Hensley v. EckerhartHensley v. Eckerhart
Lead Opinion
delivered the opinion of the Court.
Title
I — I
A
Respondents brought this lawsuit on behalf of all persons involuntarily confined at the Forensic Unit of the Fulton State Hospital in Fulton, Mo. The Forensic Unit consists of two residential buildings for housing patients who are dangerous to themselves or others. Maximum-security patients are housed in the Marion 0. Biggs Building for the Criminally Insane. The rest of the patients reside in the less restrictive Rehabilitation Unit.
In 1972 respondents filed a three-count complaint in the District Court for the Western District of Missouri against petitioners, who are officials at the Forensic Unit and members of the Missouri Mental Health Commission. Count I challenged the constitutionality of treatment and conditions at the Forensic Unit. Count II challenged the placement of patients in the Biggs Building without procedural due process. Count III sought compensation for patients who performed institution-maintaining labor.
Count II was resolved by a consent decree in December 1973. Count III largely was mooted in August 1974 when
In August 1979, following a three-week trial, the District Court held that an involuntarily committed patient has a constitutional right to minimally adequate treatment.
B
In February 1980 respondents filed a request for attorney’s fees for the period from January 1975 through the end of the litigation. Their four attorneys claimed 2,985 hours worked and sought payment at rates varying from $40 to $65 per hour. This amounted to approximately $150,000. Respondents also requested that the fee be enhanced by 30 to 50 percent, for a total award of somewhere between $195,000 and $225,000. Petitioners opposed the request on numerous grounds, including inclusion of hours spent in pursuit of unsuccessful claims.
The District Court first determined that respondents were prevailing parties under
“[Petitioners’] suggested method of calculating fees is based strictly on a mathematical approach comparing the total number of issues in the case with those actually prevailed upon. Under this method no consideration is given for the relative importance of various issues, the interrelation of the issues, the difficulty in identifying issues, or the extent to which a party may prevail on various issues.” No. 75-CV-87-C, p. 7 (WD Mo., Jan. 23, 1981), Record 220.
Finding that respondents “have obtained relief of significant import,” id., at 231, the District Court awarded a fee of $133,332.25. This award differed from the fee request in two respects. First, the court reduced the number of hours claimed by one attorney by 30 percent to account for his inex
The Court of Appeals for the Eighth Circuit affirmed on the basis of the District Court’s memorandum opinion and order.
II
In Alyeska Pipeline Service Co. v. Wilderness Society,
The amount of the fee, of course, must be determined on the facts of each case. On this issue the House Report simply refers to 12 factors set forth in Johnson v. Georgia High
In Stanford Daily v. Zurcher, 64 F. R. D. 680 (ND Cal. 1974), aff’d,
In Davis v. County of Los Angeles, 8 E. P. D. ¶ 9444 (CD Cal. 1974), the plaintiffs won an important judgment requiring the Los Angeles County Fire Department to undertake an affirmative-action program for hiring minorities. In awarding attorney’s fees the District Court stated:
“It also is not legally relevant that plaintiffs’ counsel expended a certain limited amount of time pursuing certain issues of fact and law that ultimately did not become litigated issues in the case or upon which plaintiffs ultimately did not prevail. Since plaintiffs prevailed on the merits and achieved excellent results for the represented class, plaintiffs’ counsel are entitled to an award of fees for all time reasonably expended in pursuit of the ultimate result achieved in the same manner that an attorney traditionally is compensated by a fee-paying client for all time reasonably expended on a matter.” Id., at 5049.
Similarly, the District Court in Swann v. Charlotte-Mecklenburg Board of Education, 66 F. R. D. 483, 484 (WDNC 1975), based its fee award in part on a finding that “[t]he results obtained were excellent and constituted the total accomplishment of the aims of the suit,” despite the plaintiffs’ losses on “certain minor contentions.”
In each of these three cases the plaintiffs obtained essentially complete relief. The legislative history, therefore, does not provide a definitive answer as to the proper standard for setting a fee award where the plaintiff has achieved only limited success. Consistent with the legislative history, Courts of Appeals generally have recognized the relevance of the results obtained to the amount of a fee award. They
In this case petitioners contend that “an award of attorney’s fees must be proportioned to be consistent with the extent to which a plaintiff has prevailed, and only time reasonably expended in support of successful claims should be compensated.” Brief for Petitioners 24. Respondents agree that a plaintiff’s success is relevant, but propose a less stringent standard focusing on “whether the time spent prosecuting [an unsuccessful] claim in any way contributed to the ultimate results achieved.” Brief for Respondents 46. Both parties acknowledge the discretion of the district court in this area. We take this opportunity to clarify the proper relationship of the results obtained to an award of attorney’s fees.
A
A plaintiff must be a “prevailing party” to recover an attorney’s fee under
The most useful starting point for determining the amount of a reasonable fee is the number of hours reasonably expended on the litigation multiplied by a reasonable hourly rate. This calculation provides an objective basis on which to make an initial estimate of the value of a lawyer’s services. The party seeking an award of fees should submit evidence supporting the hours worked and rates claimed. Where the documentation of hours is inadequate, the district court may reduce the award accordingly.
B
The product of reasonable hours times a reasonable rate does not end the inquiry. There remain other considerations that may lead the district court to adjust the fee upward or downward, including the important factor of the “results obtained.”
In some cases a plaintiff may present in one lawsuit distinctly different claims for relief that are based on different facts and legal theories. In such a suit, even where the
It may well be that cases involving such unrelated claims are unlikely to arise with great frequency. Many civil rights cases will present only a single claim. In other cases the plaintiff’s claims for relief will involve a common core of facts or will be based on related legal theories. Much of counsel’s time will be devoted generally to the litigation as a whole, making it difficult to divide the hours expended on a claim-by-claim basis. Such a lawsuit cannot be viewed as a series of discrete claims. Instead the district court should focus on the significance of the overall relief obtained by the plaintiff in relation to the hours reasonably expended on the litigation.
Where a plaintiff has obtained excellent results, his attorney should recover a fully compensatory fee. Normally this will encompass all hours reasonably expended on the litigation, and indeed in some cases of exceptional success an enhanced award may be justified. In these circumstances the fee award should not be reduced simply because the plaintiff failed to prevail on every contention raised in the lawsuit. See Davis v. County of Los Angeles, supra, at 5049. Litigants in good faith may raise alternative legal grounds for a desired outcome, and the court’s rejection of or failure to reach certain grounds is not a sufficient reason for reducing a fee. The result is what matters.
Application of this principle is particularly important in complex civil rights litigation involving numerous challenges to institutional practices or conditions. This type of litigation is lengthy and demands many hours of lawyers’ services. Although the plaintiff often may succeed in identifying some unlawful practices or conditions, the range of possible success is vast. That the plaintiff is a “prevailing party” therefore may say little about whether the expenditure of counsel’s time was reasonable in relation to the success achieved. In this case, for example, the District Court’s award of fees based on 2,557 hours worked may have been reasonable in light of the substantial relief obtained. But had respondents prevailed on only one of their six general claims, for example the claim that petitioners’ visitation, mail, and telephone policies were overly restrictive, see n. 1, supra, a fee award based on the claimed hours clearly would have been excessive.
There is no precise rule or formula for making these determinations. The district court may attempt to identify specific hours that should be eliminated, or it may simply reduce
C
A request for attorney’s fees should not result in a second major litigation. Ideally, of course, litigants will settle the amount of a fee. Where settlement is not possible, the fee applicant bears the burden of establishing entitlement to an award and documenting the appropriate hours expended and hourly rates. The applicant should exercise “billing judgment” with respect to hours worked, see supra, at 434, and should maintain billing time records in a manner that will enable a reviewing court to identify distinct claims.
We reemphasize that the district court has discretion in determining the amount of a fee award. This is appropriate in view of the district court’s superior understanding of the litigation and the desirability of avoiding frequent appellate review of what essentially are factual matters. It remains important, however, for the district court to provide a concise but clear explanation of its reasons for the fee award. "When an adjustment is requested on the basis of either the exceptional or limited nature of the relief obtained by the plaintiff, the district court should make clear that it has considered the relationship between the amount of the fee awarded and the results obtained.
In this case the District Court began by finding that [t]he relief [respondents] obtained at trial was substantial and certainly entitles them to be considered prevailing . . . , without the need of examining those issues disposed of prior to trial in order to determine which went in [respondents’] favor.” Record 219. It then declined to divide the hours worked between winning and losing claims, stating that this fails to consider “the relative importance of various issues, the interrelation of the issues, the difficulty in identifying issues, or the extent to which a party may prevail on various issues.” Id., at 220. Finally, the court assessed the “amount involved/ results obtained” and declared: “Not only should [respondents] be considered prevailing parties, they are parties who have obtained relief of significant import. [Respondents’] relief affects not only them, but also numerous other institutionalized patients similarly situated. The extent of this relief clearly justifies the award of a reasonable attorney’s fee.” Id., at 231.
These findings represent a commendable effort to explain the fee award. Given the interrelated nature of the facts and legal theories in this case, the District Court did not err in refusing to apportion the fee award mechanically on the basis of respondents’ success or failure on particular issues.
We are unable to affirm the decisions below, however, because the District Court’s opinion did not properly consider the relationship between the extent of success and the amount of the fee award.
V
We hold that the extent of a plaintiff’s success is a crucial factor in determining the proper amount of an award of attorney’s fees under
The judgment of the Court of Appeals is vacated, and the case is remanded for further proceedings consistent with this opinion.
It is so ordered.
Notes
Under “physical environment” the court found that certain physical aspects of the Biggs Building were not minimally adequate.
Under “individual treatment plans” the court found that the existing plans were adequate, but that the long delay in preparation of initial plans after patients were admitted and the lack of regular review of the plans operated to deny patients minimally adequate plans. Id,., at 921-922.
Under “least restrictive environment” the court found unconstitutional the delay in transfer of patients from the Biggs Building to the Rehabilitation Unit following a determination that they no longer needed maximum-security confinement. Id., at 922-923.
Under “visitation, telephone and mail” the court found that the visitation and telephone policies at the Biggs Building were so restrictive that they constituted punishment and therefore violated patients’ due process rights. Id., at 923-925.
Under “seclusion and restraint” the court rejected respondents’ claim that patients were given excessive medication as a form of behavior control. The court then found that petitioners’ practices regarding seclusion and physical restraint were not minimally adequate. Id., at 925-928.
A prevailing defendant may recover an attorney’s fee only where the suit was vexatious, frivolous, or brought to harass or embarrass the defendant. See H. R. Rep. No. 94-1558, p. 7 (1976); Christiansburg Garment Co. v. EEOC,
The 12 factors are: (1) the time and labor required; (2) the novelty and difficulty of the questions; (3) the skill requisite to perform the legal service properly; (4) the preclusion of employment by the attorney due to acceptance of the case; (5) the customary fee; (6) whether the fee is fixed or contingent; (7) time limitations imposed by the client or the circumstances; (8) the amount involved and the results obtained; (9) the experience, reputation, and ability of the attorneys; (10) the “undesirability” of the case; (11) the nature and length of the professional relationship with the client; and (12) awards in similar cases.
“It is intended that the amount of fees awarded ... be governed by the same standards which prevail in other types of equally complex Federal litigation, such as antitrust cases[,] and not be reduced because the rights involved may be nonpecuniary in nature. The appropriate standards, see Johnson v. Georgia Highway Express,
Some Courts of Appeals have stated flatly that plaintiffs should not recover fees for any work on unsuccessful claims. See, e. g., Bartholomew v. Watson,
The parties disagree as to the results obtained in this ease. Petitioners believe that respondents “prevailed only to an extremely limited degree.” Brief for Petitioners 22. Respondents contend that they “prevailed on practically every claim advanced.” Brief for Respondents 23. As discussed in Part IV, infra, we leave this dispute for the District Court on remand.
As we noted in Hanrahan v. Hampton,
See also Busche v. Burkee,
The district court also may consider other factors identified in Johnson v. Georgia Highway Express, Inc.,
If the unsuccessful claim is frivolous, the defendant may recover attorney’s fees incurred in responding to it. See n. 2, supra.
We agree with the District Court’s rejection of “a mathematical approach comparing the total number of issues in the case with those actually
We recognize that there is no certain method of determining when claims are “related” or “unrelated.” Plaintiff’s counsel, of course, is not required to record in great detail how each minute of his time was expended. But at least counsel should identify the general subject matter of his time expenditures. See Nadeau v. Helgemoe,
In addition, the District Court properly considered the reasonableness of the hours expended, and reduced the hours of one attorney by 30 percent to account for his inexperience and failure to keep contemporaneous time records.
The District Court expressly relied on Brown v. Bathke, 588 F. 2d 634 (CA8 1978), a ease we believe understates the significance of the results
Our holding today differs at least in emphasis from that of the Eighth Circuit in Brown. We hold that the extent of a plaintiff’s success is a crucial factor that the district courts should consider carefully in determining the amount of fees to be awarded. In Brown the plaintiff had lost on the major issue of reinstatement. The District Court found that she had “ ‘obtained only a minor part of the relief she sought.’” Id., at 636. In remanding the Eighth Circuit implied that the District Court should not withhold fees for work on unsuccessful claims unless those claims were frivolous. Today we hold otherwise. It certainly was well within the Brown District Court’s discretion to make a limited fee award in light of the “minor” relief obtained.
The dissent errs in suggesting that the District Court’s opinion would have been acceptable if merely a single word had been changed. See post, at 451. We note, for example, that the District Court did not determine whether petitioners’ unilateral increase in staff levels was a result of the litigation. Petitioners asserted that 70%-80% of the attorney time in the case was spent on the question of staffing levels at the Forensic Unit. Memorandum in Opposition to Plaintiffs’ Request for an Award of Attorneys’ Fees, Expenses and Costs 30. If this is true, and if respondents’ lawsuit was not a catalyst for the staffing increases, then respondents’ failure to prevail on their challenge to the staffing levels would be material in determining whether an award based on over 2,500 hours expended was justifiable in light of respondents’ actual success. The District Court’s failure to consider this issue would not have been obviated by a mere conclusory statement that this fee was reasonable in light of the success obtained.
Concurrence Opinion
concurring.
I read the Court’s opinion as requiring that when a lawyer seeks to have his adversary pay the fees of the prevailing party, the lawyer must provide detailed records of the time and services for which fees are sought. It would be inconceivable that the prevailing party should not be required to establish at least as much to support a claim under
A claim for legal services presented by the prevailing party to the losing party pursuant to
Concurrence Opinion
with whom Justice Marshall, Justice Blackmun, and Justice Stevens join, concurring in part and dissenting in part.
The Court today holds that “the extent of a plaintiff’s success is a crucial factor in determining the proper amount of an award of attorney’s fees under
Regretfully, however, I do not join the Court’s opinion. In restating general principles of the law of attorney’s fees, the Court omits a number of elements crucial to the calculation of attorney’s fees under
Furthermore, whether one considers all the relevant factors or merely the relationship of fees to results obtained, the District Court in this case awarded a fee that was well within the court’s zone of discretion under
I
In Alyeska Pipeline Co. v. Wilderness Society,
In enacting
*445 “All of these civil rights laws depend heavily upon private enforcement, and fee awards have proved an essential remedy if private citizens are to have a meaningful opportunity to vindicate the important Congressional policies which these laws contain.
“In many cases arising under our civil rights laws, the citizen who must sue to enforce the law has little or no money with which to hire a lawyer. If private citizens are to be able to assert their civil rights, and if those who violate the Nation’s fundamental laws are not to proceed with impunity, then citizens must recover what it costs them to vindicate these rights in court.” Senate Report 2.
See House Report 1-3.
Yet Congress also took steps to ensure that
“[A] key feature of the bill is its mandate that fees are only to be allowed in the discretion of the court. Congress has passed many statutes requiring that fees be awarded to a prevailing party. Again, the Committee*447 adopted a more moderate approach here by leaving the matter to the discretion of the judge, guided of course by the case law interpreting similar attorney’s fee provisions.” House Report 8 (footnote omitted).
At a number of points, the legislative history of
As nearly as possible, market standards should prevail, for that is the best way of ensuring that competent counsel will be available to all persons with bona fide civil rights claims. This means that judges awarding fees must make certain that attorneys are paid the full value that their efforts would receive on the open market in non-civil-rights cases, see generally Copeland v. Marshall, 205 U. S. App. D. C. 390, 400-410,
The Court accepts these principles today. As in litigation for fee-paying clients, a certain amount of “billing judgment”
At the same time, however, courts should recognize that reasonable counsel in a civil rights case, as in much litigation, must often advance a number of related legal claims in order to give plaintiffs the best possible chance of obtaining significant relief. As the Court admits, “[s]uch a lawsuit cannot be viewed as a series of discrete claims.” Ante, at 435. And even where two claims apparently share no “common core of facts” or related legal concepts, see ibid., the actual work performed by lawyers to develop the facts of both claims may be closely intertwined. For instance, in taking a deposition of a state official, plaintiffs’ counsel may find it necessary to cover a range of territory that includes both the successful and the unsuccessful claims. It is sometimes virtually impossible to determine how much time was devoted to one category or the other, and the incremental time required to pursue both claims rather than just one is likely to be small.
Furthermore, on many occasions awarding counsel fees that reflect the full market value of their time will require paying more than their customary hourly rates. Most attorneys paid an hourly rate expect to be paid promptly and without regard to success or failure. Customary rates reflect those expectations. Attorneys who take cases on contingency, thus deferring payment of their fees until the case has ended and taking upon themselves the risk that they will receive no payment at all, generally receive far more in winning cases than they would if they charged an hourly rate. The difference, however, reflects the time-value of money and the
Therefore, district courts should not end their fee inquiries when they have multiplied a customary hourly rate times the reasonable number of hours expended, and then checked the product against the results obtained. They should also consider both delays in payment and the prelitigation likelihood that the claims which did in fact prevail would prevail.
II
Setting to one side theoretical issues about how district courts should approach attorney’s fees questions under
A
The Court admits that the District Court made a “commendable effort” to explain the fee award and that the award “may be consistent” with today’s opinion. Ante, at 438. It professes to be “unable to affirm” solely because the District Court’s finding that “[t]he extent of this relief clearly justifies the award of a reasonable attorney’s fee,” App. to Pet. for Cert. A-16, is not accompanied by a further finding as to “what is ‘reasonable’ in light of that level of success.” Ante, at 438-439.
Even if the District Court had been silent on the reasonableness of the amount of its fee award, it would be difficult to imagine why this Court would presume, as it apparently does, that a federal judge had awarded an unreasonable fee without explaining how such a result was compelled. In any event, the District Court stated expressly:
“The Court concludes that, in this case, the entire award made to plaintiffs constitutes a reasonable attorney’s fee. No portion of it can be characterized as a penalty or damage award against the state of Missouri.” App. to Pet. for Cert. A-11.
The District Court also addressed each of the factors mentioned in Johnson v. Georgia Highway Express, Inc.,
“The significance of this case cannot be measured in terms of dollars and cents. It involves the constitutional and civil rights of the plaintiff class and resulted in a number of changes regarding their conditions and treatment at the state hospital. Not only should plaintiffs be considered prevailing parties, they are parties who have obtained relief of significant import. Plaintiffs’ relief affects not only them, but also numerous other institutionalized patients similarly situated. The extent of this relief clearly justifies the award of a reasonable attorney’s fee.” Id., at A-16.
It is clear from the context that the District Court regarded the fee it was awarding as reasonable compensation for the results obtained. Simply changing the word “a” to “this,” in the last sentence quoted, would provide the additional finding the Court demands.
B
No more significant legal error requires today’s judgment. The Court notes that the District Court relied on Brown v. Bathke,
Perhaps if the questionable language in Brown were being misapplied in other cases from the Eighth Circuit, or if courts in some other circuit were misinterpreting
The law in other Circuits is substantially identical. Federal Courts of Appeals have adopted a two-stage analysis, whereby plaintiffs who obtain any significant relief are considered “prevailing parties,” and District Courts are directed to take into consideration the overall degree of a plaintiff’s success, and the extent to which work on claims on which no relief was obtained contributed to that success, in setting the exact amount of the award due. The mere fact that plaintiffs do not prevail on every claim does not preclude an award of fees for all work reasonably performed,
Evaluation of the interrelatedness of several claims within a single lawsuit, and of the legal work done on those claims, is
C
To remain faithful to the legislative objectives of
If a district court has articulated a fair explanation for its fee award in a given case, the court of appeals should not reverse or remand the judgment unless the award is so low as to provide clearly inadequate compensation to the attorneys on the case or so high as to constitute an unmistakable windfall. See, e. g., Gurule v. Wilson, supra, at 792; Furtado v. Bishop,
In systemic terms, attorney’s fee appeals take üp lawyers’ and judges’ time that could more profitably be. devoted to other cases, including the substantive civil rights claims that
This case itself provides a perfect example. Petitioners, who have little prospect of substantially reducing the amount of fees they will ultimately have to pay, have managed to delay paying respondents what they owe for over two years, after all other litigation between them had ended, with further delay to come. Respondents’ attorneys can hardly be certain that they will ever be compensated for their efforts here in defending a judgment that five Justices find deficient only in minor respects. Apart from the result in this case, the prospect of protracted appellate litigation regarding attorney’s fee awards to prevailing parties is likely to discourage litigation by victims of other civil rights violations in Missouri and elsewhere. The more obstacles that are placed in the path of parties who have won significant relief and then seek reasonable attorney’s fees, the less likely lawyers will be to undertake the risk of representing civil rights plaintiffs seeking equivalent relief in other cases. It may well become difficult for civil rights plaintiffs with less-than-certain prospects for success to obtain attorneys. That would be an anomalous result for judicial construction of a statute enacted “to attract competent counsel in cases involving civil and constitutional rights,” House Report 9; cf. Copeland v. Marshall, 205 U. S. App. D. C., at 400,
Few, if any, differences about the basic framework of attorney’s fees law under
See eases cited
Because of this selectivity, statutory attorney’s fee remedies such as those created by
For certain rights selected by Congress,
The portion of
“In any action or proceeding to enforce a provision of sections 1981, 1982, 1983,1985, and 1986 of [Title 42], title IX of Public Law 92-318 ... or title VI of the Civil Rights Act of 1964, . . . the court, in its discretion, may allow the prevailing party, other than the United States, a reasonable attorney’s fee as part of the costs.” Civil Rights Attorney’s Fees Awards Act of 1976, 90 Stat. 2641.
For most private-law claims, the public interest lies primarily in providing a neutral, easily available forum for resolving the dispute, and a plaintiff’s choice to compromise a claim or to forgo it altogether, based on his private calculation that what he stands to gain does not justify the cost of pursuing his claim, is of little public concern. But, in enacting
Congress had other reasons as well to believe that civil rights plaintiffs would often be unable to pay for the desirable level of law enforcement themselves. Civil rights remedies often benefit a large number of persons, many of them not involved in the litigation, making it difficult both to evaluate what a particular lawsuit is really worth to those who stand to gain from it and to spread the costs of obtaining relief among them. Cf. Hall v. Cole,
This case reflects the fact that Congress has provided public funding to some limited extent through a number of programs such as the Legal Services Corporation: respondents’ attorneys are associated with Legal Services of Eastern Missouri, Inc. They may not, however, use the money they receive from the Federal Government for cases in which fees are available. See
Congress’ imposition of liability for attorney’s fees under
Thus, the Court’s opinion should not be read to imply that “exceptional success” provides the only basis for awarding a fee higher than the reasonable rate times the reasonable number of hours. See ante, at 435. To the contrary, the Court expressly approves consideration of the full range of Johnson v. Georgia Highway Express, Inc.,
Both the Senate and House Reports make clear Congress’ conclusion that success on every claim is not necessary. See ante, at 430-431, and
“In appropriate circumstances, counsel fees under [§ 1988 ] may be awarded pendente lite. See Bradley v. School Board of the City of Richmond,416 U. S. 696 (1974). Such awards are especially appropriate where a party has prevailed on an important matter in the course of litigation, even when he ultimately does not prevail on all issues.” Senate Report 5 (emphasis added).
See also Mills v. Electric Auto-Lite Co.,
The House Report notes that “courts have also awarded counsel fees to a plaintiff who successfully concludes a class action suit even though that individual was not granted any relief.” House Report 8 (citing Parham v. Southwestern Bell Telephone Co.,
Cf. Note, Promoting the Vindication of Civil Rights Through the Attorney’s Fees Awards Act, 80 Colum. L. Rev. 346, 352 (1980).
Congress having delegated responsibility for setting a “reasonable” attorney’s fee to the court that tried the case, reviewing courts, as a matter of good judicial policy, should not disturb the trial court’s solution to the problem of balancing the many factors involved unless the end product falls outside of a rough “zone of reasonableness,” or unless the explanation articulated is patently inadequate. Cf. Permian Basin Area Rate Cases,