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Electronically Filed
Supreme Court
SCWC-28669
09-MAY-2012
09:48 AM
IN THE SUPREME COURT OF THE STATE OF HAWAI#I
---o0o---
JASON LANAKILA CABRAL; the Estate of JOSEPH PU KAIKALA; LYNDA
EVADNA KAIKALA, individually, as Special Administratrix of the
Estate of Shawn Kaikala, and as Guardian Ad Litem for minors:
SHANTEL KAIUOLA CABRAL, and IOKEPA JOHN KAIKALA; JOHN E. KRAUSE,
individually and as Guardian Ad Litem for minors: KAHEKILI JOHN
KRAUSE, KEANU KAIKALA KRAUSE, and KAWENA KAIKALA KRAUSE,
Petitioners/Plaintiffs-Appellants,
and
MARK KALE CABRAL, Plaintiff-Appellant,
vs.
STATE OF HAWAI#I,
Respondent/Defendant/Cross-Claim Plaintiff/Cross-Claim
Defendant/Appellee,
and
JONI MARIE SCOTT,
Defendant/Cross-Claim Defendant/Cross-Claim Plaintiff.
NO. SCWC-28669
CERTIORARI TO THE INTERMEDIATE COURT OF APPEALS
(ICA NO. 28669; CIV. NO. 01-1-0449)
MAY 9, 2012
RECKTENWALD, C.J., NAKAYAMA, ACOBA, DUFFY, AND MCKENNA, JJ.
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OPINION OF THE COURT BY DUFFY, J.
Petitioners/Plaintiffs-Appellants Jason Lanakila
Cabral; Estate of Joseph Pu Kaikala; Lynda Evadna Kaikala,
Special Administratrix of the Estate of Shawn Kaikala and GAL for
Minors Shantel Kaiuola Cabral, Mark Kale Cabral1 and Iokepa John
Kaikala; John E. Krause, individually and as GAL for Minors
Kahekili John Krause, Keanu Kaikala Krause, and Kawena Kaikala
Krause (Collectively, Petitioners) filed a timely application for
writ of certiorari (Application), urging this court to review the
Intermediate Court of Appeals’ (ICA) August 11, 2011 judgment on
appeal in support of its July 28, 2011 Opinion, which dismissed
Petitioners’ appeal for lack of jurisdiction. We accepted the
Application on December 5, 2011. Oral argument was held on
March 15, 2012.
Petitioners’ Application presents the following
questions:
A. DID THE HAWAII INTERMEDIATE COURT OF APPEALS COMMIT
GRAVE ERROR WHEN IT DISMISSED AN APPEAL FOR LACK OF
JURISDICTION DESPITE PETITIONERS’ REASONABLE RELIANCE ON A
COURT ORDER EXTENDING TIME TO NOTICE APPEAL UNDER HRAP RULE
4(a)(4)(A)?
B. SHOULD THIS COURT, AS THE DISSENT PROPOSES, APPLY THE
1
On November 11, 2011, Petitioners’ counsel submitted a notice to
this court explaining that although Mark Kale Cabral is listed as a Petitioner
in the caption to the Application, she withdrew from representing him on
November 23, 2007. Thus, Mark Kale Cabral is not a Petitioner in the instant
appeal.
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DOCTRINE OF UNIQUE CIRCUMSTANCES TO THIS CASE, SINCE
PETITIONERS REASONABLY RELIED UPON THE COURT’S ORDER
EXTENDING TIME TO NOTICE APPEAL UNDER HRAP RULE 4(a)4(A)?
C. ALTERNATIVELY, SHOULD THIS COURT FIND THAT RELYING ON AN
INVALID ORDER EXTENDING TIME DURING THE INITIAL 30-DAY
PERIOD IS EXCUSABLE NEGLECT, AND UPHOLD THE SECOND EXTENSION
UNDER HRAP RULE 4(a)(4)(B)?
(Emphases in original.)
Based upon the specific, unique factual circumstances
of this case, we hold that the ICA erred by concluding that it
did not have jurisdiction to hear Petitioners’ appeal. As
discussed herein, Petitioners in this case relied on a trial
court’s order that: (1) was issued prior to the expiration of the
30-day jurisdictional time limit for filing a notice of appeal;
(2) extended the time to file a notice of appeal; and (3) was
later deemed invalid. Under these circumstances, we may excuse
Petitioners’ otherwise untimely notice of appeal. Accordingly,
we vacate the ICA’s dismissal of Petitioners’ appeal for lack of
jurisdiction, and remand the case for consideration on the
merits.
I. BACKGROUND
This case arises from a July 20, 2000 fatal car
accident that occurred on Highway 11 in the County of Hawai#i,
which resulted in the death of Shawn Kaikala (Decedent).
Decedent’s vehicle was struck by a vehicle driven by Joni Marie
Scott (Scott). On October 16, 2001, Petitioners filed a civil
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complaint against Scott and Respondent/Defendant-Appellee State
of Hawai#i (Respondent or State), asserting claims for negligence
and wrongful death.2 Petitioners settled their claims against
Scott prior to the commencement of trial.
A seven-day bench trial began on July 10, 2006. On
November 1, 2006, the Circuit Court of the Third Circuit (circuit
court) entered its Findings of Fact and Conclusions of Law,
concluding that Petitioners failed to prove by a preponderance of
the evidence that the State was negligent in the “design,
construction or maintenance” of Highway 11.3 The legal cause of
the accident and resultant death of Decedent was attributed
solely to the negligence of Scott. On April 20, 2007, the
circuit court entered judgment in favor of the State and against
Petitioners.
A. Unique Factual Circumstances
Ordinarily, and under Hawai#i Rules of Appellate
Procedure (HRAP) Rule 4(a)(1),4 Petitioners would have had until
May 21, 2007 -- 30 days from the circuit court’s April 20, 2007
2
Petitioners consist of Decedent’s boyfriend and family members,
including her minor children.
3
The Honorable Glenn S. Hara presided.
4
At the time of the circuit court’s judgment, as it does now, HRAP
Rule 4(a)(1) provided, in part, “[w]hen a civil appeal is permitted by law,
the notice of appeal shall be filed within 30 days after entry of the judgment
or appealable order.” HRAP Rule 4(a)(1) (2006).
4
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entry of judgment -- to file a timely notice of appeal.5 At the
time relevant to Petitioners’ appeal, as it does now, however,
HRAP Rule 4(a)(3) provided that “[i]f any party files a timely
motion . . . to reconsider, . . . the time for filing the notice
of appeal is extended until 30 days after entry of an order
disposing of the motion[.]” HRAP Rule 4(a)(3) (2006). In this
case, Petitioners filed a motion for reconsideration on April 30,
2007, which was subsequently denied on June 7, 2007. Thus,
Petitioners had 30 days from June 7, 2007 -- the date on which
the circuit court filed its order denying Petitioners’ motion for
reconsideration -- to file a timely notice of appeal. The 30-day
deadline was July 7, 2007, but because it was a Saturday,
Petitioners’ deadline to file a notice of appeal became the
following Monday, July 9, 2007. See HRAP Rule 26(a)(2000). HRAP
Rule 4(a)(4)(A) further provides that upon a request for an
extension of time made prior to the expiration of the 30-day time
period from the court’s disposal of a motion for reconsideration,
[t]he court or agency appealed from, upon a showing of good
cause, may extend the time for filing a notice of appeal
upon motion filed within the time prescribed by subsections
(a)(1) and (a)(3) of this rule. However, no such extension
shall exceed 30 days past such prescribed time. . . . .
5
Because 30 days from the circuit court’s April 20, 2007 judgment
was Sunday, the 30-day period “extend[ed] until the end of the next day that
[was] not a Saturday, Sunday, or a legal holiday[,]” which happened to be
Monday, May 21, 2007 in this case. HRAP Rule 26(a) (2000).
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HRAP Rule 4(a)(4)(A) (2006) (emphases added).
Three days before Petitioners’ July 9, 2007 deadline,
the parties submitted a written stipulation to extend time to
file notice of appeal (Stipulation). Although HRAP Rule
4(a)(4)(A) specifies that a request for an extension of time may
be granted upon motion, and upon a showing of good cause,
Petitioners made their request via the Stipulation signed by both
counsel for the parties, and neglected to state the underlying
basis or need for the extension of time. Despite Petitioners’
non-compliance with HRAP Rule 4(a)(4)(A), the circuit court
“approved and so ordered” the Stipulation which extended
Petitioners’ deadline to file a notice of appeal to July 23,
2007.
In an ex-parte motion dated July 18, 2007 (Ex-Parte
Motion), Petitioners requested another extension to file their
notice of appeal by September 19, 2007. The declaration attached
to the Ex-Parte Motion stated the need for another extension: the
parties were involved in settlement negotiations and a hearing on
a motion to withdraw from representation of one of the Plaintiffs
was pending and scheduled for hearing on September 5, 2007. The
circuit court did not rule on the Ex-Parte Motion by July 23,
2007, and Petitioners, aware of the circuit court’s
(presumptively valid) July 23, 2007 extended deadline, filed
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their notice of appeal on that day.
The Ex-Parte Motion, although dated July 18, 2007, was
not filed and granted until September 7, 2007. The Ex-Parte
Motion was granted on the basis of “good cause,” and Petitioners’
deadline to file their notice of appeal was extended by the court
to August 8, 2007.6 By the time the circuit court granted the Ex-
Parte Motion, however, Petitioners had already filed their notice
of appeal.
Significantly, the above facts reveal that Petitioners’
notice of appeal was filed based on reliance on the circuit
court’s order extending the deadline to July 23, 2007. Notably,
the record shows that Petitioners were cognizant of the deadlines
for appeal in this case: (1) Petitioners requested an extension
three days prior to the expiration of the original July 9, 2007
deadline; and (2) when the circuit court had not ruled on the Ex-
Parte Motion (seeking another extension) by July 23, 2007 -- the
date of the presumptively valid extended deadline -- Petitioners
filed what they assumed to be a timely notice of appeal on that
date. Thus, had the circuit court not “approved and so ordered”
the Stipulation extending Petitioners’ deadline to July 23, 2007,
Petitioners could have, and likely would have, filed their notice
6
The deadline in the circuit court’s order granting the Ex-Parte
Motion was scratched out and amended by hand to reflect a deadline of August
8, 2007.
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of appeal within the original June 9, 2007 deadline.
B. Appeal to the ICA
Petitioners filed their opening brief with the ICA on
March 14, 2008, challenging the circuit court’s findings of fact
and conclusions of law regarding the underlying tort claim.
Although the State did not challenge the Petitioners’ statement
regarding appellate jurisdiction, the ICA sua sponte raised the
issue of jurisdiction and requested supplemental briefings. Both
parties filed the requested supplemental briefs.
In their supplemental brief, the Petitioners argued
that the circuit court’s order extending the deadline to file a
notice of appeal to July 23, 2007 was entitled to great
deference. Petitioners argued that their notice of appeal was
filed in reliance of the extended July 23, 2007 deadline -- the
date on which they filed what was assumed to be a timely notice
of appeal. Petitioners further contended that any untimeliness
of their notice of appeal was cured by the circuit court’s
September 7, 2007 order granting the Ex-Parte Motion, which
extended the deadline to notice the appeal to August 8, 2007.
In its supplemental brief, Respondent argued that the
ICA did not have jurisdiction to hear Petitioners’ appeal.
Respondent admitted that while it stipulated to the extended July
23, 2007 deadline, the present issue was a matter of
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jurisdiction, which “can neither be agreed to nor waived by the
parties.” Respondent argued that the Stipulation to extend the
filing deadline was improperly granted because Petitioners
neglected to state any justification for the extension of time,
and thus, did not show “good cause.” Respondent also argued that
the circuit court’s September 7, 2007 order granting Plaintiffs’
Ex-Parte Motion could not have cured an untimely notice of
appeal. Respondent argued that the Ex-Parte Motion was granted
under the inapplicable standard of “good cause,” and that under
the appropriate “excusable neglect” standard, Petitioners could
not have prevailed.
In an Opinion dated July 28, 2011, the majority of the
ICA (Judges Fujise and Leonard) agreed with Respondent and
concluded that it did not have jurisdiction to hear the appeal.
See generally Cabral v. State, No. 28669 2011 WL 3250567, at *2-
*5 (Op. 2011). The ICA held that absent a finding of “good
cause,” it was improper for the circuit court to grant the
Stipulation extending Petitioners’ deadline to file a notice of
appeal to July 23, 2007. Id. at *2-*4. Thus, the ICA considered
July 9, 2007 as Petitioners’ deadline to file the notice of
appeal, and Petitioners’ subsequent notice of appeal filed on
July 23, 2007 was thus untimely.
The ICA majority further concluded that Petitioners’
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Ex-Parte Motion was improperly granted because: (1) the circuit
court erroneously applied the standard of “good cause” rather
than “excusable neglect[;]” and (2) under the proper standard,
excusable neglect could not be found where the Ex-Parte Motion
was based on “the continued efforts at settlement and a pending
motion to withdraw.” Id. at *4. Petitioners’ appeal was
dismissed for lack of appellate jurisdiction. Id. at *5.
In his dissent, Chief Judge Nakamura agreed that the
circuit court erroneously approved the Stipulation without a
finding of good cause. Id. (Nakamura, J., dissenting). The
dissent, however, citing case law from the United States Supreme
Court, stated that
in the limited circumstances presented here -- where (1) an
appellant seeks and obtains a court order extending the
filing deadline before the expiration of the [filing]
deadline; (2) the appellant files the notice of appeal in
compliance with the court’s order; and (3) there is no
showing that the extension prejudiced the appellee -- I
would recognize an equitable exception to the strict
enforcement of time limits for filing a notice of appeal.
Id. (emphasis in original). The dissent emphasized that it was
reasonable for Petitioners to rely on the circuit court’s order
issued prior to the original deadline, which extended
Petitioners’ time to file a notice of appeal to July 23, 2007:
The appellate court “require[s] and expect[s] parties to comply
with court orders. [The appellate court] should permit them to
rely on court orders in determining whether the time for filing a
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notice of appeal has expired.” Id. at *6. The dissent noted
that had the circuit court denied the Stipulation, Petitioners
could have, and presumably would have, filed a notice of appeal
before the expiration of the original July 9, 2007 deadline. Id.
at *7.
II. STANDARD OF REVIEW
A Trial Court’s Interpretation of The Rules Governing the
Extension of Time
Although a trial court’s decision to grant an extension
of time to file a notice of a appeal is reviewed under an abuse
of discretion standard, its interpretation of the rules governing
such extensions is reviewed de novo. Hall v. Hall, 95 Hawai#i
318, 318-19, 22 P.3d 965, 965-66 (2001).
III. DISCUSSION
Petitioners contend that their appeal was timely filed
and that the case should be decided on its merits because: (1)
the circuit court’s July 6, 2007 order extending the deadline to
file a notice of appeal to July 23, 2007 was valid; and (2)
Petitioners’ notice of appeal was filed on that date.
Petitioners alternatively contend that any defect regarding the
July 23, 2007 deadline entitles them to equitable relief under
the “unique circumstances” doctrine. We hold that, although the
order extending the deadline was not valid, the circumstances of
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this case warrant application of the equitable “unique
circumstances” doctrine as an exception to the strict enforcement
of the procedural requirements for extending the time to file a
notice of appeal.
A. The Circuit Court Erred In Approving The Stipulation And
Extending The Deadline To File A Notice Of Appeal.
As discussed earlier herein, HRAP Rule 4 governs the
procedure for appeals taken in civil cases.7 At the time the
circuit court’s judgment was entered, HRAP Rule 4(a)(1) provided,
in part, “[w]hen a civil appeal is permitted by law, the notice
of appeal shall be filed within 30 days after entry of the
judgment or appealable order.” HRAP Rule 4(a)(1) (2006).
Pursuant to HRAP Rule 4(a)(3), however, the filing of a notice of
appeal may be extended until 30 days after the disposal of a
timely motion for reconsideration. HRAP Rule 4(a)(3) (2006). If
a request for an extension of time is made prior to the
expiration of the 30-day prescribed time period,
[t]he court or agency appealed from, upon a showing of good
cause, may extend the time for filing a notice of appeal
upon motion filed within the time prescribed by subsections
(a)(1) and (a)(3) of this rule. However, no such extension
shall exceed 30 days past such prescribed time. . . .
HRAP Rule 4(a)(4)(A) (2006) (emphases added).
7
The version of the HRAP Rules effective as of July 1, 2006 is
applicable to the instant case.
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Here, the circuit court’s April 20, 2007 judgment in
favor of Respondent and dismissing all other claims, constituted
an appealable final judgment. See Jenkins v. Cades Schutte
Fleming & Wright, 76 Hawai#i 115, 119-20, 869 P.2d 1334, 1338-39
(1994). Pursuant to Hawai#i Rules of Civil Procedure (HRCP) Rule
59(e)8, Petitioners filed a timely motion for reconsideration on
April 30, 2007, which was subsequently denied on June 7, 2007.
Thus, Petitioners’ deadline to file a notice of appeal became
July 7, 2007 -- 30 days from the denial of the motion for
reconsideration. HRAP Rule 4(a)(3) (2006). Because July 7, 2007
was a Saturday, however, the deadline to notice the appeal
expired on Monday, July 9, 2007.9 See HRAP Rule 26(a).
As noted earlier herein, three days prior to the
expiration of the July 9, 2007 deadline, the parties submitted
the Stipulation to obtain an extension of time. On the same day,
the circuit court “approved and so ordered” the Stipulation,
which purported to extend the filing deadline to July 23, 2007.
Petitioners filed their notice of appeal on July 23, 2007. Thus,
8
At the time of the circuit court’s judgment, as it does now, HRCP
Rule 59(e) stated: “Any motion to alter or amend judgment shall be filed no
later than 10 days after entry of the judgment.” HRCP Rule 59(e) (2000).
9
It appears that the ICA majority neglected to consider HRAP Rule
26(a) because it deemed Saturday, July 7, 2007 as Petitioners’ deadline to
file a notice of appeal. See Cabral 2011 WL 3250567, at *2.
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it is clear that Petitioners’ notice of appeal was timely filed
if the circuit court properly “approved and so ordered” the
extended July 23, 2007 deadline.
Although Petitioners argue that no rule or case law in
this jurisdiction expressly prohibits parties from using a
stipulation to request an extension of time, HRAP Rule 4 states
the requirements for obtaining such an extension. We agree with
the ICA that HRAP Rule 4(a)(4)(A) clearly states that the court
may extend the time for filing a notice of appeal upon motion,
and upon a finding of good cause.
Here, Petitioners filed a stipulation, rather than a
motion as required by HRAP Rule 4(a)(4)(A), when they sought an
extension of time to file their notice of appeal. In its
entirety, the Stipulation read as follows:
Plaintiffs, above-named, by and through their attorney, JOY
A. SAN BUENAVENTURA; and the State of Hawaii, by and through
its attorney, Deputy Attorney General ROBIN KISHI hereby
stipulate to the extension of time to file a notice of
appeal of two weeks.
There was no mention of any grounds for the extension, much less
one demonstrating “good cause,” and the court order extending the
time for filing the notice of appeal did not include a finding of
good cause. Accordingly, the circuit court erred when it ordered
the extended July 23, 2007 deadline.
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B. Petitioners’ Appeal Should Be Decided On The Merits.
Under the specific, unique factual circumstances of
this case, Petitioners urge us to adopt the “unique
circumstances” doctrine to excuse their untimely notice of
appeal. Petitioners contend that they should not be penalized
for their reliance on the circuit court’s order extending the
deadline to file a notice of appeal to July 23, 2007:
The July 6, 2007 order was granted 3 days before the appeal
expired;[] and thus, had the stipulated order been denied,
Petitioners would have had an opportunity to file a notice
of appeal within the time period granted by this order.
We agree.
1. We apply the equitable “unique circumstances” doctrine
to the specific, unique factual circumstances of the
present case
The United States Supreme Court previously recognized
the “unique circumstances” doctrine as an equitable exception to
a time limit for filing a notice of appeal under federal law.
See Harris Truck Lines, Inc. v. Cherry Meat Packers, Inc., 371
U.S. 215 (1962); see also Thompson v. Immigration &
Naturalization Serv., 375 U.S. 384 (1964). In Harris, the
appellant requested an extension of time prior to the expiration
of an original 30-day deadline to file a notice of appeal.
Harris, 371 U.S. at 216. The need for an extended deadline was
due to “trial counsel’s inability to contact the general counsel
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in order to ask whether to appeal[.]” Id. The trial court
granted the two week extension, and appellant thereafter filed
its notice of appeal after the expiration of the original
deadline, but within the extended deadline. Id. The Court of
Appeals dismissed the appeal for lack of jurisdiction. It held
that appellant’s notice of appeal was untimely because it had not
shown “excusable neglect,” which was required by the applicable
rule to extend the time for appeal. Id. The Supreme Court
reversed the Court of Appeals and held as follows:
In view of the obvious great hardship to a party who relies
upon the trial court’s finding of ‘excusable neglect’ prior
to the expiration of the 30-day period and then suffers a
reversal of the finding, it should be given great deference
by the reviewing court. Whatever the proper result as an
initial matter on the facts here, the record contains a
showing of unique circumstances sufficient that the Court of
Appeals ought not to have disturbed the motion judge’s
ruling.
Id. at 217. The dismissal was reversed and the case was remanded
with instructions that it be heard on its merits. Id.
Similarly, in Thompson, the appellant served his post-
trial motions, including a motion for a new trial, two days late.
375 U.S. at 384-85. These motions were ultimately denied, but
the trial court declared the motions timely. Id. at 385.
Appellant, relying on the assurance that his motions were made
“in ample time,” filed his notice of appeal within the prescribed
time from the denial of his post-trial motions, but not before
the expiration of time from the original entry of judgment. Id.
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The Court of Appeals dismissed the appeal because it was not
filed within the time limits as required under the applicable
rules. Id.
The Supreme Court vacated the Court of Appeals’
judgment and remanded the case to be heard on the merits:
The instant cause fits squarely within the letter and spirit
of Harris. Here, as there, petitioner did an act, which, if
properly done, postponed the deadline for the filing of his
appeal. Here, as there, the District Court concluded that
the act had been properly done. Here, as there, the
petitioner relied on the statement of the District Court and
filed the appeal within the assumedly new deadline but
beyond the old deadline. And here, as there, the Court of
Appeals concluded that the District Court had erred and
dismissed the appeal.
Id. at 387.
In a recent five to four majority opinion by Justice
Thomas, the United States Supreme Court overruled the use of the
“unique circumstances” doctrine to excuse untimely notices of
appeal in civil cases. See Bowles v. Russell, 551 U.S. 205, 206-
07 (2007). In Bowles, the petitioner’s application for federal
habeas corpus relief was denied, and he failed to file a notice
of appeal within 30 days after the entry of judgment. Id. at
207. The petitioner moved to reopen the filing period under
Federal Rule of Appellate Procedure (FRAP) Rule 4(a)(6) (1998)
and 28 U.S.C. § 2107(c) (1991), which allows a trial court to
grant a 14-day extension when certain conditions are met. Id.
The district court granted the motion, but gave the petitioner 17
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days to file a notice of appeal, rather than the maximum 14 days
as prescribed under FRAP Rule 4(a)(6) and 28 U.S.C. § 2107(c).
Id. Petitioner filed his notice of appeal within the 17 days
allowed by the district court, but after the 14-day period had
expired. Id. Respondent thereafter moved to dismiss the appeal
as untimely. Petitioner argued that his untimeliness should be
excused based on his justifiable reliance on the trial court’s
order. The Court of Appeals held that petitioner’s notice of
appeal was untimely and that it lacked jurisdiction to hear the
case. Id. at 207-08.
In affirming the Court of Appeals’ decision, the
majority of the Supreme Court clarified the difference between
time limit rules that are “jurisdictional” and those that are
“claim-processing.” Id. at 210-12. The Supreme Court emphasized
that only Congress may determine a lower federal court’s subject-
matter jurisdiction. Id. at 211. It cited United States v.
Curry, 47 U.S. 106, 113 (1848), for the proposition that when
appeals are not “prosecuted in the manner directed, within the
time limited by the acts of Congress, it must be dismissed for
want of jurisdiction.” Bowles, 551 U.S. at 210. As such, the
Court stated that the rules regarding time constraints that are
derived from statutes specifically limiting a court’s
jurisdiction are considered “jurisdictional.” Id. at 210-13.
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“Claim-processing” rules related to time restrictions, on the
other hand, are “court-promulgated” and adopted by the Court for
the orderly transaction of business. Id. at 211. Such rules are
not derived from statutory time constraints specifically limiting
jurisdiction, and can be relaxed at the Court’s discretion. Id.
at 211-13.
The time constraints in FRAP Rule 4(a)(6) were declared
“jurisdictional” because they are set forth by statute in 28
U.S.C. § 2107(c), which limits the amount of time federal
district courts can extend the notice of appeal period. See id.
at 213. At the time of the petitioner’s appeal, FRAP Rule
4(a)(6) read:
(6) Reopening the Time to File an Appeal. The district court
may reopen the time to file an appeal for a period of 14
days after the date when its order to reopen is entered, but
only if all the following conditions are satisfied:
(A) the motion is filed within 180 days after
the judgment or order is entered or within 7
days after the moving party receives notice of
the entry, whichever is earlier;
(B) the court finds that the moving party was
entitled to notice of the entry of the judgment
or order sought to be appealed but did not
receive the notice from the district court or
any party within 21 days after entry; and
(C) the court finds that no party would be
prejudiced.
FRAP Rule 4(a)(6) (1998). Similarly, at the relevant time
period, 28 U.S.C. § 2107(c) read:
(c) the district court may, upon motion filed not later than
30 days after the expiration of the time otherwise set for
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bringing appeal, extend the time for appeal upon a showing of excusable
neglect or good cause. In addition, if the district court finds--
(1) that a party entitled to notice of the entry
of a judgment or order did not receive such
notice from the clerk or any party within 21
days of its entry, and
(2) that no party would be prejudiced
the district court may, upon motion filed within 180 days
after entry of judgment or order or within 7 days after
receipt of such notice, whichever is earlier, reopen the
time for appeal for a period of 14 days from the date of
entry of the order reopening the time for appeal.
28 U.S.C. § 2107(c) (1991). Critical to the Supreme Court’s
analysis was the fact that the time constraints set forth in FRAP
rule 4(a)(6) emanated from 28 U.S.C. § 2107(c). Ultimately, the
Supreme Court ruled that the time limits in FRAP Rule 4(a)(6) are
“jurisdictional” because it “carries § 2107 into practice.”
Bowles, 551 U.S. at 208. The Supreme Court majority also
reiterated that it has “long and repeatedly held that the time
limits for filing a notice of appeal are jurisdictional in
nature.” Id. at 206-07. Even under “unique circumstances,” the
majority held, it is without authority to create equitable
exceptions to jurisdictional requirements. Id. The use of the
“unique circumstances” doctrine was rendered “illegitimate.” Id.
In dissent, Justice Souter, joined by Justices Stevens,
Ginsburg, and Breyer, denounced the unfair result of precluding
the appeal when petitioner’s appeal was filed within the time
allowed by the district judge: “It is intolerable for the
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judicial system to treat people this way, and there is not even a
technical justification for this bait and switch.” Id. at 215
(Souter, J., dissenting). The dissent distinguished the
majority’s holding from the Court’s “steady stream” of recent
unanimous decisions that have retreated from the characterization
of certain filing deadlines as “jurisdictional.” Id. at 219-20;
see also Arbaugh v. Y&H Corp., 546 U.S. 500, 510 (2006) (stating
that “time prescriptions, however emphatic, are not properly
typed ‘jurisdictional[.]’”); see also Kontrick v. Ryan, 540 U.S.
443, 445 (2004) (noting that the use of a “jurisdictional” label
for “claim processing” rules is inappropriate, and that courts
should use the former term to describe the classes of cases
(subject-matter jurisdiction) and the persons (personal
jurisdiction) falling within the court’s adjudicative capacity);
see also Eberhart v. United States, 546 U.S. 12 (2005)
(discussing the basic error of confusing mandatory time limits
with jurisdictional limitations). Under that trend, the dissent
argued, the time limit at issue should not be viewed as
jurisdictional, and the case was entitled to remand for
consideration on the merits. Bowles, 551 U.S. at 218-19, 223.
The dissent would have recognized the “unique circumstances”
doctrine “as it certainly seems reasonable to rely on an order
from a federal judge.” Id. at 220, 223.
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Like Harris and Thompson, this case involves the
reliance on a trial court’s order that: (1) was issued prior to
the expiration of an original deadline; (2) extended the time to
file a notice of appeal; and (3) was later deemed invalid.
Accordingly, we apply the equitable “unique circumstances”
doctrine in the circumstances presented here.
We have not previously encountered a situation similar
to the facts of the present case. Enos v. Pac. Transfer &
Warehouse, Inc., 80 Hawai#i 345, 910 P.2d 116 (1996), although
cited in the ICA’s Opinion for the proposition that Petitioners
were not entitled to an extension of time, is distinguishable.
There, the appellant filed a motion for an extension of time
after the original deadline had expired. Id. at 348, 910 P.2d at
118-19. Consequently, unlike the facts in this case, the
appellant could not have relied upon the trial court’s extension
order in failing to meet the original deadline to appeal.
Rather, the facts of this case are identical to Harris and
Thompson, in that Petitioners’ request for an extension of time
was filed prior to the expiration of the original deadline. Had
the circuit court denied the Stipulation seeking to obtain the
extended July 23, 2007 deadline, Petitioners could have, and
presumably would have, filed their notice of appeal within the
original July 9, 2007 deadline. See Cabral, 2011 WL 3250567, at
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*7 (Nakamura, J., dissenting). In addition, there is no
indication that the State was prejudiced, especially in light of
the fact that they stipulated to the extended deadline. To
punish Petitioners for their reliance on the circuit court’s
order, which, unbeknownst to them would later be deemed invalid,
is unjust: “We require and permit parties to comply with court
orders. We should permit them to rely on court orders in
determining whether the time for filing a notice of appeal has
expired.” Id. at *6.
2. Our application of the “unique circumstances” doctrine
can be reconciled with the view that a timely notice of
appeal is a jurisdictional requirement
As previously discussed, the relevant time constraint
in Bowles was statutorily, rather than judicially, created. This
was critical to the Supreme Court’s majority determination that
the time limit to file a notice of appeal was “jurisdictional.”
The dismissal of petitioner’s appeal was affirmed because the
Court had no authority to create equitable exceptions to
jurisdictional limitations set forth in the statute. Bowles, 551
U.S. at 214. Had the rule setting forth the time limit been
adopted “for the orderly transaction of its business[,]” it would
have been considered a “claim-processing” rule, capable of being
relaxed in the Court’s discretion.
In Bowles, FRAP Rule 4(a)(6) was deemed purely
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“jurisdictional” because it carried the requirements of 28 U.S.C.
§ 2107(c) into practice. Id. Similarly, although the time
constraints in HRAP Rule 4(a)(4)(A) are set forth by court rule
rather than a statute, the authority to set such constraints is
derived from HRS § 641-1(c), which states that “[a]n appeal shall
be taken in the manner and within the time provided by the rules
of court.” HRS § 641-1(c) (1993). Moreover, HRAP Rule 26(b)
provides, in relevant part, that “no court or judge or justice is
authorized to change the jurisdictional requirements contained in
[HRAP] Rule 4.” HRAP Rule 26(b) (2000). Thus, while we do not
dispute that the time constraints in HRAP Rule 4(a)(4)(A) are
jurisdictional,10 we consider its requirement that a request for
an extension of time be made by motion and for good cause, an
aspect of “claim-processing.”
At least one other jurisdiction has similarly
reconciled the “unique circumstances” doctrine with the view that
a timely notice of appeal is a jurisdictional requirement. In In
re C.A.B.L. et. al., 221 P.3d 433 (Colo. Ct. App. 2009), the
Colorado appellate court applied the “unique circumstances”
doctrine to excuse an untimely notice of appeal. Id. at 440.
10
Indeed, we have long regarded an untimely notice of appeal as “a
jurisdictional defect that can neither be waived by the parties nor
disregarded by the court in the exercise of judicial discretion.” Bacon v.
Karlin, 68 Haw. 648, 650, 727 P.2d 1127, 1129 (1986) (quoting Naki v. Hawaiian
Elec. Co., 50 Haw. 85, 86, 431 P.2d 943, 944 (1967)) (brackets omitted).
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There, a minor child’s grandmother filed a petition for kinship
adoption, and the child’s mother (Mother) was divested of her
parental rights. Id. at 436. Under the applicable state laws,
Mother’s appeal should have been made directly to the Colorado
court of appeals. Id. at 437. Nevertheless, the magistrate who
initially terminated Mother’s parental rights twice erroneously
advised her to seek review in the district court. Id. at 440.
Relying on the magistrate’s advice, Mother filed her petition for
review with the district court, which ultimately determined that
it did not have jurisdiction to hear her appeal. Id.
The Colorado court of appeals, although recognizing
that “[t]he timely filing of a notice of appeal is a
jurisdictional prerequisite to appellate review[,]” noted that in
“limited circumstances[,]” it is authorized to “grant relief from
the operation of mandatory language in applicable rules of
procedure when the failure to comply resulted from the party’s
reliance on an erroneous district court ruling.” Id. at 439
(emphasis added). The court invoked the “unique circumstances”
doctrine and excused Mother’s untimely notice of appeal, despite
its acknowledgment that the continuing validity of the doctrine
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has been called into question.11 Id. at n.1.
Petitioners in this case were similarly following the
circuit court’s order granting them an extended deadline to file
their notice of appeal. We acknowledge that Petitioners were not
in compliance with HRAP Rule 4(a)(4)(A) when they filed the
Stipulation, rather than a motion, and neglected to show “good
cause” for an extended deadline to file their notice of appeal.
Nevertheless, we reiterate the distinction between the time
limits for requesting an extension of time under HRAP Rule 4,
versus its procedure, the latter of which is not derived from
statutory time constraints specifically limiting jurisdiction,
and can be relaxed at the Court’s discretion. See Bowles, 551
U.S. at 211-13.
Petitioners relied, to their detriment, on the order
granting an extended July 23, 2007 deadline, and reasonably
believed that the original July 9, 2007 deadline was no longer
effective. In light of the circuit court’s order, it is not
surprising that Petitioners filed their notice of appeal after
the expiration of the original deadline, but within the
presumptively valid extended deadline. The State, having
stipulated to the extended July 23, 2007 deadline, and not
11
The appellate court noted that the “unique circumstances” doctrine
was created by the Colorado Supreme Court in 1981, In re C.A.B.L., 221 P.3d at
439, and that it has not since been abandoned. Id. at n.1.
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challenging appellate jurisdiction until the issue was raised by
the ICA, has not been prejudiced. Under the specific, unique
factual circumstances of this case, we hold that application of
the equitable doctrine of “unique circumstances” is in the
interests of justice and appropriate. Having so decided, we need
not reach the issue of whether the Ex-Parte Motion was properly
granted.
IV. CONCLUSION
We vacate the ICA’s dismissal, and remand the case for
consideration on the merits.
Joy A. San Buenaventura /s/ Mark E. Recktenwald
and Peter Van Name Esser
for petitioners/plaintiffs- /s/ Paula A. Nakayama
appellants
/s/ Simeon R. Acoba, Jr.
Donna H. Kalama,
Deputy Attorney General, /s/ James E. Duffy, Jr.
for respondent/defendant/
cross-claim plaintiff/ /s/ Sabrina S. McKenna
cross-claim defendant/
appellee
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