David Newlin v. David W. Helman, Jesse E. Robinson v. B. Smith, James C. Griffin v. William R. HarrisDavid Newlin v. David W. Helman, Jesse E. Robinson v. B. Smith, James C. Griffin v. William R. Harris
Our court has issued a series of opinions— principally
Abdul-Wadood v. Nathan,
James Griffin filed suit under
Our first question is whether such a finding is proper when the plaintiff is a prisoner. One circuit has held that it is not, observing that
We may review the district court’s' certification on motion filed within 30 days.
Congress wanted to relieve the pressures on the federal courts of frivolous suits by prison inmates and we can best achieve that purpose by insisting on payment in advance in every ease in which that is feasible. To be content with trying to collect the fee after dismissing the suit as frivolous would be an inferior alternative, since by that time the prisoner will often not be able to pay even if he had the means to pay when he filed the appeal.
Does this carry over to findings under
The partial-prepayment mechanism under
Well, is this appeal in bad faith? That Griffin wants $20 million in damages from defendants who have absolute or qualified immunity, and is undaunted by knowledge that the suit is untimely, suggests that the answer is “yes.” Relying on
Williams v. Leach,
The district court dismissed Griffin’s suit for failure to state a claim on which relief may be granted. That makes the disposition a “strike” under
In no event shall a prisoner bring a civil action or appeal a judgment in a civil action or proceeding under this section if the prisoner has, on 3 or more prior occasions, while incarcerated or detained in any facility, brought an action or appeal in a court of the United States that was dismissed on the grounds that it is frivolous, malicious, or fails to state a claim upon which relief may be granted, unless the prisoner is under imminent danger of serious physical injury.
Under this language, bringing an action and filing an appeal are separate acts. One could be frivolous, the other not. Having been told that his complaint is frivolous, a prisoner must decide whether to appeal. Prisoners who learn from their mistakes will suffer one strike, at most, in a case. Obstinate or malicious litigants who refuse to take no for an answer incur two strikes. Accord,
Adepegba v. Hammons,
Next in line comes a series of questions about payment. What happens to the $105 filing and docket fees, now that Griffin
So the $105 must be collected from Griffin’s prison trust account. Who applies the statutory formula and collects the fee— the district court, or the court of appeals? Effort by the circuit clerk’s office to perform screening rarely led to more than an order that the district clerk’s office undertake some additional step toward assessment and collection, followed by confusion about mundane questions such as whether (and when) the district clerk complied, and whether the appellant has paid up. Complex interactions, and much paper shuffling, would be avoided if the whole job of assessing the fee were left to the district court — which will have gone through the exercise when the suit was filed, and therefore has the documents (and the contacts with the people administering prison trust funds) necessary to make the system work.
The PLRA does not say which tasks belong to the district court and which to the court of appeals. It provides that the prisoner must submit documents and pay fees, but it does not say to whom. But
How much, and how soon, must Griffin pay? That depends on whether the district and appellate fees must be paid simultaneously or sequentially. The task of calculating Griffin’s obligation has been complicated by the district court’s failure to assess and collect
any
fee before dismissing Griffin’s complaint. After reviewing an affidavit in which Griffin stated that he has no assets yet receives $43 per month from prison employment, the district court wrote that “even the assessment of a partial filing fee at this time is not feasible.
This does not comport with the PLRA.
Griffin filed in this court a statement of his prison trust account. It shows that, on the date suit was filed, Griffin had $1.16 in the account, having spent $18.16 shortly before on commissary purchases. A few days after suit began the account was credited with $41.33 in wages for prison work; Griffin emptied the account the next day with commissary purchases. The pattern continued through the date of the statement. The prison’s law library supervisor, who certified the statement of account, calculated that Griffin had an average monthly balance of $43.00 during the prior six months. This is incorrect; the average
balance
was close to zero, though Griffin had average monthly
income
of $43. The difference does not matter to the statute, however. Griffin should have been assessed $8.60 as an initial partial fee under
... The court shall assess and, when funds exist, collect, as a partial payment of any court fees required by law, an initial partial filing fee of 20 percent of the greater of
the average monthly deposits to the prisoner’s account; or the average monthly balance in the prisoner’s account for the 6-month period immediately preceding the filing of the complaint or notice of appeal.
After payment of the initial partial filing fee, the prisoner shall be required to make monthly payments of 20 percent of the preceding month’s income credited to the prisoner’s account. The agency having custody of the prisoner shall forward payments from the prisoner’s account to the clerk of the court each time the amount in the account exceeds $10 until the filing fees are paid.
The assessment of $8.60 should have been immediate, and its collection should have come off the top of the next deposit of prison wages, followed by 20 percent of each succeeding month’s income until $150 has been
Under the statute, Griffin owes another $8.60 per month for the appellate fees, until $105 has been paid. Does this come after the payment of $150 for filing the complaint, or is the appellate fee an additional 20 percent per month, so that the prison must be instructed to remit $17.20 per month? The statute does not tell us whether the 20 percent-of-income payment is per case or per prisoner. Just as we concluded that the complaint and the appeal can produce two strikes in a single case, so we hold that the fees for filing the complaint and appeal cumulate. Otherwise a prisoner could file multiple suits for the price of one, postponing payment of the fees for later-filed suits until after the end of imprisonment (and likely avoiding them altogether). The PLRA is designed to require the prisoner to bear some marginal cost for each legal activity. Unless payment begins soon after the event that creates the liability, this will not happen. A prisoner who files one suit remits 20 percent of income to his prison trust account; a suit and an appeal then must commit 40 percent, and so on. Five suits or appeals mean that the prisoner’s entire monthly income must be turned over to the court until the fees have been paid — though by then a prisoner is likely to have three strikes and to owe all future filing fees in full, in advance.
The upshot is that the district clerk must assess and collect $17.20 from Griffin’s prison trust account, and the prison must be instructed to remit $17.20 per month for another 11 months (after which most of the appellate fees will be paid), $10.40 the ne3ct month (finishing up the appellate fee), and then $8.60 per month until the district court’s filing fee has been paid in full. If Griffin’s monthly income changes, these figures will change too. That task of calculation belongs to the prison, under the watchful eye of the district clerk.
II
In
Robinson v. Smith,
No. 97-1627, the district court had a different reason for declining to assess and collect a partial payment: the court found that Robinson had filed three frivolous actions
informa pauper-is
and is therefore barred by
As we see things, once a district court invokes
Appeal is risky nonetheless, for if we affirm then the plaintiff owes two fees — one for filing the complaint, another for filing the appeal. These must be paid in full. What is more, a plaintiff who has lost the right to proceed
in forma pauperis
also has lost the right to defer payment under
Let us see, then, whether the district court’s application of
Ill
Finally we turn to
Newlin v. Helman,
No. 96-4229. Newlin is a relatively affluent prisoner. Deposits to his trust account in the six months preceding his appeal exceeded $650. But like most inmates he has arranged affairs so that the cupboard is bare most of the time; his money flows out (usually via $20 postal money orders) as fast as it flows in. The district court permitted Newlin to proceed
in forma pauperis
but neither assessed a fee under
Newlin was sentenced for a federal offense and released on parole (his crime preceded November 1, 1987, so he is covered by the old parole rules despite the Sentencing Reform Act of 1984). While on parole he was convicted of a new crime in Ohio. The Parole Commission revoked his parole, lodged its order as a detainer with Ohio authorities, and took custody of Newlin when his Ohio sentence expired. Newlin filed a petition for a writ of habeas corpus seeking release. He makes two claims: that the Parole Commission has miscalculated his mandatory release date, and that he should be reparoled under the Commission’s reparole guidelines.
Newlin filed a “civil action” (
Complaints about denial of parole, revocation of parole, and the like, do not affect the validity of the criminal sentence, and this litigation therefore cannot be called a functional continuation of the criminal prosecution. See
United States v. Addonizio,
Newlin’s parole was revoked, and his reparole deferred, on account of post-sentencing misconduct — misconduct while Newlin was at liberty in Ohio, rather than while he was a prisoner, but the key for our purpose is that this all has to do with post-sentencing events unrelated to the validity of the conviction and sentence. A prisoner who wants judicial review of the Parole Commission’s decisions is like the plaintiff in a civil action under the Administrative Procedure Act — although the APA does not apply to the Parole Commission’s decisions, it does apply to the Bureau of Prisons, see
White v. Henman,
Because the PLRA applies, we will proceed no further until Newlin has paid at least 20 percent of the average monthly deposit to his prison trust account. For reasons already given, the task of assessing and collecting this fee belongs to the district clerk, and we will defer action until being notified by the clerk that Newlin has paid. The clerk also should assess and collect the fee Newlin owes for filing this action in the district court.
IV
In sum: (1) The district court’s certification that Griffin’s appeal is not taken in good faith is affirmed. Griffin therefore cannot prosecute the appeal
in forma pauperis.
Unless he pays the appellate fees of $105 within 14 days, his appeal will be dismissed for want of prosecution. Whether or not Griffin pays that sum, the district clerk must assess and collect the appropriate filing fees. Two strikes under