Lead Opinion
Pаtrick Booker, an inmate of the South Carolina Department of Corrections
I.
Booker mailed a legal document to the Dorchester County Sherriffs Office on November 8, 2010, but it was returned to him at Lieber Correctional Institution because he had not affixed the mailing address. Booker inspected the letter and noticed a slit along the length of the envelope. According to Booker, the sergeant who returned the mail to him indicated that the “confidentiality of its contents had been compromised.” J.A. 18.
After learning this information, Booker initiated the prisоn grievance process by submitting a form known as a Request to Staff Member (“RSM”). The SCDC grievance process consists of several steps. Inmates must first try to “informally resolve a complaint” by either discussing their complaint with the appropriate supervisor or, as Booker did, by submitting an RSM form. J.A. 52. If informal resolution proves unsuccessful, inmates may submit a formal grievance to the Inmate Grievance Coordinator within fifteen days of the incident (known as a Step 1 grievance), with appeals to the SCDC’s central Grievance Branch (a Step 2 grievance) and eventually to the South Carolina Administrative Law Court. The SCDC has a policy document titled “Inmate Grievance System,” which provides that “[n]o inmate will be subjected to reprisal, retaliation, harassment, or disciplinary action for filing a grievance or participating in the resolution of a grievance.” J.A. 57-58.
Booker’s RSM, which he addressed to the “Mailroom,” made its way to Appellee Sylvia Jones, the mailroom supervisor at Lieber. J.A. 83-84. In his RSM, Booker objected to the prison’s opening of and tаmpering with his legal mail and added that he intended to pursue civil and criminal remedies if he found his mail meddled with again.
Jones contends that in addition to filing the RSM, Booker verbally threatened her regarding the mail incident — a fact that Booker disputes. What is undisputed is that shortly after receiving the RSM, Jones submitted an “Incident Report” recommending that Booker be charged with an “809” disciplinary offense of “Threatening to Inflict Harm on/Assaulting an Employee and/or Members of the Public.” J.A. 71, 84. An 809 offense is a Level 2 Disciplinary Offense, which carries penalties of disciplinary detention, loss of accrued good behavior time, and loss of visitation, employment, television, and other privileges. J.A. 67-68, 71. A hearing was later held on the disciplinary charge, at which Booker was found not guilty because he had made “legal threats” against Jones, not physical threats. J.A. 77.
In June 2012, Booker, proceeding pro se, filed suit in state court against Jones, SCDC, and two other SCDC employees, Ann Sheppard and Thierry Nettles. Booker alleged, along with other state and federal claims, that Jones filed a false disciplinary charge against him in retaliation for his submission of the RSM form. J.A. 18-19, 32. Booker identified the First Amendment as the source of this claim: “Sylvia Jones, Ann Sheppard and Thierry Nettles are liable unto Plaintiff in their
In its order granting the motion, the district court explained that a First Amendment retaliation claim under § 1983 consists of three elements: (1) the plaintiff engaged in constitutionally protected First Amendment activity, (2) the defendant took an action that adversely affected that protected activity, and (3) there was a causal relationship between the plaintiffs protected activity and the defendant’s conduct. J.A. 115 (citing Suarez Corp. Indus. v. McGratu,
In the first appeal, this Court vacated the district court’s summary judgment order as to Booker’s claim that Jones violated his First Amendment rights by submitting a disciplinary charge in retaliation for the grievance Booker submitted. Booker v. S. Carolina Dep’t of Corr.,
On remand, Appellees again moved for summary judgment. The district court did not reach the merits of Booker’s retaliation claim this time, instead determining that Appellees were protected by qualified immunity. The district court specifically found that a “prison inmate’s free speech right to submit internal grievances” was not clearly established. J.A. 136. The court acknowledged that the right was “perhaps sufficiently recognized in other federal circuits.” J.A. 136. But because “there has been no published case law from the Supreme Court of the United States, the Fourth Circuit Court of Appeals, or the Supreme Court of South Carolina that squarely establishes” the right at issue, it concluded the right was not clearly established. J.A. 136-37. Accordingly, the court held that Appellees deserved qualified immunity on the retaliation claim and therefore granted their, motion for summary judgment.
Booker timely noticed this appeal.
II.
We review de novo a grant of summary judgment on the basis of qualified immunity. Durham v. Horner,
Qualified immunity protects оfficials “who commit constitutional violations
The “clearly established” prong lies at the heart of this case — we do not evaluate the merits of Booker’s claim. A “right is clearly established only if its contours are sufficiently clear that ‘a reasonable official would understand that what he is doing violates that right.’” Carroll v. Carman, — U.S. -,
We must consider not only “specifically adjudicated rights,” but also “those manifestly included within more general applications of the core constitutional principles invoked.” Wall v. Wade,
In conducting the clearly established analysis, we first examine “cases of controlling authority in [this] jurisdiction,” Amaechi v. West,
The Supreme Court, in an opinion authored by Chief Justicе Rehnquist, articulated that courts may rely on “a consensus of cases of persuasive authority” to determine whether a “reasonable officer could not have believed that his actions were lawful.” Wilson,
III.
A.
Before we apply these rules to the instant case, we must first define the right at the “appropriate level of specificity,” Wilson,
At the outset, we preempt a possible point of confusion — Booker did not allege in his complaint that he has an absolute right to file prison grievances pursuant to the First Amendment. Rather, Booker alleged that he has a First Amendment right to be free from retaliation when he does file a grievance pursuant to an existing grievance procedure.
The district court should not have limited itself so. To the extent the court considered only the free speech right because Booker mentioned that clause in his pro se complaint, we note that Booker also generally alleged a violation of the First Amendment, J.A. 31, and that courts are obligated to “liberally construe[ ]” pro se complaints, “however inartfully pleaded,” Erickson v. Pardus,
B.
The clearly established inquiry asks whether the state of the law gave a reasonable prison official “fair warning” that retaliating against an inmate who files a prison grievance was unconstitutional.
It is “well established” in this Circuit that a “public official may not misuse his power to retaliate against an individual for the exercise of a valid constitutional right.” Trulock,
As noted, the first step is to consider cases of controlling authority in this jurisdiction. See Owens,
Adams does not stand for- — or even imply — that proposition, however. There, an inmate claimed that when he requested proteсtive custody, the prison officials retaliated against him by, among other things, denying him access to the prison’s grievance process. Adams,
Adams establishes a clear rule: inmates have no constitutional entitlement or due process interest in access to a grievance procedure. An inmate thus cannot bring a § 1983 claim alleging denial of a specific grievance process, for example. But Adams is entirely silent on the issue in this ease — whether an inmate’s First Amendment right is violated when he is retaliated against for submitting a grievance pursuant to аn existing grievance procedure. That a prison is not required under the Constitution to provide access to a grievance process does not mean that prison officials who retaliate against inmates for filing grievances do not violate the Constitution.
As the Eighth Circuit explained nearly three decades ago, there is a very critical distinction between the right of access or entitlement to a grievance process and the right to be free from retaliation for filing a grievance:
Prison officials cannot properly bring a disciplinary action against a prisoner for filing a grievance that is determined by those officials to be without merit anymore than they can properly bring a disciplinary action against a prisoner for filing a lawsuit that is judicially determined to be without merit. That the Constitution does not obligate the state*542 to establish a grievance 'procedure is, we believe, of no consequence here....
Sprouse v. Babcock,
The Eighth Circuit is not alone in finding that although inmates do not have a constitutional entitlement to and/or due process interest in accessing a grievance procedure, they have a First Amendment right to be free from retaliation when they do file. Compare Geiger v. Jowers,
In short, Adams concerns whether inmates have a constitutional entitlement to or liberty interest in accessing grievance procedures. It says nothing about whether a prison official violates an inmate’s First Amendment rights by retaliating against the inmate for submitting a grievance. Therefore, contrary to Appellees’ suggestion, Adams does not speak to the right at issue. As such, neither party has cited cases from courts of controlling authority — the Supreme Court, this Court, or the Supreme Court of South Carolina — that explicitly address an inmate’s First Amendment right to be free from retaliation for filing a prison grievance.
To be sure, as discussed at oral argument, there are unpublished opinions in this Circuit that reference Adams and/or directly address the right in question. One such decision misconstrued Adams to preclude an inmate from bringing a First Amendment claim alleging retaliation in response to his verbal complaints to prison officials. See Daye v. Rubenstein,
We therefore agree with the district court’s conclusion that no published decision from the Supreme Court, this Court, or the Supreme Court of South Carolina squarely addresses whether filing a grievance is protected First Amendment conduct.
The district court, after determining there were no binding cases that squarely established the specific First Amendment right, concluded that the right was not clearly established. J.A. 137. But the clearly established inquiry was not complete: as this Court has stated, and as Booker recognizes, the “absence of controlling authority holding identical conduct unlawful does not guarantee qualified immunity.” Owens,
C.
In the absence of controlling authority that specifically adjudicates the right in question, a right may still be clearly established in one of two ways. A right may be clearly established if “a general constitutional rule already identified in the deci-sional law [ ] applies] with obvious clarity to the specific conduct in question.” Hope,
Arguably, the prohibition on retaliating against inmates for filing grievances was obviously unconstitutional given longstanding principles articulated in controlling authority. It is beyond dispute that prison officials cannot retaliate against inmates for exercising a constitutional right. Tru-lock,
Regardless of whether Booker’s right was obvious or “manifestly apparent” from broader principles in the decisional law, we find that it was clearly established based on a robust “consensus of persuasive authority.” The Second, Sixth, Seventh, Eighth, Ninth, Eleventh, and D.C. Circuits have all recognized in published decisions that inmates possess a right, grounded in the First Amendment’s Petition Clause, to be free from retaliation in response to filing a prison grievance. The Second Circuit, for instance, recognized that an inmate can bring a First Amendment right to petition claim when prison officials “intentionally file[ ] false disciplinary charges against him in retaliation for his cooperation with a state administrative investigation of alleged incidents of inmate abuse at the prison.” Franco v. Kelly,
Even more, the Third, Fifth, and Tenth Circuits have recognized an inmate’s right to be free from retaliation for filing a grievance under the First Amendment (albeit without referencing a particular clause). Mitchell v. Horn,
Given the decisions from nearly every court of appeals, we are compelled to conclude that Booker’s right to file a prison grievance free from retaliation was clearly established under the First Amendment. Consistent with fundamental constitutional principles and common sense, these courts have had little difficulty concluding that prison officials violate the First Amendment by retaliating against inmates for filing grievances. Rarely will there be such an overwhelming consensus of authority recognizing that specific conduct is viola-tive of a constitutional right. The unanimity among our sister circuits demonstrates that the constitutional question is “beyond debate,” and therefore we find that the right at issue was clearly established.
Appellees do not dispute this consensus among the federal appellate courts. They instead argue that there is a “body of case law within the Fourth Circuit that specifically holds prisoners have no constitutional right to file a grievance.” Appellees’ Br. 13. This “body of case law” consists of three published district court opinions from the Western District of Virginia, two of which were issued by the same district judge and do not even mention the First Amendment. See id. at 14. All three decisions erroneously rely on Adams in rejecting an inmate’s claim that he was retaliated against for filing’ grievances. See, e.g., Brown v. Angelone,
These district court decisions do not alter our conclusion that the right was clearly established. First, it is unclear whether we should include district court opinions in the balancing of “persuasive authority.” As the Supreme Court has remarked, “[m]any Courts of Appeals [] decline to consider district court precedent when determining if constitutional rights are clearly established for purposes of qualified immunity.” Camreta,
Our “conclusion that ‘a reasonable person would have known,’ Harlow [v. Fitzgerald,
Here, the SCDC’s detailed policy document concerning the “Inmate Grievance System”
In sum, given the authority discussed above, we conclude that a reasonable prison official had fair warning that retaliating against an inmate who filed a prison grievance was unlawful. Because an inmate’s First Amendment right to be free from retaliation for filing a grievance was clearly established, we find that Appellees are not entitled to qualified immunity on that basis and therefore the district court erred in granting their motion for summary judgment.
IV.
For the foregoing reasons, the judgment of the district court is vacated, and we remand for further proceedings consistent with this opinion.
VACATED AND REMANDED
Notes
. District court opinions, on the other hand, are not decisions of "cоntrolling authority." As the Supreme Court recently explained in an opinion concerning qualified immunity, “[a] decision of a federal district court judge is not binding precedent in either a different judicial district, the same judicial district, or even upon the same judge in a different case.” Camreta v. Greene,
. Following the Supreme Court's lead, several of our sister circuits, like us, have recognized that courts may consider decisions from other circuits in the absence of binding precedent. Werner v. Wall,
. Appellees quibble with the right at issue. They contend that the alleged retaliation was in response to Boоker’s submission of an RSM form — not a grievance. This is simply a matter of semantics. Inmates in the SCDC submit RSM forms to express grievances and initiate the grievance process, and this Court previously classified Booker’s submission of the RSM form as "Booker's grievance,” Booker,
. Indeed, courts have liberally construed complaints even where pro se plaintiffs do not reference any source of law, see Hodge v. Gansler,
. It is worth noting the change in Appellees’ position. Earlier in the litigation, prior to the first appeal, they agreed with Booker that "it has been clearly established that a prison official may not retaliate against an inmate for ... complaining about a prison official’s conduct.” Defs.’ Reply to Pl.’s Response in Opp. to Mot. for S.J., Dist. Ct. ECF No. 48, at 8 (Jan. 17, 2013) (emphasis added).
. We have also found, in an unreported decision, that an inmate could bring a claim alleging he was transferred in retaliation for sending á letter to the mother of a fellow inmate who was severely beaten. Moore v. Bennette,
. The Supreme Court has long held that prisoners "retain the constitutional right to petition the government for the redress of grievances.” Turner v. Safley,
. We treat the "Inmate Grievance System” document as a prison regulation. As the South Carolina Court of Appeals recently explained with respect to this exact document, "[a]l-though SCDC's statements concerning the inmate grievance system are within a document entitled 'SCDC Policy/Procedure,’ they are 'binding norms’ and, thus, more like rules or regulations ... than they are true policy statements.” Ackerman v. S. Carolina Dep't of Corr.,
Dissenting Opinion
dissenting:
Relying on decisions from other circuits, the majority concludes that a prisoner’s right to be free from retaliation for filing a grievance was clearly established in 2010, when the actions giving rise to this lawsuit took place. Even assuming that that right may have been clearly еstablished in other circuits, the case law from this circuit in 2010 could reasonably be understood as foreclosing that claim. See Adams v. Rice,
I.
Qualified immunity works to “avoid excessive disruption of government,” Harlow v. Fitzgerald,
■ As a general rule, we look only to “the decisions of the Supreme Court, this cоurt of appeals, and the highest court of the state in which the case arose” when determining whether the defendant is entitled to qualified immunity. Yates v. Terry,
II.
In the majority’s view, there was no controlling authority from this' circuit in 2010 addressing whether retaliation against an inmate for filing a grievance violates the inmate’s rights under the First Amendment. The majority therefore looks to case law from other circuits, finds a consensus, and holds that an inmate’s right to be free from retaliation fоr participating in the grievance system was clearly established.
I do not disagree that the weight of authority outside this circuit holds that the First Amendment is violated when prison officials retaliate against an inmate for filing a grievance under an established grievance system. Where I disagree with the majority is in its conclusion that case law from this circuit was silent on the relevant
A.
In Adams, a North Carolina inmate requested a transfer to protective custody after he was threatened by other inmates. State prison officials approved that request and directed that the inmate be transferred to the protective custody facility at a different prison. The inmate was never transferred, however, but was instead held in segregation for nine months. He was released from segregation and transferred to another prison after he withdrew his request for protective custody. See Adams,
Proceeding informa pauperis under the version of 28 U.S.C. § 1915 then in effect, the inmate thereafter filed a lawsuit alleging that prison officials, in retaliation for his protective-custody request, had refused to transfer him to the protective-custody facility, “denied him minimum custody status, failed to schedule a parole eligibility date and hearing, and barred his access to the grievance process.” Adams,
The inmate appealed, contending that his complaint at least arguably stated claims of retaliation for the exercise of constitutionally protected rights. Because the Eighth Amendment protects inmates “from physical harm at the hands of fellow inmates resulting from the deliberate or callous indifference of prison officials to specific known risks of such harm,” Pressly v. Hutto,
Given that prisoners’ right to be protected hinges to a large extent on whether the risks are known by the prison officials to exist, it is arguable, that prisoners must perforce have a right to be free from retaliation in reporting such risks to those same officials. Freedom to report such incidents would appear to be an essential ingredient to the exercise of the recognized right to be free from harms prison officials know about and are in a position to prevent.
Adams v. Rice, Brief of Appellant,
This court rejected the inmate’s arguments. We first agreed with the district court that the inmate’s claims were factually frivolous, as there were no allegations in the complaint asserting that the single-cell housing the inmate received was in any way different from the protective custody he requested. See Adams,
We likewise agreed with the district court’s determination that the complaint was legally frivolous. As we explained, “claims of retaliatory actions are legally frivolous unless the complaint implicates some right that exists under the Constitu
Appellant’s assertion of a “right to inform” states only a claim of entitlement to a particular grievance procedure because he seeks, in essence, a means of bringing complaints regarding his incarceration to the attention of prison officials. As other circuits have recognized, there is no constitutional right to participate in grievance prоceedings.
Id. Addressing the specific instances of retaliation by prison officials alleged by the inmate, we explained that the inmate’s claims were doomed by the absence of an underlying constitutional right. See id. As is most relevant to this case, we explained that the inmate’s claim that prison officials prevented him from accessing the prison grievance system was legally frivolous because “the Constitution creates no entitlement to grievance procedures or access to any such procedure voluntarily established by a state.” Id.
B.
The majority reads Adams as holding that “inmates have no constitutional entitlement or due process interest in access to a grievance procedure. An inmate thus cannot bring a § 1983 claim alleging denial of a specific grievance process, for example.” Majority Op. at 541. According to the majority,
Adams is entirely silent on the issue in this case — whether an inmate’s First Amendment right is violated when he is retaliated against for submitting a grievance pursuant to an existing grievance procedure. That a prison is not required under the Constitution to provide access to a grievаnce process does not mean that prison officials who retaliate against inmates for filing grievances do not violate the Constitution.
Id. Because Adams does not “explicitly address” the constitutional right being pressed in this case, id. at 542, the majority dismisses Adams entirely and turns to cases outside this circuit to find the right clearly established.
I believe the majority interprets Adams far too narrowly. Adams makes two separate holdings addressing prison grievance systems. First, Adams holds that an inmate cannot demand a grievance system structured to address whatever complaints he might want to raise. See Adams,
When discussing Adams, the majority acknowledges the second holding only indirectly, by referring to an unpublished opinion that “propеrly applied Adams” to reject an inmate’s constitutional claim based on refusal to supply grievance forms. Majority Op. at 542. The majority, however, never grapples with the implications of Adams’ second holding except to suggest, indirectly, that while there may be no First Amendment right to file a grievance, if a grievance is in
As we explained in Adams, retaliation claims are actionable under § 1983 only if “the complaint implicates some right that exists under the Constitution. That is, plaintiffs must allege either that the retaliatory act was taken in response to the exercise of a constitutionally protected right or that the act itself violated such a right.” Adams,
Accordingly, it seems to me that this court’s decision in Adams affirmatively closes the door to the retaliation claim being asserted here. While there may be no single sentence in Adams that explicitly states that retaliation based on an inmate’s filing of a grievance will not support a constitutional claim under § 1983, the qualified-immunity inquiry does not require that level of specificity. See, e.g., Odom v. S.C. Dep’t of Corr.,
Even if it were somehow possible to draw the majority’s fine, lawyerly line between this case and Adams, it still would not be appropriate to deny qualified immunity. The qualified-immunity inquiry focuses on notice — whether the existing precedent gives the officials “fair notice that they are acting unconstitutionally.” Mullenix v. Luna, — U.S. -,
For the reasons outlined above, I believe that a reasonable prison official could read Adams as permitting the actions that were taken in this case. Indeed, the reasonableness of such a reading is confirmed by the fact that this court has applied Adams in that very way. See Daye v. Rubenstein,
In interpreting qualified immunity ..., we must appreciate the fact that the direction of the law may be difficult to ascertain. Thus, although public officials may be charged with knowledge of constitutional developments, they are not required to predict the future course of constitutional law.... The requirement, after all, is that the law be clearly established, not simply possibly established or even probably established. Since qualified immunity is appropriate if reasonable officers could disagree on the relevant issue, it surely must be appropriate when reasonable jurists can do so.
Swanson v. Powers,
In my view, Adams directly, though not explicitly, forecloses Booker’s retaliation claim. But even if the distinctiоn between this case and Adams that the majority apparently embraces were viable, a reasonable prison official could still conclude that the actions alleged in this case were permissible under this court’s decision in Adams. See Reichle,
C.
I recognize, of course, that other circuits considering the issue have concluded that prison officials violate the First Amendment if they retaliate against an inmate for filing a grievance. Regardless of how compelling the majority may-find the analysis of those cases, they simply are not relevant to our qualified-immunity inquiry.
As this court has frequently explained, “[a] decision of a panel of this court becomes the law of the circuit and is binding on other panels unless it is overruled by a subsequent en banc opinion of this court or a superseding contrary decision of the Supreme Court.” United States v. Collins,
If the majority believes Adams was wrongly decided,
III.
In Adams, this court held that “there is no constitutional right to participate in grievance proceedings.”
Adams is binding authority that directly rejects the constitutional right asserted in this case. The majority errs by ignoring Adams and relying instead on out-of-circuit cases that are inconsistent with our holding in Adams in order to declare that an inmate’s right to be free from retaliation for filing a grievance was clearly established.
. The panel of judges deciding Daye included Judge Wilkinson, who wrote the opinion in Adams. That the author of Adams agreed with the analysis in Daye provides an additional indication of the reasonableness of its analysis.
Although unpublished opinions do not clearly establish constitutional rights and thus cannot be relied upon to impose liability on a government official, see Hogan v. Carter,
. The majority grounds the right at issue in this case in the First Amendment's Petition Clause, and the majority seems to suggest that Adams’ determination that inmates have no constitutional right to participate in grievance proceedings is wrong because exhaustion of remedies is generally required before a prisoner can file a civil action challenging his conditions of confinement. See Majority Op. at 543.1 disagree.
Adams was decided in 1994, before the PLRA made exhaustion of "available” administrative remedies a mandatory prerequisite for all prison-condition lawsuits. 42 U.S.C. § 1997e(a); see Woodford v. Ngo,
