FOREWORD This document contains the Rules of Criminal Procedure for the United States District Courts together with forms as amended to January 1, 1976. These rules and forms have been promulgated and amended by the United States Supreme Court pursuant to Title 18, United States Code, sections 3771 and 3772, and further amended by Public Law 94-64 (approved July 31, 1975, 89 Stat. 370) and Public Law 94-149 (approved Dec. 12, 1975, 89 Stat 806). It has been prepared by the Committee in response to the need for an official up-todate document containing the latest amendments. For the convenience of the user, where a rule has been amended a reference to the date the amendment was promulgated and the date the amendment became effective follows the text of the rule. The United States Supreme Court Advisory Committee on Rules of Criminal Procedure prepared extensive notes covering various aspects and provisions of the rules. These notes may be found in the Appendix to Title 18, United States Code, following the particular rule to which they relate. JANUARY 1, 1976. Pate, W Radika Chairman, Committee on the Judiciary. III AUTHORITY FOR PROMULGATION OF RULES Title 18, United States Code § 3771. Procedure to and including verdict. The Supreme Court of the United States shall have the power to prescribe, from time to time, rules of pleading, practice, and procedure with respect to any or all proceedings prior to and including verdict, or finding of guilty or not guilty by the court if a jury has been waived, or plea of guilty, in criminal cases and proceedings to punish for criminal contempt of court in the United States district courts, in the district courts for the District of the Canal Zone and the Virgin Islands, in the Supreme Court of Puerto Rico, and in proceedings before United States magistrates. Such rules shall not take effect until they have been reported to Congress by the Chief Justice at or after the beginning of a regular session thereof but not later than the first day of May, and until the expiration of ninety days after they have been thus reported. All laws in conflict with such rules shall be of no further force or effect after such rules have taken effect. Nothing in this title, anything therein to the contrary notwithstanding, shall in any way limit, supersede, or repeal any such rules heretofore prescribed by the Supreme Court. (June 25, 1948, ch. 645, 62 Stat. 846; May 24, 1949, ch. 139, § 59, 63 Stat. 98; May 10, 1950, ch. 174, § 1, 64 Stat. 158; July 7, 1958, Pub. L. 85-508, § 12(k), 72 Stat. 348; Mar. 18, 1959, Pub. L. 86-3, § 14(g), 73 Stat. 11; Oct. 17, 1968, Pub. L. 90-578, title III. § 301 (a) (2), 82 Stat. 1115.) § 3772. Procedure after verdict. The Supreme Court of the United States shall have the power to prescribe, from time to time, rules of practice and procedure with respect to any or all proceedings after verdict, or finding of guilt by the court if a jury has been waived, or plea of guilty, in criminal cases and proceedings to punish for criminal contempt in the United States district courts, in the district courts for the District of the Canal Zone and the Virgin Islands, in the Supreme Court of Puerto Rico, in the United States courts of appeals, and in the Supreme Court of the United States. This section shall not give the Supreme Court power to abridge the right of the accused to apply for withdrawal of a plea of guilty, if such application be made within ten days after entry of such plea, and before sentence is imposed. The right of appeal shall continue in those cases in which appeals are authorized by law, but the rules made as herein authorized may prescribe the times for and manner of taking appeals and applying for writs of certiorari and preparing records and bills of exceptions and the conditions on which supersedeas or bail may be allowed. The Supreme Court may fix the dates when such rules shall take effect and the extent to which they shall apply to proceedings then pending, and after they become effective all laws in conflict therewith shall be of no further force. Nothing in this title, anything therein to the contrary notwithstanding, shall in any way limit, supersede, or repeal any such rules heretofore prescribed by the Supreme Court. (June 25, 1948, ch. 645, 62 Stat. 846; May 24, 1949, ch. 139, § 60, 63 Stat. 98; July 7, 1958, Pub. L. 85-508, § 12(1), 72 Stat. 348; Mar. 18, 1959, Pub. L. 86–3, § 14 (h), 73 Stat. 11.) IV HISTORICAL NOTE The Supreme Court promulgates rules of criminal procedure for the district courts pursuant to two sections of Title 18, United States Code. Section 3771 authorizes the Court to prescribe rules for all criminal proceedings prior to and including verdict, or finding of guilty or not guilty by the court, or plea of guilty. Section 3772 empowers the Court to prescribe rules with respect to all proceedings after verdict or finding of guilty by the court, or plea of guilty. Proceedings Prior to and Including Verdict By act of June 29, 1940, ch. 445, 54 Stat. 688 (subsequently 18 U.S. Code, § 3771), the Supreme Court, was authorized to prescribe general rules of criminal procedures prior to and including verdict, finding of guilty or not guilty by the court, or plea of guilty, in criminal proceedings; which were not to take effect until (1) they had been first reported to the Congress by the Attorney General at the beginning of a regular session, and (2) after the close of that session. By a 1949 amendment to 18 United States Code, § 3771, the Chief Justice of the United States, instead of the Attorney General, now reports the rules to Congress. In 1950, the section was further amended so that amendments to the rules may be reported to Congress not later than May 1 each year and become effective 90 days after being reported. The original rules pursuant to that act were adopted by order of the Court on December 26, 1944, transmitted to the Congress by the Attorney General on January 3, 1945, and became effective on March 21, 1946 (327 U.S. 821; Cong. Rec., vol. 91, pt. 1, p. 17; Exec. Comm. 4; H. Doc. 12, 79th Cong.). Amendments were adopted by order of the Court dated December 27, 1948, transmitted to the Congress by the Attorney General on January 3, 1949, and became effective October 20, 1949 (335 US. 949; Cong. Rec., vol. 95, pt. 1, p. 13: Exec. Comm. 16; H. Doc. 30, 81st Cong.). The amendments affected Rules 17(e) (2), 41(b) (3), 41(g), 54 (a) (1), 54(b), 54 (c), 55, 56, and 57 (a) and Forms 1-27, inclusive. Further amendments were adopted by order of the Court dated April 9, 1956, transmitted to the Congress by the Chief Justice on the same day, and became effective on July 8, 1956 (350 U.S. 1017; Cong. Rec., vol. 102, pt. 5, p. 5973; Exec. Comm. 16; H. Doc. 377, 84th Cong.). The amendments affected Rules 41(a), 46(a)(2), 54(a) (1), and 54 (c). Further amendments were adopted by order of the Court dated February 28, 1966, transmitted to the Congress by the Chief Justice on the same day, and became effective on July 1, 1966 (383 U.S. 1087; Cong. Rec., vol. 112, pt. 4, p. 4229; Exec. Comm. 2093; H. Doc. 390, 89th Cong.). The amendments affected Rules 4, 5, 6, 7, 11, 14, 16, 17, 18, 20, 21, 23, 24, 25, 28, 29, 30, 32, 33, 34, 35, 37, 38, 40, 44, 45, 46, 49, 54, 55, and 56, and Form 26, added new Rules 17.1 and 26.1, and rescinded Rules 19 and 45(c). Further amendments were adopted by the Court by order dated December 4, 1967, transmitted to the Congress by the Chief Justice on January 15, 1968, and became effective July 1, 1968, together with the new Federal Rules of Appellate Procedure (389 U.S. 1125; Cong. Rec., vol. 114, pt. 1, p. 113; Exec. Comm. 1361; H. Doc. 204, 90th Cong.). The amendments affected Rules 45 (b), 49 (c), 56 and 57, and abrogated the chapter heading "VIII. Appeal", all of Rules 37 and 39, and subdivisions (b) and (c) of Rule 38, and Forms 26 and 27. On March 1, 1971, the Court adopted additional amendments which were transmitted to the Congress by the Chief Justice on March 1, 1971. These amendments became effective July 1, 1971 (401 U.S. 1025; Cong. Rec., vol. 117, pt. 4, p. 4629; Exec. Comm. 341; H. Doc. 92-57). The amendments affected subdivision (a) of Rule 45 and all of Rule 56. Additional amendments were adopted by the Court by order dated April 24, 1972, transmitted to the Congress by the Chief Justice, accompanied by his letter of transmittal dated April 24, 1972. These amendments became effective October 1, 1972 (406 U.S. 979; Cong. Rec., vol. 118, pt. 11, p. 14262; Exec. Comm. 1903; H. Doc. 92-285). The amendments affected Rules 1, 3, 4(b) and (c), 5, 5.1, 6(b), 7(c), 9(b), (c) and (d), 17(a) and (g), 31(e), 32(b), 38 (a), 40, 41, 44, 46, 50, 54 and 55. Additional amendments were adopted by the Court by order dated March 18, 1974, transmitted to the Congress by the Chief Justice on the same date. These amendments became effective July 1, 1974 (415) U.S. 1056; Cong. Rec., vol. 120, pt. 5, p. 7012; Exec. Comm. 2062; H. Doc. 93-241). The amendments affected Rules 41 (a) and 50. Further amendments were proposed by the Court in its order dated November 20, 1972, transmitted to the Congress by the Chief Justice on February 5, 1973 (409 U.S. 1132; Cong. Rec., vol. 119, pt. 3, p. 3247; Exec. Comm. 359; H. Doc. 93-46). Although these amendments were to have become effective July 1, 1973, Public Law 93-12 (approved March 30, 1973, 87 Stat. 9) provided that the proposed amendments "shall have no force or effect except to the extent, and with such amendments, as they may be expressly approved by Act of Congress.' Section 3 of Public Law 93-595 (approved January 2, 1975, 88 Stat. 1949) approved the amendments proposed by the Court, to be effective July 1, 1975. The amendments affected Rules 26, 26.1 and 28. In its order dated April 22, 1974, the Court proposed additional amendments which were transmitted to the Congress by the Chief Justice on the same day. The amendments were to have become effective August 1, 1974 (416 U.S. 1001: Cong. Rec., vol. 120, pt. 9, p. 11472; Exec. Comm. 2223; H. Doc. 93-292). The effective date of the proposed amendments was postponed until August 1, 1975.. by Public Law 93-361 (approved July 30, 1974, 88 Stat. 397). Public Law 94-64 (approved July 31, 1975, 89 Stat. 370) approved the amendments proposed by the Court and further amended the rules, to be effective December 1, 1975, except Rule 11(e) (6), to be effective August 1, 1975. The amendments affected Rules 4, 9(a), 11, 12, 15, 16, 17(f), 20, 32(a), (c) and (e) and 43, and added Rules 12.1, 12.2 and 29.1. Technical amendments to Rules 9(b), 9(c), 16(a), and 16(b) were made by section 5 of Public Law 94-149 (approved Dec. 12, 1975, 89 Stat. 806). Proceedings After Verdict By act of February 24, 1933, ch. 119, 47 Stat. 904, as amended (subsequently 18 U.S. Code, § 3772), the Supreme Court was authorized to prescribe general rules of criminal procedure with respect to proceedings after verdict or finding of guilty by the court, or plea of guilty, which became effective on dates fixed by the Court. These rules are not required to be submitted to Congress. Rules 32 to 39, inclusive, were adopted by order of the Court on February 8, 1946, and became effective on March 21, 1946 (327 U.S. 825). Prior rules promulgated on May 7, 1934 (292 U.S. 659), were not specifically rescinded by that order but were superseded by these later rules. Amendments to Rules 37(a) (1), 38 (a) (3), 38(c), and 39 (b) (2) were adopted by order of the Court dated December 27, 1948, and became effective on January 1, 1949 (335 U.S. 917). Additional amendment to Rule 37 was adopted by order of the Court dated April 12, 1954, and became effective on July 1, 1954 (346 U.S. 941). The Court adopted separate Federal Rules of Appellate Procedure by order dated December 4, 1967, transmitted to the Congress on January 15, 1968, effective July 1, 1968. As noted above, Rules 37, 38(b) and (c), and 39, and Forms 26 and 27, have been abrogated effective July 1, 1968, by that same order. Advisory Committee Notes The notes of the Advisory Committee appointed by the Supreme Court to assist it in preparing the original rules and amendments are set out in the Appendix to Title 18, United States Code, following the particular rule to which they relate. In addition, the rules and amendments, together with Advisory Committee notes, are set out in the House documents listed above. |