F I L E D
United States Court of Appeals
Tenth Circuit
PUBLISH JUL 14 1998
UNITED STATES COURT OF APPEALSPATRICK FISHER
Clerk
TENTH CIRCUIT
DOUGLAS CHARLES SHAFFER,
Plaintiff-Appellant,
v.
JAMES SAFFLE, Acting Director of
the Oklahoma Department of
Corrections; BOBBY BOONE,
No. 97-7107
Warden of the Mack Alford
Correctional Center; MARCUS
POGUE Medical Services
Administrator of the Mack Alford
Correctional Center; WILLIS VIEUX,
Chief of Security of the Mack Alford
Correctional Center,
Defendants-Appellees,
Appeal from the United States District Court
for the Eastern District of Oklahoma
(D.C. No. 96-CV-610-P)
Submitted on the Briefs:
Douglas Charles Shaffer, Pro Se.
W.A. Drew Edmondson, Attorney General of Oklahoma, and Tracy Folsom
Milner, Assistant Attorney General, for Defendants-Appellees.
Before SEYMOUR, Chief Judge, BRORBY and BRISCOE, Circuit Judges.
SEYMOUR, Chief Judge.
Douglas C. Shaffer, a pro se state prisoner, brought this action under 42
U.S.C. § 1983 asserting that requiring him to provide a DNA sample pursuant to
Oklahoma law violates his constitutional rights. Specifically, Mr. Shaffer alleges
that the operation of the state statutes denies him his rights under the First,
Fourth, and Fifth Amendments, and under the Ex Post Facto Clause. The case
was referred to a magistrate judge, who dismissed it for failure to state a claim
upon which relief can be granted under Fed. R. Civ. P. 12(b)(6). Mr. Shaffer
appeals and we affirm. 1
“A pro se litigant’s pleadings are to be construed liberally and held to a less
stringent standard than formal pleadings drafted by lawyers.” Hall v. Bellmon,
935 F.2d 1106, 1110 (10th Cir. 1991). Dismissal for failure to state a claim is
proper only when it is clear beyond doubt that the complaint, viewed most
favorably to the plaintiff, cannot be read to state a valid claim. Id. at 1109-10.
After examining the briefs and appellate record, this panel has determined
1
unanimously to honor the parties’ request for a decision on the briefs without oral
argument. See Fed. R. App. P. 34(a); 10th Cir. R. 34.1.9.
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The Oklahoma statutes at issue establish a DNA Offender Database in
which DNA samples from individuals convicted of specified offenses are
collected and maintained for the purpose of identifying and prosecuting
perpetrators of “sex-related crimes, violent crimes, or other crimes in which
biological evidence is recovered.” Okla. Stat. tit 74, § 150.27a(A) (1996). Mr.
Shaffer was convicted of second degree murder in violation of Okla. Stat. tit. 21,
§ 701.8, which is an enumerated offense to which the DNA Database provisions
apply. Prisoners like Mr. Shaffer, who were convicted of an enumerated offense
and are in custody after July 1, 1996, must provide a sample prior to release. See
Okla. Stat. tit. 22, § 991a(I) (1997).
Mr. Shaffer argues that requiring him to comply with the statutes violates
his rights under the Fourth and Fifth Amendments. This court recently upheld
similar state statutes against challenges both under the Fourth Amendment, see
Schlicher v. (NFN) Peters, I & II, 103 F.3d 940 (10th Cir. 1996); Boling v.
Romer, 101 F.3d 1336, 1340 (10th Cir. 1996), and under the Fifth Amendment,
see id. In rejecting the Fourth Amendment challenge, we held that while
obtaining DNA samples implicates Fourth Amendment concerns, it is reasonable
in light of an inmate’s diminished privacy rights, the minimal intrusion involved,
and the legitimate government interest in using DNA to investigate and prosecute
crimes. See Schlicher, 103 F.3d at 942-43; Boling, 101 F.3d at 1340. We
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rejected the Fifth Amendment self-incrimination claim because DNA samples are
not testimonial in nature. Id. We see no meaningful basis upon which to
distinguish those cases and we accordingly reject Mr. Shaffer’s argument based
on these Amendments.
Mr. Shaffer also contends that application of the statutes to him violated his
rights under the Free Exercise Clause of the First Amendment because it forced
him to submit to a practice that will require him to deny his faith and condemn
him to eternal damnation. 2 He argues that the state has not shown a substantial
interest in implementing the statute sufficient to outweigh his religious rights, and
that he is entitled to an exception from the statute’s application. “[T]he Supreme
Court [has] held that a law that is religion-neutral and generally applicable does
not violate the Free Exercise Clause even if it incidentally affects religious
practice.” Thiry v. Carlson, 78 F.3d 1491, 1496 (10th Cir. 1996) (citing
Employment Div., Dep’t of Human Resources v. Smith, 494 U.S. 872, 878-79
(1990)). In so doing, the Court concluded that such laws may be enforced even
absent a compelling governmental interest. See Smith, 494 U.S. at 882-885. In
addition, the Court pointed out that the only decisions barring application of a
2
Mr. Shaffer has complied with the statute and provided a DNA sample.
He seeks injunctive relief requesting that the sample be destroyed, as well as
damages for the pain and suffering incurred when he was physically forced to
comply and for the mental suffering incurred when he was forced to violate his
religious tenets.
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neutral, generally applicable law under the First Amendment have been cases
involving “the Free Exercise Clause in conjunction with other constitutional
protections,” id. at 881, a situation not present here. Mr. Shaffer does not
contend the statute here is not neutral or generally applicable, nor has he alleged
the statute was applied to him differently because of his religious beliefs.
Accordingly, Mr. Shaffer has failed to state a claim for denial of his First
Amendment rights. See Thiry, 78 F.3d at 1496. 3
Mr. Shaffer argues in addition that applying the statute to him violates the
Ex Post Facto Clause because the law became effective after he was convicted.
Other circuits have upheld similar statutes against the same challenge, holding
that because such statutes have a legitimate, non-penal legislative purpose, they
do not run afoul of the Ex Post Facto Clause under these circumstances. See Rise
v. State of Oregon, 59 F.3d 1556, 1562 (9th Cir. 1995); Gilbert v. Peters, 55 F.3d
237, 238-39 (7th Cir. 1995). We agree. We also reject Mr. Shaffer’s argument
that the statute is not to be applied retroactively under Landgraf v. USI Film
Prods., 511 U.S. 244 (1994). In that case, the Court addressed a situation in
which the legislature had not stated its intent with respect to the retroactive
3
Mr. Shaffer also brought a claim under the Religious Freedom Restoration
Act. As the court below pointed out, the Supreme Court recently held that the
Act’s restrictions on state and local government actions affecting religion are
unconstitutional, see City of Boerne v. Flores, 117 S. Ct. 2157 (1997), and Mr.
Shaffer’s claim under that statute is therefore precluded.
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application of the provisions at issue. See id. at 255-63. Here, to the contrary,
the statute governing the establishment of the DNA database directs that DNA
samples are to be taken in accordance with Okla. Stat. tit. 22, § 991a, see Okla.
Stat. tit. 74, § 150.27a(D) (1997), which in turn requires samples from anyone in
custody after July 1, 1996, who was convicted of a specified offense, see Okla.
Stat. tit. 22, § 991a(I) (1997). The legislature has thus expressed its intent that
the statute apply to prisoners like Mr. Shaffer, and the Ex Post Facto Clause is not
implicated by that application.
The order dismissing this action is AFFIRMED.
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