OPINION OF THE COURT
This civil rights case, brought by a federal prisoner acting pro se, presents for us a first impression question of the due process rights of a prisoner to the production of documentary evidence at a prison disciplinary hearing. Plaintiff Kenneth McClure Young, II, who lost substantial good time credit as the result of two prison disciplinary hearings, brought suit in the district court for the Middle District of Pennsylvania claiming that the disciplinary hearing officer, defendant Warren Kann, violated his due process rights by refusing to produce a letter in which Young allegedly threatened his cellmate, even though the letter formed part of the basis for the disciplinary charges. Although Young contended that the letter contained no such threat, the district court dismissed the complaint, sua, sponte, as legally frivolous under 28 U.S.C. § 1915(d).
We hold that Young’s due process claims are arguably meritorious, and that the district court erred in dismissing the com
I. FACTS AND PROCEDURAL HISTORY
While Young was incarcerated at the United States Penitentiary in Lewisburg, Pennsylvania, he was charged with making threats of bodily harm to another inmate and refusing a cell assignment. 1 The prison incident report stated that Young had physically and verbally threatened his cellmate when a guard attempted to return him to their cell. Prior to this incident, the report claimed, Young had given to the guard a letter that also contained threats against this cellmate. At the hearing on this charge, Young denied having made any threatening statements, either verbal or written. He further claimed that he had informed Kann that the letter had been confiscated by prison authorities and that it should be produced in order to demonstrate that it contained no threatening remarks.
Because Kann did not have a copy of the letter, he excused Young from the room and called the reporting officer into the hearing room and questioned him concerning the letter’s contents. After the reporting officer was excused, Young was called back and informed by Kann that the letter itself was not relevant and that the hearing would proceed. Young reasserted that the letter contained no threats and informed Kann that he was not prepared to proceed unless the letter was produced. Kann nonetheless elected to proceed.
When the hearing resumed, Young informed Kann that, in the days preceding the incident, his cellmate had assaulted him, threatened to rape him, and threatened his life. 2 Although Young admitted to banging a milk crate against his cell door, he denied that he had physically or verbally threatened his cellmate during the incident. Young was found guilty and received a sanction of 30 days in disciplinary segregation and forfeiture of 40 days statutory good time. 3
Following the hearing, Kann filed a Discipline Hearing Officer Report. Although the report stated that his decision was supported by Young’s letter, Kann apparently relied upon the guard’s oral summary of its contents, rather than his own review of the letter itself. 4 In any event, the copy of the letter provided in Young’s appendix contains no threatening remarks of any kind. 5
II. THE FIRST DISCIPLINARY HEARING
A. Standard of Review
Because this case involves only issues of law, our review of the district court’s dismissal of Young’s complaint as legally frivolous is plenary.
Roman v. Jeffes,
B. The Alleged Due Process Violations
The overarching authority is
Wolff v. McDonnell,
First, a prisoner must receive written notice of claimed violations at least 24 hours in advance of the hearing and must be provided with a written summary of evidence relied upon by the fact-finder in reaching its disciplinary decision.
Id.
at 563-64,
We should not be too ready to exercise oversight and put aside the judgment of prison administrators_[W]e must balance the inmate’s interest in avoiding loss of good time against the needs of the prison, and some amount of flexibility and accommodation is required. Prison officials must have the necessary discretion to keep the hearing within reasonable limits and to refuse to call witnesses that may create a risk of reprisal or undermine authority, as well as to limit access to other inmates to collect statements or to compile other documentary evidence.
Based upon the factual allegations in Young’s complaint, there do not appear to be any security reasons for denying Young’s request to produce his letter. Nor has Kann proffered any such reasons. The security issues that concerned the
Wolff
Court were the risk of death or injury to inmate witnesses and informants identified at hearings or in produced documents,
8
as well as the potential for breakdown in authority, order and discipline inside the institution.
9
This court heretofore has not been called upon to apply the requirements of
Wolff
to determine the extent of a prisoner’s right to produce and view documentary evidence at a disciplinary hearing. We are aided in our analysis by three district court decisions. In
Giano v. Sullivan,
Like the prisoner in Giano, Young claims that he twice attempted to convince Kann to delay or postpone the hearing so that his letter, which had been confiscated by the authorities, could be produced. Unlike the prisoner in Giano, however, Young was not allowed to be present during the testimony of the investigating officer, a fact which, if true, further deprived him of the ability to marshal a defense.
In
Muhammad v. Butler,
Although the district court here concluded that “[since] defendant Kann had a summary of Young’s letter in the Incident Report and a statement from the reporting officer ... [t]here was no need for the letter to be produced at the first hearing,” we agree with the Muhammad court that this approach does not satisfy the requirements of due process. 11 Furthermore, we disagree with the possible argument that, even if Young’s due process rights were violated by Kann’s refusal to order production of the letter, such a violation is without consequence since Young admits writing the letter, should have remembered its contents, and could thus effectively defend against the guard’s testimony. Such an argument ignores Young’s claims that he did not know the guard’s specific testimony and that, without the document, he did all that he could to support his assertions: namely, deny .the guard’s claim that the letter contained threatening statements.
Finally, in
McIntosh v. Carter,
Although the prisoner in McIntosh had a greater need to “view the evidence against him” due to the potential for fabrication of incriminating evidence by hostile fellow inmates, we find the holding in that case to be directly applicable to Young’s situation. Like the hearing officer in McIntosh, Kann appears to have relied upon the investigator’s portrayal of the letter, denying Young the opportunity to prepare a defense based upon its actual contents.
We find these cases persuasive and elect to follow them. Assuming that Young’s factual allegations are true and that Kann cannot demonstrate a valid security reason on remand, we believe that Kann’s refusal to order production of Young’s letter at the disciplinary hearing violated Young’s due process rights. By denying Young the opportunity to refute the charges against him through the presentation of his own letter, confiscated by the authorities and then used to discipline him, Kann violated the due process rights accorded Young under
Wolff
to “present documentary evidence” and “marshal the facts in his defense.”
Further, we think that Kann’s alleged sole reliance upon the oral summary of the contents of the letter provided, outside of Young’s presence, by the guard at the hearing may itself be a due process violation.
12
We have warned against hearing officers relying exclusively upon a prison employee’s oral summary of information implicating the prisoner. In
Helms v. Hewitt,
A determination of guilt on such a record, with no primary evidence of guilt in the form of witness statements, oral or written, or any form of corroborative evidence, amounts to a determination on the blind acceptance of the prison officer’s statement. Such a practice is unacceptable; it does not fulfill Wolffs perception of “mutual accommodation between institutional needs and objections” and constitutional requirements of due process.
Helms,
C. Does Other Evidence in the Record Support the 28 U.S.C. § 1915 Dismissal?
Even if Young’s due process rights were violated at the hearing, the other evidence of threats made to his cellmate during the incident may support the district court’s dismissal of the complaint as legally frivolous. We note in this re
Young admitted to banging the cell door with a milk crate but denied threatening to hit the guard or his cellmate with the crate or in any other way threatening his cellmate during the incident. Young essentially did admit, however, that he refused to accept a program assignment, by attempting to prevent the guard from allowing his cellmate to reenter the cell. The district court’s dismissal of Young’s complaint was therefore justified as to this charge. However, with respect to the charge of threatening his cellmate, the conflicting accounts of Young’s behavior do not justify the district court’s dismissal under 28 U.S.C. § 1915(d), particularly in light of Kann’s refusal to produce the allegedly threatening letter.
In
Chavis v. Rowe,
Not only does Young claim that he was improperly denied access to the letter in order to demonstrate that it did not contain threatening remarks, but he also asserts that his ability to prepare a defense was abridged by Kann’s decision that prevented him from hearing or responding to the guard’s testimony regarding the content of the letter. If his allegations are true, Young was denied the opportunity to hear whatever else the guard may have testified to concerning his alleged physical threats toward his cellmate. Had Young been able to boost his credibility by impeaching the guard’s testimony concerning the letter’s content and responding intelligently to any testimony concerning the confrontation at the cell door, Kann may have “considered] ... more seriously,”
Chavis,
While perhaps not rising to the level of constitutional deprivations under Wolff, Kann also may have violated an opaque regulatory mandate, further emphasizing the unfairness of the process accorded Young at his first hearing. If Young’s allegations are true, Kann violated the procedures prescribed by 28 C.F.R. § 541.17(d) (1990), which provides that “[a]n inmate has the right to be present throughout the DHO [Disciplinary Hearing Officer] hearing except during a period of deliberation or when institutional security would be jeopardized. The DHO must document in the record the reason(s) for excluding an inmate from the hearing.” Kann proffered no security reasons for refusing to allow Young to be present while the guard was being questioned, nor does it appear that any such reasons exist.
Although he does not have an absolute right to confront and cross-examine witnesses at a prison disciplinary hearing,
see Wolff,
At his second disciplinary hearing, Young was charged with disruptive conduct for intentionally clogging the toilet in his cell, causing it to overflow onto the cellblock range. After essentially admitting that he intentionally caused the toilet to overflow, Young was found guilty of disruptive behavior and received a sanction of 15 days in disciplinary segregation and forfeiture of 8 days of statutory good time.
Young claims that his due process rights were violated at this second hearing because he was forced to proceed without being presented with a copy of the investigator’s report. Young had no right to receive a copy of the investigation report, however, because he waived his right to have a staff representative present.
See
28 C.F.R. § 541.14(b)(2);
Mendoza v. Miller,
IV. CONCLUSION
We will affirm the district court’s dismissal as legally frivolous of the portion of Young’s complaint regarding his conspiracy claims, his due process claims related to the charge of refusing to accept a program assignment brought against Young at his first disciplinary hearing, and his due process claims related to his second hearing. Concomitantly, we will affirm the dis
Notes
. Subsequent to these incidents, Young was transferred to the Federal Correctional Institution at Phoenix, Arizona, and then to the Federal Correctional Institution at Bastrop, Texas, where he was incarcerated at the time of this appeal.
. In a subsequent letter to the warden and others, Young stated that a few days after the incident which led to the first hearing, his cellmate had in fact orally raped him while holding a razor blade against his throat.
. Young’s administrative appeal of Kann’s decision was denied by the Bureau of Prisons Regional Director.
. The inference that Kann relied upon the guard's testimony, instead of his own review of the letter, clarifies a contradiction in the Discipline Hearing Officer Report. Kann’s report stated that no documentary evidence was considered in addition to the incident and investigative reports. However, Kann lists the “specific evidence relied upon to support findings” as the following:
1) Officer’s statement that he observed ... [plaintiff] Young pick up a milk crate and pound the cell door with it, when attempting to put [plaintiff’s cellmate] in his cell.
2) A note that inmate Young wrote that indicated that harm would come to [plaintiff’s cellmate] if he was placed back in his cell.
3) Inmate Young’s admission to the charges that he did threaten [his cellmate] and refused to allow him in his cell.
Kann’s report also stated that Young had no problems with the incident report and that he was ready to continue with the hearing, contradicting Young’s claim that he had insisted that he was unprepared and unwilling to proceed.
.In the last paragraph of this letter, Young does state ”[w]ell sir, either you do something about this or I will because by george I’ve reached my limit." While this may be construed as a vague threat to take future action of some sort, it cannot reasonably be interpreted as a threat of bodily harm against his cellmate.
Although a copy of this letter was included in the appendix, it does not appear to have been attached to Young’s complaint or otherwise
. Young does not challenge on appeal the district court’s dismissal of the portion of his complaint asserting eighth amendment violations. The portions of Young's appeal that relate to his second disciplinary hearing and to his claims that Kann and stenographer Jane Doe conspired to alter the transcript are discussed infra Part III and n. 17.
. Unlike the prisoner in
Wolff,
whose claims against state prison officials proceeded under 42 U.S.C. § 1983, Young’s claims against a federal prison official for violating his constitutional rights are bottomed on the Supreme Court's decision in
Bivens v. Six Unknown Named Agents of the Federal Bureau of Narcotics,
. As the Wolff Court noted:
The reality is that disciplinary hearings and the imposition of disagreeable sanctions necessarily involve confrontations between inmates and authority and between inmates who are being disciplined and those who would charge or furnish evidence against them. Retaliation is much more than a theoretical possibility; and the basic and unavoidable task of providing reasonable personal safety for guards and inmates may be at stake, to say nothing of the impact of disciplinary confrontations and the resulting escalation of personal antagonisms on the important aims of the correctional process.
. With some prisoners, the Court noted, “it may be essential that discipline be swift and sure.”
. The
Giano
court relied upon
Eng v. Coughlin,
. See district court order and accompanying memorandum at 8.
.
See Hayes v. Walker,
.
See also Giano,
. Young claims that his conduct and actions were in self-defense since his cellmate had assaulted him and threatened to kill him, and that he had sent a number of letters to the warden and others, requesting to be moved to another cell. Young further claims that, a few days after the incident which led to his first hearing, he was raped by his cellmate.
See supra
n. 2 and accompanying text. It is noteworthy in this regard that prison officials have an obligation to take reasonable measures to guarantee the safe
. It is important to note that Kann is entitled to qualified immunity from a
Bivens
action if the procedural requirement of a federal regulation is not based upon a "clearly established” constitutional right.
See supra
n. 7;
see also Childress v. Small Business Admin.,
While perhaps not cognizable for the purposes of a Bivens action for the foregoing reasons, we also note that Kann’s alleged failure to provide plaintiff's staff representative with a copy of the investigative report violated the procedures established under 28 C.F.R. § 541.14(b)(2) (1990), which provides that:
The inmate does not receive a copy of the investigation. However, if the case is ultimately forwarded to the Disciplinary Hearing Officer, the DHO shall give a copy of the investigation and other relevant materials to the inmate’s staff representative for use in presentation on the inmate’s behalf.
Since Young was assisted by a staff representative, who accompanied him to his first hearing, his representative, it would appear, should have been provided with a copy of the investigation report.
See also Mendoza v. Miller,
. Young further claims that defendants Kann and Jane Doe conspired to misrepresent his statements at both hearings in order to create a record which indicated that no due process violations had occurred. Young’s only support for these claims are the apparent contradictions contained in Kann’s Discipline Hearing Officer Report for the first hearing and his claim that the transcripts of both hearings attribute statements to him that he did not make and that damage his due process claims. We do not read Kann’s report as containing contradictions, see supra n. 4 and accompanying text, and Young has alleged no facts whatsoever to support his bald assertion that Kann and the stenographer acted in concert to alter the transcript.
Since Young’s conspiracy claims do not appear to be based in fact, but merely upon his own suspicion and speculation, we hold that the district court did not err in dismissing them as legally frivolous pursuant to 28 U.S.C. § 1915(d).
See Neitzke,
