Workman v. Mitchell

• Decision Date: 21 August 1974
• Docket Number: No. 73-3585,73-3585
• Citation: 502 F.2d 1201
• Parties: Thomas WORKMAN et al., Plaintiffs-Appellants, v. John MITCHELL, in his official capacity as the Attorney General of the United States, et al., Defendants-Appellees.
• Court: U.S. Court of Appeals — Ninth Circuit

Page 1201

502 F.2d 1201

Thomas WORKMAN et al., Plaintiffs-Appellants, v. John MITCHELL, in his official capacity as the Attorney General of the United States, et al., Defendants-Appellees.

No. 73-3585.

United States Court of Appeals, Ninth Circuit.

Aug. 21, 1974.

David Allen (argued), of Legal Services Center, Seattle, Wash., for plaintiffs-appellants.

Marc P. Richman (argued), of U.S. Dept. of Justice, Appellate Section, Crim.Div., Washington, D.C., for defendants-appellees.

Before HAMLEY, ELY and TRASK, Circuit Judges.

HAMLEY, Circuit Judge:

Thomas Workman, Armando Vargas, Jerry Desmond and Lanier Ramer, while incarcerated at the Federal Penitentiary, McNeil Island, Washington, became involved in a work stoppage which led to disciplinary proceedings against them. As an outgrowth of those proceedings, these four federal prisoners brought this action for declaratory, injunctive and mandamus relief against the Attorney General of the United States, the Director of the Federal Bureau of Prisons, and the Warden of McNeil Island Penitentiary.

Plaintiffs brought the action on behalf of themselves and a class consisting of all federal prisoners incarcerated at the penitentiary. They assert four general claims for relief: (1) in numerous respects the procedures followed by prison officials in punishing plaintiffs by ordering forfeiture of good time credits failed to accord plaintiffs due process of law; (2) the manner of punishing plaintiffs for asserted misconduct, whereby they were placed in filthy, crowded and otherwise objectionable isolation cells for substantial periods of time, constituted cruel and unusual punishment in violation of the Eighth Amendment; (3) in determining plaintiffs' guilt and punishment on charges of misconduct, the defendants failed to follow their own regulations; and (4) in determining plaintiffs' punishment on various misconduct charges, defendants failed to abide by the Administrative Procedures Act, 5 U.S.C. 500 et seq.

The district court denied plaintiffs' motion for a class action, apparently on the ground that 'the relief with respect to the four named plaintiffs will inure to the benefit of present and future persons incarcerated at McNeil Island . . ..'

After a non-jury trial, the district court entered its findings of fact, conclusions of law and judgment. As thereafter amended, the court first found generally that during the period commencing on or about February 22, 1971, and ending on or about March 7, 1971, inmates of the McNeil Island Penitentiary went on strike and refused to report to work. The court found that about eight hundred of the eleven hundred inmates of the penitentiary were involved in the strike. The court further found that the prison officials were justified in believing, and in acting on the belief, that a potentially dangerous and explosive situation existed endangering the lives of the participants, non-participants, and prison staff at all levels, and that prison property, as well as that of inmates, was in jeopardy of injury or destruction.

The district court then entered findings stating, with respect to each of the four individual plaintiffs, the nature of the charges made, the disciplinary proceedings had, and the punishments imposed. The court found that the conditions in the segregation cells during the time of the strike and shortly thereafter were inadequate, being characterized as filthy and crowded, with little opportunity for exercise and personal hygiene. The court further found, however, that these conditions were due in considerable part to the misconduct of the inmates using the segregation units. The court also found that (1) during the strike the drastic actions on the part of the prison officials, i.e., summary 'mandation' of prisoners to segregation, was reasonable due to the extremity of the circumstances, and (2) the crowded conditions of the segregation units during the periods in close proximity to the strike did not reflect the normal policy of the prison officials under ordinary circumstances nor the normal condition of habitation.

On the basis of these amended findings, the district court concluded that the confinement in segregation, despite the periods of deplorable conditions, did not constitute cruel and inhuman punishment. The court further concluded:

'3. That the proceedings in which each of the plaintiffs lost their good time did not meet minimum standards of due process as required by the principles laid down in Morrissey v. Brewer, 408 U.S. 471 (92 S.Ct. 2593, 33 L.Ed.2d 484) (1972) and Gagnon v. Scarpelli, 411 U.S. 778 (93 S.Ct. 1756, 36 L.Ed.2d 656) (1973); said proceedings violated the defendants' own rules and regulations then in force, and, therefore, defendants, their agents and employees, acted arbitrarily and capriciously and said proceedings are void as to each plaintiff.' ¹

Insofar as here relevant, the amended judgment:

(1) Declared that the proceedings before the prison Adjustment Committee and Good Time Forfeiture Boards in which plaintiffs lost good time or were remanded to segregation did not meet the minimum requirements of due process and violated defendants' own regulations then in force, and therefore defendants, their agents and employees acted arbitrarily and capriciously;

(2) Ordered defendants to forthwith restore the plaintiffs' good time lost as a result of proceedings by defendants, and expunge the charges and proceedings from plaintiffs' inmate records, and

(3) Ordered defendants to credit plaintiffs with earned good time from the time of the initial forfeiture until restoration pursuant to this order, unless good time loss has been imposed because of conduct arising subsequent to the initial forfeiture and independent of these proceedings.

Plaintiffs appeal, seeking the following additional items of relief:

(1) A judicial declaration to the effect that the procedural and substantive rights announced in Morrissey v. Brewer, 408 U.S. 471, 92 S.Ct. 2593, 33 L.Ed.2d 484 (1972) (revocation of parole), and Gagnon v. Scarpelli, 411 U.S. 778, 93 S.Ct. 1756, 36 L.Ed.2d 656 (1973) (revocation of probation) attach to federal prison disciplinary hearings;

(2) A judicial declaration that the punishment imposed on plaintiffs 'was so disroportionately severe to the nature of the alleged offense that it violated the Due Process Clause of the Fifth Amendment,' because it constituted 'arbitrary and capricious punishment;' ² and

(3) Relief for the class plaintiffs seek to represent similar to that accorded the named plaintiffs.

Plaintiffs claim district court jurisdiction under 28 U.S.C. 1331 (federal question), 1361 (mandamus), and 2201-2202 (declaratory judgment), and under 5 U.S.C. 500 et seq. (Administrative Procedure Act).

The district court unquestionably had jurisdiction, under the mandamus statute, 28 U.S.C. 1361, to require defendants, all of whom were officers or employees of the United States, or an agency thereof, to perform the ministerial duty of complying with their own regulations. United States v. Walker, 409 F.2d 477, 481 (9th Cir. 1969). In fulfillment of this requirement it was proper to order defendants to undo the harm they had done by failing to comply with their regulations. This action by the district court is not challenged on appeal. ³

Aside from this mandamus relief, obtained by the named plaintiffs, and sought by them for the class they seek to represent, all of the additional relief they seek is declaratory in nature. The Federal Declaratory Judgment Act ⁴ does not establish a new basis for jurisdiction in the federal court; it merely establishes a new remedy, available in cases in which jurisdiction otherwise exists. The question, therefore, is whether the mandamus statute provides a jurisdictional basis for the declaratory relief plaintiffs seek.

Defendants assert that the district court did not have jurisdiction under the mandamus statute to require defendants to comply with due process requirements in the administration of prison disciplinary proceedings, and that, therefore, the district court also lacked jurisdiction to provide the declaratory relief requested.

Defendants rely primarily upon Jarrett v. Resor, 426 F.2d 213, 216 (9th Cir. 1970), where this court stated that section 1361 'did not enlarge the generally recognized scope of mandamus relief,' and that mandamus will not lie 'unless it appears that the claim is clear and certain and the duty of the officer is ministerial and so plainly prescribed as to be free from doubt.' Defendants argue, therefore, that mandamus is not available to compel federal officers to comply with due process requirements in the administration of prison disciplinary proceedings because the requirements of due process in that context are neither 'plainly prescribed' nor 'free from doubt.'

The defendants' reliance upon Jarrett v. Resor, supra, is misplaced. There we held that the complaint failed to invoke jurisdiction under section 1361 because it alleged 'at most that in fulfilling their duty of acting upon his request for a discharge from the Army, (the defendants) either abused their discretion, incorrectly found the facts, or misapplied the law.' Id. at 216-217. Thus, mandamus jurisdiction was improperly invoked in that case because there was no allegation that defendants had failed to perform any ministerial duty, be it established by regulation, statute or constitutional provision. Here, however, the complaint clearly alleges that the disciplinary regulations adopted by the defendants, governing the procedures to be followed in imposing prison discipline, fail to comply with the requirements of due process. The district court does have jurisdiction under the mandamus statute to compel such compliance.

Defendants suggest, however, that if the complaint alleges a failure to perform duties required by the Constitution, mandamus jurisdiction is available only if the precise elements of those duties have...