LYNCE v. MATHIS, SUPERINTENDENT, TOMOKA CORRECTIONAL INSTITUTION, ET AL.
No. 95-7452
Supreme Court of the United States
Argued November 4, 1996—Decided February 19, 1997
519 U.S. 433
Parker D. Thomson, Assistant Attorney General of Florida, argued the cause for respondents. On the brief for respondent Butterworth were Mr. Butterworth, Attorney
JUSTICE STEVENS delivered the opinion of the Court.
In 1983 and thereafter the Florida Legislature enacted a series of statutes authorizing the department of corrections to award early release credits to prison inmates when the population of the state prison system exceeded predetermined levels. The question presented by this case is whether a 1992 statute canceling such credits for certain classes of offenders after they had been awarded—indeed, after they had resulted in the prisoners’ release from custody—violates the
I
In 1986 petitioner pleaded nolo contendere to a charge of attempted murder and received a sentence of 22 years (8,030 days) in prison. In 1992 the Florida Department of Corrections released him from prison based on its determination that he had accumulated five different types of early release credits totaling 5,668 days.1 Of that total, 1,860 days were
In 1994 petitioner filed a petition for a writ of habeas corpus alleging that the retroactive cancellation of provisional credits violated the
II
Motivated largely by the overcrowded condition of the entire Florida prison system,5 in 1983 the state legislature enacted the
In the ensuing years, the Florida Legislature modified the overcrowding gain-time system. In 1987 the legislature raised the threshold for awarding emergency release credits from 98% to 99% of capacity. At the same time, the legislature authorized a new form of overcrowding credit, administrative gain-time, with a 98% threshold, which authorized up to a maximum of 60 days additional gain-time to inmates already earning incentive gain-time. Inmates serving sentences for certain offenses were ineligible for the awards. In 1988 the legislature repealed the administrative gain-time provision, and replaced it with a provisional credits system.9 The language of the provisional credits statute was virtually identical to that of the administrative gain-time statute—it also authorized up to 60 days of gain-time but was triggered when the inmate population reached 97.5% of capacity. In addition, the legislature expanded the list of offenders who were ineligible for the awards.
Having received overcrowding gain-time under the administrative gain-time and provisional credits statutes, as well as basic and incentive gain-time, petitioner was released from prison in 1992. That same year, the legislature canceled provisional overcrowding credits for certain classes of
Respondents contend that the cancellation of petitioner‘s provisional credits did not violate the
III
The presumption against the retroactive application of new laws is an essential thread in the mantle of protection that the law affords the individual citizen. That presumption “is deeply rooted in our jurisprudence, and embodies a legal doctrine centuries older than our Republic.” Landgraf v. USI Film Products, 511 U. S. 244, 265 (1994). This doctrine finds expression in several provisions of our Consti-
“The constitutional prohibition and the judicial interpretation of it rest upon the notion that laws, whatever their form, which purport to make innocent acts criminal after the event, or to aggravate an offense, are harsh and oppressive, and that the criminal quality attributable to an act, either by the legal definition of the offense or by the nature or amount of the punishment imposed for its commission, should not be altered by legislative enactment, after the fact, to the disadvantage of the accused.” Id., at 170.
To fall within the ex post facto prohibition, a law must be retrospective—that is, “it must apply to events occurring before its enactment” and it “must disadvantage the offender affected by it,” id., at 29, by altering the definition of criminal conduct or increasing the punishment for the crime, see Collins v. Youngblood, 497 U. S. 37, 50 (1990). In this case the operation of the 1992 statute to effect the cancellation of overcrowding credits and the consequent reincarceration of petitioner was clearly retrospective. The narrow issue that we must decide is thus whether those consequences disadvantaged petitioner by increasing his punishment.
In arguing that the cancellation of overcrowding credits inflicts greater punishment, petitioner relies primarily on our decision in Weaver v. Graham, in which we considered whether retroactively decreasing the amount of gain-time awarded for an inmate‘s good behavior violated the
According to petitioner, although this case involves overcrowding credits, it is essentially like Weaver because the issuance of these credits was dependent on an inmate‘s good conduct. Respondents, on the other hand, submit that Weaver is not controlling because it was the overcrowded condition of the prison system, rather than the character of the prisoner‘s conduct, that gave rise to the award. In our view, both of these submissions place undue emphasis on the legislature‘s subjective intent in granting the credits rather than on the consequences of their revocation.
In arriving at our holding in Weaver, we relied not on the subjective motivation of the legislature in enacting the gain-time credits, but rather on whether objectively the new statute “lengthen[ed] the period that someone in petitioner‘s position must spend in prison.” Id., at 33. Similarly, in this case, the fact that the generous gain-time provisions in Florida‘s 1983 statute were motivated more by the interest in avoiding overcrowding than by a desire to reward good behavior is not relevant to the essential inquiry demanded by
In our post-Weaver cases, we have also considered whether the legislature‘s action lengthened the sentence without examining the purposes behind the original sentencing scheme. In Miller v. Florida, 482 U. S. 423 (1987), we unanimously concluded that a revision in Florida‘s sentencing guidelines that went into effect between the date of petitioner‘s offense and the date of his conviction violated the
In California Dept. of Corrections v. Morales, 514 U. S. 499 (1995), we also relied entirely on objective considerations to support our conclusion that an amendment to California‘s parole procedures that decreased the frequency of parole hearings for certain offenders had not made any “change in the ‘quantum of punishment,‘” id., at 508. The amendment at issue in Morales allowed the parole board, after holding an initial parole hearing, to defer for up to three years subsequent parole suitability hearings for prisoners convicted of multiple murders if the board found that it was unreasonable to expect that parole would be granted at a hearing during the subsequent years. We stated that the relevant inquiry is whether the “change alters the definition of criminal conduct or increases the penalty by which a crime is punishable.” id., at 507, n. 3.14 After making that inquiry, we
We did not imply in Morales, as respondents contend, that the constitutionality of retroactive changes in the quantum of punishment depended on the purpose behind the parole sentencing system. The only mention of legislative purpose in Morales was in the following passage:
“In contrast to the laws at issue in Lindsey [v. Washington, 301 U. S. 397 (1937)], Weaver, and Miller (which had the purpose and effect of enhancing the range of available prison terms, see Miller, supra, at 433-434), the evident focus of the California amendment was merely “‘to relieve the [Board] from the costly and time-consuming responsibility of scheduling parole hearings‘” for prisoners who have no reasonable chance of being released. In re Jackson, 39 Cal. 3d 464, 473, 703 P. 2d 100, 106 (1985) (quoting legislative history).” Id., at 507.
Thus, we concluded, the change at issue had neither the purpose nor the effect of increasing the quantum of punishment. Whether such a purpose alone would be a sufficient basis for concluding that a law violated the
Respondents also argue that the retroactive cancellation of overcrowding credits is permissible because overcrowding gain-time—unlike the incentive gain-time at issue in Weaver which is used to encourage good prison behavior and prisoner rehabilitation—“b[ears] no relationship to the original penalty assigned the crime or the actual penalty calculated under the sentencing guidelines.” Brief for Respondent Mathis 20. To the extent that respondents’ argument rests on the notion that overcrowding gain-time is not “in some technical sense part of the sentence,” Weaver, 450 U. S., at 32, this argument is foreclosed by our precedents. As we recognized in Weaver, retroactive alteration of parole or early release provisions, like the retroactive application of provisions that govern initial sentencing, implicates the
Respondents argue that this reasoning does not apply to overcrowding credits because, when petitioner pleaded nolo contendere, he could not reasonably have expected to receive any such credits. The State, after all, could have alleviated the overcrowding problem in various ways: It could have built more prisons; it could have paroled a large category of nonviolent offenders; or it might have discontinued prosecution of some classes of victimless crimes. Respondents thus argue that the 1992 statute does not violate the
IV
Although it does not appear that respondents advanced this argument in the papers filed in the District Court, the Court of Appeals, or in their brief in opposition to the petition for certiorari in this Court, they now argue that petitioner is not entitled to relief because his overcrowding credits were awarded pursuant to statutes enacted after the date of his offense rather than pursuant to the 1983 statute. We disagree.
The overcrowding statute in effect at the time of petitioner‘s crime was modified in subsequent years, but its basic elements remained the same: The statute provided for reductions in a prisoner‘s sentence when the population of the prison system exceeded a certain percentage of lawful capacity. At the time of petitioner‘s sentence in 1986, the emergency gain-time statute was in effect. Under that statute, when the prison population reached 98% of lawful capacity,
The later statutes slightly modified the procedures outlined in the 1983 statute. The administrative gain-time statute enacted in 1987 (after petitioner‘s plea of nolo contendere) provided that the secretary, after certification to the Governor, “may grant up to a maximum of 60 days administrative gain-time.”
The changes in the series of statutes authorizing the award of overcrowding gain-time do not affect petitioner‘s core ex post facto claim. Petitioner could have accumulated gain-time under the emergency gain-time provision in much the same manner as he did under the provisional credits statute. We recognize, however, that although the differences in the statutes did not affect petitioner‘s central entitlement to gain-time, they may have affected the precise amount of gain-time he received. Between 1988 and 1992, the provisional credits were authorized when the prison reached 97.5% capacity rather than 98% capacity as under the emergency gain-time statute. If the prison population did not exceed 98% of capacity between 1988 and 1992, and if petitioner received provisional credits during those years, there is force to the argument that the cancellation of that portion of the 1,860-day total did not violate the
The judgment of the Court of Appeals is reversed, and the case is remanded for further proceedings consistent with this opinion.
It is so ordered.
JUSTICE THOMAS, with whom JUSTICE SCALIA joins, concurring in part and concurring in the judgment.
I understand the Court‘s opinion to hold that retroactively canceling petitioner‘s so-called “provisional credits” after he has used them to gain his freedom violates the
Whether a particular law retroactively increases a criminal punishment is often a close question. In California Dept. of Corrections v. Morales, 514 U. S. 499 (1995), for example, respondent challenged a retroactive change to the frequency of parole hearings. Given that the retroactive change “create[d] only the most speculative and attenuated risk of increasing the measure of punishment attached to the covered crimes,” we found no ex post facto violation. Id., at 514.
Unlike in Morales, the increase in petitioner‘s punishment here was neither “speculative” nor “attenuated.” Petitioner pleaded nolo contendere to a charge of attempted murder and was duly sentenced. During the period of his confinement, petitioner accumulated release credits under a state statute adopted in response to prison overcrowding. Those credits enabled petitioner to be freed from prison before his sentence (as originally imposed) had run. Shortly before petitioner secured his release, however, the Florida Legislature enacted a statute preventing certain categories of offenders from taking advantage of the provisional credits. Although petitioner‘s offense placed him among the offenders denied the opportunity to acquire those particular credits, the statute was not applied retroactively. Petitioner was thus released. The state attorney general subsequently issued an opinion giving the statute retroactive effect. The State thereafter rearrested petitioner and returned him to custody.
Under these narrow circumstances, I agree with the Court that the State‘s retroactive nullification of petitioner‘s previously accrued, and then used, release credits violates the Constitution‘s ban on ex post facto lawmaking. I do not, however, join the majority‘s discussion of Weaver v. Graham, 450 U. S. 24 (1981), which I find unnecessary to the resolution of this case. In Weaver, we considered whether a statute
