Cleary v. Bolger
Opinion of the Court
delivered the opinion of the Court.
This case draws in question the propriety of the issuance of a federal injunction restraining petitioner, a state officer, from giving evidence in a pending state criminal prosecution and a state administrative proceeding.
The facts, as found by the two lower courts, are as follows. About 8:30 one Saturday morning in September
The agents then took respondent into custody; he was brought to the Customs office, denied permission to use the telephone, and questioned until shortly before 11 a. m. During this period he signed a document consenting to a search of his home by the Customs officers, who had told him that the consent form was unnecessary since they already had enough information to warrant a search but that he might as well sign it to save them trouble. He had at first refused to sign such a consent without consulting a lawyer. The agents then drove respondent to his home in New Jersey and, without a search warrant, gave it a thorough search, which uncovered some 75 bottles of liquor, a Stenorette tape recording machine made in West Germany, and various other items of apparent foreign origin, such as perfumes, linens, costume jewelry, etc. These articles, thought to have been illegally acquired, were brought'back to Customs headquarters in New York, where, starting about 4 p. m., respondent was again questioned.
After he had been told that he did not have to make a statement, respondent was sworn and interrogated by Customs officers in the presence of a Customs Service reporter, who recorded the questions and answers verbatim. Petitioner was present and could have participated in the questioning, though he did not do so.
No charges were lodged against respondent by the federal authorities. But a month later he was arrested by the New York City police on a charge of grand larceny for the theft of the Stenorette tape recorder, and shortly thereafter the Waterfront Commission temporarily suspended his licenses as hiring agent and longshoreman. The criminal charge was subsequently reduced to petit
After the petit larceny charge had been set for trial, respondent instituted the present action in the United States District Court for the Southern District of New York seeking to enjoin the federal Customs officers and petitioner from using in evidence any of the seized property or his incriminating statement, and from testifying with respect thereto, in the state criminal trial or Waterfront Commission proceeding. He also sought return of the seized property.
The District Court granted such relief, limited however, to the property seized at respondent’s home, to the incriminatory statement made following his arrest, and to testimony respecting these matters.
Accepting for present purposes the holdings of the two lower courts with respect to the conduct and enjoin-ability of the federal officers, we nevertheless conclude that the injunction against this petitioner was improvidently issued.
“[W]e would expose every State criminal prosecution to insupportable disruption. Every question of procedural due process of law — with its far-flung and undefined range — would invite a flanking movement against the system of State courts by resort to the federal forum, with review if need be to this Court, to determine the issue. Asserted unconstitutionality in the impaneling and selection of the grand and petit juries, in the failure to appoint counsel, in the admission of a confession, in the creation of an unfair trial atmosphere, in the misconduct of the trial court— all would provide ready opportunities, which conscientious counsel might be bound to employ, to subvert the orderly, effective prosecution of local crime in local courts. To suggest these difficulties is to recognize their solution.” 342 U. S., at 123-124.
We need not, however, determine in this instance the correctness of the lower courts’ broad reading of the Rea
It is no answer to say, as the Court of Appeals did, that this petitioner “is not being enjoined in his capacity as a state official, but as a witness invited to observe illegal activity by federal agents,” 293 F. 2d, at 369. For it is abundantly clear that the petitioner was present at these occurrences precisely and only because of his official connection with the Waterfront Commission. The District Court expressly found that it was “[t]he Waterfront Commission,” not petitioner, which “had been informed of [respondent] Bolger’s detention,” 189 F. Supp., at 244, and that petitioner “was present at the questioning [of Bolger] as a representative of the Waterfront Commission,” id., at 255.
Nor can the injunctive relief against this petitioner find justification in the rationale that it was required in order to make the injunction against the federal officers effective. Such relief as to him must stand on its own bottom. We need not decide whether petitioner’s status as a state official might be ignored had it been shown that he had misconducted himself in this affair, that he had been utilized by the federal officials as a means of shielding
The withholding of injunctive relief against this state official does not deprive respondent of the opportunity for federal correction of any denial of federal constitutional rights in the state proceedings. To the extent that such rights have been violated, cf., e. g., Mapp v. Ohio,
To the extent that respondent’s claims involve infractions merely of the Federal Criminal Rules, we need not decide whether an adverse state determination upon such claims would be reversible here. Cf., e. g., Gallegos v. Nebraska, 342 U. S. 55. For in any event we do not think that an injunction against this state official is justified in the circumstances of this case. Assuming that such relief was properly granted here as to the federal officials in the exercise of federal-court supervisory power over them, we consider that a supplementing injunction should not issue against a state official, at least where, as here, there is no evidence of a purpose to avoid federal requirements and the information has not been acquired by the state official in violation of a federal court order. Such direct intrusion in state processes does not comport with proper federal-state relationships.
We conclude ■ that the injunction as to this petitioner should not have been granted, and that the judgment of the Court of Appeals must accordingly be
Reversed.
See De Veau v. Braisted, 363 U. S. 144.
The other Waterfront Commission detective, Machry, had apparently left the scene at an earlier stage. He was not joined as a defendant in the present action.
Respondent also instituted a second federal action against the Waterfront Commission and its members, seeking to enjoin the use of the same evidence in the license-revocation proceeding. That suit was dismissed by the District Court and is not involved here.
The District Court held that respondent’s arrest and the search of his automobile by the- federal agents were not illegal, and also denied return of any of the property seized at respondent’s home on the premise that it was contraband. Neither of those determinations is before us.
Rule 41 (a): “Authority to Issue Warrant. A search warrant authorized by this rule may be issued by a judge of the United States or of a state, commonwealth or territorial court of record or by a United States commissioner within the district wherein the property sought is located.”
Rule 5 (a): “Appearance before the Commissioner. An officer making an arrest under a warrant issued upon a complaint or any person making an arrest without a warrant shall take the arrested person without unnecessary delay before the nearest available commissioner or before any other nearby officer empowered to commit persons charged with offenses against the laws of the United States. When a person arrested without a warrant is brought before a commissioner or other officer, a complaint shall be filed forthwith.” See McNabb v. United States, 318 U. S. 332.
It should be noted that respondent did not allege in his complaint that the matter in controversy exceeded the sum or value of $10,000, or that diversity of citizenship existed. See 28 U. S. C. §§ 1331, 1332. Nor did he allege that the District Court had jurisdiction to enjoin petitioner incidental to its supervisory power over federal law enforcement agencies, cf. Rea v. United States, 350 U. S. 214, 217, or that 28 U. S. C. § 1343 conferred jurisdiction. But, in view of our determination that equitable power should not have been exercised with respect to this petitioner, it is not necessary to resolve the ques
Rule 41 (e) provides that the material suppressed “shall not be admissible in evidence at any hearing or trial.”
The Court of Appeals was also disposed to think that the propriety of the District Court’s injunction was not affected by this Court’s decision in Mapp v. Ohio, 367 U. S. 643, which came down after this ease had left the District Court.
None of the federal officers involved in this action has sought review in this Court. And for reasons stated in this opinion there is otherwise no need for determining the propriety of the injunction as to them in order to dispose of the case before us.
“In the case at bar the wrongful activities were all those of federal officers and were conducted or directed by them. All that was done during the period of unlawful detention, and particularly the taking of the incriminating statement from Bolger, was being done on behalf of the United States. Cleary was merely a witness to them.” 189 F. Supp., at 256.
We attach no significance to the District Court’s remark that petitioner’s “presence might have been an additional inducement to Bolger to answer questions more freely” (189 F. Supp., at 255) because Bolger, when originally picked up by the'federal officers, had exhibited concern about the possible effect of his transgressions on his longshoreman’s license. The record is barren of any evidence indicating that petitioner was brought into the situation for the purpose of intimidating Bolger or that he in fact did so.
Concurring Opinion
concurring in the result.
I concur in the result. I cannot, however, join the Court’s opinion, because I do not find it necessary in the present circumstances to pass upon the question whether Rea v. United States, 350 U. S. 214, may ever support an injunction against a state official who has received evidence illegally obtained by federal officers even though “there is no evidence of a purpose to avoid federal re
In stating my position I rely on the New York Court of Appeals’ announced view that it regards Mapp as extending to the “fruit of the poisonous tree,” a holding arrived at on facts similar to those involved here. People v. Rodriguez, 11 N. Y. 2d 279, 286, 183 N. E. 2d 651, 653-
The Court’s opinion states that “To the extent that respondent’s claims involve infractions merely of the Federal Criminal Rules, we need not decide whether an adverse state determination upon such claims would be reversible here.” I, like the Court, do not reach this issue, but I so conclude because of my stated belief that New York will, under Mapp, likely exclude all the evidence in question here, a possibility which for me, because of my firm belief in the principles of Stefanelli v. Minard, supra, is sufficient to make the granting of injunctive relief here an unwise exercise of federal power. Whether it would be similarly excludible in such state proceedings were respondent’s claims premised solely upon federal offi
I would agree with the judgment of the Court if we had here nothing but a question concerning the use of evidence obtained in violation of the Fourth Amendment. That question can now be raised in the state prosecution as a result of Mapp v. Ohio, 367 U. S. 643. My difficulties stem from a flagrant violation by federal officers of Rule 5 (a) of the Federal Rules of Criminal Procedure and the threatened use of the fruits of that violation by a state official in state cases. If the Court, as is strongly suggested, makes unreviewable here any adverse state determination on that claim, the only opportunity to correct the abuse of federal authority is here and now.
No federal prosecution was ever brought against Bolger. New York, however, instituted both a criminal prosecution and an administrative proceeding to revoke his license as a hiring agent. Bolger brought suit in the Federal District Court to enjoin the federal agents and Cleary from producing any of the material seized from him or testifying as to any of his statements in either of the state proceedings.
The District Court granted the relief requested with respect to all statements obtained after 11a. m., at which time a Federal Commissioner was in his office a few blocks
Only Cleary appealed; and the Court of Appeals affirmed on the authority of Rea v. United States, supra. 293 F. 2d 368. It said that the only difference between this case and Rea “is the time at which the federal officials attempt to make the results of their lawbreaking available to the state.” Id., at 369.
I think the Court of Appeals was correct in saying that “the Rea case [is] ample authority for holding that the order appealed from is not barred by 28 U. S. C. § 2283 as an injunction to stay proceedings in a state court.” Id., at 370. The proceedings themselves are not enjoined. Enjoining a state agent from offering as a witness unlawfully obtained evidence has no different effect on the “proceedings in a state court” than enjoining a federal officer. To be sure, in Rea there had been an earlier suppression order in a federal prosecution; and so it is now said that the injunction against testifying was necessary to protect or effectuate that suppression order. That answer proves too much, for it would enable federal agents themselves to violate the Federal Rules and, without fear of a federal
A state agent should be enjoined from producing, as a witness in a state court proceeding, evidence he acquired solely as a result of federal agents’ violation of the Federal Rules.
Such an injunction should issue lest federal agents accomplish illegal results by boosting Oliver Twists through windows built too narrow by those Rules for their own ingress.
“Free and open cooperation between state and federal law enforcement officers is to be commended and encouraged. Yet that kind of cooperation is hardly promoted by a rule that implicitly invites federal officers ... [to violate the provisions of the Federal Rules]. If, on the other hand, it is understood that the fruit of . . . unlawful . . . [conduct] by . . . [federal] agents will be inadmissible in a . . . [state] trial, there can be no inducement to subterfuge and evasion with respect to federal-state cooperation in criminal investigation” — to paraphrase an earlier opinion in a related area. See Elkins v.
What is involved is not an attempt by a federal court to interject itself into a state criminal prosecution to protect a defendant’s federal rights against state infringement, as was the case in Pugach v. Dollinger, 365 U. S. 458, and Stefanelli v. Minard, 342 U. S. 117. In both of those cases the unlawfully obtained evidence had been obtained by state police. Here the evidence was obtained by federal agents in violation of the Federal Rules. It therefore involves no entrenchment on principles of federalism to hold that a Federal District Court may enjoin the production of such evidence in a state proceeding, regardless of who seeks to introduce it. The federal courts, rather than the state courts, have the responsibility of assuring that federal law-enforcement officers adhere to the procedures prescribed by the Federal Rules. This responsibility cannot be met if the federal courts’ power can be thwarted by federal employment of a state Oliver Twist.
I join in the dissenting opinion of my Brother Douglas and add a few words in support of his conclusion.
I.
The Court concedes arguendo that it was proper to enjoin the federal officers from testifying in state proceedings against respondent as to the fruits of their violations of Rules 5 and 41 of the Federal Rules of Criminal Procedure. But having made this concession — compelled, I should think, by Rea v. United States, 350 U. S.
In so refusing incidental relief against petitioner, surely the Court flouts settled principles of equity. Equity does not do justice by halves; its remedies are flexible. “A writ of injunction may be said to be a process capable of more modifications than any other in the law; it is so malleable that it may be moulded to suit the various circumstances and occasions presented to a court of equity. It is an instrument in its hands capable of various applications for the purposes of dispensing complete justice between the parties.” Tucker v. Carpenter, 24 Fed. Cas. No. 14217 (Cir. Ct. D. Ark. 1841); see 1 Joyce, Injunctions (1909), § 2; 1 Pomeroy, Equity Jurisprudence (5th ed., Symons, 1941), § 114,
The vacation of the injunction against the state officer on the ground that he himself was not a wrongdoer wholly misconceives the nature of equitable relief. Such relief is not punitive but remedial, and it is measured not by the defendant’s transgressions but by the plaintiff’s needs. Thus, to protect a trade secret, equity will enjoin third persons to whom the secret has been divulged if they have notice of the breach of trust. See, e. g., Colgate-Palmolive Co. v. Carter Products, Inc., 230 F. 2d 855, 864-865 (C. A. 4th Cir. 1956). Such third persons are not themselves malefactors, any more than this state officer is; they are enjoined in order to give the victim of the wrong effective protection. The respondent herein is entitled to effective protection against the federal officers’ violations of federal law, which comprehends ancillary relief against petitioner qua witness to the unlawful conduct. Though innocent of the federal officers’ misconduct, the state officer may not avail himself of its fruits to the harm of respondent. I repeat: the Court errs in asserting that the injunction against the state officer must stand on its own bottom; such a supplemental decree is fully justified, in accordance with the conventional principles of equity, by the issuance of an injunction against the federal officers.
In invoking the bogey of federal disruption of state criminal processes, the Court relies heavily on Stejanelli v. Minard, 342 U. S. 117, where it was held to be improper to enjoin the introduction in a state criminal trial of evidence seized by state officers in violation of the Fourteenth Amendment. But Stejanelli is manifestly inapt. That decision was compelled by Wolf v. Colorado, 338 U. S. 25, where the Court, while confirming that the Fourth Amendment had been absorbed into the Due Process Clause of the Fourteenth Amendment, nevertheless left the Stateá free to devise appropriate remedies for violations of this constitutional protection. To have authorized the Federal District Courts to order the exclusion in state criminal trials of evidence unlawfully obtained by state officials would have sanctioned accomplishing indirectly what Wolj forbade directly. But Wolj has been overruled in this particular, Mapp v. Ohio, 367 U. S. 643, and the accommodation of Wolj which required the decision in Stejanelli is no longer a concern.
It is also worth observing that Congress has taken pains to specify the conditions under which a federal court shall withhold injunctive relief in respect of a pending state court proceeding. See 28 U. S. C. § 2283. The Court nowhere mentions this provision, surely because its total inapplicability to the case at hand is plain: an injunction against this state officer would not stay the state proceedings against respondent but only preclude the use of certain evidence in them. Since Congress in § 2283 set out specific conditions for withholding federal equity relief, and these conditions have not been met in the case at bar, I submit that we are obligated to allow such relief to be granted in conformity with the accepted usages of equity procedure.
With all respect I cannot share the view of my Brother Goldberg that relief should be denied here because the probable exclusion of the challenged evidence, in whole or part, by the New York courts would sufficiently serve to deter lawless conduct by federal officers. My view is
See, e. g., People v. Loria, 10 N. Y. 2d 368, 179 N. E. 2d 478 (1961); People v. O’Neill, 11 N. Y. 2d 148, 182 N. E. 2d 95 (1962); People v. Rodriguez, 11 N. Y. 2d 279, 183 N. E. 2d 651 (1962).
Compare Bloodgood v. Lynch, 293 N. Y. 308, 56 N. E. 2d 718 (1944), with Sackler v. Sackler, 16 App. Div. 2d 423, 229 N. Y. S. 2d 61 (2d Dept. 1962).
Compare Rogers v. United States, 97 F. 2d 691 (C. A. 1st Cir. 1938), United States v. Butler, 156 F. 2d 897 (C. A. 10th Cir. 1946), and United States v. Physic, 175 F. 2d 338 (C. A. 2d Cir. 1949), with United States v. One 1956 Ford Tudor Sedan, 253 F. 2d 725 (C. A. 4th Cir. 1958).
Nothing in Gallegos v. Nebraska, 342 U. S. 55, which did not involve activities of federal officers in violation of the Federal Criminal Rules, decides that question.
“It was a little lattice window, about five feet and a half above the ground: at the back of the house: which belonged to a scullery, or small brewing-place, at the end of the passage. The aperture was so small, that the inmates had probably not thought it worth while to defend it more securely; but it was large enough to admit a boy of Oliver’s size, nevertheless. A very brief exercise of Mr. Sikes’s art, sufficed to overcome the fastening of the lattice; and it soon stood wide open also.” Dickens, The Adventures of Oliver Twist (N. Y.: Thomas Y. Crowell & Co.), p. 184.
In Wilson v. Schnettler, 365 U. S. 381, I joined the dissenting opinion of my Brother Douglas because I thought (and still do) that the Court was making dangerous inroads upon the Rea decision. Happily, the Court in the instant case makes no suggestion that the authority of Rea has been impaired by Wilson. At all events Wilson is distinguishable from the case at bar, for here there was no failure to allege a violation of federal law and a lack of an adequate remedy at law.
“The governing motive of equity in the administration of its remedial system is to grant full relief, and to adjust in the one suit the rights and duties of all the parties, which really grow out of or are connected with the subject-matter of that suit .... Its fundamental principle concerning parties is, that all persons in whose favor or against whom there might be a recovery, however partial, and also all persons who are so interested, although indirectly, in the subject-
The Court’s intimation, in note 7 of the opinion, of doubt as to the existence of federal jurisdiction in the instant case seems to me totally unwarranted. The Court was unanimous in Rea as to the existence of federal jurisdiction; the only dispute was as to the propriety of exercising it. See 350 U. S., at 219 (dissenting opinion). To predicate federal jurisdiction in the instant case, we need not decide whether the Federal Rules are civil rights statutes within the intent of 28 U. S. C. § 1343 (4), nor need we resort to any other jurisdictional statute. For the federal courts have the inherent authority to issue orders to protect their processes, here, as in Rea, governed by the Federal Rules of Criminal Procedure. See 350 U. S., at 217; Wise v. Henkel, 220 U. S. 556, 558.
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