Lead Opinion
Plaintiff, a black California inmate, brings suit under 42 U.S.C. § 1983, claiming he was denied equal protection because, during three prison lockdowns, he was not allowed to resume his prison job until after similarly-situated inmates of other races.
K. Jamel Walker is serving a life sentence in the custody of the California Department of Corrections, in Calipatria State Prison. The prison is made up of four separate facilities or yards — A, B, C and D; Walker is housed in Facility A. In April 1994, Walker was assigned to be a clerk in the Facility A Law Library. He was initially paid at an hourly rate of nineteen cents; he now earns the maximum rate of thirty-two cents and is Lead Law Library Clerk. Walker asserts that he is not and never has been a gang member.
Calipatria State Prison has a history of significant racial tension and violence. On May 2, 1994, for example, several Hispanic and black inmates were involved in a fight, as a result of which the prison was placed on lockdown. As part of the lockdown, all prisoners were restricted to their cells and not permitted to exercise. However, only Hispanic and black inmates were also excluded from the critical-workers list — a category of workers approved to continue attending their job assignments despite the lockdown. Walker was not permitted to return to his library assignment until June 1, 1994 — three weeks, he alleges, after a white inmate who served as Assistant Clerk had been allowed back to work. Similar incidents of violence between Hispanic and black prisoners took place on November 28,1994, and December 9,1994.
At issue here are the lockdown procedures that followed three separate incidents in 1995.
The critical-workers list was further expanded on May 15 to allow more inmates to attend previously-identified assignments. As of May 15, prison officials had discovered no further significant information to add to the preliminary investigation, and it had “become apparent that the May 5th incident was an isolated incident in that a majority of the Facility ‘A’ inmate population was not aware of the planned attack.” Id at 3. That day, inmates identified as associates of the East Coast Crips were transferred out of the prison.
The second incident took place on June 18, 1995, in Facility B. Three black inmates attacked staff members in front of the dining room, as a result of which three staff were injured. The entire prison, including Facility A, was put on lockdown. Two of the assailants were East Coast Crips and the third a member of another black gang the Rolling 40’s Crips. On June 19, Warden Prunty ordered that all black inmates’ central files be reviewed in order to identify members and affiliates of the East Coast Crips, and additionally ordered that the prison be searched for weapons. Black workers could be authorized for eligibility for the critical-workers list only after central file review.
Walker alleges he was added to the critical-workers list on June 21 and that he was, at the time, the only black worker on the list. That same day, thirty-six prisoners affiliated with the East Coast Crips were transferred out of the prison. Walker began work the next day when the library reopened. On June 23, a “comprehensive list of critical workers ... [was] published based on central file screening and need for workers.” Id. at 8.
The third incident also took place in Facility B. On October 31, 1995, a group of black inmates — Walker alleges they were gang members — stabbed a staff member. The prison was once again placed on lock-down, and black inmates were excluded from the critical-workers list until prison officials completed their investigation. Walker alleges that, although he was allowed to report to work on November 2 and 3, he was forced to return to his cell on November 4, and told that blacks were not eligible to be placed on the critical-workers list. Walker adds that he was not allowed to return to his job for the next week.
Acting pro se, Walker sued defendants under section 1983. He seeks declaratory and injunctive relief and monetary damages.
Discussion
1. Racial discrimination in prisons and jails is unconstitutional under the Fourteenth Amendment, except for “ ‘the necessities of prison security and discipline.’ ” Cruz v. Beto,
Defendants argued, and the district court agreed, that summary judgment was appropriate because Walker had failed to demonstrate that defendants acted with discriminatory intent. In support of summary judgment, defendants submitted several incident and investigation reports, including an undated, thirty-eight-page report entitled “Synopsis of State of Emergency” covering the period from May 5, 1995, to September 12, 1995, and a declaration by Sylvia H. Garcia, as Chief Deputy Warden at Calipatria State Prison. In opposition, Walker submitted his own declaration.
It is clear from the evidence submitted by defendants in support of summary judgment that they explicitly considered race in determining threshold ineligibility for critical-worker status. Garcia declares under penalty of perjury that, during the lockdown period following the May 5,1995, incident, “Non African-American inmate workers, whose job assignments were deemed critical, were allowed to report to their job assignments.” Decl. of Silvia H. Garcia at 5, ¶ 20 (emphasis added). Similarly, the Report notes that on May 19, “No Black inmates are utilized as ‘critical workers,’ ” Report at 3, and that “Black inmates are added to the ‘critical workers’ list” on May 22, id. at 4. As to the June 18 incident, Garcia states, “African-American critical workers may be considered after the central file review.” Decl. of Silvia H. Garcia at 6, ¶ 24. The Report confirms that black inmates could become eligible for critical-worker status only after their files were screened. See Report at 8. And, as to the October 31 incident, Garcia states, “A limited number of ‘critical workers’ were allowed to report to their work assignments which did not include African-American inmates.” Decl. of Silvia H. Garcia at 6, ¶ 28.
In Johnson v. California,
Defendants here admit that they used race as the only factor in preliminarily excluding black inmates from critical-workers lists. Walker was therefore not required to prove discriminatory intent. As in Johnson, the fact that defendants employed racial classifications for the alleged purpose of promoting safety and order does not alter this conclusion.
Because the district court granted the summary judgment motion before our ruling in Johnson, it did not have the benefit of Johnson’s teachings. Johnson nevertheless is binding on us, and so we must reverse the district court’s grant of summary judgment on this issue. See Swift v. Lewis,
2. Defendants also assert that they are entitled to qualified immunity.
a. As discussed, it is clear that the protections of the Fourteenth Amendment extend to state prisons. See Lee,
The first factor—whether a valid rational connection exists between defendants’ actions and a legitimate penological interest—is the sine qua non of the Turner inquiry. Shaw v. Murphy,
The asserted relationship seems to be a matter of common sense: Where apparently race-related violence requires a prison-wide lockdown, inmates who are members of those races involved in the violence should be precluded from performing even critical functions until adequate investigation clears them, lest they inflict further violence—or themselves become victims of violence. Where the connection between a legitimate objective and a prison practice seems to be a matter of common sense, an inmate bears the burden of refuting the connection. In Walker v. Sumner, for example, plaintiff alleged that there was no rational connection between defendants’ practice of tаking prisoner blood and screening for AIDS, because “the prison officials knew that no prisoner had AIDS at the time the disputed samples were taken.” Walker,
In attempting to break the commonsense connection here, Walker first points out that, while prison-gang affiliation is
Walker also asserts in his declaration that, during the lockdown period following the May 5 incident, defendants continued to allow black inmates with court deadlines to make use of the law library while being supervised only by Acting Law Library Supervisor Christine Harris. Harris is a vocational instructor, not a correctional officer. Walker adds that black inmates also made use of the library during the lock-down period following the June 18 incident, though he does not describe the conditions of supervision. Defendants do not dispute these allegations in their reply to Walker’s opposition to summary judgment or in their briefing before us.
With respect to the May 5 incident, Walker’s uncontested аllegation that black inmates were permitted to use the law library supervised only by a vocational officer calls into question whether the prison’s security concerns were really so acute that it was rational to treat blacks as automatically ineligible for critical-worker status.
Walker also alleges that his file was scrеened after the May 5 incident in order to permit him to act as a critical worker, thus calling into question why he needed to be re-screened in order to be eligible as a critical worker for the June 18 lockdown period. At the very least, by the October 31 lockdown, Walker’s file had been screened twice — after the May 5 incident, and again after the June 18 incident pursuant to a central-file review — thus raising the question why, at that point, he could not be made eligible for critical-worker status. This question seems all the more nagging because Walker notes that the June 18 and October 31 incidents occurred in Facility B, not Facility A where he is housed.
Viewing the record in the light most favorable to Walker, as we must, we conclude that he cast sufficient doubt on the common-sense connection between defendants’ asserted objectives and their actions to require defendants to come forward with rebuttal evidence. Defendants have not presented evidence demonstrating the specific connection between race-based exclusion from critical-workers lists and promoting safety, order and investigation. Instead, they merely re-invoke the same objectives. This is insufficient to rebut Walker’s position. If defendants had come forward with further evidence demonstrating why it was rational to exclude blacks from critical-workers lists while allowing them to use the law library under low-level supervision, or why repeated screenings were a rational prerequisite for eligibility for critical-worker status, in contrast to the one-time screening used as part of the CDC’s housing policy in Johnson, we might have been required to defer to their judgment. They have not done so, however, and we are therefore required to conclude that Walker’s uncontested allegations refute the required rational connection.
Because the essential connection of Turner's first factor is not sufficiently borne out as to the May 5, June 18 and Octobеr 31 lockdowns, we do not proceed to the remaining Turner factors. Walker,
b. Walker has not brought to our attention, and our independent research does not reveal, case law involving the particular circumstances presented by this
We note, however, that this means only that defendants “need not respond in damages. It does not mean that they cannot be enjoined from future violations of ... [Walker’s] rights.” Nelson v. Heiss,
* * *
We reverse and remand for proceedings consistent with this opinion. The handling of Walker’s equal protection claim “will undoubtedly proceed more efficiently and effectively if ... [Walker] has legal representation.” Johnson v. California,
AFFIRMED in part, REVERSED in part and REMANDED.
Notes
. The dissent assumes that the violent incidents in 1994, as well as those in 1995, are at issue. See Dissent at 980. To the contrary, Walker made clear in his opposition to summary judgment and in briefing on appeal that he challenges only the lockdown procedures that followed the 1995 incidents.
. The evidence conflicts as to whether the conclusion that the East Coast Crips wеre responsible for the incident was reached, and
. Defendants appear to misconstrue the record. Citing Walker's complaint, they state that Walker was put on the critical-workers list on May 18. Walker makes no such assertion in his complaint.
. The relevant defendants for purposes of this issue are K.W. Prunty, the Warden of Calipat-ria State Prison; Bobby L. Reed, the Chief Deputy Warden; Sylvia Huerta Garcia, an associate warden; A.M. Tutt, an employee and correctional captain/program administrator in Facility A; and G.J. Janda, an employee and a correctional lieutenant. Defendants held these positions at all relevant times.
. Walker raises numerous other issues in this appeal. We address these separately in a memorandum disposition filed concurrently with this opinion.
. Defendants argued this below in support of summary judgment, but the district court apparently found it unnecessary to rule on the issue.
. Walker illustrates that a plaintiff’s burden in severing the asserted common-sense connection between a policy and an asserted objective is a light one. Plaintiff in Walker had had no success in his discovery efforts, Walker,
. The dissent suggests that "officials could well conclude that supervising an inmate who is using the library is easier than supervising an inmate who is working in the library.” Dissent at 981. That could be, but once Walker called the rationality of defendants’ actions into question, it was incumbent on defendants to say as much and rebut Walker’s position with evidence. See note 7 supra.
. The dissent characterizes defendants’ actions as a "temporary fix." Dissent at 982. This disregаrds the regularity with which lockdowns occur, and the fact that they are of potentially illimitable duration. See Michael Wayne Hunter & Bradford J. Frederick, Board. Up, BIGnews (Oct.2003), at http:// www.mainchance.org/bignews/read/october 2003/hunter.html; Michael Wayne Hunter, Condemned to Life, BIGnews (June 2003), at http://www.mainchance.org/bignews/read/ june2003/hunter.html.
Dissenting Opinion
dissenting.
I part company with the majority’s conclusion that Calipatria State Prison’s (CSP) critical worker listings ran afoul of Walker’s rights to equal protection. We measure an equal protection challenge as we would any other constitutional challenge in the prison environment under Turner v. Safley,
There is no question that equal protection does not stop at the prison gate. See Wolff v. McDonnell,
Under Turner, rather than the administrators bearing the burden of proving their policy constitutional, the inmate bears the burden of proving that prison officials acted outside their broad discretion. See Overton v. Bazzetta,
There is no dispute that CSP was plagued with a number of violent incidents over a period of several months. They started on May 2, 1994, with a fight between Hispanic and African-American inmates. To ensure safety of inmates and staff, all inmates were confined to their cells except for those whose work assignments were considered critical. Hispanic and African-American inmates were not included on the critical workers’ list to prevent weapons from being passed between members of either side, to prevent the making of plans to continue the fighting, and to calm things down. A full investigation was conducted that included a search of all facilities and surrounding areas for inmate-manufactured weapons. Walker was not on the critical workers list but was allowed to return to work at the Facility “A” law library on June 1, 1994.
On November 28 a group of African-American inmates attacked eleven Hispanic inmates in the Facility “D” yard. Six Hispanic inmates received stab wounds or lacerations. The inmates continued to fight after prison officials ordered them to stop and fired three warning shots. Six more warning shots were fired to quell the disturbance. As a result of this incident, the warden ordered a lockdown of all inmates, declared a state of emergency that included a prison-wide search for weapons, and devеloped another critical workers’ list that excluded African-American and Hispanic inmates. On December 9, 1994, while the lockdown was still in effect, an Hispanic inmate (who was on his way to shower) stabbed an African-American inmate (who was using the telephone). The
A staff member was assaulted on May 4 by an African-American inmate and on May 5, 1995, five African-American inmates attacked staff members in the Facility “A” program office with inmate-manufactured weapons. Four staff members received multiple stab wounds and four others sustained injuries. Pending an investigation, Warden Prunty suspended all activities except family visits, ordered a search of the prison for weapons, and allowed only critical workers who were not African-American to report to their jobs. The investigation revealed that the May 5 attack was instigated by the “East Coast Crips,” an African-American prison gang. Walker was added to the critical workers’ list on May 18, 1995 and returned to work at the law library.
On June 18, 1995, two African-American members of the East Coast Crips stabbed two staff members in the Facility “B” dining hall. Warden Prunty ordered another lockdown, a search for weapons in common areas such as the law library, and a review of the central files of all African-American inmates to identify members of the East Coast Crips and their associates. The warden allowed African-American inmates to be placed on the critical workers’ list after the central file review. Thirty-six inmates identified with the “East Coast Crips” were transferred to Corcoran Stаte Prison on June 21. Walker was placed on the critical workers’ list the same day and reported for work on June 22. The state of emergency ended on September 12.
On October 31, 1995, an African-American inmate stabbed a staff member. Warden Prunty ordered a temporary suspension of all programs for the safety of inmates and staff. A search and investigation were conducted, after which African-Americans who had not been included on the critical workers’ list following this incident were permitted to go back to work.
Against this backdrop, which unfortunately is one of racial unrest, it is clear to me that the prison’s policy of not considering Walker, as an African-American, as a critical worker is reasonably related to the legitimate penological interests of prison security and safety.
Valid, rational connection. .Restricting the critical workers’ list for the limited period following a disturbance until an investigation could be completed served the prison’s interest in maintaining order and assuring safety. This- objective was legitimate and neutral, although the decision to keep African-American inmates, (and after the first two incidents, Hispanic inmates) off of the list during the lockdown was obviously related to their ethnicity. To this extent it was not neutral and was discriminatory. However, “prison authorities have the right, acting in good faith and in particularized circumstances, to take into account racial tensions in maintaining security, discipline, and good order in prisons and jails.” Lee,
Walker argues that a triable issue exists because of evidence that the incidents were gang-related and not racially-motivated. The fact remains, however, that the East Coast Crips were an African-American gang, and African-Americans were involved in the violent incidents. It was not irrational (though -it may have been uhnecessary) to keep all African-American, as well as all other inmates who had non-critical jobs, loeked-down until ev
Walker also maintains that it was particularly nonsensical to keep him from his job in light of the fact that African-American prisoners with court deadlines were allowed access to the library. He points out that a single vocation instructor supervised an average of twenty-two African-American library users per day without incident. However, this makes the officials’ decision no'less rational. Inmates using the library may have been there one at a time. In any event, allowing inmates to use the law library even during an emergency serves the important function of maintaining their access to the courts, a function not served by allowing Walker to work in the library. Further, officials could well conclude that supеrvising an inmate who is using the library is easier than supervising an inmate who is working in the library, because an inmate-librarian may have more freedom of movement and interaction with prisoners using the library and, therefore, may pose an increased risk of passing weapons or messages.
Alternative means to assert the right. Walker could not pursue any job opportunity during the lockdown without being on the critical workers’ list, but he had no right to work or to work in the library to begin with. The question is not whether the prison provided reasonable alternatives from using race as a factor for the critical workers’ list, but whether it provided reasonable alternatives from racial discrimination in general. The work restrictions were temporary in nature and only in place for a limited period of time when imрosed. Each critical workers’ list directly followed a serious racial incident. Nothing about the character or duration of the restriction suggests that prison officials overreacted to the violence with which they, and all inmates, were confronted. Walker was able to return to his job once the government’s interest in safety and security was satisfied. In these circumstances, even assuming that disparate treatment impermissibly occurred in the critical workers’ listing, none occurred with respect to Walker’s primary right — to be housed at a fully integrated facility.
Impact on guards, inmates and prison resources. There is no dispute that continued, or renewed, violence posed a significant risk to the safety of inmates and staff. Walker made no showing otherwise. Nor did he show that eliminating, or changing, the critical workers’ policy would have no harmful impact.
Reasonable alternatives. Walker suggests that the prison could have used a screening process to identify those African-American inmates who were gang members or associates instead of excluding all African-American inmates from critical job assignments. Perhaps so. However, it is not self-evident that any such screening process would have worked, or would have worked effectively enough, quickly enough, to have done Walker any good.
In sum, the administrators’ response was not unreasonable. It was a temporary fix that I believe was within the discretion of prison officials to impose given the nature of the incidents that precipitated the emergency situations, and the need to maintain critical operations at the facility. The critical work list was terminated once the facility had been searched, an investigation had been conducted, and order appeared to have been restored. Beyond this, we are not “to second guess the details of prison management.” Bradley v. Hall,
. Turner instructs courts to consider (1) whether there is a "valid, rational connection
. Walker was only off work for thirteen days after the May 5 incident, which investigation revealed had been instigated by East Coast Crips, and for three days after the June 18 incident. By June 23, thirty-six East Coast Crips members had been identified and transferred.
Concurrence Opinion
concurring..
I concur in Judge Kozinski’s opinion, with one exception. I do not join in part 2 of the Discussion.
Although I find that part of the Discussion very informative, in my opinion we should not decide qualified immunity issues in the first instance, but should leave them for the district court. See Harlow v. Fitzgerald,
Thus, I respectfully concur, but with the exception just noted.
