Lead Opinion
Opinion for the Court filed by Circuit Judge WALD.
Opinion concurring specially filed by Circuit Judge WALD.
Concurring opinion filed by Circuit Judge RANDOLPH.
In 1992, Robert A. Burka, a pro se attorney-litigant, filed suit against the U.S. Department of Health and Human Services (“HHS”) under the Freedom of Information Act (“FOIA”) seeking release of survey responses from the Community Intervention Trial for Smoking Cessation, a research project supported by the National Cancer Institute. After nearly five years of litigation that culminated in a reversal by this court of a district court holding in favor of HHS and a remand to the district court for further proceedings, HHS disclosed the information to Burka pursuant to a consent order and judgment. Burka then moved for attorney’s fees. The district court denied the motion on the grounds that Burka was a pro se attorney-litigant and therefore was not eligible for attorney’s fees under FOIA. Burka now appeals from the judgment of the district court. We affirm.
I. Background
In November 1992, Burka commenced this action under the Freedom of Information Act, 5 U.S.C. § 552, to compel HHS to disclose paper questionnaires and electromagnetic data tapes containing survey responses from the National Cancer Institute’s Community Intervention Trial for Smoking Cessation. The parties cross-moved for summary judgment. On December 13, 1993, the district court held that the information sought by Burka was exempt from disclosure under FOIA Exemption 5 and therefore granted HHS’s motion for summary judgment.
Burka appealed. He then sought to supplement the record. The case was remanded to the district court to consider the request. See Burka v. United States Dep’t of Health & Human Services, No. 94-5003,
II. Analysis
A. Pro Se Attorneys Are Not Entitled to Attorney’s Fees Under the Fee-Shifting Provisions of FOIA
Burka is seeking an award of attorney’s fees for his work in this case. He argues that his pro se status should not be a bar to such an award under FOIA because controlling precedent in this circuit provides that pro se attorney-litigants who substantially prevail in their actions may recover attorney’s fees. HHS responds that Burka is not eligible for an award because the reasoning of the Supreme Court in Kay v. Ehrler,
The Freedom of Information Act provides that “[t]he court may assess against the United States reasonable attorney fees and other litigation costs reasonably incurred in any case under this section in which the complainant has substantially prevailed.” See 5 U.S.C. § 552(a)(4)(E)(1994). To be entitled to such an award, a litigant must first establish eligibility by showing that the lawsuit was reasonably necessary and the litigation substantially caused the requested records to be released. See Chesapeake Bay Foundation, Inc. v. United States Dep’t of Agriculture,
For many years, it was settled law in this circuit that attorneys who prevailed in FOIA actions brought on their own behalf were eligible to obtain attorney’s fees. Indeed, in Cuneo v. Rumsfeld,
In 1991, however, the Supreme Court ruled that an attorney who represented himself in a successful civil rights case could not recover attorney’s fees under 42 U.S.C. § 1988. See Kay v. Ehrler,
In the wake of the Court’s decision in Kay, lower courts have held that several different fee-shifting statutes, including FOIA, preclude awards of fees to all persons who appear pro se. Most notably, in 1993, this court held that based on Kay, a pro se non-attorney plaintiff who prevailed in a FOIA action could not obtain attorney’s fees under section 552(a)(4)(E). See Benavides v. Bureau of Prisons,
Although in Benavides we explicitly reserved the issue of whether pro se plaintiffs who are attorneys must suffer a similar fate, see
Virtually all other courts that have considered this issue since Kay have reached a similar conclusion. In Ray v. United States Department of Justice, the Eleventh Circuit concluded that because the policies behind section 1988 and FOIA are the same, “the principles announced in Kay apply with equal force in this case to preclude the award of attorney’s fees Ray seeks for his own work.”
Similarly, Manos v. United States Department of the Air Force,
The District Court for the Northern District of Illinois arrived at the same conclusion in Whalen v. Internal Revenue Service,
There is only one post-Aay case in which a court has held that pro se litigants who are attorneys are entitled to attorney’s fees under FOIA.
B. Burka’s Representation of an Undisclosed Client Does Not Render Him Eligible for Attorney’s Fees
Burka claims that the reasons for denying attorney’s fees to a pro se attorney are not applicable to him because “[h]is formal status as a pro se litigant ... was merely technical.” Brief of Appellant at 21. At all times during the litigation, Burka explains, he was representing an undisclosed client, a fact of which the district judge and the government were aware. He further claims that he has been compensated by the undisclosed client for his services pursuant to a retention agreement and that any award of attorney’s fees or costs in this ease will be turned over to his undisclosed client. See id. at 8. He therefore argues that he was not the real party-in-interest in this litigation but rather an attorney for an unnamed plaintiff and thus the court is not bound by the case law governing awards of attorney’s fees to pro se attorneys. Presented with these arguments, the district court held that since every action must be prosecuted in the name of the real party-in-interest and “[s]ince Burka brought this lawsuit in his own name, he should be estopped from arguing now that the real party-in-interest was someone else.” Burka, No. 92-11 2636, at 4 [J.A. 15]. We affirm the district court’s holding.
The Federal Rules of Civil Procedure require that “[e]very action shall be prosecuted in name of the real party in interest.” Fed. R.CrvJP. 17(a) (1997). Burka chose to bring the case in his own name and to maintain the ease in his own name throughout the litigation. Indeed, Burka has at all times been the only named party in this case. A FOIA request can be made by “any person.” 5 U.S.C. § 552(a)(3). As a result, Burka had standing to bring this suit when his FOIA
Even absent the clear dictates of Rule 17, we would arrive at the same place. The dangers inherent in recognizing an “undisclosed” client as the real plaintiff are obvious. For instance, if the court cannot ascertain who is the real party-in-interest to a case, how can it apply claim preclusion to that party in any future litigation? How can a court apply sanctions to a party whose identity is undisclosed? How would a court determine for purposes of deciding if attorney’s fees are merited whether a plaintiff is acting on behalf of the public interest, or whether the plaintiff will obtain commercial benefit from the disclosed information, or anything about the nature of the plaintiffs interest in the records if her identity is undisclosed?
Burka is not just the plaintiff in this case; he is also the only attorney to enter an appearance. He directed the litigation, argued on his own behalf in district court, and filed the briefs in district court as well as here. Thus, it appears incontrovertible that Burka has been both claimant and counsel. Accordingly, Burka is, by definition, a pro se attorney-litigant and thus is not eligible for attorney’s fees. Burka’s status as both attorney and litigant may be a “technicality,” but it is a legally meaningful one and not to be ignored.
C. Burka’s Co-Counsel Are Not Entitled to Attorney’s Fees
Burka contends that even if he is ineligible for attorney’s fees for his own work on this case, he is nonetheless eligible to recover fees for the services of his lawyer colleagues who worked on the lawsuit. HHS argues, in turn, that Burka is not eligible for attorney’s fees for any work performed by colleagues at his law firm because there was no attorney-client relationship between them, his colleagues never entered an appearance in the case, and they worked under Burka’s direction and control. The district court found that Burka was not entitled to attorney’s fees for his colleagues’ work. We agree.
Burka cites three cases in support of his argument that he is eligible to recover for the professional services rendered by his colleagues at his law firm, Ray,
III. Conclusion
For the foregoing reasons, we hold that a pro se attorney-litigant is not entitled to attorney’s fees under FOIA, 5 U.S.C. § 552. We also hold that this rule applies even if the pro se attorney-litigant claims to in fact represent an undisclosed client. Finally, we hold that a pro se attorney-litigant is not entitled to an award of attorney’s fees for work performed by other attorneys on the case where the other attorneys worked in the attorney-litigant’s firm under the attorney-litigant’s direction. The district court’s decision denying Burka’s motion for an award of attorney’s fees is therefore
Affirmed.
Notes
. The D.C. district court awarded attorney's fees in a FOIA suit to a law firm litigating in its own name in Wiley, Rein & Fielding v. United States Department of Commerce,
Concurrence Opinion
concurring
specially:
Judge Randolph raises questions in his concurrence about the legitimacy of considering “the public benefit derived from the ease” in deciding when to award attorneys’ fees in a FOIA case. I write briefly in reply.
It is reasonable for the court to consider the public benefit arising from the plaintiffs FOIA request in deciding whether to grant attorney’s fees precisely because under the statute a plaintiff need not demonstrate any public benefit to obtain information through FOIA. In LaSalle Extension University v. FTC,
Judge Randolph asserts that judges cannot evaluate public benefit “objectively.” But we make this kind of determination under other fee-shifting statutes all the time. See, e.g., Metropolitan Washington Coalition for Clean Air v. District of Columbia,
. Moreover, the purposes of the fee-shifting provisions of EAJA and of FOIA are different; "[s]imply put, the EAJA is not a broadly written fee-shifting statute which encourages meritorious
Concurrence Opinion
concurring:
I join the court’s opinion in its application of Kay v. Ehrler,
Judge Wald believes that “the purposes of the fee-shifting provisions of EAJA and of FOIA are different.” Concur, op. at 1292-93 n.l. She distinguishes between the two on the ground that EAJA is narrower and not designed to encourage litigation. See concur, op. at 1292-93 n.l. Yet she would require FOIA plaintiffs to fulfill three additional criteria that do not apply to plaintiffs seeking fees under EAJA,
. Under both EAJA and FOIA, courts look to the merit of the Government’s litigating position in determining whether to award attorney’s fees. Compare 28 U.S.C. § 2412(d)(1)(A) (A court shall award fees unless the "position of the United States was substantially justified.”) with maj. op. at 1288 (The fourth factor to be weighed in determining whether fees should be awarded under FOIA is "whether the Government had a reasonable basis for withholding requested information.”).
