practitioner's handbook for appeals

189 Pages·2017·1.27 MB·English

by  Patricia Brodie

P ’
RACTITIONER S
H
ANDBOOK FOR
A
PPEALS

TO THE
U S C A
NITED TATES OURT OF PPEALS
S C
FOR THE EVENTH IRCUIT
2020 E
DITION
TABLE OF CONTENTS
Preface .......................................................................................................................... i
Introductory Note ....................................................................................................... ii
Court Response to COVID-19 Pandemic .................................................................. iii
I. Mandatory Electronic Case Filing; Electronic Access to Case
Information, Rules, Procedures & Opinions ............................................... 1
A. Mandatory Electronic Case Filing ................................................... 1
B. Proof of Service Not Needed ............................................................. 1
C. Electronic Access to Seventh Circuit Case Information,
Rules, Procedures & Opinions .......................................................... 2
II. At a Glance: Procedural Steps and Time Limits on Appeals from
District Courts ............................................................................................. 4
A. Appellate Fees ................................................................................... 4
B. Time Limits for Filing Appeal .......................................................... 4
C. Docketing Statement ........................................................................ 5
D. Bond for Costs on Appeal .................................................................. 5
1. Civil cases ............................................................................... 5
2. Interlocutory and certain bankruptcy appeals ..................... 6
E. Supersedeas Bond ............................................................................. 6
F. Transcript of Proceedings ................................................................. 6
1. Criminal Cases ....................................................................... 6
2. Civil Cases .............................................................................. 6
G. Docketing the Appeal ........................................................................ 6
H. Record Preparation ........................................................................... 7
I. Case Management Conferences ....................................................... 7
J. Circuit Mediation Program ............................................................... 7
K. Counsel of Record .............................................................................. 7
L. Disclosure Statements ...................................................................... 7
M. Briefing Schedule .............................................................................. 8
N. Statement Concerning Oral Argument ............................................ 8
O. Oral Argument .................................................................................. 8
P. Petition for Rehearing ...................................................................... 8
Q. Mandate ............................................................................................. 8
R. Petition for Writ of Certiorari........................................................... 9
III. Organization of the Court ......................................................................... 10
IV. Panel Composition and Case Assignment ................................................ 12
V. Admission to Practice Before the Court. ................................................... 14
VI. Appellate Jurisdiction ............................................................................... 15
A. In General ....................................................................................... 15
1. Responsibility of the Court of Appeals to Examine
Jurisdiction ........................................................................... 15
2. Duty of Counsel to Ensure Existence of Jurisdiction ......... 16
3. Parties Cannot Consent to Jurisdiction .............................. 17
4. Parties Cannot Manufacture Final Judgment .................... 17
5. Judges Must Give Reasons .................................................. 18
6. District Court Decisions ....................................................... 18
7. Magistrate Judge Decisions ................................................. 19
8. Tax Court; Administrative Agency Decisions ..................... 20
9. Federal Circuit; Supreme Court; State Court
Decisions ............................................................................... 20
10. Rooker-Feldman Doctrine .................................................... 21
11. Necessity of Counsel ............................................................. 21
B. Screening Procedure in the Seventh Circuit ................................. 22
1. Appellate Jurisdiction .......................................................... 22
2. District Court Jurisdiction ................................................... 23
C. Mootness; Standing to Appeal ........................................................ 24
1. Mootness ............................................................................... 25
2. Standing to Appeal ............................................................... 26
D. Appealability in Criminal Cases .................................................... 30
1. Finality ................................................................................. 30
2. Interlocutory Orders ............................................................ 31
3. Fugitive Disentitlement Doctrine ........................................ 33
E. Appealability in Civil Cases ........................................................... 33
1. Final Judgment .................................................................... 33
2. Post-Judgment Orders ......................................................... 45
3. Costs, Attorney Fees and Sanctions .................................... 45
4. Bankruptcy Appeals ............................................................. 47
5. Administrative Agencies ...................................................... 50
6. Interlocutory Appeals ........................................................... 51
7. Petitions to Obtain Discovery for Use in a Foreign
Proceeding ............................................................................ 63
8. Collateral Order Doctrine .................................................... 63
9. Practical Finality Doctrine .................................................. 65
10. Concept of “Pragmatic Finality” .......................................... 66
11. Pendent Appellate Jurisdiction ........................................... 66
12. Contempt Orders .................................................................. 68
F. Appeal’s Effect on District Court’s Jurisdiction ............................ 69
G. Revision of Judgment During Pendency of Appeal ....................... 70
H. The Time for Filing an Appeal ....................................................... 72
1. Criminal Cases ..................................................................... 72
2. Civil Cases — Appeals from the District Court .................. 76
3. Prisoner Mailbox Rule .......................................................... 87
4. Appeals from Tax Court Decisions ...................................... 88
5. Appeals from Administrative Agencies ............................... 89
I. The Notice of Appeal ....................................................................... 89
1. Identify Who Wants to Appeal ............................................. 90
2. Designate the Judgment or Order Appealed ...................... 91
3. Name the Court to Which the Appeal is Taken .................. 91
4. Signature Requirement ........................................................ 92
5. Amendments to the Notice of Appeal .................................. 92
6. Functional Equivalents ........................................................ 93
J. Mandamus ....................................................................................... 94
VII. Subject Matter Jurisdiction....................................................................... 96
VIII. Scope of Review .......................................................................................... 99
IX. Motions and Docket Control .................................................................... 100
A. Emergency Motions....................................................................... 101
B. Summary Disposition of Case ...................................................... 102
C. Judicial Notice ............................................................................... 102
X. Temporary Relief Pending Appeal .......................................................... 103
A. Civil Cases: Application for Stay Pending Appeal....................... 103
B. Civil Cases: Motion for Injunction Pending Appeal .................... 104
C. Criminal Cases: Motions Concerning Custody Pending
Trial or Appeal .............................................................................. 105
1. Before sentencing ............................................................... 105
2. After sentencing ................................................................. 105
D. Administrative Agency Cases ....................................................... 105
XI. Expedited Appeals ................................................................................... 106
XII. Appeals Involving Requests for Relief Under 28 U.S.C. § 2254
and § 2255; Prisoner Litigation; Death Penalty Cases .......................... 107
A. Collateral Attacks on Convictions or Sentences .......................... 107
1. Certificate of Appealability ................................................ 107
2. Appointment of Counsel; Pauper Status ........................... 108
3. Successive Collateral Attacks ............................................ 109
B. Prisoner Litigation ........................................................................ 109
C. Death Penalty Appeals ................................................................. 109
XIII. Cross-Appeals and Joint Appeals ........................................................... 111
A. Cross-Appeals ................................................................................ 111
B. Joint Appeals ................................................................................. 112
XIV. Appeals In Forma Pauperis and Court-Appointed Counsel .................. 114
A. Appeals In Forma Pauperis .......................................................... 114
B. Court-Appointed Counsel under the Criminal Justice Act ......... 115
C. Recruitment of Counsel in Civil Cases ........................................ 119
XV. General Duties of Counsel in the Court of Appeals ............................... 122
A. Settlement ..................................................................................... 122
B. Appearance of Counsel ................................................................. 122
C. Jurisdiction .................................................................................... 123
D. Requirements for Filing Briefs ..................................................... 123
E. Requirement that all Appeals and Arguments be Well
Grounded; Sanctions for Frivolous Appeals under
Fed. R. App. P. 38. ......................................................................... 124
F. Responsibilities of Counsel When Appellate Adversary
Appears Pro Se .............................................................................. 127
XVI. Duties of Trial Counsel in Criminal Cases with Regard to Appeals ..... 130
A. Perfecting the Appeal ................................................................... 130
B. Counsel Who Does Not Wish to Proceed on Appeal .................... 131
XVII. Dismissal of any Type of Appeal and Withdrawal of Court-
Appointed Counsel ................................................................................... 133
A. Voluntary Dismissal ..................................................................... 133
B. Dismissal for Failure to Perfect Appeal ....................................... 133
C. Withdrawal of Court-Appointed Counsel — The Anders Brief ... 133
D. Dismissal in Pro Se Appeals to Review a Conviction .................. 135
E. Incompetent Appellants ................................................................ 135
F. Fugitive Disentitlement Doctrine ................................................ 135
XVIII. How an Appeal is Taken .......................................................................... 136
A. Appellate Jurisdiction ................................................................... 136
B. Civil and Criminal Appeals from the District Court as a
Matter of Right .............................................................................. 136
C. Bond for Costs on Appeal in Civil Cases. Fed. R. App. P. 7 ........ 136
D. Appeals by Permission from Interlocutory Orders of the
District Court under 28 U.S.C. § 1292(b) ..................................... 137
E. Bankruptcy Appeals ..................................................................... 138
F. Review of Decisions of the United States Tax Court ................... 138
G. Review of Orders of Certain Administrative Agencies,
Boards, Commissions, or Officers ................................................. 139
H. Enforcement of Orders of Certain Administrative Agencies ...... 139
1. Contents of Application for Enforcement; Answer
Required.............................................................................. 139
I. Original Proceedings ..................................................................... 139
1. Time Prescribed .................................................................. 140
2. Contents of the Petition ..................................................... 140
3. Length of Petition ............................................................... 140
4. Further Proceedings ........................................................... 140
XIX. Case Management Conferences and Mediations.................................... 141
A. Case Management Conferences ................................................... 141
B. Mediations ..................................................................................... 141
XX. Docketing, Fees, Docketing Statement, and Disclosure Statement ...... 143
A. Docketing: Fees and Filing ........................................................... 143
B. Docketing Statement .................................................................... 143
C. Disclosure Statement; Corporate Disclosure Statement ............. 144
XXI. Record on Appeal ..................................................................................... 146
A. Ordering and Filing the Transcript ............................................. 146
B. Transcription Fees ........................................................................ 146
C. Composition and Preparation of Trial Court Record ................... 147
D. Composition and Transmission of Administrative Record .......... 149
E. Composition and Transmission of Tax Court Record .................. 149
F. Sealed Items in the Record ........................................................... 149
G. Ability to Litigate Anonymously .................................................. 150
XXII. Writing a Brief ......................................................................................... 152
A. Brief Content Requirements ......................................................... 154
1. Disclosure Statement ......................................................... 154
2. Table of Contents ............................................................... 154
3. Table of Authorities ............................................................ 154
4. Jurisdictional Statement ................................................... 154
5. Statement of the Issue (or Issues) ..................................... 156
6. Statement of the Case ........................................................ 157
7. Summary of the Argument ................................................ 158
8. Standard of Review ............................................................ 158
9. Argument ............................................................................ 159
10. Conclusion .......................................................................... 162
11. Certification ........................................................................ 162
12. Appendix ............................................................................. 162
B. Amicus Briefs ................................................................................ 162
C. Noncompliant Briefs ..................................................................... 163
D. Court’s Rejection of Jurisdictional Statements ........................... 163
E. Motion to Strike Briefs ................................................................. 169
XXIII. Requirements and Suggestions for Typography in Briefs and
Other Papers ............................................................................................ 170
XXIV. Filing and Serving Briefs ........................................................................ 178
A. Time for Filing and Serving Briefs ............................................... 178
B. Extension of Time ......................................................................... 179
C. Failure of a Party to Timely File a Brief ...................................... 179
D. Additional Authority ..................................................................... 180
E. Brief of an Amicus Curiae ............................................................ 180
F. Citation of Unreported Opinion ................................................... 181
G. Number of Copies .......................................................................... 181
H. Format ........................................................................................... 181
I. Contents ........................................................................................ 183
J. Length of Briefs ............................................................................. 183
1. What’s Included .................................................................. 184
2. Oversized Brief ................................................................... 184
K. Required Short Appendix ............................................................. 185
L. References to the Record .............................................................. 185
M. Agreement of Parties to Submit without Oral Argument ........... 185
N. Sequence of Briefing in National Labor Relations Board
Proceedings ................................................................................... 186
O. Sealed Briefs ................................................................................. 186
P. Summary of Certain Technical Requirements ............................ 187
XXV. Certification of State Law to State Supreme Court ............................... 188
XXVI. Preparing and Serving Appendix ............................................................ 189
XXVII. Oral Argument and Submission without Oral Argument ..................... 193
A. Submission with Oral Argument ................................................. 193
B. Scheduling Oral Argument ........................................................... 193
C. Video-Recording of Oral Argument .............................................. 195
D. Courtroom Procedures .................................................................. 195
E. Preparation for Argument ............................................................ 197
F. The Opening Statement ................................................................ 197
G. The Statement of Facts ................................................................. 198
H. The Argument ............................................................................... 198
1. The Applicable Law ............................................................ 198
2. Emphasis ............................................................................ 198
3. Answering Questions ......................................................... 198
4. Delivery ............................................................................... 199
5. Avoid Personalities ............................................................. 200
6. Know the Record ................................................................ 200
7. Guidelines for the Appellee ................................................ 200
8. Access to Oral Arguments .................................................. 201
I. No Oral Reference to Cases Which Have Not Already Been
Cited to the Court in Writing ....................................................... 201
J. Order of Oral Argument in NLRB Proceedings ........................... 201
XXVIII. Deciding an Appeal .................................................................................. 202
XXIX. Remands ................................................................................................... 204
A. Remands for Revision of Judgment .............................................. 204
B. Remands for a New Trial .............................................................. 204
C. Limited Remands .......................................................................... 204
D. General Remand ........................................................................... 205
E. Subsequent Appeal Following Remand ....................................... 206
F. Cases Remanded from the Supreme Court .................................. 206
XXX. Petition for Rehearing ............................................................................. 207
XXXI. En Banc Procedure .................................................................................. 209
XXXII. Costs ......................................................................................................... 211
XXXIII. Appellate Sanctions ................................................................................. 212
XXXIV. Issuance of Mandate ................................................................................ 214
A. Stay of Mandate ............................................................................ 214
B. Recall of Mandate ......................................................................... 215
XXXV. Advisory Committee ................................................................................ 217
XXXVI. Other Resources ....................................................................................... 218
PREFACE
This Practitioner’s Handbook was inspired by a similar publication entitled
“Appeals to the Second Circuit” prepared by the Committee on Federal Courts of the
Association of the Bar of the City of New York (Rev. Ed. 1970), and the
“Practitioner’s Handbook” for the Sixth Circuit, prepared by the Committee on
Federal Courts of the Cincinnati Chapter of the Federal Bar Association (1971).
Both of the above committees, and also the Record Press, Inc., 95 Morton
Street, New York, New York 10014, owner of the copyright on the Second Circuit
publication, consented to the incorporation of substantial portions of their work in
the original Handbook for the Seventh Circuit. The Second and Sixth Circuits’
handbooks, however, have been substantially revised for use in the Seventh Circuit.
The Chief Judge periodically authorizes updates to the Handbook, usually
following revisions to the Federal Rules of Appellate Procedure or the Circuit Rules,
case law developments or new court policies. The 2020 edition has been revised and
updated through September 28, 2020, by Counsel to the Circuit Executive Donald J.
Wall at the direction of Chief Judge Diane S. Sykes and former Chief Judge Diane
P. Wood, and represents the collaborative efforts of court staff.
We appreciate being advised of errors or inconsistencies in the Handbook or
the rules and welcome suggestions for improvement. Suggestions should be sent to
Donald J. Wall, Counsel to the Circuit Executive, United States Court of Appeals for
the 7th Circuit at [email protected]. Requests for information may be
directed to the clerk’s office at 312-435-5850.
NOTE: The clerk’s office has a deserved reputation for helpful assistance to
the bar. Clerk’s office employees, however, cannot interpret the rules or give legal
advice. Attorneys practicing in this court are responsible for the timeliness and
correctness of all filings. Put another way, litigants may not rely on their
conversations with clerk’s office employees to avoid procedural or substantive
requirements. See Sonicraft, Inc. v. N.L.R.B., 814 F.2d 385, 387 (7th Cir. 1987) (a
litigant could not rely upon misleading advice from a court employee to excuse
untimely petition for review). Accordingly, counsel should refer to the applicable
federal and circuit rules, caselaw and this Handbook for guidance.
Current versions of the Federal Rules of Appellate Procedure, the Circuit
Rules of the Seventh Circuit, the Seventh Circuit Operating Procedures, the
Criminal Justice Act Plan, and Electronic Case Filing Procedures are always
available on the Seventh Circuit Home Page, http://www.ca7.uscourts.gov.
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