Step 3: Designating the record

What can the respondent do? 

If the appellant chooses a clerk’s transcript, the respondent can add documents, exhibits, or oral proceedings that support their case. Respondents use form APP-010 to add materials to the transcript. If the appellant requests a clerk’s transcript but the respondent opts for an appendix, the appeal will use an appendix unless the appellant was granted a fee waiver. 

Is there a court form? Yes, there are two forms to designate a clerk’s transcript: APP-003 for appellants and APP-010 for respondents.

Cost: The cost depends on the number of pages requested. The appellant is responsible for paying for the trial court clerk to copy, organize, and send the documents to the Court of Appeal. The trial court clerk can provide a cost estimate.

How do the parties get a copy? The trial court clerk will send copies to any party that requested and paid for one. Other parties can buy a copy or borrow the appellant’s copy once the opening brief is filed.

What is it? An appendix is a collection of documents from the trial court file that one of the parties in the appeal prepares, instead of the court clerk. It must follow specific formatting rules (California Rules of Court, rules 8.124 and 8.144). If both parties agree on the contents, they can create a joint appendix.

Advantages: You save money by not paying the trial court clerk to prepare the documents. However, putting together an appendix takes a lot of time and effort.

Rules: Either party can create an appendix. If the appellant asks for a clerk’s transcript but the respondent opts for an appendix, the appeal will proceed using the appendix, unless the appellant has a fee waiver for the clerk’s transcript.

The appendix must include all necessary documents for the Court of Appeal, organized by date, with page numbers, and a list of the documents in both alphabetical and date order. The appendix must be filed with the appellate brief, and copies must be served to all other parties.

If the appendix doesn’t meet the court’s formatting requirements, it will be returned for correction.

If both parties file a joint appendix, they must also file a stipulation, which tells the court they agree on the appendix's contents. If they file separate appendices, no agreement is required.

For electronic filing (e-filing), special rules apply, which are outlined in California Rules of Court, rule 8.74.

What can the respondent do? The respondent’s actions depend on what the appellant does. If the appellant creates an appendix without agreement on the contents, the respondent can submit their own appendix to add their additional documents. The respondent may designate an appendix using form APP-011.

If the appellant asks for a clerk’s transcript, but the respondent chooses an appendix, the appeal will continue with the appendix unless the appellant has a fee waiver. This applies even if the appellant initially requested something else.

Cost: For a joint appendix, the appellant pays, or both parties agree on how to split the cost. If each party prepares their own appendix, they pay for their own.

How do the parties get a copy? The party who prepares the appendix must serve copies on all other parties in the case.

What is it? This is a complete record of all documents from the trial court, organized as they were originally filed.

Advantages: It’s the fastest and cheapest option for getting documents to the Court of Appeal, and the trial court clerk handles page numbering and creating an index.

Rules: Only some Courts of Appeal allow the use of the whole trial court file. The second, fifth, and sixth appellate districts don’t allow parties to use the whole trial court file. In other districts, all parties must agree in writing to use the whole trial court file and file the agreement with the notice designating the record on appeal form.

Cost: The appellant pays for the clerk to send the file to the Court of Appeal, and the clerk provides an estimate for costs.

How do the parties get a copy? The clerk sends a copy of the index to the parties, and any party can request specific documents for a fee.

What is it? This is a word-for-word written record of what was said in court, prepared by a court reporter.

Rules: The appellant can request a reporter’s transcript if a court reporter was present during the trial. They must specify which parts of the proceedings to include. If there was no court reporter, this option isn’t available.

Cost: The cost depends on the number of days of transcript requested and how long each session lasted. The appellant has to pay a deposit, but fee waivers don’t cover this expense because the court reporter works independently, not for the court. There is a fund to help cover transcript costs (Transcript Reimbursement Fund), but it’s limited and not guaranteed.

What can the respondent do? The respondent can review the appellant’s transcript request and ask to include additional parts of the proceedings by filing form APP-010 within 10 days of the appellant’s filing.

If the appellant chooses a settled statement instead of a transcript, the respondent can choose to provide a reporter’s transcript at their own expense by filing APP-010 within 20 days after receiving the appellant’s settled statement. The court clerk or court reporter can provide a fee estimate, and the respondent usually needs to pay a deposit upfront.

How do the parties get a copy? The party who pays for the reporter’s transcript automatically gets a copy. Other parties can buy a copy from the trial court.

What is it? An agreed statement is a summary of some or all of the trial court proceedings, prepared by both parties. It can take time to create.

How is it used? It can replace a reporter’s transcript for oral proceedings or a clerk’s transcript for documents. It's most often used when a reporter’s transcript isn’t available and is less commonly used as a full substitute for the record on appeal.

Rules: All parties must agree on what the statement says and sign it. The agreed statement must include basic details about the case, like what it was about and how the trial court decided the issue being appealed. If used instead of a clerk’s transcript, the documents that are required to be included in a clerk’s transcript must be attached.

The appellant can file the agreed statement with the notice of appeal. If more time is needed, the parties can agree to extend the deadline. The agreed statement must be filed within 40 days of the notice of appeal. If the parties can’t agree, they may need to use a settled statement instead.

Is there a court form? No, there is no specific court form for an agreed statement.

Cost: There is no extra court fee to file an agreed statement, but there may be legal fees if a lawyer helps prepare it.

What is it? A settled statement is a summary of what happened during the trial court’s oral proceedings, including the facts and how the case was decided. The appellant prepares it. It can take a lot of time to complete.

How is it used? It can be used instead of a reporter’s transcript for the record of oral proceedings, especially when no transcript is available. It’s often included in the record on appeal for this reason.

Rules: Unlike an agreed statement, all parties don’t need to agree on a settled statement. However, there are rules about when it must be submitted, and sometimes court permission is required (California Rules of Court, Rule 8.137).

• If oral proceedings weren’t recorded, the appellant doesn’t need court permission to use a settled statement.
• If the appellant has a fee waiver, they also don’t need permission.
• If oral proceedings were recorded and the appellant doesn’t have a fee waiver, they must file a motion explaining how using a settled statement will save money and not be too burdensome for others.

What can the respondent do? The respondent can review and suggest changes to the appellant’s settled statement. They must file objections or proposed changes within 20 days after being served with the statement. If there’s a disagreement on something important to the appeal, the judge can hold a hearing and decide what the final settled statement will say.

Is there a court form? Yes. The appellant uses form APP-014 for the Proposed Statement on Appeal, and the respondent uses form APP-020 to suggest changes.

Cost: There’s no extra court fee to file a settled statement, but parties might have to pay if they hire a lawyer to help prepare or revise it.