Petitioners in these habeas corpus proceedings claimed that
their paroles were revoked without a hearing and that they were
thereby deprived of due process. The Court of Appeals, in affirming
the District Court's denial of relief, reasoned that, under
controlling authorities, parole is only "a correctional device
authorizing service of sentence outside a penitentiary," and
concluded that a parolee, who is still "in custody," is not
entitled to a full adversary hearing such as would be mandated in a
criminal proceeding.
Held:
1. Though parole revocation does not call for the full panoply
of rights due a defendant in a criminal proceeding, a parolee's
liberty involves significant values within the protection of the
Due Process Clause of the Fourteenth Amendment, and termination of
that liberty requires an informal hearing to give assurance that
the finding of a parole violation is based on verified facts to
support the revocation. Pp.
408 U. S.
480-482.
2. Due process requires a reasonably prompt informal inquiry
conducted by an impartial hearing officer near the place of the
alleged parole violation or arrest to determine if there is
reasonable ground to believe that the arrested parolee has violated
a parole condition. The parolee should receive prior notice of the
inquiry, its purpose, and the alleged violations. The parolee may
present relevant information and (absent security considerations)
question adverse informants. The hearing officer shall digest the
evidence on probable cause and state the reasons for holding the
parolee for the parole board's decision. Pp.
408 U. S.
484-487.
3. At the revocation hearing, which must be conducted reasonably
soon after the parolee's arrest, minimum due process requirements
are: (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 lawyers; and (f) a written
statement
Page 408 U. S. 472
by the factfinders as to the evidence relied on and reasons for
revoking parole. Pp.
408 U. S.
487-490.
443 F.2d 942, reversed and remanded.
BURGER, C.J., delivered the opinion of the Court, in which
STEWART, WHITE, BLACKMUN, POWELL and REHNQUIST, JJ., joined.
BRENNAN, J., filed an opinion concurring in the result, in which
MARSHALL, J., joined,
post, p.
408 U. S. 490.
DOUGLAS, J., filed an opinion dissenting in part,
post, p.
408 U. S.
491.
MR. CHIEF JUSTICE BURGER delivered the opinion of the Court.
We granted certiorari in this case to determine whether the Due
Process Clause of the Fourteenth Amendment requires that a State
afford an individual some opportunity to be heard prior to revoking
his parole.
Petitioner Morrissey was convicted of false drawing or uttering
of checks in 1967 pursuant to his guilty plea, and was sentenced to
not more than seven years' confinement. He was paroled from the
Iowa State Penitentiary in June, 1968. Seven months later, at the
direction of his parole officer, he was arrested in his home town
as a parole violator and incarcerated in the county jail. One week
later, after review of the parole officer's written report, the
Iowa Board of Parole revoked Morrissey's
Page 408 U. S. 473
parole, and he was returned to the penitentiary located about
100 miles from his home. Petitioner asserts he received no hearing
prior to revocation of his parole.
The parole officer's report on which the Board of Parole acted
shows that petitioner's parole was revoked on the basis of
information that he had violated the conditions of parole by buying
a car under an assumed name and operating it without permission,
giving false statements to police concerning his address and
insurance company after a minor accident, obtaining credit under an
assumed name, and failing to report his place of residence to his
parole officer. The report states that the officer interviewed
Morrissey, and that he could not explain why he did not contact his
parole officer despite his effort to excuse this on the ground that
he had been sick. Further, the report asserts that Morrissey
admitted buying the car and obtaining credit under an assumed name,
and also admitted being involved in the accident. The parole
officer recommended that his parole be revoked because of "his
continual violating of his parole rules."
The situation as to petitioner Booher is much the same. Pursuant
to his guilty plea, Booher was convicted of forgery in 1966 and
sentenced to a maximum term of 10 years. He was paroled November
14, 1968. In August, 1969, at his parole officer's direction, he
was arrested in his home town for a violation of his parole and
confined in the county jail several miles away. On September 13,
1969, on the basis of a written report by his parole officer, the
Iowa Board of Parole revoked Booher's parole and Booher was
recommitted to the state penitentiary, located about 250 miles from
his home, to complete service of his sentence. Petitioner asserts
he received no hearing prior to revocation of his parole.
Page 408 U. S. 474
The parole officer's report with respect to Booher recommended
that his parole be revoked because he had violated the territorial
restrictions of his parole without consent, had obtained a driver's
license under an assumed name, operated a motor vehicle without
permission, and had violated the employment condition of his parole
by failing to keep himself in gainful employment. The report stated
that the officer had interviewed Booher and that he had
acknowledged to the parole officer that he had left the specified
territorial limits and had operated the car and had obtained a
license under an assumed name "knowing that it was wrong." The
report further noted that Booher had stated that he had not found
employment because he could not find work that would pay him what
he wanted -- he stated he would not work for $2.25 to $2.75 per
hour -- and that he had left the area to get work in another
city.
After exhausting state remedies, both petitioners filed habeas
corpus petitions in the United States District Court for the
Southern District of Iowa alleging that they had been denied due
process because their paroles had been revoked without a hearing.
The State responded by arguing that no hearing was required. The
District Court held on the basis of controlling authority that the
State's failure to accord a hearing prior to parole revocation did
not violate due process. On appeal, the two cases were
consolidated.
The Court of Appeals, dividing 4 to 3, held that due process
does not require a hearing. The majority recognized that the
traditional view of parole as a privilege, rather than a vested
right, is no longer dispositive as to whether due process is
applicable; however, on a balancing of the competing interests
involved, it concluded that no hearing is required. The court
reasoned that parole is only "a correctional device authorizing
service of sentence outside the penitentiary," 443 F.2d
Page 408 U. S. 475
942, 947; the parolee is still "in custody." Accordingly, the
Court of Appeals was of the view that prison officials must have
large discretion in making revocation determinations, and that
courts should retain their traditional reluctance to interfere with
disciplinary matters properly under the control of state prison
authorities. The majority expressed the view that "non-legal,
nonadversary considerations" were often the determinative factors
in making a parole revocation decision. It expressed concern that,
if adversary hearings were required for parole revocation, "with
the full panoply of rights accorded in criminal proceedings," the
function of the parole board as "an administrative body acting in
the role of
parens patriae would be aborted,"
id.
at 949, and the board would be more reluctant to grant parole in
the first instance -- an apprehension that would not be without
some basis if the choice were between a full-scale adversary
proceeding or no hearing at all. Additionally, the majority
reasoned that the parolee has no statutory right to remain on
parole. Iowa law provides that a parolee may be returned to the
institution at any time. Our holding in
Mempa v. Rhay,
389 U. S. 128
(1967), was distinguished on the ground that it involved deferred
sentencing upon probation revocation, and thus involved a stage of
the criminal proceeding, whereas parole revocation was not a stage
in the criminal proceeding. The Court of Appeals' decision was
consistent with many other decisions on parole revocations.
In their brief in this Court, respondents assert for the first
time that petitioners were, in fact, granted hearings after they
were returned to the penitentiary. More generally, respondents say
that, within two months after the Board revokes an individual's
parole and orders him returned to the penitentiary, on the basis of
the parole officer's written report, it grants the individual a
hearing before the Board. At that time, the Board goes over "each
of
Page 408 U. S. 476
the alleged parole violations with the returnee, and he is given
an opportunity to orally present his side of the story to the
Board." If the returnee denies the report, it is the practice of
the Board to conduct a further investigation before making a final
determination either affirming the initial revocation, modifying
it, or reversing it. [
Footnote
1] Respondents assert that Morrissey, whose parole was revoked
on January 31, 1969, was granted a hearing before the Board on
February 12, 1969. Booher's parole was revoked on September 13,
1969, and he was granted a hearing on October 14, 1969. At these
hearings, respondents tell us -- in the briefs -- both Morrissey
and Booher admitted the violations alleged in the parole violation
reports.
Nothing in the record supplied to this Court indicates that
respondent claimed, either in the District Court or the Court of
Appeals, that petitioners had received hearings promptly after
their paroles were revoked, or that, in such hearing, they admitted
the violations; that information comes to us only in the
respondents' brief here. Further, even the assertions that
respondents make here are not based on any public record, but on
interviews with two of the members of the parole board. In the
interview relied on to show that petitioners admitted their
violations, the board member did not assert he could remember that
both Morrissey and Booher admitted the parole violations with which
they were charged. He stated only that, according to his memory, in
the previous several years, all but three returnees had admitted
commission of the parole infractions alleged,
Page 408 U. S. 477
and that neither of the petitioners was among the three who
denied them.
We must therefore treat this case in the posture and on the
record respondents elected to rely on in the District Court and the
Court of Appeals. If the facts are otherwise, respondents may make
a showing in the District Court that petitioners in fact, have
admitted the violations charged before a neutral officer.
I
Before reaching the issue of whether due process applies to the
parole system, it is important to recall the function of parole in
the correctional process.
During the past 60 years, the practice of releasing prisoners on
parole before the end of their sentences has become an integral
part of the penological system. Note, Parole Revocation in the
Federal System, 56 Geo.L.J. 705 (1968). Rather than being an
ad
hoc exercise of clemency, parole is an established variation
on imprisonment of convicted criminals. Its purpose is to help
individuals reintegrate into society as constructive individuals as
soon as they are able, without being confined for the full term of
the sentence imposed. It also serves to alleviate the costs to
society of keeping an individual in prison. [
Footnote 2] 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. Under some systems, parole is granted automatically after
the service of a certain portion of a prison term. Under others,
parole is granted by the discretionary action of a board, which
evaluates an array of information about a prisoner
Page 408 U. S. 478
and makes a prediction whether he is ready to reintegrate into
society.
To accomplish the purpose of parole, those who are allowed to
leave prison early are subjected to specified conditions for the
duration of their terms. These conditions restrict their activities
substantially beyond the ordinary restrictions imposed by law on an
individual citizen. Typically, parolees are forbidden to use liquor
or to have associations or correspondence with certain categories
of undesirable persons. Typically, also they must seek permission
from their parole officers before engaging in specified activities,
such as changing employment or living quarters, marrying, acquiring
or operating a motor vehicle, traveling outside the community, and
incurring substantial indebtedness. Additionally, parolees must
regularly report to the parole officer to whom they are assigned,
and sometimes they must make periodic written reports of their
activities. Arluke, A Summary of Parole Rules -- Thirteen Years
Later, 15 Crime & Delin. 267, 272-273 (1969).
The parole officers are part of the administrative system
designed to assist parolees and to offer them guidance. The
conditions of parole serve a dual purpose; they prohibit, either
absolutely or conditionally, behavior that is deemed dangerous to
the restoration of the individual into normal society. And, through
the requirement of reporting to the parole officer and seeking
guidance and permission before doing many things, the officer is
provided with information about the parolee and an opportunity to
advise him. The combination puts the parole officer into the
position in which he can try to guide the parolee into constructive
development. [
Footnote 3]
The enforcement leverage that supports the parole conditions
derives from the authority to return the parolee
Page 408 U. S. 479
to prison to serve out the balance of his sentence if he fails
to abide by the rules. In practice, not every violation of parole
conditions automatically leads to revocation. Typically, a parolee
will be counseled to abide by the conditions of parole, and the
parole officer ordinarily does not take steps to have parole
revoked unless he thinks that the violations are serious and
continuing, so as to indicate that the parolee is not adjusting
properly and cannot be counted on to avoid antisocial activity.
[
Footnote 4] The broad
discretion accorded the parole office is also inherent in some of
the quite vague conditions, such as the typical requirement that
the parolee avoid "undesirable" associations or correspondence.
Cf. Arciniega v. Freeman, 404 U. S.
4 (1971). Yet revocation of parole is not an unusual
phenomenon, affecting only a few parolees. It has been estimated
that 35%-45% of all parolees are subjected to revocation and return
to prison. [
Footnote 5]
Sometimes revocation occurs when the parolee is accused of another
crime; it is often preferred to a new prosecution because of the
procedural ease of recommitting the individual on the basis of a
lesser showing by the State. [
Footnote 6]
Implicit in the system's concern with parole violation is the
notion that the parolee is entitled to retain his liberty as long
as he substantially abides by the conditions of his parole. The
first step in a revocation decision thus involves a wholly
retrospective factual question: whether the parolee has in fact,
acted in violation of one or more conditions of his parole. Only if
it is determined that
Page 408 U. S. 480
the parolee did violate the conditions does the second question
arise: should the parolee be recommitted to prison, or should other
steps be taken to protect society and improve chances of
rehabilitation? The first step is relatively simple; the second is
more complex. The second question involves the application of
expertise by the parole authority in making a prediction as to the
ability of the individual to live in society without committing
antisocial acts. This part of the decision, too, depends on facts,
and therefore it is important for the board to know not only that
some violation was committed, but also to know accurately how many
and how serious the violations were. Yet this second step, deciding
what to do about the violation once it is identified, is not purely
factual, but also predictive and discretionary. If a parolee is
returned to prison, he usually receives no credit for the time
"served" on parole. [
Footnote
7] Thus, the returnee may face a potential of substantial
imprisonment.
II
We begin with the proposition that the revocation of parole is
not part of a criminal prosecution, and thus the full panoply of
rights due a defendant in such a proceeding does not apply to
parole revocations.
Cf. Mempa v. Rhay, 389 U.
S. 128 (1967). Parole arises after the end of the
criminal prosecution, including imposition of sentence. Supervision
is not directly by the court, but by an administrative agency,
which is sometimes an arm of the court and sometimes of the
executive. Revocation deprives an individual not of the absolute
liberty to which every citizen is entitled, but only of the
conditional liberty properly dependent on observance of special
parole restrictions.
Page 408 U. S. 481
We turn, therefore, to the question whether the requirements of
due process in general apply to parole revocations. As MR. JUSTICE
BLACKMUN has written recently,
"this Court now has rejected the concept that constitutional
rights turn upon whether a governmental benefit is characterized as
a 'right' or as a 'privilege.'"
Graham v. Richardson, 403 U. S. 365,
403 U. S. 374
(1971). Whether any procedural protections are due depends on the
extent to which an individual will be "condemned to suffer grievous
loss."
Joint Anti-Fascist Refugee Committee v. McGrath,
341 U. S. 123,
341 U. S. 168
(191) (Frankfurter, J., concurring), quoted in
Goldberg v.
Kelly, 397 U. S. 254,
397 U. S. 263
(1970). The question is not merely the "weight" of the individual's
interest, but whether the nature of the interest is one within the
contemplation of the "liberty or property" language of the
Fourteenth Amendment.
Fuentes v. Shevin, 407 U. S.
67 (172). Once it is determined that due process
applies, the question remains what process is due. It has been said
so often by this Court and others as not to require citation of
authority that due process is flexible, and calls for such
procedural protections as the particular situation demands.
"[C]onsideration of what procedures due process may require
under any given set of circumstances must begin with a
determination of the precise nature of the government function
involved, as well as of the private interest that has been affected
by governmental action."
Cafeteria & Restaurant Workers Union v. McElroy,
367 U. S. 886,
367 U. S. 895
(1961). To say that the concept of due process is flexible does not
mean that judges are at large to apply it to any and all
relationships. Its flexibility is in its scope once it has been
determined that some process is due; it is a recognition that not
all situations calling for procedural safeguards call for the same
kind of procedure.
We turn to an examination of the nature of the interest
Page 408 U. S. 482
of the parolee in his continued liberty. 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. The parolee has been
released from prison based on an evaluation that he shows
reasonable promise of being able to return to society and function
as a responsible, self-reliant person. 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. 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. [
Footnote 8] 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. [
Footnote 9] 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. In many cases, the parolee faces lengthy
incarceration if his parole is revoked.
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. It is hardly useful any longer to try
to deal with this problem in terms of whether the parolee's liberty
is a "right" or a "privilege." By whatever name, the liberty is
valuable, and must be seen as within the protection of the
Fourteenth Amendment. Its termination calls for some orderly
process, however informal.
Page 408 U. S. 483
Turning to the question what process is due, we find that the
State's interests are several. The State has found the parolee
guilty of a crime against the people. That finding justifies
imposing extensive restrictions on the individual's liberty.
Release of the parolee before the end of his prison sentence is
made with the recognition that, with many prisoners, there is a
risk that they will not be able to live in society without
committing additional antisocial acts. Given the previous
conviction and the proper imposition of conditions, the State has
an overwhelming interest in being able to return the individual to
imprisonment without the burden of a new adversary criminal trial
if, in fact, he has failed to abide by the conditions of his
parole.
Yet the State has no interest in revoking parole without some
informal procedural guarantees. Although the parolee is often
formally described as being "in custody," the argument cannot even
be made here that summary treatment is necessary as it may be with
respect to controlling a large group of potentially disruptive
prisoners in actual custody. Nor are we persuaded by the argument
that revocation is so totally a discretionary matter that some form
of hearing would be administratively intolerable. A simple factual
hearing will not interfere with the exercise of discretion. Serious
studies have suggested that fair treatment on parole revocation
will not result in fewer grants of parole. [
Footnote 10]
This discretionary aspect of the revocation decision need not be
reached unless there is first an appropriate determination that the
individual has, in fact, breached
Page 408 U. S. 484
the conditions of parole. The parolee is not the only one who
has a stake in his conditional liberty. Society has a stake in
whatever may be the chance of restoring him to normal and useful
life within the law. Society thus has an interest in not having
parole revoked because of erroneous information or because of an
erroneous evaluation of the need to revoke parole, given the breach
of parole conditions.
See People ex rel. Menechino v.
Warden, 27 N.Y.2d 376, 379, and n. 2, 267 N.E.2d 238, 239, and
n. 2 (1971) (parole board had less than full picture of facts). And
society has a further interest in treating the parolee with basic
fairness: fair treatment in parole revocations will enhance the
chance of rehabilitation by avoiding reactions to arbitrariness.
[
Footnote 11]
Given these factors, most States have recognized that there is
no interest on the part of the State in revoking parole without any
procedural guarantees at all. [
Footnote 12] What is needed is an informal hearing
structured to assure that the finding of a parole violation will be
based on verified facts, and that the exercise of discretion will
be informed by an accurate knowledge of the parolee's behavior.
III
We now turn to the nature of the process that is due, bearing in
mind that the interest of both State and
Page 408 U. S. 485
parolee will be furthered by an effective but informal hearing.
In analyzing what is due, we see two important stages in the
typical process of parole revocation.
(a)
Arrest of Parolee and Preliminary Hearing. The
first stage occurs when the parolee is arrested and detained,
usually at the direction of his parole officer. The second occurs
when parole is formally revoked. There is typically a substantial
time lag between the arrest and the eventual determination by the
parole board whether parole should be revoked. Additionally, it may
be that the parolee is arrested at a place distant from the state
institution, to which he may be returned before the final decision
is made concerning revocation. Given these factors, due process
would seem to require that some minimal inquiry be conducted at or
reasonably near the place of the alleged parole violation or arrest
and as promptly as convenient after arrest while information is
fresh and sources are available.
Cf. Hyser v. Reed, 115
U.S.App.D.C. 254, 318 F.2d 225 (1963). Such an inquiry should be
seen as in the nature of a "preliminary hearing" to determine
whether there is probable cause or reasonable ground to believe
that the arrested parolee has committed acts that would constitute
a violation of parole conditions.
Cf. Goldberg v. Kelly,
397 U.S. at
397 U. S.
267-271.
In our view, due process requires that, after the arrest, the
determination that reasonable ground exists for revocation of
parole should be made by someone not directly involved in the case.
It would be unfair to assume that the supervising parole officer
does not conduct an interview with the parolee to confront him with
the reasons for revocation before he recommends an arrest. It would
also be unfair to assume that the parole officer bears hostility
against the parolee that destroys his neutrality; realistically,
the failure of the parolee is, in a sense, a
Page 408 U. S. 486
failure for his supervising officer. [
Footnote 13] However, we need make no assumptions one
way or the other to conclude that there should be an uninvolved
person to make this preliminary evaluation of the basis for
believing the conditions of parole have been violated. The officer
directly involved in making recommendations cannot always have
complete objectivity in evaluating them. [
Footnote 14]
Goldberg v. Kelly found it
unnecessary to impugn the motives of the caseworker to find a need
for an independent decisionmaker to examine the initial
decision.
This independent officer need not be a judicial officer. The
granting and revocation of parole are matters traditionally handled
by administrative officers. In
Goldberg, the Court
pointedly did not require that the hearing on termination of
benefits be conducted by a judicial officer, or even before the
traditional "neutral and detached" officer; it required only that
the hearing be conducted by some person
other than one
initially dealing with the case. It will be sufficient, therefore,
in the parole revocation context, if an evaluation of whether
reasonable cause exists to believe that conditions of parole have
been violated is made by someone such as a parole officer other
than the one who has made the report of parole violations or has
recommended revocation. A State could certainly choose some other
independent decisionmaker to perform this preliminary function.
With respect to the preliminary hearing before this officer, the
parolee should be given notice that the hearing
Page 408 U. S. 487
will take place and that its purpose is to determine whether
there is probable cause to believe he has committed a parole
violation. The notice should state what parole violations have been
alleged. At the hearing, the parolee may appear and speak in his
own behalf; he may bring letters, documents, or individuals who can
give relevant information to the hearing officer. On request of the
parolee, a person who has given adverse information on which parole
revocation is to be based is to be made available for questioning
in his presence. However, if the hearing officer determines that an
informant would be subjected to risk of harm if his identity were
disclosed, he need not be subjected to confrontation and
cross-examination.
The hearing officer shall have the duty of making a summary, or
digest, of what occurs at the hearing in terms of the responses of
the parolee and the substance of the documents or evidence given in
support of parole revocation and of the parolee's position. Based
on the information before him, the officer should determine whether
there is probable cause to hold the parolee for the final decision
of the parole board on revocation. Such a determination would be
sufficient to warrant the parolee's continued detention and return
to the state correctional institution pending the final decision.
As in
Goldberg, "the decisionmaker should state the
reasons for his determination and indicate the evidence he relied
on . . ." but it should be remembered that this is not a final
determination calling for "formal findings of fact and conclusions
of law." 397 U.S. at
397 U. S. 271.
No interest would be served by formalism in this process;
informality will not lessen the utility of this inquiry in reducing
the risk of error.
(b)
The Revocation Hearing. There must also be an
opportunity for a hearing, if it is desired by the parolee, prior
to the final decision on revocation by the parole
Page 408 U. S. 488
authority. This hearing must be the basis for more than
determining probable cause; it must lead to a final evaluation of
any contested relevant facts and consideration of whether the facts
as determined warrant revocation. The parolee must have an
opportunity to be heard, and 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.
The revocation hearing must be tendered within a reasonable time
after the parolee is taken into custody. A lapse of two months, as
respondents suggest occurs in some cases, would not appear to be
unreasonable.
We cannot write a code of procedure; that is the responsibility
of each State. Most States have done so by legislation, others by
judicial decision usually on due process grounds. [
Footnote 15] Our task is limited to
deciding the
Page 408 U. S. 489
minimum requirements of due process. They include (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 lawyers; and (f) a written statement by the factfinders
as to the evidence relied on and reason for revoking parole. We
emphasize there is no thought to equate this second stage of parole
revocation to a criminal prosecution in any sense. It is a narrow
inquiry; the process should be flexible enough to consider evidence
including letters, affidavits, and other material that would not be
admissible in an adversary criminal trial.
We do not reach or decide the question whether the parolee is
entitled to the assistance of retained counsel or to appointed
counsel if he is indigent. [
Footnote 16]
Page 408 U. S. 490
We have no thought to create an inflexible structure for parole
revocation procedures. The few basic requirements set out above,
which are applicable to future revocations of parole, should not
impose a great burden on any State's parole system. Control over
the required proceedings by the hearing officers can assure that
delaying tactics and other abuses sometimes present in the
traditional adversary trial situation do not occur. Obviously a
parolee cannot relitigate issues determined against him in other
forums, as in the situation presented when the revocation is based
on conviction of another crime.
In the peculiar posture of this case, given the absence of an
adequate record, we conclude the ends of justice will be best
served by remanding the case to the Court of Appeals for its return
of the two consolidated cases to the District Court with directions
to make findings on the procedures actually followed by the Parole
Board in these two revocations. If it is determined that
petitioners admitted parole violations to the Parole Board, as
respondents contend, and if those violations are found to be
reasonable grounds for revoking parole under state standards, that
would end the matter. If the procedures followed by the Parole
Board are found to meet the standards laid down in this opinion,
that, too, would dispose of the due process claims for these
cases.
We reverse and remand to the Court of Appeals for further
proceedings consistent with this opinion.
Reversed and remanded.
[
Footnote 1]
The hearing required by due process, as defined herein, must be
accorded before the effective decision.
See Armstrong v.
Manzo, 380 U. S. 545
(1965). Petitioners assert here that only one of the 540
revocations ordered most recently by the Iowa Parole Board was
reversed after hearing, Petitioners' Reply Brief 7, suggesting that
the hearing may not objectively evaluate the revocation
decision.
[
Footnote 2]
See Warren, Probation in the Federal System of Criminal
Justice, 19 Fed.Prob. 3 (Sept.1955); Annual Report, Ohio Adult
Parole Authority 1964/65, pp. 13-14; Note, Parole: A Critique of
Its Legal Foundations and Conditions, 38 N.Y.U.L.Rev. 702, 705-707
(1963).
[
Footnote 3]
Note, Observations on the Administration of Parole, 79 Yale L. J
. 698, 699-700 (1970).
[
Footnote 4]
Ibid.
[
Footnote 5]
President's Commission on Law Enforcement and Administration of
Justice, Task Force Report: Corrections 62 (1967). The substantial
revocation rate indicates that parole administrators often
deliberately err on the side of granting parole in borderline
cases.
[
Footnote 6]
See Morrissey v. Brewer, 443 F.2d 942, at 953-954, n. 5
(CA8 1971) (Lay, J., dissenting);
Rose v. Haskins, 388
F.2d 91, 104 (CA6 1968) (Celebrezze, J., dissenting).
[
Footnote 7]
Arluke, A Summary of Parole Rule Thirteen Years Later, 15 Crime
and Delinquency 267, 271 (1969); Note, Parole Revocation in the
Federal System, 56 Geo.L.J. 705, 733 (1968).
[
Footnote 8]
"It is not sophistic to attach greater importance to a person's
justifiable reliance in maintaining his conditional freedom so long
as he abides by the conditions of his release, than to his mere
anticipation or hope of freedom."
United States ex rel. Bey v. Connecticut Board of
Parole, 443 F.2d 1079, 1086 (CA2 1971).
[
Footnote 9]
See, e.g., Murray v. Page, 429 F.2d 1359 (CA10 1970)
(parole revoked after eight years; 15 years remaining on original
term).
[
Footnote 10]
Sklar, Law and Practice in Probation and Parole Revocation
Hearings, 55 J.Crim.L.C. & P.S. 175, 194 (1964) (no decrease in
Michigan, which grants extensive rights);
Roe v. Haskins,
388 F.2d 91, 102 n. 16 (CA6 1968) (Celebrezze, J., dissenting)
(cost of imprisonment so much greater than parole system that
procedural requirements will not change economic motivation).
[
Footnote 11]
See President's Commission on Law Enforcement and
Administration of Justice, Task Force Report: Corrections 83, 88
(1967).
[
Footnote 12]
See n 15,
infra. As one state court has written,
"Before such a determination or finding can be made, it appears
that the principles of fundamental justice and fairness would
afford the parolee a reasonable opportunity to explain away the
accusation of a parole violation. [The parolee] . . . is entitled
to a conditional liberty and possessed of a right which can be
forfeited only by reason of a breach of the conditions of the
grant."
Chase v. Page, 456
P.2d 590, 594 (Okla.Crim.App. 1969).
[
Footnote 13]
Note, Observations on the Administration of Parole, 79 Yale L.J.
698, 704-706 (1970) (parole officers in Connecticut adopt role
model of social worker, rather than an adjunct of police, and
exhibit a lack of punitive orientation).
[
Footnote 14]
This is not an issue limited to bad motivation. "Parole agents
are human, and it is possible that friction between the agent and
parolee may have influenced the agent's judgment." 4 Attorney
General's Survey on Release Procedures: Parole 246 (1939).
[
Footnote 15]
Very few States provide no hearing at all in parole revocations.
Thirty States provide in their statutes that a parolee shall
receive some type of hearing.
See Ala.Code, Tit. 42, § 12
(1959); Alaska Stat. § 33.15.220 (1962); Ariz.Rev.Stat.Ann. §
31-417 (1956); Ark.Stat.Ann. § 43-2810 (Supp. 1971); Del.Code Ann.,
Tit. 11, § 4352 (Supp. 1970); Fla.Stat.Ann. § 947.23(1) (Supp.
1972); Ga.Code Ann. § 77-519 (Supp. 1971); Haw.Rev.Stat. § 353-66
(1968); Idaho Code §§ 20-229, 20-229A (Supp. 1971); Ill.Ann.Stat.,
c. 108, §§ 204(e), 207 (Supp. 1972); Ind.Ann.Stat. § 13-1611 (Supp.
1972); Kan.Stat.Ann. § 22-3721 (1971); Ky.Rev.Stat.Ann. §
439.330(1)(e) (1962); La.Rev.Stat.Ann. § 15:574.9 (Supp. 1972);
Me.Rev.Stat.Ann., Tit. 34, § 1675 (Supp. 19701971); Md.Ann.Code,
Art. 41, § 117 (1971); Mich.Comp.Laws § 791.240a, Mich.Stat.Ann. §
28.2310(1) (Supp. 1972); Miss.Code Ann. § 4004-13 (1956);
Mo.Ann.Stat. § 549.265 (Supp. 1971); Mont.Rev.Codes Ann. §§
94-9838, 94-9835 (1969); N.H.Rev.Stat.Ann. § 607: 46 (1955);
N.M.Stat.Ann. § 41-17-28 (1972); N.Y.Correc.Law § 212 subd. 7
(Supp. 1971); N.D.Cent.Code § 12-59-15 (Supp. 1971); Pa.Stat.Ann.,
Tit. 61, § 331.21a(b) (1964); Tenn.Code Ann. § 40-3619 (1955);
Tex.Code Crim.Proc., Art. 42.12, § 22 (1966); Vt.Stat.Ann., Tit.
28, § 1081(b) (1970); Wash.Rev.Code §§ 9.95.120 through 9.95.126
(Supp. 1971); W.Va.Code Ann. § 62-12-19 (1966). Decisions of state
and federal courts have required a number of other States to
provide hearings.
See Hutchison v.
Patterson, 267 F.
Supp. 433 (Colo.1967) (approving parole board regulations);
United States ex rel. Bey v. Connecticut State Board of
Parole, 443 F.2d 1079 (CA2 1971) (requiring counsel to be
appointed for revocation hearings);
State v. Holmes, 109
N.J.Super. 180,
262 A.2d 725 (1970);
Chase v. Page, 456
P.2d 590 (Okla.Crim.App. 1969);
Bearden v. South
Carolina, 443 F.2d 1090 (CA4 1971);
Baine v.
Beckstead, 10 Utah 2d 4,
347 P.2d 554
(1959);
Goolsby v. Gagnon, 322 F.
Supp. 460 (ED Wis.1971). A number of States are affected by no
legal requirement to grant any kind of hearing.
[
Footnote 16]
The Model Penal Code § 305.15(1) (Proposed Official Draft 1962)
provides that
"[t]he institutional parole staff shall render reasonable aid to
the parolee in preparation for the hearing and he shall be
permitted to advise with his own legal counsel."
MR. JUSTICE BRENNAN, with whom MR. JUSTICE MARSHALL joins,
concurring in the result.
I agree that a parole may not be revoked, consistently with the
Due Process Clause, unless the parolee is afforded, first, a
preliminary hearing at the time of arrest to determine whether
there is probable cause to believe
Page 408 U. S. 491
that he has violated his parole conditions and, second, a final
hearing within a reasonable time to determine whether he has, in
fact, violated those conditions and whether his parole should be
revoked. For each hearing, the parolee is entitled to notice of the
violations alleged and the evidence against him, opportunity to be
heard in person and to present witnesses and documentary evidence,
and the right to confront and cross-examine adverse witnesses,
unless it is specifically found that a witness would thereby be
exposed to a significant risk of harm. Moreover, in each case, the
decisionmaker must be impartial, there must be some record of the
proceedings, and the decisionmaker's conclusions must be set forth
in written form indicating both the evidence and the reasons relied
upon. Because the Due Process Clause requires these procedures, I
agree that the case must be remanded as the Court orders.
The Court, however, states that it does not now decide whether
the parolee is also entitled at each hearing to the assistance of
retained counsel or of appointed counsel if he is indigent.
Goldberg v. Kelly, 397 U. S. 254
(1970), nonetheless plainly dictates that he at least "must be
allowed to retain an attorney if he so desires."
Id. at
397 U. S. 270.
As the Court said there,
"Counsel can help delineate the issues, present the factual
contentions in an orderly manner, conduct cross-examination, and
generally safeguard the interests of"
his client.
Id. at
397 U. S.
270-271. The only question open under our precedents is
whether counsel must be furnished the parolee if he is
indigent.
MR. JUSTICE DOUGLAS, dissenting in part.
Each petitioner was sentenced for a term in an Iowa penitentiary
for forgery. Somewhat over a year later, each was released on
parole. About six months later, each was arrested for a parole
violation and confined in a local jail. In about a week, the Iowa
Board of Parole revoked their
Page 408 U. S. 492
paroles and each was returned to the penitentiary. At no time
during any of the proceedings which led to the parole revocations
were they granted a hearing or the opportunity to know, question,
or challenge any of the facts which formed the basis of their
alleged parole violations. Nor were they given an opportunity to
present evidence on their own behalf or to confront and
cross-examine those on whose testimony their paroles were
revoked.
Each challenged the revocation in the state courts and,
obtaining no relief, filed the present petitions in the Federal
District Court, which denied relief. Their appeals were
consolidated in the Court of Appeals which, sitting en banc, in
each case affirmed the District Court by a four-to-three vote, 443
F.2d 942. The cases are here on a petition for a writ of
certiorari, 404 U.S. 999, which we granted because there is a
conflict between the decision below and
Hahn v. Burke, 430
F.2d 100, decided by the Court of Appeals for the Seventh
Circuit.
Iowa has a board of parole [
Footnote
2/1] which determines who shall be paroled. Once paroled, a
person is under the supervision of the director of the division of
corrections of the Department of Social Services, who, in turn,
supervises parole agents. Parole agents do not revoke the parole of
any person, but only recommend that the board of parole revoke it.
The Iowa Act provides that each parolee "shall be subject, at any
time, to be taken into custody and returned to the institution"
from which he
Page 408 U. S. 493
was paroled. [
Footnote 2/2]
Thus, Iowa requires no notice or hearing to put a parolee back in
prison,
Curtis v. Bennett, 256 Iowa 1164,
131 N.W.2d 1, and
it is urged that, since parole, like probation, is only a
privilege, it may be summarily revoked. [
Footnote 2/3]
See Escoe v. Zerbst, 295 U.
S. 490, 492-493;
Ughbanks v. Armstrong,
208 U. S. 481. But
we have long discarded the right-privilege distinction.
See,
e.g., Graham v. Richardson, 403 U. S. 365,
403 U. S. 374;
Bell v. Burson, 402 U. S. 535,
402 U. S. 539;
Pickering v. Board of Education, 391 U.
S. 563,
391 U. S. 568;
cf. Van Alstyne, The Demise of the Right-Privilege
Distinction in Constitutional Law, 81 Harv.L.Rev. 1439 (1968).
The Court said in
United States v.
Wilson, 7 Pet. 150,
32 U. S. 161,
that a "pardon is a deed." The same can be said of a parole, which,
when conferred, gives the parolee a degree of liberty which is
often associated with property interests.
Page 408 U. S. 494
We held in
Goldberg v. Kelly, 397 U.
S. 254, that the termination by a State of public
assistance payments to a recipient without a prior evidentiary
hearing denies him procedural due process in violation of the
Fourteenth Amendment. Speaking of the termination of welfare
benefits we said:
"Their termination involves state action that adjudicates
important rights. The constitutional challenge cannot be answered
by an argument that public assistance benefits are "a
privilege,' and not a `right.'" Shapiro v. Thompson,
394 U. S. 618,
394 U. S. 627
n. 6 (1969). Relevant constitutional restraints apply as much to
the withdrawal of public assistance benefits as to disqualification
for unemployment compensation, Sherbert v. Verner,
374 U. S. 398
(1963); or to denial of a tax exemption, Speiser v.
Randall, 357 U. S. 513
(1958); or to discharge from public employment, Slochower v.
Board of Higher Education, 350 U. S. 551
(1956). The extent to which procedural due process must be afforded
the recipient is influenced by the extent to which he may be
"condemned to suffer grievous loss," Joint Anti-Fascist Refugee
Committee v. McGrath, 341 U. S. 123,
341 U. S. 168
(1951) (Frankfurter, J., concurring), and depends upon whether the
recipient's interest in avoiding that loss outweighs the
governmental interest in summary adjudication. Accordingly, as we
said in Cafeteria & Restaurant Workers Union v.
McElroy, 367 U. S. 886,
367 U. S. 895
(1961),"
"consideration of what procedures due process may require under
any given set of circumstances must begin with a determination of
the precise nature of the government function involved, as well as
of the private interest that has been affected by governmental
action."
"
See also Hannah v. Larche, 363 U. S.
420,
363 U. S. 440, 442
(1960)."
397 U.S. at
397 U. S.
262-263.
Page 408 U. S. 495
Under modern concepts of penology, paroling prisoners is part of
the rehabilitative aim of the correctional philosophy. The
objective is to return a prisoner to a full family and community
life.
See generally Note, Parole Revocation in the Federal
System, 56 Geo.L.J. 705 (1968); Note, Parole: A Critique of Its
Legal Foundations and Conditions, 38 N.Y.U.L.Rev. 702 (1963);
Comment, 72 Yale L.J. 368 (1962);
and see Baine v.
Beckstead, 10 Utah 2d 4,
347 P.2d 554
(1959). The status he enjoys as a parolee is as important a right
as those we reviewed in
Goldberg v. Kelly. That status is
conditioned upon not engaging in certain activities, and perhaps in
not leaving a certain area or locality. Violations of conditions of
parole may be technical, they may be done unknowingly, they may be
fleeting, and of no consequence. [
Footnote 2/4]
See, e.g., Arciniega v. Freeman,
404 U. S. 4; Cohen,
Due Process, Equal Protection and State Parole Revocation
Proceedings, 42 U.Colo.L.Rev.197, 229 (1970). The parolee should,
in the concept of fairness implicit in due process, have a chance
to explain. Rather, under Iowa's rule, revocation proceeds on the
ipse dixit of the parole agent, and, on his word alone,
each of these petitioners has already served three additional years
in prison. [
Footnote 2/5] The
charges may or may not be true. Words of explanation may be
adequate to transform into trivia what looms large in the mind of
the parole officer.
"[T]here is no place in our system of law for reaching
Page 408 U. S. 496
a result of such tremendous consequences without ceremony --
without hearing, without effective assistance of counsel, without a
statement of reasons."
Kent v. United States, 383 U.
S. 541,
383 U. S. 554
(1966).
Parole, [
Footnote 2/6] while
originally conceived as a judicial function, has become largely an
administrative matter. The parole boards have broad discretion in
formulating and imposing parole conditions. "Often vague and
moralistic, parole conditions may seem oppressive and unfair to the
parolee." R. Dawson, Sentencing 306 (1969). They are drawn "to
cover any contingency that might occur,"
id. at 307, and
are designed to maximize "control over the parolee by his parole
officer."
Ibid.
Parole is commonly revoked on mere suspicion that the parolee
may have committed a crime.
Id. at 366-367. Such great
control over the parolee vests in a parole officer a broad
discretion in revoking parole and also in counseling the parolee --
referring him for psychiatric treatment or obtaining the use of
specialized therapy for narcotic addicts or alcoholics.
Id. at 321. Treatment of the parolee, rather than
revocation of his parole, is a common course.
Id. at
322-323. Counseling may include extending help to a parolee in
finding a job.
Id. at 324
et seq.
A parolee, like a prisoner, is a person entitled to
constitutional protection, including procedural due process.
[
Footnote 2/7] At the federal
level, the construction of regulations of the Federal Parole Board
presents federal questions of
Page 408 U. S. 497
which we have taken cognizance.
See Arciniega v.
Freeman, 404 U. S. 4. At the
state level, the construction of parole statutes and regulations is
for the states alone, save as they implicate the Federal
Constitution, in which event the Supremacy Clause controls.
It is only procedural due process, required by the Fourteenth
Amendment, that concerns us in the present cases. Procedural due
process requires the following.
If a violation of a condition of parole is involved, rather than
the commission of a new offense, there should not be an arrest of
the parolee and his return to the prison or to a local jail.
[
Footnote 2/8] Rather, notice of
the alleged violation should be given to the parolee, and a time
set for a hearing. [
Footnote 2/9]
The
Page 408 U. S. 498
hearing should not be before the parole officer, as he is the
one who is making the charge and "there is inherent danger in
combining the functions of judge and advocate."
Jones v.
Rivers, 338 F.2d 862, 877 (CA4 1964) (Sobeloff, J.,
concurring). Moreover, the parolee should be entitled to counsel.
[
Footnote 2/10]
See Hewett v.
North Carolina, 415 F.2d 1316, 1322-1325 (CA4 1969);
People ex rel. Combs v. LaVallee, 29 App.Div.2d 128, 286
N.Y.S.2d 600 (1968);
Perry v. Williard, 247 Ore. 145,
427 P.2d
1020 (1967). As the Supreme Court of Oregon said in
Perry
v. Willard,
"A hearing in which counsel is absent or is present only on
behalf of one side is inherently unsatisfactory if not unfair.
Counsel can see that relevant facts are brought out, vague and
insubstantial allegations discounted, and irrelevancies
eliminated."
Id. at 148,
Page 408 U. S. 499
427 P.2d at 1022.
Cf. Mempa v. Rhay, 389 U.
S. 128,
389 U. S.
135.
The hearing required is not a grant of the full panoply of
rights applicable to a criminal trial. But confrontation with the
informer may, as
Roviaro v. United States, 353 U. S.
53, illustrates, be necessary for a fair hearing and the
ascertainment of the truth. The hearing is to determine the fact of
parole violation. The results of the hearing would go to the parole
board -- or other authorized state agency -- for final action, as
would cases which involved voluntary admission of violations.
The rule of law is important in the stability of society.
Arbitrary actions in the revocation of paroles can only impede and
impair the rehabilitative aspects of modern penology. "Notice and
opportunity for hearing appropriate to the nature of the case,"
Boddie v. Connecticut, 401 U. S. 371,
401 U. S. 378,
are the rudiments of due process which restore faith that our
society is run for the many, not the few, and that fair dealing,
rather than caprice, will govern the affairs of men. [
Footnote 2/11]
I would not prescribe the precise formula for the management of
the parole problems. We do not sit as an ombudsman, telling the
States the precise procedures they must follow. I would hold that,
so far as the due process requirements of parole revocation are
concerned: [
Footnote 2/12]
(1) the parole officer -- whatever may be his duties under
various state statutes -- in Iowa appears to be an agent having
some of the functions of a prosecutor and
Page 408 U. S. 500
of the police: the parole officer is therefore not qualified as
a hearing officer;
(2) the parolee is entitled to a due process notice and a due
process hearing of the alleged parole violations including, for
example, the opportunity to be confronted by his accusers and to
present evidence and argument on his own behalf; and
(3) the parolee is entitled to the freedom granted a parolee
until the results of the hearing are known and the parole board --
or other authorized state agency -- acts. [
Footnote 2/13]
I would reverse the judgments and remand for further
consideration in light of this opinion.
[
Footnote 2/1]
Iowa Code § 247.5 (1971) provides in part:
"The board of parole shall determine which of the inmates of the
state penal institutions qualify, and thereafter shall be placed
upon parole. Once an inmate is placed on parole he shall be under
the supervision of the director of the division of corrections of
the department of social services. There shall be a sufficient
number of parole agents to insure proper supervision of all persons
placed on parole. Parole agents shall not revoke the parole of any
person but may recommend that the board of parole revoke such
parole."
[
Footnote 2/2]
Id. § 247.9 provides in part:
"All paroled prisoners shall remain, while on parole, in the
legal custody of the warden or superintendent and under the control
of the chief parole officer, and shall be subject, at any time, to
be taken into custody and returned to the institution from which
they were paroled."
[
Footnote 2/3]
"A fundamental problem with [the right-privilege] theory is that
probation is now the most frequent penal disposition, just as
release on parole is the most frequent form of release from an
institution. They bear little resemblance to episodic acts of mercy
by a forgiving sovereign. A more accurate view of supervised
release is that it is now an integral part of the criminal justice
process, and shows every sign of increasing popularity. Seen in
this light, the question becomes whether legal safeguards should be
provided for hundreds of thousands of individuals who daily are
processed and regulated by governmental agencies. The system has
come to depend on probation and parole as much as do those who are
enmeshed in the system. Thus, in dealing with claims raised by
offenders, we should make decisions based not on an outworn cliche,
but on the basis of present-day realities."
F. Cohen, The Legal Challenge to Corrections: Implications for
Manpower and Training 32 (Joint Commission on Correctional Manpower
and Training 1969).
[
Footnote 2/4]
The violations alleged in these cases on which revocation was
based are listed by the Court of Appeals, 443 F.2d 942, 943-944,
nn. 1 and 2.
For a discussion of the British system that dispenses with
precise conditions usually employed here,
see 120
U.Pa.L.Rev. 282, 311-312 (1971). As to conditions limiting
constitutional rights
see id. at 313-324, 326-339.
[
Footnote 2/5]
As to summary deprivations of individual liberty in Communist
nations,
see, e.g., Shao-chuan Leng, Justice In Communist
China 34 (1967); 1 P. Tang, Communist China Today 271 (2d ed.1961);
J. Hazard, Communists and Their Law 121-126 (1969).
[
Footnote 2/6]
"Parole is used after a sentence has been imposed, while
probation is usually granted in lieu of a prison term." R. Clegg,
Probation and Parole 22 (1964).
See Baine v. Beckstead, 10
Utah 2d 4, 9,
347 P.2d 554, 558;
People ex rel. Combs v. LaVallee, 29 App.Div.2d 128, 131,
286 N.Y.S.2d 600, 603.
[
Footnote 2/7]
See President's Commission on Law Enforcement and
Administration of Justice, Task Force Report: Corrections 83, 84
(1967); 120 U.Pa.L.Rev. 282, 348-358 (1971).
[
Footnote 2/8]
As Judge Skelly Wright said in
Hyser v. Reed, 115
U.S.App.D.C. 254, 291, 318 F.2d 225, 262 (1963) (concurring in part
and dissenting in part):
"Where serious violations of parole have been committed, the
parolee will have been arrested by local or federal authorities on
charges stemming from those violations. Where the violation of
parole is not serious, no reason appears why he should be
incarcerated before hearing. If, of course, the parolee willfully
fails to appear for his hearing, this, in itself, would justify
issuance of the warrant."
Accord, In re Tucker, 5 Cal. 3d
171, 199-200, 486 P.2d 657, 676 (1971) (Tobriner, J.,
concurring and dissenting).
[
Footnote 2/9]
As we said in another connection in
Greene v. McElroy,
360 U. S. 474,
360 U. S.
496-497:
"Certain principles have remained relatively immutable in our
jurisprudence. One of these is that, where governmental action
seriously injures an individual, and the reasonableness of the
action depends on fact findings, the evidence used to prove the
Government's case must be disclosed to the individual so that he
has an opportunity to show that it is untrue. While this is
important, in the case of documentary evidence, it is even more
important where the evidence consists of the testimony of
individuals whose memory might be faulty or who, in fact, might be
perjurers or persons motivated by malice, vindictiveness,
intolerance, prejudice, or jealousy. We have formalized these
protections in the requirements of confrontation and
cross-examination. They have ancient roots. They find expression in
the Sixth Amendment, which provides that, in all criminal cases,
the accused shall enjoy the right 'to be confronted with the
witnesses against him.' This Court has been zealous to protect
these rights from erosion. It has spoken out not only in criminal
cases, but also in all types of cases where administrative and
regulatory actions were under scrutiny."
(Citations omitted.)
[
Footnote 2/10]
American Bar Association Project on Standards for Criminal
Justice, Providing Defense Services 43 (Approved Draft 1968); Model
Penal Code § 301.4, § 305.15(1) (Proposed Official Draft 1962); R.
Dawson, Sentencing (1969). For the experience of Michigan in giving
hearings to parolees
see id. at 355. In Michigan, it is
estimated that only one out of six parole violators retains
counsel. One who cannot afford counsel is said to be protected by
the hearing members of the board.
Id. at 354. The number
who ask for public hearings are typically five or six a year, the
largest in a single year being 10. Michigan has had this law since
1937.
Id. at 355. But the Michigan experience may not be
typical, for a parole violator is picked up and returned at once to
the institution from which he was paroled.
Id. at
352-353.
By way of contrast, parole revocation hearings in California are
secretive affairs conducted behind closed doors and with no written
record of the proceedings and in which the parolee is denied the
assistance of counsel and the opportunity to present witnesses on
his behalf. Van Dyke, Parole Revocation Hearings in California: The
Right to Counsel, 59 Calif.L.Rev. 1215 (1971).
See also
Note, 56 Geo.L.J. 705 (1968) (federal parole revocation
procedures).
[
Footnote 2/11]
The Brief of the American Civil Liberties Union,
amicus
curiae, contains, in Appendix A, the States that, by statute
or decision, require some form of hearing before parole is revoked
and those that do not. All but nine States now hold hearings on
revocation of probation and parole, some with trial-type rights,
including representation by counsel.
[
Footnote 2/12]
We except, of course, the commission of another offense which,
from the initial step to the end, is governed by the normal rules
of criminal procedure.
[
Footnote 2/13]
The American Correctional Association states in its Manual of
Correctional Standards 279 (3d ed.1966) that:
"To an even greater extent than in the case of imprisonment,
probation and parole practice is determined by an administrative
discretion that is largely uncontrolled by legal standards,
protections, or remedies. Until statutory and case law are more
fully developed, it is vitally important within all of the
correctional fields that there should be established and maintained
reasonable norms and remedies against the sorts of abuses that are
likely to develop where men have great power over their fellows and
where relationships may become both mechanical and arbitrary."
And it provides for parole revocation hearings:
"As soon as practicable after causing an alleged violator [to
be] taken into custody on the basis of a parole board warrant, the
prisoner should be given an opportunity to appear before the board
or its representative. The prisoner should be made fully aware of
the reasons for the warrant, and given ample opportunity to refute
the charges placed against him or to comment as to extenuating
circumstances. The hearing should be the basis for consideration of
possible reinstatement to parole supervision on the basis of the
findings of fact or of reparole where it appears that further
incarceration would serve no useful purpose."
Id. at 130.
The American Bar Association states at p. 10 of its brief
amicus in the present cases that it is
"in full agreement with the American Correctional Association in
this instance. The position that a hearing is to be afforded on
parole revocation is consistent with several sets of criminal
justice standards formally approved by the Association through its
House of Delegates."