CONCERNED CITIZENS OF SOUTHEAST POLK SCHOOL DISTRICT and JESSMAN SMITH v. CITY DEVELOPMENT BOARD OF THE STATE OF IOWA and CITY OF PLEASANT HILL, IOWA
No. 14–1317
IN THE SUPREME COURT OF IOWA
December 11, 2015
Appeal from the Iowa District Court for Polk County, Dennis J. Stovall, Judge.
A challenge to the timeliness of appeal from an order by the district court affirming annexation of land by a city. APPEAL DISMISSED.
Thomas J. Miller, Attorney General, and Matthew Oetker, Assistant Attorney General, for appellee.
CADY, Chief Justice.
In this appeal, we must decide if the time to file a notice of appeal in an electronically filed case begins on the day the notice of filing is electronically transmitted or the day the court order from which the appeal is taken has been electronically filed. We conclude the notice of appeal from a final judgment or order of the district court must be filed within thirty days of the date the judgment or order was electronically filed, not the date of the notice of filing. We conclude the notice of appeal filed in this case was untimely. Consequently, we have no jurisdiction to consider the case and dismiss the appeal.
I. Background Facts and Proceedings.
Jessman Smith and a citizens group named Concerned Citizens of Southeast Polk School District (collectively referred to as Concerned Citizens) petitioned for judicial review of an agency action in district court. Concerned Citizens sought review of a decision by the City Development Board. The Board approved the annexation of land near Southeast Polk High School by the City of Pleasant Hill. The City annexed the land to pursue the development of an industrial warehouse. The City intervened in the proceedings.
The district court affirmed the Board’s decision. It electronically filed a written ruling with the clerk of court through the Electronic Document Management System (EDMS) of the Iowa court system on July 11, 2014. An electronic filing stamp was placed on the ruling. The filing stamp read: “E-FILED 2014 JUL 11 2:45 PM POLK - CLERK OF DISTRICT COURT.” On July 15, the electronic filing system transmitted a notice of filing. This was done after the clerk of court approved the filing, including the persons or entities designated to receive the notice. The notice was transmitted to the registered user account of each attorney representing the parties, as well as the attorney representing the intervenor. The transmitted notice stated across the top in red letters “*****IMPORTANT NOTICE – READ THIS INFORMATION ***** NOTICE OF ELECTRONIC FILING OR PRESENTATION [NEF].” The notice clearly
On August 12, Concerned Citizens filed a notice of appeal from the district court decision. It also filed a motion for extension of time to appeal. On August 18, the Board filed a motion to dismiss the appeal as untimely filed. It also filed a resistance to the motion for extension. We denied the motion for extension of time to appeal and ordered the parties brief and submit the motion to dismiss as an issue on appeal.
On appeal, Concerned Citizens claims the annexation was improper because the application was not entitled to a statutory presumption of validity and the Board refused to consider the effects of the proposed land use on the affected area. It also argues the appeal was timely filed because the time to file an appeal from the decision of the district court did not begin to run under the electronic filing process until the notice of filing was transmitted to the parties.
We conclude the appeal was not timely filed. We dismiss the appeal and do not review the other issues raised.
II. Motion to Dismiss Appeal.
When Iowa established its court system over 165 years ago, it created a clerk of court to keep all original papers filed in all court proceedings. See
The change to electronic transmission of documents in the Iowa court system has been accompanied by new rules to govern the new process. Interim rules pertaining to the use of electronic filing were adopted in January 2007 and have been periodically revised to incorporate recommendations from court users and advisory groups. These interim rules continue to govern the electronic process today and remain the governing rules pending adoption of final rules. Generally, the electronic filing rules sought to continue the court practices that governed paper filing, not to change them. See
Our rules of appellate procedure require a notice of appeal to “be filed within 30 days after the filing of the final order or judgment.”
Once a judgment, order, or decree is properly entered with the clerk, our rules have also historically required the clerk to “promptly mail or deliver notice of such entry, or copy thereof, to each party appearing, or to one of the party’s attorneys.”
The rules governing the ” ‘time for appeal are mandatory and jurisdictional.’ ” Root, 841 N.W.2d at 87 (quoting In re Marriage of Mantz, 266 N.W.2d 758, 759 (Iowa 1978)). If a deadline is missed, even by a single day, the court has no jurisdiction to hear the appeal. Mantz, 266 N.W.2d at 759. An appeal taken after the deadline must normally be dismissed. Ahls v. Sherwood/Div. of Harsco Corp., 473 N.W.2d 619, 621 (Iowa 1991). We may extend the time to file a notice of appeal only if the clerk of court failed to notify a party of the filing of the final order or judgment.
Concerned Citizens does not argue that the electronic filing rules have changed our venerable appellate rule that begins the time to file an appeal on the day the court ruling is filed. However, the interim rules define the phrase “electronic filing” as “the electronic transmission of a document to the electronic document management system together with the production and transmission of a notice of electronic filing.”
Concerned Citizens seizes on the meaning of the term “electronic filing” under interim rule 16.201 to support its claim that the appeal in this case was timely because the filing of the court ruling was not complete under the electronic rules until the notice of filing was transmitted. It also relies on rule 16.307(2) pertaining to the acts that constitute the filing of an electronic document. Because the concept of filing now includes the production and transmission of the notice of electronic filing, Concerned Citizens argues that the act of filing a court order under the new electronic filing system only begins with
In the paper world, the act of filing a court order and the notification by the clerk of the filing of that order were separate events, but events that went hand-in-hand. See
Further, the rule governing the date and time of electronic filing provides:
The notice of electronic filing will record the date and time of the filing of the document in local time for the State of Iowa. This will be the official filing date and time of the document regardless of when the filer actually transmitted the document.
It is also instructive to observe that our legislature, in defining the duties of the clerk of the district court, has declared a pleading is “considered filed when the clerk entered the date the pleading was received on the pleading.”
We observe that the interpretation urged by Concerned Citizens would create an unwanted moving target. The time to appeal a court order could change from case to case depending on the date the clerk of court completed a review of the filed order before prompting the system to transmit the notice of filing. See
Finally, we emphasize that the current practice governing appeals does not permit a delay in giving or receiving notice of the filing of a court order to affect the commencement of the time to appeal. See
III. Conclusion.
The notice of appeal in this case was untimely. The ruling was filed on July 11, 2014. The notice of appeal was not filed until August 12. The parties in the case received notice of filing of the order well within the thirty-day period to appeal. No events were identified to extend the thirty-day deadline. It is our duty to refuse to entertain an appeal not authorized by our rules. Doland v. Boone County, 376 N.W.2d 870, 876 (Iowa 1985).
APPEAL DISMISSED.
All justices concur except Mansfield and Waterman, JJ., who dissent.
Concerned Citizens v. SE Polk Sch. Dist.
#14–1317
MANSFIELD, Justice (dissenting).
I respectfully dissent from the court’s holding that this appeal is untimely.
A pleading of any description is considered filed when the clerk entered the date the pleading was received on the pleading and the pleading shall not be taken from the clerk’s office until the memorandum is made. The memorandum shall be made within two business days of a new petition or order being filed, and as soon as practicable for all other pleadings.
I agree with Concerned Citizens that this provision is fairly clear: An order is deemed filed when the clerk does a particular act—namely, enters the date of receipt. What matters is not the date on the stamp, but when the clerk does the act of stamping. By this reading, the district judge’s order was not filed until July 15, 2014—the date the clerk actually approved it for filing.
I do not believe an interim EDMS rule, promulgated by this court but not submitted to or approved by the legislative council, can alter this result. In Root v. Toney, 841 N.W.2d 83, 87–90 (Iowa 2013), we recently addressed a conflict between
And this assumes that the interim EDMS rules are clear. In my view, they are not. Part of the problem appears to be the use of the term “filing” in the interim rules to mean two different things—(1) uploading a document into the EDMS system, and (2) the clerk’s processing and approval of a document previously uploaded into the system.
The electronic transmission of a document to the electronic document management system consistent with the procedures specified in these rules, together with the production and transmission of a notice of electronic filing constitutes filing of the document.
On the other hand,
When a document is filed using the electronic document management system, the system will generate a notice of electronic filing. The notice of electronic filing will record the date and time of the filing of the document in local time for the State of Iowa. This will be the official filing date and time of the document regardless of when the filer actually transmitted the document.
To make things more complicated,
Each electronically filed document shall receive an electronic file stamp consistent with the notice of electronic filing. The file stamp shall merge with the electronic document and be visible when the document is printed and viewed on-line. Electronic documents are not officially filed without the electronic filing stamp.
Given these ambiguities in the EDMS rules, and the fact that
The court believes petitioners’ (and my) interpretation is impractical, but the court’s interpretation is not without its own practical difficulties. In the pre-electronic paper world, a glitch could arise if the clerk failed to serve the order on counsel after filing it. This could adversely affect a litigant’s time to respond to the order. But the rules at least required the clerk to serve the order “promptly.” See
Now consider what happens today if the clerk fails to process an electronic submission, as occurred here for the brief period between July 11 and July 15. To begin with, nothing in the interim EDMS rules requires such submissions to be processed “promptly” or by any specific deadline. And until the order has been processed, it is a secret nullity—even a proactive litigant cannot find out about it. Therefore, while the delay (and the resulting loss of appeal time) was only a few days here, the majority’s interpretation of the EDMS rules offers litigants no protection against delays that could seriously prejudice them. As we have said before in the context of an administrative appeal,
In the absence of a file or entry system by which the public and parties to a controversy before the board of tax review can learn of the board’s decision, due process requires the statutory appeal period begins to run when the board decision is officially made available as a public record.
Purethane, Inc. v. Iowa State Bd. of Tax Review, 498 N.W.2d 706, 709–10 (Iowa 1993) (finding that an appeal from a determination of the Iowa State Board of Tax Review filed more than thirty days after the Board’s decision was timely where the taxpayer did not receive notice of the decision until thirteen days after the order was signed and no file or entry system existed by which the taxpayer could have learned of the board’s decision at an earlier date).
My colleagues respond that if it takes the clerk a day or two to process a judge’s EDMS submission, this is no different from the day or two it used to take a copy of an order to reach a litigant in the mail. Our precedents indicate, however, that there is a difference between a copy of an already-public document being in transit in the mail and a not-yet public document floating in limbo. See id.
Additionally, while our clerks of court and their deputies work hard, they do not generally work on weekends and holidays. Thus, if a judicial officer uploads a document on a weekend or holiday, and we follow the court’s interpretation of the interim EDMS rules, the parties’ deadlines are automatically shortened. As a matter of course, such litigants would have always less than the thirty days to appeal allowed in
As noted, the interim EDMS rules were never submitted to the legislative council for approval. We should interpret ambiguous rules to avoid conflicts with other rules or statutes. See In re Marshall, 805 N.W.2d 145, 159 (Iowa 2011) (harmonizing statutes to avoid conflict). The majority’s interpretation is presumptively invalid given the resulting conflict with our appellate rule 6.101(1)(b) and given the failure to submit the rule change to the legislative council.
Our EDMS system was designed so that filing became a multiphase process that could potentially take days or even longer—consisting of uploading of the document, followed by clerk review and approval of the document, followed by publication and electronic service of the document. To my understanding the federal court EDMS does not work this way: Electronic service there occurs upon uploading of the document, resulting in only one possible filing date.1 Perhaps petitioners’ counsel in this case were influenced by prior federal experience, leading them to docket the appeal deadline based upon the date when they received electronic notification of the court’s order.
In any event, what has happened here is not an isolated occurrence. Several appellate attorneys have recently found the timeliness of their appeals to this court questioned when they took their appeal within thirty days of the date the clerk approved and electronically served the order—but not within thirty days of the date the judge uploaded it. This should tell us something. I would hesitate to jump to the conclusion that these attorneys erred. Maybe clarification is needed in our rules.
Having said all this, I would nonetheless affirm the district court’s ruling on the merits. The present case is not a close one for me. The underlying dispute involves the voluntary annexation by Pleasant Hill of four adjoining parcels of land in unincorporated Polk County. All four landowners requested annexation. Although Altoona was also within two miles of the annexed land, it consented to the annexation. The county also supported it. On the record before it, the City Development Board’s decision to approve this voluntary annexation by Pleasant Hill was neither arbitrary, unreasonable, nor without substantial supporting evidence. See
For the foregoing reasons, I respectfully dissent.
Waterman, J., joins this dissent.
Notes
According to the Electronic Case Filing Procedures Manual for the United States District Courts for the Northern and Southern Districts of Iowa: “The electronic transmission of a document to the Electronic Case Filing (“ECF“) system . . . together with the production and transmission of a Notice of Electronic Filing (“NEF“) by the ECF system, constitutes filing of the document and service of the document . . . .” N.D. & S.D. Iowa ECF Procedures Manual pt. VII. “The Clerk and the court will electronically file all court-generated documents . . . .” Id. pt. X.
When a document is filed electronically, it will be served electronically through the ECF system on all persons who have appeared in the case . . . .
When a document in a case is filed electronically, the ECF system will generate an NEF, which will be sent via e-mail . . . to the other persons who have appeared in the case . . . . Electronic service of a document is complete when an NEF for the document is produced and transmitted by the ECF system.
Id. pt. XI. “The NEF generated by the ECF system . . . . will be the official filing date and time of the document . . . .” Id. pt. XV.
