Soto v. Lord

• Decision Date: 09 August 1988
• Docket Number: No. 86 Civ. 1916 (KC).,86 Civ. 1916 (KC).
• Citation: 693 F. Supp. 8
• Parties: Raul SOTO, Plaintiff, v. Gordon LORD, Program Coordinator of Downstate Correctional Facility, Defendant.
• Court: U.S. District Court — Southern District of New York

693 F. Supp. 8

Raul SOTO, Plaintiff, v. Gordon LORD, Program Coordinator of Downstate Correctional Facility, Defendant.

No. 86 Civ. 1916 (KC).

United States District Court, S.D. New York.

August 9, 1988.

Daniel H. Weiner, Hughes, Hubbard & Reed, New York City, for plaintiff.

Charles C. Davis, Jr., Dept. of Law, New York City, for defendant.

OPINION AND ORDER

CONBOY, District Judge:

The plaintiff in this action, brought pursuant to 42 U.S.C. section 1983,¹ claims the defendant violated his constitutional rights in conducting a prison disciplinary proceeding that failed to conform to due process requirements. The matter was tried before the court sitting without a jury on June 16, 1988. This Opinion and Order incorporates the court's findings of fact and conclusions of law pursuant to Fed.R. Civ.P. 52.

CHRONOLOGY

In 1981, plaintiff, serving a sentence of seven and a half to fifteen years imprisonment, received a transfer from Comstock Correctional Facility to Downstate Correctional Facility. Plaintiff's counselor at Comstock had recommended the transfer after receiving, in 1980, a letter from a doctor at Columbia Presbyterian Medical Center. The letter "strongly recommended that the plaintiff be moved to a facility closer to home so that" plaintiff's daughter, then approximately three years old, and suffering developmental retardation, could "have more frequent contacts with her father." Complaint Ex. D1. The transfer provided the plaintiff more frequent opportunities to see his daughter, because the trip to Downstate was not unduly taxing to his wife and daughter.² While at Downstate, the plaintiff was visited by his wife and daughter "at least three times a month." Trial Transcript at 14 hereinafter "Tr. x.".

While incarcerated at Downstate the plaintiff conducted himself admirably. The only blemish on his record prior to the incident in question was a single period of special, punitive confinement in 1981.³ Tr. 40.

In February 1985, the plaintiff was an "honor inmate," Tr. 15, entitled to have overnight visits with his wife and daughter in a trailer at the prison. Tr. 14-15. Additionally, he held at least three jobs within the prison, working as "the coordinator of the chaplaincy programs," which included a religious encounter program, as a chaplain's assistant, as coordinator of a drug rehabilitation program, and as secretary of the Legion of Mary, a program run by the chaplain. Tr. 12-13. He received the maximum pay an inmate could receive, "about $1.55 a day." Tr. 13. Further, the plaintiff was attending Marist College, trying to achieve a "Justice Certificate, which is a 60 credit college program," id., and was participating in the New York State Regents external degree program, trying to achieve a bachelor's degree. Tr. 13. He was at that time about six credits short of obtaining an associate degree. Tr. 13. Because the plaintiff was an honor inmate, and was within a year of his release date (November 1985), in early 1985 he was eligible for furloughs, which allowed him to go home and spend time with his family, and for work releases. Tr. 16.

In January 1985, the plaintiff received a three day furlough, which he used. Tr. 16. When he returned to Downstate, the plaintiff underwent a urine test to test for drug use. Id. The test result was negative. Plaintiff testified that he was also tested after family overnight visits. This was "standard procedure." Tr. 15. Plaintiff testified that he submitted to thirteen or fourteen urine tests after these visits. All of the tests were negative. Id.

On February 7, 1985, the plaintiff began a week-long furlough. During that week, the plaintiff visited his prospective employer (where he has been employed since his release in November 1985 to the present, Tr. 11-12), to secure his work release. Tr. 16. This was important to the plaintiff, because with a secure job he would be transferred to a New York City facility to serve the last nine months of his sentence. In the work release program, the plaintiff "would leave the facility for the day, work, then come to the facility and sleep at night and he would be earning a salary and saving money for his release." Tr. 18. Plaintiff spent most of the rest of his time with his wife and daughter. Tr. 16. When he returned to Downstate on February 15, 1985, plaintiff reported to the officer in charge of processing him into the facility, Officer Knapp. Tr. 16-17.

Officer Knapp escorted the plaintiff to the prison clinic, to provide a urine sample for testing. Tr. 17. This did not surprise the plaintiff; the testing was "standard procedure." Id. At that time, the plaintiff was aware that inmates found guilty of having used drugs while on furlough were subjected to a "Tier III" hearing. Tr. 19. This was "the severest of the superintendent's proceedings," id.; see id. at 47 (testimony of the defendant) (Tier III hearing is "generally considered to deal with the more severe charges"), which might lead to special confinement, loss of certain privileges,⁴ and possible transfer out of Downstate. Tr. 19.

Five days later, the plaintiff received a misbehavior report. It stated that the plaintiff's urine specimen had tested positive for drug use. Tr. 19-20. On receipt, the plaintiff was placed under "keep lock status."⁵ Tr. 20.

On February 26, 1985, the defendant commenced the Tier III hearing.⁶ The plaintiff pleaded not guilty. He asked that two corrections officers, with whom he had spent significant amounts of time while being processed on February fifteenth, testify on his behalf. They did. Both testified that the plaintiff did not appear to them to be under the influence of drugs while they processed him. See Joint Trial Exhibit 7 at 5 (Officer Knapp) hereinafter "Ex. x."; id. at 6 (Officer Ciangiola).

The plaintiff reviewed the report of the National Health Laboratory, Ex. 4, which indicated that marijuana was present in his urine. The plaintiff asked the defendant to read a stamped statement in the center of the single page report. See Ex. 7 at 3. That statement reads: "A positive cannabinoid result should be confirmed by an alternate method. If you wish further testing (at an additional charge) contact laboratory within 24 hrs." Ex. 4; see Ex. 7 at 3. The plaintiff asked whether a confirmatory test had been performed. When told there was no record of any confirmatory test, the plaintiff asked whether the test was conclusive. See Ex. 7 at 3. The defendant stated that he would make inquiry. Id.

The hearing was recessed; it resumed on March 5. The defendant stated that he had checked with other prison officials concerning the need for a confirmatory test. Ex. 7 at 8; see Tr. 72-74. Defendant explained to plaintiff that the confirmation was not intended to insure the correctness of the positive result, but rather to confirm the level of drugs present in the system. See Ex. 7 at 8.

The defendant held that the preponderance of evidence established plaintiff's violation of a rule or regulation prohibiting use of a narcotic or controlled substance. See Ex. 7 at 9-10. The defendant stated that "a clear chain of evidence" had been shown, id. at 10, and that "the chemical evidence on a reasonably valid test" proved that the plaintiff had ingested marijuana. Id. at 8-9. The defendant imposed a penalty of sixty days' confinement to cell⁷ and loss of all privileges. See Ex. 7 at 9.

The plaintiff served fifteen days of this punishment in Downstate. Tr. 24. He then was transferred to Dannemora State Prison, also known as the Clinton Correctional Facility, Tr. 26, where he completed his punishment, and his sentence. See Tr. 24-26. This transfer was not ordered by the defendant; he did not have the power to issue such an order. Tr. 77. Rather, it was explained that Downstate "is a reception center," having "a very small cadre of general population inmates." See Tr. 41. This cadre "is primarily composed of inmates who would be working at the facility." Id. at 42. An individual subject to confinement as a result of a Tier III proceeding is no longer qualified to be working, and therefore is transferred. Id.

The plaintiff also lost certain privileges as a result of the adjudication of guilt. These included telephone privileges,⁸ commissary privileges,⁹ and package privileges.¹⁰ See Ex. 7 at 9. Further, when the plaintiff finished his period of confinement, on April 21, 1985, he was given the job of porter in a school, earning thirty cents per day.¹¹ Tr. 26.

The plaintiff told his wife not to visit him at Dannemora. He gave two reasons for this. First, his family could not afford the bus tickets. See Tr. 28. Second, plaintiff's daughter suffered from motion sickness. The bus trip, "18 hours, maybe 20 hours," id., was too difficult.¹² Because of this, plaintiff did not see his family until he returned to New York City, in November 1985. Tr. 11-12, 28.

FINDINGS OF FACT

1. In early 1985, the plaintiff earned $1.55 per day from his employment in Downstate. Tr. 13.

2. While on furlough in February 1985, the plaintiff confirmed employment, so that he might participate in a work release program. He was eligible for work release because he was in the final year of his prison term. Tr. 15-16.

3. The plaintiff knew, from prior experience, that he would be subjected to a urinalysis when he returned from furlough on February 15, 1985. Tr. 17.

4. The plaintiff did provide a urine sample on February 15, 1985, for urinalysis. Tr. 17-18.

5. The State of New York Department of Correctional Services issued a Directive, number 4937, on Urinalysis Testing, dated December 1, 1983. See Ex. 1. Directive 4937 includes a section entitled "Procedure." In the subsection entitled "Process sic the Urine Specimen," the Directive states that, whether the test is conducted at the facility, or at an independent laboratory, all persons handling the urine specimen must make an appropriate notation on a form entitled "Request for Urinalysis Test." See Ex. 1...