Appealability and review - Availability of interlocutory rev...

Learning Outcomes

This article explains federal appellate review of nonfinal trial-court decisions in complex civil cases, including:

• How the final judgment rule under 28 U.S.C. § 1291 limits appellate jurisdiction, distinguishes final from interlocutory orders, and appears in classic MBE fact patterns.
• Which interlocutory orders are immediately appealable as of right under § 1292(a), with emphasis on injunction-related orders, receiverships, and property-possession rulings.
• How the collateral order doctrine operates, its three strict requirements, and typical examples such as denials of qualified immunity or Eleventh Amendment immunity.
• How Rule 54(b) partial final judgments and certification under 28 U.S.C. § 1292(b) function in multi-claim or multi-party cases, and how to recognize when discretionary interlocutory review is available.
• How extraordinary writs (particularly mandamus) and discretionary class-certification appeals under Rule 23(f) supplement, but do not replace, ordinary appeals; and how exams test the difference between these narrow exceptions and routine, nonappealable orders like denials of summary judgment.

MBE Syllabus

For the MBE, you are required to understand federal appellate review in civil cases, with a focus on the following syllabus points:

• The meaning and scope of the final judgment rule under 28 U.S.C. § 1291.
• Statutory exceptions permitting interlocutory appeals as of right (especially orders regarding injunctions, receivers, and property).
• The collateral order doctrine and common examples where it applies.
• Interlocutory appeals by certification under 28 U.S.C. § 1292(b).
• Partial final judgments in multi-claim or multi-party cases under Federal Rule of Civil Procedure 54(b).
• The limited role of mandamus and other extraordinary writs.
• Immediate review of class-certification decisions under Rule 23(f).

Test Your Knowledge

Attempt these questions before reading this article. If you find some difficult or cannot remember the answers, remember to look more closely at that area during your revision.

1. Which of the following is immediately appealable as of right in federal court?
   1. Denial of a motion to dismiss for lack of subject matter jurisdiction.
   2. Grant or denial of a preliminary injunction.
   3. Denial of a motion for summary judgment.
   4. Grant of a motion to compel discovery.
2. Under the collateral order doctrine, an interlocutory appeal may be allowed if:
   1. The order is related to the merits of the case.
   2. The order conclusively determines an important issue, separate from the merits, and would be unreviewable after final judgment.
   3. The order is a discovery sanction.
   4. The order denies a motion for a new trial.
3. A district court enters summary judgment on one of several claims in a multi-claim case, but does not expressly direct entry of final judgment or make any findings about delay. Is this order immediately appealable?
   1. Yes, always.
   2. Yes, if the losing party requests certification.
   3. No, unless the court expressly directs entry of final judgment and finds no just reason for delay.
   4. No, unless all parties consent.

Introduction

Federal appellate courts are courts of limited jurisdiction. In civil cases, the basic rule is that a party may appeal only after the district court has entered a final judgment that ends the litigation on the merits.

Key Term: Final Judgment Rule
The principle, codified in 28 U.S.C. § 1291, that federal courts of appeals may review only final decisions—those that dispose of all claims as to all parties, leaving nothing for the district court to do but execute the judgment.

This final judgment rule promotes efficiency by preventing piecemeal appeals. But rigid adherence could allow serious errors to go uncorrected until it is too late to fix them meaningfully. To address this, statutes and judge-made doctrines create limited paths to interlocutory review—appeals taken before final judgment.

Key Term: Interlocutory Appeal
An appeal taken from a nonfinal order of a trial court, permitted only when a statute, rule, or doctrine specifically authorizes it.

Understanding where the line is drawn between final and nonfinal orders, and which nonfinal orders are nonetheless appealable, is essential for analyzing Civil Procedure questions on the MBE.

The Final Judgment Rule in Practice

A decision is “final” when it:

• Resolves all claims as to all parties; and
• Leaves nothing for the district court except to carry out (execute) the judgment.

Examples of final, appealable decisions include:

• A judgment after a full trial on all claims.
• An order granting a motion to dismiss all claims with prejudice.
• A summary judgment order disposing of the entire case.

Orders that do not end the entire case, such as denials of motions to dismiss, denials of summary judgment, discovery rulings, and sanctions orders, are ordinarily not final and not immediately appealable.

Exam warning: A denial of a motion—whether to dismiss, for summary judgment, or to compel discovery—almost never creates an immediate right to appeal. These decisions are reviewed, if at all, after final judgment.

Multi-Claim and Multi-Party Cases: Rule 54(b)

Modern litigation often involves multiple claims and multiple parties. An order that resolves fewer than all claims or fewer than all parties is, by default, not final.

Federal Rule of Civil Procedure 54(b) creates a narrow exception:

• In a multi-claim or multi-party action, the district court may direct entry of a partial final judgment as to one or more, but fewer than all, claims or parties only if it:
  • Expressly directs entry of judgment; and
  • Expressly determines that there is “no just reason for delay.”

Key Term: Partial Final Judgment
A judgment that finally resolves some, but not all, claims or parties, and is expressly certified under Rule 54(b) as immediately appealable.

Without this express direction and finding, an order disposing of fewer than all claims or parties remains nonfinal and unappealable until the entire case is resolved.

Interlocutory Appeals as of Right

Congress has identified certain nonfinal orders that are so important they may be appealed immediately, regardless of the final judgment rule. These are codified mainly in 28 U.S.C. § 1292(a).

Orders Regarding Injunctions

The most frequently tested category is orders about injunctions.

Key Term: Injunction
An equitable order directing a party to do, or to refrain from doing, a specific act (such as enforcing a covenant, stopping infringement, or maintaining the status quo).

Under § 1292(a)(1), the following are immediately appealable as of right:

• Orders granting an injunction.
• Orders denying an injunction.
• Orders continuing, modifying, or dissolving an injunction.
• Orders refusing to modify or dissolve an existing injunction.

This applies to both preliminary and permanent injunctions. A party who wins or loses on injunctive relief need not wait for the rest of the case to finish before appealing that ruling.

Key Term: Temporary Restraining Order (TRO)
A short-term emergency order (usually up to 14 days) issued without or with limited notice, designed to preserve the status quo until a hearing on a preliminary injunction.

Ordinarily, a TRO is not appealable because of its brief duration. However, if a TRO is extended or functions like a preliminary injunction (for example, in effect for many weeks), courts may treat it as an appealable injunction for § 1292(a)(1) purposes. On the MBE, assume a pure, short-term TRO is not immediately appealable unless the facts suggest it has effectively become a longer-term injunction.

Other Interlocutory Orders Appealable as of Right

Section 1292(a) also makes two other types of orders immediately appealable:

• Orders appointing or refusing to wind up a receiver.
• Certain orders regarding the possession of property (e.g., dissolving a writ of attachment).

These are less commonly tested than injunctions, but they fall into the same “interlocutory as of right” category.

Collateral Order Doctrine

Even when an order is not covered by a statute, a narrow class of rulings is treated as effectively final under the collateral order doctrine.

Key Term: Collateral Order Doctrine
A judge-made doctrine allowing immediate appeal of a narrow class of nonfinal orders that conclusively resolve important issues, separate from the merits, and that would be effectively unreviewable after final judgment.

An order is immediately appealable under this doctrine only if all three requirements are satisfied:

• It conclusively determines the disputed question.
• It resolves an important issue that is completely separate from the merits of the claims in the action.
• The issue would be effectively unreviewable on appeal from a final judgment.

Common examples in civil cases include:

• Orders denying absolute or qualified immunity to public officials in § 1983 or Bivens-type actions (because immunity is immunity from suit, not just from liability).
• Orders rejecting a state or governmental entity’s claim of Eleventh Amendment immunity from suit in federal court.
• Certain orders compelling disclosure of privileged materials in circumstances where disclosure would destroy the right being asserted.

Exam focus: A denial of qualified immunity is a classic collateral order. A denial of a motion to dismiss for lack of subject matter jurisdiction is not a collateral order; that issue can be reviewed after final judgment.

Certification for Interlocutory Appeal: 28 U.S.C. § 1292(b)

Sometimes a nonfinal order involves a pure legal issue whose early resolution would save significant time and resources. Section 1292(b) allows for discretionary interlocutory appeals in such circumstances.

Key Term: Certification for Interlocutory Appeal
A procedure under 28 U.S.C. § 1292(b) by which a district court and court of appeals jointly permit an immediate appeal of an otherwise nonfinal order that involves a controlling legal question with substantial ground for difference of opinion.

Certification requires:

• The district court to state in writing that:

  • The order involves a controlling question of law,
  • There is substantial ground for difference of opinion on that question, and
  • An immediate appeal may materially advance the ultimate termination of the litigation.

• The would-be appellant must then timely apply (within 10 days) to the court of appeals.

• The court of appeals has complete discretion to accept or reject the interlocutory appeal.

If either court declines—the district court does not certify, or the court of appeals refuses to hear—the order remains nonfinal and unappealable until final judgment.

Extraordinary Writs: Mandamus and Prohibition

In rare, exceptional cases, a party may seek review of a nonfinal order via an extraordinary writ, usually mandamus or prohibition.

Key Term: Mandamus
An extraordinary appellate remedy directing a lower court or official to perform, or refrain from performing, a particular act when there has been a clear abuse of power and no adequate remedy by appeal.

The standards are demanding:

• The petitioner must show that ordinary appeal after final judgment would be inadequate; and
• The district court has committed a clear and indisputable abuse of discretion or usurpation of judicial power.

On the MBE, mandamus is rarely the correct answer unless the facts explicitly mention an “extraordinary writ” or describe an ongoing, serious abuse of authority that cannot effectively be remedied later.

Class Certification Appeals: Rule 23(f)

Federal Rule of Civil Procedure 23(f) provides another, very specific path to interlocutory review:

• A court of appeals may, in its discretion, permit an immediate appeal from a district court order granting or denying class certification.
• The application must be filed within 14 days of the certification decision.
• Proceedings in the district court continue unless stayed.

While Rule 23(f) is not as central as injunctions or collateral orders, it is another example of a limited exception to the final judgment rule.

Worked Example 1.1

A district court grants a preliminary injunction preventing a company from using a trademark during litigation. The company wants to appeal immediately. Is this order appealable as of right?

Answer:
Yes. Orders granting or denying injunctions are immediately appealable under 28 U.S.C. § 1292(a)(1). The company does not have to wait for final judgment on the trademark claims in the action.

Worked Example 1.2

A district court denies a motion to dismiss based on qualified immunity in a civil rights case. The defendant wants to appeal before trial. Is this order appealable?

Answer:
Yes, under the collateral order doctrine. A denial of qualified immunity conclusively resolves an important issue (immunity from suit), separate from the merits, and would be effectively unreviewable after final judgment because the very harm immunity protects against is being forced to stand trial.

Worked Example 1.3

A district court grants summary judgment on one claim in a three-claim case but does not direct entry of final judgment or make findings about delay. Can the losing party appeal now?

Answer:
No. In a multi-claim case, an order resolving fewer than all claims is not final unless the court expressly directs entry of final judgment and expressly finds no just reason for delay under Rule 54(b). Without that certification, the order is not immediately appealable.

Worked Example 1.4

In a multi-defendant case, the court grants a motion to dismiss all claims against Defendant A for lack of personal jurisdiction, but claims against Defendant B continue. The court expressly states, “Pursuant to Rule 54(b), final judgment is entered for A, and there is no just reason for delay.” May P appeal the dismissal as to A immediately?

Answer:
Yes. The order completely resolves all claims against A. Because the court expressly directed entry of final judgment and made the required “no just reason for delay” finding, it is a partial final judgment under Rule 54(b) and is immediately appealable.

Worked Example 1.5

A district court issues an order denying the state’s motion to dismiss on Eleventh Amendment immunity grounds in a damages action. Litigation on the merits is set for trial. Can the state take an immediate appeal?

Answer:
Yes. Like qualified immunity, Eleventh Amendment immunity is immunity from suit. A denial of such immunity is an immediately appealable collateral order because the right would be lost if the state were forced to litigate through trial before appealing.

Worked Example 1.6

A district judge issues an order resolving a novel, purely legal question about whether a federal statute creates a private right of action. The judge concludes that it does and denies the defendant’s motion to dismiss. Recognizing conflicting authority in other circuits, the judge certifies the order under § 1292(b). The defendant timely applies to the court of appeals. Must the appellate court hear the appeal?

Answer:
No. Section 1292(b) appeals are discretionary. Even when the district court certifies an order, the court of appeals may decline to accept the interlocutory appeal. If it declines, the parties must wait until a final judgment to obtain appellate review.

Exam Warning

Orders denying motions to dismiss or summary judgment are generally not immediately appealable, even when they involve subject matter jurisdiction or personal jurisdiction. Do not confuse these with:

• Orders granting or denying injunctions (appealable under § 1292(a)(1)).
• Orders falling within the collateral order doctrine (e.g., denials of immunity from suit).

Revision Tip

When faced with an appealability question:

• First, ask whether there is a final judgment (all claims, all parties).
• If not, ask whether there is:
  • A statutory exception (§ 1292(a) or § 1292(b)),
  • A Rule 54(b) partial final judgment,
  • A collateral order, or
  • A specific rule (such as Rule 23(f)) or extraordinary writ (mandamus) explicitly invoked.

Only if one of these applies will an interlocutory appeal be allowed.

Key Point Checklist

This article has covered the following key knowledge points:

• The final judgment rule restricts appeals to decisions that fully resolve the case as to all claims and parties.
• In multi-claim or multi-party cases, a partial order is appealable only if certified as a partial final judgment under Rule 54(b).
• Orders granting, denying, or modifying injunctions are immediately appealable as of right under 28 U.S.C. § 1292(a)(1).
• Other orders appealable as of right include certain receivership and property-possession orders.
• The collateral order doctrine allows immediate appeal of a narrow class of important, separable orders that would be effectively unreviewable after final judgment (e.g., denials of immunity from suit).
• Section 1292(b) permits discretionary interlocutory appeals when a certified order involves a controlling legal question with substantial ground for difference of opinion and an immediate appeal may materially advance the litigation.
• Extraordinary writs such as mandamus are available only in exceptional cases of clear abuse of power and lack of adequate remedy by appeal.
• Rule 23(f) allows discretionary interlocutory appeals from orders granting or denying class certification.
• Most discovery orders, sanctions, and denials of dispositive motions are not immediately appealable and must await final judgment for review.

Key Terms and Concepts

• Final Judgment Rule
• Interlocutory Appeal
• Injunction
• Temporary Restraining Order (TRO)
• Partial Final Judgment
• Collateral Order Doctrine
• Certification for Interlocutory Appeal
• Mandamus