Written March 1999                                    Updated December 2009                       Corrections and comments...
Table of ContentsI.    INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ....
ii.   Standard of Review. . . . . . . . . . . . . . . . . . . . . . . 21                        iii.  Scrutiny under Morri...
e.    Examples of Orders Not Appealable under 28 U.S.C.           § 1292(a)(1). . . . . . . . . . . . . . . . . . . . . . ...
b.               Standards for Evaluating § 1292(b) Certification               Order.. . . . . . . . . . . . . . . . . . ...
i.     Final Order Adjudicating Individual Claim. . . . . 59               ii.    Dismissal Following Settlement of Indivi...
c.    Motion to Set Aside Default Judgment Granted.. . . . . . 71      d.    Motion to Set Aside Default Judgment Denied. ...
vii.Dismissal Subject to Condition or                  Modification. . . . . . . . . . . . . . . . . . . . . . . . . . . ....
20.   MAGISTRATE JUDGE DECISIONS (28 U.S.C. § 636(c)). 100      a.   Final Judgment by Magistrate Appealed Directly to    ...
ii.                        Remand to Federal Agency on Legal                        Grounds. . . . . . . . . . . . . . . ....
b.       Contempt Orders.. . . . . . . . . . . . . . . . . . . . . . . . . . . . .       126                        c.    ...
ii.      Factors Applied. . . . . . . . . . . . . . . . . . . . . . . . .              139     4.  COMPUTATION OF TIME TO ...
2.  NOTICE FILED BEFORE ENTRY OF JUDGMENT. . . . . 153         a.     Premature Notice Effective.. . . . . . . . . . . . ....
b.              Factors Considered in Evaluating Motion for              Extension. . . . . . . . . . . . . . . . . . . . ...
IV.   NOTICE OF APPEAL (Form, Content and Effect on District Court      Jurisdiction). . . . . . . . . . . . . . . . . . ....
1.        APPEAL FROM FINAL JUDGMENT. . . . . . . . . . . . . . . . .                                    194              ...
iii.                      Orders Certified under Rule 54(b). . . . . . . . . . . 205                     iv.              ...
iii.  Issue Waived. . . . . . . . . . . . . . . . . . . . . . . . . . .         2212.   WAIVER OF ISSUE IN DISTRICT COURT....
ii.                                Waiver of Objection to Magistrate’s Findings &                                Recommend...
2.  APPEALS FROM DECISIONS OF DISTRICT COURT         EXERCISING ORIGINAL BANKRUPTCY         JURISDICTION. . . . . . . . . ...
v. Effect of Notice Filed Before Entry of                          Judgment. . . . . . . . . . . . . . . . . . . . . . . ....
iii.  Good Faith Requirement. . . . . . . . . . . . . . . . . . 290                                iv.   Need for Transact...
VIII.     DIRECT CRIMINAL APPEALS. . . . . . . . . . . . . . . . . . . . . . 310A.    APPEAL BY DEFENDANT (28 U.S.C. § 129...
15.   JURISDICTION OF DISTRICT COURT. . . . . . . . . . . . . . .                                      321     16.   JUVEN...
ii.    Order Tantamount to Dismissal. . . . . . . . . . . . . 329              iii.   Order Granting New Trial. . . . . . ...
2.  ORDER DENYING MOTION TO QUASH GRAND JURY         SUBPOENA. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ....
a.   Days Counted. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .          354         b.   Date Notice of ...
iii.   Specific Claims Not Waived by Guilty Plea. . . 364          e.  Appeal Following Conditional Guilty Plea. . . . . ....
f.   Dangerousness of Defendant. . . . . . . . . . . . . . . . . . . .                  378        g.   Disqualification o...
ii.   Issues Concerning Reversal of Conviction. . . . 386                       b.  Appeals by Defendants (Fugitive Disent...
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Ninth circuit appellate jurisdiction outline 9th circuit 452-pages

  1. 1. Written March 1999 Updated December 2009 Corrections and comments should be e-mailed to Jennifer Rich at jennifer_rich@ca9.uscourts.govThis outline is intended for use as a starting point for research. It is not intended to express theviews or opinions of the Ninth Circuit, and it may not be cited to or by the courts of this circuit.
  2. 2. Table of ContentsI. INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1II. STATUTORY BASES FOR CIVIL APPEALS. . . . . . . . . . . . . . . . . . . . . . . 1 A. APPEALS FROM FINAL DECISIONS (28 U.S.C. § 1291).. . . . . . . 2 1. FINAL DECISIONS.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 a. Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 i. Need to Consider Finality. . . . . . . . . . . . . . . . . . . 3 ii. Policy Behind Final Judgment Rule. . . . . . . . . . . . 3 b. Determining Finality.. . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 i. District Court Intent. . . . . . . . . . . . . . . . . . . . . . . . 4 ii. Adjudication of all Claims. . . . . . . . . . . . . . . . . . . 5 c. Manufacturing Finality. . . . . . . . . . . . . . . . . . . . . . . . . . . 9 d. “Pragmatic” or “Practical” Finality Doctrine. . . . . . . . . 10 i. Parameters of Doctrine.. . . . . . . . . . . . . . . . . . . . 10 ii. Applications. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 2. COLLATERAL ORDER DOCTRINE. . . . . . . . . . . . . . . . . . 12 a. Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 b. Requirements of Collateral Order Doctrine. . . . . . . . . . 12 c. Appealability of Specific Orders under Collateral Order Doctrine . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 i. Abstention Orders. . . . . . . . . . . . . . . . . . . . . . . . 13 ii. Orders Denying Immunity. . . . . . . . . . . . . . . . . . 14 iii. Disqualification of Counsel. . . . . . . . . . . . . . . . . 14 iv. Fed. R. Civ. P. 11 Sanctions.. . . . . . . . . . . . . . . . 14 v. Other Orders.. . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 3. ORDERS CERTIFIED UNDER FED. R. CIV. P. 54(b). . . . . 18 a. Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 i. District Court Determinations. . . . . . . . . . . . . . . 19 ii. Appellate Court Review. . . . . . . . . . . . . . . . . . . . 19 b. Contents of Certification Order. . . . . . . . . . . . . . . . . . . 19 i. “No Just Reason for Delay”. . . . . . . . . . . . . . . . . 19 ii. Reference to Fed. R. Civ. P. 54(b). . . . . . . . . . . . 20 iii. “Specific Findings” Supporting Certification. . . 20 c. Propriety of Certification. . . . . . . . . . . . . . . . . . . . . . . . 21 i. Appellate Review Required. . . . . . . . . . . . . . . . . 21 -i-
  3. 3. ii. Standard of Review. . . . . . . . . . . . . . . . . . . . . . . 21 iii. Scrutiny under Morrison-Knudsen.. . . . . . . . . . . 22 iv. Trend Toward Greater Deference to District Court.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22 d. Immediate Appeal from Fed. R. Civ. P. 54(b) Order Required. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 e. Denial of Rule 54(b) Certification. . . . . . . . . . . . . . . . . 26B. APPEALS FROM INTERLOCUTORY DECISIONS (28 U.S.C. § 1292). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 1. INTERLOCUTORY INJUNCTIVE ORDERS (28 U.S.C. § 1292(a)(1)). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 a. Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 b. Order Granting or Denying an Injunction. . . . . . . . . . . 27 i. Explicit Grant or Denial or Injunction. . . . . . . . . 27 ii. Implicit Grant or Denial of Injunction. . . . . . . . . 27 c. Orders Modifying, Continuing, or Dissolving Injunction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30 i. Order Modifying Injunction. . . . . . . . . . . . . . . . . 30 ii. Order Continuing Injunction. . . . . . . . . . . . . . . . 31 iii. Order Dissolving Injunction.. . . . . . . . . . . . . . . . 31 iv. Order Denying Modification or Dissolution of Injunction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 d. Examples of Orders Appealable under 28 U.S.C. § 1292(a)(1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 i. Order Granting Permanent Injunction. . . . . . . . . 32 ii. Order Denying Entry of Consent Decree. . . . . . . 33 iii. Order Granting Injunction Despite Lack of Motion for Interim Relief. . . . . . . . . . . . . . . . . . . . . . . . . 33 iv. Order Requiring Submission of Remedial Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 v. Certain Orders Affecting Assets. . . . . . . . . . . . . 33 vi. Order Denying Relief in Mandamus Action. . . . 34 vii. Order Staying Extradition . . . . . . . . . . . . . . . . . . 34 viii. Order Denying Stay of Immigration Removal Order. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34 ix. Order Disapproving Class Settlement. . . . . . . . . 34 -ii-
  4. 4. e. Examples of Orders Not Appealable under 28 U.S.C. § 1292(a)(1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35 i. Order Denying Motion to Abstain. . . . . . . . . . . . 35 ii. Order Denying Motion for Stay. . . . . . . . . . . . . . 35 iii. Order Granting England Reservation of Jurisdiction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36 iv. Order Denying Motion to Quash. . . . . . . . . . . . . 36 v. Order Granting Conditional Permissive Intervention. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36 vi. Certain Orders Affecting Assets. . . . . . . . . . . . . 36 vii. Order Remanding to Federal Agency.. . . . . . . . . 37 viii. Order Denying Summary Judgment Due to Factual Disputes. . . . . . . . . . . . . . . . . . . . . . . . . . 37 ix. Order Denying Entry of Consent Decree Not Appealable by Party Against Whom Injunction Sought. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38 f. Temporary Restraining Order.. . . . . . . . . . . . . . . . . . . . 38 i. Order Tantamount to Denial of Preliminary Injunction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38 ii. Orders Effectively Deciding Merits of Case. . . . 39 g. Mootness.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 402. INTERLOCUTORY RECEIVERSHIP ORDERS (28 U.S.C. § 1292(a)(2)). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 403. INTERLOCUTORY ADMIRALTY ORDERS (§ 1292(a)(3)). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42 a. Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42 b. Appealable Admiralty Orders.. . . . . . . . . . . . . . . . . . . . 42 c. Nonappealable Admiralty Orders. . . . . . . . . . . . . . . . . . 434. INTERLOCUTORY PERMISSIVE APPEALS (28 U.S.C. § 1292(b)). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44 a. Procedure for Appeal under 28 U.S.C. § 1292(b). . . . . 44 i. District Court Certification under § 1292(b). . . . 44 ii. Timely Petition from Order Certified under § 1292(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44 iii. Appellate Court Permission to Appeal under § 1292(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45 iv. Stay Pending Appeal from Certified Order. . . . . 46 -iii-
  5. 5. b. Standards for Evaluating § 1292(b) Certification Order.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46 i. Order Raises Controlling Question of Law. . . . . 46 ii. Difference of Opinion Exists as to Controlling Question. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47 iii. Immediate Appeal Would Materially Advance Litigation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47 c. Examples of Orders Reviewed under 28 U.S.C. § 1292(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47 d. Examples of Orders Not Reviewed under 28 U.S.C § 1292(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48C. APPEALABILITY OF SPECIFIC ORDERS.. . . . . . . . . . . . . . . . . . 49 1. ADMIRALTY. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49 2. AGENCY. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49 3. APPOINTMENT OF COUNSEL.. . . . . . . . . . . . . . . . . . . . . . 50 a. Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50 b. Appointment of Counsel in Title VII Action. . . . . . . . . 50 4. ARBITRATION (9 U.S.C. § 16). . . . . . . . . . . . . . . . . . . . . . . 51 a. Cases Governed by the Federal Arbitration Act.. . . . . . 51 b. Arbitration Orders Appealable under 9 U.S.C. § 16. . . 52 c. Arbitration Orders Not Appealable under 9 U.S.C. § 16. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53 d. Interlocutory v. Final Decision. . . . . . . . . . . . . . . . . . . . 54 e. Other Avenues for Appeal from Arbitration Orders. . . 55 5. Assets (Liens, Attachments, etc.). . . . . . . . . . . . . . . . . . . . . . . 56 a. Orders Restraining Assets. . . . . . . . . . . . . . . . . . . . . . . 56 b. Orders Releasing Assets. . . . . . . . . . . . . . . . . . . . . . . . . 56 6. ATTORNEY’S FEES. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57 a. Interim Attorney’s Fees Order. . . . . . . . . . . . . . . . . . . . 57 b. Post-Judgment Attorney’s Fees Order. . . . . . . . . . . . . . 58 7. BANKRUPTCY. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58 8. CLASS ACTIONS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58 a. Interlocutory Appeal from Class Certification Order. . . 58 i. Fed. R. Civ. P. 23. . . . . . . . . . . . . . . . . . . . . . . . . 58 ii. Decisions Predating Fed. R. Civ. P. 23(f). . . . . . 59 b. Review of Class Certification Order After Final Judgment.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59 -iv-
  6. 6. i. Final Order Adjudicating Individual Claim. . . . . 59 ii. Dismissal Following Settlement of Individual Claim. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60 iii. Dismissal for Failure to Prosecute Individual Claim. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60 iv. Underlying Judgment Reversed on Appeal. . . . . 60 c. Appeal from Orders Allocating Cost of Notifying Class Members. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 619. Consolidated Actions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6110. Contempt and Sanctions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61 a. Appealability of Contempt or Sanctions Order Issued in the Course of an Underlying District Court Proceeding. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62 i. Contempt or Sanctions Order Against Party. . . . 62 ii. Contempt or sanctions Order against Nonparty.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65 iii. Contempt or Sanctions Order against Party and Nonparty Jointly. . . . . . . . . . . . . . . . . . . . . . . . . . 67 iv. Denial of Motion for Contempt or Sanctions. . . . 68 b. Appealability of Contempt or Sanctions Order Issued After Final Judgment in an Underlying District Court Proceeding. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68 i. Post-Judgment Contempt or Sanctions Order Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68 ii. Post-Judgment Continuing Contempt Order. . . . 69 iii. Order Denying Motion to Vacate Contempt Order. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69 c. Appealability of Contempt or Sanctions Order Issued As Final Judgment in Enforcement or Contempt Proceeding. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70 i. Contempt Order as Final Judgment in Enforcement. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70 ii. Contempt Order as Final Judgment in Contempt Proceeding. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7011. Default.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71 a. Motion for Default Judgment Granted. . . . . . . . . . . . . . 71 b. Motion for Default Judgment Denied.. . . . . . . . . . . . . . 71 -v-
  7. 7. c. Motion to Set Aside Default Judgment Granted.. . . . . . 71 d. Motion to Set Aside Default Judgment Denied. . . . . . . 7112. Discovery Orders and Subpoenas. . . . . . . . . . . . . . . . . . . . . . . 72 a. Appeal by a Person Who is a Party to an Underlying District Court Proceeding. . . . . . . . . . . . . . . . . . . . . . . . 72 i. Order Compelling Discovery. . . . . . . . . . . . . . . . 72 ii. Protective Order. . . . . . . . . . . . . . . . . . . . . . . . . . 73 iii. Pretrial Order to Contribute to Discovery Fund. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74 iv. Post-Judgment Discovery Orders.. . . . . . . . . . . . 74 b. Appeal by Person Not a Party to An Underlying District Court Proceeding. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75 i. General Rule: Target of Order Compelling Discovery Cannot Appeal Until Contempt Citation Issues. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75 ii. Exceptions Permitting Appeal Absent Contempt Citation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76 iii. Appeal from Order Denying Motion to Compel. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80 c. Appeal by Person Who is a Party to a Proceeding Limited to Enforcement or Discovery. . . . . . . . . . . . . . 80 i. Discovery Order Issued as Final Judgment in Enforcement Proceeding. . . . . . . . . . . . . . . . . . . 80 ii. Discovery Order Issued as Final Judgment in Discovery Proceeding. . . . . . . . . . . . . . . . . . . . . 8013. DISMISSAL. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81 a. Dismissal Denied. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81 i. Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81 ii. Denial of Immunity. . . . . . . . . . . . . . . . . . . . . . . 82 b. Dismissal Granted.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82 i. Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82 ii. Dismissal of Complaint v. Dismissal of Action. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83 iii. Leave to Amend Complaint. . . . . . . . . . . . . . . . . 83 iv. Involuntary Dismissal. . . . . . . . . . . . . . . . . . . . . 85 v. Voluntary Dismissal without Prejudice. . . . . . . . 86 vi. Voluntary Dismissal with Prejudice.. . . . . . . . . . 88 -vi-
  8. 8. vii.Dismissal Subject to Condition or Modification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89 viii. Dismissal of Fewer Than All Claims. . . . . . . . . . 8914. DISQUALIFICATION.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90 a. Disqualification of Counsel. . . . . . . . . . . . . . . . . . . . . . 90 b. Disqualification of District Judge.. . . . . . . . . . . . . . . . . 9015. IN FORMA PAUPERIS STATUS. . . . . . . . . . . . . . . . . . . . . . 9116. IMMIGRATION.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9117. IMMUNITY. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91 a. Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91 b. Absolute Presidential or Legislative Immunity. . . . . . . 93 c. State Sovereign Immunity. . . . . . . . . . . . . . . . . . . . . . . 93 d. Foreign Sovereign Immunity. . . . . . . . . . . . . . . . . . . . . 93 e. Federal Sovereign Immunity. . . . . . . . . . . . . . . . . . . . . 94 f. Military Service Immunity (Feres doctrine).. . . . . . . . . 94 g. Qualified Immunity of Government Employees. . . . . . 94 i. Order Denying Dismissal or Summary Judgment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94 ii. Only Legal Determinations Subject to Review. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95 iii. Successive Appeals from Orders Denying Immunity. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97 h. Municipal Liability. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97 i. Immunity from Service (“Specialty Doctrine”). . . . . . . 97 j. Settlement Agreement (Contractual Immunity). . . . . . . 98 k. Absolute Judicial Immunity. . . . . . . . . . . . . . . . . . . . . . 98 l. Absolute Political Immunity.. . . . . . . . . . . . . . . . . . . . . 98 m. Absolute Witness Immunity. . . . . . . . . . . . . . . . . . . . . . 98 n. Tribal Sovereign Immunity.. . . . . . . . . . . . . . . . . . . . . . 9818. INJUNCTION.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9819. INTERVENTION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99 a. Intervention as of Right. . . . . . . . . . . . . . . . . . . . . . . . . 99 i. Order Denying Intervention Altogether. . . . . . . . 99 ii. Order Denying Intervention in Part. . . . . . . . . . . 99 b. Permissive Intervention. . . . . . . . . . . . . . . . . . . . . . . . 100 c. Must Appeal Denial of Intervention Immediately. . . . 100 -vii-
  9. 9. 20. MAGISTRATE JUDGE DECISIONS (28 U.S.C. § 636(c)). 100 a. Final Judgment by Magistrate Appealed Directly to Court of Appeals.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100 b. No Appellate Jurisdiction if Magistrate Lacked Authority.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101 c. Parties’ Consent to Entry of Final Judgment by Magistrate. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10121. POST-JUDGMENT ORDERS. . . . . . . . . . . . . . . . . . . . . . . . 103 a. Post-Judgment Orders Generally Final.. . . . . . . . . . . . 103 b. Separate Notice of Appeal Generally Required. . . . . . 103 c. Appealability of Specific Post-Judgment Orders. . . . . 104 i. Post-Judgment Order Granting or Denying Attorney’s Fees. . . . . . . . . . . . . . . . . . . . . . . . . 104 ii. Post-Judgment Order Granting or Denying Costs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104 iii. Post-Judgment Order Granting or Denying New Trial. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105 iv. Post-Judgment Orders Related to Discovery. . . 105 v. Post-Judgment Contempt Orders. . . . . . . . . . . . 105 vi. Orders Granting or Denying Fed. R. Civ. P. 60(b) Relief. . . . . . . . . . . . . . . . . . . . . . . . . . 106 vii. Other Post-Judgment Orders. . . . . . . . . . . . . . . 10622. PRE-FILING REVIEW ORDER. . . . . . . . . . . . . . . . . . . . . . 10623. RECEIVERSHIP. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10724. REMAND. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107 a. Order Remanding to State Court. . . . . . . . . . . . . . . . . 107 i. Remand Due to Defect in Removal Procedure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108 ii. Remand Due to Lack of Subject Matter Jurisdiction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109 iii. Remand for Reasons Other than Lack of Subject Matter Jurisdiction or Defect in Removal Procedure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111 b. Order Remanding to Federal Agency. . . . . . . . . . . . . . 113 i. Remand to Federal Agency on Factual Grounds. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113 -viii-
  10. 10. ii. Remand to Federal Agency on Legal Grounds. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113 c. Order Denying Petition for Removal from State Court. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115 d. Order Denying Motion to Remand to State Court. . . . 115 25. SANCTIONS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115 26. STAYS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115 a. Stay Granted. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116 i. Abstention-Based Stays. . . . . . . . . . . . . . . . . . . 116 ii. Other Stays. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117 b. Stay Denied.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118 27. SUMMARY JUDGMENT. . . . . . . . . . . . . . . . . . . . . . . . . . . 118 a. Order Denying Summary Judgment. . . . . . . . . . . . . . . 118 b. Order Granting Partial Summary Judgment. . . . . . . . . 119 28. TAX. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119 29. TRANSFER. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119 a. Transfer from District Court to District Court. . . . . . . 120 b. Transfer from District Court to Court of Appeals. . . . 120D. PETITION FOR WRIT OF MANDAMUS. . . . . . . . . . . . . . . . . . . 120 1. GENERALLY. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120 2. BAUMAN FACTORS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120 a. Alternative Relief Unavailable. . . . . . . . . . . . . . . . . . . 121 b. Possibility of Irreparable Damage or Prejudice. . . . . . 122 c. Clear Error by District Court. . . . . . . . . . . . . . . . . . . . 123 d. Potential for Error to Recur. . . . . . . . . . . . . . . . . . . . . 123 e. Important Question of First Impression. . . . . . . . . . . . 123 3. NOTICE OF APPEAL CONSTRUED AS PETITION FOR WRIT OF MANDAMUS. . . . . . . . . . . . . . . . . . . . . . . . . . . . 124 a. Appeal Construed as Petition for Writ of Mandamus. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124 b. Appeal Not Construed as Petition for Writ of Mandamus. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125 4. AVAILABILITY OF MANDAMUS RELIEF FROM SPECIFIC ORDERS.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125 a. Class Certification Orders. . . . . . . . . . . . . . . . . . . . . . 125 i. Fed. R. Civ. P. 23. . . . . . . . . . . . . . . . . . . . . . . . 125 ii. Decisions Predating Fed. R. Civ. P. 23(f). . . . . 126 -ix-
  11. 11. b. Contempt Orders.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126 c. Discovery Orders. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126 i. Mandamus Relief Available. . . . . . . . . . . . . . . . 126 ii. Mandamus Relief Not Available. . . . . . . . . . . . 127 d. Disqualification Orders.. . . . . . . . . . . . . . . . . . . . . . . . 128 i. Disqualification of Judge. . . . . . . . . . . . . . . . . . 128 ii. Disqualification of Counsel. . . . . . . . . . . . . . . . 128 e. Jury Demand Orders. . . . . . . . . . . . . . . . . . . . . . . . . . . 129 f. Media Access Orders. . . . . . . . . . . . . . . . . . . . . . . . . . 129 g. Remand Orders. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130 i. Mandamus Relief Available. . . . . . . . . . . . . . . . 130 ii. Mandamus Relief Not Available. . . . . . . . . . . . 131 h. Transfer Orders.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131 i. Other Orders. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132 i. Mandamus Relief Available. . . . . . . . . . . . . . . . 132 ii. Mandamus Relief Not Available. . . . . . . . . . . . 134III. TIMELINESS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136 A. TIME PERIOD FOR APPEAL.. . . . . . . . . . . . . . . . . . . . . . . . . . . . 136 1. TIMELY NOTICE REQUIRED FOR JURISDICTION. . . . 136 2. DEADLINE FOR FILING NOTICE OF APPEAL. . . . . . . . 136 3. WHETHER UNITED STATES IS A PARTY.. . . . . . . . . . . 136 a. Liberal Construction of Fed. R. App. P. 4(a). . . . . . . . 136 b. Determining Party Status. . . . . . . . . . . . . . . . . . . . . . . 137 i. Federal Official as Defendant. . . . . . . . . . . . . . 137 ii. United States as Nominal Plaintiff. . . . . . . . . . . 137 iii. United States Dismissed Prior to Appeal. . . . . . 137 iv. United States as Party in Bifurcated Proceedings. . . . . . . . . . . . . . . . . . . . . . . . . . . . 138 v. United States as Party to Consolidated Action. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 138 vi. Foreign Government Not Treated Like United States. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 138 vii. United States Not a Party to Attorney Discipline Proceeding. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 138 c. Defining Agency.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139 i. Relevant Factors. . . . . . . . . . . . . . . . . . . . . . . . . 139 -x-
  12. 12. ii. Factors Applied. . . . . . . . . . . . . . . . . . . . . . . . . 139 4. COMPUTATION OF TIME TO FILE NOTICE OF APPEAL. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140 a. Days Counted in Determining Deadline for Filing Notice of Appeal.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140 b. Date Notice of Appeal Deemed “Filed”. . . . . . . . . . . . 141 i. Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141 ii. Pro Se Prisoners. . . . . . . . . . . . . . . . . . . . . . . . . 142 5. APPLICABILITY OF FED. R. APP. P. 4(a) TIME LIMITS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142 a. Fed. R. App. P. 4(a) Time Limits Applicable.. . . . . . . 142 b. Fed. R. App. P. 4(a) Time Limits Not Applicable. . . . 143 6. CROSS-APPEALS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144B. ENTRY OF JUDGMENT.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144 1. GENERALLY. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144 2. 150-DAY RULE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145 a. Application of the 150-Day Rule. . . . . . . . . . . . . . . . . 145 3. SEPARATE DOCUMENT REQUIREMENT.. . . . . . . . . . . 146 a. Document Distinct from Memorandum. . . . . . . . . . . . 147 i. Fed. R. Civ. P. 58 Requirements Not Satisfied. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 147 ii. Fed. R. Civ. P. 58 Requirements Satisfied. . . . . 148 b. Lack of Opinion or Memorandum. . . . . . . . . . . . . . . . 149 c. Minute Orders.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149 d. Lack of Separate Judgment Does Not Render Appeal Premature. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150 i. Waiver of Separate Document Requirement by Appellee. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150 ii. Waiver of Separate Document Requirement by Appellant. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151 iii. Objection by Appellee to Lack of Separate Judgment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151 4. MANNER OF ENTERING JUDGMENT. . . . . . . . . . . . . . . 152 5. JUDGMENT SIGNED BY CLERK.. . . . . . . . . . . . . . . . . . . 152 6. NOTICE OF ENTRY OF JUDGMENT.. . . . . . . . . . . . . . . . 153C. PREMATURE NOTICE OF APPEAL.. . . . . . . . . . . . . . . . . . . . . . 153 1. GENERALLY. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153 -xi-
  13. 13. 2. NOTICE FILED BEFORE ENTRY OF JUDGMENT. . . . . 153 a. Premature Notice Effective.. . . . . . . . . . . . . . . . . . . . . 154 b. Premature Notice Not Effective. . . . . . . . . . . . . . . . . . 155 3. REMAINING CLAIMS FINALIZED AFTER NOTICE OF APPEAL. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 156 a. Compare Rule 54(b) Certification. . . . . . . . . . . . . . . . 156 b. Premature Notice of Appeal Cured.. . . . . . . . . . . . . . . 156 c. Premature Notice of Appeal Not Cured. . . . . . . . . . . . 157D. EXTENSION OF TIME TO APPEAL. . . . . . . . . . . . . . . . . . . . . . . 157 1. GENERALLY. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157 a. Extension of Time to Appeal by Court of Appeals. . . 157 b. Extension of Time to Appeal by District Court. . . . . . 158 2. EXTENSION OF TIME TO APPEAL UNDER FED. R. APP. P. 4(a)(5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158 a. Timeliness of Motion for Extension. . . . . . . . . . . . . . . 158 b. Form of Motion for Extension. . . . . . . . . . . . . . . . . . . 158 i. Formal Motion Required. . . . . . . . . . . . . . . . . . 158 ii. When Notice Required. . . . . . . . . . . . . . . . . . . . 159 c. Standard for Granting Motion for Extension. . . . . . . . 159 i. Good Cause. . . . . . . . . . . . . . . . . . . . . . . . . . . . 159 ii. Excusable Neglect. . . . . . . . . . . . . . . . . . . . . . . 159 d. Length of Extension. . . . . . . . . . . . . . . . . . . . . . . . . . . 161 e. Appealability of Extension Order. . . . . . . . . . . . . . . . . 161 3. EXTENSION OF TIME TO APPEAL UNDER FED. R. APP. P. 4(a)(6). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161 a. Timeliness of Motion for Extension. . . . . . . . . . . . . . . 162 b. Form of Motion for Extension. . . . . . . . . . . . . . . . . . . 162 c. Standard for Granting Motion for Extension. . . . . . . . 162 i. Entitlement to Notice of Entry of Judgment. . . 163 ii. Failure to Receive Notice of Entry of Judgment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163 iii. Absence of Prejudice to Any Party. . . . . . . . . . 164 d. Length of Extension. . . . . . . . . . . . . . . . . . . . . . . . . . . 164 e. Appealability of Extension Order. . . . . . . . . . . . . . . . . 164 4. EXTENSION OF TIME TO APPEAL UNDER FED. R. CIV. P. 60(b).. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 164 a. Timeliness of Motion for Extension. . . . . . . . . . . . . . . 165 -xii-
  14. 14. b. Factors Considered in Evaluating Motion for Extension. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165E. UNTIMELY FILING NOT EXCUSED BY UNIQUE CIRCUMSTANCES DOCTRINE. . . . . . . . . . . . . . . . . . . . . . . . . . 166 1. OSTERNECK STANDARD. . . . . . . . . . . . . . . . . . . . . . . . . . 166 2. PRE-OSTERNECK DECISIONS. . . . . . . . . . . . . . . . . . . . . . 167 3. UNIQUE CIRCUMSTANCE DOCTRINE ILLEGITIMATE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 168F. EFFECT OF POST-JUDGMENT MOTIONS. . . . . . . . . . . . . . . . . 168 1. GENERALLY. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 168 2. POST-JUDGMENT TOLLING MOTIONS. . . . . . . . . . . . . 168 a. Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 168 b. Tolling Motion Must Be Specifically Enumerated.. . . 169 c. Tolling Motion Must Be Timely Filed. . . . . . . . . . . . . 169 i. Time Period for Filing Tolling Motion . . . . . . . 170 ii. Days Counted in Calculating Deadline for Filing Tolling Motion. . . . . . . . . . . . . . . . . . . . . . . . . . 171 iii. Classification of Motion Filed Prior to Entry of Judgment as “Post-Judgment”. . . . . . . . . . . . . . 171 iv. Effect of Premature Tolling Motion.. . . . . . . . . 172 v. Effect of Untimely Tolling Motion. . . . . . . . . . 172 d. Tolling Motion Must Be Written or Recorded. . . . . . . 172 e. Tolling Motion Need Not Be Properly Labeled. . . . . . 172 i. Motion to Amend or Vacate Judgment. . . . . . . 173 ii. Motion for Clarification. . . . . . . . . . . . . . . . . . . 173 iii. Motion for Attorney’s Fees. . . . . . . . . . . . . . . . 174 iv. Motion for Costs. . . . . . . . . . . . . . . . . . . . . . . . 174 v. Motion for Prejudgment Interest. . . . . . . . . . . . 175 f. Effect of Motion That Lacks Merit or is Procedurally Defective.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175 g. Tolling Motion May Address Any Appealable Order.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 176 3. NON-TOLLING POST-JUDGMENT MOTIONS. . . . . . . . 176 4. MULTIPLE POST-JUDGMENT MOTIONS. . . . . . . . . . . . 177 -xiii-
  15. 15. IV. NOTICE OF APPEAL (Form, Content and Effect on District Court Jurisdiction). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 178 A. GENERALLY.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 178 B. DOCUMENTS CONSTITUTING NOTICE OF APPEAL. . . . . . . 178 1. GENERALLY. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 178 2. PRO SE APPELLANTS.. . . . . . . . . . . . . . . . . . . . . . . . . . . . 179 3. DOCUMENTS CONSTRUED AS NOTICE OF APPEAL. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180 4. DOCUMENTS NOT CONSTRUED AS NOTICE OF APPEAL. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182 C. CONTENTS OF NOTICE OF APPEAL. . . . . . . . . . . . . . . . . . . . . 182 1. DESIGNATION OF PARTIES APPEALING.. . . . . . . . . . . 182 a. Fed. R. App. P. 3 Requirements. . . . . . . . . . . . . . . . . . 182 b. Parties Inadequately Designated.. . . . . . . . . . . . . . . . . 183 c. Parties Adequately Designated. . . . . . . . . . . . . . . . . . . 184 2. DESIGNATION OF ORDER BEING APPEALED. . . . . . . 185 a. Notice of Appeal Effective Even Though Order Mistakenly or Vaguely Designated. . . . . . . . . . . . . . . 185 b. Notice of Appeal from One Part of Order Deemed to Encompass Other Part of Order. . . . . . . . . . . . . . . . . . 186 c. Notice of Appeal from Final Judgment Deemed to Encompass Prior Rulings. . . . . . . . . . . . . . . . . . . . . . . 187 d. Notice of Appeal from Post-Judgment Order Deemed to Encompass Final Judgment. . . . . . . . . . . . . . . . . . . . . 188 e. Effect of Second Notice of Appeal.. . . . . . . . . . . . . . . 189 3. SIGNATURE OF APPEALING PARTY OR ATTORNEY. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189 D. AMENDED NOTICE OF APPEAL.. . . . . . . . . . . . . . . . . . . . . . . . 190 1. PERMISSIBLE AMENDMENTS. . . . . . . . . . . . . . . . . . . . . 190 2. IMPERMISSIBLE AMENDMENTS.. . . . . . . . . . . . . . . . . . 190 E. CROSS-APPEAL. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 190 1. ARGUMENT SUPPORTING JUDGMENT. . . . . . . . . . . . . 191 2. ARGUMENT ATTACKING JUDGMENT.. . . . . . . . . . . . . 192 3. JURISDICTION OR COMITY ARGUMENT. . . . . . . . . . . 193 F. EFFECT OF NOTICE OF APPEAL ON DISTRICT COURT JURISDICTION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 193 -xiv-
  16. 16. 1. APPEAL FROM FINAL JUDGMENT. . . . . . . . . . . . . . . . . 194 2. APPEAL FROM POST-JUDGMENT ORDER.. . . . . . . . . . 195 3. APPEAL FROM PARTIAL JUDGMENT UNDER RULE 54(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195 4. APPEAL FROM COLLATERAL ORDER. . . . . . . . . . . . . . 195 a. Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195 b. Qualified Immunity Appeal. . . . . . . . . . . . . . . . . . . . . 196 5. APPEAL FROM INTERLOCUTORY ORDER. . . . . . . . . . 196 6. EXCEPTIONS TO DIVESTITURE RULE. . . . . . . . . . . . . . 197 a. Ineffective Notice of Appeal . . . . . . . . . . . . . . . . . . . . 197 b. Jurisdiction to Clarify Order or Correct Error. . . . . . . 197 c. Jurisdiction to Maintain Status Quo. . . . . . . . . . . . . . . 198 i. Jurisdiction to Modify Injunction . . . . . . . . . . . 198 ii. Jurisdiction to Award Sanctions.. . . . . . . . . . . . 199 iii. Jurisdiction to Adjudicate Substantive Rights. . 199V. SCOPE OF APPEAL (Which Orders and Issues Are Considered on Appeal). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200 A. ORDERS CONSIDERED ON APPEAL. . . . . . . . . . . . . . . . . . . . . 200 1. ORDERS CONSIDERED ON APPEAL FROM FINAL DECISION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200 a. Rulings That Merge into a Final Judgment. . . . . . . . . 200 i. Partial Dismissal.. . . . . . . . . . . . . . . . . . . . . . . . 200 ii. Partial Summary Judgment. . . . . . . . . . . . . . . . 201 iii. Denial of Immunity. . . . . . . . . . . . . . . . . . . . . . 201 iv. New Trial Order. . . . . . . . . . . . . . . . . . . . . . . . . 201 v. Class Certification Order. . . . . . . . . . . . . . . . . . 201 vi. Transfer Order. . . . . . . . . . . . . . . . . . . . . . . . . . 202 vii. Disqualification Order. . . . . . . . . . . . . . . . . . . . 202 viii. Contempt Order. . . . . . . . . . . . . . . . . . . . . . . . . 202 ix. Interlocutory Injunctive Order. . . . . . . . . . . . . . 203 x. Order Certified for Permissive Interlocutory Appeal. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 204 xi. Refusal to Rule on Motion. . . . . . . . . . . . . . . . . 204 b. Rulings That Do Not Merge into Final Judgment. . . . 204 i. Interlocutory Orders Not Affecting Outcome. . 204 ii. Certain Collateral Orders. . . . . . . . . . . . . . . . . . 205 -xv-
  17. 17. iii. Orders Certified under Rule 54(b). . . . . . . . . . . 205 iv. Certain Orders Denying Summary Judgment.. . 206 v. Certain Orders Denying Remand. . . . . . . . . . . . 207 vi. Orders Preceding Dismissal for Failure to Prosecute. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 208 vii. Post-Judgment Orders. . . . . . . . . . . . . . . . . . . . 209 2. ORDERS CONSIDERED ON APPEAL FROM AN INJUNCTIVE ORDER UNDER § 1292(a)(1).. . . . . . . . . . . 209 a. Order Granting or Denying Summary Judgment. . . . . 210 b. Order Denying Remand. . . . . . . . . . . . . . . . . . . . . . . . 211 c. Order Granting or Denying Sanctions. . . . . . . . . . . . . 211 d. Entry of Default. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211 e. Order Certifying Class. . . . . . . . . . . . . . . . . . . . . . . . . 212 f. Order Modifying Or Refusing to Modify Injunction. . 212 g. Order Compelling Arbitration. . . . . . . . . . . . . . . . . . . 213 h. Entry of Final Judgment. . . . . . . . . . . . . . . . . . . . . . . . 213 3. ORDERS CONSIDERED ON APPEAL FROM AN ORDER CERTIFIED UNDER § 1292(b).. . . . . . . . . . . . . . . . . . . . . . 214 a. Only Certified Order May Be Reviewed. . . . . . . . . . . 214 b. Any Ruling Contained in Certified Order May Be Reviewed. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 214 4. ORDERS CONSIDERED ON APPEAL FROM AN ORDER CERTIFIED UNDER FED. R. CIV. P. 54(b). . . . . . . . . . . . 215 5. ORDERS CONSIDERED ON APPEAL FROM A COLLATERAL ORDER. . . . . . . . . . . . . . . . . . . . . . . . . . . . 216 a. Review of Related Rulings Permitted.. . . . . . . . . . . . . 216 b. Review of Related Rulings Not Permitted. . . . . . . . . . 217 6. ORDERS CONSIDERED ON APPEAL FROM A POST- JUDGMENT ORDER. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 218 a. Order Denying Fed. R. Civ. P. 60 Motion. . . . . . . . . . 218 b. Order Denying Motion to Intervene. . . . . . . . . . . . . . . 218B. ISSUES CONSIDERED ON APPEAL (WAIVER). . . . . . . . . . . . 218 1. WAIVER OF JURISDICTIONAL ISSUE.. . . . . . . . . . . . . . 218 a. Appellate Jurisdiction. . . . . . . . . . . . . . . . . . . . . . . . . . 218 b. District Court Jurisdiction. . . . . . . . . . . . . . . . . . . . . . 219 i. Issue Not Waived. . . . . . . . . . . . . . . . . . . . . . . . 219 ii. Issue Partially Waived. . . . . . . . . . . . . . . . . . . . 220 -xvi-
  18. 18. iii. Issue Waived. . . . . . . . . . . . . . . . . . . . . . . . . . . 2212. WAIVER OF ISSUE IN DISTRICT COURT. . . . . . . . . . . . 222 a. General Rule. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 222 i. Rule of Discretion. . . . . . . . . . . . . . . . . . . . . . . 223 ii. Waivable Issues. . . . . . . . . . . . . . . . . . . . . . . . . 223 iii. Waiver by Failure to Adequately Raise Issue. . 223 iv. Waiver by Stipulation or Concession. . . . . . . . . 225 b. Exceptions and Exemptions to Rule of Waiver. . . . . . 226 i. Preventing Manifest Injustice.. . . . . . . . . . . . . . 226 ii. Intervening Change in Law. . . . . . . . . . . . . . . . 227 iii. Intervening Change in Circumstance. . . . . . . . . 227 iv. Pure Question of Law.. . . . . . . . . . . . . . . . . . . . 228 v. Issue Considered by District Court. . . . . . . . . . 229 vi. Alternative Basis for Affirming. . . . . . . . . . . . . 229 vii. Additional Citations. . . . . . . . . . . . . . . . . . . . . . 230 c. Waiver and Pleadings. . . . . . . . . . . . . . . . . . . . . . . . . . 230 i. Factual Allegations.. . . . . . . . . . . . . . . . . . . . . . 230 ii. Causes of Action. . . . . . . . . . . . . . . . . . . . . . . . 230 iii. Affirmative Defenses. . . . . . . . . . . . . . . . . . . . . 231 iv. Request for Relief.. . . . . . . . . . . . . . . . . . . . . . . 231 v. Repleading Dismissed Claims in Amended Complaint. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 232 d. Waiver and Pretrial Motions.. . . . . . . . . . . . . . . . . . . . 232 i. Motion to Dismiss. . . . . . . . . . . . . . . . . . . . . . . 232 ii. Motion for Summary Judgment. . . . . . . . . . . . . 233 e. Waiver of Trial Issues.. . . . . . . . . . . . . . . . . . . . . . . . . 233 i. Peremptory Challenges.. . . . . . . . . . . . . . . . . . . 233 ii. Admissibility of Evidence. . . . . . . . . . . . . . . . . 234 iii. Legal Theory. . . . . . . . . . . . . . . . . . . . . . . . . . . 234 iv. Jury Instructions. . . . . . . . . . . . . . . . . . . . . . . . . 234 v. Consistency of Jury Findings. . . . . . . . . . . . . . . 235 vi. Sufficiency of Evidence. . . . . . . . . . . . . . . . . . . 235 vii. Specificity of Court Findings. . . . . . . . . . . . . . . 236 viii. Waiver and Post-Trial/Post-Judgment Submissions. . . . . . . . . . . . . . . . . . . . . . . . . . . . 237 f. Waiver of Magistrate/Special Master Issues. . . . . . . . 238 i. Waiver of Objections to Order of Reference. . . 238 -xvii-
  19. 19. ii. Waiver of Objection to Magistrate’s Findings & Recommendations. . . . . . . . . . . . . . . . . . . . . . . 239 iii. Waiver of Objection to Special Master’s Findings & Conclusions. . . . . . . . . . . . . . . . . . . . . . . . . . 240 3. WAIVER OF ISSUE IN COURT OF APPEALS. . . . . . . . . 241 a. Failure to Raise Issue in Earlier Appeal. . . . . . . . . . . . 241 b. Failure to Adequately Brief Issue. . . . . . . . . . . . . . . . . 241 i. Issue Waived. . . . . . . . . . . . . . . . . . . . . . . . . . . 242 ii. Issue Not Waived. . . . . . . . . . . . . . . . . . . . . . . . 243 c. Failure to Provide Adequate Record on Appeal. . . . . . 244 d. Explicit Abandonment of Issue on Appeal. . . . . . . . . . 245VI. BANKRUPTCY APPEALS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 246 A. OVERVIEW. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 246 1. BANKRUPTCY APPELLATE PROCESS. . . . . . . . . . . . . . 246 2. ORIGINS OF BANKRUPTCY APPEALS. . . . . . . . . . . . . . 246 a. Allocation of Original Bankruptcy Jurisdiction. . . . . . 246 b. Determining Origin of Bankruptcy Decision. . . . . . . . 247 i. Cases Involving District Courts. . . . . . . . . . . . . 247 ii. Cases Involving the BAP. . . . . . . . . . . . . . . . . . 247 B. STATUTORY BASES FOR APPEAL TO NINTH CIRCUIT. . . . 247 1. APPEALS FROM DECISIONS OF BAP OR DISTRICT COURT ACTING IN APPELLATE CAPACITY. . . . . . . . . 247 a. Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 247 b. Finality under 28 U.S.C. § 158(d). . . . . . . . . . . . . . . . 248 i. Standard for Finality.. . . . . . . . . . . . . . . . . . . . . 249 ii. Finality of Orders that Affirm or Reverse Outright. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 250 iii. Finality of Orders Involving Remand. . . . . . . . 250 iv. Finality of Other BAP and District Court Orders. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 256 v. Determining Finality of Underlying Bankruptcy Court Order. . . . . . . . . . . . . . . . . . . . . . . . . . . . 257 c. Other Bases for Ninth Circuit Review. . . . . . . . . . . . . 269 i. 28 U.S.C. § 1292. . . . . . . . . . . . . . . . . . . . . . . . 269 ii. Mandamus. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270 -xviii-
  20. 20. 2. APPEALS FROM DECISIONS OF DISTRICT COURT EXERCISING ORIGINAL BANKRUPTCY JURISDICTION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270 a. Direct Appeal to the Ninth Circuit. . . . . . . . . . . . . . . . 270 b. Standards for Finality. . . . . . . . . . . . . . . . . . . . . . . . . . 270 i. General Rule.. . . . . . . . . . . . . . . . . . . . . . . . . . . 270 ii. “Special Exceptions”. . . . . . . . . . . . . . . . . . . . . 271 iii. Collateral Order Doctrine & Forgay-Conrad Rule. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 271 c. Appealability of Specific Orders. . . . . . . . . . . . . . . . . 271 i. Appealable District Court Decisions. . . . . . . . . 271 ii. Non-Appealable District Court Decisions. . . . . 272 d. Effect of Appeal on District Court Jurisdiction. . . . . . 272C. TIMELINESS OF BANKRUPTCY APPEALS.. . . . . . . . . . . . . . . 272 1. APPEAL FROM DECISION OF BAP OR DISTRICT COURT ACTING IN APPELLATE CAPACITY. . . . . . . . . 272 a. Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273 b. Time to Appeal BAP or District Court Appellate Decision. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273 i. Basic Time Period. . . . . . . . . . . . . . . . . . . . . . . 273 ii. United States as a Party to a Bankruptcy Case. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 274 iii. “Filing” of Notice of Appeal. . . . . . . . . . . . . . . 274 iv. Commencement of Time Period.. . . . . . . . . . . . 274 v. Computation of Appeal Deadline.. . . . . . . . . . . 275 c. Extensions of Time to Appeal. . . . . . . . . . . . . . . . . . . 275 d. Tolling Motions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 275 i. Motion for Rehearing. . . . . . . . . . . . . . . . . . . . . 275 ii. Time in Which to File Motion. . . . . . . . . . . . . . 275 iii. Restarting Time to Appeal. . . . . . . . . . . . . . . . . 276 iv. Need for New or Amended Notice of Appeal. . 276 e. Determining Timeliness of Underlying Appeal from Bankruptcy Court to BAP or District Court. . . . . . . . . 276 i. Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 276 ii. Time Period for Filing Appeal. . . . . . . . . . . . . . 277 iii. Procedure for Filing Notice. . . . . . . . . . . . . . . . 277 iv. Entry of Judgment. . . . . . . . . . . . . . . . . . . . . . . 277 -xix-
  21. 21. v. Effect of Notice Filed Before Entry of Judgment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 278 vi. Extension of Time to Appeal. . . . . . . . . . . . . . . 278 vii. Motions that Toll Time Period for Appeal. . . . . 279 2. APPEALS FROM DECISIONS OF DISTRICT COURT EXERCISING ORIGINAL BANKRUPTCY JURISDICTION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 280D. SCOPE OF BANKRUPTCY APPEALS. . . . . . . . . . . . . . . . . . . . . 280 1. MERGER OF INTERLOCUTORY RULINGS INTO FINAL JUDGMENT. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 280 a. General Rule. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 280 b. Rulings that Merge. . . . . . . . . . . . . . . . . . . . . . . . . . . . 280 c. Rulings that Do Not Merge. . . . . . . . . . . . . . . . . . . . . 281 d. Issues Undecided Below.. . . . . . . . . . . . . . . . . . . . . . . 283 2. WAIVER OF ISSUES. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 283E. DECISIONS BARRED FROM REVIEW IN COURT OF APPEALS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 284 1. DECISIONS WHETHER TO REMAND TO STATE COURT. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 284 2. DECISIONS WHETHER TO ABSTAIN. . . . . . . . . . . . . . . 285 3. DECISIONS WHETHER TO DISMISS OR STAY. . . . . . . 285 4. DECISIONS NOT APPEALABLE BY CERTAIN ENTITIES. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 285 a. Securities and Exchange Commission. . . . . . . . . . . . . 285 b. Federal Transportation Agencies. . . . . . . . . . . . . . . . . 286 c. Labor Unions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 286 d. State and Local Commissions.. . . . . . . . . . . . . . . . . . . 286 e. State Attorneys General. . . . . . . . . . . . . . . . . . . . . . . . 286F. CONSTITUTIONAL ISSUES IN BANKRUPTCY APPEALS. . . 286 1. STANDING TO APPEAL. . . . . . . . . . . . . . . . . . . . . . . . . . . 286 a. General Rule. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 286 b. Examples of Standing to Appeal. . . . . . . . . . . . . . . . . 287 c. Examples of No Standing to Appeal. . . . . . . . . . . . . . 289 2. MOOTNESS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 289 a. Appeals Concerning Property Transactions. . . . . . . . . 289 i. Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 289 ii. Broad Application of Stay Requirement. . . . . . 290 -xx-
  22. 22. iii. Good Faith Requirement. . . . . . . . . . . . . . . . . . 290 iv. Need for Transaction Participants to Be Present on Appeal to Avoid Mootness.. . . . . . . . . . . . . . . . 292 v. Exceptions to Mootness. . . . . . . . . . . . . . . . . . . 292 vi. Rejected Theories for Avoiding Mootness.. . . . 294 vii. Scope of Mootness. . . . . . . . . . . . . . . . . . . . . . . 294 b. Appeals Concerning Loan Transactions. . . . . . . . . . . . 295 c. Appeals Concerning Reorganization Plans. . . . . . . . . 296 d. Payment of, or Inability to Pay, Judgments, Settlements or Fees. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 297 i. Payment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 297 ii. Inability to Pay. . . . . . . . . . . . . . . . . . . . . . . . . . 298 e. Dismissal of Bankruptcy Case While Appeal is Pending. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 299 f. Nature of Stay Needed to Prevent Mootness. . . . . . . . 300 i. Stay Must Be Issued by Court with Jurisdiction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 300 ii. Stay Must Pertain to Affected Transactions.. . . 300 iii. Stay Must Cover Time of Affected Transactions. . . . . . . . . . . . . . . . . . . . . . . . . . . . 300VII. AGENCY AND TAX COURT APPEALS.. . . . . . . . . . . . . . . . . . . . . . . . 301 A. AGENCY DECISIONS GENERALLY. . . . . . . . . . . . . . . . . . . . . . 301 1. INITIATING APPELLATE REVIEW OF AGENCY DECISIONS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 301 2. AGENCY DECISIONS FOR WHICH DIRECT REVIEW BY THE COURT OF APPEALS IS AUTHORIZED. . . . . . . . . 301 a. Specific Agencies. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 301 b. Venue. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 307 c. Time in Which to Petition for Review.. . . . . . . . . . . . 307 B. IMMIGRATION CASES. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 308 C. TAX COURT DECISIONS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 308 1. INITIATING APPELLATE REVIEW OF TAX COURT DECISIONS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 308 2. VENUE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 308 3. TIME IN WHICH TO FILE NOTICE OF APPEAL. . . . . . . 308 -xxi-
  23. 23. VIII. DIRECT CRIMINAL APPEALS. . . . . . . . . . . . . . . . . . . . . . 310A. APPEAL BY DEFENDANT (28 U.S.C. § 1291, 1292(a)(1)). . . . . 310 1. STATUTORY AUTHORITY. . . . . . . . . . . . . . . . . . . . . . . . 310 a. Final Judgment (Sentence). . . . . . . . . . . . . . . . . . . . . . 310 b. Interlocutory Order (Injunction). . . . . . . . . . . . . . . . . . 310 c. Collateral Order. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 311 i. Collateral Order Doctrine.. . . . . . . . . . . . . . . . . 311 ii. Pendent Jurisdiction. . . . . . . . . . . . . . . . . . . . . . 312 2. ASSETS SEIZURE OR RESTRAINT. . . . . . . . . . . . . . . . . . 313 3. BAIL DECISION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 313 a. Pretrial Bail.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 313 b. Bail Pending Appeal by Federal Defendants. . . . . . . . 314 c. Bail in Habeas Cases Brought by State Prisoners. . . . 315 d. Bail in Extradition Cases. . . . . . . . . . . . . . . . . . . . . . . 315 e. Bail in Cases Concerning Revocation of Supervised Release or Probation. . . . . . . . . . . . . . . . . . . . . . . . . . . 315 i. Bail Pending Disposition in District Court. . . . 315 ii. Bail Pending Appeal.. . . . . . . . . . . . . . . . . . . . . 315 4. COMMITMENT ORDER. . . . . . . . . . . . . . . . . . . . . . . . . . . 315 5. CONSTITUTIONALITY OF DEATH PENALTY STATUTE.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 316 6. DANGEROUSNESS HEARING UNDER 18 U.S.C. § 4246 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 316 7. DISCLOSURE OF FINANCIAL INFORMATION. . . . . . . 316 8. DISCOVERY REQUESTS. . . . . . . . . . . . . . . . . . . . . . . . . . 316 9. DISMISSAL OF INDICTMENT. . . . . . . . . . . . . . . . . . . . . . 316 10. DISQUALIFICATION OF COUNSEL. . . . . . . . . . . . . . . . . 317 11. DOUBLE JEOPARDY AND SUCCESSIVE PROSECUTION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 317 a. Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 317 b. Double Punishment.. . . . . . . . . . . . . . . . . . . . . . . . . . . 318 c. Res Judicata and Collateral Estoppel. . . . . . . . . . . . . . 319 d. Successive Prosecution under 18 U.S.C. § 5032. . . . . 319 12. GRAND JURY IRREGULARITIES. . . . . . . . . . . . . . . . . . . 319 13. IMMUNITY. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 320 14. INDICTMENT CLAUSE VIOLATION. . . . . . . . . . . . . . . . 321 -xxii-
  24. 24. 15. JURISDICTION OF DISTRICT COURT. . . . . . . . . . . . . . . 321 16. JUVENILE PROSECUTED AS ADULT. . . . . . . . . . . . . . . 321 17. JUVENILE RIGHT TO SPEEDY TRIAL. . . . . . . . . . . . . . . 322 18. LACK OF FAIR WARNING. . . . . . . . . . . . . . . . . . . . . . . . . 322 19. PLEA AGREEMENTS.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 322 20. PRIMARY JURISDICTION DOCTRINE. . . . . . . . . . . . . . . 322 21. PROBABLE CAUSE DETERMINATION. . . . . . . . . . . . . . 323 22. PROSECUTORIAL MISCONDUCT. . . . . . . . . . . . . . . . . . 323 a. Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 323 b. Vindictive or Selective Prosecution. . . . . . . . . . . . . . . 323 23. RES JUDICATA AND COLLATERAL ESTOPPEL. . . . . . 324 24. RETURN OF PROPERTY. . . . . . . . . . . . . . . . . . . . . . . . . . . 324 25. SHACKLING ORDER.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 324 26. SPEEDY TRIAL RIGHTS. . . . . . . . . . . . . . . . . . . . . . . . . . . 324 a. Sixth Amendment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 324 b. Speedy Trial Act. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 324 c. Interstate Agreement on Detainers Act.. . . . . . . . . . . . 325 27. STATUTE OF LIMITATIONS. . . . . . . . . . . . . . . . . . . . . . . 325 28. SUFFICIENCY OF INDICTMENT.. . . . . . . . . . . . . . . . . . . 325 29. SUPPRESSION OF EVIDENCE OR RETURN OF PROPERTY. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 325 a. Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 325 b. Criminal Proceedings Pending. . . . . . . . . . . . . . . . . . . 326 30. TRANSFER. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 326B. APPEAL BY GOVERNMENT (28 U.S.C. § 1291, 18 U.S.C. § 3731). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 327 1. STATUTORY AUTHORITY. . . . . . . . . . . . . . . . . . . . . . . . 327 a. Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 327 b. 18 U.S.C. § 3731. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 327 c. 28 U.S.C. § 1291. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 327 d. Appeal by State Government. . . . . . . . . . . . . . . . . . . . 328 i. Order Denying Remand. . . . . . . . . . . . . . . . . . . 328 ii. Other Orders.. . . . . . . . . . . . . . . . . . . . . . . . . . . 328 2. ORDER GRANTING DISMISSAL, NEW TRIAL, OR ACQUITTAL. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 328 a. Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 329 i. Order of Dismissal. . . . . . . . . . . . . . . . . . . . . . . 329 -xxiii-
  25. 25. ii. Order Tantamount to Dismissal. . . . . . . . . . . . . 329 iii. Order Granting New Trial. . . . . . . . . . . . . . . . . 329 iv. Acquittal. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 329 b. Double Jeopardy Limitations. . . . . . . . . . . . . . . . . . . . 330 i. Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 330 ii. Attachment of Jeopardy. . . . . . . . . . . . . . . . . . . 330 iii. “Acquittal” of Defendant. . . . . . . . . . . . . . . . . . 331 c. Further Factual Proceedings Necessary. . . . . . . . . . . . 335 i. General Rule.. . . . . . . . . . . . . . . . . . . . . . . . . . . 335 ii. Need for Formal Finding of Guilt. . . . . . . . . . . 335 d. Scope of Double Jeopardy Bar. . . . . . . . . . . . . . . . . . . 336 i. Alternative Theories of Liability. . . . . . . . . . . . 336 ii. Separate Counts. . . . . . . . . . . . . . . . . . . . . . . . . 336 e. Use of Mandamus to Avoid Double Jeopardy Bar. . . . 337 3. ORDER SUPPRESSING/EXCLUDING EVIDENCE OR REQUIRING RETURN OF SEIZED PROPERTY. . . . . . . . 337 a. Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 337 b. Provision Broadly Interpreted. . . . . . . . . . . . . . . . . . . 338 c. Certification Requirement. . . . . . . . . . . . . . . . . . . . . . 339 i. Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 339 ii. No Purpose of Delay. . . . . . . . . . . . . . . . . . . . . 340 iii. “Substantial Proof of a Fact Material” . . . . . . . 340 iv. Timing of Certification.. . . . . . . . . . . . . . . . . . . 340 d. Double Jeopardy Limitation. . . . . . . . . . . . . . . . . . . . . 341 e. Cross-Appeals by Defendants. . . . . . . . . . . . . . . . . . . 341 4. ORDER IMPOSING SENTENCE. . . . . . . . . . . . . . . . . . . . . 342 a. Sentence Imposed under Guidelines.. . . . . . . . . . . . . . 342 b. Other Sentences and Related Orders. . . . . . . . . . . . . . 342 5. ORDER RELEASING PERSON CHARGED OR CONVICTED. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 343 6. OTHER ORDERS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 343 a. Additional Orders Appealable by the Government. . . 344 b. Additional Orders Not Appealable by the Government. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 345C. APPEALS CONCERNING GRAND JURY PROCEEDINGS. . . . 345 1. ORDER GRANTING MOTION TO QUASH GRAND JURY SUBPOENA. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 346 -xxiv-
  26. 26. 2. ORDER DENYING MOTION TO QUASH GRAND JURY SUBPOENA. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 346 3. ORDER CONFINING RECALCITRANT WITNESS (28 U.S.C. § 1826). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 346 4. ORDER DENYING KASTIGAR HEARING. . . . . . . . . . . . . 347 5. ORDER GRANTING OR DENYING DISCLOSURE OF GRAND JURY MATERIALS. . . . . . . . . . . . . . . . . . . . . . . . 347 a. Disclosure Motions Made During Criminal Proceedings.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 347 b. Independent Actions Seeking Disclosure. . . . . . . . . . . 347D. APPEALS FROM DECISIONS OF MAGISTRATE JUDGES. . . 348 1. INITIAL APPEAL TO DISTRICT COURT. . . . . . . . . . . . . 348 a. Statutory Authority. . . . . . . . . . . . . . . . . . . . . . . . . . . . 348 b. Time in Which to Appeal. . . . . . . . . . . . . . . . . . . . . . . 348 c. Appeals Mistakenly Taken to Ninth Circuit. . . . . . . . . 348 2. APPEALS FROM DISTRICT COURT TO NINTH CIRCUIT. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 349 a. Statutory Authority. . . . . . . . . . . . . . . . . . . . . . . . . . . . 349 i. Government Appeals. . . . . . . . . . . . . . . . . . . . . 349 ii. Appeals by Defendants.. . . . . . . . . . . . . . . . . . . 349 iii. Appealability of Non-Final District Court Decisions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 349E. APPEALS CONCERNING DEFENSE FEES AND COMPENSATION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 350 1. DISTRICT COURT JURISDICTION OVER FEE APPLICATION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 350 2. AMOUNT OF COMPENSATION. . . . . . . . . . . . . . . . . . . . 350F. TIMELINESS OF CRIMINAL APPEALS. . . . . . . . . . . . . . . . . . . 351 1. NON-JURISDICTIONAL. . . . . . . . . . . . . . . . . . . . . . . . . . . 351 2. TIME TO FILE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 351 a. Appeal by Defendant. . . . . . . . . . . . . . . . . . . . . . . . . . 351 b. Appeal by Government.. . . . . . . . . . . . . . . . . . . . . . . . 352 3. APPLICABILITY OF FED. R. APP. P. 4(b) TIME LIMITS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 352 a. Cases Governed by Rule 4(b). . . . . . . . . . . . . . . . . . . . 352 b. Cases Not Governed by Rule 4(b). . . . . . . . . . . . . . . . 353 4. COMPUTATION OF APPEAL DEADLINE. . . . . . . . . . . . 354 -xxv-
  27. 27. a. Days Counted. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 354 b. Date Notice of Appeal “Filed”. . . . . . . . . . . . . . . . . . . 354 5. “ENTRY” OF JUDGMENT. . . . . . . . . . . . . . . . . . . . . . . . . . 354 6. DOCUMENTS CONSTRUED AS NOTICE OF APPEAL. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 355 7. PREMATURE NOTICE OF APPEAL. . . . . . . . . . . . . . . . . 355 8. EXTENSION OF TIME TO APPEAL (EXCUSABLE NEGLECT). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 356 a. Timing of Appeal. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 356 i. Appeal Outside 30-Day Extension Period. . . . . 356 ii. Appeal Within 30-Day Extension Period. . . . . . 356 b. Express Finding by District Court. . . . . . . . . . . . . . . . 357 c. “Excusable Neglect” Standard under Pioneer. . . . . . . 357 d. Determining Excusable Neglect. . . . . . . . . . . . . . . . . . 357 i. Lack of Notice from Clerk. . . . . . . . . . . . . . . . . 357 ii. Mistake of Counsel.. . . . . . . . . . . . . . . . . . . . . . 358 iii. Other Grounds. . . . . . . . . . . . . . . . . . . . . . . . . . 358 9. EFFECT OF POST-JUDGMENT MOTIONS. . . . . . . . . . . . 358 a. Motion for Reconsideration (by Defendant or Government). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 358 b. Other Post-Judgment Motions (by Defendant).. . . . . . 359 c. Notice of Appeal Filed While Post-Judgment Motion Pending. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 359G. SCOPE OF DIRECT CRIMINAL APPEALS. . . . . . . . . . . . . . . . . 360 1. ISSUES NOT RAISED BELOW. . . . . . . . . . . . . . . . . . . . . . 360 a. Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 360 b. Plain Error. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 360 c. Other Grounds. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 361 2. SCOPE OF APPEAL BY DEFENDANT. . . . . . . . . . . . . . . 361 a. Review of Interlocutory Order on Appeal from Final Judgment.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 361 b. Ability of Other Defendants to Join in Appeal. . . . . . . 362 c. Appeals from Separate Cases Arising from Same Conduct.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 362 d. Appeal Following Unconditional Guilty Plea. . . . . . . 362 i. General Rule.. . . . . . . . . . . . . . . . . . . . . . . . . . . 362 ii. Specific Claims Waived by Guilty Plea. . . . . . . 363 -xxvi-
  28. 28. iii. Specific Claims Not Waived by Guilty Plea. . . 364 e. Appeal Following Conditional Guilty Plea. . . . . . . . . 365 f. Appeal Following Guilty Plea under Rule 11(c)(1)(C) Agreement. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 365 g. Waiver of Right to Appeal in Plea Agreement. . . . . . . 366 i. Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 366 ii. Non-Waivable Issues. . . . . . . . . . . . . . . . . . . . . 366 iii. Scope of Appeal Waiver. . . . . . . . . . . . . . . . . . 367 3. SCOPE OF APPEAL BY GOVERNMENT. . . . . . . . . . . . . 371 a. Interlocutory Appeal from Successive Orders. . . . . . . 371 b. Effect of Contents of Notice of Appeal. . . . . . . . . . . . 371H. EFFECT OF APPEAL ON DISTRICT COURT JURISDICTION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 372 1. EFFECT OF INTERLOCUTORY APPEALS. . . . . . . . . . . . 372 a. Appeal by Defendant. . . . . . . . . . . . . . . . . . . . . . . . . . 372 i. General Rule.. . . . . . . . . . . . . . . . . . . . . . . . . . . 372 ii. Exceptions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 372 b. Appeal by Government.. . . . . . . . . . . . . . . . . . . . . . . . 373 2. EFFECT OF APPEAL AFTER SENTENCING. . . . . . . . . . 373 a. Effect on Trial of Severed Counts. . . . . . . . . . . . . . . . 373 b. Effect on Motion for New Trial under Fed. R. Crim. P. 33. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 373 c. Effect on Entry of Factual Findings under Fed. R. Crim. P. 32. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 374 d. Effect on Correction of Sentence under Fed. R. Crim. P. 35. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 374 e. Effect on Collateral Attack on Proceedings. . . . . . . . . 374I. MANDAMUS REVIEW. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 375 1. GENERAL PRINCIPLES. . . . . . . . . . . . . . . . . . . . . . . . . . . 375 a. Jurisdictional Basis for Writs. . . . . . . . . . . . . . . . . . . . 375 b. General Standards.. . . . . . . . . . . . . . . . . . . . . . . . . . . . 376 2. DEFENDANTS’ PETITIONS. . . . . . . . . . . . . . . . . . . . . . . . 377 a. Appointment of Public Defender. . . . . . . . . . . . . . . . . 377 b. Arraignment by Closed-Circuit Television. . . . . . . . . 377 c. Authority of Government Attorney. . . . . . . . . . . . . . . 377 d. Bail in Habeas Cases. . . . . . . . . . . . . . . . . . . . . . . . . . 377 e. Constitutionality of Death Penalty Provision. . . . . . . . 377 -xxvii-
  29. 29. f. Dangerousness of Defendant. . . . . . . . . . . . . . . . . . . . 378 g. Disqualification of Defense Counsel. . . . . . . . . . . . . . 378 h. Grand Jury Irregularities.. . . . . . . . . . . . . . . . . . . . . . . 378 i. Restraint Order Directed at Counsel.. . . . . . . . . . . . . . 378 j. Sealing of Defendant’s Financial Information. . . . . . . 379 k. Speedy Trial Act Violation. . . . . . . . . . . . . . . . . . . . . . 379 l. Transfer.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 379 m. Urinalysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 379 n. Venue. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 379 3. GOVERNMENT PETITIONS. . . . . . . . . . . . . . . . . . . . . . . . 380 a. Arrest Warrants.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 380 b. Bill of Particulars. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 380 c. Defenses. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 380 d. Discovery. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 380 e. Removal. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 381 f. Splitting Elements of Crime for Trial. . . . . . . . . . . . . . 381 4. THIRD-PARTY PETITIONS. . . . . . . . . . . . . . . . . . . . . . . . 381 a. Petition by Media Seeking Access. . . . . . . . . . . . . . . . 381 b. Petition by Material Witness Seeking Release. . . . . . . 381J. MOOTNESS IN CRIMINAL APPEALS.. . . . . . . . . . . . . . . . . . . . 382 1. LAPSE OF GRAND JURY TERM. . . . . . . . . . . . . . . . . . . . 382 2. RETURN OF INDICTMENT. . . . . . . . . . . . . . . . . . . . . . . . 382 3. ISSUANCE OF SUPERCEDING CHARGES. . . . . . . . . . . 382 4. CONVICTION OF DEFENDANT. . . . . . . . . . . . . . . . . . . . 383 5. RELEASE OF DEFENDANT FROM CONFINEMENT. . . 383 a. Bail Issues.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 383 b. Defendants’ Challenges to Merits of Conviction. . . . . 383 c. Government Challenge to Reversal of Conviction. . . . 384 d. Challenge to Sentences. . . . . . . . . . . . . . . . . . . . . . . . . 384 i. Initial Sentences. . . . . . . . . . . . . . . . . . . . . . . . . 385 ii. Additional Sentences Imposed on Revocation of Probation. . . . . . . . . . . . . . . . . . . . . . . . . . . . 385 e. Challenges to Competency Proceedings.. . . . . . . . . . . 385 6. DEPORTATION OF DEFENDANT. . . . . . . . . . . . . . . . . . . 386 7. DEFENDANTS’ FUGITIVE STATUS. . . . . . . . . . . . . . . . . 386 a. Government Appeals. . . . . . . . . . . . . . . . . . . . . . . . . . 386 i. Bail Issues. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 386 -xxviii-
  30. 30. ii. Issues Concerning Reversal of Conviction. . . . 386 b. Appeals by Defendants (Fugitive Disentitlement Doctrine). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 387 i. General Rule Regarding Escape While Appeal is Pending.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 387 ii. Dismissal Not Constitutionally Required. . . . . . 387 iii. Conditional Dismissals.. . . . . . . . . . . . . . . . . . . 388 iv. Application in Cases Where Defendants Return to Custody Prior to Appeal. . . . . . . . . . . . . . . . . . . 388 8. DEATH OF DEFENDANT (Abatement Doctrine). . . . . . . . 389IX. CONSTITUTIONAL LIMITATIONS ON FEDERAL JURISDICTION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 391 A. STANDING. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 391 1. GENERAL PRINCIPLES. . . . . . . . . . . . . . . . . . . . . . . . . . . 391 a. Constitutional Requirements. . . . . . . . . . . . . . . . . . . . 391 b. Prudential Limitations. . . . . . . . . . . . . . . . . . . . . . . . . 392 2. STANDING TO APPEAL. . . . . . . . . . . . . . . . . . . . . . . . . . . 392 a. Party Status. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 392 i. Intervenors. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 392 ii. Non-parties. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 393 b. Aggrieved by Order. . . . . . . . . . . . . . . . . . . . . . . . . . . 397 i. Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 397 ii. Standing of Class Members. . . . . . . . . . . . . . . . 398 iii. Standing of Attorneys/Clients. . . . . . . . . . . . . . 398 iv. Standing of Prevailing Parties. . . . . . . . . . . . . . 399 v. Remittitur Orders .. . . . . . . . . . . . . . . . . . . . . . . 399 vi. Standing to Appeal Voluntary Dismissal. . . . . . 400 B. MOOTNESS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 401 1. JURISDICTIONAL NATURE OF MOOTNESS. . . . . . . . . 401 2. GENERAL STANDARD FOR ASSESSING MOOTNESS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 401 a. Availability of Effective Relief. . . . . . . . . . . . . . . . . . 401 b. Kinds of Relief Available to Preclude Mootness. . . . . 402 i. Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 402 ii. Focus on Injuries for Which Relief is Sought. . 402 -xxix-

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