United States v. Williams
United States v. Williams
Opinion of the Court
*1012This case is before the court on Defendant Christopher Lavan Williams' Motion to Dismiss the Indictment. (Doc. # 19). In this case, the United States has charged Williams with being a felon in possession of a firearm in violation of
I. Factual and Procedural Background
Christopher Lavan Williams had several run-ins with the law prior to possessing the firearm that is the subject of this prosecution. According to the indictment in this case, the State of Alabama convicted Williams of second degree burglary in 2016, receipt of stolen property in the second degree in 2013, and first degree robbery in 2009. (Doc. # 1). Each of these offenses is a crime punishable by imprisonment for a term exceeding one year. (Id. ).
On December 1, 2017, Alabama authorities arrested Williams and charged him with unlawfully possessing a firearm in violation of Alabama's felon-in-possession statute, Ala. Code. § 13A-11-72(a). The arrest warrant and criminal information charged Williams with possessing a "Taur[us] 44 Special" pistol after having been previously convicted of first degree robbery, which is a "crime of violence" under Alabama's felon-in-possession statute. (Doc. # 19-1 at 1, 6). Williams pleaded guilty to the charge on April 17, 2018 and received a fifteen-year sentence (two years of incarceration to be served immediately, split with thirteen years of probation). (Id. at 4-5). Shortly thereafter, the Alabama Department of Corrections released Williams pursuant to the community corrections program. (Doc. # 22 at 2). Several weeks later, while on release under the community corrections program, Williams was arrested on a federal warrant for being a felon in possession of a firearm in violation of
II. Analysis
The Fifth Amendment's Double Jeopardy Clause provides, "No person shall ... be twice put in jeopardy" "for the same offence." U.S. Const. amend. V. Though the Clause's text apparently imposes *1013an absolute prohibition on successive prosecutions for the same crime, the Supreme Court has read an important exception into the Double Jeopardy Clause. The same government may not twice prosecute an individual for the same offense, but two separate sovereigns -- for instance, a state government and the federal government -- may do so. See United States v. Lanza ,
III. Reconsidering the Separate Sovereigns Exception to the Double Jeopardy Clause
There may well be good reasons for overruling the "separate sovereigns" exception to the Double Jeopardy Clause. Recently, the Supreme Court agreed to hear a case asking the Court to do just that. See Gamble v. United States , --- U.S. ----,
A. The Text of the Double Jeopardy Clause Is Absolute
The Double Jeopardy Clause's phrasing is absolute. It provides unambiguously that no person shall be "twice put in jeopardy" "for the same offence." U.S. Const. amend. V. The Clause makes no exceptions based on the identity of the prosecutor: if two offenses are "the same," the Clause forbids successive prosecutions, regardless of whether the prosecutions are brought by the same government or different ones.
The Supreme Court has long recognized that two crimes are the "same offence" if their elements are the same. That is, two separate statutory provisions create distinct offenses only if "each provision requires proof of a fact which the other does *1014not." Blockburger v. United States ,
Without question, the Clause could have been written to permit subsequent prosecutions for the same offense by separate sovereigns. In fact, one member of the first Congress proposed language that would have done just that. The original draft of the Double Jeopardy Clause prohibited "more than one trial or one punishment for the same offence." 1 Annals of Cong. 753 (1789). Yet, Representative Partridge proposed inserting, after "same offence," the words "by any law of the United States."
B. The Original Understanding of the Double Jeopardy Clause Is Inconsistent with the Separate Sovereigns Exception
Significant historical evidence confirms that the Double Jeopardy Clause was originally understood to bar successive prosecutions of the same offense by separate sovereigns. The Framers understood the Double Jeopardy Clause to embody a well-settled principle of the English common law. As one member of the first Congress put it, the Clause "was declaratory of the law as it now stood." 1 Annals of Congress 753 (1789) (remarks of Rep. Livermore). Joseph Story explained that the Clause "is another great privilege secured by the common law." 3 Joseph Story, Commentaries on the Constitution of the United States 662 (1833). And the Supreme Court itself has recognized that the "guarantee against double jeopardy" "became established in the common law of England long before this Nation's independence" and was subsequently "carried into the jurisprudence of this Country through the medium of Blackstone." Benton v. Maryland ,
The Double Jeopardy Clause was based on the English common-law pleas of autrefois acquit (former acquittal) and autrefois convict (former conviction). Grady ,
A case in point is King v. Roche , 168 Eng. Rep. 169, 169 (K.B. 1775). There, an English prosecutor charged Roche with a murder committed in South Africa. Id. Roche entered a plea of autrefois acquit , claiming that a Dutch court in South Africa had previously acquitted him of the same murder. Id. The English court agreed that a prior acquittal by the Dutch court would bar prosecution in England "because a final determination in a Court having competent jurisdiction is conclusive in all Courts of concurrent jurisdiction." Id. at 169 n.a. To make its point unmistakably clear, the court explained, "if A., having killed a person in Spain, were there prosecuted, tried, and acquitted, and afterward were indicted here, at Common Law, he might plead the acquittal in Spain in bar." Id.
Roche itself relied on another widely cited decision, King v. Hutchinson . In Hutchinson , the defendant had committed a murder in Portugal, where he was then acquitted of the crime. Id. Later, English authorities apprehended Hutchinson and sought to convict him of the murder in England, "the King being very willing to have him tried here for the same offence." Id. But the court held that "as he had been already acquitted of the charge by the law of Portugal, he could not be tried again for it in England." Id. Though there is no surviving original report of Hutchinson , at least three reported cases in addition to Roche cite that decision as settling English law on the issue of successive prosecutions by separate sovereigns. See Beak v. Tyrrell , 89 Eng. Rep. 411, 411 (K.B. 1688), sub nom Beak v. Thyrwhit , 87 Eng. Rep. 124; Burroughs v. Jamineau , 25 Eng. Rep. 235 (Ch. 1726), sub nom Burrows v. Jemino , 93 Eng. Rep. 815; Gage v. Bulkeley , 27 Eng. Rep. 824, 826-27 (K.B. 1744). Moreover, English treatises from before and after the time of our Nation's founding uniformly recognized the Hutchinson rule. See J.A.C. Grant, Successive Prosecutions by State and Nation: Common Law and British Empire Comparisons ,
The course set by early decisions of the Marshall Court was to apply the Double Jeopardy Clause in a manner consistent with the English common law. The leading case is Houston v. Moore ,
Two weeks after deciding Houston , the Supreme Court again endorsed the Hutchinson rule in United States v. Furlong ,
Houston and Furlong thus show that the earliest Justices of the Supreme Court understood the Double Jeopardy Clause to bar successive prosecutions for the same crime, regardless of whether the prosecutions were brought by the same or separate sovereigns. It was not until many decades after the founding that the Supreme Court began to suggest (in dicta) that the Double Jeopardy Clause might not bar successive prosecutions by state and federal governments. See United States v. Marigold ,
In Lanza , the Supreme Court paid scant attention to the original meaning of the Double Jeopardy Clause and instead focused primarily on a policy concern-that forbidding successive state and federal prosecutions might permit states to undermine federal prohibition laws. See Lanza ,
C. The Separate Sovereigns Doctrine Contravenes Core Principles of Federalism
Besides conflicting with the text and original understanding of the Double Jeopardy Clause, the separate sovereigns exception also runs afoul of core principles of federalism. The Framers divided governmental power between the state and federal governments in large part to supply "a double security ... to the rights of the people." Federalist No. 51, at 323 (James Madison) (Clinton Rossiter ed., 1961). Federalism, in other words, was designed to "secure[ ] to citizens the liberties that derive from the diffusion of sovereign power." Bond ,
The separate sovereigns exception is especially suspect in our federal system because the states, unlike foreign nations, are not entirely independent sovereigns under the Constitution. Rather, the states and the federal government are "kindred systems," and "parts of ONE WHOLE." Federalist No. 82, at 493 (Alexander Hamilton) (Clinton Rossiter ed., 1961). Even if it were justifiable to reject the English rule and permit a second domestic prosecution after a foreign conviction or acquittal, it is quite another thing to permit a second prosecution after a coordinate government that is part of the same national system has once prosecuted an individual. The Supreme Court will this term decide whether the separate federal and state sovereigns that comprise our federal system -- so "intimately bound by political ties" -- must respect the criminal judgements of one another at least as much as "nations who [we]re strangers to each other" did at the time of our Nation's founding. State v. Antonio ,
IV. Conclusion
This prosecution highlights a key reason the Framers incorporated the common-law protection against successive prosecutions into the Bill of Rights. Williams has already been convicted once for being a felon in possession of a firearm on December 1, 2017 by the State of Alabama, and has received a fifteen-year sentence for his crime. The federal government now seeks to prosecute him a second time for this offense. The court is bound to let this prosecution proceed under existing Supreme Court precedent, and Williams' Motion to Dismiss the Indictment (Doc. # 19) is therefore due to be denied. But this case nonetheless highlights the pressing need for the Supreme Court to reconsider the separate sovereigns exception to the Double Jeopardy Clause and say whether fidelity to the Constitution and the liberty it secures will countenance a prosecution like this one.
An Order consistent with this Memorandum Opinion will be entered.
DONE and ORDERED this October 16, 2018.
The court intends no criticism of the Government here. For nearly 100 years, the Supreme Court has permitted a prosecution like this one under the separate sovereigns exception. But, as noted above, the court questions whether the Supreme Court drove the train off the tracks in Lanza .
Reference
- Full Case Name
- United States v. Christopher Lavan WILLIAMS
- Cited By
- 1 case
- Status
- Published