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STEFFLER v. UNITED STATES

Supreme Court of the United States1943-05-03No. No. 14
319 U.S. 3887 L. Ed. 119763 S. Ct. 948SCDB 1942-0631943 U.S. LEXIS 1135

Summary

Holding. The district court erred in declining to consider the petitioner's application to appeal in forma pauperis, as the statute authorized and required the trial court to entertain such applications. The case is remanded to the district court to act on the application.

In 1938, Steffler pleaded guilty to a federal bank robbery charge and received a fifteen-year sentence. Four years later, he filed a motion in district court to set aside his conviction, claiming the indictment was defective and he lacked counsel at trial. When he attempted to appeal as an indigent person, the district court clerk refused to process his in forma pauperis application, stating it should go to the appellate court instead. The circuit court of appeals then denied his poverty application, effectively blocking appellate review.

The Supreme Court addressed whether the district court had authority and obligation to consider Steffler's request to proceed as a poor person on appeal. The Court concluded that the in forma pauperis statute expressly authorized applicants to request such status from the trial court, and the district court was required to entertain the application. The statute did not condition this right on approval from the appellate court. Steffler's inability to obtain appellate review resulted directly from the district court's refusal to exercise its statutory duty.

Summary generated by law.co from the public-domain opinion. The opinion text itself is public domain.

Key issues

  • Whether a district court must consider an in forma pauperis application from an indigent defendant seeking to appeal
  • Whether the right to appeal in forma pauperis is conditioned on appellate court approval
  • Proper procedure for filing in forma pauperis applications in federal court

Procedural posture

The petitioner sought certiorari after the district court refused to consider his in forma pauperis application and the circuit court of appeals denied a similar request.

Authorities cited

No cited authorities resolved to law.co cases yet.

Opinion

majority opinion

Per Curiam.

In 1938 petitioner pleaded guilty, in the District Court for the Southern District of Indiana, to an indictment charging him with entering a state bank insured with the Federal Deposit Insurance Corporation, with intent to commit larceny, 50 Stat. 749, and was sentenced to fifteen years imprisonment. In 1942 he made a motion in that court to set aside the judgment of conviction on the grounds, among others, that the indictment did not state an offense against the United States and that he had been denied the assistance of counsel at the trial. The district court denied the motion without taking testimony or making findings of fact, and denied an application for rehearing. Petitioner lodged with the clerk of the district court a petition for leave to appeal to the circuit court of appeals in forma pauperis. The clerk returned this to him by letter, stating, “Under the law the petition to prosecute an appeal in forma pauperis should be submitted to the United States circuit court of appeals and not the district court. Therefore your motion for leave to appeal in forma pauperis and order thereon are returned herewith.”

Petitioner then applied to the Circuit Court of Appeals for the Seventh Circuit for leave to appeal in forma pauperis, which court denied the application. He now seeks certiorari in this Court under § 262 of the Judicial Code, 28 U. S. C. § 377 (see In re 620 Church Street Corp., 299 U. S. 24, 26; Holiday v. Johnston, 313 U. S. 342, 348, n. 2), upon a petition which sets up, among other alleged errors, the denial by the district court of his motion to set aside the judgment of conviction, and its refusal to entertain his application for leave to appeal in forma pauperis. He also asks to be permitted to proceed in forma pauperis in this Court.

It is evident on the face of the papers that petitioner has been unable to prosecute an appeal or to secure ap pellate review by reason of the refusal of the district court to entertain his application to appeal in forma pauperis and the denial of a like application by the circuit court of appeals. Appeal from the district court’s order denying petitioner’s motion to vacate the conviction is governed by § 8 (c) of the Act of February 13, 1925, 28 U. S. C. § 230, which requires that proper application be made for allowance of an appeal. Wells v. United States, 318 U. S. 257, 260, and cases cited. But petitioner’s filing of a motion for leave to appeal with the clerk of the district court was a sufficient application, in view of the fact that an appeal may be allowed by either the district court or the district judge. Ex parte Railroad Co., 95 U. S. 221, 227; Alaska Packers Assn. v. Pillsbury, 301 U. S. 174, 175-76. The district court declined to consider petitioner’s application, apparently on the ground that the in forma pauperis statute required that his right to appeal as a poor person be determined by the circuit court of appeals instead of by the district court.

The Act of June 25, 1910, 36 Stat. 866, as amended, 28 U. S. C. § 832, granting the right to proceed in forma pauperis, provides that "Any citizen of the United States entitled to commence any suit or action, civil or criminal, in any court of the Unted States, may, upon the order of the court, commence and prosecute or defend to conclusion any suit or action, or an appeal to the circuit court of appeals . . ., including all appellate proceedings, unless the trial court shall certify in writing that in the opinion of the court such appeal is not taken in good faith, without being required to prepay fees or costs . . It is plain that under these provisions petitioner, being a poor person entitled to prosecute an appeal from the trial court to the circuit court of appeals, was authorized to apply to the district court for leave to appeal in forma pauperis and that it was the duty of the district court to entertain his application. See Wells v. United States, supra. The statute authorizes the suit, including the appeal, to be prosecuted in forma pauperis upon order of the court in which the proceeding is commenced. The right to appeal in forma pauperis from the district court to the circuit court of appeals is not conditioned upon the consent of the circuit court of appeals, even though it be assumed that that court could grant such permission.

It follows that petitioner’s application for appeal in forma pauperis should have been entertained by the district court and that opportunity should now be given to that court to act on the application before the consideration of other questions which the petitioner seeks to raise here by his application for certiorari. We accordingly grant the motion to proceed in forma pauperis in this Court. We also grant the petition for certiorari, and remand the cause to the district court for further proceedings in conformity to this opinion.

So ordered.