To file a Form C Civil Appeal Pre-Argument Statement in the Second Circuit, complete the form’s three parts (jurisdiction, district court disposition, and nature of suit), attach Addendum A with the required case documents and Addendum B listing your appellate issues and standards of review, and file it electronically through CM/ECF within 14 days of filing your notice of appeal. The form applies to every counseled civil appeal from a district court or the Tax Court, regardless of subject matter.1United States Court of Appeals for the Second Circuit. Local Rule 12.1 – Appeal Docketing Requirements
Who Files Form C
Local Rule 12.1 requires a counseled appellant taking a civil appeal from a district court or the Tax Court to file Form C with its addenda.1United States Court of Appeals for the Second Circuit. Local Rule 12.1 – Appeal Docketing Requirements If you are representing yourself, you use Form D-P instead. If you are appealing from a federal administrative agency rather than a district court, the counseled version is Form C-A. Everyone else with a lawyer and a civil district court appeal files Form C.
Download the current fillable PDF from the Second Circuit’s own forms page. Templates saved in firm document systems can be out of date.2United States Court of Appeals for the Second Circuit. How To Appeal A Civil Case – Civil Appeal Pre-Argument Statement
The 14-Day Deadline and the Filing Fee
Local Rule 12.1 gives you 14 days from the date you file the notice of appeal to complete every docketing requirement: Form C, its addenda, Form D (the transcript information form), and the docketing fee.1United States Court of Appeals for the Second Circuit. Local Rule 12.1 – Appeal Docketing Requirements The clock starts at the notice of appeal, not at the circuit clerk’s docketing. Missing the deadline can result in dismissal.
The appellate docketing fee is $605 for appeals from a district court decision, set by the Judicial Conference and uniform across the federal circuits.3United States Court of Appeals for the District of Columbia Circuit. Court Fees You typically pay it through the district court clerk when you file the notice of appeal, not directly to the Second Circuit. A party who cannot afford the fee may seek leave to proceed in forma pauperis under 28 U.S.C. § 1915 by submitting an affidavit of assets.4Office of the Law Revision Counsel. 28 USC 1915 – Proceedings in Forma Pauperis If you have applied for or obtained that status, tell the circuit clerk so the missing fee is not flagged as non-compliance.
Gather Addendum A Before You Start
Addendum A is a packet of case documents the court needs to understand the appeal. Pull all of it before you open the form:5United States Court of Appeals for the Second Circuit. Civil Appeal Pre-Argument Statement – Form C
- A description of the action. The form directs that this be “brief, but not perfunctory.” A single sentence is not enough.
- The result below, including any damages, injunctions granted or denied, or other relief.
- A copy of the notice of appeal filed in the district court.
- A current copy of the lower court docket sheet, printed from PACER or the district court’s CM/ECF so it reflects the latest entries.
- Copies of all opinions and orders at issue, including transcripts of any bench or chambers rulings.
Missing attachments are the most common reason a filing comes back from the clerk. The docket sheet and bench-ruling transcripts are the usual culprits.
Part A: Jurisdiction
Part A has two checkbox questions. The first asks the basis for federal jurisdiction in the district court:5United States Court of Appeals for the Second Circuit. Civil Appeal Pre-Argument Statement – Form C
- U.S. a party, when the United States, a federal agency, or a federal officer was a party below.
- Federal question, when the case arose under a federal statute or the Constitution and the government was not a party.
- Diversity, when jurisdiction rested on citizenship of the parties and the amount in controversy.
- Other, with space to explain.
The second question asks the basis for appellate jurisdiction. “Final Decision” corresponds to 28 U.S.C. § 1291 and covers judgments that resolved all claims against all parties.6Office of the Law Revision Counsel. 28 US Code 1291 – Final Decisions of District Courts If the order did not end the whole case, check “Interlocutory Decision Appealable As of Right” (covering orders like injunction rulings under 28 U.S.C. § 1292(a)) or “Order Certified by District Judge” for partial final judgments certified under Federal Rule of Civil Procedure 54(b).7United States Court of Appeals for the Fourth Circuit. FAQs – Appellate Procedure Checking “Final Decision” when the ruling did not actually dispose of every claim is a recurring error worth double-checking against the judgment.
Part B: What Happened in the District Court
Part B records the posture of the case below in three subsections.5United States Court of Appeals for the Second Circuit. Civil Appeal Pre-Argument Statement – Form C
The first asks the stage of proceedings when the order or judgment was entered: pre-trial, during trial, or after trial.
The second asks the type of judgment or order being appealed. Options include summary judgment, jury verdict, and the various grounds for dismissal (failure to state a claim, lack of subject matter jurisdiction, frivolous complaint under 28 U.S.C. § 1915(e)(2), and others). Check the one that matches the ruling you are appealing.
The third covers relief. Enter the dollar amounts of damages sought, granted, and denied, and check the applicable boxes for preliminary or permanent injunctions. If the court ordered disgorgement, civil penalties, or other monetary relief, record those figures.
Part C: Nature of Suit
Part C is a checklist. Mark every category that applies to the subject matter of the underlying case, drawn from groups covering federal statutes (antitrust, bankruptcy, civil rights, securities, Social Security, tax, and others), torts, contracts, prisoner petitions, and a catch-all “Other.” A “General” group adds cross-cutting labels such as class action, shareholder derivative, counsel fees, and arbitration.5United States Court of Appeals for the Second Circuit. Civil Appeal Pre-Argument Statement – Form C
Two yes-or-no questions at the bottom of Part C ask whether the appeal presents a constitutional issue and whether it involves a matter of first impression. Answer honestly. A “yes” on first impression does not confer any special treatment, but it does help the court allocate screening attention appropriately.
Addendum B: Issues and Standards of Review
Addendum B is the substantive part of the filing. You list every issue you plan to raise on appeal and pair each one with the applicable standard of review.5United States Court of Appeals for the Second Circuit. Civil Appeal Pre-Argument Statement – Form C Legal rulings generally receive de novo review; factual findings are reviewed for clear error.
Keep each issue statement to one or two sentences that identify the specific error. A precise statement such as “the district court applied the wrong scienter standard on summary judgment” is more useful than a generic “the district court erred.” Listing issues without a standard of review does not satisfy the requirement; if you are unsure which standard applies, research it and take a position.
Form C itself contains no waiver provision, so failing to list an issue here does not automatically waive it in briefing. But the mediation office and screening panels use this list as their first look at the case, and introducing a major new argument months later in your opening brief invites skepticism. Treat Addendum B as a working table of contents for the brief you intend to file.
Filing and Service Through CM/ECF
Form C and both addenda are filed electronically through CM/ECF.8United States Courts. Electronic Filing – CM/ECF Counsel who have not previously filed in the Second Circuit need a PACER account and the court-specific CM/ECF registration before they can submit anything.9PACER. Attorney Filers for CM/ECF Handle registration well before the 14-day deadline rather than discovering the gap on day 13.
You must serve the filing on every other party to the appeal. Under Federal Rule of Appellate Procedure 25, when all parties are registered CM/ECF users, electronic filing through the system counts as service and no separate certificate is required.10Legal Information Institute. Federal Rules of Appellate Procedure – Rule 25 Filing and Service If any party is not registered, serve them by an alternative method (mail or another electronic means they have agreed to in writing) and file a certificate of service stating the date, manner, and recipients.
What Happens After You File
Once the clerk’s office has a properly completed Form C and the fee, the case is referred to the Circuit Mediation Office for screening under the Civil Appeals Management Plan (CAMP).11United States Court of Appeals for the Second Circuit. Local Rule 33.1 – Civil Appeals Mediation Program CAMP covers all counseled civil appeals except pro se cases, mandamus petitions, habeas corpus matters, and § 2255 proceedings.12United States Court of Appeals for the Second Circuit. Civil Appeals Management Plan If the mediation office selects your case, the court will order counsel to attend a mediation conference, and counsel is expected to arrive with as much settlement authority from the client as feasible. Communications during the conference are confidential and do not reach the merits panel.14United States Court of Appeals for the Second Circuit. Mediation – CAMP FAQ
Mistakes That Can Get Your Appeal Dismissed
The deficiencies the clerk’s office sees repeatedly are predictable and preventable:
The rule authorizes dismissal for any of these failures.1United States Court of Appeals for the Second Circuit. Local Rule 12.1 – Appeal Docketing Requirements Dismissal is uncommon when counsel fixes a deficiency promptly after a clerk’s notice, but the court has the authority to do it, and clerk’s office patience is not a filing plan.