FEDERAL RULES 

OF 

CRIMINAL PROCEDURE 

DECEMBER 1, 2023 

UNUM

E PLURIBUS

Printed for the use 

of 

THE COMMITTEE ON THE JUDICIARY 

HOUSE OF REPRESENTATIVES 
118TH CONGRESS " COMMITTEE PRINT ! No. 5

1st Session 

FEDERAL RULES 

OF 

CRIMINAL PROCEDURE 

DECEMBER 1, 2023 

UNUM

E PLURIBUS

Printed for the use 

of 

THE COMMITTEE ON THE JUDICIARY 

HOUSE OF REPRESENTATIVES 

U.S. GOVERNMENT PUBLISHING OFFICE

WASHINGTON : 2024
COMMITTEE ON THE JUDICIARY 

ONE HUNDRED EIGHTEENTH CONGRESS

JIM JORDAN, Ohio, Chairman 

DARRELL ISSA, California 

KEN BUCK, Colorado 

MATT GAETZ, Florida 

MIKE JOHNSON, Louisiana 

ANDY BIGGS, Arizona 

TOM MCCLINTOCK, California 

TOM TIFFANY, Wisconsin 

THOMAS MASSIE, Kentucky 

CHIP ROY, Texas 

DAN BISHOP, North Carolina 

VICTORIA SPARTZ, Indiana 

SCOTT FITZGERALD, Wisconsin 

CLIFF BENTZ, Oregon 

BEN CLINE, Virginia 

KELLY ARMSTRONG, North Dakota 

LANCE GOODEN, Texas 

JEFF VAN DREW, New Jersey 

TROY NEHLS, Texas 

BARRY MOORE, Alabama 

KEVIN KILEY, California 

HARRIET HAGEMAN, Wyoming 

NATHANIEL MORAN, Texas 

LAUREL LEE, Florida 

WESLEY HUNT, Texas 

RUSSELL FRY, South Carolina 

JERROLD NADLER, New York, Ranking Member 

ZOE LOFGREN, California 

SHEILA JACKSON LEE, Texas 

STEVE COHEN, Tennessee 

HENRY C. ‘‘HANK’’ JOHNSON, JR., Georgia 

ADAM SCHIFF, California 

ERIC SWALWELL, California 

TED LIEU, California 

PRAMILA JAYAPAL, Washington 

J. LUIS CORREA, California 

MARY GAY SCANLON, Pennsylvania 

JOE NEGUSE, Colorado 

LUCY MCBATH, Georgia 

MADELEINE DEAN, Pennsylvania 

VERONICA ESCOBAR, Texas 

DEBORAH ROSS, North Carolina 

CORI BUSH, Missouri 

GLENN IVEY, Maryland 

BECCA BALINT, Vermont 

CHRISTOPHER HIXON, Majority Staff Director 

AMY RUTKIN, Minority Staff Director and Chief of Staff 

(II) 
FOREWORD 

This document contains the Federal Rules of Criminal Procedure, as amended to December 1, 2023. 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 1, 2023. 

(III) 

(V) 

AUTHORITY FOR PROMULGATION OF RULES 

TITLE 28, UNITED STATES CODE 

§ 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 

magistrate judges 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, § 401(a), Nov. 19, 1988, 102 Stat. 4648, 

eff. Dec. 1, 1988; amended Pub. L. 101–650, title III, §§ 315, 321, Dec. 

1, 1990, 104 Stat. 5115, 5117.) 

§ 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. 
VI AUTHORITY FOR PROMULGATION OF RULES 

(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, § 401(a), Nov. 19, 1988, 102 Stat. 4649, 

eff. Dec. 1, 1988; amended Pub. L. 103–394, title I, § 104(e), Oct. 22, 

1994, 108 Stat. 4110.) 

§ 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, § 401(a), Nov. 19, 1988, 102 Stat. 4649, 

eff. Dec. 1, 1988.) 
(VII) 

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, § 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., § 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 
VIII HISTORICAL NOTE 

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. 6166, Exec. Comm. 1735; 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. 
HISTORICAL NOTE IX

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 December 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), and 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 
X HISTORICAL NOTE 

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 (approved December 26, 

1985, 99 Stat. 1728) 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), 
HISTORICAL NOTE XI

(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, 
XII HISTORICAL NOTE 

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. 5551, 

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, pt. 5, p. 6813, 

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. 1103; Cong. Rec., vol. 150, pt. 6, p. 7968, 

Ex. Comm. 7865; H. Doc. 108–182), and became effective December 

1, 2004. The amendment affected Rule 35. 
HISTORICAL NOTE XIII

Section 6501(a) of Pub. L. 108–458 (approved December 17, 2004, 118 

Stat. 3760) amended Rule 6(e). 

Additional amendments were adopted by the Court by order 

dated April 25, 2005, transmitted to Congress by the Chief Justice 

on the same day (544 U.S. 1181; Cong. Rec., vol. 151, pt. 7, p. 8784, 

Ex. Comm. 1905; H. Doc. 109–22), and became effective December 1, 

2005. The amendments affected Rules 12.2, 29, 32.1, 33, 34, and 45, 

and added new Rule 59. 

Additional amendments were adopted by the Court by order 

dated April 12, 2006, transmitted to Congress by the Chief Justice 

on the same day (547 U.S. 1269; Cong. Rec., vol. 152, pt. 6, p. 7213, 

Ex. Comm. 7316; H. Doc. 109–104), and became effective December 

1, 2006. The amendments affected Rules 5, 6, 32.1, 40, 41, and 58. 

Additional amendments were adopted by the Court by order 

dated April 30, 2007, transmitted to Congress by the Chief Justice 

on the same day (550 U.S. 1165; Cong. Rec., vol. 153, pt. 8, pp. 

10611–10612, Ex. Comm. 1376; H. Doc. 110–26), and became effective 

December 1, 2007. The amendments affected Rules 11, 32, 35, and 45, 

added a new Rule 49.1, and abrogated the Model Form for Use in 

28 U.S.C. § 2254 Cases Involving a Rule 9 Issue. 

Additional amendments were adopted by the Court by order 

dated April 23, 2008, transmitted to Congress by the Chief Justice 

on the same day (553 U.S. 1155; Cong. Rec., vol. 154, pt. 8, p. 11078, 

Ex. Comm. 6879; H. Doc. 110–118), and became effective December 

1, 2008. The amendments affected Rules 1, 12.1, 17, 18, 32, 41, and 45, 

added new Rule 60, and renumbered former Rule 60 as 61. 

Additional amendments were adopted by the Court by order 

dated March 26, 2009, transmitted to Congress by the Chief Justice 

on March 25, 2009 (556 U.S. 1363; Cong. Rec., vol. 155, pt. 8, p. 10210, 

Ex. Comm. 1265; H. Doc. 111–30), and became effective December 1, 

2009. The amendments affected Rules 5.1, 7, 12.1, 12.3, 29, 32, 32.2, 33, 

34, 35, 41, 45, 47, 58, and 59. 

Additional amendments were adopted by the Court by order 

dated April 28, 2010, transmitted to Congress by the Chief Justice 

on the same day (559 U.S. 1151; Cong. Rec., vol. 156, pt. 6, p. 8139, 

Ex. Comm. 7472; H. Doc. 111–110), and became effective December 

1, 2010. The amendments affected Rules 12.3, 21, and 32.1. 

Additional amendments were adopted by the Court by order 

dated April 26, 2011, transmitted to Congress by the Chief Justice 

on the same day (563 U.S. 1063; Cong. Rec., vol. 157, pt. 6, p. 7770, 

Ex. Comm. 1664; H. Doc. 112–31), and became effective December 1, 

2011. The amendments affected Rules 1, 3, 4, 6, 9, 32, 40, 41, 43, and 

49, and added new Rule 4.1. 

Additional amendments were adopted by the Court by order 

dated April 23, 2012, transmitted to Congress by the Chief Justice 

on the same day (566 U.S. 1053; Cong. Rec., vol. 158, pt. 5, p. 6055, 

Ex. Comm. 5883; H. Doc. 112–104), and became effective December 

1, 2012. The amendments affected Rules 5 and 15, and added new 

Rule 37. 

Additional amendments were adopted by the Court by order 

dated April 16, 2013, transmitted to Congress by the Chief Justice 

on the same day (569 U.S. 1161; Cong. Rec., vol. 159, pt. 5, p. 6968, 

Ex. Comm. 1491; H. Doc. 113–25), and became effective December 1, 

2013. The amendments affected Rules 11 and 16. 
XIV HISTORICAL NOTE 

Additional amendments were adopted by the Court by order 

dated April 25, 2014, transmitted to Congress by the Chief Justice 

on the same day (572 U.S. 1223; Cong. Rec., vol. 160, pt. 11, p. 15506, 

Ex. Comm. 7578; H. Doc. 113–162), and became effective December 

1, 2014. The amendments affected Rules 5, 6, 12, 34, and 58. 

Additional amendments were adopted by the Court by order 

dated April 28, 2016, transmitted to Congress by the Chief Justice 

on the same day (578 U.S. 1067; Cong. Rec., vol. 162, pt. 4, pp. 

5466–5467, Ex. Comm. 5232; H. Doc. 114–127), and became effective 

December 1, 2016. The amendments affected Rules 4, 41, and 45. 

Section 2(c) of Public Law 114–324 (approved December 16, 2016, 

130 Stat. 1948) amended Rule 28. 

Additional amendments were adopted by the Court by order 

dated April 26, 2018, transmitted to Congress by the Chief Justice 

on the same day (584 U.S. 1087; Cong. Rec., vol. 164, p. H3927, Daily 

Issue, Ex. Comm. 4790; H. Doc. 115–120), and became effective December 1, 2018. The amendments affected Rules 12.4, 45, and 49. 

An additional amendment was adopted by the Court by order 

dated April 25, 2019, transmitted to Congress by the Chief Justice 

on the same day (587 U.S.——; Cong. Rec., vol. 165, p. H7864, Daily 

Issue, Ex. Comm. 2224; H. Doc. 116–66), and became effective December 1, 2019. The amendment added new Rule 16.1. 

Section 2 of Public Law 116–182 (approved October 21, 2020, 134 

Stat. 894) amended Rule 5. 

An additional amendment was adopted by the Court by order 

dated April 11, 2022, transmitted to Congress by the Chief Justice 

on the same day (596 U.S.——; Cong. Rec., vol. 168, p. H4442, Daily 

Issue, Ex. Comm. 3744; H. Doc. 117–109), and became effective December 1, 2022. The amendment affected Rule 16. 

Section 323(a)(1)(A) of Public Law 117–347 (approved January 5, 

2023, 136 Stat. 6206) amended Rule 6(e). 

Additional amendments were adopted by the Court by order 

dated April 24, 2023, transmitted to Congress by the Chief Justice 

on the same day (599 U.S.——; Cong. Rec., vol. 169, p. H1944, Daily 

Issue, Ex. Comm. 792; H. Doc. 118–31), and became effective December 1, 2023. The amendments affected Rules 16, 45, and 56, and 

added new Rule 62. 

Proceedings After Verdict 

By act of February 24, 1933, ch. 119, 47 Stat. 904, as amended (subsequently 18 United States Code, § 3772), the Supreme Court was 

authorized to prescribe general rules of criminal procedure with 

respect to proceedings after verdict or finding of guilty by the 

court, or plea of guilty, which became effective on dates fixed by 

the Court. These rules 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). 
HISTORICAL NOTE XV

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. 

(XVII) 

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 .................................... 3 

Rule 4.1. Complaint, Warrant, or Summons by Telephone or Other Reliable 

Electronic Means .............................................................................. 4 

Rule 5. Initial Appearance ............................................................................. 6 

Rule 5.1. Preliminary Hearing ....................................................................... 8 

Title III. The Grand Jury, the Indictment, and the Information 

Rule 6. The Grand Jury .................................................................................. 9 

Rule 7. The Indictment and the Information ................................................. 14 

Rule 8. Joinder of Offenses or Defendants ..................................................... 15 

Rule 9. Arrest Warrant or Summons on an Indictment or Information ........ 15 

Title IV. Arraignment and Preparation for Trial 

Rule 10. Arraignment ..................................................................................... 16 

Rule 11. Pleas ................................................................................................. 16 

Rule 12. Pleadings and Pretrial Motions ....................................................... 19 

Rule 12.1. Notice of an Alibi Defense ............................................................. 20 

Rule 12.2. Notice of an Insanity Defense; Mental Examination ..................... 22 

Rule 12.3. Notice of a Public-Authority Defense ............................................ 23 

Rule 12.4. Disclosure Statement .................................................................... 25 

Rule 13. Joint Trial of Separate Cases ........................................................... 25 

Rule 14. Relief from Prejudicial Joinder ........................................................ 26 

Rule 15. Depositions ....................................................................................... 26 

Rule 16. Discovery and Inspection ................................................................. 28 

Rule 16.1. Pretrial Discovery Conference; Request for Court Action ............. 32 

Rule 17. Subpoena .......................................................................................... 32 

Rule 17.1. Pretrial Conference ....................................................................... 34 

Title V. Venue 

Rule 18. Place of Prosecution and Trial ......................................................... 34 

Rule 19. (Reserved) 

Rule 20. Transfer for Plea and Sentence ........................................................ 34 

Rule 21. Transfer for Trial ............................................................................. 35 

Rule 22. (Transferred) 

Title VI. Trial 

Rule 23. Jury or Nonjury Trial ...................................................................... 35 

Rule 24. Trial Jurors ...................................................................................... 36 

Rule 25. Judge’s Disability ............................................................................ 37 

Rule 26. Taking Testimony ............................................................................ 38 

Rule 26.1. Foreign Law Determination .......................................................... 38 

Rule 26.2. Producing a Witness’s Statement .................................................. 38 

Rule 26.3. Mistrial .......................................................................................... 39 

Rule 27. Proving an Official Record ............................................................... 39 

Rule 28. Interpreters ...................................................................................... 39 

Rule 29. Motion for a Judgment of Acquittal ................................................ 39 

Rule 29.1. Closing Argument .......................................................................... 40 

Rule 30. Jury Instructions ............................................................................. 40 

Rule 31. Jury Verdict ..................................................................................... 41 
XVIII CONTENTS 

Title VII. Post-Conviction Procedures Page 

Rule 32. Sentencing and Judgment ................................................................ 41 

Rule 32.1. Revoking or Modifying Probation or Supervised Release .............. 45 

Rule 32.2. Criminal Forfeiture ....................................................................... 47 

Rule 33. New Trial .......................................................................................... 51 

Rule 34. Arresting Judgment ......................................................................... 51 

Rule 35. Correcting or Reducing a Sentence .................................................. 52 

Rule 36. Clerical Error ................................................................................... 52 

Rule 37. Indicative Ruling on a Motion for Relief That Is Barred by a 

Pending Appeal ................................................................................. 52 

Rule 38. Staying a Sentence or a Disability .................................................. 53 

Rule 39. (Reserved) 

Title VIII. Supplementary and Special Proceedings 

Rule 40. Arrest for Failing to Appear in Another District or for Violating 

Conditions of Release Set in Another District ................................. 54 

Rule 41. Search and Seizure ........................................................................... 54 

Rule 42. Criminal Contempt ........................................................................... 59 

Title IX. General Provisions 

Rule 43. Defendant’s Presence ....................................................................... 59 

Rule 44. Right to and Appointment of Counsel .............................................. 60 

Rule 45. Computing and Extending Time ....................................................... 61 

Rule 46. Release from Custody; Supervising Detention ................................. 62 

Rule 47. Motions and Supporting Affidavits .................................................. 64 

Rule 48. Dismissal .......................................................................................... 64 

Rule 49. Serving and Filing Papers ................................................................ 64 

Rule 49.1. Privacy Protection For Filings Made with the Court ................... 66 

Rule 50. Prompt Disposition .......................................................................... 67 

Rule 51. Preserving Claimed Error ................................................................ 67 

Rule 52. Harmless and Plain Error ................................................................. 68 

Rule 53. Courtroom Photographing and Broadcasting Prohibited ................. 68 

Rule 54. (Transferred) 

Rule 55. Records ............................................................................................. 68 

Rule 56. When Court Is Open .......................................................................... 68 

Rule 57. District Court Rules ......................................................................... 68 

Rule 58. Petty Offenses and Other Misdemeanors .......................................... 69 

Rule 59. Matters Before a Magistrate Judge .................................................. 72 

Rule 60. Victim’s Rights ................................................................................ 73 

Rule 61. Title ................................................................................................. 74 

Rule 62. Criminal Rules Emergency .............................................................. 74 
(1) 

FEDERAL RULES OF CRIMINAL PROCEDURE 

Effective March 21, 1946, as amended to December 1, 2023 

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. §§ 256–258; 

and 

(F) a proceeding against a witness in a foreign country 

under 28 U.S.C. § 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. 
Rule 2 FEDERAL RULES OF CRIMINAL PROCEDURE 2 

1 18 U.S.C. §3771(e) was redesignated 18 U.S.C. §3771(e)(2) by Pub. L. 114–22, title I, §113(a)(3)(A), 

May 29, 2015, 129 Stat. 240. 

(3) ‘‘Federal judge’’ means: 

(A) a justice or judge of the United States as these terms 

are defined in 28 U.S.C. § 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. §§ 631–639. 

(6) ‘‘Oath’’ includes an affirmation. 

(7) ‘‘Organization’’ is defined in 18 U.S.C. § 18. 

(8) ‘‘Petty offense’’ is defined in 18 U.S.C. § 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. § 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. 

(11) ‘‘Telephone’’ means any technology for transmitting 

live electronic voice communication. 

(12) ‘‘Victim’’ means a ‘‘crime victim’’ as defined in 18 U.S.C. 

§ 3771(e).1

(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; 

Apr. 23, 2008, eff. Dec. 1, 2008; Apr. 26, 2011, eff. Dec. 1, 2011.) 

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. Except as provided in Rule 4.1, 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; Apr. 26, 2011, eff. Dec. 1, 2011.) 
3 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 4 

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 an individual 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. If 

an organizational defendant fails to appear in response to a summons, a judge may take any action authorized by United States 

law. 

(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. A summons 

to an organization under Rule 4(c)(3)(D) may also be served at 

a place not within a judicial district of the United States. 

(3) Manner. 

(A) A warrant is executed by arresting the defendant. 

Upon arrest, an officer possessing the original or a duplicate original 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 original or a duplicate original 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. 
Rule 4.1 FEDERAL RULES OF CRIMINAL PROCEDURE 4 

(C) A summons is served on an organization in a judicial 

district of the United States 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. If the agent is one authorized by statute and the statute so requires, a copy must also be mailed to the organization. 

(D) A summons is served on an organization not within 

a judicial district of the United States: 

(i) by delivering a copy, in a manner authorized by 

the foreign jurisdiction’s law, to an officer, to a managing or general agent, or to an agent appointed or legally authorized to receive service of process; or 

(ii) by any other means that gives notice, including 

one that is: 

(a) stipulated by the parties; 

(b) undertaken by a foreign authority in response 

to a letter rogatory, a letter of request, or a request submitted under an applicable international 

agreement; or 

(c) permitted by an applicable international 

agreement. 

(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. The officer may do so by reliable 

electronic means. 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. 

(d) Warrant by Telephone or Other Reliable Electronic Means. In 

accordance with Rule 4.1, a magistrate judge may issue a warrant 

or summons based on information communicated by telephone or 

other reliable electronic means. 

(As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 24, 1972, eff. Oct. 

1, 1972; Apr. 22, 1974, eff. Dec. 1, 1975; Pub. L. 94–64, § 3(1)–(3), July 

31, 1975, 89 Stat. 370, 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; Apr. 

26, 2011, eff. Dec. 1, 2011; Apr. 28, 2016, eff. Dec. 1, 2016.) 

Rule 4.1. Complaint, Warrant, or Summons by Telephone or Other 

Reliable Electronic Means 

(a) In General. A magistrate judge may consider information 

communicated by telephone or other reliable electronic means 

when reviewing a complaint or deciding whether to issue a warrant or summons. 
5 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 4.1 

(b) Procedures. If a magistrate judge decides to proceed under 

this rule, the following procedures apply: 

(1) Taking Testimony Under Oath. The judge must place 

under oath—and may examine—the applicant and any person 

on whose testimony the application is based. 

(2) Creating a Record of the Testimony and Exhibits. 

(A) Testimony Limited to Attestation. If the applicant does 

no more than attest to the contents of a written affidavit 

submitted by reliable electronic means, the judge must acknowledge the attestation in writing on the affidavit. 

(B) Additional Testimony or Exhibits. If the judge considers 

additional testimony or exhibits, the judge must: 

(i) have the testimony recorded verbatim by an electronic recording device, by a court reporter, or in writing; 

(ii) have any recording or reporter’s notes transcribed, have the transcription certified as accurate, 

and file it; 

(iii) sign any other written record, certify its accuracy, and file it; and 

(iv) make sure that the exhibits are filed. 

(3) Preparing a Proposed Duplicate Original of a Complaint, 

Warrant, or Summons. The applicant must prepare a proposed 

duplicate original of a complaint, warrant, or summons, and 

must read or otherwise transmit its contents verbatim to the 

judge. 

(4) Preparing an Original Complaint, Warrant, or Summons. 

If the applicant reads the contents of the proposed duplicate 

original, the judge must enter those contents into an original 

complaint, warrant, or summons. If the applicant transmits 

the contents by reliable electronic means, the transmission received by the judge may serve as the original. 

(5) Modification. The judge may modify the complaint, warrant, or summons. The judge must then: 

(A) transmit the modified version to the applicant by reliable electronic means; or 

(B) file the modified original and direct the applicant to 

modify the proposed duplicate original accordingly. 

(6) Issuance. To issue the warrant or summons, the judge 

must: 

(A) sign the original documents; 

(B) enter the date and time of issuance on the warrant 

or summons; and 

(C) transmit the warrant or summons by reliable electronic means to the applicant or direct the applicant to 

sign the judge’s name and enter the date and time on the 

duplicate original. 

(c) Suppression Limited. Absent a finding of bad faith, evidence 

obtained from a warrant issued under this rule is not subject to 

suppression on the ground that issuing the warrant in this manner 

was unreasonable under the circumstances. 

(As added Apr. 26, 2011, eff. Dec. 1, 2011.) 
Rule 5 FEDERAL RULES OF CRIMINAL PROCEDURE 6 

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. 

§ 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; 
7 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 5 

(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; 

(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, or a reliable electronic 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. 

(4) Procedure for Persons Extradited to the United States. If 

the defendant is surrendered to the United States in accordance with a request for the defendant’s extradition, the initial 

appearance must be in the district (or one of the districts) 

where the offense is charged. 

(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; 

(E) the defendant’s right not to make a statement, and 

that any statement made may be used against the defendant; and 

(F) that a defendant who is not a United States citizen 

may request that an attorney for the government or a federal law enforcement official notify a consular officer from 

the defendant’s country of nationality that the defendant 

has been arrested—but that even without the defendant’s 

request, a treaty or other international agreement may require consular notification. 

(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). 
Rule 5.1 FEDERAL RULES OF CRIMINAL PROCEDURE 8 

(f) Reminder of Prosecutorial Obligation. 

(1) In General. In all criminal proceedings, on the first 

scheduled court date when both prosecutor and defense counsel are present, the judge shall issue an oral and written order 

to prosecution and defense counsel that confirms the disclosure obligation of the prosecutor under Brady v. Maryland, 373 

U.S. 83 (1963) and its progeny, and the possible consequences of 

violating such order under applicable law. 

(2) Formation of Order. Each judicial council in which a district court is located shall promulgate a model order for the 

purpose of paragraph (1) that the court may use as it determines is appropriate. 

(g) 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; Pub. L. 98–473, title II, § 209(a), 

Oct. 12, 1984, 98 Stat. 1986; 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; Apr. 12, 2006, eff. Dec. 1, 2006; 

Apr. 23, 2012, eff. Dec. 1, 2012; Apr. 25, 2014, eff. Dec. 1, 2014; Pub. 

L. 116–182, § 2, Oct. 21, 2020, 134 Stat. 894.) 

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 14 days after 

the initial appearance if the defendant is in custody and no later 

than 21 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 
9 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 6 

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; Mar. 26, 2009, eff. Dec. 1, 2009.) 

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 
Rule 6 FEDERAL RULES OF CRIMINAL PROCEDURE 10 

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. 

§ 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; 
11 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 6 

(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. § 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. § 3003), 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 in a manner consistent with any guidelines issued 

by the Attorney General and the Director of National 

Intelligence. 

(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: 
Rule 6 FEDERAL RULES OF CRIMINAL PROCEDURE 12 

(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 
13 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 6 

1 Now editorially reclassified 25 U.S.C. 5131. 

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 any guidelines jointly issued by the Attorney General and the Director 

of National Intelligence under 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. To avoid unnecessary cost or delay, the magistrate 

judge may take the return by video teleconference from the court 

where the grand jury sits. 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. § 479a–1.1

(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; Pub. L. 95–78, § 2(a), 

July 30, 1977, 91 Stat. 319, eff. Oct. 1, 1977; Apr. 30, 1979, eff. Aug. 

1, 1979; Apr. 28, 1983, eff. Aug. 1, 1983; Pub. L. 98–473, title II, § 215(f), 

Oct. 12, 1984, 98 Stat. 2016, 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; Pub. L. 107–56, title II, § 203(a), Oct. 

26, 2001, 115 Stat. 278; Apr. 29, 2002, eff. Dec. 1, 2002; Pub. L. 107–296, 

title VIII, § 895, Nov. 25, 2002, 116 Stat. 2256; Pub. L. 108–458, title 
Rule 7 FEDERAL RULES OF CRIMINAL PROCEDURE 14 

VI, § 6501(a), Dec. 17, 2004, 118 Stat. 3760; Apr. 12, 2006, eff. Dec. 1, 

2006; Apr. 26, 2011, eff. Dec. 1, 2011; Apr. 25, 2014, eff. Dec. 1, 2014; 

Pub. L. 117–347, title III, § 323(a)(1)(A), Jan. 5, 2023, 136 Stat. 6206.) 

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) 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 14 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; Pub. 
15 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 9 

L. 108–21, title VI, § 610(b), Apr. 30, 2003, 117 Stat. 692; Mar. 26, 2009, 

eff. Dec. 1, 2009.) 

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. 

(d) Warrant by Telephone or Other Means. In accordance with 

Rule 4.1, a magistrate judge may issue an arrest warrant or summons based on information communicated by telephone or other 

reliable electronic means. 

(As amended Apr. 24, 1972, eff. Oct. 1, 1972; Apr. 22, 1974, eff. Dec. 

1, 1975; Pub. L. 94–64, § 3(4), July 31, 1975, 89 Stat. 370, eff. Dec. 1, 
Rule 10 FEDERAL RULES OF CRIMINAL PROCEDURE 16 

1975; Pub. L. 94–149, § 5, Dec. 12, 1975, 89 Stat. 806; 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; Apr. 26, 2011, eff. Dec. 1, 2011.) 

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; 
17 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 11 

(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) in determining a sentence, the court’s obligation to 

calculate the applicable sentencing-guideline range and to 

consider that range, possible departures under the Sentencing Guidelines, and other sentencing factors under 18 

U.S.C. § 3553(a); 

(N) the terms of any plea-agreement provision waiving 

the right to appeal or to collaterally attack the sentence; 

and 

(O) that, if convicted, a defendant who is not a United 

States citizen may be removed from the United States, denied citizenship, and denied admission to the United 

States in the future. 

(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 
Rule 11 FEDERAL RULES OF CRIMINAL PROCEDURE 18 

(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. 
19 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 12 

(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; Pub. L. 94–64, § 3(5)–(10), July 31, 1975, 89 Stat. 371, 372, 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; Pub. 

L. 100–690, title VII, § 7076, Nov. 18, 1988, 102 Stat. 4406; Apr. 25, 1989, 

eff. Dec. 1, 1989; Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 29, 2002, eff. Dec. 

1, 2002; Apr. 30, 2007, eff. Dec. 1, 2007; Apr. 16, 2013, eff. Dec. 1, 2013.) 

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. A party may raise by pretrial motion any defense, objection, or request that the court can determine without a trial on the merits. Rule 47 applies to a pretrial motion. 

(2) Motions That May Be Made at Any Time. A motion that 

the court lacks jurisdiction may be made at any time while 

the case is pending. 

(3) Motions That Must Be Made Before Trial. The following 

defenses, objections, and requests must be raised by pretrial 

motion if the basis for the motion is then reasonably available 

and the motion can be determined without a trial on the merits: 

(A) a defect in instituting the prosecution, including: 

(i) improper venue; 

(ii) preindictment delay; 

(iii) a violation of the constitutional right to a 

speedy trial; 

(iv) selective or vindictive prosecution; and 

(v) an error in the grand-jury proceeding or preliminary hearing; 

(B) a defect in the indictment or information, including: 

(i) joining two or more offenses in the same count 

(duplicity); 

(ii) charging the same offense in more than one 

count (multiplicity); 

(iii) lack of specificity; 

(iv) improper joinder; and 

(v) failure to state an offense; 

(C) suppression of evidence; 

(D) severance of charges or defendants under Rule 14; and 

(E) discovery under Rule 16. 

(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 
Rule 12.1 FEDERAL RULES OF CRIMINAL PROCEDURE 20 

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) Deadline for a Pretrial Motion; Consequences of Not Making 

a Timely Motion. 

(1) Setting the 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. If the court does not set one, the deadline is the start 

of trial. 

(2) Extending or Resetting the Deadline. At any time before 

trial, the court may extend or reset the deadline for pretrial 

motions. 

(3) Consequences of Not Making a Timely Motion Under Rule 

12(b)(3). If a party does not meet the deadline for making a 

Rule 12(b)(3) motion, the motion is untimely. But a court may 

consider the defense, objection, or request if the party shows 

good cause. 

(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) [Reserved] 

(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. 

§ 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; Pub. L. 94–64, § 3(11), 

(12), July 31, 1975, 89 Stat. 372, 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; Apr. 25, 2014, eff. Dec. 1, 2014.) 

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 
21 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 12.1 

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 14 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. 

(A) In General. 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: 

(i) the name of each witness—and the address and 

telephone number of each witness other than a victim—that the government intends to rely on to establish that the defendant was present at the scene of the 

alleged offense; and 

(ii) each government rebuttal witness to the defendant’s alibi defense. 

(B) Victim’s Address and Telephone Number. If the government intends to rely on a victim’s testimony to establish 

that the defendant was present at the scene of the alleged 

offense and the defendant establishes a need for the victim’s address and telephone number, the court may: 

(i) order the government to provide the information 

in writing to the defendant or the defendant’s attorney; or 

(ii) fashion a reasonable procedure that allows preparation of the defense and also protects the victim’s interests. 

(2) Time to Disclose. Unless the court directs otherwise, an 

attorney for the government must give its Rule 12.1(b)(1) disclosure within 14 days after the defendant serves notice of an 

intended alibi defense under Rule 12.1(a)(2), but no later than 

14 days before trial. 

(c) Continuing Duty to Disclose. 

(1) In General. Both an attorney for the government and the 

defendant must promptly disclose in writing to the other 

party the name of each additional witness—and the address 

and telephone number of each additional witness other than a 

victim—if: 

(A) the disclosing party learns of the witness before or 

during trial; and 

(B) the witness should have been disclosed under Rule 

12.1(a) or (b) if the disclosing party had known of the witness earlier. 

(2) Address and Telephone Number of an Additional Victim 

Witness. The address and telephone number of an additional 

victim witness must not be disclosed except as provided in 

Rule 12.1 (b)(1)(B). 

(d) Exceptions. For good cause, the court may grant an exception to any requirement of Rule 12.1(a)–(c). 
Rule 12.2 FEDERAL RULES OF CRIMINAL PROCEDURE 22 

(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 Pub. L. 94–64, 

§ 3(13), July 31, 1975, 89 Stat. 372, 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; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009.) 

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. § 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. § 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. 
23 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 12.3 

(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. 

(1) Failure to Give Notice or to Submit to Examination. 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 if the defendant fails 

to: 

(A) give notice under Rule 12.2(b); or 

(B) submit to an examination when ordered under Rule 

12.2(c). 

(2) Failure to Disclose. The court may exclude any expert 

evidence for which the defendant has failed to comply with the 

disclosure requirement of Rule 12.2(c)(3). 

(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 Pub. L. 94–64, 

§ 3(14), July 31, 1975, 89 Stat. 373, eff. Dec. 1, 1975; Apr. 28, 1983, eff. 

Aug. 1, 1983; Pub. L. 98–473, title II, § 404, Oct. 12, 1984, 98 Stat. 2067; 

Pub. L. 98–596, § 11(a), (b), Oct. 30, 1984, 98 Stat. 3138, eff. Oct. 12, 

1984; Apr. 29, 1985, eff. Aug. 1, 1985; Pub. L. 99–646, § 24, Nov. 10, 1986, 

100 Stat. 3597; Mar. 9, 1987, eff. Aug. 1, 1987; Apr. 29, 2002, eff. Dec. 

1, 2002; Apr. 25, 2005, eff. Dec. 1, 2005.) 

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 
Rule 12.3 FEDERAL RULES OF CRIMINAL PROCEDURE 24 

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 14 days after receiving the defendant’s 

notice, but no later than 21 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 21 days before trial. 

(B) Defendant’s Response. Within 14 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 14 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 of each witness—and the 

address and telephone number of each witness other than 

a victim—that the government intends to rely on to oppose the defendant’s public-authority defense. 

(D) Victim’s Address and Telephone Number. If the government intends to rely on a victim’s testimony to oppose the 

defendant’s public-authority defense and the defendant establishes a need for the victim’s address and telephone 

number, the court may: 

(i) order the government to provide the information 

in writing to the defendant or the defendant’s attorney; or 

(ii) fashion a reasonable procedure that allows for 

preparing the defense and also protects the victim’s interests. 

(5) Additional Time. The court may, for good cause, allow a 

party additional time to comply with this rule. 

(b) Continuing Duty to Disclose. 

(1) In General. Both an attorney for the government and the 

defendant must promptly disclose in writing to the other 

party the name of any additional witness—and the address, 

and telephone number of any additional witness other than a 

victim—if: 
25 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 13 

(A) the disclosing party learns of the witness before or 

during trial; and 

(B) the witness should have been disclosed under Rule 

12.3(a)(4) if the disclosing party had known of the witness 

earlier. 

(2) Address and Telephone Number of an Additional VictimWitness. The address and telephone number of an additional 

victim-witness must not be disclosed except as provided in 

Rule 12.3(a)(4)(D). 

(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 Pub. L. 100–690, title VI, § 6483, Nov. 18, 1988, 102 Stat. 

4382; amended Apr. 29, 2002, eff. Dec. 1, 2002; Mar. 26, 2009, eff. Dec. 

1, 2009; Apr. 28, 2010, eff. Dec. 1, 2010.) 

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. Unless the government shows 

good cause, it must file a statement identifying any organizational victim of the alleged criminal activity. 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 to File; Later Filing. A party must: 

(1) file the Rule 12.4(a) statement within 28 days after the defendant’s initial appearance; and 

(2) promptly file a later statement if any required information changes. 

(As added Apr. 29, 2002, eff. Dec. 1, 2002; amended Apr. 26, 2018, eff. 

Dec. 1, 2018.) 

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 FEDERAL RULES OF CRIMINAL PROCEDURE 26 

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. § 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. Except as authorized by Rule 

15(c)(3), 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. Except as authorized by Rule 

15(c)(3), 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 
27 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 15 

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. 

(3) Taking Depositions Outside the United States Without the 

Defendant’s Presence. The deposition of a witness who is outside the United States may be taken without the defendant’s 

presence if the court makes case-specific findings of all the 

following: 

(A) the witness’s testimony could provide substantial 

proof of a material fact in a felony prosecution; 

(B) there is a substantial likelihood that the witness’s 

attendance at trial cannot be obtained; 

(C) the witness’s presence for a deposition in the United 

States cannot be obtained; 

(D) the defendant cannot be present because: 

(i) the country where the witness is located will not 

permit the defendant to attend the deposition; 

(ii) for an in-custody defendant, secure transportation and continuing custody cannot be assured at the 

witness’s location; or 

(iii) for an out-of-custody defendant, no reasonable 

conditions will assure an appearance at the deposition 

or at trial or sentencing; and 

(E) the defendant can meaningfully participate in the 

deposition through reasonable means. 

(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) Admissibility and Use as Evidence. An order authorizing a 

deposition to be taken under this rule does not determine its admissibility. 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; Pub. L. 94–64, § 3(15)–(19), 

July 31, 1975, 89 Stat. 373, 374, eff. Dec. 1, 1975; Pub. L. 98–473, title 
Rule 16 FEDERAL RULES OF CRIMINAL PROCEDURE 28 

II, § 209(b), Oct. 12, 1984, 98 Stat. 1986; Mar. 9, 1987, eff. Aug. 1, 1987; 

Apr. 29, 2002, eff. Dec. 1, 2002; Apr. 23, 2012, eff. Dec. 1, 2012.) 

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: 
29 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 16 

(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-inchief at trial. 

(G) Expert Witnesses. 

(i) Duty to Disclose. At the defendant’s request, the 

government must disclose to the defendant, in writing, 

the information required by (iii) for any testimony 

that the government intends to use at trial under Federal Rule of Evidence 702, 703, or 705 during its case-inchief, or during its rebuttal to counter testimony that 

the defendant has timely disclosed under (b)(1)(C). If 

the government requests discovery under the second 

bullet point in (b)(1)(C)(i) and the defendant complies, 

the government must, at the defendant’s request, disclose to the defendant, in writing, the information required by (iii) for testimony that the government intends to use at trial under Federal Rule of Evidence 

702, 703, or 705 on the issue of the defendant’s mental 

condition. 

(ii) Time to Disclose. The court, by order or local 

rule, must set a time for the government to make its 

disclosures. The time must be sufficiently before trial 

to provide a fair opportunity for the defendant to meet 

the government’s evidence. 

(iii) Contents of the Disclosure. The disclosure for 

each expert witness must contain: 

• a complete statement of all opinions that the 

government will elicit from the witness in its casein-chief, or during its rebuttal to counter testimony that the defendant has timely disclosed 

under (b)(1)(C); 

• the bases and reasons for them; 

• the witness’s qualifications, including a list 

of all publications authored in the previous 10 

years; and 

• a list of all other cases in which, during the 

previous 4 years, the witness has testified as an expert at trial or by deposition. 

(iv) Information Previously Disclosed. If the government previously provided a report under (F) that contained information required by (iii), that information 
Rule 16 FEDERAL RULES OF CRIMINAL PROCEDURE 30 

may be referred to, rather than repeated, in the expertwitness disclosure. 

(v) Signing the Disclosure. The witness must approve 

and sign the disclosure, unless the government: 

• states in the disclosure why it could not obtain the witness’s signature through reasonable efforts; or 

• has previously provided under (F) a report, 

signed by the witness, that contains all the opinions and the bases and reasons for them required 

by (iii). 

(vi) Supplementing and Correcting a Disclosure. The 

government must supplement or correct its disclosures 

in accordance with (c). 

(2) Information Not Subject to Disclosure. Except as permitted by Rule 16(a)(1)(A)–(D), (F), and (G), 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. § 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. 

(i) Duty to Disclose. At the government’s request, 

the defendant must disclose to the government, in 

writing, the information required by (iii) for any testimony that the defendant intends to use under Federal 
31 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 16 

Rule of Evidence 702, 703, or 705 during the defendant’s 

case-in-chief at trial, if: 

• the defendant requests disclosure under 

(a)(1)(G) and the government complies; or 

• the defendant has given notice under Rule 

12.2(b) of an intent to present expert testimony on 

the defendant’s mental condition. 

(ii) Time to Disclose. The court, by order or local 

rule, must set a time for the defendant to make the defendant’s disclosures. The time must be sufficiently before trial to provide a fair opportunity for the government to meet the defendant’s evidence. 

(iii) Contents of the Disclosure. The disclosure for 

each expert witness must contain: 

• a complete statement of all opinions that the 

defendant will elicit from the witness in the defendant’s case-in-chief; 

• the bases and reasons for them; 

• the witness’s qualifications, including a list 

of all publications authored in the previous 10 

years; and 

• a list of all other cases in which, during the 

previous 4 years, the witness has testified as an expert at trial or by deposition. 

(iv) Information Previously Disclosed. If the defendant previously provided a report under (B) that contained information required by (iii), that information 

may be referred to, rather than repeated, in the expertwitness disclosure. 

(v) Signing the Disclosure. The witness must approve 

and sign the disclosure, unless the defendant: 

• states in the disclosure why the defendant 

could not obtain the witness’s signature through 

reasonable efforts; or 

• has previously provided under (B) a report, 

signed by the witness, that contains all the opinions and the bases and reasons for them required 

by (iii). 

(vi) Supplementing and Correcting a Disclosure. The 

defendant must supplement or correct the defendant’s 

disclosures in accordance with (c). 

(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: 
Rule 16.1 FEDERAL RULES OF CRIMINAL PROCEDURE 32 

(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; Pub. L. 94–64, § 3(20)–(28), July 31, 1975, 89 Stat. 374, 375, eff. 

Dec. 1, 1975; Pub. L. 94–149, § 5, Dec. 12, 1975, 89 Stat. 806; 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; 

Pub. L. 107–273, div. C, title I, § 11019(b), Nov. 2, 2002, 117 Stat. 1825, 

eff. Dec. 1, 2002; Apr. 16, 2013, eff. Dec. 1, 2013; Apr. 11, 2022, eff. Dec. 

1, 2022; Apr. 24, 2023, eff. Dec. 1, 2023.) 

Rule 16.1. Pretrial Discovery Conference; Request for Court Action 

(a) Discovery Conference. No later than 14 days after the arraignment, the attorney for the government and the defendant’s 

attorney must confer and try to agree on a timetable and procedures for pretrial disclosure under Rule 16. 

(b) Request for Court Action. After the discovery conference, one 

or both parties may ask the court to determine or modify the 

time, place, manner, or other aspects of disclosure to facilitate 

preparation for trial. 

(As added Apr. 25, 2019, eff. Dec. 1, 2019.) 

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 
33 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 17 

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. 

(3) Subpoena for Personal or Confidential Information About 

a Victim. After a complaint, indictment, or information is 

filed, a subpoena requiring the production of personal or confidential information about a victim may be served on a third 

party only by court order. Before entering the order and unless there are exceptional circumstances, the court must require giving notice to the victim so that the victim can move 

to quash or modify the subpoena or otherwise object. 

(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. § 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. § 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; 
Rule 17.1 FEDERAL RULES OF CRIMINAL PROCEDURE 34 

Pub. L. 94–64, § 3(29), July 31, 1975, 89 Stat. 375, 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; Apr. 23, 2008, eff. Dec. 

1, 2008.) 

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, any 

victim, 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; Apr. 23, 2008, eff. Dec. 1, 2008.) 

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. 
35 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 23 

(d) Juveniles. 

(1) Consent to Transfer. A juvenile, as defined in 18 U.S.C. 

§ 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; Pub. L. 94–64, § 3(30), July 31, 1975, 89 Stat. 375, 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, 

any victim, and the 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; Apr. 28, 2010, eff. Dec. 1, 2010.) 

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: 
Rule 24 FEDERAL RULES OF CRIMINAL PROCEDURE 36 

(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; Pub. L. 95–78, § 2(b), 

July 30, 1977, 91 Stat. 320, 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. 
37 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 25 

(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 FEDERAL RULES OF CRIMINAL PROCEDURE 38 

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. §§ 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. 
39 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 29 

(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. § 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, including an interpreter for the victim. 

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; Pub. L. 114–324, § 2(c), Dec. 16, 

2016, 130 Stat. 1948.) 

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. 
Rule 29.1 FEDERAL RULES OF CRIMINAL PROCEDURE 40 

(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 14 days after a 

guilty verdict or after the court discharges the jury, whichever is later. 

(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; Pub. L. 99–646, § 54(a), 

Nov. 10, 1986, 100 Stat. 3607, eff. Dec. 10, 1986; Apr. 29, 1994, eff. Dec. 

1, 1994; Apr. 29, 2002, eff. Dec. 1, 2002; Apr. 25, 2005, eff. Dec. 1, 2005; 

Mar. 26, 2009, eff. Dec. 1, 2009.) 

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. 
41 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 32 

(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) [Reserved.] 

(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. 
Rule 32 FEDERAL RULES OF CRIMINAL PROCEDURE 42 

(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. § 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. § 3553, and the court explains its 

finding on the record. 

(B) Restitution. If the law permits 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 Advisory 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: 

(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) information that assesses any financial, social, psychological, and medical impact on any victim; 

(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. § 3552(b), 

any resulting report and recommendation; 

(F) a statement of whether the government seeks forfeiture under Rule 32.2 and any other law; and 

(G) any other information that the court requires, including information relevant to the factors under 18 U.S.C. 

§ 3553(a). 
43 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 32 

(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; 
Rule 32 FEDERAL RULES OF CRIMINAL PROCEDURE 44 

(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 the crime who is present at 

sentencing and must permit the victim to be reasonably 

heard. 

(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. 
45 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 32.1 

(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; Pub. L. 94–64, § 3(31)–(34), July 

31, 1975, 89 Stat. 376, eff. Dec. 1, 1975; Apr. 30, 1979, eff. Aug. 1, 1979, 

and Dec. 1, 1980; Pub. L. 97–291, § 3, Oct. 12, 1982, 96 Stat. 1249; Apr. 

28, 1983, eff. Aug. 1, 1983; Pub. L. 98–473, title II, § 215(a), Oct. 12, 

1984, 98 Stat. 2014, eff. Nov. 1, 1987; Pub. L. 99–646, § 25(a), Nov. 10, 

1986, 100 Stat. 3597, 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; Pub. L. 

103–322, title XXIII, § 230101(b), Sept. 13, 1994, 108 Stat. 2078, eff. 

Dec. 1, 1994; Apr. 23, 1996, eff. Dec. 1, 1996; Pub. L. 104–132, title II, 

§ 207(a), Apr. 24, 1996, 110 Stat. 1236; Apr. 17, 2000, eff. Dec. 1, 2000; 

Apr. 29, 2002, eff. Dec. 1, 2002; Apr. 30, 2007, eff. Dec. 1, 2007; Apr. 

23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009; Apr. 26, 2011, 

eff. Dec. 1, 2011.) 

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). 
Rule 32.1 FEDERAL RULES OF CRIMINAL PROCEDURE 46 

(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, or produces copies of those certified documents by reliable 

electronic means; 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. § 3143(a)(1) pending further 

proceedings. The burden of establishing by clear and convincing evidence 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 
47 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 32.2 

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; 

(D) notice of the person’s right to retain counsel or to request that counsel be appointed if the person cannot obtain counsel; and 

(E) an opportunity to make a statement and present any 

information in mitigation. 

(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 and an opportunity to 

make a statement and present any information in mitigation. 

(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. § 3563 and § 3565 (probation) and § 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 Pub. L. 99–646, 

§ 12(b), Nov. 10, 1986, 100 Stat. 3594, 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; 

Apr. 25, 2005, eff. Dec. 1, 2005; Apr. 12, 2006, eff. Dec. 1, 2006; Apr. 

28, 2010, eff. Dec. 1, 2010.) 

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. The notice should not be 

designated as a count of the indictment or information. The indictment or information need not identify the property subject to 

forfeiture or specify the amount of any forfeiture money judgment 

that the government seeks. 

(b) Entering a Preliminary Order of Forfeiture. 

(1) Forfeiture Phase of the Trial. 

(A) Forfeiture Determinations. As soon as practical after a 

verdict or finding of guilty, or after a plea of guilty or nolo 
Rule 32.2 FEDERAL RULES OF CRIMINAL PROCEDURE 48 

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. 

(B) Evidence and Hearing. The court’s determination may 

be based on evidence already in the record, including any 

written plea agreement, and on any additional evidence or 

information submitted by the parties and accepted by the 

court as relevant and reliable. If the forfeiture is contested, on either party’s request the court must conduct a 

hearing after the verdict or finding of guilty. 

(2) Preliminary Order. 

(A) Contents of a Specific 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, directing the forfeiture of specific 

property, and directing the forfeiture of any substitute 

property if the government has met the statutory criteria. 

The court must enter the order without regard to any 

third party’s interest in the property. 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). 

(B) Timing. Unless doing so is impractical, the court 

must enter the preliminary order sufficiently in advance 

of sentencing to allow the parties to suggest revisions or 

modifications before the order becomes final as to the defendant under Rule 32.2(b)(4). 

(C) General Order. If, before sentencing, the court cannot 

identify all the specific property subject to forfeiture or 

calculate the total amount of the money judgment, the 

court may enter a forfeiture order that: 

(i) lists any identified property; 

(ii) describes other property in general terms; and 

(iii) states that the order will be amended under Rule 

32.2(e)(1) when additional specific property is identified 

or the amount of the money judgment has been calculated. 

(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. The court may include in the order of forfeiture conditions reasonably necessary to preserve the property’s value 

pending any appeal. 
49 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 32.2 

(4) Sentence and Judgment. 

(A) When Final. At sentencing—or at any time before 

sentencing if the defendant consents—the preliminary forfeiture order becomes final as to the defendant. If the 

order directs the defendant to forfeit specific property, it 

remains preliminary as to third parties until the ancillary 

proceeding is concluded under Rule 32.2(c). 

(B) Notice and Inclusion in the Judgment. The court must 

include the forfeiture when orally announcing the sentence or must otherwise ensure that the defendant knows 

of the forfeiture at sentencing. The court must also include the forfeiture order, directly or by reference, in the 

judgment, but the court’s failure to do so may be corrected 

at any time under Rule 36. 

(C) Time to Appeal. The time for the defendant or the government to file an appeal from the forfeiture order, or 

from the court’s failure to enter an order, begins to run 

when judgment is entered. If the court later amends or declines to amend a forfeiture order to include additional 

property under Rule 32.2(e), the defendant or the government may file an appeal regarding that property under 

Federal Rule of Appellate Procedure 4(b). The time for 

that appeal runs from the date when the order granting or 

denying the amendment becomes final. 

(5) Jury Determination. 

(A) Retaining the Jury. In any case tried before a jury, if 

the indictment or information states that the government 

is seeking forfeiture, the court must determine before the 

jury begins deliberating whether either party requests 

that the jury be retained to determine the forfeitability of 

specific property if it returns a guilty verdict. 

(B) Special Verdict Form. If a party timely requests to 

have the jury determine forfeiture, the government must 

submit a proposed Special Verdict Form listing each property subject to forfeiture and asking the jury to determine 

whether the government has established the requisite 

nexus between the property and the offense committed by 

the defendant. 

(6) Notice of the Forfeiture Order. 

(A) Publishing and Sending Notice. If the court orders the 

forfeiture of specific property, the government must publish notice of the order and send notice to any person who 

reasonably appears to be a potential claimant with standing to contest the forfeiture in the ancillary proceeding. 

(B) Content of the Notice. The notice must describe the 

forfeited property, state the times under the applicable 

statute when a petition contesting the forfeiture must be 

filed, and state the name and contact information for the 

government attorney to be served with the petition. 

(C) Means of Publication; Exceptions to Publication Requirement. Publication must take place as described in Supplemental Rule G(4)(a)(iii) of the Federal Rules of Civil Procedure, and may be by any means described in Supplemental Rule G(4)(a)(iv). Publication is unnecessary if any 

exception in Supplemental Rule G(4)(a)(i) applies. 
Rule 32.2 FEDERAL RULES OF CRIMINAL PROCEDURE 50 

(D) Means of Sending the Notice. The notice may be sent 

in accordance with Supplemental Rules G(4)(b)(iii)–(v) of 

the Federal Rules of Civil Procedure. 

(7) Interlocutory Sale. At any time before entry of a final forfeiture order, the court, in accordance with Supplemental 

Rule G(7) of the Federal Rules of Civil Procedure, may order 

the interlocutory sale of property alleged to be forfeitable. 

(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 
51 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 34 

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; Mar. 26, 2009, eff. Dec. 1, 2009.) 

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 14 days after the verdict or finding of guilty. 

(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; 

Apr. 25, 2005, eff. Dec. 1, 2005; Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 34. Arresting Judgment 

(a) In General. Upon the defendant’s motion or on its own, the 

court must arrest judgment if the court does not have jurisdiction 

of the charged offense. 

(b) Time to File. The defendant must move to arrest judgment 

within 14 days after the court accepts a verdict or finding of 

guilty, or after a plea of guilty or nolo contendere. 

(As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 29, 2002, eff. Dec. 

1, 2002; Apr. 25, 2005, eff. Dec. 1, 2005; Mar. 26, 2009, eff. Dec. 1, 2009; 

Apr. 25, 2014, eff. Dec. 1, 2014.) 
Rule 35 FEDERAL RULES OF CRIMINAL PROCEDURE 52 

Rule 35. Correcting or Reducing a Sentence 

(a) Correcting Clear Error. Within 14 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 the 

defendant, after sentencing, provided substantial assistance in 

investigating or prosecuting another person. 

(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; Pub. L. 98–473, title II, § 215(b), 

Oct. 12, 1984, 98 Stat. 2015, eff. Nov. 1, 1987; Apr. 29, 1985, eff. Aug. 

1, 1985; Pub. L. 99–570, title I, § 1009(a), Oct. 27, 1986, 100 Stat. 3207–8, 

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; 

Apr. 30, 2007, eff. Dec. 1, 2007; Mar. 26, 2009, eff. Dec. 1, 2009.) 

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. Indicative Ruling on a Motion for Relief That Is Barred 

by a Pending Appeal 

(a) Relief Pending Appeal. If a timely motion is made for relief 

that the court lacks authority to grant because of an appeal that 

has been docketed and is pending, the court may: 

(1) defer considering the motion; 

(2) deny the motion; or 
53 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 38 

(3) state either that it would grant the motion if the court 

of appeals remands for that purpose or that the motion raises 

a substantial issue. 

(b) Notice to the Court of Appeals. The movant must promptly 

notify the circuit clerk under Federal Rule of Appellate Procedure 

12.1 if the district court states that it would grant the motion or 

that the motion raises a substantial issue. 

(c) Remand. The district court may decide the motion if the 

court of appeals remands for that purpose. 

(As added Apr. 23, 2012, eff. Dec. 1, 2012.) 

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. § 3556 or notice under 18 U.S.C. § 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 
Rule 39 FEDERAL RULES OF CRIMINAL PROCEDURE 54 

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; 

Pub. L. 98–473, title II, § 215(c), Oct. 12, 1984, 98 Stat. 2016, 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 or for Violating Conditions of Release Set in Another District 

(a) In General. A person must be taken without unnecessary 

delay before a magistrate judge in the district of arrest if the person has been arrested under a warrant issued in another district 

for: 

(i) failing to appear as required by the terms of that person’s 

release under 18 U.S.C. §§ 3141–3156 or by a subpoena; or 

(ii) violating conditions of release set in another district. 

(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. 

(d) 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. 30, 1979, eff. Aug. 1, 1979; Pub. L. 96–42, § 1(2), July 31, 

1979, 93 Stat. 326; Apr. 28, 1982, eff. Aug. 1, 1982; Pub. L. 98–473, title 

II, §§ 209(c), 215(d), Oct. 12, 1984, 98 Stat. 1986, 2016, 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; Apr. 

12, 2006, eff. Dec. 1, 2006; Apr. 26, 2011, eff. Dec. 1, 2011.) 

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) 
55 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 41 

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. 

(D) ‘‘Domestic terrorism’’ and ‘‘international terrorism’’ 

have the meanings set out in 18 U.S.C. § 2331. 

(E) ‘‘Tracking device’’ has the meaning set out in 18 

U.S.C. § 3117(b). 

(b) Venue for a Warrant Application. 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; 

(3) a magistrate judge—in an investigation of domestic terrorism or international terrorism—with authority in any district in which activities related to the terrorism may have occurred has authority to issue a warrant for a person or property within or outside that district; 

(4) a magistrate judge with authority in the district has authority to issue a warrant to install within the district a 

tracking device; the warrant may authorize use of the device 

to track the movement of a person or property located within 

the district, outside the district, or both; and 

(5) a magistrate judge having authority in any district 

where activities related to the crime may have occurred, or in 

the District of Columbia, may issue a warrant for property 

that is located outside the jurisdiction of any state or district, 

but within any of the following: 

(A) a United States territory, possession, or commonwealth; 

(B) the premises—no matter who owns them—of a United 

States diplomatic or consular mission in a foreign state, 

including any appurtenant building, part of a building, or 

land used for the mission’s purposes; or 

(C) a residence and any appurtenant land owned or 

leased by the United States and used by United States personnel assigned to a United States diplomatic or consular 

mission in a foreign state. 

(6) a magistrate judge with authority in any district where 

activities related to a crime may have occurred has authority 

to issue a warrant to use remote access to search electronic 

storage media and to seize or copy electronically stored information located within or outside that district if: 

(A) the district where the media or information is located has been concealed through technological means; or 

(B) in an investigation of a violation of 18 U.S.C. 

§ 1030(a)(5), the media are protected computers that have 

been damaged without authorization and are located in 

five or more districts. 

(c) Persons or Property Subject to Search or Seizure. A warrant 

may be issued for any of the following: 
Rule 41 FEDERAL RULES OF CRIMINAL PROCEDURE 56 

(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) In General. After receiving an affidavit or other information, a magistrate judge—or if authorized by Rule 41(b), 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 or to install and use a tracking device. 

(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 Reliable 

Electronic Means. In accordance with Rule 4.1, a magistrate 

judge may issue a warrant based on information communicated by telephone or other reliable electronic means. 

(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. 

(A) Warrant to Search for and Seize a Person or Property. 

Except for a tracking-device 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: 

(i) execute the warrant within a specified time no 

longer than 14 days; 

(ii) execute the warrant during the daytime, unless 

the judge for good cause expressly authorizes execution at another time; and 

(iii) return the warrant to the magistrate judge designated in the warrant. 

(B) Warrant Seeking Electronically Stored Information. A 

warrant under Rule 41(e)(2)(A) may authorize the seizure 

of electronic storage media or the seizure or copying of 

electronically stored information. Unless otherwise specified, the warrant authorizes a later review of the media or 
57 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 41 

information consistent with the warrant. The time for executing the warrant in Rule 41(e)(2)(A) and (f)(1)(A) refers to 

the seizure or on-site copying of the media or information, 

and not to any later off-site copying or review. 

(C) Warrant for a Tracking Device. A tracking-device warrant must identify the person or property to be tracked, 

designate the magistrate judge to whom it must be returned, and specify a reasonable length of time that the 

device may be used. The time must not exceed 45 days 

from the date the warrant was issued. The court may, for 

good cause, grant one or more extensions for a reasonable 

period not to exceed 45 days each. The warrant must command the officer to: 

(i) complete any installation authorized by the warrant within a specified time no longer than 10 days; 

(ii) perform any installation authorized by the warrant during the daytime, unless the judge for good 

cause expressly authorizes installation at another 

time; and 

(iii) return the warrant to the judge designated in 

the warrant. 

(f) Executing and Returning the Warrant. 

(1) Warrant to Search for and Seize a Person or Property. 

(A) Noting the Time. The officer executing the warrant 

must enter on it the exact date and time it was executed. 

(B) 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. In a 

case involving the seizure of electronic storage media or 

the seizure or copying of electronically stored information, the inventory may be limited to describing the physical storage media that were seized or copied. The officer 

may retain a copy of the electronically stored information 

that was seized or copied. 

(C) Receipt. The officer executing the warrant must 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 leave a copy of the warrant and receipt at the place where the officer took the property. For 

a warrant to use remote access to search electronic storage media and seize or copy electronically stored information, the officer must make reasonable efforts to serve a 

copy of the warrant and receipt on the person whose property was searched or who possessed the information that 

was seized or copied. Service may be accomplished by any 

means, including electronic means, reasonably calculated 

to reach that person. 

(D) 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 officer may do so by reliable electronic means. The 
Rule 41 FEDERAL RULES OF CRIMINAL PROCEDURE 58 

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. 

(2) Warrant for a Tracking Device. 

(A) Noting the Time. The officer executing a tracking-device warrant must enter on it the exact date and time the 

device was installed and the period during which it was 

used. 

(B) Return. Within 10 days after the use of the tracking 

device has ended, the officer executing the warrant must 

return it to the judge designated in the warrant. The officer may do so by reliable electronic means. 

(C) Service. Within 10 days after the use of the tracking 

device has ended, the officer executing a tracking-device 

warrant must serve a copy of the warrant on the person 

who was tracked or whose property was tracked. Service 

may be accomplished by delivering a copy to the person 

who, or whose property, was tracked; or by leaving a copy 

at the person’s residence or usual place of abode with an 

individual of suitable age and discretion who resides at 

that location and by mailing a copy to the person’s last 

known address. Upon request of the government, the judge 

may delay notice as provided in Rule 41(f)(3). 

(3) Delayed Notice. Upon the government’s request, a magistrate judge—or if authorized by Rule 41(b), a judge of a state 

court of record—may delay any notice required by this rule if 

the delay is authorized by statute. 

(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; Pub. L. 95–78, § 2(e), July 

30, 1977, 91 Stat. 320, 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; Pub. L. 107–56, 

title II, § 219, Oct. 26, 2001, 115 Stat. 291; Apr. 29, 2002, eff. Dec. 1, 

2002; Apr. 12, 2006, eff. Dec. 1, 2006; Apr. 23, 2008, eff. Dec. 1, 2008; 

Mar. 26, 2009, eff. Dec. 1, 2009; Apr. 26, 2011, eff. Dec. 1, 2011; Apr. 

28, 2016, eff. Dec. 1, 2016.) 
59 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 43 

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. § 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 by video teleconferencing or in the defendant’s absence. 
Rule 44 FEDERAL RULES OF CRIMINAL PROCEDURE 60 

(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. 

§ 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; Pub. L. 94–64, § 3(35), 

July 31, 1975, 89 Stat. 376, 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; Apr. 26, 2011, eff. Dec. 1, 2011.) 

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.) 
61 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 45 

Rule 45. Computing and Extending Time 

(a) Computing Time. The following rules apply in computing any 

time period specified in these rules, in any local rule or court 

order, or in any statute that does not specify a method of computing time. 

(1) Period Stated in Days or a Longer Unit. When the period 

is stated in days or a longer unit of time: 

(A) exclude the day of the event that triggers the period; 

(B) count every day, including intermediate Saturdays, 

Sundays, and legal holidays; and 

(C) include the last day of the period, but if the last day 

is a Saturday, Sunday, or legal holiday, the period continues to run until the end of the next day that is not a 

Saturday, Sunday, or legal holiday. 

(2) Period Stated in Hours. When the period is stated in 

hours: 

(A) begin counting immediately on the occurrence of the 

event that triggers the period; 

(B) count every hour, including hours during intermediate Saturdays, Sundays, and legal holidays; and 

(C) if the period would end on a Saturday, Sunday, or 

legal holiday, the period continues to run until the same 

time on the next day that is not a Saturday, Sunday, or 

legal holiday. 

(3) Inaccessibility of the Clerk’s Office. Unless the court orders otherwise, if the clerk’s office is inaccessible: 

(A) on the last day for filing under Rule 45(a)(1), then the 

time for filing is extended to the first accessible day that 

is not a Saturday, Sunday, or legal holiday; or 

(B) during the last hour for filing under Rule 45(a)(2), 

then the time for filing is extended to the same time on 

the first accessible day that is not a Saturday, Sunday, or 

legal holiday. 

(4) ‘‘Last Day’’ Defined. Unless a different time is set by a 

statute, local rule, or court order, the last day ends: 

(A) for electronic filing, at midnight in the court’s time 

zone; and 

(B) for filing by other means, when the clerk’s office is 

scheduled to close. 

(5) ‘‘Next Day’’ Defined. The ‘‘next day’’ is determined by continuing to count forward when the period is measured after an 

event and backward when measured before an event. 

(6) ‘‘Legal Holiday’’ Defined. ‘‘Legal holiday’’ means: 

(A) the day set aside by statute for observing New Year’s 

Day, Martin Luther King Jr.’s Birthday, Washington’s 

Birthday, Memorial Day, Juneteenth National Independence Day, Independence Day, Labor Day, Columbus Day, 

Veterans’ Day, Thanksgiving Day, or Christmas Day; 

(B) any day declared a holiday by the President or Congress; and 

(C) for periods that are measured after an event, any 

other day declared a holiday by the state where the district court is located. 
Rule 46 FEDERAL RULES OF CRIMINAL PROCEDURE 62 

(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) Exception. The court may not extend the time to take 

any action under Rule 35, except as stated in that rule. 

(c) Additional Time After Certain Kinds of Service. Whenever a 

party must or may act within a specified time after being served 

and service is made under Rule 49(a)(4)(C), (D), and (E), 3 days are 

added after the period would otherwise expire under subdivision 

(a). 

(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; Apr. 25, 2005, eff. Dec. 1, 2005; Apr. 30, 2007, 

eff. Dec. 1, 2007; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 

1, 2009; Apr. 28, 2016, eff. Dec. 1, 2016; Apr. 26, 2018, eff. Dec. 1, 2018; 

Apr. 24, 2023, eff. Dec. 1, 2023.) 

Rule 46. Release from Custody; Supervising Detention 

(a) Before Trial. The provisions of 18 U.S.C. §§ 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. 

§ 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: 
63 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 46 

(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. § 3142(c)(1)(B)(xi) property under 18 U.S.C. § 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. § 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; Pub. L. 98–473, title II, § 209(d), 

Oct. 12, 1984, 98 Stat. 1987; Mar. 9, 1987, eff. Aug. 1, 1987; Apr. 30, 
Rule 47 FEDERAL RULES OF CRIMINAL PROCEDURE 64 

1991, eff. Dec. 1, 1991; Apr. 22, 1993, eff. Dec. 1, 1993; Pub. L. 103–322, 

title XXXIII, § 330003(h), Sept. 13, 1994, 108 Stat. 2141; 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 7 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; Mar. 26, 2009, eff. Dec. 

1, 2009.) 

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) Service on a Party. 

(1) What is Required. Each of the following must be served 

on every party: any written motion (other than one to be 

heard ex parte), written notice, designation of the record on 

appeal, or similar paper. 

(2) Serving a Party’s Attorney. Unless the court orders otherwise, 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. 

(3) Service by Electronic Means. 

(A) Using the Court’s Electronic-Filing System. A party represented by an attorney may serve a paper on a registered 

user by filing it with the court’s electronic-filing system. 

A party not represented by an attorney may do so only if 

allowed by court order or local rule. Service is complete 

upon filing, but is not effective if the serving party learns 

that it did not reach the person to be served. 
65 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 49 

(B) Using Other Electronic Means. A paper may be served 

by any other electronic means that the person consented 

to in writing. Service is complete upon transmission, but 

is not effective if the serving party learns that it did not 

reach the person to be served. 

(4) Service by Nonelectronic Means. A paper may be served 

by: 

(A) handing it to the person; 

(B) leaving it: 

(i) at the person’s office with a clerk or other person 

in charge or, if no one is in charge, in a conspicuous 

place in the office; or 

(ii) if the person has no office or the office is closed, 

at the person’s dwelling or usual place of abode with 

someone of suitable age and discretion who resides 

there; 

(C) mailing it to the person’s last known address—in 

which event service is complete upon mailing; 

(D) leaving it with the court clerk if the person has no 

known address; or 

(E) delivering it by any other means that the person consented to in writing—in which event service is complete 

when the person making service delivers it to the agency 

designated to make delivery. 

(b) Filing. 

(1) When Required; Certificate of Service. Any paper that is 

required to be served must be filed no later than a reasonable 

time after service. No certificate of service is required when a 

paper is served by filing it with the court’s electronic-filing 

system. When a paper is served by other means, a certificate 

of service must be filed with it or within a reasonable time 

after service or filing. 

(2) Means of Filing. 

(A) Electronically. A paper is filed electronically by filing 

it with the court’s electronic-filing system. A filing made 

through a person’s electronic-filing account and authorized by that person, together with the person’s name on a 

signature block, constitutes the person’s signature. A 

paper filed electronically is written or in writing under 

these rules. 

(B) Nonelectronically. A paper not filed electronically is 

filed by delivering it: 

(i) to the clerk; or 

(ii) to a judge who agrees to accept it for filing, and 

who must then note the filing date on the paper and 

promptly send it to the clerk. 

(3) Means Used by Represented and Unrepresented Parties. 

(A) Represented Party. A party represented by an attorney must file electronically, unless nonelectronic filing is 

allowed by the court for good cause or is allowed or required by local rule. 

(B) Unrepresented Party. A party not represented by an 

attorney must file nonelectronically, unless allowed to file 

electronically by court order or local rule. 

(4) Signature. Every written motion and other paper must be 

signed by at least one attorney of record in the attorney’s 
Rule 49.1 FEDERAL RULES OF CRIMINAL PROCEDURE 66 

name—or by a person filing a paper if the person is not represented by an attorney. The paper must state the signer’s address, e-mail address, and telephone number. Unless a rule or 

statute specifically states otherwise, a pleading need not be 

verified or accompanied by an affidavit. The court must strike 

an unsigned paper unless the omission is promptly corrected 

after being called to the attorney’s or person’s attention. 

(5) Acceptance by the Clerk. The clerk must not refuse to file 

a paper solely because it is not in the form prescribed by these 

rules or by a local rule or practice. 

(c) Service and Filing by Nonparties. A nonparty may serve and 

file a paper only if doing so is required or permitted by law. A 

nonparty must serve every party as required by Rule 49(a), but 

may use the court’s electronic-filing system only if allowed by 

court order or local rule. 

(d) Notice of a Court Order. When the court issues an order on 

any post-arraignment motion, the clerk must serve notice of the 

entry on each party as required by Rule 49(a). A party also may 

serve notice of the entry by the same means. 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. 

(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; Apr. 26, 2011, eff. Dec. 1, 2011; Apr. 26, 2018, 

eff. Dec. 1, 2018.) 

Rule 49.1. Privacy Protection For Filings Made with the Court 

(a) Redacted Filings. Unless the court orders otherwise, in an 

electronic or paper filing with the court that contains an individual’s social-security number, taxpayer-identification number, or 

birth date, the name of an individual known to be a minor, a financial-account number, or the home address of an individual, a 

party or nonparty making the filing may include only; 

(1) the last four digits of the social-security number and taxpayer-identification number; 

(2) the year of the individual’s birth; 

(3) the minor’s initials; 

(4) the last four digits of the financial-account number; and 

(5) the city and state of the home address. 

(b) Exemptions from the Redaction Requirement. The redaction 

requirement does not apply to the following: 

(1) a financial-account number or real property address that 

identifies the property allegedly subject to forfeiture in a forfeiture proceeding; 

(2) the record of an administrative or agency proceeding; 

(3) the official record of a state-court proceeding; 

(4) the record of a court or tribunal, if that record was not 

subject to the redaction requirement when originally filed; 

(5) a filing covered by Rule 49.1(d); 

(6) a pro se filing in an action brought under 28 U.S.C. §§ 2241, 

2254, or 2255; 
67 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 51 

(7) a court filing that is related to a criminal matter or investigation and that is prepared before the filing of a criminal 

charge or is not filed as part of any docketed criminal case; 

(8) an arrest or search warrant; and 

(9) a charging document and an affidavit filed in support of 

any charging document. 

(c) Immigration Cases. A filing in an action brought under 28 

U.S.C. § 2241 that relates to the petitioner’s immigration rights is 

governed by Federal Rule of Civil Procedure 5.2. 

(d) Filings Made Under Seal. The court may order that a filing 

be made under seal without redaction. The court may later unseal 

the filing or order the person who made the filing to file a redacted version for the public record. 

(e) Protective Orders. For good cause, the court may by order in 

a case: 

(1) require redaction of additional information; or 

(2) limit or prohibit a nonparty’s remote electronic access to 

a document filed with the court. 

(f) Option for Additional Unredacted Filing Under Seal. A person 

making a redacted filing may also file an unredacted copy under 

seal. The court must retain the unredacted copy as part of the 

record. 

(g) Option for Filing a Reference List. A filing that contains redacted information may be filed together with a reference list 

that identifies each item of redacted information and specifies an 

appropriate identifier that uniquely corresponds to each item listed. The list must be filed under seal and may be amended as of 

right. Any reference in the case to a listed identifier will be construed to refer to the corresponding item of information. 

(h) Waiver of Protection of Identifiers. A person waives the protection of Rule 49.1(a) as to the person’s own information by filing 

it without redaction and not under seal. 

(As added Apr. 30, 2007, eff. Dec. 1, 2007.) 

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 FEDERAL RULES OF CRIMINAL PROCEDURE 68 

1 All of Rule 54 was moved to Rule 1. 

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

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 those set aside by statute for observing New Year’s Day, Martin Luther King Jr.’s Birthday, Washington’s Birthday, Memorial Day, Juneteenth National Independence 

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; Apr. 

24, 2023, eff. Dec. 1, 2023.) 

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 
69 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 58 

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. § 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: 
Rule 58 FEDERAL RULES OF CRIMINAL PROCEDURE 70 

(A) the charge, and the minimum and maximum penalties, including imprisonment, fines, any special assessment under 18 U.S.C. § 3013, and restitution under 18 U.S.C. 

§ 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; 

(G) any right to a preliminary hearing under Rule 5.1, 

and the general circumstances, if any, under which the defendant may secure pretrial release; and 

(H) that a defendant who is not a United States citizen 

may request that an attorney for the government or a federal law enforcement official notify a consular officer from 

the defendant’s country of nationality that the defendant 

has been arrested—but that even without the defendant’s 

request, a treaty or other international agreement may require consular notification. 

(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 
71 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 58 

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. 
Rule 59 FEDERAL RULES OF CRIMINAL PROCEDURE 72 

(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 14 

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 14 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; Apr. 12, 2006, eff. Dec. 1, 2006; 

Mar. 26, 2009, eff. Dec. 1, 2009; Apr. 25, 2014, eff. Dec. 1, 2014.) 

Rule 59. Matters Before a Magistrate Judge 

(a) Nondispositive Matters. A district judge may refer to a magistrate judge for determination any matter that does not dispose 

of a charge or defense. The magistrate judge must promptly conduct the required proceedings and, when appropriate, enter on the 

record an oral or written order stating the determination. A party 

may serve and file objections to the order within 14 days after 

being served with a copy of a written order or after the oral order 

is stated on the record, or at some other time the court sets. The 

district judge must consider timely objections and modify or set 

aside any part of the order that is contrary to law or clearly erroneous. Failure to object in accordance with this rule waives a party’s right to review. 

(b) Dispositive Matters. 

(1) Referral to Magistrate Judge. A district judge may refer 

to a magistrate judge for recommendation a defendant’s motion to dismiss or quash an indictment or information, a motion to suppress evidence, or any matter that may dispose of 
73 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 60 

1 18 U.S.C. §3771(e) was redesignated 18 U.S.C. §3771(e)(2) by Pub. L. 114–22, title I, §113(a)(3)(A), 

May 29, 2015, 129 Stat. 240. 

a charge or defense. The magistrate judge must promptly conduct the required proceedings. A record must be made of any 

evidentiary proceeding and of any other proceeding if the magistrate judge considers it necessary. The magistrate judge 

must enter on the record a recommendation for disposing of 

the matter, including any proposed findings of fact. The clerk 

must immediately serve copies on all parties. 

(2) Objections to Findings and Recommendations. Within 14 

days after being served with a copy of the recommended disposition, or at some other time the court sets, a party may 

serve and file specific written objections to the proposed findings and recommendations. Unless the district judge directs 

otherwise, the objecting party must promptly arrange for 

transcribing the record, or whatever portions of it the parties 

agree to or the magistrate judge considers sufficient. Failure 

to object in accordance with this rule waives a party’s right 

to review. 

(3) De Novo Review of Recommendations. The district judge 

must consider de novo any objection to the magistrate judge’s 

recommendation. The district judge may accept, reject, or 

modify the recommendation, receive further evidence, or resubmit the matter to the magistrate judge with instructions. 

(As added Apr. 25, 2005, eff. Dec. 1, 2005; amended Mar. 26, 2009, eff. 

Dec. 1, 2009.) 

Rule 60. Victim’s Rights 

(a) In General. 

(1) Notice of a Proceeding. The government must use its best 

efforts to give the victim reasonable, accurate, and timely notice of any public court proceeding involving the crime. 

(2) Attending the Proceeding. The court must not exclude a 

victim from a public court proceeding involving the crime, unless the court determines by clear and convincing evidence 

that the victim’s testimony would be materially altered if the 

victim heard other testimony at that proceeding. In determining whether to exclude a victim, the court must make every 

effort to permit the fullest attendance possible by the victim 

and must consider reasonable alternatives to exclusion. The 

reasons for any exclusion must be clearly stated on the record. 

(3) Right to Be Heard on Release, a Plea, or Sentencing. The 

court must permit a victim to be reasonably heard at any public proceeding in the district court concerning release, plea, or 

sentencing involving the crime. 

(b) Enforcement and Limitations. 

(1) Time for Deciding a Motion. The court must promptly decide any motion asserting a victim’s rights described in these 

rules. 

(2) Who May Assert the Rights. A victim’s rights described in 

these rules may be asserted by the victim, the victim’s lawful 

representative, the attorney for the government, or any other 

person as authorized by 18 U.S.C. § 3771(d) and (e).1

(3) Multiple Victims. If the court finds that the number of 

victims makes it impracticable to accord all of them their 
Rule 61 FEDERAL RULES OF CRIMINAL PROCEDURE 74 

rights described in these rules, the court must fashion a reasonable procedure that gives effect to these rights without unduly complicating or prolonging the proceedings. 

(4) Where Rights May Be Asserted. A victim’s rights described 

in these rules must be asserted in the district where a defendant is being prosecuted for the crime. 

(5) Limitations on Relief. A victim may move to reopen a 

plea or sentence only if: 

(A) the victim asked to be heard before or during the 

proceeding at issue, and the request was denied; 

(B) the victim petitions the court of appeals for a writ of 

mandamus within 10 days after the denial, and the writ is 

granted; and 

(C) in the case of plea, the accused has not pleaded to the 

highest offense charged. 

(6) No New Trial. A failure to afford a victim any right described in these rules is not grounds for a new trial. 

(As added Apr. 23, 2008, eff. Dec. 1, 2008.) 

Rule 61. Title 

These rules may be known and cited as the Federal Rules of 

Criminal Procedure. 

(As amended Apr. 29, 2002, eff. Dec. 1, 2002; Apr. 23, 2008, eff. Dec. 

1. 2008.) 

Rule 62. Criminal Rules Emergency 

(a) Conditions for an Emergency. The Judicial Conference of the 

United States may declare a Criminal Rules emergency if it determines that: 

(1) extraordinary circumstances relating to public health or 

safety, or affecting physical or electronic access to a court, 

substantially impair the court’s ability to perform its functions in compliance with these rules; and 

(2) no feasible alternative measures would sufficiently address the impairment within a reasonable time. 

(b) Declaring an Emergency. 

(1) Content. The declaration must: 

(A) designate the court or courts affected; 

(B) state any restrictions on the authority granted in (d) 

and (e); and 

(C) be limited to a stated period of no more than 90 days. 

(2) Early Termination. The Judicial Conference may terminate a declaration for one or more courts before the termination date. 

(3) Additional Declarations. The Judicial Conference may 

issue additional declarations under this rule. 

(c) Continuing a Proceeding After a Termination. Termination of 

a declaration for a court ends its authority under (d) and (e). But 

if a particular proceeding is already underway and resuming compliance with these rules for the rest of the proceeding would not 

be feasible or would work an injustice, it may be completed with 

the defendant’s consent as if the declaration had not terminated. 

(d) Authorized Departures from These Rules After a Declaration. 

(1) Public Access to a Proceeding. If emergency conditions 

substantially impair the public’s in-person attendance at a 
75 FEDERAL RULES OF CRIMINAL PROCEDURE Rule 62 

public proceeding, the court must provide reasonable alternative access, contemporaneous if feasible. 

(2) Signing or Consenting for a Defendant. If any rule, including this rule, requires a defendant’s signature, written consent, or written waiver—and emergency conditions limit a defendant’s ability to sign—defense counsel may sign for the defendant if the defendant consents on the record. Otherwise, defense counsel must file an affidavit attesting to the defendant’s consent. If the defendant is pro se, the court may sign for 

the defendant if the defendant consents on the record. 

(3) Alternate Jurors. A court may impanel more than 6 alternate jurors. 

(4) Correcting or Reducing a Sentence. Despite Rule 45(b)(2), 

if emergency conditions provide good cause, a court may extend the time to take action under Rule 35 as reasonably necessary. 

(e) Authorized Use of Videoconferencing and Teleconferencing 

After a Declaration. 

(1) Videoconferencing for Proceedings Under Rules 5, 10, 40, 

and 43(b)(2). This rule does not modify a court’s authority to 

use videoconferencing for a proceeding under Rules 5, 10, 40, or 

43(b)(2), except that if emergency conditions substantially impair the defendant’s opportunity to consult with counsel, the 

court must ensure that the defendant will have an adequate 

opportunity to do so confidentially before and during those 

proceedings. 

(2) Videoconferencing for Certain Proceedings at Which the 

Defendant Has a Right to Be Present. Except for felony trials 

and as otherwise provided under (e)(1) and (3), for a proceeding 

at which a defendant has a right to be present, a court may 

use videoconferencing if: 

(A) the district’s chief judge finds that emergency conditions substantially impair a court’s ability to hold in-person proceedings in the district within a reasonable time; 

(B) the court finds that the defendant will have an adequate opportunity to consult confidentially with counsel 

before and during the proceeding; and 

(C) the defendant consents after consulting with counsel. 

(3) Videoconferencing for Felony Pleas and Sentencings. For 

a felony proceeding under Rule 11 or 32, a court may use 

videoconferencing only if, in addition to the requirement in 

(2)(B): 

(A) the district’s chief judge finds that emergency conditions substantially impair a court’s ability to hold in-person felony pleas and sentencings in the district within a 

reasonable time; 

(B) the defendant, before the proceeding and after consulting with counsel, consents in a writing signed by the 

defendant that the proceeding be conducted by 

videoconferencing; and 

(C) the court finds that further delay in that particular 

case would cause serious harm to the interests of justice. 

(4) Teleconferencing by One or More Participants. A court 

may conduct a proceeding, in whole or in part, by teleconferencing if: 
Rule 62 FEDERAL RULES OF CRIMINAL PROCEDURE 76 

(A) the requirements under any applicable rule, including this rule, for conducting the proceeding by 

videoconferencing have been met; 

(B) the court finds that: 

(i) videoconferencing is not reasonably available for 

any person who would participate by teleconference; 

and 

(ii) the defendant will have an adequate opportunity 

to consult confidentially with counsel before and during the proceeding if held by teleconference; and 

(C) the defendant consents. 

(As added Apr. 24, 2023, eff. Dec. 1, 2023.) 

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