Lead Opinion
This case was brought by Harlan L. Jacobsen against the City of Scottsdale and six city council members as well as against Scottsdale’s Mayor, William Jenkins; the City Attorney, Richard Filler, and Donald Loeb, an Assistant City Attorney. The complaint, which alleges that the dismantling and confiscation of Jacobsen’s newspaper racks violates 42 U.S.C. § 1983, is only a single chapter in the parties’ protracted struggle over the marketing of the semimonthly tabloid newspaper “Single Scene.” During the course of the feud, Jacobsen has been represented by counsel on a number of occasions, and he retained legal counsel in the early stages of the present dispute. Jacobsen elected to represent himself at the time he filed the complaint, however, and he has continued to appear in propria persona throughout.
Jacobsen raises two issues on appeal. First, he contends that the district court committed error when it granted the city council members’ motion for partial summary judgment because of his failure to file any response to the motion. Second, he argues that granting Loeb’s motion for summary judgment was inappropriate in that the motion raises genuine issues of material fact not susceptible of resolution under Fed.R.Civ.P. 56. Because we believe that both summary judgement motions were properly granted, we affirm.
1. The City Council’s Motion
On July 3, 1980, the six Scottsdale city council members moved for partial summary judgment and noticed the motion for hearing under Arizona Local Rule 11(e).
We reject Jacobsen’s argument, for a number of reasons. First and foremost is that pro se litigants in the ordinary civil case should not be treated more favorably than parties with attorneys of record. Trial courts generally do not intervene to save litigants from their choice of counsel, even when the lawyer loses the case because he fails to file opposing papers. A litigant who chooses
Imposing an obligation to give notice of Rule 56’s evidentiary standards would also invite an undesirable, open-ended participation by the court in the summary judgment process.
Finally, even if a substantive notice requirement were desirable, it should be enacted through formal amendment rather than piecemeal adjudication. Rule 56’s separate notice provision (compare Rule 56(c) with Rule 6(d)) and description of summary judgment (compare Rule 56(e)
For all of these reasons, we decline to extend the Hudson rule and conclude that the district court did not have to inform
II. Loeb’s Motion
On September 8, 1983, defendant Donald Loeb moved for summary judgment and filed an affidavit stating that he had no prior knowledge of, nor did he order, authorize, or participate in the actions alleged in the complaint. Jacobsen responded with three affidavits, one his own and two from attorneys who had worked for him. The district court granted the motion in a minute order filed November 14, 1985; Jacob-sen appeals on the ground that his counter-affidavits create a genuine issue of triable fact as to Loeb’s participation in the alleged events.
Summary judgment under Rule 56 is not appropriate where genuine issues of material fact remain to be tried. Occidental Engineering Co. v. INS,
Accordingly, the entry of summary judgment against Jacobsen and in favor of the city council members and Donald Loeb is AFFIRMED.
Notes
. Arizona Local Rule 11(e) [later redesignated as Local Rule 11(f)] provides in pertinent part:
Any party desiring oral argument shall file with his motion or response a notice to that effect setting forth therein the date, time, and courtroom for the hearing. The time of the hearing shall be such as to give each party sufficient time to comply with this Rule and to allow the Court at least five (5) days additional prior to such hearing.
. Arizona Local Rule 11(h) [now Local Rule ll(i) ] states in part:
Any party filing a motion for summary judgment shall set forth separately from the memorandum of law, and in full, the specific facts on which he relies in support of his motion. The specific facts shall be set forth in serial fashion and not in narrative form. As to each fact, the statement shall refer to a specific portion of the record where the fact may be found (i.e., affidavit, deposition, etc.). Any party opposing a motion for summary judgment must comply with the foregoing in setting forth the specific facts, which the opposing party asserts, including those facts*1364 which establish a genuine issue of material fact precluding summary judgment in favor of the moving party.
. Jacobsen appears to make two separate arguments in defense of his failure to respond: first, that as a litigant in forma pauperis he should have been notified of Rule 56’s requirement that he file affidavits or other evidentiary matter; and second, that he reasonably relied upon the setting of oral argument in the case to conclude that he would be able to put on evidence at the time of the hearing.
. It is the element of “choice" which most clearly distinguishes the pro se prisoner cases from the suit at bar. The leading "fair notice” prisoner case, Hudson v. Hardy, first acknowledged that "in the ordinary civil case, appellant’s failure to respond by affidavit might have warranted the entry of summary judgment against him.” Hudson,
The dissent would extend Moore; Roseboro; Ham v. Smith,
It would not be realistic to impute to a prison inmate (unless, like the ‘former law professor’ of whom this court spoke in Maclin v. Freake,650 F.2d 885 , 888 (7th Cir.1981) (per curiam), the prisoner has legal training) an instinctual awareness that the purpose of a motion for summary judgment is to head off a full-scale trial by conducting a trial in miniature, on affadavits, so that not submitting counter affadavits is the equivalent of not presenting any evidence at trial.
While Roseboro did not explicitly address the peculiar problems faced by prisoner pro se litigants, that was a one-page, per curiam opinion that cited Hudson,
. As the court put it in United States v. Pinkey,
The hazards which beset a layman when he seeks to represent himself are obvious. He who proceeds pro se with full knowledge and understanding of the risks does so with no greater rights than a litigant represented by a lawyer, and the trial court is under no obligation to become an "advocate" for or to assist and guide the pro se layman through the trial thicket.
. Outside the bounds of the lawsuit, parties with retained counsel also may have the remedy of a malpractice action. However, such a suit does not entirely compensate for loss of the opportunity to obtain redress on the merits, particularly where, as here, the pro se litigant seeks declaratory or injunctive relief.
. Besides favoring unrepresented litigants over badly represented ones, Jacobsen’s suggestion would require the trial court to help one side to a lawsuit rather than another solely because of the status of their legal representation. Doing so necessarily implicates the court’s impartiality and discriminates against opposing parties who do have counsel.
. This problem has not been addressed in the pro se prisoner cases. The most explicit description of what constitutes "sufficient" notice may be found in Roseboro v. Garrison,
. For example, Jacobsen apparently intended to offer only his own testimony as evidence, and there is no showing that he had any personal knowledge of the city council members’ participation in the scheme (indeed, the later summary judgment motion involving Loeb suggests that he did not).
. Because the notice requirement found to be implicit in the last sentence of Fed.R.Civ.P. 12(b)(6) merely requires the court to "notice” the motion the way the parties usually do under Rule 56(c), and because Jacobsen was given specific notice that it was a summary judgment motion, cases such as Garaux v. Pulley,
The dissent also cites Borzeka v. Heckler,
does not require dismissal of the complaint if (a) the party that had to be served personally received actual notice, (b) the defendant would suffer no prejudice from the defect in service, (c) there is a justifiable excuse for the*1366 failure to serve properly, and (d) the plaintiff would be severely prejudiced if his complaint were dismissed.
Regarding the third factor, it was noted that "appellant was proceeding pro se when the defective service was made. We are generally more solicitous of the rights of pro se litigants, particularly when technical jurisdictional requirements are involved.” Id. at 447 n. 2. Again, merely taking the pro se status of litigants into account in determining compliance with technical pleading or procedural rules does not require the district court to inform the litigant of how to comply with the federal rules rules regarding service. Sherman simply stated that the liberal pleading requirements set out in Conley v. Gibson,
. Rule 56(e) states:
Supporting and opposing affidavits shall be made on personal knowledge, shall set forth such facts as would be admissible in evidence, and shall show affirmatively that the affiant is competent to testify to the matters stated therein.
Sworn or certified copies of all papars or parts thereof referred to in an affidavit shall be attached thereto or served therewith. The court may permit affidavits to be supplemented or opposed by depositions, answers to interrogatories, or further affidavits. When a motion for summary judgment is made and supported as provided in this rule, an adverse party may not rest upon the mere allegations or denials of his pleading, but his response, by affidavits or as otherwise provided in this rule, must set forth specific facts showing that there is a genuine issue for trial.
If he does not so respond, summary judgment, if appropriate, shall be entered against him.
This rule, which was referred to by the number in the council’s moving papers, makes it clear that (1) the failure to respond will result in the entry of summary judgment against the non-moving party; (2) the response must set forth specific facts, either by way of affidavit or by the other means specified in the rule (depositions, answers to interrogatories, sworn or certified copies of papers); and (3) the affidavits must be based on personal knowledge and be admissible in evidence.
. The provisions of Local Rule 11(h) make it impossible to conclude that Jacobsen reasonably believed that he did not need to file a written response. The rule states that any party moving for summary judgment "shall set forth separately from the memorandum of law, and in full, the specific facts on which he relies;" that “the specific facts shall be set forth in serial fashion and not in narrative form;” and that "as to each fact, the statement shall refer to a specific portion of the record where the fact may be found.” The rule then provides that “any party opposing a motion for summary judgment must comply with the foregoing.” Jacobsen was apprised of Local Rule 11(h) through the council’s filing of their “Rule 11(h) statement”; by its terms the rule makes it clear that he had to file a written statement of facts in opposition to the motion.
. This is another important way in which the present case differs from the cases construing the notice required by Rule 12(b)(6) and 56(c). Those decisions simply interpret the meaning of Rule 12(b)(6)'s requirement of “reasonable opportunity”; Jacobsen’s proposal has no basis in the language of any federal rule.
. Jacobsen also contends that summary judgment was inappropriate as a matter of law because (1) Loeb was part of a conspiracy to deprive Jacobsen of his constitutional rights, and (2) he had an affirmative duty to advise other city employees that they should not pursue their course of action. However, conspiracy is not alleged in the complaint, and Jacob-sen has not suggested that Loeb had any control or direction over the city employees involved in the confiscation or dismantling of the news-racks. Therefore neither argument supports reversal of the district court.
Dissenting Opinion
dissenting:
The majority’s refusal to recognize the right of pro se litigants to be adequately informed of their procedural obligations prior to the entry of summary judgment against them rests on several false factual assumptions and on an inaccurate interpretation of the law of this and other circuits. Because I believe that our previous cases recognize the rights of all pro se litigants to the procedural protection of the court, and because I believe that affording such protection serves the interest not only of the litigants but also of the court itself, I respectfully dissent.
The majority opinion creates two classes of indigent litigants, those who are poor and law abiding, and those who are poor and not. It then affords lesser rights and protections to the former. In this respect, the majority’s actions are contrary to the view our circuit has previously expressed. Moreover, its opinion rests on two false factual assumptions: that pro se status is voluntary and that the appellant in this case received adequate notice of his obligation to respond in writing to appellee’s summary judgment motion. I address each assumption in turn.
The majority portrays a litigant’s pro se status as the product of choice, whereas such status is most often the result of necessity. The majority equates a litigant’s so-called “choice” to appear pro se with other litigants’ choice of counsel. The comparison ignores the economic reality
Contrary to the majority opinion, appellant did not receive adequate notice of his duty to respond in writing to appellee’s motion for summary judgment. Other circuits have assumed that the filing of a motion for summary judgment does not provide notice of the duty to submit documentary materials, without having explicitly analyzed the language either of Federal Rule of Civil Procedure 56 or of the relevant Local Rules. See, e.g., Moore v. State of Florida,
The Seventh Circuit in Lems v. Faulkner, supra, supported its finding that a summary judgment motion in and of itself provides inadequate notice of the affidavit requirement with an analysis of “lay intuition” of civil procedure. Id.,
The majority’s reading of the law is incorrect as well. This circuit recognizes that courts have a duty to ensure that pro se litigants do not lose their right to a hearing on the merits of their case due to ignorance of technical procedural requirements. See, e.g., Garaux v. Pulley,
We already require a court to advise a pro se litigant of its intention to convert
The reasoning of Garaux compels us to acknowledge a pro se litigant’s right to effective notice of summary judgment procedures when the opposing party moves for summary judgment. The majority attempts unsuccessfully to distinguish Garaux on the ground that we there required notice only “of what the motion now is,” whereas appellant asks us to require notice of “what the motion must mean,” supra, at 1365, (emphasis in original). The distinction is artificial. In Garaux, we required that a pro se plaintiff receive “specific notice, and a fair opportunity to respond,” id.,
Other circuits have recognized that a pro se litigant is entitled to notice of the consequences of failure to submit evidentiary material in response to a motion for summary judgment. See, e.g., Roseboro v. Garrison, supra, Moore v. State of Florida, supra, Lewis v. Faulkner, supra, Ham v. Smith, supra. Although the litigants in these cases were all prisoners, the holdings are not strictly confined to prisoner litigants, with the possible exception of the D.C. Circuit. The Fourth Circuit in Roseboro framed its notice rule in terms of all “pro se plaintiff[s].” Roseboro,
The majority’s fear that the impartiality of the district court would be compromised were it to notify, or require notification to, pro se litigants of the written response requirements of Fed.R.Civ.P. 56 is wholly without merit. A court may legitimately assume that the attorneys who appear before it have been trained in legal procedure, and may just as legitimately assume that lay litigante have not. Courts, no less than the parties to a dispute, have an interest in the quality of justice. In assuring that notice is given a pro se litigant of the requirements of summary procedure, the court merely redresses a categorical disparity between the parties’ abilities to obtain a just resolution to their dispute. The court does not thereby “becom[e] a player in the adversary process,” supra, at 1366, but
The majority’s concern that a notice requirement would “invite an undesirable, open-ended participation by the court in the summary judgment process,” supra, at 1365, is also without merit. Other circuits have trusted district courts to evaluate what form of notice is proper in light of a pro se litigant’s capacities. See, e.g., Hudson v. Hardy,
Because I believe that both the law of this circuit and the interests of justice require that pro se litigants be notified of their procedural obligations under Rule 56, I respectfully dissent from Part I of the majority’s opinion.
