ÿWPCX' …# VUNa %¯ 0 (µw@Ý4 1 @ 0âH 0D* 0Jn 0T¸ 0^ 0hj 0rÒ 0|D 0†À U:F 0€ 1u 0d… BéU >U*DU*nB)˜ D3ÁDCô AM7 0@„ÄAÜ?Ã\78VùŽÛ‡v~bvÓà AO³%Æ& 0DÈ& D/ ' B;'˜HP LaserJet 4SiHPPCL5MSÈðððÈð0nLlÎ(ÈhH  Z ‹6Times New Roman RegularX($¡¡ ÊDËÌDÍ«ÎPÏPÐÑDÒÓÓ€ƒ‰"+,,--../3|xÞ(’(2ñÖ$¤¤Ý ƒ!ÝÝ  ÝÑ,°ÑÑü°ÑÒ€°ÒÒÀ°ÒÔ€XÁ«XXXÔÔ€ô¡ôXXÁ«Ôà Ø àòòÚ  Ú0Ú  Úóó(#Ã$òòÚ  Ú0Ú  Úóó2 ÿÿ0Indent1Ô2ÔÔ3  Ô2" ÿÿ0Indent2à0 àÔ2ÔÔ3  Ô2, ÿÿ0Indent3à0 àà0 àÔ2ÔÔ3  Ô26 ÿÿ0Indent4à0 àà0 àà0 àÔ2ÔÔ3  Ô2@ ÿÿ0Indent5à0 àà0 àà0 àà0 àÔ2ÔÔ3  Ô2J ÿÿ0Indent6à0 àà0 àà0 àà0 àà0 àÔ2ÔÔ3  Ô2T ÿÿ0Indent7à0 àà0 àà0 àà0 àà0 àà0 àÔ2ÔÔ3  Ô,c½¬AZ‹"Arial Regular2^ ÿÿ0Indent8à0 àà0 àà0 àà0 àà0 àà0 àà0 àÔ2ÔÔ3  Ô  ÿÿ?AGMSYaioIndent0I.A.1.a.(1)(a)i)a)P ÿÿ8Mac DefaultMac DefaultÓ ` °šXÓ d< Œ 9p`(&Times New Roman< Œ 9p`(Arial< Œ 9p`(Times% Line 7 d""""'ÿÿdxd))))7Border 1dd€-+Cþÿ << Gÿÿ("ÿÿ$££Ò  ÒÒ  Ò Ý ƒ!ÝÑ  ÑÑ#€d#ÑÔ€&ÔÝ  ÝÔ€'ÔÔ€'ÔÓ  ÓÔ YYY ÔFILEDÔ€'XÔÌÌò òApril€28,€1997ÌÌCecil€Crowson,€Jr.ÌÔ€'ôÔAppellate€Court€Clerkó ó 7Ý ƒ!ÝÑ#€d#ÑÔ€&ÔÝ  ÝÝ ƒ $ÝÑ , ÑÑ ü ÑÒ € ÒÒ À ÒÔ€'ÔÔ€'ôÔà àòòÚ  ÚÚ  ÚóóÝ  ÝAdvisory€Commission€(to€the€Supreme€Court)€Comment€to€Rule€3(f)›,€T.R.A.P.€Ì 5Ý ƒ!ÝÑ#€d#ÑÔ€&ÔÝ  ÝÝ ƒ $ÝÑ , ÑÑ ü ÑÒ € ÒÒ À ÒÔ€'ÔÔ€'ôÔà àòòÚ  ÚÚ  ÚóóÝ  ÝRule€2,€T.R.A.P.,€which€deals€with€ð ðsuspension€of€rulesðð€does€not€permit€an€extension€ofÏtime€for€filing€a€notice€of€appeal,€as€prescribed€in€Rule€4;€however,€in€all€criminal€cases€the€notice€ofÏappeal€document€is€not€jurisdictional€and€the€filing€of€such€document€may€be€waived€in€the€interestÏof€justice.€Rule€4,€T.R.A.P.Ì ¹Ý ƒ!ÝÑ#€d#ÑÔ€&ÔÝ  ÝÝ ƒ $ÝÑ , ÑÑ ü ÑÒ € ÒÒ À ÒÔ€'ÔÔ€'ôÔà àòòÚ  ÚÚ  ÚóóÝ  Ý€The€federal€rule€dealing€with€service€of€the€notice€of€appeal,€Fed.€R.€App.€P.€3(d),€requiresÏthe€clerk€of€the€trial€court€to€serve€notice€of€the€filing€of€the€ð ðnotice€of€appealðð€to€counsel€of€record,Ïor,€if€not€represented€by€counsel,€to€the€party.€€The€clerk€is€also€required€to€send€a€copy€of€theÏnotice€and€of€the€docket€entries€to€the€clerk€of€the€appellate€court.€€The€clerkððs€failure€to€serveÏnotice€does€not€affect€the€validity€of€the€appeal.€Ì -Ý ƒ!ÝÑ#€d#ÑÔ€&ÔÝ  ÝÝ ƒ $ÝÑ , ÑÑ ü ÑÒ € ÒÒ À ÒÔ€'ÔÔ€'ôÔà àòòÚ  ÚÚ  ÚóóÝ  ÝAdvisory€Commission€Comment€to€1984€amendment€to€Rule€5,€T.R.A.P.Ì .Ý ƒ!ÝÑ#€d#ÑÔ€&ÔÝ  ÝÝ ƒ $ÝÑ , ÑÑ ü ÑÒ € ÒÒ À ÒÔ€'ÔÔ€'ôÔà àòòÚ  ÚÚ  ÚóóÝ  Ý€Advisory€Commission€Comment€to€1991€amendment€to€Rule€5,€T.R.A.P.Ì ïÝ ƒ!ÝÑ#€d#ÑÔ€&ÔÝ  ÝÝ ƒ $ÝÑ , ÑÑ ü ÑÒ € ÒÒ À ÒÔ€'ÔÔ€'ôÔà àòòÚ  ÚÚ  ÚóóÝ  Ý€By€order€filed€in€this€Court€on€January€23,€1997€we€submitted€to€the€General€Assembly€forÏapproval€by€Resolution€certain€amendments€to€our€Rules€of€Civil€and€Appellate€Procedure€andÏRules€of€Evidence.€€These€amendments€have€an€effective€date€of€July€1,€1997.Ì ÑÝ ƒ!ÝÑ#€d#ÑÔ€&ÔÝ  ÝÝ ƒ $ÝÑ , ÑÑ ü ÑÒ € ÒÒ À ÒÔ€'ÔÔ€'ôÔà àòòÚ  ÚÚ  ÚóóÝ  ÝIn€òòGray€v.€Boyle€Investment€Co.óó,€803€S.W.2d€678€(Tenn.€App.€1990)€the€Court€of€AppealsÏreaffirmed€the€principle€that€failure€to€serve€a€copy€of€a€notice€of€appeal€on€opposing€counsel€is€notÏjurisdictional€and€may€be€waived.ÌPtPtHHÚ(ÿáÿâùFG(üHHÚ(d'hStyl{WP}01•ÃÃÃÃÃÃÃÃÃÃÃÃÃÃÃÃÃÃà Ãà Ãà Ãà Ãà ÃÃÃÃÃÃÃÃÃÃÃÐ ÐÐHHÐÐ  ÐÐ2ÐÐÿÿ¸æ$ÿÐÐHHÐÐÐÐÐÐÐÐ  ÐÐ ÐÐ ÐÑÑÑGenevaÑÑ ÑÑ € ÑÑ<Px–ÈÑÒÒÒ443!#4ÒÒ$ *$ÒÒ$*$ÒÒ ÿKK ÒÒ  Geneva ÒÒ  Geneva ÒÓ.,ÓÓÓÓ6ÓÓ ÓßßßßßßßßßßßßßßßßßßÑGenevaÑÑ ÑÒ  h HD: Geneva ÒÒ  h HD: Geneva Ò€-‚ƒCþÿ<< CÿÿƒLevel 1Level 2Level 3Level 4Level 5($$””ò òÚ  Ú1Ú  Úó ó„„'÷ÿ dxdüÿP PdÝ ƒ!ÝÔ . ÔÔ€&ÔÝ  Ý›Ñ ` ÑÒ € ÒÒ ° ÒÒ € ÒÒ À ÒÑ\R AØ'\ÑÑ\R AØ'\ÑÑ7€EGXdìdÈ7ÑÑ  ÑÔ€'ÔØ ØÓ&€((X°d&Ӝـ€ÙßR€,.+A1-j|` Å `€€@ÿRß›Þ ÞÌà@ àIN€THE€SUPREME€COURT€OF€TENNESSEEÌà@ àAT€KNOXVILLEÌÌÌÌœà àà àà àà àà àà àà àò òFOR€PUBLICATIONó ó›ÌROBERT€DALE€COBB,à àà àà à)Ìà àà àà àà àà àà à)à àœò òFiled:€April€28,€1997ó ó›Ìà àPlaintiff/Appellant,à àà àà à)Ìà àà àà àà àà àà à)à àœHAMBLEN€LAW›Ìv.à àà àà àà àà àà à)Ìà àà àà àà àà àà à)à àHon.€John€K.€Wilson,Ìà àà àà àà àà àà à)à àJudgeà àÌDOUGLAS€R.€BEIER,à àà àà à)Ìà àà àà àà àà àà àœ)à àSupreme€Court€No.›Ìà àDefendant/Appellee.à àà àœ)à à03„S01„9610„CV„00106›ÌÌÌÌÌÌÌÌòòFOR€PLAINTIFF„APPELLANTóó:à àà àà àòòFOR€DEFENDANT„APPELLEEóó:ÌÌJ.€Randall€Sheltonà àà àà àà àà àJames€M.€DavisÌMorristown,€Tennesseeà àà àà àà àMorristown,€TennesseeÌÌÌÌòòAMICUS€CURIAEóó:ÌÌCommonwealth€Life€Insurance€CorporationÌand€Providian€CorporationÌWilliam€R.€OððBryan,€Jr.ÌMary€Ellen€MorrisÌTrabue,€Sturdivant€&€DeWittÌNashville,€TennesseeÌÌÌÌÌÌÌà@ àòòÔ€' Ôò òOPINIONóóó óÔ€'XÔÌÌÌÌÌÌÌÌREVERSED€&€REMANDED.à àà àà àà àà àDROWOTA,€J.ÇÓÓà àThe€sole€issue€on€appeal€is€whether€the€Court€of€Appeals€erred€byÏdismissing€this€appeal€because€of€plaintiff„appellantððs€failure€to€serve€the€clerk€ofÏthe€appellate€court€with€a€copy€of€the€notice€of€appeal€in€compliance€with€RuleÏœ5(a)€of€the€Tennessee€Rules€of€Appellate€Procedure.€€Several€cases€with€similarÏissues€are€currently€pending€before€this€Court€and€the€Court€of€Appeals.€ÏBecause€service€of€the€notice€of€appeal€upon€the€clerk€of€the€appellate€courtÏserves€no€significant€substantive›€purpose€in€the€appellate€process,€failure€toÏeffect€such€service€is€not€a€basis€for€dismissal€of€an€appeal.€€Therefore,€theÏjudgment€of€the€Court€of€Appeals€is€reversed€and€this€cause€remanded€to€thatÏcourt€for€consideration€of€the€merits€of€the€appeal.ÌÌà@ àòòPROCEDURAL€HISTORYóóÌà àPlaintiff„Appellant,€Robert€Dale€Cobb,€instituted€a€suit€for€maliciousÏprosecution€against€the€defendant„appellee,€Douglas€R.€Beier.€€Beier€filed€aÏmotion€for€summary€judgment€which€the€trial€court€granted€on€December€4,€1995.€ÏCobb€filed€a€notice€of€appeal€in€the€trial€court€on€December€22,€1995.€€A€copy€ofÏthe€notice€of€appeal€was€timely€served€on€Beierððs€attorney.€€However,€a€copy€ofÏthe€notice€of€appeal€was€not€timely€served€on€the€clerk€of€the€Court€of€Appeals.€ÏOn€February€22,€1996,€Beier€filed€with€the€Court€of€Appeals€a€motion€to€dismissÏCobbððs€appeal€based€on€his€failure€to€timely€serve€a€copy€of€the€notice€of€appealÍon€the€clerk€of€the€Court€of€Appeals.ÌÌà àThe€Court€of€Appeals,€in€a€split€decision,€relying€on€òòG.€F.€PlunkÏConstruction,€Inc.€v.€Barrett€Properties,€Inc.óó,€640€S.W.2d€215€(Tenn.€1982),Ïdismissed€the€appeal,€holding€that€there€was€no€ð ðgood€causeðð€for€Cobbððs€failureÏto€timely€serve€a€copy€of€his€notice€of€appeal€on€the€clerk€of€the€Court€of€Appeals.€ÏJudge€œGoddard›€dissented€from€the€dismissal,€stating,€ð ð[œg]iven›€the€fact€that€thoseÏpromulgating€the€Rules€of€Appellate€Procedure€have€vacillated€on€thisÏrequirement,€and€such€a€filing€serves€little€purpose€in€the€vast€majority€of€casesÏappealed,€I€would€suspend€that€provision€of€Rule€5€unless€prejudice€to€theÏappellee€has€been€shown.ðð€€Thereafter,€we€granted€Cobbððs€application€forÏpermission€to€appeal€and€now€reverse.ÌÌà@ àòòHISTORY€OF€RULE€5óóÌà àResolution€of€this€issue€is€aided€by€considering€the€history€and€purpose€ofÏthe€requirement€of€service€on€the€clerk€of€the€appellate€court.€€The€purpose€of€theÏð ðnotice€of€appealðð€is€simply€to€declare€in€a€formal€way€a€partyððs€intention€toÏappeal.× ƒ/ ××  ×€€ð ðAn€appeal€as€of€right,ðð€Rule€3,€T.R.A.P.,€shall€be€taken€by€timely€filing€aÏnotice€of€appeal€with€the€clerk€of€the€trial€court,€as€provided€in€Rule€4,€T.R.A.P.ÍRule€4€requires€that€the€notice€of€appeal€ð ðbe€filed€with€and€received€by€the€clerkÏof€the€trial€court€within€30€days€after€the€date€of€entry€of€the€judgment€appealedÏfrom€.€.€.€.ðð× ƒ0 ××  ×ÌÌà àWithin€seven€days€after€filing,€Rule€5€requires€the€appellant€or€appellantððsÏcounsel€to€serve€a€copy€of€the€notice€of€appeal€(1)€on€counsel€of€record€for€eachÏparty,€or€if€not€represented€by€counsel,€on€the€party,€and€on€(2)€the€clerk€of€theÏappellate€court.€€Rule€5€has€always€required€service€on€counsel€or€the€party,Ïhowever€service€on€the€clerk€of€the€appellate€court,€the€issue€we€address€on€thisÏappeal,€has€been€in€a€state€of€flux€since€1979.ÌÌà àWhen€the€appellate€rules€were€established€effective€July€1,€1979,€serviceÏof€a€copy€of€the€notice€of€appeal€was€required€by€appellant€or€appellantððs€counselÏon€(1)€counsel€and€on€(2)€the€clerk€of€the€appellate€court.× ƒ1 ××  ×€€Upon€receivingÏservice€of€the€notice€of€appeal,€the€clerk€of€the€appellate€court€immediatelyÍentered€the€appeal€on€the€docket€and€it€was€assigned€a€docket€number.€€In€1984,Ïhowever,€the€requirement€of€service€on€the€clerk€of€the€appellate€court€wasÏdeleted€from€Rule€5(a)€and€(b),€because€ð ð[œt]he›€experience€of€the€appellate€clerksÏhas€been€that€the€requirement€of€serving€a€notice€of€appeal€at€the€appellate€levelÏaccomplished€no€vital€purpose,€but€instead€resulted€in€a€surplus€of€notices€whereÏthe€appeal€was€abandoned€because€of€settlement€or€otherwise.ðð× ƒ2 ××  ×€€Therefore,Ïbeginning€in€1984,€the€clerk€of€the€appellate€court€was€required€to€enter€theÏappeal€on€the€docket€upon€receipt€of€the€ð ðrecord€on€appeal,ðð€not€upon€the€receiptÏof€the€ð ðnotice€of€appeal,ðð€and€the€clerk€was€required€to€serve€notice€on€all€partiesÏof€the€receipt€of€the€record€and€docketing€of€the€appeal.€T.R.A.P.€Rule€5(c).ÌÌà àIn€1991,€T.R.A.P.€5€(a)€was€again€amended,€restoring€subsection€(a)€to€itsÏoriginal€tenor,€requiring€appellant€or€appellantððs€counsel€to€serve€the€appellateÏcourt€clerk€with€a€copy€of€the€notice€of€appeal.× ƒ3 ××  ×€€However€the€docketingÏrequirements€set€out€in€subsection€(c)€of€Rule€5€remained€the€same;€therefore,Ïthe€appeal€was€not€entered€on€the€docket€until€the€appellate€clerk€received€theÏrecord.€€In€1995€subsection€(b)€of€Rule€5€was€amended€requiring€service€byÏappellant€on€the€appellate€court€clerk€to€conform€criminal€practice€to€the€civilÍpractice€of€subsection€(a)€which€had€been€amended€in€1991.ÌÌà àIn€1997,€based€on€the€recommendation€of€the€Advisory€Commission,€weÏagain€amended€Rule€5(a)€and€(b)€to€place€upon€the€trial€court€clerk,€rather€thanÏthe€appellant€or€appellantððs€counsel,€the€responsibility€of€serving€a€copy€of€theÏnotice€of€œappeal€upon€the€clerk€of€the€appellate€court.›× ƒ4 ××  ×€€Subsection€(c)€of€Rule€5Ïdelineating€the€docketing€requirements€€remains€the€same.ÌÌÌà@ àòòANALYSIS€AND€CONCLUSIONóóÌà àAs€did€the€Court€of€Appeals,€appellee€œBeier›€relies€primarily€upon€òòG.€F.ÏPlunk€Construction€Company,€Inc.€€v.€Barrett€Properties,€Inc.óó,€640€S.W.2d€215Ï(Tenn.€1982),€which€was€decided€when€T.R.A.P.€5€required€service€of€a€copy€ofÏthe€notice€of€appeal€upon€the€clerk€of€the€Court€of€Appeals€and€when€the€clerkÏutilized€the€notice€of€appeal€to€docket€the€case.€€In€òòPlunkóó,€the€appellant€had€notÏtimely€filed€a€copy€of€the€notice€of€appeal€on€either€the€clerk€of€the€Court€ofÏAppeals€òòoróó€on€opposing€counsel.€€We€held€the€requirement€of€T.R.A.P.€5€was€notÏjurisdictional€and€that€it€could€be€waived€in€accordance€with€the€ð ðgood€causeððÍstandard€of€T.R.A.P.€2.× ƒ5 ××  ×€€However,€we€found€that€the€excuse€offered€in€òòPlunkóó€forÏfailing€to€serve€a€copy€of€the€notice€of€appeal€on€either€opposing€counsel€or€theÏclerk€of€the€Court€of€Appeals€did€not€constitute€good€cause.€€After€òòPlunkóó€wasÏdecided,€Rule€5€(c)€was€amended€to€provide€that€the€clerk€enter€the€appeal€onÏthe€docket€upon€receipt€of€the€ð ðrecord€on€appeal,ðð€not€upon€the€receipt€of€theÏnotice€of€appeal.€€As€explained€earlier,€serving€the€clerk€with€a€copy€of€the€noticeÏof€appeal€accomplished€no€vital€purpose,€and€the€requirement€was€deleted€inÏ1984,€because€the€clerk€was€merely€maintaining€the€notices€in€alphabetical€orderÏuntil€the€record€was€received€from€the€trial€court,€when€the€appeal€was€thenÏdocketed.ÌÌà àIn€òòPlunkóó€there€was€no€service€on€counsel€or€on€the€appellate€court€clerk.€ÏIn€the€case€at€bar,€the€notice€of€appeal€was€timely€filed€with€the€clerk€of€the€trialÏcourt,€complying€with€Rule€4,€and€a€copy€was€served€on€opposing€counsel.€ÏService€on€opposing€counsel€meets€the€need€of€procedural€fairness€by€informingÏadversary€counsel€that€an€appeal€is€intended.€€The€filing€of€the€notice€of€appealÏwith€the€clerk€of€the€appellate€court€is€administrative,€not€jurisdictional,€for€itÏserves€no€substantive€purpose€in€the€appellate€process.€ÌÌà àWe€find€no€prejudice€to€the€appellee€or€to€the€appellate€process€resultingÏfrom€appellantððs€failure€to€serve€a€copy€of€the€notice€of€appeal€upon€the€clerk€ofÏthe€appellate€court.€€As€we€recently€observed€in€òòJohnson€v.€œHardin›óó,€926€œS.W.›€2dÏ236,€238€(Tenn.€1996):ÌÌÓÓà8 àThe€general€policy€of€the€rules,€as€suggested€by€the€AdvisoryÏCommission€and€interpreted€by€the€courts,€emphasizes€reaching€aÏjust€result€and€disregarding€technicality€in€form.€(Citations€omitted).€ÏConsequently,€once€a€timely€notice€of€appeal€is€filed,€the€rulesÏshould€not€erect€unjustified€technical€barriers€which€preventÏconsideration€of€the€merits€of€the€appeal.€.€.€.€€the€overall€intent€of€theÏrules€is€to€allow€cases€to€be€resolved€on€their€merits.€€A€courtððsÏconstruction€and€application€of€the€rules€should€further€that€intentÏand€should€enhance,€not€impede,€the€search€for€justice.ÌÓÓÌà àIn€addition,€our€1997€amendment€is€more€in€line€with€the€Federal€Rule€andÏplaces€the€service€requirement€on€the€trial€court€clerk.€€Since€the€serviceÏrequirements€of€Rule€5€do€not,€in€any€way,€affect€the€timeliness€of€the€appeal,€asÏdoes€Rule€4,€the€failure€of€the€clerk€to€strictly€comply€with€the€service€requirementÏdoes€not€defeat€the€validity€of€an€appeal.€€ÌÌà àThe€notice€of€appeal€document€in€civil€cases€filed€in€the€appellate€courtÏserves€no€significant€substantive€purpose€because€the€clerk€of€the€appellateÏcourt€does€not€docket€the€appeal€until€the€record€is€received.€€At€that€time€theÍclerk€serves€ð ðnotice€on€all€parties€of€the€receipt€of€the€record€and€docketing€of€theÏappeal.ðð€Rule€5(c),€T.R.A.P.€€Thus,€it€is€exalting€form€over€substance€to€dismiss€anÏappeal€on€the€sole€basis€that€counsel€failed€to€serve€a€copy€of€the€notice€ofÏappeal€on€the€appellate€court€clerk.ÌÌà àWe€are€therefore€of€the€opinion€that€this€case,€and€all€cases€presently€onÏappeal€in€which€the€clerk€of€the€appellate€court€was€not€timely€served€a€copy€ofÏthe€notice€of€appeal,€should€òònotóó€be€dismissed€for€failure€to€comply€with€Rule€5€(a),ÏT.R.A.P.€€To€hold€otherwise€would€impede€the€search€for€justice.€€òòJohnson€v.ÏœHardin›óó,€òòidóó.ÌÌà àThe€judgment€of€the€Court€of€Appeals€is€reversed€and€this€cause€isÏremanded€to€that€court€for€consideration€of€the€merits€of€Cobbððs€appeal€from€theÏtrial€courtððs€judgment€granting€the€appellee€œBeier›ððs€motion€for€summaryÏjudgment.ÌÌÓÓÌœà àà àà àà àà àà à____________________________Ìà àà àà àà àà àà àFrank€F.€Drowota,€III,€Justiceà à›ÌÌœò òConcuró ó:›ÌœBirch,›€C.€J.ÌAnderson,€Reid,€Holder,€JJ.à àà àà àà àà àà à