Loren Bagola v. Thomas KindtLoren Bagola v. Thomas Kindt
While working for Federal Prison Industries, inmate Loren Bagola’s right hand was severed when he slipped and caught his arm in a machine that was operating at the time. Alleging that the appellee prison factory offi
Background
In August 1989, Bagóla was convicted in federal court of second-degree murder and of using a firearm during a crime of violence. He received a sentence of twenty years in prison and was committed to the United States Penitentiary in Terre Haute, Indiana (USPTH). Shortly thereafter, Bagóla began work for Federal Prison Industries, Inc. (known as UNICOR), which is a government corporation within the Bureau of Prisons that provides industrial work programs and training opportunities to federal prisoners. Inmates must apply to work in UNICOR programs; applicants ordinarily are placed on waiting lists and will not be hired if UNI-COR officials adjudge them a threat to safe factory operations.
See
Bagóla worked as a “card fixer” in the penitentiary factory’s Card and Spin Department, which produced wool blankets. His responsibilities included cleaning, inspecting, and repairing twelve Whitten card machines — large textile machines used to manufacture wool. The twelve machines were aligned ;in two rows, and an aisle separated the rows of six machines. At the time of Bagola’s accident, gates protected three sides of each machine. The side that faced the aisle remained completely exposed.
Bagóla had been working in the Department for nearly two years when, on October 15, 1991, the unfortunate events giving rise to this litigation occurred. Bagóla slipped on a patch of oil on the floor while he was inside the gates inspecting a Whitten machine that was in operation. He lost his balance and caught his hand in one of the machine’s exposed parts — the “stripper roller.” Bago-la’s cries of pain alerted one of his co-workers, inmate Steven Wallace, who turned off the machine. When factory officials extricated Bagola’s arm from the roller, his right hand was missing. Bagóla was rushed to the hospital, where efforts to reattach his hand proved unsuccessful.
Because he sustained his injury while working for UNICOR, Bagóla was entitled to compensation for his injuries pursuant to
So far, the facts of this case, though tragic, constitute no more than a traditional worker’s compensation case — albeit in a penological setting. Bagola’s Eighth Amendment claim relies on additional facts that, he argues, indicate a history of safety problems in the factory and prison officials’ indifference to those problems. We portray these facts in the light most favorable to Bagóla, as we must when reviewing an appeal of the district court’s award of summary judgment.
While UNICOB industries are not required by law to comply with the Occupational Safety and Health Administration’s (OSHA) safety standards, OSHA officials inspect federal prison industries and advise prison officials regarding perceived safety problems. When OSHA Compliance Officer Nick Antonio inspected the USPTH in September 1990, he found several safety violations, many of which pertained to the Whitten card machines. Antonio’s report concluded that various nip points 3 on the machines were not adequately guarded, and that the machines were inadequately guarded in other ways as well. In response to these problems, Safety Manager R.J. Vast-lik installed gates and cages around the machines, as well as an emergency shutoff cable that extended the full length of the machines. Vastlik informed then-Warden Thomas Kindt, in a January 15, 1991 memorandum, that all of the violations pertaining to the Whitten machines had been abated.
When he returned to the USPTH on August 27, 1991, Antonio learned that the violations had not, in fact, been sufficiently remedied. Instead, he found that various nip points on the machines remained inadequately guarded. Before OSHA issued any safety violation notices as a result of Antonio’s August inspection, it sent a letter to Vastlik on October 11, outlining five non-mandatory proposals to abate the hazards posed by the Whitten machines. 4 The proposals included modifying the gates surrounding the machines to make them lock automatically when someone closes them; and increased supervision of workers, particularly while the gates were open and the machinery was operating. Then, on October 15, the day of Bagola’s accident, OSHA issued three Notices of Unsafe or Unhealthful Working Conditions as a result of- Antonio’s August inspection. OSHA sent these notices to Kindt by letter on October 16, but he did not receive the letter until October 21. Following these OSHA notices and Bagola’s accident, factory officials installed new barrier gates, guards, and electric safety features to eliminate the possibility of worker access to nip points while the machines were running.
Notwithstanding the hazards posed by the card machines, the record reflects that factory officials took worker safety seriously. UNICOR safety officials conducted monthly safety inspections. Bagóla, like other factory workers, was required to attend periodic safety talks; some of those that he attended include “Protecting Your Hands” and “Hand and Finger Injuries.” In addition, Bagóla received a job safety analysis that detailed the hazards of his job. The analysis indicated that he. was not permitted inside the gates while the machines were energized, and that when inspecting or repairing a machine, he was required to ensure that the machine was not only turned off, but “locked out” so that no other employee- could turn on the machine.
While Bagóla acknowledges that he attended the safety meetings, and that he read the analysis and signed a declaration to comply with its requirements, he asserts that the reality of his employment duties was quite different. He claims that he was required to work inside the protective gates in the aisle between the machines and to inspect the machines while they were running. This requirement caused him to work around nip points that were left completely exposed. Bagóla asserts that the factory officials knew that the Whitten machines were still dangerous, despite Vastlik’s January 15th memorandum asserting that the unsafe conditions had been abated. 5
On appeal, this Court reversed the district court’s denial of IFP status to Bagóla, reasoning that the Complaint adequately alleged facts supporting the defendants’ subjective, deliberate indifference.
See Bagola v. Kindt,
Discussion
Bagóla argues that the district court erred in granting summary judgment, because evidence in the record created a genuine issue regarding the appellees’ deliberate indifference to inmate safety at the UNICOR factory. Before reaching this argument, we must consider the appellees’ contention that the district court did not have jurisdiction under
I. Bivens Preclusion
A. The Effect of Bagóla I
The appellees argue that the exclusive remedy for Bagola’s injury is to apply for compensation under
In
Bagóla I,
we reasoned that absent specific language in either
Moreover, we do not consider our statement in
Bagóla I
the governing law of the ease.. The law of the case doctrine should not be read so rigidly that it precludes a party from raising an argument that it had no prior opportunity to raise. The appellees were not parties to
Bagóla I;
because they had never'been served, neither the district court nor this Court had jurisdietion over them.
See Barrett v. Baylor,
B. Statutory Preclusion of Bivens Remedies
Bagóla invoked the jurisdiction of the district court pursuant to
1. The Lessons of Carlson v. Green
The Supreme Court in
Carlson
considered the availability to federal prisoners of a
Bivens
cause of action.
11
Although
Carlson
is not conclusive on the question of whether
The Court also did not believe that Congress, in amending the FTCA to cover intentional torts committed by federal law enforcement officers,
[I]nnocent individuals who are subjected to raids [like that in Bivens] will have a cause of action against the individual Federal agents and the Federal Government. Furthermore, this provision should be viewed as a counterpart to the Bivens case and its progenty [sic], in that it waives the defense of sovereign immunity so as to make the Government independently liable in damages for the same type of conduct that is alleged to have occurred in Bivens (and for which that case imposes liability upon the individual Government officials involved).
Id.
at 20,
In addition, the Court considered four factors that suggested that a
Bivens
remedy is more effective than the FTCA remedy, supporting the conclusion that Congress did not intend the FTCA to preclude a prisoner’s
Were we to consider
Carlson’s
dictates alone in deciding whether Bagóla can properly state a
Bivens
claim, an answer in the affirmative would almost be compelled. As with the FTCA,
However,
Carlson
also requires courts to determine whether any “special factors eoun-sel[ ] hesitation in the absence of affirmative action by Congress.”
2: -The “Special Factors” Inquiry
The Supreme Court has stated that Bivens actions shall not be implied in two situations:
The first is when defendants demonstrate “special factors counseling hesitation in the absence of affirmative action by Congress.” The second is when defendants show that Congress has provided an alternative remedy which it explicitly declared to be a substitute for recovery directly under the Constitution and viewed as equally effective.
Carlson,
In
Bush,
the petitioner, a NASA employee, was demoted after publicly criticizing his superiors. Although Bush won reinstatement and back pay through his administrative appeals, Bush also pursued constitutional remedies under
Bivens,
arguing that the administrative remedy would not sufficiently compensate him for his constitutional injury.
See
The
Bush
Court considered the extensive administrative review system available to civil service employees, which included a “trial-type hearing” before the Federal Employee Appeals Authority,
id.
at 387,
In
Schweiker v. Chilicky,
Yet despite the incomplete administrative remedies that Congress afforded the respondents in Chilicky, the Court declined to recognize a Bivens due process claim against the program’s administrators. The plaintiffs argued that the case could be distinguished from Bush because in Bush, the plaintiff received compensation through the administrative scheme for the constitutional violation itself; the Chilicky plaintiffs merely received the compensation to which they would have been entitled regardless of any constitutional injury. The Court rejected this argument:
[Bush] drew no distinction between compensation for a ‘constitutional wrong’ and the restoration of statutory rights that had been unconstitutionally taken away.... Bush thus lends no support to the notion that statutory violations caused by unconstitutional conduct necessarily require remedies in addition to the remedies provided generally for such statutory violations.
Id.
at 427,
Applying
Bush
and
Chilicky,
we have recognized that in some circumstances, “courts may not provide constitutional remedies to supplement a congressionally-established administrative system even where that system’s remedies are not as complete as the constitutional remedy might be.”
Robbins v. Bentsen,
The appellees point to the Supreme Court’s treatment of
The appellees argue that the Supreme Court’s decision in
Demko
should end our inquiry and preclude a
Bivens
remedy for Bagóla. This argument is consistent with the “special factors” inquiry under
Chilicky:
Even if the remedies provided by Congress are incomplete, an adequate remedial scheme exists. As this Court has recognized in cases after
Chilicky,
courts cannot supplement statutory remedies simply because they are not as complete as a constitutional remedy might be.
See, e.g., Paige v. Cisneros,
3. Special Factors Analysis of
In considering whether “special factors” should lead us to hold that
In both
Bush
and
Chilicky,
it is significant that although the plaintiffs were denied a constitutional remedy, the statutory alternative provided a forum where the allegedly unconstitutional conduct would come to light. In
Bush,
the plaintiff was protected by an “elaborate” and “comprehensive” civil service system, in which “Constitutional challenges to agency action, such as the First Amendment claims raised by [Bush], are fully cognizable.”
Similarly, the plaintiffs in
Chilicky
were given ample opportunity to unearth in an administrative forum any unconstitutional conduct that may have resulted in the improper denial of their Social Security benefits. Under the established administrative system, a federal administrative law judge reviewed a state agency’s denial of benefits, and claimants were entitled to introduce new evidence and raise new issues. If unsuccessful, claimants could seek review by the Social Security Administration’s Appeals Council.
See
In cases in which this Court has held that a statute precluded a
Bivens
claim, the alternative remedial system similarly provided a significant opportunity to expose allegedly unconstitutional conduct. For example, in
Robbins
the plaintiff was an IRS employee who attempted to bring Fifth and First Amendment claims against her superiors.
See
It is evident in these cases that Congress intended to encompass administrative review of constitutional violations in crafting its remedial scheme, even though it may not have provided specific relief for these violations. Administrative schemes that expose unconstitutional conduct by government officials, even if they do not provide a distinct remedy for that conduct, serve a deterrent purpose that renders the availability of a
Bivens
claim less essential. If an administrative scheme that did not safeguard a claimant’s constitutional rights precluded a
Bivens
claim, unconstitutional conduct would be insulated from review by any adjudicatory forum. Such a result would stand in sharp contrast to those cases in which courts have held that an administrative scheme precludes a
Bivens
claim. For example, although the
Chilicky
plaintiffs were not compensated for their constitutional injuries, the statutory scheme was fully effective in exposing the unconstitutional conduct and in influencing Congress to amend the disability benefits program.
See Chilicky,
In the instant case, it is evident that the statutory scheme lacks the requisite procedural safeguards of Bagola’s constitutional rights. For example, because
Unlike the statutes that have been held to preclude separate
Bivens
actions, we believe that
Finally, we must address the appellees’ argument that Congress explicitly indicated its intent to preclude
Bivens
claims by providing that: “In no event may compensation for such injuries be paid in an amount greater than that provided in [the Federal Employees Compensation Act].”
II. The Merits of Bagola’s Claim
Turning to the merits of Bagola’s Eighth Amendment claim, we review the district court’s award of summary judgment
de novo
and will construe the evidence and all reasonable inferences in the light most favorable to
A. Eighth Amendment Liability for “Failure to Protect”
The Eighth Amendment’s prohibition against “cruel- and unusual punishments” does not only restrain affirmative conduct, such as prison officials’ use of excessive force against prisoners.
See, e.g., Hudson v. McMillian,
Because the Eighth Amendment proscribes cruel and unusual
punishments,
even a prison official’s subjective awareness of a substantial risk of harm, and an ensuing injury, may be insufficient to establish liability. A prison official’s duty under the Eighth Amendment is not to provide complete safety; it is-to
ensure
“reasonable safety.”
See Farmer,
B. Summary Judgment in Bagola’s Case
Against this legal backdrop, and viewing the evidence in the light most favorable to Bagóla, we agree with the district court that the evidence in this case creates an inference of nothing more than simple negligence. Bagóla points to three justifications in support of his argument that the appellees acted with deliberate indifference towards his safety. He argues, in essence, that the 1990 OSHA violations put the appellees on notice regarding the danger of the Whitten machines; that they knew, prior to receiving the subsequent citations on October 16, 1991, a day after Bagola’s injury, that the
While Bagóla argues that the appellees were aware, prior to his accident, that the risks in the UNICOR factory had not been abated, he points to no evidence in the record that would permit such an inference.
See
Second, the 1991 OSHA violations do not support an inference of the appellees’ deliberate indifference. While Antonio’s inspection occurred on August 27, then-Warden Kindt did not receive the OSHA citations until October 21, six days after Bagola’s accident. Bagóla has not disputed Appellee Tracy’s declaration that the violations were not revealed by OSHA at any time prior to the October 16th letter. See supra note 4. The evidence indicates that at the time of Bago-la’s injury, the appellees were operating under the assumption, created by Vastlik’s memorandum, that the violations had been abated. Because Bagóla must prove that the appellees’ subjective knowledge at the time of his accident was sufficiently culpable to support his Eighth Amendment claim, evidence of subsequent violations does not help him. Instead, even when viewing the evidence in the light most favorable to Bagóla, the evidence indicates continuous, reasonable efforts taken by the appellees to ensure worker safety at the UNICOR factory.
Even after the modifications made by Vastlik in response to the 1990 citations, a dialogue between UNICOR officials and OSHA continued. Prison officials did not act with defiance towards OSHA officials; instead, they continued to correspond with OSHA and to discuss further measures to improve worker safety. This continuing dialogue is demonstrated by the October 11th letter from OSHA to Vastlik discussing the videotape sent to OSHA by Tracy. While Bagóla argues that this videotape creates an inference of the appellees’ knowledge of the serious risks posed by the Whitten machines, we do not agree. If anything, we view the videotape as evidence of the appellees’ continued efforts to abate any risks that may have remained in an inherently dangerous industrial setting.
Further, Bagóla was required to attend frequent safety meetings and to sign a job safety analysis recognizing that he was not to work around machines that were in operation. Although Bagóla claims that he was, in fact, required to work around machines that were in operation, this dispute does not create a genuine issue of material fact. Bagóla has presented no evidence that any of the appellees knew that he was required to work in this manner, or that they in fact required him to do so. Instead, the record reflects only that the appellees, as factory officials, required Bagóla to attend frequent safety meetings and to observe the safety procedures provided in the job analysis. Such evidence does not create an inference that the appellees were deliberately indifferent to Bagola’s safety.
In sum, the appellees may not have acted as quickly as possible to abate all risks, and they may even have acted negligently. However, such facts do not rise to the level of constitutional significance simply because this industrial accident occurred within prison walls. The Eighth Amendment requires the appellees to take “reasonable steps” to
Conclusion
Because
Notes
.
Bivens v. Six Unknown Named Agents of the Fed. Bureau of Narcotics,
. Bagóla is not guaranteed this compensation under the current regulations. The regulations provide that the administrative officials responsible for evaluating compensation claims may deny compensation for an injury that was sustained willfully or with the intent to injure another individual, or for an injury resulting from a “[w]illful violation of rules and regulations.”
. A "nip point" is the point at which two moving machine parts — generally either a belt and pulley, or two rollers — come together.
. This letter referenced a videotape sent to OSHA by Terah Tracy, UNICOR Factory Manager, that documented the hazards of the Whitten machines. The record does not reflect whether Tracy sent OSHA the videotape pursuant to Antonio’s investigation, or whether this was the result of an independent effort to abate the safety hazards. However, Tracy declares that no OSHA official made any indication of the continuing violations prior to sending a letter to Kindt on October 16. This declaration is undisputed.
. In the district court, Bagóla attempted to introduce evidence in his sworn declaration regarding prior accidents in the factory. The appellees moved to strike this evidence, and the district
. The district court dismissed Bagola’s claims against Kindt and Fountain, neither of whom were properly served with process, for lack of in personam jurisdiction. Bagóla does not appeal those dismissals.
. Because the district court concluded that the appellees did not violate Bagola's constitutional rights, the court did not determine, under a qualified immunity analysis, whether the asserted rights were clearly established at the time of Bagola’s injury.
. Because the district court denied Bagola’s application to proceed
in forma pauperis,
the appel-lees had never been served with process when we heard
Bagóla I.
They did not enter an appearance in that appeal, which this Court allowed to proceed without the filing of an appel-lees’ brief,
see Bagola v. Kindt,
. Federal prisoners who are injured outside of their prison employment are entitled to sue the United States under the Federal Tort Claims Act,
. Since our decision in
Bagóla I,
another court of appeals has followed our holding, but it did not add significant further analysis.
See Vaccaro v. Dobre
,
. The respondent in
Carlson
brought suit under
Bivens
on behalf of the estate of her son, Joseph Jones, Jr., who died while incarcerated at the Federal Correction Center in Terre Haute, Indiana. The Estate alleged that the prison official defendants were deliberately indifferent to Jones's medical needs and that their acts and omissions caused him to die from an asthmatic attack. The complaint alleged that the officials’ indifference was partly attributable to racial prejudice.
See
. Following
Carlson,
the protection accorded government officials asserting a qualified immunity defense was strengthened by
Harlow v. Fitzgerald,
. The fourth factor supporting the superiority of
Bivens
was its uniform availability; remedies under the FTCA, in contrast to
Bivens,
are available only when the applicable state law recognizes a cause of action to challenge the defendant's alleged misconduct.
See id.
at 23,
. Responding to the prison officials’ argument that the availability of either a jury trial or punitive damages was irrelevant, since neither was a necessary element of a remedial scheme, the Court stated that this argument “completely misses the mark. The issue is not whether a
Bivens
cause of action or any one of its particular features is essential. Rather the inquiry is whether Congress has created what it views as an equally effective remedial scheme.”
Id.
at 22 n. 10,
. Of course
Demko,
which was decided 5 years before
Bivens,
did not explicitly touch upon the issue of preclusion of constitutional remedies. Instead, it addressed only whether the compensation provision of
. For example, Bagóla could not file until 2006 (his projected date of release) for compensation stemming from' this injury, which occurred in 1991.
. To the extent that a
Bivens
plaintiff is awarded a judgment for his actual physical injuries, the
Bivens
recovery should set off any statutory remedy under
. For much the same reasons, we reject the appellees' argument that because Bagola’s participation in the UNICOR program was voluntary, the conditions to which he was subjected cannot be considered part of his nonvoluntary “conditions of confinement," and accordingly, cannot constitute punishment cognizable under the Eighth Amendment. Whether or not a worker’s voluntary participation in UNICOR would ordinarily remove him from the Eighth Amendment's protective umbrella, it is apparent that voluntariness ends at the point where cruel and unusual punishments begin. Even while working, UNICOR employees remain subject, as prisoners, to disciplinary restrictions. Although such cases likely are rare, if a prison official was bent on violating a prisoner's Eighth Amendment rights, the fact that the prisoner participated in a voluntary program would be of little significance. For example, if, as part of his voluntary employment, prison officials forced a prisoner to ingest LSD,
see United States v. Stanley,
. Because we conclude that the subjective, deliberate indifference required under
Farmer
was not established by the evidence in this 'case, we need not address whether the conditions in the UNICOR factory were objectively, "sufficiently serious” to implicate Eighth Amendment scrutiny.
See