Lead Opinion
Members of a settlement class made up of HIV-positive inmates in Mississippi jails appeal from the district court’s denial of their motions to intervene and substitute counsel, as well as its denial of attorneys
I. Facts and Procedural History
Plaintiffs below are a class comprised of HIV-positive inmates incarcerated in Mississippi prisons. The original litigation was commenced pro se by two HIV-positive inmates at the Mississippi State Penitentiary in Parchman, Mississippi [Parchman] and alleged that the Mississippi Department of Corrections [MDOC] failed to provide adequate medical care for HIV-positive inmates, segregated them in inferior housing, and barred them from participating in privileges and programs available to the general prison population solely on the basis of their medical status in violation of the Eighth Amendment and the Due Process and Equal Protection Clauses of the Fourteenth Amendment.
The district court denied appointment of counsel and dismissed the case as frivolous. This Court reversed, finding that the plaintiffs had stated a cause of action under Section 504, Rehabilitation Act of 1973, 29 U.S.C. § 794, as recognized by Harris v. Thigpen,
In directing the district court to appoint counsel for the class, this Court admonished that “the scope of the questions raised and the extensive resources required to pursue properly the issues in this case far exceed the capability and resources of a prisoner, and ... the apparently essential testimony from experts on HIV-AIDS management in the prison environment will require professional trial skills.” See id. at 272.
Upon remand, the district court appointed Ronald Welch to be the class attorney. Welch has served as class counsel for Gates v. Collier, an ongoing class action by Mississippi inmates against the state, since the 1970s, as well as several other class actions by subgroups of Mississippi inmates. Welch is a solo practitioner. After repeated requests by class members and explaining that he was busy with other cases and feared the general prison class’ reaction to his seeking integration for HIV-positive inmates, Mr. Welch began working on the case in 1995 — two years after his appointment as class counsel.
In June of 1995, the district court entered a consent decree which certified a class under Fed.R.Civ.P. 23(b)(1) and (b)(2) consisting of all HIV-positive inmates in MDOC’s custody, appointed Welch as class counsel, and settled the
The district court endorsed the settlement five days after the proposed agreement had been sent out and one day prior to the objection letter’s arrival. The" district court did not have the benefit of any class members’ objections to the settlement at the time of its ruling nor did it respond to the objections provided later. The district court retained jurisdiction over the case to monitor compliance with the settlement terms.
Over the next -four years, class members protested Welch’s inaction on several of their complaints, the most serious and meritorious of which related to the new HIV therapies which were proving highly successful in some patients but which were unavailable to inmates. Certain class members contacted the ACLU National Prisons Project for assistance. NPP attorneys conducted a preliminary investigation to verify the legitimacy of the claims presented to them, and signed formal retainer agreements with several individual class members.
In February 1999, several class members incarcerated at Parchman moved to intervene, arguing that Welch and by extension the named plaintiffs did not adequately represent their interests. On March 5, 1999, the proposed intervenors moved for a preliminary injunction alleging that their medical care under MDOC was so deficient as to endanger their lives. Both motions were prepared by counsel from the ACLU National Prisons Project (NPP), and supported by the signatures of 110 of the 140 class members.
In December 1999, proposed intervenors renewed their motion for intervention, and two class members moved for substitution of counsel. The motion for substitution of counsel was accompanied by a petition containing the signatures of 167 class members, representing one hundred percent of the HIV-positive inmates at Parch-man.
II. Analysis
A. No-contact order
It is a well-established principle that district courts enjoy wide latitude in managing complex litigation in general and class actions in particular. See, e.g., Mullen v. Treasure Chest Casino, LLC,
The no-contact order in issue here contradicts the principles enunciated in Gulf Oil Co. v. Bernard,
The order in this case bars all contact between NPP attorneys and class members regarding the subject matter of the class action, i.e. prison conditions, treatment, and healthcare. The order is not narrowly drawn nor is it justified by any factual findings other than that seven of 167 inmates returned letters from Welch unopened (during the period before the district court ruled on the substitution motion) and that NPP attorneys, like Welch himself, managed “small favors” for the class members.
The class members who wish to remain in contact with NPP attorneys seek to exercise their right as individuals to consult with the counsel of their choice on matters of great concern to them. See Texas Catastrophe Property Ins. Assoc. v. Morales,
B. Denial of intervention/substitution of counsel
Appellants argue that the district court erred in denying the motions for substitution of counsel and intervention because at least eighty percent of the class members supported substitution and Welch was not adequately performing his duties. Denials of motions for substitution of counsel are reviewed for abuse of discretion. See Pettway v. American Cast
Two main factors support substitution of counsel in this case. First, the sentiments of the class indicate a clear preference for a known substitute, i.e. the NPP attorneys. Second, and more importantly, Welch’s nonfeasance and the constraints upon his ability adequately to prosecute the sub-class’ case urge the rare remedy of substitution. District courts normally enjoy substantial latitude in deciding motions for substitution of counsel. In long-standing class actions, in particular, significant administrative difficulties could arise from frequent or competing motions for substitution or intervention, and we in no way wish to encourage the unjustified use of such motions. Mere dissatisfaction with class counsel’s strategy or obtained results does not adequately support a motion for substitution of counsel. Nonetheless, the unique circumstances of this case do warrant substitution.
Appellees first urge that the class members’ motions for intervention and substitution of counsel were untimely. However, such motions made during the
In Pettway, this Court reversed a denial of a motion for substitution of counsel where seventy percent of the class supported it, noting that class counsel may not substitute his own subjective judgment for that of the class on major questions of litigation. See Pettway,
Welch’s nonfeasance and mishandling of certain aspects of the case also warrant his substitution here. First, Welch is a solo practitioner with limited resources. Such a fact does not on its own justify substitution of counsel — numerous solo practitioners have demonstrated their ability and zeal in prosecuting even very large class actions. However, in this case, Welch’s resources were already stretched by his representation of the Gates class as well as numerous other subclasses. More importantly, Welch’s own admissions demonstrate his subjective belief that he was unable actively to prosecute the HIV-positive prisoners’ claims.
Appellants also argue that Welch has a conflict of interest inherent in his dual representation of the HIV-positive prisoners and of the general prison population in Gates because segments of that population might object to the HIV-positive prisoners gaining access to work training and other programs from which they are currently excluded. Welch disputes the existence of such a conflict, and the district court agreed with him, ruling that there was no apparent conflict of interest. The allegation of a conflict of interest is not self-evident; there is no necessary or inherent conflict between the objectives of the HIV-positive subclass and that of the general population. However, Welch explained to the class in responding to complaints about his inaction that he refrained from taking aggressive action on their desegregation claims in part because he feared the general population would object to it. We therefore have a direct admission by counsel that his advocacy was in fact impaired, at least at one time and as to one set of issues. That admission erases any doubt that would otherwise exist regarding conflict of interest difficulties faced by counsel.
Evidence of nonfeasance and mishandling of certain aspects of the case and the lawyer-client relationship also exists. The record indicates that Welch failed to give the class adequate notice and opportunity to object to the settlement he procured for them in 1995.
Welch’s relationship with members of the subclass deteriorated over time, particularly after the motions for intervention and substitution were filed. For example, Welch disclosed confidential communications from a class member in the public record. While Welch argues that he was entitled to disclose communications relevant to a claim against him, a motion for substitution does not constitute a classical “claim” against an attorney as would a malpractice suit. In addition, Welch apparently made no effort to redact the letter or limit it to in camera review. See MISS. RULES OF PROFESSIONAL CONDUCT Rule 1.6(a) and Cmt. (1999) (where disclosure is authorized to defend against a claim or assertion of wrongdoing, “the lawyer must make every effort practicable to avoid unnecessary disclosure of information relating to a representation, to limit disclosure to those having the need to know it, and to obtain protective orders or make other arrangements minimizing the risk of disclosure”); Flowers v. State,
Welch also described the subclass in the national press as being “manipulative.” He was further quoted as saying that he had no sympathy for them and that they used their HIV status to garner the sympathy of the public. During the hearing on the motion for preliminary injunction prepared by NPP attorneys and joined by him, Welch appeared to take MDOC’s side, conducting a cross-examination style interrogation of plaintiffs’ expert witness. Such behavior undermines both an attorney’s credibility with his clients and the chances of a successful motion.
Welch argues that the denial of substitution was not an abuse of discretion because the presumption of adequate representation identified in Edwards v. City of Houston,
C. Motion for attorneys’ fees
Appellants argue that even though they were unsuccessful in their motions for substitution and intervention, they are nonetheless entitled to attorneys’ fees because they succeeded in securing a preliminary injunction that requires MDOC to
Appellees argue, under Morales v. Turman,
Turning to the merits of the issue, appellants argue that because the preliminary injunction achieved their primary objectives in making the motion even if it did not reflect in precise detail the relief sought they should be entitled to fees as a matter of ordinary practice. See Tasby v. Estes,
While it would have been within the district court’s discretion to award fees to appellants, it is not therefore necessarily an abuse of discretion to deny them. The NPP attorneys knew when they advanced the motion for preliminary injunction that there was some risk that they would not become the counsel of record for the plaintiff class.
The order denying attorneys fees only states that it does so because the NPP attorneys never became counsel of record to any recognized party to the action. While there may be other reasons that would prompt the district court, in its discretion, to deny fees to the NPP attorneys, it did not have the benefit of our holding on the substitution/intervention issue before it at the time it denied the fee application. We therefore vacate the order denying attorneys fees and remand the issue of fees for reconsideration in light of our holdings here and the entire record of the litigation.
III. Conclusion
While district courts enjoy substantial latitude in managing class action litigation, the trial court in this case erred in denying the motions for substitution and intervention and in promulgating its no-contact order. Accordingly, we VACATE the no-contact order, REVERSE the denial of the motion for substitution of the NPP attorneys with direction that they be substituted for attorney Welch to represent the subclass of HIV positive inmates, and VACATE and REMAND the issue of attorneys fees to the district court for further consideration.
Notes
. The parties dispute whether Welch performed the role of counsel adequately. Certain uncontested statements exist in the record that bear on Welch’s representation. For example, in one letter, Welch explains to class members that he will do what he thinks best for the class independent of the class members' complaints and wishes. In a statement to the press, Welch describes class members (presumably those wishing him replaced) as "manipulative,” and states that he has "no sympathy” for them because they had used their HIV-positive status to garner the pub-lie’s sympathy. Welch filed a confidential letter written to him by a class member in the public record of the district court without making any effort to redact it or file it in camera; similarly, he circulated to class members reports containing other class members' unredacted medical files. After certain class members began to complain about his representation, Welch described his role in a letter to the class as that of an "umpire” and warned that continuing complaints would lessen the likelihood that he would help them.
. The size of the plaintiff class appears to have varied significantly over the course of the class action, and neither the record nor the parties provide firm numbers for the class size at certain particular points in time. The 140-member class noted here derives from the district court's order, which we assume to be the best available representation of class size for the period in question.
. The precise total number of class members at the time of the petition is not known. All of the class members housed at the HIV-positive segregated unit at Parchman, Unit 28, signed the petition. The petition was not signed by any class members housed elsewhere, e.g. in the women's facility. According to estimates of the class size provided by class counsel, approximately eighty percent of the total class is represented by the petition signatures.
. Because the Supreme Court found that the order in issue was an abuse of discretion and did not comport with the requirements of Rule 23, it did not decide the issue of First Amendment requirements for such orders; it did note, however, that the order created serious restraints on expression, see id. at 103-04,
. The state of Mississippi challenges this Court's jurisdiction to review the district court’s denial of petitioner’s motion to substitute counsel as an appealable final order pursuant to 28 U.S.C. § 1291. This Court, however, need not reach the issue of whether the petitioner’s post-judgment motion to substitute counsel is independently appealable. There is no dispute that the district court's no-contact order is properly before this Court. In the district court’s February 1 order prohibiting the ACLU from contact with any inmate on matters within the jurisdiction of class counsel, the magistrate also denied the renewed motions for intervention and substitution of counsel. On February 11, the petitioners filed a timely notice of appeal of all rulings in the February 1 order.
Where this Court has interlocutory jurisdiction over an injunctive order pursuant to § 1292(a)(1), it may, in its discretion, consider all aspects of that order. Mercury Motor Express, Inc. v. Brinke,
In this case, judgment has already been entered in the form of a consent decree. Nothing is currently pending before the district court, save its continuing jurisdiction over the decree. Given the procedural posture of this case, we feel it is appropriate to exercise our discretion and review the petitioner’s motion to substitute counsel. Absent the exercise of our discretion, the petitioners will be deprived of any meaningful opportunity to have their motion reviewed.
We do not overlook, nor do we agree with the dissent that we should be bound by, the Tenth Circuit's holding in Arney v. Finney,
. According to appellants’ description, the motion for substitution and the motion for intervention sought to attain the same practical result, i.e. representation by NPP attorneys in the class action. Because we reverse the district court's denial of the motion for substitution, intervention becomes unnecessary.
. In letters to the class and to the ACLU soliciting their assistance, Welch described the limitations of his resources as a solo practitioner with no regular assistance and without the resources to hire expensive experts.
. Welch mailed copies of the proposed agreement to the class representatives and certain class members at the same time as the proposed agreement was filed with the court. Welch also requested that the district court direct him as to appropriate notice under Rule 23(e), which it declined to do. The district court accepted the proposed agreement within days of its being filed and before any objections from class members reached the court.
. The governmental defendants have endorsed Welch in preference to the NPP attorneys, noting the good working relationship Welch has established with MDOC. Such a relationship can be very valuable in ongoing litigation such as this, though it can also sometimes blur the lines of the adversary relationship, as.when Welch conducted a cross-examination style interrogation of plaintiffs' expert. While we note that the relationship between Welch and NPP attorneys soured over time (Welch originally solicited their help with the case; he argues that after that point NPP attorneys did not keep him adequately informed of their investigation on behalf of the class), our decision does not rest on the difference between contrasting styles or an assessment of the relationship among counsel. Rather, our evaluation of the objective facts in this case leads to the inescapable conclusion that whatever the merits of his efforts, Welch’s ability to represent the subclass in issue has sufficiently deteriorated such that substitution is now necessary.
. The appellants’ motion to supplement the record is denied. The appellants’ motion to expedite decision is dismissed as moot. Finally, the appellees' request for mandamus is denied.
Dissenting Opinion
dissenting:
With due respect to my colleagues, this Court does not have jurisdiction to review the interlocutory order denying substitution of counsel simply because it was entered contemporaneously with the no-contact order. We should be bound by the Tenth Circuit’s decision, following Su
The Tenth Circuit held that it lacked jurisdiction to review a termination of counsel motion in a case strikingly similar to this one. In Arney v. Finney,
The appeals court held that even though it could review the order denying intervention of class members, it did not have jurisdiction to consider the motion to terminate counsel. It applied the Supreme Court’s decision in Firestone Tire & Rubber Co. v. Risjord,
This case is substantively identical to Amey. It is a prisoner class action suit. There is an existing consent decree. The intervenors are situated identically with the rest of the class. A majority of the class have signed a petition to substitute counsel. The district court has denied a motion to intervene and substitute counsel. The jurisdictional ruling in Amey should control this case.
The majority overlooks Amey and asserts that we have jurisdiction because the district court enforced its substitution of counsel order with a no-contact order against the ACLU, a non-party. The majority avoids the term pendent appellate jurisdiction (“PAJ”), but that is what they are exercising. The theory of pendent appellate jurisdiction is that an appellate court may, on review of an appealable interlocutory order, also assume jurisdiction over an otherwise non-appealable order. See Swint v. Chambers County Comm.,
I believe that in the unlikely event that pendent appellate jurisdiction continues to exist at all, the interlocutory denial of substitution of counsel may not be appealed on the coat-tails of the no-contact order.
The Supreme Court cast considerable doubt on PAJ in Swint. In that case, the Eleventh Circuit claimed that it had discretion to review nonappealable issues with a collateral order. The Supreme Court reversed, observing that Congress carefully limited the scope of interlocutory review and established specific procedures to determine when appeals courts can review an interlocutory order. See id. at 46-48,
Swint establishes that, at best, this Court might be able to review the order denying substitution of counsel if it is inextricably intertwined with the no-contact order, but a common basis of operative fact does not alone satisfy that standard.
This Court has suggested that if an appeals court can resolve appealable orders separately from the nonappealable orders, the orders are not inextricably intertwined. See Gros,
Other circuits agree that claims are inextricably intertwined only if “the pendent claim is coterminous with, or subsumed in, the claim before the court on interlocutory appeal.” Law v. NCAA,
Here, the elements of the constitutional claim challenging the no-contact order are distinct from the elements of the substitution of counsel challenge. First, different parties are involved: ACLU alone is aggrieved by the no-contact order, while the denial of substitution order bears only on the prisoners. Second, the constitutionality of the no-contact order is entirely unrelated to the merits of the class attorney’s performance. This Court could easily lift the no-contact order while leaving the substitution of counsel order intact. Thus, the orders are not inextricably intertwined and PAJ, even if it has vitality, is inappropriate.
The majority’s unarticulated premise for assuming jurisdiction seems to be that appellate requirements may have to be relaxed in a post-judgment context. In other words, how could any order denying substitution of counsel in institutional litigation governed by a consent decree ever become final for appeal? The Tenth Circuit affords one answer. In a prison conditions case, it granted mandamus relief requiring the district court to consider a pro se prisoner’s challenge to the application of the decree that class counsel had
If we did have jurisdiction' over this appeal, I would be hard put to subscribe to the majority’s appellate factfindings on Welch’s performance as class counsel, much less to hold the magistrate judge’s decision an abuse of discretion.
The majority’s jurisdictional error and their rush to overturn the district court’s discretionary decision carry unfortunate implications in many ongoing prison conditions cases. This decision will encourage dissident prisoner groups to second-guess class counsel and seek separate representation, effectively harassing class counsel and wasting precious public resources on tangential issues. Properly applied standards of appellate jurisdiction would eliminate this problem. I respectfully dissent.
. The majority might have suggested that PAJ would exist because the orders denying intervention of new class representatives and the denial of counsel substitution are “intertwined.’' This conclusion would fail for two reasons. First, the prisoners seek only permissive intervention (F.R.A.P. 24(b)), since their interests are not adverse to but cumulative of the present class representatives. See Edwards v. City of Houston,
. When brought up on appeal as part of a final judgment, denials of motions to substitute class counsel are reviewed for abuse of discretion. Pettway v. American Cast Iron Pipe Co.,
. The majority faults Welch for revealing to the court some of his letters to and from the class representatives during the dispute over substitution. Welch points out, however, that the class representatives had themselves waived confidentiality by delivering this same correspondence to the ACLU.
