Weaver v. Graham
Opinion of the Court
delivered the opinion of the Court.
Florida, like many other States, rewards each convicted prisoner for good conduct and obedience to prison rules by using a statutory formula that reduces the portion of his sentence that he must serve. In this case, we consider whether a Florida statute altering the availability of such “gain time for good conduct”
I
The relevant facts are undisputed. Petitioner pleaded guilty to second-degree murder. The crime charged occurred on January 31, 1976. On May 13, 1976, petitioner was convicted and sentenced to a prison term of 15 years, less time
“(a) Five days per month off the first and second years of his sentence;
“(b) Ten days per month off the third and fourth years of his sentence; and
“(c) Fifteen days per month off the fifth and all succeeding years of his sentence.” Fla. Stat. § 944.27 (1) (1975).
In 1978, the Florida Legislature repealed §944.27 (1) and enacted a new formula for monthly gain-time deductions. This new statute provided:
“(a) Three days per month off the first and second years of the sentence;
“(b) Six days per month off the third and fourth years of the sentence; and
“(c) Nine days per month off the fifth and all succeeding years of the sentence.” Fla. Stat. § 944.275 (1) (1979).3
Petitioner, acting pro se, sought a writ of habeas corpus from the Supreme Court of Florida on the ground that the new statute as applied to him was an ex post facto law prohibited by the United States and the Florida Constitutions.
II
The ex post jacto prohibition
In accord with these purposes, our decisions prescribe that two critical elements must be present for a criminal or penal law to be ex post facto: it must be retrospective, that is, it must apply to events occurring before its enactment,
A
The respondent maintains that Florida’s 1978 law altering the availability of gain time is not retrospective because, on its face, it applies only after its effective date. Brief for Respondent 12, 15-16. This argument fails to acknowledge that it is the effect, not the form, of the law that determines whether it is ex post facto.
Nonetheless, respondent contends that the State’s revised gain-time provision is not retrospective because its predecessor was “no part of the original sentence and thus no part of the punishment annexed to the crime at the time petitioner was sentenced.” Brief for Respondent 12. This contention
B
Whether a retrospective state criminal statute ameliorates or worsens conditions imposed by its predecessor is a federal question. Lindsey v. Washington, supra, at 400. See Malloy v. South Carolina, 237 U. S., at 184; Rooney v. North Dakota, 196 U. S., at 325. The inquiry looks to the challenged provision, and not to any special circumstances that may mitigate its effect on the particular individual. Dobbert v. Florida, supra, at 300; Lindsey v. Washington, supra, at 401; Rooney v. North Dakota, supra, at 325.
Under this inquiry, we conclude § 944.275 (1) is disadvantageous to petitioner and other similarly situated prisoners. On its face, the statute reduces the number of monthly gain-time credits available to an inmate who abides by prison rules and adequately performs his assigned tasks. By definition, this reduction in gain-time accumulation lengthens the period that someone in petitioner’s position must spend in prison. In Lindsey v. Washington, supra, at 401-402, we reasoned that “[i]t is plainly to the substantial disadvantage of petitioners to be deprived of all opportunity to receive a sentence which would give them freedom from custody and control prior to the expiration of the 15-year term.” Here, petitioner is similarly disadvantaged by the reduced
Respondent argues that our inquiry sbóuld not end at this point because Fla. Stat. § 944.275 (1) (1979) must be examined in conjunction with other provisions enacted with it. Brief for Respondent 18-26. Respondent claims that the net effect of all these provisions is increased availability of- gain-time deductions.
III
We find Fla. Stat. § 944.275 (1) (1979) void as applied to petitioner, whose crime occurred before its effective date. We therefore reverse the judgment of the Supreme Court of Florida and remand this case for further proceedings hot inconsistent with this opinion.
Rmersei ani remanded.
Fla. Stat. § 944.275 (1) (1979); Fla. Stat. § 944.27 (1) (1975). At the time of petitioner’s offense, Florida used the term “good-time,” to refer to extra “allowance for meritorious conduct or exceptional industry.” Fla. Stat. §944.29 (1975). The current Florida law adopts the phrase “gain-time” to apply to various kinds of time credited to reduce a prisoner’s prison term. See, e. g., Fla. Stat. § 944.275 (3) (1979).
The statute also provided for extra discretionary good time, based on other factors. See n. 18, infra.
There are some minor language differences in the new provision directing the correctional authorities at the Department of Offender Rehabilitation to make the gain-time deductions. The phrase “who has performed
No saving clause limiting the Act’s application was included. 1978 Fla. Laws, ch. 78-304. In applying the new schedule to prisoners like petitioner, the Secretary of the Department of Offender Rehabilitation relied on the legal opinion of the Attorney General of Florida. Fla. Op. Atty. Gen. 078-96 (1978).
“No State shall . . . pass any ... ex post facto Law.” U. S. Const., Art. I, § 10, cl. 1. The Florida Constitution similarly provides that "[n]o . . . ex post facto law . . . shall be passed.” Fla. Const., Art. I, § 10. See also Fla. Const., Art. X, § 9 (forbidding state legislature to enact a statute “affect [ing] [the] prosecution or punishment” for any offense previously committed).
Petitioner estimated that his “tentative expiration date” under Fla. Stat. § 944.27 (1975) would be December 31, 1984. App. 15a. The State calculated that application of the new gain-time provision starting with its effective date resulted in a projected release date of February 2, 1987. Id,, at 12a-13a. The State does not dispute petitioner’s contention that a difference of over two years is at stake.
The Florida court also distinguished cases from other jurisdictions striking down retrospective statutes that eliminated the allowance of gain time in specified situations, revised the entire scheme of criminal penalties, and extended the incarceration of juvenile offenders. 376 So. 2d, at 857 (distinguishing Dowd v. Sims, 229 Ind. 54, 95 N. E. 2d 628 (1950); Goldsworthy v. Hannifin, 86 Nev. 252, 468 P. 2d 350 (1970); In re Dewing, 19 Cal. 3d 54, 560 P. 2d 375 (1977); and In re Valenzuela, 275 Cal. App. 2d 483, 79 Cal. Rptr. 760 (1969)).
U. S. Const., Art. I, § 9, cl. 3; Art. I, § 10, cl. 1. “So much importance did the [Convention attach to [the ex post facto prohibition], that it is found twice in the Constitution.” Kring v. Missouri, 107 U. S. 221, 227 (1883).
“The enhancement of a crime, or penalty, seems to come within the same mischief as the creation of a crime or penalty” after the fact. Calder v. Bull, 3 Dall., at 397 (Paterson, J.). See also Fletcher v. Peck, 6 Cranch 87, 138 (1810) (“An ex post facto law is one which renders an act punishable in a manner in which it was not punishable when it was committed”).
The ex post facto prohibition also upholds the separation of powers by confining the legislature to penal decisions with prospective effect and the judiciary and executive to applications of existing penal law. Cf. Ogden v. Blackledge, 2 Cranch 272, 277 (1804).
See Jaehne v. New York, 128 U. S. 189, 194 (1888) (portion of legislation void which “ 'should endeavor to reach by its retroactive operation acts before committed’ ”) (quoting T. Cooley, Constitutional Limitations 215 (5th ed. 1883)).
We have also held that no ex post facto violation occurs if the change effected is merely procedural, and does “not increase the punishment nor change the ingredients of the offense or the ultimate facts necessary to establish guilt.” Hopt v. Utah, 110 U. S. 574, 590 (1884). See Dobbert v. Florida, 432 U. S. 282, 293 (1977). Alteration of a substantial right, however, is not merely procedural, even if the statute takes a seemingly, procedural form. Thompson v. Utah, 170 U. S. 343, 354-355 (1898); Kring v. Missouri, supra, at 232.
In using the concept of vested rights, Harris v. Wainwright, 376 So. 2d, at 856, the Florida court apparently drew on the test for evaluating retrospective laws in a civil context. See 2 C. Sands, Sutherland on Statutory Construction § 41.06 (4th ed. 1973); Hochman, The Supreme Court
Respondent here advances several theories that incorporate the vested rights approach. For example, respondent defends Fla. Stat. § 944.275 (1) (1979) on the ground that it does not take away any gain time that petitioner has already earned. Brief for Respondent 39-40. Although this point might have pertinence were petitioner alleging a due process violation, see Wolff v. McDonnell, 418 U. S. 539 (1974), it has no relevance to his ex post facto claim.
Durant v. United States, 410 F. 2d 689, 691 (CA1 1969); Adkins v. Bordenkircher, 262 S. E. 2d 885, 887 (W. Va. 1980); Goldsworthy v. Hannifin, 86 Nev., at 256-257, 468 P. 2d, at 352. See Murphy v. Commonwealth, supra, at 272, 52 N. E., at 507.
“The Constitution deals with substance, not shadows. Its inhibition was levelled at the thing, not the name. It intended that the rights of the citizen should be secure against deprivation for past conduct by legislative enactment, under any form, however disguised.” Cummings v. Missouri, 4 Wall. 277, 325 (1867).
See App. 12a-13a (Affidavit, Louie Wainwright, Secretary, Department of Corrections).
Even when the sentence is at issue, a law may be retrospective not only if it alters the length of the sentence, but also if it changes the maximum sentence from discretionary to mandatory. Lindsey v. Washington, 301 U. S. 397, 401 (1937). The critical question, as Florida has often acknowledged, is whether the new provision imposes greater punishment after the commission of the offense, not merely whether it increases a criminal sentence. Greene v. State, 238 So. 2d 296 (Fla. 1970); Higginbotham v. State, 88 Fla. 26, 31, 101 So. 233, 235 (1924); Herberle v. P. R. O. Liquidating Co,, 186 So. 2d 280, 282 (Fla. App. 1966). Thus in Dobbert v. Florida, 432 U. S. 282 (1977), we held there was no ex post
These other provisions permit discretionary grants of additional gain time for inmates who not only satisfy the good-conduct requirement, but who also deserve extra reward under designated categories. Under § 944.275 (3) (b) (1979), “special gain-time” of 1 to 60 days “may be granted” to an “inmate who does some outstanding deed, such as the saving of a life or assisting in the recapturing of an escaped inmate.” Another provision specifies that an inmate “may be granted” one to six extra gain-time days per month if he “faithfully performs the assignments given to him in a conscientious manner over and above that which may normally be expected of him” and also either shows “his desire to be a better than average inmate” or “diligently participates in an approved course of academic or vocation study.” § 944.275 (3) (a). An inmate may be awarded up to one gain-time credit for labor evaluated “on the basis of diligence of the inmate, the quality and quantity of work performed, and the skill required for performance of the work.” §944.275 (2) (b). Finally, for inmates unable to qualify under this previous provision due to “age, illness, infirmity, or confinement for reasons other than
In addition, few of the “new” sources for extra gain time do more than reiterate previous opportunities provided by statute or state regulation. Compare Fla. Stat. § 944.275 (3) (a) (1979) with §944.29 (1975) (“an extra good-time allowance for meritorious conduct or exceptional industry”); Fla. Stat. § 944575 (2) (b) (1979) with §944.27 (1975) (authorizing administrative rules governing additional gain time) and Fla. Admin. Code, Rule 10B-20.04 (1) (1975) (gain time for construction labor project); Fla. Stat. § 944.275 (3) (b) (1979) with Rule 10B-20.04 (2) (1975) (gain time for outstanding deed). Moreover, under the statute in existence when petitioner’s crime occurred, the Department of Corrections enjoyed greater discretion as to the reasons for awarding extra gain time, and as to the amount that could be awarded. See §944.29 (1975).
As respondent put it, “all any prisoner had to do . . . was to stay out of trouble.” Brief for Respondent 25. The monthly gain-time provision, both at the time of petitioner’s offense and now, directed that the
We need not give lengthy consideration to respondent’s claim that the challenged statute, Fla. Stat. §944.275 (1) (1979), is merely procedural because it does not alter the punishment prescribed for petitioner’s offense. Brief for Respondent 13, 17-18. This contention is incorrect, given the uncontested fact that the new provision reduces the quantity of gain time automatically available, and does not merely alter procedures for its allocation. See supra, Part II-A. Respondent’s reliance on a general statement of legislative intent unrelated to the gain-time provision, see Brief for Respondent 17 (citing Fla. Stat. §944.012 (6) (1979)), is also unpersuasive.
The proper relief upon a conclusion that a state prisoner is being
Concurring Opinion
with whom The Chief Justice joins, concurring in the judgment.
Were the Court writing on a clean slate, I would vote to affirm the judgment of the Supreme Court of Florida. My
The Court’s precedents, however, particularly Lindsey v. Washington, 301 U. S. 397 (1937), and the summary disposition of Greenfield v. Scafati, 277 F. Supp. 644 (Mass. 1967), aff’d, 390 U. S. 713 (1968), although not warmly persuasive for me, look the other way, and I thus must accede to the judgment of the Court.
Concurring Opinion
concurring in the judgment.
I find this case a close one. As the Court recently noted: “It is axiomatic that for a law to be ex post facto it must be more onerous than the prior law.” Dobbert v. Florida, 432 U. S. 282, 294 (1977). Petitioner was clearly disadvantaged by the loss of the opportunity to accrue gain time through good conduct pursuant to the 5-10-15 formula when the legislature changed to a 3-6-9 formula. The new statute, however, also afforded petitioner opportunities not available
I am persuaded in this case, albeit not without doubt, that the new statute is more onerous than the old, because the amount of gain time which is accrued automatically solely through good conduct is substantially reduced, and this reduction is not offset by the availability of discretionary awards of gain time for activities extending beyond simply “staying out of trouble.” This is not to say, however, that no reduction in automatic gain time, however slight, can ever be offset by increases in the availability of discretionary gain time, however great, or that reductions in the amount of credit for good conduct can never be offset by increases in the availability of credit which can be earned by more than merely good conduct.
Since the availability of new opportunities for discretionary gain time and the reduction in the amount of automatic gain time can be viewed as a total package, it must be empha
While the Court points out that gain time was available under the old scheme beyond the 5-10-15 formula, ante, at 35, n. 19,1 am not convinced that the new sources simply “reiterate [d]” opportunities previously available. There is, for example, no dispute that several of the new sources of gain time have no analogues in the previous statutory or administrative scheme. See, e. g., Fla. Stat. §944.275 (2) (e) (1979) (up to six days of gain time per month because of age, illness, infirmity, or confinement for reasons other than discipline); § 944.275 (3) (a) (up to six days per month for inmates who diligently participate in an approved course of academic or vocational study). Other new statutory provisions which had only administrative counterparts improved substantially on the availability of gain time. For example, under the old administrative system, an inmate could receive from 1 to 15 days of gain time per month for constructive labor, Fla. Admin. Code, Rule 10B-20.04 (1) (1975), while under the new statutory scheme, an inmate can receive up to 1 day of gain time for every day of constructive labor, Fla. Stat. § 944.275 (2) (b) (1979).
Reference
- Full Case Name
- Weaver v. Graham, Governor of Florida
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- 2467 cases
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- Published