Baker v. Lyles

Decision Date02 August 1990
Docket NumberNo. 88-6623,88-6623
PartiesRussell C. BAKER, Plaintiff-Appellant, v. Howard N. LYLES, Warden; Lawrence Carpenter, Security Chief; Major Thompson, Acting Security Chief; Lt. Elijah Thomas, Defendants-Appellees.
CourtU.S. Court of Appeals — Fourth Circuit

Russell C. Williams (argued), Richmond, Va., for plaintiff-appellant.

Glenn William Bell, Asst. Atty. Gen. (argued), J. Joseph Curran, Jr., Atty. Gen., Gertrude C. Bartel, Kramon & Graham (on brief), Baltimore, Md., for defendants-appellees.

Before MURNAGHAN, SPROUSE and CHAPMAN, Circuit Judges.

CHAPMAN, Circuit Judge:

Russell C. Baker, a Maryland inmate, brought this action under 42 U.S.C. Sec. 1983 against Warden Howard N. Lyles, Security Chief Lawrence Carpenter, Acting Security Chief Major Thompson and Lieutenant Elijah Thomas of the Maryland Penitentiary, claiming violations of his due process rights as a result of the initiation, investigation and prosecution of a prison disciplinary proceeding in which he was convicted of possession of escape contraband and of association with other inmates in an escape attempt. He claims that his conviction was based solely upon the hearsay statement of an unidentified informant, whose reliability was not established at the hearing, and this was a violation of due process.

The district court granted the defendants' motion for summary judgment, and we affirm.

I

On August 31, 1985, Baker, then an inmate at the Maryland Penitentiary, was charged with having escape contraband in his possession. This contraband was believed to be related to a planned escape. The charge was based upon information received by the defendant, Lieutenant Elijah Thomas, from an unidentified inmate informant. On September 3, 1985, a Notice of Infraction was served upon Baker with an attached photograph of the contraband, which was one hacksaw blade and one jeweler's string. In signing for the Notice of Infraction, Baker sought no witnesses, and at the hearing on September 4, 1985, he requested no witnesses. He was represented at the hearing and testified that he was innocent, claiming that another inmate was mad with him and reported him for something he had not done. Baker had a history of escape, escaping from the Baltimore County Jail on April 28, 1982.

Baker's claim of a due process violation results from the hearing officer's reliance upon a statement of an unidentified informant or informants contained in a letter of September 3, 1985, from Lieutenant Thomas to Chief of Security Carpenter. This letter outlined efforts made by Lieutenant Thomas to locate some escape tools that were suspected of being in the penitentiary. The letter stated in part:

Acting on information received, I conducted an investigation in an effort to locate some of the escape tools that was [sic], and still is [sic], suspected of being in this institution.

During my inquiries, I received information from a very reliable source that Inmate Russell Baker # 161861 had knowledge of the whereabuts [sic] on some of the tools which had been used. My sources assured me that they could obtain the tools if given the opportunity to be able to talk to the Chief of Security. I did tell the source that I could make certain that they were given the chance to speak with the Chief of Security. (Emphasis Added).

At approximately 2:30 p.m., August 31, 1985, I was given one (1) hacksaw carbine blade and one (1) jewelers string by one of the persons previously mentioned. I asked him where did he get these items from and he stated that he got them from Inmate Russell Baker (see attached statement). 1

On September 4, 1985, Hearing Officer Tilley found Baker guilty of possession of the escape tools and recommended the loss of 15 days of good time and 210 days punitive segregation. On September 20, 1985, Baker received Notice of Assignment to Administrative Segregation from Security Chief Carpenter giving as reasons: "To prevent escapes, reasons exist to believe that you are an escape risk.... Reasons exist to believe you are dangerous to the security of the institution, and/or inmates, and/or staff." On the same date, Security Chief Carpenter forwarded an Evaluation-Administrative Segregation on Baker and two other prisoners to Classification Supervisor H.E. Rodgers, which stated:

This request for administrative segregation placement pertains to the above captioned inmates, who were found guilty by the institution's Adjustment Team, given extensive segregation sentence for their involvement and/or participation in an escape attempt from this institution.

However, on August 29, 1985, I learned that several inmates were planning a mass escape attempt from the institution, by way of an exhaust fan, located in this institution's Chapel, by sawing several grill gate bars. When a search was conducted of the Chapel on August 29, 1985, several bars were found cut; which created a large hole in the grill gate of the Chapel, enabling a person(s) to crawl through to gain access to a [sic] exhaust fan on the wall, leading out into the street.

Afterwards, a further check of the Chapel area was made. The wall exhaust fan, inside of it, had been tampered with, the bolts and fan belt was [sic] removed; indicating that an escape attempt was in fact in progress. During my investigation into this instant matter, the above captioned inmates were either identified as having knowledge of and/or participated in planning the escape attempt. Also, if the plan was successful, they were actually planning to escape.

Each of the above inmates' base files were reviewed and indicated that since their incarceration in the Division of Correction, they have incurred a number of serious infractions, which their base files will disclose.

Based on the above information, I have reasons to believe that the above inmates are escape risks and are a danger to the security of this institution. Therefore, please make immediate arrangements to evaluate them for assignment to administrative segregation; and if approved, assigned to that status at the completion of their present segregation sentences.

On September 26, 1985, a prison Classification Team recommended against placement on administrative segregation, because the hearing commenced 45 minutes past the 96 hours allowed between the time of notification of assignment to administrative segregation and the time of the hearing, as provided in D.C.R. 110-19. The warden disapproved this recommendation because the 45-minute delay was not "a sufficient violation of inmates' due process to sacrifice security." The warden directed the Classification Team to rehear the matter. The Classification Team reconsidered Baker's classification on October 8, 1985, and by this time the team was aware of Baker's escape history--escape from the Baltimore County Jail on April 28, 1982. The Classification Team postponed final action for 30 days, and Baker was continued on administrative segregation. On October 24 and November 15, 1985, the Classification Team again considered Baker's status and on each occasion postponed action for 30 days. On December 10, 1985, the team recommended placement in administrative segregation, finding that Baker was an "escape risk based on [his] escape history esp 8/31/85 infraction." The warden approved this recommendation and notified Baker, explaining that segregation was "to prevent escapes[;] reasons exist to believe that you are an escape risk."

Baker's classification status was reviewed every month while he continued on administrative segregation. On each review the Classification Team recommended that Baker be kept on administrative segregation as an escape risk. After the initial decision against him, Baker appealed to the Inmate Grievance Commission (IGC). His case was heard on June 30, 1986. On September 24, 1986, the IGC reversed his adjustment conviction and ordered that it be expunged from the records, that his good conduct time be restored and that his classification status be reviewed. The Commission found that:

Although the Commission respects confidentiality of informants within a prison environment, the institution should show credibility of a "phantom witness". In this case the "phantom witness's" testimony was not properly documented by the Hearing Officer and the testimony should be purged.

There are means to apprise the prosecutor of evidence acceptable for conviction without revealing the source, but in fairness to the defendant this must be done.

There was no documentation on file for review from this adjustment hearing. There was no attempt to determine the reliability of the "phantom witness".

On November 6, 1986, Baker was advised in writing by Warden Lyles that his adjustment conviction had been reversed and expunged, the 15 days lost good time had been restored, his status had been reviewed, and he was restored to his original status and released from administrative segregation.

Baker appealed the decision of the Inmate Grievance Commission to the Circuit Court for Baltimore City. The Circuit Court on June 5, 1989, found that decision was not supported by "substantial evidence in the record" and ordered the warden to calculate the amount of back pay and the amount of time credits for Industrial Credit and special credit that Baker would have earned in the Print Shop from September 1985 when he was improperly confined in segregation until October 3, 1986, and that these back payments be made to Baker. By use of the process provided by the state, Baker was made whole, except for his time in segregation.

On October 29, 1986, Baker brought the present action, pro se, asking that he immediately be released from administrative segregation and seeking damages for violation of his constitutional rights. In his complaint Baker claimed: (1) Lieutenant Thomas unconstitutionally initiated the...

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