Alloway v. Hodge

F I L E D
United States Court of Appeals
Tenth Circuit
UNITED STATES COURT OF APPEALS
AUG 13 2003
FOR THE TENTH CIRCUIT
PATRICK FISHER
Clerk
ARTHUR JOHNEL ALLOWAY,
Plaintiff-Appellee,
v. No. 02-7104
(D.C. No. 01-CV-104-S)
DR. TOMMY HODGE; DR. (E.D. Okla.)
JEFFREY TROUT; DR. JOANN
RYAN; JUDY WAKEN,
Defendants-Appellants.
ORDER AND JUDGMENT *
Before TACHA , Chief Judge, BRORBY , Senior Circuit Judge, and HARTZ ,
Circuit Judge.
After examining the briefs and appellate record, this panel has determined
unanimously to grant the parties’ request for a decision on the briefs without oral
argument. See Fed. R. App. P. 34(f); 10th Cir. R. 34.1(G). The case is therefore
ordered submitted without oral argument.
*
This order and judgment is not binding precedent, except under the
doctrines of law of the case, res judicata, and collateral estoppel. The court
generally disfavors the citation of orders and judgments; nevertheless, an order
and judgment may be cited under the terms and conditions of 10th Cir. R. 36.3.
Defendants in this case appeal from the district court’s order denying their
motion to terminate an injunction entered under the Prison Litigation Reform Act
(PLRA). The injunction requires defendants to continue to administer plaintiff
Arthur Alloway’s prescribed medical treatment until final resolution of Alloway’s
action filed pursuant to 42 U.S.C. § 1983. Our jurisdiction arises under 28 U.S.C.
§ 1292(a)(1), and we affirm.
I.
Alloway, an Oklahoma state prisoner, filed his § 1983 complaint seeking
relief for the alleged denial of prescribed medical treatment for his diagnosed
liver disease. The facts leading up to the district court’s issuance of injunctive
relief are well known to the parties and recounted in detail in the court’s
September 21, 2001 order. In that order, the district court denied Alloway’s
request for examinations by two particular private physicians, as well as his
request for a resumption of Actigall, a medication used to dissolve certain types
of gallstones. Nevertheless, the court granted Alloway’s request for resumption
of his prescribed treatment of Oxycontin (a narcotic), milk thistle, and vitamin C,
finding that Alloway had shown a substantial likelihood of success on his claim
that defendants acted deliberately indifferent by discontinuing that treatment.
The court stated:
-2-
[W]ith respect to the requested treatments in the forms of Oxycontin,
Milk Thistle, and Vitamin C, the court finds plaintiff has met his
burden for the issuance of a preliminary injunction. The evidence
demonstrates that, in violation of Estelle [v. Gamble, 429 U.S. 97(1976)], he was not allowed to continue with his prescribed treatment
after transferring to his current facility, so there is a substantial
likelihood of success on the merits of this claim. There is no dispute
that plaintiff suffers from serious liver disease; the only question
concerns the proper treatment. Plaintiff has been examined by
Dr. Marlene Bynum and Dr. Barseloux at Griffin Memorial Hospital,
and both recommended Oxycontin, Milk Thistle, and Vitamin C.
Dr. Yarborough, the pain specialist, as would be expected, only made
recommendations for plaintiff’s pain management. Dr. Trout[] and
Dr. Ryan apparently disagree with the private physicians, but they
have failed to articulate the medical rationale for their denial of these
treatments which were allowed at a previous DOC facility.
Aplt. App. at 130. The district court then made specific findings concerning the
remaining requirements for a preliminary injunction, stating that plaintiff will
suffer irreparable harm if he is not allowed to continue the prescribed treatments
and that the injunction will not cause damage to defendants or be adverse to the
public interest. The court concluded “[t]his temporary injunction is effective
immediately and shall remain in force until further order of the court.” Id. at 131.
Defendants did not appeal the court’s September 21, 2001 order. Instead,
on October 19, 2001, defendants filed their motion to terminate the injunction
pursuant to the PLRA. In that motion, defendants argued that the district court
failed to make the additional findings mandated by the PLRA and codified at
18 U.S.C. § 3626, that the injunction is narrowly drawn, extends no further than
necessary, and is the least intrusive means necessary to correct the violation of the
-3-
federal right. 18 U.S.C. § 3626(a)(1). Defendants also argued that, because
the record presented only a difference of opinion between Alloway’s doctors,
“there has been no finding that any of Plaintiff’s Federal rights were violated.”
Aplt. App. at 132.
At a hearing on May 23, 2002, defendants added that the district court’s
failure to make the required findings under § 3626(a)(1), and its failure to make
the order “final” pursuant to § 3626(a)(2), resulted in the automatic termination of
the injunction after ninety days. Defendants argued that the statement in the
court’s order that the injunction “shall remain in force until further order of the
court” contradicted § 3626(a)(2)’s automatic expiration provision, but that, even
if the court were to make the required findings after-the-fact, defendants would
present evidence demonstrating that those findings could not be made. There was
some confusion over the scope of the hearing, as Alloway’s counsel objected to
the presentation of medical evidence going to the issue of deliberate indifference,
an issue which had been previously briefed and litigated. The magistrate judge
ruled that defendants could present their evidence but limited it to issues arising
after the preliminary injunction was granted on September 21, 2001. The
magistrate judge stated:
[T]he appropriate issue is whether or not the defendant or the
plaintiff’s condition has changed since the last hearing. I think I will
allow you to call your witness to testify with regard to whether or not
the–the administration of these drugs poses a danger to him at the
-4-
present point because of a change in his condition. I’m not going to
allow a revisiting about whether or not this was the right medical
treatment to be ordered in the injunction of September of 2001.
Aplt. App. at 146-47. The magistrate judge further ruled that defendants could
present evidence showing the risk or harm to the prison system by providing
Alloway’s treatment.
In her findings and recommendation dated May 30, 2002, the magistrate
judge recommended denying defendants’ motion to terminate the injunction. As
to defendants’ claim that there had been no finding that any of Alloway’s federal
rights were violated, the magistrate judge reviewed the relevant evidence,
including defendants’ evidence going to any adverse impact of Alloway’s
treatment on the operation of the prison, and stated:
[T]he court’s order granting the injunction expressly made a finding
that the defendants were deliberately indifferent to plaintiff’s serious
medical needs. The issue is not simply a difference of opinion;
instead, it concerns whether plaintiff’s established treatment could be
summarily halted without medical justification. Throughout this
litigation, the defendants have failed to offer a medical rationale for
discontinuing plaintiff’s treatments, but there has been ample
evidence that the recommended treatments were appropriate and
helpful.
Id. at 225 (citation omitted).
As to defendants’ claim that the order granting the preliminary injunction
did not make the PLRA’s required findings, the magistrate judge stated that
“while the statute was not quoted in the order, the substance of the order included
-5-
the requisite findings.” Id. Accordingly, the magistrate judge concluded that “the
injunction did not automatically terminate after 90 days.” Id. at 226. The
magistrate judge also made findings pursuant to 18 U.S.C. § 3626(b)(3), which
provides that ongoing prospective relief shall not terminate if the court makes
written findings that the relief remains necessary to correct an ongoing violation
of a federal right, extends no further than necessary, and that the prospective
relief is narrowly drawn and the least intrusive means to correct the violation.
After reviewing defendants’ objections, the district court adopted the
magistrate judge’s recommendation to deny defendants’ motion. In its order, the
court also made findings pursuant to the PLRA “that its September 21, 2001,
issuance of the preliminary injunction requiring the treatment of Plaintiff with
Oxycontin, Vitamin C, and Milk Thistle extends no further than is necessary to
correct the violation of Plaintiff’s constitutional right to adequate medical care,
it is narrowly drawn, and it is the least intrusive means to correct the violation.”
Aplt. App. at 245-46 (citing § 3626(a)(1)). The court also concluded that it
complied with § 3626(a)(2)’s mandate to make the order “final” during the
ninety-day period, stating “that while no subsequent order has contained language
making the September 21, 2001, preliminary injunction ‘final’ before the
expiration of the 90-day period, the September 21, 2001, order itself contains
-6-
functionally equivalent language mandating that the preliminary injunction ‘shall
remain in force until further order of the court.’” Id. at 246.
On appeal, defendants argue that the district court did not comply with the
PLRA, and that the preliminary injunction expired on or about December 20,
2001, placing the burden on Alloway to continue to prove that injunctive relief
was still necessary. According to defendants, the district court’s later findings
were impermissible retroactive attempts to comply with the statute. Defendants
also argue that, for several reasons, the district court erred when it refused to
terminate the preliminary injunction. “The scope of appellate review of a district
court’s discretionary grant of a preliminary injunction is narrow. Unless the
district court abuses its discretion, commits an error of law, or is clearly
erroneous in its preliminary factual findings, the appellate court may not set aside
the injunction.” Hartford House, Ltd. v. Hallmark Cards, Inc., 846 F.2d 1268,
1270 (10th Cir. 1988).
II.
Clearly, the PLRA requires that district courts issuing prospective relief in
cases involving prison conditions make certain findings in order for that relief to
conform to the law. Section 3626(a)(1) states:
Prospective relief in any civil action with respect to prison conditions
shall extend no further than necessary to correct the violation of the
Federal right of a particular plaintiff or plaintiffs. The court shall
-7-
not grant or approve any prospective relief unless the court finds that
such relief is narrowly drawn, extends no further than necessary to
correct the violation of the Federal rights, and is the least intrusive
means necessary to correct the violation of the Federal right. The
court shall give substantial weight to any adverse impact on public
safety or the operation of a criminal justice system caused by the
relief.
18 U.S.C. § 3626(a)(1). Section § 3626(a)(2), which specifically addresses
preliminary injunctive relief, essentially repeats the mandate, stating that
[p]reliminary injunctive relief must be narrowly drawn, extend no
further than necessary to correct the harm the court finds requires
preliminary relief, and be the least intrusive means necessary to
correct that harm. The court shall give substantial weight to any
adverse impact on public safety or the operation of a criminal justice
system . . . .
18 U.S.C. § 3626(a)(2). That section, however, adds the following language:
“Preliminary injunctive relief shall automatically expire on the date that is 90
days after its entry, unless the court makes the findings required under subsection
(a)(1) for the entry of prospective relief and makes the order final before the
expiration of the 90-day period.” Id. Section 3626(b)(2) provides that defendants
are entitled to immediate termination of prospective relief granted without the
required findings, subject to the following limitation in subsection (3):
Prospective relief shall not terminate if the court makes written
findings based on the record that prospective relief remains necessary
to correct a current and ongoing violation of the Federal right,
extends no further than necessary to correct the violation of the
Federal right, and that the prospective relief is narrowly drawn and
the least intrusive means to correct the violation.
-8-
18 U.S.C. § 3626(b)(3). Section 3626(e)(1) requires courts to rule promptly on
motions to terminate prospective relief, a requirement bolstered by § 3626(e)(2),
which provides for an automatic stay of prospective relief after limited periods of
time if the court has not ruled on the motion. The stay is mandatory, and the
district court may not use its equitable power to enjoin it. Miller v. French,
530 U.S. 327, 340 (2000).
Defendants’ argument that the preliminary injunction automatically expired
after ninety days requires this court to review the sufficiency of the district
court’s findings under the PLRA. In doing so, we note that the fundamental
purpose of the PLRA sections relevant to this case is to ensure that prospective
relief, in fact, is narrowly drawn, extends no further than necessary, and is the
least intrusive means necessary to correct the harm, not merely to ensure that the
district court uses these particular words to justify an otherwise untenable
injunction. Nevertheless, the statute is clear that, unless a district court
“makes the findings required under subsection (a)(1) for the entry of prospective
relief and makes the order final before the expiration of the 90-day period,”
a preliminary injunction automatically expires. 18 U.S.C. § 3626(a)(2).
The specific reference to the required findings in this section, along with
§ 3626(b)(2)’s mandate of immediate termination of prospective relief granted in
the absence of those findings, emphasizes the need for a district court to
-9-
sufficiently articulate the additional findings with some specificity so that there is
no doubt that the court considered the relevant factors in granting a preliminary
injunction. While later review of the substance of the order may reveal that the
prospective relief, in fact, is narrowly drawn, extends no further than necessary to
correct the violation, and is the least intrusive means necessary to correct that
violation, the relevant statutory passages reveal that it was Congress’s intent that
a district court make these findings explicit to demonstrate that the court
considered the appropriate factors in a timely manner.
The district court in the present case discussed the traditional factors used
for evaluating motions for preliminary injunction and made specific findings
regarding those factors, but it made no specific findings concerning the additional
requirements found in § 3626 of the PLRA. Because it lacks an explicit reference
to the statutory findings, or any other language which could reasonably be said to
address those findings, the order leaves us to doubt whether the district court
considered any of the PLRA’s additional factors when crafting the preliminary
injunction. Accordingly, because the order granting the preliminary injunction
did not contain the particular findings required by § 3626, that injunction expired
automatically after ninety days.
-10-
III.
This court is thus left with the question of what significance, if any, the
hearing and the additional findings made by the magistrate judge and district
court had on this proceeding. The implication of defendants’ argument on appeal
is that we should ignore these later events, forcing Alloway to file a new motion
for preliminary injunction. We refuse to do so, however, as we conclude that
Alloway effectively renewed his motion by arguing the merits of continuing the
prospective relief at the hearing on defendants’ motion to terminate the
injunction. Because defendants did not appeal the preliminary injunction, the
magistrate judge limited defendants’ evidence at the hearing to changes in the
parties’ conditions after September 21, 2001. Even if the magistrate judge erred
in restricting the scope of evidence to be admitted, defendants have failed to
demonstrate any prejudice from the restriction. The magistrate judge otherwise
gave defendants latitude in presenting evidence, and after reviewing all the
evidence, the magistrate judge concluded that preliminary prospective relief for
Alloway should continue. Subsequently, the magistrate judge and the district
court judge each made findings that were sufficiently articulated to demonstrate
that the court considered the relevant factors under the PLRA. Thus, although the
original preliminary injunction had technically expired on or about December 20,
2001, the district court effectively entered a new injunction, fully compliant with
-11-
the PLRA, on July 18, 2002. “Nothing in the [PLRA] limits the number of times
a court may enter preliminary relief.” Mayweathers v. Newland, 258 F.3d 930,
936 (9th Cir. 2001). The magistrate judge’s conclusion that “the substance of the
[September 21, 2001] order included the requisite findings,” Aplt. App. at 225,
was in error. Nevertheless, because we conclude that defendants have not
sufficiently demonstrated prejudice, and in light of the court’s hearing and
subsequent findings, that error is harmless.
IV.
Defendants also argue that the injunction itself demonstrates an abuse of
discretion. Defendants point to some additional items of evidence that “make it
imperative that the Preliminary Injunction be terminated, both for the safety of the
Plaintiff and the entire corrections system.” Aplt. Br. at 14. This new evidence
was presented to the magistrate judge, who nonetheless recommended that the
injunction continue. “Under the abuse of discretion standard[,] a trial court’s
decision will not be disturbed unless the appellate court has a definite and firm
conviction that the lower court made a clear error of judgment or exceeded the
bounds of permissible choice in the circumstances.” Moothart v. Bell, 21 F.3d
1499, 1504 (10th Cir. 1994) (quotation omitted). Moreover, “[a] district court
abuses its discretion when it renders an arbitrary, capricious, whimsical, or
manifestly unreasonable judgement.” Coletti v. Cudd Pressure Control, 165 F.3d
-12-
767, 777 (10th Cir. 1999) (quotation omitted). After carefully reviewing the
record in this case, we see nothing to suggest that the district court acted
unreasonably in discounting defendants’ newly discovered evidence in this case.
The injunction does not prevent the prison from taking appropriate measures to
prevent Alloway from abusing the medications, so long as they are not withheld.
Accordingly, the judgment of the district court is AFFIRMED.
Entered for the Court
Wade Brorby
Senior Circuit Judge
-13-