APPELLATE

JURISDICTION

IN THE NINTH CIRCUIT

 

 

 

 

 

Updated 2016

(Revised 2017)

 

 

 

Office of Staff Attorneys

United States Court of Appeals

for the Ninth Circuit

 

 

 

 

 

This outline is intended for use as a starting point for research.  It is not intended to express the views or opinions of the Ninth Circuit, and it may not be cited to or by the courts of this circuit.

ACKNOWLEDGMENTS

Originally written in March 1999 by Lisa Fitzgerald.  Updated by the Office of Staff Attorneys.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Corrections and comments should be e-mailed to Jennifer Hendershot at jennifer_hendershot@ca9.uscourts.gov.

Table of Contents

I.  .... INTRODUCTION.. 1

II.  .. STATUTORY BASES FOR CIVIL APPEALS. 1

A.      APPEALS FROM FINAL DECISIONS (28 U.S.C. § 1291) 2

1.       FINAL DECISIONS. 2

a.       Generally. 2

i.        Need to Consider Finality. 3

ii.       Policy Behind Final Judgment Rule. 4

b.       Determining Finality. 4

i.        District Court Intent 5

ii.       Adjudication of all Claims. 6

(a)       Precise Damages Undetermined. 6

(b)         Implicit Rejection of Claim or Motion. 6

(c)       Apparent Attempt to Dispose of All Claims 7

(d)       Discrepancy between Order and Judgment 7

(e)       Scope of Underlying Action. 8

(1)       Consolidated Actions 8

(2)       Actions to Enforce or Compel 8

c.          Manufacturing Finality. 9

d.         “Pragmatic” or “Practical” Finality Doctrine. 10

i.           Parameters of Doctrine. 10

ii.         Applications 11

2.         COLLATERAL ORDER DOCTRINE. 11

a.          Generally. 11

b.         Requirements of Collateral Order Doctrine. 12

c.          Appealability of Specific Orders under Collateral Order Doctrine  13

i.           Abstention Orders 13

ii.         Orders Denying Immunity. 14

iii.         Disqualification of Counsel 14

iv.       Fed. R. Civ. P. 11 Sanctions 15

v.         Other Orders 15

(a)       Appealable Collateral Orders. 15

(b)       Orders Not Appealable as Collateral Orders 17

3.         ORDERS CERTIFIED UNDER FED. R. CIV. P. 54(b) 19

a.          Generally. 19

i.           District Court Determinations 20

ii.         Appellate Court Review.. 20

b.         Contents of Certification Order 20

i.           “No Just Reason for Delay”. 20

ii.         Reference to Fed. R. Civ. P. 54(b) 21

iii.       “Specific Findings” Supporting Certification. 21

c.          Propriety of Certification. 22

i.           Appellate Review Required. 22

ii.         Standard of Review.. 22

iii.       Scrutiny under Morrison-Knudsen. 23

iv.       Trend Toward Greater Deference to District Court 23

(a)       Orders Properly Certified under Fed. R. Civ. P. 54(b) 23

(b)       Orders Not Properly Certified under Fed. R. Civ. P. 54(b) 25

d.         Immediate Appeal from Fed. R. Civ. P. 54(b) Order Required  26

e.          Denial of Rule 54(b) Certification. 27

B.        APPEALS FROM INTERLOCUTORY DECISIONS (28 U.S.C. § 1292) 27

1.         INTERLOCUTORY INJUNCTIVE ORDERS (28 U.S.C. § 1292(a)(1)) 27

a.          Generally. 27

b.         Order Granting or Denying an Injunction. 28

i.           Explicit Grant or Denial or Injunction. 28

ii.         Implicit Grant or Denial of Injunction. 28

(a)       Practical Effect of Order 29

(b)       Potential for Serious or Irreparable Harm.. 30

(c)       Effective Challenge Not Possible after Final Judgment 30

c.          Orders Modifying, Continuing, or Dissolving Injunction. 30

i.           Order Modifying Injunction. 30

ii.         Order Continuing Injunction. 32

iii.       Order Dissolving Injunction. 32

iv.       Order Denying Modification or Dissolution of Injunction  32

d.         Examples of Orders Appealable under 28 U.S.C. § 1292(a)(1) 33

i.             Order Granting Permanent Injunction. 33

ii.         Order Denying Entry of Consent Decree. 33

iii.       Order Granting Injunction Despite Lack of Motion for Interim Relief 33

iv.     Order Requiring Submission of Remedial Plan. 34

v.         Certain Orders Affecting Assets. 34

vi.       Order Denying Relief in Mandamus Action. 34

vii.      Order Staying Extradition. 35

viii. .. Order Denying Stay of Immigration Removal Order 35

ix.         Order Disapproving Class Settlement 35

e.          Examples of Orders Not Appealable under 28 U.S.C. § 1292(a)(1) 35

i.           Order Denying Motion to Abstain. 35

ii.         Order Denying Motion for Stay. 36

iii.       Order Granting England Reservation of Jurisdiction. 36

iv.       Order Denying Motion to Quash. 36

v.         Order Granting Conditional Permissive Intervention. 37

vi.       Certain Orders Affecting Assets. 37

vii.      Order Remanding to Federal Agency. 37

viii.    Order Denying Summary Judgment Due to Factual Disputes 38

ix.       Order Denying Entry of Consent Decree Not Appealable by Party Against Whom Injunction Sought 38

x.         Case Management Order 38

f.          Temporary Restraining Order 39

i.           Order Tantamount to Denial of Preliminary Injunction  39

ii.         Orders Effectively Deciding Merits of Case. 40

g.         Mootness. 41

2.         INTERLOCUTORY RECEIVERSHIP ORDERS (28 U.S.C. § 1292(a)(2)) 41

3.         INTERLOCUTORY ADMIRALTY ORDERS (§ 1292(a)(3)) 42

a.          Generally. 42

b.         Appealable Admiralty Orders. 43

c.          Nonappealable Admiralty Orders. 44

4.         INTERLOCUTORY PERMISSIVE APPEALS (28 U.S.C. § 1292(b)) 44

a.          Procedure for Appeal under 28 U.S.C. § 1292(b) 45

i.           District Court Certification under § 1292(b) 45

ii.         Timely Petition from Order Certified under § 1292(b) 45

iii.       Appellate Court Permission to Appeal under § 1292(b) 45

iv.       Stay Pending Appeal from Certified Order 46

b.         Standards for Evaluating § 1292(b) Certification Order 46

i.           Order Raises Controlling Question of Law.. 46

ii.         Difference of Opinion Exists as to Controlling Question  47

iii.     Immediate Appeal Would Materially Advance Litigation  48

c.          Examples of Orders Reviewed under 28 U.S.C. § 1292(b) 48

d.         Examples of Orders Not Reviewed under 28 U.S.C § 1292(b) 50

5.           PENDENT APPELLATE JURISDICTION.. 51

C.        APPEALABILITY OF SPECIFIC ORDERS. 51

1.         ADMIRALTY.. 51

2.         AGENCY.. 51

3.         APPOINTMENT OF COUNSEL. 52

a.          Generally. 52

b.         Appointment of Counsel in Title VII Action. 52

4.         ARBITRATION (9 U.S.C. § 16) 52

a.          Cases Governed by the Federal Arbitration Act 53

b.         Arbitration Orders Appealable under 9 U.S.C. § 16. 54

c.       Arbitration Orders Not Appealable under 9 U.S.C. § 16. 55

d.         Interlocutory v. Final Decision. 56

e.          Other Avenues for Appeal from Arbitration Orders 57

5.       ASSETS (Liens, Attachments, etc.) 58

a.          Orders Restraining Assets 58

b.         Orders Releasing Assets 58

6.         ATTORNEY’S FEES. 59

a.          Interim Attorney’s Fees Order 59

b.         Post-Judgment Attorney’s Fees Order 60

7.           BANKRUPTCY.. 60

8.         CLASS ACTIONS. 60

a.          Interlocutory Appeal from Class Certification Order 60

i.           Fed. R. Civ. P. 23. 60

ii.         Decisions Predating Fed. R. Civ. P. 23(f) 61

b.         Review of Class Certification Order After Final Judgment 61

i.           Final Order Adjudicating Individual Claim.. 61

ii.         Dismissal Following Settlement of Individual Claim.. 62

iii.       Dismissal for Failure to Prosecute Individual Claim.. 62

iv.       Underlying Judgment Reversed on Appeal 62

c.          Appeal from Orders Allocating Cost of Notifying Class Members 62

9.           CONSOLIDATED ACTIONS. 63

10.      CONTEMPT AND SANCTIONS. 63

a.          Appealability of Contempt or Sanctions Order Issued in the Course of an Underlying District Court Proceeding. 64

i.           Contempt or Sanctions Order Against Party. 64

(a)       Appealability of Civil v. Criminal Contempt Orders 64

(b)       Criminal Contempt Defined. 65

(c)       Civil Contempt Defined. 65

(d)       Sanctions Order against Party. 66

ii.         Contempt or sanctions Order against Nonparty. 66

(a)       Generally. 66

(b)       Contempt or Sanctions Order against Nonparty Witness  66

(c)       Contempt or Sanctions Order against Nonparty Attorney. 67

(d)       Contempt or Sanctions Order against Nonparty Journalist 68

iii.       Contempt or Sanctions Order against Party and Nonparty Jointly. 68

iv.       Denial of Motion for Contempt or Sanctions 69

b.         Appealability of Contempt or Sanctions Order Issued After Final Judgment in an Underlying District Court Proceeding. 70

i.           Post-Judgment Contempt or Sanctions Order Generally  70

ii.         Post-Judgment Continuing Contempt Order 70

iii.       Order Denying Motion to Vacate Contempt Order 71

c.          Appealability of Contempt or Sanctions Order Issued As Final Judgment in Enforcement or Contempt Proceeding. 71

i.           Contempt Order as Final Judgment in Enforcement 71

ii.         Contempt Order as Final Judgment in Contempt Proceeding  71

11.      DEFAULT. 72

a.          Motion for Default Judgment Granted. 72

b.         Motion for Default Judgment Denied. 72

c.          Motion to Set Aside Default Judgment Granted. 72

d.         Motion to Set Aside Default Judgment Denied. 72

12.        DISCOVERY ORDERS AND SUBPOENAS. 72

a.          Appeal by a Person Who is a Party to an Underlying District Court Proceeding. 73

i.           Order Compelling Discovery. 73

(a)       Discovery Order Issued against Party. 73

(b)       Discovery Order Issued against Nonparty. 73

ii.         Protective Order 74

(a)       Order Protecting Party from Discovery. 74

(b)       Order Protecting Nonparty from Discovery. 74

iii.       Pretrial Order to Contribute to Discovery Fund. 75

iv.       Post-Judgment Discovery Orders. 75

b.         Appeal by Person Not a Party to An Underlying District Court Proceeding. 75

i.           General Rule: Target of Order Compelling Discovery Cannot Appeal Until Contempt Citation Issues 76

ii.         Exceptions Permitting Appeal Absent Contempt Citation  76

(a)       Discovery Order or Subpoena Directed against Third Party (Perlman Exception) 77

(1)       Examples of Orders Denying Motions to Quash Subpoenas That Are Appealable. 77

(2)       Examples of Orders Denying Motions to Quash Subpoenas That Are Not Appealable. 79

(b)       Order Directed against Head of State. 80

iii.       Appeal from Order Denying Motion to Compel 80

c.          Appeal by Person Who is a Party to a Proceeding Limited to Enforcement or Discovery. 80

i.           Discovery Order Issued as Final Judgment in Enforcement Proceeding. 80

ii.         Discovery Order Issued as Final Judgment in Discovery Proceeding. 81

13.      DISMISSAL. 82

a.          Dismissal Denied. 82

i.           Generally. 82

ii.         Denial of Immunity. 82

b.         Dismissal Granted. 83

i.           Generally. 83

ii.         Dismissal of Complaint v. Dismissal of Action. 83

iii.       Leave to Amend Complaint 84

(a)       Leave to Amend Expressly Granted. 84

(b)       Leave to Amend Expressly Denied. 84

(c)       Leave to Amend Not Expressly Granted or Denied  84

(1)       Deficiencies Appear Incurable. 85

(2)       Deficiencies Appear Curable. 85

iv.       Involuntary Dismissal 85

(a)       Dismissal with Prejudice. 85

(b)       Dismissal without Prejudice. 85

(c)       Dismissal for Failure to Prosecute. 86

v.         Voluntary Dismissal without Prejudice. 86

(a)       Appealability of Voluntary Dismissal Order 86

(b)       Impact of Voluntary Dismissal of Unresolved Claims on Appealability of Order Adjudicating Certain Claims  87

(1)       Voluntary Dismissal by Losing Party. 87

(2)       Voluntary Dismissal by Prevailing Party  88

vi.       Voluntary Dismissal with Prejudice. 89

vii.      Dismissal Subject to Condition or Modification. 89

viii.    Dismissal of Fewer Than All Claims. 89

14.      DISQUALIFICATION.. 90

a.          Disqualification of Counsel 90

b.         Disqualification of District Judge. 91

15.      IN FORMA PAUPERIS STATUS. 91

16.      IMMIGRATION.. 92

17.      IMMUNITY.. 92

a.          Generally. 92

b.         Absolute Presidential or Legislative Immunity. 93

c.          State Sovereign Immunity. 93

d.         Foreign Sovereign Immunity. 94

e.          Federal Sovereign Immunity. 94

f.          Military Service Immunity (Feres doctrine) 94

g.         Qualified Immunity of Government Employees. 95

i.           Order Denying Dismissal or Summary Judgment 95

ii.         Only Legal Determinations Subject to Review.. 95

(a)       Legal Determinations Defined. 96

(b)       Factual Determination Defined. 97

iii.       Successive Appeals from Orders Denying Immunity  97

h.         Municipal Liability. 97

i.           Immunity from Service (“Specialty Doctrine”) 98

j.           Settlement Agreement (Contractual Immunity) 98

k.         Absolute Judicial Immunity. 98

l.           Absolute Political Immunity. 98

m.       Absolute Witness Immunity. 98

n.           Tribal Sovereign Immunity. 98

18.      INJUNCTION.. 99

19.      INTERVENTION.. 99

a.          Intervention as of Right 99

i.           Order Denying Intervention Altogether 99

ii.         Order Denying Intervention in Part 99

b.         Permissive Intervention. 100

c.          Must Appeal Denial of Intervention Immediately. 100

20.      MAGISTRATE JUDGE DECISIONS (28 U.S.C. § 636(c)) 100

a.          Final Judgment by Magistrate Appealed Directly to Court of Appeals 100

b.         No Appellate Jurisdiction if Magistrate Lacked Authority. 101

c.          Parties’ Consent to Entry of Final Judgment by Magistrate. 101

21.      POST-JUDGMENT ORDERS. 102

a.          Post-Judgment Orders Generally Final 102

b.         Separate Notice of Appeal Generally Required. 103

c.          Appealability of Specific Post-Judgment Orders. 104

i.           Post-Judgment Order Granting or Denying Attorney’s Fees  104

ii.         Post-Judgment Order Granting or Denying Costs 105

iii.       Post-Judgment Order Granting or Denying New Trial 105

iv.       Post-Judgment Orders Related to Discovery. 105

v.         Post-Judgment Contempt Orders. 106

vi.       Orders Granting or Denying Fed. R. Civ. P. 60(b) Relief 106

vii.      Other Post-Judgment Orders. 106

22.      PRE-FILING REVIEW ORDER.. 107

23.      RECEIVERSHIP. 107

24.      REMAND.. 107

a.          Order Remanding to State Court 107

i.           Remand Due to Defect in Removal Procedure. 109

ii.         Remand Due to Lack of Subject Matter Jurisdiction. 109

iii.       Remand for Reasons Other than Lack of Subject Matter Jurisdiction or Defect in Removal Procedure. 111

b.         Order Remanding to Federal Agency. 113

i.           Remand to Federal Agency on Factual Grounds. 113

ii.         Remand to Federal Agency on Legal Grounds 114

c.          Order Denying Petition for Removal from State Court 115

d.         Order Denying Motion to Remand to State Court 115

25.      SANCTIONS. 115

26.      STAYS. 115

a.          Stay Granted. 116

i.           Abstention-Based Stays 116

ii.         Other Stays. 117

b.         Stay Denied. 118

27.      SUMMARY JUDGMENT. 118

a.          Order Denying Summary Judgment 118

b.         Order Granting Partial Summary Judgment 119

28.        TAKING.. 119

29.      TAX.. 120

30.      TRANSFER. 120

a.          Transfer from District Court to District Court 120

b.         Transfer from District Court to Court of Appeals 120

D.        PETITION FOR WRIT OF MANDAMUS. 120

1.         GENERALLY.. 120

2.         BAUMAN FACTORS. 121

a.          Alternative Relief Unavailable. 122

b.         Possibility of Irreparable Damage or Prejudice. 122

c.          Clear Error by District Court 123

d.         Potential for Error to Recur 123

e.          Important Question of First Impression. 123

3.         NOTICE OF APPEAL CONSTRUED AS PETITION FOR WRIT OF MANDAMUS. 124

a.          Appeal Construed as Petition for Writ of Mandamus 124

b.         Appeal Not Construed as Petition for Writ of Mandamus 125

4.         AVAILABILITY OF MANDAMUS RELIEF FROM SPECIFIC ORDERS. 125

a.          Class Certification Orders 125

i.           Fed. R. Civ. P. 23. 125

ii.         Decisions Predating Fed. R. Civ. P. 23(f) 125

b.         Contempt Orders 126

c.          Discovery Orders 126

i.           Mandamus Relief Available. 126

ii.         Mandamus Relief Not Available. 127

d.         Disqualification Orders. 127

i.           Disqualification of Judge. 127

ii.         Disqualification of Counsel 128

e.          Jury Demand Orders 128

f.          Media Access Orders. 129

g.         Remand Orders. 130

i.           Mandamus Relief Available. 130

ii.         Mandamus Relief Not Available. 130

h.         Transfer Orders. 130

i.           Other Orders 132

i.           Mandamus Relief Available. 132

ii.         Mandamus Relief Not Available. 133

III. .. TIMELINESS. 134

A.        TIME PERIOD FOR APPEAL. 134

1.         TIMELY NOTICE REQUIRED FOR JURISDICTION.. 134

2.         DEADLINE FOR FILING NOTICE OF APPEAL. 134

3.         WHETHER UNITED STATES IS A PARTY.. 135

a.          Liberal Construction of Fed. R. App. P. 4(a) 135

b.         Determining Party Status. 135

i.           Federal Official as Defendant 135

ii.         United States as Nominal Plaintiff 135

iii.       United States Dismissed Prior to Appeal 136

iv.       United States as Party in Bifurcated Proceedings. 136

v.         United States as Party to Consolidated Action. 136

vi.       Foreign Government Not Treated Like United States  136

vii.      United States Not a Party to Attorney Discipline Proceeding  136

c.          Defining Agency. 137

i.           Relevant Factors 137

ii.         Factors Applied. 137

4.         COMPUTATION OF TIME TO FILE NOTICE OF APPEAL. 137

a.          Days Counted in Determining Deadline for Filing Notice of Appeal 138

b.         Date Notice of Appeal Deemed “Filed”. 138

i.           Generally. 138

ii.         Pro Se Prisoners 139

5.         APPLICABILITY OF FED. R. APP. P. 4(a) TIME LIMITS. 140

a.          Fed. R. App. P. 4(a) Time Limits Applicable. 140

b.         Fed. R. App. P. 4(a) Time Limits Not Applicable. 141

6.       CROSS-APPEALS. 141

B.        ENTRY OF JUDGMENT. 142

1.         GENERALLY.. 142

2.       150-DAY RULE. 142

a.       Application of the 150-Day Rule. 142

3.         SEPARATE DOCUMENT REQUIREMENT. 144

a.          Document Distinct from Memorandum.. 144

i.           Fed. R. Civ. P. 58 Requirements Not Satisfied. 144

ii.         Fed. R. Civ. P. 58 Requirements Satisfied. 145

b.         Lack of Opinion or Memorandum.. 146

c.          Minute Orders 146

d.         Lack of Separate Judgment Does Not Render Appeal Premature  147

i.           Waiver of Separate Document Requirement by Appellee  147

ii.         Waiver of Separate Document Requirement by Appellant 148

iii.       Objection by Appellee to Lack of Separate Judgment 148

4.         MANNER OF ENTERING JUDGMENT. 149

5.         JUDGMENT SIGNED BY CLERK.. 149

6.         NOTICE OF ENTRY OF JUDGMENT. 149

C.        PREMATURE NOTICE OF APPEAL. 150

1.         GENERALLY.. 150

2.         NOTICE FILED BEFORE ENTRY OF JUDGMENT. 150

a.          Premature Notice Effective. 150

b.         Premature Notice Not Effective. 151

3.         REMAINING CLAIMS FINALIZED AFTER NOTICE OF APPEAL  152

a.          Compare Rule 54(b) Certification. 153

b.         Premature Notice of Appeal Cured. 153

c.          Premature Notice of Appeal Not Cured. 153

D.        EXTENSION OF TIME TO APPEAL. 154

1.         GENERALLY.. 154

a.          Extension of Time to Appeal by Court of Appeals 154

b.         Extension of Time to Appeal by District Court 154

2.         EXTENSION OF TIME TO APPEAL UNDER FED. R. APP. P. 4(a)(5) 154

a.          Timeliness of Motion for Extension. 154

b.         Form of Motion for Extension. 155

i.           Formal Motion Required. 155

ii.         When Notice Required. 155

c.          Standard for Granting Motion for Extension. 155

i.           Good Cause. 155

ii.           Excusable Neglect 156

d.         Length of Extension. 157

e.          Appealability of Extension Order 157

3.         EXTENSION OF TIME TO APPEAL UNDER FED. R. APP. P. 4(a)(6) 157

a.          Timeliness of Motion for Extension. 157

b.         Form of Motion for Extension. 158

c.          Standard for Granting Motion for Extension. 158

i.           Entitlement to Notice of Entry of Judgment 158

ii.         Failure to Receive Notice of Entry of Judgment 159

iii.       Absence of Prejudice to Any Party. 159

d.         Length of Extension. 160

e.          Appealability of Extension Order 160

4.         EXTENSION OF TIME TO APPEAL UNDER FED. R. CIV. P. 60(b) 160

a.          Timeliness of Motion for Extension. 160

b.         Factors Considered in Evaluating Motion for Extension. 161

E.         UNTIMELY FILING NOT EXCUSED BY UNIQUE CIRCUMSTANCES DOCTRINE. 161

1.         OSTERNECK STANDARD.. 162