Sparks v. Foster

F I L E D
United States Court of Appeals
Tenth Circuit
UNITED STATES CO URT O F APPEALS
June 19, 2007
TENTH CIRCUIT Elisabeth A. Shumaker
Clerk of Court
STEPH EN TH EN E SPARK S,
Plaintiff - Appellant, No. 06-1113
v. D. Colo.
LT. FO STER, Arkansas Valley (D.C. No. 03-cv-1929-W YD-M EH )
Correctional Facility; LT.
SM ELTZER, Limon Correctional
Facility; LT. SK IP STRODE, Limon
Correctional Facility; LT. ERIC
HOFFM AN, Sterling Correctional
Facility; LT. N EA L M A G ELSON,
Sterling Correctional Facility; and
CAPT. M ICHELLE NYCZ, Sterling
Correctional Facility,
Defendants - Appellees.
OR D ER AND JUDGM ENT *
Before H E N RY, BR ISC OE, and O’BRIEN, Circuit Judges.
After examining the briefs and appellate record, this panel has determined
unanimously that oral argument would not materially assist in the determination
*
This order and judgment is not binding precedent except under the
doctrines of law of the case, res judicata, and collateral estoppel. It may be cited,
however, for its persuasive value consistent with Fed. R. App. P. 32.1 and 10th
Cir. R. 32.1.
of this appeal. See Fed. R. App. P. 34(a)(2); 10th Cir. R. 34.1(G). The case is
therefore ordered submitted without oral argument.
Stephen Sparks, a Colorado state prisoner, brought a 42 U.S.C. § 1983action complaining about the condition of his confinement. Appearing pro se, he
appeals from the district court’s judgment granting defendants’ motions to
dismiss and summary judgment. W e affirm.
I. Background
Sometime in 1995, Sparks claims to have been incorrectly labeled a gang
member by Lieutenant Foster w hile at the Arkansas Valley Correctional Facility.
Upon transfer to the Limon Correctional Facility, Sparks learned he was
considered a security threat and classified within a Security Threat Group (STG).
Later, Sparks was moved to the Sterling Correctional Facility. W hile there,
Sparks claims to have been told by Lieutenant Hoffman that he was considered a
leading member of a prison gang called “The Family.” W hen Sparks asked if he
could file a grievance to prove he is not a gang member, Lieutenant Hoffman said
no.
Sometime later, Sparks also claims: Captain Nycz at the Sterling
Correctional Facility forced him to cross a prisoner strike to work in the kitchen
despite inmate threats to any prisoner who crossed the line; he was selected based
on his STG classification and because the prison officials intended to use his
leadership role within the prison population to diffuse the volatile situation;
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Lieutenant M agelson of the Sterling Correctional Facility threatened him with
administrative segregation if he refused the assignment; and the assignment put
him in charge of other inmates and forced him to do the guard’s job. Sparks
believes being labeled a member of “The Family” by prison officials and being
forced to cross the strike line placed his life in danger with rival gangs.
On October 17, 2003, while still housed at the Sterling Correctional
Facility, Sparks filed an amended complaint against Lieutenant Foster of the
Arkansas Valley Correctional Facility; Lieutenants Smelzer and Strode of the
Limon Correctional Facility; and Lieutenants H offman, M agelson and Captain
Nycz of the Sterling Correctional Facility. Sparks asserted the defendants
violated his: (1) Fourteenth Amendment right to procedural due process, (2)
Sixth Amendment right to confrontation and (3) Eighth Amendment right to be
free of cruel and unusual punishment. He sought monetary damages and
injunctive relief to require prison authorities to establish a procedure for prisoners
to challenge gang or STG classification and to have his name removed from the
STG list.
Sparks’ Fourteenth and Eighth Amendment claims rested on the same
factual assertions. He claimed the defendants denied him the equal protections of
life and liberty by falsely accusing him of being a gang member without due
process of law and the unwarranted label of being a gang member of “The
Family” constitutes cruel and unusual punishment because it put his life in danger
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with rival gangs. Further, he claims Nycz, Hoffman and M agelson placed his life
in danger w hen they forced him to cross a prisoner work strike in the facility
kitchen at Sterling Correctional Facility, knowing of threats made against anyone
who crossed the picket line. Sparks’ Sixth Amendment right to confrontation
claim was based on the fact he was unable to present witnesses to disprove any
gang affiliation.
A. M otion To D ismiss
On M arch 4, 2004, defendants filed a motion to dismiss Sparks’ claims.
The matter was referred to a magistrate judge who issued a Recommendation for
Partial Dismissal on December 2, 2004. Sparks filed an objection to the
magistrate’s Recommendation on January 6, 2005. Based in part on the
magistrate judge’s recommendations, on February 2, 2005, the district judge
dismissed Sparks’ Fourteenth Amendment claim with prejudice because the
Colorado prison rules and regulations do not create a liberty interest in not being
labeled a gang member. The district judge also dismissed Sparks’ Sixth
Amendment claim with prejudice, reasoning the Sixth Amendment only applies to
criminal proceedings and the gang classification is not a criminal proceeding.
The district court did not dismiss the Eighth Amendment claim.
The district judge concluded Sparks’ allegations were sufficient to raise a
question whether the defendants deliberately exposed Sparks to harm at the hands
of other inmates. Addressing Sparks’ Eighth Amendment claim against the
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defendants in their official capacities, it determined the Eleventh Amendment
precluded Sparks’ claim for monetary damages. Although Eleventh Amendment
immunity does not apply to injunctive relief, the district court held injunctive
relief was moot as to all defendants except Foster, the only defendant currently
employed at the Arkansas Valley Correctional Facility. 1
As to the Eighth Amendment claims against defendants in their individual
capacities, the district court denied the motion to dismiss because Sparks had
sufficiently pled an Eighth Amendment claim to warrant monetary damages under
the Prison Litigation Reform Act (PLRA), 42 U.S.C. § 1997e(e).
B. M otion for Summary Judgment
After the district court ruled on the M otion to Dismiss, defendants filed a
M otion for Summary Judgment. Among other arguments, the defendants asserted
Sparks failed to exhaust available administrative remedies under the PLRA, 42
U.S.C. § 1997e(a) by failing to use the administrative grievance process. Sparks
filed a “M otion to Deny Defendant(s) M otion for Summary Judgment” and
included affidavits regarding the merits of his claims, but did not address the
issue of exhaustion. The summary judgment motion was referred to the
magistrate judge who recommended defendants’ motion be granted in part and the
1
Prior to the district judge’s ruling, Sparks was transferred back to the
Arkansas V alley Correctional Facility. Contrary to the ruling, however,
Lieutenant Foster left his position at the Arkansas V alley Correctional Facility to
become an STG coordinator at the Colorado State Penitentiary several years prior
to this complaint being filed.
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law suit dismissed without prejudice in its entirety based upon Sparks’ failure to
exhaust his administrative remedies. Sparks filed an objection to the magistrate
judge’s recommendation on December 20, 2005. In it, Sparks claimed for the
first time “[a] trial would reveal through records held by the defendants that the
Plaintiff did attempt to exhaust administrative remedies, by requesting from
facility chain of command, starting with Plaintiffs’ Case M anager Olsen, to Head
Case M anager Clarkson, and assistant W arden Soares, a grievance on the issue of
being forced to work in a hostile area, as a tool to defuse a facility uprising.” (R.
Vol. I, Doc. 77 at 2.) Sparks further asserted that once the authorities declined to
issue a grievance the issue was ended.
On February 21, 2006, the district court ruled on the defendants’ M otion
for Summary Judgment after considering the magistrate judge’s recommendations.
The district judge deemed Sparks’ objections to the magistrate’s recommendation
as timely and conducted a de novo review of his objections. The district court
granted the summary judgment motion and dismissed Sparks’ Eighth Amendment
claims without prejudice because Sparks failed to prove he exhausted the
available administrative remedies. A separate judgment dismissing Sparks’
complaint with prejudice was entered on February 22, 2006, which incorporated
both the order granting partial dismissal and the order granting summary
judgment for the defendants.
Sparks filed a notice of appeal and motion to proceed in form a pauperis
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(ifp) on M arch 22, 2006. The district court denied Sparks’ motion to proceed ifp
on April 17, 2006. It determined, pursuant to 28 U.S.C. § 1915(a)(3), the appeal
was not taken in good faith because Sparks did not show the existence of a
reasoned, nonfrivolous argument on the law and facts in support of the issues
raised on appeal. Sparks renew ed his ifp application with this Court and
consented to the disbursement of partial payments from his prison account toward
the filing fee.
II. Discussion
A. Fourteenth and Sixth Amendment Claims
W e review the district court’s dismissal of Sparks’ claims de novo pursuant
to Rule 12(b)(6), accepting all well-pleaded allegations as true and viewing them
in the light most favorable to Sparks. See Sutton v. Utah State Sch. for the Deaf
& Blind, 173 F.3d 1226, 1236 (10th Cir. 1999). Because Sparks appears pro se,
we review his pleadings and other papers liberally and hold them to a less
stringent standard than those drafted by attorneys. See Hall v. Bellmon, 935 F.2d
1106, 1110 & n.3 (10th Cir. 1991). Dismissal of a pro se complaint under Rule
12(b)(6) for failure to state a claim “is proper only where it is obvious that the
plaintiff cannot prevail on the facts he has alleged and it would be futile to give
him an opportunity to amend.” Oxendine v. Kaplan, 241 F.3d 1272, 1275 (10th
Cir. 2001) (quotation omitted).
Sparks asserts he was denied Fourteenth Amendment procedural due
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process and Sixth Amendment right to confrontation because he was not afforded
the opportunity to present witnesses and produce evidence to demonstrate he is
not a gang member. A due process claim under the Fourteenth Amendment can
only be maintained where the government has interfered with a constitutionally
cognizable liberty or property interest. See Bd. of Regents of State C olls. v. Roth,
408 U.S. 564, 569 (1972). Changing a prisoner’s classification generally does not
deprive him of liberty under the due process clause alone. Hewitt v. Helms, 459
U.S. 460, 468 (1983), overruled on other grounds by Sandin v. Conner, 515 U.S.
472, 479-83 (1995). A liberty interest may be implicated, however, when State
laws and prison regulations create a liberty interest to w hich due process
protections apply. M eachum v. Fano, 427 U.S. 215, 226, 229 (1976).
In Colorado, “[c]lassification decisions are within the discretion of the
Department of Corrections and a particular classification does not implicate any
liberty interest protected by the Fourteenth Amendment Due Process Clause.”
Green v. Nadeau, 70 P.3d 574, 577 (Colo. App. 2003) (citing Deason v. Kautzky,
786 P.2d 420, 422 (Colo. 1990) (en banc)). Because Sparks does not have a
liberty interest in a particular classification, be it a gang member or within an
STG, he cannot maintain an action based on the classification under the
Fourteenth Amendment. Therefore, the district court properly dismissed Sparks’
claim.
The district court also properly dismissed Sparks’ Sixth Amendment claim.
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“The protections provided by the Sixth Amendment are explicitly confined to
‘criminal prosecutions.’” United States v. Deninno, 103 F.3d 82, 86 (10th Cir.
1996) (quoting Austin v. United States, 509 U .S. 602, 608 (1993)). Sparks’
classification as a gang member was an administrative decision made by the
Department of Corrections and not part of a criminal prosecution.
B. Eighth Amendment Claim
The district court granted the defendants’ M otion for Summary Judgment
and dismissed Sparks’ Eighth A mendment claim for failure to exhaust
administrative remedies. A district court’s finding of failure to exhaust
administrative remedies and grant of summary judgment are reviewed de novo.
Fitzgerald v. C orrections C orp. of Am., 403 F.3d 1134, 1138, 1140 (10th Cir.
2005). W e apply the same legal standard on review of summary judgment as the
district court. Id. at 1140. W e may “affirm a district court decision on any
grounds for which there is a record sufficient to permit conclusions of law, even
grounds not relied upon by the district court.” United States v. Sandoval, 29 F.3d
537, 542 n.6 (10th Cir. 1994).
The PLRA requires prisoners to exhaust available administrative remedies
before bringing an action under 42 U.S.C. § 1983 in federal court. See 42 U.S.C.
§ 1997e(a); Porter v. Nussle, 534 U.S. 516, 524 (2002). At the time of the district
court’s decision, our precedent required prisoners to affirmatively plead
exhaustion. See Steele v. Federal Bureau of Prisons, 355 F.3d 1204, 1210 (10th
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Cir. 2003) (concluding § 1997e(a) imposes a pleading requirement on the
prisoner). During the pendency of this appeal, the Supreme Court issued Jones v.
Bock, wherein it determined “that failure to exhaust is an affirmative defense
under the PLRA, and that inmates are not required to specifically plead or
demonstrate exhaustion in their complaints.” 127 S.Ct. 910, 921 (2007).
W hether a pleading requirement or the subject of an affirmative defense, “there is
no question that exhaustion is mandatory under the PLRA and that unexhausted
claims cannot be brought in court.” Id. at 918-19 (citing Porter, 534 U.S. at 524).
W hen raising an affirmative defense in a motion for summary judgment,
“[t]he defendant . . . must demonstrate that no disputed material fact exists
regarding the affirmative defense asserted.” Hutchinson v. Pfeil, 105 F.3d 562,
564 (10th Cir. 1997) (citing M iller v. Shell Oil Co., 345 F.2d 891, 893 (10th Cir.
1965)). “If the defendant meets this initial burden, the plaintiff must then
demonstrate with specificity the existence of a disputed material fact.” Id. “If
the plaintiff fails to make such a showing, the affirmative defense bars his claim,
and the defendant is entitled to summary judgment as a matter of law.” Id.Here, appellees referred to Colorado Department of Corrections
Administrative Regulation No. 850-4 which requires an inmate to file a grievance
no later than thirty days from the date the offender knew or should have known of
the facts giving rise to a grievance. They then noted Sparks alleged he could not
file a grievance for classification issues but he made no such allegation with
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regard to the violation of his Eighth Amendment rights in association with his
temporary job assignment in the facility kitchen. Therefore, they contend Sparks’
claim should be dismissed because he failed to exhaust his remedies. 2
In his response, Sparks did not mention the exhaustion argument. Although
he attached two sworn affidavits he authored and numerous grievances, none of
the materials referenced his Eighth Amendment claim. Rather, he apparently
relied on his amended complaint, wherein he checked a box indicating he
exhausted the available administrative remedies and explained a prisoner’s
classification cannot be complained of in the prison system, thus he is allowed to
seek direct relief in court. However, in objection to the magistrate’s
recommendation for summary judgment based on exhaustion, Sparks claimed he
attempted to exhaust administrative remedies but w as denied the opportunity.
This was the first time Sparks responded to the failure to exhaust claim.
In granting the summary judgment motion, the district court determined
that Sparks failed to exhaust the available administrative remedies for his Eighth
Amendment claim. The district court determined Sparks’ request for a review of
2
The appellees never filed an answer to Sparks’ complaint or raised the
issue of exhaustion in their M otion to D ismiss. The issue of exhaustion was first
raised in their M otion for Summary Judgment.
Ordinarily, it is best to plead an affirmative defense in an answer or
amended answer. Ahmad v. Furlong, 435 F.3d 1196, 1202 (10th Cir. 2006).
However, “a defendant may use a motion for summary judgment to test an
affirmative defense which entitles that party to a judgment as a matter of law.”
Hutchinson, 105 F.3d at 564.
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the issue does not satisfy the exhaustion requirement because he had to file an
inmate grievance and seek intermediate and final administrative review if the
prison authorities deny the requested relief.
Sparks asserts on appeal the district court incorrectly ruled on this issue.
He repeats his argument that administrative review of the issue is foreclosed by
regulation, pointing to the Colorado Department of Corrections Administrative
Regulations grievance procedures which prohibit a grievance for prisoner
classification. See Colorado Department of Corrections, Admin. Reg. No. 850-04
(A ugust 1, 2003) (“This grievance procedure may not be used to seek review of . .
. classification . . . . Classification is entirely at the discretion of the
administrative head and classification committee of each institution.”). 3 He now
further asserts his case manager determined, because the classification comm ittee
placed him in the facility kitchen during the prison uprising, his grievance w as a
classification issue and not subject to review through the grievance procedures.
In his reply brief, Sparks alleges he requested a grievance on the issue, but his
case manager directly prevented him from filing grievances.
Other circuits have held that administrative remedies are not “available”
when prison officials refuse to provide prisoners with grievance forms. See
3
Other portions of this regulation have been amended since Sparks filed his
complaint. The amended regulation provides the same prohibition on filing
classification grievances with a different indexing format. See Colorado
Department of Corrections, Admin. Reg. No. 850-04(IV)(A)(4) (effective Dec.
15, 2006).
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M itchell v. Horn, 318 F.3d 523, 529 (3d Cir. 2003) (holding the district court
erred in dismissing inmate’s complaint for failure to exhaust administrative
remedies when court did not address inmate’s allegation that prison officials
failed to provide necessary grievance forms); M iller v. Norris, 247 F.3d 736, 738,
740 (8th Cir. 2001) (“W e believe that a remedy that prison officials prevent a
prisoner from ‘utiliz[ing]’ is not an ‘available’ remedy under § 1997e(a) . . . .”). 4
Sparks’ attempts to frame the issue under this precedent on appeal is too little, too
late.
W hile Sparks’ objection to the magistrate’s recommendation was both
timely and specific, as required by Rule 72(b) of the Federal Rules of Civil
Procedure, the issue of being denied a grievance form was never brought before
the magistrate judge for consideration. “In this circuit, theories raised for the
first time in objections to the magistrate judge’s report are deemed waived.”
United States v. Garfinkle, 261 F.3d 1030, 1032 (10th Cir. 2001). Furthermore,
4
W e have cited to either one or both of these cases favorably in a number
of unpublished opinions. See, e.g., Gonyea v. M ink, No. 06-1176, 2006 W L
3291702 *1 (10th Cir. Nov. 14, 2006) (unpublished); Colem an v. City & County
of Denver, 197 Fed. Appx. 764, 767 (10th Cir. Sept. 22, 2006) (unpublished);
Price v. Shinn, 178 Fed. Appx. 803, 805 n.3 (10th Cir. Apr. 28, 2006)
(unpublished); Baughman v. Harless, 142 Fed. Appx. 354, 359 (10th Cir. Aug. 2,
2005) (unpublished); Baldauf v. G aroutte, 137 Fed. Appx. 137, 141 (10th Cir.
June 24, 2005) (unpublished); Johnson v. Wackenhut Corrections Corp., 130 Fed.
Appx. 947, 950 (10th Cir. M ay 11, 2005) (unpublished); Garcia v. Taylor, 113
Fed. Appx. 857, 859 (10th Cir. Oct. 19, 2004) (unpublished); Hoover v. West, 93
Fed. Appx. 177, 181 (10th Cir. Feb. 19, 2004) (unpublished); Gonzales-Liranza v.
Naranjo, 76 Fed. Appx. 270, 273 (10th Cir. Oct. 2, 2003) (unpublished).
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Sparks’ allegations failed in form and substance to meet the burdens of
overcoming summary judgment.
To defeat a motion for summary judgment, evidence must be based on more
than mere speculation, conjecture or surmise. See Rice v. United States, 166 F.3d
1088, 1091-92 (10th Cir. 1999). “W hen a motion for summary judgment is made
and supported [by affidavits with sworn or certified papers], an adverse party may
not rest upon the mere allegations or denials of the adverse party’s pleading, but
the adverse party’s response, by affidavits or as otherw ise provided in [Rule 56],
must set forth specific facts showing that there is a genuine issue for trial.” Fed.
R. Civ. P. 56(e). Sparks’ allegation of being denied a grievance form was not
supported by sworn pleadings, affidavit, or other evidentiary material. Phillips v.
Calhoun, 956 F.2d 949, 951 n.3 (10th Cir. 1992) (“Unsubstantiated allegations
carry no probative weight in summary judgment proceedings.”). In this context,
Sparks w as required to go beyond his pleadings and set forth specific facts to
show he was denied grievance forms or was prevented from exhausting available
administrative remedies. “Rule 56(e) permits a proper summary judgment motion
to be opposed by any of the kinds of evidentiary materials listed in Rule 56(c),
except the mere pleadings themselves . . . .” Celotex Corp. v. Catrett, 477 U.S.
317, 324 (1986). Sparks obviously knew the value of an affidavit, since he
submitted two attached to his summary judgment response brief. The absence of
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any evidence, other than Sparks’ allegations, is insufficient to preserve the issue. 5
To the extent Sparks believes other reasons excused him from exhausting
administrative remedies, he is mistaken. “Even when [a] prisoner seeks relief not
available in grievance proceedings . . . exhaustion is a prerequisite to suit.”
Porter, 534 U.S. at 524. Thus, Sparks’ claim the administrative procedures w ere
futile does not excuse a lack of exhaustion. The Supreme Court has stressed it
“will not read futility or other exceptions into statutory exhaustion requirements
where Congress has provided otherwise.” Booth v. Churner, 532 U.S. 731, 741
n.6 (2001).
Regarding Sparks’ renewed application to proceed ifp on appeal, we have
review ed his contentions and adopt the district court’s finding that this appeal is
not taken in good faith. Coppedge v. United States, 369 U.S. 438, 446 (1962).
5
W e note the district court declined to address the remaining arguments
made by the appellees in support of summary judgment, in part, because of the
total exhaustion rule. See Ross v. County of Bernalillo, 365 F.3d 1181, 1188-90
(10th Cir. 2004) (holding where a prisoner submits a complaint with one or more
unexhausted claims the district court should ordinarily dismiss the entire action
without prejudice). The Supreme Court specifically rejected this rule in Jones v.
Bock. 127 S.Ct. at 923-26. In addition to declaring PLRA exhaustion an
affirmative defense, the Supreme Court determined the total exhaustion rule does
not “comport with the purpose of the PLRA to reduce the quantity of inmate
suits.” Id. at 925. Courts must now dismiss unexhausted claims as it encounters
them and proceed with exhausted claims on a claim-by-claim basis. Id. at 926.
The Supreme Court’s ruling does not change the outcome of this case. The
Eighth A mendment claim was the only remaining claim in the suit. Sparks’
failure to exhaust this claim ended the matter and the district court appropriately
declined to address the remainder of appellees’ arguments.
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W e deny Sparks’ motion to proceed ifp and order him to immediately remit the
full amount of the filing fee. Sparks’ motion for leave to file the reply brief out
of time is granted.
AFFIRM ED.
ENTERED FOR THE COURT
Terrence L. O’Brien
Circuit Judge
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