STEVENS, J., DISSENTING
BEARD V. BANKS
548 U. S. ____ (2006)
SUPREME COURT OF THE UNITED STATES
NO. 04-1739
JEFFREY A. BEARD, SECRETARY, PENNSYLVANIA
DEPARTMENT OF CORRECTIONS, PETITIONER
v. RONALD BANKS,
individually and on behalf of all others similarly situated
on writ of certiorari to the united states court of
appeals for the third circuit
[June 28, 2006]
Justice Stevens, with whom
Justice Ginsburg joins, dissenting.
By ratifying the Fourteenth
Amendment, our society has made an unmistakable commitment to apply
the rule of law in an evenhanded manner to all persons, even those
who flagrantly violate their social and legal obligations. Thus, it
is well settled that even the “ ‘worst of the worst’ ”
prisoners retain constitutional protection, specifically including
their First Amendment rights. See
, e.g.,
O’Lone
v.
Estate of Shabazz, 482 U. S. 342, 348
(1987). When a prison regulation impinges upon First Amendment
freedoms, it is invalid unless “it is reasonably related to
legitimate penological interests.”
Turner v.
Safley, 482 U.
S. 78, 89 (1987). Under this standard, a prison regulation
cannot withstand constitutional scrutiny if “the logical connection
between the regulation and the asserted goal is so remote as to
render the policy arbitrary or irrational,”
id., at 89–90,
or if the regulation represents an “exaggerated response” to
legitimate penological objectives,
id., at 98.
In this case, Pennsylvania prison officials
have promulgated a rule that prohibits inmates in Long Term
Segregation Unit, level 2 (LTSU–2), which is the most restrictive
condition of confinement statewide, from possessing any secular,
nonlegal newspaper, newsletter, or magazine during the indefinite
duration of their solitary confinement. A prisoner in LTSU–2 may
not even receive an individual article clipped from such a news
publication unless the article relates to him or his family. In
addition, under the challenged rule,
any personal
photograph, including those of spouses, children, deceased parents,
or inspirational mentors, will be treated as contraband and
confiscated. See App. 176.
It is indisputable that this prohibition on
the possession of newspapers and photographs infringes upon
respondent’s First Amendment rights. “[T]he State may not,
consistently with the spirit of the First Amendment, contract the
spectrum of available knowledge. The right of freedom of speech and
press includes not only the right to utter or print, but the right
to distribute, the right to receive, the right to read and freedom
of inquiry, freedom of thought … .”
Griswold v.
Connecticut, 381 U. S. 479, 482
(1965) (citation omitted). See also
Kaplan v.
California, 413 U. S. 115, 119–120
(1973) (explaining that photographs, like printed materials, are
protected by the First Amendment). Plainly, the rule at issue in
this case strikes at the core of the First Amendment rights to
receive, to read, and to think.
Petitioner does not dispute that the
prohibition at issue infringes upon rights protected by the First
Amendment. Instead, petitioner posits two penological interests,
which, in his view, are sufficient to justify the challenged rule
notwithstanding these constitutional infringements: prison security
and inmate rehabilitation. Although these interests are certainly
valid, petitioner has failed to establish, as a matter of law, that
the challenged rule is reasonably related to these interests.
Accordingly, the Court of Appeals properly denied petitioner’s
motion for summary judgment, and this Court errs by intervening to
prevent a trial.
Turning first to the security rationale, which
the plurality does not discuss, the Court of Appeals persuasively
explained why, in light of the amount of materials LTSU-2 inmates
may possess in their cells, petitioner has failed to demonstrate
that the prohibition on newspapers, magazines, and photographs is
likely to have any marginal effect on security.
“[E]ach [LTSU–2] inmate is given a jumpsuit, a
blanket, two bedsheets, a pillow case, a roll of toilet paper, a
copy of a prison handbook, ten sheets of writing paper, several
envelopes, carbon paper, three pairs of socks, three undershorts
and three undershirts, and may at any point also have religious
newspapers, legal periodicals, a prison library book, Bibles, and a
lunch tray with a plate and a cup. Many of these items are
flammable, could be used [to start fires, catapult feces, or to
create other dangers] as effectively as a newspaper, magazine or
photograph, and have been so used by [LTSU–2] inmates.” 399
F. 3d 134, 143 (2005) (case below).
In fact, the amount of
potentially dangerous material to which LTSU-2 inmates are seeking
access is quite small in comparison to the amount of material that
they already possess in their cells. As the Court of Appeals
emphasized, LTSU-2 inmates “are not requesting unlimited access to
innumerable periodicals,” rather, they are seeking “the ability to
have
one newspaper or magazine and some small number of
photographs in their cells at one time.” 399 F. 3d, at 144
(emphasis added). In light of the quantity of materials that LTSU–2
inmates are entitled to have in their cell, it does not follow, as
a matter of logic, that preventing inmates from possessing a single
copy of a secular, nonlegal newspaper, newsletter, or magazine will
have any measurable effect on the likelihood that inmates will
start fires, hide contraband, or engage in other dangerous actions.
See,
e.g.,
Mann v.
Smith, 796 F. 2d
79, 81 (CA5 1986) (Higginbotham, J.) (invalidating a county jail’s
ban on newspapers and magazines because, “[i]n view of the jail’s
policy of allowing inmates to possess other material that was
flammable and capable of being used to interfere with the
plumbing,” the rule was “too underinclusive” to be
constitutional).[
Footnote
1]
Moreover, there is no record evidence in this
case to support a contrary conclusion. Deputy Superintendent Joel
Dickson, whose deposition is a major part of the sparse record
before us, did not identify any dangerous behavior that would be
more likely to occur if LTSU-2 inmates obtained the limited access
to periodicals that they are seeking. He did, however, make clear
that inmates could engage in any of the behaviors that worried
prison officials without using banned materials:
“Q. Wouldn’t it be fair to say that if an inmate
wants to start a fire, he could start a fire using writing paper in
combination with a blanket or in combination with clothing or
linen, bedding materials? He could do that; couldn’t he?
“A. Yes.
“Q. If he wants to throw feces, he could use a cup for that;
true?
“A. Yes.
“Q. Or if he wants to throw urine, he can use his cup to throw
the urine?
“A. Yes.” App. 196–197.[
Footnote
2]
The security-based justification
for the ban on personal photographs is even weaker. There is not a
single statement in Superintendent Dickson’s deposition suggesting
that prisoners have used, or would be likely to use, photographic
paper to start fires or hurl excrement. Cf.
id., at 196
(stating that paper products are generally used to start
fires).
Perhaps, at trial, petitioner could introduce
additional evidence supporting his view that the challenged
regulation is in fact reasonably likely to enhance security or that
respondent’s request for limited access to newspapers and
photographs would, for some as yet undisclosed reason, require an
unduly burdensome expenditure of resources on the part of prison
officials. However, the above discussion makes clear that, at the
very least, “reasonable minds could differ as to the import of the
evidence” introduced thus far concerning the relationship between
the challenged regulation and petitioner’s posited security
interest,
Anderson v.
Liberty Lobby, Inc.,
477 U. S. 242,
250 (1986). Accordingly, petitioner’s valid interest in security is
not sufficient to warrant judgment as a matter of law. See
id., at 250–251.
The second rationale posited by petitioner in
support of the prohibitions on newspapers, newsletters, magazines,
and photographs is rehabilitation. According to petitioner, the ban
“provides the [l]evel 2 inmates with the prospect of earning a
privilege through compliance with orders and remission of various
negative behaviors and serves to encourage the progress and
discourage backsliding by the level 1 inmates.” App. 27. In the
plurality’s view, in light of the present record, this rationale is
sufficient to warrant a reversal of the judgment below.
Rehabilitation is undoubtedly a legitimate
penological interest. However, the particular theory of
rehabilitation at issue in this case presents a special set of
concerns for courts considering whether a prison regulation is
consistent with the First Amendment. Specifically, petitioner
advances a deprivation theory of rehabilitation: Any deprivation of
something a prisoner desires gives him an added incentive to
improve his behavior. This justification has no limiting principle;
if sufficient, it would provide a “rational basis” for any
regulation that deprives a prisoner of a constitutional right so
long as there is at least a theoretical possibility that the
prisoner can regain the right at some future time by modifying his
behavior. See
Kimberlin v.
United States Dept. of
Justice, 318 F. 3d 228, 240 (CADC 2003)
(per
curiam) (Tatel, J., concurring in part and dissenting in part)
(noting that “regulations that deprive prisoners of their
constitutional rights will
always be rationally related to
the goal of making prison more miserable”). Indeed, the more
important the constitutional right at stake (at least from the
prisoners’ perspective), the stronger the justification for
depriving prisoners of that right. The plurality admits as much:
“If the policy (in the authorities’ view) helps to produce better
behavior, then its absence (in the authorities’ view) will help to
produce worse behavior… .”
Ante, at 9.
Not surprisingly, as Justice Thomas
recognizes, see
ante, at 5-6, this deprivation theory does
not map easily onto several of the
Turner factors, which
are premised on prison officials presenting a secondary effects
type rationale in support of a challenged regulation. For instance,
under the deprivation theory of rehabilitation, there could never
be a “ready alternative” for furthering the government interest,
because the government interest is tied directly to depriving the
prisoner of the constitutional right at issue.
Indeed, the strong form of the deprivation
theory of rehabilitation would mean that the prison rule we
invalidated in
Turner would have survived constitutional
scrutiny if the State had simply posited an interest in
rehabilitating prisoners through deprivation. In
Turner,
we held that a Missouri regulation that forbade inmates from
marrying except with the permission of the prison superintendent
was facially unconstitutional. See 482 U. S., at 97–99. We rejected
the State’s proffered security and rehabilitation concerns as not
reasonably related to the marriage ban. See
ibid. Taken to
its logical conclusion, however, the deprivation theory of
rehabilitation would mean that the marriage ban in
Turner
could be justified because the prohibition furnished prisoners with
an incentive to behave well and thus earn early release. Cf.
Safley v.
Turner, 586 F. Supp. 589, 593 (WD
Mo. 1984) (noting that, under the Missouri regulations partially
invalidated by
Turner,
482 U.
S. 78, inmates had been threatened with the loss of parole for
attempting to exercise their marriage rights).
In sum, rehabilitation is a valid penological
interest, and deprivation is undoubtedly one valid tool in
promoting rehabilitation. Nonetheless, to ensure that
Turner continues to impose meaningful limits on the
promulgation of rules that infringe upon inmates’ constitutional
rights, see
Thornburgh v.
Abbott, 490 U. S. 401, 414
(1989) (stating that
Turner’s reasonableness standard “is
not toothless”), courts must be especially cautious in evaluating
the constitutionality of prison regulations that are supposedly
justified primarily on that basis. When, as here, a reasonable
factfinder could conclude that challenged deprivations have a
tenuous logical connection to rehabilitation, or are exaggerated
responses to a prison’s legitimate interest in rehabilitation,
prison officials are not entitled to judgment as a matter of
law.
Petitioner argues that, because the various
deprivations in the levels of disciplinary confinement short of
LTSU–2 are also severe, prison officials have no choice but to
deprive inmates of core constitutional rights in LTSU–2 in order to
make LTSU–2 more unattractive than other types of segregation. The
fact that most States and the Federal Government run their prisons
without resorting to the type of ban at issue in this case, see
Brief for American Civil Liberties Union et al. as
Amici
Curiae 21,[
Footnote 3]
casts serious doubt upon the need for the challenged constitutional
deprivations.
In any event, if we consider the severity of
the other conditions of confinement in LTSU–2, it becomes obvious
that inmates have a powerful motivation to escape those conditions
irrespective of the ban on newspapers, magazines, and personal
photographs. Inmates in LTSU–2 face 23 hours a day in solitary
confinement, are allowed only one visitor per month, may not make
phone calls except in cases of emergency, lack any access to radio
or television, may not use the prison commissary, are not permitted
General Educational Development (GED) or special education study,
and may not receive compensation under the inmate compensation
system if they work as a unit janitor. Although conditions in
LTSU–1 are also harsh, in several respects unrelated to the
challenged regulation, they are far more appealing than the
conditions in LTSU–2. LTSU–1 inmates may have two visitors and may
make one phone call per month; they have access to the commissary;
they are permitted in-cell GED or special education study; they are
permitted a wider range of counseling services; and they are
eligible to obtain compensation under the inmate compensation
system. See App. 43, 102; 399 F. 3d, at 148 (case below). The
logical conclusion from this is that, even if LTSU–2 prisoners were
not deprived of access to newspapers and personal photographs, they
would still have a strong incentive to gain promotion to
LTSU–1.
In addition, prisoners in LTSU–1 do
not regain access to personal photographs, which means
that the ban on photographs cannot be justified by petitioner’s
“ ‘hope’ ” that inmates will respond to the
constitutional deprivations in LTSU–2 by improving their behavior
so they may graduate into LTSU–1, 399 F. 3d, at 142 (quoting
petitioner’s counsel). Prisoners who “graduate” out of the LTSU–1
and back into the general prison population do regain their right
to possess personal photographs, but they also regain so many
additional privileges—from ending their solitary confinement to
regaining access to television and radio—that it strains credulity
to believe that that the possibility of regaining the right to
possess personal photographs if they eventually return to the
general prison population would have any marginal effect on the
actions of prisoners in LTSU–2.
In sum, the logical connection between the ban
on newspapers and (especially) the ban on personal photographs, on
one hand, and the rehabilitation interests posited by petitioner,
on the other, is at best highly questionable. Moreover, petitioner
did not introduce evidence that his proposed theory of behavior
modification has any basis in human psychology, or that the
challenged rule has in fact had any rehabilitative effect on LTSU–2
inmates.
Ibid.[Footnote
4] Accordingly, at least based on the present state of the
record, a reasonable factfinder could conclude that prisoners would
have a sufficiently powerful incentive to graduate out of LTSU–2
even absent the challenged rule, such that the rule is not likely
to have any appreciable behavior modification effect.
The temporal character of LTSU–2 status
further undermines petitioner’s argument that the ban on newspapers
and photographs at issue in this case is reasonably related to a
legitimate penological interest. All LTSU inmates must spend 90
days in LTSU–2 status. After that, they receive a review every 30
days to determine if they should be promoted to LTSU–1. That
determination is made at the discretion of prison administrators,
and is not linked to any specific infraction or compliance.
Petitioner acknowledges that “[a]n inmate in the LTSU can remain on
Level 2 status indefinitely.” App. 26. Indeed, as of August 2002,
which is the most recent date for which there is record evidence,
roughly three-quarters of inmates placed in LTSU–2 had remained in
that status since the inception of the LTSU program over two years
earlier. See
id., at 138. See also
ante, at 9
(plurality opinion). In short, as the Court of Appeals
explained:
“[T]he LTSU Level 2 is a unique kind of segregation
with characteristics of both disciplinary and administrative
segregation. Inmates come to LTSU because of ‘unacceptable
behaviors’ in other institutions, but they have not all been
adjudicated by a hearing officer to have violated the [Department
of Corrections’] rules. The LTSU is not a place where inmates are
sent for a discrete period of punishment, pursuant to a specific
infraction, but is a place for ‘Long Term’ segregation of the most
incorrigible and difficult prisoners for as long as they fall under
that umbrella.” 399 F. 3d, at 141 (citation omitted).
The indefinite nature of LTSU–2
confinement, and the fact that as of August 2002 a significant
majority of inmates confined at LTSU–2 had remained there since the
inception of the program over two years earlier, suggest that the
prohibition on newspapers, magazines, and personal photographs is
an exaggerated response to the prison’s legitimate interest in
rehabilitation. It would be a different case if prison officials
had promulgated a regulation that deprived LTSU-2 inmates of
certain First Amendment rights for a short period of time in
response to specific disciplinary infractions. The indefinite
deprivations at issue here, however, obviously impose a much
greater burden on inmates’ ability to exercise their constitutional
rights. Absent evidence that these indefinite deprivations will be
more effective in achieving rehabilitation than shorter periods of
deprivation, a reasonable factfinder could conclude that the
challenged regulation “sweeps much more broadly than can be
explained by [prison officials’] penological objectives,”
Turner, 482 U. S., at 98, and is hence an exaggerated
response to petitioner’s legitimate interest in rehabilitation.
In short, as with regard to the current state
of the record concerning the connection between the challenged
regulation and its effect on prison security, the record is
insufficient to conclude, as a matter of law, that petitioner has
established a reasonable relationship between his valid interest in
inmate rehabilitation and the prohibition on newspapers, magazines,
and personal photographs in LTSU–2.
* * *
What is perhaps most troubling
about the prison regulation at issue in this case is that the rule
comes perilously close to a state-sponsored effort at mind control.
The State may not “ ‘invad[e] the sphere of intellect and spirit
which it is the purpose of the First Amendment of our Constitution
to reserve from all official control.’ ”
Wooley v.
Maynard, 430 U. S. 705, 715
(1977) (quoting
West Virginia Bd. of Ed. v.
Barnette, 319 U. S. 624, 642
(1943)). In this case, the complete prohibition on secular,
nonlegal newspapers, newsletters, and magazines prevents prisoners
from “receiv[ing] suitable access to social, political, esthetic,
moral, and other ideas,” which are central to the development and
preservation of individual identity, and are clearly protected by
the First Amendment,
Red Lion Broadcasting Co. v.
FCC, 395 U.
S. 367, 390 (1969). Similarly, the ban on personal photographs,
for at least some inmates, interferes with the capacity to remember
loved ones, which is undoubtedly a core part of a person’s “sphere
of intellect and spirit.” Moreover, it is difficult to imagine a
context in which these First Amendment infringements could be more
severe; LTSU-2 inmates are in solitary confinement for 23 hours a
day with no access to radio or television, are not permitted to
make phone calls except in cases of emergency, and may only have
one visitor per month. They are essentially isolated from any
meaningful contact with the outside world. The severity of the
constitutional deprivations at issue in this case should give us
serious pause before concluding, as a matter of law, that the
challenged regulation is consistent with the sovereign’s duty to
treat prisoners in accordance with “the ethical tradition that
accords respect to the dignity and worth of every individual.”
Overton v.
Bazzetta, 539 U. S. 126, 138 (2003) (Stevens,
J., joined by Souter, Ginsburg, and Breyer, JJ., concurring)
(citation and internal quotation marks omitted).[
Footnote 5]
Because I believe a full trial is
necessary before forming a definitive judgment on the whether the
challenged regulation is reasonably related to petitioner’s valid
interests in security and rehabilitation, I respectfully
dissent.
Footnote 1
Even less apparent is the security risk that
would be posed by respondent’s alternative suggestion, which is
that LTSU-2 inmates be able to access news periodicals in the LTSU
mini-law library, where inmates are already permitted to go to view
legal materials during 2-hour blocs of time pursuant to a
first-come, first-serve roster of requests. See 399 F. 3d 134,
147 (2005) (case below).
Footnote 2
See also App. 194 (“I would say there’s any
number of ways [LTSU–2 inmates hurl feces]. Oftentimes it’s with
the cups that they’re given for their drinks, things like that, any
type of container; or . . . a piece of paper or whatever wrapped up
that they can use to give a little leverage and fling the
materials.”).
Footnote 3
This is presumably the type of evidence the
plurality suggests that respondent should have presented through an
affidavit or deposition in response to petitioner’s motion for
summary judgment. See
Jacklovich v.
Simmons, 392
F. 3d 420, 428–429 (CA10 2004) (noting that plaintiffs
challenging a prison regulation that limited access to publications
had introduced such evidence and concluding that prison officials
were not entitled to summary judgment).
Footnote 4
I emphasize the lack of evidentiary support
for petitioner’s position because I believe that, in light of the
record currently before the Court, the logical connection between
petitioner’s stated interest in rehabilitation and the prohibition
on newspapers and photographs is exceedingly tenuous. When the
logical connection between prison officials’ stated interests and
the restrictions on prisoners’ constitutional rights is not
self-evident, we have considered whether prison officials proffered
any evidence that their regulations served the values they
identified. See,
e.g.,
Turner v.
Safley,
482 U.
S. 78, 98 (1987) (discussing lack of evidence in the record to
support a ban on marriage as related to prison officials’ stated
objectives).
Footnote 5
In contrast to this case, the constitutional
right at issue in
Overton involved freedom of association,
which, “as our cases have established … is among the rights least
compatible with incarceration.”
Overton v.
Bazzetta, 539 U. S. 126, 131 (2003).
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