FI LED U. S . COURT OF AP PE ALS E L E V E N T H C IR C U IT M ar c h 25, 2008 T HOM AS K. KAHN CL E RK [ DO NO T P UB L I S H] I N THE UN I TE D STATE S C OU RT OF APPE ALS F O R T H E E L E V E N T H C IR C U IT

________________________ N o. 07- 13752 N on -A rgum entC al endar

________________________ D . C . D o c k e tN o . 0 6 - 1 4 2 0 1 - C V - K MM G L E N N C . S M I T H , P la in tif f - A p p e lla n t, v ersu s F L O R I D A D E P A R T M E N T O F C O R R E C T I O N S , W a lte rA . M c N e il, S e c r e ta ryo f C o rr e c tio n s , L A R R Y B A R R I N E R , D e f e n d a n ts - A p p e lle e s .

________________________ A pp ea l fr om the U ni t ed S t at es D i stri ctC ou rt f orthe S outhe rn D i s tr i c tof F l or i da

_________________________ ( M ar c h 25, 2008) B efo re A N D E R S O N , C A RN E S an dP R Y O R , C i rcu i tJu d g es. P E R C U R I A M:2

G le n n S m ith , as ta te p r is o n e rp r o c e e d in g p r o s e , ap p e a ls th e d is m is s a l o f h is i n form a pauperi s ( “ IF P ”) 42 U . S . C . § 1 98 3 ci vi l ri gh t s c l ai m s f or fa i l ure t o st at e a c la im o n w h ic h r e lie f

m a yb e g r a n te d , th e d is m is s a l w ith o u t p r e ju d ic e o f h is c la im chal l engi ng the const i tut i on al i ty of F l ori da D epartm entof C orre ct i on s ( “ F D O C ”) di sc i pl i naryproceedi ng s, and d eni al of hi s m ot i on for r ec on si dera t i on of the order de ny i ng hi s m ot i on c ha l l e ngi ng the c ons t i tut i ona l i tyof the P r i s one rL i t i ga t i on R e f o rm A c t ( “P L R A ” ) . O n app ea l , S m i th argues that : (1) he properl y s t at ed re t al i at ory di sc i pl i nary re po rtand transfe r c l ai m s, and a cl ai m thatF l a. A dm i n. C od e r . 3 3 - 6 0 1 .3 1 4 § 6 - 1 “d is o b e y in g o r d e rru le ” ( p r o v id in g f o rd is c ip lin aryc o n f

in e m e n t if a p ri so n er v i o l at ed an y o rd er) w as faci al l y an das-ap p l i ed u n co n st i tu t i o n al ag ai n st S ecret ary W al t er A . M cN ei l o f th e F D O C , i n h i s o ffi ci al cap aci ty, an dag ai n st C apt a i n L a rryB a rr i ne r , i n hi s i ndi vi dua l c apa c i ty ; ( 2) the di s tr i c tc ourte rr e d bys ua sp o n t e d i sm i ssi n g h i s cl ai m ch al l en g i n g d i sci p l i n ary p ro ceed i n g s b ro u g h tag ai n st hi m w i thoutgi vi ng hi m the opportuni tyt o a m e nd hi s c om pl a i ntt o a dd the n ecessary p art i es; an d(3 ) th e P L R A v i o l at es th e E q u al P ro t ect i o n an dD u e P ro cess C lau s e s o f

th e C o n s titu tio n in th a t it im p in g e s o n th e f u n d a m e n ta l r ig h t o f

a c c e s s to the c ourt s a nd thus s houl d be r e vi e w e d unde rs tr i c ts c rut i ny , w hi c h i tw oul d not survi ve.3 I. A d is tr ic t c o u rt’s s u as p o n te d is m is s a l f o rf a ilu r e to s ta te ac la im p u r s u a n t to 28 U . S . C . § 1 91 5(e) (2)( B )( i i ) i s r evi ew ed de no vo , usi ng the sam e s t andards that g o v e rn F e d .R .C iv .P . 1 2 ( b ) ( 6 ) . M itc h e ll v . F a r c a s s , 1 1 2 F .3 d1 4 8 3 , 1 4 8 9 - 9 0 ( 1 1 th C ir . 1 9 9 7 ) . U n d e rth a t s ta n d a r d , w e v ie w “th e a lle g a tio n s in th e c o m p la in t a s tru e .” Id. at14 90 . A di stri ctcourtshou l d n otdi sm i ss a c om pl ai ntfor f ai l ure t o st at e a c la im “u n le s s it ap p e a r s b e y o n dd o u b t th a t th e p r is o n e rc a n p r o v e n o s e t o f f a c ts in s upportof

hi s c l a i m w hi c h w oul d e nt i t l e hi m t o r e l i e f . ” H a rm on v. B e rry , 728 F . 2d 1407, 1409 ( 11th C i r . 1984) . W e a l s o r e vi e w que s t i ons of c ons t i tut i ona l l a w de novo. U ni t e d S t a t e s v. W a r d, 486 F . 3d 1212, 1221 ( 11th C i r . ) , c e rt . de ni e d, 128 S . C t . 398 ( 2007) . P r o s e pl e a di ngs ge ne r a l l ya r e he l d t o l e s s s tr i nge nt s ta n d a r d s th a n c o u n s e le db r ie f s . H a in e s v . K e rn e r , 4 0 4 U .S . 5 1 9 , 5 2 0 , 9 2 S .C t. 5 9 4 , 5 9 6 , 3 0 L .E d .2 d6 5 2 ( 1 9 7 2 ) . A s a n i ni t i a l m a tt e r , S m i th a r gue d be l ow tha tdi s c i pl i na rypr oc e e di ngs i ns t i tut e d a ga i ns thi m a f t e rhe f a i l e d t o c om pl yw i th atr a ns f e ror de rvi ol a t e d the D ue P roce ss C l ause . H e, ho w ever , do es no tpres entar gu m enton appeal ch al l en g i n g th e d i stri ctco u rt ’ s fi n d i n g th atth e al l eg ed p ro ced u ral d u e p ro cess vi ol a t i ons w e r e i m pr ope r l ybr oughta ga i ns tM c N e i l a nd B a rr i ne r . I ns t e a d, he a r g u e s th a t h e s h o u ldh a v e b e e n g iv e n th e o p p o rtu n ityto a m e n dh is c o m p la in t to4

in c lu d e th e p r o p e rp a rtie s . A c c o r d in g ly , h e h a s ab a n d o n e dth e s e c la im s a g a in s t M cN ei l and B arri ner. S ee H orsl eyv. F el dt , 30 4 F . 3d 11 25 , 11 31 n. 1 (11 th C i r. 2 0 0 2 ) ( c o n c lu d in g c la im n o t r a is e do n ap p e a l ab a n d o n e d ) . A . D i sc i p l i n ary R ep ort an d T ran sf er P r i s on of f i c i a l s m a ynotr e t a l i a t e a ga i ns ti nm a t e s f orf i l i ng l a w s ui t s or adm i ni stra t i ve gri evances . W ri gh tv. N ew som e, 79 5 F . 2d 96 4, 96 8 (11 th C i r. 19 86 ). A n i nm at e r ai se s aconst i tut i on al cl ai m of re t al i at i on i f he e st abl i shes that the pr i s on di s c i pl i ne d hi m f orf i l i ng agr i e va nc e orl a w s ui tc onc e rni ng the c ondi t i ons of

hi s i m pr i s onm e nt . W i l dbe r ge rv. B r a c kne l l , 869 F . 2d 1467, 1 4 6 8 ( 1 1 th C i r . 1 9 8 9 ) . T o e s t ab l i s h ac l a i m f o rr e t a l i a t i o n , th e i n m a t e m u s ts h o w a c au s a l c o n n e c tio n b e tw e e n h is p r o te c te dc o n d u c t a n dth e h a rm c o m p la in e do f . F a rr o w v . W e s t, 3 2 0 F .3 d1 2 3 5 , 1 2 4 8 - 4 9 ( 1 1 th C ir . 2 0 0 3 ) . W hi l e s t at e def

endant s s ued i n thei r off i ci al capaci ty f

or m on et ary dam ages unde r§ 1983 a r e i m m une f r om s ui tunde rthe E l e ve nth A m e ndm e nt , the ya r e not i m m un e f

rom cl ai m s s ee ki ng prospect i ve decl ar at ory or i nj un ct i ve re l i ef . S ee P ow e l l v. B a rr e tt , 496 F . 3d 1288, 1308 & n. 27 ( 11th C i r . 2007) ; F l a . A s s ’ n of R e hab. F a c i l i t i e s v. F l a . D e p’ tof H e a l th a nd R e habi l i t a t i ve . S e rv. , 225 F . 3d 1208, 1 2 2 0 ( 1 1 th C ir . 2 0 0 0 ) . S m ith ’s c la im s a g a in s t M c N e il in h is o f f ic ia l c ap a c ity soug htprospect i ve i nj un ct i ve and d ec l ar at ory r el i ef .5

W e d o n o t r e c o g n iz e v ic a r io u s liab ility , in c lu d in g r e s p o n d e a t s u p e r io r , in § 1 98 3 act i on s. G oebertv. L ee C ou nty, 51 0 F . 3d 13 12 , 13 31 (11th C i r. 20 07 ). In G oe be rt , w e not e d tha t , i n or de rt o e s t abl i s h tha tade f e nda ntc om m i tt e d a co n st i tu t i o n al v i o l at i o n i n h i s o ffi ci al an dsu p erv i so ry cap aci t i es, a p l ai n t i ff m u st s h o w th a t th e d e f

e n d a n t in s titu te dac u s to m o rp o lic yr e s u ltin g in d e lib e r a te in d if f e r e n c e to c o n s titu tio n a l r ig h ts o rd ir e c te dh is s u b o r d in a te s to a c t u n la w f u lly orkne w tha tthe s ubor di na t e s w oul d a c tunl a w f ul l ya nd f

a i l e d t o s t op the m f

r om do i ng so. Id. W hi l e apo l i cyi s an o ff i ci al l y a do pt ed deci si on , “ [a ] cust om i s an u n w ri tt en p ract i ce th ati s ap p l i ed co n si st en t l y en o u g h t o h av e th e sam e effect as a po l i cyw i th the force of l aw , ” and “ [d] em on strat i ng a pol i cyor cust om re qu i re s s h o w in g [ in g ] ap e r s is te n t a n dw id e - s p r e a dp r a c tic e .” I d . a t 1 3 3 2 ( th ir da lte r a tio n in o r ig in a l) ( q u o ta tio n o m itte d ) . S m i th ha s f

a i l e d t o s t a t e ac l a i m f

orr e t a l i a t orydi s c i pl i na rypr oc e e di ngs a g a in s t b o th d e f

e n d a n ts b e c au s e th e d is c ip lin a ryo r d e rh e c h a lle n g e s w a s p r o p e r ly fi l ed aft er S m i th d i so b eyed an o rd er t o co o p erat e w i th th e tran sfer, an dn o tb ecau se he ha d f i l e d l a w s ui t s ora dm i ni s tr a t i ve gr i e va nc e s . F urthe r , S m i th ha s nots t a t e d a c la im f o rr e ta lia to rytr a n s f

e ra g a in s t B a rr in e rb e c au s e S m ith h a s n o t a lle g e dth a t B arri n er w as i n an y w ay resp o n si b l e fo r th e d eci si o n t o tran sfer h i m . A cco rd i n g l y, w e a f f irm th e d is tr ic t c o u rt’s d e c is io n a s to th o s e c la im s .6

H ow ever , because S m i th al l eged fac t s s uffi ci entt o st at e acl ai m agai nstS ec . Mc Ne i l f o rs u p e rv i s o ryl i ab i l i tyf o rp e rm i tt i n g wi d e s p r e a dr e t a l i a t o rytr a n s f e r s , we vaca t e the di stri ctcourt ’ s dec i si on as t o thatcl ai m and rem and for further pr oc e e di ngs . S m i th a l l e ge d tha the f i l e d a n i nc r e a s i ng num be rof gr i e va nc e s a nd c o m p la in ts , a n dw a s tr a n s f e rr e din r e ta lia tio n f

o rs u c h F ir s t A m e n d m e n t a c tiv ity . S m ith a ls o a lle g e daw id e s p r e a dp r a c tic e a n dc u s to m o f tr a n s f e rr in g in m a te s in r e ta lia tio n f

o re x e r c is in g th e irF ir s t A m e n d m e n t r ig h ts , th u s p u ttin g S e c . M c N e il on no t i ce there of. B . C on st i tu ti on al i ty of F l a. A d m i n . C od e. r. 33 -601 . 31 4, § 6 -1 “U n lik e th e s tr ic t s ta n d a r d s o f s c ru tin yap p lic ab le to th e c o n s titu tio n a l r ig h ts of pe r s ons i n f

r e e s oc i e ty , the S upr e m e C ourtha s a dopt e d ade f e r e nt i a l s t a nda r d f

or d e te rm in in g w h e th e rap r is o n r e g u la tio n v io la te s a n in m a te ’s c o n s titu tio n a l r ig h ts ,” and “ [a ] pri son regul at i on , even tho ug h i ti nfri ng es the i nm at e’ s c on st i tut i on al r ig h ts , is a n a c tio n ab le c o n s titu tio n a l v io la tio n o n lyif th e r e g u la tio n is un re as on abl e. ” H aki m v. H i cks, 22 3 F . 3d 12 44 , 12 47 (11th C i r. 20 00 ). In e xa m i ni ng the r e a s onabl e ne s s of the r e gul a t i on, w e us e the s t a nda r d a nnounc e d by the S upr e m e C ourti n T urne rv. S a f l e y , 482 U . S . 78, 89, 91, 107 S . C t . 2254, 2261, 2 2 6 3 , 9 6 L . E d . 2 d6 4 (1 9 8 7 ), an dco n si d er th e fo l l o w i n g fact o rs: ( 1) w he the rthe r e i s a“ va l i d, r a t i ona l c onne c t i on” be tw e e n the7

r e g u la tio n a n dale g itim a te g o v e rn m e n ta l in te r e s t p u t f o rw a r dto j us t i f yi t ; ( 2) w he the rthe r e a r e a l t e rna t i ve m e a ns of e xe r c i s i ng the assert ed co n st i tu t i o n al ri g h tth atrem ai n o p en t o th e i n m at es; (3) w hether and the ext entt o w hi ch ac com m od at i on of the as se rt ed r i ghtw i l l ha ve a n i m pa c ton pr i s on s t a f f , i nm a t e s , a nd the a l l oc a t i on of pr i s on r e s our c e s ge ne r a l l y ; a nd ( 4) w he the rthe r e gul a t i on rep resen t s an “ ex ag g erat ed resp o n se” t o p ri so n co n cern s. H a ki m , 223 F . 3d a t1247- 48. T he di s tr i c tc ourtpr ope r l ydi s m i s s e d S m i th’ s f a c i a l c ons t i tut i ona l c ha l l e nge t o the rul e . F i r s tof

a l l , the r e i s ar a t i ona l c onne c t i on be tw e e n the r e gul a t i on a nd th e l eg i t i m at e g o v ern m en t al i n t eresto f m ai n t ai n i n g secu re p ri so n s. A d d i t i o n al l y, S m i th’ s c om pl ai ntdem on stra t es there ar e a l t ernat i ve m eans by w hi ch he can e x e r c is e h is F ir s t A m e n d m e n t r ig h ts . A m e n d in g th e ru le to r e q u ir e p r is o n e r s to o b e yo n ly“le g a l” o r d e r s c o u ldle a dto as tr a in o n g u a r d s a n dr e s o u r c e s , a n dS m ith doe s nots ugge s ttha tthe di s obe y i ng or de rrul e i s a n e xa gge r a t e d r e s pons e t o the ov erri di ng need t o m ai nt ai n sec ure pri sons. M oreover, because the di sc i pl i nary r e portw a s i s s ue d f

orhi s r e f us a l t o f ol l ow a n or de r , a nd notf ora n a rbi tr a ryr e a s on o rin r e ta lia tio n f

o re x e r c is in g h is r ig h t o f f r e e s p e e c h , th e d is o b e y in g o r d e rru le w as no tappl i ed i n an u ncon st i tut i on al m anner. II. T h e d is tr ic t c o u rt m a yn o t d is m is s a n I F P c o m p la in t p u r s u a n t to § 1915( e ) ( 2) ( B ) ( i i ) w i thouta l l ow i ng l e a ve t o a m e nd w he n r e qui r e d by8

F ed. R . C i v. P . 15 . B row n v . John son, 38 7 F . 3d 13 44 , 13 48 (11th C i r. 20 04 ). U nd er Ru l e 1 5 ( a ) , ap a rtyma ya me n dac o mp l a i n t“ o n c e a s ama tt e ro f c o u r s e a ta n yt i me b e f o r e ar e s p o n s iv e p le a d in g is s e rv e d .” F e d .R .C iv .P . 1 5 ( a ) . S m ith ’s ar g u m e n t o n ap p e a l th a t h e s h o u ldh a v e b e e n g iv e n th e o p p o rtu n ity t o am end h i s c om pl ai nti s bas el es s bec ause he had n ot i ce thatthe di stri ctcourt w oul d l i ke l ydi s m i s s w i thoutpr e j udi c e hi s c ons t i tut i ona l c ha l l e nge t o the d is c ip lin a ryp r o c e e d in g s w h e n th e m a g is tr a te ju d g e r e c o m m e n d e dp r e c is e lyth a t, a n dh e d idn o t a tte m p t to a m e n dh is c o m p la in t. III. A di stri ctcourt ’ s deni al of a m ot i on for r ec on si dera t i on i s r evi ew ed for an abuse of di sc re t i on . C orw i n v . W al tD i sneyC o. , 47 5 F . 3d 12 39 , 12 54 (11th C i r. 20 07 ). W e r evi ew qu es t i on s of c on st i tut i on al l aw de no vo . W ar d, 48 6 F . 3d at 1221. W e ha ve a na l y z e d a nd uphe l d unde rthe r a t i ona l ba s i s t e s tva r i ous pr ovi s i ons of

the P L R A . F ore xa m pl e , i n H a rr i s v. G a rne r , 190 F . 3d 1279, 12 87 -90 (11 th C i r. ) vac at ed, re h’ g g rant ed, 19 7 F . 3d 10 59 (11th C i r. 19 99 ), re i nst at ed i n rel evantpart , 21 6 F . 3d 91 0 (11 th C i r. 20 00 ) ( en banc), w e hel d that 4 2 U .S .C . § 1 9 9 7 e ( e ) ’s p h y s ic a l in ju ryr e q u ir e m e n t: ( 1 ) d idn o t v io la te th e F if th A m endm ent ’ s D ue P roce ss C l ause because i tw as “ a l i m i t at i on on a dam ages r e m e dy ” ; a nd ( 2) di d notvi ol a t e the E qua l P r ot e c t i on C l aus e , a s i tonl yi m pa c t e d a9

pr i s one r ’ s r e m e di e s , nothi s a c c e s s t o the c ourt s . I n M i t c he l l , w e he l d tha tthe f ilin g f e e r e q u ir e m e n ts o f

§ 1 9 1 5 ( b ) d o n o t v io la te th e E q u a l P r o te c tio n C lau s e . M i t c he l l , 112 F . 3d a t1487- 89. I n V a nde rbe r g v. D ona l ds on, 259 F . 3d 1321, 1324 ( 11th C i r . 2001) , w e he l d tha ts uas pont e di s m i s s a l s unde r§ 1915( e ) ( 2) f or f a i l ur e t o s t a t e ac l a i m doe s notvi ol a t e the E qua l P r ot e c t i on C l aus e orthe procedural prot ec t i on s of the D ue P roce ss C l ause . B ec ause w e have anal yz ed un der the ra t i on al basi s t es t , and u ph el d as c ons t i tut i ona l , m a nyof

the P L R A ’ s pr ovi s i ons , i nc l udi ng s e ve r a l of the pr ovi s i ons S m ith ar g u ed w er e u n co n stitu ti o n al in h is m o ti o n ch allen g in g th e P L R A , S m ith ’s as se rt i on thatthe P L R A as a w ho l e m ustbe re vi ew ed un der, and d oes notsurvi ve, s tr ic t s c ru tin yis m e r itle s s . A c c o r d in g ly , th e d is tr ic t c o u rt d idn o t ab u s e its d is c r e tio n in d e n y in g S m ith ’s m o tio n f o rr e c o n s id e r a tio n . I V. I n c o n c l u s i o n , w e a f

f i rm th e d i s tr i c tc o u rt ’ s ( 1 ) d i s mi s s a l o f Smi th ’ s c l a i ms of a r et al i at ory di sc i pl i naryre po rt , (2) di sm i ss al of S m i th’ s c l ai m of re t al i at ory tr a ns f e ra ga i ns tB a rr i ne r , ( 3) di s m i s s a l of S m i th’ s c ons t i tut i ona l c ha l l e nge s t o the d is o b e y in g o r d e rru le , ( 4 ) d is m is s a l w ith o u t p r e ju d ic e o f S m ith ’s c h a lle n g e to F D O C di s c i pl i na rypr oc e dur e s , a nd ( 5) de ni a l of S m i th’ s m ot i on f

or r e c ons i de r a t i on. W e va c a t e the di s tr i c tc ourt ’ s di s m i s s a l of S m i th’ s c l a i m of10

ret al i at o ry tran sfer ag ai n stM cN ei l an drem an dfo r fu rth er p ro ceed i n g s. AF F I RME D I N P AR T , V AC AT E D A ND RE MAND E D I N P AR T