Smith v. Barry

CourtUnited States Supreme Court
Citation502 U.S. 244,116 L.Ed.2d 678,112 S.Ct. 678
Docket NumberNo. 90-7477,90-7477
PartiesWilliam Lewis SMITH, Petitioner v. Wayne S. BARRY et al
Decision Date14 January 1992
Syllabus

Rule 3 of the Federal Rules of Appellate Procedure conditions federal appellate jurisdiction on the filing of a timely notice of appeal. In response to petitioner Smith's filing of a premature, and therefore invalid, notice of appeal in his action for damages against state officials under 42 U.S.C. § 1983, the Fourth Circuit's Clerk sent the parties copies of the "informal brief" that that court uses in pro se appeals and an explanatory order. Smith returned his informal brief within the deadline for filing a notice of appeal, but the Court of Appeals dismissed the appeal for want of jurisdiction, concluding, inter alia, that a brief can never be considered a notice of appeal.

Held: A document intended to serve as an appellate brief may qualify as the notice of appeal required by Rule 3. So long as such a document is filed within the time allowed by Rule 4 for a notice of appeal and satisfies Rule 3(c)'s requirements as to the content of such a notice, it may be treated as the "functional equivalent" of the formal notice demanded by Rule 3. Torres v. Oakland Scavenger Co., 487 U.S. 312, 317, 108 S.Ct. 2405, 2409, 101 L.Ed.2d 285. The fact that Smith filed his informal brief in response to a briefing order is irrelevant, since it is the notice afforded by a document, not the litigant's motivation in filing it, that determines the document's sufficiency as a notice of appeal. Moreover, the fact that the Rules envision that the notice of appeal and the appellant's brief will be two separate filings does not preclude an appellate court from treating the brief as a notice of appeal in the appropriate circumstances. Rule 3(c) requires that an appeal not be dismissed for informality of form or title of the notice of appeal, and proper briefing is not a jurisdictional requirement under the Rules. The fact that Smith filed his brief with the Court of Appeals, rather than the District Court as required by Rule 3(a), is also irrelevant, since Rule 4(a)(1) sets out procedures to be followed when the notice of appeal is mistakenly filed with an appellate court. On remand, the Court of Appeals should determine whether Smith's brief contains the information required for a notice of appeal by Rule 3(c). Pp. 247-250.

919 F.2d 893 (CA4 1990), reversed and remanded.

O'CONNOR, J., delivered the opinion of the Court, in which REHNQUIST, C.J., and WHITE, BLACKMUN, STEVENS, KENNEDY, SOUTER, and THOMAS JJ., joined. SCALIA, J., filed an opinion concurring in the judgment.

Steven H. Goldblatt, for petitioner.

David H. Bamberger, for respondents.

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 claim, 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 Fed.Proc. Rules Service, Court of Appeals, Fourth Circuit, Rule 34(b). Smith returned his infor- mal 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, 108 S.Ct. 2405, 2409, 101 L.Ed.2d 285 (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. ----, 111 S.Ct. 2886, 115 L.Ed.2d 1051 (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); 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, 86 S.Ct. 127, 15 L.Ed.2d 101 (1965); Allah v. Superior Court of State of California, 871 F.2d 887, 889-890 (CA9 1989) (same); 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 content 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, 487 U.S., at 316, 108 S.Ct., at 2408; Foman v. Davis, 371 U.S. 178, 181-182, 83 S.Ct. 227, 229-230, 9 L.Ed.2d 222 (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, 487 U.S., at 316-317, 108 S.Ct., at 2408-2409. This principle of liberal construction does not, however, excuse compliance 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. This logic is dubious, since Smith received the briefing form as a result of filing a notice of appeal, albeit a premature one.

More importantly, the court should not have relied on Smith's reasons for filing the brief. While a notice of appeal must specifically indicate the litigant's intent to seek appellate review, see Foman, supra, 371...

To continue reading

Request your trial
664 cases
  • Houck v. Lifestore Bank Substitute Tr. Servs., Inc., DOCKET NO. 5:18–cv–00022–MOC
    • United States
    • United States District Courts. 4th Circuit. Western District of North Carolina
    • 8 Febrero 2018
    ...to liberally construe an appellant's documents when determining compliance with the provisions of FRAP 3, Smith v. Barry, 502 U.S. 244, 248, 112 S.Ct. 678, 116 L.Ed.2d 678 (1992) (citing Torres v. Oakland Scavenger Co., 487 U.S. 312, 316, 108 S.Ct. 2405, 101 L.Ed.2d 285 (1988) ; Foman v. Da......
  • Denunzio v. Ivy Holdings, Inc. (In re E. Orange Gen. Hosp., Inc.), Civ. No. 17–1595
    • United States
    • United States District Courts. 3th Circuit. United States District Courts. 3th Circuit. District of New Jersey
    • 28 Junio 2018
    ...3 are construed liberally. Witasick v. Minnesota Mut. Life Ins. Co. , 803 F.3d 184, 190 (3d Cir. 2015) (citing Smith v. Barry , 502 U.S. 244, 112 S.Ct. 678, 116 L.Ed.2d 678 (1992) ).The purpose ‘of a notice of appeal, of course, is to notify the court of appeals and the opposing party that ......
  • Gonzalez v. Thaler
    • United States
    • United States Supreme Court
    • 10 Enero 2012
    ...court to which the appeal is taken." We have held that " Rule 3's dictates are jurisdictional in nature." Smith v. Barry, 502 U.S. 244, 248, 112 S.Ct. 678, 116 L.Ed.2d 678 (1992).We reject this analogy. We construed the content requirements for notices of appeal as jurisdictional because we......
  • U.S. v. Michelle's Lounge, 92-3235
    • United States
    • United States Courts of Appeals. United States Court of Appeals (7th Circuit)
    • 27 Octubre 1994
    ...with the rule if the litigant's action is the functional equivalent of what the rule requires.' " Smith v. Barry, 502 U.S. 244, ----, 112 S.Ct. 678, 682, 116 L.Ed.2d 678 (1992) (quoting Torres, 487 U.S. at 316-17, 108 S.Ct. at 2408-09); see also Badger Pharmacal, Inc. v. Colgate-Palmolive C......
  • Request a trial to view additional results
1 books & journal articles
  • Review Proceedings
    • United States
    • Georgetown Law Journal No. 110-Annual Review, August 2022
    • 1 Agosto 2022
    ...required by Rule 3 of the Federal Rules of Appellate Procedure only for the issues the appellant intends to appeal. See Smith v. Barry, 502 U.S. 244, 247-49 (1992) (defendant’s appellate brief was proper notice of appeal under Rule 3 despite being prematurely f‌iled); see also FED.R. APP. P......

VLEX uses login cookies to provide you with a better browsing experience. If you click on 'Accept' or continue browsing this site we consider that you accept our cookie policy. ACCEPT