Smith v. OgbuehiSmith v. Ogbuehi
The California Constitution and Penal Code section 2601, subdivision (d) provide indigent prisoners with the right of meaningful access to the courts to prosecute civil actions. One of the discretionary measures available to protect the right of access to the courts is the appointment of counsel. Consequently, the trial court had the discretionary authority to appoint counsel. The court's statement that it was without the authority to appoint counsel did not recognize the existence and scope of its discretionary authority.
The exercise of a trial court's discretion is guided by a three-step inquiry
Here, the trial court's denial of the motion to appoint counsel was not based on an informed exercise of its discretion. Consequently, the appropriate remedy is to remand the matter to the trial court for an exercise of its discretionary authority within the framework of the three-step inquiry.
We therefore reverse the judgment and remand for further proceedings.
FACTS
Parties
Smith was born in 1956. His present incarceration began in 2004 and he is serving a sentence of 39 years to life, with eligibility for parole. The present litigation arises from the medical care Smith received at Pleasant Valley, where he arrived in August 2011, after being transferred from the Richard J. Donovan Correctional Facility in San Diego County (Donovan). Smith remained at Pleasant Valley until December 2013, when he was transferred to Folsom State Prison (Folsom).
The defendants named in Smith's pleading were P. Brazelton, Warden of Pleasant Valley; Dr. U. Baniga; Nurse Practitioner I. Ogbuehi; J. Clark Kelso; Dr. A. Duenas; and L. Zamora. Only Dr. Baniga, Ogbuehi, and Warden Brazelton were served with Smith's amended complaint.
Smith's Medical Conditions
Prior to Smith's arrival at Pleasant Valley, he was injured in two separate cellmate assaults. After the first cellmate assault, medical staff at Donovan coordinated two surgeries on Smith's right thumb and wrist in 2008 and 2009. Donovan medical staff also prescribed gabapentin for pain.
In June 2010, Smith experienced a sudden onset of right knee pain. Donovan medical staff identified a lateral meniscus tear and preliminarily evaluated Smith for surgery.
In September 2010, the second cellmate assault occurred, injuring Smith's left shoulder. Donovan medical staff and Smith
While treating Smith's shoulder, a CT scan revealed an old compression fracture of Smith's L3 vertebrae. Smith was given a back brace, but no significant treatment was provided for his back.
To summarize, while at Donovan, Smith experienced medical problems with his right hand, right knee, left shoulder, and his spine. The symptoms from these problems included pain. This lawsuit addresses the medical care Smith received at Pleasant Valley after leaving Donovan in August 2011. Details about that medical care are set forth in the unpublished portion of this opinion addressing defendants' motion for summary judgment.
PROCEEDINGS
Smith has represented himself throughout this proceeding, which has included exhausting administrative remedies, filing a claim under the Government Claims Act (
The amended complaint sets forth headings for three causes of action, all of which included the description "(Negligent or Wrongful Act or Omission)." Additional descriptions of "(Defendant's owe Plaintiff a legal duty of care)"; "(Defendant's Breach of Duty)"; and "(Proximately Cause Pain and Suffering)" were included in Smith's headings for the first, second, and third causes of action, respectively.
In broad terms, Smith alleged defendants breached their legal duty to provide reasonable and competent medical care by failing to give necessary medication; prescribing inappropriate medication; delaying examination and treatment; and failing to provide access to a specialist that his particular condition required. He also alleged the "failure to summon immediate medical care ... is serious enough [to] amount to the wanton and unnecessary infliction of pain and suffering." In more specific allegations, Smith asserts his shoulder cannot be repaired due to delays in treatment; the morphine he was taking for pain was inappropriately lowered and then
In June 2014, the three defendants served with the amended complaint filed their answer. Subsequently, Warden Brazelton was dismissed with prejudice pursuant to a written request for dismissal signed by Smith and defense counsel. Consequently, this lawsuit has been narrowed to the claims against Dr. Baniga and Ogbuehi.
Motion for Appointment of Counsel
In April 2015, Smith filed a motion for appointment of counsel. The motion asserted (1) Smith was unable to afford counsel; (2) the issues involved in the case were
In May 2015, the trial court issued an order (1) stating it had received Smith's ex parte motion for appointment of counsel, (2) mentioning the right to appointed counsel in criminal cases and lack of authority to appoint counsel for a plaintiff in a civil proceeding, and (3) denying the request. The court's rationale is described in part I.B.2., post.
Motion for Summary Judgment
In December 2016, defendants filed a motion for summary judgment asserting "the undisputed material facts establish that Nurse Practitioner Ogbuehi and Dr. Baniga's provision of medical services to [Smith] did not fall below the standard of care." The separate statement of undisputed material facts was organized into 10 sections that addressed plaintiff's (1) shoulder condition, (2) back condition, (3) knee condition, (4) morphine prescription, (5) gabapentin prescription, (6) oxcarbazepine prescription, (7) amitriptyline claims, (8) request for a new provider, (9) causal link, and (10) the lawsuit. The motion was supported by declarations of a medical expert and a deputy attorney general. Ogbuehi and Dr. Baniga did not submit declarations to support their motion for summary judgment.
Defendant's medical expert, Dr. A. Duenas received a Doctor of Medicine degree from the Universidad Autonoma de Guadalajara School of Medicine in 1979. She is certified in internal medicine by the American Board of Internal Medicine. Dr. Duenas began working for the California Department of Corrections and Rehabilitation in 2008 and remained in its employ through the date of her declaration. She was serving as the chief physician and surgeon at the Pleasant Valley State Prison when Smith arrived and continued in that role until February 2012, when she transferred to another institution.
Dr. Duenas's opinion on the adequacy of medical care provided to Smith by Dr. Baniga and Ogbuehi was based on (1) her review of medical records of the care provided to Smith during his incarceration from 2004 through the date of her declaration; (2) her direct participation in Smith's case while chairing the Clinical Case Management Review Committee, which evaluated Smith on January 11, 2012; (3) the administrative grievance filed by Smith relating to care given by Ogbuehi, which Dr. Duenas granted in part at the second level of review and initiated a confidential staff inquiry;
Here, we set forth some of Dr. Duenas's views about the treatment of Smith's left shoulder and Smith's allegations relating to that treatment. Dr. Duenas states Smith is wrong in claiming that the delays by Dr. Baniga or Ogbuehi delayed the surgery and caused his supraspinatus tendon tear to be unrepairable. Dr. Duenas states: "The date upon which the tendon could have been accessible in surgery before retraction is not known." She notes Dr. Y. N. Paik of the Pacific Orthopedic Medical Group did not call for immediate
Opposition
On April 27, 2017, Smith filed a response to defendants' separate statement of undisputed material facts, which included exhibits totaling over 120 pages.
Smith responded "undisputed" to many of the 130 numbered paragraphs of material facts asserted by defendants. However, Smith also responded "disputed" to many of the assertions of fact. For example, defendants' separate statement described an October 25, 2011, meeting between Smith and Ogbuehi and a January 11, 2012, meeting between Smith and the Clinical Case Management Review Committee, stating the main source of Smith's pain was his shoulder. Smith disputes these statements and asserts he was suffering pain in his left shoulder, lower back pain and right knee pain, but the left shoulder pain was the only complaint with which the nurse and committee were concerned.
Another example of a factual dispute relates to paragraph 37 of defendants' separate statement, which described excerpts of Smith's medical records relating to his back condition. In his response, Smith disputed "the accuracy of these medical records." The accuracy of Smith's medical records also was addressed in paragraph 124 of defendants' separate statement, which asserted Smith was asked during his deposition if the medical records he reviewed accurately reflected the medical treatment he received ,
In the section of defendants' separate statement addressing Smith's back condition,
In the part of defendants' separate statement addressing Smith's morphine prescription, defendants refer to medical records from a January 9, 2013, meeting between Smith and Ogbuehi for a primary care evaluation and state the records reflect Ogbuehi noted a "steady gait." Smith's response asserts this statement by Ogbuehi was false and misleading because a steady gait was never proven and she "never walk[ed] with plaintiff to see how his walk is." Smith supports his assertion by referring to medical records describing him as walking into a "room with a significant gait limping, using his cane."
Smith's response to defendants' separate statement disputes other factual assertions made by defendants. Those disputes are not described here as the foregoing examples are sufficient for purposes of this appeal.
Trial Court's Decision
On April 27, 2017, a hearing was held on the motion for summary judgment, the same day Smith's response to defendants' separate statement was filed. Smith and defense counsel appeared using CourtCall. The court granted the motion, adopting its tentative ruling as its order, previously issued on April 11, 2017. The ruling stated defendant had met their burden by showing that nothing Ogbuehi or Baniga did caused Smith's harm. The court referred to Dr. Duenas's opinion that defendants' medical practices met the applicable standards of care and stated the medical records showed that Dr. Baniga did not refuse Smith's request to be assigned to a different medical provider.
In May 2017, the trial court entered a judgment in favor of Ogbuehi and Dr. Baniga in the amount of $1,330.13 and decreed that Smith would take nothing. Smith filed a timely appeal.
I. APPOINTMENT OF COUNSEL
Appellant's opening brief included a heading asserting the denial of appointment of counsel for medical expert was an abuse of discretion. Because his request of the trial court was for appointment of counsel, not for the appointment of an expert, our review focuses on the issues relating to the appointment of counsel. Under California law, the appointment of counsel for an indigent prisoner pursuing a civil action is an aspect of the right of
A. Overview of Right to Access to the Courts
1. General Principles
Access to the courts is "a right guaranteed to all persons by the federal and state Constitutions." ( Jersey v. John Muir Medical Center (2002)
The decisions in Apollo and Wantuch are significant because they involved indigent prisoners who were plaintiffs in civil actions. Earlier decisions of the California Supreme Court addressing the right of access to the courts dealt
In Wantuch , a self-represented inmate sued his former criminal defense attorney for malpractice and other causes of action. ( Wantuch , supra , 32 Cal.App.4th at pp. 789-790,
In Apollo , a self-represented prisoner brought a civil action against the prison food administrator and two medical staff members for damages resulting from defendants' refusal to provide a medically prescribed special diet for his chronic diverticulitis of the colon. ( Apollo , supra ,
In Apollo , the First District's analysis of the potential deprivation of meaningful access to the courts followed the reasoning set forth in Wantuch. The court stated it "must determine whether, considering appellant's status as an unrepresented prisoner-litigant, the trial court exercised its discretion in a manner protective of his statutory right to meaningful access to the courts to prosecute bona fide civil claims." ( Apollo , supra ,
A nonexclusive list of measures available to trial courts to ensure indigent prisoner litigants are afforded meaningful access to the courts (including plaintiffs in bona fide civil actions) are set forth in both Apollo and Wantuch. Those measures included (1) deferral of the action until the prisoner is released; (2) appointment of counsel for the prisoner ; (3) transfer of the prisoner to court to attend hearings or the trial; (4) utilization of depositions in lieu of personal appearances; (5) holding of trial in prison; (6) conducting status and settlement conferences, hearings on motions and other pretrial proceedings by telephone; (7) propounding of written discovery; and (8) use of closed circuit television or other modern electronic media. ( Apollo , supra ,
After the briefing in this appeal was completed, the California Supreme Court
2. Appointment of Counsel
California decisions identify the appointment of counsel as one of the measures available to a trial court to assure an indigent prisoner is provided meaningful access to the courts. However, neither the California Constitution nor Penal Code
"[A] trial court does not have discretion to choose no remedy in cases where the prisoner's civil action is bona fide and his or her access to the courts is being impeded. Indeed, the California Supreme Court has suggested that, in certain cases, appointment of counsel may be the only remedy available to protect a prisoner litigant's right of meaningful court access: 'In an appropriate case, and as a last alternative, appointment of counsel may be the only way to provide an incarcerated, indigent civil defendant with access to the courts for the protection of threatened personal and propertyrights.' ( Yarbrough , supra , 39 Cal.3d at pp. 200-201 [ , 216 Cal.Rptr. 425 ].)" ( Apollo , supra , 702 P.2d 583 167 Cal.App.4th at p. 1484 [].) 85 Cal.Rptr.3d 127 9
Another aspect of the discretionary authority relates to how a trial court should balance the right of meaningful access to the court against the important principles that (1) indigent litigants "are entitled to the same, but
3. Federal Approach to Appointing Counsel
Smith's motion for the appointment of counsel did not cite a decision by any court of the State of California. Instead, he cited federal decisions. (See Moore v. Mabus (5th Cir. 1992)
The federal statute authorizing prisoners to bring civil actions in forma pauperis provides that "[t]he court may request an attorney to represent any person unable to afford counsel." (
The next two legal questions we resolve relate to the trial court's determination of whether an inmate's "access to the courts is being impeded." ( Apollo , supra ,
Second, we conclude a trial court must examine the totality of the circumstances when making the discretionary determination of whether an inmate's access is being impeded. It follows that the relevant circumstances include, without limitation, the factors listed in the federal decisions for determining whether exceptional circumstances exist in a particular case.
B. Smith's Motion and Its Denial
1. Smith's Arguments
Smith's motion for the appointment of counsel did not refer to the constitutional and statutory right of access to the courts and did not cite Apollo , Wantuch , or any other California decision. Instead, Smith relied on federal cases and asserted the trial court should consider the factual complexity of the case; the ability of the inmate to investigate the facts; the ability of the inmate to get discovery and expert witnesses; and the complexity of the legal issues. Smith argued the issues involving his medical condition and need for pain medication were factually complex and probably would require
2. The Trial Court's Decision
The trial court's written order denying Smith's ex parte motion for the appointment of counsel stated Smith had "failed to
C. Arguments Presented on Appeal
1. Initial Appellate Briefing
Smith's opening brief contends the "denial [of] appointment of counsel for medical expert" was an abuse of discretion. Defendants contend the trial court did not abuse its discretion by failing to appoint Smith an expert because he never asked the trial court for an expert and, even if a motion had been made, Smith did not establish the court had the authority to provide him with an expert at no cost. We agree with defendants and will therefore not address the expert appointment issue further.
2. Supplemental Briefing Request
In May 2019, this court requested supplemental briefing under Government Code section 68081 of issues relating to the trial court's order denying the appointment of counsel. Based on Apollo , Wantuch and the California Supreme Court cases addressing the appointment of counsel for indigent defendants in civil cases ( Yarbrough, supra ,
3. Defendants' Supplemental Brief
Defendants' supplemental brief stated the trial court did not conduct the three-step inquiry used in Apollo and Wantuch in deciding Smith's motion for appointment of counsel. Defendants contended that when interpreting the order this court should "presume the trial court knew of its obligations under Wantuch and Apollo but found them inapplicable because Mr. Smith had raised only an appointment-of-counsel issue, and not a court-access issue." In a related argument, defendants contend that, even if one assumes the trial court misunderstood the nature and scope of its discretionary authority, there is no need to remand with directions for the trial court to conduct that inquiry because "Smith failed to make a prima facie showing of a denial of meaningful access to the courts." In other words, defendants contend there was no duty to conduct the three-step inquiry because Smith's arguments and showing did not trigger that duty.
Defendants also argue that nothing in Wantuch , Apollo or Jameson supports the conclusion that a trial court is obligated to conduct the three-step inquiry every time an indigent prisoner-plaintiff moves for appointment of counsel. Furthermore, defendants
4. Smith's Supplemental Brief
Smith's supplemental brief agreed with defendants' statement that the trial court did not conduct the three-step inquiry used in Apollo and Wantuch in deciding the motion for appointment of counsel. However, Smith disagrees
D. Interpreting the Trial Court's Order
The first step in our analysis of the trial court's order addresses how to interpret that order. Specifically, was the trial court aware of its discretionary authority to appoint counsel and did the trial court actually exercise that discretion in denying the motion?
1. Presumption of Correctness
"[I]t is a fundamental principle of appellate procedure that a trial court [order or] judgment is ordinarily presumed to be correct and the burden is on an appellant to demonstrate, on the basis of the record presented to the appellate court, that the trial court committed an error that justifies reversal of the judgment." ( Jameson , supra , 5 Cal.5th at pp. 608-609,
2. Rules Governing Interpretation of Order
Generally, the "interpretation of an appellate opinion is governed by the
3. Presumption Does Not Apply
As noted, the presumption of correctness applies to "matters as to which the record is silent." ( Denham , supra ,
4. Trial Court Was Unaware of Its Discretionary Authority
Having concluded the presumption of correctness does not apply, we address what the trial court meant when it said it was "without authority to appoint an attorney in this case." Defendants argue this statement means the court concluded Smith failed to make a prima facie showing of a denial of access and, based on this result, the court reached the further conclusion that it had no duty to conduct the three-step inquiry described in Apollo and Wantuch. Based on the contents of the order as a whole and the context provided by Smith's motion, we interpret the order to mean the court did not recognize it had the discretionary authority to appoint counsel. That discretionary authority is described in Apollo and Wantuch and is derived from Penal Code
"[A] court that is unaware of its discretionary authority cannot exercise its informed discretion." (
With some irony, defendants' supplemental brief contends: "By failing to raise an access-to-court argument below, Mr. Smith cannot complain about the issue now under the waiver doctrine." We reject this waiver argument.
First, California law defines waiver as the intentional relinquishment or abandonment of a known right or privilege. ( Smith v. Adventist Health System/West (2010)
Similarly, it is not objectively reasonable to infer Smith had the knowledge required to establish a waiver. Defendants' waiver argument has referred to no documents or other evidence in the record supporting a reasonable inference that Smith knew the nature and extent of his right of access to the court and how that right related to the appointment of counsel pursuant to the trial court's discretionary authority. Therefore, an intentional relinquishment or abandonment of a known right of access is not established by the record.
Second, and most importantly, when an indigent plaintiff in a civil action requests the appointment of counsel, that request should be interpreted as invoking the right of meaningful access to the courts, even if the indigent plaintiff does not explicitly mention that right. Courts generally are required to give pleadings a liberal, yet reasonable, construction (
Consequently, the doctrine of waiver does not preclude this court from considering Smith's right of meaningful access to the courts as the basis for the appointment of counsel or appointment of an expert, even though he did not cite cases such as Apollo and Wantuch or explicitly mention the right in the trial court proceedings.
F. Appellate Relief for Failure to Exercise Discretion
Our conclusion that the trial court was not aware of its discretionary authority and, as a result, did not exercise that discretion leads to the following question: What appellate relief, if any, is appropriate? The possible answers include (1) declaring the error harmless; (2) remanding the case to the trial court to exercise its discretion; and (3) directing the trial court to appoint counsel because the circumstances so overwhelmingly favor the appointment of counsel that it would be an abuse of discretion to deny the request.
In Apollo and Wantuch , the appellate courts chose the middle ground, reversing the judgment and remanding to the trial court to exercise its discretionary authority. ( Apollo , supra ,
Conversely, the circumstances are not so overwhelming that the only proper exercise of discretion is the appointment of counsel. While Smith has made a prima facie showing on appeal that he is indigent and his claim is bona fide, the resolution of the first two steps of the three-step inquiry described in Apollo and Wantuch is better left to the trial court in the first instance. Similarly, the choice among the various measures available to protect the right of access to the courts is better left to the trial court, which is responsible for overseeing the litigation and better situated to evaluate how one or a combination of measures would operate "to ensure indigent prisoner litigants are afforded meaningful access to the courts." ( Apollo , supra ,
Consequently, we reverse the judgment and remand for further proceedings in which the trial court is directed to "first determine whether appellant is indigent" and next determine whether the lawsuit involved a bona fide threat to his personal or property interests. ( Apollo , supra ,
In the unpublished part of this opinion, we conclude Smith's challenges to the grant of summary judgment have not demonstrated reversible error.
II. SUMMARY JUDGMENT
DISPOSITION
The judgment is reversed. The matter is remanded to the trial court to vacate its order denying the motion for appointment of counsel and to conditionally vacate its order granting the motion for summary judgment. The motion for summary judgment shall remain pending while the trial court conducts further proceedings not inconsistent with this opinion, which shall include setting a schedule for supplemental briefing
Appellant shall recover his costs on appeal.
WE CONCUR:
PEÑA, J.
DESANTOS, J.
Notes
Dr. Duenas, a named but unserved defendant, was dismissed from the lawsuit without prejudice in 2015. Thus, her opinion addresses the conduct of her subordinates.
Inmate grievances are processed in accordance with regulations set forth in article 8 of title 15 of the California Code of Regulations. The three levels of administrative review applied to the grievances are discussed by this court in Villery v. Department of Corrections & Rehabilitation (2016)
The tentative ruling on the motion for summary judgment was issued on April 11, 2017, so the trial court did not have the benefit of Smith's response when it made its tentative decision, which was later adopted on April 27, 2017, following an unreported hearing held that day. The record does not show whether the trial court had actually seen Smith's response before or during the hearing.
Defendants' separate statement did not address whether Ogbuehi's notes accurately reflected her conversations with Smith.
Smith's response to defendants' separate statement was filed on April 27, 2017, well after Dr. Duenas executed her declaration on December 13, 2016. Dr. Duenas did not anticipate Smith's claim that the straight-leg test was performed incorrectly and, therefore, did not address (1) how to perform a straight-leg test in accordance with the applicable standard of care or (2) the manner in which Ogbuehi performed the test.
The United States Supreme Court has "grounded the right of access to court in the Article IV Privileges and Immunities Clause [citations], the First Amendment Petition Clause [citations], the Fifth Amendment Due Process Clause [citations], and the Fourteenth Amendment Equal Protection [citation] and Due Process Clauses [citations]." (Christopher v. Harbury (2002)
We have located, and the parties have cited, no published decision explicitly including or excluding the discretionary appointment of an expert pursuant to Evidence Code
The same is true of the United States Constitution and the federal statute, even when the lawsuit alleges violations of constitutionally protected rights. (Jackson v. Dallas Police Dept. (5th Cir. 1986)
In Yarbrough , the Supreme Court stressed the distinction between the discretion to appoint counsel and the lack of authority to order the payment of public funds to compensate such appointed counsel for indigent prisoners in civil actions. (See Apollo, supra ,
Defendants' supplemental brief asserts: "Neither Mr. Smith's pro-per nor incarcerated status barred him from sourcing his own expert. Identically situated individuals have surpassed both hurdles." Defendants support this assertion by citing Jameson,
Where, as here, an inmate's motion satisfies the requirements of nonfrivolousness applicable to civil filings generally (
We do not reach the following legal question, which has not been briefed by the parties: Are California trial courts required to place on the record explicit oral or written findings explaining the exercise of their discretionary authority? We note, however, that in some contexts involving discretionary determinations, such findings are required "to make meaningful appellate review possible." (Ramos v. Countrywide Home Loans, Inc. (2000)
See footnote *, ante .
In his supplemental brief, Smith is not precluded from requesting the appointment of an expert under Evidence Code