Lead Opinion
The plaintiff class, all of whom are prison inmates who have tested positive for the Human Immunodeficiency Virus (HIV), have sued officials of the Alabama Department of Corrections under § 504 of the Rehabilitation Act
I. Background
This litigation began over a decade ago in reaction to a legislatively inspired program to prevent the spread of Acquired Immune Deficiency Syndrome (AIDS) in Alabama’s prison system. Under statute,
So segregated, the HIV-positive inmates are unable to participate in many programs and activities with the HIV-negative, general population. Programs that are available only to the general population program at Limestone include “Double 0” squad jobs maintaining the prison grounds, jobs on the prison farm, bus squad jobs, facility maintenance jobs, trash detail jobs, kitchen jobs, runner jobs, upholstery classes, electrical technology classes, auto mechanics classes, construction trade classes, automotive body repair classes, horticulture classes, welding classes,
A similar range of programs is unavailable to HIV-positive inmates at Tutwiler: data processing classes, clerical classes, cosmetology classes, sewing classes, building trades classes, automotive repair classes, welding classes, floral design classes, small business machine repair classes, quantity foods service classes, nutrition classes, concerts and talent shows, softball and volleyball games, the “Free by Choice” program, college classes, Laubach literacy training, sewing factory jobs, data processing jobs, “downtown” jobs for government agencies, community projects jobs, road squad jobs, kitchen jobs, yard jobs, maintenance jobs, housekeeping jobs, laundry jobs, trash jobs, runner jobs, and haircutting jobs. Like their male counterparts, however, the HIV-positive prisoners at Tutwiler also have access to many programs separately from the general population: chapel services, some rehabilitation programs such as substance abuse and stress management counseling, visitation, organized recreational activities such as May Day and Oktoberfest, dining, medical care, adult basic education, GED testing, library use, and prisoner transportation.
The plaintiff class challenged this practice of denying some programs to the HIV-positive, and providing other programs separately, as a violation of several constitutional rights and of § 504 of the Rehabilitation Act of 1973.
Measuring the significance of the risk of HIV transmission in a host of programs (and thus determining whether the plaintiffs were otherwise qualified to participate) was accordingly the focus of the second trial. One relevant fact was undisputed: In the state of medical knowledge and art at the time of trial, HIV infection inevitably progressed to AIDS. AIDS always led to death, often after lengthy suffering. But the parties’ evidence and arguments reflected two different approaches to the problem of measuring risk. Both sides presented substantial evidence in support of their positions.
On one hand, the plaintiffs argued that experience teaches us that the odds of HIV transmission in prison programs are remote at best. Their evidence fell into two categories. First, the plaintiffs presented expert testimony that incidents of HIV transmission in many activities are rare or virtually unknown. For instance, at the time of trial there were no reported cases of transmission as a result of lesbian sex. There was a similar lack of reported incidents of transmission from sports injuries, stabbing, or tattooing. Only “sporad
Second, however, the plaintiffs’ medical expert had to acknowledge that anal sex and needle-sharing are high-risk activities. Rather than assert the medical unlikelihood of transmission from these activities, the plaintiffs presented evidence of the rarity of such conduct in the programs in which they wish to participate. The plaintiffs’ prison security expert combed prison files for incident reports and found none describing anal sex or needle-sharing during a wide variety of prison programs at both Limestone and Tutwiler. Reported incidents being rare or unknown in the past, the plaintiffs reason, we can expect them to be rare or unknown in the future even if HIV-positive inmates participate in integrated programs. The plaintiffs also showed that many of these programs are in high demand, and that inmates therefore have every incentive to be on their best behavior; moreover, they point out, the degree of surveillance in most programs makes an occurrence of anal sex, for instance, implausible.
While not completely contradicting any of this testimony, the defendants stressed other facts. They introduced testimony that HIV transmission is theoretically possible, even if not documented, in sports accidents and during fights — wherever there is a large exchange of blood between an infected person and an uninfected one. And the defendants introduced evidence that concededly high-risk activity abounds in prison. This evidence included a six-inch high stack of incident reports from the past few years describing hidden hypodermic needles, homosexual acts, and bloody fights. The defendants also showed that a 1991 outbreak of syphilis in the HIV-positive population at Limestone, in which 86 inmates were ultimately treated, was traceable to a single inmate. Finally, the defendants offered studies showing that residentially integrated prison systems in Maryland, Nevada, and Illinois have experienced seroconversions at annual rates of .41%, .19%, and .33%, respectively.
Neither side’s evidence was iron-clad on the points they emphasized. The plaintiffs undermined the defendants’ evidence of widespread high-risk behavior with anecdotal evidence of risk-free mixing. The defendants, on the other hand, called into question the plaintiffs’ reliance on the absence of incident reports by offering testimony that much high-risk activity goes unreported, even when discovered, and that inmates have developed techniques such as “hot railing” — posting a lookout— to avoid detection by roving guards. The defendants showed that a runner, who as such held a highly coveted job, forfeited it by engaging in a high-risk act in the HIV-positive unit. They also offered evidence of a single, sensational incident of high-risk behavior committed by two Limestone kitchen workers who engaged in homosexual sex in the kitchen bakery beside a mixing bowl of peanut butter and jelly.
From these facts, the court concluded that the transmission risk is significant in all programs. After all, each case of transmission, however rare, claims at least one life. More lives could follow if the infected general-population inmate spreads the virus to his cellmates, who in turn spread it farther, as was the case with the 1991 syphilis outbreak at Limestone. Given this degree of harm, even slim odds of transmission make the risk significant. As the court put it in words echoed throughout its 476-page opinion, “elimination of high risk behavior is impossible.... Because the DefendanfiPrison system has decided that such conduct is likely, and because of the catastrophic severity of the consequences if such conduct does occur, this Court holds that integrating the [program under discussion] would present a significant risk of transmitting the deadly HIV virus. Accordingly, the HIV+ inmates are not ‘otherwise qualified.’ ” (R.6-532 at 313-314 (emphasis added); accord, e.g., id. at 82, 277-78.)
The court took this otherwise-qualified analysis one step further. As part of its evaluation of the plaintiffs’ qualifications to participate in the programs, it weighed the Department of Corrections’ penological concerns, including the danger of violence that might arise from inmate prejudice toward and fear of HIV-positive prisoners. The court looked to Turner v. Safley, which permits infringement of prisoners’ First Amendment rights provided that the prison regulation “is reasonably related to legitimate penological interests,”
The district court continued its analysis, as directed by this court,
On appeal, the plaintiffs attacked every step of the analysis. On the “otherwise qualified” issue, they contended that the district court weighed too heavily the gravity of the harm that could result if these small risks are realized, and that the district court improperly took legitimate pe-nological objectives into account. Furthermore, they argued that the district court erroneously considered the burden on the Department of Corrections of accommodating all of the plaintiffs’ demands, rather than considering whether hiring the few guards necessary to integrate each program would individually overburden the entire prison system.
A panel of this court agreed with the plaintiffs on most issues. See Onishea v. Hopper,
II. Discussion
A. What is a “significant risk”?
While not challenging the district court’s findings of fact, the plaintiffs argue that the district court misapplied the law and this court’s mandate in determining whether they qualify for relief under the Rehabilitation Act of 1973. In particular, they contend that the court wrongly interpreted a “significant risk” of HIV transmission to mean “any risk.” We conclude that the district court’s conclusion, based on its unchallenged findings of fact, is substantially correct.
Section 504 of the Rehabilitation Act, under which the plaintiffs seek relief,
“[findings of| facts, based on reasonable medical judgments given the state of medical knowledge, about (a) the nature of the risk (how the disease is transmitted), (b) the duration of the risk (how long is the carrier infectious), (c) the severity of the risk (what is the potential harm to third parties) and (d) the probabilities the disease will be transmitted and will cause varying degrees of harm.”
Arline,
We can infer from Arline’s language that the significance of a risk is a product of the odds that transmission will occur and the severity of the consequences. First, Arline’s four factors include both “the severity of the risk” and “the probabilities the disease will be transmitted,” not just the odds the virus will spread. This suggests that each must interplay with the other in the otherwise-qualified inquiry. Second, significance by itself connotes more than size: “significant” means “deserving to be considered,” “important,” “weighty,” or “notable.” Webster’s Third International Dictionary 2116 (1986). It does not just mean “big.” See id. And it is the potential gravity of the harm that imbues certain odds of an event with significance. This is indeed common sense: to borrow an analogy from the district court’s opinion, we are far more likely to consider walking a tightrope to pose a significant risk if the rope is fifty feet high than if it is one foot off the ground. This is so even if the odds of losing our balance are the same however far we have to fall.
Thus, when the adverse event is the contraction of a fatal disease, the risk of transmission can be significant even if the probability of transmission is low: death itself makes the risk “significant.” But federal courts disagree about how low the odds may be, and how much evidence it takes to prove a significant risk.
The First Circuit, on the other hand, has construed the phrase “significant risk” to mean that not only must the danger be theoretically justifiable, it must also have been realized in at least several cases. See Abbott v. Bragdon,
The Supreme Court has reviewed the First Circuit’s judgment in Abbott v. Bragdon, but the Court’s opinion does not resolve the conflict on this question. The Court stated no rule, and it neither affirmed nor reversed the First Circuit’s conclusion on this issue. Rather, the Court explained that, “[f]or the most part,” the First Circuit’s analysis was correct. Bragdon v. Abbott,
From these helpful hints, we know that the relevant scientific knowledge is that at the time of the discrimination, id.; that an unreasonable offer of accommodation merits no weight, see id.; that public health statements recommending certain precautions are of scant value because they do “not assess the level of risk,” id.; that professional organizations’ opinions may be too intertwined with other matters (such as ethics) to give objective medical evaluations of risk, see id. at 2211-12; that the testimony of health experts may be of some value, see id.; that inconclusive scientific studies deserve little weight, see id.; that evidence of seven cases of patient-to-doctor transmission is not necessarily sufficient, “standing alone,” to show the risk to be significant, id.; but that all of these observations are qualified by the fact that the parties did not brief the issue, see id. at 2213. These helpful hints, however, do not shed much light on the amount or nature of the evidence that is necessary to prove a risk to be “significant.”
In this absence of any clear Supreme Court direction,
We thus hold that when transmitting a disease inevitably entails death, the evidence supports a finding of “significant risk” if it shows both (1) that a certain event can occur and (2) that according to reliable medical opinion the event can transmit the disease. This is not an “any risk” standard: the asserted danger of transfer must be rooted in sound medical opinion and not be speculative or fanciful. But this is not a “somebody has to die first” standard, either: evidence of actual transmission of the fatal disease in the relevant context is not necessary to a finding of significant risk.
Based on Arline’s standard thus interpreted, the district court’s conclusion was correct. Two of the district court’s unchallenged factual findings support its result. First, the district court found that violence, intravenous drug use, and sex may cause blood-to-blood contact and happen in prisons in the most unlikely and unexpected places and that it is impossible to know or watch much of what goes on. Second, the court found (based on adequate expert testimony) that blood-to-blood contact, such as that resulting from anal sex or needle-sharing, likely transmits HIV, and that violent exchanges of blood raise the specter of transmission. These two findings were enough for the court, sitting as fact-finder, to conclude that the risk was significant in any program in which prisoners participate.
B. May legitimate penal concerns figure into whether an inmate is otherwise qualified to participate in a program?
The plaintiffs contend that the district court improperly engaged in the analysis prescribed by Turner v. Safley,
We can agree with the plaintiffs' primary argument that Turner does not, by its terms, apply to statutory rights. That does not mean, however, that the district court's use of the Turner factors requires vacating its judgment. Section 504's provisions extend only to "otherwise qualified individual[s] with a disability." 29 U.S.C. § 794(a). "An otherwise qualified person is one who is able to meet all of a program's requirements in spite of his handicap." Southeastern Community College v. Davis,
The district court was entitled to find on this record-it indeed seems obvious-that the requirements for participation in prison programs are determined in part by the same "legitimate penological interests" that Turner respects in the First Amendment context. Security is one such legitimate interest. Turner and its antecedents indeed so recognize. See Turner,
While not conceding that Turner-like factors are properly considered at all, the plaintiffs also argue that the district court misapplied Turner first by making a clearly erroneous finding that integrating programs would risk violence, and second by concluding that the Department of Corrections' segregation policy is not an exaggerated response to the problem of prison security and slowing the virus's spread.
We reject both arguments. The district court's finding as to the risk of HIV-related violence was, as the plaintiffs point out, based on conflicting evidence. The defendants offered a study of inmate opinion that was both off-point (it asked for views on residential integration, not program integration) and six years old at the time of trial. But the plaintiffs did not do much better; they offered only anecdotal evidence of peaceful intermingling between HW-positive and HIlT-negative inmates. If two findings were possible here-risk of violence from intermingling or no risk of violence from intermingling-both required drawing a series of inferences from the parties' scant evidence. The district court chose to infer from the defendants' study (1) that residential and program integration would be equally objectionable to certain inmates and (2) that inmate opinion had remained substantially unchanged over a six-year period. To make the finding plaintiffs urged, the district court would have had to infer at least (1) that the HW-negative inmates involved
The court’s conclusion that the response is not exaggerated, moreover, properly follows Turner’s guidance. (The plaintiffs do not contend that Turner’s “exaggerated response” analysis in particular is inappropriate for Rehabilitation Act otherwise-qualified analysis.) Turner compels a conclusion that a response is exaggerated only when the inmate produces evidence of “easy alternatives” that come at a de minimis cost to valid penological interests. Turner,
In sum, then, we conclude that the district court could properly use factors such as Turner’s to determine whether the plaintiffs were otherwise qualified to participate in the programs. The district court’s analysis of those factors, moreover, was substantially correct.
C. Did the district court appropriately evaluate “reasonable accommodations”?
The Harris panel directed the district court on remand to consider whether reasonable accommodations would permit the plaintiffs to participate in any of the programs at issue. See Harris,
Before we get to the specific challenges, however, we have to point out that we are not construing any law whose source we may clearly identify. This is because the reasonable-accommodation principle (that a disabled person is entitled to participate in a program, notwithstanding lack of qualification, if a reasonable accommodation would qualify him) does not appear in § 504. See 29 U.S.C. §§ 706, 794. The principle appears, rather, in agency regulations promulgated under the statute’s authority. See, e.g., 28 C.F.R. § 42.511(a) (Department of Justice); 29 C.F.R. § 32.13 (Department of Labor). The applicability of these regulations as a general rule follows federal funding from an agency. See, e.g., 28 C.F.R. § 42.502; 29 C.F.R. § 32.2(a). Unfortunately, the district court denied the plaintiffs discovery of the source of the Department of Corrections’ federal funding, and the plaintiffs did not pursue questioning on this subject at trial. Thus, with one exception,
One further caveat: we acknowledge that the Harris panel sensibly concluded that differences among the programs in which the plaintiffs seek to participate required different analyses. See Harris,
1. Was classifying high- and low-risk prisoners an accommodation open to consideration?
One reasonable accommodation that the plaintiffs proposed was for the Department of Corrections to refine existing systems of inmate classification to detect HIV-positive inmates who were highly unlikely to engage in high-risk behavior and to permit those inmates to participate in integrated programming. At trial, however, each time the defendants objected to classification evidence, the court excluded it on the reasoning that any evidence tending to be about individual inmates — even if the evidence concerned inmate classification systems in general — was outside the scope of the retrial mandated by this court. For the same reason, the court implied that it would not consider the evidence or the argument. The plaintiffs contend that both the exclusion of evidence and the refusal to consider the evidence in the bench trial was error.
We agree with the plaintiffs that consideration of this proposed accommodation (and, therefore, evidence of it) was within the mandate. The Harris panel directed the district court to consider reasonable accommodations, see Harris,
But this conclusion does not mean that reversal is required. The defendants did not always object to classification evidence, and throughout the trial the plaintiffs were allowed to introduce substantial evidence about the classification process at the Department of Corrections (including the Department of Corrections’ inmate Classification Manual) and about classification’s potential effectiveness.
Because the plaintiffs thus did in fact successfully introduce classification evidence, and the district court implicitly considered the feasibility of classification, the plaintiffs’ substantial rights were not affected by the court’s trial rulings, and no remand is required. Cf. Deviner v. Electrolux Motar, AB,
2. May excessive cost make a hardship undue?
Reasonable accommodations are mandatory only to the point that they impose “undue hardship” on the federal funds recipient. See, e.g., 29 C.F.R. § 32.3 (definition of “reasonable accommodation”); see also Willis v. Conopco,
In challenging this conclusion, the plaintiffs complain primarily that the district court should not have considered cost at all. The plaintiffs cite Zimring v. Olmstead,
We reject the plaintiffs’ argument both because Zimring’s standard does not apply here and because the district court’s findings are supported by sufficient evidence. Under the Rehabilitation Act, cost is relevant to the federal fund recipient’s burden when it, like any other burden, reaches the point of “undue hardship.” This is a consistent agency interpretation of the statute: Many (if not all) regulations promulgated under the Rehabilitation Act prescribe “undue hardship” as the standard for measuring when the federal funds recipient’s burden is too much. See, e.g., 7 C.F.R. § 15b.13(a) (Department of Agriculture); 28 C.F.R. § 42.511(a) (Department of Justice); 29 C.F.R. § 32.13(a) (Department of Labor); 34 C.F.R. § 104.12(a) (Department of Education); 45 C.F.R. § 84.12(a) (Department of Health and Human Services). And in all these regulations, determining “undue hardship” explicitly factors in “the nature and cost of the accommodation.” 7 C.F.R. § 15b.13(b)(3); 28 C.F.R. § 42.511(c); 29
This circuit’s precedents, moreover, show that a hardship becomes undue long before it effects a “fundamental alteration” in employment conditions or reallocation of program resources. See, e.g., Jackson v. Veterans Admin.,
These regulations (some of which we assume apply here for the reasons explained above) and precedent do not fix a bright-line rule, but they do make clear that a financial burden may become too much when it reaches the point of “undue hardship.” And the district court did not clearly err in so finding here. Limestone’s warden estimated that he would need around 25 additional officers to guard integrated programs; Tutwiler’s warden estimated that she would need as many as 45 additional officers to integrate all programs safely.
The plaintiffs assert to the contrary that their evidence of the Department of Corrections’ power to reallocate resources required the opposite conclusion. We disagree, because the plaintiffs’ reliance on the Department’s authority to reallocate resources rests on a legal equation of “undue hardship” with “impossibility.” As explained just above, that is not the standard. The Rehabilitation Act does not require the Department to do whatever it is legally capable of doing to accommodate the plaintiffs.
3. May a court consider the global burden of accommodations requested in different areas?
Here, the plaintiffs argue that the district court wrongly considered the burden to the Department of Corrections of accommodating the plaintiffs in every program that required additional security to operate safely. According to the plaintiffs, the district court should have picked and chosen among programs, selecting some for accommodations that, because of their smaller scale, would not be unduly burdensome. We reject this argument. While it may be true, as the plaintiffs assert, that “[n]othing in § 504 permits federal funds recipients to take this ‘all or nothing’ stand,” it was not the federal funds recipient here but the plaintiffs who insisted on having everything. The plaintiffs’ post-
4. Can providing “separate but equal” programs be a reasonable accommodation?
The plaintiffs’ fourth challenge to the court’s analysis we need not discuss in detail. They complain that the district court ruled that “separate but equal” programming — those programs such as adult basic education that were afforded both HIV-positive and -negative prisoners separately — is not a proper accommodation of a disability. This argument is apparently new on appeal. Indeed, before the district court, the plaintiffs argued somewhat inconsistently that “separate but equal” accommodations were not only permissible under the Rehabilitation Act, but required by it. (R.5-526, at 161-62.) We decline to consider this newly raised issue.
III. Conclusion
For the foregoing reasons, the district court’s judgment is affirmed.
AFFIRMED.
Notes
. 29 U.S.C. § 794.
. Ala.Code § 22-llA-17(a) (1996 Supp.)
. Correspondence in the months before the 1994 trial between the commissioner of corrections and the commissioner of post-secondary education suggest an intent to offer vocational and college classes to HIV-positive inmates separately from the general prison population. This intent, however, had not been fully realized at the time of trial.
. Codified as amended at 29 XJ.S.C. § 794 (1994).
. A "seroconversion" has occurred when an inmate who tested negative for HIV upon entering prison later tests positive.
. At the time of trial, one of plaintiffs' experts put Limestone's population at about 1600.
.
. In this program, based on an interstate compact, inmates may serve their terms in another state (for personal reasons, for instance) if that state agrees to send one of its inmates to Alabama.
. Harris v. Thigpen,
.These activities included those such as visitation, classes, haircuts, medical treatment, sports, and legal research. (R.6-532 at 87 (visitation at Tutwiler); id. at 326 (paralegal training classes at Limestone); id. at. 336 (high-school and college level courses at Limestone); id. at 341 (GED examination at Limestone); id. at 383 (haircuts at Limestone); id. at 407 (visitation at Limestone); id. at 415 (medical treatment at Limestone); id. at 435 (sports at Limestone); id. at 444 (legal research at Limestone).)
. In their en banc briefs — for the first time in the ten-year history of this lawsuit — the defendants claimed Eleventh Amendment immunity. The defendants conceded at oral argument, however, that the relief the plaintiffs seek plants this case within the fiction of Ex parte Young,
Two other issues can be disposed of in footnote. First, we asked the parties to brief the issue whether the Rehabilitation Act applies to prisons at all. The Supreme Court since decided that the Americans with Disabilities Act applies to prisons. See Pennsylvania Dep’t of Corrections v. Yeskey,
Second, the plaintiffs complain that the district court excluded evidence concerning programs that would require residential integration. Residential integration — even for program purposes — was a matter beyond the scope of the second trial, which was to concern integration of programs. See Harris,
. As we address more thoroughly in the reasonable-accommodation discussion below, there are potentially applicable agency regulations promulgated under § 504. See, e.g., 28 C.F.R. subpt. G (Department of Justice regulations). Each agency's regulations, however, generally apply only to recipients of funds from that agency. See, e.g., 28 C.F.R. § 45.202 (restricting application of Department of Justice regulations to recipients of financial assistance from the Department of Justice). We cannot tell from the record where the Department of Corrections gets its federal funds and thus what regulations apply. We assume for this discussion that any applicable regulations would not contradict our analysis of the statute.
.
. The cases cited here concerned suits under both the Rehabilitation Act and the Americans with Disabilities Act. The Acts' standards for carriers of contagious diseases are the same. See Estate of Mauro ex rel. Mauro v. Borgess Medical Ctr.,
. On remand, the First Circuit has simply reaffirmed its earlier conclusions. See Abbott v. Bragdon,
. The plaintiffs also complain that the district court ignored this court’s earlier mandate to assess each program individually. We reject this argument. It is true that the court reached the same conclusion for a host of different programs; but nothing in the earlier mandate required the court to conclude that the programs were different. See Harris v. Thigpen,
. The four factors are (1) the connection between the prison regulation and a legitimate, neutral government interest, (2) the presence or absence of alternatives for the prisoners to exercise their claimed right, (3) the effect of unfettered exercise of the right on other inmates, guards, and the allocation of prison resources, and (4) the presence or absence of ready alternatives. See Turner,
. We know that the Department of Labor contributes funds to the Department of Corrections' adult basic education programs. (See R.26 at 223.) Those programs, therefore, fall under Labor regulations, but the regulations by their own terms do not extend beyond that program. See 29 C.F.R. § 32.2(a) ("This part applies to each recipient of Federal financial assistance from the Department of Labor ... but is limited to the particular program for which Federal financial assistance is provided.”)
. (See, e.g., R.25 at 67-69; id. at 74; id. at 143-45 (Department of Corrections Classification Manual admitted as Plaintiffs’ Exhibit 1); R.27 at 127 ("cherry-picking” inmates is sound penological strategy); R.32 at 229 ("job board” classification system); R.34 at 210-213 (classification procedure); R.35 at 208-230 (great detail concerning classification process).)
. There was testimony that because of vacation and sick time it takes 1.73 officers to fill one eight-hour post; it is not clear if the wardens’ estimates were of posts or actual officers.
. In addition to their other arguments, the plaintiffs accuse Judge Varner, the district judge here, of impropriety and assert that Judge Varner should have recused himself. In the alternative, they argue that the case should be reassigned on remand. We conclude that the evidence of impropriety is insufficient to warrant recusal and vacatur of the judgment; we need not consider reassignment because we do not remand.
Dissenting Opinion
dissenting, in which HATCHETT, Chief Judge, joins:
The issue before the court today is not an easy one. Prisons certainly have the obligation to prevent the spread of the HIV virus among inmates. At the same time, they have the obligation to protect the rights of prisoners already infected with the virus. This difficult balancing act requires sensitivity to the rights of all prisoners within the state’s custody — both those infected with the disease and those who are not. By upholding on this record Alabama’s policy of excluding HIV 4- inmates from all the programs and activities offered to inmates housed in the general population, the majority permits Alabama to forego any consideration of the rights of HIV+ inmates even where the rights of uninfected inmates are not, in any real sense, endangered. The majority upholds the blanket exclusion on the grounds that any cognizable risk of HIV transmission, no matter how infinitesimal and even if based on a wholly unlikely and speculative chain of events, suffices to disqualify HIV+ inmates from participating in all general population prison programs and that no reasonable accommodation could eliminate this risk. The majority’s holding is in direct conflict with governing Supreme Court precedent and eviscerates § 504’s protections. Moreover, in affirming the judgment of the district court, the Court places its imprimatur on the district court’s failure to conduct a discrete analysis of the risk of HIV transmission in each of the many programs and activities at issue here in derogation of the specific mandate of this court. As a result, HIV+ inmates in Alabama are excluded from participating in a whole host of programs to which uninfected inmates routinely have access — programs and activities which comprise virtually all features of institutional life — without any meaningful inquiry into whether this stigmatizing exclusion is necessary to protect uninfected inmates from a significant risk of HIV transmission. For these reasons, I respectfully dissent.
In School Board of Nassau County, Fla. v. Arline,
In formulating the “significant risk” standard, the Court explained that “[a] person who poses a significant risk of communicating an infectious disease to others in the workplace will not be otherwise qualified for his or her job if reasonable accommodation will not eliminate that risk.” Id. at 287 n. 16,
Focusing exclusively on Arline’s third factor, the majority holds that, because of its deadly consequences, any cognizable risk of HIV transmission is, as a matter of law, a significant risk. The majority purports to apply Arline, stating that “the significance of a risk is a product of the odds that transmission will occur and the severity of the consequences,” Maj. op. at 1297, but then proceeds to ignore all but the severity of risk factor. The fatal consequences of a contagious disease, in the majority’s view, suffice to render a transmission risk significant even if the probabilities of transmission are so low as to approach zero, so long as transmission could theoretically occur, letting one factor overwhelm the entire Arline analysis. Although it disclaims any intent of establishing an “any risk” standard, in fact the majority opinion does exactly that. By focusing only on possibilities' — whether “a certain event can occur” and whether “the event can transmit the disease,” Maj. op. at 1299 (emphasis added) — the majority requires a plaintiff to prove that transmission is impossible. This reasoning conflicts with Crime’s explicit directive to consider other relevant factors and is directly contrary to the Supreme Court’s recent decision in Bragdon v. Abbott,
In Bragdon, the Court considered whether a dentist could refuse to treat an HIV + patient based on the risk of transmission of the HIV virus. It bears noting that the Supreme Court specifically rejected the very argument the majority adopts today. Bragdon declined to permit discriminatory treatment of those afflicted with the HIV virus based on an “any risk” standard, explaining that “[bjecause few, if
This Circuit has, until today, declined to sanction segregation of those with HIV or AIDS based on an “any risk” standard. In Martinez v. School Bd. of Hillsborough County, Fla.,
I recognize that sex and needle sharing have been established as pathways of HIV transmission. However, different programs present different levels of risk of such behavior occurring. The prior mandate of this court recognized this distinction by requiring that the district court evaluate each program in terms of the risks involved. For example, the risks of residential integration differ from the risks of integrating a religious service or an educational class. Even where an established- transmission pathway is involved, a risk of HIV transmission must be evaluated on objective evidence of the likelihood of transmission and the other Arline factors, not on mere speculation. Contrary to the majority’s suggestion, this standard does not demand that someone die before a risk is considered significant. It does, however, demand both evidence that particular conduct will transmit the disease and a reasonable likelihood that the conduct will actually take place in the particular program at issue. See Estate of Mauro v. Borgess Medical Ctr.,
In this case, the district court asked only whether there was a risk of HIV transmission, equating a mere possibility of HIV transmission with the significant risk required for exclusion. No separate analysis of each program weighing the different risks involved and the likelihood of transmission was conducted to determine whether plaintiffs were otherwise qualified to participate in any of them. In program after program, the district court concluded that integration would pose a significant risk, relying on and repeating verbatim the following paragraph thirty-nine times in the course of its opinion to justify its holding that the HIV + inmates were not “otherwise qualified” to participate in any general population programs:
The Court of Appeals recognized in Harris,941 F.2d at 1495 , 1519-20 that “high risk behavior occurs disproportionately in prison systems” and that “under any system of prison administration, the elimination of high risk behavior, such as homosexual behavior or IV drug use is impossible.” This Court, too, recognizes that elimination of high risk behavior is impossible. There is no guarantee that any conduct will or will not occur in a prison setting. This Court is ill-suited to instruct prison officials on the likelihood of the occurrence of high risk behavior. This Court is even more ill-suited to instruct the prison system on when and how to prevent such conduct when they, along with their managers and medical officials, determine that such conduct is likely. Because the Defendant/Prison system has decided that such conduct is likely, and because of the catastrophic severity of the consequences if such conduct does occur, this Court holds that integra-ti[o]n[ ] ... would present a significant risk of transmitting the deadly HIV virus.
Op. at 62-63 (footnotes omitted) (religious programs).
Instead of following this court’s mandate in Harris v. Thigpen,
[I]n the prison system, one must always be prepared for the unexpected. An automobile or other accident may incapacitate a guard and leave the inmates on the out-of-prison detail free to proceed without an escort. An inmate, temporarily healthy but facing the bleak future of all sero-positives, may have controlling impulses vastly different from those of healthy inmates who may be more concerned about the penal aspects of their future....
If ... a correctional officer has been incapacitated in an accident, a female inmate with contempt for that officer could purposely implant, while the guard remains unconscious, blood containing HIV organisms from the HIV + inmates open wounds. An unconscious guard would be defenseless, and would perhaps never be fully aware of how the infection was contracted. The unexpected must be expected in a penal setting or when dealing with convicted felons.
Op. at 158 (footnotes omitted).
As this passage illustrates, the district court’s analysis found that a mere possibility of a transmission risk, often based on nothing more than highly speculative scenarios, justifies the wholesale segregation and exclusion of HIV + inmates from prison programs and activities. Under this reasoning, which the majority approves, an individual is, in essence, subject to segregation and discriminatory treatment simply for having the HIV virus. This is precisely the result that § 504 and Arline’s “significant risk” standard sought to prevent.
Nor are the cases cited by the majority to support its refusal to follow Bragdon applicable. These cases uphold the authority of hospitals to prohibit HIV+ physicians and surgical technicians from performing certain invasive surgical procedures based on public health guidance authority absent here. See Mauro,
I likewise believe the majority errs in holding that plaintiffs were not “otherwise qualified” within the meaning of § 504 because of the prison’s penological interests in excluding them from the many programs and activities at issue here. In Hams, our mandate made clear that the prison’s penological interests supporting the segregation of HIV+ prisoners were not automatically sufficient to render plaintiffs unqualified, thereby declining to insulate the Alabama prison authorities from liability under the Rehabilitation Act. We explained that
it is not enough for the district court simply to rely on general findings and prison policy reasons that support segregation .... We ... do not believe ... that the prison’s choice of blanket segregation should alone insulate the DOC from its affirmative obligation under the Act to pursue and implement such alternative, reasonable accommodations as are possible for HIV-positive prisoners ■with respect to various programs and activities that are available to the prison populations at large.
Harris,
Under § 504, the “otherwise qualified” analysis focuses on the requirements of the program at issue and whether reasonable accommodations would permit the plaintiff to participate, see Arline,
This is not to say that penological concerns have no place in a § 504 analysis. As the Seventh Circuit has explained, “[t]erms like ‘reasonable’ and ‘undue’ are relative to circumstances, and the circumstances of a prison are different from those of a school, an office, or a factory,” and “[t]he security concerns that the defendant rightly emphasizes ... are highly relevant to determining the feasibility of the accommodations that disabled prisoners need in order to have access to desired programs and services.” Crawford v. Indiana Dep’t of Corrections,
Finally, I disagree with the majority’s holding that the district court correctly concluded that plaintiffs had failed to offer any reasonable accommodations, for several reasons.
Second, by rejecting the use of the prison risk classification system as a reasonable accommodation because it is not error-free, the majority once again requires a plaintiff to prove that he or she can not possibly transmit the HIV virus, thereby equating any possible transmission risk with the significant risk required to support exclusion under Arline and Bragdon. It may well be that the prison risk classification system will not suffice to reduce the risk of transmission resulting from integration to a less than significant one. At this point, however, the record is inadequate to establish the rate of error in the classification program in accordance with Arline’s dictates. The district court excluded much, though not all, of the evidence about this classification scheme and the district court only found that this system was not error-free. It made no findings regarding the likelihood of error. Accordingly, I believe that the district court’s exclusion of evidence on this point requires a new trial.
I would note that it is significant that Alabama prison authorities use this selection process despite the possibility of error in the risk classification system and despite the tragic, and even fatal, consequences of error, which have in fact occurred. The majority offers no explanation why the prison system should be entitled to insist its risk classification system work in an error-free manner in the HIV context, and this context alone. Further, it appears that Alabama does not impose a similar policy of segregation and exclusion where other inmates have other contagious diseases, such as hepatitis.
Congress and the Supreme Court have recognized that automatic expulsion and exclusion from society because of “health risks” have historically masked discrimination against individuals with contagious diseases based on prejudice and baseless fear. Certainly, care must be taken to minimize risk of infection, but care must just as certainly be taken to assure that a society that aspires to be just does not make outcasts of its stricken citizens. In this case, no fair assessment of the risks involved was conducted and no fair consideration was given to reasonable accommodations which could have minimized to an acceptable level those risks which did exist. No balancing of rights occurred here. Thus, I respectfully dissent.
. This same passage was recited throughout the district court’s opinion. See Op. at 72-73 (rehabilitation programs); 82-83 (visitation); 111-12 (vocational programs); 123 (recreational programs); 132-33 (dining hall); 141-42 (medical clinic); 155-56 (out-of-prison programs); 165 (educational programs); 178-79 (Laubach literacy program) 187 (sewing factory); 195-96 (data processing jobs); 203-04 (kitchen jobs); 211-12 (yard workers); 221-22 (laundry jobs); 230 (trash recycling jobs); 238-39 (health care uniL jobs); 246-47 (gate runner jobs); 254-55 (hair cutting jobs); 262-63 (use of library/library jobs); 277-78 (Double 0 Squad jobs); 285 (tractor operator jobs); 296-97 (maintenance jobs); 304 (trash detail jobs); 313-14 (runner jobs); 321-22 (paralegal training class); 331-32 (educational programs); 344 (graduation ceremonies); 363-64 (vocational programs); 378-79 (hair cutting jobs); 386-87 (laundry jobs); 394 (garden jobs); 402-03 (visitation); 410-11 (medical clinic visits); 420-21 (rehabilitation programs); 429-30 (recreational programs); 439 (library); 446-47 (religious programs); 453 (Alabama Volunteers in Correction program).
. The majority, too, makes this error, affirming the district court based on evidence of high-risk behavior in the prison system as a whole, not in each program as Harris required.
. These programs permit inmates to leave prison, generally in handcuffs, under direct surveillance of prison guards, to talk to school children about the perils of drug use, to attend a funeral or seek medical care, or to work outside the institution fence.
. I would note that both the Supreme Court and this Court have repeatedly recognized that § 504 requires covered recipients to make reasonable accommodations to permit individuals with disabilities to participate in
Dissenting Opinion
dissenting:
I respectfully dissent. The district court’s decision should be vacated and the case retried because the district court refused to consider applying Alabama’s inmate risk classification system as a reasonable accommodation, denied plaintiffs a fair trial, and failed to follow this Court’s mandate in the prior appeal of this case, Harris v. Thigpen,
I agree with the majority that requiring more prison guards to prevent high-risk behavior by inmates is an “undue burden” and that federal courts should not run Alabama’s prisons, much less micro-manage the state’s prison budget. However, the district court erred in refusing to consider plaintiffs’ alternative “reasonable accommodation” of utilizing the Alabama DOC’s ongoing inmate risk classification system, which already analyzes each inmate’s psychological, penological, and behavioral history.
A. Majority Acknowledges District Court’s Errors
The majority acknowledges the district court’s errors in not following the Harris panel’s mandate and in not allowing plaintiffs to introduce evidence regarding inmate risk classification as a reasonable accommodation. The majority states:
(1) that “[t]he Harris panel directed the district court to consider reasonable accommodations, see Harris,
(2) “that the Harris panel sensibly concluded that differences among the programs in which the plaintiffs seek to participate required different analyses. See Harris,
(3) that “one reasonable accommodation that the plaintiffs proposed was for the Department of Corrections to refine existing systems of inmate classification to detect HIV-positive inmates who were highly unlikely to engage in high-risk behavior and to permit those inmates to participate in integrated programming. At trial, however, each time the defendants objected to classification evidence, the district court excluded it on the reasoning that any evi
(4) that “[t]he district court should not, therefore, have excluded the plaintiffs’ evidence about classification, and it should have considered classification as a reasonable accommodation.” So far, so good. The majority then wrongly concludes that these errors do not require reversal.
B. Majority Wrongly Concludes Errors Do Not Require Reversal
The majority finds these new errors do not require reversal because some evidence about classification leaked in through the exclusion and the district court’s finding that prisoners are “unpredictable” was “implicitly” a consideration and rejection of inmate risk classification as a reasonable accommodation. I disagree for several reasons.
First, the record shows unequivocally that at trial the district court refused to consider inmate classification as a reasonable accommodation for any program and refused to admit plaintiffs’ substantial evidence about inmate classification. For example, in one instance, the court explained, “I did not let [plaintiffs’ expert witness] go into the fact that there were some inmates that perhaps could be cleared for certain of these programs and others cannot. Because this is a class action not composed of a division between those type people.” R.26 at 15. For other similar comments, see R.24 at 290 (“Well, you now want to say that you want to introduce evidence that there are some people in the class of HIVs who are excluded that ought not to be excluded. And ... that is not an issue in this case and I mustn’t get into it.”); id. at 291 (“... I am going to make you stick to the whole class unless the other side says they are ready to defend on less than the whole class.”); id. at 299 (“[W]e don’t get to look at it from the viewpoint of singling out some HIV, who is the best of all the rest, like some people have done in cases.”); id. at 300 (“I am not going to let you offer all this business about what people you can break down and what people you can’t. It is a class and it is a class action, and that is the way it is going to be tried.”); R.26. at 18 (“... I followed, or think I followed, the order of the court of appeals that I consider these matters particularized as to programs and activities but not as to persons. And you have tried to make it a proceeding wherein you particularize ... or I would have to particularized [sic] my findings between persons; individual persons.”); id. at 19 (“[Y]ou might as well quit. You are keeping your expert here unnecessarily to go through a great number of words that really lead back to the question of whether I am supposed to have a hearing considering the rights of a class or of individual members of the class. And I understand that I am here to consider the rights of the class; not individual members of it. And I have so restrained you where I could.”); id. (“[Y]ou are trying to get me to break the class down into individualized claims, which I can’t do.”).
Second, the majority incorrectly contends that substantial evidence about the inmate classification process leaked in through the exclusion. The majority lists this “substantial evidence” in footnote 19. A review of all record cites in footnote 19 reveals that the evidence that leaked in consisted of only one manual and less than thirty pages of testimony in a thirteen-volume, 3654-page trial transcript. Moreover, the district court expressly refused to consider such evidence that leaked in and even struck some of it from the record.
Plaintiffs, also offer to prove that classification is a traditional tool of prison management by which the Alabama DOC, like all other DOCs, makes distinctions among inmates, and that the classification process is done [on] an individual basis, inmate by inmate.
We would offer to prove that in making those classification decisions the DOC looks at the inmate’s criminal history, institutional disciplinary history, psychological tests administered by the staff psychologist and similar factors; a team of people come together for each inmate to make the classification assessment, a person from Classification, a psychologist, a warden or assistant warden. And that classification process includes precisely an assessment of whether the inmate poses a significant risk of harming other inmates or other staff on an inmate-by-inmate or individual basis.
And we would prove that, in fact, the Alabama classification process expressly addresses the factor of whether an inmate as [sic] aggressive homosexual. That is, the DOC’s classification process already addresses some of the behavior related to transmission of HIV and it would be a reasonable accommodation to have ... to use that classification system to qualify inmates with HIV for programs and activities.
We would offer to prove that using the information that the classification team is in a position to gather in the course of it[s] duties, the classification process result in the assignments of a custody level to an inmate ranging from community custody to minimum-in, to minimum-out, to trustee, to medium, to close, to maximum. And, moreover, that the classification team makes recommendations about programs that the inmate should participate in, including rehabilitation programs, education, trade school and community jobs. The DOC institutional job board then actually looks at the classification materials and makes an assessment on and an assignment. And this assignment is on an individualized basis of inmates to trade school, community job and other job assignments.
Our proof would be that the DOC institutional job board already selects among general population inmates and decides that some of them and not others will participate in particular programs.
The plaintiffs proof would address these facts. Plaintiffs position is that the same selection and screening process that is already applied to general population inmates through the institutional job board could be utilized, possibly with enhanced factors, to determine who may participate in particular jobs and other programs.
Plaintiffs would offer to prove that other jurisdictions have devised classification systems for HIV positive inmates by which the issue of whether an inmate poses a significant risk of transmission is determined on an individualized basis inmate-by-inmate as part of its classification system, and that this would be a reasonable thing for Alabama to do.
We would show that the Federal Bureau of Prisons has a system by which inmates who engage in high risk activity are segregated and remain segregated until an assessment is made that an inmate has rehabilitated himself such that he no longer poses a risk of transmission.
R.26 at 15-18. The district court repeatedly refused to allow plaintiffs to present such proof.
Even if a paucity of evidence about classification, as I find, or “substantial evi
The [district] court found that inmates are “untrustworth[y],” “volatil[e],” “unpredictable,” and subject to “great pressures from conflicting sources.” Therefore, the court found, prison officials must always “prepare[] for the worst” and “expect the unexpected.” {Id. at 57, 58.) These findings are an implicit rejection of plaintiffs’ arguments. If prisoners are inherently “unpredictable,” as the district court found, then classification is not a reasonable way of integrating programs, because it does not reduce the risk of HIV transmission.
I respectfully submit that the district court’s finding that prisoners are “unpredictable” is not an “implicit rejection” of plaintiffs’ classification arguments and does not show that “the district court implicitly considered the feasibility of classification.” Prisoners’ being “unpredictable” is no factual finding — much less a legal analysis — about whether inmate classification is a reasonable accommodation for at least some HIV-positive inmates for at least certain prison programs.
Finally, this is no first appeal where “implicit” district court findings might be justifiably found by an appellate court from an ambiguous record. This is the second appeal after the Harris panel’s decision reversed, expressly directed the district court to consider reasonable accommodations, and remanded “for additional findings and clarification by the district court.” Id. at 1528. Rather than requiring the district court to make the legal analysis or factual findings required by the Harris mandate, the majority wrongly excuses the district court’s errors by finding that the district court somehow “implicitly” did what it plainly did not do and expressly in the record refused to do.
C. Errors Affected a Core Issue and Denied Plaintiffs a Fair Trial
There is justifiable reluctance to reverse and remand once again for a new trial in this protracted case. But a retrial is required because the district court’s clear errors affected a core issue in the case and substantially prejudiced the plaintiffs’ trial. By negating one of plaintiffs’ principal claims — namely, that applying the DOC’s inmate risk classification system would allow at least some HIV-positive prisoners to be accommodated reasonably in certain prison programs — the district court drew into question its judgment with respect to each prison program for which plaintiffs suggested individualized risk assessment as a reasonable accommodation.
Although appellate courts should refrain from second-guessing prison officials and district courts in their difficult jobs, appellate courts should assure the fundamental right to a fair trial. The Harris panel aptly concluded that “it may turn out that the court’s conclusion of the significance of the risk of HIV transmission with regard to each program will be unaltered.” Harris at 1526. I likewise do not predict the result of a fair trial — but know only that plaintiffs were denied one.
In conclusion, the district court did not follow the Harris panel’s mandate, erred in precluding much of plaintiffs’ evidence regarding inmate risk classification, erred in refusing to consider the evidence that leaked in regarding inmate risk classification, and erred in refusing to consider inmate risk classification as a reasonable accommodation. Respectfully, I would vacate the district court’s decision and remand this case for a new trial.
. The Supreme Court and this Court have indicated that § 504 of the Rehabilitation Act requires covered recipients of federal funds to make "reasonable accommodations” to permit individuals with disabilities, such as HIV, to participate in programs offered by such recipients. See Alexander v. Choate,
. In holding that Title II of the ADA applies to state prisons, the Supreme Court noted that "[m]odern prisons provide inmates with many recreational ‘activities,’ medical 'services,' and educational and vocational 'programs,' all of which at least theoretically 'benefit' the prisoners.” Pennsylvania Dep't of Conections v. Yeskey,
.Indeed, the Harris panel expressly stated that the district court on remand should "examine as to each [prison] program whether 'reasonable accommodations' by the DOC could minimize such [HIV] risk to an acceptable level.” Id. at 1527. The Harris panel directed that "whether the risk of [HIV] transmission is sufficient to warrant categorical exclusion, and if so, whether that risk can be rendered minimal through accommodation, are findings the district court must make on remand.” Id. at 1527 n. 47. The Harris panel remanded for “full findings of fact and conclusions of law as to each program and activity from which HIV-positive prisoners are being excluded, and a proper weighing of the dangers of transmission in each context.” Id. at 1527.
. In at least one instance, the district court clarified that it would not consider the classification evidence that had leaked in, and the court directed that the testimony be struck from the record. R.34 at 214. Plaintiffs’ attorney then inquired, “Am I understanding correctly that ... any information about determining which inmates are likely to engage in high risk behavior, meaning culling the good from the bad, will not be allowed?”, to which the court responded, "That is correct. That is a fairly good analysis of it.... Now I
. See, e.g., R.24 at 289-91; id. at 299-300; R.26 at 15-20; R.34 at 214-15; R.35 at 214; id. at 215; id. at 220; id. at 222; id. at 227; id. at 228; id. at 230; id. at 231.
. It is noteworthy that the Harris panel aptly observed, "Intuitively, however, it seems as if there are several programs or activities in
