10th Cir. R. 11

11.1 Record retained in district court (appendix filed). (A) Notice from district court. In appeals in which an appendix is required by Rule 30.1, see also 10th Cir. R. 10.3(B), the district court clerk will notify the parties and the circuit clerk when the record is complete (i.e., when the appellant certifies that no transcript will be ordered or the transcript is filed).

(B) Appendix. Appellant electronically files the appendix concurrently with the opening brief. The appendix must comply with all provisions of 10th Cir.

R. 30.1.

The appellee may file a supplemental appendix in accordance with Rule 30.2. 11.2 Record transmitted to court of appeals (when required). (A) Designated record. In an appeal in which an appellant is represented by appointed counsel, the district court clerk must forward the record to the circuit clerk as required by Federal Rule of Appellate Procedure 11(b).

See also 10th Cir.

R. 10.3(A).

The record must include any transcript that has been filed for the appeal. (B) Pro se record. In pro se appeals, a record on appeal will be prepared and docketed. See 10th Cir.

R. 10.3(C).

(C) Original file. In a pro se appeal in which the district court denies the appellant permission to proceed without prepayment of fees or denies a certificate of appealability, the district court clerk may transmit the district court’s “original file” to the circuit clerk. 44 (D) Electronic submission. When the district court clerk transmits a record electronically, the various volumes shall be forwarded as separate .pdf files.

Pleadings must be bookmarked, and sealed volumes shall be identified as such. 11.3 Sealed materials. (A) (B) In the appendix. Rule 25.6 applies to sealed materials in the appendix.

In the record on appeal. When materials sealed by district court order are forwarded as part of the record, the district court clerk must: (1) separate the sealed materials from other portions of the record; (2) enclose them in an envelope clearly marked “Sealed” if forwarded in hard copy or identify them as sealed in a separate electronic volume when transmitted; and (3) affix a copy of the sealing order to the outside of the envelope if the sealed material is not available electronically. (C) Pretrial services reports, presentence investigation reports, and statements of reasons. Pretrial services reports, presentence reports, and statements of reasons are confidential.

If a pretrial services report, a presentence report, or a statement of reasons is forwarded as part of the record on appeal, the district court clerk must treat it like sealed material under this rule. 45 Fed. R. App. P. Rule 12. Docketing the Appeal; Filing a Representation Statement; Filing the Record (a) Docketing the Appeal. Upon receiving the copy of the notice of appeal and the docket entries from the district clerk under Rule 3(d), the circuit clerk must docket the appeal under the title of the district-court action and must identify the appellant, adding the appellant’s name if necessary.

(b) Filing a Representation Statement. Unless the court of appeals designates another time, the attorney who filed the notice of appeal must, within 14 days after filing the notice, file a statement with the circuit clerk naming the parties that the attorney represents on appeal. (c) Filing the Record, Partial Record, or Certificate. Upon receiving the record, partial record, or district clerk’s certificate as provided in Rule 11, the circuit clerk must file it and immediately notify all parties of the filing date.

(As amended Apr. 24, 1998, eff. Dec. 1, 1998; May 7, 2009, eff.

Dec. 1, 2009.) No local rule. 46 Fed. R. App. P. Rule 12.1. Remand After an Indicative Ruling by the District Court on a Motion for Relief That Is Barred by a Pending Appeal (a) Notice to the Court of Appeals.

If a timely motion is made in the district court for relief that it lacks authority to grant because of an appeal that has been docketed and is pending, the movant must promptly notify the circuit clerk if the district court states either that it would grant the motion or that the motion raises a substantial issue. (b) Remand After an Indicative Ruling. If the district court states that it would grant the motion or that the motion raises a substantial issue, the court of appeals may remand for further proceedings but retains jurisdiction unless it expressly dismisses the appeal. If the court of appeals remands but retains jurisdiction, the parties must promptly notify the circuit clerk when the district court has decided the motion on remand.

(Eff. Dec. 1, 2009.) No local rule.

47 TITLE III.

APPEALS FROM THE UNITED STATES TAX COURT

Fed. R. App. P. Rule 13. Appeals from the Tax Court (a) Appeal as of Right. (1) How Obtained; Time for Filing a Notice of Appeal. (A) An appeal as of right from the United States Tax Court is commenced by filing a notice of appeal with the Tax Court clerk within 90 days after the entry of the Tax Court’s decision.

At the time of filing, the appellant must furnish the clerk with enough copies of the notice to enable the clerk to comply with Rule 3(d). If one party files a timely notice of appeal, any other party may file a notice of appeal within 120 days after the Tax Court’s decision is entered. (B) If, under Tax Court rules, a party makes a timely motion to vacate or revise the Tax Court’s decision, the time to file a notice of appeal runs from the entry of the order disposing of the motion or from the entry of a new decision, whichever is later. (2) Notice of Appeal; How Filed.

The notice of appeal may be filed either at the Tax Court clerk’s office in the District of Columbia or by sending it to the clerk. If sent by mail the notice is considered filed on the postmark date, subject to § 7502 of the Internal Revenue Code, as amended, and the applicable regulations. (3) Contents of the Notice of Appeal; Service; Effect of Filing and Service. Rule 3 prescribes the contents of a notice of appeal, the manner of service, and the effect of its filing and service.

Form 2 in the Appendix of Forms is a suggested form of a notice of appeal. (4) The Record on Appeal; Forwarding; Filing. (A) Except as otherwise provided under Tax Court rules for the transcript of proceedings, the appeal is governed by the parts of Rules 10, 11 and 12 regarding the record on appeal from a district court, the time and manner of forwarding and filing, and the docketing in the court of appeals. 48 (B) If an appeal is taken to more than one court of appeals, the original record must be sent to the court named in the first notice of appeal filed.

In an appeal to any other court of appeals, the appellant must apply to that other court to make provision for the record. (b) Appeal by Permission. An appeal by permission is governed by Rule 5. (As amended Apr.

24, 1998, eff. Dec. 1, 1998; Apr. 16, 2013, eff.

Dec. 1, 2013; Apr. 25, 2019, eff. Dec.

1, 2019.) No local rule. 49 Fed. R. App. P. Rule 14. Applicability of Other Rules to Appeals from the Tax Court All provisions of these rules, except Rules 4, 6-9, 15-20, and 22-23, apply to appeals from the Tax Court. References in any applicable rule (other than Rule 24(a to the district court and district clerk are to be read as referring to the Tax Court and its clerk.

(As amended Apr. 24, 1998, eff. Dec. 1, 1998; Apr.

16, 2013, eff. Dec. 1, 2013.)