CLAUDIA WILKEN, District Judge.
Plaintiffs, a group of Pelican Bay State Prison inmates, move for class certification to pursue claims under the Eighth and Fourteenth Amendments of the United States Constitution. Defendants, the Governor of the State of California, Secretary of the California Department of Corrections and Rehabilitation (CDCR), Chief of CDCR's Office of Correctional Safety, and Warden of Pelican Bay State Prison, oppose the motion. After considering the parties' submissions and oral argument, the Court grants the motion in part and denies it in part. In addition, the Court denies the California Correctional Peace Officers Association's (CCPOA) motion to intervene.
Plaintiffs are ten inmates who live or recently lived in solitary confinement at Pelican Bay, a maximum security prison located in Crescent City, California. Five of these inmates are currently assigned to the Security Housing Unit (SHU), the "most controlled and restrictive housing available" at the prison, where each has lived for over a decade. Swift Decl. ¶ 4. The other five inmates were recently transferred out of the Pelican Bay SHU. Although CDCR operates SHUs at three other correctional facilities, this action focuses exclusively on the conditions of confinement within the Pelican Bay SHU.
Under CDCR's current regulations, inmates may be assigned to the SHU if their "conduct endangers the safety of others or the security of the institution." Cal. Code Regs. tit. 15, § 3341.5;
Plaintiffs allege that SHU inmates live in almost total isolation. They spend at least twenty-two and a half hours per day in windowless, concrete cells with perforated steel doors and typically leave only to shower or exercise alone in an enclosed pen. Swift Decl. ¶ 8; Ashker Decl. ¶¶ 3, 9-11. Although SHU inmates sometimes speak to each other through the perforations in their cell doors, they cannot communicate face-to-face and have no contact with inmates in Pelican Bay's general population. Ashker Decl. ¶¶ 20-22; Zubiate Decl. ¶ 28. They also have limited contact with friends and family outside the prison. Ashker Decl. ¶¶ 17-19; Dewberry Decl. ¶ 11; Esquivel Decl. ¶¶ 7-8; Franco Decl. ¶¶ 7-8; Reyes Decl. ¶¶ 3-6; Ruiz Decl. ¶ 10; Troxell Decl. ¶ 5.
Plaintiffs filed this putative class action in September 2012, at which time all ten were assigned to the Pelican Bay SHU. Their complaint alleges that long-term confinement inside the SHU violates the Eighth Amendment's prohibition on cruel and unusual punishment and that CDCR's procedures for assigning inmates to the SHU violate the Fourteenth Amendment's guarantee of procedural due process. Docket No. 136, Second Am. Compl. (2AC) ¶¶ 177-202. Plaintiffs seek an injunction compelling CDCR to alleviate certain conditions of confinement in the SHU, adopt new procedures for reviewing SHU assignments, and transfer every inmate who has been assigned to the SHU for more than ten years into the general prison population.
Defendants moved to dismiss the complaint in December 2012. They argued, among other things, that Plaintiffs' due process claim was moot because CDCR had implemented a new set of procedures, collectively known as the "Security Threat Group" (STG) pilot program, in October 2012 to review existing SHU assignments and transfer certain SHU inmates into the general population. The Court rejected that argument in its April 2013 order denying Defendants' motion to dismiss. It found that the implementation of the STG pilot program was not sufficient to render Plaintiffs' claims moot because CDCR had not implemented the program permanently and, at that time, all ten Plaintiffs remained subject to the preexisting procedures.
Defendants filed their answer to the complaint on April 30, 2013. Two days later, on May 2, 2013, Plaintiffs moved for class certification under Federal Rules of Civil Procedure 23(b)(1) and 23(b)(2). In June 2013, CCPOA moved to intervene as a defendant. It sought intervention under Rule 24(a) or, in the alternative, under Rule 24(b).
Those motions remained pending for nearly a year while the parties engaged in settlement negotiations. On May 14, 2014, however, the parties notified the Court that they were not able to reach a settlement. They filed a stipulation to lift the stay of discovery that the Court had previously entered to allow them to focus on settlement negotiations. The Court approved that stipulation on May 16, 2014 and, at the parties' request, set a case management conference for June 4, 2014.
Plaintiffs seeking to represent a class must satisfy the threshold requirements of Rule 23(a) as well as the requirements for certification under one of the subsections of Rule 23(b). Rule 23(a) provides that a case is appropriate for certification as a class action if
Fed. R. Civ. P. 23(a).
Plaintiffs must also establish that one of the subsections of Rule 23(b) is met. In the instant case, Plaintiffs seek certification under subsections (b)(1) and (b)(2).
Subsection (b)(1) applies where the prosecution of separate actions by individual members of the class would create the risk of "inconsistent or varying adjudications with respect to individual members of the class which would establish incompatible standards of conduct for the party opposing the class," or of adjudications "which would as a practical matter be dispositive of the interests of the other members not parties to the adjudications or substantially impair or impede their ability to protect their interests." Fed. R. Civ. P. 23(b)(1).
Subsection (b)(2) applies where "the party opposing the class has acted or refused to act on grounds generally applicable to the class, thereby making appropriate final injunctive relief or corresponding declaratory relief with respect to the class as a whole." Fed. R. Civ. Proc. 23(b)(2). "Civil rights cases against parties charged with unlawful, class-based discrimination are prime examples" of Rule 23(b)(2) actions.
Regardless of what type of class the plaintiff seeks to certify, it must demonstrate that each element of Rule 23 is satisfied; a district court may certify a class only if it determines that the plaintiff has borne this burden.
To intervene as a matter of right under Rule 24(a)(2), an applicant must claim an interest the protection of which may, as a practical matter, be impaired or impeded if the lawsuit proceeds without the applicant.
The Ninth Circuit interprets Rule 24(a)(2) broadly in favor of intervention.
Alternatively, a court may, in its discretion, permit intervention under Rule 24(b)(1)(B) by anyone who "has a claim or defense that shares with the main action a common question of law or fact." In exercising its discretion, a court should "consider whether the intervention will unduly delay or prejudice the adjudication of the original parties' rights." Fed. R. Civ. P. 24(b)(3).
Plaintiffs move to certify two classes of inmates under Rules 23(b)(1) and 23(b)(2). First, they move to certify a "Due Process Class" consisting of all inmates "serving indeterminate sentences at the Pelican Bay SHU on the basis of gang validation, none of whom have been or will be afforded meaningful review or procedurally adequate review of their confinement." Docket No. 195, Class Cert. Mot. 1-2. Second, they move to certify an Eighth Amendment Class
Defendants contend that Plaintiffs' proposed definition of the Due Process Class is ambiguous and that neither the proposed Due Process Class nor the proposed Eighth Amendment Class satisfies the requirements of Rule 23. As explained more fully below, these arguments do not justify denying class certification.
Plaintiffs' proposed Due Process Class contains the terms "meaningful review" and "procedurally adequate review," neither of which is defined in the complaint. Defendants contend that, because these terms lack a concrete meaning, the proposed class definition is ambiguous and precludes certification.
Although Defendants are correct that Plaintiffs' proposed class definition is ambiguous, this ambiguity does not preclude certification of the Due Process Class. As Plaintiffs acknowledged at the hearing, the ambiguous terms can simply be removed from their proposed class definition. Thus modified, the Due Process Class would simply consist of all Pelican Bay inmates who are currently assigned to an indeterminate SHU term on the basis of gang validation. This amended class definition is both precise and inclusive of all inmates who would benefit from the declaratory and injunctive relief that Plaintiffs seek. Furthermore, CDCR's own regulations treat this group as a distinct class and provide a straightforward framework for distinguishing between class members and non-members.
Defendants have acknowledged that there are "approximately 1,100 inmates housed in Pelican Bay's SHU, the majority of which are validated gang members and associates." Swift Decl. ¶ 6. Plaintiffs assert that several hundred of these inmates have lived in the SHU for over a decade. These numbers are sufficient to satisfy the numerosity requirement for both the proposed Due Process Class and the proposed Eighth Amendment Class.
As noted above, Rule 23(a)(2) requires that there be "questions of law or fact common to the class." Fed. R. Civ. P. 23(a)(2). The Ninth Circuit has explained that this rule does not preclude class certification if fewer than all questions of law or fact are common to the class:
Defendants contend that the implementation of the STG pilot program precludes certification of the proposed Due Process Class. They note that, under the STG program, CDCR has begun conducting case-by-case reviews of all current SHU assignments and has already transferred more than one hundred inmates from SHUs into the general prison population. Hubbard Decl. ¶ 11. Because some SHU inmates have received these new procedural protections and others have not, Defendants contend that Plaintiffs cannot establish commonality.
This argument does not justify denying class certification. Even if some SHU inmates at Pelican Bay have been transferred to other units or received additional procedural protections under the STG program, Defendants have not shown that
That said, any inmates who have been placed in the STG program or transferred out of the Pelican Bay SHU, must be excluded from the proposed Due Process Class. Plaintiffs' due process claim, as currently plead, only challenges the procedures that were in place before CDCR implemented the STG program. Thus, inmates who were placed in the STG program were subject to a different set of procedures and lack commonality with inmates who have only received the preexisting procedures. As explained at the hearing, if Plaintiffs seek to challenge the STG program procedures, they must seek leave to amend their due process claim.
Defendants contend that Plaintiffs' Eighth Amendment claim "presents a host of individual questions not subject to classwide proof." Opp. 18. As noted above, however, the mere existence of individual legal and factual questions is not sufficient to preclude class certification.
Plaintiffs have satisfied this requirement here. Their Eighth Amendment claim raises several common questions of law and fact including (1) whether long-term confinement inside the Pelican Bay SHU exposes inmates to a "sufficiently serious" deprivation of basic human needs and (2) whether Defendants acted with a "sufficiently culpable state of mind" in assigning inmates to the SHU for indefinite terms.
The fact that different inmates may exhibit different symptoms or respond differently to prolonged SHU confinement does not suffice to defeat commonality. Nor does the fact that some inmates personally believe that they did not suffer any psychological harm while they were confined in the SHU. Numerous courts, including the Ninth Circuit, have held that "individual factual differences among the individual litigants or groups of litigants will not preclude a finding of commonality" in class actions challenging a "system-wide" policy.
As with the Due Process Class, however, any inmates who have been transferred out of the Pelican Bay SHU must be excluded from the Eighth Amendment Class. These inmates lack commonality with inmates who remain housed in the Pelican Bay SHU and would not benefit from any of the injunctive relief that Plaintiffs are seeking here. If Plaintiffs seek to challenge the conditions of confinement in any other housing unit or correctional facility, they must seek leave to amend their Eighth Amendment claim.
Rule 23(a)(3)'s typicality requirement provides that a "class representative must be part of the class and possess the same interest and suffer the same injury as the class members."
As noted above, five of the named Plaintiffs in this case are currently assigned to an indeterminate term in the Pelican Bay SHU on the basis of gang validation. Each of these inmates has lived in the SHU for at least ten years. Defendants have not identified any unique defenses that they might raise against these five Plaintiffs and, instead, argue that Plaintiffs cannot establish typicality for the same reasons they cannot establish commonality. These arguments fail for the reasons discussed above.
In contrast to the five named Plaintiffs who remain housed in the Pelican Bay SHU, the five inmates who have been transferred to other units or facilities are not typical of other putative class members. The transferred individuals have been subject to a different set of housing assignment procedures than the putative class and now live under different conditions of confinement. As such, they may be subject to a unique set of defenses and do not satisfy the requirements of Rule 23(a)(3).
Rule 23(a)(4) requires that class representatives "will fairly and adequately protect the interests of the class." Fed. R. Civ. P. 23(a)(4). Rule 23(g)(2) imposes a similar requirement on class counsel.
Defendants contend that two of Plaintiffs' attorneys, Marilyn McMahon and Carol Strickman, cannot adequately serve as class counsel in this case because they are "fact witnesses" who may be called to testify about their communications with Plaintiffs regarding recent prisoner hunger strikes. Opp. 23.
As noted above, the five named Plaintiffs who have been transferred out of the Pelican Bay SHU pursuant to the STG program are not typical class members. This renders them inadequate class representatives under Rule 23(a)(4). Thus, only the five named Plaintiffs who currently remain housed in the Pelican Bay SHU may adequately represent the class.
As noted above, a class may be certified under Rule 23(b)(1) if the prosecution of separate actions by individual members of the class would create the risk of "inconsistent or varying adjudications with respect to individual members of the class which would establish incompatible standards of conduct for the party opposing the class." Fed. R. Civ. P. 23(b)(1)(A). If each of the hundreds of proposed members of either the Due Process Class or the Eighth Amendment Class were forced to adjudicate his claims individually, there would be a significant risk of inconsistent judgments. Certification of both proposed classes is therefore appropriate under Rule 23(b)(1).
"Rule 23(b)(2) permits class actions for declaratory or injunctive relief where `the party opposing the class has acted or refused to act on grounds generally applicable to the class.'"
Plaintiffs in this case seek an injunction to cure alleged violations of their Eighth and Fourteenth Amendment rights resulting from a uniform set of CDCR policies and procedures. These claims fall squarely within the realm of class claims covered by Rule 23(b)(2).
Nevertheless, Defendants contend that certification is inappropriate because Plaintiffs' requested injunctive relief "exceeds the boundaries of Rule 65(d)." Opp. 25. Defendants have not cited any authority to support this argument and numerous courts have expressly held that plaintiffs are not required to satisfy Rule 65(d) in order to obtain class certification.
Defendants next contend that Plaintiffs' requested injunctive relief "contravenes" the Prison Litigation Reform Act (PLRA) because it would have an "adverse impact on public safety." Opp. 25. As with their Rule 65(d) argument, Defendants have failed to cite any case law to support this contention. The provision of the PLRA that they cite in their brief governs the scope of injunctive relief that a federal court may issue in a "prison conditions" case
CCPOA is a labor union that represents roughly 27,000 CDCR correctional officers across the State of California. It moves to intervene as of right on the grounds that it has an interest in protecting the safety of its members. It contends that Plaintiffs' requested injunctive relief — particularly the transfer of any inmates out of the Pelican Bay SHU — would jeopardize the safety of CDCR officers. In the alternative, it argues that it should be granted leave to intervene permissively because its motion is timely and it has defenses that share common questions of law or fact with the main action. Neither of these arguments is persuasive.
CCPOA has not explained why Defendants cannot adequately protect the safety interests of CDCR officers in this litigation.
Permissive intervention is also inappropriate here. The only potential defenses that CCPOA would raise are entirely duplicative of arguments that Defendants have already raised, as noted above. Furthermore, CCPOA waited nearly a year after Plaintiffs filed their 2AC before it moved to intervene even though its interests in this case became "ripe" when that complaint was filed.
Although CCPOA's request to intervene is denied, the Court will grant CCPOA leave to file an amicus brief in support of Defendants' dispositive motion.
For the reasons set forth above, Plaintiffs' motion for class certification (Docket No. 195) is GRANTED in part and DENIED in part.
The Court certifies the following Due Process Class under Rules 23(b)(1) and 23(b)(2): all inmates who are assigned to an indeterminate term at the Pelican Bay SHU on the basis of gang validation, under the policies and procedures in place as of September 10, 2012.
The Court certifies the following Eighth Amendment Class under Rules 23(b)(1) and 23(b)(2): all inmates who are now, or will be in the future, assigned to the Pelican Bay SHU for a period of more than ten continuous years.
The Court certifies the five named Plaintiffs who are currently housed in the Pelican Bay SHU to serve as class representatives and certifies Plaintiffs' counsel to serve as class counsel.
CCPOA's motion to intervene (Docket No. 233) is DENIED. CCPOA may submit an amicus brief in support of Defendants' dispositive motion. The amicus brief shall not exceed fifteen pages and shall not repeat any arguments raised by Defendants in their motion.
A case management conference will be held at 2:00 p.m. on June 4, 2014.