Federal Rules of Appellate Procedure, With Forms, December 1, 2018

This document contains the Federal Rules of Appellate Procedure, together with forms, as amended to December 1, 2018. 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 1

0th 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)...........17

Fed. R. App. P. Rule 6. Appeal in a Bankruptcy Case ........................................18

10th Cir. R. 6.................................................................................................21 ii 6.1

Appendices in bankruptcy appeals. ................................................21

Fed. R. App. P. Rule 7. Bond for Costs on Appeal in a Civil Case.....................22

Fed. R. App. P. Rule 8. Stay or Injunction Pending Appeal................................23

10th Cir. R. 8.................................................................................................24 8.1

Required showing. ..........................................................................24 8.2

Emergency or ex parte motions. .....................................................25 8.3

Applications made to a single judge...............................................25

Fed. R. App. P. Rule 9. Release in a Criminal Case............................................26

10th Cir. R. 9.................................................................................................27 9.1

Expedited proceedings....................................................................27 9.2

Procedures.......................................................................................27 9.3

Response and date at issue..............................................................28 9.4

Ruling not law of the case. .............................................................28

Fed. R. App. P. Rule 10. The Record on Appeal.................................................29

10th Cir. R. 10...............................................................................................31

10.1 Tenth Circuit Record on Appeal....................................................31 10.2

Transcripts. ....................................................................................31 10.3

Designation of record (when filed)................................................33 10.4

Content of record. ..........................................................................33

Fed. R. App. P. Rule 11. Forwarding the Record ................................................37

10th Cir. R. 11...............................................................................................39 11.1

Record retained in district court (appendix filed)..........................39 11.2

Record transmitted to court of appeals (when required). ..............39 11.3

Sealed materials.............................................................................40

Fed. R. App. P. Rule 12. Docketing the Appeal; Filing a Representation Statement; Filing the Record................................................................................41

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.....................42

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TITLE III. APPEALS FROM THE UNITED STATES TAX COURT .................43

Fed. R. App. P. Rule 13. Appeals from the Tax Court ........................................43

Fed. R. App. P. Rule 14. Applicability of Other Rules to Appeals from the Tax Court.....................................................................................................................45

10th Cir. R. 14...............................................................................................45 14.1

Tenth Circuit rules apply. ..............................................................45

TITLE IV. REVIEW OR ENFORCEMENT OF AN ORDER OF AN ADMINISTRATIVE AGENCY, BOARD, COMMISSION, OR OFFICER.........46

Fed. R. App. P. Rule 15. Review or Enforcement of an Agency Order—How Obtained; Intervention..........................................................................................46

10th Cir. R. 15...............................................................................................48 15.1

Required attachments.....................................................................48 15.2

Service on the Respondents...........................................................48 15.3

Docketing statement. .....................................................................48 15.4

Intervention....................................................................................48

Fed. R. App. P. Rule 15.1. Briefs and Oral Argument in a National Labor Relations Board Proceeding.................................................................................49

Fed. R. App. P. Rule 16. The Record on Review or Enforcement ......................50

Fed. R. App. P. Rule 17. Filing the Record .........................................................51

10th Cir. R. 17...............................................................................................52 17.1

Time for filing................................................................................52 17.2

No separate appendix required. .....................................................52

Fed. R. App. P. Rule 18. Stay Pending Review...................................................53

10th Cir. R. 18...............................................................................................54 18.1

Applications for stay......................................................................54

Fed. R. App. P. Rule 19. Settlement of a Judgment Enforcing an Agency Order in Part ...................................................................................................................55

Fed. R. App. P. Rule 20. Applicability of Rules to the Review or Enforcement of an Agency Order ..................................................................................................56

10th Cir. R. 20...............................................................................................56 20.1

Tenth Circuit rules apply. ..............................................................56

TITLE V. EXTRAORDINARY WRITS.................................................................57

Fed. R. App. P. Rule 21. Writs of Mandamus and Prohibition, and Other Extraordinary Writs..............................................................................................57

10th Cir. R. 21...............................................................................................58 21.1

Fees. ...............................................................................................58

TITLE VI. HABEAS CORPUS; PROCEEDINGS IN FORMA PAUPERIS ........59

Fed. R. App. P. Rule 22. Habeas Corpus and Section 2255 Proceedings ...........59

10th Cir. R. 22...............................................................................................60 22.1

Certificate of appealability. ...........................................................60 22.2

Procedures in death penalty cases. ................................................60 22.3

Other rules applicable....................................................................61

Fed. R. App. P. Rule 23. Custody or Release of a Prisoner in a Habeas Corpus Proceeding............................................................................................................62

Fed. R. App. P. Rule 24. Proceeding in Forma Pauperis.....................................63

10th Cir. R. 24...............................................................................................64 24.1

Prison Litigation Reform Act. .......................................................64 24.2

Duty of Prisoner Appellant............................................................65

TITLE VII. GENERAL PROVISIONS...................................................................66

Fed. R. App. P. Rule 25. Filing and Service ........................................................66

10th Cir. R. 25...............................................................................................70 25.1

File stamped copies of papers........................................................70 25.2

Papers subject to being stricken.....................................................70 25.3

Electronic filing. ............................................................................70 25.4

Electronic service...........................................................................70 25.5

Privacy redaction requirements. ....................................................70 25.6

Filing under seal. ...........................................................................71 v 25.7.

Technical failure. ..........................................................................72

Fed. R. App. P. Rule 26. Computing and Extending Time..................................73

Fed. R. App. P. Rule 26.1. Corporate Disclosure Statement ...............................76

10th Cir. R. 26.1............................................................................................76

(A) Disclosure Statement in Appeals Based on Diversity Jurisdiction - Identifying Members and Partners. ..............................................76

Fed. R. App. P. Rule 27. Motions........................................................................77

10th Cir. R. 27...............................................................................................79 27.1

Disclosure of opponent’s position. ................................................79 27.2

Paper copies not required. .............................................................80 27.3

Summary disposition on motion by a party or the court. ..............80 27.4

Certification of questions of state law. ..........................................81 27.5

Clerk authorized to act on certain motions....................................82 27.6

Motions to extend time. .................................................................83 27.7

Orders.............................................................................................84

Fed. R. App. P. Rule 28. Briefs............................................................................85

10th Cir. R. 28...............................................................................................88 28.1

References to appendix or record. .................................................88 28.2

Additional requirements. ...............................................................88 28.3

Disfavored practices. .....................................................................89

Fed. R. App. P. Rule 28.1. Cross-Appeals...........................................................91

Fed. R. App. P. Rule 29. Brief of an Amicus Curiae...........................................94

10th Cir. R. 29...............................................................................................96 29.1

Amicus briefs on rehearing............................................................96

Fed. R. App. P. Rule 30. Appendix to the Briefs.................................................97

10th Cir. R. 30...............................................................................................99 30.1

Appellant’s appendix.....................................................................99 30.2

Supplemental appendix................................................................102 vi 30.3

Appendix exemptions. .................................................................102

Fed. R. App. P. Rule 31. Serving and Filing Briefs...........................................104

10th Cir. R. 31.............................................................................................105 31.1

Opening brief for appellant/petitioner.........................................105 31.2

Joint briefing in criminal appeals. ...............................................105 31.3

Joint briefing in civil appeals.......................................................105 31.4

Extensions....................................................................................106 31.5

Number of copies.........................................................................106

Fed. R. App. P. Rule 32. Form of Briefs, Appendices, and Other Papers.........107

10th Cir. R. 32.............................................................................................110

(A) Font sizes in briefs........................................................................110

(B) Word count where glossary included. ..........................................110

Fed. R. App. P. 32.1. Citing Judicial Dispositions. ...........................................111

10th Cir. R. 32.1..........................................................................................111 32.1

Citing judicial dispositions...........................................................111

Fed. R. App. P. Rule 33. Appeal Conferences...................................................112

10th Cir. R. 33.............................................................................................112 33.1

Mediation conference. .................................................................112

Fed. R. App. P. Rule 34. Oral Argument...........................................................114

10th Cir. R. 34.............................................................................................115 34.1

Oral argument. .............................................................................115

Fed. R. App. P. Rule 35. En Banc Determination..............................................117

10th Cir. R. 35.............................................................................................118 35.1

En banc consideration..................................................................118 35.2

Request in petition for rehearing. ................................................119 35.3

Untimely request..........................................................................119 35.4

Number of copies.........................................................................119 vii 35.5

Who may vote; en banc panel......................................................119 35.6

Effect of rehearing en banc..........................................................119 35.7

Matters not considered en banc. ..................................................119

Fed. R. App. P. Rule 36. Entry of Judgment; Notice.........................................121

10th Cir. R. 36.............................................................................................121 36.1

Orders and judgments..................................................................121 36.2

Publication. ..................................................................................121

Fed. R. App. P. Rule 37. Interest on Judgment..................................................122

Fed. R. App. P. Rule 38. Frivolous Appeal—Damages and Costs....................123

Fed. R. App. P. Rule 39. Costs...........................................................................124

10th Cir. R. 39.............................................................................................125 39.1

Maximum rates. ...........................................................................125 39.2

Motion for attorneys’ fees. ..........................................................125

Fed. R. App. P. Rule 40. Petition for Panel Rehearing......................................126

10th Cir. R. 40.............................................................................................127 40.1

Reasons for petition. ....................................................................127 40.2

Form; copies and attachments. ....................................................127 40.3

Successive petitions.....................................................................127

Fed. R. App. P. Rule 41. Mandate: Contents; Issuance and Effective Date; Stay.....................................................................................................................128

10th Cir. R. 41.............................................................................................129 41.1

Stay not routinely granted............................................................129 41.2

Motion to recall mandate.............................................................129

Fed. R. App. P. Rule 42. Voluntary Dismissal ..................................................130

10th Cir. R. 42.............................................................................................130 42.1

Dismissal for failure to prosecute................................................130 42.2

Reinstatement. .............................................................................130

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Fed. R. App. P. Rule 43. Substitution of Parties................................................131

Fed. R. App. P. Rule 44. Case Involving a Constitutional Question When the United States or the Relevant State Is Not a Party.............................................133

Fed. R. App. P. Rule 45. Clerk’s Duties............................................................134

10th Cir. R. 45.............................................................................................135 45.1

Duties...........................................................................................135 45.2

Chief deputy clerk........................................................................135 45.3

Office location. ............................................................................135

Fed. R. App. P. Rule 46. Attorneys....................................................................136

10th Cir. R. 46.............................................................................................137 46.1

Entry of appearance. ....................................................................137 46.2

Admission to Tenth Circuit bar. ..................................................138 46.3

Responsibilities in criminal and postconviction cases. ...............139 46.4

Withdrawal...................................................................................140 46.5

Signing briefs, motions, and other papers; representations to court; sanctions.................................................................................................142 46.6

Discipline of counsel or parties. ..................................................142 46.7

Student practice. ..........................................................................143

Fed. R. App. P. Rule 47. Local Rules by Courts of Appeals.............................146

10th Cir. R. 47.............................................................................................146 47.1

Advisory committee.....................................................................146 47.2

Circuit library...............................................................................148 47.3

Judicial conference. .....................................................................148

Fed. R. App. P. Rule 48. Masters.......................................................................149

APPENDIX ........................................................................................................150

Length Limits Stated in the Federal Rules of Appellate Procedure...................150

FORMS ..............................................................................................................152

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.