PETERKIN, Otis H.; Albrecht, Alfred F.; Truesdale, Mack;
Maxwell, Frederick; Harris, Richard; Lesko, John; Floyd,
Calvin; Morris, James; Logan, Ronald; Crenshaw, Robert;
Lee, Charles N.; Colson, Martin; Yarris, Nicholas; Cross,
Charles; Smith, Donald; individually and on behalf of all
others similarly situated, Appellants,
v.
Glen JEFFES, individually and as the Acting Commissioner of
the Bureau of Corrections of the Commonwealth of
Pennsylvania and as The Superintendent of the State
Correctional Institution at Graterford; Ronald Marks,
individually and as the former Commissioner of the Bureau of
Corrections; Julius Cuyler, individually and as the former
Superintendent of the State Correctional Institution at
Graterford; Charles H. Zimmerman, individually and as
Superintendent of the State Correctional Institution at
Huntingdon; and George Petsock, individually and as
Superintendent of the State Correctional Institution at Pittsburgh.
No. 87-1312.
United States Court of Appeals,
Third Circuit.
Argued Dec. 1, 1987.
Decided Aug. 23, 1988.
Stefan Presser (argued), American Civil Liberties Union of Pennsylvania, Philadelphia, Pa., for appellants.
Maria Parisi Vickers (argued), Deputy Atty. Gen., Philadelphia, Pa., for appellees.
Before HIGGINBOTHAM, MANSMANN and WEIS*, Circuit Judges.
OPINION OF THE COURT
A. LEON HIGGINBOTHAM, Jr., Circuit Judge.
Two constitutional issues are raised on appeal in this class action: whether prisoners sentenced to death by the Commonwealth of Pennsylvania and currently imprisoned at the State Correctional Institutions at Graterford and Huntingdon are confined in conditions constituting cruel and unusual punishment prohibited by the eighth amendment, and whether the Commonwealth and its prison officials are providing these prisoners with sufficient legal resources to vindicate their constitutional right of access to the courts. In deciding these issues, we are primarily guided by the Supreme Court's decisions in Rhodes v. Chapman,
I. Prior Proceedings
The Commonwealth of Pennsylvania reinstated capital punishment in 1978. 42 Pa.Cons.Stat.Ann. Sec. 9711 (Purdon 1982). From that time until November, 1982, the state incarcerated prisoners under sentence of death among the general population in the state's maximum security correctional institutions at Graterford, Huntingdon and Pittsburgh. In November, 1982, after the death penalty statute withstood constitutional challenges, the Commissioner of Corrections, Ronald Marks, decided that henceforth all prisoners under sentence of death would be confined in those prisons' Restricted Housing Units (RHU's) in administrative custody. This litigation began in January, 1983, when a group of death-sentenced prisoners,1 acting pro se,2 filed a complaint against officials of the Commonwealth of Pennsylvania and its Bureau of Corrections3 on behalf of all such prisoners, alleging that the Department of Corrections' decision to segregate them on "death rows" violated their rights to equal protection of the laws and substantive due process under the fourteenth amendment to the Constitution. They also challenged and sought relief from certain rules and conditions of confinement in the RHU's, alleging that these violated the eighth amendment's prohibition on cruel and unusual punishment, the first amendment's guarantee of the free exercise of religion, and the constitutional right of access to the courts.
In June, 1984, the district court, exercising jurisdiction under 28 U.S.C. Sec. 1343 (West Supp.1986), and in response to a motion for summary judgment by the Commonwealth defendants, dismissed the plaintiff-class's4 fourteenth amendment challenges to the decision by the Bureau of Corrections to segregate death-sentenced prisoners. On the conditions of confinement issues, the district court held a bench trial, including nine days of testimony, two of which took place at Graterford, where death row inmates from both Graterford and Huntingdon testified. The trial judge also visited the RHU at Graterford twice, in June and December, 1986. On May 4, 1987, the district court entered its decision and order granting judgment in favor of Pennsylvania's prison officials on all claims. Peterkin v. Jeffes,
II. The Eighth Amendment Challenge
A. Cruel and Unusual Punishment
For conditions of confinement in prisons to constitute cruel and unusual punishment within the meaning of the eighth amendment of the constitution,5 the Supreme Court, in Rhodes v. Chapman,
Although the Supreme Court recognizes there is "no static 'test' ... by which courts [can] determine whether conditions of confinement are cruel and unusual," Rhodes,
The district courts bear an especially critical burden of responsibility in eighth amendment cases involving prison conditions, because "[a] reviewing court is generally limited in its perception of a case to the findings of a trial court," Rhodes,
We find no flaw in the district court's method of analyzing the eighth amendment issues in this case. In actions challenging a large number of prison conditions, a district court, we agree, must inquire whether "the challenged conditions 'alone or in combination' " violate eighth amendment standards, "recognizing that the totality of the conditions 'may deprive inmates of the minimal civilized measure of life's necessities.' " Peterkin,
The prisoners question not these legal precepts but rather the district court's application of them in this case. Essentially, they argue that the district court failed to render a judgment based on objective indicia as mandated by the Supreme Court with regard to three interrelated aspects of confinement: cell conditions; time spent in the cells and prisoner activities and services; and the prisons' exercise policy. The gravamen of the prisoners' appeal is that the conditions of the cells are cruel and unusual when analyzed in relation to the daily regimen that the Commonwealth imposes on death-sentenced prisoners, which appellants characterize as one of excessive mental and physical idleness. The prisoners argue that the prison regime results in their psychological and physical deterioration and that it is without penological justification. Specifically, appellants contend that the district court erred in not concluding that confining death row prisoners to their cells for approximately twenty-two hours a day constitutes cruel and unusual punishment, in view of (1) the size and condition of the cells; (2) the restricted activities and services, including medical, psychological, religious, and legal services, which occupy the prisoners and sustain their mental health; and (3) the Commonwealth's exercise policy, which the prisoners contend deprives them of meaningful exercise for three reasons: the lack of any indoor exercise facilities for death sentenced prisoners; the practice of placing prisoners in individual, enclosed outdoor exercise yards; and the Commonwealth's ban on group exercise by capital inmates. The prisoners argue that the exercise policy, particularly the total deprivation of group recreation, when considered in conjunction with the extended time for which prisoners must remain in their cells and the all but total lack of opportunities to participate in remunerative prison work programs or other organized activity, denies prisoners on death row the meaningful intellectual stimulation and human interaction necessary to prevent their mental deterioration, and constitutes cruel and unusual punishment in violation of the eighth amendment. We determine whether these claims, which implicate each of the Di Buono factors, state constitutional violations by a plenary review of the district court's extensive findings of fact and conclusions of law.
B. Findings by the District Court
1. Cell Conditions
At the time of the trial of this case, Pennsylvania incarcerated all of its prisoners under sentence of death in the State Correctional Institutions at Graterford and Huntingdon. Peterkin,
The State Correctional Institution at Huntingdon at the time of trial housed forty-two prisoners sentenced to death. Id. at 901. Its RHU is on "B" block, one cellblock of six that extend like spokes from the institution's center, each containing three vertically stacked levels of cells. Id. at 901. RHU cells, housing between 145 and 150 prisoners, are located in the center of "B" block, and there is an adjoining RHU annex housing ninety additional inmates. Inmates sentenced to death occupy the fifth and sixth tiers, which are the second and third levels of "B" block. Jt. App. at 330a.
The district court made numerous factual findings concerning every physical aspect of the prison cells in both prisons about which the class complained: size; temperature and ventilation; lighting; bedding; the adequacy of the furnishings; cell sanitation and maintenance, including the condition of the toilets, sinks, walls and ceilings, and the cleaning and inspection procedures; and the noise level in the RHU's. Peterkin,
Notwithstanding its finding of constitutional adequacy, the district court did not commend the Commonwealth for the conditions of the death row cells and expressed concern at its apparent complacency with respect to certain problems. Peterkin,
Our review of the district court's findings and conclusions concerning physical conditions in the plaintiff-class's cells does not persuade us that the district court failed to base its holding that these do not constitute cruel and unusual punishment on objective indicia. Having inspected the RHU's, heard the testimony of prisoners, prison officials and experts, and consulted the standards of the American Correctional Association (ACA),9 the district court weighed all the evidence and concluded, in each instance, that the condition in question withstood eighth amendment scrutiny. In each instance of the allegedly unconstitutional physical conditions the district court searched for a health risk and found none manifested. The district court did not find the conditions dangerous, see Riley v. Jeffes,
We nevertheless view the district court's concerns regarding sanitation and maintenance as of the greatest significance. Sanitation is one of the basic human needs recognized by eighth amendment cases, see Union County Jail Inmates v. Di Buono,
2. Cell Time and Prisoner Activities
Appellants argue that the Commonwealth's policy of confining death-sentenced prisoners to their cells for approximately twenty-two hours a day in a condition of imposed idleness and without adequate opportunity for human interaction violates the eighth amendment. There is no dispute about the facts of the Commonwealth's policies concerning cell time and prisoner activities. Death row prisoners are permitted to leave their cells infrequently, for circumscribed purposes: to shower, at Graterford on alternate days, at Huntingdon three times weekly, Peterkin,
Under Di Buono, we must consider, in addition to physical aspects of the cells, what effect, if any, the duration of appellants' confinement on death row will have on our analysis of the Commonwealth's policies regarding the time the prisoners must spend in their cells and the restrictions on their activities. The district court found that some of the prisoners had already been on death row for four years. The district court also observed, and we agree, that because of the deliberate pace of post-conviction review afforded death-sentenced prisoners, and political factors surrounding the decision to carry out an execution, the average length of confinement of death row prisoners will continue to increase. See Peterkin,
Next, following the Di Buono factors, we must consider whether twenty-two hours of cell time daily is so excessive, relative to the physical conditions of the cells and the opportunities for activity outside the cells, that the confinement of capital inmates in this manner constitutes cruel and unusual punishment. We cannot say that it does. Under the conditions that on this record exist at Graterford and Huntingdon, we cannot find even the relatively long period of cell confinement imposed on appellants to violate the eighth amendment. We arrive at this conclusion through consideration of physical and non-physical conditions in the prisons.
With respect to physical conditions, we have previously observed that "[i]n those cases where federal courts have found unconstitutional prison conditions, a decaying physical plant allowed by disrepair to become virtually inoperable has almost always provided an important background element." Di Buono,
Turning to non-physical conditions, we understand appellants' arguments that they "are left to idle the years away in front of a television set," Appellants' Brief at 25, and that they are deprived of sufficient human interaction, to raise issues of mental, psychological, and emotional cruelty. We read the Rhodes Court as having stated that prison work and educational activities are rehabilitative in nature, and that a showing that they have been diminished, with nothing more, does not constitute an eighth amendment violation. The Court stated: "[L]imited work hours and delay before receiving education do not inflict pain ...; deprivations of this kind simply are not punishments. We would have to wrench the Eighth Amendment from its language and history to hold that delay of these desirable aids to rehabilitation violates the Constitution." Rhodes,
Although the district court found that "[t]here is little dispute, even among the Commonwealth's experts, that many of the capital inmates are psychologically disturbed," Peterkin,
The prisoners direct our attention to the findings of the district court in Groseclose v. Dutton,
The evidence before the Court further indicates that defendants largely ignore the emotional well-being of the inmates. Inmate interaction with other human beings is insufficient; there are no educational or work programs available; the inmates are not permitted access to a dining room or a gymnasium; they may not leave their cells to visit the commissary or law library; and exercise opportunities are minimal. Counselling services ... are inadequate for so many men facing the death sentence. Of significant concern to the Court is that the inmates have no opportunity for congregate religious services.
Id. at 1446.16 The district court's decision in Groseclose, however, is distinguishable from this case. There, the cells were much smaller; other significant aspects of the physical plant, including the lighting, toilets, temperatures, and sanitation, fell below the constitutional norm; the prisoners faced serious safety problems from both fire hazards and other inmates; and there was "[o]nly one counselor ... assigned for all forty-four inmates on death row, and that person is also the sole counselor for ... over eighty [other] inmates." Id. at 1437. Moreover, the district court in Groseclose specifically found "that the evidence is overwhelming that the defendants have not provided the inmates with adequate psychological and psychiatric assistance necessary for one confined and sentenced to death." Id.
3. Physical Exercise and Recreation
The prisoners' final objection to the totality of conditions on the Graterford and Huntingdon death rows is to the restrictions on physical exercise and recreation. Inmates under death sentence are permitted exercise outdoors for two hours a day. The exercise period is cancelled if the weather is inclement. During winter, the prisoners are provided with overcoats. At both institutions, the exercise yards for death row prisoners are divided into individual, adjoining exercise areas, each enclosed by a chain link fence with barbed wire at the top. Huntingdon's exercise spaces are nine by twenty feet. Those at Graterford measure twenty by fifty feet, except for one larger area, seventy-five by one hundred feet. Two prisoners at a time are permitted into these yards; inmates may select a fellow prisoner as an exercise companion if the prison authorities deem the pair compatible.
The prisoners contend that the individual exercise areas do not provide for meaningful physical activity because the time allowed for exercise is cruelly insufficient in relation to the hours of cell confinement and lack of any other out-of-cell activities. They further contend that the policies requiring them to exercise in yards resembling dog runs, and barring them from group exercise, are psychologically debilitating and have contributed to their psychological deterioration while on death row. Appellants also argue that since none of the other states imposing the death penalty has instituted this policy on its death row the individual exercise yard policy is without penological justification. Appellants assert that the policy's psychological harm, lack of penological justification, and exceptional nature should lead this Court to reverse the district court's conclusion that the Commonwealth's policy restricting prisoners to exercise in pairs in small yards does not contravene the eighth amendment. We do not agree with appellants' contentions.
There is no question that meaningful recreation "is extremely important to the psychological and physical well-being of the inmates." Spain v. Procunier,
The district court found that the amount of time allotted for outdoor exercise exceeds the ACA standard of one hour daily, and approximates the nationwide average of three hours of daily outdoor exercise for death-sentenced inmates. See Peterkin,
The district court also did not find that the individual exercise yard policy is the cause of physical or psychological harm to the prisoners. The yards permit calisthenics, short distance jogging, and handball. The inmates point to no evidence of physical harm. What appellants in effect argue is that because the district court found that there are psychological disturbances among the prisoners, it must be concluded, in light of the prisoners' expert's opinion that the lack of group exercise contributes to these psychological problems, that the Commonwealth's exercise policy constitutes cruel and unusual punishment. However, as we have stated, the testimony of the experts on psychological harm was inconclusive. On this record, therefore, we cannot find that the opportunity to exercise with one companionable fellow prisoner, rather than to mingle in a larger group, deprives prison exercise of its efficacy so as to render it a cruel condition grossly disproportionate to the crimes committed.17
We also do not agree with appellants' contention that the Commonwealth's exercise policy is wholly without penological purpose. See Rhodes,
C. Summary
Based on the factual findings before this Court, we conclude that the totality of the conditions comprising the punishment of prisoners under sentence of death at the State Correctional Institutions at Graterford and Huntingdon does not contravene the eighth amendment. We cannot, we believe, emphasize too often that although " 'confinement in a prison ... is a form of punishment subject to scrutiny under the Eighth Amendment standards,' " Rhodes,
The district court found that a number of the thirty-two other states where the death penalty is in effect have instituted considerably less restrictive regimes for death-sentenced prisoners. The prisoners ask this Court to compare Pennsylvania's practices with those of other states, and on this basis, find Pennsylvania's practices constitutionally indefensible. Moreover, appellants contend that "[n]ot since the creation of the 'penitentiary' system in colonial Pennsylvania has any prison operated on as confined a regime as Pennsylvania's present death row," Appellants' Brief at 31, and they argue through historical analogy, that insanity, suicide, and death will follow from these practices. They argue further that already "lethargy, anger and physiological deterioration result directly from the Commonwealth's management policies," Peterkin,
We recognize, as the Supreme Court has documented, that many "courts have learned from repeated investigation and bitter experience that judicial intervention is indispensable if constitutional dictates--not to mention considerations of basic humanity--are to be observed in the prisons." Rhodes,
III. Access to the Courts
A. Facts and Procedural History
We next turn to the appellants' claim that Commonwealth prison authorities deprive prisoners sentenced to death of their constitutional right of adequate, effective and meaningful access to the courts, as recognized by the Supreme Court in Bounds v. Smith,
Both Huntingdon and Graterford have a prison law library. Huntingdon's library is staffed by a head librarian, a library assistant, and four civilian library aides, three of whom are called "legal reference aides." Peterkin,
As a substitute for visits to the libraries, prison authorities have instituted what the district court called a "modified paging system," Peterkin,
The request slips are collected by library staff members or RHU officers, who bring them to the libraries where the head librarians or a legal reference aide attempts to fill the request. Either a correctional officer or library staff member then delivers the requested materials to the inmates. At Huntingdon, deliveries are made three times a week. At Graterford, the head librarian visits the RHU at least once every two weeks, "in addition to the routine deliveries by her staff." Peterkin,
Inmates in the general population at Graterford may consult directly with inmate staff members of the prison legal law clinic. Jt.App. at 156-157a. There is no record of a prison legal clinic at Huntingdon. The Commonwealth does not permit prisoners under sentence of death to consult with either "paralegals or 'jailhouse lawyers.' " Peterkin,
With regard to the availability of counsel for death-sentenced prisoners, the findings of the district court and the record in this case are in some respects ambiguous. The district court found that, with the exception of one inmate, "all of the capital inmates have appointed counsel." Peterkin,
In response to the prisoners' access to courts claim, the Commonwealth argued below that (1) the decision to substitute the paging system for library visits and, at Graterford, to deny access to the prison legal clinic is compelled by security concerns unique to death row prisoners; (2) the system does enable death row prisoners to perform legal research and therefore provides constitutionally sufficient access to the courts; and (3) the fact that counsel have been appointed for all of the capital inmates precludes the inmates from complaining about the prison authorities' reliance on the paging system, since representation by counsel provides them with sufficient access to the courts.
The district court essentially adopted the Commonwealth's third argument. Peterkin,
On appeal, the plaintiffs argue that the factual finding that all of the members of their class have counsel, at least for certain purposes, does not by itself support dismissal of their access to courts claim. They concede that all the class members have counsel through direct appeal. But death-sentenced prisoners, they contend, are also entitled to adequate access to the courts in the following three situations: (1) at the pleading stage of post-conviction appeals, whether these take the form of habeas corpus petitions or petitions under Pennsylvania's Post Conviction Hearing Act, Chapter 1500, Pa.R.Crim.P., 42 Pa.Cons.Stat.Ann. (Purdon 1986); (2) for the purpose of filing civil rights actions under 42 U.S.C. Sec. 1983; and (3) when an inmate exercises the constitutional right of self-representation, see Faretta v. California,
The Commonwealth argues to this Court that "the trial court found that each plaintiff who had testified had an attorney throughout his stay in the RHU," Appellees' Brief at 43, and that this finding defeats the prisoners' claim that they have been constitutionally deprived by exclusive dependence on the paging system. As an alternative ground for affirmance, the Commonwealth continues to assert that it has discharged its obligations under Bounds by providing death-sentenced inmates "with meaningful access to a law library at all times while confined in the RHU," Appellees' Brief at 46. Thus, even if the plaintiffs' could demonstrate that some capital prisoners do not have counsel at the pleading stage of post-conviction appeals or habeas corpus petitions or for the filing of civil rights claims under 42 U.S.C. Sec. 1983, the Commonwealth argues that the paging system provides death row inmates with constitutionally sufficient access to the courts.
B. Bounds v. Smith
The central case on the constitutional right of access to courts in the prison context is Bounds v. Smith,
The state opted for libraries in conjunction with an inmate self-help training program. It presented the district court with a plan to establish libraries in some but not all of its correctional institutions. In addition, the state proposed to set up a smaller library in the central prison segregation unit. Id. at 819,
Before rendering its final decision on the plan, the district court ordered further briefing "on whether the state was required to provide independent legal advisors for inmates in addition to library facilities." Id. at 820,
The Supreme Court affirmed, holding "that the fundamental constitutional right of access to the courts requires prison authorities to assist inmates in the preparation and filing of meaningful legal papers by providing prisoners with adequate law libraries or adequate assistance from persons trained in the law." Bounds,
The Bounds Court emphasized that legal assistance for prisoners is particularly important in the context of discretionary appeals, collateral attacks and civil rights actions. It stated:
[I]n this case, we are concerned in large part with original actions seeking new trials, release from confinement, or vindication of fundamental civil rights. Rather than presenting claims that have been passed on by two courts, they frequently raise heretofore unlitigated issues. As this Court has 'constantly emphasized,' habeas corpus and civil rights actions are of 'fundamental importance ... in our constitutional scheme' because they directly protect our most valued rights. Johnson v. Avery,
Bounds,
Although it is essentially true ... that a habeas corpus petition or civil rights complaint need only set forth facts giving rise to the cause of action ... it hardly follows that a law library or other legal assistance is not essential to frame such documents. It would verge on incompetence for a lawyer to file an initial pleading without researching such issues as jurisdiction, venue, standing, exhaustion of remedies, proper parties plaintiff and defendant, and types of relief available. Most importantly, of course, a lawyer must know what the law is in order to determine whether a colorable claim exists, and if so, what facts are necessary to state a cause of action.
If a lawyer must perform such preliminary research, it is no less vital for a pro se prisoner. (footnote omitted) Indeed ... it is often more important that a prisoner complaint set forth a nonfrivolous claim meeting all procedural prerequisites, since the court may pass on the complaint's sufficiency before allowing filing in forma pauperis and may dismiss the case if it is deemed frivolous.
Bounds,
A prisoner's constitutional right of access to the courts is undiminished when that prisoner is held in a segregated unit. See Valentine v. Beyer,
In the case before us, the district court inferred from this Court's precedents that in order to make out a successful Bounds claim, the death-sentenced prisoners must demonstrate that they have suffered an actual injury, and concluded that, because the prisoners each have counsel, actual injury cannot be shown. We will first examine the question of the actual injury in the context of access to courts claims, then address the district court's factual findings in this case.
With respect to claims involving state policies or prison rules relating to matters other than use of the prison law library and legal clinics and the availability of attorneys, this Court has applied Bounds in two instances. In the first of these, Kershner v. Muzurkiewicz,
Following Kershner, we established in Hudson v. Robinson,
The district court assumed, without explicit analysis, that the plaintiffs' complaint in this case directly implicates the right of access to the courts. We agree. In their complaint, the prisoners alleged:
79. The limitations placed on plaintiffs by defendants on access to legal books and law clinic workers denies plaintiffs access to the courts in violation of the Sixth and Fourteenth Amendments to the United States Constitution and 42 U.S.C. Sec. 1983.
Jt.App. at 23a. This class action lawsuit directly challenges the Commonwealth's system of providing legal materials to capital inmates, its paging system, the death row prisoners' lack of access to the prison legal clinic, and the availability of counsel to class members. We note that Bounds itself concerned the constitutional adequacy of a prison legal assistance program consisting of libraries (including a separate library in the prison system's segregation unit), arrangements for inmate library visits, and the use of trained inmates as research assistants and typists. Thus, unlike Kershner, which concerned "pads, pens, pencils and photocopy machines," Kershner,
The question that has yet not been resolved is what actual injury showing is required where, as here, an access to courts claim directly implicates the core Bounds issue--whether the legal materials or assistance available to prisoners are sufficient to vindicate the right of access to the courts--and we review the case following a trial rather than at the preliminary injunction stage. The district court, holding that a showing of an instance in which an inmate was actually denied access to the courts, Peterkin,
In Kershner and Hudson, we applied an actual injury requirement as a consequence of our view that not every item or feature capable of being linked to a state's provision of legal assistance to prisoners automatically implicates the constitutional right of access to the courts. Some ancillary features, such as the scheduling of available notary services, see Hudson,
In cases where a prisoner's claim relates to access to resources other than legal assistance itself, an actual injury test can be helpful in determining whether an unconstitutional abridgment of access to the courts has occurred. Legal assistance, by contrast--whether in the form of an accessible and adequate law library, court-appointed or other attorneys or para-professionals, or some combination of legal resources--is central, not peripheral, to the right of access to the courts that Bounds protects. We believe that in cases, like this case, directly involving prisoners' access to legal knowledge, an actual injury necessarily occurs by virtue of a prison's failure to provide the level of assistance required under Bounds. We hold, therefore, that where, as here, plaintiffs who possess standing to sue25 bring an access to the courts claim that alleges the inadequacy of "law libraries or alternative sources of legal knowledge," Kershner,
D. Availability of Counsel
We must next determine whether the prisoners' right of access to the courts has been satisfied, as the district court found, by the provision of lawyers to all capital prisoners. We read Bounds to hold that the provision of lawyers is one means by which a state may provide prisoners with meaningful access to courts. "Among the alternatives" the Court said,
are the training of inmates as paralegal assistants to work under lawyers' supervision, the use of paraprofessionals and law students, either as volunteers or in formal clinical programs, the organization of volunteer attorneys through bar associations or other groups, the hiring of lawyers on a part-time consultant basis, and the use of full-time staff attorneys, working either in new prison legal assistance organizations or as part of public defender or legal services offices.
Bounds,
The Court made it clear, however, that if a state relies exclusively on some degree of assistance from lawyers to provide prisoners with access to the courts, that assistance must be available for all relevant legal proceedings. The Supreme Court in Bounds left no doubt that a court taking the constitutional measure of a state's policies and practices determining prisoners' access to the courts must explicitly consider what assistance is available to inmates for the purpose of preparing and filing discretionary appeals, petitions for writs of habeas corpus or under the Post-Conviction Relief Act, and civil rights actions. See Bounds,
The Supreme Court has not addressed whether, as argued by the prisoners, where a prisoner exercises his or her right of self-representation under Faretta v. California,
By contrast, Bounds draws from multiple constitutional sources the right of access to the courts and a prisoner's constitutional right to adequate law libraries or to adequate legal assistance. See note 27 supra at 1042. While a sixth amendment Faretta right may not necessarily encompass the right defined by Bounds, see Chatman,
In this case, some uncertainty persists regarding the status of Ronald Wheeler, the only named plaintiff who exercised the right of self-representation during a portion of his direct appeal. See Peterkin,
As to prisoners other than Wheeler, we find that the district court's factual finding concerning the availability of counsel to death row prisoners is ambiguous with respect to the proceedings for which capital inmates have counsel. The district court found, and it is agreed by both sides on appeal, that all the class members (including Wheeler) currently have counsel, but we are unable to determine from the district court's opinion whether capital prisoners have had or will have counsel as needed for the purpose of preparing habeas corpus petitions or filing civil rights actions, as required by Bounds.
The district court appears to predicate its finding that death-sentenced prisoners have counsel in part on a rule promulgated by the Pennsylvania Supreme Court, Pa.R.Crim.P. 1503 (Purdon Supp.1986).30 Peterkin,
The Court in Bounds specifically rejected an argument against a claim of insufficient access to courts based on a state post-conviction statute similar to the one on which the district court relies here. It stated:
Since our main concern here is 'protecting the ability of an inmate to prepare a petition or complaint,' (citation omitted) it is irrelevant that North Carolina authorizes the expenditure of funds for appointment of counsel in some state post-conviction iproceedings for prisoners whose claims survive initial review by the courts (citation omitted). Moreover, this statute does not cover appointment of counsel in federal habeas corpus or state or federal civil rights actions, all of which are encompassed by the right of access.
Bounds,
The district court also appears to have based its finding that all of the capital inmates have counsel in part on 18 U.S.C. Secs. 3005 and 3006A (1985), the Criminal Justice Act, and its companion Guidelines for the Administration of the Criminal Justice Act, vol. VII, Guide to Judiciary Policies and Procedures, paragraphs 2.14(B) and 3.16 (1987) ("the Guidelines"). Peterkin,
18 U.S.C. Sec. 3005 provides for representation in federal capital cases and is therefore irrelevant to this case.33 18 U.S.C. Sec. 3006A and its accompanying Guideline, p 2.14, permit discretionary appointment of counsel, in the interest of justice, at any stage of habeas proceedings (including federal review of state capital convictions), from state and local, as well as federal, defender organizations.34 The district court further relied on Paragraph 3.16 of the Guidelines which elaborates on that provision of the Criminal Justice Act providing for services other than counsel. 18 U.S.C. Sec. 3006A(e).35 This Guideline
authorizes the reasonable employment and compensation of public and private organizations ... which provide consulting services to appointed and pro bono lawyers in capital federal habeas corpus cases in such areas as records completion, exhaustion of state remedies, identification of issues, review of draft pleadings and briefs, etc.
Guidelines p 3.16.
These federal provisions hold out the possibility to a capital prisoner that a court to which he submits a habeas or PCRA petition may see fit to appoint lawyers and consultants, such as expert witnesses, to assist these lawyers, once lawyers are already involved in the prisoner's case. We see nothing in these provisions mandating appointment of counsel in federal habeas or civil rights cases, either in the preparation of these pleadings or in subsequent litigation. For this reason, these provisions of federal law do not by themselves fulfill the Commonwealth's obligation under Bounds to ensure that prisoners on death row have access to the courts. See also Ray v. Robinson,
The record in this case also does not provide the necessary facts concerning legal assistance. The district court opined "that the objections of the plaintiffs to the modified paging system now in effect at Graterford and Huntingdon stem from a 'desire[ ] to double-check their court-appointed attorney,' not from a meaningful lack of access to the courts." Peterkin,
On remand the district court should develop a full record, after any necessary discovery, as to whether all death row inmates have attorneys, whether voluntary, appointed or retained, for all relevant proceedings. Having alleged insufficient legal assistance to provide access to the courts, the prisoners must be permitted to produce evidence that counsel are not available and that the prisoners must rely on other means of legal assistance to gain adequate and meaningful access to the courts. See Cruz v. Hauk,
IV. Conclusion
We affirm the district court's decision that the conditions of confinement of death-sentenced prisoners housed in the RHU's of the State Correctional Institutions at Graterford and Huntingdon do not violate the eighth amendment's prohibition on cruel and unusual punishment. We vacate the district court's decision that the prisoners have not demonstrated any injury under Bounds v. Smith,
Notes
At the time of oral argument on this appeal, Honorable Joseph F. Weis, Jr. was an active circuit judge. Judge Weis has since taken senior judge status
The plaintiffs who brought this case are: Otis H. Peterkin; Alfred F. Albrecht; Mack Truesdale; Frederick Maxwell; Richard Harris; John Lesko; Calvin Floyd; James Morris; Ronald Logan; Robert Crenshaw; Charles N. Lee; Martin Colson; Nicholas Yarris; Charles Cross; and Donald Smith
Counsel entered an appearance on behalf of plaintiffs within four months of the filing of the complaint. Substitute counsel entered an appearance approximately four months later. Current counsel entered an appearance in May, 1985
The defendants in this action, named individually and in their official Commonwealth capacities, are Glen Jeffes, Commissioner of the Bureau of Corrections and Superintendent of the State Correctional Institution at Graterford; Charles H. Zimmerman, Superintendent of the State Correctional Institution at Huntingdon; and George Petsock, Superintendent of the State Correctional Institution at Pittsburgh
At the same time, the district court granted the plaintiffs' motion for class certification under Fed.R.Civ.P. 23(a) and 23(b)(2). For purposes of the several challenges to the conditions of confinement, the class certification order included all prisoners in administrative segregation at the State Correctional Institutions at Graterford, Huntingdon, and Pittsburgh during the pendency of the proceeding. With the approval of all parties, the district court, in June, 1986, immediately prior to trial, amended its class certification order to narrow the class to include only those inmates in the three RHU's during the pendency of the litigation who are sentenced to death. At the time of trial, all of Pennsylvania's capital prisoners were housed at either Graterford or Huntingdon. See Peterkin,
The eighth amendment is applicable to the states through the fourteenth amendment. See Robinson v. California,
Accord Ruiz v. Estelle,
To the extent raised by the prisoners, the district court properly considered the following enumerated in Rhodes:
the effect upon inmates of the condition of the physical plant (lighting, heat, plumbing, ventilation, living space, noise levels, recreation space); sanitation (control of vermin and insects, food preparation, medical facilities, lavatories and showers, clean places for eating, sleeping, and working); safety (protection from violent, deranged, or diseased inmates, fire protection, emergency evacuation); inmate needs and services (clothing, nutrition, bedding, medical, dental, and mental health care, visitation time, exercise and recreation, educational and rehabilitative programming); and staffing (trained and adequate guards and other staff, avoidance of placing inmates in positions of authority over other inmates).
Rhodes,
In their appeal, the prisoners assert that the cells do not afford them space deemed acceptable by any responsible penal association, including the American Correctional Association, which recommends eighty square feet per cell. Peterkin,
The American Correctional Association and the Commission on Accreditation for Corrections develop and publish the Standards for Adult Correctional Institutions (1981 and Supp. 1986, 1988) ("Standards"), setting over 450 standards for evaluating every aspect of prison life. To be accredited by the Commission on Accreditation for Corrections, a prison must meet all "mandatory" standards, ninety percent of the "essential" standards and eighty percent of the "important" standards. Standards at xvii. At the time of trial, Graterford was not accredited but planned to take the initial step toward accreditation in fiscal year 1986-1987. Peterkin,
The district court found that the Commonwealth is currently undertaking a $300 million prison construction and renovation program. Peterkin,
At Graterford, inmates may make weekly telephone calls from inside the cells, using telephones connected outside the cells, Peterkin,
The paging system is discussed in greater detail in Part III of this opinion, in the context of appellants' access to courts claim. See infra typescript at 1033
We agree with the district court that the medical needs, including psychological needs, of the prisoners are serious, see Peterkin,
The Supreme Court of Pennsylvania recently granted the petition for stay of execution filed by one of the class members. See Commonwealth v. Frey, No. 81-3-393 (Pa. June 16, 1988) (per curiam). In this order, the court scheduled oral argument for September, 1988 on the question whether the statutory authorization for the Commonwealth's method of execution is constitutional. Id. See Commonwealth v. Terry,
The district court's apparently alternative formulation of its conclusion on psychological harm, that "psychological disturbances ... are a function of the sentences imposed," Peterkin,
Because the district court in this case did not prescribe the contents of the remedial plan it ordered the state to submit, the Sixth Circuit dismissed the state's appeal for lack of appellate jurisdiction. See Groseclose v. Dutton,
In the two cases considering prison exercise policy cited by the prisoners, the district court's findings of fact differed significantly from those in this case. In Frazier v. Ward,
The district court, as well as plaintiffs, locate the source of the right of access to the courts in the sixth amendment. See Peterkin,
Where a prisoner alleged that he was retaliated against for filing a civil rights complaint against prison officials, we held that the right of access implicates the first amendment's petition clause. See Milhouse v. Carlson,
In Younger, the Court affirmed the judgment of the district court in Gilmore v. Lynch,
In response to Bounds, prisons have instituted a variety of means of providing legal assistance to prisoners in segregated units. Where law libraries are provided, no case holds that a state fulfills its obligation to provide an adequate law library under regulations that deny control unit prisoners any access to a library. See e.g., Caldwell v. Miller,
At least one court has determined that for purposes of all state post-conviction proceedings involving a challenge to the death penalty, the right of meaningful access to the courts cannot be assured without the mandatory appointment of counsel. See Giarratano v. Murray,
We note, however, that we have recently rejected a plan in Trenton State Prison proposing reduced paralegal assistance for prisoners in close custody limited to a library paging system. See Valentine v. Beyer,
Paging systems similar to the one established by the Commonwealth, as the sole legal assistance furnished to inmates, have been rejected consistently by other courts of appeals. See e.g., Corgain v. Miller,
Ordinarily, a prisoner should have direct access to a law library if the state chooses to provide a prison law library as its way of satisfying the mandate of Bounds. Simply providing a prisoner with books in his cell, if he requests them, gives a prisoner no meaningful chance to explore the legal remedies that he might have. Legal research often requires browsing through various materials in search of inspiration; tentative theories may have to be abandoned in the course of research in the face of unfamiliar adverse precedent. New theories may occur as a result of a chance discovery of an obscure or forgotten case. Certainly a prisoner, unversed in the law and the methods of legal research, will need more time or more assistance than the trained lawyer exploring his case. It is unrealistic to expect a prisoner to know in advance exactly what materials he needs to consult.
Id. at 1339.
As we stated in Hudson, however, "[i]t is possible that a combination of several factors might, taken together, lead to a finding that a prisoner has been denied access to the courts, where no one of the factors taken alone, would do so." Hudson,
The district court did not have the benefit of a published opinion of this Court applying the actual injury requirement to cases dealing with the sufficiency of legal assistance rather than ancillary items. It relied on an unpublished opinion of this Court in which we affirmed the dismissal of a pro se prisoner's complaint of denial of access to the courts. Cole v. Fulcomer, No. 86-5246 (3d Cir. Dec. 3, 1986) (unpublished memorandum opinion), see Cole v. Fulcomer,
We note that the plaintiffs' demonstration of actual injury or an instance of actual denial of access to the courts is not a standing requirement. See Hudson at 466 (absent evidence that any inmates were denied access to the courts discussion of standing is unnecessary). The district court correctly found that the plaintiff-class, all prisoners under sentence of death in the Commonwealth of Pennsylvania, have standing to challenge the conditions of their confinement and the Commonwealth's programs, policies and practices determining their access to the courts. The plaintiff-class clearly met the actual or threat of actual injury requirements inherent in applicable standing law. See generally, Frissell v. Rizzo,
This Court has repeatedly analyzed access to courts and legal assistance claims without reference to an actual injury showing. United States v. Grimes,
We can take notice of the fact that many prisoners are unable to prepare legal materials and file suits without assistance. The record contains some examples of Rhodes having provided the assistance required by a few such prisoners. The challenged restriction, therefore, might materially impair the ability of some prisoners to file civil rights actions. Suits by these prisoners to protect their own rights of access to the courts would be difficult because, as alleged, they would require the assistance of someone like Rbodes to bring such a suit.
Rhodes,
Even where a state provides prison law libraries and permits inmate legal assistance, and where the prisoners in question are actually represented by lawyers, Bounds indicates that a prison regulation affecting access to the courts may be found to impermissibly burden the right. See Bounds,
Recent amendments to the waiver provisions in Pennsylvania's post-conviction relief statute, 42 Pa.Cons.Stat.Ann. Sec. 9544 (Purdon 1988), require a petitioner to raise all issues that can be raised in prior proceedings in order to avoid waiving them. Federal courts generally may not consider claims barred by an independent and adequate state procedural rule. Wainwright v. Sykes,
We note that the Bounds Court rejected the argument that since the right to counsel did not extend to discretionary appeals the right to access to the courts also did not extend that far. See Bounds,
This rule provides:
Rule 1503. Appointment of Counsel
(a) Except as provided by Rule 1504, when an unrepresented petitioner satisfies the court that he is unable to procure counsel, the court shall appointment counsel to represent him. The court, on its own motion, shall appoint counsel to represent a petitioner whenever the interests of justice require it.
(b) Where counsel has been appointed, such appointment shall be effective until final judgment, including any proceedings upon appeal from a denial of collateral relief.
Pa.R.Crim.P. 1503 (Purdon's Supp.1988) (emphasis added).
The Pennsylvania legislature has recently amended this Act and retitled it the Post-Conviction Relief Act (PCRA). See Purdon's Pennsylvania Legislative Service, # 3, June 1988. In doing so, it repealed 42 Pa.Cons.Stat. Sec. 9551(b), which provided for appointment of counsel as follows:
Sec. 9551. Pauper petitions
(a) General rule.--If the petition alleges that the petitioner is unable to pay the costs of the proceeding, the court may order that the petitioner be permitted to proceed as a poor person and order a transcript of the proceedings delivered to the petitioner.
(b) Appointment of counsel.--If the petitioner is without counsel and alleges that he is without means to procure counsel, he shall state whether or not he wishes counsel to be appointed to represent him. If appointment of counsel is so requested and the court is of the opinion that a hearing on the petition is required, the court shall appoint counsel if satisfied that the petitioner has no means to procure counsel. The appointment of counsel shall not be required if the petitioner's claim is patently frivolous and without trace of support in the record as provided by section 9549 (relating to hearing on petition).
Pa.Cons.Stat. Sec. 9551. Even before the repeal of this provision, it was to be read in conjunction with the rules of criminal procedure promulgated by the Pennsylvania Supreme Court. See Pa.R.Crim.P. 1507. Since Pa.R.Crim.P. 1503 is unaffected by the statutory amendment, our analysis of the availability of counsel to Commonwealth prisoners under Pennsylvania law remains unchanged
By focusing on what Pa.R.Crim.P. 1503 does not provide, we do not mean to belittle its contribution to criminal justice. By providing indigent prisoners a statutory right to appointed counsel for at least one phase of state post-conviction proceedings, the Commonwealth extends critical legal assistance to its prisoners. In Pennsylvania v. Finley,
This provision states:
Sec. 3005. Counsel and witnesses in capital cases
Whoever is indicted for treason or other capital crime shall be allowed to make his full defense by counsel learned in the law; and the court before which he is tried, or some judge thereof, shall immediately, upon his request, assign to him such counsel, not exceeding two, as he may desire, who shall have free access to him at all reasonable hours. He shall be allowed in his defense to make any proof that he can produce by lawful witnesses, and shall have the like process of the court to compel his witnesses to appear at his trial, as is usually granted to compel witnesses to appear on behalf of the prosecution.
18 U.S.C. Sec. 3005 (1986).
This statute provides in pertinent part:
(b) Appointment of counsel. Counsel furnishing representation under the plan shall be selected from a panel of attorneys designated or approved by the court, or from a bar association, legal aid agency, or defender organization furnishing representation pursuant to the plan.
(g) Discretionary appointments. Any person subject to revocation of parole, in custody as a material witness, or seeking relief under section 2241, 2254, or 2255 of title 28 [28 U.S.C. Secs. 2241, 2254 or 2255] or section 2245 of Title 18 [18 U.S.C. Sec. 4245] may be furnished representation pursuant to the plan whenever the United States magistrate or the court determines that the interests of justice so require and such person is financially unable to obtain representation. Payment for such representation may be provided in subsections (d) and (e).
18 U.S.C. Sec. 3006A(b), (g) (1986) (emphasis added).
The accompanying Guideline provides:
B. Appointment of Counsel in Death Penalty Cases. In the event that counsel is appointed for a person who has been sentenced to death by a state court and is seeking relief pursuant to 28 U.S.C. Sec. 2254, the judicial officer may appoint and compensate under the Criminal Justice Act an attorney furnished by a state or local public defender organization or by a legal aid agency or other private, non-profit organization to represent the person. Such appointments may be in place of, or in addition to, the appointment of a federal defender organization or a CJA panel attorney or an attorney appointed pro hac vice in accordance with paragraph 2.01 of the CJA Guidelines. Such appointments should be made when the court determines that they will provide the most effective representation. In making this determination, the court should take into consideration whether the attorney represented the person during prior state court proceedings.
(e) Services other than counsel.--
(1) Upon request.--Counsel for a person who is financially unable to obtain investigative, expert, or other services necessary for an adequate defense may request them in an ex parte application. Upon finding, after appropriate inquiry in an ex parte proceeding, that the services are necessary and that the person is financially unable to obtain them, the court, or the United States magistrate if the services are required in connection with a matter over which he has jurisdiction, shall authorize counsel to obtain the services.
(2) Without prior request.--Counsel appointed under this section may obtain, subject to later review, investigative, expert, or other services without prior authorization if necessary for an adequate defense. The total cost of services obtained without prior authorization may not exceed $150 and expenses reasonably incurred.
(3) Maximum amounts.--Compensation to be paid to a person for services rendered by him to a person under this subsection, or to be paid to an organization for services rendered by an employee thereof, shall not exceed $300, exclusive of reimbursement for expenses reasonably incurred, unless payment in excess of that limit is certified by the court, or by the United States magistrate if the services were rendered in connection with a case disposed of entirely before him, as necessary to provide fair compensation for services of an unusual character or duration, and the amount of the excess payment is approved by the chief judge of the circuit.
18 U.S.C. Sec. 3006A(e).
The record reveals that the following exchange occurred among counsel for the prisoners, Mr. Presser, a prisoner on death row at Graterford, Mr. Fahy, counsel for the Commonwealth, Mrs. Vickers, and the district court
Q Do you have an attorney now sir?
A Yes.
Q Is he court appointed?
A Yes.
Q Do you know what will happen when it is time to file your post conviction remedies?
MS. VICKERS: Objection, Your Honor.
THE COURT: I will sustain the objection.
BY MR. PRESSER:
Q Would you tell the Court where in the legal process you are, if you know?
A I have no idea. I don't know because like I said I am not able to understand the law. I am not able to get anything from it. I tried, but I called him one time and the way he talked law to me, it is just not understandable to me. What area he is at now I don't know.
Q Do you know how you intend to handle your Federal habeas?
A No. I sent for some forms from the library law clinic. Lesko told me I might need them in the future. I believe I still have them in my box, that I put my name on one, I believe the name and some other information about myself, but that is as far as I could get. I believe I still have them.
Jt.App. at 177a-178a.
