Lead Opinion
This difficult case involves subtle questions of doctrine and important principles of sovereignty and federalism. It centers on allegations of a series of actions by corrections officers employed by the state of New Hampshire, which, if they occurred and were not adequately justified, violated the constitutional and statutory rights of Matthew Kiman. Kiman is a former pris
Kiman sought damages for his injuries under Title II of the Americans with Disabilities Act (ADA), 42 U.S.C. §§ 12131-12165 (1994), and under state law. The district court dismissed his suit against the New Hampshire Department of Corrections, reasoning that under Board of Trustees of the University of Alabama v. Garrett,
I.
A. Facts
When a district court dismisses a case on the pleadings because a state claims immunity under the Eleventh Amendment (or the broader principles that provision embodies) it must take the factual allegations of the plaintiffs complaint as true. Neo Gen Screening, Inc. v. New England Newborn Screening Program,
Matthew Kiman is a former inmate of the State of New Hampshire Department of Corrections who has amyotrophic lateral sclerosis (ALS), a condition also known as Lou Gehrig’s Disease. ALS causes certain nerve cells in the brain and spinal cord to degenerate. Its victims gradually lose the ability to control their voluntary muscles, a process that causes the muscles to atrophy and that eventually leads to total paralysis and death. See generally Understanding ALS: What is ALS?, at http://www.alsa.org/als/whatis.cfm (last visited July 25, 2002). Kiman’s symptoms began to show in April 1998 or earlier, but he was not diagnosed until January 1999. The record does not show the exact dates of his imprisonment, but he' suffered from and was diagnosed with the disease during the imprisonment. His counsel stated at oral argument that he has been released from the Department of Corrections, so that injunctive relief is no longer of any use, and that since the events giving rise to this case his condition has continued to deteriorate.
Kiman says that the Department of Corrections denied a number of requested accommodations for his disability, which he says could easily have been made, and that the denial caused him considerable suffering, which accelerated the progress of his disease. Although he requires a cane to walk, the prison refused to provide one for his daily exercise. Although he said he experienced pain when his hands were cuffed behind his back, his guards continued to do so, refusing to cuff his hands in front of his body instead. Although he was unable to stand while taking a shower, and although he says a chair was ordered for him (he does not specify by whom), his guards refused to provide one, which re
B. History
In April 1999, Kiman filed a charge against the Department of Corrections with the New Hampshire Human Rights Commission. By then, he had been released. The Commission informed him in May 1999 that it lacked jurisdiction over Title II of the ADA, and referred him to the federal Department of Justice. Ki-man’s counsel then engaged in a lengthy correspondence with that Department’s Civil Rights Division that lasted from May 1999 to October 2000, during which time the Division took no action. Finally, Ki-man resorted to federal court.
On April 16, 2001, Kiman filed suit in the District of New Hampshire. He named as defendants the Department of Corrections and thirteen of its officers and employees, each in his or her official and individual capacities. He alleged violations of Title II of the ADA and several state law claims, and sought compensatory and punitive damages.
The defendants moved to dismiss, arguing, first, that Kiman had stated no claim under Title II because Congress exceeded its power under section five of the Fourteenth Amendment when it purported to abrogate the states’ Eleventh Amendment immunity in Title II of the ADA; second, that Title II does not provide a cause of action against state officers in their individual capacities (and that in any event Kiman had failed to state a claim against the official defendants in their individual capacities); and third, that their first two arguments eliminated all of Kiman’s federal causes of action, and that the court should decline to exercise supplemental jurisdiction over Kiman’s claims. Kiman responded primarily by defending Congress’s exercise of its section five power through the ADA.
On December 19, the district court issued a three-page order granting the defendants’ motion to dismiss. Kiman,
On appeal, Kiman challenges the district court’s Eleventh Amendment ruling. He renews his argument that Title II of the ADA was a valid exercise of Congress’s power under section five of the Fourteenth Amendment. The United States has intervened to defend the constitutionality of the statute, and has filed a brief discussing the evidence on which Congress relied to make the legislative findings that support Title II. The Department of Corrections asks us to affirm the district court’s order, arguing in essence that Garrett dictates the outcome in this case.
II.
We review the judgment of a district court granting a motion to dismiss on the basis of a state’s Eleventh Amendment immunity de novo. Mills v. Maine,
A. Background
This case arises in the rapidly changing landscape of the Supreme Court’s recent jurisprudence regarding the states’ immunity from suit by private parties under federal law.
The Court has, however, preserved the rule of Fitzpatrick v. Bitzer,
When Congress attempts to subject the states to private suit using its section five power, these limitations bind tightly. In Florida Prepaid, the Court held that Congress had exceeded its section five power in the Patent and Plant Variety Protection Remedy Clarification Act, 35 U.S.C. §§ 271(h), 296(a) (1994). Although some state violations of individuals’ patent rights do violate the Fourteenth Amendment’s Due Process Clause, Florida Prepaid,
Most recently, in Garrett, the Court held that Congress exceeded the limits of section five when it purported, in Title I of the ADA, 42 U.S.C. §§ 12111-12117 (1994), to abrogate the states’ immunity from private suit. Citing City of Cleburne v. Cleburne Living Center, Inc.,
The Garrett Court reserved the question, however, of whether Congress in passing Title II might have succeeded where it failed in passing Title I. Id. at 360 n. 1. Title I deals with employment, private and public, but Title II is directed entirely
In the aftermath of Garrett, various states have challenged Title II’s abrogation of immunity. The Fifth and Tenth Circuits have held that Title II in its entirety suffers from the same fatal defects as does Title I, so that the states remain immune from suits under Title II. Reickenbacker,
The Second and Sixth Circuits have held, in different formulations of a similar idea, that Title II abrogates state immunity from private suit in some cases but not in others. Garcia,
B. The Eleventh Amendment and as-applied challenges
Much legislation in which Congress invokes its section five power will prohibit at least some state action that is clearly unconstitutional under established judicial definitions of the Fourteenth Amendment — and for which Congress could therefore at least potentially provide a private action against the state. Title II of the ADA, for example, would prohibit the restrictive zoning practice that the Supreme Court held unconstitutional in City of Cleburne. In such cases, of which this is one, Congress may be viewed as simply providing remedies where the judiciary has already found a set of facts to violate the Constitution.
In other cases, as the Court has said repeatedly, Congress may enact valid enforcement legislation that prohibits conduct not in itself unconstitutional. The Court has recently used the Voting Rights Act as an example of permissible legislation enforcing the Fifteenth Amendment. Garrett,
Generally, a court will not strike down a statute as unconstitutional unless it is convinced that the statute is unconstitutional on the facts of a specific case, that is, as applied to the party that argues for unconstitutionality. See United States v. Raines,
In some areas of the law, a party may sometimes argue for a statute’s unconstitutionality even though, as a matter of doctrine, the party’s own interests in the specific case are not directly protected by the Constitution. That argument is a facial challenge, as distinct from a challenge to the statute as applied. The most well-known examples occur in the context of the First Amendment, in the doctrines of overbreadth and vagueness. There, a speaker whose own speech is unprotected (because, for example, it is obscene) may nevertheless escape prosecution for that speech based on an argument that the statute would also apply to protected speech, or is so unclear as to chill protected speech. See Broadrick v. Oklahoma,
This case presents the question of whether New Hampshire may assert its Eleventh Amendment immunity against a suit under Title II alleging conduct by the state’s agents that, if it occurred and was not adequately justified, violated the Constitution,
A review of the Court’s precedent supports our conclusion that this question is as yet unanswered. In Seminole Tribe, the question presented to the Court was
Moreover, Garrett implies that the Court’s recent sovereign immunity jurisprudence is consistent with a step-by-step, as-applied analysis of congressional power to authorize private suits against the states, where the facts of the statutory claim also make out a constitutional one. The Court chose to address only Title I, and to dismiss the writ of certiorari to the extent it covered Title II.
Nor are broadly available facial challenges in Eleventh Amendment and state sovereign immunity cases (where the facts pled amount to a constitutional violation) necessary to preserve the states’ interests in those cases. There is no question in
In a case that involves a constitutional violation, a given suit places no greater burden on a state’s dignity or fisc if the challenged statute also authorizes suits in other cases. In areas where facial challenges are permitted, by contrast, it is often because the particular activity protected by the Constitution — such as the freedom of speech or the right to an abortion — is particularly vulnerable to statutes that discourage without clearly prohibiting its exercise. Broadrick,
C. Title II and the Constitution
As the Sixth Circuit pointed out in Popo-vich, Title II implicates a number of different constitutional protections.
The government says correctly that Title II also functions to enforce other constitutional rights, including the rights “to vote, ... to petition officials for redress of grievances, to receive due process from law enforcement, officials, and to be confined where conditions are humane.”
Thus, we do not rely in this case on the legislative record amassed by Congress in passing Title II of the ADA. The record is substantial, and contains many examples of action by the states themselves that may have violated various provisions of the Constitution. See generally Garrett,
As additional support for our decision, we note that in the years since the Supreme Court decided the landmark case of Estelle v. Gamble,
Accordingly, we hold that Congress acted within its powers in subjecting the states to private suit under Title II of the ADA, at least as that Title is applied to cases in which a court identifies a constitutional violation by the state. We do not need to reach the question of whether Congress acted within its power in subjecting states to private suit under the full scope of Title II. We also do not need to reach the different question of whether, as the Second Circuit concluded in Garcia, Congress’s power might have extended to some of Title II’s nonconstitutional rules but not to others.
D. Kiman’s allegations of constitutional violations
So far, we have mentioned but not explained our conclusion that Kiman has alleged facts sufficient to establish constitutional violations in this case. We now give our reasons for thinking so. It is clearly established that the Eighth Amendment’s prohibition of “cruel and unusual punishment” forbids prison authorities from subjecting a prison inmate to inhumane conditions. See Hope v. Pelzer, - U.S. -, -, -,
knowingly subjecting] him to a substantial risk of physical harm, to unnecessary pain caused by ... handcuffs and [a] restricted position of confinement for a 7-hour period, to unnecessary exposure to the heat of the sun, to prolonged thirst and' taunting, and to a deprivation of bathroom breaks that created a risk of particular discomfort and humiliation.
Id. at 2514. To claim cruel and unusual punishment based on the conditions of confinement, a plaintiff must show deliberate indifference to health or safety on the part of prison officials. Estelle,
Kiman’s allegations meet this standard, at least at this stage of the case. Permitting him the means for his daily walks, cuffing his hands in front rather than in back, providing him with a chair for his shower, exempting him from food lines, and giving him a cell that did not require him to climb stairs are matters of appar
We conclude that Kiman has alleged violations of the Eighth Amendment. Accordingly, we hold that Kiman may proceed with his suit against the Department, because Title II of the ADA as applied to the facts of this case properly enforces the Eighth Amendment (as incorporated against the states by the Fourteenth) and abrogates New Hampshire’s immunity from private suit. It may be that on remand Kiman will fail to prove his allegations, or that the Department, which has not yet answered Kiman’s complaint, may allege and prove other facts that rebut the inference of deliberate indifference. To the extent that Kiman’s allegations may also state violations of Title II that do not violate the Constitution — his complaint refers at one point to a “negligent violation of Title II” — we leave the disposition of those claims to the district court, based on the principles we have set forth, after elaboration of the facts and further briefing by the parties.
III.
After considering the application of Title II of the ADA to the allegations in this case, which describe egregious conduct that, if it occurred and was not adequately justified, violated Matthew Kiman’s constitutional rights, we conclude that Kiman may, consistent with the Eleventh Amendment and the principle of state sovereign immunity, sue the Department of Corrections of the State of New Hampshire. Our decision does not indicate any factual support for Kiman’s allegations; the district court will determine that at a later stage of the proceedings. We reverse the judgment of the district court and remand this case for further proceedings consistent with this opinion.
Notes
. Kiman’s counsel stated at oral argument that Kiman is no longer pursuing the individual defendants.
. Because Kiman can no longer benefit from injunctive relief, and because he has sued the Department of Corrections in its own name, this case does not involve the application of Ex parte Young,
Similarly, although the states are immune from only those private suits to which they have not consented, there is no question of consent in this case and in the text we refer simply to private suits generally.
. The Supreme Court has held that Title II of the ADA applies to state prisons. Pa. Dep't of Corr. v. Yeskey,
. Part II.D of this opinion explains in more detail our conclusion that Kiman has alleged constitutional violations.
. Kiman and the government have urged us to hold that Title II is wholly constitutional. The government has taken in the alternative the position that Title II is constitutional at least as applied to the facts of this case. The district court considered and rejected the theory that we now adopt when it distinguished Garcia, relying on Kiman's failure to allege intentional discrimination in those explicit words.
. Some of these rights are guaranteed by provisions of the Bill of Rights that apply to the states through the Due Process Clause of the Fourteenth Amendment and are thus within Congress’s section five enforcement power. See City of Boerne,
. See generally D. Meltzer, Overcoming Immunity: The Case of Federal Regulation of Intellectual Property, 53 Stan. L.Rev. 1331, 1347-48 (2001) (suggesting that “the validity of a statute that merely regulates unconstitutional conduct itself should not require an additional showing of widespread violations by the states”); Recent Case, Popovich v. Cuyahoga County Court of Common Pleas,
. Garcia placed particular emphasis on the nature of the private cause of action under Title II, which incorporates the implied cause of action under Title VI of the Civil Rights Act of 1964, and on the resulting "measure of latitude” allowed to the courts "to shape a sensible remedial scheme that best comports with the statute.”
. Kiman's allegations may also state a claim under the Fourteenth Amendment's Equal Protection Clause, on the theory that prison officials' actions towards him were irrational and unmotivated by any legitimate basis for government action. See City of Cleburne,
We acknowledge the Sixth Circuit's holding in Popovich that individuals may not sue the states under Title II of the ADA under theories based on equal protection.
Dissenting Opinion
(Dissenting).
With due respect, I disagree with my colleagues regarding the constitutionality
A number of circuit courts have opined on this matter. The Fourth, Seventh, and Ninth Circuits have all ruled that Title II of the ADA does validly abrogate the states’ Eleventh Amendment immunity. See Amos v. Md. Dep’t of Public Safety,
The Fifth Circuit has also addressed the issue, several times. Both pre- and post-Garrett, it held that Title II validly abrogates the states’ Eleventh Amendment immunity. See Coolbaugh v. Louisiana,
Finally, the Eighth and Tenth Circuits have decided that there was no valid abrogation of the Eleventh Amendment when Congress enacted Title II of the ADA. Thompson v. Colorado,
Because I believe we should do likewise and, consequently, affirm the decision of the district court, I respectfully dissent.
. As the majority opinion points out, only the damages action remains. As is well known, equitable relief stands on different Eleventh Amendment footing. See Ex Parte Young, 209 U.S. 123,
