United States v. Sielaff
Dissenting Opinion
dissenting.
The majority opinion relies heavily on the recent Supreme Court decision in Moody v. Daggett, 429 U.S. 78, 97 S.Ct. 274, 50 L.Ed.2d 236 (1976), and concludes that, if in that case, involving the government’s refusal to execute a parole violation warrant until after an individual had served a sentence for a crime committed while on parole, the Court was willing to tolerate a delay of possibly ten years in the ultimate hearing on parole revocation, it necessarily follows that mere delay in any parole violation case will not support a denial of due process claim. I cannot agree. For me there is a critical difference between (1) a state unreasonably delaying nine months in affording an individual, not otherwise incarcerated, a parole revocation hearing, as in the instant case, and (2) a state waiting —admittedly, sometimes years — while an individual completes a different sentence before deciding whether to revoke parole for a prior offense. The difference is that, in the latter case, though the individual is incarcerated, he suffers no liberty loss directly attributable to the state’s delay. In the former, however, if the facts, when they are adjudged, do not support revocation, the individual will have suffered a substantial loss of liberty
. In Morrissey v. Brewer, 408 U.S. 471, 481-82, 92 S.Ct. 2593, 33 L.Ed.2d 484 (1972), the Supreme Court makes clear that though parolees enjoy a more circumscribed liberty than average citizens, they nevertheless possess the “core values of unqualified liberty,” such that revocation of parole must comport with due process.
Opinion of the Court
The question before us in this habeas corpus case is whether the State of Illinois denied petitioner Sims due process when it revoked his parole.
In 1959, Sims was convicted by an Illinois court of murder, and was sentenced to 199 years in prison. On December 15, 1972, he was released on parole.
On February 2, 1975, Sims, under suspicion of having'committed two rapes and an assault, was stopped by the Jacksonville, Illinois, police while he was driving his automobile. He was then arrested on charges of driving while'under the influence of alcohol and illegally transporting liquor in a motor vehicle. Subsequently, Sims’ parole officer issued a parole violation warrant and Sims, waiving a preliminary hearing on the parole violation question, was returned to prison. Sims was never indicted or convicted on any of these charges.
On April 22, 1975, Sims’ parole was revoked after a revocation hearing that in no way complied with the minimum due process requirements articulated in Morrissey v. Brewer, 408 U.S. 471, 92 S.Ct. 2593, 33 L.Ed.2d 484 (1972).
On July 29,1975, Reverend William Johnson, the Director of the Ministry of Criminal Justice of the Northern Illinois Conference of the United Methodist Church, dispatched a three-page letter with documentary attachments to the Board, requesting a rehearing on the revocation decision. By letter of September 5, 1975, the Board denied the request “after a thorough review of Mr. Sims’ entire file,” noting that “[t]he record discloses that the parole revocation was based upon an admission by Mr. Sims” that he committed the DWI and transportation offenses. By letter of even date, the Board advised a “711 Attorney”
In February 1976, Sims filed a petition for habeas corpus in the district court. Only thereafter did the Board decide to grant a rehearing. On April 22, 1976, a revocation rehearing was held, at which Sims was represented by counsel and numerous witnesses were called. The earlier revocation decision was affirmed. The district court did not need to consider whether or not the procedural requirements of Mor-rissey, supra, were met in the second hearing,
II
An element of the fair process due a parolee facing revocation is that “[t]he revocation hearing must be tendered within a reasonable time after the parolee is taken into custody.” Morrissey, supra, 408 U.S. at 488, 92 S.Ct. at 2603-04. Sims’ first revocation hearing was held less than three months after he was taken into custody and no contention has been made that this delay violated due process. On the other hand, as the first hearing did not comport with the then well-known requirements of due process, it would not ordinarily serve to stop the clock on the obligation to give Sims a fair hearing. We do not think, nonetheless, that the promptness of the first hearing should be totally disregarded. If the revocation decision was made in good faith on the basis of an inadvertent error, that would provide a neutral reason explaining that part of the delay (prior to the second hearing) which occurred before July 29, 1975, when the Board’s attention was redirected to the Sims case and a rehearing was requested. July 29 is all the more a significant date in this case, because, coincidentally, this court’s decision in United States ex rel. Hahn v. Revis, supra, which referred to the delay issue, was issued on July 25,1975. In Johnson v. Holley, supra, it was held that Hahn's teachings should not be applied retroactively. Hahn, involving a federal parolee rather than a state parolee, first appeared in a bound volume of the Federal Reporter (2d) bearing a 1976 printing date. Further, we note that even if a habeas action had been filed by Sims fairly promptly after the first revocation hearing, the normal progress of litigation is such that by the time of appellate disposition, if that had directed a due process hearing by the Board, the calendar time of the rehearing might well have been later than the date of the rehearing actually afforded by the Board.
In Hahn, this court held that a federal parolee serving time on a state sentence based on conduct occurring during his parole, against whom a federal parole violation warrant had been lodged with the state prison authorities, had a right to a reasonably prompt disposition of the parole violation charge. (The Supreme Court has abrogated this aspect of Hahn. Moody v. Dag-gett, 429 U.S. 78, 97 S.Ct. 274, 50 L.Ed.2d 236 (1976). See discussion infra.) In Hahn, a petitioner who had not received a revocation hearing in the more than two years following his state court conviction was ordered released from the restraint of the violation warrant. In a footnote pertinent to a parolee’s right to have a revocation hearing within a reasonable time after a criminal conviction established a parole violation, the court stated:
A reasonable time would appear to be no longer than the length of time delay is presently sanctioned between the time a violation warrant is executed and a revocation hearing is held. As a general rule, three months appears to be the maximum delay tolerated. Marchand v. Director, U. S. Probation Office, 421 F.2d 331, 335 n.5 (1st Cir. 1970) and authorities cited therein. [Emphasis added.]
520 F.2d at 638 n.5.
In Johnson v. Holley, supra, a federal parolee was indicted for certain crimes committed in Kentucky while he was on parole, and a violation warrant based on those
It should be noted with respect to the four-month delay from the time petitioner was returned to federal custody until June 1973 that unless some substantial part of that delay is attributable to petitioner, that delay alone was unreasonable. [Citing the Hahn footnote quoted above.]
Under the Hahn decision, if there was an unreasonable delay in holding the hearing, prejudice is presumed and petitioner is entitled to discharge on the parole violation charge.
528 F.2d at 119. Although the court then declined to apply the Hahn standard retroactively, it was Johnson’s ratification of that rule upon which the district court in the present case primarily relied in granting the writ.
After the district court granted the writ, the Supreme Court decided Moody v. Daggett, supra, in which it was held that a federal parolee imprisoned for a crime committed while on parole has no due process right to a prompt revocation hearing prior to being taken into custody on a violation warrant. If, as in that case, a parole board chooses to defer the hearing until the parolee’s release from custody on the conviction, the parolee has no constitutional ground for complaint, because his “present confinement and consequent liberty loss derives not in any sense from the outstanding parole violator warrant, but from his . [intervening] convictions.” 429 U.S. at 86, 97 S.Ct. at 278. Although in Moody the federal parolee was serving a federal sentence, the logic applies equally without regard to which sovereign has convicted and imprisoned the parolee, Head v. United States Board of Parole, 553 F.2d 22 (7th Cir. 1977), cert. denied, — U.S.-, 97 S.Ct. 2685, 53 L.Ed.2d 277 (1977). Moody, then, plainly abrogated Hahn’s holding.
We think it clear that Moody does not directly control this present case, for two important reasons. First, and most obviously, the linchpin of the Moody rationale is that no process is due a parolee facing revocation until his life, liberty, or property interests are impaired by the revocation proceeding. Sims, in contrast to Moody, was taken into custody and then imprisoned solely pursuant to that proceeding, and his due process rights were therefore activated.
Second, in Moody and in all cases like it, the fact of a parole violation is conclusively established by a criminal conviction arising out of conduct while on parole. Morrissey, supra, 408 U.S. at 490, 92 S.Ct. 2593; Moody, supra, 429 U.S. at 89, 97 S.Ct. 274, 279. In such cases, “the only remaining inquiry is whether continued release is justified notwithstanding the violation.” Id. As the Moody opinion points out, this uniquely predictive determination is substantially aided by the availability of the parolee’s institutional record. Moreover, without the benefit of that record, a prompt decision in which a criminal conviction would be the most recent input would often produce a foreordained result of revocation. Where, as here, a parole violation has neither been admitted nor established by conviction, these considerations do not apply. This is a constitutionally significant difference. See, e. g., Gagnon v. Scarpelli, supra, where the Supreme Court, notwithstanding Gideon v. Wainwright, 372 U.S. 335, 83 S.Ct. 792, 9 L.Ed.2d 799 (1963), held that an indigent’s right to appointed counsel in revocation proceedings should be determined on a case-by-case basis, but noted that “[presumptively” counsel should be provided where the parolee makes a colorable
While we do not believe Moody controls this case, we cannot avoid the recognition that it impacts upon the language in Hahn and the rule affirmed in Johnson. The premise of the Hahn-Johnson rule was that a dispositional delay of more than three months was so unfair that prejudice had to be presumed, with habeas release a virtually automatic result. Moody casts doubt on that premise by authorizing dispositional delays of several or more years.
The fact that in Moody, unlike this case, there was no need to reestablish at the revocation hearing the fact of parole violation does, as we have said, distinguish the two cases, but it reduces in our opinion Moody’s impact on the Hahn-Johnson presumed prejudice — automatic release rule only minimally.
The parolee must have an opportunity to . show, if he can, that he did not violate the conditions, or, if he did, that circumstances in mitigation suggest that the violation does not warrant revocation.
Morrissey, supra, 408 U.S. at 488, 92 S.Ct. at 2603. A rule that several months of dispo-sitional delay produces a presumption of prejudice would no doubt have to be applied to the mitigation question as well as the violation question, at least in some cases.
Moody, then, by its logic and its implications, if not by its holding, seriously undercuts any due process notion to be found in Hahn and Johnson that a presumption of prejudice requiring habeas relief arises from a prehearing delay in excess of three months. Moreover, as the State argues, such a presumption is basically incon
A rule that treats a due process claim by a parolee facing revocation more favorably than a similar claim by an unconvicted criminal defendant reverses the analytic positions of the two claimants. For “one who is a . . . parolee only because he has been convicted of a crime” has a “more limited due process right” than does an accused. Gagnon v. Scarpelli, supra, 411 U.S. at 789, 93 S.Ct. at 1763 (footnote omitted); see also Morrissey, supra, 408 U.S. at 489, 92 S.Ct. 2593. This does not mean, of course, that a parolee’s right to a prompt hearing is to be judged more stingily than an accused’s right to a speedy trial, but it surely does cut against a rule that would achieve the converse result.
Accordingly, we hold that a parolee’s claim that the delay preceding his final revocation hearing violates due process, when that hearing otherwise (here, arguably) comported with due process, must be judged by the standards suggested by Barker v. Wingo, supra, and cases following it.
We have intentionally phrased our holding on this point narrowly, because the district court may find that Sims’ second hearing, leaving the delay issue aside, did accord the process that was due. If that is found to be the case, the situation will be closely analogous to an accused’s speedy trial claim, in that the constitutional delay error, if any, must be assessed after the delay has ended. In such circumstances, the error cannot be cured by subsequent proceedings, and the “unsatisfactorily severe remedy of dismissal of the indictment,” Barker, supra, 407 U.S. at 522, 92 S.Ct. at 2188, or quashing the violation warrant in parole cases, is yet “the only possible remedy.” Id.; accord, Strunk v. United States, 412 U.S. 434, 440, 93 S.Ct. 2260, 37 L.Ed.2d 56 (1973).
This is very strong medicine, for it means that a guilty person, or one who has
[H] The district court’s order granting the writ of habeas corpus is, for the reasons set out herein, reversed, and the case is remanded for further proceedings consistent with this opinion.
. The only formal charge brought, on the illegal transportation matter, was dismissed on motion of the State’s Attorney.
. The State conceded as much on oral argument here.
. In its oral conclusions of April 22, 1975, the Board per member Doheny, devoted one of the slightly more than two pages of the transcribed conclusions to describing the alleged rape and assault incidents and how the victims had declined to prosecute. Noting the lack of prosecution, Sims’ outright denial of these charges, and the lack of witnesses to contradict him, it was then stated that “the Board, while it believes the story, does not feel that it should be made a part of the finding.” [Emphasis added.] Mr. Doheny continued as follows:
The Board also notes that the crime of murder, for which the man is here, was one which also contained a rape, and the record shows that the man was alleged to have been involved in two other rapes prior to receiving the sentence of [sic] murder.
If all the facts reported are true, then we have an individual who has been involved in at least five rapes over a period of time . . .
Only three lines of the transcribed conclusions relate to the DWI and transportation charges.
. Gagnon v. Scarpelli, 411 U.S. 778, 783 n. 5, 93 S.Ct. 1756, 1760, 36 L.Ed.2d 656 (1973), makes it clear that Morrissey, supra, does not “prohibit use where appropriate of the conventional substitutes for live testimony, including affidavits, depositions, and documentary evidence.” The only live testimony substitutes to which reference is made in our record were some police reports; perhaps there were others. No doubt some of this material tended to inculpate Sims, at least in the Board members’ minds. But we do not think that apparently unsworn documents never disclosed to the parolee and not even made a part of our record by appellant State officials can speculatively be used to establish the existence of evidence supporting the Board’s findings, and we do not understand the State to argue otherwise.
. He admitted having used the flask for liquor at a previous date, but did not admit that he illegally transported it in a motor vehicle even then. That specific question was not put to him.
. At oral argument, counsel for Sims conceded that this latter suggestion, to some extent at least, was representative of the “brief writer’s hyperbole” syndrome.
. Illinois Supreme Court Rule 711 allows qualified and supervised senior law students to practice law, subject to limitations.
. The State’s argument here that no authorized .rehearing petition was presented to them in the summer of 1975 is thus twice negatived. First, the Board’s rules appear to permit petitions to be made by persons other than the prisoner or his counsel, Rules and Regulations of the Parole and Pardon Board Governing Parole, Rule 4(G), and the Board plainly treated and responded to Reverend Johnson’s letter as such a petition. Second, the Board advised Sims’ authorized counsel that rehearing had already been denied, which advice can only be interpreted as referring to the Johnson letter.
. The district court did, however, note that the second hearing, unlike the first, did adduce sufficient evidence of Sims’ parole violations to support the Board’s finding thereof, with which conclusion we agree.
. This court subsequently recalled its mandate in Hahn to await the decision in Moody v. Daggett, 429 U.S. 78, 97 S.Ct. 274, 50 L.Ed.2d 236 (1976); a modified opinion in Hahn has recently been released, 560 F.2d 264 (7th Cir. 1977).
. The habeas petitioner in Moody, e. g., was incarcerated on two ten-year concurrent sen- . tences.
. In Hahn parole violation was conceded and only mitigation was involved.
. The Moody majority’s reasoning that a prompt hearing might often, where criminal convictions are in issue, produce a foreordained result of revocation, see discussion supra, is surely more persuasive in a case like Moody, where two homicide convictions were involved, than it would be where a conviction was for a relatively minor offense and strong mitigation evidence was tendered.
. Or, of course, a federal defendant invoking directly his explicit Sixth Amendment right to a speedy trial would be similarly situated.
. Cf. United States v. Companion, 545 F.2d 308, 310-12 (2d Cir. 1976), applying Barker analysis to a federal probationer’s statutory right to be taken before the appropriate district court “[a]s speedily as possible after arrest.”
. Our record reflects that in the more than two years appellee was paroled he was employed and supported his family, with whom he lived. He then spent, as we have noted, over one and one-half years incarcerated as a parole violator before the district court ordered his release, since which time (nearly a year) he has again been at large. We cannot ignore the possibility that to reincarcerate appellee pending the district court’s disposition of this cause, which quite conceivably could result once again in his release, would create undue hardship for him and his family. Accordingly, ap-pellee is to remain free on his own recognizance until the district court has the opportunity to consider this possibility. That court will then have discretion to order appellee’s reincar-ceration or to leave him free on recognizance pending decision of the issues on remand. See United States ex rel. Hahn v. Revis (as modified), supra.
Concurring Opinion
concurring.
I join in Judge Pell’s opinion but wish to add a few words.
It is true, as Chief Judge Fairchild points out in his dissent, that in Moody v. Daggett, 429 U.S. 78, 97 S.Ct. 274, 50 L.Ed.2d 236 (1976), the custody during the period of the delay was held not to be unlawful because it resulted from conviction of other crimes, not the parole violation warrant. But it also is clear from that case that a delay of more than 90 days in holding a parole revocation hearing is not in and of itself so inherently unfair as to amount to a violation of constitutional right. That proposition is consistent with Barker v. Wingo, 407 U.S. 514, 92 S.Ct. 2182, 33 L.Ed.2d 101 (1972), for if an inflexible presumption of prejudice resulting automatically in unconditional release is not necessary to enforce the explicit speedy trial command of the Sixth Amendment, it seems to me that it cannot be said that it is necessary to enforce the prompt hearing requirement of Morrissey v. Brewer, 408 U.S. 471, 92 S.Ct. 2593, 33 L.Ed.2d 484 (1972). Accordingly, even when the basis for the custody is the parole violation warrant, as it is here, its lawfulness should be determined by the criteria prescribed in Barker v. Wingo.
That result does not mean that a prisoner held under a parole revocation warrant is without a remedy for a threatened or actual deprivation of the right to a prompt hearing. First, like an indicted defendant awaiting trial, he can demand a prompt hearing. Second, by filing a petition for habeas corpus he can force the parole authorities to hold a prompt hearing, failing which he can obtain his release. If he has been prejudiced by an unnecessary delay in holding the hearing, he will be entitled to relief. If he has not been prejudiced, and it turns out as a result of the hearing that the commencement and duration of custody have not been affected by the delay, the custody will ordinarily be lawful and release pursuant to a petition for habeas corpus inappropriate. These are the reasons, I believe, that have led other circuits, and led this circuit before Hahn, to deny relief when the Board had held a proper hearing before the court ruled on the habeas corpus petition and no prejudice was shown.
Reference
- Full Case Name
- UNITED STATES of America ex rel. George SIMS v. Allyn SIELAFF, Director, Illinois Department of Corrections, and David Brierton, Warden, Stateville Correctional Center
- Cited By
- 6 cases
- Status
- Published