United States Court of Appeals

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For the First Circuit

Rulebook

Federal Rules of Appellate Procedure

First Circuit Local Rules

First Circuit Internal Operating Procedures

Administrative Order Regarding

Case Management /Electronic Case Files System (CM/ECF)

Rules of Attorney Disciplinary Enforcement for the

Court of Appeals for the First Circuit

Rules For Judicial-Conduct and Judicial-Disability Proceedings

Effective with amendments through June 1, 2026

Maine

Massachusetts

Rhode Island

New Hampshire

Puerto Rico

Table of Contents

Table of Contents ........................................................................................................................................ 1

Judges of the Court ..................................................................................................................................... 4

Officers of the Court ................................................................................................................................... 4

Advisory Committee on Rules ................................................................................................................... 4

Court of Appeals Miscellaneous Fee Schedule ...................................................................................... 5

Notice to Litigants ....................................................................................................................................... 7

TITLE I. APPLICABILITY OF RULES .............................................................................................. 8

Rule 1. Scope of Rules; Definition; Title............................................................................................. 8

Rule 2.

Suspension of Rules .............................................................................................................. 8

TITLE II. APPEAL FROM A JUDGMENT OR ORDER OF A DISTRICT COURT.................... 9

Rule 3. Appeal as of Right — How Taken ......................................................................................... 9

Local Rule 3.0. Docketing Statement Required; Dismissals for Want of Diligent Prosecution .... 11

Rule 3.1. Appeal from a Judgment of a Magistrate Judge in a Civil Case ........................................ 11

Rule 4. Appeal as of Right — When Taken ..................................................................................... 12

Rule 5. Appeal by Permission ........................................................................................................... 16

Rule 5.1 Appeal by Leave Under 28 U.S.C. § 636 (c)(5) ................................................................. 18

Rule 6. Appeal in a Bankruptcy Case or Proceeding ........................................................................ 18

Rule 7. Bond for Costs on Appeal in a Civil Case............................................................................ 22

Rule 8. Stay or Injunction Pending Appeal ...................................................................................... 22

Rule 9. Release in a Criminal Case ................................................................................................... 23

Local Rule 9.0. Recalcitrant Witnesses ...................................................................................... 24

Rule 10. The Record on Appeal ......................................................................................................... 24

Local Rule 10.0. Ordering Transcripts ......................................................................................... 26

Rule 11. Forwarding the Record ........................................................................................................ 27

Local Rule 11.0. Transmission of the Record, Sealed Documents ............................................. 28

Local Rule 12.0. Appearance, Withdrawal of Appearance ........................................................ 30

Rule 12.1. Remand After an Indicative Ruling by the District Court on a Motion for Relief That Is

Barred by a Pending Appeal ................................................................................................................. 30

TITLE III. APPEALS FROM THE UNITED STATES TAX COURT ........................................... 31

Rule 13. Appeals From the Tax Court ............................................................................................... 31

Rule 14. Applicability of Other Rules to Appeals from the Tax Court ............................................. 32

TITLE IV. REVIEW OR ENFORCEMENT OF AN ORDER OF AN ADMINISTRATIVE

AGENCY, BOARD, COMMISSION, OR OFFICER ........................................................................... 32

Rule 15. Review or Enforcement of an Agency Order — How Obtained; Intervention ................... 32

Rule 15.1. Briefs and Oral Argument in a National Labor Relations Board Proceeding .................. 33

Rule 16. The Record on Review or Enforcement .............................................................................. 33

Rule 17. Filing the Record ................................................................................................................. 34

Rule 18. Stay Pending Review........................................................................................................... 34

Local Rule 18.0 Stay in Immigration Cases; Notification of Removal Date............................... 35

Rule 19. Settlement of a Judgment Enforcing an Agency Order in Part ........................................... 36

Rule 20. Applicability of Rules to the Review or Enforcement of an Agency Order ....................... 36

TITLE V. EXTRAORDINARY WRITS ............................................................................................. 36

Rule 21. Writs of Mandamus and Prohibition, and Other Extraordinary Writs ................................ 36

TITLE VI. HABEAS CORPUS; PROCEEDINGS IN FORMA PAUPERIS .................................. 38

Rule 22. Habeas Corpus and Section 2255 Proceedings ................................................................... 38

Local Rule 22.0. Habeas Corpus; Certificate of Appealability ...................................................... 39

Local Rule 22.1. Habeas Corpus; Successive Petitions .................................................................. 40

Rule 23. Custody or Release of a Prisoner in a Habeas Corpus Proceeding ..................................... 41

Rule 24. Proceeding in Forma Pauperis ............................................................................................. 41

TITLE VII. GENERAL PROVISIONS ............................................................................................... 43

Rule 25. Filing and Service ................................................................................................................ 43

Local Rule 25.0. Electronic Case Filing System and Facsimile ..................................................... 45

Rule 26. Computing and Extending Time ......................................................................................... 50

Rule 26.1. Disclosure Statement ........................................................................................................ 52

Rule 27. Motions ................................................................................................................................ 53

Local Rule 27.0. Motions.............................................................................................................. 55

Rule 28. Briefs ................................................................................................................................... 56

Local Rule 28.0. Addendum to Briefs Required................................................................................... 58

Local Rule 28.1. References in Briefs to Sealed Material .............................................................. 59

Rule 28.1. Cross-Appeals .................................................................................................................. 59

Rule 29. Brief of an Amicus Curiae................................................................................................... 61

Rule 30. Appendix to the Briefs ........................................................................................................ 63

Local Rule 30.0. Appendix to the Briefs ........................................................................................ 65

Rule 31. Serving and Filing Briefs .................................................................................................... 66

Local Rule 31.0. Filing Briefs......................................................................................................... 67

Rule 32. Form of Briefs, Appendices, and Other Papers ................................................................... 67

Local Rule 32.0. Computer Generated Disk Requirement for Documents Filed in Paper Form ... 70

Local Rule 32.2. Citation of State Decisions and Law Review Articles ........................................ 71

Local Rule 32.4. Motions for Leave to File Oversized Briefs ........................................................ 71

Rule 32.1. Citing Judicial Dispositions.............................................................................................. 71

Local Rule 32.1.0. Citation of Unpublished Dispositions .............................................................. 71

Rule 33. Appeal Conferences ............................................................................................................ 72

Local Rule 33.0. Civil Appeals Management Plan ......................................................................... 72

Rule 34. Oral Argument ..................................................................................................................... 73

Rule 35. (Transferred to Rule 40) ...................................................................................................... 76

Local Rule 35.0 (Transferred to Local Rule 40.0) .......................................................................... 76

Rule 36. Entry of Judgment; Notice .................................................................................................. 76

Local Rule 36.0. Opinions .......................................................................................................... 76

Rule 37. Interest on Judgment ........................................................................................................... 78

Rule 38. Frivolous Appeal—Damages and Costs.............................................................................. 78

Local Rule 38.0. Sanctions for Vexatious Litigation.................................................................. 78

Rule 39. Costs .................................................................................................................................... 78

Local Rule 39.0. Taxation of Reproduction Costs ...................................................................... 80

Local Rule 39.1. Fee Applications .............................................................................................. 80

Rule 40. Panel Rehearing; En Banc Determination ........................................................................... 81

Local Rule 40.0. Petition for Panel Rehearing; En Banc Determination.................................... 83

Rule 41. Mandate: Contents; Issuance and Effective Date; Stay ....................................................... 84

Local Rule 41.0. Stay of Mandate .............................................................................................. 85

Rule 42. Voluntary Dismissal ............................................................................................................ 85

Rule 43. Substitution of Parties ......................................................................................................... 86

Rule 44. Case Involving a Constitutional Question When the United States or the Relevant State is

Not a Party ............................................................................................................................................ 87

Rule 45. Clerk’s Duties ...................................................................................................................... 87

Local Rule 45.0. Defaults ........................................................................................................... 88

Local Rule 45.1. The Clerk ......................................................................................................... 89

Rule 46. Attorneys ............................................................................................................................. 89

Local Rule 46.0.

Attorneys ........................................................................................................ 90

Local Rule 46.5. Appointment of Counsel in Criminal Cases.................................................... 94

Rule 47. Local Rules by Courts of Appeals ....................................................................................... 97

Local Rule 47.0. Local Rules of the First Circuit ....................................................................... 98

Local Rule 47.1. Judicial Conference of the First Circuit .......................................................... 99

Rule 48. Masters ................................................................................................................................ 99

Local Rule 48.0. Capital Cases ................................................................................................. 100

Appendix of Forms ................................................................................................................................. 102

Form 1A. Notice of Appeal to a Court of Appeals From a Judgment of a District Court ......... 103

Form 1B. Notice of Appeal to a Court of Appeals From an Appealable Order of a District Court

104

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

105

Form 3. Petition for Review of Order of an Agency, Board, Commission or Officer ............... 106

Form 4. Affidavit Accompanying Motion for Permission to Appeal in Forma Pauperis .......... 107

Form 5. Notice of Appeal to a Court of Appeals from a Judgment or Order of a District Court or

a Bankruptcy Appellate Panel ....................................................................................................... 112

Form 6. Certificate of Compliance With Type-Volume Limit .................................................. 113

Form 7. Declaration of Inmate Filing ........................................................................................... 114

Appendix:................................................................................................................................................. 115

First Circuit Internal Operating Procedures ....................................................................................... 117

Introduction ................................................................................................................................... 117

Internal Operating Procedure I. Court Organization .................................................................. 117

Internal Operating Procedure II. Attorneys................................................................................ 117

Internal Operating Procedure III. Initial Procedures .................................................................. 118

Internal Operating Procedure IV. Docketing Procedures .......................................................... 118

Internal Operating Procedure V. Motion Procedures................................................................. 119

Internal Operating Procedure VI. Briefs and Appendices ......................................................... 120

Internal Operating Procedure VII. Screening and Calendaring ................................................. 120

Internal Operating Procedure VIII. Oral Argument ...................................................................... 122

Internal Operating Procedure IX. Opinions & Judgments ............................................................ 122

Internal Operating Procedure X. Petitions for Panel Rehearing and Petitions for Hearing or

Rehearing En Banc ....................................................................................................................... 123

Internal Operating Procedure XI. Complaints Against Judges ..................................................... 123

Internal Operating Procedure XII. Notification of Changes or Notifications of the Court's Local

Rules and Internal Operating Procedures ..................................................................................... 123

Rules of Attorney Disciplinary Enforcement for the Court of Appeals for the First Circuit..........125

RULES FOR JUDICIAL-CONDUCT AND JUDICIAL-DISABILITY PROCEEDINGS.............133

Judges of the Court

Hon. David J. Barron, Chief Judge

Hon. Gustavo A. Gelpí, Jr., Circuit Judge

Hon. Lara E. Montecalvo, Circuit Judge

Hon. Julie Rikelman, Circuit Judge

Hon. Seth R. Aframe, Circuit Judge

Hon. Joshua D. Dunlap, Circuit Judge

Hon. Sandra L. Lynch, Senior Circuit Judge

Hon. Kermit V. Lipez, Senior Circuit Judge

Hon. Jeffrey R. Howard, Senior Circuit Judge

Hon. O. Rogeriee Thompson, Senior Circuit Judge

Hon. William J. Kayatta, Jr., Senior Circuit Judge

Hon. Ketanji Brown Jackson, Circuit Justice

Officers of the Court

Anastasia Dubrovsky, Clerk of Court

Susan Goldberg, Circuit Executive

George P. Taoultsides, Circuit Librarian

Jane Willoughby, Senior Staff Attorney

Advisory Committee on Rules

Roberto Prats Palerm, Chair

Kaitlin Caruso

Dan Deane

Christine DeMaso

Mark Fleming

Krystle Guillory Tadese

Nilda M. Navarro-Cabrer

David J. Zimmer

Lauren S. Zurier

Court of Appeals Miscellaneous Fee Schedule

(Issued in accordance with 28 U.S.C. § 1913)

Effective December 1, 2023

The fees included in the Court of Appeals Miscellaneous Fee Schedule are to be charged for

services provided by the courts of appeals, including relevant services provided by the bankruptcy

appellate panels established under 28 U.S. C. § 158(b)(1).

•

The United States should not be charged fees under this schedule, except as prescribed

in Items 2, 4, and 5 when the information requested is available through remote electronic

access.

•

Federal agencies or programs that are funded from judiciary appropriations (agencies,

organizations, and individuals providing services authorized by the Criminal Justice Act,

18 U.S.C. § 3006A, and bankruptcy administrators) should not be charged any fees under

this schedule.

(1) For docketing a case on appeal or review, or docketing any other proceeding, $600.

•

Each party filing a notice of appeal pays a separate fee to the district court, but parties

filing a joint notice of appeal pay only one fee.

•

There is no docketing fee for an application for an interlocutory appeal under 28 U.S.C.

§ 1292(b) or other petition for permission to appeal under Fed. R. App. P. 5, unless the

appeal is allowed.

•

There is no docketing fee for a direct bankruptcy appeal or a direct bankruptcy cross

appeal, when the fee has been collected by the bankruptcy court in accordance with item

14 of the Bankruptcy Court Miscellaneous Fee Schedule.

•

This fee is collected in addition to the statutory fee of $5 that is collected under 28 U.S.C.

§ 1917.

[Upon filing a notice of appeal in the district court, appellant shall pay the clerk of the

district court a fee of $605, which includes the $5 statutory filing fee for the notice of appeal,

and a $600 fee for docketing the appeal in this court. Upon filing a petition for review of an

agency order or a petition for writ of mandamus, petitioner shall pay the $600 docketing fee,

payable to the Clerk, U.S. Court of Appeals.]

(2) For conducting a search of the court of appeals or bankruptcy appellate panel records, $34 per

name or item searched. This fee applies to services rendered on behalf of the United States if

the information requested is available through remote electronic access.

(3) For certification of any document, $12. For the issuance of an apostille, $50.

(4)

(a) For reproducing any document and providing a copy in paper form, $.50 per page.

This fee applies to services rendered on behalf of the United States if the document

requested is available through remote electronic access.

(b) For reproducing and transmitting in any manner a copy of an electronic record

stored outside of the court's electronic case management system, including but not

limited to, document files, audio and video recordings (other than a recording of a

court proceeding), $33 per record provided.

(5)

For reproducing recordings of proceedings, regardless of the medium, $34, including the cost

of materials. This fee applies to services rendered on behalf of the United States if the

recording is available through remote electronic access.

(6)

For reproducing the record in any appeal in which the court of appeals does not require an

appendix pursuant to Fed. R. App. P.30(f), (or, in appeals before a bankruptcy appellate

panel, pursuant to Fed. R. Bankr. P. 8018(e)), $94.

(7)

For retrieval of one box of records from a Federal Records Center, National Archives, or

other storage location removed from the place of business of the court, $70. For retrievals

involving multiple boxes, $43 for each additional box. For electronic retrievals, $11 plus any

charges assessed by the Federal Records Center, National Archives, or other storage location

removed from the place of business of the courts.

(8)

For any payment returned or denied for insufficient funds, or reversed due to a chargeback, $53.

(9)

For copies of opinions, a fee commensurate with the cost of printing, as fixed by each court

of appeal.

[Opinions may be purchased from the clerk of the court of appeals at a cost of $5 per opinion.

Opinions in electronic form are available free of charge from the court's website,

http://www.ca1.uscourts.gov.]

(10) For copies of the local rules of court, a fee commensurate with the cost of distributing the

copies. The court may also distribute copies of the local rules without charge.

(11) For filing:

•

Any separate or joint notice of appeal or application for appeal from the bankruptcy

appellate panel, $5.

•

A notice of the allowance of an appeal from the bankruptcy appellate panel, $5.

(12) For counsel’s requested use of the court’s videoconferencing equipment in connection with

each oral argument, the court may charge and collect a fee of $200 per remote location.

(13) For original admission of an attorney to practice, including a certificate of admission, $199.

For a duplicate certificate of admission or certificate of good standing, $21.

[The First Circuit collects a local attorney admission fee of $50.00 in addition to the national

attorney admission fee of $199.00 imposed by this fee schedule pursuant to 28 U.S.C. § 1913.

See 1st Cir. R. 46.0(a)(1). Absent a waiver, the payment of the combined fee of $249.00 must

be paid electronically using the court's Case Management/Electronic Case Files

("CM/ECF") system.]

Notice to Litigants

To assist litigants in preparing documents that conform to the Federal Rules of Appellate Procedure

[Fed. R. App. P.] and the Local Rules of this Court [1st Cir. R.], the Clerk's Office has compiled a

list of common, but easily avoidable, errors that often delay the processing of cases and may

result in the striking or returning for correction of submitted documents.

1. Ordering Transcripts

Requests for transcripts must be made to the court reporter immediately and a copy filed in the

district court. The Transcript Order form specified in Local Rule 10.0(b) must be used. Counsel

must accurately complete the form and arrange for payment for the Order to be effective. See 1st

Cir. R. 10.0.

2. Form of Briefs

The parties must carefully comply with the margin, print size, and word limit requirements of

Fed. R. App. P. 32.

3. Contents of Briefs

The parties are directed to Fed. R. App. P. 28, which sets forth the contents of briefs. The required

sections must be under the appropriate headings and in the order indicated by the rule. The

appellant’s brief must also include an addendum. See 1st Cir. R. 28.0.

4. References in Briefs to the Record Required

To enable the Court to verify the documentary basis of the parties' arguments, factual assertions

must be supported by accurate references to the appendix or to the record. Counsel and parties

should ensure that transcripts cited in the briefs have been filed and made a part of the record on

appeal. The appellant is responsible for preparing an appendix in accordance with Fed. R. App.

P. 30 and 1st Cir. R. 30.0, with each page clearly numbered.

5. Motions to Enlarge Filing Dates or Length of Briefs

Motions to enlarge time to file briefs or to file briefs in excess of applicable length limitations

are discouraged. Any such request must be made by a motion filed well before the expiration of

the time limit for filing the brief. See 1st Cir. R. 32.4.

6. Disclosure Statement

Counsel representing a nongovernmental corporation must include a disclosure statement as

specified in Fed. R. App. P. 26.1 in the first document submitted for filing with the Court, and

again in front of the table of contents in the party's principal brief. A disclosure statement must

be filed even if the party has no information to disclose.

7. Certificate of Service

The Court will not consider any motion, brief, or document that has not been served on all parties.

The Notice of Docket Activity that is generated by the court's electronic filing system constitutes

service on all ECF filers. 1st Cir. R. 25.0(e). If a certificate of service is required by Fed. R. App.

P. 25(d), it should be attached to the document's last page and indicate: the date of service; the

manner of service; and the names and addresses of the persons served. See Fed. R. App. P. 25(d).

Federal Rules of Appellate Procedure and First Circuit Local Rules

TITLE I.

Rule 1.

APPLICABILITY OF RULES

Scope of Rules; Definition; Title

(a) Scope of Rules.

(1) These rules govern procedure in the United States courts of appeals.

(2) When these rules provide for filing a motion or other document in the district court, the

procedure must comply with the practice of the district court.

(b) Definition. In these rules, ‘state’ includes the District of Columbia and any United States

commonwealth or territory.

Rule 2.

Suspension of Rules

(a)

In a Particular Case. On its own or a party’s motion, a court of appeals may — to expedite

its decision or for other good cause — suspend any provision of these rules in a particular

case and order proceedings as it directs, except as otherwise provided in Rule 26(b).

(b)

In an Appellate Rules Emergency.

(1)

Conditions for an Emergency. The Judicial Conference of the United States may

declare an Appellate Rules emergency if it determines that extraordinary

circumstances relating to public health or safety, or affecting physical or electronic

access to a court, substantially impair the court's ability to perform its functions in

compliance with these rules.

(2)

Content. The declaration must:

(A)

designate the circuit or circuits affected; and

(B)

be limited to a stated period of no more than 90 days.

(3)

Early Termination. The Judicial Conference may terminate a declaration for one

or more circuits before the termination date.

(4)

Additional Declarations.

The Judicial Conference may issue additional

declarations under this rule.

(5)

Proceedings in a Rules Emergency. When a rules emergency is declared, the court

may:

(A)

Suspend in all or part of that circuit any provision of these rules, other than

time limits imposed by statute and described in Rule 26(b)(1)-(2); and

(B)

order proceedings as it directs.

TITLE II.

Rule 3.

APPEAL FROM A JUDGMENT OR ORDER

OF A DISTRICT COURT

Appeal as of Right — How Taken

(a) Filing the Notice of Appeal.

(1) An appeal permitted by law as of right from a district court to a court of appeals may be

taken only by filing a notice of appeal with the district clerk within the time allowed by

Rule 4. At the time of filing, the appellant must furnish the clerk with enough copies of

the notice to enable the clerk to comply with Rule 3(d).

(2) An appellant’s failure to take any step other than the timely filing of a notice of appeal

does not affect the validity of the appeal, but is ground only for the court of appeals to act

as it considers appropriate, including dismissing the appeal.

(3) An appeal from a judgment by a magistrate judge in a civil case is taken in the same way

as an appeal from any other district court judgment.

(4) An appeal by permission under 28 U.S.C. § 1292(b) or an appeal in a bankruptcy case

may be taken only in the manner prescribed by Rules 5 and 6, respectively.

(b) Joint or Consolidated Appeals.

(1) When two or more parties are entitled to appeal from a district-court judgment or order,

and their interests make joinder practicable, they may file a joint notice of appeal. They

may then proceed on appeal as a single appellant.

(2) When the parties have filed separate timely notices of appeal, the appeals may be joined

or consolidated by the court of appeals.

(1) The notice of appeal must:

(A) specify the party or parties taking the appeal by naming each one in the caption or

body of the notice, but an attorney representing more than one party may describe

those parties with such terms as “all plaintiffs,” “the defendants,” “the plaintiffs A, B,

et al.,” or “all defendants except X”;

(B) designate the judgment– or the appealable order– from which the appeal is taken; and

(2) A pro se notice of appeal is considered filed on behalf of the signer and the signer’s spouse

and minor children (if they are parties), unless the notice clearly indicates otherwise.

(3) In a class action, whether or not the class has been certified, the notice of appeal is

sufficient if it names one person qualified to bring the appeal as representative of the class.

(4) The notice of appeal encompasses all orders that, for purposes of appeal, merge into the

designated judgment or appealable order. It is not necessary to designate those orders in

the notice of appeal.

(5) In a civil case, a notice of appeal encompasses the final judgment, whether or not that

judgment is set out in a separate document under Federal Rules of Civil Procedure 58, if

the notice designates:

(A) an order that adjudicates all remaining claims and the rights and liabilities of all

remaining parties; or

(B) an order described in Rule 4(a)(4)(A).

(6) An appellant may designate only part of a judgment or appealable order by expressly

stating that the notice of appeal is so limited. Without such an express statement, specific

designations do not limit the scope of the notice of appeal.

(7) An appeal must not be dismissed for informality of form or title of the notice of appeal, for

failure to name a party whose intent to appeal is otherwise clear from the notice, or for

failure to properly designate the judgment if the notice of appeal was filed after entry of

the judgment and designates an order that merged into that judgment.

(8) Forms 1A and 1B in the Appendix of Forms are suggested forms of notices of appeal.

(d) Serving the Notice of Appeal.

(1) The district clerk must serve notice of the filing of a notice of appeal by sending a copy to

each party’s counsel of record — excluding the appellant’s — or, if a party is proceeding

pro se, to the party’s last known address. When a defendant in a criminal case appeals, the

clerk must also serve a copy of the notice of appeal on the defendant. The clerk must

promptly send a copy of the notice of appeal and of the docket entries — and any later

docket entries — to the clerk of the court of appeals named in the notice. The district clerk

must note, on each copy, the date when the notice of appeal was filed.

(2) If an inmate confined in an institution files a notice of appeal in the manner provided by

Rule 4(c), the district clerk must also note the date when the clerk docketed the notice.

(3) The district clerk’s failure to serve notice does not affect the validity of the appeal. The

clerk must note on the docket the names of the parties to whom the clerk sends copies,

with the date of sending. Service is sufficient despite the death of a party or the party’s

counsel.

(e) Payment of Fees. Upon filing a notice of appeal, the appellant must pay the district clerk all

required fees. The district clerk receives the appellate docket fee on behalf of the court of

appeals.

Local Rule 3.0. Docketing Statement Required; Dismissals for Want of Diligent Prosecution

(a) Docketing Statement Required. To provide the clerk of the Court of Appeals at the

commencement of an appeal with the information needed for effective case management,

within 14 days after the case is docketed in the court of appeals, the person or persons taking

the appeal must submit a separate statement listing all parties to the appeal, the last known

counsel, and last known addresses and e-mail addresses for counsel and unrepresented

parties. Errors or omissions in this separate statement alone shall not otherwise affect the

appeal if the notice of appeal itself complies with this rule.

(1) Form. Counsel filing an appeal must complete and file a docketing statement, using the

form provided by the clerk of the appeals court.

(2) Service. A copy of the docketing statement and any attachments must be served on the

opposing party or parties at the time the docketing statement is filed.

(3) Duty of Opposing Party. If an opposing party concludes that the docketing statement is

in any way inaccurate, incomplete, or misleading, the clerk’s office must be informed in

writing of any errors and any proposed additions or corrections within fourteen days of

service of the docketing statement, with copies to all other parties.

(b) If appellant does not pay the docket fee within 14 days of the filing of the notice of appeal, or

does not file the docketing statement or any other document within the time set by the court,

the appeal may be dismissed for want of diligent prosecution.

Rule 3.1.

Appeal from a Judgment of a Magistrate Judge in a Civil Case

[Abrogated]

Rule 4.

Appeal as of Right — When Taken

(a) Appeal in a Civil Case.

(1) Time for Filing a Notice of Appeal.

(A) In a civil case, except as provided in Rules 4(a)(1)(B), 4(a)(4), and 4(c), the notice of

appeal required by Rule 3 must be filed with the district clerk within 30 days after

entry of the judgment or order appealed from.

(B) The notice of appeal may be filed by any party within 60 days after entry of the

judgment or order appealed from if one of the parties is:

(i)

the United States;

(ii) a United States agency;

(iii) a United States officer or employee sued in an official capacity; or

(iv) a current or former United States officer or employee sued in an individual

capacity for an act or omission occurring in connection with duties performed on

the United States' behalf—including all instances in which the United States

represents that person when the judgment or order is entered or files the appeal

for that person.

nobis is an appeal in a civil case for purposes of Rule 4(a).

(2) Filing Before Entry of Judgment. A notice of appeal filed after the court announces a

decision or order—but before the entry of the judgment or order—is treated as filed on the

date of and after the entry.

(3) Multiple Appeals. If one party timely files a notice of appeal, any other party may file a

notice of appeal within 14 days after the date when the first notice was filed, or within the

time otherwise prescribed by this Rule 4(a), whichever period ends later.

(4) Effect of a Motion on a Notice of Appeal.

(A) If a party files in the district court any of the following motions under the Federal

Rules of Civil Procedure—and does so within the time allowed by those rules—the

time to file an appeal runs for all parties from the entry of the order disposing of the

last such remaining motion:

(i)

for judgment under Rule 50(b);

(ii) to amend or make additional factual findings under Rule 52(b), whether or not

granting the motion would alter the judgment;

(iii) for attorney’s fees under Rule 54 if the district court extends the time to appeal

under Rule 58;

(iv) to alter or amend the judgment under Rule 59;

(v) for a new trial under Rule 59; or

(vi) for relief under Rule 60 if the motion is filed within the time allowed for filing a

motion under Rule 59.

(B) (i) If a party files a notice of appeal after the court announces or enters a judgment—

but before it disposes of any motion listed in Rule 4(a)(4)(A)—the notice becomes

effective to appeal a judgment or order, in whole or in part, when the order

disposing of the last such remaining motion is entered.

(ii) A party intending to challenge an order disposing of any motion listed in Rule

4(a)(4)(A), or a judgment’s alteration or amendment upon such a motion, must

file a notice of appeal, or an amended notice of appeal—in compliance with Rule

3(c)—within the time prescribed by this Rule measured from the entry of the order

disposing of the last such remaining motion.

(iii) No additional fee is required to file an amended notice.

(5) Motion for Extension of Time.

(A) The district court may extend the time to file a notice of appeal if:

(i)

a party so moves no later than 30 days after the time prescribed by this Rule 4(a)

expires; and

(ii) regardless of whether its motion is filed before or during the 30 days after the time

prescribed by this Rule 4(a) expires, that party shows excusable neglect or good

cause.

(B) A motion filed before the expiration of the time prescribed in Rule 4(a)(1) or (3) may

be ex parte unless the court requires otherwise. If the motion is filed after the

expiration of the prescribed time, notice must be given to the other parties in

accordance with local rules.

14 days after the date when the order granting the motion is entered, whichever is

later.

(6) Reopening the Time to File an Appeal. The district court may reopen the time to file an

appeal for a period of 14 days after the date when its order to reopen is entered, but only

if all the following conditions are satisfied:

(A) the court finds that the moving party did not receive notice under Federal Rule of Civil

Procedure 77(d) of the entry of the judgment or order sought to be appealed within 21

days after entry;

(B) the motion is filed within 180 days after the judgment or order is entered or within 14

days after the moving party receives notice under Federal Rule of Civil Procedure

77(d) of the entry, whichever is earlier; and

(7) Entry Defined.

(A) A judgment or order is entered for purposes of this Rule 4(a):

(i)

if Federal Rule of Civil Procedure 58(a) does not require a separate document,

when the judgment or order is entered in the civil docket under Federal Rule of

Civil Procedure 79(a); or

(ii) if Federal Rule of Civil Procedure 58(a) requires a separate document, when the

judgment or order is entered in the civil docket under Federal Rule of Civil

Procedure 79(a) and when the earlier of these events occurs:

• the judgment or order is set forth on a separate document, or

• 150 days have run from entry of the judgment or order in the civil docket under

Federal Rule of Civil Procedure 79(a).

(B) A failure to set forth a judgment or order on a separate document when required by

Federal Rule of Civil Procedure 58(a) does not affect the validity of an appeal from

that judgment or order.

(b) Appeal in a Criminal Case.

(1) Time for Filing a Notice of Appeal.

(A) In a criminal case, a defendant’s notice of appeal must be filed in the district court

within 14 days after the later of:

(i)

the entry of either the judgment or the order being appealed; or

(ii) the filing of the government’s notice of appeal.

(B) When the government is entitled to appeal, its notice of appeal must be filed in the

district court within 30 days after the later of:

(i)

the entry of the judgment or order being appealed; or

(ii) the filing of a notice of appeal by any defendant.

(2) Filing Before Entry of Judgment. A notice of appeal filed after the court announces a

decision, sentence, or order — but before the entry of the judgment or order — is treated

as filed on the date of and after the entry.

(3) Effect of a Motion on a Notice of Appeal.

(A) If a defendant timely makes any of the following motions under the Federal Rules of

Criminal Procedure, the notice of appeal from a judgment of conviction must be filed

within 14 days after the entry of the order disposing of the last such remaining motion,

or within 14 days after the entry of the judgment of conviction, whichever period ends

later. This provision applies to a timely motion:

(i)

for judgment of acquittal under Rule 29;

(ii) for a new trial under Rule 33, but if based on newly discovered evidence, only if

the motion is made no later than 14 days after the entry of the judgment; or

(iii) for arrest of judgment under Rule 34.

(B) A notice of appeal filed after the court announces a decision, sentence, or order — but

before it disposes of any of the motions referred to in Rule 4(b)(3)(A) — becomes

effective upon the later of the following:

(i)

the entry of the order disposing of the last such remaining motion; or

(ii) the entry of the judgment of conviction.

disposing of any of the motions referred to in Rule 4(b)(3)(A).

(4) Motion for Extension of Time. Upon a finding of excusable neglect or good cause, the

district court may — before or after the time has expired, with or without motion and

notice — extend the time to file a notice of appeal for a period not to exceed 30 days from

the expiration of the time otherwise prescribed by this Rule 4(b).

(5) Jurisdiction. The filing of a notice of appeal under this Rule 4(b) does not divest a district

court of jurisdiction to correct a sentence under Federal Rule of Criminal Procedure 35(a),

nor does the filing of a motion under 35(a) affect the validity of a notice of appeal filed

before entry of the order disposing of the motion. The filing of a motion under Federal

Rule of Criminal Procedure 35(a) does not suspend the time for filing a notice of appeal

from a judgment of conviction.

(6) Entry Defined. A judgment or order is entered for purposes of this Rule 4(b) when it is

entered on the criminal docket.

(1) If an institution has a system designed for legal mail, an inmate confined there must use

that system to receive the benefit of this Rule 4(c)(1). If an inmate files a notice of appeal in

either a civil or a criminal case, the notice is timely if it is deposited in the institution’s

internal mail system on or before the last day for filing and:

(A) it is accompanied by:

(i)

a declaration in compliance with 28 U.S.C. § 1746—or a notarized statement—

setting out the date of deposit and stating that first-class postage is being prepaid;

(ii) evidence (such as a postmark or date stamp) showing that the notice was so

deposited and that postage was prepaid; or

(B) the court of appeals exercises its discretion to permit the later filing of a declaration

or notarized statement that satisfies Rule 4(c)(1)(A)(i).

(2) If an inmate files the first notice of appeal in a civil case under this Rule 4(c), the 14-day

period provided in Rule 4(a)(3) for another party to file a notice of appeal runs from the

date when the district court dockets the first notice.

(3) When a defendant in a criminal case files a notice of appeal under this Rule 4(c), the 30day period for the government to file its notice of appeal runs from the entry of the

judgment or order appealed from or from the district court’s docketing of the defendant’s

notice of appeal, whichever is later.

(d) Mistaken Filing in the Court of Appeals. If a notice of appeal in either a civil or a criminal

case is mistakenly filed in the court of appeals, the clerk of that court must note on the notice

the date when it was received and send it to the district clerk. The notice is then considered

filed in the district court on the date so noted.

Rule 5.

Appeal by Permission

(a) Petition for Permission to Appeal.

(1) To request permission to appeal when an appeal is within the court of appeals’ discretion,

a party must file a petition with the circuit clerk and serve it on all other parties to the

district-court action.

(2) The petition must be filed within the time specified by the statute or rule authorizing the

appeal or, if no such time is specified, within the time provided by Rule 4(a) for filing a

notice of appeal.

(3) If a party cannot petition for appeal unless the district court first enters an order granting

permission to do so or stating that the necessary conditions are met, the district court may

amend its order, either on its own or in response to a party’s motion, to include the required

permission or statement. In that event, the time to petition runs from entry of the amended

order.

(b) Contents of the Petition; Answer or Cross-Petition; Oral Argument.

(1) The petition must include the following:

(A) the facts necessary to understand the question presented;

(B) the question itself;

(D) the reasons why the appeal should be allowed and is authorized by a statute or rule;

and

(E) an attached copy of:

(i)

the order, decree, or judgment complained of and any related opinion or

memorandum; and

(ii) any order stating the district court’s permission to appeal or finding that the

necessary conditions are met.

(2) A party may file an answer in opposition or a cross-petition within 10 days after the

petition is served.

(3) The petition and answer will be submitted without oral argument unless the court of

appeals orders otherwise.

32(c)(2). An original and 3 copies must be filed unless the court requires a different number

by local rule or by order in a particular case. Except by the court's permission, and excluding

the accompanying documents required by Rule 5(b)(1)(E):

(1) a paper produced using a computer must not exceed 5,200 words; and

(2) a handwritten or typewritten paper must not exceed 20 pages.

(d) Grant of Permission; Fees; Cost Bond; Filing the Record.

(1) Within 14 days after the entry of the order granting permission to appeal, the appellant

must:

(A) pay the district clerk all required fees; and

(B) file a cost bond if required under Rule 7.

(2) A notice of appeal need not be filed. The date when the order granting permission to appeal

is entered serves as the date of the notice of appeal for calculating time under these rules.

(3) The district clerk must notify the circuit clerk once the petitioner has paid the fees. Upon

receiving this notice, the circuit clerk must enter the appeal on the docket. The record must

be forwarded and filed in accordance with Rules 11 and 12(c).

Rule 5.1

Appeal by Leave Under 28 U.S.C. § 636 (c)(5)

[Abrogated]

Rule 6.

Appeal in a Bankruptcy Case or Proceeding

(a) Appeal From a Judgment, Order, or Decree of a District Court Exercising Original

Jurisdiction in a Bankruptcy Case or Proceeding. An appeal to a court of appeals from a

final judgment, order, or decree of a district court exercising original jurisdiction in a

bankruptcy case or proceeding under 28 U.S.C. § 1334 is taken as any other civil appeal under

these rules. But the reference in Rule 4(a)(4)(A) to the time allowed for motions under certain

Federal Rules of Civil Procedure must be read as a reference to the time allowed for the

equivalent motions under the applicable Federal Rules of Bankruptcy Procedure, which may

be shorter than the time allowed under the Civil Rules.

(b) Appeal From a Judgment, Order, or Decree of a District Court or Bankruptcy Appellate

Panel Exercising Appellate Jurisdiction in a Bankruptcy Case or Proceeding.

(1) Applicability of Other Rules. These rules apply to an appeal to a court of appeals under 28

U.S.C. § 158(d)(1) from a final judgment, order, or decree of a district court or bankruptcy

appellate panel exercising appellate jurisdiction in a bankruptcy case or proceeding under

28 U.S.C. § 158(a) or (b), but with these qualifications:

(A) Rules 4(a)(4), 4(b), 9, 10, 11, 12(c), 13-20, 22-23, and 24(b) do not apply;

(B) the reference in Rule 3(c) to “Forms 1A and 1B in the Appendix of Forms” must be

read as a reference to Form 5;

any applicable rule, means “bankruptcy appellate panel”; and

(D) in Rule 12.1, “district court” includes a bankruptcy court or bankruptcy appellate

panel.

(2) Additional Rules. In addition to the rules made applicable by Rule 6(b)(1), the following

rules apply:

(A) Motion for Rehearing.

(i)

If a timely motion for rehearing under Bankruptcy Rule 8022 is filed, the time to

appeal for all parties runs from the entry of the order disposing of the motion. A

notice of appeal filed after the district court or bankruptcy appellate panel

announces or enters a judgment, order, or decree—but before disposition of the

motion for rehearing—becomes effective when the order disposing of the motion

for rehearing is entered.

(ii) If a party intends to challenge the order disposing of the motion—or the alteration

or amendment of a judgment, order, or decree upon the motion—then the party,

in accordance with Rules 3(c) and 6(b)(1)(B), must file a notice of appeal or

amended notice of appeal. The notice or amended notice must be filed within the

time prescribed by Rule 4—excluding Rules 4(a)(4) and 4(b)—measured from the

entry of the order disposing of the motion.

(iii) No additional fee is required to file an amended notice.

(B) The Record on Appeal.

(i)

Within 14 days after filing the notice of appeal, the appellant must file with the

clerk possessing the record assembled in accordance with Bankruptcy Rule

8009—and serve on the appellee—a statement of the issues to be presented on

appeal and a designation of the record to be certified and made available to the

circuit clerk.

(ii) An appellee who believes that other parts of the record are necessary must, within

14 days after being served with the appellant’s designation, file with the clerk and

serve on the appellant a designation of additional parts to be included.

(iii) The record on appeal consists of:

• the redesignated record as provided above;

• the proceedings in the district court or bankruptcy appellate panel; and

• a certified copy of the docket entries prepared by the clerk under Rule 3(d).

(i)

When the record is complete, the district clerk or bankruptcy-appellate-panel clerk

must number the documents constituting the record and promptly make it

available to the circuit clerk. If the clerk makes the record available in paper form,

the clerk will not send documents of unusual bulk or weight, physical exhibits

other than documents, or other parts of the record designated for omission by local

rule of the court of appeals, unless directed to do so by a party or the circuit clerk.

If unusually bulky or heavy exhibits are to be made available in

paper form, a party must arrange with the clerks in advance for their transportation

and receipt.

(ii) All parties must do whatever else is necessary to enable the clerk to assemble the

record and make it available. When the record is made available in paper form,

the court of appeals may provide by rule or order that a certified copy of the docket

entries be made available in place of the redesignated record. But at any time

during the appeal's pendency, any party may request that the redesignated record

be made available.

(D) Filing the Record. When the district clerk or bankruptcy-appellate-panel clerk has

made the record available, the circuit clerk must note that fact on the docket. The date

as noted serves as the filing date of the record. The circuit clerk must immediately

notify all parties that date.

Under 28 U.S.C. § 158(d)(2).

(1) Applicability of Other Rules. These rules apply to a direct appeal from a judgment,

order, or decree of a bankruptcy court by authorization under 28 U.S.C. § 158(d)(2), but

with these qualifications:

(A) Rules 3-4, 5 (except as provided in this Rule 6(c)), 6(a), 6(b), 8(a), 8(c), 9-12, 13-20, 22-23,

and 24(b) do not apply; and

(B) as used in any applicable rule, “district court” or “district clerk” includes—to the

extent appropriate—a bankruptcy court or bankruptcy appellate panel or its clerk.

(2) Additional Rules.

apply:

In addition to the rules made applicable by Rule 6(c)(1), the following rules

(A) Petition to Authorize a Direct Appeal. Within 30 days after a certification of a

bankruptcy court's order for direct appeal to the court of appeals under 28 U.S.C.

§ 158(d)(2) becomes effective under Bankruptcy Rule 8006(a), any party to the

appeal may ask the court of appeals to authorize a direct appeal by filing a petition

with the circuit clerk under Bankruptcy Rule 8006(g).

(B) Contents of the Petition. The petition must include the material required by Rule

5(b)(1) and an attached copy of:

(i)

the certification; and

(ii) the notice of appeal of the bankruptcy court's judgment, order, or decree filed

under Bankruptcy Rule 8003 or 8004.

cross-petition. Rule 5(b)(3) governs oral argument.

(D) Form of Papers; Number of Copies; Length Limits. Rule 5(c) governs the

required form, number of copies to be filed, and length limits applicable to the petition

and any answer or cross-petition.

(E) Notice of Appeal; Calculating Time. A notice of appeal to the court of appeals need

not be filed. The date when the order authorizing the direct appeal is entered serves

as the date of the notice of appeal for calculating time under these rules.

(F) Notification of the Order Authorizing Direct Appeal; Fees; Docketing the Appeal.

(i)

When the court of appeals enters the order authorizing the direct appeal, the

circuit clerk must notify the bankruptcy clerk and the district court clerk or

bankruptcy-appellate-panel clerk of the entry.

(ii) Within 14 days after the order authorizing the direct appeal is entered, the

appellant must pay the bankruptcy clerk any unpaid required fee, including:

• the fee required for the appeal to the district court or bankruptcy appellate panel;

and

• the difference between the fee for an appeal to the district court or bankruptcy

appellate panel and the fee required for an appeal to the court of appeals.

(iii) The bankruptcy clerk must notify the circuit clerk once the appellant has paid all

required fees. Upon receiving the notice, the circuit clerk must enter the direct

appeal on the docket.

(G) Stay Pending Appeal. Bankruptcy Rule 8007 governs any stay pending appeal.

(H) The Record on Appeal. Bankruptcy Rule 8009 governs the record on appeal. If a

party has already filed a document or completed a step required to assemble the record

for the appeal to the district court or bankruptcy appellate panel, the party need not

repeat that filing or step.

(I) Making the Record Available. Bankruptcy Rule 8010 governs completing the

record and making it available. When the court of appeals enters the order authorizing

the direct appeal, the bankruptcy clerk must make the record available to the circuit

clerk.

(J) Duties of the Circuit Clerk. When the bankruptcy clerk has made the record

available, the circuit clerk must note that fact on the docket. The date as noted serves

as the filing date of the record. The circuit clerk must immediately notify all parties

of that date.

(K) Filing a Representation Statement. Unless the court of appeals designates another

time, within 14 days after the order authorizing the direct appeal is entered, the attorney

for each party to the appeal must file a statement with the circuit clerk naming the

parties that the attorney represents on appeal.

Rule 7.

Bond for Costs on Appeal in a Civil Case

In a civil case, the district court may require an appellant to file a bond or provide other security

in any form and amount necessary to ensure payment of costs on appeal. Rule 8(b) applies to a

surety on a bond given under this rule.

Rule 8.

Stay or Injunction Pending Appeal

(a) Motion for Stay.

(1) Initial Motion in the District Court.

court for the following relief:

A party must ordinarily move first in the district

(A) a stay of the judgment or order of a district court pending appeal;

(B) approval of a bond or other security provided to obtain a stay of judgment; or

is pending.

(2) Motion in the Court of Appeals; Conditions on Relief.

A motion for the relief

mentioned in Rule 8(a)(1) may be made to the court of appeals or to one of its judges.

(A) The motion must:

(i)

show that moving first in the district court would be impracticable; or

(ii) state that, a motion having been made, the district court denied the motion or failed

to afford the relief requested and state any reasons given by the district court for

its action.

(B) The motion must also include:

(i)

the reasons for granting the relief requested and the facts relied on;

(ii) originals or copies of affidavits or other sworn statements supporting facts subject

to dispute; and

(iii) relevant parts of the record.

(D) A motion under this Rule 8(a)(2) must be filed with the circuit clerk and normally will

be considered by a panel of the court. But in an exceptional case in which time

requirements make that procedure impracticable, the motion may be made to and

considered by a single judge.

(E) The court may condition relief on a party’s filing a bond or other security in the district

court.

(b) Proceeding Against a Security Provider. If a party gives security with one or more security

providers, each provider submits to the jurisdiction of the district court and irrevocably

appoints the district clerk as its agent on whom any papers affecting its liability on the security

may be served. On motion, a security provider's liability may be enforced in the district court

without the necessity of an independent action. The motion and any notice that the district

court prescribes may be served on the district clerk, who must promptly send a copy to each

security provider whose address is known.

in a criminal case.

Rule 9.

Release in a Criminal Case

(a) Release Before Judgment of Conviction.

(1) The district court must state in writing, or orally on the record, the reasons for an order

regarding the release or detention of a defendant in a criminal case. A party appealing

from the order must file with the court of appeals a copy of the district court’s order and

the court’s statement of reasons as soon as practicable after filing the notice of appeal. An

appellant who questions the factual basis for the district court’s order must file a transcript

of the release proceedings or an explanation of why a transcript was not obtained.

(2) After reasonable notice to the appellee, the court of appeals must promptly determine the

appeal on the basis of the papers, affidavits, and parts of the record that the parties present

or the court requires. Unless the court so orders, briefs need not be filed.

(3) The court of appeals or one of its judges may order the defendant’s release pending the

disposition of the appeal.

(b) Release After Judgment of Conviction. A party entitled to do so may obtain review of a

district-court order regarding release after a judgment of conviction by filing a notice of appeal

from that order in the district court, or by filing a motion in the court of appeals if the party

has already filed a notice of appeal from the judgment of conviction. Both the order and the

review are subject to Rule 9(a). The papers filed by the party seeking review must include a

copy of the judgment of conviction.

the applicable provisions of 18 U.S.C. §§ 3142, 3143, and 3145(c).

Local Rule 9.0.

Recalcitrant Witnesses

(a) A recalcitrant witness who is held in contempt for refusal to testify is entitled to disposition of

the recalcitrant witness’s appeal within thirty days if the recalcitrant witness is denied bail,

and the government is entitled to equal promptness if bail is granted. The unsuccessful party

on the bail issue may waive the thirty day statutory requirement by filing a written waiver with

the clerk of this court.

(b) The district court shall allow bail, with or without surety, unless the appeal appears frivolous,

but a condition shall be the filing of a notice of appeal forthwith, and obedience to all

subsequent orders with respect to briefing and argument. Except for cause shown the district

court shall not, in any case, order a witness committed for the first forty-eight hours after the

date of the order.

reviewed by the court of appeals or a judge thereof.

Rule 10.

The Record on Appeal

(a) Composition of the Record on Appeal. The following items constitute the record on appeal:

(1) the original papers and exhibits filed in the district court;

(2) the transcript of proceedings, if any; and

(3) a certified copy of the docket entries prepared by the district clerk.

(b) The Transcript of Proceedings.

(1) Appellant’s Duty to Order. Within 14 days after filing the notice of appeal or entry of an

order disposing of the last timely remaining motion of a type specified in Rule 4(a)(4)(A),

whichever is later, the appellant must do either of the following:

(A) order from the reporter a transcript of such parts of the proceedings not already on file

as the appellant considers necessary, subject to a local rule of the court of appeals and

with the following qualifications:

(i)

the order must be in writing;

(ii) if the cost of the transcript is to be paid by the United States under the Criminal

Justice Act, the order must so state; and

(iii) the appellant must, within the same period, file a copy of the order with the district

clerk; or

(B) file a certificate stating that no transcript will be ordered.

(2) Unsupported Finding or Conclusion. If the appellant intends to urge on appeal that a

finding or conclusion is unsupported by the evidence or is contrary to the evidence, the

appellant must include in the record a transcript of all evidence relevant to that finding or

conclusion.

(3) Partial Transcript.

Unless the entire transcript is ordered:

(A) the appellant must — within the 14 days provided in Rule 10(b)(1) — file a statement

of the issues that the appellant intends to present on the appeal and must serve on the

appellee a copy of both the order or certificate and the statement;

(B) if the appellee considers it necessary to have a transcript of other parts of the

proceedings, the appellee must, within 14 days after the service of the order or

certificate and the statement of the issues, file and serve on the appellant a designation

of additional parts to be ordered; and

such parts, and has so notified the appellee, the appellee may within the following 14

days either order the parts or move in the district court for an order requiring the

appellant to do so.

(4) Payment. At the time of ordering, a party must make satisfactory arrangements with the

reporter for paying the cost of the transcript.

Transcript Is Unavailable. If the transcript of a hearing or trial is unavailable, the appellant

may prepare a statement of the evidence or proceedings from the best available means,

including the appellant’s recollection. The statement must be served on the appellee, who may

serve objections or proposed amendments within 14 days after being served. The statement

and any objections or proposed amendments must then be submitted to the district court for

settlement and approval. As settled and approved, the statement must be included by the

district clerk in the record on appeal.

(d) Agreed Statement as the Record on Appeal. In place of the record on appeal as defined in

Rule 10(a), the parties may prepare, sign, and submit to the district court a statement of the

case showing how the issues presented by the appeal arose and were decided in the district

court. The statement must set forth only those facts averred and proved or sought to be proved

that are essential to the court’s resolution of the issues. If the statement is truthful, it —

together with any additions that the district court may consider necessary to a full presentation

of the issues on appeal — must be approved by the district court and must then be certified to

the court of appeals as the record on appeal. The district clerk must then send it to the circuit

clerk within the time provided by Rule 11. A copy of the agreed statement may be filed in

place of the appendix required by Rule 30.

(e) Correction or Modification of the Record.

(1) If any difference arises about whether the record truly discloses what occurred in the

district court, the difference must be submitted to and settled by that court and the record

conformed accordingly.

(2) If anything material to either party is omitted from or misstated in the record by error or

accident, the omission or misstatement may be corrected and a supplemental record may

be certified and forwarded:

(A) on stipulation of the parties;

(B) by the district court before or after the record has been forwarded; or

(3) All other questions as to the form and content of the record must be presented to the court

of appeals.

Local Rule 10.0. Ordering Transcripts

(a) Timely Filing. Fed. R. App. P. 10(b) requires that the transcript be ordered within 14 days

of the filing of the notice of appeal. Parties are nevertheless urged to order any necessary

transcript immediately after the filing of the notice. If the appellant fails to timely order a

transcript in writing from the court reporter, the appeal may be dismissed for want of diligent

prosecution.

(b) Transcript Order/Report. A Transcript Order/Report, in the form prescribed by this court,

shall be used to satisfy the requirements of Fed. R. App. P. 10(b).

United States under the Criminal Justice Act, counsel must complete and attach CJA form 24

to the Transcript Order/Report so as to satisfy the requirement of Fed. R. App. P. 10(b)(4).

(d) Caveat. The court is of the opinion that in many cases a transcript is not really needed, and

makes for delay and expense, as well as unnecessarily large records. The court urges counsel

to endeavor, in appropriate cases, to enter into stipulations that will avoid or reduce

transcripts. See Fed. R. App. P. 30(b). However, if an agreed statement of the evidence is

contemplated, counsel are reminded of Fed. R. App. P. 10(c) requiring submission to the

district court for approval. The fourteen-day ordering rule will not be suspended because of

such activity, however, except by order of the court for good cause shown.

Rule 11.

Forwarding the Record

(a) Appellant’s Duty. An appellant filing a notice of appeal must comply with Rule 10(b) and

must do whatever else is necessary to enable the clerk to assemble and forward the record. If

there are multiple appeals from a judgment or order, the clerk must forward a single record.

(b) Duties of Reporter and District Clerk.

(1) Reporter’s Duty to Prepare and File a Transcript. The reporter must prepare and file

a transcript as follows:

(A) Upon receiving an order for a transcript, the reporter must enter at the foot of the order

the date of its receipt and the expected completion date and send a copy, so endorsed,

to the circuit clerk.

(B) If the transcript cannot be completed within 30 days of the reporter’s receipt of the

order, the reporter may request the circuit clerk to grant additional time to complete

it. The clerk must note on the docket the action taken and notify the parties.

the circuit clerk of the filing.

(D) If the reporter fails to file the transcript on time, the circuit clerk must notify the district

judge and do whatever else the court of appeals directs.

(2) District Clerk’s Duty to Forward. When the record is complete, the district clerk must

number the documents constituting the record and send them promptly to the circuit clerk

together with a list of the documents correspondingly numbered and reasonably identified.

Unless directed to do so by a party or the circuit clerk, the district clerk will not send to

the court of appeals documents of unusual bulk or weight, physical exhibits other than

documents, or other parts of the record designated for omission by local rule of the court

of appeals. If the exhibits are unusually bulky or heavy, a party must arrange with the

clerks in advance for their transportation and receipt.

The parties may stipulate, or the district court on motion may order, that the district clerk

retain the record temporarily for the parties to use in preparing the papers on appeal. In that

event the district clerk must certify to the circuit clerk that the record on appeal is complete.

Upon receipt of the appellee’s brief, or earlier if the court orders or the parties agree, the

appellant must request the district clerk to forward the record.

(d) [Abrogated]

(e) Retaining the Record by Court Order.

(1) The court of appeals may, by order or local rule, provide that a certified copy of the docket

entries be forwarded instead of the entire record. But a party may at any time during the

appeal request that designated parts of the record be forwarded.

(2) The district court may order the record or some part of it retained if the court needs it while

the appeal is pending, subject, however, to call by the court of appeals.

(3) If part or all of the record is ordered retained, the district clerk must send to the court of

appeals a copy of the order and the docket entries together with the parts of the original

record allowed by the district court and copies of any parts of the record designated by the

parties.

(f) Retaining Parts of the Record in the District Court by Stipulation of the Parties. The

parties may agree by written stipulation filed in the district court that designated parts of the

record be retained in the district court subject to call by the court of appeals or request by a

party. The parts of the record so designated remain a part of the record on appeal.

(g) Record for a Preliminary Motion in the Court of Appeals. If, before the record is

forwarded, a party makes any of the following motions in the court of appeals:

• for dismissal;

• for release;

• for a stay pending appeal;

• for additional security on the bond on appeal or on a bond or other security provided to

obtain a stay of judgment; or

• for any other intermediate order —

the district clerk must send the court of appeals any parts of the record designated by any party.

Local Rule 11.0.

Transmission of the Record, Sealed Documents

(a) Duty of Appellant. In addition to an appellant’s duties under Fed. R. App. P. 11(a), it is an

appellant’s responsibility to see that the record, as certified, is complete.

(b) Transmission of the Record. The district court will not transmit the full record except upon

request of the circuit clerk. Rather, the district court will transmit to the circuit clerk

electronically a copy of the notice of appeal, the order(s) being appealed, and a certified copy

of the district court docket report in lieu of transmitting the entire record. Sealed documents

will not be included in this abbreviated electronic record. Rather, any sealed documents or

sealed docket reports/entries will be transmitted to the circuit clerk in hard copy whether or

not electronically available. In addition, any papers and exhibits which are not electronically

available will also be transmitted to the circuit clerk. The entire electronic district court

record is available to the court of appeals whether or not individual documents are

transmitted as part of the abbreviated electronic record or later supplemented.

(1) Materials Sealed by District Court or Agency Order. The court of appeals expects that

ordinarily motions to seal all or part of a district court or agency record will be presented

to, and resolved by, the lower court or agency. Motions, briefs, transcripts, and other

materials which were filed with the district court or agency under seal and which

constitute part of the record transmitted to the court of appeals shall be clearly labeled as

sealed when transmitted to the court of appeals and will remain under seal until further

order of court.

(2) Motions to Seal in the Court of Appeals. In order to seal in the court of appeals materials

not already sealed in the district court or agency (e.g., a brief or unsealed portion of the

record), a motion to seal must be filed in paper form in the court of appeals; parties cannot

seal otherwise public documents merely by agreement or by labeling them “sealed.” A

motion to seal, which should not itself be filed under seal, must explain the basis for

sealing and specify the desired duration of the sealing order. If discussion of confidential

material is necessary to support the motion to seal, that discussion shall be confined to an

affidavit or declaration, which may be filed provisionally under seal. A motion to seal may

be filed before the sealed material is submitted or, alternatively the item to be sealed (e.g.,

the brief) may be tendered with the motion and, upon request, will be accepted

provisionally under seal, subject to the court’s subsequent ruling on the motion. Material

submitted by a party under seal, provisionally or otherwise must be stamped or labeled by

the party on the cover “FILED UNDER SEAL.” If the court of appeals denies the movant’s

motion to seal, any materials tendered under provisional seal will be returned to the

movant. Motions to seal or sealed documents should never be filed electronically. See 1st

Cir. R. 25.0.

(3) Limiting Sealed Filings. Rather than automatically requesting the sealing of an entire

brief, motion, or other filing, litigants should consider whether argument relating to

sealed materials may be contained in separate supplemental brief, motion, or filing, which

may then be sealed in accordance with the procedures in subsection (2).

(d) References to Sealed Materials.

(1) Records or materials sealed by district court, court of appeals, or agency order shall not

be included in the regular appendix, but may be submitted in a separate, sealed

supplemental volume of appendix. The sealed supplemental volume must be clearly and

prominently labeled by the party on the cover “FILED UNDER SEAL.”

(2) In addressing material under seal in an unsealed brief or motion or oral argument counsel

are expected not to disclose the substance of the sealed material and to apprise the court

that the material in question is sealed. If the record contains sealed materials of a

sensitive character, counsel would be well advised to alert the court to the existence of

such materials and their location by a footnote appended to the “Statement of the Case”

caption in the opening or answering brief.

Rule 12.

Docketing the Appeal; Filing a Representation Statement; Filing the Record

(a) Docketing the Appeal. Upon receiving the copy of the notice of appeal and the docket entries

from the district clerk under Rule 3(d), the circuit clerk must docket the appeal under the title

of the district-court action and must identify the appellant, adding the appellant’s name if

necessary.

(b) Filing a Representation Statement. Unless the court of appeals designates another time, the

attorney who filed the notice of appeal must, within 14 days after filing the notice, file a

statement with the circuit clerk naming the parties that the attorney represents on appeal.

or district clerk’s certificate as provided in Rule 11, the circuit clerk must file it and

immediately notify all parties of the filing date.

Local Rule 12.0.

Appearance, Withdrawal of Appearance

(a) Representation Statement, Appearance. A representation statement must take the form of an

appearance, in a form prescribed by this court. Attorneys for both appellant and appellee

must file appearance forms within 14 days after the case is docketed in the court of appeals.

See also 1st Cir. R. 46.0(a). Additional or new attorneys for the parties may enter an

appearance outside the 14 day period. However, in no event may any attorney file a notice of

appearance without leave of court after the appellee brief has been filed.

(b) Withdrawal of Appearance. No attorney who has entered an appearance in this court may

withdraw without the consent of the court. An attorney who has represented a defendant in a

criminal case in the district court will be responsible for representing the defendant on appeal,

whether or not the attorney has entered an appearance in the Court of Appeals, until the

attorney is relieved of such duty by the court. Procedures for withdrawal in criminal cases

are found in 1st Cir. R. 46.6. For requirements applying to court-appointed counsel, reference

is made to 1st Cir. R. 46.5(c), the Criminal Justice Plan of this Circuit.

Rule 12.1.

Remand After an Indicative Ruling by the District Court on a Motion for Relief That

Is Barred by a Pending Appeal

(a) Notice to the Court of Appeals. If a timely motion is made in the district court for relief that

it lacks authority to grant because of an appeal that has been docketed and is pending, the

movant must promptly notify the circuit clerk if the district court states either that it would

grant the motion or that the motion raises a substantial issue.

(b) Remand After an Indicative Ruling. If the district court states that it would grant the motion

or that the motion raises a substantial issue, the court of appeals may remand for further

proceedings but retains jurisdiction unless it expressly dismisses the appeal. If the court of

appeals remands but retains jurisdiction, the parties must promptly notify the circuit clerk

when the district court has decided the motion on remand.

TITLE III.

Rule 13.

APPEALS FROM THE UNITED STATES

TAX COURT

Appeals From the Tax Court

(a) Appeal as of Right.

(1) How Obtained; Time for Filing a Notice of Appeal.

(A) An appeal as of right from the United States Tax Court is commenced by filing a

notice of appeal with the Tax Court clerk within 90 days after the entry of the Tax

Court’s decision. At the time of filing, the appellant must furnish the clerk with

enough copies of the notice to enable the clerk to comply with Rule 3(d). If one party

files a timely notice of appeal, any other party may file a notice of appeal within 120

days after the Tax Court’s decision is entered.

(B) If, under Tax Court rules, a party makes a timely motion to vacate or revise the Tax

Court’s decision, the time to file a notice of appeal runs from the entry of the order

disposing of the motion or from the entry of a new decision, whichever is later.

(2) Notice of Appeal; How Filed. The notice of appeal may be filed either at the Tax Court

clerk’s office in the District of Columbia or by sending it to the clerk. If sent by mail the

notice is considered filed on the postmark date, subject to § 7502 of the Internal Revenue

Code, as amended, and the applicable regulations.

(3) Contents of the Notice of Appeal; Service; Effect of Filing and Service. Rule 3

prescribes the contents of a notice of appeal, the manner of service, and the effect of its

filing and service. Form 2 in the Appendix of Forms is a suggested form of a notice of

appeal.

(4) The Record on Appeal; Forwarding; Filing.

(A) Except as otherwise provided under Tax Court rules for the transcript of proceedings,

the appeal is governed by the parts of Rules 10, 11, and 12 regarding the record on

appeal from a district court, the time and manner of forwarding and filing, and the

docketing in the court of appeals.

(B) If an appeal is taken to more than one court of appeals, the original record must be

sent to the court named in the first notice of appeal filed. In an appeal to any other

court of appeals, the appellant must apply to that other court to make provision for the

record.

(b) Appeal by Permission.

Rule 14.

An appeal by permission is governed by Rule 5.

Applicability of Other Rules to Appeals from the Tax Court

All provisions of these rules, except Rules 4, 6-9, 15-20, and 22-23, apply to appeals from the

Tax Court. References in any applicable rule (other than Rule 24(a)) to the district court and district

clerk are to be read as referring to the Tax Court and its clerk.

TITLE IV.

REVIEW OR ENFORCEMENT OF AN

ORDER OF AN ADMINISTRATIVE AGENCY, BOARD,

COMMISSION, OR OFFICER

Rule 15.

Review or Enforcement of an Agency Order — How Obtained; Intervention

(a) Petition for Review; Joint Petition.

(1) Review of an agency order is commenced by filing, within the time prescribed by law, a

petition for review with the clerk of a court of appeals authorized to review the agency

order. If their interests make joinder practicable, two or more persons may join in a petition

to the same court to review the same order.

(2) The petition must:

(A) name each party seeking review either in the caption or the body of the petition —

using such terms as “et al.,” “petitioners”, or “respondents” does not effectively name

the parties;

(B) name the agency as a respondent (even though not named in the petition, the United

States is a respondent if required by statute); and

(3) Form 3 in the Appendix of Forms is a suggested form of a petition for review.

(4) In this rule “agency” includes an agency, board, commission, or officer; “petition for

review” includes a petition to enjoin, suspend, modify, or otherwise review, or a notice of

appeal, whichever form is indicated by the applicable statute.

(b) Application or Cross-Application to Enforce an Order; Answer; Default.

(1) An application to enforce an agency order must be filed with the clerk of a court of appeals

authorized to enforce the order. If a petition is filed to review an agency order that the

court may enforce, a party opposing the petition may file a cross-application for

enforcement.

(2) Within 21 days after the application for enforcement is filed, the respondent must serve

on the applicant an answer to the application and file it with the clerk. If the respondent

fails to answer in time, the court will enter judgment for the relief requested.

(3) The application must contain a concise statement of the proceedings in which the order

was entered, the facts upon which venue is based, and the relief requested.

review, or an application or cross-application to enforce an agency order, on each respondent

as prescribed by Rule 3(d), unless a different manner of service is prescribed by statute. At

the time of filing, the petitioner must:

(1) serve, or have served, a copy on each party admitted to participate in the agency

proceedings, except for the respondents;

(2) file with the clerk a list of those so served; and

(3) give the clerk enough copies of the petition or application to serve each respondent.

(d) Intervention. Unless a statute provides another method, a person who wants to intervene in

a proceeding under this rule must file a motion for leave to intervene with the circuit clerk and

serve a copy on all parties. The motion — or other notice of intervention authorized by statute

— must be filed within 30 days after the petition for review is filed and must contain a concise

statement of the interest of the moving party and the grounds for intervention.

(e) Payment of Fees. When filing any separate or joint petition for review in a court of appeals,

the petitioner must pay the circuit clerk all required fees.

Rule 15.1.

Briefs and Oral Argument in a National Labor Relations Board Proceeding

In either an enforcement or a review proceeding, a party adverse to the National Labor

Relations Board proceeds first on briefing and at oral argument, unless the court orders otherwise.

Rule 16.

The Record on Review or Enforcement

(a) Composition of the Record. The record on review or enforcement of an agency order consists

of:

(1) the order involved;

(2) any findings or report on which it is based; and

(3) the pleadings, evidence, and other parts of the proceedings before the agency.

(b) Omissions From or Misstatements in the Record. The parties may at any time, by

stipulation, supply any omission from the record or correct a misstatement, or the court may

so direct. If necessary, the court may direct that a supplemental record be prepared and filed.

Rule 17.

Filing the Record

(a) Agency to File; Time for Filing; Notice of Filing. The agency must file the record with the

circuit clerk within 40 days after being served with a petition for review, unless the statute

authorizing review provides otherwise, or within 40 days after it files an application for

enforcement unless the respondent fails to answer or the court orders otherwise. The court

may shorten or extend the time to file the record. The clerk must notify all parties of the date

when the record is filed.

(b) Filing — What Constitutes.

(1) The agency must file:

(A) the original or a certified copy of the entire record or parts designated by the parties;

(B) a certified list adequately describing all documents, transcripts of testimony, exhibits,

and other material constituting the record, or describing those parts designated by the

parties.

(2) The parties may stipulate in writing that no record or certified list be filed. The date when

the stipulation is filed with the circuit clerk is treated as the date when the record is filed.

(3) The agency must retain any portion of the record not filed with the clerk. All parts of the

record retained by the agency are a part of the record on review for all purposes and, if the

court or a party so requests, must be sent to the court regardless of any prior stipulation.

Rule 18.

Stay Pending Review

(a) Motion for a Stay.

(1) Initial Motion Before the Agency. A petitioner must ordinarily move first before the

agency for a stay pending review of its decision or order.

(2) Motion in the Court of Appeals. A motion for a stay may be made to the court of appeals

or one of its judges.

(A) The motion must:

(i) show that moving first before the agency would be impracticable; or

(ii) state that, a motion having been made, the agency denied the motion or failed to

afford the relief requested and state any reasons given by the agency for its action.

(B) The motion must also include:

(i)

the reasons for granting the relief requested and the facts relied on;

(ii) originals or copies of affidavits or other sworn statements supporting facts subject

to dispute; and

(iii) relevant parts of the record.

(D) The motion must be filed with the circuit clerk and normally will be considered by a

panel of the court. But in an exceptional case in which time requirements make that

procedure impracticable, the motion may be made to and considered by a single judge.

(b) Bond. The court may condition relief on the filing of a bond or other appropriate security.

Local Rule 18.0

Stay in Immigration Cases; Notification of Removal Date

In order to ensure the orderly presentation of issues placed before this Court in immigration

cases and to preserve the Court's ability to make considered decisions in such cases, the Court

adopts the following policy, which applies to petitions for review and to appeals from district court

habeas proceedings (collectively, for purposes of this rule, "petitions").

If the government has scheduled the removal of a petitioner, then the government will file with

the Court a notice identifying the earliest date upon which removal may be made. The notice

must be filed by the later of: one day after a petition is docketed in the court of appeals and

notification is transmitted to the government via the court's CM/ECF system or immediately

once removal is scheduled. The absence of any such notice will be deemed a representation by

counsel for the government that the government has not yet scheduled the removal of the

petitioner.

When a first motion for stay of removal is timely filed in this court and notification is

transmitted to the government via the court's CM/ECF system, the clerk will enter an

administrative order staying removal for ten business days. The government shall file its

response to the motion for stay of removal by the later of: two business days after the filing of

the first motion for stay of removal; or, ten business days prior to the earliest possible date of

removal; provided, however, that any response must be filed within the time period specified

by Fed. R. App. P. 27(a)(3)(A). Upon motion and good cause, any of these deadlines, as well

as the duration of the stay, may be revised in a particular case. This paragraph applies only

to the first timely motion to stay removal filed in an individual case in this court. For purposes

of this paragraph only, a first motion to stay removal will be deemed timely if filed by the later

of: the docketing of the petition; or two business days after the filing of a notice by the

government as provided in paragraph 1, above. If petitioner is pro se, this deadline shall not

apply, but any stay motion should be filed as expeditiously as possible.

Rule 19.

Settlement of a Judgment Enforcing an Agency Order in Part

When the court files an opinion directing entry of judgment enforcing the agency’s order in

part, the agency must within 14 days file with the clerk and serve on each other party a proposed

judgment conforming to the opinion. A party who disagrees with the agency’s proposed judgment

must within 10 days file with the clerk and serve the agency with a proposed judgment that the

party believes conforms to the opinion. The court will settle the judgment and direct entry without

further hearing or argument.

Rule 20.

Applicability of Rules to the Review or Enforcement of an Agency Order

All provisions of these rules, except Rules 3-14 and 22-23, apply to the review or enforcement

of an agency order. In these rules, “appellant” includes a petitioner or applicant, and “appellee”

includes a respondent.

TITLE V.

Rule 21.

EXTRAORDINARY WRITS

Writs of Mandamus and Prohibition, and Other Extraordinary Writs

(a) Mandamus or Prohibition to a Court: Petition, Filing, Service, and Docketing.

(1) A party petitioning for a writ of mandamus or prohibition directed to a court must file the

petition with the circuit clerk and serve it on all parties to the proceeding in the trial court.

The party must also provide a copy to the trial-court judge. All parties to the proceeding

in the trial court other than the petitioner are respondents for all purposes.

(2) (A) The petition must be titled “In re [name of petitioner].”

(B) The petition must state:

(i)

the relief sought;

(ii) the issues presented;

(iii) the facts necessary to understand the issue presented by the petition; and

(iv) the reasons why the writ should issue.

may be essential to understand the matters set forth in the petition.

(3) Upon receiving the prescribed docket fee, the clerk must docket the petition and submit it

to the court.

(b) Denial; Order Directing Answer; Briefs; Precedence.

(1) The court may deny the petition without an answer.

respondent, if any, to answer within a fixed time.

Otherwise, it must order the

(2) The clerk must serve the order to respond on all persons directed to respond.

(3) Two or more respondents may answer jointly.

(4) The court of appeals may invite or order the trial-court judge to address the petition or

may invite an amicus curiae to do so. The trial-court judge may request permission to

address the petition but may not do so unless invited or ordered to do so by the court of

appeals.

(5) If briefing or oral argument is required, the clerk must advise the parties, and when

appropriate, the trial-court judge or amicus curiae.

(6) The proceeding must be given preference over ordinary civil cases.

(7) The circuit clerk must send a copy of the final disposition to the trial-court judge.

provided for in Rule 21(a) must be made by filing a petition with the circuit clerk and serving

it on the respondents. Proceedings on the application must conform, so far as is practicable,

to the procedures prescribed in Rule 21(a) and (b).

(d) Form of Papers; Number of Copies; Length Limits. All papers must conform to Rule

32(c)(2). An original and 3 copies must be filed unless the court requires the filing of a

different number by local rule or by order in a particular case. Except by the court's

permission, and excluding the accompanying documents required by Rule 21(a)(2)(C);

(1) a paper produced using a computer must not exceed 7,800 words; and

(2) a handwritten or typewritten paper must not exceed 30 pages.

Local Rule 21.0. Petitions for Special Writs

A petition for a writ of mandamus or writ of prohibition shall be entitled simply "In re

, Petitioner." To the extent that relief is requested of a particular judge, unless

otherwise ordered, the judge shall be represented pro forma by counsel for the party opposing the

relief, who shall appear in the name of the party and not that of the judge.

TITLE VI.

Rule 22.

HABEAS CORPUS; PROCEEDINGS IN

FORMA PAUPERIS

Habeas Corpus and Section 2255 Proceedings

(a) Application for the Original Writ. An application for a writ of habeas corpus must be made

to the appropriate district court. If made to a circuit judge, the application must be transferred

to the appropriate district court. If a district court denies an application made or transferred to

it, renewal of the application before a circuit judge is not permitted. The applicant may, under

28 U.S.C. § 2253, appeal to the court of appeals from the district court’s order denying the

application.

(b) Certificate of Appealability.

(1) In a habeas corpus proceeding in which the detention complained of arises from process

issued by a state court, or in a 28 U.S.C. § 2255 proceeding, the applicant cannot take an

appeal unless a circuit justice or a circuit or district judge issues a certificate of

appealability under 28 U.S.C. § 2253(c). If an applicant files a notice of appeal, the district

clerk must send to the court of appeals the certificate (if any) and the statement described

in Rule 11(a) of the Rules Governing Proceedings Under 28 U.S.C. § 2254 or § 2255 (if

any), along with the notice of appeal and the file of the district-court proceedings. If the

district judge has denied the certificate, the applicant may request a circuit judge to issue

it.

(2) A request addressed to the court of appeals may be considered by a circuit judge or judges,

as the court prescribes. If no express request for a certificate is filed, the notice of appeal

constitutes a request addressed to the judges of the court of appeals.

(3) A certificate of appealability is not required when a state or its representative or the United

States or its representative appeals.

Local Rule 22.0. Habeas Corpus; Certificate of Appealability

(a) General Procedures. In this circuit, ordinarily neither the court nor a judge thereof will act

on a request for a certificate of appealability if the district judge who refused the writ is

available and has not ruled first. The general procedures regarding certificates of

appealability are set forth in Fed. R. App. P. 22 and Rule 11 of the Rules Governing

Proceedings Under 28 U.S.C. § 2254 or § 2255. These latter rules require the district judge

to rule on the issuance of a certificate of appealability when a final order issues. If the district

court denies a certificate, the petitioner may not appeal the denial but may file a motion for a

certificate of appealability before this court. A petitioner wishing to challenge the denial of a

§ 2254 or § 2255 petition must file a timely notice of appeal whether or not the district court

issues a certificate of appealability.

(b) Denial in Full by District Court. If the district court denies a certificate of appealability, the

petitioner should promptly apply within the time set by the clerk to the court of appeals for

issuance of a certificate of appealability. The motion should be accompanied by a copy of the

district court’s order and a memorandum giving specific and substantial reasons, and not

mere generalizations, why a certificate should be granted. If no sufficient memorandum has

been filed by the time set by the clerk, the certificate may be denied without further

consideration. The effect of a denial is to terminate the appeal.

(1) If the district court grants a certificate of appealability as to one or more issues, the

petitioner’s appeal shall go forward only as to the issue or issues for which the district

court granted the certificate. See Grant-Chase v. Commissioner, 145 F.3d 431 (1st Cir.

1998).

(2) If the petitioner wants appellate review of an issue or issues as to which the district court

has denied a certificate of appealability, petitioner must apply promptly, within the time

set by the clerk of the court of appeals, to the court of appeals for an expanded certificate

of appealability. The request for an expanded certificate of appealability:

(A) must be explicit as to the additional issues the petitioner wishes the court to consider

and

(B) should be accompanied by a copy of the district court order and a memorandum

giving specific and substantial reasons, and not mere generalizations, why an

expanded certificate of appealability should be granted.

If the petitioner fails to apply for an expanded certificate of appealability within the time

designated by the clerk, the appeal will proceed only with respect to the issues on which

the district court has granted a certificate; this court will not treat an inexplicit notice of

appeal, without more, as a request for a certificate of appealability with respect to issues

on which the district court has denied a certificate.

(d) Grant in Full by District Court. If the district court grants a certificate of appealability on

all issues, the petitioner's appeal shall go forward. See Grant-Chase v. Commissioner, 145

F.3d 431 (1st Cir. 1998).

Local Rule 22.1. Habeas Corpus; Successive Petitions

(a) Motion for Authorization. Any petitioner seeking to file a second or successive petition for

relief pursuant to 28 U.S.C. §§ 2254 or 2255 must first file a motion with this court for

authorization. A motion for authorization to file a second or successive § 2254 or § 2255

petition must be sufficiently complete on filing to allow the court to assess whether the

standard set forth in 28 U.S.C. §§ 2244(b) or 2255, as applicable, has been satisfied. The

motion must be accompanied by both:

(1) a completed application form, available from this court, stating the new claims(s)

presented and addressing how Section 2244(b) or Section 2255's standard is satisfied;

and

(2) copies of all relevant portions of earlier court proceedings, which must ordinarily include:

(A) copies of all § 2254 or § 2255 petitions earlier filed;

(B) the respondent’s answer to the earlier petitions (including any portion of the state

record the respondent submitted to the district court);

proceedings;

(D) the district court’s decision in the earlier proceedings; and

(E) the portions of the state court record needed to evaluate the claims presented and to

show that movant has exhausted state court remedies.

(b) Incomplete Motion. Failure to provide the requisite application and attachments may result

in the denial of the motion for authorization with or without prejudice to refiling. At its

discretion, the court may instead treat the motion as lodged, the filing being deemed complete

when the deficiency is remedied.

and all accompanying attachments on the state attorney general (§ 2254 cases) or United

States Attorney for the federal judicial district in which movant was convicted (§ 2255 cases)

and shall comply with Fed. R. App. P. 25.

(d) Response. The state attorney general (§ 2254 cases) or United States Attorney (§ 2255 cases)

is requested to file a response within 14 days of the filing of the motion.

(e) Transfer. If a second or successive § 2254 or § 2255 petition is filed in a district court without

the requisite authorization by the court of appeals pursuant to 28 U.S.C. § 2244(b)(3), the

district court will transfer the petition to the court of appeals pursuant to 28 U.S.C. § 1631 or

dismiss the petition. If the petition is transferred, the petitioner must file a motion meeting the

substantive requirements of 1st Cir. R. 22.1(a) within 45 days of the date of notice from the

clerk of the court of appeals that said motion is required. If the motion is not timely filed,

the court will enter an order denying authorization for the § 2254 or § 2255 petition.

Rule 23.

Custody or Release of a Prisoner in a Habeas Corpus Proceeding

(a) Transfer of Custody Pending Review. Pending review of a decision in a habeas corpus

proceeding commenced before a court, justice, or judge of the United States for the release of

a prisoner, the person having custody of the prisoner must not transfer custody to another

unless a transfer is directed in accordance with this rule. When, upon application, a custodian

shows the need for a transfer, the court, justice, or judge rendering the decision under review

may authorize the transfer and substitute the successor custodian as a party.

(b) Detention or Release Pending Review of Decision Not to Release. While a decision not to

release a prisoner is under review, the court or judge rendering the decision, or the court of

appeals, or the Supreme Court, or a judge or justice of either court, may order that the prisoner

be:

(1) detained in the custody from which release is sought;

(2) detained in other appropriate custody; or

(3) released on personal recognizance, with or without surety.

release of a prisoner is under review, the prisoner must — unless the court or judge rendering

the decision, or the court of appeals, or the Supreme Court, or a judge or justice of either court

orders otherwise — be released on personal recognizance, with or without surety.

(d) Modification of the Initial Order on Custody. An initial order governing the prisoner’s

custody or release, including any recognizance or surety, continues in effect pending review

unless for special reasons shown to the court of appeals or the Supreme Court, or to a judge

or justice of either court, the order is modified or an independent order regarding custody,

release, or surety is issued.

Rule 24.

Proceeding in Forma Pauperis

(a) Leave to Proceed in Forma Pauperis.

(1) Motion in the District Court. Except as stated in Rule 24(a)(3), a party to a district- court

action who desires to appeal in forma pauperis must file a motion in the district court. The

party must attach an affidavit that:

(A) shows in the detail prescribed by Form 4 of the Appendix of Forms the party’s

inability to pay or to give security for fees and costs; claims an entitlement to

redress; and

(B) states the issues that the party intends to present on appeal.

(2) Action on the Motion. If the district court grants the motion, the party may proceed on

appeal without prepaying or giving security for fees and costs, unless a statute provides

otherwise. If the district court denies the motion, it must state its reasons in writing.

(3) Prior Approval. A party who was permitted to proceed in forma pauperis in the districtcourt action, or who was determined to be financially unable to obtain an adequate defense

in a criminal case, may proceed on appeal in forma pauperis without further authorization,

unless:

(A) the district court — before or after the notice of appeal is filed — certifies that the

appeal is not taken in good faith or finds that the party is not otherwise entitled to

proceed in forma pauperis and states in writing its reasons for the certification or

finding; or

(B) a statute provides otherwise.

(4) Notice of District Court’s Denial. The district clerk must immediately notify the parties

and the court of appeals when the district court does any of the following:

(A) denies a motion to proceed on appeal in forma pauperis;

(B) certifies that the appeal is not taken in good faith; or

(5) Motion in the Court of Appeals. A party may file a motion to proceed on appeal in forma

pauperis in the court of appeals within 30 days after service of the notice prescribed in Rule

24(a)(4). The motion must include a copy of the affidavit filed in the district court and the

district court’s statement of reasons for its action. If no affidavit was filed in the district

court, the party must include the affidavit prescribed by Rule 24(a)(1).

(b) Leave to Proceed in Forma Pauperis on Appeal from the United States Tax Court or on

Appeal or Review of an Administrative-Agency Proceeding. A party may file in the court

of appeals a motion for leave to proceed on appeal in forma pauperis with an affidavit

prescribed by Rule 24(a)(1):

(1) in an appeal from the United States Tax Court; and

(2) when an appeal or review of a proceeding before an administrative agency, board,

commission, or officer proceeds directly in the court of appeals.

request that the appeal be heard on the original record without reproducing any part.

TITLE VII.

Rule 25.

GENERAL PROVISIONS

Filing and Service

(a) Filing.

(1) Filing with the Clerk. A paper required or permitted to be filed in a court of appeals

must be filed with the clerk.

(2) Filing: Method and Timeliness.

(A) Nonelectronic Filing.

(i)

In General. For a paper not filed electronically, filing may be accomplished by

mail addressed to the clerk, but filing is not timely unless the clerk receives the

papers within the time fixed for filing.

(ii) A Brief or Appendix. A brief or appendix not filed electronically is timely filed,

however, if on or before the last day for filing, it is:

• mailed to the clerk by first-class mail, or other class of mail that is at least as

expeditious, postage prepaid; or

• dispatched to a third-party commercial carrier for delivery to the clerk within 3

days.

(iii) Inmate Filing. If an institution has a system designed for legal mail, an inmate

confined there must use that system to receive the benefit of this Rule

25(a)(2)(A)(iii). A paper not filed electronically by an inmate is timely if it is

deposited in the institution’s internal mail system on or before the last day for

filing and:

• it is accompanied by: a declaration in compliance with 28 U.S.C. § 1746—or a

notarized statement—setting out the date of deposit and stating that first-class

postage is being prepaid; or evidence (such as a postmark or date stamp) showing

that the paper was so deposited and that postage was prepaid; or

• the court of appeals exercises its discretion to permit the later filing of a

declaration or notarized statement that satisfies Rule 25(a)(2)(A)(iii).

(B) Electronic Filing and Signing.

(i)

By a Represented Person—Generally Required; Exceptions. A person

represented by an attorney must file electronically, unless nonelectronic filing is

allowed by the court for good cause or is allowed or required by local rule.

(ii) By an Unrepresented Person—When Allowed or Required. A person not

represented by an attorney:

• may file electronically only if allowed by court order or by local rule; and

• may be required to file electronically only by court order, or by a local rule that

includes reasonable exceptions.

(iii) Signing. A filing made through a person's electronic-filing account and authorized

by that person, together with that person's name on a signature block, constitutes

the person's signature.

(iv) Same as a Written Paper. A paper filed electronically is a written paper for

purposes of these rules.

(3) Filing a Motion with a Judge. If a motion requests relief that may be granted by a single

judge, the judge may permit the motion to be filed with the judge; the judge must note the

filing date on the moti on and give it to the clerk.

(4) Clerk’s Refusal of Documents. The clerk must not refuse to accept for filing any paper

presented for that purpose solely because it is not presented in proper form as required by

these rules or by any local rule or practice.

(5) Privacy Protection. An appeal in a case whose privacy protection was governed by

Federal Rule of Bankruptcy Procedure 9037, Federal Rule of Civil Procedure 5.2, or

Federal Rule of Criminal Procedure 49.1 is governed by the same rule on appeal. In all

other proceedings, privacy protection is governed by Federal Rule of Civil Procedure 5.2,

except that Federal Rule of Criminal Procedure 49.1 governs when an extraordinary writ

is sought in a criminal case. The provisions on remote electronic access in Federal Rule of

Civil Procedure 5.2(c)(1) and (2) apply in a petition for review of a benefits decision of

the Railroad Retirement Board under the Railroad Retirement Act.

(b) Service of All Papers Required. Unless a rule requires service by the clerk, a party must, at

or before the time of filing a paper, serve a copy on the other parties to the appeal or review.

Service on a party represented by counsel must be made on the party’s counsel.

(1) Nonelectronic service may be any of the following:

(A) personal, including delivery to a responsible person at the office of counsel;

(B) by mail; or

(2) Electronic service of a paper may be made (A) by sending it to a registered user by filing

it with the court's electronic-filing system or (B) by sending it by other electronic means

that the person to be served consented to in writing.

(3) When reasonable considering such factors as the immediacy of the relief sought, distance,

and cost, service on a party must be by a manner at least as expeditious as the manner used

to file the paper with the court.

(4) Service by mail or by commercial carrier is complete on mailing or delivery to the carrier.

Service by electronic means is complete on filing or sending, unless the party making

service is notified that the paper was not received by the party served.

(d) Proof of Service.

(1) A paper presented for filing must contain either of the following if it was served other than

through the court's electronic-filing system:

(A) an acknowledgment of service by the person served; or

(B) proof of service consisting of a statement by the person who made service certifying:

(i)

the date and manner of service;

(ii) the names of the persons served; and

(iii) their mail or electronic addresses, facsimile numbers, or the addresses of the

places of delivery, as appropriate for the manner of service.

(2) When a brief or appendix is filed by mailing or dispatch in accordance with Rule

25(a)(2)(A)(ii), the proof of service must also state the date and manner by which the

document was mailed or dispatched to the clerk.

(3) Proof of service may appear on or be affixed to the papers filed.

(e) Number of Copies. When these rules require the filing or furnishing of a number of copies,

a court may require a different number by local rule or by order in a particular case.

Local Rule 25.0. Electronic Case Filing System and Facsimile

(a) Electronic Case Filing. Use of the electronic filing system is mandatory for all attorneys

filing in this court, unless they are granted an exemption, and is voluntary for all nonincarcerated pro se litigants proceeding without counsel.

(1) The clerk may make changes to the procedures for electronic filing to adapt to changes

in technology or to facilitate electronic filing.

(2) The court may deviate from these procedures in specific cases if deemed appropriate in

the exercise of its discretion.

(3) Documents must be formatted for electronic filing by converting the original word

processing document into Portable Document Format (“PDF”). PDF images created

by scanning paper documents do not comply with this rule. However, exhibits that are

submitted as attachments to an electronically filed pleading may be scanned and

attached if the filer does not possess a word-processing file version of the document.

(4) Completed PDF fillable forms must be scanned or "printed to PDF" in order to lock or

"flatten" the form prior to filing the document in CM/ECF.

(b) Scope of Electronic Filing. Unless this court by rule or order prescribes otherwise, all cases

will be assigned to the court's electronic filing system. Upon motion and a showing of good

cause, the court may exempt an attorney from the provisions of this rule and authorize filing

by means other than use of the electronic filing system. Absent an exemption, all documents

filed by counsel must be filed electronically using the electronic filing system with the

exceptions below, which also apply to pro se litigants who have elected to use the electronic

filing system.

(1) Paper Only Filings. The following documents must be filed only in paper form:

(A) motions to seal; and

(B) sealed, ex parte, or otherwise non-public documents, including, for example, presentence reports and statements of reasons in a judgment of criminal conviction.

(2) Documents Initiating a Case. Documents that initiate a case in the court of appeals

may be filed electronically or in paper, including for example, petitions for review,

petitions for permission to appeal, applications to enforce an agency order, petitions

for a writ of mandamus or prohibition, and applications for leave to file a second or

successive petition for relief pursuant to 28 U.S.C. § 2254 or § 2255. While a Notice of

Appeal initiates an appeal, it must be filed in the district court and, thus, is subject to

the relevant district court's procedures governing electronic filing.

(3) Briefs and Appendices. Although briefs (including the addendum, required by 1st Cir.

R. 28.0) and appendices must be filed electronically, paper copies are still required to

be filed. When a brief or appendix is filed electronically, it is deemed tendered. The

clerk's office will then review the electronically tendered filing and, if it is compliant

with federal and local rules, send a notification accepting the brief and/or appendix as

filed and requiring the attorney or party filing electronically ("ECF Filer") to file the

appropriate number of identical paper copies so that they are received by the court

within seven days of the notification. The clerk may shorten the period for filing paper

copies of a brief if it becomes necessary in a particular case. At the time a brief or

appendix is tendered electronically, it must be served on all other parties, as required

by Federal Rules of Appellate Procedure 25(b) and 31(b). See 1st Cir. R. 25.0(e).

Parties do not need to serve the brief or appendix again on the other parties to the case

when identical paper copies are filed with the court.

(4) Criminal Justice Act Vouchers. CJA 24 vouchers filed in accordance with the Criminal

Justice Act, 18 U.S.C. § 3006A, must be filed electronically using the court’s electronic

filing system. All other Criminal Justice Act vouchers must be submitted electronically

using the court's CJA eVoucher system.

(5) Copies of Filings. Paper copies of electronically filed documents other than briefs (such

as petitions for rehearing or rehearing en banc) are not required and should not be filed

unless specifically requested by the clerk. The clerk may direct the ECF Filer to provide

the court with paper copies of electronically filed documents, or with an identical

electronic version of any paper document previously filed in the same case by that filer,

in a format designated by the court.

Filers. Registration is required to obtain a login and password for use of the electronic case

filing system. Attorneys and non-incarcerated pro se litigants may register at

www.pacer.uscourts.gov. A non-incarcerated party to a pending case who is not

represented by an attorney may, but is not required to, register as an ECF Filer for purposes

of that case. If a pro se party retains an attorney, the attorney must register as an ECF Filer

if he or she has not already done so and file an appearance form.

(1) Consent to Service. Registration as an ECF Filer constitutes consent to electronic

service of all documents as provided in these rules and in the Federal Rules of Appellate

Procedure.

(2) CM/ECF User’s Guide. Before filing an electronic document using the court’s

electronic filing system, ECF Filers should familiarize themselves with the CM/ECF

User’s Guide available on the court’s website at www.ca1.uscourts.gov.

(3) Duty to Update Registration Information. An ECF Filer has an affirmative duty to keep

the filer's primary email address and any additional email addresses associated with

the filer's account updated at all times. Any changes to an ECF Filer’s contact

information, including name, physical address, telephone, fax number or e-mail

addresses, should be made through the PACER Service Center, which can be accessed

at www.pacer.uscourts.gov.

(4) Password and Login Protection. ECF Filers agree to protect the security of their logins

and passwords. An ECF Filer shall immediately notify the PACER Service Center and

the clerk if the filer learns, or has reason to suspect, that the filer's login or password

has been compromised. ECF Filers may be sanctioned for failure to comply with this

provision. In addition to other sanctions imposed by the court, the clerk may terminate

without notice the electronic filing privileges of any ECF Filer who uses the electronic

filing system inappropriately.

(d) Consequences of Electronic Filing. Electronic transmission of a document via the

electronic filing system in compliance with these rules, together with the transmission of

a Notice of Docket Activity from the court, constitutes filing of the document under the

Federal Rules of Appellate Procedure and the local rules of this court, and constitutes entry

of the document on the docket kept by the clerk under Fed. R. App. P. 36 and 45(b).

(1) Leave to File. If leave of court is required to file a document and the document may be

filed electronically under 1st Cir. R. 25.0(b), both the motion and the subject document

should be submitted electronically. If leave is granted, an order will issue accepting

the filing for docketing.

(2) Legibility. Before filing a document with the court, an ECF Filer must ensure its

legibility and completeness.

(3) Time Filed. When a document has been filed electronically, the official record is the

electronic document stored by the court. Except in the case of documents first filed in

paper form and subsequently submitted electronically, an electronically filed document

is deemed filed at the date and time stated on the Notice of Docket Activity from the

court. Unless otherwise required by statute, rule, or court order, filing must be

completed by midnight in the time zone of the circuit clerk’s office in Boston to be

considered timely filed that day.

(4) Failure to Electronically File a Document. ECF Filers are advised that they should

contact the clerk's office if they transmit a document via the electronic filing system but

do not receive a Notice of Docket Activity. If a Notice of Docket Activity was not

transmitted by the court, the ECF Filer's filing attempt failed and the document was not

filed. If the filer was attempting to file a document initiating a case and does not receive

electronic confirmation that the submission was received by the court, then the ECF

Filer's filing attempt failed and the document was not filed.

(e) Service of Documents by Electronic Means. The Notice of Docket Activity that is generated

by the court's electronic filing system constitutes service of the filed document on all ECF

Filers.

(1) Service on Paper Recipients. The court's electronic filing system identifies which parties

in a particular case are ECF filers. Parties who are not registered as ECF Filers must

be served with a copy of any electronically filed document in some other way authorized

by Fed. R. App. P. 25(c)(1). Similarly, a document filed in paper form pursuant to 1st

Cir. R. 25.0(b)(1) must be served using an alternate method of service prescribed by Fed.

R. App. P. 25(c)(1). However, paper copies of briefs filed and served electronically do

not need to be served again on the parties to the case when paper copies of the briefs

are filed with the court.

(2) Certificate of Service. The Notice of Docket Activity does not replace the certificate of

service, if required by Fed. R. App. P. 25(d).

(f) Entry of Court-Issued Documents. Except as otherwise provided by local rule or court

order, all public orders, opinions, judgments, and proceedings of the court in cases assigned

to the electronic filing system will be filed in accordance with these rules, which will

constitute entry on the docket kept by the clerk under Fed. R. App. P. 36 and 45(b). Any

order or document electronically issued by the court without the original signature of a judge

or authorized court personnel has the same force and effect as if the judge or clerk had signed

a paper copy of the order. Orders also may be issued as “text-only” entries on the docket,

without an attached document. Such orders are official and binding.

(g) Attachments and Exhibits to Electronically Filed Documents. All documents referenced

as exhibits or attachments to an electronically filed document must also be filed

electronically, unless the court permits or requires paper filing. An ECF Filer must submit

as exhibits or attachments only those excerpts of the referenced documents that are directly

germane to the matter under consideration by the court. Excerpted material must be clearly

and prominently identified as such. The court may require parties to file additional excerpts

or the complete document.

(h) Sealed Documents. As required by 1st Cir. R. 25.0(b)(1), sealed documents and motions

for permission to file a document under seal should be filed only in paper form. Sealed

documents must be filed in compliance with 1st Cir. R. 11.0(c) and 1st Cir. R. 30.0(g). If an

entire case is sealed, all documents in the case are considered sealed unless the court orders

otherwise or, in the case of a court order, opinion, or judgment, the court releases the order,

opinion or judgment for public dissemination.

(i) Retention Requirements. Electronically filed documents that require original signatures

other than that of the ECF Filer must be maintained in paper form by the ECF Filer until

final disposition of the case. For purposes of this rule, a disposition is not final until the time

for filing a petition for a writ of certiorari has expired, or, if a petition for a writ of certiorari

is filed, until the Supreme Court disposes of the matter, and, if a remand is ordered, the case

is finally resolved. Upon request by the court, ECF Filers must provide original documents

for review.

(j) Signatures. The user login and password required to submit documents via the electronic

filing system serve as the ECF Filer’s signature on all electronic documents filed with the

court. They also serve as a signature for purposes of the Federal Rules of Appellate

Procedure, the local rules of court, and any other purpose for which a signature is required

in connection with proceedings before the court.

(1) Submission by Signatory. No ECF Filer or other person may knowingly permit or cause

to permit an ECF Filer’s login and password to be used by anyone other than an

authorized agent of the ECF Filer. ECF Filers are reminded that pursuant to 1st Cir.

R. 25.0(c)(4), a filer must immediately notify the PACER Service Center and the clerk

if the filer learns, or has reason to know, that the filer's login or password has been

compromised.

(2) Multiple Signatures. The filer of any electronically filed document requiring multiple

signatures (for example, stipulations) must list thereon all the names of other

signatories by means of a signature block for each. By submitting such a document, the

ECF Filer certifies that each of the other signatories has expressly agreed to the form

and substance of the document, and that the ECF Filer has the authority to submit the

document electronically. If any person objects to the representation of his or her

signature on an electronic document as described above, he or she must, within 14 days

of the electronic filing, file a notice setting forth the basis of the objection.

(k) Notice of Court Orders and Judgments. Immediately upon the entry of a public order,

opinion or judgment in a case assigned to the electronic filing system, a Notice of Docket

Activity will be electronically transmitted to the ECF Filers in the case. Electronic

transmission of the Notice of Docket Activity constitutes the notice and service of the order,

opinion, or judgment required by Fed. R. App. P. 36(b) and 45(c). The clerk will give notice

of any order, opinion, or judgment required by Fed. R. App. P. 36(b) and 45(c) in paper to

any person who has not consented to electronic service.

(l) Technical Failures. An ECF Filer whose filing is made untimely as the result of a technical

failure may seek appropriate relief from the court.

(m) Privacy Protections and Public Access. Filers, whether filing electronically or in paper

form, shall refrain from including or shall redact certain personal data identifiers from all

documents filed with the court whenever such redaction is required by Fed. R. App. P.

25(a)(5). The responsibility for redacting these personal identifiers rests solely with counsel

and the parties. The clerk will not review any document for compliance with this rule. Filers

are advised that it is the experience of this court that failure to comply with redaction

requirements is most apt to occur in attachments, addenda, or appendices, and, thus,

special attention should be given to such documents.

(n) Hyperlinks. Electronically filed documents may contain hyperlinks except as stated herein.

Hyperlinks may not be used to link to sealed or restricted documents. Hyperlinks to cited

authority may not replace standard citation format. Complete citations must be included in

the text of the document. A hyperlink, or any site to which it refers, will not be considered

part of the record. Hyperlinks are simply convenient mechanisms for accessing material in

a document. The court accepts no responsibility for the availability or functionality of any

hyperlink, and does not endorse any product, organization, or content at any hyperlinked

site, or at any site to which that site might be linked.

(o) Facsimile. The Clerk of Court is authorized to accept for filing papers transmitted by

facsimile equipment in situations determined by the Clerk to be of an emergency nature or

other compelling circumstances, subject to such procedures for follow-up filing of

electronic or paper copies, as the Clerk may from time to time specify.

Rule 26.

Computing and Extending Time

(a) Computing Time. The following rules apply in computing any time period specified in these

rules, in any local rule or court order, or in any statute that does not specify a method of

computing time.

(1) Period Stated in Days or a Longer Unit.

unit of time:

When the period is stated in days or a longer

(A) exclude the day of the event that triggers the period;

(B) count every day, including intermediate Saturdays, Sundays, and legal holidays; and

holiday, the period continues to run until the end of the next day that is not a Saturday,

Sunday, or legal holiday.

(2) Period Stated in Hours. When the period is stated in hours:

(A) begin counting immediately on the occurrence of the event that triggers the period;

(B) count every hour, including hours during intermediate Saturdays, Sundays, and legal

holidays; and

to run until the same time on the next day that is not a Saturday, Sunday, or legal

holiday.

(3) Inaccessibility of the Clerk’s Office.

office is inaccessible:

Unless the court orders otherwise, if the clerk’s

(A) on the last day for filing under Rule 26(a)(1), then the time for filing is extended to

the first accessible day that is not a Saturday, Sunday, or legal holiday; or

(B) during the last hour for filing under Rule 26(a)(2), then the time for filing is extended

to the same time on the first accessible day that is not a Saturday, Sunday, or legal

holiday.

(4) “Last Day” Defined. Unless a different time is set by a statute, local rule, or court order,

the last day ends:

(A) for electronic filing in the district court, at midnight in the court’s time zone;

(B) for electronic filing in the court of appeals, at midnight in the time zone of the circuit

clerk’s principal office;

under Rule 13(a)(2)—at the latest time for the method chosen for delivery to the post

office, third-party commercial carrier, or prison mailing system; and

(D) for filing by other means, when the clerk’s office is scheduled to close.

(5) “Next Day” Defined. The “next day” is determined by continuing to count forward when

the period is measured after an event and backward when measured before an event.

(6) “Legal Holiday” Defined.

“Legal holiday” means:

(A) the day set aside by statute for observing New Year’s Day, Martin Luther King Jr.’s

Birthday, Washington’s Birthday, Memorial Day, Juneteenth National Independence

Day; Independence Day, Labor Day, Columbus Day, Veterans’ Day, Thanksgiving

Day, or Christmas Day;

(B) any day declared a holiday by the President or Congress; and

state where either of the following is located: the district court that rendered the

challenged judgment or order, or the circuit clerk’s principal office.

(b) Extending Time. For good cause, the court may extend the time prescribed by these rules or

by its order to perform any act, or may permit an act to be done after that time expires. But

the court may not extend the time to file:

(1) a notice of appeal (except as authorized in Rule 4) or a petition for permission to appeal;

(2) a notice of appeal from or a petition to enjoin, set aside, suspend, modify, enforce, or

otherwise review an order of an administrative agency, board, commission, or officer of

the United States, unless specifically authorized by law.

specified time after being served, and the paper is not served electronically on the party or

delivered to the party on the date stated in the proof of service, 3 days are added after the

period would otherwise expire under Rule 26(a).

Rule 26.1.

Disclosure Statement

(a) Nongovernmental Corporations. Any nongovernmental corporation that is a party to a

proceeding in a court of appeals must file a statement that identifies any parent corporation

and any publicly held corporation that owns 10% or more of its stock or states that there is no

such corporation. The same requirement applies to a nongovernmental corporation that seeks

to intervene.

(b) Organizational Victims in Criminal Cases. In a criminal case, unless the government shows

good cause, it must file a statement that identifies any organizational victim of the alleged

criminal activity. If the organizational victim is a corporation, the statement must also disclose

the information required by Rule 26.1(a) to the extent it can be obtained through due diligence.

appellant must file a statement that:

(1) identifies each debtor not named in the caption; and

(2) for each debtor that is a corporation, discloses the information required by Rule 26.1(a).

(d) Time for Filing; Supplemental Filing. The Rule 26.1 statement must:

(1) be filed with the principal brief or upon filing a motion, response, petition, or answer in the court of

appeals, whichever occurs first, unless a local rule requires earlier filing;

(2) be included before the table of contents in the principal brief; and

(3) be supplemented whenever the information required under Rule 26.1 changes.

(e) Number of Copies. If the Rule 26.1 statement is filed before the principal brief, or if a

supplemental statement is filed, an original and 3 copies must be filed unless the court requires

a different number by local rule or by order in a particular case.

Rule 27.

Motions

(a) In General.

(1) Application for Relief. An application for an order or other relief is made by motion

unless these rules prescribe another form. A motion must be in writing unless the court

permits otherwise.

(2) Contents of a Motion.

(A) Grounds and relief sought. A motion must state with particularity the grounds for

the motion, the relief sought, and the legal argument necessary to support it.

(B) Accompanying documents.

(i)

Any affidavit or other paper necessary to support a motion must be served and

filed with the motion.

(ii) An affidavit must contain only factual information, not legal argument.

(iii) A motion seeking substantive relief must include a copy of the trial court’s

opinion or agency’s decision as a separate exhibit.

(i) A separate brief supporting or responding to a motion must not be filed.

(ii) A notice of motion is not required.

(iii) A proposed order is not required.

(3) Response.

(A) Time to file. Any party may file a response to a motion; Rule 27(a)(2) governs its

contents. The response must be filed within 10 days after service of the motion unless

the court shortens or extends the time. A motion authorized by Rules 8, 9, 18, or 41

may be granted before the 10-day period runs only if the court gives reasonable notice

to the parties that it intends to act sooner.

(B) Request for affirmative relief. A response may include a motion for affirmative

relief. The time to respond to the new motion, and to reply to that response, are

governed by Rule 27(a)(3)(A) and (a)(4). The title of the response must alert the court

to the request for relief.

(4) Reply to Response. Any reply to a response must be filed within 7 days after service of

the response. A reply must not present matters that do not relate to the response.

(b) Disposition of a Motion for a Procedural Order. The court may act on a motion for a

procedural order—including a motion under Rule 26(b)—at any time without awaiting a

response, and may, by rule or by order in a particular case, authorize its clerk to act on

specified types of procedural motions. A party adversely affected by the court’s, or the clerk’s,

action may file a motion to reconsider, vacate, or modify that action. Timely opposition filed

after the motion is granted in whole or in part does not constitute a request to reconsider,

vacate, or modify the disposition; a motion requesting that relief must be filed.

motion, but may not dismiss or otherwise determine an appeal or other proceeding. A court of

appeals may provide by rule or by order in a particular case that only the court may act on any

motion or class of motions. The court may review the action of a single judge.

(d) Form of Papers; Length Limits; Number of Copies.

(1) Format.

(A) Reproduction. A motion, response, or reply may be reproduced by any process that

yields a clear black image on light paper. The paper must be opaque and unglazed.

Only one side of the paper may be used.

(B) Cover. A cover is not required, but there must be a caption that includes the case

number, the name of the court, the title of the case, and a brief descriptive title

indicating the purpose of the motion and identifying the party or parties for whom it

is filed. If a cover is used, it must be white.

the text, and permits the document to lie reasonably flat when open.

(D) Paper size, line spacing, and margins. The document must be on 8½ by 11 inch

paper. The text must be double-spaced, but quotations more than two lines long may

be indented and single-spaced. Headings and footnotes may be single-spaced. Margins

must be at least one inch on all four sides. Page numbers may be placed in the margins,

but no text may appear there.

(E) Typeface and type styles.

The document must comply with the typeface

requirements of Rule 32(a)(5) and the type-style requirements of Rule 32(a)(6).

(2) Length Limits. Except by the court's permission, and excluding the accompanying

documents authorized by Rule 27(a)(2)(B);

(A) a motion or response to a motion produced using a computer must not exceed 5,200

words;

(B) a handwritten or typewritten motion or response to a motion must not exceed 20 pages;

(D) a handwritten or typewritten reply to a response must not exceed 10 pages.

(3) Number of Copies. An original and 3 copies must be filed unless the court requires a

different number by local rule or by order in a particular case.

(e) Oral Argument. A motion will be decided without oral argument unless the court orders

otherwise.

Local Rule 27.0. Motions

(a) Assent. Motions will not necessarily be allowed even though assented to.

(b) Emergency Relief. Motions for stay, or other emergency relief, may be denied for failure to

present promptly. Counsel who envisages a possible need for an emergency filing, or

emergency action by the court, or both, during a period when the Clerk's Office is ordinarily

closed should consult with the Clerk's Office at the earliest opportunity. Failure to consult

with the Clerk's Office well in advance of the occasion may preclude such special

arrangements. Although documents may be filed electronically at any time through CM/ECF,

the filer should not expect that the filing will be addressed outside regular business hours

unless the filer contacts the clerk’s office in advance to make special arrangements. The

business hours for the clerk’s office are Mondays through Fridays from 8:30 a.m. to 5:00 p.m.

appellee or sua sponte, the court may dismiss the appeal or other request for relief or affirm

and enforce the judgment or order below if the court lacks jurisdiction, or if it shall clearly

appear that no substantial question is presented. In case of obvious error the court may,

similarly, reverse. Motions for such relief should be promptly filed when the occasion

appears.

(d) Motions Decided by the Clerk. The clerk is authorized to dispose of certain routine,

procedural motions in accordance with the Court’s standing instructions. Any party adversely

affected by the action of the clerk on a motion may promptly move for reconsideration. Unless

the clerk grants reconsideration, the motion for reconsideration will be submitted to a single

judge or panel. See Internal Operating Procedure V(C).

Rule 28.

Briefs

(a) Appellant’s Brief. The appellant’s brief must contain, under appropriate headings and in

the order indicated:

(1) a disclosure statement if required by Rule 26.1;

(2) a table of contents, with page references;

(3) a table of authorities — cases (alphabetically arranged), statutes, and other authorities —

with references to the pages of the brief where they are cited;

(4) a jurisdictional statement, including:

(A) the basis for the district court’s or agency’s subject-matter jurisdiction, with citations

to applicable statutory provisions and stating relevant facts establishing jurisdiction;

(B) the basis for the court of appeals’ jurisdiction, with citations to applicable statutory

provisions and stating relevant facts establishing jurisdiction;

(D) an assertion that the appeal is from a final order or judgment that disposes of all

parties’ claims, or information establishing the court of appeals’ jurisdiction on some

other basis;

(5) a statement of the issues presented for review;

(6) a concise statement of the case setting out the facts relevant to the issues submitted for

review, describing the relevant procedural history, and identifying the rulings presented

for review, with appropriate references to the record (see Rule 28(e));

(7) a summary of the argument, which must contain a succinct, clear, and accurate statement

of the arguments made in the body of the brief, and which must not merely repeat the

argument headings;

(8) the argument, which must contain:

(A) appellant’s contentions and the reasons for them, with citations to the authorities and

parts of the record on which the appellant relies; and

(B) for each issue, a concise statement of the applicable standard of review (which may

appear in the discussion of the issue or under a separate heading placed before the

discussion of the issues);

(9) a short conclusion stating the precise relief sought; and

(10) the certificate of compliance, if required by Rule 32(g)(1).

(b) Appellee’s Brief. The appellee’s brief must conform to the requirements of Rule 28(a)(1)-(8) and

(10), except that none of the following need appear unless the appellee is dissatisfied with the

appellant’s statement:

(1) the jurisdictional statement;

(2) the statement of the issues;

(3) the statement of the case; and

(4) the statement of the standard of review.

permits, no further briefs may be filed. A reply brief must contain a table of contents, with

page references, and a table of authorities — cases (alphabetically arranged), statutes, and

other authorities — with references to the pages of the reply brief where they are cited.

(d) References to Parties. In briefs and at oral argument, counsel should minimize use of the

terms “appellant” and “appellee.” To make briefs clear, counsel should use the parties’ actual

names or the designations used in the lower court or agency proceeding, or such descriptive

terms as “the employee,” “the injured person,” “the taxpayer,” “the ship,” “the stevedore.”

(e) References to the Record. References to the parts of the record contained in the appendix

filed with the appellant’s brief must be to the pages of the appendix. If the appendix is prepared

after the briefs are filed, a party referring to the record must follow one of the methods detailed

in Rule 30(c). If the original record is used under Rule 30(f) and is not consecutively

paginated, or if the brief refers to an unreproduced part of the record, any reference must be

to the page of the original document. For example:

•

Answer p. 7;

•

Motion for Judgment p. 2;

•

Transcript p. 231.

Only clear abbreviations may be used. A party referring to evidence whose admissibility is in

controversy must cite the pages of the appendix or of the transcript at which the evidence was

identified, offered, and received or rejected.

(f) Reproduction of Statutes, Rules, Regulations, etc. If the court’s determination of the issues

presented requires the study of statutes, rules, regulations, etc., the relevant parts must be set

out in the brief or in an addendum at the end, or may be supplied to the court in pamphlet form.

(g) [Reserved]

(h) [Reserved]

(i) Briefs in a Case Involving Multiple Appellants or Appellees. In a case involving more than

one appellant or appellee, including consolidated cases, any number of appellants or appellees

may join in a brief, and any party may adopt by reference a part of another’s brief. Parties may

also join in reply briefs.

(j) Citation of Supplemental Authorities. If pertinent and significant authorities come to a

party’s attention after the party’s brief has been filed — or after oral argument but before

decision — a party may promptly advise the circuit clerk by letter, with a copy to all other

parties, setting forth the citations. The letter must state the reasons for the supplemental

citations, referring either to the page of the brief or to a point argued orally. The body of the

letter must not exceed 350 words. Any response must be made promptly and must be similarly

limited.

Local Rule 28.0. Addendum to Briefs Required

(a) Contents. In addition to the requirements of Fed. R. App. P. 28, for the court’s convenience,

the brief of the appellant must include an addendum containing the following items:

(1) Required. The judgments, decisions, rulings, or orders appealed from, including any

supporting explanation (e.g., a written or transcript opinion), and in addition, where the

district court or agency whose decision is under review was itself reviewing or acting upon

the decision of a lower-level decision-maker, that lower-level decision as well (e.g., a

recommended decision by a magistrate judge or an initial decision by an administrative

law judge).

Note: If the decision appealed from is a text-only entry upon a docket report, a copy of

the relevant entry or page of the docket report should be provided.

(2) Optional, but encouraged. The addendum may also include other items or short excerpts

from the record that are either the subject of an issue on appeal (e.g., disputed jury

instructions or disputed contractual provisions) or necessary for understanding the

specific issues on appeal, up to 25 pages in total. Statutes, rules, regulations, etc. included

as part of the addendum pursuant to Fed. R. App. P. 28(f) do not count towards this page

limit.

(b) Form. The addendum shall be bound at the rear of the appellant’s brief. The addendum must

begin with a table of contents identifying the page at which each part begins.

(1) The appellee’s brief may include such an addendum to incorporate materials omitted from

the appellant’s addendum, subject to the same limitations on length and content.

(2) Material included in the addendum need not be reproduced in the appendix also.

presentence investigation report or statement of reasons in a judgment of criminal conviction

– should not be included in a public addendum. Rather, where sealed items are to be included,

they should be filed in a separate, sealed addendum.

Local Rule 28.1. References in Briefs to Sealed Material

Briefs filed with the court of appeals are a matter of public record. In order to have a brief

sealed, counsel must file a specific and timely motion in compliance with Local Rule 11.0(c)(2)

and (3) asking the court to seal a brief or supplemental brief. Counsel must also comply with Local

Rule 11.0(d), when applicable.

Rule 28.1.

Cross-Appeals

(a) Applicability. This rule applies to a case in which a cross-appeal is filed. Rules 28(a)-(c),

31(a)(1), 32(a)(2), and 32(a)(7)(A)-(B) do not apply to such a case, except as otherwise

provided in this rule.

(b) Designation of Appellant. The party who files a notice of appeal first is the appellant for the

purposes of this rule and Rules 30 and 34. If notices are filed on the same day, the plaintiff in

the proceeding below is the appellant. These designations may be modified by the parties'

agreement or by court order.

In a case involving a cross-appeal:

(1) Appellant's Principal Brief. The appellant must file a principal brief in the appeal. That

brief must comply with Rule 28(a).

(2) Appellee's Principal and Response Brief. The appellee must file a principal brief in the

cross-appeal and must, in the same brief, respond to the principal brief in the appeal. That

appellee's brief must comply with Rule 28(a), except that the brief need not include a

statement of the case unless the appellee is dissatisfied with the appellant's statement.

(3) Appellant's Response and Reply Brief. The appellant must file a brief that responds to

the principal brief in the cross-appeal and may, in the same brief, reply to the response in

the appeal. That brief must comply with Rule 28(a)(2)-(8) and (10), except that none of

the following need appear unless the appellant is dissatisfied with the appellee's statement

in the cross-appeal:

(A) the jurisdictional statement;

(B) the statement of the issues;

(D) the statement of the standard of review.

(4) Appellee's Reply Brief. The appellee may file a brief in reply to the response in the crossappeal. That brief must comply with Rule 28(a)(2)-(3) and (10) and must be limited to the

issues presented by the cross-appeal.

(5) No Further Briefs. Unless the court permits, no further briefs may be filed in a case

involving a cross-appeal.

(d) Cover. Except for filings by unrepresented parties, the cover of the appellant's principal brief

must be blue; the appellee's principal and response brief, red; the appellant's response and

reply brief, yellow; the appellee's reply brief, gray; an intervenor's or amicus curiae's brief,

green; and any supplemental brief, tan. The front cover of a brief must contain the information

required by Rule 32(a)(2).

(e) Length.

(1) Page Limitation. Unless it complies with Rule 28.1(e)(2), the appellant's principal brief

must not exceed 30 pages; the appellee's principal and response brief, 35 pages; the

appellant's response and reply brief, 30 pages; and the appellee's reply brief, 15 pages.

(2) Type-Volume Limitation.

(A) The appellant's principal brief or the appellant's response and reply brief is acceptable

if it:

(i)

contains no more than 13,000 words; or

(ii) uses a monospaced face and contains no more than 1,300 lines of text.

(B) The appellee's principal and response brief is acceptable if it:

(i)

contains no more than 15,300 words; or

(ii) uses a monospaced face and contains no more than 1,500 lines of text.

volume specified in Rule 28.1(e)(2)(A).

(f) Time to Serve and File a Brief. Briefs must be served and filed as follows:

(1) the appellant's principal brief, within 40 days after the record is filed;

(2) the appellee's principal and response brief, within 30 days after the appellant's principal

brief is served;

(3) the appellant's response and reply brief, within 30 days after the appellee's principal and

response brief is served; and

(4) the appellee's reply brief, within 21 days after the appellant's response and reply brief is

served, but at least 7 days before argument unless the court, for good cause, allows a later

filing.

Rule 29.

Brief of an Amicus Curiae

(a) During Initial Consideration of a Case on the Merits.

(1) Applicability. This Rule 29(a) governs amicus filings during a court's initial consideration

of a case on the merits.

(2) When Permitted. The United States or its officer or agency or a state may file an amicus

brief without the consent of the parties or leave of court. Any other amicus curiae may file

a brief only by leave of court or if the brief states that all parties have consented to its

filing, but a court of appeals may prohibit the filing of or may strike an amicus brief that

would result in a judge's disqualification.

(3) Motion for Leave to File. The motion must be accompanied by the proposed brief and

state:

(A) the movant's interest; and

(B) the reason why an amicus brief is desirable and why the matters asserted are relevant

to the disposition of the case.

(4) Contents and Form. An amicus brief must comply with Rule 32. In addition to the

requirements of Rule 32, the cover must identify the party or parties supported and indicate

whether the brief supports affirmance or reversal. An amicus brief need not comply with

Rule 28, but must include the following:

(A) if the amicus curiae is a corporation, a disclosure statement like that required of parties

by Rule 26.1;

(B) a table of contents, with page references;

authorities—with references to the pages of the brief where they are cited;

(D) a concise statement of the identity of the amicus curiae, its interest in the case, and the

source of its authority to file;

(E) unless the amicus curiae is one listed in the first sentence of Rule 29(a)(2), a statement

that indicates whether:

(i)

a party's counsel authored the brief in whole or in part;

(ii) a party or a party's counsel contributed money that was intended to fund preparing

or submitting the brief; and

(iii) a person—other than the amicus curiae, its members, or its counsel—contributed

money that was intended to fund preparing or submitting the brief and, if so,

identifies each such person;

(F) an argument, which may be preceded by a summary and which need not include a

statement of the applicable standard of review; and

(G) a certificate of compliance under Rule 32(g)(1), if length is computed using a word or

line limit.

(5) Length. Except by the court's permission, an amicus brief may be no more than one- half

the maximum length authorized by these rules for a party's principal brief. If the court

grants a party permission to file a longer brief, that extension does not affect the length of

an amicus brief.

(6) Time for Filing. An amicus curiae must file its brief, accompanied by a motion for filing

when necessary, no later than 7 days after the principal brief of the party being supported

is filed. An amicus curiae that does not support either party must file its brief no later than

7 days after the appellant's or petitioner's principal brief is filed. A court may grant leave

for later filing, specifying the time within which an opposing party may answer.

(7) Reply Brief. Except by the court's permission, an amicus curiae may not file a reply brief.

(8) Oral Argument. An amicus curiae may participate in oral argument only with the court’s

permission.

(b) During Consideration of Whether to Grant Rehearing.

(1) Applicability. This Rule 29(b) governs amicus filings during a court's consideration of

whether to grant panel rehearing or rehearing en banc, unless a local rule or order in a case

provides otherwise.

(2) When Permitted. The United States or its officer or agency or a state may file an amicus

brief without the consent of the parties or leave of court. Any other amicus curiae may file

a brief only by leave of court.

(3) Motion for Leave to File. Rule 29(a)(3) applies to a motion for leave.

(4) Contents, Form, and Length. Rule 29(a)(4) applies to the amicus brief. The brief must

not exceed 2,600 words.

(5) Time for Filing. An amicus curiae supporting the petition for rehearing or supporting

neither party must file its brief, accompanied by a motion for filing when necessary, no

later than 7 days after the petition is filed. An amicus curiae opposing the petition must

file its brief, accompanied by a motion for filing when necessary, no later than the date set

by the court for the response.

Rule 30.

Appendix to the Briefs

(a) Appellant’s Responsibility.

(1) Contents of the Appendix. The appellant must prepare and file an appendix to the briefs

containing:

(A) the relevant docket entries in the proceeding below;

(B) the relevant portions of the pleadings, charge, findings, or opinion;

(D) other parts of the record to which the parties wish to direct the court’s attention.

(2) Excluded Material. Memoranda of law in the district court should not be included in the

appendix unless they have independent relevance. Parts of the record may be relied on by

the court or the parties even though not included in the appendix.

(3) Time to File; Number of Copies. Unless filing is deferred under Rule 30(c), the appellant

must file 10 copies of the appendix with the brief and must serve one copy on counsel for

each party separately represented. An unrepresented party proceeding in forma pauperis

must file 4 legible copies with the clerk, and one copy must be served on counsel for each

separately represented party. The court may by local rule or by order in a particular case

require the filing or service of a different number.

(b) All Parties’ Responsibilities.

(1) Determining the Contents of the Appendix. The parties are encouraged to agree on the

contents of the appendix. In the absence of an agreement, the appellant must, within 14

days after the record is filed, serve on the appellee a designation of the parts of the record

the appellant intends to include in the appendix and a statement of the issues the appellant

intends to present for review. The appellee may, within 14 days after receiving the

designation, serve on th

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