motion papers. Each affidavit or other paper contained in a record on an appeal from an order shall be preceded by a description thereof that must specify on whose behalf it was read. The name of the affiant shall be stated at the top of each page containing an affidavit.

(9) Questions and answers. The answer to a question in the appendix shall not begin a new paragraph.

(10) Quotations. Asterisks or other appropriate means shall be used to indicate omissions in quoted excerpts. Reference shall be made to the source of the excerpts quoted. Quotations in briefs may be single spaced, indented. Where an excerpt in the appendix is testimony of a witness quoted from the record the beginning of each page of the transcript shall be indicated by parenthetical insertion of the transcript page number.

(11) Citation of decisions. New York decisions shall be cited from the official reports, if any. All other decisions shall be cited from the official reports, if any, and also from the National Reporter System if they are there reported. Decisions not reported officially or in the National Reporter System shall be cited from the most available source.

(b) Record, what to contain.

(1) If appellant elects to proceed on an optional full record as authorized by section 600.5(c) of this Part, the record shall contain, in the following order:

(i) An index of the record's contents, listing and describing each paper separately. That part of the index relating to exhibits shall concisely indicate the contents or nature and date, if given of each exhibit and the pages in the record where it is reproduced and where it is admitted to evidence. The part of the index relating to the transcript of testimony shall separately list each witness and shall state as to each witness the page at which direct, cross, re-direct and re-cross examination begins. Such index shall also contain a reference to the pages where a motion for the dismissal of a complaint or for the direction of a verdict or an oral decision of the court, appealed from, appears.

(ii) A statement pursuant to CPLR 5531.

(iii) If the appeal be from a final judgment, the notice of appeal, the judgment roll, the corrected transcript of the proceedings or a statement pursuant to subdivision (d) of CPLR 5525 if a trial or hearing was held, any relevant exhibits, or copies of them, in the court of original instance, any other reviewable order, and any opinions in the case.

(iv) If the appeal be from an interlocutory judgment or any order, the notice of appeal, the judgment or order appealed from, the transcript, if any; the papers and other exhibits upon which the judgment or order was founded, and any opinions in the case.

(v) A stipulation or order settling the transcript pursuant to subdivision (c) of CPLR 5525.

(vi) The opinion in the case or a statement that there was none.

(vii) A stipulation, if any, dispensing with the printing or filing of exhibits.

(a) Exhibits may be omitted upon stipulation of the attorneys for the parties, approved by a justice of the court, which shall contain a list of the exhibits to be omitted and a brief description of each exhibit. Exhibits thus omitted unless of a bulky nature as defined in this subparagraph shall be filed with the clerk of the court not later than the Wednesday preceding the first day of the term for which the appeal was noticed. Exhibits of a bulky nature (cartons, file drawers, voluminous folders, ledgers, machinery, weapons, etc.) thus omitted need not be filed with the court but shall be kept in readiness by the parties and delivered to the court on telephone notice; a letter, showing that copy has been sent to the adversary, listing such exhibits and stating that they will be available on telephone notice shall be filed with the clerk of the court not later than the Wednesday preceding the first day of the term for which the appeal was noticed.

(b) Exhibits which are not relevant to an appeal may be omitted upon stipulation of the attorneys for the parties which shall contain a list of the exhibits to be omitted, a brief description of each exhibit and a statement that said exhibits will not be relied upon or cited in the briefs of the parties to the appeal.

(viii) A certificate of the proper clerk, or a stipulation waiving certification of the papers pursuant to CPLR 5532, or a certificate subscribed by the attorney certifying to the correctness of the papers pursuant to CPLR 2105.

(2) On an appeal by permission under CPLR 5701 from an order granting or denying a motion for a more definite statement of a vague or ambiguous pleading or for striking any irrelevant, redundant, scandalous or prejudicial matter unnecessarily inserted in a pleading, the portion of the pleading to which the motion is directed must be italicized if the record is printed or underscored if otherwise reproduced.

(3) On the outside front cover of the record shall appear the title of the case, the names, addresses and telephone numbers of the attorneys for the parties, and the index number in the court of original instance. (See paragraph [a][5] of this section.)

(c) Appendix, what to contain.

(1) In accordance with CPLR 5528, the appendix of appellant or the joint appendix shall contain those parts of the record necessary to consider the questions involved. A failure to comply with the requirements may result in rejection of the appendix or may affect the imposition of costs.

(2) The appendix should include at least, if in the record, the following:

(i) Notice of appeal; judgment appealed from; decree appealed from; order appealed from or sought to be enforced; notice of motion; order to show cause; opinion (or a statement that there was none); findings of fact and conclusions of law; report of referee or hearing examiner; charge to the jury; verdict; and pleadings if their sufficiency, content, or form is in issue or material.

(ii) Relevant excerpts from transcripts of testimony or papers in connection with a motion. These must contain all the testimony or averments upon which appellant relies or upon which appellant has reason to believe respondent will rely. Such excerpts must not be misleading because of incompleteness or lack of surrounding context.

(iii) Copies of critical exhibits, including significant photographs, to the extent practicable. Critical exhibits may be omitted upon stipulation of the attorneys for the parties, approved by a justice of the court, which shall contain a list of the exhibits to be omitted and a brief description of each exhibit. A copy of this stipulation shall be included in the appendix.

(iv) Exhibits unless of a bulky nature as defined in clause (a) of this subparagraph shall be filed with the clerk of the court not later than the Wednesday preceding the first day of the term for which the appeal was noticed.

(a) Exhibits of a bulky nature (cartons, file drawers, voluminous folders, ledgers, machinery, weapons, etc.) omitted upon stipulation pursuant to subparagraph (2)(iii) of this subdivision need not be filed with the court but shall be kept in readiness by the parties and delivered to the court on telephone notice; a letter, showing that copy has been sent to the adversary, listing such exhibits and stating that they will be available on telephone notice shall be filed with the clerk of the court not later than the Wednesday preceding the first day of the term for which the appeal was noticed.

(b) Exhibits which are not relevant to an appeal may be omitted upon stipulation of the attorneys for the parties which shall contain a list of the exhibits to be omitted, a brief description of each exhibit and a statement that said exhibits will not be relied upon or cited in the briefs of the parties to the appeal.

(3) On the outside front cover of the appendix, whether bound separately or together with the brief, shall appear the title of the case and the names, addresses and telephone numbers of the attorneys for the parties and the index number in the court of original instance. (See paragraph [a][5]of this section.)

(4) Each appendix shall contain an index of its contents conforming to the extent feasible to the form of index prescribed by subparagraph (b)(1)(i) of this section.

(d) Briefs, what to contain.

(1) Generally.

(i) Except by permission of the court, principal briefs shall not exceed 70 pages or 14,000 words. The calculation of the length of a brief shall not include pages containing the table of contents, tables of citations and any authorized addendum containing statutes, rules, regulations, etc. A word count calculation shall include all printed text on each page of the body of the brief. Except by permission of the court, reply briefs shall not exceed 35 pages or 7,000 words. An application for permission to file an oversize brief shall be by letter that demonstrates with specificity good cause for the oversize submission and asserts that the brief has been edited for conciseness and to eliminate repetition. A copy of the proposed brief shall be submitted with the letter.

(ii) The name of counsel who is to argue or submit the appeal must appear at the upper right hand corner of the cover of all briefs regardless by whom filed. Only one counsel shall be listed except when the court shall otherwise order (see section 600.11[f][2] of this Part).

(iii) Unless authorized by the court, briefs to which are added or appended any matter, other than specifically authorized by this rule, shall not be accepted for filing. Bold face type shall not be used except in point headings or subheadings.

(iv) The opinion and findings, if any, of a hearing officer and the determination and decision of an administrative department, board or agency shall be appended to the main brief filed by such department, board or agency in any proceeding in which a printed, reproduced or typewritten record or appendix is dispensed with by statute or court order and the proceeding is permitted to be heard on the original papers.

(v) A brief prepared on a computer shall include at the end of the brief a printing specifications statement that specifies the processing system, typeface, point size and word count as calculated by the processing system used to prepare the brief.

(2) Appellant's brief. Each respondent shall file the same number of copies of respondent's brief as appellant is required to file, with proof of service on each appellant of the same number of copies as appellant has served. The brief of the appellant shall contain, in the following order:

(i) an index or table of contents including the titles of the points urged in the brief and a table of cases (alphabetically arranged), statutes and other authorities, indicating the pages of the brief where they are cited;

(ii) a concise statement, not exceeding two pages, of the questions involved without names, dates, amounts or particulars. Each question shall be numbered, set forth separately and followed immediately by the answer, if any, of the court from which the appeal is taken;

(iii) a concise statement of the nature of the case and of the facts which should be known to determine the questions involved, with supporting references to pages in the record or the appendix, including, if such be the case, a statement that proceedings on the judgment or order appealed from have been stayed pending a determination of the appeal. Such statement shall include, if such be the case, a statement that proceedings on the judgment or order appealed from have been stayed in whole or in part, by statute or order, pending a determination of the appeal, or that an application for a stay has been denied, giving the date of any order and the court in which the order granting or denying the stay was made;

(iv) the argument for the appellant, which shall be divided into points by appropriate headings distinctively printed;

(v) the statement required by CPLR 5531, as an addendum at the end of the brief;

(vi) the opinion upon which the judgment or order appealed from was based shall also be appended to the appellant's brief in any case in which the court has dispensed with a printed, reproduced or typewritten record or appendix and has permitted the appeal to be heard on the original papers; and

(vii) if the appeal is from an order involving alimony and counsel fees, the brief shall state the date of joinder of issue, if issue was joined, and whether the case has been noticed for trial.

(3) Respondent's brief. The brief of the respondent shall contain, in the following order:

(i) an index or a table of contents, including the titles of the points urged in the brief and a table of cases (alphabetically arranged), statutes and other authorities, indicating the pages of the brief where they are cited;

(ii) a counterstatement of the questions involved or of the nature and facts of the case, if the respondent disagrees with the statement of the appellant; and

(iii) the argument for the respondent, which shall be divided into points by appropriate headings distinctively printed.

(4) Appellant's reply brief. The reply brief of the appellant shall contain, in the following order:

(i) a table of contents and a table of cases (alphabetically arranged), statutes and other authorities, indicating the pages of the brief where they are cited; and

(ii) the reply for the appellant, without repetition of the arguments contained in the main brief, which shall be divided into points by appropriate headings distinctively printed.

(e) [Reserved]

(f) Each indorsement required by CPLR 2101(d) shall include an e-mail address.

N.Y. Comp. Codes R. & Regs. Tit. 22 § 600.10