OPINION OF THE COURT
WILKINSON V. AUSTIN
545 U. S. ____ (2005)
SUPREME COURT OF THE UNITED STATES
NO. 04-495
REGINALD A. WILKINSON, DIRECTOR, OHIO DEPARTMENT OF
REHABILITATION AND CORRECTION, et al., PETITIONERS
v.
CHARLES E. AUSTIN et al.
on writ of certiorari to the united states court of
appeals for the sixth circuit
[June 13, 2005]
Justice Kennedy delivered the
opinion of the Court.
This case involves the process by
which Ohio classifies prisoners for placement at its highest
security prison, known as a “Supermax” facility. Supermax
facilities are maximum-security prisons with highly restrictive
conditions, designed to segregate the most dangerous prisoners from
the general prison population. We must consider what process the
Fourteenth Amendment to the United States Constitution requires
Ohio to afford to inmates before assigning them to Supermax. We
hold that the procedures Ohio has adopted provide sufficient
procedural protection to comply with due process requirements.
I
The use of Supermax prisons has
increased over the last 20 years, in part as a response to the rise
in prison gangs and prison violence. See generally U. S. Dept. of
Justice, National Institute of Corrections, C. Riveland, Supermax
Prisons: Overview and General Considerations 1 (1999),
http://www.nicic.org/pubs/1999/014937.pdf (as visited June 29,
2005, and available in Clerk of Court’s case file). About 30 States
now operate Supermax prisons, in addition to the two operated by
the Federal Government. See Brief for United States as
Amicus
Curiae 2. In 1998, Ohio opened its only Supermax facility, the
Ohio State Penitentiary (OSP), after a riot in one of its
maximum-security prisons. OSP has the capacity to house up to 504
inmates in single-inmate cells and is designed to “ ‘separate
the most predatory and dangerous prisoners from the rest of the . .
. general [prison] population.’ ” See 189 F. Supp. 2d 719, 723
(ND Ohio 2002)
(Austin I) (quoting deposition of R.
Wilkinson, pp. 24–25).
Conditions at OSP are more
restrictive than any other form of incarceration in Ohio, including
conditions on its death row or in its administrative control units.
The latter are themselves a highly restrictive form of solitary
confinement. See
Austin I,
supra, 724–725, and n.
5 (citing Ohio Admin. Code §5120–9–13 (2001) (rescinded 2004)). In
the OSP almost every aspect of an inmate’s life is controlled and
monitored. Inmates must remain in their cells, which measure 7 by
14 feet, for 23 hours per day. A light remains on in the cell at
all times, though it is sometimes dimmed, and an inmate who
attempts to shield the light to sleep is subject to further
discipline. During the one hour per day that an inmate may leave
his cell, access is limited to one of two indoor recreation
cells.
Incarceration at OSP is synonymous with
extreme isolation. In contrast to any other Ohio prison, including
any segregation unit, OSP cells have solid metal doors with metal
strips along their sides and bottoms which prevent conversation or
communication with other inmates. All meals are taken alone in the
inmate’s cell instead of in a common eating area. Opportunities for
visitation are rare and in all events are conducted through glass
walls. It is fair to say OSP inmates are deprived of almost any
environmental or sensory stimuli and of almost all human
contact.
Aside from the severity of the conditions,
placement at OSP is for an indefinite period of time, limited only
by an inmate’s sentence. For an inmate serving a life sentence,
there is no indication how long he may be incarcerated at OSP once
assigned there.
Austin I,
supra, at 740. Inmates
otherwise eligible for parole lose their eligibility while
incarcerated at OSP. 189 F. Supp. 2d, at 728.
Placement at OSP is determined in the
following manner: Upon entering the prison system, all Ohio inmates
are assigned a numerical security classification from level 1
through level 5, with 1 the lowest security risk and 5 the highest.
See Brief for Petitioners 7. The initial security classification is
based on numerous factors (
e.g., the nature of the
underlying offense, criminal history, or gang affiliation) but is
subject to modification at any time during the inmate’s prison term
if, for instance, he engages in misconduct or is deemed a security
risk.
Ibid. Level 5 inmates are placed in OSP, and levels
1 through 4 inmates are placed at lower security facilities
throughout the State.
Ibid.
Ohio concedes that when OSP first became
operational, the procedures used to assign inmates to the facility
were inconsistent and undefined. For a time, no official policy
governing placement was in effect. See
Austin I,
supra, at 726–727. Haphazard placements were not uncommon,
and some individuals who did not pose high-security risks were
designated, nonetheless, for OSP. In an effort to establish
guidelines for the selection and classification of inmates suitable
for OSP, Ohio issued Department of Rehabilitation and Correction
Policy 111–07 (Aug. 31, 1998). This policy has been revised at
various points but relevant here are two versions: the “Old Policy”
and the “New Policy. ” The Old Policy took effect on January 28,
1999, but problems with assignment appear to have persisted even
under this written set of standards. 189 F. Supp. 2d, at
728–736. After forming a committee to study the matter and
retaining a national expert in prison security, Ohio promulgated
the New Policy in early 2002. The New Policy provided more guidance
regarding the factors to be considered in placement decisions and
afforded inmates more procedural protection against erroneous
placement at OSP.
Although the record is not altogether clear
regarding the precise manner in which the New Policy operates, we
construe it based on the policy’s text, the accompanying forms, and
the parties’ representations at oral argument and in their briefs.
The New Policy appears to operate as follows: A classification
review for OSP placement can occur either (1) upon entry into the
prison system if the inmate was convicted of certain offenses,
e.g., organized crime, or (2) during the term of
incarceration if an inmate engages in specified conduct,
e.g., leads a prison gang. App. 42–43. The review process
begins when a prison official prepares a “Security Designation Long
Form” (Long Form).
Id., at 20. This three-page form
details matters such as the inmate’s recent violence, escape
attempts, gang affiliation, underlying offense, and other pertinent
details.
Id., at 20, 38–45.
A three-member Classification Committee
(Committee) convenes to review the proposed classification and to
hold a hearing. At least 48 hours before the hearing, the inmate is
provided with written notice summarizing the conduct or offense
triggering the review.
Id., at 22, 58. At the time of
notice, the inmate also has access to the Long Form, which details
why the review was initiated. See Tr. of Oral Arg. 13–17. The
inmate may attend the hearing, may “offer any pertinent
information, explanation and/or objections to [OSP] placement,” and
may submit a written statement. App. 22. He may not call
witnesses.
If the Committee does not recommend OSP
placement, the process terminates.
Id., at 62, 65. See
also Brief for Petitioners 9. If the Committee does recommend OSP
placement, it documents the decision on a “Classification Committee
Report” (CCR), setting forth “the nature of the threat the inmate
presents and the committee’s reasons for the recommendation,” App.
64, as well as a summary of any information presented at the
hearing.
Id., at 59–65. The Committee sends the completed
CCR to the warden of the prison where the inmate is housed or, in
the case of an inmate just entering the prison system, to another
designated official.
Id., at 23.
If, after reviewing the CCR, the warden (or
the designated official) disagrees and concludes that OSP is
inappropriate, the process terminates and the inmate is not placed
in OSP. If the warden agrees, he indicates his approval on the CCR,
provides his reasons, and forwards the annotated CCR to the Bureau
of Classification (Bureau) for a final decision.
Id., at
64. (The Bureau is a body of Ohio prison officials vested with
final decisionmaking authority over all Ohio inmate assignments.)
The annotated CCR is served upon the inmate, notifying him of the
Classification Committee’s and warden’s recommendations and
reasons.
Id., at 65. The inmate has 15 days to file any
objections with the Bureau of Classification.
Ibid.
After the 15-day period, the Bureau of
Classification reviews the CCR and makes a final determination. If
it concludes OSP placement is inappropriate, the process
terminates. If the Bureau approves the warden’s recommendation, the
inmate is transferred to OSP. The Bureau’s chief notes the reasons
for the decision on the CCR, and the CCR is again provided to the
inmate.
Ibid.
Inmates assigned to OSP receive another review
within 30 days of their arrival. That review is conducted by a
designated OSP staff member, who examines the inmate’s file.
Id., at 25. If the OSP staff member deems the inmate
inappropriately placed, he prepares a written recommendation to the
OSP warden that the inmate be transferred to a lower security
institution. Brief for Petitioners 9; App. 25. If the OSP warden
concurs, he forwards that transfer recommendation to the Bureau of
Classification for appropriate action. If the inmate is deemed
properly placed, he remains in OSP and his placement is reviewed on
at least an annual basis according to the initial three-tier
classification review process outlined above. Brief for Petitioners
9–10.
II
This action began when a class of
current and former OSP inmates brought suit under Rev. Stat. §1979,
42 U. S. C. §1983, in the United States District Court for the
Northern District of Ohio against various Ohio prison officials. We
refer to the class of plaintiff inmates, respondents here,
collectively as “the inmates.” We refer to the prison officials,
petitioners here, as “Ohio.”
The inmates’ complaint alleged
that Ohio’s Old Policy, which was in effect at the time the suit
was brought, violated due process. In addition the inmates brought
a claim that certain conditions at OSP violated the Eighth
Amendment’s ban on cruel and unusual punishments, but that claim
was settled in the District Court. The extent to which the
settlement resolved the practices that were the subject of the
inmates’ Eighth Amendment claim is unclear but, in any event, that
issue is not before us. The inmates’ suit sought declaratory and
injunctive relief. On the eve of trial Ohio promulgated its New
Policy and represented that it contained the procedures to be
followed in the future. The District Court and Court of Appeals
evaluated the adequacy of the New Policy, and it therefore forms
the basis for our determination here.
After an 8-day trial with extensive evidence,
including testimony from expert witnesses, the District Court made
findings and conclusions and issued a detailed remedial order.
First, relying on this Court’s decision in
Sandin v.
Conner, 515 U. S. 472 (1995), the District
Court found that the inmates have a liberty interest in avoiding
assignment to OSP.
Austin I, 189 F. Supp. 2d, at 738–740.
Second, the District Court found Ohio had denied the inmates due
process by failing to afford a large number of them notice and an
adequate opportunity to be heard before transfer; failing to give
inmates sufficient notice of the grounds serving as the basis for
their retention at OSP; and failing to give the inmates sufficient
opportunity to understand the reasoning and evidence used to retain
them at OSP.
Id., at 749. Third, the District Court held
that, although Ohio’s New Policy provided more procedural
safeguards than its Old Policy, it was nonetheless inadequate to
meet procedural due process requirements.
Id., at 736,
750–754. In a separate order it directed extensive modifications to
that policy. 204 F. Supp. 2d 1024 (ND Ohio 2002)
(Austin
II).
The modifications the District Court ordered
to Ohio’s New Policy included both substantive and procedural
reforms. The former narrowed the grounds that Ohio could consider
in recommending assignment to OSP. For instance, possession of
drugs in small amounts, according to the District Court, could not
serve as the basis for an OSP assignment.
Id., at 1028.
The following are some of the procedural modifications the District
Court ordered:
(1)Finding that the notice provisions of
Ohio’s New Policy were inadequate, the District Court ordered Ohio
to provide the inmates with an exhaustive list of grounds believed
to justify placement at OSP and a summary of all evidence upon
which the Classification Committee would rely. Matters not so
identified, the District Court ordered, could not be considered by
the Committee.
Id., at 1026.
(2)The District Court supplemented the
inmate’s opportunity to appear before the Committee and to make an
oral or written statement by ordering Ohio to allow inmates to
present documentary evidence and call witnesses before the
Committee, provided that doing so would not be unduly hazardous or
burdensome. The District Court further ordered that Ohio must
attempt to secure the participation of any witness housed within
the prison system.
Id., at 1026–1027.
(3)Finding the New Policy’s provision of a
brief statement of reasons for a recommendation of OSP placement
inadequate, the District Court ordered the Classification Committee
to summarize all evidence supporting its recommendation.
Id.
, at 1027. Likewise, the District Court
ordered the Bureau of Classification to prepare a “detailed and
specific” statement “set[ting] out all grounds” justifying OSP
placement including “facts relied upon and reasoning used.”
Id.
, at 1027. The statement shall “not use
conclusory,” “vague,” or “boilerplate language,” and must be
delivered to the inmate within five days.
Id., at
1027–1028.
(4)The District Court supplemented the New
Policy’s 30-day and annual review processes, ordering Ohio to
notify the inmate twice per year both in writing and orally of his
progress toward a security level reduction. Specifically, that
notice must “advise the inmate what specific conduct is necessary
for that prisoner to be reduced from Level 5 and the amount of time
it will take before [Ohio] reduces the inmate’s security level
classification.”
Ibid.
Ohio appealed. First, it maintained that the
inmates lacked a constitutionally protected liberty interest in
avoiding placement at OSP. Second, it argued that, even assuming a
liberty interest, its New Policy provides constitutionally adequate
procedures and thus the District Court’s modifications were
unnecessary. The Court of Appeals for the Sixth Circuit affirmed
the District Court’s conclusion that the inmates had a liberty
interest in avoiding placement at OSP. 372 F. 3d 346, 356
(2004). The Court of Appeals also affirmed the District Court’s
procedural modifications in their entirety.
Id., at
359–360. Finally, it set aside the District Court’s far-reaching
substantive modifications, concluding they exceeded the scope of
the District Court’s authority. This last aspect of the Court of
Appeals’ ruling is not the subject of review in this Court.
We granted certiorari to consider what process
an inmate must be afforded under the Due Process Clause when he is
considered for placement at OSP. 543 U. S. ___ (2004). For reasons
discussed below, we conclude that the inmates have a protected
liberty interest in avoiding assignment at OSP. We further hold
that the procedures set forth in the New Policy are sufficient to
satisfy the Constitution’s requirements; it follows, then, that the
procedural modifications ordered by the District Court and affirmed
by the Court of Appeals were in error.
III
Withdrawing from the position
taken in the Court of Appeals, Ohio in its briefs to this Court
conceded that the inmates have a liberty interest in avoiding
assignment at OSP. See Pet. for Cert. i; Brief for Petitioners i.
The United States, supporting Ohio as
amicus curiae,
disagrees with Ohio’s concession and argues that the inmates have
no liberty interest in avoiding assignment to a prison facility
with more restrictive conditions of confinement. See Brief for
United States 10. At oral argument Ohio initially adhered to its
earlier concession, see Tr. of Oral Arg. 5, but when pressed, the
State backtracked. See
id., at 6–7. We need reach the
question of what process is due only if the inmates establish a
constitutionally protected liberty interest, so it is appropriate
to address this threshold question at the outset.
The Fourteenth Amendment’s Due
Process Clause protects persons against deprivations of life,
liberty, or property; and those who seek to invoke its procedural
protection must establish that one of these interests is at stake.
A liberty interest may arise from the Constitution itself, by
reason of guarantees implicit in the word “liberty,” see,
e.g.,
Vitek v.
Jones, 445 U. S. 480, 493–494
(1980) (liberty interest in avoiding involuntary psychiatric
treatment and transfer to mental institution), or it may arise from
an expectation or interest created by state laws or policies, see,
e.g., Wolff v.
McDonnell, 418 U. S. 539, 556–558 (1974) (liberty
interest in avoiding withdrawal of state-created system of
good-time credits).
We have held that the Constitution itself does
not give rise to a liberty interest in avoiding transfer to more
adverse conditions of confinement.
Meachum v.
Fano, 427
U. S. 215, 225 (1976) (no liberty interest arising from Due
Process Clause itself in transfer from low- to maximum-security
prison because “[c]onfinement in any of the State’s institutions is
within the normal limits or range of custody which the conviction
has authorized the State to impose”). We have also held, however,
that a liberty interest in avoiding particular conditions of
confinement may arise from state policies or regulations, subject
to the important limitations set forth in
Sandin v.
Conner, 515 U. S. 472 (1995).
Sandin involved prisoners’ claims to
procedural due process protection before placement in segregated
confinement for 30 days, imposed as discipline for disruptive
behavior.
Sandin observed that some of our earlier cases,
Hewitt v.
Helms, 459 U. S. 460 (1983), in particular,
had employed a methodology for identifying state-created liberty
interests that emphasized “the language of a particular [prison]
regulation” instead of “the nature of the deprivation.”
Sandin, 515 U. S., at 481. In
Sandin, we
criticized this methodology as creating a disincentive for States
to promulgate procedures for prison management, and as involving
the federal courts in the day-to-day management of prisons.
Id., at 482–483. For these reasons, we abrogated the
methodology of parsing the language of particular regulations.
“[T]he search for a negative implication from
mandatory language in prisoner regulations has strayed from the
real concerns undergirding the liberty protected by the Due Process
Clause. The time has come to return to the due process principles
we believe were correctly established in and applied in
Wolff and
Meachum. Following
Wolff, we
recognize that States may under certain circumstances create
liberty interests which are protected by the Due Process Clause.
But these interests will generally be limited to freedom from
restraint which, while not exceeding the sentence in such an
unexpected manner as to give rise to protection by the Due Process
Clause of its own force, nonetheless imposes atypical and
significant hardship on the inmate in relation to the ordinary
incidents of prison life.”
Id., at 483–484 (citations and
footnote omitted).
After
Sandin, it is clear that the
touchstone of the inquiry into the existence of a protected,
state-created liberty interest in avoiding restrictive conditions
of confinement is not the language of regulations regarding those
conditions but the nature of those conditions themselves “in
relation to the ordinary incidents of prison life.”
Id.,
at 484.
Applying this refined inquiry,
Sandin
found no liberty interest protecting against a 30-day assignment to
segregated confinement because it did not “present a dramatic
departure from the basic conditions of [the inmate’s] sentence.”
Id., at 485. We noted, for example, that inmates in the
general population experienced “significant amounts of ‘lockdown
time’ ” and that the degree of confinement in disciplinary
segregation was not excessive.
Id., at 486. We did not
find, moreover, the short duration of segregation to work a major
disruption in the inmate’s environment.
Ibid.
The
Sandin standard requires us to
determine if assignment to OSP “imposes atypical and significant
hardship on the inmate in relation to the ordinary incidents of
prison life.”
Id., at 484. In
Sandin’s wake the
Courts of Appeals have not reached consistent conclusions for
identifying the baseline from which to measure what is atypical and
significant in any particular prison system. Compare
e.g.,
Beverati v.
Smith, 120 F. 3d 500, 504 (CA4
1997), and
Keenan v.
Hall, 83 F. 3d 1083, 1089
(CA9 1996), with
Hatch v.
District of Columbia,
184 F. 3d 846, 847 (CADC 1999). See also
Wagner v.
Hanks, 128 F. 3d 1173, 1177 (CA7 1997). This
divergence indicates the difficulty of locating the appropriate
baseline, an issue that was not explored at length in the briefs.
We need not resolve the issue here, however, for we are satisfied
that assignment to OSP imposes an atypical and significant hardship
under any plausible baseline.
For an inmate placed in OSP, almost all human
contact is prohibited, even to the point that conversation is not
permitted from cell to cell; the light, though it may be dimmed, is
on for 24 hours; exercise is for 1 hour per day, but only in a
small indoor room. Save perhaps for the especially severe
limitations on all human contact, these conditions likely would
apply to most solitary confinement facilities, but here there are
two added components. First is the duration. Unlike the 30-day
placement in
Sandin, placement at OSP is indefinite and,
after an initial 30-day review, is reviewed just annually. Second
is that placement disqualifies an otherwise eligible inmate for
parole consideration.
Austin I, 189 F. Supp. 2d, at 728.
While any of these conditions standing alone might not be
sufficient to create a liberty interest, taken together they impose
an atypical and significant hardship within the correctional
context. It follows that respondents have a liberty interest in
avoiding assignment to OSP.
Sandin,
supra, at
483.
OSP’s harsh conditions may well be necessary
and appropriate in light of the danger that high-risk inmates pose
both to prison officials and to other prisoners. See
infra, at 15–16. That necessity, however, does not
diminish our conclusion that the conditions give rise to a liberty
interest in their avoidance.
IV
A liberty interest having been
established, we turn to the question of what process is due an
inmate whom Ohio seeks to place in OSP. Because the requirements of
due process are “flexible and cal[l] for such procedural
protections as the particular situation demands,”
Morrissey v.
Brewer, 408 U. S. 471, 481
(1972), we generally have declined to establish rigid rules and
instead have embraced a framework to evaluate the sufficiency of
particular procedures. The framework, established in
Mathews v.
Eldridge, 424 U. S. 319 (1976),
requires consideration of three distinct factors:
“First, the private interest that will be affected
by the official action; second, the risk of an erroneous
deprivation of such interest through the procedures used, and the
probable value, if any, of additional or substitute procedural
safeguards; and finally, the Government’s interest, including the
function involved and the fiscal and administrative burdens that
the additional or substitute procedural requirement would entail.”
Id., at 335.
The Court of Appeals upheld the
District Court’s procedural modifications under the assumption that
Sandin altered the first
Mathews factor. It
reasoned that, “[i]n this first factor,
Sandin affects the
due process balance: because only those conditions that constitute
‘atypical and significant hardships’ give rise to liberty
interests, those interests will necessarily be of a weight
requiring greater due process protection.” 372 F. 3d, at
358–359. This proposition does not follow from
Sandin.
Sandin concerned only whether a state-created liberty
interest existed so as to trigger
Mathews balancing at
all. Having found no liberty interest to be at stake,
Sandin had no occasion to consider whether the private
interest was weighty vis-ŕ-vis the remaining
Mathews factors.
Applying the three factors set forth in
Mathews, we find Ohio’s New Policy provides a sufficient
level of process. We first consider the significance of the
inmate’s interest in avoiding erroneous placement at OSP. Prisoners
held in lawful confinement have their liberty curtailed by
definition, so the procedural protections to which they are
entitled are more limited than in cases where the right at stake is
the right to be free from confinement at all. See,
e.g.,
Gerstein v.
Pugh,
420 U. S. 103 (1975);
Wolff, 418 U. S. 539. The private interest at
stake here, while more than minimal, must be evaluated,
nonetheless, within the context of the prison system and its
attendant curtailment of liberties.
The second factor addresses the risk of an
erroneous placement under the procedures in place, and the probable
value, if any, of additional or alternative procedural safeguards.
The New Policy provides that an inmate must receive notice of the
factual basis leading to consideration for OSP placement and a fair
opportunity for rebuttal. Our procedural due process cases have
consistently observed that these are among the most important
procedural mechanisms for purposes of avoiding erroneous
deprivations. See
Greenholtz v.
Inmates of Neb. Penal
and Correctional Complex, 442 U. S. 1, 15 (1979);
Cleveland
Bd. of Ed. v.
Loudermill, 470 U. S. 532, 543
(1985);
Fuentes v.
Shevin,
407 U. S. 67, 80 (1972)
(“For more than a century the central meaning of procedural due
process has been clear: ‘Parties whose rights are to be affected
are entitled to be heard; and in order that they may enjoy that
right they must first be notified’ ” (quoting
Baldwin
v.
Hale, 1 Wall. 223, 233 (1864))). Requiring officials to
provide a brief summary of the factual basis for the classification
review and allowing the inmate a rebuttal opportunity safeguards
against the inmate’s being mistaken for another or singled out for
insufficient reason. In addition to having the opportunity to be
heard at the Classification Committee stage, Ohio also invites the
inmate to submit objections prior to the final level of review.
This second opportunity further reduces the possibility of an
erroneous deprivation.
Although a subsequent reviewer may overturn an
affirmative recommendation for OSP placement, the reverse is not
true; if one reviewer declines to recommend OSP placement, the
process terminates. This avoids one of problems apparently present
under the Old Policy, where, even if two levels of reviewers
recommended against placement, a later reviewer could overturn
their recommendation without explanation.
If the recommendation is OSP placement, Ohio
requires that the decisionmaker provide a short statement of
reasons. This requirement guards against arbitrary decisionmaking
while also providing the inmate a basis for objection before the
next decisionmaker or in a subsequent classification review. The
statement also serves as a guide for future behavior. See
Greenholtz,
supra, at 16.
As we have noted, Ohio provides multiple
levels of review for any decision recommending OSP placement, with
power to overturn the recommendation at each level. In addition to
these safeguards, Ohio further reduces the risk of erroneous
placement by providing for a placement review within 30 days of an
inmate’s initial assignment to OSP.
The third
Mathews factor addresses
the State’s interest. In the context of prison management, and in
the specific circumstances of this case, this interest is a
dominant consideration. Ohio has responsibility for imprisoning
nearly 44,000 inmates.
Austin I, 189 F. Supp. 2d, at 727.
The State’s first obligation must be to ensure the safety of guards
and prison personnel, the public, and the prisoners themselves. See
Hewitt, 459 U. S., at 473.
Prison security, imperiled by the brutal
reality of prison gangs, provides the backdrop of the State’s
interest. Clandestine, organized, fueled by race-based hostility,
and committed to fear and violence as a means of disciplining their
own members and their rivals, gangs seek nothing less than to
control prison life and to extend their power outside prison walls.
See Brief for State of California et al. as
Amici
Curiae 6. Murder of an inmate, a guard, or one of their family
members on the outside is a common form of gang discipline and
control, as well as a condition for membership in some gangs. See,
e.g., United States v.
Santiago, 46 F. 3d
885, 888 (CA9 1995);
United States v.
Silverstein, 732 F. 2d 1338, 1341 (CA7 1984).
Testifying against, or otherwise informing on, gang activities can
invite one’s own death sentence. It is worth noting in this regard
that for prison gang members serving life sentences, some without
the possibility of parole, the deterrent effects of ordinary
criminal punishment may be substantially diminished. See
id., at 1343 (“[T]o many inmates of Marion’s Control Unit
[a federal Supermax facility,] the price of murder must not be high
and to some it must be close to zero”).
The problem of scarce resources is another
component of the State’s interest. The cost of keeping a single
prisoner in one of Ohio’s ordinary maximum-security prisons is
$34,167 per year, and the cost to maintain each inmate at OSP is
$49,007 per year. See
Austin I,
supra, at 734, n.
17. We can assume that Ohio, or any other penal system, faced with
costs like these will find it difficult to fund more effective
education and vocational assistance programs to improve the lives
of the prisoners. It follows that courts must give substantial
deference to prison management decisions before mandating
additional expenditures for elaborate procedural safeguards when
correctional officials conclude that a prisoner has engaged in
disruptive behavior.
The State’s interest must be understood
against this background. Were Ohio to allow an inmate to call
witnesses or provide other attributes of an adversary hearing
before ordering transfer to OSP, both the State’s immediate
objective of controlling the prisoner and its greater objective of
controlling the prison could be defeated. This problem, moreover,
is not alleviated by providing an exemption for witnesses who pose
a hazard, for nothing in the record indicates simple mechanisms
exist to determine when witnesses may be called without fear of
reprisal. The danger to witnesses, and the difficulty in obtaining
their cooperation, make the probable value of an adversary-type
hearing doubtful in comparison to its obvious costs.
A balance of the
Mathews factors
yields the conclusion that Ohio’s New Policy is adequate to
safeguard an inmate’s liberty interest in not being assigned to
OSP. Ohio is not, for example, attempting to remove an inmate from
free society for a specific parole violation, see,
e.g.,
Morrissey, 408 U. S., at 481, or to revoke good time
credits for specific, serious misbehavior, see,
e.g.,
Wolff, 418 U. S., at 539, where more formal,
adversary-type procedures might be useful. Where the inquiry draws
more on the experience of prison administrators, and where the
State’s interest implicates the safety of other inmates and prison
personnel, the informal, nonadversary procedures set forth in
Greenholtz v.
Inmates of Neb. Penal and Correctional
Complex, 442 U. S. 1 (1979), and
Hewitt
v.
Helms, 459 U. S. 460 (1983), provide the
appropriate model.
Greenholtz,
supra, at 16
(level of process due for inmates being considered for release on
parole includes opportunity to be heard and notice of any adverse
decision);
Hewitt,
supra, at 473–476 (level of
process due for inmates being considered for transfer to
administrative segregation includes some notice of charges and an
opportunity to be heard). Although
Sandin abrogated
Greenholtz’s and
Hewitt’s methodology for
establishing the liberty interest, these cases remain instructive
for their discussion of the appropriate level of procedural
safeguards. Ohio’s New Policy provides informal, nonadversary
procedures comparable to those we upheld in
Greenholtz and
Hewitt, and no further procedural modifications are
necessary in order to satisfy due process under the
Mathews test. Neither the District Court nor the Court of
Appeals should have ordered the New Policy altered.
The effect of the Prison Litigation Reform Act
of 1995 (PLRA), in particular 18 U. S. C. §3626(a)(1)(A), in
this case has not been discussed at any length in the briefs. In
view of our disposition it is unnecessary to address its
application here.
Prolonged confinement in Supermax may be the
State’s only option for the control of some inmates, and claims
alleging violation of the Eighth Amendment’s prohibition of cruel
and unusual punishments were resolved, or withdrawn, by settlement
in an early phase of this case. Here, any claim of excessive
punishment in individual circumstances is not before us.
The complaint challenged OSP assignments under
the Old Policy, and the unwritten policies that preceded it, and
alleged injuries resulting from those systems. Ohio conceded that
assignments made under the Old Policy were, to say the least,
imprecise. The District Court found constitutional violations had
arisen under those earlier versions, and held that the New Policy
would produce many of the same constitutional problems.
Austin
I, supra, at 749–754. We now hold that the New Policy as
described in this opinion strikes a constitutionally permissible
balance between the factors of the
Mathews framework. If
an inmate were to demonstrate that the New Policy did not in
practice operate in this fashion, resulting in a cognizable injury,
that could be the subject of an appropriate future challenge. On
remand, the Court of Appeals, or the District Court, may consider
in the first instance what, if any, prospective relief is still a
necessary and appropriate remedy for due process violations under
Ohio’s previous policies. Any such relief must, of course, satisfy
the conditions set forth in 18 U. S. C. §3626(a)(1)(A).
***
The Court of Appeals was correct
to find the inmates possess a liberty interest in avoiding
assignment at OSP. The Court of Appeals was incorrect, however, to
sustain the procedural modifications ordered by the District Court.
The portion of the Court of Appeals’ opinion reversing the District
Court’s substantive modifications was not the subject of review
upon certiorari and is unaltered by our decision.
The judgment of the Court of
Appeals is affirmed in part and reversed in part, and the case is
remanded for further proceedings consistent with this opinion.
It is so ordered.
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