Guajardo v. Estelle

• Citation: 580 F.2d 748
• Decision Date: 20 September 1978
• Docket Number: No. 77-2226,77-2226
• Parties: Guadalupe GUAJARDO, Jr., et al., Plaintiffs-Appellees, Cross-Appellants, v. W. J. ESTELLE, Jr., Director, Texas Department of Corrections, et al., Defendants-Appellants, Cross-Appellees.
• Court: United States Courts of Appeals. United States Court of Appeals (5th Circuit)

Page 748

580 F.2d 748

Guadalupe GUAJARDO, Jr., et al., Plaintiffs-Appellees Cross-Appellants, v. W. J. ESTELLE, Jr., Director, Texas Department of Corrections, et al., Defendants-Appellants, Cross-Appellees.

No. 77-2226.

United States Court of Appeals Fifth Circuit.

Sept. 20, 1978.

John L. Hill, Atty. Gen., Gilbert J. Pena, Asst. Atty. Gen., Ed Idar, Jr., Sp. Asst. Atty. Gen., Nancy M. Simonson, Asst. Atty. Gen., David M. Kendall, Jr., 1st Asst. Atty. Gen., Daniel E. Maeso, Asst. Atty. Gen., Austin, Tex., for plaintiffs-appellees, cross-appellants.

Ann Lents, Harry M. Reasoner, John L. Carter, Scott J. Atlas, Houston, Tex., for defendants-appellants, cross-appellees.

Appeals from the United Stated District Court for the Southern District of Texas.

Before THORNBERRY, RONEY and HILL, Circuit Judges.

THORNBERRY, Circuit Judge:

In 1971 plaintiff Guadalupe Guajardo, an inmate of the Texas Department of Corrections, filed suit under 42 U.S.C. § 1983 on behalf of himself and other TDC inmates to challenge the constitutionality of the TDC correspondence rules and practices then in effect. The district court found a number of the TDC rules constitutionally invalid and ordered injunctive relief. Guajardo v. McAdams, 349 F.Supp. 211 (S.D.Tex.1972). On appeal the Fifth Circuit reversed and remanded, holding that the Texas Department of Correction's rules and regulations applied statewide and could be enjoined only by a three-judge court. Sands v. Wainwright, 491 F.2d 417 (5 Cir. 1973), Cert. denied, 416 U.S. 992, 94 S.Ct. 2403, 40 L.Ed.2d 771 (1974).

After the Fifth Circuit's remand order, the named plaintiff and the defendants began lengthy settlement negotiations culminating in the submission of a proposed settlement agreement preliminarily approved by the district court on June 9, 1976. Although the proposed TDC rules were considerably more liberal than those challenged in the original litigation, the plaintiffs, encouraged by the Fifth Circuit decision in Taylor v. Sterrett, 532 F.2d 462 (5 Cir. 1976) and the comments and objections of other class members, determined that the proposed rules did not fully comply with constitutional requirements. The TDC refused to further concede, subsequent negotiations were not wholly successful, and the plaintiffs moved to vacate the settlement. The district court severed for trial the issues still in dispute and conditionally approved the rules as further modified.

A second trial before the court focused on the constitutionality of the rules as approved. The district court again found a number of the rules below the constitutional benchmark. In this appeal the TDC challenges those adverse rulings, raises two procedural issues, and complains of the award of attorneys' fees. The plaintiffs seek to preserve the territory gained below and continue to assert that an even more liberal interpretation of some rules is necessary. Because of the complexity of the case, we deal first with the procedural objections raised by the TDC. The district court opinion provides a helpful outline for dealing with correspondence rules. For simplification's sake we continue to follow it on this appeal. Finally, we deal separately with the attorneys' fees issue.

I. Procedural Questions

A. The Three-Judge Court Issue

The TDC first argues that a three-judge court was necessary to the decision of the issues before the district court. It contends that the plaintiffs seek to avoid a three-judge court by a two step process first by seeking declaratory relief and then, when the TDC refuses to comply, instituting action to enjoin enforcement of the rules.

The plaintiff's complaint, as amended, seeks only declaratory relief. Traditionally a complaint seeking only declaratory relief has not required the convening of a three-judge court. Steffel v. Thompson, 415 U.S. 452, 94 S.Ct. 1209, 39 L.Ed.2d 505 (1974); Kennedy v. Mendoza-Martinez,372 U.S. 144, 83 S.Ct. 554, 9 L.Ed.2d 644 (1962); Riddell v. National Democratic Party, 508 F.2d 770 (5 Cir. 1975). The withdrawal or dismissal of a claim for injunctive relief has permitted a single district judge to rule on the remaining declaratory judgment count. Nieves v. Oswald, 498 F.2d 802 (2 Cir. 1974); Seergy v. Kings County Republican Committee, 459 F.2d 308 (2 Cir. 1972); Rosario v. Rockefeller, 458 F.2d 649 (2 Cir.), Aff'd,410 U.S. 752, 93 S.Ct. 1245, 36 L.Ed.2d 1 (1972). See also Stone v. Philbrook, 528 F.2d 1084 (2 Cir. 1975). The test is one of effect; if the declaration of rights would have a restraining effect, and a court might deem an injunction appropriate to accompany the declaration, a plaintiff's use of the declaratory judgment form would not defeat the need for a three-judge court. See Jeanette Rankin Brigade v. Chief of Capitol Police, 137 U.S.App.D.C. 155, 421 F.2d 1090, Aff'd, 409 U.S. 972, 93 S.Ct. 311, 34 L.Ed.2d 236 (1972). The effect of declaratory relief in this action is not the same as that of injunctive relief. The TDC has been free to apply its proposed regulations pending this court's review of the district court's decision. That freedom precludes a claim by the state that the operation of the statutory scheme has been so disrupted that the relief given amounted to an injunction. Since this action has not paralyzed TDC's enforcement of its correspondence rules, we cannot say that the sought after relief amounts to an injunction requiring a three-judge panel. ¹

B. The Jury Trial Issue

After the plaintiffs filed their amended complaint seeking only declaratory relief, the state asked for a jury trial. Rule 38(b) states that any party may demand a jury trial of any issue triable as of right by a jury by serving upon the other parties a demand therefor in writing any time after the commencement of the action and not later than ten days after the service of the last pleading directed to such an issue.

We need not detain ourselves with the question whether an issue existed that would have produced a right to trial by jury. Plaintiffs commenced this action by asking for both injunctive and declaratory relief. Although they would not have been entitled to a jury trial on equitable issues, they might have demanded a jury trial on factual issues underlying the declaratory judgment action. 5 J. Moore, Federal Practice P 38.29. If the claim were legal, its jury-generating aspect could not be lost by joinder with claims for equitable relief. Dairy Queen v. Wood, 369 U.S. 469, 82 S.Ct. 894, 8 L.Ed.2d 44 (1962); Beacon Theaters v. Westover, 359 U.S. 500, 79 S.Ct. 948, 3 L.Ed.2d 988 (1959). Assuming that a legal claim existed, the issue is whether the state sought a jury trial within ten days from the last complaint raising it as an issue. A complaint "raises an issue" only once within Rule 38(b)'s meaning when it introduces it for the first time. Amendments not introducing new issues will not give rise to a demand for a jury trial. Connecticut General Life Insurance Co. v. Breslin, 332 F.2d 928 (5 Cir. 1964) (defendant's amended answer did not raise issues materially different from those presented by the original answer and waiver of jury trial remained effective); Swofford v. B. & W., Inc., 34 F.R.D. 15 (S.D.Tex.1963) (where new jury issues are created by amendment a party may properly demand a jury trial, but an amendment which neither changes the nature of the case nor introduces new issues does not renew that right). The term "new issues" has been interpreted to mean new issues of fact and not new theories of recovery. See Jackson v. Airways Parking Co., 297 F.Supp. 1366 (D.Ga.1969). See also Trixler Brokerage Co. v. Ralston Purina Co., 505 F.2d 1045 (9 Cir. 1974). The record in this case reveals that the plaintiffs' amended complaints are restatements of their earlier pleadings and do not raise new issues which give rise to a demand for a jury trial.

II. Constitutionality of the TDC Correspondence Rules

The merits of this case involve a variety of correspondence rules. The district court's approach divided correspondence into the several categories of general correspondence, special correspondence (including correspondence to courts, attorneys and the media) and publications. We think that approach is a helpful one and maintain it here.

A. General Correspondence

The content of general correspondence is implied by its name. General correspondence is mail that flows between a TDC inmate and the general public. TDC's proposed rules would permit a general correspondence list of ten persons not including spouses, parents, children, brothers or sisters of the inmate and also not including religious leaders, special correspondents, attorneys or media correspondents. TDC Rule 3.9.1. Inmates could write up to forty letters to persons on their approved correspondence list, but the TDC would require that prior approval of general correspondents be obtained and that additions and deletions to the approved list be made with institutional approval and only every fifteen days.

The district court struck down the numerical limitations on the general correspondence list and the prior approval requirement. It upheld the use of a "negative mail list", which would permit the TDC to deny inmates permission to correspond with persons who have objected to further correspondence and with individuals who have attempted to introduce contraband or committed other serious violations of the correspondence rules. It also upheld the censorship of incoming and outgoing general correspondence. We think the district court was correct in its evaluation of the first amendment requirements in this aspect of the case.

We begin our analysis with Procunier v. Martinez, 416 U.S. 396, 94 S.Ct. 1800, 40 L.Ed.2d 224 (1974). In that case the Supreme Court held that censorship of prison mail was justified if the regulation or practice in question furthered an important or substantial government interest unrelated to the suppression of expression. Prison officials were...