FOR PUBLICATION
APPELLANT PRO SE
: ATTORNEYS FOR APPELLEES:
JAMES H. HIGGASON, JR. STEVE CARTER
Westville, Indiana Attorney General of Indiana
MAUREEN ANN BARTOLO
Deputy Attorney General
Indianapolis, Indiana
JAMES H. HIGGASON, JR., )
)
Appellant-Plaintiff, )
)
vs. ) No. 77A01-0403-CV-126
)
CHRIS STOGSDILL, et al., )
)
Appellees-Defendants. )
OPINION - FOR PUBLICATION
FRIEDLANDER, Judge
James H. Higgason, pro se, appeals a grant of summary judgment in favor
of all the defendants in the latest of what has become a steady
stream of civil rights lawsuits filed from prison by Higgason. Those defendants,
namely, Chris Stogsdill, Art Davis, Dave Thomson, Michelle Shake, and Lee Hoefling (collectively
referred to as the Defendants), were employees at the Wabash Valley Correctional Facility
(the WVCF). Upon appeal, Higgason challenges the grant of summary judgment.
We affirm.
The relevant facts are brief. On September 19, 2000, while incarcerated in
the Secure Housing Unit (SHU) at the Indiana State Prison in Michigan City,
Indiana, Higgason filed a civil rights complaint against the Defendants pursuant to 42
U.S.C. §§ 1983 and 1988. As indicated previously, the Defendants were all
employed at the WVCF; Stogsdill was the law librarian, Davis and Thomson were
counselors, Shake was a mailroom supervisor, and Hoefling was an administrative assistant.
According to the complaint,
[b]y their acts, inactions, practices and callous or deliberate indifference, the Defendants have
denied or impeded Higgasons access to the courts. By their acts, inactions,
practices and callous or deliberate indifference the Defendants have individually or in concert
prejudiced Higgason in that they are directly or indirectly responsible for the following
civil rights complaints being dismissed.
Appellees Appendix at 2. The pleading then went on to identify five civil
rights actions filed by Higgason that were allegedly dismissed as a result of
the complained-of behavior. The Defendants motion for summary judgment was granted.
We review the ruling on a summary judgment motion utilizing the same standard
used by the trial court. Summary judgment is not appropriate unless the
evidence shows there is no genuine issue of material fact and the moving
party is entitled to judgment as a matter of law. Ind. Trial
Rule 56(C); Reeder v. Harper, 788 N.E.2d 1236 (Ind. 2003). When conducting
the review, all facts and resulting reasonable inferences are construed in favor of
the nonmoving party. Reeder v. Harper, 788 N.E.2d 1236. Also, we
limit our review to those materials designated to the trial court. T.R.
56(H).
We begin our analysis by noting that Higgason has, to put it mildly,
an extensive history of initiating grievance procedures and filing lawsuits while incarcerated.
For instance, between December 1997 and March 2003, Higgason filed 164 complaints through
the Offender Grievance Program at the WVCF, which led to the filing of
19 grievances. Also, we note that Higgason has initiated numerous lawsuits against
prison officials and employees. In all, it appears that Higgason has initiated
at least thirty-six separate appeals in this court, and we find him listed
as having filed at least fifteen separate lawsuits in federal court. We
do not mean to suggest by citing these numbers that there is a
limit to the number of cases incarcerated individuals may file. Rather, we
cite these to illustrate the point that Higgason is no stranger to judicial
and quasi-judicial proceedings and the rules by which such proceedings are governed.
The underlying action was instituted in a prison setting and thus subject
to resolution by way of the procedures in place to resolve such controversies.
In fact, Higgason initiated those administrative complaints, but filed suit in an
Indiana state court before they were allowed to run their course. The
State contends that Higgasons action, therefore, should be dismissed as premature because he
failed to exhaust his administrative remedies. We must decide whether the exhaustion
rule applies here.
We note first that Higgasons complaint asserts a claim under 42 U.S.C. §
1983. In Myers v. Moyars, 667 N.E.2d 1120, 1124 (Ind.
Ct. App. 1996), trans. denied, this court held, the exhaustion of administrative remedies
is not a prerequisite to bringing a § 1983 action in an Indiana
state court. That holding followed an analysis focusing on a United States
Supreme Court decision, i.e., Felder v. Casey, 487 U.S. 131 (1988). In
Felder, the Court held that a state notice of claim statute was preempted
by the Supremacy Clause when a § 1983 action was brought in state
court. That conclusion followed an analysis of the prosecution of § 1983
claims in federal courts, and noted specifically the conclusion that there should be
no impediment to § 1983 actions in state court that do not also
exist in federal court. We explained it thusly:
Congress enacted § 1983 in response to the widespread deprivations of civil rights
in the Southern States and the inability or unwillingness of authorities in those
States to protect those rights or punish wrongdoers. Although it is true
that the principal remedy Congress chose to provide injured persons was immediate access
to federal courts, it did not leave the protection of such rights exclusively
in the hands of the federal judiciary, and instead conferred concurrent jurisdiction on
the state courts as well.
Felder, 487 U.S. at 147-48, 108 S.Ct. at 2311-12 (citations omitted). The
Court went on to state that given the evil at which the federal
civil rights legislation was aimed, there is no reason to suppose that Congress
meant to provide such individuals immediate access to the federal courts notwithstanding any
provisions of state law to the contrary, yet contemplated that those who sought
to vindicate their federal rights in state courts could be required to first
seek redress with those government officials. Id.
Our supreme court has applied Felders holding and reasoning. Kellogg v. City
of Gary, 562 N.E.2d 685, 689 (Ind. 1990) (noting that a tort claim
notice requirement is problematic because the enforcement of such a statute stands as
an obstacle to the accomplishment and execution of the full purposes and objectives
of Congress); see also Werblo v. Hamilton Heights School Corp., 537 N.E.2d 499
(Ind. 1989). In the context of a § 1983 action, an exhaustion
of administrative remedies requirement would present problems similar to those presented by a
notice of claim requirement (see Felder). Thus, for the same reasons
that a notice of claim requirement was deemed unacceptable in the § 1983
context, we are inclined to conclude that an exhaustion of administrative remedies requirement
is also unacceptable in this limited context.
Myers v. Moyars, 667 N.E.2d at 1122-23. Therefore, a State notice
of claim requirement was held not to apply to a § 1983 action
because such would frustrate Congresss intent in enacting the legislation, which it did
without including a notice of claim provision. The landscape has changed, however,
since Myers was decided.
In the Prison Litigation Reform Act of 1995 (the PLRA), Congress amended 42
U.S.C. § 1997e(a) to require prisoners to exhaust such administrative remedies as are
available before filing a § 1983 action suing over prison conditions. Subsequent
cases construing the PLRA have clarified that the exhaustion requirement is both ironclad
and sweeping in scope. See, e.g., Booth v. Churner, 532 U.S. 731,
741 (2001) (Congresss imposition of an obviously broader exhaustion requirement makes it highly
implausible that it meant to give prisoners a strong inducement to skip the
administrative process
. Thus, we think that Congress has mandated exhaustion clearly
enough, regardless of the relief sought through the administrative procedures). The significance
of the PLRA and cases construing it is that Congress and federal courts
have now made it perfectly clear that, notwithstanding the purpose of § 1983,
prisoners must exhaust their administrative remedies before filing a lawsuit complaining of prison
conditions. Therefore, Felder is no longer good law on the question of
exhaustion with respect to § 1983 lawsuits filed by prisoners. As set
out above, our opinion in Myers to the effect that exhaustion is not
required in § 1983 actions was premised upon the holding and rationale set
out in Felder. Because Felder has now been effectively overturned by 42
U.S.C. § 1997e(a) and the cases construing it, the underpinnings of Myers have
been entirely eroded. Therefore, we must revisit the question in view of
those changes.
In Myers we identified two reasons for the conclusion that exhaustion was not
required in a § 1983 action: (1) exhaustion conflicted in both its purpose
and effects with § 1983s remedial objectives; and (2) enforcing an exhaustion requirement
in state court actions would frequently produce results that would be different than
if the action had been filed in a federal court, where exhaustion was
not required. Myers v. Moyars, 667 N.E.2d 1120. In fact, both
reasons are rooted in Indiana state laws deference to federal law on the
subject of § 1983 actions. As we stated in Myers, [f]ederal substantive
law controls, and any state laws or rules which inhibit the prosecution of
a § 1983 action are preempted by the Supremacy Clause of the United
States Constitution. Myers v. Moyars, 667 N.E.2d at 1123 (quoting Slay v. Marion
County Sheriff's Dept, 603 N.E.2d 877, 884 n. 3 (Ind. Ct. App. 1992),
trans. denied). Even more to the point, we cited with approval a
statement by the Southern District of Indiana that States may not impose exhaustion
requirements on a federal cause of action brought in their own courts if
exhaustion is not required in federal court. Myers v. Moyars, 667 N.E.2d
at 1123 (quoting Union Carbide Corp. v. State Bd. of Tax Commrs of
the State of Indiana, 161 F.R.D. 359, 374 n.21 (S.D. Ind. 1993)).
It seems, therefore, that the Myers holding merely tracked the federal law on
that question.
As indicated previously, § 1997e(a) announced a change in the law applied by
federal courts on the question of the need for exhaustion of remedies before
a § 1983 claim may be brought. Booth v. Churner, 532 U.S.
731, and other decisions have made it clear that exhaustion is now not
only permissible, but indeed required before a prisoner may file a § 1983
action. We agree with the conclusion of the Myers panel that federal
and state law should be in harmony on this point. Following enactment
of the PLRA, however, this means that we reach a different result than
did the Myers panel on the question of exhaustion. Therefore, we hold
that the applicable provisions of the PLRA, together with the cases construing those
provisions, mean that before he or she may bring a § 1983 action
in an Indiana state court, a prisoner must exhaust all administrative remedies.
In the instant case, the WVCF had a grievance procedure in place to
resolve Higgasons complaints. That procedure, as reflected in an exhibit filed by
the appellees, was and continues to be a five-step process. Rick Watkins,
a WVCF grievance specialist, submitted an affidavit concerning Higgasons compliance with the grievance
procedure. He reviewed a list of the grievances filed by Higgason and
determined that Higgason had completed only steps one and/or two in all but
one of the grievances. In that proceeding, Higgason filed a complaint because
Hoefling allegedly refused to provide him with a copy of a deposition that
had been taken of Higgason in relation to one of his lawsuits.
The record reflects that Higgason pursued that claim through all five steps of
the grievance process before his claim was denied. In no other single
grievance did Higgason proceed beyond step 2. Thus, as to all claims
other than the aforementioned grievance concerning the failure to provide Higgason with a
copy of his deposition, the grant of summary judgment is affirmed for failure
to exhaust his administrative remedies.
Turning now to the lone remaining claim, Higgason filed a lawsuit against prison
officials in United States District Court for the Northern District of Indiana.
The case was originally captioned Higgason v. Hull, but that was changed to
Higgason v. Wallace, No.3:94cv228RM. On July 22, 1999, the defendants in that
case deposed Higgason. Approximately six weeks later, a prison counselor provided Higgason
with a copy of the deposition, which included instructions to review the transcript
for errors or changes, make notations reflecting such on a separate sheet of
paper, sign, and return the document to the court reporter. At that
point, Higgason demanded that the WVCF library photocopy his deposition and give it
to him for his personal use. Higgason rejected the conditions the library
placed upon granting that request. That refusal was one of the issues
in Higgason v. Wallace. On January 5, 2000, the court recorded the
following entry on the Higgason v. Wallace docket report:
ORDER by Judge Robert L. Miller Jr. granting in part and denying in
part motion for copy f transcript of 7/2/99 deposition [239-1]. Court denies
request that court order defendants to provide plaintiff with copy of deposition.
Court will not order stenographer to make changes but grants motions 2nd request
to the extent defendants are not to use any of the portions of
deposition noted in Appendix A to plaintiffs motion for impeachment purposes without first
obtaining leave of court[.]
Appellees Appendix at 147 [emphasis supplied]. Therefore, during the discovery phase of
Higgason v. Wallace, the District Court ruled against Higgason on this issue.
The 7th Circuit Court of Appeals affirmed the District Court in all respects
on November 26, 2001. It appears, then, that Higgason previously litigated and
lost the claim that the WVCF was obligated to provide him a copy
the deposition at no cost. Although the materials before us do not
permit a review of the substance of that appeal, such does not alter
the fact that Higgason had an opportunity to, and did, litigate the issue
then in federal court and appealed after he did not prevail. Higgasons
appeal was unsuccessful. In view of this, the Defendants contend the United
States District Court ruled as a matter of law that the library was
not required to provide Higgason with a copy of the deposition and, thus,
that issue is barred by res judicata. We agree.
The doctrine of res judicata prevents repetitious litigation of disputes that are essentially
the same. Dawson v. Estate of Ott, 796 N.E.2d 1190 (Ind. Ct.
App. 2003). It consists of two distinct components, claim preclusion and issue
preclusion. Id. Issue preclusion bars the subsequent relitigation of the same
fact or issue where that fact or issue was necessarily adjudicated in a
former suit and the same fact or issue is presented in a subsequent
action. Brown v. Jones, 804 N.E.2d 1197, 1203 (Ind. Ct. App.
2004), trans. denied. Where issue preclusion applies, the previous judgment is conclusive
with respect to those issues actually litigated and decided. Id.
The United States District Court for the Northern District of Indiana had jurisdiction
over Higgasons lawsuit in Wallace. In the course of that proceeding, Higgason
petitioned the court for an order compelling the prison library to provide a
copy of his deposition at no expense to Higgason. The court determined
that Higgason was not entitled to that relief and denied the request.
Later, the court entered judgment against Higgason on the merits, and if Higgason
did indeed appeal the ruling concerning the request to copy the deposition, he
did not succeed. Thus, the court decided at that proceeding the question
of whether the Defendants had a legal obligation to supply Higgason with a
copy of the transcript at its expense. Our courts have generally accepted
the rule that we must give full faith and credit to proceedings in
federal courts. Dawson v. Estate of Ott, 796 N.E.2d 1190. There
can be little doubt that Higgason seeks in the instant lawsuit to mount
a collateral attack on the federal courts ruling with respect to the deposition
transcript. Higgasons claim is an attempt to obtain a different outcome than
resulted in Wallace, namely, a determination that he was entitled to a copy
of the deposition transcript at the librarys expense. As our supreme court
explained in Indiana Dept of Envtl. Mgmt. v. Conard, 614 N.E.2d 916, 922
(Ind. 1993):
A collateral attack on a judgment is an attack made in a proceeding
that has an independent purpose other than to impeach or overturn the judgment,
although impeaching or overturning the judgment may be necessary to the success of
the action. [S]ee
State ex rel. Lacy v. Marion Probate Court,
[243 Ind. 30, 35-36, 182 N.E.2d 416, 418 (1962) ] (defined as attack
on judgment outside legally prescribed procedure for judicial review, which attempts to deny
its validity, and may necessitate relief from judgment).
We therefore conclude that any claim premised upon the contention that the library
was obligated to provide for him a copy of the deposition transcript, as
discussed in Wallace, is barred by the doctrine of res judicata. See
id.
We have resolved all issues against Higgason. In reviewing the issues presented
herein, we could not help notice the veritable mountain of litigation Higgason has
generated during his incarceration. As noted previously, he has filed at least
67 grievances while incarcerated, and those and similar matters have spawned a seemingly
endless series of lawsuits in state and federal courts. As was true
in this case, we find ourselves revisiting issues that have already been decided
by other courts in other proceedings. Although we do not wish to
discourage prisoners access to courts, we are aware that some prisoners are inclined
to flood our courts with a prodigious number of lawsuits that are, by
and large, entirely without merit. The problem is especially vexatious when it
is compounded by the fact that those lawsuits often rehash the same issues
over and over again. Such constitute a drain on the judicial system
and amount to harassment of the same few defendants that simply cannot be
ignored or tolerated.
Recently, in Parks v. State, 789 N.E.2d 40 (Ind. Ct. App. 2003), trans.
denied, we addressed this problem and fashioned a screening mechanism aimed at curtailing
the number of frivolous lawsuits filed by some prisoners. Drawing heavily upon
provisions contained in the PLRA, see 28 U.S.C. § 1915, et seq., designed
to discourage prisoners from filing claims that are unlikely to succeed, Crawford-El v.
Britton, 118 S.Ct. 1584, 1596 (1998), we crafted a screening mechanism intended to
accomplish the same end. We note that, in apparent response to the
Parks opinion, our legislature passed Ind. Code Ann. § 34-13-7-1 (West, PREMISE through
2004 2d Regular Sess.), which effectively codifies the conditions we placed upon Parks.
I.C. § 34-13-7-1 applies only to causes of action filed after June
30, 2004. The instant cause of action was, of course, filed long
before that. Nevertheless, we will use Parks as our guide and impose
upon Higgason those same conditions. That is, in light of Higgasons propensity
toward endless litigation, we will impose a screening mechanism to forestall future frivolous
lawsuits.
Therefore, in addition to affirming summary judgment in favor of the Defendants and
against Higgason, we impose the following conditions upon Higgason with respect to any
future lawsuits that spring directly or indirectly from the adequacy of the procedures,
materials, or access to the mail room and the law library at the
WVCF, and with respect to the copying of materials at the librarys expense:
(1) Prior to filing any such lawsuit, Higgason shall submit to the
trial court a copy of the complaint he wishes to file. (2)
Higgason shall also file a copy of all of the relevant documents pertaining
to the ultimate disposition of each and every previous case instituted by Higgason
against any of the same defendants or emanating, directly or indirectly, from complaints
about procedures, materials, or access to the mail room and the law library
at the WVCF, and with respect to the copying of materials at library
expense. This includes, but is not limited to, the complaint, any motions
to dismiss or motions for summary judgment filed by the defendants in those
actions, the trial court order announcing disposition of the case, and any opinions
issued in the case by any trial or appellate court. (3) Higgason
shall file a legal brief, complete with competent legal argument and citation to
authority, explaining to the court why the new action is not subject to
dismissal by application of the doctrines of res judicata or law of the
case. If, after reviewing these materials, the trial court determines that the
proposed lawsuit is frivolous, malicious, fails to state a claim upon which relief
may be granted, or is otherwise utterly without merit, the court shall dismiss
the proposed complaint. (4) Higgason is specifically instructed to attach to such
complaint a separate copy of the final paragraph of this opinion.
See Parks v. State, 789 N.E.2d 40.
Judgment affirmed.
MATHIAS, J., and DARDEN, J., concur.