Opinion ID: 2425406
Heading Depth: 1
Heading Rank: 5

Heading: Exhaustion and the Grievance Procedure

Text: The PLRA provides in pertinent part: No action shall be brought with respect to prison conditions under section 1983 of this title, or any other Federal law, by a prisoner confined in any jail, prison, or other correctional facility until such administrative remedies as are available are exhausted. 42 U.S.C. § 1997e(a). The purpose of the PLRA is to reduce the quantity and improve the quality of prisoner suits ... [and to afford] corrections officials time and opportunity to address complaints internally before allowing the initiation of a federal case. Abney v. McGinnis, 380 F.3d 663, 667 (2d Cir.2004) (quoting Porter v. Nussle, 534 U.S. 516, 524-25, 122 S.Ct. 983, 152 L.Ed.2d 12 (2002)) (modifications in original). Section 1997e(a) requires proper exhaustion  that is, using all steps that the agency holds out, and doing so properly. Woodford v. Ngo, 548 U.S. 81, 90, 126 S.Ct. 2378, 165 L.Ed.2d 368 (2006) (quoting Pozo v. McCaughtry, 286 F.3d 1022, 1024 (7th Cir.2002)) (emphasis omitted). This entails both complet[ing] the administrative review process in accordance with the applicable procedural rules, Woodford, 548 U.S. at 88, 126 S.Ct. 2378, and providing the level of detail necessary in a grievance to comply with the grievance procedures. Jones v. Bock, 549 U.S. 199, 218, 127 S.Ct. 910, 166 L.Ed.2d 798 (2007); see also Espinal v. Goord, 558 F.3d 119, 124 (2d Cir.2009). Exhaustion is mandatory  unexhausted claims may not be pursued in federal court. See Johnson, 569 F.3d at 45 (citing Jones, 549 U.S. at 211, 127 S.Ct. 910). We turn now to the various written materials concerning New York's Inmate Grievance Procedure [3] (IGP) and to various practices that have developed under it. We discuss the application of the procedure and practices to appellants infra. The IGP defines a grievance as a complaint about the substance or application of any written or unwritten policy, regulation, procedure or rule of the [DOCS] or any of its program units, or the lack of a policy, regulation, procedure or rule. N.Y.C.R.R. § 701.2(a) (1994); cf. N.Y.C.R.R. § 701.2(a) (2006) ([A] complaint, filed with an IGP clerk, about the substance or application of any written or unwritten policy, regulation, procedure or rule ... or the lack [thereof]). The pertinent IGP provides a three step process for the handling of such complaints. To initiate the process, an inmate must file a written complaint with the Inmate Grievance Resolution Committee (IGRC), a facility committee composed of inmates and appointed staff members. See N.Y.C.R.R. § 701.4-.5. The complaint must contain a concise, specific description of the problem and the action requested. N.Y.C.R.R. § 701.7(a)(1)(i) (1998) (now codified as amended at N.Y.C.R.R. § 701.5(a)(2) (2007)). Second, the inmate can appeal an unfavorable IGRC determination to the superintendent of the facility. See N.Y.C.R.R. § 701.7(b) (1998) (now codified as amended and renumbered at N.Y.C.R.R. § 701.5(c) (2007)). Finally, an inmate can appeal an unfavorable superintendent's determination to the Central Office Review Committee (CORC). See N.Y.C.R.R. § 701.7(c) (1998) (now codified as amended and renumbered at N.Y.C.R.R. § 701.5(d) (2007)); Directive No. 4040. This scheme specifically contemplates challenges to DOCS policies and procedures. For example, when a grievance involves changes in policy, the IGRC is required to submit a recommendation to the superintendent, which, if accepted, can be appealed. N.Y.C.R.R. § 701.7(a)(4)(vi) (1998) (now codified as amended and renumbered at N.Y.C.R.R. § 701.5(b)(3)(ii) (2007)). Of particular importance to the proceeding before us is the provision that only those inmates who are affected by a policy or procedure, or lack thereof, may bring such a challenge. (An inmate must be personally affected by the policy or issue he/she is grieving, or must show that he/she will be personally affected by that policy or issue unless some relief is granted or changes made. All grievances must be filed in an individual capacity.) In addition, grievances alleging employee harassment, that is employee misconduct meant to annoy, intimidate or harm an inmate, see N.Y.C.R.R. § 701.11(a) (1994) (now codified and renumbered at N.Y.C.R.R. § 701.2(e) (2006)), can be processed through an expedited procedure created for the review of such grievances. N.Y.C.R.R. § 701.11(b) (1994) (now codified at N.Y.C.R.R. § 701.8(b)-(h) (2006)); Directive No. 4040, VIII. Pursuant to this expedited procedure, an inmate can report an alleged incident of harassment to the employee's supervisor. Such a report does not, however, preclude submission of a formal grievance. N.Y.C.R.R. § 701.11(b)(1) (1994) (now codified as amended and renumbered at N.Y.C.R.R. § 701.8(a) (2006)); Directive No. 4040, VIII(A). Any allegation of employee misconduct or harassment is to be given a grievance number, recorded with all other grievances in the grievance log and forwarded to the superintendent for his consideration. N.Y.C.R.R. § 701.11(b)(2) (1994) (now codified as amended and renumbered at N.Y.C.R.R. § 701.8(b) (2006)); Directive No. 4040, VIII(B). If the superintendent (or his or her designee) concludes that the grievance is not a bona fide case of harassment, the superintendent returns the grievance to the ordinary procedure. N.Y.C.R.R. § 701.11(b)(3) (1994) (now codified as amended and renumbered at N.Y.C.R.R. § 701.8(c) (2006)); Directive No. 4040, VIII(C). If the grievance presents a bona fide harassment issue, the superintendent can elect to: (i) initiate an in-house investigation, (ii) request an investigation by the Inspector General's Office; or (iii) in the event of criminal activity, request an investigation by the New York State Police. N.Y.C.R.R. § 701.11(b)(4) (now codified as amended and renumbered at N.Y.C.R.R. § 701.8(d) (2006)) Directive No. 4040, VIII(D). An inmate can then appeal the superintendent's determination to the CORC, provided she does so within four days. See N.Y.C.R.R. § 701.11(b)(6)-(7) (1994) (now codified as amended at N.Y.C.R.R. § 701.8(g)-(h) (2006) (now providing an inmate with seven days to appeal to the CORC)); see also Directive No. 4040, VIII(E)-(G). The class action complaint contains allegations about the actual practices followed under the IGP. Upon arrival at DOCS, it is alleged, female prisoners receive an orientation to DOCS policies and practices. The orientation encourages inmates to lodge sexual misconduct complaints with any official, including the Inspector General (IG), as well as DOCS supervisory staff and employees, whether orally or in writing. The IG's Office, and in particular, its Sex Crimes Unit, is alleged by the complaint to be the alternative administrative mechanism DOCS established to handle complaints of staff abuse. The Sex Crimes Unit receives more than 200 complaints of sexual misconduct every year. According to the complaint, it is DOCS' standard practice to refer such complaints to the IG for investigation, whether initiated by formal grievance or informal complaint. DOCS' ensuing response is also alleged to be inadequate by failing to initiate an investigation in a timely manner, failing to adequately investigate and credit inmate complaints, failing to maintain confidentiality, and failing to address any substantiated allegations meaningfully. According to appellants, inmates at DOCS facilities are provided with various materials regarding DOCS policies and procedures with respect to sexual abuse complaints. [4] For example, at Bedford Hills, the intake facility for all female inmates, see DOCS Directive No. 0046, the Orientation Manual urges female inmates to report [sexual abuse] ... to a supervisor immediately, go to grievance and make a record of the allegation, and write to the Superintendent or any official that you are comfortable approaching. Write to the Inspector General ... if you feel more comfortable going directly outside the facility. Bedford Hills Correctional Facility Inmate Orientation Manual 3 (1999); see also Bedford Hills Correctional Facility Inmate Orientation Manual 3 (2000)(same); Bedford Hills Correctional Facility Inmate Orientation Manual 4 (2003) ([R]eport [sexual misconduct] to any member of [Bedford Hill's] Executive Team or to Inmate Grievance). The record demonstrates that the policies conveyed by the inmate orientation manuals to female inmates are reinforced through memoranda and postings at the various prison facilities. Staff consistently testified that it was DOCS policy to allow women with complaints regarding sexual abuse to report such incidents to a variety of DOCS staff and officials. The Bedford Hills Orientation Manual also describes the IGP, explaining that a grievance is a complaint about the substance or application of any written or unwritten policy, regulation, procedure, or rule of the facility or department, or the lack of a policy or procedure. Bedford Hills Correctional Facility Inmate Orientation Manual 36 (1999); see also Bedford Hills Correctional Facility Inmate Orientation Manual 41 (2000); Bedford Hills Correctional Facility Inmate Orientation Manual 4 (2003). On this record, it is clear that, under DOCS policies and procedures, an IG investigation of alleged acts of sexual abuse is an integral part of the internal grievance procedure. The record contains testimony and email correspondence indicating that DOCS instructs its staff not to conduct any investigation into sexual abuse and that the grievance procedure operates only as a pass-through to the Sex Crimes Unit. Indeed, women prisoners who did pursue relief through the IGP were told that their complaints had been forwarded to the IG for investigation and appropriate action. All thirteen appellants had their allegations of sexual misconduct investigated by the IG, no matter how initiated. [5] It is clear, therefore, that the first step in the grievance procedure for an inmate alleging sexual abuse is an IG investigation, whether or not a request for policy/procedure reform is included. Such allegations, when presented to a superintendent, were routinely referred to the IG. Moreover, an IG determination about abuse of an inmate can be appealed to CORC when the determination is reported to and accepted by the superintendent. The grievance procedures are further complicated when challenges to DOCS policies concerning sexual misconduct are made. As noted, the regulations governing the IGP specifically contemplate its use to pursue challenges to existing policies as well as challenges that a policy should be created where one does not exist. See N.Y.C.R.R. § 701.2(a) (defining grievance as a complaint about the substance or application of any written or unwritten policy ... or the lack of a policy). As noted, appellants' complaint asserts just such a challenge. However, an inmate may not challenge a policy, or lack thereof, without a showing of concrete injury, N.Y.C.R.R. § 701.3(b), in this case an act of sexual abuse. Three appellants filed such grievances and appealed through all levels of the IGP procedure: Shenyell Smith, Stephanie Dawson, and Shantelle Smith. All three had their grievances investigated by the IG. When the allegation of an act of abuse is combined with a claim for reform of policies and the abuse determination is unfavorable to the inmate, both claims can be pursued on appeal from the IG or superintendent to CORC. But, it appears on this record that CORC does not entertain the claim for policy change unless the allegation of an act(s) of sexual abuse is upheld. In these three cases, the allegations of acts of sexual abuse were denied. In none of the three cases did any correctional official or tribunal ever mention the grievances' challenge to policies and procedures.