OPINION
Before BOOCHEVER, C. J., and RABI-NO WITZ, CONNOR, BURKE and MATTHEWS, JJ.
RABINO WITZ, Justice.
The issues in this appeal, as characterized by appellant, are whether the sentencing court has authority to enforce specific sentencing recommendations and whether the Division of Corrections is required to follow specific sentencing recommendations of the trial court absent a demonstrated contravening compelling need.
The procedural and factual contexts leading to this appeal follow. Appellant William Rust was indicted for the crimes of murder in the first degree and armed robbery. Thereafter, Rust entered pleas of guilty to the lesser included offense of manslaughter and to the crime of armed robbery. Codefendant Steve Bendle was convicted of first degree murder. Bendle had shot a man in Rust’s presence, and Rust testified for the prosecution at Bendle’s trial. The superior court imposed concurrent 15 year sentences. As part of its formal judgment, the superior court made the following findings:
[T]he defendant is in need of reading therapy for his dyslexic condition; . he is in need of vocational training; and . he would benefit greatly from being confined in the greater Anchorage area so that he may be near his family in Eagle River, all of which the court concludes will benefit his rehabilitation and the protection of society greatly.
On the basis of the foregoing, the superior court recommended in its judgment that:
1. The [Division] of Corrections provide William Rust with adequate and thorough treatment for his dyslexic reading problem.
2. The [Division] of Corrections provide William Rust with meaningful vocational training so that he may have a productive skill when he is released.
3. The [Division] of Corrections place William Rust in a facility in the greater Anchorage area so that his family may be near him during his period of confinement.
Further, the superior court’s judgment provided, in part:
The [superior court] shall keep continuing jurisdiction of this matter in order to determine whether the foregoing recommended special conditions are accomplished. Defendant may properly and for good cause bring to this court’s attention the failure to provide the special conditions of sentencing herein enumerated for the purpose of seeking redress thereof.
Within approximately one month of the superior court’s entry of judgment, Rust moved for modification of his sentence.
The ground advanced in support of the motion was that on March 31, 1976, he was classified to be sent to the Southeastern Regional Correctional Institution in Juneau. Rust further asserted, “This action has no valid basis and is contrary to [the superior court’s] order and the best interests of both society and William Rust.”
This motion was followed by two additional motions in which Rust sought relief by way of an immediate order prohibiting his transfer to the correctional facility in Juneau, as well as an order directing the Division of Corrections to transfer him to the Anchorage area, or, in the alternative, to modify his sentence to accomplish this end.
After conducting an evidentiary hearing, the superior court entered an order in which it denied Rust’s motion to modify his sentence. The superior court also ruled:
The defendant’s motion requesting an order directing the Division of Corrections to transfer the defendant to the Anchorage area is denied on the grounds that this court does not have the legal authority as a sentencing court to issue such an order.
This appeal followed.
In response to Rust’s arguments before this court, the state has contended, in part, that because the judicial power to sentence depends upon a specific grant of power from the legislature, the sentencing court may not order particular rehabilitative treatment or institutional placement without legislative authorization. The state notes that the legislature has given the Commissioner of Health and Social Services responsibility for administering correctional programs and prisoner placement; thus, the state argues no legitimate basis exists for the courts to intrude on discretionary treatment and placement decisions made by the executive branch.
Since the courts have no power to control these matters, contends the state, the nature of the alleged right of the prisoner which has been infringed is irrelevant.
Initially, we note that Alaska’s statutory provisions grant power to the courts
to sentence and to review sentences.
In previous decisions of this court, we have implied that the sentencing power has its source in the legislature
and have expressly recognized the statutory origins of certain powers affecting sentencing.
Secondly, Alaska’s statutory provisions leave little doubt that the legislature intended to place authority for administering matters affecting prisoners with the Commissioner of Health and Social Services. In this regard, AS 33.30.100 provides, in part, that “The commissioner shall designate the facility where the sentence shall be served.” Similarly, AS 33.30.140(a) provides: “A person convicted of an offense against the state and sentenced to a term of imprisonment of more than one year may be confined in a penitentiary or reformatory or other prison facility designated by the commissioner.” AS 33.30.120 establishes that “The commissioner may order a prisoner transferred from one facility to another.”
In
McGinnis v. Stevens,
543 P.2d 1221, 1237 (Alaska 1975), we said:
[Decisions of prison authorities relating to classification of prisoners are completely administrative matters regarding which an inmate has no due process rights beyond the expectation of fair and impartial allocation of the resources of the prison system to its charges. As an extension of the state, the Division of Corrections must administer Alaska’s prisons in a manner which is neither arbitrary nor vindictive. However, resource allocation is an executive concern involving many day to day decisions which necessitate that court interference be kept to a minimum, (footnote omitted)
Further, in
Richards v. State,
451 P.2d 359, 361 (Alaska 1969), we observed that the authority to designate a specific prison facility is “plainly vested” in the Commissioner of Health and Social Services:
The fact that a particular jail facility was not designated by the sentencing court is in accord with statute. AS 33.30.100 provides that “The commissioner [of the Department of Health and Welfare] shall designate the facility where the sentence shall be served.”
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OPINION
Before BOOCHEVER, C. J., and RABI-NO WITZ, CONNOR, BURKE and MATTHEWS, JJ.
RABINO WITZ, Justice.
The issues in this appeal, as characterized by appellant, are whether the sentencing court has authority to enforce specific sentencing recommendations and whether the Division of Corrections is required to follow specific sentencing recommendations of the trial court absent a demonstrated contravening compelling need.
The procedural and factual contexts leading to this appeal follow. Appellant William Rust was indicted for the crimes of murder in the first degree and armed robbery. Thereafter, Rust entered pleas of guilty to the lesser included offense of manslaughter and to the crime of armed robbery. Codefendant Steve Bendle was convicted of first degree murder. Bendle had shot a man in Rust’s presence, and Rust testified for the prosecution at Bendle’s trial. The superior court imposed concurrent 15 year sentences. As part of its formal judgment, the superior court made the following findings:
[T]he defendant is in need of reading therapy for his dyslexic condition; . he is in need of vocational training; and . he would benefit greatly from being confined in the greater Anchorage area so that he may be near his family in Eagle River, all of which the court concludes will benefit his rehabilitation and the protection of society greatly.
On the basis of the foregoing, the superior court recommended in its judgment that:
1. The [Division] of Corrections provide William Rust with adequate and thorough treatment for his dyslexic reading problem.
2. The [Division] of Corrections provide William Rust with meaningful vocational training so that he may have a productive skill when he is released.
3. The [Division] of Corrections place William Rust in a facility in the greater Anchorage area so that his family may be near him during his period of confinement.
Further, the superior court’s judgment provided, in part:
The [superior court] shall keep continuing jurisdiction of this matter in order to determine whether the foregoing recommended special conditions are accomplished. Defendant may properly and for good cause bring to this court’s attention the failure to provide the special conditions of sentencing herein enumerated for the purpose of seeking redress thereof.
Within approximately one month of the superior court’s entry of judgment, Rust moved for modification of his sentence.
The ground advanced in support of the motion was that on March 31, 1976, he was classified to be sent to the Southeastern Regional Correctional Institution in Juneau. Rust further asserted, “This action has no valid basis and is contrary to [the superior court’s] order and the best interests of both society and William Rust.”
This motion was followed by two additional motions in which Rust sought relief by way of an immediate order prohibiting his transfer to the correctional facility in Juneau, as well as an order directing the Division of Corrections to transfer him to the Anchorage area, or, in the alternative, to modify his sentence to accomplish this end.
After conducting an evidentiary hearing, the superior court entered an order in which it denied Rust’s motion to modify his sentence. The superior court also ruled:
The defendant’s motion requesting an order directing the Division of Corrections to transfer the defendant to the Anchorage area is denied on the grounds that this court does not have the legal authority as a sentencing court to issue such an order.
This appeal followed.
In response to Rust’s arguments before this court, the state has contended, in part, that because the judicial power to sentence depends upon a specific grant of power from the legislature, the sentencing court may not order particular rehabilitative treatment or institutional placement without legislative authorization. The state notes that the legislature has given the Commissioner of Health and Social Services responsibility for administering correctional programs and prisoner placement; thus, the state argues no legitimate basis exists for the courts to intrude on discretionary treatment and placement decisions made by the executive branch.
Since the courts have no power to control these matters, contends the state, the nature of the alleged right of the prisoner which has been infringed is irrelevant.
Initially, we note that Alaska’s statutory provisions grant power to the courts
to sentence and to review sentences.
In previous decisions of this court, we have implied that the sentencing power has its source in the legislature
and have expressly recognized the statutory origins of certain powers affecting sentencing.
Secondly, Alaska’s statutory provisions leave little doubt that the legislature intended to place authority for administering matters affecting prisoners with the Commissioner of Health and Social Services. In this regard, AS 33.30.100 provides, in part, that “The commissioner shall designate the facility where the sentence shall be served.” Similarly, AS 33.30.140(a) provides: “A person convicted of an offense against the state and sentenced to a term of imprisonment of more than one year may be confined in a penitentiary or reformatory or other prison facility designated by the commissioner.” AS 33.30.120 establishes that “The commissioner may order a prisoner transferred from one facility to another.”
In
McGinnis v. Stevens,
543 P.2d 1221, 1237 (Alaska 1975), we said:
[Decisions of prison authorities relating to classification of prisoners are completely administrative matters regarding which an inmate has no due process rights beyond the expectation of fair and impartial allocation of the resources of the prison system to its charges. As an extension of the state, the Division of Corrections must administer Alaska’s prisons in a manner which is neither arbitrary nor vindictive. However, resource allocation is an executive concern involving many day to day decisions which necessitate that court interference be kept to a minimum, (footnote omitted)
Further, in
Richards v. State,
451 P.2d 359, 361 (Alaska 1969), we observed that the authority to designate a specific prison facility is “plainly vested” in the Commissioner of Health and Social Services:
The fact that a particular jail facility was not designated by the sentencing court is in accord with statute. AS 33.30.100 provides that “The commissioner [of the Department of Health and Welfare] shall designate the facility where the sentence shall be served.”
Thus, we think it clear that the matter of a prisoner’s classification, which encompasses designation of the prison facility to which the prisoner is to be confined, is committed to the administrative discretion of the Division of Corrections, and not to the sentencing courts of Alaska.
We thus hold that
the sentencing court does not have the authority to designate a particular prison facility in which a prisoner is to be confined.
Although the sentencing court can recommend that the defendant be incarcerated in a particular facility under Alaska’s statutes, the ultimate responsibility for the classification and thus placement of prisoners in its charge has been vested in the Division of Corrections.
Our holding that a sentencing court lacks authority to order the Division of Corrections to incarcerate a prisoner in a designated facility does not completely dispose of this appeal. Although the primary focus of Rust’s post-judgment motions were directed at the issue of facility placement, Rust also argued that he was entitled, under Alaska’s constitution, to receive treatment for his dyslexic condition.
Pertinent here is a portion of our opinion in
McGinnis v. Stevens,
543 P.2d 1221, 1236 n.45 (Alaska 1975):
If fundamental constitutional rights are alleged to be abridged in disciplinary proceedings, it would be the duty of the court to inquire into the allegations.
Thus, the nature of the right asserted by Rust is of potential significance in determining whether intervention by the judiciary in the implementation of the treatment portions of the superior court’s sentence is permissible. Constitutional rights to treatment have been established for both mental patients committed through civil proceedings and children committed by juvenile proceedings. In
Rouse v. Cameron,
125 U.S.App.D.C. 366, 373 F.2d 451 (1966), the Court of Appeals for the District of Columbia first recognized a possible right to treat
ment based upon the due process clause, the equal protection clause or the eighth amendment (cruel and unusual punishment). Although the
Rouse
decision was based upon the statutory right to treatment granted by the D.C.Code to patients involuntarily committed to D.C. mental hospitals, Judge Bazelon noted that confinement in a public mental hospital without treatment might also be unconstitutional. The D.C. Circuit reaffirmed the right to treatment in several cases which followed Rouse;
other jurisdictions soon recognized a constitutional right to treatment.
The case illustrating most clearly the present status of the constitutional right to treatment of civilly committed mental patients is
Donaldson v. O’Connor,
493 F.2d 507 (5th Cir. 1974),
vacated
422 U.S. 563, 95 S.Ct. 2486, 45 L.Ed.2d 396 (1975). A unanimous Fifth Circuit held that the right to treatment for patients involuntarily committed to state mental hospitals through civil proceedings is guaranteed by the fourteenth amendment.
If the state justifies such a “massive curtailment of liberty” under its
parens patriae
authority—rather than its police power
—treatment must be provided “lest the involuntary commitment amount to an arbitrary exercise of government power proscribed by the due process clause.”
However, the distinction between
parens patriae
and police power rationales need not be determinative; treatment must be provided as the
quid pro quo
for confinement in the absence of any one of the three central limitations on the government’s power to detain. Those limitations require “that detention be in retribution for a specific offense; that it be limited to a fixed term; and that it be permitted after a proceeding where fundamental procedural safeguards are observed.
The
parens patriae
principle is the core of the established view that juvenile proceed
ings are different from criminal trials. Accordingly, a
parens patriae rationale
has been used to justify restrictions on due process safeguards—although protections have been increasingly extended in recent years.
Where juveniles are confined without the due process rights afforded adults, they have a right to treatment. A
quid pro quo
rationale similar to that in the Fifth Circuit’s
Donaldson
opinion has developed: the possibility of long-term confinement without complete procedural due process can be justified only if the government’s goal is rehabilitation, and confinement in the absence of treatment is not sufficiently related to that goal. The due process right to treatment of juveniles appears well-established among both courts
and commentators.
In the cases finding rights to treatment for juveniles and mental patients, reliance upon a
parens patriae
rationale for commitment is crucial. Both sets of cases view treatment as the
quid pro quo
which must be present in order to justify confinement under limited due process safeguards. Even those decisions articulating a right to treatment imply that the transition from
parens patriae
to police power will reduce the government’s constitutional responsibility to provide treatment since the
quid pro quo
theory is then no longer compelling. In the case at bar, Rust was sentenced under the police power, for a limited period and with full due process safeguards. Thus, the right to treatment of confined juveniles and mental patients does not furnish a complete analogy.
Concerning adult criminal inmates, the common law has recognized that “[i]t is but just that the public be required to care for the prisoner, who cannot, by reason of the deprivation of his liberty, care for himself.”
Federal courts have ordered penal
institutions to provide adequate food, clothing and shelter for their prisoners.
In
Newman v. State of Alabama,
503 F.2d 1320 (5th Cir. 1974),
cert. denied,
421 U.S. 948, 95 S.Ct. 1680, 44 L.Ed.2d 102 (1975), the Fifth Circuit found eighth amendment violations in the Alabama Penal System’s inadequate medical care facilities and lack of staff. The court concluded that constitutional violations of either the eighth amendment’s prohibition against cruel and unusual punishment
or the 14th amendment’s due process clause had been shown.
In
Estelle v. Gamble,
429 U.S. 97, 97 S.Ct. 285, 50 L.Ed.2d 251 (1976), the Supreme Court of the United States clarified the reach of the eighth amendment where prison officials fail to provide medical care needed by prisoners:
Our more recent cases . . . have held that the Amendment proscribes more than physically barbarous punishments. The Amendment embodies ‘broad and idealistic concepts of dignity, civilized standards, humanity and decency . .,’ against which we must evaluate penal measures. Thus, we have held repugnant to the Eighth Amendment punishments which are incompatible with ‘the evolving standards of decency that mark the progress of a maturing society,’ or which ‘involve the unnecessary and wanton infliction of pain.’
We therefore conclude that deliberate indifference to serious medical needs of prisoners constitutes the ‘unnecessary and wanton infliction of pain,’
Gregg v. Georgia,
[428 U.S. 153, 182-83], 96 S.Ct. 2909, 49 L.Ed.2d 859, proscribed by the Eighth Amendment. This is true whether the indifference is manifested by prison doctors in their response to the prisoner’s needs or by prison guards in intentionally
denying or delaying access to medical care or interfering with the treatment once prescribed.
-
We think it of importance that the treatment needs which triggered the eighth amendment were characterized by the Supreme Court as “serious medical needs.” As previously noted in
Newman v. State of Alabama, supra,
the Fifth Circuit found both eighth and 14th amendment violations, in part, because the Alabama Penal System was not providing eyeglasses and prosthetic devices.
However, in
Newman
a variety of other medical needs were not being treated properly due to grossly inadequate staff and facilities; the individual needs which deliberately were not met in the Alabama system would probably have qualified as “serious” under the
Estelle v. Gamble
standard.
Of significance to our resolution of Rust’s claim that he has a right to receive treatment for his dyslexic condition is the Fourth Circuit’s opinion in
Bowring v. Godwin,
551 F.2d 44 (4th Cir. 1977). There Bowring, who was incarcerated under state law, attacked the denial of his application for parole and sought psychiatric and psychological treatment to render him eligible for parole. The district court dismissed Bowring’s action on the ground that he had not alleged denial of any constitutional rights. The Fourth Circuit reversed on the basis of several of the authorities to which we have previously alluded in this opinion and, in part, placed significant reliance upon
Newman v. Alabama, supra.
More particularly, the Fourth Circuit held:
Bowring (or any other prison inmate) is entitled to psychological or psychiatric treatment if a physician or other health care provider, exercising ordinary skill and care at the time of observation, concludes with reasonable medical certainty (1) that the prisoner’s symptoms evidence a serious disease or injury; (2) that such disease or injury is curable or may be substantially alleviated; and (3) that the potential for harm to the prisoner by reason of delay or denial of care would be substantial.
Further, the
Bowring
court qualified its articulation of the inmate’s right to psychological or psychiatric treatment in the following manner:
[T]he essential test is one of medical necessity and not simply that which may be considered merely desirable.
Concerning the basis for this right to psychological or psychiatric treatment, the court reasoned:
This limited right to treatment stems from the Eighth Amendment, whose language must be interpreted in light of ‘the evolving standards of decency that mark the progress of a maturing society.’ It is also premised upon notions of rehabilitation and the desire to render inmates useful and productive citizens upon their release.
In addition to the foregoing, we do not think the treatment issues raised by Rust can be disposed of without resort to the applicable statutory law. In this regard, we believe that AS 33.30.050 and AS 33.30.020 are of paramount importance. The first-mentioned statute provides, in part:
The commissioner shall detail physicians, nurses, and psychiatrists, or their aides, and laboratory technicians, employed by the department to any prison facility where state prisoners are detained or confined, for the purpose of furnishing necessary medical services . .
AS 33.30.020 requires that the commissioner “establish programs for the treatment, care, rehabilitation and reformation of prisoners.”
From the foregoing, we think it clear that Alaska’s legislature has determined that a prisoner has the right to receive necessary medical services, including psychiatric care, while confined. We are further persuaded that the
Bowring
test is appropriate
and therefore adopt its criteria in determining questions as to the right of a prisoner to receive psychological or psychiatric care under the provisions of AS 33.30.020 and AS 33.30.050. In short, we hold that pursuant to the provisions of AS 33.30.020 and AS 33.30.050 a prisoner in the custody of the Division of Corrections has the right to receive psychological or psychiatric treatment if a physician or other health care provider, exercising ordinary skill and care at the time of observation, concludes with reasonable medical certainty that the prisoner’s symptoms evidence a serious disease or injury, that such disease or injury is curable or may be substantially alleviated and that the potential for harm to the prisoner by reason of delay or denial of care could be substantial.
We adopt the
Bowring
criteria with full recognition that inherent in the test criteria are “grey areas” due to the impossibility of fitting health problems into discrete classifications such as “serious” and “harmless,” “physical” and “mental,” or even “medical” and “non-medical.” Nevertheless, we are confident that these criteria can be rationally applied and that they represent apposite standards for delineating both the inmate’s right to psychological or psychiatric treatment and the appropriate circumstances for judicial intervention in daily operations of penal institutions.
In light of the fact that this aspect of the appeal was not explored in any significant detail before the superior court, we remand the matter to the superior court to conduct such further hearings as it considers necessary for the purpose of determining, in accordance with this opinion,
Rust’s treatment claims pertaining to his dyslexic condition.
Affirmed and remanded for further proceedings consistent with the foregoing.