Step 3: Additional filings
During an appeal, all parties must file documents with both the trial court and the Court of Appeal. These documents give the courts the information they need to handle the appeal, learn about the trial court case, and make a decision.
Some documents are required, while others are only filed if you need to give the court extra information or ask for something that isn’t a regular part of the appeal.
Many documents have similar names but are used for different reasons, which can be confusing. If you're not sure what to file or have questions about any documents, you can contact the court clerk for help.
Forms
During an appeal, you need to file many forms with the courts. The deadlines for these forms begin as soon as the appellant files the notice of appeal.
It’s very important for everyone involved in the appeal to know which forms they need to fill out and when. If your Court of Appeal has a Mediation Program, there may be extra forms to complete.
You also need to know where to file each form. Some forms go to the trial court, and others go to the Court of Appeal.
Make sure to read the instructions for each form carefully. If a form is missing information, the court will send it back for corrections. If you don’t file certain forms, or file them late, the court could dismiss the appeal.
There are many resources to help you understand and fill out the forms. You can find these resources online or in person at the court.
Below is a summary of the most important forms you need to file before writing your brief and where to get help.
You can also learn more about the forms needed for each step of an appeal by checking out the other sections of this guide.
Who files this form? The appellant files the Civil Case Information Statement (form APP-004). The respondent does not file this form.
What’s the purpose of this form? This form provides basic information about the case to help the Court of Appeal start processing the appeal. The appellant uses it to tell the court:
- The type of case (like medical malpractice, real estate, or probate)
- The judgment or order being appealed
- Important history and dates of the case
- Names and contact information for everyone involved in the case
- Any bankruptcy or court-ordered stay that affects the appeal
This form is just a brief summary of the case. It does not include the legal arguments, which will come later in the briefs.
Where do I get this form? Form APP-004.
Where do I file this form? This form is filed with the Court of Appeal.
What’s the deadline? The appellant must file and serve this form within 15 days after the Court of Appeal assigns your appeal a case number.
What happens if I miss the deadline? If you don’t file the form on time, the Court of Appeal will issue a notice of default. The court will give you another 15 days to file or fix the form. If you still don’t do what’s required, the court can fine you or dismiss the appeal permanently.
Are there special serving and filing instructions? Yes. The appellant must include two things when serving form APP-004 to other parties and filing it with the court:
- A copy of the judgment or order being appealed.
- A proof of service form that tells the court the form was delivered to all other parties involved in the appeal.
Does the respondent ever have to file a Civil Case Information Sheet? The respondent only needs to file a Civil Case Information Sheet if they file a cross-appeal. When someone files a cross-appeal, they become both a respondent and an appellant. This means they have to follow all the rules, file all the forms, and pay all the fees for both roles in the case.
Who files this form? Both the appellant and the respondent must complete and file form APP-008.
What are the exceptions? You do not file this form if the case is about family, juvenile, guardianship, or conservatorship matters.
What’s the purpose of this form? This form lets the Court of Appeal know if there are any people or companies involved in the case that could cause a conflict of interest for the justices. For example, if a justice has a financial interest in a company in the case, they can't be involved in the decision.
Where do I get this form? Form APP-008.
Where do I file this form? This form is filed with the Court of Appeal.
What’s the deadline? There is no set date, but you must file the form:
- With the first motion, application, or opposition to a motion.
- With your brief, where it should be the second page after the cover. You must include the form even if you already filed it earlier.
Note: You must serve a copy of this form on all other parties before filing it with the Court of Appeal.
What is an interested entity or person? This can be an individual or a company that has a financial or other interest in what happens in the case. If the party filing the form is a business, they must also list any person or company that owns more than 10% of the business, even if they aren't part of the lawsuit. This includes spouses or partners who own more than 10%.
Here are examples of well-known businesses that are owned by other businesses (as of 2019):
- JPMorgan Chase – Washington Mutual
- Bank of America – Merrill Lynch
- Walmart – Sam’s Club
- Pepsico – Taco Bell, KFC, Quaker Oatmeal, Cheetos and Tropicana
- Nestle – Gerber baby food, Hot Pockets, KitKats, and L’Oreal
- Unilever – Axe body spray, Dove, Lipton tea, and Hellmann’s mayonnaise
What happens if I forget to include this form? The Court of Appeal will send a notice of default and give you 15 days to fix the mistake. If the appellant doesn’t correct it, the court can reject the document, fine them, or dismiss the appeal. If the respondent doesn’t correct it, the court can reject the document, fine them, or decide the case without considering their brief.
What if I want to keep an interested entity or person confidential? If the person or company hasn’t already been named in the case, you can ask the court to keep their identity private. You’ll need to apply to the Court of Appeal to file the form under seal, and if the court approves, you have 10 days to file the completed form without serving it.
What if I forget to include an interested person or entity, or if new information comes up?
If you realize you forgot to include someone, or if there’s new information, you must file a new form APP-008 with the Court of Appeal as soon as possible.
During an appeal, parties can file motions or other documents in addition to the required forms. These filings allow you to:
- Provide more information to the court
- Make requests to the court
- Inform the court of a problem
- Ask for permission to do something
Who can file motions and other documents?
After the appellant files a notice of appeal, any party involved in the case can file motions or documents allowed by the California Rules of Court.
When can I file motions and other documents?
While most required forms have deadlines, motions and other documents can usually be filed at any time during the appeal, up until oral arguments. Once oral arguments happen, the case is submitted for the Court of Appeal’s decision.
Is there a form for motions and other filings?
There is no form for motions. Some other filings might have forms, but if no form exists, you’ll need to create your own document.
How do I prepare a motion or other filing?
It’s best to type your filings on a computer or typewriter. You can only submit handwritten documents if the court has given you special permission. You can contact the court to see if they have any sample motions or other filings available.
What information do I include in motions and court filings that do not have a form?
When you file a motion or other court document without a form, you need to clearly explain what you’re asking for and why the court should grant your request. This is called "good cause." Your motion should include:
- Basic facts about your request in a declaration signed under penalty of perjury
- Steps you’ve taken or tried to take to fix the problem
- What you want the court to do
- Why it’s necessary for the court to take this action
- Any rules or laws that support your request
You should back up your argument with legal reasons (called legal authorities) to show why your request is valid. You may also need to include documents, like exhibits, to support your argument. Be sure to follow the court's formatting rules and provide all the information needed for the court to decide.
Do I need to include any forms with a motion or other filing?
Yes. The first time you (appellant or respondent) file a document in the Court of Appeal, you must file a Certificate of Interested Entities or Persons (form APP-008).
Do I need proof of service for motions and other filings?
Yes. You must serve (give) a copy of most court filings to all other parties (or their lawyers) before filing them with the court. There are a few exceptions.
Do I file motions and other documents with the trial court or the Court of Appeal?
It depends. Some documents are filed in the trial court, while others are filed in the Court of Appeal. Documents are always filed with the court clerk. If you’re unsure where to file a document, contact the court clerk for help.
How long does the court have to make a decision about a request? Can other parties challenge a request?
After you file a motion, the court usually waits at least 15 days before making a decision, though it can take longer for special requests. The court may also delay its decision until a future date or after the case is decided. If the issue is urgent, the court may act more quickly.
During the waiting period, other parties can challenge your request by filing an opposition. The court can grant or deny a motion, even if it hasn’t been challenged. All parties will receive notice when the court makes a decision.
Can I make a request before the court in person, or do I have to file a document?
In the Court of Appeal, there is no new trial, so almost all the information you provide must be in writing. There is an opportunity for oral arguments, but this happens near the end of the appeal process, and each party has a limited amount of time to speak.
Where can I get help with motions and other filings?
You can find resources at the court and online to help you with motions and other filings. If you’re unsure about what to file or have questions, you can contact the court clerk for assistance.
Common motions and other filings during an appeal
Here are a few examples of motions and filings you might encounter in an appeal. Each one includes a sample document to help you understand what information needs to be included and how it should be formatted. You’ll need to create your own document based on the details of your case.
If the appellant decides to end the appeal before the record is filed, they can file an Abandonment of Appeal (form APP-005). This is done in the trial court's appeals section, and the appeal will be dismissed. If the clerk’s transcript isn’t finished, the appellant may get a refund for unused portions of the deposit.
If the appellant wants to end the appeal after the record has been filed, they can file a Request for Dismissal of Appeal (form APP-007) in the Court of Appeal. The court can either grant or deny this request.
The respondent can file a motion to dismiss the appeal any time after the appellant files the notice of appeal and before the case is submitted for decision after oral arguments. This is filed in the Court of Appeal. If the motion is filed before the record is filed, the respondent must include specific information listed in California Rule of Court 8.57(a).
A motion for judicial notice asks the Court of Appeal to recognize facts or evidence that are not disputed. For example, if there are two related cases, a party may ask the court to take judicial notice of the record or opinion from the earlier case.
- What material you want the court to notice
- Why it is relevant to the appeal
- Whether the matter was presented to the trial court
- Whether the trial court took judicial notice of it
- Whether it relates to anything that happened after the order or judgment being appealed
In your motion for judicial notice, you must explain:
If the trial court didn’t take judicial notice of the matter you’re raising, you must explain why it qualifies for judicial notice under Evidence Code sections 451, 452, or 453. If the matter you want noticed isn’t in the record, attach a copy or explain why you can’t. Keep in mind that the Court of Appeal usually won’t take judicial notice of matters not presented to the trial court.
Judicial notice is often used to recognize legislative history documents, which may not have been presented in the trial court but are relevant to the appeal. Examples include different versions of a bill or committee reports. When asking for judicial notice of legislative history, you must label each document as a separate exhibit and provide legal reasons for considering each one.
If you realize something is missing from the clerk’s transcript or the reporter’s transcript, you can file a motion to augment the record. This adds items from the trial court record to the appeal record. Only items filed in the trial court or part of the oral proceedings can be added.
If you have copies of the missing items, attach them to the motion. If not, clearly identify them using the format on form APP-003. Note: The Court of Appeal doesn’t have to grant the motion, and there may be costs involved.
If the trial court needs time to prepare the augmented record and your brief is due before it’s ready, include a request to extend the deadline for your brief. Title your document “Motion to Augment the Record and Application to Extend Time to File (Appellant’s Opening Brief, Respondent’s Brief, or Appellant’s Reply Brief).”
If items are missing from the transcript due to an error by the trial court clerk, file a notice of omission with the trial court to have the missing items copied and sent to the Court of Appeal. You must serve copies of the notice to the Court of Appeal and all other parties.
Tip: If you have a copy of the missing item, it might be faster and cheaper to file a motion to augment the record in the Court of Appeal and attach the document.
If you miss a deadline (like designating the record or paying a fee), the trial court or the Court of Appeal will send a notice of default giving you 15 days to fix it. If you miss this deadline, you can file a motion for relief from default to explain why you missed it and ask for an extension. This must show “good cause” and is filed in the Court of Appeal.
If the Court of Appeal dismisses your appeal, you may be able to file a motion to reinstate the appeal. This asks the court to resume the appeal from the point where it was dismissed. The case doesn’t start over from the beginning.
When can I file a motion to reinstate an appeal after dismissal?
You can’t file a motion to reinstate your appeal if it was dismissed because of a non-appealable order or because the appeal was filed too late. In those cases, you may be able to file a petition for rehearing instead.
You can file a motion to reinstate an appeal if the dismissal was due to a procedural default, meaning you didn’t fix something the court asked you to do. Examples of procedural defaults include:
- Not paying the Court of Appeal filing fee or not providing a fee waiver application
- Not properly designating the record on appeal
- Not paying for the record on appeal
- Not filing a Civil Case Information Statement
- Not filing a brief
- Not filing an appellant’s mediation statement (only applies in the 3rd District Court of Appeal)
Filing a motion to reinstate an appeal based on a procedural default is asking the Court of Appeal to give you another chance to correct the issue.
What is the deadline to file a motion to reinstate the appeal?
You should file the motion as soon as possible after the Court of Appeal dismisses your appeal. The Court of Appeal only has jurisdiction (legal authority) over your case for 30 days after the dismissal. Once the 30 days are over, the court can’t extend the time to file your motion.
Before filing your motion with the Court of Appeal, you must serve it on all parties in the case and the trial court.
Is there a filing fee?
No, there is no additional fee to file a motion to reinstate the appeal.
What do I include when writing a motion to reinstate an appeal?
There is no official form for this request. Your filing needs to have two main parts:
- Cover page – This should include basic information about the parties (such as contact information) and the appeal (like the case number).
- Main document – This should explain why you are asking to reinstate the appeal. It should include general information about the parties and the appeal, along with the reasons for filing the request. This is called a declaration, and it should include any legal authorities (like cases and laws) you need to back up your arguments to reinstate the appeal.
How and when does the Court of Appeal make a decision on a motion to reinstate the appeal?
The Court of Appeal reviews the motion to reinstate the appeal and makes a decision. The court has legal authority, called jurisdiction, to make rulings for 30 days after it dismisses an appeal. This means the court can only rule on a motion to reinstate the appeal during this 30-day period, so it’s important to file the motion as soon as possible after the dismissal.
The Court of Appeal can respond to a motion to reinstate the appeal in three ways:
- The court may choose not to respond and take no action.
- The court can deny the motion to reinstate the appeal.
- The court can agree to reinstate the appeal and allow the appeal to continue, giving the party time to correct their mistake (default).
Note: If your appeal was dismissed due to a non-appealable order or an untimely appeal, some Courts of Appeal may prefer that you file a petition for rehearing instead. Check with the Clerk’s Office at your Court of Appeal to know which is the right option for your case.
If one party files a motion, the other party usually has 15 days to challenge it by filing an opposition. If the issue is urgent, the court may give a shorter waiting period.
To oppose a motion, a party must write an argument explaining why they disagree with the motion and file this document with the Court of Appeal. The court will consider the opposition but makes the final decision on whether to grant or deny the motion.
All parties will receive notice once the court has made a decision about the motion.
Note: In most cases, a party can file opposition to any motion, except for a petition for rehearing or a motion for sanctions. For those, the court must request opposition before it can be filed.
Appeals
What's next?
Most forms in an appeal are filed before the briefs. After you finish submitting all the pre-brief forms and designating the record for the appeal, the next step is to work on the briefs.
Each party in the appeal writes a brief that explains why their side of the appeal is correct. Writing a brief can take a lot of time and research, so it’s important to start early.