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Arthur CALDERON, Warden, of the California State Prison, San Quentin, Petitioner, v. UNITED STATES DISTRICT COURT FOR THE CENTRAL DISTRICT OF CALIFORNIA, Respondent

United States Court of Appeals for the Ninth Circuit1998-03-10No. No. 97-70139
137 F.3d 1420

Summary

Holding. The petition for writ of mandamus is dismissed because California had an adequate alternative remedy—a direct appeal of the district court's interlocutory injunction—and therefore mandamus is not an appropriate vehicle for review of the order.

A California death row inmate facing execution in Missouri was the subject of an extradition agreement between California and Missouri. The inmate sought a stay from the federal district court overseeing his California habeas petition, and the district court granted the stay, imposing conditions on the extradition including that Missouri submit to the court's jurisdiction. California petitioned for a writ of mandamus to overturn the district court's stay order. The Ninth Circuit determined that the district court's order, though not formally labeled as such, functioned as an injunction by restraining California from transferring the inmate to Missouri custody under threat of contempt. Because the order had the practical effect of an injunction, California could have appealed it directly under the interlocutory appeals statute rather than pursuing mandamus review.

Summary generated by law.co from the public-domain opinion. The opinion text itself is public domain.

Key issues

  • Whether a district court order that restrains a party from taking action has the practical effect of an injunction appealable as of right
  • Whether mandamus is available when a party could have pursued a direct ordinary appeal
  • Whether failure to timely file a notice of appeal bars subsequent mandamus review

Procedural posture

California sought a writ of mandamus in the Ninth Circuit to challenge a district court order that stayed an extradition unless specified conditions were met, after the deadline for filing a direct appeal had passed.

Authorities cited

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Opinion

majority opinion

KOZINSKI, Circuit Judge. .

Kelvin Shelby Malone, currently incarcerated in California, is under sentence of death both in that state and in Missouri. His federal habeas petition in California is in its initial stages. By contrast, habeas review of Malone’s Missouri conviction and sentence is almost complete; the Eighth Circuit has the ease under submission. Because Malone’s Missouri execution date may be imminent, the governor of Missouri made a formal request to the governor of California asking that Malone be released into Missouri’s custody. See Uniform Criminal Extradition Act, CaLPenal Code §§ 1547-1556.2 and Mo.Rev. Stat. §§ 548.011-548.300. The governor of California agreed and the two entered into an executive agreement providing for Malone’s extradition to Missouri. Malone unsuccessfully challenged the extradition in California state court and also sought a stay from the district court with jurisdiction over his California-based habeas petition. The district court granted the requested relief; it entered an order staying the extradition unless certain conditions were met (most notably, that Missouri submit to. the district court’s jurisdiction). In its petitiqn for a writ of mandamus California seeks to have that ruling reversed.

Mandamus is not to be used as a substitute for an appeal: “[A] court of appeals has no occasion to engage in extraordinary review by mandamus ... when it can exercise the same review by a contemporaneous ordinary appeal.” Moses H. Cone Mem’l Hosp. v. Mercury Constr. Corp., 460 U.S. 1, 8 n. 6, 103 S.Ct. 927, 933 n. 6, 74 L.Ed.2d 765 (1983). See also Calderon v. United States Dist. Court, 134 F.3d 981, 983-84 (9th Cir.1998) (mandamus not available when petitioner could have filed direct appeal); Herrington v. County of Sonoma, 706 F.2d 938, 940 (9th Cir.1983) (same); Bauman v. United States Dist. Court, 557 F.2d 650, 654 (9th Cir.1977) (same). The. district court’s order was not a final judgment, so the state could not have appealed it under 28 U.S.C. § 1291. But was it the kind of interlocutory order that could have been app.ealed as of right pursuant to 28 U.S.C. § 1292?

Under 28 U.S.C. § 1292(a)(1) interlocutory injunctions are immediately appealable. That the district court here did not label its order an injunction is not dispositive. In determining whether an order is appealable under section 1292(a)(1), we consider the substantial effect of the order. See Tagupa v. East-West Ctr., Inc., 642 F.2d 1127, 1129 (9th Cir.1981) (looking not to form of district court’s order but-to its actual effect); Santana Prods., Inc. v. Compression Polymers, Inc., 8 F.3d 152, 154 (3rd Cir.1993) (same); Sierra Club v. Marsh, 907 F.2d 210, 213 (1st Cir.1990) (same); 11A Charles Alan Wright, Arthur R. Miller & Mary Kay Kane, Federal Practice and Procedure, § 2962 (2d ed.1995) (same).

At Malone’s request, the district court entered an order prohibiting California from turning him over to Missouri. Were the state to ignore the order and release Malone into Missouri’s custody, it could surely be brought before the district court to answer contempt charges. This order thus restrains a party, on penalty of contempt, from taking an action that it could otherwise take. We have no trouble concluding that the order is in fact an injunction. Had California filed a timely notice of appeal, we would have had jurisdiction pursuant to 28 U.S.C. § 1292(a)(1).

Because California could have obtained review of the district court’s order through an ordinary appeal, mandamus is not available. Had the state filed its mandamus petition within the time allowed for filing a notice of appeal, we would have treated it as a notice of appeal and reached the merits. See Helstoski v. Meanor, 442 U.S. 500, 508 n. 4, 99 S.Ct. 2445, 2449 n. 4, 61 L.Ed.2d 30 (1979); Diamond v. United States Dist. Court, 661 F.2d 1198, 1198-99 (9th Cir.1981). But it did not. The state is thus in the same unhappy position as other litigants who failed to comply with jurisdictional requirements for perfecting an appeal. See Pratt v. McCarthy, 850 F.2d 590, 591 (9th Cir.1988), overruled on other grounds Pioneer Inv. Servs. Co. v. Brunswick Assoc. Ltd. Partnership, 507 U.S. 380, 113 S.Ct. 1489, 123 L.Ed.2d 74 (1993); Mann v. Lynaugh, 840 F.2d 1194, 1197 (5th Cir.1988). While we harbor serious doubts about the district court’s order, it is not reviewable by writ of mandamus.

DISMISSED.

. Section 1292(a) was not mentioned by the state in its briefs and the deputy attorney general who argued the case seemed unaware of its existence when asked about it. This is not unusual. See McLain v. Calderon, 134 F.3d 1383, 1384 n.3 (9th Cir.1998).

. Because the order is not explicitly labeled an injunction, it is arguable that the requirements of Carson v. American Brands, Inc., 450 U.S. 79, 101 S.Ct. 993, 67 L.Ed.2d 59 (1981), would have had to have been satisfied before an immediate appeal could have been taken. Carson held that, to be appealable under section 1292(a)(1), a district court ruling must (1) have the practical effect of entering an injunction, (2) have serious, perhaps irreparable, consequences, and (3) be such that an immediate appeal is the only effective way to challenge it. Id. at 84, 101 S.Ct. at 996-97. Carson involved an order denying relief; it is unclear whether Carson also applies when the order in question grants injunctive relief. For the reasons explained in Cohen v. Board of Trustees of Univ. of Medicine and Dentistry, 867 F.2d 1455, 1466-67 (3rd Cir.1989), it may well not. However, we have not been consistent on this point, sometimes applying Carson to determine the appealability of orders granting relief, see e.g., Thompson v. Enomoto, 815 F.2d 1323, 1326-27 (9th Cir.1987), and other times not, see e.g., United States v. Gila Valley Irrigation Dist., 31 F.3d 1428, 1441 (9th Cir.1994). Here it doesn’t matter. We have already held that the first Carson requirement is satisfied, see p. 1422 supra; if the second and third requirements are not satisfied, the state would, a fortiori, not be entitled to mandamus. See Bauman v. United States Dist. Court, 557 F.2d 650, 654 (9th Cir. 1977).

. The time to file a notice of appeal expired on January 26, 1997; the state filed its petition on February 12, 1997.