PRACTITIONER'S GUIDE TO THE UNITED STATES COURT OF APPEALS FOR THE TENTH ...

125 Pages·2017·0.5 MB·English

PRACTITIONER’S GUIDE
TO THE
UNITED STATES COURT OF APPEALS
FOR THE
TENTH CIRCUIT
__________

NINTH REVISION
January 2018
(Tenth Circuit Rules effective Jan. 1, 2017)
__________

Distributed by:
OFFICE OF THE CLERK
UNITED STATES COURT OF APPEALS
FOR THE TENTH CIRCUIT
BYRON WHITE UNITED STATES COURTHOUSE
1823 STOUT STREET
DENVER, COLORADO 80257
www.ca10.uscourts.gov
JUDGES AND OFFICERS
UNITED STATES COURT OF APPEALS
TENTH CIRCUIT
__________
CIRCUIT JUSTICE:
Sonia M. Sotomayor Washington, D.C.
__________
CIRCUIT JUDGES:
Timothy M. Tymkovich, Chief Judge Denver, Colorado
Paul J. Kelly, Jr. Santa Fe, New Mexico
Mary Beck Briscoe Lawrence, Kansas
Carlos F. Lucero Denver, Colorado
Harris L Hartz Albuquerque, New Mexico
Jerome A. Holmes Oklahoma City, Oklahoma
Scott M. Matheson, Jr. Salt Lake City, Utah
Robert E. Bacharach Oklahoma City, Oklahoma
Gregory A. Phillips Cheyenne, Wyoming
Carolyn B. McHugh Salt Lake City, Utah
Nancy L. Moritz Topeka, Kansas

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SENIOR CIRCUIT JUDGES:
Monroe G. McKay Salt Lake City, Utah
Stephanie K. Seymour Tulsa, Oklahoma
Bobby R. Baldock Roswell, New Mexico
David M. Ebel Denver, Colorado
Michael R. Murphy Salt Lake City, Utah
Terrence L. O’Brien Cheyenne, Wyoming
__________

CIRCUIT EXECUTIVE:
Circuit Executive: David Tighe
Deputy Circuit Executive: Leslee Fathallah

CLERK:
Clerk: Elisabeth A. Shumaker
Chief Deputy Clerk: Chris Wolpert
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CHIEF STAFF COUNSEL:
Chief Staff Counsel: Niki Esmay Heller
Supervising Staff Counsel: Sara H. Sanford

LIBRARIAN:
Acting Circuit Librarian: Diane Bauersfeld
Deputy Circuit Librarian: Diane Bauersfeld

CIRCUIT MEDIATION OFFICE:
Chief Circuit Mediator: David W. Aemmer
Circuit Mediator: Kyle Ann Schultz
__________

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TABLE OF CONTENTS
I. TO APPEAL OR NOT TO APPEAL ....................................................................... 10
A. Duration of Appeal. ........................................................................................... 10
B. Chances of Success. ............................................................................................ 10
C. Sanctions for Meritless Appeals. ...................................................................... 10
II. INITIATING A PROCEEDING ............................................................................... 12
A. Jurisdiction. ........................................................................................................ 12
B. Appeals from District Courts. ............................................................................... 12
1. Time for Filing Notice of Appeal ................................................................... 13
2. Calculation of Time. ....................................................................................... 14
3. Fees. .................................................................................................................. 16
4. Bond for Costs on Appeal in Civil Cases. ..................................................... 16
C. Appeals from Judgments Entered by Magistrates in Civil Cases. ................ 16
D. Appeals by Permission from Interlocutory Orders. ....................................... 17
1. Requesting Permission to Appeal. ................................................................. 17
2. Time for Filing. ............................................................................................... 17
3. Processing the Petition and Answer. ............................................................. 17
4. Granting of Permission. ................................................................................. 18
E. Review of Decisions of the United States Tax Court. ..................................... 18
1. Time for Filing. .............................................................................................. 18
2. Tolling of Time for Filing a Notice of Appeal. ............................................. 18
F. Review or Enforcement of Agency Orders. ..................................................... 20
1. Time for Filing Petition or Application. ....................................................... 20
2. Contents and Number of Copies of Petition for Review and Application
for Enforcement. ...................................................................................................... 21
G. Original Proceedings. ........................................................................................ 22
1. Time for Filing a Petition. .............................................................................. 22
2. Contents of the Petition. ................................................................................. 22
3. Further Proceedings. ...................................................................................... 22
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III. DOCKETING STATEMENT ................................................................................ 24
A. Appeals from District Courts. ........................................................................... 24
1. Form and Content of Docketing Statement. ................................................ 24
2. Filing and Service. .......................................................................................... 25
3. Appeals by Permission from Interlocutory Order. ..................................... 25
B. Review of Decisions of the United States Tax Court and Review or
Enforcement of Agency Orders. ................................................................................. 25
IV. RECORDS AND APPENDICES ............................................................................ 26
A. Appendices. ......................................................................................................... 26
Please note a Briefing and Appendix Checklist, effective February 26, 2015, is
posted on the court’s website. It includes information about the new electronic
appendix requirement. ............................................................................................ 27
1. Form of the Appendix (electronic version) .................................................. 27
2. Form of the Appendix (hard copy). .............................................................. 27
3. Sealed Documents. .......................................................................................... 28
4. Exhibits. ........................................................................................................... 28
5. Appellee’s Appendix. ...................................................................................... 29
6. Exemptions. ..................................................................................................... 29
B. Record on Appeal. .............................................................................................. 30
1. Transcripts. ..................................................................................................... 30
2. Designation of Record. ................................................................................... 32
3. Transmission of Record. ................................................................................ 34
4. Correction and Modification of the Record. ................................................ 34
5. Agreed Statement as Record. ........................................................................ 34
C. Record in Appeals from the United States Tax Court. .................................. 34
D. Record on Review or Enforcement of Agency Orders. .................................. 35
V. CIRCUIT MEDIATION OFFICE ........................................................................... 36
A. Cases Scheduled for Mediation Conferences. ................................................. 36
1. Initiated by the Circuit Mediation Office. .................................................... 36
2. Initiated at a Party’s Request. ....................................................................... 36
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B. Mediation Conference. ...................................................................................... 36
C. Preparation for the Conference. ....................................................................... 37
D. Mandatory Participation – Voluntary Settlement. ......................................... 37
E. Confidentiality. ................................................................................................... 38
VI. WRITING A BRIEF ................................................................................................. 39
Please note a Briefing and Appendix Checklist, effective February 26, 2015, is
posted on the court’s website. ................................................................................. 39
A. Formal Requirements as to Content. ............................................................... 39
1. Principal Briefs. .............................................................................................. 39
2. Additional Briefs. ............................................................................................ 41
3. Cross-Appeals. ................................................................................................ 41
4. Designation of Parties. .................................................................................... 41
5. Joint Briefing. .................................................................................................. 42
6. Amicus Briefs. ................................................................................................. 42
B. Length and Form. .............................................................................................. 42
1. Word Limitations. .......................................................................................... 42
2. Covers, Page Size, Type Style and Spacing. ................................................. 42
3. Form of Citation. ............................................................................................ 43
4. Addendum. ...................................................................................................... 43
C. Other Writing Suggestions. ............................................................................... 43
D. Sample Brief. ...................................................................................................... 46
E. Opening Brief Checklist. ................................................................................... 46
VII. FILING AND SERVING BRIEFS......................................................................... 49
A. Time for Filing. ................................................................................................... 49
1. Appellant’s Opening Brief in Appeals from District Courts. ..................... 49
2. Tax Court Appeals and Agency Review Proceedings. ................................ 50
3. Answer Briefs. ................................................................................................. 50
4. Reply Briefs. .................................................................................................... 50
5. Cross-Appeals. ................................................................................................ 50
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B. Calculation of Time. ........................................................................................... 50
C. Extensions of Time. ............................................................................................ 51
D. Copies to be Filed and Served. .......................................................................... 51
VIII. ORAL ARGUMENT ............................................................................................. 51
A. Panel Arguments and Panel Composition. ...................................................... 51
B. Calendaring. ....................................................................................................... 52
C. Time and Attendance. ........................................................................................ 53
1. Time for Argument. ........................................................................................ 53
2. Attendance of Counsel. ................................................................................... 53
3. Postponement. ................................................................................................. 53
D. Preparation and Presentation. .......................................................................... 53
1. Preparation for Argument. ............................................................................ 53
2. Presentation of Oral Argument. .................................................................... 55
E. Video Conference. .............................................................................................. 59
IX. DECISION – MANDATE – COSTS ...................................................................... 62
A. Deciding the Appeal. .......................................................................................... 62
B. Mandate. ............................................................................................................. 63
1. Issuance. ........................................................................................................... 63
2. Stay Pending Application for Certiorari. ..................................................... 63
3. Petition for Writ of Certiorari. ...................................................................... 64
C. Costs. ................................................................................................................... 64
X. PETITIONS FOR REHEARING – EN BANC PROCEDURE ............................ 65
A. Petitions for Rehearing. ..................................................................................... 65
1. Time for Filing. ............................................................................................... 65
2. Form and Disposition. .................................................................................... 65
3. Frivolous Petitions – Sanctions. ..................................................................... 65
4. Petitions for Rehearing not Prerequisite to Certiorari. .............................. 66
B. En Banc Procedure. ........................................................................................... 66
1. Petitions for Rehearing En Banc. .................................................................. 66
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2. Filing Requirements. ...................................................................................... 66
3. Defective Petitions. .......................................................................................... 67
4. Matters Not Subject to En Banc Consideration. ......................................... 67
5. Processing an Application. ............................................................................. 67
6. If Rehearing En Banc Granted...................................................................... 68
XI. STAY OR INJUNCTION PENDING APPEAL ................................................... 68
A. Jurisdiction. ........................................................................................................ 69
B. Fees. ..................................................................................................................... 69
C. Content of Motion and Supporting Papers. .................................................... 69
D. Filing and Service. .............................................................................................. 69
F. Disposition........................................................................................................... 70
XII. RELEASE IN CRIMINAL CASES ...................................................................... 71
A. Tenth Circuit Requirements. ............................................................................ 71
1. Docketing Statement. ...................................................................................... 71
2. Preliminary Record. ....................................................................................... 71
3. Memorandum or Brief with Appendix. ........................................................ 72
B. Disposition........................................................................................................... 72
XIII. HABEAS CORPUS PROCEEDINGS ................................................................ 73
A. Application for Writ. ......................................................................................... 73
B. Certificate of Appealability. .............................................................................. 73
C. Special Procedures in Death Penalty Cases. .................................................... 73
1. Notification of District Court Action. ........................................................... 73
2. Lodging of Papers Prior to Appeal. .............................................................. 74
D. Antiterrorism and Effective Death Penalty Act. ............................................. 74
XIV. MOTIONS............................................................................................................... 75
A. Relief Sought. ...................................................................................................... 75
1. Prohibited Relief. ............................................................................................ 75
2. Restricted Relief. ............................................................................................. 75
B. Contents of Motions. .......................................................................................... 75
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C. Responses. ........................................................................................................... 76
D. Form and Service. .............................................................................................. 76
E. Disposition........................................................................................................... 76
XV. RESPONSIBILITIES OF COUNSEL .................................................................. 77
A. Admission to Practice. ....................................................................................... 77
B. Appearance by Counsel or Parties. .................................................................. 77
1. Entry of Appearance. ..................................................................................... 77
2. Consequences of Appearance. ....................................................................... 78
3. Continuance of Representation in Criminal and Post-Conviction Cases. 79
C. Withdrawal and Dismissal. ............................................................................... 79
1. Withdrawal of Counsel. ................................................................................. 79
2. Frivolous Appeals. .......................................................................................... 80
3. Dismissal of Appeal. ....................................................................................... 80
D. Suspension, Disbarment, and Discipline. ......................................................... 81
1. Effect of Suspension or Disbarment by Another Court. ............................. 81
2. Discipline for Practice in this Court. ............................................................ 81
XVI. JUDICIAL MISCONDUCT COMPLAINT PROCEDURE ............................ 81
Appendices ....................................................................................................................... 84
Appendix A – Sample Brief
Appendix B – CJA Advice to Counsel Letter
Appendix C – Helpful Links

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