Lead Opinion
Dissent by Judge TALLMAN
OPINION
We consider whether a prison official may place an.inmate in administrative segregation for reporting officer misconduct.
FACTS
California Corrections Officer Quillen was doing rounds when recently trans
Shepard filed a section 1983 suit alleging that Wise retaliated against him for reporting Quillen and that Quillen used excessive force while escorting him to the holding cell. Adopting the magistrate judge’s findings and recommendations, the district court granted Wise’s motion for summary judgment.
DISCUSSION
The district court determined that Shepard “failed to establish a triable issue of material fact for his claim that Defendant Wise retaliated against [him] by placing him in administrative segregation” and that Wise was therefore entitled to qualified immunity. See Sorrels v. McKee,
A. Whether a right was violated
We have long recognized that a corrections officer may not retaliate against a prisoner for exercising his First Amendment right to report staff misconduct. Brodheim v. Cry,
Wise doesn’t dispute—nor could he—that Shepard has established the first element. In Watison v. Carter, we found that being placed in administrative segregation constitutes an adverse action.
1. To establish causation, Shepard must “put forth evidence of retaliatory motive, that, taken in the light most favorable to him, presents a genuine issue of material fact as to [Wise’s] intent” in sending Shepard to administrative segregation. Brodheim,
When an inmate’s presence in an institution’s general inmate population presents an immediate threat to the safety of the inmate or others, endangers institution security or jeopardizes the integrity of an investigation of an alleged serious misconduct or criminal activity, the inmate shall be immediately removed from general population and be placed in administrative segregation.
Cal. Code Regs. tit. 15, § 3335(a) (2005).
But section 3335 says nothing about reports of staff misconduct. The regulation lists three predicates that, if met, require placing an inmate in administrative segregation: threat to safety, endangering institutional security and jeopardizing the integrity of an investigation. Id. An allegation of serious staff misconduct could trigger one of these predicates, but nowhere does the regulation direct prison officials to place all inmatеs who complain about mistreatment in administrative segregation. When an inmate complains of staff misconduct, the official must determine whether leaving the inmate in the general population will create safety, security or investigation-related concerns.
Perhaps California prison officials treat section 3335 as nondiscretionary in circumstances such as these; or, perhaps, no matter the actual policy, Wise' believed the regulation was nondiscretionary. But the only evidence of either possibility comes from Wise himself. He claims in an interrogatory response that “[prison] policy provides that, when an inmate makes a staff complаint, the inmate is to be placed in administrative segregation for his own protection pending an investigation.... [A]eting pursuant to this policy, I ordered
There is, moreover, evidence in the record casting doubt on Wise’s explanation. For one, Shepard has shown “proximity in time between protected speech and the alleged retaliation.” McCollum v. Cal. Dep’t of Corrs. & Rehab.,
There’s more. As required by regulаtion, Wise justified his decision on a “114-D” form. See Cal. Code Regs. tit. 15, § 3336(a) (2005).
Although a jury could conclude that the form negates Shepard’s claim of retaliatory animus, there is sufficient ambiguity for a jury to find otherwise. Thе form features four different reasons, articulated by at least two different officers, for Shepard’s confinement. Only two of those reasons— that Shepard’s presence in the general population might jeopardize an investigation and his own safety—are consistent with Wise’s story on appeal. And in explaining how the former reason justifies the transfer, Wise explicitly cites Shepard’s grievance. Cf. Jones,
2. Wise also argues that placing an inmate in administrative segregation following a complaint of abuse by staff isn’t the kind of adverse action that chills an inmate’s exercise of his First Amendment rights. In his view, the policy he claims he was following encourages complaints of staff misconduct by ensuring that the inmate will be separated from his alleged abuser while an investigation takes place. But for an inmate to show a chilling effect, the harm need only be “more than minimal.” Watison,
In fact, the harm suffered by prisoners in administrative segregation is significantly more than minimal. According to Shepard, his time in thе ASU featured reduced access to phone calls and recreation. He also says he was confined to his cell for “all but 2 hours per week.” This is plausible. Prior to 2013,
Just last term, Justice Kennedy wrote about the horrors of solitary сonfinement, concluding that “[yjears on end of near-total isolation exact a terrible price.” See Davis v. Ayala, — U.S. -,
Shepard thus faced the possibility of near-total isolation for all but a few hours a week, with little hope for visits, phone calls and recreational opportunities, all for complaining that he was assaulted by a corrections officer. A jury could certainly find that the threat of administrative segregation would chill a “person of ordinary firmness” from complaining about officer misconduct. Rhodes,
3. To argue that Shepard’s transfer reasonably advanced legitimate correctional goals, Wise merely borrows generic justifications from section 3335, arguing that Shepard was placed in administrative segregation to “protect! ] the integrity of the investigation [into Quillen] and to keep Shepard safe.” There’s no doubt that cor
In Bruce, we explained that “prison officials may not defeat a retaliation claim on summary judgment simply by articulating a general justification for a neutral process,. when there is a genuine issue of material fact as to whether the action was taken in retaliation for the exercise of a constitutional right.”
Finally, Wise points out that a prison committee later reviewed the transfer and ordered that Shepard remain in administrative segregation until the investigation into Quillen concluded. The dissent argues that if “the evidence suggested otherwise, the committee would have reversed [the] decision” to transfer Shepard to administrative segregation. Dissent at 697. But the review committee was considering whether the reason for the transfer was sufficient, not whethеr it was motivated by a desire to retaliate. As Bruce recognized, a prison official who uses a valid procedure as subterfuge to obscure retaliation “cannot assert that [his action] served a valid penological purpose, even though [the prisoner] may have arguably ended up where he belonged.”
Shepard does not challenge the constitutionality of section 3335, which, as he recognizes, “ha[s] nothing to do with placing an inmate in ad seg for making allegations.” On this record, we cannot conclude whether officers automatically apply the regulation to all inmates who allege serious staff misconduct. But we seriously doubt that such a policy, if it in fact exists, would withstand constitutional scrutiny. Cf. Fair Housing Council of San Fernando Valley v. Roommate.com, LLC,
B. Whether Shepard’s right was clearly established
Wise may nevertheless be entitled to qualified immunity if the right at issue was not “clearly established at the time of the challenged conduct.” Ashcroft v. al-Kidd,
A prisoner’s general right against retaliatory punishment was clearly established well before Wise transferred Shepard to administrative segregation in 2008. E.g., Rhodes,
Nor, assuming Shepard’s version of events is true, can Wise claim that he could have reasonably believed his conduct was lawful because he was advancing a legitimate penological goal by complying with section 3335. See Schroeder v. McDonald,
Wise argues that because section 3335 mandates placing a prisoner in administrative segregation following a complaint, he could not have been on notice that his conduct was unlawful; the dissent echoes
In 2003, five years before the events at issue, we followed “other circuits [in] holding that prison officials may not defeat a retaliation claim .., simply by articulating a general justification for a neutral process, when there is a genuine issue of material fact as to whether the action was taken in retaliation for the exercise of a constitutional right.” Bruce,
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Shepard has established a genuine issue of material fact as to whether Wise retaliated against him. He has аlso shown that Wise isn’t entitled to qualified immunity at this stage. Accordingly, we reverse the district court’s grant of summary judgment in Wise’s favor.
AFFIRMED in part, REVERSED in part and REMANDED.
Costs to Shepard against Wise and to Quillen against Shepard.
Notes
. The facts are based on Shepard's allegations,. which we must take as true at this stage of the proceedings. See Thomas v. Ponder,
. With the parties’ consent, a magistrate judge presided over the trial on Shepard’s excessive-force claim. We affirm the jury verdict for Quillen in a memorandum disposition filed concurrently herewith.
. The current version of section 3335 is substantially similar. See Cal. Code Regs. tit. 15, § 3335 (2016).
. The requirement that the prison justify a prisoner’s placement in administrative segregation is now codified at Cal. Code Regs. tit. 15, § 3335(b) (2016).
. The events in this case took place in 2008.
. The state amended its regulations in 2013 to place fewer restrictions on inmates such as ASU residents who are in "Non-Disсiplinary Segregation.” Coleman,
. The dissent claims that we “ignored the legitimate institutional concern that we don't want inmatés employing bogus staff complaints as a way to manipulate staff or to effectuate a transfer to a more desirable housing unit.” Dissent at 696; see also dissent at 696-97. Wise never raised this justification for Shepard’s transfer to administrative segregation as opposed to some other form of separatiоn from Quillen during the investigation. And even if we accept the concern as relevant here, Wise’s actions could still be improperly motivated by retaliation rather than the legitimate penological purpose.
. The district court's only basis for finding qualified immunity was that "Wise did not violate [Shepard's] constitutional rights.” We thus do not fault Shepard for failing to address the “clearly established” prong of the qualified immunity analysis in his opening brief. It is Wise who urges us to affirm on a ground not addressed below; thus, Shepard’s "failure to raise the issue ... did not prejudice [Wise's] defense.” Alcaraz v. I.N.S.,
Dissenting Opinion
dissenting:
Running a prison is an “extraordinarily difficult undertaking.” Wolff v. McDonnell,
Today, the majority denies Lieutenant Wise qualified immunity despite his reliance on a legitimate California prison regulation authorizing the . transfer of an inmatе into administrative segregation after receiving a complaint against a correctional officer that alleged serious misconduct. In my view, the majority decision improperly entangles itself in the “day-to-day management of [Corcoran State] prison.” Sandin,
I
The First Amendment prohibits prison officials from retaliating against prisoners for exercising their First Amendment rights. See Bruce v. Ylst,
The majority concludes that inmate Shepard demonstrated a triable issue of material fact that his constitutional rights were violated when Lieutenant Wise (the watch commander) transferred him to administrative segregation following the lodging of his complaint against another officer. Maj. Op. at 688-93.1 disagree. The record is not sufficient to establish that Shepard’s transfer to administrative segregation did not “advance legitimate peno-logical goals, such as preserving institutional order and discipline.” Bruce,
Lieutenant Wise maintains that he transferred Shepard to administrative segregation by following a California Department of Corrections and Rehabilitation (CDCR) regulation designed to protect prisoners and ensure the integrity of internal investigations. This regulation provides:
When an inmate’s presence in an institution’s general inmate population presents an immediate threat to the safety of the inmate or others, еndangers institution security or jeopardizes the integrity of an investigation of an alleged serious misconduct or criminal activity, the inmate shall be immediately removed from general population and be placed in administrative segregation. •
Cal. Code Regs. Tit. 15, § 3335(a) (2005).
Shepard’s transfer into administrative segregation occurred immediately after he reported that Officer Quillen (assigned to his housing unit) had used excessive force after Shepard refused to identify himself during a cell count, necessitating removing him to a nearby holding cell for the violation. Lieutenant Wise’s decision to separate. Shepard from Officer Quillen was in conformance with the prison regulation and made' in furtherance of a legitimate correctional goal.
In short, Lieutenant Wise received a complaint that one of his correctional officers had engaged in abusive misconduct. Knowing this, Lieutenant Wise made a judgment call: Shepard’s continued presence in his housing unit “present[ed] an immediate threat to [Shepard’s] safety” and “jeopardize^] the integrity of an investigation” into Officer Quillen’s alleged misconduct. Cal. Code Regs. Tit. 15, § 3335(a) (2005). Lieutenant Wise properly followed prison policy and transferred Shepard into administrative segregation in furtherance of those legitimate penological goals. A reasonable correсtional supervisor would have done the same.
The majority suggests that Lieutenant Wise relied on the prison regulation as a pretext to retaliate against Shepard for reporting Officer Quillen. Maj. Op. at 689-91; see Bruce,
Lieutenant Wise initiated the process to transfer Shepard to administrative segregation on the same day that Shepard complained about Officer Quillen, July 15, 2008. The majority suggests this close temporal proximity between Shepard’s speech and Lieutenant Wise’s adverse action is evidence of retaliatory motive. Maj. Op. at 689-90; see McCollum v. Cal. Dep’t of Corr. & Rehab.,
That is why the timing evidence does not suggest an improper motive, but rather supports Lieutenant Wise’s claims that Shepard’s transfer served a legitimate correctional goal. Logically, § 3335 protects a complaining inmate from staff reprisals only if the inmate is transferred immediately after making a complaint against a guard in his housing unit. And here, prison officials kept Shepard in administrative segregation throughout the entire investigation of Officer Quillen, transferring him back to the general population shortly after the investigation closed. See Cal. Code Regs. Tit. 15, § 3339(a) (“Release from administrative segregation shall occur at the earliest possible time in keeping with the ... reasons for the inmate’s placement in administrative segregation.”).
Shepard’s placement notice, which both Lieutenant Wise and Shepard signed on July 17, 2008, states: “[Y]ou ... are being removed from the Facility III-A General Population and being plaсed in the Administrative Segregation Unit (ASU) .pending an investigation into your allegations of staff misconduct.” Boxes checked on the
Lieutenant Wise’s transfer decision was reviewed and endorsed by a prison committee on July 23, 2008. The committee noted, “ ‘S’ was placed in ASU [from] Facility 3A, pending investigation into allegation of alleged staff misconduct by Officer T. Quillen as ‘S’ alleged that ‘S’ was physically assaulted by him.” Even construing the evidence in the light most favorable to Shepard, following the prison policy furthered the legitimate correctional goal of shielding Shepard from any reprisal and making sure the investigation was not improperly colored by Shepard’s continued presence in the unit housing the witnesses. Had the evidence suggested otherwise, the committee would have reversed that decision.
Finally, the majority faults Lieutenant Wise for not “offer[ing] a reason as to why Shepard could not have been transferred to a different cell block where he would have been kept away from Quillen and any witnesses.” Maj. Op. at 692. This is not the standard. Any suggestion that a prison official must transfer a complaining inmate to a different pod every time an inmate lodges an allegation of staff misconduct shows little regard for the “inordinately difficult” task of running a prison—one that is “peculiarly within the province of the legislative and executive branches of government.” Turner,
II
Even assuming Shepard has alleged facts that show a constitutional violation, Lieutenant Wise is still entitled to qualified immunity if the right at issue was not “clearly established” at the time of the challenged conduct. Pearson v. Callahan,
The question we must answer is: would a reasonable prison official in Lieutenant Wise’s position have known that placing Shepard in administrative segregation after a complaint of serious staff assault, as directed by a clearly legitimate prison regulation, was a violation of Shepard’s constitutional rights? I am at a loss as to how the answer to this question can be anything but a resounding “no.”
The relevant prison regulation, § 3335, required Lieutenant Wise to transfer Shepard into administrative segregation following his complaint of serious staff mis
Under these circumstances, a reasonable officer in Lieutenant Wise’s position could not have known that complying with a mandatory prison regulation would be a violation of Shepard’s constitutional rights. In concluding otherwise and second-guessing his decision, the majority subjects Lieutenant Wise to unnecessary “harassment, distraction, and liability.” Pearson,
I respectfully dissent.
