Appellant Nancy Bradshaw, acting in propria persona, filed this sex discrimination action in early 1975, alleging that she was unlawfully denied employment by the Zoological Society in 1969 and again in 1971.
In April of 1975, the district court granted summary judgment to the Zoological Society, finding Bradshaw's claims under both Title VII and section 1983 to be time-barred. Bradshaw appealed. Nearly three years later, a panel of this court reversed both determinations, and remanded the case for further proceedings. Bradshaw v. Zoological Society of San Diego, 569 F.2d 1066 (9th Cir. 1978).
Proceedings in the district court resumed with the filing of an answer to the complaint in April of 1978. Shortly thereafter, Bradshaw filed a motion for appointment of counsel pursuant to 42 U.S.C. section 2000e-5(f)(1)(B),
Bradshaw filed a motion for reconsideration of the order denying her request for appointed counsel, supported by a supplemental affidavit, and also sought leave to amend her complaint to plead a class action.
I. JURISDICTION
We are confronted at the outset by three issues relating to our jurisdiction over this appeal. Appellee contends that the order denying leave to amend the complaint to plead a class action is not appealable because not final within the meaning of section 1291 and challenges the appeal of the order denying appointment of counsel on the ground that it was taken from an unappealable order denying reconsideration of the district court's earlier denial of her original motion. We also address a third issue, whether an order denying appointment of counsel is appealable under section 1291.
Each of these jurisdictional issues requires reference to the final judgment rule embodied in 28 U.S.C. section 1291, which vests in the courts of appeal "jurisdiction of appeals from all final decisions of the district courts ...." In its general application, this statutory language has been read to restrict appellate jurisdiction to situations where the order of the district court "ends the litigation on the merits and leaves nothing for the court to do but execute the judgment." Catlin v. United States, 324 U.S. 229, 233, 65 S.Ct. 631, 633, 89 L.Ed. 911 (1945). However, the Supreme Court has recognized that some orders by their nature require review at an earlier stage if they are to be effectively reviewed at all. In such cases the Court has said that section 1291 must be given a "practical rather than a technical construction," Cohen v. Beneficial Industrial Loan Corp., 337 U.S. 541, 546, 69 S.Ct. 1221, 1225, 93 L.Ed. 1528 (1949), because "a rigid insistence on technical finality would sometimes conflict with the purposes of the statute." Coopers & Lybrand v. Livesay, 437 U.S. 463, 471, 98 S.Ct. 2454, 2459, 57 L.Ed.2d 312 (1978).
The Cohen collateral order doctrine allows appeals from orders that can be said to fall within
337 U.S. at 546, 69 S.Ct. at 1225. This general standard, recently reaffirmed by the Supreme Court,
A. Denial of Leave to Amend
The order of the district court denying Bradshaw leave to amend her complaint is not appealable. Such orders, as a class, contemplate further proceedings in the district court, and this court has previously held that review is available after the final judgment, into which they merge. Sackett & Kvan, Inc. v. Beaman, 399 F.2d 884, 889 n.6 (9th Cir. 1968). The opportunity to amend, if erroneously denied, may be effectively protected after final judgment on the merits.
In addition to the later availability of effective review, such orders also fail to qualify under Cohen as "a final disposition of a claimed right." 337 U.S. at 546, 69 S.Ct. at 1225. Rather, by the terms of Fed.R.Civ.P. 15(a), an order denying leave to amend is inherently tentative, or, in the words of Cohen, "subject to reconsideration from time to time."
B. Order Denying Motion for Reconsideration
There is some confusion concerning from which orders Bradshaw is now appealing. The Zoological Society suggests that Bradshaw must be appealing from the order of September 13, which denied, in the Society's view, a motion for reconsideration of Bradshaw's earlier motions. The Society argues that no appeal may be taken from a denial of a motion for reconsideration, and implies that an appeal from the denial of appointment of counsel is time-barred because the October 3 notice of appeal is more than 30 days after the July 13 denial of the motion for appointment of counsel. The notice of appeal itself states that the appeal is from the order of September 13, but further states that Bradshaw is appealing the denials of her motion for appointment of counsel, motion for reconsideration, and motion for leave to amend. Under the circumstances of this case, we conclude that the motion for "reconsideration" was, in effect, a renewal of those motions on the merits and thus the notice of appeal was timely filed.
C. Order Denying Appointment of Counsel
The principal issue before us is whether orders denying appointment of counsel in Title VII suits are appealable under section 1291. We find ourselves in agreement with the circuits that have previously addressed this question. All have held such orders appealable, finding them to fall squarely within the Cohen "collateral order" exception to the final judgment rule.
377 U.S. at 546, 69 S.Ct. at 1225-26.
Few of the cases deciding the question of appealability of a refusal to appoint counsel have considered the issue sufficiently difficult to merit prolonged discussion; most take their lead from the Fifth Circuit's opinion in Caston v. Sears, Roebuck & Co., 556 F.2d 1305 (5th Cir. 1977).
Id. at 1308.
The Supreme Court has, since Caston, restated the Cohen doctrine to require that "`the order ... conclusively determine the disputed question, resolve an important issue completely separate from the merits of the action, and be effectively unreviewable on appeal from a final judgment.'" Firestone Tire & Rubber Co. v. Risjord, 449 U.S. 368, 101 S.Ct. 669, 674, 66 L.Ed.2d 571 (1981) (quoting Coopers & Lybrand v. Livesay, 437 U.S. 463, 468, 98 S.Ct. 2454, 2458, 57 L.Ed.2d 312 (1978)). Our examination of each of these factors leads us to agree with the Third Circuit's recent decision, Ray v. Robinson, 640 F.2d 474, 476-77 (3d Cir.1981), reaffirming the unanimous view that orders denying motions for appointment of counsel are appealable under section 1291.
1. Finality
The first, and perhaps the simplest, requirement derives from the relation between trial and appellate courts. Section 1291 serves to preserve that relation as one of review, not supervision. Thus the decision of the district court on the particular point at issue should be final. This criterion is satisfied here in that the district court has clearly said its last word on the subject of appointment of counsel, in no way indicating that its order was tentative. Indeed, the appeal here is taken from the denial of a motion to reconsider the earlier ruling.
2. Separability
The second criterion under Cohen requires that the court examine the relation between the substance of the order and the merits of the action itself. In Cohen the Court characterized the order as "separable from, and collateral to" the merits. The Court stated that the separability requirement would be satisfied where the order was "too independent of the cause itself to require that appellate consideration be deferred until the whole case is adjudicated." 337 U.S. at 546, 69 S.Ct. at 1226 (emphasis added). The Court said the collateral order exception would not apply to decisions that are "steps" towards final judgment on the merits. One might well simply conclude from the above, as did the Fifth Circuit in Caston: "Obviously, the refusal to appoint an attorney is collateral to the merits of the case." 556 F.2d at 1308. However, in view of the position taken by our dissenting colleague concerning this issue, we analyze the question in more detail than the Fifth Circuit thought necessary.
The basic purpose of the separability requirement is to permit review of important determinations that are truly collateral, i. e., where interlocutory review will not result in unwarranted interference by appellate courts in determinations properly reserved to the district court until completion of the trial, determinations affecting the merits of the cause of action itself. The distinction drawn by this part of Cohen is between orders that are a part of determining the merits of the claim and orders that do not constitute a part of determining "the cause itself." As the Court said in summarizing its opinion, "[w]e hold this order appealable because it is a final disposition of a claimed right which is not an ingredient of the cause of action and does not require consideration with it." 337 U.S. at 546-47, 69 S.Ct. at 1226. We note further Cohen's recognition that in some cases a simplistic, absolutist division may not be possible and that therefore appeals will be permitted even in those cases where the order meets only a relative standard — i. e., "too independent of the cause itself to require that appellate consideration be deferred." Immediately thereafter the Court noted the need for a "practical" rather than "technical" construction of the rule.
In Coopers & Lybrand the Court further explained the separability requirement, in holding orders refusing to certify a class non-appealable under section 1291, in part because appellate courts would be required to become "`enmeshed in the factual and legal issues comprising the plaintiff's cause of action.'" 437 U.S. at 469, 98 S.Ct. at 2458. Determinations regarding class certification involve issues such as typicality, adequacy, and the common question requirements under Fed.R.Civ.P. 23. Exhaustive factual records are frequently required for purposes of such decisions. See C. Wright, A. Miller, & E. Cooper, Federal Practice and Procedure 485 n.45 (1976), cited in Coopers & Lybrand, 437 U.S. at 469 n.12, 98 S.Ct. at 2458 n.12. The same is true with respect to the legal issues involved. Frequently the discovery proceedings and the hearings are extensive. Accordingly, the court concluded that to allow interlocutory appeals in those cases would "enmesh" appellate courts in factual and legal matters intimately related to the substance of "the cause itself" and would result in appellate court determinations that would necessarily affect the later determination of those issues by the trial court.
The argument, to the extent that any exists, over whether orders denying appointment of counsel are "separable from, and collateral to" the merits, or put differently "too independent of the cause itself to require that appellate consideration be deferred," arises out of the application of one of the three basic criteria which must be met when civil rights plaintiffs seek
Our conclusion is supported by Roberts v. United States District Court, 339 U.S. 844, 70 S.Ct. 954, 94 L.Ed. 1326 (1950) (per curiam), where the Supreme Court stated that an order denying leave to proceed in forma pauperis was appealable under section 1291 and Cohen. Id. at 845, 70 S.Ct. at 955.
The orders in this case and in Roberts meet the separability test set forth in Cohen. Neither the appointment of counsel decision, nor the in forma pauperis determination, constitutes a "step toward final disposition of the merits of the case." Cohen, 337 U.S. at 546, 69 S.Ct. at 1225 (emphasis added). Neither requires the court to become "enmeshed in the underlying factual and legal issues." Coopers & Lybrand, 437 U.S. at 469, 98 S.Ct. at 2458. Each simply requires the court to recognize that the underlying claim has some merit. Both involve preliminary procedural determinations about how the trial on the merits will proceed, e. g., with or without counsel, with or without payment of fees. Both involve rights "separate from, and collateral to, rights asserted in the action." The reference to the merits required in both cases is minimal and incidental. Finally, in both cases the decision on appeal from denial of the motions will not in any way affect the district court's determinations on the merits
In the case of motions for appointment of counsel, the nature of the court's role is, if anything, more limited than in the case of motions for leave to proceed in forma pauperis. In the former case, the court need normally look only to a determination by an administrative agency, the EEOC. For practical purposes, that agency's determination is ordinarily conclusive. If the agency has found "reasonable cause," as it did in Miss Bradshaw's case, the claim should normally be deemed meritorious for purposes of appointment of counsel, and the court need make no further inquiry with respect to that subject.
It would require both a disregard for Roberts and a misconception of the nature of the district court's function when civil rights plaintiffs seek appointed counsel, to conclude that a district court order denying counsel is not within the Cohen exception for matters "separate from, and collateral to, rights asserted in the action." It would require a similar disregard and misconception to conclude that review of such an order requires the court of appeals to become "enmeshed" in the underlying factual and legal issues. Where the EEOC has found probable cause, there is no risk of any consideration of the merits by the court of appeals; where probable cause has not been found, any consideration of the merits will be as limited as in cases involving in forma pauperis determinations.
Other orders that have been held appealable under the Cohen exception also require some reference to the merits. In Stack v. Boyle, 342 U.S. 1, 72 S.Ct. 1, 96 L.Ed. 3 (1951), the Court relied on Cohen in holding an order denying a motion for reduction of bail appealable under section 1291. Id. at 6, 72 S.Ct. at 4. Such orders require reference not only to the "nature and circumstances of the offense charged ...," but also to "the weight of the evidence against the
Our conclusion regarding separability also finds strong support in Rincon Band of Mission Indians v. Escondido Mutual Water Co., 459 F.2d 1082 (9th Cir. 1972), in which this court held appealable under section 1291 an order denying a demand by the plaintiffs that the Government provide them with counsel. The court based its conclusion squarely on Cohen. Id. at 1083-84. The basis of the plaintiff's demand was 25 U.S.C. section 175, which provided for representation by the United States of reservation Indians. Holding that the statute was directory only, the court rested its affirmance on the fact that the Government would be forced to take conflicting positions before the court and the Indian Claims Commission. 459 F.2d at 1085. A determination of the Rincon conflict of interest question involved an examination of the factual basis and legal context of the two claims. Yet the court there concluded that the order "did not involve the merits ..." within the meaning of Cohen. Id. at 1083.
For the above reasons, we conclude that, in reviewing orders denying appointment of counsel, courts of appeal do not make determinations that affect the merits of the cause itself and do not become "enmeshed in factual and legal issues comprising the plaintiff's cause of action." To the contrary, they decide a simple matter, too important to be denied review, and wholly "separable from, and collateral to, rights asserted in the action."
3. Effective Review
The last criterion in assessing appealability under Cohen is whether the rights asserted can be adequately protected on appeal from the final judgment. We are unwilling to engage in two untenable assumptions we would be required to make in order to find that "effective review" is available after final judgment on the merits. The first is that civil rights plaintiffs are capable of prosecuting their own cases through trial; the second is that should they somehow succeed in doing so, they will have the determination and capability to perfect and conduct appeals properly and fully after they lose. Both assumptions overlook the congressional judgment to the contrary that led to the enactment of section 2000e-5(f)(1)(B).
As to the first assumption, we agree with the Fifth Circuit's statement in Caston, 556 F.2d at 1308, that "[s]uch an individual likely has little hope of successfully prosecuting his case to a final resolution on the merits." As to the appeal, if any, there is even less hope. We consider it evident that the effectiveness of appellate review will be seriously impaired by the very nature of the order. A civil rights litigant, untrained in the law, may well decide that he is incapable of handling the trial and drop his claim, commence trial but be compelled to abandon his efforts prior to final judgment,
Even if Miss Bradshaw managed to prevail to the extent of establishing liability, there is no reason to believe that she would obtain the full amount of any recovery due, nor that she would obtain an order resulting in the employment she seeks. The liability stage of a Title VII action is complex enough, but the issues involved in formulating the proper remedy strain the ability of many non-specialist practitioners, much less that of a plaintiff without legal training. Should Miss Bradshaw obtain any recovery, she may well not pursue an appeal based on the insufficiency of the amount recovered, and should she obtain a monetary recovery, she may well not appeal even though she may be entitled, under the law, to the job she seeks. Without a thorough understanding of the complex legal issues involved and without the ability to appreciate or analyze the possible errors committed in the trial court, Miss Bradshaw would hardly be in a position properly to evaluate the question whether an appeal should be taken.
There are two aspects to the reviewability question. The concerns above are addressed primarily to the first, that "`crucial collateral claims [will] be lost....'" Firestone, 449 U.S. 368, 101 S.Ct. at 674 (quoting Mathews v. Eldridge, 424 U.S. 319, 331 n.11, 96 S.Ct. 893, 901 n.11, 47 L.Ed.2d 18 (1976)). The Court also noted a second, the need to construe the finality requirement "so as not to cause ... potentially irreparable injuries to be suffered." Id. In Miss Bradshaw's case, a trial without counsel would clearly cause such injury, since Miss Bradshaw would be bound by the inevitable prejudicial errors she would make at her
There is a superficial similarity between the injury that occurs when a civil rights plaintiff is erroneously compelled to proceed through a trial without counsel and the possible prejudice that may or may not occur when other civil litigants are compelled to proceed through a trial in which the other side is represented by an attorney who is acting in disregard of a rule set forth in the Code of Professional Responsibility. In Firestone the Court held that in the latter case an appeal would not lie under section 1291. However, the Court based its decision on the fact that the petitioner in Firestone merely "hint[ed] at `the possibility'" that prejudice might occur at the trial. The Court noted that the petitioner did not give a "single concrete example" of such prejudice. 449 U.S. 368, 101 S.Ct. at 674. The particular order at issue in Firestone posed only a minimal and hypothetical danger of prejudice to the party seeking to appeal.
There is another fundamental difference between Firestone and Miss Bradshaw's
Given the varied range of potential injury presented by denials of motions for disqualification, the Court in Firestone elected to adopt a uniform rule that such orders are non-appealable; the Court indicated that any other approach would soon lead to a case by case determination and would ultimately result in piecemeal litigation in all such cases, thus defeating the avowed purpose of the Court's decision and the final judgment rule. In contrast, the denial of counsel to civil rights litigants creates the same clear threat of irreparable injury in all cases. Civil rights litigants are presumptively incapable of handling complex litigation themselves and of protecting themselves against the serious prejudice that occurs at trials in which their adversaries are represented by the most sophisticated law firms.
We find further support for our conclusion in the unbroken line of cases holding orders granting motions for disqualification of counsel appealable under section 1291.
The burden faced by Miss Bradshaw could be even more clearly insurmountable. Were she required to show prejudice to gain reversal after final judgment,
4. The Final Judgment Rule and Congressional Intent
The finality requirement encompasses a number of specific policies, often lumped under the general perjorative heading of "the policy against piecemeal review." In re Continental Investment Corp., 637 F.2d 1, 6 (1st Cir. 1980). First, "[i]t emphasizes the deference that appellate courts owe to the trial judge ...," Firestone, 101 S.Ct. at 673, or, conversely, confines the courts of appeal to their proper task of reviewing, rather than supervising, the work of the district court. Second, the finality requirement avoids "the obstruction to just claims that would come from permitting the harassment and cost of a succession of separate appeals from the various rulings to which a litigation may give rise ...." Cobbledick v. United States, 309 U.S. 323, 325, 60 S.Ct. 540, 541, 84 L.Ed. 783 (1940). The final concern is with avoiding "the debilitating effect on judicial administration caused by piecemeal appellate disposition of what is, in practical consequence, but a single controversy." Eisen v. Carlisle & Jacquelin, 417 U.S. 156, 170, 94 S.Ct. 2140, 2149, 40 L.Ed.2d 732 (1974).
As to the first concern, we have already discussed the unequivocal nature of the district court's refusal to appoint counsel for Miss Bradshaw. Its decision in this respect was final. Nor is there any cause for concern that our decision will interfere with the future actions of the trial judge, since our determinations in appointment of counsel cases do not in any way affect trial judges' rulings on the merits.
The last concern involves a tension that sometimes exists between allowing immediate review and avoiding delayed resolution of the overall cause of action. There is also a legitimate concern over the potential misallocation of judicial resources. Justice Frankfurter observed of the final judgment rule: "This requirement has the support of considerations generally applicable to good judicial administration. It avoids the mischief of economic waste and of delayed justice." Radio Station WOW, Inc. v. Johnson, 326 U.S. 120, 124, 65 S.Ct. 1475, 1478, 89 L.Ed. 2092 (1945). This consideration, like the others, must be evaluated with respect to the class of orders denying motions for appointment of counsel as a whole.
Where plaintiffs are erroneously denied the assistance of an appointed attorney, the policy of judicial economy is clearly served by permitting an appeal from the order denying plaintiff's motion. The order at issue here provides a clear example. Only by affording Miss Bradshaw counsel now can we assure the expeditious determination of her rights under Title VII, as that statute contemplates, and relieve her, the defendant, and the court, from the need to muddle through a sham of a trial, subsequent appeal, and another trial and appeal following the appointment of counsel.
Where plaintiffs are properly denied appointed counsel, under the standards discussed in part II of this opinion, judicial economy will also generally be served by permitting an appeal. Affirmance of the district court's denial of appointed counsel may well cause such plaintiffs to abandon their case rather than proceed to trial in an obviously hopeless cause. This is particularly true where the court of appeals affirms a determination that plaintiff cannot make even the minimal showing of merit necessary to invoke the provisions of section 2000e-5(f)(1)(B). Following such an affirmance, the pointlessness of proceeding to trial, with or without counsel, should become
Appeals from orders denying appointed counsel in cases where the district court has properly found that the plaintiff is not impecunious or that he has not made a genuine effort to obtain counsel are likely to be few in number. The concerns regarding judicial economy in these cases may be somewhat more closely balanced, but on the whole those interests are best served by permitting such appeals. When plaintiffs face a choice between voluntarily obtaining an attorney, which it is within their power to do, or needlessly delaying the pursuit of the remedy they seek by engaging in dilatory appeals contrary to their own interests, we presume that in most instances they will elect to obtain counsel on their own. Furthermore, a plaintiff who is able to obtain counsel for himself, but is so insistent on obtaining a court appointed attorney that he is willing to sacrifice his interest in an expeditious determination of his claim, may well decide to abandon his claim completely when the court of appeals affirms the order denying him appointed counsel; if the same plaintiff were compelled to proceed through trial without an attorney in order to obtain a decision from the court of appeals regarding his right to appointed counsel, his unreasonable insistence that such is his right might well cause him to do so.
We acknowledge that there may be a small number of cases in which the taking of an appeal will not serve the interests of judicial economy; those cases would not be readily identifiable. More important, we have no doubt that in the overwhelming majority of instances the contrary will be true. Considering the class of orders as a whole, as we must do in order to make any rule governing the type of order here involved effective and efficient, the interests of judicial economy fall squarely on the side of finding such orders appealable.
Another policy underlying the final judgment rule requires comment — the policy that the courts permit litigation to follow its normal course to termination on the merits. It is obvious that this is a purpose that also underlies the statutory provision for appointment of counsel in Title VII cases. Refusing to order appointment of counsel in appropriate cases makes it unlikely that those cases will follow the normal course to trial; should they reach that point, refusing to review the orders until after final judgment would make it unlikely that we would later be reviewing a "normal" trial on the merits. Caston, 556 F.2d at 1308.
We are concerned here not only with civil rights plaintiffs, but with civil rights defendants, and the legitimate interests of those defendants in the expeditious resolution of civil rights litigation, particularly in non-meritorious cases. We are concerned also with the effect on the administration of justice, the orderly processing of litigation generally, and the impact on all those who use our courts. We believe that all of these interests are furthered by the decision we reach here. While in a very few cases judicial resources may be utilized in an uneconomical manner, in the overwhelming majority of instances a substantial amount of judicial time and energy will be saved. In our opinion, concerns of judicial economy and the spectre of denying justice through delay do not compete in the case before us; rather both weigh in favor of finding orders of the type before us appealable. We believe that civil rights litigation will be disposed of more efficiently, economically, quickly, and fairly as a result of the decision we reach today.
Congressional recognition of the importance of the appointment of counsel provision, and of the general need to assure
When Congress reenacted the provision as part of the 1972 amendments to Title VII, it again aroused little controversy; however, the policies underlying the provision were discussed. In reporting the bill that eventually passed both houses, the House Committee noted:
H.Rep. No. 238, 92d Cong., 2d Sess. (1972), reprinted in [1972] U.S.Code Cong. & Ad. News 2137, 2148.
The importance of the provision was also recognized on the Senate floor, where the central controversy — whether the EEOC would be given the authority to issue cease and desist orders — was played out. Senator Dominick offered an amendment to remove the provision for cease and desist authority, but it also inadvertently removed federal employees from the appointment of counsel provision. Senator Javits offered an amendment to correct this oversight; the amendment was agreed to by a voice vote.
Arguments on both sides of the larger controversy over cease and desist authority rested in the main on a shared recognition of the need for the speediest possible resolution of complaints of discrimination.
We would add only that we are here dealing with a technical, but important, limit on the appellate jurisdiction of the federal court system. Courts may become enmeshed in overly literal applications of arcane technicalities, blinding themselves to the very raison d'etre of our laws and judicial
Johnson v. New York, N. H. & H. R. R., 344 U.S. 48, 55-56, 73 S.Ct. 125, 129-30, 97 L.Ed. 77 (1952) (Frankfurter, J., dissenting) (emphasis added).
II. APPOINTMENT OF COUNSEL
The 1964 Civil Rights Act provides for appointment of counsel in employment discrimination cases "in such circumstances as the court may deem just." Three factors have emerged as relevant to the exercise of the district court's discretion under this broad statutory mandate. The court is required to assess: (1) the plaintiff's financial resources, (2) the efforts made by the plaintiff to secure counsel, and (3) whether the plaintiff's claim has merit. Caston, 556 F.2d at 1308-10; see also Luna v. International Ass'n of Machinists & Aerospace Workers, 614 F.2d 529, 531 (5th Cir. 1980).
Normally, the district court's decision will be subject to review only for an abuse of discretion. White v. United States Pipe & Foundry Co., 646 F.2d 203, 205 (5th Cir. 1981); Spanos v. Penn Central Transportation Co., 470 F.2d 806, 808 (3d Cir. 1972) (per curiam). In this case, however, the district court's decision does not represent the reasoned judgment necessary to application of that standard. "[S]uch discretionary choices are not left to a court's `inclination, but to its judgment; and its judgment is to be guided by sound legal principles.'" Albemarle Paper Co. v. Moody, 422 U.S. 405, 416, 95 S.Ct. 2362, 2371, 45 L.Ed.2d 280 (1975) (quoting United
The only reason offered by the district court for denying the motion for appointment of counsel was its suggestion that "if a plaintiff's claim has merit, it would appear that he will easily secure counsel in light of the statutory provision for award of attorney's fees ...." Congress indeed intended the prospect of an award of fees to the prevailing party as a means to "make it easier for a plaintiff of limited means to bring a meritorious suit." 110 Cong.Rec. 12724 (1964) (Remarks of Senator Humphrey). Yet the provision allowing appointment of counsel indicates congressional recognition of the fact that an award of fees may prove an insufficient incentive. The only plausible reason for enactment of the provision was Congress' recognition that some civil rights claimants with meritorious cases would be unable to obtain counsel. The district court's reasoning would render the statutory provision for appointment of counsel nugatory; the provision for appointment of counsel would be wholly unnecessary if all meritorious claims attracted retained counsel. If the district court's rationale were uniformly adopted, there would never be a case in which the congressional provision could be utilized. Thus, the district court's reasoning is directly contradictory to the mandate and purpose of the statutory provision.
The district court's decision, in the same order in which it denied Miss Bradshaw's first motion for appointment of counsel, to allow Miss Bradshaw to proceed in forma pauperis, a fortiori resolved the first issue under Caston in her favor. A lesser showing of indigency is required to satisfy the test for appointment of counsel. See Caston, 556 F.2d at 1309; Petete v. Consolidated Freightways, 313 F.Supp. 1271, 1272 (N.D.Tex.1970).
Miss Bradshaw has also satisfied the second requirement; she has shown more than the requisite degree of diligence in her efforts to secure counsel. Affidavits filed with the district court in support of her motion indicate that she contacted more than ten attorneys, each of whom declined to represent her except upon financial terms that she was unable to meet. All that can be required of plaintiffs under this aspect of the test is that they make what can be considered a reasonably diligent effort under the circumstances to obtain counsel. There may be factors that would justify a lesser effort than that made here,
The final requirement, that the plaintiff's claim be shown to have some merit, is also satisfied in this case. As we noted earlier, the EEOC determination regarding "reasonable cause" should be given appropriate weight in deciding this aspect of the appointment
CONCLUSION
We conclude that orders denying civil rights plaintiffs appointed counsel are final, that they are "too important to be denied review," and that they are "separable from, and collateral to," the cause itself. Cohen, 337 U.S. at 546, 69 S.Ct. at 1226. We also conclude that there is a clear and unacceptable risk that "`crucial collateral claims [will] be lost ...'" Firestone, 449 U.S. 368, 101 S.Ct. at 674 (quoting Mathews v. Eldridge, 424 U.S. at 331 n.11, 96 S.Ct. at 901 n.11), unless the right to appeal from such orders is recognized, and that immediate review is required "so as not to cause ... potentially irreparable injuries to be suffered" in those cases. Firestone, id. We thus hold that orders denying Title VII plaintiffs appointed counsel are immediately appealable under section 1291.
We adopt the three criteria set forth in this opinion, for use by district courts in determining, pursuant to 42 U.S.C. § 2000-5(f)(1)(B), whether counsel should be appointed in particular cases. We hold that Miss Bradshaw has met those criteria.
The decision of the district court is reversed, and the case is remanded for proceedings consistent with this opinion.
WALLACE, Circuit Judge, dissenting:
I would not reach the merits of this appeal because this case is not properly before us. We lack jurisdiction to hear an interlocutory appeal from an order denying appointment of counsel in a Title VII case. Therefore, I respectfully dissent.
We are a court of limited jurisdiction and have no power to reach out beyond our jurisdiction to correct errors. The Supreme Court has recently cautioned that "interlocutory orders are not appealable `on the mere ground that they may be erroneous.'" Firestone Tire & Rubber Co. v. Risjord, 449 U.S. 368 at 378, 101 S.Ct. 669 at 675, 66 L.Ed.2d 571 (1981) (Risjord), quoting Will v. United States, 389 U.S. 90, 98 n.6, 88 S.Ct. 269, 275 n.6, 19 L.Ed.2d 305 (1967). The order from which Bradshaw appeals satisfies neither 28 U.S.C. § 1291, nor the collateral order exception as set forth in Cohen v. Beneficial Indus. Loan Corp., 337 U.S. 541, 69 S.Ct. 1221, 93 L.Ed. 1528 (1949) (Cohen). Therefore, we have no jurisdiction to decide the case.
The Supreme Court has emphasized the strong policy behind the rule that appeals are to be made only following final judgment on the merits.
In Coopers & Lybrand v. Livesay, 437 U.S. 463, 98 S.Ct. 2454, 57 L.Ed.2d 312 (1978) (Coopers & Lybrand), the Court set forth the requirements that an order must meet to be appealable under Cohen: "[T]he order must conclusively determine the disputed question, resolve an important issue completely separate from the merits of the action, and be effectively unreviewable on appeal from a final judgment." Id. at 468, 98 S.Ct. at 2458. This language does not, as the majority implies, alter the Cohen test. These three requirements are merely a different formulation of the Cohen "too important to be denied review and too independent of the cause itself" language quoted by the majority. Ante at 1306. See Cohen, 377 U.S. at 546, 69 S.Ct. at 1226. The majority's quotation from Caston v. Sears, Roebuck & Co., 556 F.2d 1305 (5th Cir. 1977), suggests that the Cohen "too important" language requires courts to determine the significance of the substantive question being appealed. Coopers & Lybrand makes it clear that the "too important" language refers to whether the appellant can obtain review of the question after final judgment. The majority's use of this language from Caston is indicative of the fundamental error of the majority's whole approach. The majority appears to believe that we can accept jurisdiction when we perceive an injustice or when an area of law that we consider important is involved. Our appellate jurisdiction depends neither on the magnitude of the error below, nor on where the particular claim falls in each individual judge's pecking order of significant areas of law.
Nor can I agree with the majority that the nature of Title VII cases, as important as they are, necessarily provides for interlocutory appeal of this order. Congress has determined that finality should be the prerequisite for appellate jurisdiction. Congress has not expanded appellate jurisdiction to reach this denial of appointment of counsel, though it certainly could have done so when it enacted the provision of Title VII permitting the district courts to appoint counsel in Title VII cases. See 42 U.S.C. § 2000e-5(f)(1). Further, Congress did not make appointment of counsel a matter of right, but rather left it to the discretion of the district courts. Therefore, Congress must have anticipated that some Title VII cases would be prosecuted in propria persona.
I
I turn now to the application of the Coopers & Lybrand analysis. I agree with the majority that the order denying counsel, at least under the facts of this case, was final. This is the only one of the three Coopers & Lybrand requirements that is clearly satisfied in this case.
It is not necessary for me to rest my position on the separability from the merits requirement, because the third requirement is so obviously lacking. I observe, however, that there are problems with the majority's
It is true that a district judge must make a similar determination in deciding whether to grant leave to proceed in forma pauperis. Orders denying such leave are appealable. Lipscomb v. United States, 301 F.2d 905 (9th Cir. 1962). The involvement with the merits in the in forma pauperis situation, however, is slight. The standard is merely whether the plaintiff's case is frivolous or malicious. 28 U.S.C. § 1915(d); Torres v. Garcia, 444 F.2d 537 (9th Cir. 1971).
It is quite possible that a district judge should become much more involved in the merits in determining whether to appoint counsel than he does in determining whether to grant leave to proceed in forma pauperis. First, the district judge should hesitate to appoint counsel to a losing case. See Maclin v. Freake, 650 F.2d 885 at 887-888 (7th Cir. 1981). I know of no provision for the payment of losing counsel appointed under Title VII. See Beckett v. Kent County, 488 F.Supp. 70, 74 n.4 (W.D.Mich.1980); Sol v. I.N.A. Ins. Co., 414 F.Supp. 29, 30 (E.D.Pa.1976). To appoint counsel to a non-frivolous, but likely losing case without compensation creates significant, possibly constitutional, problems.
Thus, a district judge may be justified in examining the merits closely to determine whether the plaintiff's case is substantially likely to succeed. Of course, in his calculations, the district judge should assess the likelihood of success of the case when prosecuted by counsel, rather than in propria persona. The district judge should balance the hardship to counsel with the benefit to the plaintiff. To determine whether a district judge's decision on the appointment of counsel constitutes an abuse of discretion, we would have to become at least somewhat enmeshed in the merits.
I must take issue with the majority's unfortunate contention that an EEOC determination of reasonable cause will usually be sufficient to establish the "merit" requirement and thus obviate the need to become enmeshed in the facts. The majority cites no authority for its conclusion that an EEOC reasonable cause determination creates a presumption in favor of the plaintiff. Instead, it relies on the EEOC's brief in this case. Ante at n.20. Although there is little authority on the pre-trial significance of EEOC determinations, a reasonable interpretation is that an EEOC determination, whether finding reasonable cause or not, is significant only to establish jurisdiction for a civil action pursuant to Title VII.
A second problem arises with the majority's treatment of the significance of EEOC proceedings. The majority takes the position that an EEOC finding of reasonable cause establishes the merit of the plaintiff's case for the purpose of appointment of counsel, but that an EEOC determination of no reasonable cause fails to establish lack of merit. Ante at 1305, 1309 & n.20. An EEOC finding of no reasonable cause is not a jurisdictional bar to the filing of a civil suit under Title VII. McDonnell Douglas v. Green, 411 U.S. 792, 798-99, 93 S.Ct. 1817, 1822-23, 36 L.Ed.2d 668 (1973). This rule is based on jurisdictional considerations, however, not on any notion that findings of no reasonable cause are inherently more suspect than findings of reasonable cause. See id. The majority fails to offer any explanation for its disparate treatment of these two EEOC findings.
The majority would permit a plaintiff to attack an EEOC determination of no reasonable cause on the merits. Ante at n.20. This would require pre-trial involvement with the merits of the case. Under the majority's view, if the district court still determined that there was insufficient merit to the case to appoint counsel, the plaintiff could take an interlocutory appeal. We would then necessarily become enmeshed in the factual issues raised in the plaintiff's attack on the EEOC's determination, in violation of the requirements of Coopers & Lybrand.
Inexplicably, the majority would not accord a defendant the same right as a plaintiff to attack the merits of an unfavorable EEOC finding. The majority would then compound this inequity by requiring this unchallenged EEOC determination of reasonable cause to satisfy the merit requirement. Thus, according to the majority's reasoning, the district judge may become enmeshed in the facts at an early stage only when it may benefit the plaintiff. If it may benefit the defendant, it cannot be done. Further, the majority bootstraps its prohibition of a defendant's attack on the merits of an EEOC determination into the plaintiff's satisfaction of the "separability" element of Coopers & Lybrand. But, by virtue of the majority's holding, a plaintiff may still appeal a denial of appointment of counsel after he has attempted to attack an unfavorable EEOC finding, even though the separability element is not satisfied. This is not defensible.
II
I would hold that Bradshaw has failed to show that the order denying her counsel is effectively unreviewable on appeal from a final judgment. Absent this showing, the order is not appealable. An appealable order must involve "an asserted right the legal and practical value of which would be destroyed if it were not vindicated before trial." United States v. McDonald, 435 U.S. 850, 860, 98 S.Ct. 1547, 1552, 56 L.Ed.2d 18 (1978) (emphasis added). The claimed right must be such that "denial of immediate review would render impossible any review whatsoever ...." United States v. Ryan, 402 U.S. 530, 533, 91 S.Ct. 1580, 1582, 29 L.Ed.2d 85 (1971) (emphasis added).
This requirement is very narrow. It is not sufficient that the appellant show that there is some injury, or that the erroneous order will taint the rest of the proceedings. Rather, the appellant must show that the order necessarily causes injury that will be irreparable unless appealed immediately.
To illustrate the point, a collateral order rejecting a criminal defendant's claim of double jeopardy is immediately appealable because if he is correct, he has, the Court has held, the right not to be put to trial. To require him to wait until final judgment would result in the destruction of his right not to be put to trial. Abney v. United States, 431 U.S. 651, 97 S.Ct. 2034, 52 L.Ed.2d 651 (1977). Similarly, a criminal defendant denied bail may appeal immediately. Stack v. Boyle, 342 U.S. 1, 72 S.Ct. 1,
Conversely, several kinds of orders are not immediately appealable because no rights are extinguished, even though the orders, if erroneous, will taint the proceedings or may prejudice one of the parties. For example, the denial of a motion to disqualify an attorney, Risjord, and the denial of a motion for recusal of a judge, United States v. Washington, 573 F.2d 1121 (9th Cir. 1978), are not immediately appealable. In both of these situations, the risk is run that a full trial will be conducted under the taint of an erroneous order that will require the trial to be repeated. Further, an erroneous discovery order may compel the production of privileged information that might seriously prejudice the disclosing party. Nonetheless, discovery orders are generally not appealable before final judgment. Legal Aid Society v. Dunlop, 618 F.2d 48, 51 (9th Cir. 1980) (per curiam).
These two lines of cases can be distinguished. In the cases involving appealable interlocutory orders, the appellant could receive no adequate remedy on appeal after judgment. He would already have lost the rights he seeks to preserve. In the cases in which orders have been held non-appealable, the appellant can generally be made whole after trial by being granted a new trial. Bradshaw has this same remedy available to her after trial. Forcing her, even erroneously, to proceed to trial without an attorney does not deprive her forever of any right nor cause her irreparable harm. Unlike a litigant erroneously denied leave to proceed in forma pauperis, Bradshaw may continue her suit. By proceeding to trial without counsel, she forfeits no right. I concede that an erroneous order denying counsel may taint the rest of the proceedings. If Bradshaw loses, the mistake would likely be reversible error on appeal. It is conceivable that Bradshaw may suffer some residual harm, though this is speculative at best. Possibly, she may make some erroneous tactical decision that will prejudice her on retrial with counsel. It is also possible, however, that she will lose on the merits without prejudicing herself on retrial or that she will prevail without counsel. I fail to see the "inherent prejudice" on which the majority relies. The Supreme Court has stated that before it will find an order effectively unreviewable after a final judgment, there must be a showing of some concrete, irreparable injury, not merely a possibility of injury. Risjord, 449 U.S. at 375-76, 101 S.Ct. at 674-75. The majority has failed to point to a single concrete injury that is irreparable within the meaning of Cohen and its progeny. Speculation simply will not suffice.
I recognize the importance of the appointment of counsel in appropriate Title VII cases. One prejudiced by the failure of a district judge to appoint counsel is not left with appeal after judgment as his or her only avenue of relief. Appellate assistance can be requested by filing a petition for a writ of mandamus. See 28 U.S.C. § 1651; Bauman v. United States District Court, 557 F.2d 650 (9th Cir. 1977). But Bradshaw requests review by appeal. We have been left with clear guidelines concerning this jurisdiction, however. The majority has overstepped the bounds described by those guidelines. In particular, it has changed the Coopers & Lybrand requirement that the order be effectively unreviewable on appeal to a requirement that the appellant show a possibility of some prejudice by having to wait until after final judgment to appeal. By relaxing or eliminating the Coopers & Lybrand requirement, the majority is doing what it perceives to be justice in this case. The next case may present an order for which an immediate appeal may not seem so just to the majority, but the appellant may cite the majority's opinion in this case to make a tenuous
III
I agree with the majority that we ought to be concerned about judicial economy. I cannot agree that its decision in this case is economical. One side, the losing side, always has an interest in immediately appealing orders. If it can vindicate its views immediately, it either will not have to continue in the lawsuit at all or will be able to proceed without the possibility of retrial. Thus, to one side, immediate review will always seem economical. Congress, by enacting section 1291, has mandated that we hear these appeals after final judgment.
Judicial economy is preserved by the final judgment rule which generally requires that the appeals in one case be heard at one time, after final judgment. Thus, only one appeal and, if necessary, only one retrial is required. By permitting interlocutory appeals, we only add to the number of appeals, increase the time spent by the parties on appeal and on the case as a whole, and delay the proceedings in the district court. I cannot agree that the majority has struck a blow for judicial economy in this case when it has relaxed the requirements for interlocutory appeals.
The majority's suggestion that plaintiffs will not appeal from proper denials of appointment of counsel is unreasoned. The majority's entire premise is that plaintiffs without attorneys are unable to make correct legal determinations for themselves. Yet, the majority assumes that such plaintiffs will be able to assess the correctness of a district court's ruling and their likelihood of success on appeal. More likely, they will think that any ruling made against them is wrong. Thus, they will appeal from correct rulings as often as incorrect ones.
Further, a plaintiff's interest in pursuing an appeal may be substantial. A plaintiff, particularly one with a weak case, may be able to force a settlement by interposing appeals and otherwise dragging out the litigation. As legal fees increase, the defendant may become more interested in paying off the plaintiff than in paying his or her attorneys. Thus, the majority has created a delaying tactic, which does not serve judicial economy and which may serve as a weapon in a strike suit.
Because the harm that Bradshaw may suffer is both speculative and repairable after appeal from a final judgment, I would hold that the order denying appointment of counsel in a Title VII action is not effectively unreviewable on appeal from a final judgment and therefore is not appealable until final judgment. I would dismiss the appeal for want of jurisdiction.
FootNotes
42 U.S.C. § 2000e-5(f)(1)(B) (1976).
In addition to the four circuits which have expressly held orders denying appointment of counsel in Title VII cases appealable, the Second Circuit has held that an order denying appointment of counsel under 28 U.S.C. § 1915(d) is appealable under Cohen. Miller v. Pleasure, 296 F.2d 283 (2d Cir. 1961) (per curiam), cert. denied, 370 U.S. 964, 82 S.Ct. 1592, 8 L.Ed.2d 830 (1962). The Miller reasoning is equally applicable to Title VII orders. Only the Tenth Circuit has held orders denying appointment of counsel under section 1915(d) not appealable as final orders. Cotner v. United States Probation Officer Mason, 657 F.2d 1390 (10th Cir. 1981).
Further, the Sixth Circuit has implicitly reached a similar result with respect to orders denying appointment of counsel in Title VII suits, without discussing the issue. Harris v. Walgreen's Dist. Center, 456 F.2d 588 (6th Cir. 1972).
Id. at 116. In Torre v. Garcia, 444 F.2d 537 (9th Cir. 1971), we upheld the district court's dismissal of an in forma pauperis petition only because the district court found that "the action is frivolous and malicious." Id. Perhaps the best way to characterize the requirement relating to meritoriousness in in forma pauperis cases is to say that the petition must be non-frivolous. Whatever difference may exist between this standard and the standard applicable in appointment of counsel cases is of no significance for purposes of this part of our decision.
556 F.2d at 1309.
Our dissenting colleague suggests that it is somehow unfair to give differing weight to favorable and unfavorable EEOC determinations when the right to counsel is at issue. There is no unfairness involved, in part because the opposing party has no legitimate interest in ensuring that the plaintiff, impoverished though she may be, is denied counsel. The right at issue is the plaintiff's right to a fair opportunity to vindicate fundamental rights. Defendants suffer no injury when plaintiffs are given that opportunity. An EEOC determination of reasonable cause ordinarily provides sufficient justification for allowing a civil rights litigant a fair crack at our judicial system. Although the defendant may be compelled to deal with an attorney instead of an untutored and poor layman, the defendant's rights are not jeopardized as a result; in fact, many defendants prefer the more orderly, rational, and reasonable process of negotiation or litigation which ensues when counsel is appointed. Moreover, where an unfavorable EEOC determination is so clearly erroneous that it does not serve as a bar to the appointment of counsel under the Fifth Circuit test which we adopt, a refusal to appoint counsel solely because of that determination would unfairly deny plaintiffs fundamental rights Congress intended to provide them.
46 U.Chi.L.Rev. at 450-51 (footnotes omitted) (emphasis added). The Court did not reach this issue in Firestone. 449 U.S. at 379, 101 S.Ct. at 676 n.14.
We believe that the practical effect of the type of order involved is of substantial importance to the ultimate determination of its appealability. Mathews v. Eldridge, 424 U.S. 319, 331 n.11, 96 S.Ct. 893, 901 n.11, 47 L.Ed.2d 18 (1976). In view of the Cohen mandate that we take a "practical" approach to construing § 1291, a microscopic examination of each criterion in isolation is not necessarily either the proper or the best method of determining appealability in all types of cases.
We would note finally that it is sometimes easier to arrive at the correct result by seeking an understanding of the purposes of the laws involved, and the practical consequences of deciding to construe them one way rather than another, than by plodding endlessly through mystical and obscure technicalities which, when given a mechanistic and myopic application, can serve only to obstruct justice. See note 42 and accompanying text infra.
The Court has also noted:
Mathews v. Eldridge, 424 U.S. at 331 n.11, 96 S.Ct. at 901, n.11.
White v. United States Pipe & Foundry Co., 646 F.2d 203, 205 (1981) (quoting Caston, 556 F.2d at 1310).
See also Caston, 556 F.2d at 1309:
As Miss Bradshaw's affidavits filed in support of her motion indicate, there is also the problem that attorneys otherwise willing to take the case on a contingency basis may prove unwilling to do so without an advance of substantial costs.
Firestone Tire & Rubber Co. v. Risjord, 449 U.S. 368 at 374, 101 S.Ct. 669 at 673, 66 L.Ed.2d 571 (1981).
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