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January 1, 2017
These rules are promulgated by the Court under the rule-making authority conferred by Article IV, Section 13(2) of the Constitution of North Carolina. They shall be effective in all appeals taken from the courts of the trial division to the courts of the appellate division; in appeals in civil and criminal cases from the Court of Appeals to the Supreme Court; in direct appeals from administrative tribunals to the appellate division; and in applications to the courts of the appellate division for writs and other relief which the courts or judges thereof are empowered to give. As to such appeals, these rules supersede the North Carolina Rules of Appellate Procedure, 363 N.C. 902 (2009), as amended. These rules shall be effective on the 1st day of January, 2017, and shall apply to all cases appealed on or after that date. Appendixes are published with the rules for their helpfulness to the profession. Although authorized to be published for this purpose, they are not an authoritative source on parity with the rules.
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Article I
Applicability of Rules
Rule 1. Title; Scope of Rules; Trial Tribunal Defined
(a) Title.
(b) Scope of Rules.
(c) Rules Do Not Affect Jurisdiction.
(d) Definition of Trial Tribunal.
Article II
Appeals from Judgments and Orders of Superior Courts and District Courts
Rule 3. Appeal in Civil Cases—How and When Taken
(a) Filing the Notice of Appeal.
(b) Special Provisions.
(c) Time for Taking Appeal.
(d) Content of Notice of Appeal.
(e) Service of Notice of Appeal.
Rule 3.1. Appeal in Qualifying Juvenile Cases—How and When Taken; Special Rules
(a) Filing the Notice of Appeal.
(b) Protecting the Identity of Juveniles.
(c) Expediting Filings.
(1) Transcripts.
(2) Record on Appeal.
(3) Briefs.
(d) No-Merit Briefs.
(e) Calendaring Priority.
Rule 4. Appeal in Criminal Cases—How and When Taken
(a) Manner and Time.
(b) Content of Notice of Appeal.
(c) Service of Notice of Appeal.
(d) To Which Appellate Court Addressed.
(e) Protecting the Identity of Juvenile Victims of Sexual Offenses.
Rule 5. Joinder of Parties on Appeal
(a) Appellants.
(b) Appellees.
(c) Procedure after Joinder.
Rule 6. Security for Costs on Appeal
(a) In Regular Course.
(b) In Forma Pauperis Appeals.
(c) Filed with Record on Appeal.
(d) Dismissal for Failure to File or Defect in Security.
(e) No Security for Costs in Criminal Appeals.
Rule 7. Preparation of the Transcript; Court Reporter’s Duties
(a) Ordering the Transcript.
(1) Civil Cases.
(2) Criminal Cases.
(b) Production and Delivery of Transcript.
(1) Production.
(2) Delivery.
(3) Neutral Transcriptionist.
(a) Stay in Civil Cases.
(b) Stay in Criminal Cases.
(a) Function; Notice in Cases Involving Juveniles; Composition of Record.
(1) Composition of the Record in Civil Actions and Special Proceedings.
(2) Composition of the Record in Appeals from Superior Court Review of Administrative Boards and Agencies.
(3) Composition of the Record in Criminal Actions.
(4) Exclusion of Social Security Numbers from Record on Appeal.
(b) Form of Record; Amendments.
(1) Order of Arrangement.
(2) Inclusion of Unnecessary Matter; Penalty.
(3) Filing Dates and Signatures on Papers.
(4) Pagination; Counsel Identified.
(5) Additions and Amendments to Record on Appeal.
(c) Presentation of Testimonial Evidence and Other Proceedings.
(1) When Testimonial Evidence, Voir Dire, Statements and Events at Evidentiary and Non-Evidentiary Hearings, and Other Trial Proceedings Narrated—How Set Out in Record.
(2) Designation that Verbatim Transcript of Proceedings in Trial Tribunal Will Be Used.
(3) Verbatim Transcript of Proceedings—Settlement, Filing, Copies, Briefs.
(4) Presentation of Discovery Materials.
(5) Electronic Recordings.
(d) Exhibits.
(1) Documentary Exhibits Included in the Printed Record on Appeal.
(2) Exhibits Not Included in the Printed Record on Appeal.
(3) Exclusion of Social Security Numbers from Exhibits.
(4) Removal of Exhibits from Appellate Court.
Rule 10. Preservation of Issues at Trial; Proposed Issues on Appeal
(a) Preserving Issues During Trial Proceedings.
(1) General.
(2) Jury Instructions.
(3) Sufficiency of the Evidence.
(4) Plain Error.
(b) Appellant’s Proposed Issues on Appeal.
(c) Appellee’s Proposed Issues on Appeal as to an Alternative Basis in Law.
Rule 11. Settling the Record on Appeal
(a) By Agreement.
(b) By Appellee’s Approval of Appellant’s Proposed Record on Appeal.
(c) By Agreement, by Operation of Rule, or by Court Order After Appellee’s Objection or Amendment.
(d) Multiple Appellants; Single Record on Appeal.
(e) Extensions of Time.
Rule 12. Filing the Record; Docketing the Appeal; Copies of the Record
(a) Time for Filing Record on Appeal.
(b) Docketing the Appeal.
(c) Copies of Record on Appeal.
Rule 13. Filing and Service of Briefs
(a) Time for Filing and Service of Briefs.
(1) Cases Other Than Death Penalty Cases.
(2) Death Penalty Cases.
(b) Copies Reproduced by Clerk.
(c) Consequence of Failure to File and Serve Briefs.
Article III
Review by Supreme Court of Appeals Originally Docketed in the Court of Appeals—Appeals of Right; Discretionary Review
Rule 14. Appeals of Right from Court of Appeals to Supreme Court under N.C.G.S. § 7A-30
(a) Notice of Appeal; Filing and Service.
(b) Content of Notice of Appeal.
(1) Appeal Based Upon Dissent in Court of Appeals.
(2) Appeal Presenting Constitutional Question.
(c) Record on Appeal.
(1) Composition.
(2) Transmission; Docketing; Copies.
(d) Briefs.
(1) Filing and Service; Copies.
(2) Failure to File or Serve.
Rule 15. Discretionary Review on Certification by Supreme Court under N.C.G.S. § 7A-31
(a) Petition of Party.
(b) Petition of Party—Filing and Service.
(c) Petition of Party—Content.
(d) Response.
(e) Certification by Supreme Court—How Determined and Ordered.
(1) On Petition of a Party.
(2) On Initiative of the Court.
(3) Orders; Filing and Service.
(f) Record on Appeal.
(1) Composition.
(2) Filing; Copies.
(g) Filing and Service of Briefs.
(1) Cases Certified Before Determination by Court of Appeals.
(2) Cases Certified for Review of Court of Appeals Determinations.
(3) Copies.
(4) Failure to File or Serve.
(h) Discretionary Review of Interlocutory Orders.
(i) Appellant, Appellee Defined.
Rule 16. Scope of Review of Decisions of Court of Appeals
(a) How Determined.
(b) Scope of Review in Appeal Based Solely Upon Dissent.
(c) Appellant, Appellee Defined.
Rule 17. Appeal Bond in Appeals Under N.C.G.S. §§ 7A-30, 7A-31
(a) Appeal of Right.
(b) Discretionary Review of Court of Appeals Determination.
(c) Discretionary Review by Supreme Court Before Court of Appeals Determination.
(d) Appeals In Forma Pauperis.
Article IV
Direct Appeals from Administrative Tribunals to Appellate Division
Rule 18. Taking Appeal; Record on Appeal—Composition and Settlement
(a) General.
(b) Time and Method for Taking Appeals.
(c) Composition of Record on Appeal.
(d) Settling the Record on Appeal.
(1) By Agreement.
(2) By Appellee’s Approval of Appellant’s Proposed Record on Appeal.
(3) By Agreement, by Operation of Rule, or by Court Order After Appellee’s Objection or Amendment.
(e) Further Procedures and Additional Materials in the Record on Appeal.
(f) Extensions of Time.
Rule 20. Miscellaneous Provisions of Law Governing Appeals from Administrative Tribunals
Article V
Extraordinary Writs
(a) Scope of the Writ.
(1) Review of the Judgments and Orders of Trial Tribunals.
(2) Review of the Judgments and Orders of the Court of Appeals.
(b) Petition for Writ—to Which Appellate Court Addressed.
(c) Petition for Writ—Filing and Service; Content.
(d) Response; Determination by Court.
(e) Petition for Writ in Post-conviction Matters—to Which Appellate Court Addressed.
(f) Petition for Writ in Post-conviction Matters—Death Penalty Cases.
Rule 22. Mandamus and Prohibition
(a) Petition for Writ—to Which Appellate Court Addressed.
(b) Petition for Writ—Filing and Service; Content.
(c) Response; Determination by Court.
(a) Pending Review of Trial Tribunal Judgments and Orders.
(1) Application—When Appropriate.
(2) Application—How and to Which Appellate Court Made.
(b) Pending Review by Supreme Court of Court of Appeals Decisions.
(c) Petition for Writ—Filing and Service; Content.
(d) Response; Determination by Court.
(e) Temporary Stay.
Rule 24. Form of Papers; Copies
Article VI General Provisions
Rule 25. Penalties for Failure to Comply with Rules
(a) Failure of Appellant to Take Timely Action.
(b) Sanctions for Failure to Comply with Rules.
(a) Filing.
(1) Filing by Mail.
(2) Filing by Electronic Means.
(b) Service of All Papers Required.
(c) Manner of Service.
(d) Proof of Service.
(e) Joint Appellants and Appellees.
(f) Numerous Parties to Appeal Proceeding Separately.
(g) Documents Filed with Appellate Courts.
(1) Form of Papers.
(2) Index Required.
(3) Closing.
(4) Protecting the Identity of Certain Juveniles.
Rule 27. Computation and Extension of Time
(a) Computation of Time.
(b) Additional Time After Service.
(c) Extensions of Time; By Which Court Granted.
(1) Motions for Extension of Time in the Trial Division.
(2) Motions for Extension of Time in the Appellate Division.
(d) Motions for Extension of Time; How Determined.
Rule 28. Briefs—Function and Content
(a) Function.
(b) Content of Appellant’s Brief.
(c) Content of Appellee’s Brief; Presentation of Additional Issues.
(d) Appendixes to Briefs.
(1) When Appendixes to Appellant’s Brief Are Required.
(2) When Appendixes to Appellant’s Brief Are Not Required.
(3) When Appendixes to Appellee’s Brief Are Required.
(4) Format of Appendixes.
(e) References in Briefs to the Record.
(f) Joinder of Multiple Parties in Briefs.
(g) Additional Authorities.
(h) Reply Briefs.
(i) Amicus Curiae Briefs.
(j) Word-Count Limitations Applicable to Briefs Filed in the Court of Appeals.
(1) Portions of Brief Included in Word Count.
(2) Certificate of Compliance.
Rule 29. Sessions of Courts; Calendar of Hearings
(a) Sessions of Court.
(1) Supreme Court.
(2) Court of Appeals.
(b) Calendaring of Cases for Hearing.
Rule 30. Oral Argument and Unpublished Opinions
(a) Order and Content of Argument.
(b) Time Allowed for Argument.
(1) In General.
(2) Numerous Counsel.
(c) Non-Appearance of Parties.
(d) Submission on Written Briefs.
(e) Unpublished Opinions.
(f) Pre-Argument Review; Decision of Appeal Without Oral Argument.
Rule 31. Petition for Rehearing
(a) Time for Filing; Content.
(b) How Addressed; Filed.
(c) How Determined.
(d) Procedure When Granted.
(e) Stay of Execution.
(f) Waiver by Appeal from Court of Appeals.
(g) No Petition in Criminal Cases.
Rule 32. Mandates of the Courts
(a) In General.
(b) Time of Issuance.
(a) Appearances.
(b) Signatures on Electronically-Filed Documents.
(c) Agreements.
(d) Limited Practice of Out-of-State Attorneys.
Rule 33.1. Secure-Leave Periods for Attorneys
(a) Purpose; Authorization.
(b) Length; Number.
(c) Designation; Effect.
(d) Content of Designation.
(e) Where to File Designation.
(f) When to File Designation.
Rule 34. Frivolous Appeals; Sanctions
(a) To Whom Allowed.
(b) Direction as to Costs in Mandate.
(c) Costs of Appeal Taxable in Trial Tribunals.
(d) Execution to Collect Costs in Appellate Courts.
Rule 36. Trial Judges Authorized to Enter Orders Under These Rules
(a) When Particular Judge Not Specified by Rule.
(1) Superior Court.
(2) District Court.
(b) Upon Death, Incapacity, or Absence of Particular Judge Authorized.
Rule 37. Motions in Appellate Courts
(a) Time; Content of Motions; Response.
(b) Determination.
(c) Protecting the Identity of Certain Juveniles.
(d) Withdrawal of Appeal in Criminal Cases.
(e) Withdrawal of Appeal in Civil Cases.
(f) Effect of Withdrawal of Appeal.
Rule 38. Substitution of Parties
(a) Death of a Party.
(b) Substitution for Other Causes.
(c) Public Officers; Death or Separation from Office.
Rule 39. Duties of Clerks; When Offices Open
(a) General Provisions.
(b) Records to Be Kept.
Rule 40. Consolidation of Actions on Appeal