Williams v. Annucci
Opinion of the Court
Plaintiff-Appellant DeAndre Williams appeals from a memorandum and order of the United States District Court for the Northern District of New York (Mordue, J .). The district court, adopting the recommendation of the magistrate judge (Dancks, M.J. ), granted summary judgment to the defendants, various officials of the New York State Department of Corrections ("DOC"), on Williams's claim that the DOC's policy of not accommodating the dietary restrictions imposed by his Nazarite Jewish faith violated the Religious Land Use and Institutionalized Persons Act of 2000 (RLUIPA). The district court, adopting the reasoning of the magistrate judge, denied Williams's request for a permanent injunction because it found that, assuming Williams's beliefs were "sincerely held" and "substantially burdened" by the DOC's policy, the DOC's refusal to modify the menu for Williams furthered a compelling state interest in minimizing costs and administrative burdens, and the DOC's policy constituted the least restrictive means of furthering those interests. Special App'x 45-47.
We conclude that the district court erred in granting summary judgment to the DOC because it failed to appreciate, in the wake of the Supreme Court's decision in Holt v. Hobbs , --- U.S. ----,
*185BACKGROUND
Plaintiff-Appellant DeAndre Williams is a practicing Nazarite Jew and a prisoner of the New York State DOC. As part of his faith, Williams believes he must consume a grape-free, egg-free, vegetarian diet that is also kosher. Williams also has a dairy intolerance.
At the time this appeal was filed, the DOC prepared meals for inmates in two steps: first, it processed food at a central production center; then, it shipped that food to each prison facility where meals were prepared and served to inmates. The DOC makes two different menus available to prisoners: the general confinement menu ("GCM"), and the Cold Alternative Diet ("CAD"). The GCM meals, which are not certified kosher, include an entrée, side dishes, and a beverage. Many items on this menu include meat, dairy, or grapes. The DOC also typically offers an alternative entrée that does not contain meat, but that may contain dairy or grape products. The CAD menu, on the other hand, provides kosher food, but it includes meat, dairy, and grapes.
The DOC allows inmates to submit requests to substitute food for medical reasons, which the DOC then reviews on a case-by-case basis. The DOC generally does not permit substitutions for religious reasons. Instead, the DOC's policy is to advise inmates to "refrain from eating those food items which are contrary to [their] religious beliefs." App'x 250.
The DOC accommodates Williams's dairy allergy, but often in ways that conflict with his religion's requirements. For example, the DOC frequently replaces Williams's cream cheese with grape jelly or his cheese with meat. As a result, Williams cannot eat much of the food the DOC offers him. His diet is largely confined to hot cereal, bread, fruit, vegetables, soup, and peanut butter. Sometimes he tries to trade the food he cannot eat with other inmates, even though trading food is discouraged.
Since 2002, Williams has filed multiple grievances based on the DOC's refusal to accommodate his religiously required diet. Over the years, he has asked for a variety of accommodations, including transferring him to a facility that serves full kosher meals, providing him with a kosher vegetarian meal that does not include grapes, replacing the items he cannot eat with other items on the CAD, or removing the items he cannot eat from his tray.
In April 2011, Williams, acting pro se , brought this action. Williams alleged that the DOC violated his rights under the First Amendment and RLUIPA by refusing to accommodate his religious dietary restrictions, and he sought an injunction ordering the DOC to provide him with the meals his religion required. The district court denied Williams's motion for a preliminary injunction in March 2012, but denied the DOC's motion to dismiss the following February.
In May 2014, the DOC moved for summary judgment, arguing that it had a compelling interest in controlling costs and avoiding administrative burdens. By way of support, the DOC proffered a sworn declaration from Robert Schattinger, the DOC's Director of Correctional Food and Nutritional Services. Schattinger claimed that the DOC's experience with a kosher food line at its Green Haven facility had taught it that running such a program is "extremely expensive and administratively *186burdensome" and that such a service "[could] not be provided" statewide. App'x 392. The declaration stated that "maintaining the integrity of kosher [food] at the facility level is problematic."
The district court assigned the motion for summary judgment to a magistrate judge. The magistrate judge determined that there was no dispute that Williams's religious beliefs were "sincerely held" and that those beliefs were "substantially burdened" by the DOC's policy. Special App'x 45-47. Nevertheless, the magistrate judge found that the DOC's refusal to modify the menu for Williams furthered a compelling state interest in minimizing costs and administrative burdens and was the least restrictive way of furthering those interests. The magistrate judge thus recommended that the district court grant summary judgment to the DOC. Shortly before the district court decided the motion, the Supreme Court handed down Holt v. Hobbs , --- U.S. ----,
After the district court granted summary judgment, the DOC reported that it had made significant changes to its kosher meal program. In fact, the day after the DOC's brief was due in this appeal, the facility where Williams was then housed adopted a new kosher menu. The new menu is a largely vegetarian diet, with meat served twice per week and eggs once per week. The new meals are prepared at a kosher facility and prepackaged with a clear plastic lid and double-wrapping. That packaging gives the DOC greater capability to make kosher-compliant substitutions on a case-by-case basis. Williams, however, was transferred to a facility that does not participate in the new menu program. Regardless, even this new menu includes items he cannot eat, and he has said that he will not elect to adopt it.
In November 2015, we appointed pro bono counsel for Williams to brief the issue of "whether summary judgment was warranted on Appellant's claim for injunctive relief (a nutritionally adequate diet compliant with his religious beliefs) under the Religious Land Use and Institutionalized Persons Act." Mot. Order, Williams v. Fischer , No. 15-1018 (2d Cir. Nov. 4, 2015), ECF No. 55.
DISCUSSION
Williams argues on appeal that the district court erred in granting summary judgment to the DOC because the district court misunderstood, post- Holt , the extent to which the DOC's evidence of a compelling interest and least restrictive alternatives must be particularized to adequately respond to Williams's specific request for accommodations.
"We review a grant of summary judgment de novo , examining the evidence in the light most favorable to, and drawing all inferences in favor of, the non-movant."
*187Sheppard v. Beerman ,
I. Availability of a Permanent Injunction
The district court construed Williams's complaint as seeking a permanent mandatory injunction, but concluded that there was no defendant against whom effective injunctive relief could be awarded under RLUIPA. As the DOC concedes, this was an error.
Williams sued Brian Fischer, the Commissioner of the DOC, in his official capacity. Before the district court ruled on Williams's motion for summary judgment, Fischer retired, and Williams did not separately sue his successor.
Fischer's retirement had no effect on Williams's ability to obtain injunctive relief. It is settled that "suits against officers in their official capacity ... are directed at the office itself." Tanvir v. Tanzin , No. 16-1176,
Once Fischer retired, his successor, Acting Commissioner Anthony Annucci, was "automatically substituted" as a defendant. Fed. R. Civ. P. 25(d). And it is Annucci who has the power to order that Williams be accommodated. See
II. The Effect of Changes in DOC Policy
Next, we must decide what effect, if any, the recent changes to the DOC's dietary policy have on Williams's appeal. The DOC suggests that in light of these changes this case might be moot under RLUIPA's safe harbor provision or otherwise.
"In order for a federal court to retain jurisdiction over a case, an actual controversy must exist at all stages of review, not merely at the time the complaint is filed." Prins v. Coughlin ,
First, the DOC argues that the mootness point is better resolved by the district court. The DOC relies on *188Lumbermens Mutual Casualty Co. v. RGIS Inventory Specialists, LLC ,
In a variation of its mootness argument, the DOC argues that we should remand without addressing the merits so the district court can consider the new record in the first instance. The DOC's reliance on Farmer v. Brennan ,
III. RLUIPA Claim
RLUIPA states that "[n]o government shall impose a substantial burden on the religious exercise of a person residing in or confined to an institution ... unless the government demonstrates that imposition of the burden on that person-(1) is in furtherance of a compelling governmental interest; and (2) is the least restrictive means of furthering that compelling governmental interest." 42 U.S.C. § 2000cc-1(a). In practice, RLUIPA claims are evaluated under a burden-shifting framework whereby a plaintiff must first demonstrate that the state has imposed a substantial burden on the exercise of her religion; the burden then shifts to the state to demonstrate "that the challenged policy or action furthered a compelling governmental interest and was the least restrictive means of furthering that interest." Redd v. Wright ,
The district court agreed with Williams that his religious exercise had been substantially burdened by the DOC's policy of not providing him with religious dietary accommodations, but determined that the DOC had "met the burden of showing that for financial and administrative reasons" the DOC had a compelling state interest in limiting menu options. Special App'x 56. Williams argues that the DOC's compelling interest showing was inadequate particularly in the wake of Holt .
In Holt , the Supreme Court considered a Muslim inmate's RLUIPA challenge to an Arkansas Department of Correction policy that prohibited him from growing a half-inch beard. See
The Supreme Court reversed, holding that the department's evidence did not discharge its burden to show that it had a compelling interest in burdening Holt.
First, Holt made it plain that courts need not accept the government's claim that its interest is compelling on its face. See
Second, evidence of a policy's underinclusiveness relative to "analogous nonreligious conduct" may cast doubt on both whether the government's asserted interest is compelling and whether that policy actually is the least restrictive means of furthering that interest. See
Third, the government's compelling interest must be defined at an appropriately reduced level of generality-that is, the government must justify its conduct by demonstrating not just its general interest, but its particularized interest in burdening the individual plaintiff in the precise way it has chosen. See Holt ,
With these principles in mind, we consider Williams's challenge to the DOC's dietary policy.
A. The Government's Interest
In the district court, the DOC justified its refusal to accommodate Williams's dietary requirements by citing its compelling interest in controlling costs and avoiding administrative burdens. Neither party disputes that the DOC generally has a compelling interest in controlling costs and avoiding administrative burdens-or as another circuit has put it, an interest in "cost-efficient food service." See Curry v. Cal. Dep't of Corr. & Rehab. ,
We first observe that the government's interest in reducing costs is less compelling in the RLUIPA context than it is elsewhere. That is because RLUIPA explicitly states that complying with its terms "may require a government to incur expenses in its own operations to avoid imposing a substantial burden on religious exercise," codifying a congressional preference that prisons incur additional costs to accommodate inmates' free exercise rights. 42 U.S.C. § 2000cc-3(c).
Even before Holt , our circuit insisted that the government's proffered interests be particularized. For instance, in Salahuddin v. Goord ,
The DOC, citing to pre- Holt cases, argues that the district court correctly concluded that by proffering Schattinger's declaration it met its burden to show that it had a compelling interest in cost-efficient food service. We disagree.
At the most, the DOC's cases and others show that courts have found a compelling government interest in reducing costs where the government submitted detailed affidavits that showed that adopting the requested dietary restriction would significantly increase costs and administrative burdens. See, e.g. , Curry,
The DOC has not shown on the present record that accommodating Williams would significantly increase costs and administrative burdens. The record, unlike the one in Jova , is not replete with "voluminous affidavits and exhibits,"
As was the case in Holt , the DOC's policy is underinclusive because the DOC accommodates comparable medical dietary restrictions. Such unexplained disparate treatment of "analogous nonreligious conduct" leads us to question whether the DOC's interest in cost-efficiency is as compelling as it suggests given that there is no evidence that these medical accommodations have increased costs significantly or impaired efficiency. See Church of the Lukumi Babalu Aye ,
*192Even if the DOC's evidence were more detailed, it still might be inappropriate to accept its word that Williams's accommodations would be cost inefficient. See Holt ,
To the extent that the DOC's argument is that Williams's request is administratively burdensome because it would lead to more requests for accommodation from inmates, it is the "classic rejoinder of bureaucrats throughout history" rejected by the Supreme Court in Holt .
In sum, we conclude that the DOC failed to meet its burden of showing with particularity that it had a compelling interest in not accommodating Williams.
B. Least Restrictive Means
The government has also failed to show that its policy of not accommodating Williams is the least restrictive means of achieving its stated goal of running a cost-efficient food service program.
"The least-restrictive-means standard is exceptionally demanding, and it requires the government to show that it lacks other means of achieving its desired goal without imposing a substantial burden on the exercise of religion by the objecting party." Holt ,
*193Robinson v. Superintendent Houtzdale SCI ,
To establish that its chosen policy is the least restrictive means, the DOC must prove that each of the inmate's proffered alternatives is too burdensome. See Holt ,
To show that the chosen policy is the least restrictive means of furthering the government's compelling interest, the government must again account for a policy's underinclusiveness. See Holt ,
The DOC here has not made this difficult showing. First, the policy's underinclusiveness suggests, as it did in Holt , that a more tailored policy, less burdensome to Williams, is possible.
Second, the DOC has not shown that Williams's proposed alternatives are not viable. See
For these reasons, the DOC has not satisfied its burden under RLUIPA, and the district court erred in granting it summary judgment. Because fact questions remain as to whether the DOC's interest is compelling and its means are the least restrictive, in light of Williams's suggested alternatives, we remand for further factfinding. See
We would be remiss not to express our disappointment with the DOC's approach to litigating this case. It has been seven years since Williams initially filed his complaint. During that time, the record indicates that every day, three meals a day, Williams has been forced to cobble together sufficient food to eat while adhering to his protected religious diet. Meanwhile, the DOC failed to file a brief that grappled with Williams's argument about how Holt impacted the RLUIPA analysis, thereby prolonging this case. In situations like this, we would have to be naïve to overlook that it is in the government's interest to wage a war of attrition that draws out judicial proceedings until the plaintiff-inmate is released and the case is mooted. Now that the applicable standard has been clarified, we look forward to a speedy resolution of this dispute.
CONCLUSION
We therefore VACATE the district court's grant of summary judgment on Williams's claim for injunctive relief, and REMAND for further proceedings consistent with this opinion. The DOC's motion to vacate judgment and remand is DENIED as moot.
To Williams, it is important that an item he cannot eat be removed from his tray because if it seeps onto other acceptable items it contaminates them.
The DOC has also asked us to invoke our inherent authority to "vacate, set aside or reverse any judgment, decree, or order of a court" under
This is not to say that we would hold against a prison the efforts that it makes to accommodate inmates. In fact, RLUIPA provides a safe harbor for prisons that remediate infringing policies. See 42 U.S.C. § 2000cc-3(e). But where a facility has demonstrated a capability to accommodate inmates but chooses not to do so, we are well within bounds to consider that capability when determining how burdensome accommodating the plaintiff would actually be. See Sec'y, Fla. Dep't of Corr. ,
Reference
- Full Case Name
- Deandre WILLIAMS, a/k/a David Williams v. Anthony J. ANNUCCI, Commissioner of NYS Department of Corrections and Community Supervision, Cheryl V. Morris, Director, Ministerial, Family and Volunteer Services, NYS Department of Corrections and Community Supervision, Omega Alston, Assistant Director, Ministerial, Family and Volunteer Services, Department of Corrections and Community Supervision, D. Rock, Superintendent, Upstate Correctional Facility, M. Lira, Deputy Superintendent, Upstate Correctional Facility, Timothy C. Hawk, Chaplain, Upstate Correctional Facility, a/k/a J. Hawk, Don Haug, Food Administrator, Upstate Correctional Facility, Karen Bellamy, Director, Inmate Grievance Program, NYS Department of Corrections and Community Supervision, Kenneth S. Perlman, Deputy Commissioner, Program Services, NYS Department of Correctional Services, Alec Friedmann, Jewish Chaplain, Upstate Correctional Facility
- Cited By
- 82 cases
- Status
- Published