Connecticut Board of Pardons v. Dumschat
Opinion of the Court
delivered the opinion of the Court.
The question presented is whether the fact that the Connecticut Board of Pardons has granted approximately three-fourths of the applications for commutation of life sentences creates a constitutional “liberty interest” or “entitlement” in life-term inmates so as to require that Board to explain its reasons for denial of an application for commutation.
In 1964, respondent Dumschat was sentenced to life imprisonment for murder. Under state law, he was not eligible for parole until December 1983.
“(a) Jurisdiction over the granting of, and the authority to grant, commutations of punishment or releases, conditioned or absolute, in the case of any person convicted of any offense against the state and commutations from the penalty of death shall be vested in the board of pardons.
“(b) Said board shall have authority to grant pardons, conditioned or absolute, for any offense against the state at any time after the imposition and before or after the service of any sentence.”
After hearing testimony from officials of the Board of Pardons and the Board of Parole, the District Court concluded (a) that Dumschat had a constitutionally protected liberty entitlement in the pardon process, and (b) that his due process rights had been violated when the Board of Pardons failed to give “a written statement of reasons and facts relied on” in denying commutation. 432 F. Supp. 1310, 1315 (1977). The court relied chiefly on a showing that “at least 75 percent of all lifers received some favorable action from the pardon board prior to completing their minimum sentences” and that virtually all of the pardoned inmates were promptly paroled.
On remand, the Court of Appeals reaffirmed its original decision, 618 F. 2d 216 (CA2 1980), stating:
“In marked contrast [to the Nebraska statute considered in Oreenholtz], Connecticut’s pardons statute contains neither a presumption in favor of pardon nor a list of factors to be considered by the Board of Pardons. Instead, the statute grants the board unfettered discretion in the exercise of its power. The statute offers only the 'mere hope’ of pardon; it does not create a legitimate expectation of freedom and therefore does not implicate due process.” Id., at 219 (citation omitted).
The Court of Appeals also noted that the District Court’s holding that the mere possibility of a pardon creates a constitutionally cognizable liberty interest or entitlement was “no longer tenable” in light of Greenholtz. 618 F. 2d, at 221; see 442 U. S., at 8-11. However, the Court of Appeals then proceeded to conclude that “[t]he overwhelming likelihood that Connecticut life inmates will be pardoned and released before they complete their minimum terms gives them a constitutionally protected liberty interest in pardon pro
II
A
A state-created right can, in some circumstances, beget yet other rights to procedures essential to the realization of the parent right. See Meachum v. Fano, 427 U. S. 215, 226 (1976); Wolff v. McDonnell, 418 U. S. 539, 557 (1974). Plainly, however, the underlying right must have come into existence before it can trigger due process protection. See, e. g., Leis v. Flynt, 439 U. S. 438, 442-443 (1979).
In Greenholtz, far from spelling out any judicially divined “entitlement,” we did no more than apply the unique Nebraska statute. We rejected the claim that a constitutional entitlement to release from a valid prison sentence exists in-
“There is no constitutional or inherent right of a convicted person to be conditionally released before the expiration of a valid sentence. The natural desire of an individual to be released is indistinguishable from the initial resistance to being confined. But the conviction, with all its procedural safeguards, has extinguished that liberty right: ‘[G]iven a valid conviction, the criminal defendant has been constitutionally deprived of his liberty.’ ” 442 U. S., at 7 (emphasis supplied; citation omitted).
Greenholtz pointedly distinguished parole revocation and probation revocation cases,
A decision whether to commute a long-term sentence generally depends not simply on objective factfinding, but also on purely subjective evaluations and on predictions of future behavior by those entrusted with the decision. A commutation decision therefore shares some of the characteristics of a decision whether to grant parole. See Greenholtz, 442 U. S., at 9-10. Far from supporting an “entitlement,” Greenholtz therefore compels the conclusion that an inmate has “no constitutional or inherent right” to commutation of his sentence.
“[T]he State Board has created an unwritten common law of sentence commutation and parole acceleration for Connecticut life inmates. ... In effect, there is an unspoken understanding between the State Board and inmates. The terms are simple: If the inmate cooperates with the State, the State will exercise its parole power on the inmate’s behalf. Both the State and the inmate recognize those terms. Each expects the other to abide by them.” Brief for Respondents 17-18.
This case does not involve parole, and respondents’ argument wholly misconceives the nature of a decision by a state to commute the sentence of a convicted felon. The petition in each case is nothing more than an appeal for clemency. See Schick v. Reed, 419 U. S. 256, 260-266 (1974). In terms of the Due Process Clause, a Connecticut felon’s expectation that a lawfully imposed sentence will be commuted or that he .will be pardoned is no more substantial than an inmate’s expectation, for example, that he will not be transferred to another prison;
The Court of Appeals correctly recognized that Connecticut has conferred “unfettered discretion” on its Board of Pardons, but — paradoxically—then proceeded to fetter the Board with a halter of constitutional “entitlement.” The statute imposes no limit on what procedure is to be followed, what evidence may be considered, or what criteria are to be applied by the Board. Respondents challenge the Board’s procedure precisely because of “the absence of any apparent standards.” Brief for Respondents 28. We agree that there are no explicit standards by way of statute, regulation, or otherwise.
This contrasts dramatically with the Nebraska statutory procedures in Greenholtz, which expressly mandated that the Nebraska Board of Parole “shall” order the inmate’s release “unless” it decided that one of four specified reasons for denial was applicable. 442 U. S., at 11. The Connecticut commutation statute, having no definitions, no criteria, and no mandated “shalls,” creates no analogous duty or constitutional entitlement.
It is clear that the requirement for articulating reasons for denial of parole in Greenholtz derived from unique mandates of the Nebraska statutes. Thus, although we noted that under the terms of the Nebraska statute, the inmates’ expectancy of parole release “is entitled to some measure of constitutional protection,” we emphasized that
“this statute has unique structure and language and thus whether any other state statute provides a protectible entitlement must be decided on a case-by-case basis.” Id., at 12.
Moreover, from the standpoint of a reasons requirement, there is a vast difference between a denial of parole — particularly on the facts of Greenholtz — and a state’s refusal to commute a lawful sentence. When Nebraska statutes directed that inmates who are eligible for parole “shall” be released “unless”
We hold that the power vested in the Connecticut Board of Pardons to commute sentences conferred no rights on respondents beyond the right to seek commutation.
Reversed.
A Connecticut inmate serving a life sentence, imposed before 1971, that does not have a specified minimum term must serve a minimum of 25 years in prison, less a maximum of 5 years’ good-time credits, unless the Board of Pardons commutes the sentence. See Conn. Gen. Stat. §54r-125 (1981).
Effective in 1971, the sentencing judge must specify a minimum term, which may be as low as 10 years or as high as 25 years. Conn. Gen. Stat. § 53a-35 (c)(1) (1981).
The Board of Pardons also has the power to grant immediate release in the form of an absolute pardon, but according to the District Court, that power has not been employed in recent history. 432 F. Supp. 1310, 1313 (Conn. 1977).
The District Court noted that by virtue of this statute, Connecticut “stands outside the traditional scheme of clemency through application to the state’s chief executive.” The Governor of Connecticut has only the power to grant temporary reprieves. Id., at 1312.
Parole determinations are made by the Board of Parole, a separate body. This case does not involve parole procedure; it involves only denials of commutations.
Of the inmates whose minimum sentences have been commuted by the Board of Pardons, the Board of Parole has paroled approximately 90% during the first year of eligibility, and all have been paroled within a few years. App. 33, 39. The Chairman of the Board of Parole testified that “no more than 10 or 15 per cent” of Connecticut’s life inmates serve their 20-year minimum terms. Id., at 31.
On the day that the District Court entered its declaratory judgment, the Board commuted Dumschat’s sentence to time served and granted him immediate release. The Board then moved to dismiss the suit as moot. The District Court denied the Board’s motion and permitted three other inmates to intervene. Those inmates were serving life terms for murder and had been denied commutation without statements of reasons. Two of them are still serving their sentences. According to respondents, there are approximately 35 persons in the certified class, which consists of all
In the cited passage of Greenholtz, we said: “The Nebraska [statutory) procedure affords an opportunity to be heard, and when parole is denied it informs the inmate in what respects he falls short of qualifying for parole; this affords the process that is due under these circumstances. The Constitution does not require more.” 442 U. S., at 16.
The Court of Appeals remarked that “[o]nly after this period has elapsed are lifers entitled to due process safeguards in the pardon process.” 618 F. 2d, at 221. Because it believed that every life inmate who is denied a pardon is constitutionally entitled to a statement of reasons, the District Court did not make such a determination prior to the decision of the Court of Appeals that is now before us. Id., at 220-221; see App. to Pet. for Cert. 25a.
Gagnon v. Scarpelli, 411 U. S. 778 (1973); Morrissey v. Brewer, 408 U. S. 471 (1972).
Respondents have not raised any equal protection claim.
See Meachum v. Fano, 427 U. S. 215, 228 (1976).
Concurring Opinion
concurring.
I join the Court’s opinion. Although respondents have demonstrated a statistical likelihood of obtaining the relief they request, that is not enough to create a protectible liberty interest. Rather, respondents must also show — by reference to statute, regulation, administrative practice, contractual arrangement or other mutual understanding — that particularized standards or criteria guide the State’s decisionmakers. See Leis v. Flynt, 439 U. S. 438, 442 (1979); Perry v. Sindermann, 408 U. S. 593, 601 (1972); Board of Regents v. Roth, 408 U. S. 564, 577 (1972). The structure of the State’s decisionmaking process is thus as significant as the likely result of that process. Respondents have not shown that the Board is required to base its decisions on objective and defined criteria. As in Meachum, v. Fano, 427 U. S. 215, 228 (1976), the decisionmaker can deny the requested relief for any constitutionally permissible reason or for no reason at all. Accordingly, I agree that respondents have no protectible liberty interest in a pardon.
Concurring Opinion
concurring.
I join the Court’s opinion and write separately only to observe that neither Wolff v. McDonnell, 418 U. S. 539 (1974), nor Meachum v. Fano, 427 U. S. 215 (1976), suggested that state law is the only source of a prisoner’s liberty worthy of
Meachum v. Fano also pointed out that “the convicted felon does not forfeit all constitutional protections by reason of his conviction and confinement in prison. He retains a variety of important rights that the courts must be alert to protect.” 427 U. S., at 225. The Court went on to hold that a state prisoner has no federal constitutional right protecting him against administrative transfers to another state prison. Neither did state law purport to create a liberty interest entitled to protection under the Fourteenth Amendment. Of course, Justice Stevens was in dissent in that case; but even there he recognized that the Court’s opinion first addressed whether the right asserted was one of the liberty interests retained by convicted felons. We decided that it was not; he thought that it was. But neither Wolff nor Meachum is fairly characterized as suggesting that all liberty interests entitled to constitutional protection must be found in state law.
Dissenting Opinion
dissenting.
“Liberty from bodily restraint always has been recognized as the core of the liberty protected by the Due Process Clause from arbitrary governmental action.” Greenholtz v. Nebraska Penal Inmates, 442 U. S. 1, 18 (opinion of Powell, J.).
To some of us, it is “self-evident” that individual liberty has far deeper roots.
If the conviction were effective to terminate the defendant’s liberty, he would thereafter retain no constitutional right to procedural safeguards against arbitrary action. The process of sentencing, parole release, parole revocation, and ultimate discharge could all be totally arbitrary. But no State asserts such total control over the convicted offender, and this Court has unequivocally held that the Constitution affords protection at different stages of the postconviction
This case involves the State of Connecticut’s process for determining when a relatively small group of serious offenders will be released from custody. Routinely that process includes three determinations: the judge imposes a life sentence; the Board of Pardons in due course commutes that sentence; and finally the Board of Parole discharges the prisoner from custody. Each of these three decisions is a regular and critical component of the decisionmaking process employed by the State of Connecticut to determine the magnitude of its deprivation of the prisoner’s liberty.
As Justice Marshall has pointed out, “the obligation to justify a decision publicly would provide the assurance, critical to the appearance of fairness that the Board’s decision is not capricious,” see Greenholtz, 442 U. S., at 40 (dissenting opinion). I therefore believe the Court of Appeals correctly concluded that in this context a brief statement of reasons is an essential element of the process that is due these respondents.
Accordingly, I respectfully dissent.
“It is self-evident that all individuals possess a liberty interest in being free from physical restraint.” Greenholtz v. Nebraska Penal Inmates, 442 U. S. 1, 23 (Marshall, J., dissenting).
“If man were a creature of the State, the analysis would be correct. But neither the Bill of Rights nor the laws of sovereign States create the liberty which the Due Process Clause protects. The relevant constitutional provisions are limitations on the power of the sovereign to infringe on the liberty of the citizen. The relevant state laws either create property rights, or they curtail the freedom of the citizen who must live in an ordered society. Of course, law is essential to the exercise and enjoyment of individual liberty in a complex society. But it is not the source of liberty, and surely not the exclusive source.
“I had thought it self-evident that all men were endowed by their Creator with liberty as one of the cardinal unalienable rights. It is that basic freedom which the Due Process Clause protects, rather than the particular rights or privileges conferred by specific laws or regulations.” Meachum v. Fano, 427 U. S. 215, 230 (Stevens, J., dissenting).
See Meachum v. Fano, supra, at 231-233.
“The Court today, however, concludes that parole release and parole revocation 'are quite different,’ because 'there is a . . . difference between losing what one has and not getting what one wants,’ ante, at 9, 10. I am unpersuaded that this difference, if indeed it exists at all, is as significant as the Court implies. Release on parole marks the first time when the severe restrictions imposed on a prisoner’s liberty by the prison regimen may be lifted, and his behavior in prison often is molded by his hope and expectation of securing parole at the earliest time permitted by law. Thus, the parole-release determination may be as important to the prisoner as some later, and generally unanticipated, parole-revocation decision. Moreover, whatever difference there may be in the subjective reactions of prisoners and parolees to release and revocation determinations is not dis-positive. From the day that he is sentenced in a State with a parole system, a prisoner justifiably expects release on parole when he meets the standards of eligibility applicable within that system. This is true even if denial of release will be a less severe disappointment than revocation of parole once granted.” Greenholtz v. Nebraska Penal Inmates, supra, at 19-20 (opinion of Powell, J.).
Thus the Court has held that the Due Process Clause protects the prisoner at the sentencing stage, Mempa v. Rhay, 389 U. S. 128, in probation revocation proceedings, Gagnon v. Scarpelli, 411 U. S. 778, and in parole revocation proceedings, Morrissey v. Brewer, 408 U. S. 471. Moreover, the Constitution has been applied to other issues affecting prisoners. See, e. g., Bounds v. Smith, 430 U. S. 817 (right to assistance in the filing of legal papers); Pell v. Procunier, 417 U. S. 817, 822 (First Amendment rights); Cruz v. Beto, 405 U. S. 319 (right to practice religious faith); Wilwording v. Swenson, 404 U. S. 249 (right to file petition for writ of habeas corpus); Cooper v. Pate, 378 U. S. 546; (right to purchase religious materials); Ex parte Hull, 312 U. S. 546 (right to petition federal court for writ of habeas corpus). Cf. Weems v. United States, 217 U. S. 349 (sentence may violate Eighth Amendment).
As the Court recognizes, ante, at 461, at least 75% of all life inmates receive some favorable action from the Board of Pardons. The Board of Parole paroles approximately 90% of these inmates during the first year after the Board of Pardons commutes their minimum sentences, and all are paroled within a few years. Ante, at 461, n. 4.
The fact that the petitioner agency is given the title “Board of Pardons” does not, of course, make its work the equivalent of the exercise by a chief executive of the occasional totally discretionary power to grant pardons in isolated eases. As the record in this case makes clear, the petitioner com
Reference
- Full Case Name
- CONNECTICUT BOARD OF PARDONS Et Al. v. DUMSCHAT Et Al.
- Cited By
- 719 cases
- Status
- Published