Carl West v. United States

853 F.3d 520, 97 Fed. R. Serv. 3d 884, 2017 WL 1295609, 2017 U.S. App. LEXIS 5671
CourtCourt of Appeals for the Ninth Circuit
DecidedApril 3, 2017
Docket13-16909
StatusPublished
Cited by20 cases

This text of 853 F.3d 520 (Carl West v. United States) is published on Counsel Stack Legal Research, covering Court of Appeals for the Ninth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Carl West v. United States, 853 F.3d 520, 97 Fed. R. Serv. 3d 884, 2017 WL 1295609, 2017 U.S. App. LEXIS 5671 (9th Cir. 2017).

Opinions

Partial Concurrence and Partial Dissent by Judge O’SCANNLAIN

OPINION

KOZINSKI, Circuit Judge:

We consider whether an appellant’s notice of appeal satisfied the requirements of Federal Rule of Appellate Procedure 3.

BACKGROUND

Carl West was convicted of robbery and sentenced to twenty years in prison be[522]*522cause Joe Gordwin, then an FBI agent, “manufactured and coerced” the testimony of various witnesses at West’s trial. When Gordwin’s actions were exposed, West was released and the charges against him were dropped. This appeal concerns West’s subsequent civil suit against the United States and Gordwin based on the misconduct in West’s criminal case.

West alleged thirteen causes of action and requested punitive damages against both the United States and Gordwin. The United States filed a motion to dismiss West’s complaint, addressing only West’s claims “against the United States,” not those against Gordwin. The government noted that it “d[id] not represent Defendant Joe Gordwin.” At that time, West hadn’t served Gordwin with process. In fact, after the United States filed its motion to dismiss, the district court granted West an extension of time in which to serve Gordwin under Federal Rule of Civil Procedure 4.

The district court granted the government’s motion to dismiss, but it dismissed all of West’s claims, including those against Gordwin. The district court entered judgment “in favor of defendants and against plaintiff’ the same day. Gord-win hadn’t been served yet, and West’s deadline for service hadn’t passed.

West then filed his notice of appeal (NOA). He included Gordwin and the United States in the caption and listed the district court’s order and judgment as the basis of his appeal. West didn’t otherwise identify Gordwin or the claims against him in the NOA. West did say that he was appealing “as to the Defendant United States of America.” See infra p. 524. In his opening brief, West argued that certain claims against both the United States and Gordwin were wrongfully dismissed.

DISCUSSION

Federal Rule of Appellate Procedure 3 lists the requirements for taking an appeal as of right in federal court. The appealing party must file an NOA within the time set by Rule 4. Fed. R. App. P. 3(a). The NOA must identify each appellant, Rule 3(c)(1)(A); “designate the judgment, order, or part thereof being appealed,” Rule 3(c)(1)(B); and “name the court to which the appeal is taken,” Rule 3(c)(1)(C). These requirements are jurisdictional, see Torres v. Oakland Scavenger Co., 487 U.S. 312, 317, 108 S.Ct. 2405, 101 L.Ed.2d 285 (1988), but the Rule cautions against their formalistic application: “An appeal must not be dismissed for informality of form or title of the notice of appeal, or for failure to name a party whose intent to appeal is otherwise clear from the notice.” Fed. R. App. P. 3(c)(4).

While no party has raised an issue with West’s NOA or our ability to review the district court’s dismissal of his claims, “[a] court has a duty to assure itself of its own jurisdiction, regardless of whether jurisdiction is contested by the parties.” Peterson v. Islamic Republic of Iran, 627 F.3d 1117, 1125 (9th Cir. 2010). West’s NOA faces two potential compliance issues as to his claims against Gordwin: subsections (c)(1)(A) and (c)(1)(B).

A. In Torres v. Oakland Scavenger Co., Torres was barred from appealing because his name was omitted from the NOA “due to a clerical error.” 487 U.S. at 313, 318, 108 S.Ct. 2405. The Supreme Court held that failing to identify an appellant in the NOA deprives a U.S. Court of Appeals of jurisdiction over that appellant’s case. Id. at 315-18, 108 S.Ct. 2405. The Court acknowledged that this caused a “harsh result” in Torres’s case, but it explained that specificity in naming an appellant is required by the clear text of Rule 3. See id. at 318, 108 S.Ct. 2405. But neither Rule 3 [523]*523nor Torres mentions appellees. The rule’s only subsection that requires naming the parties to the appeal states that the NOA must

specify the party or parties taking the appeal by naming each one in the caption or body of the notice, but an attorney representing more than one party may describe those parties with such terms as “all plaintiffs,” “the defendants,” “the plaintiffs A, B, et al.,” or “all defendants except X.”

Fed. R. App. P. 3(c)(1)(A) (emphasis added); see also Chathas v. Smith, 848 F.2d 93, 93 (7th Cir. 1988) (“There is no mention of appellees.... ”).

We have not addressed in a prece-dential opinion whether failing to name an appellee is a jurisdictional bar to considering an appeal against that appellee. But see Hale v. Arizona, 967 F.2d 1356, 1361 (9th Cir. 1992) (“Rule 3(c) does not require that appellees be listed, only appellants.”), reh’g en banc, 993 F.2d 1387 (9th Cir. 1993). Other circuits have held that failing to name certain appellees in an NOA doesn’t necessarily preclude an appeal against those appellees. See, e.g., Longmire v. Guste, 921 F.2d 620, 622 (5th Cir. 1991) (per curiam) (holding that appellant’s failure to name appellee wasn’t a jurisdictional bar to review); Battle v. District of Columbia, 854 F.2d 1448, 1450 (D.C. Cir. 1988) (per curiam) (noting the same); cf. Chathas, 848 F.2d at 94 (finding omission of appellee’s name to be harmless error). The Fifth Circuit held that “[t]he jurisdictional prerequisite of [Rule] 3(c) only requires naming with specificity the appellants taking the appeal and not the appellees against whom the appeal is being taken.” Longmire, 921 F.2d at 622. No circuit has reached a contrary conclusion.

Consistent with other circuits and the plain language of the rule, we hold that failing to name an appellee in an NOA is not a bar to an appeal. Therefore, any ambiguity about the identity of the appel-lees in West’s NOA doesn’t preclude our review of West’s claims against Gordwin.

B. The Supreme Court has also told us that “courts should construe Rule 3 liberally when determining whether it has been complied with.” Smith v. Barry, 502 U.S. 244, 248, 112 S.Ct. 678, 116 L.Ed.2d 678 (1992).

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853 F.3d 520, 97 Fed. R. Serv. 3d 884, 2017 WL 1295609, 2017 U.S. App. LEXIS 5671, Counsel Stack Legal Research, https://law.counselstack.com/opinion/carl-west-v-united-states-ca9-2017.