Handbook II.C: Filings

1. Compliance with Rules

The Clerk's Office examines all items submitted for filing to ensure that they comply with the Federal Rules of Appellate Procedure and the Circuit Rules. All filings must include the name of the attorney or party making the filing, the firm name, if any, the attorney's or party’s postal address and telephone number, and e-mail address for electronic filers. The Clerk's Office has the authority to direct the correction of any filing that is not in compliance with the Federal Rules of Appellate Procedure or the Circuit Rules, or direct the filing of an appropriate motion. If a party fails to comply with the Clerk’s direction, the matter will be submitted to a panel for disposition.

Pursuant to Federal Rule of Appellate Procedure 25, the Court has authorized the filing and service of documents by electronic means. See D.C. Cir. Rule 25. Electronic filers must consult and comply with the Circuit Rules governing the Court’s electronic filing system and with the electronic filing procedures posted on the Court’s website. Upon motion and a showing of good cause, the Court may exempt a party from the electronic filing requirements and authorize filing by means other than use of the electronic filing system. See D.C. Cir. Rule 25(c)(2).

Audio and video files should be submitted pursuant to the Court’s Procedures for Filing Audio and Video Files, which can be found on the Court’s website.

2. Timeliness (See Fed. R. App. P. 25(a), 26; D.C. Cir. Rules 25, 26, 27(g), 28(e).)

In computing times prescribed for filings, the day of the event from which the prescribed period begins to run is not included. All intermediate days are included. If the last day of the period falls on a Saturday, Sunday, legal holiday, or a day on which the Clerk's Office is otherwise closed or inaccessible, the period is extended to the next business day. Fed. R. App. P. 26(a)(1), (3); D.C. Cir. Rule 45(b). For forward-counted periods – that is, periods that are measured after an event – "legal holiday" is defined to include a day declared a holiday by the state in which the circuit clerk's principal office is located. Fed. R. App. P. 26(a)(6)(C). Because "state" includes the District of Columbia for purposes of these rules (Fed. R. App. P. 1(b)), any day that has been declared a holiday by the District of Columbia counts as a legal holiday that extends a deadline, but only when computing a forward-counted period. By contrast, if a filing is due 7 days before an event (for example, before a brief is due), that is considered a "backward-counted period," and if the 7th day falls on a District of Columbia holiday, the filing is due that day because state holidays are not legal holidays when computing a backward-counted deadline.

A document filed electronically is deemed filed on the date and at the time stated on the Notice of Docket Activity from the Court. To be considered timely filed that day, filing must be completed before midnight Eastern Time unless a specific time is set by Court order. See D.C. Cir. Rule 26(a). Unless the Court has ordered filing by hand or other means, electronic filers may file paper copies of non-emergency documents by first-class mail, or other class of mail that is at least as expeditious, within 2 business days of the electronic filing. See D.C. Cir. Rules 25(d), 32(d)(4).

For non-electronic filers, a motion may be filed by mail addressed to the Clerk, but the papers must reach the Clerk's Office within the time prescribed. Only briefs, not motions or other pleadings, are timely if mailed on the date due. The Court, however, prefers to receive briefs on the date due. Briefs must be filed according to the schedule set by the Court.

Service by methods other than personal or electronic service extends by 3 calendar days the time for responding to the paper served (other than briefs, whose due dates are set by schedule). In addition, for good cause, the Court may extend the time prescribed for filing any papers or allow filings out of time. However, the Court lacks the authority to extend the time for filing papers that commence an appeal, such as a notice of appeal, a petition for review, or a petition filed pursuant to 28 U.S.C. § 1292(b) or Federal Rule of Civil Procedure 23(f).

Any filing or brief (with the exception of emergency, confidential, or sealed documents) may be left, on the date due, in the Court of Appeals filing depository, located inside the William B. Bryant Annex on the Third Street side of the Courthouse, unless the Court has ordered that the filing be made at a time certain. The filing depository is available 24 hours a day, 7 days a week. All filings must be enclosed in an envelope or otherwise securely wrapped. The maximum dimensions for documents deposited are 14 ½ inches by 11 ½ inches by 10 inches. Materials exceeding these dimensions must be split into separate packages and clearly marked. A form provided near the depository must be completed, date/time stamped, and affixed to each package.

Under the Court's Case Management Plan, briefing schedules are usually set after the case has been screened and classified by the Legal Division, and after all outstanding procedural and dispositive motions have been resolved. In cases classified as "Regular Merits" cases, the oral argument date is usually announced by a separate order that is issued after the order establishing the briefing schedule. In cases classified as potential "Rule 34(j)" cases, the briefing schedule is set in the order notifying the parties that the case might be disposed of without oral argument under Circuit Rule 34(j). Finally, in cases classified as "Complex," or otherwise identified for management under the Case Management Plan, the briefing format and schedule are formulated by the special panel in conjunction with the Legal Division, in most cases based on the parties’ responses to an order soliciting a proposed briefing schedule and format. The amount of time for briefing a case may vary, depending on whether it is a district court or agency case, whether there are intervenors or amici curiae, whether there are cross-appeals, and whether there is a deferred appendix.

Deadlines are monitored by the Clerk's Office; when the deadlines are not met, the matter is called to the party’s attention by phone call, email, letter, or an order from the Court directing the party to show cause why certain action should not be taken. Depending on the nature of the deadline, such action could include dismissal for failure to prosecute the appeal.

The Clerk's Office has been directed to bring to the attention of the Court the names of counsel who repeatedly abuse the time limits in the rules. In extreme instances, this has led to a referral to the Court's Committee on Admissions and Grievances.

Counsel are advised that whenever there are serious settlement negotiations in progress, including post-argument settlement discussions, the parties must advise the Clerk of that fact and must notify the Clerk at the earliest possible moment if settlement is reached.

3. Service (See Fed. R. App. P. 25; D.C. Cir. Rule 25.)

Parties or counsel filing papers must serve copies on all other parties to the case, at or before the time of filing, unless the rules provide for service by the Clerk. Service must be on counsel if a party is represented by counsel. The Notice of Docket Activity that is generated by the Court’s electronic filing system constitutes service on all parties who are registered electronic filers. Parties who are not electronic filers must be served by an alternative method of service authorized by Federal Rule of Appellate Procedure 25(c). Any filing that is not served electronically must contain a certificate of service. Service by mail or by commercial carrier is complete on mailing or delivery to the carrier. Service by electronic means is complete on filing or sending, unless the party making service is notified that the paper was not received by the party served. In emergency situations, upon authorization by the Clerk, papers may be filed with the Court electronically or by facsimile transmission.

4. Dockets

When an appeal is filed in the Court, the Clerk's Office establishes a docket using an annual sequential numbering series. Docket numbers in agency cases begin with "1000" and are prefixed by the year, e.g., 24-1001, 24-1002, etc. Docket numbers in criminal cases begin with "3000"; docket numbers in district court civil cases in which the federal government is a party begin with "5000"; docket numbers in district court civil cases involving private parties begin with "7000"; docket numbers in cases which have not yet been accepted for filing begin with "8000"; and docket numbers in attorney disciplinary matters begin with "8500."

5. Privacy Protection

Litigants must be aware of the federal rules and take all necessary precautions to protect the privacy of parties, witnesses, and others whose personal information appears in court filings. Sensitive personal data must be removed from documents filed with the Court and made available to the public — whether the document is filed electronically or in paper form. All filers must comply with Federal Rule of Appellate Procedure 25(a)(5) and Circuit Rule 25(e) and must follow the guidance on redacting personal data identifiers that is posted on the Court’s website.