Opinion
CIVIL 4:22-CV-614
04-28-2022
STACY HENRY, Plaintiff v. SHYANNA MCKIVIGON, et al., Defendants.
Mannion Judge
REPORT AND RECOMMENDATION
Martin C. Carlson United States Magistrate Judge
I. Factual Background
This case comes before us for a legally mandated screening review of this pro se, in forma pauperis complaint. According to the complaint, the plaintiff, Stacy Henry, is a pre-trial detainee in the Lycoming County Prison. (Doc. 1). Henry alleges that his legal travails began on August 17, 2020, when the defendant Police Officer Shyanne McKivison swore out a criminal complaint against him, alleging that Henry possessed drugs with the intent to deliver, tampered with physical evidence, possessed drug paraphernalia, and provided false identification to police. (Id.) Contending that the facts set forth in this affidavit were false or misleading, Henry's lawsuit brings claims of false arrest, malicious prosecution, unlawful detention, and abuse of legal process against McKivison and her employer, the Old Lycoming Township Police Department. (Id.)
Henry's complaint identified the defendant as “Shyanna McKivigon” but the exhibits attached to the complaint which were authored by the defendant identify her as “Shyanne McKivison”.
While this much is clear from Henry's complaint, this pleading is more enigmatic in two critical respects. First, while we understand in broad terms what Henry alleges, we cannot discern any prayer for relief in this complaint. Thus, we are unsure if Henry is requesting monetary damages, injunctive and declaratory relief, or both, in this lawsuit. Additionally, beyond identifying himself as a pretrial detainee, Henry provides us with no insight on the status of this criminal case. A review of state court records reveals, however, that Henry is awaiting trial on these state charges in the Court of Common Pleas of Lycoming County. See Commonwealth v. Henry, CP-41-CR-0001164-2020.
Along with his complaint, Henry has filed a motion for leave to proceed in forma pauperis. (Doc. 2). We will conditionally GRANT Henry leave to proceed in this fashion, but for the reasons set forth below, we recommend that the complaint be dismissed.
II. Discussion
A. Screening Review of Pro Se Petitions - Standard of Review
This court has an on-going statutory obligation to conduct a preliminary review of pro se complaints brought by plaintiffs given leave to proceed in forma pauperis. See 28 U.S.C. § 1915(e)(2)(B)(ii). Specifically, we are obliged to review the complaint to determine whether any claims are frivolous, malicious, or fail to state a claim upon which relief may be granted. This statutory text mirrors the language of Rule 12(b)(6) of the Federal Rules of Civil Procedure, which provides that a complaint should be dismissed for “failure to state a claim upon which relief can be granted.” Fed.R.Civ.P. 12(b)(6).
With respect to this benchmark standard for the legal sufficiency of a complaint, the United States Court of Appeals for the Third Circuit has aptly noted the evolving standards governing pleading practice in federal court, stating that:
Standards of pleading have been in the forefront of jurisprudence in recent years. Beginning with the Supreme Court's opinion in Bell Atlantic Corp. v. Twombly, 550 U.S. 544 (2007), continuing with our opinion in Phillips [v. County of Allegheny, 515 F.3d 224, 230 (3d Cir. 2008)], and culminating recently with the Supreme Court's decision in Ashcroft v. Iqbal, -U.S.-, 129 S.Ct. 1937 (2009), pleading standards have seemingly shifted from simple notice pleading to a more heightened form of pleading, requiring a plaintiff to plead more than the possibility of relief to survive a motion to dismiss.Fowler v. UPMC Shadyside, 578 F.3d 203, 209-10 (3d Cir. 2009).
In considering whether a complaint fails to state a claim upon which relief may be granted, the court must accept as true all allegations in the complaint and all reasonable inferences that can be drawn therefrom are to be construed in the light most favorable to the plaintiff. Jordan v. Fox, Rothschild, O'Brien & Frankel, Inc., 20 F.3d 1250, 1261 (3d Cir. 1994). However, a court “need not credit a complaint's bald assertions or legal conclusions when deciding a motion to dismiss.” Morse v. Lower Merion Sch. Dist., 132 F.3d 902, 906 (3d Cir. 1997). Additionally, a court need not “assume that a . . . plaintiff can prove facts that the . . . plaintiff has not alleged.” Associated Gen. Contractors of Cal. v. California State Council of Carpenters, 459 U.S. 519, 526 (1983). As the Supreme Court held in Bell Atlantic Corp. v. Twombly, 550 U.S. 544 (2007), in order to state a valid cause of action, a plaintiff must provide some factual grounds for relief which “requires more than labels and conclusions, and a formulaic recitation of the elements of a cause of actions will not do.” Id., at 555. “Factual allegations must be enough to raise a right to relief above the speculative level.” Id.
In keeping with the principles of Twombly, the Supreme Court has underscored that a trial court must assess whether a complaint states facts upon which relief can be granted when ruling on a motion to dismiss. In Ashcroft v. Iqbal, 556 U.S. 662 (2009), the Supreme Court held that, when considering a motion to dismiss, a court should “begin by identifying pleadings that, because they are no more than conclusions, are not entitled to the assumption of truth.” Id., at 679. According to the Supreme Court, “[t]hreadbare recitals of the elements of a cause of action, supported by mere conclusory statements, do not suffice.” Id., at 678. Rather, in conducting a review of the adequacy of a complaint, the Supreme Court has advised trial courts that they must:
[B]egin by identifying pleadings that because they are no more than conclusions are not entitled to the assumption of truth. While legal conclusions can provide the framework of a complaint, they must be supported by factual allegations. When there are well-pleaded factual allegations, a court should assume their veracity and then determine whether they plausibly give rise to an entitlement to relief.Id., at 679.
Thus, following Twombly and Iqbal, a well-pleaded complaint must contain more than mere legal labels and conclusions; it must recite factual allegations sufficient to raise the plaintiff's claimed right to relief beyond the level of mere speculation. As the United States Court of Appeals for the Third Circuit has stated:
[After Iqbal, when presented with a motion to dismiss for failure to state a claim, district courts should conduct a two-part analysis. First, the factual and legal elements of a claim should be separated. The District Court must accept all of the complaint's well-pleaded facts as true, but may disregard any legal conclusions. Second, a District Court must then determine whether the facts alleged in the complaint are sufficient to show that the plaintiff has a “plausible claim for relief.” In other words, a complaint must do more than allege the plaintiff's entitlement to relief. A complaint has to “show” such an entitlement with its facts.Fowler, 578 F.3d at 210-11.
As the Court of Appeals has observed:
The Supreme Court in Twombly set forth the “plausibility” standard for overcoming a motion to dismiss and refined this approach in Iqbal.
The plausibility standard requires the complaint to allege “enough facts to state a claim to relief that is plausible on its face.” Twombly, 550 U.S. at 570, 127 S.Ct. 1955. A complaint satisfies the plausibility standard when the factual pleadings “allow[ ] the court to draw the reasonable inference that the defendant is liable for the misconduct alleged.” Iqbal, 129 S.Ct. at 1949 (citing Twombly, 550 U.S. at 556, 127 S.Ct. 1955). This standard requires showing “more than a sheer possibility that a defendant has acted unlawfully.” Id. A complaint which pleads facts “merely consistent with” a defendant's liability, [ ] “stops short of the line between possibility and plausibility of ‘entitlement of relief.' ”Burtch v. Milberg Factors, Inc., 662 F.3d 212, 220-21 (3d Cir. 2011), cert. denied, 132 S.Ct. 1861 (2012).
In practice, consideration of the legal sufficiency of a complaint entails a three-step analysis:
First, the court must “tak[e] note of the elements a plaintiff must plead to state a claim.” Iqbal, 129 S.Ct. at 1947. Second, the court should identify allegations that, “because they are no more than conclusions, are not entitled to the assumption of truth.” Id., at 1950. Finally, “where there are well-pleaded factual allegations, a court should assume their veracity and then determine whether they plausibly give rise to an entitlement for relief.”Santiago v. Warminster Twp., 629 F.3d 121, 130 (3d Cir. 2010) (quoting Iqbal, 129 S.Ct. at 1950).
In considering a motion to dismiss, the court generally relies on the complaint, attached exhibits, and matters of public record. Sands v. McCormick, 502 F.3d 263, 268 (3d Cir. 2007). The court may also consider “undisputedly authentic document[s] that a defendant attached as an exhibit to a motion to dismiss if the plaintiff's claims are based on the [attached] documents.” Pension Benefit Guar. Corp. v. White Consol. Indus., 998 F.2d 1192, 1196 (3d Cir. 1993). Moreover, “documents whose contents are alleged in the complaint and whose authenticity no party questions, but which are not physically attached to the pleading, may be considered.” Pryor v. Nat'l Collegiate Athletic Ass'n, 288 F.3d 548, 560 (3d Cir. 2002); see also U.S. Express Lines, Ltd. v. Higgins, 281 F.3d 382, 388 (3d Cir. 2002) (holding that “[a]lthough a district court may not consider matters extraneous to the pleadings, a document integral to or explicitly relied upon in the complaint may be considered without converting the motion to dismiss in one for summary judgment”). However, the court may not rely on other parts of the record in determining a motion to dismiss, or when determining whether a proposed amended complaint is futile because it fails to state a claim upon which relief may be granted. Jordan v. Fox, Rothschild, O'Brien & Frankel, 20 F.3d 1250, 1261 (3d Cir. 1994).
In addition to these pleading rules, a civil complaint must comply with the requirements of Rule 8(a) of the Federal Rule of Civil Procedure, which defines what a complaint should say and provides that:
(a) A pleading that states a claim for relief must contain (1) a short and plain statement of the grounds for the court's jurisdiction, unless
the court already has jurisdiction and the claim needs no new jurisdictional support; (2) a short and plain statement of the claim showing that the pleader is entitled to relief; and (3) a demand for the relief sought, which may include relief in the alternative or different types of relief.Fed. R. Civ. P. 8.
Thus, a well-pleaded complaint must contain more than mere legal labels and conclusions. Rather, a pro se plaintiff's complaint must recite factual allegations that are sufficient to raise the plaintiff's claimed right to relief beyond the level of mere speculation, set forth in a “short and plain” statement of a cause of action.
Judged against these legal guideposts, for the reasons set forth below it is recommended that this complaint be dismissed.
B. Henry's Complaint As Pleaded Fails as a Matter of Law.
In its current form, Stacy Henry's complaint fails as a matter of law for at least four reasons, as described below.
1. The Complaint Violates Rule 8.
At the outset, this complaint encounters a threshold legal obstacle since it does not contain an articulable prayer for relief, explaining what relief Henry seeks from the courts. It is well settled that: “[t]he Federal Rules of Civil Procedure require that a complaint contain ‘a short and plain statement of the claim showing that the pleader is entitled to relief,' Fed.R.Civ.P. 8(a)(2), and that each averment be ‘concise, and direct,' Fed.R.Civ.P. 8(e)(1).” Scibelli v. Lebanon County, 219 Fed.Appx. 221, 222 (3d Cir.2007) Furthermore, under Rule 8(a)(3) a complaint must contain “a demand for the relief sought,” in the form of a coherent, intelligible and attainable prayer for relief. Since a complaint must, at a minimum, contain a coherent prayer for relief, see Fed.R.Civ.P. 8(a)(3), it follows that this particular complaint, which does not state the relief that Henry seeks in this lawsuit, fails as a matter of law. Robertson v. Samuels, No. 3:CV-14-097, 2014 WL 793107, at *4-5 (M.D. Pa. Feb. 26, 2014); Klein v. Pike Cnty. Comm'rs, CIV.A. 11-278, 2011 WL 6097734 (M.D.Pa. Dec.6, 2011) (failure to articulate a prayer for relief compels dismissal); Snyder v. Snyder, 4:12-CV-105, 2012 WL 512003 (M.D. Pa. Jan.24, 2012) report and recommendation adopted, 4:12-CV-105, 2012 WL 511993 (M.D. Pa. Feb. 15, 2012) (same). Therefore, the complaint should be dismissed.
2. Henry May Not Sue the Old Lycoming Township Police Department as an Institutional Defendant.
There is a second legal flaw in this pro se complaint. Henry names the Old Lycoming Township Police Department as a defendant in this civil rights lawsuit. However, it is well settled that:
[T]his police department is not a proper institutional defendant in this action since police departments serve only as an administrative arm of
a municipality, and it is a municipality through which any liability must flow to the police department. Indeed, it has been repeatedly held that a police department is not a “person” for purposes of § 1983 and therefore is not a proper defendant in a § 1983 action.Rehal v. Hazleton City Police, No. 3:22-CV-75, 2022 WL 993937, at *4 (M.D. Pa. Jan. 18, 2022), report and recommendation adopted sub nom. MARTIN REHAL, Plaintiff, v. HAZLETON CITY POLICE, et al., Defendants., No. 3:22-CV-75, 2022 WL 992950 (M.D. Pa. Apr. 1, 2022)(collecting cases). Given this consistent caselaw rejecting efforts to name local police departments as defendants in § 1983 federal civil rights lawsuits, it is recommended that any claims brought by Henry against the Old Lycoming Township Police Department should also be dismissed.
3. Younger Abstention Applies Here.
Further, while the lack of any prayer for relief stymies our efforts to fully understand this complaint, to the extent that this complaint invites this court to enjoin aspects of a pending state criminal case, this pro se pleading runs afoul of a settled tenet of federal law, the Younger abstention doctrine.
The Younger abstention doctrine is inspired by basic considerations of comity that are fundamental to our federal system of government. As defined by the courts: “Younger abstention is a legal doctrine granting federal courts discretion to abstain from exercising jurisdiction over a claim when resolution of that claim would interfere with an ongoing state proceeding.” Kendall v. Russell, 572 F.3d 126, 130 (3d Cir. 2009) (citing Younger v. Harris, 401 U.S. 37, 41 (1971) (“[W]e have concluded that the judgment of the District Court, enjoining appellant Younger from prosecuting under these California statutes, must be reversed as a violation of the national policy forbidding federal courts to stay or enjoin pending state court proceedings except under special circumstances”)).
This doctrine, which is informed by principles of comity, is also guided by these same principles in its application. As the Third Circuit has observed:
“A federal district court has discretion to abstain from exercising jurisdiction over a particular claim where resolution of that claim in federal court would offend principles of comity by interfering with an ongoing state proceeding.” Addiction Specialists, Inc. v. Twp. of Hampton, 411 F.3d 399, 408 (3d Cir.2005) (citing Younger v. Harris, 401 U.S. 37, 91 S.Ct. 746, 27 L.Ed.2d 669 (1971)). As noted earlier, the Younger doctrine allows a district court to abstain, but that discretion can properly be exercised only when (1) there are ongoing state proceedings that are judicial in nature; (2) the state proceedings implicate important state interests; and (3) the state proceedings afford an adequate opportunity to raise federal claims. Matusow v. TransCounty Title Agency, LLC, 545 F.3d 241, 248 (3d Cir.2008).Kendall, 572 F.3d at 131.
Once these three legal requirements for Younger abstention are met, the decision to abstain rests in the sound discretion of the district court and will not be disturbed absent an abuse of that discretion. Lui v. Commission on Adult Entertainment Establishments, 369 F.3d 319, 325 (3d Cir. 2004). Moreover, applying these standards, federal courts frequently abstain from hearing requests for injunctive relief which necessarily interfere with on-going state criminal cases. Lui, 369 F.3d 319; Zahl v. Harper, 282 F.3d 204 (3d Cir. 2002).
In this case, the plaintiff's pro se complaint reveals that all of the legal prerequisites for Younger abstention are present here with respect to those claims that seek to enjoin on-going state cases. First, it is evident that there are state proceedings in this case. Second, it is also apparent that those proceedings afford Henry a full and fair opportunity to litigate the issues raised in this lawsuit in the state case. See Sullivan v. Linebaugh, 362 Fed.Appx. 248, 249-50 (3d Cir. 2010). Finally, it is clear that the state proceedings implicate important state interests, since these matters involve state criminal law enforcement, an issue of paramount importance to the state. See, e.g., Lui, 369 F.3d 319; Zahl, 282 F.3d 204.
Since the legal requirements for Younger abstention are fully met here, the decision to abstain from addressing these requests for injunctive relief rests in the sound discretion of this Court. Lui, 369 F.3d at 325. Given the important state interest in enforcement of its criminal laws, and recognizing that the state courts are prepared to fully address the merits of these matters, we believe that the proper exercise of this discretion weighs in favor of abstention and dismissal of any requests for injunctive relief at the present time. Lui, 369 F.3d 319; Zahl, 282 F.3d 204.
4. Henry May Not Bring a Civil Rights Action for Malicious Prosecution Until the State Case Has Been Resolved in a Fashion Which is Favorable to the Plaintiff.
Finally, and most fundamentally, this complaint fails because it rests on a yet another fatally flawed legal premise. At bottom, Henry seeks to bring a civil rights action premised on claims of false arrest and malicious prosecution without showing that his state criminal case has been resolved in a fashion which was favorable to the plaintiff.
This he cannot do.
Quite the contrary, it is well settled that an essential element of a civil rights malicious prosecution claim is that the underlying criminal case must have been terminated in favor of the civil rights claimant. Therefore, where, as here, the civil rights plaintiff brings a malicious prosecution or false arrest claim in a setting where he has not achieved a favorable outcome in the underlying state case, the plaintiff's claim fails as a matter of law. The Third Circuit has aptly observed in this regard:
The Supreme Court has “repeatedly noted that 42 U.S.C. § 1983 creates a species of tort liability.” Heck v. Humphrey, 512 U.S. 477, 483, 114 S.Ct. 2364, 129 L.Ed.2d 383 (1994)
(quoting Memphis Community School Dist. v. Stachura, 477 U.S. 299, 305, 106 S.Ct. 2537, 91 L.Ed.2d 249(1986) (internal quotation marks omitted)). Given this close relation between § 1983 and tort liability, the Supreme Court has said that the common law of torts, “defining the elements of damages and the prerequisites for their recovery, provide[s] the appropriate starting point for inquiry under § 1983 as well.” Heck, 512 U.S. at 483 (quoting Carey v. Piphus, 435 U.S. 247, 257-58, 98 S.Ct. 1042, 55 L.Ed.2d 252,(1978)). The Supreme Court applied this rule in Heck to an inmate's § 1983 suit, which alleged that county prosecutors and a state police officer destroyed evidence, used an unlawful voice identification procedure, and engaged in other misconduct. In deciding whether the inmate could state a claim for those alleged violations, the Supreme Court asked what common-law cause of action was the closest to the inmate's claim and concluded that “malicious prosecution provides the closest analogy ... because unlike the related cause of action for false arrest or imprisonment, it permits damages for confinement imposed pursuant to legal process.” Heck, 512 U.S. at 484. Looking to the elements of malicious prosecution, the court held that the inmate's claim could not proceed because one requirement of malicious prosecution is that the prior criminal proceedings must have terminated in the plaintiff's favor, and the inmate in Heck had not successfully challenged his criminal conviction. Id.Hector v. Watt, 235 F.3d 154, 155-156 (3d Cir.2000).
Thus, “our precedents are clear that § 1983 plaintiffs alleging arrest and prosecution absent probable cause may bring malicious prosecution claims under the Fourth Amendment, but are entitled to relief only if they are innocent of the crime for which they were prosecuted.” Washington v. Hanshaw, 552 Fed.Appx. 169, 173 (3d Cir. 2014) (citing Hector, 235 F.3d at 156). Therefore, “a plaintiff claiming malicious prosecution must prove actual innocence as an element of his prima facie case.” Steele v. City of Erie, 113 Fed.Appx. 456, 459 (3d Cir. 2004).
In this case, it is evident from Henry's complaint that his prior state criminal prosecution did not terminate favorably for him, since that case is still pending. In the absence of such a favorable termination of the state criminal case, this federal civil rights malicious prosecution lawsuit cannot proceed. In short, this complaint is based upon the fundamentally flawed legal premise that Henry can sue the state for malicious prosecution even though he has not prevailed in the underlying state case. Since this premise is simply incorrect, Henry's complaint fails as a matter of law.
III. Recommendation
Accordingly, for the foregoing reasons, the plaintiff is conditionally GRANTED leave to proceed in forma pauperis but IT IS RECOMMENDED that the plaintiff's complaint be dismissed.
The plaintiff is further placed on notice that pursuant to Local Rule 72.3:
Any party may object to a magistrate judge's proposed findings, recommendations or report addressing a motion or matter described in 28 U.S.C. § 636 (b)(1)(B) or making a recommendation for the disposition of a prisoner case or a habeas corpus petition within fourteen (14) days after being served with a copy thereof. Such party shall file with the clerk of court, and serve on the magistrate judge and all parties, written objections which shall specifically identify the portions of the proposed findings, recommendations or report to
which objection is made and the basis for such objections. The briefing requirements set forth in Local Rule 72.2 shall apply. A judge shall make a de novo determination of those portions of the report or specified proposed findings or recommendations to which objection is made and may accept, reject, or modify, in whole or in part, the findings or recommendations made by the magistrate judge. The judge, however, need conduct a new hearing only in his or her discretion or where required by law, and may consider the record developed before the magistrate judge, making his or her own determination on the basis of that record. The judge may also receive further evidence, recall witnesses or recommit the matter to the magistrate judge with instructions.