Document: 454 U.S. 312 102 S.Ct. 445 70 L.Ed.2d 509 POLK COUNTY et al., Petitionersv.Russell Richard DODSON. No. 80-824. Argued Oct. 13, 1981. Decided Dec. 14, Syllabus Respondent brought suit in Federal District Court under 42 U.S.C. § 1983 against petitioners Polk County, its Offender Advocate, Board of Supervisors, and Martha Shepard, an attorney the Advocate's Office. As factual basis for his lawsuit, respondent alleged that who had been assigned to represent him appeal a criminal conviction Iowa Supreme Court, failed adequately since she moved permission withdraw as counsel on ground respondent's claims were legally frivolous. The granted Shepard's motion dismissed appeal. In actions violated certain constitutional rights. To establish Shepard acted "under color state law," jurisdictional requisite action, relied her employment by county. all petitioners, but Appeals reversed. Held: 1. A public defender does not act law" when performing lawyer's traditional functions indigent defendant proceeding. Because it was based such activities, complaint must be dismissed. Pp. 317-325. (a) From moment assignment respondent, their relationship became identical existing between any other lawyer client, except source payment. legal system posits defense best serves public, acting State's behalf or concert with it, rather advancing undivided interests client. This is essentially private function which office authority are needed. 317-319. (b) Cases this assumed state-employed doctors serving supervisory capacities at institutions could held liable controlling. O'Connor v. Donaldson, 422 563, 95 2486, 45 396, Estelle Gamble, 429 97, 97 285, 50 251, distinguished. 319-320. (c) Although State relevant factor, insufficient acts law within meaning 1983. amenable administrative direction same sense employees. And equally important, obligation respect professional independence defenders whom engages. 320-322. (d) It ethical lawyer—whether privately retained publicly appointed—not clog courts frivolous motions appeals. has no legitimate prosecute behalf. 322-324. 2. unconstitutional action Supervisors. extent rest respondeat superior theory liability, they fail present claim tort actionable described bald allegations injured while pursuant rules procedures county "retains maintains, advocates out school" have numerous occasions from appeals convictions. allege policy arguably caused violation rights Sixth, Eighth, Fourteenth Amendments. An official withdrawal cases would violate Constitution. 325-327. 628 F.2d 1104, Norman G. Jesse, Des Moines, Iowa, petitioners. John D. Hudson, respondent. Edwin S. Kneedler, Washington, C., United States amicus curiae, special leave Court. Justice POWELL delivered opinion 1 question case whether representing 2 * arose Russell Dodson filed pro se Southern Iowa. federal court lawsuit County Office, Court.1 3 full-time employee county, robbery. After inquiring into case, however, Dodson's wholly frivolous.2 accompanied affidavit explaining conclusion. She also memorandum summarizing supporting arguments. On November 9, 1979, 4 actions, especially withdraw, deprived right counsel, subjected cruel unusual punishment, denied due process law.3 He sought injunctive relief well damages amount $175,000. sued Advocate Supervisors established bound follow handling 5 defendants. 483 F.Supp. 347 (1979). occurred law. Canvassing leading authorities, reasoned owes duty loyalty therefore agent State. theory. personal involvement 6 Eighth Circuit 1104 (1980). Like owed client responsibility attorney. view, "dispositive point" Advocates "employees County," "merely creature State." Whether received instructions officials "beside point." "Public receive power because selected clients, employed class likely little choice selecting will defend them." Id., 1106. holding did issue, recognized decision conflicted holdings number Courts Appeals. Reasoning should liberally construed, ordered reinstatement left development addition, given opportunity remand greater specificity. Finally, rejected argument enjoy immunity provided judges prosecutors. defendants entitled "good faith," "absolute," immunity. 7 One member panel dissent. dissent argued person only exercising powers created reasoned, wrongs made possible defender. essence asserted ordinary malpractice claim, maintainable appointed counsel. absolute suit. 8 We certiorari resolve division among over providing representation client.4 450 963, 101 1478, 67 612 (1981). now reverse. II 9 Classic, 313 299, 326, 61 1031, 1043, 85 L.Ed. 1368 (1941), "possessed virtue wrongdoer clothed law."5 conviction. entailed obligations way dependent authority. appointment, lawyer, Except payment, "Once undertaken accused, duties retained, appointed, aid program." ABA Standards Criminal 4-3.9 (2d ed. 1980).6 10 Within context our system, those counselor advocate. often said lawyers "officers court." But agreed not, being officer court, actor 1983.7 characteristically opposes designated representatives assumes adversarial testing ultimately advance interest truth fairness. "the client."8 function, traditionally filled needed.9 III 11 argues defender's State, than determine he take different view. A. 12 arguing establishes law, relies heavily two physicians, whose relationships patients depended authority, See 396 (1975); 251 (1976). These cases, argues, analytically one. physicians Estelle, paid Further, like institutionalized convict unable choose render services. factors, argued, defenders—like hospitals—act 13 view distinguishable case. involved psychiatrist served superintendent mental hospital. physician patients, capacity custodian administrator. Unlike administrator hospital "undivided loyalty" patients. contrary, protect wards. Similarly, medical director Texas Department Corrections chief prison saw custodial capacity. 14 functions, faced employer very posture Institutional assume mission through institution, attempts achieve. With different. dissenting Appeals, enter "not guilty" pleas, move suppress evidence, object evidence trial, cross-examine witnesses, make closing arguments defendants.10 All these functions. find peculiarly difficult detect activities. B 15 Despite clients argues—and concluded—that status differs materially lawyers. subject supervision persons unrelated clients. certainly we 16 First, employees Administrative legislative decisions undoubtedly influence work. may quality library size caseload. nature cannot be, servant superior. Held standards competence integrity see Moore States, 432 730 (CA3 1970), works canons mandate exercise independent judgment "A shall permit recommends, employs, pays services another direct regulate rendering services." DR 5-107(B), Code Professional Responsibility (1976).11 17 Second, engages.12 Court's Gideon Wainwright, 372 335, 83 792, 799 (1963), " 'guiding hand every step proceedings [them].' 345, S.Ct., 797, quoting Powell Alabama, 287 45, 69, 53 55, 64, 77 158 (1932). Implicit concept "guiding hand" assumption free control. There can fair trial unless accused receives effective See, e. g., supra; Holloway Arkansas, 435 475, 98 1173, 55 426 (1978). At least absence pleading proof having satisfy attempted control manner inconsistent principles rests.13 C 18 urges Whatever obligations, do extend tendered attorneys. support notes client's wishes. suffered prejudice act. insists taken 19 borne refuse error. claiming divided loyalties, confuses judicial allegiance adversary prosecution. colorable defenses, ethics impose limits permissible advocacy. appeals.14 refused so. 20 matter empirical fact, true invoked disproportionate frequency involving prisoners. recent burgeoning postconviction remedies unprecedented strains, including increased demands assistance.15 responded authorizing provision Constitution requires. Its contemplates extension assistance various tiers review, incorporating general limitation cases.16 21 making viewed prisoners hostile actors. think there justification if indeed widely held.17 IV 22 concluding proceeding, suggest never role. Branti Finkel, 507, 100 1287, 63 574 (1980), example, found so hiring firing be—although case—that possibly investigative Cf. Imbler Pachtman, 424 409, 430-431, n. 33, 96 984, 995-996, 47 128 course intimate views liability appropriate Ferri Ackerman, 444 193, 198, 402, 406, 62 355 (1979).18 decide proceeding.19 V 23 Section liability. Monell New York City Dept. Social Services, 436 658, 694, 2018, 2037, 56 611 basis, claim. 24 apparently read susceptible construction. allegation "rules . appeals" employers responsible actions. F.2d, 1108. noted 25 either describes conclude not. supra, moving force violation" order government body 2037. Rizzo Goode, 423 362, 370-377, 598, 603-607, 46 561 (1976) (general negligence fails cognizable 1983). assert assistant grounds frivolity. Anders California, 386 738, 87 1396, 493 (1967). existence impermissible withdrawals might occurred. further personally Sixth Amendment Again, deprivation constitutionally forbidden rule procedure. 26 When even light sympathetic requirements applicable Haines Kerner, 404 519, 92 594, 30 652 (1972) (per curiam ), believe Accordingly, them VI 27 For reasons stated opinion, 28 Reversed. Chief BURGER concurring: 29 I join important emphasize governmental participation limited. Under 82 Argersinger Hamlin, 407 25, 2006, 32 530 (1972), undertakes provide professionally qualified advocate government. how task performed crucial. advocate, issued commission practice, repudiate external effort carried out. defined codes, entity advocate's compensation derived. Disciplinary Rule 5-107(B) Responsibility* succinctly states rule: "(B) Moreover, elementary eschew considered improper irresponsible. Once reached merits put forward, consistent highest traditions Bar. 31 BLACKMUN, dissenting. perhaps particularly circumspect finds himself solitary Alexander (Commissioner) "Americans United" Inc., 416 752, 763, 94 2053, 2059, 40 518 (1974) (dissenting opinion). careful reflection, am convinced my position valid one, set forth opposition employee, working fully funded extensively regulated fulfill obligation, violates person's rights, consistently of" reach contrary prior rulings charts new territory adopting functional test determining statute, respectfully holds first time today official's "employment relationship" more "relevant factor" 1983Ante, 321. Only last Term, Parratt Taylor, 451 527, 1908, 68 420 (1981), defendant-prison unquestionably satisfied under-color-of-state-law requirement "were, after all, positions considerable authority." 535-536, 1913. Thus began, ended, discussion color-of-law presumptively Flagg Bros., Inc. Brooks, 149, 157, 5, 1729, 1734, 185 definition upon here articulated requires committed challenged "in performance duties" misused ." 325-326, 1042-1043. Screws 325 91, 110, 65 1039, 89 1495 (1945) (plurality Respondent's place squarely both components definition. challenges petitioner responsibilities generally §§ 336A.3, subd. 2, 336A.6 implicitly concedes handle then recognize seek thereby allegedly violating derived selection lawyer. power, possessed employment. defenders, unlike employees, direction—both require sacrificed obligated advocates.1 distinction ignores precedent reality. long authorize, know of, conduct. Adickes H. Kress & Co., 398 144, 152, 90 1598, 1605, 142 (1970); Monroe Pape, 365 167, 81 473, 492 (1961). That instruct irrelevant doing. indistinguishable doctor's deliberate indifference prisoner's needs prohibited Gamble Dr. Gray treating physician. plaintiff substandard care—the issue.2 If determined administrator, want subject-matter jurisdiction, merits. Yet distinguished ground. individual patient just defender, institutional conflict policies practices. fulfilling supply care inmates; similarly, dedicated satisfying say attorney, inmate role doctor. evaporated face professional's obligations. why demonstrated pervasive operations unduly minimizes actually merely county; totally financially fixes staff provides equipment supplies. 336A.5, 336A.9 likewise statutorily empowered "indigency" prescribe attorneys members necessary 336A.4, 336A.5. county's funding office, potential effectively dictates attorney's caseload influences substantially able devote each discretion cases—and ability clients—is circumscribed experienced Robinson Bergstrom, 579 401, 402-403 (CA7 1978) (public delayed five one-half years filing appellate brief "an error regarding caseload," 600 900 per year). appointment staff, 336A.5 gives substantial indigents receive. directed file annual report district serves, Attorney General, setting detail handled during preceding year. 336A.8. suggests some wary antagonizing report, office. 336A.1. surely conform whatever regulations imposes, aimed ensuring effectiveness representation. case,3 guidelines describing factors consider proper treatment appeals.4 (1976), Office necessarily presumption overridden client.5 withdrawing appeal, ruling where performs "a proceeding." Ante, 325. appears concede unspecified advocate—if conduct "nontraditional," pleads proves influenced ante, 325, 19, 322. draw distinctions unconvincing. before others. drew although adopted approach roles, patient. creates artificial avoid pause defendant-public cited line-drawing. Based considerations inapplicable here, 8, infra, prosecutor enjoys decide, prosecutors roles. Not endorse pointed difficulties foresaw implementing test. U.S., 431, 995, 33. immunity—what type affirmative afforded 1983—is completely issue law—a determination goes court's jurisdiction complaint. entertain him. doctrine, common-law considerations, pleaded Even protected indicate contrary; protects scope Imbler, 419, 989, 13. nowhere suggested properly used context. disclaims intent disturb prosecuted counterpart 1983, 242, extorting payment clients' friends relatives, citing Senak, 477 304 (CA7), cert. denied, 414 856, 38 105 (1973), "traditional" attorney.6 Appeals' Senak line-drawing here.7 final loophole, leaves open possibility plead prove What intervention sufficient, supposed facts discovery, specified. essence, exempt injury ineffective disturbing adopt hierarchy purposes extremely implement. envision analysis one results—both, unfortunate. effect dismiss complaints most egregious behavior result pressures Alternatively, attempt diligently implement outcome then, fear, lengthy hearings jurisdiction—the wishes avoid. desire good faith, dissatisfied concern programs—and seeming hostility claims, seeante, 323-324, 17—do justify today. transform violation. 105-106, 291-292. Presumably, 1983.8 always seen fit rely available dismissing meritless officials. Butz Economou, 438 478, 507-508, 2894, 2911-2912, 57 895 (1978); cf. 200, 17, 407, here. affirm According findings Court: "The creation salaried several full County." 347, 349, handles about 2,500 104 Rules Appellate Procedure, pertinent part: "(a) convicted supreme conscientious investigation transcript cannot, conscience, proceed writing withdraw. referring anything record appeal." advise intention days notify still communicate express proceed, review points raised. frivolous, "it grant counsel's submission afford App.Proc. 104(f ). procedure similar prescribed pendent breach oral promise Seventh Circuits 405-408 absolutely immune 1983); (1980) (case below). Fifth Tenth Slavin Curry, 1256, 1265 (CA5), modified grounds, 583 779 Espinoza Rogers, 470 1174, 1175 (CA10 1972). Third Ninth supported latter dicta, Brown Joseph, 463 1046, 1048 1972), 412 950, 93 3015, 37 1003 (1973); Miller Barilla, 549 648, 650 (CA9 1977). petition presented question. asked us judges, Bradley Fisher, Wall. 646 (1872), prosecutors, hold defendant, need issue. reiterated subsequent cases. (1945); Burger, Counsel Prosecution Defense—Their Roles Minimum Standards, Am.Crim.L.Q. (1969). accepted virtually 1175; 1048. Skolnick Martin, 317 855 1963); Dotlich Kane, 497 390 (CA8 1974). defendant. Page Sharpe, 487 567, 570 (CA1 1973); Hall Quillen, 631 1154, 1156 (CA4 1980); Mulligan Schlachter, 389 231, 233 (CA6 1968); French Corrigan, 1211, 1214 401 915, 91 890, 814 (1971); Barnes Dorsey, 480 1057, 1061 1973). 204, (1979): "[T]he primary parallels statutory authorization furtherance insuring defendants, large, way. His principal serve Indeed, indispensable element independently Government oppose litigation." licensed "they lawyers." re Griffiths, 413 717, 729, 2851, 2858, 910 (1973). 1110. verbatim Lawyers, printed 526 "mandatory character," "subject disciplinary action" courts. 477. Sanchez Murphy, 385 1362, 1365 (Nev.1974) ("The attorney-client deputy [public defender] 'his own man' irrespective advice realistic sense, fulfillment responsibilities, is, himself, officer"). Relying Burton Wilmington Parking Authority, 715, (1961), Moose Lodge 107 Irvis, 163, 1965, 627 defenses makes "joint participant" enterprise, locked "symbiotic defenders. "state present. defender—who concededly county—acted Dodson. sometimes treated questions identical, Price, 383 787, 794, 7, 86 1152, 1157, 267 (1966), Our inquiry persuades that, post, 328, obligation." description question, immaterial. difference respect, contends, basic State; adversary. Justice, Commentary 1980) ("No part paid, steps dilatory unfounded according informed judgment. unprofessional conduct"); Standing Committee Ethics Responsibility, Informal Opinion 955, Obligation Take Appeal, reprinted Opinions 955-956 (1975) (like court-appointed "ethically, appeals"). Nickols Gagnon, 467, 472 1971). (noting pressure "engage tactics"). Code, Ch. 336A statute "prosecute considers justice." 336A.6. wholehearted confidence improved creating disincentive precisely effect. addition prisoner retains initiate habeas corpus proceedings. innocent wrongly incarcerated malicious normally form relief. relatives Of Canon (1976): Lawyer Should Exercise Independent Judgment Behalf Client." Ethical Consideration 5-1 explains Canon: exercised, bounds solely benefit compromising loyalties. Neither interests, nor desires third permitted dilute client." Function, 3, Defense 1980). says concludes "essentially needed." 319. fact parallel sector, deterred former meant proscribe though included statute's scope. (1976); Griffin Maryland, 378 130, 135, 84 1770, 1772-1773, 754 (1964) ("If purports action. purely ."). Amendment, requirements. infra. (1975), hospital, public; clearly showed hospitalized dangerousness id., 567-568, 574, 2489-2490, 2493, 9. doctrine superior, agree "established layed [sic ] rules" "authorize[d] [petitioner Shepard] [the] App. 5. "process" represented indigents. point particular policy, "however inartfully pleaded, sufficient call offer evidence." 520, 595, (1972). substantiate complaint, course, summary distinguishes attorneys, officials, caseloads representations, depend fee, real day-to-day involvement. precedents persuasive discussions Amendment. intimation, 322, 12, doctrines incorporate (1966). analyzed concepts separately, done suits (1978), observed: "Of official, elements merge. 'The plainly essential show petitioner's [officer] officially authorized, lawful.' (1970) (citations omitted)." (Ellipses original.) discerning party helpful analogy. "constitute[s] physically integral and, indeed, plan," 723-724, 860-861, symbiotic one: gainfully employed. ensure personnel, funding, enforcing strict competence. "has itself [representation], elected property prestige behind [the action]. far insinuated interdependence attorney] joint participant activity. 725, 862. forced somewhat civil prosecution 242 willful 429, 994, provisions requirement. 1606, 7. demand "ostensibly attorney's] 'backed state,' "gave doing." 308. "appointment state' "; opportunity" discuss Absolute extended history Pierson Ray, 547, 554-555, 1213, 1217-1218, 288 defenders' jobs conflicting constituencies principled decisionmaking; threat additional incentive competent duties. 203-204, 408-409,

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