MARK WILLIAMS v. CORRECTION OFFICER PRIATNO, CORRECTION OFFICER GAMMONE, CORRECTION OFFICER JOHN DOE, STATE OF NEW YORK, NEW YORK STATE DEPARTMENT OF CORRECTIONS AND COMMUNITY SERVICE
14-4777
United States Court of Appeals, Second Circuit
July 12, 2016
August Term, 2015; Argued: February 29, 2016
FOR THE SECOND CIRCUIT
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August Term, 2015
(Arguеd: February 29, 2016 Decided: July 12, 2016)
Docket No. 14-4777
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MARK WILLIAMS,
Plaintiff-Appellant,
—v.—
CORRECTION OFFICER PRIATNO, CORRECTION OFFICER GAMMONE,
Defendants-Appellees,
CORRECTION OFFICER JOHN DOE, STATE OF NEW YORK, NEW YORK STATE
DEPARTMENT OF CORRECTIONS AND COMMUNITY SERVICE,
Defendants.*
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Before:
KATZMANN, Chief Judge, SACK and LOHIER, Circuit Judges.
* The Clerk of Court is directed to amend the caption to conform to the listing above.
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BRIAN M. FELDMAN (Michael J. Rooney, on the brief), Harter Secrest & Emery LLP, Rochester, NY, for Plaintiff-Appellant.
HOLLY A. THOMAS (Barbara D. Underwood and Anisha S. Dasgupta, on the brief), for Eric T. Schneiderman, Attorney General of the State of New York, New York, NY, for Defendants-Appellees.
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KATZMANN, Chief Judge:
Plaintiff-Appellant Mark Williams alleges in this
I. BACKGROUND
A. Department of Corrections and Community Supervision Grievance Procedures
The New York State Department of Corrections and Community Supervision (“DOCCS”) regulations outline the procedures that apply to the Inmate Grievance Program (“IGP”) at Downstate. The grievance process begins with the filing of a complaint within 21 days of an alleged incident.
Ordinarily, there are three levels оf review of a grievance. The first is by the inmate grievance resolution committee (“IGRC”); the second is by the facility superintendent; and the third is by the central office review committee (“CORC”). Id. §§ 701.1(c), 701.5. However, “harassment grievances”—those that involve “employee misconduct meant to annoy, intimidate or harm an inmate,” id. § 701.2(e)—are subject to expedited first-level review by the facility superintendent, id. § 701.8. When the grievance clerk identifies a harassment grievance, the clerk must forward the grievance to the superintendent on the same day that the grievance was filed. Id. § 701.8(b). If the grievance presents a bona fide harassment issue, then the superintendent must initiate an investigation, render a decision on the grievance, and inform the inmate of the decision within 25 days of receipt of the grievance. Id. § 701.8(d), (f). “If the superintendent fails to respond within the required 25 calendar day time limit
If an inmate is transferred to another facility while a grievance is pending, a response to the grievanсe shall be mailed to the inmate at the new facility. Id. § 701.6(h)(1). “If the grievant wishes to appeal, he or she must mail the signed appeal form back to the IGP supervisor at the facility where the grievance was originally filed within seven calendar days after receipt.” Id. § 701.6(h)(2). If an inmate wishes to file a new grievance about an incident that occurred prior to a transfer, he must file the grievance in the facility where he is currently housed, “even if it pertains to another facility.” Id. § 701.5(a)(1).
B. Facts and Procedural History
Williams was formerly incarcerated at Downstate. He alleges that, on December 31, 2012, he was in a search room (also known as a “drafting” room) while his personal items were being searched. A correction officer was “thoroughly probing [his] legal work” and he asked her to stop. Joint App. at 32. Williams explains that the legal papers were related to a separate action seeking damages for an assault he experienced while an inmate at Rikers Island. The
Williams alleges that on January 15, 2013, while he was housed in the SHU at Downstate, he drafted a grievance detailing the officers’ misconduct.1 He gave
Proceeding pro se, Williams filed a complaint in the United States District Court for the Southern District of New York on January 13, 2014, asserting a claim under
Defendants moved to dismiss the complaint on the basis that Williams failed to exhaust administrative remedies as required by the PLRA, citing records that show Williams never filed an appeal. In a decision dated December 10, 2014, the district court (Seibel, J.) granted defendants’ motion. The court reasoned that, even if Williams’s grievance had never been filed, he still could have aрpealed the grievance to the next level because the regulations allow an appeal in the absence of a response. The district court also sua sponte denied Williams leave to file a second amended complaint, concluding that “better pleading would not lead to a different result.” Joint App. at 66.
Williams filed a timely notice of appeal and subsequently moved for appointment of pro bono counsel. In granting his motion, we directed pro bono counsel to brief, among other issues, the following questions:
(1) whether the framework in Hemphill v. New York, 380 F.3d 680 (2d Cir. 2004) for excusing non-compliance with exhaustion of administrative remedies is still good law in light of Woodford v. Ngo, 548 U.S. 81 (2006); and (2) if so, whether a prison’s failure to respond to a grievance renders an administrative remedy “unavailable” so as to excuse the prisoner’s non-compliance with administrative exhaustion.
II. DISCUSSION
We review a grant of a motion to dismiss de novo. Hill v. Curcione, 657 F.3d 116, 122 (2d Cir. 2011). Specifically, the issue of “[w]hether a plaintiff has exhausted administrative remedies under the [PLRA] is also a question reviewed de novo.” Amador v. Andrews, 655 F.3d 89, 94–95 (2d Cir. 2011). For purposes of this review, we accept all of the factual allegations in the complaint as true, see Erickson v. Pardus, 551 U.S. 89, 94 (2007), and, because Williams appeared pro se before the district court, we are “constrained to conduct our examination with ‘special solicitude,’ interpreting the complaint to raise the ‘strongest claims that it
The PLRA instructs that “[n]o action shall be brought with respect to prison conditions under [
In Hemphill v. New York, 380 F.3d 680 (2d Cir. 2004), we set forth a three-part inquiry to guide our analysis of whether a plaintiff has satisfied the PLRA. See id. at 686–91. The first part involves an assessment whether administrative remedies were in fact available to the plaintiff; the second part instructs courts to consider whether defendants forfeited the affirmative defense of exhaustion by
Two years later, in Woodford v. Ngo, 548 U.S. 81 (2006), the Supreme Court weighed in on the importance of the PLRA exhaustion requirement without directly opining on the validity of the exceptions we outlined in Hemphill. In Woodford, a prisoner’s grievance was denied because it was not timely filed. Id. at 86–87. He then filed a lawsuit in federal court and argued he should be relieved from the PLRA exhaustion requirement on the basis that, as a result of his untimely filing, the grievance process was no longer available to him. Id. The Court rejected this position, emphasizing that the PLRA “requires proper exhaustion,” id. at 93, “which ‘means using all steps that the [prison grievance system] holds out, and doing so properly (so that the [prison grievance system] addresses the issues on the merits),” id. at 90 (emphasis in original) (quoting Pozo v. McCaughtry, 286 F.3d 1022, 1024 (7th Cir. 2002)). “Proper exhaustion demands сompliance with [a prison grievance system’s] deadlines and other critical
In the aftermath of Woodford, we were left to determine the extent to which our Hemphill framework remained intact. The text of the statute convinced the court that the first part of our inquiry—the determination of whether an administrative remedy was in fact “available” to the inmate—was still valid. See, e.g., Macias v. Zenk, 495 F.3d 37, 44–45 (2d Cir. 2007) (discussing Woodford and analyzing whether the grievance process was actually available tо the plaintiff); Johnston v. Maha, 460 F. App’x 11, 15 n.6 (2d Cir. 2012) (summary order) (“Although [Woodford] requires that prisoners ‘properly’ exhaust the available remedies under the PLRA, it certainly does not abrogate the unavailability defense to nonexhaustion.”); see also Woodford, 548 U.S. at 85 (focusing its analysis on “all ‘available’ remedies”). However, the continued viability of Hemphill’s inquiries regarding estoppel and special circumstances was less clear. See, e.g., Amador, 655 F.3d at 102; Macias, 495 F.3d at 43 n.1; Ruggiero v. Cty. of Orange, 467 F.3d 170, 176 (2d Cir. 2006).
Accordingly, we will shift our focus to an analysis of whether the PLRA’s textual “unavailability” exception applies here. Our decision in Hemphill touches
However, even if Williams technically could have appealed his grievance, we conclude that the regulatory scheme providing for that appeal is “so opaque” and “so confusing that . . . no reasonable prisoner can use [it].” Ross, 136 S. Ct. at 1859 (quoting Tr. of Oral Arg. 23). The regulations simply do not contemplate the situation in which Williams found himself, making it practically impossible for him to ascertain whether and how he could pursue his grievance.
Looking at the first option, an inmate does not even have the right to appeal a grievance to the next step until the time for the superintendent to respond has already passed—a date which, in the case of a harassment grievance, is already well beyond 21 days of the incident. See id. §§ 701.5(a)(1), 701.8(g). Regarding the second option, for similar reasons, the window to request
original complaint by DOCCS’s personnel.” Defendants’ Post-Argument Letter at 3. However, because such a grievance would not itself address the substantive allegations in the original unfiled grievance—and it is unclear how prevailing on the former would affect the ability to pursue the latter—under the circumstances of this case, it is at a minimum a roundabout, if not ineffectual, means for an inmate to attain relief.
Furthermore, if the regulations outlined above, as applied to a prisoner in Williams’s situation, were not already “so confusing” that “no ordinary prisoner
For the foregoing reasons, we conclude that the grievance procedures that were technically available to Williams are so opaque and confusing that they were, “practically speaking, incapable of use.” Ross, 136 S. Ct. at 1859. Accordingly, in giving his grievance to the correction officer, Williams exhausted
To avoid confusion going forward, we recommend that DOCCS revise its grievance procedures to instruct inmates how to appeal grievances that were not properly filed by prison staff, and how to appeal a grievance, to which the inmate never received a response, after being transferred.
III. CONCLUSION
Having concluded that Williams satisfied the PLRA’s exhaustion requirement, we REVERSE the judgment of the district court and REMAND for further proceedings in accordance with this opinion.
