Federal Circuits, 7th Cir. (September 29, 1982)
Docket number: 80-2785
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U.S. Court of Appeals for the 4th Cir. - Bobby Whisenant, Appellant, v. Dr. Stanley Yuam; Chris Johnson, Administrator of Grace Hospital; Jerry Richards, Sheriff of Burke Co.; Bill Hamrick, Chief of Police, Morganton, Nc; John Suttles; Johnny Wehunt; John Mcdevitt, Sheriff'S Deputy, Morganton, Nc; Ronnie Hudson, Chief Detective, Morganton, Nc Police Dept.; Steve Whisnant, Detective, Sheriff'S Dept., Morganton, Nc; Charles Whitman, Sbi Agent, Hickory, Nc; Joe Clark, Chief Jailer, Burke County Jail, Morganton, Nc, Appellees. Bobby Whisenant, Appellee, v. Dr. Stanley Yuam; Chris Johnson, Administrator of Grace Hospital; Jerry Richards, Sheriff of Burke Co.; Bill Hamrick, Chief of Police, Morganton, Nc; John Suttles; John Mcdevitt, Sheriff'S Deputy, Morganton, Nc; Steve Whisnant, Detective, Sheriff'S Dept., Morganton, Nc; Charles Whitman, Sbi Agent, Hickory, Nc; Joe Clark, Chief Jailer Burke County Jail, Morganton, Nc, Defendants, and Johnny Wehunt; Ronnie Hudson, Chief Detective, Morganton, Nc Police Dept., Appellants. Bobby Whisenant..., 739 F.2d 160 (4th Cir. 1984) Appellant, v. Dr. Stanley Yuam; Chris Johnson, Administrator of Grace Hospital; Jerry Richards, Sheriff of Burke Co.; Bill Hamrick, Chief of Police, Morganton, Nc; John Suttles; Johnny Wehunt; John Mcdevitt, Sheriff'S Deputy, Morganton, Nc; Ronnie Hudson, Chief Detective, Morganton, Nc Police Dept.; Steve Whisnant, Detective, Sheriff'S Dept., Morganton, Nc; Charles Whitman, Sbi Agent, Hickory, Nc; Joe Clark, Chief Jailer, Burke County Jail, Morganton, Nc, Appellees. Bobby Whisenant, Appellee, v. Dr. Stanley Yuam; Chris Johnson, Administrator of Grace Hospital; Jerry Richards, Sheriff of Burke Co.; Bill Hamrick, Chief of Police, Morganton, Nc; John Suttles; John Mcdevitt, Sheriff'S Deputy, Morganton, Nc; Steve Whisnant, Detective, Sheriff'S Dept., Morganton, Nc; Charles Whitman, Sbi Agent, Hickory, Nc; Joe Clark, Chief Jailer Burke County Jail, Morganton, Nc, Defendants, and Johnny Wehunt; Ronnie Hudson, Chief Detective, Morganton, Nc Police Dept., Appellants. Bobby Whisenant...
Cynthia Shoenberger, Law Student, Northwestern University Legal Clinic, Chicago, Ill., for plaintiff-appellant.
Steven D. Ebert, Wis. Dept. of Justice, Madison, Wis., for defendants-appellees.Before BAUER and POSNER, Circuit Judges, and LARSON, Senior District Judge.*LARSON, Senior District Judge.This is an action by an indigent state prisoner under 42 U.S.C. § 1983 (1976) for alleged deprivations of constitutional rights. Plaintiff-appellant Dean Justin McKeever is an inmate at the Waupun correctional facility operated by the Wisconsin Department of Health and Social Services. Defendant-appellee Thomas Israel is the Warden at Waupun. Defendant-appellee Gregory Hilt is a correctional officer at the prison.1 We reverse the judgment of the district court and remand for appointment of counsel and further proceedings consistent with this opinion.In his pro se complaint filed July 10, 1978, McKeever alleged that a prison policy forbidding a prisoner from taking in excess of 12 pieces of legal or social mail when he left the prison violated the First, Fourth, and Fourteenth Amendments to the United States Constitution and that property belonging to McKeever had been lost, destroyed, or stolen, in violation of the Fourth, Eighth, and Fourteenth Amendments. McKeever sought a declaration that the acts of the defendants had violated his constitutional rights and an injunction on his own behalf and on behalf of all other inmates to prohibit the mail and property policies. He also sought an injunction requiring the return of his property, or in the alternative, compensatory and punitive damages. Finally, McKeever sought an injunction to prohibit prison officials from retaliating against him for bringing this suit. The district court granted plaintiff leave to file his suit in forma pauperis under 28 U.S.C. § 1915(a) (1976). Because the trial court denied McKeever's motions for appointment of counsel, the plaintiff represented himself throughout the proceedings below.The claims evolved over a long series of pretrial motions. As ultimately defined by the district court, the question for determination at trial was narrowed to "the single issue of whether the defendant Hilt, on December 1, 1977, wrongfully forced plaintiff to separate 23 letters from the ones he had taken out of the prison to a court appearance." Docket Entry (hereinafter Doc.) 49. McKeever maintains that he left the prison on November 29, 1977, for a state court hearing on the modification of his sentence with 35 character reference letters in his possession. He claims that upon his return to the prison he was forced to "separate" 23 letters, 15 of which were never returned to him.2A court trial on the question of the missing letters was held on November 7, 1980. At the close of the plaintiff's case, the district court granted defendant's motion for involuntary dismissal. In granting this motion, the trial judge emphasized that plaintiff's "Complaint says one thing and his sworn testimony says another." Transcript (hereinafter Tr.) 167. In his amended complaint plaintiff stated that on December 1, 1977, Hilt had prevented McKeever from taking more than 12 letters back to his cell after the state court appearance, while at trial in the federal district court McKeever admitted that he had no contact with Hilt on December 1, 1977. The trial judge cited numerous other grounds for granting defendant's motion for involuntary dismissal, including the lack of any showing of proximate cause between the loss of the letters and McKeever's inability to gain a modification of his sentence.McKeever filed his in forma pauperis appeal pro se,3 and we appointed counsel to represent him before this Court.4 The focus of the arguments on appeal has been the trial court's refusal to appoint counsel for the plaintiff. McKeever maintains that the district court erred in not recognizing its authority to appoint counsel under 28 U.S.C. § 1915(d) (1976) and hence in entirely failing to exercise its discretion. Moreover, McKeever argues that it was an abuse of discretion not to appoint counsel when plaintiff stated a meritorious claim and the other factors specified by this Court in Maclin v. Freake, 650 F.2d 885, 887-89 (7th Cir. 1981), were present. McKeever requests this Court to reverse the judgment of the district court and to remand with instructions for the appointment of counsel.Defendants respond that there was no abuse of discretion because section 1915(d) merely allows the district court to "request" rather than "appoint" counsel for an indigent civil litigant. Further, defendants maintain that even if the statute provides authority to appoint counsel, the district court did not abuse its discretion under Maclin. Finally, defendants argue that if the district court abused its discretion in failing to recognize its power to appoint counsel under section 1915(d), the proper remedy would be to allow the district court to exercise its discretion on remand.Beyond the appointment of counsel issue, McKeever alleges a number of additional grounds for reversal:1. The district court erred by not exercising its discretion under 28 U.S.C. § 1915(c) (1976) to order the payment out of government funds of the fees of witnesses subpoenaed by an indigent party;52. the district court abused its discretion by not allowing plaintiff to amend or supplement his complaint with allegations contained in plaintiff's affidavit filed September 13, 1978, concerning beatings by guards, denial of necessary medicine, and other serious incidents of physical abuse in retaliation for the filing of this suit;3. the court below erred in granting Warden Israel's motion for summary judgment on plaintiff's claim of an alleged prison policy limiting the amount of mail a prisoner could take to or back from court appearances when the trial judge did not provide plaintiff with the notice of the need to file a counter-affidavit in response to Israel's statement that no such policy existed;64. the district court erred in failing to grant or at least to hold an expedited hearing on plaintiff's motion for a preliminary injunction against retaliation for filing this lawsuit when plaintiff's affidavit of September 13, 1978, detailed incidents of retaliation and defendants failed to submit any counter-affidavits;5. the enactment by Congress of the Civil Rights of Institutionalized Persons Act, § 7, 42 U.S.C. § 1997e, (Supp. IV 1980), during the pendency of this lawsuit requires vacation of the district court's order dismissing McKeever's claims for confiscation of property for failure to exhaust state administrative remedies;7 and6. the district court abused its discretion in awarding defendants $200 in attorney's fees plus costs when McKeever was an indigent prisoner proceeding pro se and his claim was not frivolous, unreasonable, or without foundation.Defendants have inexcusably failed to brief any of these additional issues, asserting that McKeever's arguments for reversal are without merit and that the district court's memoranda provide adequate treatment.The starting point for our analysis of the appointment of counsel issues is 28 U.S.C. § 1915 (1976): (a) Any court of the United States may authorize the commencement, prosecution or defense of any suit, action or proceeding, civil or criminal, or appeal therein, without prepayment of fees and costs or security therefor by a person who makes affidavit that he is unable to pay such costs or give security therefor. Such affidavit shall state the nature of the action, defense or appeal and affiant's belief that he is entitled to redress. (d) the court may request an attorney to represent any such person unable to employ counsel and may dismiss the case if the allegation of poverty is untrue, or if satisfied that the action is frivolous or malicious.There should be no question that a "district court has broad discretion to appoint counsel for indigents under 28 U.S.C. § 1915(d)." Maclin, 650 F.2d at 886; see also McBride v. Soos, 594 F.2d 610, 613 (7th Cir. 1979); Heidelberg v. Hammer, 577 F.2d 429, 431 (7th Cir. 1978); Chapman v. Kleindienst, 507 F.2d 1246, 1250 & n.6 (7th Cir. 1974); Ehrlich v. Van Epps, 428 F.2d 363, 364 (7th Cir. 1970); LaClair v. United States, 374 F.2d 486, 489 & n.3 (7th Cir. 1967).The trial court in the present case refused to appoint counsel for McKeever on at least four separate occasions. On September 13, 1978, subsequent to the alleged incidents of physical abuse, McKeever moved under 18 U.S.C. § 3006A(g) (1976) for appointment of counsel. The trial court ruled on April 30, 1979, that (w)ith respect to plaintiff's request for appointment of counsel, the Court wishes to advise plaintiff that it has no authority to provide compensation for counsel in civil cases. Therefore, the Court declines plaintiff's request to appoint counsel in this action.Doc. 27. McKeever renewed his request under section 3006A(g), but the district court found on October 1, 1979, that it "must again deny the plaintiff's request for appointed counsel because it has no funds to pay such counsel." Doc. 36. McKeever moved twice more under section 3006A(g), but the court ruled on October 6, 1980:The plaintiff has filed a motion for appointment of an attorney pursuant to 18 U.S.C. § 3006A(g). This section, however, applies only to the appointment of counsel in habeas corpus proceedings. Therefore, the Court lacks authority under this section to appoint counsel in a civil action such as this. Furthermore, because of the lack of funding, the Court cannot appoint counsel in a civil action under 28 U.S.C. § 1915. Therefore, plaintiff's request for appointment of counsel must be and is hereby denied.Doc. 56 (original emphasis omitted and emphasis added). On the day of trial, McKeever made one last attempt to gain an appointed attorney, stating "that the Court did not have the right to proceed in forma pauperis without giving me due counsel." Tr. 5. The district court responded:I have no authority to appoint counsel for indigent parties in Civil Actions. It's a frequent problem that we encounter. We do have attorneys sometimes that will accept Civil Actions on contingent fee bases, and we do endeavor to maintain a roster of attorneys that will do that, but I have no authority to appoint.All right, let the record show that with respect to the appointment of counsel, the Court has already indicated that it can and must deny that motion. It has no authority to appoint counsel for indigent litigants in this kind of a case.Tr. 5-7. The trial proceeded with McKeever representing himself.The district court failed entirely to exercise its discretion under section 1915(d) because it did not recognize its authority to appoint counsel. Defendants maintain that there was no abuse of discretion because section 1915(d) merely allows a court to "request" counsel rather than to "appoint" counsel, but the vast weight of authority in this Circuit8 and elsewhere9 demonstrates that the power of a court to provide counsel under section 1915(d) is commonly referred to as a power to "appoint." The distinction between "requesting" and "appointing" is irrelevant in the present case where the district court was operating under the mistaken impression that it had no authority whatsoever to secure counsel for McKeever. Moreover, it should be remembered that the issue of a distinction between "appointment" of counsel and a "request" for counsel is one that defendants have raised on appeal and not one that was articulated by the trial court. It is also irrelevant that plaintiff brought his motion under section 3006A(g) rather than section 1915(d). Although the trial court was correct that it could not appoint counsel in a section 1983 action under this provision,10 the court's rulings reflect a mistaken belief that it had no power at all to provide an attorney for the plaintiff. This is most apparent from the trial court's ruling of October 6, 1980, where it explicitly referred to section 1915 and said that it could not appoint an attorney under this provision due to a lack of funding.11 The unavailability of funds to compensate an appointed attorney seems to have been the major concern of the trial court, but this has no bearing on the power of a court to provide counsel under section 1915(d). See, e.g., Heidelberg, 577 F.2d at 431.The failure of the trial court to exercise its discretion under section 1915(d) was an abuse of discretion. See Ray v. Robinson, 640 F.2d 474, 478 (3rd Cir. 1981); United States v. McQuade, 579 F.2d 1180, 1181 (9th Cir. 1978). As the United States Court of Appeals for the Ninth Circuit said in McQuade:The refusal to appoint counsel by the court was not based upon a failure to demonstrate indigency under § 1915, nor upon an exercise of discretion that this case was inappropriate for the appointment of counsel, but rather upon the ground that the court had no authority whatsoever to appoint counsel for civil litigants.Id. The McQuade appeals panel remanded to allow the district court to exercise its discretion,12 but we will go further and remand with instructions to appoint counsel.In LaClair this Court said "that appointment of counsel for indigents in habeas corpus and section 2255 proceedings rests in the sound discretion of district courts unless denial would result in fundamental unfairness impinging on due process rights." 374 F.2d at 489. This has become the general standard in this Circuit for reviewing refusals to appoint counsel under section 1915. See Maclin, 650 F.2d at 886; Heidelberg, 577 F.2d at 431; Chapman, 507 F.2d at 1246 n.6. In Maclin we emphasized that even though the appointment of counsel is highly discretionary, this does not mean that the district court is beyond review. We held that, under the LaClair due process standard, the district court had abused its discretion in refusing to appoint counsel. We reversed and remanded for appointment of counsel and further proceedings.In reaching this conclusion we outlined a series of considerations that the district courts should take into account when ruling on section 1915(d) motions. The threshold question is whether the claim is of sufficient merit. This Court emphasized that "(e)ven where the claim is not frivolous, counsel is often unwarranted where the indigent's chances of success are extremely slim." 650 F.2d at 887. Assuming that this initial criterion is satisfied, the district court should consider a variety of other factors. We noted the considerations that had the greatest applicability to the facts of Maclin and which are most frequently cited by courts in support of appointment of counsel. Id. at 888-89. The first factor is whether the party is able adequately to investigate the factual issues in the dispute. Appointment of counsel is often warranted where the indigent is unable to conduct a suitable investigation. The second factor is whether the only evidence that will be introduced is in the form of conflicting testimony. Examination and cross examination by trained counsel should aid the factfinder in determining the truth. The third factor is whether the indigent party is capable of presenting his or her own case. If the requisite capacity is lacking, counsel should be appointed. The fourth factor is whether the law to be applied is complex or unclear. It will aid the court in the resolution of difficult legal issues if argument is presented on both sides by competent counsel. In Maclin we emphasized that these factors "are by no means an exclusive checklist .... In some other case other elements will no doubt be found significant-even, perhaps, controlling." Id. at 889.We need not go beyond the Maclin factors, however, to demonstrate that it was an abuse of discretion for the district court to fail to appoint counsel for McKeever. As to the merits of McKeever's claim, it is significant that defendants moved to dismiss the action on a number of occasions but that the trial court found that there was enough merit to allow at least part of plaintiff's claims to go forward. Also, the instant case is distinguished from the two major cases cited in Maclin as examples of clearly nonmeritorious claims. In one case dispositive defenses were available to the defendant and in the other there was no chance of success because the controlling law was well settled. See Maclin, 650 F.2d at 887 (citing Miller v. Pleasure, 296 F.2d 283 (2d Cir. 1961), cert. denied,Try vLex for FREE for 3 days
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