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Excerpts of Record

1. How do I format and organize excerpts that are longer than 300 pages?
2. How do I format and organize excerpts that are no more than 300 pages?
3. How should the Index list the contents of the excerpts?
4. How do I number the pages of the excerpts?
5. How do I submit trial exhibits?
6. How do I file transcripts in the excerpts?
7. How do I cite to the excerpts in my brief?
8. How and when do I file the Certified Administrative Record in a Social Security appeal?
9. How do I file a Presentence Report under seal electronically?
10. Should I attach the excerpts to the electronic filing for the brief or should I submit the brief and excerpts in separate transactions?
11. Should I submit multiple volumes of Excerpts of Record in separate electronic filing transactions?
12. In what order should I attach the PDF files of the excerpts volumes to the electronic filing transaction?
13. If the PDF of a volume of excerpts exceeds the 100 MB file size limit, what should I do?
14. What will happen after I submit my excerpts electronically?
15. How should I bind the paper copies of my excerpts of record?
16. May I staple the paper copies of the Index Volume?
17. In Social Security appeals, am I required to submit paper copies of the electronically filed Certified Administrative Record to the Court?
18. Do I need to serve paper copies of the excerpts on registered electronic filers?

See also: Samples of Electronic Excerpts and Excerpts of Record Training.

1. How do I format and organize excerpts that are longer than 300 pages?
   Volume 1 must include all written or oral decisions being appealed, reviewed, or challenged, and nothing else, in reverse chronological order. All other documents in the excerpts must be included in subsequent volumes, in reverse chronological order (other than the notice of appeal). The notice of appeal and lower court docket sheet must be at the end of the last non-sealed volume of excerpts (the docket sheet last). For further information about including transcripts, see FAQ 6. The index (table of contents) of the excerpts must be a separately bound Index Volume that is not included in the pagination of the excerpts, and the individual volumes must not contain an index. The pages of the excerpts, including the caption (cover) page for each volume and any divider or blank pages and any certificates, must be consecutively numbered across all volumes other than the Index Volume, beginning with the caption page of Volume 1 as page 1 (but the page numbers do not need to appear on the caption pages). Each volume is limited to 300 pages, including the caption page and any divider or blank pages. See 9th Circuit Rules 30-1.4 and 30-1.5 and the below multi-volume excerpts samples. [Back to Top]
2. How do I format and organize excerpts that are no more than 300 pages?
   Excerpts that are no more than 300 pages may be submitted as a single volume, including the index. Organize all documents in reverse chronological order (most recent document first), but place the notice of appeal and the lower court docket sheet at the very end (the docket sheet last). Place the index at the beginning, after the caption (cover) page. The pages of the excerpts, including the caption page, index, and any divider or blank pages, must be consecutively numbered, beginning with the caption page as page 1 (but the page number does not need to appear on the caption page). See 9th Circuit Rules 30-1.4 and 30-1.5 and the below single volume excerpts sample. [Back to Top]
3. How should the Index list the contents of the excerpts?
   Like a table of contents, the Index of the excerpts must list the documents in the order they appear in the excerpts, starting with the first document in the first volume and ending with the last document in the last volume. The Index should include a descriptive label for each document and must cite where the document is found in the lower court record (i.e. its docket entry number) and the document’s volume and page location in the excerpts. See 9th Circuit Rule 30-1.5(a) and the below sample Index Volumes. [Back to Top]
4. How do I number the pages of the excerpts?
   All pages of each set of excerpts, including the caption (cover) page and any divider or blank pages and any certificates, must be consecutively numbered across all numbered volumes in the set, beginning with the caption page of Volume 1 as page 1. Alternative numbering formats (e.g. roman numerals or starting each volume with page 1) are prohibited. The separate Index Volume of a multi-volume set cannot be included in the pagination, but the index should be included in the pagination if all excerpts are submitted as a single volume of no more than 300 pages. Large, bold font is preferred so that the page numbers are easy to find and they should not be obscured by other text or images on the page. The best placement for the page numbers is at the bottom center or bottom right, far enough away from the edge of the paper that they will not be cut off by printer margins when printed in paper format. See 9th Circuit Rule 30-1.5(c) and the below sample excerpts. [Back to Top]
5. How do I submit trial exhibits?
   Exhibits that can be produced in PDF format (e.g. written materials or photographs) should be included in the excerpts of record and placed together, either in any separate trial transcript volume or at the end of the final non-sealed volume of excerpts (just before the notice of appeal and docket sheet), or, if sealed, in the final sealed volume of excerpts. See 9th Circuit Rule 30-1.4(c). The procedure for transmitting physical exhibits that are incapable of production in PDF format (e.g. video or audio exhibits) is governed by 9th Circuit Rule 27-14: the party first files a motion to transmit the exhibits and waits until the Court grants the motion (which will not be until after the completion of briefing) before transmitting 4 copies of the exhibits to the Court. [Back to Top]
6. How do I file transcripts in the excerpts?
   Transcripts should be placed in the excerpts by hearing date, except that hearings or trials spanning multiple dates or sessions should appear in regular chronological order for that hearing or trial, using the first day of the hearing or trial as the relevant date. If the briefs cite only certain pages of a long transcript, only the relevant portions need to be included in the excerpts, with enough surrounding pages to provide relevant context. If filing the complete trial transcript, you may elect to submit the original reporter’s transcript as a separate volume(s) of excerpts, but it must still be paginated consecutively with the other volumes of excerpts. Those portions of transcripts containing oral rulings that are challenged in the appeal must be included in Volume 1 of any multi-volume excerpts, regardless of whether all or part of that transcript is also included in subsequent volumes. See 9th Circuit Rule 30-1.4(c) and the Advisory Committee Note to Rule 30-1.4. [Back to Top]
7. How do I cite to the excerpts in my brief?
   Citations to initial Excerpts of Record must be formatted as [volume number]-ER-[page number(s)] ("1-ER-12" for example). Omit the volume number if only one volume exists ("ER-26" for example). Supplemental Excerpts of Record should be cited as "SER" and Further Excerpts of Record cited as "FER" using the same [volume number]-ER-[page number(s)] format ("2-SER-107" or "1-FER-33" for example). Multiple parties on the same side that are submitting separate excerpts must include a unique identifier in the citation, such as "1-JonesER-59." Citations to the Social Security certified administrative record must be CAR-[page number]. See 9th Circuit Rule 30-1.6. [Back to Top]
8. How and when do I file the Certified Administrative Record in a Social Security appeal?
   The complete certified administrative record (CAR) is required by 9th Circuit Rule 30-1.4(e) to be filed electronically, separately from the excerpts, using the electronic filing document type Social Security Certified Administrative Record. The appellant must file the CAR when submitting the opening brief and initial excerpts, unless the appellant is pro se and therefore exempt from the excerpts requirement, in which case the appellee must file the CAR when submitting the answering brief and supplemental excerpts. See 9th Circuit Rule 30-1.4(e). [Back to Top]
9. How do I file a Presentence Report under seal electronically?
   Presentence reports, documents attached to the report, and sealed sentencing memoranda are required by 9th Cir. R. 27-13(d) to be filed using the electronic filing document type Presentence Report UNDER SEAL. The electronic filing system automatically seals the documents. [Back to Top]
10. Should I attach the excerpts to the electronic filing for the brief or should I submit the brief and excerpts in separate transactions?
    The Court requires that you submit the brief and excerpts in separate electronic filing transactions. Use the appropriate Brief filing type for your brief and Excerpts of Record for your excerpts. [Back to Top]
11. Should I submit multiple volumes of Excerpts of Record in separate electronic filing transactions?
    No. All non-sealed volumes of the excerpts should be attached in one filing transaction. [Back to Top]
12. In what order should I attach the PDF files of the excerpts volumes to the electronic filing transaction?
    Attach the Index Volume first, followed by Volume 1, then Volume 2, and so on. Use the document description provided in the instructions for each volume (ER Vol Index, ER Vol 1, etc.). [Back to Top]
13. If the PDF of a volume of excerpts exceeds the 100 MB file size limit, what should I do?
    Split up the PDF into multiple files. Please note that on CM/ECF, you may add as many separate PDF files as you need, by clicking the "Browse" button to upload additional PDF files, and in ACMS you can add additional PDF files by continuing to click on the “attach file” button until you are done. Only the first PDF of a volume that is split into multiple files should include a caption page; subsequent files should not have caption pages because they are still part of the same volume. [Back to Top]
14. What will happen after I submit my excerpts electronically?
    The procedure mirrors the procedure for briefs: after the Court reviews the electronically-submitted excerpts, the Court will issue an order directing you to file paper copies of the excerpts with the Court. Do not submit paper copies until ordered to do so. [Back to Top]
15. How should I bind the paper copies of my excerpts of record?
    The Court accepts many types of binding as long as it is secure and on the left side, such as comb, spiral, coil, wire, velo, tape, or perfect binding. If the excerpts are printed 2-sided, the method of binding must allow it to lie completely flat when open, such as comb, spiral, coil, or wire binding but not velo, tape, or perfect binding. Unsecure fasteners such as staples, clips, or 3-ring loose leaf binders are unacceptable (but Index Volumes of no more than 10 pages may be stapled). See the Court's PDF guide of binding samples.[Back to Top]
16. May I staple the paper copies of the Index Volume?
    If the Index Volume is 10 pages or fewer, you may staple it in the top left corner or down the left side. If the Index Volume is longer than 10 pages, including the caption page and any certificate of service, it must be bound securely on the left side like the excerpts volumes. Stapling the excerpts of record volumes is not permitted, no matter their length. [Back to Top]
17. In Social Security appeals, am I required to submit paper copies of the electronically filed Certified Administrative Record to the Court?
    Not unless directed to do so by the Court. The Court will generally only request paper copies of the excerpts of record, which should not include the administrative record. [Back to Top]
18. Do I need to serve paper copies of the excerpts on registered electronic filers?
    No, but you must serve paper copies of your excerpts on any unregistered parties on the same day you submit the excerpts electronically. [Back to Top]

Samples of Electronic Excerpts and Training Video

See Excerpts of Record training program video and materials

The PDF files that you can access below provide samples of excerpts of record.

• Civil appeal, single-volume Excerpts of Record
  • Excerpts (PDF)
• Civil appeal, multi-volume Excerpts of Record
  • Index Volume (PDF)
  • Volume 1 (PDF)
  • Volume 2 (PDF)
  • Volume 3 (PDF)
• Criminal appeal, multi-volume Excerpts of Record
  • Index Volume (PDF)
  • Volume 1 (PDF)
  • Volume 2 (PDF)
  • Volume 3 (PDF)
  • Volume 4 (PDF)
  • Volume 5 (PDF)

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If you still have questions about CM/ECF after reviewing the information in this page, please do the following:

1. Check the FAQs on this site.
2. Check the CM/ECF Frequently Asked Questions page at PACER. (link opens in new window or tab)
3. Check the PACER Frequently Asked Questions page. (link opens in new window or tab)
4. If you still do not have an answer, submit your question using this form: http://www.ca9.uscourts.gov/cmecf/feedback/. You can expect a reply from the Court during the Court's business hours, from 8:30 AM to 5:00 PM Pacific Time. Note: If you submit a question, please do not also send an email, since that will only result in duplicate requests to the help desk.

Last Update: 31 October 2023

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