Johnson v. Dye
Opinion of the Court
Opinion of the Court. (Filed May 17, 1949.)
The Facts.
The petitioner, Leon Johnson, is in the custody of the Commonwealth of Pennsylvania and is presently confined in the Allegheny County Jail, of which the respondent, Charles L. Dye, is the Warden. Johnson was indicted in the Cobb County Superior Court of the State of Georgia for the murder of one Sarah Frances Thompson on December 6, 1942. He was tried by a jury which found him guilty of murder with a recommendation of mercy on January 25, 1943. Under the law of Georgia, Georgia Code Annotated, 1935, Title 26, § 1005, the recommendation of the jury fixed the penalty at life imprisonment. The court thereupon sentenced Johnson to hard labor for life.
We must state at the outset that it is-difficult to dispose of the questions of law raised by the instant appeal on the record! now before us.
In the court below the petitioner supported the allegations of ground (1) by his own testimony and those of ground (2) by his own testimony and by that of other witnesses, all of whom, save one, were escaped convicts from Georgia who happened to be lodged in the Allegheny County jail. The remaining witness was a former officer in the Army of the United States who had spent a portion of his service in Georgia and who was then confined in the Allegheny County jail having previously escaped from detention in Pittsburgh following his arrest for an alleged felonious assault. The testimony of these witnesses as well as that of the petitioner established that it was the custom of the Georgia authorities to treat chain gang prisoners with persistent and deliberate brutality at or about the time the petitioner was suffering punishment and for some years thereafter, certainly as late as May in the year 1946. There was also evidence which showed that Negro prisoners were treated with a greater degree of brutality than white prisoners though it is difficult to make fine distinctions as to degrees of brutality. A copy of the magazine “Life”, issue of November 1, 1943, in particular an article entitled “Georgia Prisons,” with a subtitle “State Abolishes Old Abuses,” pp. 93-99, and a copy of the magazine “Time”, issue of September 13, 1943, in particular an article entitled “Prisons” with the subtitle “Georgia’s Middle Ages,” pp. 23-24, were introduced in evidence. Certain other newspaper articles were introduced also but these with one exception, “PM’s Picture News, Magazine Section,” November 2, 1947, which reports in full the Report of the President’s Committee on Civil Rights, are not in the record.
The Law.
A.s to the Alleged Coercion and Intimidation of a Witness or Witnesses.
The court below in its opinion reviewed the proceedings for habeas corpus had on behalf of the petitioner in the Pennsylvania State Courts and, with a reference to the limited jurisdiction conferred upon the justices and judges of the United States to enlarge a prisoner by writ of habeas corpus under Sections 451, 452 and 453 of Title 28 U.S.C.A. (now superseded by Sections 2241, 2242 of Revised Title 28 U.S.C.A.), and to the cases of Mooney v. Holohan, 294 U.S. 103, 55 S.Ct. 340, 79 L.Ed. 791, 98 A.L.R. 406; Pyle v. Kansas, 317 U.S. 213, 63 S.Ct. 177, 87 L.Ed. 214; and Hawk v. Olson, 326 U.S. 271, 66 S.Ct. 116, 90 L.Ed. 61, concluded that if the facts as alleged in the petition were shown to be true, Johnson “would be entitled to the remedy set forth in Mooney v. Holohan” [71 F.Supp. 262, 265]. The learned trial judge stated, however, “There is no evidence in his case that witnesses, who testified at his trial in the State Court in Georgia, were compelled to do so-; there is no evidence that they gave perjured testimony, nor is there any evidence
As to the Application of the Eighth Amendment of the Constitution of the United States by Implementation Under the Fourteenth ■ Amendment.
As to the second ground raised by Johnson the court .below stated, “There is evidence that Johnson received cruel treatment after he had been convicted of murder and while he was serving his sentence therefor. However, such treatment would not entitle him to his liberty as it does not constitute a custody of relator in violation of the Constitution or laws of the United States. 28 U.S.C.A. § 453. The 8th Amendment is not a limitation upon the States. Collins v. Johnston, 237 U.S. 502, 503, 510, 511, 35 S.Ct. 649, 59 L.Ed. 1071.” We deem the first sentence quoted in this paragraph to constitute a finding by the court below that Johnson had been subjected to cruel treatment following his conviction. It is obvious also that in using the phrase “cruel treatment” the court below was referring to the cruel and unusual punishment provision of the Eighth Amendment.
Without regard for minutiae of conclusion in the trial court’s opinion, we think it misinterpreted the ruling of the Supreme Court in Collins v. Johnston, supra. While it is true that the Eighth Amendment to the Constitution of the United States limits and was intended to limit federal action, it is the modern view, and, we feel, the correct one, that where the right protected and guaranteed under the Bill of Rights (Amendments I to VIII) of the United States Constitution is “basic” and “fundamental” to the rights of life and liberty, recognized and guaranteed by the Constitution of the United States, then the due process clause of the Fourteenth Amendment prohibits a state from abridging or denying the right in question.
In so holding, we are not unmindful of the fact that the Supreme Court of the United States has repeatedly declined to adopt the view that the Fourteenth Amendment was intended to make secure against state invasion all the rights, privileges and immunities protected from federal violation by the Bill of Rights. Chambers v. Florida, 309 U.S. 227, 235-236, note 8, 60 S.Ct. 472, 84 L.Ed. 716; see also e. g., Twining v. New Jersey, 211 U.S. 78, 98-99, 114, 29 S.Ct. 14, 53 L.Ed. 97, Mr. Justice Harlan dissenting; Maxwell v. Dow, 176 U.S. 581, dissent 605, 606, 20 S.Ct. 448, 44 L.Ed. 597; Palko v. Connecticut, 302 U.S. 319, 323, 325, 326, 58 S.Ct. 149, 82 L.Ed. 288; Hague v. C.I.O., 307 U.S. 496, 59 S.Ct. 954, 83 L.Ed. 1423.
But in numerous cases the Supreme Court has held that where the right invaded by the state is a “basic” and “fundamental” one, the due process clause of the Fourteenth Amendment include by implementation those guarantees of the Bill of Rights. E. g. freedom of speech, Saia v. New York, 334 U.S. 558, 560, 68 S.Ct. 1148, 92 L.Ed. 1574; freedom of religion, Cantwell v. Connecticut, 310 U.S. 296, 303, 60 S.Ct. 900, 84 L.Ed. 1213, 128 A.L.R. 1352; Marsh v. Alabama, 326 U.S. 501, 508-509, 66 S.Ct. 276, 90 L.Ed. 265; freedom of the press, Lovell v. Griffin, 303 U.S. 444, 58 S.Ct. 666, 82 L.Ed. 949; freedom of speech and assembly, Hague v. C.I.O., supra; the right to counsel in criminal prosecutions of those individuals, who, by reason of age, ignorance or mental capacity, are incapable of representing themselves adequately in a prosecution of a relatively simple nature, Wade v. Mayo, 334 U.S. 672, 684, 68 S.Ct. 1270, 92 L.Ed. 1647; and see also Powell v. Alabama, 287 U.S. 45, 53 S.Ct. 55, 77 L.Ed. 158, 84 A.L.R. 527; Betts v. Brady, 316 U.S. 455, 461, 62 S.Ct. 1252, 1256, 86 L.Ed. 1595;
We are not called on to decide, nor do we decide, whether the clauses of the Eighth Amendment relating to imposition of excessive bail, or excessive fines, fall within the ambit of the Fourteenth Amendment. But we entertain no doubt that the Fourteenth Amendment prohibits the infliction of cruel and unusual punishment by a state. State of La. ex rel. Francis v. Resweber, supra. Compare Weems v. United States, 217 U.S. 349, 30 S.Ct. 544, 54 L.Ed. 793, 19 Ann.Cas. 705; In re Kemmler, 136 U.S. 436, 447, 10 S.Ct. 930, 34 L.Ed. 519. We are of the opinion that the right to be free from cruel and unusual punishment at the hands of a State is as “basic” and “fundamental” a one as the right of freedom of speech or freedom of religion. And it should be pointed out that actions of the employees of the prison system of Georgia must be deemed to be those of the State of Georgia. The fact that a state officer acts illegally cannot relieve a state of responsibility for his acts. Screws v. United States, 325 U.S. 91, 65 S.Ct. 1031, 89 L.Ed. 1495, 162 A.L.R. 1330.
We come then to the question as to whether the actions of Georgia prison authorities described by Johnson and his witnesses constituted cruel and unusual punishment. It will be remembered that the court below found that there was “evidence that Johnson received cruel treatment after he had been convicted of murder and while he was serving his sentence * * The learned trial judge did not expressly state that he found this evidence to be credible though, as we have said, the statement made by the court below in its opinion and heretofore referred to constituted a finding that Johnson had been subjected to cruel and unusual punishment following his conviction.
Our conclusion that Johnson was subjected to cruel and unusual punishment is buttressed by the decision of the Supreme Court in In re Kemmler and Weems v. United States, supra. Weems, under Sec-' tion 56 of the Penal Code of the Philippine. Islands, Act of July 1, 1902, had been guilty and had been sentenced inter alia “to tne penalty of fifteen years of cadena together with the accessories of Section 56 of the [Philippine] Penal Code * * The cadena consisted of a chain at the ankle hanging from the wrists to be worn at all times. The “accessories” of Section 56 would have deprived Weems almost completely of personal and familial rights and subjected him to constant surveillance by the authorities. The Supreme Court of the United States, by Mr. Justice Mc-Kenna, decided that the punishment was a cruel and unusual one. Accordingly the judgment was reversed and the trial court was directed to dismiss the proceedings. Though the Supreme Court has not set down any precise standard as to what constitutes cruel and unusual punishment, Wilkerson v. Utah, 99 U.S. 130, 135-136, 25 L.Ed. 345, we conclude without hesitation that if Johnson was treated by the prison authorities of Georgia in the manner which he alleges,
The obligation of a State to treat its convicts with decency and humanity is an absolute one and a federal court will not overlook a breach of that duty. The Supreme Court so held in effect in the V/eems case though the punishment of the cadena had been imposed by a Territorial Court of the Philippines. The obligation not to inflict cruel and unusual punishment laid upon a State by the Constitution of the United States must be deemed to be positive and binding. In the Weems case cruel and unusual punishment reasonably was to be anticipated under the sentence. In the instant case, cruel and unusual punishment already has been inflicted on Johnson as the court below and we ourselves have found. History is as potent a force as anticipation. It follows, therefore, that Johnson must be set at liberty for the State of Georgia has failed signally in its duty as one of the sovereign States of the United States to treat a convict with decency and humanity. It must be pointed out also that she has failed also to observe the explicit mandates of her own Constitution
No Necessity to Exhaust State Remedies.
The doctrine of exhaustion of State remedies in habeas corpus cases does not apply to extradition. This court 'in United States ex rel. Darcy v. Superintendent of County Prisons, 3 Cir., 1940, 111 F.2d 409, 411, certiorari denied 311 U.S. 662, 61 S.Ct. 19, 85 L.Ed. 425, stated: “The right of the State of California to demand the rendition of the relator from the State of Pennsylvania is found in Article IV, Section 2, clause 2 of the Constitution of the United States. This clause is not self executing but is made effective by act of Congress [then Section 662 of Title 18 U.S.C.A., now Section 3182 of Title 18 U.S.C.A.]. The Supreme Court has construed this act as placing the burden upon the governor of the asylum state to determine, before complying with the demand,
In a per curiam opinion in the case of Powell v. Meyer, 3 Cir., 1945, 147 F.2d 606, 607, this court overruled its decision in United States ex rel. Darcy v. Superintendent of County Prisons sub silentio relying upon the decision of the Court of Appeals for the Fourth Circuit in San-derlin v. Smyth, 138 F.2d 729. The San-derlin case, however, was not in point for in that case the application for habeas corpus was made to release the petitioner from a sentence imposed by a state court and the usual rule of exhaustion of state remedies necessarily applied. As we have said, the rule of exhaustion of state remedies does not apply where habeas corpus is sought to avoid extradition. We adhere to the rule which we announced in United States ex rel. Darcy v. Superintendent of County Prisons and overrule our decision in Powell v. Meyer. It follows that Johnson had the right to maintain the proceeding in the District Court in the instant case and we entertain no doubt but that he is entitled to his liberty.
Accordingly the judgment of the court below will be reversed and the cause will be remanded with the direction to issue the writ and to discharge the petitioner.
No copy of the court’s order is included in the present record.
We make this statement because it appears from the brief of the appellee in the Superior Court of Pennsylvania on the appeal from the decision of the Court of Common Pleas that the Judge of the Court of Common Pleas said: “I have made up my mind about it. The man [Johnson] admitted he plead guilty to murder and the proceedings are regular from my viewpoint.” Johnson did state at the hearing before the Court of Common Pleas that he pleaded guilty to the Georgia indictment. The record of the proceedings before the Cobb County Superior Court of the State of Georgia demonstrates clearly, however, that Johnson’s statement was incorrect. The Court of Common Pleas of Allegheny County, however, did not receive the ree-ord of the proceedings in the Cobb County Court until after it had rendered its decision against Johnson in the habeas corpus proceeding.
An answer was filed by the United States by the United States District Attorney. The answer filed by the United States District Attorney states that, “The rule to show cause has not been served on the United States Attorney for this District * * * but the Clerk of Court seems to be of the opinion that an answer should be filed by the United States Attorney.”
We attempted to supplement the record brought to this court by the parties by our order of August 11, 1948, directing the Clerk -of the District Court to transmit all records of the court below in the instant case to this court.
Their absence is not adequately explained.
Emphasis added throughout,
The Court said: “The Sixth Amendment of the national Constitution applies only to trials in federal courts. The due process clause of the Fourteenth Amendment does not incorporate, as such, the specific guarantees found in the Sixth Amendment although a denial by a state of rights or privileges specifically embodied in that and others of the first eight amendments may, in certain cir-
The Court said: “In these and other situations immunities that are valid as against the federal government by force of the specific pledges of particular amendments have been found to be implicit in the concept of ordered liberty, and thus, through the Fourteenth Amendment, become valid as against the states.”
Mr. Justice Burton, dissenting, stated for himself, for Mr. Justice Douglas, Mr. Justice Murphy and Mr. Justice Hut-ledge: “We believe that if the facts are as alleged by the relator the proposed action is unconstitutional.” Mr. Justice Frankfurter concurred in the majority opinion but did not commit himself to a definition of -the reach of the Fourteenth Amendment.
At the reargument of this case before the court en bane one of Dye’s counsel, an Assistant District Attorney of Allegheny County, Pennsylvania, conceded that if Johnson had been subjected by the State of Georgia, following his conviction, to cruel and unusual punishment he was entitled to be discharged from custody and to go free. The Assistant District Attorney, however, did not concede that the court below had made a finding that Johnson had been subjected to cruel and unusual punishment.
We shall not set out in this opinion the revolting barbarities which Johnson and his witnesses state were habitually perpetrated as standard chain gang practice. To perpetrate these atrocities in an opinion is to be unfair to the American scene as a whole and to reflect little credit on this generation for posterity. It is enough to state that leg-irons and most frequent beatings were among the “minor” constant cruelties.
Article 1, § 1, par. 9, of the Bill of Rights of the Georgia Constitution of 1877, readopted without amendment in 1945, provides, “Bail; fines; punishments; arrest; abuse of prisoners. — Excessive bail shall not be required, nor excessive fines imposed, nor cruel and unusual punishment inflicted; nor shall any person be abused in being arrested, while under arrest, or in prison.”
Concurring in Part
(concurring in part, dissenting in part).
I agree with my brethren that, just as the Eighth Amendment forbids the infliction of cruel and unusual punishment by the federal government, the Fourteenth Amendment includes a similar prohibition against states. Regardless of his guilt or innocence of the murder charge lodged against him, Johnson never lost — and still has — the absolute right not to be subjected to cruel and unusual punishment wherever the Constitution of the United States is the supreme law.
Further, I agree that habeas corpus may be here utilized to vindicate Johnson’s constitutional right. It is not without reluctance that I reach this conclusion, however; for (1) I remain keenly aware that, because Georgia chooses to disregard the mandates of the Eighth Amendment and of its own constitution, this court turns loose a convicted murderer among the law-abiding citizens of Pennsylvania, a state which has expressly refused to harbor him; (2) also, I entertain considerable doubt whether an impenitent Georgia administration would be deeply grieved by a decision which permits Georgia to utilize the other 47 states as penal colonies for its “escaped” prisoners.
An initial difficulty with which the opinion of the majority confronts me, however, is that it .not only substitutes its own finding of fact for an inconclusive statement of -the court below, but also deems no conclusion possible other than that Johnson suffered cruel and unusual punishment prior to his flight from Georgia. True, several witnesses testified to “the known facts concerning the working of the Georgia penal system at the time of the petitioner’s sentence”; but, in the court below, only one witness professed to actual knowledge of how Johnson, and not chain-gang prisoners in general, was treated: Johnson himself. I think that Johnson may well have told substantial truth when he described his'chain-gang ordeals; and I think the district court had ample basis for making such á critical finding of fact; but I see no reason why this court should invade the province of the court below and insist that credibility be attached to Johnson’s testimony. It must be recalled that the burden of proof of his allegations lay with Johnson, whose testimony is to be viewed in the light that he has a vital interest in the outcome, and who has been disbelieved by other courts.
If I assume nevertheless that my brethren are correct in holding that Johnson did receive cruel and unusual punishment in Georgia, I believe that this alone should not be assigned as the reason for Johnson’s enlargement. The record before this court contains other factors which seem to me essential to consider and pertinent to our decision. The Johnson whose, fate ‘ we are determining is more than a convicted murderer in the eyes of Georgia officialdom'. He is a Negro who has broken imprisonment and who has made virulent accusations against the white officials and guards of the Georgia public works camp. In the absence of persuasive evidence of effective steps toward reform in Georgia, I think it would be ingenuous to expect those Georgia authorities to accord to Johnson’s constitutional rights greater respect than this court finds was conceded to Johnson during his Georgia imprisonment. This court is in a position, therefore, where it need not, and should not, declare that the drastic remedy here announced is one which will lie whenever there has been, in the past, an infliction of cruel and unusual punishment. I deem it sufficient that we invoke our power to release an individual who not only has suffered cruel and unusual punishment but also faces grave and imminent danger of like abuse and very possibly even death by extra-legal means, if he is returned to Georgia.
If, nevertheless, this court must choose between past and prospective violation of a .basic constitutional right as the ground for
As my foregoing comments indicate, I have grave doubts whether past infringement of Johnson’s constitutional right would of itself entitle him to release. Were the state of Georgia actually in loco peni-tentiae, it might well be expected that criminal and civil sanctions could and would be applied, by effective legal process in that state, against those responsible for the cruel and unusual punishment visited upon Johnson. Cf. In re Birdsong, D.C.S.D.Ga. 1889, 39 F. 599, 4 L.R.A. 628, and Howard v. Arizona, 1925, 28 Ariz. 433, 237 P. 203, 40 A.L.R. 1275. As far as I can see, however, it is not contended that crudities of the Georgia authorities were the equivalent of a pardon for the murder of which Johnson was convicted. For the purposes of the petition before us, the guilt or innocence of Johnson is not in issue. Also, it seems clear that the sentence of the Georgia county court, unlike that involved in Weems v. United States, supra, was not so erroneous as to entitle Johnson to discharge on habeas corpus. Consequently, still outstanding against him, and only incidentally affected by the treatment he has received, is a valid determination by properly-constituted authority that Johnson be imprisoned for life. Could this penalty be served, with observance of those constitutional rights which prisoners retain, cf. Coffin v. Reichard, 6 Cir., 1944, 143 F.2d 443, 445, 155 A.L.R. 143, I think it would be both unwise and improper for this court to restrain Pennsylvania from honoring a request by Georgia for his extradition.
My position may be readily illustrated by a hypothetical case. Let us assume that two individuals, X and Y, are indicted on a charge of murder, that the trial judge erroneously compels them to take the stand and answer incriminating questions, and that both X and Y are convicted. Shortly thereafter, X escapes to another state, while Y appeals and obtains a reversal of the conviction. Under the majority ruling as I interpret it, X is spared the possibilities of extradition and a new trial, since a fundamental constitutional right was denied him; while Y must face trial again. Is not this an incongruous result? If the fact be added, however, that it seems likely that X or Y will be required at a new trial again to testify against himself, I can see sound reasons for a court to intervene, on behalf of either X or Y, and forbid the step which makes it possible for the fresh constitutional violation to be consummated.
For the reasons stated, I believe the judgment of the court below should be vacated and the cause remanded for a determination whether Johnson has suffered cruel and unusual punishment and would be reasonably likely to undergo similar abuse if he were returned to Georgia, the disposition of his petition to be dependent upon those critical findings.
It should not be assumed too quickly that Georgia is zealous in guarding its prisoners and vigorously pressing for their extradition when they escape and flee into other states. As indications of the attitude of Georgia, I cite the following:
(a) The court below stated that about
(b) One of those who testified in the court below concerning the treatment ■given Georgia chain-gang prisoners was one Moreland, also a fugitive from Georgia justice. Judge Samuel A. Weiss, of the Court of Common Pleas of Allegheny County, Pennsylvania, in an- opinion granting Moreland’s petition for habeas corpus, recited this testimony of More-land : “ * * * that the Warden observed his [Moreland’s] departure and made no objections; that he proceeded to the town of Thomasville, Georgia, where he received medical attention in the local jail under supervision of the Chief of Police. He then was released and proceeded to Atlanta, Georgia, his bus fare having been paid by the Chief of Police.”
(e) As the majority opinion notes, Johnson’s other witnesses, except for one, were also escaped Georgia convicts who happened to be in the Allegheny County Jail.
(d) The State of Georgia failed to express its position as to Johnson’s petition, not only in the district court, but also at both hearings in this court, although in the order directing rehearing this court specifically invited the attorney general of Georgia “to appear amicus curiae and to file a brief herein if he so desires.”
At his murder trial in Georgia, Johnson limited his defense to his written statement alleging that the homicide was accidental; but the jury found him guilty of murder. As to Johnson’s testimony in his habeas corpus hearing in the Court of Common Pleas of Allegheny County, the Superior Court of Pennsylvania stated that the record “affirmatively shows him to be an untrustworthy witness.” 49 A.2d at page 197.
“ * * * if the proposed, punishment amounts to a violation of due process of law under the Constitution of the United States, then the State must find some means of disposing of this ease that will not violate that Constitution.” Mr. Justice Burton, 329 U.S. 459, at page 481, 67 S.Ct. 374, at page 385, 91 L.Ed. 422; emphasis supplied. Cf. opinion of Mr. Justice Keed, 329 U.S. at page 464, 67 S.Ct. 374, 91 L.Ed. 422, and last sentence of concurring opinion of Mr. Justice Frankfurter, 329 U.S. at pages 471-472, 67 S.Ct. 374, 91 L.Ed. 422.
Reference
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