Antonio Pearson v. Prison Health Ser Inc

NOT PRECEDENTIAL
UNITED STATES COURT OF APPEALS
FOR THE THIRD CIRCUIT
___________
No. 11-3897
___________
ANTONIO PEARSON,
Appellant
v.
PRISON HEALTH SERVICE;
SOMERSET COMMUNITY HOSPITAL;
MEDICAL DIRECTOR R. MCGRATH;
CHCA MR. VISINSKY; CHCA OVERTON;
SYLVIA GIBSON; GERALD L. ROZUM;
CAPT. PAPUGA; LT. DOYKA;
SGT. RITTENOUR; ROBERT SOLARCZYK;
JOHN DOE-1; TAMMY MOWRY;
SUSAN BARNHART; DR. PAUL NOEL;
KAREN OHLER; DR. SAMUEL WATTERMAN;
MELINDA SULLIVAN; D. TELEGA;
DON KLOSS; CRAIG HOFFMAN;
KUMUDA PRADHAN; D. RHODES;
THOMAS MAGYAR; DENISE THOMAS;
D. BEDFORD; COI FOUST;
LINDA KLINE; RAYMOND SOBINA;
COI HEALTH
____________________________________
On Appeal from the United States District Court
for the Western District of Pennsylvania
(D.C. Civil Action No. 3-09-cv-00097)
District Judge: Honorable Kim R. Gibson
____________________________________
Submitted Pursuant to Third Circuit LAR 34.1(a)
February 15, 2013
Before: SCIRICA, JORDAN and GREENBERG, Circuit Judges
(Opinion filed March 11, 2013)
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OPINION
___________
PER CURIAM
Antonio Pearson appeals the District Court‟s order granting Appellee‟s motion for
summary judgment. For the reasons below, we will vacate the District Court‟s order and
remand for further proceedings.
Factual and Procedural History
Because we write primarily for the parties, we will set forth only the facts and
procedural history that are helpful to our discussion. In April 2009, Pearson, a state
prisoner, filed a civil rights complaint. Pearson alleged that he had complained to several
defendants of a constant sharp pain in his abdomen. It was not until the next day that
Pearson was taken to a hospital for an emergency appendectomy. After his return to the
prison, he was again in pain and had blood flowing from his penis. Again, Pearson
complained to several defendants but it was not until the next day that he was taken back
to the hospital to repair a cut to his urethra, which apparently had happened during the
surgery.
2
The District Court adopted the Magistrate Judge‟s Report and Recommendation to
dismiss the complaint for failure to state a claim, despite Pearson‟s requests for leave to
amend his complaint. On appeal, we concluded that several of Pearson‟s allegations
stated a claim for deliberate indifference to his serious medical needs. We vacated the
dismissal and remanded the matter to the District Court. Pearson v. Prison Health Serv.,
348 F. App‟x 722 (3d Cir. 2009).
Pearson filed an amended complaint. The Magistrate Judge recognized that the
law of the case required him to order service of the complaint on defendants Kline,
Rhodes, Papuga, and McGrath. He ordered Pearson to provide copies of the amended
complaint for service on those defendants.1 He recommended dismissing the rest of the
complaint.
McGrath filed an unsuccessful motion to dismiss and later filed a motion for
summary judgment. The Magistrate Judge recommended granting summary judgment on
the merits to McGrath and dismissing the complaint as to the remaining defendants for
lack of prosecution pursuant to Poulis v. State Farm Fire & Casualty Co., 747 F.2d 863,
868 (3d Cir. 1984). The District Court adopted the Report and Recommendation over
Pearson‟s objections and ordered that “summary judgment be granted to the remaining
defendants.” Pearson filed a timely notice of appeal. We have jurisdiction pursuant to 28
U.S.C. § 1291.
1
The issue of when Pearson supplied copies of the amended complaint is discussed
3
Analysis
Whether the Report and Recommendation was issued prematurely
Pearson argues that the Magistrate Judge issued the August 18th Report and
Recommendation before his time to respond to an order issued earlier in the month had
expired. On June 21, 2011, Pearson requested an extension of time to respond to the
motion for summary judgment because he stated that he had not received discovery from
McGrath. In an order entered August 4, 2011, the Magistrate Judge instructed Pearson to
file a motion to compel “immediately” and specify the discovery matters in dispute. The
Magistrate Judge indicated that he would either order additional discovery or give
Pearson a new deadline to file a response. The order noted that the parties had fourteen
days to object to the portion of the order recommending dismissal of the complaint for
lack of prosecution. No other deadlines were given. In the Report and Recommendation,
which was dated August 17th, and entered on August 18th, the Magistrate Judge
recommended granting summary judgment on the merits to McGrath and dismissing the
complaint as to the remaining defendants for lack of prosecution. Pearson explained that
after receiving the Report and Recommendation on August 20th, before his time to
respond had expired, he concluded that it would be futile to respond to the Magistrate
Judge‟s August 4th order.
below at pages 9-10.
4
Pursuant to 28 U.S.C. § 636(b)(1), “[w]ithin fourteen days after being served
with a copy, any party may serve and file written objections to [] proposed findings and
recommendations as provided by rules of court.” Under Fed. R. Civ. P. 5(b)(2)(C),
service by mail is complete upon mailing. However, Fed. R. Civ. P. 6(d) provides that
when a party must act within a specified time after service and service is made by mail,
three days are added after the period would otherwise expire. See Fed. R. Civ. P. 72(b)
Advisory Committee Notes to 1983 addition (noting that time to respond to Magistrate
Judge‟s recommendation is subject to the rule which provides for additional 3-day period
when service is by mail); see also Grandison v. Moore, 786 F.2d 146, 149 (3d Cir. 1986)
(“When applied to prisoner mail, that [3 day period] may be critically inadequate.
Prisoners have no control over when prison officials will actually deliver mail.”)
Moreover, pursuant to the prison mailbox rule, a prisoner‟s filing is deemed filed on the
date it is delivered to prison officials for mailing. Pabon v. Mahanoy, 654 F.3d 385, 391
n.8 (3d Cir. 2011).
Here, the order was entered on August 4, 2011. Assuming it was served by mail
that day, Pearson should have had until Monday, August 22nd to put a response in the
mail. However, the Magistrate Judge dated his Report and Recommendation on August
17th, it was entered on the 18th, and Pearson received it on August 20th. The premature
Report and Recommendation denied Pearson the opportunity to specify his discovery
dispute and respond to the summary judgment motion. Given that the Magistrate Judge
5
did not set a specific deadline for the motion to compel and in light of the difficulties a
prisoner-litigant faces in responding “immediately,” Pearson was justified in believing he
had fourteen days to respond to the issues raised in the August 4th order. See also Mala
v. Crown May Marina, No. 10-4710, __ F.3d __ 2013 WL 57895, *4 (3d Cir. Jan. 7,
2013) (“We are especially likely to be flexible [in applying procedural rules] when
dealing with imprisoned pro se litigants. Such litigants often lack the resources and
freedom necessary to comply with the technical rules of modern litigation.”)
In adopting the recommendation that summary judgment be granted, the District
Court noted that Pearson had not produced any evidence to refute McGrath‟s evidence.
The District Court did not address Pearson‟s allegations that he was not given an
opportunity to respond to summary judgment and that the Report and Recommendation
was issued prematurely. We conclude that the District Court erred in not allowing
Pearson to respond to the motion for summary judgment after the Magistrate Judge told
him he would be given a new deadline.
Summary Judgment
Because Pearson must be given time to respond to McGrath‟s motion for summary
judgment, we need not address the merits of the District Court‟s decision. However, we
note that the Magistrate Judge implied that Pearson needed to present expert evidence to
show that the delay in receiving medical care was probative of deliberate indifference. It
is not clear that an expert opinion is necessary in this case. See Brightwell v. Lehman,
6
637 F.3d 187, 194 n.8 (3d Cir. 2011).2 Moreover, it is McGrath‟s burden as the movant
to show that there is no genuine issue of material fact. McGrath simply submitted
Pearson‟s medical records, but there was no affidavit attesting to the authenticity or
completeness of the records. McGrath did not submit an affidavit describing his
treatment of Pearson or explaining the reasons for the treatment and its timing. McGrath
did not submit any evidence indicating that the delay in treatment Pearson endured while
allegedly in pain and bleeding from his penis was reasonable. Deliberate indifference can
be shown by a prison official “intentionally denying or delaying access to medical care.”
Estelle v. Gamble, 429 U.S. 97, 104-05 (1976).
Dismissal of Denise Thomas
In a January 12, 2011, Report and Recommendation, the Magistrate Judge
recommended that most of the claims in Pearson‟s amended complaint be dismissed.
With respect to defendant Denise Thomas a/k/a Nurse Jane Doe-1, he concluded that
Pearson had at most alleged negligence on her part for her failure to address Pearson‟s
pain at 1 p.m. the day before his surgery. Pearson filed objections to the Report and
Recommendation. He argued, inter alia, that this Court had already determined that he
had stated a claim against Nurse Thomas (the first nurse to whom he spoke). In our
opinion resolving Pearson‟s earlier appeal, we concluded:
2
If expert testimony is necessary, this would weigh heavily in favor of the appointment
of counsel. See Montgomery v. Pinchak, 294 F.3d 492, 505 (3d Cir. 2002).
7
Pearson, however, has alleged facts raising an inference that defendants
were deliberately indifferent to his suffering and delayed medical care for
non-medical reasons. He alleges, for example, that he complained of
constant and excruciating pain to two nurses but that they provided no
examination or treatment and merely put him on the sick-call list for the
following day. Then, after he continued to suffer excruciating pain, he was
denied a third request to go to the medical unit because he already had been
seen and was on the next day‟s sick call list. . . . These allegations state a
claim for deliberate indifference.
Thus, under the law of the case, the Magistrate Judge should not have recommended
dismissing the claims against Denise Thomas. Moreover, the District Court did not
address Pearson‟s objections or review the January 12, 2011, Report and
Recommendation. In its September 26, 2011, order, it adopted the August 18th Report
and Recommendation and granted summary judgment to the “remaining defendants.”
But the remaining defendants had yet to be served or move for summary judgment.
Dismissal for failure to prosecute
In his August 4th order, the Magistrate Judge stated that the complaint had not
been served on Kline, Rhodes, and Papuga despite an earlier order that Pearson provide
copies of the amended complaint. He informed Pearson that if he did not immediately
provide copies of the complaint and other forms, the complaint would be dismissed for
failure to prosecute. He stated that the parties had fourteen days to object to the portion
of the order that recommended that the amended complaint be dismissed for failure to
prosecute. In the premature August 18th Report and Recommendation, the Magistrate
Judge recommended dismissing the remaining claims for failure to prosecute. While the
8
District Court did not expressly dismiss the remaining claims in its September 26, 2011,
order, it discussed this issue and adopted the Report and Recommendation as the opinion
of the court.
We review the District Court‟s order dismissing the action as a sanction for an
abuse of discretion. Poulis, 747 F.2d at 868. “Dismissals with prejudice or defaults are
drastic sanctions, termed „extreme‟ by the Supreme Court, . . . and are to be reserved for
comparable cases.” Id. at 867-8 (citation omitted). In Poulis, we set forth six factors to
be balanced in deciding whether to dismiss a case as a sanction:
(1) the extent of the party‟s personal responsibility; (2) the prejudice to the
adversary caused by the failure to meet scheduling orders and respond to
discovery; (3) a history of dilatoriness; (4) whether the conduct of the party
or the attorney was willful or in bad faith; (5) the effectiveness of sanctions
other than dismissal, which entails an analysis of alternative sanctions; and
(6) the meritoriousness of the claim or defense.
Id. at 868 (emphases omitted). In determining whether the District Court has abused its
discretion, we examine its balancing of these factors and whether its findings are
supported by the record.
Here, Pearson, as a pro se litigant, would be personally responsible for any delay
in providing copies of the complaint for service. In his brief, Pearson states that he
submitted copies of the complaint in January 2011. In his objections to the August 18th
Report and Recommendation, he explained that he sent copies of the complaint,
summons, and marshal‟s forms and was informed by the Clerk of the District Court that
he needed to fill out waiver forms, which he then sent in. The District Court concluded
9
that Pearson did not date and send in the required forms until August 20, 2011, which it
described as “almost three weeks” after an order to provide them “immediately.”
However, given that no specific deadline was provided and in light of the time needed for
Pearson to receive the order, make copies of the amended complaint, and return the
necessary forms by mail, it was unreasonable to expect Pearson to “immediately”
respond to the August 4th order. See Mala, __ F.3d __, 2013 WL 57895 at *4.
As for any prejudice to the defendants, the Magistrate Judge mentioned that the
defendants would be presented with allegations concerning conduct more than four years
earlier. However, part of that delay was caused by the District Court‟s error in
dismissing the complaint for failure to state a claim and Pearson‟s successful appeal.
Moreover, it was, on this record, inappropriate for the Magistrate Judge to grant
Pearson‟s motions for extensions of time to file the amended complaint and then use that
delay against him in the Poulis analysis. Pearson explained in his motions for extensions
that he needed his medical records but that the defendants would not provide him with
them.
The Magistrate Judge did not discuss any alternative sanctions; he merely stated
that dismissal was the only appropriate sanction. He did not discuss the meritoriousness
of any of Pearson‟s claims. Instead, he criticized inmate medical claims in general:
Inmate complaints often result in the naming of as many defendants as the
inmate can remember . . . even though there is no legal claim against them
in the complaint, no viable legal claim within any likely amendment to the
complaint, and no interest on the part of the inmate in following through.
10
They generate large litigation expenses which divert resources even from
the medical care provided to inmates not to mention other uses the
Commonwealth of Pennsylvania and its taxpayers might have for the
money. This case is a textbook example.
Report and Recommendation at 7. The quoted language has no apparent bearing on the
merits of Pearson‟s claims. Pearson‟s complaints of intense abdominal pain and bleeding
from his penis were the result of documented medical conditions and required medical
treatment outside of the prison. Whether or not Pearson is ultimately successful with his
claims, it does not appear at this juncture that he filed this lawsuit for recreational
purposes or to harass prison personnel. The Magistrate Judge went on to note that
Pearson was the subject of 32 physicians‟ orders and 72 progress notes. However, the
number of entries in the medical records does not necessarily demonstrate that he
received constitutionally sufficient medical care.
We conclude that errors were made in the evaluation of the Poulis factors and that
it was an abuse of discretion to dismiss Pearson‟s complaint as a sanction.
Recusal
Pearson argues that the Magistrate Judge should recuse himself. A judge “shall
disqualify himself in any proceeding in which his impartiality might reasonably be
questioned.” 28 U.S.C. § 455(a). Pearson believes that the Magistrate Judge is biased
against him because Pearson won his earlier appeal. We are confident that the Magistrate
Judge will not harbor any such bias on remand.
11
Pearson also argues that the District Court Judge should have recused himself. He
asserts that defendant Sylvia Gibson and the District Court Judge are friends. We will
leave it to the District Court Judge to address his arguments in the first instance on
remand.
Conclusion
For the above reasons, we will vacate the District Court‟s September 26, 2011,
order and remand for further proceedings.3 The District Court should review Pearson‟s
amended complaint de novo and determine whether any additional claims in the amended
complaint should survive 28 U.S.C. § 1915(e)(2)(B) review. Per our October 16, 2009,
opinion, we have already concluded that the allegations against defendants McGrath,
Kline, Rhodes, Papuga, and Thomas state a claim. Because the District Court erred in
dismissing the complaint for failure to prosecute, the amended complaint should be
served on defendants Kline, Rhodes, Papuga, and Thomas as well as any other defendants
named by Pearson in claims that survive 28 U.S.C. § 1915(e)(2)(B) review. Pearson
should be given time to respond to McGrath‟s motion for summary judgment. The
District Court may wish to consider the appointment of counsel if Pearson is willing to
accept such an appointment.
3
Pearson has requested that his appeal fees be refunded. However, appeal and docketing
fees may not be refunded. Porter v. Dep‟t of Treasury, 564 F.3d 176 (3d Cir. 2009).
12