Ricky Lee HOLLY, Plaintiff-Appellee,
v.
Willie SCOTT; Gaddy Lassiter, Defendants-Appellants.
No. 05-6287.
United States Court of Appeals, Fourth Circuit.
Argued September 19, 2005.
Decided January 12, 2006.
Mark Allen Davis, Womble, Carlyle, Sandridge & Rice, Raleigh, North Carolina, for Appellants. James Phillip Griffin, Jr., North Carolina Prisoner Legal Services, Inc., Raleigh, North Carolina, for Appellee.
Before WILKINSON and MOTZ, Circuit Judges, and R. BRYAN HARWELL, United States District Judge for the District of South Carolina, sitting by designation.
Reversed by published opinion. Judge WILKINSON wrote the opinion, in which Judge HARWELL joined. Judge MOTZ wrote a separate opinion concurring in the judgment.
OPINION
WILKINSON, Circuit Judge.
We granted interlocutory review in this case to decide whether individual employees of a privately operated prison face Eighth Amendment liability under Bivens v. Six Unknown Named Agents of Federal Bureau of Narcotics,
I.
Plaintiff Ricky Lee Holly is a federal inmate at Rivers Correctional Institution, a privately run facility in North Carolina operated by the GEO Group, Inc. under contract with the federal Bureau of Prisons. Defendant Willie Scott serves as Rivers' warden, and defendant Gaddy Lassiter works as a physician there. Scott and Lassiter are both employed directly by GEO, and thus the only link between their employment and the federal government is GEO's contract with the BOP.
Holly is a diabetic. He contends that since arriving at Rivers in August 2002, defendants have failed to provide him with adequate medical care for his condition. According to Holly, the medical staff at Rivers has ignored his complaints that his insulin dosage was insufficient, which resulted in frequent blackouts. He suggests that the lack of attention to his medical needs stems, at least in part, from failure to request his medical records from another facility where he had been incarcerated previously. He further claims that in retaliation for a written complaint regarding the medical department, Lassiter ordered that he be locked in the medical unit for twenty-four days and threatened to keep him there for the remainder of his sentence.
After unsuccessfully seeking relief through an administrative scheme provided by Rivers, Holly filed a pro se complaint against Scott and Lassiter in federal district court. The district court read Holly's complaint as alleging a violation of his Eighth Amendment rights and stating a Bivens cause of action for damages.
Defendants filed a motion to dismiss under Federal Rules of Civil Procedure 12(b)(1) and 12(b)(6), arguing that Bivens and its progeny do not support a cause of action against individual employees of a private correctional facility. The district court denied the motion, finding that Holly's claim satisfied the three preconditions for a Bivens remedy as specified in Hall v. Clinton,
We review de novo a district court's denial of a motion to dismiss under Rule 12(b)(6).1 Anita's New Mexico Style Mexican Food, Inc. v. Anita's Mexican Foods Corp.,
II.
In Bivens, the Supreme Court held that "violation of [the Fourth Amendment] by a federal agent acting under color of his authority gives rise to a cause of action for damages," despite the absence of any federal statute creating liability.
Holly contends that a judicially implied cause of action for damages in his case follows logically from Bivens and Carlson. We disagree. The Bivens cause of action is not amenable to casual extension. Indeed, quite the opposite is true.
The Supreme Court has "responded cautiously to suggestions that Bivens remedies be extended into new contexts." Schweiker v. Chilicky,
Since the Carlson decision in 1980, the Court has consistently declined to extend Bivens beyond these well-demarcated boundaries. See Bush v. Lucas,
The Court's repeated reluctance to extend Bivens is not without good reason. A Bivens cause of action is implied without any express congressional authority whatsoever. This is hardly the preferred course. The Supreme Court has "recently and repeatedly said that a decision to create a private right of action is one better left to legislative judgment in the great majority of cases." Sosa v. Alvarez-Machain,
Congress possesses a variety of structural advantages that render it better suited for remedial determinations in cases such as this. Unconstrained by the factual circumstances in a particular case or controversy, Congress has a greater ability to evaluate the broader ramifications of a remedial scheme by holding hearings and soliciting the views of all interested parties. See, e.g., Bush,
As the last twenty-five years of Bivens jurisprudence demonstrate, so well-suited is Congress to determine the policies pertaining to a remedial scheme that neither the absence nor the incompleteness of such a scheme represents an invitation for a court to step in to correct what it may perceive as an injustice toward an individual litigant. See Malesko,
In light of the governing precedents, we have stated that a plaintiff seeking a Bivens remedy must satisfy a three-part test. "[A] court must determine that (1) Congress has not already provided an exclusive statutory remedy; (2) there are no special factors counselling hesitation in the absence of affirmative action by Congress; and (3) there is no explicit congressional declaration that money damages not be awarded." Hall,
III.
This case presents two "special factors counselling hesitation," each of which independently precludes the extension of Bivens. First, defendants are private individuals, not government actors. Second, Holly has an adequate remedy against defendants for his alleged injuries under state law.
It is in fact an understatement to consider these "special factors counselling hesitation." Governmental action and the lack of another legal remedy against individual defendants represent critical justifications for the very existence of the Bivens doctrine. To judicially infer a cause of action where these elements are absent would be to release that doctrine from its moorings and cast it adrift.
A.
The first factor counseling hesitation is that defendants' actions are not "fairly attributable" to the federal government. Lugar v. Edmondson Oil Co.,
1.
Whatever our power to recognize new constitutional torts, we are not free to ignore the importance of a party's private status in our constitutional scheme. The Bill of Rights is a negative proscription on public action — to simply apply it to private action is to obliterate "a fundamental fact of our political order." Lugar,
Neither we nor the Supreme Court has had occasion to consider whether and to what extent Bivens liability may apply to private citizens.2 As a threshold matter, we harbor some doubt as to whether such liability would ever be appropriate. Each of the defendants in Bivens, Davis, and Carlson were in the direct employ of the federal government. See Bivens,
We need not decide this issue now, however. Even assuming that Bivens liability is sufficiently expansive to encompass at least some private individuals, our constitutional scheme necessarily constrains its scope. In the context of constitutional claims under 42 U.S.C. § 1983, which expressly applies to individuals acting "under color of" state law, courts have recognized the need to limit the liability of private persons through application of the "state action" doctrine. Lugar,
There exists ample reason to be even more cautious about imputing liability to private actors under Bivens than under § 1983. Section 1983 is a congressional enactment that expressly creates liability for "[e]very person who, under color of any statute, ordinance, regulation, custom, or usage, of any State or Territory or the District of Columbia" deprives an individual of any "rights, privileges, or immunities secured by the Constitution" or other federal law.
Bivens, on the other hand, is a device of judicial creation. Although it shares some features with § 1983 — e.g., the qualified immunity analysis is the same under both, see Butz v. Economou,
2.
We have recognized that there is "no specific formula" for determining whether state action is present. Hicks v. S. Md. Health Sys. Agency,
The alleged actions of these defendants were not of a sufficiently federal character to create constitutional liability. Defendants are not federal officials, federal employees, or even independent contractors in the service of the federal government. Instead, they are employed by GEO, a private corporation. There is no suggestion that the federal government has any stake, financial or otherwise, in GEO. See, e.g., DeBauche v. Trani,
Holly argues, however, that liability exists here by virtue of the fact that GEO's particular business involves prisons and is thus a "public function." The "`public function' theory" recognizes the existence of "narrow circumstances" where state action arises from the "`exercise by a private entity of powers traditionally exclusively reserved to the State.'" Andrews v. Fed. Home Loan Bank of Atlanta,
Richardson involved a § 1983 suit against prison guards employed by a private prison management corporation under contract with the state of Tennessee. Id. at 401-02,
Holly attempts to sidestep the analysis in Richardson in two ways. First, he urges that the "function" to which we should look is not the administration of a prison, but rather the power to keep prisoners under lock and key. This argument misapprehends the proper nature of our inquiry. In determining the presence of state action, we are not to conduct a far-flung investigation into all of a defendant's possible activities, but rather must focus on "`the specific conduct of which the plaintiff complains.'" Am. Mfrs. Mut. Ins. Co. v. Sullivan,
Second, Holly reads West v. Atkins,
Richardson demonstrates that this distinction between public and private correctional facilities is critical. The state's responsibilities are necessarily greater when it undertakes direct authority over prisoners' day-to-day care. We cannot conclude that provision of medical care in a private prison is somehow a "public function" while maintaining fidelity to Richardson that the prison's general operation is not.
In addition to settling the issue whether defendants are liable for performing a public function, Richardson undercuts Holly's argument in another respect as well. Since qualified immunity under Bivens and § 1983 are identical, see Butz,
In sum, even if there did exist circumstances where a private party could be subject to liability under Bivens, this case does not present them. Both judicial restraint in the creation of extra-statutory remedies and the doctrine of state action compel us to refrain from extending Bivens liability to the individual employees of a private corporation operating a correctional facility.4
B.
In addition to the issue of government action, a second independent factor counseling hesitation is that Holly possesses alternative — and arguably superior — causes of action against defendants under the state law of negligence. The dangers of overreaching in the creation of judicial remedies are particularly acute where such remedies are unnecessary. We decline to invite such dangers by recognizing Bivens liability here.
The Supreme Court has extended Bivens in only two circumstances. Malesko,
The other rationale for extension of Bivens has been "to provide an otherwise nonexistent cause of action against individual officers alleged to have acted unconstitutionally." Malesko,
But "where [these two] circumstances are not present," the Court has "consistently rejected invitations" to enlarge the scope of the judicially created Bivens remedy. Malesko,
Holly's reliance upon Carlson as supporting his Bivens action here is therefore unpersuasive. The key feature of Carlson was that, unlike this case, it presented a situation where the plaintiff sought "a cause of action against an individual officer" that was "otherwise lacking." Malesko,
We agree therefore with the only other circuit to address this issue that an inmate in a privately run federal correctional facility does not require a Bivens cause of action where state law provides him with an effective remedy. See Peoples v. CCA Detention Ctrs.,
IV.
The judgment of the district court is therefore reversed and the case is remanded with directions that it be dismissed.
REVERSED
Notes:
Notes
There is no need for us to review the denial of defendants' 12(b)(1) motion, because our jurisdiction over Holly's complaint is readily apparent. Whether a remedy exists for a plaintiff alleging a violation of his constitutional rights is itself a question of federal law sufficient to confer federal jurisdictionSee Bell v. Hood,
The Supreme Court's most recentBivens decision noted that the question of "whether a Bivens action might lie against a private individual" was not presented. Malesko,
It is an open question in this circuit whether § 1983 imposes liability upon employees of a private prison facility under contract with a state. We need not decide that issue here
Our concurring colleague would create out of whole cloth constitutional liability for private employees of a private corporation. The concurrence sees no distinction between § 1983 andBivens remedies, and intermingles the caselaw of both to argue that defendants are "government actors." But there is a world of distinction between § 1983 and Bivens remedies. Congress has authorized the former, and Congress has in no way authorized the latter. Contrary to the concurrence's intimation, therefore, it is impossible to create a "circuit split" with § 1983 cases which do not even address the issue before this court.
Ironically, the concurrence contends the majority itself intermingles § 1983 and Bivens, but the concurrence misses the critical point: the majority has used § 1983 to buttress the importance of Congress's role, not to undermine it. The majority has never relied on § 1983 or any other express cause of action created by Congress to extend liability for damages under a cause of action that Congress has not seen fit to create. And it certainly has not done so in the face of repeated Supreme Court admonitions that Bivens remedies are to be carefully circumscribed. If Congress wishes to adopt the concurrence's position and extend the Bivens cause of action to private employees of private entities, it has only to do so. The fact that it has not done so, however, gives the concurrence no license to use § 1983 or any other provision to create causes of action on its own.
This intermingling of § 1983 and Bivens cases leads the concurrence to misread Malesko. The concurrence acknowledges that Malesko "did not reach the precise question of whether a Bivens action would lie against individual `private correctional providers,'" but then asserts that the decision nevertheless "expressly recognize [d]" that "such individuals are government actors ... subject to suit." Concurring Op. at 299. It relies for this contradictory assertion on a half-sentence in a footnote suggesting that private correctional employees could be liable under § 1983. See id. (citing
Finally, we cannot agree with the concurrence's assertion that "defendants perform a public function." Concurring Op. at 299. As we have discussed, Richardson rather than West is controlling when a privately run correctional facility is at issue. With all due respect to the concurrence, we lack the power to displace Richardson's determination of historical fact that "correctional functions have never been exclusively public."
DIANA GRIBBON MOTZ, Circuit Judge, concurring in the judgment:
The majority's holding that private correctional employees are not governmental actors ignores or misreads controlling Supreme Court case law. Those cases, as well as numerous cases from other federal courts, establish that individual private correctional providers are government actors subject to liability as such. Accordingly, I cannot join the majority opinion. However, because Ricky Holly possesses an alternative remedy for his alleged injuries, no action under Bivens v. Six Unknown Named Agents of the Federal Bureau of Narcotics,
I.
The strictures of the Constitution generally apply only to public action. However, when private individuals take actions attributable to the government, they are liable, as government actors, for damages resulting from their constitutional violations. See, e.g., Evans v. Newton,
As the majority itself recognizes — nothwithstanding its response to this concurrence, ante at 294-95 n. 4, which I address post at 301-03—the determination of whether the defendants are governmental actors for Bivens purposes rests on the "state action" principles developed by the Supreme Court in cases involving liability of private persons under 42 U.S.C. § 1983 (2000). See ante at 290-91, 292-93 (citing and relying on numerous § 1983 state action cases). But what the majority fails to recognize is that under this case law, the defendants here — individual private prison guards — are indeed governmental actors. In these cases, the Supreme Court has held that, in general, when a private person acts under authority given to him by the government, or is fulfilling an obligation or responsibility that is traditionally a public function, his conduct will be imputed to the government and thus considered government action for purposes of imposing liability. See, e.g., Edmonson v. Leesville Concrete Co., Inc.,
First, almost thirty years ago, the Court recognized an obligation on the part of the government's correctional employees "to provide medical care for those whom it is punishing by incarceration." Estelle v. Gamble,
Tellingly, in West a majority of the Fourth Circuit had refused to so hold, reasoning that the private doctor was not a governmental actor. West v. Atkins,
The mere fact that the government did not directly employ the private doctor in West did not preclude him from being a governmental actor. The Supreme Court explained that government action derives from the individual's "function within the state system, not the precise terms of his employment." Id. Under this standard, the Court found no relevant distinction between the publicly employed doctors in Estelle and the private doctor in West. Id. As with its public employees, the government was liable for the private doctor's Eighth Amendment violations because the government had invested the doctor with power "to provide medical services to state prison inmates." Id. at 54,
So it is in this case. The defendants have been "fully vested" with the governmental authority to "fulfill essential aspects" of their duties, e.g., confinement and care of prisoners incarcerated by the government. The defendants perform a public function delegated to them by the federal government, and they assume the necessary obligations inherent in that function. The assumption and performance of these critical governmental duties and the role these individuals play in the penal system surely put more at stake here than the mere "contractual relationship" dismissed by the majority. See ante at 290-91. Rather, just as in West, any alleged constitutional harm suffered by Ricky Holly was caused "in the sense relevant for [government]-action inquiry" by the government's power to punish and incarcerate him, depriving him of alternative means of care independent of the government. West,
The Supreme Court has never retreated from its holding in West. Indeed, only four years ago, in its most recent Bivens case, the Court specifically acknowledged that individual private correctional providers (not just private prison doctors) are government actors. See Corr. Servs. Corp. v. Malesko,
The majority ignores Malesko's express acknowledgment that individual private correctional providers are government actors and unconvincingly dismisses the strikingly similar West precedent as "very different." Ante at 294.1 Instead of following Malesko and West, binding Supreme Court precedent as to the liability of private correctional employees as government actors, the majority relies on a case involving a question not presented here — whether private persons sued as government actors under § 1983 enjoy qualified immunity for their actions. See Richardson v. McKnight,
The majority posits that Richardson (which, of course, predates Malesko) "precludes argument that the operation of a prison is a traditionally exclusive state function" and that therefore, private correctional providers are not government actors for purposes of imposing liability. Ante at 293. But Richardson does nothing of the sort; the case deals only with a private person's immunity from liability. Richardson,
The fact is that, at least in this country, incarceration of those charged with committing crimes is, and always has been, the province and prerogative of the government. That historically immunity has not been afforded those performing some correctional duties demonstrates only that the government has delegated some of its correctional functions to private actors. Richardson,
Indeed, in Richardson itself, the Court recognized that its historical discussion did not apply to questions of governmental action. After concluding that the defendants lacked qualified immunity, the Richardson Court remanded for a determination of whether the defendants were, in fact, liable as governmental actors for their operation, confinement, and care of inmates. Richardson,
Certainly, incarcerating and caring for those confined by the government for criminal conduct is just as much a public function as maintaining a park, Evans v. Newton,
Numerous courts have so held, both before and after Richardson. See, e.g., Rosborough v. Mgmt. & Training Corp.,
In holding to the contrary, the majority disregards all of this authority and creates a circuit split. Indeed, like the en banc majority in West, the majority's view stands alone among the federal circuits addressing this point. Cf. Rosborough,
The only substantive response the majority offers to this concurrence is an argument that because § 1983 actions are statutory and Bivens actions judicially created, I err in relying on § 1983 precedent in this Bivens case. See ante at 294-95 n. 4.4 This argument utterly fails.
While different in origin, § 1983 and Bivens actions are identical in the respect critical here — both involve imposition of liability on governmental actors for constitutional violations. In view of the scarcity of cases discussing governmental actor status under federal law, § 1983 cases determining the liability of private persons as state actors provide valuable guidance when determining the liability of private persons as federal actors. See e.g., Brown v. Philip Morris Inc.,
Indeed, the majority builds its entire holding that the defendants are not government actors on a § 1983 case. In doing so, however, the majority eschews the relevant § 1983 precedent it initially cites, and instead commits the very sin it accuses me of — "intermingling" cases from different "worlds." Id. at 294-95 n. 4. For the majority can conclude that the defendants are not government actors only by holding that Richardson, a § 1983 qualified immunity case, "is controlling" on the very different question presented here — whether a private person is liable as a governmental actor. Id. That the majority holds a defendant's entitlement to qualified immunity "controls" his liability — when the Supreme Court expressly refused to do so both in Wyatt and Richardson itself — speaks volumes.
Thus, in its attempt to counter my concurrence, the majority is forced into the untenable position of disavowing clearly relevant precedent on which it itself otherwise relies, and then finding "controlling" an inapposite case dealing with a wholly different issue. The majority must steadfastly rely on an immunity case and resolutely refuse to acknowledge the applicability of the cases dealing with the liability of government actors because to do otherwise makes the conclusion I have reached — that the defendants are indeed government actors — inescapable.
II.
Although Supreme Court precedent thus dictates that the defendants here are governmental actors, the Court has indicated that a court should not imply a Bivens cause of action against government actors if the plaintiff possesses an alternative remedy.5 Because Holly possesses an alternative remedy against the defendants under state tort law, I must concur in the judgment.
In Peoples v. CCA Detention Ctrs.,
In the years since Bivens and Carlson, however, the Court has retreated from this view, instead limiting a Bivens cause of action to cases in which no alternative remedy — constitutional or otherwise — exists. See Malesko,
Because Holly has an alternative remedy under North Carolina tort law, this more recent Supreme Court precedent requires that we reverse the district court's order refusing to dismiss this action.
I therefore concur — but only in the judgment.
Notes:
This assertedly critical difference is that while inWest the government had a contract with the private doctor who cared for the prisoners, here the government contracts with a private entity which in turn employs those who care for prisoners. Ante at 294. The majority thus suggests that by adding an additional layer, the government can contract away its constitutional duties. West itself expressly rejects this disturbing contention, instructing that "[c]ontracting out" care "does not relieve" the government of its "constitutional duty" to provide adequate care or "deprive inmates of the means to vindicate their Eighth Amendment rights." West,
It is worth noting that, despite the majority's "reluctan[ce] to create an anomaly whereby private defendants face greater constitutional liability than public officials,"see ante at 294, the majority creates its own anomaly. That is, the majority holds that even though an individual guard employed by a private correctional facility under contract with the state government is a governmental actor liable for his constitutional wrongs, an individual guard employed by a private correctional facility under contract with the federal government somehow is not. Thus the majority places inmates in private correctional institutions under contract with a state government "in a more favorable position than their counterparts" in private correctional facilities under contract with the federal government, id.; the former could bring a § 1983 action in the proper case to recover damages for constitutional wrongs, while the latter could never bring the analogous federal action.
Notably, the only other circuit to consider the precise question presented here — whether an inmate can bring aBivens action against private correctional employees — does not share the majority's view on this point. See Peoples v. CCA Detention Ctrs.,
The majority claims that this improper "intermingling" of § 1983 andBivens cases leads me to make allegedly "contradictory" assertions about Malesko and to "create causes of action." See ante at 294-95 n. 4. Actually it is the majority that misunderstands Malesko. There is nothing "contradictory" in noting that Malesko did not reach the precise question as to whether a Bivens action would lie against individual private correctional providers but did recognize that they are government actors, because, as the case at hand demonstrates, it may be that no Bivens action lies even when defendants are government actors. Like the Malesko Court, I "create" no "cause of action" at all, but rather conclude that no Bivens action lies here. Government action is a necessary but not sufficient pre-requisite to a Bivens action.
This rationale is more than sufficient to address the majority's policy concerns with extendingBivens actions. See ante at 289-90. Thus, no policy concern requires us to become the only circuit court to hold that individual private correctional providers are not governmental actors — a holding that may have untoward and far-reaching consequences beyond the Bivens context.
