Lead Opinion
OPINION OF THE COURT
Plaintiff Kareem Hassan Millhouse, a prisoner at USP Lewisburg, appeals from an order of the United States District Court for the Middle District of Pennsylvania denying his motion to proceed in forma pauperis (“IFP”).
Initially, this Court must decide whether Millhouse is eligible for IFP status on appeal under the Prison Litigation Reform Act (“PLRA”). We conclude that
Turning to the merits of the underlying decision by the District Court, we will vacate the District Court’s, order and remand for further proceedings.
I.
On August 22, 2014, Millhouse filed a pro se complaint against several prison employees, alleging constitutional violations under the Bivens doctrine. In a May 5, 2015 order, the District Court denied Millhouse’s motion for. leave to proceed IFP, dismissed his complaint under 28 U.S.C. § 1915(g) without prejudice to refiling if Millhouse submits the full filing fee, and denied his motion for leave to amend (as well as his motion for a preliminary injunction and for leave to add exhibits). In its accompanying memorandum, the District Court identified five,.strikes pursuant to § 1915(g) and found that Millhouse failed to establish that he was under imminent danger of serious physical injury.
Acting pro se, Millhouse filed a notice of appeal on May 19, 2015. On june 15, 2015, he moved to proceed with this appeal IFP. On November 6, 2015, we stayed the instant case pending Millhouse v. Sage, C.A. No. 14-3845, another appeal filed by Mill-house. On February 11, 2016, the Court issued its opinion in Sage. In this disposition, we. determined that only one of the putative strikes- cited by the District Court actually qualifies as a strike: Milhouse v. Bledsoe, No. 10-cv-0053,
While this appeal was stayed, the District Court considered two other pro se actions filed by Millhouse: Milhouse v. Heath, No. 15-cv-00468 (M.D. Pa.) (“Heath II”), and Milhouse v. Doe, No. 16-cv-00146 (M.D. Pa.).
In his Heath II ■ complaint (filed on March 9, 2015), Millhouse claimed that prison officials violated the Eighth Amendment by housing him with another inmate who posed a risk of danger to him. In an October 27, 2015 order, the District Court stated that Millhouse’s motion to proceed IFP (construed as a motion to proceed without full prepayment of the filing fee) “is GRANTED,” “Miihouse’s complaint is DISMISSED without prejudice for failure to state, a claim upon which relief may be
On January 27, 2016, 'Millhouse filed his complaint in Doe against three unidentified Third Circuit judges. According to Millhouse, a Third Circuit opinion falsely asserted that he had confessed to committing a crime, and this opinion was accessed by other inmates on a law library computer, who then harassed and assaulted Mill-house. In a February 24, 2016 order, the District Court stated that Millhouse’s motion to proceed IFP (again construed as a motion to: proceed without full prepayment of the filing fee)- “is GRANTED,” “Mil-house’s- complaint is DISMISSED WITH PREJUDICE for failure to state a claim upon which relief may be granted pursuant to 28 U.S.C. § m5(e)(2)(B)(i%)? “[t]he Clerk of Court shall CLOSE this case,” and “[a]ny appeal from this order will' be deemed frivolous, not taken in good faith and lacking probable cause.” (A285.) In a footnote, the District Court explained that Millhouse “has only named defendants who have absolute immunity” and that it would be inequitable to grant him an opportunity to file an amended complaint against those defendants. (A285 n.l.) According to :the District Court’s memorandum, the judges were entitled to absolute, immunity .from monetary -damages because Millhouse’s claims were based on actions taken in the exercise of their official duties. Noting that Millhouse appeared to claim he was in danger of future assaults and sought a transfer out of the federal prison system, the District Court also concluded that he clearly failed to state a cognizable .claim. Millhouse did not allege any facts indicating that prison officials, failed to protect him, and he also did not name any prison officials as defendants in his complaint. A prisoner, in turn, has no justifiable expectation that he will be. incarcerated in a particular facility. “While there is no indication that Milhouse initiated this lawsuit with malicious intentions, the complaint is suitable for summary dismissal under the in forma pauperis statute because it fails to articulate an arguable factual or legal basis under federal law.” Milhouse v. Doe, No. 16-cv-00146,
The stay of this appeal was lifted on April 5, 2016, Subsequently, the motion to proceed IFP was referred to a merits panel, and the Court indicated that it would benefit from the appointment of counsel to address the following issues:
(1) whether the dismissal in [Heath II] qualifies as a strike for purposes of 28 U.S.C. § 1915(g); compare McLean v. United States,566 F.3d 391 , 396 (4th Cir. 2009) (cited in Ball v. Famiglio,726 F.3d 448 , 460 n.17 (3d Cir. 2013)), with Orr v. Clements,688 F.3d 463 , 465 (8th Cir. 2012); (2) whether the dismissal in [Doe] qualifies as a strike; see Ball,726 F.3d at 460-63 ; (3) if these dismissals qualify as strikes, whether their timing precludes Appellant from proceeding in forma pauperis in this appeal; (4) if this Court decides that Appellant has three strikes, whether he is under imminent danger of serious physical injury for purposes of § 1915(g); and (5) if this Court decides that Appellant qualifies for in forma pauperis status on appeal, whether the District Court’s decision on appeal should be vacated.
(A18-A19.)
II.
The District Court had subject matter jurisdiction pursuant to 28 U.S.C. §§ 1331 and 1343. We possess appellate jurisdiction under 28 U.S.C. § 1291. We exercise plenary review with respect to the proper interpretation of the PLRA and its three strikes rule. See, e.g., Ball,
III.
28 U.S.C. § 1915(g) limits a prisoner’s ability to obtain IFP status:
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.
In Byrd v. Shannon,
Thus, we adopt the following rule: a strike under § 1915(g) will accrue only if the entire action or appeal is (1) dismissed explicitly because it is “frivolous,” “malicious,” or “fails to state a claim” or (2) dismissed pursuant to a statutory provision or rule that is limited solely to- dismissals, for such reasons, including (but not necessarily limited to) 28 U.S.C. §§ 1915A(b)(l), 1915(e)(2)(B)(i), 1915(e)(2)(B)(ii), or Rule12(b)(6) of the Federal Rules of Civil Procedure.
Id. at 126.
“The ‘three strikes’ provision was ‘designed to filter out the bad claims and facilitate consideration of the good.’ ” Coleman v. Tollefson, — U.S. —,
A. Strikes and the Notice of Appeal
It is undisputed that, while Millhouse filed his notice of appeal on May 19, 2015 (and his IFP motion on June 15, 2015), his second and third putative strikes—Heath II and Doe—accrued on October 27, 2015 and February 24, 2016. On November 6, 2015, this appeal was stayed pending our disposition in Sage. Sage was decided on February 11,:2016, and this Court lifted its stay on April 5, 2016. Millhouse’s motion for leave to proceed with his appeal IFP still remains pending. According to Appel-lee,s and Judge Ambro’s partial dissent and concurrence, these dismissals count as strikes for purposes of this appeal because they both, accrued before this Court had granted the IFP motion. Unlike Appellees, Judge Ambro believes that we should then equitably toll these two strikes, and he accordingly would grant Millhouse IFP status. However, we must look to the date the notice of appeal is filed—and not the date that we grant a prisoner’s motion to proceed IFP—in assessing whether a particular dismissal counts as a strike. Strikes that accrue before the filing of the notice of appeal count as strikes—while strikes that accrue after the notice of appeal is filed do not. Because the second and third putative strikes accrued after Millhouse filed his notice of appeal, they could not count as strikes for purposes of this appeal.
We begin, as we must, with the statutory language. See, e.g., Abdul-Akbar,
None of the cases cited by Appel-lees (or the partial dissent and concurrence) actually considered the meaning of § 1915(g) and its “appeal a judgment in a civil action or proceeding” language. Accordingly, they did not resolve the specific question of whether we should look to the date of filing of the notice of appeal or the date that we rule on a prisoner’s IFP' motion in assessing whether a dismissal counts as a strike. 28 U.S.C. § 1915(a)(1) provides that “any court of the United States may authorize the commencement, prosecution or defense of any suit, action or proceeding, civil or criminal, or appeal therein, without prepayment of fees or security therefor, by a person who submits an affidavit that includes a statement of all assets such prisoner possesses that the person is unable to pay such fees or give security therefor.” Relying on this provision, we have indicated that, when a litigant submits a complaint with an IFP motion, the complaint is duly filed after
In contrast, this Court has, at least implicitly, indicated that we must look to the filing of the notice of appeal as the proverbial trigger for deciding whether dismissals count as strikes. Tallying the plaintiffs strikes, we observed in Ball that, out of the ten purported strikes, three of the dismissals did not count as strikes because they were not final “when Ball filed the appeals before us now.”
According to Appellees and Judge Am-bro’s partial dissent and concurrence, the term “bring” under § 1915(g) refers to the time when an IFP motion is granted. However, § 1915(g) distinguishes between “bring[ing] a civil action,” on the one hand, and “appealing] a judgment in a civil action or proceeding,” on the other hand. “The word ‘appeal’ does occur as the object. of the verb ‘brought’ later in Section 1915(g), in reference to a prisoner having ‘brought an action or appeal’ on 3 prior occasions and accrued strikes as a result”
We believe that our approach is consistent with both legislative intent and basic principles of fairness. Congress enacted the PLRA “to limit the filing of frivolous and vexatious prisoner lawsuits,” Abdul-Akbar,
Based on our ruling in Urrutia, the partial dissent and concurrence proceeded to “equitably consider the date of commencement for three-strikes purposes as June 15 (when Millhouse filed his IFP request) due to our Court’s delay.” (Id. at 168.) Howev
Because the second and third putative strikes accrued after Millhouse filed his notice of appeal, they could not count as strikes for purposes of this appeal. Mill-house has only one strike and is eligible for IFP status on appeal.,
B. Heath II and Doe
Even if we were to count Doe and Heath II (which we do not), Millhouse would still only have two strikes—Bledsoe and Doe. Accordingly, he is still eligible for IFP status on appeal. In Sage, we determined that Bledsoe (which accrued before the filing of his notice of appeal) qualifies as a strike. Sage, 639 Fed,Appx. at 793-94. Because the District Court explicitly and correctly concluded that the complaint revealed an immunity defense on its face and dismissed with prejudice, for failure to state a claim upon which relief may be granted, pursuant to § 1915(e)(2)(B)(ii), Doe also qualifies as a strike. However, we adopt the Fourth Circuit’s approach in which a dismissal without prejudice for failure to state a claim.does not rise.to the level of a strike. Under this rule, Heath II thereby does not qualify as a strike.
. Under § 1915(e)(2)(B)(ii), the court shall dismiss the case at any time if it determines that the .action “fails to state a claim on which relief may be granted.” In Ball, we held that a dismissal based on immunity does not constitute a strike, unless the district court “explicitly and correctly concludes that the complaint reveals the immunity defense on its face and dismisses [with prejudice] the unexhausted complaint under Rule 12(b)(6) or expressly states that the ground for the dismissal is frivolousness.” Ball,
■ In McLean, the Fourth Circuit’s majority opinion considered at some length the question of “whether a dismissal without prejudice for failure to state a claim counts as a strike under § 1915(g).” McLean,
Furthermore, this Court’s own ruling in Rail clearly weighs in favor of McLean. Even Appellees acknowledge that Ball “held that a dismissal -based on the affirmative defense of failure to exhaust may be a strike when the applicability of the defense is clear from the face of the complaint and the dismissal is with prejudice.” (Appellees’- Brief at 19-20.) The Ball Court adopted the same “with prejudice” requirement with respect to dismissals based on the defendant’s immunity. See Ball,
The second part of the rule requires that the dismissal based' on failure • to exhaust, pursuant to Rule 12(b)(6), be with prejudice. “We assume that Congress is aware of existing law when it passes legislation/’ Miles v. Apex Marine Corp., [498 U.S. 19 , 32,111 S.Ct. 317 ,112 L.Ed.2d 275 (1990) ], and Congress used the language of Rule 12(b)(6) in the PLRA’s three strikes provision. See 28 U.S.C. § 1915(g) (strike accrues on dismissal of an action -that “fails to state a claim upon which relief may be granted”). A dismissal for failure to state a claim under Rule 12(b)(6)' is presumed to be a judgment on the merits unless otherwise specified. See Federated Dep’t Stores, Inc. v. Moitie, [452 U.S. 394 , 399 n.3,101 S.Ct. 2424 ,69 L.Ed.2d 103 (1981) ] ■ (“The dismissal for failure to state a claim-under Federal Rule of Civil Procedure 12(b)(6) is a judgment on the merits.” (citation and internal quotation marks omitted)). “It follows that the type of prior dismissal for failure to state a claim contemplated by § 1915(g) is one that constituted an adjudication on-the merits and prejudiced the filing of a subsequent-complaint with the same allegations.” [McLean,566 F.3d at 396 ]. By contrast, a dismissal for failure to exhaust without prejudice is not an adjudication on the merits. See Cooter & Gell v. Hartmarx Corp., [496 U.S. 384 , 396,110 S.Ct. 2447 ,110 L.Ed.2d 359 (1990) ] (“[Dismissal ... without prejudice is a dismissal that does not opér-ale] as an adjudication upon the merits ..” (alterations in original) (citing and quoting Fed. R. Civ.- P. 41(a)(1)) (internal quotation marks omitted)). Consequently, a dismissal for failure to state a claim on exhaustion grounds without prejudice “does not fall within the plain and unambiguous meaning of § 1915(g)’s unqualified phrase “dismissed ... [for] failure] to state a claim’ ” and “does not count as a strike.” McLean,566 F.3d at 397 (alterations in original). The District Court did not state that any of the dismissals at issue in these appeals were without prejudice, and so they are presumed to be with prejudice, and they “operate[ ] as an adjudication on the merits.” Fed. R. Civ. P. 41(b).
Id. at 460 n.17.
Appellees argue that Heath II constitutes a strike under McLean because the District Court expressly determined
C. The District Court’s IFP Ruling
Granting the motion to proceed IFP on appeal, we will vacate the District Court’s denial of Millhouse’s IFP motion and remand for further proceedings. Appellees concede that, should we grant IFP status and reach the merits of the underlying District Court decision, this decision should be vacated. With the exception of Bledsoe, the cases cited by the District Court do not constitute strikes under § -1915(g). See Sage,
IV.
We grant Millhouse’s motion to proceed IFP on appeal. We will vacate the District Court’s order denying his IFP motion and remand for further proceedings consistent with this opinion.
Notes
. It appears that Millhouse has spelled his name as "Milhouse.” Although the District Court also used this spelling, his prison records spelled his name as "Millhouse.”
. Because we determine that Millhouse does not have three strikes,, we need not (and do not) decide “whether he is under imminent danger of serious physical injury for purposes of § 1915(g).”
. We express our thanks to Mr. Fogdall and Ms. Hanlon for their excellent work in this matter.
. In fact, we have held that a notice of appeal cannot be rejected merely because the filing fee has not been paid. See, e.g., Lee v. Superintendent Houtzdale SCI,
. Similarly, the issue in Oatess was whether a district court could dismiss a plaintiffs complaint sua sponte for failure to state a claim after the plaintiff was granted IFP status but before service of process occurred. Oatess,
. We again mote that the Supreme Court abrogated BalL in part, generally holding that “a prior dismissal ... counts as a strike even if the dismissal is the subject of an appeal.” Coleman,
. In addition to the concerns of basic fairness articulated above, there is a practical obstacle to Appellees’ position that we should determine eligibility for IFP status on the date the Court rules on a prisoner's motion to proceed IFP. Appellees' position would render such motions extremely time-sensitive. That is, when the Court decides to grant IFP status, we would need to rule on the issue immediately. If there was any lapse between the determination and the ruling, we would have to return to the issue and verify that IFP status was still warranted.
Concurrence Opinion
dissenting in part and concurring in the judgment
I concur with the result set by my colleagues, but I take a different path in getting there. I do so because I believe that the statutory language, and our comments on it, are clear that an in forma pauperis action begins under 28 U.S.C. § 1915 when a court grants the IFP request and not when the appeal is filed. Because we have not granted that request of Millhouse, we must determine if he has accrued two more strikes since his appeal. Because he has, he normally would be barred from proceeding with IFP status in this appeal, as he has three strikes that typically forestall filing further claims absent paying full filing fees. However, I believe our precedent in Urrutia v. Harrisburg County Police Department,
DISCUSSION
A. An IFP Action Commences with the Grant of IFP Status
Section 1915(g) provides
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 qn 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.
(emphases added). Millhouse filed his notice of appeal on May 26, 2015 and his request for IFP status on June 15, 2015. His subsequent strikes accrued after those dates when his complaints were dismissed—October 27, 2015 and February 24, 2016. See Coleman v. Tollefson, — U.S. —,
The answer, I believe, lies in § 1915(a), which creates the right to bring an IFP action. It provides that “any court of the United States may authorize the commencement ... of any suit, action, or proceeding, ... or appeal therein, without any prepayment of fees,” brought by an indigent prisoner. The “authorize the commencement” language suggests that an IFP action is not “brought” under the PLRA simply by filing a complaint or appeal. Indeed, we have explained that because
[o]nly the court may authorize the commencement of any suit without prepayment of fees[,] ;.. submitting an - in forma pauperis complaint to the clerk does not' result in commencement of the litigation ... [because] a determination of whether a prisoner has exceeded the allowable number of frivolous or other inadequate in forma pauperis actions will have to be made before the litigation may commence.
Urrutia,
My colleagues believe that an IFP action on appeal begins on filing the notice of appeal.- But they hang their hat on ,§ 1915(g), which does not exist in a vacuum. Rather,-§ 1915(a)-is the statute’s subsection that ■ establishes the right- of an indigent prisoner to avail himself in federal court without. paying the requisite filing fee. It details the process of how such a prisoner can claim that right. .28 U.S.C. § 1915(a)(1) and (2) (a prisoner seeking IFP status shall submit “an affidavit that includes a statement of all assets such prisoner possesses -... [and] the nature of the action, defense or appeal and affiant’s belief that the person is entitled to redress,” as well as “a certified copy of the trust fund account statement ... for the prisoner for the 6-month period immediately preceding the filing of the complaint or notice of appeal....”). Section 1915(g), on the other hand, merely establishes the three-strikes rule, which is nothing more than a limitation on who can claim that right. There is no mention in the statute, and the majority points to none,, that the three-strikes rule, was intended to eclipse the procedural mandate of § 1915(a).
Subsection 1915(g) serves only to exclude serial filers from IFP-status eligibility, a determination that a court will make and, if favorable -to the petitioner, then “authorize” the “commencement” of the IFP action under § 1915(a) if the applicant is not a three-strikes offender. To hold otherwise makes ■§ 1915(g) toothless: its purpose is to screen ineligible IFP applicants. Yet the majority would have a potentially three-strikes-offending prisoner be ablé to initiate an action before that screening process was complete simply by filing a complaint or a notice of appeal. That is inconsistent with both the purpose of § 1915(g) and Congress’s established process in claiming the right under § 1915(a). Per the PLRA,- an IFP action begins when a court determines that-an indigent prisoner seeking IFP-status is eligible to do so.
B. Millhouse Has Three Strikes
Thus, given that Millhouse’s appeal has yet to commence for IFP purposes because there has been no decision by this Court to grant him IFP status, we next must decide if he has accrued two additional strikes during the pendency of his IFP application. - - ■ ■
The first questionable strike relates to the dismissal without prejudice of Mill-house’s complaint in Heath II. Millhouse claimed there that prison officials had violated his Eighth Amendment rights by housing him with a dangerous cellmate and failing to protect him. Because Mill-house only alleged fear of possible future assault, and because that could not be the basis for relief, the District Court dismissed his complaint without prejudice for failure to state a claim under the PLRA and also dismissed his claims without leave to amend (as amendment would be futile).
Millhouse argues, and the majority holds, that dismissal without prejudice cannot count as a strike under the PLRA. Although most Circuits hold that there is
The Heath II dismissal without prejudice was also without leave to amend. If dismissal worthy of strike-status under the PLRA must “prejudice[] [the prisoner from] the filing of,a subsequent complaint with the same allegations,” McLean,
The next questionable strike arises from the dismissal of Millhouse’s complaint in Doe, in which he filed an action against three unnamed Third Circuit judges for stating in an opinion that Millhouse had confessed to committing a crime and/or cooperated with the Government, and this public exposure threatened his safety in prison^ The District Court dismissed with prejudice the complaint for failure to state a claim under the PLRA because the judges were entitled to absolute immunity in the exercise of their official duties. See § 1915(e)(2)(B)(ii). It also determined that Millhouse’s additional claim for injunctive relief (that he not be housed in the particular prison he was placed) failed to state a claim under the PLRA and dismissed that claim with prejudice. It then denied Mill-house leave-to amend his complaint because that was futile.
Millhouse argues that Doe was not “correct,” and that under a liberal pleading standard he should have the opportunity to amend his complaint to include non-immune defendants. - He asserts he would have added the prison officials who allegedly allowed other inmates to access the relevant Third Circuit opinion on the computers in the prison’s law library.
This argument goes nowhere. Although immunity is- typically’ an affirmative defense that should be asserted in an answer, dismissal is nonetheless warranted in the PLRA context if the immunity defense is clear on the face of the complaint. Ball v. Famiglio,
Accordingly, Heath II and Doe, in combination with Bledsoe (which we held to be a strike in' Sage), are three qualifying strikes against Millhouse.
C. Equitable Tolling of Millhouse’s Strikes
Although Millhouse has three strikes against him, it is overly'prejudicial to bar him access to the Court given the particular facts of this appeal, While the action has not yet begun because we have not granted Millhouse’s IFP application, we should consider the date he filed the appeal (or at least the request for IFP status). The decision to grant or deny an IFP request is made at a court’s convenience, and' thus substantial delay might ensue.
That is what happened here. Millhouse filed a notice of appeal and an IFP request in May and June 2015, ■ respectively; the Clerk’s Office took no action on the IFP request until it, stayed the case five months later in November 2015 (pending the resolution of, Sage); and two strikes accrued during the Court’s delay and mandated stay of the proceedings. That is, the latter two strikes only accrued for the purposes of this appeal due to our Court’s delay.
In Urrutia a prisoner filed his IFP request and complaint, no action was taken by the court, and then he sought to amend his complaint to add defendants even though by that time the statute of limitations had run.
Other .Circuits have taken this approach. See, e.g., Robinson v. Clipse,
The same outcome should occur here. Had our Court made a prompt (at least within five months) ruling on Millhouse’s IFP request or become aware more quickly of the substantial overlap between this case and Sage, the question of whether these Idter strikes apply would not be an issue. Accordingly, we should take the Ur-mtia approach, equitably consider the date- of commencement for three-strikes purposes as June 15 (when Millhouse filed his IFP request) due to our Court’s delay, and rule that the strikes in Heath II and Doe do not apply to that request because they did not accrue prior to Millhouse making it.
# # # #
In summary, we should vacate the District Court’s dismissal of Millhouse’s com
. The Majority also relies on the Federal Rules of Appellate Procedure for its misreading of the PLRA. That reasoning is odd, given that the PLRA (in both § 1915(a) and (g)) does not distinguish between when an- IFP action can be brought in district court or appealed. They are treated the same, and thus to base a holding on such a reading is out of place. Moreover, the statute, not the Federal Rules of Appellate Procedure, controls.
. Denton involved the application of former § 1915(d) of the PLRA, which was amended by Congress and is now currently § 1915(e)(2)(B).
