Opinion ID: 165368
Heading Depth: 2
Heading Rank: 1

Heading: Restricting Publications

Text: 16 The district court approved the $30 monthly limit on publications, the ban on gift publications, and the ban on Level I inmates obtaining publications altogether. Zimmerman, 260 F.Supp.2d at 1083. Indeed, Defendants argue that a key justification for the ban on gift publications is to enforce the $30 monthly limit. Concerning the first factor, the district court held that the regulations and policies were rationally related to legitimate governmental interests. Id. The district court determined that the regulations and policies promote internal security, act as a deterrent on future crimes or rules violations, assist in inmate rehabilitation, and are content neutral. Id. The district court concluded that it need not consider the three remaining Turner factors. It then stated without analysis that after reviewing the evidence and the arguments, none of the three factors weighed in the Plaintiffs' favor. Id. at 1084-85. With regard to PLN's due process claims based upon lack of notice of non-delivery, the district court held that notification to the inmate alone satisfied PLN's due process rights. Id. at 1086. The district court concluded that because the ban on delivery of gift publications was not based upon content, but applied to all gift publications and to Level I inmates, it was a purely procedural decision not requiring notice to the publisher. Id. 17 The district court erred in not considering the remaining three Turner factors in the context of summary judgment. Zimmerman, 260 F.Supp.2d at 1084-85. With regard to the district court's conclusion that it was unnecessary, we disagree. The district court first cited Morrison v. Hall, 261 F.3d 896, 901, 904 (9th Cir.2001), in support of its position, but that case is readily distinguishable — the court held the first factor dispositive only if no rational relationship exists between the regulation and a legitimate state interest. No rational relationship existed between a prison regulation banning incoming mail based upon postage rate (the regulation banned bulk, third and fourth class mail) and legitimate penological objectives. Id. at 904. Thus, there was theoretically no need to consider the remaining factors. 18 The district court also relied upon Scott v. Mississippi Dep't of Corr., 961 F.2d 77 (5th Cir.1992), stating that a district court did not err in failing to articulate a consideration of each of these factors. Id. at 81. In Scott, the district court held that a prison regulation requiring short hair was reasonably related to legitimate penological objectives without addressing the remaining Turner factors. The court of appeals prefaced its discussion with the observation that a court is not required to weigh evenly, or even consider, the remaining factors. Id. We think that the analysis used by the court of appeals belies its statement — the court considered the remaining factors before declaring that summary judgment was appropriate. Id. at 81-82. Even when a court finds the first factor weighs in favor of finding the regulation constitutional, it should still consider all four factors. See Beerheide v. Suthers, 286 F.3d 1179, 1185-87 (10th Cir.2002) (rejecting a prison policy against providing Kosher diets after consideration of all four factors, even though it found the first factor weighed in favor of finding the policy constitutional). 19 The district court then reviewed the evidence and the arguments with respect to these final three factors and conclude[d] that none of the factors weigh in Plaintiffs' favor. Zimmerman, 260 F.Supp.2d at 1084-85. It is not clear what standard the district court used; our de novo review of the record persuades us that there are genuine issues of material fact on these factors, as well as the first factor, in the context of the challenges made in this case. 20 1. Resolving This Case as a Matter of Law on the Basis of Similar Cases 21 Defendants have brought to our attention Rice v. Kansas, 278 Kan. 309, 95 P.3d 994 (2004), as supplemental authority, which affirmed a state trial court judgment upholding the ban on gift subscriptions and the spending limitations on publications. The Kansas Supreme Court reversed the Kansas Court of Appeals. Rice v. Kansas, 31 Kan.App.2d 964, 76 P.3d 1048, 1054 (2003) (holding that the ban on gift subscriptions was not rationally related to the legitimate penological interests of security and inmate rehabilitation), rev'd 278 Kan. 309, 95 P.3d 994 (2004). Rice did not consider the lack of publisher notification when a subscription is rejected. Equally important, Rice involved a trial to the court complete with testimony of witnesses and exhibits, not summary judgment. It did not include the expert testimony in this case. The Kansas Supreme Court reviewed the factual findings of the state trial court for support by substantial competent evidence and then whether findings supported the legal conclusions. Rice, 95 P.3d at 1002. On summary judgment, we must view the evidence and inferences therefrom in the light most favorable to the party that did not prevail — we may not resolve credibility disputes. Rice does not control the outcome of this case. 22 Plaintiffs urge us to follow Crofton v. Roe, 170 F.3d 957 (9th Cir.1999), where the panel affirmed an injunction prohibiting enforcement of a regulation that banned gift subscriptions, and only allowed publications ordered by an inmate through his facility bank account. The court rejected the strong-arming rationale offered by the warden as unsupported by any evidence. Crofton, 170 F.3d at 960. The court also recognized that the warden's argument was undercut by allowing friends and family to send money to inmates, but not constitutionally protected publications. Id. Crofton is distinguishable because it addressed only the strong-arming rationale, not the behavior management rationale. The district court in this case also distinguished Crofton on the basis that uncontroverted evidence of an incident of strong-arming had been offered, as well as the difficulty of tracing the source of gift subscriptions. Zimmerman, 260 F.Supp.2d at 1084. As we discuss below, the Plaintiffs raised serious questions about the admissibility of the materials in this record to establish the incident, and it is doubtful that those materials on their face are sufficient to justify the policy. Moreover, concerning the difficulty of identifying who paid for a subscription, the evidence in the record is not adequately developed and does not address reasonable alternatives where the Defendants would be assisted in such identification by the donor. 23 2. Genuine Issues of Material Fact-Turner Factors 24 We briefly review some of the evidence which precludes summary judgment on the $30 monthly limit on publications, the ban on gift publications, and the ban on Level I inmates obtaining publications. Plaintiff's expert, Patrick McManus, a former Secretary of the Kansas Department of Corrections with an extensive background in corrections, was of the opinion that the policies limiting access to publications serve no legitimate penological purpose (and may undermine rehabilitation), result in greater work for prison staff, are unique among jurisdictions and are unsupported by any empirical data. I R. (03-3229) Doc. 29, Ex. 15; Doc. 39, attach. 15A; see also Clement v. Cal. Dep't of Corr., 220 F.Supp.2d 1098, 1110 (N.D.Cal.2002) (discussing rehabilitative benefits associated with inmate reading and contact with the outside world), aff'd 364 F.3d 1148 (9th Cir.2004); Knecht v. Collins, 903 F.Supp. 1193, 1200 (S.D.Ohio 1995) (same). Defendants sought to minimize the import of this opinion, claiming that the expert actually supports the use of incentives. I R. (03-3229) Doc. 36 at 5, ¶ D; Doc. 37, Ex. 3 at 81. Even given the deference paid to corrections officials in these matters, we are reluctant to conclude that as a matter of law the expert's opinions require summary judgment for either party. 6 To be sure, the expert was vigorously cross-examined, and a trier of fact is free to evaluate the proper weight to be given expert's testimony. But that is not the function of summary judgment. 25 Beginning with the behavior management rationale, Defendants correctly point out that the plurality in McKune v. Lile, 536 U.S. 24, 39, 122 S.Ct. 2017, 153 L.Ed.2d 47 (2002), stated that An essential tool of prison administration ... is the authority to offer inmates various incentives to behave. The plurality was addressing whether a demotion (for non-participation in a sexual abuse treatment program) from Level III to Level I, with its attendant loss of privileges (loss of publications was not mentioned), could constitute compulsion for Fifth Amendment purposes. This statement does not equate with an endorsement of every aspect of the privilege and incentive system; review under the Turner factors is still appropriate. See Wares v. Simmons, ___ F.3d ___, ___-___, No. 04-3150, slip op. at 4-5, 2004 WL 2862335 (10th Cir. Dec. 14, 2004) (distinguishing McKune as applicable to prison restrictions challenged under the Fifth Amendment and then addressing Turner factors). 26 There are two aspects of the behavior management rationale that are unsupported and should be explored on remand. First, the Level I complete ban on publications (other than a primary religious text) for inmates promoted from Intake status to Level I for the minimum 120 days appears to be a function of status, not behavior. II R. (03-3230) Doc. 67, attach. 6 (IMPP 11-101, III(B)(2) (05/07/2001)). We fail to see how a four-month complete denial of access to constitutionally protected materials (regardless of behavior) furthers behavior management or rehabilitation. 27 Second, regarding the $30 monthly limitation on expenditures, though subject to various exceptions, the evidence in the record simply does not make an adequate link between the limitation on expenditures and increased payment of restitution, child support or court filing fees by inmates. Stated another way, if inmates are required to meet such obligations before discretionary expenditures, the $30 limitation would not appear to be a factor. See I R. (03-3229) Doc. 32, Ex. 3 at 10. Moreover, the amount of the limitation in relation to the limitations on canteen expenditures ($180 for Level III inmates) is not apparent in light of the claimed rehabilitation or restitution interest. See Id. To be sure, limits on the number of subscriptions due to space limitations, safety concerns or processing constraints might be appropriate, but that is not how the regulations have been defended and such concerns may be handled through more precise regulation. See Crofton, 170 F.3d at 960. 28 Concerning the security rationale, a consistent theme of the Defendants pleadings is that any property in a correctional facility can become a medium of exchange so all property should be treated alike; regardless of its expressive content. Most property is treated alike, however, the Defendants have submitted evidence of a policy that allows free and religious 7 publications by subscription, and a primary religious text. I R. (03-3229) Doc. 29, Ex. 16 at 10-11. The district court determined that the extent of such a policy was controverted, but viewing the evidence in the light most favorable to the Plaintiffs, assumed that it did not exist. Zimmerman, 260 F.Supp.2d at 1081 n. 1. Such a policy cuts both ways; for our purposes, it suggests inconsistency (perhaps content-based) and on remand the nature and extent of such a policy should be determined as a factual matter. 29 Though stated many ways, the prevention of strong-arming is the central concern of the security rationale. Defendants rely heavily on one example involving a Level I inmate who has been transferred to another state. In an affidavit, a corrections manager reported on a grievance he received from the inmate: 30 Inmate Lynn through grievances contends that he conspired with others to have magazine subscriptions paid for by his family members but sent to another inmate by the publisher. Additional[ly], he contends that money was also sent to the same inmate who was to in turn deliver the magazines and items purchased from the canteen to inmate Lynn. Subsequently, inmate Lynn complained that he was double crossed by the other inmate and that he did not receive the publications and that the other inmate [spent the] money for the other inmate's own benefit. Inmate Lynn in his grievances threatened the other inmate. 31 I R. (03-3229) Doc. 32, Ex. 2. Plaintiffs rightly point out that much of this is hearsay, and of questionable veracity given the author of the grievance. They contend that none of it has been substantiated. One vehicle can only carry so much baggage, and we think that were this reduced to admissible evidence in a trial, it is subject to interpretation. Viewing it in the light most favorable to the Plaintiffs, it points out that there is no limitation on outside funds that may be deposited into an inmate's facility account. As we learned at oral argument, the maximum expenditure for inmate purchases is $180 per month for Level III inmates and $110 for Level II inmates, but expenditures for purchases from other than the facility canteen are limited to $30 per month. I R. (03-3229) Doc. 10 at 3, ¶ 8; Doc. 32, Ex. 3 at 11. The $30 limit includes publications and magazine subscriptions, with an exception for a newspaper subscription. Plaintiff's expert indicated that it was far more likely that strong-arming would occur with items purchased from the canteen such as goods or consumables, as opposed to magazine subscriptions. I R. (03-3229) Doc. 29, attach. 15 at 89-90. Indeed, the prison policy would seem to permit acquisition of large items (televisions) without such restrictions, provided that an inmate had the funds in his account, and notwithstanding that there has been dealing and trading in such items. I R. (03-3229) Doc. 29, attach. 16 at 48, 186. 32 Defendants suggest that permitting unlimited funds to be sent to an inmate's account from the outside, but not permitting subscriptions, is entirely rational. They rely upon an affidavit from a prison intelligence and investigation official who states: 33 I have contacted magazine publishers in an attempt to find out who has paid for a subscription for magazines being sent to an inmate, but have been told by the publisher that the information is not available. In contrast, I found that useful investigative information can be gathered through investigations pertaining to the purchase of money orders. 34 I R. (03-3229) Doc. 32, Ex. 6 at 3. While this may be true in the abstract, neither affidavit applies this rationale to the primary example relied upon by Defendants. It does seem odd that a money order, certified check or cashier's check will be accepted without the donor's name if strong-arming is a problem. See I R. (03-3229) Doc. 29, attach. 16 at 11. Although Defendants need only prove a rational connection between the policy prohibiting gift publications and the risk, findings by the district court will better allow for consideration of this rationale. The state courts that have reviewed the strong-arming rationale have found it weak and not a well-supported argument, insufficient to withstand the Turner factors independently. Rice, 278 Kan. 309, 95 P.3d 994, 1006 (2004). 3. The Remaining Turner Factors 35
36 There are also factual disputes concerning the remaining three Turner factors that will require the taking of evidence. Concerning the inmates' other alternative means to exercise their First Amendment rights, we agree that the ability to listen to the radio or watch television is not an adequate substitute for reading newspapers and magazines. Morrison v. Hall, 261 F.3d 896, 904 (9th Cir.2001); Mann v. Smith, 796 F.2d 79, 83 (5th Cir.1986). The issue here is whether the regulations and policies here still permit a broad range of publications to be sent, received, and read. Thornburgh, 490 U.S. at 418, 109 S.Ct. 1874. The cost of subscriptions — many exceed $30 per year — may foreclose inmate access absent a family member or friend purchasing it. I R. (03-3229) Doc. 29, Ex. 16 at 74-76. Defendants contend that it is not onerous to require family members and friends to send money to the inmate whereupon the inmate can purchase a subscription. Aplee. Br. at 26 (This is the same procedure that is used if a friend or family member wishes to purchase a television or any other item for an inmate.). This does not address the $30 limitation on subscriptions, and it is unclear from where this amount originates. 37 Defendants submitted an affidavit by a deputy warden concerning measures taken to increase library access by inmates; however, the efficacy of those measures was controverted. Compare I R. (03-3229) Doc. 37, Ex. 1 with Doc. 29, Ex. 16 at 42-47, 49-50, 73-74. Plaintiffs provided evidence of limited times and limited selections, as well as missing pages and titles. Certainly a reasonable inference from this record is that Prison Legal News is not available. I R. (03-3229) Doc. 29, attach. 15 (inmate affidavits concerning non-receipt of PLN). 38
39 Defendants argue that accommodating gift subscriptions would interfere with their efforts at behavior modification because inmates might still violate rules yet receive publications. They also maintain that having all transactions occur through facility bank accounts deters strong-arming. In this regard, they assert that an inmate that is the victim of strong-arming (involving cash sent to a perpetrator's facility bank account) will more likely report it to authorities because the perpetrator will not know if corrections officials acted based upon a tip or upon a routine review of facility bank accounts. Finally, they argue that ordering publications directly from the vendor reduces processing and disposition costs because eligibility for the publication is already determined. Regardless, it appears that all incoming mail is opened. I R. (03-3229) Doc. 29, attach. 16 at 11. 40 Plaintiffs contend that the strong-arming rationale vis-a-vis constitutionally protected publications pales in comparison to that in connection with items from the canteen or items from the outside like radios or televisions. I R. (03-3229) Doc. 29 at 17, attach. 13 at 90; attach. 16 at 186. They also point out that the institution currently receives free publications, authorized publications subject to the $30 limitation, and gift subscriptions to inmates that are not delivered. I R. (03-3229) Doc. 29 at 17. They contend that merely delivering the gift subscriptions would have minimal effect. Likewise, they contend that the current $30 limitation could be raised with minimal effect. The current policy represents a change from the unrestricted policy in effect before; on remand there ought to be an evidentiary basis for the claims made by either party. 41 Also relevant, other institutions apparently permit receipt of gift publications, including the Federal Bureau of Prisons, Washington and Alabama. See 28 C.F.R. § 540.70 ([T]he Bureau of Prisons permits an inmate to subscribe to or receive publications without prior approval, and has established procedures to determine if an incoming publication is detrimental to the security, discipline, or good order of the institution or if it might facilitate criminal activity.); Sorrels v. McKee, 290 F.3d 965, 968 n. 2 (9th Cir.2002) (Washington); I R. (03-3229) Doc. 29, attach. 13 (Alabama). Though certainly not dispositive, these policies may be considered. See Martinez, 416 U.S. at 414 n. 14, 94 S.Ct. 1800. 42
43 The final factor to be considered is the absence of ready alternatives. Ready alternatives may suggest an exaggerated response to a problem. Defendants maintain that only by allowing purchases through the facility banking system may they adequately prevent strong-arming and circumvention of property restrictions attendant to the behavior modification program. Plaintiffs contend that a special purchase order (SPO) could be developed for subscriptions whereby the donor would state the cost of the publication, the source and manner of payment, and any other necessary information. Aplt. Br. at 10. 44 The Kansas Supreme Court appears to have rejected this alternative as a matter of law concluding that every SPO would require burdensome independent verification by the prison. Rice, 95 P.3d at 1012. It appears that the cash received by inmates through their facility accounts would implicate the same concerns on a larger scale. Be that as it may, the evidentiary basis in our summary judgment record indicates that KDOC maintains a database allowing it to check every publication entering the facility. I R. Doc. 53, Ex. 20 at ¶¶ 3-4 (affidavit of Defendant Patricia Keen, Mailroom Supervisor). If the publication is unsupported by an SPO, the inmate is advised through a form that he has 10 days to indicate whether the item is to be destroyed or forwarded at his expense. Id. at ¶ 4. As the record in Mr. Zimmerman's case makes clear, a facility already expends significant time and effort determining whether publications are truly free. On remand, the district court should consider ready alternatives.