Lead 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.
Because this is an appeal from an order granting summary judgment in favor of the Parole Board, we summarize the facts in the light most favorable to Mr. Neese.
See
Borghetti v. Sys. & Comput.Tech., Inc.
,
Mr. Neese was tried on these allegations, but the proceeding ended in a mistrial. As far as the record reveals, Mr. Neese has never been convicted of this or any other sex offense.
While the Parole Board concedes the issue of what process Mr. Neese was entitled to "was preserved below," it notes in passing that Mr. Neese's petition for an extraordinary writ in the district court didn't specify the precise due process protections to which Mr. Neese believed he was entitled. This statement, read in context, is a suggestion that Mr. Neese hasn't met his burden of persuasion. But because this issue was inadequately briefed, it's of no consequence. Moreover, Mr. Neese asserted that the Parole Board acted in violation of his due process rights, and he sought reversal of its determinations on that basis. It's enough under the circumstances that he argued that the process he received was insufficient to justify the Parole Board's actions.
We take care to say "at a minimum" because it may be more accurate for us to describe what happened here as a lopsided trial.
The dissent repeatedly claims safe harbor to launch its assault on Labrum and to undertake its independent originalist analysis based upon our decision not to seek supplemental briefing. If played out to its logical end, the dissent's argument would allow any justice to write on any argument at any time because the court could have, but didn't, request supplemental briefing. We respectfully reject any such notion.
In response, the dissent makes much of Mr. Neese not citing to Labrum in his opening brief. See infra ¶ 129. That is a fair criticism, but one that sidesteps the fact that (1) Mr. Neese did make the underlying state due process argument in his initial brief and (2) the State extensively briefed Labrum in response, as did Mr. Neese on reply.
In his opinion concurring in part and dissenting in part, the Chief Justice suggests that in highlighting why we believe the dissent's historical analysis may be incomplete, we have somehow put "a thumb on the scale." Infra ¶ 118. That is not our intent and we disavow any language that might suggest otherwise.
What does appear to be absent from the reports are any cases in which a sentencing body based its sentence on a determination that the defendant had committed a hitherto unadjudicated, unadmitted criminal offense. This suggests to us that such a basis might well have been thought to run afoul of basic constitutional norms.
Each of these cases is also notable for its insistence-really presupposition-that all evidence before a sentencing court must be sworn.
See
State v. Reeder
,
Kistler v. State
, discussed above at paragraph 74, serves as an example of both the intermingling of the guilt and sentencing phases and jury sentencing in the latter half of the nineteenth century.
We perceive some tension between this proposition and the view our dissenting colleague propounded in
In re Adoption of K.A.S
.
See
In this respect we part ways with Professor Solum, who argues that originalist translation doesn't require immersion in the "ideology ... and ideas" of the ratification period, just its "semantics or pragmatics." Lawrence B. Solum, Triangulating Public Meaning: Corpus Linguistics, Immersion, and the Constitutional Record 19 (Apr. 26, 2017) (unpublished manuscript), https://papers.ssrn.com/sol3/papers.cfm?abstract_id=3019494.
For example, courts may not have had a need to invoke constitutional principles because their authority over the common law gave them adequate means to articulate procedural protections. For most of the nineteenth century, criminal law and procedure was exclusively judge-made common law. Lawrence M. Friedman, a History of American Law 407 (2d ed. 1985) (noting that the accomplishments of the codification movement were "fairly meager ... up to the end of the 19th century");
see also
Aniceto Masferrer,
The Passionate Discussion Among Common Lawyers About Postbellum American Codification: An Approach to Its Legal Argumentation
,
The dissent is concerned that the logic of our decision "provides no stopping point" for new due process protections and will lead to an ever-expanding ambit of procedural requirements. Infra ¶ 184. But this decision repeatedly emphasizes that its purpose is to ensure that Parole Board determinations about whether an inmate has committed an unconvicted crime are adequately supported by notice, evidence, and a rationale-concepts that are basic to the system's historic commitment to due process. The dissent's concerns thus appear to be with the entire enterprise of courts' ensuring procedural protections, not with anything distinctive about this case.
We disagree with the dissent's suggestion that we've demonstrated inadequate concern for the victim in this case. Infra ¶¶ 186-191. While it's correct that Mr. Neese was "convicted of crimes sustaining a sentence of up to thirty-two years in prison," the victim had no legitimate expectation that such a sentence would be sustained based upon unconvicted crimes. Infra ¶ 187. In addition, our opinion today doesn't even bar the Parole Board from taking into account unconvicted crimes, it only requires it to afford Mr. Neese a minimal amount of due process before doing so.
Supra
¶ 60 (quoting
Labrum
,
Infra ¶ 163 n.45.
I also would not seek further briefing on the question of the historical meaning of the due process clause because it is unnecessary to the resolution of this case.
Supra ¶ 70.
See, e.g. , supra ¶ 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."); supra ¶ 72 (" Williams , in turn, relied on State v. Reeder . It appears to us, however, that Reeder and the cases on which it relied may stand for the proposition that sentencing judges must adhere to norms of due process when settling on a sentence." (citation omitted)); supra ¶ 74 ("The other cases on which Reeder relied likewise appear to potentially recognize the importance of procedural protections in connection with sentencing."); supra ¶ 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."); supra ¶ 78 ("And there's good reason to think due process protections may have applied at sentencing.").
Dissenting Opinion
¶ 120 I share some of the majority's concerns about the fairness of the procedures afforded to Neese by the Parole Board. The Board's refusal to allow Neese to call and question his accuser made it difficult for him to persuasively refute the sex-offense charge against him. And without a persuasive means of rebuttal, Neese is likely to face substantially more prison time than most other inmates serving time for his crime of conviction (obstruction of justice). He would also serve that time without a trial-like adjudication of the sex-offense charge in question.
¶ 121 For these and other reasons I might endorse the procedures set forth in the majority opinion if I were in a position to make policy in this field-to promulgate administrative rules governing the Parole Board. I hedge-saying only that I might -because I am certain that my understanding of the Board's decisionmaking process is incomplete. And I frame this conclusion in the subjunctive-speaking of what I might do if I were in a position to promulgate rules for the Board-to underscore the limited scope of our authority in a case like this one. In deciding this case we are deciding only on the demands of the Utah constitution. We are not deciding what set of procedural rules strike us as ideal under these circumstances.
¶ 122 The line between those two concepts is too often blurred in modern judicial thinking. And the blurriness is perhaps at its height when we speak of the requirements of "due process." Here, perhaps more than in other constitutional fields, it is tempting to think of the constitutional requirement of due process as a general charter for assuring a vague ideal of fairness-an ideal that will ebb and flow or evolve over time. But that is not what is enshrined in the due process clause. "[T]he Due Process Clause is not a free-wheeling constitutional license for courts to assure fairness on a case-by-case basis."
In re Discipline of Steffensen
,
¶ 123 The idea of a fixed construct is inherent in the very nature of constitutional law. The whole point of having a written constitution is to "establish the fundamental ground rules for lawmaking"-the "fixed bulwarks" we deem essential to protect us against "tyrannies of the majority."
State v. Houston
,
¶ 124 The point is not that our law cannot evolve. It is to remember that the constitution preserves extra-judicial means of our law's adaptation: (a) "amendment of the constitution through the super-majoritarian procedures set forth in its provisions," and (b) "implementation of policies embraced by the people through their representatives in the political branches of government" (such as by "adoption of statutes, regulations, and other laws within the limitations prescribed in the constitution").
Houston
,
¶ 125 For these reasons I find it important to take a step back from the approach embraced by the majority. I would not begin by accepting the broadest conception of our opinion in
Labrum v. Utah State Board of Pardons
,
¶ 126 The majority criticizes my approach on two principal grounds-(a) the concern that I am engaged in independent analysis of historical material without the benefit of adversary briefing, see supra ¶ 67; and (b) the assertion that I am urging a decision overruling Labrum while the court is just upholding that decision on stare decisis grounds, supra ¶¶ 51, 57. I respond to these and other points in detail below. For now I would note (1) that I favor supplemental briefing on the historical basis for our decision in this case; (2) that my colleagues are not just preserving Labrum but are extending it-establishing a new standard of due process in parole hearings that is nowhere dictated on the face of Labrum ; and (3) that the majority's extension of Labrum is not one expressly requested by Neese (and accordingly not subjected to adversary briefing). See infra ¶¶ 137-43.
¶ 127 My colleagues apparently prefer not to seek further briefing from the parties on the historical questions that I am addressing. That is their prerogative. But I would think that their decision to decline further briefing, see supra ¶¶ 50 n.5, 51, might blunt their criticism of my historical analysis of the due process clause.
¶ 128 The majority is establishing a significant new rule of constitutional law in resolving this case. It holds for the first time that the Utah Constitution guarantees a right to cross-examination in a parole hearing. That right is nowhere enshrined in our precedent-or at all dictated by the analytical framework of Labrum .
¶ 129 Neese himself has not invoked the Labrum opinion as a basis for the parole procedures he claims to be lacking. He bases his due process argument principally on federal authorities-citing Labrum only in his reply brief, and only there in an attempt to try to distinguish it (in response to the Parole Board's argument that Neese was afforded all of the process that he was due under Labrum ).
¶ 130 The bottom line is that the briefing on the state constitutional question presented is quite minimal. That leaves us with two choices-either to seek supplemental briefing or to move forward with what we have. I would seek further briefing. But I also find the matter adequately presented, and I see no barrier to our resolving it (either by application of precedent or by resort to historical materials).
¶ 131 I would resolve this issue by analyzing the text and original meaning of the due process clause of the Utah Constitution. Thus, I would apply the historical framework of due process that I have outlined previously.
See
In re Adoption of K.A.S.
,
¶ 132 In the paragraphs below I begin with some background on the due process framework that I would apply. Then I analyze Neese's claim against this backdrop. And I close with some observations about concerns with the majority's approach even accepting the (non-originalist) premises of its analysis.
I
¶ 133 The due process clause does not confer on the judiciary a roving "duty to establish ideal systems for the administration of justice, with every modern improvement and with provision against every possible hardship that may befall."
In re Discipline of Steffensen
,
¶ 134 We have warned against the perils of a notion of due process as "a free-wheeling constitutional license for courts to assure fairness on a case-by-case basis."
Id
. Yet our cases have not always heeded these principles. As judges, too often we skate past the words "due process" and blithely assume the prerogative of constitutionalizing our personal sense of fair procedure. In so doing we forget about the "usual course" for assuring procedural fairness-the legal means of promulgating rules or laws regulating procedure.
See
¶ 135 The constitutional standard, moreover, can be understood only by reference to its text and historical meaning. The text of the clause is simple: "No person shall be deprived of life, liberty or property, without due process of law." UTAH CONST. art. I, § 7. This text implicates two sets of questions: (a) what sorts of proceedings trigger a right to "due process of law"; and (b) what procedures are secured by the guarantee of "due process of law."
¶ 136 We should answer both questions with reference to the historical understanding of the terms of the due process clause. First, the applicability of the due process clause should depend on whether the proceeding in question is one historically understood to threaten a deprivation of "life, liberty or property." And second, the procedures secured by this provision should look to those historically understood as rooted in the guarantee of "due process."
¶ 137 I consider these questions because, unlike the majority, I find no answer to the question presented in our precedent. The
majority claims to find an answer in
Labrum v. Utah State Board of Pardons
,
¶ 138 Yet none of these requirements are anywhere set forth in the Labrum opinion. Indeed there is nothing in Labrum that at all dictates the procedure that the court today endorses as a requirement of due process. And the court's extension of Labrum is not advocated by Neese, and thus has not been subjected to adversary briefing.
¶ 139 The majority claims to be following the "framework" of the
Labrum
opinion.
Supra
¶¶ 27, 60-61. But
Labrum
doesn't establish an operative constitutional framework for application in future cases. It simply concludes-based on the "reality" that parole hearings "are analogous to sentencing hearings,"
¶ 140 There is no clear rationale or "framework" for these decisions in the
Labrum
opinion. The closest the
Labrum
court comes to identifying a basis for its decision is the assertion that the procedure embraced by the court advances "two critical functions related to fundamental fairness"-"minimizing error and preserving the integrity of the [parole] process."
¶ 141 But that conclusion is by no means dictated by
Labrum
. The "critical functions" formulation in
Labrum
is not a workable legal standard; it is a circular confirmation for whatever procedure a majority of this court may deem appropriate.
Any
additional procedure, after all, can be said to "minimiz[e] error" and "preserv[e] the integrity of the [parole] process."
¶ 142
Labrum
thus leaves unanswered the crucial question of the "framework" for deciding any future requirements of the Due Process Clause in parole hearings. To the extent there is a "framework" in
Labrum
it is the notion that due process requires whatever additional "procedure" a majority of this court deems to be helpful. And that is not a framework or rationale that is deserving of
stare decisis
deference.
See
State v. Guard
,
¶ 143 Labrum did not resolve the question of the demands of the due process clause in response to "untested allegations" of a sex offense raised in a parole setting. Supra ¶ 55. We are answering that question as a matter of first impression here. And I see no way to answer that question without a careful analysis of the original meaning of the due process clause of the Utah Constitution.
II
¶ 144 Historically, only certain proceedings were understood to threaten a deprivation of "life, liberty or property" in a manner triggering a right to "due process." See infra Part II.A. The threshold question in my view is whether the parole hearings at issue here should count as that sort of proceeding. And for reasons set forth below I think the historical record cuts against such a conclusion. See infra Part II.B.
¶ 145 The
Labrum
court concluded otherwise.
See
Labrum v. Utah State Bd. of Pardons
,
¶ 146 The majority claims only to be applying the holding of the Labrum decision. But again the court is doing more than that. It is establishing a broad conception of Labrum -the notion that due process requires any additional parole procedure that a majority of the court views as advancing the interest of fundamental fairness. See supra ¶ 33. Labrum nowhere expressly articulates that as the controlling constitutional framework. So in that sense the majority itself is also revisiting the underlying basis for our decision in Labrum . It is just doing so implicitly.
¶ 147 The majority's due process construct yields no logical stopping point-and no real guiding legal principle. Indeed the majority itself nowhere expressly articulates an "anything a majority of us deem necessary is required" standard of due process. If that is in fact the operative principle then we should say so. If there is some other basis for the decision then we should say that. We owe it to the parties-and to lower courts and to the bar, who will be governed by our opinion-to identify a transparent legal basis for the direction of our law in this important area.
¶ 148 To do that we need to return to first principles. And those principles, in my view, must start with an inquiry into the historical basis for extending the protections of the Due Process Clause to the parole process. We can reexamine the premises of the
Labrum
decision while still respecting the premises of the doctrine of
stare decisis
.
¶ 149 At a minimum we need to consider the extent of the "process" that is due in a case like this one.
Labrum
, again, doesn't dictate an answer to that question.
¶ 150 This is another basis for questioning the majority's extension of
Labrum
. The historical precedent cuts against the recognition of the now-constitutionalized right to call witnesses in a sentencing-like proceeding. I can accept, on
stare decisis
grounds,
Labrum
's premise that initial parole hearings are analogous
to sentencing proceedings for due process purposes.
A
¶ 151 The threshold question is whether a parole hearing is the sort of proceeding that triggers a constitutional right to due process. Textually, that question turns on whether such a hearing threatens the deprivation of "life, liberty or property." And the originalist gloss on that question is whether the public understanding of this provision would encompass a hearing like the one at issue here.
¶ 152 One version of the originalist inquiry might start with the premise that modern parole hearings were unknown to the generation of the framing of the Utah Constitution. Because today's parole hearings were not invented until nearly two decades after the framing of our Due Process Clause,
¶ 153 The argument
could
be made. But it wouldn't be a good argument. It would be an argument based on a debunked form of originalism. Thoughtful originalists distinguish between an
application
of the constitution and the public
understanding
of the legal principle expressed by its terms.
¶ 154 This is mainstream originalism, or "original public meaning" originalism. This form of originalism should be distinguished from "original intent" originalism.
¶ 155 A Fourth Amendment problem may help to illustrate. The framers obviously would not have had any specific opinion about whether using a thermal-imaging device to examine a private home for unusual sources of heat (a sign of marijuana cultivation) is a "search" triggering the protections of the Fourth Amendment. But that is the wrong question to ask.
¶ 156 The right question to ask is whether the original public meaning of the legal principle encompassed within the protection against "unreasonable search and seizure," U.S. CONST. amend. IV, would have prohibited using a thermal-imaging device in that way, sans warrant. And it is entirely possible to conclude that the original understanding of that principle encompasses visual inspection by thermal-imaging-if, for example, we think of the notion of a "search" as any operation that violates, in any manner, a homeowner's reasonable expectation of privacy.
See
Kyllo v. United States
,
¶ 157 The Fourth Amendment example helps to focus the question presented in this case. The proper question before us is not whether the framers of the Utah Constitution would have thought that parole hearings trigger a right to due process. Instead we should ask what legal principle the Utah public would have understood in the guarantee of "due process" as a prerequisite to any deprivation of "life, liberty or property." And to answer that question we may need to look for historical analogies to the modern premises before us.
¶ 158 The majority, citing
Labrum
, says that the best analogy is to criminal sentencing proceedings.
¶ 159 Even accepting the analogy, however, the historical record cuts against the majority's decision. There is little historical basis for a conclusion that the due process clause was understood to extend in any meaningful way to sentencing proceedings. The historical view-from the time of the framing of the U.S. Constitution and continuing through the nineteenth century-was that a person's "liberty" was implicated only
by the determination of guilt.
¶ 160 In the eighteenth century and early nineteenth century there was no such thing as a sentencing proceeding as we understand it today. Upon a conviction after trial the court imposed a statutorily required penalty.
¶ 161 Throughout the late nineteenth and early twentieth centuries, judges and parole boards enjoyed wide discretion to determine the appropriate sentence.
¶ 162 At no point in this important timeframe (the nineteenth century-the period leading up to the framing of the Utah Constitution) did anyone raise a due process challenge to these discretionary sentencing proceedings. Certainly there are no judicial decisions establishing a constitutional right to due process in these proceedings.
¶ 163 That is an important "dog that didn't bark." If the generation of the framing of the Utah Constitution viewed the constitutional guarantee of due process of law to attach to sentencing proceedings, surely someone would have raised the argument.
¶ 164 Yet the historical record is silent on this matter. And that is significant.
¶ 165 This does not, of course, mean that no process should ever be afforded in such proceedings. It just means that the question is primarily left to policymakers-to those charged with exercising the discretion to decide on appropriate rules for sentencing proceedings.
¶ 166 Our
Labrum
opinion resolved this matter the other way.
See
Labrum
,
B
¶ 167 The above-cited history is also relevant to the second due process question presented-to the nature or extent of the procedures guaranteed by "due process." Here we can assume that a parole hearing is the sort of proceeding involving a deprivation of liberty that triggers a right to due process. But we still have to decide on the content of the constitutional guarantee-on how much process is constitutionally due.
¶ 168 I see no ground for constitutionalizing whatever procedure a majority of this court might find reasonable. That kind of policymaking is not in the nature of constitutional interpretation. If we are to constitutionalize a field of law we must root our decision in the text and original meaning of the constitution. And such an inquiry would look to the procedures viewed as inherent in due process at the time of the framing of the Utah Constitution.
¶ 169 Those procedures, as noted above, encompassed the basic rights of notice and an opportunity to be heard in accordance with "some settled course of judicial proceedings,"
In re Adoption of K.A.S.
,
¶ 170 Neese was afforded a basic right of notice and an opportunity to be heard. He was advised of the pendency of the parole hearing and given a chance to present his view on the questions presented.
See
UTAH ADMIN. CODE r. 671-202-1. In other words he was afforded the procedures established by this court in our
Labrum
decision.
See
Labrum
,
¶ 171 Certainly the historical record does not support the notion of a right to call witnesses.
¶ 172 Historically, the defendant's rights at sentencing were minimal. At the time of the framing of the Utah Constitution no one would have thought that the right to due process implicated a right to call witnesses or review a written sentencing decision.
See
CAMPBELL, LAW OF SENTENCING ,
supra
, at § 10:5 (stating that the "strong nationwide trend to require reasons for sentences" began only in the "late-1970s"). Indeed the process afforded by the Parole Board far exceeds anything that would have been available historically. The Board gives prospective parolees a right to review everything in the Board's file, UTAH ADMIN. CODE r. 671-303-1(1),
¶ 173 This process goes well beyond that afforded to convicted persons at sentencing proceedings in the nineteenth century. And that is a further basis for rejecting the majority's decision.
III
¶ 174 The majority hedges in its articulation of the due process rights available in a parole hearing. It says that the constitutional right "to call witnesses and present documentary evidence" attaches "unless the safe and effective administration of the prison system requires otherwise." Supra ¶ 43. That may be a helpful caveat. At the very least it is a wise recognition of our lack of expertise and understanding of the parole process.
¶ 175 But the court's caveat also highlights a basic problem with the majority's analysis. We have little knowledge of the day-to-day operations of the Parole Board. And the briefing in this case offers little insight into the possible effects of a decision to announce a new constitutional right to call witnesses. Perhaps that means that any right to call witnesses must be framed as tentative and conditional. But this also underscores a problem with the decision to constitutionalize this field of law.
¶ 176 We have a means of preserving the need for a "safe and effective administration of the prison system." It is to respect the traditional role of the Parole Board in adopting rules of procedure in this field-and to leave the limits of the Due Process Clause to the procedures historically understood to be guaranteed by the constitution.
¶ 177 We undermine the orderly evolution of our law when we constitutionalize fields meant for policymakers. Our constitutional decisions are set in stone, so to speak, and are not easily set aside. We should take that into account before we enshrine a right to call witnesses or to receive a written sentencing decision.
¶ 178 It may be a step in the right direction to acknowledge the countervailing interest in "the safe and effective administration of the prison system." But that does not adequately capture the costs and concerns on the other side of the balance. We cannot properly talk about the best process-let alone the constitutionally mandated process-for a parole system if we are focused only on the "effective administration of the prison system ." We must also account for the needs of an effective parole system . And the most we can say on that point here is that those charged with managing that system have determined that the right to call or cross-examine witnesses is a procedure that interferes with the "safe and effective administration" of parole in Utah. Surely there are good reasons for that decision.
¶ 179 We can characterize the Parole Board's process as effectively "a miniature criminal trial." Supra ¶ 46. But that does not make it so. In our system of justice the Parole Board performs a very different function from the trial court. The Board is not deciding on guilt or innocence. Nor is it even resolving the questions presented to a trial court at sentencing-like the important question, for example, of whether to impose a sentence or instead suspend it upon conditions of probation. See UTAH CODE § 77-18-1(2)(a).
¶ 180 Instead, the Parole Board is making a more holistic, discretionary decision-whether and when to allow an inmate committed to serve up to a statutory maximum term to be released on parole at an earlier date.
¶ 181 We interfere with that discretion when we constitutionalize the Parole Board's processes. And in so doing we threaten the longstanding premises of parole in our criminal justice system. The more we formalize this process the more we threaten the equilibrium of our existing system of criminal justice. We should hesitate before proclaiming a full understanding of the costs and benefits of superimposing additional procedures on a system that remains mostly hidden from judicial scrutiny. See UTAH CODE § 77-27-5(3) ("Decisions of the board in cases involving paroles, pardons, commutations or terminations of sentence ... are final and are not subject to judicial review.").
¶ 182 The "critical functions" of due process cited in
Labrum
are not a legal test.
See
supra
¶ 28 (citing the minimization of "error" and the promotion of the "perception of fairness" as considerations requiring the procedures required by the majority);
Labrum
,
¶ 183 That is the majority's methodology. It treats the minimization of error and the promotion of the perception of fairness as the touchstones for assessing the requirements of the due process clause. See supra ¶ 28. And, not surprisingly, the court concludes that more procedure-a right to call witnesses and to a written ruling-is required.
¶ 184 This is another fatal flaw in the majority's approach. The court ultimately does not identify an operative legal principle or legal test. It simply identifies grounds for ever-expanding procedural mechanisms. The court purports to identify only two new due process rights at parole hearings-the right to call witnesses and the right to a written ruling. But its mode of reasoning provides no stopping point. If we take the majority opinion at face value we can anticipate that more and more procedural rights are to come. Under the majority's approach any additional mechanisms that can be thought to decrease the risk of error and increase the perception of fairness may eventually be "required" by the due process clause. So long as a majority of the court concludes that additional procedures advance these goals, they may be viewed as required by the Utah Constitution.
¶ 185 The court's articulated factors are as fuzzy and unworkable as they are unmoored from history. The inquiry into the perception of fairness seems particularly unmanageable. Fairness is a two-way street. And the inmate is only one side of the criminal justice equation. The other side encompasses interests protected by the state-the public generally and also victims. And fairness to those groups' interests should also be weighed in the balance.
¶ 186 I understand that an inmate in Neese's position might "question the integrity of a system in which the Parole Board could ... adjudge him a sex offender and postpone his release date for up to twenty-eight years based solely on unproven allegations and without ... the opportunity to call witnesses." Supra ¶ 32 (emphasis omitted). But what about the victim of Neese's crimes? And what about the general public, with an interest in seeing that inmates are not released on parole in circumstances in which there is a perceived risk to the public? What about the perception of fairness on this side of the balance?
¶ 187 Neese's victim saw him convicted of crimes sustaining a sentence of up to thirty-two years in prison. And the victim understood that Neese could be required to serve that full term unless the Parole Board exercised its discretion to authorize his early release on parole. Under longstanding procedures, the Parole Board could be expected to exercise its discretion to consider conduct not resulting in a conviction,
see
Alvillar v. Bd. of Pardons & Parole
,
¶ 188 All of these expectations will be dashed by the majority's decision today. And Neese's victim will "justly question the integrity of a system," supra ¶ 32, that allows Neese to change the rules of the parole game midstream.
¶ 189 The majority's warning about the effects of the Parole Board's procedures on plea bargains strikes me as backwards. I do
not see how we can say that a defendant has a "justifiabl[e]" expectation that charges dismissed on a plea bargain will not "come roaring back at their parole hearing."
Supra
¶ 33. Our longstanding parole system makes that a very real possibility. It tells convicted defendants that they may well have to serve the full extent of their imposed sentence,
see
UTAH CODE § 77-18-4(2) & (3), that the decision to release them early is a matter within the discretion of the Parole Board,
see
id.
§ 77-18-4(3), that that discretion can take into account a range of considerations affecting the inmate's risk to the public,
see
Alvillar
,
¶ 190 If anything it is Neese's victim whose interests and expectations are being undermined. By establishing a new set of procedural rights never before established in the parole system the majority undermines Neese's victim's justifiable expectations. It is the victim whose expectations are being undermined here. And victims like her "will be justifiably wary" of plea deals involving the dismissal of sex-offense charges, if the victims know they may be called in to testify in future parole hearings.
¶ 191 We can disagree about whether a right to call witnesses at a parole hearing is a good idea. But so long as we are talking about fairness and justifiable expectations we should paint the full picture. And that picture must include victims and the public.
Neese himself has not asserted that this case is controlled by Labrum . The Labrum opinion isn't even cited in Neese's opening brief. And the discussion of Labrum in the reply brief amounts only to (a) an assertion that Labrum "did not address what process was due in a parole hearing in which the prisoner's status as a sex offender was adjudicated"; and (b) an assertion that the federal Due Process Clause should be interpreted more expansively and that those "broader protections ... are supreme." Appellant Reply Br. at 11-12.
For these reasons it seems to me that the majority is engaging in the very enterprise it seeks to pin on me-of advocating a basis for resolving this case that is not precisely presented by the parties. The majority's extension of Labrum is a matter of the court's own independent analysis. I say that to highlight what I see as some overexuberance in the court's criticism of my independent analysis of the due process clause, and not to question the court's right to engage in this independent analysis. The due process question is adequately presented and briefed, after all, and the court is not just entitled but expected to use its own lights in resolving it.
Utah Const. art. VII, § 12 (2)(a) ("The Board of Pardons and Parole ... may grant parole, ... commute punishments, and grant pardons after convictions, ... subject to regulations as provided by statute."); Utah Code § 77-27-5(5) ("In determining when, where, and under what conditions offenders serving sentences may be paroled [or] pardoned, ... the board shall ... develop and use a list of criteria for making determinations under this [s]ubsection ....");
The doctrine of
stare decisis
urges courts to apply "the first decision by a court on a
particular question of law
... [to] later decisions by the same court."
State v. Thurman
,
I seek not to overrule Labrum . Or even to "confine [it] to its precise facts." Supra ¶¶ 56-57. I am just observing that the Labrum opinion does not dictate an answer to the question presented here. To decide how much procedure is constitutionally required in response to "untested allegations" of a sex crime in a parole hearing we must do more than just apply Labrum .
The majority is surely doing more than that in its opinion. It is not just citing Labrum as dictating the answer to the question presented. It is establishing a wholly new constitutional requirement based on the majority's sense of where best to draw the line-concluding that the right to cross-examination is essential to "due process" in response to an allegation of a sex crime raised in a parole hearing, except where "the safe [and effective] administration of the prison system requires otherwise." Supra ¶¶ 43, 53. That may be a good line to draw. But the line doesn't come from Labrum . It comes from the majority's sense of fairness in the unique circumstances presented in this case.
I'm all for "transparency." Supra ¶ 58. That's the whole point of my opinion. Because I find no answer to the question presented here in Labrum I am seeking to identify a basis for decision in the text and original meaning of the Utah Constitution-the source of first principles for any question not clearly controlled by settled precedent. This seems to me the path of true transparency. Supra ¶ 58.
I cannot see how my resort to first principles would undermine the "coherence" of our jurisprudence in this field.
It seems to me that it is the majority that is engaged in the enterprise of deciding our cases by a " 'show of hands' " rather than a " 'rule of law.' "
Supra
¶ 65 (quoting
Hein v. Freedom From Religion Found., Inc.
,
Cf.
Gen. Motors Corp. v. Tracy
,
Nor do the cases handed down in
Labrum
's wake. Our subsequent decisions admittedly accepted the premises of
Labrum
-that the due process guarantee extends to at least some parole proceedings, that due process is aimed at assuring fairness in those proceedings, and that "this procedural right [i]s not unlimited."
Supra
¶ 62. Thus, in
Neel v. Holden
,
The majority, to its credit, recognizes the importance of an inquiry into the "original meaning of the Utah Constitution when [we are] properly confronted with constitutional issues." Supra ¶ 67. But it then criticizes my historical inquiry on the basis of a supposed lack of "prompting from the parties." Supra ¶ 67. And it questions my originalist analysis on the basis of a lack of adversary briefing. Supra ¶ 67.
To the extent the majority is suggesting that the originalist questions that I am exploring are not properly presented I disagree. The question of the reach and extent of the due process guarantee in a parole proceeding like this one is the key question presented for our decision. And because I find no answer to that question in our precedent it is essential to resort to first principles. In that sense the parties have effectively prompted an analysis of the historical material that I am examining.
To the extent the court is lamenting the lack of detailed briefing on the historical questions at issue I agree-but I find the majority's criticism puzzling. Because I find the originalist questions I address here properly presented but not adequately briefed I would have preferred requesting supplemental briefing.
"Our cases," after all, "have not said that an original parole hearing is identical for all purposes to a sentencing hearing before the trial court."
Monson
,
Our state constitution was written and adopted in 1895 and took effect in 1896. Utah's indeterminate sentencing regime was instituted by statute in 1913.
See
Lawrence B. Solum,
The Fixation Thesis: The Role of Historical Fact in Original Meaning
,
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) ("[O]riginal public meaning, in contrast to original intent, interpret[s] 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 ... [and] is now the predominant originalist theory ....").
The majority also analogizes Neese's parole hearing to "a judicial fact-finder ... adjudicating the inmate guilty of a criminal offense," or a "criminal trial[ ] and the closely related context of [a] prison disciplinary proceeding[ ]." Supra ¶ 29. Yet the court nowhere explains how these alternative analogies cut.
But this premise is by no means a given.
See, e.g.
,
Vitek v. Jones
,
Cf.
Williams v. New York
,
See
Stephen A. Saltzburg,
Due Process, History, and
Apprendi v. New Jersey,
Alan M. Derschowitz,
Criminal Sentencing in the United States: An Historical and Conceptual Overview
,
Derschowitz,
Criminal Sentencing
,
supra
, at 128 (describing the movement over time from statutorily-prescribed sentences for specific offenses to an indeterminate sentencing regime); Alan C. Michaels,
Trial Rights at Sentencing
,
See generally
Carissa Byrne Hessick & F. Andrew Hessick,
Procedural Rights at Sentencing
,
The majority cites cases purportedly undermining this conclusion. It says that the cases cited in
Williams
establish that certain "procedural protections may have been understood to apply to sentencing proceedings in the period leading up to ratification of the Utah Constitution."
Supra
¶ 75. The majority's interpretation of the cases it cites may well be correct. But these cases tell us nothing of relevance to the question presented here. The question before us is whether the procedural guarantees
of the due process clause
were understood to apply in sentencing proceedings. Nothing in the majority's cited cases speaks to that question. These cases suggest, at most, that certain rules of evidence and procedure were deemed to apply at sentencing.
Compare
supra
¶ 72 (stating that the cases
Williams
relied on "may stand for the proposition that sentencing judges must
adhere
to norms of due process when settling on a sentence"),
with
State v. Reeder
,
The majority's cases on character evidence, see supra ¶ 78, fall short for similar reasons. We can stipulate to the possibility that "character evidence was often introduced for sentencing purposes" during the nineteenth century. Supra ¶ 78. But that tells us nothing about whether the right to introduce such evidence-or to present any other evidence-was viewed as an element of the constitutional right to "due process." The majority has cited nothing in support of that proposition. And the cases it does cite speak only to the applicability of rules of evidence or procedure-not the requirements of due process. Our rules of evidence and procedure are certainly amenable to adaptation and amendment over time. And I'm quite open to the possibility of amending such rules to account for the current needs of our sentencing system. But the availability of that mechanism of adaptation does not tell us that the constitutional guarantee of due process must also evolve.
See
Campbell, Law of Sentencing ,
supra
, at § 13:20 ("Just as there is no constitutional right for all offenders to confront witnesses at sentence hearings, there is as yet no recognized constitutional right to present witnesses on their behalf.");
see also
Reeder
,
Reeder
,
Stephen Saltzburg, for example, quotes Justice O'Connor's dissenting opinion in
Apprendi v. New Jersey
,
The majority implies that appellate avenues for asserting a due process challenge to a sentencing proceeding may have been foreclosed by governing rules of appellate jurisdiction.
See
supra
¶¶ 81-82. But the majority's cited authority does not support this conclusion.
See
Appellate Review of Sentencing Procedure
,
I will stipulate that state courts in the nineteenth century "were rarely called upon to assess the constitutionality of statutes that dealt with criminal procedure." Supra ¶ 84 (citation omitted). And it seems likely that this grew out of the fact that the historical basis for assuring fair process was "through the common law." Id. But that seems to me to cut against the majority's conclusions and in favor of mine. My whole point is that the historical record does not suggest that the nineteenth century understanding of the constitutional right of "due process" would have extended to sentencing proceedings. And for that reason I would leave the development of fair procedure for other (non-constitutional) mechanisms like rulemaking.
It may well be that the lack of any historical right to cross-examination in sentencing was rooted in a longstanding (but today outmoded) faith in "the power of oaths to assure the reliability of evidence." Supra ¶ 74 n.9. And the evolution in our thinking about the power of an oath could well be a reason to amend our rules of evidence to allow for more procedure in sentencing. But that doesn't tell us that the historical understanding of due process must likewise evolve in a manner that responds to our modern sensibilities. The Utah Constitution prescribes mechanisms for amendment. See Utah Const. art. XXIII, § 1. If the people think that a principle enshrined in the document has outlived its usefulness they are free to initiate the process for amending that principle. But if the guarantee of "due process" was not historically understood to apply to sentencing then it is not the role of a court to revise the principle of due process to conform to modern sensibilities.
Sentencing is not some "new application" of the principle of due process. See supra ¶ 74 n.9. Sentencing proceedings have been around since well before the founding of our Utah Constitution. So if the founding-era notion of "due process" was not viewed as extending to sentencing then the due process guarantee doesn't apply to sentencing. The scope of the due process guarantee is an aspect of the governing "legal principle." We may now view the thinking behind that principle to be outmoded. But that is at most a basis for amending the constitution. It is not a license for a judicial reformulation. And it certainly isn't a "new application" that the framers hadn't thought about.
It may be that sentencing was more a matter for jury determination during the nineteenth century. See supra ¶ 77. And that may be part of the explanation for a lack of "appellate cases applying procedural protections to the 'sentencing phase' of a criminal proceeding" in the relevant time period. Supra ¶ 77. But that doesn't tell us anything of relevance to the question of whether the guarantee of due process was understood to apply in sentencing proceedings. I have cited extensive historical material supporting my answer to that question. The majority, at most, has identified explanations for a lack of historical material cutting the other way. That is insufficient. The burden of establishing the unconstitutionality of existing parole procedures falls on Neese. So if the most that can be said is that the historical record is at best hazy then the burden has not been carried.
Cf.
Apprendi
,
The majority resists this premise, citing historical material suggesting that parole is based on a "treatment" model and not a principle of mercy or grace. See supra ¶ 87. But "treatment" and "grace" are hardly incompatible. The material cited by the majority suggests not that parole was not a discretionary matter of legislative grace but instead that such discretion was to be exercised with an eye toward prospects for treatment.
The constitutional question presented is whether a discretionary parole decision-whether as an act of grace or as an inquiry into fitness for release under a "treatment" framework-is a proceeding that was historically understood to be protected by the constitutional right to due process. Nothing in the majority's historical materials contradict my conclusion on this core question.
See, e.g.
, Alan C. Michaels,
Trial Rights at Sentencing
,
supra
, at 1812 n.169 (noting that the reason that defendants were not entitled to see the information to be used at sentencing could "perhaps ... [be] derived from a view that a sentence below the maximum was ... considered a potential act of leniency that created no procedural entitlements") (citing Sanford H. Kadish,
Legal Norm and Discretion in the Police and Sentencing Processes
,
A legislative or administrative decision to offer more process, moreover, would not alter the underlying constitutional due process baseline.
Cf.
McMillan v. Pennsylvania
,
Cf.
Campbell, Law of Sentencing ,
supra
, at § 13:20 ("Just as there is no constitutional right for all offenders to confront witnesses at sentence hearings, there is ... no recognized constitutional right to present witnesses on their behalf.");
Williams
,
See Hessick & Hessick, Procedural Rights , supra , at 190-91 ("[S]entencing courts were not required to provide the reasons for the sentences that they imposed.").
Compare that Board-created right with the historical approach: "Despite repeated litigation on a variety of grounds, disclosure of a court's presentence report was not constitutionally required until a few tribunals started doing so in the late 1970s." Campbell, Law of Sentencing , supra , at § 9:12.
See Mission and Jurisdiction , Utah Board of Pardons & Parole , https://goo.gl/At6Fes (last visited July 1, 2017) ("The mission ... is to provide fair and balanced release, supervision, and clemency decisions that address community safety, victim needs, offender accountability, risk reduction, and reintegration."); Utah Code § 77-18-5 (allowing the judge and prosecutor to send a statement to the board "with any information which might aid the board"); id. § 77-27-13(1) (requiring corrections officers to "furnish the board with pertinent information regarding an offender's physical, mental, and social history and his institutional record of behavior, discipline, work, efforts of self-improvement, and attitude toward society").
Cf. Antonin Scalia, a Matter of Interpretation: Federal Courts and the Law 39 (1997) (rejecting a theory of constitutional interpretation premised on the question of "the desirable result for the case at hand," where "the Constitution ... mean[s] what it ought to mean[;] Should there be ... a constitutional right to die? If so, there is. Should there be a constitutional right to reclaim a biological child put out for adoption by the other parent? Again, if so, there is. If it is good, it is so." (citations omitted)).
