United States v. Josephson
Opinion of the Court
The appellant was found guilty by a jury after a trial in the District Court on an indictment reading as follows:
“(1) Pursuant to Public Law 601, 79th Congress, 60 Stat. 812, and House Resolution 5, 80th Congress, dated January 3, 1947, including the Rules of Congress therein adopted and amended, the House of Representatives was empowered to and did create the Committee on Un-American Activities, having duties and powers as set forth in said Resolution.
“(2) On the 5th day. of March, 1947, at the Southern District of New York, Leon Josephson was summoned as' a witness, by authority of the House of Representatives through its Sub-Committee of the Committee on Un-American Activities, to be sworn
“(3) Leon Josephson did appear before the said Sub-Committee, pursuant to subpoena served upon him, at its session in the Federal Court Building, Southern District of New York, on March 5, 1947, but then and there refused to be sworn and to give any testimony before said Committee (Title 2, United States Code, Section 192).”
The above named statute under which he was indicted provides in so far as presently pertinent that: “Every person who having been summoned as a witness by the authority of either House of Congress to give testimony or to produce papers upon any matter under inquiry before either House, * * * or any committee of either House of Congress, willfully makes default, or who, having appeared, refuses to answer any question pertinent to the question under inquiry, shall be deemed guilty of a misdemeanor, * * *.” Rev. Stat. § 102, as amended, 52 Stat. 942, 2 U. S.C.A. § 192.
The Committee on Un-American Activities has been duly authorized under the Legislative Reorganization Act of 1946 to conduct investigations “of (i) the extent, character, and objects of un-American propaganda activities in the United States, (ii) the diffusion within the United States of subversive and un-American propaganda that is instigated from foreign countries or of a domestic origin and attacks the principle of the form of government as guaranteed by our Constitution, and (iii) all other questions in relation thereto that would aid Congress in any necessary remedial legislation.” 60 Stat. 812, 828. The provisions of this statute were incorporated in the rules of the House of Representatives of the Eightieth Congress by House Resolution 5, January 3, 1947.
After motions to set aside the verdict and in arrest of judgment had been denied, sentence was imposed and the appeal is from the final judgment. The appellant raises questions as to the sufficiency of the indictment; the sufficiency of the proof to support the verdict; the trial court’s instructions to the jury; and the constitutionality of the law authorizing the committee to investigate. He is joined on the last point' by two amici who have filed briefs by leave of court.
The above quoted indictment conforms to the requirements of Rule 7(c), Federal Rules of Criminal Procedure, 18 U.S.C.A. following section 687, 327 U.S. 821, 839, and was rightly held sufficient. Indeed, it is a good example of “a plain, concise and definite written statement of the essential facts constituting the offense charged.” It enabled the appellant to understand the nature of the accusation, gave him the needed information to prepare his defense, and made it possible for him to plead the judgment in bar of another prosecution for the same offense should occasion for doing so arise. That, as we have often held, is enough to make an indictment good. United States v. Fried, 2 Cir., 149 F.2d 1011, certiorari denied, 326 U.S. 756, 66 S.Ct. 97, 90 L.Ed. 454; United States v. Wodiska, 2 Cir., 147 F.2d 38; United States v. Achtner, 2 Cir., 144 F.2d 49.
The statute, 2 U.S.C.A. § 192, embraces two offenses. See United States v. Murdock, 290 U.S. 389, 397, 54 S.Ct. 223, 78 L.Ed. 381. The first consists of the willful default of one who has been summoned as a witness. This offense, obviously, may be committed by willfully refraining, without adequate excuse, from appearing in response to a lawful summons and it may also be committed by appearing and then willfully terminating attendance before being excused. Townsend v. United States, 68 App.D.C. 223, 95 F.2d 352, certiorari denied 303 U.S. 664, 58 S.Ct. 830, 82 L.Ed. 1121. Perhaps whatever is the equivalent of an unexcused withdrawal may, if done willfully, be a termination of attendance and a violation of this part of the statute. As willfulness was not charged in the indictment, the trial judge correctly held that the appellant was not on trial for a - default in appearance or in attendance. It is argued, however, that, if guilty at all, he is. guilty of a willful default and that it was error to hold that he was properly indicted for a violation of the second branch of the statute. The second branch makes
The indictment being sufficient and properly based upon the second branch of the statute, the next issue is whether there was enough evidence to support the verdict. In this connection it is to be noted, and the appellant rightly concedes, that at least as regards the second branch of the statute whether or not his appearance before the sub-committee was in response to a lawful subpoena lawfully served is immaterial. The language of the Supreme Court is even broader: '“Section 102 [of the Revised Statutes, now 2 U.S.C.A. sec. 192] plainly extends to a case where a person voluntarily appears as a witness without being summoned as well as to the case of one required to attend.” Sinclair v. United States, 279 U.S. 263, 291, 49 S.Ct. 268, 271, 73 L.Ed. 692.
“The Chairman: Mr. Josephson, will you stand and be sworn? Mr. Josephson: I will not be sworn.
“Mr. Stripling: Will you stand? Mr. Josephson: I will stand.
(Mr. Josephson stands.)
“Mr. Stripling: Do you refuse to be sworn? Mr. Josephson: I refuse to be sworn.
“Mr. Stripling: You refuse to give testimony before this sub-committee? Mm Josephson: Until I have had an opportunity to determine through the courts the legality of this committee.
“The Chairman: You refuse to be sworn, and you refuse to give testimony before this committee at this hearing today? Mr. Josephson: Yes.”
The appellant was then excused subject to call either by the sub-committee or the full committee.
The appearance and the refusal of the appellant' to testify before the sub-committee thus being shown, the jury had evidence from which it could find, as its verdict shows it did, that the appellant refused to answer any question pertinent to. the question under inquiry before the subcommittee. It is obvious that the unqualified refusal then and there to testify was tantamount to a refusal to answer any questions at all relating to the matter being investigated. After what had transpired, as shown above, the propounding of one or more specific questions would have been both futile and time-wasting and appellant’s renewed or repeated refusal to answer them would have added nothing. He had made it crystal clear that
The appellant makes some contention to the effect that there was a question of fact as to whether he “had refused to give any testimony at all, irrespective of being sworn, or had merely refused to give sworn testimony, never having been intelligibly invited to give unsworn testimony,” and that this “question” was never properly submitted to the jury. Section 192, his argument runs, does not make it a crime to refuse to be sworn, and this committee in fact, as he states he can show if permitted to do so, has taken unsworn testimony. The evidence which we have in part recited above plainly shows, however, that the appellant refused both to be sworn and, as a separate and distinct matter, to give any testimony “until I have had an opportunity to determine through the courts the legality of this committee.” Consequently this so-called issue of fact is illusory at best and we need not decide whether a refusal to be sworn would alone have violated the statute.
The appellant further claims that he was prejudiced by the trial judge’s refusal to instruct the jury “that no evidence has been adduced to show that any matter was under inquiry before the sub-com.mittee on March 5, 1947.” This refusal was without error. The trial court properly took judicial notice of the Legislative Reorganization Act of 1946, 60 Stat. 812, 828, setting forth the duties and powers of the Committee on Un-American Activities. A copy of House Resolution 5, January 3, 1947, incorporating that Act into the rules of the House of Representatives of the Eightieth Congress, was admitted in evidence without objection. This was sufficient evidence that some matter was under inquiry before the sub-committee and that is enough to meet this broad objection.
All prior questions having been decided against the appellant, we have next to determine what issues as to the constitutionality of the authorizing statute and resolution he can raise, and then to pass upon those. The appellant’s arguments are several and will be considered in turn.
He first claims that, since Section 192 does not in and of itself provide an explicit guide to conduct, i. e., set forth what questions are pertinent to the matter under inquiry, but requires reference to the authorizing act, the latter is for purposes of this case a penal statute. Cf. M. Kraus & Bros., Inc. v. United States, 327 U.S. 614, 621, 622, 66 S.Ct. 705, 90 L.Ed. 894. He then argues that, if this be true, the statute is so vague and indefinite as to be unconstitutional, relying upon Lanzetta v. New Jersey, 306 U.S. 451, 453, 59 S.Ct. 618, 83 L.Ed. 888; Herndon v. Lowry, 301 U.S. 242, 261, 57 S.Ct. 732, 81 L.Ed. 1066; and other similar cases. But this point is not available to the appellant. By refusing to testify at all he refused to answer any questions that were pertinent as well as those that were not and thus he was not put to the decision he argues could not have been made, viz., whether or not any particular question was pertinent. We may, therefore, put aside his contention that the language of the authorizing statute is so vague that a witness before the committee has no criteria to indicate in doubtful cases-what questions asked would have the requisite pertinence.
It is next seriously argued that any investigation made by the committee as now authorized would necessarily have as its subject the “private affairs of private citizens” and it is pointed out that in the only case
The appellant contends, however, that this committee’s investigations are made not for any legislative or remedial, purposes, but only in order to “expose the1 political beliefs and affiliations of individuals and groups.” We are told that these inquiries are “an imposition upon the individual or group investigated” and that “notoriety is an effective method of silencing and discrediting a political opponent.” In contrast to this, however, may be compared the recently published Report of the President’s Committee on Civil Rights {Government Printing Office 1947) where it is stated that “The principle of disclosure is, we believe, the appropriate way to deal with those who would subvert our democracy by revolution or by encouraging disunity and destroying the civil rights of some groups (P. 52).” It is pointed out that “In the political realm, the Federal Communications Commission, the Post Office Department, the Qerk of the House of Representatives, and the Secretary of the Senate — all of' these under various statutes —are required to collect information about those who attempt to influence public opinion (Pp. 52-53).”
It is, of course, well settled that Congress may make investigations in aid of legislation. E.g., McGrain v. Daugherty, 273 U.S. 135, 174, 47 S.Ct. 319, 71 L.Ed. 580, 50 A.L.R. 1; United States v. Norris, 300 U.S. 564, 573, 57 S.Ct. 535, 81 L.Ed. 808. And it is immaterial that in the past this particular committee has proposed but little legislation. Townsend v. United States, supra, 68 App.D.C. at page 226,
Despite all this it is argued in behalf of this appellant that the First Amendment forbids the gathering of information by a duly authorized Congressional committee or its sub-committee regarding propaganda activities. If this be true, the Constitution itself provides immunity from discovery and lawful restraint for those who would destroy it. The theory seems to be jj' that the investigation of Un-American or [subversive propaganda impairs in some way ¡¡not entirely clear the freedom of expression ¿guaranteed by the Bill of Rights.
It may be doubtful whether this appellant can raise the issue without more to show that the free exercise of his rights has been impaired in some way. And the statute not purporting to license the dissemination of ideas, the case seems unlike Thornhill’s, 310 U.S. 88, 60 S.Ct. 736, 84 L.Ed. 1093, and it perhaps would not be difficult for us to rest our decision on the ground that the appellant has no standing to challenge the statute on its face. We shall resolve this doubt in favor of the appellant, however, in order to give him the full benefit of being able to contest this exceedingly important point.
The argument of the appellant and the amici is in substance that the Committee’s power to investigate is limited by Congress’ power to legislate; Congress is prohibited from legislating upon matters of thought, speech, or opinion; ergo, a statute empowering a Congressional committee to investigate such matters is unconstitutional. The mere statement of this syllogism is sufficient to refute it. Congress obviously can use information gathered by this Committee to pass legislation not encroaching upon civil liberties, as above noted. The appellant’s argument necessarily, therefore, is
The appellant’s argument runs counter to the very purpose of the First Amendment. The power of Congress to gather facts of the most intense public concern, such as these, is not diminished by the unchallenged right of individuals to speak their minds within lawful limits. When speech, or propaganda, or whatever it may at the moment be called, clearly presents an immediate danger to national security, the protection of the First Amendment ceases. Congress can then legislate. In deciding what to do, however, it may necessarily be confronted with the difficult and complex task of determining how far it can go before it transgresses the boundaries established by the Constitution. What has elsewhere been said is equally applicable here: “The power of Congress to exercise control' over a real estate pool is not a matter for abstract speculation but one to be determined only after an exhaustive examination of the problem. Relationships, and not their probabilities, determine the extent of Congressional power. Constitutionality depends upon such disclosures. Their presence, whether determinative of legislative or judicial power, cannot be • relegated to guesswork.” Landis, supra at page 217. Needless to say, this statement is all the more apt where the subject about which Congress is contemplating legislation is not abuse of power by a particular monopoly but at least partially concerns the delicate matter of free speech.
And it may be added, it is not for the courts to assume in advance that Con
Thus the only real basis for the appellant’s contention seems to be that in some way the First Amendment in protecting freedom of speech guaranties such privacy in speaking as the particular speaker may desire, and that this privacy is violated by whatever disclosure occurs incidental to an investigation for legislative purposes. This is a fallacy essentially based upon the idea that the Constitution protects timidity. Perhaps there are those who would indulge in any sort of -propaganda activities covertly but not if they thought that what they did would become publicly known, and perhaps as regards them fear of disclosure is a deterrent which bolder persons would not heed. But this fear is not created by any legal restriction upon their right to conduct propaganda activities by means of speaking freely if they care to do so. They must, of course, take their chances, just as does any one else, that they keep within the bounds of lawful peaceful persuasion and refrain from activities looking toward the destruction of the Government by force. But short of that there is no restraint resulting from the gathering of information by Congress in aid of its power and duty to legislate which does not flow wholly from the fact that the speaker is unwilling to advocate openly what he would like to urge under cover. Until there is a valid law to the contrary, he may with impunity say what he pleases so far as legal process is concerned and, that is the extent of the freedom of speech guaranteed any one by the Constitution.
This leaves us with the final contention advanced in behalf of the appellant, that the statute in question has been so discriminately administered that it is unconstitutional, citing Yick Wo v. Hopkins, 118 U.S. 356, 373, 374, 6 S.Ct. 1064, 30 L.Ed. 220. The appellant is, of course, correct in arguing that, although Yick Wo v. Hopkins, supra, and similar cases are primarily concerned with the “equal protection of the laws” clause under the Fourteenth Amendment, the discriminations prohibited by that clause also violate tho Fifth Amendment, where they amount to a denial of due process-. See Hirabayashi v. United States, 320 U.S. 81, 100, 63 S.Ct. 1375, 87 L.Ed. 1774. The alleged discrimination here, apparently, is that while some matters have been thoroughly and diligently investigated others have not, and in support of these allegations we are cited to various acts of the committee of its predecessors and their' members, many of which do not relate to this alleged “discrimination” but which, to the extent that they have occurred, cannot be and have not been condoned. See, e. g., United States v. Lovett, 328 U.S. 303, 308-313, 66 S.Ct. 1073, 90 L.Ed. 1252; Ex parte Frankfeld, D.C.D.C., 32 F.Supp. 915. But we think the discrimination argument beside the point. Certainly, if the question were one of Congress’ legislating, it could validly legislate regarding one type of propaganda and not another, at least if there were a clear and present danger from the former and not the latter. Or even if there were such a danger from both, it might well he held that Congress could legislate as regards one and not the other, on the well established principle that the legislature need not strike at the whole of an evil, but only at a part. Lindsley v. Natural Carbonic Gas Co., 220 U.S. 61, 78, 79, 31 S.Ct. 337, 55 L.Ed. 369, Ann.Cas.l912C, 160; Keokee Coke Co. v. Taylor, 234 U.S. 224, 227, 34 S.Ct. 856, 58 L.Ed. 1288; Minnesota ex rel. Pearson v. Probate Court of Ramsey County, 309 U.S. 270, 274, 275, 60 S.Ct. 523, 84 L.Ed. 744, 126 A.L.R. 530; Queenside Hills Realty Co. v. Saxl, 328 U.S. 80, 94, 66 S.Ct. 850, 90 L.Ed. 1096. Clearly the Congressional power to investigate is as flexible as its power to legislate, once the latter power
Judgment affirmed.
CLARK, Circuit Judge, dissents with separate opinion.
The part of the indictment that charged the appellant with having been “summoned as a witness” and appearing “pursuant to subpoena” may be regarded as surplusage. Thus the trial court did not err in failing to submit the question of service to the jury.
But see Mr. Justice Holmes’ oft-quoted statement in Nash v. United States, 229 U.S. 373, 377, 33 S.Ct. 780, 781, 57 L.Ed. 1232, that: “ * * * the law is full- of instances where a man’s fate depends on his estimating rightly, that is, as a jury subsequently estimates it, some matter of degree. If his judgment is wrong, not only may he incur a fine or a short imprisonment, as here; he may incur the penalty of death.” See also Holmes, J., in United States v. Wurzbach, 280 U.S. 396, 399, 50 S.Ct. 167, 74 L.Ed. 508.
Kilbourn v. Thompson, 103 U.S. 168, 26 L.Ed. 377; see also Sinclair v. United States, supra, 279 U.S. 263 at pages 292-294, 49 S.Ct. 268, 73 L.Ed. 692.
See Landis, Constitutional Limitations on the Congressional Power of Investigation, 40 Harv.L.Rev. 153, 219: “Kilbourn v. Thompson also resurrects the argument made by John Quincy Adams in 1834 that the non-official conduct of a citizen is immune from Congressional scrutiny. Some quality akin to the ‘right of privacy’ seems to attach itself as a penumbra to this conduct, sheltering it from the probing inquiries of Congressional committees. Established privileges . of immunity, of' course, exist before such committees as well as before courts of law. But the mere fact that by a subpoena duces tecum a court is subjecting to the public gaze the private affairs or private business of a citizen has never been suggested as a bar to the court’s process.”
It is to be noted that the Subversive Activities Statute, 54 Stat. 670, 18 U.S. C.A. §§ 9-13, makes it a crime, among other things, “to knowingly or willfully advocate * * * overthrowing or destroying any government in the United States by force or violence, or by the assassination of any officer of any such government; * * The constitutionality of this statute has been upheld in Dunne v. United States, 8 Cir., 138 F.2d 137, certiorari denied, 320 U.S. 790, 64 S.Ct. 205, 88 L.Ed. 476, rehearing denied, 320 U.S. 814, 64 S.Ct. 260, 88 L.Ed. 492.
E.g., No. II (John Jay): “Among the many objects to which a wise and free people find it necessary to direct their attention, that of providing for their safety seems to be the first. * * * ”
The Report further says: “The ultimate responsibility for countering totalitarians of all kinds, rests, as always, with the mass of good democratic Americans, their organizations and their leaders. The federal government must set an example of careful adherence to the highest standards in guaranteeing freedom of opinion and expression to its employees. Beyond that it ought to provide a source of reference where private citizens and groups may find accurate information about the activities, sponsorship, and background of those who are active in the market place of public opinion (P. 53).”
But cf. Lewis Publishing Co. v. Morgan, 229 U.S. 288, 33 S.Ct. 867, 57 L.Ed. 1190 (upholding 37 Stat. 553, 554, 39 U.S.C.A. § 233, which required that applicants for second-class mailing privileges file sworn statements setting forth the names and addresses of their editors, publishers, stockholders, etc.).
And indeed has legislated. E.g., the Espionage Act of 1917, 40 Stat. 217, 50 U.S.C.A. §§ 31-42. The constitutionality of this act was upheld in Frohwerk v. United States, 249 U.S. 204, 39 S.Ct. 249, 63 L.Ed. 561; Debs v. United States, 249 U.S. 211, 39 S.Ct. 252, 63 L.Ed. 566; Schenck v. United States, 249 U.S. 47, 39 S.Ct. 247, 63 L.Ed. 470; Pierce v. United States, 252 U.S. 239, 40 S.Ct. 205, 64 L.Ed. 542; Heynacher v. United States, 8 Cir., 257 E. 61, certiorari denied 250 U.S. 674, 40 S.Ct. 54, 63 L.Ed. 1201; Dodge v. United States, 2 Cir., 258 E. 300. 7 A.L.R. 1510, certiorari denied 250 U.S. 660, 40 S.Ct. 10, 63 L.Ed. 1194; Equi v. United States, 9 Cir., 261 F. 53, certiorari denied 251 U.S. 560, 40 S.Ct. 219, 64 L.Ed. 414. See also the Subversive Activities Act, 54 Stat. 670, 18 U.S.C.A. §§ 9-13, upheld in Dunne v. United States, 8 Cir., 138 F.2d 137, certiorari denied 320 U.S. 790, 64 S.Ct. 205, 88 L.Ed. 476, rehearing denied 320 U.S. 814, 64 S.Ct. 260, 88 L.Ed. 492.
See also Dunne v. United States, supra, 138 F.2d at pages 143, 144.
Except to the extent that they or their members may violate 54 Stat. 670, 18 U.S.C.A. §§-9-13.
Dissenting Opinion
(dissenting).
I find it neither easy nor pleasant to disagree on this issue, one of the more momentous which has come before us. Despite hoary precedents, public satisfaction with judicial review of legislative acts has not been such as to invite judges to embark thereon hastily or willingly. Even in'the field of civil rights, where we are admonished that the ordinary presumption in favor of constitutionality is either faint or nonexisting,
As I have indicated, the precedents requiring judicial scrutiny of this legislative activity are beyond question; and conflict of view may arise only as to the proper outcome of the scrutiny in a particular case. The leading case is Kilbourn v. Thompson, 103 U.S. 168, 190, 26 L.Ed. 377, where the Court held invalid an investigation of a judicial nature into the possible losses of the United States on the failure of Jay Cooke & Co. and upheld an action for false imprisonment brought by a recalcitrant witness against the Sergeant-at-Arms of the House of Representatives.
Later cases which have upheld investigations of official wrongdoing have quoted' and followed this statement. Thus, in Sinclair v. United States, 279 U.S. 263, 291, 292, 49 S.Ct. 268, 73 L.Ed. 692, the Court, in reiterating the principle stated in McGrain v. Daugherty, 273 U.S. 135, 173, 47 S.Ct. 319, 71 L.Ed. 580, 50 A.L.R. 1, that neither House of Congress was invested with general power to inquire into private affairs and compel disclosures, but only with limited power of inquiry to carry out
“It has always 'been recognized in this country, and it is well to remember, that few if any of the rights of the people guarded by fundamental law are of greater importance to their happiness and safety than the right to be exempt from all unauthorized, arbitrary or unreasonable inquiries and disclosures in respect of their personal and private affairs. In order to illustrate the purpose of the courts well to uphold the right of privacy, we quote from some of their decisions.” [279 U.S. 263, 292, 49 S.Ct. 271.] And the Court then proceeded to quote from Kilbourn v. Thompson, supra, 103 U.S. 168, 26 L.Ed. 377; Re Pacific Ry. Commission, C.C.N.D.Cal., 32 F. 241, from the opinion of Mr. Justice Field at page 250; and Interstate Commerce Commission v. Brimson, 154 U. S. 447, 14 S.Ct. 1125, 38 L.Ed. 49. See also In re Chapman, 166 U.S. 661, 17 S.Ct. 677, 41 L.Ed. 1154; Jurney v. MacCracken, 294 U.S. 125, 55 S.Ct. 375, 79 L.Ed. 802; and particularly Marshall v. Gordon, 243 U.S. 521, 37 S.Ct. 448, 61 L.Ed. 881, L.R.A.1917 F 279, Ann.Cas.l918B, 371, reversing United States ex rel. Marshall v. Gordon, D.C.S.D.N.Y., 235 F. 422, where the Court held invalid a legislative sentence of imprisonment for contempt for the writing of a defamatory letter to a subcommittee of the House. So, too, the power and the duty of the courts to scrutinize congressional investigations, lest they transcend constitutional limitations, has been constantly assumed and reiterated by text writers.
Hence the somewhat general popular assumption that the congressional power of investigation has no apparent limits is quite contrary to settled precedents. Indeed, the United States Attorney, with becoming frankness, concedes as much. We must turn therefore to the authorizing resolution and statute under which this Committee acted. It is desirable at the outset, however, to define our present problem and show its necessary limits. In a discriminating review, Constitutional Limitations on the Un-American Activities Committee, 47 Col.L.Rev. 416, 426, 429, it is said that “there are three possible constitutional objections which may be raised against the validity of an inquiry like that undertaken by the Committee on Un-American Activities: (1) Congress cannot undertake a completely unlimited inquisition in the area protected by the First Amendment. (2) The purpose of the Committee to accomplish by publicity what cannot validly be done by legislation renders the whole investigation unlawful. (3) A standard of guilt sufficiently definite to allow enforcement of the Committee’s demands by penal sanctions is not established.” It is clear that the writer finds the third the most serious of all. Thus, after stating the standards for the wording of a penal statute, ' he Continues: “Logically, a similar rule should apply to enactments authorizing congressional investigations which are to be aided by a broadly worded criminal statute. It is doubtful whether the measures authorizing the Committee meet any of these standards. Viewed in this light, there are serious constitutional objections to a conviction under section 192 of any witness who refuses to answer a question put to him by the Committee.”
Now the problem before us, and the only
Now the statute itself is general, making no attempt to define pertinent inquiries of Congress. Obviously it must be filled out by the form and expression of authorization in a particular case. We turn therefore to the key words of the resolutions creating.and continuing the original Committee and the statute passed last year which is the present authority for the Committee’s actions. These are all in the same wording, making the adjective "un-American,” without further definition, the foundation stone of all the activities. Pub.L. No. 601, 79th Cong., 2d Sess., Aug. 2, 1946 § 121(b) (1) (q), 60 Stat. 828.
The Sinclair case indicates that the actual construction of the authorizing resolution by a committee may have some bearing on its interpretation. But the experience of this Committee’s activities now for nearly a decade is instructive in the contrary direction, that is, as showing that there are no bounds to its asserted and exerted powers. A review of these activities need not be undertaken here, since it has been done thoroughly elsewhere
If, on the other hand, we look to contemporary thought in the matter we find a like vagueness in the adjective. Perhaps the nearest to concreteness is in the emphasis made by certain leading industrial organizations and others upon what they like to call the “American way” or the “American theory of free enterprise.” It is not a strained interpretation to consider that the converse trend, strongly resisted by many of our citizens (as, of course, was their undoubted right), which led to increased governmental regulation a decade ago, could be included in the intended content of the investigation. As a matter of fact, the testimony at the recent movie investigation found the necessary unAmerican qualities for which the Committee was searching in films which placed bankers in an unfavorable light or talked “against the free enterprise system.”
Further subdivisions of Public Law 601 introduce the concepts of subversive propaganda attacking the principle of our form of government, viz., “(ii) the diffusion within the United States of subversive and un-American propaganda that is instigated from foreign countries or of a domestic origin and attacks the principle of the form of government as guaranteed by our Constitution.” The word “subversive” here conveys no additional meaning, since that is a term completely undefined in this Act or elsewhere in our Criminal Code.
Since this is a penal statute we are called upon to enforce, standards so vague and doubtful should be adjudged insufficient under the settled requirements that prohibited conduct must for criminal purposes be set forth with clarity, so that the person to whom it applies may determine what conduct is legal and what is not. This has been often applied in the ordinary criminal law, as in United States v. L. Cohen Grocery Co., 255 U.S. 81, 89, 41 S.Ct. 298, 85 L.Ed. 516, 14 A.L.R. 1045, and more recently in M. Kraus & Bros. v. United States, 327 U.S. 614, 621, 66 S.Ct. 705, 90 L.Ed. 894, holding too indefinite a Maximum Price Regulation of the Price Administrator under which criminal prosecutions had been undertaken. “No one may be required at peril of life, liberty or property to speculate as to the meaning of penal statutes.” Lanzetta v. New Jersey, 306 U.S. 451, 453, 59 S.Ct. 618, 619, 83 L.Ed. 888.
But we may pass beyond this defect to face the major issue whether or not an authorization so broad is compatible with the First Amendment. I think we can say without reservation of any kind that, had legislation been actually formulated in the exact terms of the authorization quoted, its unconstitutionality would have been conceded. As has been- often pointed out, that Amendment, in securing freedom of speech against any abridgment by the Congress, does not authorize a partial lessening of the freedom or anything less than complete protection. True, in the well-known formula devised by Mr. Justice Holmes in Schenck v. United States, 249 U.S. 47, 52, 39 S.Ct. 247, 249, 63 L.Ed. 470, the Congress has a right to protect the safety of the state when that is endangered; and hence when words “are used in such, circumstances and are of such a nature as to create a clear and present danger that they will bring about the substantive evils” against which Congress may legislate, they may be prohibited or penalized. As lately defined in Bridges v. California, 314 U.S. 252, 263, 62 S.Ct. 190, 194, 86 L.Ed. 192, 159 A.L.R. 1346, this means “that the substantive evil must be extremely serious and the degree of imminence extremely high before utterances can be punished. * * * For the First Amendment does not speak equivocally. It prohibits any law ‘abridging the freedom of speech, or of the press.’ It must be taken as a command of the broadest scope that explicit language, read in the context of a liberty-loving society, will al-, low.” Now, when this country is at peace, it is hard to discern such circumstances of “clear and present danger.” Indeed, the teaching of experience, after nearly three decades of a well-nigh pathological fear of “Communism,” under constant investigation by Congress, Ogden, The Dies Committee, 2d Rev.Ed. 1945,14-37, might suggest that there was more to be feared from the fear itself than from the supposed danger. During that period we have had two major threats to our economy, but they have come from different sources. One (domestic) was the economic crisis of the thirties; the other (foreign) was the attack by Japan and Germany. Each compelled for its meeting the adoption of measures seemingly “un-American” in the present context. Moreover, the inhibiting influence of the fear on governmental action upon both the domestic and the international fronts is quite obvious.
It is, of course, true that Congress, not the courts, has the responsibility of determining the need and extent of legislation
It is contended, however, that the scope of the investigation is not to be defined in the same manner as the resulting legislation. But it is hard to see how the scope of the investigation can be broadened beyond the point of any possible valid legislation. An argument much stressed is that, since there is an area of legal activity for the Committee within the constitutional limitations, therefore the investigation as a whole is to be supported, and only illegal activities rejected. Passing the practical impossibility of then isolating anything as beyond the permitted investigatory scope, such a view is logically indefensible in the light of constitutional principles. Of course it is only the going beyond the constitutional limitation which ever renders legislative acts improper. True, one can say that the question is, as so generally, one of degree. But the excess is. the important question here. The fact that a bucket of water may be life-giving to a man dying of thirst does not render foolish the attempt to curb the excesses of a raging torrent. Under this argument Congress might properly pillory a person for refusing to advocate the nationalization of private property generally because it has power to regulate private property, provided it does so with due process of law, or take it upon the award of just compensation. A doctrine that the lesser legislative power always justifies the exercise of the greater investigative power, including control over opinion, will lead to strange analogies indeed!
Moreover, we must face the practical consequence' of such a theory. Clearly it makes the power to investigate limitless. Since there is always an area of permissible activity to the legislature, for, indeed, its function is to legislate at large for the public good, the dram of good must always sanctify the dubious remainder. With such a thesis the power of suggesting constitutional amendments of unlimited scope could also be utilized to justify any sort of investigation — a thesis interestingly enough expressly rejected by an Australian chief justice. Colonial Sugar Refining Co. v. Attorney-General, 15 C.L.R. 182, 194, 195. And his decision was carried further on appeal, in Attorney-General v. Colonial Sugar Refining Co., [1914] A.C. 237, 252, 257, to the conclusion that, by reason of the excess of power, the entire grant to the legislative commission was invalid.
A corollary of this argument, one much pressed, is that only specific questions can be objected to by a witness before the Committee and that in cases such as the present, where the witness has not been sworn, he has no redress. But this, it is believed, is to confuse the issue before us here. We need to keep in mind the character of objections available at the examination proper. They will include personal privileges, such as that against self-crimination, in whatever attenuated form they still exist in legislative investigations,
Moreover, emphasis on this point of procedure belittles, as well as nullifies, the constitutional objection. Under our scheme of legal values constitutional issues must always be raised, if at all, by some persons affected thereby. They cannot be considered and determined in vacuo. Nevertheless where those issues are of vast importance they should be considered in the light of their broad significance, and not wholly in the narrow concept of the single individual who presents them as a kind of vicarious avenger for the public weal. When we concentrate our gaze solely upon the refusal to testify as to party affiliations, it is hard for us to feel very sympathetic with the refuser. The general feeling that one should stand up and show his true colors, particularly when, as here, the inquiry is given a strong patriotic tinge, has led naturally to the public confusion which mingles strong condemnation of Committee procedures with some belief in its assumed objective. This quite normal reaction that a Communist, as well as any one else, should say what he is when the fact is of importance to the public good could be allowed its natural scope if, first, however, the investigating authority is properly limited to constitutional objectives. Indeed, given a search directed against propaganda for the overthrow of the government by force or violence, it would seem perfectly fitting as a matter of detailed examination — to test a witness’ denial of illegal activities— to inquire whether or not the person investigated was a member of any organization that advocated such principles.
The right of congressional investigation has been so important, so productive of good in so many instances in our history, that no one would wish to hamper it improperly. And it is true, as many urge, that the force of public opinion and the expression of the electorate at the polls must remain its main source of control. But in the narrow, though important, field of constitutional liberties, more control is' desirable. For the extreme power thus wielded candes the seeds of its own ruin if it is not constitutionally exercised. Indeed the mixed and confused public reaction to the activities of this Committee signifies as much. Any investigation involving the freedom of expression of views or beliefs is sure to be disturbing to our historical conceptions of democracy unless it is conducted to such ends and in such manner as to command the support of public opinion. Yet the Committee has been under constant and searching criticism from even the most conservative elements in our society, who can in no sense be guilty of “red” tendencies ; while even those who support its objectives do so in general with more than an apology for its methods. Such a situation, even if legally invulnerable, is a potent source of weakness, preventive of any long-range accomplishment. Friends and supporters of the congressional power may well fear its present exercise here and find the application of a proper restraint a source of strength in the long run, rather than the reverse.' For a widespread belief that the Committee is acting in an unAmerican way to even an American end will destroy the Committee’s usefulness in the eyes of “a’ liberty-loving people.”
I would reverse for dismissal of the indictment.
Schneider v. State of New Jersey, 308 U.S. 147, 60 S.Ct. 146, 84 L.Ed. 155; United States v. Carolene Products Co., 304 U.S. 144, 152, n. 4, 58 S.Ct. 778, 82 L.Ed. 1234; Thomas v. Collins, 823 U.S. 516, 520, 530, 65 S.Ct. 315, 89 L.Ed. 430; Jackson, The Struggle for Judicial Supremacy, 1941, 285; 40 Col.L.Rev. 531; 51 Yale L.J. 798, 802.
Mr. Kilbourn eventually recovered a large verdict, which was ordered paid by Congress. Kilbourn v. Thompson, 11 D.C. 401, 416, 432, MacArth. & M. 401; Re Pacific Ry. Commission, C.C.N.D.Cal., 32 F. 241, 253; Pepper, Family Quarrels, 1931, 157; 23 Stat. 467.
McGeary, The Developments of Congressional Investigative Power, 1946, 106, 114; Hamilton, The Inquisitorial Power of Congress, 23 A.B.A.J. 511; Stebbins, Limitations of the Powers of Congressional Investigating Committees, 16 A.B.A.J. 425; Dimock, Congressional Investigating Committees, Johns Hopkins Univ. Studies in Historical and Political Science, Ser. 47, No. 1, 1929, 117, 149, 153-158; Eberling, Congressional Investigations, 1928, 383; Landis, Constitutional Limitations on the Congressional Power of Investigation, 40 Harv.L.Rev. 153, 226; 1 Wigmore on Evidence,-3d Ed. 1940, § 4k; 8 id. § 2195; 47 Col.L. Rev. 416, discussed infra.
The original resolution was H.Res. 282, 75th Cong., 3d Sess., 88 Cong.Rec. 7568, 7586, 1938. For the continuing resolutions, see 47 Col.L.Rev. 416, at 417, 418.
For detailed citations see 47 Col.L. Rev. 416 et s'eq.; Ogden, The Dies Committee, 2d Rev.Ed.1945, 38 et seq.; and see also United States v. Lovett, 328 U.S. 303, 308-313, 66 S.Ct. 1073, 90 L.Ed. 1252.
See note 5 supra.
While it was a special committee, no bills were referred to it; since it has been made a standing committee it has originated no legislation. The second statute, cited note 9 infra, was introduced by a Committee member and the Supreme Court has attributed to its work the provisions attached to appropriations denying federal employment to members of a political party or organization advocating the overthrow of the government. See United States v. Lovett, supra, 328 U.S. 303, 308, 66 S.Ct. 1073, 90 L.Ed. 1252; 47 Col.L.Rev. 416, at 427, n. 109.
See the daily papers, notably the N. Y. Times for Oct. 22-25, 1947.
The title clause of the “Alien Registration Act of 1940” begins, “An Act to prohibit certain subversive activities,” 54 Stat. 670; but it contains no further reference to the term. Nor does it appear at all in the later act of the same year for the registration of certain organizations carrying on political activities. 54 Stat. 1201-1204. The codifiers either thought it of little significance or were troubled by what to do with it; thus it appears, under the rubric “Same,” in the title clauses of all sections of both acts in 18 U.S.O.A. §§ 9-17, but in only two in 7 F.O.A., Tit. 18, viz. §§ 11, 12. For an attempt by another committee to formulate a definition of subversive activity, see United States v. Lovett, supra, 328 U.S. 303, 311, 66 S.Ct. 1073, 90 L.Ed. 1252.
The privilege against self-crimination, if claimed, is intended by 2 U.S.O. A. § 193; 28 U.S.O.A. § 634, not to excuse testifying, but only to prevent use of the testimony for later criminal prosecution. For the problems raised by these statutes and the easy waiver of the privilege, see United States v. De
In Schneiderman v. United States, 320 U.S. 118, 63 S.Ct. 1333, 87 L.Ed. 1796, the majority over vigorous dissent held the evidence insufficient to show that in 1927 the Communist party was advocating the overthrow of the government by force and violence. See also Bridges v. Wixon, 326 U.S. 135, 65 S.Ct. 1443, 89 L.Ed. 2103.
Discussion of procedural safeguards to persons investigated — not pertinent to our present issue — would include such matters as the justification of finding “guilt by association,” cf. De Jonge v. Oregon, 299 U.S. 353, 57 S.Ct. 255, 81 L.Ed. 278; Schneiderman v. United States, supra, 320 U.S. 118, 154, 63 S.
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