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Smart Summary

Factual and Procedural Background

This appeal arises from a parole revocation proceeding involving Preston Knowles, who was sentenced to an indeterminate term in 1971, released on parole in 1974, returned for a parole violation in 1976, and reparoled in 1978. After being arrested and charged with a crime in December 1978, a parole violation warrant was issued, and a final violation hearing was held on September 20, 1979. The Parole Board's final written decision sustaining the parole violation and revoking parole was not received by petitioner until December 19, 1979, approximately 90 days after the hearing. Petitioner commenced a habeas corpus proceeding seeking release and reinstatement of parole on grounds of delayed notification of the Parole Board’s decision. The Appellate Division affirmed the judgment of the lower court, with one justice dissenting.

Legal Issues Presented

  1. Whether a delay of 90 days from the final revocation hearing to notification of the Parole Board's decision violates due process rights of the parole violator.
  2. Whether the statutory and regulatory requirement to notify the parole violator "as soon as practicable" after a violation hearing mandates a shorter time frame for delivering the final written decision.
  3. What constitutes a reasonable delay in providing notice of a parole revocation decision under New York Executive Law and relevant regulations.

Arguments of the Parties

Appellant's Arguments

  • The 90-day delay in receiving the Parole Board’s final written decision deprived petitioner of due process rights under the Fourteenth Amendment.
  • The statutory requirement that notification be given "as soon as practicable" was violated by the delay.
  • The delay was unjustified and prejudicial, as petitioner was incarcerated without the benefit of a timely decision, affecting his liberty and rehabilitation opportunities.
  • Due process requires a timely written statement of evidence and reasons for revocation, as established in Morrissey v. Brewer.
  • The parole authorities failed to justify the delay, which was unreasonable given the simplicity of the case and the administrative nature of the decision.
  • The appropriate remedy is vacatur of the parole violation warrant and reinstatement of parole.

Respondent's Arguments

  • The delay of 50 days after the Parole Board’s final approval of the hearing officer’s recommendation does not violate due process.
  • The case Lee v. Syracuse Area Parole Office supports that such a delay is permissible absent evidence of prejudice.
  • The final revocation hearing was held within the 90-day statutory period, satisfying the procedural requirements.
  • The letter sent to petitioner’s attorney providing notice of the decision meets the notification requirements.

Table of Precedents Cited

Precedent Rule or Principle Cited For Application by the Court
Lee v. Syracuse Area Parole Office, 77 A.D.2d 815 Permissibility of delay between revocation hearing and decision; prejudice as a factor. Majority distinguished the present case from Lee, noting no prejudice shown here despite delay.
Morrissey v. Brewer, 408 U.S. 471, 489 Due process rights in parole revocation, including requirement of written statement of reasons and evidence. Dissent invoked Morrissey to emphasize constitutional requirement for timely written notice.
People ex rel. Johnson v. New York State Bd. of Parole, 71 A.D.2d 595 Strict construction of statutory time limits in parole proceedings. Dissent cited to support strict enforcement of timely procedures and remedy for delay.
People ex rel. Levy v. Dalsheim, 66 A.D.2d 827, affd 48 N.Y.2d 1019 Enforcement of procedural time requirements in parole revocation. Dissent relied on this precedent to argue for vacatur due to procedural delay.
Matter of Beattie v. New York State Bd. of Parole, 39 N.Y.2d 445 Due process requires hearing within reasonable time. Dissent cited to support the reasonableness standard and case-by-case assessment of delays.
People ex rel. Allah v. Warden, Bronx House of Detention, 47 A.D.2d 485, 490, app dsmd 38 N.Y.2d 823 Reasonableness of delay assessed on ad hoc basis considering circumstances. Dissent used this to emphasize need for case-specific evaluation of delay impact.
Matter of McLucas v. Oswald, 40 A.D.2d 311, app dsmd 32 N.Y.2d 761 Procedural fairness and timeliness in parole revocation process. Dissent cited to reinforce procedural timeliness requirements.

Court's Reasoning and Analysis

The majority affirmed the judgment for the reasons stated at the Special Term, emphasizing that the petitioner received notice of the Parole Board’s decision within 50 days after the Board’s approval of the hearing officer’s recommendation. The majority distinguished the present case from Lee v. Syracuse Area Parole Office, where a longer delay and evidence of prejudice were found. The majority concluded that the delay here did not violate due process.

In dissent, Justice Schnepp argued that although the statute does not specify a precise deadline for delivery of the written decision, the requirement that notification be given "as soon as practicable" imposes an obligation for promptness. The dissent highlighted that a 90-day delay in notifying the parole violator of the decision is excessive and constitutes a due process violation under the Fourteenth Amendment. The dissent analyzed relevant statutory provisions, regulations, and case law, emphasizing the importance of timely notification to protect the parolee’s liberty interests and rehabilitation opportunities. The dissent proposed a multi-factor balancing test considering length of delay, reasons for delay, case complexity, and prejudice to the parolee, concluding that the delay here was unjustified and prejudicial. The dissent held that the proper remedy was to vacate the parole violation warrant and reinstate the appellant to parole.

Holding and Implications

The court's final decision was to affirm the judgment of the lower court, thereby upholding the revocation of parole despite the delay in notification.

The direct effect of this decision is to deny petitioner’s claim for relief based on delayed notification of the Parole Board’s decision. The majority’s ruling clarifies that delays of approximately 50 days after the Board’s decision, absent demonstrated prejudice, do not violate due process under the circumstances presented. The opinion does not establish new precedent but reaffirms the applicability of prior case law distinguishing permissible and impermissible delays in parole revocation proceedings.

THE PEOPLE OF THE STATE OF NEW YORK ex rel. PRESTON KNOWLES, Appellant, v. HAROLD J. SMITH, as Superintendent of the Attica Correctional Facility, Respondent.

Judgment affirmed. Memorandum: We affirm for the reasons stated at Special Term. In addition we note that on November 9, 1979, 50 days after the revocation hearing, petitioner received a copy of a letter sent to his attorney on November 1, 1979 by the senior parole officer in the Rochester office stating that a notice of appeal form and a copy of the "finding of fact and recommended disposition" were enclosed and advising the attorney that on October 26, 1979 the Parole Board commissioners had approved the finding and the recommended disposition submitted by the hearing officer and had directed that, inter alia, the parole violation be sustained, parole be revoked and petitioner held for 15 months. Lee v Syracuse Area Parole Off. ( 77 A.D.2d 815) is not contrary to this decision. In Lee, 58 days elapsed between the final revocation hearing and the time the board rendered its decision and there was evidence of prejudice resulting from this delay. All concur, except Schnepp, J., who dissents and votes to reverse and grant the writ, in the following memorandum.

Schnepp, J. (dissenting).

I agree that the Executive Law does not require and the Legislature never intended that the final revocation hearing be concluded and the Parole Board's final written decision and recommendation be received by the violator within the 90-day statutory period. Contrary to the majority's holding, however, I would reverse the determination and hold that a delay of 90 days from the final revocation hearing to notification of the violation hearing decision or recommendation, under the circumstances here, constitutes a deprivation of due process rights and violates the requirement of notice "As soon as practicable after a violation hearing" ( 9 NYCRR 8005.20 [f]). The facts are not in dispute. On April 15, 1971 petitioner was sentenced to an indeterminate term of imprisonment with a maximum of 15 years and a minimum of 5 years. He was released on parole in 1974, returned for a violation of parole on July 9, 1976 and reparoled on January 18, 1978. On December 2, 1978 petitioner was arrested and charged with the commission of a crime. On December 4, 1978 a parole violation warrant was issued and on December 12, 1978 a finding of probable cause was made after a preliminary hearing. Petitioner requested a postponement of the final violation hearing until August 10, 1979 when, after pleading guilty to attempted assault based on the December 2, 1978 incident for which he received a 90-day sentence, with credit for time served, petitioner requested a final hearing. On September 20, 1979 a final violation hearing was held before a hearing officer. On December 10, 1979 petitioner commenced this habeas corpus proceeding seeking his release from custody and reinstatement of parole, claiming that he had not received the Parole Board's final written decision. On December 19, 1979 petitioner received the Parole Board's final decision and determination which sustained the parole violation, found a delinquency related to the December 2, 1978 incident, revoked his parole and fixed a period of "15 months" as a date for consideration by the Parole Board of his rerelease on parole. The hearing on September 20, 1979 was well within the 90-day statutory limit (Executive Law, § 259-i, subd 3, par [f], cl [i]). The formal written decision was given to petitioner on December 19, 1979, 90 days after the conclusion of, and 131 days after his request for, the final revocation hearing. It is beyond question that notice of the decision following a parole revocation hearing is an interest within the "liberty and property" language of the Fourteenth Amendment. In Morrissey v Brewer ( 408 U.S. 471, 489) the Supreme Court held that due process applies to parole revocation and one of the minimum requirements of due process is "a written statement by the factfinders as to the evidence relied on and the reasons for revoking parole." By statute in New York once it is found that a condition of parole is violated, the violator may either be incarcerated with a date fixed for consideration by the Parole Board for rerelease or restored to parole supervision (Executive Law, § 259-i, subd 3, par [f], cl [x]). As directed by Morrissey, a written statement must be prepared and made available to the violator indicating the evidence relied upon, the reasons for revoking or recommending the revocation of parole, and the disposition made or recommended (Executive Law, § 259-i, subd 3, par [f], cl [xi]). There is no statutory time within which the violator and his attorney must be provided with the written violation hearing decision. New York has clearly imposed the requirement of expedition in parole matters, however, and the statute, which directs the final revocation hearing, enumerates explicit time frames in which certain procedures must be provided for the alleged violator. Our courts have mandated that where the legislative purpose was to create time periods beyond which there could be no delay the statute should be strictly construed (People ex rel. Johnson v New York State Bd. of Parole, 71 A.D.2d 595; People ex rel. Levy v Dalsheim, 66 A.D.2d 827, affd 48 N.Y.2d 1019). The concern of the Division of Parole for prompt disposition procedures is evidenced by 9 NYCRR 8005.20 (f) which provides as follows: "Notification. As soon as practicable after a violation hearing, the alleged violator and his attorney shall be advised in writing of the violation hearing decision, or decision and recommendation, including the reason for the determination and the evidence relied upon." The transmittal to petitioner of a copy of the bare letter addressed to petitioner's attorney, noted by the majority in their affirmance, can scarcely be deemed a compliance with the statute and rules. Before the New York State statute fixed exact time requirements it was held that due process required that the alleged parole violator be accorded the right to a hearing within a reasonable time (Matter of Beattie v New York State Bd. of Parole, 39 N.Y.2d 445) and that the test of reasonableness under the circumstances "requires a case-by-case ad hoc approach for proper resolution" (People ex rel. Allah v Warden, Bronx House of Detention, 47 A.D.2d 485, 490, app dsmd 38 N.Y.2d 823; see Matter of McLucas v Oswald, 40 A.D.2d 311, app dsmd 32 N.Y.2d 761). Following the same rationale, where the statute and regulations now provide no fixed time period for service of a written hearing decision other than the imprecise direction "As soon as practicable", ad hoc determinations are also required to be made case-by-case, based on the totality of circumstances, as to whether or not a particular delay is unreasonable. Factors to be considered in determining whether a delay constitutes a violation of a parolee's constitutional right to due process are: (1) length of delay; (2) reasons offered to explain the delay; (3) complexity of the case and degree of difficulty in arriving at a decision; and (4) prejudice to the petitioner. Factors which contribute to the complexity of the case include: (a) volume of testimony and number of witnesses; (b) type of proof offered; (c) similarity between the proof at the preliminary hearing and the final revocation hearing; and (d) need for review of the hearing officer's determination by a Parole Board member. Factors which may contribute to prejudice the parolee include: (a) absolute loss of freedom; (b) loss of rehabilitation opportunity; (c) loss of available privileges; and (d) delay or effective loss of right to appeal. I would hold, however, that an inordinate unexcused delay per se may amount to a violation of the petitioner's due process rights without a showing of actual prejudice (see, generally, Morrissey v Brewer, 408 U.S. 471, supra). Without the benefit of a violation hearing decision, the parolee is in a state of limbo since he is in prison but not in the mainstream of the system's rehabilitative processes and every privilege which is available to him may be adversely affected. Applying these factors here, 90 days elapsed between the final revocation hearing and the receipt by petitioner of the required hearing violation decision and recommendation during which time he was incarcerated by reason of the parole violation. Although the record shows that the hearing officer's recommendations were reviewed by the Parole Board on October 26, 1979, no explanation or justification is offered by the parole authorities for the delay in providing petitioner with its decision until over 50 days later. Additionally, the record, which does not contain the hearing minutes, shows that petitioner pleaded guilty in criminal court and, since the only proof was the certificate of conviction which was apparently offered into evidence, the revocation proceedings were neither complex nor time consuming. The finding of a parole violation at the conclusion of the hearing was self-evident and the administrative procedures necessary to fix the sanction, render a decision and convey it to the appellant would seem to be minor. The denial to an alleged violator of a prompt decision is a failure to comply with the spirit and letter of the law, and the burden to justify any prolonged delay must be met by the parole authorities because they have virtual control over this stage of the administrative process and dictate its pace. The legislative purpose in establishing the 90-day rule and other time limitations, which were designed to guarantee the alleged parole violator with the process due to him, should not be thwarted by countenancing unexcused or unnecessary delays in providing the required written decision. In my view, there is no way to rectify the violation of these due process rights and the rules of the Division of Parole, and the proper remedy under the circumstances is vacatur of the parole violation warrant and reinstatement of the appellant to parole (see People ex rel. Johnson v New York State Bd. of Parole, 71 A.D.2d 595, supra; People ex rel. Levy v Dalsheim, 66 A.D.2d 827, affd 48 N.Y.2d 1019, supra). Any other direction would be meaningless.

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PEOPLE EX REL. KNOWLES v. SMITH
(Nov 13, 1980)