Free How to Appeal Your Civil Case - Federal


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UN ITED STA TES CO UR T O F A PPEA LS FO R T HE SEC ON D C IRC UIT

HOW TO APPEAL YOUR CIVIL CASE
FILING YOUR NOTICE OF APPEAL. Appeal From a District Court. The Notice of Appeal must be filed in the district court within 30 days from the entry of the order or judgment of the district court which you are appealing. If the U.S. government is a party, the Notice of Appeal must be filed within 60 days of entry of the order or judgment you are appealing. If a timely Notice of Appeal has been filed by one party in a case, any other party may file a Notice of Appeal within 14 days after the first Notice of Appeal is filed, or within the time previously stated, whichever is later. Appeal From the Tax Court or Petition for Review of an Order of a U.S. Government Agency. If you are appealing a decision of the U.S. Tax Court or seeking review of, or to enforce an order of, a U.S. agency, follow the applicable statute governing the time for filing the Notice of Appeal or Petition for Review. NOTE THAT ALL PERSONS AND ENTITIES THAT WISH TO BE APPELLANTS SHOULD BE NAMED IN THE NOTICE OF APPEAL. PAYING YOUR DOCKET FEE. Appeal From a District Court. Pay the $250 docket fee, plus $5.00 processing fee, to the Clerk of the district court when you file the Notice of Appeal. Appeal From the Tax Court or Petition for Review of an Order of a U.S. Government Agency. Pay the $255 docket fee in the U.S. Tax Court, if you are appealing from an order of that court. If you are seeking review of an order of any other U.S. agency, the docket fee of $250 is paid in the Court of Appeals. If you do not pay the fee within ten days of filing the Notice of Appeal, your case may be dismissed by the Court of Appeals. If the appellant cannot afford to pay the fee, you must file a motion for "in forma pauperis" status (as a poor person) in the district court (or in this Court in an agency appeal). If this is denied, the motion may be filed in the Court of Appeals. The motion to this Court must be on the Court's motion information statement (see Motions, below), and have a proper financial affidavit attached. If you intend to move for in forma pauperis status, you must do so within ten days of filing the Notice of Appeal or within ten days notify the Court that you will make a motion for in forma pauperis status within 30 days of filing the Notice of Appeal.

THESE INSTRUCTIONS ARE ONLY A SUMMARY OF THE COURT OF APPEALS PROCEDURES. PLEASE
REFER TO THE FEDERAL RULES OF APPELLATE PROCEDURE, AS SUPPLEMENTED BY THE LOCAL

RULES OF THIS COURT,

FOR ANSWERS TO SPECIFIC QUESTIONS.

March 2004

ADMISSION TO PRACTICE BEFORE THE SECOND CIRCUIT Counsel of record and counsel who will argue the appeal must be admitted to the bar of this Court. For forms and information on admission to practice before this Court visit the Court' s website at www.ca2.uscourts.gov or contact the Court' s Admissions Clerk at (212) 857-8603. FILING PRE-ARGUMENT FORMS (Forms C or C-A, and D). Form C or C-A. Within 10 days after filing your Notice of Appeal, or your Petition for Review or Application for Enforcement, file an original and one copy of Form C (for an appeal from the district court or the Tax Court) or Form C-A (for an appeal from an agency) with the Clerk of the Court of Appeals and serve it on your adversary. The form cannot be mailed to the Court on the 10th day. It must be received in the Court of Appeals by the 10th day (See F. R.A.P. 26(a)). It is strongly recommended that you serve and file Form C or C-A at the same time you file your Notice of Appeal. These instructions also apply to cross-appeals. The requirement for filing the pre-argument statements (forms C or C-A and D) is waived in pro se cases. For the purpose of Court of Appeals procedures, pro se's are those parties who are proceeding without benefit of an attorney. An attorney or law school graduate (including a disbarred or suspended attorney) who is proceeding on his or her own behalf is not considered pro se for these purposes and must fully comply with the rules. Every question on Forms C and C-A should be answered, particularly where a narrative is requested. The name(s) of the appellant(s) and the complete name, address, and phone number of attorneys for each party must be provided. You should append to Form C as many additional pages as are necessary to fully complete the information requested. Form D. (Appeals from the district court only. ) Within 10 days after filing your Notice of Appeal in the district court, file one copy of Form D (transcript information) with the Clerk of the Court of Appeals, furnish two copies to the court reporter, and send one copy to counsel for the appellee(s). Arrange for the transcription of the stenographic record of the trial at the earliest possible moment, and clearly indicate on Form D what portions of the trial record are being ordered. In the rare circumstances in which transcripts are not being ordered or are not required, counsel must nonetheless file Form D and note thereon the status of transcripts and reasons, if any, for not ordering transcripts. PROVIDING COPIES OF JUDGMENTS, ORDERS, AND/OR DECISIONS At the time you file Form C or C-A, you must provide the Court of Appeals with: ∑ A copy of each judgment, order, and/or decision of the district court, or agency from which you seek review.

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A copy of each written or transcribed oral opinion rendered in the proceeding from which you seek review which addresses the issues on appeal.

FAILURE TO FULLY COMPLY WITH THE ABOVE PROCEDURES WILL RESULT IN UNNECESSARY DELAYS AND MAY RESULT IN THE DISMISSAL OF THE APPEAL WITHOUT FURTHER NOTICE OF THE COURT. SCHEDULING ORDER After you have filed the Notice of Appeal and Pre-Argument Statement Forms, the Court will issue a Scheduling Order. The Scheduling Order will tell you when to file the record on appeal (see definition below), and when to file the brief and appendix. It will also set forth when the appellee' s brief is due, and the earliest date on which the case may be scheduled for argument before the Court of Appeals. This scheduling order will not necessarily conform with the times set forth in the Federal Rules of Appellate Procedure (F.R.A.P.), Rules 17 and 31. See the Court' s Civil Appeals Management Plan located at www.ca2.uscourts.gov. PRE-ARGUMENT CONFERENCE In counseled cases (cases in which both parties are represented by attorneys, or where an attorney or law school graduate is proceeding pro se), a pre-argument conference may be scheduled with Staff Counsel of the Court of Appeals. The purpose of the conference is to consider the possibilities of settlement, to simplify the issues, to resolve procedural problems, or to discuss any matters which may aid in the expeditious disposition of the case. Attorneys are advised to consult the Civil Appeals Management Plan of the Second Circuit for a detailed and comprehensive explanation of the guidelines for the conduct of a preargument conference. In counseled cases filed in the District of Connecticut (excluding habeas corpus cases and cases in which the United States is a party), a private mediation program is available. For information about the Connecticut mediation program, contact the Director of the Office for Legal Affairs at 40 Foley Square, New York City, 212-857-8800. FILING THE RECORD, BRIEFS, AND APPENDIX 1. THE RECORD. The Scheduling Order will generally provide that the record on appeal be filed no later than 20 days after filing the Notice of Appeal. (The record on appeal consists of all of the documents of the lower court or agency, including transcripts.) However, in some cases the period may be shorter. If at the time the record is due March 2004 3

the transcript is still incomplete, a partial record must be timely filed and supplemented later when the transcript is complete. The attorney for the appellant is responsible for preparing an index to the record and filing it in the district court. The district court will forward the record to the Court of Appeals in accordance with the Court' s procedures. Generally, the Court will request that only the index be filed with the Court and the record be retained in the district court until needed, but this does not relieve the attorney of the requirement to timely prepare the record for transmittal. Receipt from the district court of a certified copy of the index will satisfy the requirement to file the record. In pro se cases, the district court will prepare and forward the record. The Court will not ordinarily grant motions to extend time to file the record. BRIEF AND APPENDIX. The Scheduling Order will generally provide for the appellant' s brief and appendix to be served and filed not later than 30 days after the date on which the record on appeal is due. Frequently, this time will be shortened when the scheduling order gives a longer period of time to file the record. The appellee' s brief is generally scheduled to be filed 30 days after the appellant' s brief is due. If a reply brief is filed (optional), it must be served and filed within 14 days after service of the appellee' s brief, but not less than 3 days before argument. The brief sets forth the legal argument of the case, and must comply with several rules set forth in F.R.A.P. Attorneys should familiarize themselves fully with these rules. Pursuant to Fed. R. App. P. , Rule 32, a principal (appellant or appellee) brief may not exceed 30 pages, and must not exceed 14,000 words, or if monospaced typeface is used either 14,000 words or 1,300 lines. The number of words or lines must be certified by the attorney or unrepresented party in a certificate of compliance. A reply brief of over 15 pages is limited to half of the type-volume permitted in the principal brief. Headings, footnotes and quotations count toward word and line limitations. The corporate disclosure statement, table of contents, table of citations, statement with respect to oral argument, any addendum containing statutes, rules or regulations, and any certificates of compliance do not count toward type-volume limitation. Motions for leave to file oversized briefs, to postpone the date on which briefs are required to be filed, or to alter the date on which argument is to be heard, must be made two weeks or more before the brief is due. (Second Circuit Local Rule 27 (g)). Briefs must be legible. Proportionally spaced typeface must be 14point or larger; monospaced typeface may not contain more than 10-1/2 characters per inch. [See F.R.A.P. 32.] Briefs in pamphlet size will be accepted in the Second Circuit. Text and footnotes must be in 12-point or larger type, with 2-point or more leading between the lines and 6-points between paragraphs (printers should be familiar with these standards). These briefs must be bound in volumes having pages 6c x 9ľinches, with at March 2004 4

2.

least a one-inch margin on all sides. Both sides of the page may be printed. Otherwise, the pamphlet sized brief must comply with Fed. R. App. P. 32. See Local Rule 32(a). The appellant's brief must also contain: (See F.R.A.P. 28) ∑ A table of contents, with page references ∑ A table of cases (alphabetically arranged), statutes and other authorities cited, with references to pages in the brief ∑ A preliminary statement of the name of the judge or agency member who rendered the decision and a citation of the reported opinion, if any (See Local Rule 28.) ∑ A statement of subject matter and appellate jurisdiction ∑ A statement of the issues presented ∑ A statement of the case ∑ A summary of the argument ∑ An argument ∑ A short conclusion stating the precise relief sought ∑ Proof of service ∑ Any brief over 30 pages (Reply briefs over 15 pages) must contain a Certificate of Compliance pursuant to F.R.A.P. 32, bound at the back of the brief. The appendix should contain those matters from the record on appeal which are cited in the briefs or required by the Court to be included, such as the relevant docket entries in the proceedings below; any relevant portions of the pleadings, charge, findings, or opinion; the judgment, order, or decision appealed from; and any other parts of the record to which the parties wish to direct the particular attention of the Court. F. R.A.P. Rule 30(a) outlines all the requirements for the contents. Nothing should be contained in the appendix which is not in the record on appeal. Also, the parties need to keep in mind that the entire record is available to the Court if needed, so reproduction of only those parts of the record necessary to illustrate the legal argument should be included in the appendix. The fact that parts of the record are not included in the appendix will not prevent the parties or the Court from relying on such parts. Appendices must be sequentially numbered [A-I . . .] and must contain a detailed index. Two-sided printing, the use of tabs and minuscript versions of the transcript are permitted. See Local Rule 32(b). Brief Cover Colors Appellant Appellee Reply Green Appendix Blue Red Gray Intervenor or Amicus Curiae White

Brief captions. The caption on the covers of the briefs and appendices must conform to this Court' s "official caption". If this Court' s official caption is March 2004 5

erroneous, it is the obligation of counsel to bring this to the attention of the Court promptly, but in no event later than seven days prior to the due date for the appellant' s brief. STRIKING BRIEFS OR OTHER DOCUMENTS NOT IN PROPER FORM. Briefs or other legal documents (motions, memoranda of law, etc.) which do NOT comply in form with the FRAP or Local Rules will be filed as " defective documents," and notice will be given to correct the form. (The most common defect is the lack of proof of service.) If the correction is timely made, the brief or other document will be considered timely if the original was timely filed. If the correction is not timely made, an order will be entered striking the brief or other document. A motion must then be made to file the corrected document out of time. 3. ORAL ARGUMENT.

YOUR NOTICE OF APPEARANCE MUST BE FILED WHEN THE APPELLANT'S BRIEF IS DUE. Failure to submit the form on time will be taken into consideration by the Court in deciding any motions you may make for adjournment. In the notice of appearance form, counsel must set forth dates of unavailability for oral argument. THEREAFTER, COUNSEL MUST ADVISE THE COURT PROMPTLY OF ANY CHANGE IN AVAILABILITY. The Scheduling Order provides that the appeal shall be ready for argument during a specified week; this is subject to change, but will not be earlier, unless a subsequent order expediting the appeal is entered. There is no guarantee that the appeal will be heard on or near this date. The fact that this date appears in the scheduling order does not mean that the case has been set for argument on that date. Calendaring your case: The attorney or pro se party will ordinarily be notified of a "firm date for argument" at least three weeks in advance of the date on which the case is calendared to be heard. The Clerk' s office sends these notices no later than the day after the presiding judge approves the calendar. On occasion, the time may be shorter than three weeks if, for example, the appeal has been expedited and an expedited scheduling order has issued. ONCE A CASE HAS BEEN ASSIGNED A " SET" DATE FOR ORAL ARGUMENT, ADJOURNMENTS ARE RARELY GRANTED. In preparing the calendar, the Court has already taken into account the dates the attorney or pro se party has indicated that he or she is unavailable. Once the case is on a " set" calendar, work has already been begun on the case in the chambers of all three judges. The Court is naturally reluctant to pass the case to three other judges who must duplicate the work already done, and to inconvenience other parties by substituting a different case at the last moment on short notice. The inconvenience of one party who has failed to notify the Court in advance of unavailability is outbalanced by the inconvenience and extra work placed not only on the judges who have already begun work on the case, and their law clerks, and clerk' s office staff, but also to other parties who have complied with the Court' s requirements and must be March 2004 6

substituted at the last moment. Obviously, a genuine emergency such as an unexpected hospitalization of counsel will be considered seriously by the Court. Even in such cases, however, the Court may decide the case on submission of the briefs if it determines that oral argument is not necessary to disposition. Appeals are heard by a three-judge panel of the Court. The names of the judges are not made public until noon on Thursday of the week before the panel sits. With rare exceptions, the Court sits every weekday, except holidays and except during July and August, when the Court sits only one or two weeks each month. The Court also is generally, but not always, adjourned during the last week or two of December. Oral arguments are heard starting at 10:00 a.m. and continue until completion, some time between noon and 1:00 p.m. Arguments are generally limited to ten minutes or less per side, except in complex or multi-party cases. The Court hears arguments in the 17th Floor Courtroom, entrance through room 1705, at 40 Foley Square, New York City. Several times a year two panels sit simultaneously; the place of sitting for the second panel will be the 15th floor courtroom, Room 1505. EXHIBITS Rule ß11 of the Local Rules covers the filing of exhibits in the Court of Appeals, and counsel must comply with this rule. The Clerk of the district court must transmit the exhibits to the Court of Appeals after certifying them as part of the record. Tender of loose copies of exhibits will be refused. SEALING DOCUMENTS On rare occasions, documents will be placed "under seal" so that they are not available for public view. Any papers which have been sealed in the district court will remain under seal in the Court of Appeals if received as part of the record. If the district court has not sealed documents, they will not be sealed in the Court of Appeals without a court order. A party wishing to file papers under seal with the Court of Appeals must make a formal motion requesting that the papers submitted be placed under seal. Informal requests to seal documents will not be entertained. All papers submitted to the Court pursuant to a sealing order must be submitted in a sealed envelope, marked SEALED, with a copy of the order placing the documents under seal annexed thereto. MOTIONS All requests to the Court (for example, extensions of time to file the brief), must be made in the form of a MOTION. The Court requests that motions be accompanied by a T-1080 Motion Information Statement. The motion must be accompanied by an affidavit or attorney' s affirmation (containing factual information only). The moving party must indicate on either the T-1080 form or on the face page of the motion papers whether consent for the relief requested has been sought or obtained, and whether oral argument on the motion is desired. If the moving party seeks substantive relief from a lower court opinion or agency decision, a copy of the opinion or decision must be attached as a separately identified exhibit. An original plus four (total five) copies of all motions must be submitted, accompanied by proof of service on all other parties to the action. (Counsel is expected to be familiar with Local Rule 27 governing motions to this Court.) March 2004 7

Substantive motions requiring oral argument are heard on Tuesdays when the Court is in session, as scheduled by the Court. The motion and all supporting papers must be filed not later than the Monday of the week preceding the date when hearing is desired (8 days in advance of the date it is requested to be heard). If the adverse party is served in person, such service must be made by the Thursday preceding the required filing date (12 days in advance of the date it is requested to be heard). If service is by mail, the motion must be mailed by the Monday preceding the required filing date (15 days in advance of the date requested to be heard). Any papers in response from the adverse party must be served and filed within 7 days of personal service or 10 days of service by mail of the original motion, but in any event not later than noon on the Thursday of the week prior to the Tuesday for which the motion is noticed (5 days in advance of the date requested to be heard). If at all possible, responsive papers should be filed earlier than the Thursday noon deadline so as to allow adequate time for review by the Court. The original and at least four copies (total, five) must be submitted for filing. It should be noted that the date for hearing will be scheduled by the Court, and may not be scheduled on the date requested, but on a date more convenient for the business of the Court. Any motion which is a genuine emergency should be so labeled. Procedural motions (for example, an extension of time to file a brief, or permission to file an oversized brief), will not be placed on a motions calendar and need not be noticed for a particular date. Because responsive papers are normally not filed in opposition to procedural motions, the Court does not wait for such papers. If you choose to respond, therefore, you should do so promptly. By standing order of the Court, certain procedural motions are determined by the Clerk or a staff attorney or staff counsel or deputy clerk acting under the Clerk' s authority. Other procedural motions are referred to the weekly applications judge. Once a case is assigned a date for oral argument, all motions, including procedural motions, will be referred to the panel that will hear the appeal. To maintain the anonymity of the panel, however, any motions decided by the panel will be signed by the Clerk or a deputy clerk, without indication of the names of the panel. ALL ORDERS OF THIS COURT, AS WITH ALL FEDERAL COURTS OF APPEAL, ARE SIGNED BY THE CLERK OR CLERK' S REPRESENTATIVE " FOR THE COURT." Except for orders on those procedural motions delegated to the Clerk for determination (which may be appealed to a Judge), these orders have been decided by a judge or panel of judges, who then direct the Clerk to sign on behalf of the Court.

PROOF OF SERVICE Papers filed in the Court of Appeals must be served on (delivered to) the other parties in the case. All such papers presented for filing in the Court of Appeals (briefs, motions, etc.), must contain a signed acknowledgment of service by the person(s) served, or proof March 2004 8

of service in the form of a sworn statement of the date and manner of service and the names of the person(s) served and the address to which it was served. This statement must be certified by the person who made service. Proof of service may appear on or be affixed to the papers filed. Service may be made by mail. PETITION FOR REHEARING After a final order or judgment of the Court of Appeals, parties who wish to apply for a rehearing must file a petition for panel rehearing and/or a petition for rehearing en banc within 14 days after entry of judgment, or, if the United States or an agency or officer thereof is a party, the petition must be filed within 45 days after entry of judgment. The timely filing of a petition for panel or en banc rehearing will stay the mandate until disposition of the petition unless otherwise ordered by the Court. If the petition is denied, the mandate shall issue 7 days after the entry of the order denying the petition, unless the time is shortened or enlarged by order. ISSUANCE OF MANDATE The mandate terminates the Court of Appeals' jurisdiction over a case and, when there is a remand, transfers jurisdiction back to the originating court. The mandate will issue 7 days after the expiration of time for filing a petition for rehearing unless such petition is filed or the time is shortened or enlarged by order. The timely filing of a petition for panel or en banc rehearing will stay the mandate until disposition of the petition unless otherwise ordered by the Court. Appeals which are terminated on motions are ordinarily mandated forthwith. The physical mandate is a copy of the order or judgment which terminates the case, with the words " Issued as Mandate" thereon. (There is no separate document.) Copies of the mandate can be obtained only from the originating court, to whom the original has been sent. PETITION FOR WRIT OF CERTIORARI TO THE U.S. SUPREME COURT A party seeking review of a Court of Appeals order by the U.S. Supreme Court has 90 days from the date of the entry of judgment, or if a petition for rehearing was timely filed, from the denial of the petition for rehearing, to file a petition for writ of certiorari with the U.S. Supreme Court. A stay of the mandate, pending application to the Supreme Court for a writ of certiorari, may be granted if a motion is made to the Court of Appeals with reasonable notice to all the parties. The U.S. Supreme Court grants only about 110 writs of certiorari per year from the entire country, an average of between 7 and 14 from this Court. APPEALS CLERKS IN THE DISTRICT COURTS An Appeals Clerk has been appointed in each District Court Clerk' s office to assist anyone who may have questions in connection with the filing of papers to perfect an appeal. These clerks can be contacted at the following numbers/locations: Connecticut Bridgeport, CT Hartford, CT New Haven, CT (203) 579-5863 (860) 240-3200 (203) 773-2140

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Northern District

Albany, New York Binghamton, New York Utica, New York Syracuse, New York

(518) 257-1802 (607) 773-2893 (315) 793-8152 (315) 234-8502

Eastern District

Brooklyn, New York (718) 260-2310 Central Islip (631) 712-6030 New York, New York White Plains, New York Buffalo, New York Rochester, New York Burlington, VT (212) 805-0636 (914) 390-4002 (716) 551-4211 (716) 263-6263 (802) 951-6394

Southern District

Western District

Vermont

If you have any questions regarding appellate procedure in the Second Circuit, please contact this office or the Appeals Clerk in the appropriate District Court. If you have a case before this Court, you should speak with your Case Manager. Set forth below are the primary telephone numbers for Second Circuit Appeals Management Teams. Civil Appeal . . . . . . . . 857-8576 Criminal Appeals . 857-8515 Pro Se Appeals . . . 857-8550 Intake . . . . . . . . . 857-8500

Prisoner Appeals . . . . . . 857-8551 Prisoner Civil Rights . . . 857-8551 Agency Appeals . . . . . . 857-8544

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UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT
THURGOOD MARSHALL UNITED STATES COURTHOUSE 40 FOLEY SQUARE NEW YORK, NY 10007 212-857-8500
DENNIS G. JACOBS CHIEF JUDGE CATHERINE O'HAGAN W OLFE CLERK OF COURT

ACKNOWLEDGMENT AND NOTICE OF APPEARANCE INSTRUCTIONS The Acknowledgment and Notice of Appearance form requires counsel to provide contact information, any required corrections to the caption, a review of the parties' appellate designations, and information regarding any related cases before this Court. Counsel must also certify that they have been admitted to this Court and have complied with all rules regarding admission renewal or that they have applied for admission to this Court. In accordance with Interim Local Rule 12.1(a), this form must be completed and returned within 14 calendar days of receipt of the docketing notice. Each lead counsel of record or individual appearing pro se must complete this form. Any attorney acting as a substitution or amicus counsel or any attorney other than lead counsel of record wishing to enter the case must file a separate notice of appearance in the form provided on the court's website. Counsel of record must be admitted to the bar of this Court or be otherwise eligible to argue an appeal. The Court requires written pro h ac vice motions filed before filing the notice of appearance. Admission pro hac vice will be extended as a matter of course to a member of the bar of a district court within the circuit who has represented a criminal defendant at trial and continues representation on an appeal taken pursuant to the Criminal Justice Act. See Interim Local Rule 46.1. Counsel, however, are encouraged to apply for general admission to this Court as soon as they meet the qualifications. For information concerning attorney admissions and renewals, visit the court's website at www.ca2.uscourts.gov or contact Admissions in the Clerk's Office at 212-857-8603.

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ACKNOWLEDGMENT AND NOTICE OF APPEARANCE
Short Title: Lead Counsel of Record (name/firm): Appearance for (party/designation): DOCKET SHEET ACKNOWLEDGMENT/AMENDMENTS Lead Counsel's Contact Information is: ( ) Correct ( ) Incorrect or Incomplete, and should be amended as follows: Name: Firm: Address: Telephone: Email: Caption as indicated is: ( ) Correct ( ) Incorrect. See attached caption page with corrections. Appellate Designation is: ( ) Correct ( ) Incorrect. The following parties do not wish to participate in this appeal: Parties: ( ) Incorrect. Please change the following parties' designations: Party Correct Designation Docket No.:

Fax:

RELATED CASES ( ( ) This case has not been before this Court previously. ) This case has been before this Court previously. The short title, docket number, and citation are:

( ) Matters related to this appeal or involving the same issue have been or presently are before this Court. The short titles, docket numbers, and citations are:

CERTIFICATION I certify that ( admission on ) I am admitted to practice in this Court and, if required by Interim Local Rule 46.1(a)(2), have renewed my OR that ( ) I applied for admission on .

Signature of Lead Counsel of Record: Type or Print Name: OR Signature of pro se litigant: Type or Print Name: ( ) I am a pro se litigant who is not an attorney. ( ) I am an incarcerated pro se litigant.

United States Court of Appeals for the Second Circuit

NOTICE
Court personnel are not permitted to give you legal advice. Employees of the Court can help you with procedural questions, such as: What is the status of my motion? or How many copies of my brief must I file? Staff members are not available to review your case with you, or to explain what an order of the Court means. We will try to direct you to the appropriate Rules, but you must decide how to proceed.

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UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT CIVIL APPEAL PRE-ARGUMENT STATEMENT (FORM C)
1. SEE NOTICE ON REVERSE. Case Caption: 2. PLEASE TYPE OR PRINT. District Court or Agency: 3. STAPLE ALL ADDITIONAL PAGES Judge:

Date the Order or Judgment Appealed from was Entered on the Docket:

District Court Docket No.:

Date the Notice of Appeal was Filed:

Is this a Cross Appeal? 9 Yes 9 No

Attorney(s) for Appellant(s): 9 Plaintiff 9 Defendant

Counsel's Name:

Address:

Telephone No.:

Fax No.:

E-mail:

Attorney(s) for Appellee(s): 9 Plaintiff 9 Defendant

Counsel's Name:

Address:

Telephone No.:

Fax No.:

E-mail:

Has Transcript Been Prepared?

Approx. Number of Transcript Pages:

Number of Exhibits Appended to Transcript:

Has this matter been before this Circuit previously? If Yes, provide the following: Case Name: 2d Cir. Docket No.:

9 Yes

9 No

Reporter Citation: (i.e., F.3d or Fed. App.)

ADDENDUM "A": COUNSEL MUST ATTACH TO THIS FORM: (1) A BRIEF, BUT NOT PERFUNCTORY, DESCRIPTION OF THE NATURE OF THE ACTION; (2) THE RESULT BELOW; (3) A COPY OF THE NOTICE OF APPEAL AND A CURRENT COPY OF THE LOWER COURT DOCKET SHEET; AND (4) A COPY OF ALL RELEVANT OPINIONS/ORDERS FORMING THE BASIS FOR THIS APPEAL, INCLUDING TRANSCRIPTS OF ORDERS ISSUED FROM THE BENCH OR IN CHAMBERS. ADDENDUM "B": COUNSEL MUST ATTACH TO THIS FORM A LIST OF THE ISSUES PROPOSED TO BE RAISED ON APPEAL, AS WELL AS THE APPLICABLE APPELLATE STANDARD OF REVIEW FOR EACH PROPOSED ISSUE. PART A: JURISDICTION 1. Federal Jurisdiction 9 9 U.S. a party Federal question (U.S. not a party) 9 Diversity 9 Other (specify): 9 9 Final Decision Interlocutory Decision Appealable As of Right 2. Appellate Jurisdiction 9 Order Certified by District Judge (i.e., Fed. R. Civ. P. 54(b)) Other (specify):

9

IMPORTANT. COMPLETE AND SIGN REVERSE SIDE OF THIS FORM. FORM C (Rev. April 2006)

PART B: DISTRICT COURT DISPOSITION
1. Stage of Proceedings 9 9 9 Pre-trial During trial After trial 9 9 9 9 9 2. Type of Judgment/Order Appealed Default judgment Dismissal/jurisdiction Dismissal/merit Summary judgment Declaratory judgment 9 Judgment / Decision of the Court 9 Jury verdict 9 Judgment NOV 9 Directed verdict 9 Other (specify):

(Check as many as apply)
3. Relief 9 Damages: Sought: $ Granted: $ Denied: $ 9 Injunctions: 9 Preliminary 9 Permanent 9 Denied

PART C: NATURE OF SUIT (Check as many as apply)
1. Federal Statutes 9 Antitrust 9 Bankruptcy 9 Banks/Banking 9 Civil Rights 9 Commerce, 9 Energy 9 Commodities 9 Other (specify): 9 9 9 9 9 9 9 Communications Consumer Protection Copyright 9 Patent Trademark Election Soc. Security Environmental 9 9 9 9 9 9 Freedom of Information Act Immigration Labor OSHA Securities Tax 2. Torts 9 Admiralty/ Maritime 9 Assault / Defamation 9 FELA 9 Products Liability 9 Other (Specify): 3. Contracts 9 Admiralty/ Maritime 9 Arbitration 9 Commercial 9 Employment 9 Insurance 9 Negotiable Instruments 9 Other Specify 4. Prisoner Petitions 9 9 9 9 9 Civil Rights Habeas Corpus Mandamus Parole Vacate Sentence Other

5. Other 9 9 9 9 Forfeiture/Penalty Real Property Treaty (specify): Other (specify):

6. General 9 Arbitration 9 Attorney Disqualification 9 Class Action 9 Counsel Fees 9 Shareholder Derivative 9 Transfer

7. Will appeal raise constitutional issue(s)? 9 Yes 9 No Will appeal raise a matter of first impression? 9 Yes 9 No

1. Is any matter relative to this appeal still pending below?

9 Yes, specify:

9 No

2. To your knowledge, is there any case presently pending or about to be brought before this Court or another court or administrative agency which: (A) Arises from substantially the same case or controversy as this appeal? 9 Yes 9 No (B) Involves an issue that is substantially similar or related to an issue in this appeal? 9 Yes 9 No

If yes, state whether 9 "A," or 9 "B," or 9 both are applicable, and provide in the spaces below the following information on the other action(s):
Case Name: Docket No. Citation: Court or Agency:

Name of Appellant:

Date:

Signature of Counsel of Record :

NOTICE TO COUNSEL
Once you have filed your Notice of Appeal with the District Court or the Tax Court, you have only ten (10) calendar days in which to complete the following important steps: 1. 2. 3. Complete this Civil Appeal Pre-Argument Statement (Form C); serve it upon all parties, and file two copies with the Clerk of the Second Circuit. File two copies of the Court of Appeals Transcript Information/Civil Appeal Form (Form D) with the Clerk of the Second Circuit. Pay the $455 docketing fee to the Clerk of the United States District Court, unless you are authorized to prosecute the appeal without payment. PLEASE NOTE: IF YOU DO NOT COMPLY WITH THESE REQUIREMENTS WITHIN TEN (10) CALENDAR DAYS, YOUR APPEAL WILL BE DISMISSED. SEE THE CIVIL APPEALS MANAGEMENT PLAN OF THE UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT.

FORM C (Rev. April 2006)

NOTICE TO COUNSEL

The Civil Appeals M anagement Plan of the Court of Appeals for the Second Circuit direct s appellant to file Form C-A w ith the Clerk of the Court w ithin ten (1 0 ) days after filing the application for enforcement or petition for review .

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UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT AGENCY APPEAL PRE-ARGUMENT STATEMENT (FORM C-A)

9

APPLICATION FOR ENFORCEMENT
2. PLEASE TYPE OR PRINT. AGENCY NAME:

9

PETITION FOR REVIEW

1. SEE NOTICE ON REVERSE. CAPTION:

3. STAPLE ALL ADDITIONAL PAGES AGENCY NO.:

DATE THE ORDER UPON WHICH REVIEW OR ENFORCEMENT IS SOUGHT WAS ENTERED BELOW:

ALIEN NO : (Immigration Only)

DATE THE PETITION OR APPLICATION WAS FILED:

Is this a cross-petition for review / cross-application for enforcement? 9 YES 9 NO E-mail:

Contact Information for Petitione r(s) Attorney:

Counsel's Name:

Address:

Telephone No.:

Fax No.:

Contact Information for Resp onde nt(s) Attorney: JURISDICTION OF THE COURT OF APPEALS (provide U.S.C. title and section):

Counsel's Name:

Address:

Telephone No.:

Fax No.:

E-mail:

APPROX. NUMBER OF PAGES IN THE RECORD:

APPROX. NUMBER OF EXHIBITS IN THE RECORD:

Has this matter been before this Circuit previously? If Yes, provide the following: Case Name: 2d Cir. Docket No.:

9 Yes

9 No

Reporter Citation: (i.e., F.3d or Fed. App.)

ADDENDUM "A": COUNSEL MUST ATTACH TO THIS FORM: (1) A BRIEF, BUT NOT PERFUNCTORY, DESCRIPTION OF THE NATURE OF THE ACTION; (2) THE RESULT BELOW; AND (3) A COPY OF ALL RELEVANT OPINIONS/ORDERS FORMING THE BASIS FOR THIS PETITION FOR REVIEW OR APPLICATION FOR ENFORCEMENT. ADDENDUM "B": COUNSEL MUST ATTACH TO THIS FORM: (1) THE RELIEF REQUESTED; (2) A LIST OF THE PROPOSED ISSUES; AND (3) THE APPLICABLE APPELLATE STANDARD OF REVIEW FOR EACH PROPOSED ISSUE. PART A: STANDING AND VENUE STANDING PETITIONER / APPLICANT IS: VENUE COUNSEL MUST PROVIDE IN THE SPACE BELOW THE FACTS OR CIRCUMSTANCES UPON WHICH VENUE IS BASED:

9 9

AGENCY

9 OTHER PARTY

NON-PARTY (SPECIFY STANDING):

IMPORTANT. COMPLETE AND SIGN REVERSE SIDE OF THIS FORM. FORM C-A (Rev. April 2006)
Page 1 of 2

PART B: NATURE OF ORDER UPON WHICH REVIEW OR ENFORCEMENT IS SOUGHT (Check as many as apply) TYPE OF CASE: ADMINISTRATIVE REGULATION/ RULEMAKING BENEFITS REVIEW UNFAIR LABOR HEALTH & SAFETY COMMERCE ENERGY IMMIGRATION-includes denial of an asylum claim IMMIGRATION-does NOT include denial of an asylum claim TARIFFS OTHER: (SPECIFY)

1. Is any matter relative to this petition or application still pending below?

9 Yes, specify:

9 No

2. To your knowledge, is there any case presently pending or about to be brought before this Court or another court or administrative agency which: (A) Arises from substantially the same case or controversy as this petition or application ? 9 Yes 9 No (B) Involves an issue that is substantially similar or related to an issue in this petition or application ? 9 Yes 9 No

If yes, state whether 9 "A," or 9 "B," or 9 both are applicable, and provide in the spaces below the following information on the other action(s):
Case Name: Docket No. Citation: Court or Agency:

Name of Petitioner or Applicant:

Date:

Signature of Counsel of Record :

NOTICE TO COUNSEL
Once you hav e filed your Petition for Review or App lication for Enforcement, you have on ly ten (10) calendar da ys in which to comp lete the follow ing impo rtant step s: 1. 2. Co mplete this Agency A ppe al Pre -Argument Statem ent (Fo rm C-A); serve it upon your adve rsary, and file an o riginal and one cop y with the Clerk of the Seco nd C ircuit. Pay the $4 50 d ocketing fee to the C lerk of the Seco nd C ircuit, unless you are autho rized to pro secute the appeal without p ayment. PLEASE NOTE: IF YOU DO NOT C OM PLY W ITH THESE R EQUIREM ENTS W ITHIN TEN (10) CALEN DAR D AYS, YO UR PETIT ION F OR RE VIE W OR AP PL ICA TIO N F OR EN FO RC EM EN T W ILL BE DIS M ISSE D. SEE TH E CIV IL APPEALS MANAGEMENT PLAN OF THE UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT.

FORM C-A (Rev. April 2006)

Page 2 of 2

UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT CIVIL APPEAL TRANSCRIPT INFORMATION (FORM D)
NO TICE TO CO UN SEL: COUNSEL FOR THE APPELLANT M UST FILE AN ORIGINAL AND ONE COPY OF THIS FORM WITH THE CLERK OF THE SECOND CIRCUIT IN ALL CIVIL APPEALS WITHIN TEN (10) CALENDAR DAYS AFTER FILING A NOTICE O F APPEAL. THIS SECTION MUST BE COMPLETED BY COUNSEL FOR APPELLANT CASE TITLE DISTRICT JUDGE COURT REPORTER DOCKET NUMBER APPELLANT COUNSEL FOR APPELLANT

Check the applicable provision:

9 9

PROVIDE A DESCRIPTION, INCLUDING DATES, OF THE PROCEEDINGS FOR WHICH A TRANSCRIPT IS REQUIRED (i.e., oral argument, order from the bench, etc.)

I am ordering a transcript. I am not ordering a transcript Reason for not ordering a transcript:

9 9 9 9 9 9 9

Copy is already available No transcribed proceedings Other (Specify in the space below): METHOD OF PAYMENT

9 Funds

9

CJA Voucher (CJA 21)

INSTRUCTIONS TO COURT REPORTER: PREPARE TRANSCRIPT OF PRE-TRIAL PROCEEDINGS PREPARE TRANSCRIPT OF TRIAL PREPARE TRANSCRIPT OF OTHER POST-TRIAL PROCEEDINGS OTHER (Specify in the space below):

DELIVER TRANSCRIPT TO: (COUNSEL'S NAME, ADDRESS, TELEPHONE)

I certify that I have made satisfactory arrangements with the court reporter for payment of the cost of the transcript. See Fed. R. App. P. 10(b). I understand that unless I have already ordered the transcript, I shall order its preparation at the time required by the Civil Appeals Management Plan, the Fed. R. App. P., and the local rules.
COUNSEL'S SIGNATURE DATE

COURT REPORTER ACKNOWLEDGMENT: This section is to be completed by the court reporter. Return one copy to the Clerk of the Second Circuit.

DATE ORDER RECEIVED

ESTIMATED COMPLETION DATE

ESTIMATED NUMBER OF PAGES

SIGNATURE OF COURT REPORTED

DATE

FORM D (Rev. April 2005)

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UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT Thurgood Marshall U.S. Courthouse at Foley Square 40 Centre Street, New York, NY 10007 Telephone: 212-857-8500
MOTION INFORMATION STATEMENT Caption [use short title] Docket N umber(s):

M otion for:

Set forth belo w precise, co mple te statement of relief sough t:

M OV ING P AR TY: 9 Plaintiff 9 Appellant/Petitioner

OP PO SING PAR TY:

9 Defendant 9 Appellee/Respondent
OPPOSING ATTORNEY [Name]: [name of attorney, with firm , address, phone numb er and e-mail]

M OV ING A TTO RN EY: [name of attorney, with firm , address, phone numb er and e-mail]

Court-Jud ge/Agency appealed from: Please check appropriate boxes: Has consent of opposing counsel: A. been sought? B. been obtained? FOR EMERGENCY MOTIONS, MOTIONS FOR STAYS AND INJUNCTIONS PENDING APPEAL: Has request for relief been made below? 9 Yes 9 No

9 Yes 9 Yes

9 9

No No No

Has this relief been previously sought in this Co urt?

9

Yes

9 No

Is oral argum ent requested? 9 Yes 9 (requests for oral argument will not necessarily be granted)

Req uested return d ate and explanation of emergency: _______________________________________________________ _______________________________________________________

Has argume nt date of appeal been set? 9 Yes 9 No If yes, enter date __________________________________________

Signature of Moving Attorney: _______________________________

Date: ___________________

Has service been effected? [Attach proof of service]

9

Yes

9 No

ORDER IT IS HEREBY ORDERED THAT the motion is GRANTED DENIED. FOR THE COURT: ROSEANN B. MacKECHNIE, Clerk of Court Date: _____________________________________________ By: _______________________________________

Form T-1080 (Revised 10/31/02).

19