Abbate v. United States
Opinion of the Court
delivered the- opinion of the Court.
During a strike against the Southern Bell Telephone and Telegraph Company, the petitioners and one McLeod were solicited in Chicago, Illinois, by a union official, Shelby, to dynamite facilities of the telephone company located in the States of Mississippi, Tennessee, and Louisiana. The four men met in Chicago where Shelby gave the petitioners and McLeod the plans of the facilities to
The petitioners, with Shelby and McLeod, were subsequently indicted by the State of Illinois for violating an Illinois statute making it a crime to conspire to injure or destroy the property of another.
Thereafter indictments^ were returned in the United States District Court for the Southern District of Mississippi against the petitioners and Shelby, and also against one Perry who pointed out to McLeod the property to be dynamited. This indictment does not refer to the facilities as belonging tq the telephone companies, but charges the offense of violating 18 U. S. C. § 371
In Bartkus v. Illinois, ante, p. 121, also decided today, the order of the prosecutions was the reverse of the order in this case. Here the federal prosecution came after the Illinois convictions. Thus this case squarely raises the question whether a federal prosecution of defendants already prosecuted for the same acts by a State subjects
We do not write on a clean slate in deciding this question'. As early as 1820 in Houston v. Moore, 5 Wheat. 1, it was recognized that this issue would arise from the concurrent application of state and federal laws.
The third case, Moore v. Illinois, 14 How. 13, gave clear expression to the emerging principle that the Fifth Amendment did not apply to a federal prosecution subsequent to a state prosecution of the same person for the same acts. That case involved a conviction of Moore
“Every citizen of the United States is also a citizen of a State or territory. He may be said to owe allegiance to two sovereigns, and may be liable to punishment for an infraction of the laws of either. The same act may be an offence or transgression of the laws of- both. . . . That either or both may (if they see fit) punish such an offendér, cannot be doubted. Yet it cannot be truly averred that , the offender has been twice punished for the same offence; but only that by one act he has committed two offences, for each of which he is justly punishable. He could not plead the punishment by one in bar to a conviction-by the other; consequently, this court has decided, in the case of Fox v. The State of Ohio, . . . that, a State may punish the offence of uttering or passing false coin, as a cheat or fraud practised on its citizens; and, in the case of the United States v. Marigold, . . .- that Congress, in the proper exercise of its authority, may punish the same act as an offence against the United States.” 14 How., at 20.
Justice McLean again dissented on the ground of his dissent in Fox, namely, that the state law should be declared invalid for the very reason that “the conviction and punishment undér the State law would be no bar to a prosecution under the law of Congress.” Id., at 21.
The reasoning of the Court in these three cases was subsequently accepted by this Court, in dictum, in the follow
Culminating this development was United States v. Lanza, 260 U. S. 377, where the issue was directly presented to this Court. Lanza was convicted by the State of. Washington for “manufacturing, transporting, and having in possession” a quantity of liquor in violation of a state statute. He was subsequently- convicted in a Federal District Court of violating the Volstead Act, 41 Stat. 305, for performing the same acts with regard to the same liquor. The Court held that, the prior state conviction did not bar the federal prosecution. It pointed out that the State could constitutionally make Lanza’s acts criminal under its original powers reserved by the Tenth Amendment, and’the Federal Government could constitutionally prohibit the acts under the Eighteenth Amendment. Thus this case presented the situation hypothesized in Fox v. Ohio and other early cases; two sovereigns had, within their constitutional authority, prohibited the same acts, and each was punishing a breach of its pro
“We have here two sovereignties, deriving power from different sources, capable of dealing with the same subject-matter within the same territory. . . . Each- government in determining what shall be an offense against its peace and dignity is exercising its own sovereignty, not that of the other.
“It follows that an act denounced as a crime by both national and state sovereignties is an offense against the peace and dignity of both and may be punished by each. The Fifth Amendment, like all the other guaranties in the first eight amendments, applies only to proceedings by the Federal Government, . . . and- the double jeopardy therein forbidden is a second prosecution under authority of the Federal Government after a first trial for the same offense under the same authority.” 260 U. S., at 382.
The Lanza principle has been accepted without question in. Hebert v. Louisiana, 272 U. S. 312, also a Volstead Act case, and in the following cases in this Court arising under other statutes: Westfall v. United States, 274 U. S. 256, 258; Puerto Rico v. The Shell Co., 302 U. S. 253, 264-266; Jerome v. United States, 318 U. S. 101, 105; Screws v. United States, 325 U. S. 91, 108, And see California v. Zook, 336 U. S. 725, 752-753, 758 (dissenting opinion). Similarly, Lanza has been considered in many cases in the Courts of Appeals to have established the general principle that a federal prosecution is not barred by a prior state prosecution, of the same person for the same acts.
Affirmed.
The Government, in its brief and on oral argument in this case, urged that the judgment of the Court of Appeals should be affirmed on an alternative ground to that upon which the Court rests the decision. The Government argued that it was unnecessary, to delimit the application of the Double Jeopardy Clause of the Fifth Amendment to successive state and federal prosecutions of the same acts beyond holding that the clause does not apply when those prosecutions, as in this case, aré under statutes which require different evidence for a conviction and which protect different interests. The contention is that in this case additional evidence is necessary to convict under the federal statute, namely,, proof that federal property was knowingly to be destroyed, and that the two statutes are designed to protect different interests, the state statute to protect “the sanctity of privately-owned property” and the federal statute to prevent injury to “means of communication, operated or controlled by the United States.” The gist of the argument is that two prosecutions are not “for the sanie offense” within the meaning of the Fifth Amendment when they are based upon the violation of two statutes designed to vindicate different governmental interests and requiring different evidence to. support convictions. Although the Court considered that it was unnecessary to discuss this suggested ground for decision, I consider its implications to be so disturbing as to require comment.
However, whatever the case under the Fourteenth Amendment as to successive state prosecutions, Hoag v. New Jersey, supra, or under the Fifth Amendment as to consecutive federal sentences imposed upon one trial, e. g., Gore v. United States, supra, I think it clear that successive federal prosecutions of the same person based on the same acts are prohibited by the Fifth Amendment even though bróught under federal statutes requiring different evidence and protecting different federal interests. It is true that this Court has said: “where the same act or transaction constitutes a violation of two distinct statutory provisions, the test to be applied to determine whether there are two offenses or only one, is whether each provision requires proof of a fact which the other does not.” Blockburger v. United States, 284 U. S. 299, 304. But, so far as appears, neither this “same evi
Obviously separate prosecutions of the same criminal conduct can be far more effectively used by a prosecutor to harass an accused than can the imposition of consecutive sentences for various aspects of that conduct. It is always within the discretion of the trial judge whether to impose consecutive or concurrent sentences, whereas, unless the Fifth Amendment applies, it would be solely within the prosecutor’s discretion to bring successive prosecutions based on the same acts, thereby requiring the accused to defend himself more than once. Furthermore, separate prosecutions, unlike multiple punishments based on one trial, raise the possibility of an accused acquitted by one jury being subsequently convicted by another for essentially the same conduct.
In short, though the Court in Gore has found no violence to the guarantee against double jeopardy when the sáme acts are made to do service for several convictions at one trial, I think not mere violence to, but virtual extinction of, the guarantee results if the Federal Government may try people over and over again for the same criminal conduct just because each trial is based on a different federal statute protecting a separate federal interest.
38 Smith-Hurd Ill. Stat. Ann. (1957 Supp.) §139 provides in pertinent part: “If any two or more persons conspire or agree together . . . with the fraudulent or malicious intent wrongfully and wickedly to injure the . . . property of another . . . they shall be deemed guilty of a conspiracy . . . The statute applies to conspiracies within Illinois to destroy property outside the State. See People v. Buckminster, 282 Il. 177, 118 N. E. 497.
18 U. S. C. §371 provides in pertinent part: “If two or more persons conspire ... to commit any offense against the United States ■. . . and one or more of such persons do any act to effect the object Of the conspiracy, each shall be fined not more than $10,000 or imprisoned not more than five years, or both.”
The relevant part of 18 U. S. C. § 1362 is as follows: “Whoever willfully or maliciously, injures or destroys any. of the . . . property ... of' any . . . telephone, of cable; line, station, or system, or other means of communication, operated or controlled by the United States . . . .” is guilty of a crime.
The Double Jeopardy Clause of the Fifth Amendment provides: “nor shall any person be subject for the same offense to be twice put in jeopardy of life or limb . . . The circumstances of this case do not require us to consider the suggestion in the Government’s brief that “no state prosecution can preclude the federál government from enforcing federal law.” For example, there is nothing in this record to indicate any federal participation in the Illinois prosecution,
Justice Johnson, in another case at the same Term, recognized the related problem of the scope to be given the plea of autrefois acquit when based on an acquittal by the courts of another country. United States v. Furlong, 5 Wheat. 184, 197.
Compare, e. g., Mattison v. State, 3 Mo. *421, and Hendrick v. Commonwealth, 5 Leigh (Va.) 707, with e. g., State v. Randall, 2 Aikens (Vt.) 89, and Harlan v. People, 1 Douglass Rep. (Mich.) 207.
See, e. g., Rios v. United States, 256 F. 2d 173 (C. A. 9th Cir. 1958); Smith v. United States, 243 F. 2d 877 (C. A. 6th Cir. 1957); Jolley v. United States, 232 F. 2d 83 (C. A. 5th Cir. 1956); United States v. Levine, 129 F. 2d 745 (C. A. 2d Cir. 1942).
“It cannot be suggested that in cases where the. author is the mere instrument of die Court he must forego expression of his own con
Gavieres v. United States, 220 U. S. 338, upheld a prosecution for insulting a public officer despite a prior prosecution for indecent .behavior in public based on essentially the same acts. However, that decision was an interpretation of a congressional statute against double jeopardy applicable to the Philippine Islands, a territory “with long-established legal procedures that were alien to the common law.” Green v. United States, 355 U. S. 184, 197. It has not been considered ah authoritative interpretation of the constitutional provision. Green v. United States, supra; see Hoag v. New Jersey, 356 U. S. 464, 478, n. 3 (dissenting opinion). Flemister v. United States, 207 U. S. 372, decided under the same statute, involved two prosecutions of two different assaults on two police officers at two different times, although in “one continuing attempt to defy the law.” Burton v. United States, 202 U. S. 344, Was decided on a demurrer, the Court holding that the pleadings did not necessarily show that a count in a second indictment alleging the receipt of a bribe from a corporation charged the same offense as a count in a prior indictment, alleging the receipt ef a bribe from a named person who was an officer of the corporation. In United States v. Adams, 281 U. S. 202, the defendant had attempted to. conceal an embezzlement by making false entries in bank books and, at a later date, by falsifying a report. A federal statute prohibited both such falsifications. Although both falsifications were attempts to conceal the same embezzlement, the statute outlawed the falsifications themselves, and thus the Court held that since’they were made at different' times and in different circumstances each could be prosecuted separately.
The Double Jeopardy Clause of the Fifth Amendment applies in the same manner to a prosecution following a prior conviction as it does to a prosecution following a prior acquittal. See Ex parte Lange, 18 Wall. 163, 169, 172; United States v. Ball, 163 U. S. 662, 669. This is consistent with the fact that, although autrefois acquit and autrefois convict were separate pleas in bar in the English law, they have historically been given the same scope. See 4 Blackstone Commentaries *335-336; 2 Hawkins, Pleas of the Crown (8th ed. 1824), pp. 515-529.
The doctrine of collateral estoppel may not provide adequate protection. Of course, it will be of no help to an accused who has been previously convicted. But even if he has previously been acquitted, the doctrine may be of little help because in many cases it cannot be ascertained whether the controlling factual issues in the second prosecution were necessarily resolved in the prior trial. See Hoag v. New Jersey, 356 U. S. 464, 471-472; United States v. Dockery, 49 F. Supp. 907; United States v. Holbrook, 36 F. Supp. 345. Furthermore, the protection of an essentially procedural concept such as collateral estoppel, see Hoag v. New Jersey, supra, at 471, is less substantial than the constitutional protection of the Double Jeopardy Clause. • For example, a second trial that placed the accused in double jeopardy could be collaterally attacked, whereas query whether the failure to apply collateral estoppel could be challenged by a post-conviction motion for relief. See Sunal v. Large, 332 U. S. 174, 178-179.
Dissenting Opinion
dissenting.
Petitioners, Abbate and Falcone, were convicted in an Illinois State Court of conspiracy to • blow up certain property located in Mississippi and adjoining States. After receiving prison sentences in Illinois they were indicted and convicted of the same conspiracy in the Federal District Court of Mississippi and again sentenced to prison. The Court now affirms their second sentences over the contention that the federal conviction violates the double jeopardy provision of the Fifth Amendment.
I would reverse both convictions.
U. S. Const., Amend. XVIII. Seé, e. g., Note 55, Col. L. Rev. 83, 89,- n. 38. Lanza is severely criticized in Grant, The Lanza Rule of Successive - Prosecutions, 32 Col. L. Rev. 1309; Grant, Successive Prosecutions by State and Nation: Common Law and British Empire Comparisons, 4 U. C. L. A. L. Rev. 1.
The Court today seems to rely on the argument, also made in Lanza, 260 U. S., at 385, that failure to allow federal prosecutions after state trials might endanger federal law. States, the argument runs, might establish minor punishments for conduct which violates United States statutes. Criminals could then plead guilty in state courts and be safe from federal justice. Whatever the merits of the argument in the context of the Eighteenth Amendment, it can have no validity here.- As we pointed out in Bartkus v. Illinois, ante, p. 150 (dissenting opinion), if Congress has power to make certain conduct a federal crime, it also has.power to protect the national interest. It can take exclusive jurisdiction-over the crime or, if it wishes to allow the States concurrent power, it can define the offense and- set minimum penalties which would be applicable in both state and federal courts. In addition, should the state trial prove to be a
Almost all of the States have constitutional provisions similar to the Double Jeopardy Clause of the Federal Constitution. See Brock v. North Carolina, 344 U. S. 424, 429, 435 (dissenting opinion).
Cf. Testa v. Katt, 330 U. S. 386.
See Grant, The Lanza Rule of Successive Prosecutions, 32 Col. L. Rev. 1309; Grant, Successive Prosecutions by State and Nation: Common Law and British Empire Comparisons, 4 U. C. L. A. L. Rev. 1.
At the time the amendment was'offered the Double Jeopardy-Clause under discussion read: “No person shall be subject, except.in cases of impeachment, to more than one punishment or, one trial for the same offence.” 1 Annals of Cong., 434 (1789)." If- the amendment had passed the clause would have read: _“No person shall be subject, except in eases of impeachment, to more than one punishment or one trial for the same offence by any law of the United States.” Id., at 753.
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