Gregory Ricks v. D. Shover
Opinion
In this § 1983 case, Plaintiff-Appellant Gregory Ricks, a former inmate at Pennsylvania State Corrections facility SCI-Graterford, appeals the dismissal of his complaint alleging sexual abuse and excessive force in violation of the Eighth Amendment. His two claims arise from an alleged incident where, during a routine morning pat-down, Corrections Officer Keil rubbed his erect penis against Ricks' buttocks through both men's clothing. When Ricks stepped away and verbally protested to Keil's supervisor, Lieutenant Shover, Ricks alleges that Shover "slammed" Ricks against the wall, causing injuries to his face, head, neck, and back. A. 15.
Ricks proceeded
pro se
, and before the merits of his claims could be tested, the District Court granted a motion to dismiss for failure to state a claim, with leave to amend. Ricks did not amend his complaint, and the District Court then dismissed his complaint with prejudice. In so doing, the District Court cited our Circuit's non-precedential opinion,
Obiegbu v. Werlinger
, where we indicated that "a small number of incidents in which a prisoner is verbally harassed, touched, and pressed against without his consent do not amount" to an Eighth Amendment violation.
Whether sexual abuse can constitute "cruel and unusual punishment" under the Eighth Amendment is a matter of first impression in our Court. We write today to state in plainest terms that it does. Our society requires prisoners to give up their liberty, but that surrender does not encompass the basic right to be free from severe unwanted sexual contact.
We will give Ricks another chance to cure his complaint as it relates to the Eighth Amendment sexual abuse claim against Keil, with a view to the applicable law as discussed herein. Although his sexual abuse claim as to Shover under a participation or failure-to-intervene theory was properly dismissed, Ricks' excessive force claim stands on a different footing and should have been permitted to survive the motion to dismiss. We will therefore affirm in part, vacate in part, and reverse in part the District Court's order, and remand for *472 further proceedings consistent with this opinion.
I. BACKGROUND
A. Facts
In reviewing the District Court's dismissal order, we accept as true the following facts, set forth in Ricks' complaint.
See
Bell Atl. Corp. v. Twombly
,
While being searched from behind, Ricks felt Keil's erect penis (under clothing) "rubbing up against" Ricks' clothed buttocks. A. 15. Ricks stepped away from Keil and told him he was "on [his] (ASS)."
Shover asked Ricks "what [d]id you say."
B. Procedural History
After exhausting administrative remedies, Ricks filed a complaint in the United States Court for the Eastern District of Pennsylvania against Officer Keil and Lt. Shover. He sought monetary and injunctive relief for racial discrimination, harassment, sexual abuse, and the use of excessive force. 4 Proceeding pro se , his standard § 1983 Prisoner Complaint form briefly set out the above facts. Defendants filed a Fed. R. Civ. P. 12(b)(6) motion to dismiss.
The District Court granted the motion, holding that Ricks failed to allege a violation of his Eighth Amendment rights. The District Court dismissed Ricks' sexual abuse cause of action, citing our non-precedential opinion in
Obiegbu v. Werlinger
,
The Court dismissed Ricks' case without prejudice, granting him leave to amend his complaint. The Court instructed Ricks to describe "(a) the specific statutory basis for federal jurisdiction over this case; (b)
*473 the specific events which serve as the basis for his claim; (c) how the defendant is involved in his claims; and (d) the harm he suffered, if any, from each violation." A. 2. Ricks did not file an amended complaint within the allotted time frame, and so the District Court converted its dismissal to one with prejudice. This appeal followed. 5
II. DISCUSSION
The District Court had jurisdiction pursuant to
The Eighth Amendment guarantees the right to be free from "cruel and unusual punishments" while in custody.
Whitley v. Albers
,
Ricks has asserted two types of Eighth Amendment claims: one for sexual abuse (against both Defendants), and one for excessive force (against Lt. Shover only). We examine each in turn.
A. Sexual Abuse Claim
Whether sexual abuse of inmates by prison officials offends the Eighth Amendment is a matter of first impression in our Court. Today, we join numerous sister Circuits in holding that prison sexual abuse can violate the Constitution.
See
Washington v. Hively
,
1. Legal Framework
Though the Supreme Court has not addressed sexual abuse of inmates by prison
*474
officials, courts grappling with this issue have drawn from the Supreme Court's excessive force precedents and its holding in
Farmer v. Brennan
that sexual assaults of inmates by inmates can implicate the right to be free from cruel and unusual punishment.
See, e.g.
,
Boddie
,
In particular, the United States Court of Appeals for the Second Circuit's reasoning in its two landmark Eighth Amendment sexual abuse cases informs our analysis. In 1997, the Second Circuit concluded in
Boddie v. Schnieder
that in some circumstances, sexual abuse could present a cognizable Eighth Amendment claim.
As to the objective prong, the Court stated that "there can be no doubt that severe or repetitive sexual abuse of an inmate by a prison officer can be 'objectively, sufficiently serious' enough to constitute an Eighth Amendment violation."
Nearly twenty years later, the Second Circuit clarified that "
Boddie
recognized that a
single act
of sexual abuse may violate the Eighth Amendment if, as in this case, it is entirely gratuitous and devoid of penological purpose."
Crawford
,
*475
Following
Boddie
and
Crawford
, we resolve that a properly stated Eighth Amendment sexual abuse claim need not necessarily depend on the number of incidents. We agree with the statement made by the Court in
Crawford
that "a single incident of sexual abuse, if
sufficiently severe or serious
, may violate an inmate's Eighth Amendment rights no less than repetitive abusive conduct."
Here, without analyzing Ricks' sexual abuse claim, the District Court cited to our non-precedential opinion in
Obiegbu v. Werlinger
,
Regarding the subjective prong, we consider whether the official had a legitimate penological purpose or if he or she acted "maliciously and sadistically for the very purpose of causing harm."
Albers
,
While the subjective inquiry involves a judgment call that may be relatively easy to make based on the specific circumstances, the objective prong seems more difficult. What level of inappropriate conduct objectively constitutes a violation? At the outset, we readily acknowledge that this kind of line-drawing is difficult in part because it is uncomfortable. It requires parsing a set of allegations or facts that may be deeply troubling, and making a judgment as to whether the conduct alleged implicates the Constitution. Nevertheless, it is within our purview to provide guidance as to which claims may "involve a harm of federal constitutional proportions."
Boddie
,
When deciding objective harm, "not ... every malevolent touch by a prison guard gives rise to a federal cause of action."
Hudson
,
*476
Id.
at 8,
Ricks has urged us to adopt a standard that would collapse the subjective and objective inquiries, so that a finding of a lack of penological purpose would be determinative. He draws this standard from
Crawford
, in which the Court declared that: "In determining whether an Eighth Amendment violation has occurred, the principal inquiry is whether the contact is incidental to legitimate official duties, such as a justifiable pat frisk or strip search, or by contrast whether it is undertaken to arouse or gratify the officer or humiliate the inmate."
We do not take issue with the focus of the analysis by other courts on whether the official performing the search had a penological purpose.
See, e.g.
,
Absent a legitimate penological purpose, the type of touching involved in, for instance, a body-cavity search, would be undoubtedly cruel and unusual. And a desire to humiliate the inmate or gratify the officer-inferred through the officer's conduct-is a reasonable way to distinguish between invasive touching that is permitted by law to ensure safety and that which is not. An analysis focused on intent of the officer is therefore appropriate when evaluating whether an objectively intrusive search is constitutional.
We have previously discussed this distinction as it pertains to claims for unconstitutional prison conditions. In
Parkell v. Danberg
, where an inmate was "subjected to thrice-daily visual body-cavity searches," we concluded that those searches would only be cruel and unusual if they were "undertaken maliciously or for the purposes of sexually abusing" the plaintiff.
Fusing the subjective and objective inquiries, as Ricks urges we must, would constitutionalize any alleged touch, if the corrections officer lacked a penological purpose. We decline to entirely eliminate the objective prong of the analysis by collapsing it with the subjective prong. That is to say, even if sexualized touching lacks a penological purpose, it may still fall below the threshold of constitutional cognizability based on a lack of objective seriousness.
*477
As noted above, a single incident, if sufficiently serious or severe, can run afoul of the Eighth Amendment as surely as can multiple, less egregious incidents. While a pattern of harassment and sexualized touching may more clearly be considered objectively "cruel and unusual," that does not diminish the harm that may arise from an isolated act.
See
Crawford
,
Moreover, while our framework explicitly draws from the Supreme Court's excessive force jurisprudence, the absence of force or injury will not doom a sexual abuse claim outright. Although physical injury will certainly signal severity, it is not the touchstone for objective seriousness.
6
Whether an action is sufficiently harmful to be cruel and unusual cannot be determined only by looking at physical injury, because an abusive sexual encounter may not leave any marks. Indeed, sexual abuse "tend[s] rather to cause significant distress and often lasting psychological harm."
Washington
,
Whether conduct is objectively cruel and unusual is better considered with sensitivity to "evolving standards of decency."
Graham v. Florida
,
When considering contemporary standards of decency, we begin by reviewing "objective indicia of consensus, as expressed in particular by the enactments of legislatures that have addressed the question."
Roper v. Simmons
,
In recent years, both the federal government and all but two of the states have passed legislation outlawing sexual activity between guards and inmates.
See
Crawford
,
The Prison Rape Elimination Act ("PREA"), passed unanimously by Congress, explicitly seeks to "establish a zero tolerance standard for the incidence of prison rape in the prisons of the United States."
Similarly, the Prison Litigation Reform Act ("PLRA"), intended to address an overwhelming number of prisoner-initiated lawsuits in federal courts, limits recovery for mental and emotional injuries unless a litigant can show "physical injury or the commission of a sexual act."
Nor do similar state enactments criminalizing sexual contact between inmates and prison officials envisage a zero tolerance standard. For instance, Pennsylvania, where SCI Graterford is located, criminalizes guard-inmate rape, sexual assault, and "indecent contact." Indecent contact, the least serious of the defined offenses, is "[a]ny touching of the sexual or other intimate parts of the person for the purpose of arousing or gratifying sexual desire, in any person."
As this inquiry is necessarily contextual, fact-specific, and to be conducted in the first instance by the District Court, we decline to craft a mechanical factors test for when sexual contact is objectively, sufficiently serious. The scope, place, and timing of the offensive conduct will bear on its severity, as will the details of the alleged contact. But it goes without saying that objectively serious sexual contact would include sexualized fondling, coerced sexual activity, combinations of ongoing harassment and abuse, and exchanges of sexual activity for special treatment or to avoid discipline. In context, including whether it violates established prison procedures, other sexualized touching may also be objectively serious.
2. Application
We now consider Ricks' claims against Officer Keil and Lt. Shover.
a. Sexual Abuse Claim Against Officer Keil
We are wary of setting a constitutional floor based on the fact patterns in our sister Circuits' Eighth Amendment sexual abuse cases. Many of those cases were primarily based on more manifestly violent misconduct.
See, e.g.
,
Crawford
,
Nevertheless, a situation falling below the level of objective seriousness present in those cases is not per se excluded from constitutional cognizance. This is a fact-specific inquiry. Because we cannot definitively say that, consistent with his complaint, Ricks could not plead other facts relevant to objective seriousness under the standard we have articulated, he should be afforded a reasonable opportunity to cure his complaint by amendment.
*479 To be sure, Officer Keil's alleged behavior was, by any standard, inappropriate and unprofessional. It is not clear from the face of Ricks' complaint whether the touching was incidental to a legitimate pat-down search. Yet, the episode as alleged appeared to be isolated, momentary, and avoided by Ricks' ability to step away from the offending touch. Absent more specific allegations as to the severity of Keil's conduct or the surrounding context, including the need for the search, we cannot conclude that he plausibly violated Ricks' right to be free from "cruel and unusual punishments." By this, we do not intend to trivialize Ricks' allegations, nor suggest that he did not suffer harm. Rather, the Constitution may require more detail in his pleadings before a federal court recognizes his claim.
We have maintained that imprisoned
pro se
litigants "often lack the resources and freedom necessary to comply with the technical rules of modern litigation."
Mala v. Crown Bay Marina, Inc.
,
b. Sexual Abuse Claim Against Lieutenant Shover
Ricks raises an independent sexual abuse claim against Lt. Shover, whom he claims participated in the alleged abuse by failing to end it. As pleaded, this claim is insubstantial because the encounter was so brief that, even viewed in the light most favorable to Ricks, Shover simply would have had no opportunity to instruct Keil to stop.
The incident's brevity similarly defeats Ricks' failure-to-intervene claim against Shover. An officer's failure to stop an ongoing constitutional violation violates the Eighth Amendment when he "had a reasonable opportunity to intervene and simply refused to do so."
Smith
,
B. Excessive Force Claim
Ricks frames his excessive force claim only against Lt. Shover. The thrust of his complaint is straightforward: he alleges that Shover unlawfully used excessive force when he slammed Ricks into a wall with enough force to cause injury. He further avers that he sustained injuries to his head, neck, and back, a black eye, and a "busted" nose and lip. A. 15. He does not plead any facts respecting medical treatment of these alleged injuries.
*480
We have clarified that "the pivotal inquiry in reviewing an inmate's § 1983 claim for excessive force is 'whether force was applied in a good-faith effort to maintain or restore discipline, or maliciously and sadistically to cause harm.' "
Smith
,
Here, the District Court correctly cited Smith , but did not evaluate the facts under those factors. Ricks avers that a proper analysis under the factors would lead to the conclusion that he plausibly alleged an Eighth Amendment violation. Affording him, as a plaintiff proceeding pro se , the benefit of any doubt, we agree that his complaint should not have been dismissed.
While Ricks' pleading may not have been detailed enough for the Court to analyze all of the factors, certainly the allegations of his being "slammed" and the injuries caused suggest a use of force that was out of proportion to the relative calm of the situation. With further pleading or discovery, the need for the use of force (like the penological purpose or state of mind), threat to safety, and extent of injuries can be further developed. But, viewing the sparse record and our responsibility to construe Ricks' complaint liberally, we cannot conclude that he has failed to state a plausible claim for relief. 7
While we express no view as to the merits of Ricks' claim against Shover, we conclude that the District Court erred by dismissing his complaint for failure to state a claim. Accordingly, we will reverse the District Court's order with respect to his excessive force claim, and remand for further proceedings.
III. CONCLUSION
The District Court based its dismissal of Ricks' sexual abuse claim against Officer Keil on an incomplete understanding of the law that we clarify today. And although it properly dismissed Ricks' independent sexual abuse claim against Shover, the Court prematurely dismissed his excessive force claim against him. Therefore, we will vacate the Court's order insofar as it dismissed the sexual abuse claim against Officer Keil, affirm the portion of the order dismissing the sexual abuse claim against Shover, reverse the portion of the order dismissing the excessive force claim against Shover, and remand for further proceedings consistent with this Opinion.
Ricks has since been released on parole.
In his complaint, and as reflected on this case's caption, Ricks refers to "C/O Kile." The Commonwealth later identified him as Corrections Officer Paul Keil.
On his standard Prisoner Complaint form, Ricks did not allege having received any medical treatment for these injuries.
Ricks has not pursued his claims for racial discrimination or harassment in this appeal.
Coupled with his motion for appointed counsel, which we granted, Ricks filed a motion for extension of time to amend his complaint. Ricks' attorney is appearing pro bono . We express our gratitude to him for accepting this matter and for the high caliber of representation of his client before our Court.
Indeed, Congress recently amended the Prison Litigation Reform Act ("PLRA") to add to its physical injury requirement an avenue for recovery for emotional damages for sexual abuse, perhaps acknowledging that sexual abuse may not result in physical injury.
See
Violence Against Women Reauthorization Act, Pub. L. No. 113-12, § 1101,
We also note that at oral argument, Defendants' counsel all but conceded the point. See Oral Argument at 31:53, Ricks v. Shover (No. 16-2939) (3d Cir. Feb. 9, 2018).
Reference
- Full Case Name
- Mr. Gregory L. RICKS, Appellant v. Lieutenant D. SHOVER; C/O Kile
- Cited By
- 229 cases
- Status
- Published