FEDERAL RULES OF APPELLATE PROCEDURE NINTH CIRCUIT RULES CIRCUIT ADVISORY COMMITTEE NOTES 1 December 2022 PREAMBLE PREAMBLE These local rules of the United States Court of Appeals for the Ninth Circuit are promulgated under the authority of Fed. R. App. P. 2 and 47. -ii- TABLE OF CONTENTS TABLE OF CONTENTS Preamble ......................................................................................................................................... ii Judges of the United States Court of Appeals for the Ninth Circuit .............................................. xi Foreword ....................................................................................................................................... xv Court Structure and Procedures ................................................................................................... xvi TITLE I. Applicability of Rules ................................................................................................... 1 FRAP 1. Scope of Rules; Definition; Title .................................................................................. 1 Circuit Rule 1-1. Title ............................................................................................................... 1 Circuit Rule 1-2. Scope of Circuit Rules .................................................................................. 1 FRAP 2. Suspension of Rules ....................................................................................................... 2 TITLE II. Appeal from a Judgment or Order of a District Court........................................... 3 FRAP 3. Appeal as of Right—How Taken ................................................................................. 3 Circuit Rule 3-1. Filing the Appeal........................................................................................... 5 Circuit Rule 3-2. Representation Statement.............................................................................. 5 Circuit Advisory Committee Note to Rule 3-2 .......................................................................... 6 Circuit Rule 3-3. Preliminary Injunction Appeals .................................................................... 6 Circuit Rule 3-4. Mediation Questionnaire ............................................................................... 7 Circuit Rule 3-5. Procedure for Recalcitrant Witness Appeals ................................................ 7 Circuit Advisory Committee Note to Rule 3-5 .......................................................................... 8 Circuit Rule 3-6. Summary Disposition of Civil Appeals ........................................................ 8 FRAP 3.1. Appeal from a Judgment of a Magistrate Judge in a Civil Case ......................... 10 FRAP 4. Appeal as of Right—When Taken ............................................................................. 11 Circuit Rule 4-1. Counsel in Criminal Appeals ...................................................................... 16 FRAP 5. Appeal by Permission.................................................................................................. 20 Circuit Rule 5-1. Civil Appeals Docketing Statement in Appeals by Permission Under FRAP 5............................................................................................................................................... 21 Circuit Rule 5-2. Number of Copies and Length .................................................................... 21 FRAP 5.1. Appeal by Leave under 28 U.S.C. § 636(c)(5) ........................................................ 23 FRAP 6. Appeal in a Bankruptcy Case ..................................................................................... 24 Circuit Rule 6-1. Appeals from Final Decisions of the Supreme Court of the Commonwealth of the Northern Mariana Islands ............................................................................................. 27 Circuit Advisory Committee Note to Rule 6-1 ........................................................................ 27 TABLE OF CONTENTS Circuit Rule 6-2. Petition for Writ of Certiorari to Review Final Decisions of the Supreme Court of Guam ........................................................................................................................ 27 Circuit Advisory Committee Note to Rule 6-2(b) and (c) ....................................................... 27 FRAP 7. Bond for Costs on Appeal in a Civil Case ................................................................. 28 FRAP 8. Stay or Injunction Pending Appeal ........................................................................... 29 FRAP 9. Release in a Criminal Case ......................................................................................... 31 Circuit Rule 9-1. Release in Criminal Cases .......................................................................... 31 FRAP 10. The Record on Appeal .............................................................................................. 33 Circuit Rule 10-1. Notice of Filing Appeal ............................................................................ 35 Circuit Rule 10-2. Contents of the Record on Appeal ............................................................ 35 Circuit Rule 10-3. Ordering the Reporter’s Transcript ........................................................... 35 Circuit Advisory Committee Note to Rule 10-3 ...................................................................... 38 FRAP 11. Forwarding the Record ............................................................................................. 39 Circuit Rule 11-1. Filing the Reporter’s Transcript ................................................................ 40 Circuit Advisory Committee Note to Rule 11-1.2 ................................................................... 41 Circuit Rule 11-2. The Certificate of Record .......................................................................... 41 Circuit Rule 11-3. Retention of the Transcript and Clerk’s Record in the District Court During Preparation of the Briefs ............................................................................................. 42 Circuit Rule 11-4. Retention of Physical Exhibits in the District Court, Transmittal of Clerk’s Record on Request .................................................................................................................. 42 Circuit Rule 11-5. Transmittal of the Clerk’s Record and Reporter’s Transcript and Exhibits in all Other Cases .................................................................................................................... 43 Circuit Rule 11-6. Preparation of the Clerk’s Record for Transmittal ................................... 43 FRAP 12. Docketing the Appeal; Filing a Representation Statement; Filing the Record ... 44 FRAP 12.1. Remand After an Indicative Ruling by the District Court on a Motion for Relief That Is Barred by a Pending Appeal.............................................................................. 45 Circuit Rule 12-1. Notice of Emergency Motions in Capital Cases ....................................... 45 Circuit Rule 12-2. Representation Statement.......................................................................... 45 TITLE III. Appeals from the United States Tax Court .......................................................... 46 FRAP 13. Appeals from the Tax Court .................................................................................... 46 Circuit Rule 13-1. Filing Notice of Appeal in Tax Court Cases ............................................. 47 Circuit Rule 13-2. Excerpts of Record in Tax Court Cases .................................................... 47 Circuit Rule 13-3. Transmission of the Record in Tax Court Cases ...................................... 47 FRAP 14. Applicability of Other Rules to Appeals from the Tax Court ............................... 48 -iv- TABLE OF CONTENTS Circuit Rule 14-1. Applicability of Other Rules to Review Decisions of the Tax Court ....... 48 TITLE IV. Review of Enforcement of an Order of an Administrative Agency, Board, Commission, or Officer .............................................................................................................. 49 FRAP 15. Review or Enforcement of an Agency Order—How Obtained; Intervention ..... 49 Circuit Rule 15-1. Review or Enforcement of Agency Orders ............................................... 50 Circuit Rule 15-2. Mediation Questionnaire in Agency Cases ............................................... 50 Circuit Advisory Committee Note to Rule 15-2 ...................................................................... 51 Circuit Rule 15-3. Procedures for Review Under the Pacific Northwest Electric Power Planning and Conservation Act .............................................................................................. 51 Circuit Advisory Committee Note to Rule 15-3 ...................................................................... 52 Circuit Rule 15-4. Petitions for Review of Board of Immigration Appeals Decisions .......... 53 FRAP 15.1. Briefs and Oral Argument in a National Labor Relations Board Proceeding . 54 FRAP 16. The Record on Review or Enforcement .................................................................. 55 FRAP 17. Filing the Record ....................................................................................................... 56 Circuit Rule 17-1. Excerpts of Record on Review or Enforcement of Agency Orders .......... 57 Circuit Rule 17-2. Sanctions for Failure to Comply with Circuit Rule 17-1 .......................... 57 FRAP 18. Stay Pending Review ................................................................................................. 58 FRAP 19. Settlement of a Judgment Enforcing an Agency Order in Part ............................ 59 FRAP 20. Applicability of Rules to the Review or Enforcement of an Agency Order ......... 60 Circuit Rule 20-1. Applicability of Other Rules to Review of Agency Decisions ................. 60 TITLE V. Extraordinary Writs ................................................................................................. 61 FRAP 21. Writs of Mandamus and Prohibition, and Other Extraordinary Writs .............. 61 Circuit Rule 21-1. Extraordinary Writs .................................................................................. 62 Circuit Rule 21-2. Format of Extraordinary Writs and Answers; Number of Copies; Length62 Circuit Rule 21-3. Certificate of Interested Parties ................................................................. 63 Circuit Rule 21-4. Answers to Petitions ................................................................................. 63 Circuit Advisory Committee Note to Rules 21-1 to 21-4 ....................................................... 64 Circuit Rule 21-5. Petition for Writ of Mandamus Pursuant to 18 U.S.C. § 3771(d)(3) ........ 64 Circuit Advisory Committee Note to Rule 21-5 ...................................................................... 64 TITLE VI. Habeas Corpus; Proceedings In Forma Pauperis ................................................ 65 FRAP 22. Habeas Corpus and Section 2255 Proceedings ....................................................... 65 Circuit Rule 22-1. Certificate of Appealability (COA) .......................................................... 65 -v- TABLE OF CONTENTS Circuit Advisory Committee Note to Rule 22-1 ...................................................................... 67 Circuit Rule 22-2. Direct Criminal Appeals, First Petitions, and Stays of Execution: Capital Cases ....................................................................................................................................... 67 Circuit Rule 22-3. Applications for Authorization to File Second or Successive 28 U.S.C. § 2254 Petition or § 2255 Motion - All Cases; Stay of Execution - Capital Cases ................... 69 Circuit Advisory Committee Note to Rule 22-3 ...................................................................... 70 Circuit Rule 22-4. Appeals from Authorized Second or Successive 2254 Petitions or 2255 Motions in Capital Cases ........................................................................................................ 70 Circuit Advisory Committee Note to Rule 22-4 ...................................................................... 72 Circuit Rule 22-5. Subsequent Petitions or Motions; Related Civil Proceedings................... 73 Circuit Rule 22-6. Rules Applicable to all Death Penalty Cases ............................................ 73 FRAP 23. Custody or Release of a Prisoner in a Habeas Corpus Proceeding ...................... 74 Circuit Rule 23-1. Custody of Federal Prisoners Pending Appeals in Proceedings to Vacate Sentence .................................................................................................................................. 75 FRAP 24. Proceeding in Forma Pauperis ................................................................................. 76 Circuit Rule 24-1. Excerpts of Record Waiver ....................................................................... 77 TITLE VII. General Provisions ................................................................................................. 78 FRAP 25. Filing and Service ...................................................................................................... 78 Circuit Rule 25-1. Principal Office of Clerk ........................................................................... 81 Circuit Rule 25-2. Communications to the Court ................................................................... 81 Circuit Advisory Committee Note to Rule 25-2 ...................................................................... 81 Circuit Rule 25-3. Facsimile and E-Mail Filing ..................................................................... 82 Circuit Rule 25-4. Calendared Cases ...................................................................................... 83 Circuit Rule 25-5. Electronic Filing........................................................................................ 83 Circuit Advisory Committee Note to Rule 25-5 ...................................................................... 85 FRAP 26. Computing and Extending Time .............................................................................. 86 Circuit Rule 26-1. Filing Deadlines for the Districts of Guam and the Northern Mariana Islands ..................................................................................................................................... 88 Circuit Rule 26-2. Three Day Service Allowance .................................................................. 88 FRAP 26.1. Disclosure Statement .............................................................................................. 89 FRAP 27. Motions ....................................................................................................................... 90 Circuit Rule 27-1. Filing of Motions ...................................................................................... 92 Circuit Advisory Committee Note to Rule 27-1 ...................................................................... 93 Circuit Rule 27-2. Motions for Stays Pending Appeal ........................................................... 94 -vi- TABLE OF CONTENTS Circuit Rule 27-3. Emergency Motions .................................................................................. 95 Circuit Advisory Committee Note to Rule 27-3 ...................................................................... 95 Circuit Rule 27-4. Emergency Criminal Interlocutory Appeals ............................................. 96 Circuit Rule 27-5. Emergency Motions for Stay of Execution of Sentence of Death ............ 96 Circuit Rule 27-6. No Oral Argument Unless Otherwise Ordered ......................................... 97 Circuit Rule 27-7. Delegation of Authority to Act on Motions .............................................. 97 Circuit Advisory Committee Note to Rule 27-7 ...................................................................... 97 Circuit Rule 27-8. Required Recitals in Criminal and Immigration Cases ............................. 97 Circuit Rule 27-9. Motions to Dismiss Criminal Appeals ...................................................... 98 Circuit Rule 27-10. Motions for Reconsideration ................................................................... 98 Circuit Advisory Committee Note to Rule 27-10 .................................................................... 99 Circuit Rule 27-11. Motions; Effect on Schedule ................................................................... 99 Circuit Rule 27-12. Motions to Expedite .............................................................................. 100 Circuit Rule 27-13. Sealed Documents ................................................................................. 100 Circuit Advisory Committee Note to Rule 27-13 .................................................................. 103 Circuit Rule 27-14. Motions to Transmit Physical and Documentary Exhibits ................... 104 Circuit Advisory Committee Note to Rule 27-14 .................................................................. 104 FRAP 28. Briefs ......................................................................................................................... 105 Circuit Rule 28-1. Briefs, Applicable Rules ......................................................................... 107 Circuit Advisory Committee Note to Rule 28-1 .................................................................... 107 Circuit Rule 28-2. Contents of Briefs ................................................................................... 108 Circuit Advisory Committee Note to Rule 28-2.6 ................................................................. 109 Circuit Advisory Committee Note to Rule 28-2.7 ................................................................. 110 Circuit Advisory Committee Note to Rule 28-2.8 ................................................................. 110 Circuit Rule 28-3. Length of Briefs; Motions to Exceed Page Limits.................................. 110 Circuit Rule 28-4. Extensions of Time and Enlargements of Size for Consolidated and Joint Briefing ................................................................................................................................. 110 Circuit Rule 28-5. Multiple Briefs ........................................................................................ 111 Circuit Rule 28-6. Citation of Supplemental Authorities ..................................................... 111 Circuit Advisory Committee Note to Rule 28-6 .................................................................... 111 FRAP 28.1. Cross-Appeals ....................................................................................................... 112 Circuit Rule 28.1-1. Sequence, Content, Form, and Length of Cross-Appeal Briefs; Certificate of Compliance ..................................................................................................... 114 FRAP 29. Brief of an Amicus Curiae ...................................................................................... 115 -vii- TABLE OF CONTENTS Circuit Rule 29-1. Reply Brief of an Amicus Curiae ............................................................ 117 Circuit Advisory Committee Note to Rule 29-1 .................................................................... 117 Circuit Rule 29-2. Brief Amicus Curiae Submitted to Support or Oppose a Petition for Panel or En Banc Rehearing or During the Pendency of Rehearing .............................................. 117 Circuit Advisory Committee Note to Rule 29-2 .................................................................... 119 Circuit Rule 29-3. Motions for Leave to File Amicus Curiae Briefs .................................... 119 Circuit Advisory Committee Note to Rule 29-3 .................................................................... 119 FRAP 30. Appendix to the Briefs ............................................................................................ 120 Circuit Rule 30-1. The Excerpts of Record .......................................................................... 122 Circuit Rule 30-2. Sanctions for Failure to Comply with Circuit Rule 30-1 ........................ 127 Circuit Rule 30-3. Prisoner Appeals Without Representation by Counsel ........................... 127 FRAP 31. Serving and Filing Briefs ........................................................................................ 128 Circuit Rule 31-1. Number of Briefs .................................................................................... 128 Circuit Rule 31-2. Time for Service and Filing .................................................................... 129 Circuit Advisory Committee Note to Rule 31-2.2 ................................................................. 130 FRAP 32. Form of Briefs, Appendices, and Other Papers.................................................... 132 Circuit Rule 32. Form of Brief .............................................................................................. 134 Circuit Rule 32-1. Length and Form of Briefs, Certificate of Compliance .......................... 135 Circuit Advisory Committee Note to Rule 32-1 .................................................................... 135 Circuit Rule 32-2. Requests to Exceed the Page or Type-Volume Limits ........................... 136 Circuit Advisory Committee Note to Rule 32-2 .................................................................... 136 Circuit Rule 32-3. Page/Word Count Conversion Formula for Briefs and Other Documents ............................................................................................................................................... 137 Circuit Rule 32-4. Briefs and Excerpts of Record in Capital Cases ..................................... 137 Circuit Rule 32-5. Unrepresented Litigants .......................................................................... 138 FRAP 32.1. Citing Judicial Dispositions ................................................................................. 138 FRAP 33. Appeal Conferences ................................................................................................. 139 Circuit Rule 33-1. Circuit Mediation Office ......................................................................... 139 Circuit Advisory Committee Note to Rule 33-1 .................................................................... 140 FRAP 34. Oral Argument ........................................................................................................ 142 Circuit Rule 34-1. Place of Hearing ...................................................................................... 143 Circuit Rule 34-2. Change of Time or Place of Hearing ...................................................... 143 Circuit Rule 34-3. Priority Cases .......................................................................................... 143 Circuit Rule 34-4. Classes of Cases to be Submitted Without Oral Argument .................... 144 -viii- TABLE OF CONTENTS Circuit Advisory Committee Note to Rules 34‑1 to 34‑3 ..................................................... 144 FRAP 35. En Banc Determination .......................................................................................... 145 Circuit Rule 35-1. Petition for Rehearing En Banc .............................................................. 146 Circuit Rule 35-2. Opportunity to Respond .......................................................................... 146 Circuit Rule 35-3. Limited En Banc Court ........................................................................... 146 Circuit Advisory Committee Note to Rules 35‑1 to 35‑3 ..................................................... 147 Circuit Rule 35-4. Format; Number of Copies ..................................................................... 148 FRAP 36. Entry of Judgment; Notice ..................................................................................... 149 Circuit Rule 36-1. Opinions, Memoranda, Orders; Publication ........................................... 149 Circuit Rule 36-2. Criteria for Publication ........................................................................... 149 Circuit Rule 36-3. Citation of Unpublished Dispositions or Orders ..................................... 150 Circuit Rule 36-4. Request for Publication ........................................................................... 151 Circuit Rule 36-5. Orders for Publication ............................................................................. 151 Circuit Rule 36-6. Periodic Notice to Publishing Companies .............................................. 151 Circuit Advisory Committee Note to Rules 36‑1 to 36‑5 ..................................................... 151 FRAP 37. Interest on Judgment .............................................................................................. 152 FRAP 38. Frivolous Appeal—Damages and Costs ................................................................ 152 FRAP 39. Costs.......................................................................................................................... 153 Circuit Rule 39-1. Costs and Attorneys Fees on Appeal ...................................................... 154 Circuit Advisory Committee Note to Rule 39-1.6 ................................................................. 155 Circuit Rule 39-2. Attorneys Fees and Expenses Under the Equal Access to Justice Act ... 156 FRAP 40. Petition for Panel Rehearing .................................................................................. 157 Circuit Rule 40-1. Format; Number of Copies ..................................................................... 158 Circuit Advisory Committee Note to Rule 40-1 .................................................................... 158 Circuit Rule 40-2. Publication of Previously Unpublished Disposition ............................... 159 FRAP 41. Mandate: Contents; Issuance and Effective Date; Stay ...................................... 160 Circuit Rule 41-1. Stay of Mandate ...................................................................................... 161 Circuit Advisory Committee Note to Rule 41-1 .................................................................... 161 Circuit Rule 41-2. Timing of Mandate ................................................................................. 161 FRAP 42. Voluntary Dismissal ................................................................................................ 162 Circuit Rule 42-1. Dismissal for Failure to Prosecute .......................................................... 162 Circuit Rule 42-2. Termination of Bail Following Dismissal............................................... 162 FRAP 43. Substitution of Parties ............................................................................................. 164 -ix- TABLE OF CONTENTS FRAP 44. Cases Involving a Constitutional Question When the United States or the Relevant State is not a Party .................................................................................................... 165 FRAP 45. Clerk’s Duties .......................................................................................................... 166 FRAP 46. Attorneys .................................................................................................................. 168 Circuit Rule 46-1. Attorneys ................................................................................................. 169 Circuit Rule 46-2. Attorney Suspension, Disbarment or Other Discipline........................... 169 Circuit Advisory Committee Note to Rule 46-2 .................................................................... 170 Circuit Rule 46-3. Change of Address .................................................................................. 171 Circuit Rule 46-4. Participation of Law Students ................................................................. 171 Circuit Rule 46-5. Restrictions on Practice by Former Court Employees ............................ 171 Circuit Advisory Committee Note to Rule 46-5 .................................................................... 172 FRAP 47. Local Rules by Courts of Appeals .......................................................................... 173 Circuit Rule 47-1. Effective Date of Rules ........................................................................... 173 Circuit Advisory Committee Note to Rule 47-1 .................................................................... 173 Circuit Rule 47-2. Advisory Committee on Rules ................................................................ 174 FRAP 48. Masters ..................................................................................................................... 175 -x-