D.M. v. State
D.M. v. State
Opinion of the Court
While incarcerated at the Omaha Correctional Center, D.M. was sexually assaulted by a guard. D.M. sued the State, the Nebraska Department of Correctional Services (DCS), and various individual defendants in their official and individual capacities. This appeal involves two of those defendants, Geoff Britton (an investigator for the DCS) and Michael L. Kenney (warden of the Omaha Correctional Center), and the remaining constitutional claims pending against them. Both filed motions to dismiss the remaining claims for failure to state a claim, and both alleged they were entitled to qualified immunity as a matter of law. The district court for Douglas County overruled the motions, and Britton and Kenney filed interlocutory appeals challenging the district court's order denying their entitlement to qualified immunity.
Because D.M.'s First Amendment claim necessitates resolving a fact-related dispute, we conclude this part of the appeal is not immediately reviewable under the collateral order doctrine and we dismiss the appeal in part as to the First Amendment issue for lack of jurisdiction. However, we conclude D.M. failed to establish a violation of his 8th and 14th Amendment rights as to Britton and Kenney; therefore, they are entitled to qualified immunity on those claims. We reverse the district court's order to the extent it denied Britton and Kenney qualified immunity on the 8th and 14th Amendment claims.
II. BACKGROUND
Due to the procedural posture of this case, the facts considered are those alleged in D.M.'s amended complaint. D.M. states that he was sexually assaulted by Anthony Hansen, a guard, in the commons area of the Omaha Correctional Center. D.M. reported the sexual assault to Jim Brown, his unit manager, immediately after it occurred. D.M. also completed a formal complaint and grievance form. Thereafter, D.M. was placed in segregation for more than 30 days while corrections/prison officials investigated the allegations made against Hansen.
While in segregation, D.M. was isolated from the general population and allowed no contact with other inmates. He had limited telephone privileges and was instructed not to speak to anyone about his allegations, including friends and family. Prison guards were instructed not to speak with D.M. Britton repeatedly interrogated D.M. about the incident, told D.M. that he would get jail time for lying about Hansen, encouraged D.M. to change his story, and told D.M. that he was "ruining the life" of Hansen and Hansen's wife, who also worked at the facility.
Hansen was allowed to work for some time during the investigation, but was eventually placed on paid leave, while D.M. remained in segregation. D.M. requested that he be transferred to another facility rather than remain in segregation, but was told that there was no room and that he would not be transferred. D.M. repeatedly requested counseling services, but none were initially provided.
After the investigation, Hansen pled guilty to sexual assault. D.M. was then transferred from his minimum security facility to a maximum security facility with a "reputation for violence." After transfer and numerous requests, D.M. was approved *628for counseling and received two sessions before his release.
D.M. filed a complaint against the State in December 2013. D.M. brought tort claims for negligent hiring/supervising, failure to protect, and respondeat superior against the State and the DCS; Robert P. Houston (director of the DCS), Britton (then known as John Doe # 1), and Brown, in both their individual and official capacities; and Hansen, in both his individual and official capacities. Several persons and entities filed a motion to dismiss pursuant to Neb. Ct. R. Pldg. § 6-1112(b)(6) for failure to state a claim and also on the ground of sovereign immunity. Filing the motion to dismiss were Houston, in both his individual and official capacities; the State; the DCS; and John Doe # 1, Brown, and Hansen, in their official capacities only. See D.M. v. State ,
D.M. filed an amended complaint in December 2015 against the State; the DCS; and Houston, Britton (formerly John Doe # 1), Kenney, Brown, and Hansen in their individual and official capacities. D.M. alleged six causes of action: (1) First Amendment retaliation (against all defendants), (2) violation of equal protection and due process (against all defendants), (3) cruel and unusual punishment (against all defendants) under the Nebraska and federal Constitutions, (4) intentional infliction of emotional distress (against Hansen only), (5) intentional infliction of emotional distress (against all defendants), and (6) negligent infliction of emotional distress (against all defendants).
In December 2015, the State and the DCS, along with Houston, Britton, Brown, and Hansen (in their official capacities only), filed a motion to dismiss the entire amended complaint. The district court subsequently granted the motion in part, dismissing D.M.'s fifth cause of action (intentional infliction of emotional distress) and sixth cause of action (negligent infliction of emotional distress) with prejudice. As to Britton and Kenney, this left only the three constitutional claims.
In March 2016, Britton and Kenney filed identical motions to dismiss D.M.'s amended complaint for failure to state a claim upon which relief can be granted and/or because they were entitled to qualified immunity as a matter of law. After a hearing, the district court denied these motions on May 20. Britton and Kenney filed an interlocutory appeal from that order.
III. ASSIGNMENTS OF ERROR
Britton and Kenney assign that the district court erred in (1) overruling their motions to dismiss on the ground of qualified immunity and (2) denying their individual assertions of qualified immunity without issuing an "individualized analysis" of each claim.
IV. STANDARD OF REVIEW
An appellate court determines jurisdictional questions that do not involve a factual dispute as a matter of law. Carney v. Miller ,
A district court's denial of a motion to dismiss is reviewed de novo. See Brothers v. Kimball Cty. Hosp. ,
An appellate court reviewing the denial of a motion to dismiss accepts as true all facts which are well pled and the proper and reasonable inferences of law and fact which may be drawn therefrom, but not the plaintiff's conclusions. See Tryon v . City of North Platte ,
V. ANALYSIS
Before reaching the legal issues presented for review, it is the duty of an appellate court to determine whether it has jurisdiction over the matter before it. Hallie Mgmt. Co. v. Perry ,
The present appeal is taken from the district court's order overruling Britton's and Kenney's motions to dismiss, both of which asserted D.M.'s amended complaint failed to state a claim upon which relief could be granted and/or claimed entitlement to qualified immunity as a matter of law. Denial of a motion to dismiss is not a final order. See Hallie Mgmt. Co.,
1. COLLATERAL ORDER DOCTRINE
We take a moment to address the status of the collateral order doctrine in Nebraska. Last year, the Nebraska Supreme Court decided Heckman v . Marchio,
Heckman, supra, refers to Richardson-Merrell Inc. v. Koller ,
Although Heckman, supra , eliminated the use of the collateral order doctrine to file interlocutory appeals from orders disqualifying *630counsel, we do not read Heckman to eliminate the collateral order doctrine for appeals concerning qualified immunity. We reach this conclusion for several reasons. First, in Carney v. Miller ,
2. QUALIFIED IMMUNITY
Qualified immunity provides a shield from liability for public officials sued under
In order to determine whether a case presents an order reviewable under the collateral order doctrine, an appellate court engages in a three-part inquiry. Carney, supra. First, we determine whether the plaintiff has alleged the violation of a constitutional right. Id. Second, we determine whether that right was clearly established at the time of the alleged violation. Id. Finally, we determine whether the evidence shows that the particular conduct alleged was a violation of the right at stake. Id. The first two inquiries are questions of law; the last could require factual *631determinations to the extent that evidence is in conflict. Id .
Determining whether the plaintiff alleged a violation of a constitutional right and whether that right was clearly established are questions of law. Id. Evaluating whether the evidence shows that the particular conduct alleged violated the right at stake could require factual determinations to the extent that evidence is in conflict. See id. If this analysis requires factual determinations, it is not purely a question of law and we lack jurisdiction to review the denial of qualified immunity under the collateral order doctrine. See id.
We first consider the district court's order denying Britton's and Kenney's motions to dismiss based on assertions of qualified immunity.
(a) District Court's Order Regarding Immunity Claims
The State asserts that the district court erred in failing to issue a reasoned, thorough, and individualized analysis of Britton's and Kenney's qualified immunity claims. In both motions to dismiss, Britton and Kenney each asserted he was "entitled to qualified immunity as a matter of law." It has been held that officials are entitled to a thorough determination of their claims of qualified immunity if that immunity is to mean anything at all. Saylor v . Nebraska ,
In this case, the district court's order stated:
On the 14th day of April, 2016 the motions to dismiss of ... Kenney and ... Britton came on for hearing. The parties appeared by counsel. Arguments were made and the matters were taken under advisement.
The Court finds that the motions of ... Kenney and Britton should be overruled and denied.
The State argues that the district court's failure to make a reasoned, thorough, and individualized analysis of Britton's and Kenney's qualified immunity assertion warrants remanding the cause to the district court for such determinations in the event this court declines to consider the issues. We elect to consider the qualified immunity claims under the framework of Carney v. Miller ,
As discussed further below, we conclude we have jurisdiction over the 8th and 14th Amendment claims and can address qualified immunity as to those allegations. However, we begin with D.M.'s First Amendment claim and conclude we do not have jurisdiction to immediately review Britton's and Kenney's claims of qualified immunity under the collateral order doctrine as to D.M.'s retaliation claim.
(b) First Amendment Retaliation
D.M. claims that he engaged in constitutionally protected speech when he reported the sexual assault. He further claims that in retaliation for his report, he was placed in segregation, guards were instructed not to speak to him or acknowledge him, and his privileges and his contact with others were limited or excluded entirely, all in violation of his First Amendment rights.
*632The right to be free from retaliation for utilizing a prison grievance process is a right protected by the First Amendment. See Santiago v. Blair ,
For a right to be " 'clearly established,' " the contours of the right must be sufficiently clear that a reasonable official would understand that what he was doing violates that right. Anderson v. Creighton ,
The third factor requires us to determine whether the evidence shows that the particular alleged conduct was a violation of the right at stake. A district court's pretrial rejection of a qualified immunity defense is not immediately appealable to the extent that it turns on either an issue of fact or an issue perceived by the trial court to be an issue of fact. Carney v. Miller ,
In order to succeed on a First Amendment retaliation claim, D.M. must show that (1) he or she engaged in a protected activity, (2) the government official took adverse action against him or her that would chill a person of ordinary firmness from continuing in the activity, and (3) the adverse action was motivated at least in part by the exercise of the protected activity. See Saylor v . Nebraska ,
As discussed above, utilizing the prison grievance procedures to report the sexual assault was a protected activity, satisfying the first prong of the First Amendment retaliation analysis. However, determining whether Britton and Kenney engaged in adverse actions which would chill a person of ordinary firmness from using the prison grievance system and, if there were such adverse actions, determining whether such actions were motivated at least in part by D.M. filing his report present issues of fact. There is insufficient information at this stage of the proceedings to know whether any of the actions attributed to *633Britton and/or Kenney were designed to keep D.M. safe and preserve the integrity of the ongoing investigation or whether such actions were retaliatory in nature. These are issues of fact yet to be resolved. And as set forth in Carney, supra , an appellate court lacks jurisdiction over qualified immunity appeals under the collateral order doctrine that turn on issues of fact. Therefore, we conclude this part of the appeal is not immediately reviewable under the collateral order doctrine and we dismiss the appeal for lack of jurisdiction as to the First Amendment issue.
(c) Equal Protection and Due Process
D.M.'s second cause of action is titled "Violation of Equal Protection and Due Process." Within this cause of action, D.M. alleged that he was "subjected to atypical and significant hardship that other prisoners did not suffer, specifically shunning and lack of verbal contact with any human within the prison, except for verbal contact in the form of repeated interrogations and threats of prosecution." He further alleged that he was treated differently than other inmates placed in segregation and that there was no rational basis for such treatment. This language indicates separate claims for due process and equal protection under the 14th Amendment. (We note that D.M. includes the Fifth Amendment when making allegations in his amended complaint related to Due Process and Equal Protection, but as noted by the State in its brief, the Fifth Amendment only restrains the federal government and neither Britton nor Kenney are federal employees. See Livers v. Schenck ,
(i) Due Process
The 14th Amendment's Due Process Clause protects persons against deprivations of life, liberty, or property; and those who seek to invoke its procedural protection must establish that one of these interests is at stake. Wilkinson v. Austin ,
The Constitution does not give rise to a liberty interest in avoiding transfer to more adverse conditions of confinement.
Absent extraordinary circumstances, administrative segregation as such, being an incident to the ordinary life as a prisoner, will never be a ground for a constitutional claim. Pichardo v . Kinker ,
*634Moorman v. Thalacker ,
We conclude that we have jurisdiction over D.M.'s due process claim under the collateral order doctrine because it does not present an issue of fact. D.M.'s allegation that his placement into segregation, and the conditions associated with that, may have presented more difficult conditions than the general prison population. However, such allegations fail to establish a due process claim as a matter of law. As we noted above, the segregation must result in "deprivations which work such major disruptions in a prisoner's environment and life that they present dramatic departures from the basic conditions and ordinary incidents of prison sentences." Moorman ,
(ii) Equal Protection
D.M. also alleged violations of his 14th Amendment right to equal protection. D.M.'s allegation of an equal protection violation consists of one sentence: "[D.M.] was also treated differently than other inmates placed in segregation and there was no rational basis for [his] treatment."
The Equal Protection Clause of the 14th Amendment commands that no State shall "deny to any person within its jurisdiction the equal protection of the laws," which is essentially a direction that all persons similarly situated should be treated alike. Cleburne v. Cleburne Living Center, Inc. ,
We conclude we have jurisdiction over the equal protection claim under the collateral order doctrine because it does not present a factual issue, as D.M. did not allege a valid claim as a matter of law. D.M. did not allege that he is a member of a protected class and did not allege a violation of a fundamental right. Although D.M. did allege that he was treated differently than other inmates in segregation, he alleged no facts to describe or support this allegation. We cannot conclude that his treatment had no rational relation to a legitimate penal interest or that his treatment constituted purposeful or intentional discrimination for purposes of his equal protection claims. D.M. failed to allege facts that rise to this legal threshold, and thus, Britton and Kenney are entitled to qualified immunity on the 14th Amendment equal protection claim.
(d) Cruel and Unusual Punishment
D.M. alleged that his time and treatment in segregation was cruel and unusual punishment because he was subjected to more than 30 days in total isolation with his only verbal contact coming in the form of interrogation and threats. He further alleged that the sexual assault by Hansen constituted cruel and unusual punishment.
*635The Constitution does not mandate comfortable prisons, but neither does it permit inhumane ones, and it is now settled that the treatment a prisoner receives in prison and the conditions under which he is confined are subject to scrutiny under the Eighth Amendment. Farmer v. Brennan ,
A prison official violates the Eighth Amendment only when two requirements are met. Farmer,
D.M. failed to allege that he was deprived of a single basic, human need, let alone some combination of deprivation. His allegation that placement in isolation qualifies as a deprivation serious enough to implicate the Eighth Amendment does not pass muster. He failed to state a claim as a matter of law. In addition, D.M.'s allegation that his sexual assault by Hansen qualified as cruel and unusual punishment does not implicate either Britton or Kenney. The standard by which a supervisor is held liable under § 1983 in his or her individual capacity for the actions of a subordinate is extremely rigorous. D.M. v. State ,
*636VI. CONCLUSION
For the reasons stated above, we conclude Britton and Kenney are entitled to qualified immunity as to the 8th and 14th Amendment claims, and we reverse in part the district court's order denying their motions to dismiss as to these claims. However, we find we lack jurisdiction to review the district court's denial of Britton's and Kenney's motions to dismiss D.M.'s First Amendment retaliation claim; and as to that part of the appeal, we dismiss for lack of jurisdiction.
REVERSED IN PART, AND IN PART DISMISSED .
Reference
- Full Case Name
- D.M. v. STATE of Nebraska, and Geoff Britton and Michael L. Kenney
- Cited By
- 27 cases
- Status
- Published