Robert PROCUP, Plaintiff-Appellant, v. C. STRICKLAND, et al., Defendants-Appellees.
No. 83-3430.
United States Court of Appeals, Eleventh Circuit.
May 20, 1985.
Opinion on Granting of Rehearing En Banc July 10, 1985.
760 F.2d 1107
Dean C. Kowalchyk, Asst. Atty. Gen., Tallahassee, Fla., for defendants-appellees.
Before KRAVITCH and JOHNSON, Circuit Judges, and TUTTLE, Senior Circuit Judge.
JOHNSON, Circuit Judge:
Appellant, state prisoner Robert Procup, brought this action pro se in the Middle District of Florida against prison officials who had allegedly stolen his mail. After reviewing Procup‘s complaint and his affidavit seeking permission to prosecute the claim in forma pauperis, the district court sua sponte entered an order which (1) noted the volume and nature of Procup‘s pre-
INTRODUCTION
Since 1979, Procup has been increasingly active as a pro se litigant, bringing the majority of his lawsuits under
We do not question this finding,2 as the district court provides ample docu-
DISCUSSION
A. The Injunction Is Overbroad.
Prisoners have a constitutional right of access to the courts. Bounds v. Smith, 430 U.S. 817, 821, 97 S.Ct. 1491, 1494, 52 L.Ed.2d 72 (1977).4 Though this right is not absolute or unconditional, restrictions which deprive inmates of “adequate, effective, and meaningful” access will be declared invalid. Id. at 822, 97 S.Ct. at 1495; See also Wolff v. McDonnell, 418 U.S. 539, 579-80, 94 S.Ct. 2963, 2986-87, 41 L.Ed.2d 935 (1974). In our Circuit, for example, a trial court‘s summary dismissal of an inmate‘s complaint in order to control court dockets and discourage prisoner litigation has been expressly prohibited. Mitchum v. Purvis, 650 F.2d 647, 648 (5th Cir.1981) (Unit B).
The district court below correctly acknowledged that litigiousness alone would not support an injunction depriving Procup of his right of access to the courts. Procup, supra, 567 F.Supp. at 151. However, the court went on to justify imposing the injunction by finding that Procup had abused the judicial process. Id. at 156. Apart from whether an injunction of any kind is warranted under these circumstances, which is a question we shall address in the latter part of this opinion, we hold that the injunction issued by the district court is
1. The Injunction Is Without Precedent.
Appellate decisions in this and other circuit courts have affirmed the issuance of injunctions against abusive litigants, but none of the injunctions challenged in these cases have swept so broadly as to deny pro se appearances entirely. Where principles of res judicata and collateral estoppel have proven inadequate to deter abuse, litigants have been enjoined from relitigating specific claims or filing repetitive appeals from a particular adverse ruling. E.g., Harrelson v. United States, 613 F.2d 114, 116 (5th Cir.1980); In re Green, 598 F.2d 1126, 1128 (8th Cir.1979); Hill v. Estelle, 543 F.2d 754 (5th Cir.1976), aff‘g Hill v. Estelle, 423 F.Supp. 690 (S.D. Tex.1976). Similarly motivated injunctions have required litigants who have abused the judicial process to accompany all future pleadings with affidavits certifying that the claims being raised are novel. E.g., Green v. Warden, 699 F.2d 364, 370 (7th Cir.), cert. denied, 461 U.S. 960, 103 S.Ct. 2436, 77 L.Ed.2d 1321 (1983); In re Green, 669 F.2d 779, 787 (D.C. Cir.1981). Litigants have also been directed to attach to future complaints a list of all cases previously filed involving the same, similar, or related cause of action5 and to send an extra copy of every pleading filed to the law clerk for the chief judge of the district. E.g., Green v. White, 616 F.2d 1054, 1056 (8th Cir.1980).
Injunctions of a different sort have prohibited the clerk of the court from filing an abusive litigant‘s pleadings without leave of court. E.g., Green v. Warden, supra, 699 F.2d at 370; In re Oliver, 682 F.2d 443, 446 (3d Cir.1982); In re Green, supra, 669 F.2d at 787; Pavilonis v. King, 626 F.2d 1075, 1079 (1st Cir.), cert. denied, 449 U.S. 829, 101 S.Ct. 96, 66 L.Ed.2d 34 (1980); Gordon v. United States Department of Justice, 558 F.2d 618 (1st Cir.1977). The clerk has also been instructed not to file pleadings that do not comply strictly with the applicable rules of civil and appellate procedure. E.g., Carter v. Pettigrew, No. 84-8411, slip op. at 5 (11th Cir. Aug. 24, 1984) (unpublished) (order authorizing clerk of appellate court to inspect documents received from certain litigants for compliance with Fed.R.App.P. 3 and to refuse to file the documents if the judgment or order appealed from is not specified).
All of these injunctions, by exposing the litigants to the possibility of being held in contempt for non-compliance, have created an added incentive for not abusing the judicial process. Yet, none of these decisions have completely curtailed a prisoner‘s pro se access to the courts. At most, the injunctions have created rebuttable presumptions of repetition, frivolity, or maliciousness. In none of the decisions have future non-frivolous and non-malicious claims been preemptively and conclusively foreclosed, as they have been in this case.
Two other appellate decisions have affirmed injunctions that permit an abusive prisoner litigant to file in forma pauperis only claims alleging actual or threatened physical harm. E.g., In re Green, No. 81-1186 (5th Cir. Apr. 27, 1981) (Unit A) (published as appendix to the opinion in Green v. Carlson, 649 F.2d 285, 286 (5th Cir.) (Unit A), cert. denied, 454 U.S. 1087, 102 S.Ct. 646, 70 L.Ed.2d 623 (1981)); Green v. White, supra, 616 F.2d at 1055. Imposing this type of injunction creates, in effect, a conclusive presumption that future in forma pauperis claims not involving actual or threatened physical harm are ipso facto duplicative, frivolous, or malicious. Apart from whether such an injunction should
2. The Injunction Denies Procup Adequate, Effective, And Meaningful Access To The Courts.
The district court below examined and rejected for instrumental reasons each type of injunction thus far affirmed by the circuit courts. Because Procup is currently serving a sentence of life imprisonment,7 the court concluded that additional confinement for contempt, based on violations of an injunction which merely prohibited the relitigation of specific claims or required a certification of novelty, would probably have little effect in deterring Procup‘s abuse of the judicial process. Procup v. Strickland, 567 F.Supp. at 159. Similarly, the district court concluded that requiring leave of court before filing further pleadings would not deter Procup‘s abuse. Instead, this sort of injunction would continue to demand the expenditure of judicial
The district court concluded that an injunction against pro se appearances would not unduly burden Procup‘s right to obtain judicial redress in appropriate cases. Two avenues were ostensibly available to ensure adequate representation for Procup‘s future complaints: (1) attorneys in private practice and (2) the non-profit legal assistance organization located at the prison. The first avenue assumes that ample financial incentives exist under
The second avenue relies on the non-profit legal assistance organization that is available at the prison to represent Procup when private counsel is not forthcoming. The assistance of the legal aid organization, however, does not guarantee Procup adequate, effective, and meaningful access to the courts. The resources of this organization are limited and may not be sufficient, both at present and in the future, to ensure that Procup‘s legitimate claims are represented. Moreover, Procup avers that actions he previously filed pro se are now pending against certain attorneys who work for the legal assistance organization. Thus, conflicts of interest might arise which would prevent the organization from representing Procup in cases not handled by a private attorney.
In short, the competitive market for legal services and the available non-profit legal assistance will not invariably provide adequate, effective, and meaningful representation for Procup‘s non-frivolous and non-malicious claims. Should these avenues of representation prove fruitless, Procup‘s only remaining option would require the purchase of legal aid with personal funds that he apparently does not have. Ultimately, then, the injunction may impose financial restrictions that operate to preclude Procup from filing a new and legitimate complaint. It is true that costs are a factor in every litigant‘s decision to pursue a claim, but here the costs of access to our judicial system have been increased for a specific indigent litigant to levels that may completely foreclose his future access to the courts.
The use of an injunction against a pro se litigant “should be approached with particular caution.” Pavilonis v. King, supra, 626 F.2d at 1079; In re Oliver, supra, 682 F.2d at 445; Hill v. Estelle, supra, 423 F.Supp. at 695. Here, the operation of economic incentives and the limited extent of available legal assistance resources indicate that, even if injunctive relief were
B. The Injunction Is Unwarranted.
The right to appear pro se and, where granted by the district court, to proceed in forma pauperis ensures that indigent litigants will have access to our judicial system that is adequate, effective, and meaningful. Pro se litigants who proceed in forma pauperis, however, are not subject to the usual incentives against filing repetitive, frivolous, or malicious lawsuits. They “are immune from imposition of costs if they are unsuccessful; and because of their poverty, they are practically immune from later tort actions for ‘malicious prosecution’ or abuse of process.” Jones v. Bales, 58 F.R.D. 453, 463 (N.D.Ga.1972), aff‘d, 480 F.2d 805 (5th Cir.1973). The problem can be particularly acute when the litigant is a prisoner who has substantial amounts of idle time and a free supply of writing materials and postage stamps.9
Our procedural rules are premised on the assumption that litigants are subject to limitations of time and expense and have a basic respect for accuracy. Thus, we interpret the rules liberally so that only the truly untenable claims are dismissed or decided summarily. Since these assumptions may not always be operative in actions proceeding in forma pauperis, especially where a prisoner has initiated the lawsuit pro se, Congress has authorized special procedures for handling in forma pauperis complaints. Green v. City of Montezuma, 650 F.2d 648, 651 (5th Cir.1981) (Unit B); Jones v. Bales, supra, 58 F.R.D. at 464. These procedures are codified at
The centerpiece of the Section 1915 procedures is the district court‘s exercise of its discretion on a case-by-case basis, however tedious this exercise of discretion may become. The statute places the responsibility of reviewing prisoner complaints in the district court alone, and “any order that does not allow a district court the appropriate exercise of discretion under § 1915 is invalid.” In re Green, supra, 669 F.2d at 786; see also Carter v. United States, 733 F.2d 735, 737 (10th Cir.1984) (vacating an injunction against the filing of a prisoner‘s future complaints without payment of fees).10
Here, the district court‘s express purpose in issuing the injunction was to have someone other than the court review Procup‘s claims and cull out the non-frivolous and non-malicious complaints. Procup v. Strickland, supra, 567 F.Supp. at 161 n. 17. Although the order as phrased prohibits pro se filings and is silent regarding requests for in forma pauperis status, it nonetheless was designed to shift the responsibility of the case-by-case review process away from the district court. We hold that the court may not by way of an injunction avoid the responsibility Congress has placed upon it to consider each prisoner complaint when filed. Whether a pro se complaint brought in federal court is properly drawn and whether it states a legitimate claim are questions for the district court alone to determine. Cf. Ex parte Hull, 312 U.S. 546, 549, 61 S.Ct. 640, 641, 85 L.Ed. 1034 (1941) (holding invalid a state prison regulation that required all pro se legal pleadings to be approved by a prison official and then a special investigator for the parole board before being sent to the designated court).
Our holding does not confer on Procup a right to receive special advantages not bestowed on other litigants. He must, for example, abide by local rules governing the proper form of pleadings. Complaints “scrawled on toilet paper” or written “on both sides of the paper” need not be filed. See Procup v. Strickland, supra, 567 F.Supp. at 154. Nor must exhibits be accepted prematurely. See id. On the other hand, the frustrations that may attend such violations of local rules cannot justify a proscriptive denial of constitutional rights. As federal courts, we must not surrender to a state-of-siege mentality and abandon our duty to provide a forum for even the abusive pro se litigant‘s occasional legitimate claim. The judicial time spent in dismissing such complaints and returning the exhibits is minimal at most and comprises a cost which our judicial system should absorb when the alternative ruling so portentously restricts the constitutional right of access to the courts.
Our holding similarly does not proscribe the development of additional local rules to expedite the district court‘s case-by-case determinations. See Federal Judicial Center, Recommended Procedures for Handling Prisoner Civil Rights Cases in the Federal Courts (1980). Complaint forms may be refined to elicit information designed to reveal repetition, frivolity, or maliciousness. One particular person or group of persons in the office of the clerk of court may be assigned the task of reviewing all prisoner complaints for compliance with local rules of form. This person or group of persons could maintain a separate file on especially prodigious litigants to aid in discovering and documenting repetitive or malicious case filings. An initial screening of prisoner complaints can be performed by law clerks or a magistrate, with recommendations being forwarded along with the complaints to the district judge. All pleadings filed by one inmate may be directed to the same law clerk or magistrate and district judge.
Review of the recommendations of the law clerk or magistrate and consideration of the complaints individually does not require inordinate amounts of time and effort from the district court. If a pro se complaint is on its face without arguable merit,11 only a one-line order dismissing it with prejudice need be entered. If the claim is not facially frivolous and was not brought maliciously, the court need simply
Within the confines of acceptable procedures such as these, the district court has ample discretion to summarily dismiss frivolous or malicious claims; yet the case-by-case consideration envisioned by Congress is left intact. The speed and accuracy with which the claims are ultimately processed will be, in part, a function of the competency and administrative ability of the particular district court. Accordingly, future judicial efforts to deal with the increasing load of prisoner litigation should be directed toward developing effective procedures and improving our own efficiency, not enjoining the access of litigants to the courts.
REVERSED.
ON REHEARING
Before GODBOLD, Chief Judge, RONEY, TJOFLAT, HILL, FAY, VANCE, KRAVITCH, JOHNSON, HENDERSON, HATCHETT, ANDERSON and CLARK, Circuit Judges.
BY THE COURT:
A majority of the Judges in active service, on the Court‘s own motion, having determined to have this case reheard en banc,
IT IS ORDERED that the cause shall be reheard by this Court en banc without oral argument on a date hereafter to be fixed. The previous panel‘s opinion is hereby vacated.
The Clerk will specify a briefing schedule for the filing of en banc briefs.
UNITED STATES of America, Plaintiff-Appellee, v. Silbert MILLS, Defendant-Appellant.
No. 83-3662.
United States Court of Appeals, Eleventh Circuit.
May 20, 1985.
