10th Cir. R. 30

30.1 Appellant’s appendix.

Instead of a Federal Rule of Appellate Procedure 30 “appendix to the

briefs,” parties shall attach to their briefs the documents required by

Rule 28.2(A) and (B).

The appendix required by the remainder of this Rule 30.1 is the form

the record on appeal takes when the appellant is represented by

retained counsel or is an attorney representing himself or herself. See

10th Cir. R. 10.1. The remainder of this Rule does not apply to appeals

in which the appellant is pro se or is represented by counsel appointed

pursuant to 18 U.S.C. § 3006A. See 10th Cir. R. 10.1.

The appendix is prepared and electronically filed by the appellant. A

hard copy of the electronic appendix is required only if ordered by the

court. If a hard copy is ordered, it must be an exact replica of the

electronically filed appendix. This Rule also applies to appeals from the

Tax Court.

(A) Timing.

(1) Electronic filing. The appendix must be filed electronically

at the same time the opening brief is filed. See 10th Cir.

R. 31.1(A)(1) (noting the brief and appendix must be filed

within 40 days after the district court clerk notifies the

parties and the circuit clerk that the record is complete).

(2) Deferred appendix. Parties seeking to submit a deferred

appendix under Federal Rule of Appellate Procedure 30(c)

may file a motion seeking an exception to these

requirements.

(B) Content.

(1) Appellant’s duty. An appellant who is represented by

retained counsel, or who is an attorney representing

himself or herself, must electronically file an appendix

sufficient for considering and deciding the issues on

appeal. The requirements of Rule 10.4 for the contents of a

record on appeal apply to appellant’s appendix. See also

10th Cir. R. 10.2(A) (addressing appellant’s duty with

regard to transcripts).

(2) Social Security cases. In Social Security cases, the entire

administrative record must be included in the appendix. In

appropriate situations, the appellant may file a motion

seeking an exemption from electronic filing of the

administrative record, and a waiver of service requirements

for the administrative record. If an exemption from

electronic filing is granted, the appellant must submit a

hard copy of the appendix. See 10th Cir. R. 30.1(A)(2).

(3) Inadequate Appendix. The court need not remedy any

failure of counsel to provide an adequate appendix. See

10th Cir. R. 10.4(B).

(C) Multiple appellants. When multiple appellants are allowed to file

separate briefs under Rule 31.3(B), separate appendices may be

filed. But counsel must avoid duplication of items included in a

previously filed appendix; duplicative items may be adopted by

reference. A single agreed appendix is preferred.

(D) Form.

Important Note: Counsel should review the Court’s CM/ECF

User Manual at Sections II and III and in particular III(G) for

important technical information and instructions regarding the

electronic appendix. These sections also include important

information regarding submission of the required single hard

copy of the appendix. See www.ca10.uscourts.gov.

(1) Cover; pagination. Each volume of an appendix must

have a white cover with the information required by

Federal Rule of Appellate Procedure 32(a)(2) and (b). The

appendix must be consecutively paginated. However,

volumes within a multi-volume appendix may be paginated

independently. That is, while the appendix need not be

paginated consecutively across multiple volumes, each

volume must be paginated consecutively. Citations to the

appendix must make clear the volume and page cited.

(2) Index or table of contents. All appendices must include

an index or table of contents of documents with

appropriate volume and page numbers noting where the

documents appear. If the appendix consists of multiple

volumes, each volume must include an index or table of

contents.

(3) File stamped. Documents in the appendix should show

the district court’s electronic stamp, but they need not be

certified.

(4) District court docket entries. A copy of the district court’s

docket entries should always be the first document in the

appendix.

(5) Order of documents. Documents should be arranged in

chronological order according to the filing date; other

papers such as exhibits and transcript excerpts should be

at the end.

(6) Separate volumes. Where the appendix is large, separate

volumes should be created to allow for manageable review

of the materials, and each volume should have its own

cover page identifying that volume number. Individual

volumes should not exceed 300 pages in length. If a hard

copy of the appendix is ordered, the number of electronic

volumes must match the number of hard copy volumes;

the court strongly encourages the use of spiral binding;

and the use of three-ring binders is prohibited.

(7) Sealed documents; form and motion requirement.

Copies of documents intended for filing under seal should

be submitted in a separate volume, using the ECF option

for filing under seal. If the appendix includes sealed

materials it must be accompanied by a separate motion to

seal in accordance with Rule 25.6. Pretrial services

reports, presentence reports, and statements of reasons in

criminal cases constitute an exception to this motion

requirement. 10th Cir. R. 11.3(C).

(E) Service of the Appendix. The electronic appendix must be

served on every other party to the appeal. Parties may use the

court’s CM/ECF system to accomplish that service. See 10th Cir.

R. 25.4. If served electronically, a hard copy need not be served

on other parties. If an exemption is allowed under Rule 30.3(A)

and only hard copies of the appendix are filed, a hard copy of the

appendix must be served on every other party to the appeal. See

10th Cir. R. 25.3 (regarding seeking exemptions from electronic

filing requirements); 10th Cir. R. 30.3(A).

(F) Order appealed must be submitted with brief. Filing an

appendix does not relieve counsel of the requirements of

Rule 28.2(A).

30.2 Supplemental appendix.

(A) Appellee’s appendix.

(1) Filing. An appellee who believes that the appellant’s

appendix omits items that should be included may file a

supplemental appendix with the answer brief.

Supplemental appendices shall comply with Rule

30.1(D)(1)-(7), and shall be filed electronically and served

in the same manner as is described in Rule 30.1(E).

(2) Appointed counsel. If all appellants are represented by

retained counsel, appointed counsel for an appellee may

file a supplemental appendix and apply for reimbursement

when the voucher or the statement of hours and expenses

is filed.

(B) No other appendix. No other appendix may be filed except by

order of the court.

30.3 Appendix exemptions.

(A) Waiver of electronic appendix requirement. Any party may

move to be exempt from the electronic appendix requirement by

filing a motion at least 7 days prior to the due date for the

principal brief and appendix. Except as provided in Rule

30.1(B)(2) for Social Security cases, if an exemption is granted,

two hard copies of the required appendix must be filed with the

Clerk within 5 days following issuance of notice that the

electronic brief is compliant. A hard copy of the appendix must

be served on all other parties to the appeal within that same 5

day period.

(B) Particular documents. If certain record materials cannot be

readily copied, put in electronic form, or electronically filed, a

party may seek to exempt those materials from the electronic

appendix by filing a motion at least 7 days prior to the due date

for the principal brief and appendix.

(C) Waiver of appendix requirement in pro bono cases. In pro

bono cases, if production or creation of an appendix is too costly

for the appellant to bear, the appellant may file a motion to

proceed on a record on appeal.