Source: http://openjurist.org/88/f3d/181
Timestamp: 2016-02-12 22:59:08
Document Index: 609529389

Matched Legal Cases: ['§ 1915', '§ 1915', '§ 1915', '§ 1915', '§ 1915', '§ 1915', '§ 1915', '§ 1915', '§ 1917', '§ 1913', '§ 1915', '§ 1915', '§ 1915', '§ 1915', '§ 1915', '§ 1917']

88 F3d 181 Leonard v. J Lacy | OpenJurist
88 F. 3d 181 - Leonard v. J Lacy HomeFederal Reporter, Third Series 88 F.3d
88 F3d 181 Leonard v. J Lacy 88 F.3d 181
65 USLW 2124
Leslie Thomas LEONARD, Plaintiff-Appellant,v.Peter J. LACY, Superintendent, Bare Hill Facility, andMyaddow, Correctional Officer, Defendants-Appellees.
Docket No. 96-2393.
Submitted July 3, 1996.Decided July 10, 1996.
This motion by a state prisoner for leave to appeal in forma pauperis obliges this Court to consider the application of the fee requirements of the Prison Litigation Reform Act of 1995 ("PLRA"). We conclude that an appellate court must take steps to assure compliance with the fee requirements of the PLRA before making any assessment of whether an appeal should be dismissed as frivolous, pursuant to 28 U.S.C. § 1915(e)(2)(B)(i). We also conclude that a procedure must be established to assure the prompt and efficient compliance with the PLRA. We outline in this opinion the procedure this Court will use when prisoners seek to appeal from a judgment in a civil action without prepayment of fees. Since Leonard has not had an opportunity to submit the authorization we now require, we will dismiss the appeal in 30 days unless within that time he files such authorization.
Prior to the enactment of the PLRA, this Court responded to applications for leave to appeal in forma pauperis under subsection 1915(a) by making a threshold assessment of the merits of the appeal in order to determine whether the appeal surmounted the standard of frivolousness set forth in former subsection 1915(d) (renumbered subsection 1915(e) by the PLRA). Upon a determination that an appeal was frivolous within the meaning of former subsection 1915(d), see Neitzke v. Williams, 490 U.S. 319, 109 S.Ct. 1827, 104 L.Ed.2d 338 (1989), we dismissed the appeal. Generally, we denied the motion for i.f.p. status when we dismissed the appeal. On occasion, we first granted the motion for i.f.p. status upon determining that the appellant's lack of financial resources qualified him for i.f.p. status, then made the threshold assessment of the merits, and, upon concluding that the appeal was frivolous, dismissed it. See, e.g., Hidalgo-Disla v. INS, 52 F.3d 444 (2d Cir.1995).
On April 26, 1996, the President signed the Omnibus Consolidated Rescissions and Appropriations Act of 1996, Pub.L. 104-134, 110 Stat. 1321 (1996), Title VIII of which is the Prison Litigation Reform Act of 1995. Section 804 of the PLRA makes a series of amendments to 28 U.S.C. § 1915, the provision of the Judicial Code governing in forma pauperis status. Since the new language affects not only Leonard's pending motion but also numerous other motions now pending in this Court or likely to be filed, we set forth in full those provisions of section 1915 that the PLRA amends, lining out those words deleted from the prior version and italicizing new matter:
[ADDED: (a)(1) Subject to subsection (b), any] 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 [DELETED: and costs] or security therefor, by a person who [DELETED: makes affidavit] [ADDED: submits an affidavit that includes a statement of all assets such prisoner [sic ] possesses] [and] that [DELETED: he] [ADDED: the person] is unable to pay [DELETED: such costs] [ADDED: such fees] or give security therefor. Such affidavit shall state the nature of the action, defense or appeal and affiant's belief that [DELETED: he] [ADDED: the person] is entitled to redress.
[ADDED: (b)(1) Notwithstanding subsection (a), if a prisoner brings a civil action or files an appeal in forma pauperis, the prisoner shall be required to pay the full amount of a filing fee. The court shall assess and, when funds exist, collect, as a partial payment of any court fees required by law, an initial partial filing fee of 20 percent of the greater of--
(c) Upon the filing of an affidavit in accordance with][DELETED: subsection (a) of this section] [ADDED: subsections (a) and (b) and the prepayment of any partial filing fee as may be required under subsection (b)] .... [balance of former subsection (b) is unchanged].
[ADDED: (e)(1) The court may request an attorney to represent any person unable to afford counsel.]
Before the PLRA, section 1915 required all litigants seeking to proceed in a trial court or on appeal without prepayment of fees to file an affidavit of poverty. The PLRA amends section 1915 by imposing additional requirements on prisoners seeking to avoid prepayment of fees in civil actions and in appeals in civil actions. The prisoner must pay the full amount of filing fees by subjecting the prisoner's "trust fund account ... (or institutional equivalent)," 28 U.S.C. § 1915(a)(2) (hereinafter "prison account"), to periodic partial payments. The initial payment is 20 percent of (a) the average monthly deposits in the account for the past six months, or (b) the average monthly balance in the account for the past six months, whichever is greater, id. § 1915(b)(1), unless the prisoner has no assets, id. § 1915(b)(4). Subsequent payments are 20 percent of the preceding month's income,1 in any month in which the account exceeds $10, until the filing fees are paid. Id. § 1915(b)(2).
A basic issue arising under the PLRA is whether a prisoner filing an appeal becomes liable for appellate filing fees before or after his motion for leave to appeal in forma pauperis has been adjudicated. The language of subsection 1915(b)(1) could be read to mean that fee liability attaches only after i.f.p. status has been granted. The requirement of payment of the full amount of a filing fee is imposed "if a prisoner brings a civil action or files an appeal in forma pauperis." 28 U.S.C. § 1915(b)(1) (emphasis added). This wording is slightly different from subsection 1915(a)(2), which imposes the requirement of filing an affidavit of poverty and a certified copy of the trust fund account for the prior six months upon "[a] prisoner seeking to bring a civil action or appeal a judgment in a civil action or proceeding without prepayment of fees or security therefor." Id. § 1915(a)(2). Subsection 1915(a)(2) plainly applies to a prisoner approaching a court and "seeking" to proceed i.f.p. Arguably, subsection 1915(b)(1) applies only to a prisoner who already has i.f.p. status, i.e., a prisoner who has been granted such status in the district court with respect to his complaint and has been continued in such status for purposes of his appeal,2 or who has been granted such status by this Court.
Nor is there any unfairness in imposing the fee obligation, subject to installment payments, upon all prisoners. Every fee-paying litigant who files a lawsuit or takes an appeal accepts the risk that the complaint or appeal may be determined to be frivolous, in which event the complaint or appeal will be dismissed and the filing fee will be lost. See Pillay v. INS, 45 F.3d 14, 17 (2d Cir.1995). There is nothing unfair about obliging prisoners to accept that same risk, and there is every reason to believe Congress expected precisely that result.
The filing of an appeal requires the payment of two different fees, a $5 fee, usually referred to as a "filing fee," and a $100 fee, usually referred to as a "docketing fee." The $5 fee is required by 28 U.S.C. § 1917 "[u]pon the filing of any separate or joint notice of appeal," although that provision does not label the fee as a "filing fee." The $100 "docketing fee" is required by resolution of the Judicial Conference of the United States, see Report of the Proceedings of the Judicial Conference of the United States 12 (March 17, 1987) (hereinafter "Judicial Conference Report"), acting pursuant to its authority to determine "[t]he fees and costs to be charged and collected in each court of appeals." 28 U.S.C. § 1913.
Though it is arguable that, with respect to appeals, the PLRA payment obligations apply only to the $5 fee, we believe that the Act must be applied to both the $5 fee and the $100 docketing fee. First, the PLRA creates an obligation to pay "any court fees required by law," 28 U.S.C. § 1915(b)(1) (emphasis added), and further provides that "[i]n no event shall the filing fee collected exceed the amount of fees permitted by statute for the commencement of a civil action or an appeal ...," id. § 1915(b)(3) (emphasis added). Both the $5 and the $100 fees are required for the "commencement" of an appeal. Second, the $100 fee is entirely independent of any particular fees that might be assessed in the course of an appeal, such as fees for the copying of court documents. Finally, it is not likely that Congress would have applied the PLRA to appeals in the expectation of creating some deterrent effect against frivolous appeals if the Act applied only to the $5 fee. Nor would Congress likely have imposed administrative burdens on appellate courts and prisons only for such a nominal amount. We will apply the PLRA payment obligations to both the $5 fee and the $100 fee.
The PLRA purports to implement the fee obligations by imposing three distinct requirements. The prisoner must submit a certified copy of the prisoner's trust fund account statement for the prior six months. 28 U.S.C. § 1915(a)(2). The court "shall assess and, when funds exist, collect," the initial partial filing fee. Id. § 1915(b)(1). Each month thereafter, the agency having custody of the prisoner "shall forward payments from the prisoner's account to the clerk of the court" in the amount of 20 percent of the preceding month's income credited to the prisoner's account "each time the amount in the account exceeds $10 until the filing fees are paid." Id. § 1915(b)(2).
Though subsection 1915(a)(2) imposes on the prisoner the requirement to submit a certified copy of his trust fund account statement and subsection 1915(b)(1) imposes on the court the requirement to collect the initial filing fee payment, we believe that a court is entitled to satisfy these requirements by obliging the prisoner to submit an authorization for both tasks to be performed by the prison. Our Clerk's Office can then send a copy of the prisoner's authorization to the prison, thereby precipitating receipt of the certified copy of the trust fund account statement and the initial partial filing fee payment, as well as the subsequent payments that subsection 1915(b)(2) requires the prison to remit from the prisoner's account. The authorization procedure satisfies the statutory requirements that the prisoner cause the certified statement to be furnished and that the court cause the initial partial payment to be collected. This procedure can be expected to minimize disputes between the prisoner and Clerk's Office personnel. The prisoner will remain responsible for furnishing to this Court the affidavit of poverty, required by subsection 1915(a)(1).
1. This Court will require every prisoner seeking to appeal a judgment in a civil action without prepayment of fees to file with this Court, in addition to an affidavit of poverty, required by subsection 1915(a)(1), a signed statement authorizing the agency holding the prisoner in custody (a) to furnish to this Court a certified copy of the prisoner's prison account statement for the preceding six months, as required by subsection 1915(a)(2), and (b) to calculate and disburse funds from the prison account, as required by subsection 1915(b), including the initial partial filing fee payment and the subsequent monthly payments.3
Subsection 1915(b)(2) uses the word "income" as the base on which the subsequent 20 percent payments are to be calculated, although subsection 1915(b)(1)(A) uses the word "deposits" as the base on which the initial 20 percent payment is to be calculated (if greater than the average monthly balance). We need not decide at this point whether different meanings were intended
If a litigant is granted i.f.p. status in a district court, and if that status is not revoked in the district court, the litigant, upon filing a notice of appeal, continues on appeal in i.f.p. status. Fed.R.App.P. 24(a)
Fees are paid to the clerk of a district court for commencing an appeal. Fed.R.App.P. 3(e) (requiring $5 filing fee pursuant to 28 U.S.C. § 1917 and $100 docketing fee pursuant to the Judicial Conference Report). Fees are paid to the clerk of a court of appeals for commencing a petition for review of an agency decision, Fed.R.App.P. 15(e) (requiring $100 docketing fee pursuant to the Judicial Conference Report), or for commencing an application for an extraordinary writ, Fed.R.App.P. 21(a) (same)