Lead Opinion
Elzie Ball, Nathaniel Code, and James Magee are death row inmates in the Louisiana State Penitentiary (“LSP”) and are housed in cells without air conditioning. The three sued in 2013, claiming a violation of the Eighth Amendment. Their case comes to us for the second time, after a different panel found that an Eighth Amendment violation had occurred and that injunctive relief was appropriate but that the district court had exceeded the bounds of the Prison Litigation Reform Act (“PLRA”) and Gates v. Cook,
I.
A.
The basis of the complaint is that plaintiffs have pre-existing medical conditions that render them vulnerable to heat-related injury. A detailed description of the death-row facility, located in Angola, Louisiana, can be found in Ball I, id. at 589-91. Most relevant here, the cells are without air conditioning, which has resulted in heat indices of over 100 degrees. Moreover, before suing, plaintiffs had only limited
The Ball I panel also concluded, however, that the initial injunction (the “First Plan”) violated the PLRA. Id. at 598-600. Under the First Plan, the court effectively required the state “to install air conditioning throughout death row housing” by developing “a plan to reduce and maintain the heat index in the Angola death row tiers at or below 88 degrees Fahrenheit.” Id. at 598 (quoting Ball v. LeBlanc,
Accordingly, the First Plan violated the PLRA, in part
Additionally, the relief required under the First Plan was far broader than that approved of in Gates. Id. at 600. “The Gates court did not mandate a maximum heat index.... It required particular heat measures, including fans, ice water, and showers, ‘if the heat index reaches 90 degrees or above.’ ” Id. (quoting Gates,
B.
On remand, the district court ordered the state to submit a new plan in light of this court’s mandate, whereupon the state submitted its “ ‘Second Heat Remediation Plan’ or ‘Second Plan.’ ” That plan provided that plaintiffs would have cold water for their daily, fifteen-minute showers; it gave each plaintiff ice containers that would be regularly replenished fi’om newly purchased ice machines; and it provided each plaintiff with a personal fan. Unsatisfied, plaintiffs moved to modify, urging the court to reinstate its initial plan—ie., the very plan that Ball I had explicitly rejected.
In connection with simultaneous settlement discussions, the state implemented additional, experimental relief measures, consistent with the stipulation that “any discussions or actions taken would not be admissible as evidence in this case pursuant to ... Federal Rule of Evidence 408(a)(2).” These exploratory remedies, which the court termed the “Third Plan,” are the basis for the later additional relief mandated by the modified second injunction at issue on this appeal. Moreover, the Special Master informed the parties that the district court had “advised that the implementation of any efforts or measures, on a trial basis, in this case will not be viewed as spoliation or destruction of evidence.... [Tjhese discussions are confidential and will remain so as long as the parties so request.”
The court then held two hearings. At the first, it heard evidence from Dr. Vassallo, who had testified in the initial trial and substantially reiterated her testimony. Additionally, each of the plaintiffs testified
The court issued an injunction in accordance with the Third Plan, reasoning that the Second Plan did not reduce the substantial risk of serious harm because the plaintiffs .continued to experience heat-related symptoms even during its implementation. Ball,
Accordingly, the district court imposed the Third Plan, which contained the same ■ requirements as the Second Plan but also. required the state to (1) relocate plaintiffs to another tier, close to the guards’ pod, (2) install an air vent in the guards’ pod to divert cool air to plaintiffs’ cells, (3) set up a plastic curtain around plaintiffs’ cells to trap the cool air, (4) provide each plaintiff with an “IcyBreeze” unit, which is essentially an ice chest that blows cold air, and (5) regularly replenish the IcyBreeze units with ice. Id. The injunction would take effect only when the heat index exceeds 88 degrees. Moreover, the court provided that “[i]n the event that' mold growth proliferates in the guards’ pod” caused by the Third Plan, the state'is enjoined “to seal the air vent and provide a sufficient number of additional IcyBreeze units to each plaintiff in order to maintain the heat index” to “below 88 degrees Fahrenheit.” Id. at 548. The court concluded that those measures would sufficiently lower “the in-dices to which Plaintiffs are exposed” to “below the 88-degree benchmark.” Id.
The state appealed, contending that the district court had violated the Ball I mandate by (1) ordering a maximum heat index and (2) requiring air conditioning in the form of IcyBreeze machines. The state also maintains that the court violated Federal Rule of Evidence. 408 by introducing evidence of the Third Plan.
II.
“We review de novo a district court’s application of [a] remand order, including whether the law-of-the-case doctrine or mandate rule forecloses the district court’s actions -on remand.” United States v. Teel,
“Under the law-of-the-case doctrine, an issue of fact or law decided on appeal may not be reexamined either by the district court on remand or by the appellate- court on a subsequent appeal.” United States v. Carales-Villalta,
A.
Plaintiffs suggest that the new-evidence exception applies to override the mandate rule. We disagree. The only new evidence plaintiffs can point to is the Third Plan itself and allegedly new scientific,testimony. But' all of the relevant testimony— especially Vassallo’s critical testimony— was materially unchanged.
B.
The state’s primary claim is that the district court violated the mandate rule by effectively requiring a maximum heat index. According to the state, Ball I foreclosed relitigating whether the Constitution required setting a maximum heat index. And, the state contends, the district court misapplied Ball I by finding that a maximum heat index.was necessary to remedy the constitutional violation. Cf. Nat’l Airlines,
We agree with the state. Ball I plainly foreclosed any consideration of a maximum heat index. As that panel explained, “The Gates court did not mandate a maximum heat index,” and the district court had to “limit its relief’ to the kinds of measures found in Gates. Ball I,
Relying on a maximum heat index of 88 degrees, the court concluded that the Second Plan was inadequate because it exposed plaintiffs to heat indices above that. 'And based on that same maximum, the court adopted the Third Plan because it would lower the heat indices to below 88 degrees.
On remand, the district court must reevaluate the necessity of the Third Plan even without a maximum heat index. It may well be that parts of the Third Plan are still necessary to redress the constitutional violation: ie., “housing these prisoners in very hot cells without sufficient access to heat-relief measures.” Id. at 596 (emphasis added).
The district court must ensure that any relief “is narrowly drawn, extends no further than necessary to correct the violation of the Federal right, and is the least intrusive means necessary to correct the violation.”
C.
It will help the district court and the parties for us to examine whether some of the specific measures required by the Third Plan exceed the Ball I mandate. The state suggests that the IcyBreeze machines might be construed as air conditioning—which Ball I, id. at 599, expressly forbade. The state posits that IcyBreeze machines are functionally much like air conditioning in that they produce cold air.
We disagree. As the district court rightly explained, the IcyBreeze units are basically ice chests with fans attached. The chest blows out cool air but does not emit water vapor. In short, they are similar to evaporative coolers. And Ball I specifically approved of remedial measures such as ice chests and fans. Id. More importantly, Icy-Breeze machines are compact and inexpensive, each costing just over five hundred dollars.
The rest of the injunction does not exceed the Ball I mandate. For example, the Ball I court specifically approved of requiring ice, cold showers, and fans. Id. at 599. And it allowed diverting cool air from the guards’ pod—provided, of course, that “such relief is narrowly drawn, extends no further than necessary to correct the violation of the Federal right, and is the least intrusive means necessary to correct the violation.” Id. at 598 (quoting 18 U.S.C. § 3626(a)(1)(A)). Moreover, Ball I approved the use of a temperature trigger. Id. at 600 (explaining that Gates “required particular heat measures ... if the heat index reaches 90 degrees or above”) (internal quotations omitted).
Indeed, a temperature trigger is necessary- to ensure that the injunction is inapplicable “during months when there is no heat risk to the Plaintiffs.” Id. It is by effectively requiring a temperature ceiling that the district court went astray. Accordingly, despite that we reverse based on the erroneous adoption of a maximum heat index, we leave open the possibility that, on remand, the court may require Icy-Breeze units or temperature triggers.
III.
The state posits that the district court admitted evidence of the Third Plan in violation of Federal Rule of Evidence 408.
Rule 408 precludes admitting any “conduct or ... statement made during compromise negotiations about the claim” “to prove or disprove the validity or amiount of a disputed claim or to impeach by a prior inconsistent statement or a contradiction.” FED. R. EVID. 408(a)(2). Moreover, the parties stipulated that “any discussions or actions taken [with regard to the Third Plan] would not be admissible as evidence in this case pursuant to ... Federal Rule of Evidence 408(a)(2).” The district judge even communicated, through the Special Master, that “the implementation of any efforts or measures, on a trial basis,” would hot be “viewed as spoliation or destruction of evidence” and that the discussions would remain confidential so long as the parties so requested. Accordingly, the Third Plan and any accompanying- discussions -were “conduct” and' “statement[s] made during compromise negotiations.” FED. R. EVID. 408(a)(2).
Yet Rule 408 contains a broad exception: “The court may admit this evidence for-another purpose, such as proving a witness’s bias, or prejudice, negating a contention of undue. delay, or proving an effort to obstruct a criminal investigation or prosecution.” FED. R. EVID. 408(b). Here, the other purpose relates to the court’s ongoing supervisory power over its injunction. See Plata,
Moreover, “Rule 408 should not exclude more than required to effectuate its goals, which, after all, run counter to the overarching policy favoring admission of all relevant evidence.” Lyondell Chem. Co. v. Occidental Chem. Corp.,
Because the district court' erroneously ■addressed the propriety of a maximum heat index, found that it was: necessary, and issued a modified injunction that in certain instances incorporated it, the order imposing the modified injunction is REVERSED and REMANDED. We are confident that, on remand, the district court will conscientiously proceed in a manner that is consistent with this opinion and Ball 1.
Notes
. The panel also reasoned that the First Plan violated the PLRA by requiring facility-wide relief, which ran counter to the PLRA’s requirement that relief be limited to the particular plaintiffs. Ball I,
. In Ball I, this court closed the door to air conditioning as a permissible remedy here: "[AJssuming that air conditioning is an acceptable remedy—and it is not,” the panel reasoned that any relief must be limited to the particular plaintiffs in this case. Ball I,
. Plaintiffs rightly point out that injunctions must "remain open to appropriate modification.” See Brown v. Plata,
Because, as we note below, one of those exceptions is for new and substantially different evidence, the mandate rule essentially dovetails with the issuing court's authority to modify an injunction in light of changed circumstances. See Sys. Fed’n No. 91, Ry. Emp't Dep’t, AFL-CIO v. Wright,
. Cf. League of United Latin Am. Citizens,
. Cf. Gene & Gene,
. Cf. Nat’l Airlines,
. Indeed, Judge Reavley dissented on the basis of allowing a maximum heat index. Ball I,
. For instance, the court repeatedly found that the only way to correct the Eighth Amendment violation would be to "lower the temperature and heat indices to which Plaintiffs are exposed.” Ball,
. Specifically, the court reasoned that the Second Plan would not lower the heat index but that the Third Plan would lower it to "below the 88-degree benchmark.” Id. at 545.
. "[T]he Constitution does not mandate comfortable prisons, but neither does it permit inhumane ones.” Ball I,
In accord with this reasoning, our precedent generally has eschewed setting maximum temperatures for prisons. See, e.g., Hinojosa v. Livingston,
. The district court also found that the overall cost of the Third Plan was less than $2,000. Compared to the approximately $100,000 that would be required to air-condition Plaintiffs’ portion of Tier C, the Third Plan is sufficiently inexpensive to satisfy our concerns relating to the PLRA.
. Although the state also claims that the district court violated Federal Rule of Evidence 407, that contention is undermined by Rule 407’s exceptions for feasibility and impeachment evidence. See FED. R. EVID. 407 (noting that “the court may admit this evidence for another purpose, such as impeachment or—if disputed—proving ... the feasibility of pre-cautionary measures”). On remand, the state suggested that at least some measures in the Third Plan were infeasible. Accordingly, the district court could permit introduction of such evidence to impeach that statement and demonstrate feasibility. See, e.g., Dixon v. Int'l Harvester Co.,
. See Plata,
. See FED. R. EVID. 408 advisory committee’s note to 1972 proposed rule; Lyondell,
. Indeed, the. district court did not admit any evidence of the parties’ statements or negotiations.
. The parties would benefit from clearer notice of what is and is not admissible. For instance, the district court could have communicated, prospectively, that any actions would be admissible but that statements made during negotiations would not be admissible.
Concurrence in Part
, concurring in part and dissenting in part:
I agree with the majority opinion that the injunction should be vacated to the extent it orders the state to maintain the heat index below 88 degrees. However, because, as the majority opinion recognizes, “the rest of the injunction does not exceed the Ball I mandate,” I would affirm it. The relief measures ordered, including IcyBreeze units and diverted cool air, are consistent with the less-intrusive remedies suggested in Ball 1 and extend no further than necessary to correct plaintiffs’ constitutional injury. ’
I write briefly to explain my view of the role of the mandate rule in this case. In its application of the mandate rule, the majority opinion reverses the district court’s order despite concluding that most of the relief ordered “does not exceed the Ball I mandate.” It reasons that the district court erred by “[rjelying on a maximum, heat index”—even though the injunction does not generally mandate one—because “Ball I plainly foreclosed any consideration of a maximum heat index.”
But in Ball I, our court was clear that “[t]he district court did not abuse its discretion by admitting evidence of or relying on the heat index.” Ball v. LeBlana (Ball I),
Of course, if the district court truly did conclude that the Second Plan was inadequate simply because it failed to maintain a heat index below 88 degrees, that might in practice be the same as mandating a maximum heat index and thus violate our court’s Ball I mandate (absent relevant new evidence). See United States v. Matthews,
Contrary to the majority opinion’s assertion, Ball I did not foreclose relitigating on remand whether a maximum heat index, or any other form of relief, could be necessary to remedy these plaintiffs’ constitutional injury. By explicitly noting that “Gates upheld an injunction providing narrower relief’ and that there was “no showing that the Constitution mandated more relief for these prisoners for the same prison condition in this case,”
While it is true, as the majority opinion notes, that the new-evidence exception to the mandate rule is inapplicable to issues squarely foreclosed by a previous appeal, whether a different remedy could be necessary under unaddressed new facts is not an issue that can be squarely foreclosed. Ball I held only that the evidence then in the record was insufficient to establish the necessity of facility-wide air conditioning and/or a maximum heat index of 88 degrees. To suggest, as I think the majority opinion does, that Ball Ts record-specific holding forecloses future litigation of the necessity of those remedies is to imply that the mandate rule restricts a district court’s authority, and indeed duty, to modify an injunction in light of changed circumstances. But that is contrary to established law. See, e.g., Baum,
The static quality that I fear the majority’s opinion may inject into our Eighth Amendment jurisprudence is also inconsistent with the nature of Eighth Amendment rights. Gates does not set a ceiling for permissible heat-relief measures in prisons. “No statie ‘test’ can exist by which courts determine whether conditions of confinement are cruel and unusual, for the Eighth Amendment ‘must draw its meaning from the evolving standards of decency that mark the progress of a maturing society.’” Rhodes v. Chapman,
. This is not to say that a constitutionally sufficient heat-remediation plan must maintain a heat index below 88 degrees. The district court found that the risk of serious harm due to heat "significantly increases when an individual is exposed to heat indices of 88-degrees or greater.” Ball,
. The majority opinion states that Ball I "closed the door to air conditioning as a permissible remedy here.” I agree, but only because plaintiffs did not produce any sub-stanfively new evidence demonstrating that air conditioning—in the sense of mechanical cooling—is necessary to remedy their constitutional injuries. However, I disagree to the extent that the majority opinion suggests that Ball I closed the door to air conditioning regardless of any new evidence presented. I read Ball I to narrowly say that air conditioning was not a permissible remedy absent evidence that the more modest measures approved of in Gates were insufficient for these plaintiffs. In Yates v. Collier,
