In Re the Personal Restraint of McNeal
In Re the Personal Restraint of McNeal
Opinion of the Court
This personal restraint petition presents a single issue of first impression in Washington: what level of
FACTS
McNeal filed a personal restraint petition on April 25, 1997, seeking relief from the revocation of his community custody. He has served the time imposed as a result of the revocation, and the case is moot as applied to him because no relief can be provided. But we have previously ruled that the issue is of continuing and substantial public interest and decided to address it. We do so now. Although the issue is moot as applied to McNeal, we briefly recite the facts of his case to provide context for the examination of the question presented.
McNeal received written notice that a disciplinary hearing was scheduled for December 24, 1996, for three violations of the conditions of his community custody. The notice listed the alleged violations and the dates they occurred. McNeal was also given a notice of rights and waiver of hearing form. This notice informed McNeal of his right to a hearing within five days and farther advised:
You have the right to an attorney. Such representation is limited to advising the offender of his/her rights to remain silent and does not include the right to act as an advocate throughout the hearing.
You have the right to present statements on your own behalf, to ask witnesses to be present, to have access to non-confidential reports, and have staff assistance when necessary*620 Unauthorized persons may he excluded from the hearing.
McNeal and his community corrections officer testified at the hearing. The State asserts that evidence offered included Spokane County Sheriff’s reports and Washington State Patrol Laboratory reports. The hearing officer found McNeal guilty of all violations charged and sanctioned him with 300 days of confinement.
In an affidavit attached to his personal restraint petition, McNeal states that at his hearing he asked: (1) to present four witnesses on his own behalf; (2) for counsel to represent him; (3) that the hearing be recorded; and (4) that he be allowed to see the evidence against him. He says all these requests were denied and claims that the hearing was not held as scheduled but several days later, violating his right to a hearing within five days. In a reply to the Department of Correction’s (DOC) response, he claims that all the text of the sheriff’s reports was omitted and produces copies. The State has presented no evidence that McNeal was allowed to see the text of the reports at the time of the hearing. The record is unclear about the date the hearing took place.
DISCUSSION
In Morrissey,
A. Statutory Provisions
Community placement is a period during which an offender is subject to the conditions of community custody and/or postrelease supervision.
Community custody is defined in RCW 9.94A.030(4):
“Community custody” means that portion of an inmate’s sentence of confinement in lieu of earned early release time or imposed pursuant to RCW 9.94A.120 (6), (8), or (10) served in the community subject to controls placed on the inmate’s movement and activities by the department of corrections.
In RCW 9.94A.120(6)(b), the Legislature requires that a one-year community custody term accompany the special drug offender sentencing alternative. Under subsection (8)(a)(ii)(A), if the offender qualifies for the special sex offender sentencing alternative, the court must place the offender on community custody for the length of a suspended sentence or three years, whichever is greater. Subsection (10) (a) mandates the addition of a three-year community
Community custody is in lieu of earned early release. Thus, although an individual sentenced to community custody may earn early release time for good behavior, it does not reduce his or her sentence as normally occurs under RCW 9.94A.150.
Mandatory as well as discretionary conditions imposed upon those sentenced to community placement are stated in various provisions, but for those sentenced under RCW 9.94A. 120(9) or (10), the mandatory conditions are found in RCW 9.94A.120(9)(b):
(i) The offender shall report to and be available for contact with the assigned community corrections officer as directed;
(ii) The offender shall work at department of corrections-approved education, employment, and/or community service;
(iii) The offender shall not possess or consume controlled substances except pursuant to lawfully issued prescriptions;
(iv) The offender shall pay supervision fees as determined by the department of corrections;
(v) The residence location and living arrangements are*623 subject to the prior approval of the department of corrections during the period of community placement; and
(vi) The offender shall submit to affirmative acts necessary to monitor compliance with the orders of the court as required by the department.
The discretionary conditions are listed in RCW 9.94A-.120(9)(c):
(i) The offender shall remain within, or outside of, a specified geographical boundary;
(ii) The offender shall not have direct or indirect contact with the victim of the crime or a specified class of individuals;
(iii) The offender shall participate in crime-related treatment or counseling services;
(iv) The offender shall not consume alcohol;
(v) The offender shall comply with any crime-related prohibitions; or
(vi) For an offender convicted of a felony sex offense against a minor victim after June 6, 1996, the offender shall comply with any terms and conditions of community placement imposed by the department of corrections relating to contact between the sex offender and a minor victim or a child of similar age or circumstance as a previous victim.
RCW 9.94A.205 addresses violations of conditions imposed on those in community custody:
(1) If an inmate violates any condition or requirement of community custody, the department [of corrections] may transfer the inmate to a more restrictive confinement status to serve up to the remaining portion of the sentence, less credit for any period actually spent in community custody or in detention awaiting disposition of an alleged violation and subject to the limitations of subsection (2) of this section.[10 ]
(3) If an inmate is accused of violating any condition or*624 requirement of community custody, he or she is entitled to a hearing before the department prior to the imposition of sanctions. The hearing shall be considered as inmate disciplinary proceedings and shall not be subject to chapter 34.05 RCW[11 ] The department shall develop hearing procedures and sanctions[12 ]
Procedures for prison discipline appear in chapter 137-28 WAC.
B. RCW 9.94A.205(3) Does Not Limit the Due Process Required for Community Custody Revocation Hearings
The State asserts that under the plain language of RCW 9.94A.205(3)—“[t]he hearing shall be considered as inmate disciplinary proceedings”—a community custody revocation is to be treated as a prison disciplinary proceeding. It argues that the Legislature did not intend to give individuals in community custody the same liberty interest as individuals on parole. Thus, the State argues, a community custody revocation hearing requires only the procedural protections established in Wolff
In further support of this contention, the State points to the Legislature’s choice to define community custody in terms of an inmate’s sentence, which is served in the community. By statute, inmates are those committed to the custody of DOC and include not only the full-time residents of correctional institutions but also those “released on furlough, work release, or community custody.”
Finally, the State finds support in the Legislature’s separate treatment of community custody violations. RCW 9.94A.200 provides for noncompliance with conditions or requirements of sentences generally. The court may impose further punishment for violations, and the State has the burden of proving noncompliance by a preponderance of the evidence.
We agree with McNeal that while RCW 9.94A.205(3) grants authority to DOC to carry out the hearing and impose sanctions, it does not authorize DOC to afford less due process than is constitutionally required. McNeal also points to the Legislature’s directive to DOC that it develop hearing procedures and sanctions.
We conclude that, although the Legislature clearly meant to characterize community custody revocation hearings as inmate disciplinary proceedings, giving DOC authority to conduct the hearings and impose sanctions on individuals who are still in fact in DOC custody, the Legislature did not intend that DOC afford less process than is constitutionally required. The Legislature specifically directed DOC to develop procedures. Presumably, it intended that those procedures comply with constitutional requirements.
We must reject the State’s argument that Wolff controls
The Wolff Court was especially sensitive to the interests of the state in maintaining order and safety in a prison environment. For example, when discussing a prisoner’s right to call witnesses, most of whom would be prisoners or prison authorities, the Court considered the tensions between inmates, and between inmates and prison authorities, and the disruption calling them could cause. In contrast, the procedures afforded parolees or probationers “do not themselves threaten other important state interests, parole officers, the police, or witnesses—at least no
What process is due depends on the nature of the governmental function and the private interest affected.
C. The Parolee’s Liberty Interest and Due Process Requirements Under Morrissey
Morrissey held that the Fourteenth Amendment requires the state to afford a parolee due process before revoking parole.
The liberty of a parolee enables him to do a wide range of things open to persons who have never been convicted of any crime. . . . Subject to the conditions of his parole, he can be gainfully employed and is free to be with family and friends and to form the other enduring attachments of normal life.*628 Though the State properly subjects him to many restrictions not applicable to other citizens, his condition is very different from that of confinement in a prison. He may have been on parole for a number of years and may be living a relatively normal life at the time he is faced with revocation. The parolee has relied on at least an implicit promise that parole will be revoked only if he fails to live up to the parole conditions.
We see, therefore, that the liberty of a parolee, although indeterminate, includes many of the core values of unqualified liberty and its termination inflicts a “grievous loss” on the parolee and often on others.[25 ]
In determining what process is due, the Court recognized that the state has an “overwhelming” interest in returning a parolee to prison without the burdens of a trial-like hearing for violating parole conditions.
(a) written notice of the claimed violations of parole; (b) disclosure to the parolee of evidence against him; (c) opportunity to be heard in person and to present witnesses and documentary evidence; (d) the right to confront and cross-examine adverse witnesses (unless the hearing officer specifically finds good cause for not allowing confrontation); (e) a “neutral and detached” hearing body such as a traditional parole board, members of which need not be judicial officers or*629 lawyers; and (f) a written statement by the factfinders as to the evidence relied on and reasons for revoking parole.[28 ]
The Morrissey Court explicitly stated that it did not reach the question whether a parolee is entitled to the assistance of retained or appointed counsel.
D. Morrissey Applies to Early-Release Programs That Resemble Parole
In Young v. Harper
The Young Court first looked to the nature of parole: “ ‘The essence of parole is release from prison, before the completion of sentence, on the condition that the prisoner abide by certain rules during the balance of the sentence.’ ”
The Court rejected the state’s attempts to distinguish the two programs. The state first argued that the programs had different purposes: the preparóle program was designed to reduce prison overcrowding while parole was to help
The state also argued that released preparolees remained in the custody of DOC, but parolees did not, and preparolees were subject to DOC disciplinary proceedings in the event of a violation of conditions. But the Court noted that both were required to report regularly to their parole officers and were subject to the custody of DOC in the event of a condition or parole violation. Thus, one group was as much “in custody” as the other. Another difference the state pointed to was that parolees who “escaped” were not subject to further prosecution but only to revocation of parole, while an escaped preparolee was subject to prosecution as a prison escapee. But the Court rejected this argument as well. “That the punishment for failure to abide by one of the conditions of his liberty was potentially greater for a preparolee than for a parolee did not itself diminish that liberty.”
After examining the similarities between the preparóle program and parole, the Young Court concluded that the preparóle program was a kind of parole. Thus, before their conditional liberty could be revoked, preparolees were entitled to the protections that the Morrissey Court provided for parolees.
E. The Liberty Interest of an Individual in Community Custody Closely Resembles That of the Parolee
There are several reasons why an individual in community custody must be afforded the procedural protections established in Morrissey before his or her conditional liberty may be terminated. First, Morrissey’s description of a parolee’s interest in continued liberty—the ability to be employed, be with family and friends, and to lead a
Second, the Morrissey procedures do not interfere with the State’s interests. The State has not explained, nor is it evident, how its interests in punishment and returning an individual to confinement if he or she violates a condition of community custody is harmed by affording the Morrissey protections.
Third, the State argues that the additional Morrissey procedures will burden it because the hearings may take place in jails. Thus, security and logistical concerns militate against permitting witnesses into a jail’s secure environment. But, as the Wolff Court discussed, the potential security problems result primarily from who the witnesses are because disruption arises from other inmates or guards providing evidence for or against the inmate charged.
We reject the State’s arguments that community custody is not like parole because the differences the State raises do not affect that liberty interest. The first difference the State points to is that community placement is a punishment and is imposed in addition to the period of confinement.
But the focus of the Ross court was different from the factors we must examine here. It was looking at the right of a defendant to be informed of his sentence. In determining whether Morrissey applies, we must compare the liberty interest of the individual in community custody with that of a parolee. The fact that community placement is punishment in addition to a defendant’s term of confinement does not change the nature of the liberty interest of the individual in community custody or distinguish it from that of the parolee.
The State also argues that community custody has a different purpose from parole. The purpose of parole is generally rehabilitative, to help reintegrate the inmate into society.
But, again, the nature of the individual’s liberty interest is not altered because the State now has a different primary purpose for community custody than it had for pa
The State also argues that the inmate, unlike the parolee, is still in the custody of DOC. But, like the Young Court, we reject this argument as a distinction without a difference.
Finally, courts of other jurisdictions have also held that the Morrissey due process protections apply to community custody revocation hearings.
We emphasize that our holding here is limited to community custody revocation hearings and does not apply to programs like work release, halfway houses and other programs where the inmate remains confined in part in a state facility. We note with approval a line of cases that distinguish situations in which an individual’s liberty inter
F. Due Process Does Not Require Representation by Counsel
In Gagnon v. Scarpelli,
The focus of the Scarpelli opinion is on the rehabilitative goal of probation and parole. Parole officers, who are normally concerned with successfully rehabilitating the parolee within the community, sometimes nevertheless recommend that parole be revoked.
G. McNeal Was Not Afforded the Due Process Protections Established in Morrissey
The State argues that even if Morrissey applies, McNeal was afforded those due process protections. We disagree. McNeal did not get a copy of the sheriff’s report or have the opportunity to present witnesses. The State asserts that he was afforded the right to present witnesses because he could have submitted his witnesses’ statements by affidavit, and he simply failed to take advantage of his rights. But Morrissey does not limit the right to present witnesses
CONCLUSION
We hold that an individual facing community custody revocation is entitled to the procedural protections established in Morrissey, but counsel is not required. Because McNeal’s hearing did not comply with Morrissey, the personal restraint petition is granted.
Kennedy, C.J., concurs.
408 U.S. 471, 92 S. Ct. 2593, 33 L. Ed. 2d 484 (1972).
408 U.S. 471.
520 U.S. 143, 117 S. Ct. 1148, 137 L. Ed. 2d 270 (1997).
All of our cites are to the statutes in effect at the time this case arose; that is the 1998 version.
418 U.S. 539, 94 S. Ct. 2963, 41 L. Ed. 2d 935 (1974).
RCW 9.94A.030(5).
Id.
RCW 9.94A.150(1) provides: “Except as otherwise provided for in subsection (2) of this section, the term of the sentence of an offender committed to a correctional facility operated by the department, may he reduced by earned early release time in accordance with procedures that shall be developed and promulgated by the correctional agency having jurisdiction in which the offender is confined. The earned early release time shall be for good behavior and good performance, as determined by the correctional agency having jurisdiction.”
Because community custody is a subset of community placement, these conditions apply to those sentenced to community custody.
Subsection (2) applies to sex offenders in community custody.
The Administrative Procedure Act.
(Emphasis and footnotes added.)
418 U.S. 539.
RCW 72.09.015(11). The Legislature has labeled individuals in community custody as “inmates” even though the traditional definition of inmate includes only those in total confinement. Black’s defines inmate as a “person confined in a prison, hospital, or other institution.” Black’s Law Dictionary 791 (7th ed. 1999). Webster’s defines inmate as “a person confined or kept in an institution (as an asylum, prison, or poorhouse).” Webster’s Third New International Dictionary 1165 (1986).
RCW 9.94A.200(1) and (3)(c).
RCW 9.94A.205(3).
Id.
Chapter 137-28 WAC.
See generally 418 U.S. 539.
Wolff, 418 U.S. at 560.
Id. at 561.
Id.
Morrissey, 408 U.S. at 481; see also Mathews v. Eldridge, 424 U.S. 319, 334-35, 96 S. Ct. 893, 47 L. Ed. 2d 18 (1976) (“More precisely, our prior decisions indicate that identification of the specific dictates of due process generally requires consideration of three distinct factors: First, the private interest that will be affected by the official action; second, the risk of an erroneous deprivation of such interest through the procedures used, and the probable value, if any, of additional or substitute procedural safeguards; and finally, the Government’s interest, including the function involved and the fiscal and administrative burdens that the additional or substitute procedural requirement would entail.”).
408 U.S. at 482.
Id. (footnotes omitted).
Id. at 483.
Id. at 483-87.
Id. at 489; In re Personal Restraint of Boone, 103 Wn.2d 224, 231, 691 P.2d 964 (1984).
408 U.S. at 489.
520 U.S. 143, 147, 117 S. Ct. 1148, 137 L. Ed. 2d 270 (1997).
Id. (quoting Morrissey, 408 U.S. at 477).
Young, 520 U.S. at 147-48.
Id. at 152.
Morrissey, 408 U.S. at 477.
418 U.S. at 562.
State v. Ross, 129 Wn.2d 279, 286, 916 P.2d 405 (1996).
Id.
Young, 520 U.S. at 149.
Boss, 129 Wn.2d at 286.
Id.
520 U.S. at 148-49.
Id. at 150.
In re Personal Restraint of Caudle, 71 Wn. App. 679, 683, 863 P.2d 570 (1993) (Sweeney, J., concurring).
See, e.g., Cox v. State, 706 N.E.2d 547, 549 (Ind. 1999) (the due process requirements for probation revocations apply to revocation of community corrections placement); Bentley v. State, 938 S.W.2d 706, 714 (Term. Crim. App. 1996) (community corrections and probation closely resemble each other and require the same revocation procedures).
See, e.g., Asquith v. Department of Corrections, 186 F.3d 407, 411 (3d Cir. 1999) (distinguisMng Young and Morrissey and holding in a suit under 42 U.S.C. § 1983 that an individual did not have a liberty interest in continuing participation in a highly regulated and restrictive work-release program); Lawson v. Zavaras, 966 P.2d 581, 586 (Colo. 1998) (distinguishing residential from nonresidential programs and holding that a prisoner work-release program did not provide the substantial freedom required to give rise to a protected liberty interest); Carter v. McCaleb, 29 F. Supp. 2d 423, 428 (W.D. Mich. 1998) (another section 1983 suit distinguishing a work-release program from the preparóle program in Young because the work-release participant did not keep his own residence, was imprisoned during nonwork hours, and was not free from the incidents of prison life).
411 U.S. 778, 790, 93 S. Ct. 1756, 36 L. Ed. 2d 656 (1973).
Scarpelli, 411 U.S. at 785.
Id. at 785-86.
Ross, 129 Wn.2d at 286.
Morrissey, 408 U.S. at 481; Mathews, 424 U.S. at 334-35.
McNeal also argues on appeal that he was denied his right to confront and cross-examine adverse witnesses, but it does not appear from the record that he made that request at the hearing. Under Morrissey, this right is discretionary with the hearing officer who may deny the request for a specific witness for good cause. 408 U.S. at 489.
Dissenting Opinion
(dissenting in part) — I dissent with part F of the opinion because the majority misinterprets Gagnon v. Scarpelli, 411 U.S. 778, 93 S. Ct. 1756, 36 L. Ed. 2d 656 (1973), and fails to recognize that due process requires counsel in certain community custody revocation hearings. I would hold that Scarpelli applies to community custody revocation hearings and that the need for counsel must be made on a case-by-case basis in the exercise of the sound discretion of the appropriate DOC decision maker.
In performing the balancing required by a due process analysis, the Scarpelli court takes as its starting point the rehabilitative goals of probation and parole. 411 U.S. at 783. The Court recognized that where the parole officer recommends revocation of parole, a position at odds with that of the parolee, due process requires that the conflict
The state argued in Scarpelli that counsel was not required at parole revocation hearings because the Morrissey protections were sufficient to safeguard these interests. The Court disagreed:
What this argument overlooks is that the effectiveness of the rights guaranteed by Morrissey may in some circumstances depend on the use of skills which the probationer or parolee is unlikely to possess. Despite the informal nature of the proceedings and the absence of technical rules of procedure or evidence, the unskilled or uneducated probationer or parolee may well have difficulty in presenting his version of a disputed set of facts where the presentation requires the examining or cross-examining of witnesses or the offering or dissecting of complex documentary evidence.
Scarpelli, 411 U.S. at 786-87. It was for this reason, the risk that in some cases the Morrissey protections would be ineffective in the absence of counsel, that the Court determined that due process required counsel in those cases.
I submit that this same risk is present in community custody revocations. The “unskilled or uneducated” individual in community custody may no doubt have difficulty in presenting his version of disputed facts where it requires the examination or cross-examination of witnesses or presentation of documentary evidence.
Furthermore, as McNeal argues, the fact that community custody is primarily punitive rather than rehabilitative supports a finding that due process requires counsel in certain cases. The risk of an erroneous deprivation of a lib
In its argument against the requirement of counsel, the State asserts its important interests in efficiency. The State undoubtedly correctly predicts that proceedings in which counsel is required will become adversarial and prolonged, and the State will bear the cost of its own counsel and the cost of appointed counsel. But application of Scarpelli here would not require counsel in every case. In balancing the interests at stake, the Court declined to find that counsel was required in all cases precisely because “it would impose direct costs and serious collateral disadvantages without regard to the need or the likelihood in a particular case for a constructive contribution by counsel.” Scarpelli, 411 U.S. at 787. The Court recognized the costs to the State: “the decisionmaking process will be prolonged, and the financial cost to the State—for appointed counsel, counsel for the State, a longer record, and the possibility of judicial review—will not be insubstantial.” Id. at 788. Indeed, the Supreme Court noted that “the presence and participation of counsel will probably be both undesirable and constitutionally unnecessary in most revocation hearings.” Id. at 790. Thus, the delay and expense here would arise only in those cases where the DOC itself decides that due process requires counsel. Admittedly, the costs of judicial review would add unavoidable State expense.
Although application of Scarpelli does not provide a bright-line rule for the DOC to follow,
Although the purposes of parole and community custody differ, the focus in a due process analysis is on the nature of the liberty interest at stake, not on the underlying purpose of that interest. Thus, I respectfully dissent with part F only of the majority opinion.
The Supreme Court provided the following guidelines:
Presumptively, it may he said that counsel should be provided in cases where, after being informed of his right to request counsel, the probationer or parolee makes such a request, based on a timely and colorable claim (i) that he has not committed the alleged violation of the conditions upon which he is at liberty; or (ii) that, even if the violation is a matter of public record or is*639 uncontested, there are substantial reasons which justified or mitigated the violation and make revocation inappropriate, and that the reasons are complex or otherwise difficult to develop or present. In passing on a request for the appointment of counsel, the responsible agency also should consider, especially in doubtful cases, whether the probationer appears to be capable of speaking effectively for himself. In every case in which a request for counsel at a preliminary or final hearing is refused, the grounds for refusal should be stated succinctly in the record.
Scarpelli, 411 U.S. at 790-91.
CrR 7.5(b) entitles a probationer to representation by counsel and requires appointment of counsel for indigent probationers in probation revocation hearings. ROW 9.95.122 provides the right to representation of counsel at the parolee’s expense at parole revocation hearings and provides that upon request and proof of indigency counsel may be appointed.
Reference
- Full Case Name
- In the Matter of the Personal Restraint of Samuel F. McNeal, Petitioner
- Cited By
- 26 cases
- Status
- Published