Lewis G. ROBINSON, Plaintiff-Appellant,
v.
Thomas Jeff TANNER, Individually and in his official
capacity as Building Director of the Inspection
Services Dept. of the City of Decatur,
Alabama, Defendant-Appellee.
No. 85-7456
Non-Argument Calendar.
United States Court of Appeals,
Eleventh Circuit.
Sept. 9, 1986.
James Whitmire, Dan F. Nelson, Decatur, Ala., for defendant-appellee.
Appeal from the United States District Court for the Northern District of Alabama.
Before FAY, JOHNSON and CLARK, Circuit Judges.
PER CURIAM:
Robinson, plaintiff in this civil rights action against Tanner and other defendants, appeals from an order of the district court sanctioning him for his failure to appear at a deposition. Because we find that this court lacks jurisdiction under Rule 4, Fed.R.App.P., to hear this matter, we dismiss the appeal without deciding its merits.
During the discovery phase of this case, Robinson failed to appear at a duly noticed deposition and Tanner moved for court-imposed sanctions. Pursuant to that motion, the district court ordered Robinson to appear at the next deposition scheduled by Tanner and pay $200 attorney's fees to Tanner's attorneys for their services relating to the unsuccessful deposition. The court stated that if Robinson failed to pay this sum by July 27, 1985 or failed to appear at the next deposition, the court would "promptly entertain a motion to dismiss by defendant as a well deserved sanction." Tanner filed a notice of deposition on July 11, stating that Robinson would be deposed on August 7. On July 15, Robinson filed a notice of appeal from the June 27 sanctions order. On July 30, the court ordered Robinson to appear at the August 7 deposition and warned that sanctions, possibly dismissal, would result for failure to appear. The court also noted that Robinson's notice of appeal did not deprive that court of jurisdiction as the notice was taken from a non-appealable order.1
Subsequently, Tanner filed a motion to dismiss under Fed.R.Civ.P. 37(d) claiming that Robinson failed to appear at the August 7 deposition and failed to pay the $200 sanction. On November 20, the court dismissed the action citing the above facts as justification. No new notice of appeal was filed.
Where it appears that this court may lack jurisdiction to review an action of the district court, we are obligated to review jurisdiction before proceeding to the substance of the appeal. State Establishment for Agricultural Product Trading v. M/V Wesermunde,
I. The Portion of the Order Compelling Robinson to Appear at a Deposition is not Immediately Appealable.
In general, an order compelling discovery is interlocutory and not an appealable final order. Branca by Branca v. Security Benefit Life Insurance Co.,
Although there are exceptions to this rule,3 Robinson has failed to show, and the record does not indicate, that any apply to the present case.
II. The Portion of the Order Requiring Robinson to Pay Attorney's Fees as a Sanction is not Immediately Appealable.
Although this issue is one of first impression for this court, we agree with those circuits that have held that orders imposing sanctions for abuses of discovery4 are not appealable until after final judgment except under limited circumstances. Aurora Bancshares Corp. v. Weston,
The limited consequences under which discovery sanctions orders are immediately appealable can be ascertained by determining the applicability of the various statutory and jurisdictional exceptions to the final judgment rule. See, e.g., 28 U.S.C. Sec. 1292(a), (b); Cohen v. Beneficial Industrial Loan Corp.,
None of the above exceptions apply to the instant order as it did not involve an injunction or dismissal, Robinson is a party to the action who would be able to effectively appeal from a final judgment, and he has not alleged that paying the $200 would cause him irreparable injury. Diaz is also inapplicable as the instant case does not involve funds which might be irretrievably lost. Thus, the general rule that forbids the immediate appeal of discovery sanction orders applies.
III. The Premature Notice of Appeal was not Cured by the Subsequent Final Judgment.
Because the order was not immediately appealable, Robinson's notice of appeal was premature. There is some confusion in the case law of this circuit concerning the effect a subsequent final judgment has on a premature notice of appeal. The confusion stems from conflicting language found in Jetco Electronic Industries v. Gardiner,
In Taylor, it was held that a subsequent final judgment does not retroactively validate a premature notice of appeal. Taylor,
Other circuits have noted the apparent conflict between these cases. See, e.g., Alcorn County, Mississippi v. United States Interstate Supplies, Inc.,
Jetco and most of the cases following its rule concern premature appeals from judgments adjudicating either fewer than all the claims in the case or the rights and liabilities of fewer than all the parties. In Jetco, the notice was filed after one defendant's motion to dismiss was granted but before the court entered a later agreed upon judgment disposing of the claims against the remaining two defendants. Jetco,
Taylor, on the other hand, applies to interlocutory orders which could not be appealed under Rule 54(b) as dismissals of claims or parties. Taylor,
Thus, Jetco and Taylor themselves are not in conflict. Later cases which cite these decisions are not as easy to reconcile. Some of these cases are factually distinguishable and are read as consistent with both Jetco and Taylor. Other cases, however, misuse either Jetco or Taylor in such a way that the resultant inconsistency cannot be explained away. Insofar as later opinions conflict with either Jetco or Taylor, we simply note that one panel of this court may not overrule the decision of a prior panel. Bonner v. City of Prichard,
In Martin a notice of appeal was filed after one defendant was dismissed from the case but before the claims against the second defendant were finally decided. Martin,
The Martin decision helps to explain the result in Aeromar. Aeromar concerned a petition for appellate review of a F.A.A. decision. Aeromar,
Mesa involved two orders. The first order entered judgment against the defendant and determined damages but indicated that a separate order would set aside certain land conveyances and create a lien on certain real property. Mesa,
In Kleiner, an appeal was taken from an order sanctioning and disqualifying a party's attorneys for violating an order concerning class action notification. Kleiner,
McLaughlin is similar to Kleiner, although it reaches the opposite conclusion under the guidance of Taylor. In McLaughlin, the appellants filed a notice of appeal from a grant of summary judgment in favor of two defendants before entry of a Rule 54(b) order. McLaughlin,
Lastly, in Bank South, the notice of appeal was filed after judgment was rendered but before the attorney's fees issue was decided. Bank South,
Thus, in summary, the case law reveals the following alternatives for analyzing premature notices of appeal:
1. Jetco--A premature notice of appeal is valid if filed from an order dismissing a claim or party and followed by a subsequent final judgment without a new notice of appeal being filed.10
2. Taylor--A premature notice of appeal filed from an interlocutory order that is not immediately appealable is not cured by a subsequent final judgment.
3. Martin--A notice of appeal is not valid if filed during the pendency of a Rule 59 motion for new trial.
4. Fed.R.App.P. 4(a)(2)--A notice of appeal is valid if filed after the announcement of a decision or order but before entry of the judgment or order.
5. Kleiner/McLaughlin--Premature notice of appeal followed by final judgment and a second notice of appeal. The second notice allows the appeal of all issues unless it is untimely or the problem noted in Cole v. Tuttle,
6. Bank South--In attorney's fees cases, Jetco has been used in situations where Taylor would warrant a finding of no jurisdiction.
In the instant case, Robinson's notice of appeal was filed from an interlocutory order which was not immediately appealable. Thus, Jetco does not apply and Taylor mandates a dismissal of the appeal for lack of jurisdiction. Before doing so, however, it is noted that this court is at a distinct disadvantage when a subsequent judgment, which may cure a premature notice of appeal, is rendered during the pendency of an appeal. See Bank South,
Because we find that this court lacks jurisdiction over the appeal, it is dismissed without a decision on the merits.11
DISMISSED FOR LACK OF JURISDICTION.
Notes
Thus, the district court had jurisdiction to enter the subsequent final judgment. United States v. Hitchmon,
In Bonner v. City of Prichard,
For example, a discovery order may be appealable where it "is directed to a person who has custody of materials as to which another person may claim a privilege of non-disclosure." In re International Horizons, Inc.,
The cases cited in this section of the main text concern discovery sanctions under several of the federal rules. See Fed.R.Civ.P. 11, 30(g)(2), 37(a)(4), 37(b)(2), 37(d). Robinson was sanctioned under Rule 37(d). For the purposes of this opinion, the fact that different rules were involved in the various cases cited in the main text does not distinguish them from the instant case
Ohio v. Arthur Andersen was subsequently given a narrow reading by the Tenth Circuit in D & H Marketers, Inc. v. Freedom Oil & Gas, Inc.,
Ohio v. Arthur Andersen was explicitly rejected by at least three circuits. See In re Underwriters at Lloyd's,
The holding in Miller is not read as implying that the imposition of sanctions in a discovery order necessarily renders the order immediately appealable. The issue in Miller, not a sanctions case, was analyzed under Cohen and the court found that denial of immediate review would not render meaningful review at a later time impossible. Miller,
The irreparable injury exception is akin to the final order exception of Forgay v. Conrad,
This interpretation is consistent with the rule noted in Pitney Bowes, Inc. v. Mestre,
Insofar as the discussed distinctions may be insufficient, Kleiner and McLaughlin still would not require a difference conclusion as Jetco and Taylor, the older precedents, control until overruled by an en banc court. Bonner v. City of Prichard,
Aside from the Alcorn County decision, the Fifth Circuit has interpreted Jetco in a manner consistent with this opinion. See Davidson Oil Country Supply Co. v. Klockner, Inc.,
Robinson's "Motion to Overrule Sanctions and Dismissal Order" is denied because this court is without jurisdiction to consider it
