UNITED STATES OF AMERICA, PETITIONER v. WILLIAM GOUVEIA, ET AL. No. 83-128 In the Supreme Court of the United States October Term, 1983 The Solicitor General, on behalf of the United States, petitions for a writ of certiorari to review the judgment of the United States Court of Appeals for the Ninth Circuit in this case. Petition for a Writ of Certiorari to the United States Court of Appeals for the Ninth Circuit PARTIES TO THE PROCEEDING In addition to the parties shown by the caption of this case, Robert Ramirez, Phillip Segura, Adolpho Reynoso, Robert Eugene Mills, and Richard Raymond Pierce were appellants below and are respondents here. TABLE OF CONTENTS Opinions below Jurisdiction Relevant constitutional provision Statement Reasons for granting the petition Conclusion Appendix A Appendix B Appendix C OPINIONS BELOW The opinion of the en banc court of appeals (App. A, infra, 1a-29a) is reported at 704 F.2d 1116. An earlier opinion of the court of appeals in the case of respondents Mills and Pierce (App. B, infra, 30a-40a) is reported at 641 F.2d 875. An earlier opinion of the district court in the case of respondents Mills and Pierce (App. C, infra, 41a-50a) is unreported. JURISDICTION The judgment of the en banc court of appeals was entered on April 26, 1983. On June 17, 1983, Justice Rehnquist extended the time within which to file a petition for a writ of certiorari to and including July 25, 1982. The jurisdiction of this Court is invoked under 28 U.S.C. 1254(1). RELEVANT CONSTITUTIONAL PROVISION The Sixth Amendment provides in pertinent part: In all criminal prosecutions, the accused shall enjoy the right * * * to have the assistance of counsel for his defense. QUESTIONS PRESENTED 1. Whether the Sixth Amendment requires appointment of counsel for an indigent prison inmate under criminal investigation during the time he is being held in administrative detention following the alleged offense but before the institution of adversary judicial proceedings. 2. Whether, in the absence of a special showing of prejudice, dismissal of the indictment is the appropriate remedy for failure to appoint counsel once an indigent prison inmate is held in administrative detention more than 90 days because of a pending criminal investigation. STATEMENT This case raises the question whether the Sixth Amendment requires that counsel be appointed for an indigent prison inmate under criminal investigation during the time he is held in administrative detention following the alleged offense, but before the institution of adversary judicial proceedings. The court of appeals consolidated appeals from two separate sets of district court convictions involving prison inmate murders, both of which raised this issue. 1. Respondents Gouveia, Ramirez, Segura and Reynoso Following a jury retrial in the United States District Court for the Central District of California, the four respondents were convicted of murder and conspiracy to commit murder, in violation of 18 U.S.C. 1111 and 1117 respectively. Each was sentenced to consecutive terms of imprisonment for life and 99 years. App. A, infra, 3a. a. On November 11, 1978, inmate Thomas Trejo was stabbed to death at the Federal Correctional Institution at Lompoc, California. An autopsy revealed that Trejo had suffered 45 stab wounds, most of which were in the area of his heart (Tr. 149). /1/ Following the murder, the Federal Bureau of Investigation and prison officials began independent investigations to determine the identity of the murderers. Respondents Gouveia and Reynoso and inmate Pedro Flores were immediately placed in the Administrative Detention Unit ("ADU") at Lompoc (C.R. No. 40, Reynoso Declaration at 1; C.R. No. 62 at 15). /2/ While in ADU, the two respondents were separated from the remainder of the prison population, and their participation in various prison programs was curtailed. However, they were not deprived of regular visitation rights, exercise periods, access to legal materials, and telephones from which they could make unmonitored calls to attorneys. See App. A, infra, 3a, 6a; 28 C.F.R. 540.50(c), 540.101, 540.102, 540.105, 541.19, 541.20, 543.11(j), 543.13, C.R. No. 62 at 21; Tr. 2411. On November 22, 1978, Gouveia, Reynoso, and Flores were removed from ADU and returned to the general prison population (C.R. No. 40, Reynoso Declaration at 1; C.R. No. 62 at 15). However, on December 4, 1978, all four respondents, as well as Flores and inmate Steven Kinard, were placed in ADU pending further investigation after prison officials obtained further information that implicated the six in the murder (see C.R. No. 40, Reynoso Declaration at 1; C.R. No. 33, Exh. C; C.R. No. 42 at 19; C.R. No. 62 at 15). Later in December, prison authorities conducted disciplinary hearings. Respondents requested appointment of counsel at the hearings, but the requests were denied (e.g., C.R. No. 40, Reynoso Declaration at 1-2; C.R. No. 42 at 19; C.R. No. 60 at 2-3). Prison officials determined that the four respondents each had participated in the murder of Trejo and ordered that they be returned to ADU (App. A, infra, 2a). /3/ Thereafter, prison authorities directed that Gouveia and Ramirez be transferred to the control unit of the United States Penitentiary in Marion, Illinois, based on a finding that they were too dangerous to be maintained in the general prison population at Lompoc (C.R. No. 43 at 5; C.R. No. 60 at 4). In March 1979, after the FBI notified the United States Attorney of the results of its investigation, the matter was presented to a grand jury, which, on June 17, 1980, indicted respondents, Flores, and Kinard for murder and conspiracy to commit murder. In addition, Reynoso, Kinard, and Flores were charged with conveyance of a weapon in a penal institution, in violation of 18 U.S.C. 1792. On July 14, 1980, respondents were arraigned in federal court, at which time they were appointed counsel (App. A, infra, 3a). b. Prior to trial, respondents and Flores moved to dismiss the indictment on the ground that the 19-month period between their removal to ADU and their indictment violated the Sixth Amendment right to a speedy trial or, alternatively, constituted unreasonable preindictment delay in violation of the Due Process Clause of the Fifth Amendment. They also argued that the failure of prison authorities to appoint counsel to represent them during the period they were in administrative detention, coupled with their own inability to begin preparation of a defense because of their segregation from the general inmate population, violated their Sixth Amendment right to effective assistance of counsel. Respondents made various factual representations to support their claims. For example, Gouveia acknowledged that he had obtained some information from the transcript of an FBI interview, and his counsel stated that he had learned from inmate rosters furnished by the Bureau of Prisons the whereabouts of four potential defense witnesses; however, Gouveia's counsel asserted that he was unable to obtain information about two other potential witnesses (C.R. No. 60 at 5; C.R. No. 69 at 3-7). Ramirez claimed that because of his segregation from the general prison population he had been unable to contact potential witnesses who could verify his whereabouts on the day of Trejo's death; that he knew several of these inmates only by nicknames and thus was unable to establish their identities or determine their whereabouts; and that a potential witness had died since the murder (C.R. No. 43 at 5-6). Following argument, the district court denied respondents' motions to dismiss without opinion (C.R. No. 72). c. Trial began on September 16, 1980. The jury acquitted Flores on all counts and acquitted Reynoso on the weapon conveyance count. However, the jury was unable to reach a verdict on the murder and conspiracy charges against respondents, and a mistrial was declared on those counts. Retrial began on February 17, 1981. Kinard, who was the government's principal witness, /4/ testified about the plans to murder Trejo. According to Kinard's testimony, Reynoso had told Kinard in early November 1978 and Trejo "had to go" by Christmas because he had made a "bad move against la cliqua" while incarcerated at Terminal Island (Tr. 488-489); Ramirez had arranged for another inmate to make several knives with which the murder would be committed (Tr. 489-500); and on the morning of the murder Reynoso stated that "the fool had to be sent home today" (Tr. 512-513). Kinard described the four respondents' actions in preparing for the murder and disposing of the weapons and blood-stained clothing and related their later descriptions of the stabbing (Tr. 515-559). /5/ The prosecution introduced evidence that Gouveia's fingerprints and palm print and Segura's palm print were discovered in the cell where the murder occurred (Tr. 327-328, 443-444). Respondents called 34 witnesses, including 14 alibi witnesses, to testify on their behalf (see App. A, infra, 28a). Each respondent sought to establish that he was elsewhere at the time of the murder. In addition, the respondents presented evidence that the crime had been committed by others, including Kinard. For example, five witnesses corroborated Segura's testimony that he was playing handball in the morning and that at the time the murder was committed he was playing pool and watching a football game on television (e.g., Tr. 1568-1569, 1579-1590, 1596-1597, 1610-1612, 1764-1767, 2141-2148). Another witness verified Ramirez' testimony that he was lifting weights at the gymnasium at the time of the murder (Tr. 1939, 2245-2247). Three witnesses testified in support of Gouveia's story that on the morning of the murders he was eating in the dining hall and thereafter went to the gymnasium (Tr. 1549-1550, 1680-1681, 2114-2119, 2370-2378). Two witnesses testified that they were watching a football game with Reynoso at the time of the murders (Tr. 1418-1420, 1442, 1520-1525). In addition, the inmates identified by government witnesses as those who fabricated the knives and brought them into the prison denied any involvement in the scheme (Tr. 1795-1796, 2424). Other witnesses testified that Kinard had told them that he and another prisoner, who had since died, had murdered Trejo following a dispute over payment for drugs (Tr. 1855-1864, 1894-1897, 2064). 2. Respondents Mills and Pierce Following a jury trial in the United States District Court for the Central District of California, respondents Mills and Pierce were convicted of murder, in violation of 18 U.S.C. (Supp. V) 1111, and of conveying a weapon in prison, in violation of 18 U.S.C. 1792. Pierce also was convicted of assaulting another prisoner, in violation of 18 U.S.C. 113(c). Each was sentenced to life imprisonment on the murder charge and to a concurrent three-year term on the weapon conveyance charge. App. A infra, 4a-5a. Pierce received an additional concurrent three-year term on the assault charge (Mills Tr. 1783). A. On August 22, 1979, Thomas Hall, an inmate at Lompoc, died after being stabbed 10 times in the "E" unit of the prison (Mills Tr. 445, 482-483). Shortly after the murder, Mills and Pierce were taken into custody and examined by an FBI agent and a prison doctor, who observed that Mills' face was flushed and that he had two puncture wounds on his left arm and a spot of blood on his thumbnail. Pierce's upper arm bore bruises that appeared to be finger impressions (Mills Tr. 461, 484, 619-621, 628). The following morning, Mills and Pierce were placed in ADU on the ground that they were pending investigation for criminal offenses and violation of prison regulations and that their continued presence in the general prison population "pose(d) a serious threat to life, property, self, staff, other inmates, or to the security of the institution" (App. B, infra, 33a-34a; Mills C.R. No. 59, Exhs. B, C). The conditions of their confinement in ADU were identical to those described above (see App. B, infra, 31a). During disciplinary hearings conducted by the Bureau of Prisons several weeks later, respondents stated that they wished to consult with counsel, but the request was denied (App. B, infra, 31a; Mills C.R. No. 59 at 27-28). Mills declined the offer of assistance of a staff representative to interview witnesses and help prepare his case for the disciplinary proceeding (Mills C.R. No. 59, Mills Declaration at 28). See 28 C.F.R. 541.14(b). Prison officials concluded that Mills and Pierce had murdered Hall and returned them to ADU. The two were ordered to forfeit their accumulated good time (App. A, infra, 4a). In addition, prison officials informed Mills that he would be transferred to the control unit at Marion Penitentiary (Mills C.R. No. 59 at 28). On March 27, 1980, after Mills and Pierce had been in administrative detention for approximately seven months, they were indicted by a grand jury. At the time of their arraignment on April 21, 1980, respondents were appointed counsel. App. A, infra, 4a. b. Mills and Pierce moved to dismiss the indictment on the grounds that their administrative detention for seven months prior to return of the indictment violated their Sixth Amendment right to a speedy trial or, alternatively, constituted unreasonable preindictment delay. They also contended that the failure of prison authorities to appoint counsel to represent them when they were placed in administrative detention violated their Sixth Amendment right to counsel. In support of their claims of prejudice, Mills and Pierce alleged that lack of access to witnesses during the period in which they were confined in ADU "severely undermined" their ability to prepare a defense; that the time lapse following the murder prevented witnesses from recalling the details of the evening of August 22, 1979, "as clearly as they had * * * last fall," and that, in many cases, "defense witnesses are unable, * * * to remember who they were with (and) the times the crucial events took place" (Mills C.R. No. 59 at 16). Respondents also alleged that the release or transfer of some potential witnesses to other institutions had made it difficult to locate them, that it was impossible to find other potential witnesses who were known only by nicknames, that some witnesses were reluctant to testify, and that memories had faded (id. at 16-17; No. 49 at 7-8; No. 73 at 17-25). Finally, respondents claimed that the time lapse made it impossible to analyze blood stains found on clothing; that evidence relating to the case had been lost or destroyed; and that their own physical wounds, which might have had some probative value for their defense, had healed (id. No. 49 at 9; No. 73 at 7-8). On August 14, 1980, the district court granted the motion to dismiss the indictment (App. C, infra, 41a-50a). The court first concluded that respondents stood accused of the murder at the time they were committed to ADU and that, because the government failed to justify the ensuing 10-month delay in bringing them to trial, they were denied their Sixth Amendment right to a speedy trial. Alternatively, the court found that respondents were denied due process because their continued administrative detention after the government had substantially completed its investigation irreparably projudiced their ability to prepare for trial. Finally, the court found that the government's failure to appoint counsel to represent respondents promptly after their placement in ADU deprived them of the Sixth Amendment right to counsel, as well as their due process right to prepare a defense. The court reasoned that respondents "were denied any effective opportunity to have an investigation conducted on their behalf while events were still recent and recollections intact, and that the passage of time "resulted in the irrevocable loss of exculpatory testimony and evidence * * * " (App. C, infra, 49a, 50a). c. The court of appeals reversed (App. B, infra, 30a). It rejected the district court's holding that the 10-month delay between respondents' placement in ADU and the trial violated the Sixth Amendment Speedy Trial Clause, since administrative detention by prison authorities is not an "arrest" or "accusal" for speedy trial purposes (App. B, infra, 34a). The court of appeals held that the right to counsel did not attach until the initiation of formal adversary proceedings by way of indictment in March 1980 (ibid.). Finally, the court of appeals noted respondents' claims of prejudice, but dismissed them as speculative (id. at 36a-37a). /6/ d. At trial, the government presented eyewitness testimony linking Mills and Pierce to the murder of Hall. The evidence showed that prior to the murder Mills told another inmate that he knew who was responsible for providing information that caused Mills to be placed temporarily in administrative detention and that Mills was going to "take care of it" upon his release from detention (Mills Tr. 344-345); in fact, it was Hall who had provided the information to prison authorities (id. at 474-476). The day before the murder Hall confronted Mills and demanded repayment of a debt (id. at 289). On the day of the murder there were several confrontations between Hall and Mills and Pierce (id. at 76-77, 291-292). After dinner, inmate Mellen, who was Hall's friend, heard Hall scream for help; he then saw Mills hold Hall from behind while Pierce stabbed Hall in the abdomen (id. at 88-96, 109). Other witnesses corroborated Mellen's testimony. For example, inmate Ehle testified that before the murder he had overheard Mills tell inmate John Able, identified as the leader of a prison gang known as the Aryan Brotherhood, that Mills was going to "move on" an inmate who owed him money; Mills asked Able whether the murder would make him eligible for membership in the Brotherhood (id. at 561-563). Ehle also testified that he overheard Mills discussing the murder with Able after it occurred (id. at 591-593). A substantial amount of physical evidence, including bloodstained clothing and wounds on the arms of both Mills and Pierce, linked respondents to the murder (id. at 189-190, 418-425, 508-510, 618-621). Mills and Pierce presented 42 witnesses, including six alibi witnesses. Three inmates testified that they were watching the entrance to the "E" unit during the period when the murder occurred but did not observe respondents enter or leave (Mills Tr. 682, 708-709, 728). Six witnesses corroborated Pierce's testimony (id. at 1401-1402) that he and Mills were eating a meal at the time of the crime and were locked in the dining hall with other prisoners immediately after its discovery (id. at 756-758, 777-779, 801-804, 819-824, 849-851, 1135-1137). Three inmates testified that they witnessed the crime and that, contrary to Mellen's testimony, the assailants were masked at all times, so that their identifies could not be determined (id. at 985-992, 1028-1030, 1048-1050). Other witnesses testified that Hall was an informant and had many enemies in the prison population (id. at 1106-1109) and that bruises and cuts observed by investigators on the respondents' bodies shortly after the murders resulted from athletic injuries (id. at 1223-1225, 1325-1328). Several expert witnesses called by the defense challenged the accuracy of opinion testimony by government witnesses or testified based on the physical evidence that it was unlikely that respondents committed the murder (e.g., id. at 902-903, 1278-1290, 1312-1318). 3. The Decision of the Court of Appeals The en banc court of appeals consolidated the Gouveia and Mills cases. By a vote of six to five, it reversed the convictions and remanded for dismissal of the indictments. The majority held that when an inmate is separated from the general prison population for more than 90 days pending a criminal investigation, the Sixth Amendment requires that he be appointed counsel (App. A, infra, 17a). The majority recognized that under this Court's decisions the right to counsel attaches only when formal judicial proceedings are initiated. It reasoned, however, that "(t)he point of 'accusation' may be different for the prosecution of prison crimes, where the subject is already incarcerated and subject to the discretion and discipline of federal authorities" (App. A, infra, 7a). Proceeding from this premise, the majority concluded that, although separation of inmates from the general prison population properly serves disciplinary and security functions (id. at 10a), such detention becomes "accusatory" when one of the purposes is to isolate the prisoner pending investigation and trial (id. at 11a). The majority acknowledged (App. A, infra, 11a) that administrative detention is necessary to further important governmental investigative interests, such as the protection of potential witnesses in the prison population. However, it observed that such detention deprives the prisoner of the opportunity to prepare a defense or even to keep track of the location of other inmate-witnesses in a transient prisoner population. This inability, the majority reasoned, "distinguishes (respondents) from suspects outside of prison who have not yet been arrested or indicted;" the position of such detainees "more resembles that of a suspect outside of prison who has been arrested and detained than that of an outside suspect who has been neither arrested nor detained" (id. at 12a). The majority noted that a suspect outside prison who is arrested and detained normally is arraigned without delay, at which time the right to counsel attaches; it concluded by analogy that "the administrative detention of an indigent inmate who is suspected of a crime does, under certain circumstances, give rise to the right to appointed counsel" (id. at 13a, 15a). The majority then considered the circumstances under which administrative detention would trigger the right to counsel. Purporting to interpret applicable Bureau of Prisons regulations, the majority concluded that the maximum stay in segregation for purely disciplinary reasons is 90 days, and that any segregation for a period exceeding 90 days must be for investigative purposes. The majority stated that "(i)f an inmate is held after the maximum disciplinary period has expired, he should be allowed to show that his detention, at least in part, is due to pending investigation or trial for a criminal act." If the inmate establishes indigency and requests counsel, "prison officials must either refute the inmate's showing, appoint counsel, or release the inmate back into the general prison population" (App. A, infra, 17a). The majority concluded that prison authorities had violated the 90-day rule it had fashioned and that respondents thus had been denied the right to counsel. /7/ The majority then held that dismissal of the indictments was the appropriate remedy (App. A, infra, 20a-23a). It acknowledged (id. at 20a) that under United States v. Morrison, 449 U.S. 361, 364-365 (1981), the remedy for Sixth Amendment deprivations must be tailored to the injury suffered. It rejected the government's argument that none of the respondents had demonstrated actual and specific prejudice. The majority concluded that the belated appointment of counsel, coupled with respondents' prolonged administrative detention following the murders, handicapped the ability of respondents' attorneys to defend them at trial, citing the respondents' allegations of prejudice and the statements of the district court that had dismissed the indictments in the Mills case at the pretrial stage (App. A, infra, 20a-23a). The majority concluded that in any event it was appropriate to presume prejudice because ordinarily it would be difficult to prove or refute its existence (id. at 22a-23a). Judge Wright dissented in an opinion joined by Judges Choy, Kennedy, Anderson, and Poole (App. A, infra, 24a-29a). The dissenters pointed out that the majority had confused right to counsel principles with speedy trial principles when it applied a de facto accusation concept. They concluded that extension of the right to counsel to the preindictment investigative period contravenes decisions in which this Court has stated that the right to counsel attaches only at the time adversary judicial proceedings are initiated. The dissenters also noted that the majority's presumption of prejudice and dismissal of the indictment were inconsistent with United States v. Morrison, supra. The dissenters pointed out that the potential prejudice referred to by the majority resulted primarily from the passage of time, rather than ineffective assistance of counsel (App. A, infra, 28a), and that there are adequate remedies, short of dismissal of the indictment, for prejudice resulting from any governmental interference with access to witnesses (id. at 28a-29a). The dissenters concluded that the majority had departed substantially from Supreme Court precedent and that "review by that Court is indicated" (id. at 29a). /8/ REASONS FOR GRANTING THE PETITION The court of appeals' holding that the Sixth Amendment requires appointment of counsel for indigent inmates held in administrative detention pending criminal investigation represents a radical departure from this Court's decisions defining the right to counsel. Under those decisions, it is well established that the right to counsel attaches only at the initiation of adversary judicial proceedings. The court of appeals nevertheless concluded that in the prison setting the right to counsel arises wholly independent of the filing of any formal judicial charges against an inmate. /9/ In addition, the court of appeals' conclusion that dismissal of the indictment normally will be the appropriate remedy for the failure to appoint counsel at an early stage, despite the absence of any specific showing of substantial prejudice, conflicts with this Court's decision in United States v. Morrison, 449 U.S. 361 (1981), which requires that the remedy for a violation of the right to counsel be tailored to the injury suffered. The court's virtually irrebuttable presumption that in such circumstances there will be irreparable prejudice to prison inmates, resulting in denial of a fair trial, is not well founded. The court of appeals' "unprecedented expansion of the right to counsel" (App. A, infra, 24a) will have a significant effect on the administration of federal and state prisons and on the criminal justice system in the Ninth Circuit. The decision below threatens to interfere with important security measures taken by prison authorities in connection with prison crimes. In addition, the court's conclusion that dismissal of the indictment is the proper remedy means that not only these respondents, but also many other individuals who have committed serious institution crimes, will escape criminal penalties entirely. In view of the court of appeals' radical departure from the decisions of this Court and the significant impact of the decision below, review by this Court is warranted. 1. Each respondent was placed in the administrative detention unit at Lompoc after being identified as a suspect in a prison murder, and each remained there until after he was indicted. Bureau of Prisons regulations define administrative detention as "the status of confinement of an inmate in a special housing unit in a cell either by himself or with other inmates which serves to remove the inmate from the general population." 28 C.F.R. 541.20. An administrative detainee normally is confined to his cell except for regular exercise, shower, and visitation periods, and he is deprived of the usual interaction with his fellow prisoners that is provided by shared meals, work and recreation. However, administrative detainees generally are afforded the same privileges as are made available to general population inmates (e.g., commissary, visitation, and correspondence privileges). 28 C.F.R. 541.20(d). /10/ Bureau of Prisons regulations provide that inmates may be placed in administrative detention in a variety of circumstances. 28 C.F.R. 541.20(a). In particular, prison officials may place an inmate in administrative detention "when his continued presence in the general population poses a serious threat to life, property, self, staff, other inmates or to the security or orderly running of the institution and when the inmate * * * (i)s pending investigation or trial for a criminal act." Ibid. /11/ Separation of inmate-suspects from the general prison population during the course of a criminal investigation serves important security purposes, including protection of potential inmate-witnesses from intimidation and prevention of subornation of perjury. /12/ The federal concerns underlying such detention are similar to state interests in detention of inmates pending investigation, recognized by this Court in Hewitt v. Helms, No. 81-638 (Feb. 22, 1983), slip op. 14-15: "(The state) must protect possible witnesses -- whose confinement leaves them particularly vulnerable -- from retribution by the suspected wrongdoer, and, in addition, has an interest in preventing attempts to persuade such witnesses not to testify at disciplinary hearings." See also id. at 16 n.9 (noting that pendency of a state criminal investigation was a factor properly taken into account in continuing administrative detention). These are the concerns that underlay the placement of respondents in administrative detention during the time the FBI and prosecutors conducted investigations of the murders. 2. The decisions of this Court make clear that the Sixth Amendment right to counsel attaches only at the initiation of adversary judicial proceedings: In a line of constitutional cases in this Court stemming back to the Court's landmark opinion in Powell v. Alabama, 287 U.S. 45, it has been firmly established that a person's Sixth and Fourteenth Amendment right to counsel attaches only at or after the time that adversary judicial proceedings have been initiated against him. See Powell v. Alabama, supra; Johnson v. Zerbst, 304 U.S. 458; Hamilton v. Alabama, 368 U.S. 52; Gideon v. Wainwright, 372 U.S. 335; White v. Maryland, 373 U.S. 59; Massiah v. United States, 377 U.S. 201; United States v. Wade, 388 U.S. 218; Gilbert v. California, 388 U.S. 263; Coleman v. Alabama, 399 U.S. 1. Kirby v. Illinois, 406 U.S. 682, 688 (1972) (plurality opinion). Accord, Estelle v. Smith, 451 U.S. 454, 469-470 (1981); Moore v. Illinois, 434 U.S. 220, 226-227 (1977). /13/ Of course, the Sixth Amendment by its terms refers to rights in connection with "criminal prosecutions." Moreover, practical considerations support the conclusion that the right to counsel does not attach until the commencement of adversary judicial proceedings: The initiation of judicial criminal proceedings is far from a mere formalism. It is the starting point of our whole system of adversary criminal justice. For it is only then that the government has committed itself to prosecute, and only then that the adverse positions of government and defendant have solidified. It is then that a defendant finds himself faced with the prosecutorial forces of organized society, and immersed in the intricacies of substantive and procedural criminal law. It is this point, therefore, that marks the commencement of the "criminal prosecutions" to which alone the explicit guarantees of the Sixth Amendment are applicable. See Powell v. Alabama, 287 U.S. at 66-71; Massiah v. United States, 377 U.S. 201; Spano v. New York, 360 U.S. 315, 324 (Douglas, J., concurring). Kirby v. Illinois, supra, 406 U.S. at 689-690 (footnote omitted). Accord, Moore v. Illinois, supra, 434 U.S. at 227, 228. The court of appeals disregarded these well-established principles in concluding that respondents' right to appointed counsel attached 90 days after they had been placed in administrative detention following commission of a criminal offense -- at which point the government was still conducting its investigation and had not yet determined whether prosecution was warranted. /14/ The court of appeals attempted to avoid the apparent inconsistency between its holding and this Court's right to counsel cases by announcing that an inmate becomes an "accused" after 90 days of administrative detention (App. A, infra, 13a, 16a-17a). This analysis is plainly wrong. To begin with, even if continuation of administrative detention were equivalent to some sort of "accusation", it would not trigger the right to counsel, which attaches only at the initiation of adversary judicial proceedings. Moreover, assuming for the sake of argument that a speedy trial analysis could be applied to the right to counsel (see id. at 24a-25a), the court's reasoning would still be incorrect. It is not detention alone that triggers the right to a speedy trial under the Sixth Amendment; rather, both arrest and "holding to answer a criminal charge" are necessary to engage the speedy trial provision. United States v. Marion, 404 U.S. 307, 320 (1971). See also id. at 321 (referring to a defendant who "has been arrested and held to answer"); United States v. MacDonald, 456 U.S. 1, 7 (1982) ("no Sixth Amendment right to a speedy trial arises until charges are pending"); id. at 8-9 (speedy trial guarantee inapplicable once charges are dismissed). An inmate in administrative detention is not held to answer a criminal charge until such a charge is made, e.g., at the time of indictment. /15/ It is simply incorrect to view administrative detention as in any way accusatory. It is prison officials, not prosecutors, who make the decision to place or retain an inmate in administrative detention. The purpose of such detention is not to accuse or to initiate judicial proceedings. Rather, separation of an inmate from the general prison population serves security purposes, including protection of other inmates, prison staff, and the institution as a whole. As the court of appeals itself recognized (App. A, infra, 10a), administrative detention "is perhaps the princip(al) remedy available to prison officials when crime or other disturbances threaten the prison environment." In particular, as we described above (pages 15-17), administrative detention pending a criminal investigation or trial serves significant security purposes, such as preventing suspects from intimidating or injuring potential witnesses. Detention for these purposes does not amount to an "accusation." /16/ The court of appeals concluded (App. A, infra, 11a-12a) that a right to counsel at the preindictment stage would be appropriate because it is difficult for an inmate in administrative detention to conduct an investigation and prepare a defense to criminal charges that might eventually be filed against him. But this Court has never suggested that a constitutional right to counsel attaches prior to indictment whenever a potential defendant lacks investigative resources. /17/ Indeed, if this were the case, the government would be required to provide counsel for many suspects, both inside and outside prisons. /18/ In any event, the court of appeals' concerns about the ability of respondents to investigate and prepare a defense are properly addressed under due process standards, not under a Sixth Amendment right to counsel analysis. The sort of prejudice alleged by respondents -- faded memories and inability to locate witnesses or examine physical evidence -- is quite similar to that alleged in United States v. Marion, 404 U.S. 307 (1971), and United States v. Lovasco, 431 U.S. 783 (1977), in which the Court concluded that allegations of prejudice resulting from preindictment delay are properly addressed under a due process standard, rather than a Sixth Amendment speedy trial analysis. If respondents have any constitutional claim that they were deprived of a fair trial as a result of their administrative detention, that claim should be evaluated under due process criteria, rather than under a right to counsel analysis that is so clearly inconsistent with this Court's decisions. 3. The court of appeals also erred in concluding that dismissal of the indictments was the appropriate remedy in the absence of any specific showing of prejudice resulting from the failure to appoint counsel during respondents' stay in administrative detention. Dismissal of the indictment is a drastic remedy that is rarely appropriate, even in the case of constitutional violations. See, e.g., United States v. Blue, 384 U.S. 251, 255 (1966). This Court stressed in United States v. Morrison, supra, 449 U.S. at 364-365 (footnote omitted), that "remedies should be tailored to the injury suffered" and that "absent demonstrable prejudice, or substantial threat thereof, dismissal of the indictment is plainly inappropriate, even though the violation (of the right to counsel) may have been deliberate." The Court pointed out in Morrison that in right to counsel cases the proper approach is to identify and neutralize any taint "by tailoring relief appropriate in the circumstances to assure the defendant the effective assistance of counsel and a fair trial." Id. at 365. Here the court of appeals made little effort to determine whether respondents had suffered actual and significant prejudice as a result of the failure to appoint counsel during the period of administrative detention. To the extent the court attempted to identify prejudice, it relied on respondents' allegations and on the pretrial conclusions of the district court that had dismissed the indictment in the Mills case -- conclusions that a panel of the court of appeals subsequently had found to be without foundation (see App. B, infra, 30a-40a). The court of appeals made no attempt to analyze whether these predictions of prejudice had been borne out by events at trial. In fact, the court concluded that in the case of inmate-suspects who are held in administrative detention during the preindictment period it is proper to "presume prejudice because ordinarily it will be impossible adequately either to prove or refute its existence" (App. A, infra, 22a). The court of appeals suggested that its holding was in line with Morrison because, in the court's view, the "potential for substantial prejudice" resulting from the failure to appoint counsel during administrative detention could not be cured by an after the fact remedy (App. A, infra, 21a, 22a). But Morrison surely requires more than the potential for prejudice as a prerequisite to dismissal of the indictment. This Court has made clear that courts must make case by case evaluations to determine whether constitutional violations have resulted in actual prejudice and whether such prejudice is so great that dismissal of the indictment is warranted, even when this is not an easy task. In United States v. Marion, supra, 404 U.S. at 325-326, the Court stressed that the possibility of prejudice in the form of dimmed memories, inaccessible witnesses, and lost evidence resulting from preindictment delay is not alone sufficient to establish that a defendant will be deprived of a fair trial and to justify the drastic remedy of barring the prosecution. See also United States v. Lovasco, supra, 431 U.S. at 796-797. This requirement of a concrete showing of prejudice applies even where the prosecutor has deliberately and unfairly delayed indictment in an effort to secure a tactical advantage at trial. Id. at 790. /19/ Respondents' allegations of prejudice are quite similar to the kind that courts regularly evaluate in passing upon claims of improper preindictment delay, and we find it impossible to understand why the courts of appeals deemed it necessary to dispense with such an inquiry in this context. We also take issue with the court of appeals' conclusion (App. A, infra, 22a) that the circumstances of prison cases normally make it impossible to determine whether prejudice has resulted from the failure to appoint counsel during administrative detention. In fact, in view of the controlled conditions of prison life (resulting in a limited number of potential witnesses and availability of inmate rosters, photographs, and other records), it should usually be less difficult than in other cases to determine whether preparation of an inmate's defense has been impaired. Moreover, at least in federal prison cases, a court should consider the fact that those wrongly suspected of crime are not without recourse. The Bureau of Prisons provides staff representatives to help inmates investigate and present evidence in connection with prison disciplinary hearings. Under 28 C.F.R. 541.15, the staff representative "shall be available to assist the inmate if the inmate desires by speaking to witnesses and by presenting favorable evidence to the (institution discipline committee) on the merits of the charge(s) or in extenuation or mitigation of the charge(s)." Thus, inmates normally will have had access to the sort of assistance with which the court of appeals was concerned. /20/ Moreover, as in any case, the absence of some potential witnesses may or may not make a difference, depending on the defense theory and on the ability to locate other witnesses, as well as on the strength of the prosecution's case. If the testimony of allegedly missing witnesses would have been cumulative to that of witnesses who have been located, the absence of the former does not warrant the drastic remedy of barring prosecution altogether. /21/ Finally, in evaluating prejudice in cases like this one, a court should take into account the fact that the prosecution also faces significant investigative hurdles in the case of prison crime (see App. A, infra, 11a), including difficulty in obtaining cooperation from inmate-witnesses and a shortage of witnesses whom a jury is likely to find credible. Moreover, every defendant has the ultimate protection of the prosecution's burden of proving guilt beyond a reasonable doubt. Here, no substantial basis exists for concluding that the failure to appoint counsel during administrative detention deprived respondents of a fair trial. Respondents' appointed counsel conducted extensive investigation and presented "defenses of uncommon quality and vigor" (App. A, infra, 28a). At trial, the Gouveia respondents presented 34 witnesses, including 14 alibi witnesses, while the Mills respondents presented 42 witnesses, including six alibi witnesses. See pages 6, 11, supra. Although the Mills respondents complained that they were prejudiced by deterioration of physical evidence, they presented several expert witnesses who testified concerning that evidence. See page 11, supra. Several of the Gouveia respondents were not placed in administrative detention until approximately three weeks after the murder occurred; thus, they had some opportunity to investigate and prepare defenses during the weeks immediately following the offense -- presumably the most important time for purposes of investigation. /22/ In such circumstances, the court of appeals should have analyzed the respondents' allegations of prejudice in light of the evidence presented at trial, rather than simply presuming that there would be prejudice in virtually every case involving the failure to appoint counsel during administrative detention. /23/ 4. The decision below will have significant practical consequences for the administration of federal and state prisons and for the criminal justice process in the Ninth Circuit. Under the decision, after an indigent inmate has been in administrative detention for 90 days following commission of a criminal offense, prison officials must choose between providing counsel for the inmate and returning him to the general prison population. As a practical matter, appointment of counsel would require prison officials and the court to set up new administrative procedures. /24/ In addition, prison officials would have to make arrangements to ensure that preindictment investigation of the type envisioned by the court of appeals could be conducted consistently with the maintenance of order in the institution and with the need to avoid interference with ongoing FBI investigations. The alternative of releasing inmate-suspects into the general prison population after 90 days of administrative detention would be unacceptable in many instances. As noted above, prison officials have responsibilities to preserve order and to protect the integrity of ongoing investigations. These responsibilities normally will require continued administrative detention of inmates pending investigation of serious crimes. While there may occasionally be useful investigation that an inmate could conduct to vindicate his innocence, prison officials would be derelict in their duties if they failed to take into account the fact that often such "investigations" are likely to consist of intimidating prospective witnesses and suborning perjury. See, e.g., United States v. Castillo, 615 F.2d 878, 885 (9th Cir. 1980). The decision below is of particular concern if it is read to prohibit transfer of an inmate-suspect to a higher security institution following commission of a criminal offense. /25/ Transfer is an important administrative tool for prison officials who are responsible for inmates who cannot safely be returned to the general population. See, e.g., Olim v. Wakinekona, No. 81-1581 (Apr. 26, 1983); Howe v. Smith, 452 U.S. 473 (1981); Meachum v. Fano, 427 U.S. 215 (1976); Montanye v. Haymes, 427 U.S. 236 (1976). The Bureau of Prisons has informed us that during a recent 12-month period approximately 400 inmates in detention following suspected commission of an indictable offense were transferred before being returned to the general prison population. Of the 400, over 70 were transferred from prisons located within the Ninth Circuit. If as a result of the decision below prison authorities may not transfer inmates found to have participated in a prison murder, there would be a significant threat to the security of federal prisons. Moreover, it is not at all clear that appointment of counsel during administrative detention would contribute as significantly to an inmate's investigation or preparation of a defense as the court of appeals presumed. Bureau of Prisons officials have informed us that they are unaware of any instances in which retained counsel have sought access to a prison to conduct an investigation prior to indictment. Of course, security concerns would make it virtually impossible to allow counsel unsupervised access to the premises of a prison or free rein to week out possible witnesses from among the inmates. Moreover, inmates may obtain the assistance of a staff representative in connection with disciplinary proceedings. See pages 24-25, supra. Thus, an inmate who is sincerely interested in exonerating himself already has access to an individual who is responsible for investigation, interviewing witnesses, and presenting a defense on behalf of the inmate. See 28 C.F.R. 541.15(b). There are also significant practical concerns arising from the court of appeals' conclusion, without analysis of actual prejudice or alternative remedies, that the appropriate remedy in cases like this one is dismissal of the indictment. The two brutal murders in this case are typical of the violent prison crimes that have become a serious threat to the security of both federal and state institutions in recent years. See, e.g., App. B, infra, 31a (noting information that Lompoc inmates committed at least 14 homocides in 1980); Brothers in Blood: Prison Gangs Formed by Racial Groups Pose Big Problem in West, Wall St. J., May 11, 1983, Section 1, at 1, col. 1. If the decision below stands, the result will be that many especially dangerous individuals who have committed serious institution crimes will escape criminal penalties entirely. On a nationwide basis, the Bureau of Prisons has identified over 200 pending prosecutions for serious institution crimes (including 66 in the Ninth Circuit). The Bureau believes that many of the defendants in these prosecutions were held in disciplinary segregation and/or administrative detention for more than 90 days following the offense and prior to indictment; thus, indictments against them would apparently have to be dismissed if the decision below is correct. And, of course, the Ninth Circuit's novel rule casts a pall over the viability of innumerable state prosecutions for prison crimes. In view of these consequences, and in light of the practical problems federal and state prison officials will face as a result of the decision below, it would be unduly burdensome if resolution of the questions raised by the decision below were postponed. Thus, review of the decision below is plainly warranted. CONCLUSION The petition for a writ of certiorari should be granted. Respectfully submitted. REX E. LEE Solicitor General D. LOWELL JENSEN Assistant Attorney General ANDREW L. FREY Deputy Solicitor General CAROLYN F. CORWIN Assistant to the Solicitor General JOHN F. DE PUE Attorney JULY 1983 /1/ "Tr." signifies the transcript in the case of the Gouveia respondents. /2/ "C.R." signifies the district court Clerk's Record in the case of the Gouveia respondents. The number following the abbreviation corresponds with the entry number on the district court docket sheet. /3/ The reasons for the decision to return respondents to ADU are not set forth clearly in the record. However, a prison form dated December 1978, submitted as an exhibit to co-defendant Flores' motion to dismiss, indicates that he was placed in ADU pending investigation for violations of prison rules and crimes committed in the prison and because his "(c)ontinued presence * * * in general population pose(d) a serious threat" to other inmates and to the security of the institution (C.R. No. 33, Exh. C). Respondents apparently were returned to ADU for similar reasons (see C.R. No. 60 at 1-2); Gouveia and and Ramirez presumably were returned to ADU for the additional reason that they were pending transfer to another penal institution. See 28 C.F.R. 541.20(a). /4/ Kinard entered a plea of guilty on the weapon conveyance count prior to the first trial, with the understanding that the government would seek dismissal of the remaining counts and that he would testify on the government's behalf (Tr. 508-509). /5/ Several other prisoners corroborated portions of Kinard's testimony. For example, one inmate witness testified that Reynoso returned from the prison disciplinary hearing and stated that he had lost only about 20 days' good time and that, if that was all prison authorities were going to do, he would kill again (Tr. 1214-1215). /6/ Judge Nelson issued a concurring opinion in which she stated that respondents' due process claims could properly be raised at trial (App. B, infra, 40a). Following the court of appeals' reversal of the order dismissing the indictment, both respondents filed petitions for writs of certiorari, which were denied by this Court. 454 U.S. 902 (1981). /7/ The majority found it unnecessary to reach respondents' claims based on the Fifth and Eighth Amendments (App. A, infra, 5a). /8/ On May 16, 1983, the court of appeals stayed the issuance of the mandate for a 90-day period commencing May 9, 1983. /9/ This case involves only the issue of the right to appointment of counsel for indigent inmates. The respondents were not denied the opportunity to retain their own counsel during the time they were in administrative detention (App. A, infra, 3a, 6a). Nor was there any claim that respondents' counsel rendered ineffective assistance apart from the contention that failure to appoint counsel at an earlier stage impeded the ability to mount a fully effective defense. /10/ Bureau of Prisons regulations distinguish between "administrative detention" and "disciplinary segregation." Under the regulations, "(i)nmates housed in disciplinary segregation have significantly fewer privileges than those housed in administrative detention." 28 C.F.R. 541.19(a). The record appears to indicate that respondents were in administrative detention, as opposed to disciplinary segregation, during the entire period of their separation from the general prison population. /11/ Under the regulations, an inmate may also be placed in administrative detention if he is pending hearing or investigation in connection with a violation of prison regulations, is pending transfer to another institution, needs protection, or is terminating confinement in disciplinary segregation and placement in the general prison population is not prudent. 28 C.F.R. 541.20(a). /12/ For instance, there is evidence that members of the Aryan Brotherhood, to which respondent Mills sought admission (Mills Tr. 562-563), have sworn to perjure themselves on behalf of fellow members who may be prosecuted. See United States v. Abel, 707 F.2d 1013, 1016 (9th Cir. 1983). /13/ The initiation of adversary judicial proceedings may occur at the time of formal charge, preliminary hearing, indictment, information, or arraignment. See Estelle v. Smith, supra, 451 U.S. at 469-470; Moore v. Illinois, supra, 434 U.S. at 226-229; Kirby v. Illinois, supra, 406 U.S. at 689. /14/ The court of appeals acknowledged (App. A, infra, 10a) that there is no right to counsel in connection with prison disciplinary proceedings. See Baxter v. Palmigiano, 425 U.S. 308 (1976); Wolff v. McDonnell, 418 U.S. 539, 569-570 (1974). /15/ The court of appeals acknowledged (App. A, infra, 14a) that, under its own case law and that of other circuits, segregation of an inmate from the general prison population does not constitute an "arrest" or "accusation" for speedy trial purposes. See United States v. Clardy, 540 F.2d 439, 441 (9th Cir.), cert. denied, 429 U.S. 963 (1976); United States v. Blevins, 593 F.2d 646 (5th Cir. 1979); United States v. Duke, 527 F.2d 386, 389-390 (5th Cir.), cert. denied, 426 U.S. 952 (1976). See also United States v. Mills, 704 F.2d 1553, 1556-1557 (11th Cir. 1983). It is thus especially ironic that it should attempt to justify its decision by reference to speedy trial criteria heretofore deemed irrelevant to the less elastic right to counsel. /16/ Disciplinary segregation (as opposed to administrative detention, see note 10, supra) may be imposed as punishment following a prison disciplinary hearing. Such segregation does not constitute an "accusation" or initiation of a criminal prosecution to which Sixth Amendment rights attach any more than does administrative detention. In any event, as noted above (note 10), it does not appear that respondents were held in disciplinary segregation at any time; rather, they were in administrative detention. We note that in developing its theory of when separation from the general prison population would become "accusatory," the court of appeals appears to have misread Bureau of Prisons regulations. The court concluded (App. A, infra, 17a) that the maximum period of segregation for disciplinary reasons would be 90 days. However, under 28 C.F.R. 541.11 the maximum period of disciplinary segregation following a disciplinary hearing is 60 days (assuming only one offense is involved), while under 28 C.F.R. 541.20(a) an inmate may be held in post-disciplinary detention for up to 90 days. Thus, contrary to the court of appeals' calculation, an inmate could spend a total of 150 days away from the general prison population after disciplinary segregation had been imposed (or perhaps more if more than one offense is involved). No such specific time limits are imposed in connection with administrative detention, although prison staff conduct periodic reviews to determine whether continued detention is appropriate. 28 C.F.R. 541.20. /17/ Cf. Avery v. Alabama, 308 U.S. 444, 446 (1940) (noting that the Constitution "nowhere specifies any period which must intervene between the required appointment of counsel and trial"); United States v. Ash, 413 U.S. 300 (1973) (right to counsel applies to trial-like confrontations, not to prosecutor's investigations or interviews with witnesses). /18/ As the dissenters noted (App. A, infra, 26a), obstacles similar to those respondents faced may confront an individual who is convicted and imprisoned for one crime while investigation for other offenses is underway or an individual whose probation or parole is revoked for renewed criminal activity. Moreover, (e)ven free suspects often lack the investigatory advantages the majority attributes to them. Many law enforcement investigations are confidential and continue for months or years. Like (respondents), the targets in such cases have limited knowledge or none about the investigations. Ibid. /19/ More recently, in United States v. Valenzuela-Bernal, No. 81-450 (July 2, 1982), the Court required some showing of prejudice even in a case in which (unlike this case) the government had acted to remove from the reach of process individuals it knew to be percipient witnesses. The Court held that, under either the Compulsory Process Clause of the Sixth Amendment or the Due Process Clause of the Fifth Amendment, a defendant cannot establish that the government's deportation of witnesses has resulted in deprivation of a fair trial "unless there is some explanation of how their testimony would have been favorable and material" (slip op. 14). The Court stressed in Valenzuela-Bernal that determinations of the materiality of a missing witness's testimony often would be best made in light of all the evidence adduced at trial (id. at 15). See also United States v. MacDonald, 435 U.S. 850, 858-859 (1978) (noting that a claim of prejudice from violation of the right to a speedy trial is "best considered only after the relevant facts have been developed at trial"). /20/ The record in this case indicates (Mills C.R. No. 59, Mills Declaration at 28) that respondent Mills refused the offer of assistance of a staff representative; it is unclear whether the other respondents took advantage of such assistance. /21/ Other factors also might indicate that a defendant has not been deprived of a fair trial as a result of the failure to appoint counsel during administrative detention. The most obvious would be acquittal; here, the Gouveia respondents' co-defendant Flores was acquitted, although he had been in administrative detention or at another institution during most of the preindictment period and made claims of prejudice similar to those made by respondents (see pages 2-3, 5, supra; C.R. No. 33 at 15, 16, 18-19). /22/ Respondents Ramirez and Segura were not placed in administrative detention until December 4, 1978 -- three weeks after the murder of Trejo; respondents Gouveia and Reynoso were released from detention and returned to the general prison population in the period between November 22 and December 4, 1978. See pages 2-3, supra. The record contains no evidence that the respondents took advantage of these periods to conduct investigations. /23/ In addition, as the dissenters poointed out below (App. A, infra, 28a-29a), there are remedies short of dismissal of the indictment (including cross-examination, argument to the jury, and instructions concerning missing evidence) that can mitigate prejudice in cases like this one. /24/ The court of appeals spoke in terms of prison officials appointing counsel for indigent inmates (App. A, infra, 17a). In fact, however, the Bureau of Prisons itself has neither statutory authority nor a source of funding with which to appoint counsel. However, if the court of appeals' recognition of a Sixth Amendment right to counsel in this context is correct, it appears that district courts could appoint counsel pursuant to the Criminal Justice Act of 1964, 18 U.S.C. 3006A(a), on the motion of an inmate or the Bureau of Prisons. Here respondents did not apply to a district court for appointment of counsel. /25/ Transfer of an inmate to another institution presumably would interfere with his ability to investigate and prepare a defense even more than would a continuation of administrative detention. Indeed, even if counsel were appointed, it is unclear whether the court of appeals' decision would permit a transfer (e.g., from California to the Marion Penitentiary in Illinois), since the result could be either that the inmate and his counsel would be too far apart to confer conveniently (if counsel were located in California), or that both would be located a considerable distance from the scene of the crime (if counsel were located in Illinois). Appendix Omitted