Lead Opinion
MARTIN, J., delivered the opinion of the court, in which KEITH, J., joined. NELSON, J. (pp. 425-26), delivered a separate opinion concurring in the judgment.
Tennessee contracts with private corporations to operate its prison facilities. In their capacities as correctional officers, defendants Daryll Richardson and John Walker allegedly violated plaintiff Ronnie McKnight’s Eighth Amendment right to be free from cruel and unusual punishment. Richardson and Walker now pursue this interlocutory appeal from the district court’s denial of their motion to dismiss McKnight’s section 1983 action.
MeKnight filed this action under 42 U.S.C. § 1983 on March 3, 1994, against John Rees, the warden of the Corrections Corporation of America’s South Central Correctional Center, and correctional officers Richardson and Walker.
In his complaint, MeKnight alleged that these officers violated his constitutional rights under the Eighth Amendment by subjecting him to tight restraints during his transport to another prison. He claims that
Richardson and Walker moved to dismiss the complaint, asserting that they were entitled to qualified immunity pursuant to then-job function as correctional officers. The district court denied the motion to dismiss, holding that Richardson and Walker, as employees of a private, for-profit corporation, were not entitled to the defense of qualified immunity. This timely interlocutory appeal followed.
Section 1983 provides a cause of action against any person who, under color of state law, deprives an individual of any right, privilege, or immunity secured by the Constitution and federal law.
We begin by noting that state employed correctional officers do enjoy the protections of qualified immunity in carrying out their duties. Procunier v. Navarette,
In Duncan v. Peck,
When determining whether a private individual may claim qualified immunity as a defense to a section 1983 claim, the Supreme Court’s decision in Wyatt teaches that we must look first to determine whether the “tradition of immunity [is] ... firmly rooted in the cоmmon law.” Wyatt,
In addition to examining the historical roots of immunity, we also determine whether strong public policy reasons support the recognition of qualified immunity in particular cases. Wyatt,
Whilе discussing the rationale underlying the creation of immunity from suit in Forres-ter v. White, the Court explained that:
Suits for monetary damages are meant to compensate the victims of wrongful actions and to discourage conduct that may result in liability. Special problems arise, however, when government officials are exposed to liability for damages. To the extent that the threat of liability encourages these officials to carry out their duties in a lawful and appropriate manner, and to pay their victims when they do not, it accomplishes exactly what it should. By its nature, however, the threat of liability can create perverse incentives that operate to inhibit officials in the proper performance of their duties. In many contexts, government officials are expected to make decisions that are impartial or imaginative, and that above all are informed by considerations other than the personal interests of the decisionmaker.... When officials are threatened with personal liability for acts taken pursuant to their official duties, they may well be induced to act with an excess of caution or otherwise to skew their decisions in ways that result in less than full*421 fidelity to the objective and independent criteria that ought to guide their conduct.
In Wyatt, the Supreme Court held that private defendants may not invoke the protections of qualified immunity when charged with section 1988 liability after utilizing state replevin, garnishment, and attachment statutes later held to be unconstitutional.
[W]e have recognized qualified immunity for government officials where it was necessary to preserve their ability to serve the public good or to ensure that talented candidates were not deterred by the threat of damages suits from entering public service ....
[P]rivate parties hold no office requiring them to exercise discretion; nor are they principally concerned with enhancing the public good. Accordingly, extending Harlow qualified immunity to private parties would have no bearing on whether public officials are able to act forcefully and decisively in their jobs or on whether quаlified applicants enter public service. Moreover, unlike with government officials performing discretionary functions, the public interest will not be unduly impaired if private individuals are required to proceed to trial to resolve their legal disputes. In short, the nexus between private parties and the historic purposes of qualified immunity is simply too attenuated to justify such an extension of our doctrine of immunity.
Id. at 167-68,
Accordingly, several circuits read Wyatt narrowly, as applying only to cases in which a private party invokes state law to pursue a private interest. See Eagon v. Elk City,
In Sherman, the plaintiff had been involuntarily detained and given anti-psychotic medication pursuant to court order at the Four County Counseling Center. Sherman,
The policy justifications which underlie the doctrine of qualified immunity for government officials apply with full force to Four County’s activities here. Although it is a private hospital, Four County accepted and cared for a state mental patient committed on an emergency basis.... If the actions it took pursuant to court order subject it to suit, private hospitals might well refuse to accept involuntary patients. This refusal would increase the load on the strained resources of the state’s public hospi-tals_ [0]ne purpose of qualified immunity is to avoid discouraging public service. Denying qualified immunity to private hospitals in this situation would do just that.
Id. at 405-06 (citations omitted).
The Seventh Circuit recently reaffirmed the Sherman holding in a case factually analogous to the case at bar. In Williams v. O’Leary, the court held that medical director and staff physician of the Stateville Correctional Center in Illinois were entitled to qualified immunity even though each was an employee of Correctional Medical Systems, a private company contracting with the state to provide medical services at state correctional facilities.
In Eagon v. Elk City, the Tenth Circuit recently reaffirmed its rule that “a private individual who performs a government function pursuant to a state order or request is entitled to qualified immunity if a state official would have been entitled to such immunity had he performed the function himself.”
Turning to the precise question presented in this case, we note that this is a case of first
Broadly stated, the Supreme Court has “followed a ‘functional’ approach to immunity law.” Cleavinger v. Saxner,
Very generally, “qualified immunity strikes a balance between compensating those who have been injured by official conduct and protecting government’s ability to perform its traditional functions.” Wyatt,
The public undoubtedly has an interest in maintaining secure and efficient correctional facilities. We need not recite the litany of public benefits traditionally associated with maintaining an effective penal system here. We pause only to note that contracting out that function may save money for the state’s coffers, in addition to the traditional safety, deterrence, retribution, and symbolic rationales trotted out at every round table argument over criminal punishment. Suffice it to
Nonetheless, we also recognize that, while privately employed correctional officers are serving the public interest by maintaining а correctional facility, they are not principally motivated by a desire to further the interests of the public at large. Rather, as employees of a private corporation seeking to maximize profits, correctional officers act, at least in part, out of a desire to maintain the profitability of the corporation for whom they labor, thereby ensuring their own job security.
We believe this increased threat of injury by violation of constitutional guarantees сounsels against granting qualified immunity to correctional officers employed by a private corporation to run a state’s prison facilities. Because private corporations operating correctional facilities are not “principally concerned with enhancing the public good,” Wyatt,
To be sure, our refusal to grant qualified immunity to private corrections officers will result in increased litigation costs, which may ultimately be passed on to the state in form of an increased contract price. However, the public interest in minimizing the costs of maintaining efficient, workable prison systems is not necessarily at odds with this result. This increased litigation cost may be offset, at least partially, by the reduced administrative costs associated with monitoring the private correctional facilities to ensure compliancе with constitutional rights. To the extent that private enforcement through section 1983 acts as an effective monitor of private correctional corporations, states will realize reduced administrative monitoring costs because the threat of liability (and therefore reduced profits) will force the private actor to internalize the monitoring costs otherwise borne by the state. In short, the state may pay more to obtain private correctional services, but less to monitor them on an ongoing basis.
Further, the denial of qualified immunity here will not deter talented candidates from entering public service, another of the major concerns undergirding qualified immunity doctrine. See e.g., Wood v. Strickland,
In sum, we disagree somewhat with the approach taken by several other circuits, which simply asks whether the private actor is performing a traditional governmental function (often, as is the case here, because the state has decided to “privatize” that function by contracting it out), and if so, extends immunity’s protective cloak to cover the private actors. As we only recently explained, “the rationale for granting qualified immunity to public officials — that they [will] act decisively in their jobs for the public good without fear of being sued — [does] not apply with equal force to private parties acting fоr their own ends.” Vector Research,
It may be that the appropriate balance to be struck here is to permit the correctional officers to assert a good faith defense, rather than qualified immunity. See Vector Research, 76 F.3d at 699 (allowing attorneys to assert a good faith defense to Bivens claim); Jordan v. Fox, Rothschild, O’Brien & Frankel,
The judgment of the district court is AFFIRMED.
Notes
. We have jurisdiction to hear this interlocutory appeal pursuant to the Supreme Court's decision in Mitchell v. Forsyth,
. Corrections Corporation of America is a private, for-profit corporation that has contracted with the State of Tennessee to maintain some of its correctional facilities.
. Richardson and Walker do not dispute that they were acting under color of state law for the purposes of section 1983 liability, even though each are privately employed by Corrections Corporation of America. Under the test set forth by the Supreme Court in Lugar v. Edmondson Oil Co.,
. We do not seek by implication to question the actions or intent of these defendants. Rather, we are simply pointing out that for-profit corporations — and indirectly the employees of those corporations — seek to realize what the name implies, a profit. Accordingly, private corporations running correctional facilities have a greater incentive to cut costs by infringing upon the constitutional rights of prisoners in order to ensure the profitability of the enterprise.
Concurrence Opinion
concurring in the judgment.
If I believed that we were free to dispose of this appeal on public policy grounds, my vote would be to remand the case with instructions to dismiss it should the district court conclude that the conduct of the defendant correctional officers could reasonably have been thought consistent with the constitutional rights the officers are alleged to have violated. The notion that there is likely to be a meaningful difference between the behavior of a correctional officer whose paycheck comes from the State of Tennessee and the behavior of a correctional officer whose paycheck comes from the Corrections Corporation of America is a notion, it seems to me, that bespeaks a vaguely utopian view of the virtues of those who feed at the public trough. This view is not one I share. If it is sound public policy to offer qualified immunity from suit to the correctional officer employed by a public corporation, I think it is equally sound policy to offer qualified immunity to the officer employed by a private corporation, assuming both employees perform identical functions for identical reasons.
As a matter of circuit precedent; however, I believe that this panel is foreclosed from following the course to which my own view of public policy might point. In Duncan v. Peck,
In rejecting qualified immunity for private parties, the Duncan panel applied a two-part test:
“The first part requires the party claiming immunity to show that the immunity was recognized at common law. The second part requires a showing of strong public policy reasons for granting such an immunity.” Duncan,844 F.2d at 1264 (footnote omitted).
The holding of Duncan was stated by the panel as follows:
“Because we find no evidence that private parties were immune from suit at common law, and because the various rationales for good faith immunity are inapplicable to private parties, we hold that private parties are not eligible for immunity from suit.” Id. (Emphasis supplied.)
This holding may be too broad, but I bеlieve that our circuit precedent rule makes it binding on us here. It is true that where public officials are concerned, the Supreme Court has disclaimed any “suggestion] that the precise contours of official immunity can and should be slavishly derived from the often arcane rules of the common law.” Anderson v. Creighton,
Neither, of course, does the Supreme Court’s subsequent decision in Wyatt reheve us of the obligation to follow Duncan. The Wyatt Court pointed out that the Sixth Circuit’s blanket rejection of qualified immunity for private defendants conflicts with other circuits’ recognition of such immunity under certain circumstances, but Wyatt did not resolve the conflict. In the post-Wyatt era, I imagine, most of our sister circuits will probably continue to make qualified immunity available to private defendants who perform governmental functions for governmental purposes. Several circuits have already done so —see, e.g., Williams v. O’Leary,
Except insofar as to the right to an interlocutory appeal is concerned, the courts’ increasingly benign attitude toward summary judgment proceedings may frequently mean that there will be little practical difference between the good faith defense that was recognized in Duncan and the qualified immunity “defense” (arguably a misnomer, see Duncan,
For the reasons stated, I concur in the affirmance of the district court’s denial of qualified immunity.
