Al-Turki v. Tomsic
Opinion
Plaintiff Homaidan Al-Turki is a citizen of Saudi Arabia who was sentenced by a Colorado state court to a term of eight years to life. He wishes to serve the remainder of his time in prison in his home country. A treaty permits this, but requires approval of the State, the federal government, and the foreign nation. Plaintiff alleges that he received approval from the proper state official but Defendants (several state and federal officials) then provided false derogatory information to the State that caused it to revoke its approval. He filed suit in the United States District Court for the District of Colorado contending that Defendants had violated his right to procedural due process under the federal Constitution by not providing him a hearing to clear his name before revoking the approval. He is not asking for damages for the violation but seeks an injunction requiring that he be granted a judicial hearing to clear his name and that Defendants not repeat the false allegations against him.
Defendants moved to dismiss the complaint for failure to state a claim, and the district court granted the motion. Exercising jurisdiction under
I. BACKGROUND
While incarcerated in Colorado, Plaintiff filed an application to transfer to a prison in Saudi Arabia under the Organization of American States' Inter-American Convention on Serving Criminal Sentences Abroad (OAS Convention), an international prison-transfer treaty. Any transfer under the OAS Convention requires the consent of the sentencing nation, the receiving nation, and the prisoner. See OAS Convention, Article III § 2, June 9, 1993; 146 Cong. Rec. S10658-02 (Oct. 18, 2000) ("each transfer of a sentenced person under this Convention shall require the concurrence of the sentencing state, the receiving state, and the prisoner"). Under guidelines for an international prison transfer issued by the United States Department of Justice (DOJ), a prisoner in the custody of a State must obtain the State's approval of the transfer. The guidelines state:
When a foreign national prisoner has been convicted of a criminal violation of a state law and is in state custody, the prisoner must first obtain the approval of the state authorities before he can be considered for transfer by the Federal Government. Each state has its own application process and procedures, which a prisoner must follow. If a state denies a transfer request, the transfer cannot occur. The Federal Government cannot compel a state to transfer a foreign national.
If the state approves the transfer, it transmits the case to the Department for review. Unless a treaty requirement has not been satisfied or a compelling federal interest is presented by the case, the Department generally defers to a state's transfer decision, believing that the states are best equipped to assess if transfer would be consistent with state policy and the rights of any victims impacted by the crime.
The most common basis for the Department to deny the transfer of a state prisoner typically occurs when a prisoner has not satisfied a treaty requirement. ... On occasion, the Department may also deny the transfer of a state prisoner based on law enforcement, national security, or public safety concerns.
DOJ, Guidelines for the Evaluation of Transfer Requests Submitted by Foreign Nationals , § IV (Aug. 31, 2018) (emphasis added).
Colorado delegates authority for review and state-level approval of transfer applications to the Colorado Department of Corrections (CDOC); and the CDOC executive director and the governor have discretion to approve or deny applications:
The [CDOC] is delegated the authority by the governor of Colorado to approve the transfer of eligible foreign national offenders, pursuant to the conditions of current treaties which provide for such transfer, and the approval of the Department of Justice and the affected foreign country. Such transfer is a privilege and not a right. The governor of Colorado, or the executive director, at their sole discretion, may approve or deny the transfer of an offender.
Colo. Dep't of Corr. Admin. Reg. 550-05(IV)(B) (emphasis added). The "Transfer Application Process" section of the CDOC regulation provides that after a prison-transfer application is approved by the executive director, "the [CDOC Office of] Offender Services shall forward a completed application packet to the [DOJ]." The application packet "shall be certified by the central records office."
According to Plaintiff's complaint, CDOC executive director Tom Clements signed a letter on January 14, 2013, approving his transfer application, but Clements then reversed course and denied the application in March. The complaint alleges the following sequence of events: On the day Plaintiff's transfer was approved, Defendant Ann Tomsic (the prosecutor in Plaintiff's state-court criminal case) contacted Defendant Paul Hollenbeck (the associate director of offender services for the CDOC) and asked if he could delay the transfer decision. About that same time, Defendant Robert Goffi (the FBI chief division counsel) informed Hollenbeck that he had information relevant to the transfer decision. Hollenbeck then delayed transmitting to the DOJ the paperwork approving Plaintiff's transfer at the state level while Tomsic and Hollenbeck coordinated with Defendants Jon Bibik (an FBI special agent) and George Brauchler (a Colorado district attorney) to "stigmatize and defame Plaintiff." Aplt. App. at 520. Plaintiff claims that defamatory comments made by Defendants to executive director Clements caused him to reverse his initial approval of Plaintiff's transfer application.
Relying on the stigma-plus doctrine, the complaint alleges that Defendants conspired to violate Plaintiff's constitutional right to procedural due process by not providing him with a name-clearing hearing to defend himself against the allegedly false accusations before denying his request for a transfer to a Saudi Arabian prison. 1 Defendants moved to dismiss the complaint, and the district court granted their motions, holding that Plaintiff had failed to sufficiently allege the plus factor necessary to state a stigma-plus claim.
II. DISCUSSION
We review de novo the district court's dismissal of Plaintiff's complaint.
See
Moya v. Garcia
,
The Fifth Amendment's Due Process Clause forbids the federal government from depriving any person "of life, liberty, or property, without due process of law." U.S. Const. amend. V. The Due Process Clause of the Fourteenth Amendment similarly prohibits a State from "depriv[ing] any person of life, liberty, or property, without due process of law."
Id
. amend. XIV, § 1. Court interpretations of one due-process clause generally apply to the other; at the least, "the Fourteenth Amendment imposes no more stringent requirements upon state officials than does the Fifth upon their federal counterparts."
Paul v. Davis
,
"The requirements of procedural due process apply only to the deprivations of interests encompassed by the [constitutional] protection of liberty and property."
Board of Regents v. Roth
,
Plaintiff contends that he was denied a liberty interest when Defendants' false allegations caused executive director Clements to reverse his initial approval of Plaintiff's transfer to Saudi Arabia for incarceration, and he was therefore entitled to a hearing to clear his name before the reversal. But Supreme Court and circuit precedent require rejection of this claim.
A. No Due-Process Right to Change Place of Incarceration
Before we address Plaintiff's stigma-plus claim, it will be useful to place the claim in context by first discussing the relevant law on whether he would have any due-process rights regarding the location of his confinement if he had not been subjected to defamation. Plaintiff does not argue that he has a constitutionally protected liberty interest in changing his place of incarceration from Colorado to Saudi Arabia. And for good reason: Supreme Court precedent is squarely to the contrary.
It is settled law that the federal Constitution in itself does not confer a right to incarceration in a particular institution.
See
Meachum v. Fano
,
Confinement in any of the State's institutions is within the normal limits or range of custody which the conviction has authorized the State to impose. That life in one prison is much more disagreeable than in another does not in itself signify that a Fourteenth Amendment liberty interest is implicated when a prisoner is transferred to the institution with the more severe rules.
At one time, the Supreme Court indicated that a State conferred a constitutionally protected liberty interest in favor of prisoners if, and only if, state law "plac[ed] substantive limitations on official discretion."
Kentucky Dep't of Corr. v. Thompson
,
In
Sandin v. Conner
,
Here, unlike the cases to come before the Supreme Court, Plaintiff is not complaining about being transferred to conditions that he considers unconstitutionally harsh. He is the one seeking the transfer. But the same principles apply. To establish a protected liberty interest in a prison transfer, he must be able to show that keeping him in a Colorado prison subjected him to an "atypical and significant hardship ... in relation to the ordinary incidents of prison life."
Sandin
,
B. Stigma-Plus Doctrine
With this background to inform our analysis, we now turn to the doctrine on which Plaintiff bases his claim. To establish a liberty interest, Plaintiff relies on the alleged defamation of him by Defendants-the stigma they imposed. At several places in his brief, he asserts that one has a liberty interest in his or her reputation.
See, e.g.
, Aplt. Br. at 12 ("Under this Court's stigma-plus precedent, a person has a liberty interest in his good name and reputation."); Aplt. Br. at 14 ("[T]he liberty interest at issue in a stigma-plus case is the plaintiff's liberty interest in his good name."); Aplt. Reply Br. at 2 ("[A] stigma-plus plaintiff has a liberty interest in his good name."). But the Supreme Court has explicitly rejected the proposition that "reputation alone, apart from some more tangible interests such as employment, is either 'liberty' or 'property' by itself sufficient to invoke the procedural protection of the Due Process Clause."
Paul
,
What is needed in addition to stigma, according to the Supreme Court, is some change in legal status. The plaintiff must show that as a result of the defamation, "a right or status previously recognized by state law was distinctly altered or extinguished."
Paul
, 424 U.S. at 711,
Although
Paul
did not explicate what it meant by a legal status that would suffice to create a liberty interest, the opinion did point to prior decisions in which it had recognized a liberty interest when there was defamation plus something more. In
Wisconsin v. Constantineau
,
A later Supreme Court opinion did not provide a more precise test for determining what kind of plus factor is needed to establish a liberty interest, but it indicated the Court's strict view of the limitations of the doctrine. In
Siegert v. Gilley
,
Our court has required a plaintiff alleging a stigma-plus claim to show both "that (1) the government made a false statement about [the plaintiff] ... that was sufficiently derogatory to injure his reputation, and that (2) [the plaintiff] experienced a governmentally imposed burden that significantly altered his status as a matter of state law."
Gwinn
,
Other circuits have similarly required an alteration of a state-recognized right to allege a stigma-plus claim. Two opinions illustrate how the harm suffered by the plaintiff must be to an interest protected by state law. In
Alston v. City of Madison
,
In
Behrens v. Regier
,
In this case, Plaintiff has not established the plus factor necessary to create a protected liberty interest. Executive director Clements's letter approving Plaintiff's transfer application conferred no state-recognized right or status upon him. The CDOC regulation is clear: "[T]ransfer is a privilege and not a right . The governor of Colorado, or the executive director [of CDOC], at their sole discretion, may approve or deny the transfer of an offender." Colo. Dep't of Corr. Admin. Reg. 550-05(IV)(B) (emphasis added). That statement is categorical. Nothing in the regulation prohibits the governor or the executive director from a change of mind after signing the letter. Here the alleged reversal occurred before the DOJ received any approval from the State; but even if approval had already been sent, no provision of the regulation deprives Colorado authorities of discretion to cancel authority at any time before the prisoner is actually removed from the State-either because of the receipt of additional information or simply because of reconsideration. In short, Plaintiff had acquired no "legal status" from the executive director's alleged signature on his letter. The alleged defamatory statements by Defendants that purportedly changed the executive director's decision therefore did not alter Plaintiff's legal status.
Plaintiff contends, however, that despite the language of the regulation granting discretion to the executive director (and the governor), the executive director's signature on the initial approval letter actually did confer on him a legal status-namely, the "status ... of a prisoner approved for an international transfer at the state level." Aplt. Br. at 23-24. He relies on a portion of the regulation governing the flow of paperwork in the approval process: "Upon approval of the transfer application by the executive director, the Offender Services shall forward a completed application packet to the United States' Department of Justice." Colo. Dep't of Corr. Admin. Reg. 550-05(IV)(D)(7). According to Plaintiff, he "had a right, under the mandatory procedures of CDOC AR 550-05, to have the Office of Offender Services transmit [that] approval letter to the DOJ." Aplt. Br. at 23-24. As we understand Plaintiff's position, once the executive director signed the initial letter, Plaintiff had received "approval" from Colorado for the international transfer, and the executive director and governor lost their discretion to revoke that approval. We are not disposed to interpret a paperwork provision in the "Transfer Application Process" section of the regulation as limiting the substantive power conferred on the executive, and the Colorado authorities obviously interpreted the regulation just as we do.
But even if we were to accept Plaintiff's construction of the regulation, we would still deny his claim. To begin with, we question whether such "state-approval" status is an adequate plus factor. It was hardly the sort of status that one could take to the bank. Plaintiff's future incarceration in Saudi Arabia was still dependent on the favorable exercise of discretion by two other institutions. Before Plaintiff could be transferred there, he not only needed approval by the State of Colorado, but also by Saudi Arabia and by the DOJ, whose decision, like that of Colorado, is discretionary.
See
Bagguley
, 953 F.2d at 662 ;
Lopez-Ortiz
,
Moreover, Plaintiff's argument ultimately undermines rather than supports his demand for a name-clearing hearing. If Plaintiff were to prevail on his contention that the executive director's signature on the original letter deprived that official of discretion to change his mind about approval of Plaintiff's transfer to Saudi Arabia, then due process did not require that he be granted a name-clearing hearing before Colorado changed its position. All Plaintiff would need to do is obtain a ruling (perhaps ultimately by a court) adopting his view that the State could not change its position on the transfer. With such a ruling, the truth of the allegations against Plaintiff would become irrelevant-he would receive state approval regardless. Hence, a hearing regarding the truth of the allegations would be pointless. Ironically, to establish that the State's rescission of what he terms its initial approval constituted a change in legal status, Plaintiff argues that the State had no discretion to rescind, thereby rendering it a moot point whether the allegations against him were true.
5
The State's failure to provide him a name-clearing hearing thus did not deprive him of due process. The situation would be similar to that in
Codd
,
Finally, we observe that allowing a decision by correctional authorities regarding treatment of a prisoner to satisfy the plus factor would be in tension with the Supreme Court's decision in
Sandin
. To encourage codification of prison policy by prison authorities and to avoid undue judicial interference in correctional matters, the Court in that case, as discussed above, held that constitutional due process would
be implicated only if the prison subjected an inmate to restraints that posed an "atypical and significant hardship ... in relation to the ordinary incidents of prison life."
Sandin
,
In sum, Plaintiff fails to adequately allege a stigma-plus claim, as he has not shown a significant alteration in a state-recognized legal status or any other government infringement upon his liberty interests. 7
III. CONCLUSION
We AFFIRM the district court's dismissal of Plaintiff's action.
Plaintiff also sued ten John and Jane Doe Defendants, FBI or local law-enforcement agents who allegedly participated in the conspiracy.
International prison-transfer treaties, like the one at issue here, have also been held insufficient to create a liberty interest because they lack mandatory language.
See
Bagguley v. Bush
,
Plaintiff, relying on a footnote in
Wolff v. McDonnell
,
At least one opinion representing the views of three Justices suggests that a constitutionally protected liberty interest will still require an entitlement mandated by state law.
See
Kerry v. Din
, --- U.S. ----,
Plaintiff has not argued (and we see no basis for such an argument anyway) that once an initial letter is signed, rescission of approval is permissible only upon a showing that a substantive standard (say, good cause) is met.
Plaintiff complained in his reply brief that Defendants' arguments improperly relied on materials outside the complaint. Our opinion, however, does not turn on any factual material outside the scope of a motion to dismiss. In ruling on Defendants' motion to dismiss, we may properly rely on matters that we can judicially notice and materials referenced in Plaintiff's complaint.
See
Gee v. Pacheco
,
Plaintiff does not contest that if he cannot state a procedural-due-process claim, he necessarily cannot state a claim of conspiracy to violate his due-process rights.
See
Dixon v. City of Lawton, Okla.
,
Reference
- Full Case Name
- Homaidan AL-TURKI, Plaintiff - Appellant, v. Ann TOMSIC, in Her Official Capacity as Chief Deputy District Attorney; George Brauchler, in His Official Capacity as District Attorney; Jon Bibik, Special Agent; Robert Moen, Chief Division Counsel; Paul Hollenbeck ; John Does 1-10, Defendants - Appellees.
- Cited By
- 39 cases
- Status
- Published