IN THE ~Upr£ltt£ (!tourt of tlpt lIluitc!I ~tttre!l GOVERNOR ARNOLD SCHWARZENEGGER, et al., Appellants, v. MARCIANO PLATA AND RALPH COLEMAN, et aI., Appellees. Appeal from the United States District Courts for the Eastern District of California and the Northern District of California JURISDICTIONAL STATEMENT APPENDIX EDMUND G. BROWN JR. CARTER G. PHILLIPS* ATTORNEY GENERAL OF EAMON P. JOYCE CALIFORNIA SIDLEY AUSTIN LLP JAMES M. HUMES 1501 K Street, N.W. CHIEF DEPUTY ATTORNEY Washington, DC 20005 GENERAL (202) 736-8000 MANuEL M. MEDEIROS STATE SOLICITOR GENERAL JERROLD C. SCHAEFER GORDON BURNS PAUL B. MELLO DEPUTY SOLICITOR GENERAL S. ANNE JOHNSON JONATHAN L. WOLFF SAMANTHAD. WOLFF ROCHELLE EAST RENJUP. JACOB SENIOR ASSISTANT HANSON BRIDGETT LLP ATTORNEYS GENERAL 425 Market Street KYLE A. LEWIS 26th Floor DANIELLE F. O'BANNON San Francisco, CA 94105 DEPUTY ATTORNEYS (415) 777-3200 GENERAL 455 Golden Gate Avenue Suite 11000 San Francisco, CA 94102-7004 (415) 703·5500 Counsel for Appellants October 5, 2009 *Counsel of Record WILSON-EPES PRINTING Co .• INC. - (202) 789-0096 - WASHINGTON. D. C. 20002 TABLE OF CONTENTS Page APPENDIX A: Coleman v. Schwarzeneggerl Plata v. Schwarzenegger, Nos. 2:90-cv-00520 LKK JFM P, COl-1351 TEH (E.D. Cal.lN.D. Cal. Aug. 4, 2009) (population reduction plan opinion and order) ............... ............................. 1a APPENDIX B: Coleman v. Schwarzeneggerl Plata v. Schwarzenegger, Nos. 2:90-cv-00520 LKK JFM P, COl-1351 TEH (E.D. Cal.lN.D. Cal. Nov. 3, 2008) (order denying motion for dismissal) .......................................................... 257a APPENDIX C: Plata v. Schwarzenegger, No. COl-1351 TEH (N.D. Cal. July 23, 2007) (order granting motion to convene three-judge panel) .... ........... ................................................. 273a APPENDIX D: Coleman v. Schwarzenegger, No. 2:90-cv-00520 LKK JFM P (E.D. Cal. July 23, 2007) (order granting motion to convene three-judge panel)............................................. 288a APPENDIX E: Coleman v. Schwarzeneggerl Plata v. Schwarzenegger, Nos. 2:90-cv-00520 LKK JFM P, COl-1351 TEH (E.D. Cal./N.D. Cal. Sept. 3, 2009) (order denying motion to stay) ................................................................... 305a APPENDIX F: Defendants' Population Reduc­ tion Plan, Coleman v. SchwarzeneggerlPlata v. Schwarzenegger, Nos. 2:90-cv-00520 LKK JFM P, COl-1351 TEH (E.D. Cal./N.D. Cal. Sept. 18, 2009) .................................................. 312a (i) 11 TABLE OF CONTENTS-continued Page APPENDIX G: Notice of Appeal to the Supreme Court of the United States, Coleman v, SchwarzeneggerlPlata v. Schwarzenegger, Nos. 2:90-cv-00520 LKK JFM P, COI-1351 TEH (E.D. Cal./N.D. Cal. Sept. 3, 2009) .......... 354a APPENDIX H: Federal Statute ... ........... ........... 356a la APPENDIX A UNITED STATES DISTRICT COURT, E.D. CALIFORNIA AND, N.D. CALIFORNIA. No. CIV S-90-0520 LKl{ JFM P. No. COl-1351 TEH. RALPH COLEMAN, et al., Plaintiffs, v. ARNOLD SCHWARZENEGGER, et al., Defendants. MARCIANO PLATA, et al., Plaintiffs, v. ARNOLD SCHWARZENEGGER, et at., Defendants. Aug. 4, 2009. STEPHEN REINHARDT, Circuit Judge. LAWRENCE K. KARLTON, Senior District Judge. THELTON E. HENDERSON, Senior District Judge. OPINION AND ORDER 2a TABLE OF CONTENTS 1. INTRODUCTION......................................... 6 II. FACTUAL AND PROCEDURAL BACKGROUND ........................................... 10 A. Plata (Medical Care)................................. 10 1. Complaint, Stipulation, and Order for Injunctive RelieL.................................. 11 2. Appointment of Court Experts and Their Findings .... ...... ... .... ...... ... ... ... .... ... 13 3. Periodic Status Conferences ................. 15 4. Proceedings To Determine Whether a Receiver Should Be Appointed ............. 16 5. Findings of Fact and Conclusions of Law Concerning Continuing Failure To Meet Constitutional Standards and Necessity ofa Receivership................... 17 6. Interim Remedies .................................. 20 7. Appointment of the Plata Receiver ...... 21 B. Coleman (Mental Health Care) ................ 22 1. Findings of Eighth Amendment Violations.... ....... ...... ... ... ... ...... .... ........... 23 2. Remedial Orders .. ...... ... ... ... ... .... ........... 26 a. Mental Health Care Beds and Treatment Space......................... ....... 28 h. Transfers to Appropriate Level of Care.................................................... 32 c. Staffing............................................... 33 3. Special Master's 2006 Monitoring Reports................................................... 34 3a C. Crowding in California's Prison System.. 37 1. The Increasing California Prison Population.............................................. 37 2. Studies Commissioned by the State of California To Examine Prison Crowding................................................ 38 3. Defining the Capacity of California Prisons ................................................... 39 4. Crowding in Relation to Capacity........ 42 D. Governor Schwarzenegger's Emergency Proclamation... ..... ... ... ... .... ...... ..... ............. 43 E. Motions To Convene Three-Judge Court and Subsequent Prison Studies by the State of California..................................... 44 1. Motions To Convene and Initial Proceedings............................................ 44 2. Intervening Reports on Prison Crowding.... .... ..... ... ... .... ... ... ... ... ...... ... .... 44 3. Final Hearing and Rulings .. ... ... ... ..... ... 45 F. Proceedings Before this Three-Judge Court.......................................................... 48 III. LEGAL FRAMEWORK................................ 49 A. The PLRA Standard for Prisoner Release Orders: Primary Cause and No Other Relief............................................... 51 B. The PLRA Standard for All Prospective Relief: Need-N arrowness-Intrusiveness and Consideration of Public Safety.. ........ 52 C. The Remedial Nature of the Three- Judge Court Proceeding ........................... 54 4a IV. CROWDING AS PRIMARY CAUSE ........... 55 A. General Problems in the Delivery of Medical and Mental Health Care Caused by Crowding ................................. 58 B. Space Issues Affecting the Delivery of Care ........................................................... 60 1. Reception Centers... ... ... .... ... .... ... .......... 60 2. Treatment Space ................................... 65 3. Inability to House Inmates by Classification ......................................... 67 4. Beds for Mentally III Inmates............... 68 C. Conditions of Confinement....................... 70 D. Other Access to Care Issues ..................... 73 1. Staffing ............ , ..... ....... ......... ....... ..... .... 73 a. Medical Staff...................................... 74 b. Mental Health Staff... ..... ...... ............. 76 c. Custodial Staff...... .... ... ... ....... ... ...... ... 77 2. Medication Management ...................... 79 3. Specialty Medical Care ........... , ....... ...... 80 4. Lockdowns ............................................. 81 E. Medical Records ....... ..... ... ........ ... .............. 83 F. Increasing Acuity of Mental Illness ......... 85 G. Extreme Departures from the Standard of Care and Preventable or Possibly Preventable Deaths, Including Suicides.. 86 H. Expert Opinions Regarding Causation.... 88 1. Findings and Conclusions ........................ 99 5a V. NO OTHER RELIEF.................................... 101 A. Alternatives to a Prisoner Release Order 102 1. Inadequacy of Construction as a Remedy.................................................. 102 a. Prison Construction........................... 102 b. Construction of Re-entry Facilities... 103 c. Medical Facilities and Prison Expansion .... ............ .......................... 105 d. Construction as a Means of Compliance......................................... 108 2. Inadequacy of Additional Hiring .......... 109 3. Insufficiency of the Plata Receivership and Coleman Special Mastership ......... 109 4. Other Proposals ...... ............................... 112 B. Expert Testimony..................................... 114 C. Findings and Conclusions ........................ 119 VI. NARROWLY DRAWN, LEAST INTRU- SIVE REMEDY THAT EXTENDS NO FURTHER THAN NECESSARy................. 119 A. Scope of Relief.... ............ .......... ................. 120 B. Form of Relief.................................... ........ 122 C. The Required Population Reduction........ 124 VII. POTENTIAL POPULATION REDUC­ TION MEASURES AND THEIR IMPACT ON PUBLIC SAFETY AND THE OPERATION OF THE CRIMINAL JUSTICE SYSTEM .................................... 131 A. Criminogenic Nature of Overcrowded Prisons....................................................... 133 6a B. Potential Population Reduction Measures .. ...... ... .... ..... .... ........ ................... 137 1. Early Release Through Expansion of Good Time Credits ................................ 139 2. Diversion of Technical Parole Violators................................................. 145 3. Diversion of Low-Risk Offenders with Short Sentences..................................... 149 4. Expansion of Evidence-Based Rehabi­ litative Programming III Prisons or Communities ......................................... 152 5. Sentencing Reform and Other Potential Population Reduction Measures................................................ 154 C. Impact of Proposed Measures on Communities............................................