Jose Ortiz v. D. McBride Sgt. & R.O. Mara, Counselor of Arthur Kill Correctional FacilityJose Ortiz v. D. McBride Sgt. & R.O. Mara, Counselor of Arthur Kill Correctional Facility
In this appeal, we consider whether the exhaustion provision of the Prison Litigation Reform Act (“PLRA”),
This appeal also presents the question whether the due process claim of the plaintiff-appellant, in which he alleges unusually harsh confinement in a special housing unit (“SHU”), can survive a motion to dismiss pursuant to
BACKGROUND
Many of the relevant facts underlying this appeal are set forth in our prior opinion in this case.
Ortiz v. McBride,
The Arthur Kill Correctional Facility is a prison administered by the New York State Department of Correctional Services (“DOCS”). On September 29, 1998, while Ortiz was incarcerated in Arthur Kill, defendant-appellee Sergeant D. McBride, a corrections officer, confronted Ortiz with the allegations of a confidential informant that Ortiz had violated DOCS rules by smuggling drugs into, and selling them within, Arthur Kill. Ortiz denied the allegations.
Four' times, McBride ordered Ortiz to take a urine test in an apparent attempt to establish that he was using (rather than that he had imported or sold) drugs. Each time, the test results were negative. Nonetheless, and despite the fact that the drug smuggling and sale allegations were based entirely on information provided to McBride by the confidential informant, McBride instituted disciplinary proceedings against Ortiz.
On October 2, 1998, the charges against Ortiz were heard in a disciplinary proceeding over which defendant-appellee R.O. Mara, an Arthur Kill counselor, presided (the “Tier III hearing”). The only evidence offered against Ortiz was McBride’s statement that the confidential informant had accused Ortiz of selling drugs in the prison. Based on this evidence alone, Mara concluded that Ortiz had committed a disciplinary violation and sentenced him to ninety days of solitary confinement in the prison’s SHU, as well as loss of packages, commissary, phone, and recreation privileges for that time. Ortiz appealed the decision through the channels established within DOCS for such review.
During the first three weeks of Ortiz’s SHU sentence, he asserts, prison officials confined him to his cell twenty-four hours a day. He was not permitted to shower “for weeks at a time,” was denied deodorant and toothpaste, was served meals later than other inmates, and “was not given eating utensils, causing plaintiff to eat with the same fingers he was unable to properly wash.” First Amended Compl. If 11. Ortiz’s clothes were also “purposely drenched with baby oil.”
Id.
Further, according to
After fifty-seven days in the Arthur Kill SHU, and while his DOCS appeal was pending, Ortiz was transferred to DOCS’s Fishkill Correctional Facility. There he was placed in SHU for the remaining thirty-three days of his sentence. Ortiz complains that while in the Fishkill SHU, he was “double-bunked,” that is, forced to share the cell, which had only one toilet, with another inmate. According to Ortiz, the inmate with whom he shared his cell posed a physical threat to Ortiz. Ortiz does not assert, however, that he submitted formal DOCS grievances with respect to SHU conditions in either prison.
DOCS’s Director of Special Housing/Inmate Disciplinary Program, Donald Sel-sky, ultimately reversed Ortiz’s disciplinary ruling in a document titled “Review of Superintendent’s Hearing.” It stated, without explanation: “[Y]our Superintendent’s Hearing of October 7, 1998, has been reviewed and reversed on December 28, 1998.” The ruling came on the ninetieth and final day of Ortiz’s SHU confinement.
On July 6, 1999, Ortiz, acting
pro se,
filed a complaint in the United States District Court for the Eastern District of New York asserting causes of action under
The district court appointed counsel for Ortiz. On November 6, 2001, counsel filed a First Amended Complaint on Ortiz’s behalf.
The defendants then moved pursuant to
This constitutes my opinion in the case: The Court is compelled to dismiss the case. The main problem that the court saw in the papers was the problem of lack of a test of the veracity of the informer who apparently provided the basis for the complaint by the sergeant. However, there is no point in pursuing that matter since the administrative proceedings within the prison resulted in dismissal of the complaint. So that the plaintiff has obtained all that could be obtained on that issue.
With respect to the conditions within the cramped cell, the Court is compelled under the decisions of the Court of Appeals for the Second Circuit to dismiss those complaints. The Court of Appeals for the Second Circuit requires a very high standard of abuse. It has to be atypical and significant hardship under Cohn [v. Howard ], 215 F.3d [227] (2d Cir.2000), and other opinions of the Second Circuit.
Moreover, it is very clear that the Second Circuit in general requires special incarceration of more than 101 days. That is Cohn,215 F.3d at 232 ....
The showering and other personal issues, in connection with other circumstances, may constitute an abusive situation. However, in view of the release from these circumstances within the prison within the 90 days, and dismissal on the main issue, under the cases the Court believes it has no alternative but to dismiss.
The Court of appeals in Neal [u] Goord,267 F.3d 116 [2d Cir.2001], required dismissal for failure to exhaust administrative remedies. In this case the exhaustion with respect to the main issue resulted in a favorable decision for the plaintiff. The oral testimony as well as other information before this Court does not make clear any exhaustion with respect to these other issues.
Ortiz,
Ortiz appealed. In a per curiam opinion, we ordered that appellate counsel be appointed for Ortiz and invited counsel to ask that this case be heard with other pending appeals involving related PLRA issues, id. at 196, which he later did. We identified four issues to be addressed “[i]n addition to any other arguments counsel may choose to raise.” Id. They were,
(1) whether Ortiz’s proffered evidence that he administratively exhausted his Eighth Amendment claim satisfies the requirements of § 1997e(a); (2) whether § 1997e(a) requires “total exhaustion” and, if so, whether Ortiz may now withdraw any unexhausted claims; (3) whether Ortiz’s factual allegations that the conditions of his confinement in SHU were unusually harsh sufficed to raise the question of whether that confinement implicated a constitutionally protected liberty interest so as to preclude 12(b) dismissal; (4) whether Ortiz’s complaint adequately pled, or could be amended adequately to plead, that the defendants are subject to supervisory liability, under the test described in Wright v. Smith,21 F.3d 496 , 501 (2d Cir.1994), for the alleged Eighth Amendment violations.
Id.
Ortiz concedes that his Eighth Amendment cruel and unusual punishment claim is not viable because (1) his complaint did not name the prison officials responsible for his allegedly abusive treatment during SHU confinement, and (2) the named defendants did not possess supervisory authority over the unnamed prison officials responsible for Ortiz’s SHU treatment. Accordingly, Ortiz concedes that there is no issue of supervisory liability in this case. We thus limit our review to the first three of our questions.
DISCUSSION
I. Standard of Review
“We review a dismissal granted under
II. The Status of Ortiz’s Claims
All parties agree, as do we, that Ortiz has exhausted his available administrative remedies with respect to his due process claim. He appealed the Tier III hearing and obtained a reversal. He did not appeal to the highest level of DOCS, but inasmuch as he obtained a favorable determination regarding his due process claim, no such further appeal was required.
See Abney v. McGinnis,
There is no basis, however, for us to conclude that Ortiz exhausted his available administrative remedies with respect to his Eighth Amendment claim. He alleges only that he complained orally, to no avail, about the SHU conditions which are the subject of the claim. According to his complaint, “When plaintiff complained of the inhumane conditions, corrections officers threatened that he would be physically beaten and charged with additional infractions.” First Amended Compl. ¶ 12. Although in some circumstances threats by prison guards may render administrative remedies “unavailable” for purposes of section 1997e(a),
see Hemphill v. State of New York,
III. Ortiz’s Due Process Claim
If Ortiz’s Fourteenth Amendment due process claim relating to his disciplinary hearing failed to state a claim upon which relief can be granted, the claim could be dismissed pursuant to
“[T]o present a due process claim, a plaintiff must establish (1) that he possessed a liberty interest and (2) that the defendant(s) deprived him of that interest as a result of insufficient process.”
Giano v. Selsky,
As a result of the Tier III hearing, Ortiz was sentenced to ninety days in SHU. According to his complaint, his treatment while in SHU was unusually harsh.
To be sure, with respect to “normal” SHU confinement, we have held that a 101-day confinement does not meet the
Sandin
standard of atypicality.
Sealey v. Giltner,
We need not delineate the precise contours of “normal” SHU confinement. For present purposes, it is sufficient to note that, ordinarily, SHU prisoners are kept in solitary confinement for twenty-three hours a day, provided one hour of exercise in the prison yard per day, and permitted two showers per week.
Palmer,
In order for his due process claim to survive defendants’
Ortiz’s First Amended Complaint thus successfully states a Fourteenth Amendment due process claim. We must therefore decide whether the district court was nonetheless correct in dismissing Ortiz’s action in its entirety because the Eighth Amendment claim had not been administratively exhausted.
TV. The Dismissal of Ortiz’s Action
A.
Ortiz’s First Amended Complaint, as we have discussed, contained two claims: one alleging a violation of the Fourteenth Amendment with respect to which he had
Suits by prisoners.
(а) Applicability of administrative remedies. No action shall be brought with respect to prison conditions undersection 1983 of this title, or any other Federal law, by a prisoner confined in any jail, prison, or other correctional facility until such administrative remedies as are available are exhausted.
Id.
Because Ortiz “brought” this action in which he asserted a claim with respect to which “such administrative remedies as are available” had not been exhausted, the action was improperly “brought” under the language of
We note at the outset that if
Having jurisdiction, we proceed to examine the language of the statute to determine if it tells us whether “mixed” actions must be dismissed in their entirety.
See, e.g., Hughes Aircraft Co. v. Jacobson,
We thus find ourselves in a position similar to the Supreme Court’s in
Rose v. Lundy,
B. Legislative History; Practical and “Policy” Considerations
We follow Rose’s guidance by looking-first to
Looking at the statute’s legislative history in a more general sense, the purpose of the PLRA, originally enacted as Pub.L. No. 104-134, 110 Stat. 1321 (1996), which sets forth a broad set of rules governing litigation by prisoners in federal courts, was plainly to curtail what Congress perceived to be inmate abuses of the judicial process.
See generally
3 Michael B. Mushlin,
Rights of Prisoners
§ 16:1 (3d ed.2003); Margo Schlanger,
Inmate Litigation,
116 Harv. L.Rev. 1555, 1565-69 (2003). To effect this goal, Congress erected an array of procedural barriers designed to make it more difficult for inmates to bring suit in federal court, including what is now codified as
We do not think that a requirement that district courts dismiss “mixed” actions in their entirety would help achieve Congress’s goal of improving the quality of, or judicial efficiency in disposing of, prisoners’
First, there is the danger that such a regime would create an incentive for prisoners to file
Second, as several district courts have pointed out when addressing this issue, it is doubtful that action-dismissal rather than claim-dismissal will do more than require plaintiffs who bring “mixed” actions to refile their claims with the claims that were held by the district court to be unex-hausted simply omitted.
prisoners are likely to simply amend their complaints to eliminate the unex-hausted claims and refile. In that case, courts would be faced with exactly the same claims they could have resolved at the outset.
Id.
Scott v. Gardner,
Third, prisoners’ actions may present questions as to whether one or more claims have been exhausted that are not only genuine, but challenging for the courts to decide.
See, e.g., Abney v. McGinnis,
We are not the first Circuit to address the “complete exhaustion” issue based on considerations of policy and practicality. In
Ross v. County of Bernalillo, supra,
the Tenth Circuit concluded, contrary to our view, that
Emphasizing comity principles, the [Bose] Court reasoned that the total exhaustion doctrine would 1) encourage prisoners to seek full relief first from the state courts, thus giving states the first opportunity to review claims of- error, 2) create a more complete factual record that will aid federal courts in their review, and 3) relieve district courts of the difficult task of deciding whether multiple claims are severable.
Ross,
The Tenth Circuit’s carefully reasoned argument does not, however, convince us, primarily because we think its heavy reliance on Rose and habeas “total exhaustion” principles is misplaced.
The principles underlying habeas corpus exhaustion and
The [habeas] exhaustion doctrine is principally designed to protect the state courts’ role in the enforcement of federal law and prevent disruption of state judicial proceedings. Under our federal system, the federal and state courts are equally bound to guard and protect rights secured by the Constitution. Because it would be unseemly in our dual system of government for a federal district court to upset a state court conviction without an opportunity to the state courts to correct a constitutional violation, federal courts apply the doctrine of comity, which teaches that one court should defer action on causes properly within its jurisdiction until the courts of another sovereignty with concurrent powers, and already cognizant of the litigation, have had an opportunity to pass upon the matter.
Rose,
And unlike the state court proceedings to which we defer in habeas proceedings, in prison administrative proceedings prison officials are generally not required to adhere to rules of evidence or other standards employed by courts of law in an attempt to assure accurate fact-finding.
See Wolff v. McDonnell,
In any event, a rule permitting the dismissal of unexhausted claims does indeed defer to state administrative proceedings by insisting that prison administrators adjudicate each prisoner’s
Two other differences between
First,
Prisoners’
Second, a claim in a habeas application dismissed by a federal court because it is unexhausted may well yet be capable of exhaustion in the state courts and subsequent reassertion in a federal habeas proceeding.
Rose,
There is thus a prospect that a district court that proceeds with exhausted habeas claims but dismisses unexhausted claims will be required to examine twice, separately, the same interconnected series of facts underlying the conviction' — once when the initially exhausted claims are heard and once when the subsequently exhausted claims are heard. Under those circumstances, as the Supreme Court observed, “both the courts and the prisoners should benefit” from a requirement that all claims be dismissed so that all claims can later be heard at the same time, “for as a result the district court will be more likely to review all of the prisoner’s claims in a single proceeding, thus providing for a more focused and thorough review.”
Rose,
But unexhausted prisoners’ 1983 claims, once dismissed, are unlikely ever to be revived in the district court. And even if they are, they may well be about facts unrelated to those underlying the claims of which the court has already disposed. Addressing them in a separate proceeding may therefore involve relatively little duplication of effort. “[Rjesolving all of a prisoner’s civil rights claims together may [therefore] be less important” in
At the end of the day, then, we do not think that requiring district courts to dismiss the entirety of any prison-conditions action that contains exhausted and unex-hausted claims, and thereby requiring prisoners to institute their actions containing only the exhausted claims in federal court all over again, is a meaningful way to “reduce the quantity and improve the quality of prisoner suits,”
Porter,
We note, finally, that we expect that, in the ordinary case, once the district court dismisses the unexhausted claims, it will proceed directly to decide the exhausted claims without waiting for the plaintiff to attempt to exhaust available administrative remedies with respect to the dismissed claims. We see no reason to doubt that this is such an “ordinary” case.
CONCLUSION
For the foregoing reasons, we vacate the judgment and remand the case to the district court for further proceedings.
Notes
. As we have noted, Ortiz now concedes that his Eighth Amendment claim is not viable in any event. That does not alter the fact that Ortiz "brought,”
see
.
See, e.g., Ross,
. One Circuit has concluded, without explanation, that the language of the statute requires such dismissal.
Graves v. Norris,
In
Ross v. County of Bernalillo, supra,
which we discuss in some detail below, the Tenth Circuit concluded that dismissal of a "mixed” action was required, but relied on the language of the statute only in passing.
See Ross,
.Four district courts in this Circuit, by rejecting a "total exhaustion" rule, have at least implied that the language of
The Sixth Circuit, in several unpublished opinions, has tentatively adopted a rule that it need not dismiss "mixed” actions in their entirety, implying that
We ourselves have at least twice in the PLRA context permitted exhausted claims in "mixed” suits to survive dismissal of unex-hausted claims.
See Davis v. New York,
.
Dismissal.
(1) The court shall on its own motion or on the motion of a party dismiss any action brought with respect to prison conditions undersection 1983 of this title, or any other Federal law, by a prisoner confined in any jail, prison, or other correctional facility if the court is satisfied that the action is frivolous, malicious, fails to state a claim upon which relief can be granted, or seeks monetary relief from a defendant who is immune from such relief.
(2) In the event that a claim is, on its face, frivolous, malicious, fails to state a claim upon which relief can be granted, or seeks monetary relief from a defendant who is immune from such relief, the court may dismiss the underlying claim without first requiring the exhaustion of administrative remedies.
Id.
. Moreover, while
. In some cases a particular prisoner’s incentive to split claims created by a total exhaustion rule would likely be mitigated by other factors, such as a desire to avoid paying multiple filing fees or risking incurring three "strikes.” A "strike” is incurred when a prisoner brings an action or appeal that the court dismisses on the ground that it is "frivolous, malicious, or fails to state a claim upon which relief may be granted.”
. For this to happen, of course, the remaining exhausted claims must not be subject to dismissal on other grounds, such as the provisions of
.
. Ortiz urges us to look to the claim exhaustion approach that courts have applied in the context of federal anti-discrimination laws such as Title VII, the Americans with Disabilities Act, and the Age Discrimination in Employment Act. (Blue 27-30) The goals of the
anti-discrimination
laws to provide and implement a broad, remedial scheme preventing such discrimination, see, e.g.,
Edelman v. Lynchburg Coll.,
.
Johnson v. Testman,
. We express no view as to whether the result of our analysis would be the same if the prison grievance time-limits were materially longer than they are in New York State.
. It is possible that if exhausted claims in mixed
In that case, though, there would arise another reason for a total exhaustion rule in habeas cases that does not fully obtain in