Waller v. Tripett
Opinion of the Court
ORDER
In the case at bar, the Plaintiff, Eric Waller, acting in his capacity as the personal representative of the Estate of Doris Taylor, has charged the Defendant, David Tripett with promoting employment policies which caused his mother’s death.
On April 5, 2001, Tripett filed a motion to dismiss the case, arguing that (1) the law does not support any cause of action against him, and (2) he is shielded from liability on the basis of the doctrine of qualified immunity. The two primary issues that are raised by this motion are reasonably straightforward. First, did Tripett violate the substantive component of the Due Process Clause of the Fourteenth Amendment? Second, if there was a constitutional violation, is he entitled to immunity for his actions? For the reasons that are set forth below, the Court will grant in part, and deny in part Tripett’s motion.
I
At the time of her death, Taylor was working as a food service steward at the Thumb Correctional Facility in Michigan (TCF), where she had been employed for more than ten years.
On May 17, 1998, Gerald Barnes and other inmates were assigned to routine kitchen duties at TCF. Barnes had been imprisoned after having been convicted of committing a criminal sexual assault with a knife.
According to the Complaint, Taylor advised an unnamed party that she did not want Barnes to come near her because of his alleged history of knife related assaults. Nevertheless, Barnes was given access to knives in the kitchen while Taylor was there.
Here, the Plaintiff maintains that Tripett had instituted several institutional policies and practices, all of which contributed to his mother’s untimely death, in that Tripett (1) permitted felons to possess dangerous knives without providing adequate supervision and security precautions; (2) allowed inmates to handle deadly weapons without adequate background reviews; (3) failed to install sufficient emergency measures, such as a safety transceiver in the hallway where Taylor was murdered; and (4) neglected to maintain adequate medical staff and facilities.
II
In his motion, Tripett contends that Waller has failed to state a claim upon which relief can be granted. Under Federal Rule of Civil Procedure 12(b)(6), a party may present such a request to test
Importantly, the Court will not dismiss a pleading merely because it does not state all the elements which give rise to a legal basis of recovery or because the aggrieved party has misconceived the proper theory if relief can be granted under any theory. See Myers v. United States, 636 F.2d 166, 169 (6th Cir. 1981). Instead, a dismissal should only be permitted “if it is clear that no relief could be granted under any set of facts that could be proved consistent with the allegations.” Hishon v. King & Spalding, 467 U.S. 69, 73, 104 S.Ct. 2229, 81 L.Ed.2d 59 (1984) (citing Conley v. Gibson, 355 U.S. 41, 45-46, 78 S.Ct. 99, 2 L.Ed.2d 80 (1957)); Al-lard v. Weitzman (In re DeLorean Motor Co.), 991 F.2d 1236, 1240 (6th Cir. 1993).
Ill
The question of whether the Due Process Clause of the Fourteenth Amendment
On the one hand, it is clear that when the State actively takes and holds a person without consent — as in the case of a prisoner or an involuntarily committed mental patient — there is “a corresponding duty to assume some responsibility for his safety and general well-being.” DeShaney, v. Winnebago County Dep’t of Soc. Servs., 489 U.S. 189, 200, 109 S.Ct. 998, 103 L.Ed.2d 249 (1989). Thus, an inmate has
However, the instant case falls somewhere between these two poles since the aggressor was in custody but the victim was not under similar institutional constraints.
The Fourteenth Amendment provides, among other things, that a State shall not “deprive any person of life, liberty, or property, without due process of law.” U.S. Const, amend. XIV, § 1 cl. 3. At its core, the clause protects the public against arbitrary action by the State. See County of Sacramento v. Lewis, 523 U.S. 833, 842, 118 S.Ct. 1708, 140 L.Ed.2d 1043 (1998); 1 Lawrence H. Tribe, American Constitutional Law § 8-1, at 1335 (3d ed. 2000). As such, it serves to “ ‘prevent the government from abusing [its] power, or employing it as an instrument of oppression,’ ” DeShaney, 489 U.S. at 196, 109 S.Ct. 998 (quoting Davidson v. Cannon, 474 U.S. 344, 348, 106 S.Ct. 668, 88 L.Ed.2d 677 (1986)), quoted in Collins v. City of Harker Heights, 503 U.S. 115, 126, 112 S.Ct. 1061, 117 L.Ed.2d 261 (1992), and it prohibits “the exercise of power without any reasonable justification in the service of a legitimate governmental objective.” Lewis, 523 U.S. at 842, 118 S.Ct. 1708.
In furtherance of these aims, the clause dictates a baseline
Despite the potential breadth of these words, the Court uses caution in interpreting them in order to shun a slide
In this case, many of Waller’s allegations fail to identify conduct that is conscience-shocking in the constitutional sense. For example, neither the State nor Tripett had any duty, in their capacities as Taylor’s employers, to protect her from unreasonable existing risks. See Collins, 503 U.S. 115, 112 S.Ct. 1061; Lewellen v. Metropolitan Gov’t of Nashville, 34 F.3d 345, 351 (6th Cir. 1994). Prisons are dangerous places, and the people who work in them are generally not entitled to receive any recovery if some unexceptional danger results in an injury unless their exposure to a risk was intended to be some form of punishment. See Collins, 503 U.S. 115, 112 S.Ct. 1061; Metropolitan Gov’t of Nashville, 34 F.3d at 351. Similarly, the State has broad authority in its determinations as to how to allocate resources. See Collins, 503 U.S. at 128-29, 112 S.Ct. 1061. As Taylor became increasingly uncomfortable with general issues of prison overcrowding, the lack of security personnel, and the absence of electronic emergency transceivers, the burden was upon her to take reasonable steps to protect herself from harm.
However, although a generalized employment risk is insufficient to render
Here, Tripett presumptively made an intentional decision to institute a practice that (1) appears to have contravened the State-wide policy, and (2) provided an untethered knife without adequate supervision to a man who had a recent history of committing a violent crime with the aid of knives.
IV
At this point, it is worthwhile to pause and to offer an alternative justification for the Court’s disposition. Over the years, the members of the Supreme Court have expressed varying degrees of willingness to rely upon the “shocks the conscience” test due, in part, to the amorphous nature of the judicial conscience. Fortunately, the resolution of the dispute in the case at bar can be achieved without invoking the “substantive component” of due process. The straightforward procedural aspect of
The Due Process Clauses of the Fifth and Fourteenth Amendments exist to ensure that choices about how to exert the great authority of government are neither arbitrarily nor recklessly imposed upon the citizenry of the United States. Each branch of government is charged with the task of making decisions among competing interests. According to the principles of due process, the decisions of each branch of government must be made pursuant to some basic methodological framework in order to assure the appropriate measure of reliability and consistency. The strictures of procedural due process delineate the methodology of choice. An analysis of the substantive due process issue is relevant only if a court determines that a particular freedom is not properly subject to the decision-making authority of the government.
The Constitution allows procedural standards to vary in order to account for the forum and circumstances in which a decision is made. In matters of law enforcement and executive action, the Supreme Court has described the character of the process by which an official reaches a legitimate decision. If the official is acting in an emergency situation, the courts expect only a decision making process that is free from an intent to inflict harm. See Lewis, 523 U.S. at 853-54, 118 S.Ct. 1708 (discussing Whitley v. Albers, 475 U.S. 312, 106 S.Ct. 1078, 89 L.Ed.2d 251 (1986)). If the official has ample time to contemplate or set policy, the Constitution mandates a procedure that, at least, does not manifest a deliberate indifference to the rights of the citizenry. Id. at 851-52, 118 S.Ct. 1708. These are the minimally adequate procedural standards that merit the distinction of being “due.” They do not directly pertain to the substance or the subject matter of the conduct that is governed. If a member of the executive branch is so careless as to trip over these low hurdles and the result is the loss of life, liberty, or property, the courts can— in good conscience — say that the administrative regime was so inadequate that it failed to meet the procedural standards of “due process.”
Notwithstanding, the doctrine of substantive due process remains generally relevant to executive action. For example, an executive order or a policeman’s act— no matter how well thought out — could impinge upon a fundamental liberty. Here, the Court merely notes that procedural due process might provide a better textual support for the applicable standards while obviating the controversial need to resort to the language of “conscience-shocking.” Under this analysis, Waller’s allegations would be tenable for the same reasons that were set forth in the prior section.
V
Having found that the Complaint states a cognizable claim for a violation of Taylor’s constitutional rights, the Court turns to consider whether Tripett is immune from liability.
A
The doctrine of qualified immunity “extends to government officials [who are] performing discretionary functions.”
In order to determine whether an official is entitled to qualified immunity, the Court should initially consider if the alleged acts violated clearly established law. See id. The purpose of this prong is to “ensure that defendants ‘reasonably can anticipate when their conduct may give rise to liability.’ ” United States v. Lanier, 520 U.S. 259, 270, 117 S.Ct. 1219, 137 L.Ed.2d 432 (1997) (quoting Davis v. Scherer, 468 U.S. 183, 104 S.Ct. 3012, 82 L.Ed.2d 139 (1984)) (discussing effective equivalence of civil “clearly established law” and criminal “fair warning” standards). To uphold such a purpose, it is not necessary for the alleged conduct to have violated the law under the particular theories that have been advanced in this case. See generally Anderson, 483 U.S. at 640, 107 S.Ct. 3034 (“[It] is not [correct] to say that an official action is protected by qualified immunity unless the very action in question has previously been held unlawful, but it is to say that in light of preexisting law the unlawfulness must be apparent.”) (citations omitted). Instead, the question is whether the unlawfulness of the action is apparent. See id.
Second, the Court is encouraged to ask “whether a reasonable person in the defendant’s position would have known that his ... actions violated clearly established rights.” Blake, 179 F.3d at 1008. This determination invokes a purely objective standard. The official’s subjective intent is irrelevant. See id. (citing Crawford-El v. Britton, 523 U.S. 574, 118 S.Ct. 1584, 140 L.Ed.2d 759 (1998)).
B
In the absence of exigent circumstances, it is well settled that an executive official cannot act with deliberate indifference in the creation of policies and practices. Hence, in the employment context, Tripett could neither punish Taylor by exposing her to an existing risk nor affirmatively create a new danger that made her more vulnerable to a harm. In this jurisdiction, the Constitution prevents an executive official from materially increasing the danger to which he renders other identifiable persons vulnerable. The Court concludes that the rights which were allegedly violated by Tripett have been clearly established.
Moreover, a reasonably responsible person, such as the warden in the case at bar, should have been aware of these basic standards. The precedential opinions in this area of law have frequently been discussed or have arisen in the context of prison management. See, e.g., Lewis, 523 U.S. at 851-54, 118 S.Ct. 1708 (discussing varying standards controlling creation of prison policy and suppression of prison
VI
For the reasons that have been set forth above, Tripett’s motion is granted in part, and denied in part.
IT IS SO ORDERED.
. The facility houses felons who have committed milder offenses and are between the ages of seventeen (17) and twenty-one (21). Offense levels are classified on a scale of one to six, with Level I covering the least egregious offenses. Although the correctional center generally houses inmates who have committed Level II offenses, it contained persons whose crimes warranted a Level III or IV classification at the time of Taylor’s death.
. Contrary to an existing statewide policy, the kitchen knives were untethered.
. The minimal pleading requirements of Federal Rule of Civil Procedure 8(a), which requires only a "short and plain statement of the claim,” govern the assessment of the Complaint. Under this standard, a pleading is sufficient if it gives the Defendant "fair notice of what the plaintiffs claim is and the grounds upon which it rests.” Conley v. Gibson, 355 U.S. 41, 47, 78 S.Ct. 99, 2 L.Ed.2d 80 (1957); Westlake v. Lucas, 537 F.2d 857, 858 (6th Cir. 1976). By the same token, the cause must provide a " 'statement of circumstances, occurrences, and events in support of the claim presented .... [T]he complaint must disclose information with sufficient definiteness.’ " Veney v. Hogan, 70 F.3d 917, 921-22 (6th Cir. 1995) (citation omitted).
. Waller has also invoked the Due Process Clause of the Fifth Amendment. However, whereas the Fourteenth Amendment applies directly to the States, the Fifth Amendment constrains federal action. See Barron v. City of Baltimore, 32 U.S. (7 Pet.) 243, 250-51, 8 L.Ed. 672 (1833) (Fifth Amendment "is intended solely as a limitation on the exercise of power by the government of the United States, and is not applicable to the legislation of the states.”), cited in United States v. Balsys, 524 U.S. 666, 674, 118 S.Ct. 2218, 141 L.Ed.2d 575 (1998). Hence, the Court will analyze Waller’s claim under the strictures of the Fourteenth Amendment.
. A milder form of the question was reserved in Martinez v. California, 444 U.S. 277, 285, 100 S.Ct. 553, 62 L.Ed.2d 481 (1980), and was left unresolved with respect to the instant issue in DeShaney v. Winnebago County Dep’t of Soc. Servs., 489 U.S. 189, 196-97, and especially at 197 n. 4, 109 S.Ct. 998, 103 L.Ed.2d 249 (1989).
. Only unreported opinions have expressly commented on this issue.
. After DeShaney, the Supreme Court has offered no additional guidance that would be decisive. The case of Collins v. City of Harker Heights, 503 U.S. 115, 112 S.Ct. 1061, 117 L.Ed.2d 261 (1992), concerned the duties of the State in its capacity as an employer whose policies arguably result in death or injury. Here, however, the Court is not addressing responsibilities that allegedly arise out of the employment relationship. Instead, it is addressing the duties of a State that creates a danger by arming a prisoner. Thus, the principles of Collins are inapposite. County of Sacramento v. Lewis, 523 U.S. 833, 118 S.Ct. 1708, 140 L.Ed.2d 1043 (1998), expressly pertains to extreme situations in which an official lacks any time for reflection. It does not govern situations, like those at issue, when an officer forms a policy after due reflection.
. The line is not necessarily drawn so as to parallel the tort-related concept of reasonable care. See, e.g., Lewis, 523 U.S. at 848-49, 118 S.Ct. 1708 (explaining distinctions between State tort law and constitutional due process); Collins, 503 U.S. at 128, 112 S.Ct. 1061 (discussing settled principle that substantive due
. The general mores, which are embodied by the amendment, can be supplanted by specific constitutional provisions. Saucier v. Katz, 533 U.S. 194, 121 S.Ct. 2151, 2158, 150 L.Ed.2d 272 (2001) (discussing Graham v. Connor, 490 U.S. 386, 388, 394, 109 S.Ct. 1865, 104 L.Ed.2d 443 (1989)); Lewis, 523 U.S. at 842, 118 S.Ct. 1708 (discussing Albright v. Oliver, 510 U.S. 266, 273, 114 S.Ct. 807, 127 L.Ed.2d 114 (1994) (plurality opinion)); Graham, 490 U.S. 386, 109 S.Ct. 1865. Nevertheless, where more particular language is absent, it is well settled that the clause "guarantees more than fair process.” Washington v. Glucksberg, 521 U.S. 702, 719, 117 S.Ct. 2258, 138 L.Ed.2d 772 (1997).
. The doctrine of substantive due process has varied origins and applications, see John E. Nowak & Ronald D. Rotunda, Constitutional Law ch. 11 (5th ed. 1995), and attempts to articulate a unified theory are, at best, difficult. See Moore v. City of E. Cleveland, 431 U.S. 494, 502, 97 S.Ct. 1932, 52 L.Ed.2d 531 (1977) ("Substantive due process has at times been a treacherous field for th[e Supreme] Court.”).
. Insofar as the test applies to legislative action, the judicial conscience is shocked when the government attempts to regulate matters that are so personal as to warrant complete protection from encroachment. In this way, substantive due process protects freedoms " 'so rooted in the traditions and conscience of our people as to be ranked as fundamental.' " Michael H. v. Gerald D., 491 U.S. 110, 109 S.Ct. 2333, 105 L.Ed.2d 91 (1989) (plurality opinion) (quoting Snyder v. Massachusetts, 291 U.S. 97, 105, 54 S.Ct. 330, 78 L.Ed. 674 (1934) (Cardozo, J.), overruled on other grounds, Duncan v. Louisiana, 391 U.S. 145, 88 S.Ct. 1444, 20 L.Ed.2d 491 (1968), Malloy v. Hogan, 378 U.S. 1, 84 S.Ct. 1489, 12 L.Ed.2d 653 (1964)). Such interests are "implicit in the concept of ordered liberty.” Palko v. Connecticut, 302 U.S. 319, 325, 58 S.Ct. 149, 82 L.Ed. 288 (1937) (Cardozo, J.), overruled on other grounds, Benton v. Maryland, 395 U.S. 784, 89 S.Ct. 2056, 23 L.Ed.2d 707 (1969), Duncan v. Louisiana, 391 U.S. 145, 88 S.Ct. 1444, 20 L.Ed.2d 491 (1968).
To be recognized as an infringement upon a fundamental right, an act must, by an articu-lable analogy, be so tightly related to conduct that has long been deemed to be the object of clear repugnance. For example, the Supreme Court has held that such domains of personal liberty include the "freedom to enter into and carry on certain intimate or private relationships,” Board of Directors of Rotary Int’l v. Rotary Club of Duarte, 481 U.S. 537, 545, 107 S.Ct. 1940, 95 L.Ed.2d 474 (1987), cited in Boy Scouts of Amer. v. Dale, 530 U.S. 640, 698, 120 S.Ct. 2446, 147 L.Ed.2d 554 (2000) (Stevens, J., dissenting), the liberty "of parents in the care, custody, and control of their children,” Troxel, 530 U.S. at 65, 120 S.Ct. 2054, the right to be free from the imposition of grossly excessive punishments upon tort-feasors, Cooper Indus. v. Leatherman Tool Group, Inc., 532 U.S. 424, 121 S.Ct. 1678, 1684, 149 L.Ed.2d 674 (2001), and the “rights to marry, to have children, ... to marital privacy, to use contraception, to bodily integrity, and to abortion.” Glucksberg, 521 U.S. 702, 720, 117 S.Ct. 2258, 138 L.Ed.2d 772 (1997) (numerous citations omitted).
. Undoubtedly, this is easier said than done, especially when a correctional facility is a bedrock of the local economy. Moreover, part of the tragedy in this case is that Taylor was on the verge of retiring from her job. Nevertheless, the law will not support her claims to the extent that they arise out of the existence of generalized employment hazards.
. It is not necessary for Tripett to have been specifically notified that Barnes would receive a knife if it was obvious that a similarly situated offender would be imprudently armed by the policy. See Farmer, 511 U.S. at 843, 114 S.Ct. 1970 (Even under the more stringent test of the Eighth Amendment, a prison official may not "escape liability for deliberate indifference by showing that, while he was aware of an obvious, substantial risk to inmate safety, he did not know that the complainant was especially likely to be assaulted by the specific prisoner who eventually committed the assault.”)
. Although Tripett must initially plead the defense, the burden then shifts to Waller to demonstrate that such immunity is not appropriate. Blake, 179 F.3d at 1007 (citing Wegener v. Covington, 933 F.2d 390, 392 (6th Cir. 1991)). Because qualified immunity pro
. The Court makes no pronouncement as to Tripett's subjective state of mind. It is possible, and perhaps presumable, that he did not actually know that the policy was unconstitutional. However, such matters are irrelevant to the doctrine of qualified immunity.
Reference
- Full Case Name
- Eric WALLER, as Personal Representative of the Estate of Doris Taylor v. David TRIPETT, Individually
- Cited By
- 1 case
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- Published