Me. R. App. P. 8
Advisory Committee Note - November 2024
Two changes are made to Rule 8. First, subdivision (b), governing filing and service of the appendix, is replaced with a new procedure. The new procedure is intended to ensure that appendices substantially comply with the rules and to make the process for rejecting and replacing appendices quicker, more efficient, and less expensive, mostly by reducing the number of motions to enlarge the time to file documents that are completed at the last minute, removing the need for formal Court orders rejecting appendices, and removing the need to reprint documents that are filed on paper and then rejected.
The new procedure is based on the local rules of the United States Court of Appeals for the First Circuit. An appendix must be filed and served electronically (and served on paper to an unrepresented party who has not opted in to electronic service) by the due date. The Clerk of the Law Court will then review the appendix to ensure that it substantially complies with the applicable rules. If the Clerk rejects an appendix, the party filing the appendix must file a corrected version within 7 days. If the Clerk approves an appendix, the party must file and serve the required number of paper copies within 7 days after the Clerk's approval. The Clerk may relieve a party of the requirement to file the appendix electronically, and it is expected that the Clerk will do so for any unrepresented party who is unable to file an appendix electronically, such as incarcerated parties and parties who do not have access to computers or email.
Second, a new paragraph (4) is added to subdivision (k) to prescribe the method that parties must use to number the pages of the appendix in order to make navigation of the pdf version of an appendix easier. Rule 7A(g) is amended simultaneously in a corresponding manner, so that the methods of numbering the pages in the briefs and the appendix are identical. The November 2024 Advisory Committee Note to the amendment to Rule 7A(g) explains the reasons for the changes.
Subdivision (k) is also significantly reorganized, some minor changes are made to existing language, and titles for the paragraphs are added. Subdivision (k)(2) is amended to (1) clarify the option to produce a brief and appendix as a single document where the appendix consists of 20 pages or fewer; (2) prescribe the method of numbering the pages in a combined brief and appendix; and (3) clarify what provisions of subdivision (k) apply to an appendix that is combined with a brief.
Advisory Note - June 2018
When the Maine Rules of Appellate Procedure were initially redrafted in the process leading to the 2017 restyling, the specific requirement regarding inclusion of the transcript in the appendix was included in the draft of Rule 8(e)(6). As finally adopted, the restyled Rules, and specifically Rule 8(g)(4), barred inclusion of transcripts in the appendix, except where required by other Rules. The transcript requirement in Rule 8(e)(6) should have been removed to be consistent with the later drafted Rule 8(g)(4). Leaving the transcript requirement in Rule 8(e)(6) was a drafting oversight which is corrected with this amendment. Transcripts of proceedings on appeal must be prepared and included in the record on appeal as required by Rule 5(b)(2), but full transcripts of domestic relations, parentage, or child protection matters should not be included in the appendix.
Restyling Notes - June 2017
Despite its relatively explicit language, compliance with the requirements in Rule 8, by the bar and by unrepresented litigants, has been less than ideal. Repeated problems have been observed in (1) failure to include in the appendix documents that are required to be included by current Rule subdivisions 8(g) and 8(h); (2) failure to place documents included in the appendix in the order specified by current Rule subdivisions 8(c)(5) and 8(g); and (3) inclusion of duplicates of documents in the appendix, despite the explicit prohibition in current Rule 8(c)(4) that "[no] document shall appear in the appendix more than once."
To address these problems, Rule 8 is reorganized to place these explicit directions earlier and more prominently in the Rule. What were formerly Rule 8(g) and 8(h) are now Rule 8(d) and 8(e). In addition, practitioners may anticipate that the explicit directions in Rule 8 will be more rigorously enforced than in the past, with failure to comply with the Rule more likely to lead to a rejection of the appendix and a requirement that a new appendix be prepared or another sanction, including dismissal of the appeal, being imposed.
In addition to this reorganization and to minor editing to accomplish the objectives of restyling, Rule 8(g) is adopted to explicitly list items that may not be included in the appendix. The listed exclusions include any images of persons under 18 years of age, images of adults subject to guardianship or mental health commitment proceedings, and images that depict nudity or sexual or sexualized acts, and, except for child protective cases, any documents deemed confidential by statute or court order, except documents that are subject to the mandatory inclusion requirements of Rule 8(d) and 8(e). Because Rule 8(d) and 8(e) speak primarily to pleadings, docket entries, court orders, and the like, it would be rare for a document made confidential by statute or court order to be subject to mandatory inclusion in an appendix.
The exclusions also extend to transcripts or portions of transcripts, other than portions of transcripts included as mandatory items by Rule 8(d) and 8(e). The mandatory items have been expanded to include dialogue between the trial court and the parties that precedes a court ruling, order, or decision that is at issue on appeal. Any relevant portion of a transcript may, of course, be citied and, if particularly important, quoted in a party's brief. With filing of electronic copies of transcripts, transcripts are available for review by any Justice. All items excluded from the appendix, including print copies of transcripts, do remain part of the record and are available for Law Court review on appeal.
In other changes, the reference to "Family matters" in former Rule 8(h)(6), is expanded in restyled Rule 8(e)(6) to include domestic relations, parentage, and child protection matters. Further, the mandatory items that must be included in the appendix are expanded to include pre- or post-judgment motions that are at issue on appeal; wills, deeds, leases, trusts, or insurance policies that are at issue on appeal; and several items related to criminal appeals.
The listing of discretionary items that may be included in an appendix, if essential to the understanding of the issues on appeal, is clarified. Particularly, Rule 8(f)(1) is amended to require that copies of exhibits, including photographs, maps, charts, or diagrams that were presented in color to the trial court or administrative agency shall be reproduced in color by any means, such as scanning or color printing, that reproduces the exhibit in the appendix to appear as close as possible to the way the exhibit appears in the trial court record. This change should end past practice of including poor quality, copy machine reproduced black and white copies of color photos in the appendix.
[Advisory Notes to Rule 8 of former Maine Rules of Appellate Procedure]
Advisory Note - July 2012
Rule 8(f) is amended in two respects. First, the meaning of "page" is clarified. As the rule exists, there is confusion over whether the limit of "150 of pages printed on both sides" means 75 sheets of paper printed on both sides of the paper for a total of 150 numbered pages, or 150 sheets of paper printed on both sides of the paper, for a total of 300 numbered pages. The amendment clarifies that limit is for 150 sheets of paper printed on both sides of the paper, for a total of 300 numbered pages. A "page" is one side of the paper, and each side of the paper should be numbered.
Second, the rule now specifically permits what had been a common practice: attaching oversize exhibits and electronic storage media to the appendix. The Court encourages inclusion in the appendix of important maps, plans, and other oversize exhibits, as well as important electronic exhibits such as audio or video recordings. Like with paper exhibits, oversize or electronic exhibits should be included in the appendix only if they are important to an issue on appeal, and should be included in the table of contents.
Advisory Notes -July 1, 2010
Rule 8(b)(1) is changed to allow the parties to agree that the appendix will be filed later than the due date set by the rule. The court does not need the appendix until the appeal is ready for consideration on the briefs or for oral argument. If each appellee does not object to receiving the appendix closer to the date the appellee's brief is due, then there is no reason to require permission from, or even notice to, the Law Court to enlarge the time for the filing of the appendix. However, the appendix must be filed no later than the date that the appellee's brief is filed or is due to be filed, whichever occurs first. The appendix must be filed even if the appellee's brief is not filed by its due date.
Advisory Notes- August 1, 2009
Rule 8 is amended in several respects to clarify current practice regarding preparation and filing of the appendix. In Rule 8(a) and at other points references to the Department of Human Services are replaced with references to the State. State responsibility for preparation of the appendix in child protective actions is limited to those cases in which the State initiated the action. It does not apply to actions initiated by private parties in the Probate Courts.
Rule 8(b)(1) is amended to change the time for filing the appendix from the present 14 days before the appellee's brief is due to 14 days after the appellant's brief is due. The appellant's brief is due at a time certain, 56 days (8 weeks) after the filing of the record. This change makes the appendix due at a time certain, 70 days (10 weeks) after the filing of the record. The Court's schedule for filing briefs and appendices provided to each party in each case, will indicate specific dates for filing of the appellant's brief, the appendix, and the appellee's brief as a result of the changes adopted in this rules amendment order. If the time for filing the appellant's brief is extended, the time for filing the appendix will be similarly extended.
Rule 8(c)(3) is amended to clarify that documents that are not mandatory pursuant to Rules 8(g) and 8(h) should be placed in the appendix following the mandatory documents.
Rule 8(c)(5) is adopted to specify areas where, in the past, there has been a significant lack of compliance with the appendix rules and to caution that such lack of compliance, in the future, is more likely to invite sanctions. Sanctions may range from being required to redo the appendix in proper form to dismissal of the appeal. The areas in which there has been a significant lack of compliance with the rules in past practice include: failure to include within the appendix those documents designated as mandatory by Rules 8(g) and 8(h); failure to present the mandatory documents in the required order in the appendix; and excessive duplication of documents in the appendix despite the directive of Rule 8(c)(4) that duplication of documents should be avoided. After a document appears in the appendix once, future places where that document should appear should include only a one page cross-reference to the document at the point where it originally appears.
There has been a significant practice of filing appendices with documents organized in chronological order from the first documents that appear in the record to the most recent documents that appear in the record. This is improper under rules that have been in effect since 2001. All appendices should include documents in the following order: (1) a table of contents; (2) the trial court docket entries, including all docket entries if the matter was transferred from the District Court to the Superior Court or was subject to a venue transfer from one court to another court; (3) the judgment or judgments and court orders that will be addressed in the appeal, including the final judgment; (for example, if a ruling on a motion to suppress is subject to challenge, the court order addressing the motion to suppress must be included and also the final judgment must be included), (4) the charging document or complaint which initiated the action and, if the complaint was amended, a copy of the amended complaint that served as the basis for the judgment. Following these documents should be any documents that are mandatory pursuant to Rule 8(h).
Rule 8(e) is amended to clarify that an appellant is entitled to request that an appellee pay for part of the cost of preparing an appendix only if the documents that the appellee seeks to include, and that the appellant believes are unnecessary, are not mandatory documents.
Rule 8(f) is amended, in a manner similar to a recent rules amendment adopted by the First Circuit Court of Appeals, to require that the appendix be printed on both sides of each page. With this change, the size of the appendix is limited to one volume not exceeding 150 pages printed on both sides, unless the Court approves a larger number of pages. The actual amount of printed material that may appear in the appendix (presently 300 pages of printing) is not changed, because printing may now appear on both sides of 150 pages. The amendment also clarifies that use of staples is not appropriate for binding an appendix.
Rule 8(g)(3) is amended to clarify that in the appendix, following the docket entries, each trial court judgment, order, or decision that will be addressed in the appeal, including the final judgment, must appear.
Rule 8(h)(2) is amended to add a requirement that for appeals from municipal agency decisions, the appendix must include a copy of those sections of the municipal ordinance authorizing the action of the municipal agency from which the appeal is taken. Entire volumes of municipal ordinances should not be included. Only those sections of the ordinance related to the issues on appeal and the municipal agency's authority to act on the matter should be included. This is to assure that the Court has available the authorizing ordinance to determine, for example, whether the agency should have considered the matter de novo or as an appellate body, and whether the agency had jurisdiction to hear the matter presented to it.
Rule 8(h)(7) is amended to remove the requirement that the appellant file with the Court an additional copy of the transcript of any proceeding, beyond the copy that has already been provided to the court by the court reporter. As amended, Rule 8(h)(7) notes that the portions of transcripts included in the appendix should include only those limited and focused portions of the transcript that are necessary to a full understanding of the issues on appeal.
Advisory Notes - September 10, 2001
The amendment to subdivision (f) clarifies that printing shall only be on one side of each page.
The amendment changes in Rule 8(h)(7) are to remove the requirement that the appellant provide an original transcript to the Court. The original is separately filed by the court reporter pursuant to Rule 6(c). The appellant remains responsible for filing one complete copy of the transcript or transcripts. Unless the transcript is very brief, it should not be included in full in the appendix. The appendix should include only those limited and focused portions of the transcript that are necessary to a full understanding of the issues on appeal.
Advisory Notes - January 1, 2001
The rule regarding the appendix to the briefs is significantly rewritten and intended to change current practice. Thus, it is significantly different from M.R. Civ. P. 74C. Other than a brief reference to an appendix in M.R.U. Crim. P. 39B(a)(6), there is no counterpart provision in the current criminal rules. The terms of Rule 8 are self-explanatory. It makes significant change from current practice because of dissatisfaction with the current practice which frequently results in necessary materials not being in the appendix and thus available to the justices of the Law Court and in appendixes which, while lacking important materials, are sometimes disorganized and over-inclusive. Key features of the revised rule:
-- Makes certain contents mandatory and requires that those portions of the appendix that are mandatory for all cases appear in a certain order in the appendix.
-- Specifies that 8 copies of the appendix are to be prepared and filed, such that one copy will be available to each justice.
-- Changes the time for filing the appendix to 14 days before the date which the appellee's brief is due to be filed. This is later than the current practice which requires filing contemporaneously with the appellant's brief. For Department of Human Services Child Protective cases, the appendix must be filed 14 days before the appellant's brief is due. This difference reflects a request by the Attorney General's Office and recognizes the differing nature of child protective cases, where DHS, as the appellee, must prepare the appendix.
-- Limits the length of the appendix to 150 pages for each volume and no more than 2 volumes (i.e. 300 pages) without prior approval of the Law Court).
-- Authorizes a separate supplement of legal authorities which does not count towards the appendix page limit.
The rule continues the present practice under M.R. Civ. P. 74C(f) which allows hearing on the original record without the necessity of an appendix where the Law Court allows such on demonstration of good cause. This provision, in subdivision (k) of Rule 8, applies to both criminal and civil cases.