Pike v. Budd
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Opinion
United States Court of Appeals For the First Circuit
No. 23-1593
SAMANTHA PIKE,
Plaintiff, Appellant,
NATASHA IRVING,
Plaintiff,
v.
CHARLES F. BUDD, JR., in his individual capacity,
Defendant, Appellee.
APPEAL FROM THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF MAINE
[Hon. Lance E. Walker, U.S. District Judge]
Before
Gelpí, Howard, and Kayatta, Circuit Judges.
Sean Ouellette, with whom Shelby Leighton, Public Justice, Laura H. White, and White & Quinlan, LLC were on brief, for appellant.
Susan M. Weidner, with whom Melissa A. Hewey and Drummond Woodsum were on brief, for appellee. March 28, 2025 GELPÍ, Circuit Judge. Plaintiff-Appellant Samantha Pike
("Pike"), a licensed alcohol and drug treatment counselor employed
by Wellspring, Inc. ("Wellspring"), worked at Maine's Adult
Treatment and Recovery Court (TRC), a voluntary treatment and
recovery program, in Penobscot County. Defendant-Appellee Charles
Budd, Jr. ("Budd") was the presiding judge who oversaw TRC. As
the presiding judge, Budd attended an out-of-state, work-related
conference alongside other TRC members, including Pike. At that
conference, Budd made unwelcome sexual advances towards Pike which
then, upon returning to Maine, continued in his chambers at TRC.
Pike filed a § 1983 action against Budd, which the district court
dismissed, finding that Budd was entitled to qualified immunity
because case law did not clearly establish that Budd would violate
the Equal Protection Clause in this context. After careful
consideration, we conclude that Pike has plausibly alleged a
violation of the equal protection right to be free from a hostile
work environment and that right is clearly established. Thus, we
vacate the dismissal and remand for further proceedings.
I. Background
A. Facts1
In 2020, Wellspring promoted Pike from counselor to
program director, making her the lead treatment provider for TRC.
1 The facts are taken from the second amended complaint as it
- 3 - Although Pike was directly employed by Wellspring, she was a member
of the TRC team. After Pike was promoted, Budd began to bring
Boston cream doughnuts for the entire TRC team every Wednesday.
The TRC team consists of trained individuals such as the
presiding judge, prosecutor, defense counsel, probation officers,
case managers, treatment providers, law enforcement officers, and
a coordinator. See State of Me. Jud. Branch, Adult Treatment and
Recovery Courts, https://www.courts.maine.gov/courts/treatment/a
dult.html [https://perma.cc/T7TM-G2FK] (noting that key components
of TRC include "[i]ntensive judicial oversight" by the presiding
judge and a "[m]ulti-disciplinary treatment team . . . whom have
received specialized training"). As alleged in the second amended
complaint at issue in this appeal, Pike spent most of her time
working on TRC-related matters and appeared before Budd
approximately sixteen to twenty-five hours each month. This work
included case work for TRC clients and preparing for court-related
meetings with the TRC team. The program required frequent meetings
with the entire TRC team, including Budd, on a weekly or biweekly
basis. Budd supervised the TRC team, entitling him to
decision-making authority over certain aspects related to TRC.
Budd had the ability to remove members from the team, approve
is "the most recent and most complete version of the pleading" and because each ruling turned on qualified immunity and the sufficiency of the pleading. See Corban v. Sarepta Therapeutics, Inc., 868 F.3d 31, 34 (1st Cir. 2017).
- 4 - absences from meetings, and decide whether to renew Wellspring's
contract with TRC. With respect to Pike, Budd had the capacity to
direct her work, remove her from the treatment team, and determine
whether her clients would remain in the program. The success of
Pike's clients affected her Wellspring performance evaluations.
1. Conference
In July 2022, Pike and Budd attended the National
Association of Drug Court Professionals Conference in Nashville,
Tennessee, which all members of the TRC team were "effectively
required" to attend. Prior to the conference, Budd gave Pike his
personal cell phone number so that they could reach each other
during the conference. Pike and Budd stayed at the same hotel
whereas the other TRC members stayed at another.
On the evening of the first day of the conference, Budd
and Pike saw each other at a downtown rooftop bar and spoke a few
times. At the end of the evening, Budd asked Pike if she would
like to share a car back to the hotel. During the car ride, Budd
asked her what room she was staying in. After Pike told Budd which
room, he responded that he was staying directly across the hall
from her. However, Budd's room in fact was on a different floor.
When they arrived at the hotel, Budd walked with Pike to the
elevator. In the elevator, Budd told Pike she was pretty, which
made her feel uncomfortable. They got off the elevator, walked
down the hall, and when Pike opened her door, Budd held it open
- 5 - behind her. Budd said, "Well, I'm not going to come in unless you
invite me in." Pike felt unsafe and frightened, did not respond,
and backed out of the room into the hallway. Budd invited Pike to
have a drink in the lobby. Pike looked in her purse and stated
that she did not have her phone or wallet, nervously trying to
avoid drinks with Budd. Budd offered to pay for her drink. Then
Pike said she did not have her ID on her to which Budd responded
he would go to the bar and order for her. She agreed in fear that
saying no to Budd would negatively affect her work at TRC.
When they arrived at the lobby bar, Pike immediately
went to the bathroom to calm herself down. Budd got the drinks
and sat with Pike. Budd told her details about his personal life
including his "rocky" marriage, how his wife often accused him of
cheating, and that, as a judge, women often sexually propositioned
him. Budd told Pike he deletes his text messages, showed her his
phone, asked if she thought the deleted messages were strange, and
stated that his wife did not like the deleted messages. Budd asked
Pike about her personal life, and Pike said she was married with
children. Then Budd stated that he thought two of the TRC clients
were attractive and that he hoped no one thought he was favoring
those two clients, which made Pike feel uncomfortable and that she
needed to get away from Budd. This conversation lasted about
thirty minutes. Pike told Budd she was tired and would be going
- 6 - up to her room. She asked Budd if he needed help finding his room
and he responded that he knew "exactly" where his room was.
The next day, Pike called her husband to tell him
everything that had happened with Budd. Budd texted Pike and asked
to share a car to dinner. Pike did not want to ride alone with
Budd so she told some of her coworkers what happened and asked
them to go to dinner with her so she could avoid Budd. Pike then
responded to Budd stating that she was riding with others and that
he could meet everyone else at the other hotel. Pike and her
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United States Court of Appeals For the First Circuit
No. 23-1593
SAMANTHA PIKE,
Plaintiff, Appellant,
NATASHA IRVING,
Plaintiff,
v.
CHARLES F. BUDD, JR., in his individual capacity,
Defendant, Appellee.
APPEAL FROM THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF MAINE
[Hon. Lance E. Walker, U.S. District Judge]
Before
Gelpí, Howard, and Kayatta, Circuit Judges.
Sean Ouellette, with whom Shelby Leighton, Public Justice, Laura H. White, and White & Quinlan, LLC were on brief, for appellant.
Susan M. Weidner, with whom Melissa A. Hewey and Drummond Woodsum were on brief, for appellee. March 28, 2025 GELPÍ, Circuit Judge. Plaintiff-Appellant Samantha Pike
("Pike"), a licensed alcohol and drug treatment counselor employed
by Wellspring, Inc. ("Wellspring"), worked at Maine's Adult
Treatment and Recovery Court (TRC), a voluntary treatment and
recovery program, in Penobscot County. Defendant-Appellee Charles
Budd, Jr. ("Budd") was the presiding judge who oversaw TRC. As
the presiding judge, Budd attended an out-of-state, work-related
conference alongside other TRC members, including Pike. At that
conference, Budd made unwelcome sexual advances towards Pike which
then, upon returning to Maine, continued in his chambers at TRC.
Pike filed a § 1983 action against Budd, which the district court
dismissed, finding that Budd was entitled to qualified immunity
because case law did not clearly establish that Budd would violate
the Equal Protection Clause in this context. After careful
consideration, we conclude that Pike has plausibly alleged a
violation of the equal protection right to be free from a hostile
work environment and that right is clearly established. Thus, we
vacate the dismissal and remand for further proceedings.
I. Background
A. Facts1
In 2020, Wellspring promoted Pike from counselor to
program director, making her the lead treatment provider for TRC.
1 The facts are taken from the second amended complaint as it
- 3 - Although Pike was directly employed by Wellspring, she was a member
of the TRC team. After Pike was promoted, Budd began to bring
Boston cream doughnuts for the entire TRC team every Wednesday.
The TRC team consists of trained individuals such as the
presiding judge, prosecutor, defense counsel, probation officers,
case managers, treatment providers, law enforcement officers, and
a coordinator. See State of Me. Jud. Branch, Adult Treatment and
Recovery Courts, https://www.courts.maine.gov/courts/treatment/a
dult.html [https://perma.cc/T7TM-G2FK] (noting that key components
of TRC include "[i]ntensive judicial oversight" by the presiding
judge and a "[m]ulti-disciplinary treatment team . . . whom have
received specialized training"). As alleged in the second amended
complaint at issue in this appeal, Pike spent most of her time
working on TRC-related matters and appeared before Budd
approximately sixteen to twenty-five hours each month. This work
included case work for TRC clients and preparing for court-related
meetings with the TRC team. The program required frequent meetings
with the entire TRC team, including Budd, on a weekly or biweekly
basis. Budd supervised the TRC team, entitling him to
decision-making authority over certain aspects related to TRC.
Budd had the ability to remove members from the team, approve
is "the most recent and most complete version of the pleading" and because each ruling turned on qualified immunity and the sufficiency of the pleading. See Corban v. Sarepta Therapeutics, Inc., 868 F.3d 31, 34 (1st Cir. 2017).
- 4 - absences from meetings, and decide whether to renew Wellspring's
contract with TRC. With respect to Pike, Budd had the capacity to
direct her work, remove her from the treatment team, and determine
whether her clients would remain in the program. The success of
Pike's clients affected her Wellspring performance evaluations.
1. Conference
In July 2022, Pike and Budd attended the National
Association of Drug Court Professionals Conference in Nashville,
Tennessee, which all members of the TRC team were "effectively
required" to attend. Prior to the conference, Budd gave Pike his
personal cell phone number so that they could reach each other
during the conference. Pike and Budd stayed at the same hotel
whereas the other TRC members stayed at another.
On the evening of the first day of the conference, Budd
and Pike saw each other at a downtown rooftop bar and spoke a few
times. At the end of the evening, Budd asked Pike if she would
like to share a car back to the hotel. During the car ride, Budd
asked her what room she was staying in. After Pike told Budd which
room, he responded that he was staying directly across the hall
from her. However, Budd's room in fact was on a different floor.
When they arrived at the hotel, Budd walked with Pike to the
elevator. In the elevator, Budd told Pike she was pretty, which
made her feel uncomfortable. They got off the elevator, walked
down the hall, and when Pike opened her door, Budd held it open
- 5 - behind her. Budd said, "Well, I'm not going to come in unless you
invite me in." Pike felt unsafe and frightened, did not respond,
and backed out of the room into the hallway. Budd invited Pike to
have a drink in the lobby. Pike looked in her purse and stated
that she did not have her phone or wallet, nervously trying to
avoid drinks with Budd. Budd offered to pay for her drink. Then
Pike said she did not have her ID on her to which Budd responded
he would go to the bar and order for her. She agreed in fear that
saying no to Budd would negatively affect her work at TRC.
When they arrived at the lobby bar, Pike immediately
went to the bathroom to calm herself down. Budd got the drinks
and sat with Pike. Budd told her details about his personal life
including his "rocky" marriage, how his wife often accused him of
cheating, and that, as a judge, women often sexually propositioned
him. Budd told Pike he deletes his text messages, showed her his
phone, asked if she thought the deleted messages were strange, and
stated that his wife did not like the deleted messages. Budd asked
Pike about her personal life, and Pike said she was married with
children. Then Budd stated that he thought two of the TRC clients
were attractive and that he hoped no one thought he was favoring
those two clients, which made Pike feel uncomfortable and that she
needed to get away from Budd. This conversation lasted about
thirty minutes. Pike told Budd she was tired and would be going
- 6 - up to her room. She asked Budd if he needed help finding his room
and he responded that he knew "exactly" where his room was.
The next day, Pike called her husband to tell him
everything that had happened with Budd. Budd texted Pike and asked
to share a car to dinner. Pike did not want to ride alone with
Budd so she told some of her coworkers what happened and asked
them to go to dinner with her so she could avoid Budd. Pike then
responded to Budd stating that she was riding with others and that
he could meet everyone else at the other hotel. Pike and her
coworkers tried to get another judge to go to dinner in the hopes
that Budd would not pursue Pike if another judge was present.
Later, Budd arrived at the other hotel and stood in the hallway
outside a coworker's room and said, in reference to an open
suitcase, "I can see your undergarments from here." This caused
Pike to feel uncomfortable.
During the dinner, Budd followed Pike around and tried
to converse with her. Budd asked Pike where she and everyone else
was going and followed them to the bar. Multiple times throughout
the night, Budd came up behind Pike and tried to talk to her. Pike
felt uncomfortable and asked the TRC probation officer to stay
beside her. At one point, Pike stepped outside with the probation
officer to discuss Budd's behavior, but Budd followed them outside
and stood directly behind Pike. Next, the TRC team went to a line
dancing bar. Budd sat next to Pike and stated that she was "much
- 7 - prettier" than the bartender. Budd followed Pike around the bar
and told her not to leave without him, which made her feel
uncomfortable given his authority over her on the TRC team. One
of Pike's coworkers commented that Budd was following Pike "with
his eyes" and that he would pop up behind Pike's shoulder every
time she tried to get away from him. So Pike asked some of her
coworkers to help her leave unnoticed. Pike pretended to go to
the bathroom with her coworkers and left the bar early. Pike
texted Budd to let him know she left. Budd texted back, "Can't
believe you ditched me." Pike apologized and said it was not
intentional. Budd said, "I haven't been ditched in a long time.
But I recognize the rhythms. No more Boston creams for you." Pike
did not respond.
The next day, Pike went to the conference but skipped
the sightseeing tour that the rest of the TRC team did. Budd and
Pike did not interact during the rest of the conference. When
Pike flew back home, she called Sarah Falvey ("Falvey"), a
Wellspring supervisor, to discuss Budd's conduct at the
conference. Pike also spoke with Wellspring human resources about
Budd.
2. TRC
Pike did not go to TRC the week following the conference
and asked some coworkers to go in her place. Pike returned to TRC
two weeks later accompanied by Falvey at Pike's request. When
- 8 - Pike walked in, Budd walked over and placed a bag with two Boston
cream doughnuts in front of her. Pike and Falvey attended a team
meeting together and then Falvey left. Pike remained in the
courtroom with a case manager, Ryan Auffant ("Auffant"). Budd
walked into the courtroom wearing his judicial robe and summoned
Pike to his chambers. Auffant quietly asked Pike if she was going
to be okay. Not wanting to cause a scene, Pike went into Budd's
chambers alone. In his chambers and while still wearing his robes,
Budd said he had been "thinking a lot" about the trip and that he
would be "making a lot of changes at home," from which Pike
inferred that he was going to leave his wife. Pike believed Budd
shared this because he intended to pursue a relationship with her.
Pike did not say much and began to exit his chambers. As she was
walking out, Budd came up behind her and said, "one more thing.
You are a very good listener." Once Pike reached the team meeting
area, she broke down in tears. Another case manager asked what
had happened and when Pike told him, he told her to leave for the
day.
B. Procedural History
On November 16, 2022, Pike and Natasha Irving2 filed a
§ 1983 claim against Budd alleging that he violated the Equal
Protection Clause by engaging in sexually harassing conduct
2 Irving is not a party to this appeal.
- 9 - creating a hostile work environment. Pike v. Budd, No.
1:22-cv-00360, 2023 WL 3997267, at *1, *3 (D. Me. June 14, 2023).
Budd filed a motion to dismiss raising a qualified immunity
defense, which the district court granted on June 14, 2023. Id.
at *12. The district court engaged in a color of state law analysis
and, assuming without deciding that Pike alleged sufficient facts
to state a plausible sexual harassment claim,3 noted that Budd
likely was not acting under color of state law during the
conference. Id. at *5-6. Rather, the district court granted the
motion to dismiss based on its conclusion that Budd was entitled
to qualified immunity because a reasonable official in Budd's
position would not have known that his sexual advances towards a
private employee violated the Equal Protection Clause. Id. at
*5-8. Focusing on the "clearly established" prong of the qualified
immunity analysis, the district court determined that Pike's
private employment did not put Budd on notice that his conduct was
violating a constitutional guarantee. Id. at *9-11. The district
court based this on the lack of "circuit authority that employees
of private companies have viable claims under section 1983 against
state actors who participate or share in their work activity."
3 The district court did note, however, that assuming Budd had been acting under the color of state law and putting aside the issue of Pike's employment status, "[f]or purposes of ruling on a motion to dismiss, . . . Pike's allegations appear to state a plausible claim of sex-based harassment in the workplace." Pike, 2023 WL 3997267, at *7 n. 9.
- 10 - Id. at *10. Thus, the district court concluded that, at the time
Budd sexually harassed Pike, the law was not clearly established
to put Budd on notice that sexually harassing a private employee
contracted to provide services to the state violates the Equal
Protection Clause. Id. at *10-12.
Pike filed a motion for relief from judgment and motion
for leave to amend, both of which the district court denied. Pike
v. Budd, No. 1:22-cv-00360, 2023 WL 5431677, at *2 (D. Me. Aug. 23,
2023). Upon review, the district court noted that the qualified
immunity analysis hinges on state supervisory authority rather
than private employment status. Id. at *1. Yet, the district
court determined that its conclusion remained the same because
Pike's employment status strongly affects whether Budd would have
been on notice that he supervised Pike in their workplace setting.
Id. at *2. Pike timely appealed.
II. Analysis
In the district court, Budd raised three independent
arguments in support of his motion to dismiss: (1) that Pike had
failed to plausibly allege Budd acted under color of state law;
(2) that Pike had failed to plausibly allege she was subjected to
actionable sexual harassment under the Equal Protection Clause;
and (3) that Budd was entitled to qualified immunity. The district
- 11 - court resolved the case in favor of Budd on qualified immunity
grounds, but the parties contest all three issues on appeal.
A. Standard of Review
We review de novo a district court's dismissal for
failure to state a claim, including when the dismissal is based on
qualified immunity. Ablordeppey v. Walsh, 85 F.4th 27, 32 (1st
Cir. 2023) (citing Douglas v. Hirshon, 63 F.4th 49, 54-55 (1st
Cir. 2023)). Upon review, we accept the well-pleaded facts from
the complaint as true and draw reasonable inferences from those
facts in the plaintiff's favor. Burt v. Bd. of Trs. of Univ. of
R.I., 84 F.4th 42, 50 (1st Cir. 2023) (citing SEC v. Tambone, 597
F.3d 436, 441 (1st Cir. 2010) (en banc)). To survive a motion to
dismiss, the complaint need only state sufficient factual matter
to satisfy facial plausibility. Ashcroft v. Iqbal, 556 U.S. 662,
679 (2009). "A 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."
Id. at 678 (citing Bell Atl. Corp. v. Twombly, 550 U.S. 544, 556
(2007)). Even though post-judgment decisions are reviewed
deferentially, we review these decisions de novo when they turn on
the same matter of law underlying the motion to dismiss. Corban,
868 F.3d at 34. We begin our discussion with the viability of
Pike's § 1983 claim and end with qualified immunity.
- 12 - B. Section 1983
To plead a plausible § 1983 claim, the plaintiff must
allege that the defendant acted under color of state law and that
the defendant's conduct violated a protected right.
Barreto-Rivera v. Medina-Vargas, 168 F.3d 42, 45 (1st Cir. 1999);
42 U.S.C. § 1983.
1. Color of State Law
"The traditional definition of acting under color of
state law requires that the defendant in a [§] 1983 action have
exercised power 'possessed by virtue of state law and made possible
only because the wrongdoer is clothed with the authority of state
law.'" West v. Atkins, 487 U.S. 42, 49 (1988) (quoting United
States v. Classic, 313 U.S. 299, 326 (1941)). "[S]tate employment
is generally sufficient to render the defendant a state actor."
Id. (alteration in original) (quoting Lugar v. Edmondson Oil Co.,
457 U.S. 922, 936 n.18 (1982)). "[T]he primary focus of the color
of law analysis must be on the conduct of the [official]."
Barreto-Rivera, 168 F.3d at 47. "The distinction between private
conduct and state action turns on substance, not labels." Lindke
v. Freed, 601 U.S. 187, 197 (2024). "It is firmly established
that a defendant in a § 1983 suit acts under color of state law
when he abuses the position given to him by the State." West, 487
U.S. at 49-50. The official's conduct must occur "in the course
of performing an actual or apparent duty of his office" or "the
- 13 - conduct is such that the [official] could not have behaved in that
way but for the authority of his office." Martinez v. Colon, 54
F.3d 980, 986 (1st Cir. 1995); see also Lindke, 601 U.S. at 198-
99. This inquiry turns on the "nature and circumstances" of the
alleged conduct and the "relationship of that conduct" to the
official's status or duties. Jakuttis v. Town of Dracut, 95 F.4th
22, 29 (1st Cir. 2024) (quoting Martinez, 54 F.3d at 986). We
look to the totality of the circumstances to distinguish private
action from state action. See Martinez, 54 F.3d at 987;
Zambrana-Marrero v. Suarez-Cruz, 172 F.3d 122, 125-26 (1st Cir.
1999). Private action "outside the line of duty and unaided by
any indicia of actual or ostensible state authority, is not conduct
occurring under color of state law." Martinez, 54 F.3d at 986-87.
Budd argues that state action is limited by time and
setting and since the alleged sexual harassment at the conference
occurred after the conference programming had ended each night,
there is no state action here. Whether or not this contention
would succeed if time and setting were dispositive, time and
setting are only factors in our totality of the circumstances
analysis. See id. at 987. To the extent that it may be argued
that Budd's alleged misconduct at the conference was a "purely
personal pursuit[]" rather than state action, Parrilla-Burgos, 108
F.3d at 449 (quoting Martinez, 54 F.3d at 987), the totality of
the circumstances yields a different conclusion.
- 14 - The second amended complaint alleges that Budd was the
presiding judge of TRC, plausibly alleging his supervisory
relationship to Pike. As the presiding judge, Budd had the
authority to make decisions concerning management of the TRC
treatment team. This included removing members from the team,
approving absences from team meetings, directing Pike's work with
TRC, and renewing Wellspring's contract with TRC. Budd also had
the authority to decide whether Pike's TRC clients would be removed
from the program. Thus, the complaint plausibly alleges that
Budd's position as a state court judge provided him with
supervisory authority over Pike's work for the TRC. The complaint
also alleges that TRC treatment members were expected to attend
the conference. Therefore, Budd attended the conference only
because of his position as presiding judge, and Pike likewise
attended only because it was her duty to do so as a TRC treatment
team member. Moreover, as noted, there was a moment on the first
night of the conference when Budd commented to Pike that he was
often sexually propositioned because he was a judge. His obvious
position as a judge, his supervisory authority over Pike because
of his judicial position, and his statement to her connecting his
judicial position to the availability to him of sexual favors
suggest that he was acting under color of state law.
The Eleventh Circuit's decision in Griffin v. City of
Opa-Locka, 261 F.3d 1295 (11th Cir. 2001), is instructive. The
- 15 - court there was faced with a case where a city manager raped a
city employee at her apartment following a local Rotary Club
meeting. Id. at 1298–300. In considering the state-action issue,
the court noted that city employees were expected to attend Rotary
Club meetings and pointed to the fact that the city manager had
discussed the victim's work for the city on their way to her
apartment and continued to invoke his authority over her to harass
her after the assault. Id. at 1304. The court thus held that
there was evidence from which a reasonable jury could conclude
that the city manager was acting under the color of state law when
he committed the assault. Id. at 1303.
The circumstances relevant to the state-action analysis
here are comparable. Pike has alleged that members of the
treatment court team "were expected -- and effectively required --"
to attend the Nashville conference. Pike has also alleged that
Budd made comments related to their work as they sat in the hotel
bar after he attempted to invite himself into her room. And, again
as noted, Budd allegedly told Pike that he was often sexually
propositioned by women due to his role as a judge and that he hoped
the TRC team did not think that he gave favorable treatment towards
two of their female clients that he found particularly attractive.
But we needn't go so far as to conclude that, in
isolation, the complaint adequately alleges state action at the
conference. That is so, because just as it was Pike's and Budd's
- 16 - work for the TRC that brought them to the conference in Nashville,
it was their work for the TRC that brought them to the courthouse
back in Maine. Critically, Pike has additionally alleged that
Budd invoked his authority over her to continue his harassment
when they got back to Maine. Specifically, she reasonably alleges
that he summoned her individually to his chambers and made comments
there that she understood to mean that he planned on leaving his
wife and intended to continue pursuing Pike.
Taken as a whole, these allegations are sufficient to
plausibly establish that Budd was acting under color of state law
to create a hostile environment for Pike.4 Cf. Zambrana-Marrero
v. Suarez-Cruz, 172 F.3d 122, 127 (1st Cir. 1999) (finding "that
a jury reviewing the 'nature and circumstances' of [defendants']
conduct and the 'relationship of that conduct to the performance
of [their] official duties,' could conclude that they acted under
4 In reaching this conclusion, we do not endorse Pike's argument that a state official invariably acts under the color of state law when he sexually harasses someone over whom he exercises supervisory authority. Pike points to no court that has adopted such a rule; to the contrary, we have instructed that "[n]o single, easily determinable factor will control" the state-action inquiry. Zambrana-Marrero v. Suarez-Cruz, 172 F.3d 122, 12 (1st Cir. 1999) (quoting Barreto-Rivera v. Medina-Vargas, 168 F.3d 42, 45 (1st Cir. 1999)); see also Lindke, 601 U.S. at 196 ("[T]he state-action doctrine avoids such broad-brush assumptions -- for good reason."). Indeed, Pike conceded below that it would be more difficult to attribute Budd's alleged misconduct to the state if it occurred after he ran into Pike by chance at the grocery store or on vacation.
- 17 - color of state law, albeit in clear abuse of their authority"
(third alteration in original) (quoting Martinez, 54 F.3d at 986)).
2. Deprivation of a Federally Secured Right
a. Hostile Work Environment Claims Under § 1983
"Although the Supreme Court has never explicitly
considered whether sexual harassment violates the Equal Protection
Clause, it has long recognized that sex-based discrimination by
state actors that does not serve important governmental objectives
and is not substantially related to the achievement of those
objectives is unconstitutional." Sampson v. Cnty. of L.A., 974
F.3d 1012, 1022 (9th Cir. 2020). Accordingly, in a line of cases
considering sexual harassment claims under § 1983, "we have
recognized that the analytical framework for proving
discriminatory treatment under Title VII is equally applicable to
constitutional claims." Lipsett v. Univ. of P.R., 864 F.2d 881,
896 (1st Cir. 1988) (alterations omitted) (quoting White v.
Vathally, 732 F.2d 1037, 1039 (1st Cir. 1984)); see Pontarelli v.
Stone, 930 F.2d 104, 113–14 (1st Cir. 1991), abrogated on other
grounds by Graphic Commc'ns Int'l Union, Loc. 12-N v. Quebecor
Printing Providence, Inc., 270 F.3d 1, 4 (1st Cir. 2001); Roy v.
Correct Care Sols., LLC, 914 F.3d 52, 61–62 (1st Cir. 2019).
Relevant here, Title VII has long been understood to prohibit the
- 18 - creation of a hostile work environment.5 See Vance v. Ball State
Univ., 570 U.S. 421, 426–27 (2013).
"A hostile work environment is one 'permeated with
discriminatory intimidation, ridicule, and insult, that is
sufficiently severe or pervasive to alter the conditions of the
victim's employment.'" Roy, 914 F.3d at 61 (quoting Harris v.
Forklift Sys. Inc., 510 U.S. 17, 21 (1993)). We have set out six
elements that a plaintiff must establish in order to succeed on
this type of claim:
(1) that she (or he) is a member of a protected class; (2) that she was subjected to unwelcome sexual harassment; (3) that the harassment was based upon sex; (4) that the harassment was sufficiently severe or pervasive so as to alter the conditions of plaintiff's employment and create an abusive work environment; (5) that sexually objectionable conduct was both objectively and subjectively offensive, such that a reasonable person would find it hostile or abusive and the victim in fact did perceive it to be so; and (6) that some basis for employer liability has been established.
Id. at 62 (quoting O'Rourke v. City of Providence, 235 F.3d 713,
728 (1st Cir. 2001)). Our analysis starts with the last of these
six elements before turning to the fourth -- the only other one
that Budd appears to contest.
5 Budd gestures at arguing that the standard to allege a hostile work environment under the Equal Protection Clause is more demanding than the standard to allege one under Title VII. While we find nothing in our prior decisions to support this proposition, we deem Budd's argument to be waived for lack of development. See United States v. Zannino, 895 F.2d 1, 17 (1st Cir. 1990).
- 19 - b. Individual Liability
"This case demonstrates how hostile work environment
claims . . . under Title VII do not always fit easily within the
context of individual liability under § 1983." Raspardo v.
Carlone, 770 F.3d 97, 114 (2d Cir. 2014). Most notably, Title VII
enables only "employees" to sue their "employers." See DeLia v.
Verizon Commc'ns Inc., 656 F.3d 1, 4 (1st Cir. 2011). Here, as
Budd repeatedly calls attention to in his brief, Pike was an
employee of Wellspring, not the State of Maine. Does that preclude
her ability to bring a § 1983 action alleging that Budd violated
her equal protection right to be free from a hostile work
environment?
We think not. The employer-employee relationship is a
crucial part of a Title VII claim because Title VII imposes
liability only on "employers." See 42 U.S.C. § 2000e-2(a) ("It
shall be an unlawful employment practice for an employer . . . to
discriminate against any individual with respect to his
compensation, terms, conditions, or privileges of employment,
because of such individual's . . . sex . . . . " (emphasis
added)); Fantini v. Salem State Coll., 557 F.3d 22, 30 (1st Cir.
2009) ("[T]here is no individual employee liability under Title
VII."). That is why our Title VII hostile work environment
framework requires that the plaintiff establish "some basis for
employer liability." Roy, 914 F.3d at 62 (quoting O'Rourke, 235
- 20 - F.3d at 728). By contrast, "Congress enacted § 1983 'to enforce
provisions of the Fourteenth Amendment against those [individuals]
who carry a badge of authority of a State.'" Hafer v. Melo, 502
U.S. 21, 28 (1991) (quoting Scheuer v. Rhodes, 416 U.S. 232, 243
(1974)). It would be a strange result then to bar Pike from
bringing her § 1983 claim against Budd solely because she was
employed by a non-state entity while leaving the door open for a
§ 1983 claim by a similarly situated member of the TRC team who
happened to be a state employee, such as a prosecutor or probation
officer.
We accordingly hold that, when considering a § 1983
hostile work environment claim, the sixth element of our Title VII
framework should be replaced with the requirement that a person
responsible for the hostile environment acted under color of law:
a plaintiff must show, among other things, that some basis for
individual liability has been established.
Our decision in Roy supports this approach. The
plaintiff in that case worked as a nurse at a Maine state prison
while employed by an outside company. 914 F.3d at 56. She alleged
that she had been subject to a months-long campaign of sexual
harassment by the prison's corrections officers, id. at 57–61, and
accordingly sued: (1) her employer under Title VII; (2) the Maine
Department of Corrections under the Maine Human Rights Act; and
(3) two individuals -- the prison's warden and deputy warden -
- 21 - - under § 1983, id. at 56. The plaintiff did not claim that either
of the two individual defendants had participated directly in the
sexual harassment, but rather that they "failed to stop prison
staff from sexually harassing her in violation of the Equal
Protection Clause." Id. at 72. The case came to us after the
district court granted summary judgment to all defendants on all
claims. Id. at 56.
We structured our analysis in an intentional fashion.
Noting that the plaintiff's "allegation[] that she was subjected
to a hostile work environment . . . [was] an essential ingredient
of [her] sexual harassment claims against all defendants," we first
considered whether "a reasonable jury could find that
[plaintiff]'s work environment was hostile." Id. at 61. After
concluding that it could, we "proceed[ed] to evaluate the liability
of each defendant." Id. at 65.
When we subsequently came to the warden and deputy
warden,6 we did not say that they could not be liable to the
plaintiff because they were not her "employer" or because she was
not a state employee. Instead, we explained that "[s]upervisors
like [the warden and deputy warden] are liable under the Equal
Protection Clause for a hostile work environment created by their
6 We first found that bases existed for a jury to find liable the plaintiff's employer and the Department of Corrections. 914 F.3d at 65, 68. Accordingly, we reversed the district court's decision to grant summary judgment to those defendants. Id.
- 22 - subordinates in state government only if their 'link' to the
unlawful harassment was one of 'supervisory encouragement,
condonation, or acquiescence,' or 'gross negligence amounting to
deliberate indifference.'" Id. at 72 (quoting Lipsett, 864 F.2d
at 902). We went on to hold that, given the steps that the warden
and deputy warden had taken to address some of the plaintiff's
complaints about sexual harassment, the two individuals were
entitled to qualified immunity because "reasonable officials could
have believed 'on the[se] facts' that no equal protection . . .
violation occurred." Id. at 72–73 (alteration in original)
(quoting Dirrane v. Brookline Police Dep't, 315 F.3d 65, 69 (1st
Cir. 2002)).
In the instant case, Pike's theory is that Budd is
individually liable to her because he personally created a hostile
work environment through his persistent advances that she had
repeatedly made clear were unwelcome. Unlike the plaintiff in
Roy, she is not pursuing a theory of supervisory liability and
therefore need not establish any additional "link" between Budd
and the unlawful harassment. Furthermore, as we explain below in
Part II.C., Budd is not entitled to qualified immunity on this
claim.7
7 We discuss Lipsett more in our qualified immunity analysis below but note here that it too supports our conclusion that Pike should not automatically be barred from bringing a § 1983 hostile
- 23 - Having established that, notwithstanding the fact Pike
and Budd did not share an employer, an individual basis exists for
Budd's liability under § 1983, we proceed to consider the remainder
of Pike's hostile work environment claim.
c. "Severe or Pervasive so as to Alter the Conditions of Plaintiff's Employment"
Budd also contends that the alleged conduct was not
severe or pervasive because it was verbal rather than physical.
However, whether the conduct is physical or verbal is not the
linchpin of our inquiry. Sexual harassment may be "physical
gestures or verbal expressions." Lipsett, 864 F.2d at 898. The
hostility of a work environment "does not depend on any particular
kind of conduct[,] . . . [though] behavior like fondling,
come-ons, and lewd remarks is often the stuff of hostile
environment claims." Billings v. Town of Grafton, 515 F.3d 39, 48
(1st Cir. 2008) (collecting cases). Rather, "[t]he point at which
a work environment becomes hostile or abusive" turns on
consideration of the surrounding circumstances, including (but not
limited to) "the frequency of the discriminatory conduct; its
work environment claim against Budd solely because she does not share his employer. Briefly put, the plaintiff in Lipsett was a resident physician at the University of Puerto Rico School of Medicine who brought, inter alia, a Title VII-like sexual harassment Bivens claim against a doctor at the San Juan Veterans Administration Hospital. 864 F.2d at 884. We reversed the district court's decision to grant summary judgment to the defendant on the claim, even though the plaintiff and defendant did not share an employer. See id. at 912–14.
- 24 - severity; whether it is physically threatening or humiliating, or
a mere offensive utterance; and whether it unreasonably interferes
with an employee's work performance." Id. (quoting Harris, 510
U.S. at 23).
In reviewing Budd's alleged conduct "from the
perspective of a reasonable person in [Pike's] position," we
conclude that Pike's complaint plausibly alleges a hostile work
environment claim for the purposes of a motion to dismiss. Id.
(quoting Oncale v. Sundowner Offshore Servs., Inc., 523 U.S. 75,
81 (1998)). We start by emphasizing that Budd's position of
authority over Pike can be a contributing factor in a jury's
determination of severity. See, e.g., Craig v. M & O Agencies,
Inc., 496 F.3d 1047, 1056 (9th Cir. 2007) (explaining that while
the supervisor's conduct was "physically less threatening" then
conduct alleged in other sexual harassment cases, the supervisor's
"position as [the plaintiff's] immediate boss made his actions
emotionally and psychologically threatening"); Quantock v. Shared
Mktg. Serv., Inc., 312 F.3d 899, 904 (7th Cir. 2002) (per curiam)
(concluding that a reasonable jury could find conduct sufficiently
severe given the harasser's "significant position of authority at
the company," the "close working quarters" between him and the
plaintiff, and that he had made requests for sex directly to the
plaintiff); see also Burlington Indus., Inc. v. Ellerth, 524 U.S.
742, 763 (1998) ("[A] supervisor's power and authority invests his
- 25 - or her harassing conduct with a particular threatening
character . . . . ").
With this in mind, we cannot agree with Budd's
characterization of the alleged conduct as being "exclusively
verbal." Of course, allegations of inappropriate comments do form
part of the basis for Pike's claim. She alleges that Budd asked
her to invite him into her hotel room; shared (unprompted) with
her personal issues in his marital life and his receipt of sexual
propositions due to his position as a judge; and questioned Pike
about her personal life. Budd is alleged to have commented on
Pike's physical appearance -- both in private to Pike and in front
of her colleagues -- and that of several female TRC clients; and
even, while in Pike's presence, said to another female coworker "I
can see your undergarments from here."8
However, these comments were not made in isolation but
could be viewed by a jury as part of a mosaic of physically
intimidating behavior. Significantly, Pike claims that Budd's
untoward behavior began with him lying about the location of his
hotel room in an endeavor to follow Pike to her room. When Pike
8 "Evidence of the harassment of third parties can help to prove a legally cognizable claim of a hostile environment." Hernandez-Loring v. Universidad Metropolitana, 233 F.3d 49, 55 n.4 (1st Cir. 2000). It is therefore relevant here, in reviewing a motion to dismiss, that Pike alleges "Budd has a reputation for flirting with clerks," and "show[ing] favoritism toward[s] young, attractive, female drug court clients."
- 26 - opened the door to her room, Budd allegedly stood close enough
behind her to reach around and hold the door into her room open
before he suggested he be invited in. Not wanting to invite him
in, Pike backed into the hallway whereupon, she claims, Budd
repeatedly asked her to join him for a drink. Given Budd's
presence outside her hotel room door, his attempt to enter her
room, and his refusal to accept her objections to going downstairs
with him, at this stage we cannot say that no jury could find it
reasonable for Pike to feel "cornered and like she needed to get
out of the hallway with Judge Budd and get him away from her room."
This interaction is relevant to the analysis for several
reasons. First, we think that the intimidating nature of the event
colors how a reasonable person could perceive the alleged
inappropriate comments made by Budd described above.
Additionally, it tends to establish a trend of potentially
intimidating and, frankly, creepy behavior. At the next night of
the conference, Budd allegedly followed Pike around at dinner and
then to bars. Pike claims that Budd came up behind her "on multiple
occasions," and when she went outside with a male coworker to
discuss the judge's behavior, Budd followed her outside and again
stood right behind her. His alleged pursuit was so persistent
that a coworker stated that Budd was watching Pike throughout the
night and "he would pop up behind Mrs. Pike's shoulder every time
she tried to get away from him."
- 27 - Further, a jury could find that the sexual advances and
physically intimidating behavior did not end at the conference.
Pike alleges that the next time she saw Budd, two weeks later, he
used his position of authority to get Pike alone his chambers,
alluded again to a pursing a sexually relationship with her, and
came up behind her when Pike attempted to leave. Taking these
asserted claims as true, we cannot say that Budd's alleged
physically intimating behavior combined with his repeated sexual
advances is insufficiently severe to state a claim for sexual
harassment. See Cruz v. Coach Stores, Inc., 202 F.3d 560, 571-72
(2d Cir. 2000) (finding that the "physically threatening nature of
[the harasser's] behavior," which consisted of standing very close
to women, looking them up and down in an uncomfortable way, and
"repeatedly ended with him backing [the plaintiff] into the wall
until she had to 'cut the conversation short' in order to extricate
herself, brings this case over the line separating merely offensive
or boorish conduct from actionable sexual harassment") superseded
on other grounds by N.Y.C. Local L. No. 85.
To be sure, Budd's alleged conduct here was not as long-
lasting or openly antagonistic as some cases where we have allowed
hostile work environment claims to proceed. See, e.g., Xiaoyan
Tang v. Citizens Bank, N.A., 821 F.3d 206, 211–13, 217–18 (1st
Cir. 2016) (over the course of several months, supervisor
repeatedly made inappropriate remarks about Asian women to Chinese
- 28 - plaintiff, made sexual advance during performance review, and
eventually became angry and aggressive after it became clear that
plaintiff was not interested). Importantly, Budd's alleged
cornering of Pike at the entrance to her room, in a hotel far from
home, followed by his persistent and repeated tailing of Pike was
more disconcerting than the conduct we have found to create a
triable hostile work environment claim in the past. See id. at
41–42, 50 (supervisor would routinely stare at plaintiff's chest
while speaking with her over the course of multiple years and once
told another employee that plaintiff was "under [his] desk" when
asked where she was); Vera v. McHugh, 622 F.3d 17, 21–22, 29 (1st
Cir. 2010) (supervisor and plaintiff shared a small office for
approximately three months where he would sit staring at her and
move his chair close so that their legs would touch); Hernandez-
Loring v. Universidad Metropolitana, 233 F.3d 49, 55 (1st Cir.
2000) (supervisor repeatedly asked plaintiff to go on a date and
used suggestive language towards her and others in workplace).
Also important is the degree to which Pike alleges that
Budd could have -- and did -- impact her employment with
Wellspring. To wit, she alleges that Budd had the authority to
remove members from the TRC team and that, if he had decided to
remove her from the team, it would have eliminated approximately
seventy-five percent of her job responsibilities for Wellspring.
Pike also alleges that Budd had the authority to decide whether
- 29 - TRC would renew Wellspring's contract. Set against this backdrop,
it is logical that harassment from Budd would have had a greater
impact on Pike's work than harassment coming from a less
influential member of the TRC team. Indeed, Pike alleges that
Budd's misconduct caused Pike to avoid TRC after the conference,
ask Falvey to attend TRC alongside her when she would normally
attend alone, prompted her to skip a court appearance, and led a
coworker to suggest that she leave early one day.
The strongest counter that Budd can muster is our
decision in Ponte v. Steelcase Inc., 741 F.3d 310 (1st Cir. 2014).
There, the plaintiff brought a Title VII claim against her former
employer alleging, among other things, that her direct supervisor
had sexually harassed her to the point of creating a hostile work
environment. Id. at 313. Specifically, the plaintiff alleged
that, while attending an out-of-state corporate training, her
supervisor twice insisted on giving her a ride back to her hotel
room after dinner with other employees. Id. at 314. On the first
ride, the supervisor put his arm around the plaintiff for about a
minute, and "emphasized to [the plaintiff] that he had done a lot
to get her this job, and that she owed him to do 'the right thing
by him.'" Id. On the second ride, the supervisor again put his
arm around the plaintiff, this time for the majority of the
fifteen-to-twenty-minute drive. Id. The plaintiff had been
employed at the company for approximately a month when these events
- 30 - occurred and was terminated approximately eleven months later.
Id. at 313, 319. She did not allege that harassment took place on
any other occasion. Id. at 314. We affirmed summary judgment for
the former employer, reasoning in relevant part that "no reasonable
juror could conclude that the two incidents [in the car] were
severe or pervasive enough to create a hostile work environment."
Id. at 319–21.
But Ponte can be distinguished. For starters, Ponte was
decided on summary judgment, not a motion to dismiss. Moreover,
the Supreme Court has emphasized the importance of the subjective
impact on the plaintiff of a defendant's alleged harassment. See
Faragher v. City of Boca Raton, 524 U.S. 775, 777 (1998) (noting
the requirement that "a sexually objectionable environment must be
both objectively and subjectively offensive); Harris v. Forklift
Sys., Inc., 510 U.S. 17, 22–23 (1993) (holding that "the victim
[must] subjectively perceive the environment to be abusive" but
need not actually suffer "concrete psychological harm"). In Ponte,
the plaintiff made no allegation that the supervisor's conduct
created anything more than momentary "discomfort"; importantly,
she also made no claim that the challenged conduct affected her
ability to pursue her job or maintain her work performance. 741
F.3d at 320. Here, by contrast, Pike alleges in detail how Budd's
allege conduct negatively and directly impacted her performance.
Ponte thus does not persuade us that Pike has failed to allege
- 31 - that she was subjected to actionable sexual harassment under the
Equal Protection Clause.
Therefore, considering Budd and Pike's shared work
setting and his authority over her as TRC's presiding judge,9 in
combination with his alleged misconduct, we conclude that Pike's
complaint sufficiently portrays a state-empowered supervisor who
crossed the line from merely making uncomfortable and
inappropriate comments to one who engaged in sexual harassment.
See Vera, 622 F.3d at 27-28 (noting that the shared workspace
coupled with the defendant's inappropriate practices of staring
and drawing close to the plaintiff amounted to an actionable
hostile work environment claim).10
C. Qualified Immunity
Qualified immunity protects reasonable government
officials from civil liability when their conduct does not violate
clearly established constitutional or statutory rights. Pearson
v. Callahan, 555 U.S. 223, 231 (2009). But qualified immunity
9 This is not to say that a presiding judge, such as Budd, could be considered to alter the conditions of employment of all who appeared before him, such as a lawyer who occasionally appeared before Budd or a security officer who briefly interacted with Budd. 10In reaching this outcome, we rely -- as we must -- on the fact that this issue arises on a Rule 12(b)(6) motion. Under that rule, we address only the "plausibility" of plaintiffs' allegations. Ashcroft, 556 U.S. at 679. Moreover, we draw all reasonable inferences in favor of the plaintiff. See Burt, 84 F.4th at 50.
- 32 - does not protect "the plainly incompetent or those who knowingly
violate the law." District of Columbia v. Wesby, 583 U.S. 48, 63
(2018) (quoting Malley v. Briggs, 475 U.S. 335, 341 (1986)).
Rather, qualified immunity strikes a balance between individual
constitutional rights and officials' duties. Souza v. Pina, 53
F.3d 423, 425 (1st Cir. 1995).
To determine whether the applicable law is well
established, we inquire into (1) the clarity of the law at the
time of the alleged violation and (2) whether a reasonable
official, under the facts presented, would have understood that
his conduct violated a constitutional right. Glik v. Cunniffe,
655 F.3d 78, 81 (1st Cir. 2011). While we do not need a case
directly on point, "precedent must have placed
the . . . constitutional question beyond debate." Ashcroft v.
al-Kidd, 563 U.S. 731, 741 (2011); Ablordeppey, 85 F.4th at 33
(noting that "controlling precedent or a consensus among
persuasive authority" will suffice). "[A] general constitutional
rule already identified in the decisional law may apply with
obvious clarity to the specific conduct in question, even though
'the very [conduct] in question has not previously been held
unlawful.'" United States v. Lanier, 520 U.S. 259, 271 (1997)
(second alteration in original) (quoting Anderson v. Creighton,
483 U.S. 635, 640 (1987)); Hope v. Pelzer, 536 U.S. 730, 741 (2002)
("[O]fficials can still be on notice that their conduct violates
- 33 - established law even in novel factual circumstances."). All that
is needed for a constitutional right to be clearly established is
that it "be sufficiently clear that a reasonable official would
understand that what he is doing violates that right." Anderson,
483 U.S. at 640; Harlow v. Fitzgerald, 457 U.S. 800, 819 (1982)
(clarifying that if "an official could be expected to know that
certain conduct would violate statutory or constitutional rights,
he should be made to hesitate"). That being said, the particular
conduct's violative nature must be clearly established in light of
the specific facts alleged. Brosseau v. Haugen, 543 U.S. 194, 198
(2004) (per curiam); Anderson, 483 U.S. at 641 (explaining that
violations within a specific context should "follow immediately"
from clearly established principles).
1. Clearly Established Right
Budd argues that there is no controlling case law from
the Supreme Court nor within our circuit that clearly establishes
that an official in Budd's position who engages in his particular
conduct in a shared work setting violates the Equal Protection
Clause. Budd also asserts that there is no consensus of persuasive
out-of-circuit authority that clearly establishes the same. We
disagree.
In our circuit, it is clearly established that a state
actor violates the Equal Protection Clause upon creating a hostile
work environment. Clearly established law instructs that sexual
- 34 - discrimination violates the Equal Protection Clause, see Reed v.
Reed, 404 U.S. 71, 76-77 (1971); that discriminatory treatment
standards under Title VII are equally applicable to an equal
protection claim, see White v. Vathally, 732 F.2d 1037, 1039 (1st
Cir. 1984); that on-the-job sexual harassment "is actionable under
[Section] 1983 as a violation of the equal protection clause," see
Pontarelli v. Stone, 930 F.2d 104, 113 (1st Cir. 1991); that the
"accumulated effect" of repeated verbal harassment in the
workplace may reasonably constitute sexual harassment, see Rosario
v. Dep't of Army, 607 F.3d 241, 247 (1st Cir. 2010) (quoting
O'Rourke, 235 F.3d at 729); and that if a "state official directly
engage[s] in sexual harassment or sexual discrimination, he would,
of course, be subject to section 1983 liability," Lipsett, 864
F.2d at 901.
Budd then argues that Lipsett fails to provide notice to
him because in that case: (1) the § 1983 equal protection claim
was brought against supervisors responsible for managing the
medical residency program, (2) it was not determined whether the
only defendant who directly harassed the plaintiff could be sued
under § 1983, and (3) only a quid pro quo theory was addressed.
Each of these aspects, which Budd believes did not provide him
with fair warning that sexually harassing Pike would violate her
equal protection right to be free from a hostile work environment,
misses the mark.
- 35 - In Lipsett, a student-employee in a medical residency
program brought a sexual discrimination claim against supervisors
for the sexually harassing conduct of subordinates and against an
individual doctor for his direct sexual harassment under the Equal
Protection Clause and Title VII. Id. at 896. There, the court's
decision to not thoroughly address whether the individual doctor
could be sued under § 1983 was due to uncertainty as to whether
the defendant could be considered a state actor for the purposes
of § 1983. Id. at 912 n.32. No such issue exists here. And the
fact that supervisor liability was at issue under § 1983 does not
fail to put Budd on notice that an official who directly sexually
harasses another in a workplace setting would be subject to a §
1983 suit. Id. at 881, 901. Lipsett unambiguously states that an
official who sexually harasses an employee within the workplace is
on notice that they may be sued under § 1983. Id.
Furthermore, the technicality that quid pro quo rather
than hostile work environment was at issue in Lipsett likewise
does not fail to put Budd on notice. For the "clearly established"
analysis, we look to whether clearly established principles would
provide notice that the particular conduct in the specific context
before us would put a reasonable official on notice that such would
amount to a violation of a constitutional right. While the
particular conduct and specific context of the case are necessary
to the "clearly established" analysis, such aspects will not limit
- 36 - the applicability of a clearly established principle if it
logically follows with obvious clarity that the official's conduct
would violate that principle. Where we explained in Lipsett that
"the disparate treatment standard of Title VII applies as well to
claims arising under the equal protection clause" and explained
that sexual harassment under Title VII was actionable under a quid
pro quo or hostile environment theory of liability, it clearly
follows that a state actor would be on notice that he may be sued
under § 1983 for creating a hostile work environment. See id. at
898-97.
Budd relatedly argues that Lipsett, alongside
Pontarelli, only provides notice that employers may be liable,
pointing to the lack of a traditional employer-employee
relationship between him and Pike. But as we have explained, due
to the unique shared work setting, Pike's role as a TRC counselor,
and Budd's role as the presiding judge over TRC, the context of
Pike and Budd's working relationship is akin to an
employee-employer relationship such that clearly established
principles would put Budd on notice that his sexually harassing
conduct would amount to a constitutional violation of equal
protection rights.11 See also Shepherd v. Robbins, 55 F.4th 810,
Due to this supervisor-like relationship, we decline to 11
discuss the employee-private contractor distinction in City of Richmond v. J.A. Croson Co., 488 U.S. 469 (1989), and O'Hare Truck
- 37 - 818 (10th Cir. 2022) (emphasizing that "the nature and degree of
authority a defendant has over a plaintiff informs whether the law
is clearly established"). In any event, we reject Budd's argument
that he was not on notice that he could be held liable where he
was not Pike's employer, for several reasons.
First, the fact that the defendant in cases asserting
statutory liability for employers are usually employers offers no
reason to suppose in the first instance that a defendant must be
an employer in a case alleging a Fourteenth Amendment claim.
Second, it is certainly well established that a state
actor who creates a hostile environment in the workplace, on the
basis of sex, violates the law. See Starnes v. Butler Cnty. Ct.
of Common Pleas, 971 F.3d 416, 428 (3d Cir. 2020) ("[A] robust
consensus of persuasive authority exists to clearly establish that
creating a hostile work environment constitutes a § 1983
violation."). And as we have explained, given the occasion on
which Budd mistreated Pike, his reference to a connection between
his status as a judge and sex, and his use of his authority in the
courtroom and chambers, any regular judge would have easily known
that using his authority to harass on the basis of sex someone
Serv., Inc. v. City of Northlake, 518 U.S. 712 (1996), which involved discrimination based on race and political affiliation, respectively.
- 38 - whose employment he controlled violated his status under the
Fourteenth Amendment.
The parties also debate whether it was clearly
established that Budd was reasonably viewed as Judge Budd, who
presided over the TRC, rather than private citizen Charles Budd,
when he repeatedly demonstrated his interest in Pike. But Pike
convincingly establishes that, in general, § 1983 liability turns
on the state power wielded by defendant, not, as we have already
discussed, on whether the defendant is plaintiff's employer or
formal supervisor. See, e.g., Johnson v. Martin, 195 F.3d 1208,
1218 (10th Cir. 1999) (holding that it was clearly established
that "to abuse any one of a number of kinds of [state] authority,"
including a building permitter sexually harassing permit
applicants, would constitute state action); Dan Vang v. Vang Xiong
X. Toyed, 944 F.2d 476, 780 (9th Cir. 1991) (finding that a state
official who worked for a job placement agency engaged in state
action when he sexually harassed job seekers who came to him for
assistance); Hayut, 352 F.3d at 744 (holding that a professor at
a state university acts under color of state law when he "misuses
[his] authority [over students] in the course of performing his
duties," such as grading and teaching).
To locate the necessary state power in an employment
context, courts have, as a shorthand, looked to "the substance of
the individual defendant's job functions, rather than the form, to
- 39 - determine whether an employee was acting in a supervisory
capacity." Zelinski v. Pa. State Police, 108 F. App'x 700, 703
(3d Cir. 2004); see also Bonenberger v. Plymouth Tp., 132 F.3d 20,
23 (3d Cir. 1997) ("There is simply no plausible justification for
distinguishing between abuse of state authority by one who holds
the formal title of supervisor, on the one hand, and abuse of state
authority by one who bears no such title but whose regular duties
nonetheless include a virtually identical supervisory role, on the
other."); Markham v. White, 172 F.3d 486, 491–92 (7th Cir. 1999)
(assuming that training seminar instructors employed by the Drug
Enforcement Agency exercised state authority when they sexually
harassed female police officers while training them and finding
that the instructors violated equal protection as a matter of
clearly established law, though the police officers worked for a
different employer); David v. City and Cnty. of Denver, 101 F.3d
1344, 1354 (10th Cir. 1996) (acknowledging that co-employees would
be liable for sexual harassment under § 1983 to the extent they
"in some . . . way exercised state authority over [plaintiff]").
But, at bottom, we think it clearly established that
§ 1983 liability requires a state actor to hold some power over
the plaintiff whose rights he violates. And the fact that no case
involves a judge sexually harassing a subordinate who reports to
a separate, private employer does not excuse a reasonable official
in Budd's place from realizing that his conduct would not pass
- 40 - muster under the Constitution. See Hope, 536 U.S. at 741
("[O]fficials can still be on notice that their conduct violates
established law even in novel factual circumstances."). Here,
Budd clearly acted as Judge Budd, who had significant power over
Pike as a counselor working in his courtroom, when he committed
the alleged conduct.
As a final note, on appeal Budd argues only that his
conduct was not sufficiently severe or pervasive for Pike's claim
to survive a Rule 12(b)(6) motion. Budd nowhere argues it is not
clearly established that his conduct was not severe or pervasive.
In any event, our prior decision in Vera certainly put Budd on
notice that repeatedly "drawing inappropriately close" to a
subordinate in such a way as to "violate [the subordinate's]
privacy and the integrity of her personal space" can provide the
basis for a triable claim of sexual harassment.12 622 F.3d at 27.
12 Notably, we are not the only circuit to recognize that invading an individual's physical space can create a hostile environment in certain circumstances. In vacating a grant of summary judgement in favor of an employer, the Second Circuit in Cruz found that the plaintiff had shown a triable issue of sexual harassment due to a hostile work environment under Title VII. Cruz, 202 F.3d at 570. The supervisor in question allegedly stated "that woman should be barefoot and pregnant," stood very close to women when talking to them, “look[ed] at [them] up and down in a way that's very uncomfortable,” and on some occasions, backed the plaintiff almost into a wall "until she had to 'cut the conversation short' in order to extricate herself." Id. at 571. The Second Circuit described this behavior as "physically threatening" so as to "bring[] this case over the line separating merely offensive or boorish conduct from actionable sexual harassment." Id.
- 41 - In Vera, the plaintiff alleged that the supervisor with whom she
shared her office space "stared at her in a sexual way, came so
close to her that she could feel his breath, pulled his chair next
to her so that their legs touched, laughed at her discomfort,
blocked her escape from the cramped office with a closed door, and
on one occasion called her 'Babe.'" Id. We explained that even
though the parties had only shared an office for a "relatively
short duration," a jury could find that "the intensity and
frequency" of the conduct at issue could alter the conditions of
the plaintiff's employment. Id. at 29.
As explained above, Budd is alleged to have repeatedly
made unwelcome and intimidating sexual advances towards Pike at
the work conference and in chambers, including by repeatedly
standing uncomfortably close behind her, watching her, cornering
her at the threshold of her hotel room, and commenting on her and
other females' appearances. It naturally follows from Vera that
a jury could conclude Budd's conduct was "so objectively offensive
that a reasonable person would find it to be hostile or abusive."
Id. at 29. That the conduct at Vera occurred over the course of
three months does not negate its application to this case. As we
noted there, "[a]lthough [the supervisor] did not overtly threaten
[the plaintiff], the allegation that he blocked her from leaving
the office [by closing a door] on at least one occasion suggests
a physically threatening environment." Id. at 28 (emphasis added).
- 42 - Budd, therefore, was on notice that cornering Pike outside her
hotel room where her only way to leave the situation would be to
join him for a drink could reasonably be viewed by a jury as
creating a threatening environment -- one that is even more severe
than that alleged in Vera given the proximity of the alleged sexual
advance to a hotel room.
Moreover, we are convinced by the consensus of binding
and persuasive authority referenced above that Budd was on notice
that his position of authority over Pike could further contribute
to the coerciveness of his actions, see Burlington Indus., 524
U.S. at 763; Craig, 496 F.3d at 1056, even when the alleged hostile
conduct is limited in number, see Quantock, 312 F.3d at 904. In
summary, being that Budd was a state judge who repeatedly made
unwelcome and intimidating sexual advances towards Pike, he would
have reasonably known that such conduct falls within the realm of
our clearly established principles. Accordingly, Budd would be
hard pressed to assert that he was unaware that his unwelcome
sexual advances towards Pike would violate her equal protection
right to be free from a hostile work environment.13
13 While we disagree with Budd's characterization that the alleged conduct was "entirely verbal," we do note that unwelcome verbal sexual advances can present a trial-worthy claim of sexual harassment if they are persistent. For example, in Hernandez- Loring, we vacated the dismissal of a hostile environment claim at summary judgement where a professor had alleged, "[w]ithout being specific as to dates," that the head of her promotion committee
- 43 - Qualified immunity is a "good faith" immunity involving
the presumptive knowledge and respect for "basic, unquestioned
constitutional rights." Harlow, 457 U.S. at 815 (quoting Wood v.
Strickland, 420 U.S. 308, 322 (1975)). If intentional
discrimination has occurred, then "good faith" immunity is
logically excluded. Goodwin v. Cir. Ct. of St. Louis Cnty., 729
F.2d 541, 546 (8th Cir. 1984). Therefore, at the time Budd
allegedly made his unwelcome sexual advances to Pike, a reasonable
official in his position would have known that such conduct would
violate the equal protection right to be free from a hostile work
environment.
III. Conclusion
In summary, it is clear that the Fourteenth Amendment
prohibits state actors from employing their authority to
discriminate on the basis of sex. See Sampson, 974 F.3d at 1022-
23 (listing cases). It is equally clear that creating a hostile
environment in the workplace on the basis of sex is one form of
sex discrimination. See, e.g., Meritor Sav. Bank, FSB v. Vinson,
"repeatedly asked her for dates and used suggestive language toward her" and was "known to have used suggestive and offensive language to students in class." 233 F.3d at 55-56. Where here Budd is alleged (together with the intimidating conduct discussed at length above) to have a "reputation for flirting with clerks," "show[ing] favoritism toward[s] young, attractive, female drug court clients," making several unwelcome advances towards Pike in a short amount of time, and commenting on a female co-worker's underwear, we cannot say Budd was without notice that his actions may have violated Pike's equal protection rights.
- 44 - 477 U.S. 57 (1986). Thus, as we have previously spelled out, a
state actor who employs his or her state authority to create a
hostile work environment in the workplace violates the Fourteenth
Amendment. See Lipsett, 864 F.2d at 896–98, 901 ("If . . . a state
official directly engaged in sexual harassment or sexual
discrimination, he would, of course, be subject to [§] 1983
liability."). As we have explained, Budd is alleged to have done
just that. As a result, even though we do not have a prior case
on all fours with this one, cases that clearly establish each of
the above elements suffice. See Hope, 536 U.S. at 741
("[O]fficials can still be on notice that their conduct violates
established law even in novel factual circumstances.").
For the foregoing reasons, we vacate the district
court's grant of dismissal for Budd based on qualified immunity
and remand for further proceedings in light of this opinion. Costs
are taxed in favor of the appellant.
- 45 -
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Cite This Page — Counsel Stack
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