Legal Document

474 U.S. 193 106 S.Ct. 496 88 L.Ed.2d 507 Theodore CLEAVINGER, Marvin Marcadis, and Tom P. Lockett, Petitioners,v.David SAXNER Alfred Cain, Jr. No. 84-732. Argued Oct. 16, 1985. Decided Dec. 10, Syllabus Respondent federal prison inmates were found guilty by the prison's Discipline Committee, composed of petitioner officials, encouraging other to engage in a work stoppage charges, ordered be placed administrative detention forfeit specified number days "good time." On appeals Warden Regional Director Bureau Prisons, respondents released from all material relevant incident question was expunged their records. They later paroled released. But meantime, they brought suit Federal District Court against petitioners, alleging violation various constitutional rights seeking declaratory injunctive relief damages. After initially dismissing complaint on ground that petitioners entitled absolute immunity liability, Court, reconsideration, reinstated suit. The case tried jury, which had violated respondents' Fifth Amendment due process rights, awarded Appeals affirmed, rejecting petitioners' claim for immunity. Held: Petitioners are only qualified Pp. 199-208. 727 F.2d 669 (CA7 1984), affirmed. BLACKMUN, J., delivered opinion BRENNAN, MARSHALL, POWELL, STEVENS, O'CONNOR, JJ., joined. REHNQUIST, filed dissenting opinion, BURGER, C.J., WHITE, joined, post, p. 208. Kenneth Steven Geller, Washington, D.C., petitioners. G. Flint Taylor, Jr., Chicago, Ill., respondents. Justice BLACKMUN Court. 1 This presents issue whether members Institution who hear cases charged with rules infractions, absolute, as distinguished qualified, personal damages liability actions violative United States Constitution. 2 * Respondents David Saxner January 1975 at Correctional Terre Haute, Ind. serving 4- 5-year sentences, respectively, each within 18 months possible release date. Each soon appear before parole board. prison-conduct record good. 3 6, 1975, William Lowe, Negro inmate Haute died hospital. He first four die there ensuing 7-month period. A protest Lowe's death took place 7 8. Saxner, white served "jailhouse lawyer," respondent librarian African New World Cultural Society, assert neither them participated stoppage. See Brief 1. Each, however, active gathering information about conditions hospital, passing press, Members Congress, Saxner's attorney.S1 February 14, cited separate Incident Reports App. 50, 52. immediately segregation, is, removed general population, assigned cell an unused part 28 CFR § 541.20(b) (1985). 4 following day, given copy Prisons Policy Statement 7400.5c (subject: Inmate Discipline) (Oct. 4, 1974). 25-49. signed written notice explained his hearing held Committee. Among these right have charge; member staff represent him; except where institutional safety would jeopardized, present hearing, call witnesses, submit documentary evidence; receive explanation committee's decision. Id., 54.2 Although does not so disclose, we assume Cain received similar time. 5 Committee 21. committee Cleavinger, Associate Warden, chairman; correctional supervisor; chief management.3 6 accompanied Ralph Smith, counselor, whom selected him. reading charge reviewing introduced Report three documents cell. These were, "press release" sent 50 newspapers; four-page document detailed interviews medical treatment hospital; letter American Civil Liberties Union lawyer, Saunders, enclosed two discussed conditions, litigation behalf Lowe family inmates, communications obtaining local counsel. press release, among things, advocated approval prisoners' union amnesty those 81. Neither investigating officer nor charging any guard called witness. testified affidavits several inmates. His request he permitted confirm did encourage denied such testimony cumulative. While admitting mailed it persons outside without authorization, asserted innocence specific referred. 60, 71. Also, although specifically charged, unauthorized use mail possession contraband, advocating illegal union. 84 transfer another institution recommended. 57. 8 Cain's same day prior hearing. 64. J.R. Alvarado, representative. advised rights. produced. Two (Saxner's Saunders manuscript concerning "Ideals Proposals Prisoner Labor Union") introduced. encouraged work. requested cross-examine accusers, but no witness called. 9 At conclusion him and, possessing "inflammatory . supporting disruptive conduct institution." 65. 96 also Ibid. 10 appealed institution. detention, restored good time, directed respondent's carry notation "the reflect unfavorably" upon consideration parole. 74, 77. refused, expunge into population March 11 next Prisons. ruled disciplinary report, action incident, thereto record. 79, 80. Thus, end, after appeals, obtained sought. definite interval, been condemned (improperly turned out) "administrative detention." 12 April 1975. granted June December. 13 Meanwhile, Southern Indiana institution's supervisor. Their third amended alleged defendants under First, Fourth, Fifth, Sixth, Eighth Amendments. 12. Bivens v. Six Unknown Fed. Narcotics Agents, 403 388, 91 1999, 29 619 (1971). sought compensatory 22. 14 motion dismiss functioning officers Nearly years later, 1981, light its controlling court's decision Mary Ramsden, 635 590 1980), Wisconsin juvenile facility 23. 15 then jury. In response special interrogatories, jury rights.4 $1,500 petitioner, or total $4,500; thus subjected totaling $3,000. 9. 16 Petitioners' subsequent judgment notwithstanding verdict denied. appealed, contending, that, discipline committee, immunity.5 17 Seventh Circuit, divided vote, Benson, (1984). It foreclosed Circuit precedent denying state capacity. 670. Redding Fairman, 717 1105, 1117 (1983), cert. denied, 465 1025, 104 1282, 79 685 (1984); Chavis Rowe, 643 1281, 1288, sub nom. Boles Chavis, 454 907, 102 415, 70 225 (1981); F.2d, 600. rehearing en banc vote 4. Pet. Cert. 36a. Because importance issue, because rulings, consistent Jihaad O'Brien, 645 556, 561 (CA6 1981), claimed some conflict Fourth Ward Johnson, 690 1098 (1982), certiorari. 469 1206, 105 1166, 318 II 19 A. has observed: "Few doctrines more solidly established common law than judges acts committed judicial jurisdiction." Pierson Ray, 386 547, 553-554, 87 1213, 1217, 288 (1967). pronounced followed this doctrine century. Bradley Fisher, Wall. 335, 20 L.Ed. 646 (1872), judge may accountable act taken jurisdiction. Such applies "however erroneous been, however injurious consequences proved plaintiff." 347. "Nor can exemption civil affected motives performed." supra, shielded municipal sued 42 U.S.C. 1983 clergymen convicted unconstitutionally peaceful racial segregation. stressed essential protect integrity process. U.S., 554, S.Ct., 1217. And Stump Sparkman, 435 349, 98 1099, 55 331 (1978), once again enunciated principle, despite "informality [the judge] proceeded," ex parte feature proceeding. 363, n. 12, 1108, With firmly established, extended certain others perform functions closely associated examiner afforded "There little doubt role modern is 'functionally comparable' judge." Butz Economou, 438 478, 513, 2894, 2914, 57 895 (1978). Full prosecutors. Yaselli Goff, 275 503, 48 155, 72 395 (1927), aff'g 396 (CA2 1926); Imbler Pachtman, 424 409, 424-426, 984, 992-993, 47 128 (1976). true including police officers, testify proceedings. Witnesses "integral parts process" accordingly, Briscoe LaHue, 460 325, 103 1115, 75 (1983). noted adoption country principle grand jurors. 423, 20, 991, 20. 509-510, 2912. 21 decided officials enjoy matter law, see Martinez California, 444 277, 284, 100 553, 558, 62 481 (1980), appellate courts held. See, e.g., Sellars Procunier, 641 1295, 1303 (CA9), 1102, 678, 644 Evans Dillahunty, 711 828, 830-831 (CA8 1983); rel. Powell Irving, 684 494 1982). 22 B. President when predicated official act. Nixon Fitzgerald, 457 731, 744-758, 2690, 2698-2706, 73 349 (1982). Harlow 800, 807, 2727, 2732, "For executive general, our make plain represents norm." Scheuer Rhodes, 416 232, 94 1683, 40 90 (1974) (State Governor aides); supra (Presidential (Cabinet member, acknowledging, "those exceptional situations demonstrated public business," 507, 2911); Procunier Navarette, 434 555, 855, 24 (1978) (state officials); Wood Strickland, 420 308, 95 992, 43 214 (1975) (school board members); (police officers). Spalding Vilas, 161 483, 631, 780 (1896) (Postmaster General), Barr Matteo, 360 564, 1335, 1434 (1959) (Government officials), full afforded, both antedated Bivens. event, "federal seek unconstitutional must bear burden showing policy requires scope." 506, 2911; 808, 2733. 23 C. said "in 'functional' approach law." 810, 2734. "[O]ur clearly indicate analysis rests functional categories, status defendant." 342, 1119. Absolute flows rank title "location Government," 511, 2913, nature responsibilities individual official. mentioned factors, others, characteristic considered determining contrasted immunity: (a) need assure harassment intimidation; (b) presence safeguards reduce private means conduct; (c) insulation political influence; (d) precedent; (e) adversary process; (f) correctability error appeal. 512, 2913. III We turn application principles facts case. Judge Cudahy Appeals, concurring 673, factors persuaded what felt absence procedural safeguards, rare character immunity, it. 674-676. 25 Petitioners, response, seemingly order negate significance point out proceedings possess few court proceedings, largely immune type review. Calandra, 414 338, 345, 613, 618, 38 (1974); Costello States, 350 359, 76 406, 397 (1956). observe prosecutorial decisionmaking subject formalities trials; instead, prosecutor exercises broad generally unreviewable discretion. Yet jurors prosecutors finally argue Court's teach shields if performs adjudicatory function comparable judge, sufficient importance, proper performance subverted 26 When evaluate members, mind benefit well concerned. sense, do determine accused innocent leveled credibility weigh render recognize, too, societal dispute-resolution function. administration difficult undertaking best, concerns many proclivity antisocial, criminal, violent conduct. Hudson Palmer, 468 517, 526-527, 3194, 3200-3201, 82 393 acknowledge refrain intimidation. nonmeritorious come evidence this. Tension between described "unremitting." Wolff McDonnell, 418 539, 562, 2963, 2977, 41 935 (1974). "Retaliation much theoretical possibility." underestimate fact, usually modest suable unprotected, perhaps disinclined serve committee. 1108. 27 conclude, nonetheless, concerns, extent grounded, overstated context violations. perceive "classic" one, describe Tr. Oral Arg. 9-10. Surely, unlike "independent"; say ignore reality. professional judges. are, albeit longer file, temporarily diverted usual duties. 1115 (dissenting opinion). employees direct subordinates warden reviews fellow employee lodges sit judgment. determination often one co-worker inmate. obvious pressure resolve dispute favor employee. Ponte Real, 471 491, 2192, 2204-2205, 85 553 (1985) old situational problem relationship keeper kept, hardly conducive truly performance. equate membership service traditional "neutral detached" body. Morrissey Brewer, 408 471, 489, 92 2593, 2604, 33 484 (1972). impartial essentially " 'as arm sentencing judge.' 1302, 15, quoting Bricker Michigan Parole Board, 405 F.Supp. 1340, 1345 (ED Mich.1975). penalty context, constitutionally required provide greater protection 561, 2977. relate membership, school (1975). "adjudicators process," "judge violations regulations so, appropriate sanctions violations." 319, 999. Despite board's adjudicative extent, concluded protected noting suggestion deterrence-from-service factor, "absolute justified since sufficiently increase ability exercise discretion forthright manner warrant remedy students intentional otherwise inexcusable deprivations." 320, 1000. 30 That observation equally applicable here. true, course, "prisoner schoolchild stand wholly different circumstances, separated harsh criminal conviction incarceration." Ingraham Wright, 430 651, 669, 97 1401, 1411, 51 (1977). even school-children parents prisoner's motive institute harassing lawsuits, "little Amendment," openness supervision community afford significant kinds abuses protects prisoner." 670, 1412. If schoolroom, should jailhouse door closed, open, little, any, way observation. 31 vigor formality prerequisite refer well-known summary issuance search warrants temporary restraining orders, setting bail. sound note practicality stating recasting tribunals mold formal bodies inimical needs security. procedures fully comply with, indeed exceed, requires, "judicial" qualify "would undone" practical afforded. 30. asserted, contain ample ensure avoidance correction errors. qualifications service; inmate; representation member; hearing; present; requirement record; availability review levels (demonstrated levels); ultimate 2241. Finally, insufficient members. 32 persuaded. To sure, line easy structure. case, difficult, readily conclude fall qualified-immunity side line. Under Bureau's effect time hearings, contained Administrative Procedure Act present. prisoner lawyer independent nonstaff There compel attendance witnesses cross-examine. discovery. cognizable proof. No verbatim transcript Information presented hearsay self-serving. independent. sum, identification kind depth occasioned 34 Qualified available That, balance opposing considerations. less-than-absolute small consequence. As Butz, 507-508, 2911, insubstantial lawsuits recognized quickly disposed of, firm Rules "will harassed frivolous lawsuits." 508, 2911. All follow clear simple requirements supra; reason fear substantial liability. widely imposed responsibilities. Mitchell Forsyth, 472 2806, 86 411 "[I]t unfair hold liable knows know acting insisting awareness limits will unduly interfere judgment." 506-507, 588-589, 1349 (BRENNAN, dissenting); 411, 2012 (Harlan, judgment). Gray, Private Wrongs Public Servants, Calif.L.Rev. 303, 339 (1959). dictated otherwise. 35 business maintain institutions. fact support every step prisoners lead breakdown Routine automatic arguments made rejected Johnson Avery, 486-487, 89 747, 749-750, 718 (1969); Lee 390 333, 334, 994, 1212 (1968); Ex Hull, 312 546, 61 640, 1034 (1941). 36 likewise impressed argument anything less result flood burdens expense argument, before. pronouncements 813-820, 2735-2739, perspective, necessity pretrial discovery Our experience teaches us vast majority resolved alone. Of whose complaints survive initial dismissal, attempt fewer still actually obtain Turner, Prisoners Sue: Study Section Suits Courts, Harv.L.Rev. 610 (1979). alleviated Government finds himself defendant represented, becomes acute, alternatives it: might decide indemnify official; Congress could Tort Claims Act; consider putting preside hearings. 37 ordered. 39 THE CHIEF JUSTICE WHITE join, dissenting. concludes like board, therefore Concededly hearings include adherence surround I read making dispositive think peculiar environment counsel officials. Litigation conducted lawyers, trained suppress dislike contempt for, particular try lawyers clients homes hotels government building morning, go lunch, return afternoon, recesses parties hotels. least disappointed ruling animus hostility toward Inside walls, considerably atmosphere appears obtain. serious threatened loss quite emotions appearing does, example, plant manager employer National Relations judge. "Prison life, relations themselves staff, ever-present potential confrontation conflagration." Jones North Carolina Prisoners' Union, 433 119, 132, 2532, 2541, 53 629 observations Preiser Rodriguez, 475, 93 1827, 439 (1973), State prisoners: 44 "The supervise confinement far intimate citizen. For prisoners, eating, sleeping, dressing, washing, working, playing done watchful eye State, possibilities Fourteenth boundless. What citizen landlord, employer, tailor, neighbor, banker becomes, prisoner, State." 492, 1837. 45 (1974), major applying Due Process Clause said: 46 take tightly controlled peopled chosen violate lawfully incarcerated doing so. Some offenders, recidivists repeatedly employed very attain ends. regard property designed orderly reasonably safe life. Guards co-exist contact. unremitting. Frustration, resentment, despair commonplace. Relationships varied complex unwritten code exhorts inform 561-562, Not run higher tensions exacerbated environment, simply constraints deter large litigating drop hat. held, free access lawbooks legal assistance. Bounds 817, 1491, 52 great forma pauperis status, entitles statutory filing fees. profitably occupy litigants outside, feeling gain virtually nothing lose, prolific groups population. increasing -type suits recent years: 18,856 year ending 30, 1984, compared just 6,606 Office Annual 143, Table foregoing, slightly balancing ledger latter surrounded protections litigants, governed precedent. former operate volatile decisions quickly, likely object system set up offers officials' mistakes, thereby permits vindication claims manner, believe grant meets 49 Here look speed relief. Both appeared 21, issued ruling, Warden. most requested, ordering segregation restoring forfeited records adversely affect chances 11, final mention entire proceeding, granting months. Price Johnston, 334 266, 68 1049, 1356 (1948), "[l]awful incarceration brings necessary withdrawal limitation privileges retraction considerations underlying penal system." 285, 1060. common-sense laid down decisions. respectfully dissent. activity apparently resulted visit Assistant Surgeon General lawsuit last hospital deaths. Green Carlson, 581 1978), aff'd, 446 1468, 64 (1980). cross-examination, nonagency specify standard proof punishment. Solicitor advises us, 3, By regulation, chairman department-head level, higher. 541.16(b) reporting officer, person played having referred, "where witnessed whole part." Judgment entered contest aspect sole raised whether, challenged concede—the "clearly rights" 7,

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