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gment 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 10 days after the entry of the order disposing
of the last such remaining motion, or within 10 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 10 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.
(C) A valid notice of appeal is effective—without amendment—
to appeal from an order 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 disRule
5 FEDERAL RULES OF APPELLATE PROCEDURE 6
posing 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.
(c) Appeal by an Inmate Confined in an Institution.
(1) If an inmate confined in an institution 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. If an institution has a system
designed for legal mail, the inmate must use that system to
receive the benefit of this rule. Timely filing may be shown by
a declaration in compliance with 28 U.S.C. § 1746 or by a notarized
statement, either of which must set forth the date of deposit
and state that first-class postage has been prepaid.
(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 30-day 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.
(As amended Apr. 30, 1979, eff. Aug. 1, 1979; Nov. 18, 1988; Apr. 30,
1991, eff. Dec. 1, 1991; Apr. 22, 1993, eff. Dec. 1, 1993; Apr. 27, 1995,
eff. Dec. 1, 1995; Apr. 24, 1998, eff. Dec. 1, 1998; Apr. 29, 2002, eff. Dec.
1, 2002; Apr. 25, 2005, eff. Dec. 1, 2005.)
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
for permission to appeal. The petition must be filed with the
circuit clerk with proof of service 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.
7 FEDERAL RULES OF APPELLATE PROCEDURE Rule 6
(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;
(C) the relief sought;
(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 7 days after the petition is served.
(3) The petition and answer will be submitted without oral
argument unless the court of appeals orders otherwise.
(c) Form of Papers; Number of Copies. All papers must conform
to Rule 32(c)(2). Except by the court’s permission, a paper must
not exceed 20 pages, exclusive of the disclosure statement, the
proof of service, and the accompanying documents required by
Rule 5(b)(1)(E). 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.
(d) Grant of Permission; Fees; Cost Bond; Filing the Record.
(1) Within 10 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).
(As amended Apr. 30, 1979, eff. Aug. 1, 1979; Apr. 29, 1994, eff. Dec.
1, 1994; Apr. 24, 1998, eff. Dec. 1, 1998; Apr. 29, 2002, eff. Dec. 1, 2002.)
[Rule 5.1. Appeal by Leave under 28 U.S.C. § 636(c)(5)] (Abrogated
Apr. 24, 1998, eff. Dec. 1, 1998)
Rule 6. Appeal in a Bankruptcy Case from a Final Judgment,
Order, or Decree of a District Court or Bankruptcy Appellate
Panel
(a) Appeal From a Judgment, Order, or Decree of a District
Court Exercising Original Jurisdiction in a Bankruptcy Case. An
appeal to a court of appeals from a final judgment, order, or decree
of a district court exercising jurisdiction under 28 U.S.C.
§ 1334 is taken as any other civil appeal under these rules.
Rule 6 FEDERAL RULES OF APPELLATE PROCEDURE 8
(b) Appeal From a Judgment, Order, or Decree of a District
Court or Bankruptcy Appellate Panel Exercising Appellate Jurisdiction
in a Bankruptcy Case.
(1) Applicability of Other Rules. These rules apply to an appeal
to a court of appeals under 28 U.S.C. § 158(d) from a final
judgment, order, or decree of a district court or bankruptcy
appellate panel exercising appellate jurisdiction under 28
U.S.C. § 158(a) or (b). But there are 3 exceptions:
(A) Rules 4(a)(4), 4(b), 9, 10, 11, 12(b), 13–20, 22–23, and 24(b)
do not apply;
(B) the reference in Rule 3(c) to ‘‘Form 1 in the Appendix
of Forms’’ must be read as a reference to Form 5; and
(C) when the appeal is from a bankruptcy appellate
panel, the term ‘‘district court,’’ as used in any applicable
rule, means ‘‘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 8015 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) Appellate review of the order disposing of the motion
requires the party, in compliance with Rules 3(c)
and 6(b)(1)(B), to amend a previously filed notice of appeal.
A party intending to challenge an altered or
amended judgment, order, or decree must file a notice
of appeal or amended notice of appeal 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 10 days after filing the notice of appeal,
the appellant must file with the clerk possessing the
record assembled in accordance with Bankruptcy Rule
8006—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 sent to the circuit clerk.
(ii) An appellee who believes that other parts of the
record are necessary must, within 10 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).
9 FEDERAL RULES OF APPELLATE PROCEDURE Rule 8
(C) Forwarding the record.
(i) When the record is complete, the district clerk or
bankruptcy appellate panel 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 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.
(ii) All parties must do whatever else is necessary to
enable the clerk to assemble and forward the record.
The court of appeals may provide by rule or order that
a certified copy of the docket entries be sent in place
of the redesignated record, but any party may request
at any time during the pendency of the appeal that the
redesignated record be sent.
(D) Filing the record. Upon receiving the record—or a
certified copy of the docket entries sent in place of the redesignated
record—the circuit clerk must file it and immediately
notify all parties of the filing date.
(As amended Apr. 30, 1979, eff. Aug. 1, 1979; Apr. 25, 1989, eff. Dec.
1, 1989; Apr. 30, 1991, eff. Dec. 1, 1991; Apr. 22, 1993, eff. Dec. 1, 1993;
Apr. 24, 1998, eff. Dec. 1, 1998.)
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.
(As amended Apr. 30, 1979, eff. Aug. 1, 1979; Apr. 24, 1998, eff. Dec.
1, 1998.)
Rule 8. Stay or Injunction Pending Appeal
(a) Motion for Stay.
(1) Initial Motion in the District Court. A party must ordinarily
move first in the district court for the following relief:
(A) a stay of the judgment or order of a district court
pending appeal;
(B) approval of a supersedeas bond; or
(C) an order suspending, modifying, restoring, or granting
an injunction while an appeal 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 reRule
9 FEDERAL RULES OF APPELLATE PROCEDURE 10
lief 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.
(C) The moving party must give reasonable notice of the
motion to all parties.
(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 appropriate security in the district court.
(b) Proceeding Against a Surety. If a party gives security in the
form of a bond or stipulation or other undertaking with one or
more sureties, each surety submits to the jurisdiction of the district
court and irrevocably appoints the district clerk as the surety’s
agent on whom any papers affecting the surety’s liability on
the bond or undertaking may be served. On motion, a surety’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 mail a copy to each surety whose address is
known.
(c) Stay in a Criminal Case. Rule 38 of the Federal Rules of
Criminal Procedure governs a stay in a criminal case.
(As amended Mar. 10, 1986, eff. July 1, 1986; Apr. 27, 1995, eff. Dec.
1, 1995; Apr. 24, 1998, eff. Dec. 1, 1998.)
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
11 FEDERAL RULES OF APPELLATE PROCEDURE Rule 10
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.
(c) Criteria for Release. The court must make its decision regarding
release in accordance with the applicable provisions of 18
U.S.C. §§ 3142, 3143, and 3145(c).
(As amended Apr. 24, 1972, eff. Oct. 1, 1972; Oct. 12, 1984; Apr. 29,
1994, eff. Dec. 1, 1994; Apr. 24, 1998, eff. Dec. 1, 1998.)
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 th
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