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California Civil Appellate Practice

An authoritative and practical guide on handling civil appeals that includes insightful judicial perspectives and strategic practice tips from appellate specialists across California.

An authoritative and practical guide on handling civil appeals that includes insightful judicial perspectives and strategic practice tips from appellate specialists across California.

  • Choosing the right remedy (appeal, writ, or post-trial motion)
  • Staying enforcement of the judgment during appeal
  • Designating the record
  • Prosecuting the appeal: motions, briefs, and oral argument
  • Mediation and settlement on appeal
  • Costs, attorney fees, and sanctions
  • Review by California Supreme Court
  • Appeals in limited civil and small claims cases
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An authoritative and practical guide on handling civil appeals that includes insightful judicial perspectives and strategic practice tips from appellate specialists across California.

  • Choosing the right remedy (appeal, writ, or post-trial motion)
  • Staying enforcement of the judgment during appeal
  • Designating the record
  • Prosecuting the appeal: motions, briefs, and oral argument
  • Mediation and settlement on appeal
  • Costs, attorney fees, and sanctions
  • Review by California Supreme Court
  • Appeals in limited civil and small claims cases

1

Overview of the Appellate Process

Christina J. Imre

  • I.  INTRODUCTION  1.1
  • II.  APPELLATE REVIEW
    • A.  Direct Appeal
      • 1.  Right to Direct Appeal Is Governed by Statute  1.2
      • 2.  When Direct Appeal Is Available  1.3
    • B.  Discretionary Writ Review
      • 1.  Only Means of Immediate Review of Nonappealable Orders  1.4
      • 2.  Effect of Grant or Denial of Writ Petition  1.5
  • III.  FUNCTION OF APPELLATE REVIEW: COURTS OF APPEAL AND SUPREME COURT
    • A.  Courts of Appeal
      • 1.  Distinguished From Trial Courts
        • a.  Appeal Is Not Retrial  1.6
        • b.  Appellate Court Generally Does Not Hear or Consider New Evidence  1.7
        • c.  Appellate Court Generally Will Not Consider New Issues  1.8
      • 2.  Function of Courts of Appeal  1.9
        • a.  Evaluate Whether Error Occurred by Applying Appropriate Standard of Review  1.10
        • b.  Determine Whether Error Is Prejudicial  1.11
        • c.  Determine Whether Error Was Waived  1.12
      • 3.  Decision Making in Courts of Appeal
        • a.  Decisions Are Based on the Record  1.13
        • b.  Briefing Is Critical  1.14
        • c.  Oral Argument Is Limited  1.15
        • d.  Written Decision  1.16
    • B.  Supreme Court
      • 1.  Court Has Discretion to Grant Review  1.17
      • 2.  Court Focuses on Policy Considerations  1.18
      • 3.  Supreme Court May Order Publication or Depublication of Court of Appeal Opinion  1.19
  • IV.  STRUCTURE OF APPELLATE COURT SYSTEM
    • A.  Courts of Appeal
      • 1.  Jurisdiction of Courts of Appeal
        • a.  Appellate Jurisdiction  1.20
        • b.  Original Jurisdiction  1.21
        • c.  Statutes Are Exclusive Source of Authority  1.22
      • 2.  Organization of Courts of Appeal
        • a.  Districts  1.23
        • b.  Divisions  1.24
        • c.  Panels  1.25
      • 3.  Operation of Courts of Appeal
        • a.  Governing Rules  1.26
        • b.  Court Personnel  1.27
        • c.  Assignment of Cases and Opinions  1.28
        • d.  Workload  1.29
    • B.  Supreme Court
      • 1.  Jurisdiction of Supreme Court
        • a.  Governing Authority  1.30
        • b.  Appellate Jurisdiction  1.31
        • c.  Original Jurisdiction  1.32
      • 2.  Organization of Supreme Court  1.33
      • 3.  Operation of Supreme Court
        • a.  Assignment of Petitions for Review  1.34
        • b.  Weekly Conference  1.35
        • c.  Assignment of Cases After Petitions Have Been Granted  1.36
        • d.  Workload  1.37
  • V.  ROLE OF APPELLATE COUNSEL
    • A.  Special Skills of Appellate Counsel  1.38
    • B.  Benefits of Consulting Appellate Counsel  1.39
  • VI.  SEQUENCE OF APPELLATE PROCESS
    • A.  Direct Appeals to the Courts of Appeal
      • 1.  File Notice of Appeal
        • a.  Basic Requirements of Notice of Appeal  1.40
        • b.  Notice of Appeal Must Be Timely Filed  1.41
        • c.  Courts Generally Construe Notice of Appeal Broadly  1.42
      • 2.  File Cross-Appeal When Appropriate
        • a.  When Cross-Appeals Are Necessary  1.43
        • b.  When to File Protective Cross-Appeal  1.44
        • c.  Procedure for Filing Cross-Appeal  1.45
      • 3.  Designate Record on Appeal
        • a.  Nature and Function of Designating the Record  1.46
          • (1)  Components of Record on Appeal  1.47
          • (2)  Filing Designation of the Record  1.48
          • (3)  Augmenting the Record  1.49
        • b.  Reporter’s Transcript
          • (1)  Contents of Reporter’s Transcript  1.50
          • (2)  Cost of Reporter’s Transcript  1.51
        • c.  Trial Court Documents
          • (1)  Clerk’s Transcript  1.52
          • (2)  Appendix in Lieu of Clerk’s Transcript  1.53
        • d.  Counterdesignation by Respondent  1.54
      • 4.  Seek Stay of Enforcement
        • a.  Not all Judgments or Orders Are Automatically Stayed  1.55
        • b.  Staying Enforcement of Money Judgments  1.56
      • 5.  Await Record on Appeal  1.57
        • a.  Appellant Should Carefully Monitor Record Preparation  1.58
        • b.  Both Parties Should Use Time Wisely While Awaiting Record  1.59
      • 6.  Appellate Briefing
        • a.  Deadlines for Appellate Briefs  1.60
          • (1)  Extension of Time to File Brief  1.61
          • (2)  Effect of Missed Deadline to File Brief  1.62
        • b.  Appellant’s Opening Brief  1.63
          • (1)  Opening Brief Must Contain Statement of Case and Statement of Appealability  1.64
          • (2)  Opening Brief Should Raise All Major Issues  1.65
        • c.  Respondent’s Brief  1.66
        • d.  Appellant’s Reply Brief  1.67
      • 7.  Oral Argument  1.68
      • 8.  The Court of Appeal Opinion
        • a.  Deadline for Issuing Opinion  1.69
        • b.  Contents of Opinion  1.70
        • c.  Publication of Opinion  1.71
      • 9.  Petition for Rehearing  1.72
        • a.  New Issues Generally Not Considered on Petition for Rehearing  1.73
        • b.  Reasons to File Petition for Rehearing  1.74
      • 10.  Remittitur  1.75
      • 11.  Review in California Supreme Court
        • a.  File Petition for Review  1.76
          • (1)  Purpose of Petition for Review  1.77
          • (2)  Time for Filing Petition for Review  1.78
          • (3)  Contents of Petition for Review  1.79
          • (4)  Granting Review Is Discretionary  1.80
          • (5)  Effect of Grant of Review  1.81
          • (6)  Options Available Other Than Grant of Review  1.82
        • b.  If Supreme Court Grants Review, File Brief on the Merits  1.83
          • (1)  Deadlines for Filing Briefs  1.84
          • (2)  Oral Argument in Supreme Court  1.85
          • (3)  Supreme Court’s Decision  1.86
    • B.  Discretionary Writ Review
      • 1.  Nature of Writ Review  1.87
        • a.  Types of Writs  1.88
        • b.  Writ Review Is Discretionary  1.89
      • 2.  Basic Criteria for Writ Review  1.90
        • a.  Petition Must Show No Adequate Remedy at Law  1.91
        • b.  Petition Must Show Petitioner’s Beneficial Interest  1.92
      • 3.  Common Law and Statutory Writs
        • a.  Common Law Writs: Mandate, Prohibition, and Certiorari  1.93
        • b.  Statutory Writs  1.94
          • (1)  Statutory Writ May Be Sole Means of Obtaining Appellate Review  1.95
          • (2)  Statutory Writ May Be Means of Obtaining Immediate Review  1.96
      • 4.  Writ Procedures
        • a.  Parties to Writ Petition  1.97
        • b.  Deadline for Filing Writs
          • (1)  Common Law Writs  1.98
          • (2)  Statutory Writs  1.99
      • 5.  Action on Writ Petition
        • a.  Summary Denial  1.100
          • (1)  Summary Denial Is Not Ruling on Merits  1.101
          • (2)  No Remittitur on Summary Denial  1.102
        • b.  Issuance of Writ  1.103
          • (1)  Alternative Writ  1.104
          • (2)  Peremptory Writ  1.105
          • (3)  Decision on Writ Petition  1.106
          • (4)  Remittitur  1.107
      • 6.  Review of Writ Decision in California Supreme Court  1.108

2

Limiting or Avoiding Need for Appellate Relief: Posttrial Motions

Christina J. Imre

  • I.  INTRODUCTION  2.1
  • II.  OVERVIEW OF POSTTRIAL MOTIONS AND REASONS TO SEEK POSTTRIAL RELIEF
    • A.  Principal Posttrial Motions  2.2
    • B.  Reasons to Make Posttrial Motions  2.3
  • III.  NEW TRIAL MOTIONS
    • A.  Purpose and Nature
      • 1.  Purpose of Motion  2.4
      • 2.  Authority for Motion  2.5
      • 3.  Availability of Motion  2.6
      • 4.  Trial Court Functions as Trier of Fact  2.7
      • 5.  Order of Full, Partial, or Conditional New Trial  2.8
      • 6.  Effect of New Trial Order on Previous Trial  2.9
    • B.  Strategic Considerations
      • 1.  When New Trial Motion Necessary  2.10
      • 2.  When New Trial Motion Advisable  2.11
        • a.  New Trial Motion Provides Trial Court With Opportunity to Reweigh Evidence  2.12
        • b.  New Trial Motion Is an Opportunity to Raise New Legal Theories  2.13
        • c.  New Trial Motion May Be Useful When Error Relates to Factual Matter Not in Record  2.14
        • d.  New Trial Motion Helps “Aggrieved” Nonparty Establish Standing to Appeal  2.15
    • C.  Procedure  2.16
      • 1.  Notice of Intention to Move for New Trial
        • a.  Jurisdictional Deadline  2.17
          • (1)  Calculating Deadline  2.18
          • (2)  Filing Notice of Intention Before Entry of Judgment  2.19
          • (3)  What Constitutes Notice of Entry of Judgment  2.20
        • b.  Contents of Notice of Intention to File for New Trial  2.21
          • (1)  State the Grounds for New Trial  2.22
          • (2)  Prepare Supporting Documents  2.23
          • (3)  Tender Fees  2.24
          • (4)  Serve the Notice on Adverse Parties  2.25
      • 2.  Supporting Memorandum
        • a.  Deadline and Contents  2.26
        • b.  Reasons for Filing Memorandum  2.27
      • 3.  Affidavits or Declarations
        • a.  Deadline  2.28
        • b.  When Affidavit or Declaration Is Necessary  2.29
        • c.  Juror Misconduct
          • (1)  Juror Affidavits  2.30
          • (2)  Attorney and Party “No Knowledge” Affidavits  2.31
        • d.  Counteraffidavits  2.32
      • 4.  Additional Motions for New Trial  2.33
      • 5.  Hearing and Ruling on New Trial Motion
        • a.  Time of Hearing  2.34
        • b.  Must Be Heard by Same Judge  2.35
        • c.  No Live Testimony Permitted  2.36
        • d.  Precedence Over Other Matters  2.37
        • e.  Jurisdictional Window of Time to Rule on Motion  2.38
          • (1)  Court Must Have Enough Time to Make Ruling  2.39
          • (2)  When Ruling Occurs  2.40
      • 6.  Order and Specification of Reasons
        • a.  Granting New Trial
          • (1)  Order Granting New Trial Must State Grounds  2.41
          • (2)  Written Specification of Reasons  2.42
            • (a)  Specification of Reasons Must Be Framed in Terms of Case’s Facts  2.43
            • (b)  Court Must Prepare Specification of Reasons  2.44
            • (c)  When Specification of Reasons Is Not Included in Order for New Trial  2.45
        • b.  Granting Partial New Trial  2.46
        • c.  Conditionally Granting New Trial
          • (1)  Inadequate or Excessive Compensatory Damages  2.47
          • (2)  Excessive Punitive Damages  2.48
          • (3)  Specification of Reasons Required Even on Conditional New Trials  2.49
      • 7.  Appeal of New Trial Orders
        • a.  Appealability  2.50
          • (1)  When New Trial Order Is Appealed, Respondent Should File Protective Cross-appeal  2.51
          • (2)  Moving Party May Appeal From Partial New Trial Order  2.52
        • b.  Deadline for Notice of Appeal  2.53
  • IV.  MOTION FOR JUDGMENT NOTWITHSTANDING THE VERDICT (JNOV)
    • A.  Nature and Purpose
      • 1.  Authorization for Motion  2.54
      • 2.  Purpose of Motion  2.55
      • 3.  Motion May Be Made by Party, Nonparty, or Court  2.56
    • B.  Concurrently Filed JNOV and New Trial Motions
      • 1.  Motion for JNOV May Be Filed and Heard With Motion for New Trial  2.57
      • 2.  New Trial Is Usually Alternative to JNOV  2.58
      • 3.  When Both Motions Are Granted  2.59
    • C.  Procedure
      • 1.  Deadlines
        • a.  Deadlines for Filing New Trial Motion Apply to JNOV Motion  2.60
        • b.  Deadlines for Filing Both New Trial and JNOV Motions [Deleted]  2.61
      • 2.  Components of Motion  2.62
      • 3.  Hearing on Motion  2.63
      • 4.  Window of Time in Which to Rule
        • a.  Limited Time for Court to Rule  2.64
        • b.  What Constitutes a Ruling  2.65
        • c.  If Motion Is Granted, New Judgment Should Be Signed and Filed Within 60 Days  2.66
        • d.  If Moving Party Prevails, It Should Serve Notice of Entry of Judgment  2.67
      • 5.  Loss of Jurisdiction to Rule on JNOV Motion  2.68
    • D.  Appeal of JNOV
      • 1.  Appealable Orders  2.69
      • 2.  Notice of Appeal  2.70
  • V.  MOTIONS TO VACATE JUDGMENT AND ENTER DIFFERENT JUDGMENT
    • A.  Nature and Purpose
      • 1.  Availability of Motion to Vacate  2.71
        • a.  Criteria of Availability  2.72
        • b.  New and Different Judgment Must Be Entered  2.73
      • 2.  Distinguished From Motion for New Trial  2.74
    • B.  Procedure
      • 1.  Deadlines  2.75
      • 2.  Components of Motion to Vacate  2.76
      • 3.  Hearing on Motion  2.77
      • 4.  When Motion Granted, New Judgment  2.78
    • C.  Appealing Court’s Order
      • 1.  Effect of Notice of Appeal on Trial Court Jurisdiction  2.79
      • 2.  Appealability of Order
        • a.  Vacation Order Is Directly Appealable  2.80
        • b.  Denial of Motion to Vacate Is Appealable  2.81
      • 3.  Timing of Appeal  2.82
    • D.  Motion to Vacate Allows Nonparties to Intervene and Acquire Standing to Appeal  2.83
  • VI.  FORMS
    • A.  Form: Notice of Intention to Move for New Trial (Jury Trial)  2.84
    • B.  Form: Notice of Intention to Move for New Trial (Bench Trial)  2.85
    • C.  Form: Notice of Motion for JNOV  2.86
    • D.  Form: Order Granting or Denying JNOV  2.87
    • E.  Form: Notice of Motion to Vacate Judgment and Enter Different Judgment  2.88
    • F.  Form: Order Granting Motion to Vacate Judgment and Enter Different Judgment (Jury’s Special Verdict)  2.89
    • G.  Form: Order Granting Motion to Vacate Judgment and Enter Different Judgment (Court’s Statement of Decision)  2.90

2A

Analyzing the Prospects for Success on Appeal

Michael M. Berger

  • I.  INTRODUCTION  2A.1
  • II.  EVALUATION PROCESS
    • A.  Appellant’s Evaluation  2A.2
    • B.  Respondent’s Evaluation  2A.3
  • III.  IDENTIFYING GROUNDS FOR APPEAL  2A.4
    • A.  Questions of Law  2A.5
      • 1.  Identifying Errors of Law  2A.6
      • 2.  Examples of Legal Rulings  2A.7
    • B.  Questions of Fact  2A.8
      • 1.  Identifying Questions of Fact  2A.9
        • a.  Review Evidence  2A.10
        • b.  Use Statement of Decision in Nonjury Trial  2A.11
          • (1)  Request Statement of Decision  2A.12
          • (2)  Seek Clarification of Proposed Statement of Decision  2A.13
        • c.  Special Interrogatories or Special Verdict in Jury Trial  2A.14
    • C.  Questions Difficult to Characterize  2A.15
      • 1.  Mixed Questions of Law and Fact  2A.16
      • 2.  Issues That Can Be Treated as Question of Law in One Case and Question of Fact in Another  2A.17
    • D.  Discretionary Decisions  2A.18
  • IV.  HOW APPELLATE COURT WILL REVIEW RULING
    • A.  Rules Favor Affirmance of Trial Court Ruling  2A.19
      • 1.  Trial Court Ruling Presumed Correct  2A.20
      • 2.  Trial Court Rulings Correct on Any Legal Ground Are Generally Affirmed
        • a.  Application of Rule  2A.21
        • b.  Limitations to Rule  2A.22
          • (1)  Controverted Questions of Fact  2A.23
          • (2)  Evidence Insufficient Under Correct Legal Standard  2A.24
          • (3)  Order Granting New Trial on Grounds of Insufficiency of Evidence or Excessive or Inadequate Damages  2A.25
          • (4)  Order Granting Nonsuit  2A.26
      • 3.  Appellant Has Burden of Showing Prejudicial Error  2A.27
    • B.  Appellate Standards of Review  2A.28
      • 1.  Governing Standards  2A.29
      • 2.  Argument Must Be Framed to Fit Applicable Standard  2A.30
      • 3.  Questions of Law: De Novo Review  2A.31
      • 4.  Questions of Fact: Substantial Evidence Standard
        • a.  Appellate Court Will Reverse Only if No Substantial Evidence Supports Ruling  2A.32
          • (1)  Rationale for Substantial Evidence Standard  2A.33
          • (2)  When Substantial Evidence Standard Applies  2A.34
          • (3)  Substantial Evidence Standard Is Generally Inapplicable on Appeal From Default Judgments  2A.35
        • b.  Substantial Evidence Defined  2A.36
          • (1)  Focus Is on Quality, Not Quantity  2A.37
          • (2)  Improbable Evidence  2A.38
        • c.  Application of Substantial Evidence Standard: Evidence Generally Viewed in Respondent’s Favor  2A.39
          • (1)  Appellant Must Fairly Summarize Evidence  2A.40
          • (2)  No Reweighing on Appeal  2A.41
        • d.  Application of Substantial Evidence Standard: When Evidence Viewed in Appellant’s Favor  2A.42
        • e.  Burden of Proof Standards in Trial Court Are Inapplicable on Appeal  2A.43
      • 5.  Abuse of Discretion
        • a.  Appellate Court Will Not Reverse Unless Trial Court Abused Its Discretion  2A.44
        • b.  When Abuse-of-Discretion Standard Applies  2A.45
          • (1)  Procedural Rulings  2A.46
          • (2)  Discovery Rulings  2A.47
          • (3)  Evidentiary Rulings  2A.48
          • (4)  Equitable Decisions  2A.49
          • (5)  Attorney Fees  2A.50
          • (6)  Order Granting New Trial Motion  2A.51
        • c.  Establishing Abuse of Discretion  2A.52
          • (1)  Did Trial Court Exercise Discretion According to Law?  2A.53
          • (2)  Do Facts Support Trial Court Decision?  2A.54
          • (3)  Do Other Policies Compel Different Result?  2A.55
  • V.  IS THE RECORD ON APPEAL SUFFICIENT?
    • A.  Record Must Show Error
      • 1.  Appellate Review Is Limited to Record  2A.56
      • 2.  Put Aside Personal Knowledge  2A.57
      • 3.  Documentary Basis for Initial Evaluation  2A.58
    • B.  Record Must Be Sufficient to Permit Appellate Review
      • 1.  All Relevant Evidence Must Have Been Presented by Introduction or Offer of Proof  2A.59
      • 2.  Record Must Reflect Actions in Trial Court  2A.60
      • 3.  When Record Is Silent  2A.61
      • 4.  When Record Is Inadequate  2A.62
      • 5.  Issues Not Raised in Trial Court Generally Not Considered on Appeal  2A.63
      • 6.  Generally No Judicial Notice of Matters Not Noticed or Requested to Be Noticed in Trial Court  2A.64
    • C.  Error Waived in Trial Court  2A.65
      • 1.  Express Waiver; Invited Error; Theory of Case
        • a.  Express Waiver  2A.66
        • b.  Invited Error  2A.67
        • c.  Theory of Case  2A.68
      • 2.  Implied Waiver  2A.69
        • a.  Failure to Raise Issue in Trial Court  2A.70
          • (1)  Exception: Pure Issues of Law  2A.71
          • (2)  Exception: Appellate Court Raises New Issue  2A.72
        • b.  Failure to Object  2A.73
          • (1)  Objection Must Be Sufficient to Preserve Claim of Error  2A.74
          • (2)  Inconsistent Conduct After Proper Objection  2A.75
          • (3)  Exceptions to Objection Requirement  2A.76
            • (a)  Pure Questions of Law  2A.77
            • (b)  Preserved by Statute  2A.78
  • VI.  ANALYZING EFFECT OF ERROR
    • A.  Error Must Be Prejudicial  2A.79
      • 1.  Constitutional Basis  2A.80
      • 2.  Statutory Basis  2A.81
    • B.  Test for Determining Prejudice
      • 1.  State Law Errors
        • a.  The Watson Rule  2A.82
        • b.  Prejudice Per Se  2A.83
      • 2.  Federal Constitutional Errors  2A.84
    • C.  Factors to Look for in Evaluating Prejudice
      • 1.  Seriousness of Error
        • a.  Significant Impact  2A.85
        • b.  Imperceptible Impact  2A.86
        • c.  Context Determines Seriousness of Error  2A.87
      • 2.  Weight of Evidence  2A.88
      • 3.  Signals From Jury
        • a.  Problems with Instructions  2A.89
        • b.  Problems with Evidence  2A.90
        • c.  Juror Misconduct  2A.91
      • 4.  Number of Errors  2A.92
      • 5.  Basis for Decision Not Impacted By Error
        • a.  Alternative Basis for Judgment or Ruling  2A.93
        • b.  Impact of Pervasive Error  2A.94
      • 6.  Prejudicial Effect May Be Avoided
        • a.  Many Errors Can Be Cured  2A.95
        • b.  Some Errors Cannot Be Cured  2A.96
        • c.  Remedy Depends on Nature of Errors  2A.97
  • VII.  RELIEF AVAILABLE ON APPEAL
    • A.  Remand Likely Result of Successful Appeal  2A.98
    • B.  Nature of Error Controls Relief  2A.99
  • VIII.  RESEARCHING THE APPEAL  2A.100
    • A.  Reviewing the Record  2A.101
    • B.  Legal Research  2A.102
      • 1.  Binding Precedent  2A.103
        • a.  California Cases  2A.104
        • b.  Cases From Other Jurisdictions
          • (1)  Federal Courts  2A.105
          • (2)  Courts of Other States  2A.106
      • 2.  Precedential Case Law  2A.107
        • a.  Analyze Precedent and Case at Hand  2A.108
        • b.  Consider Reasoning in Unpublished Opinions  2A.109
      • 3.  Rejecting Precedent  2A.110
        • a.  Review Legal Basis of Precedent  2A.111
        • b.  Consider Underlying Circumstances and Policies  2A.112
        • c.  Analyze Subsequent History of Precedent  2A.113
        • d.  Consider Composition of Court  2A.114
        • e.  Other Factors  2A.115
      • 4.  Analogous or Related Cases  2A.116
      • 5.  Cases From Other Jurisdictions  2A.117
      • 6.  Policies Advanced
        • a.  Determine Public Interests Promoted  2A.118
        • b.  Consider Sources of Public Policy  2A.119
      • 7.  Practicality of Proposed Rule  2A.120
      • 8.  Statutory Interpretation  2A.121

3

Is the Order or Judgment Appealable?

Elliot L. Bien

Jocelyn Sperling

  • I.  INTRODUCTION
    • A.  Scope of Chapter  3.1
    • B.  Basic Rules and Concepts
      • 1.  What Makes Rulings “Appealable”?  3.2
      • 2.  Some Nonappealable Rulings Are Subsumed in Appeal From Final Judgment  3.3
      • 3.  Nonappealable Rulings Are Subject to Appellate Review by Extraordinary Writ or on a Subsequent Appeal From Judgment  3.4
    • C.  Statutory Basis of Appealability
      • 1.  Appealability Is Determined by Statute  3.5
      • 2.  Appealability Cannot Be Determined by Consent, Stipulation, or Trial Court Order  3.6
  • II.  IMPORTANCE OF APPEALABILITY
    • A.  Failure to Appeal an Appealable Ruling Is Fatal  3.7
      • 1.  Examples of Failing to Appeal an Appealable Order  3.8
      • 2.  When Multiple Versions of Same Judgment or Order Exist  3.9
    • B.  Appealing Nonappealable Ruling Is Seldom Fatal
      • 1.  Appeal From Nonappealable Ruling Generally Must Be Dismissed  3.10
      • 2.  Mistaken Appeal of Nonappealable Ruling May Be Curable  3.11
      • 3.  Appealability Cures Available in Trial Court
        • a.  Seek to Remedy Mistake While Trial Court Has Jurisdiction  3.12
        • b.  Appeal From Latest Judgment or Order, or All Versions of Judgment or Order  3.13
        • c.  Ask Trial Court to Remedy Mistake Even After Appeal Has Been Filed  3.14
      • 4.  Appealability Cures Available in Appellate Court  3.15
        • a.  Curing Appealability Defect
          • (1)  Appellate Court May Treat Preliminary Ruling as Appealable  3.16
          • (2)  Appellate Court May Amend Record to Make Correct Basis for Appeal  3.17
          • (3)  Appellate Court Might Be Reluctant to Save Defective Appeal  3.18
        • b.  Incurably Defective Appeals May Be Treated as Writ Petitions  3.19
          • (1)  Criteria for Treating Defective Appeals as Writ Petitions  3.20
          • (2)  Do Not Rely on Writ Device to Salvage Appeal  3.21
      • 5.  When to Commence Both Appeal and Writ Petition in Doubtful Cases  3.22
        • a.  Consider the Cost Involved  3.23
        • b.  Consider Any Advocacy Advantages  3.24
        • c.  Consider the Legal Risks  3.25
  • III.  APPEALABLE JUDGMENTS
    • A.  General Rule  3.26
      • 1.  Judgment Defined  3.27
      • 2.  Problems of Terminology  3.28
        • a.  Problem With Terms “Final Judgment” and “One Final Judgment Rule”  3.29
        • b.  Usefulness of Term “Final Judgment”  3.30
        • c.  Most Helpful Term Is “Appealable Judgment”  3.31
      • 3.  “Single Final Judgment” or “One Final Judgment” Rule [Deleted]  3.32
    • B.  Criteria for Appealable Judgment
      • 1.  Rule of Effect Over Form  3.33
        • a.  Unusual Cases Basing Appealability on Form  3.34
        • b.  Court’s Characterization Does Not Control Appealability  3.35
      • 2.  Judgment Must Be Judicial Determination of Contested Issues
        • a.  No Appeal of Judgment by Stipulation or Consent  3.36
          • (1)  Exception When Consent Given to Facilitate Appeal  3.37
          • (2)  Parties May Stipulate to Underlying Facts  3.38
        • b.  No Appeal of Voluntary Dismissal of a Lawsuit  3.39
      • 3.  Judgment May Not Be Preliminary  3.40
      • 4.  Judgment With “Blanks”  3.41
        • a.  Blank Left for Costs  3.42
        • b.  Blank Left for Attorney Fees  3.43
        • c.  Blank Left for Prejudgment Interest  3.44
      • 5.  Judgment May Not Be Provisional  3.45
        • a.  When Jurisdiction Is Expressly Reserved  3.46
        • b.  When Judgment Contains Conditional Element but Jurisdiction Is Not Reserved  3.47
      • 6.  Judgment Must Be Final Version
        • a.  Appeal From Final Version of Judgment  3.48
        • b.  New Version of Judgment May Supersede Original Version  3.49
        • c.  Necessity to File New and Timely Notice of Appeal From New Version of Appealable Ruling  3.50
      • 7.  Judgment Can Be Final as to Some, but Not All, Parties  3.51
        • a.  Final Determinations as to Single Capacity of Party  3.52
        • b.  Class Action Litigation; “Death Knell” Doctrine  3.53
      • 8.  No Claims Can Be Pending Between Parties to Judgment  3.54
  • IV.  EXCEPTIONS TO ONE FINAL JUDGMENT RULE
    • A.  Final Determination of “Collateral” Matter Is Appealable
      • 1.  Appealability of Collateral Rulings  3.55
      • 2.  Possible Effect of Morehart on Appealability of Collateral Rulings  3.56
      • 3.  Examples of Collateral Rulings  3.57
      • 4.  Ruling on Discovery Is Not “Collateral”  3.58
    • B.  Some “Interlocutory Judgments” Are Appealable
      • 1.  What Is an “Interlocutory Judgment”?  3.59
      • 2.  Interlocutory Judgments Are Usually Not Appealable  3.60
      • 3.  Interlocutory Judgment Based on Special Defense May Be Appealable  3.61
      • 4.  Some Family Law Interlocutory Judgments Are Appealable  3.62
    • C.  Appealability of Reclassification in Superior Court  3.63
    • D.  Some Judgments Are Made Nonappealable by Statute
      • 1.  Contempt Judgments  3.64
      • 2.  Judgments on a Judicial Arbitration Award  3.65
      • 3.  Exception for Costs and Unarbitrated Issues  3.66
  • V.  APPEALABLE ORDERS
    • A.  Statutory Basis  3.67
    • B.  Order Made After An Appealable Judgment  3.68
      • 1.  Examples of Orders Made Appealable  3.69
      • 2.  Limitations on Appealability of Orders After Appealable Judgment or Order  3.70
        • a.  Prior Ruling Must Be “Final”  3.71
        • b.  Appeal Must Raise Distinct Issues  3.72
          • (1)  Examples of Orders Not Appealable Because No Distinct Issues Exist  3.73
          • (2)  Examples of Orders Appealable Because Distinct Issues Exist  3.74
          • (3)  Exception for Statutory Motions to Vacate the Judgment  3.74A
        • c.  Order Must Affect or Relate to Prior Ruling  3.75
    • C.  Order Quashing Summons  3.76
    • D.  Order Staying or Dismissing for Inconvenient Forum  3.77
    • E.  Order Granting New Trial  3.78
    • F.  Order Denying Judgment Notwithstanding Verdict  3.79
    • G.  Order re Attachment  3.80
    • H.  Order re Injunction  3.81
    • I.  Order Appointing Receiver  3.82
    • J.  Order Enforcing ALRB Decisions  3.83
    • K.  Specially Certified Family Law Rulings
      • 1.  Availability of Appeal for Bifurcated Family Law Issues  3.84
      • 2.  Procedure for Appealing Bifurcated Issue  3.85
    • L.  Order re Disqualification of Counsel
      • 1.  Order Disqualifying Counsel Generally Is Directly Appealable  3.86
      • 2.  Caution: Disqualification Ruling May Not Be Reviewable on Appeal From Final Judgment  3.87
    • M.  Order Awarding Sanctions in Excess of $5000
      • 1.  Orders Awarding Sanctions Over $5000 Are Generally Appealable  3.88
        • a.  Possible Exception for Nonparties or Attorneys No Longer Involved in Case  3.89
        • b.  Possible Exception for Award Based on Frivolous Request for Public Records  3.90
      • 2.  Appealability of Discovery Sanctions Awards  3.91
      • 3.  No Aggregation of Multiple Sanction Awards to Meet Statutory Limit  3.92
    • N.  Order re Arbitration  3.93
      • 1.  Order Compelling Arbitration  3.94
      • 2.  Order Denying Petition to Vacate Arbitration Award  3.95
    • O.  Order on Statutory Motion to Vacate Judgment  3.96
    • P.  Order re Claim of Exemption From Levy  3.97
    • Q.  Order re Civil Conspiracy Claim Against Attorney  3.98
    • R.  Order re Special (Anti-SLAPP) Motion to Strike  3.99
    • S.  Order Denying Petition to File Late Claim Under Tort Claims Act  3.99A
    • T.  Order Denying Application for Leave to Intervene  3.99B
    • U.  Orders Made Appealable by Family or Probate Code  3.99C

4

Preserving the Record for Appeal

Christina J. Imre

The Honorable George P. Schiavelli

  • I.  INTRODUCTION  4.1
  • II.  THE NECESSITY OF THE RECORD FOR APPELLATE REVIEW
    • A.  Functions of Trial and Appellate Courts Compared  4.2
    • B.  General Appellate Principles Pertaining to Preserving the Record
      • 1.  The Appellate Court Will Consider Only Matters Reflected in the Record  4.3
      • 2.  Appellate Waiver/Invited Error Doctrines  4.4
        • a.  Appellant Generally Cannot Change Position on Appeal  4.5
        • b.  Appellant Generally Cannot Raise New Issues on Appeal  4.6
  • III.  PRACTICAL CONSIDERATIONS IN PROCURING ADEQUATE RECORD OF TRIAL AND PRETRIAL PROCEEDINGS  4.7
    • A.  Reporter’s Transcript
      • 1.  Practical Concerns in Procuring a Transcript  4.8
      • 2.  Ensuring the Record Reflects the Issues for Appeal
        • a.  Clarifying When Proceedings Are On or Off the Record  4.9
        • b.  Chambers and Sidebar Conferences  4.10
    • B.  The Written Record
      • 1.  The Court File  4.11
      • 2.  Exhibits  4.12
    • C.  Preserving the Record: Selected Pretrial Proceedings
      • 1.  Motions to Disqualify the Judge  4.13
      • 2.  Demurrers; Motions to Dismiss  4.14
      • 3.  Motions for Summary Judgment
        • a.  Documenting the Record  4.15
        • b.  Separate Statements  4.16
        • c.  Objections  4.17
    • D.  Trial
      • 1.  Strategic Considerations: Prevailing at Trial While Protecting the Record  4.18
      • 2.  Preserving Evidentiary Issues
        • a.  Objections at Trial  4.19
        • b.  Conditional Rulings and Continuing Objections  4.20
        • c.  Motions in Limine  4.21
        • d.  Pocket Briefs  4.22
        • e.  Arguing Objections During Breaks in the Trial  4.23
        • f.  Offers of Proof  4.24
      • 3.  Preserving Appellate Review of Trial Motions
        • a.  Motion for Continuance  4.25
        • b.  Nonsuit/Directed Verdict Motions  4.26
        • c.  Bifurcation Motions  4.27
        • d.  Motion for Mistrial  4.28
      • 4.  Jury Instructions  4.29
        • a.  Time for Submission  4.30
        • b.  Drafting Instructions  4.31
        • c.  Objections and Settling Instructions  4.32
      • 5.  Reading Instructions  4.33
      • 6.  Verdict Forms  4.34
    • E.  Posttrial
      • 1.  New Trial Motions
        • a.  New Trial Motion to Preserve or Create a Record  4.35
        • b.  New Trial Motion as Prerequisite to Raising Excessive or Inadequate Damages Arguments on Appeal  4.36
        • c.  Nonparties’ Use of Posttrial Motion to Obtain Standing to Appeal  4.37
        • d.  New Trial Motion to Preserve Factual Matters Not Otherwise in Record  4.38
          • (1)  “No Knowledge” Affidavits  4.39
          • (2)  Juror Declarations and Counterdeclarations  4.40
        • e.  Jurisdictional Requirements for New Trial Motion
          • (1)  Filing Deadline for Notice of Intent to Move for New Trial  4.41
          • (2)  Jurisdictional Time to Rule on the Motion  4.42
          • (3)  Requirements for an Order Granting New Trial  4.43
      • 2.  Motions for Judgment Notwithstanding Verdict  4.44
      • 3.  Statement of Decision  4.45
        • a.  Timing of the Request  4.46
        • b.  Form of the Request  4.47
        • c.  Preparation of the Statement of Decision  4.48

5

Is There Standing to Appeal?

Efrat M. Cogan

Ronald M. Greenberg

  • I.  INTRODUCTION  5.1
  • II.  Statutory Basis for Standing  5.2
  • III.  PARTY OF RECORD REQUIREMENT
    • A.  Must Be Party at Time Appeal Taken  5.3
    • B.  Exception for Nonparty Participants Affected by Trial Court’s Decision  5.4
    • C.  Ways to Become Party of Record
      • 1.  Statutory Intervention  5.5
      • 2.  Nonstatutory Intervention  5.6
      • 3.  Death of a Party
        • a.  Before Notice of Appeal
          • (1)  If Party Dies While Case Is Pending in Trial Court  5.7
          • (2)  If Party Dies When Case Is Under Submission  5.8
          • (3)  If Party Dies After Judgment and Before Time to Appeal Expires  5.9
        • b.  After Notice of Appeal
          • (1)  If Appellant Dies Before Submission  5.10
          • (2)  If Appellant Dies After Submission  5.11
      • 4.  Transfer of Interest  5.12
    • D.  Unnamed Class Action Member Is Not Party of Record  5.13
    • E.  Amicus Curiae Is Not Party of Record  5.14
    • F.  Procedure to Substitute a Party  5.15
  • IV.  REQUIREMENT THAT PARTY BE AGGRIEVED
    • A.  When Is a Party Aggrieved?  5.16
    • B.  Capacity of Party Affects Whether Party Is Aggrieved  5.17
      • 1.  Representative Generally Lacks Standing  5.18
      • 2.  Representative May Have Standing When Own Interest Affected  5.19
    • C.  Examples of Aggrieved Parties  5.20
    • D.  Examples of Generally Not Aggrieved Parties
      • 1.  Prevailing Party Is Generally Not Aggrieved  5.21
        • a.  Party Who Does Not Prevail in All Material Respects May Appeal  5.22
        • b.  Prevailing Party May Nonetheless File Protective Cross-appeal  5.23
      • 2.  Settling Party Is Generally Not Aggrieved  5.24
      • 3.  Respondent Is Generally Not Aggrieved  5.25
      • 4.  Party Who Consents to Judgment Is Generally Not Aggrieved  5.26
      • 5.  Party Who Consents to Remittitur Is Generally Not Aggrieved  5.27
  • V.  LOSS OF STANDING
    • A.  Waiver of Right to Appeal  5.28
      • 1.  By Compliance With Judgment Before Entry  5.29
        • a.  No Waiver if Compliance Is Coerced  5.30
        • b.  No Waiver Unless Payment Made as Compromise or Agreement  5.31
      • 2.  By Acceptance of Benefits of Judgment  5.32
        • a.  Judgment Is Severable  5.33
        • b.  Judgment for Lesser, Uncontested Amount Is Accepted  5.34
        • c.  Appellant Retains, but Does Not Use, Benefits of Judgment  5.35
        • d.  Appellant Receives Nothing of Value  5.36
        • e.  Appellant Accepts Judgment Involuntarily  5.37
        • f.  Parties Agree to Preserve Right to Appeal  5.38
        • g.  Acceptance of Award of Custody and of Child and Spousal Support  5.39
      • 3.  By Counsel  5.40
    • B.  Corporation’s Failure to Pay Franchise Tax Bars Appeal  5.41
      • 1.  Power to Appeal Revived on Reinstatement of Corporate Powers  5.42
      • 2.  Right to Pursue Derivative Suit on Appeal Despite Corporate Suspension  5.43
      • 3.  Right of Joint Venturer to Appeal Despite Corporate Suspension  5.44
    • C.  Contempt of Court Risks Loss of Right to Appeal  5.45
    • D.  Company’s Bankruptcy Causes Right to Appeal to Pass to Trustee  5.46

6

Staying Enforcement During Appeal

David M. Axelrad

  • I.  GENERAL CONSIDERATIONS
    • A.  Scope of Chapter  6.1
    • B.  Overview of Procedure  6.2
    • C.  Scope of Trial Court Jurisdiction Pending Appeal
      • 1.  Jurisdiction Limited to Matters Not Affected by Judgment or Order Appealed  6.3
      • 2.  Exception to General Rule Because of Statute or Court Rule  6.4
      • 3.  Illustrations of General Rule and Exceptions
        • a.  Matters Within Trial Court Jurisdiction  6.5
        • b.  Matters Outside Trial Court Jurisdiction  6.6
      • 4.  Effect of Stay on Postjudgment Orders  6.7
      • 5.  Effect of Stay on Partial Appeals  6.8
      • 6.  Effect of Stay When Obtained by Fewer Than All Parties  6.9
    • D.  Evaluating Need for Stay  6.10
      • 1.  Economic Considerations
        • a.  Cost of Complying With Judgment or Order  6.11
        • b.  Obtaining a Stay  6.12
      • 2.  Noneconomic Considerations  6.13
      • 3.  Adverse Consequences of a Stay  6.14
      • 4.  Preserving Attachment or Lien  6.15
    • E.  Obtaining Immediate Temporary Stay
      • 1.  Procedure  6.16
      • 2.  Form: Ex Parte Application for Temporary Stay of Enforcement; Order  6.17
  • II.  DETERMINING APPROPRIATE PROCEDURE FOR STAYING PARTICULAR JUDGMENTS AND ORDERS
    • A.  Statutory Basis for Procedure  6.18
    • B.  Judgments and Orders Stayed by Notice of Appeal Alone  6.19
    • C.  Chart: Judgments and Orders Not Automatically Stayed by Notice of Appeal  6.20
  • III.  STAY OF ENFORCEMENT BY FURNISHING SECURITY
    • A.  Forms of Security  6.21
    • B.  Types of and Qualifications for Security
      • 1.  Undertaking or Bond by Surety  6.22
        • a.  Personal Sureties  6.23
        • b.  Admitted Surety Insurer  6.24
      • 2.  Deposit in Lieu of Undertaking  6.25
      • 3.  Form: Authorization (Agreement) to Apply Certificates of Deposit to Enforce Judgment (CCP §995.710(c))  6.26
    • C.  Judgments and Orders Requiring Security
      • 1.  Overview of Statutory Scheme  6.27
      • 2.  Judgments and Orders for Payment of Money and Awards of Costs
        • a.  Judgments and Orders Included  6.28
        • b.  Amount of Security Required  6.29
        • c.  Order to Pay Attorney Fees or Costs in Family Law Case (CCP §917.75)  6.29A
      • 3.  Judgments and Orders Directing the Assignment, Delivery, or Sale of Personal Property
        • a.  Judgments and Orders Included  6.30
        • b.  Amount of Security Required  6.31
      • 4.  Judgments and Orders Directing the Sale, Conveyance, or Delivery of Real Property
        • a.  Judgments and Orders Included  6.32
        • b.  Amount of Security Required  6.33
      • 5.  Appointment of Receiver  6.34
      • 6.  Right to Attach Orders  6.35
      • 7.  Attorney Fees or Costs in Proceedings Under the Family Code  6.35A
    • D.  Security Required in Discretion of Superior Court
      • 1.  Judgments and Orders for Which Security May Be Ordered; Procedure  6.36
      • 2.  Form: Notice of Motion for Order Requiring Security; Declaration  6.37
    • E.  Procedure for Obtaining Stay  6.38
      • 1.  Motion to Fix Amount
        • a.  Procedure  6.39
        • b.  Form: Notice of Motion for Order Fixing Amount of Security; Declaration  6.40
        • c.  Form: Order Fixing Amount of Security  6.41
      • 2.  Waiver of Security
        • a.  Procedure  6.42
        • b.  Form: Waiver of Security  6.43
      • 3.  Obtaining and Filing Security
        • a.  General Procedures for All Surety Undertakings and Bonds  6.44
        • b.  Procedures for Personal Surety Undertakings
          • (1)  Affidavit or Declaration of Personal Sureties  6.45
          • (2)  Form: Declaration of Personal Surety in Support of Undertaking on Appeal From Money Judgment (CCP §995.520)  6.46
        • c.  Procedure for Admitted Surety Insurer Undertakings  6.47
      • 4.  Procedure for Obtaining Stay by Deposit  6.48
        • a.  Establishing Value of Bearer Bonds or Notes  6.49
        • b.  Form: Application for Order Determining Market Value of Deposit; Declaration  6.50
    • F.  Duration of Stay  6.51
    • G.  Effect of Security on Enforcement Proceedings  6.52
    • H.  Objections to Security
      • 1.  Grounds  6.53
      • 2.  Procedure for Objecting  6.54
        • a.  Particular Objections
          • (1)  Sufficiency of Admitted Surety Insurer  6.55
          • (2)  Sufficiency of Personal Surety  6.56
          • (3)  Inadequate Security  6.57
        • b.  Form: Notice of Motion for Order Determining Security Insufficient  6.58
      • 3.  Order
        • a.  Effect  6.59
        • b.  Form: Order Determining Security Insufficient  6.60
      • 4.  Review of Trial Court Order  6.61
    • I.  Modification of Security  6.62
  • IV.  STAY OF JUDGMENTS AND ORDERS DIRECTING EXECUTION OF INSTRUMENTS  6.63
  • V.  OBTAINING DISCRETIONARY STAY FROM TRIAL COURT
    • A.  Judgments and Orders Included
      • 1.  Child Custody; Exclusion From Dwelling  6.64
      • 2.  Other Judgments and Orders  6.65
    • B.  Procedure  6.66
    • C.  Form: Notice of Motion for Stay of Enforcement  6.67
  • VI.  OBTAINING WRIT OF SUPERSEDEAS OR OTHER STAY FROM COURT OF APPEAL
    • A.  Court’s Authority to Order Stay  6.68
    • B.  Situations in Which Stay Is Appropriate
      • 1.  Trial Court Refusal to Recognize Statutory Stay  6.69
      • 2.  Stay of Enforcement When Required Security Cannot Be Posted  6.70
      • 3.  Discretionary Stay Denied by Trial Court  6.71
      • 4.  Review of Trial Court’s Grant of Discretionary Stay  6.72
      • 5.  Stay of Threatened Act When Affirmative Relief Denied  6.73
    • C.  Test for Determining When Stay Is Appropriate  6.74
    • D.  Procedure
      • 1.  Time for Filing  6.75
      • 2.  Request for Temporary Stay  6.76
      • 3.  The Petition
        • a.  General Procedure  6.77
        • b.  Contents of Petition  6.78
        • c.  Supporting Memorandum  6.79
        • d.  Exhibits  6.80
        • e.  Form: Cover  6.81
        • f.  Form: Petition for Writ of Supersedeas  6.82
      • 4.  Opposition to Petition  6.83
      • 5.  Hearing; Decision; Security  6.84
    • E.  Review of Grant or Denial of Petition  6.85

7

Filing the Notice of Appeal

Mitchell E. Abbott

  • I.  INTRODUCTION TO FILING NOTICE OF APPEAL  7.1
    • A.  Scope of Chapter  7.2
    • B.  Governing Law  7.3
  • II.  IDENTIFYING WHICH JUDGMENT OR ORDER TO APPEAL
    • A.  Judgment or Order Must Be Appealable  7.4
    • B.  Scope of Appeal Defined by Judgment or Order Appealed  7.5
    • C.  Prejudgment Orders Generally Not Appealable  7.6
    • D.  Postjudgment Orders Require Separate Notice of Appeal  7.7
    • E.  Amended Judgment May Require Separate Notice of Appeal  7.7A
  • III.  FORM AND CONTENT OF NOTICE OF APPEAL
    • A.  Required Contents  7.8
      • 1.  Notice Must Specify Judgment From Which Appeal Is Taken  7.9
        • a.  When Judgment or Order Is Separately Appealable  7.10
        • b.  Partial Appeals  7.11
      • 2.  Notice Must Be in Writing  7.12
      • 3.  Notice Must Be Signed by Appellant or Counsel  7.13
    • B.  Sufficiency of Notice Liberally Construed  7.14
    • C.  Form: Notice of Appeal (Superior Court)  7.15
    • D.  Form: Notice of Appeal/Cross-Appeal (Unlimited Civil Case) (Appellate) (Judicial Council Form APP-002)  7.16
  • IV.  FILING REQUIREMENTS
    • A.  Notice Filed With Superior Court Clerk  7.17
      • 1.  Clerk’s Duty to File Notice  7.18
      • 2.  Clerk’s Receipt of Notice  7.19
    • B.  Service of Notice of Appeal
      • 1.  By Appellant  7.20
      • 2.  By Court Clerk  7.21
    • C.  Filing Fees
      • 1.  Amount of Fee  7.22
      • 2.  Exemption or Waiver of Fee
        • a.  Exemption for Public Agencies and Officials  7.23
        • b.  Exemption for Juveniles  7.24
        • c.  Exemption for Proceedings Under Lanterman-Petris-Short Act  7.25
        • d.  Fee Waiver  7.26
        • e.  Form: Information Sheet on Waiver of Appellate Court Fees (Supreme Court, Court of Appeal, Appellate Division) (Judicial Council Form APP-015/FW-015-INFO)  7.26A
      • 3.  Delivery of Fee to Superior Court  7.27
      • 4.  Deposit for Preparation of Clerk’s Transcript  7.28
      • 5.  Dismissal for Failure to Pay Filing Fees  7.29
  • V.  TIMING REQUIREMENTS FOR FILING NOTICE OF APPEAL
    • A.  Importance of Timely Filing  7.30
    • B.  No Relief From Late Filing  7.31
    • C.  Computing Time for Filing Appeal
      • 1.  Basic Rule  7.32
      • 2.  Date of Service of Notice of Entry of Judgment  7.33
        • a.  Manner of Service of Notice of Entry of Judgment  7.34
        • b.  Service of Notice by Clerk of Court  7.35
        • c.  Service of Notice by Party  7.36
      • 3.  When No Notice of Entry of Judgment Is Mailed or Served  7.37
        • a.  Entry Date Sets Outer Limit for All Appeals and Extensions  7.38
        • b.  Entry Date Methods  7.39
          • (1)  County Maintains Judgment Book  7.40
          • (2)  County Does Not Maintain Judgment Book  7.41
        • c.  Entry Date When Judgment Is Modified  7.42
      • 4.  Date of Entry of Orders
        • a.  When Order Entered in Permanent Minutes  7.43
        • b.  When Order Not Entered in Minutes  7.44
      • 5.  Manner of Entry of Orders  7.45
      • 6.  Date of Entry of Decree of Distribution  7.46
    • D.  Prematurely Filed Notices of Appeal
      • 1.  Notice Filed After Judgment Rendered  7.47
      • 2.  Notice Filed Before Judgment Rendered  7.48
      • 3.  Liberal Treatment of Premature Notices  7.49
      • 4.  Effect on Trial Court Jurisdiction  7.50
      • 5.  No Judgment Entered  7.51
    • E.  Special Appeal Periods for Certain Cases Relating to Public Agencies  7.52
    • F.  Right to Appeal Suspended  7.53
    • G.  Stipulation to Appeal  7.54
  • VI.  EXTENSIONS OF TIME TO FILE NOTICE OF APPEAL
    • A.  Chart: Extensions of Time to Appeal Judgment  7.55
    • B.  Motion for New Trial
      • 1.  Time for Appeal Extended by Valid Notice of Intention to Move for New Trial  7.56
      • 2.  Statutory Requirements for Valid Notice of Intention to Move for New Trial
        • a.  Filing and Service of Motion  7.57
        • b.  Designation of Grounds  7.58
        • c.  Reliance on Affidavits or Minutes  7.59
        • d.  Service on Adverse Parties  7.60
      • 3.  Extension When Motion Denied  7.61
        • a.  Determining Date Motion Denied
          • (1)  When Order Entered on Motion  7.62
          • (2)  When Motion Denied by Operation of Law  7.63
        • b.  No Need to Wait Until Motion Denied to File Notice of Appeal  7.64
      • 4.  Order Granting New Trial Appealable  7.65
        • a.  No Extension for Appellant  7.66
        • b.  Protective Cross-Appeal  7.67
      • 5.  Risks to Nonmoving Party in Multiparty Cases  7.68
      • 6.  Effect of Motion for Partial New Trial  7.69
        • a.  When Partial New Trial Motion Granted  7.70
        • b.  When Partial New Trial Motion Denied  7.71
    • C.  Motion to Vacate Judgment
      • 1.  Valid Motion Extends Time When Motion Denied  7.72
      • 2.  Motion to Vacate Must Be Made Before Appeal  7.73
      • 3.  Statutory Requirements for Valid Motion to Vacate
        • a.  Filing and Service of Motion  7.74
        • b.  Designation of Grounds  7.75
      • 4.  Computing Extension After Filing Valid Notice of Intention to Move to Vacate Judgment  7.76
        • a.  When Motion Denied  7.77
          • (1)  Denial by Operation of Law  7.78
          • (2)  Appealability of Order Denying Motion  7.79
        • b.  When Motion Granted  7.80
          • (1)  Prevailing Party’s Need for Protective Cross-Appeal  7.81
          • (2)  Losing Party May Appeal From New Judgment or Order on Motion  7.82
          • (3)  Multiparty Cases  7.83
      • 5.  Calendaring Time to Appeal When Moving to Vacate Judgment  7.84
    • D.  Motion for Reconsideration
      • 1.  Basic Rule  7.85
      • 2.  Limitations on Extension of Time to Appeal  7.86
      • 3.  Order Denying Motion Is Not Appealable  7.87
    • E.  Motion for Judgment Notwithstanding Verdict (JNOV)
      • 1.  Valid Motion Extends Time When Motion Denied  7.88
      • 2.  Statutory Requirements for JNOV
        • a.  Filing and Service of JNOV  7.89
        • b.  Grounds for JNOV  7.90
      • 3.  Effect of Rulings on Concurrent Motions for JNOV and New Trial
        • a.  Extension of Time to File Appeal  7.91
        • b.  Concurrent Rulings  7.92
        • c.  Appealability of Court’s Decision
          • (1)  When Both Motions Denied  7.93
          • (2)  When New Trial Granted but JNOV Denied  7.94
          • (3)  When Both New Trial and JNOV Granted  7.95
      • 4.  Effect of Ruling on Motion for JNOV
        • a.  When Motion for JNOV Granted  7.96
        • b.  When Motion for JNOV Denied  7.97
    • F.  Cross-Appeal
      • 1.  Extension of Time to Allow Initial Cross-Appeal  7.98
      • 2.  Extension Does Not Apply to Collateral Independent Judgment or Order of Time to Allow Initial Cross-Appeal  7.99
    • G.  Pending Cost-Award Proceedings
      • 1.  No Extension of Time for Appeal From Underlying Judgment  7.100
      • 2.  Effect of Notice of Appeal From Underlying Judgment on Cost Award  7.101
  • VII.  CIVIL CASE INFORMATION STATEMENT
    • A.  Filing Requirements  7.102
      • 1.  Deadline for Filing Statement  7.103
      • 2.  Failure to File  7.104
    • B.  Form: Civil Case Information Statement (Judicial Council Form APP-004)  7.105

8

Filing Cross-Appeals

James R. Goff

T. Peter Pierce

  • I.  INTRODUCTION
    • A.  Cross-Appeal Defined  8.1
    • B.  Procedural Guidelines  8.2
  • II.  WHEN CROSS-APPEAL IS APPROPRIATE
    • A.  Necessity for Cross-Appeal to Change Judgment (Independent Cross-Appeal)  8.3
      • 1.  Respondent’s Argument Not Sufficient  8.4
      • 2.  Problem With Preserving Partial Issues  8.5
      • 3.  Issues That Would Not Compel Initial Appeal  8.6
    • B.  Protective Cross-Appeal  8.7
      • 1.  When New Trial Motion Granted  8.8
      • 2.  When Motion to Vacate Judgment Granted  8.9
      • 3.  When Appeal Is Only From Portion of Judgment  8.9A
      • 4.  Motion for Judgment Notwithstanding Verdict
        • a.  When Motion for JNOV Denied  8.10
        • b.  When Motion for JNOV Granted  8.11
  • III.  WHEN CROSS-APPEAL IS INAPPROPRIATE
    • A.  When Multiple Appeals Are Not Cross-Appeals  8.12
    • B.  Severable Judgments and Orders  8.13
    • C.  No Extension of Time to File Appeal From Severable Judgments or Orders  8.14
  • IV.  CONSIDERATIONS IN BRINGING CROSS-APPEAL
    • A.  Costs Involved in Cross-Appeal  8.15
    • B.  Costs May Not Be Major Factor When Protective Cross-Appeal Is Involved  8.16
    • C.  Legal Merits of Arguments Raised by Cross-Appeal  8.17
      • 1.  Sanctions for Frivolous Cross-Appeal  8.18
      • 2.  Risks of Poorly Crafted Legal Arguments  8.19
      • 3.  Benefits of Strong Cross-Appeal  8.20
  • V.  PROSECUTING THE CROSS-APPEAL
    • A.  Similarity to Initial Appeal  8.21
    • B.  Time for Filing
      • 1.  Depends on Filing of First Appeal  8.22
      • 2.  Benefits of Filing Time for Cross-Appeal  8.23
      • 3.  Timely Filing Is Jurisdictional Requirement  8.24
      • 4.  Initial Appeal Must Also Be Timely to Avoid Jurisdictional Bar  8.25
      • 5.  Initial Appeal Can Be Invalid But Not Untimely  8.26
      • 6.  Calendaring  8.27
        • a.  Ascertain Whether Initial Appeal Was Timely  8.28
        • b.  Decide What Issues to Cross-Appeal  8.29
    • C.  Drafting Notice of Cross-Appeal
      • 1.  Contents  8.30
      • 2.  Form: Notice of Cross-Appeal  8.31
    • D.  Filing Fee  8.32
      • 1.  Calendaring Notice and Fees’ Due Dates  8.33
      • 2.  Dismissal When Fees Not Paid  8.34
    • E.  Additional Fees
      • 1.  Clerk’s Transcript  8.35
      • 2.  Reporter’s Transcript  8.36
    • F.  Designation of Record  8.37
      • 1.  Opportunity to Complete Record on Appeal  8.38
      • 2.  Fees Paid  8.39
      • 3.  Record Prepared  8.40
    • G.  Briefs  8.41
      • 1.  Calendaring Filing Dates  8.42
      • 2.  Filing Briefs  8.43
      • 3.  Contents  8.44
    • H.  Oral Argument
      • 1.  Sequence of Presentation  8.45
      • 2.  Brevity in Argument  8.46
        • a.  Protective Cross-Appeal  8.47
        • b.  Independent Cross-Appeal  8.48
    • I.  Order of Deciding Appeal and Cross-Appeal  8.49
      • 1.  Protective Cross-Appeal  8.50
      • 2.  Independent Cross-Appeal  8.51

9

Designating the Record

Mitchell E. Abbott

  • I.  INTRODUCTION TO DESIGNATING RECORD
    • A.  What Constitutes Record on Appeal  9.1
    • B.  Importance of Presenting Adequate Record  9.2
    • C.  Manner of Presenting Record
      • 1.  Record of Oral Proceedings
        • a.  Reporter’s Transcript  9.3
        • b.  Agreed Statement  9.4
        • c.  Settled Statement  9.5
      • 2.  Record of Written Documents
        • a.  Clerk’s Transcript  9.6
        • b.  Appendix  9.7
        • c.  Agreed Statement  9.8
        • d.  Settled Statement [Deleted]  9.9
        • e.  Superior Court File  9.10
        • f.  Judgment Roll  9.11
    • D.  Selecting Appropriate Form of Record
      • 1.  General Considerations  9.12
      • 2.  Theory of Appeal or Defense  9.13
      • 3.  Time Required to Prepare Record  9.14
      • 4.  Cost of Preparing Record  9.15
  • II.  PROCEDURES FOR DESIGNATING RECORD
    • A.  Filing Notice Designating Record on Appeal  9.16
      • 1.  Required Contents  9.17
      • 2.  Where to File  9.18
      • 3.  Time for Filing  9.19
        • a.  Extensions of Time  9.20
        • b.  Effect of Failure to Timely File Notice  9.21
        • c.  Relief From Default  9.22
      • 4.  Combined With Notice of Appeal  9.23
    • B.  Specific Designation Procedures
      • 1.  Reporter’s Transcript
        • a.  Specify Proceedings in Notice Designating Record  9.24
          • (1)  Use of Daily Transcripts  9.25
            • (a)  Advantages  9.26
            • (b)  Disadvantages  9.27
          • (2)  Partial Reporter’s Transcript  9.28
            • (a)  Risks  9.29
            • (b)  Benefits  9.30
          • (3)  When Less Than All Testimony Designated  9.31
          • (4)  Unreported Items  9.32
        • b.  Special Service Requirements  9.33
        • c.  Deposit Must Accompany Notice Designating Record  9.34
          • (1)  Clerk’s Duties Following Deposit  9.35
          • (2)  Inadequate Deposit  9.36
          • (3)  Failure to Include Deposit  9.37
          • (4)  Alternatives to Submitting Deposit
            • (a)  Certified Transcript  9.38
            • (b)  Fee Waiver for Low-Income Litigants  9.39
            • (c)  Reporter’s Waiver  9.40
        • d.  Respondent’s Notice of Additional Designations (Counterdesignation)  9.41
          • (1)  Contents  9.42
          • (2)  Time for Filing  9.43
          • (3)  Deposit  9.44
          • (4)  Service  9.45
        • e.  Time Limit for Reporter to Prepare Transcript  9.46
        • f.  When Transcript Unavailable
          • (1)  Remedies When Notes Not Transcribed  9.47
          • (2)  Remedies When Notes Lost  9.48
        • g.  Certification, Filing, and Disposition of Reporter’s Transcript  9.49
        • h.  Correction of Reporter’s Transcript  9.50
        • i.  Sharing Transcript  9.51
      • 2.  Agreed Statement  9.52
        • a.  Required Contents  9.53
        • b.  Required Signatures  9.54
        • c.  Filing Agreed Statement or Stipulation; Timing  9.55
          • (1)  Stipulation Filed; Parties Agree on Statement  9.56
          • (2)  Stipulation Filed; Parties Cannot Agree on Statement  9.57
      • 3.  Settled Statement  9.58
        • a.  Electing to Use Settled Statement  9.59
        • b.  Filing Motion to Use Settled Statement  9.60
        • c.  Time to File Proposed Statement  9.61
        • d.  Contents and Format of Proposed Statement  9.62
        • e.  Respondent’s Proposed Amendments  9.63
        • f.  Judge’s Review and Hearing  9.64
        • g.  Settling the Statement  9.65
        • h.  Certification of Statement  9.66
      • 4.  Clerk’s Transcript  9.67
        • a.  Mandatory Documents  9.68
        • b.  Additional Designated Items  9.69
        • c.  Procedures for Designation
          • (1)  Designating Documents  9.70
            • (a)  Manner of Designating Documents  9.71
            • (b)  Lost Documents  9.72
          • (2)  Time for Filing  9.73
        • d.  Respondent’s Notice Designating Additional Documents  9.74
        • e.  Cost of Transcript
          • (1)  Clerk Notifies Parties of Estimated Cost  9.75
          • (2)  Deposit of Cost  9.76
            • (a)  Appellant Fails to Deposit Cost  9.77
            • (b)  Appeal Abandoned or Dismissed  9.78
        • f.  Timing for Clerk to Prepare Transcript; Filing  9.79
        • g.  Use and Disposition of Copies of Clerk’s Transcript  9.80
      • 5.  Appendix  9.81
        • a.  Advantages and Disadvantages  9.82
        • b.  Procedure for Electing to Use Appendix
          • (1)  Appellant Must Specify Election in Notice Designating Record on Appeal  9.83
          • (2)  Respondent May Elect to Use Appendix  9.84
          • (3)  Objection to Election of Appendix  9.85
          • (4)  Clerk Sends Register of Actions  9.86
        • c.  Contents
          • (1)  Mandatory Documents  9.87
          • (2)  Documents That Must Not Be Included  9.88
          • (3)  Documents Incorporated by Reference  9.89
          • (4)  Exhibits  9.90
        • d.  Inadequate or Incomplete Appendix  9.91
        • e.  Representation of Accuracy  9.92
        • f.  Joint Appendix  9.93
        • g.  Separate Appendixes
          • (1)  Respondent’s Appendix  9.94
          • (2)  Appellant’s Reply Appendix  9.95
        • h.  Format  9.96
          • (1)  Conformed Copies Not Required  9.97
          • (2)  Cover Requirements  9.98
          • (3)  Paper and Binding Requirements  9.99
          • (4)  Index Requirements  9.100
        • i.  Filing
          • (1)  When to File  9.101
          • (2)  Where to File  9.102
        • j.  Cost of Preparation
          • (1)  Joint Appendix  9.103
          • (2)  Separate Appendixes  9.104
          • (3)  Cost Recoverable on Appeal  9.105
      • 6.  Superior Court File
        • a.  Allowed by Stipulation in First, Third, and Fourth Districts  9.106
        • b.  Appellant May Also Designate Reporter’s Transcript  9.107
        • c.  Briefs Must Include References to Record  9.108
        • d.  Procedure
          • (1)  Filing Stipulation With Notice Designating Record on Appeal  9.109
          • (2)  Service on Reviewing Court  9.110
        • e.  Costs
          • (1)  Clerk Sends Estimate  9.111
          • (2)  Appellant Must Pay Deposit Cost Within 10 Days  9.112
        • f.  Clerk Arranges Contents  9.113
        • g.  Clerk Sends Index to Parties; Files With Appellate Court  9.114
      • 7.  Judgment Roll
        • a.  Contents  9.115
        • b.  Use of Judgment Roll as Record on Appeal  9.116
        • c.  Procedure  9.117
    • C.  Multiple Appeals  9.118
    • D.  Reference to Prior Appeal  9.119
    • E.  Protecting Sealed and Confidential Documents in the Record  9.119A
      • 1.  Handling Records Sealed by the Trial Court  9.119B
      • 2.  Handling Confidential Records  9.119C
  • III.  MOTIONS AFFECTING RECORD
    • A.  Augmenting Record
      • 1.  Additional Documents and Oral Proceedings  9.120
      • 2.  Procedure
        • a.  On Reviewing Court’s Own Motion  9.121
        • b.  On Party’s Motion  9.122
      • 3.  Cost of Additional Transcript  9.123
    • B.  Correcting Record  9.124
    • C.  Omissions by Clerk  9.125
    • D.  Additional Evidence and Factual Determinations on Appeal  9.126
    • E.  Motion to Dismiss Appeal for Failure to Procure Filing of Record on Appeal  9.127
    • F.  Motion for Relief From Default in Procuring Filing of Record on Appeal  9.128
  • IV.  TRANSMISSION OF EXHIBITS
    • A.  Procedure for Transmission  9.129
    • B.  Return of Exhibits  9.130
  • V.  FORMS
    • A.  Form: Appellant’s Notice Designating Record on Appeal (Unlimited Civil Case) (Judicial Council Form APP-003)  9.131
    • B.  Form: Notice to Prepare Reporter’s Transcript (Appeal From Superior Court)  9.132
    • C.  Form: Respondent’s Notice Designating Record on Appeal (Unlimited Civil Case) (Judicial Council Form APP-010)  9.133
    • D.  Form: Notice to Prepare Partial Reporter’s Transcript (Appeal From Superior Court)  9.134
    • E.  Form: Preliminary Stipulation on Attempt to Prepare Agreed Statement (Cal Rules of Ct 8.134)  9.135
    • F.  Form: Motion to Use Settled Statement (Cal Rules of Ct 8.137)  9.136
    • G.  Form: Proposed Statement on Appeal (Unlimited Civil Case) (Judicial Council Form APP-014) (Cal Rules of Ct 8.137)  9.137
    • H.  Form: Respondent’s Proposed Amendments to Appellant’s Proposed Settled Statement (Cal Rules of Ct 8.137(e)(1)  9.138
    • I.  Form: Notice to Prepare Clerk’s Transcript  9.139
    • J.  Form: Respondent’s Notice Designating Additions to Clerk’s Transcript  9.140
    • K.  Form: Request for Correction of Transcript  9.141
    • L.  Form: Respondent’s Notice Electing to Use an Appendix (Unlimited Civil Case) (Judicial Council Form APP-011)  9.142
    • M.  Form: Stipulation Designating Contents of Joint Appendix  9.143
  • VI.  CHART: PROCEDURES FOR DESIGNATING RECORD; TIME LIMITS  9.144

10

Appeals in Limited Civil and Small Claims Cases

Robert M. Dato

Efrat M. Cogan

  • I.  SCOPE OF CHAPTER  10.1
  • II.  APPEALS IN LIMITED CIVIL CASES
    • A.  Superior Court Appellate Division  10.2
      • 1.  Organization  10.3
        • a.  Role of Presiding Judge  10.4
        • b.  Panel Necessary for Decision  10.5
      • 2.  Applicable Rules of Court  10.6
    • B.  Appealable Judgments and Orders  10.7
    • C.  Determining Whether to Appeal  10.8
    • D.  Filing the Notice of Appeal
      • 1.  Time to File  10.9
        • a.  Determining Date of Entry of Judgment or Order  10.10
        • b.  If Notice Filed Late  10.11
        • c.  If Notice Filed Early  10.12
      • 2.  Extension of Time to File  10.13
        • a.  Motion for New Trial
          • (1)  Denial of Motion  10.14
          • (2)  Acceptance or Rejection of Additur or Remittitur  10.15
        • b.  Motion to Vacate Judgment  10.16
        • c.  Motion for Judgment Notwithstanding the Verdict  10.17
        • d.  Motion to Reconsider Appealable Order  10.18
      • 3.  Time to File Cross-Appeal  10.19
      • 4.  Procedure for Filing Notice of Appeal
        • a.  Contents of Notice  10.20
        • b.  Service and Filing  10.21
          • (1)  Filing Fee Required  10.22
          • (2)  Failure to Pay Filing Fee  10.23
        • c.  Notification of Appeal  10.24
      • 5.  Consequences of Filing Notice of Appeal
        • a.  Jurisdiction Vested in Appellate Division  10.25
        • b.  Proceedings in Superior Court Automatically Stayed  10.26
          • (1)  Exceptions to Automatic Stay Rule  10.27
          • (2)  Stay by Superior Court Order  10.28
            • (a)  Ex Parte Application for Stay  10.29
            • (b)  Noticed Motion for Stay  10.30
          • (3)  Stay by Appellate Division
            • (a)  Writ of Supersedeas  10.31
            • (b)  Required Contents  10.32
              • (i)  Opposition  10.33
            • (c)  Temporary Stay  10.34
    • E.  Record on Appeal
      • 1.  What Constitutes the Record  10.35
        • a.  Documents Filed in Superior Court  10.36
        • b.  Oral Proceedings in Superior Court  10.37
      • 2.  Determining Appropriate Form of the Record  10.38
        • a.  Issues Presented in Documents Only  10.39
        • b.  Issues Require Consideration of Oral Proceedings  10.40
      • 3.  Designating the Record
        • a.  Contents of Notice  10.41
        • b.  Time to File  10.42
        • c.  Designating Written Documents
          • (1)  Clerk’s Transcript  10.43
            • (a)  Importance of Completeness  10.44
            • (b)  Mandatory Documents  10.45
            • (c)  Appellant Can Designate Additional Documents  10.46
            • (d)  Special Designation Requirements
            • (e)  Notice  10.47
              • (i)  Exhibits  10.48
            • (f)  Respondent May Designate Additional Documents  10.49
            • (g)  Cost; Time of Payment; Copies  10.50
            • (h)  Preparation of Clerk’s Transcript  10.51
          • (2)  Superior Court File  10.52
          • (3)  Agreed Statement  10.53
            • (a)  How to Initiate  10.54
            • (b)  Contents  10.55
            • (c)  Required Contents  10.56
              • (i)  Optional Contents  10.57
            • (d)  Form: Stipulation Regarding Attempt to Prepare Agreed Statement  10.58
            • (e)  Form: Agreed Statement on Appeal  10.59
        • d.  Designating Oral Proceedings
          • (1)  Reporter’s Transcript
            • (a)  Contents  10.60
            • (b)  Special Designation Requirements  10.61
            • (c)  Respondent May Designate Additional Proceedings  10.62
            • (d)  Cost; Time of Payment  10.63
            • (e)  Filing  10.64
            • (f)  When Proceedings Cannot Be Transcribed  10.65
          • (2)  Agreed Statement  10.66
          • (3)  Statement on Appeal
            • (a)  Definition  10.67
            • (b)  Time Limitations  10.68
            • (c)  Contents  10.69
            • (d)  Respondent’s Proposed Amendments  10.70
            • (e)  Form: Respondent’s Proposed Amendments to Appellant’s Proposed Statement on Appeal  10.71
            • (f)  Correcting and Reviewing Statement  10.72
            • (g)  If Court Orders Hearing  10.73
              • (i)  If Court Does Not Order Hearing  10.74
            • (h)  Court-Ordered Transcript  10.75
            • (i)  Review of Corrected Statement  10.76
            • (j)  Certification of Statement  10.77
          • (4)  Official Electronic Recording  10.78
            • (a)  Use of Official Recording as Record of Oral Proceedings  10.79
            • (b)  When Proceedings Were Not Officially Electronically Recorded or Cannot Be Transcribed  10.80
      • 4.  Extension of Time to Prepare Record
        • a.  Application for Extension of Time  10.81
        • b.  If Deadlines Are Missed  10.82
      • 5.  Record When Multiple Appeals  10.83
      • 6.  Filing Record in Appellate Division  10.84
      • 7.  Augmenting and Correcting Record  10.85
        • a.  Augmentation  10.86
        • b.  Correction  10.87
        • c.  Omissions  10.88
      • 8.  Failure to Procure Record  10.89
      • 9.  Obtaining Judicial Notice  10.89A
    • F.  Settlement, Abandonment, and Involuntary Dismissal
      • 1.  Settlement of Case  10.90
      • 2.  Abandonment  10.91
      • 3.  Involuntary Dismissal  10.92
    • G.  Applications and Motions  10.93
      • 1.  Application Defined  10.94
        • a.  Contents  10.95
        • b.  Filing and Service  10.96
      • 2.  Motions  10.97
    • H.  Briefs
      • 1.  Time Limitations for Filing  10.98
      • 2.  Filing Requirements  10.99
      • 3.  Service Requirements  10.100
      • 4.  Contents, Format, and Length
        • a.  Contents  10.101
        • b.  Format  10.102
        • c.  Length  10.103
      • 5.  Noncomplying Briefs  10.104
      • 6.  Respondent’s Brief  10.105
      • 7.  Reply Brief  10.106
      • 8.  Amicus Curiae Briefs  10.107
      • 9.  Briefing Schedule  10.108
      • 10.  Extension of Time  10.108A
    • I.  Hearings
      • 1.  Regular Sessions  10.109
      • 2.  Oral Argument  10.110
      • 3.  Additional Evidence  10.111
    • J.  Submission of Case  10.112
    • K.  Determination of Appeal
      • 1.  Judge’s Conferences  10.113
      • 2.  Decisions  10.114
      • 3.  Judgment  10.115
      • 4.  Petition for Rehearing  10.116
        • a.  Time to Petition for Rehearing  10.117
        • b.  Court Must Request Answer to Petition  10.118
        • c.  Grounds for Rehearing  10.119
      • 5.  Finality and Modification of Decision
        • a.  Finality  10.120
        • b.  Modification  10.121
        • c.  Consent to Increase or Decrease in Amount in Judgment  10.122
      • 6.  Remittitur  10.123
        • a.  Immediate Issuance or Stay of Remittitur  10.124
        • b.  Effect of Remittitur  10.125
        • c.  Recall of Remittitur  10.126
    • L.  Review of Appellate Division Decisions
      • 1.  No Right to Review  10.127
      • 2.  Certification for Transfer to Court of Appeal  10.128
        • a.  Procedure  10.129
        • b.  When Appellate Division May Certify  10.130
        • c.  Effect of Certification  10.131
      • 3.  Transfer of Case From Appellate Division  10.132
        • a.  On Motion of Court of Appeal
          • (1)  Court of Appeal Receives Copy of Opinion and Record  10.133
          • (2)  When Court Must Order Transfer  10.134
          • (3)  Counsel May Write Letter in Support or Opposition [Deleted]  10.135
        • b.  On Party’s Petition  10.136
          • (1)  Answer to Petition  10.137
          • (2)  Determination  10.138
        • c.  Proceedings After Transfer  10.139
          • (1)  Briefing  10.140
          • (2)  Argument  10.141
          • (3)  Disposition of Case  10.142
        • d.  Remittitur  10.143
      • 4.  Review by Extraordinary Writ  10.144
        • a.  Excess of Jurisdiction; Denial of Fair Hearing  10.145
        • b.  Mere Erroneous Decision Insufficient  10.146
        • c.  Court of Appeal or Supreme Court?  10.147
    • M.  Costs
      • 1.  Right to Costs on Appeal  10.148
      • 2.  Appellate Division Determines Award or Denial  10.149
      • 3.  Items Recoverable as Costs  10.150
      • 4.  Procedure for Claiming or Opposing Costs  10.151
      • 5.  Judgment for Costs  10.152
    • N.  Sanctions  10.153
  • III.  APPEALS IN SMALL CLAIMS CASES
    • A.  Applicable Statutes and Rules of Court  10.154
    • B.  Attorney Involvement  10.155
    • C.  Who May Appeal
      • 1.  Defendant
        • a.  If Defendant Appeared at Trial  10.156
          • (1)  Right to Appeal if Defendant Has Mandatory Cross-Claim  10.157
          • (2)  Defendant’s Insurer  10.158
        • b.  If Defendant Did Not Appear at Trial: Motion to Vacate  10.159
      • 2.  Plaintiff
        • a.  Appeal Generally Prohibited  10.160
        • b.  Appeal Permitted on Defendant’s Cross-Claim  10.161
        • c.  May Move to Vacate  10.162
        • d.  Extraordinary Writ  10.163
    • D.  Motion to Vacate
      • 1.  Plaintiff  10.164
      • 2.  Defendant  10.165
        • a.  When to File Motion to Vacate  10.166
        • b.  Appeal From Denial of Motion  10.167
        • c.  Extension of Time to File Motion  10.168
    • E.  Filing Notice of Appeal
      • 1.  Time to File  10.169
        • a.  No Extension if Deadline Missed  10.170
        • b.  No Extension of Time for Proceedings to Correct Judgment  10.171
        • c.  When Defendant Has Not Appeared at Trial  10.172
        • d.  Effect of Early Filing  10.173
      • 2.  Clerk Serves Notice of Appeal  10.174
      • 3.  Filing Fee  10.175
      • 4.  Abandonment and Dismissal Before Record Filed; Compromise  10.176
    • F.  Proceedings on Appeal
      • 1.  Clerk Prepares Record on Appeal  10.177
      • 2.  Clerk Sets Case for Hearing  10.178
      • 3.  Nature of Review
        • a.  Informal Trial De Novo  10.179
        • b.  Scope of Appeal  10.180
      • 4.  Abandonment and Dismissal; Compromise
        • a.  Voluntary Dismissal  10.181
        • b.  Involuntary Dismissal  10.182
        • c.  Compromise of Claim of Minor or Incompetent Person  10.183
    • G.  Judgment on Small Claims Appeal
      • 1.  Limited Res Judicata  10.184
      • 2.  No Collateral Estoppel  10.185
      • 3.  Costs  10.186
      • 4.  Sanctions  10.187
    • H.  Finality of Judgment: Appeal Not Available  10.188
      • 1.  No Motion for New Trial or Motion to Vacate  10.189
      • 2.  Court May Not Grant Rehearing  10.190
      • 3.  Writ May Be Available  10.191
  • IV.  FORMS
    • A.  Form: Information on Appeal Procedures for Limited Civil Cases (Judicial Council Form APP-101-INFO)  10.192
    • B.  Form: Notice of Appeal/Cross-Appeal (Limited Civil Case) (Judicial Council Form APP-102)  10.193
    • C.  Form: Appellant’s Notice Designating Record on Appeal (Limited Civil Case) (Judicial Council Form APP-103)  10.194
    • D.  Form: Respondent’s Notice Designating Record on Appeal (Limited Civil Case) (Judicial Council Form APP-110)  10.194A
    • E.  Form: Proposed Statement on Appeal (Limited Civil Case) (Judicial Council Form APP-104)  10.195
    • F.  Form: Order Concerning Appellant’s Proposed Statement on Appeal (Limited Civil Case) (Judicial Council Form APP-105)  10.196
    • G.  Form: Application for Extension of Time to File Brief (Limited Civil Case) (Judicial Council Form APP-106)  10.196A
    • H.  Form: Abandonment of Appeal (Limited Civil Case) (Judicial Council Form APP-107)  10.197
    • I.  Form: Notice of Motion to Vacate Judgment and Declaration (Judicial Council Form SC135)  10.198

11

Motions, Applications, and Informal Requests

Mary-Christine (M.C.) Sungaila

  • I.  INTRODUCTION
    • A.  Scope of Chapter  11.1
    • B.  Function of Motions, Applications, and Requests on Appeal  11.2
    • C.  Deciding Between Motion and Application  11.3
    • D.  Reliance on Rules of Court  11.4
  • II.  TYPES OF MOTIONS IN REVIEWING COURT
    • A.  Involuntary Dismissal of Appeal
      • 1.  Appellate Court’s Power to Dismiss  11.5
      • 2.  Grounds for Motion to Dismiss  11.6
      • 3.  Timing of Motion to Dismiss  11.7
      • 4.  Motion to Dismiss Before Record Is Filed  11.8
      • 5.  Form: Declaration Under Cal Rules of Ct 8.57(a) in Support of Motion to Dismiss  11.9
      • 6.  Motion to Dismiss After Record Is Filed  11.10
      • 7.  Form: Motion to Dismiss Appeal  11.11
      • 8.  Form: Declaration in Support of Motion for Order to Dismiss Appeal  11.12
      • 9.  Failure to File Opposition to Motion to Dismiss  11.13
      • 10.  Specific Grounds for Motion to Dismiss
        • a.  Lack of Jurisdiction  11.14
        • b.  Mootness
          • (1)  Determination of Mootness
            • (a)  Moot Issues Require Dismissal of Appeal  11.15
            • (b)  When Some Controversy Remains  11.16
            • (c)  Bringing the Motion  11.17
          • (2)  Examples of Mootness of Issues  11.18
          • (3)  Exceptions to Mootness Doctrine  11.19
            • (a)  Public Interest; Likelihood of Repetition  11.20
            • (b)  Likely Recurrence Between Parties  11.21
            • (c)  Material Issue Remains  11.22
        • c.  Frivolous Appeals and Appeals Taken Solely for Vexation, Harassment, or Delay
          • (1)  Court’s Inherent Authority to Dismiss Abusive Appeal  11.23
          • (2)  Sanctions  11.24
          • (3)  Sanction Procedures  11.25
          • (4)  Affirmance With Sanctions  11.26
        • d.  Failure to Comply With Procedural Rules
          • (1)  Delay or Default in Obtaining Record
            • (a)  Appellant’s Fault in Causing Late Filing of Record May Prompt Dismissal  11.27
            • (b)  Dismissal Based on Technicality Is Disfavored  11.28
            • (c)  Procedure  11.29
            • (d)  Dismissal for Abandonment of Appeal  11.30
          • (2)  Failure to Pay Fees for Filing Appeal or for Record
            • (a)  Failure to Pay Filing Fees or Deposit  11.31
            • (b)  Notice on Failure to Pay Fees  11.32
            • (c)  Notice on Failure to Make Deposit  11.33
            • (d)  Dismissal  11.34
            • (e)  Slight Delay Seldom Causes Dismissal  11.35
        • e.  Failure to File Opening Brief
          • (1)  Failure to File Opening Brief in Timely Manner Can Result in Dismissal  11.36
          • (2)  Rationale for Dismissal  11.37
          • (3)  Dismissal for Technicality Is Disfavored  11.38
        • f.  Disentitlement Doctrine  11.39
    • B.  Motion to Vacate Order of Dismissal Before Remittitur Issues  11.40
    • C.  Motion for Relief From Default
      • 1.  Grounds and Procedure
        • a.  Party in Default of Procedural Rules May Move for Relief From Default  11.41
        • b.  Default in Failing to File Timely Petition for Review  11.42
        • c.  Relief From Default Is Liberally Granted  11.43
        • d.  Good Cause and Lack of Prejudice Must Be Shown  11.44
        • e.  Factors Considered by Court  11.45
        • f.  Motion for Relief From Default in Response to Motion to Dismiss  11.46
      • 2.  Form: Motion for Relief From Default  11.47
    • D.  Augmentation and Correction of Record
      • 1.  Augmentation of Record
        • a.  Record May Be Augmented by Motion of Party or on Court’s Own Motion  11.48
        • b.  Procedure Generally  11.49
      • 2.  Omissions and Corrections of Record  11.50
      • 3.  Formal Motion for Augmentation or Correction  11.51
      • 4.  Local Rules of Courts of Appeal
        • a.  First Appellate District  11.52
        • b.  Second Appellate District  11.53
        • c.  Fifth Appellate District  11.54
      • 5.  Augmentation of Record Not Available When Appeal Is Based on Settled Statement  11.55
      • 6.  Form: Declaration in Support of Request or Motion to Augment or Correct Record on Appeal; Order  11.56
    • E.  Motion to Seal or Unseal the Record
      • 1.  Differences Between Record Filed Under Seal in Trial Court and Record Not Under Seal in Trial Court  11.57
      • 2.  Motion to File Record Under Seal on Appeal  11.58
      • 3.  Motion to File Confidential Record Under Seal  11.59
      • 4.  Motion to Unseal the Record  11.60
    • F.  Motion to Strike Defective Brief
      • 1.  Court’s Action to Correct Defective Brief  11.61
      • 2.  Court’s Consideration of Issues in Defective Brief  11.62
      • 3.  Form: Motion to Strike Brief  11.63
    • G.  Motion for Factual Determinations on Appeal
      • 1.  Appellate Court May Make Factual Determinations and Take Additional Evidence  11.64
        • a.  Purpose and Limits of Rule  11.65
        • b.  Rule Is Rarely Applied  11.66
      • 2.  Proper Use of Power in Making Factual Determinations  11.67
        • a.  Appellate Court Rarely Makes New Findings Resulting in Reversal  11.68
        • b.  When Facts Considered by Appellate Court Occur After Entry of Judgment  11.69
      • 3.  Limitations on Factual Determinations  11.70
      • 4.  Procedure  11.71
      • 5.  Form: Motion for Factual Determinations on Appeal  11.72
    • H.  Motion to Produce Additional Evidence on Appeal
      • 1.  Discretionary and Rare  11.73
      • 2.  Writs of Coram Nobis and Coram Vobis in Lieu of Motion to Produce Additional Evidence  11.74
      • 3.  When Court Will Deny Motion to Take New Evidence  11.75
      • 4.  Procedure  11.76
      • 5.  Form: Motion for Production of Additional Evidence on Appeal  11.77
    • I.  Judicial Notice in Reviewing Court
      • 1.  Authority to Take Judicial Notice  11.78
      • 2.  Compulsory Judicial Notice  11.79
      • 3.  Permissive Judicial Notice  11.80
      • 4.  Court Procedure for Judicial Notice  11.81
      • 5.  Procedure for Making Request for Judicial Notice  11.82
      • 6.  Format of Request  11.83
    • J.  Remittitur
      • 1.  Effect of Remittitur  11.84
      • 2.  Immediate Issuance of Remittitur  11.85
      • 3.  Stay of Issuance of Remittitur  11.86
      • 4.  Recall of Remittitur
        • a.  Grounds  11.87
        • b.  Procedure  11.88
    • K.  Calendar Preference
      • 1.  Use Motion When Priority Not Mandatory
        • a.  Mandatory Preferences  11.89
        • b.  Discretionary Calendar Preference on Showing of Good Cause  11.90
        • c.  Good Cause  11.91
      • 2.  Form: Motion for Calendar Preference  11.92
    • L.  Approval of Stipulated Reversal of Judgment
      • 1.  Stipulated Reversal in Settlement Context  11.93
      • 2.  Court Rules on Stipulated Reversal  11.94
    • M.  Transfer and Consolidation of Appeals
      • 1.  Circumstances Warranting Transfer or Consolidation of Appeal  11.95
      • 2.  Court of Appeal’s Authority to Transfer  11.96
      • 3.  Supreme Court’s Authority to Transfer  11.97
      • 4.  Procedure  11.98
    • N.  Counsel Pro Hac Vice
      • 1.  General Rule  11.99
      • 2.  Procedure  11.100
      • 3.  Special Permission to Argue in Particular Case  11.101
    • O.  Withdrawal or Substitution of Attorneys  11.102
  • III.  TYPES OF ROUTINE APPLICATIONS AND REQUESTS IN REVIEWING COURT
    • A.  Extensions of Time
      • 1.  Generally
        • a.  Procedure
          • (1)  Application Must be Made to Chief Justice or Presiding Justice  11.103
          • (2)  Limitations on Extensions of Time  11.104
          • (3)  Basic Requirements of Application  11.105
          • (4)  Proof of Service  11.106
        • b.  Standards for Granting Extensions
          • (1)  Policy in Granting Extensions  11.107
          • (2)  Factors to be Considered  11.108
        • c.  Extensions After Expiration of Time Period  11.109
      • 2.  Preparation of Record
        • a.  Procedure
          • (1)  Apply for Extension of Time to Prepare Record If Necessary  11.110
          • (2)  Requirements of Application  11.111
          • (3)  Motion for Relief from Default After Expiration of Deadline  11.112
        • b.  Form: Application for Extension of Time to Prepare Record on Appeal; Order  11.113
        • c.  Form: Stipulation for Extension of Time to Prepare Record on Appeal; Order  11.114
      • 3.  Filing Appellate Briefs
        • a.  Generally
          • (1)  Extension by Stipulation or Application  11.115
          • (2)  Stipulations May be Used in Court of Appeal Only  11.116
          • (3)  Service to All Represented Parties  11.117
          • (4)  Extensions Beyond 60 Days  11.118
          • (5)  Forms  11.119
        • b.  Appellant’s Brief  11.120
        • c.  Respondent’s Brief  11.121
        • d.  Local Rules
          • (1)  First Appellate District  11.122
          • (2)  Second Appellate District  11.123
        • e.  Form: Application for Extension of Time to File Brief; Order  11.124
        • f.  Form: Stipulation for Extension of Time to File Brief  11.125
      • 4.  Filing Petition for Rehearing
        • a.  Appellate Court’s Jurisdiction to Grant Rehearing  11.126
        • b.  When Appellate Decision Is Final  11.127
        • c.  Application for Extension of Time in Which to File Petition for Rehearing  11.128
        • d.  Extensions Rarely Granted  11.129
    • B.  Shortening Time
      • 1.  Good Cause Necessary for Order Shortening Time  11.130
      • 2.  Need for Order Shortening Time Is Rare  11.131
    • C.  Substitution of Parties  11.132
    • D.  Briefs in Excess of Length Limit
      • 1.  Brief Lengths  11.133
      • 2.  Form: Application for Permission to File Brief in Excess of 14,000 Words  11.134
    • E.  Permission to File Amicus Curiae Brief
      • 1.  Nonparty May Apply to File a Brief  11.135
      • 2.  Application in Court of Appeal  11.136
      • 3.  Application in Supreme Court: Petition for Review and Original Writ  11.137
      • 4.  Application in Supreme Court: Brief on the Merits  11.138
    • F.  Permission to File Supplemental Briefs  11.139
    • G.  Continuance of Oral Argument  11.140
    • H.  Immediate Issuance or Stay of Remittitur  11.141
    • I.  Publication or Depublication of Court Opinion
      • 1.  Request for Publication  11.142
      • 2.  Request for Depublication  11.143
  • IV.  GENERAL PROCEDURAL MATTERS PERTAINING TO APPLICATIONS AND MOTIONS
    • A.  Motions Under Cal Rules of Ct 8.54
      • 1.  Required Showing  11.144
      • 2.  Notice; Format of Papers; Copies  11.145
      • 3.  Opposition
        • a.  Basic Rule  11.146
        • b.  Additional Time to Respond if Served by Mail  11.147
        • c.  Certificate of Interested Entities or Persons  11.148
        • d.  Filing Fee  11.149
      • 4.  Failure to File Opposition  11.150
      • 5.  Disposition of Motions: Hearing  11.151
    • B.  Applications on Routine Matters Under Cal Rules of Ct 8.50
      • 1.  Required Showing  11.152
      • 2.  Service and Notice
        • a.  Basic Requirements  11.153
        • b.  Stipulations and Applications for Additional Time for Preparation of Record or Filing Briefs  11.154
        • c.  Class Actions  11.155
      • 3.  Format of Papers  11.156
      • 4.  Certificate of Interested Entities or Persons  11.157
      • 5.  Opposition  11.158
      • 6.  Stipulation  11.159
    • C.  Rules Pertaining to Abandonment of Appeal and Voluntary Dismissal
      • 1.  Before Record on Appeal Filed
        • a.  Procedure  11.160
        • b.  Severable Appeal  11.161
        • c.  Notice by Clerk  11.162
        • d.  Reimbursement of Costs  11.163
        • e.  Form: Voluntary Abandonment and Dismissal (Before Record on Appeal Filed)  11.164
      • 2.  After Record on Appeal Filed
        • a.  Procedure  11.165
        • b.  Notice by Clerk  11.166
        • c.  Form: Request for Dismissal of Appeal (After Record on Appeal Filed)  11.167
        • d.  Form: Stipulation for Dismissal (After Record on Appeal Filed)  11.168
        • e.  Form: Order for Dismissal of Appeal  11.169
      • 3.  Abandonment or Dismissal in Case of Minor or Person Lacking Legal Capacity to Make Decisions  11.170
      • 4.  Limitations on Right of Voluntary Dismissal
        • a.  Appellant’s Right to Dismissal After Filing of Record  11.171
        • b.  Appellant’s Right to Dismissal Before Filing Record  11.172
      • 5.  Vacating Abandonment  11.173
    • D.  Electronic Filing and Service
      • 1.  Electronic Service  11.174
      • 2.  Electronic Filing in Courts of Appeal  11.175
      • 3.  Requirements for Signatures on Documents  11.176
      • 4.  Electronic Filing Deadlines  11.177
      • 5.  Court Action on Receipt of Electronic Filing  11.178
    • E.  Electronic Filing in California Supreme Court  11.179
    • F.  Local Rules on Electronic Filing  11.180
      • 1.  First Appellate District
        • a.  Mandatory E-Filing and Registration  11.181
        • b.  Electronic Format  11.182
        • c.  Electronic Bookmarks  11.183
        • d.  Electronic Signatures  11.184
        • e.  Trial Court Record  11.185
        • f.  Redacting Personal Identifiers  11.186
        • g.  Court Confirmation of Filing  11.187
        • h.  Technical Failures During Filing  11.188
        • i.  Manually Filing a Large Document  11.189
        • j.  Sanctions  11.190
      • 2.  Second Appellate District
        • a.  Mandatory E-Filing and Registration  11.191
        • b.  Electronic Format  11.192
      • 3.  Third Appellate District
        • a.  Mandatory E-Filing and Registration  11.193
        • b.  Electronic Format  11.194
        • c.  Electronic Bookmarks  11.195
        • d.  Electronic Signatures  11.196
        • e.  Trial Court Record  11.197
        • f.  Redacting Personal Identifiers  11.198
        • g.  Technical Failures During Filing  11.199
        • h.  Manually Filing a Large Document  11.200
        • i.  Sanctions  11.201
      • 4.  Fourth Appellate District
        • a.  Mandatory E-Filing and Registration  11.202
        • b.  Electronic Format  11.203
        • c.  Electronic Bookmarks  11.204
        • d.  Electronic Signatures  11.205
        • e.  Trial Court Record  11.206
        • f.  Redacting Personal Identifiers  11.207
        • g.  Technical Failures During Filing  11.208
      • 5.  Fifth Appellate District
        • a.  Mandatory E-Filing and Registration  11.209
        • b.  Electronic Format  11.210
        • c.  Electronic Bookmarks  11.211
        • d.  Electronic Signatures  11.212
        • e.  Trial Court Record  11.213
        • f.  Redacting Personal Identifiers  11.214
        • g.  Technical Failures During Filing  11.215
        • h.  Sanctions  11.216
      • 6.  Sixth Appellate District
        • a.  Mandatory E-Filing and Registration  11.217
        • b.  Electronic Format  11.218
        • c.  Electronic Bookmarks  11.219
        • d.  Electronic Signatures  11.220
        • e.  Trial Court Record  11.221
        • f.  Redacting Personal Identifiers  11.222
        • g.  Technical Failures During Filing  11.223
        • h.  Sanctions  11.224

12

Appellant’s Opening and Reply Briefs

Robert M. Dato

Harvey M. Grossman

  • I.  OPENING BRIEF
    • A.  Importance and Function of Opening Brief  12.1
    • B.  Determining Grounds for Appeal
      • 1.  Conduct Initial Evaluation  12.2
      • 2.  Conduct Research to Shape Issues  12.3
      • 3.  Avoid Waiver of Issues Not Raised  12.4
    • C.  Managing Record
      • 1.  Read Record  12.5
      • 2.  Develop Tools to Manage Record  12.6
    • D.  Researching Issues  12.7
    • E.  Multiple Appellants
      • 1.  Filing Joint Brief or Adopting Another Brief  12.8
      • 2.  Advantages and Disadvantages  12.9
      • 3.  Referencing Another Brief  12.10
  • II.  OVERVIEW OF BRIEF
    • A.  Requirements of Brief  12.11
      • 1.  Basic Parts  12.12
      • 2.  Importance of Each Part  12.13
    • B.  Length  12.14
      • 1.  Permission to Exceed Word Limit  12.15
      • 2.  Certificate of Length  12.16
      • 3.  Benefits of Brevity  12.17
      • 4.  Balancing Brevity With Thorough Argument  12.18
    • C.  Headings  12.19
    • D.  Writing Style; Footnotes; Nomenclature
      • 1.  Refine and Polish Brief  12.20
      • 2.  Use Footnotes Sparingly  12.21
      • 3.  Use Party Names, Not Designations  12.22
  • III.  PRELIMINARY PORTIONS OF BRIEF
    • A.  Table of Contents
      • 1.  Nature and Purpose  12.23
      • 2.  Form and Content  12.24
      • 3.  Sample Forms: Table of Contents
        • a.  Sample Form: For Simple Brief  12.25
        • b.  Sample Form: For Complex Brief  12.26
    • B.  Table of Authorities
      • 1.  Nature and Purpose  12.27
      • 2.  Form and Content  12.28
      • 3.  Sample Form: Table of Authorities  12.29
    • C.  Introduction
      • 1.  Nature and Purpose  12.30
      • 2.  Form and Content  12.31
      • 3.  Statement of Appealability  12.32
      • 4.  Sample Form: Introduction  12.33
    • D.  Summary of Argument
      • 1.  Nature and Purpose  12.34
      • 2.  Form and Content
        • a.  Length and Amount of Detail  12.35
        • b.  Placement  12.36
  • IV.  STATEMENT OF THE CASE: PROCEDURAL AND SUBSTANTIVE FACTS
    • A.  Nature and Importance  12.37
    • B.  Form and Content  12.38
      • 1.  References to Record  12.39
      • 2.  Practical Reasons for Reference to Record  12.40
      • 3.  How to Cite to Record  12.41
    • C.  Drafting Effective Statement of the Case
      • 1.  Organize According to Needs of Case  12.42
        • a.  Formulate Outline  12.43
        • b.  Present in Chronological Order  12.44
        • c.  Manage Complex Facts  12.45
      • 2.  Emphasize Most Relevant Facts  12.46
      • 3.  Be Fair  12.47
    • D.  Sample Forms
      • 1.  Sample Form: Statement of the Case  12.48
      • 2.  Sample Form: Procedural History  12.49
      • 3.  Sample Form: Statement of Facts  12.50
  • V.  ARGUMENT
    • A.  Nature and Format
      • 1.  Purpose of Legal Argument  12.51
      • 2.  General Organization  12.52
      • 3.  Headings and Subheadings  12.53
        • a.  Use Active Statements  12.54
        • b.  Make Headings Specific, Not Abstract  12.55
      • 4.  Pattern and Elements of Argument
        • a.  Use Inferential Scheme, Not Syllogisms  12.56
        • b.  Make Inferences Persuasive  12.57
    • B.  Drafting Effective Argument
      • 1.  Determine Argument Sequence
        • a.  Develop Tentative Outline  12.58
        • b.  Determine Presentation Sequence: Most Important Points First  12.59
        • c.  Develop Logical Argument  12.60
        • d.  Indicate When Issues Were Preserved for Appeal  12.61
      • 2.  Use Authorities Selectively  12.62
        • a.  Specific Cases  12.63
        • b.  Quotations  12.64
      • 3.  Handle Adverse Authorities  12.65
      • 4.  Address Novel Questions  12.66
      • 5.  Apply Facts  12.67
        • a.  Avoid Duplication  12.68
        • b.  Support Argument With Record  12.69
        • c.  Use Thoughtful and Serious Tone  12.70
      • 6.  Advocate, But Avoid Overstatement  12.71
      • 7.  Sample Forms: Argument
        • a.  Sample Form: Summary of Argument  12.72
        • b.  Sample Form: Assignment of Error  12.73
        • c.  Sample Form: Broad Legal Principle  12.74
        • d.  Sample Form: Narrow Legal Principle  12.75
        • e.  Sample Form: Tie Principles to Facts of Case  12.76
        • f.  Sample Form: Summarize Argument  12.77
        • g.  Sample Form: Address Trial Court’s Theories  12.78
        • h.  Sample Form: Address Respondent’s Arguments  12.79
  • VI.  CLOSING PORTIONS OF BRIEF
    • A.  Nature and Content of Conclusion  12.80
      • 1.  Keep It Short  12.81
      • 2.  Consider Reference to Theme  12.82
      • 3.  Conclude Respectfully  12.83
    • B.  Form: Conclusion of Brief  12.84
    • C.  Attachments  12.85
      • 1.  Length  12.86
      • 2.  Local Practice  12.87
  • VII.  PROCEDURAL CONSIDERATIONS
    • A.  Format
      • 1.  Electronic Format  12.88
      • 2.  Font  12.89
      • 3.  Line Spacing and Margins  12.90
      • 4.  Page Numbering  12.91
      • 5.  Signature Requirements  12.92
      • 6.  Electronic Bookmarks  12.93
    • B.  Cover
      • 1.  Required Information  12.94
      • 2.  Titles  12.95
      • 3.  Colors [Deleted]  12.96
      • 4.  Form: Cover  12.97
    • C.  Certificate of Interested Entities or Persons  12.98
    • D.  Duplication Methods
      • 1.  Printing [Deleted]  12.99
        • a.  Office Printing [Deleted]  12.100
        • b.  Professional Printing [Deleted]  12.101
      • 2.  Other Processes [Deleted]  12.102
      • 3.  Typewritten Original Ribbon or Carbon Copies [Deleted]  12.103
      • 4.  Considerations in Choosing Method of Reproduction [Deleted]  12.104
  • VIII.  TIME LIMITATIONS; SERVICE; FILING
    • A.  Time Limitations
      • 1.  Time Limit  12.105
        • a.  Clerk’s Transcript  12.106
        • b.  Appendix and Reporter’s Transcript  12.107
        • c.  Appendix Only  12.108
      • 2.  Extensions
        • a.  By Stipulation or Leave of Court  12.109
        • b.  By Prehearing Conference  12.110
        • c.  Form: Stipulation Extending Time to File Opening Brief; Order  12.111
    • B.  Service
      • 1.  Parties  12.112
      • 2.  Superior Court  12.113
      • 3.  Supreme Court  12.114
      • 4.  Attorney General  12.115
    • C.  Filing
      • 1.  Electronic Filing  12.116
      • 2.  Proof of Service  12.117
      • 3.  Date of Filing  12.118
      • 4.  Failure to File Opening Brief  12.119
  • IX.  DEFECTIVE BRIEFS  12.120
    • A.  Actions Against Defective Briefs  12.121
    • B.  Consequences of Failure to Comply With Rules  12.122
  • X.  REPLY BRIEF
    • A.  Reply Recommended  12.123
    • B.  Purpose of Reply
      • 1.  Reestablish Factual Premise for Appeal  12.124
      • 2.  Counter Respondent’s Legal Arguments  12.125
      • 3.  Restore Focus of Appeal  12.126
      • 4.  Augment Appellant’s Authorities  12.127
    • C.  Strategy and Tactics  12.128
      • 1.  Be Selective  12.129
      • 2.  Keep Reply Short  12.130
    • D.  Procedural Guidelines
      • 1.  Comply With General Rules Governing Briefs  12.131
      • 2.  Length  12.132
      • 3.  Time Limits  12.133

13

Respondent’s Brief

Ellen Lake

  • I.  THE BRIEFING PROCESS
    • A.  Overview of Respondent’s Brief  13.1
    • B.  Respondent’s Advantages  13.2
  • II.  PLANNING THE BRIEF
    • A.  Read Judgment and Appellant’s Opening Brief  13.3
    • B.  Review the Record  13.4
    • C.  Research the Issues  13.5
  • III.  WRITING THE BRIEF
    • A.  Develop a Theme  13.6
    • B.  Outline the Brief  13.7
    • C.  Technical Requirements  13.8
    • D.  Style, Organization, and Tone  13.9
  • IV.  PRELIMINARY PORTIONS OF THE BRIEF
    • A.  Introduction to the Brief  13.10
    • B.  Statement of the Case  13.11
      • 1.  Procedural History  13.12
      • 2.  Factual Statement  13.13
        • a.  Relevancy and Completeness  13.14
        • b.  Subheadings  13.15
  • V.  ARGUMENT
    • A.  Selection and Sequence of Issues  13.16
    • B.  Respondent’s Goals  13.17
      • 1.  Present Affirmative Argument  13.18
      • 2.  Narrow Appellant’s Arguments  13.19
      • 3.  Refute Each Issue and Raise Every Supporting Ground  13.20
      • 4.  Demonstrate That Any Possible Error Was Harmless; Decide Whether to Concede Error  13.21
      • 5.  Use Grounds Relied on by Trial Court as Well as Any Other Supporting Affirmance  13.22
    • C.  Headings  13.23
    • D.  Organization of Legal Argument  13.24
    • E.  Using Case Authority  13.25
  • VI.  CONCLUSION TO BRIEF  13.26
  • VII.  TIME FOR FILING AND SERVICE  13.27

14

Amicus Curiae

Roy G. Weatherup

  • I.  INTRODUCTION  14.1
    • A.  Scope of Chapter  14.2
    • B.  Statutory Authority  14.3
  • II.  BEFORE FILING AS AMICUS CURIAE
    • A.  Consider Reasons for Filing Amicus Brief  14.4
    • B.  Consider Who Should File Amicus Brief  14.5
  • III.  APPLICATION PROCEDURE IN COURT OF APPEAL
    • A.  Amicus Curiae Must Apply for Permission to File Brief  14.6
    • B.  What to Include in Application for Permission to File Amicus Brief  14.7
      • 1.  Application Must State Applicant’s Interest  14.8
        • a.  If Amicus Is an Organization  14.9
        • b.  If Amicus Is Private Person or Business  14.10
        • c.  If Amicus Is a Party in Pending Suit Affected by Appellate Court’s Ruling  14.11
      • 2.  Application Must Explain How It Will Assist Court  14.12
      • 3.  Application Must Include Statements of Authorship and Monetary Contribution  14.13
      • 4.  Application Cover Must Identify Party Applicant Supports  14.14
      • 5.  Application Must Be Accompanied by Proposed Brief  14.15
    • C.  When to File Application
      • 1.  Application Must Be Filed Within 14 Days of Last Reply Brief  14.16
      • 2.  Application Should Be Filed as Soon as Possible  14.17
        • a.  When Filing in Support of Respondent  14.18
        • b.  When Filing in Support of Appellant  14.19
    • D.  How to File and Serve the Application  14.20
    • E.  Special Requirements for Briefs Filed by Attorney General  14.21
    • F.  Answering Amicus Brief in Court of Appeal  14.22
  • IV.  APPLICATION PROCEDURE IN CALIFORNIA SUPREME COURT
    • A.  Amicus Participation Involves Two-Step Process
      • 1.  First Step: Submit Letter Urging Court to Grant or Deny Review  14.23
        • a.  Send Letter as Soon as Petition for Review Is Filed  14.24
        • b.  Include Proof of Service and Eight Copies  14.25
        • c.  When Also Seeking Depublication  14.26
          • (1)  Requirements for Requesting Depublication  14.27
          • (2)  Opposition to Request for Depublication  14.28
      • 2.  Step Two: File Application to Submit Amicus Curiae Brief After Review Is Granted  14.29
        • a.  What to Include in Application  14.30
        • b.  File Application Within 30 Days of Last Brief  14.31
    • B.  Form: Application for Leave to File Amicus Curiae Brief  14.32
    • C.  Answering Amicus Brief in Supreme Court  14.33
  • V.  PREPARING AN AMICUS BRIEF  14.34
    • A.  Contents of Amicus Brief
      • 1.  Brief Provides Amicus’s View of Issues  14.35
      • 2.  Brief May Provide Detached Public Policy Arguments  14.36
      • 3.  Brief May Use Broader Scope of Secondary Authority  14.37
      • 4.  Brief May Not Raise New Issues  14.38
        • a.  Exception for Pure Questions of Law Based on Undisputed Facts  14.39
        • b.  Exception for Jurisdictional Issues  14.40
        • c.  Exception for New Issues Supporting Affirmance of the Judgment  14.41
      • 5.  Brief May Be Limited to Issues Specified by Supreme Court  14.42
    • B.  Standard Rules Apply to Amicus Briefs
      • 1.  Conform to Requirements for Parties’ Briefs  14.43
      • 2.  Include Short Factual Summary  14.44
      • 3.  Attach Copies of Inaccessible Citable Materials  14.45
      • 4.  Indicate on Cover Whether Supporting a Party  14.46
  • VI.  ORAL ARGUMENT
    • A.  Oral Argument in Courts of Appeal  14.47
    • B.  Oral Argument in Supreme Court  14.48
  • VII.  AMICUS CURIAE BRIEFS IN APPELLATE DEPARTMENTS OF SUPERIOR COURT AND TRIAL COURTS
    • A.  Application Procedure in Appellate Department of Superior Court  14.49
    • B.  Application Procedure in Trial Courts  14.50
  • VIII.  SOLICITING AND OPPOSING AMICUS CURIAE
    • A.  Seeking Amicus Curiae in Support of Party
      • 1.  When Amicus Curiae Are Useful  14.51
      • 2.  Where to Find Amicus Curiae  14.52
      • 3.  How to Help Amicus Curiae  14.53
    • B.  Objecting to Amicus Curiae  14.54

15

Settlement on Appeal

The Honorable Kathleen M. Banke

  • I.  INTRODUCTION: SETTLEMENT MAY BE VIABLE OPTION ON APPEAL AND MEDIATION MAY BE MANDATORY  15.1
  • II.  COURT-SUPERVISED SETTLEMENT CONFERENCES
    • A.  Conference Under Cal Rules of Ct 8.248  15.2
    • B.  Local Rules on Prehearing Settlement Conferences  15.3
      • 1.  Chart: Summary of Provisions in Local Rules Governing Settlement Conferences  15.4
      • 2.  First Appellate District  15.5
      • 3.  Second Appellate District
        • a.  Divisions One, Two, Three, Four, Five, and Seven [Deleted]  15.6
        • b.  Division Six [Deleted]  15.7
        • c.  Settlement Conference and Mediation Program for Appeals in Los Angeles Superior Court Cases [Deleted]  15.8
        • d.  Form: Mandatory Docketing Statement [Deleted]  15.8A
        • e.  Form: Confidential Mediation Information Form [Deleted]  15.8B
        • f.  Form: Confidentiality Agreement [Deleted]  15.8C
        • g.  Form: Stipulation for Dismissal [Deleted]  15.8D
      • 4.  Third Appellate District  15.9
      • 5.  Fourth Appellate District
        • a.  Division One  15.10
        • b.  Division Two  15.11
        • c.  Division Three  15.12
      • 6.  Fifth Appellate District  15.13
      • 7.  Sixth Appellate District  15.14
  • III.  INDEPENDENT SETTLEMENT NEGOTIATIONS
    • A.  Appellate Specialists  15.15
    • B.  Professional Mediators  15.16
    • C.  Appellate Court and Independent Settlement Efforts  15.17
  • IV.  STRATEGIES FOR MAKING SETTLEMENT CONFERENCES EFFECTIVE
    • A.  Timing  15.18
    • B.  Preparation
      • 1.  Know the Facts and the Law  15.19
      • 2.  Have Settlement Proposal in Mind  15.20
      • 3.  Be Familiar With Particular Style and Procedures of Settlement Conference Justice  15.21
      • 4.  Keep Positive Attitude That Case Will Settle  15.22
      • 5.  Considerations in Deciding to Settle  15.23
      • 6.  Be Patient With Settlement Process  15.24
  • V.  DISPOSITION OF CASE AFTER SETTLEMENT ON APPEAL
    • A.  Dismissal of Appeal  15.25
      • 1.  Dismissal Before Record Is Filed in Court of Appeal
        • a.  Procedure  15.26
        • b.  Form: Notice of Abandonment of Appeal  15.27
        • c.  Form: Stipulation of Abandonment of Appeal  15.28
      • 2.  Dismissal After Record Is Filed in Court of Appeal
        • a.  Procedure  15.29
        • b.  Form: Abandonment of Appeal; Proposed Order Dismissing Appeal  15.30
        • c.  Form: Stipulation for Dismissal of Appeal; Proposed Order Dismissing Appeal  15.31
      • 3.  Effect of Dismissal  15.32
      • 4.  Immediate Issuance of Remittitur  15.33
      • 5.  Costs on Appeal  15.34
      • 6.  Filing Acknowledgment of Satisfaction of Judgment in Trial Court After Appeal Dismissed  15.35
      • 7.  Filing Dismissal With Prejudice After Appeal Dismissed  15.36
    • B.  Stipulated Reversal
      • 1.  Presumption in Favor of Granting Stipulations to Reverse  15.37
      • 2.  Appellate Court Disclaimer on Merits of Trial Court Judgment  15.38
      • 3.  Local Rules on Stipulated Reversals; First Appellate District  15.39
      • 4.  Immediate Issuance of Remittitur and Allocation of Costs on Appeal  15.40
      • 5.  Filing Dismissal With Prejudice in Trial Court Following Stipulated Reversal  15.41

15A

Appellate Mediation

Brendon Ishikawa

  • I.  INTRODUCTION  15A.1
    • A.  Mediation Defined  15A.2
    • B.  Scope of Chapter  15A.3
  • II.  COURT OF APPEAL MEDIATION PROGRAMS
    • A.  Court-Connected Mediation Programs  15A.4
      • 1.  First Appellate District  15A.5
      • 2.  Second Appellate District  15A.6
      • 3.  Third Appellate District  15A.7
      • 4.  Fourth Appellate District, Division Two  15A.8
      • 5.  Fifth Appellate District  15A.9
      • 6.  Sixth Appellate District  15A.10
    • B.  Voluntary Mediation in Districts Without Mandatory Mediation  15A.11
  • III.  MEDIATION CONFIDENTIALITY  15A.12
    • A.  Application and Purpose  15A.13
    • B.  Persons Protected by Mediation Confidentiality
      • 1.  Parties and Participants  15A.14
      • 2.  Mediator  15A.15
      • 3.  Nonparticipants  15A.16
    • C.  Evidence Protected by Mediation Confidentiality
      • 1.  Statements  15A.17
      • 2.  Writings  15A.18
    • D.  Limitations on Mediation Confidentiality  15A.19
      • 1.  Underlying Facts of Litigation Not Protected  15A.20
      • 2.  Mere Use in Mediation Does Not Render Evidence Confidential  15A.21
      • 3.  Parties May Waive Confidentiality  15A.22
    • E.  Remedy for Violation of Confidentiality  15A.23
  • IV.  PREPARING FOR MEDIATION
    • A.  Anticipate Possibility of Mediation Before Appeal Is Filed  15A.24
      • 1.  Gather Key Documents Filed in Trial Court  15A.25
      • 2.  Discuss Potential Appellate Issues With Trial Counsel and Client  15A.26
      • 3.  Assess Issues in Light of Standard of Review  15A.27
      • 4.  Conduct Legal Research  15A.28
    • B.  Prepare Initial Documents
      • 1.  Mediation Statement  15A.29
      • 2.  Case Screening Form  15A.30
    • C.  Set Stage for Mediation Session
      • 1.  Assign Mediator  15A.31
      • 2.  Schedule Mediation  15A.32
      • 3.  Hold Premediation Conference Call  15A.33
      • 4.  Secure Necessary Participants  15A.34
        • a.  Unnecessary Parties May Be Excused by Agreement  15A.35
        • b.  Necessary Participants May Attend on Agreement  15A.36
        • c.  Considerations When Party Is Governed by Large Body  15A.37
    • D.  Submit Mediation Documents
      • 1.  Mediation Brief  15A.38
      • 2.  Form: Sample Mediation Brief  15A.39
      • 3.  Other Documents  15A.40
    • E.  Prepare Client for Mediation  15A.41
      • 1.  Advise Against Revealing Secrets  15A.42
      • 2.  Encourage Active Participation  15A.43
      • 3.  Describe the Process  15A.44
    • F.  Start to Consider Creative Solutions  15A.45
  • V.  ADVOCATING DURING MEDIATION
    • A.  Engage in Mediation
      • 1.  Arrive Early  15A.46
      • 2.  Listen and Collaborate  15A.47
      • 3.  Present a Compelling Story  15A.48
    • B.  Identify Strengths and Weaknesses  15A.49
      • 1.  Appellants’ Risks on Appeal  15A.50
      • 2.  Respondents’ Risk on Appeal  15A.51
    • C.  Make Effective Use of Mediator  15A.52
    • D.  Consider the Universe of Settlement Terms  15A.53
  • VI.  DRAFTING THE SETTLEMENT AGREEMENT  15A.54
    • A.  Must Be in Writing to Be Enforceable  15A.55
    • B.  Must Overcome Mediation Confidentiality to Be Admissible  15A.56
    • C.  Must Contain All Important Terms
      • 1.  Common Settlement Terms  15A.57
      • 2.  Terms Must Demonstrate Present Intent to Settle  15A.58
    • D.  Must Consider Trial Court Dismissal  15A.59
  • VII.  POSTSETTLEMENT MATTERS
    • A.  Required Notifications Following Successful Mediation  15A.60
    • B.  Disposition of Case Following Settlement  15A.61
    • C.  Sanctions for Conduct Related to Mediation
      • 1.  Grounds for Sanctions  15A.62
      • 2.  Types of Sanctions  15A.63
      • 3.  Sanctions for Mediators  15A.64

16

Oral Argument

Arthur E. Schwimmer

Efrat M. Cogan

  • I.  RIGHT TO ORAL ARGUMENT
    • A.  Appeals  16.1
    • B.  Motions and Applications  16.2
    • C.  Multiple Parties  16.2A
  • II.  PROCEDURE FOR ORAL ARGUMENT
    • A.  Overview
      • 1.  Frequency of Scheduled Argument  16.3
      • 2.  Notice of Argument  16.4
      • 3.  Time Permitted for Argument  16.5
      • 4.  Order of Argument  16.6
      • 5.  Submission and Decision  16.7
      • 6.  Media Coverage of Oral Argument  16.7A
    • B.  Motion for Calendar Preference
      • 1.  Authorization  16.8
      • 2.  Timing  16.9
    • C.  Telephonic Oral Argument
      • 1.  Authorization  16.10
      • 2.  Procedure  16.11
      • 3.  Advantages and Disadvantages  16.12
    • D.  Waiver of Argument
      • 1.  Right to Waiver  16.13
      • 2.  Courts Apparently Encourage Waiver  16.14
      • 3.  Considerations For and Against Waiver  16.15
    • E.  Waiver of Presence of Judge  16.16
    • F.  Tentative Opinion and Memorandum of Issues (Fourth Appellate District, Division Two)  16.17
  • III.  PREPARATION FOR ARGUMENT
    • A.  Purposes of Oral Argument  16.18
    • B.  Factors in Preparation
      • 1.  The Record  16.19
      • 2.  Issues and Contentions  16.20
      • 3.  Authorities  16.21
      • 4.  Necessity to Be Selective  16.22
      • 5.  Notes or Outline of Argument  16.23
      • 6.  Identifying Weaknesses and Anticipating Questions  16.24
      • 7.  Court’s Preargument Procedures  16.25
      • 8.  Judges’ Backgrounds  16.26
      • 9.  Materials to Take to Lectern  16.27
      • 10.  Visual Aids  16.28
  • IV.  ENGAGING IN ARGUMENT
    • A.  Demeanor  16.29
    • B.  Presentation  16.30
    • C.  Responding to Questions  16.31
    • D.  Rebuttal  16.32
    • E.  Postargument Letter Briefs  16.33

17

Decision on the Merits

Paul D. Fogel

  • I.  SUBMISSION OF CASE
    • A.  When Submission of a Case Occurs  17.1
    • B.  Effect of Submission  17.2
    • C.  Court May Vacate Submission  17.3
  • II.  OPINION, DECISION, AND JUDGMENT
    • A.  Opinion Defined  17.4
    • B.  Judgment and Decision Defined and Distinguished  17.5
    • C.  Significance of Distinction Among Decision, Judgment, and Opinion
      • 1.  Distinction Affects Date of Finality  17.6
      • 2.  Distinction Affects Nature of Precedent  17.7
    • D.  Rendition of Judgment  17.8
    • E.  Finality of Decision  17.9
  • III.  AFFIRMANCE, MODIFICATION, AND REVERSAL OF TRIAL COURT’S JUDGMENT
    • A.  Extent of Appellate Court’s Authority
      • 1.  Reviewing Court’s Powers on Appeal  17.10
      • 2.  Restrictions on Reviewing Court’s Powers  17.11
      • 3.  Effect of Finding of Error  17.12
    • B.  Affirmance
      • 1.  When Court Will Affirm Judgment  17.13
      • 2.  Effect of Affirmance
        • a.  General Rule: Litigation Ends  17.14
        • b.  Exceptions to General Rule  17.15
        • c.  Effect on Trial Court Jurisdiction  17.16
      • 3.  Summary Affirmance  17.17
      • 4.  Affirmance With Sanctions  17.18
    • C.  Modification
      • 1.  Modification Is Proper to Correct Errors  17.19
        • a.  Incorrect or Inadequate Factual Determination in Nonjury Trial  17.20
        • b.  Judgment That Does Not Conform to Pleading or Evidence  17.21
        • c.  Record Must Indicate Correct Judgment  17.22
        • d.  Damages Amount Must Be Certain  17.23
      • 2.  Three Methods of Modification  17.24
      • 3.  Modification Procedure
        • a.  Affirmance May Require Consent to Damages Modification  17.25
        • b.  Form: Consent to Modification of Judgment  17.26
    • D.  Reversal  17.27
      • 1.  Partial Reversal  17.28
        • a.  Partial Reversal May Occur Only if Portion of Judgment Is Severable  17.29
        • b.  Test for Severability of a Judgment  17.30
        • c.  Appeal From Severable Portion of Judgment  17.31
          • (1)  Court’s Review of Severable Judgment Limited to Portion From Which Appeal Is Taken  17.32
          • (2)  Appeal From Severable Portion of Judgment May Require Filing of Cross-Appeal  17.33
          • (3)  Partial Appeal of Nonseverable Judgment Treated as Appeal From Entire Judgment  17.34
          • (4)  Trial Court Consideration of Issues on Remand That Appellate Court Failed to Address  17.35
          • (5)  Issue of Severability When Jury Renders General Verdict  17.36
          • (6)  Inadequate Damages Resulting From Jury Compromise  17.37
          • (7)  Failure to Instruct on Comparative Negligence Requires New Trial on Liability  17.38
          • (8)  Marital Dissolution Cases  17.39
        • d.  Appeal by Fewer Than All Parties  17.40
        • e.  Appeal From Entire Judgment  17.41
      • 2.  Unqualified Reversal
        • a.  General Rule on Effect of Unqualified Reversal  17.42
        • b.  Exceptions to the Right of Full Retrial Following Unqualified Reversal
          • (1)  Appellate Court Clearly Intends That Judgment Be Entered for Appellant  17.43
          • (2)  Reversal of Order Granting New Trial  17.44
          • (3)  Reversal of Judgment Notwithstanding the Verdict (JNOV)  17.45
          • (4)  Reversal of Order Denying JNOV  17.46
          • (5)  Reversal for Insufficiency of Evidence  17.47
          • (6)  Reversal of Erroneously Denied Directed Verdict  17.48
      • 3.  Reversal With Directions  17.49
        • a.  Direction to Enter Different Judgment
          • (1)  Power to Enter Different Judgment  17.50
          • (2)  When Direction to Enter Judgment Is Appropriate  17.51
          • (3)  Methods for Directing Entry of Different Judgment  17.52
        • b.  Other Directions Given on Reversal
          • (1)  Direction to Allow Amendment of Pleadings  17.53
          • (2)  Direction to Dismiss Action  17.54
          • (3)  Direction to Retry on Fewer Than All Issues  17.55
          • (4)  Direction to Reinstate Original Judgment  17.56
          • (5)  Direction on Conclusions and Findings  17.57
          • (6)  Direction to Conduct Further Proceedings  17.58
        • c.  Effect of Directions on Trial Court
          • (1)  Jurisdiction of Trial Court on Remand  17.59
          • (2)  Trial Court’s Actions That Fail to Conform With Directions Are Void  17.60
          • (3)  Remedy for Inadvertent Omission From Appellate Court’s Directions  17.61
        • d.  Relief When Directions Not Followed  17.62
      • 4.  Summary Reversal  17.63
      • 5.  Reversal on Stipulation  17.64
    • E.  Restitution After Reversal or Modification
      • 1.  Right to Restitution  17.65
        • a.  Restitution May Include Profits Earned on Property Taken  17.66
        • b.  Trial Court Has Inherent Authority to Order Restitution  17.67
      • 2.  Methods of Obtaining Restitution  17.68
        • a.  Motion for Restitution  17.69
        • b.  Independent Action for Restitution  17.70
    • F.  Effect of Appellate Decision on Right to Interest and Costs
      • 1.  Interest Earned on Judgment  17.71
      • 2.  Date Judgment Begins to Bear Interest  17.72
      • 3.  Costs on Appeal  17.73
    • G.  Recovering Appellate Bond After Reversal  17.74
      • 1.  Reversal on Issue of Liability  17.75
      • 2.  Reversal of Damages Portion of Judgment Only  17.76
  • IV.  PROCEEDINGS AFTER REMAND
    • A.  Right to Retrial After Reversal  17.77
    • B.  Time Limits for Retrial
      • 1.  General Rule  17.78
      • 2.  Availability of Extension or Tolling  17.79
        • a.  Agreement Between the Parties  17.80
        • b.  Suspension of Jurisdiction  17.81
        • c.  Prosecution Stayed or Enjoined  17.82
        • d.  Impossibility, Impracticability, or Futility  17.83
        • e.  Waiver or Estoppel  17.84
        • f.  Minimum of 6 Months to Bring Action Once Tolling Period Ends or After Reversal of Dismissal for Delay  17.85
      • 3.  Availability of Preferential Setting  17.86
    • C.  Assignment or Disqualification of Original Trial Judge
      • 1.  Past Custom of Not Assigning Trial Judge to Retrial  17.87
      • 2.  Peremptory Challenge of Same Trial Judge for New Trial  17.88
        • a.  Party Must State Prejudice for Peremptory Challenge  17.89
        • b.  Appellant Is Entitled to Second Peremptory Challenge on Remand  17.90
        • c.  Whether Prior Proceeding Before Judge or Jury Is Irrelevant  17.91
        • d.  Peremptory Challenge Must Be Brought Within 60 Days  17.92
      • 3.  Disqualification of Original Trial Judge in the Interests of Justice  17.93
    • D.  Amendment of Pleadings on Retrial  17.94
    • E.  Right to Conduct Additional Discovery  17.95
    • F.  Broad Scope of Evidence Permitted on Retrial  17.96
    • G.  Opportunity for Settlement Before Retrial  17.97
      • 1.  Successful Party on Appeal May Have Good Reason to Settle  17.98
      • 2.  Settlement Offers May Be Made Under CCP §998  17.99
  • V.  LAW OF THE CASE DOCTRINE  17.100
    • A.  When Doctrine Applies
      • 1.  Stated Principle or Rule of Law Necessary to Appellate Court’s Decision  17.101
      • 2.  Law of the Case by Necessary Implication  17.102
    • B.  Effect on Later Proceedings
      • 1.  Effect in All Subsequent Proceedings in Same Case  17.103
      • 2.  Effect on Original Writ Proceeding  17.104
      • 3.  Effect on Proceeding to Determine Permanent Injunction  17.105
    • C.  General Limitations on the Doctrine
      • 1.  Rule Does Not Apply to Issues Not Determined or Facts Not Presented by Prior Appeal  17.106
      • 2.  Majority of Appellate Court Must Concur  17.107
      • 3.  Applicability of Doctrine Is Subject to Change in Law Since Appellate Decision  17.108
      • 4.  Appellate Decision Must Be on the Merits of the Issue to Which Law-of-the-Case Applies  17.109
        • a.  Example: Doctrine Does Not Apply to Summary Denial of Writ  17.110
        • b.  Example: Doctrine Does Not Apply to Issuance of Alternative Writ or Order to Show Cause  17.111
      • 5.  Ruling on Sufficiency of Pleadings Does Not Govern Later Ruling on Sufficiency of Evidence  17.112
      • 6.  Appellate Decision on Insufficiency of Evidence Not Binding When Plaintiff Introduces New Material Facts  17.113
      • 7.  Application of State Court Decision Applies to Federal Question  17.114
    • D.  Limitations on Doctrine Applicable Exclusively on Subsequent Appeal  17.115
      • 1.  Application of Doctrine Must Not Result in Manifestly Unjust Decision  17.116
      • 2.  Rule to Be Applied Must Be Internally Consistent  17.117
      • 3.  No Application to Reversal on Grounds Not Considered in Prior Appeal  17.118
      • 4.  Prior Denial of Dismissal of Appeal Does Not Bar Later Dismissal  17.119
    • E.  Remedies When Trial Court Fails to Follow Directions or Law of the Case  17.120
      • 1.  Material Variance Required  17.121
      • 2.  Methods of Challenging Trial Court’s Ruling
        • a.  Extraordinary Writ  17.122
        • b.  Appeal From Final Judgment  17.123

18

Remittitur

William T. Rintala

Robert M. Dato

  • I.  INTRODUCTION
    • A.  Remittitur Defined  18.1
      • 1.  Remittitur Is Not Reviewing Court’s Judgment  18.2
      • 2.  Remittitur Must Reflect Reviewing Court’s Judgment  18.3
    • B.  Functions of Remittitur
      • 1.  Remittitur Transfers Jurisdiction From Reviewing Court to Lower Court  18.4
      • 2.  Remittitur Directs Award of Appellate Costs  18.5
  • II.  ISSUANCE OF REMITTITUR
    • A.  Procedure for Issuing Remittitur
      • 1.  Reviewing Court Must Issue Remittitur at Final Determination of Appeal, Writ, or Petition  18.6
      • 2.  Remittitur Is Deemed Issued When Clerk Enters It in Record  18.7
        • a.  When Remittitur Is Issued by Supreme Court  18.8
        • b.  When Remittitur Is Issued by Court of Appeal  18.9
    • B.  Immediate Issuance of Remittitur  18.10
      • 1.  Form: Motion for Immediate Issuance of Remittitur  18.11
      • 2.  Form: Stipulation for Immediate Issuance of Remittitur  18.12
      • 3.  Form: Order Directing Immediate Issuance of Remittitur on Stipulation  18.13
    • C.  Staying Issuance of Remittitur  18.14
      • 1.  Requirements for Staying Issuance of Remittitur
        • a.  Remittitur May Be Stayed Only on Good Cause  18.15
        • b.  Remittitur May Be Stayed Only if It Does Not Prejudice Another Party  18.16
      • 2.  Procedure for Obtaining Stay of Issuance of Remittitur  18.17
      • 3.  Form: Motion for Stay of Issuance of Remittitur  18.18
      • 4.  Form: Stipulation for Stay of Issuance of Remittitur  18.19
  • III.  RECALL OF REMITTITUR
    • A.  Reviewing Court’s Jurisdiction to Recall Remittitur Is Very Limited  18.20
      • 1.  Grounds for Recall of Remittitur
        • a.  Recall of Remittitur Is Available to Correct Clerical Error  18.21
        • b.  Recall of Remittitur Is Available to Correct Mistakes or Inadvertence  18.22
        • c.  Recall of Remittitur Is Available if There Has Been Fraud  18.23
        • d.  Recall of Remittitur Is Available to Clarify Judgment  18.24
      • 2.  Grounds for Denial of Recall of Remittitur
        • a.  Recall Is Not Available to Correct Judgment on Merits  18.25
        • b.  Recall May Not Be Available if Too Late  18.26
    • B.  Procedure for Obtaining Recall of Remittitur  18.27
    • C.  Form: Motion to Recall Remittitur  18.28
    • D.  Form: Declaration in Support of Motion to Recall Remittitur  18.29
    • E.  Form: Stipulation for Recall of Remittitur  18.30

19

Rehearing in Court of Appeal

Joseph P. Mascovich

  • I.  NATURE AND PURPOSE
    • A.  Right to Rehearing  19.1
    • B.  Potential Benefits of Rehearing  19.2
  • II.  DECIDING WHETHER TO FILE PETITION FOR REHEARING
    • A.  Practical and Tactical Considerations
      • 1.  Grant of Petition Is Rare and Does Not Necessarily Change Result  19.3
      • 2.  Petition for Rehearing Is Sometimes Essential Preliminary Step to Filing Petition for Review in Supreme Court  19.4
      • 3.  Balancing Potential Benefits Against Expense and Risk  19.5
    • B.  Factors That May Persuade Court of Appeal to Grant Rehearing or Modify Its Opinion
      • 1.  Grounds Not Limited by Statute  19.6
      • 2.  Material Misstatements or Omissions of Fact  19.7
      • 3.  Material Misstatements or Omissions of Law  19.8
      • 4.  Petition for Rehearing Based on New Issue  19.9
      • 5.  Petition for Rehearing to Obtain Guidance on Remand or to Clarify Ambiguity in Directions  19.10
      • 6.  Caveat: New Points Raised for First Time Usually Not Considered  19.11
  • III.  PREPARING PETITION
    • A.  Procedure
      • 1.  Time for Filing  19.12
      • 2.  Date of Filing  19.13
      • 3.  Time for Court to Act  19.14
      • 4.  Format  19.15
      • 5.  Copies  19.16
      • 6.  Service  19.17
    • B.  Problems of Persuasion
      • 1.  When Petition Filed Primarily to Preserve Right to Review  19.18
      • 2.  When Modification or Clarification Sought  19.19
      • 3.  When Rehearing Sought  19.20
  • IV.  ANSWER
    • A.  Whether to File
      • 1.  No Right to File Answer  19.21
      • 2.  Deciding Whether to File [Deleted]  19.22
      • 3.  When Answer Requested by Court  19.23
    • B.  Problems of Persuasion  19.24
    • C.  Procedure
      • 1.  Timing  19.25
      • 2.  Format, Filing, and Service  19.26
  • V.  REPLY TO ANSWER
    • A.  May Be Filed in Appropriate Case Even Though Not Mentioned in Rules of Court
      • 1.  Replies Rarely Filed  19.27
      • 2.  File Reply to Correct Misstatements in Answer  19.28
    • B.  Procedure
      • 1.  Timing  19.29
      • 2.  Format, Filing, and Service  19.30
  • VI.  POSSIBLE DISPOSITIONS OF PETITION
    • A.  Summary Denial  19.31
    • B.  Modification on Denial  19.32
      • 1.  Notation in Published Opinion  19.32A
      • 2.  When Decision Becomes Final  19.33
    • C.  Grant of Petition
      • 1.  Oral Argument Not Required  19.34
      • 2.  Opinion on Rehearing  19.35

20

Costs, Attorney Fees, and Sanctions

Lucille Y. Baca

Gail Y. Norton

  • I.  RECOVERY OF COSTS INCURRED ON APPEAL
    • A.  Authorization for Cost Recovery  20.1
    • B.  Who May Recover Costs
      • 1.  Prevailing Parties  20.2
        • a.  When the Government Is a Party  20.3
        • b.  In Probate Cases  20.4
      • 2.  Other Parties in Interests of Justice  20.5
        • a.  Court May Award Costs to Losing Respondent  20.6
        • b.  Court May Award Costs to Losing Appellant  20.7
        • c.  Court May Apportion Costs  20.8
        • d.  Court May Decline to Award Costs  20.9
    • C.  What Items Are Recoverable  20.10
      • 1.  Cost of Preparing Record on Appeal  20.11
      • 2.  Reasonable Cost of Printing or Reproducing Briefs  20.12
      • 3.  Cost of Producing Additional Evidence  20.13
      • 4.  Filing Expenses  20.14
      • 5.  Cost of Obtaining Necessary Surety Bond  20.15
    • D.  How to Obtain Cost Award
      • 1.  Check Remittitur for Cost Award  20.16
      • 2.  File Memorandum of Costs on Appeal  20.17
        • a.  How to Verify Memorandum of Costs [Deleted]  20.18
        • b.  When to File Memorandum of Costs  20.19
          • (1)  Effect of Voluntary Abandonment or Dismissal of Appeal  20.20
          • (2)  Effect of Unexcused Failure to Timely File Memorandum  20.21
      • 3.  Form: Memorandum of Costs on Appeal (Judicial Council Form APP-013)  20.21A
    • E.  How to Oppose Memorandum of Costs
      • 1.  Move to Strike Cost Bill or Tax Costs  20.22
        • a.  When to File Motion to Strike Costs Bill or Tax Costs  20.23
        • b.  What to Show in Motion to Strike Costs Bill or Tax Costs  20.24
      • 2.  Appeal of Denial of Motion to Strike Costs Bill or Tax Costs  20.25
    • F.  How to Enforce Judgment for Costs  20.26
  • II.  RECOVERY OF ATTORNEY FEES INCURRED ON APPEAL
    • A.  Authorization for Attorney Fee Recovery
      • 1.  Fees Authorized by Statute, Contract, or Law Generally Include Fees Incurred on Appeal  20.27
      • 2.  Authorizing Statute May Expressly Prohibit Recovery of Fees on Appeal  20.28
      • 3.  Fees May Be Authorized Only on Final Disposition  20.29
    • B.  Fees Incurred on Appeal May Be Awarded by Appellate Court or Trial Court  20.30
      • 1.  If Awarded by Appellate Court  20.31
      • 2.  If Awarded by Trial Court  20.32
    • C.  How to Obtain Attorney Fee Award
      • 1.  In Appellate Court
        • a.  Seek Appellate Attorney Fees in Brief  20.33
        • b.  File Noticed Motion if Fees Sought as Sanctions  20.34
      • 2.  In Trial Court
        • a.  Include Attorney Fees as Cost Item in Memorandum of Costs  20.35
        • b.  File Noticed Motion  20.36
  • III.  RECOVERY OF SANCTIONS ON APPEAL
    • A.  Authorization for Sanctions  20.37
      • 1.  Sanctions for Court Rule Violations  20.38
      • 2.  Sanctions for Frivolous or Dilatory Appeal  20.39
      • 3.  Sanctions for Frivolous Motion on Appeal  20.40
    • B.  Who May Be Sanctioned
      • 1.  Sanction Award May Be Against Party Alone, Attorney Alone, or Both  20.41
      • 2.  Trend Toward Shared Responsibility  20.42
    • C.  Grounds for Sanctions on Appeal  20.43
      • 1.  Improperly Motivated Appeal  20.44
      • 2.  Objectively Meritless Appeal  20.45
        • a.  Appeal May Become Meritless After Filing  20.46
        • b.  Appealing Sanctions Award May Be Deemed Frivolous  20.47
        • c.  Sanctions for Partially Frivolous Appeal  20.48
        • d.  Sanctions Against Pro Per Litigants for Frivolous Appeal
          • (1)  When Pro Per Appellant Is Attorney  20.49
          • (2)  When Pro Per Appellant Is Not Attorney  20.50
    • D.  How to Obtain Sanctions Award
      • 1.  Aggrieved Party Must Move for Sanctions  20.51
      • 2.  Court Must Give Notice of Sanctions Motion  20.52
    • E.  How to Oppose Motion for Sanctions  20.53
    • F.  Court’s Decision on Sanctions
      • 1.  Propriety and Amount of Sanctions Are Determined Concurrently  20.54
      • 2.  Factors for Determining Amount of Sanction Award  20.55
        • a.  Deterrent Function of Sanctions  20.56
        • b.  Lost Interest on Judgment Pending Appeal  20.57
        • c.  Amount of Attorney Fees Spent on Appeal  20.58
        • d.  Cost to Taxpayers for Appeal  20.59
      • 3.  Sanctions Award Over $1000 Must Be Reported to State Bar  20.60

21

Publication and Citing of Opinions

Blair Hoffman

  • I.  SCOPE OF CHAPTER  21.1
  • II.  WRITTEN OPINIONS
    • A.  When Opinions Must Be in Writing  21.2
    • B.  Statement of Court’s Reasons  21.3
    • C.  Issues That Opinion Must Address  21.4
  • III.  PUBLICATION OF OPINIONS
    • A.  Rules on Publication  21.5
    • B.  Publication of California Supreme Court Opinions  21.6
    • C.  Standards for Publishing Appellate Opinions  21.7
    • D.  How Decision to Publish Is Made  21.8
    • E.  Certifying Opinion for Publication  21.9
    • F.  Partial Publication  21.10
    • G.  Publication of Opinion Originally Not Published  21.11
    • H.  Requesting Publication  21.12
      • 1.  Practical Considerations  21.13
      • 2.  Publication Procedure  21.14
    • I.  Requesting or Opposing Depublication  21.15
      • 1.  Practical Considerations  21.16
      • 2.  Depublication Procedure  21.17
    • J.  Effect of Supreme Court Order  21.18
  • IV.  CITING OPINIONS AS PRECEDENT
    • A.  Unpublished California Opinions  21.19
    • B.  Citing Unpublished Federal and Sister-State Opinions  21.20
    • C.  Opinions in Cases in Which Rehearing, Supreme Court Review, or Other Judicial Action Is Ordered  21.21
    • D.  Appellate Opinion After Supreme Court Decision on Review  21.22

22

Review by the California Supreme Court

James C. Martin

Peter W. Davis

  • I.  GROUNDS FOR SUPREME COURT REVIEW
    • A.  In General  22.1
    • B.  When Review Will Be Ordered  22.2
  • II.  EVALUATING WHETHER TO PETITION FOR REVIEW
    • A.  General Considerations  22.3
    • B.  Consider Court’s Workload and Procedures  22.4
    • C.  Consider Whether Issues Satisfy Cal Rules of Ct 8.516
      • 1.  Do Issues Meet Standard for Review?  22.5
      • 2.  How Will Case Affect the Law?  22.6
    • D.  Additional Factors for Consideration
      • 1.  Is Court of Appeal Decision Unpublished?  22.7
      • 2.  Are Issues Clearly and Adequately Presented in the Record?  22.8
      • 3.  Were Issues Timely Raised in Briefs?  22.9
      • 4.  What Will Petition Cost?  22.10
      • 5.  What Will Be Effect of Delay Caused by Petition Process?  22.11
      • 6.  Is There a Risk of Making Bad Law?  22.12
      • 7.  Should Case Be Heard by United States Supreme Court?  22.13
  • III.  DETERMINING DATE TO FILE PETITION
    • A.  Time to File Petition Depends on Finality  22.14
    • B.  Finality if Rehearing Denied  22.15
    • C.  Finality if Opinion Modified  22.16
    • D.  Finality if Rehearing Granted  22.17
  • IV.  PROCEDURES FOR SERVING AND FILING PETITION FOR REVIEW
    • A.  Time of Filing  22.18
    • B.  Electronic Filing  22.19
    • C.  File Proof of Service  22.20
    • D.  Filing Fee  22.21
    • E.  Where to File  22.22
    • F.  Checklist: Serving and Filing Petition for Review  22.23
  • V.  PREPARING THE PETITION
    • A.  General Considerations
      • 1.  Clearly Present Reasons for Petition  22.24
      • 2.  Limit Scope of Relief Requested; Review Options for Action by Court  22.25
      • 3.  Maximizing Chance of Obtaining Review  22.26
      • 4.  Maximizing Chance of Review by Amicus Curiae Letters  22.27
    • B.  Format Considerations
      • 1.  Use Standard Brief Format  22.28
      • 2.  Pleading Language Not Required  22.29
      • 3.  Length Limits  22.30
      • 4.  Attach Copy of Appellate Court Opinion or Order  22.31
      • 5.  Attaching Other Documents  22.32
      • 6.  Printing or Reproduction  22.33
    • C.  Drafting Body of Petition  22.34
      • 1.  Statement of Issues Presented for Review  22.35
      • 2.  Consider Section on Why Review Should Be Granted  22.36
      • 3.  Statement of the Case  22.37
      • 4.  Argument  22.38
      • 5.  Conclusion  22.39
  • VI.  ANSWER TO PETITION FOR REVIEW
    • A.  Answer Not Required But Advisable  22.40
    • B.  Procedure and Time Requirements  22.41
    • C.  Answer Must Focus on Grounds for Review  22.42
    • D.  Presenting Additional Issues for Review  22.43
    • E.  Objectives in Structuring Answer  22.44
  • VII.  REPLY TO ANSWER TO PETITION FOR REVIEW
    • A.  When Appropriate  22.45
    • B.  Procedural Requirements  22.46
  • VIII.  COURT PROCEDURE ON DECIDING PETITION FOR REVIEW
    • A.  Time for Court to Act  22.47
    • B.  When Petition Denied; Issuance of Remittitur  22.48
    • C.  When Petition Granted  22.49
    • D.  Alternatives to Grant or Denial  22.50
      • 1.  Grant and Retransfer to Court of Appeal  22.51
      • 2.  Grant and Hold  22.52
      • 3.  Dismissal of Review  22.53
      • 4.  Depublication of Appellate Court Opinion  22.54
  • IX.  PREPARING BRIEF ON THE MERITS
    • A.  Options When Review Granted  22.55
    • B.  Procedural Requirements  22.56
    • C.  Content  22.57
  • X.  POSTBRIEFING DEVELOPMENTS
    • A.  Supplemental Briefs
      • 1.  When Allowed  22.58
      • 2.  When to File  22.59
      • 3.  Page Length; Color of Briefs  22.60
    • B.  Oral Argument
      • 1.  When Arguments Will Be Heard  22.61
      • 2.  Where Arguments Are Held  22.62
      • 3.  Setting the Date  22.63
      • 4.  Procedure  22.64
      • 5.  Justices Will Have Tentative Opinions  22.65
      • 6.  Focus on Issues  22.66
      • 7.  Prepare for Oral Argument  22.67
      • 8.  When Letter Brief Appropriate  22.68
      • 9.  When Opinion Will Be Issued  22.69
    • C.  When Decision Final; Rehearing  22.70
  • XI.  COMMUNICATION WITH COURT
    • A.  Two Usual Methods of Communication  22.71
    • B.  Addressing Letters to Court  22.72
  • XII.  FORMS
    • A.  Form: Cover  22.73
    • B.  Form: Topical Index  22.74
    • C.  Form: General Format of Petition for Review  22.75

23

Request for Decision to the California Supreme Court

James C. Martin

  • I.  INTRODUCTION
    • A.  Purpose of Request for Decision  23.1
    • B.  Availability of Request for Decision  23.2
      • 1.  Prerequisites for Request for Decision  23.3
      • 2.  District Courts Cannot Request a Decision  23.4
  • II.  EVALUATING WHETHER TO REQUEST DECISION  23.5
    • A.  Constitutional Issues  23.6
    • B.  Insurance Issues  23.7
    • C.  Employment Issues  23.8
    • D.  Tort Issues  23.9
    • E.  Bankruptcy Issues  23.10
    • F.  Energy Law  23.11
    • G.  Attorney Fees  23.12
    • H.  Public Entities  23.13
    • I.  Miscellaneous Statutes and Issues  23.14
  • III.  REQUEST FOR DECISION PROCEDURE
    • A.  Counsel May Raise Issue in Application or Motion to Requesting Court  23.15
    • B.  Requesting Court Must File Order for Decision on Question(s)  23.16
      • 1.  Required Contents for Request for Decision  23.17
      • 2.  Additional Content for Request for Decision  23.18
    • C.  Other Persons or Entities May Send Letters Supporting or Opposing Request  23.19
    • D.  California Supreme Court Considers Request for Decision
      • 1.  Supreme Court Has No Time Limit in Which to Respond to Request for Decision  23.20
      • 2.  Rules Governing Grants or Denials of Request  23.21
      • 3.  Transmission of Opinion  23.22

 

CALIFORNIA CIVIL APPELLATE PRACTICE

(3d Edition)

May 2018

TABLE OF CONTENTS

 

File Name

Book Section

Title

CH02

Chapter 2

Limiting or Avoiding Need for Appellate Relief: Posttrial Motions

02-084

§2.84

Notice of Intention to Move for New Trial (Jury Trial)

02-085

§2.85

Notice of Intention to Move for New Trial (Bench Trial)

02-086

§2.86

Notice of Motion for JNOV

02-087

§2.87

Order Granting or Denying JNOV

02-088

§2.88

Notice of Motion to Vacate Judgment and Enter Different Judgment

02-089

§2.89

Order Granting Motion to Vacate Judgment and Enter Different Judgment (Jury’s Special Verdict)

02-090

§2.90

Order Granting Motion to Vacate Judgment and Enter Different Judgment (Court’s Statement of Decision)

CH06

Chapter 6

Staying Enforcement During Appeal

06-017

§6.17

Ex Parte Application for Temporary Stay of Enforcement; Order

06-026

§6.26

Authorization (Agreement) to Apply Certificates of Deposit to Enforce Judgment (CCP §995.710(c))

06-037

§6.37

Notice of Motion for Order Requiring Security; Declaration

06-040

§6.40

Notice of Motion for Order Fixing Amount of Security; Declaration

06-041

§6.41

Order Fixing Amount of Security

06-043

§6.43

Waiver of Security

06-046

§6.46

Declaration of Personal Surety in Support of Undertaking on Appeal From Money Judgment (CCP §995.520)

06-050

§6.50

Application for Order Determining Market Value of Deposit; Declaration

06-058

§6.58

Notice of Motion for Order Determining Security Insufficient

06-060

§6.60

Order Determining Security Insufficient

06-067

§6.67

Notice of Motion for Stay of Enforcement

06-081

§6.81

Cover

06-082

§6.82

Petition for Writ of Supersedeas

CH07

Chapter 7

Filing the Notice of Appeal

07-015

§7.15

Notice of Appeal (Superior Court)

CH08

Chapter 8

Filing Cross-Appeals

08-031

§8.31

Notice of Cross-Appeal

CH09

Chapter 9

Designating the Record

09-132

§9.132

Notice to Prepare Reporter’s Transcript (Appeal From Superior Court)

09-134

§9.134

Notice to Prepare Partial Reporter’s Transcript (Appeal From Superior Court)

09-135

§9.135

Preliminary Stipulation on Attempt to Prepare Agreed Statement (Cal Rules of Ct 8.134)

09-136

§9.136

Motion to Use Settled Statement (Cal Rules of Ct 8.137)

09-138

§9.138

Respondent’s Proposed Amendments to Appellant’s Proposed Settled Statement (Cal Rules of Ct 8.137(e)(1)

09-139

§9.139

Notice to Prepare Clerk’s Transcript

09-140

§9.140

Respondent’s Notice Designating Additions to Clerk’s Transcript

09-141

§9.141

Request for Correction of Transcript

09-143

§9.143

Stipulation Designating Contents of Joint Appendix

CH10

Chapter 10

Appeals in Limited Civil and Small Claims Cases

10-058

§10.58

Stipulation Regarding Attempt to Prepare Agreed Statement

10-059

§10.59

Agreed Statement on Appeal

10-071

§10.71

Respondent’s Proposed Amendments to Appellant’s Proposed Statement on Appeal

CH11

Chapter 11

Motions, Applications, and Informal Requests

11-009

§11.9

Declaration Under Cal Rules of Ct 8.57(a) in Support of Motion to Dismiss

11-011

§11.11

Motion to Dismiss Appeal

11-012

§11.12

Declaration in Support of Motion for Order to Dismiss Appeal

11-047

§11.47

Motion for Relief From Default

11-056

§11.56

Declaration in Support of Request or Motion to Augment or Correct Record on Appeal; Order

11-063

§11.63

Motion to Strike Brief

11-072

§11.72

Motion for Factual Determinations on Appeal

11-077

§11.77

Motion for Production of Additional Evidence on Appeal

11-092

§11.92

Motion for Calendar Preference

11-113

§11.113

Application for Extension of Time to Prepare Record on Appeal; Order

11-114

§11.114

Stipulation for Extension of Time to Prepare Record on Appeal; Order

11-124

§11.124

Application for Extension of Time to File Brief; Order

11-125

§11.125

Stipulation for Extension of Time to File Brief

11-134

§11.134

Application for Permission to File Brief in Excess of 14,000 Words

11-164

§11.164

Voluntary Abandonment and Dismissal (Before Record on Appeal Filed)

11-167

§11.167

Request for Dismissal of Appeal (After Record on Appeal Filed)

11-168

§11.168

Stipulation for Dismissal (After Record on Appeal Filed)

11-169

§11.169

Order for Dismissal of Appeal

CH12

Chapter 12

Appellant’s Opening and Reply Briefs

12-025

§12.25

Sample Form: For Simple Brief

12-026

§12.26

Sample Form: For Complex Brief

12-029

§12.29

Sample Form: Table of Authorities

12-033

§12.33

Sample Form: Introduction

12-048

§12.48

Sample Form: Statement of the Case

12-049

§12.49

Sample Form: Procedural History

12-050

§12.50

Sample Form: Statement of Facts

12-072

§12.72

Sample Form: Summary of Argument

12-073

§12.73

Sample Form: Assignment of Error

12-074

§12.74

Sample Form: Broad Legal Principle

12-075

§12.75

Sample Form: Narrow Legal Principle

12-076

§12.76

Sample Form: Tie Principles to Facts of Case

12-077

§12.77

Sample Form: Summarize Argument

12-078

§12.78

Sample Form: Address Trial Court’s Theories

12-079

§12.79

Sample Form: Address Respondent’s Arguments

12-084

§12.84

Conclusion of Brief

12-097

§12.97

Cover

12-111

§12.111

Stipulation Extending Time to File Opening Brief; Order

CH14

Chapter 14

Amicus Curiae

14-032

§14.32

Application for Leave to File Amicus Curiae Brief

CH15

Chapter 15

Settlement on Appeal

15-027

§15.27

Notice of Abandonment of Appeal

15-028

§15.28

Stipulation of Abandonment of Appeal

15-030

§15.30

Abandonment of Appeal; Proposed Order Dismissing Appeal

15-031

§15.31

Stipulation for Dismissal of Appeal; Proposed Order Dismissing Appeal

CH15A

Chapter 15A

Appellate Mediation

15A-039

§15A.39

Sample Mediation Brief

CH17

Chapter 17

Decision on the Merits

17-026

§17.26

Consent to Modification of Judgment

CH18

Chapter 18

Remittitur

18-011

§18.11

Motion for Immediate Issuance of Remittitur

18-012

§18.12

Stipulation for Immediate Issuance of Remittitur

18-013

§18.13

Order Directing Immediate Issuance of Remittitur on Stipulation

18-018

§18.18

Motion for Stay of Issuance of Remittitur

18-019

§18.19

Stipulation for Stay of Issuance of Remittitur

18-028

§18.28

Motion to Recall Remittitur

18-029

§18.29

Declaration in Support of Motion to Recall Remittitur

18-030

§18.30

Stipulation for Recall of Remittitur

CH22

Chapter 22

Review by the California Supreme Court

22-023

§22.23

Checklist: Serving and Filing Petition for Review

22-073

§22.73

Cover

22-074

§22.74

Topical Index

22-075

§22.75

General Format of Petition for Review

 

Selected Developments

May 2018 Update

There have been a number of developments since the publication of the 2017 update to this book.

The Judicial Council approved amendments to the state Rules of Court since the last update. We updated all California Rules of Court citations and Judicial Council forms throughout the book. We also updated all citations to local rules of the appellate district courts and superior courts. The California Supreme Court’s new e-filing rules are also included.

Posttrial Motions. In Ryan v Rosenfeld (2017) 3 C5th 124, the California Supreme Court confirmed that an order denying a CCP §663 motion to vacate is appealable, regardless of whether the issues raised in the appeal overlap with issues that were or could have been raised in an appeal of the judgment. See §§2.80, 4.45.

Prospects for Success. In F.P. v Monier (2017) 3 C5th 1099, the California Supreme Court held that when a trial court fails to issue a timely requested statement of decision, reversal on appeal is not automatic; an inquiry into prejudice is required. See §2A.12.

Appealable Judgments and Orders. In Dhillon v John Muir Health (2017) 2 C5th 1109, the California Supreme Court held that a trial court’s order granting a petition for a writ of administrative mandamus and remanding for further administrative proceedings was an appealable final judgment; although issuance of the writ did not definitively resolve the dispute between the parties, it marked the end of the writ proceeding in the trial court. See §3.33.

In Kurwa v Kislinger (2017) 4 C5th 109, the California Supreme Court held that the trial court retained jurisdiction to correct a stipulated order dismissing the parties’ pending claims, which was held unappealable in Kurwa I because the claims were dismissed without prejudice, and to enter an appealable judgment after the claims were either fully litigated or dismissed with prejudice. See §3.54.

In Howeth v Coffelt (2017) 18 CA5th 126, the court of appeal held that an order made after a stipulated judgment was not appealable as an order after judgment. See §3.68.

In Yolanda’s, Inc. v Kahl & Goveia Commercial Real Estate (2017) 11 CA5th 509, the court of appeal held that an order compelling third party discovery responses in postjudgment collection proceedings was not appealable as an order after judgment. See §3.69.

In Chango Coffee, Inc. v Applied Underwriters, Inc. (2017) 11 CA5th 1247, the court of appeal held that an order denying a motion for reconsideration under CCP §1008(b) is not appealable unless the underlying order (the subject of the motion) is appealable, in which case CCP §1008(g) permits an appeal. See §§3.74, 7.87.

In Lindsey v Conteh (2017) 9 CA5th 1296, the court of appeal held that a discovery referee’s sanctions award was directly appealable under CCP §904.1(a)(12), without further action from the court, when the referee’s appointment was a general not special reference. See §3.91.

In Kaiser Found. Health Plan, Inc. v Superior Court (2017) 13 CA5th 1125, the court of appeal held that CCP §1294 did not authorize an appeal from a judgment confirming an interim arbitration award when only threshold issues (preemption and exhaustion) were adjudicated. See §3.93.

Standing to Appeal. The California Supreme Court in Hernandez v Restoration Hardware, Inc. (2018) 4 C5th 260 held that an unnamed class member who fails to become a party of record, either by formally intervening or by filing an appealable motion to set aside and vacate the class judgment under CCP §663, cannot appeal from denial of his or her objections to the class action settlement. See §5.13.

In Kinney v Clark (2017) 12 CA5th 724, the court of appeal held that a previously declared vexatious litigant was subject to prefiling requirements when he was represented by “puppet” attorneys, even though CCP §391.7 by its terms only applies to self-represented litigants. See §5.45

Stay of Enforcement. The court of appeal in URS Corp. v Atkinson/Walsh Joint Venture (2017) 15 CA5th 872 held that, although an appeal from an order disqualifying plaintiffs’ counsel automatically stayed the order, it did not automatically stay the rest of the trial proceedings. See §6.19.

In Quiles v Parent (2017) 10 CA5th 130, the court of appeal held that an appeal is from a “costs-only” judgment under CCP §917.1 if the costs were awarded under CCP §§1021–1038; therefore, the defendant, who satisfied the damages portion of the judgment and appealed only the larger award of attorney fees and costs, was entitled to a stay of enforcement with no bond required. See §6.28.

Designating the Record. Effective January 1, 2018, Cal Rules of Ct 8.137 was amended to streamline the procedure for using a settled statement in some cases. An appellant does not have to file a motion in the trial court for permission to proceed by settled statement, as long as the designated oral proceedings were never reported or the appellant has received a fee waiver. See §§9.58–9.66, 9.137. The Judicial Council has also published a new optional form for filing a proposed settled statement. See §9.137.

In Rhue v Superior Court (2017) 17 CA5th 892, the court of appeal held that the superior court cannot refuse to approve an appellant’s settled statement on the ground that it would be difficult to reconstruct a hearing. See §9.65.

In Rhule v WaveFront Technol., Inc. (2017) 8 CA5th 1223, the court of appeal affirmed an attorney fees order, holding that, in the absence of any transcript of fee-related hearings, or an agreed or settled settlement, the record was inadequate to show the trial court abused its discretion. See §9.52.

Opening Briefs. In Phillips v Honeywell Int’l Inc. (2017) 9 CA5th 1061 and Pizarro v Reynoso (2017) 10 CA5th 172, when appellants did not present arguments in separate headings or subheadings in their opening briefs as required by Cal Rules of Ct 8.204(a)(1)(B), the courts of appeal treated those arguments as forfeited. See §12.53.

In Ewald v Nationstar Mortgage, LLC (2017) 13 CA5th 947, on appeal after grant of summary judgment, the appellant cited only one case without explaining its relevance, failed to articulate the standard of review or to describe elements of causes of action for which triable issues of fact might exist, and filed no reply brief; the court of appeal affirmed with no discussion of the merits due to “[e]gregious violations of basic appellate norms.” See §12.122.

Decision on the Merits. In Beach Break Equities, LLC v Lowell (2016) 6 CA5th 847, the court of appeal held that a tenant who won reversal of a judgment in an unlawful detainer case could obtain restitution of possession through a motion on remand; filing a cross-complaint was not required. See §17.68.

In Stueve v Nemer (2017) 7 CA5th 746, the court of appeal held that, in calculating the time limit for bringing a case to trial, an action is “brought to trial” when prospective jurors have assembled for voir dire and are sworn to tell the truth; not later, when the clerk administers the oath to the trial jurors after they have been selected. See §17.78.

Petition for Rehearing. In Bigler-Engler v Breg, Inc. (2017) 7 CA5th 276, the court of appeal modified its analysis of a key issue in response to a petition for rehearing based on Govt C §68081 (rehearing required when appeal decided on issue that was not briefed). See §19.9.

Attorney Fees. In City of Crescent City v Reddy (2017) 9 CA5th 458, the court of appeal denied appellant’s request for attorney fees under Health & S C §17980.7 (enforcement of state housing law) on the ground that a statutory award of fees incurred on appeal should be sought in the first instance in the trial court. See §20.32.

In Gonzalez v Santa Clara Dep’t of Soc. Servs. (2017) 9 CA5th 162, the court of appeal held that less deference may be awarded to a trial court’s fee award for appellate services than would otherwise be the case under the abuse of discretion standard, given that appellate court is “at least as well situated as the trial court to determine [the] reasonable value” of the fees. See §20.32.

Sanctions. In Kinney v Clark (2017) 12 CA5th 724, the court of appeal held that when counsel acted as “mere puppets” for a vexatious litigant, the court could expand a prefiling order to prohibit attorneys on appellant’s behalf from filing any new litigation or appeal without prior leave of court. See §20.42

In Diaz v Professional Community Mgmt., Inc. (2017) 16 CA5th 1190, the appeal was held frivolous when appellant intentionally and misleadingly induced the trial court to deny the very order it was appealing, solely for purposes of delaying the pending trial and obtaining immediate appellate review. See §20.44.

In Lopez v Routt (2017) 17 CA5th 1006, the appeal was not held frivolous because, although there was relevant supreme court precedent, no court had expressly ruled on the precise question at issue in the appeal. See §20.45.

Citing of Opinions. In Direct Capital Corp. v Brooks (2017) 14 CA5th 1168, the court of appeal advised that, when citing an unpublished federal or sister-state opinion, counsel should supply Lexis or Westlaw citations or, if a citation is unavailable, present the opinion by way of judicial notice. See §21.20.

About the Authors

MITCHELL E. ABBOTT: Richards, Watson & Gershon, Los Angeles. A.B., 1972, University of California, Davis; J.D., 1975, University of Virginia. Certified Specialist, Appellate Law (State Bar of California Board of Legal Specialization). Mr. Abbott has been an appellate practitioner for over 35 years. Among his many cases are Marriage of Barnes (1987) 43 C3d 1371 and Centinela Hosp. Ass’n v City of Inglewood (1990) 225 CA3d 1586.

DAVID M. AXELRAD: Horvitz & Levy, LLP, Encino. B.A., 1972, Stanford University; J.D., 1977, Hastings College of the Law. Mr. Axelrad is a fellow of the American Academy of Appellate Lawyers and a member of the California Academy of Appellate Lawyers. An appellate lawyer exclusively since 1981, he is especially interested in appellate procedure and stays pending appeal. Among his many cases is J.C. Penney Cas. Ins. Co. v M.K. (1991) 52 C3d 1009.

LUCILLE Y. BACA: California Department of Transportation. B.A., 1985, University of California, San Diego (summa cum laude); J.D., 1988, University of California, Berkeley, School of Law. Ms. Baca is an Assistant Chief Counsel in the Bay Area Legal Office of the California Department of Transportation Legal Division, where she specializes in environmental, eminent domain, and inverse condemnation law. She has extensive appellate experience and has briefed and argued numerous appeals and writs throughout the state on behalf of the Department of Transportation in various areas of public entity law and liability. Among the cases she has handled is Locklin v City of Layfayette (1994) 7 C4th 327. Ms. Baca is also a member of the Department’s statewide Legal Division Appellate Committee.

THE HONORABLE KATHLEEN M. BANKE: Associate Justice of the California Court of Appeal, First District. Before her appointment to the bench and elevation to the Court of Appeal, Judge Banke was a partner at Reed Smith LLP, where she specialized in civil appellate practice and was the leader of the firm’s Appellate Practice Group. Representing clients at all levels of the federal and state appellate courts, she was counsel of record or co-counsel on more than 200 appeals and writs. While in private practice, Judge Banke was a certified specialist in appellate law by the California State Bar Board of Legal Specialization. She was inducted as a fellow in the American Academy of Appellate Lawyers and was formerly an active member and remains a nonvoting member of the California Academy of Appellate Lawyers. Judge Banke has served as a practitioner-advisor in appellate advocacy at the University of California, Berkeley, School of Law and as an adjunct professor of law at the University of California, Hastings College of the Law. She is the author of numerous articles on appellate practice. Judge Banke received her B.A. (with Honors) in 1974 from California State University (Sacramento) and her J.D. (Order of the Coif) in 1979 from the University of Colorado (Boulder).

MICHAEL M. BERGER: Berger & Norton, Santa Monica. Brandeis University (1960–1964); J.D., 1967, Washington University; LL.M., 1968, University of Southern California. A certified appellate specialist, Mr. Berger is a past president of the California Academy of Appellate Lawyers and has written and lectured extensively on appellate and property law matters. Among his best known cases are First English Evangelical Lutheran Church v County of Los Angeles (1987) 482 US 304, 107 S Ct 2378 and State Farm Fire & Cas. Co. v Von der Lieth (1991) 54 C3d 1123.

THE HONORABLE ELIHU M. BERLE: Superior Court of California, County of Los Angeles. B.A., 1965, Brooklyn College; M.B.A., 1966, University of Pennsylvania; J.D., 1969, Columbia University. Judge Berle has presided in central civil fast track and criminal courts departments, and has sat on assignment as justice pro tempore of the Court of Appeal, Second Appellate District. Before his appointment to the bench, Judge Berle was in the private practice of law specializing in civil litigation and appellate law.

ELLIOT L. BIEN: Bien & Summers, San Rafael. A.B., 1967, Columbia College; J.D., 1971, Columbia University; LL.M., 1972, Harvard Law School. Assistant Professor of Law, DePaul University, 1972–1975. After leaving academia, Mr. Bien has limited his private practice to civil appeals since 1982. He is a past president of the California Academy of Appellate Lawyers, a fellow of the American Academy of Appellate Lawyers, founder and first chairman of the Committee on Appellate Courts (now the Appellate Practice Section) of the Bar Association of San Francisco, and a State Bar certified appellate specialist. Mr. Bien has written and lectured frequently on both appellate practice and legal professionalism. His article Toward a Community of Professionalism, 3 Journal of Appellate Practice & Process 475 (Fall 2001), stimulated professionalism programs at the First and Fourth District Courts of Appeal. His most recent publication is Officers of a Court Do Not Plagiarize, 27 Cal Litig (2014).

RAYMOND A. CARDOZO: Reed Smith Crosby Heafey, San Francisco. B.A., 1989, Williams College; J.D., 1994, University of California, Berkeley, School of Law. Mr. Cardozo has handled over 100 criminal and civil appeals and writs. He has taught moot court at UC Berkeley’s School of Law and written a number of articles on appellate practice. Among his many cases are People v Blakeley (2000) 23 C4th 82 and People v Brown (1999) 75 CA4th 916.

EFRAT M. COGAN: Buchalter Nemer, PLC, Los Angeles. Ms. Cogan is senior counsel in Buchalter Nemer’s Los Angeles office, where she is a member of the firm’s Litigation and Appellate Practice Groups. Ms. Cogan specializes in complex commercial litigation and contract disputes, real estate and construction, copyright and unfair competition, class actions, professional liability, and constitutional law. She is a Certified Specialist in Appellate Law (State Bar of California Board of Legal Specialization) and has been named a Southern California Super Lawyer. She received her B.A. in 1984 from the University of California, Los Angeles, and her J.D. (Order of the Coif) in 1987 from the University of Southern California, where she was articles editor of the law review.

ROBERT M. DATO: Buchalter Nemer, Irvine. B.A., 1980, San Diego State University; J.D., 1983, University of San Diego. A former research attorney to Presiding Justice David Sills, Fourth Appellate District, Division 3, and occasional writ attorney for the court, Mr. Dato is a certified appellate specialist and has argued numerous appeals in California as well as in New York, Pennsylvania, Idaho, and elsewhere. Among his notable cases are Jarrow Formulas, Inc. v LaMarche (2003) 31 C4th 728; Cedars-Sinai Med. Center v Superior Court (1998) 18 C4th 1; and Cohn v Corinthian Colleges, Inc. (2008) 169 CA4th 523.

PETER W. DAVIS: Reed Smith Crosby Heafey, Oakland. B.S., 1965, University of Oregon; J.D., 1969, University of California, Hastings College of the Law. A past President of the California Academy of Appellate Lawyers, a Fellow of the American Academy of Appellate Lawyers, and Chair of the Ninth Circuit Advisory Committee on Rules of Practice and Internal Operating Procedures, Mr. Davis has specialized in appellate practice for over 20 years and has handled more than 400 appeals and writs. He has written and lectured extensively on appellate issues and taught appellate advocacy at Hastings and at Santa Clara Law School.

PAUL D. FOGEL: Reed Smith Crosby Heafey, San Francisco. A.B., 1971, University of California, Berkeley; J.D., 1976, University of California, Los Angeles, School of Law. Fulbright Fellow in American Law, University of Paris, France, 1979–1980. Senior Staff attorney to California Supreme Court Chief Justice Rose Bird, 1983–1987. Fellow, American Academy of Appellate Lawyers. Member, California Academy of Appellate Lawyers, Ninth Circuit Rules Committee, and California Appellate Rules Task Force. Certified Specialist in Appellate Law. Past Chair, Appellate Practice Section, Bar Association of San Francisco, State Bar Committee on Appellate Courts. Mr. Fogel specializes in appeals, writs, and posttrial motions.

JOSE H. GARCIA: Acer Legal Group, San Jose. B.A., 1978, and J.D., 1985, Loyola University of Los Angeles. Mr. Garcia specializes in appellate practice and has contributed to numerous programs. Among his many cases are Ramirez v Plough, Inc. (1993) 6 C4th 539 and Evangelatos v Superior Court (1988) 44 C3d 1188.

JAMES R. GOFF: Orange. A.B., 1962, and J.D., 1965, University of Southern California. Mr. Goff was a senior attorney to Presiding Justice Robert Gardner (ret.), Fourth Appellate District, Division 2, and is a certified specialist in appellate law, specializing in all aspects of civil appellate litigation. Among his many cases is Secrest Machine Corp. v Superior Court (1983) 33 C3d 664.

RONALD M. GREENBERG: Of Counsel, Berkes Crane Robinson & Seal LLP. A.B., 1961, University of Michigan; LL.B., 1964, Stanford University. Mr. Greenberg has handled many appeals, including Moor v County of Alameda (1973) 411 US 693, 93 S Ct 1785. He was the 1995 recipient of the “World Lawyer Award” from the World Jurist Association and has contributed to numerous publications and programs.

HARVEY M. GROSSMAN: Los Angeles. A.B., 1951, and LL.B., 1954, University of California, Los Angeles. A former clerk to the late U.S. Supreme Court Justice William O. Douglas, Mr. Grossman has contributed to all three editions of California Civil Appellate Practice. He is a member of the California Academy of Appellate Lawyers.

BLAIR HOFFMAN: Staff Attorney, California Supreme Court. B.A., 1971, University of California, Santa Barbara; J.D., 1974, University of California, Davis. Before working for the state supreme court, Mr. Hoffman was a deputy attorney general specializing in appeals. Among his many cases as deputy attorney general are Davis v Municipal Court (1988) 46 C3d 64 and Barker v Estelle (9th Cir 1990) 913 F2d 1433.

DANIEL WEBB HOWARD: Gleaves, Swearingen, Potter & Scott, Eugene, Oregon. B.A., 1996, Ohio State University; J.D., 2000, University of California, Berkeley, School of Law. Mr. Howard is a member of both the California and Oregon bars. Appellate matters have constituted a significant portion of his practice since his admission to the California bar in 2000.

CHRISTINA J. IMRE: Sedgwick, Detert, Moran & Arnold, Los Angeles. B.A., 1972, Mount St. Mary’s College; M.A., 1974, University of Notre Dame; J.D., 1980, Loyola Law School, Los Angeles. Besides handling many civil appeals, Ms. Imre has served as a trial consultant in numerous cases in anticipation of appeal. She has also written and lectured extensively on appellate and insurance-related matters.

BRENDON ISHIKAWA: California Court of Appeal, Third District, Lead Attorney (Chambers of Associate Justice Andrea Lynn Hoch). Mr. Ishikawa received his B.A. from the University of California, Santa Cruz, and his J.D. from the University of California, Davis, School of Law. He is certified as an appellate specialist by the State Bar of California Board of Legal Specialization. Before working at the Court of Appeal, Mr. Ishikawa provided representation in civil appeals and served as an appellate mediator. He currently serves on the Appellate Mediation Committee at the California Court of Appeal, Third District, and regularly teaches appellate mediation skills.

ELLEN LAKE: Ellen Lake Law Offices, Oakland. B.A., 1966, Radcliffe College; J.D., 1970, Case Western Reserve University. A former clerk to California Supreme Court Associate Justice Raymond L. Sullivan, Ms. Lake is a member of the California Academy of Appellate Lawyers. Among her best known cases are Gentry v Superior Court (2007) 42 C4th 443; Bonanno v Central Contra Costa Transit Auth. (2003) 30 C4th 139; Richards v CH2M Hill, Inc. (2001) 26 C4th 798; and Hodges v Superior Court (1999) 21 C4th 109.

JACQUES LeBOEUF: Law Offices of A. Charles Dell’Ario, Oakland. B.A., 1987, Brown University; J.D., 1992, Northwestern University School of Law. Mr. LeBoeuf has specialized in civil appeals and writs for 8 years, writing several dozen appellate briefs on topics ranging from civil rights and employment discrimination to stolen artwork and unexplained disappearances from trains. He has written and lectured on constitutional law, the appellate process, and legal writing, and he is a current co-chair of the Alameda County Bar Association’s Appellate Practice Section.

JAMES C. MARTIN: Reed Smith, Los Angeles. B.A., 1974, Colorado College; J.D., 1978, University of Santa Clara. Mr. Martin is a Fellow and Director in the American Academy of Appellate Lawyers and a member and former president of the California Academy of Appellate Lawyers. He is certified as a specialist in appellate law by the State Bar of California, Board of Legal Specialization.

JOSEPH P. MASCOVICH: Chair of Appellate Practice Group, Miller Law Group. A.B., 1977, University of California, Berkeley; J.D., 1980, University of California, Hastings College of the Law. Mr. Mascovich has specialized in civil appeals and writs for the last 25 years and has taught appellate advocacy at the University of California, Berkeley, School of Law. Among his recent published cases are Southern Cal. Regional Rail Auth. v Superior Court (2008) 163 CA4th 712 and Wells Fargo Bank v Superior Court (2008) 159 CA4th 381.

GAIL Y. NORTON: Ropers, Majeski, Kohn & Bentley, San Francisco. B.A., 1973, University of California, Berkeley; London School of Economics and Political Science; J.D., 1977, University of California, Hastings College of the Law. A practitioner since 1977 and an appellate specialist since 1982, Ms. Norton has contributed to numerous panels on the subject. Among her many published appellate cases is Regents of Univ. of Cal. v Superior Court (Roettgen) (1996) 41 CA4th 1040.

T. PETER PIERCE: Richards, Watson & Gershon, Los Angeles. Mr. Pierce is certified as a specialist in appellate law by the State Bar of California Board of Legal Specialization. He has represented public agencies and other clients before the United States Supreme Court, the California Supreme Court, the United States Ninth Circuit Court of Appeals, the California Court of Appeal, and various trial courts at the federal and state levels. Mr. Pierce received his A.B. from Cornell University in 1986, his M.S. from Syracuse University in 1987, and his J.D. from Tulane Law School in 1992.

WILLIAM T. RINTALA: Rintala, Smoot, Jaenicke & Rees, LLP, Los Angeles. A.B., 1961, Stanford University; J.D., 1967, University of California, Berkeley, School of Law. A former clerk to Justice Draper (ret.), First Appellate District, Mr. Rintala specializes in business litigation and appeals, and has contributed to numerous programs and publications. Among his many cases are Crawford v Board of Educ. (1976) 17 C3d 280 and Trust Co. Bank v MGM/UA Entertainment Co. (11th Cir 1985) 772 F2d 740.

THE HONORABLE GEORGE P. SCHIAVELLI (RET.): B.A., 1970, Stanford University; J.D. 1974, University of California, Los Angeles, School of Law. Judge Schiavelli is currently a member of the appellate group of Reed Smith Crosby Heafey, Los Angeles, and is affiliated with Alternative Resolution Centers as an arbitrator and mediator in a broad range of commercial disputes. From 1994 to 2000, Judge Schiavelli was a superior court judge in the County of Los Angeles and was presiding judge of the appellate division from 1999 to 2000. Judge Schiavelli has also served on numerous program panels for CEB and other organizations. He is currently a member of the California Judicial Council Appellate Advisory Committee.

ARTHUR E. SCHWIMMER: Los Angeles. A.B., 1961, Columbia University; LL.B., 1964, Brooklyn Law School. A past President of the California Academy of Appellate Lawyers, a Fellow of the American Academy of Appellate Lawyers, and a member of the Judicial Council Advisory Committee to Implement Proposition 32, which drafted new rules for the California Supreme Court, Mr. Schwimmer specializes in civil appeals. In the course of his career, he has lectured and written extensively on appellate practice. Among his many cases are Weiner v Fleishman (1991) 54 C3d 476 and West Covina Hosp. v Superior Court (1986) 41 C3d 846.

JOCELYN SPERLING: Bien & Summers, Berkeley. B.A., 1994, Duke University (magna cum laude). J.D., 2000, University of California, Los Angeles, School of Law (Law Review Editor, Order of the Coif). Before joining Bien & Summers, Ms. Sperling had extensive appellate experience as a Staff Attorney at the Ninth Circuit and previously as a law clerk for Ninth Circuit Judge Richard A. Paez. She also gained useful familiarity with the trial court process as a Legal Research Attorney at the Alameda County Superior Court and as a litigation associate at Traber & Voorhees in Pasadena. While at that firm she was recognized as a “Rising Star” by Southern California Super Lawyers. Since joining Bien & Summers, she has handled a wide variety of civil appellate matters in both state and federal courts.

E. ELIZABETH SUMMERS: Bien & Summers, LLP, San Francisco (retired). B.A., 1964, Stanford University; J.D., 1974, University of California, Berkeley, School of Law. A member of the California Academy of Appellate Lawyers and founder of the Appellate Practice Section, Alameda County Bar Association, Ms. Summers has specialized in civil appeals and writs for 15 years. She has written and spoken frequently on subjects related to appellate practice. Among her better known cases are Urbaniak v Newton (1991) 226 CA3d 1128 and Eddy v Sharp (1988) 199 CA3d 858.

MARY-CHRISTINE (M.C.) SUNGAILA: B.A., 1988, Stanford; J.D., 1991, University of California, Los Angeles, School of Law. An appellate partner at Snell & Wilmer in Orange County, California, Ms. Sungaila has successfully briefed and argued appeals raising cutting-edge and core business issues, and women’s and human rights issues statewide as well as nationally and internationally. Her practice also includes consulting at trial and serving as part of the extended trial team focused on preserving the record for appeal and maximizing the chances of prevailing at trial. She has repeatedly been named a Notable Appellate Practitioner in California by Chambers U.S.A. and one of California’s Top Women Lawyers by the Daily Journal. In 2015, she received a CLAY award for a groundbreaking win before the California Supreme Court.

ROY G. WEATHERUP: Lewis Brisbois Bisgaard & Smith, LLP, Los Angeles. A.B., 1968, and J.D., 1972, Stanford University. A member of the California Academy of Appellate Lawyers and the BAJI committee responsible for producing the “Approved Jury Instructions,” Mr. Weatherup specializes in appellate practice on which he has lectured extensively. He has been responsible for more than 1000 appellate briefs in over 700 cases, resulting in more than 150 published opinions. Among his many cases are Moradi-Shalal v Fireman’s Fund Ins. Cos. (1988) 46 C3d 287 and Sindell v Abbott Labs. (1980) 26 C3d 588.

About the 2018 Update Authors

DAVID M. AXELRAD: For biographical information, see About the Authors. Mr. Axelrad is the author of chapter 6.

LUCILLE Y. BACA: For biographical information, see About the Authors. Ms. Baca is the author of chapter 20.

ELLIOT L. BIEN: For biographical information, see About the Authors. Mr. Bien is a coauthor of chapter 3.

ROBERT M. DATO: For biographical information, see About the Authors. Mr. Dato is a coauthor of chapters 12 and 18 and provided assistance with chapter 10.

PAUL D. FOGEL: For biographical information, see About the Authors. Mr. Fogel is now a partner at Reed Smith, LLP. He is the author of chapter 17.

ELLEN LAKE: For biographical information, see About the Authors. Ms. Lake is the author of chapter 13.

JOSEPH P. MASCOVICH: For biographical information, see About the Authors. Mr. Mascovich is the author of chapter 19.

MYRON MOSKOVITZ: Mr. Moskovitz is Legal Director of Moskovitz Appellate Team, a law firm of retired appellate justices and law clerks (see MoskovitzAppellateTeam.com). He has handled and consulted on hundreds of appeals, both in state and federal courts. He received his J.D. from Boalt Hall (University of California, Berkeley, School of Law), where he was on law review and was awarded Order of the Coif. He served as law clerk to Justice Raymond E. Peters of the California Supreme Court. He is the author of Winning An Appeal (Carolina Academic Press, 2016) and Moskovitz On Appeal (LexisNexis, 2015). Mr. Moskovitz provided assistance with chapters 7 and 9.

JOCELYN SPERLING: For biographical information, see About the Authors. Ms. Sperling is now at the Law Office of Jocelyn Sperling, Berkeley. She is a coauthor of chapter 3.

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