In these consolidated appeals, we are asked to determine the constitutionality of provisions of the Prison Litigation Reform Act of 1995 (“PLRA”), Pub.L. 104-134, 110 Stat. 1321-66 (Apr. 26, 1996), that require termination of prospective relief in prison conditions cases. This is not the first occasion we have had to address the constitutionality of these provisions, 2 nor are we the first circuit to be presented with this question. 3 Although we follow our sister circuits in holding the termination provisions constitutional, we do so on grounds that are at once less sweeping a deviation from prior case law on the equitable discretion of courts in prison conditions litigation, and closer, we believe, to the text of the statute.
I. Background and Prooedural History
A. The Hands-Off Doctrine
In order to understand how the PLRA operates, a sense of the context from which it emerged is helpful. Litigation over prison conditions is a relatively recent
Although asked to intervene on behalf of prisoners, federal courts systematically declined under the so-called “hands-off doctrine,” a rule of judicial quiescence derived from federalism and separation of powers concerns. As our court once held, “it is well settled that it is not the function of the courts to superintend the treatment and discipline of prisoners in penitentiaries, but only to deliver from imprisonment those who are illegally confined.”
Stroud v. Swope,
Traditionally, federal courts have adopted a broad hands-off attitude toward problems of prison administration. In part this policy is the product of various limitations on the scope of federal review of conditions in the state penal institutions. More fundamentally, this attitude springs from complementary perceptions about the nature of the problems and the efficacy of judicial intervention. Prison _ administrators are responsible for maintaining internal order and discipline, for securing their institutions against unauthorized access or escape, and for rehabilitating, to the extent that human nature and inadequate resources allow, the inmates placed in their custody. The Herculean obstacles to effective discharge of these duties are too apparent to warrant explication. Suffice it to say that the problems of prisons in America are complex and intractable, and, more to the point, they are not readily susceptible of resolution by decree. Most require expertise, comprehensive planning, and the commitment of resources, all of which are peculiarly within the province of the legislative branches of government.... Moreover, where state penal institutions are involved, federal courts have a further reason for deference to the appropriate prison authorities.
Procunier v. Martinez,
However, in landmark cases in the 1960’s and 1970’s the Supreme Court changed course, affirming the basic proposition that “[tjhere is no iron curtain drawn between the Constitution and the prisons of this country,”
Wolff v. McDonnell,
In the litigation which gave rise to and followed these pronouncements on prisoners’ rights,
[c]lass-action suits by prisoners ... led the courts to the definition and enforcement of minimum standards of health care, to the establishment of minimum procedural due-process requirements for the imposition of disciplinary punishments, to the equal protection of the laws for different categories of inmates, and to the upholding of the Eighth Amendment guarantee against cruel and unusual punishments.
Norval Morris,
The Contemporary Prison: 1865-Present, in
THE OXFORD HISTORY OF THE PRISON 245 (Norval Morris & David J. Rothman eds., 1995);
see also Wolff,
B. Gilmore
The
Gilmore
case is among the first generation of prison conditions cases in which the Supreme Court recognized and enforced minimum constitutional guarantees in the prison setting. The case began as a consolidation of numerous actions filed by prisoners in facilities administered by the California Department of Corrections (“CDC”).
See Gilmore v. Lynch,
Observing that the due process right of reasonable access to the courts “encompasses all the means a defendant or petitioner might require to get a fair hearing from the judiciary on all charges brought against him or grievances alleged by him,” the court found that the CDC regulations “offer meager fare to a criminal lawyer.” Id. at 110. As the court elaborated:
There are no annotated codes, no United States Reports, no Federal Reports, no California Reports. There are unannotated versions of four of California’s codes, but there is no copy of any part of the United States Code. There are copies of the rules of [sic] California and certain federal courts, but there is no edition of the Rules of the Federal District Courts which receive a great many of the habeas corpus petitions, and all of the civil rights petitions, filed by California prisoners. There is one copy of Witkin’s treatise on California criminal procedure, but there are no other law books or journals ... on the list.
Id.; see also id. at 107 n. 2 (noting that the regulation ordered “all existing law books and references in inmate law libraries not consistent with [the exclusive list] removed and destroyed”). The court flatly rejected the state’s argument that a prisoner need only “file a brief statement of the facts of his case” in order to effectively obtain access to the courts:
The wording of the statute and the wishes of scholars notwithstanding, this Court takes notice that more than simple “facts” are needed in order to file an adequate petition for relief by way of habeas corpus. A prisoner should know the rules concerning venue, jurisdiction, exhaustion of remedies, and proper parties respondent. He should know which facts are legally significant, and merit presentation to the Court, and which are irrelevant or confusing. When the Return is filed, it is never without abundant citations to legal authority, and a proper traverse must take cognizance of these points. No attorney filing a-habe-as petition omits a statement of points and authorities, and neither does the State’s attorney in responding to one.... Johnson v. Avery,393 U.S. 483 ,89 S.Ct. 747 ,21 L.Ed.2d 718 (1969), makes it clear that some provision must be made to ensure that prisoners have the assistance necessary to file petitions and complaints which will in fact be fully considered by the courts.
Id. at 110; see also id. at 109 (citing cases recognizing equal protection right of indigent and uneducated prisoners “to the tools necessary to. receive adequate hearing in the courts”).
Having found the restrictive list of prison library books constitutionally deficient, the court observed that the alternatives open to the state to protect prisoners’ right of access “are legion.”
Id.
at 110 (noting that state could authorize public defenders to assist in collateral proceedings or initiate a legal aid program with law students and professors). The court also carefully noted that its broad equitable discretion to shape an appropriate remedy was counterbalanced by the requirement of deference to prison administrators.
Id.
at 112 (“[J]udges have always feared to rush in where correctional officials are presumed more fit to tread.”).
undertake the task of devising another system whereby indigent prisoners are given adequate means of obtaining the legal expertise necessary to obtain judicial consideration of alleged grievances cognizable by the courts. The Department of Corrections will, therefore, decide whether to expand the present list of basic codes and references in the manner suggested by this opinion, or whether to adopt some new method of satisfying the legal needs of its charges.
Id.
The Supreme Court affirmed in a summary opinion,
see Younger v. Gilmore,
Four years later the' state filed a memorandum of compliance with the 1972 Order. Defs’ Mem. of Compliance with Oct. 13, 1976 Order (filed Sept. 7, 1976). Conceding that “[pjrior to the court order, there was virtually no law material in most libraries [and that what] was on hand was usually old, dated and of little value,” the memorandum detailed extensive modifications in the libraries’ collections, circulation practices and rules for inmate access. Id. at 3. In 1977, frustrated with plaintiffs’ failure to prosecute the remaining individual causes of action, the district court denied plaintiffs leave to amend the complaint and ordered plaintiffs’ counsel to “prepare a final judgment encompassing the complete results of this action.... ” Order Granting Defs’ Mtn. to Dismiss (August 25, 1977). On September 28, 1979, following negotiations regarding attorney’s fees, the district court ordered defendants to pay plaintiffs’ counsel a sum certain and stated:
This action shall be dismissed. Upon satisfactory payment of said fee, judgment shall be entered, subject to the right of plaintiffs to file a petition with this Court to seek enforcement with the provision of this Court’s order of October 16, 1972.
Order Settling and Dismissing Action (Sept. 28, 1979). Six months later the court dismissed the action with prejudice.
There was no further action in the case for seventeen years — the CDC presumably maintained its libraries in accordance with the 1972 Order. In July 1997, however, the Deputy Director of the Institutions Division of the CDC circulated a memorandum to the library staff ordering them to “delay the processing of orders for updating the current collection,” and to process “only those orders for lawbooks on the attached list.” The memo added that, in view of
Lewis v. Casey,
As a case in which the substantive constitutional violation was fully adjudicated, and the remedy chosen and implemented by the CDC without protest or post-judgment supervision/modification, Gilmore differs markedly from Thompson.
C. Thompson
Thompson is one of the lingering second and third generation prison conditions cases which appear to have occupied Congress’ attention in drafting the termination provisions of the PLRA. In the later eases, prison administrators generally elected to enter consent decrees rather than litigate the alleged constitutional violations. See supra, notes 2 and 3 (citing cases involving comprehensive consent decrees). In these negotiated decrees, prison administrators frequently agreed to wide-ranging changes in prison practices that exceeded the constitutional minimum. Moreover, since courts are bound to enforce the terms of the decrees (indeed, this is the key distinction between a private settlement and a consent judgment), courts have often exercised continuing supervision over prisons subject to the decrees. The courts’ supervision has been especially “hands-on”— e.g., appointing special masters, imposing sanctions for contempt, and modifying or expanding the relief provided by the decrees — where prison administrators have failed to ■ effectuate the terms of the decrees.
Thompson is a quintessential continuing supervision case. It began as a class action in 1979 by condemned inmates at San Quentin State Prison. Plaintiffs claimed that automatic confinement to administrative segregation constituted cruel and unusual punishment, violated their First Amendment right to the free exercise of religion, and abridged each prisoner’s right to an individualized assessment of his or her security risk. (By CDC regulation, prisoners in the general population could only be confined to administrative segregation for violating prison rules or posing an inherent threat to institutional security.)
A year later, the parties entered, and the court approved, a comprehensive consent decree. Thompson v. Enomoto, No. 79-1630-SAW, Consent Decree (Oct. 23, 1980). The decree covered a wide range of issues including procedures for classifying death row inmates according to their security risk, procedures for changing an inmate’s classification, out-of-cell activities and schedules, and access to legal materials. 8 Anticipating a quick transition to full compliance, the court reserved its jurisdiction for one year, adding that “[a]t the end of one year from the date of this decree, by which time the terms of this decree shall have been implemented, this section shall be dismissed in its entirety.” Id. at 2.
When the parties’ negotiations foundered, plaintiffs moved the court to appoint a special master pursuant to Rule 53 of the Federal Rules of Civil Procedure. The court granted plaintiffs’ motion and, in 1985, appointed a “Monitor” along with an order of reference conferring broad discovery powers and indicating that, absent an objection or clear error, the Monitor’s reports would be accepted as the findings of fact and conclusions of law of the court. On appeal, we held that the consent decree implicitly contemplated the appointment of a special master because the court retained authority to establish procedures for ensuring compliance with the decree.
See Thompson v. Enomoto,
Over the next decade, the Monitor filed six reports, several of which found prison conditions in violation of the decree. The consent decree itself was modified on two occasions (once to give prisoners access to free weights and electronic typewriters in exchange for greater latitude in restraining prisoners outside death row, and once to expand law library access, incorporate noise protections and restrict Grade B prisoner privileges).
See Thompson v. Enomoto,
After the district court adopted the Sixth Report and denied another request by defendants to modify the decree, defendants moved to terminate the decree under the PLRA. The court granted the motion over plaintiffs’ objections on constitutional grounds.
See Thompson v. Gomez,
The PLRA’s restrictions on granting and maintaining prospective relief came largely in response to cases similar to
Thompson.
The sponsors of the Act decried “overzealous Federal courts ... micromanaging our Nation’s prisons,” 141 Cong. Rec. S14418 (daily ed. Sept 27, 1995) (remarks of Sen. Hatch), and “judicial orders entered under Federal law [which] have effectively turned control of the prison system away from elected officials accountable to the taxpayer, and over to the courts.”
Id.
at S14419 (remarks of Sen. Abraham).
10
From these and other
II. Standard of Review
The interpretation and construction of statutes are reviewed de novo.
Gilbrook v. City of
Westminster;
III. Discussion
Plaintiffs’ challenge to the PLRA’s termination provisions is fourfold. First, they argue that the termination provisions violate separation of powers because the provisions (a) reopen and mandate the termination of final judgments,
see Plaut v. Spendthrift Farm, Inc.,
A. The Termination Provisions
Each of these claims requires a careful analysis of the termination provisions. In undertaking this analysis, we are especially mindful of the guiding principle that “where a statute is susceptible of two constructions, by one of which grave and doubtful constitutional questions arise and by the other of which such questions are avoided, our duty is to adopt the latter.”
United States ex rel Attorney General v. Delaware & Hudson Co.,
This cardinal principle has its roots in Chief Justice Marshall’s opinion for the Court in Murray v. The Charming Betsy, 2 Cranch 64, 2 L.Ed. 208 (1804), and has for so long been applied by this Court that it is beyond debate.... This approach not only reflects the prudential concern that constitutional issues not be needlessly confronted, but also recognizes that Congress, like this Court, is bound by and swears an oath to uphold the Constitution. The courts will therefore not lightly assume that Congress intended to infringe constitutionally protected liberties or usurp power constitutionally forbidden it.
DeBartolo Corp. v. Florida Gulf Coast Bldg. & Constr. Trades Council,
The principle is mitigated only by the equally important rule that “avoidance of a difficulty will not be pressed to the point of disingenuous evasion.”
George Moore Ice Cream Co., Inc. v. Rose,
The PLRA establishes a comprehensive set of standards to govern prospective relief in prison- conditions cases. Section 3626(a)(1) of Title 18 provides that prospective relief “shall extend no further than necessary to correct the violation of the Federal right of a particular plaintiff or plaintiffs.” 18 U.S.C. § 3626(a)(1). Thus a district court faced with a prison conditions suit may not grant or approve prospective relief “unless the court finds 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 of the Federal right.”
Id.
The provision closes by requiring courts to “give substantial weight to any adverse impact on public safety or the operation of a criminal justice system caused by the relief,”
id.,
and by limiting courts’ power to grant preliminary injunctive relief, 18 U.S.C. § 3626(a)(2), or to release prisoners as a sanction for failure to comply with other relief. 18 U.S.C. § 3626(a)(3).
14
If prospective relief has already been granted by a court, § 3626(b) controls. According to subsection (1) of § 3626(b), prospective relief is
terminable upon the motion of any party or intervener (i) 2 years after the date the court granted or approved the prospective relief; (ii) 1 year after the date the court has entered an order denying termination of prospective relief under this paragraph; or (iii) in the case of an order issued on or before the date of enactment of the Prison Litigation Reform Act, 2 years after the date of enactment.
18 U.S.C. § 3626(b)(1). Thus, any prospective relief becomes terminable, at the latest, two years after its imposition.
Section 3626(b)(2) goes further, setting forth a retroactive standard for immediate termination of prospective relief where the conditions of § 3626(b)(3) are not met:
(2) Immediate termination of prospective relief. — -In any civil action with respect to prison conditions, a defendant or intervener shall be entitled to the immediate termination of any prospective relief if the relief was approved or granted in the absence of a finding by the court that the 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 of the Federal right.
(3) Limitation. — Prospective relief shall not terminate if the court makes written findings based on the record that prospective relief remains necessary to correct a current and ongoing violation of the Federal right, extends no further than necessary to correct the violation of the Federal right, and that the prospective relief is narrowly drawn and the least intrusive means to correct the violation.
18 U.S.C. § 3626(b)(2) & (b). According to these provisions, then, any “prospective relief’ that exceeds the constitutional minimum must be terminated regardless of when it was granted. 15
The statute defines “prospective relief’ as “all relief other than compensatory monetary damages.” 18 U.S.C. § 3626(g)(7). “Relief,” in turn, is “all relief in any form that may be granted or approved by the court, and includes consent decrees but does not include private settlements.” 18 U.S.C. § 3626(g)(9). “Consent decree” is also a defined term in the statute. It means “any relief entered by the court that is based in whole or in part upon the consent or acquiescence of the parties but does not include private settlements.” 18 U.S.C. § 3626(g)(1).
B. Separation of Powers
Two things are immediately apparent from the plain language of § 3626(b) and its defined terms for separation of power purposes. First, § 3626(b)(2) mandates only the termination of prospective relief, it does not
1. Terminating Final Judgments
Many of the courts to rule on the termination provisions have concluded that the statute requires nothing less than the termination of consent decrees, and have then proceeded to address the grave constitutional question whether Congress can command the courts retroactively to terminate a final judgment.
See Dougan,
Although the statute does define “relief’ to include “consent decrees,” it defines “consent decree” narrowly. Our sister circuits have not attended to this narrow definition in their construction of the termination provisions.
See id.
In its ordinary usage, a consent decree is both a contract of settlement and a final judgment.
17
Thus, although it provides for in-
We are bound to give effect to this explicit statutory definition even though it deviates from common usage.
See Meese v. Keene,
Under this saving construction, the separation of powers question is relatively straightforward — namely, whether Congress may set a new and retroactively applicable standard for obtaining relief from final judgments which impose forward-looking injunctive remedies. This, Congress .certainly may do. Although
Plant
stands for the proposition that Congress may not enact “retroactive legislation requiring an Article III court to set
The legislative action at issue in
Wheeling Bridge II
is not directly analogous to the PLRA, but the case nicely demonstrates the applicable rule. In
Pennsylvania v. Wheeling & Belmont Bridge Co.,
Now, we agree, if the remedy in this case had been an action at law, and a judgment rendered in favor of the plaintiff for damages, the right to these would have passed beyond the reach of the power of congress. It would have depended, not upon the public right of the free navigation of the river, but upon the judgment of the court. The decree before us, so far as it respect[s] the costs adjudged, stands upon the same principles, and is unaffected by the subsequent law. But that part of the decree, directing the abatement of the obstruction, is executory, a continuing-decree, which requires not only the removal of the bridge, but enjoins the defendants against any reconstruction or continuance. Now, whether it is a future existing or a continuing obstruction depends upon the question whether or not it interferes with the right of navigation. If, in the mean time, since the decree, this right has been modified by the competent authority, so that the bridge is no longer an unlawful obstruction, it is quite plain the decree of this court can no longer be enforced.
Wheeling Bridge II,
Although the post road statute in
Wheeling Bridge II
directly changed the underlying substantive law (whether the bridge was an unlawful obstruction of navigation), Congress is clearly without power to modify the underlying constitutional rights at stake in prison conditions cases. Congress cannot, for instance, declare whether certain prison conditions violate the Eighth Amendment’s prohibition against cruel and unusual punishment.
See Dickerson v. United States,
— U.S. —,
By establishing new standards for the enforcement of prospective relief in § 3626(b), Congress has altered the relevant underlying law. The PLRA has restricted courts’ authority to issue and enforce prospective relief concerning prison conditions, requiring that such relief bé supported by findings and precisely tailored to what is needed to remedy the violation of a federal right.... As Plant and Wheeling Bridge II instruct, when Congress changes the law underlying a judgment awarding prospective relief, that relief is no longer enforceable to the extent it is inconsistent with the new law.
— U.S. at —,
A more serious question would obviously be presented under
Plaut
if we were to conclude that the termination provisions do more — i.e., that they destroy the underlying contract which is the basis of a consent decree, automatically terminate the jurisdiction of federal courts, or deprive a final judgment (whether rendered by consent or following adjudication) of any collateral effects it may have apart from the prospective relief it enforces. As Judge Calabresi noted in
Benjamin,
where a final judgment awards only prospective relief, the distinction between requiring a court to terminate such relief if certain conditions are met, and ordering a court to terminate the judgment itself, may seem trivial or formalistic.
Much of the Constitution is concerned with setting forth the form of our government, and the courts have traditionally invalidated measures deviating from that form. The result may appear ‘Tor-malistic” in a given case ... [b]ut the Constitution protects us from our own best intentions: It divides power among sovereigns and among branches of government precisely so that we may resist the temptation to concentrate power in one location as an expedient solution to the crisis of the day.
New York v. United States,
2. Prescribing the Rule of Decision
Our reading also permits the conclusion that the termination provisions do not prescribe a rule of decision within the meaning of
United States v. Klein,
Just after the Court’s decision in
Padelford,
while Klein’s case was still pending-on appeal to the Supreme Court, Congress attempted to reverse the holding in
Padelford.
It passed a statute providing that a pardon must be taken as conclusive proof that the pardoned person actually gave aid and comfort.
See Klein,
[n]o arbitrary rule of decision was prescribed in that case, but the court was left to apply its ordinary rules to the new circumstances created by the act. In the case before us no new circumstances have been created by the act. But the court is forbidden to give the effect to evidence which, in its own judgment, such evidence should have, and is directed to give it an effect precisely contrary. We must think that Congress has inadvertently passed-the limit which separates the legislative from the judicial power.
Id. at 146-47. 22
If § 3626(b) unconditionally directed federal courts to terminate prospective re
i. Granting a Remedy
As the Supreme Court long ago made clear in the school desegregation cases, although
the scope of a district court’s equitable powers to remedy past wrongs is broad, for breadth and flexibility are inherent in equitable remedies ... it is important to remember that judicial powers may be exercised only on the basis of a constitutional violation. Remedial judicial authority does not put judges automatically in the shoes of school authorities whose powers are plenary. Judicial authority enters only when local authority defaults.... As with any equity case, the nature of the violation determines the scope of the remedy.
Swann v. Charlotte-Mecklenburg Bd. of Educ.,
The well-settled principle that the nature and scope of the remedy are to be determined by the violation means that federal-court decrfees must directly address and relate to the constitutional violation itself. Because of this inherent limitation upon federal judicial authority, federal-court decrees exceed appropriate limits if they are aimed at eliminating a condition that does not violate the Constitution or does not flow from such a violation, or if they are imposed upon governmental units that were neither involved in nor affected by the constitutional violation.... But where, as here, a constitutional violation has been found, the remedy does not “exceed” the violation if the remedy is tailored to cure the “condition that offends the Constitution.”
On the other hand, continuing decrees entered by consent of the parties may, precisely because of their consensual nature, provide more than the constitutional minimum:
[W]e have no doubt that, to “save themselves the time, expense, and inevitable risk of litigation,” United States v. Armour & Co.,402 U.S. 673 , 681,91 S.Ct. 1752 ,29 L.Ed.2d 256 (1971), petitioners could settle the dispute over the proper remedy for the constitutional violationsthat had been properly found by undertaking to do more than the Constitution itself requires (almost any affirmative decree beyond a directive to obey the Constitution necessarily does that) but also more than what a court would have ordered absent the settlement.
Rufo,
At least in the context of contested decrees, then, the general standard for granting prospective relief differs little from the standard set forth in § 3626(b)(2) for terminating prospective relief, or from the standard set forth in § 3626(b)(3) for preserving relief to correct a current and ongoing violation. The limits on federal court jurisdiction are essentially the same — no more than necessary to correct the underlying constitutional violation. 23 It is not immediately obvious, therefore, that prospective relief granted in a contested decree which predates the PLRA will flunk the statute’s standard. District courts were already bound to follow a nearly identical standard. With respect to consent decrees, of course, any contractual surplusage (relief the court had jurisdiction to enforce only by virtue of the parties’ consent) is rendered unenforceable by the termination provisions, 24 but all other relief is untouched by the statute.
ii. Modifying the Remedy
Rule 60(b) provides in pertinent part:
On motion and upon such terms as are just, the court may relieve a party or a party’s legal representative from a final judgment, order, or proceeding for the following reasons ... (5) the judgment has been satisfied, released, or discharged, or a prior judgment upon which it is based has been reversed or otherwise vacated, or it is no longer equitable that the judgment should have prospective application; or (6) any other reason justifying relief from the operation of the judgment.
Fed.R.Civ.P. 60(b). The Rule codifies the long-established principle of equity practice that a court may, in its discretion, take cognizance of changed circumstances and relieve a party from a continuing decree. As the Supreme Court held in United States v. Swift & Co.:
We are not doubtful of the power of a court of equity to modify an injunction in adaptation to changed conditions, though it was entered by consent.... Power to modify the decree was reserved by its very terms, and from the beginning went hand in hand with its restraints. If the reservation had been omitted, power there still would be by force of principles inherent in the jurisdiction of the chancery. A continuing decree of injunction directed to events to come is subject always to adaptation as events may shape the need. The result is all one whether the decree has been entered after litigation or by consent. In either event, a court does not abdicate its power to revoke or modify its mandate, if satisfied that what it has been doing has been turned through changed circumstances into an instrument of wrong.
In
Rufo v. Inmates of Suffolk County Jail,
the Supreme Court considered the application of this rule to a prison conditions consent decree. The Court reversed the district court’s conclusion that a consent decree is impervious to modification absent a showing of “ ‘grievous wrong evoked by new and unforseen circumstances.’ ”
Obviously, the PLRA creates a more exacting standard for federal courts to follow. But the standard does not eviscerate a district court’s equitable discretion and thereby prescribe a rule of decision. First, nothing in the termination provisions can be said to shift the burden of proof from the party seeking to terminate the prospective relief. Second, and more importantly, although § 3626(b)(2) speaks of “immediate termination,” and although § 3626(e)(1) requires a “prompt” ruling, a district court cannot terminate prospective relief without determining whether the existing relief (in whole or in part) exceeds the constitutional minimum.
25
And, consistent with § 3626(b)(3), a district court can
C. Due Process and Equal Protection
We pass quickly over plaintiffs’ other constitutional objections. No circuit court has found the PLRA to violate due process or the Equal Protection Clause. See supra, notes 2 and 3. We decline to stray from these precedents.
D. Applying the Statute
Applying our construction of the statute to the cases at bar, we conclude that the district courts erred in a number of respects.
1. Gilmore
In
Gilmore,
the district court upheld the constitutionality of the Act, following the reasoning of the court in
Thompson v. Gomez,
Rather than place the burden on the state to show that the 1972 Order exceeded the constitutional minimum (recall that in fashioning that Order the court allowed the CDC to select its own means of ensuring inmates’ access to the courts,
see Gilmore,
The court also erred in its application of the limiting provision. The court placed the burden on plaintiffs to establish a current and ongoing violation of a Federal right rather than requiring the CDC, which had moved to terminate the decree, to prove its compliance with inmates’ right of access to the courts. And although the court correctly read
Casey
to require evidence of actual injury,
26
the court denied
2. Thompson
In
Thompson,
plaintiffs conceded that all but four remedies granted in the consent decree and subsequent proceedings were terminable under the PLRA.
See Thompson,
As in
Gilmore,
the district court was required to do more than merely examine the record for “findings.” If according to the record and relevant caselaw the prior orders granting relief were indeed narrowly drawn, extended no further than necessary, and were minimally intrusive, termination is improper under § 3626(b)(2). The court was further obliged to take evidence on the current circumstances at the prison as plaintiffs requested, at least with respect to those remedies as to which plaintiffs did not concede that defendants were in compliance. As the Second Circuit held in
Benjamin,
“[evidence presented at a prior time ... could not show a violation that is ‘current and ongoing.’ Hence, the ‘record’ referred to [in § 3626(b)(3) ] cannot mean the prior record but must mean a record reflecting conditions as of the time termination is sought.”
As to the noise remedy, the district court concluded: “The parties seem to agree that at present plaintiffs are not suffering noise levels that constitute a violation of the Eighth Amendment. Defendants have come into compliance with this term of the decree.”
Thompson,
TV. Conolusion
Accordingly, we REVERSE the termination of prospective relief in both cases and REMAND for further proceedings consistent with this order.
REVERSED AND REMANDED.
Notes
.
See Taylor v. United States,
.
See Berwanger v. Cottey,
. See id. ("The bill of rights is a declaration of general principles to govern a society of freemen, and not of convicted felons and men civilly dead.... They are slaves of the State undergoing punishment for heinous crimes ... [and] must be subject to the regulations of the institution of which they are inmates, and the laws of the State to whom their service is due in expiation of their crimes.”).
. Even as the Court recognized that prisoners’ constitutional rights must be protected, it hastened to add that "there must be mutual accommodation between institutional needs and objectives and the provisions of the Constitution that are of general application.”
Wolff,
.
See, e.g., Hutto v. Finney,
. The scope of the motion to terminate, and the fact that the district court explicitly retained jurisdiction to enforce the 1972 Order, establish that defendants’ termination request is not moot within the meaning of
Taylor v. United States,
. The decree established a three-tiered classification system. “Grade A” prisoners, who were not violent or escape risks, would be allowed contact visits and out of cell time comparable to that provided to the general population. "Grade B” prisoners, who were violent or escape risks, would be afforded the same privileges as inmates in maximum security administrative segregation. "Walk alones,” who would be Grade A’s but for the need to separate them from other prisoners for their own protection, would be afforded as much of the Grade A privileges as possible. The decree also established a schedule for outdoor exercise, required improvements in the exercise equipment, showers, meals, cell accommodations, medical treatment, and access to legal materials, and permitted Grade A prisoners privileges such as canteen access, education programs, hobbycraft items, and group religious services.
. In the interim, the court found defendants in contempt for violating inmates' visitation rights.
. Senator Abraham continued:
Under a series of judicial decrees resulting from Justice Department suits against the Michigan Department of Corrections, the Federal courts now monitor our State prisons to determine: First, how warm the food is; second, how bright the lights are; third, whether there are electrical outlets in each cell; fourth, whether windows are inspected and up to code; fifth, whether prisoners’hair is cut only by licensed barbers; and sixth ... whether air and water temperatures are comfortable.
This would be bad enough if a court had ever found that Michigan's prison system was at some point in violation of the Constitution, or if conditions there had been inhumane. But that is not the case.... Rather, the judicial intervention is the result of a consent decree that Michigan entered into in 1982 — 13 years ago — that was supposed to end a lawsuit filed at the same time. Instead, the decree has been a source of continuous litigation and intervention by the court into the minutia of prison operations.
Id.
. See, e.g., H.R. Rep. NO. 104-378, at 166 (1995) ("[The PLRA] amends 18 U.S.C. § 3626 to require that prison conditions remedies do not go beyond the measures necessary to remedy federal rights violations and that public safety and criminal justice needs are given appropriate weight in framing such remedies. Specifically, the section places limits on the type of prospective relief available to inmate litigants. The relief is generally limited to the minimum necessary to correct the violation of a federal right.") (emphasis added); H.R. Rep. No. 104-21, at 24 n. 2 (1995) ("By requiring courts to grant or approve relief constituting the least intrusive means of curing an actual violation of a federal right, the provision stops judges from imposing remedies intended to effect an overall modernization of local prison systems or provide an overall improvement in prison conditions. The provision limits remedies to those necessary to remedy the proven violation of federal rights.”).
. We are also mindful of the principle that a statute should not be construed to displace courts’ traditional equitable powers "[a]bsent the clearest command to the contrary.”
Califano v. Yamasaki,
. We note that although the
French
Court discussed the termination provisions, it did not reach the question of their constitutionality.
See id.
at —,
. Sponsors of the PLRA were especially concerned with courts setting "population caps” and ordering the release of inmates as a sanction for prison administrators’ failure to comply with the terms of consent decrees designed to eliminate overcrowding:
The second major section of the [PLRA] establishes some tough new guidelines for Federal courts when evaluating legal challenges to prison conditions. These guidelines will work to restrain liberal Federal judges who see violations o[f] constitutional rights in every prisoner complaint and whohave used these complaints to micromanage State and local prison systems.
Perhaps the most pernicious form of micromanagement is the so-called prison population cap. In 1993, for example, the State of Florjda put 20,000 prisoners on early release because of a prison cap order issued by a Federal judge who thought the Florida system was overcrowded and thereby inflicted cruel and unusual punishment on the State's prisoners. And then there’s the case of Philadelphia, where a court-ordered prison cap has put thousands of violent criminals back on the city’s streets, often with disastrous consequences....
By establishing tough new conditions that a Federal court must meet before issuing a prison cap order, this bill will slam-shut the revolving prison door.
141 Cong. Rec. S14414 (daily ed. Sept. 27, 1995) (remarks of Sen. Dole).
. See Pub.L. 104-134, Title I § 101, 110 Stat. 1321-70 (Apr. 26, 1996) ("Section 3626 of title 18, United States Code, as amended by this section, shall apply with respect to all prospective relief whether such relief was originally granted or approved before, on, or after the date of the enactment of this title.”).
. The view of Judge Calabresi of the Second Circuit is in sharp contrast.
See Benjamin,
Although we agree with Judge Calabresi that the statute must be read to reach only prospective relief, and not the underlying judgment which provides the relief, as the discussion below reveals, we believe this conclusion flows from the plain terms of the statute.
. As the Supreme Court has said:
To be sure, consent decrees bear some of the earmarks of judgments entered afterlitigation. At the same time, because their terms are arrived at through mutual agreement of the parties, consent decrees also closely resemble contracts. More accurately, then, as we have previously recognized, consent decrees "have attributes both of contracts and of judicial decrees,” a dual character that has resulted in different treatment for different purposes.
Local Number 93, Int’l Ass'n of Firefighters v. Cleveland,
The case law of our circuit is in accord.
See, e.g., Smith v. Sumner,
.
See Gates v. Shinn,
. "Private settlement agreement” is separately defined as “an agreement entered into among the parties that is not subject to judicial enforcement other than the reinstatement of the civil proceeding that the agreement settled.” 18 U.S.C. § 3626(g)(6).
. As the Court put it in Plaut:
The record of history shows that the Framers crafted th[e] charter of the judicial department with an expressed understanding that it gives the Federal Judiciary the power, not merely to rule on cases, but to decide them, subject to review only by superior courts in the Article III hierarchy—with an understanding, in short, that a judgment conclusively resolves the case because a judicial Power is one to render dispositive judgments. By retroactively commanding the federal courts to reopen final judgments, Congress ... violate[s] this fundamental principle.
. See id. ("The court is required to ascertain the existence of certain facts and thereupon to declare that its jurisdiction on appeal has ceased, by dismissing the bill. What is this but to prescribe a rule for the decision of a cause in a particular way.”).
. The Court was also concerned with Congress’ encroachment on the President’s power to grant pardons.
See id.
at 147-48 (noting that the power to pardon is entrusted to the Executive branch alone, and that the legislature "cannot change the effect of such a par
. Sections 3626(b)(2) and (b)(3) both contain narrow language emphasizing just how closely prospective relief must track the constitutional minimum in order to survive, but Congress clearly cannot define a constitutional right out of existence by preventing courts from crafting an effective - remedy.
See Rufo,
[There is a] critical difference between rights created by federal statute and rights recognized by the Constitution.... [Sjuch a'distinction seems to us to be necessary in light of the delicate accommodations required by the principle of separation of powers reflected in Article III.... [Wjhen Congress creates a statutory right, it -clearly has the discretion, in defining that right, to create presumptions, or assign burdens of proof, or prescribe remedies.... Such provisions do, in a sense, affect the judicial power, but they are also incidental to Congress’ power to define the right that it has created. No comparable justification exists, however, when the right being adjudicated is not of congressional creation. In such a situation, substantial inroads into functions that have traditionally been performed by the Judiciary cannot be characterized as incidental extensions of Congress’ power to define rights that it has created. Rather, such inroads suggest unwarranted encroachments upon the judicial power of the United States, which our Constitution reserves for Article III courts.
.
Cf. Benjamin,
. The statute directs a court to inquire whether "the relief was approved or granted in the absence of a finding by the court that the 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 of the Federal right.” 18 U.S.C. § 3626(b)(2). We do not read this to mean that explicit findings must have been made, so long as the record, the court’s decision ordering prospective relief, and relevant caselaw fairly disclose that the relief actually meets the § 3626(b)(2) narrow tailoring standard. Otherwise, relief which was in fact narrowly tailored would be subject to termination merely because an express finding to that effect, totally unnecessary under the law at the time of decision, was not made. A court would then be “forbidden to give the effect to evidence which, in its own judgment, such evidence should have,
. As the Court held in Casey:
Because Bounds did not create an abstract, freestanding right to a law library or legal assistance, an inmate cannot establish relevant actual injury [for purposes of standing] simply by establishing that his prison’s law library or legal assistance program is sub-par in some theoretical sense.... Insofar as the right vindicated by Bounds is concerned, "meaningful access to the courts is the touchstone,” and the inmate thereforemust go one step further and demonstrate that the alleged shortcomings in the library or legal assistance program hindered his efforts to pursue a legal claim.
. Plaintiffs point to the 1997 Memo as evidence of an imminent violation of a federal right. The argument is that the 1972 Order must be preserved to prevent an imminent violation of their right of meaningful access to the courts. And insofar as § 3626(b)(3) is limited to preserving relief necessary to correct a "current and ongoing" violation, plaintiffs claim it violates separation of powers by preventing the courts from providing a remedy necessary to prevent reversion to past unconstitutional practices.
There can be no doubt that Congress intended to deprive courts of jurisdiction to continue relief under these circumstances. The Act was amended in 1997 specifically to preclude a court from retaining jurisdiction in the absence of a current and ongoing violation (assuming the terms of § 3626(b)(2) are also met). See Pub L. 105-119, § 123(a)(2), 111 Stat. 2440, 2470 (1997) (substituting "current and ongoing” for "current or ongoing”). As the Conference Report states:
The provision also includes a change in subsection (b)(3) that corrects the confusing use of the word "or” to describe the limited circumstances when a court may continue prospective relief in prison conditions litigation to make clear that a constitutional violation must be "current and ongoing.” These dual requirements are necessary to ensure that court orders do not remain in place on the basis of a claim that a current condition that does not violate prisoners’ Federal rights nevertheless requires a court decree to address it, because the condition is somehow traceable to a prior policy that did violate Federal rights, or that government officials are "poised" to resume a prior violation of Federal rights. If an unlawful practice resumes or if a prisoner is in imminent danger of a constitutional violation, the prisoner has prompt and complete remedies through a new action filed in State or Federal court and preliminary and injunc-tive relief.
H.R.Rep. No. 104-405 § 123 (1997) (emphasis added). There can also be no doubt that federal courts have always had discretion to keep injunctive orders in place where reversion to past unlawful practice is indeed imminent.
See, e.g., Casey,
Although this presents a serious separation of powers claim, we decline to reach it for the following reason. On remand, after the district court has had an opportunity to assess the CDC’s current policies and practices with respect to inmate access to the courts, the evidence may show a full-blown current and ongoing violation or compliance with the constitution. In the former case, § 3626(b)(3) applies by its terms and plaintiffs would have no standing to challenge the amendment from "current or ongoing” to "current and ongoing.” In the latter case, plaintiffs’ claim would be moot. Thus, in view of our remand, it would be inappropriate for us to adjudicate this question now.
