Document: 425 U.S. 308 96 S.Ct. 1551 47 L.Ed.2d 810 Joseph BAXTER et al., Petitioners,v.Nicholas A. PALMIGIANO. Jerry J. ENOMOTO Petitioners, v. John Wesley CLUTCHETTE al. Nos. 74-1187 and 74-1194. Argued Dec. 15, 1975. Decided April 20, 1976. Syllabus Respondent state prison inmates in No. 74-1194 filed an action for declaratory injunctive relief alleging that procedures used disciplinary proceedings violated their rights to due process equal protection of the laws under Fourteenth Amendment. The District Court granted relief, Appeals affirmed, holding minimum notice a right respond are inmate faced even with temporary suspension privileges, at hearing who is denied privilege confronting cross-examining witnesses must receive written reasons or denial will be deemed prima facie evidence abuse discretion, facing discipline violation might also punishable criminal has counsel (not just counsel-substitute) hearing. 74-1187, upon being charged inciting disturbance, was summoned before authorities informed he prosecuted law, should consult attorney (although would not permitted present during hearing), had remain silent but if did so his silence held against him. On basis hearing, which respondent remained silent, placed "punitive segregation" 30 days. He then damages claiming Due Process Clause reversed, proceeding advised questioned further once exercises right, such may him time future proceedings, where charges realistic possibility consider whether defense counsel, requested, proceeding. Held: required by respective Courts either inconsistent "reasonable accommodation" reached Wolff McDonnell, 418 539, 94 2963, 41 935, between institutional needs objectives constitutional provisions general application, premature on case records. Pp. 314-234. (a) Prison do "have retained appointed hearings." Wolff, supra, 570, 2981, 959. 314-315. (b) Permitting adverse inference drawn from inmate's not, its face, invalid practice, there no record invalidating it as applied 74-1187. 316-320. (c) Mandating have confrontation cross-examination except officials can justify grounds satisfy court effectively pre-empts area left sound discretion officials, 320-323. (d) Where any respondents were subject "lesser penalty" loss rather appeared all "serious misconduct," acted prematurely extent opportunity when privileges. 323-324. 510 F.2d 534; 74-1194, 613, reversed. Ronald Dwight, Providence, R. I., petitioners. Stephen Fortunato, Jr., Pawtucket, respondent. Mr. Justice WHITE delivered opinion Court. 1 These cases questions hearings reach our recent decision 935 (1974). 2 * 3 Respondents California penal institution San Quentin. They 42 U.S.C. § 1983 seeking Quentin Amendment Constitution.1 After evidentiary substantial relief. Clutchette Procunier, 328 F.Supp. 767 (N.D.Cal.1971). Ninth Circuit, one judge dissenting, 497 809 (1974), entitled him, heard witnesses, confront cross-examine face neutral detached body, based solely presented provided counsel-substitute consequences "serious," prolonged periods "isolation." Id., 821. panel Appeals, after granting rehearing reconsider conclusions light intervening reaffirmed initial judgment again dissenting modified prior several respects. 613 (1975). helping "will discretion," 616, reaffirming view We certiorari set oral argument 421 1010, 95 2414, 44 678 4 Palmigiano Rhode Island Adult Correction Institution serving life sentence murder. correctional officers "inciting disturbance disrupt(ion) (prison) operations, resulted riot." App. 197 (No. 74-1187). Disciplinary Board availed himself rules Board's days classification status downgraded thereafter. 5 Constitution.2 First "was only insofar use immunity statements made within because access hearing." 487 1280, 1292 (1973). certiorari, vacated remanded consideration decided interim, 908, 3200, 1155 remand, affirmed opinion. 534 proceedings. With respect held: 6 "(I)n possibility, let into proceeding, requires Miranda (v. Arizona, 384 436, 86 1602, 16 694 (1966)) prosecution." 537. 7 II 8 In drawing comparisons Gagnon Scarpelli, 411 778, 93 1756, 36 656 (1973), we said: 9 "The insertion inevitably give more adversary cast tend reduce utility means goals. There delay very practical problems providing sufficient numbers place held. At this stage development these prepared hold proceedings." U.S., S.Ct., L.Ed.2d, 10 Relying (1966), Mathis United States, 391 1, 88 1503, 20 381 (1968), both representation involve conduct crime services render connection themselves, make perhaps later state-court prosecutions same conduct. 11 Neither Miranda, nor Mathis, bearing question "(p)rison (which) part 556, 2979, 956. never held, decline now, requirements those met pretrial admissible other than cases. 12 see reason alter conclusion recently Plainly, therefore, error failing advise contrary, I. e., State furnish own. III 13 testify could Circuit self-incrimination Fifth Amendment, applicable States forbids inferences failure testify. challenges determination, sustain challenge. 14 As often "not protects individual involuntarily called witness prosecution privileges answer official put civil criminal, formal informal, answers incriminate Lefkowitz Turley, 414 70, 77, 316, 322, 38 274, 281 proceedings; compelled testimonial them they offered "whatever supplant privilege" "waive immunity." 85, 326, 286; Garrity New Jersey, 385 493, 87 17 562 (1967); Gardner Broderick, 392 273, 1913, 1082 (1968); Sanitation Men Comm'r, 280, 1917, 1089 (1968). line Lefkowitz, pursuant statute, sought interrogate individuals about job performance contractual relations State; insisted waiver object incriminating prosecutions; and, refusal waive, automatically terminated employment eligibility contract State. Holding constitutionally seek compel testimony been immunized threats serious economic reprisal, invalidated challenged statutes. 15 plainly ruled instruct jury draw guilt defendant's facts relevant case. Griffin California, 380 609, 85 1229, 106 (1965). This paralleled existing statutory policy id., 612, 1232, 108, governing rule overwhelming majority States. Wigmore, Evidence 425-439 (McNaughton rev. 1961). transgress foregoing principles. No pending Palmigiano. contrary Griffin, asked waive privilege. notified privileged chose. electing here, consequence found guilty infraction charged. Under decisions "must manifested proceeding." Morris Travisono, 310 857, 873 (R.I.1970). It thus undisputed itself insufficient support Board. respect, different circumstances Garrity-Lefkowitz decisions, submit interrogation e privilege, standing alone without regard evidence, There, treated final admission guilt. Here, incriminated him; far reveals, given value warranted surrounding does smack attempt penalize exercise advice decisionmakers merely reflection significance choice silent. Had desired Palmigiano's over objection, assume extended whatever Federal Constitution. occurred nevertheless refused answer, surely warranted. Insofar concerned, situation little advises notifies weighed balance. 18 Our consistent prevailing forbid parties actions refuse response probative them: "does preclude claimed party Civil cause." 439 cases, stakes higher State's sole interest convict, prohibits prosecutor suggesting treat substantive prisons, however, important interests conviction crime. extend context. 19 note here position adopted rooted policies serves. fair trial derogates improves chances accurate decisions. Thus, aside self-incrimination, consistently recognized proper accusation fact barred Clause. Adamson 332 46, 67 1672, 91 L.Ed. 1903 (1947); ex rel. Bilokumsky Tod, 263 149, 153-154, 54, 56, 68 221, 223 (1923); Raffel 271 494, 46 566, 70 1054 (1926); Twining 211 78, 29 14, 53 97 (1908). See Hale, 422 171, 176-177, 2133, 2136, 45 99, 104 (1975); Gastelum-Quinones Kennedy, 374 469, 479, 83 1819, 1824, 1013, 1020 (1963); Grunewald 353 391, 418-424, 77 963, 981-984, 931, 950-954 (1957). Indeed, Brandeis declared, speaking unanimous Tod case, involved deportation: "Silence most persuasive character." L.Ed., 224. And last Term "(f)ailure contest assertion . considered acquiescence natural question." 176, 104.3 short permitting practice; Palmigiano.4 IV 21 "the allowed call documentary unduly hazardous safety goals." noted "(o)rdinarily, basic hearing; unrestricted population carries obvious potential disruption interference swift punishment essential carrying out program institution." Ibid. like delineated circumscribed necessary "mutual accommodation Constitution application." 2975, 950. Within reasonable limitations context, suggested, require, committee "state refusing witness, irrelevance, lack necessity, hazards cases." 2980, 22 careful distinguish limited hearings. expressly that, comparison "(c)onfrontation greater interests." 567, 957. 23 "If furnishing matter course, trials, considerable havoc inside walls. Proceedings longer unmanageability." 24 therefore concluded "(t)he better course time, period practices diverse somewhat experimental, leave matters stateprisons." Id.at 569, 958. 25 Although acknowledging strictures cross-examination, went require provide writing absent explanation, forth related prevention four concerns mentioned discretion. 26 Wolff. characterized "useful," denying defense. suggestion which, pointed out, stand footing inherent danger availability adequate bases them. 567-568, 2980-2981, 957-958. appeal judges, preempts officials.5 add us officials. V 27 Finally, notice, response, statement deprived F.2d, 615. issue ; indeed, "We suggest, today's deprivation good imposition lesser penalties privileges." 572 n. 19, 2982, 960. Nor find now us. None named plaintiffs privileges; brought allegations type 558, 952, trigger therein outlined. supra. Without record, unable degree "liberty" stake some sort procedural safeguards penalties" stake. To circumstances, prematurely, cannot stand.6 28 said McDonnell: "As nature changes years, exist view, represent 572, retreat view. However, records judgments accordingly Reversed. Judgments STEVENS took 31 BRENNAN, whom MARSHALL joins, concurring part. 32 I agree join Part Court's opinion, leaves open absence safeguards. 33 Parts simply reaffirm continue believe approved Clause, dissent stated my Brother Marshall, 580, 2986, 964. 34 confronts Wolff1 reaches erroneous conclusion. acknowledges invoke compulsory Ante, holds "permitting practice," 320, reconciled numerous government penalizing exercising privilege; precedents ask elicit information, happened sanction remaining violates That principle reliance context 35 frequently recognized: two primary interrelated facets: Government compulsion self-incriminating statements, see, E. g., Counselman Hitchcock, 142 547, 195 (35 1110), permit elicited compulsion. See, Haynes Washington, 373 503, 1336, 513." Murphy Waterfront Comm'n, 378 52, 57 6, 84 1594, 1598, 678, 683 (1964). 37 weeks ago well guarantees Garner 424 648, 653, 1178, 1182, 370, 376 (1976) (emphasis supplied). Malloy Hogan, 1489, 653 (1964), "essential mainstay" "American system prosecution," 7, 1493, 659 person unless chooses speak unfettered own will, suffer penalty silence." 8, 659. Spevack Klein, 511, 514, 625, 574 (1967). Chief Term: "This always broadly construed (the Amendment) assure produce accused action." Maness Meyers, 419 449, 461, 584, 592, 574, 585 Further, "a protected rightfully until least derived therefrom subsequent defendant. Kastigar 406 441, 92 1653, 212 (1972)." 282 473, 597, 592 (White, J., result). excludes obtained defendant operative instituted: bars using obtain information person. Moreover, encompass lead conviction, includes link chain prosecution. Hoffman 341 486, 71 814, 818, 1118, 1124 (1951)." 585. misconduct innocent person, fearing revelation connect commit, protection. " 'The serves protect otherwise ensnared ambiguous circumstances.' 421, 982, 953 (1957), quoting Slochower Education, 350 551, 557-558, 76 637, 641, 100 692, 699 (1956). Griswold, Today 10-22 (1955); Ratner, Consequences Exercising Privilege Against Self-Incrimination, U.Chi.L.Rev. 472 39 Accordingly, Palmigiano, 317, crucial posed lurked background, significant element compelling disclose up distinction recognition motions suppress remedy violation. 460, 463, 584. 40 aspect relied beginning (1967), leading says today "this different," 318, authority convict offense policemen investigation police corruption. told claim discharged did. forfeiture "free admit, deny, answer." Lisenba 314 219, 241, 62 292, 166, 182 (1947). Subsequent convictions ground unconstitutionally admitted trial. day Garrity, honor subpoena calling production certain financial records; self-incrimination. disbarred disbarment infringing 659, makes 'costly.' 515, 629, 577.2 614, 106, 109 threat professional standing, reputation, livelihood powerful forms compulsion," 516, 628, 578, inferring misconduct, invocation 43 policeman grand investigating warned immunity, so, statute discharged. power discharge employees coerce disclosure evidence. 279, 1916, 1087. day, turned ground.3 involving noncriminal concerned architects corruption relating contracts. result cancellation contracts ineligibility five years. suit, grant answers. 79, 323, 282.4 A "substantial sanction" form constitute meaning 82, 324, 284. penalty, imposed infringe follows settled jurisprudence impermissible impose forgo begs "declin(ing) rule" ante, 319. Affirmance Appeals' Spevack, Gardner, Men, Lefkowitz. attempted wash. sure, automatic (RI 1970),5 "at case," results, privilege," But premise sanction, costly Plainly punitive segregation less job. Even accepting follow silence, sanctioning charged, allows something condemned prohibited For extent, solely,6 106; Jackson, 390 581-582, 1209, 1216, 138, 146 48 inconsequential free determine weight attached silence. value, deny attach individual's develop fully IV. 49 Garrity-Lefkowitz. anything proceeding.7 real coercive. among types degrees 'inducement sort.' Bram 168 532, 548, 183, 189, 568, 575 (1897). inadmissible confession secured mild whip refusal, allow suspect wife confessed." forced choose similar penalty. Since overrule group constituted 50 draws "prevailing them." 318. prevail, approval today. Some commentators suggested Comment, Penalizing Litigant Who Invokes U.Fla.L.Rev. 541, 546 (1972); 1968, U.Ill.L.F. 75; Note, Use Self-Incrimination Litigation, 52 Va.L.Rev. 322 (1966). difficulty private parties. violating civil, puts knowledge 1181, 376; 284, 1919, 1092. 51 Such mandated fundamental purposes Amendment: preserve justice preventing circumventing abusing powers. 376. Only few ago, "That undermined deliberately seeks avoid burdens independent disclosures." "One functions persons, suspected powers investigation, arrest, punishment. solicitude persons desire maintain balance governed gave rise adoption provisions." 472, 484 (1957) (footnote omitted). suit parties, brings battle awesome government, implicate considerations underlying "deliberately seeks" incriminatory questions, allowing benefit aids, indeed encourages, governmental circumvention system. contrast, affirmance obedience commands Cf. Karathanos, 531 26, (CA2 1976) (Oakes, concurring); Amsterdam, Perspectives Fourth 58 Minn.L.Rev. 349 54 Nothing suggests procedure gather prosecutions. prosecuted, indicates instances. intend initiate problem readily avoided hearings.8 55 affirm unnecessary addressing quilt. Court, 319, express disagreement. repeatedly emphasized foundation. expose probative. 56 221 (1923), quoted deportation deportee failed alien. prove citizen. Alienage crime, alienage. permissible since incrimination, implication predicament quotes 99 Hale "(i)n force." 104. force increases "would likely dispute untrue accusation." assertion, Hale's court. excerpts force. 931 particularly Halperin's guilt, "wholly innocence." 952. "Halperin pleaded counsel." 422, 983, 953. Similarly, maintained counsel. Halperin compelled, voluntary, witness; represented counsel; summon witnesses; testifying him." situation; 321-322. Flint Mullen, 499 100, 103 (CA1), cert. denied, 1026, 505, 301 (1974).9 59 accord overlooks hornbook teaching "that Innocent men." 952 original). If insensitivity portends still erosion courts legislatures remember afford protections liberties law. Michigan Mosley, 423 96, 120-121, 321, 332, 313, 334 (1975) (Brennan, dissenting). Contrary interpretation Constitution's Harris York, 401 222, 643, (1971), Supreme California's prohibition accused's inculpatory custodial announced said, People Disbrow, Cal.3d 101, 113-115, 127 Cal.Rptr. 360, 368, 545 P.2d 272, 280 (1976): declare California. pause responsibility separately define citizens despite conflicting interpreting federal Constitution."10 60 cannot, line, prisoner shed gate." 581, 2987, 965 (Marshall, dissenting); Jackson Bishop, 404 571, 576 (CA8 1968) (Blackmun, J.). another regrettable disregard Frankfurter's admonition faithful Founding Fathers' purpose reflect history: 61 command registers advance liberty 'one great landmarks man's struggle civilized.' Time shown evils safeguard directed needless unwarranted. interpreted hostile niggardly spirit. Too many, advised, shelter wrongdoers. too commit perjury scant patriots sponsored Bill Rights condition acceptance ratifying States." Ullmann 426-427, 497, 500, 518 (1956) (footnotes George L. "on behalf, Rule 23(b)(1) 23(b)(2) Rules Procedure, behalf defendants' jurisdiction affected policies, acts defendants complained herein." Plaintiffs' Amended Complaint, Record 74-1194). class action, 767, 769-770 (N.D.Cal.1971), certify contemplation Fed.Rules Civ.Proc. 23(c)(1) 23(c)(3). certification identification class, properly action. Indianapolis School Comm'rs Jacobs, 420 128, 848, 74 paroled 1972, years filed; conceded moot Tr. Oral Arg. 74-1194), p. 34. died filed. stipulated June 21, intervention Alejandro Ferrel plaintiff suit. 285 led assigned "segregation" unspecified number infraction. Ferrel, argument, incarcerated raise issues B. Amicus curiae involves constitutionality regulations Corrections Authority hence three-judge court, review direct appeal. promulgated negotiated settlement litigation Island. 857 (1970). become appear statewide effect. although regulating detail hearings, mention, way other, itself. complaint mention challenge regulation Authority; injunction enforcement identified rule. What declared enjoined. convened. validity Authority's forbade controlling quite aware attacks necessitate Souza 498 1120, 1121-1122 (CA1 1974), evidently doubt us, 2281 applicable. 3A 1042 (Chadbourn 1970), reads follows: "Silence, omissions, negative inconsistent: (1) Silence, etc., constituting impeaching statement. assert fact, it, amounts effect non-existence fact. (§ 1071 infra ). explanations, indicating truth belief tenor; 'prima facie' inconsistency. "There common classes cases: "(1) Omissions legal what naturally asserted circumstances. "(2) anything, positiveness, formerly narrating, elsewhere, dealt with. "(3) Failure take all, so. "In much depends test is, question?" (Emphasis original.) (Footnotes omitted.) shows copies Inmate Report superior's report, containing Captain Baxter read charge summarized reports. reports, seen, elected them, supplementary reports filing All documents introduced 197-202 (unmodified point), finding determinations hearing" order "(f)or meaningful." 820. Because point fall rejected premise. peculiar environment setting, determination come restrictive excluded consideration, inasmuch valuable incident assist tailoring enhance stating, diminish "there 'written factfinders reasons' 564, 955. Petitioners holdings "neutral detached" 570-571, 2981-2982, 959-960. issue, moot, (Ferrell) personal outcome litigation. citation (1975), inapposite. outcome, formally certified 129, 849, 77. 311 1. Jacobs applies mootness, deal whether, example, appeals district propriety need addressed, outcome. Youakim Miller, 231, 236-237 2, 1399, 1402, 701, 706-707. quotation plurality Justices, Fortas, concurred judgment, "agree(d) asserting self-incrimination," 520, 631, proposition. wrote enjoyed agreed result, employee. sanitation Commissioner alleged improprieties concerning duties discharge. Three answered charges, juries doing jobs "(T)he intended accomplish specifically immunized." 325, imposes substantial-evidence standard appellate findings nothing supports assumption meet standard. 317; cf. 313 2. provides discipline, crumbles. imply petitioners concede more, notes, consisted whole, inspires confidence conviction. him: "What Nick?" request presence previously denied. When renewed thereafter asked: "Do you board?" Consistent earlier statement, replied not. excused room; back minutes sentenced days' segregation, possible downgrade classification. clear observed prison's rules, each "statements probably affirmative trial." Brief pp. 4-5. event, uncertain warning hardly requirements. Infra. exacerbates difficulty, complex area. transactional remove problem, Piccirillo 400 562, 527, 596, 605 (1971) dissenting), presently 84, (1973); (1972). authorized White fails persuade prospective "is (judge's) contempt." 474, 599, (concurring Fowler Vincent, 366 1224, 1228 (S.D.N.Y.1973); Sands Wainwright, 357 1062, 1093 (M.D.Fla.1973). order, given. must, existence immunity. rational believing assured neither fruits 598, 592. cited likewise 1013 (1963). reasons. "deportation drastic premised directly mere alien's 1020. particular 480, 1825, address instant (1947), Those premise, overruled (1926), remains law doubt. 175 4, Grunewald, 233 1956), (Frank, rev'd, Other Commonwealth Triplett, 462 Pa. 244, A.2d Santiago, Haw. 254, 492 657 (1971). addition, impeachment notwithstanding Harris. Butler State, 493 S.W.2d 190 (Tex.Cr.App.1973). Jordan, U.S.C.M.A. C.M.R. counterpart specific result; public re Pillo, N.J. 176 (1952); 229, 245 337 36, (Clifford, part).

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