Smith v. Barry

502 U.S. 244, 112 S. Ct. 678, 116 L. Ed. 2d 678, 1992 U.S. LEXIS 372
CourtSupreme Court of the United States
DecidedJanuary 14, 1992
Docket90-7477
StatusPublished
Cited by942 cases

This text of 502 U.S. 244 (Smith v. Barry) is published on Counsel Stack Legal Research, covering Supreme Court of the United States primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Smith v. Barry, 502 U.S. 244, 112 S. Ct. 678, 116 L. Ed. 2d 678, 1992 U.S. LEXIS 372 (1992).

Opinions

Justice O’Connor

delivered the opinion of the Court.

Rule 3 of the Federal Rules of Appellate Procedure conditions federal appellate jurisdiction on the filing of a timely notice of appeal. In this case, we hold that a document intended to serve as an appellate brief may qualify as the notice of appeal required by Rule 3.

I

While an inmate at the Maryland State Penitentiary, petitioner William Smith filed a pro se action against two prison administrators, seven corrections officers, two state psychologists, and named respondent Dr. Wayne Barry, a private physician. Suing under 42 U. S. C. § 1983, Smith alleged that he suffered from a psychogenic pain disorder and that the defendants’ refusal to provide him with a wheelchair constituted cruel and unusual punishment in violation of the Eighth Amendment. Smith further alleged that the officers used excessive force against him, also in violation of the Eighth Amendment.

The District Court dismissed Dr. Barry as a defendant on the ground that he did not act under color of state law when treating Smith and therefore was not subject to suit under § 1983. App. 5-6. The case proceeded to trial in 1988, following appointment of counsel. After Smith presented his case in chief, the District Court directed a verdict for the prison administrators and officers on Smith’s wheelchair [246]*246claim, and for the administrators and three officers on his excessive force claim. The jury ultimately rejected Smith’s excessive force claim against the four remaining officers. However, it found that the staff psychologists were deliberately indifferent to Smith’s medical needs and awarded $15,000 in damages.

The two psychologists filed a timely motion for judgment notwithstanding the verdict (J. N. O. V.). Without consulting his attorney, and while the motion for J. N. O. V. was pending, Smith filed a notice of appeal. Smith’s trial counsel learned of the notice of appeal after the District Court denied the psychologists’ motion. In a letter dated April 21, 1988, he wrote Smith:

“I am certain from the circumstances that [the notice of appeal] is premature and thus void.
“... The Order denying the Motion for J. N. O. V. was entered April 13, 1988. This would give you up until May 13, 1988 before you must file an appeal. I would urge you to take by [sic] advice and not file an appeal, or at least seek a second legal opinion on the matter.” App. 17.

Smith’s notice of appeal was in fact invalid under Federal Rule of Appellate Procedure 4(a)(4), which provides that a notice of appeal filed before the disposition of a timely J. N. O. V. motion is without effect. Although the Fourth Circuit’s jurisdiction had not been properly invoked, its Clerk responded to the notice of appeal by sending all of the parties copies of the “informal brief” the court uses in pro se appeals and an order explaining the court’s procedures. The briefing forms asked the parties to answer six questions about their legal positions. Under its Rules, the Fourth Circuit reviews these responses and the record to determine whether appointment of counsel and/or oral argument are warranted. See CA4 Rule 34(b). Smith returned his infor[247]*247mal brief to the Court of Appeals on May 4,1988, within the deadline for filing a notice of appeal.

After appointment of appellate counsel, the Fourth Circuit dismissed Smith’s appeal for want of jurisdiction. It held that Smith’s notice of appeal was untimely and that his informal brief was not “the ‘functional equivalent’ ” of the notice of appeal Rule 3 requires. Smith v. Galley, 919 F. 2d 893, 895 (1990) (quoting Torres v. Oakland Scavenger Co., 487 U. S. 312, 317 (1988)). The court reasoned that Smith filed the informal brief in response to a briefing order and that the Federal Rules envision that the notice of appeal and the appellate brief will be two separate documents. 919 F. 2d, at 895-896. In a footnote, the court listed specific omissions that might render Smith’s informal brief inadequate as a notice of appeal. Id., at 896, n. 7. Given its conclusion that a brief can never be considered a notice of appeal, however, the Fourth Circuit expressed no opinion on the significance of these omissions. Ibid.

We granted certiorari, 501 U. S. 1249 (1991), to decide whether an appellate brief may serve as the notice of appeal required by Rule 3. This question has divided the Courts of Appeals. Compare Smith v. Galley, supra; United States v. Cooper, 876 F. 2d 1192, 1196 (CA5 1989) (appellate brief cannot substitute for notice of appeal); and Jurgens v. McKasy, 905 F. 2d 382, 385, n. 4 (CA Fed. 1990) (same), with Frace v. Russell, 341 F. 2d 901, 903 (CA3) (treating brief as notice of appeal), cert. denied, 382 U. S. 863 (1965); Allah v. Superior Court of California, 871 F. 2d 887, 889-890 (CA9 1989) (same); and Finch v. Vernon, 845 F. 2d 256, 259-260 (CA11 1988) (same).

II

Federal Rule of Appellate Procedure 3(a) provides, in pertinent part, that “[a]n appeal permitted by law as of right from a district court to a court of appeals shall be taken by filing a notice of appeal with the clerk of the district court within the time allowed by Rule 4.” Rule 3(c) governs the [248]*248content of notices of appeal: Notices “shall specify the party or parties taking the appeal; shall designate the judgment, order or part thereof appealed from; and shall name the court to which the appeal is taken.”

Courts will liberally construe the requirements of Rule 3. See Torres, supra, at 316; Foman v. Davis, 371 U. S. 178, 181-182 (1962). Thus, when papers are “technically at variance with the letter of [Rule 3], a court may nonetheless find that the litigant has complied with the rule if the litigant’s action is the functional equivalent of what the rule requires.” Torres, supra, at 316-317. This principle of liberal construction does not, however, excuse noncompliance with the Rule. Rule 3’s dictates are jurisdictional in nature, and their satisfaction is a prerequisite to appellate review. Torres, supra. Although courts should construe Rule 3 liberally when determining whether it has been complied with, noncompliance is fatal to an appeal.

In this case, the Court of Appeals recognized that it was required to determine whether Smith’s brief was the “functional equivalent” of the formal notice of appeal demanded by Rule 3, 919 F. 2d, at 895, but it erred in applying that standard. The court reasoned that because Smith filed his informal brief in response to a briefing order, “the document was not the result of Smith’s intent to initiate an appeal.” Id., at 895-896.

Free access — add to your briefcase to read the full text and ask questions with AI

Related

Cite This Page — Counsel Stack

Bluebook (online)
502 U.S. 244, 112 S. Ct. 678, 116 L. Ed. 2d 678, 1992 U.S. LEXIS 372, Counsel Stack Legal Research, https://law.counselstack.com/opinion/smith-v-barry-scotus-1992.