Opinion ID: 783986
Heading Depth: 5
Heading Rank: 1

Heading: Constitutional Requirements for Probation or Parole Revocation

Text: 28 Before a revocation of parole or probation can occur, the Constitution requires that there be (1) a formal finding that a probationer or parolee has committed a violation and (2) a determination that the violation was serious enough to warrant reimposing the probationer's or parolee's original sentence. See Morrissey v. Brewer, 408 U.S. 471, 479-80, 92 S.Ct. 2593, 33 L.Ed.2d 484 (1972) (setting out requirements for parole revocation); see also Gagnon v. Scarpelli, 411 U.S. 778, 93 S.Ct. 1756, 36 L.Ed.2d 656 (1973) (extending requirements of Morrissey to probation revocation hearings). Because the consequences of the revocation process are serious, see Morrissey, 408 U.S. at 482, 92 S.Ct. 2593, the probationer or parolee must be afforded an opportunity to present evidence to suggest that his violation does not warrant revocation. See id. at 487-88, 92 S.Ct. 2593. In addition to a preliminary hearing to determine whether there was reasonable cause to believe that a probationer or parolee had violated the conditions of his probation or parole, a final revocation hearing must be held by the probation or parole authority, if so desired by the probationer or parolee, in order to determine whether revocation is actually warranted. See id. at 486-88, 92 S.Ct. 2593. 29 A violation alone does not automatically trigger a revocation. See id. at 479, 92 S.Ct. 2593. Probation or parole authorities generally have two options: modify or extend the conditions of supervision, or revoke. See, e.g., U.S.S.G. § 7B1.3(a)(2) (2002). Where other steps are available which will protect society and improve chances of rehabilitation, revocation is generally inappropriate. See Morrissey, 408 U.S at 480, 92 S.Ct. 2593, see also id. at 484, 92 S.Ct. 2593 (Society ... 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.). The probation or parole authority, having both expertise and the entire record of the probationer or parolee before it, is presumptively the party in the best position to choose whether to revoke or impose some form of intermediate sanction. See id. at 480, 92 S.Ct. 2593 (deciding what to do about the violation once it is identified ... is not purely factual but also predictive and discretionary). 30 In sum, before a district court can conclude that there has been a revocation pursuant to § 4A1.2(k), there must be, at minimum, a showing that the requirements of Morrissey were met. See Johnson, 205 F.3d at 1199-1200 (finding record insufficient to uphold finding of revocation where probationer was detained three times and no revocation hearing was ever held). Where a parole or probation authority has effectuated an actual revocation, the government can rely on the record from that proceeding to show that § 4A1.2(k) is applicable. See United States v. Newman, 912 F.2d 1119, 1122 (9th Cir.1990) (where government has presented record of prior conviction, defendant may rebut government's assertion that prior conviction occurred by showing constitutional invalidity of proceeding). However, where no such record is present, we must presume that no revocation occurred. 31