What is the Difference Between the Record on Appeal and an Appendix?

What is the Difference Between the Record on Appeal and an Appendix?

March 7, 2019

The terms, 'record on appeal' and 'appendix'  are often used interchangeably to refer to court filings, produced documents, deposition transcripts, trial transcripts, and other documents which are filed with an appellate court along with an appellate brief. 

 

The full record on appeal contains both the evidence used by a court of original jurisdiction to issue a decision, the briefs and supporting exhibits for the motion on which the lower court issued a decision, and the decision itself.  The notice of appeal is also part of the record on appeal.   

 

The New York Civil Practice Law and Rules define an appendix as, "only such parts of the record on appeal as are necessary to consider the questions involved, including those parts the appellant reasonably assumes will be relied upon by the respondent".   N.Y. CPLR § 5528.   So an appendix would be a more focused excerpt of the record on appeal.   

 

In New York parties are also allowed to file a joint statement in lieu of the record in which they stipulate to certain facts.  The First and Second Judicial Departments of the Appellate Division of the New York State Supreme Court also allow the original record to be used, in which case a bound record is not filed with the appellate court. 

 

Rule 10 of the Federal Rules of Appellate Procedure specifies that the record on appeal constitutes the original papers and exhibits filed with the district court; transcripts of proceedings; and a certified copy of docket entries.   Rule 10 also gives the parties the option to file a statement of the case in place of the record on appeal.  Rule 30 of the Federal Rules of Appellate Procedure states that an appendix must contain:

 

    (A) the relevant docket entries in the proceeding below;

    (B) the relevant portions of the pleadings, charge, findings, or opinion;

    (C) the judgment, order, or decision in question; and

    (D) other parts of the record to which the parties wish to direct the court's attention.

 

Fed. R. App. P. 30(a)(1).  

 

Briefs filed with the district court are not to be included.  Parts of the record can be relied on even if they are not included in the appendix.  

 

 

 

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