499 F.2d 514
162 U.S.App.D.C. 378
Philip BERRIGAN et al., Appellants,
v.
Maurice SIGLER, Chairman of the board of parole and all
members of the said board of parole (all of whom
have their offices at room 354 HOLC
(Building) et al.
No. 73-1563.
United States Court of Appeals, District of Columbia Circuit.
Argued Feb. 21, 1974.
Decided May 1, 1974.
Morton Stavis, New York, City, with whom Alvin J. Bronstein, Washington, D.C., was on the brief, for appellants.
N. Richard Janis, Asst. U.S. Atty., with whom Harold H. Titus, Jr., U.S. Atty., at the time the brief was filed, John A. Terry and Gil Zimmerman, Asst. U.S. Attys., were on the brief, for appellees. Earl J. Silbert, U.S. Atty., also entered an appearance for appellees.
Before BAZELON, Chief Judge, McGOWAN, Circuit Judge, and CHRISTENSEN, United States District Judge for the District of Utah.
CHRISTENSEN, Senior District Judge.
Despite a preliminary exploration of the problem to the contrary, it has now been determined that a constitutional balance was struck by the Board of Parole between its duties of supervision and the right of parolees to travel in denying leave for appellants to make a trip to North Vietnam under the circumstances, and we therefore affirm the summary judgment of the district court to this effect.
Fathers Philip and Daniel Berrigan were convicted of felonies by reason of the illegal activation of their opposition to the Vietnam war. After serving a substantial part of the sentences imposed, they were granted parole upon the usual condition contained in certificates of parole that they would 'go directly to the district shown on this Certificate of Parole . . . (and) . . . shall not leave the limits fixed by the Certificate of parole without written permission from the probation officer.'
Having been granted permission on other occasions to leave their districts for speech making and other purposes, on January 8, 1973, appellants unsuccessfully sought leave from the Board to travel to Hanoi 'to visit with religious leaders and others'. They filed their complaint with the district court on January 12, seeking judicial review of the administrative action of the Board, a declaratory judgment 'that the members of the Board (had) interfered with plaintiffs' constitutional rights in denying such permission', to enjoin the defendants 'from interfering with any future travel plans of the plaintiffs wherein they (may seek) to exercise their First Amendment rights', and 'a mandatory order to require that the defendants in their capacity as members of the Board of Parole permit the plaintiffs to make the trip to Hanoi, and any other travel of a similar nature'.
At the time of filing their complaint appellants moved for a temporary restraining order requiring the Board to approve appellants' request, which was denied by the district court. On January 17, following oral arguments the preceding day, this court, one member of the panel dissenting, summarily vacated the order denying appellants temporary relief, ordered 'that appellee Parole Board members be, and they are hereby, temporarily restrained from withholding their approval of appellants' proposed trip to North Vietnam', and remanded the case to the district court 'for further proceedings not inconsistent with this order.' Thereupon the solicitor General presented to the Chief Justice an application for a stay of the order of this court until a hearing before the district court on plaintiff's motion for a preliminary injunction could be had. The Chief Justice granted such stay pending reference of the matter to the full court. On January 22, 1973, the Supreme Court, with one justice dissenting, ruled that the 'application for stay, presented to The Chief Justice, and by him referred to the Court, is granted'. Following another hearing, a remand to the Board, and a further hearing in view of the Board's supplemental report, the district court on May 3, 1973, granted the appellees' motion for summary judgment on the merits and accordingly denied appellants' motion for preliminary injunction as moot.
We need concern ourselves no further with the procedures below which brought into the record an amplification of the Board's reasons for denial of the requested leave and culminated in the decision on the merits by summary judgment; they are amply outlined in Judge Gasch's Memorandum Order, 358 F.Supp. at 131-133, and were considerate and sufficient to warrant final disposition there subject to this appeal.
* The effect of one phase of the preliminary proceedings, however, must be determined, since the first point appellants seek to make is that this court's prior opinion concerning the invalidity of the initial restraining order, 475 F.2d 918, established the law of the case on the merits and now dictates reversal of the subsequent judgment of the district court. It is argued that the record in view of which the district court acted on the application for a preliminary injunction was substantially the same as that which was before this court when it considered the restraining order, and that since 'the sole ground upon which a stay was applied for in the Supreme Court was to permit development of a full record', the district court was bound to dispositively follow the prior decision of this court. Even assuming, without accepting, the validity of the premises, we cannot agree with this conclusion.
The decision of a trial or appellate court whether to grant or deny a preliminary injunction does not constitute the law of the case for the purposes of further proceedings and does not limit or preclude the parties from litigating the merits, unless there has been an order of consolidation pursuant to Rule 65(a)(2), not the case here. Much less would rulings concerning temporary restraining orders have the binding effect claimed by appellants. This is not to say that the views expressed by a court at a given time, although not controlling, cannot be persuasive for their reason and authority to the extent applicable in any new context, or that a case may not be rendered moot as a consequence of preliminary rulings under special circumstances. But such rulings did not moot this case and did not preclude the district court, nor should they dissuade us, from taking a fresh look.
Appellants advance the following basic contentions additionally in support of their appeal:
II.
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499 F.2d 514
162 U.S.App.D.C. 378
Philip BERRIGAN et al., Appellants,
v.
Maurice SIGLER, Chairman of the board of parole and all
members of the said board of parole (all of whom
have their offices at room 354 HOLC
(Building) et al.
No. 73-1563.
United States Court of Appeals, District of Columbia Circuit.
Argued Feb. 21, 1974.
Decided May 1, 1974.
Morton Stavis, New York, City, with whom Alvin J. Bronstein, Washington, D.C., was on the brief, for appellants.
N. Richard Janis, Asst. U.S. Atty., with whom Harold H. Titus, Jr., U.S. Atty., at the time the brief was filed, John A. Terry and Gil Zimmerman, Asst. U.S. Attys., were on the brief, for appellees. Earl J. Silbert, U.S. Atty., also entered an appearance for appellees.
Before BAZELON, Chief Judge, McGOWAN, Circuit Judge, and CHRISTENSEN, United States District Judge for the District of Utah.
CHRISTENSEN, Senior District Judge.
Despite a preliminary exploration of the problem to the contrary, it has now been determined that a constitutional balance was struck by the Board of Parole between its duties of supervision and the right of parolees to travel in denying leave for appellants to make a trip to North Vietnam under the circumstances, and we therefore affirm the summary judgment of the district court to this effect.
Fathers Philip and Daniel Berrigan were convicted of felonies by reason of the illegal activation of their opposition to the Vietnam war. After serving a substantial part of the sentences imposed, they were granted parole upon the usual condition contained in certificates of parole that they would 'go directly to the district shown on this Certificate of Parole . . . (and) . . . shall not leave the limits fixed by the Certificate of parole without written permission from the probation officer.'
Having been granted permission on other occasions to leave their districts for speech making and other purposes, on January 8, 1973, appellants unsuccessfully sought leave from the Board to travel to Hanoi 'to visit with religious leaders and others'. They filed their complaint with the district court on January 12, seeking judicial review of the administrative action of the Board, a declaratory judgment 'that the members of the Board (had) interfered with plaintiffs' constitutional rights in denying such permission', to enjoin the defendants 'from interfering with any future travel plans of the plaintiffs wherein they (may seek) to exercise their First Amendment rights', and 'a mandatory order to require that the defendants in their capacity as members of the Board of Parole permit the plaintiffs to make the trip to Hanoi, and any other travel of a similar nature'.
At the time of filing their complaint appellants moved for a temporary restraining order requiring the Board to approve appellants' request, which was denied by the district court. On January 17, following oral arguments the preceding day, this court, one member of the panel dissenting, summarily vacated the order denying appellants temporary relief, ordered 'that appellee Parole Board members be, and they are hereby, temporarily restrained from withholding their approval of appellants' proposed trip to North Vietnam', and remanded the case to the district court 'for further proceedings not inconsistent with this order.' Thereupon the solicitor General presented to the Chief Justice an application for a stay of the order of this court until a hearing before the district court on plaintiff's motion for a preliminary injunction could be had. The Chief Justice granted such stay pending reference of the matter to the full court. On January 22, 1973, the Supreme Court, with one justice dissenting, ruled that the 'application for stay, presented to The Chief Justice, and by him referred to the Court, is granted'. Following another hearing, a remand to the Board, and a further hearing in view of the Board's supplemental report, the district court on May 3, 1973, granted the appellees' motion for summary judgment on the merits and accordingly denied appellants' motion for preliminary injunction as moot.
We need concern ourselves no further with the procedures below which brought into the record an amplification of the Board's reasons for denial of the requested leave and culminated in the decision on the merits by summary judgment; they are amply outlined in Judge Gasch's Memorandum Order, 358 F.Supp. at 131-133, and were considerate and sufficient to warrant final disposition there subject to this appeal.
* The effect of one phase of the preliminary proceedings, however, must be determined, since the first point appellants seek to make is that this court's prior opinion concerning the invalidity of the initial restraining order, 475 F.2d 918, established the law of the case on the merits and now dictates reversal of the subsequent judgment of the district court. It is argued that the record in view of which the district court acted on the application for a preliminary injunction was substantially the same as that which was before this court when it considered the restraining order, and that since 'the sole ground upon which a stay was applied for in the Supreme Court was to permit development of a full record', the district court was bound to dispositively follow the prior decision of this court. Even assuming, without accepting, the validity of the premises, we cannot agree with this conclusion.
The decision of a trial or appellate court whether to grant or deny a preliminary injunction does not constitute the law of the case for the purposes of further proceedings and does not limit or preclude the parties from litigating the merits, unless there has been an order of consolidation pursuant to Rule 65(a)(2), not the case here. Much less would rulings concerning temporary restraining orders have the binding effect claimed by appellants. This is not to say that the views expressed by a court at a given time, although not controlling, cannot be persuasive for their reason and authority to the extent applicable in any new context, or that a case may not be rendered moot as a consequence of preliminary rulings under special circumstances. But such rulings did not moot this case and did not preclude the district court, nor should they dissuade us, from taking a fresh look.
Appellants advance the following basic contentions additionally in support of their appeal:
II. The action of the appellees abridged appellants' constitutional rights under the First and Fifth Amendments; the only basis upon which such abridgment could be justified is a 'compelling governmental interest', tested by 'stringent standards' and subjected to 'rigid scrutiny', which cannot be found here.
III. The claim that prohibition of travel to Hanoi was justified by the needs of parole supervision is 'transparently unrealistic'.
IV. The Board acted wholly beyond its power in applying foreign policy considerations in its determination.
II
The right to travel is a part of the 'liberty' of which a person cannot be deprived without due process of law. It does not follow, as contended by appellants, that to the extent that a restriction of travel in a particular circumstance may inhibit a person's speaking or associating with others, it necessarily involves an impairment of First Amendment rights. Zemel v. Rusk, 381 U.S. 1, 85 S.Ct. 1271, 14 L.Ed.2d 179 (1965), supra, clearly stands against such a proposition. It is fallacious to argue that restriction of travel necessarily interferes with the traveler's prospective right of free speech at the point of destination in violation of the Constitution irrespective of the validity of the travel restriction. Association, as well as speech, always is to be expected and, indeed, may be inevitable at the destination of any travel, but this does not render invalid legitimate restrictions upon travel for any such reason.
While we must remain sensitive to the overriding importance of First Amendment rights in the evaluation of restrictions that may be even tangentially related, the enforcement of legitimate regulations must not be diluted or rendered impractical because as an incident to their application speaking, association or writing may be affected. Under the guise of exercising the First Amendment right of free speech, a person may not reposition himself where he otherwise would have no authority to be. Nor can one in reliance upon freedom of the press, by virtue of that reliance alone, legally seize without consideration or lawful warrant the plant of a newspaper belonging to another; it would be one thing to expect to use the columns of the paper to voice views and opinions under appropriate conditions, quite another to move without authority into another's plant for the purpose. On the other hand, it has been held repeatedly that the right to travel is an aspect of the 'liberty' guaranteed by the Due Process Clause of the Fifth Amendment. We conclude that restrictions against the Fifth Amendment right to liberty in travel are involved here, and that such restrictions must be tested by the essentials of due process.
III
As an essential part of any consideration of the travel restrictions as such, the appellants' parole status under the governing statute and regulations is inescapably significant.
Parole has its genesis and justification, and carries content, meaning and objectives from due process convictions and sentences for crimes which justifiably deprived the parolee for a time of any power of travel whatsoever, and which, were it not for acceptable conduct have continued to totally deprive the parolee of all power of travel for the remaining period of his sentence. Unless an inflation of 'travel rights' is to engulf the federal correctional system, these realities must not be lost to view. Their importance is pervasive, for the viability not only of parole, but of other enlightened aspects of the system depend upon a reasonable administration of restrictions against travel by convicts whose terms have not expired. The Chairman of the Board of Parole in a supplemental affidavit filed in the District Court following our preliminary consideration of this case explained the Board policy and practice with reference to foreign travel, in which I can find nothing facially unreasonable.
The Supreme Court recently observed: 'To accomplish the purpose of parole, those who are allowed to leave prison early are subjected to specified conditions for the duration of their terms. These conditions restrict their activities substantially beyond the ordinary restrictions imposed by law on an individual citizen.' As this court has stated, parolees 'are neither totally free men who are being proceeded against by the Government for commission of a crime, nor are they prisoners being disciplined within the walls of a federal penitentiary. They stand somewhere between these two.' This is not to say that parolees lose their constitutional rights, nor do prisoners in custody. But those rights of necessity are conditioned by the situation in which their convictions placed them. It would be unrealistic to consider their rights wholly separate and apart from their status as parolees, or to disassociate their status either from the public interest which dictated both their confinement and parole at suitable times, or from reasonable conditions upon which they are released. And there is also a legitimate governmental interest in continuing means for information concerning a parolee's deportment and any necessity for closer supervision, or to preserve the therapeutic effect of more general supervision even absent day by day direction.
In the original affidavit submitted on behalf of the Board, one of the two reasons of its decision was stated as follows:
'Total lack of any means of control to effectuate the Board's supervisory responsibilities looking to the rehabilitation of the parolees, where they would be visiting in an area where the United States has no diplomatic representative of its own or, in lieu thereof, any foreign power to represent it or its interests.'
The panel of the court considering the district court's denial of the restraining order concluded per curiam that this stated reason was insufficient because 'the proposed visit to North Vietnam will be of short duration, and it is clear that it will not interfere with the rehabilitation of appellants, especially since the Board has made no active effort to rehabilitate appellants since the date of their release.' In a separate statement by Chief Judge Bazelon, concurred in by Judge Wright, this position of the Board was branded as 'so transparently unrealistic as to cast doubt on its entire presentation in this proceeding.' Judge MacKinnon, dissenting as to the adjudged insufficiency of the second reason, yet deeming the first not enough to justify the Board's action, stated: 'The length of time appellants would be outside the Board's supervision is not sufficient to justify refusal of their request on this ground.' There therefore exists this respected difference of opinion with the writer's view that even though the first reason were to be considered alone there would be a legitimate governmental interest, and a sufficient relationship of the prohibited conduct to the objectives of parole, as to justify the refusal of the requested permission under the circumstances, and that such refusal was neither arbitrary, capricious nor unreasonable.
IV
But aside from any question concerning the first reason assigned by the Board for refusal of the permission to travel, the Board's second reason either independently or supplementally was sufficient to justify the refusal of permission. Such refusal was in adherence to the stated policy that 'the Board will not approve foreign travel to an area as to which the Secretary of State, acting within his foreign relation responsibilities, has determined that such travel is not in the national interest of the United States.
Appellants argue that such policy and action are outside the competence of the Board and disregard the decision of this court in Lynd v. Rusk, 128 U.S.App.D.C. 399, 389 F.2d 940 (1967). We do not agree. Both this court in Lynd and the Supreme Court in United States v. Laub, 385 U.S. 475, 87 S.Ct. 574, 17 L.Ed.2d 526 (1967), recognized the validity of area restrictions established by the Secretary of State, and the limitations expressed in both cases on the effects of these restrictions are inapplicable here. We are not concerned with the denial of a passport nor with criminal penalties allegedly arising from civil regulations; but rather with the focused problem of whether the Board of Parole has authority to restrain a parolee pursuant to a general policy from traveling to restricted areas of the world when such travel is deemed by the Secretary of State to be contrary to the national interest. This power is not negated by 'the general principle that authority committed to one agency should not be exercised by another'. The authority to determine the advisability and extent of travel by parolees has been committed to the Parole Board. In making that determination public policy and public interests are not irrelevant. 18 U.S.C 4203, supra.
When the case was last before this court there had been merely an informal advice that the Department of State was of the view that insofar as it could perceive there was no basis for its determining that appellants' proposed travel to North Vietnam would be in the national interest of the United States within the meaning of 22 C.F.R. 51.73. The record now establishes positively that the Secretary of State, at the time of the final action of the Board and before the summary judgment appealed from was entered by the District Court, did not consider travel to Hanoi by the Berrigans to be in the interest of the United States. The Parole Board, having exercised its statutory discretion to establish as a general rule that parolees would not be allowed to travel to certain foreign countries, and having permitted an exception when the objective, reasonable tests of 22 C.F.R. 51.73 are met, should not be foreclosed from deferring the application of that regulatory measurement to the agency which created and best understands it. Thus any deficiency in the record heretofore before this court has been corrected and increased support furnished for the view that the Board's position should be upheld.
While as argued by appellants 'the Board has not been given the power to enforce the foreign policy of the United States', it is invested with the power and responsibility of reasonably supervising the conduct of parolees. In exercising that power it had the right to consider all relevant factors, including the legality of the travel requested as well as established public policy.
In view of the discretion of the Board, uncontroverted facts demonstrate that appellees were entitled to summary judgment as a matter of law and the court below did not err in so holding.
Affirmed.
BAZELON, Chief Judge, dissenting:
When this case was before us on a motion for a temporary restraining order we were at pains to point out that 'the authority-- if any-- of the Department of State to grant or deny its permission (for appellants' trip) is not at issue.' What is at issue is the authority of the Parole Board to impose restrictions on the constitutional right to travel. Whatever may be the scope of that authority in the ordinary case, where, as here, the Board seeks to interfere with activities involving the expression of political and social views, it must show a compelling need for the particular restriction it seeks to invoke. No such need was shown in the prior proceeding and none has been shown here. Accordingly, I would reverse the decision of the District Court and enjoin the Parole Board from withholding its approval of appellants' travel.