Timmie Cole, Sr. v. J. Ray Ormond
Opinion
Indigent individuals may seek permission in the district court to appeal adverse judgments without prepayment of appellate filing fees. At issue in today's five consolidated cases, each filed under
I.
David Samarripa, Stephon Mason, Jose Hernandez, Arnulfo Perez, and Timmie Cole-federal prisoners all-filed petitions for a writ of habeas corpus under
Each of them renewed his motion in this court, in effect challenging the district courts' determinations. See Fed. R. App. P. 24(a)(5) and advisory committee's note. We consolidated the five motions to consider whether federal courts have the statutory authority to require petitioners to prepay a partial filing fee on appeal of a § 2241 petition. We appointed Katherine Wellington to represent the claimants pro bono.
Before this court, the claimants and the government agreed that the district courts had no such authority. We appointed James Saywell as amicus curiae to file a brief in defense of the district courts' orders. Both Ms. Wellington and Mr. Saywell ably handled their appointments, for which we are grateful.
II.
At stake is whether the law permits partial prepayment of fees or requires an all-or-nothing-at-all approach. The text of § 1915(a)(1) says: "[A]ny court of the United States may authorize the commencement, prosecution or defense of any suit, action or proceeding, civil or criminal, or appeal therein, without prepayment of fees or security therefor, by a person," based on the court's review of the person's assets and claim. (Emphasis added). The key language-"may authorize" and "without prepayment of fees"-does not answer the question. A court that excuses all fees or some fees still allows a filing "without prepayment of fees." Ample room for clarification exists in either direction. Had the law said that courts "shall authorize" litigants to proceed "without prepayment of any fees," that would clarify that courts face a $505 or a $0 option with nothing in between. Had the law said that courts "may" allow litigants to proceed "without prepayment of some or all fees," that would clarify that courts could permit partial prepayments depending on the person's particular financial situation. Absent more textual guidance from these words alone, we must keep looking.
Pulling back the lens offers some guidance. The clause immediately following the key language ("without prepayment of fees
or security therefor
") implies that courts may require litigants to post something as security for the filing fees in an appropriate case. Security for costs falls within a court's broad discretion.
See
United States v. Ames
,
As for the other relevant provision, Appellate Rule 24, it does not answer the question either way. In setting out a procedure for seeking pauper status on appeal, it tells the party to file the motion in the district court. If the court grants the motion, the party may proceed as a pauper on appeal without prepayment. Fed. R. App. P. 24(a)(2). If the district court denies the motion, the party may file the motion in the court of appeals, in effect challenging the district court's decision. Id. 24(a)(5). The Rule contemplates granting or denying *518 these motions. Id. 24(a)(2). But it does not rule in or rule out discretion in between.
History helps. By the time Congress amended the pauper statute in 1996, every circuit to address the issue had held that § 1915(a) -in place since 1892-allowed courts to require parties to prepay
part
of the filing fees.
In re Epps
,
When Congress amended the statute in 1996, it did not meaningfully change the text of § 1915(a)(1). That reality permits the inference that Congress did not wish to change what had become a uniform practice of permitting courts to require indigent litigants to prepay some but not all of the fee.
Context offers another clue, and it too arose from the 1996 amendments. Just as important as what Congress did not do in 1996 is something it did do: It enacted the Prison Litigation Reform Act. In the PLRA, Congress took away judicial discretion when prisoners bring civil suits or file appeals. In those cases, "the prisoner shall be required to pay the full amount of a filing fee."
What happens with costs at the end of a case provides another contextual clue about what should happen with filing fees at the beginning of a case. Section 1915(f)(1) provides that "[j]udgment may be rendered for costs at the conclusion of the suit or action as in other proceedings." The general costs statute,
When faced with this issue, the Seventh Circuit in an opinion by Judge Easterbrook took the same approach, holding that courts may require partial prepayment under § 1915(a)(1).
See
Longbehn v. United States
,
The claimants and the United States oppose this conclusion on several grounds. First, they argue that the text of § 1915(a)(1) supports their approach. Yes, it's true, the text is silent about allowing partial prepayment of fees. But it is just as silent in the other direction. Saying that a court "may authorize" a filing "without prepayment of fees" does not say one way or the other whether all fees may be forgiven or just some. A court order that the litigant pay 20% of the fees still amounts to an order authorizing the filing "without prepayment of fees."
Garza v. Thaler
,
Our case for what it is worth differs from
Adkins v. E.I. DuPont de Nemours & Co.
,
The claimants also argue that Rule 24 limits courts' discretion to take-it-or-leave-it grants or denials. That Rule's procedures (filing a motion in the court of appeals as a way to challenge the district court's decision) would not make sense, they say, if courts could require partial prepayment. But nothing in the Rule prevents district courts or courts of appeals from granting in part and denying in part a party's motion, thereby requiring or allowing partial prepayment.
The claimants and the government argue that the PLRA in 1996 abrogated any authority for courts to require partial prepayment under § 1915(a)(1). At that point, they note, Congress provided a highly reticulated system for requiring payment from prisoners in civil cases, which includes partial prepayment. Because § 1915(a)(1) includes no such language, they claim that Congress made a structural decision not to allow partial prepayment for cases not covered by the PLRA. But that observation turns into the wind rather than with it. Both the claimants and the government think the PLRA does not apply here. So when Congress clearly took away judicial discretion over the subset of cases covered by the PLRA, it left unscathed the broad discretionary language that still applies to other cases.
They next point to language in the Criminal Justice Act, which allows courts to make a person who receives appointed counsel under that Act liable for "partial payment for [court-appointed] representation" if he "is financially able." 18 U.S.C. § 3006A(c). No doubt, Congress could have used that language-"partial payment"-to clarify the pauper statute, but we don't think the difference between that language and this language makes the dent the parties think it does. Far more persuasive, we think, to focus on similarities in language between direct relatives (
Last of all, they argue that an all-in-or-all-out system would be more administrable by giving courts fewer options than a partial prepayment alternative.
But see, e.g.
,
In re Epps
,
That's the hard part. Resolution of the merits of each motion is relatively easy. After examining each claimant's financial status, the district courts determined the appropriate partial prepayment. Before us, the claimants must provide "the district court's statement of reasons for its action" with their motions. Fed. R. App. P. 24(a)(5). We give some deference to the district court's determinations about each claimant's ability to pay.
See
Flippin v. Coburn
,
III.
The district courts resolved this filing-fee question under § 1915(a)(1) rather than one of the amendments in the PLRA, now codified at § 1915(b) and (g). In their briefs before us, the claimants and the *521 United States agree that the PLRA does not apply to habeas petitions filed under § 2241, and all five district courts in these cases said or assumed that the PLRA does not apply. That turns out to be a more complicated question than first meets the eye, and the amicus curiae has offered a thoughtful argument, one to our knowledge not made within our circuit before, that the PLRA covers this filing-fee question. While we need not resolve the point today, it is worth setting forth the argument, as it may be useful to future litigants or courts.
The PLRA's mandatory fee-payment scheme applies "if a prisoner brings a civil action or files an appeal in forma pauperis." § 1915(b)(1). As the
amicus curiae
sees it, the text and context of this language establish that the PLRA applies to all appeals of habeas petitions, whether filed under § 2241 or for that matter
Context, too, offers support for this reading. In several places throughout § 1915, Congress used more specific language to refer to subsets of appeals. Two subsections, § 1915(a)(2) and (g), apply only when a prisoner "bring[s] a civil action or appeal[s] a judgment in a civil action." Section 1915(b)(3) applies to "a civil action or an appeal of a civil action or criminal judgment," and § 1915(b)(4) covers "bringing a civil action or appealing a civil or criminal judgment." Congress's use of modifiers to limit the kinds of appeals to which these subsections apply may suggest that it meant § 1915(b)(1) to cover all appeals.
We recognize that each circuit to address the issue has said that the PLRA does not apply to habeas appeals.
See
Reyes v. Keane
,
But many of those courts, including ours, do not account for the "or files an appeal" language in § 1915(b)(1).
See, e.g.
,
Kincade
,
Some of these prior decisions rely on context as support for this interpretation. See, e.g. , Simmonds , 111 F.3d at 744. If the PLRA applies, they note, courts determine the appropriate initial and monthly filing fees based on the balance of the prisoner's trust fund account. § 1915(b)(1), (2). But § 1915(a)(2) requires prisoners to provide the court a copy of their trust fund account statements only when filing a civil action or a civil appeal. It doesn't make sense, this argument continues, to require only civil-prisoner appellants to file account statements when courts will need to know information about the accounts for all prisoners' pauper appeals. See Simmonds , 111 F.3d at 744. All true and all helpful to that position. But does the point suffice to counter the text, especially since § 1915(a)(2) refers to civil appeals by name and § 1915(b)(1) does not?
Also driving the prevailing approach seems to be a concern about the impact of the PLRA's three-strikes rule on habeas petitions. The PLRA prevents a prisoner from bringing a civil action or a civil appeal as a pauper if he has, while imprisoned, previously brought three actions or appeals that courts dismissed as "frivolous, malicious, or [for] fail[ure] to state a claim."
Reading "appeal" to mean all appeals also raises a concern about the possibility that indigent criminal defendants may not be able to pay the PLRA's fees. But two statutory provisions seem to go a long way in alleviating that fear. The PLRA itself says that a prisoner won't be "prohibited from bringing a civil action or appealing a civil or criminal judgment for the reason that the prisoner has no assets and no means by which to pay the initial partial filing fee." § 1915(b)(4). On top of that, the Criminal Justice Act carves out an exception to the PLRA for people who are appointed counsel under the Criminal Justice Act: They "may" appeal "without prepayment of fees and costs or security therefor." 18 U.S.C. § 3006A(d)(7). So it is, generally speaking, that criminal defendants who can't afford to pay for counsel or to pay the fee won't have to.
In
Kincade
, it is true, our court held that the PLRA does "not apply to cases or appeals brought under" §§ 2254 and 2255.
On top of that,
Kincade
does not clearly tie anyone's hands when it comes to § 2241 appeals.
See
Walker
,
All of this must await another day and another case, one in which the parties squarely present the arguments below. For now, we accept and agree with each district court's approach to the case.
For these reasons, we deny the requests of the petitioners to lower their filing fees and thus require them to pay the respective fees ordered by each district court within 28 days of this decision.
Reference
- Full Case Name
- David SAMARRIPA (17-6048/6260); Stephon Mason (17-6166); Jose Adrian Hernandez (17-6213); Arnulfo Torres Perez (17-6299); Timmie D. Cole, SR. (17-6333), Petitioners-Appellants, v. J. Ray ORMOND, Warden, Respondent-Appellee.
- Cited By
- 25 cases
- Status
- Published