A Typical Printed Record on Appeal in a Criminal Case
No. ___________ TWENTY-FOURTH DISTRICT
NORTH CAROLINA COURT OF APPEALS
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STATE OF NORTH CAROLINA | From Avery County [Case Number as it appears in Final Judgment] |
v. | |
[Defendant's Name as it appears in Final Judgment], Defendant. |
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PRINTED RECORD ON APPEAL
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INDEX
Organization of Trial Court ............................................ 1
Warrant [filed 30 April 2022] ......................................... 2
Indictment [filed 4 May 2022] ........................................ 2
Arraignment and Plea [dated 18 May 2022] .................. 2
Statement of Transcript Option ..................................... 3
Exhibit Log, trial............................................................. 4
Jury Instructions [given 1 December 2022] ................... 5
Omitted Jury Instruction ............................................... 5
Verdict Sheet [entered 1 December 2022] ...................... 5
Prior Record Level Worksheet [submitted 1 December 2022] ...................................................................... 5
Judgment and Order of Commitment [entered 2 December 2022] .................................................... 5
Notice of Appeal [filed 10 December 2022] .................... 6
Appeal Entries ................................................................ 6
Stipulations Settling Record on Appeal ......................... 8
Proposed Issues on Appeal ............................................. 9
Identification of Counsel for the Appeal ...................... 10
Certificate of Service of Proposed Record on Appeal ... 11
Certificate of Filing and Service of Settled Record on Appeal ................................................................. 12
Notes on Cover Page of Printed Record on Appeal:
The case number ("No.") in the top left-hand corner is left blank. See N.C. R. App. P. Appendix B. The Clerk's office will assign a number when the record is filed, and it will appear in the printed record on appeal.o In some circumstances, one or both parties will have filed a motion (e.g., for extension of time) or a petition (e.g., for writ of supersedeas) before the record on appeal has been filed. In those situations, the Clerk's office will have assigned a temporary case number, designated with a "P" (e.g., "COA 09 -P100").
o This "P number" will not correspond to the docket number later assigned to the appeal.
o Many "P number" documents should be included in the subsequently filed record on appeal under Rule 9, including orders extending time and orders disposing of a petition for writ of supersedeas or certiorari.
The Judicial District from which the case arises should be listed in the top right corner. See N.C. R. App. P. Appendix B. Note that the Judicial Districts were realigned in 2019. The proper Judicial District can be retrieved here. To the right of the parties' names should appear the county from which the case comes and the indictment or docket numbers of the case below. The county name stays on all subsequent documents, but after the case is assigned its own case number by the appellate court, the trial docket number is dropped from subsequent filings. See N.C. R. App. P. Appendix B. Any new typed material within the Printed Record (e.g., Statement of Organization of the Trial Court") "should be single-spaced, with double spaces between paragraphs." N.C. R. App. P. Appendix B. Comparatively, the body of the notice of appeal, appellate petitions, motions, briefs, and responses should be double spaced. Id. Generally, margins for the non-index pages in the record on appeal are 1-inch all around. See N.C. R. App. P. Rule 26(g)(1). Any new typed material should be single-spaced. See N.C. R. App. P. Appendix B. Index entries, on the other hand, are indented 0.75-inch from both standard 1-inch margins (or, put another way, the index line has margins of 1.75 inches from each side, yielding a 5-inch line in the middle). See N.C. R. App. P. Appendix B. Though not required, it is helpful to the appellate courts to provide additional explanatory material in the index entries (e.g., date of filing or entry). One way to include such explanatory information is to present the added material in brackets, as shown in the sample index above.ORGANIZATION OF TRIAL COURT
This case came on for trial before the Honorable Julie Smith at the 30 November 2022 session of Criminal Superior Court of Avery County. Mr. Doe was tried by jury on one count of first-degree murder and one count of discharging a firearm in city limits. The jury convicted Mr. Doe of both charges. The trial court consolidated the charges and sentenced Mr. Doe to a sentence of life in prison without parole on 2 December 2022. Mr. Doe filed and served written notice of appeal on 3 December 2022.
The record on appeal was filed in the Court of Appeals on [dated e-filed].
Notes on Statement of Organization of Trial Court:
The statement of organization of trial court should be marked page "- 1 . No "inside caption"-that is, a repeat of the case number, court information, and party names- is required for the record on appeal. The Statement of Organization of Trial Court is prescribed by Rule 9(a)(3)(b), which states "[t]he printed record in criminal actions shall contain . . . a statement identifying the judge from whose judgment or order appeal is taken, the session at which the judgment or order was rendered, or if rendered out of session, the time and place of rendition, and the party appealing." To find the session of court from which you are appealing, consult the cover page of the trial transcript and the introductory paragraph of the order being appealed, which often include such information.[Copy of warrant]
[Copy of indictment]
Note on Warrants and Indictments:
Rule 9(a)(3)(c) states that "[t]he printed record in criminal actions shall contain . . . copies of all warrants, informations, presentments, and indictments upon which the case has been tried in any court."[Copy of arraignment and plea]
STATEMENT OF TRANSCRIPT OPTION
Per Rules 7(b) and 9(c) of the North Carolina Rules of Appellate Procedure, the transcript of the entire proceedings in this case, taken by Jane Doe, Court Reporter, from 29 November 2018 through 1 December 2018, consisting of 199 pages, numbered 1-199, bound in one volume, will be electronically filed by Jane Doe promptly once a docket number is assigned to this appeal.
Testimonial evidence contained in the transcripts designated above shall be presented in the transcript of trial in lieu of narrating the evidence and other trial proceedings as permitted by Rule 9(c)(1). The verbatim transcript pages designated above shall also be used to present voir dire, statements and events at evidentiary and non-evidentiary hearings, or other trial proceedings.
Also considered part of the record on appeal are all exhibits offered or admitted into evidence, as well as any exhibits of the court.
Notes on Statement of Transcript Option:
Under Rule 9(a)(1)(e), the appellant has the option of setting forth a narration of the proceedings below, per Rule 9(c)(1), or submitting a verbatim transcript of those proceedings, per Rule 9(c)(2).o The narration option might be selected if a verbatim transcript cannot be produced and such evidence is necessary to the appeal. Narration involves producing a written summary of such evidence, which is then placed directly in the record. If the parties cannot agree on the content of the narration, the trial judge can settle the narration under Rule 11(c) upon timely request for judicial settlement.
o If a verbatim transcript is used instead, the transcript is not included in the printed record. Rather, the printed record must include a statement explaining that a verbatim transcript will be filed separately. See N.C. R. App. P. 9(a)(1)(e).
For criminal cases in which there is no order establishing the indigency of the defendant, the defendant must contract for the transcription of the proceedings as in civil cases. N.C. R. App. P. 7(a)(2). See above, Section II (Transcript Contract and Documentation), for more information regarding the requirements and process for ordering transcripts. Notably, when indigency has been established in a criminal matter, the indigent party is entitled to have the clerk of the trial court order the transcript of the proceedings on the party's behalf. N.C. R. App. P. 7(c).[Copy of applicable Exhibit Log(s)]
Notes on Exhibit Logs:
Include a copy of all trial court "Exhibits/Evidence Log" forms that are relevant to the appeal. The blank form (No. AOC-G-150) can be found here. For example, if the issues on appeal arise from a pretrial motion to suppress hearing as well as issues arising from trial, then include a copy of both the "Exhibits Log, motion hearing" and "Exhibits Log, trial."[If relevant to the appeal, include a copy of the transcript of the jury charge given and a copy of any instruction proposed but omitted]
Notes on Jury Instructions:
Rule 9(a) imposes additional requirements when the appellant seeks to challenge the giving or omission of instructions to the jury. In such appeals, the appellant must include "a transcript of the entire charge given; and identification of the omitted instruction by setting out the requested instruction or its substance in the printed record immediately following the instruction given." N.C. R. App. P. 9(a)(3)(f). When the trial court issues a different instruction than the omitted instruction requested, it may be useful to recapitulate the actual instruction given (after the "entire charge" but before the presentation of the omitted instruction) for ease of comparison. That is, the record would present, in order:o The entire jury charge;
o The particular instruction challenged; and, if applicable,
o The particular instruction requested but omitted.
[Copy of jury's verdict sheet]
[Copy of post-verdict motions and rulings, if any and if relevant to the appeal]
[Copy of the prior record level worksheet]
[Copy of the judgment]
[Copy of Notice of Appeal or Transcript of Oral Notice]
Notes on the Notice of Appeal:
"An appeal of right from a judgment of a superior court by any person who has been convicted of murder in the first degree and sentenced to death shall be filed in the Supreme Court. In all other criminal cases, appeal shall be filed in the Court of Appeals." N.C. R. App. P. 4(d). "Any party entitled by law to appeal from a judgment or order of a superior or district court rendered in a criminal action may take appeal by" either "giving oral notice of appeal at trial" or "filing a notice of appeal with the clerk of superior court and serving copies thereof upon all adverse parties within fourteen days after entry of the judgment or order or within fourteen days after a ruling on a motion for appropriate relief made during the fourteen-day period following entry of the judgment or order." N.C. R. App. P. 4(a).o If a party orally notices his or her appeal, then include here a copy of the relevant transcript pages documenting such oral notice.
Note that criminal appeals from district court to superior court are governed by sections 15A-1431 and -1432 of the North Carolina General Statutes. N.C. R. App. P. 4(a)(2). For appeals of right from the Court of Appeals to the Supreme Court, the Notice of Appeal is filed both with the Clerk of the Court of Appeals and with the Clerk of the Supreme Court. N.C. R. App. P. 14(a). "Service of copies of the notice of appeal may be made as provided in Rule 26." N.C. R. App. P. 4(c).[Copy of the Appeal Entries Form]
Note on the Appeal Entries Form:
The Appeal Entries form (sometimes called "appellate entries") is a printed form (AOC-CR-350), which is available at https://www.nccourts.gov/documents/forms/appellate-entries.[Copy of the Appointment of Appellate Counsel, if applicable]
[If applicable, a copy of any order entered at the trial court level extending time to produce the transcript(s) or serve the proposed record on appeal]
[If applicable, a copy of any order from the appellate court extending time to file the proposed record on appeal, etc.]
Notes on Extensions of Time:
Extensions of time relating to the transcript or the record on appeal may be included here, because they relate to the "time limits relative to the perfecting of the appeal." N.C. R. App. P. 9(a)(1)(i), 9(a)(2)(h), 9(a)(3)(h). Alternatively, the parties may set forth the relevant dates and extensions and stipulate that documents were timely filed and served. The idea is to demonstrate compliance with the time limits of the Rules by showing appropriate extensions of time at the trial court and, if necessary, the appellate division, at this point in the printed record.STIPULATIONS SETTLING RECORD ON APPEAL
Counsel for the Defendant-Appellant and the State stipulate as follows:
This _____day of ______________, 2023.
For the Defendant-Appellant:
_____________________
[Name of Counsel]
For the State:
_____________________
[Name of Counsel]
Notes on Stipulation of Service and Settlement of Record:
Stipulations are useful for explaining how the record was settled and why parties are filing certain items separately from the record, and both show compliance with the Rules and allow clear identification of the status of material transmitted to the appellate court. For example, items are now placed in the Rule 11(c) Supplement because all parties do not agree to their inclusion in the record. The record should readily identify those items. The simplest and clearest way to do that is through a stipulation of settlement of the record. If the parties can stipulate to the contents of the record, you may avoid the inclusion of a certificate showing the service of the proposed record. It is sensible and conventional, however, to recite the dates of serving the proposed record and later actions leading to the settlement of the record, so the appellate court can calculate compliance with the time limits. Rule 11 describes five different methods for settling the record and the time limits for those methods. You should demonstrate in the stipulations page the settlement method you used. Note that if neither party requests judicial settlement, the record is automatically deemed settled upon expiration of the ten-day period. N.C. R. App. P. 11(c). The stipulations page also gives the parties an opportunity to memorialize aspects of their agreement as to the construction of the record and to explain the same to the appellate court. For example, the parties may elect to omit duplicative copies of documents that appeared as attachments to multiple pleadings in the record. In such instance, the parties may include a stipulation to explain that slip sheets will appear instead of the duplicative copies (see below for example). Likewise, the parties may agree that exhibits should be cited in a certain format and include a stipulation to that effect. Whether the record is settled by agreement or by judicial settlement, the appellant must file the record with the appellate court within 15 days of settlement. N.C. R. App. P. 12(a). As of 1 January 2019, the appellant is only required to file one copy of any Rule 9(d) documentary exhibits rather than three copies as previously required.PROPOSED ISSUES ON APPEAL
Notes on Proposed Issues on Appeal:
The 2009 amendments abolished the former practice of "assigning error" to limit the scope of the appeal. In place of such assignments of error, the appellant (and, if necessary, the appellee) now need only present "proposed issues on appeal" in the record. Rule 10 explains that the proposed issues on appeal "are to facilitate the preparation of the record on appeal and shall not limit the scope of the issues presented on appeal in an appellant's brief." N.C. R. App. P. 10(b). Unlike assignments of error, a proposed issue on appeal need not state the "legal basis" for the error and is not binding on appeal. Nevertheless, it remains the best practice to identify and challenge here any findings of fact that underlie a conclusion of law that the appellant has listed as a proposed issue.IDENTIFICATION OF COUNSEL FOR THE APPEAL
For the Defendant-Appellant: | [LAW FIRM NAME, if any, and only if counsel is retained and not appointed] [Name of Counsel] [Counsel's bar number] [Counsel's telephone number] [Counsel's email address] [Name of Co-Counsel, if applicable] [Co-Counsel's bar number] [Co-Counsel's telephone number] [Co-Counsel's email address] [Firm Address] |
For the State: | [Name of Assistant District Attorney] [Counsel's bar number] [Counsel's telephone number] [Counsel's email address] [Name of Current Attorney General] Attorney General [Attorney General's bar number] (919) 716-6400 [Attorney General's email address] P.O. Box 629 Raleigh, NC 27602-0629 |
Note on Identification of Counsel for the Appeal:
Rule 9(b)(4) and Appendix B require that the record identify the names, office addresses, telephone numbers, State Bar numbers, and e-mail addresses of counsel of record for all parties to the appeal.CERTIFICATE OF SERVICE
I hereby certify that the foregoing Proposed Record on Appeal has been duly served by e-mail, properly addressed, as follows:
[Name and e-mail address of Counsel for the State]
This the 7th day of February, 2023.
[LAW FIRM NAME]
By: Electronically submitted
_________________________________
[Attorney 1's Name (N.C. State Bar No.: #####)]
Attorney1@email.com
N.C. R. App. P. 33(b) Certification: I certify that all of the attorneys listed below have authorized me to list their names on this document as if they had personally signed it.
[Attorney 2's Name (N.C. State Bar No. #####)]
Attorney2@email.com
P.O. Box 12345
Raleigh, N.C. 27622
(919) 999-9999
Attorneys for Defendant-Appellant
No. ___________ TWENTY-FOURTH DISTRICT
NORTH CAROLINA COURT OF APPEALS
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STATE OF NORTH CAROLINA | From Avery County [Case Number as it appears in Final Judgment] |
v. | |
[Defendant's Name as it appears in Final Judgment], Defendant. |
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CERTIFICATE OF FILING AND SERVICE OF SETTLED RECORD ON APPEAL
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I hereby certify that the Settled Record on Appeal has been filed by sending it first-class mail to the following:
Mr. Daniel Horne
Clerk of Court, North Carolina Court of Appeals
P.O. Box 2779
Raleigh, NC 27602
I hereby certify that a copy of the Settled Record on Appeal has been served on the State by sending it through first-class mail to the following counsel:
[Name of Counsel for the State]
[Mailing Address of Counsel for the State]
This the ____ day of ____________, 2023.
[LAW FIRM NAME]
By: Electronically submitted
[Attorney 1's Name (N.C. State Bar No.: #####)]
Attorney1@email.com
N.C. R. App. P. 33(b) Certification: I certify that all of the attorneys listed below have authorized me to list their names on this document as if they had personally signed it.
[Attorney 2's Name (N.C. State Bar No. #####)]
Attorney2@email.com
P.O. Box 12345
Raleigh, N.C. 27622
(919) 999-9999
Attorneys for Defendant-Appellant
Note on Filing and Serving Papers:
Rule 26 describes the process of filing and serving papers in the Appellate Division. There are strict deadlines to be met in filing the record on appeal and in filing and serving briefs and other papers. Due to the varieties of deadlines and service methods, practitioners should consult Rule 26.