KELVIN ANDRE SPOTTS; BILLY AGUERO; MARCUS T. ARNOLD; BAENA JOSE MENDOZA; LLOYD BATTLES; ET AL v. UNITED STATES OF AMERICA
No. 09-41039
United States Court of Appeals for the Fifth Circuit
July 30, 2010
REVISED AUGUST 16, 2010
Before JONES, Chief Judge, and KING and HAYNES, Circuit Judges.
The plaintiffs–appellants, 453 present and former inmates of the Federal Correctional Complex, United States Penitentiary, in Beaumont, Texas, appeal the district court‘s dismissal of their claims under the Federal Tort Claims Act (FTCA) against the United States in connection with the decision made by Gerardo Maldonado, the Regional Director of the South Central Region of the Federal Bureau of Prisons, not to evacuate the Penitentiary in the aftermath of
I. BACKGROUND
Hurricane Rita, a Category 3 storm, came ashore on September 24, 2005, shifting eastward in the final hours before landfall away from Houston, Texas, and toward Beaumont, Texas, which sustained a direct hit. The Federal Correctional Complex in Beaumont, Texas, has three units: a low-security Federal Correctional Institution; a medium-security Federal Correctional Institution; and a high-security United States Penitentiary. Inmates from the low- and medium-security facilities were evacuated before or shortly after the hurricane‘s arrival. The plaintiffs in this suit, inmates from the high-security Penitentiary, were not evacuated—a decision that Maldonado made the day after the storm.
Hurricane Rita left Beaumont without electricity, water, or gasoline, and the city was declared to be part of a nine-county disaster area. The storm left the Federal Correctional Complex with significant damage, rendering its emergency generator inoperable, sweeping away large portions of its roof, and leaving it without a supply of potable water. The plaintiffs’ evidence shows that Penitentiary officials attempted early on to establish a temporary power grid but that their efforts were frustrated by unexpected setbacks. Emergency generators were delivered to the Penitentiary shortly after the storm, but without sufficient heavy wire to establish a grid. This wire was not readily
The significant discomfort caused by the lack of electricity was aggravated by a heat wave that swept the region in the days after the storm. The temperature exceeded 100 degrees Fahrenheit on sixteen of the days that the facility was without electricity and exceeded 90 degrees Fahrenheit on an additional seven. Inside the Penitentiary, the temperature was sometimes much higher. Floor wax melted; the cement and brick walls sweated; within a few days after the storm, the moisture developed into a slimy black mold. Without a working air conditioner, the air inside the prisoners’ cells was stagnant. The inmates spent their nights in pitch black darkness, without the ability to access electric emergency alarms.
The inmates allege that during the first three days after the storm, they remained locked in their cells. Inmates with chronic ailments did not have access to medical care—asthmatics could not access inhaler refills, diabetics could not get their insulin. During these first days, the inmates allege that they “received no food at all from the guards.” The guards did distribute water, but it was “colored brown with some type of matter flowing in it,” and smelled foul. The plaintiffs contend that they drank this water in any case because they were so dehydrated from the heat. On September 26, 2005, the prisoners received written confirmation in a memorandum from Timothy Outlaw, the Warden of the Beaumont complex, that the Penitentiary‘s water source had been declared non-potable and “should not be ingested under any circumstance.”
The plaintiffs allege that when they first received a meal, four days after the storm, the food provided was sandwiches made with moldy bread and spoiled
The inmates allege that they were not given the opportunity to shower until October 8, 2005, fourteen days after the storm. They allege that the shower water had a brownish color and offensive smell, and that the water immediately caused skin problems, such as open wound sores; peeling skin with pus; itching, burning rashes; and boils. The inmates did not receive medicine for these issues. No clean clothes were available, so the inmates were required to put their dirty clothes back on after showering.
The plaintiffs allege that they could not flush their toilets during the entire 36-day period, and that the odor of urine and feces in their cells was overpowering. There was little toilet paper and no way to wash their hands. When the toilets became too full, the guards passed out plastic bags in which the prisoners could relieve themselves. Filled bags were collected only at irregular intervals.2
The plaintiffs sued under the FTCA alleging that the decision not to evacuate the inmates after the storm gave rise to the state-law torts of negligence, recklessness, deliberate indifference, intentional infliction of emotional distress, malice, and wrongful death.3 When the district court dismissed those claims under
II. STANDARD OF REVIEW
We review de novo the district court‘s order granting the Government‘s motion to dismiss under
Although we generally review a district court‘s denial of leave to amend for abuse of discretion, where, as here, the district court‘s sole reason for denying such an amendment is futility, “we must scrutinize that decision somewhat more closely, applying a de novo standard of review similar to that under which we review a dismissal under
III. THE FTCA CLAIMS
The FTCA waives sovereign immunity and permits suit against the United States for claims sounding in state tort law for money damages.
The provisions of this chapter and section 1346(b) of this title shall not apply to[ a]ny claim based upon an act or omission of an employee of the Government, exercising due care, in the execution of a statute or regulation, whether or not such statute or regulation be valid, or based upon the exercise or performance or the failure to exercise or perform a discretionary function or duty on the part of a federal agency or an employee of the Government, whether or not the discretion involved be abused.
exception deprived it of subject matter jurisdiction and granted the Government‘s motion to dismiss under
To properly evaluate the plaintiffs’ contentions, some exegesis of the operation of the discretionary function exception is necessary. The Supreme Court has developed a two-part test for determining whether agency conduct qualifies as a discretionary function or duty. See Gaubert, 499 U.S. at 322–23. Under the first prong, the conduct must be a “matter of choice for the acting employee.” Berkovitz ex rel. Berkovitz v. United States, 486 U.S. 531, 536 (1988). “The exception covers only acts that are discretionary in nature, acts that ‘involv[e] an element of judgment or choice.‘” Gaubert, 499 U.S. at 322 (quoting Berkovitz, 486 U.S. at 536). Thus, “‘it is the nature of the conduct, rather than the status of the actor’ that governs whether the exception applies.” Id. (quoting United States v. S.A. Empresa de Viacao Aerea Rio Grandense (Varig Airlines), 467 U.S. 797, 813 (1984)). If a statute, regulation, or policy leaves it to a federal agency to determine when and how to take action, the agency is not bound to act
“The requirement of judgment or choice is not satisfied” and the discretionary function exception does not apply, however, “if a ‘federal statute, regulation, or policy specifically prescribes a course of action for an employee to follow,’ because ‘the employee has no rightful option but to adhere to the directive.‘” Id. at 322 (quoting Berkovitz, 486 U.S. at 536). In other words, the discretionary function exception does not apply if the challenged actions in fact violated a federal statute, regulation, or policy. See id. at 324 (“If the employee violates [a] mandatory regulation, there will be no shelter from liability because there is no room for choice and the action will be contrary to policy.“); Berkovitz, 486 U.S. at 547 (“[I]f the [agency]‘s policy did not allow the official who took the challenged action to [act] on the basis of policy considerations[,] the discretionary function exception does not bar the claim.“). As the circuits have concluded, the reason for this rule is obvious—a federal employee cannot be operating within his discretion if he is in fact violating a nondiscretionary policy. Our court has explained:
Just because the discretionary function exception would generally shield the government from FTCA liability otherwise arising from [a] policy decision, it does not follow that the government is automatically shielded from such liability when the acts of the particular agents seeking to implement that policy violate another federal law, regulation, or express policy. Actions taken to carry out a discretionary policy must be taken with sufficient caution to ensure that, at a minimum, some other federal law is not violated in the process.
Johnson v. Sawyer, 980 F.2d 1490, 1503 (5th Cir. 1992), vacated on other grounds, 47 F.3d 716 (5th Cir. 1995).
The plaintiffs contend that neither prong of the Berkovitz test is satisfied in this case. They contend that prong one is not satisfied because Maldonado‘s decision not to evacuate violated certain nondiscretionary statutory and policy duties. They contend that prong two is not satisfied because the decision not to evacuate was not a policy judgment or susceptible to policy analysis. Each of these contentions is discussed in turn. We note that the plaintiffs bear the burden of showing Congress‘s unequivocal waiver of sovereign immunity. See Kokkonen v. Guardian Life Ins. Co. of Am., 511 U.S. 375, 377 (1994). At the motion to dismiss stage, this includes pleading facts that facially allege matters
A. Prong One: Whether the Decision Not to Evacuate Violated Nondiscretionary Duties
The plaintiffs do not dispute that Maldonado‘s decision not to evacuate fell within the bounds of discretion committed to him for the administration of prisons under
1. The Eighth Amendment
The plaintiffs argue on appeal that Maldonado‘s decision not to evacuate violated the Eighth Amendment‘s ban on cruel and unusual punishment, and that this constitutional violation precludes the application of the discretionary function exception. This court has not yet determined whether a constitutional violation, as opposed to a statutory, regulatory, or policy violation, precludes the application of the discretionary function exception. See Castro v. United States, 608 F.3d 266 (5th Cir. 2010). We need not decide the issue here, however,
We observe, as the Government emphasized at oral argument, that although the plaintiffs’ pleadings asserted that the officials’ conduct of the Penitentiary in the aftermath of the storm was “cruel and unusual” and therefore a “constitutional tort” actionable under the FTCA,7 the plaintiffs did not plead, and never argued to the district court, that the Eighth Amendment precluded the application of the discretionary function exception. Even in their objections to the magistrate judge‘s report and recommendations, in which the plaintiffs cited numerous federal statutory and regulatory requirements that they contended precluded the application of the discretionary function exception, they nowhere cited the Eighth Amendment for the same. The plaintiffs’ argument that the Eighth Amendment precluded the operation of the discretionary function exception appeared for the first time in their appellate briefing, where it became virtually the centerpiece of the appeal. The plaintiffs have not explained why they did not raise this argument earlier.
To state a claim under the FTCA, a plaintiff has the burden of stating a claim for a state-law tort and establishing that the discretionary function exception does not apply. St. Tammany Parish, 556 F.3d at 315 n.3. The plaintiffs never raised their present Eighth Amendment argument when the district court was evaluating the merits of their FTCA claim. By failing to plead or otherwise argue to the district court that the alleged Eighth Amendment
2. The Safe Drinking Water Act
The plaintiffs also contend that the decision not to evacuate after the storm violated nondiscretionary duties imposed by the Safe Drinking Water Act,
We first note that the plaintiffs have not, in the district court or in this court, specified which requirements of the Safe Drinking Water Act the conditions at the Penitentiary failed to meet. The plaintiffs’ pleadings and briefing only allege, conclusorily, that Maldonado‘s decision as to whether or not to evacuate was constrained by nondiscretionary duties imposed by the Safe Drinking Water Act. They do not state which provisions of the Act, or regulations promulgated under the Act, were violated by that decision. These vague allegations, without more, arguably do not satisfy the plaintiffs’ burden
In any event, the plaintiffs’ contention that the Safe Drinking Water Act imposed nondiscretionary duties that were contravened by the decision not to evacuate lacks merit. The Safe Drinking Water Act delegates primary enforcement responsibility to the individual states, provided that the Environmental Protection Agency‘s Administrator has certified the state as meeting the conditions prescribed by
3. Program Statement 1290.04
Finally, the plaintiffs contend that the decision not to evacuate after Hurricane Rita violated nondiscretionary policy duties imposed by Bureau of Prisons Program Statement 1290.04, titled “Correctional Statements and Accreditation.” Program Statement 1290.04 requires federal correctional institutions to obtain accreditation from the American Correctional Association (ACA), a private, nonprofit organization. The ACA will grant accreditation if the correctional institution meets a certain number of mandatory and nonmandatory standards promulgated by the ACA. Full compliance with nonmandatory standards is not necessary to obtaining accreditation. See AM. CORRECTIONAL ASS‘N, STANDARDS FOR ADULT CORRECTIONAL INSTITUTIONS xviii (4th ed. 2003). Throughout their briefing, the plaintiffs cite to a superseded version of this publication. The current, 2003 version sets out the standards that were applicable when Hurricane Rita made landfall in September 2005. In the current edition, the standards have been renamed “Expected Practices” and have been renumbered. In discussing the standards the plaintiffs have cited, we refer to both the superseded and renumbered versions.
Program Statement 1290.04 sets out the requirement of ACA accreditation; the time frame for obtaining accreditation; the circumstances under which the time for accreditation may be extended or waived; procedures for annual recertification; and the methods through which compliance will be monitored and audited. It does not set out the particular mandatory and
In any event, the majority of the ACA standards that the plaintiffs allege to have been violated are nonmandatory.10 And as to the mandatory statements that the plaintiffs allege were violated, none imposes duties that were violated by the decision not to evacuate. The plaintiffs cite Expected Practice 4-4332 (formerly Standard 3-4313), which requires institutions to “provide[ ] for the control of vermin and pests,” as evidence that the Penitentiary officials were required to remediate the mold that grew on the Penitentiary walls in the damp aftermath of the storm. But the plaintiffs do not cite a dictionary definition or otherwise explain how mold qualifies as a “vermin” or “pest.” The plaintiffs next cite Expected Practice 4-4330 (formerly Standard 3-4311), which requires an institution‘s potable water to be “in compliance with jurisdictional laws and
The parties agree that in deciding not to evacuate after the storm, Maldonado was acting within the discretion accorded by
B. Prong Two: Whether the Decision Not to Evacuate Was “Based on Considerations of Public Policy”
Under the second prong of the Berkovitz test, we agree with the district court that Maldonado‘s decision not to evacuate the Penitentiary in the aftermath of Hurricane Rita was the type of public policy consideration that the discretionary function exception shields from judicial scrutiny. See Freeman v. United States, 556 F.3d 326, 340 (5th Cir. 2009). As we observed in Freeman, which involved a challenge to federal officials’ management of relief operations and evacuation efforts in the aftermath of Hurricane Katrina, “the government‘s decisions about when, where, and how to allocate limited resources within the exigencies of an emergency are the types of decisions that the discretionary
In reaching this conclusion, we observe, as we did in Freeman, 556 F.3d at 341, that the proper inquiry under prong two is not whether Maldonado in fact engaged in a policy analysis when reaching his decision but instead whether his decision was “susceptible to policy analysis.” Gaubert, 499 U.S. at 325 (“The focus of the inquiry is not on the agent‘s subjective intent in exercising the discretion conferred by statute or regulation, but on the nature of the actions taken and on whether they are susceptible to policy analysis.“); see also Shansky v. United States, 164 F.3d 688, 692 (1st Cir. 1999) (“The critical question is whether the acts or omissions that form the basis of the suit are susceptible to a policy-driven analysis, not whether they were the end product of a policy-driven analysis.“). Whatever Maldonado‘s actual decisionmaking process, it is clear that the health, safety, financial, and other feasibility concerns implicated by the evacuation decision render that decision susceptible to policy analysis.11
Because both prongs of the Berkovitz test are met, we conclude that the discretionary function exception precludes subject matter jurisdiction over the plaintiffs’ FTCA claims. In reaching this conclusion, we do not minimize or discount the severe hardships that the plaintiffs endured in the aftermath of the storm. We simply lack jurisdiction to provide relief under the statute through which the plaintiffs have chosen to pursue their claims.
IV. THE BIVENS CLAIMS
The plaintiffs also appeal the district court‘s denial of leave to file a proposed Fourth Amended Complaint, which would have raised substantially the same claims against the individual Penitentiary officials as a Bivens action in the event that the district court accepted the magistrate judge‘s recommendation to dismiss the plaintiffs’ FTCA claims. The magistrate judge recommended that leave to amend under
The magistrate judge reasoned that the Bivens claims were time-barred because the applicable statute of limitations had run. As the magistrate judge correctly observed, a Bivens action is controlled by the applicable state statute of limitations. This circuit, applying Texas law, has held that the statute of
On appeal, the plaintiffs contend that the magistrate judge should have applied Texas‘s residual, four-year limitations period to the Bivens claim, arguing that this is not a “personal injury lawsuit,” but a “civil rights complaint.” This characterization of the claim does not help the plaintiffs because we have previously held that federal civil rights claims filed in Texas are subject to Texas‘s two-year statute of limitations for personal injury. Jones v. Alcoa, 339 F.3d 359, 364 (5th Cir. 2003) (addressing § 1981 claims and stating: “Federal civil rights actions . . . lack[ing] an express statute of limitations[ ] are governed by the most closely analogous limitations period provided under state law. . . . [I]n Texas, the two-year statute of limitations for personal injury actions in Texas controls.“).
The plaintiffs also challenge the magistrate judge‘s conclusion that all of their claims began to accrue on September 24, 2005, when the hurricane made landfall. The plaintiffs contend that some inmates were not diagnosed with H.
V. CONCLUSION
For the above reasons, we conclude that the United States has not waived sovereign immunity for the discretionary functions alleged in this case and therefore AFFIRM the district court‘s dismissal for lack of subject matter
Notes
(a) In general.—The Bureau of Prisons, under the direction of the Attorney General, shall—
- have charge of the management and regulation of all Federal penal and correctional institutions;
- provide suitable quarters and provide for the safekeeping, care, and
subsistence of all persons charged with or convicted of offenses against the United States, or held as witnesses or otherwise; - provide for the protection, instruction, and discipline of all persons charged with or convicted of offenses against the United States;
- provide technical assistance to State and local government in the improvement of their correctional systems; and
- provide notice of release of prisoners in accordance with subsections (b) and (c).
