Neese v. Utah Bd. of Pardons & Parole
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Opinions
Associate Chief Justice Lee filed a dissenting opinion.
On Certification from the Utah Court of Appeals
Justice Himonas, opinion of the Court:
INTRODUCTION
¶ 1 Michael Neese, a Utah prison inmate, has never been convicted of a sex offense, subjected to prison discipline for sexual misconduct, or otherwise adjudicated a sexual offender. Yet the Board of Pardons and Parole (Parole Board) has denied him an original release date for parole largely based on its determination that he's a sex offender and his refusal to participate in sex offender treatment. Applying the principles we articulated in
Labrum v. Utah State Board of Pardons
,
BACKGROUND
¶ 2 After his trial on forcible sodomy ended in a mistrial, Mr. Neese pleaded guilty to two counts of obstruction of justice, one
count of theft, and one count of burglary. Mr. Neese received a composite prison sentence of two to thirty years. Under Utah's discretionary sentencing scheme, this meant that the Parole Board was authorized to order Mr. Neese's release any time between two and thirty years from his sentence and commitment. A nonbinding "sentencing matrix" prepared for the district court estimated that Mr. Neese would likely serve forty-six months, with an anticipated release date in 2014.
¶ 3 Mr. Neese's original parole hearing began on September 13, 2011. The hearing officer asked Mr. Neese about his criminal history, his record in prison, and his plans upon release. Mr. Neese only partially accepted responsibility for the offenses to which he pleaded guilty, and he minimized his prior criminal record. Mr. Neese also reported that he'd successfully participated in anger management and other prison programming, and he stated that, upon release, he intended to work in construction.
¶ 4 The hearing officer questioned Mr. Neese extensively about allegations that he'd raped his friends' daughter in 2009, while he was an overnight guest at her parents' house. The hearing officer based his questions on Mr. Neese's presentence report, police reports, a victim statement, and correspondence from the prosecuting attorneys in Mr. Neese's case, all of which stated that the seventeen-year-old daughter of one of Mr. Neese's longtime friends had told police that she had awoken to find Mr. Neese in her bed with his erect penis between the cheeks of her buttocks.
¶ 5 In response to the hearing officer's questioning, Mr. Neese "denied attempting to sodomize the victim." He acknowledged that he'd entered her room while she was sleeping and that his shirt was off at the time, but he explained that he did so because he was about to go to sleep, needed a pillow and blanket, and knew that was where his host kept spare bedding. He speculated that the alleged victim-who he testified had previously been the victim of sexual abuse-had falsely accused him because she'd been "startled" by seeing him in her room with his shirt off.
¶ 6 After his first hearing, the Parole Board declined to set a release date and scheduled a rehearing. It based its decision on (1) his "[h]istory of similar offenses," (2) his "[h]istory of unsuccessful ... supervisions," (3) the fact that he'd been convicted of offenses involving "[m]ultiple incidents and/or victims," (4) the "[p]ersonal gain he reaped from the offense," (5) his "[d]enial or minimization ... of responsibility," (6) his history of "[r]epeated, numerous ... incarceration[s] or parole revocation[s]," and (7) his lack of "[o]verall rehabilitative progress and promise." The Parole Board scheduled the rehearing for Mr. Neese on February 1, 2014, and it stated that a sex offender treatment memorandum was "due to the Board of Pardons by 01/2014."
¶ 7 Mr. Neese's rehearing took place on February 13, 2014. Unlike at his first hearing, Mr. Neese accepted responsibility for the crimes of which he was convicted and didn't seek to minimize his prior criminal history other than refusing to discuss his juvenile record because he considered it "irrelevant." The hearing officer noted that Mr. Neese had been a "good inmate" who had completed numerous life skills classes, and Mr. Neese again emphasized that he intended to do construction work once he was released.
¶ 8 As at Mr. Neese's first hearing, the hearing officer again asked Mr. Neese about his alleged 2009 sex offense. Mr. Neese again denied these allegations and testified in detail-and consistent with the testimony he gave at his first parole hearing-about what had happened, why he believed he was falsely accused, and why he thought his accuser was not credible. Mr. Neese stated that he wasn't willing to participate in sex offender treatment.
¶ 9 At the end of the second hearing, the hearing officer stated that he didn't "buy [Mr. Neese's] story on the sex offense." He also telegraphed that Mr. Neese's refusal to participate in sex offender treatment would be, as the district court found it was, a factor in his recommendation to the Parole Board, stating, "I'm gonna take the matter under advisement as far as what I'm gonna recommend [to the Parole Board], but ... I wish you'd ... been willing to do sex offender treatment, that would have been a lot better."
¶ 10 On February 20, 2014, the Parole Board declined for a second time to fix an early release date for Mr. Neese. Among the reasons it gave was Mr. Neese's refusal to accept responsibility-a consideration that could only apply on the assumption that Mr. Neese had committed a sexual offense because Mr. Neese had accepted responsibility for his other crimes. The Parole Board scheduled a third hearing for Mr. Neese, and again ordered the Department of Corrections to prepare a sex offender treatment memorandum.
¶ 11 After he was denied a release date for a second time, Mr. Neese filed a pro se petition for a writ of extraordinary relief. His lawsuit alleged that the Parole Board's determination that he was a sex offender and its decision to condition his parole on successful completion of sex offender treatment violated his due process rights. Mr. Neese also asked the district court to appoint counsel. The district court denied Mr. Neese's request for counsel and dismissed Mr. Neese's complaint as frivolous, but the court of appeals reversed after concluding that Mr. Neese had raised a nonfrivolous issue implicating "the fairness of the process by which the [Parole] Board undertakes its sentencing function." Neese v. Utah Bd. of Pardons & Parole , No. 2014647-CA (unpublished order Nov. 20, 2014) (quoting Padilla v. Utah Bd.
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Associate Chief Justice Lee filed a dissenting opinion.
On Certification from the Utah Court of Appeals
Justice Himonas, opinion of the Court:
INTRODUCTION
¶ 1 Michael Neese, a Utah prison inmate, has never been convicted of a sex offense, subjected to prison discipline for sexual misconduct, or otherwise adjudicated a sexual offender. Yet the Board of Pardons and Parole (Parole Board) has denied him an original release date for parole largely based on its determination that he's a sex offender and his refusal to participate in sex offender treatment. Applying the principles we articulated in
Labrum v. Utah State Board of Pardons
,
BACKGROUND
¶ 2 After his trial on forcible sodomy ended in a mistrial, Mr. Neese pleaded guilty to two counts of obstruction of justice, one
count of theft, and one count of burglary. Mr. Neese received a composite prison sentence of two to thirty years. Under Utah's discretionary sentencing scheme, this meant that the Parole Board was authorized to order Mr. Neese's release any time between two and thirty years from his sentence and commitment. A nonbinding "sentencing matrix" prepared for the district court estimated that Mr. Neese would likely serve forty-six months, with an anticipated release date in 2014.
¶ 3 Mr. Neese's original parole hearing began on September 13, 2011. The hearing officer asked Mr. Neese about his criminal history, his record in prison, and his plans upon release. Mr. Neese only partially accepted responsibility for the offenses to which he pleaded guilty, and he minimized his prior criminal record. Mr. Neese also reported that he'd successfully participated in anger management and other prison programming, and he stated that, upon release, he intended to work in construction.
¶ 4 The hearing officer questioned Mr. Neese extensively about allegations that he'd raped his friends' daughter in 2009, while he was an overnight guest at her parents' house. The hearing officer based his questions on Mr. Neese's presentence report, police reports, a victim statement, and correspondence from the prosecuting attorneys in Mr. Neese's case, all of which stated that the seventeen-year-old daughter of one of Mr. Neese's longtime friends had told police that she had awoken to find Mr. Neese in her bed with his erect penis between the cheeks of her buttocks.
¶ 5 In response to the hearing officer's questioning, Mr. Neese "denied attempting to sodomize the victim." He acknowledged that he'd entered her room while she was sleeping and that his shirt was off at the time, but he explained that he did so because he was about to go to sleep, needed a pillow and blanket, and knew that was where his host kept spare bedding. He speculated that the alleged victim-who he testified had previously been the victim of sexual abuse-had falsely accused him because she'd been "startled" by seeing him in her room with his shirt off.
¶ 6 After his first hearing, the Parole Board declined to set a release date and scheduled a rehearing. It based its decision on (1) his "[h]istory of similar offenses," (2) his "[h]istory of unsuccessful ... supervisions," (3) the fact that he'd been convicted of offenses involving "[m]ultiple incidents and/or victims," (4) the "[p]ersonal gain he reaped from the offense," (5) his "[d]enial or minimization ... of responsibility," (6) his history of "[r]epeated, numerous ... incarceration[s] or parole revocation[s]," and (7) his lack of "[o]verall rehabilitative progress and promise." The Parole Board scheduled the rehearing for Mr. Neese on February 1, 2014, and it stated that a sex offender treatment memorandum was "due to the Board of Pardons by 01/2014."
¶ 7 Mr. Neese's rehearing took place on February 13, 2014. Unlike at his first hearing, Mr. Neese accepted responsibility for the crimes of which he was convicted and didn't seek to minimize his prior criminal history other than refusing to discuss his juvenile record because he considered it "irrelevant." The hearing officer noted that Mr. Neese had been a "good inmate" who had completed numerous life skills classes, and Mr. Neese again emphasized that he intended to do construction work once he was released.
¶ 8 As at Mr. Neese's first hearing, the hearing officer again asked Mr. Neese about his alleged 2009 sex offense. Mr. Neese again denied these allegations and testified in detail-and consistent with the testimony he gave at his first parole hearing-about what had happened, why he believed he was falsely accused, and why he thought his accuser was not credible. Mr. Neese stated that he wasn't willing to participate in sex offender treatment.
¶ 9 At the end of the second hearing, the hearing officer stated that he didn't "buy [Mr. Neese's] story on the sex offense." He also telegraphed that Mr. Neese's refusal to participate in sex offender treatment would be, as the district court found it was, a factor in his recommendation to the Parole Board, stating, "I'm gonna take the matter under advisement as far as what I'm gonna recommend [to the Parole Board], but ... I wish you'd ... been willing to do sex offender treatment, that would have been a lot better."
¶ 10 On February 20, 2014, the Parole Board declined for a second time to fix an early release date for Mr. Neese. Among the reasons it gave was Mr. Neese's refusal to accept responsibility-a consideration that could only apply on the assumption that Mr. Neese had committed a sexual offense because Mr. Neese had accepted responsibility for his other crimes. The Parole Board scheduled a third hearing for Mr. Neese, and again ordered the Department of Corrections to prepare a sex offender treatment memorandum.
¶ 11 After he was denied a release date for a second time, Mr. Neese filed a pro se petition for a writ of extraordinary relief. His lawsuit alleged that the Parole Board's determination that he was a sex offender and its decision to condition his parole on successful completion of sex offender treatment violated his due process rights. Mr. Neese also asked the district court to appoint counsel. The district court denied Mr. Neese's request for counsel and dismissed Mr. Neese's complaint as frivolous, but the court of appeals reversed after concluding that Mr. Neese had raised a nonfrivolous issue implicating "the fairness of the process by which the [Parole] Board undertakes its sentencing function."
Neese v. Utah Bd. of Pardons & Parole
, No. 2014647-CA (unpublished order Nov. 20, 2014) (quoting
Padilla v. Utah Bd. of Pardons & Parole
,
¶ 12 On remand, the Parole Board moved for summary judgment and Mr. Neese filed a response in opposition. The district court granted summary judgment for the Parole Board, concluding that Mr. Neese received due process under the state constitution.
¶ 13 Mr. Neese now appeals. He argues that the Parole Board's determinations violate (1) the Utah Constitution's unnecessary rigor provision, (2) the Utah Constitution's due process provision, (3) the Eighth Amendment's prohibition on cruel and unusual punishment, and (4) the Fourteenth Amendment's Due Process Clause.
¶ 14 Utah Code section 78A-3-102(3)(b) gives us jurisdiction.
PRESERVATION
¶ 15 Because this case poses significant preservation problems, we first address which of Mr. Neese's claims are preserved for review.
¶ 16 The preservation requirement is a "self-imposed" rule of "prudence" that aims to promote fairness and judicial economy.
Fort Pierce Indus. Park Phases II, III and IV Owners Ass'n v. Shakespeare
,
¶ 17 Two of Mr. Neese's arguments on appeal-his Eighth Amendment and unnecessary rigor challenges-are plainly unpreserved. Mr. Neese never raised an Eighth Amendment challenge to the Parole Board's actions in his petition for an extraordinary writ, and he mentioned the unnecessary rigor provision only once, without connecting it to any facts, law, or argument. Neither the Parole Board nor the district court considered these claims, nor did the court of appeals otherwise put these claims at issue in its order vacating the district court's determination that Mr. Neese's petition was frivolous and remanding to give the Parole Board an opportunity to explain why its proceedings respected Mr. Neese's due process rights. These claims are therefore not properly before us.
See
State v. Worwood
,
¶ 18 On the other hand, Mr. Neese's due process claims are preserved and properly before us. Mr. Neese preserved his federal due process claim in his petition for an extraordinary writ. He argued at length that the Parole Board's finding that he'd committed a sex offense of which he'd never been convicted and that its decision to factor his refusal to participate in sex offender treatment into its early release determination violated the Due Process Clause of the Fourteenth Amendment. And he adduced detailed facts and pertinent legal authority in support of this claim.
¶ 19 As the Parole Board acknowledged in its briefing to this court, Mr. Neese's state due process claim was likewise preserved before the district court. While Mr. Neese's petition didn't itself plead a separate due process claim under our constitution, the court of appeals injected the issue into the underlying proceeding when it directed the district court to solicit a response from the Parole Board on the "fairness of the process by which the [Parole] Board undertakes its sentencing function" under
Padilla v. Utah Board of Pardons & Parole
,
¶ 20 Because Mr. Neese's due process claims are preserved for appeal, we now turn to their merits.
STANDARD OF REVIEW
¶ 21 The question in this case is whether the district court erred in granting
summary judgment in favor of the Parole Board on Mr. Neese's due process claims. "Constitutional issues, including questions regarding due process, are questions of law that we review for correctness."
Salt Lake City Corp. v. Jordan River Restoration Network
,
ANALYSIS
¶ 22 Our court has on occasion advocated for a primacy approach under which "a state court looks first to state constitutional law, develops independent doctrine and precedent, and decides federal questions only when state law is not dispositive."
State v. Worwood
,
¶ 23 Article I, section 7 of the Utah Constitution provides that "[n]o person shall be deprived of life, liberty or property, without due process of law." In
Labrum v. Utah State Board of Pardons
, we held that this provision extends the protection of "fundamental principles of due process" to inmates at "original parole grant hearings at which predicted terms of incarceration are determined."
¶ 24 The hearings at issue here are original parole grant hearings directly subject to
Labrum
's due process protections. These protections vary depending on the demands of the particular situation.
See
id.
at 911 ("Due process is flexible and calls for the procedural protections that the given situation demands." (quoting
In re Whitesel
,
I. MR. NEESE WAS ENTITLED TO GREATER PROCESS THAN HE RECEIVED AT HIS ORIGINAL PAROLE GRANT HEARINGS
¶ 25 With these principles in mind, we turn to what procedural protections the Parole Board must respect before it determines that someone who has never before been adjudicated a sex offender is one and effectively conditions his early release on his participation in sex offender treatment. In
Labrum
, the petitioner argued that he was entitled (1) to "receive adequate notice to prepare for [his] parole release hearing" and
(2) to "receive copies or a summary of the information in the [Parole] Board's file on which the [Parole] Board will rely."
Labrum v. Utah State Bd. of Pardons
,
¶ 26
Labrum
didn't purport to exhaustively list the procedural protections to which the Utah Constitution entitles an inmate in an original parole hearing. Instead,
Labrum
"emphasize[d] ... that this opinion ... addresses only those procedures specifically requested by this petitioner."
¶ 27 Applying the framework that
Labrum
articulated, we conclude that the case before us calls for additional procedural protections, over and above notice of a hearing and the opportunity to review the information on which the Parole Board will rely in making its determination about whether, and when, to fix Mr. Neese's initial release date. The Parole Board's conduct in this case is, at a minimum, closely analogous to a sentencing court's considering uncharged or unconvicted conduct in fixing a defendant's sentence.
¶ 28 In this circumstance-essentially turning the presumption of innocence on its head and imprisoning a person for decades for a sex crime they've never been convicted of-the two "critical functions" of procedural due process-minimizing error and promoting the perception of fairness-require greater procedural protections than thin notice and the opportunity to review the Parole Board's information.
¶ 29 Nor is simply giving the inmate an opportunity to speak on his own behalf enough to reduce the risk of error when, as here, unconvicted sexual conduct logically distinct from the offenses of conviction is at issue.
See
Neel v. Holden
,
¶ 30 Additional procedural protections are particularly important when the Parole Board is considering whether an inmate has committed an unconvicted sex offense. The determination that an inmate has committed a sex offense triggers an unusually-perhaps uniquely-harsh set of consequences. Construing the record in the light most favorable to Mr. Neese, as we must, it appears that the Parole Board places significant and perhaps determinative weight on whether an inmate deemed to be a sex offender has participated in sex offender treatment in making its early release determinations. But a prerequisite to participating in sex offender treatment is admitting to having committed a sex offense.
See
State v. Humphrey
,
¶ 31 There are additional reasons why the interest in minimizing error is particularly urgent in cases where the Parole Board has determined that an inmate has committed a sex offense of which he's not been convicted, and where-as here-it's alleged that this determination has caused the Department of Corrections to classify the inmate as a sex offender. Inmates who are classified as sex offenders are beaten and raped at significantly higher rates than others in the prison population.
See
Renchenski v. Williams
,
¶ 32 Additional procedural protections are also needed to protect the integrity of the parole-grant process and to promote the other criminal procedure values that
Labrum
seeks to safeguard: uniformity in sentences, rational plea bargaining, and good behavior in prison.
Labrum
,
¶ 33 The risk of unjustified sentencing disparities in such a system is great. By the same token, defendants will be justifiably wary of accepting plea deals if they know that bargained-for dismissed charges, on which they have steadfastly maintained their innocence and that are not logically implicit in the factual basis of their allocution, can come roaring back at their parole hearing and result in a sentence decades longer than the sentence all parties contemplated based on the sentencing matrix at the time. And, given that the perception of fairness is important to good behavior in prison, this value will also be well-served by according inmates in Mr. Neese's shoes the procedural protections that basic fairness requires.
See
¶ 34 The transcripts of the parole-grant hearings in this case underscore the need for additional procedural protections for inmates like Mr. Neese. In both his initial parole hearing and his rehearing in 2014, Mr. Neese testified consistently and emphatically that he wasn't a sexual offender. The transcripts of these hearings reveal that both his account of the events of the night on which he was accused of committing rape and his explanation of why the alleged victim falsely accused him have surface plausibility. We're hard pressed to see how Mr. Neese could have mounted a more effective defense while availing himself only of the basic due process protections to which Labrum entitles all inmates. Yet, without explaining why, the Parole Board chose to believe unproven allegations in a police report over Mr. Neese's explanation of why they were false. We lack confidence in the accuracy of these proceedings.
¶ 35 On appeal, the Parole Board argues that because Mr. Neese isn't entitled to parole, he can't have a "protectable liberty interest" in early release that would trigger the protections of due process over and above what Labrum already requires. The Parole Board directs our attention to federal cases holding that, in discretionary parole systems, parole boards may ask inmates to participate in sex offender treatment and even make participation a precondition to early release without according any process at all.
¶ 36 The Parole Board appears to be correct that Mr. Neese doesn't enjoy federal procedural due process protections in a discretionary parole grant hearing. Under federal law, the Due Process Clause applies only to prospective parolees who have a protected "liberty interest" in early release.
Sandin v. Conner
,
¶ 37 Mr. Neese has adduced no contrary authority; each of the cases that Mr. Neese cites for the proposition that the federal Due Process Clause entitles inmates to procedural protections before they may be classified as sex offenders first found a protected liberty interest based on an underlying
statutory entitlement
to release that the sex offender classification jeopardized.
See, e.g.
,
Coleman v. Dretke
,
¶ 38 We acknowledge that in
Sandin v. Conner
, the United States Supreme Court retreated somewhat from the view that statutory and regulatory entitlements are necessary or sufficient to create protected liberty interests, and that
Sandin
instead urged courts to focus on the functional questions whether a parole or correctional decision has imposed an "atypical and significant hardship" on the inmate or "will inevitably affect the duration of [the] sentence."
¶ 39 So the Parole Board is likely right that Mr. Neese doesn't presently enjoy a federally protected liberty interest in parole. But the federal cases don't support the Parole Board's contention that
Labrum
sets the ceiling for state due process protections, and they're curious cases to press into that service. Instead, if the logic of these cases applied under Utah's Constitution, we'd have to overrule
Labrum
and hold that our constitution requires the same "liberty interest" analysis that the federal courts employ. But the Parole Board doesn't ask us to overrule
Labrum
, and, even more importantly, we believe that
Labrum
got it right: being kept in prison, potentially for decades longer than one otherwise would, is a paradigmatic example of a deprivation of liberty. Moreover, to the extent that the Parole Board asks us to conclude that
Labrum
is confined to its facts, we decline the invitation. The Parole Board has given us no cause to repudiate the reasoning of
Labrum
, and our task is to faithfully apply our precedent. We adhere to
Labrum
absent any argument or indication that it should be overruled.
See
State v. Steed
,
¶ 40 Based on Labrum 's framework and the undisputed facts (1) that Mr. Neese has never been adjudicated a sex offender in any proceeding and (2) that the Parole Board nonetheless determined that he'd committed a sex offense and thus took his refusal to participate in sex offender treatment into consideration as a factor bearing on whether he should be released, we conclude that Mr. Neese was entitled to greater due process protections than he received.
II. THE ADDITIONAL PROCEDURAL PROTECTIONS TO WHICH MR. NEESE IS ENTITLED
¶ 41 Among the crucial elements of due process under article I, section 7 of the Utah Constitution are "notice to the person of the inauguration and purpose of the inquiry and the time at which such person should appear if he wishes to be heard," the "right to appear in person or by counsel," and a "fair opportunity to submit evidence."
Christiansen v. Harris
,
¶ 42 In
Wolff v. McDonnell
,
¶ 43 We hold today that the Utah Constitution requires analogous procedures in original parole grant hearings where the Parole Board intends to classify as a sex offender an inmate who has never been convicted of a sex offense or otherwise adjudicated a sex offender. That is, the Parole Board (1) must, in advance of the hearing, provide particularized written notice that it intends to consider and effectively decide unconvicted sexual conduct in making its parole determination; (2) unless the safe administration of the prison system requires otherwise, it must allow the inmate to call witnesses and present documentary evidence in his defense; and (3) it must provide a written statement of the evidence it relied upon and the reasons it concluded that the inmate committed the unconvicted sexual conduct.
¶ 44 These procedures will redress the due process problems that we've identified with the Parole Board's considering unconvicted sexual conduct in this case. Particularized, advance written notice and the ability to call witnesses will reduce the risk of error and promote the perception of fairness by allowing inmates to meaningfully present evidence in a situation where they've never before had the opportunity to do so. The requirement that an inmate receive particularized written notice flows directly from
Labrum
's holding that inmates must be given "the materials and information on which the [Parole] Board [intends to] rel[y] at an original parole grant hearing."
Labrum v. Utah State Bd. of Pardons
,
¶ 45 An inmate who stands accused of committing an unconvicted sexual offense must also be allowed to call witnesses. To be sure, the ability to call witnesses isn't essential to the fairness and accuracy of all original parole proceedings. But when the Parole Board considers unconvicted sexual conduct, these procedural protections are "basic to a fair hearing."
Wolff
,
¶ 46 Similarly, a written statement of the evidence relied upon and the reasons that the Parole Board concluded that the inmate committed the unconvicted sexual conduct will promote fairness and accuracy, both by ensuring that the Parole Board has carefully considered the evidence and by creating a record of the Parole Board's adjudication that allows for meaningful due process review.
Cf.
Preece v. House
,
¶ 47 The procedures we require today will also further other important interests. First,
they'll eliminate the irrational disparity otherwise created by the fact that inmates in disciplinary proceedings-where the potential sanctions are often much less severe than extra years, decades, or life in prison-are entitled to
Wolff
's procedural protections, whereas inmates are not entitled to
Wolff
's procedural protections when the Parole Board is sitting in an analogous capacity by adjudicating an inmate's guilt or innocence of an offense for which he's not otherwise been found guilty.
See
Wolff
,
¶ 48 We accordingly hold Mr. Neese was entitled to the procedural protections this opinion outlines before the Parole Board could designate him a sex offender based on previously unadjudicated allegations of sexual misconduct.
III. THE DISSENT
¶ 49 The dissent believes Mr. Neese has already received more process than he's entitled to under the due process provision. According to the dissent, the framers of the Utah Constitution would have never understood the mandates of due process to extend beyond the guilt phase of a criminal proceeding. A consequence of this is that due process protections simply do not apply to sentencing-a view that, if taken seriously and to its logical conclusion, would mean that "heads you live/tails you die" sentencing doesn't offend due process in this state. And, even if the protections of due process do extend to parole proceedings, the dissent thinks Mr. Neese has received all due process requires and then some. After all, he'd been told of the parole hearing and given an opportunity to speak. He even received the packet of information on which the Parole Board relied in denying him parole.
¶ 50 We reject the dissent's analysis for two reasons. First, it can't be squared with the kind of fidelity to
Labrum
and its progeny that our commitment to the principles of
stare decisis
requires. Second, it rests exclusively on the dissent's potentially incomplete review of some sources bearing on the original meaning of article I, section 7 of the Utah Constitution.
See
Griffin v. United States
,
¶ 51 These considerations apply with particular force here because no party asked us to overrule
Labrum
or to confine it to its facts on the basis that it's inconsistent with the original meaning of article I, section 7 of the Utah Constitution.
See
Munson v. Chamberlain
,
¶ 52 With this backdrop in mind, our response to the dissent proceeds in four parts. First, we explain why the dissent's approach to
Labrum
is inconsistent with our
stare decisis
principles.
A. Labrum and Stare Decisis
¶ 53 We've already explained why
Labrum
requires that Mr. Neese receive additional procedural protections-the right to particularized notice, to call witnesses, and to a fuller written explanation of the Parole Board's decision-before the Parole Board may, in effect, extend Mr. Neese's term of incarceration based on untested allegations that he committed a sex offense unrelated to the reasons for his incarceration.
Supra
¶¶ 25-34. Under
Labrum
, "original release hearings ... are analogous to sentencing hearings and require due process to the extent that the analogy holds."
Labrum v. Utah State Bd. of Pardons
,
¶ 54 In the ordinary case, the Parole Board makes its decision based on considerations such as a review of an inmate's criminal, psychological, social, and carceral history. The Parole Board examines the crimes of which the inmate has already been adjudicated, the inmate's network of social support, his disciplinary, social-programmatic, and work record in prison, and (if pertinent) uncontested therapeutic opinions of the inmate's psychologist or therapist. When this is the extent of the Parole Board's review, it need not allow an inmate to call witnesses because witnesses won't meaningfully reduce the risk of error or promote the perception of fairness. Instead, it's sufficient to give an inmate the opportunity to review the records on which the Parole Board intends to rely, to afford the inmate an opportunity to speak, and to provide a brief written summary of the factors the Parole Board considered in setting the inmate's release date.
Labrum
,
¶ 55 But Labrum requires more when the Parole Board goes beyond its usual role and, instead, bases its decisions on untested allegations that an inmate has committed a sex offense. In such a situation, the Parole Board is sitting not just as a sentencing tribunal, but as a trier of fact. Cf.
Labrum
,
¶ 56 The dissent disagrees. It acknowledges that Labrum "deserves some measure of respect as a matter of stare decisis ." Infra ¶ 125. But the dissent thinks it can square its preferred result with upholding Labrum . The dissent accuses us of beginning with "the broadest conception of our opinion in Labrum " and then extending its "premises ... to their logical extreme." Infra ¶ 125. Before we apply Labrum 's theory to Mr. Neese's case, the dissent contends "we should carefully consider the basis of the court's analysis in Labrum ." Infra ¶ 125. Because the dissent finds this basis wanting, it tells us to confine Labrum to its precise facts, see infra ¶ 166 (arguing against " extend [ing] [ Labrum ] further" based on the dissent's view that Labrum was wrongly decided).
¶ 57 The dissent's stated approach-confine
Labrum
to its facts on the grounds that
Labrum
was wrongly decided-doesn't respect
stare decisis
. It's treating it like a velvet Elvis-hiding the opinion in the attic and exhibiting it only to subject it to derision. Respect for past opinions demands more.
Stare decisis
is "a cornerstone of Anglo-American jurisprudence that is crucial to the predictability of the law and the fairness of adjudication."
State v. Thurman
,
¶ 58 And transparency in the decision-making process and respect for our precedent require more than a bare, technical refusal to overrule. "[L]aying just claim to be honoring
stare decisis
requires more than beating [precedent] to a pulp and then sending it out to the lower courts weakened, denigrated, more incomprehensible than ever, and yet somehow technically alive."
Hein v. Freedom from Religion Found., Inc
.,
¶ 59 The dissent doesn't even attempt to explain how
Labrum
's principles are consistent with denying Mr. Neese the due process protections he seeks. Instead, the dissent simply tells us to confine
Labrum
to its facts on the grounds that
Labrum
got it wrong.
Infra
¶¶ 125, 166. This is not a faithful application of our precedent; rather, it is "fail[ing] to extend a precedent to the conclusion mandated by its rationale." Hasen,
Anticipatory Overrulings, supra
, at 780 (citation omitted). It's also not how we should do business. We're an adversarial court that ought not upend our precedents absent argument from the parties that they be overruled.
See
State v. Steed
,
¶ 60 Here,
Labrum
's full measure commands that we extend additional procedural protections to an inmate, like Mr. Neese, whom the Parole Board seeks to adjudicate a sex offender based solely on previously unadjudicated allegations that he's committed a sexual offense.
Labrum
rested on the proposition that "original release hearings"-such as the hearing at issue here-"are analogous to sentencing hearings and require due process to the extent that the analogy holds."
Labrum
,
¶ 61 The dissent would have us provide only the specific procedural protections that
Labrum
required-not additional protections based on application of the
Labrum
framework, which the dissent fairly characterizes as
Labrum's
"premises."
Infra
¶ 125. These premises are the rationale of the decision, the engine that drives the
Labrum
machine. "For all intents and purposes, adoption of [Utah's] indeterminate sentencing system transformed the [Parole] Board from an agency having the ability to shorten a prisoner's judge-determined sentence into an agency with power analogous to that of a court to actually impose a sentence. Therefore," we've held, "the [Parole] Board's decision of whether to grant parole does implicate the offender's liberty interest because at the time an offender first comes before the [Parole] Board, no term of incarceration has been fixed."
Neel v. Holden
,
¶ 62
Labrum
's rationale has thus set the terms of analysis that this court has used to analyze the due process protections to which inmates at an original parole grant hearing are entitled. Based on the analogy between original release hearings and sentencing proceedings, we've held that an inmate "is entitled to access psychological reports to be considered by the [Parole] Board in hearings at which the inmate's release date may be fixed or extended."
Neel
,
¶ 63
Labrum
also sets the terms of our analysis when we reject inmates' arguments for additional procedural protections. In
Monson v. Carver
,
¶ 64 If we were to follow the dissent's lead, we'd undercut the foundations of this entire line of cases. Their discrete procedural protections would remain, but there would be no coherence to those protections, and the Parole Board, the lower courts, and future litigants would be left without guidance on how to reason about our precedent in this field. Depending on the specific composition of this court, those precedents would either have new life breathed into them or they would come in for repeated, sustained criticism, until, one day, they found themselves overruled.
¶ 65 This can't be what respect for
stare decisis
-indeed, respect for the rule of law-allows. "If this Court is to decide cases by rule of law rather than show of hands, we must surrender to logic and choose sides ...."
Hein
,
B. The Original Meaning of Due Process
¶ 66 Our commitment to stare decisis and resolving disputes according to the adversarial process thus counsels against discarding Labrum and reaching for the original meaning of the due process provision. And, ironically, the dissent's own originalist analysis underscores the wisdom of our historiographical restraint. Without the benefit of adversarial briefing, the dissent makes two historical claims: (1) that, on its original understanding, the due process provision likely wouldn't have been understood to apply to sentencing or parole proceedings, infra ¶¶ 165-66; and (2) that, even if it did, Mr. Neese received all the process he was entitled to under the original understanding of the due process provision, infra ¶¶ 170-73.
¶ 67 We agree with the dissent that this court should look to the original meaning of the Utah Constitution when properly confronted with constitutional issues. But we don't think we should revisit our precedent without prompting from the parties and based exclusively on our own review of ratification-era common law and other historical sources. "The lack of adversarial briefing on the issues explored ... is troubling."
Meza v. State
,
1. The Original Scope of Due Process: Sentencing and Parole
¶ 68 The dissent begins by questioning whether, on the original understanding of the due process provision, due process protections would have been understood to apply to post-trial proceedings, such as sentencing proceedings and parole hearings.
¶ 69 The heart of the dissent's historical case is the supposed absence of Reconstruction and Gilded Age case law applying due process protections to discretionary sentencing proceedings. The dissent sees in this absence "an important 'dog that didn't bark' "-"[i]f the generation of the framing of the Utah Constitution viewed the constitutional guarantee of due process of law to attach to sentencing proceedings, surely," the dissent suggests, "someone would have raised the argument." Infra ¶ 163. And the dissent thinks it knows why due process didn't apply to these proceedings (or, later, to early parole proceedings). Any sentence less than the statutory maximum-and any decision by a parole board to release an inmate early-was "an act of grace-a grant of greater liberty than the defendant was entitled to." Infra ¶ 164 (footnote omitted).
¶ 70 We're hesitant to come to any definite conclusions about this history without the benefit of adversarial briefing. And our own independent review of the historical record illustrates why. When we examine the historical record, we don't see as clearly as the dissent a settled view that due process protections didn't apply to sentencing or parole proceedings. On this point, the dissent's historical review falls short in three respects: (a) it overlooks a body of law that appears to apply procedural protections to sentencing, (b) it overlooks plausible competing explanations for why courts didn't address sentencing due process questions more frequently than they did, and (c) its attempt to explain why due process might not have been thought to extend to sentencing proceedings-because Gilded Age penologists were in the grips of a "grace" conception of sub-maximum sentencing and parole-may be historically inaccurate.
a. Examples from the body of eighteenth- and nineteenth-century cases that applied procedural protections to sentencing
¶ 71 Contrary to the dissent, it appears to us that the reports may contain notable examples of cases that applied procedural protections to sentencing proceedings.
¶ 72
Williams
, in turn, relied on
State v. Reeder
,
The American cases lay down the principle that, where it devolves upon the court to determine the punishment either upon the finding or upon the plea of guilty, it is the correct practice for it to hear evidence in aggravation or mitigation, as the case may be, where there is any discretion as to the punishment. It has likewise been held that evidence of the moral character of the accused is competent to guide the court in determining the punishment to be imposed.
¶ 73 The cases on which
Reeder
relies may also stand for the proposition that procedural
protections apply at sentencing.
Reeder
was a follow-up case to a much earlier South Carolina case:
State v. Smith
,
in order to guard against a failure of justice, by the non-attendance of witnesses to give testimony of such extenuating circumstances as a defendant may be desirous of submitting to the court on the sentence day ... a defendant [is] entitled to a subpoena, as a matter of right, to compel the attendance of witnesses on such occasions, as well as on trials of issues before a jury.
¶ 74 The other cases on which
Reeder
relied likewise appear to potentially recognize the importance of procedural protections in connection with sentencing. In
Kistler v. State
, for example, the Supreme Court of Indiana held that the court had erred in failing to allow the defendant to "make ... proof" of mitigating evidence, as well as evidence of his good character, at trial.
¶ 75 So, contrary to the dissent, it appears to us that procedural protections may have been understood to apply to sentencing proceedings in the period leading up to ratification of the Utah Constitution.
¶ 76 And there are other reasons to think that the dissent may have understated the procedural protections courts devised to ensure fairness in sentencing during the eighteenth and nineteenth centuries. The eighteenth and nineteenth centuries were a time that didn't sharply distinguish between the guilt phase and the sentencing phase. As a consequence, many trial-level procedural protections may also have functioned as sentencing protections. For example, in
United States v. Wynn
,
¶ 77 The dissent may also underestimate the degree to which jury sentencing prevailed in the nineteenth century. It appears that a comparatively small fraction of eighteenth- and nineteenth-century sentences were truly set by a judge. Thus, scholars have discovered that "[o]nly a small fraction of eighteenth-century criminal trials [at the Old Bailey] were genuinely contested inquiries into guilt or innocence" and that the great majority "were sentencing proceedings"-"[t]he main object of the defense was to present the jury with a view of the circumstances of the crime and the offender that would motivate it to return a verdict within the privilege of clergy, in order to reduce the sanction ...." John H. Langbein,
Shaping the Eighteenth-Century Criminal Trial: A View from the Ryder Sources
, 50 U. CHI. L. REV.1, 41 (1983). This practice also appears to have continued into the nineteenth century. "[F]rom 1800 to 1900, juries imposed sentences in noncapital cases in about half of all the states," and "[a] handful of other states permitted juries in noncapital cases to make sentencing recommendations." Morris B. Hoffman,
The Case for Jury Sentencing
, 52 DUKE L.J. 951, 964 (2003) (citations omitted). Moreover, "[e]ven in those states that invested trial judges with the exclusive power to sentence, their discretion ... was mostly a mirage. ... As late as 1870, state legislatures commonly set a specific period of incarceration for each offense."
Id.
at 964-65 (footnote omitted) (citations omitted);
see also
Jenia Iontcheva,
Jury Sentencing as Democratic Practice
, 89 VA. L. REV. 311, 319 & n.40 (2003) (noting the widespread prevalence of jury sentencing and observing that "[e]ven in jurisdictions where no direct jury sentencing existed, determinate sentencing regimes allowed jurors to influence sentencing circuitously ... by acquitting defendants of some charges, despite clear evidence of guilt"-a practice known as "pious perjury"). So, to the extent that the nineteenth century was an era of jury sentencing, the absence of appellate cases applying procedural protections to the "sentencing phase" of a criminal proceeding tells us less than we might think about whether due process protections applied at sentencing.
¶ 78 And there's good reason to think due process protections may have applied at sentencing. For example, many appellate courts during the late eighteenth and nineteenth centuries insisted that defendants must be allowed to introduce evidence of their good character.
See, e.g.
,
Reeder
,
(citations omitted));
Remsen v. People
,
¶ 79 In short, we're unconvinced of the dissent's sweeping pronouncement that due process protections didn't apply to sentencings or sentencing proceedings. Before we would be willing to reach this issue we would, at minimum, need guidance from counsel.
b. Competing explanations for why courts didn't address sentencing due process questions more frequently than they did
¶ 80 Even if the dissent is right that there were comparatively few cases applying due process protections to sentencing proceedings in the eighteenth and nineteenth centuries than today, it still wouldn't be obvious to us that this "dog that didn't bark"-or barely barked-authorizes the inference that courts didn't think due process protections extended to sentencing. Infra ¶ 163. This is because it appears the dog was, at least, trebly muzzled.
¶ 81 First, there's significant authority for the proposition that appellate courts perceived their jurisdiction over criminal appeals-that is, their authority to even
entertain
challenges to process at trial or sentencing-to be quite limited. For most of the nineteenth century, the United States Supreme Court held that section 22 of the First Judiciary Act of 1789 barred it from exercising appellate jurisdiction over criminal cases,
United States v. More
, 7 U.S. (3 Cranch) 159, 172-73,
¶ 82 This rule of non-reviewability may have been applied with special force in sentencing matters. As Professor LaFave explains, "[t]he traditional position in this country
... has been that 'once it is determined that a sentence is within the limits set forth in the statute under which it is imposed, appellate review is at an end.' " 6 WAYNE R. LAFAVE ET AL., CRIM. PROC. § 26.3(g) (4th ed. 2016) (citation omitted);
see
Notes and Comments,
Appellate Review of Sentencing Procedure
, 74 YALE L.J. 379, 380 (1964) ("It has long been a uniform policy of federal appellate courts not to consider a sentence within the statutory limits.");
see also
Gurera v. United States
,
¶ 83 Second, while the evidence is sparse, it appears that there may have been significantly fewer prosecutions, in the nineteenth century than today. See, e.g. , Paul J. Larkin, Jr., Public Choice Theory and Overcriminalization , 36 HARV. J.L. & PUB. POL'Y 715, 728, 779 (2013) (noting explosive growth in the criminal justice system during the twentieth century). And, when a prosecution did arise, it was often poorly handled; the quality of the prosecution bar in nineteenth-century America was notoriously poor. See Robert M. Ireland, Privately Funded Prosecution of Crime in the Nineteenth-Century United States , 39 AM. J. LEGAL HIST. 43, 43 (1995) (noting the serious "want of talent within the office of public prosecutor"). To the extent there were fewer prosecutions and more acquittals, this too provides a competing explanation for the comparative dearth of reported appellate sentencing decisions.
¶ 84 Finally-even bracketing the norms against criminal appeals and the comparative dearth of prosecutions in the nineteenth century-the pattern of criminal appeals in the run-up to ratification appears to have been significantly different from today. The dissent thinks it obvious that, had a defendant thought he might enjoy due process rights in a sentencing proceeding, the defendant would surely have "raised" that argument on appeal.
Infra
¶ 163. But, as we've explained, "there usually was only limited appellate review of criminal convictions." Thomas Y. Davies, Symposium,
Correcting Search-and-Seizure History: Now-Forgotten Common-Law Warrantless Arrest Standards and the Original Understanding of "Due Process of Law
," 77 MISS. L.J. 1, 175 (2007). And even when they did have the opportunity to appeal, defendants didn't always have access to appellate counsel.
See
Douglas v. California
,
Between 1870 and 1900 there are persistent complaints that some state supreme courts behaved as if their chief function was to reverse decisions of their lower courts for technical errors .... [E]xcesses in behavior were most striking in criminal appeals. Harwell, the defendant in a Texas case decided in 1886, had been arrested and convicted for receiving stolen cattle.
The Texas court reversed, because, among other things, the jury found the defendant "guity" instead of "guilty." ... The same court, however, magnanimously upheld a conviction of "guily" in 1879, proving that a "t" was less crucial than an "l" in the common law of Texas.
LAWRENCE M. FRIEDMAN, A HISTORY OF AMERICAN LAW 398-400 (2d ed. 1985) (citations omitted). Indeed, according to Professor Friedman, between 1875 and 1887, the Texas Court of Appeals "had reversed 1,604 criminal cases, and affirmed only 882-a margin of almost two to one." Id. at 399 ("In one volume of reports, there were five reversals to every single affirmance."). But this means that the appellate courts had far fewer occasions to redress sentencing errors-they were too busy reversing convictions!
¶ 85 In short, even to the extent the dissent is right about the lack of cases articulating procedural protections applicable to sentencing, the inference it draws from this "dog that didn't bark" ignores potential competing explanations that don't imply that the original understanding of due process didn't extend to sentencing and parole proceedings. We think it would be rash to overturn our precedent, and announce new due process standards under the Utah Constitution, based on a chain of historical inferences that may well be misleading or incomplete, and that certainly haven't been tested by the adversarial process.
c. Grace
¶ 86 A key lemma in the dissent's argument for why due process didn't extend to sentencing and parole proceedings is the idea that a sentence below the statutory maximum-or a grant of parole before an indeterminate term had expired-was thought to be an act of "grace." Infra ¶ 164. If true, this theory might help explain why nineteenth-century constitutional actors lacked concern about due process protections in sentencing and parole proceedings: mercy, one might argue, isn't a liberty interest.
¶ 87 Again, however, while we're nervous to fly blind, it appears to us that the dissent may well be mistaken about the prevalence of the "grace" conception of parole. The academic literature supports the notion that parole's progenitors embraced a "medical model of criminality." Julia L. Black, Note, The Constitutionality of Federal Sentences Imposed Under the Sentencing Reform Act of 1984 after Mistretta v. United States, 75 IOWA L. REV. 767, 771 n.52 (1990) (quoting JANET SCHMIDT, DEMYSTIFYING PAROLE 4-5 (1977)). On this model, parole was not a matter of grace. Instead, parole determinations "emphasized the role of treatment in helping the criminal to understand the external forces causing his or her 'sickness,' " id. at 771 n.51 (quoting SCHMIDT, DEMYSTIFYING PAROLE , at 4). Parole and the indeterminate sentence, Professor Friedman explains, were "based on a simple theory." LAWRENCE M. FRIEDMAN, A HISTORY OF AMERICAN LAW 597 (2d ed. 1985).
No judge was wise enough to tell when a prisoner would be "cured." Prison officials, on the other hand, had the prisoner in view every day. A criminal should be locked up as long as he was "unfit to be free." He was the "arbiter of his own fate"; he carried "the key of his prison in his own pocket." The indeterminate sentence, then, emphasized the character and background of the offender.
¶ 88 In short, we are not confident in the dissent's originalist analysis of the scope of the due process provision. We don't mean to say that the dissent is wrong , only that, in the absence of adversarial briefing on the question, we don't know the answer. We believe the appropriate course is to stay our hand on the question until such time that it's fairly before us.
2. The Original Content of Due Process: What's in a Hearing?
¶ 89 The dissent also has a second line of attack: one focused on the
content
of the due process provision. That is, assuming the due process provision applies to parole proceedings, the dissent thinks it plain that Mr. Neese received all he was entitled to under the original understanding of the due process provision. According to the dissent, the Utah Constitution embodies a conception of due process on which due process is satisfied as long as an inmate receives "notice and an opportunity to be heard."
Infra
¶ 169. And the dissent thinks Mr. Neese got this: "[h]e was advised of the pendency of the parole hearing and given a chance to present his view on the questions presented."
Infra
¶ 170 (citation omitted).
¶ 90 But in surveying the history of due process in the run up to ratification, we don't perceive as clearly as the dissent does that constitutional due process protections required only minimal notice and opportunity to speak. Instead, it appears to us that the United States Supreme Court repeatedly explained during the period leading up to Utah's admission to the Union that due process had bite. It required hearings to be conducted according to those procedures that were "appropriate to the nature of the case."
Davidson v. New Orleans
,
¶ 91 Applying this framework, the Court didn't hesitate to strike down laws that shortcut fair process. One example is
Chicago, Milwaukee and St. Paul Railway Co. v. Minnesota ex rel. Railroad Warehouse Commission
,
Chi., Milwaukee & St. Paul Ry. Co.
,
No hearing is provided for; no summons or notice to the company before the commission has found what it is to find, and declared what it is to declare; no opportunity provided for the company to introduce witnesses before the commission ,-in fact, nothing which has the semblance of due process of law ....
¶ 92 State courts behaved similarly. In
State ex rel. Blaisdell v. Billings
, for example, the Minnesota Supreme Court considered whether statutory procedures "relating to the commitment of insane persons to the state hospitals ... violate the fourteenth amendment to the federal constitution, and are in conflict with a similar article in our state constitution, forbidding that any person shall be deprived of his life, liberty, or property without due process of law."
¶ 93 The Minnesota Supreme Court struck this statute down, holding that
[t]o the person charged with being insane to a degree requiring the interposition of the authorities and the restraint provided for, there must be given notice of the proceeding, and also an opportunity to be heard in the tribunal which is to pass judgment upon his right to his personal liberty in the future. There must be a trial before judgment can be pronounced, and there can be no proper trial unless there is guarantied the right to produce witnesses and to submit evidence. ... Any statute having for its object the deprivation of the liberty of a person cannot be upheld unless [these rights are] secured, for the object may be attained in defiance of the constitution, and without due process of law.
¶ 94 It appears to us, then, that the dissent's reconstruction emphasizes only
one
due process theme from Gilded Age courts: the need to ensure flexibility in the procedures that new states must adopt, so as not to stifle the rapid industrial and geographic expansion characteristic of that "quick and active age."
Hurtado v. California
,
C. The Underlying Error in the Dissent's Originalist Approach
¶ 95 In our view, the dissent's originalist analysis rests on one fundamental error. Before we address that error, we note that we find much to commend in the dissent's approach to originalism. We agree with the dissent that originalist inquiry must focus on ascertaining the "original public meaning" of the constitutional text. Infra ¶ 154.
¶ 96 We also agree that to ascertain the original public meaning of the constitutional text, we must ask what principles a fluent speaker of the framers' English would have understood a particular constitutional provision to embody. See infra ¶ 154 n.33 ("[T]he predominant originalist theory" requires seekers of the original meaning to "interpret[ ] the Constitution according to how the words of the document would have been understood by a competent and reasonable speaker of the language at the time of the document's enactment." (quoting John O.
McGinnis & Michael B. Rappaport, Original Methods Originalism: A New Theory of Interpretation and the Case Against Construction , 103 NW. U.L. REV. 751, 761 (2009) )). See generally Keith E. Whittington, The New Originalism , 2 GEO. J.L. & PUB. POL'Y 599 (2004) (discussing evolution of originalism from "original intent" originalism to "original public meaning" originalism). This understanding is the original meaning-or meanings-of the constitutional text.
¶ 97 We part ways with the dissent's originalist approach not in its end goal-figuring out what a person steeped in Gilded Age linguistic norms would've understood the constitutional language to express-but in the means appropriate to reaching this goal. In our view, the dissent's application of originalism commits a key methodological error-an error that one scholar has recently called "atomistic translation"-translating the meaning of the constitutional text through a process of "term-for-term ... substitution." Jonathan Gienapp, Historicism and Holism: Failures of Originalist Translation , 84 FORDHAM L. REV. 935, 941-42 (2015).
¶ 98 The problem is that to understand what principle a fluent speaker of the framers' English would have understood a particular constitutional provision to embody will often-though surely not always-require more than just examining the terms used and seeking to translate those terms into roughly equivalent contemporary English. What is missing from this approach is deep immersion in the shared linguistic, political, and legal presuppositions and understandings of the ratification era.
¶ 99 Linguistically, originalism will often require the constitutional interpreter to "access the semantics and pragmatics available to a competent speaker of American English at the time each provision was framed and ratified." Lawrence B. Solum, Triangulating Public Meaning: Corpus Linguistics, Immersion, and the Constitutional Record 17 (Apr. 26, 2017) (unpublished manuscript), https://papers.ssrn.com/sol3/papers.cfm?abstract_id=3019494 (The pragmatics will include presuppositions shared by the community of speakers at the time of ratification.); see also André LeDuc, Making the Premises About Constitutional Meaning Express: The New Originalism and Its Critics , 31 BYU J. PUB. L. 111, 117 (2016) (noting a recent trend within originalism toward "incorporat[ing] pragmatic import as well as semantic meaning" into the concept of original public meaning). But the semantics and pragmatics of the founding era may well be radically different from contemporary linguistic norms and presuppositions. See RHYS ISAAC, THE TRANSFORMATION OF VIRGINIA 1740-1790 5 (1999) ("Whether one moves away from oneself in cultural space or in historical time, one does not go far before one is in a world where the taken-for-granted must cease to be so .... Ways must be found of attaining an understanding of the meanings that the inhabitants of other worlds have given to their own everyday customs."). So originalism requires enough engagement with founding-era source materials that we may, without tacitly relying on contemporary linguistic assumptions, see what the operative constitutional phrases connoted.
¶ 100 Understanding many of the principles embodied in the Utah Constitution will also require fluency in the political and legal presuppositions and understandings of the ratification era. This is because many constitutional principles are just that-general, abstract principles. But this doesn't mean that we may pour our own contemporary moral views into the constitutional text. Instead, we must seek to understand the requirements these principles would have been understood to embody by the founding generation, and we must apply those requirements to contemporary problems. We can't do this without engaging the founding era's political and legal understandings-"trac[ing] intellectual influences ... [and] situat[ing] meaning in the flow of discursive activity"-in order to uncover the "presuppositions and silent logical connectives" that collectively formed the era's understanding of the constitutional text, but that time has hidden from our view.
¶ 101 The fundamental error in the dissent's originalist analysis is that it doesn't immerse itself in Gilded Age sources to uncover and elucidate the principles embodied in the due process provision. It commits this error at both the linguistic and ideological level.
¶ 102 Linguistically, the dissent relies heavily on Lucius Polk McGehee's treatise to support its claim that "the precise means of notice and an opportunity to be heard are not enshrined in the guarantee of due process." Infra ¶ 169. According to the dissent, Professor McGehee tells us that " '[t]he basis of due process' consists of 'orderly proceedings and an opportunity to defend.' " Infra ¶ 169 (quoting LUCIUS POLK MCGEHEE, DUE PROCESS OF LAW UNDER THE FEDERAL CONSTITUTION 2 (1906)). And the dissent takes this to mean that due process only requires a litigant to be given notice of "the pendency of [a] hearing and given a chance to present his view on the questions presented." Infra ¶ 170.
¶ 103 At first blush, this is a reasonable construction. To our contemporary mind "orderly proceedings" and "an opportunity to defend" may very well sound like thin concepts. But a broader engagement with the relevant source material suggests to us that, at the time of ratification, these phrases may have connoted more robust restraints on the legislature than the dissent perceives. For example, Professor McGehee was surely aware of the Court's remarks in
Chicago, Milwaukee and St. Paul Railway Co.
, where the Court indicated that due process would sometimes require elaborate procedural protections, including the right to call witnesses. And other courts drew on Professor McGehee's treatise for the proposition that the due process provision constrained the legislature's authority to prescribe rules of evidence and procedure.
See, e.g.
,
State ex rel. Hurwitz v. North
,
¶ 104 What this suggests to us is that Professor McGehee's phrase-"orderly proceedings and an opportunity to defend"-might well have been understood to mean something different at the time of the Utah Constitution's ratification than it conveys today. Indeed, in
Blaisdell
, the "opportunity to be heard, and to defend" according to an "orderly proceeding adapted to the nature of the case" was thought to include the requirement of "a trial" including "the right to produce witnesses and to submit evidence."
¶ 105 This isn't to take a definitive stand on the meaning of "orderly proceedings and an opportunity to defend." It's only to illustrate that figuring out its meaning-or meanings-requires deep, sympathetic engagement with a wide array of Gilded Age source material. It's a mistake to interpret those phrases with tacit reference to contemporary linguistic understandings.
¶ 106 The dissent also fails to adequately immerse itself in relevant political and legal presuppositions and understandings of the Gilded Age. Take, for example, the dissent's analysis of whether the protections of due process might have been understood to apply to sentencing proceedings. See supra Part III.B.1 (responding to this portion of the dissent's analysis). The dissent excerpts a set of treatises according to which offenders have "no constitutional right ... to confront witnesses at sentence hearings" and "no recognized constitutional right to present witnesses on their [own] behalf." Infra ¶ 171 n.52 (quoting ARTHUR W. CAMPBELL, LAW OF SENTENCING § 13:20 (3d ed. 2004)); see also infra ¶ 159 n.37 ("There were no announced standards, procedural or substantive, to control a sentencing judge or jury." (quoting Stephen A. Saltzburg, Due Process, History, and Apprendi v. New Jersey, 38 AM. CRIM. L. REV. 243, 244 (2001) ).)
¶ 107 The problem with the dissent's decision to rely on these claims-to the extent they're even accurate,
see supra
Part III.B.1-is that the dissent doesn't consider the degree to which they presuppose or depend on background legal and political assumptions and realities. As we've explained, perhaps there were no "announced standards" applicable to the sentencing phase of a case because there was no meaningful line between the guilt and sentencing phases.
See
supra
¶¶ 77-78. Or perhaps it was because appellate courts had little opportunity, and even less occasion, to even consider what constitutional protections should apply at sentencing.
¶ 108 If the claims on which the dissent relies turned on any of these background realities or presuppositions, then the dissent is wrong to rely on them. If there were no cases applying due process protections to sentencing because there were no sentencing proceedings, or because few courts had the authority to entertain sentencing appeals, then that tells us little about what due process would've been understood to require in sentencing proceedings had it actually applied. Similarly, if no court applied the due process provision to require confrontation rights or other substantive evidentiary protections only because of the ratification era's general presupposition that sworn testimony was presumptively reliable-backed by the force of a deity-then the demise of this general understanding of the power of the oath suggests that the principle embodied in the due process provision would apply very differently today.
¶ 109 In sum, only through deep immersion in ratification-era language and debates can an originalist hope to uncover the principles that many constitutional provisions originally embodied. A failure of deep immersion will lead to atomistic originalist analysis, and, in turn, constitutional error. We've illustrated how this error may have infected the dissent. And we urge litigants who undertake originalist argument to engage in this kind of deep reading in future cases before us.
D. The Relationship Between the Dissent's Methodological Mistake and Its Policy Analysis
¶ 110 This brings us to the relationship between the dissent's originalist analysis and its policy analysis. The relationship between originalism and policy analysis is different from the relationship between policy and other modes of interpretation. When we're not engaged in originalist research, contemporary policy concerns are never far from our mind. They affect our understanding of the plain meaning of the text,
see
Warner v. Goltra
,
¶ 111 This is difficult to do. Indeed, there's a long, proud American tradition-dating at least to John Adams-of reading our contemporary policy preferences into ancient texts. See BERNARD BAILYN, THE IDEOLOGICAL ORIGINS OF THE AMERICAN REVOLUTION 24-25 (2d ed. 1992) (noting that in 1774, John Adams "had cited Plato as an advocate of equality and self-government but ... was so shocked when he finally studied the philosopher that he concluded that the Republic must have been meant as a satire"). Scholars have even recognized that this makes up part of the deep rhetorical power of originalism.
[T]he deeper power of originalist argument sounds in the romance of national identity. Whether originalist arguments have [rhetorical] purchase depends less on the accuracy of their historical accounts-or the plausibility of their theories of intertemporal authority-than on whether their audiences recognize themselves, or perhaps their idealized selves, in the portrait of American origins that is on offer.
Richard Primus, The Functions of Ethical Originalism , 88 TEX. L. REV. SEE ALSO 79, 80 (2010).
¶ 112 We worry that the dissent has fallen into this trap. The dissent excoriates Labrum . The approach Labrum employs "undermine[s] the orderly evolution of our law [by] ... constitutionaliz[ing] fields meant for policymakers." Infra ¶ 177. It is "fuzzy and unworkable." Infra ¶ 185. "[U]nmanageable." Infra ¶ 185. It "dashe[s]" the expectations of the good, law-abiding citizens of this state (who presumably sleep easier when inmates who haven't been convicted of sex crimes are hooked up to penile plethysmograph machines based on a parole officer's hunch). Infra ¶ 188. It's a one-way ratchet, laying the groundwork "for ever-expanding procedural mechanisms." Infra ¶ 184. "[W]hat about the victim ...?" Infra ¶ 186. "And what about the general public ...?" Infra ¶ 186.
¶ 113 We, of course, disagree with the dissent's analysis. Our decision isn't a one-way ratchet; it plainly balances administrability with concerns for accuracy in meting out punishment.
See
supra
¶ 43.
¶ 114 More importantly, however, we're troubled by the dissent's willingness to locate its perspective on the law in the past without the benefit of adversarial briefing. The dissent's view-that due process protections may not apply to sentencing and parole, and, even if they do, they don't require any procedural protections designed to ensure accurate, non-arbitrary decisions-is discomfiting. For Mr. Neese, it would mean that the Parole Board could rely on untested allegations to force him to choose between (1) being labeled a sex offender, subjected to the increased risk of violence to which sex offenders are exposed, and required to complete a profoundly invasive and degrading program of treatment (one he can't truthfully participate in if, as he maintains, he isn't a sex offender) or (2) being kept in prison for much of the rest of his life. Even the dissent expresses discomfort with this consequence of its conception of due process-a conception that privileges bright lines over fairness. See infra ¶ 120.
¶ 115 But, as we've explained, the past doesn't unambiguously support the dissent's analysis. The dissent's analysis hasn't been briefed to us. And we're accordingly unable to deprive Mr. Neese of the due process protections to which he is entitled under a faithful application of Labrum .
CONCLUSION
¶ 116 Based on the undisputed facts, we conclude that before the Parole Board considers the unconvicted sexual offense that its hearing officers have questioned Mr. Neese about, article I, section 7 of the Utah Constitution requires it to provide Mr. Neese with the additional procedural protections that this opinion has described. We therefore reverse the district court's order granting summary judgment to the Parole Board in this case and remand for proceedings consistent with this opinion.
Chief Justice Durrant, concurring in part and concurring in the result:
¶ 117 I concur in sections I, II, and part A of section III of the majority opinion, but write separately to express my disagreement with parts B, C, and D of section III. I share the majority's view that in
Labrum v. Utah State Board of Pardons
¶ 118 But I part paths with the majority's decision to substantively address the dissent's historical analysis. I believe the majority errs in engaging in a debate on the merits as to arguments presented by the dissent, and further errs in putting a thumb on the scale with respect to some of those issues. While the majority refrains from stating "any definite conclusions about this history without the benefit of adversarial briefing,"
¶ 119 Determining the correct historical understanding of our state constitution's due process clause is an issue of obvious importance. And it is an issue, as the competing opinions in this case illustrate, fraught with complexity. In my view, this is not the case to engage in substantive debate on this issue, either in the first instance or in rebuttal.
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Cite This Page — Counsel Stack
2017 UT 89, 416 P.3d 663, Counsel Stack Legal Research, https://law.counselstack.com/opinion/neese-v-utah-bd-of-pardons-parole-utah-2017.