Tehan v. United States Ex Rel. Shott
Opinion of the Court
delivered the opinion of the Court.
In 1964 the Court held that the Fifth Amendment’s privilege against compulsory self-incrimination “is also protected by the Fourteenth Amendment against abridgment by the States.” Malloy v. Hogan, 378 U. S. 1, 6. In Griffin v. California, decided on April 28, 1965, the Court held that adverse comment by a prosecutor or trial judge upon a defendant’s failure to testify in a state criminal trial violates the federal privilege against compulsory self-incrimination, because such comment “cuts down on the privilege by making its assertion costly.” 380 U. S. 609, 614. The question before us now is whether the rule of Griffin v. California is to be given retrospective application.
I.
In the summer of 1961 the respondent was brought to trial before a jury in an Ohio court upon an indictment charging violations of the Ohio Securities Act.
A few weeks after our denial of certiorari the respondent sought a writ of habeas corpus in the United States District Court for the Southern District of Ohio, again alleging various constitutional violations in his state trial. The District Court dismissed the petition, and the respondent appealed to the United States Court of Appeals for the Sixth Circuit. On November 10, 1964, that court reversed, noting that “the day before the oral argument of this appeal, the Supreme Court in Malloy v. Hogan . . . reconsidered its previous rulings and held that the Fifth Amendment’s exception from self-incrimination is also protected by the Fourteenth Amendment against abridgment by the states,” and reasoning that “the protection against self-incrimination under the Fifth Amendment includes not only the right to refuse to answer incriminating questions, but also the right that such refusal shall not be commented upon by counsel for the prosecution.” 337 F. 2d 990, 992.
We granted certiorari, requesting the parties “to brief and argue the question of the retroactivity of the doctrine announced in Griffin v. California . . . .” 381 U. S. 923. Since, as we have noted, the original Ohio
II.
In Linkletter v. Walker, 381 U. S. 618, we held that the exclusionary rule of Mapp v. Ohio, 367 U. S. 643, was not to be given retroactive effect. The Linkletter opinion reviewed in some detail the competing conceptual and jurisprudential theories bearing on the problem of whether a judicial decision that overturns previously established law is to be given retroactive or only prospective application. Mr. Justice Clark's opinion for the Court outlined the history and theory of the problem in terms both of the views of the commentators and of the decisions in this and other courts which have reflected those views. It would be a needless exercise here to survey again a field so recently and thoroughly explored.
III.
Twining v. New Jersey was decided in 1908. 211 U. S. 78. In that case the plaintiffs in error had been convicted by the New Jersey courts after a trial in which the judge had instructed the jury that it might draw an adverse inference from the defendants’ failure to testify. The plaintiffs in error urged in this Court two propositions: “first, that the exemption from compulsory self-incrimination is guaranteed by the Federal Constitution against impairment by the States; and, second, if it be so guaranteed, that the exemption was in fact impaired in the case at bar.” 211 U. S., at 91. In a lengthy opinion which thoroughly considered both the Privileges and Immunities Clause and the Due Process Clause of the Fourteenth Amendment, the Court held, explicitly and unambiguously, “that the exemption from compulsory self-incrimination in the courts of the States is
The rule thus established in the Twining case was reaffirmed many times through the ensuing years. In an opinion for the Court in 1934, Mr. Justice Cardozo cited Twining for the proposition that “[t]he privilege against self-incrimination may be withdrawn and the accused put upon the stand as a witness for the state.” Snyder v. Massachusetts, 291 U. S. 97, 105. Two years later Chief Justice Hughes, writing for a unanimous Court, reiterated the explicit statements of the rule in Twining and Snyder, noting that “[t]he compulsion to which the quoted statements refer is that of the processes of justice by which the accused may be called as a witness and required to testify.” Brown v. Mississippi, 297 U. S. 278, 285. In 1937 the Court again approved the Twining doctrine in Palko v. Connecticut, 302 U. S. 319, 324, 325-326. In Adamson v. California, 332 U. S. 46, the issue was once more presented to the Court in much the same form as it had been presented almost 40 years earlier in Twining. In Adamson there had been com
In recapitulation, this brief review clearly demonstrates: (1) For more than half a century, beginning in 1908, the Court adhered to the position that the Federal Constitution does not require the States to accord the Fifth Amendment privilege against self-incrimination. (2) Because of this position, the Court during that period never reached the question whether the federal guarantee against self-incrimination prohibits adverse comment upon a defendant’s failure to testify at his trial.
Thus matters stood in 1964, when Malloy v. Hogan announced that the Fifth Amendment privilege against self-incrimination is protected by the Fourteenth Amend
IV.
- Thus we must reckon here, as in Linkletter, 381 U. S., at 636, with decisional history of a kind which Chief Justice Hughes pointed out “is an operative fact and may have consequences which cannot justly be ignored. The past cannot always be erased by a new judicial declaration.” Chicot County Drainage Dist. v. Baxter State Bank, 308 U. S. 371, 374. It is against this background that we look to the purposes of the Griffin rule, the reliance placed upon the Twining doctrine, and the effect on the administration of justice of a retrospective application of Griffin.' See Linkletter v. Walker, 381 U. S., at 636.
In Linkletter, the Court stressed that the prime purpose of the rule of Mapp v. Ohio,
No such single and distinct “purpose” can be attributed to Griffin v. California, holding it constitutionally impermissible for a State to permit comment by a judge or prosecutor upon a defendant’s failure to testify in a
As in Mapp, therefore, we deal here with a doctrine which rests on considerations of quite a different order from those underlying other recent constitutional decisions which have been applied retroactively. The basic purpose of a trial is the determination of truth, and it is self-evident that to deny a lawyer’s help through the technical intricacies of a criminal trial or to deny a full opportunity to appeal a conviction because the accused is poor is to impede that purpose and to infect a criminal proceeding with the clear danger of convicting the innocent. See Gideon v. Wainwright, 372 U. S. 335; Doughty v. Maxwell, 376 U. S. 202; Griffin v. Illinois, 351 U. S. 12; Eskridge v. Washington Prison Board, 357 U. S. 214. The same can surely be said of the wrongful use of a coerced confession. See Jackson v. Denno, 378 U. S. 368; McNerlin v. Denno, 378 U. S. 575; Reck v. Pate, 367 U. S. 433. By contrast, the Fifth Amendment’s privilege against self-incrimination is not an adjunct to the ascertainment of truth. That privilege, like the guarantees of the Fourth Amendment, stands as a protection of quite different constitutional values— values reflecting the concern of our society for the right of each individual to be let alone. To recognize this is no more than to accord those values undiluted respect.
Moreover, this reliance was not only invited over a much longer period of time, during which the Twining doctrine was repeatedly reaffirmed in this Court, but was of unquestioned legitimacy as compared to the reliance of the States upon the doctrine of Wolf v. Colorado, considered in Linkletter as an important factor militating against the retroactive application of Mapp. During the 12-year period between Wolf v. Colorado and Mapp v. Ohio, the States were aware that illegal seizure of evidence by state officers violated the Federal Constitution.
Empirical statistics are not available, but experience suggests that California is not indulging in hyperbole when in its amicus curiae brief in this case it tells us that “Prior to this Court’s decision in Griffin, literally thousands of cases were tried in California in which comment was made upon the failure of the accused to take the stand. Those reaping the greatest benefit from a rule compelling retroactive application of Griffin would be [those] under lengthy sentences imposed many years before Griffin. Their cases would offer the least like
V.
We have proceeded upon the premise that “we are neither required to apply, nor prohibited from applying, a decision retrospectively.” Linkletter v. Walker, 381 U. S., at 629. We have considered the purposes of the Griffin rule, the reliance placed upon the Twining doctrine, and the effect upon the administration of justice of a retrospective application of Griffin. After full consideration of all the factors, we are not able to say that the Griffin rule requires retrospective application.
The judgment is vacated and the case remanded to the Court of Appeals for the Sixth Circuit for consideration of the claims contained in the respondent’s petition for habeas corpus, claims which that court has never considered.
It is so ordered.
Ohio Rev. Code §§ 1707.01-1707.45.
Since 1912 a provision of the Ohio Constitution has permitted a prosecutor to comment upon a defendant’s failure to testify in a criminal trial. Article I, § 10, of the Constitution of Ohio provides, in part, as follows: “No person shall be compelled, in any criminal case, to be a witness against himself; but his failure to testify may be considered by the court and jury and may be the subject of comment by counsel.”
Section 2945.43 of the Revised Code of Ohio contains substantially the same wording.
The Supreme Court of California and the Supreme Court of Ohio have both considered the question, and each court has unanimously held that under the controlling principles discussed in Link-letter v. Walker, 381 U. S. 618, the Griffin rule is not to be applied retroactively in those States. In re Gaines, 63 Cal. 2d 234, 404 P. 2d 473; Pinch v. Maxwell, 3 Ohio St. 2d 212, 210 N. E. 2d 883.
As in Linkletter, the question in the present case is not one of “pure prospectivity.” The rule announced in Griffin was applied to reverse Griffin’s conviction. Compare England v. Louisiana State Board of Medical Examiners, 375 U. S. 411. Nor is there any question of the applicability of the Griffin rule to cases still pending on direct review at the time it was announced. Cf. O’Connor v. Ohio, ante, p. 286.
The precise question is whether the rule of Griffin v. California is to be applied to eases in which the judgment of conviction was rendered, the availability of appeal exhausted, and the time for petition for certiorari elapsed or a petition for certiorari finally denied, all before April 28, 1965.
See Linkletter v. Walker, 381 U. S. 618, 622-628.
For a recent commentary on the Linkletter decision and a suggested alternative approach to the problem, see Mishkin, The Supreme Court 1964 Term — Foreword: The High Court, The Great Writ, and the Due Process of Time and Law, 79 Harv. L. Rev. 56.
“We have assumed only for the purpose of discussion that what was done in the case at bar was an infringement of the privilege against self-incrimination. We do not intend, however, to lend any countenance to the truth of that assumption. The courts of New Jersey, in adopting the rule of law which is complained of here, have deemed it consistent with the privilege itself and not a denial of it. . . . The authorities upon the question are in conflict. We do not pass upon the conflict, because, for the reasons given, we think that the exemption from compulsory self-incrimination in the courts of the States is not secured by any part of the Federal Constitution.” 211 U. S., at 114.
As the Court pointed out in Adamson, 332 U. S., at 50, n. 6, this question had never arisen in the federal courts, because a federal statute had been interpreted as prohibiting adverse comment upon a defendant’s failure to testify in a federal criminal trial. See 20 Stat. 30, as amended, now 18 U. S. C. § 3481; Bruno v. United States, 308 U. S. 287; Wilson v. United States, 149 U. S. 60.
In the federal judicial system, the matter was controlled by a statute. See n. 7, supra.
See, e. g., Mr. Justice Black’s historic dissenting opinion in Adamson v. California, 332 U. S., at 68.
These values were further catalogued in Mr. Justice Goldberg’s opinion for the Court in Murphy v. Waterfront Comm’n, 378 U. S. 52, announced the same day as Malloy v. Hogan, 378 U. S. 1: “The privilege against self-incrimination 'registers an important advance in the development of our liberty — “one of the great landmarks in man’s struggle to make himself civilized.’” Ullmann v. United States, 350 U. S. 422, 426. [The quotation is from Griswold, The Fifth Amendment Today (1955), 7.] It reflects many of our fundamental values and most noble aspirations: our unwillingness to subject those suspected of crime to the cruel trilemma of self-accusation, perjury or contempt; our preference for an accusatorial rather than an inquisitorial system of criminal justice; our fear that self-incriminating statements will be elicited by inhumane treatment and abuses; our sense of fair play which dictates 'a fair state-individual balance by requiring the government to leave the individual alone until good cause is shown for disturbing him and by requiring the government in its contest with the individual to shoulder the entire load,’ 8 Wigmore, Evidence (McNaughton rev., 1961), 317; our respect for the inviolability of the human personality and of the right of each individual ‘to a private enclave where he may lead a private life,’ United States v. Grunewald, 233 F. 2d 556, 581-582 (Frank, J., dissenting), rev’d 353 U. S. 391; our distrust of self-deprecatory statements; and our realization that the privilege, while sometimes ‘a shelter to the guilty,’ is often ‘a protection to
See n. 12, supra.
See n. 2, supra.
California Constitution, Art. I, § 13.
See State v. Heno, 119 Conn. 29, 174 A. 181; State v. Ferguson, 226 Iowa 361, 372-373, 283 N. W. 917, 923; State v. Corby, 28 N. J. 106, 145 A. 2d 289; State v. Sandoval, 59 N. M. 85, 279 P. 2d 850.
In Wolf v. Colorado, 338 U. S. 25, it was unequivocally determined by a unanimous Court that the Federal Constitution, by virtue of the Fourteenth Amendment, prohibits unreasonable searches and seizures by state officers. “The security of one’s privacy against arbitrary intrusion by the police . . . is . . . implicit in ‘the concept of ordered liberty’ and as such enforceable against the States through the Due Process Clause.” 338 U. S., at 27-28.
See, for example, Scott v. California, 364 U. S. 471, where, as late as December 1960, only a single member of the Court expressed dissent from the dismissal of an appeal challenging the constitutionality of the California comment rule.
See Elkins v. United States, 364 U. S. 206, at 224-225 (Appendix).
See notes 2, 15, and 16, supra.
Dissenting Opinion
dissents for substantially the same reasons stated in his dissenting opinion in Linkletter v. Walker, 381 U. S. 618, at 640.
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