John Kalu v. Spaulding
Citation113 F.4th 311
Date Filed2024-08-21
Docket23-1103
Cited58 times
StatusPublished
Full Opinion (html_with_citations)
PRECEDENTIAL
UNITED STATES COURT OF APPEALS
FOR THE THIRD CIRCUIT
___________
No. 23-1103
___________
JOHN O. KALU,
Appellant
v.
MR. SPAULDING, Warden of FCI-Allenwood;
K. MIDDERNATCH, Lieutenant/FCI-Allenwood;
K. BITTENBENDER, Discipline Hearing Officer (DHO)
FCI-Allenwood
_______________________
On Appeal from the United States District Court
for the Middle District of Pennsylvania
(D.C. Civil Action No. 3-19-cv-01621)
District Judge: Honorable Jennifer P. Wilson
______________
ARGUED: November 9, 2023
Before: RESTREPO, SCIRICA, and SMITH, Circuit Judges.
(Filed: August 21, 2024)
Daniel G. Randolph [ARGUED]
David M. Zionts
Covington & Burling
850 10th Street NW
One City Center
Washington, DC 20001
Samuel Weiss
Rights Behinds Bars
416 Florida Avenue NW
Unit 26152
Washington, DC 20001
Counsel for Appellant
Richard Euliss [ARGUED]
Carlo D. Marchioli
Office of United States Attorney
Middle District of Pennsylvania
Sylvia H. Rambo United States Courthouse
1501 N. 6th Street, 2nd Floor
P.O. Box 202
Harrisburg, PA 17102
Counsel for Appellee
_________________
OPINION OF THE COURT
_________________
2
SCIRICA, Circuit Judge
Five decades ago, in Bivens v. Six Unknown Named
Agents of Federal Bureau of Narcotics, 403 U.S. 388(1971), the Supreme Court first authorized an implied damages remedy for constitutional claims brought against federal officials. Since then, in recognition of the Constitutionâs separation of legislative and judicial power, the Court has greatly narrowed the availability of new Bivens actions. âAt bottom, creating a cause of action is a legislative endeavor.â Egbert v. Boule,596 U.S. 482, 491
(2022).
Here, appellant John O. Kalu, a federal inmate, seeks to
bring Eighth Amendment claims against federal prison
officials. He alleges a prison guard sexually assaulted him on
three separate occasions, prison officers subjected him to
inhumane conditions of confinement, and the prisonâs Warden
failed to protect him from the abuse through deliberate
indifference. He seeks damages under Bivens to redress those
harms. Heeding the Supreme Courtâs recent and repeated
warning that we must exercise âcautionâ before implying a
damages remedy under the Constitution, see id.; Hernandez v.
Mesa, 589 U.S. 93, 100â01 (2020), we decline to extend the
Bivens remedy to Kaluâs claims. For the following reasons, we
will affirm.
I. 1
In 2016, John O. Kalu was an inmate at the Allenwood
1
The following facts are taken from the complaint, J.A. 59â81,
and are assumed as true with all reasonable inferences drawn
in the plaintiffâs favor. See Haberle v. Borough of Nazareth,
936 F.3d 138, 140 n.1 (3d Cir. 2019). We are also mindful that
3
Federal Correctional Institution (âFCI Allenwoodâ) in
Allenwood, Pennsylvania. While housed at FCI Allenwood,
Kalu was sexually assaulted on three separate occasions.
According to Kalu, the abuse was perpetrated by a prison
official, defendant Lieutenant K. Middernatch (âLt.
Middernatchâ), and the correctional facilityâs Warden,
defendant Warden Spaulding (âWarden Spauldingâ), failed to
prevent further assaults through deliberate indifference. In
addition, Kalu alleges both defendants subjected him to
inhumane conditions of confinement following the incidents of
sexual assault.
A.
The first incident of sexual assault occurred on October
14, 2016. Kalu was returning from the cafeteria when Lt.
Middernatch âsingled [him] out and pretend[ed] to pat [him]
down.â J.A. 65. During the interaction, Lt. Middernatch
grabbed Kaluâs genitals while smiling and asking, âYou like
that?â Id.Kalu did not reply and felt âhumiliated.âId.
Two weeks later, Kalu was sexually assaulted for a
second time. Kalu was again returning from the cafeteria when
Lt. Middernatch âsingled [him] outâ and pretended to conduct
a pat down. Id. at 66. Like the previous encounter, Lt.
Middernatch grabbed Kaluâs genitals and âstarted to squeez[e]
and rub them against his handsâ while asking Kalu, âWhat is
this in your pocket?â Id. When Kalu did not reply, Lt.
Middernatch stated he thought Kalu was trying to smuggle
a pro se litigantâs complaint is to be construed liberally. See
Alston v. Parker, 363 F.3d 229, 234 (3d Cir. 2004).
4
food items out of the cafeteria. Kalu then told Lt. Middernatch
he âfelt assaulted and harassed,â and Lt. Middernatch
responded, âyou havenât seen anything yet.â Id.
On November 2, 2016, Kalu reported the two incidents
of sexual assault to Warden Spaulding. Specifically, Kalu sent
Warden Spaulding a confidential electronic email âregarding
the aggressive repetitive sexual abuse [he] encountered in the
hands ofâ Lt. Middernatch. Id. at 67â68. Warden Spaulding
responded to Kaluâs email stating he would âlook into the
matter and then get back to [him],â but Kalu never heard back
from the Warden. Id. at 68.
The same day Kalu reported the abuse, he was
approached by three guards, handcuffed, removed from the
general population, and placed in FCI Allenwoodâs Special
Housing Unit (âSHUâ). While in the SHU, Kalu was âstripped
naked with no clothes or underwear for thirty minutes in the
holding cellâ while several guards passed by âlaughing.â Id.
On November 9, 2016, Kalu was questioned by FCI
Allenwoodâs Secret Investigation Services (âSISâ) regarding
his assault allegations. About five days later, the SIS informed
Kalu they had concluded their investigation: Lt. Middernatch
âdenied the allegationâ and the SIS âbelieved his version of the
story.â Id. at 69. Prison officials then ordered Kalu to return to
the general population even though Kalu refused to go back
because he was afraid âfor his lifeâ and âto face his assailant.â
Id. at 69â70.
Shortly upon his return to the general population, on
December 1, 2016, Kalu was sexually assaulted for a third
time. Kalu was returning from breakfast at the cafeteria when
5
he spotted Lt. Middernatch waiting for him past the metal
detector. As in the previous occasions, Lt. Middernatch singled
out Kalu and pretended to conduct a pat down. During the pat
down, Lt. Middernatch grabbed, squeezed, and rubbed Kaluâs
genitals and said, âYou like that.â Id. at 67. When Kalu did not
reply, Lt. Middernatch âforced his fingers into [Kaluâs] anus,
saying how about this?â Id. Kalu reported this latest incident
to Warden Spaulding via email.
Following these episodes of sexual assault, Kalu was
subjected to further abuse by prison officials. Specifically,
Kalu was forced âto sleep on a cold steel metal bunkâ in below
freezing temperatures for six months. Id. at 71. He was also
deprived of heat and appropriate clothing during this period.
The incidents of sexual assault caused Kalu to suffer
âmental anguish manifesting in daytime flashbacks[,] lapses of
concentration, and outbreaks of jitters, varying in intensity
from a mild attack of nerves to almost loss of control,â and his
condition âmay have graduated into [] permanent post-
traumatic stress disorder.â Id. at 73. Kalu also experienced
reoccurring ânightmares of sexual assault,â and his cellmates
heard him âcry out in distress during the night.â Id.
B.
1.
Before filing the present suit, Kalu sought redress
through the Bureau of Prisonsâ (âBOPâ) Administrative
Remedy Program (âARPâ). The BOPâs ARP is a three-tiered
system whereby a federal inmate may âseek formal review of
an issue relating to any aspect of his/her own confinement.â
6
See 28 C.F.R. § 542.10(a). Under the BOPâs administrative procedures, an inmate must first attempt an informal resolution by âpresent[ing] an issue of concern informally to staff.âId.
§ 542.13(a). If the inmate is unsuccessful in achieving an informal resolution, he or she may submit a formal written Administrative Remedy Request (âARâ or âRequestâ) to the facilityâs Warden. Id. § 542.14(a). An inmate dissatisfied with the Wardenâs response may file an administrative appeal with the Regional Director, and subsequently with the BOPâs General Counsel. Id. § 542.15(a). The BOPâs procedures allow certain limited exceptions to the requirement that an inmate file an AR to the Warden. For instance, if an inmate âreasonably believes the issue is sensitive and the inmateâs safety or well- being would be placed in danger if the Request became known at the institution, the inmate may submit the Request directly to the appropriate Regional Director.â Id. § 542.14(d)(1). In addition, to comply with Congressâs passage of the Prison Rape Elimination Act (âPREAâ),34 U.S.C. §§ 30301
et seq., the BOP has established specific guidelines to address inmate claims of sexual abuse. See28 C.F.R. § 115.52
.
Here, Kalu filed several Requests but was unsuccessful
in obtaining relief. On November 28, 2016, Kalu submitted
âAR 883971âR1 to the Northeast Regional Office concerning
a staff complaint.â J.A. 7 (quotation marks and citation
omitted). The Request was rejected the next day, and Kalu was
advised to resubmit after making certain corrections. On
December 3, 2016, Kalu resubmitted AR 883971âR2 which
stated the Request concerned âPREAâSexual Abuse by Staff.â
Id.The Request was rejected on December 9, 2016, for several reasons. Yet âKalu never filed any administrative remedy at the Central Office level,â and he did not file any subsequent resubmissions with the Regional Office.Id. at 8
.
7
In addition, on December 1, 2016, Kalu submitted AR
884586âR1 to the Regional Office regarding a staff complaint.
The Request was rejected the next day because it was not
submitted on the proper form. But âKalu did not resubmit
Administrative Remedy 884586 to the Regional Office.â Id.
2.
On August 20, 2019, Kalu filed a pro se complaint in
the Middle District of Pennsylvania against Warden Spaulding
and Lt. Middernatch asserting violations of his constitutional
rights and seeking damages under Bivens, among other relief. 2
Specifically, Kalu alleges: (1) Lt. Middernatch violated Kaluâs
Eighth Amendment rights when he sexually assaulted him on
multiple occasions; (2) both defendants violated Kaluâs Eighth
Amendment rights when they subjected him to inhumane
conditions of confinement; and (3) Warden Spaulding violated
Kaluâs Eighth Amendment rights when he failed to protect him
2
Kaluâs complaint also named Discipline Hearing Officer K.
Bittenbender (âDHO K. Bittenbenderâ) as a defendant. Kalu
alleged that, after he filed a PREA complaint against Lt.
Middernatch, DHO K. Bittenbender imposed retaliatory
sanctions against him, in violation of his First Amendment
rights. The District Court dismissed the claim against DHO K.
Bittenbender because First Amendment retaliation claims are
not eligible for Bivens remedies. See Mack v. Yost, 968 F.3d
311, 320 (3d Cir. 2020). Kalu does not challenge that ruling on
appeal.
8
from sexual assault through deliberate indifference. 3
On March 16, 2020, defendants filed a combined
3
Kaluâs complaint only mentions Warden Spaulding as a
defendant with regard to his conditions-of-confinement claim.
See J.A. 71 (âDefendants K. Middernatch, Lieutenant K.
Bittenbender DHO, Spaulding Warden, violated Plaintiff
Kaluâs Eighth Amendment [constitutional] rights to be free
from cruel and unusual punishment through sanctions to sleep
on a cold steel metal bunk for six months in a 10° degree below
freezing special housing unit . . . .â (emphasis added)); see also
id.(âDefendant K. Middernatch Lieutenant violated Plaintiff Kaluâs Eighth Amendment right to be free from cruel and unusual punishment through repetitive sexual assault, and solitary confinement.â). On appeal, Kalu argues his complaint also sets forth a deliberate indifference or failure-to-protect claim against Warden Spaulding. See Appellantâs Br. 18â20 (âAs Mr. Kalu explained in his pro se brief opposing the governmentâs dismissal motion, [the] sequence of events plausibly illustrates the Wardenâs deliberate indifference: He knew of a substantial risk of serious harm to Mr. Kalu and yet failed to respond reasonably.â (quotation marks omitted)). At the motion to dismiss stage, â[p]leadings must be construed so as to do justice,â Fed. R. Civ. P. 8(e), and this âalready liberal standard is even more pronounced where a plaintiff files the complaint without the assistance of counsel,â Garrett v. Wexford Health,938 F.3d 69, 92
(3d Cir. 2019) (quotation
marks omitted). For the purpose of this appeal, therefore, we
read Kaluâs factual allegations as raising either an Eighth
Amendment deliberate indifference or failure-to-protect claim
against Warden Spaulding.
9
motion to dismiss and motion for summary judgment which
the District Court granted in part and denied in part on March
30, 2021. The District Court dismissed Kaluâs claims against
Warden Spaulding without prejudice, reasoning that: (1)
liability under Bivens could not be predicated solely on a theory
of respondeat superior; and (2) Kalu had failed to show that
Warden Spaulding was personally involved in the alleged
constitutional violations to make out a claim against him. See
id. at 23 (âThe complaintâs factual allegations regarding
Warden Spaulding are insufficient to allege a facially plausible
Bivens claim that he was personally involved in the violation
of Kaluâs constitutional rights.â). However, the District Court
found that Kalu could remedy his failure to allege sufficient
personal involvement by amending his pleadings and granted
leave to file an amended complaint as to Warden Spaulding.
The suit was allowed to proceed on the sexual assault claim
against Lt. Middernatch. The District Court did not address the
conditions-of-confinement claim.
On July 30, 2021, Kalu filed an amended complaint. On
September 12, 2021, defendants filed a second motion to
dismiss, and shortly thereafter Kalu voluntarily sought to
withdraw the amended complaint. The District Court granted
Kaluâs motion and denied defendantsâ motion to dismiss as
moot.
On November 29, 2021, Lt. Middernatch filed a third
motion to dismiss. The District Court granted the motion on
September 23, 2022, disposing of the remaining claims: â(1) a
sexual assault claim under the Eighth Amendment; and (2) a
condition-of-confinement claim under the Eighth
Amendment.â Id. at 41, 48. The District Courtâs analysis
followed the two-part test set out in Ziglar v. Abbasi, 582 U.S.
120 (2017), and emphasized that the âSupreme Court [has]
10
cautioned against expanding Bivens beyond the three
established circumstances where it has formally acknowledged
the availability of a Bivens remedy.â J.A. 42 (citing Abbasi,
582 U.S. at 135).
Regarding the first claim, the District Court determined
that an âalleged sexual assault is a new context under Bivens.â
Id. at 45. The District Court acknowledged that both our Court
of Appeals and the Supreme Court have âpreviously
established that a federal prisoner has a clearly established
constitutional right to have prison officials protect him from
inmate violence and provided a remedy when an official
violated that right.â Id. at 45 n.4 (citing Farmer v. Brennan,
511 U.S. 825, 833â34 (1994); Shorter v. United States,12 F.4th 366
, 371â72 (3d Cir. 2021)). But the District Court
distinguished those cases on the grounds that Kalu alleged
officer-on-inmate rather than inmate-on-inmate violence. The
District Court also found that special factors counseled against
extending Bivens to this new context: âCongress, in passing the
PREA opted not to include a private right for action for
damages for inmates.â Id. at 46. Thus, the District Court
declined to âextend the Bivens remedy to Eighth Amendment
cruel and unusual punishment claims premised on sexual
assault,â and dismissed Kaluâs sexual assault claim against Lt.
Middernatch with prejudice. Id. at 45; see also id. at 49.
The District Court likewise determined that a
âconditions of confinement claim is a new context under
Bivens.â Id. at 46. The District Court relied on our non-
precedential opinion in Mammana v. Barben, 856 F. Appâx
411(3d Cir. May 21, 2021), which rejected the argument that Carlson v. Green,446 U.S. 14
(1980), âgives rise to an Eighth
Amendment conditions-of-confinement claim against federal
11
officials.â J.A. 46 (citing Mammana, 856 F. Appâx at 414â15).
The District Court then found that two special factors
counseled against extending Bivens to this new context: (1) the
BOPâs administrative remedy process is available to address
these types of claims; and (2) âCongressâs omission of a
âstandalone damages remedy against federal jailersâ when it
passed the Prison Litigation Reform Act post-Carlson
âsuggests Congress chose not to extend the Carlson damages
remedy to cases involving other types of prisoner
mistreatment.ââ Id.(quoting Abbasi,582 U.S. at 149
). Thus, the District Court declined âto extend the Bivens remedy to this contextâ and dismissed Kaluâs conditions-of-confinement claim.Id.
On October 11, 2022, Kalu, still pro se, filed a timely
notice of appeal challenging the dismissal of his three Eighth
Amendment claims against Lt. Middernatch and Warden
Spaulding. 4
II.
The District Court had jurisdiction under 28 U.S.C.
§ 1331. We have appellate jurisdiction under28 U.S.C. § 1291
over the District Courtâs final decisions dismissing the claims
in Kaluâs complaint.
We review de novo a district courtâs ruling granting a
motion to dismiss. Doe v. Univ. of Scis., 961 F.3d 203, 208 (3d
Cir. 2020). âTo survive a motion to dismiss, a complaint must
contain sufficient factual matter, accepted as true, to âstate a
4
Kalu later obtained counsel and has been represented during
the proceedings before this Court.
12
claim to relief that is plausible on its face.ââ Ashcroft v. Iqbal,
556 U.S. 662, 678(2009) (quoting Bell Atl. Corp. v. Twombly,550 U.S. 544, 570
(2007)). A claim is plausible on its face âwhen the plaintiff pleads factual content that allows the court to draw the reasonable inference that the defendant is liable for the misconduct alleged.âId.
We affirm a district courtâs dismissal only if, âaccepting all factual allegations as true and construing the complaint in the light most favorable to the plaintiff, we determine that the plaintiff is not entitled to relief under any reasonable reading of the complaint.â McMullen v. Maple Shade Twp.,643 F.3d 96, 98
(3d Cir. 2011) (quotation marks and citation omitted). Because Kaluâs complaint was filed pro se, we construe it liberally and hold it âto less stringent standards than formal pleadings drafted by lawyers.â Erickson v. Pardus,551 U.S. 89, 94
(2007) (per curiam) (quotation marks and citation omitted); see also Durham v. Kelley,82 F.4th 217, 223
(3d Cir. 2023).
III.
In certain circumstances, the Constitution affords a
cause of action for damages against individual federal officers
to redress violations of constitutional rights. Bivens, 403 U.S.
at 397. âIn the case giving the doctrine its name, the Supreme Court held there is a cause of action for damages when a federal agent, acting under color of his authority, conducts an unreasonable search and seizure in violation of the Fourth Amendment.â Shorter,12 F.4th at 371
(citing Bivens,403 U.S. at 389, 397
). In the decade following Bivens, the Supreme Court recognized two additional causes of action under the Constitution: first, for a congressional stafferâs gender discrimination claim under the Fifth Amendment, see Davis v. Passman,442 U.S. 228, 244
(1979), and second, for a federal
13
prisonerâs inadequate-care claim under the Eighth
Amendment, see Carlson, 446 U.S. at 19. Egbert, 592 U.S. at
490â91.
Since then, the Supreme Court has âconsistently refused
to extend Bivens liability to any new context or new category
of defendants,â Corr. Servs. Corp. v. Malesko, 534 U.S. 61, 68(2001), and âhas not implied additional causes of action under the Constitution,â Egbert, 592 U.S. at 491. Instead, in recognition that separation of powers principles are central to the analysis, the Court has âmade clear that expanding the Bivens remedy is now a âdisfavoredâ judicial activity.â 5 Abbasi,582 U.S. at 135
(quoting Iqbal,556 U.S. at 675
). At bottom, the âquestion is âwho should decideâ whether to provide for a damages remedy, Congress or the courts?âId.
(quoting Bush v. Lucas,462 U.S. 367, 380
(1983)). âThe answer most often will be Congress,âid.,
as the âJudiciaryâs authority to do so at all is, at best, uncertain,â Egbert, 592 U.S. at 491. The Constitution entrusts the legislatureânot the courtsâwith the power to fashion new causes of action. And âit is a significant step under separation-of-powers principles for a court to determine that it has the authority, under the judicial power, to create and enforce a cause of action for damages against federal officials in order to remedy a constitutional violation.â Abbasi,582 U.S. at 133
. Therefore, when considering whether to recognize a new implied cause of action for damages under a constitutional provision, âour 5 See Egbert,596 U.S. at 486
(noting that in the four decades
since deciding Bivens, the Supreme Court has âdeclined 11
times to imply a similar cause of action for other alleged
constitutional violations,â and citing cases).
14
watchword is caution.â Hernandez, 589 U.S. at 101.
Reflecting these concerns, the Supreme Court has set
forth a two-step inquiry to determine the availability of Bivens
remedies in a particular case. See Abbasi, 582 U.S. at 139â40.
First, we ask whether the âcase presents a new Bivens
contextââi.e., whether the âcase is different in a meaningful
way from previous Bivens cases decided byâ the Supreme
Court. Id. at 139. Only three cases serve as a benchmark: Bivens, Davis, and Carlson. 6 âAnd our understanding of a ânew contextâ is broad.â Hernandez,589 U.S. at 102
.
While the Court has not outlined âan exhaustive list of
differences that are meaningful enough to make a given context
a new one,â factors to be considered include:
the rank of the officers involved; the
constitutional right at issue; the generality
or specificity of the official action; the
extent of judicial guidance as to how an
officer should respond to the problem or
emergency to be confronted; the statutory
or other legal mandate under which the
6
See Abbasi, 582 U.S. at 131(â[T]hree casesâBivens, Davis, and Carlsonârepresent the only instances in which the Court has approved of an implied damages remedy under the Constitution itself.â); see also Xi v. Haugen,68 F.4th 824, 834
(3d Cir. 2023) (âA context may be regarded as new if it is
different in any meaningful way from the three contexts where
the Court has recognized a Bivens remedy . . . .â (quotation
marks and citation omitted)).
15
officer was operating; the risk of
disruptive intrusion by the Judiciary into
the functioning of other branches; or the
presence of potential special factors that
previous Bivens cases did not consider.
Abbasi, 582 U.S. at 139â40. âIf a case does not present a new
Bivens context, the inquiry ends there, and a Bivens remedy is
available.â Shorter, 12 F.4th at 372.
Alternatively, if the case presents a new context, we
proceed to the second step of the inquiry and ask whether there
are âspecial factors counselling hesitationâ in extending
Bivens. See Abbasi, 582 U.S. at 136. The focus at this second step is âon whether the Judiciary is well suited, absent congressional action or instruction, to consider and weigh the costs and benefits of allowing a damages action to proceed.âId.
At this stage, two factors are âparticularly weighty: the existence of an alternative remedial structure and separation- of-powers principles.â Bistrian v. Levi,912 F.3d 79, 90
(3d Cir. 2018) (citing Abbasi,582 U.S. at 136
). But any reason to pause is sufficient to forestall a Bivens extension. Hernandez,589 U.S. at 102
.
In the present suit, Kalu claims Lt. Middernatch and
Warden Spaulding violated his Eighth Amendment rights
when: (a) a prison guard sexually assaulted him on several
occasions; (b) prison officials forced him to endure inhumane
conditions of confinement; and (c) the facilityâs Warden failed
to protect him from sexual assault through deliberate
indifference. After applying Abbasiâs two-pronged inquiry, the
District Court dismissed Kaluâs first and second claims
because it determined that they presented new Bivens contexts,
16
and special factors counseled against extending Bivens
liability. The District Court also dismissed Kaluâs claims
against Warden Spaulding on the ground that Kalu failed to
allege sufficient facts showing personal involvement by the
Warden to establish a plausible claim against him. We examine
each claim in turn.
A.
Kalu alleges Lt. Middernatch violated his Eighth
Amendment rights when he sexually assaulted him on three
separate occasions and seeks damages to redress that harm. But
Kaluâs sexual assault claim is ineligible for remedies under
Bivens because it arises in a new context and special factors
counsel against extending Bivens to this set of facts.
1.
The first step of the Bivens framework requires us to ask
whether a case presents a new context. See Egbert, 596 U.S. at
492. Applying that inquiry here, Kaluâs Eighth Amendment sexual assault claim presents a new context because it âis different in a meaningful way from previous Bivens cases decided byâ the Supreme Court. Abbasi,582 U.S. at 139
.
As a threshold matter, Kaluâs claim is âmeaningfully
differentâ from those in Bivens and Davis because it arises
under a different constitutional provision and involves a
different category of defendants. Hernandez, 589 U.S. at 103;
see also Abbasi, 582 U.S. at 139â40 (âA case might differ in a
meaningful way because of the rank of the officers involved
[or] the constitutional right at issue . . . .â). Kaluâs claim must
therefore be sufficiently similar to the Supreme Courtâs only
17
Eighth Amendment Bivens precedent, Carlson v. Green, 446
U.S. 14 (1980), to qualify for Bivens remedies.
Like the plaintiff in Carlson, Kalu invokes the Eighth
Amendment in the prison setting against federal prison
officials. Carlson, 446 U.S. at 16. But those factual parallels are not dispositive. Hernandez tells us that â[a] claim may arise in a new context even if it is based on the same constitutional provision as a claim in a case in which a damages remedy was previously recognized.â 598 U.S. at 103. And Egbert instructs us that âalmost parallel circumstancesâ are not sufficient.596 U.S. at 495
(quoting Abbasi,582 U.S. at 139
). â[H]ere, distinctions abound,â Xi,68 F.4th at 834
, and several factors
render Kaluâs claim meaningfully different from that in
Carlson.
First, Kaluâs claim concerns a different kind of officer
misconduct. See Abbasi, 582 U.S. at 140(listing âthe generality or specificity of the official actionâ as a factor in the first step of the analysis). Carlson involved a claim against federal prison officers for failure to provide adequate medical treatment leading to a prisonerâs death. See446 U.S. at 16
n.1. Kalu, by contrast, alleges that a prison guard sexually assaulted him on three separate occasions. While the official action in both cases caused harm to the prisoners, âthe mechanism of injuryâ and the nature of the official misconduct is sufficiently different to render Kaluâs claim a modest extension of Carlson. Abbasi,582 U.S. at 139
. And under the Supreme Courtâs precedent, âeven a modest extension is still an extension.âId. at 148
.
Second, Kaluâs claim presents âfeatures that were not
consideredâ by the Supreme Court when deciding Carlson. Id.
18
at 148; see also id. at 140(listing âthe presence of potential special factors that previous Bivens cases did not considerâ as a relevant factor in the new context inquiry). In Carlson, the plaintiffâthe administratrix of the estate of her deceased sonâdid not have an alternative remedy against the officials alleged to have acted unconstitutionally. Carlson,446 U.S. at 20
. As with Bivens and Davis, Carlson was a case of âdamages or nothing.â Bivens, 503 U.S. at 410 (Harlan, J., concurring in judgment). Since Carlson was decided prior to the passage of the Prison Litigation Reform Act of 1995 (âPLRAâ), 42 U.S.C. §§ 1997e et seq., federal prisoners seeking money damages for âconstitutional claims had no obligation to exhaust administrative remedies.â Woodford v. Ngo,548 U.S. 81, 84
(2006). And, at the time, the BOPâs remedy program was not in existence. 7 Thus, in Carlson, there was âno explicit congressional declaration that persons injured by federal officersâ violations of the Eighth Amendment [could] not recover money damages from the agents but [had to] be remitted to another remedy, equally effective in the view of Congress.â Carlson,446 U.S. at 19
. That situation bears little resemblance to Kaluâs case where Congress, through the PLRA, has enacted legislation to address prisonersâ lawsuits, and where the BOPâs ARP provides inmates with an alternative avenue for relief. 8 Because the PLRA and the BOPâs remedy 7 The BOPâs ARP was established in 1996, after the passage of the PLRA. See61 Fed. Reg. 86
(Jan. 2, 1996) (codified at28 C.F.R. § 542
) (publishing the revised regulations which created
the current version of the BOPâs administrative program).
8
That the political branches have provided an alternative
avenue to redress prisoner claims is a factor of heightened
importance. For decades, the Supreme Court instructed that a
19
program are âfeatures that were not consideredâ by the
Supreme Court when it decided Carlson, they present an
additional reason to conclude that Kaluâs claim arises in a new
context. Abbasi, 582 U.S. at 148.
Third, Kaluâs claim involves an increased ârisk of
disruptive intrusion by the Judiciary into the functioning of
other branches.â Abbasi, 582 U.S. at 140. In Carlson, the Court considered a narrow claim that raised well-established criteria for liability: âa claim for inadequate prison medical care brought under the Eighth Amendmentâs Cruel and Unusual Punishment Clause.â Xi,68 F.4th at 832
(citation omitted). Although Carlson approved some encroachment into the functioning of federal prisons, Kaluâs claim threatens to interfere with federal prison operations âin ways Carlson did not contemplate.â Sargeant v. Barfield,87 F.4th 358, 367
(7th Cir. 2023) (declining to extend Bivens to an Eighth Amendment failure-to-protect claim brought by a federal prisoner). Permitting Kaluâs claim to proceed would invite judicial intrusion into a different aspect of federal prison Bivens cause of action may be defeated âwhen defendants show that Congress has provided an alternative remedy which it explicitly declared to be a substitute for recovery directly under the Constitution and viewed as equally effective.â Carlson, 446 U.S. at 18â19. But after Egbert, we âmay not fashion a Bivens remedy if Congress already has provided, or has authorized the Executive to provide, âan alternative remedial structure.ââ Egbert,596 U.S. at 493
(quoting Abbasi,582 U.S. at 137
). And today it no longer âmatter[s] that âexisting remedies do not provide complete relief.ââId.
(emphasis added) (quoting Bush,462 U.S. at 388
).
20
administration: staffing and discipline instead of medical care.
And recognizing a cause of action for officer-on-inmate sexual
abuse would invariably implicate a broad range of potential
officer misconduct and sensitive line-drawing considerations
that courts are ill-positioned to assess. See Abbasi, 582 U.S. at
136(â[T]he decision to recognize a damages remedy requires an assessment of its impact on governmental operations systemwide.â). The heightened risk of intrusive judicial inquiry into an area that has been committed to the responsibility of the political branches, see Turner v. Safley,482 U.S. 78, 85
(1987), distinguishes this case from Carlson
and provides another reason to conclude that it presents a new
Bivens context.
Kalu argues his Eighth Amendment sexual assault claim
against Lt. Middernatch does not present a new Bivens context
because it is not meaningfully different from the Supreme
Courtâs opinion in Farmer v. Brennan, 511 U.S. 825(1994). But his reliance on Farmer is misplaced for a number of reasons. As an initial matter, Farmer did not address the propriety of Bivens remedies. Rather, the case asked the Court to define the deliberate indifference standard for Eighth Amendment claims. Farmer,511 U.S. at 828
. In Farmer, the Court considered a prisonerâs claim against federal prison officials for their failure to prevent inmate-on-inmate sexual violence,id.
at 830â31, and held that a prison official could be liable âonly if he knows that inmates face a substantial risk of serious harm and disregards that risk by failing to take reasonable measures to abate it,âid. at 847
. The Court remanded for further proceedings without indicating whether it was recognizing a new cause of action under Bivens for such claims. See Sargeant, 87 F.4th at 364â65 (discussing Farmer,511 U.S. at 830
; 835â40). And the parties âneither briefed nor
21
discussed at oral argument whether the case was properly a
Bivens case.â Id. at 365 n.2.
Additionally, the Supreme Court has never recognized
Farmer as a Bivens case. In the decades since Farmer, the
Court has repeatedly omitted it from lists of its Bivens
jurisprudence. See, e.g., Egbert, 596 U.S. at 490â91
(discussing Bivens, Davis, and Carlson, and noting that
â[s]ince these cases, the Court has not implied additional
causes of action under the Constitutionâ); Hernandez, 589 U.S.
at 99(âBivens, Davis, and Carlson were the products of an era when the Court routinely inferred causes of action that were not explicit in the text of the provision that was allegedly violated.â (quotation marks and citation omitted)); Abbasi,582 U.S. at 131
(âThese three casesâBivens, Davis, and Carlsonârepresent the only instances in which the Court has approved of an implied damages remedy under the Constitution itself.â); Minneci v. Pollard,565 U.S. 118, 124
(2012) (âSince Carlson, the Court has had to decide in several different instances whether to imply a Bivens action. And in each instance it has decided against the existence of such an action.â); Malesko,534 U.S. at 70
(âIn 30 years of Bivens
jurisprudence we have extended its holding only twice . . . .â).
Furthermore, the Supreme Court has cautioned against
implying a Bivens remedy where an earlier opinion has
assumed without deciding otherwise. Sargeant, 87 F.4th at 365(citations omitted). In Egbert, the Court considered a First Amendment retaliation claim and noted that while it had previously âassumed that such a damages action might be available,â it had ânever held that Bivens extends to First Amendment claims.â596 U.S. at 498
(quotation marks,
citations, and alterations omitted). After applying the two-step
22
inquiry required by its precedent, the Court concluded such
claims were ineligible for Bivens remedies. Id. at 498â99.
Egbertâs reasoning applies equally here: an assumption in
Farmer should not be interpreted as affirmatively authorizing
a Bivens action in that setting. For these reasons, we find that
Farmer does not present an established Bivens context. 9
Kalu next argues two of our prior Bivens cases compel
a different outcome. Specifically, he contends our decisions in
Bistrian and Shorter establish that âno new Bivens context is
presented when prison officials are responsible for the assault
of an inmate in their care,â and those decisions should control
the new context analysis here. Appellantâs Br. 28. But Kaluâs
9
We note that Courts of Appeals have varied on the issue of
whether Farmer recognized a new Bivens cause of action.
Compare Bistrian, 912 F.3d at 90â91 (âIt seems clear, then,
that [in Farmer] the Supreme Court [], pursuant to Bivens,
recognized a failure-to-protect claim under the Eighth
Amendment.â), with Bulger v. Hurwitz, 62 F.4th 127, 139(4th Cir. 2023) (âAppellantâs theory that Farmer recognized a fourth context of Bivens claims beyond the issues presented in Bivens, Davis, and Carlson is contrary to the Supreme Courtâs recognition that it has refused to extend Bivens to any new context for the past 30 years, which includes the time period it decided Farmer.â (quotation marks and citation omitted)), Sargeant,87 F.4th at 365
(âNot once has the Supreme Court mentioned Farmer alongside [Bivens, Davis, and Carlson], and we think it would have if Farmer created a new context or clarified the scope of an existing one.â), and Chambers v. Herrera,78 F.4th 1100
, 1105 n.2 (9th Cir. 2023) (declining to
recognize Farmer as a Bivens case).
23
argument ignores Abbasiâs instruction that âlower courts [can]
no longer rely on their own prior precedentsâ to determine
whether a case presents a novel context for Bivens purposes.
Mack, 968 F.3d at 319; see also Abbasi,582 U.S. at 139
. After Abbasi, we may only use three cases as benchmarks: Bivens, Davis, and Carlson. 10 Besides, both Bistrian and Shorter 10 In Abbasi, decided in 2017, the Supreme Court expressly indicated that âthree casesâBivens, Davis, and Carlsonâ represent the only instances in which the Court has approved of an implied damages remedy under the Constitution itself.â Abbasi,582 U.S. at 131
. Hernandez, issued in 2020, restated
that the Court has only authorized an implied cause of action
in âthree Bivens casesââspecifically Bivens, Davis, and
Carlsonâand only those can be considered in the new context
inquiry. See Hernandez, 589 U.S. at 101â02; see also id. at 117
(Thomas, J., concurring) (â[The Court has] effectively cabined
the Bivens doctrine to the facts of Bivens, Davis, and
Carlson.â).
Despite that assertion, our Bivens case law has relied on
Farmer v. Brennan as a benchmark in the new context inquiry.
In Shorter v. United States, decided a year after Hernandez, we
explained that âthe Supreme Court in Abbasi [and Hernandez]
neglected to name Farmer because it saw that case as falling
under the umbrella of Carlson.â Shorter, 12 F.4th at 373 n.5.
In other words, we interpreted Farmer as falling within the
scope, or stretching the bounds of, the context recognized in
Carlson.
But more recently, in Egbert, the Supreme Court again
reiterated that at the first step of the analysis âwe ask whether
the case presents a new Bivens contextâi.e., is it meaningfully
different from the three cases in which the Court has implied a
24
damages action.â Egbert, 596 U.S. at 492(emphasis added) (quotation marks, citation, and alterations omitted). And the Court went as far as suggesting âthat any extension to a new context may be ultra vires.â Xi,68 F.4th at 833
; see also Egbert,596 U.S. at 502
(â[W]e have indicated that if we were
called to decide Bivens today, we would decline to discover
any implied causes of action in the Constitution.â).
Hernandez and Egbert evince the Courtâs new
appreciation of ââthe tension betweenâ judicially created causes
of action and âthe Constitutionâs separation of legislative and
judicial power.ââ Egbert, 596 U.S. at 491(quoting Hernandez,589 U.S. at 100
); see also id. at 504 (Gorsuch, J., concurring in the judgment) (â[I]f the only question is whether a court is âbetter equippedâ than Congress to weigh the value of a new cause of action, surely the right answer will always be no. Doubtless, these are the lessons the Court seeks to convey. I would only take the next step and acknowledge explicitly what the Court leaves barely implicit.â). Given the changing âjudicial attitudes about the creation of new causes of action,â Vanderklok v. United States,868 F.3d 189, 200
(3d Cir. 2017), and Abbasi, Hernandez, and Egbertâs continued omission of Farmer from the list of Supreme Court cases recognizing a cause of action under the Constitution, we believe that Farmer is not an appropriate benchmark in the new context inquiry. We therefore follow the Supreme Courtâs guidance and compare the facts of Kaluâs case against Bivens, Davis, and Carlson only. This finding is consistent with our more recent precedent declining to read Farmer as an established Bivens context. See Dongarra v. Smith,27 F.4th 174, 180
(3d Cir.
2022) (â[T]he Court has recognized these implied causes of
actions for constitutional violations in only three contexts:
25
involved officers who failed to protect prisoners from inmate-
on-inmate sexual assault, whereas Kalu alleges officer-on-
inmate sexual assault. 11 See Bistrian, 912 F.3d at 83, 88(finding that an inmateâs claim that prison officials failed to protect him from âprisoner-on-prisoner violence is not a new context for Bivens claimsâ); Shorter,12 F.4th at 369, 373
(holding that an inmateâs claim that prison âofficials violated her Eighth Amendment rights by displaying deliberate indifference to the substantial risk that another inmate would [sexually] assault herâ does not present a novel Bivens context). While this difference may appear to some to be a minor one, it furnishes a basis to hold that Kaluâs case seeks to extend the Bivens remedy. And all that is needed to forestall a Bivens extension is âany rational reason (even one) to think that Congress is better suited to âweigh the costs and benefits of Bivens; Davis v. Passman; and Carlson.â); see also Xi,68 F.4th at 833
(identifying Bivens, Davis, and Carlson as the three
cases where the Supreme Court has implied a damages action
under the Constitution).
11
At oral argument, Kaluâs counsel agreed there is a difference
between inmate-on-inmate violence and officer-on-inmate
assault for purposes of the Bivens analysis. See Arg. Tr. 9:3â
9:7. However, counsel argued the difference was not
dispositive: the distinction would not âexpand or extend Bivens
because itâs a distinction that only makes the offense more
egregious.â Arg. Tr. 9:3â9:7; see also Appellantâs Br. 26 (âMr.
Kaluâs sexual assault claim does not meaningfully extend
Bivens because it is grounded inâand involves an even starker
violation ofâthe same Eighth Amendment right that animated
Farmer in the same context of prison sexual assault.â). We
address that argument below.
26
allowing a damages action to proceed.ââ Egbert, 596 U.S. at
496(quoting Abbasi,582 U.S. at 136
). Thus, Kaluâs reliance
on Bistrian and Shorter is unpersuasive.
Finally, Kalu argues his claim does not present a new
context because it would not âextend[],â Egbert, 596 U.S. at
494, or âexpand[],â Abbasi,582 U.S. at 135
, the existing level of constitutional protection. He contends it âwould be odd indeed if Bivens relief were available when a prison official is deliberately indifferent to the risk of sexual assault by other inmates, but not when that same prison official perpetrates the sexual assault himselfâ because the latter conduct âis inherently more egregious.â Appellantâs Reply Br. 17. But that argument âmisses the point,â Hernandez,589 U.S. at 108
, as it misapplies the new context inquiry. Bivens is concerned with âdeterring the unconstitutional acts of individual officers,â Malesko,534 U.S. at 71
, and ârespect for the separation of powersâ is our guiding principle, Hernandez,589 U.S. at 113
. Our analysis in Bivens cases is not focused on the seriousness or egregiousness of a defendantâs conductâwe do not ask whether the defendantâs conduct violated an individualâs right. âInstead, we ask whether the Judiciary should alter the framework established by the political branches for addressing any such conduct that allegedly violates the Constitution.â Egbert,596 U.S. at 500
(quotation marks and citation omitted).
And, where, as here, 12 there are reasons to think that âCongress
12
As discussed infra, the existence of an alternative remedial
scheme through the BOPâs ARP, Congressâs omission of a
standalone damages action in the PLRA and PREA, and
Congressâs extensive regulation of the problem of sexual abuse
in prisons through the PREA are âreasons to think [the political
branches] might doubt the efficacy or necessity of a damages
27
or the Executive has created a remedial process that it finds
sufficient to secure an adequate level of deterrenceâ for a
certain class of federal officials, we âcannot second-guess that
calibration by superimposing a Bivens remedy.â Id. at 489. In other words, the seriousness of a federal officialâs misconduct does not authorize us to change the remedies available against that class of defendants. 13 Seeid. at 496
(âThe Bivens inquiry
does not invite federal courts to independently assess the costs
and benefits of implying a cause of action.â).
The distinctions between Kaluâs sexual assault claim
and the one recognized in Carlson âare perhaps small, at least
remedyâ in the context of federal prison. Abbasi, 582 U.S. at
137. 13 Of note, in Abbasi the Court observed that, in Bivens cases, there âis a persisting concern . . . that absent a Bivens remedy there will be insufficient deterrence to prevent officers from violating the Constitution.â Abbasi,582 U.S. at 145
. But the Court instructed that such concern must be balanced against the costs and burdens that would be imposed on the Government.Id.
Officers âwho face personal liability for damages might refrainâ in performing their duties, and âthe costs and difficulties of later litigation might intrude upon and interfere with the proper exercise of their office.âId.
And âCongress is âfar more competent than the Judiciaryâ to weigh such policy considerations.â Egbert,596 U.S. at 491
(quoting Schweiker v. Chilicky,487 U.S. 412, 423
(1988)). Thus, we âshould not inquire . . . whether Bivens relief is appropriate in light of the balance of circumstances in the âparticular case.ââId.
at 496 (quoting United States v. Stanley,483 U.S. 669, 683
(1987)).
28
in practical terms.â Abbasi, 582 U.S. at 149. But given the
Supreme Courtâs âexpressed caution about extending the
Bivens remedy,â the new-context inquiry is easily satisfied
here. Id.
2.
The next step of the framework requires us to determine
whether a case presents special factors that counsel hesitation
in extending the Bivens remedy. See Abbasi, 582 U.S. at 149.
Several special factors weigh against extending Bivens liability
to Kaluâs Eighth Amendment sexual assault claim, especially
because it arises in the prison setting.
First, the availability of alternative remedies weighs
against allowing Bivens remedies here. Inmates in Kaluâs
position have full access to an alternative remedial mechanism
established by the Executive Branch: the BOPâs ARP. See
Malesko, 534 U.S. at 74. The BOPâs program and procedures allow âall inmates in institutions operated by the Bureau of Prisons,â28 C.F.R. § 542.10
(b), âto seek formal review of an issue relating to any aspect of his/her own confinement,âid.
§ 542.10(a). The program provides âan alternative remedial structure,â Abbasi,582 U.S. at 137
, as it is âanother means through which allegedly unconstitutional actions and policies can be brought to the attention of the BOP and prevented from recurring,â Malesko,534 U.S. at 74
. In fact, the BOPâs administrative procedures under the Prison Rape Elimination Act set forth specific provisions regarding the resolution of federal prisonersâ sexual abuse claims. See28 C.F.R. § 115.52
(describing administrative procedures to address an inmateâs
claim of sexual abuse, including grievances regarding âa staff
member who is the subject of the complaintâ).
29
The presence of an alternative remedial structure
through the BOPâs program is sufficient by itself to preclude
an extension of Bivens. The Supreme Courtâs âcases hold that
a court may not fashion a Bivens remedy if Congress already
has provided, or has authorized the Executive to provide, âan
alternative remedial structure.ââ Egbert, 596 U.S. at 493(quoting Abbasi,582 U.S. at 137
). âFor if Congress has created âany alternative, existing process for protecting the injured partyâs interestâ that itself may âamount to a convincing reason for the Judicial Branch to refrain from providing a new and freestanding remedy in damages.ââ Abbasi,582 U.S. at 137
(alterations omitted) (quoting Wilkie v. Robbins,551 U.S. 537, 550
(2007)). And this is true regardless of whether alternative remedies are ânot as effective as an individual damages remedy.â Bush,462 U.S. at 372
. 14
Second, congressional silence in this particular context
indicates that Congress did not want to create a damages
remedy against federal prison officials. Congress has passed
legislation in this subject area addressing both the issue of
prisonersâ constitutional claims through the Prison Litigation
Reform Act of 1995 (âPLRAâ), 42 U.S.C. §§ 1997e et seq.,
and the issue of sexual abuse in federal prisons through the
Prison Rape Elimination Act of 2003 (âPREAâ), 34 U.S.C.
§§ 30301et seq. Both times, the resulting legislation has explicitly omitted an individual capacity damages cause of 14 âThe fact that [Kalu] was unsuccessful in obtaining relief through [the BOPâs] program does not mean that he did not have access to alternative or meaningful remedies.â Mack,968 F.3d at 321
n.8 (quotation marks and citation omitted).
30
action against federal officials. âThis pattern of congressional
actionârefraining from authorizing damages actions for injury
inflictedâ by federal prison officialsââgives us further reason
to hesitate about extending Bivens in this case.â Hernandez,
589 U.S. at 113.
Allowing Kaluâs claim to proceed would conflict with
Congressâs stated purpose in passing the PLRAânamely, to
âeliminate unwarranted federal-court interference with the
administration of prisons.â Woodford, 548 U.S. at 93. Enacted some 15 years after Carlson was decided, the PLRA âmade comprehensive changes to the way prisoner abuse claims must be brought in federal court.â Abbasi,582 U.S. at 148
. The Act created a mandatory exhaustion provision for cases brought by inmates âwith respect to prison conditions,â whether under Section 1983 âor any other Federal law.â 42 U.S.C. § 1997e(a); see also Porter v. Nussle,534 U.S. 516, 524
(2002). But the Act itself failed to âprovide for a standalone damages remedy against federal jailers,â which âsuggests Congress chose not to extend the Carlson damages remedy to cases involving other types of prisoner mistreatment.â Abbasi,582 U.S. at 149
.
Years later, Congress passed the PREA to, inter alia,
âestablish a zero-tolerance standard for the incidence of prison
rape in prisons in the United Statesâ and âdevelop and
implement national standards for the detection, prevention,
reduction, and punishment of prison rape.â 34 U.S.C.
§ 30302(1), (3). While the Act established several mechanisms
to tackle the issue of sexual abuse in prisons, it did not create a
cause of action against federal prison officials. Instead,
Congress chose to address the problem by instructing the
Attorney General to develop and promulgate ânational
standards for the detection, prevention, reduction, and
31
punishment of prison rape,â id.§ 30307(a)(1), and through other measures. See, e.g., id. § 30303(a)(1) (directing the Bureau of Justice Statistics to develop a yearly âcomprehensive statistical review and analysis of the incidence and effects of prison rapeâ); id. § 30304(a)(2) (requiring the National Institute of Corrections to âconduct periodic training and education programs for Federal, State, and local authorities responsible for the prevention, investigation, and punishment of instances of prison rapeâ); id. § 30305(a) (authorizing grants âto provide funds for personnel, training, technical assistance, data collection, and equipment to prevent and prosecute prisoner rapeâ); id. § 30306(a)â(f) (establishing âa commission to be known as the National Prison Rape Elimination Commissionâ to provide, among other things, ârecommended national standards for enhancing the detection, prevention, reduction, and punishment of prison rapeâ). Recognizing a cause of action against federal correction officials may threaten to interfere with the comprehensive remedial mechanism established by Congress to address the problem of sexual assault in prisons. See Bush,462 U.S. at 388
(âThe question is . . . whether an elaborate remedial system that has been constructed step by step, with careful attention to conflicting policy considerations, should be augmented by the creation of a new judicial remedy for the constitutional violation at issue.â). Bearing in mind that separation of powers principles are central to the analysis, Abbasi,582 U.S. at 149
, we are
hesitant to create such a remedy in this context.
Kalu counters that Congressâs silence in the PLRA is
not indicative of its desire to limit Bivens actions in the prison
context and is therefore not a special factor counseling
hesitation. See Appellantâs Br. 44. According to him, âbecause
the PLRA regulates how Bivens actions are brought, it cannot
32
rightly be seen as dictating that a Bivens cause of action should
not exist at all.â Id.(quotation marks and citation omitted). Contrary to Kaluâs argument, that the statute has been interpreted to govern the process by which prisoners bring Bivens claims, Nyhuis v. Reno,204 F.3d 65
, 68â69 (3d Cir. 2000), is not dispositive. The PLRA was enacted against the backdrop of Carlson, where the Supreme Court extended Bivens to an Eighth Amendment claim against prison officials for their failure to provide adequate medical care. Carlson, 446 U.S. at 19â18. And in the Act Congress chose to impose the same gatekeeping requirements to the constitutional cause of action recognized in Carlson as to claims brought under Section 1983. See 42 U.S.C.A. § 1997e(a) (noting that the PLRA applies to actions brought under42 U.S.C. § 1983
and under âany other Federal lawâ). It is not surprising Congress elected to institute the same exhaustion provisions to both kinds of cases. âThe PLRA was plainly intended, at least in part, to reduce the intervention of federal courts into the management of the nationâs prison systems,â and âCongress would only undermine this objective by carving out certain types of actions from the aegis of the PLRA.â Booth v. Churner,206 F.3d 289, 295
(3d Cir. 2000) (quotation marks and citation omitted), affâd,532 U.S. 731
(2001). But nothing in Kaluâs submissionsâor in the PLRAâs legislative historyâ suggests Congress intended the statute to create a new cause of action for all constitutional claims brought by federal prisoners. See Nussle, 534 U.S. at 523â26 (recounting legislative history); Alexander v. Hawk,159 F.3d 1321
, 1324â
25 (11th Cir. 1998) (same). The PLRA does not demonstrate
legislative intent to provide for a damages remedy in contexts
other than the one identified in Carlsonâit does not suggest
Congress wanted to extend the Bivens remedy to all
33
constitutional claims brought by prisoners. 15
15
In support of his argument, Kalu cites our decisions in
Bistrian v. Levi and Mack v. Yost. See Bistrian, 912 F.3d at 93(âThe very statute that regulates how Bivens actions are brought cannot rightly be seen as dictating that a Bivens cause of action should not exist at all.â); Mack,968 F.3d at 324
(âWe again reject the argument that Congressional silence within the PLRA suggests that Congress did not want a damages remedy against prison officials for constitutional violations.â). But another recent decision from our Court reached a contrary determination, reasoning that the PLRAâs omission of a cause of action is a special factor counseling hesitation in extending Bivens. In Davis v. Samuels we stated that âCongressâs post- Bivens promulgation of the Prison Litigation Reform Act of 1995â was a special factor militating against extending Bivens in the prison setting. See962 F.3d 105, 112
(3d Cir. 2020). And several of our sister circuits have agreed with our reasoning in Samuels and concluded the PLRA is indicative of legislative intent and thus a special factor counseling hesitation. See Sargeant,87 F.4th at 368
(â[The PLRA is a] reason suggest[ing] that Congress is better positioned to assess the need for a remedy or that Congress might not desire a new remedy.â); Butler v. Porter,999 F.3d 287
, 294â95 (5th Cir. 2021) (listing the PLRA as a special factor counseling hesitation); Callahan v. Fed. Bureau of Prisons,965 F.3d 520, 524
(6th Cir. 2020) (concluding the PLRA is a special factor because ââ[l]egislative action suggesting that Congress does not want a damages remedyâ counsels against judicial do-it- yourself projectsââ (quoting Abbasi,582 U.S. at 148
)).
Of importance, the Supreme Court has provided
guidance on the significance of the PLRA in the special factor
34
Similarly, Kalu argues that the PREAâs omission of a
damages action is not indicative of legislative intent to
foreclose a Bivens remedy in the prison context. Specifically,
he contends that in passing the PREA âCongress signaled that
constitutional tort litigation and Bivens remedies in particular
were among the measures that would advance the statuteâs
âzero-toleranceâ policy for sexual assault in prisons.â
Appellantâs Br. 35 (quoting 34 U.S.C. § 30302(1)). But contrary to his suggestion, the Act does not purport to manifest congressional approval of Bivens actions in the prisoner abuse context. The âFindingsâ section of the statute cites the Supreme Courtâs opinion in Farmer v. Brennan for the proposition that âdeliberate indifference to the substantial risk of sexual assault violates prisonersâ rights under the Cruel and Unusual Punishments Clause of the Eighth Amendment.â34 U.S.C. § 30301
(13). But nothing in the statutory scheme or its language illustrates Congressâs intention to create a cause of action for such violations, or to extend Bivens remedies to analysis. In Abbasi, the Court interpreted the PLRAâs omission of a cause of action for damages and noted it may suggest âCongress chose not to extend the Carlson damages remedyâ to other prisoner cases. Abbasi,582 U.S. at 149
. And, in Egbert, the Court explained that we now âdefer to âcongressional inactionâ if âthe design of a Government program suggests that Congress has provided what it considers adequate remedial mechanisms.ââ Egbert,596 U.S. at 501
(quoting Schweiker,487 U.S. at 423
). Considering our
conflicting precedent and the Courtâs instruction in Abbasi and
Egbert, we believe Congressâs silence in the PLRA constitutes
a special factor counseling hesitation in extending Bivens
liability to this setting.
35
officer-on-prisoner abuse.
â[T]he concept of special factors counselling hesitation
in the absence of affirmative action by Congress has proved to
include an appropriate judicial deference to indications that
congressional inaction has not been inadvertent.â Schweiker,
487 U.S. at 423(quotation marks and citation omitted). So here, the omission of a cause of action for damages against federal officers in the PREA is indicative âthat Congress has provided what it considers adequate remedial mechanisms for constitutional violations that may occur in the course of [a government programâs] administration.âId.
Given that
Congress paid close attention to the issue of sexual assault in
prisons but chose not to create a standalone cause of action
against federal officials, we decline to supplement the PREAâs
comprehensive legislative scheme by implying a judicially
created Bivens remedy.
Third, separation of powers principles caution against
extending Bivens to the novel context presented by Kaluâs
claim. Hernandez, 589 U.S. at 96. When evaluating this factor, we âconsider the risk of interfering with the authority of the other branches, and we ask whether there are sound reasons to think Congress might doubt the efficacy or necessity of a damages remedy, and whether the Judiciary is well suited, absent congressional action or instruction, to consider and weigh the costs and benefits of allowing a damages action to proceed.â Hernandez,589 U.S. at 102
(quotation marks and
citations omitted). Here, the fact that Kaluâs claim arises in the
prison setting is of central importance. The Supreme Court has
long recognized that, because âthe operation of our
correctional facilities is peculiarly the province of the
Legislative and Executive Branches,â separation of powers and
36
federalism concerns support conferring âwide-ranging
deferenceâ to prison administratorsâ policy and operational
decisions. Bell v. Wolfish, 441 U.S. 520, 547â48 (1979); see also Block v. Rutherford,468 U.S. 576, 584
(1984) (âreaffirm[ing] the very limited role that courts should play in the administration of detention facilitiesâ). Since we are unable to anticipate the practical effects of recognizing a damages action against federal officials for officer-on-prisoner assault, we âmust refrain from creating the remedy in order to respect the role of Congress in determining the nature and extent of federal-court jurisdiction under Article III.â Abbasi,582 U.S. at 137
.
***
In sum, the availability of an alternative remedial
scheme through the BOPâs ARP, Congressâs repeated
omission of a cause of action against individual officials in
both the PLRA and PREA, and separation of powers principles
are special factors counseling against extending Bivens liability
to Kaluâs officer-on-prisoner sexual assault claim. As Egbert
cautions, whether to supplement an existing remedial scheme
with a damages action is a legislative determination that we are
not allowed to âsecond-guess.â Egbert, 596 U.S. at 498; see alsoid. at 502
(Gorsuch, J., concurring in the judgment) (âOur
Constitutionâs separation of powers prohibits federal courts
from assuming legislative authority.â). We therefore hold
Kaluâs Eighth Amendment sexual assault claim against Lt.
Middernatch is ineligible for remedies under Bivens. We will
affirm the District Courtâs dismissal of Kaluâs sexual assault
claim.
37
B.
Kalu alleges both defendants violated his Eighth
Amendment rights when they subjected him to inhumane
conditions of confinement. He seeks damages under Bivens to
redress that harm. But, like his sexual assault claim, Kaluâs
conditions-of-confinement claim fails because it presents a
new Bivens context and special factors counsel against a Bivens
extension.
1.
In his complaint, Kalu argues that he is entitled to
damages under Bivens to remedy a violation of his Eighth
Amendment ârights to be free from cruel and unusual
punishment through sanctions to sleep on a cold steel metal
bunk for six monthsâ in below freezing temperatures without
access to heat or appropriate clothing. J.A. 71. He maintains
his conditions-of-confinement claim does not present a novel
Bivens context because it fits well within the Bivens actions
recognized by the Supreme Court in Carlson and Farmer, 16
and the District Court erred in concluding otherwise. We
disagree.
In essence, Kalu argues that the Supreme Courtâs
holding in Carlson extends to all Eighth Amendment suits
brought by federal inmates regarding prison conditions. This
argument disregards the Supreme Courtâs âexpressed caution
about extending the Bivens remedy,â and its instruction that
16
As previously discussed, we believe Farmer is not an
appropriate benchmark in the new context inquiry.
38
âthe new-context inquiry is easily satisfied.â Abbasi, 582 U.S.
at 149. Under the Courtâs jurisprudence, a novel context may arise if âeven oneâ distinguishing factor implicates separation of powers concerns. Egbert,596 U.S. at 496
. That threshold is met here. Kaluâs Eighth Amendment conditions-of- confinement claim âbear[s] little resemblance to the three Bivens claims the Court has approved in the past: a claim against FBI agents for handcuffing a man in his own home without a warrant; a claim against a Congressman for firing his female secretary; and a claim against prison officials for failure to treat an inmateâs asthma.â Abbasi,582 U.S. at 140
(citing Bivens,403 U.S. at 397
; Davis,442 U.S. at 248
; and Carlson,446 U.S. at 19
).
Kaluâs claim presents a new context because it is
distinct âin a meaningful way from previous Bivens cases
decided byâ the Supreme Court: Bivens, Davis, and Carlson.
Id. at 139. As an initial matter, Kalu cannot rely on Bivens or Davis as comparisons for the new context inquiryâhis claim involves a different âcategory of defendants,â Malesko,534 U.S. at 68
, and a different constitutional right, Egbert,596 U.S. at 499
.
Kaluâs claim is also meaningfully different to the one
recognized in Carlson. Though Kaluâs case and Carlson
present somewhat âparallel circumstances,â Abbasi, 582 U.S.
at 139, as they both involve misconduct by federal prison officials which harmed inmates, the similarities end there. The âtheory of liability,â Malesko,534 U.S. at 73
, and âthe mechanism of injury,â Abbasi,582 U.S. at 138
, are sufficiently
distinct to conclude Kaluâs case presents a novel Bivens
context. See Abbasi, 582 U.S. at 138â39 (distinguishing
Carlson from its subsequent decision in Malesko even though
39
the cases presented âalmost parallel circumstances,â the same
âright at issue,â and an identical âmechanism of injuryâ). In
Kaluâs case, he was forced to endure inhumane conditions of
confinement by being forced to sleep in a cold metal bunk and
denied appropriate heat and clothing during the winter. In
Carlson, by contrast, federal prison officials failed to provide
medical treatment for a period of hours eventually leading to
the prisonerâs death. Carlson, 446 U.S. at 16 n.1.; see also
Abbasi, 582 U.S. at 139â40 (âA case might differ in a
meaningful way because of . . . the generality or specificity of
the official action . . . .â).
In addition, as compared to Carlson, Kaluâs claim
âconcern[s] a different breed of law enforcement misconduct.â
Xi, 68 F.4th at 834. This factor is material because it increases the ârisk of disruptive intrusion by the Judiciary into the functioning of other branches.â Abbasi,582 U.S. at 140
. Specifically, allowing Kaluâs claim to proceed would âexpand prison officialsâ liability from previous Bivens actions to systemic levels, potentially affecting not only the scope of their responsibilities and duties but also their administrative and economic decisions.â Tate v. Harmon,54 F.4th 839, 846
(4th Cir. 2022) (declining to extend Bivens to a conditions-of- confinement claim). The potential âimpact on governmental [prison] operations systemwide,â Abbasi,582 U.S. at 136
, coupled with our âpolicy of judicial restraintâ in the realm of prison administration, Turner,482 U.S. at 85
, provide yet
further reasons to conclude that Kaluâs claim presents a novel
Bivens context.
Finally, the official conduct that Kalu challenges is far
broader in scope than that in Carlson. Recognizing Bivens
liability for Kaluâs conditions-of-confinement claim could
40
invite a wide variety of new prisoner suits. And such cases
could involve âprison conditions that could vary from cell to
cell, from prison to prison, and from time to time, implicating
a broad class of inmates suffering ill-defined injuries with ill-
defined damages.â Tate, 54 F.4th at 847. Our inability to âpredict the âsystemwideâ consequences of recognizing a cause of action under Bivensâ for this set of facts, therefore, results in uncertainty which alone âforecloses relief.â Egbert,596 U.S. at 493
(citing Abbasi,582 U.S. at 136
).
When determining whether a case presents a new
context for Bivens purposes, we must be mindful that the
âConstitutionâs separation of powers requires us to exercise
caution before extending Bivens.â Hernandez, 589 U.S. at 96.
Caution is especially warranted here. Unlike any previously
recognized Bivens claim, one based on the conditions of a
prison cell implicates policy and operational decisions of
prison administrators that raises significant separation of
powers concerns. We therefore hold that Kaluâs Eighth
Amendment conditions-of-confinement claim presents a novel
Bivens context.
2.
The special factors counseling against extending Bivens
liability to Kaluâs sexual assault claim apply equally to Kaluâs
conditions-of-confinement claim. First, as previously
discussed, the âSupreme Court has noted that âwhen alternative
methods of relief are available, a Bivens remedy usually is
not.ââ Mack, 968 F.3d at 320(quoting Abbasi,582 U.S. at 145
).
Of heightened relevance here, the Supreme Court in Malesko
âexplained that Bivens relief was unavailable because federal
prisoners could, among other options, file grievances throughâ
41
the BOPâs Administrative Remedy Program. Egbert, 596 U.S.
at 497(citing Malesko,534 U.S. at 74
). Maleskoâs reasoning applies equally here. A plaintiff in Kaluâs shoes canâand mustâseek redress for similar allegedly unconstitutional conditions of confinement through the BOPâs ARP. See Nussle,534 U.S. at 532
(holding that âthe PLRAâs exhaustion requirement applies to all inmate suits about prison life, whether they involve general circumstances or particular episodes, and whether they allege excessive force or some other wrongâ); see also Jones v. Bock,549 U.S. 199, 218
(2007) (noting that rules âare defined not by the PLRA, but by the prison grievance process itselfâ);28 C.F.R. § 542.10
(a). Thus, the political branches have âprovided alternative remedies for aggrieved parties in [Kaluâs] position that independently foreclose a Bivens action here.â Egbert,596 U.S. at 497
.
Second, where âCongress has legislated pervasively on
a particular topic but has not authorized the sort of suit that a
plaintiff seeks to bring under Bivens, respect for the separation
of powers demands that courts hesitate to imply a remedy.â
Klay v. Panetta, 758 F.3d 369, 376(D.C. Cir. 2014). After Bivens and Carlson were decided, Congress passed the PLRA and had a âspecific occasion to consider the matter of prisoner abuse and to consider the proper way to remedy those wrongs.â Abbasi,582 U.S. at 148
. Congressâs âdominant concernâ in enacting the PLRA was âto promote administrative redressâ and âfilter out groundless claims.â Nussle,534 U.S. at 528
. The
fact that the legislation omitted a cause of action against
individual federal correction officials supports the âconclusion
that Congress consideredâand rejectedâthe possibility of
federal damages forâ conditions-of-confinement claims such
as Kaluâs. Butler, 999 F.3d at 294â95; see also Samuels, 962
42
F.3d at 112. â[I]n any inquiry respecting the likely or probable
intent of Congress, the silence of Congress is relevant; and here
that silence is telling.â Abbasi, 582 U.S. at 143â44. Implying a
damages remedy in this context would have the potential to
âupset the careful balance of interests struck by the lawmakersâ
when enacting legislative and administrative schemes meant to
redress prisoner complaints. Hernandez, 589 U.S. at 100.
Third, consideration of separation of powers principles
counsel against extending Bivens remedies to Kaluâs
conditions-of-confinement claim. Congress has directed
âcontrol and management of Federal penal and correctional
institutions . . . in the Attorney General, who shall promulgate
rules for the government thereof.â 18 U.S.C. § 4001(b)(1). Under that authority, the BOP has established an internal administrative remedy process designed to allow federal inmates to seek review of issues relating to their confinement. See28 C.F.R. § 542.10
(a). The BOP, rather than the judiciary, is therefore tasked with oversight of prison administration. Allowing individual officers to be sued under Bivens for conditions-of-confinement claims would âinvite intrusive judicial inquiryâ into the BOPâs administrative decisions. Mack,968 F.3d at 322
. âWe should hesitate before embarking down such a path,âid. at 323
, as prison administration is âa task that has been committed to the responsibility of [the legislative and executive] branches,â Turner,482 U.S. at 85
. And since conditions-of-confinement claims are âcommon,â they are âmore likely to impose âa significant expansion of Government liability.ââ Egbert,596 U.S. at 500
(quoting FDIC v. Meyer,510 U.S. 471, 486
(1994)). Implying a damages
remedy in this novel circumstance therefore risks frustrating
Congressâ policymaking role and entangling courts in matters
committed to the executive branch.
43
***
Heeding the Supreme Courtâs cautionary language in its
recent Bivens jurisprudence, we conclude that special factors
counsel against expanding Bivens liability to the context
presented by Kaluâs conditions -of-confinement claim. The
availability of an alternative remedial scheme through the
BOPâs ARP, Congressâs omission of a standalone damages
action in the passage of the PLRA, and separation of powers
implications are factors that weigh against allowing the claim
to proceed. We therefore hold that Kaluâs Eighth Amendment
conditions-of-confinement claim is ineligible for Bivens
remedies. 17 We will affirm the District Courtâs dismissal of
Kaluâs conditions-of-confinement claim.
C.
Kalu next alleges Warden Spaulding violated his Eighth
Amendment rights when he failed to protect him against sexual
assault inflicted by a prison guard. Kalu seeks damages under
Bivens to redress that harm. But Kaluâs claim against Warden
Spaulding fails for two reasons. First, as the District Court
correctly found, his complaint does not contain sufficient facts
17
We join the Fourth Circuit in holding that Bivens remedies
are not available for an Eighth Amendment conditions-of-
confinement claim in the prison context. See Tate, 54 F.4th at
847â48 (concluding that a prisonerâs âconditions-of-
confinement claim is not authorized by Carlson but instead
arises in a ânew contextââ and special factors weigh against
authorizing Bivens remedies for such a claim).
44
to set forth a plausible claim against the Warden. Second, as
defendants argue, his claim is ineligible for remedies under
Bivens because it arises in a new context and special factors
counsel against implying a new damages remedy to his
circumstances.
1.
The District Court dismissed Kaluâs claim against
Warden Spaulding because the âcomplaintâs factual
allegations regarding Warden Spaulding are insufficient to
allege a facially plausible Bivens claim that he was personally
involved in the violation of Kaluâs constitutional rights.â 18 J.A.
23. Kalu argues the District Court âmisunderstoodâ his claim
against Warden Spaulding âas being based on the doctrine of
respondeat superior or vicarious liability.â Appellantâs Br. 19
(quotation marks and citation omitted). According to Kalu, his
allegations set forth a failure-to-protect or deliberate
indifference claim under a âknowledge-and-acquiescence
theory of supervisory liability.â 19 Id. at 20. Even assuming
18
The District Courtâs order dismissing Kaluâs failure-to-
protect claim also granted leave to file an amended complaint.
Months later, Kalu filed an amended complaint against Warden
Spaulding. But after defendants filed a second motion to
dismiss, Kalu voluntarily sought to withdraw the amended
complaint, and the court granted Kaluâs motion and denied
defendantsâ motion to dismiss as moot. Thus, only the
allegations in Kaluâs original complaint are the subject of this
appeal.
19
The District Court found that Kaluâs complaint lacked any
âallegation that Warden Spaulding . . . knew of or otherwise
45
acquiesced in Lt. Middernatchâs alleged sexual assault of
[Kalu] prior to the email Kalu sent on November 2, 2016.â J.A.
22. The District Court therefore interpreted the factual
allegations as framing a respondeat superior theory of liability.
And, because â[g]overnment officials may not be held liable
for the unconstitutional conduct of their subordinates under a
theory of respondeat superior,â Iqbal, 556 U.S. at 676, the
District Court dismissed the claim. See J.A. 23 (âThe
complaintâs factual allegations regarding Warden Spaulding
are insufficient to allege a facially plausible Bivens claim that
he was personally involved in the violation of Kaluâs
constitutional rights.â).
Kalu argues this interpretation was erroneous and his
allegations are best understood as raising a deliberate
indifference or failure-to-protect claim. Appellantâs Br. 18â24.
In a Bivens action, âeach [g]overnment official, his or her title
notwithstanding, is only liable for his or her own misconduct.â
Iqbal, 556 U.S. at 677. Where the claim is based on deliberate indifference or failure-to-protect in violation of the Eighth Amendment, controlling precedent makes clear that a plaintiff must plead each âprison officialâs deliberate indifference to a substantial risk of serious harm.â Hamilton v. Leavy,117 F.3d 742, 746
(3d Cir. 1997); see also Farmer,511 U.S. at 828
.
Kaluâs allegations can reasonably be interpreted as
raising a deliberate indifference claim. Specifically, Kalu
claimed that Warden Spaulding was âresponsible for ensuring
the security, safety, and well-being of prisoner[s] under his
supervision,â J.A. 65, knew of the first two instances of sexual
assault, id. at 67â68, and replied that he would âlook into the
matter,â id. at 68. Additionally, Kalu indicated he was removed
from the general prison population the same day Warden
46
Kaluâs allegations are properly characterized as raising a
deliberate indifference or failure-to-protect claim against
Warden Spaulding, we agree with the District Court. His
pleadings were insufficient to state a plausible claim against
Warden Spaulding.
The Federal Rules of Civil Procedure require a
complaint to contain âa short and plain statement of the claim
showing that the pleader is entitled to relief.â Fed. R. Civ.
P. 8(a)(2). A motion to dismiss âmay be granted only if,
accepting all well-pleaded allegations in the complaint as true
and viewing them in the light most favorable to the plaintiff, a
court finds that plaintiffâs claims lack facial plausibility.â
Warren Gen. Hosp. v. Amgen Inc., 643 F.3d 77, 84(3d Cir. 2011) (citing Twombly, 550 U.S. at 555â56). âA claim has facial plausibility when the plaintiff pleads factual content that allows the court to draw the reasonable inference that the defendant is liable for the misconduct alleged.â Iqbal, 556 U.S. Spaulding learned about the sexual assault allegations.Id.
at 67â68. And an internal investigation commenced shortly thereafter. Therefore, the claim is that Warden Spaulding had a duty to ensure Kaluâs safety after learning about the risk of sexual violence. See Washington v. Harper,494 U.S. 210, 225
(1990) (âPrison administrators have . . . the duty to take reasonable measures for the prisonersâ own safety.â). Consequently, while the complaint sought a âspecies of supervisory liability, it is not respondeat superior liability.â Santiago v. Warminster Twp.,629 F.3d 121, 129
(3d Cir.
2010). We therefore proceed by analyzing Kaluâs factual
allegations as raising a deliberate indifference or failure-to-
protect claim against Warden Spaulding.
47
at 678. And âa pro se complaint, however inartfully pleaded,
must be held to less stringent standards than formal pleadings
drafted by lawyers.â Estelle v. Gamble, 429 U.S. 97, 106
(1976) (quotation marks and citation omitted).
When ruling on a defendantâs motion to dismiss, we
first outline the elements a plaintiff must plead to state a claim
for relief. Argueta v. U.S. Immigr. & Customs Enfât, 643 F.3d
60, 73(3d Cir. 2011). We then disregard any allegations that are âno more than conclusionsâ and thus ânot entitled to the assumption of truth,â and determine whether the remaining well-pleaded factual allegations âplausibly give rise to an entitlement to relief.â Iqbal,556 U.S. at 679
.
Bivens liability is predicated on each defendantâs own
constitutional violations. To state a plausible Bivens claim âa
plaintiff must plead that each [g]overnment-official defendant,
through the officialâs own individual actions, has violated the
Constitution.â Id. at 676. And the âfactors necessary to establish a Bivens violation will vary with the constitutional provision at issue.âId.
Applying these standards to Kaluâs Eighth Amendment deliberate indifference or failure-to- protect claim, Kalu had to plead sufficient facts to show: â(1) [he] was incarcerated under conditions posing a substantial risk of serious harm, (2) the official was deliberately indifferent to that substantial risk to [his] health and safety, and (3) the officialâs deliberate indifference caused [him] harm.â Shorter,12 F.4th at 374
(citation omitted).
Under the second prong of the analysis a prison official
may be liable for deliberate indifference âonly if he knows that
inmates face a substantial risk of serious harm and disregards
that risk by failing to take reasonable measures to abate it.â
48
Farmer, 511 U.S. at 847. In this context, deliberate indifference is a subjective standard: âthe prison official . . . must actually have known or been aware of the excessive risk to inmate safety.â Beers-Capitol v. Whetzel,256 F.3d 120, 125
(3d Cir. 2001). And the ârequisite knowledge of a substantial riskâ may be established âin the usual ways, including inference from circumstantial evidence.â Farmer511 U.S. at 842
.
Prison officials may defeat a deliberate indifference
claim in several ways. For example, they may escape liability
if they are able to show âthat they did not know of the
underlying facts indicating a sufficiently substantial danger
and that they were therefore unaware of a danger, or that they
knew the underlying facts but believed (albeit unsoundly) that
the risk to which the facts gave rise was insubstantial or
nonexistent.â Farmer, 511 U.S. at 844. Additionally, âprison officials who actually knew of a substantial risk to inmate health or safety may be found free from liability if they responded reasonably to the risk, even if the harm ultimately was not averted.âId.
On appeal, Kalu contends that the following âsequence
of eventsâ set forth in his complaint plausibly illustrates
Warden Spauldingâs deliberate indifferenceâi.e., that the
Warden âknew of a substantial risk of serious harm to [Kalu]
and yet failed to respond reasonably.â Appellantâs Br. 19
(quotation marks and citation omitted). Kalu informed Warden
Spaulding about the first two instances of sexual assault by
sending him âa confidential electronic[] email.â J.A. 67.
Warden Spaulding replied to the email stating he would âlook
into the matter and then get backâ to Kalu, but Kalu never
heard back from the Warden. Id. at 68. The same day the email
49
was sent, Kalu was âtaken out of the general population and
placed in the Special Housing Unit.â Id. A week later, Kalu
was questioned by the SIS and âwas advised that they [would]
see [Kalu] again after their investigation.â Id. at 68â69. After
five days, the SIS called Kalu into their office, âtold [him] that
they had concluded their investigation,â âthat [Lt.
Middernatch] denied the allegation,â and that they âbelieved
[Lt. Middernatchâs] version of the story.â Id. at 69. Kalu
resisted going back to the prisonâs general population as he
âfear[ed] for his life and to face his assailant.â Id. at 70. At a
hearing regarding his transfer, a third official 20 âthreatened to
impose numerous sanctionsâ if Kalu did not drop a complaint
he had initiated against Lt. Middernatch and refused to go back
to the general population. Id. Kalu refused to drop the
complaint and was subsequently returned to the prisonâs
general population. Upon his return, Kalu was once again
sexually assaulted by Lt. Middernatch. Kalu reported this third
instance of sexual assault to Warden Spaulding by sending him
another email. Finally, in his complaint, Kalu stated that
Warden Spaulding, as the Warden at FCI Allenwood, was
âresponsible for the operation and wellbeing of prisoners under
his supervision.â Id. at 67.
Accepting all facts as true, and drawing all reasonable
inferences in Kaluâs favor, he fails to meet even the liberal
pleading standard afforded to pro se litigants. Kaluâs
allegations are insufficient to establish the elements of a
20
Specifically, Kalu alleges that DHO K. Bittenbender
threatened him with sanctions if he did not drop the sexual
assault complaint. The claim against DHO K. Bittenbender is
not a part of this appeal.
50
deliberate indifference or failure-to-protect claim. Kaluâs
allegations satisfy the first prong of the analysis: being sexually
assaulted on two occasions by the same perpetrator, in the same
location, and via a similar modus operandi poses a substantial
risk of future harm. But the complaintâs allegations are
insufficient to satisfy the second prong of the frameworkâi.e.,
that Warden Spaulding was âdeliberately indifferentâ to a
âsubstantial risk to [Kaluâs] health and safety.â Shorter, 12
F.4th at 374. While Kaluâs email communications are enough to show that Warden Spaulding had âactual knowledgeâ of the risk of continued sexual assault, Beers-Capitol,256 F.3d at 131
, Kaluâs factual narrative does not establish that Warden Spaulding failed âto take reasonable measures to abate it,â Farmer,511 U.S. at 847
.
In fact, Kaluâs allegations demonstrate that Warden
Spaulding took measures to address the situation. Warden
Spaulding responded to the first report of sexual assault by
having him removed from the general population and
commencing an internal investigation conducted by the SIS.
The BOPâs regulations suggest that removing an inmate from
the general population and placing them in SHU can serve to
protect the inmateâs safety. See 28 C.F.R. § 541.21(describing SHUs as âunits in Bureau institutions where inmates are securely separated from the general inmate population,â which serve to âensure the safety, security, and orderly operation of correctional facilities, and protect the public, by providing alternative housing assignmentsâ). And the BOPâs regulations concerning sexual assault allegations require prison officials to take measures to protect the victim by, for instance, separating them from the alleged abuser. Seeid.
§ 115.62 (âWhen an
agency learns that an inmate is subject to a substantial risk of
imminent sexual abuse, it shall take immediate action to
51
protect the inmate.â); see also id. § 115.64(a) (âUpon learning
of an allegation that an inmate was sexually abused, the first
security staff member to respond to the report shall be required
to: (1) [s]eparate the alleged victim and abuser . . . .â). Kalu
was only returned to the general population after the SIS
concluded its investigation. This series of events illustrates that
Warden Spaulding âresponded reasonably to the risk.â Farmer,
511 U.S. at 844. Such a conclusion frees an officer from liability âeven if the harm ultimately was not averted.âId.
The Eighth Amendment requires prison officials to
ensure a prisonerâs âreasonable safety.â Helling v. McKinney,
509 U.S. 25, 33 (1993). That standard âincorporates due regard
for prison officialsâ unenviable task of keeping dangerous men
in safe custody under humane conditions.â Farmer, 511 U.S.
at 844â45 (quotation marks and citation omitted). Drawing all
inferences in Kaluâs favor, his complaint fails to establish
Warden Spaulding acted with deliberate indifferenceâor
unreasonablyâby removing Kalu from the general prison
population and commencing an investigation into the
allegations of sexual assault. We therefore conclude his
complaint fails to set forth sufficient allegations to make out a
plausible claim against Warden Spaulding.
2.
In any event, Kaluâs deliberate indifference claim
against Warden Spaulding is ineligible for Bivens remedies
because it presents a novel context and special factors counsel
against a Bivens extension in this context. 21 âAlthough Bivens
21
Kalu argues defendants have forfeited their alternative
argument that Kaluâs deliberate indifference or failure-to-
52
protect claim is ineligible for remedies under Bivens. See
Appellantâs Reply Br. 9. Specifically, he contends âarguments
raised in footnotes are generally forfeited,â and we âshould not
make an exception here.â Appellantâs Reply Br. 9 (citing
United States v. Yung, 37 F.4th 70, 81 (3d Cir. 2022)).
â[F]orfeiture is the failure to make the timely assertion
of a right.â United States v. Olano, 507 U.S. 725, 733(1993). Arguments not raised in an opening brief, see In re Wettach,811 F.3d 99, 115
(3d Cir. 2016), and âarguments raised in passing (such as, in a footnote), but not squarely argued, are considered [forfeited],â Higgins v. Bayada Home Health Care Inc.,62 F.4th 755, 763
(3d Cir. 2023) (alteration in original) (citation omitted). âBecause of the important interests underlying the preservation doctrine, we will not reach a forfeited issue in civil cases absent truly âexceptional circumstances.ââ Barna v. Bd. of Sch. Dirs. of Panther Valley Sch. Dist.,877 F.3d 136, 147
(3d Cir. 2017) (quoting Brown v. Philip Morris Inc.,250 F.3d 789, 799
(3d Cir. 2001)).
Here, the District Court did not decide whether Kaluâs
deliberate indifference or failure-to-protect claim was eligible
for remedies under Bivens. See J.A. 20â23 (discussing only
whether Kaluâs complaint alleged sufficient personal
involvement by Warden Spaulding to set forth a claim against
him). On appeal, defendants raised the issue in a footnote in
their opposition brief. See Appelleeâs Br. 13 n.3 (âAlthough the
district court did not have occasion to rule on the Bivens-
eligibility of the claims against Warden Spaulding, they are
also precluded by Egbert for the same reasons that the claims
against Lt. Middernatch are.â).
53
However, we are not necessarily precluded from
addressing defendantsâ Bivens-eligibility argument. We have
discretionary authority to address forfeited issues under
exceptional circumstances. See Webb v. City of Philadelphia,
562 F.3d 256, 263(3d Cir. 2009). Such circumstances exist where âthe public interest requires that the issues be heard or manifest injustice would result from the failure to consider such issues.â Philip Morris Inc.,250 F.3d at 799
. And we are slightly less reluctant to bar consideration of a forfeited pure question of law. Barna,877 F.3d at 147
; see also N.J. Carpenters & the Trs. Thereof v. Tishman Const. Corp. of N.J.,760 F.3d 297, 305
(3d Cir. 2014) (âIt is appropriate for us to
reach an issue that the district court did not if the issues provide
purely legal questions, upon which an appellate court exercises
plenary review.â (quotation marks and citation omitted)).
Considering these principles, we find it appropriate to
consider defendantâs Bivens-eligibility argument. First,
resolution of this issue is one of public importance. See, e.g.,
Wagner v. PennWest Farm Credit, ACA, 109 F.3d 909, 911 (3d
Cir. 1997) (âWhile we will ordinarily not consider issues raised
for the first time on appeal, . . . . [i]n this case, the existence
(or, more accurately, the non-existence) of a private right of
action under the [Agricultural Credit Act] is so fundamental to
the claims alleged in the district court that we cannot address
the issues raised by the parties without first deciding whether
there is a private right of action.â). In its most recent opinion
concerning Bivens, the Supreme Court reversed a Court of
Appealsâs decision allowing two constitutional damages
actions to proceed noting that its âcases have made clear that,
in all but the most unusual circumstances, prescribing a cause
of action is a job for Congress, not the courts.â Egbert, 596
54
damages are available for some deliberate-indifference claims,
this case is meaningfully different.â Dongarra, 27 F.4th at 180. The Supreme Court has recognized only three Bivens contexts, none of which involve deliberate indifference to officer-on- inmate violence. Carlson recognized a cause of action for an officerâs failure to provide adequate medical treatment. But here, Kalu seeks damages for Warden Spauldingâs alleged U.S. at 486. This appeal likewise raises the issue of the propriety of Bivens remedies in a given context âand presents a weighty question of public concern.â Tri-M Grp., LLC v. Sharp,638 F.3d 406, 417
(3d Cir. 2011). Second, â[t]he argument omitted in the District Court is a pure question of law, and one that is closely related to arguments that [Kalu] did raise in that court.â Bagot v. Ashcroft,398 F.3d 252, 256
(3d Cir. 2005). Third, we âmay uphold a judgment on any proper theory, even if not raised by the parties first in the district court, as long as there is no prejudice to the other party,â Wagner,109 F.3d at 911
, and such is the case here. The new argument
raised on appeal is presented as a ground for affirming the
District Court, and Kalu would suffer no prejudice as he has
had a fair opportunity to defend the case on that basis. See
Appellantâs Reply Br. 9 (arguing that Kaluâs âfailure-to-
protect claim is Bivens-eligible because it arises in the context
presented in Farmer, which addressed a prison officialâs
âdeliberate indifferenceâ to the risk of assault to an inmate,
regardless of the perpetratorâ); see also Arg. Tr. 28:21â30:11
(arguing that the failure-to-protect claim is Bivens-eligible
because it âarises in the same context as Farmer and the same
contextâ as Bistrian and Shorter). We therefore exercise our
discretion to reach the issue of whether Kaluâs claim against
Warden Spaulding is suitable for damages under Bivens.
55
failure to protect him from sexual abuse inflicted by a prison
guard. The difference in the âmechanism of injuryâ between
Kaluâs claim and the one recognized in Carlson is sufficient to
find that Kaluâs case presents a modest extension of Bivens.
See Abbasi, 582 U.S. at 138. And the âfact that [Kaluâs] claim arose in a different prison setting is highly relevantâ as it âindicates that [Kaluâs] suit might implicate policy determinations that the Supreme Court did not consider in Carlson.â Sargeant,87 F.4th at 366
.
Our conclusion that Kaluâs deliberate indifference or
failure-to-protect claim presents a new context is bolstered by
the Supreme Courtâs decision in Abbasi. There, the Court
considered a claim that a federal correction warden âviolated
the Fifth Amendment by allowing prison guards to abuseâ
prisoners. Abbasi, 582 U.S. at 146. While the Court noted that the case had âsignificant parallelsâ to its decision in Carlson because both concerned a âclaim for prisoner mistreatment,â it found that the claim presented a modest extension of Carlson and thus a new context.Id.
at 146â47. The cases were distinct because they invoked different constitutional provisions, and the judicial guidance available to the warden in Abbasi, with respect to his supervisory duties, was less developed.Id.
at 147â48. The standard for claims alleging failure to provide medical treatment to a prisonerânamely, âdeliberate indifference to serious medical needs,â Estelle, 429 U.S. at 104âwas clearly established by the Courtâs precedents. Abbasi,582 U.S. at 148
. But the âstandard for a claim alleging that a warden allowed guards to abuse detainees [was] less clear under the Courtâs precedents.âId.
The Courtâs reasoning
applies here and bolsters our conclusion that Kaluâs claim
arises under a new Bivens context.
56
Next, the presence of âpotential special factors that
previous Bivens cases did not considerâ weighs against
extending Bivens liability to Kaluâs claim. See id. at 140. As the Supreme Court recently explained, while its Bivens âcases describe two steps, those steps often resolve to a single question: whether there is any reason to think that Congress might be better equipped to create a damages remedy.â Egbert,596 U.S. at 492
. Here, we have enough reasons to determine that the political branches are âbetter equipped to decide whether existing remedies âshould be augmented by the creation of a new judicial remedy.ââId.
at 493 (quoting Bush,462 U.S. at 388
).
First, we consider whether Congress âalready has
provided, or has authorized the Executive to provide, âan
alternative remedial structure.ââ Id.(quoting Abbasi,582 U.S. at 137
). The Supreme Court has emphasized that âthe relevant question is not whether a Bivens action would disrupt a remedial scheme,â âwhether the court should provide for a wrong that would otherwise go unredressed,â or whether âexisting remedies do not provide complete relief.âId.
(quotations marks, citations, and alterations omitted). Rather, an alternative remedial scheme is sufficient so âlong as Congress or the Executive has created a remedial process that it finds sufficient to secure an adequate level of deterrence.â Id. at 498. Such is the case here. The BOPâs ARP is an âadministrative review mechanism[]â established by the political branches that âforeclose[s] the need to fashion a new, judicially crafted cause of action.â Malesko,534 U.S. at 68
. As
a federal inmate, Kalu had access to the BOPâs ARP, and he
attempted, albeit unsuccessfully, to seek redress through that
forum. The existence of an alternative remedy through the
BOPâs administrative program is thus a special factor
57
counseling against a Bivens extension.
Second, we consider whether congressional legislation
already exists in this context. Abbasi, 582 U.S. at 143â44. As
previously discussed, Congress paid close attention to federal
inmate constitutional claims when passing the PLRA and opted
not to create a new cause of action against individual officials.
The Act requires exhaustion of administrative remedies before
filing suit, bars prisoners from recovering from âmental or
emotional injuryâ unless an inmate can show a âphysical
injuryâ or âsexual act,â and prohibits prisoners from
proceeding in forma pauperis if they have filed three or more
prior actions that were dismissed without legal basis. See 42
U.S.C. § 1997e. The PLRAâs scheme suggests that âCongressâ
failure to provide a damages remedy might be more than mere
oversight, and that congressional silence might be more than
âinadvertent.ââ Abbasi, 582 U.S. at 143(quoting Schweiker,487 U.S. at 423
). âThis possibility counsels hesitation âin the absence of affirmative action by Congress.ââId.
(quoting Bivens,403 U.S. at 396
).
Third, we consider the risk of judicial interference with
the functioning of another branch. Abbasi, 582 U.S. at 140. Recognizing any new Bivens action âentail[s] substantial social costs, including the risk that fear of personal monetary liability and harassing litigation will unduly inhibit officials in the discharge of their duties.â Egbert,596 U.S. at 499
(quoting Anderson v. Creighton,483 U.S. 635, 638
(1987)). In the
prison setting, this risk is heightened because, as the Supreme
Court has emphasized,
[r]unning a prison is an inordinately difficult
undertaking that requires expertise, planning,
58
and the commitment of resources, all of which
are peculiarly within the province of the
legislative and executive branches of
government. Prison administration is, moreover,
a task that has been committed to the
responsibility of those branches, and separation
of powers concerns counsel a policy of judicial
restraint.
Turner, 482 U.S. at 84â85.
Allowing Kalu to proceed with his claim against
Warden Spaulding, as a supervisor, for his handling of Kaluâs
sexual assault allegation would invariably invite intrusion
administration of federal prison policiesâdeterminations
ranging from housing and safety, to discipline and resources.
Since we âare not in a position to second-guess the
administrative policies and functions historically within the
executiveâs domain, we must exercise restraint if judicial
intervention would ultimately interfere with executive
functions.â Mack, 968 F.3d at 322. With that caution in mind,
we find that separation of powers principles counsel against a
Bivens extension in this sphere.
***
In sum, Kaluâs Eighth Amendment deliberate
indifference claim against Warden Spaulding is ineligible for
damages under Bivens. We hold his claim presents a new
Bivens context and special factors counsel against extending
59
Bivens liability to his set of facts. 22 We will affirm the District
Courtâs dismissal of Kaluâs deliberate indifference or failure-
to-protect claim.
IV.
In recent years, the Supreme Court has indicated that if
it had to decide Bivens today, it âwould decline to discover any
implied causes of action in the Constitution.â Egbert, 596 U.S.
at 502. It is the province of the legislature, not the judiciary, to weigh the costs and burdens associated with creating new causes of action for damages under constitutional provisions. With these principles in mind, we conclude that Kaluâs Eighth Amendment claims present novel Bivens contexts, and special factors counsel against extending liability to his circumstances. 22 We join the Fourth and Ninth Circuits in holding that Bivens remedies are not available for Eighth Amendment deliberate indifference or failure-to-protect claims in the prison setting. See Bulger,62 F.4th at 141
(concluding that an Eighth Amendment failure-to-protect claim brought by a prisonerâs estate was ineligible for Bivens remedies because âCongress has expressed a desire to prevent courts from interfering with BOP decisions,â has been âconspicuously silent about creating a remedy for prisoners to obtain damages from individual officers,â and âthe existence of the ARP and PLRA counsel hesitation in extending Bivensâ (quotation marks and citation omitted)); Chambers,78 F.4th at 1106
(âNo case has extended
Bivens to claims that BOP employees violated the Eighth
Amendment by failing to protect an inmate from other staff
members.â).
60
For the foregoing reasons, we will affirm the District
Courtâs dismissal of Kaluâs claims.
61
RESTREPO, Circuit Judge, concurring.
Although I agree with the Majority that this case
presents a new Bivens context, I write separately to highlight
the alarming reports of pervasive staff-on-inmate sexual abuse
within the Bureau of Prisons and corresponding flaws in the
administrative remedy process, and to note recent actions the
Department of Justice, the United States Sentencing
Commission, and Congress have taken since those findings
were disclosed.
In 2022, following an investigation of alleged sexual
abuse by a BOP employee, the DOJâs Office of the Inspector
General (OIG) sent a Management Advisory Memorandum to
notify BOP of âserious concernsâ it had âwith the manner in
which BOP handles investigations of alleged misconduct by
BOP employees.â DOJ OIG, No. 23-001, Management
Advisory Memorandum: Notification of Concerns Regarding
the Federal Bureau of Prisonsâ (BOP) Treatment of Inmate
Statements in Investigations of Alleged Misconduct by BOP
Employees 1 (Oct. 12, 2022),
https://oig.justice.gov/sites/default/files/reports/23-001.pdf
[https://perma.cc/Z5D3-25GF] (MAM 23-001). The concerns
raised in the memorandum, which remain partially unresolved,
suggest that the Executive Branch does not find BOPâs
administrative process sufficient to secure an adequate level of
deterrence in this context. 1
1
See also The Principal Associate Deputy Attorney
General Working Group of DOJ Components, Report and
Recommendations Concerning the Department of Justiceâs
Response to Sexual Misconduct by Employees of the Federal
OIGâs seventeen-page memorandum detailed its
âsignificant concernâ over BOPâs statement that,
[I]n cases that have not been accepted for
criminal prosecution, the BOP will not rely on
inmate testimony to make administrative
misconduct findings and take disciplinary action
against BOP employees, unless there is evidence
aside from inmate testimony that independently
establishes the misconduct, such as a video
capturing the act of misconduct, conclusive
forensic evidence, or an admission from the
subject.
MAM 23-001 at 1. OIG noted that this policy was
âinconsistent with the fact that such testimony is fully
admissible in criminal and civil cases,â and inconsistent with
âthose DOJ regulations implementing the Prison Rape
Elimination Act (PREA), [which] require the credibility of an
alleged victim to be assessed on an individual basis and not be
determined by the personâs status as an inmate.â Id. at 2.
OIG also noted that âthe BOP is disproportionately
concerned about the risk of losing an adverse action appeal to
the [Merit Systems Protection Board] to the exclusion of other
Bureau of Prisons (Nov. 2, 2022),
https://www.justice.gov/d9/pages/attachments/2022/11/03/20
22.11.02_bop_sexual_misconduct_working_group_report.pdf
[https://perma.cc/99Q3-S94U] (PDAG Report), (discussing
deficiencies with prevention, reporting, investigations,
prosecution, and the use of administrative actions and
discipline of BOP employees who commit sexual misconduct).
2
highly significant risks.â Id. at 8. Specifically, OIG warned
that BOPâs reluctance to rely on an incarcerated personâs
testimony âenhances the likelihood that employees who have
engaged in serious misconduct, including sexual abuse of a
ward, will avoid accountability for their actions and remain on
staff, thereby posing serious insider threat potential for serial
misconduct.â Id. at 8â9.
OIG made three recommendations to BOP, two of
which OIG marked as âresolved.â Id. at 14â15. Those
recommendations included issuing immediate written
notifications to BOP employees that there is no prohibition
against substantiating employee misconduct based on inmate
testimony, and providing training to all BOP employees
involved with administrative misconduct matters on the
preponderance of the evidence standard. Id. Notably, the
âunresolvedâ concern involved the BOPâs resistance to the
recommendation that it âcreate a policy regarding the proper
handling of inmate statements in administrative mattersâ that
is consistent with the PREAâs guidance on inmate credibility
assessment. Id. at 14.
In its annual letter to the United States Sentencing
Commission, DOJ urged the Commission to address concerns
regarding the increasing number of cases involving sexual
abuse committed by law enforcement or correctional personnel
against victims in their custody, care, or supervision. See U.S.
Sentâg Commân, 2023 Amendments in Brief: Amendment #816
Sexual Abuse Offenses,
https://www.ussc.gov/sites/default/files/pdf/amendment-
process/amendments-in-brief/AIB_816.pdf
[https://perma.cc/TP8S-MZB5]. In response, the 2023
3
amendments to the U.S. Sentencing Guidelines included an
increase in the base offense level at §2A3.3 (Criminal Sexual
Abuse of a Ward or Attempt to Commit Such Acts) from 14 to
22 for cases involving sexual abuse committed by law
enforcement or correctional personnel against incarcerated
victims.
The Sentencing Commission also modified the list of
specified extraordinary and compelling reasons for
compassionate release to add a ground for relief which applies
if an incarcerated person has suffered sexual or physical abuse
that was committed by or at the direction of a correctional
officer, an employee or contractor of BOP, or any other
individual having custody or control over that person. See
USSG §1B1.13. This provision responds to DOJâs suggestion
that a sentence reduction may be appropriate where an
individual in BOP custody has been determined to have been
the victim of sexual assault perpetrated by BOP personnel. See
PDAG Report at 3, 21â22.
Commentators have noted potential hurdles that
survivors pursuing motions for compassionate release may
face, however, due to the requirement that an incarcerated
personâs claim of sexual abuse âmust be established by a
conviction in a criminal case, a finding or admission of liability
in a civil case, or a finding in an administrative proceeding.â
See FAMM, Comments on Proposed 2023 Amendments to the
Federal Sentencing Guidelines (Mar. 14, 2023),
https://www.ussc.gov/sites/default/files/pdf/amendment-
process/public-comment/202303/88FR7180_public-
comment.pdf#page=1052 [https://perma.cc/TVR6-NFQU].
According to the Bureau of Justice Statistics, from 2016 to
4
2018, perpetrators of staff sexual misconduct were only
convicted, sentenced, fined, or pleaded guilty in six percent of
substantiated incidents in prisons. See U.S. DOJ, Bureau of
Justice Statistics, Substantiated Incidents of Sexual
Victimization Reported by Adult Correctional Authorities,
2016â2018 15, (Jan. 31, 2023),
https://bjs.ojp.gov/document/sisvraca1618.pdf
[https://perma.cc/SZ9L-UDPC].
The Senate Committee on Homeland Security and
Governmental Affairsâ Permanent Subcommittee on
Investigations, chaired by Senator Jon Ossoff, also reported on
sexual abuse of incarcerated individuals in BOP custodyâ
specifically incarcerated women. The Subcommitteeâs 2022
report details the widespread abuse that occurred at
Metropolitan Correctional Center New York, Metropolitan
Detention Center Brooklyn, Federal Correctional Complex
Coleman in Florida, and especially Federal Correctional
Institution (FCI) Dublin in California, 2 where eight federal
2
The closure of FCI Dublin, dubbed âthe rape club,â
was announced on April 15, 2024, just ten days after Judge
Yvonne Gonzalez Rogers appointed a special master for
independent oversight of the facility. See Christopher Weber,
Senators demand accounting of rapid closure plan for
California prison where women were abused, AP News (Apr.
24, 2024), https://apnews.com/article/fci-dublin-california-
prison-shutdown-86b7284ca597d89269a1af301c02eed3
[https://perma.cc/U89M-LS68]. Following âdisturbing
reportsâ of âensuing chaos,â related to the closure and
subsequent transfer of over 600 incarcerated women at the
facility as well as âhostility and retaliationâ against individuals
in custody, a group of senators urged the BOP to take
5
corrections officersâincluding the warden, chaplain, and
former PREA compliance officer responsible for training
supervisors on the PREA requirements and coordinating the
PREA auditâwere indicted for sexually abusing incarcerated
women. 3 See Staff of Permanent S. Subcomm. on
Investigations, 117th Cong., Rep. On Sexual Abuse of Female
Inmates In Federal Prisons 2 (Comm. Print 2022),
https://www.ossoff.senate.gov/wp-
content/uploads/2022/12/PSI-Embargoed-Staff-Report-re-
Sexual-Abuse-of-Female-Inmates-in-Federal-Prisons.pdf
[https://perma.cc/CT8Q-YSKK].
The Subcommitteeâs report includes findings that BOP
employees sexually abused incarcerated women in at least two-
thirds (19 of 29 facilities) of federal prisons that held women
over the past decade, and that as of October 28, 2022, BOPâs
Office of Internal Affairs (OIA) had a backlog of
approximately 8,000 cases alleging employee misconduct,
including at least hundreds of sexual abuse cases. Id. at 1, 24â
25. The Subcommitteeâs investigation also provides insight
into the low number of criminal prosecutions of BOP officers
who admitted to crimes of abuse in sworn statements: when a
âimmediate actionâ to ensure that individuals impacted by the
closure âreceive appropriate medical attention and proper care
as required by the Constitution, federal laws, BOP policy, and
the dictates of common decency.â Letter to BOP Director
Colette Peters (April 24, 2024),
https://www.booker.senate.gov/imo/media/doc/letter_to_bop_
fci_dublin.pdf [https://perma.cc/PT5C-DR68].
3
As of March 2024, seven of the eight had been
sentenced after convictions at trial or plea deals.
6
BOP employee admits to sexual misconduct in a compelled
interview, statements made during that interview cannot be
used against them in a criminal prosecution by OIG or any
other law enforcement entity. Id. at 13 (discussing Garrity v.
New Jersey, 385 U.S. 493 (1967)). Thus, subjects of BOP
investigations who admit to crimes are effectively immunized
from criminal prosecution.
The bipartisan Federal Prison Oversight Act, which
President Joe Biden recently signed into law, is Congressâs
swift response to the Subcommitteeâs investigation and report.
The new law provides for the establishment of an inspections
regime to be implemented by the Inspector General of the DOJ,
and an independent Ombudsman who may receive complaints
regarding issues adversely affecting the health, safety, welfare,
or rights of incarcerated people or staff at federal prisons. See
Federal Prison Oversight Act, Pub. L. No. 118-71 (2024). While this important legislation provides much needed safeguards, the provision of a civil legal remedy for survivors of staff-on-inmate abuse is notably absent from the text of the statute. This absence, Egbert cautions us, may lend âreason to think Congress might doubt the efficacy or necessity of a damages remedyâ in cases such as the one before us. See Egbert v. Boule,596 U.S. 482, 491
(2022) (quoting Ziglar v. Abbasi,582 U.S. 120, 137
(2017)).
Bound as we are by the Supreme Courtâs unwillingness
to expand Bivens to any new context, I reluctantly concur in
the judgment.
7