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1、FEDERAL RULES OF CRIMINAL PROCEDURE DECEMBER 1, 2013 U N U M E P L U R I B U S Printed for the use of THE COMMITTEE ON THE JUDICIARY HOUSE OF REPRESENTATIVES 113THCONGRESS “ COMMITTEE PRINT ! No. 4 1st Session FEDERAL RULES OF CRIMINAL PROCEDURE DECEMBER 1, 2013 U N U M E P L U R I B U S Printed for
2、 the use of THE COMMITTEE ON THE JUDICIARY HOUSE OF REPRESENTATIVES U.S. GOVERNMENT PRINTING OFFICE WASHINGTON: 2013 For sale by the Superintendent of Documents, U.S. Government Printing Office Internet: bookstore.gpo.govPhone: toll free (866) 5121800; DC area (202) 5121800 Fax: (202) 5122104Mail: S
3、top SSOP, Washington, DC 204020001 COMMITTEE ON THE JUDICIARY ONEHUNDREDTHIRTEENTHCONGRESS BOB GOODLATTE, Virginia, Chairman F. JAMES SENSENBRENNER, JR., Wisconsin HOWARD COBLE, North Carolina LAMAR SMITH, Texas STEVE CHABOT, Ohio SPENCER BACHUS, Alabama DARRELL E. ISSA, California J. RANDY FORBES,
4、Virginia STEVE KING, Iowa TRENT FRANKS, Arizona LOUIE GOHMERT, Texas JIM JORDAN, Ohio TED POE, Texas JASON CHAFFETZ, Utah TOM MARINO, Pennsylvania TREY GOWDY, South Carolina MARK AMODEI, Nevada RAUL LABRADOR, Idaho BLAKE FARENTHOLD, Texas GEORGE HOLDING, North Carolina DOUG COLLINS, Georgia RON DeSA
5、NTIS, Florida JASON T. SMITH, Missouri JOHN CONYERS, JR., Michigan JERROLD NADLER, New York ROBERT C. BOBBY SCOTT, Virginia MELVIN L. WATT, North Carolina ZOE LOFGREN, California SHEILA JACKSON LEE, Texas STEVE COHEN, Tennessee HENRY C. HANK JOHNSON, JR., Georgia PEDRO R. PIERLUISI, Puerto Rico JUDY
6、 CHU, California TED DEUTCH, Florida LUIS V. GUTIERREZ, Illinois KAREN BASS, California CEDRIC RICHMOND, Louisiana SUZAN DelBENE, Washington JOE GARCIA, Florida HAKEEM JEFFRIES, New York SHELLEYHUSBAND, Chief of Staff power to prescribe (a) The Supreme Court shall have the power to prescribe general
7、 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 sub- stantive right. All laws in conflict with such rules shal
8、l 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. 100702, title IV, 401(a), Nov. 19, 1988, 102 Stat. 4648, eff. Dec. 1, 1988; amended
9、Pub. L. 101650, 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 sec- tion. (2) The Judicial Conference m
10、ay 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 profes- sional bar, and trial and appellate judges. (b) The Judicial Conference sha
11、ll authorize the appointment of a standing committee on rules of practice, procedure, and evi- dence under subsection (a) of this section. Such standing commit- tee shall review each recommendation of any other committees so appointed and recommend to the Judicial Conference rules of practice, proce
12、dure, and evidence and such changes in rules pro- posed by a committee appointed under subsection (a)(2) of this section as may be necessary to maintain consistency and other- wise promote the interest of justice. (c)(1) Each meeting for the transaction of business under this chapter by any committe
13、e 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 meet- ing on that day shall be closed to the public, and states the rea
14、son for so closing the meeting. Minutes of each meeting for the trans- action of business under this chapter shall be maintained by the committee and made available to the public, except that any por- tion of such minutes, relating to a closed meeting and made avail- able to the public, may contain
15、such deletions as may be nec- essary 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 chap- ter, by a committee appointed under this section, shall be pre- ceded by sufficient notice to enable
16、all interested persons to at- tend. (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 bodys action, including any minor- ity or other
17、 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. 100702, title IV, 401(a), Nov. 19, 1988, 102 Stat. 4649, eff. Dec. 1, 1988; amended Pub. L. 103394, title I, 104(e), Oct. 22, 1994, 108 Stat. 4110.)
18、 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 earlie
19、r 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 pro- ceedings then pending, except that the Supreme Court shall not require the application of such rule to further proceedings then pend
20、ing 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 evi- dentiary pri
21、vilege shall have no force or effect unless approved by Act of Congress. (Added Pub. L. 100702, 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 Titl
22、e 28, United States Code, as enacted by Title IV Rules Enabling Act of Pub. L. 100702 (approved November 19, 1988, 102 Stat. 4648), effective De- cember 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
23、 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. 100702, the Supreme Court pro- mulgated rules of criminal procedure f
24、or the district courts pursu- ant to two sections of Title 18, United States Code. Section 3771 authorized the Court to prescribe rules for all criminal proceed- ings prior to and including verdict, or finding of guilty or not guilty by the court, or plea of guilty. Section 3772 empowered the Court
25、to prescribe rules with respect to all proceedings after ver- dict 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
26、 general rules of criminal procedure prior to and includ- ing verdict, finding of guilty or not guilty by the court, or plea of guilty, in criminal proceedings. The rules, and subsequent amend- ments, were not to take effect until (1) they had been first re- ported to Congress by the Attorney Genera
27、l 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 rul
28、es 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 re- pealed and supplanted by new sections 2072 and 2074 of Title 28, United States Code, see first paragraph of Historical Note above. The o
29、riginal rules pursuant to act of June 30, 1940, were adopted by order of the Court on December 26, 1944, transmitted to Con- gress by the Attorney General on January 3, 1945, and became ef- fective March 21, 1946 (327 U.S. 821; Cong. Rec., vol. 91, pt. 1, p. 17, Exec. Comm. 4; H. Doc. 12, 79th Cong.
30、). Amendments were adopted by order of the Court dated Decem- ber 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.). T
31、he 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 127, 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
32、U.S. 1017; Cong. Rec., vol. 102, pt. 5, p. 5973, Exec. Comm. 16; H. Doc. 377, 84th Cong.). The amendments affected Rules 41(a), 46(a)(2), 54(a)(1), and 54(c). Further amendments were adopted by order of the Court dated February 28, 1966, transmitted to Congress by the Chief Justice on the same day,
33、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, a
34、dded new Rules 17.1 and 26.1, and re- scinded 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 Proced
35、ure (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 addition
36、al 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. 9257). The amendments affected Rules 45(a) and 56. Additional amendments were adopted
37、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. 92285). The amen
38、dments 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 b
39、ecame effective July 1, 1974 (415 U.S. 1056; Cong. Rec., vol. 120, pt. 5, p. 7012, Exec. Comm. 2062; H. Doc. 93241). 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 Jus- tice on Febru
40、ary 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. 9346). Al- though these amendments were to have become effective July 1, 1973, Public Law 9312 (approved March 30, 1973, 87 Stat. 9) pro- vided that the proposed amendments shall have n
41、o 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 93595 (approved January 2, 1975, 88 Stat. 1949) approved the amendments proposed by the Court, to be effective July 1, 1975. The amendments affected Rules 2
42、6, 26.1, and 28. IX HISTORICAL NOTE 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,
43、Exec. Comm. 2223; H. Doc. 93292). The effective date of the proposed amendments was postponed until August 1, 1975, by Pub- lic Law 93361 (approved July 30, 1974, 88 Stat. 397). Public Law 9464 (approved July 31, 1975, 89 Stat. 370) approved the amend- ments proposed by the Court and further amended
44、 the rules, to be effective December 1, 1975, except Rule 11(e)(6), to be effective Au- gust 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
45、by section 5 of Public Law 94149 (approved Dec. 12, 1975, 89 Stat. 806). Additional amendments were proposed by the Court by order dated April 26, 1976, were transmitted to Congress by the Chief Justice on the same day (425 U.S. 1157; Cong. Rec., vol. 122, pt. 9, p. 11117, Exec. Comm. 3084; H. Doc.
46、94464), and were to be effective August 1, 1976. Public Law 94349 (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, whiche
47、ver is earlier. Also, it approved the amendments to Rules 6(f), 41(a), and 50(b), to be effective August 1, 1976. Public Law 9578 (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 amend
48、ments 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. 96112)
49、, and were to be effec- tive 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 9642 (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 Decem- ber 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