Federal Rules of Appellate Procedure, With Forms, December 1, 2017

This document contains the Federal Rules of Appellate Procedure, together with forms, as amended to December 1, 2017. The rules and forms have been promulgated and amended by the United States Supreme Court pursuant to law and further amended by Acts of Congress. This document has been prepared by the Committee in response to the need for an official up-to-date document containing the latest amendments to the rules. For the convenience of the user, where a rule has been amended, a reference to the date the amendment was promulgated and the date the amendment became effective follows the text of the rule. The Committee on Rules of Practice and Procedure and the Advisory Committee on the Federal Rules of Appellate Procedure, Judicial Conference of the United States, prepared notes explaining the purpose and intent of the amendments to the rules. The Committee Notes may be found in the Appendix to Title 28, United States Code, following the particular rule to which they relate.

TITLE I. APPLICABILITY OF RULES   1

Fed. R. App. P. Rule 1. Scope of Rules; Title  1

10th Cir. R. 1  1 1.1

Scope of rules  1 1.2

Organization 1 1.3

Citation  1 1.4

Internal references 1 1.5

Effective date  2

Fed. R. App. P. Rule 2. Suspension of Rules  3

10th Cir. R. 2 3 2.1

Suspension of local rules.  3

TITLE II. APPEAL FROM A JUDGMENT OR ORDER OF A DISTRICT COURT   4

Fed. R. App. P. Rule 3. Appeal as of Right – How Taken   4

10th Cir. R. 3 6 3.1

Signing notice of appeal. 6 3.2

Preliminary record.  6 3.3

Fees.  7 3.4

Docketing statement. 7

Fed. R. App. P. Rule 3.1. Appeal from a Judgment of a Magistrate Judge in a Civil Case  8

Fed. R. App. P. Rule 4. Appeal as of Right – When Taken 9

Fed. R. App. P. Rule 5. Appeal by Permission 15

10th Cir. R. 5. 16 5.1

Reply briefs 16

Fed. R. App. P. Rule 5.1. Appeal by Leave under 28 U.S.C. § 636(c)(5) 18

Fed. R. App. P. Rule 6. Appeal in a Bankruptcy Case 19

10th Cir. R. 6 22 ii 6.1

Appendices in bankruptcy appeals 22

Fed. R. App. P. Rule 7. Bond for Costs on Appeal in a Civil Case 23

Fed. R. App. P. Rule 8. Stay or Injunction Pending Appeal. 24

10th Cir. R. 8. 25 8.1

Required showing.  25 8.2

Emergency or ex parte motions. 26 8.3

Applications made to a single judge 26

Fed. R. App. P. Rule 9. Release in a Criminal Case 28

10th Cir. R. 9   29 9.1

Expedited proceedings 29 9.2

Procedures 29 9.3

Response and date at issue 30 9.4

Ruling not law of the case.   30

Fed. R. App. P. Rule 10. The Record on Appeal. 31

10th Cir. R. 10. 33 10.1

Transcripts. 33 10.2

Designation of record (when filed) 34 10.3

Content of record. 35

Fed. R. App. P. Rule 11. Forwarding the Record  39

10th Cir. R. 11 41 11.1

Record retained in district court. 41 11.2

Record transmitted to court of appeals (when required). 41 11.3

Form of record. 42 11.4

Electronic submission. 43

Fed. R. App. P. Rule 12. Docketing the Appeal; Filing a Representation Statement; Filing the Record 44 Fed. R. App. P. Rule 12.1.

Remand After an Indicative Ruling by the District Court on a Motion for Relief That Is Barred by a Pending Appeal 45 iii

TITLE III. APPEALS FROM THE UNITED STATES TAX COURT 46

Fed. R. App. P. Rule 13. Appeals from the Tax Court  46

Fed. R. App. P. Rule 14. Applicability of Other Rules to Appeals from the Tax Court  48

10th Cir. R. 14. 48 14.1

Tenth Circuit rules apply 48

TITLE IV. REVIEW OR ENFORCEMENT OF AN ORDER OF AN ADMINISTRATIVE AGENCY, BOARD, COMMISSION, OR OFFICER 49

Fed. R. App. P. Rule 15. Review or Enforcement of an Agency Order – How Obtained; Intervention 49

10th Cir. R. 15 51

15.1 Docketing statement. 51 15.2

Intervention. 51 15.3

Service on the Respondents 51

Fed. R. App. P. Rule 15.1. Briefs and Oral Argument in a National Labor Relations Board Proceeding 52 Fed. R. App. P. Rule 16.

The Record on Review or Enforcement 53

Fed. R. App. P. Rule 17. Filing the Record 54

10th Cir. R. 17 55 17.1

Time for filing 55 17.2

Form 55 17.3

No separate appendix required. 55

Fed. R. App. P. Rule 18. Stay Pending Review 56

10th Cir. R. 18 57 18.1

Applications for stay 57

Fed. R. App. P. Rule 19. Settlement of a Judgment Enforcing an Agency Order in Part  58

Fed. R. App. P. Rule 20. Applicability of Rules to the Review or Enforcement of an Agency Order 59 iv

10th Cir. R. 20 59 20.1

Tenth Circuit rules apply.  59

V. EXTRAORDINARY WRITS 60

Fed. R. App. P. Rule 21. Writs of Mandamus and Prohibition, and Other Extraordinary Writs 60

10th Cir. R. 21 61 21.1

Fees.  61

TITLE VI. HABEAS CORPUS; PROCEEDINGS IN FORMA PAUPERIS 62

Fed. R. App. P. Rule 22. Habeas Corpus and Section 2255 Proceedings  62

10th Cir. R. 22. 63 22.1

Certificate of appealability.  63 22.2

Procedures in death penalty cases.  63 22.3

Other rules applicable. 65

Fed. R. App. P. Rule 23. Custody or Release of a Prisoner in a Habeas Corpus Proceeding 66

Fed. R. App. P. Rule 24. Proceeding in Forma Pauperis 67

10th Cir. R. 24 68 24.1

Prison Litigation Reform Act. . 68 24.2

Duty of Prisoner Appellant 69

TITLE VII. GENERAL PROVISIONS 70

Fed. R. App. P. Rule 25. Filing and Service 70

10th Cir. R. 25 73 25.1

File stamped copies of papers 73 25.2

Papers subject to being stricken 73 25.3

Electronic filing. 73 25.4

Electronic service 73 25.5

Privacy redaction requirements. 74 25.6

Technical Failure. 74 v

Fed. R. App. P. Rule 26. Computing and Extending Time 75

Fed. R. App. P. Rule 26.1. Corporate Disclosure Statement  78

10th Cir. R. 26.1 78 26.1(A)

Disclosure Statement in Appeals Based on Diversity  78

Fed. R. App. P. Rule 27. Motions 79

10th Cir. R. 27 81 27.1

Disclosure of opponent’s position. 81 27.2

Certification of questions of state law.  82 27.3

Summary disposition on motion by a party or the court.  82 27.4

Clerk authorized to act on certain motions 84 27.5

Motions to extend time.  85 27.6

Orders. 86

Fed. R. App. P. Rule 28. Briefs 88

10th Cir. R. 28 91 28.1

References to appendix or record. 91 28.2

Additional requirements.  91 28.3

Motions to exceed word count disfavored. 93 28.4

Incorporating by reference disapproved .93

Fed. R. App. P. Rule 28.1. Cross-Appeals. 94

Fed. R. App. P. Rule 29. Brief of an Amicus Curiae 97

10th Cir. R. 29 99 29.1

Amicus briefs on rehearing 99

Fed. R. App. P. Rule 30. Appendix to the Briefs. 100

10th Cir. R. 30 102 30.1

Appellant’s appendix 102 30.2

Supplemental appendix 105 30.3

Appendix exemptions. 105 vi

Fed. R. App. P. Rule 31. Serving and Filing Briefs 107

10th Cir. R. 31 108 31.1

O pening brief for appellant/petitioner. 108 31.2

Joint briefing in criminal appeals.  108 31.3

Joint briefing in civil appeals. 108 31.4

Extensions. 109 31.5

Number of copies 109

Fed. R. App. P. Rule 32. Form of Briefs, Appendices, and Other Papers 110

10th Cir. R. 32 113 32(a)

Font sizes in briefs 113 32(b)

Word count where glossary included 113

Fed. R. App. P. 32.1. Citing Judicial Dispositions  114

10th Cir. R. 32.1 114 32.1

Citing judicial dispositions 114

Fed. R. App. P. Rule 33. Appeal Conferences 116 

10th Cir. R. 33 116 33.1

Mediation conference.  116

Fed. R. App. P. Rule 34. Oral Argument 118

10th Cir. R. 34 119 34.1

Oral argument. 119

Fed. R. App. P. Rule 35. En Banc Determination 121

10th Cir. R. 35 122 35.1

En banc consideration 122 35.2

Request in petition for rehearing. 123 35.3

Untimely request. 123 35.4

Number of copies. .123 35.5

Who may vote; en banc panel .123 vii 35.6

Effect of rehearing en banc 123 35.7

Matters not considered en banc. 123

Fed. R. App. P. Rule 36. Entry of Judgment; Notice 125

10th Cir. R. 36 125 36.1

Orders and judgments .125 36.2

Publication.  125

Fed. R. App. P. Rule 37. Interest on Judgment 126

Fed. R. App. P. Rule 38. Frivolous Appeal – Damages and Costs 127

Fed. R. App. P. Rule 39. Costs 128

10th Cir. R. 39  129 39.1

Maximum rates.  129

Fed. R. App. P. Rule 40. Petition for Panel Rehearing 130

10th Cir. R. 40 131 40.1

Reasons for petition. 131 40.2

Form; copies. 131 40.3

Successive petitions 131

Fed. R. App. P. Rule 41. Mandate: Contents; Issuance and Effective Date; Stay 132

10th Cir. R. 41 133 41.1

Stay not routinely granted 133 41.2

Motion to recall mandate. 133

Fed. R. App. P. Rule 42. Voluntary Dismissal  .134 

10th Cir. R. 42 134 42.1

Dismissal for failure to prosecute 134 42.2

Reinstatement. .134

Fed. R. App. P. Rule 43. Substitution of Parties 135

Fed. R. App. P. Rule 44. Case Involving a Constitutional Question When the United States or the Relevant State Is Not a Party 137 viii

Fed. R. App. P. Rule 45. Clerk’s Duties 138

10th Cir. R. 45 139 45.1

Duties 139 45.2

Chief deputy clerk 139 45.3

Office location. 139

Fed. R. App. P. Rule 46. Attorneys 140

10th Cir. R. 46 141 46.1

Entry of appearance. 141 46.2

Admission to Tenth Circuit bar.  142 46.3

Responsibilities in criminal and postconviction cases.  143 46.4

Withdrawal 144 46.5

Signing briefs, motions, and other papers; representations to court; sanctions. 146 46.6

Discipline of counsel or parties. 147 46.7

Student practice. 148

Fed. R. App. P. Rule 47. Local Rules by Courts of Appeals. 151

10th Cir. R. 47 151 47.1

Advisory committee 151 47.2

Circuit library. 153 47.3

Judicial conference.  .153

Fed. R. App. P. Rule 48. Masters 155

APPENDIX  156

Length Limits Stated in the Federal Rules of Appellate Procedure 156

FORMS  159

Form 1. Notice of Appeal to a Court of Appeals From a Judgment or Order of a District Court  159

Form 2. Notice of Appeal to a Court of Appeals From a Decision of the United States Tax Court  161 ix

Form 3. Petition for Review of Order of an Agency, Board, Commission or Officer .162

Form 4. Affidavit to Accompany Motion for Leave to Appeal in Forma Pauperis 163

Form 5. Notice of Appeal to a Court of Appeals from a Judgment or Order of a District Court or a Bankruptcy Appellate Panel 171

Form 6. Certificate of Compliance With Type-Volume Limit  173

Form 7. Declaration of Inmate Filing 174

TENTH CIRCUIT FORMS 175

10th CIR. FORM 1. DOCKETING STATEMENT INSTRUCTIONS AND FORM 175

10th CIR. FORM 2. ENTRY OF APPEARANCE AND CERTIFICATE OF INTERESTED PARTIES UNDER 10th Cir. R. 46. 187 10th CIR. FORM 3. ENTRY OF APPEARANCE – PRO SE  190

10th CIR. FORM 4. LETTER NOTICE THAT COUNSEL HAS MOVED TO WITHDRAW UNDER 10th CIR. R. 46.4(B)(2)192 LOCAL APPENDIX A.194

APPELLATE TRANSCRIPT MANAGEMENT PLAN FOR THE TENTH CIRCUIT 194

LOCAL APPENDIX B198

GENERAL ORDER REGARDING SCHEDULING CONFLICTS198

ADDENDUM I.202

CRIMINAL JUSTICE ACT PLAN 202

ADDENDUM II..209

PLAN FOR APPOINTMENT OF COUNSEL IN SPECIAL CIVIL APPEALS209

ADDENDUM III.211

PLAN FOR ATTORNEY DISCIPLINARY ENFORCEMENT211

This contains federal rules of civil procedure that must be followed by lawyers, police officers, judges, and others involved in the United States Judicial system.