Maurice Smith and Sidney Jackson v. John T. Shettle, Jack R. Duckworth, and David BonnerMaurice Smith and Sidney Jackson v. John T. Shettle, Jack R. Duckworth, and David Bonner
Lead Opinion
In 1988 twо inmates of an Indiana state prison filed this suit under
The district court’s ground for dismissing the suit was that inmates do not have a “liberty interest” in not being
So we must decide whether the State of Indiana has conferred on its inmates an entitlement not to be placed in administrative segregation. It has if it has set forth a list of criteria to govern such placement that are (1) binding, that is, mandatory upon the officials to whom they are addressed, Miller v. Henman,
Does Indiana law create such a liberty? An Indiana statute permits administrative segregation if the prison “first finds that segregation is necessary for the offender’s own physical safety or the physical safety of others.”
It makes no difference that the Indiana statute does not use “mandatory” language, such as “shall” or “must.” It is true that a number of cases describe “mandatory language” as a hallmark of a liberty-creating statute. The most explicit and authoritative of these statements appear in the Supreme Court’s decision in Kentucky Dept. of Corrections v. Thompson, supra,
It also makes no difference either that the statute does not require but only permits segregation — most statutes leave discretion to the persons charged with their enforcement rather than commanding them to enforce the statute to the hilt — this is the famous “prosecutorial discretion” — or that the statute does not itself create procedures for determining whether one of the specified grounds has been established in a particular case. The Constitution itself prescribes the minimum procedural requirements — the process that is due. Cleveland Board of Education v. Loudermill,
We must not be mesmerized by judicial language taken out of context and hardened into formula. That “explicitly mandatory language” in the sense of words that are in the imperative mood as a matter of grammar is not a sine qua non of entitlement should be plain from Kentucky Dept. of Corrections itself, for there the Supreme Court defined “explicitly mandatory language” to mean “specific directives to the decisionmaker that if the regulations’ substantive predicates are present, a particular outcome must follow,” and gave as an example of such a directive “administrative segregation will not occur absent specified substantive predicates.”
Analysis is complicated here by the fact that the provision that we quoted from the Indiana Code does not stand alone. An administrative regulation (Indiana State Prison Standard Operating Procedure No. 108, April 18, 1983), the validity of which the plaintiffs do not challenge, provides for assignment to segregation “basеd upon determination of one or more of the following: 1) the continued presence of the inmate in general population poses a serious threat to himself, other inmates, staff or property, or 2) the inmate’s behavior is a serious threat to the security and/or orderly operation of the institution.” This is again a closed-end list; unless one of the two criteria (more than two when all the “or’s” are counted) is satisfied, the prison officials are not authorized to segregate an inmate. The list in the regulation differs frоm the statutory list, so far as material to our analysis, chiefly in that the last criterion — “the inmate’s behavior is a serious threat to the ... orderly operation of the institution” — might be thought too open-ended to confer an entitlement. The terms “behavior,” “serious,” "threat,” and “institution” are clear enough, but what are we to make of “orderly operation”? The “security” of the institution is covered in a separate clause, so presumably “orderly operation” is intended to reach beyond mere security. Might this mean that the
But this we need not decide, since the defendants’ uncontradicted affidavits show that these inmates received all the process due them. The barebones constituents of fair procedure and therefore of due process are (besides jurisdiction) notice and an opportunity to be heard, Twining v. New Jersey,
We add that the mere fact that Indiana law requires review every thirty days does not establish this frequency as a constitutional minimum (or maximum). Procedural regulations are not a source of constitutional entitlements, Olim v. Wakinekona,
We think they require some ongoing review of the status of inmates placed in administrative segregation—always assuming that they claim an entitlement not to be in segregation. This is an important qualification. It distinguishes casеs such as Miller v. Henman, supra, which hold that no hearing is required before a prisoner may be transferred to a maximum-security prison (administrative segregation writ large), because prison authorities reserve to themselves discretion to move a prisoner around within a prison system. This case is different because Indiana has (we are assuming) set forth criteria that limit the discretion of its prison officials to place inmates in administrative segregation. And because these criteria can change through time, some ongoing review is nec
To conclude, however, that the due process clause fixes thirty days as the minimum frequency of the required review would be to legislate in the name of the Constitution at an excessive level of detail, even if these inmates have a constitutional entitlement to return to the general prison population unless deprived of that entitlement in accordance with the requirements of due process of law. The judgment dismissing their suit is therefore
AFFIRMED.
Concurrence Opinion
concurring.
I disagree with the majority’s dictum that if Indiana Code § ll-10-l-7(a) were “the only source of authority to segregate inmates, they would have a liberty inter-est_” Maj.Op. at 1252.
The Supreme Court has clearly stated the prerequisites for finding a state-created liberty interest:
“We have also articulated a requirement, implicit in our earlier decisions, that the regulations contain ‘explicitly mandatory language,’ i.e., specific directives to the decisionmaker that if the regulations’ substantive predicates are present, a particular outcome must follow, in order to create a liberty interest. See Hewitt v. Helms, 459 U.S. [460,] 471-472, 103 S.Ct. [864,] 871-72.... In sum, the use of ‘explicitly mandatory language,’ in connection with the establishment of ‘specifiс substantive predicates’ to limit discretion, forces a conclusion that the State has created a liberty interest. Hewitt v. Helms,459 U.S., at 472 ,103 S.Ct., at 871 .”
Kentucky Dept. of Corrections v. Thompson,
“[I]n this case [Pennsylvania] has gone beyond simple procedural guidelines. It has used language of an unmistakably mandatory character, requiring that certain procedures ‘shall,’ ‘will,’ or ‘must’ be employed, see n. 6 supra, and that administrative segregation will not occur absent specified substantive predicates— vis., ‘the need for cоntrol,’ or ‘the threat of a serious disturbance.’ Petitioners argue, with considerable force, that these terms must be read in light of the fact that the decision whether to confine an inmate to administrative segregation is largely predictive, and therefore that it is not likely that the State meant to create binding requirements. But on balance we are persuaded that the repeated use of explicitly mandatory language in connection with requiring specific substantive predicates demands a conclusion that the State has creаted a protected liberty interest.”
Hewitt v. Helms,
Indiana Code
The majority adds further disorder to the question of a creation of protected liberty interests through quoting the Supreme Court’s definition of “explicitly mandatory language” — “specific directives to the deci-sionmaker that if the regulations’ substantive predicates are present, a particular outcome must follow” — and even stating a formula consistent with that definition: “if X (the substantive predicate), then Y (the specified outcome, from which the enforcement officials are not free to depart).’’ Maj.Op. at 1253 (emphasis added). But the majority states that “[i]t ... makes no difference ... that the statute does not require but only permits segregation....” Maj.Op. at 1252-53 (emphasis original). If a statute is mandatory when it “does not require but only permits segregation,” how can it also comply with the Supreme Court mandated “specified outcome, from which the enforcement officials are not free to depart”? The majority’s latter statement follows the Supreme Court’s directive that “if the regulations’ substantive predicates are present, а particular outcome must follow, in order to create a liberty interest. ” Thompson,
I agree that the judgment of the district court dismissing the plaintiffs suit should be affirmed, but I аm convinced that it is unnecessary to journey into that wide abyss of due process law through judicially creating a liberty interest of this type out of whole cloth. As the Supreme Court has noted,
“the problems that arise in the day-today operation of a corrections facility are not susceptible of easy solutions. Prison administrators therefore should be accorded wide-ranging deference in the adoption and execution of policies and practices that in their judgment are needed to preservе internal order and discipline and to maintain institutional security. ‘Such considerations are peculiarly within the province and professional expertise of corrections officials, and, in the absence of substantial evidence in the record to indicate that the officials have exaggerated their response to these considerations, courts should ordinarily defer to their expert judgment in such matters.’ We further observe that, on occasion, prison administrators may be ‘experts’ only by Act of Congress or of a state legislature. But judicial deference is accorded not merely because the administrator ordinarily will, as a matter of fact in a particular case, have a better grasp of his domain than the reviewing judge, but also because the operation of our correctional facilities is peculiarly the province of the Legislative and Executive Branches of our Government, not the Judicial. ”
Bell v. Wolfish,
Notes
. Since Indiana Code § ll-10-l-7(a) is not‘‘the only source of authority to segregate inmates," the majority’s entire discussion of it appears to be dictum.
. Mandatory procedures standing alone are likewise inadequate to create a protected liberty interest. See Hewitt,
. The fact that a statute is binding, and failure to follow it is a violation of state law, fails to create a liberty interest: "Violations of state law do not automatically offend against the Constitution too.” Wallace v. Robinson,
. I recognize that in Vitek v. Jones,