1. Written March 1999
Updated December 2009
Corrections and comments should be e-mailed to
Jennifer Rich at jennifer_rich@ca9.uscourts.gov
This outline is intended for use as a starting point for research. It is not intended to express the
views or opinions of the Ninth Circuit, and it may not be cited to or by the courts of this circuit.

2. Table of Contents
I. INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
II. 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
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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. . . . . . . . . . . . . . . . . 26
B. 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
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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.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
2. INTERLOCUTORY RECEIVERSHIP ORDERS (28 U.S.C.
§ 1292(a)(2)). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
3. INTERLOCUTORY ADMIRALTY ORDERS
(§ 1292(a)(3)). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
a. Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
b. Appealable Admiralty Orders.. . . . . . . . . . . . . . . . . . . . 42
c. Nonappealable Admiralty Orders. . . . . . . . . . . . . . . . . . 43
4. 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
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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). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
C. 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
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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. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
9. Consolidated Actions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
10. 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. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70
11. Default.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
a. Motion for Default Judgment Granted. . . . . . . . . . . . . . 71
b. Motion for Default Judgment Denied.. . . . . . . . . . . . . . 71
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7. c. Motion to Set Aside Default Judgment Granted.. . . . . . 71
d. Motion to Set Aside Default Judgment Denied. . . . . . . 71
12. 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. . . . . . . . . . . . . . . . . . . . . 80
13. 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
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8. vii.Dismissal Subject to Condition or
Modification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
viii. Dismissal of Fewer Than All Claims. . . . . . . . . . 89
14. DISQUALIFICATION.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
a. Disqualification of Counsel. . . . . . . . . . . . . . . . . . . . . . 90
b. Disqualification of District Judge.. . . . . . . . . . . . . . . . . 90
15. IN FORMA PAUPERIS STATUS. . . . . . . . . . . . . . . . . . . . . . 91
16. IMMIGRATION.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
17. 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.. . . . . . . . . . . . . . . . . . . . . . 98
18. INJUNCTION.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
19. 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
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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. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
21. 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. . . . . . . . . . . . . . . 106
22. PRE-FILING REVIEW ORDER. . . . . . . . . . . . . . . . . . . . . . 106
23. RECEIVERSHIP. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
24. 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. 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. . . . 120
D. 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. 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. . . . . . . . . . . . 134
III. 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
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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. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144
B. 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.. . . . . . . . . . . . . . . . 153
C. PREMATURE NOTICE OF APPEAL.. . . . . . . . . . . . . . . . . . . . . . 153
1. GENERALLY. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153
-xi-

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. . . . . . . . . . . . 157
D. 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. b.
Factors Considered in Evaluating Motion for
Extension. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165
E. UNTIMELY FILING NOT EXCUSED BY UNIQUE
CIRCUMSTANCES DOCTRINE. . . . . . . . . . . . . . . . . . . . . . . . . . 166
1. OSTERNECK STANDARD. . . . . . . . . . . . . . . . . . . . . . . . . . 166
2. PRE-OSTERNECK DECISIONS. . . . . . . . . . . . . . . . . . . . . . 167
3. UNIQUE CIRCUMSTANCE DOCTRINE
ILLEGITIMATE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 168
F. 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
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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
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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. . 199
V. 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. 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. . . . . . . . . . . . . . . 218
B. 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
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18. iii. Issue Waived. . . . . . . . . . . . . . . . . . . . . . . . . . . 221
2. 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
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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. . . . . . . . . . 245
VI. 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
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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. . . . . . 272
C. 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
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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. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 280
D. 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. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 283
E. 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. . . . . . . . . . . . . . . . . . . . . . . . 286
F. 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
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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. . . . . . . . . . . . . . . . . . . . . . . . . . . . 300
VII. 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
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23. VIII. DIRECT CRIMINAL APPEALS. . . . . . . . . . . . . . . . . . . . . . 310
A. 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
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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. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 326
B. 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. 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. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 345
C. APPEALS CONCERNING GRAND JURY PROCEEDINGS. . . . 345
1. ORDER GRANTING MOTION TO QUASH GRAND JURY
SUBPOENA. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 346
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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. . . . . . . . . . . 347
D. 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. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 349
E. APPEALS CONCERNING DEFENSE FEES AND
COMPENSATION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 350
1. DISTRICT COURT JURISDICTION OVER FEE
APPLICATION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 350
2. AMOUNT OF COMPENSATION. . . . . . . . . . . . . . . . . . . . 350
F. 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
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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. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 359
G. 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
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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. . . . . . . . . . . . 371
H. 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. . . . . . . . . 374
I. 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
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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. . . . . . . 381
J. 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
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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). . . . . . . . 389
IX. 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
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31. iii.
Availability of Damages to Preclude
Mootness. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 403
c. “Speculative Contingencies” Insufficient to Sustain
Controversy. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 403
d. Controversy Must Continue Throughout Litigation. . . 404
3. EXCEPTIONS TO MOOTNESS. . . . . . . . . . . . . . . . . . . . . . 405
a. “Capable of Repetition Yet Evading Review”. . . . . . . 405
i. General Standard. . . . . . . . . . . . . . . . . . . . . . . . 405
ii. Events Capable of Being Stayed Pending
Appeal. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 405
iii. Particular Cases Found Justiciable. . . . . . . . . . . 406
iv. Particular Cases Found Not Justiciable. . . . . . . 407
b. Voluntary Cessation. . . . . . . . . . . . . . . . . . . . . . . . . . . 408
i. General Standard. . . . . . . . . . . . . . . . . . . . . . . . 408
ii. Particular Cases Found Justiciable. . . . . . . . . . . 408
iii. Particular Cases Not Justiciable. . . . . . . . . . . . . 409
4. MOOTNESS PRINCIPLES IN PARTICULAR
CONTEXTS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 410
a. Cases Involving Changes to Legislation or
Regulations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 410
i. Generally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 410
ii. Cases Not Mooted . . . . . . . . . . . . . . . . . . . . . . . 410
iii. Cases Mooted. . . . . . . . . . . . . . . . . . . . . . . . . . . 411
b. Declaratory Relief Cases. . . . . . . . . . . . . . . . . . . . . . . 412
c. Cases Involving Property. . . . . . . . . . . . . . . . . . . . . . . 412
i. Cases Not Mooted. . . . . . . . . . . . . . . . . . . . . . . 412
ii. Cases Mooted. . . . . . . . . . . . . . . . . . . . . . . . . . . 413
d. In Rem and Civil Forfeiture Cases. . . . . . . . . . . . . . . . 413
e. Preliminary Injunction Cases. . . . . . . . . . . . . . . . . . . . 414
f. Cases Regarding Summons and Subpoenas. . . . . . . . . 414
g. Class Actions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 415
h. Cases Concerning Intervention.. . . . . . . . . . . . . . . . . . 416
i. Insurance Cases. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 416
j. Environmental Cases. . . . . . . . . . . . . . . . . . . . . . . . . . 416
5. SCOPE OF MOOTING EVENT’S EFFECT.. . . . . . . . . . . . 417
a. Relationship Among Claims for Retrospective and
Prospective Relief.. . . . . . . . . . . . . . . . . . . . . . . . . . . . 417
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32. b. Relationship between Merits and Claims for Attorney’s
Fees. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 418
6. PROCEDURAL ASPECTS OF MOOTNESS. . . . . . . . . . . . 418
a. Duty of Counsel to Notify Court. . . . . . . . . . . . . . . . . 418
b. Burden of Proof. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 419
c. Disposition of Moot Appeals. . . . . . . . . . . . . . . . . . . . 419
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