Federal Circuits, D.C. Cir. (January 15, 1979)
Docket number: 76-2142
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U.S. Code - Title 5: Government Organization and Employees - 5 USC 555 - Sec. 555. Ancillary matters
Code of Federal Regulations - Title 28: Judicial Administration - 28 CFR 540.46 - Attorney visits.
U.S. Supreme Court - Memphis Light, Gas & Water Div. v. Craft, 436 U.S. 1 (1978)
U.S. Supreme Court - Houchins v. KQED, Inc., 438 U.S. 1 (1978)
U.S. Court of Appeals for the 9th Cir. - Richard G. Pepperling, Lee Pendergrass, and Gary Quigg, Plaintiffs-Appellants, v. Roger W. Crist, Warden of Montana State Prison; James Blodgett, Deputy Warden; Gary Weer, Associate Warden; Et Al., Defendants-Appellees., 678 F.2d 787 (9th Cir. 1982) Lee Pendergrass, and Gary Quigg, Plaintiffs-Appellants, v. Roger W. Crist, Warden of Montana State Prison; James Blodgett, Deputy Warden; Gary Weer, Associate Warden; Et Al., Defendants-Appellees.
William H. Allen, Washington, D. C., with whom Mark D. Herlach, Washington, D. C., was on the brief, for appellants.
Mitchell B. Dubick, Atty., Dept. of Justice, Washington, D. C., with whom George W. Calhoun, Atty., Dept. of Justice, Washington, D. C., was on the brief, for appellees.Before BAZELON, LEVENTHAL and ROBINSON, Circuit Judges.Opinion for the Court filed by SPOTTSWOOD W. ROBINSON, III, Circuit Judge.SPOTTSWOOD W. ROBINSON, III, Circuit Judge:Ronald T. Phillips is one of a number of paralegal staff assistants employed by the National Prison Project, an organization engaged in the provision of legal services to prisoners.1 The duties assigned Project paralegals include interviewing prisoners who are witnesses in pending cases or present or prospective clients of attorneys associated with the Project. Envisioning this role for Phillips, himself a former federal prisoner, the Project sought permission from the Bureau of Prisons for Phillips to enter federal penal institutions for the purpose of conducting such interviews.2 By letter, the Bureau promptly denied the Project's request.3Shortly thereafter, this litigation was launched in the District Court by Phillips, the Project and its executive director, and three federal inmates who are clients of the Project.4 Characterizing Phillips' exclusion as arbitrary, their complaint demanded declaratory and injunctive relief. The court, deeming the Bureau's action "a reasonable exercise of . . . discretion," dismissed the suit for lack of a claim upon which relief could be granted,5 whereupon this appeal was taken.6We are mindful that "a complaint should not be dismissed for failure to state a claim unless it appears beyond doubt that the plaintiff can prove no set of facts in support of his claim which would entitle him to relief."7 We think, however, that stringent standard has been met here and, accordingly, we affirm the judgment of dismissal.I. THE FACTUAL BACKGROUNDThe posture of the case constrained the District Court as it does us to accept the truth of the well-pleaded factual allegations of the complaint.8 We are mindful, too, that when passing on a motion attacking the legal efficacy of the plaintiff's statement of his claim, the court may properly look beyond the complaint only to items in the record of the case or to matters of general public record.9 We accordingly confine ourselves largely to the contents of the complaint, including prominently the text of the Bureau's letter-decision incorporated therein,10 in distilling the factual predicate for resolution of this appeal.In responding to the Project's request on Phillips' behalf, the Bureau emphasized that it had no general policy of automatically excluding ex-offenders from paralegal activity inside federal prisons.11 On the contrary, the Bureau declared, each such application is considered on its own merits.12 Phillips was refused permission, the Bureau said, principally because of his disciplinary record during his seven years of federal incarceration.13 While confined, Phillips had taken part in several serious institutional disturbances, playing a leadership role in at least two of them.14 These incidents included an attempt to incite a work stoppage, encouraging and engaging in other group demonstrations, endeavoring to introduce contraband into a segregation unit, threatening bodily harm, and "fighting, refusing orders, and possession of a stolen radio."15 In the Bureau's view, this history revealed Phillips as "disruptive and a poor influence on other inmates,"16 and portrayed a relevant "course of conduct" which the Bureau could not "responsibly ignore."17The complaint recounted, without controverting in any manner, this recitation of Phillips' record as a federal inmate. This may be explained by appellants' consistent position that Phillips' past should be irrelevant to determination of whether he should be granted entry into federal prisons, and that only his post-release record should be considered.18 The Bureau responds by noting that when the Project's request was acted on Phillips had been paroled only three months earlier19 and therefore that his prison record was a necessary determinant in their predictive decision to deny him access in order to safeguard order and discipline in the institutions under their charge.Appellants complained to the District Court that the Bureau's decision trespassed on rights secured to them by the Constitution. We examine, in turn, each of their several claims and as we are obliged to do20 such additional theories of recovery that the factual averments of their complaint might support. In the end, we conclude that none can prevail.II. PHILLIPS' CLAIMSPhillips maintains that the Bureau's decision deprived him of liberty and property without due process of law in violation of the Fifth Amendment. He asserts that the Bureau's action was taken without reference to any established standard. He insists, too, that it was arbitrary because unaccompanied by any showing that he actually presented a threat to prison security.21A. The Right InvolvedIt cannot be gainsaid that Phillips enjoys an interest in the pursuit of his newly-found vocation commanding a measure of constitutional protection. His want is to function as a paralegal, and he has manifested an interest in working with prisoners, many of whom, of course, are kept in federal facilities. No one can deny that "the right to hold specific private employment and to follow a chosen profession free from unreasonable governmental interference comes within the 'liberty' and 'property' concepts of the Fifth Amendment . . .."22 To be sure, the right to ply the paralegal's trade does not per se entail a concomitant right to freely enter federal prisons to do so; the Bureau need not afford opportunities to realize one's occupational aspirations.23 But the Bureau may not capriciously foreclose to particular individuals opportunities that it has previously and independently created generally for others.24A critical factor in our present analysis is that paralegals ordinarily may enter federal penal institutions for conferences with inmates related to legal business. The Bureau has a long-standing policy25 of extending visitation privileges liberally to attorneys.26 Paralegals, treated identically27 save for required supervision by an attorney,28 are "routinely granted access to federal prisoners."29 Indeed, visits of all sorts are encouraged except when their denial becomes "necessary to insure the security, good order, and discipline of the institution."30 Hence, "consistent, positive action of government officials" has created "a justifiable expectation that the only basis for the government's refusal to grant"31 entrance is concern for internal security, order and discipline.32 Put another way, "rules or mutually explicit understandings"33 have given rise to a "legitimate claim of entitlement."34 Phillips has alleged facts making out this much, and it is too early in the litigation to be certain that he is wrong.B. The Balance of InterestsNonetheless, while we believe that paralegals enjoy the safeguard of due process for their general entitlement to enter federal prisons to function as such, we are satisfied that the Bureau's decision to exclude Phillips was faithful to a constitutionally permissible standard and was reached by constitutionally acceptable means. And we reject the suggestion that the Bureau must demonstrate that Phillips, if admitted, would actually upset institutional tranquility.The Bureau's decision made reasonably clear that Phillips was refused ingress because his prison record disclosed his disruptive proclivities and led Bureau officials to consider him a serious threat to the stability of conditions essential to prison security.35 The Bureau's governing standard that paralegals may be kept out when that is adjudged necessary to insure discipline and good order36 strikes us as definite as protection of the governmental interest, involving as it does a predictive determination, permits, and is sufficiently precise to satisfy constitutional demands.37 As the Supreme Court has acknowledged, "(b)ecause the realities of running a penal institution are complex and difficult, we have . . . recognized the wide-ranging deference to be accorded the decisions of prison administrators."38 And as the Court has underscored, "central to all other corrections goals is the institutional consideration of internal security within the corrections facilities themselves."39 In sum, the judiciary is duty bound to uphold the reasonable judgments of responsible officials on that score.40Phillips argues, however, that the Bureau's failure to Demonstrate that he would disrupt order and discipline in federal facilities to which he might be admitted as a paralegal renders his exclusion constitutionally infirm.41 This position misallocates the burden of proof. Nothing in the Constitution compelled the Bureau, in order to sustain its decision to exclude Phillips, to prove to the satisfaction of a judge that he actually posed a threat to prison security. As the Supreme Court has declared, "(t)he necessary and correct result of (judicial) deference to the informed discretion of prison administrators permits them, not the courts, to make the difficult judgments concerning institutional operations in situations such as this."42 Consequently, a "further requirement of a demonstrable showing that (Phillips) was in fact harmful is inconsistent with the deference federal courts should pay to the informed discretion of prison officials."43 Concededly, the Bureau's decision would be vulnerable were it arbitrary or patently unreasonable.44 But at no time has Phillips pleaded or even suggested facts that might serve to indicate that such is the case.45Phillips has not questioned the sufficiency of the procedures by which he was refused access to federal penal institutions. Nonetheless, our duty to accord his complaint a liberal reading and to consider all legal theories his factual allegations might conceivably support46 leads us to inquire in that regard. We start with the proposition that "notice to the unsuccessful applicant of the factual bases for denial with an opportunity to rebut is a minimum prerequisite for ensuring that the denial"47 is in furtherance of the interest in preserving prison order rather than based on some arbitrary or unacceptable reason. The Bureau's letter-decision satisfied the first mandate, and we are persuaded that the second also has been met. The Bureau has made clear that it was open to further submissions, either by Phillips or the Project, that might rebut the factual predicates for the decision.48 Neither ever sought a fuller hearing by the Bureau, nor has Phillips claimed that he was precluded from presenting to the Bureau any favorable information he might have.49 Indeed, never either to the Bureau, the District Court or this court has Phillips even suggested that the Bureau's characterization of his prison record is inaccurate. We recognize that the Bureau is legally required to supply a statement of reasons explaining any denial of access after rebuttal material has been put forward.50 Because, however, neither Phillips nor the Project sought to provide the Bureau with any such information, this requirement was never called into play.51III. CLAIMS OF THE OTHER APPELLANTSA. Resort to the CourtsThe appellant inmates assert that the ban on Phillips' paralegal services in federal correctional institutions deprives them of their constitutional right to resort to the courts.52 To be sure, the Due Process Clauses insure to prisoners,53 federal and state, "meaningful access"54 to the courts for the presentation of their legal grievances.55 But this does not mean that paralegals must automatically be admitted into penal institutions, for governmental officials are free to adopt any of several methods to achieve the constitutional goal.56 Beyond that, "(t)he extent to which (the right of access of the courts) is burdened by a particular regulation or practice must be weighed against the legitimate interests of penal administration and the proper regard that judges should give to the expertise and discretionary authority of correctional officials."57Plainly, we cannot rule that prisoners have a constitutional right to communicate face-to-face with a paralegal who officially and not unreasonably has been determined to be a danger to prison order. The claim of that right fails here for precisely the same reasons denuding the claim of a correlative right by Phillips himself.58 The governmental interest in prison security is equally strong in both instances, as is the obligation of judicial deference.59 Furthermore, the decision under attack, excluding as it does but a single paralegal from federal prisons, in no way suggests that federal inmates do not enjoy alternative means of access to the courts just as suitable.60 Other paralegals, perhaps even some who are ex-offenders, as well as members of the bar, remain available to assist these appellants in pursuing their legal remedies. The balance of interests thus leans heavily and decisively on the side of the Bureau.B. Freedom of Speech and AssociationThe prisoner-appellants also suggest that the Bureau's action unconstitutionally abridged their speech and associational liberties secured by the First Amendment.61 The intended purpose of Phillips' proposed excursions into federal prisons is to interview witnesses and present or prospective clients of Project attorneys contacts implicating speech and association for both Phillips and the inmates involved.62 We cannot believe, however, that these ingredients of the interview serve to elevate the prior entry into the prison complex to the status of a First Amendment right inhering in either.An act does not necessarily take on characteristics invoking the First Amendment simply because if taken it may usher in another episode plainly possessing First Amendment elements. This is neatly illustrated by the Supreme Court's disposition in Zemel v. Rusk63 of a claim that denial of a validated passport for travel to Cuba directly interfered with the would-be traveler's ability to learn first-hand the effects abroad of American policies and the conditions abroad that might affect those policies. The Court explained:We must agree that the Secretary's refusal to validate passports for Cuba renders less than wholly free the flow of information concerning that country. While we further agree that this is a factor to be considered in determining whether appellant has been denied due process of law, we cannot accept the contention of appellant that it is a First Amendment right which is involved. For to the extent that the Secretary's refusal to validate passports for Cuba acts as an inhibition (and it would be unrealistic to assume that it does not), it is an inhibition of action. There are few restrictions on action which could not be clothed by ingenious argument in the garb of decreased data flow. For example, the prohibition of unauthorized entry into the White House diminishes the citizen's opportunities to gather information he might find relevant to his opinion of the way the country is being run, but that does not make entry into the White House a First Amendment right. The right to speak and publish does not carry with it the unrestrained right to gather information.64Withholding of permission to come into a federal prison, no less than refusal of a validated passport to Cuba or of admission to the White House, is "an inhibition of action." And no more than travel to Cuba or entry into the White House to augment one's store of information does Phillips' anticipated face-to-face consultation with an inmate "make entry into" a federal penal facility "a First Amendment right."65 Concisely put, there is no "First Amendment easement"66 along which Phillips can wend his way inside the prison walls. To boot, "(t)he fact of confinement and the needs of the penal institution impose limitations on constitutional rights, including those derived from the First Amendment, which are implicit in incarceration; "67 and "challenges to prison restrictions that are asserted to inhibit First Amendment interests must be analyzed in terms of the legitimate policies and goals of the corrections system, to whose custody and care the prisoner has been committed in accordance with due process of law."68 Moreover, the availability of alternative means of communication is a relevant factor when a court is called upon to balance the First Amendment rights of prisoners against the legitimate governmental interests served by particular restrictions on those liberties.69 The Bureau's standard excluding paralegals like Phillips is tailored to serve an important governmental interest,70 and other avenues of communicating with Phillips such as the mail remain fully available.71 We conclude that the inmates' First Amendment claim is insubstantial.C. Practice of LawLastly, the Project and its executive director, who is an attorney, charge that Phillips' exclusion from federal penal facilities unconstitutionally interferes with their right to practice law.72 Charitably construed, this contention amounts to an assertion that the procedures by which Phillips was denied access were deficient and consequently that Project attorneys were deprived of a constitutionally protected liberty or property interest through loss of his services.73 It is evident that the Bureau's action did not disable Project attorneys more than infinitesimally from engaging "in any of the common occupations of life . . .."74 And we have already held that the method by which the Bureau's decision was reached satisfied Fifth Amendment requirements.75 We think no more need be said on this aspect of the case.IV. CONCLUSIONWe hold today that appellants do not possess a constitutional right to compel the admittance into federal correctional facilities of a paralegal who in the considered judgment of prison officials constitutes a present, serious threat to institutional security. Insofar as appellants' claims rest on a challenge to the Bureau's characterization of Phillips as such a danger, they have failed because their complaint does not contain "a . . . statement . . . showing that (they are) entitled to relief."76 Because appellants have not sought leave to amend their complaint in either this court or the court below, this litigation draws to an end.77 For the reasons elucidated above,78 the judgment appealed from isAffirmed. 1 The Project is a creature of the American Civil Liberties Union Foundation, a nonprofit tax-exempt New York corporation 2 The Bureau functions under the direction of the Attorney General in the management and regulation of all nonmilitary federal penal and correctional institutions. 18 U.S.C. §§ 4041-4042 (1976) 3 Joint Appendix (J.App.) 9-10 4 The named defendants, appellees here, are the Bureau and its director and general counsel, hereinafter usually referred to collectively as "the Bureau." 5 Pursuant to Fed.R.Civ.P. 12(b)(6). Phillips v. Bureau of Prisons, Civ. No. 76-0790 (D.D.C. Sept. 22, 1976) (unpublished order), J.App. 33 6 We are confronted at the threshold by the Bureau's argument that this controversy is nonjusticiable because the terms of Phillips' unexpired parole require him to obtain permission before leaving the area specified in his certificate of parole, a dispensation he has not procured. We need not reach the merits of the Bureau's legal thesis, however, for the record takes away its essential factual support. Before the Parole Commission will approve any request to leave the area, Phillips must show that the prison to which he would travel has authorized his visit. Letter from Joseph Nardoza, Commissioner, United States Parole Commission, to Phillips' counsel (Sept. 21, 1976), Appellants' Reply Brief attachment A. It cannot be doubted, then, that Phillips has felt the Bureau's exclusionary action "in a concrete way." Abbott Laboratories v. Gardner, 387 U.S. 136, 148, 87 S.Ct. 1507, 1515, 18 L.Ed.2d 681, 691 (1967) 7 Conley v. Gibson,Try vLex for FREE for 3 days
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