Document: 459 U.S. 460 103 S.Ct. 864 74 L.Ed.2d 675 Lowell D. HEWITT et al., Petitionersv.Aaron HELMS. No. 81-638. Argued Nov. 8, 1982. Decided Feb. 22, 1983. Syllabus Following a riot in the Pennsylvania State Prison where he was an inmate, respondent removed from his cell and general prison population confined to administrative segregation within pending investigation into role riot. The next day received notice of misconduct charge against him. Five days after transfer Hearing Committee reviewed evidence respondent, acknowledged writing that had opportunity have version events reported, but no finding guilt made. Subsequently, criminal charges based on were filed later dropped. In meantime, Review concluded should remain as posing threat safety other inmates officials security prison. Ultimately, Committee, second report hearing testimony guard found guilty ordered him disciplinary for six months, while dropping earlier charge. Respondent sued Federal District Court, claiming petitioner officials' actions confining violated rights under Due Process Clause Fourteenth Amendment. Court granted petitioners' motion summary judgment. Appeals reversed, holding that, facts, protected liberty interest continuing reside population, which created by regulations governing administration state prisons; could not be deprived this without compliance with requirements Wolff v. McDonnell, 418 539, 94 2963, 41 935; since court uncertain whether Committee's initial proceeding satisfied such requirements, case would remanded regarding character proceeding. Held: 1. broad discretionary authority over institutions they manage, lawfully incarcerated persons retain only narrow range interests. Administrative is sort confinement reasonably anticipate receiving at some point their incarceration, does involve independently Clause. But light statutes setting forth procedures inmate segregation, did acquire remaining population. Pp. 461-472. 2. process afforded minimum 472-477. (a) view wide-ranging deference accorded administrators adopting executing policies practices needed preserve order discipline maintain security, petitioners obligated engage informal, nonadversary review information supporting respondent's confinement. P. 472. (b) Under Mathews Eldridge, 424 319, 96 893, 47 18, private interests stake governmental decision, involved, value procedural are considered determining what due Here, great consequence, guards isolating importance. Neither grounds involved decisions or judgments been materially assisted detailed adversary 473-474. (c) An evidentiary sufficient both decision represents confine completion either situation, must merely receive present views official charged deciding segregation. Measured these standards, all being Pp.476-477 655 F.2d 487 (3rd Cir.1981), reversed. LeRoy S. Zimmerman, Atty. Gen., Harrisburg, Pa., petitioners. Richard G. Fishman, College, respondent. 1 REHNQUIST, Justice. 2 Aaron Helms serving term Correctional Institution Huntingdon, Pennsylvania, (SCIH) administered He United States Middle Amendment Constitution. judgment, Third Circuit We certiorari, --- ----, 102 1629, 71 865, consider limits places remove them less desirable regimen reasons. 3 early evening December 3, 1978, prisoner penitentiary assaulted two guards. subdued assistance guards, one broken nose, another thumb. Later evening, violence erupted during group prisoners attempted seize institution's "control center." One attacked trainee, using table legs, guard's flashlight, barbells, whatever else came hand. On floor, three trying attack sergeant it necessary forcibly subdue handcuff pipes. Inmates blocks tried break grille enter prison's control center, held back. suffered cuts bruises face leg areas, reported possible skull fracture, jaw, teeth, injured collarbone. 4 This uprising eventually quelled, police units, local law enforcement officers, off-duty whose aid summoned. Several hours ended, questioning police. interview, placed restrictive confinement,1 authorities began 5 4, given "Misconduct Report" charging "Assaulting Officers Conspiracy Disrupt Normal Routine Forcefully Taking Over Control Center." briefly described factual basis contained lengthy recitation hearing.2 "Hearing Committee," consisting adjudicating alleged instances inmates, convened dispose Helms. report, panel summarized its "No reached time, insufficient information," Helms' restricted housing continued. 6 While matter probabilities seems likely appeared personally before 8 committee, we agree record allow definitive resolution issue signed copy stating "[t]he circumstance has read fully explained me," "I my part record." J.App., 41a. Likewise, admitted affidavit litigation "informed institutional committee" disposition 33a. same affidavit, however, asserted "hearing" conducted suggesting appear committee. file any controverting contention. 7 11, Commonwealth Helms, assaulting Correction Officer Rhodes January 2, 1979, SCIH's Program consisted officials, convened. met status make recommendations future unanimously segregation; affidavits members said several related concerns. seen "a danger staff if released back population," 11a; arraigned following charges, 24a; awaiting riot, 16a. Superintendant SCIH determination concurred recommendation. 15a, 18a. preliminary postponed 10, apparently lack evidence. 19, Misconduct Report respondent; officer 22 composed heard Based this, effective 1978. also decided drop guilt. February 6, dropped relating 9 Appeals, reviewing seemed doubt Constitution, prisons interest. It then hearing, governed mandated 935 (1974), determine proper.3 Being 8th see supra, 464-465, statutory framework gave rise conclude "due process" 10 may "deprive person life, liberty, property, law," well-settled limited fall provision. Liberty arise sources—the itself laws States. Meachum Fano, 427 215, 223-227, 2532, 2537-40, 49 451 (1976). argues, rather weakly, implicitly creates cell, than more austere quarters. there little question us added restraints freedom,4 think argument seeks draw can provide. 11 repeatedly manage As first point, recognized because "at best extraordinarily difficult undertaking," U.S., 566, S.Ct., 2979, "to hold . substantial deprivation imposed triggers protections subject judicial wide spectrum traditionally business federal courts." 225, 2538. our consistently refused recognize most basic prisoners. "Lawful incarceration brings about withdrawal limitation many privileges rights, retraction justified considerations underlying penal system." Price Johnston, 334 266, 285, 68 1049, 1060, 92 L.Ed. 1356 (1948). Thus, "constitutional inherent right" parole, Greenholtz Nebraska Penal Inmates, 442 1, 7, 99 2100, 2103, 60 668 (1979), "the Constitution guarantee good-time credit satisfactory behavior prison," 557, 2975, despite undoubted impact credits freedom inmates. Finally, 2538, institution unprotected itself," even though change facilities significant modification conditions confinement, characterized "grievous loss." Moody Daggett, 429 78, 88 n. 9, 97 274, 279 50 236 previously, require "[a]s long degree subjected sentence upon otherwise violative inmate's treatment oversight." Montanye Haymes, 236, 242, 2543, 2547, 466 See Vitek Jones, 445 480, 493, 100 1254, 1263, 63 552 (1980). 12 plain amenable quarters nonpunitive reasons well terms ordinarily contemplated sentence. phrase "administrative segregation," used here, appears something catchall: protect prisoner's safety, particular prisoner, up potentially disruptive groups simply await classification transfer. 37 Pa.Code §§ 95.104, 95.106, note supra. Accordingly, incarceration. conclusion finds ample support parole credits. Both subjects release life altogether, far freedoms yet neither situation These compel identical result here. 13 Despite points out create through enactment certain regulatory measures. Wolff, rejected notion right good 556-557, 2974. S.Ct (1979) (parole); (1980) (transfer mental institution). relevant affirmance Wright Enomoto, 462 F.Supp. 397 (N.D.Calif.1976), aff'd, 434 1052, 98 1223, 55 756 (1978), district segregated Hughes Rowe, 449 5, 101 173, 66 163 (per curiam), involving facts similar respects, essentially pleading exposition substantive constitutional issues involved.5 14 argues prisons, free accompanying Except extent contrary, never daily operation system conferred themselves. contrary; dealing time actually reduced period custody government; Greenholtz, dealt likewise radically transformed nature subject; Vitek, institution. 15 There persuasive why loath transpose reasoning cases just cited statute govern system. deprivations course operations minor when compared Moreover, safe efficient entrusted expertise suggest structuring warrant treatment, purposes creation entitlements "liberty," different areas. Nonetheless, here question, provisions set full margin,6 16 mere fact careful structure regulate use indicates existence cannot agree. guidelines channel decisionmaking is, experts field, salutary development. ironic embarks experimentation thereby opens door scrutiny courts, choose adopt entirely avoid strictures adoption guidelines, more, suggests restrictions alone, those courts might impose Amendment, chose require. 17 gone beyond simple guidelines. language unmistakably mandatory character, requiring "shall," "will," "must" employed, will occur absent specified predicates—viz., need control," serious disturbance." Petitioner considerable force, largely predictive, therefore meant binding requirements. balance persuaded repeated explicitly connection specific predicates demands 18 That case, decide did. are, course, flexible variable dependent examined. E.g., 12, 2106; Morrissey Brewer, 408 471, 481, 2593, 2600, 33 484 (1972). context, reminded "one automatically apply rules designed citizens open society very presented prison." 560, 2976. "Prison execution judgment internal security." Bell Wolfish, 441 520, 547, 1861, 1877, 447 (1979). convince including statement wished submit, reasonable 19 335, 903, (1976), Respondent's consequence. transferred extremely environment situation. Unlike stigma wrongdoing attach Pennsylvania's regulations. indication effect opportunities. 20 Petitioners closely prior conducting First, housed pose Second, believed wiser separate until investigations Plainly, perhaps fundamental responsibility administration. 1878; Jones North Carolina Prisoners' Labor Union, 433 119, 132, 2541, 53 629 (1977); Pell Procunier, 417 817, 823, 2800, 2804, 495 (1974); Procunier Martinez, 416 396, 404, 1800, 1807, 40 224 (1974). isolation serves important insulating witnesses coercion harm, infra. 476 21 Chapman, 452 337, 349 14, 2392, 2400 69 59 (1981), peculiarly normally left discretion administrators." assessing seriousness necessarily surrounding incident; instead, institution, recent longstanding relations between inter se, like. volatile atmosphere prison, easily constitute unacceptable himself committed misconduct; rumor, reputation, imponderable factors suffice spark disastrous incidents. like making decisions, turns "purely subjective evaluations predictions behavior," Connecticut Board Pardons Dumschat, 458, 464, 2460, 2464, 158 (1981); indeed, predict actions, entire Owing central types intuitive judgments, appreciably fostered trial-type safeguards suggested respondent.7 This, public interests, leads requires informal evidence, discussed below, feared inquiry elaborate safeguards. closest analogous world outside Gerstein Pugh, 420 103, 95 854, 43 54 (1975). There, context challenge pretrial detainment suspected acts, "provide fair reliable probable cause condition restraint liberty," required "this made promptly arrest." Id., 125, 868. suggestion, proceeding, accompanied traditional required, instead permitted existed believe detained crime. 119-123, 865-68. 23 grounded Fourth provides useful departure respect raised again inapposite context. discussion above suggests, weighty Gerstein, removing suspect unrestricted placing contrast, noted above, formula, compelling claim pre-trial detainees Gerstein. stake. To sure, real possibility flee justice; unlikely, say least, purpose misconduct. Yet For example, witnesses—whose leaves particularly vulnerable—from retribution wrongdoer, and, addition, preventing attempts persuade testify hearings. lead patterns guide, elements unnecessary much who propose 24 Ordinarily written accomplish purpose, although find permit oral presentations ineffective. So occurs, decisionmaker reviews then-available satisfied.8 procedure permits accurate assessment occurred, "value [of additional "formalities safeguards"] too slight justify holding, principle" adopted, 122, 867. 25 standards took place. Only five existing him, member's "This member organized plot actively least assault corrections officers "C" Block thru Center disrupt normal routine usurping officials." correct clearly demonstrate held, show Committee. form "had [his] record;" reason accuracy statement. plainly continued outcome investigation.9 26 27 BLACKMUN, Justice, concurring dissenting part. 28 Court's valid conviction extinguish defendant's (1980); (1979); 224, Although residuum 555-556, 2974, infringed "within authorized impose." 2538; (1976); 1263. Montanye, transfers custody" severe transferred. Because I custody, "an Clause," ante, 468. 29 entitlement process. ones (1980), (N.D.Cal.1976), dispositions clear created. state-created partially predictive criteria. declined interest, "for all," 228, 2540; "impose[d] power transfer," 243, 2547; "unfettered discretion," 466, 2465. case. 30 Having comported join Parts II III Justice STEVENS' opinion. 31 STEVENS, whom BRENNAN MARSHALL join, BLACKMUN joins, III, dissenting. 32 When solitary B-Block Pennsylvania. significantly experienced population.1 Indeed, material respects segregation.2 punitive different, periods vary, properly assumes "that substantially identical." Ante, 463, None ever substantiated manner.3 Nevertheless, segregation" seven weeks—from 1978 1979—before sentenced months "disciplinary custody." severity differences urge deprive correctly rejects contention today. so, do withstand analysis. concludes "plainly investigation." 477. 34 * principal advanced imposes limitations absolute place keep there, choose, confinement.4 argue example various day-to-day authorities, "place facility appropriate block unit appropriate; job assignment; potential movement; variety educational vocational opportunities available him." Brief 11-12. According petitioners, operational raise latitude operate manner. 35 inapplicable holds law. majority's suffers, flaw. view, "liberty interest" exists regulations5 display magical combination "substantive predicates" "explicitly language." analysis attaches significance actual assume has, essence, save created, writing, imprisons crosses limbo enters minimal chooses bestow them; today taken away tomorrow. 36 approach, consistent cases,6 dramatically squarely every retains constitutionally Though "rights diminished needs exigencies environment, wholly stripped imprisoned iron curtain drawn country. [Prisoners] property law." source law, nor itself. Rather, that: 38 "neither Bill Rights sovereign protects. infringe citizen. Of essential exercise enjoyment individual complex society. surely exclusive source. 39 thought self-evident men endowed Creator cardinal unalienable rights. protects, regulations." 230, (1976) (STEVENS, J., dissenting).7 Identifying "liberty" survives closely-controlled understandably large. obvious "[l]awful imprisonment makes unavailable ordinary citizen, 'retraction system.' " 555, quoting convinced "has pursue rehabilitative goals, minimum, attributes dignity associated tightly controlled unquestionably status, abruptly adversely; sufficiently grievous, arbitrarily. afforded." Meachum, 234, 2542 dissenting). constitutes "sufficiently grievous" protection process." 492, Miller 437 569, 573 (Neb.1977); (1972), Joint Anti-Fascist Refugee McGrath, 341 123, 168, 624, 646, 817 (1951) (Frankfurter, concurring). answering citizen enjoys All laws—whether health community, urban traffic, improve tax revenues—curtail individual's pleases. Thus license gratify whim restraint. akin characteristic "independence," played special history. Consider Professor Dworkin's term: "Mill saw independence further dimension equality; argued threatened, political denies equal voice, deny respect. Laws common monopoly, offer insult class individual; constrain man, sole ground incompetent himself, profoundly insulting They intellectually morally subservient conformists majority, entitled. Mill insisted importance moral concepts dignity, personality, insult. ideas, simpler idea license, theory ." R. Dworkin, Seriously 263 (1977). 42 regulation impair raises Clause.8 clause implicated singles adverse community attribute kind similarly situated persons.9 A convicted felon, disfavored class, right.10 persons, grievousness claimed part, relative matter: compare customary, habitual whole. general, complains shares fellow constitutionally-protected liberty.11 singled disparate disparity severe, stake.12 44 definition, norm "general population."13 segregation"—that confinement—which Not disparity, drastic.14 concededly difference segregation." pp. 479-480 wrote 397, 402 summarily "When grossly onerous maximum reasons, impairment prisoner—an requirement safeguards."15 45 focus happens interest." relevant: limiting establishing prescribed procedures, indicate recognizes substantiality deprivation. provide affects liberty. Even absence, curtailed functional equivalent isolation. 46 "touchstone process," pointed "protection arbitrary action government." 558, 2975. arbitrarily 176, majority agrees proposition, guarding arbitrariness short requires. declares proceeding16 participation custody. "An ineffective." 476. Applying standard, 1979 investigation," id., 477, review. 48 McDonnell initially segregate safeguard conduct unresolved unlike officials. education, unlikely "meaningful heard" accordance principles. Goldberg Kelly, 254, 267-269, 90 1011, 1020, 287 (1970).17 greater importance, fails adequate continuation confinement.18 opinion "[p]rison periodic inmates." 9. thus continuous isolated event.19 procedures; submission statements give chance position. sufficient, according pretext indefinite searching justifiability relies major justifications confinement: pendency Each serve 13, 177, 12. fairly assumed rationale, adequate, remains indefinitely.20 Nor judge rationale gathering fresh allowing own person. 51 risk "will ascertained assertion ignores passage time. still 1979—or year later. Conditions—including attitudes, attitudes toward each other, disruptions caused riot—simply static. 52 acknowledges progress gives guidance factor. notation record, "there ongoing validate countenance "automatic investigative suspects." Ibid.21 Investigations take varying forms. active pursuit among intimidation influence. proper kept hope turn up.22 event punished, hearing.23 lengthier detention, "investigation" pretext. Therefore, genuine substance—not paper-shuffling.24 At review, allowed consequences Concededly continue reach investigation. explain current attitude past activities circumstances, rehabilitation program, training.25 continues. Further, decides brief retained prisoner. direct decisionmaker's criteria promote consideration enable detect inaccuracies decisive impact. And obligation publicly assurance, critical appearance fairness, Board's capricious." 38-41, 2119-21, (MARSHALL, part). facilitate review26 conduct. personal undue burden noteworthy provided systems.27 Given returning benefits safeguards, am acknowledges. 56 Unfortunately, today's locates floor level below reverses endorses favor inappropriate unresolved. acknowledges, 8. 464-465. adequately disclose prolonged confinement.28 means subsequent proceedings, mandates respectfully dissent. adopted promulgated Bureau Corrections correctional facilities—disciplinary § 95.107. Other jurisdictions follow pattern. CFR 541. Confinement violation. 95.106(2). poses protection. 95.104. regulations, somewhat 95.107(a)(2) 95.107(b)(2), although, elsewhere, infra, identical. informed soon possible, silent represented member, request willing, capable giving testimony, hazard. 38a-39a. facing advance call documentary defense, unless doing so jeopardize goals; presenting illiterate complex; impartial tribunal; relied tribunal. 563-572, 2978-82. motions submitted rebut, hardships Among things, denial access vocational, educational, recreational, programs, exercise, error dismiss failure pro se complaint alleging hearing. Observing "[w]e assurance prove entitling relief," 12-13, expressly stated "[o]ur intended express merits." 177. Rowe factually dissimilar "[t]here [was] suggestion emergency conditions" "offense violence." Section 95.104(b)(1) Title Code allegedly Class Close Maximum Custody approval routinely application 95.103 title. 95.103(b)(3) title provides: temporarily determined disturbance others. shall notified completed. begin immediately violation occurred. If concern abated ten days. Directive states Police summoned institution: Pending arrival Police, representative shall: Place suspects resident complainants protective otherwise, security. complying [37 95.103] carried period. Such four (4) warrants delay possible." administrator's probably hindered. wary legal liability, spend mechanically cumbersome, marginally helpful managing wisely. transfer, taking account relatively insubstantial inmate. statements. segregation—and knowledge tensions, singularly unsuited "proof" highly structured depends circumstances aware of—most typically, situations, task operating considerations; tensions aftermath investigation, forth. shows continued, 13a-15a. occurring month dispel notions uncontroverted follows: "While programs Exercise minutes often week. Showers virtually nonexistent January. changing clothes once twice week changed Had gym yard able approximately day. got few showers occasional visit. otherwise." App. 35a. challenged description. Compare Penn.Code 95.106(1) 95.106(2) (virtually describing custody); Tr. Oral Arg. 9-10 (Attorney General's response question). large number individuals "were area designated close. physical cells Affidavit Dennis Erhard, Deputy Superintendent Treatment defendants' 12a. Mr. Erhard served 14a (record Helms's location Disciplinary Close); 16a (affidavit "in placement). voluntarily abandoned 1979. officer, sustained. 31a. regarded unproven. misconduct, supported uncorroborated hearsay testimony—"literally, evidence." 487, 503 (CA3 1981) holding. 6. 17. Huntingdon Eighth Amendment's prohibition cruel unusual punishments. existed, status. issued consent decree litigation. I.C.U. Shapp, C.A. 70-3054 (E.D.Pa. May 1978). Pa.B. 2682 (Sept. 30, 463-467, 2463-65, 11-12, 2106, 225-228, 2538-40, erroneously decided, 222, 2537; 238, 2545. ex rel. Twomey, 479 701, 712-713 (CA7 1973) (Stevens, J.), cert. denied, 414 1176, 900, (1974) ("The punishment entails ethical tradition accords intrinsic worth individual. 'Liberty' 'custody' mutually concepts.") liberties right, speech religion, classwide violate "Liberty extends pursue, except objective." Bolling Sharpe, 347 497, 499-500, 693, 694, 884 (1954). define exactness guaranteed [by Amendment], included things definitely stated. Without doubt, denotes bodily contract, occupations knowledge, marry, establish home bring children, worship God dictates conscience, generally enjoy orderly happiness men." Meyer Nebraska, 262 390, 399, 625, 626, 67 1042 (1923), quoted Regents Roth, 564, 572, 2701, 2706, 548 556, cf. Lee Washington, 390 333, 994, 1212 (1968) (statutes racial jails Amendment). category include listed affected change, acutely uniquely bear appropriateness implementation. Therefore absent. may, issues, proscription punishments, First religious freedom. disagree assumption "creates" recognize, limit scope Just Whether formal unwritten practice, establishes baseline how customarily treats opinion, uses words indeed all. Hence, system, engaged misbehavior, adequate. Similarly, offender probation "derived solely offenders sentences parole." 23-25, 2111-13 part); 30-31, 2115. denied parole. 471 2462 dissenting) (when 75% commutation sentence, commutation). 32-34 (briefly history penitentiaries; norm, gradually realized advantages congregated system). Commonwealth's is. "The therein move civilian clothing, items specifically hazard, 571-572, 2982, (due applies "represents confinement"); 2547 (question him.") contend otherwise. allows flexibility cope emergencies. acknowledge "quelled" day, returned completely normal. 55a-56a, 68a. expired. prompt justified. Cf. ("Segregation postponement apprehended conditions.") whatsoever riot—another face-to-face presentation unduly burdensome. Their cites Goss Lopez, 419 565, 729, 725 (1975), model procedure, noting "elaborate hearing" neutral party, "but 'an give-and-take student disciplinarian' facts.' 27-28, Ingraham Wright, 430 651, 1401, 1423, 711 (1977) (WHITE, fixed term, practice sometimes continues periods. Ruiz Estelle, 1265, 1365, 1367 (SDTex.1980) ("months years"); Mims 457 247, 249 (WDPa.1978) (five years); Hoss Cuyler, 256 (ED Pa.1978) (more 403-404 (various year). 1975, "Conditions everywhere else, future. Since subsisting periodically meaningful way population." Kelly 525 394, 400 (CA8 1975). Accord, Drayton Robinson, 519 545, 551-552 (MD Penn.1981); 1366; 290-291. Amicus Curiae 30: "Since imposition confluence fairness effectiveness seem reassessments regular intervals assure 'reasons placement cease exist.'" Some incident, others, provide, days." 95.104(b)(3). police, BC-ADM 004 IV(B)(1) charge, "given date receipt 95.103(d)(1). petitioner's "investigative concerns [that] might, cases, prehearing reversed lower court's dismissal factfinding proceedings. Lt. Buddy B. Kyler, prepared notarized informant eighteen write charges. "In come revealing acts plaintiff handled single hearing." Assistant Attorney General recommended proceedings completed 82a-84a judgment). 400-401 (ND Cal.1976), (1978). plaintiffs "becoming militant" spending Black Muslims, influential Mexican having "leadership qualities," "suspected leader Nuestra Familia." completed, adjudicated. 91-92, 281, (constitutional revocation includes hearing; putting cloud indeterminate period). addition worsening detention indirectly affect depriving participate programs. 48, 35; 35a; Bar Michigan, Prisons (prisoner extended loses assigned work program assignments). directly answer assertion, pre-release 10. request, 95.103(g)(2), 95.103(h); 31a, 41a (notification informing seek review). "arbitrary therefore, review." 95.103(g)(4) Operations, Services, Classification Supervisor, must: "interview days, Custody. warranted counselor's notes recommendations, psychological psychiatric reports available, observations interview. determines warranted, rationale." mandate weekly necessary. reviews, counselor entries record. 95.103(g)(3). separated findings 95.107(f). procedures. 29-30: "After in-person (at appear) 30-day conducts 'address[ing] adjustment surroundings self, inmates.' 541.20(c). government's brief, disputing receives staff's 29-30. 13a-14a, discuss "until involvement 3rd incident."

Category: 3