STEVEN PATRICK HARDY, Aрpellant v. ARIF SHAIKH; JULIAN GUTTIEREZ-MOLINA; THEODOR VOORSTAD; JOHN DOES 1-10; JANE DOES 1-10; PENNSYLVANIA DEPARTMENT OF CORRECTIONS
No. 19-1929
United States Court of Appeals for the Third Circuit
May 20, 2020
2020 Decisions 523
On Appeal from the United States District Court for the Middle District of Pennsylvania (D.C. No. 1-18-cv-01707). Magistrate Judge: Hon. Karoline Mehalchick. Argued: January 14, 2020.
Opinions of the United States Court of Appeals for the Third Circuit
5-20-2020
Steven Hardy v. Arif Shaikh
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Recommended Citation
“Steven Hardy v. Arif Shaikh” (2020). 2020 Decisions. 523. https://digitalcommons.law.villanova.edu/thirdcircuit_2020/523
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Before: JORDAN, GREENAWAY, JR., and KRAUSE, Circuit Judges
Chavez-Freed Law
2600 North 3rd Street, 2nd Floor
Harrisburg, PA 17110
Counsel for Appellant
Michael C. Hamilton
Emily B. Ryan-Fiore
Tiffany R. Temas [Argued]
Weber Gallagher Simpson Stapleton Fires & Newby
Four PPG Place, 5th Floor
Pittsburgh, PA 15222
Counsel for Appellees Arif Shaikh, Julian Guttierez-Molina, and Theodor Voorstad
J. Bart DeLone
Howard G. Hopkirk [Argued]
Josh Shapiro
Office of Attorney General of Pennsylvania
Strawberry Square
Harrisburg, PA 17120
Counsel for Pennsylvania Department of Corrections
OPINION OF THE COURT
This case presents the question of whether and under what circumstances a misrepresentation renders a grievance process “unavailable” within the meaning of the Prison Litigation Reform Act (“PLRA“),
I. FACTUAL BACKGROUND1
Steven Patrick Hardy entered the Camp Hill State Correctional Institute (“Camp Hill“) in July 2017 in urgent
need of medical care: he had previously had part of his leg amputated due to diabetes and had developed an infected open wound as a result of an ill-fitting prosthesis. Typically, inmates entering Camp Hill were transferred immediately to a prison block, where they were given a copy of a Camp Hill inmate hаndbook explaining, among other things, the inmate grievance process, where grievance forms could be obtained, and that the grievance process required inmates to appeal rejected grievances. But Hardy‘s first days at Camp Hill were not typical. Because of his physical ailments, he was brought immediately to the infirmary and remained there for his first week at Camp Hill. And because he was not allowed personal belongings in the infirmary, he was not given the inmate handbook but rather was told it would be waiting for him in his prison block. Relying on this assurance, Hardy signed a form acknowledging receipt of the handbook despite not yet hаving laid eyes on it.
When Hardy arrived at his block, however, the handbook was not there. And Hardy‘s ensuing efforts to obtain the
Consequently, while Hardy was aware that a grievance process existed at Camp Hill, he did not know that at Camp Hill, like other Pennsylvania state prisons, exhausting that grievance process requires inmates to complete three steps. Inmates must first submit a written grievance to the Facility Grievance Coordinator and must then file two levels of appeals: first to the Facility Manager and then to the Secretary‘s Office of Inmate Grievances and Appeals.
As Hardy‘s leg wound festered, he complained to medical staff about his deteriorating condition and was advised to file a grievance. That much was sound advice, as it directed Hardy to begin the internal process required to exhaust the prison grievance procedure.
Consistent with the first step of that process, Hardy filed a grievance explaining that a particular medical provider at Camp Hill had refused to give him bandages and antibiotic ointment for his wound. This grievance was rejected on procedural grounds because it was not “legible, understandable, and presented in a courteous manner.” App. 74. Hardy then submitted a more courteous grievance
Hardy then filed a grievance responsive to this rejection. Now, instead of discussing only a single incident during which he alleged to have been denied proper medical care, his allegations provided a much fuller picture of how the medical staff‘s failure to properly treat his leg wound in the months since his arrival at Camp Hill—including declining to follow a doctor‘s recommendation to transfer him to an offsite medical facility for treatment—had caused his wound to deteriorate. He also explained how his fear that more of his leg would need to be amputated was causing him mental distress and that his request for mental health treatment had been denied.
Although the grievance process normally required grievances to be filed within fifteen days of any incident and Hardy discussed conduct from months ago, his grievance was not “precluded solely by the fact that [these ongoing issues] started outside” the normal fifteen-day time limit because it described a continual pattern of conduct. App. 177. But it was rejected for a different reason: The grievance process required “different events [tо] be presented separately” and Camp Hill‘s grievance coordinator (the prison staffer responsible for reviewing and processing grievances) apparently read this rule to require separate grievances for mental and physical harms. App. 80.
Unsure of how next to proceed, Hardy again turned to prison staff for advice, asking his counselor, the prison staffer
Unaware of this requirement—and doing his best to interpret the rule that “different events . . . be presented separately,” App. 80—Hardy submitted eight new grievances, this time subdividing the pattern of conduct he described in his third grievance into separate grievances by date. But these grievances too were rejected, this time largely due to yet another procedural requirement: now that Hardy had separated his allegations by date rather than discussing a continual pattern of conduct, his grievances were rejected as time barred.3 Several weeks later, Hardy submitted one last grievance and finally received a review on the merits. This grievance too was rejected, with the reviewer finding Hardy‘s
In total, between December 27, 2017 and March 30, 2018, Hardy filed no less than twelve grievances seeking medical care for his worsening condition, all of which were rejected on varying grounds. A few months after the last rejection, Hardy‘s fears came to pass and mediсal staff found it necessary to amputate more of his leg.
II. PROCEDURAL BACKGROUND
Based on these events, Hardy filed a complaint bringing claims under
rejected grievances, he had not exhausted that step of Camp Hill‘s grievance process, but argued his suit could still proceed because that step was not available to him. Having determined an evidentiary hearing was necessary to resolve the exhaustion issue, the District Court heard testimony from Hardy, from Camp Hill‘s grievance coordinator, Tonya Heist, and from an officer with the Secretary‘s Office of Inmate Grievance and Appeals.
After the hearing, the District Court granted summary judgment for the defendants, holding that because the entire grievance process was available to Hardy, his failure to appeal his rejected grievances rendered his claims unexhausted. In so holding, the District Cоurt properly recognized that, under the Supreme Court‘s decision in Ross v. Blake, a prison grievance process is unavailable—and thus may be deemed exhausted—in three circumstances: (1) when the remedy “operates as a simple dead end—with officers unable or consistently unwilling to provide any relief to aggrieved inmates“; (2) when it is “so opaque that it becomes, practically speaking, incapable of use“; and (3) “when prison administrators thwart inmates from taking advantage of a grievance process through machination, misrepresentation, or intimidation.” 136 S. Ct. 1850, 1859–60 (2016). But the District Court determined that none of these circumstances described Hardy‘s experience with the Camp Hill grievance process.
The Court based that determination on a number of factual findings. Although it made no finding as to whether Hardy had
III. JURISDICTION AND STANDARD OF REVIEW
The District Court had jurisdiction under
IV. DISCUSSION
The District Court‘s holding that the grievаnce process was available to Hardy was premised on its assumption that only a “clear misrepresentation” by prison staff may thwart an inmate‘s use of a grievance process. We are therefore called on to clarify Ross‘s third genre of unavailability: when does a “misrepresentation” render a grievance process unavailable?
Below, we first consider whether the misrepresentation must be “clear” or whether a statement that is merely misleading or deceptive may suffice. Second, we consider what showing is required to establish that an inmate‘s use of the grievance process was thwarted by misrepresentation. Finally, we measure Hardy‘s showing against that standard to determine if the grievance process here was available to him and, accordingly, whether his suit may proceed.
A. The Meaning of the “Misrepresentation” Under Ross
While the District Court assumed that only a “clear misrepresentation” by prison staff can render remedies unavailable, our precedent says otherwise.
We have long recognized that misleading as well as clearly erroneous statements can render a grievance process unavailable, beginning with our 2002 decision in Brown v. Croak, 312 F.3d 109 (3d Cir. 2002). There, we held that an inmate who failed to file a formal grievance had nonetheless sufficiently complied with the PLRA‘s exhaustion requirement because he had received “misleading” instructions from prison staff: “security officials told [him] to wait for the termination of [an internal] investigation before commencing a formal
We most recently reiterated this legal standard in Rinaldi v. United States, where we characterized Brown as finding an inmate‘s use of the grievance process thwarted when “he was given misleading filing instructions.” 904 F.3d at 267; see also Robinson v. Superintendent Rockview SCI, 831 F.3d 148, 153 (3d Cir. 2016) (relying on Brown to define when a grievance process is unavailable); Small, 728 F.3d at 271 (same).
Our sister circuits, too, have uniformly found that instructions that are merely misleading but not necessarily clear misrepresentations can thwart an inmate‘s use of a grievance process. For example, in Davis v. Hernandez, the Fifth Circuit held that administrative remedies were unavailable to an inmate who was told that the prison‘s grievance process involved only a single step when it in fact involved two, applying the rule that “[g]rievance procedures
Although the Supreme Court has not explicitly defined what qualifies as a “misrepresentation” that “thwart[s] inmates from taking advantage of a grievance process,” its reasoning in
This approach is also cоnsistent with the statutory purposes of the PLRA exhaustion requirement. That requirement was intended to “return control of the inmate grievance process to prison administrators“; to “encourage development of an administrative record, and perhaps settlements, within the inmate grievance process“; and to “reduce the burden on the federal courts by erecting barriers to frivolous prisoner lawsuits.” Spruill v. Gillis, 372 F.3d 218, 230 (3d Cir. 2004). But those benefits cannot be realized unless the grievance process to be exhausted is actually available to inmates and faithfully followed by the prisons. That is why we require prisons to “reasonably communicate[]” remediеs to prisoners, Small, 728 F.3d at 271, and—recognizing that just as
That is also why it is imperative that prisons refrain from not only clear misrepresentations, but also misleading statements. If prisoners conclude they cannot trust prison staff to give them reliable advice and instructions about the grievance process, they “will be more likely either to bypass internal procedures entirely and file a complaint in federal court or use a federal lawsuit to prod prison officials into a response, thus taxing the judicial resources that Congress meant to conserve by passing the PLRA.” Robinson, 831 F.3d at 155. Accurate advice, in contrast, allows for “grievance systems that provide—and that are perceived by prisoners as providing—a meaningful opportunity for prisoners to raise meritorious grievances.” Woodford v. Ngo, 548 U.S. 81, 102 (2006).
In sum, based on both precedent and the purposes of the PLRA, it was error for the District Court to premise exhaustion on a “clear misrepresentation.” Misleading or deceptive instructions from a prison official can also render a grievance process unavailable.
B. The Shоwing Required to Establish Thwarting of the Grievance Process
Having established that a misleading instruction may qualify as a “misrepresentation” under Ross, we now consider
As we explained in Rinaldi, the burden to plead and prove that he was thwarted rests on the inmate: “once the defendant has established that the inmate failed to resort to administrative remedies, the onus falls on the inmate to show that such remedies were unavailable to him.” 904 F.3d at 268 (citation omitted). But while the burden of proof may be clear, the showing required to meet it is not. To date, no Court of Appeals hаs articulated a clear test for when an inmate has established that a grievance process is unavailable to him because a misrepresentation thwarted his use of that process.
Here again, however, Rinaldi paves our way. In that case, we fashioned a test to establish when another type of prison conduct identified in Ross—“intimidation“—so thwarted an inmate‘s use of the grievance process as to render it “unavailable.” Rinaldi, 904 F.3d at 268–69. The inquiry, we explained, must include an objective and subjective component. Id. We described “[t]he objective component [as] of chief importance because it maintains the exhaustion requirement for the vast majority of claims and allows otherwise unexhausted claims to proceed only in the exceptional circumstance where the facts alleged would reasonably give rise to a substantial fear of serious harm.” Id. at 268. The subjective requirement, on the other hand, ensures that an inmate seeking to be relieved of the exhaustion requirement actually has been thwarted from using the grievance process. Id. at 269. Thus, we concluded, an inmate must show both “that the threat was sufficiently serious that it
These same considerations lead us to adopt an analogous two-part test for when an inmate‘s use of a grievance process is thwarted by misrepresentation. As an objective matter, taking account of the speaker and context, the instruction must be of the sort that a reasonable inmate would be “entitled to rely on,” even though it is “at odds with the wording” of the grievance process. Brown, 312 F.3d at 112; see also Davis, 798 F.3d at 296 (finding “no reason that [the inmate] should not be entitled to rely on the representations of his jailers“). It also must be so misleading to a reasonable inmate as to interfere with his use of the grievance process. Brown, 312 F.3d at 113; see also Townsend, 898 F.3d at 783–84; Davis, 798 F.3d at 296. These requirements will ensure that “otherwise unexhausted claims . . . proceed only in . . . exceptional circumstance[s].” Rinaldi, 904 F.3d at 268.
As a subjective matter, the inmate must persuade the district court that he in fact did rely on the misrepresentation to his detriment. As in the threat context, Rinaldi, 904 F.3d at 268–69, objectively misleading instructions can be circumstantial evidence that an inmate‘s use of the grievance process has been thwarted, but a further showing—such as “documents, affidavits, or live testimony if deemed warranted,” id. at 269—will typically be required. And in any event, that circumstantial evidence can be overcome by evidence that an inmate actually knew how to navigate the grievance рrocess despite the misleading instructions. Id.; cf. Dillon v. Rogers, 596 F.3d 260, 268 (5th Cir. 2010) (“When a
This test for assessing misrepresentations not only provides an administrable and consistent framework for the third category of “unavailability” under Ross: It also promotes Congress‘s goals in requiring exhaustion under the PLRA.7 If the objective prong is the stick, discouraging prison staff from misleading inmates about the grievance process, the subjective prong is the carrot, encouraging prisons to impart knowledge of their grievаnce process by “reasonably communicat[ing]”
C. Application to Hardy
As we have established today, to defeat a failure-to-exhaust defense based on a misrepresentation by prison staff, an inmate must show (1) that the misrepresentation is one which a reasonable inmate would be entitled to rely on and sufficiently misleading to interfere with a reasonable inmate‘s use of the grievance process, and (2) that the inmate was actually misled by the misrеpresentation. Applying that test here, Hardy has met his burden on both prongs.
First, the prison counselor‘s instruction that Hardy respond to his rejected grievances by “fill[ing] out another one and send[ing] it in,” App. 187, satisfies the objective prong. It was made to him by his assigned counselor, the prison staff member to whom inmates were encouraged to make such inquiries and who was expected to have accurate information about the grievance process. It was also sufficiently misleading to interfere with a reasonable inmate‘s ability to navigate the grievance process. In effect, the counselor advised—just as in Davis—that the grievancе process contained only a single step when it in fact required more. See 798 F.3d at 296 & n.2 (finding the appeals step of a grievance process unavailable when “there were [no] factual circumstances such that [the prisoner] reasonably should have known—despite the jail staff‘s misrepresentation otherwise—that the grievance process had a second step” (emphasis omitted)). And, while
Second, Hardy made the requisite showing under the subjective prong. According to his testimony at the evidentiary hearing—credited by the District Court—he was “clearly aware a grievance process existed at Camp Hill,” App. 11, but he was unaware that this grievance process required him to file an appeal. As Hardy explained in his testimony, he did not receive a handbook when he first entered Camp Hill because he spent his first week in the infirmary where he was not permitted personal belongings, and he only signed the acknowledgment that he received the handbook because he was told it would be left in his prison block. As it turned out, it was not there; his subsequent requests for it went unanswered; and his attempts to go to the library, the only place he could read a copy of the grievance manual, were rebuffed—twice.8 Accord Townsend, 898 F.3d at 783–84 (noting that a
misrepresentation was “magnified” because the prisoner was denied access to the library and thus had no way to “verify” the official‘s misstatements).
On the flip side, the defendants produced no evidence that Hardy was aware of the appeal requirement. The defendants conceded at oral argument that they have no basis to dispute Hardy‘s representation that Camp Hill does not permit inmates to have personal belongings in the infirmary and that Hardy did not receive the handbook when admitted. So unable to impute knowledge based on Hardy‘s access to the handbook or the grievance manual, defendants instead argue that Hardy should have known of the appeals requirement because he received rejections and because he had a duty “to take affirmative action to ascertain his rights and responsibilities under the grievance policy” by consulting other inmates and prison staff. Gov‘t Defs.’ Br. 17.
Whether viewed as relevant to the objective or subjective prongs, these arguments only lend further support to Hardy.9
The grievance rejections provided an array of explanations, none of which was the failure to appeal, and they included no information or instruction about the next step an inmate should take; indeed, they did not even mention the word “appeal.” In addition, Hardy did take “affirmative action to ascertain his rights“: he asked his counselor, who misled him. It is no answer—where a prison has refused to provide an inmate with access to written information about the grievance process, provided no guidance in its rejections, and affirmatively misled the inmate—that the inmate should have sought advice from fellow prisoners. We will not “allow[] jails and prisons to play hide-and-seek with administrative remedies” in this manner, “keep[ing] all remedies under wraps until after a lawsuit is filed and then uncover[ing] them and proclaim[ing] that the remedies were available all along.” Goebert v. Lee County, 510 F.3d 1312, 1323 (11th Cir. 2007).
In short, the prison had the duty in the first instance to “reasonably communiсate[]” its policies to Hardy. Small, 728 F.3d at 271. Instead, it provided misleading instructions on which a reasonable inmate would rely and on which the undisputed record shows Hardy did rely to his detriment. All “available” remedies were exhausted.
For these reasons, we will reverse the District Court‘s entry of summary judgment and remand for further proceedings consistent with this opinion.
