Lead Opinion
We set this case for hearing en banc to decide whether an order dismissing the suit, but allowing the litigant an option of reinstatement, becomes a “final decision,” and therefore may be appealed under 28 U.S.C. § 1291, once the time to use the option has expired. Our answer is “yes.”
I
On August 1, 1989, the Commission on Chicago Landmarks laid off Arlene Otis. She filed this suit under Title VII of the Civil Rights Act of 1964, contending that the City acted because she is black rather than for its stated reason, lack of funds. The district court appointed counsel for Otis under 42 U.S.C. § 2000e — 5(f)(1). Shortly before, Otis had failed to appear for a status conference and a scheduled deposition, setting a pattern that was to continue. Soon after the court provided her with a lawyer, Otis stood up counsel for both sides by not appearing for a rescheduled deposition, and she did not keep appointments with her lawyer.
The district judge instructed Otis to cooperate with her lawyer and informed her that “[fjailure to cooperate with counsel will result in dismissal” of the case. Shortly after receiving this warning, Otis skipped an appointment with her lawyer and appeared an hour late for her deposition. The deposition could not be completed and was rescheduled. On December 11,1990, the date to which the deposition had been continued, Otis did not attend. Her lawyer asked the court for leave to withdraw; the City asked the court to dismiss the case as a sanction. Otis apologized for her conduct and promised to cooperate in the future, thrice vowing: “I won’t miss any more dates.” The judge denied
At a status hearing on February 6 plaintiffs counsel informed the court that the City had satisfied its discovery obligations but that Otis needed to complete her answers to the City’s interrogatories. Two weeks later counsel renewed his motion to withdraw, telling the court that Otis had missed one more appointment and arrived so late for another that it had been impossible to meet with her. Counsel told the judge that Otis also had not supplied the information necessary for him to answer the City’s interrogatories. This time the judge permitted the lawyer to withdraw and informed Otis that he would not appoint another:
I am sorry, Ms. Otis, but I can only go so far to ask the members of the bar to use their free time to help people like you, and you have only yourself to blame for the fact that I am granting this motion. I am sorry, but counsel is given leave to withdraw and you will have to represent yourself, unless you are able to hire an attorney.
Otis did not find another lawyer on her own, and she did not complete her discovery obligations.
At a status hearing on March 27, 1991, Otis told the judge that there had been a fire in her apartment and that she had become homeless. She did not appear for the next status hearing, but she apparently learned that the court had set a discovery cutoff date of May 8,1991, for on that date she produced her answers to the City’s first set of interrogatories. In response to all 15 questions after the first (which solicited her name and address), she wrote: “I cannot answer this question at this time due to extreme emotional distress.” She ignored the single query in the City’s second round of interrogatories, and she did not furnish any of the documents Chicago requested. The City asked the court to dismiss the case for failure to complete discovery, and the court granted this motion.
Otis told the judge at a hearing on July 11 that she was homeless, that she was being treated for depression and emotional distress, and that she had been unsuccessful in her quest for another lawyer and was unable to proceed on her own. The judge expressed sympathy but remained unwilling to conscript another lawyer for a person who had failed to cooperate with the first. Believing that the City was entitled to prevail on the current record, but seeking to offer Otis a chance to continue if she were to recover from her depression or locate a lawyer, the court gave each side part of what it wanted. The judge told Otis that he would grant the City’s motion and dismiss the case but that he would reinstate the suit if, within six months, she answered the City’s interrogatories. On July 15,1991, the court entered this order:
Defendant’s continued motion to dismiss case for failure of plaintiff to comply with court’s order is granted. Order cause dismissed with leave to plaintiff to move on properly noticed motion for leave to reinstate case provided that plaintiff has delivered to defendant signed answers to outstanding discovery requests. Motion for leave to reinstate case must be noticed for hearing on or before January 11, 1992.
The preprinted form used for miscellaneous orders in the Northern District of Illinois has two check boxes, one marked “Judgment is entered as follows:” and the other “[Other docket entry:]”. The clerk checked the latter box.
Otis did not file any papers between July 15, 1991, and January 11,1992. When January 12 arrived, the district court took no action. It did not then enter a judgment under Fed.R.Civ.P. 58 and has not done so since. On February 10, 1992, Otis filed a notice of appeal.
II
Unfortunately, this case became dormant in the district court without the benefit of a final judgment under Rule 58. Two factors jointly produced this.
Pitfalls and imponderables of this kind-this catalog is not exclusive-make the use of conditional dismissals problematic. On rare occasions dismissal with leave to reinstate may serve a legitimate purpose, but most of the time both litigants and courts would be better off if the judge announced a plan to dismiss in the future unless something happened. Here, for example, the judge could have said that unless by January 11, 1992, Otis answered the defendant's interrogatories, he would dismiss the case with prejudice. Casting the order in this fashion would have induced the court to schedule a status conference for January 12, which would have led to the entry of a proper final judgment if Otis had not satisfied her obligations by then. One difference between a dismissal with leave to reinstate and a continuance with dismissal in store if a step is not taken is that the immediate dismissal makes the district court's statistics look better. Never should a court jeopardize a litigant's rights for the purpose of burnishing its own reputation. We trust that district judges will be careful to use this device only when it serves a legitimate function that cannot be achieved in other ways.
Second, after the time to reinstate the case had expired, the district court did not enter a judgment. Rule 58 provides that every case must end with a formal judgment on a separate document. For some years, the Northern District of Iffinois has been less than punctffious in observing this requirement. Although minute orders pepper the record, cases often peter out without the clarity that a Rule 58 judgment produces. Rule 58 is designed to produce a distinct indication that the case is at an end, coupled with a precise statement of the terms on which it has ended. It should be a self-contained document, saying who has won and what relief has been awarded, but omitting the reasons for this disposition, which should appear in the court's opinion. E.g., Reytblatt v. Denton,
Rule 58 puts the onus of preparing a judgment squarely on the shoulders of the clerk of the district court. When docketing the minute order on July 15, 1991, the clerk should have entered into the court's automated docket system a tickler marking January 11, 1992, as an important date. If by then Otis had filed nothing, the clerk should have followed Rule 58(1):
[U]pon a general verdict of a jury, or upon a decision by the court that a party shall recover only a sum certain or costs or that all relief shall be denied, the clerk, unless the court otherwise orders, shall forthwith prepare, sign, and enter the judgment without awaiting any direction by the court[.]
By January 12, 1992, it had become clear that “all relief shall be denied”, so the clerk should have entered a take-nothing judgment “without awaiting any direction by the
If the district court provides for conditional dismissal and neglects to enter a Rule 58 judgment, may the plaintiff appeal? This circuit has developed two lines of cases, which are hard to reconcile.
One series of cases emphasizes that the only obstacle to appealing the initial order dismissing the case is that the potential for satisQying the condition renders the dismissal one without prejudice. When the condition is no longer satisfiable, the dismissal becomes one with prejudice, hence final, and thus appealable. For example, in Harris v. Milwaukee County Circuit Court,
Another group of cases, however, emphasizes that until the court has entered a Rule 58 judgment or expressly indicated that none is contemplated-as by using "ripening" language-it is always possible for the court to change its mind, which prevents the dismissal from becoming a final decision. So, for example, we held in Hatch v. Lane,
In approaching this subject anew, we are guided by three decisions of the Supreme Court: Shalala v. Schaefer, - U.S.
According to the second circuit, when a district court enters an order dismissing a complaint but permitting the plaintiff to supplement the answers to interrogatories within 14 days, which will lead to reinstatement, the expiration of the time means that “[t]he way for compliance is no longer open. No possibility, therefore, exists of later compliance and piecemeal appeal”, making the order appealable without ado. Cleary Brothers v. Christie Scow Corp.,
Courts elsewhere follow the same approach. In Schuurman v. Motor Vessel Betty K V,
These eases do not reflect an insouciant attitude toward Rule 58. Rather, they find strong support in Mallis and Schaefer, which conclude that “a formal ‘separate document’ of judgment is not needed for an order of a district court to become appealable.” Schaefer, — U.S. at -,
An appeal from a conditional order of dismissal fits comfortably within Mallis and Schaefer. We know who won (the defendant) and the terms of the disposition (the plaintiff takes nothing). Once the time to satisfy the condition has expired, the order is “final” by any standard other than one making the entry of a Rule 58 judgment indispensable— and we know from Mallis and Schaefer that a Rule 58 judgment is not the sine qua non of appeal. It has been clear since Cohen v. Beneficial Industrial Loan Corp.,
For the same reason that we believe a Rule 58 judgment unnecessary, we conclude that the use of explicit “ripening” language is not essential to jurisdiction. Helpful it certainly would be, but language of this kind is unrelated to jurisdiction. This ease is indubitably over in the district court. If there were to be any jurisdictional hurdle beyond the announcement of the winner and the terms, it would be the entry of some document on the docket of the court. 28 U.S.C. § 2107. Language saying that a dismissal will become final does not add anything to the combination of dismissal and a time certain for fulfilling a condition, and a magic-words approach to jurisdiction sets the same snares we have already discussed.
Treating the order dismissing the case as the appealable order, with finality springing into existence when the time to satisfy the condition expires, not only protects litigants’ rights while avoiding the need to take unnecessary steps but also is consistent with modern practice. Since 1979, Fed.R.App.P. 4(a)(2) has permitted losing parties to appeal immediately after the announcement of the judgment, even if the court has yet to enter the proper document. See FirsTier Mortgage Co. v. Investors Mortgage Insurance Co.,
However attractive the “springing finality” approach may be, Chicago submits, it is beyond our power to adopt in light of Jung v. K. & D. Mining Co.,
Chicago’s position reflects a common confusion. It assumes incorrectly that the maximum number of opportunities to appeal is one. By holding that Jung could appeal from the delayed Rule 58 judgment, Chicago believes, the Supreme Court necessarily concluded that Jung could not have appealed from the earlier order. That might be so if § 1291 allowed appeals only from final “judgments”, but the statute actually speaks of final “decisions”, and the collateral-order
Jung is a precursor to United States v. Indrelunas, 411 U.s. 216,
Even if Chicago’s understanding of Jung were correct, Otis would retain an opportunity to obtain appellate review. She could ask the district court to enter a Rule 58 judgment from which she could appeal, even though this appeal would come years after the case was effectively over in the district court. Victorious litigants wishing to write finis to the case would do well to ensure that the district court adheres to Rule 58. We suspect that both district judges and prevailing parties will become more attentive to that rule after today’s decision.
One final contention calls for discussion. Chicago reminds us of 28 U.S.C. § 2107(a):
Except as otherwise provided in this section, no appeal shall bring any judgment, order or decree in an action, suit or proceeding of a civil nature before a court of appeals for review unless notice of appeal is filed, within thirty days of the entry of such judgment, order or decree.
The district court’s minute order of July 11, 1991, was entered on the docket on July 15. Chicago contends that, if this order was indeed an appealable decision, the notice of appeal had to be filed by August 14. (None of the extensions allowed by § 2107 applies.)
"Entry" of a judgment usually means its recording on the docket of the court. In consequence, a litigant entitled to appeal under the collateral order doctrine must act within 30 days and if this time expires without appeal must wait until the final judgment to pursue the issue. SEC v. Quinn,
We overrule Hatch, Strasbwg, and Grant-ham to the extent they forbid an appeal from a conditional order of dismissal after the time to satisfy the condition has expired. In the process, we eliminate the conflict among the circuits that these opinions engendered. We need not decide whether a party may appeal before the running of the time on the theory (as in The Three Friends) that a notice of appeal is tantamount to a declaration that the condition will never be satisfied, making the order “final” forthwith. Litigants, especially those without the aid of counsel, may be confused about the right means to secure appellate review, and deeming the notice of appeal a waiver of the opportunity to satisfy the condition may cause them to forfeit valuable entitlements. Otis waited until the time had run, and we need not decide today what would have happened if she had appealed earlier.
Ill
Appellate review of orders dismissing litigation for want of prosecution is deferential, Roland v. Salem Contract Carriers,
All questions about counsel to one side, the district court undoubtedly was entitled to dismiss the suit. It required five efforts to obtain Otis's deposition: she failed to appear at three and was late to a fourth. She failed to answer interrogatories or supply documents. Plaintiffs must submit to discovery in litigation they initiate, and failure to do so leads straight to dismissal. Newman v. Metropolitan Pier & Exposition Authority,
Otis contends that, once the district court realized that she could not carry on alone, the court should have appointed a second lawyer to assist her, and that with the aid of another lawyer she could have avoided dismissal. Again our review is deferential, Darden v. Illinois Bell Telephone Co.,
The district judge observed that Otis had not cooperated with her first lawyer and concluded that a litigant who wastes the time of one practitioner cannot expect the court to put another lawyer's time at her disposal. Section 2000e-5(f) does not require judges to provide unlimited legal aid to indigent civil rights litigants. Members of the bar have other clients with claims that also require attention. Before diverting this limited time to a plaintiff under Title VII, the district judge should ensure that it will be well used. Reallocating legal time to an indigent plaintiff may be imprudent for many reasons-for example, if the case is weak (implying that the judge would be taking time away from other clients with good cases and directing lawyers to devote it to persons with poor ones), or if the time will not be well spent in the new endeavor. The district judge understandably had doubts on both scores. Otis
Recent opinions stress that litigants’ principal resource is the willingness of the bar to supply aid, not the power of the court to conscript it. Farmer v. Haas,
To this Otis replies that the district judge did not explicitly recite the considerations commended by Darden, and that lack of cooperation with counsel is not on Darden’s list. This just shows, however, the danger of treating judicial opinions as if they were statutes. The question at issue in Darden was whether the district court had given adequate consideration to a litigant’s request for counsel. Here the district court not only considered the request but also appointed counsel. Darden did not ask what would have happened had appointed counsel withdrawn because of lack of cooperation. Like the district judge, we believe that this is a different matter entirely, and that a plaintiff who squanders her opportunity has no entitlement to a second chance. A litigant who receives something for free may treat it as if it were worthless. The district court knew better and stressed that legal time is a limited resource; allocating more of it to Otis means less of it for other litigants, who are no less deserving.
One final subject and we are done. Otis contends that she did not have the full benefit of legal assistance, because her appointed lawyer was laboring under a conflict of interest. After the district court appointed him, the lawyer wrote to Otis, with copy to the City:
Before undertaking your representation, you should know that [the law firm of which I am a partner] on occasion represents] the City of Chicago in matters not related to claims of employment discrimination. Before I can undertake to represent you, I must obtain agreement from both you and the City of Chicago that I can represent you in this case, and that you waive any conflict of interest that I might have by reason of [representing] the City in other matters.
Chicago promptly waived in writing any entitlement it had to prevent the lawyer from representing Otis; Otis herself did not reply to this letter, and her current attorney contends that her silence means that the first lawyer never properly became her counsel. It is not clear to us that there was any actual conflict; we do not know, for example, whether the attorney’s law firm had Chicago as a client at any time during his representation of Otis. What is more, by objecting to the attorney’s motion to withdraw, a motion made well after she received notice, Otis waived any right she possessed to a lawyer whose firm had no ties to her adversary. Otis has had ample opportunity to prosecute this suit, and the district court properly brought it to a close.
Affirmed.
Concurrence Opinion
concurring in the judgment.
I am pleased to join Judge Rovner’s very perceptive concurrence in the judgment. And it seems to me that Judge Hart handled this case in exactly the right way. In addition, I support, at least in principle, the majority’s effort to rise above “magic words” in assessing appealability. Unfortunately, I am afraid that the effort to divine a “clear intention” to end a case without some recourse to “magic words” will be easier said than done. But it is an experiment worth trying.
Concurrence Opinion
with whom CUDAHY, Circuit Judge, joins, concurring in the judgment.
Although I am convinced that we should accept jurisdiction over this appeal and that the district court did not abuse its discretion in dismissing Otis’ case, I write separately to address two aspects of the court’s opinion with which I cannot agree. First, I believe the court’s discussion of the allegedly conflicting lines of authority in this circuit exaggerates the extent of any differences in orn-eases. And second, I am uncomfortable with the court’s comments on the practice of dismissing eases with leave to reinstate in the Northern District of Illinois.
A.
I am less sanguine than the majority that our existing cases can so easily be assigned to distinct and competing camps. (See ante at 1163-1164.) In my view, our cases are in large measure consistent, and absent the changes we adopt today, those cases would indicate that we have no jurisdiction over this appeal. In Hatch v. Lane,
On the heels of Hatch came Harris v. Milwaukee County Circuit Court,
[t]he form of order used in this case should be distinguished from that held not to create an appealable judgment in Hatch v. Lane,854 F.2d 981 , 981-82 (7th Cir.1988).... An order that simply dismisses a case with leave to replead is not a final judgment, because it does not end the litigation. It is true that the form of order in Hatch implied that if the plaintiff did not file a particular type of amended complaint within thirty days, the case would be over. But there was no direction to that effect, and we thought that in such a case a final judgment order should be required. Here the district judge stated that his order would become a final judgment on a specified date unless a specified contingen-*1171 ey occurred, and the contingency did not occur so the order became a final judgment on the specified date according to its terms. This was an unorthodox but not an improper method of complying with Rule 58’s requirement of a separate judgment order, although an explicit final judgment order would have been better. The order in Hatch was more oblique, and crossed the line.
Id. (citation omitted, emphasis added). The dichotomy that emerges from Hatch and Harris emphasizes the terms of the particular dismissal order at issue, and in particular, whether the order notifies the parties that the case will end automatically when the reinstatement period expires. We followed that dichotomy consistently in subsequent cases, and until today, it remained the law of this circuit. See Strasburg v. State Bar of Wisconsin,
The majority observes, however, that we at times have entertained appeals even where a conditional dismissal order had not mentioned a final judgment, thereby implying that we have been less than faithful to Hatch. (Ante at 1164 (citing Kaplan v. Zenner,
Were we to adhere to Hatch and Harris today, there is no doubt in my mind that we would refuse jurisdiction over this appeal, as the district court’s July 11, 1991 order is clearly of the Hatch rather than the Harris variety. The district court effectively dismissed Otis’ ease without prejudice, and its order did not state that the conditional dismissal would be converted into a dismissal with prejudice at the end of the reinstatement period. The court’s decision to accept jurisdiction over this appeal therefore represents a clean break from our existing precedents, although it is a break with which I agree. Judge Easterbrook’s opinion quite rightly explains that our jurisdiction should not depend on whether the district court invoked the “magic words” of finality in its conditional order when it is otherwise clear that the court intended no further proceedings in the case. (Ante at 1165-66.) I therefore concur in the decision to abandon Hatch and its progeny, although I do so recognizing that following those decisions would have required a different result today.
B.
I also am compelled to comment on the court’s discussion of the practice of dismissing cases with leave to reinstate. The majority begins by telling us that the practice is rarely used outside the Northern District of Illinois (ante at 1162), but that is simply not the case, as there are any number of decisions from other circuits that address the implications of such orders on appellate jurisdiction. (See ante at 1164-65 (discussing case law from other circuits)). As a former district judge who utilized similar orders, I take exception to the implication that the
For example, in the case before us today, Judge Hart surely was unconcerned with docket statistics when he provided the plaintiff an opportunity to reinstate her case in six months if her discovery obligations were belatedly fulfilled. As the majority explains, Judge Hart was entitled to dismiss the case outright on July 11, 1991 (or perhaps even before that (see ante at 1168)), and in my view, he should not be faulted for displaying compassion for a pro se litigant by providing her six additional months to complete her discovery and to reinstate her ease. The majority responds that the district court could just as easily have announced on July 11,1991 that it intended to dismiss Otis’ case in six months if she remained unable or unwilling to proceed. (See ante at 1163.) But as the majority concedes, that would have required the court to set an additional status hearing for January 12, 1992, and on that date, to revisit the case yet again. The majority’s proposal would therefore require district courts, whose scarce resources already are overextended, to expend even more time on cases that are going nowhere, not to mention the additional expense and inconvenience to the parties of further hearings. Furthermore, if the case happened to be over three years old when the district court made the preliminary announcement the majority proposes (which was not the case here), the court would have been required to explain in a published report why the case had not yet been resolved. See 28 U.S.C. § 476(a)(3). Because a district court has only limited time to devote to each of its hundreds of eases, and because it generally is perceived (whether correctly or incorrectly) as something of a stigma to have cases included on such a published report, the majority’s proposal may make district courts even less willing to offer plaintiffs in Otis’ position similar opportunities in the future. Of course, the district court avoids all of these problems by dismissing the case with leave to reinstate. At the same time, after today’s decision, the court’s conditional order in all likelihood would not create new problems with jurisdiction on appeal.
I also found as a district judge that the practice of dismissing with leave to reinstate is particularly useful in the settlement context. For example, it can serve a legitimate purpose where settlement is imminent, or where the parties have decided to settle but need considerable time to finalize the terms of their agreement. Indeed, parties engaged in serious settlement negotiations often request a dismissal with leave to reinstate in order to maintain constructive pressure on the bargaining process while avoiding the time and expense of ongoing litigation responsibilities. A district judge might also use the device herself to insure that parties who purport to be on the verge of settlement finalize their agreement promptly. Use of the practice in the settlement context is eminently reasonable for a court with literally hundreds of civil and criminal cases on its docket, especially where any number of those cases may be on the verge of settlement at any one time. The alternative — permitting a case to languish on its docket while the court waits to hear from the parties — presents problems of its own, as that is one sure way for cases to fall through the cracks for months at a time. The only way to prevent that is to require periodic status reports, which again put parties on the verge of settlement to an unnecessary inconvenience and expense, particularly when one or both are from outside the district.
In the current judicial climate, where con-gressionally-imposed time constraints on the civil docket compete with the Speedy Trial Act restrictions of the criminal docket, we should not be so quick to condemn a practice that has proved useful to our district court colleagues simply because it may, in a few isolated instances, create jurisdictional questions on appeal. Given the degree of docket congestion in the Northern District of lili-
Notes
. I am all too familiar with the facts in Adams, as I was the district judge below.
