Detailed Contents Contributing Authors... v Acknowledgments... ix Preface to the Second Edition... xi Authors Biographical Sketches... xv Introduction... xxi Summary Contents... xxix 1 Preserving Issues for Appeal... 1 1.1 Introduction... 2 1.2 Practice Pointers... 3 (a) Resolving Doubts About Whether to Preserve an Issue for Appeal... 3 (b) Developing an Appellate Record... 4 (1) Ensuring That Rulings Are Made on the Record... 4 (2) Ensuring That Documents and Other Evidence Are Properly Entered Into the Record... 5 (c) Designating a Member of the Trial Team to Ensure Preservation... 6 (d) Anticipating and Precipitating Changes in the Law... 7 (e) General Requirements for Issue Preservation... 8 1.3 Pretrial Preservation Measures... 10 (a) Issues That Must Be Raised in a Preliminary Motion Rule 12... 11 (b) Preserving Issues Raised in a Motion for Summary Judgment... 11 (c) Motions In Limine... 13 (d) Offers of Judgment... 15 1.4 Error Preservation During the Trial... 15 (a) Preserving Evidentiary Objections Rule 103 and Offers of Proof... 16 xxxi
xxxii Federal Appellate Practice (b) Objections and Exceptions Rule 46... 18 (c) Preserving Motions for Judgment as a Matter of Law Rule 50... 19 (d) Preserving Objections to Improper Jury Argument... 21 (e) Preserving Jury-Instruction Errors Rule 51... 22 1.5 Post-Trial Preservation Measures... 27 1.6 Appeals and Unpreserved Issues... 30 2 Appellate Jurisdiction... 33 2.1 Appeals From Final Judgments... 36 (a) The Final Judgment Requirement... 36 (b) Civil Cases Appeals From Particular Types of Decisions... 37 (1) Effect of Voluntary Dismissals of Some But Not All Claims... 37 (2) Effect of Granting Motion to Dismiss... 39 (3) Rule 60(b) Motions... 40 (4) Bankruptcy Cases... 40 (i) Final Judgments in Bankruptcy Cases... 40 (ii) Interlocutory Orders in Bankruptcy Cases... 43 (5) Arbitration Cases... 44 (6) Remand Orders... 45 (7) Attorneys Fees and Sanctions... 48 (8) Post-Judgment Proceedings... 49 (9) Appeals From Nondistrict Court Decisions... 50 (i) Appeals From Decisions of Magistrate Judges... 50 (ii) Appeals From Tax Court Decisions... 50 2.2 Appeals Before Final Judgment... 51 (a) Class Certification... 51 (1) In General... 51 (2) Standards for Review... 53 (3) Practical Considerations... 54 (b) Collateral Orders... 55 (1) Conclusively Determined... 56 (2) An Important Issue Completely Separate From the Merits... 56 (3) Effectively Unreviewable on Appeal From a Final Judgment... 58 (c) Contempt... 59 (1) Criminal Contempt... 59 (2) Civil Contempt... 59 (i) Parties... 59 (ii) Nonparties... 60 (iii) After a Final Judgment... 60 (3) Distinguishing Criminal From Civil Contempt... 60 (i) Traditional Definitions... 60 (ii) Applications... 61
Detailed Contents xxxiii (iii) Bagwell... 62 (iv) Mixed Judgments... 63 (v) Conversion From Civil to Criminal Contempt... 63 (d) Rule 54(b): Multiple Claims and Parties... 64 (1) In General... 64 (2) Finality... 65 (3) Separateness... 66 (4) No Just Reason for Delay... 68 (5) Manner of District Court s Certification... 69 (6) Permissive and Discretionary... 70 (7) Effect of a Rule 54(b) Appeal on the District Court s Jurisdiction... 71 (8) Consent... 71 (9) Standard of Review of Rule 54(b) Determinations... 71 (10) Effect of Counterclaims... 71 (11) Role of Multiple Defendants... 72 (e) 28 U.S.C. 1292(a)(1): Injunctions... 72 (1) In General... 72 (2) Appeal Not Mandatory... 73 (3) Statutory and Judge-Made Requirements for Appeal Under 1292(a)(1)... 73 (i) Ripeness... 73 (ii) Injunction... 73 (iii) The Order Must Be Definitive... 75 (iv) The District Court s Order Must Grant, Modify, Dissolve, or Continue an Injunction... 76 Modification... 76 Granting a New Injunction... 77 Refusal to Grant an Injunction... 77 (4) Scope of Jurisdiction Under Section 1292(a)(1)... 77 (f) 28 U.S.C. 1292(a)(2): Receiverships... 78 (g) 28 U.S.C. 1292(a)(3): Admiralty... 78 (1) In General... 78 (2) Prerequisites... 79 (3) What Constitutes an Admiralty Case?... 79 (4) Procedural Requirements... 79 (5) Rights and Liabilities... 80 (h) Certification of Interlocutory Orders Under 28 U.S.C. 1292(b)... 80 (1) In General... 80 (2) Statutory Requirements... 82 (3) A Question of Law... 83 (4) A Controlling Question, Over Which There Is a Substantial Ground for Difference of Opinion... 83 (5) Materially Advance the Litigation... 85 (6) Discretion... 85 (7) Timeliness of Appeal... 85 (i) The General Rule... 85
xxxiv Federal Appellate Practice (ii) Calculating the Time Period... 86 (iii) Exceptions to the 10-Day Filing Deadline... 86 Untimely Notice... 86 Negligence... 87 Balancing Test... 87 (8) Scope of Review... 88 (i) Discovery Orders on Privileges... 88 2.3 Time for Appealing... 89 (a) The General Rules for Appeals and Cross-Appeals... 89 (b) Starting the Time to Appeal... 91 (c) Tolling the Prescribed Time... 93 (d) Extending the Prescribed Time... 95 (e) Reopening the Time for Appeal... 97 2.4 Formal Requirements for the Notice of Appeal... 98 (a) In General... 98 (b) Party Names... 99 3 Motions... 101 3.1 Motion Practice in the Court of Appeals... 102 3.2 Rules Governing Motions... 103 (a) Federal Rules of Appellate Procedure... 103 (1) Types of Motions That May Be Filed... 103 (2) Form and Content of Motions and Responses Thereto... 104 (3) Filing and Service of Motions and Responses Thereto... 109 (b) Local Rules... 112 3.3 How Motions Are Decided... 113 (a) Initial Decision... 113 (b) Review of the Initial Decision... 114 3.4 Specific Motions... 114 (a) Motions to Extend Time to File Notice of Appeal... 114 (b) Motions for a Stay of Judgment or for an Injunction Pending Appeal in Civil Cases... 115 (c) Motions for a Stay of Judgment Pending Appeal in Criminal and Habeas Cases... 117 (d) Motions for a Stay of Imprisonment Pending Appeal on Direct Review... 118 (e) Motions for a Stay of Sentence Pending Habeas Appeal... 119 (f) Motions for Leave to Appeal... 121 (1) Application for Permission to Appeal Interlocutory Orders... 121 (2) Motions for a Certificate of Appealability in Habeas Cases... 122 (3) Motions for Leave to Proceed in Forma Pauperis... 123 (g) Motions for Expedited Review... 125 (h) Motions Involving Counsel-Related Issues... 126 (1) Motions for Admission to the Bar... 126 (2) Motions for the Appointment of Counsel... 127
Detailed Contents xxxv (3) Motions to Withdraw as Counsel... 128 (i) Motions Involving Party-Related Issues... 129 (1) Motions for Leave to Intervene... 129 (2) Motions to Substitute a Party... 130 (i) Death... 131 (ii) Reasons Other Than Death... 131 (iii) Public Officials... 132 (j) Motions for Leave to File an Amicus Brief... 132 (k) Motions Related to the Record on Appeal... 133 (1) Motions to Supplement the Record on Appeal... 133 (2) Motions for an Appeal to Proceed on the Original Record... 135 (l) Motions Related to Briefing Issues... 136 (1) Motions to Extend the Time in Which to File a Brief... 136 (2) Motions for Leave to File an Overlength Brief... 137 (3) Motions to Defer Filing of the Appendix... 137 (4) Motions for Leave to File a Supplemental Appendix... 138 (5) Motions for Leave to File a Brief or Other Material Under Seal... 139 (6) Motions to Strike a Brief or a Portion Thereof... 140 (m) Motions Relating to Oral Argument... 141 (1) Motions to Postpone Argument... 141 (2) Motions for Longer Argument... 142 (3) Motions for Divided Argument... 143 (n) Motions for Summary Disposition of an Appeal... 144 (1) Motions to Dismiss an Appeal Voluntarily... 144 (2) Motions to Dismiss an Appeal for Lack of Jurisdiction... 145 (3) Motions to Dismiss an Appeal for Lack of Prosecution... 145 (4) Motions for Summary Disposition on the Merits... 145 (o) Motions for Sanctions... 146 (p) Motions Related to Rehearing Issues... 147 (1) Motions for an Extension of Time in Which to File a Petition for Rehearing... 147 (2) Motions for Leave to Reply to an Answer in Opposition to a Petition for Rehearing... 147 (3) Motions to Stay the Mandate... 148 4 Discretionary Interlocutory Appeals and Mandamus... 151 4.1 Introduction... 152 4.2 Interlocutory Appeal Under 28 U.S.C. 1292(b)... 152 (a) Grounds for Seeking Certification to Take Interlocutory Appeal... 152 (1) Controlling Question of Law... 154 (2) Substantial Ground for Difference of Opinion... 155 (3) An Immediate Appeal May Materially Advance the Ultimate Termination of the Litigation... 157 (b) Procedure for Pursuing Interlocutory Appeal... 159
xxxvi Federal Appellate Practice 4.3 Interlocutory Appeal of Class Certification Issues Under Rule 23(f) of the Federal Rules of Civil Procedure... 161 (a) Background... 161 (b) The Courts Application of Rule 23(f)... 163 (1) Death Knell for Plaintiff or Defendant... 163 (2) Development of the Law... 165 (3) Manifest Error... 168 (4) Special Circumstances... 169 (c) Procedure for Pursuing 23(f) Appeal... 169 4.4 Section 1453 Appeals of Remand Orders Under the Class Action Fairness Act... 170 4.5 Mandamus... 172 (a) Grounds for Mandamus... 173 (1) Privilege Claims... 174 (2) Recusal Motions... 175 (3) Attorney Disqualification Motions... 177 (b) Procedure for Seeking Mandamus... 178 4.6 Conclusion... 180 5 Review of Administrative Agency Decisions... 181 5.1 Introduction... 181 5.2 Scope Note... 182 5.3 Overview of the Appellate Review of an Administrative Agency Decision... 183 5.4 Statutory Provisions and Rules Relevant to Appellate Court Review of Administrative Actions... 184 5.5 Specific Issues... 187 (a) Jurisdiction... 187 (b) Venue... 189 (c) Timing... 190 (d) Petitions for Review and Docketing Statements... 192 (e) Coordination of Multiple Petitions and Intervention in Preexisting Litigation... 193 (1) Consolidation/Coordination... 193 (2) Intervention... 196 (f) Dispositive Motions Addressing Jurisdiction, Timeliness, or Lack of Standing... 196 (g) Stays Pending Review... 197 (h) The Record on Appeal... 197 (i) Demonstrating Standing (particularly in the D.C. Circuit)... 199 (j) Relief Available... 201 6 The Record on Appeal and the Appendix... 203 6.1 Introduction... 204 6.2 The Record on Appeal... 206
Detailed Contents xxxvii (a) Contents of the Record Papers and Exhibits... 208 (b) Matters Not in the Record... 210 (1) Judicial Notice... 210 (2) Inherent or Equitable Power... 212 (c) Transcripts... 214 (d) Alternatives in Lieu of Conventional Record... 219 6.3 Correcting, Modifying, or Supplementing the Record... 224 6.4 Transmittal of the Record to the Court of Appeals... 228 6.5 The Appendix... 235 (a) The Concept of the Appendix... 236 (b) The General Rule... 237 (c) Deferred Appendix... 241 6.6 The Record and Appendix Circuit by Circuit... 243 (a) The First Circuit... 244 (b) The Second Circuit... 248 (c) The Third Circuit... 250 (d) The Fourth Circuit... 252 (e) The Fifth Circuit... 256 (f) The Sixth Circuit... 258 (g) The Seventh Circuit... 263 (h) The Eighth Circuit... 273 (i) The Ninth Circuit... 277 (j) The Tenth Circuit... 283 (k) The Eleventh Circuit... 288 (l) The D.C. Circuit... 291 7 Effective Brief Writing... 295 7.1 Introduction... 295 7.2 Good Brief Writing Starts With Good Writing... 297 7.3 The Goal of Brief Writing... 300 7.4 The Brief Writer as Translator... 300 7.5 The Brief Writer as Story Teller... 306 7.6 Organizing the Brief... 311 7.7 Maximizing Credibility... 312 7.8 Making the Brief Readable... 316 7.9 Visual Impact of the Brief... 326 7.10 The Great Footnote Debate... 327 7.11 The Brave New World of the Internet... 328 7.12 The Importance of Law Clerks... 329 7.13 A Final Cautionary Note... 330 8 The Opening Brief... 331 8.1 Introduction... 332 8.2 Purpose of the Opening Brief... 334 8.3 Read and Understand the Rules... 334
xxxviii Federal Appellate Practice 8.4 Selecting the Issues for Appeal... 336 8.5 Beginning to Draft the Brief... 338 8.6 The Format of the Brief... 339 8.7 The Elements of the Brief... 341 (a) Corporate Disclosure Statement... 341 (b) Table of Contents... 342 (c) Table of Authorities... 343 (d) Jurisdictional Statement... 343 (e) Statement of the Issues Presented for Review... 344 (f) Statement of the Case... 346 (g) Statement of Facts... 347 (1) How to Present the Facts... 348 (2) Citations to the Record... 349 (3) Discussing the Proceedings Below... 349 (h) Summary of Argument... 350 (i) Argument... 350 (j) Conclusion... 350 (k) Signature... 351 (l) Certificate of Compliance... 351 (m) Certificate of Service... 351 (n) Circuit-Specific Requirements... 352 8.8 The Argument Section of the Brief... 352 (a) Standard of Review... 353 (b) The Argument... 355 (1) Tailor the Argument to Your Audience... 355 (2) The Big Picture... 356 (3) The Tools of the Craft... 357 (i) Statutes... 357 (ii) Precedential Cases... 357 (iii) Policy Arguments... 359 (iv) Structuring the Argument... 359 (v) Anticipating Your Opponent... 360 (vi) Showing That The Error Was Material... 361 (vii) Editing and Rewriting... 361 8.9 Filing and Service... 362 8.10 Cross-Appeal Briefs... 363 8.11 Conclusion... 364 9 The Response Brief... 365 9.1 Introduction... 366 9.2 Laying the Groundwork... 369 (a) Take a Hard Look at the Opinion Below... 369 (b) Take the Other Side... 370 (c) Be Your Own Critic... 370 9.3 Tone of Response... 371 9.4 Content of Response... 372 (a) Statement of Jurisdiction... 373
Detailed Contents xxxix (b) Statement of Issues Presented for Review... 374 (c) Statement of the Case... 374 (d) Statement of Facts... 375 (1) Factual Background... 375 (2) Proceedings Below... 376 (e) Standard of Review... 377 (1) Why the Standard of Review Matters... 378 (2) Overview of Governing Standards... 379 (i) De Novo Review... 380 (ii) Abuse of Discretion... 381 (iii) Error, Clear Error, and Plain Error... 382 (iv) Arbitrary and Capricious Review... 383 (v) Greatest Level of Deference: Review of Arbitration Awards... 383 (3) Arguing Over the Appropriate Standard... 384 (4) Integrating the Standard of Review With Your Argument... 385 (f) Summary of Argument... 385 (g) Argument... 388 (1) Organizing the Argument Section... 388 (2) Introducing the Argument... 390 (i) Frame the Issue... 390 (ii) State Your Opponent s Position, But Don t Make Your Opponent s Case... 391 (3) Choosing Counter-Arguments... 392 (i) Start With the Opinion Below... 392 (ii) Issues Raised for the First Time on Appeal... 393 Deciding Whether to Claim Waiver... 393 Deciding on the Degree of Emphasis... 394 (4) Organizing Multiple Arguments... 395 (i) Which Argument to Present First... 395 (ii) Micro Organization Within Each Argument... 396 9.5 Alternate (Substitute) Grounds for Affirmance in Lieu of Those Accepted Below... 397 (a) Strength of Primary Theory... 398 (b) Strength of Alternative Theory... 398 (c) Tension Between Primary and Alternative Theories... 399 (d) Where to Raise the Alternative Ground... 399 9.6 Addressing Contours of Possible Reversal and Remand... 400 9.7 Conclusion... 401 10 The Reply Brief... 403 10.1 Whether to Reply... 404 10.2 The Rules Governing Replies... 406 (a) The Basics... 406 (b) Time to Reply... 406 (c) Extending the Time to Reply... 407
xl Federal Appellate Practice (d) The Format of the Reply Brief... 408 (e) Additional Considerations Second Chances... 409 (1) Additional Record Materials... 409 (2) Late Reply in Lieu of Argument... 410 10.3 Choosing the Points for the Reply... 410 (a) Be Selective... 411 (b) Using the Introduction to Dispose of Simple Issues... 413 (c) New Issues Raised for the First Time on Reply... 413 (d) Clarification... 414 10.4 Beginning the Reply: The Introduction... 415 (a) Begin by Grabbing the Reader, Not by Recapitulating the Opening Brief... 415 (b) Narrow the Issues by Exploiting Any Significant Concessions or Failures to Dispute... 416 (c) Try to Link the Responsive Points With a Theme... 417 (d) A Full Summary of Argument Is Rarely Necessary on Reply... 418 (e) Avoid Excessive Snideness or Ad Hominem Attacks; Show Rather Than Tell... 418 (f) When Confronted by Overblown Rhetoric, Acknowledge It Without Indulging in It Yourself... 419 10.5 Organizing the Reply Brief... 419 10.6 How to Respond Effectively to Your Opponent s Arguments... 420 (a) Keep Headings Short... 420 (b) Use Respectful but Pointed Language Rather Than Name-Calling... 420 (c) Acknowledgment vs. Concession: The Left-Handed Compliment... 421 (d) The Rifle-Shot Response... 421 10.7 Wrapping Up... 422 11 Amicus Curiae Briefs... 425 11.1 A Short History of the Amicus Curiae... 426 11.2 Varieties of Amicus Briefs... 428 11.3 The Rules Governing Amicus Briefs... 432 (a) When a Brief Is Permitted; The Motion for Leave to File... 432 (b) Contents and Form of the Brief... 433 (c) Length of the Brief... 436 (d) Time for Filing... 436 (e) Limitations: Reply Brief; Oral Argument... 437 (f) En Banc Proceedings... 438 11.4 Judicial Attitudes Towards Amicus Briefs... 440 (a) Restrictive View... 440 (b) Permissive View... 442 11.5 The Influence of Amicus Briefs... 443 (a) The Merits Stage... 444 (b) Discretionary Review... 445
Detailed Contents xli 11.6 Strategic Considerations... 447 (a) The Perspective of the Party... 447 (1) Whether to Solicit an Amicus Brief... 447 (2) Whom to Solicit... 449 (3) How to Solicit... 452 (4) Coordination... 453 (b) The Perspective of the Amicus... 454 (1) Whether to File... 454 (2) What to Say... 455 11.7 Writing an Effective Amicus Brief... 456 (a) The Virtue of Brevity... 456 (b) The Vice of Duplication... 458 (c) A Few Words About Substance and Tone... 459 12 Oral Argument... 463 12.1 The Importance of Oral Argument... 464 12.2 How to Obtain Oral Argument... 466 12.3 Who Should Argue... 469 12.4 Typical Mechanics and Courtroom Logistics... 473 (a) Time Limits and Requesting More Time... 473 (b) Arrive Early and Get Comfortable... 475 (c) Use of Exhibits... 475 (d) Co-Counsel... 476 12.5 Preparing for Argument... 477 (a) When to Prepare... 477 (b) What to Prepare... 478 (c) Organizing the Argument... 480 (d) Updating the Briefs... 481 (e) Prepared Scripts or Outlines... 482 (f) Moot Courts... 485 12.6 Delivering the Argument... 486 (a) Tone... 486 (b) The Opening... 486 (c) Treatment of the Facts... 487 (d) Essence of the Case... 488 (e) Conclusion... 488 12.7 Answering Questions... 489 12.8 Appellee s Argument... 495 12.9 Rebuttal... 496 12.10 Common Mistakes... 497 12.11 The Aftermath... 499 13 Rehearing... 501 13.1 Authority for Rehearing... 502 13.2 Judicial Reluctance to Rehear Cases... 504 (a) The Grim Statistics... 504
xlii Federal Appellate Practice (b) Potential Benefits of Even Unsuccessful Rehearing Petitions... 506 13.3 En Banc Consideration of Appeals... 508 (a) Initial Hearing En Banc... 508 (b) Grounds for Seeking Rehearing En Banc... 509 (1) Intracircuit Conflicts... 510 (2) Intercircuit Conflicts... 512 (3) Exceptional Importance... 513 (4) Mere Disagreement With the Panel... 514 (5) Other Considerations Affecting the Decision to Grant En Banc Rehearing... 516 (c) Composition of the En Banc Court... 517 (d) Vote Required to Grant En Banc Rehearing... 517 (e) Effect of the Grant of Rehearing En Banc... 518 13.4 Considerations Supporting Panel Rehearing... 520 13.5 Preparation and Filing of the Petition for Rehearing or Rehearing En Banc... 522 (a) Time for Filing Rehearing Petitions... 522 (b) Length of Rehearing Petitions... 523 (c) Other Requirements Relating to Format and Content of the Petition... 525 13.6 Other Filings Related to the Petition... 527 (a) Responses to the Petition... 527 (b) Amicus Briefs... 528 13.7 Stay of Court s Mandate... 528 14 Costs and Attorneys Fees... 531 14.1 Introduction... 532 14.2 Recoverable Appellate Costs... 532 (a) In General... 532 (b) Attorneys Fees as Costs... 533 14.3 Bases for Appellate Cost Awards... 534 (a) Cost Awards to Prevailing Parties... 534 (b) Cost Awards as Sanctions... 535 14.4 Appellate Cost Awards For and Against Particular Parties... 536 (a) Governmental Entities... 536 (b) Intervenors... 536 (c) Amici Curiae... 537 (d) Parties in Mandamus Proceedings... 537 14.5 Appellate Cost Award Procedure... 537 14.6 Appellate Attorneys Fees General Principles... 539 14.7 Federal Law Bases for Appellate Fee Awards... 540 (a) Prevailing Party Statutes... 540 (1) Prevailing Party Standard... 540 (2) Prevailing Plaintiffs as Opposed to Prevailing Defendants... 544 (3) Particular Claims... 546
Detailed Contents xliii (b) Other Statutory Deviations From the American Rule... 547 (c) Equitable Fee Awards... 548 (d) Fees as Sanctions... 548 14.8 State Law Bases for Appellate Fee Awards... 552 14.9 Appellate Fee Awards For and Against Particular Parties... 553 (a) Governmental Entities... 553 (b) Intervenors... 556 (c) Amici Curiae... 557 14.10 Fees on Fees... 557 14.11 Other Expenses... 558 14.12 Appellate Fee Award Calculations... 559 (a) Statutory Fee Awards: The Lodestar Approach... 559 (1) Reasonable Hours... 561 (2) Reasonable Hourly Rate... 563 (3) Deviations From the Lodestar... 565 (4) Adjustments for Delay... 568 (b) Equitable Fee Awards... 568 (c) Contractual Fee Awards... 569 (d) Reasonable Fees as Opposed to Contractual Fees... 570 14.13 Appellate Fee Award Procedure... 572 (a) In the Court of Appeals... 572 (b) In the District Court... 574 15 Criminal Appeals... 577 15.1 Initial Considerations in Taking on a Criminal Appeal... 578 (a) Competence to Handle Criminal Appeal... 578 (b) Status of Post-Trial Motions... 578 (c) Deciding Whether to Appeal... 579 (1) Risk of a Government Cross-Appeal... 580 (2) Is There a Deal to Be Made?... 581 (3) Is There a Benefit to the Appeal?... 581 15.2 The First Issue for Appeal: Stay of Sentence Pending Appeal... 582 15.3 The Mechanics of Filing an Appeal... 585 (a) Know the Applicable Rules... 585 (b) District Court Filings: Notice of Appeal... 585 (c) Appellate Court Filings: Representation and Docketing Statements... 586 15.4 General Considerations in Selecting Issues for the Appeal... 587 (a) Confer With Trial Counsel and the Client... 587 (b) Obtain the Record for Appeal... 588 (c) Understand the Difference Between Forfeiture and Waiver... 589 (d) Evaluate the Applicable Standards of Review... 591 (e) Do Not Consider Issues in Isolation... 593 15.5 Some Issues to Consider for Each Stage of the Proceedings... 593 (a) Charging Irregularities... 594 (b) Pretrial Procedure... 594 (1) Brady Violations... 594
xliv Federal Appellate Practice (2) Speedy Trial Rights... 595 (c) Juror Issues... 596 (d) Trial Issues... 597 (1) Sufficiency of the Evidence... 597 (2) Improper Joinder... 598 (3) Evidence From Illegal Searches... 599 (4) Tainted Confessions... 600 (5) Right to Confrontation... 602 (6) Character and Other Crimes Evidence (Federal Rule of Evidence 404(b))... 602 (7) Prior Convictions (Federal Rule of Evidence 609)... 603 (8) Jury Instructions... 604 (e) Sentencing Issues... 604 15.6 Ineffective Assistance of Trial Counsel... 607 15.7 Whittling Down the Issues... 608 15.8 Special Considerations for Clients Who Pled Guilty... 609 15.9 Drafting the Appellate Briefs... 610 15.10 Oral Arguments... 611 15.11 Supplemental Authority After Argument... 612 15.12 Petition for Rehearing... 612 15.13 Withdrawing From Appeal... 613 16 The Federal Circuit... 615 16.1 Introduction... 620 16.2 History and Organization of the United States Court of Appeals for the Federal Circuit... 620 (a) The Creation of the Federal Circuit... 620 (b) Operation of the Federal Circuit... 621 (1) Composition of the Bench... 621 (2) Panel Protocol... 621 16.3 Federal Circuit Jurisdiction... 621 (a) Overview... 621 (1) Statutory Sources of Jurisdiction... 622 (2) Practical Analysis of Federal Circuit Jurisdiction... 623 (3) Organization of This Section... 623 (b) Federal Circuit Jurisdiction in Patent Cases... 624 (1) Sources of Patent Appellate Jurisdiction 28 U.S.C. 1295(a)(1) and 1295(a)(4)... 624 (2) Jurisdiction Over Matter Initiated Before the Patent Board 28 U.S.C. 1295(a)(4) Jurisdiction... 624 (i) Appeal... 624 (ii) Elective Civil Action... 625 (3) Jurisdiction Over District Court Cases Arising Under the Patent Statute 28 U.S.C. 1295(a)(1)... 626 (i) Statutory Grant... 626
Detailed Contents xlv (ii) Abandoned Patent Claims... 626 (iii) Issues Relating to Patents... 627 (iv) Arising Under Jurisdiction: The Well-Pleaded Complaint Rule... 627 (c) Compensatory Claims Against the United States... 628 (1) Exclusive Federal Circuit Jurisdiction Over Appeals... 628 (i) Authority to Determine Its Own Jurisdiction... 628 (ii) Jurisdiction Over Mixed Cases... 629 (iii) Tort Claims Cannot Create Federal Circuit Jurisdiction... 629 (2) Limitations on Forms of Relief for Trial Courts... 629 (3) Absolute Bar on Court of Federal Claims Jurisdiction Over Claims Also Pending in Other Courts... 630 (4) Specific Jurisdictional Subjects... 630 (i) Claims Based on the Constitution, a Statute, or Executive Department Action... 630 (ii) Contract Cases... 630 (iii) Indian Group Claims... 631 (iv) Federal Pay Cases... 631 (v) Patent Cases... 631 (vi) Certain Tax Cases... 631 (vii) Vaccine Cases... 632 (d) Appellate Jurisdiction Over Administrative Agencies Other Than the PTO... 632 (1) Federal Circuit Jurisdiction Over Trademark Cases 28 U.S.C. 1295(a)(4)(B)... 632 (i) Appeals From the PTO... 632 (ii) Elective Civil Actions... 633 (2) Appeals From the National Merit Systems Protection Board 28 U.S.C. 1295(a)(9)... 633 (i) The Structure of the National Merit Systems Protection Board... 633 (ii) Who May Appeal From a Final Merit Systems Protection Board Order or Decision... 634 Any Employee or Applicant Adversely Affected... 634 The Director of the Office of Personnel Management... 634 (iii) No Jurisdiction Over Merit Board Employment Discrimination Decisions... 635 (iv) Merit Board or Employing Agency May Be Respondent... 635 (v) Jurisdiction in Appeals Under the Uniformed Services Employment and Reemployment Rights Act of 1994... 636 (vi) Jurisdiction Over Appeals Under the Veterans Employment Opportunities Act of 1998... 636 (3) Boards of Contract Appeals... 636
xlvi Federal Appellate Practice (i) The Contract Disputes Act... 636 (ii) Federal Circuit Appellate Jurisdiction Over Final Decisions of Boards of Contract Appeals 28 U.S.C. 1295(a)(10)... 636 (iii) Federal Circuit Jurisdictional Issues Tied to Agency Contract Board Jurisdiction... 637 (iv) Federal Circuit Jurisdictional Issues Arising After Proper Exercise of Agency Contract Board Jurisdiction... 637 Maritime Appeals... 637 Lack of Complete Finality... 637 Accelerated Appeals Provisions... 638 (4) International Trade Commission Decisions Under 19 U.S.C. 1337... 638 (i) The ITC s Authority Under Section 337... 638 The ITC s Investigative Authority... 638 ITC Remedies... 639 (ii) Federal Circuit Jurisdiction Over ITC Decisions... 639 Parties Entitled to Appeal... 639 Finality Issues... 639 (5) Review of the Office of Compliance 2 U.S.C. 1407(a)(1)... 640 (i) Internal Appeals in the Office of Compliance... 640 (ii) Federal Circuit Jurisdiction... 641 (6) The Government Accountability Office 31 U.S.C. 755... 641 (i) The GAO Personnel Appeals Board... 641 (ii) Federal Circuit Jurisdiction... 641 (e) Review of Other Article I Courts... 641 (1) The Court of International Trade... 641 (i) Jurisdiction of the Court of International Trade... 642 (ii) Appellate Jurisdiction of the Federal Circuit... 642 (2) Appeals From the Court of Appeals for Veterans Claims... 642 (f) Other Topical Grants of Jurisdiction... 642 (g) Review of Interlocutory Decisions... 643 (1) Standard Interlocutory Jurisdiction Over Topical Subject Matter... 643 (2) Interlocutory Jurisdiction Over the Court of International Trade and the United States Court of Federal Claims 28 U.S.C. 1292(d)... 643 (3) Motions to Transfer Cases to the Court of Federal Claims; Stay Orders... 644 (4) Sanctions... 645 16.4 Controlling Decisional Law: Choice of Law, Circuit Precedent, and Standards of Review... 645 (a) Choice-of-Law Analysis... 645 (1) Choice of Substantive Law... 645
Detailed Contents xlvii (i) Substantive Issues Within the Federal Circuit s Exclusive Jurisdiction... 645 (ii) Substantive Issues Not Within the Federal Circuit s Exclusive Jurisdiction... 645 (iii) Exception for Certain Antitrust Claims... 646 (2) Choice of Procedural Law... 646 (i) Regional Circuit Procedure Applies... 647 Pretrial Procedure... 647 Trial Procedure... 648 Post-Trial Motions... 648 Preclusion... 649 Settlement and Dismissal... 649 Miscellaneous Post-Judgment Rulings... 649 (ii) Federal Circuit Law Applies... 649 Issues Unique to Patent Procedure... 649 Issues Implicating the Federal Circuit s Jurisdiction... 650 (b) Circuit Precedent... 651 (1) Precedent of Antecedent Courts... 651 (2) Designation of Nonprecedential Opinions Under Former Local Rule 47.6(b)... 651 (c) Standards of Review... 652 (1) Patent and Trademark Cases... 652 (i) Status of Various Patent Determinations Questions of Law or Fact... 652 Questions of Law... 652 Questions of Fact... 653 (ii) Review of District Court Findings... 654 (iii) Review of PTO Findings... 654 (2) Review of Agencies Other Than the PTO... 655 (i) Administrative Procedure Act Generally Applicable... 655 (ii) Boards of Contract Appeals... 655 (iii) Merit Systems Protection Board... 655 (iv) International Trade Commission... 656 (v) Office of Compliance... 656 (vi) Government Accountability Office Personnel Appeals Board... 656 (3) Appeals From District Courts in Nonpatent Cases... 656 (4) Review of Other Courts... 656 (i) Court of International Trade... 656 (ii) Court of Federal Claims... 657 (iii) Court of Appeals for Veterans Claims... 657 16.5 Appellate Procedure in the Federal Circuit Initiating Appellate Review... 657 (a) Introduction... 657 (1) Sanctions Against Frivolous Appeals and Petitions... 658 (2) Notice of Appearance Required Upon Docketing... 658 (b) Appeals From Trial Courts (Rules 3 12)... 658
xlviii Federal Appellate Practice (1) Varying Periods for Appeal From a Trial Court as of Right (Rules 3 and 4)... 658 (2) Additional Requirements for Petition for Permission to Appeal (Rule 5)... 658 (3) Additional Requirements for Motions for Stay or Injunction Pending Appeal (Rule 8)... 659 (i) Contents... 659 (ii) Expedited Service... 659 (4) The Trial Court Record on Appeal (Rules 10 and 11)... 660 (i) Generally... 660 (ii) Material Subject to a Protective Order... 660 (c) Review of Agency Orders (Rules 15 20)... 660 (1) Scope of Appellate Jurisdiction Over Agency Orders... 660 (2) Procedural Vehicles for Seeking Federal Circuit Review... 660 (i) From the PTO and Its Constituents (Rule 15(a)(1))... 660 (ii) From Other Agencies (Rule 15(a)(2))... 661 Generally... 661 (iii) Special Rules for Statements Concerning Discrimination... 661 (3) Timing of a Petition or Appeal From an Agency Order... 661 (i) No Uniform Triggering Event... 661 (ii) Length of Potential Filing Period... 662 (4) The Record on Review of an Agency Order (Rules 16 and 17)... 662 (i) Generally... 662 (ii) Material Subject to a Protective Order... 663 (5) Stay Pending Review (Rule 18)... 663 (d) Writs of Mandamus and Prohibition (Rule 21)... 663 (1) Generally... 663 (2) Contents... 663 (3) Service of Denial... 664 16.6 Appellate Procedure in the Federal Circuit Motions Practice and Generally Applicable Rules... 664 (a) Filing and Service (Rule 25)... 664 (1) Facsimile Filing... 664 (2) Electronic Filing... 664 (3) Rejection... 665 (b) Extensions of Time... 665 (c) General Motions Practice (Rule 27)... 666 (1) Content and Organization of Motion... 666 (2) Most Separate Motions to Strike Prohibited... 666 (3) Motions to Dismiss for Lack of Jurisdiction or to Remand Should Be Made Quickly... 667 (4) Motions for Reconsideration and the Like... 667 (5) Content and Organization of Response... 667 (6) Content and Organization of Reply... 668
Detailed Contents xlix (7) Form of Motions... 668 (8) General Authority to Process Motions... 668 (i) Unopposed or Joint Motions That May Be Decided by the Clerk... 668 (ii) The Top Ten Reasons Motions Are Rejected for Filing... 669 (iii) Other Grounds for Rejecting Motions and Responses... 669 (9) Motion Papers Containing Material Subject to a Protective Order... 669 16.7 Appellate Procedure in the Federal Circuit Briefing, Oral Argument, and Disposition... 669 (a) Briefs (Rules 28, 29, and 31)... 669 (1) Briefing Schedule Runs From Docketing (Rule 31)... 669 (2) Contents of Party Briefs (Rule 28)... 670 (i) Contents Prescribed by Rule... 670 (ii) Effective Briefing in the Federal Circuit... 670 (3) Briefs of Amicus Curiae (Rule 29)... 671 (4) Format... 672 (i) Format Requirements for Briefs Generally... 672 (ii) Requirements for Citations... 672 (iii) Binding... 672 (iv) Nonconforming Briefs... 672 (v) Compact Disc Versions of Briefs... 673 (b) Appendix (Rule 30)... 673 (1) Designation and Compilation of the Appendix... 673 (2) Contents of the Appendix... 674 (3) Limitations on Appendix Content... 674 (4) Special Requirements for a PTO Appeal... 675 (5) Serving and Filing the Appendix... 675 (c) Oral Argument (Rule 34)... 675 (1) Scheduling... 675 (2) Effective Oral Advocacy... 676 (d) Disposition of the Appeal or Petition... 677 (1) Methods of Disposition (Rule 32.1(a))... 677 (2) Precedential Status of Opinion or Order (Rule 32.1(a))... 678 (3) Costs and Attorneys Fees (Rule 39 and Federal Circuit Rule 47.7)... 678 (e) Petitions for En Banc Consideration and Panel Rehearing... 678 (1) Petition for Panel Rehearing (Rule 40)... 678 (2) En Banc Consideration (Rule 35)... 678 (i) Three Methods of Requesting En Banc Consideration... 678 (ii) Grounds for Requesting En Banc Consideration... 679 (iii) Form and Content of En Banc Petitions... 679 (iv) Consolidation Requirement... 679 16.8 Conclusion... 680
l Federal Appellate Practice 17 Considering Supreme Court Review... 681 17.1 Deciding Whether a Client Has a Certworthy Case... 683 (a) In General... 683 (b) The Court s Decisional Process... 683 (1) Statistical Odds of Obtaining a Grant of Certiorari... 684 (2) Consideration of Petitions for Certiorari... 684 (i) The Cert Pool and Discuss List... 685 (ii) Disposing of Petitions for Certiorari... 685 (c) Factors Considered in Granting Petitions for Certiorari... 687 (1) Conflicts Among Lower Courts... 687 (2) Important Issue of Federal Law... 689 (3) Influence of Individual Justices Preferences... 690 (4) Pitfalls to Obtaining a Grant of Certiorari... 691 (i) Case is Too Fact-Specific... 691 (ii) Lower Court Decision Rests on Alternative Grounds or State Law... 691 (iii) Issue Was Inadequately Preserved or Explored Below... 692 (5) Impact of Timing... 692 17.2 Mechanics of Filing a Petition for Certiorari... 693 (a) Timeline of the Certiorari Process... 693 (b) Seeking a Stay... 693 (1) Procedure for Seeking a Stay... 693 (2) Contents of a Stay Application... 695 (c) Jurisdiction of the Supreme Court... 696 (1) Cases Arising From Federal Courts... 696 (2) Cases Arising From State Courts... 697 (i) Finality Requirement... 697 (ii) Substantial Federal Question Requirement... 698 (iii) Adequate and Independent State Law Ground... 698 (d) Filing Deadlines... 699 (1) The General 90-Day Rule for Petitions... 699 (2) Calculation of Time... 699 (3) Meaning of Filing... 699 (4) Requests for Extensions of Time... 700 (i) Factors Considered by the Court... 700 (ii) Form of Request for Extension of Time... 701 (5) Deadlines for Other Briefs and Papers... 701 (i) Cross-Petitions... 701 (ii) Amicus Briefs... 702 (iii) Briefs in Opposition... 702 (iv) Reply Briefs... 702 (v) Effect of Electronic Versus Hand Delivery... 702 (e) Checklist for Filing a Petition for Certiorari... 703 17.3 Writing a Petition for Certiorari Do s and Don ts... 704 (a) In General... 704
Detailed Contents li (b) Consider the Audience... 705 (c) Keep It Short... 705 (d) Contents of the Petition... 705 (1) Questions Presented... 706 (i) Try to Limit the Petition to One or Two Questions Presented... 706 (ii) List the Strongest Basis for Certiorari First... 706 (iii) Avoid Fact-Bound Questions... 706 (iv) Avoid Vague and General Questions... 706 (v) Use a Balanced and Objective Tone... 707 (vi) Include a Brief Introductory Paragraph if Needed... 707 (vii) Identify the Statutory or Constitutional Provision at Issue... 707 (viii) Draft Questions Broadly Enough to Encompass All Potential Issues... 707 (ix) Draft Questions in an Appropriate Form... 707 (2) Statement of the Case... 708 (3) Reasons for Granting the Petition (Argument)... 709 (i) Organization and Tone of Argument Section... 709 (ii) Conflicts... 709 (iii) Importance... 710 (iv) Discussion of the Merits... 710 17.4 Opposing a Petition for Certiorari... 710 (a) In General... 710 (b) Deciding Whether to File a Brief in Opposition... 711 (c) How to Waive the Brief in Opposition... 711 (d) Mechanics of Filing a Brief in Opposition... 712 (1) Time for Filing... 712 (2) Word Limit... 713 (3) Number of Copies and Color of Cover... 713 (e) Content and Style of a Brief in Opposition... 713 (1) In General... 713 (2) Jurisdictional Defects... 714 (3) Claims of Conflict... 714 (4) Claims of Importance... 715 17.5 Reply and Supplemental Briefs... 715 (a) Reply Briefs... 715 (b) Supplemental Briefs... 716 Appendix A Topical Overview of Federal Rules of Appellate Procedure... 719 Appendix B Topical Overview of Circuits Local Rules... 741 First Circuit... 742 Second Circuit... 752 Third Circuit... 758 Fourth Circuit... 773
lii Federal Appellate Practice Fifth Circuit... 784 Sixth Circuit... 794 Seventh Circuit... 801 Eighth Circuit... 810 Ninth Circuit... 816 Tenth Circuit... 829 Eleventh Circuit... 839 District of Columbia Circuit... 854 Federal Circuit... 868 Appendix C Federal Rules of Appellate Procedure... 885 Table of Rules and Statutes... 925 Table of Cases... 943 Index... 989