Kathie BOUDIN, Plaintiff-Appellee-Cross-Appellant,
v.
Dale THOMAS, Warden of Metropolitan Correctional Facility,
Norman Carlson, Director of Federal Bureau of Prisons, John
S. Martin, Jr., United States Attorney, Thomas Coughlin, the
Commissioner of Correction of the State, Kenneth Gribetz,
District Attorney of Rockland County and Elijah Coleman,
Superintendent of the Rockland County Jail, Defendants,
Dale Thomas, Warden of Metropolitan Correctional Facility,
Norman Carlson, Director of Federal Bureau of Prisons, and
John S. Martin, Jr., United States Attorney,
Defendants-Appellants-Cross-Appellees.
Nos. 467, 468, Dockets 83-2170, 83-2174.
United States Court of Appeals,
Second Circuit.
Argued Dec. 16, 1983.
Decided April 17, 1984.
Ellen J. Winner, New York City (Martin Garbus, Rabinowitz, Boudin, Standard, Krinsky & Lieberman, Frankfurt, Garbus, Klein & Selz, New York City, of counsel), for plaintiff-appellee-cross-appellant.
Carolyn L. Simpson, Asst. U.S. Atty., S.D.N.Y., New York City (Rudolph W. Giuliani, U.S. Atty., S.D.N.Y., Peter C. Salerno, Asst. U.S. Atty., S.D.N.Y., New York City, of counsel), for defendants-appellants-cross-appellees.
Before MESKILL, CARDAMONE and PIERCE, Circuit Judges.
MESKILL, Circuit Judge:
The United States appeals from an order of the United States District Court for the Southern District of New York, Duffy, J., granting appellee Kathie Boudin attorney's fees of $37,740 under the Equal Access to Justice Act (EAJA), 28 U.S.C. Sec. 2412 (1982). The fees were based on earlier litigation over the conditions of Boudin's confinement at the Metropolitan Correctional Center (MCC), a federal correctional institution in New York City. Boudin cross-appealed from the district court's failure to consider her motion for attorney's fees under 42 U.S.C. Sec. 1988 (Supp. IV 1980), its award of only half of the fees requested in her EAJA motion, its denial of fees based on reconstructed records and its denial of fees for expert witnesses. We reverse the judgment of the district court on the main appeal, affirm on the cross-appeal for fees under section 1988 and dismiss the remainder of the cross-appeal as moot.
BACKGROUND
Kathie Boudin was arrested on October 20, 1981 while fleeing the scene of an armed robbery of a Brinks truck during which a Brinks guard and two policemen were killed. She was not alleged to have been armed. Boudin was indicted on three counts of second degree murder and six counts of first degree robbery, as well as two assault counts and two theft counts.
Initially, Boudin was taken to the Rockland County Jail. Officials there were concerned with the lack of adequate security measures at the jail and requested her transfer to the custody of the Federal Bureau of Prisons. Boudin arrived at the MCC on October 26, 1981.
Boudin's alleged connections to terrorists in the Weather Underground and the Black Liberation Army were the subject of widespread news articles as well as FBI reports and reports of other law enforcement agencies. Prison officials at the MCC, aware of these reports and of the views of the law enforcement agencies that Boudin might be connected to the terrorist groups, feared a violent escape attempt. Their response was to place Boudin and her co-defendant Judith Clark in "administrative detention." This consisted of confining Boudin and Clark to their cells (with meals served there) except for one hour of recreation alone in the hallway next to their cells. Boudin and Clark were separated from each other, as well as from the rest of the prison inmates. Both were denied contact visits with anyone, including their infant children. Non-contact visits were allowed with immediate family members two days a week for two hour time periods and unlimited attorney visits were allowed between 8:00 a.m. and 8:30 p.m.
Boudin challenged these conditions in the district court. On January 7, 1982, the district court granted the relief Boudin sought. It ordered Boudin released from administrative detention and returned to the general prison population and also ordered the MCC to allow Boudin contact visits.1
Boudin subsequently moved for attorney's fees under the EAJA and under the attorney's fees provision of the Civil Rights Act, 42 U.S.C. Sec. 1988 (Supp. IV 1980). The district court granted the motion under the EAJA.
DISCUSSION
This appeal concerns the interpretation of the Equal Access to Justice Act of 1980, Pub.L. 96-481, Sec. 204(a), 94 Stat. 2321, 2327-29. For purposes of this appeal, the pertinent part of the EAJA is 28 U.S.C. Sec. 2412(d)(1)(A) (1982), which states:
Except as otherwise specifically provided by statute, a court shall award to a prevailing party other than the United States fees and other expenses, in addition to any costs awarded pursuant to subsection (a), incurred by that party in any civil action (other than cases sounding in tort) brought by or against the United States in any court having jurisdiction of that action, unless the court finds that the position of the United States was substantially justified or that special circumstances make an award unjust.
(emphasis added). In short, the Act authorizes the award of attorney's fees to a party litigating against the government when the party claiming attorney's fees was the "prevailing party" in a "civil action" unless the government successfully bears the burden of showing that its position was "substantially justified," see Environmental Defense Fund, Inc. v. Watt,
A. Whether Boudin Was the "Prevailing Party"
Boudin was the "prevailing party" in both the original litigation and the government's appeal. Her success in the district court action is obvious. As for the question of her success on the government's earlier appeal, this Court's decision in Hastings v. Maine-Endwell Central School District,
The government cites Hanrahan v. Hampton,
B. Whether the Action Was a "Civil Action" Under Section 2412
In order to determine whether Boudin's original action was "civil" for purposes of section 2412(d)(1), we must first determine the nature of that action. Boudin styled her complaint as a "verified petition for writ of habeas corpus," J.App. at 5, but also asserted that it was "in essence a Bivens action." Reply Br. of Cross-Appellant at 18. We cannot rely, however, on the labels attached to the claim. Rather, we look to the substance of the remedy she sought. In this case, Boudin sought to be physically moved in order to remedy past constitutional violations. This is in substance a petition for a writ of habeas corpus.
In Preiser v. Rodriguez,
Preiser stated that habeas might sometimes be available to challenge the conditions of confinement. Although it did not set forth those situations, it did state that one of them might be "[w]hen a prisoner is put under additional and unconstitutional restraints during his lawful custody." Id. at 499,
Boudin was in federal custody and met the requirements of 28 U.S.C. Sec. 2241(c)(1) (1982). She sought to be moved out of administrative segregation because of the prison administration's previous constitutional violations. It is therefore appropriate to treat the part of Boudin's complaint seeking transfer to the general prison population as a petition for a writ of habeas corpus.2
We next consider whether habeas petitions are "civil actions" under section 2412. We hold that they are not.3 Appellee's argument to the contrary is that the statute applies to "civil" proceedings, 28 U.S.C. Sec. 2412(d)(1)(A) (1982), that habeas proceedings are generally labeled "civil," e.g., Browder v. Director, Department of Corrections,
The term "civil action" does not appear in the definitional section of the EAJA. See 28 U.S.C. Sec. 2412(d)(2)(A) (1982). Because habeas actions are civil for some purposes but not others, there is an ambiguity on the face of the statute. We must therefore turn to the legislative history of the EAJA to determine whether Congress intended to include habeas petitions within the statute. Schwartz v. Romnes,
This Court is not persuaded that Congress meant to include the unique habeas corpus proceeding in the category of "any civil action" for the purposes of section 2412. Cf. Schlanger v. Seamans,
1. Financial Incentives for Contesting Government Action
The EAJA was passed in part to ensure that certain individuals, partnerships, corporations and other organizations would not be deterred from contesting unreasonable government action simply because the amount of money involved would not make hiring a private attorney cost effective. See, e.g., H.R.Rep. No. 1418, 96th Cong., 2d Sess. 5, reprinted in 1980 U.S.Code Cong. & Ad.News 4984, 4984.4 Congress' intent in authorizing fee awards under the EAJA was clearly to ensure that the cost of litigating against unreasonable government action would not be disproportionate to the potential gain from winning the litigation:
For many citizens, the costs of securing vindication of their rights and the inability to recover attorney fees preclude resort to the adjudicatory process. When the cost of contesting a Government order, for example, exceeds the amount at stake, a party has no realistic choice and no effective remedy. In these cases, it is more practical to endure an injustice than to contest it.
Id. at 9, 1980 U.S.Code Cong. & Ad.News at 4988. But unlike civil litigation against the government, there is no need for financial encouragement of habeas proceedings. First, where a (non-indigent) person's liberty or confinement is at stake, the costs will rarely deter the person from resorting to the adjudicatory process. Second, there are no considerations of whether the potential financial gain from a habeas action is outweighed by the costs because a habeas petition is not financial litigation.
Moreover, there is presently an equivalence between the financial criteria used to determine eligibility for government provided counsel in habeas proceedings and in criminal proceedings. Applying the EAJA to habeas proceedings would change that statutory equivalence.5 A court, in its discretion, may appoint counsel for a habeas petitioner's evidentiary hearing if the petitioner meets the same financial requirement imposed on a criminal defendant who desires appointed counsel. 28 U.S.C. Sec. 2254, Rule 8(c) (1982); 18 U.S.C. Sec. 3006A(g) (1982). The financial requirement for criminal defendants and habeas petitioners alike is an inability to afford private counsel. 18 U.S.C. Sec. 3006A(a), (g) (1982). But the EAJA is expressly inapplicable to criminal proceedings. 28 U.S.C. Sec. 2412(d)(1)(A) (1982). If Congress had wished to change the statutory equivalence between criminal and habeas cases by using the EAJA to authorize the government's funding of counsel in certain habeas cases but not equivalent criminal cases, we believe it would have said so.
Similarly, the purpose of appointing counsel in criminal and habeas cases is to assist those who cannot afford private counsel. See United States v. Durant,
Finally, as discussed above, non-indigent habeas petitioners are much more likely to hire their own counsel than those who litigate against the government over small amounts. Therefore, the considerations behind funding counsel for the two types of litigants are very different. A statute authorizing payment for a private litigant's attorney should not be automatically construed to authorize payment for the attorneys of some persons who litigate over their liberty or confinement, merely because the label "civil" is broadly applied to both types of litigation.
2. Absence of Fee Awards in Analogous Habeas Actions
The Act provides that fees may be awarded against the United States "to the same extent that any other party would be liable under the common law or under the terms of any statute which specifically provides for such an award." 28 U.S.C. Sec. 2412(b) (1982). See Premachandra v. Mitts,
But there is no authority for taxing attorney's fees against states in the analogous state custody habeas action. A congressional statute is required in order to award attorney's fees in federal court actions when, as is the case here, no common law exceptions apply. See Alyeska Pipeline Service Co. v. Wilderness Society,
3. Encouragement of Resistance to Wrongful Government Activity: Public Policy
The EAJA was passed partly to encourage challenges to improper actions by government agencies. The drafters perceived legal actions as helping to formulate public policy:
An adjudication or civil action provides a concrete, adversarial test of Government regulation and thereby insures the legitimacy and fairness of the law. An adjudication, for example, may show that the policy or factual foundation underlying an agency rule is erroneous or inaccurate, or it may provide a vehicle for developing or announcing more precise rules. The bill thus recognizes that the expense of correcting error on the part of the Government should not rest wholly on the party whose willingness to litigate or adjudicate has helped to define the limits of Federal authority.
See H.R.Rep. No. 1418, 96th Cong., 1st Sess. 10, reprinted in 1980 U.S.Code Cong. & Ad.News 4984, 4988-89. By contrast, habeas petitions are dedicated to vindicating individual rights based on the Constitution rather than refining rules and policy. They are no more public policy oriented than is a criminal trial. Moreover, we doubt that Congress felt a need to encourage the filing of habeas petitions; they flourished long before the Act was proposed.
The above considerations convince us that Congress either meant to exclude habeas petitions from the scope of section 2412 or overlooked the question. But because a waiver of the sovereign immunity of the United States must be unequivocal and explicit, see, e.g., United States v. Testan,
Thus, to the extent that Boudin's action was a petition for habeas corpus, the district court could not award her attorney's fees because the action did not fall within the provisions of the EAJA. However, Boudin also sought an injunction ordering prison authorities to allow her to have contact visits with her infant son. The district court granted the injunction on the ground that Boudin had a First Amendment right to contact visits. Boudin v. Thomas,
C. Whether the Government's Position was "Substantially Justified"
Attorney's fees will not be awarded under the EAJA if a court "finds that the position of the United States was substantially justified." 28 U.S.C. Sec. 2412(d)(1)(A) (emphasis added). We hold that "the position of the United States" refers only to the government's position when it litigates over an agency action.
The EAJA does not itself make clear whether "the position of the United States" refers to the position of the government in the litigation over the agency action, or the position of the agency itself (the underlying agency action). See Spencer v. NLRB,
Until now this Court had not ruled on the precise question. Environmental Defense Fund, Inc. v. Watt,
We find the reasoning in Spencer persuasive, especially as applied to the present situation:
If, when evaluating an EAJA petition brought by a plaintiff ... who prevailed in a case [seeking declaratory and injunctive relief in an Eighth Amendment challenge to prison conditions], the judge focused on the justification for the government's "underlying action," he or she would find it virtually impossible to deny the plaintiff[ ] attorneys' fees. The net result would be that the EAJA would ... become something approaching an automatic fee-shifting provision for a significant category of cases.... [T]his seems not to have been contemplated by the congressmen who enacted the statute.
Spencer v. NLRB,
The denial of contact visits is troubling, but we are compelled to reach the conclusion that the government's litigating position over this issue was substantially justified. Boudin prevailed in this part of the litigation on the ground that she had a First Amendment right to contact visits which could only be curtailed if the "limited restriction is a rational response by prison officials to an obvious security problem." Boudin v. Thomas,
The government's argument that there was no First Amendment violation here, though unpersuasive, was not unreasonable. It was not clear at the time of the government's memorandum that there was a First Amendment right to contact visits. The only post-Wolfish circuit court holdings on point cited by the parties held that pretrial detainees did not have a constitutional right to contact visits. Jordan v. Wolke,
Even if there was a First Amendment right to contact visits, the government's argument that this right was not abridged was reasonable. Warden Thomas swore in his affidavit that the consent to strip searches of Boudin and her son would not be adequate to prevent escape attempts because "inmates can and have defeated this procedure by secreting contraband in body cavities or by ingesting material and later, in his or her cell, regurgitating it.... [C]hildren often are exploited as vehicles for transmission of contraband, especially since they cannot be prosecuted if contraband is discovered." J.App. at 39. This affidavit was proof that might have been accepted by the district court. The government's argument that this was a legitimate alternative to the right it believed it had to cut off all social visits, see Memorandum in Opposition, at 26 n. * (citing Bell v. Wolfish,
Finally, we are not precluded from making a de novo determination of whether the government's litigation position was substantially justified. We have held that the government reasonably argued that Boudin had no First Amendment right to contact visits. Because we are determining the reasonableness of legal arguments, we may review the district court's finding that the government's position was not substantially justified as we would any other question of law. See Spencer v. NLRB,
Accordingly, the judgment of the district court in Docket No. 83-2170 is vacated and the cause is remanded with instructions to dismiss the petition for attorney's fees. The judgment of the district court in Docket No. 83-2174 is affirmed as to the petition under 42 U.S.C. Sec. 1988 (Supp. IV 1980). Because of the disposition of Docket No. 83-2170, the cross-appeal in Docket No. 83-2174 is dismissed in all other respects as moot.
Notes
The relief that was granted to Boudin was also granted to co-defendant Clark, where appropriate.
Boudin also asserts that she stated a claim under 42 U.S.C. Sec. 1983 (Supp. III 1979), and is therefore entitled to attorney's fees under 42 U.S.C. Sec. 1988 (Supp. IV 1980). This contention must be rejected. The prison officials were not acting under color of state law for the purposes of Boudin's complaint. They may have been so acting in confining Boudin, but this action complained about how she was confined, not the fact that she was. Boudin does not refute the government's evidence that federal officials alone were responsible for the conditions of her confinement
Oguachuba v. INS,
The EAJA was proposed as a part of the Small Business Export Expansion Act of 1980, which suggests that its drafters more likely meant it to apply to private, money oriented disputes than to litigation over individual liberty or incarceration
It would also make mandatory the government's funding of counsel in certain habeas cases when the relevant statutes have made such funding discretionary. See 28 U.S.C. Sec. 2254, Rule 8 (1982); 18 U.S.C. Sec. 3006A(g) (1982)
We need not examine the government's litigation position over Boudin's request to be transferred because of the unconstitutional conditions of her confinement, as we have already held that this was not a "civil action" for which she could recover attorney's fees under the EAJA
As the government pointed out, Memorandum in Opposition at 24 n. *, Marcera v. Chinlund,
