Lead Opinion
delivered the opinion of the Court.
The primary issue in this case is whether a district court order denying a motion to stay or dismiss an action when a similar suit is pending in state court is immediately appealable.
I
Petitioner Gulfstream Aerospace Corporation and respondent Mayacamas Corporation entered into a contract under which respondent agreed to purchase an aircraft manufactured by petitioner. Respondent subsequently refused to make payments due, claiming that petitioner, by increasing
Petitioner promptly moved for a stay or dismissal of the federal-court action pursuant to the doctrine of Colorado River Water Conservation Dist. v. United States,
Petitioner 'filed a notice of appeal with the United States Court of Appeals for the Ninth Circuit, alleging that the
II
Petitioner’s principal contention in this case is that the District Court’s order denying the motion to stay or dismiss the federal-court litigation is immediately appealable under § 1291. That section provides for appellate review of “final decisions” of the district courts. This Court long has stated that as a general rule a district court’s decision is appealable under this section only when the decision “ends the litigation on the merits and leaves nothing for the court to do but execute the judgment.” Catlin v. United States,
Since Cohen, we have had many occasions to revisit and refine the collateral-order exception to the final-judgment rule. We have articulated a three-pronged test to determine whether an order that does not finally resolve a litigation is nonetheless appealable under § 1291. See Coopers & Lybrand v. Livesay,
This Court held in Moses H. Cone Memorial Hospital v. Mercury Construction Corp.,
Application of the collateral-order test to an order denying a motion to stay or dismiss an action pursuant to Colorado
Petitioner argues in the alternative that the District Court’s order in this case is immediately appealable under § 1292(a)(1), which gives the courts of appeals jurisdiction of appeals from interlocutory orders granting or denying injunctions. An order by a federal court that relates only to the conduct or progress of litigation before that court ordinarily is not considered an injunction and therefore is not appeal-able under § 1292(a)(1). See Switzerland Cheese Assn., Inc. v. E. Horne’s Market, Inc.,
The line of cases we must examine to resolve this claim began some 50 years ago, when this Court decided Enelow v. New York Life Ins. Co.,
“[T]he grant or refusal of... a stay by a court of equity of proceedings at law is a grant or refusal of an injunction*280 within the meaning of [the statute. ] And, in this aspect, it makes no difference that the two cases, the suit in equity for an injunction and the action at law in which proceedings are stayed, are both pending in the same court, in view of the established distinction between ‘proceedings at law and proceedings in equity in the national courts . . . .’
“It is thus apparent that when an order or decree is made . . . requiring, or refusing to require, that an equitable defense shall first be tried, the court, exercising what is essentially an equitable jurisdiction, in effect grants or refuses an injunction restraining proceedings at law precisely as if the court had acted upon a bill of complaint in a separate suit for the same purpose.” Id., at 382-383.
The Court thus concluded that the District Court’s order was appealable under § 1292(a)(1).
In Ettelson v. Metropolitan Life Ins. Co.,
The historical analysis underlying the results in Enelow and Ettelson has bred a doctrine of curious contours. Under the Enelow-Ettelson rule, most recently restated in Balti
The parties in this case dispute whether the Enelow-Ettelson rule makes the District Court’s decision to deny a stay immediately appealable under § 1292(a)(1). Both parties agree that an action for breach of contract was an action at law prior to the merger of law and equity. They vigorously contest, however, whether the stay of an action pending the resolution of similar proceedings in a state court is equitable in the requisite sense. Petitioner relies primarily on the decision of the United States Court of Appeals for the
We decline to address the issue of appealability in these terms; indeed, the sterility of the debate between the parties illustrates the need for a more fundamental consideration of the precedents in this area. This Court long has understood that the Enelow-Ettelson rule is deficient in utility and sense. In the two cases we have decided since Ettelson relating to the rule, we criticized its perpetuation of “outmoded procedural differentiations” and its consequent tendency to produce incongruous results. Baltimore Contractors, Inc. v. Bodinger, supra, at 184; see Morgantown v. Royal Ins. Co.,
As an initial matter, the Enelow-Ettelson doctrine is, in the modern world of litigation, a total fiction. Even when the rule was announced, it was artificial. Although at that time law and equity remained two separate systems, they were administered by the same judges. When a single official was both chancellor and law judge, a stay of an action at law on equitable grounds required nothing more than an order issued by the official regulating the progress of the litigation before him, and the decision tó call this order an injunction just because it would have been an injunction in a system with separate law and equity judges had little justification. With the merger of law and equity, which was accomplished by the Federal Rules of Civil Procedure, the practice of describing these stays as injunctions lost all connection with the reality of the federal courts’ procedural system. As Judge Charles Clark, the principal draftsman of the Rules, wrote:
“[W]e lack any rationale to explain the concept of a judge enjoining himself when he merely decides upon the method he will follow in trying the case. The metamorphosis of a law judge into a hostile chancellor on the other ‘side’ of the court could not have been overclear to the lay litigant under the divided procedure; but if now without even that fictitious sea change one judge in one form of action may split his judicial self at one instant into two mutually antagonistic parts, the litigant surely will think himself in Alice’s Wonderland.”' Beaunit Mills, Inc. v. Eday Fabric Sales Corp.,124 F. 2d 563 , 565 (CA2 1942).
The Endow rule had presupposed two different systems of justice administered by separate tribunals, even if these tri
The artificiality of the Enelow-Ettelson doctrine is not merely an intellectual infelicity; the gulf between the historical procedures underlying the rule and the modern procedures of federal courts renders the rule hopelessly unworkable in operation. The decisions in Enelow and Ettelson treated as straightforward the questions whether the underlying suit, on the one hand, and the motion for a stay, on the other, would properly have been brought in a court of equity or in a court of law. Experience since the merger of law and equity, however, has shown that both questions are frequently difficult and sometimes insoluble. Suits that involve diverse claims and request diverse forms of relief often are not easily categorized as equitable or legal. As one Court of Appeals complained in handling such a suit, “Enelow-Ettelson is virtually impossible to apply to a complaint... in which the averments and prayers are a purée of legal and equitable theories and of claims that had no antecedents in the old bifurcated system.” Danford v. Schwabacher,
Most important, the Enelow-Ettelson doctrine is “divorced from any rational or coherent appeals policy.” Lee v. Ply*Gem Industries, Inc., 193 U. S. App. D. C. 112, 115,
For these reasons, the lower federal courts repeatedly have lambasted the Enelow-Ettelson doctrine. The rule has been called “a remnant from the jurisprudential attic,” Danford v. Schwabacher, supra, at 455, “an anachronism wrapped up in an atavism,” Hartford Financial Systems, Inc. v. Florida Software Services, Inc.,
Commentators have been no less scathing in their evaluations of the Enelow-Ettelson rule. Professor Moore and his collaborators have noted the difficulty of applying archaic labels to modern actions and defenses and expressed the wish that “the Supreme Court will accept the first opportunity offered to decide that the reason for the Enelow-Ettelson rule having ceased, the rule is no more.” 9 J. Moore, B. Ward, & J. Lucas, Moore’s Federal Practice ¶ 110.20[3], p. 245 (1987). Professor Wright and his collaborators have gone further, arguing that the extensive experience that the Courts of Appeals have had in attempting to rationalize and apply the rule would justify them in rejecting it. 16 C. Wright, A. Miller, E. Cooper, & E. Gressman, Federal Practice and Procedure § 3923, p. 65 (1977).
The case against perpetuation of this sterile and antiquated doctrine seems to us conclusive. We therefore overturn the cases establishing the Enelow-Ettelson rule and hold that orders granting or denying stays of “legal” proceedings on “equitable” grounds are not automatically appealable under § 1292(a)(1). This holding will not prevent interlocutory review of district court orders when such review is truly needed. Section 1292(a)(1) will, of course, continue to provide appellate jurisdiction over orders that grant or deny injunctions and orders that have the practical effect of granting
IV
Petitioner finally contends that if the order denying the motion for a stay or dismissal is not appealable, the Court of Appeals should have issued a writ of mandamus directing the
This Court repeatedly has observed that the writ of mandamus is an extraordinary remedy, to be reserved for extraordinary situations. See, e. g., Kerr v. United States District Court,
Petitioner has failed to satisfy this stringent standard.
y
The District Court’s order denying petitioner’s motion to stay or dismiss respondent’s suit because of the pendency of similar litigation in state court was not immediately appeal-able under § 1291 or § 1292(a)(1). In addition, the District Court’s order did not call for the issuance of a writ of mandamus. Accordingly, the judgment of the Court of Appeals is affirmed.
It is so ordered.
Notes
The factors to be considered in determining whether any exceptional circumstances exist include the relative comprehensiveness, convenience, and progress of the state-court and federal-court actions. See, e. g., Arizona v. San Carlos Apache Tribe,
Section 1291 provides, in pertinent part:
“The courts of appeals . . . shall have jurisdiction of appeals from all final decisions of the district courts of the United States . . . except where a direct review may be had in the Supreme Court.”
Section 1292(a)(1) provides, in pertinent part:
“[T]he courts of appeals shall have jurisdiction of appeals from:
“(1) Interlocutory orders of the district courts of the United States . . . or of the judges thereof, granting, continuing, modifying, refusing or dissolving injunctions, or refusing to dissolve or modify injunctions, except where a direct review may be had in the Supreme Court.”
The All Writs Act provides, in pertinent part:
“The Supreme Court and all courts established by Act of Congress may issue all writs necessary or appropriate in aid of their respective jurisdictions and agreeable to the usages and principles of law.”
One judge dissented from the dismissal for lack of jurisdiction. He stated that the District Court’s order was appealable under § 1292(a)(1). See
Compare
Justice Frankfurter, speaking for a unanimous Court, explained the rationale for this rule in Cobbledick v. United States,
“Since the right to a judgment from more than one court is a matter of grace and not a necessary ingredient of justice, Congress from the very beginning has, by forbidding piecemeal disposition on appeal of what for practical purposes is a single controversy, set itself against enfeebling judicial administration. Thereby is avoided the obstruction to just claims that would come from permitting the harassment and cost of a succession of separate appeals from the various rulings to which a litigation may give rise, from its initiation to entry of judgment. To be effective, judicial administration must not be leaden-footed. Its momentum would be arrested by permitting separate reviews of the component elements in a unified cause.”
Accord, Gold v. Johns-Manville Sales Corp.,
A dissenting opinion in Morgantown accused the majority of having overruled Enelow and Ettelson. See Morgantown v. Royal Ins. Co.,
The tendency of the Enelow-Ettelson rule to produce bizarre outcomes is illustrated by the decision in Travel Consultants, Inc. v. Travel Management Corp., 125 U. S. App. D. C. 108,
See, e. g., Langley v. Colonial Leasing Co. of New England,
Section 1292(b) states, in pertinent part:
“When a district judge, in making in a civil action an order not otherwise appealable under this section, shall be of the opinion that such order involves a controlling question of law as to which there is substantial ground for difference of opinion and that an immediate appeal from the order may materially advance the ultimate termination of the litigation, he shall so state in writing in such order. The Court of Appeals may thereupon, in its discretion, permit an appeal to be taken from such order . . . .”
Several Courts of Appeals have viewed Congress’ enactment of § 1292(b), which occurred after the Enelow and Ettelsow decisions, as further justification for abandoning the Enelow-Ettelson doctrine. See, e. g., Olson v. Paine, Webber, Jackson & Curtis, Inc.,
Issuance of a writ of mandamus will be appropriate in exceptional cases involving stay orders. This Court has made clear, for example, that a stay order that deprives a party of the right to trial by jury is reversible by mandamus. See Beacon Theatres, Inc. v. Westover,
Because we find that petitioner has failed to demonstrate its right to a writ of mandamus, we need not consider whether the Court of Appeals acted appropriately in declining to treat petitioner’s notice of appeal as an application for the writ. The Courts of Appeals have responded in divergent ways to requests from a party to convert a notice of appeal into a peti
Concurrence Opinion
concurring.
I join the Court’s opinion, but write separately principally to express what seems to me a necessary addition to the anal
In my view, refusing to apply the Cohen exception makes little sense in the present case because not only (1) the motion is likely to be renewed and reconsidered, but also (2) the relief will be just as effective, or nearly as effective, if accorded at a later date — that is, the harm caused during the interval between initial denial and reconsideration will not be severe. Moreover, since these two conditions will almost always be met when the asserted basis for an initial stay motion is the pendency of state proceedings, the more general conclusion that initial orders denying Colorado River motions are never immediately appealable is justified.
I note that today’s result could also be reached by application of the rule adopted by the First Circuit, that to come within the Cohen exception the issue on appeal must involve “ ‘an important and unsettled question of controlling law, not merely a question of the proper exercise of the trial court’s
