Douglas Charles Dufresne v. Benjamin Baer, Chairman, U.S. Parole CommissionDouglas Charles Dufresne v. Benjamin Baer, Chairman, U.S. Parole Commission
In these habeas corpus proceedings, the petitioner, a federal prisoner, alleges that the U.S. Parole Commission fixed his presumptive parole release date using guidelines that violated the ex post facto clause of article 1, section 9, of the Constitution. The district court denied relief. We affirm.
I.
The petitioner, Douglas Dufresne, was a senior pilot for Pan American Airlines. During the late 1970’s he began trafficking in illicit drugs, at one point importing eight pounds of raw opium into the Unitеd States from Iran. In 1979 a federal grand jury in the Western District of Texas indicted petitioner in three counts for conspiracy to import opium, possession with intent to distribute opium, and conspiracy to import cocaine. The indictment alleged that petitioner committed these acts during the period from March 1978 to March 1979.
On September 17, 1979, petitioner pled guilty to the third count of the indictment,
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conspiracy to import cocaine, and the district court sentenced him to a partiаlly indeterminate eight-year prison sentence under
In setting petitioner’s presumptive release date, the regional Commissioner applied guidelines which focused upon the severity of the petitioner’s offense and his parole prognosis. These parole guidelines classified the severity of his offense as “Greatest I,” a severity rating surpassed only by the “Greatest II” rating given to crimes such as murder and air piracy. The severity rating was high because at the time petitioner сommitted his crime he possessed a managerial interest in more than fifty grams of 100% pure opiate. 5 The guidelines gave petitioner a “very good” parole prognosis because his perfect eleven “salient factor score,” calculated by weighing offender characteristics such as a history of criminal convictions, previous incarceration, and drug dependency, indicated that he would pose no risk to society if released. According to the guidelines, аn inmate with an offense severity rating of “Greatest I” and a salient factor score of eleven was to serve a term somewhere between forty to fifty-two months. The regional Commissioner set petitioner’s term at fifty-two months. 6
Petitioner appealed this decision to the Commission’s National Appeals Board. He contended that the regional Commissioner’s decision should have been based on the offense severity rating in effect at the time he committed his crime rather than the оne currently in effect. The earlier offense rating, repealed in mid-1979, 7 would have assessed the seriousness of petitioner’s crime on the basis of the street value of the drugs he possessed, not on the basis of the purity of those drugs and his managerial interest therein. Thus, because his drugs had a street value of less than $100,000, petitioner’s crime would have been classified as “Very High,” not “Greatest I.” A “Very High” offense rating, combined with a salient factor score of eleven, would have called for рetitioner to be incarcerated for a period between twenty-six to thirty-six months.
The National Appeals Board affirmed the regional Commissioner’s decision, and petitioner, having exhausted his administrative remedies, brought these habeas corpus proceedings in the district court. Petitioner sought an order requiring the Commission to give him a presumptive parole date within the time frame specified in the guidelines in effect when he committed his
II.
The ex post facto clause at issue commands that “[n]o ... ex post facto law shall be passed.”
When subjecting a law to ex post facto scrutiny, courts should bear in mind the related aims of the ex post facto clause: providing fair notice of which acts will subject the perpetrator to criminal sanctions,
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and preventing vindictive criminal legislation.
11
We are guided by these principles
The second characteristic of an ex post facto law is concededly present in this case; the guidelines applied retrospectively to petitioner. The first and third characteristics are not present, however; the guidelines neither worked to petitioner’s detriment nor constituted a criminal or penal lаw.
The federal sentencing statute under which petitioner received his modified sentence,
In 1976, the Congress, having grown dissatisfied with this medical model sentencing scheme for several reasons, passed the Parole Commission and Reorganization Act (the Parole Act or Act). 14 The Act reconstituted the parole authority as the U.S. Parole Commission, abolished the parole authority’s “doctor” role, and gave it the new role of resentencer. Henceforth, the Commission, acting on essentially the same information presented to the sentencing judge, 15 would resentence the defendant for the purposes of рunishment, general deterrence and specific deterrence. Rehabilitation would not be one of the Commission’s resentencing objectives; any rehabilitation an offender might obtain would be a coincidental result of his incarceration.
The Parole Act instructed the Commission to carry out a “national parole policy” and to promulgate guidelines to aid it in making parole decisions.
The Act requires the Commission, in deciding whether to grant parole, to consider “the nature and circumstances of the [prisoner’s] offense and the history and characteristics of the prisoner” and its guidelines.
The Act cautions the Commission not to parole a prisoner if he has not “substantially observed the rules of the institution or institutions to which he has been confined,” if his “release would ... dеpreciate the seriousness of his offense or promote disrespect for the law,” or if his “release would ... jeopardize the public welfare.”
A.
The ex post facto clause operates to ensure that a citizen’s fair notice as to what acts are criminal will not be changed after the citizen acts in reliance on that notice. When petitioner conspired to import cocaine into the United States he was on notice of the prison sentence he could receive if convicted, the portion of that sentence he would have to serve before he would be eligible for parole, and the extent to which his period of incarceration could be reduced through gain time.
See, e.g., Weaver v. Graham,
Petitioner’s claim that the Commission could not amend the guidelines retrospectively if the amendment would produce a longer term of incarceration implies that he was not on notice, when he committed his crime, that such an amendment could occur. In truth, petitioner was on notice that such an amendment might well occur. The Commission had a statutory duty to monitor and periodically update its guidelines and to apply current guidelines to crimes previously committed.
17
See, e.g.,
H.Conf.Rep. No. 838, 94th Cong.2d Sess. 25,
reprinted in
1976 U.S.Code Cong. &
Six U.S. Courts of Appeals and one U.S. Supreme Court Justice have entertained claims similar to petitioner’s and have held that retrospective changes in parole guidelines do not aggravate the punishment provided for a crime.
See Portley v. Grossman,
In sum, the Commission’s decision in this case implicated neither of the principal policies served by the ex post facto clause, to ensure that the offender is not singled out аs the target of legislative retribution and that he is provided fair notice of the punishment that may be meted out if he transgresses the criminal law.
B.
As the district court concluded, the Commission’s guidelines are, simply, guidelines. They are not promulgated by any
[W]hat is involved in this case is not agency interpretation of law but an agency’s setting up guidelines for itself to assure the uniform execution of its business. These guidelines are not law, but guideposts which assist the Parole Commission ... in exercising its discretion. Nor do these guidelines have the characteristics of law. They are not filed and rigid, but are flexible. The Commission remains free to make parole decisions outside of these guidelines.
Ruip,
Even a showing that the Commission adhered to the guidelines in the vast majority of cases
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would not necessarily prove that the guidelines were law; otherwise, every policy that an agency adhered to consistently would become a law from which the agency could not vary.
Accord, Rifai,
Because the guidelines in question are not criminal laws and their amendment did not add to the punishment prescribed for petitioner’s crime, petitioner has failed to establish two of the requisite elements of an ex post facto claim. Accordingly, the judgment of the district court denying his claim is
AFFIRMED.
Notes
. On the government's motion, the court dismissed the first two counts of the indictment.
See
.
Whenever confined and serving a definite term or terms of more than one year, a prisoner shall be eligible for release on parole after serving one-third of such term or terms or after serving ten years of a life sentence or of a sentence of over thirty years____
.
Upon entering a judgment of conviction, the court having jurisdiction to impose sentence, when in its opinion the ends of justice and best interest of the public require that the defendant be sentenced to imprisonment for a term exceeding one year, may ... fix the maximum sentence of imprisonment to be served in which event the court may specify that the prisoner may be released on parole at such time as the Commission may determine.
. The nine-member U.S. Parole Commission has been structured as follows at all times relevant here: five members in addition to performing the duties assigned to the full Commission, e.g., promulgating guidelines, serve as regional Commissioners and make most of the initial parole decisions; three members, also in аddition to performing the duties assigned to the full Commission, serve as the National Appeals Board which,
inter alia,
reviews the parole decisions of the regional Commissioners.
See generally,
. Although petitioner pled to and was found guilty only of conspiracy to import cocaine, his possession of eight pounds of highly pure opium formed the basis for the severity rating.
See
. The regional Commissioner could have set petitioner’s release date above or below that indicаted by the guidelines, however. See infra at p. 1548 & note 16. The Commissioner later accelerated petitioner’s presumptive release date by six months for reasons unimportant to this appeal. Petitioner has served approximately 40 months of his sentence and is currently released on bail pending this appeal.
. 44 Fed.Reg. 26540-48 (May 4, 1979).
. For a brief history of the ex post facto clauses,
. Some support exists for the view that the framers intended the ex post facto prohibition to apply to civil as well as criminal laws.
See
Crosskey,
The True Meaning of the Constitutional Prohibition of Ex-Post Facto Laws,
14 U.Chi.L.Rev. 539 (1947). Modern courts have applied the ex post facto clauses solely to criminal legislation.
Warren,
. "Critical to relief under the
Ex Post Facto
clause is not an individual’s right to less punishment, but the lack of fair notice and governmental restraint when the legislature increases punishment beyond what was prescribed when the crime was consummated."
Weaver,
In a society committed to liberty and not governed by orthodoxy the presumption must be that acts not specifically prohibited are permitted. Such a presumptiоn guarantees that the citizenry may feel secure in acting in reliance on existing law and assures that fair notice will be given of any change.
Warren,
. “From the outset ... the ex post facto clauses have been understood to have been principally aimed at curtailing legislative abuses.”
Warren,
very probably arose from the knowledge, that the parliament of Great Britain claimed and exercised a power to рass such laws____ The acts were legislative judgments; and an exercise of judicial power ____ With very few exceptions, the advocates of such laws were stimulated by ambition, or personal resentment and vindictive malice. To prevent such and similar acts of violence and injustice, I believe, the federal and state legislatures were prohibited from passing any ... ex post facto law.
Calder v. Bull,
. In addition to
. As the Supreme Court noted in
Williams v. New York,
. Act of Mar. 15, 1976, Pub.L. No. 94-233, 1976 U.S.Code Cong. & Ad.News (90 Stat.) 219 (codifled in various sections of 18 U.S.C. (1976)). The primary text of the Parole Reorganization Act begins at
. In fact, the Commission acts on a range of information greater than that considered by the sentencing judge.
See United States ex rel. Goldberg v. Warden,
(1) reports and recommendations which the staff of the facility in whiсh such prisoner is confined may make;
(2) official reports of the prisoner’s prior criminal record, including a report or record of earlier probation and parole experiences;
(3) presentence investigation reports;
(4) recommendations regarding the prisoner’s parole made at the time of sentencing by the sentencing judge; and
(5) reports of physical, mental, or psychiatric examination of the offender [and] ... [s]uch additional relevant information concerning the prisoner ... as may be reasonably available.
. The regulation that promulgated the guidelines,
(c) These time ranges are merely guidelines. Where the circumstances warrant, decisions outside of the guidelines (either above or below) may be rendered.
(d) The guidelines contain examples of offense behaviors ____ However, especially mitigating or aggravating circumstances in a particular case may justify a decision or a severity rating different from that listed.
(e) An evaluative sheet containing a “salient factor score” serves as an aid in determining the parole prognosis (potential risk of parole violation). However, where circumstances warrant, clinical evaluation of risk may override this predictive aid.
The Commission intended that the guidelines aid it in achieving a uniform system of parole, while retaining enough flexibility in the parole decision-making process to permit justice in each individual case.
. Congrеss intended that the “Parole Commission ... continue to refine both the criteria which are used [in parole decision making] and the means for obtaining the information used ____" H.R.Rep. No. 94-838, 94th Cong. 1st Sess. 25-26, reprinted in 1976 U.S.Code Cong. & Ad.News 358-59. For example, ”[t]he Parole Commission shall actively seek the counsel and comment of the corrections and criminal justice communications prior to promulgation of guidelines and shall be cognizant of past criticism of parole decision making.” Id. at 359.
. Petitioner contends that
Portley
and
Warren
are inapposite becausе they deal with reparole. The analysis of the guidelines under the ex post facto clause remains the same and the logic of those decisions extends beyond the individual factual settings. Necessary to the ultimate conclusion in each of those cases, that the promulgation or amendment of parole guidelines was not the creation of an ex post facto law, was the intermediate conclusion that the guidelines did not affect the prisoner’s eligibility for parolе. A repeal or reduction of parole eligibility could violate the ex post facto clause, however.
See Weaver,
. Petitioner claims that relief is required by
Weaver,
. We are not persuaded that the guidelines constitute “laws" under the ex post facto clause merely because they could come under the rule-making provisions of the Administrative Procedures Act.
See, e.g., Pickus v. United States Board of Parole,
. In this case we are not dealing with curtailed parole
eligibility.
Thus,
United States ex rel. Graham v. United States Parole Commission,
. The Commission may deviate from the guidelines for “good cause."