Federal Circuits, 3rd Cir. (January 27, 2004)
Docket number: 03-1555
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U.S. Court of Appeals for the 3rd Cir. - Burke v. Berks Cty Bd Prisons (3rd Cir. 2006)
U.S. Court of Appeals for the 3rd Cir. - Schulz v. USA (3rd Cir. 2005)
U.S. Court of Appeals for the 3rd Cir. - Local 259 v. Metro Auto Ctr (3rd Cir. 2007)
U.S. Court of Appeals for the 3rd Cir. - LeBoon v. Lancaster Jewish (3rd Cir. 2007)
Richard Delello (Argued), David E. Cassidy, Grotta, Glassman & Hoffman, P.A., Roseland, N.J., for Appellants.
Paul A. Montalbano (Argued), Brian E. Curtis, Cohen, Leder, Montalbano & Grossman, Kenilworth, N.Y., for Appellee.Before SLOVITER, ROTH, and CHERTOFF, Circuit Judges.OPINION OF THE COURTCHERTOFF, Circuit Judge.Rule 58 of the Federal Rules of Civil Procedure mandates that district courts set forth a judgment on a separate document, apart from any accompanying opinion. The precise definition of that requirement is important because the docketing of a judgment in correct form triggers the beginning of the time period within which an appeal must be filed. Misapprehension of Rule 58 can be jurisdictionally fatal to an appeal.The disposition of this appeal turns on precisely that jurisdictional issue. Appellant, The Okonite Company ("Okonite"), argues that Appellate Rule 4(a)'s thirty-day period to file an appeal never began to run because the District Court failed to comply with Rule 58's "separate document requirement." For the reasons set forth below, we disagree with Okonite's interpretation of Rule 58. We find that Okonite has not timely appealed the District Court's original rulings. Accordingly, we have no jurisdiction to entertain an appeal of those rulings. The only ruling properly before us is Okonite's timely appeal from the District Court's more recent judgment awarding plaintiff attorneys' fees. We will vacate that judgment and remand for further proceedings.I.In 1997, plaintiff Local 1992 of the International Brotherhood of Electrical Workers ("Local 1992") brought suit against Okonite under the Worker Adjustment Retraining and Notification Act ("WARN Act"), 29 U.S.C. 2101-09, claiming that Okonite failed to provide the sixty-day notice of a plant closing that the statute requires.1 On June 18, 1998, the District Court granted summary judgment for Local 1992 and awarded it reasonable attorneys' fees. We reversed and remanded the case for further proceedings. Local Union No.1992 v. Okonite Co., 189 F.3d 339 (3d Cir.1999).Back before the District Court, the parties renewed their cross-motions for summary judgment. The District Court denied them, and the case went to trial. After a jury returned a verdict in its favor, Local 1992 filed post-trial motions for attorneys' fees, costs, and prejudgment interest. Okonite opposed Local 1992's motions and cross-moved for judgment as a matter of law (under Federal Rule of Civil Procedure 50(b)) or, alternatively, a new trial (under Federal Rule of Civil Procedure 59).The District Court issued an opinion, dated May 7, 2002, in which it (1) denied Okonite's Rule 50 and 59 motions for judgment as a matter of law or a new trial; (2) denied Local 1992's motion for prejudgment interest; (3) granted in part and denied in part Local 1992's motion for attorneys' fees and costs;2 and (4) referred Local 1992's application for attorneys' fees and costs to a Magistrate Judge to determine the total amount of fees and costs that was reasonable. The comprehensive opinion was accompanied by a separately-captioned "order," dated May 7, 2002. The Clerk of the Court separately entered the opinion and order on the docket on May 8, 2002.3After the referral by the District Court, the Magistrate Judge issued a Report and Recommendation on September 24, 2002. She recommended that the District Court (a) award Local 1992 $51,340 in attorneys' fees for the period since July 9, 1998; and (b) deny, without prejudice, Local 1992's request for costs for failing to comply with Local Civil Rule 54.1(a). Local 1992 objected to the Magistrate Judge's Report and Recommendation on the grounds that the Magistrate Judge wrongly excluded the time Local 1992's attorneys spent working on Okonite's appeal from the initial decision granting Local 1992 summary judgment.In papers filed on October 11, 2002, Okonite opposed Local 1992's objection. In addition, also on October 11, 2002, Okonite filed a motion requesting that the District Court enter what Okonite termed three separate final judgments, pursuant to Federal Rule of Civil Procedure 58, for (1) the denial of Okonite's Rule 50 and 59 motions, (2) the denial of Local 1992's motion for prejudgment interest, and (3) the partial denial and partial grant of Local 1992's motion for attorneys' fees and costs. Okonite also urged the District Court to exercise its discretion under Rule 58 and order that Local 1992's motion for attorneys' fees "have the same effect under Rule 4(a)(4) of the Federal Rules of Appellate Procedure as a timely motion under Rule 59." Fed.R.Civ.P. 58.4On November 27, 2002?while the parties' motions were pending before the District Court and 203 days after the District Court's May 8 order?Okonite filed a notice of appeal from several of the District Court's orders from before, during, and after the trial. Okonite's principal argument in that appeal is that the District Court erred by denying its Rule 50 motion for judgment as a matter of law.Local 1992 filed a motion with this Court, arguing that we should dismiss Okonite's appeal as untimely. Local 1992 also protectively cross-appealed the District Court's denial of prejudgment interest, but acknowledged that its appeal is also untimely if we dismiss Okonite's appeal.Meanwhile, in a January 30, 2003 opinion, the District Court rejected the Magistrate Judge's recommendation to exclude the 186.3 hours Local 1992's attorneys spent working on the appeal from the initial summary judgment decision, and the Court accepted the Magistrate Judge's recommended $200 hourly attorneys' fees rate. The District Court further denied Okonite's motion for separate judgments under Rule 58 and declined to order that Local 1992's motion for attorneys' fees be treated like a Rule 59 motion for purposes of extending when the time to file a notice of appeal would begin to run. Okonite timely filed a notice of appeal from the January 30, 2003 decision on February 24, 2003.To summarize, we have before us Okonite's November 27, 2002 appeal, Local 1992's motion to dismiss the November 27, 2002 appeal, Local 1992's cross-appeal, and Okonite's February 24, 2003 appeal. Both parties agree that Okonite's appeal from the District Court's final attorneys' fees determination (decided in the January 30, 2003 decision) is properly before us, and we address it below. The primary question we must decide, however, is the timeliness of Okonite's November 27, 2002 appeal, which Okonite filed more than six months after the District Court's May 8 opinion and order. That issue underlies both Local 1992's motion to dismiss Okonite's November 27, 2002 appeal and Okonite's appeal from the District Court's January 30, 2003 order denying Okonite's motions for separate judgments and for an order extending the time for appeal.II.Federal Rule of Appellate Procedure 4(a) requires that a notice of appeal "be filed with the district clerk within thirty days after the judgment or order appealed from is entered." Fed. R.App. P. 4(a)(1)(A).5 With regard to an appeal from a jury verdict, the thirty days does not begin to run?i.e., "entry of judgment" has not occurred?until the judgment is set forth in a separate document pursuant to Federal Rule of Civil Procedure 58 and the clerk of the court enters the judgment into the civil docket pursuant to Federal Rule of Civil Procedure 79(a). See Fed. R.App. P. 4(a)(7); cf. United States v. Fiorelli, 337 F.3d 282, 286-87 (3d Cir.2003); Diamond v. McKenzie, 770 F.2d 225, 227-28 (D.C.Cir.1985).But the matter is not so simple. Certain post-trial motions?Rule 50(a) and Rule 59 motions, for example, as well as Rule 54 attorneys' fees motions "if the district court extends the time to appeal under Rule 58"?postpone the thirty-day time to appeal from a jury verdict. See Fed. R.App. P. 4(a)(4)(A). When such motions are timely filed with the district court, the thirty days begins to run upon "entry of the order disposing of the last such remaining motion." Fed. R.App. P. 4(a)(4)(A).6Here, judgment was entered from the jury's verdict on February 26, 2002, and the parties timely filed post-trial motions. Local 1992's Rule 54 motion for attorneys' fees did not toll the time for appeal, because the District Court never extended the time to appeal pursuant to Rule 58.7 Consequently, the thirty-day time to appeal began to run upon "entry of the order disposing of" the parties' remaining post-trial motions.The parties dispute when that occurred; indeed, they dispute if that occurred. As we explained above, the District Court issued its opinion rejecting the post-trial motions on May 7, 2002. The opinion was accompanied by the order (also described above), and the Clerk of the Court entered them separately in the docket on May 8, 2002. If these series of events constituted "entry of the order disposing of" the post-trial motions, then Appellate Rule 4(a)'s thirty-day period for filing a notice of appeal began on May 9, 2002 and ended June 7, 2002. See Fed. R.App. P. 26. And if the deadline for filing the appeal was June 7, 2002, then Okonite's notice of appeal, filed on November 27, 2002, was woefully untimely and we lack jurisdiction to hear the appeal.8Okonite argues, however, that entry of the order disposing of the post-trial motions never occurred. To maintain this position, Okonite seizes upon Rule 58's "separate document requirement," which provides that a judgment is effective only when "set forth on a separate document." The District Court failed to do so, Okonite contends, and Appellate Rule 4(a)'s thirty-day time period therefore never began to run.A necessary predicate to Okonite's argument is that Rule 58's separate document requirement applies to post-trial motions, and not just to the underlying verdict. The Rule's current version, which went into effect on December 1, 2002, clearly provides that it does not.9 The District Court disposed of the parties' post-trial motions in May of 2002, however, when the previous version of Rule 58 was in effect.10 The courts of appeals that have considered whether Rule 58 applied to post-trial motions prior to its December 1, 2002 amendment?and this Court is not one of them?have reached different conclusions. Compare Fiore v. Wash. County Cmty. Health Ctr., 960 F.2d 229, 232-33 (1st Cir.1992) (en banc), and United States v. Haynes, 158 F.3d 1327, 1330-31 (D.C.Cir.1998), with Copper v. City of Fargo, 184 F.3d 994, 998 (8th Cir.1999), Marre v. United States, 38 F.3d 823, 825 (5th Cir.1994), Chambers v. Am. Trans Air, Inc., 990 F.2d 317, 318 (7th Cir.1993), Wright v. Preferred Research, Inc., 937 F.2d 1556, 1560-61 (11th Cir.1991), and Hollywood v. City of Santa Maria, 886 F.2d 1228, 1230-31 (9th Cir.1989).Of course, this circuit split will eventually become academic as pre-December 1, 2002 judgments recede into the past. Fortunately, we need not take sides on this waning dispute, because we find that the District Court complied with the separate document requirement even assuming that it applied to post-trial motions before December 1, 2002.III.The separate document requirement was added to Rule 58 in 1963. The Advisory Committee's notes to the 1963 Amendment explain:Hitherto some difficulty has arisen, chiefly where the court has written an opinion or memorandum containing some apparently directive or dispositive words, e.g., `the plaintiff's motion [for summary judgment] is granted[.]'.... [W]here the opinion or memorandum has not contained all the elements of a judgment, or where the judge has later signed a formal judgment, it has become a matter of doubt whether the purported entry of judgment was effective, starting the time running for post-verdict motions and for the purpose of appeal.The amended rule eliminates these uncertainties by requiring that there be a judgment set out on a separate document ? distinct from any opinion or memorandum ? which provides the bases for the entry of judgment.Fed.R.Civ.P. 58 advisory committee's notes. In other words, the separate document requirement was "intended to avoid the inequities that were inherent when a party appealed from a document or docket entry that appeared to be a final judgment of the district court only to have the appellate court announce later that an earlier document or entry had been the judgment and dismiss the appeal as untimely." Bankers Trust Co. v. Mallis, 435 U.S. 381, 385, 98 S.Ct. 1117, 55 L.Ed.2d 357 (1978) (per curiam). As a result, Rule 58's separate document provision "must be mechanically applied in order to avoid new uncertainties as to the date on which a judgment is entered." United States v. Indrelunas, 411 U.S. 216, 222, 93 S.Ct. 1562, 36 L.Ed.2d 202 (1973).In order to satisfy the separate document requirement, a judgment must, generally speaking, "`be a self-contained document, saying who has won and what relief has been awarded, but omitting the reasons for this disposition, which should appear in the court's opinion.'" James Wm. Moore et al., Moore's Federal Practice ¶ 58.05[4][a] (3d ed.2003) (quoting Otis v. City of Chicago, 29 F.3d 1159, 1163 (7th Cir.1994)).11 Here, the District Court accompanied its eighteen-page May 8, 2002 opinion with a two-page document, denominated an "Order," that read as follows:For the reasons expressed in the accompanying written opinion,IT IS on this 7th day of May 2002,ORDERED that Defendant's motion for judgment as a matter of law or, alternatively, a new trial is denied, and it is furtherORDERED that Plaintiff's motion for prejudgment interest is denied, and it is furtherORDERED that Plaintiff's motion for attorney's fees and costs is granted in part and denied in part. To the extent the Plaintiff moves for a recalculation of fees for the period between October 16, 1996 and July 8, 1998, the motion is denied. However, to the extent that Plaintiff moves for an award of attorney's fees and costs for services performed since July 9, 1998, the motion is granted. Accordingly, the Court refers the Plaintiff's application to Magistrate Judge Arleo for a report and recommendation as to a reasonable award of fees and costs in this case.This order satisfies the separate document requirement. First, the order is self-contained and separate from the opinion. It has a separate caption; the opinion and order are not consecutively paginated (the opinion contains page numbers along the bottom of each page, while the order does not); the District Judge separately signed the last page of both the opinion and the order; the first page of both the opinion and order are separately file-stamped; and the Clerk of the Court docketed the opinion and order separately on May 8, 2002. See generally United States v. Johnson, 254 F.3d 279, 285-86 (D.C.Cir.2001).Second, the order sets forth the relief granted. It succinctly states that the District Court denied Okonite's post-trial motions for judgment as a matter of law and a new trial, denied Local 1992's motion for prejudgment interest, and granted in part (for the period prior to July 8, 1998) and denied in part (for the period after July 8, 1998) Local 1992's motion for attorneys' fees. Of course, a district court's recitation of the relief granted will vary depending on the circumstances of the particular judgment. A judgment granting a plaintiff summary judgment, for example, may have to contain any damages or injunctive relief awarded. Cf. Massey Ferguson Div. of Varity Corp. v. Gurley, 51 F.3d 102, 104-05 (7th Cir.1995). Where a court denies a post-trial motion for judgment as a matter of law or a new trial, however, simply stating that the motion is denied suffices.Third, the order omits the District Court's reasons for disposing of the parties' motions as it did. Some courts of appeals have found that including a bit of analysis does not run afoul of the separate judgment requirement. See, e.g., Kidd v. District of Columbia,Try vLex for FREE for 3 days
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