Joseph Brown v. Sage
Opinion of the Court
Petitioner Joseph Brown filed three appeals challenging the District Court's denials of his motions to proceed
in forma pauperis
("IFP"). He then moved to proceed IFP on appeal, and we consolidated his cases for our review. Under the Prison Litigation Reform Act ("Act"), a federal prisoner may proceed IFP and file a case without prepaying the requisite fees if the prisoner meets certain requirements, including filing an affidavit that demonstrates that he cannot afford the fees.
Brown has previously filed three cases in federal district courts in California that can potentially be counted as strikes under § 1915(g). Because we conclude that we must use our precedent to evaluate whether prior cases are strikes, rather than that of the Circuit from which the potential strikes emanated, we conclude that Brown has not previously accrued three strikes. Accordingly, we will grant his motions to proceed IFP. We will also reverse the District Court's denials of Brown's motions and remand the cases for further proceedings.
Brown is a federal prisoner who filed three separate Bivens actions alleging that his Fifth and Eighth Amendment rights had been violated by prison employees.
First, on August 4, 2014, Brown filed his complaint in
Brown v. Kemmerer
,
On December 15, 2016, while
Kemmerer
was proceeding, Brown filed his complaint in
Brown v. Sage
,
On January 3, 2017, the District Court filed a memorandum opinion in Sage denying Brown's motion to proceed IFP because he had previously accrued three strikes. Specifically, the District Court concluded that Brown's strikes emanated from three cases in federal district courts in California:
1. Brown v. United States , No. 1:11-CV-01562-MJS,2013 WL 2421777 (E.D. Cal. June 3, 2013) (" Brown I ");
2. Brown v. United States , No. 1:12-CV-00165-AWI-GSA (E.D. Cal. Nov. 13, 2014) (" Brown II "); and
3. Brown v. Profitt , No. 5:13-CV-02338-UA-RZ (C.D. Cal. Mar. 7, 2014).
The District Court also concluded that "Brown's allegations d[id] not satisfy the threshold criterion of the imminent danger exception."
On the same day that the District Court filed its opinion in Sage , January 3, 2017, it also filed a memorandum opinion in Kemmerer vacating its previous decision to allow Brown to proceed without full prepayment of fees and costs and denying Brown's IFP motion. The District Court explained that it had recently come to its attention that Brown had accrued the strikes enumerated above, and it concluded that it would dismiss Brown's complaint unless he paid the necessary fees. Brown later appealed.
The day after the District Court filed its opinions in
Sage
and
Kemmerer
, January 4, 2017, Brown filed
Brown v. Dees
,
Brown filed motions to proceed IFP in his appeals in
Sage, Kemmerer
and
Dees
. His motions were consolidated for our review, and we appointed
pro bono
counsel to represent Brown.
I.
To evaluate a petitioner's motion to proceed IFP on appeal, we generally follow a two-step process. First, we look to § 1915(a) of the Act and "determine[ ] whether the [petitioner] is financially eligible to proceed without prepayment of fees."
In no event shall a prisoner bring a civil action or appeal a judgment in a civil action or proceeding [ in forma pauperis ] if the prisoner has, on 3 or more prior occasions, while incarcerated or detained in any facility, brought an action or appeal in a court of the United States that was dismissed on the grounds that it is frivolous, malicious, or fails to state a claim upon which relief may be granted, unless the prisoner is under imminent danger of serious physical injury.12
In this case, because the parties do not dispute that Brown is financially eligible to proceed IFP and because his appeals are not frivolous, our decision on Brown's IFP motions will turn on whether he has previously accrued three strikes. As the District Court correctly noted, there are three cases that we could potentially conclude constitute strikes under § 1915(g) :
Brown I
,
Brown II,
and
Profitt.
Because all three of Brown's prior cases were filed in the Eastern and Central Districts of California, we must begin our analysis by deciding whether to use our precedent or the Ninth Circuit's to determine whether the dismissals in Brown I , Brown II, and Profitt qualify as strikes. This determination is significant because, as will be discussed below, the outcome of Brown's IFP motions turns on which Circuit's law applies.
Although we have not previously addressed this issue, we now conclude that courts in our Circuit should use our precedent to evaluate whether prior cases qualify as strikes under § 1915(g), regardless of the court from which they originated. As we have often explained, panels of our Court are bound by the precedent of prior panels,
We recognize that using our own precedent to determine whether a prior dismissal qualifies as a strike may at times cause us to conclude that certain dismissals are not strikes, even if they were intended as strikes by other courts. However, although not ideal, this eventuality is not significant enough to convince us to abandon the long-standing principle that we are bound to follow the precedent of our Court.
II.
Having established that we will follow our case law to determine strikes under § 1915(g), we now turn to determining whether Brown has accrued three strikes. To begin, as Brown's counsel has conceded, we conclude that
Brown I
and
Brown II
constitute strikes.
Brown I
and
Brown II
both meet all of our requirements for strikes. In
Brown I
, Brown filed a complaint and a series of amended complaints against employees at various prisons, alleging that they had failed to diagnose and treat mental injuries caused by his post-traumatic stress disorder.
Given that Brown has two strikes from
Brown I
and
Brown II
, our decision on his IFP motions hinges on whether
Profitt
constitutes a third strike. We conclude that it does not. In
Profitt,
Brown filed a request to proceed without prepaying the filing fees to which he attached a complaint. The Central District of California noted that the complaint was "lodged" and was "sought to be filed" by Brown.
As § 1915(g) explains, a prisoner cannot proceed IFP "if the prisoner has, on 3 or more prior occasions, while incarcerated or detained in any facility,
brought
an action or appeal" that was dismissed because it was malicious or frivolous or because it failed to state a claim.
In
Gibbs v. Ryan
, we clarified that "[i]n the context of filing a civil action, 'bring' ordinarily refers to the 'initiation of legal proceedings in a suit.' "
We have continuously followed this principle, and we reiterate it now.
We recognize that our conclusion would change if we applied the Ninth Circuit's precedent instead of our own. In
O'Neal v. Price
, the Ninth Circuit "conclude[d] that a plaintiff has 'brought' an action for the purposes of § 1915(g) when he submits a complaint and request to proceed [IFP] to the court."
Because we conclude that Brown has not previously accrued three strikes under § 1915(g), we will grant his motions to proceed IFP on appeal.
III.
Before we turn to the merits of Brown's appeals, we will take this opportunity to clarify the procedure that district courts in our Circuit should use to docket a petitioner's IFP motion and complaint. Specifically, when a district court receives a complaint before a petitioner's motion to proceed IFP has been granted, the court should indicate on the docket that the complaint has been "lodged." Then, if the district court grants the petitioner's IFP motion, it should update the docket with a new entry that indicates that the complaint is "filed." If the district court denies the petitioner's IFP motion, the complaint should remain "lodged" until the petitioner pays the filing fees. We believe that this procedure best comports not only with the statutory text of § 1915, but also with our precedent demonstrating that a complaint cannot be filed until a petitioner's motion to proceed IFP is granted.
IV.
Finally, we will consider the merits of Brown's three appeals. In each case, Brown argues that the District Court improperly denied his motions to proceed IFP. He is correct.
To begin, we note that the Government has conceded that Brown did not have three strikes at the time the District Court first considered his motion to proceed IFP in
Kemmerer
.
We now extend the
Millhouse
rule to encompass the situation before us here. We conclude that strikes that accrue before the filing of a complaint count under § 1915(g), while strikes that accrue after do not. We believe that this rule makes sense given the language of § 1915(g) itself. Section 1915(g) explicitly states that "[i]n no event shall a prisoner
bring
a civil action" if he has previously accrued three strikes.
Accounting for the rule that only strikes that accrue before the filing of a complaint count under § 1915(g), we agree with the Government that Brown II did not qualify as a strike when the District Court vacated its grant of Brown's IFP motion in Kemmerer in January 2017. As discussed above, Brown's complaint was filed well before Brown II was dismissed. Accordingly, when the District Court reconsidered Brown's motion, Brown had only accrued one strike- Brown I . Thus, we will reverse the District Court's denial of Brown's IFP motion and remand Kemmerer for further proceedings.
We will also reverse the District Court's denials of Brown's motions in
Sage
and
Dees
. As set forth, the District Court denied Brown's motions because it concluded that he had accrued three prior strikes in
Brown I
,
Brown II
and
Profitt.
However, as we have explained, Brown has not accrued three strikes because
Profitt
does not qualify as one. We will therefore reverse the District Court and remand the cases.
V.
For the foregoing reasons, we will grant Brown's motions to proceed IFP on appeal. We will also reverse the District Court's denials of Brown's IFP motions and remand all three of Brown's cases for further proceedings.
D.C. No. 1:14-cv-01520.
D.C. No. 1:16-cv-02477.
J.A. 11.
D.C. No. 1:17-cv-00025
J.A. 143.
The District Court had jurisdiction under
Urrutia v. Harrisburg Cty. Police Dep't
,
Id
. ;
Roman v. Jeffes
,
It is worth noting that neither party argues that there are cases aside from the three discussed by the District Court that could also be considered strikes. We, too, are unaware of any other cases that should be analyzed.
See, e.g.
,
Hassen v. Gov't of Virgin Islands
,
See, e.g.
,
Valspar Corp. v. E.I. Du Pont Nemours and Co.
,
Instead, the parties seemed to agree at oral argument that we should apply our own law in this case. Prior to oral argument, we specifically asked the parties to be prepared to discuss which Circuit's law should be applied. Ultimately, however, neither party argued that we should look to the Ninth Circuit's law.
Although they have not explicitly addressed the issue, other Circuits have applied their own law when dealing with strikes from other courts.
See, e.g.
,
Hafed v. Fed. Bureau of Prisons
,
At oral argument, Brown's counsel explicitly conceded that Brown I and Brown II qualify as strikes. In addition, Brown did not argue in his briefs that Brown I and Brown II are not strikes. Instead, he focused his argument on whether Profitt is a strike .
Millhouse
,
Brown v. United States
, No. 1:11-CV-01562-MJS,
Id. at *6.
Brown v. U.S. , No. 1:12-CV-00165-AWI-GSA (E.D. Cal. Mar. 30, 2012) (order granting motion to proceed IFP).
Brown v. U.S. , No. 1:12-CV-00165-AWI-GSA, slip op. at 2 (E.D. Cal. Nov. 13, 2014).
Id. 61.
See, e.g.
,
Millhouse
,
Although counsel for the appellees tried to assert at oral argument that we had adopted the conclusion from
O'Neal
, that is not the case. While we have discussed
O'Neal
's holding, we have never stated that we would follow it ourselves. To the contrary, our precedent directly contradicts the Ninth Circuit's policy in
O'Neal
.
See
Millhouse
,
Appellees' Br. 22.
Millhouse
,
Because we reverse the District Court's denials based on the number of strikes Brown has accrued, we need not discuss any of Brown's arguments regarding the Act's imminent danger exception.
Concurring in Part
My learned colleagues have applied the law of this Court, but that jurisprudence was superseded by statute over twenty years ago. Nevertheless, the majority has extended it, thereby creating a circuit split, mandating adherence to an inflexible rule that many courts in this circuit have abandoned, and increasing litigation (and confusion) over what constitutes a "strike" for purposes of
Whether Brown's complaint and IFP application sent to the District Court are
categorized as filed, brought, or lodged is somewhat beside the point to a proper analysis under the PLRA. That is because the PLRA amended
Notwithstanding any filing fee, or any portion thereof, that may have been paid, the court shall dismiss the case at any time if the court determines
that-
(A) the allegation of poverty is untrue, or
(B) the action or appeal-
(i) is frivolous or malicious;
(ii) fails to state a claim on which relief may be granted; or
(iii) seeks monetary relief against a defendant who is immune from such relief.
Our jurisprudence incorrectly, in my view, requires a rigid two-step process. The first step is focused upon the resolution of the IFP application. A complaint sent to the court "cannot be filed until the litigant has paid the filing fees or until his motion to proceed IFP has been granted." Maj. Op. 306. Only after a complaint is filed may the court perform its screening duty, employing the criteria set forth in § 1915(e)(2). See Maj. Op. 304. The majority applies our jurisprudence to hold that because the Profitt court in California simultaneously denied Brown's IFP motion and dismissed his complaint as frivolous, the case was never filed and, thus, could not be considered a "strike" under § 1915(g).
Our jurisprudence and holding are at odds with the temporal freedom mandated by § 1915(e)(2). Section 1915(e)(2) permits a court to dismiss a case "[n]otwithstanding" the filing fee matters that we consider in our step one analysis. Moreover, we disregard the PLRA's grant of authority that a court may dismiss a case "at any time." Under the Court's view, "at any time" is limited to a time after the filing fee matters are resolved.
An analysis of our prior caselaw and the purposes of the PLRA assist in explaining my position. Under the pre-1996 version of
Prior to enactment of the PLRA, the federal courts had become overwhelmed with prisoner litigation. Indeed, by 1995, prisoner lawsuits constituted twenty-five percent of federal court filings.
Roller v. Gunn
,
Porter v. Nussle
,
One of the important reforms instituted by the PLRA to require "early judicial screening of prisoner complaints."
Jones v. Bock
,
Shortly after enactment of the PLRA, we considered an IFP prisoner complaint that a district court dismissed as frivolous in
Urrutia v. Harrisburg Cty. Police Dep't
,
Notwithstanding this acknowledgment in
Urrutia
and the advent of the PLRA, the Court today expressly forecloses the viability of this "common[ ]" practice in the Third Circuit. I note that this Court and the district courts in this circuit have routinely taken the approach mandated by the PLRA without much fanfare.
See, e.g.
,
Parker v. Montgomery Cty. Corr.Facility
,
Ajjahnon v. State
, No. 06-cv-3696,
Our Court should adopt the more flexible analysis signaled in Urrutia and mandated by the PLRA. I believe that courts have the discretion to assess the two steps in either order or even simultaneously.
See
10 James W. Moore, Moore's Federal Practice § 55.104[1][a] (3d ed. 2018) (noting that "the court may dismiss the case, either before ruling on or after granting in forma pauperis status"). Accordingly, as in
Profitt
, a district court could make "the fee assessment and conduct[ ] the screening process in the same opinion and order."
McGorev. Wrigglesworth
,
For the foregoing reasons, I concur in part and dissent in part and urge the Court to consider this matter en banc.
The United States District Court for the Middle District of Pennsylvania in
Powell v. Hoover
,
The two Courts of Appeals that have addressed what the PLRA means by brought an action have held brought is "when a complaint is tendered to the district clerk," rather than when it is filed.
Ford v. Johnson
,
Our decision in
Byrd
recognized that "the PLRA's purpose is best served by taking an approach that does not open the door to more litigation surrounding § 1915(g)" and, in particular, "more, and perhaps unnecessary, litigation on whether or not a particular dismissal constitutes a strike."
Reference
- Full Case Name
- Joseph A. BROWN, Appellant v. Dr. SAGE, (Psych Dept.); Dr. Eigenbrode, (Psych Dept.); Dr. Shouey, (Psych Dept.) Appellees in No. 17-1222 Joseph A. Brown, Appellant v. C.O. Kemmerer; United States; B.R. Pealer; T. Crawford; C.O. J. Young; C.O. J. Treibly; C.O. J. Hardy; Lt. R. Miller; C.O. D. Herr; C.O. A. Craveling; C.O. J. Finck; C.O. R. Wickham; Lt. J. Sherman; Lt. Douh; Lt. J. Seeba; Lt. R. Johnsonl Lt. P. Carrasquitto; P.A. S. Dees; P.A. L. Potter; P.A. Brennaman; P.A. H. Miosi; J. Carpenter; J. Russo Appellees in No. 17-1527 Joseph A. Brown, Appellant v. Sarah Dees, Physician Assistant, USP Appellee in No. 17-1714
- Cited By
- 11 cases
- Status
- Published