Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-caed-1_04-cv-06378/USCOURTS-caed-1_04-cv-06378-0/pdf.json

Nature of Suit Code: 422
Nature of Suit: Bankruptcy Appeals Rule 28 USC 158
Cause of Action: 28:0158 Notice of Appeal re Bankruptcy Matter (BAP)

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UNITED STATES DISTRICT COURT

 EASTERN DISTRICT OF CALIFORNIA

RAFAEL C. MACIAS,

Appellant,

v.

INTERNAL REVENUE SERVICE,

Appellee.

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CIV-F-04-6378 AWI

ORDER TO SHOW CAUSE WHY

APPEAL SHOULD NOT BE

DENIED FOR LACK OF

PROSECUTION

Appellant initiated an appeal from an order of the bankruptcy court on October 7, 2004.

Doc. 1. On October 27, 2004, the bankruptcy clerk’s office sent notice to the parties that the

record on appeal was incomplete. Doc. 4. There has been no action in this appeal since that date. 

Federal Rules of Bankruptcy Procedure 8006 states:

Within 10 days after filing the notice of appeal as provided by Rule 8001(a), entry of an

order granting leave to appeal, or entry of an order disposing of the last timely motion

outstanding of a type specified in Rule 8002(b), whichever is later, the appellant shall file

with the clerk and serve on the appellee a designation of the items to be included in the

record on appeal and a statement of the issues to be presented. Within 10 days after the

service of the appellant’s statement the appellee may file and serve on the appellant a

designation of additional items to be included in the record on appeal....The record on

appeal shall include the items so designated by the parties, the notice of appeal, the

judgment, order, or decree appealed from, and any opinion, findings of fact, and

conclusions of law of the court. Any party filing a designation of the items to be included

in the record shall provide to the clerk a copy of the items designated or, if the party fails

to provide the copy, the clerk shall prepare the copy at the party’s expense. If the record

designated by any party includes a transcript of any proceeding or a part thereof, the party

shall, immediately after filing the designation, deliver to the reporter and file with the

clerk a written request for the transcript and make satisfactory arrangements for payment

of its cost. All parties shall take any other action necessary to enable the clerk to assemble

and transmit the record.

Case 1:04-cv-06378-AWI Document 5 Filed 03/28/06 Page 1 of 3
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As of yet, the district court has not received any notice from the bankruptcy clerk’s office that the

record on appeal is ready. Failure to meet the time limits set by Rule 8006 for the designation of

the record on appeal is a non-jurisdictional rule violation that is subject to the sanctioning

provision of Rule 8001(a). See Sierra Switchboard Co. v. Westinghouse Elec. Corp., 789 F.2d

705, 706-7 (9th Cir. 1986) (citing Rule 8001 as authority for sanction of dismissal where

appellant did not timely designate a record on appeal). Fed. R. Civ. Proc 8001(a) provides for

the imposition of sanctions for non-jurisdictional violations of bankruptcy procedure as follows:

“An appellant’s failure to take any step other than timely filing a notice of appeal does not affect

the validity of the appeal but is ground only for such action as the district court or bankruptcy

appellate panel deems appropriate, which may include dismissal of the appeal.” At this point,

completion of the record is well overdue. 

The decision to impose sanction under Rule 8001(a) for violation of Rule 8006 is

committed to the discretion of the court, but “when any court is considering the imposition of

sanctions for non-jurisdictional, procedural defaults and deficiencies in the management of

litigation, the selection of the sanction to be imposed must take into consideration the impact of

the sanction and the alternatives available to achieve assessment of the penalties in conformity

with fault.” In re Hill, 775 F.2d 1385, 1387 (9th Cir. 1985). In general “justice is better served

when controversies are decided on their merits rather than procedural technicalities.” Sierra

Switchboard Co. v. Westinghouse Elec. Corp., 789 F.2d 705, 707 (9th Cir. 1986), quoting In re

Bienert, 48 B.R. 326, 327 (N.D. Iowa 1985). While options should be considered, in “‘egregious

circumstances’ a court may dismiss a case for non-compliance with procedural rules without

explicit consideration of alternative sanctions.” In re Donovan, 871 F.2d 807, 808-9 (9th Cir.

1989), quoting Malone v. United States Postal Service, 833 F.2d 128, 132 (9th Cir. 1987). “The

district court has the inherent power sua sponte to dismiss a case for lack of prosecution.”

Henderson v. Duncan, 779 F.2d 1421, 1423 (9th Cir. 1986), citations omitted. In one case, the

Ninth Circuit affirmed a district court’s dismissal of a bankruptcy appeal where appellant’s

actions delayed the preparation of a record on appeal for a year; the Ninth Circuit made an

inference that appellees suffered prejudice due to delay. See In re Fitzsimmons, 920 F.2d 1468,

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1475 (9th Cir. 1990).

Appellant is hereby ORDERED to show cause in writing why this appeal should not be

dismissed for failure to prosecute within twenty (20) days of the filing of this order.

IT IS SO ORDERED.

Dated: March 27, 2006 /s/ Anthony W. Ishii 

0m8i78 UNITED STATES DISTRICT JUDGE

Case 1:04-cv-06378-AWI Document 5 Filed 03/28/06 Page 3 of 3