[House Prints 108-7]
[From the U.S. Government Printing Office]



                              FEDERAL RULES

                                   OF

                           CRIMINAL PROCEDURE

                                  ____

                            DECEMBER 31, 2004

                         [GRAPHIC] [TIFF OMITTED]


                           Printed for the use

                                   of

                     THE COMMITTEE ON THE JUDICIARY

                        HOUSE OF REPRESENTATIVES

108th Congress
2nd Session            COMMITTEE PRINT                             No. 7   
________________________________________________________________________

                              FEDERAL RULES

                                   OF

                           CRIMINAL PROCEDURE

                                  ____

                            DECEMBER 31, 2004

                         [GRAPHIC] [TIFF OMITTED]


                            Printed for the use

                                   of

                     THE COMMITTEE ON THE JUDICIARY

                        HOUSE OF REPRESENTATIVES

                     U.S. GOVERNMENT PRINTING OFFICE

                            WASHINGTON : 2004

________________________________________________________________________

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                       COMMITTEE ON THE JUDICIARY

                       One Hundred Eighth Congress

            F. JAMES SENSENBRENNER, Jr., Wisconsin, Chairman


HENRY J. HYDE, Illinois                     JOHN CONYERS, Jr., Michigan
HOWARD COBLE, North Carolina                HOWARD L. BERMAN, California
LAMAR S. SMITH, Texas                       RICK BOUCHER, Virginia
ELTON GALLEGLY, California                  JERROLD NADLER, New York
BOB GOODLATTE, Virginia                     ROBERT C. SCOTT, Virginia
STEVE CHABOT, Ohio                          MELVIN L. WATT, North
WILLIAM L. JENKINS, Tennessee                Carolina
CHRIS CANNON, Utah                          ZOE LOFGREN, California
SPENCER BACHUS, Alabama                     SHEILA JACKSON LEE, Texas
JOHN N. HOSTETTLER, Indiana                 MAXINE WATERS, California
MARK GREEN, Wisconsin                       MARTIN T. MEEHAN,
RIC KELLER, Florida                          Massachusetts
MELISSA A. HART, Pennsylvania               WILLIAM D. DELAHUNT,
JEFF FLAKE, Arizona                          Massachusetts
MIKE PENCE, Indiana                         ROBERT WEXLER, Florida
J. RANDY FORBES, Virginia                   TAMMY BALDWIN, Wisconsin
STEVE KING, Iowa                            ANTHONY D. WEINER, New York
JOHN R. CARTER, Texas                       ADAM B. SCHIFF, California
TOM FEENEY, Florida                         LINDA T. SANCHEZ, California
MARSHA BLACKBURN, Tennessee


                                     

              Phil Kiko, Chief of Staff -- General Counsel

                 Perry Apelbaum, Minority Chief Counsel

                   Ted Kalo, Minority General Counsel

                                  (ii)

                                FOREWORD

    This document contains the Federal Rules of Criminal Procedure, as 
amended to December 31, 2004. The rules have been promulgated and 
amended by the United States Supreme Court pursuant to law, and further 
amended by Acts of Congress. This document has been prepared by the 
Committee in response to the need for an official up-to-date document 
containing the latest amendments to the rules.
    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 Committee on Rules of Practice and Procedure and the Advisory 
Committee on the Federal Rules of Criminal Procedure, Judicial 
Conference of the United States, prepared notes explaining the purpose 
and intent of the amendments to the rules. The Committee Notes may be 
found in the Appendix to Title 18, United States Code, following the 
particular rule to which they relate.



                                   Chairman, Committee on the Judiciary.
    December 31, 2004.

                                  (iii)

                   AUTHORITY FOR PROMULGATION OF RULES

                      TITLE 28, UNITED STATES CODE

Sec. 2072. Rules of procedure and evidence; power to prescribe
    (a) The Supreme Court shall have the power to prescribe general 
rules of practice and procedure and rules of evidence for cases in the 
United States district courts (including proceedings before magistrates 
thereof) and courts of appeals.
    (b) Such rules shall not abridge, enlarge or modify any substantive 
right. All laws in conflict with such rules shall be of no further force 
or effect after such rules have taken effect.
    (c) Such rules may define when a ruling of a district court is final 
for the purposes of appeal under section 1291 of this title.
(Added Pub. L. 100-702, title IV, Sec. 401(a), Nov. 19, 1988, 102 Stat. 
4648, eff. Dec. 1, 1988; amended Pub. L. 101-650, title III, Sec. 315, 
Dec. 1, 1990, 104 Stat. 5115.)
Sec. 2073. Rules of procedure and evidence; method of prescribing
    (a)(1) The Judicial Conference shall prescribe and publish the 
procedures for the consideration of proposed rules under this section.
    (2) The Judicial Conference may authorize the appointment of 
committees to assist the Conference by recommending rules to be 
prescribed under sections 2072 and 2075 of this title. Each such 
committee shall consist of members of the bench and the professional 
bar, and trial and appellate judges.
    (b) The Judicial Conference shall authorize the appointment of a 
standing committee on rules of practice, procedure, and evidence under 
subsection (a) of this section. Such standing committee shall review 
each recommendation of any other committees so appointed and recommend 
to the Judicial Conference rules of practice, procedure, and evidence 
and such changes in rules proposed by a committee appointed under 
subsection (a)(2) of this section as may be necessary to maintain 
consistency and otherwise promote the interest of justice.
    (c)(1) Each meeting for the transaction of business under this 
chapter by any committee appointed under this section shall be open to 
the public, except when the committee so meeting, in open session and 
with a majority present, determines that it is in the public interest 
that all or part of the remainder of the meeting on that day shall be 
closed to the public, and states the reason for so closing the meeting. 
Minutes of each meeting for the transaction of business under this 
chapter shall be maintained by the committee and made available to the 
public, except that any portion of such minutes, relating to a closed 
meeting and made available to the public, may contain such deletions as 
may be necessary to avoid frustrating the purposes of closing the 
meeting.
    (2) Any meeting for the transaction of business under this chapter, 
by a committee appointed under this section, shall be preceded by 
sufficient notice to enable all interested persons to attend.
    (d) In making a recommendation under this section or under section 
2072 or 2075, the body making that recommendation shall provide a 
proposed rule, an explanatory note on the rule, and a written report 
explaining the body's action, including any minority or other separate 
views.
    (e) Failure to comply with this section does not invalidate a rule 
prescribed under section 2072 or 2075 of this title.
(Added Pub. L. 100-702, title IV, Sec. 401(a), Nov. 19, 1988, 102 Stat. 
4649, eff. Dec. 1, 1988; amended Pub. L. 103-394, title I, Sec. 104(e), 
Oct. 22, 1994, 108 Stat. 4110.)
Sec. 2074. Rules of procedure and evidence; submission to Congress; 
        effective date
    (a) The Supreme Court shall transmit to the Congress not later than 
May 1 of the year in which a rule prescribed under section 2072 is to 
become effective a copy of the proposed rule. Such rule shall take 
effect no earlier than December 1 of the year in which such rule is so 
transmitted unless otherwise provided by law. The Supreme Court may fix 
the extent such rule shall apply to proceedings then pending, except 
that the Supreme Court shall not require the application of such rule to 
further proceedings then pending to the extent that, in the opinion of 
the court in which such proceedings are pending, the application of such 
rule in such proceedings would not be feasible or would work injustice, 
in which event the former rule applies.
    (b) Any such rule creating, abolishing, or modifying an evidentiary 
privilege shall have no force or effect unless approved by Act of 
Congress.
(Added Pub. L. 100-702, title IV, Sec. 401(a), Nov. 19, 1988, 102 Stat. 
4649, eff. Dec. 1, 1988.)

                             HISTORICAL NOTE

    The Supreme Court prescribes rules of criminal procedure for the 
district courts pursuant to section 2072 of Title 28, United States 
Code, as enacted by Title IV ``Rules Enabling Act'' of Pub. L. 100-702 
(approved November 19, 1988, 102 Stat. 4648), effective December 1, 
1988. Pursuant to section 2074 of Title 28, the Supreme Court transmits 
to Congress (not later than May 1 of the year in which a rule prescribed 
under section 2072 is to become effective) a copy of the proposed rule. 
The rule takes effect no earlier than December 1 of the year in which 
the rule is transmitted unless otherwise provided by law.
    Prior to enactment of Pub. L. 100-702, the Supreme Court promulgated 
rules of criminal procedure for the district courts pursuant to two 
sections of Title 18, United States Code. Section 3771 authorized 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 empowered 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 
United States Code, Sec. 3771), the Supreme Court was authorized to 
prescribe general rules of criminal procedure prior to and including 
verdict, finding of guilty or not guilty by the court, or plea of 
guilty, in criminal proceedings. The rules, and subsequent amendments, 
were not to take effect until (1) they had been first reported to 
Congress by the Attorney General at the beginning of a regular session 
and (2) after the close of that session.
    Under a 1949 amendment to 18 U.S.C., Sec. 3771, the Chief Justice of 
the United States, instead of the Attorney General, reported the rules 
to Congress. In 1950, section 3771 was further amended so that 
amendments to the rules could be reported to Congress not later than May 
1 each year and become effective 90 days after being reported. Effective 
December 1, 1988, section 3771 was repealed and supplanted by new 
sections 2072 and 2074 of Title 28, United States Code, see first 
paragraph of Historical Note above.
    The original rules pursuant to act of June 30, 1940, were adopted by 
order of the Court on December 26, 1944, transmitted to Congress by the 
Attorney General on January 3, 1945, and became effective 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 Congress by the Attorney General on January 3, 
1949, and became effective October 20, 1949 (335 U.S. 917, 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 Congress by the Chief Justice on the same day, and 
became effective 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 Congress by the Chief Justice on the same day, 
and became effective 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 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'', Rules 37, 38(b), (c), and 39, and Forms 26 and 
27.
    On March 1, 1971, the Court adopted additional amendments which were 
transmitted to 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 Rules 45(a) and 56.
    Additional amendments were adopted by the Court by order dated April 
24, 1972, transmitted to 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), (c), 5, 5.1, 6(b), 7(c), 9(b), (c), (d), 17(a), (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 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 Congress by the Chief Justice on 
February 5, 1973 (409 U.S. 1132 and 419 U.S. 1133, 1136; 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 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), (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).
    Additional amendments were proposed by the Court by order dated 
April 26, 1976, were transmitted to Congress by the Chief Justice on the 
same day (425 U.S. 1157; Cong. Rec., vol. 122, pt. 9, p. 11117, Exec. 
Comm. 3084; H. Doc. 94-464), and were to be effective August 1, 1976. 
Public Law 94-349 (approved July 8, 1976, 90 Stat. 822) delayed the 
effective date of the amendments to Rules 6(e), 23, 24, and 41(c)(2), 
and the addition of Rule 40.1 until August 1, 1977, or until and to the 
extent approved by Act of Congress, whichever is earlier. Also, it 
approved the amendments to Rules 6(f), 41(a), and 50(b), to be effective 
August 1, 1976. Public Law 95-78 (approved July 30, 1977, 91 Stat. 319) 
disapproved the amendment to Rule 24 and the addition of Rule 40.1, 
approved amendments to Rule 23, and modified and approved amendments to 
Rules 6(e) and 41(c), to be effective October 1, 1977.
    Additional amendments were proposed by the Court by order dated 
April 30, 1979, were transmitted to Congress by the Chief Justice on the 
same day (441 U.S. 970, 985; Cong. Rec., vol. 125, pt. 8, p. 9366, Exec. 
Comm. 1456; H. Doc. 96-112), and were to be effective August 1, 1979. 
Amendments to Rules 6(e), 7(c)(2), 9(a), 11(e)(2), 18, 32(c)(3)(E), 35, 
and 41(a), (b), and (c) became effective August 1, 1979. Public Law 96-
42 (approved July 31, 1979, 93 Stat. 326) delayed the effective date of 
the amendments to Rules 11(e)(6), 17(h), 32(f), and 44(c), and the 
addition of new Rules 26.2 and 32.1, until December 1, 1980, or until 
and to the extent approved by Act of Congress, whichever is earlier, and 
modified and approved the amendment to Rule 40 to be effective August 1, 
1979. In the absence of further action by Congress, the amendments that 
were the subject of a delayed effective date pursuant to Public Law 96-
42 became effective December 1, 1980.
    Additional amendments were adopted by the Court by order dated April 
28, 1982, transmitted to Congress by the Chief Justice on the same day 
(456 U.S. 1021; Cong. Rec., vol. 128, pt. 6, p. 8191, Exec. Comm. 3822; 
H. Doc. 97-173), and became effective August 1, 1982. The amendments 
affected Rules 1, 5(b), 9(a), (b)(1), (2), (c)(1), (2), 11(c)(1), (4), 
(5), 20(b), 40(d)(1), (2), 45(a), 54(a), (b)(4), (c), and abrogated Rule 
9(d).
    An amendment to Rule 32(c)(2) was made by section 3 of Public Law 
97-291 (approved October 12, 1982, 96 Stat. 1249.)
    Additional amendments were adopted by the Court by order dated April 
28, 1983, transmitted to Congress by the Chief Justice on the same day 
(461 U.S. 1117; Cong. Rec., vol. 129, pt. 8, p. 10479, Exec. Comm. 1028; 
H. Doc. 98-55), and became effective August 1, 1983. The amendments 
affected Rules 6(e), (g), 11(a), (h), 12(i), 12.2(b), (c), (d), (e), 
16(a), 23(b), 32(a), (c), (d), 35(b), and 55, and abrogated Rule 58 and 
the Appendix of Forms.
    Section 209 of Public Law 98-473 (approved October 12, 1984, 98 
Stat. 1986) amended Rules 5(c), 15(a), 40(f), 46(a), (c), (e)(2), and 
54(b)(3), and added Rule 46(h).
    Section 215 of Public Law 98-473 (98 Stat. 2014, as amended) amended 
Rules 6(e)(3)(C), 32(a)(1), (2), (c)(1) to (3), (d), 35, 38, 40(d)(1), 
and 54(c), effective on the first day of the first calendar month 
beginning 36 months after October 12, 1984 (November 1, 1987).
    Section 404(a) of Public Law 98-473 (98 Stat. 2067) amended Rule 
12.2(a). Section 404(b) to (d) of Public Law 98-473 would have amended 
Rule 12.2(b) to (d), but the amendments by section 404(b) and (d) were 
repealed by section 11(b) of Public Law 98-596 (approved October 30, 
1984, 98 Stat. 3138) and the amendment by section 404(c) of Public Law 
98-473 could not be executed because it directed the deletion of 
language not found in the text of the Rule [that defect being cured by 
section 11(a) of Public Law 98-596, which amended Rule 12.2(c) and (d)]. 
The amendments and repeals by section 11 of Public Law 98-596 are 
effective on and after the date of enactment of Public Law 98-473 
(October 12, 1984).
    Additional amendments were adopted by the Court by order dated April 
29, 1985, transmitted to Congress by the Chief Justice on the same day 
(471 U.S. 1167; Cong. Rec., vol. 131, pt. 7, p. 9826, Exec. Comm. 1154; 
H. Doc. 99-64), and became effective August 1, 1985. The amendments 
affected Rules 6(e)(3), 11(c)(1), 12.1(f), 12.2(e), 35(b), 45(a), 49(e), 
and 57. The amendment to Rule 35(b) was effective until November 1, 
1986, when section 215(b) of Public Law 98-473 (approved October 12, 
1984, 98 Stat. 2015) was to go into effect. Section 235(a)(1) of Public 
Law 98-473, which originally provided for an effective date of November 
1, 1986, for the amendments made by section 215(b) of Public Law 98-473, 
was later amended by section 4 of Public Law 99-217 to provide for an 
effective date of November 1, 1987.
    Section 1009 of Public Law 99-570 (approved October 27, 1986, 100 
Stat. 3207-8) amended Rule 35(b), effective on the date (November 1, 
1987) of the taking effect of Rule 35(b) as amended by section 215(b) of 
Public Law 98-473.
    Sections 12(b), 24, 25(a), and 54(a) of Public Law 99-646 (approved 
November 10, 1986, 100 Stat. 3594, 3597, 3607) affected Rules 12.2(c), 
29(d), 32(c)(2)(B), and 32.1(b). The amendments to Rules 29(d) and 
32.1(b) became effective 30 days after the date of enactment of Public 
Law 99-646. The amendment to Rule 32(c)(2)(B) became effective November 
1, 1987, when the amendment made by section 215(a)(5) of Public Law 98-
473 went into effect.
    Additional amendments were adopted by the Court by order dated March 
9, 1987, transmitted to Congress by the Chief Justice on the same day 
(480 U.S. 1041; Cong. Rec., vol. 133, pt. 4, p. 5256, Exec. Comm. 825; 
H. Doc. 100-47), and became effective August 1, 1987. The amendments 
affected Rules 4(c)(1), (d)(3), (4), 5(c), 5.1(a), (c), 6(a), (c), (f), 
7(b), (c)(1), (3), 10, 11(a)(2), (c)(2) to (5), (d), (e)(2), (4), 12(h), 
12.1(a), (b) to (d), 12.2(a), (b), (d), 15(a) to (e), 16(a)(1)(A) to 
(C), (b)(1)(B), (2), (c), 17(a), (d), (g), 17.1, 20, 21(a), (b), 24(a), 
25, 26.2(a), (c), (f)(1), 30, 32(a), (c)(3)(A) to (E), 32.1, 33, 
38(a)(2), (3), 40(a), (d)(3), (e), (f), 41(c)(1), (e), 42, 43(b), 44(a), 
(c), 45(e), 46(b), (d), (g), 49(b), and 51.
    Additional amendments were adopted by the Court by order dated April 
25, 1988, transmitted to Congress by the Chief Justice on the same day 
(485 U.S. 1057; Cong. Rec., vol. 134, pt. 7, p. 9154, Exec. Comm. 3516; 
H. Doc. 100-186), and became effective August 1, 1988. The amendments 
affected Rules 30 and 56.
    Sections 6483, 7076, and 7089(c) of Public Law 100-690 (approved 
November 18, 1988, 102 Stat. 4382, 4406, 4409) amended Rules 11(c)(1) 
and 54(c), and added Rule 12.3.
    Additional amendments were adopted by the Court by order dated April 
25, 1989, transmitted to Congress by the Chief Justice on the same day 
(490 U.S. 1135; Cong. Rec., vol. 135, pt. 6, p. 7542, Exec. Comm. 1059; 
H. Doc. 101-55), and became effective December 1, 1989. The amendments 
affected Rules 11(c)(1), 32(a), (c), 32.1(a), (b), 40(d), and 41(e).
    Additional amendments were adopted by the Court by order dated May 
1, 1990, transmitted to Congress by the Chief Justice on the same day 
(495 U.S. 967; Cong. Rec., vol. 136, pt. 6, p. 9091, Ex. Comm. 3098; H. 
Doc. 101-185), and became effective December 1, 1990. The amendments 
affected Rules 5(b), 41(a), and 54(b)(4), (c), and added new Rule 58.
    Additional amendments were adopted by the Court by order dated April 
30, 1991, transmitted to Congress by the Chief Justice on the same day 
(500 U.S. 991; Cong. Rec., vol. 137, pt. 7, p. 9721, Ex. Comm. 1191; H. 
Doc. 102-78), and became effective December 1, 1991. The amendments 
affected Rules 16(a), 32(c), 32.1(a), 35(b), (c), 46(h), 54(a), and 
58(b), (d).
    Additional amendments were adopted by the Court by order dated April 
22, 1993, transmitted to Congress by the Chief Justice on the same day 
(507 U.S. 1161; Cong. Rec., vol. 139, pt. 6, p. 8127, Ex. Comm. 1103; H. 
Doc. 103-75), and became effective December 1, 1993. The amendments 
affected Rules 1, 3, 4(c)(1), (d), 5, 5.1, 6(e)(4), (f), 9(a) to (c), 
12(i), 16(a)(1)(E), (2), (b)(1)(C), 17(a), (g), 26.2(c), (d), (g), 
32(e), 32.1(c), 40(a), (b), (d), (e), (f), 41(a), (c), (d), (g), 44(a), 
46(i), 49(e), 50(b), 54(b)(3), (4), (c), 55, 57, and 58(a)(1), (b)(2), 
(3), (c)(2), (d)(2), (g)(2), and added new Rule 26.3.
    Additional amendments were adopted by the Court by order dated April 
29, 1994, transmitted to Congress by the Chief Justice on the same day 
(511 U.S. 1175; Cong. Rec., vol. 140, pt. 7, p. 8903, Ex. Comm. 3084; H. 
Doc. 103-249), and became effective December 1, 1994. The amendments 
affected Rules 16(a)(1)(A), 29(b), 32, and 40(d).
    Sections 230101(b), (c) and 330003(h) of Public Law 103-322 
(approved September 13, 1994, 108 Stat. 2078, 2141) affected Rules 32 
and 46(i)(1). The amendments to Rule 32 became effective December 1, 
1994. The amendment to Rule 46 became effective September 13, 1994.
    Additional amendments were adopted by the Court by order dated April 
27, 1995, transmitted to Congress by the Chief Justice on the same day 
(514 U.S. 1159; Cong. Rec., vol. 141, pt. 8, p. 11745, Ex. Comm. 805; H. 
Doc. 104-65), and became effective December 1, 1995. The amendments 
affected Rules 5, 40, 43, 49, and 57.
    An additional amendment was adopted by the Court by order dated 
April 23, 1996, transmitted to Congress by the Chief Justice on the same 
day (517 U.S. 1285; Cong. Rec., vol. 142, pt. 6, p. 8831, Ex. Comm. 
2488; H. Doc. 104-202), and became effective December 1, 1996. The 
amendment affected Rule 32(d)(2).
    Sections 207(a) and 211 of Public Law 104-132 (approved April 24, 
1996, 110 Stat. 1236, 1241) amended Rule 32(b), effective, to the extent 
constitutionally permissible, for sentencing proceedings in cases in 
which the defendant is convicted on or after the date of enactment of 
Public Law 104-132.
    Additional amendments were adopted by the Court by order dated April 
11, 1997, transmitted to Congress by the Chief Justice on the same day 
(520 U.S. 1313; Cong. Rec., vol. 143, pt. 4, p. 5550, Ex. Comm. 2796; H. 
Doc. 105-68), and became effective December 1, 1997. The amendments 
affected Rules 16 and 58.
    Additional amendments were adopted by the Court by order dated April 
24, 1998, transmitted to Congress by the Chief Justice on the same day 
(523 U.S. 1227; H. Doc. 105-267), and became effective December 1, 1998. 
The amendments affected Rules 5.1, 26.2, 31, 33, 35, and 43.
    Additional amendments were adopted by the Court by order dated April 
26, 1999, transmitted to Congress by the Chief Justice on the same day 
(526 U.S. 1189; Cong. Rec., vol. 145, pt. 6, p. 7907, Ex. Comm. 1788; H. 
Doc. 106-55), and became effective December 1, 1999. The amendments 
affected Rules 6, 11, 24, and 54.
    Additional amendments were adopted by the Court by order dated April 
17, 2000, transmitted to Congress by the Chief Justice on the same day 
(529 U.S. 1179; Cong. Rec., vol. 146, pt. 5, p. 6328, Ex. Comm. 7335; H. 
Doc. 106-227), and became effective December 1, 2000. The amendments 
affected Rules 7, 31, 32, and 38, and added new Rule 32.2.
    Sections 203(a) and 219 of Public Law 107-56 (approved October 26, 
2001, 115 Stat. 278, 291) amended Rules 6(e)(3)(C), (D) and 41(a).
    Additional amendments were adopted by the Court by order dated April 
29, 2002, transmitted to Congress by the Chief Justice on the same day 
(535 U.S. 1157; Cong. Rec., vol. 148, p. H2104, Daily Issue, Ex. Comm. 
6621; H. Doc. 107-203), and became effective December 1, 2002. The 
amendments affected Rules 1 to 60.
    Section 11019(b), (c) of Pub. L. 107-273 (approved November 2, 2002, 
116 Stat. 1825, 1826) amended Rule 16(a)(1)(G), (b)(1)(C), effective 
December 1, 2002.
    Sections 4 and 895 of Pub. L. 107-296 (approved November 25, 2002, 
116 Stat. 2142, 2256) which directed the amendment of Rule 6(e)(2), 
(3)(A)(ii), (C)(i), (iii), effective 60 days after the date of enactment 
of Pub. L. 107-296, could not be executed after the amendments of April 
29, 2002, effective December 1, 2002.
    Section 610(b) of Pub. L. 108-21 (approved April 30, 2003, 117 Stat. 
692) amended Rule 7(c)(1).
    An additional amendment was adopted by the Court by order dated 
April 26, 2004, transmitted to Congress by the Chief Justice on the same 
day (541 U.S. ----; Cong. Rec., vol. 150, p. H2482, Daily Issue, Ex. 
Comm. 7865; H. Doc. 108-182), and became effective December 1, 2004. The 
amendment affected Rule 35.
    Section 6501(a) of Pub. L. 108-458 (approved December 17, 2004, 118 
Stat. 3760) amended Rule 6(e).

                        Proceedings After Verdict

    By act of February 24, 1933, ch. 119, 47 Stat. 904, as amended 
(subsequently 18 United States Code, Sec. 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 were 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), (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 Congress on January 15, 
1968, effective July 1, 1968. As noted above, Rules 37, 38(b), (c), and 
39, and Forms 26 and 27, were abrogated effective July 1, 1968, by that 
same order.
    Effective December 1, 1988, section 3772 of Title 18 was repealed 
and supplanted by section 2072 of Title 28, United States Code, see 
first paragraph of Historical Note above.

                             Committee Notes

    Committee Notes prepared by the Committee on Rules of Practice and 
Procedure and the Advisory Committee on the Federal Rules of Criminal 
Procedure, Judicial Conference of the United States, explaining the 
purpose and intent of the 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 
Committee Notes, are set out in the House documents listed above.



                            TABLE OF CONTENTS

                                  ____

                                                                    Page
Foreword......................................................       iii
Authority for promulgation of rules...........................         v
Historical note...............................................       vii

                                  RULES

Title I. Applicability
        Rule 1. Scope; Definitions.....................................1
        Rule 2. Interpretation.........................................2
Title II. Preliminary Proceedings
        Rule 3. The Complaint..........................................2
        Rule 4. Arrest Warrant or Summons on a Complaint...............2
        Rule 5. Initial Appearance.....................................4
        Rule 5.1. Preliminary Hearing..................................6
Title III. The Grand Jury, the Indictment, and the Information
        Rule 6. The Grand Jury.........................................7
        Rule 7. The Indictment and the Information....................11
        Rule 8. Joinder of Offenses or Defendants.....................12
        Rule 9. Arrest Warrant or Summons on an Indictment or 
                        Information...................................12
Title IV. Arraignment and Preparation for Trial
        Rule 10. Arraignment..........................................13
        Rule 11. Pleas................................................14
        Rule 12. Pleadings and Pretrial Motions.......................16
        Rule 12.1. Notice of an Alibi Defense.........................17
        Rule 12.2. Notice of an Insanity Defense; Mental Examination..18
        Rule 12.3. Notice of a Public-Authority Defense...............20
        Rule 12.4. Disclosure Statement...............................21
        Rule 13. Joint Trial of Separate Cases........................21
        Rule 14. Relief from Prejudicial Joinder......................22
        Rule 15. Depositions..........................................22
        Rule 16. Discovery and Inspection.............................23
        Rule 17. Subpoena.............................................26
        Rule 17.1. Pretrial Conference................................27
Title V. Venue
        Rule 18. Place of Prosecution and Trial.......................28
        Rule 19. (Reserved)
        Rule 20. Transfer for Plea and Sentence.......................28
        Rule 21. Transfer for Trial...................................29
        Rule 22. (Transferred)
Title VI. Trial
        Rule 23. Jury or Nonjury Trial................................29
        Rule 24. Trial Jurors.........................................30
        Rule 25. Judge's Disability...................................31
        Rule 26. Taking Testimony.....................................31
        Rule 26.1. Foreign Law Determination..........................31
        Rule 26.2. Producing a Witness's Statement....................32
        Rule 26.3. Mistrial...........................................32
        Rule 27. Proving an Official Record...........................33
        Rule 28. Interpreters.........................................33
        Rule 29. Motion for a Judgment of Acquittal...................33
        Rule 29.1. Closing Argument...................................34
        Rule 30. Jury Instructions....................................34
        Rule 31. Jury Verdict.........................................34
Title VII. Post-Conviction Procedures
        Rule 32. Sentencing and Judgment..............................35
        Rule 32.1. Revoking or Modifying Probation or Supervised Relea39

  

Title VII. Post-Conviction Procedures--Continued

                                                                    Page

        Rule 32.2. Criminal Forfeiture................................41
        Rule 33. New Trial............................................43
        Rule 34. Arresting Judgment...................................43
        Rule 35. Correcting or Reducing a Sentence....................44
        Rule 36. Clerical Error.......................................44
        Rule 37. (Reserved)
        Rule 38. Staying a Sentence or a Disability...................44
        Rule 39. (Reserved)
Title VIII. Supplementary and Special Proceedings
        Rule 40. Arrest for Failing to Appear in Another District.....46
        Rule 41. Search and Seizure...................................46
        Rule 42. Criminal Contempt....................................49
Title IX. General Provisions
        Rule 43. Defendant's Presence.................................50
        Rule 44. Right to and Appointment of Counsel..................50
        Rule 45. Computing and Extending Time.........................51
        Rule 46. Release from Custody; Supervising Detention..........52
        Rule 47. Motions and Supporting Affidavits....................53
        Rule 48. Dismissal............................................54
        Rule 49. Serving and Filing Papers............................54
        Rule 50. Prompt Disposition...................................54
        Rule 51. Preserving Claimed Error.............................55
        Rule 52. Harmless and Plain Error.............................55
        Rule 53. Courtroom Photographing and Broadcasting Prohibited..55
        Rule 54. (Transferred)
        Rule 55. Records..............................................55
        Rule 56. When Court Is Open...................................55
        Rule 57. District Court Rules.................................56
        Rule 58. Petty Offenses and Other Misdemeanors................56
        Rule 59. (Deleted)
        Rule 60. Title................................................59

 
                   FEDERAL RULES OF CRIMINAL PROCEDURE

        Effective March 21, 1946, as amended to December 31, 2004

                         TITLE I. APPLICABILITY

Rule 1. Scope; Definitions______________________________________________
    (a) Scope.
            (1) In General. These rules govern the procedure in all 
        criminal proceedings in the United States district courts, the 
        United States courts of appeals, and the Supreme Court of the 
        United States.
            (2) State or Local Judicial Officer. When a rule so states, 
        it applies to a proceeding before a state or local judicial 
        officer.
            (3) Territorial Courts. These rules also govern the 
        procedure in all criminal proceedings in the following courts:
                    (A) the district court of Guam;
                    (B) the district court for the Northern Mariana 
                Islands, except as otherwise provided by law; and
                    (C) the district court of the Virgin Islands, except 
                that the prosecution of offenses in that court must be 
                by indictment or information as otherwise provided by 
                law.
            (4) Removed Proceedings. Although these rules govern all 
        proceedings after removal from a state court, state law governs 
        a dismissal by the prosecution.
            (5) Excluded Proceedings. Proceedings not governed by these 
        rules include:
                    (A) the extradition and rendition of a fugitive;
                    (B) a civil property forfeiture for violating a 
                federal statute;
                    (C) the collection of a fine or penalty;
                    (D) a proceeding under a statute governing juvenile 
                delinquency to the extent the procedure is inconsistent 
                with the statute, unless Rule 20(d) provides otherwise;
                    (E) a dispute between seamen under 22 U.S.C. 
                Sec. Sec. 256-258; and
                    (F) a proceeding against a witness in a foreign 
                country under 28 U.S.C. Sec. 1784.
    (b) Definitions. The following definitions apply to these rules:
            (1) ``Attorney for the government'' means:
                    (A) the Attorney General or an authorized assistant;
                    (B) a United States attorney or an authorized 
                assistant;
                    (C) when applicable to cases arising under Guam law, 
                the Guam Attorney General or other person whom Guam law 
                authorizes to act in the matter; and
                    (D) any other attorney authorized by law to conduct 
                proceedings under these rules as a prosecutor.
            (2) ``Court'' means a federal judge performing functions 
        authorized by law.
            (3) ``Federal judge'' means:
                    (A) a justice or judge of the United States as these 
                terms are defined in 28 U.S.C. Sec. 451;
                    (B) a magistrate judge; and
                    (C) a judge confirmed by the United States Senate 
                and empowered by statute in any commonwealth, territory, 
                or possession to perform a function to which a 
                particular rule relates.
            (4) ``Judge'' means a federal judge or a state or local 
        judicial officer.
            (5) ``Magistrate judge'' means a United States magistrate 
        judge as defined in 28 U.S.C. Sec. Sec. 631-639.
            (6) ``Oath'' includes an affirmation.
            (7) ``Organization'' is defined in 18 U.S.C. Sec. 18.
            (8) ``Petty offense'' is defined in 18 U.S.C. Sec. 19.
            (9) ``State'' includes the District of Columbia, and any 
        commonwealth, territory, or possession of the United States.
            (10) ``State or local judicial officer'' means:
                    (A) a state or local officer authorized to act under 
                18 U.S.C. Sec. 3041; and
                    (B) a judicial officer empowered by statute in the 
                District of Columbia or in any commonwealth, territory, 
                or possession to perform a function to which a 
                particular rule relates.
    (c) Authority of a Justice or Judge of the United States. When these 
rules authorize a magistrate judge to act, any other federal judge may 
also act.
(As amended Apr. 24, 1972, eff. Oct. 1, 1972; Apr. 28, 1982, eff. Aug. 
1, 1982; Apr. 22, 1993, eff. Dec. 1, 1993; Apr. 29, 2002, eff. Dec. 1, 
2002.)

Rule 2. Interpretation__________________________________________________
    These rules are to be interpreted to provide for the just 
determination of every criminal proceeding, to secure simplicity in 
procedure and fairness in administration, and to eliminate unjustifiable 
expense and delay.
(As amended Apr. 29, 2002, eff. Dec. 1, 2002.)


                    TITLE II. PRELIMINARY PROCEEDINGS

Rule 3. The Complaint___________________________________________________
    The complaint is a written statement of the essential facts 
constituting the offense charged. It must be made under oath before a 
magistrate judge or, if none is reasonably available, before a state or 
local judicial officer.
(As amended Apr. 24, 1972, eff. Oct. 1, 1972; Apr. 22, 1993, eff. Dec. 
1, 1993; Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 4. Arrest Warrant or Summons on a Complaint________________________
    (a) Issuance. If the complaint or one or more affidavits filed with 
the complaint establish probable cause to believe that an offense has 
been committed and that the defendant committed it, the judge must issue 
an arrest warrant to an officer authorized to execute it. At the request 
of an attorney for the government, the judge must issue a summons, 
instead of a warrant, to a person authorized to serve it. A judge may 
issue more than one warrant or summons on the same complaint. If a 
defendant fails to appear in response to a summons, a judge may, and 
upon request of an attorney for the government must, issue a warrant.
    (b) Form.
            (1) Warrant. A warrant must:
                    (A) contain the defendant's name or, if it is 
                unknown, a name or description by which the defendant 
                can be identified with reasonable certainty;
                    (B) describe the offense charged in the complaint;
                    (C) command that the defendant be arrested and 
                brought without unnecessary delay before a magistrate 
                judge or, if none is reasonably available, before a 
                state or local judicial officer; and
                    (D) be signed by a judge.
            (2) Summons. A summons must be in the same form as a warrant 
        except that it must require the defendant to appear before a 
        magistrate judge at a stated time and place.
    (c) Execution or Service, and Return.
            (1) By Whom. Only a marshal or other authorized officer may 
        execute a warrant. Any person authorized to serve a summons in a 
        federal civil action may serve a summons.
            (2) Location. A warrant may be executed, or a summons 
        served, within the jurisdiction of the United States or anywhere 
        else a federal statute authorizes an arrest.
            (3) Manner.
                    (A) A warrant is executed by arresting the 
                defendant. Upon arrest, an officer possessing the 
                warrant must show it to the defendant. If the officer 
                does not possess the warrant, the officer must inform 
                the defendant of the warrant's existence and of the 
                offense charged and, at the defendant's request, must 
                show the warrant to the defendant as soon as possible.
                    (B) A summons is served on an individual defendant:
                            (i) by delivering a copy to the defendant 
                        personally; or
                            (ii) by leaving a copy at the defendant's 
                        residence or usual place of abode with a person 
                        of suitable age and discretion residing at that 
                        location and by mailing a copy to the 
                        defendant's last known address.
                    (C) A summons is served on an organization by 
                delivering a copy to an officer, to a managing or 
                general agent, or to another agent appointed or legally 
                authorized to receive service of process. A copy must 
                also be mailed to the organization's last known address 
                within the district or to its principal place of 
                business elsewhere in the United States.
            (4) Return.
                    (A) After executing a warrant, the officer must 
                return it to the judge before whom the defendant is 
                brought in accordance with Rule 5. At the request of an 
                attorney for the government, an unexecuted warrant must 
                be brought back to and canceled by a magistrate judge 
                or, if none is reasonably available, by a state or local 
                judicial officer.
                    (B) The person to whom a summons was delivered for 
                service must return it on or before the return day.
                    (C) At the request of an attorney for the 
                government, a judge may deliver an unexecuted warrant, 
                an unserved summons, or a copy of the warrant or summons 
                to the marshal or other authorized person for execution 
                or service.
(As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 24, 1972, eff. Oct. 
1, 1972; Apr. 22, 1974, eff. Dec. 1, 1975; July 31, 1975, eff. Dec. 1, 
1975; Mar. 9, 1987, eff. Aug. 1, 1987; Apr. 22, 1993, eff. Dec. 1, 1993; 
Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 5. Initial Appearance______________________________________________
    (a) In General.
            (1) Appearance Upon an Arrest.
                    (A) A person making an arrest within the United 
                States must take the defendant without unnecessary delay 
                before a magistrate judge, or before a state or local 
                judicial officer as Rule 5(c) provides, unless a statute 
                provides otherwise.
                    (B) A person making an arrest outside the United 
                States must take the defendant without unnecessary delay 
                before a magistrate judge, unless a statute provides 
                otherwise.
            (2) Exceptions.
                    (A) An officer making an arrest under a warrant 
                issued upon a complaint charging solely a violation of 
                18 U.S.C. Sec. 1073 need not comply with this rule if:
                            (i) the person arrested is transferred 
                        without unnecessary delay to the custody of 
                        appropriate state or local authorities in the 
                        district of arrest; and
                            (ii) an attorney for the government moves 
                        promptly, in the district where the warrant was 
                        issued, to dismiss the complaint.
                    (B) If a defendant is arrested for violating 
                probation or supervised release, Rule 32.1 applies.
                    (C) If a defendant is arrested for failing to appear 
                in another district, Rule 40 applies.
            (3) Appearance Upon a Summons. When a defendant appears in 
        response to a summons under Rule 4, a magistrate judge must 
        proceed under Rule 5(d) or (e), as applicable.
    (b) Arrest Without a Warrant. If a defendant is arrested without a 
warrant, a complaint meeting Rule 4(a)'s requirement of probable cause 
must be promptly filed in the district where the offense was allegedly 
committed.
    (c) Place of Initial Appearance; Transfer to Another District.
            (1) Arrest in the District Where the Offense Was Allegedly 
        Committed. If the defendant is arrested in the district where 
        the offense was allegedly committed:
                    (A) the initial appearance must be in that district; 
                and
                    (B) if a magistrate judge is not reasonably 
                available, the initial appearance may be before a state 
                or local judicial officer.
            (2) Arrest in a District Other Than Where the Offense Was 
        Allegedly Committed. If the defendant was arrested in a district 
        other than where the offense was allegedly committed, the 
        initial appearance must be:
                    (A) in the district of arrest; or
                    (B) in an adjacent district if:
                            (i) the appearance can occur more promptly 
                        there; or
                            (ii) the offense was allegedly committed 
                        there and the initial appearance will occur on 
                        the day of arrest.
            (3) Procedures in a District Other Than Where the Offense 
        Was Allegedly Committed. If the initial appearance occurs in a 
        district other than where the offense was allegedly committed, 
        the following procedures apply:
                    (A) the magistrate judge must inform the defendant 
                about the provisions of Rule 20;
                    (B) if the defendant was arrested without a warrant, 
                the district court where the offense was allegedly 
                committed must first issue a warrant before the 
                magistrate judge transfers the defendant to that 
                district;
                    (C) the magistrate judge must conduct a preliminary 
                hearing if required by Rule 5.1 or Rule 58(b)(2)(G);
                    (D) the magistrate judge must transfer the defendant 
                to the district where the offense was allegedly 
                committed if:
                            (i) the government produces the warrant, a 
                        certified copy of the warrant, a facsimile of 
                        either, or other appropriate form of either; and
                            (ii) the judge finds that the defendant is 
                        the same person named in the indictment, 
                        information, or warrant; and
                    (E) when a defendant is transferred and discharged, 
                the clerk must promptly transmit the papers and any bail 
                to the clerk in the district where the offense was 
                allegedly committed.
    (d) Procedure in a Felony Case.
            (1) Advice. If the defendant is charged with a felony, the 
        judge must inform the defendant of the following:
                    (A) the complaint against the defendant, and any 
                affidavit filed with it;
                    (B) the defendant's right to retain counsel or to 
                request that counsel be appointed if the defendant 
                cannot obtain counsel;
                    (C) the circumstances, if any, under which the 
                defendant may secure pretrial release;
                    (D) any right to a preliminary hearing; and
                    (E) the defendant's right not to make a statement, 
                and that any statement made may be used against the 
                defendant.
            (2) Consulting with Counsel. The judge must allow the 
        defendant reasonable opportunity to consult with counsel.
            (3) Detention or Release. The judge must detain or release 
        the defendant as provided by statute or these rules.
            (4) Plea. A defendant may be asked to plead only under Rule 
        10.
    (e) Procedure in a Misdemeanor Case. If the defendant is charged 
with a misdemeanor only, the judge must inform the defendant in 
accordance with Rule 58(b)(2).
    (f) Video Teleconferencing. Video teleconferencing may be used to 
conduct an appearance under this rule if the defendant consents.
(As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 24, 1972, eff. Oct. 
1, 1972; Apr. 28, 1982, eff. Aug. 1, 1982; Oct. 12, 1984; Mar. 9, 1987, 
eff. Aug. 1, 1987; May 1, 1990, eff. Dec. 1, 1990; Apr. 22, 1993, eff. 
Dec. 1, 1993; Apr. 27, 1995, eff. Dec. 1, 1995; Apr. 29, 2002, eff. Dec. 
1, 2002.)
Rule 5.1. Preliminary Hearing_____________________________________________
    (a) In General. If a defendant is charged with an offense other than 
a petty offense, a magistrate judge must conduct a preliminary hearing 
unless:
            (1) the defendant waives the hearing;
            (2) the defendant is indicted;
            (3) the government files an information under Rule 7(b) 
        charging the defendant with a felony;
            (4) the government files an information charging the 
        defendant with a misdemeanor; or
            (5) the defendant is charged with a misdemeanor and consents 
        to trial before a magistrate judge.
    (b) Selecting a District. A defendant arrested in a district other 
than where the offense was allegedly committed may elect to have the 
preliminary hearing conducted in the district where the prosecution is 
pending.
    (c) Scheduling. The magistrate judge must hold the preliminary 
hearing within a reasonable time, but no later than 10 days after the 
initial appearance if the defendant is in custody and no later than 20 
days if not in custody.
    (d) Extending the Time. With the defendant's consent and upon a 
showing of good cause--taking into account the public interest in the 
prompt disposition of criminal cases--a magistrate judge may extend the 
time limits in Rule 5.1(c) one or more times. If the defendant does not 
consent, the magistrate judge may extend the time limits only on a 
showing that extraordinary circumstances exist and justice requires the 
delay.
    (e) Hearing and Finding. At the preliminary hearing, the defendant 
may cross-examine adverse witnesses and may introduce evidence but may 
not object to evidence on the ground that it was unlawfully acquired. If 
the magistrate judge finds probable cause to believe an offense has been 
committed and the defendant committed it, the magistrate judge must 
promptly require the defendant to appear for further proceedings.
    (f) Discharging the Defendant. If the magistrate judge finds no 
probable cause to believe an offense has been committed or the defendant 
committed it, the magistrate judge must dismiss the complaint and 
discharge the defendant. A discharge does not preclude the government 
from later prosecuting the defendant for the same offense.
    (g) Recording the Proceedings. The preliminary hearing must be 
recorded by a court reporter or by a suitable recording device. A 
recording of the proceeding may be made available to any party upon 
request. A copy of the recording and a transcript may be provided to any 
party upon request and upon any payment required by applicable Judicial 
Conference regulations.
    (h) Producing a Statement.
            (1) In General. Rule 26.2(a)-(d) and (f) applies at any 
        hearing under this rule, unless the magistrate judge for good 
        cause rules otherwise in a particular case.
            (2) Sanctions for Not Producing a Statement. If a party 
        disobeys a Rule 26.2 order to deliver a statement to the moving 
        party, the magistrate judge must not consider the testimony of a 
        witness whose statement is withheld.
(As added Apr. 24, 1972, eff. Oct. 1, 1972; amended Mar. 9, 1987, eff. 
Aug. 1, 1987; Apr. 22, 1993, eff. Dec. 1, 1993; Apr. 24, 1998, eff. Dec. 
1, 1998; Apr. 29, 2002, eff. Dec. 1, 2002.)


     TITLE III. THE GRAND JURY, THE INDICTMENT, AND THE INFORMATION

Rule 6. The Grand Jury__________________________________________________
    (a) Summoning a Grand Jury.
            (1) In General. When the public interest so requires, the 
        court must order that one or more grand juries be summoned. A 
        grand jury must have 16 to 23 members, and the court must order 
        that enough legally qualified persons be summoned to meet this 
        requirement.
            (2) Alternate Jurors. When a grand jury is selected, the 
        court may also select alternate jurors. Alternate jurors must 
        have the same qualifications and be selected in the same manner 
        as any other juror. Alternate jurors replace jurors in the same 
        sequence in which the alternates were selected. An alternate 
        juror who replaces a juror is subject to the same challenges, 
        takes the same oath, and has the same authority as the other 
        jurors.
    (b) Objection to the Grand Jury or to a Grand Juror.
            (1) Challenges. Either the government or a defendant may 
        challenge the grand jury on the ground that it was not lawfully 
        drawn, summoned, or selected, and may challenge an individual 
        juror on the ground that the juror is not legally qualified.
            (2) Motion to Dismiss an Indictment. A party may move to 
        dismiss the indictment based on an objection to the grand jury 
        or on an individual juror's lack of legal qualification, unless 
        the court has previously ruled on the same objection under Rule 
        6(b)(1). The motion to dismiss is governed by 28 U.S.C. 
        Sec. 1867(e). The court must not dismiss the indictment on the 
        ground that a grand juror was not legally qualified if the 
        record shows that at least 12 qualified jurors concurred in the 
        indictment.
    (c) Foreperson and Deputy Foreperson. The court will appoint one 
juror as the foreperson and another as the deputy foreperson. In the 
foreperson's absence, the deputy foreperson will act as the foreperson. 
The foreperson may administer oaths and affirmations and will sign all 
indictments. The foreperson--or another juror designated by the 
foreperson--will record the number of jurors concurring in every 
indictment and will file the record with the clerk, but the record may 
not be made public unless the court so orders.
    (d) Who May Be Present.
            (1) While the Grand Jury Is in Session. The following 
        persons may be present while the grand jury is in session: 
        attorneys for the government, the witness being questioned, 
        interpreters when needed, and a court reporter or an operator of 
        a recording device.
            (2) During Deliberations and Voting. No person other than 
        the jurors, and any interpreter needed to assist a hearing-
        impaired or speech-impaired juror, may be present while the 
        grand jury is deliberating or voting.
    (e) Recording and Disclosing the Proceedings.
            (1) Recording the Proceedings. Except while the grand jury 
        is deliberating or voting, all proceedings must be recorded by a 
        court reporter or by a suitable recording device. But the 
        validity of a prosecution is not affected by the unintentional 
        failure to make a recording. Unless the court orders otherwise, 
        an attorney for the government will retain control of the 
        recording, the reporter's notes, and any transcript prepared 
        from those notes.
            (2) Secrecy.
                    (A) No obligation of secrecy may be imposed on any 
                person except in accordance with Rule 6(e)(2)(B).
                    (B) Unless these rules provide otherwise, the 
                following persons must not disclose a matter occurring 
                before the grand jury:
                            (i) a grand juror;
                            (ii) an interpreter;
                            (iii) a court reporter;
                            (iv) an operator of a recording device;
                            (v) a person who transcribes recorded 
                        testimony;
                            (vi) an attorney for the government; or
                            (vii) a person to whom disclosure is made 
                        under Rule 6(e)(3)(A)(ii) or (iii).
            (3) Exceptions.
                    (A) Disclosure of a grand-jury matter--other than 
                the grand jury's deliberations or any grand juror's 
                vote--may be made to:
                            (i) an attorney for the government for use 
                        in performing that attorney's duty;
                            (ii) any government personnel--including 
                        those of a state, state subdivision, Indian 
                        tribe, or foreign government--that an attorney 
                        for the government considers necessary to assist 
                        in performing that attorney's duty to enforce 
                        federal criminal law; or
                            (iii) a person authorized by 18 U.S.C. 
                        Sec. 3322.
                    (B) A person to whom information is disclosed under 
                Rule 6(e)(3)(A)(ii) may use that information only to 
                assist an attorney for the government in performing that 
                attorney's duty to enforce federal criminal law. An 
                attorney for the government must promptly provide the 
                court that impaneled the grand jury with the names of 
                all persons to whom a disclosure has been made, and must 
                certify that the attorney has advised those persons of 
                their obligation of secrecy under this rule.
                    (C) An attorney for the government may disclose any 
                grand-jury matter to another federal grand jury.
                    (D) An attorney for the government may disclose any 
                grand-jury matter involving foreign intelligence, 
                counterintelligence (as defined in 50 U.S.C. Sec. 401a), 
                or foreign intelligence information (as defined in Rule 
                6(e)(3)(D)(iii)) to any federal law enforcement, 
                intelligence, protective, immigration, national defense, 
                or national security official to assist the official 
                receiving the information in the performance of that 
                official's duties. An attorney for the government may 
                also disclose any grand jury matter involving, within 
                the United States or elsewhere, a threat of attack or 
                other grave hostile acts of a foreign power or its 
                agent, a threat of domestic or international sabotage or 
                terrorism, or clandestine intelligence gathering 
                activities by an intelligence service or network of a 
                foreign power or by its agent, to any appropriate 
                Federal, State, State subdivision, Indian tribal, or 
                foreign government official, for the purpose of 
                preventing or responding to such threat or activities.
                            (i) Any official who receives information 
                        under Rule 6(e)(3)(D) may use the information 
                        only as necessary in the conduct of that 
                        person's official duties subject to any 
                        limitations on the unauthorized disclosure of 
                        such information. Any State, State subdivision, 
                        Indian tribal, or foreign government official 
                        who receives information under Rule 6(e)(3)(D) 
                        may use the information only consistent with 
                        such guidelines as the Attorney General and the 
                        Director of National Intelligence shall jointly 
                        issue.
                            (ii) Within a reasonable time after 
                        disclosure is made under Rule 6(e)(3)(D), an 
                        attorney for the government must file, under 
                        seal, a notice with the court in the district 
                        where the grand jury convened stating that such 
                        information was disclosed and the departments, 
                        agencies, or entities to which the disclosure 
                        was made.
                            (iii) As used in Rule 6(e)(3)(D), the term 
                        ``foreign intelligence information'' means:

(a) information, whether or not it concerns a United States person, that 
relates to the ability of the United States to protect against--

   actual or potential attack or other grave hostile acts of a 
foreign power or its agent;

   sabotage or international terrorism by a foreign power or its 
agent; or

   clandestine intelligence activities by an intelligence service 
or network of a foreign power or by its agent; or

(b) information, whether or not it concerns a United States person, with 
respect to a foreign power or foreign territory that relates to--

   the national defense or the security of the United States; or

   the conduct of the foreign affairs of the United States.

                    (E) The court may authorize disclosure--at a time, 
                in a manner, and subject to any other conditions that it 
                directs--of a grand-jury matter:
                            (i) preliminarily to or in connection with a 
                        judicial proceeding;
                            (ii) at the request of a defendant who shows 
                        that a ground may exist to dismiss the 
                        indictment because of a matter that occurred 
                        before the grand jury;
                            (iii) at the request of the government, when 
                        sought by a foreign court or prosecutor for use 
                        in an official criminal investigation;
                            (iv) at the request of the government if it 
                        shows that the matter may disclose a violation 
                        of State, Indian tribal, or foreign criminal 
                        law, as long as the disclosure is to an 
                        appropriate state, state-subdivision, Indian 
                        tribal, or foreign government official for the 
                        purpose of enforcing that law; or
                            (v) at the request of the government if it 
                        shows that the matter may disclose a violation 
                        of military criminal law under the Uniform Code 
                        of Military Justice, as long as the disclosure 
                        is to an appropriate military official for the 
                        purpose of enforcing that law.
                    (F) A petition to disclose a grand-jury matter under 
                Rule 6(e)(3)(E)(i) must be filed in the district where 
                the grand jury convened. Unless the hearing is ex 
                parte--as it may be when the government is the 
                petitioner--the petitioner must serve the petition on, 
                and the court must afford a reasonable opportunity to 
                appear and be heard to:
                            (i) an attorney for the government;
                            (ii) the parties to the judicial proceeding; 
                        and
                            (iii) any other person whom the court may 
                        designate.
                    (G) If the petition to disclose arises out of a 
                judicial proceeding in another district, the petitioned 
                court must transfer the petition to the other court 
                unless the petitioned court can reasonably determine 
                whether disclosure is proper. If the petitioned court 
                decides to transfer, it must send to the transferee 
                court the material sought to be disclosed, if feasible, 
                and a written evaluation of the need for continued 
                grand-jury secrecy. The transferee court must afford 
                those persons identified in Rule 6(e)(3)(F) a reasonable 
                opportunity to appear and be heard.
            (4) Sealed Indictment. The magistrate judge to whom an 
        indictment is returned may direct that the indictment be kept 
        secret until the defendant is in custody or has been released 
        pending trial. The clerk must then seal the indictment, and no 
        person may disclose the indictment's existence except as 
        necessary to issue or execute a warrant or summons.
            (5) Closed Hearing. Subject to any right to an open hearing 
        in a contempt proceeding, the court must close any hearing to 
        the extent necessary to prevent disclosure of a matter occurring 
        before a grand jury.
            (6) Sealed Records. Records, orders, and subpoenas relating 
        to grand-jury proceedings must be kept under seal to the extent 
        and as long as necessary to prevent the unauthorized disclosure 
        of a matter occurring before a grand jury.
            (7) Contempt. A knowing violation of Rule 6, or of 
        guidelines jointly issued by the Attorney General and the 
        Director of National Intelligence pursuant to Rule 6, may be 
        punished as a contempt of court.
    (f) Indictment and Return. A grand jury may indict only if at least 
12 jurors concur. The grand jury--or its foreperson or deputy 
foreperson--must return the indictment to a magistrate judge in open 
court. If a complaint or information is pending against the defendant 
and 12 jurors do not concur in the indictment, the foreperson must 
promptly and in writing report the lack of concurrence to the magistrate 
judge.
    (g) Discharging the Grand Jury. A grand jury must serve until the 
court discharges it, but it may serve more than 18 months only if the 
court, having determined that an extension is in the public interest, 
extends the grand jury's service. An extension may be granted for no 
more than 6 months, except as otherwise provided by statute.
    (h) Excusing a Juror. At any time, for good cause, the court may 
excuse a juror either temporarily or permanently, and if permanently, 
the court may impanel an alternate juror in place of the excused juror.
    (i) ``Indian Tribe'' Defined. ``Indian tribe'' means an Indian tribe 
recognized by the Secretary of the Interior on a list published in the 
Federal Register under 25 U.S.C. Sec. 479a-1.
(As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 24, 1972, eff. Oct. 
1, 1972; Apr. 26 and July 8, 1976, eff. Aug. 1, 1976; July 30, 1977, 
eff. Oct. 1, 1977; Apr. 30, 1979, eff. Aug. 1, 1979; Apr. 28, 1983, eff. 
Aug. 1, 1983; Oct. 12, 1984, eff. Nov. 1, 1987; Apr. 29, 1985, eff. Aug. 
1, 1985; Mar. 9, 1987, eff. Aug. 1, 1987; Apr. 22, 1993, eff. Dec. 1, 
1993; Apr. 26, 1999, eff. Dec. 1, 1999; Oct. 26, 2001; Apr. 29, 2002, 
eff. Dec. 1, 2002; Nov. 25, 2002; Dec. 17, 2004.)
Rule 7. The Indictment and the Information______________________________
    (a) When Used.
            (1) Felony. An offense (other than criminal contempt) must 
        be prosecuted by an indictment if it is punishable:
                    (A) by death; or
                    (B) by imprisonment for more than one year.
            (2) Misdemeanor. An offense punishable by imprisonment for 
        one year or less may be prosecuted in accordance with Rule 
        58(b)(1).
    (b) Waiving Indictment. An offense punishable by imprisonment for 
more than one year may be prosecuted by information if the defendant--in 
open court and after being advised of the nature of the charge and of 
the defendant's rights--waives prosecution by indictment.
    (c) Nature and Contents.
            (1) In General. The indictment or information must be a 
        plain, concise, and definite written statement of the essential 
        facts constituting the offense charged and must be signed by an 
        attorney for the government. It need not contain a formal 
        introduction or conclusion. A count may incorporate by reference 
        an allegation made in another count. A count may allege that the 
        means by which the defendant committed the offense are unknown 
        or that the defendant committed it by one or more specified 
        means. For each count, the indictment or information must give 
        the official or customary citation of the statute, rule, 
        regulation, or other provision of law that the defendant is 
        alleged to have violated. For purposes of an indictment referred 
        to in section 3282 of title 18, United States Code, for which 
        the identity of the defendant is unknown, it shall be sufficient 
        for the indictment to describe the defendant as an individual 
        whose name is unknown, but who has a particular DNA profile, as 
        that term is defined in section 3282.
            (2) Criminal Forfeiture. No judgment of forfeiture may be 
        entered in a criminal proceeding unless the indictment or the 
        information provides notice that the defendant has an interest 
        in property that is subject to forfeiture in accordance with the 
        applicable statute.
            (3) Citation Error. Unless the defendant was misled and 
        thereby prejudiced, neither an error in a citation nor a 
        citation's omission is a ground to dismiss the indictment or 
        information or to reverse a conviction.
    (d) Surplusage. Upon the defendant's motion, the court may strike 
surplusage from the indictment or information.
    (e) Amending an Information. Unless an additional or different 
offense is charged or a substantial right of the defendant is 
prejudiced, the court may permit an information to be amended at any 
time before the verdict or finding.
    (f) Bill of Particulars. The court may direct the government to file 
a bill of particulars. The defendant may move for a bill of particulars 
before or within 10 days after arraignment or at a later time if the 
court permits. The government may amend a bill of particulars subject to 
such conditions as justice requires.
(As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 24, 1972, eff. Oct. 
1, 1972; Apr. 30, 1979, eff. Aug. 1, 1979; Mar. 9, 1987, eff. Aug. 1, 
1987; Apr. 17, 2000, eff. Dec. 1, 2000; Apr. 29, 2002, eff. Dec. 1, 
2002; Apr. 30, 2003.)
Rule 8. Joinder of Offenses or Defendants_______________________________
    (a) Joinder of Offenses. The indictment or information may charge a 
defendant in separate counts with 2 or more offenses if the offenses 
charged--whether felonies or misdemeanors or both--are of the same or 
similar character, or are based on the same act or transaction, or are 
connected with or constitute parts of a common scheme or plan.
    (b) Joinder of Defendants. The indictment or information may charge 
2 or more defendants if they are alleged to have participated in the 
same act or transaction, or in the same series of acts or transactions, 
constituting an offense or offenses. The defendants may be charged in 
one or more counts together or separately. All defendants need not be 
charged in each count.
(As amended Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 9. Arrest Warrant or Summons on an Indictment or Information_______
    (a) Issuance. The court must issue a warrant--or at the government's 
request, a summons--for each defendant named in an indictment or named 
in an information if one or more affidavits accompanying the information 
establish probable cause to believe that an offense has been committed 
and that the defendant committed it. The court may issue more than one 
warrant or summons for the same defendant. If a defendant fails to 
appear in response to a summons, the court may, and upon request of an 
attorney for the government must, issue a warrant. The court must issue 
the arrest warrant to an officer authorized to execute it or the summons 
to a person authorized to serve it.
    (b) Form.
            (1) Warrant. The warrant must conform to Rule 4(b)(1) except 
        that it must be signed by the clerk and must describe the 
        offense charged in the indictment or information.
            (2) Summons. The summons must be in the same form as a 
        warrant except that it must require the defendant to appear 
        before the court at a stated time and place.
    (c) Execution or Service; Return; Initial Appearance.
            (1) Execution or Service.
                    (A) The warrant must be executed or the summons 
                served as provided in Rule 4(c)(1), (2), and (3).
                    (B) The officer executing the warrant must proceed 
                in accordance with Rule 5(a)(1).
            (2) Return. A warrant or summons must be returned in 
        accordance with Rule 4(c)(4).
            (3) Initial Appearance. When an arrested or summoned 
        defendant first appears before the court, the judge must proceed 
        under Rule 5.
(As amended Apr. 24, 1972, eff. Oct. 1, 1972; Apr. 22, 1974, eff. Dec. 
1, 1975; July 31, 1975, eff. Dec. 1, 1975; Dec. 12, 1975; Apr. 30, 1979, 
eff. Aug. 1, 1979; Apr. 28, 1982, eff. Aug. 1, 1982; Apr. 22, 1993, eff. 
Dec. 1, 1993; Apr. 29, 2002, eff. Dec. 1, 2002.)

             TITLE IV. ARRAIGNMENT AND PREPARATION FOR TRIAL

Rule 10. Arraignment_____________________________________________________
    (a) In General. An arraignment must be conducted in open court and 
must consist of:
            (1) ensuring that the defendant has a copy of the indictment 
        or information;
            (2) reading the indictment or information to the defendant 
        or stating to the defendant the substance of the charge; and 
        then
            (3) asking the defendant to plead to the indictment or 
        information.
    (b) Waiving Appearance. A defendant need not be present for the 
arraignment if:
            (1) the defendant has been charged by indictment or 
        misdemeanor information;
            (2) the defendant, in a written waiver signed by both the 
        defendant and defense counsel, has waived appearance and has 
        affirmed that the defendant received a copy of the indictment or 
        information and that the plea is not guilty; and
            (3) the court accepts the waiver.
    (c) Video Teleconferencing. Video teleconferencing may be used to 
arraign a defendant if the defendant consents.
(As amended Mar. 9, 1987, eff. Aug. 1, 1987; Apr. 29, 2002, eff. Dec. 1, 
2002.)
Rule 11. Pleas___________________________________________________________
    (a) Entering a Plea.
            (1) In General. A defendant may plead not guilty, guilty, or 
        (with the court's consent) nolo contendere.
            (2) Conditional Plea. With the consent of the court and the 
        government, a defendant may enter a conditional plea of guilty 
        or nolo contendere, reserving in writing the right to have an 
        appellate court review an adverse determination of a specified 
        pretrial motion. A defendant who prevails on appeal may then 
        withdraw the plea.
            (3) Nolo Contendere Plea. Before accepting a plea of nolo 
        contendere, the court must consider the parties' views and the 
        public interest in the effective administration of justice.
            (4) Failure to Enter a Plea. If a defendant refuses to enter 
        a plea or if a defendant organization fails to appear, the court 
        must enter a plea of not guilty.
    (b) Considering and Accepting a Guilty or Nolo Contendere Plea.
            (1) Advising and Questioning the Defendant. Before the court 
        accepts a plea of guilty or nolo contendere, the defendant may 
        be placed under oath, and the court must address the defendant 
        personally in open court. During this address, the court must 
        inform the defendant of, and determine that the defendant 
        understands, the following:
                    (A) the government's right, in a prosecution for 
                perjury or false statement, to use against the defendant 
                any statement that the defendant gives under oath;
                    (B) the right to plead not guilty, or having already 
                so pleaded, to persist in that plea;
                    (C) the right to a jury trial;
                    (D) the right to be represented by counsel--and if 
                necessary have the court appoint counsel--at trial and 
                at every other stage of the proceeding;
                    (E) the right at trial to confront and cross-examine 
                adverse witnesses, to be protected from compelled self-
                incrimination, to testify and present evidence, and to 
                compel the attendance of witnesses;
                    (F) the defendant's waiver of these trial rights if 
                the court accepts a plea of guilty or nolo contendere;
                    (G) the nature of each charge to which the defendant 
                is pleading;
                    (H) any maximum possible penalty, including 
                imprisonment, fine, and term of supervised release;
                    (I) any mandatory minimum penalty;
                    (J) any applicable forfeiture;
                    (K) the court's authority to order restitution;
                    (L) the court's obligation to impose a special 
                assessment;
                    (M) the court's obligation to apply the Sentencing 
                Guidelines, and the court's discretion to depart from 
                those guidelines under some circumstances; and
                    (N) the terms of any plea-agreement provision 
                waiving the right to appeal or to collaterally attack 
                the sentence.
            (2) Ensuring That a Plea Is Voluntary. Before accepting a 
        plea of guilty or nolo contendere, the court must address the 
        defendant personally in open court and determine that the plea 
        is voluntary and did not result from force, threats, or promises 
        (other than promises in a plea agreement).
            (3) Determining the Factual Basis for a Plea. Before 
        entering judgment on a guilty plea, the court must determine 
        that there is a factual basis for the plea.
    (c) Plea Agreement Procedure.
            (1) In General. An attorney for the government and the 
        defendant's attorney, or the defendant when proceeding pro se, 
        may discuss and reach a plea agreement. The court must not 
        participate in these discussions. If the defendant pleads guilty 
        or nolo contendere to either a charged offense or a lesser or 
        related offense, the plea agreement may specify that an attorney 
        for the government will:
                    (A) not bring, or will move to dismiss, other 
                charges;
                    (B) recommend, or agree not to oppose the 
                defendant's request, that a particular sentence or 
                sentencing range is appropriate or that a particular 
                provision of the Sentencing Guidelines, or policy 
                statement, or sentencing factor does or does not apply 
                (such a recommendation or request does not bind the 
                court); or
                    (C) agree that a specific sentence or sentencing 
                range is the appropriate disposition of the case, or 
                that a particular provision of the Sentencing 
                Guidelines, or policy statement, or sentencing factor 
                does or does not apply (such a recommendation or request 
                binds the court once the court accepts the plea 
                agreement).
            (2) Disclosing a Plea Agreement. The parties must disclose 
        the plea agreement in open court when the plea is offered, 
        unless the court for good cause allows the parties to disclose 
        the plea agreement in camera.
            (3) Judicial Consideration of a Plea Agreement.
                    (A) To the extent the plea agreement is of the type 
                specified in Rule 11(c)(1)(A) or (C), the court may 
                accept the agreement, reject it, or defer a decision 
                until the court has reviewed the presentence report.
                    (B) To the extent the plea agreement is of the type 
                specified in Rule 11(c)(1)(B), the court must advise the 
                defendant that the defendant has no right to withdraw 
                the plea if the court does not follow the recommendation 
                or request.
            (4) Accepting a Plea Agreement. If the court accepts the 
        plea agreement, it must inform the defendant that to the extent 
        the plea agreement is of the type specified in Rule 11(c)(1)(A) 
        or (C), the agreed disposition will be included in the judgment.
            (5) Rejecting a Plea Agreement. If the court rejects a plea 
        agreement containing provisions of the type specified in Rule 
        11(c)(1)(A) or (C), the court must do the following on the 
        record and in open court (or, for good cause, in camera):
                    (A) inform the parties that the court rejects the 
                plea agreement;
                    (B) advise the defendant personally that the court 
                is not required to follow the plea agreement and give 
                the defendant an opportunity to withdraw the plea; and
                    (C) advise the defendant personally that if the plea 
                is not withdrawn, the court may dispose of the case less 
                favorably toward the defendant than the plea agreement 
                contemplated.
    (d) Withdrawing a Guilty or Nolo Contendere Plea. A defendant may 
withdraw a plea of guilty or nolo contendere:
            (1) before the court accepts the plea, for any reason or no 
        reason; or
            (2) after the court accepts the plea, but before it imposes 
        sentence if:
                    (A) the court rejects a plea agreement under Rule 
                11(c)(5); or
                    (B) the defendant can show a fair and just reason 
                for requesting the withdrawal.
    (e) Finality of a Guilty or Nolo Contendere Plea. After the court 
imposes sentence, the defendant may not withdraw a plea of guilty or 
nolo contendere, and the plea may be set aside only on direct appeal or 
collateral attack.
    (f) Admissibility or Inadmissibility of a Plea, Plea Discussions, 
and Related Statements. The admissibility or inadmissibility of a plea, 
a plea discussion, and any related statement is governed by Federal Rule 
of Evidence 410.
    (g) Recording the Proceedings. The proceedings during which the 
defendant enters a plea must be recorded by a court reporter or by a 
suitable recording device. If there is a guilty plea or a nolo 
contendere plea, the record must include the inquiries and advice to the 
defendant required under Rule 11(b) and (c).
    (h) Harmless Error. A variance from the requirements of this rule is 
harmless error if it does not affect substantial rights.
(As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 22, 1974, eff. Dec. 
1, 1975; July 31, 1975, eff. Aug. 1 and Dec. 1, 1975; Apr. 30, 1979, 
eff. Aug. 1, 1979, and Dec. 1, 1980; Apr. 28, 1982, eff. Aug. 1, 1982; 
Apr. 28, 1983, eff. Aug. 1, 1983; Apr. 29, 1985, eff. Aug. 1, 1985; Mar. 
9, 1987, eff. Aug. 1, 1987; Nov. 18, 1988; Apr. 25, 1989, eff. Dec. 1, 
1989; Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 29, 2002, eff. Dec. 1, 
2002.)
Rule 12. Pleadings and Pretrial Motions__________________________________
    (a) Pleadings. The pleadings in a criminal proceeding are the 
indictment, the information, and the pleas of not guilty, guilty, and 
nolo contendere.
    (b) Pretrial Motions.
            (1) In General. Rule 47 applies to a pretrial motion.
            (2) Motions That May Be Made Before Trial. A party may raise 
        by pretrial motion any defense, objection, or request that the 
        court can determine without a trial of the general issue.
            (3) Motions That Must Be Made Before Trial. The following 
        must be raised before trial:
                    (A) a motion alleging a defect in instituting the 
                prosecution;
                    (B) a motion alleging a defect in the indictment or 
                information--but at any time while the case is pending, 
                the court may hear a claim that the indictment or 
                information fails to invoke the court's jurisdiction or 
                to state an offense;
                    (C) a motion to suppress evidence;
                    (D) a Rule 14 motion to sever charges or defendants; 
                and
                    (E) a Rule 16 motion for discovery.
            (4) Notice of the Government's Intent to Use Evidence.
                    (A) At the Government's Discretion. At the 
                arraignment or as soon afterward as practicable, the 
                government may notify the defendant of its intent to use 
                specified evidence at trial in order to afford the 
                defendant an opportunity to object before trial under 
                Rule 12(b)(3)(C).
                    (B) At the Defendant's Request. At the arraignment 
                or as soon afterward as practicable, the defendant may, 
                in order to have an opportunity to move to suppress 
                evidence under Rule 12(b)(3)(C), request notice of the 
                government's intent to use (in its evidence-in-chief at 
                trial) any evidence that the defendant may be entitled 
                to discover under Rule 16.
    (c) Motion Deadline. The court may, at the arraignment or as soon 
afterward as practicable, set a deadline for the parties to make 
pretrial motions and may also schedule a motion hearing.
    (d) Ruling on a Motion. The court must decide every pretrial motion 
before trial unless it finds good cause to defer a ruling. The court 
must not defer ruling on a pretrial motion if the deferral will 
adversely affect a party's right to appeal. When factual issues are 
involved in deciding a motion, the court must state its essential 
findings on the record.
    (e) Waiver of a Defense, Objection, or Request. A party waives any 
Rule 12(b)(3) defense, objection, or request not raised by the deadline 
the court sets under Rule 12(c) or by any extension the court provides. 
For good cause, the court may grant relief from the waiver.
    (f) Recording the Proceedings. All proceedings at a motion hearing, 
including any findings of fact and conclusions of law made orally by the 
court, must be recorded by a court reporter or a suitable recording 
device.
    (g) Defendant's Continued Custody or Release Status. If the court 
grants a motion to dismiss based on a defect in instituting the 
prosecution, in the indictment, or in the information, it may order the 
defendant to be released or detained under 18 U.S.C. Sec. 3142 for a 
specified time until a new indictment or information is filed. This rule 
does not affect any federal statutory period of limitations.
    (h) Producing Statements at a Suppression Hearing. Rule 26.2 applies 
at a suppression hearing under Rule 12(b)(3)(C). At a suppression 
hearing, a law enforcement officer is considered a government witness.
(As amended Apr. 22, 1974, eff. Dec. 1, 1975; July 31, 1975, eff. Dec. 
1, 1975; Apr. 28, 1983, eff. Aug. 1, 1983; Mar. 9, 1987, eff. Aug. 1, 
1987; Apr. 22, 1993, eff. Dec. 1, 1993; Apr. 29, 2002, eff. Dec. 1, 
2002.)
Rule 12.1. Notice of an Alibi Defense______________________________________
    (a) Government's Request for Notice and Defendant's Response.
            (1) Government's Request. An attorney for the government may 
        request in writing that the defendant notify an attorney for the 
        government of any intended alibi defense. The request must state 
        the time, date, and place of the alleged offense.
            (2) Defendant's Response. Within 10 days after the request, 
        or at some other time the court sets, the defendant must serve 
        written notice on an attorney for the government of any intended 
        alibi defense. The defendant's notice must state:
                    (A) each specific place where the defendant claims 
                to have been at the time of the alleged offense; and
                    (B) the name, address, and telephone number of each 
                alibi witness on whom the defendant intends to rely.
    (b) Disclosing Government Witnesses.
            (1) Disclosure. If the defendant serves a Rule 12.1(a)(2) 
        notice, an attorney for the government must disclose in writing 
        to the defendant or the defendant's attorney:
                    (A) the name, address, and telephone number of each 
                witness the government intends to rely on to establish 
                the defendant's presence at the scene of the alleged 
                offense; and
                    (B) each government rebuttal witness to the 
                defendant's alibi defense.
            (2) Time to Disclose. Unless the court directs otherwise, an 
        attorney for the government must give its Rule 12.1(b)(1) 
        disclosure within 10 days after the defendant serves notice of 
        an intended alibi defense under Rule 12.1(a)(2), but no later 
        than 10 days before trial.
    (c) Continuing Duty to Disclose. Both an attorney for the government 
and the defendant must promptly disclose in writing to the other party 
the name, address, and telephone number of each additional witness if:
            (1) the disclosing party learns of the witness before or 
        during trial; and
            (2) the witness should have been disclosed under Rule 
        12.1(a) or (b) if the disclosing party had known of the witness 
        earlier.
    (d) Exceptions. For good cause, the court may grant an exception to 
any requirement of Rule 12.1(a)-(c).
    (e) Failure to Comply. If a party fails to comply with this rule, 
the court may exclude the testimony of any undisclosed witness regarding 
the defendant's alibi. This rule does not limit the defendant's right to 
testify.
    (f) Inadmissibility of Withdrawn Intention. Evidence of an intention 
to rely on an alibi defense, later withdrawn, or of a statement made in 
connection with that intention, is not, in any civil or criminal 
proceeding, admissible against the person who gave notice of the 
intention.
(As added Apr. 22, 1974, eff. Dec. 1, 1975; amended July 31, 1975, eff. 
Dec. 1, 1975; Apr. 29, 1985, eff. Aug. 1, 1985; Mar. 9, 1987, eff. Aug. 
1, 1987; Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 12.2. Notice of an Insanity Defense; Mental Examination_______________
    (a) Notice of an Insanity Defense. A defendant who intends to assert 
a defense of insanity at the time of the alleged offense must so notify 
an attorney for the government in writing within the time provided for 
filing a pretrial motion, or at any later time the court sets, and file 
a copy of the notice with the clerk. A defendant who fails to do so 
cannot rely on an insanity defense. The court may, for good cause, allow 
the defendant to file the notice late, grant additional trial-
preparation time, or make other appropriate orders.
    (b) Notice of Expert Evidence of a Mental Condition. If a defendant 
intends to introduce expert evidence relating to a mental disease or 
defect or any other mental condition of the defendant bearing on either 
(1) the issue of guilt or (2) the issue of punishment in a capital case, 
the defendant must--within the time provided for filing a pretrial 
motion or at any later time the court sets--notify an attorney for the 
government in writing of this intention and file a copy of the notice 
with the clerk. The court may, for good cause, allow the defendant to 
file the notice late, grant the parties additional trial-preparation 
time, or make other appropriate orders.
    (c) Mental Examination.
            (1) Authority to Order an Examination; Procedures.
                    (A) The court may order the defendant to submit to a 
                competency examination under 18 U.S.C. Sec. 4241.
                    (B) If the defendant provides notice under Rule 
                12.2(a), the court must, upon the government's motion, 
                order the defendant to be examined under 18 U.S.C. 
                Sec. 4242. If the defendant provides notice under Rule 
                12.2(b) the court may, upon the government's motion, 
                order the defendant to be examined under procedures 
                ordered by the court.
            (2) Disclosing Results and Reports of Capital Sentencing 
        Examination. The results and reports of any examination 
        conducted solely under Rule 12.2(c)(1) after notice under Rule 
        12.2(b)(2) must be sealed and must not be disclosed to any 
        attorney for the government or the defendant unless the 
        defendant is found guilty of one or more capital crimes and the 
        defendant confirms an intent to offer during sentencing 
        proceedings expert evidence on mental condition.
            (3) Disclosing Results and Reports of the Defendant's Expert 
        Examination. After disclosure under Rule 12.2(c)(2) of the 
        results and reports of the government's examination, the 
        defendant must disclose to the government the results and 
        reports of any examination on mental condition conducted by the 
        defendant's expert about which the defendant intends to 
        introduce expert evidence.
            (4) Inadmissibility of a Defendant's Statements. No 
        statement made by a defendant in the course of any examination 
        conducted under this rule (whether conducted with or without the 
        defendant's consent), no testimony by the expert based on the 
        statement, and no other fruits of the statement may be admitted 
        into evidence against the defendant in any criminal proceeding 
        except on an issue regarding mental condition on which the 
        defendant:
                    (A) has introduced evidence of incompetency or 
                evidence requiring notice under Rule 12.2(a) or (b)(1), 
                or
                    (B) has introduced expert evidence in a capital 
                sentencing proceeding requiring notice under Rule 
                12.2(b)(2).
    (d) Failure to Comply. If the defendant fails to give notice under 
Rule 12.2(b) or does not submit to an examination when ordered under 
Rule 12.2(c), the court may exclude any expert evidence from the 
defendant on the issue of the defendant's mental disease, mental defect, 
or any other mental condition bearing on the defendant's guilt or the 
issue of punishment in a capital case.
    (e) Inadmissibility of Withdrawn Intention. Evidence of an intention 
as to which notice was given under Rule 12.2(a) or (b), later withdrawn, 
is not, in any civil or criminal proceeding, admissible against the 
person who gave notice of the intention.
(As added Apr. 22, 1974, eff. Dec. 1, 1975; amended July 31, 1975, eff. 
Dec. 1, 1975; Apr. 28, 1983, eff. Aug. 1, 1983; Oct. 12, 1984; Oct. 30, 
1984, eff. Oct. 12, 1984; Apr. 29, 1985, eff. Aug. 1, 1985; Nov. 10, 
1986; Mar. 9, 1987, eff. Aug. 1, 1987; Apr. 29, 2002, eff. Dec. 1, 
2002.)
Rule 12.3. Notice of a Public-Authority Defense____________________________
    (a) Notice of the Defense and Disclosure of Witnesses.
            (1) Notice in General. If a defendant intends to assert a 
        defense of actual or believed exercise of public authority on 
        behalf of a law enforcement agency or federal intelligence 
        agency at the time of the alleged offense, the defendant must so 
        notify an attorney for the government in writing and must file a 
        copy of the notice with the clerk within the time provided for 
        filing a pretrial motion, or at any later time the court sets. 
        The notice filed with the clerk must be under seal if the notice 
        identifies a federal intelligence agency as the source of public 
        authority.
            (2) Contents of Notice. The notice must contain the 
        following information:
                    (A) the law enforcement agency or federal 
                intelligence agency involved;
                    (B) the agency member on whose behalf the defendant 
                claims to have acted; and
                    (C) the time during which the defendant claims to 
                have acted with public authority.
            (3) Response to the Notice. An attorney for the government 
        must serve a written response on the defendant or the 
        defendant's attorney within 10 days after receiving the 
        defendant's notice, but no later than 20 days before trial. The 
        response must admit or deny that the defendant exercised the 
        public authority identified in the defendant's notice.
            (4) Disclosing Witnesses.
                    (A) Government's Request. An attorney for the 
                government may request in writing that the defendant 
                disclose the name, address, and telephone number of each 
                witness the defendant intends to rely on to establish a 
                public-authority defense. An attorney for the government 
                may serve the request when the government serves its 
                response to the defendant's notice under Rule 
                12.3(a)(3), or later, but must serve the request no 
                later than 20 days before trial.
                    (B) Defendant's Response. Within 7 days after 
                receiving the government's request, the defendant must 
                serve on an attorney for the government a written 
                statement of the name, address, and telephone number of 
                each witness.
                    (C) Government's Reply. Within 7 days after 
                receiving the defendant's statement, an attorney for the 
                government must serve on the defendant or the 
                defendant's attorney a written statement of the name, 
                address, and telephone number of each witness the 
                government intends to rely on to oppose the defendant's 
                public-authority defense.
            (5) Additional Time. The court may, for good cause, allow a 
        party additional time to comply with this rule.
    (b) Continuing Duty to Disclose. Both an attorney for the government 
and the defendant must promptly disclose in writing to the other party 
the name, address, and telephone number of any additional witness if:
            (1) the disclosing party learns of the witness before or 
        during trial; and
            (2) the witness should have been disclosed under Rule 
        12.3(a)(4) if the disclosing party had known of the witness 
        earlier.
    (c) Failure to Comply. If a party fails to comply with this rule, 
the court may exclude the testimony of any undisclosed witness regarding 
the public-authority defense. This rule does not limit the defendant's 
right to testify.
    (d) Protective Procedures Unaffected. This rule does not limit the 
court's authority to issue appropriate protective orders or to order 
that any filings be under seal.
    (e) Inadmissibility of Withdrawn Intention. Evidence of an intention 
as to which notice was given under Rule 12.3(a), later withdrawn, is 
not, in any civil or criminal proceeding, admissible against the person 
who gave notice of the intention.
(As added Nov. 18, 1988; amended Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 12.4. Disclosure Statement____________________________________________
    (a) Who Must File.
            (1) Nongovernmental Corporate Party. Any nongovernmental 
        corporate party to a proceeding in a district court must file a 
        statement that identifies any parent corporation and any 
        publicly held corporation that owns 10% or more of its stock or 
        states that there is no such corporation.
            (2) Organizational Victim. If an organization is a victim of 
        the alleged criminal activity, the government must file a 
        statement identifying the victim. If the organizational victim 
        is a corporation, the statement must also disclose the 
        information required by Rule 12.4(a)(1) to the extent it can be 
        obtained through due diligence.
    (b) Time for Filing; Supplemental Filing. A party must:
            (1) file the Rule 12.4(a) statement upon the defendant's 
        initial appearance; and
            (2) promptly file a supplemental statement upon any change 
        in the information that the statement requires.
(As added Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 13. Joint Trial of Separate Cases___________________________________
    The court may order that separate cases be tried together as though 
brought in a single indictment or information if all offenses and all 
defendants could have been joined in a single indictment or information.
(As amended Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 14. Relief from Prejudicial Joinder_________________________________
    (a) Relief. If the joinder of offenses or defendants in an 
indictment, an information, or a consolidation for trial appears to 
prejudice a defendant or the government, the court may order separate 
trials of counts, sever the defendants' trials, or provide any other 
relief that justice requires.
    (b) Defendant's Statements. Before ruling on a defendant's motion to 
sever, the court may order an attorney for the government to deliver to 
the court for in camera inspection any defendant's statement that the 
government intends to use as evidence.
(As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 29, 2002, eff. Dec. 
1, 2002.)
Rule 15. Depositions_____________________________________________________
    (a) When Taken.
            (1) In General. A party may move that a prospective witness 
        be deposed in order to preserve testimony for trial. The court 
        may grant the motion because of exceptional circumstances and in 
        the interest of justice. If the court orders the deposition to 
        be taken, it may also require the deponent to produce at the 
        deposition any designated material that is not privileged, 
        including any book, paper, document, record, recording, or data.
            (2) Detained Material Witness. A witness who is detained 
        under 18 U.S.C. Sec. 3144 may request to be deposed by filing a 
        written motion and giving notice to the parties. The court may 
        then order that the deposition be taken and may discharge the 
        witness after the witness has signed under oath the deposition 
        transcript.
    (b) Notice.
            (1) In General. A party seeking to take a deposition must 
        give every other party reasonable written notice of the 
        deposition's date and location. The notice must state the name 
        and address of each deponent. If requested by a party receiving 
        the notice, the court may, for good cause, change the 
        deposition's date or location.
            (2) To the Custodial Officer. A party seeking to take the 
        deposition must also notify the officer who has custody of the 
        defendant of the scheduled date and location.
    (c) Defendant's Presence.
            (1) Defendant in Custody. The officer who has custody of the 
        defendant must produce the defendant at the deposition and keep 
        the defendant in the witness's presence during the examination, 
        unless the defendant:
                    (A) waives in writing the right to be present; or
                    (B) persists in disruptive conduct justifying 
                exclusion after being warned by the court that 
                disruptive conduct will result in the defendant's 
                exclusion.
            (2) Defendant Not in Custody. A defendant who is not in 
        custody has the right upon request to be present at the 
        deposition, subject to any conditions imposed by the court. If 
        the government tenders the defendant's expenses as provided in 
        Rule 15(d) but the defendant still fails to appear, the 
        defendant--absent good cause--waives both the right to appear 
        and any objection to the taking and use of the deposition based 
        on that right.
    (d) Expenses. If the deposition was requested by the government, the 
court may--or if the defendant is unable to bear the deposition 
expenses, the court must--order the government to pay:
            (1) any reasonable travel and subsistence expenses of the 
        defendant and the defendant's attorney to attend the deposition; 
        and
            (2) the costs of the deposition transcript.
    (e) Manner of Taking. Unless these rules or a court order provides 
otherwise, a deposition must be taken and filed in the same manner as a 
deposition in a civil action, except that:
            (1) A defendant may not be deposed without that defendant's 
        consent.
            (2) The scope and manner of the deposition examination and 
        cross-examination must be the same as would be allowed during 
        trial.
            (3) The government must provide to the defendant or the 
        defendant's attorney, for use at the deposition, any statement 
        of the deponent in the government's possession to which the 
        defendant would be entitled at trial.
    (f) Use as Evidence. A party may use all or part of a deposition as 
provided by the Federal Rules of Evidence.
    (g) Objections. A party objecting to deposition testimony or 
evidence must state the grounds for the objection during the deposition.
    (h) Depositions by Agreement Permitted. The parties may by agreement 
take and use a deposition with the court's consent.
(As amended Apr. 22, 1974, eff. Dec. 1, 1975; July 31, 1975, eff. Dec. 
1, 1975; Oct. 12, 1984; Mar. 9, 1987, eff. Aug. 1, 1987; Apr. 29, 2002, 
eff. Dec. 1, 2002.)
Rule 16. Discovery and Inspection________________________________________
    (a) Government's Disclosure.
            (1) Information Subject to Disclosure.
                    (A) Defendant's Oral Statement. Upon a defendant's 
                request, the government must disclose to the defendant 
                the substance of any relevant oral statement made by the 
                defendant, before or after arrest, in response to 
                interrogation by a person the defendant knew was a 
                government agent if the government intends to use the 
                statement at trial.
                    (B) Defendant's Written or Recorded Statement. Upon 
                a defendant's request, the government must disclose to 
                the defendant, and make available for inspection, 
                copying, or photographing, all of the following:
                            (i) any relevant written or recorded 
                        statement by the defendant if:

   the statement is within the government's possession, custody, or 
control; and

   the attorney for the government knows--or through due diligence 
could know--that the statement exists;

                            (ii) the portion of any written record 
                        containing the substance of any relevant oral 
                        statement made before or after arrest if the 
                        defendant made the statement in response to 
                        interrogation by a person the defendant knew was 
                        a government agent; and
                            (iii) the defendant's recorded testimony 
                        before a grand jury relating to the charged 
                        offense.
                    (C) Organizational Defendant. Upon a defendant's 
                request, if the defendant is an organization, the 
                government must disclose to the defendant any statement 
                described in Rule 16(a)(1)(A) and (B) if the government 
                contends that the person making the statement:
                            (i) was legally able to bind the defendant 
                        regarding the subject of the statement because 
                        of that person's position as the defendant's 
                        director, officer, employee, or agent; or
                            (ii) was personally involved in the alleged 
                        conduct constituting the offense and was legally 
                        able to bind the defendant regarding that 
                        conduct because of that person's position as the 
                        defendant's director, officer, employee, or 
                        agent.
                    (D) Defendant's Prior Record. Upon a defendant's 
                request, the government must furnish the defendant with 
                a copy of the defendant's prior criminal record that is 
                within the government's possession, custody, or control 
                if the attorney for the government knows--or through due 
                diligence could know--that the record exists.
                    (E) Documents and Objects. Upon a defendant's 
                request, the government must permit the defendant to 
                inspect and to copy or photograph books, papers, 
                documents, data, photographs, tangible objects, 
                buildings or places, or copies or portions of any of 
                these items, if the item is within the government's 
                possession, custody, or control and:
                            (i) the item is material to preparing the 
                        defense;
                            (ii) the government intends to use the item 
                        in its case-in-chief at trial; or
                            (iii) the item was obtained from or belongs 
                        to the defendant.
                    (F) Reports of Examinations and Tests. Upon a 
                defendant's request, the government must permit a 
                defendant to inspect and to copy or photograph the 
                results or reports of any physical or mental examination 
                and of any scientific test or experiment if:
                            (i) the item is within the government's 
                        possession, custody, or control;
                            (ii) the attorney for the government knows--
                        or through due diligence could know--that the 
                        item exists; and
                            (iii) the item is material to preparing the 
                        defense or the government intends to use the 
                        item in its case-in-chief at trial.
                    (G) Expert Witnesses. At the defendant's request, 
                the government must give to the defendant a written 
                summary of any testimony that the government intends to 
                use under Rules 702, 703, or 705 of the Federal Rules of 
                Evidence during its case-in-chief at trial. If the 
                government requests discovery under subdivision 
                (b)(1)(C)(ii) and the defendant complies, the government 
                must, at the defendant's request, give to the defendant 
                a written summary of testimony that the government 
                intends to use under Rules 702, 703, or 705 of the 
                Federal Rules of Evidence as evidence at trial on the 
                issue of the defendant's mental condition. The summary 
                provided under this subparagraph must describe the 
                witness's opinions, the bases and reasons for those 
                opinions, and the witness's qualifications.
            (2) Information Not Subject to Disclosure. Except as Rule 
        16(a)(1) provides otherwise, this rule does not authorize the 
        discovery or inspection of reports, memoranda, or other internal 
        government documents made by an attorney for the government or 
        other government agent in connection with investigating or 
        prosecuting the case. Nor does this rule authorize the discovery 
        or inspection of statements made by prospective government 
        witnesses except as provided in 18 U.S.C. Sec. 3500.
            (3) Grand Jury Transcripts. This rule does not apply to the 
        discovery or inspection of a grand jury's recorded proceedings, 
        except as provided in Rules 6, 12(h), 16(a)(1), and 26.2.
    (b) Defendant's Disclosure.
            (1) Information Subject to Disclosure.
                    (A) Documents and Objects. If a defendant requests 
                disclosure under Rule 16(a)(1)(E) and the government 
                complies, then the defendant must permit the government, 
                upon request, to inspect and to copy or photograph 
                books, papers, documents, data, photographs, tangible 
                objects, buildings or places, or copies or portions of 
                any of these items if:
                            (i) the item is within the defendant's 
                        possession, custody, or control; and
                            (ii) the defendant intends to use the item 
                        in the defendant's case-in-chief at trial.
                    (B) Reports of Examinations and Tests. If a 
                defendant requests disclosure under Rule 16(a)(1)(F) and 
                the government complies, the defendant must permit the 
                government, upon request, to inspect and to copy or 
                photograph the results or reports of any physical or 
                mental examination and of any scientific test or 
                experiment if:
                            (i) the item is within the defendant's 
                        possession, custody, or control; and
                            (ii) the defendant intends to use the item 
                        in the defendant's case-in-chief at trial, or 
                        intends to call the witness who prepared the 
                        report and the report relates to the witness's 
                        testimony.
                    (C) Expert Witnesses. The defendant must, at the 
                government's request, give to the government a written 
                summary of any testimony that the defendant intends to 
                use under Rules 702, 703, or 705 of the Federal Rules of 
                Evidence as evidence at trial, if--
                            (i) the defendant requests disclosure under 
                        subdivision (a)(1)(G) and the government 
                        complies; or
                            (ii) the defendant has given notice under 
                        Rule 12.2(b) of an intent to present expert 
                        testimony on the defendant's mental condition.
                This summary must describe the witness's opinions, the 
                bases and reasons for those opinions, and the witness's 
                qualifications[.]
            (2) Information Not Subject to Disclosure. Except for 
        scientific or medical reports, Rule 16(b)(1) does not authorize 
        discovery or inspection of:
                    (A) reports, memoranda, or other documents made by 
                the defendant, or the defendant's attorney or agent, 
                during the case's investigation or defense; or
                    (B) a statement made to the defendant, or the 
                defendant's attorney or agent, by:
                            (i) the defendant;
                            (ii) a government or defense witness; or
                            (iii) a prospective government or defense 
                        witness.
    (c) Continuing Duty to Disclose. A party who discovers additional 
evidence or material before or during trial must promptly disclose its 
existence to the other party or the court if:
            (1) the evidence or material is subject to discovery or 
        inspection under this rule; and
            (2) the other party previously requested, or the court 
        ordered, its production.
    (d) Regulating Discovery.
            (1) Protective and Modifying Orders. At any time the court 
        may, for good cause, deny, restrict, or defer discovery or 
        inspection, or grant other appropriate relief. The court may 
        permit a party to show good cause by a written statement that 
        the court will inspect ex parte. If relief is granted, the court 
        must preserve the entire text of the party's statement under 
        seal.
            (2) Failure to Comply. If a party fails to comply with this 
        rule, the court may:
                    (A) order that party to permit the discovery or 
                inspection; specify its time, place, and manner; and 
                prescribe other just terms and conditions;
                    (B) grant a continuance;
                    (C) prohibit that party from introducing the 
                undisclosed evidence; or
                    (D) enter any other order that is just under the 
                circumstances.
(As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 22, 1974, eff. Dec. 
1, 1975; July 31, 1975, eff. Dec. 1, 1975; Dec. 12, 1975; Apr. 28, 1983, 
eff. Aug. 1, 1983; Mar. 9, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. 
Dec. 1, 1991; Apr. 22, 1993, eff. Dec. 1, 1993; Apr. 29, 1994, eff. Dec. 
1, 1994; Apr. 11, 1997, eff. Dec. 1, 1997; Apr. 29, 2002, eff. Dec. 1, 
2002; Nov. 2, 2002, eff. Dec. 1, 2002.)
Rule 17. Subpoena________________________________________________________
    (a) Content. A subpoena must state the court's name and the title of 
the proceeding, include the seal of the court, and command the witness 
to attend and testify at the time and place the subpoena specifies. The 
clerk must issue a blank subpoena--signed and sealed--to the party 
requesting it, and that party must fill in the blanks before the 
subpoena is served.
    (b) Defendant Unable to Pay. Upon a defendant's ex parte 
application, the court must order that a subpoena be issued for a named 
witness if the defendant shows an inability to pay the witness's fees 
and the necessity of the witness's presence for an adequate defense. If 
the court orders a subpoena to be issued, the process costs and witness 
fees will be paid in the same manner as those paid for witnesses the 
government subpoenas.
    (c) Producing Documents and Objects.
            (1) In General. A subpoena may order the witness to produce 
        any books, papers, documents, data, or other objects the 
        subpoena designates. The court may direct the witness to produce 
        the designated items in court before trial or before they are to 
        be offered in evidence. When the items arrive, the court may 
        permit the parties and their attorneys to inspect all or part of 
        them.
            (2) Quashing or Modifying the Subpoena. On motion made 
        promptly, the court may quash or modify the subpoena if 
        compliance would be unreasonable or oppressive.
    (d) Service. A marshal, a deputy marshal, or any nonparty who is at 
least 18 years old may serve a subpoena. The server must deliver a copy 
of the subpoena to the witness and must tender to the witness one day's 
witness-attendance fee and the legal mileage allowance. The server need 
not tender the attendance fee or mileage allowance when the United 
States, a federal officer, or a federal agency has requested the 
subpoena.
    (e) Place of Service.
            (1) In the United States. A subpoena requiring a witness to 
        attend a hearing or trial may be served at any place within the 
        United States.
            (2) In a Foreign Country. If the witness is in a foreign 
        country, 28 U.S.C. Sec. 1783 governs the subpoena's service.
    (f) Issuing a Deposition Subpoena.
            (1) Issuance. A court order to take a deposition authorizes 
        the clerk in the district where the deposition is to be taken to 
        issue a subpoena for any witness named or described in the 
        order.
            (2) Place. After considering the convenience of the witness 
        and the parties, the court may order--and the subpoena may 
        require--the witness to appear anywhere the court designates.
    (g) Contempt. The court (other than a magistrate judge) may hold in 
contempt a witness who, without adequate excuse, disobeys a subpoena 
issued by a federal court in that district. A magistrate judge may hold 
in contempt a witness who, without adequate excuse, disobeys a subpoena 
issued by that magistrate judge as provided in 28 U.S.C. Sec. 636(e).
    (h) Information Not Subject to a Subpoena. No party may subpoena a 
statement of a witness or of a prospective witness under this rule. Rule 
26.2 governs the production of the statement.
(As amended Dec. 27, 1948, eff. Oct. 20, 1949; Feb. 28, 1966, eff. July 
1, 1966; Apr. 24, 1972, eff. Oct. 1, 1972; Apr. 22, 1974, eff. Dec. 1, 
1975; July 31, 1975, eff. Dec. 1, 1975; Apr. 30, 1979, eff. Dec. 1, 
1980; Mar. 9, 1987, eff. Aug. 1, 1987; Apr. 22, 1993, eff. Dec. 1, 1993; 
Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 17.1. Pretrial Conference_____________________________________________
    On its own, or on a party's motion, the court may hold one or more 
pretrial conferences to promote a fair and expeditious trial. When a 
conference ends, the court must prepare and file a memorandum of any 
matters agreed to during the conference. The government may not use any 
statement made during the conference by the defendant or the defendant's 
attorney unless it is in writing and is signed by the defendant and the 
defendant's attorney.
(As added Feb. 28, 1966, eff. July 1, 1966; amended Mar. 9, 1987, eff. 
Aug. 1, 1987; Apr. 29, 2002, eff. Dec. 1, 2002.)


                             TITLE V. VENUE

Rule 18. Place of Prosecution and Trial__________________________________
    Unless a statute or these rules permit otherwise, the government 
must prosecute an offense in a district where the offense was committed. 
The court must set the place of trial within the district with due 
regard for the convenience of the defendant and the witnesses, and the 
prompt administration of justice.
(As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 30, 1979, eff. Aug. 
1, 1979; Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 19. [Reserved]______________________________________________________
Rule 20. Transfer for Plea and Sentence__________________________________
    (a) Consent to Transfer. A prosecution may be transferred from the 
district where the indictment or information is pending, or from which a 
warrant on a complaint has been issued, to the district where the 
defendant is arrested, held, or present if:
            (1) the defendant states in writing a wish to plead guilty 
        or nolo contendere and to waive trial in the district where the 
        indictment, information, or complaint is pending, consents in 
        writing to the court's disposing of the case in the transferee 
        district, and files the statement in the transferee district; 
        and
            (2) the United States attorneys in both districts approve 
        the transfer in writing.
    (b) Clerk's Duties. After receiving the defendant's statement and 
the required approvals, the clerk where the indictment, information, or 
complaint is pending must send the file, or a certified copy, to the 
clerk in the transferee district.
    (c) Effect of a Not Guilty Plea. If the defendant pleads not guilty 
after the case has been transferred under Rule 20(a), the clerk must 
return the papers to the court where the prosecution began, and that 
court must restore the proceeding to its docket. The defendant's 
statement that the defendant wished to plead guilty or nolo contendere 
is not, in any civil or criminal proceeding, admissible against the 
defendant.
    (d) Juveniles.
            (1) Consent to Transfer. A juvenile, as defined in 18 U.S.C. 
        Sec. 5031, may be proceeded against as a juvenile delinquent in 
        the district where the juvenile is arrested, held, or present 
        if:
                    (A) the alleged offense that occurred in the other 
                district is not punishable by death or life 
                imprisonment;
                    (B) an attorney has advised the juvenile;
                    (C) the court has informed the juvenile of the 
                juvenile's rights--including the right to be returned to 
                the district where the offense allegedly occurred--and 
                the consequences of waiving those rights;
                    (D) the juvenile, after receiving the court's 
                information about rights, consents in writing to be 
                proceeded against in the transferee district, and files 
                the consent in the transferee district;
                    (E) the United States attorneys for both districts 
                approve the transfer in writing; and
                    (F) the transferee court approves the transfer.
            (2) Clerk's Duties. After receiving the juvenile's written 
        consent and the required approvals, the clerk where the 
        indictment, information, or complaint is pending or where the 
        alleged offense occurred must send the file, or a certified 
        copy, to the clerk in the transferee district.
(As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 22, 1974, eff. Dec. 
1, 1975; July 31, 1975, eff. Dec. 1, 1975; Apr. 28, 1982, eff. Aug. 1, 
1982; Mar. 9, 1987, eff. Aug. 1, 1987; Apr. 29, 2002, eff. Dec. 1, 
2002.)
Rule 21. Transfer for Trial______________________________________________
    (a) For Prejudice. Upon the defendant's motion, the court must 
transfer the proceeding against that defendant to another district if 
the court is satisfied that so great a prejudice against the defendant 
exists in the transferring district that the defendant cannot obtain a 
fair and impartial trial there.
    (b) For Convenience. Upon the defendant's motion, the court may 
transfer the proceeding, or one or more counts, against that defendant 
to another district for the convenience of the parties and witnesses and 
in the interest of justice.
    (c) Proceedings on Transfer. When the court orders a transfer, the 
clerk must send to the transferee district the file, or a certified 
copy, and any bail taken. The prosecution will then continue in the 
transferee district.
    (d) Time to File a Motion to Transfer. A motion to transfer may be 
made at or before arraignment or at any other time the court or these 
rules prescribe.
(As amended Feb. 28, 1966, eff. July 1, 1966; Mar. 9, 1987, eff. Aug. 1, 
1987; Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 22. [Transferred]___________________________________________________


                             TITLE VI. TRIAL

Rule 23. Jury or Nonjury Trial___________________________________________
    (a) Jury Trial. If the defendant is entitled to a jury trial, the 
trial must be by jury unless:
            (1) the defendant waives a jury trial in writing;
            (2) the government consents; and
            (3) the court approves.
    (b) Jury Size.
            (1) In General. A jury consists of 12 persons unless this 
        rule provides otherwise.
            (2) Stipulation for a Smaller Jury. At any time before the 
        verdict, the parties may, with the court's approval, stipulate 
        in writing that:
                    (A) the jury may consist of fewer than 12 persons; 
                or
                    (B) a jury of fewer than 12 persons may return a 
                verdict if the court finds it necessary to excuse a 
                juror for good cause after the trial begins.
            (3) Court Order for a Jury of 11. After the jury has retired 
        to deliberate, the court may permit a jury of 11 persons to 
        return a verdict, even without a stipulation by the parties, if 
        the court finds good cause to excuse a juror.
    (c) Nonjury Trial. In a case tried without a jury, the court must 
find the defendant guilty or not guilty. If a party requests before the 
finding of guilty or not guilty, the court must state its specific 
findings of fact in open court or in a written decision or opinion.
(As amended Feb. 28, 1966, eff. July 1, 1966; July 30, 1977, eff. Oct. 
1, 1977; Apr. 28, 1983, eff. Aug. 1, 1983; Apr. 29, 2002, eff. Dec. 1, 
2002.)
Rule 24. Trial Jurors____________________________________________________
    (a) Examination.
            (1) In General. The court may examine prospective jurors or 
        may permit the attorneys for the parties to do so.
            (2) Court Examination. If the court examines the jurors, it 
        must permit the attorneys for the parties to:
                    (A) ask further questions that the court considers 
                proper; or
                    (B) submit further questions that the court may ask 
                if it considers them proper.
    (b) Peremptory Challenges. Each side is entitled to the number of 
peremptory challenges to prospective jurors specified below. The court 
may allow additional peremptory challenges to multiple defendants, and 
may allow the defendants to exercise those challenges separately or 
jointly.
            (1) Capital Case. Each side has 20 peremptory challenges 
        when the government seeks the death penalty.
            (2) Other Felony Case. The government has 6 peremptory 
        challenges and the defendant or defendants jointly have 10 
        peremptory challenges when the defendant is charged with a crime 
        punishable by imprisonment of more than one year.
            (3) Misdemeanor Case. Each side has 3 peremptory challenges 
        when the defendant is charged with a crime punishable by fine, 
        imprisonment of one year or less, or both.
    (c) Alternate Jurors.
            (1) In General. The court may impanel up to 6 alternate 
        jurors to replace any jurors who are unable to perform or who 
        are disqualified from performing their duties.
            (2) Procedure.
                    (A) Alternate jurors must have the same 
                qualifications and be selected and sworn in the same 
                manner as any other juror.
                    (B) Alternate jurors replace jurors in the same 
                sequence in which the alternates were selected. An 
                alternate juror who replaces a juror has the same 
                authority as the other jurors.
            (3) Retaining Alternate Jurors. The court may retain 
        alternate jurors after the jury retires to deliberate. The court 
        must ensure that a retained alternate does not discuss the case 
        with anyone until that alternate replaces a juror or is 
        discharged. If an alternate replaces a juror after deliberations 
        have begun, the court must instruct the jury to begin its 
        deliberations anew.
            (4) Peremptory Challenges. Each side is entitled to the 
        number of additional peremptory challenges to prospective 
        alternate jurors specified below. These additional challenges 
        may be used only to remove alternate jurors.
                    (A) One or Two Alternates. One additional peremptory 
                challenge is permitted when one or two alternates are 
                impaneled.
                    (B) Three or Four Alternates. Two additional 
                peremptory challenges are permitted when three or four 
                alternates are impaneled.
                    (C) Five or Six Alternates. Three additional 
                peremptory challenges are permitted when five or six 
                alternates are impaneled.
(As amended Feb. 28, 1966, eff. July 1, 1966; Mar. 9, 1987, eff. Aug. 1, 
1987; Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 29, 2002, eff. Dec. 1, 
2002.)
Rule 25. Judge's Disability______________________________________________
    (a) During Trial. Any judge regularly sitting in or assigned to the 
court may complete a jury trial if:
            (1) the judge before whom the trial began cannot proceed 
        because of death, sickness, or other disability; and
            (2) the judge completing the trial certifies familiarity 
        with the trial record.
    (b) After a Verdict or Finding of Guilty.
            (1) In General. After a verdict or finding of guilty, any 
        judge regularly sitting in or assigned to a court may complete 
        the court's duties if the judge who presided at trial cannot 
        perform those duties because of absence, death, sickness, or 
        other disability.
            (2) Granting a New Trial. The successor judge may grant a 
        new trial if satisfied that:
                    (A) a judge other than the one who presided at the 
                trial cannot perform the post-trial duties; or
                    (B) a new trial is necessary for some other reason.
(As amended Feb. 28, 1966, eff. July 1, 1966; Mar. 9, 1987, eff. Aug. 1, 
1987; Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 26. Taking Testimony________________________________________________
    In every trial the testimony of witnesses must be taken in open 
court, unless otherwise provided by a statute or by rules adopted under 
28 U.S.C. Sec. Sec. 2072-2077.
(As amended Nov. 20, 1972, eff. July 1, 1975; Apr. 29, 2002, eff. Dec. 
1, 2002.)
Rule 26.1. Foreign Law Determination_______________________________________
    A party intending to raise an issue of foreign law must provide the 
court and all parties with reasonable written notice. Issues of foreign 
law are questions of law, but in deciding such issues a court may 
consider any relevant material or source--including testimony--without 
regard to the Federal Rules of Evidence.
(As added Feb. 28, 1966, eff. July 1, 1966; amended Nov. 20, 1972, eff. 
July 1, 1975; Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 26.2. Producing a Witness's Statement_________________________________
    (a) Motion to Produce. After a witness other than the defendant has 
testified on direct examination, the court, on motion of a party who did 
not call the witness, must order an attorney for the government or the 
defendant and the defendant's attorney to produce, for the examination 
and use of the moving party, any statement of the witness that is in 
their possession and that relates to the subject matter of the witness's 
testimony.
    (b) Producing the Entire Statement. If the entire statement relates 
to the subject matter of the witness's testimony, the court must order 
that the statement be delivered to the moving party.
    (c) Producing a Redacted Statement. If the party who called the 
witness claims that the statement contains information that is 
privileged or does not relate to the subject matter of the witness's 
testimony, the court must inspect the statement in camera. After 
excising any privileged or unrelated portions, the court must order 
delivery of the redacted statement to the moving party. If the defendant 
objects to an excision, the court must preserve the entire statement 
with the excised portion indicated, under seal, as part of the record.
    (d) Recess to Examine a Statement. The court may recess the 
proceedings to allow time for a party to examine the statement and 
prepare for its use.
    (e) Sanction for Failure to Produce or Deliver a Statement. If the 
party who called the witness disobeys an order to produce or deliver a 
statement, the court must strike the witness's testimony from the 
record. If an attorney for the government disobeys the order, the court 
must declare a mistrial if justice so requires.
    (f) ``Statement'' Defined. As used in this rule, a witness's 
``statement'' means:
            (1) a written statement that the witness makes and signs, or 
        otherwise adopts or approves;
            (2) a substantially verbatim, contemporaneously recorded 
        recital of the witness's oral statement that is contained in any 
        recording or any transcription of a recording; or
            (3) the witness's statement to a grand jury, however taken 
        or recorded, or a transcription of such a statement.
    (g) Scope. This rule applies at trial, at a suppression hearing 
under Rule 12, and to the extent specified in the following rules:
            (1) Rule 5.1(h) (preliminary hearing);
            (2) Rule 32(i)(2) (sentencing);
            (3) Rule 32.1(e) (hearing to revoke or modify probation or 
        supervised release);
            (4) Rule 46(j) (detention hearing); and
            (5) Rule 8 of the Rules Governing Proceedings under 28 
        U.S.C. Sec. 2255.
(As added Apr. 30, 1979, eff. Dec. 1, 1980; amended Mar. 9, 1987, eff. 
Aug. 1, 1987; Apr. 22, 1993, eff. Dec. 1, 1993; Apr. 24, 1998, eff. Dec. 
1, 1998; Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 26.3. Mistrial________________________________________________________
    Before ordering a mistrial, the court must give each defendant and 
the government an opportunity to comment on the propriety of the order, 
to state whether that party consents or objects, and to suggest 
alternatives.
(As added Apr. 22, 1993, eff. Dec. 1, 1993; amended Apr. 29, 2002, eff. 
Dec. 1, 2002.)
Rule 27. Proving an Official Record______________________________________
    A party may prove an official record, an entry in such a record, or 
the lack of a record or entry in the same manner as in a civil action.
(As amended Apr. 29, 2002, eff. Dec, 1, 2002.)
Rule 28. Interpreters____________________________________________________
    The court may select, appoint, and set the reasonable compensation 
for an interpreter. The compensation must be paid from funds provided by 
law or by the government, as the court may direct.
(As amended Feb. 28, 1966, eff. July 1, 1966; Nov. 20, 1972, eff. July 
1, 1975; Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 29. Motion for a Judgment of Acquittal______________________________
    (a) Before Submission to the Jury. After the government closes its 
evidence or after the close of all the evidence, the court on the 
defendant's motion must enter a judgment of acquittal of any offense for 
which the evidence is insufficient to sustain a conviction. The court 
may on its own consider whether the evidence is insufficient to sustain 
a conviction. If the court denies a motion for a judgment of acquittal 
at the close of the government's evidence, the defendant may offer 
evidence without having reserved the right to do so.
    (b) Reserving Decision. The court may reserve decision on the 
motion, proceed with the trial (where the motion is made before the 
close of all the evidence), submit the case to the jury, and decide the 
motion either before the jury returns a verdict or after it returns a 
verdict of guilty or is discharged without having returned a verdict. If 
the court reserves decision, it must decide the motion on the basis of 
the evidence at the time the ruling was reserved.
    (c) After Jury Verdict or Discharge.
            (1) Time for a Motion. A defendant may move for a judgment 
        of acquittal, or renew such a motion, within 7 days after a 
        guilty verdict or after the court discharges the jury, whichever 
        is later, or within any other time the court sets during the 7-
        day period.
            (2) Ruling on the Motion. If the jury has returned a guilty 
        verdict, the court may set aside the verdict and enter an 
        acquittal. If the jury has failed to return a verdict, the court 
        may enter a judgment of acquittal.
            (3) No Prior Motion Required. A defendant is not required to 
        move for a judgment of acquittal before the court submits the 
        case to the jury as a prerequisite for making such a motion 
        after jury discharge.
    (d) Conditional Ruling on a Motion for a New Trial.
            (1) Motion for a New Trial. If the court enters a judgment 
        of acquittal after a guilty verdict, the court must also 
        conditionally determine whether any motion for a new trial 
        should be granted if the judgment of acquittal is later vacated 
        or reversed. The court must specify the reasons for that 
        determination.
            (2) Finality. The court's order conditionally granting a 
        motion for a new trial does not affect the finality of the 
        judgment of acquittal.
            (3) Appeal.
                    (A) Grant of a Motion for a New Trial. If the court 
                conditionally grants a motion for a new trial and an 
                appellate court later reverses the judgment of 
                acquittal, the trial court must proceed with the new 
                trial unless the appellate court orders otherwise.
                    (B) Denial of a Motion for a New Trial. If the court 
                conditionally denies a motion for a new trial, an 
                appellee may assert that the denial was erroneous. If 
                the appellate court later reverses the judgment of 
                acquittal, the trial court must proceed as the appellate 
                court directs.
(As amended Feb. 28, 1966, eff. July 1, 1966; Nov. 10, 1986, eff. Dec. 
10, 1986; Apr. 29, 1994, eff. Dec. 1, 1994; Apr. 29, 2002, eff. Dec. 1, 
2002.)
Rule 29.1. Closing Argument________________________________________________
    Closing arguments proceed in the following order:
            (a) the government argues;
            (b) the defense argues; and
            (c) the government rebuts.
(As added Apr. 22, 1974, eff. Dec. 1, 1975; amended Apr. 29, 2002, eff. 
Dec. 1, 2002.)
Rule 30. Jury Instructions_______________________________________________
    (a) In General. Any party may request in writing that the court 
instruct the jury on the law as specified in the request. The request 
must be made at the close of the evidence or at any earlier time that 
the court reasonably sets. When the request is made, the requesting 
party must furnish a copy to every other party.
    (b) Ruling on a Request. The court must inform the parties before 
closing arguments how it intends to rule on the requested instructions.
    (c) Time for Giving Instructions. The court may instruct the jury 
before or after the arguments are completed, or at both times.
    (d) Objections to Instructions. A party who objects to any portion 
of the instructions or to a failure to give a requested instruction must 
inform the court of the specific objection and the grounds for the 
objection before the jury retires to deliberate. An opportunity must be 
given to object out of the jury's hearing and, on request, out of the 
jury's presence. Failure to object in accordance with this rule 
precludes appellate review, except as permitted under Rule 52(b).
(As amended Feb. 28, 1966, eff. July 1, 1966; Mar. 9, 1987, eff. Aug. 1, 
1987; Apr. 25, 1988, eff. Aug. 1, 1988; Apr. 29, 2002, eff. Dec. 1, 
2002.)
Rule 31. Jury Verdict____________________________________________________
    (a) Return. The jury must return its verdict to a judge in open 
court. The verdict must be unanimous.
    (b) Partial Verdicts, Mistrial, and Retrial.
            (1) Multiple Defendants. If there are multiple defendants, 
        the jury may return a verdict at any time during its 
        deliberations as to any defendant about whom it has agreed.
            (2) Multiple Counts. If the jury cannot agree on all counts 
        as to any defendant, the jury may return a verdict on those 
        counts on which it has agreed.
            (3) Mistrial and Retrial. If the jury cannot agree on a 
        verdict on one or more counts, the court may declare a mistrial 
        on those counts. The government may retry any defendant on any 
        count on which the jury could not agree.
    (c) Lesser Offense or Attempt. A defendant may be found guilty of 
any of the following:
            (1) an offense necessarily included in the offense charged;
            (2) an attempt to commit the offense charged; or
            (3) an attempt to commit an offense necessarily included in 
        the offense charged, if the attempt is an offense in its own 
        right.
    (d) Jury Poll. After a verdict is returned but before the jury is 
discharged, the court must on a party's request, or may on its own, poll 
the jurors individually. If the poll reveals a lack of unanimity, the 
court may direct the jury to deliberate further or may declare a 
mistrial and discharge the jury.
(As amended Apr. 24, 1972, eff. Oct. 1, 1972; Apr. 24, 1998, eff. Dec. 
1, 1998; Apr. 17, 2000, eff. Dec. 1, 2000; Apr. 29, 2002, eff. Dec. 1, 
2002.)


                  TITLE VII. POST-CONVICTION PROCEDURES

Rule 32. Sentencing and Judgment_________________________________________
    (a) Definitions. The following definitions apply under this rule:
            (1) ``Crime of violence or sexual abuse'' means:
                    (A) a crime that involves the use, attempted use, or 
                threatened use of physical force against another's 
                person or property; or
                    (B) a crime under 18 U.S.C. Sec. Sec. 2241-2248 or 
                Sec. Sec. 2251-2257.
            (2) ``Victim'' means an individual against whom the 
        defendant committed an offense for which the court will impose 
        sentence.
    (b) Time of Sentencing.
            (1) In General. The court must impose sentence without 
        unnecessary delay.
            (2) Changing Time Limits. The court may, for good cause, 
        change any time limits prescribed in this rule.
    (c) Presentence Investigation.
            (1) Required Investigation.
                    (A) In General. The probation officer must conduct a 
                presentence investigation and submit a report to the 
                court before it imposes sentence unless:
                            (i) 18 U.S.C. Sec. 3593(c) or another 
                        statute requires otherwise; or
                            (ii) the court finds that the information in 
                        the record enables it to meaningfully exercise 
                        its sentencing authority under 18 U.S.C. 
                        Sec. 3553, and the court explains its finding on 
                        the record.
                    (B) Restitution. If the law requires restitution, 
                the probation officer must conduct an investigation and 
                submit a report that contains sufficient information for 
                the court to order restitution.
            (2) Interviewing the Defendant. The probation officer who 
        interviews a defendant as part of a presentence investigation 
        must, on request, give the defendant's attorney notice and a 
        reasonable opportunity to attend the interview.
    (d) Presentence Report.
            (1) Applying the Sentencing Guidelines. The presentence 
        report must:
                    (A) identify all applicable guidelines and policy 
                statements of the Sentencing Commission;
                    (B) calculate the defendant's offense level and 
                criminal history category;
                    (C) state the resulting sentencing range and kinds 
                of sentences available;
                    (D) identify any factor relevant to:
                            (i) the appropriate kind of sentence, or
                            (ii) the appropriate sentence within the 
                        applicable sentencing range; and
                    (E) identify any basis for departing from the 
                applicable sentencing range.
            (2) Additional Information. The presentence report must also 
        contain the following information:
                    (A) the defendant's history and characteristics, 
                including:
                            (i) any prior criminal record;
                            (ii) the defendant's financial condition; 
                        and
                            (iii) any circumstances affecting the 
                        defendant's behavior that may be helpful in 
                        imposing sentence or in correctional treatment;
                    (B) verified information, stated in a 
                nonargumentative style, that assesses the financial, 
                social, psychological, and medical impact on any 
                individual against whom the offense has been committed;
                    (C) when appropriate, the nature and extent of 
                nonprison programs and resources available to the 
                defendant;
                    (D) when the law provides for restitution, 
                information sufficient for a restitution order;
                    (E) if the court orders a study under 18 U.S.C. 
                Sec. 3552(b), any resulting report and recommendation; 
                and
                    (F) any other information that the court requires.
            (3) Exclusions. The presentence report must exclude the 
        following:
                    (A) any diagnoses that, if disclosed, might 
                seriously disrupt a rehabilitation program;
                    (B) any sources of information obtained upon a 
                promise of confidentiality; and
                    (C) any other information that, if disclosed, might 
                result in physical or other harm to the defendant or 
                others.
    (e) Disclosing the Report and Recommendation.
            (1) Time to Disclose. Unless the defendant has consented in 
        writing, the probation officer must not submit a presentence 
        report to the court or disclose its contents to anyone until the 
        defendant has pleaded guilty or nolo contendere, or has been 
        found guilty.
            (2) Minimum Required Notice. The probation officer must give 
        the presentence report to the defendant, the defendant's 
        attorney, and an attorney for the government at least 35 days 
        before sentencing unless the defendant waives this minimum 
        period.
            (3) Sentence Recommendation. By local rule or by order in a 
        case, the court may direct the probation officer not to disclose 
        to anyone other than the court the officer's recommendation on 
        the sentence.
    (f) Objecting to the Report.
            (1) Time to Object. Within 14 days after receiving the 
        presentence report, the parties must state in writing any 
        objections, including objections to material information, 
        sentencing guideline ranges, and policy statements contained in 
        or omitted from the report.
            (2) Serving Objections. An objecting party must provide a 
        copy of its objections to the opposing party and to the 
        probation officer.
            (3) Action on Objections. After receiving objections, the 
        probation officer may meet with the parties to discuss the 
        objections. The probation officer may then investigate further 
        and revise the presentence report as appropriate.
    (g) Submitting the Report. At least 7 days before sentencing, the 
probation officer must submit to the court and to the parties the 
presentence report and an addendum containing any unresolved objections, 
the grounds for those objections, and the probation officer's comments 
on them.
    (h) Notice of Possible Departure from Sentencing Guidelines. Before 
the court may depart from the applicable sentencing range on a ground 
not identified for departure either in the presentence report or in a 
party's prehearing submission, the court must give the parties 
reasonable notice that it is contemplating such a departure. The notice 
must specify any ground on which the court is contemplating a departure.
    (i) Sentencing.
            (1) In General. At sentencing, the court:
                    (A) must verify that the defendant and the 
                defendant's attorney have read and discussed the 
                presentence report and any addendum to the report;
                    (B) must give to the defendant and an attorney for 
                the government a written summary of--or summarize in 
                camera--any information excluded from the presentence 
                report under Rule 32(d)(3) on which the court will rely 
                in sentencing, and give them a reasonable opportunity to 
                comment on that information;
                    (C) must allow the parties' attorneys to comment on 
                the probation officer's determinations and other matters 
                relating to an appropriate sentence; and
                    (D) may, for good cause, allow a party to make a new 
                objection at any time before sentence is imposed.
            (2) Introducing Evidence; Producing a Statement. The court 
        may permit the parties to introduce evidence on the objections. 
        If a witness testifies at sentencing, Rule 26.2(a)-(d) and (f) 
        applies. If a party fails to comply with a Rule 26.2 order to 
        produce a witness's statement, the court must not consider that 
        witness's testimony.
            (3) Court Determinations. At sentencing, the court:
                    (A) may accept any undisputed portion of the 
                presentence report as a finding of fact;
                    (B) must--for any disputed portion of the 
                presentence report or other controverted matter--rule on 
                the dispute or determine that a ruling is unnecessary 
                either because the matter will not affect sentencing, or 
                because the court will not consider the matter in 
                sentencing; and
                    (C) must append a copy of the court's determinations 
                under this rule to any copy of the presentence report 
                made available to the Bureau of Prisons.
            (4) Opportunity to Speak.
                    (A) By a Party. Before imposing sentence, the court 
                must:
                            (i) provide the defendant's attorney an 
                        opportunity to speak on the defendant's behalf;
                            (ii) address the defendant personally in 
                        order to permit the defendant to speak or 
                        present any information to mitigate the 
                        sentence; and
                            (iii) provide an attorney for the government 
                        an opportunity to speak equivalent to that of 
                        the defendant's attorney.
                    (B) By a Victim. Before imposing sentence, the court 
                must address any victim of a crime of violence or sexual 
                abuse who is present at sentencing and must permit the 
                victim to speak or submit any information about the 
                sentence. Whether or not the victim is present, a 
                victim's right to address the court may be exercised by 
                the following persons if present:
                            (i) a parent or legal guardian, if the 
                        victim is younger than 18 years or is 
                        incompetent; or
                            (ii) one or more family members or relatives 
                        the court designates, if the victim is deceased 
                        or incapacitated.
                    (C) In Camera Proceedings. Upon a party's motion and 
                for good cause, the court may hear in camera any 
                statement made under Rule 32(i)(4).
    (j) Defendant's Right to Appeal.
            (1) Advice of a Right to Appeal.
                    (A) Appealing a Conviction. If the defendant pleaded 
                not guilty and was convicted, after sentencing the court 
                must advise the defendant of the right to appeal the 
                conviction.
                    (B) Appealing a Sentence. After sentencing--
                regardless of the defendant's plea--the court must 
                advise the defendant of any right to appeal the 
                sentence.
                    (C) Appeal Costs. The court must advise a defendant 
                who is unable to pay appeal costs of the right to ask 
                for permission to appeal in forma pauperis.
            (2) Clerk's Filing of Notice. If the defendant so requests, 
        the clerk must immediately prepare and file a notice of appeal 
        on the defendant's behalf.
    (k) Judgment.
            (1) In General. In the judgment of conviction, the court 
        must set forth the plea, the jury verdict or the court's 
        findings, the adjudication, and the sentence. If the defendant 
        is found not guilty or is otherwise entitled to be discharged, 
        the court must so order. The judge must sign the judgment, and 
        the clerk must enter it.
            (2) Criminal Forfeiture. Forfeiture procedures are governed 
        by Rule 32.2.
(As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 24, 1972, eff. Oct. 
1, 1972; Apr. 22, 1974, eff. Dec. 1, 1975; July 31, 1975, eff. Dec. 1, 
1975; Apr. 30, 1979, eff. Aug. 1, 1979, and Dec. 1, 1980; Oct. 12, 1982; 
Apr. 28, 1983, eff. Aug. 1, 1983; Oct. 12, 1984, eff. Nov. 1, 1987; Mar. 
9, 1987, eff. Aug. 1, 1987; Apr. 25, 1989, eff. Dec. 1, 1989; Apr. 30, 
1991, eff. Dec. 1, 1991; Apr. 22, 1993, eff. Dec. 1, 1993; Apr. 29, 
1994, eff. Dec. 1, 1994; Sept. 13, 1994, eff. Dec. 1, 1994; Apr. 23, 
1996, eff. Dec. 1, 1996; Apr. 24, 1996; Apr. 17, 2000, eff. Dec. 1, 
2000; Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 32.1. Revoking or Modifying Probation or Supervised Release___________
    (a) Initial Appearance.
            (1) Person In Custody. A person held in custody for 
        violating probation or supervised release must be taken without 
        unnecessary delay before a magistrate judge.
                    (A) If the person is held in custody in the district 
                where an alleged violation occurred, the initial 
                appearance must be in that district.
                    (B) If the person is held in custody in a district 
                other than where an alleged violation occurred, the 
                initial appearance must be in that district, or in an 
                adjacent district if the appearance can occur more 
                promptly there.
            (2) Upon a Summons. When a person appears in response to a 
        summons for violating probation or supervised release, a 
        magistrate judge must proceed under this rule.
            (3) Advice. The judge must inform the person of the 
        following:
                    (A) the alleged violation of probation or supervised 
                release;
                    (B) the person's right to retain counsel or to 
                request that counsel be appointed if the person cannot 
                obtain counsel; and
                    (C) the person's right, if held in custody, to a 
                preliminary hearing under Rule 32.1(b)(1).
            (4) Appearance in the District With Jurisdiction. If the 
        person is arrested or appears in the district that has 
        jurisdiction to conduct a revocation hearing--either originally 
        or by transfer of jurisdiction--the court must proceed under 
        Rule 32.1(b)-(e).
            (5) Appearance in a District Lacking Jurisdiction. If the 
        person is arrested or appears in a district that does not have 
        jurisdiction to conduct a revocation hearing, the magistrate 
        judge must:
                    (A) if the alleged violation occurred in the 
                district of arrest, conduct a preliminary hearing under 
                Rule 32.1(b) and either:
                            (i) transfer the person to the district that 
                        has jurisdiction, if the judge finds probable 
                        cause to believe that a violation occurred; or
                            (ii) dismiss the proceedings and so notify 
                        the court that has jurisdiction, if the judge 
                        finds no probable cause to believe that a 
                        violation occurred; or
                    (B) if the alleged violation did not occur in the 
                district of arrest, transfer the person to the district 
                that has jurisdiction if:
                            (i) the government produces certified copies 
                        of the judgment, warrant, and warrant 
                        application; and
                            (ii) the judge finds that the person is the 
                        same person named in the warrant.
            (6) Release or Detention. The magistrate judge may release 
        or detain the person under 18 U.S.C. Sec. 3143(a) pending 
        further proceedings. The burden of establishing that the person 
        will not flee or pose a danger to any other person or to the 
        community rests with the person.
    (b) Revocation.
            (1) Preliminary Hearing.
                    (A) In General. If a person is in custody for 
                violating a condition of probation or supervised 
                release, a magistrate judge must promptly conduct a 
                hearing to determine whether there is probable cause to 
                believe that a violation occurred. The person may waive 
                the hearing.
                    (B) Requirements. The hearing must be recorded by a 
                court reporter or by a suitable recording device. The 
                judge must give the person:
                            (i) notice of the hearing and its purpose, 
                        the alleged violation, and the person's right to 
                        retain counsel or to request that counsel be 
                        appointed if the person cannot obtain counsel;
                            (ii) an opportunity to appear at the hearing 
                        and present evidence; and
                            (iii) upon request, an opportunity to 
                        question any adverse witness, unless the judge 
                        determines that the interest of justice does not 
                        require the witness to appear.
                    (C) Referral. If the judge finds probable cause, the 
                judge must conduct a revocation hearing. If the judge 
                does not find probable cause, the judge must dismiss the 
                proceeding.
            (2) Revocation Hearing. Unless waived by the person, the 
        court must hold the revocation hearing within a reasonable time 
        in the district having jurisdiction. The person is entitled to:
                    (A) written notice of the alleged violation;
                    (B) disclosure of the evidence against the person;
                    (C) an opportunity to appear, present evidence, and 
                question any adverse witness unless the court determines 
                that the interest of justice does not require the 
                witness to appear; and
                    (D) notice of the person's right to retain counsel 
                or to request that counsel be appointed if the person 
                cannot obtain counsel.
    (c) Modification.
            (1) In General. Before modifying the conditions of probation 
        or supervised release, the court must hold a hearing, at which 
        the person has the right to counsel.
            (2) Exceptions. A hearing is not required if:
                    (A) the person waives the hearing; or
                    (B) the relief sought is favorable to the person and 
                does not extend the term of probation or of supervised 
                release; and
                    (C) an attorney for the government has received 
                notice of the relief sought, has had a reasonable 
                opportunity to object, and has not done so.
    (d) Disposition of the Case. The court's disposition of the case is 
governed by 18 U.S.C. Sec. 3563 and Sec. 3565 (probation) and Sec. 3583 
(supervised release).
    (e) Producing a Statement. Rule 26.2(a)-(d) and (f) applies at a 
hearing under this rule. If a party fails to comply with a Rule 26.2 
order to produce a witness's statement, the court must not consider that 
witness's testimony.
(As added Apr. 30, 1979, eff. Dec. 1, 1980; amended Nov. 10, 1986, eff. 
Dec. 10, 1986; Mar. 9, 1987, eff. Aug. 1, 1987; Apr. 25, 1989, eff. Dec. 
1, 1989; Apr. 30, 1991, eff. Dec. 1, 1991; Apr. 22, 1993, eff. Dec. 1, 
1993; Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 32.2. Criminal Forfeiture_____________________________________________
    (a) Notice to the Defendant. A court must not enter a judgment of 
forfeiture in a criminal proceeding unless the indictment or information 
contains notice to the defendant that the government will seek the 
forfeiture of property as part of any sentence in accordance with the 
applicable statute.
    (b) Entering a Preliminary Order of Forfeiture.
            (1) In General. As soon as practicable after a verdict or 
        finding of guilty, or after a plea of guilty or nolo contendere 
        is accepted, on any count in an indictment or information 
        regarding which criminal forfeiture is sought, the court must 
        determine what property is subject to forfeiture under the 
        applicable statute. If the government seeks forfeiture of 
        specific property, the court must determine whether the 
        government has established the requisite nexus between the 
        property and the offense. If the government seeks a personal 
        money judgment, the court must determine the amount of money 
        that the defendant will be ordered to pay. The court's 
        determination may be based on evidence already in the record, 
        including any written plea agreement or, if the forfeiture is 
        contested, on evidence or information presented by the parties 
        at a hearing after the verdict or finding of guilt.
            (2) Preliminary Order. If the court finds that property is 
        subject to forfeiture, it must promptly enter a preliminary 
        order of forfeiture setting forth the amount of any money 
        judgment or directing the forfeiture of specific property 
        without regard to any third party's interest in all or part of 
        it. Determining whether a third party has such an interest must 
        be deferred until any third party files a claim in an ancillary 
        proceeding under Rule 32.2(c).
            (3) Seizing Property. The entry of a preliminary order of 
        forfeiture authorizes the Attorney General (or a designee) to 
        seize the specific property subject to forfeiture; to conduct 
        any discovery the court considers proper in identifying, 
        locating, or disposing of the property; and to commence 
        proceedings that comply with any statutes governing third-party 
        rights. At sentencing--or at any time before sentencing if the 
        defendant consents--the order of forfeiture becomes final as to 
        the defendant and must be made a part of the sentence and be 
        included in the judgment. The court may include in the order of 
        forfeiture conditions reasonably necessary to preserve the 
        property's value pending any appeal.
            (4) Jury Determination. Upon a party's request in a case in 
        which a jury returns a verdict of guilty, the jury must 
        determine whether the government has established the requisite 
        nexus between the property and the offense committed by the 
        defendant.
    (c) Ancillary Proceeding; Entering a Final Order of Forfeiture.
            (1) In General. If, as prescribed by statute, a third party 
        files a petition asserting an interest in the property to be 
        forfeited, the court must conduct an ancillary proceeding, but 
        no ancillary proceeding is required to the extent that the 
        forfeiture consists of a money judgment.
                    (A) In the ancillary proceeding, the court may, on 
                motion, dismiss the petition for lack of standing, for 
                failure to state a claim, or for any other lawful 
                reason. For purposes of the motion, the facts set forth 
                in the petition are assumed to be true.
                    (B) After disposing of any motion filed under Rule 
                32.2(c)(1)(A) and before conducting a hearing on the 
                petition, the court may permit the parties to conduct 
                discovery in accordance with the Federal Rules of Civil 
                Procedure if the court determines that discovery is 
                necessary or desirable to resolve factual issues. When 
                discovery ends, a party may move for summary judgment 
                under Federal Rule of Civil Procedure 56.
            (2) Entering a Final Order. When the ancillary proceeding 
        ends, the court must enter a final order of forfeiture by 
        amending the preliminary order as necessary to account for any 
        third-party rights. If no third party files a timely petition, 
        the preliminary order becomes the final order of forfeiture if 
        the court finds that the defendant (or any combination of 
        defendants convicted in the case) had an interest in the 
        property that is forfeitable under the applicable statute. The 
        defendant may not object to the entry of the final order on the 
        ground that the property belongs, in whole or in part, to a 
        codefendant or third party; nor may a third party object to the 
        final order on the ground that the third party had an interest 
        in the property.
            (3) Multiple Petitions. If multiple third-party petitions 
        are filed in the same case, an order dismissing or granting one 
        petition is not appealable until rulings are made on all the 
        petitions, unless the court determines that there is no just 
        reason for delay.
            (4) Ancillary Proceeding Not Part of Sentencing. An 
        ancillary proceeding is not part of sentencing.
    (d) Stay Pending Appeal. If a defendant appeals from a conviction or 
an order of forfeiture, the court may stay the order of forfeiture on 
terms appropriate to ensure that the property remains available pending 
appellate review. A stay does not delay the ancillary proceeding or the 
determination of a third party's rights or interests. If the court rules 
in favor of any third party while an appeal is pending, the court may 
amend the order of forfeiture but must not transfer any property 
interest to a third party until the decision on appeal becomes final, 
unless the defendant consents in writing or on the record.
    (e) Subsequently Located Property; Substitute Property.
            (1) In General. On the government's motion, the court may at 
        any time enter an order of forfeiture or amend an existing order 
        of forfeiture to include property that:
                    (A) is subject to forfeiture under an existing order 
                of forfeiture but was located and identified after that 
                order was entered; or
                    (B) is substitute property that qualifies for 
                forfeiture under an applicable statute.
            (2) Procedure. If the government shows that the property is 
        subject to forfeiture under Rule 32.2(e)(1), the court must:
                    (A) enter an order forfeiting that property, or 
                amend an existing preliminary or final order to include 
                it; and
                    (B) if a third party files a petition claiming an 
                interest in the property, conduct an ancillary 
                proceeding under Rule 32.2(c).
            (3) Jury Trial Limited. There is no right to a jury trial 
        under Rule 32.2(e).
(As added Apr. 17, 2000, eff. Dec. 1, 2000; amended Apr. 29, 2002, eff. 
Dec. 1, 2002.)
Rule 33. New Trial_______________________________________________________
    (a) Defendant's Motion. Upon the defendant's motion, the court may 
vacate any judgment and grant a new trial if the interest of justice so 
requires. If the case was tried without a jury, the court may take 
additional testimony and enter a new judgment.
    (b) Time to File.
            (1) Newly Discovered Evidence. Any motion for a new trial 
        grounded on newly discovered evidence must be filed within 3 
        years after the verdict or finding of guilty. If an appeal is 
        pending, the court may not grant a motion for a new trial until 
        the appellate court remands the case.
            (2) Other Grounds. Any motion for a new trial grounded on 
        any reason other than newly discovered evidence must be filed 
        within 7 days after the verdict or finding of guilty, or within 
        such further time as the court sets during the 7-day period.
(As amended Feb. 28, 1966, eff. July 1, 1966; Mar. 9, 1987, eff. Aug. 1, 
1987; Apr. 24, 1998, eff. Dec. 1, 1998; Apr. 29, 2002, eff. Dec. 1, 
2002.)
Rule 34. Arresting Judgment______________________________________________
    (a) In General. Upon the defendant's motion or on its own, the court 
must arrest judgment if:
            (1) the indictment or information does not charge an 
        offense; or
            (2) the court does not have jurisdiction of the charged 
        offense.
    (b) Time to File. The defendant must move to arrest judgment within 
7 days after the court accepts a verdict or finding of guilty, or after 
a plea of guilty or nolo contendere, or within such further time as the 
court sets during the 7-day period.
(As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 29, 2002, eff. Dec. 
1, 2002.)
Rule 35. Correcting or Reducing a Sentence_______________________________
    (a) Correcting Clear Error. Within 7 days after sentencing, the 
court may correct a sentence that resulted from arithmetical, technical, 
or other clear error.
    (b) Reducing a Sentence for Substantial Assistance.
            (1) In General. Upon the government's motion made within one 
        year of sentencing, the court may reduce a sentence if:
                    (A) the defendant, after sentencing, provided 
                substantial assistance in investigating or prosecuting 
                another person; and
                    (B) reducing the sentence accords with the 
                Sentencing Commission's guidelines and policy 
                statements.
            (2) Later Motion. Upon the government's motion made more 
        than one year after sentencing, the court may reduce a sentence 
        if the defendant's substantial assistance involved:
                    (A) information not known to the defendant until one 
                year or more after sentencing;
                    (B) information provided by the defendant to the 
                government within one year of sentencing, but which did 
                not become useful to the government until more than one 
                year after sentencing; or
                    (C) information the usefulness of which could not 
                reasonably have been anticipated by the defendant until 
                more than one year after sentencing and which was 
                promptly provided to the government after its usefulness 
                was reasonably apparent to the defendant.
            (3) Evaluating Substantial Assistance. In evaluating whether 
        the defendant has provided substantial assistance, the court may 
        consider the defendant's presentence assistance.
            (4) Below Statutory Minimum. When acting under Rule 35(b), 
        the court may reduce the sentence to a level below the minimum 
        sentence established by statute.
    (c) ``Sentencing'' Defined. As used in this rule, ``sentencing'' 
means the oral announcement of the sentence.
(As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 30, 1979, eff. Aug. 
1, 1979; Apr. 28, 1983, eff. Aug. 1, 1983; Oct. 12, 1984, eff. Nov. 1, 
1987; Apr. 29, 1985, eff. Aug. 1, 1985; Oct. 27, 1986, eff. Nov. 1, 
1987; Apr. 30, 1991, eff. Dec. 1, 1991; Apr. 24, 1998, eff. Dec. 1, 
1998; Apr. 29, 2002, eff. Dec. 1, 2002; Apr. 26, 2004, eff. Dec. 1, 
2004.)
Rule 36. Clerical Error__________________________________________________
    After giving any notice it considers appropriate, the court may at 
any time correct a clerical error in a judgment, order, or other part of 
the record, or correct an error in the record arising from oversight or 
omission.
(As amended Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 37. [Reserved]______________________________________________________
Rule 38. Staying a Sentence or a Disability______________________________
    (a) Death Sentence. The court must stay a death sentence if the 
defendant appeals the conviction or sentence.
    (b) Imprisonment.
            (1) Stay Granted. If the defendant is released pending 
        appeal, the court must stay a sentence of imprisonment.
            (2) Stay Denied; Place of Confinement. If the defendant is 
        not released pending appeal, the court may recommend to the 
        Attorney General that the defendant be confined near the place 
        of the trial or appeal for a period reasonably necessary to 
        permit the defendant to assist in preparing the appeal.
    (c) Fine. If the defendant appeals, the district court, or the court 
of appeals under Federal Rule of Appellate Procedure 8, may stay a 
sentence to pay a fine or a fine and costs. The court may stay the 
sentence on any terms considered appropriate and may require the 
defendant to:
            (1) deposit all or part of the fine and costs into the 
        district court's registry pending appeal;
            (2) post a bond to pay the fine and costs; or
            (3) submit to an examination concerning the defendant's 
        assets and, if appropriate, order the defendant to refrain from 
        dissipating assets.
    (d) Probation. If the defendant appeals, the court may stay a 
sentence of probation. The court must set the terms of any stay.
    (e) Restitution and Notice to Victims.
            (1) In General. If the defendant appeals, the district 
        court, or the court of appeals under Federal Rule of Appellate 
        Procedure 8, may stay--on any terms considered appropriate--any 
        sentence providing for restitution under 18 U.S.C. Sec. 3556 or 
        notice under 18 U.S.C. Sec. 3555.
            (2) Ensuring Compliance. The court may issue any order 
        reasonably necessary to ensure compliance with a restitution 
        order or a notice order after disposition of an appeal, 
        including:
                    (A) a restraining order;
                    (B) an injunction;
                    (C) an order requiring the defendant to deposit all 
                or part of any monetary restitution into the district 
                court's registry; or
                    (D) an order requiring the defendant to post a bond.
    (f) Forfeiture. A stay of a forfeiture order is governed by Rule 
32.2(d).
    (g) Disability. If the defendant's conviction or sentence creates a 
civil or employment disability under federal law, the district court, or 
the court of appeals under Federal Rule of Appellate Procedure 8, may 
stay the disability pending appeal on any terms considered appropriate. 
The court may issue any order reasonably necessary to protect the 
interest represented by the disability pending appeal, including a 
restraining order or an injunction.
(As amended Dec. 27, 1948, eff. Jan. 1, 1949; Feb. 28, 1966, eff. July 
1, 1966; Dec. 4, 1967, eff. July 1, 1968; Apr. 24, 1972, eff. Oct. 1, 
1972; Oct. 12, 1984, eff. Nov. 1, 1987; Mar. 9, 1987, eff. Aug. 1, 1987; 
Apr. 17, 2000, eff. Dec. 1, 2000; Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 39. [Reserved]______________________________________________________


            TITLE VIII. SUPPLEMENTARY AND SPECIAL PROCEEDINGS

Rule 40. Arrest for Failing to Appear in Another District________________
    (a) In General. If a person is arrested under a warrant issued in 
another district for failing to appear--as required by the terms of that 
person's release under 18 U.S.C. Sec. Sec. 3141-3156 or by a subpoena--
the person must be taken without unnecessary delay before a magistrate 
judge in the district of the arrest.
    (b) Proceedings. The judge must proceed under Rule 5(c)(3) as 
applicable.
    (c) Release or Detention Order. The judge may modify any previous 
release or detention order issued in another district, but must state in 
writing the reasons for doing so.
(As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 24, 1972, eff. Oct. 
1, 1972; Apr. 30, 1979, eff. Aug. 1, 1979; Apr. 28, 1982, eff. Aug. 1, 
1982; Oct. 12, 1984, eff. Oct. 12, 1984, and Nov. 1, 1987; Mar. 9, 1987, 
eff. Aug. 1, 1987; Apr. 25, 1989, eff. Dec. 1, 1989; Apr. 22, 1993, eff. 
Dec. 1, 1993; Apr. 29, 1994, eff. Dec. 1, 1994; Apr. 27, 1995, eff. Dec. 
1, 1995; Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 41. Search and Seizure______________________________________________
    (a) Scope and Definitions.
            (1) Scope. This rule does not modify any statute regulating 
        search or seizure, or the issuance and execution of a search 
        warrant in special circumstances.
            (2) Definitions. The following definitions apply under this 
        rule:
                    (A) ``Property'' includes documents, books, papers, 
                any other tangible objects, and information.
                    (B) ``Daytime'' means the hours between 6:00 a.m. 
                and 10:00 p.m. according to local time.
                    (C) ``Federal law enforcement officer'' means a 
                government agent (other than an attorney for the 
                government) who is engaged in enforcing the criminal 
                laws and is within any category of officers authorized 
                by the Attorney General to request a search warrant.
    (b) Authority to Issue a Warrant. At the request of a federal law 
enforcement officer or an attorney for the government:
            (1) a magistrate judge with authority in the district--or if 
        none is reasonably available, a judge of a state court of record 
        in the district--has authority to issue a warrant to search for 
        and seize a person or property located within the district;
            (2) a magistrate judge with authority in the district has 
        authority to issue a warrant for a person or property outside 
        the district if the person or property is located within the 
        district when the warrant is issued but might move or be moved 
        outside the district before the warrant is executed; and
            (3) a magistrate judge--in an investigation of domestic 
        terrorism or international terrorism (as defined in 18 U.S.C. 
        Sec. 2331)--having authority in any district in which activities 
        related to the terrorism may have occurred, may issue a warrant 
        for a person or property within or outside that district.
    (c) Persons or Property Subject to Search or Seizure. A warrant may 
be issued for any of the following:
            (1) evidence of a crime;
            (2) contraband, fruits of crime, or other items illegally 
        possessed;
            (3) property designed for use, intended for use, or used in 
        committing a crime; or
            (4) a person to be arrested or a person who is unlawfully 
        restrained.
    (d) Obtaining a Warrant.
            (1) Probable Cause. After receiving an affidavit or other 
        information, a magistrate judge or a judge of a state court of 
        record must issue the warrant if there is probable cause to 
        search for and seize a person or property under Rule 41(c).
            (2) Requesting a Warrant in the Presence of a Judge.
                    (A) Warrant on an Affidavit. When a federal law 
                enforcement officer or an attorney for the government 
                presents an affidavit in support of a warrant, the judge 
                may require the affiant to appear personally and may 
                examine under oath the affiant and any witness the 
                affiant produces.
                    (B) Warrant on Sworn Testimony. The judge may wholly 
                or partially dispense with a written affidavit and base 
                a warrant on sworn testimony if doing so is reasonable 
                under the circumstances.
                    (C) Recording Testimony. Testimony taken in support 
                of a warrant must be recorded by a court reporter or by 
                a suitable recording device, and the judge must file the 
                transcript or recording with the clerk, along with any 
                affidavit.
            (3) Requesting a Warrant by Telephonic or Other Means.
                    (A) In General. A magistrate judge may issue a 
                warrant based on information communicated by telephone 
                or other appropriate means, including facsimile 
                transmission.
                    (B) Recording Testimony. Upon learning that an 
                applicant is requesting a warrant, a magistrate judge 
                must:
                            (i) place under oath the applicant and any 
                        person on whose testimony the application is 
                        based; and
                            (ii) make a verbatim record of the 
                        conversation with a suitable recording device, 
                        if available, or by a court reporter, or in 
                        writing.
                    (C) Certifying Testimony. The magistrate judge must 
                have any recording or court reporter's notes 
                transcribed, certify the transcription's accuracy, and 
                file a copy of the record and the transcription with the 
                clerk. Any written verbatim record must be signed by the 
                magistrate judge and filed with the clerk.
                    (D) Suppression Limited. Absent a finding of bad 
                faith, evidence obtained from a warrant issued under 
                Rule 41(d)(3)(A) is not subject to suppression on the 
                ground that issuing the warrant in that manner was 
                unreasonable under the circumstances.
    (e) Issuing the Warrant.
            (1) In General. The magistrate judge or a judge of a state 
        court of record must issue the warrant to an officer authorized 
        to execute it.
            (2) Contents of the Warrant. The warrant must identify the 
        person or property to be searched, identify any person or 
        property to be seized, and designate the magistrate judge to 
        whom it must be returned. The warrant must command the officer 
        to:
                    (A) execute the warrant within a specified time no 
                longer than 10 days;
                    (B) execute the warrant during the daytime, unless 
                the judge for good cause expressly authorizes execution 
                at another time; and
                    (C) return the warrant to the magistrate judge 
                designated in the warrant.
            (3) Warrant by Telephonic or Other Means. If a magistrate 
        judge decides to proceed under Rule 41(d)(3)(A), the following 
        additional procedures apply:
                    (A) Preparing a Proposed Duplicate Original Warrant. 
                The applicant must prepare a ``proposed duplicate 
                original warrant'' and must read or otherwise transmit 
                the contents of that document verbatim to the magistrate 
                judge.
                    (B) Preparing an Original Warrant. The magistrate 
                judge must enter the contents of the proposed duplicate 
                original warrant into an original warrant.
                    (C) Modifications. The magistrate judge may direct 
                the applicant to modify the proposed duplicate original 
                warrant. In that case, the judge must also modify the 
                original warrant.
                    (D) Signing the Original Warrant and the Duplicate 
                Original Warrant. Upon determining to issue the warrant, 
                the magistrate judge must immediately sign the original 
                warrant, enter on its face the exact time it is issued, 
                and direct the applicant to sign the judge's name on the 
                duplicate original warrant.
    (f) Executing and Returning the Warrant.
            (1) Noting the Time. The officer executing the warrant must 
        enter on its face the exact date and time it is executed.
            (2) Inventory. An officer present during the execution of 
        the warrant must prepare and verify an inventory of any property 
        seized. The officer must do so in the presence of another 
        officer and the person from whom, or from whose premises, the 
        property was taken. If either one is not present, the officer 
        must prepare and verify the inventory in the presence of at 
        least one other credible person.
            (3) Receipt. The officer executing the warrant must:
                    (A) give a copy of the warrant and a receipt for the 
                property taken to the person from whom, or from whose 
                premises, the property was taken; or
                    (B) leave a copy of the warrant and receipt at the 
                place where the officer took the property.
            (4) Return. The officer executing the warrant must promptly 
        return it--together with a copy of the inventory--to the 
        magistrate judge designated on the warrant. The judge must, on 
        request, give a copy of the inventory to the person from whom, 
        or from whose premises, the property was taken and to the 
        applicant for the warrant.
    (g) Motion to Return Property. A person aggrieved by an unlawful 
search and seizure of property or by the deprivation of property may 
move for the property's return. The motion must be filed in the district 
where the property was seized. The court must receive evidence on any 
factual issue necessary to decide the motion. If it grants the motion, 
the court must return the property to the movant, but may impose 
reasonable conditions to protect access to the property and its use in 
later proceedings.
    (h) Motion to Suppress. A defendant may move to suppress evidence in 
the court where the trial will occur, as Rule 12 provides.
    (i) Forwarding Papers to the Clerk. The magistrate judge to whom the 
warrant is returned must attach to the warrant a copy of the return, of 
the inventory, and of all other related papers and must deliver them to 
the clerk in the district where the property was seized.
(As amended Dec. 27, 1948, eff. Oct. 20, 1949; Apr. 9, 1956, eff. July 
8, 1956; Apr. 24, 1972, eff. Oct. 1, 1972; Mar. 18, 1974, eff. July 1, 
1974; Apr. 26 and July 8, 1976, eff. Aug. 1, 1976; July 30, 1977, eff. 
Oct. 1, 1977; Apr. 30, 1979, eff. Aug. 1, 1979; Mar. 9, 1987, eff. Aug. 
1, 1987; Apr. 25, 1989, eff. Dec. 1, 1989; May 1, 1990, eff. Dec. 1, 
1990; Apr. 22, 1993, eff. Dec. 1, 1993; Oct. 26, 2001; Apr. 29, 2002, 
eff. Dec. 1, 2002.)
Rule 42. Criminal Contempt_______________________________________________
    (a) Disposition After Notice. Any person who commits criminal 
contempt may be punished for that contempt after prosecution on notice.
            (1) Notice. The court must give the person notice in open 
        court, in an order to show cause, or in an arrest order. The 
        notice must:
                    (A) state the time and place of the trial;
                    (B) allow the defendant a reasonable time to prepare 
                a defense; and
                    (C) state the essential facts constituting the 
                charged criminal contempt and describe it as such.
            (2) Appointing a Prosecutor. The court must request that the 
        contempt be prosecuted by an attorney for the government, unless 
        the interest of justice requires the appointment of another 
        attorney. If the government declines the request, the court must 
        appoint another attorney to prosecute the contempt.
            (3) Trial and Disposition. A person being prosecuted for 
        criminal contempt is entitled to a jury trial in any case in 
        which federal law so provides and must be released or detained 
        as Rule 46 provides. If the criminal contempt involves 
        disrespect toward or criticism of a judge, that judge is 
        disqualified from presiding at the contempt trial or hearing 
        unless the defendant consents. Upon a finding or verdict of 
        guilty, the court must impose the punishment.
    (b) Summary Disposition. Notwithstanding any other provision of 
these rules, the court (other than a magistrate judge) may summarily 
punish a person who commits criminal contempt in its presence if the 
judge saw or heard the contemptuous conduct and so certifies; a 
magistrate judge may summarily punish a person as provided in 28 U.S.C. 
Sec. 636(e). The contempt order must recite the facts, be signed by the 
judge, and be filed with the clerk.
(As amended Mar. 9, 1987, eff. Aug. 1, 1987; Apr. 29, 2002, eff. Dec. 1, 
2002.)


                      TITLE IX. GENERAL PROVISIONS

Rule 43. Defendant's Presence____________________________________________
    (a) When Required. Unless this rule, Rule 5, or Rule 10 provides 
otherwise, the defendant must be present at:
            (1) the initial appearance, the initial arraignment, and the 
        plea;
            (2) every trial stage, including jury impanelment and the 
        return of the verdict; and
            (3) sentencing.
    (b) When Not Required. A defendant need not be present under any of 
the following circumstances:
            (1) Organizational Defendant. The defendant is an 
        organization represented by counsel who is present.
            (2) Misdemeanor Offense. The offense is punishable by fine 
        or by imprisonment for not more than one year, or both, and with 
        the defendant's written consent, the court permits arraignment, 
        plea, trial, and sentencing to occur in the defendant's absence.
            (3) Conference or Hearing on a Legal Question. The 
        proceeding involves only a conference or hearing on a question 
        of law.
            (4) Sentence Correction. The proceeding involves the 
        correction or reduction of sentence under Rule 35 or 18 U.S.C. 
        Sec. 3582(c).
    (c) Waiving Continued Presence.
            (1) In General. A defendant who was initially present at 
        trial, or who had pleaded guilty or nolo contendere, waives the 
        right to be present under the following circumstances:
                    (A) when the defendant is voluntarily absent after 
                the trial has begun, regardless of whether the court 
                informed the defendant of an obligation to remain during 
                trial;
                    (B) in a noncapital case, when the defendant is 
                voluntarily absent during sentencing; or
                    (C) when the court warns the defendant that it will 
                remove the defendant from the courtroom for disruptive 
                behavior, but the defendant persists in conduct that 
                justifies removal from the courtroom.
            (2) Waiver's Effect. If the defendant waives the right to be 
        present, the trial may proceed to completion, including the 
        verdict's return and sentencing, during the defendant's absence.
(As amended Apr. 22, 1974, eff. Dec. 1, 1975; July 31, 1975, eff. Dec. 
1, 1975; Mar. 9, 1987, eff. Aug. 1, 1987; Apr. 27, 1995, eff. Dec. 1, 
1995; Apr. 24, 1998, eff. Dec. 1, 1998; Apr. 29, 2002, eff. Dec. 1, 
2002.)
Rule 44. Right to and Appointment of Counsel_____________________________
    (a) Right to Appointed Counsel. A defendant who is unable to obtain 
counsel is entitled to have counsel appointed to represent the defendant 
at every stage of the proceeding from initial appearance through appeal, 
unless the defendant waives this right.
    (b) Appointment Procedure. Federal law and local court rules govern 
the procedure for implementing the right to counsel.
    (c) Inquiry Into Joint Representation.
            (1) Joint Representation. Joint representation occurs when:
                    (A) two or more defendants have been charged jointly 
                under Rule 8(b) or have been joined for trial under Rule 
                13; and
                    (B) the defendants are represented by the same 
                counsel, or counsel who are associated in law practice.
            (2) Court's Responsibilities in Cases of Joint 
        Representation. The court must promptly inquire about the 
        propriety of joint representation and must personally advise 
        each defendant of the right to the effective assistance of 
        counsel, including separate representation. Unless there is good 
        cause to believe that no conflict of interest is likely to 
        arise, the court must take appropriate measures to protect each 
        defendant's right to counsel.
(As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 24, 1972, eff. Oct. 
1, 1972; Apr. 30, 1979, eff. Dec. 1, 1980; Mar. 9, 1987, eff. Aug. 1, 
1987; Apr. 22, 1993, eff. Dec. 1, 1993; Apr. 29, 2002, eff. Dec. 1, 
2002.)
Rule 45. Computing and Extending Time____________________________________
    (a) Computing Time. The following rules apply in computing any 
period of time specified in these rules, any local rule, or any court 
order:
            (1) Day of the Event Excluded. Exclude the day of the act, 
        event, or default that begins the period.
            (2) Exclusion from Brief Periods. Exclude intermediate 
        Saturdays, Sundays, and legal holidays when the period is less 
        than 11 days.
            (3) Last Day. Include the last day of the period unless it 
        is a Saturday, Sunday, legal holiday, or day on which weather or 
        other conditions make the clerk's office inaccessible. When the 
        last day is excluded, the period runs until the end of the next 
        day that is not a Saturday, Sunday, legal holiday, or day when 
        the clerk's office is inaccessible.
            (4) ``Legal Holiday'' Defined. As used in this rule, ``legal 
        holiday'' means:
                    (A) the day set aside by statute for observing:
                            (i) New Year's Day;
                            (ii) Martin Luther King, Jr.'s Birthday;
                            (iii) Washington's Birthday;
                            (iv) Memorial Day;
                            (v) Independence Day;
                            (vi) Labor Day;
                            (vii) Columbus Day;
                            (viii) Veterans' Day;
                            (ix) Thanksgiving Day;
                            (x) Christmas Day; and
                    (B) any other day declared a holiday by the 
                President, the Congress, or the state where the district 
                court is held.
    (b) Extending Time.
            (1) In General. When an act must or may be done within a 
        specified period, the court on its own may extend the time, or 
        for good cause may do so on a party's motion made:
                    (A) before the originally prescribed or previously 
                extended time expires; or
                    (B) after the time expires if the party failed to 
                act because of excusable neglect.
            (2) Exceptions. The court may not extend the time to take 
        any action under Rules 29, 33, 34, and 35, except as stated in 
        those rules.
    (c) Additional Time After Service. When these rules permit or 
require a party to act within a specified period after a notice or a 
paper has been served on that party, 3 days are added to the period if 
service occurs in the manner provided under Federal Rule of Civil 
Procedure 5(b)(2)(B), (C), or (D).
(As amended Feb. 28, 1966, eff. July 1, 1966; Dec. 4, 1967, eff. July 1, 
1968; Mar. 1, 1971, eff. July 1, 1971; Apr. 28, 1982, eff. Aug. 1, 1982; 
Apr. 29, 1985, eff. Aug. 1, 1985; Mar. 9, 1987, eff. Aug. 1, 1987; Apr. 
29, 2002, eff. Dec. 1, 2002.)
Rule 46. Release from Custody; Supervising Detention_____________________
    (a) Before Trial. The provisions of 18 U.S.C. Sec. Sec. 3142 and 
3144 govern pretrial release.
    (b) During Trial. A person released before trial continues on 
release during trial under the same terms and conditions. But the court 
may order different terms and conditions or terminate the release if 
necessary to ensure that the person will be present during trial or that 
the person's conduct will not obstruct the orderly and expeditious 
progress of the trial.
    (c) Pending Sentencing or Appeal. The provisions of 18 U.S.C. 
Sec. 3143 govern release pending sentencing or appeal. The burden of 
establishing that the defendant will not flee or pose a danger to any 
other person or to the community rests with the defendant.
    (d) Pending Hearing on a Violation of Probation or Supervised 
Release. Rule 32.1(a)(6) governs release pending a hearing on a 
violation of probation or supervised release.
    (e) Surety. The court must not approve a bond unless any surety 
appears to be qualified. Every surety, except a legally approved 
corporate surety, must demonstrate by affidavit that its assets are 
adequate. The court may require the affidavit to describe the following:
            (1) the property that the surety proposes to use as 
        security;
            (2) any encumbrance on that property;
            (3) the number and amount of any other undischarged bonds 
        and bail undertakings the surety has issued; and
            (4) any other liability of the surety.
    (f) Bail Forfeiture.
            (1) Declaration. The court must declare the bail forfeited 
        if a condition of the bond is breached.
            (2) Setting Aside. The court may set aside in whole or in 
        part a bail forfeiture upon any condition the court may impose 
        if:
                    (A) the surety later surrenders into custody the 
                person released on the surety's appearance bond; or
                    (B) it appears that justice does not require bail 
                forfeiture.
            (3) Enforcement.
                    (A) Default Judgment and Execution. If it does not 
                set aside a bail forfeiture, the court must, upon the 
                government's motion, enter a default judgment.
                    (B) Jurisdiction and Service. By entering into a 
                bond, each surety submits to the district court's 
                jurisdiction and irrevocably appoints the district clerk 
                as its agent to receive service of any filings affecting 
                its liability.
                    (C) Motion to Enforce. The court may, upon the 
                government's motion, enforce the surety's liability 
                without an independent action. The government must serve 
                any motion, and notice as the court prescribes, on the 
                district clerk. If so served, the clerk must promptly 
                mail a copy to the surety at its last known address.
            (4) Remission. After entering a judgment under Rule 
        46(f)(3), the court may remit in whole or in part the judgment 
        under the same conditions specified in Rule 46(f)(2).
    (g) Exoneration. The court must exonerate the surety and release any 
bail when a bond condition has been satisfied or when the court has set 
aside or remitted the forfeiture. The court must exonerate a surety who 
deposits cash in the amount of the bond or timely surrenders the 
defendant into custody.
    (h) Supervising Detention Pending Trial.
            (1) In General. To eliminate unnecessary detention, the 
        court must supervise the detention within the district of any 
        defendants awaiting trial and of any persons held as material 
        witnesses.
            (2) Reports. An attorney for the government must report 
        biweekly to the court, listing each material witness held in 
        custody for more than 10 days pending indictment, arraignment, 
        or trial. For each material witness listed in the report, an 
        attorney for the government must state why the witness should 
        not be released with or without a deposition being taken under 
        Rule 15(a).
    (i) Forfeiture of Property. The court may dispose of a charged 
offense by ordering the forfeiture of 18 U.S.C. Sec. 3142(c)(1)(B)(xi) 
property under 18 U.S.C. Sec. 3146(d), if a fine in the amount of the 
property's value would be an appropriate sentence for the charged 
offense.
    (j) Producing a Statement.
            (1) In General. Rule 26.2(a)-(d) and (f) applies at a 
        detention hearing under 18 U.S.C. Sec. 3142, unless the court 
        for good cause rules otherwise.
            (2) Sanctions for Not Producing a Statement. If a party 
        disobeys a Rule 26.2 order to produce a witness's statement, the 
        court must not consider that witness's testimony at the 
        detention hearing.
(As amended Apr. 9, 1956, eff. July 8, 1956; Feb. 28, 1966, eff. July 1, 
1966; Apr. 24, 1972, eff. Oct. 1, 1972; Oct. 12, 1984; Mar. 9, 1987, 
eff. Aug. 1, 1987; Apr. 30, 1991, eff. Dec. 1, 1991; Apr. 22, 1993, eff. 
Dec. 1, 1993; Sept. 13, 1994; Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 47. Motions and Supporting Affidavits_______________________________
    (a) In General. A party applying to the court for an order must do 
so by motion.
    (b) Form and Content of a Motion. A motion--except when made during 
a trial or hearing--must be in writing, unless the court permits the 
party to make the motion by other means. A motion must state the grounds 
on which it is based and the relief or order sought. A motion may be 
supported by affidavit.
    (c) Timing of a Motion. A party must serve a written motion--other 
than one that the court may hear ex parte--and any hearing notice at 
least 5 days before the hearing date, unless a rule or court order sets 
a different period. For good cause, the court may set a different period 
upon ex parte application.
    (d) Affidavit Supporting a Motion. The moving party must serve any 
supporting affidavit with the motion. A responding party must serve any 
opposing affidavit at least one day before the hearing, unless the court 
permits later service.
(As amended Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 48. Dismissal_______________________________________________________
    (a) By the Government. The government may, with leave of court, 
dismiss an indictment, information, or complaint. The government may not 
dismiss the prosecution during trial without the defendant's consent.
    (b) By the Court. The court may dismiss an indictment, information, 
or complaint if unnecessary delay occurs in:
            (1) presenting a charge to a grand jury;
            (2) filing an information against a defendant; or
            (3) bringing a defendant to trial.
(As amended Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 49. Serving and Filing Papers_______________________________________
    (a) When Required. A party must serve on every other party any 
written motion (other than one to be heard ex parte), written notice, 
designation of the record on appeal, or similar paper.
    (b) How Made. Service must be made in the manner provided for a 
civil action. When these rules or a court order requires or permits 
service on a party represented by an attorney, service must be made on 
the attorney instead of the party, unless the court orders otherwise.
    (c) Notice of a Court Order. When the court issues an order on any 
post-arraignment motion, the clerk must provide notice in a manner 
provided for in a civil action. Except as Federal Rule of Appellate 
Procedure 4(b) provides otherwise, the clerk's failure to give notice 
does not affect the time to appeal, or relieve--or authorize the court 
to relieve--a party's failure to appeal within the allowed time.
    (d) Filing. A party must file with the court a copy of any paper the 
party is required to serve. A paper must be filed in a manner provided 
for in a civil action.
(As amended Feb. 28, 1966, eff. July 1, 1966; Dec. 4, 1967, eff. July 1, 
1968; Apr. 29, 1985, eff. Aug. 1, 1985; Mar. 9, 1987, eff. Aug. 1, 1987; 
Apr. 22, 1993, eff. Dec. 1, 1993; Apr. 27, 1995, eff. Dec. 1, 1995; Apr. 
29, 2002, eff. Dec. 1, 2002.)
Rule 50. Prompt Disposition______________________________________________
    Scheduling preference must be given to criminal proceedings as far 
as practicable.
(As amended Apr. 24, 1972, eff. Oct. 1, 1972; Mar. 18, 1974, eff. July 
1, 1974; Apr. 26 and July 8, 1976, eff. Aug. 1, 1976; Apr. 22, 1993, 
eff. Dec. 1, 1993; Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 51. Preserving Claimed Error________________________________________
    (a) Exceptions Unnecessary. Exceptions to rulings or orders of the 
court are unnecessary.
    (b) Preserving a Claim of Error. A party may preserve a claim of 
error by informing the court--when the court ruling or order is made or 
sought--of the action the party wishes the court to take, or the party's 
objection to the court's action and the grounds for that objection. If a 
party does not have an opportunity to object to a ruling or order, the 
absence of an objection does not later prejudice that party. A ruling or 
order that admits or excludes evidence is governed by Federal Rule of 
Evidence 103.
(As amended Mar. 9, 1987, eff. Aug. 1, 1987; Apr. 29, 2002, eff. Dec. 1, 
2002.)
Rule 52. Harmless and Plain Error________________________________________
    (a) Harmless Error. Any error, defect, irregularity, or variance 
that does not affect substantial rights must be disregarded.
    (b) Plain Error. A plain error that affects substantial rights may 
be considered even though it was not brought to the court's attention.
(As amended Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 53. Courtroom Photographing and Broadcasting Prohibited_____________
    Except as otherwise provided by a statute or these rules, the court 
must not permit the taking of photographs in the courtroom during 
judicial proceedings or the broadcasting of judicial proceedings from 
the courtroom.
(As amended Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 54. [Transferred] \1\_______________________________________________
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    \1\ All of Rule 54 was moved to Rule 1.
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Rule 55. Records_________________________________________________________
    The clerk of the district court must keep records of criminal 
proceedings in the form prescribed by the Director of the Administrative 
Office of the United States Courts. The clerk must enter in the records 
every court order or judgment and the date of entry.
(As amended Dec. 27, 1948, eff. Oct. 20, 1949; Feb. 28, 1966, eff. July 
1, 1966; Apr. 24, 1972, eff. Oct. 1, 1972; Apr. 28, 1983, eff. Aug. 1, 
1983; Apr. 22, 1993, eff. Dec. 1, 1993; Apr. 29, 2002, eff. Dec. 1, 
2002.)
Rule 56. When Court Is Open______________________________________________
    (a) In General. A district court is considered always open for any 
filing, and for issuing and returning process, making a motion, or 
entering an order.
    (b) Office Hours. The clerk's office--with the clerk or a deputy in 
attendance--must be open during business hours on all days except 
Saturdays, Sundays, and legal holidays.
    (c) Special Hours. A court may provide by local rule or order that 
its clerk's office will be open for specified hours on Saturdays or 
legal holidays other than than those set aside by statute for observing 
New Year's Day, Martin Luther King, Jr.'s Birthday, Washington's 
Birthday, Memorial Day, Independence Day, Labor Day, Columbus Day, 
Veterans' Day, Thanksgiving Day, and Christmas Day.
(As amended Dec. 27, 1948, eff. Oct. 20, 1949; Feb. 28, 1966, eff. July 
1, 1966; Dec. 4, 1967, eff. July 1, 1968; Mar. 1, 1971, eff. July 1, 
1971; Apr. 25, 1988, eff. Aug. 1, 1988; Apr. 29, 2002, eff. Dec. 1, 
2002.)
Rule 57. District Court Rules____________________________________________
    (a) In General.
            (1) Adopting Local Rules. Each district court acting by a 
        majority of its district judges may, after giving appropriate 
        public notice and an opportunity to comment, make and amend 
        rules governing its practice. A local rule must be consistent 
        with--but not duplicative of--federal statutes and rules adopted 
        under 28 U.S.C. Sec. 2072 and must conform to any uniform 
        numbering system prescribed by the Judicial Conference of the 
        United States.
            (2) Limiting Enforcement. A local rule imposing a 
        requirement of form must not be enforced in a manner that causes 
        a party to lose rights because of an unintentional failure to 
        comply with the requirement.
    (b) Procedure When There Is No Controlling Law. A judge may regulate 
practice in any manner consistent with federal law, these rules, and the 
local rules of the district. No sanction or other disadvantage may be 
imposed for noncompliance with any requirement not in federal law, 
federal rules, or the local district rules unless the alleged violator 
was furnished with actual notice of the requirement before the 
noncompliance.
    (c) Effective Date and Notice. A local rule adopted under this rule 
takes effect on the date specified by the district court and remains in 
effect unless amended by the district court or abrogated by the judicial 
council of the circuit in which the district is located. Copies of local 
rules and their amendments, when promulgated, must be furnished to the 
judicial council and the Administrative Office of the United States 
Courts and must be made available to the public.
(As amended Dec. 27, 1948, eff. Oct. 20, 1949; Dec. 4, 1967, eff. July 
1, 1968; Apr. 29, 1985, eff. Aug. 1, 1985; Apr. 22, 1993, eff. Dec. 1, 
1993; Apr. 27, 1995, eff. Dec. 1, 1995; Apr. 29, 2002, eff. Dec. 1, 
2002.)
Rule 58. Petty Offenses and Other Misdemeanors___________________________
    (a) Scope.
            (1) In General. These rules apply in petty offense and other 
        misdemeanor cases and on appeal to a district judge in a case 
        tried by a magistrate judge, unless this rule provides 
        otherwise.
            (2) Petty Offense Case Without Imprisonment. In a case 
        involving a petty offense for which no sentence of imprisonment 
        will be imposed, the court may follow any provision of these 
        rules that is not inconsistent with this rule and that the court 
        considers appropriate.
            (3) Definition. As used in this rule, the term ``petty 
        offense for which no sentence of imprisonment will be imposed'' 
        means a petty offense for which the court determines that, in 
        the event of conviction, no sentence of imprisonment will be 
        imposed.
    (b) Pretrial Procedure.
            (1) Charging Document. The trial of a misdemeanor may 
        proceed on an indictment, information, or complaint. The trial 
        of a petty offense may also proceed on a citation or violation 
        notice.
            (2) Initial Appearance. At the defendant's initial 
        appearance on a petty offense or other misdemeanor charge, the 
        magistrate judge must inform the defendant of the following:
                    (A) the charge, and the minimum and maximum 
                penalties, including imprisonment, fines, any special 
                assessment under 18 U.S.C. Sec. 3013, and restitution 
                under 18 U.S.C. Sec. 3556;
                    (B) the right to retain counsel;
                    (C) the right to request the appointment of counsel 
                if the defendant is unable to retain counsel--unless the 
                charge is a petty offense for which the appointment of 
                counsel is not required;
                    (D) the defendant's right not to make a statement, 
                and that any statement made may be used against the 
                defendant;
                    (E) the right to trial, judgment, and sentencing 
                before a district judge--unless:
                            (i) the charge is a petty offense; or
                            (ii) the defendant consents to trial, 
                        judgment, and sentencing before a magistrate 
                        judge;
                    (F) the right to a jury trial before either a 
                magistrate judge or a district judge--unless the charge 
                is a petty offense; and
                    (G) if the defendant is held in custody and charged 
                with a misdemeanor other than a petty offense, the right 
                to a preliminary hearing under Rule 5.1, and the general 
                circumstances, if any, under which the defendant may 
                secure pretrial release.
            (3) Arraignment.
                    (A) Plea Before a Magistrate Judge. A magistrate 
                judge may take the defendant's plea in a petty offense 
                case. In every other misdemeanor case, a magistrate 
                judge may take the plea only if the defendant consents 
                either in writing or on the record to be tried before a 
                magistrate judge and specifically waives trial before a 
                district judge. The defendant may plead not guilty, 
                guilty, or (with the consent of the magistrate judge) 
                nolo contendere.
                    (B) Failure to Consent. Except in a petty offense 
                case, the magistrate judge must order a defendant who 
                does not consent to trial before a magistrate judge to 
                appear before a district judge for further proceedings.
    (c) Additional Procedures in Certain Petty Offense Cases. The 
following procedures also apply in a case involving a petty offense for 
which no sentence of imprisonment will be imposed:
            (1) Guilty or Nolo Contendere Plea. The court must not 
        accept a guilty or nolo contendere plea unless satisfied that 
        the defendant understands the nature of the charge and the 
        maximum possible penalty.
            (2) Waiving Venue.
                    (A) Conditions of Waiving Venue. If a defendant is 
                arrested, held, or present in a district different from 
                the one where the indictment, information, complaint, 
                citation, or violation notice is pending, the defendant 
                may state in writing a desire to plead guilty or nolo 
                contendere; to waive venue and trial in the district 
                where the proceeding is pending; and to consent to the 
                court's disposing of the case in the district where the 
                defendant was arrested, is held, or is present.
                    (B) Effect of Waiving Venue. Unless the defendant 
                later pleads not guilty, the prosecution will proceed in 
                the district where the defendant was arrested, is held, 
                or is present. The district clerk must notify the clerk 
                in the original district of the defendant's waiver of 
                venue. The defendant's statement of a desire to plead 
                guilty or nolo contendere is not admissible against the 
                defendant.
            (3) Sentencing. The court must give the defendant an 
        opportunity to be heard in mitigation and then proceed 
        immediately to sentencing. The court may, however, postpone 
        sentencing to allow the probation service to investigate or to 
        permit either party to submit additional information.
            (4) Notice of a Right to Appeal. After imposing sentence in 
        a case tried on a not-guilty plea, the court must advise the 
        defendant of a right to appeal the conviction and of any right 
        to appeal the sentence. If the defendant was convicted on a plea 
        of guilty or nolo contendere, the court must advise the 
        defendant of any right to appeal the sentence.
    (d) Paying a Fixed Sum in Lieu of Appearance.
            (1) In General. If the court has a local rule governing 
        forfeiture of collateral, the court may accept a fixed-sum 
        payment in lieu of the defendant's appearance and end the case, 
        but the fixed sum may not exceed the maximum fine allowed by 
        law.
            (2) Notice to Appear. If the defendant fails to pay a fixed 
        sum, request a hearing, or appear in response to a citation or 
        violation notice, the district clerk or a magistrate judge may 
        issue a notice for the defendant to appear before the court on a 
        date certain. The notice may give the defendant an additional 
        opportunity to pay a fixed sum in lieu of appearance. The 
        district clerk must serve the notice on the defendant by mailing 
        a copy to the defendant's last known address.
            (3) Summons or Warrant. Upon an indictment, or upon a 
        showing by one of the other charging documents specified in Rule 
        58(b)(1) of probable cause to believe that an offense has been 
        committed and that the defendant has committed it, the court may 
        issue an arrest warrant or, if no warrant is requested by an 
        attorney for the government, a summons. The showing of probable 
        cause must be made under oath or under penalty of perjury, but 
        the affiant need not appear before the court. If the defendant 
        fails to appear before the court in response to a summons, the 
        court may summarily issue a warrant for the defendant's arrest.
    (e) Recording the Proceedings. The court must record any proceedings 
under this rule by using a court reporter or a suitable recording 
device.
    (f) New Trial. Rule 33 applies to a motion for a new trial.
    (g) Appeal.
            (1) From a District Judge's Order or Judgment. The Federal 
        Rules of Appellate Procedure govern an appeal from a district 
        judge's order or a judgment of conviction or sentence.
            (2) From a Magistrate Judge's Order or Judgment.
                    (A) Interlocutory Appeal. Either party may appeal an 
                order of a magistrate judge to a district judge within 
                10 days of its entry if a district judge's order could 
                similarly be appealed. The party appealing must file a 
                notice with the clerk specifying the order being 
                appealed and must serve a copy on the adverse party.
                    (B) Appeal from a Conviction or Sentence. A 
                defendant may appeal a magistrate judge's judgment of 
                conviction or sentence to a district judge within 10 
                days of its entry. To appeal, the defendant must file a 
                notice with the clerk specifying the judgment being 
                appealed and must serve a copy on an attorney for the 
                government.
                    (C) Record. The record consists of the original 
                papers and exhibits in the case; any transcript, tape, 
                or other recording of the proceedings; and a certified 
                copy of the docket entries. For purposes of the appeal, 
                a copy of the record of the proceedings must be made 
                available to a defendant who establishes by affidavit an 
                inability to pay or give security for the record. The 
                Director of the Administrative Office of the United 
                States Courts must pay for those copies.
                    (D) Scope of Appeal. The defendant is not entitled 
                to a trial de novo by a district judge. The scope of the 
                appeal is the same as in an appeal to the court of 
                appeals from a judgment entered by a district judge.
            (3) Stay of Execution and Release Pending Appeal. Rule 38 
        applies to a stay of a judgment of conviction or sentence. The 
        court may release the defendant pending appeal under the law 
        relating to release pending appeal from a district court to a 
        court of appeals.
(As added May 1, 1990, eff. Dec. 1, 1990; amended Apr. 30, 1991, eff. 
Dec. 1, 1991; Apr. 22, 1993, eff. Dec. 1, 1993; Apr. 11, 1997, eff. Dec. 
1, 1997; Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 59. [Deleted]_______________________________________________________
Rule 60. Title___________________________________________________________
    These rules may be known and cited as the Federal Rules of Criminal 
Procedure.
(As amended Apr. 29, 2002, eff. Dec. 1, 2002.)