Thomas v. Evans
| Decision Date | 21 August 1989 |
| Docket Number | No. 87-8534,87-8534 |
| Citation | 880 F.2d 1235 |
| Parties | Albert THOMAS, Plaintiff-Appellant, v. David C. EVANS, et al., Defendants-Appellees. |
| Court | U.S. Court of Appeals — Eleventh Circuit |
Barbara H. Robinson, Macon, Ga. (court appointed), for plaintiff-appellant.
Michael E. Hobbs, State Law Dept., Atlanta, Ga., for defendants-appellees.
Appeal from the United States District Court for the Southern District of Georgia.
Before JOHNSON and CLARK, Circuit Judges, and VINSON *, District Judge.
Albert Thomas, a prisoner acting pro se, appeals the district court's order dismissing his complaint under Rule 11, Federal Rules of Civil Procedure. Because the record in this case does not support such a sanction, we reverse and remand for further proceedings consistent with this opinion.
Albert Thomas is an inmate at Georgia State Prison. Since 1983, Thomas has filed approximately ten lawsuits against prison officials. In Thomas v. Newsome, 1 Thomas was partially successful and the jury awarded him $50 in actual damages and $3,500 in punitive damages against two prison officials. The jury in Newsome found that two prison officials denied Thomas access to the law library in violation of his first amendment rights. The jury rejected Thomas' eighth amendment claim that he was assigned to the prison's auto tag plant in deliberate disregard of an existing serious pulmonary condition.
The verdict in Newsome was rendered on March 21, 1986. On March 26, 1986, prison officials conducted a "shakedown," or contraband search, of dormitory C-4 where Thomas' cell was located. These officials confiscated some materials, including legal documents and legal reference materials, from Thomas' cell. Thomas alleged that the officials also ransacked his cell. Thomas reported the incident to the United States District Court Judge who presided in Newsome. The judge ordered prison officials to return the legal materials or be subject to contempt or "an action for retaliation." 2
Following this incident, the Newsome verdict was appealed. The confiscation matter, however, had not been resolved to Thomas' satisfaction, and he continued to seek relief from the District Court Judge. The judge entered an order directing Thomas not to file additional motions because such motions could impede the orderly appeal of the Newsome case. While the Newsome case was on appeal, Thomas filed this case and it was assigned to the same judge. 3
Thomas contends that his legal materials were confiscated in retaliation for the jury verdict of March 21, 1986, and that most of the legal materials have not been returned. 4 Thomas further contends that prison officials conspired to retaliate against him, and continued to retaliate by assigning him to work in the metal fabrications area and by filing numerous disciplinary reports against him when he was unable to work because of a pulmonary condition. Thomas claims that these acts were committed in retaliation for his exercise of free speech rights under the first amendment, and that the confiscation of his legal materials violated his first amendment right of access to the courts. In addition, Thomas alleges that his eighth amendment rights were violated when prison officials failed to provide him adequate medical care, and assigned him to the metal fabrications area despite his pulmonary condition. According to Thomas, that area is particularly hazardous to him due to the dust and fumes generated by the machinery. Thomas also claims that a disproportionate number of blacks are assigned to the metal fabrications area in violation of the equal protection clause. Lastly, Thomas claims that prison officials violated the Georgia Racketeer Influenced and Corrupt Organizations Act (RICO) by committing various acts, including compensating inmates with coffee in lieu of money.
The defendants filed an answer and requested, inter alia, that the complaint be dismissed and that they be awarded costs and fees under Title 42, United States Code, Section 1988, and Rule 11. On February 24, 1987, Thomas filed a motion for a preliminary injunction requesting that prison officials be required to return his legal materials and cease retaliatory actions against him. The case was assigned to the Court's magistrate, who set an evidentiary hearing. 5
At the evidentiary hearing, Thomas explained that he was unable to present his case effectively due to pending discovery disputes and the absence of his key witnesses. Thomas allegedly was having difficulty obtaining discovery and had filed a motion to compel discovery which was pending at this time. Thomas did not have witnesses present because the court had not ruled on his motion for a writ of habeas corpus ad testificandum. 6 The magistrate initially expressed some concern over Thomas' lack of witnesses, but proceeded with the hearing. The magistrate denied Thomas' motion for injunctive relief on the ground that Thomas was not likely to succeed on the merits because the doctrine of res judicata barred his complaint. The magistrate referred to the complaint and verdict from Newsome, but did not make these documents part of the record. Focusing on Thomas' medical condition, the magistrate found that the jury in Newsome decided that Thomas was physically able to work in the industrial area of the prison. To support this finding, the magistrate allowed the defendants to introduce evidence of Thomas' medical condition.
Dr. Henry Robinson, medical director at Georgia State Prison, testified that Thomas had been examined on several occasions and did not have any permanent disability disqualify him from working in the industrial area. Due to a pulmonary condition, however, Thomas was not permitted to work around toxic chemicals. Dr. Robinson also testified that he had visited the metal fabrications area and found that the amount of dust and fumes would not aggravate Thomas' pulmonary condition. Virgil Duckworth, Thomas' counselor at the prison, testified that Thomas' medical needs were considered before he was assigned to the metal fabrications area.
Thomas disputed the testimony regarding the amount of dust and fumes present in the metal fabrications area, and informed the magistrate that other prisoners could support his claim if allowed to testify. The magistrate responded that the court would give no weight to the testimony of prisoners on that topic. Thomas also attempted to raise arguments relating to his other claims. He pointed out that his legal materials were confiscated after the jury verdict was rendered in Newsome and that the judge had not resolved the matter. The magistrate rejected these arguments and stated at the hearing that he was inclined to dismiss the complaint. The magistrate further stated that the defendants would probably prevail on both a motion for summary judgment and a motion for sanctions under Rule 11.
Although the defendants did not file a separate motion to dismiss, a motion for summary judgment, or a motion for sanctions under Rule 11, the magistrate entered a report on April 21, 1987, recommending to the court that Thomas' complaint should be dismissed as a sanction for violation of Rule 11. Thomas filed a timely objection to the magistrate's report and recommendation, raising several of the arguments he had made at the evidentary hearing. On May 26, 1987, the court adopted the report and recommendation without revision. Thomas appeals the district court's sanction under Rule 11.
An attorney or a party may be sanctioned under Rule 11 for filing a pleading that: (1) has no reasonable legal basis; (2) has no reasonable factual basis; or, (3) is filed for an improper purpose. See United States v. Milam, 855 F.2d 739, 742 (11th Cir.1988). The purpose of Rule 11 is to "discourage dilatory or abusive tactics and help to streamline the litigation process by lessening frivolous claims or defenses." Rule 11, Fed.R.Civ.P., advisory committee note. Regarding the scope of appellate review of a Rule 11 sanction, factual determinations and the decision to impose sanctions are within the discretion of the district court and are subject to review only for abuse of that discretion. Donaldson v. Clark, 819 F.2d 1551, 1556 (11th Cir.1987). Determining whether a pleading or motion is legally sufficient, on the other hand, involves a question of law subject to de novo review. Id.
The district court held that sanctions under Rule 11 were warranted primarily based on its application of the doctrine of res judicata. 7 The court reasoned that the complaint was filed with no reasonable legal basis because it raised claims that were "an extension" of the Newsome case. The court also found that Thomas' first amendment and eighth amendment claims were filed with no reasonable basis in fact because Thomas did not suffer from any permanent disability disqualifying him from working in the metal fabrications area. Lastly, the court found that Thomas had filed the complaint, a motion for a physical examination, and a motion for injunctive relief, in order to harass prison officials.
The primary rationale of the district court was that Rule 11 sanctions were warranted because the claims brought in this case are barred by the doctrine of res judicata. A plaintiff may be sanctioned under Rule 11 for filing claims barred by res judicata. See Patterson v. Aiken, 841 F.2d 386 (11th Cir.1988); Zaldivar v. City of Los Angeles, 780 F.2d 823 (9th Cir.1986). Rule 11 sanctions are appropriate if the filing was unreasonable under the circumstances existing at the time of filing. See Donaldson v. Clark, supra, 819 F.2d at 1556. Rule 11 sanctions are not appropriate, however, merely because the pleader's view of the law is incorrect. Rule 11 contemplates "some prefiling inquiry into both the facts and law," but "is not intended to chill an attorney's enthusiasm or creativity in pursuing...
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