Source: https://supreme.justia.com/cases/federal/us/450/24/
Timestamp: 2019-04-18 15:14:56+00:00

Document:
Florida, like many other States, rewards each convicted prisoner for good conduct and obedience to prison rules by using a statutory formula that reduces the portion of his sentence that he must serve. In this case, we consider whether a Florida statute altering the availability of such "gain time for good conduct" [Footnote 1] is unconstitutional as an ex post facto law when applied to petitioner, whose crime was committed before the statute's enactment.
"of every prisoner who has committed no infraction of the rules or regulations of the division, or of the laws of the state, and who has performed in a faithful, diligent, industrious, orderly and peaceful manner, the work, duties and tasks assigned to him."
"(a) Five days per month off the first and second years of his sentence;"
"(b) Ten days per month off the third and fourth years of his sentence; and"
"(c) Fifteen days per month off the fifth and all succeeding years of his sentence."
"(a) Three days per month off the first and second years of the sentence;"
"(b) Six days per month off the third and fourth years of the sentence; and"
"(c) Nine days per month off the fifth and all succeeding years of the sentence."
Court summarily denied the petition. 376 So.2d 855. The court relied on its decision in a companion case raising the same issue where it reasoned that "gain time allowance is an act of grace, rather than a vested right, and may be withdrawn, modified, or denied." Harris v. Wainwright, 376 So.2d 855, 856 (1979). [Footnote 7] We granted certiorari, 445 U.S. 927, and we now reverse.
"which imposes a punishment for an act which was not punishable at the time it was committed; or imposes additional punishment to that then prescribed."
the offense. [Footnote 14] We now consider the Florida statute in light of these two considerations.
The respondent maintains that Florida's 1978 law altering the availability of gain time is not retrospective, because, on its face, it applies only after its effective date. Brief for Respondent 12, 116. This argument fails to acknowledge that it is the effect, not the form, of the law that determines whether it is ex post facto. [Footnote 15] The critical question is whether the law changes the legal consequences of acts completed before its effective date. In the context of this case, this question can be recast as asking whether Fla.Stat. § 944.275(1) (1979) applies to prisoners convicted for acts committed before the provision's effective date. Clearly, the answer is in the affirmative. The respondent concedes that the State uses § 944.275(1), which was implemented on January 1, 1979, to calculate the gain time available to petitioner, who was convicted of a crime occurring on January 31, 1976. [Footnote 16] Thus, the provision attaches legal consequences to a crime committed before the law took effect.
For prisoners who committed crimes before its enactment, § 944.275(1) substantially alters the consequences attached to a crime already completed, and therefore changes "the quantum of punishment." See Dobbert v. Florida, 432 U.S. at 432 U. S. 293-294. Therefore, it is a retrospective law which can be constitutionally applied to petitioner only if it is not to his detriment. Id. at 432 U. S. 294.
Whether a retrospective state criminal statute ameliorates or worsens conditions imposed by its predecessor is a federal question. Lindsey v. Washington, supra at 301 U. S. 400. See Malloy v. South Carolina, 237 U.S. at 237 U. S. 184; Rooney v. North Dakota, 196 U.S. at 196 U. S. 325. The inquiry looks to the challenged provision, and not to any special circumstances that may mitigate its effect on the particular individual. Dobert v. Florida, supra at 432 U. S. 300; Lindsey v. Washington, supra at 301 U. S. 401; Rooney v. North Dakota, supra at 196 U. S. 325.
"[i]t is plainly to the substantial disadvantage of petitioners to be deprived of all opportunity to receive a sentence which would give them freedom from custody and control prior to the expiration of the 15-year term."
"no distinction between depriving a prisoner of the right to earn good conduct deductions and the right to qualify for, and hence earn, parole. Each . . . materially 'alters the situation of the accused to his disadvantage.'"
277 F.Supp. at 646 (quoting In re Medley, supra at 134 U. S. 171). See also Murphy v. Commonwealth, 172 Mass. 264, 52 N.E. 505 (1899).
Fla.Stat. § 944.275(1) (1979); Fla.Stat. § 944.27(1) (1975). At the time of petitioner's offense, Florida used the term "good time," to refer to extra "allowance for meritorious conduct or exceptional industry." Fla.Stat. § 944.29 (1975). The current Florida law adopts the phrase "gain time" to apply to various kinds of time credited to reduce a prisoner's prison term. See, e.g., Fla.Stat. § 944.275(3) (1979).
The statute also provided for extra discretionary good time, based on other factors. See n 18, infra.
No saving clause limiting the Act's application was included. 1978 Fla. Laws, ch. 7304. In applying the new schedule to prisoners like petitioner, the Secretary of the Department of Offender Rehabilitation relied on the legal opinion of the Attorney General of Florida. Fla.Op.Atty.Gen. 078-96 (1978).
"No State shall . . . pass any . . . ex post facto Law." U.S.Const., Art. I, § 10, cl. 1. The Florida Constitution similarly provides that "[n]o . . . ex post facto law . . . shall be passed." Fla. Const., Art. I, § 10. See also Fla. Const., Art. X, § 9 (forbidding state legislature to enact a statute "affect[ing] [the] prosecution or punishment" for any offense previously committed).
Petitioner estimated that his "tentative expiration date" under Fla.Stat. § 944.27 (1975) would be December 31, 1984. App. 15a. The State calculated that application of the new gain-time provision starting with its effective date resulted in a projected release date of February 2, 1987. Id. at 12a-13a. The State does not dispute petitioner's contention that a difference of over two years is at stake.
The Florida court also distinguished cases from other jurisdictions striking down retrospective statutes that eliminated the allowance of gain time in specified situations, revised the entire scheme of criminal penalties, and extended the incarceration of juvenile offenders. 376 So.2d at 857 (distinguishing Dowd v. Sims, 229 Ind. 54, 95 N.E.2d 628 (1950); Goldsworthy v. Hannifin, 86 Nev. 252, 408 P.2d 350 (1970); In re Dewing, 19 Cal.3d 54, 560 P.2d 375 (1977); and In re Valenzuela, 275 Cal.App.2d 483, 79 Cal.Rptr. 760 (1969)).
U.S.Const., Art. I, § 9, cl. 3; Art. I, § 10, cl. 1. " So much importance did the [C]onvention attach to [the ex post facto prohibition], that it is found twice in the Constitution." Kring v. Missouri, 107 U. S. 221, 107 U. S. 227 (1883).
"The enhancement of a crime or penalty seems to come within the same mischief as the creation of a crime or penalty" after the fact. Calder v. Bull, 3 Dall. at 3 U. S. 397 (Paterson, J.). See also Fletcher v. Peck, 6 Cranch 87, 10 U. S. 138 (1810) ("An ex post facto law is one which renders an act punishable in a manner in which it was not punishable when it was committed.").
The ex post facto prohibition also upholds the separation of powers by confining the legislature to penal decisions with prospective effect and the judiciary and executive to applications of existing penal law. Cf. 6 U. S. Blackledge, 2 Cranch 272, 6 U. S. 277 (1804).
See Jaehne v. New York, 128 U. S. 189, 128 U. S. 194 (1888) (portion of legislation void which "should endeavor to reach by its retroactive operation acts before committed'") (quoting T. Cooley, Constitutional Limitations 215 (5th ed. 1883)).
We have also held that no ex post facto violation occurs if the change effected is merely procedural, and does "not increase the punishment nor change the ingredients of the offense or the ultimate facts necessary to establish guilt." Hopt v. Utah, 110 U. S. 574, 110 U. S. 590 (1884). See Dobbert v. Florida, 432 U. S. 282, 432 U. S. 293 (1177). Alteration of a substantial right, however, is not merely procedural, even if the statute takes a seemingly procedural form. Thompson v. Utah, 170 U. S. 343, 170 U. S. 354-355 (1898); Kring v. Missouri, supra at 107 U. S. 232.
In using the concept of vested rights, Harris v. Wainwright, 376 So.2d at 856, the Florida court apparently drew on the test for evaluating retrospective laws in a civil context. See 2 C. Sands, Sutherland on Statutory Construction § 41.06 (4th ed.1973); Hochman, The Supreme Court and the Constitutionality of Retroactive Legislation, 73 Harv.L.Rev. 692, 696 (1960); Smead, The Rule Against Retroactive Legislation: A Basic Principle of Jurisprudence, 20 Minn.L.Rev. 775, 782 (1936). Discussion of vested rights has seldom appeared in ex post facto analysis, as in identifying whether the challenged change is substantive, rather than procedural. Hopt v. Utah, supra at 110 U. S. 590. When a court engages in ex post facto analysis, which is concerned solely with whether a statute assigns more disadvantageous criminal or penal consequences to an act than did the law in place when the act occurred, it is irrelevant whether the statutory change touches any vested rights. Several state courts have properly distinguished vested rights from ex post facto concerns. E.g., State v. Curtis, 363 So.2d 1375, 1379, 1382 (La.1978); State ex rel. Woodward v. Board of Parole, 155 La. 699, 700, 99 So. 534, 535-536 (1924); Murphy v. Commonwealth, 172 Mass. 264, 272, 52 N.E. 505, 507 (1899).
Respondent here advances several theories that incorporate the vested rights approach. For example, respondent defends Fla.Stat. § 944.275(1) (1979) on the ground that it does not take away any gain time that petitioner has already earned. Brief for Respondent 39-40. Although this point might have pertinence were petitioner alleging a due process violation, see Wolff v. McDonnell, 418 U. S. 539 (1974), it has no relevance to his ex post facto claim.
Durant v. United States, 410 F.2d 689, 691 (CA1 1969); Adkins v. Bordenkircher, 262 S.E.2d 885, 887 (W.Va.1980); Goldsworthy v. Hannifin, 86 Nev. at 256-257, 468 P.2d at 352. See Murphy v. Commonwealth, supra at 272, 52 N.E. at 507.
"The Constitution deals with substance, not shadows. Its inhibition was leveled at the thing, not the name. It intended that the rights of the citizen should be secure against deprivation for past conduct by legislative enactment, under any form, however disguised."
Cummins v. Missouri, 4 Wall. 277, 71 U. S. 325 (1867).
Even when the sentence is at issue, a law may be retrospective not only if it alters the length of the sentence, but also if it changes the maximum sentence from discretionary to mandatory. Lindsey v. Washington, 301 U. S. 397, 301 U. S. 401 (1937). The critical question, as Florida has often acknowledged, is whether the new provision imposes greater punishment after the commission of the offense, not merely whether it increases a criminal sentence. Greene v. State, 238 So.2d 296 (Fla.1970); Higginbotham v. State, 88 Fla. 26, 31, 101 So. 233, 235 (1924); Herberle v. P.R.O. Liquidating Co., 186 So.2d 280, 282 (Fla.App. 1966). Thus, in Dobbert v. Florida, 432 U. S. 282 (1977), we held there was no ex post facto violation because the challenged provisions changed the role of jury and judge in sentencing, but did not add to the "quantum of punishment." Id. at 432 U. S. 293-294. In Malloy v. South Carolina, 237 U. S. 180 (1915), we concluded that a change in the method of execution was not ex post facto because evidence showed the new method to be more humane, not because the change in the execution method was not retrospective. Id. at 237 U. S. 185.
These other provisions permit discretionary grants of additional gain time for inmates who not only satisfy the good-conduct requirement, but who also deserve extra reward under designated categories. Under § 944275(3)(b) (1979), "special gain-time" of 1 to 6 days "may be granted" to an "inmate who does some outstanding deed, such as the saving of a life or assisting in the recapturing of an escaped inmate." Another provision specifies that an inmate "may be granted" one to six extra gain-time days per month if he "faithfully performs the assignments given to him in a conscientious manner over and above that which may normally be expected of him" and also either shows "his desire to be a better than average inmate" or "diligently participates in an approved course of academic or vocation study." § 944.275 (3)(a). An inmate may be awarded up to one gain-time credit for labor evaluated "on the basis of diligence of the inmate, the quality and quantity of work performed, and the skill required for performance of the work." § 944.275(2)(b). Finally, for inmates unable to qualify under this previous provision due to "age, illness, infirmity, or confinement for reasons other than discipline," additional gain time of up to six days per month may be granted for "constructive utilization of time." § 944.275(2)(e).
In addition, few of the "new" sources for extra gain time do more than reiterate previous opportunities provided by statute or state regulation. Compare Fla.Stat. § 944.275(3)(a) (1979) with § 944.29 (1975) ("an extra good-time allowance for meritorious conduct or exceptional industry"); Fla.Stat. § 944.275(2)(b) (1979) with § 944.27 (1975) (authorizing administrative rules governing additional gain time) and Fla.Admin. Code, Rule 10B-20.04(1) (1975) (gain time for construction labor project); Fla.Stat. § 944.275(3)(b) (1979) with Rule 10B-20.04 (2) (1975) (gain time for outstanding deed). Moreover, under the statute in existence when petitioner's crime occurred, the Department of Corrections enjoyed greater discretion as to the reasons for awarding extra gain time, and as to the amount that could be awarded. See § 944.29 (1975).
As respondent put it, "all any prisoner had to do . . . was to stay out of trouble." Brief for Respondent 25. The monthly gain-time provision, both at the time of petitioner's offense and now, directed that the Department of Corrections "shall" award gain time to those who obey the rules and perform their work satisfactorily. Fla Stat. § 944.27(1) (1975); Fla.Stat. § 944.275(1) (1979). The discretionary extra gain time cannot fully compensate for the reduced accumulation of gain time for good behavior, for the discretionary credit is more uncertain. Cf. In re Medley, 134 U. S. 160, 134 U. S. 172 (1890) (rejecting nondisclosure of execution date as ex post facto increase of uncertainty and mental anxiety). Moreover, replacement of mandatory sentence reduction with discretionary sentence reduction cannot be permissible in light of Lindsey v. Washington, 301 U.S. at 301 U. S. 401. There, we rejected as an ex post facto violation a legislative change from flexible sentencing to mandatory maximum sentencing because the retrospective legislation restricted defendants' opportunity to serve less than the maximum time in prison.
We need not give lengthy consideration to respondent's claim that the challenged statute, Fla.Stat. § 944.275(1) (1979), is merely procedural because it does not alter the punishment prescribed for petitioner's offense. Brief for Respondent 13, 17-18. This contention is incorrect, given the uncontested fact that the new provision reduces the quantity of gain time automatically available, and does not merely alter procedures for its allocation. See supra, 450 U. S. Respondent's reliance on a general statement of legislative intent unrelated to the gain-time provision, see Brief for Respondent 17 (citing Fla.Stat. § 944.012(6) (1979)), is also unpersuasive.
The proper relief upon a conclusion that a state prisoner is being treated under an ex post facto law is to remand to permit the state court to apply, if possible, the law in place when his crime occurred. See Lindsey v. Washington, supra at 301 U. S. 402, In re Medley, supra at 134 U. S. 173. In remanding for this relief, we note that only the ex post facto portion of the new law is void as to petitioner, and therefore any severable provisions which are not ex post facto may still be applied to him. See 2 C. Sands, Sutherland on Statutory Construction § 44.04 (4th ed.1973).
thesis would be: (a) the 1978 Florida statute operates only prospectively, and does not affect petitioner's credits earned and accumulated prior to the effective date of the statute; (b) "good time" or "gain time" is something to be earned, and is not part of, or inherent in, the sentence imposed; (c) all the new statute did was to remove some of petitioner's hope and a portion of his opportunity; and (d) his sentence therefore was not enhanced by the statute. In addition, as the Court's 18th footnote reveals, ante at 450 U. S. 34-35, the statutory change by no means was entirely restrictive; in certain respects it was more lenient, as the Court's careful preservation for this prisoner of the new statute's other provisions clearly implies. Ante at 450 U. S. 36 and this page, n 22.
The Court's precedents, however, particularly Lindsey v. Washington, 301 U. S. 397 (1937), and the summary disposition of Greenfield v. Scafati, 277 F.Supp. 644 (Mass.1967), aff'd, 390 U. S. 713 (1968), although not warmly persuasive for me, look the other way, and I thus must accede to the judgment of the Court.
under prior law to earn additional gain time beyond the good conduct formula. * The case is not resolved simply by comparing the 5-10-15 formula with the 3-6-9 formula. "We must compare the two statutory procedures in toto to determine if the new may be fairly characterized as more onerous." Ibid.
that nothing in today's decision compels Florida to provide prisoners in petitioner's position with the benefits of the new provisions when this Court has held that Florida may not require such prisoners to pay the price. It is not at all clear that the Florida Legislature would have intended to make available the new discretionary gain time to prisoners earning automatic gain time under the old 5-10-15 formula, when the legislature, in fact, reduced the 5-10-15 formula when it enacted the new provisions. The question is, of course, one for Florida to resolve.
* While the Court points out that gain time was available under the old scheme beyond the 5-10-15 formula, ante at 450 U. S. 35, n.19, I am not convinced that the new sources simply "reiterate[d]" opportunities previously available. There is, for example, no dispute that several of the new sources of gain time have no analogues in the previous statutory or administrative scheme. See, e.g., Fla.Stat. § 944.275(2)(e) (1979) (up to six days of gain time per month because of age, illness, infirmity, or confinement for reasons other than discipline); § 944.275(3)(a) (up to six days per month for inmates who diligently participate in an approved course of academic or vocational study). Other new statutory provisions which had only administrative counterparts improved substantially on the availability of gain time. For example, under the old administrative system, an inmate could receive from 1 to 15 days of gain time per month for constructive labor, Fla.Admin.Code, Rule 10B-20.04(1) (1975), while, under the new statutory scheme, an inmate can receive up to 1 day of gain time for every day of constructive labor, Fla.Stat. § 944.275(2)(b) (1979).

References: v. 
 § 944
 § 944
 § 944
 v. 
 v. 
 v. 
 v. 
 v. 
 v. 
 v. 
 v. 
 § 944
 § 944
 § 944
 § 944
 § 10
 § 10
 § 9
 § 944
 v. 
 v. 
 § 9
 § 10
 v. 
 v. 
 v. 
 v. 
 v. 
 v. 
 v. 
 v. 
 v. 
 § 41
 v. 
 v. 
 v. 
 v. 
 § 944
 v. 
 v. 
 v. 
 v. 
 v. 
 v. 
 v. 
 v. 
 v. 
 v. 
 v. 
 v. 
 § 944275
 § 944
 § 944
 § 944
 § 944
 § 944
 § 944
 § 944
 § 944
 § 944
 § 944
 § 944
 v. 
 § 944
 § 944
 v. 
 § 44
 v. 
 v. 
 § 944
 § 944
 § 944