Therl Taylor v. Virginia Grubbs
Therl Taylor v. Virginia Grubbs
Opinion of the Court
Ordinarily, a federal plaintiff lacking sufficient funds may proceed in forma pauperis , that is, without prepaying the filing fees, when filing a complaint or an appeal in federal court. But under the Prison Litigation Reform Act ("PLRA"), a court may not grant in forma pauperis status to a prisoner if he "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."
I.
A.
Recognizing the importance of providing equal access to federal courts, Congress has provided that indigent prisoners may, before a court rules on the merits of a case, seek to proceed "without prepayment of fees or security therefor."
Even so, Congress has long recognized the potential for abuse in this system, which reduces the immediate "economic incentive to refrain from filing frivolous, malicious, or repetitive lawsuits." Coleman v. Tollefson , --- U.S. ----,
The "three-strikes rule" is one such reform. It provides that a prisoner may not bring a civil action or an appeal in forma pauperis if he has had three prior actions or appeals dismissed as frivolous, as malicious, or for failure to state a claim upon which relief may be granted.
B.
Therl Taylor, an indigent state prisoner, filed three pro se civil rights actions in the District of South Carolina against various employees of the South Carolina Department of Corrections and the City of Allendale (collectively, "Appellees").
In the first action, filed on December 14, 2015, Taylor alleged that seven employees of the South Carolina Department of Corrections and the City of Allendale had denied him access to the prison's mailroom services, interfering with his ability to petition the courts. In the second action, filed against a similar group of corrections officials on June 20, 2016, Taylor alleged that the officials violated his rights by transferring him to a new unit. He also made general allegations of "corruption, drug smuggling, [and] high rates of violence." Taylor filed a third action on September 8, 2016, again alleging that corrections officials had improperly transferred him to another unit and confiscated his personal belongings. In a set of three orders issued on the same day, the district court dismissed each complaint for failure to state a claim and so assigned Taylor three "strikes" under § 1915(g).
Taylor timely filed a pro se notice of appeal in each case, again on the same day, and moved in each to proceed in forma pauperis , which Appellees opposed. We consolidated the three cases, provisionally granted Taylor in forma pauperis status, *615and appointed counsel for him to address the following issue: "Whether trial court dismissal only qualifies as a strike for PLRA purposes if it occurred in a different lawsuit."
II.
We considered the exact issue presented here in Henslee v. Keller ,
To reach this conclusion, we first found the term "occasion" in § 1915(g) to be ambiguous.
Three years after we decided Henslee , the Supreme Court considered a related but factually distinct issue: whether a prisoner whose third strike was pending on appeal could file "several additional actions" in forma pauperis . Coleman ,
Resisting this result, the prisoner in Coleman had argued, based in part on a portion of our rationale in Henslee , that the phrase "prior occasions" created ambiguity as to the meaning of when an action or appeal "was dismissed."
Notwithstanding its rejection of the prisoner's claim in Coleman , the Supreme Court found it unnecessary to decide the question we faced in Henslee and we face again today: that is, may a prisoner proceed in forma pauperis on "appeal from the trial court's dismissal of his third complaint"?
We now consider again the issue resolved in Henslee but left open by the Court in Coleman .
III.
We review de novo questions of statutory interpretation, including application of the three-strikes rule. Tolbert ,
A.
1.
We begin, as always, with the text of the statute, read in "the specific context in which that language is used, and the broader context of the statute as a whole." Robinson v. Shell Oil Co. ,
Section 1915 provides that a prisoner may not "bring a civil action or appeal a judgment in a civil action ... if the prisoner has, on 3 or more prior occasions, while incarcerated ..., 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."
In the context of a direct appeal, the ordinary meaning of the term "prior" most naturally encompasses dismissals in other actions, but not in the underlying dismissal that is on appeal. In Coleman itself, both the Sixth Circuit and the Solicitor General found it obvious that a district court decision is not a "prior occasion[ ]" in this context. As the Solicitor General put it, "[t]he phrase 'prior occasions' is most sensibly read as referring to strikes imposed in prior-filed suits, not to those imposed in an earlier stage of the same suit." Brief for the United States as Amicus Curiae at 25; see also Coleman v. Tollefson ,
This understanding of the term "prior" in § 1915(g) also comports with "the way in which the law ordinarily treats trial court judgments." Coleman ,
Moreover, to hold otherwise would be to read out the term "prior" and violate the cardinal rule of statutory construction that we are "obliged to give effect, if possible, to every word Congress used." Nat'l Ass'n of Mfrs. ,
*618The facts of this case illustrate why our reading of the statute is the correct one. The parties have (rightly) presented this case as requiring us to decide the question left open in Coleman : whether an indigent prisoner may proceed in forma pauperis on appeal from a district court's third strike. But because the district court here dismissed each of Taylor's claims on the same day, Appellees' logic would prevent Taylor from proceeding in forma pauperis on appeal from any of his three dismissals, not just the third. This is so because on Appellees' reading, from the perspective of each individual appeal, Taylor has received three qualifying dismissals under § 1915(g). Thus, accepting Appellees' reading of the statute would mean that a district court's docket management practices - over which a prisoner has no control - could effectively curtail a litigant's right to appeal.
2.
Contrary to Appellees' suggestion, the Supreme Court's rationale in Coleman does not support a different result.
In making this argument, Appellees first attempt to distort the Court's reasoning to suggest that, despite explicitly reserving the question presented here, the Supreme Court somehow resolved it. We must reject this effort. Coleman held that a dismissal is final for the purpose of counting strikes in a different lawsuit. Coleman ,
Appellees also argue that the Coleman Court's statement that "[t]he in forma pauperis statute repeatedly treats the trial and appellate stages of litigation as distinct" resolves the question before us. Coleman ,
*619). That statement says nothing about whether the term "prior" refers to an appeal of the very strike at issue in the case. As we have explained, the text and structure of § 1915(g) make clear that for the term "prior" to have meaning, it must refer to a dismissal in a prior action, not the same action.
If anything, the Supreme Court's rationale in Coleman supports the holding we reach. As noted above, our reading accords with how the law ordinarily treats the preclusive effect of trial court judgments. Moreover, the "leaky filter" problem that the Supreme Court identified in Coleman is not present here. Coleman ,
B.
Even setting aside the foregoing analysis, our prior decision in Henslee dictates the same result. To be sure, the Coleman Court rejected a portion of our analysis in Henslee when resolving a different question. But much of Henslee 's reasoning was left untouched. And Coleman plainly reserved decision on the issue actually resolved in Henslee and presented again here. Coleman ,
"We do not lightly presume that the law of the circuit has been overturned," especially "where, as here, the Supreme Court opinion and our precedent can be read harmoniously." United States v. White ,
We have expressly held that when a Supreme Court decision abrogates one portion of our rationale in a prior case but not another, the rationale not abrogated by the Supreme Court nonetheless binds future panels of this court. See, e.g. , United States v. Middleton ,
It would be especially anomalous to jettison Henslee when such a substantial portion of the reasoning that guided our inquiry in that case applies with equal force today. As we recognized there, denying in forma pauperis status in this context would "effectively eliminate our appellate function" and "freeze out meritorious claims or ossify district court errors."
*620Henslee ,
IV.
For the reasons set forth herein, we join the Ninth and Tenth Circuits to reaffirm that a district court's dismissal of a prisoner's complaint does not, in an appeal of that dismissal, qualify as a "prior" dismissal. Accordingly, Taylor's motions to proceed in forma pauperis are
GRANTED .
Appellees agree that at that time, "there was no significant circuit split" on this question. See, e.g. , Henslee ,
Since the issuance of Coleman , two circuits have adhered to the prior consensus view that a prisoner may pursue in forma pauperis status on appeal of a third strike. See Richey v. Dahne ,
The parties agree that the exception for cases in which "the prisoner is under imminent danger of serious physical injury,"
The dissent suggests that the Coleman Court's reliance on preclusion law "was an afterthought." We are not free to make such a judgment about the reasoning of a unanimous opinion of the Supreme Court. Even if we could, we must disagree with our colleague's characterization. As in Coleman , we hold only that "[o]ur literal reading of" § 1915(g) is reinforced by black-letter preclusion law.
In holding to the contrary, the Third Circuit reasoned that "the term 'prior' sets a temporal parameter" that instructs courts to count only "strikes accrued earlier in time than the notice of appeal," excluding "later-accrued strikes." See Parker ,
For example, imagine that the district court had dismissed each of Taylor's complaints one week apart, and Taylor had noted a timely appeal in his first two dismissals before receiving his third. Because we decide whether to grant in forma pauperis status as of the date the appeal is filed, see supra at 617-18, Appellees' logic would dictate that we grant Taylor's motions to proceed in forma pauperis in the first two cases but not the third. Yet because the district court in this case dismissed each of Taylor's complaints on the same day and thus prevented him from noting an appeal in any of his cases until all three were dismissed, Appellees would grant Taylor in forma pauperis appeal in none of his three cases. That simply cannot be the rule Congress intended.
Of course, we do not doubt the district court's broad authority to manage its own docket. The point is simply that those choices should not affect the neutral operation of § 1915(g). The most sensible result, and the one consistent with the language of the statute, would permit a litigant to proceed in forma pauperis in all three cases in both examples cited above, provided he or she has no other qualifying dismissals.
Contrary to our dissenting colleague's suggestion, we doubt whether Congress intended such an arbitrary result - one in which a litigant's appellate rights effectively turn on how a district court manages its docket - not whether that result is a "harsh" one. The latter question surely rests with Congress; the former counsels in favor of our reading of the term "prior" in § 1915(g).
Dissenting Opinion
Plaintiff Therl Taylor filed three lawsuits raising a hodgepodge of claims against state prison officials. To give just three examples, he complained that an employee in the prison mailroom put staples in his Christmas cards, that another employee made poor-quality photocopies for him, and that still other prison officials violated the copyright laws by screening movies for inmates. A federal magistrate judge found his claims meritless; the district court agreed and dismissed all three actions. Taylor now seeks to appeal those decisions in forma pauperis -that is, without paying the required filing fee in full. By statute, however, he cannot appeal in forma pauperis if he has, on three or more "prior occasions," "brought" a civil action that was dismissed on certain specified grounds.
Taylor's request turns on a straightforward issue of statutory interpretation: was each district-court action "brought" on a "prior occasion" from these appeals? The plain language of § 1915(g) 's "three-strikes" rule, as interpreted by the Supreme Court, provides an unambiguous answer: yes. That answer may be harsh, but as judges, we must still apply the statute as Congress wrote it. Therefore, I respectfully dissent.
A.
I begin by explaining why we are not bound by our decision in Henslee v. Keller ,
In Coleman v. Tollefson , --- U.S. ----,
Prior circuit precedent is not binding if an intervening Supreme Court case has "specifically rejected the reasoning on which [the prior decision] was based." Qingyun Li v. Holder ,
This rule of precedent plays an important role in protecting the rule of law. The modern Supreme Court proceeds mainly by writ of certiorari, choosing to hear only a handful of cases each year. If we continued to be bound by circuit precedent until the Supreme Court reached a different outcome on essentially the same facts, we would keep on multiplying our errors for a long time, sometimes for decades. Thus, whenever the Supreme Court has rejected the reasoning underlying our precedent, we must consider the issue anew, faithfully applying the Court's guidance. Every circuit has adopted some version of this rule, albeit with variations on our "specifically rejected" formulation.
*622As a result, we are not bound by Henslee : even though Henslee addressed the exact question before us, Coleman explicitly said that Henslee 's reasoning was wrong. And Taylor is wrong when he argues for a different result just because the Supreme Court declined to address Henslee 's facts. The Supreme Court often declines to address hypothetical cases not before it, for the judicial function is to decide cases, not to render advisory opinions. Sometimes it expressly reserves such hypothetical cases; more typically it simply does not address them. But whether such a reservation is explicit or implicit does not matter when the Supreme Court has rejected our reasoning. Whatever the facts before us, we may not rely on a decision whose reasoning we now know is infirm. Taylor's suggested approach would be dangerous, undermining the rule of law by putting our court above the Supreme Court.
For the first six pages of their analysis, my colleagues in the Majority rightly ignore Henslee and analyze the issue before us de novo. Then, at the end, they contend that Coleman abrogated only part of Henslee 's reasoning and that we remain bound by the rest of it. This argument is a non sequitur . Coleman rejected Henslee 's conclusion that the word "occasions" is ambiguous. All that remains is Henslee 's analysis of how to interpret the text if it is ambiguous. I fail to see how this is relevant to my colleagues' opinion, because they nowhere conclude that the text is ambiguous. Rather, they claim the statute is "clear." Majority Op. at 617-18. As best I can tell, the Majority basically agrees with me that Henslee is not binding; my colleagues simply want to rely on certain policy arguments from Henslee . No matter what you think of those policy arguments, they are beside the point here.
B.
I now turn to the statute. The issue before us is whether each action below was "brought" on a "prior occasion" from these appeals. This issue can be broken down into two pieces: (1) Is a district-court action "brought" on a separate "occasion" from a subsequent appeal, or on the same "occasion"? (2) If the action and appeal do in fact represent separate occasions, is the district-court action a "prior" occasion?
The Supreme Court supplied the first piece in Coleman , holding that a district-court dismissal is a separate "occasion" from a subsequent appeal in the same case. It relied on the plain meaning of the word "occasion": " 'a particular occurrence,' a 'happening,' or an 'incident.' " Coleman,
The surrounding text reinforces this conclusion. The statute asks whether the inmate "has, on 3 or more prior occasions, while incarcerated or detained in any facility, brought an action or appeal" that was dismissed for a reason that makes it a strike.
With this first piece set out, the second fits smoothly into place. If a district-court action and appeal are different "occasions," then the district-court action can only be a "prior" occasion. The word "prior" means "[p]receding in time or order." Prior , BLACK'S LAW DICTIONARY (10th ed. 2014). A district-court action precedes an appeal in both time and order: the appeal cannot proceed until the dismissal is final.
Thus construed, the statute clearly applies to this case. Taylor has, while incarcerated, "brought" a district-court action on three "occasions." Each occasion was "prior" to these appeals. And each action "was dismissed" for one of the grounds enumerated in the statute. So he cannot proceed in forma pauperis .
Taylor effectively asks us to create an exception from the statutory text where the third strike is the case on appeal. I cannot accede to that request. The statute does contemplate exceptions, just not the one he seeks. Congress provided an exception to § 1915(g) 's "three-strikes" rule where "the prisoner is under imminent danger of serious physical injury."
C.
Undeterred by the lack of a statutory exception supporting Taylor's position, my colleagues write one in. They admit that a district-court action is a "prior occasion" when viewed from the perspective of an appeals court in a different case- Coleman compels that result. But they insist that the phrase "prior occasion" means something different from the perspective of an appellate court in the same case.
I am not entirely sure how this interpretation works. At times, my colleagues suggest that the district-court action and the subsequent appeal are one and the same "occasion." They point out that we often "describe proceedings before the district court as part of 'this case,' not as a 'prior case.' " Majority Op. at 616-17. But the statute doesn't say "case." It says "occasion." This attempt to create slippage between "occasion" and "case" ultimately gets the Majority nowhere, because as *624Coleman held, a district-court action and a subsequent appeal are different "occasions" within the same case. Understandably reluctant to contradict Coleman , my colleagues never explicitly say that a district-court dismissal is the same "occasion" as an ensuing appeal.
Instead, my colleagues try to use the word "prior" to shoehorn their unwritten exception into the statute. A district-court action is a separate occasion, they seem to say, just not a prior occasion from where we sit. To accept this, one would have to posit that the district-court action occurs simultaneously with our review on appeal. But while both we and the district court review the same issues, we do not review them simultaneously: the district court handles the case first, and only once its proceedings are final do we check its work. And we know from Coleman that these two occasions are not simultaneous from the perspective of a different court (or even a different panel of the same court) viewing the same proceedings. I see nothing in the statute to support the idea that two separate occasions can occur at different points in time from the perspective of one panel, but at the same time from the perspective of another.
Hoping to bolster their interpretation, my colleagues rely on the canon against surplusage. "Prior" is largely redundant in the Defendants' interpretation of the statute.
Yet the "canon against surplusage is not an absolute rule." Marx v. Gen. Revenue Corp. ,
*625Here, the surplusage argument distorts "prior" beyond all recognition, assigning that word a meaning it lacks. The word "prior" does not even remotely suggest that a district-court dismissal must have occurred in a different lawsuit to count as a strike. Indeed, this argument is nothing more than an end-run around Coleman : it tries to use the word "prior" to show that the relevant "occasion" is the entire lawsuit (that is, the district-court action and subsequent appeal together), the very interpretation that Coleman rejected.
Instead of misreading "prior," we should just admit that Congress used a redundant word. That is hardly surprising: redundant uses of "prior" abound. See Redundancies , GRAMMARIST , https://grammarist.com/redundancies/ (last visited July 17, 2019) (noting that the oft-used phrase "prior experience" is usually redundant because almost all experience is "prior"). Even judicial opinions sometimes fall victim, for example by referring to someone's "prior history," a phrase that is almost always redundant because history necessarily takes place in the past. United States v. Thomas ,
The Majority also suggests that we should construe § 1915(g) narrowly to avoid restrictions on our appellate review. This suggestion has no basis in law. True, there is a substantive canon requiring an express statement to oust courts of appellate jurisdiction. See, e.g. , United States v. Am. Bell Tel. Co. ,
In addition, the Majority reasons, this case can be distinguished from Coleman based on "the way in which the law ordinarily treats trial court judgments."
Similarly, while this particular case does not implicate Coleman 's concern that § 1915(g) might turn into a "leaky filter," that provides no reason to deviate from statutory text. While putting a big gash in a filter can make it leaky, so can punching out a bunch of small holes. Thus, this proposed distinction does not hold water: if it did, then judges could riddle the statute with unauthorized exceptions that let through one meritless prisoner lawsuit after another.
D.
Finally, my colleagues "do not believe Congress intended a scheme that would produce such an arbitrary result" as the one in this case. Majority Op. at 618. While I sympathize with my colleagues' concern that the statute commands a harsh result, I do not see that as a reason to rewrite it.
Consider what Congress was trying to accomplish here. The in forma pauperis statute seeks to balance two competing goals: on the one hand, affording poor people easier access to the courts, and on the other, shielding the courts from the never-ending deluge of meritless prisoner litigation. Congress is uniquely positioned to balance open-ended policy goals of this type, and our role as judges is to discern the balance Congress struck by faithfully interpreting the statutory text. Still, Congress could have left much of the balancing to us, adopting a loose standard with broad room for judicial discretion. Instead, it gave us concrete rules. One of them-designed to address the problem of "serial filers"-is the "three-strikes" rule of § 1915(g).
Rules of this sort are invariably over- and under-inclusive, appearing harsh in some cases and lenient in others. As a result, my colleagues' concern to avoid an "arbitrary" interpretation misses the point. A "three-strikes" rule is arbitrary almost by definition. Why not four strikes? Or five? Or fifteen? The answer may simply be that many members of Congress are baseball fans. From our perspective, it does not matter. Congress decided to draw the line at three, and our sole job is to count. When we do, it becomes clear that Taylor already has three strikes and may not proceed without paying the filing fee. And even under my colleagues' interpretation, Taylor would be barred from proceeding in forma pauperis if there were four district-court actions on appeal.
*627The real force of my colleagues' reasoning is that the statute as written seems too harsh: inmates will have to pay the filing fee, which many of them cannot afford, to get appellate review of whether their third strike was proper. I too have sympathy for inmates in that position. Indeed, the statute is particularly harsh here, because all three dismissals were handed down on the same day, leaving Taylor unable to appeal any of them in forma pauperis . But the statute says what it says, and it is Congress's job-not ours-to rewrite it if it produces unduly harsh results. Taylor asks us to do just that, and my good colleagues in the Majority indulge that request. I would follow the statute and require Taylor to pay the full filing fee. For that reason, I respectfully dissent.
In no event shall a prisoner bring a civil action or appeal a judgment in a civil action or proceeding under this section 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.
See, e.g. , Mongeau v. City of Marlborough ,
What about interlocutory appeals? We need not concern ourselves with them, for all "strikes" are final orders: the text requires a dismissal of the entire "action" for one of the specified grounds, which is necessarily "final" for purposes of § 1291.
According to Einstein's special theory of relativity, two events separated in space can occur at the same time from the perspective of one observer, but at different times from the perspective of an observer in another inertial reference frame. Einstein was right, and many experiments have borne out his predictions. But these relativistic effects are negligible at everyday speeds, so it is hard to think that Congress legislated with them in mind. After all, the Ninth Circuit doesn't observe our court's proceedings from a spaceship zooming past us at half the speed of light. Litigation just doesn't move that fast. Cf. Texas Nat'l Bank v. Sandia Mortg. Corp. ,
I agree with the Majority that the statute provides, independently of the word prior, that each dismissal must occur before the appeal is filed. The statute forbids an inmate to "bring a civil action or appeal a judgment in a civil action or proceeding under this section" if each of three prior actions or appeals "was dismissed" for one of the specified grounds.
Some readers may have noticed that page three of this opinion, above, contains at least four different variations on "prior precedent." But I suspect many missed it, precisely because this minor redundancy is unremarkable. Those who did notice surely did not conclude that "prior" must have some alternative meaning.
This is a consequence of the Supreme Court's holding in Coleman . Suppose that four dismissals had become final on the same day, and that Taylor appealed all four of them the following day. In each appeal, the dismissals in the other three cases would immediately count as strikes under Coleman . The Majority's holding would save only one of the four dismissals from counting as a strike in each appeal.
Reference
- Full Case Name
- Therl TAYLOR, Plaintiff - Appellant, v. Virginia GRUBBS; Pamala Smith ; Ann Hallman; Sherman Anderson, Present Chief; Valerie Jones; Supervisor Randall Williams; John Pate; Allendale Fairfax County-City, Defendants - Appellees. Therl Taylor, Plaintiff - Appellant, v. John Pate; Randall Williams; Teresa Ramsey; Connie Buehner; LT. Carter, SCDC; SCDC; Jane DOE, Employees; John DOE, Employees; Pamela Smith, AI Grievance Coordinator, Defendants - Appellees. Therl Taylor, Plaintiff - Appellant, v. Walter Worrick; Virginia Grubbs; Pamela Smith; SCDC LT MR C Hartley; John Pate; Bryan Stirling; Jane Does; John Does, Defendants - Appellees.
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