Form of Documents Filed with Appellate Courts
Notes on Form of Papers Presented to Appellate Courts:
Although formatting and style requirements may be found throughout the Rules, the primary source for formatting requirements is Rule 26(g) and Appendix B. Notably, Rule 26(g)(1) dictates:o Documents "shall be letter size (8 1/2 x 11")";
o "The body of the text shall be presented with double spacing between each line of text"; and
o "Lines of text shall be no wider than 6 1/2 inches, leaving a margin of approximately one inch on each side."
Appendix B recognizes two exceptions to the general rule that double-spacing should be used in appellate filings:o Any new typed material within the Printed Record "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.
o Single spaces between lines for block quotes. More specifically, Appendix B states: "Quotations of more than three lines in length should be indented 3/4" from each margin and should be single-spaced. The citation should immediately follow the quote."
Practitioners should also remember that the Printed Record on appeal is reproduced in black and white. One way to submit a color document is to include it in the Rule 9(d) Supplement you prepare and submit yourself. Regardless, be sure that any documents that were originally in color and are included in the Printed Record remain readable when reproduced in black and white. A color photo included in the Printed Record, for example, may just look like a black rectangle to the appellate court.Notes on Typefaces or Fonts:
Rule 26(g)(1) requires for documents to be "prepared using a proportionally spaced font with serifs that is no smaller than 12-point and no larger than 14-point in size." Although the Rules do not require a particular type of proportionally spaced font, appellate court decisions are published in Century Schoolbook font, and the Rules specifically list Constantia and Century typefaces as appropriate options. N.C. R. App. P. 26(g)(1). Prior fonts endorsed by the Rules, including Courier New, were prohibited by the 2017 changes to the Rules. The typeface and font requirements do not apply, however, to trial court documents or other pre-printed documents that are included in the record on appeal or as appendices, addendums, exhibits, or attachments to motions or briefs filed in the appellate courts. The examples reflected in this Style Manual are printed in 14-point Century Schoolbook typeface.Notes on Page Numbers in the Printed Record:
Although page numbers are not reflected in this Style Manual, the "Numbering Pages" section of Appendix B dictates that page numbers are generally required in appellate filings and should be included as follows:o Page numbers should be centered and flanked by dashes at the top of most pages. See N.C. R. App. P. at Appendix B (Numbering Pages). The cover page-i.e., the first page of the filing that reflects the case caption-should not be numbered. Id.
o Any subsequent introductory pages after the cover page (e.g., index, table of authorities) should be numbered with lowercase Roman numerals, flanked by dashes (i.e., -ii-, -iii-, -iv-), starting with "ii" since page "i" is the unnumbered cover page. See id.
o The first and all subsequent pages of the substantive document should be numbered by Arabic numbers, flanked by dashes (i.e., -1-, -2-. -3-). See id.
The page numbers may appear within the 1-inch top margin, as long as the first substantive line is at least 1-inch from the top edge of the paper. Practitioners should be careful, however, not to place page numbers within the top 0.5-inch of the page, as they may not be reproduced when the page is photocopied by the Clerk's office.Notes on Formatting Dates:
North Carolina appellate opinions have traditionally reflected the day-month-year date style (e.g., "14 November 2018"). However, the Rules do not prescribe a particular date format, so practitioners may use either method when referencing dates in their appellate filings. Either way, the selected method should be consistently used throughout any filings.Notes on Electronic Filing:
Pursuant to the October 2021 Amendments to the Rules, electronic filing is now mandatory via the appellate courts' "electronic-filing site . . . located at https://www.ncappellatecourts.org . " See N.C. R. App. P. 26(a). There are only three exceptions to this otherwise mandatory e-filing rule:o (a) An unrepresented party is "encouraged" to e-file "but is not required to do so." Id. In lieu of e-filing, an unrepresented party "may file items by hand delivery or mail." Id.
o (b) "If a technical failure prevents counsel from filing a document by use of the electronic-filing site, then the clerk of the appellate court may permit the document to be filed by hand delivery, mail, or fax." Id.
o (c) "Counsel may file copies of oversized documents and non-documentary items electronically if permitted to do so by the electronic-filing site, but otherwise by hand delivery or mail." Id.
All electronically filed items are considered to be "filed" in the appellate court "when it is received by the electronic-filing site." Id. Items that are physically submitted to the appellate court in paper form are generally considered "filed" when the item "is received by the clerk." Id. However, "motions, responses to petitions, the record on appeal, and briefs filed by mail are deemed filed on the date of mailing as evidenced by the proof of service." Id. Be aware that electronic filing does not mean electronic service. You are still responsible for serving your electronically filed documents on all parties. See N.C. R. App. P. 26(b).Notes on Signature Blocks:
Rule 26(g)(3) dictates: "The body of a document composed for an appeal shall at its close bear the printed name, post office address, telephone number, State Bar number, and e-mail address of counsel of record, and in addition, at the appropriate place, the signature of counsel of record." "Unless filed pro se, documents filed in a case will bear the signature of at least one counsel participating in the case." N.C. R. App. P. at Appendix B.o Important Note: Any attorneys who wish to participate in oral argument must "have personally signed the brief prior to oral argument." N.C. R. App. P. 33(a) (emphasis added).
Electronically filed documents need not be signed by hand, however. Indeed, since e-filing is now mandatory (with limited exceptions noted above), the October 2021 Amendments eliminated the all references that required "manuscript" or "wet" signatures throughout the Rules. In lieu of a manuscript signature, it is customary to type "Electronically submitted" on the signature line where the manuscript or wet signature would have appeared. Examples of signature blocks can be found in Appendix B of the Rules, which further instructs that the formatting of the signature blocks will differ based on whether counsel of record has been retained or appointed, as follows:o If "counsel is appointed in an indigent criminal appeal, only the name of the appointed counsel should appear, without identification of any firm affiliation": N.C. R. App. P. at Appendix B. For example:
Electronically submitted
[Attorney Name]
Attorney for Defendant-Appellant
P.O. Box ####
Raleigh, NC 24600
(919) 999-9999
State Bar No. #####
Attorney1@email.com
o If counsel has been retained, "the firm name should be included above the signature" line. N.C. R. App. P. at Appendix B. Additionally, to list more than one attorney, Rule 33(b) requires that the following certification be included below the e-filing attorney's signature block, along with the address, phone number, State Bar number, and email address for each additional attorney:
[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 Plaintiff-Appellant