Smith v. United States
Smith v. United States
Opinion of the Court
deíivered the opinion of .the Court.
The petitioner séeks relief under 28 U. S. C. § 2255 from his conviction and sentence for violation of the Federal Kidnapping Act, 18 U. S. C. § 1201. Briefly, the kidnapping charge grew out of the following facts: Petitioner,^ young man of twenty-six, and two seventeen-year-old boys, while in custody under state charges,, escaped from a Florida jail on November 12,-1949. They were almost immediately pursued by men and bloodhounds -through swampy eyerglade terrain. On November 14, 1949, they allegedly pre-empted an automobile and seized its owner forcing him to accompany them into the State of Alabama where they released the victim without harming, him and subsequently abandoned the car. On November 18, 1949, the defendants were arrested by federal authorities in a hiding place under the floor of a building. Petitioner" claimed that he was weak from, lack of food and sleep and that his back had been injured in the course of the escape. The defend- . ants were taken promptly before the United States Commissioner where they, were charged with transporting a ■kidnapping victim across state boundaries.
On the following day, petitioner was interviewed at length by a government agent concerning both the kidnapping offense-and-his prior record. "There was a conflict in the evidence concerning what transpired at this interview. The petitioner-testified that he was promised leniengy if he would ;plead guilty-and that he was assured
While that conference was proceeding, the government agent who had previously interviewed petitioner had a private out-of-court audience and conference with the district judge in his chambers at which, in the absence of the defendants, he discussed the contemplated proceedings with the judge and informed him about the alleged kidnapping offense and other alleged crimes of petitioner. Soon thereafter, and, in the words of the Court of Appeals, “[a]fter the judge’s mind had become thoroughly conditioned by this interview with, and the disclosures made to him by, [the government agent] regarding the defendants,” there followed in open court “a stilted and formal colloquy consisting of brief and didactic statements by the judge” that the defendants could have a lawyer if they wished and could have their cases submitted to a grand jury. 238 F. 2d 925, 927, n. 5. The defendants, including petitioner, stated that they did not wish to have an attorney and were willing to waive indictment and be prosecuted under an information to be filed by the prosecutor. The information was immediately filed and the defendants waived counsel and venue.
Because of these precipitous and telescoped proceedings, the case has had a long and troublesome history in the Court of Appeals fob the Fifth Circuit. It has; been three times before that court. Soon after the sentence was imposed, petitioner filed his initial ápplication under § 2255 to vacate the judgment. The application was denied without a hearing'-and no appeal was taken. In March 1954 petitioner filed a second, similar, application which was likewise denied without a hearing, but on appeal the Court of Appeals determined that petitioner’s allegations required a hearing. Smith v. United States, 223 F. 2d 750. After the hearing was held, the District Court again dismissed the application. 137 F. Supp. 222. Again the Court of Appeals reversed, this time finding that petitioner had been deprived of due process by the summary manner in which the Government had pro
“The judgment is reversed and the cause is remanded with directions to set aside the conviction and sentence and to proceed further and not inconsistently herewith, including, if the district judge is of the opinion that the ends of justice require it, permitting the defendant to withdraw his waiver of counsel and his plea of guilty and to stand trial.” 240 F. 2d 347.
On the remanded proceedings, the District Court resentenced petitioner, but refused him permission to withdraw his waivers And guilty plea. The Court of Appeals
The precise question at issue, therefore, is whether petitioner’s alleged violation of the Kidnapping Act had to be prosecuted by indictment.' A number off statutory and constitutional provisions and the information charging petitioner are, relevant to this inquiry. The Fifth Amendment provides in-part that “[n]o person shall be held to answer for a capital, or otherwise infamous crime, unless on a presentment or indictment of a Grand- Jury,” except in cases not pertinent here. But the command of the Amendment may.be waived under,certain circumstances,
“An offense which may be punished by death shall be prosecuted by indictment. An offense which may be punished by imprisonment for a term exceeding one year or at hard labor shall be prosecuted by*7 indictment or, if indictmeñt is waived, it may be prosecuted by information. Any other offense may be prosecuted by indictment or by information. ' An information may be filed without leave of court.” (Emphasis added.)
These enactments become particularly pertinent in view of the language of 18 U. S. C. § 1201, the statute under which petitioner was convicted, which provides in part that:
“(a) Whoever knowingly transports in inters state . . . commerce, any person who has been unlawfully . . . kidnapped . . . shall be punished (1) by death if the kidnapped person has not been liberated unharmed, and if the verdict of the jury shall so recommend, dr (2) by imprisonment for any term of years or for life, if the death; penalty is not imposed.”
The charging part of the information against petitioner stated that he “did knowingly transport in interstate commerce ... a person, to wit, Alan W. Spearman, Jr., who had been unlawfully seized, kidnapped, abducted, and carried away and held for the safe conduct-of the three defendants . . . .” The charge did not state whether Spearman was released harmed, or unharmed.
It has been held by tw;o Courts of Appeals that indictments similar in terms- to the charge here were sufficient to support capital punishments despite the absence of allegations that* the kidnapping victims were released harmed. United States v. Parrino, 180 F. 2d 613; Robinson v. United States, 144 F. 2d 392. Cf. United States v. Parker, 103 F. 2d 857. Petitioner contends that these holdings dispose of his case because they make clear that the statute creates a single offense of kidnapping which may be punished by death if the prosecution, at trial, shows that the victim was released in a harmed condi
The Courts of Appeals which have been concerned with the statute have uniformly construed it to create the single offense of transporting a kidnapping victim across state lines., We agree with this construction. Under the statute, that offense is punishable by death if certain proof is introduced at trial. When'an accused is charged, as here, with transporting a kidnapping victim across state lines, he is charged and will be tried for an offense which may be punished by death. Although the imposition of that penalty will depend on whéther sufficient proof of harm is introduced during the trial, that circumstance does not alter the fact that the offense itself is one which may be punished by death and thus must be prosecuted by indictment. In other words, when the offense as charged is sufficiently broad to justify a capital verdict, the trial must proceed on that basis, even though the evidence later establishes that such a verdict cannot be sustained because the victim was released unharmed. It is neither procedurally correct nor practical to await the ■ conclusion of the evidence to determine whether the accused is being prosecuted for a capital offense. For the trial judge must make informed decisions prior to trial which will depend on whether the offense may be so punished. He must decide, among other things, whether the accused has the right to obtain a list of veniremen and government witnesses, 18 U. S. C. § 3432,
This Court has, in recent years, upheld many convictions in the face of questions concerning the sufficiency of the charging papers. Convictions are no longer reversed because of minor and technical deficiencies which did not prejudice the accused. E. g., Hagner v. United States, 285 U. S. 427; Williams v. United States, 341 U. S. 97; United States v. Debrow, 346 U. S. 374. This has been a salutary development in the criminal law. But the substantial safeguards to those charged with serious crimes cannot be eradicated under the guise of technical departures from the rules. The use of indictments in all-cases warranting serious punishment was'the rule at'common law. Ex parte Wilson, 114 U. S. 417; Mackin v. United States, 117 U. S. 348. The Fifth Amendment made the rule mandatory in federal prosecutions in recognition of the fact that the intervention of a grand jury was a substantial safeguard against oppressive and arbitrary proceedings. Ex parte Bain, 121 U. S. 1; Hale v. Henkel, 201 U. S. 43; Toth v. Quarles, 350 U. S. 11, 16. Rule 7 (a) recognizes that this safeguard may be waived, but only in those proceedings which are noncapital. To construe the provisions of.the Rule loosely to permit the use of informations where, as here, the charge .states a capital offense, would do violence to that Rule and would make vulnerable to summary treatment those accused of one of pur most serious crimes. We cannot do this in view of‘the traditional canon of construction which calls for the strict interpretation of criminal statutes and rules in favor of defendants where substantial rights are involved.
Under our view of Rule 7 (a), the United States Attorney did not have authority to file an information in this 'case and the waivers made by petitioner were not binding and did not confer power on the convicting court to hear the case. Cf. Ex parte Wilson, supra. The judgment and conviction are reversed and the case is remanded to the District Court with instructions to dismiss the information.
It is so ordered.
18 U. S. C. § 3235 provides:
“The trial of offenses punishable with death shall be had in the county where the offense was committed, where that can be done without great inconvenience.”
“Except as otherwise permitted by statute or by these rules, the prosecution shall be had in a district in which the offense was committed, but if the district consists of two or more divisions the trial shall be had in a division in which the offense was committed.” ■
The offense of which petitioner was accused was committed inDothan, Alabama, which was within the Southern Division of the District Court. The proceedings against petitioner were held in 'Montgomery, Alabama, which is located in another county in Alabama in the Northern Division of that court.
This left petitioner with a substantial sentence still pending in Florida under the charge for which he was-in custody when he escaped. In addition, petitioner \$ras' apparently still in jeopardy of state prosecution for escaping.
The Court of Appeals stated, at 238 F. 2d 930:
“When it comes to the controlling question, however, which the motion presents, whether under the undisputed facts the defendant was denied due process in the taking of waivers and plea, and the imposition of sentence the matter stands quite differently, and because it is clear that it was not accorded to him, the judgment appealed from must be reversed.
. “This is so, because, considering the inordinate speed, the incontinent haste, with which the defendants were brought up for hearing and the trial moved on apace, the fact that the government prosecuting agent and the district judge, before the defendant had made any waivers or pleaded in the cause, conferred privately in chambers with regard to defendants’ guilt and the punishment to be imposed therefor, in connection with feffth what was said and done and what was left unsaid and undone by the judge in taking the waivers and the plea and sentencing the defendant, we are left in no doubt that the movant was not accorded, but was denied, due process, and that the judgment against, 'and sentence imposed unpn him may not stand.”
Barkman v. Sanford, 162 F. 2d 592; United States v. Gill, 55 F. 2d 399.
Concurring in Part
Johnny Ray Smith, presently an inmate of Alcatraz, began his career of crime as a juvenile. Soon -thereafter' he escaped from the Federal Correctional Institution at Tallahassee, Florida. At age 26 he had twice been convicted of violations of the Dyer Act, 18 U. S. C. § 2312, was serving 25 years in a Florida prison for armed rob- ■ bery, and had seriously wounded an officer while, fleeing from the scene of the latter crime. He, with two juvenile inmates, escaped the Florida prison, burglarized a house, stole a shotgun, and allegedly kidnaped Alan W. Spear-man, Jr., at shotgun point, while the latter was sitting in his company’s automobile. They forced Spearman to accompany them in the car across the Florida line into Alabama. There, after the release of Spearman, they abandoned the car and were- later arrested in their hiding place under a building. Each admitted guilt and asked for a speedy trial. Smith advised the United States Commissioner, the Federal Bureau of Investigation, the prosecutor and the district judge that he did not want' a lawyer; he waived indictment and venue, pleaded guilty to an information charging kidnaping and threw himself on the mercy of the.court in these words:
“Well, your Honor, I would like for you to take under consideration that there was no viciousness in connection with- this abduction of -this boy. We were nice to him and did not harm him any way and we wanted transportation and did not harm him any at all.” '
Smith received a 30-year sentence; the juveniles 15 years each. ' .He was sent to Alcatraz and from there has prosecuted a series of motións under 28 U. S. C. § 2255, appearing twice to testify in the District Court of Florida.
In attempting to do what it believes to be a great right the Court in reality does a great wrong to the administration of justice. The most serious result is that the Court’s procedure allows the United States Attorney to secure an indictment for a capital offense without the grand jury’s knowing that he is doing so. This deprives kidnaping defendants of the very protection of the Fifth Amendment that the Court professes to be enforcing. The Court also- clouds the meaning of Rule 7 (b) as to waiver of indictment by carving noncapital kidnaping offenses out of its specific permissive terms.
Both the Fifth Amendment and Rule 7 (a) require capital offenses to be prosecuted .by indictment. Kidnaping is not such an offense unless “the kidnaped person has not been liberated unharmed.” 18 U. S. C. § 1201 (a). It is reasonable to say that before one can be prosecuted for the capital offense he must be charged with it, namely, kidnaping where- “the kidnaped person has not been liberated unharmed.” To do otherwise does not place him on notice of the offense for which he is to be tried. The Court, however, holds that § 1201 (a) creates a “single offense . . . [which] is punishable by death if certain proof is introduced at trial.” It reasons that this makes every kidnaping a capital case requiring
Moreover, as the Court says, “[i]t is neither procedurally correct nor practical to await the conclusion of the evidence to determine whether the accused is being prosecuted for a capital offense.” Despite this language, the opinion requires just that since it does not compel the indictment to charge “a capital offense.” I would require capital kidnaping cases to be prosecuted by indictment charging specifically that the kidnaped person was not liberated unharmed.
Turning to. the procedural point under Rule 7 (a) and (b) we should remember it was this Court that adopted these Rules of Criminal Procedure, certified them to the
The Court, however:! superimposes a- new rule in kidnaping cases by requiring that they pe beg^n only-by indictment. This deprives siich defendants riot only of the , beneficent provisions of Rule '.7(b) but subjects them, to greater jeopardy in that the United States Attorney may insist on the death penalty at trial. 'This leaves open fof play all of the.evils that flesh is heir to, including the ambitions or disfavor of the prosecutor, the animosity of the victim or his malingerings from thé kidnaping as well as other postindictment speculations! In rural districts where the grand jury orily meets twice a year it would also place' considerable hardship on a
It is true that three Courts of Appeals'have passed on this statute. However, none of those cases is dispositive of the issije here. In Robinson v. United States, 144 F. 2d 392, 396, the indictment alleged that the accused did “beat, injure, bruise and harm [Mrs. Stoll] . . . and did not liberate her unharmed.” It is, therefore, ehtirely inapposite since the indictment specifically alleged a capital offense. United States v. Parker, 103 F. 2d 857, in
This brings me to the second contention. I shall discuss the facts briefly. The “inordinate speed” which the Court says was present here was not generated by the Government but by the petitioner himself. The record clearly shows his anxiety to have the case concluded and . fails to indicate any objection on his part to the immediate imposition of sentence. The disposition óf cases on information and plea in four to five days, as occurred here, is normal in the federal system. I therefore put no credence in this claim. However, the record does indicate that at the instance of an Assistant United States Attorney a Special Agent of the Federal Bureau of Investigation called upon the trial judge in his chambers and talked at some length about Smith’s background as well as his connection with the kidnaping. This was before Smith had signed any waivers or entered any plea. Neither Smith nor any one representing him was present at the interview. The record shows this contact not to have been covertly made, for at the time of sentence the trial judge in open court told Smith that it had occurred. I do not reach the due process contention, for it appears to me that our duty of supervision over the administration of justice in the federal courts, McNabb v. United States, 318 U. S. 332 (1943), requires reversal because of this interview. In a criminal case, such a private conference
For these reasons I would reverse the judgment with instructipns that Smith be allowed to withdraw his guilty plea' and stand trial, on the information.
The Court says that “a defendant may, under appropriate cir-eumstances, invoke the protection of the Sixth Amendment” where “arrest and incarceration are followed by inordinate delay prior to indictment ...” Such has never been the- case heretofore where capital cases are held awaiting the statutory meeting of the next grand jury.' This strange doctrine can only cause additional confusion in the effective enforcement of the kidnaping statute. '
The Court in holding that proceeding by information. “Would deprive defendants of the protection of a grand jury indictment as required by the Constitution and Rule 7 (a).” overlooks the fact that neither the Constitution nor that Rule requires kidnaping to be charged by indictment where the victim is released unharmed’.
Rule 32 (c) (1), Fed. Rules Crim. Proc., provides:
“(c) Presentence Investigation
“(1) When Made. The probation service of the court shall make a presentence investigation and report to the court before the imposition of sentence or the granting of probation unless the court otherwise directs. The report shall not be submitted to the court or its contents disclosed to anyone unless the defendant has pleaded guilty or has been found' guilty.”
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