Rinaldi v. United States
Opinion of the Court
Petitioner’s participation in a plot to rob safe-deposit boxes of the Doral Beach Hotel in Miami Beach, Fla., violated the laws of both the State of Florida and the United States. He has been tried, convicted, and sentenced to imprisonment by both sovereigns. He claims that his federal conviction was obtained in violation of established federal policy against multiple prosecutions for the same offense and, for that reason, should be set aside. The Solicitor General agrees and submits that the Court should summarily “vacate the judgment of the court of appeals and remand the case to the district court with instructions to dismiss the indictment.”
In February 1973, petitioner was charged with state offenses arising out of the Doral Beach Hotel robbery.
On appeal to the United States Court of Appeals for the Fifth Circuit, petitioner argued that his conviction had been obtained in violation of a longstanding federal policy against multiple prosecutions for the same act. See Petite v. United States, 361 U. S. 529, 530 (1960).
The Government then filed a motion to dismiss the indictment pursuant to Fed. Rule Crim. Proc. 48 (a).
A divided panel of the Fifth Circuit affirmed, In re Washington, 531 F. 2d 1297 (1976). The Court of Appeals then granted a petition for rehearing en banc and, by a vote of 7 to 6, reaffirmed the panel’s holding. In re Washington, 544 F. 2d 203 (1976). All members of the court agreed that the Government’s motion to dismiss was timely,
The majority was of the view that the Government’s unclean hands gave the District Court adequate reason to deny it relief,
The policy described in the Petite case limits the federal prosecutor in the exercise of his discretion to initiate, or to withhold, prosecution for federal crimes. The policy is useful to the efficient management of limited Executive resources and encourages local responsibility in law enforcement.
In this respect, the policy represents the Government’s response to repeated expressions of concern by Members of this Court. In United States v. Lanza, 260 U. S. 377, 383 (1922), for example, Mr. Chief Justice Taft quoted the following passage from Fox v. Ohio, 5 How. 410, 435 (1847):
“It is almost certain, that, in the benignant spirit in which the institutions both of the state and federal sys-*28 terns are administered, an offender who should have suffered the penalties denounced by the one would not be subjected a second time to punishment by the other for acts essentially the same, unless indeed this might occur in instances of peculiar enormity, or where the public safety demanded extraordinary rigor.”
What has come to be known as the Petite policy was formulated by the Justice Department in direct response to this Court’s opinions in Bartkus v. Illinois, 359 U. S. 121 (1959), and Abbate v. United States, 359 U. S. 187 (1959), holding that the Constitution does not deny the State and Federal Governments the power to prosecute for the same act. As these decisions recognize, in our federal system the State and Federal Governments have legitimate, but not necessarily identical, interests in the prosecution of a person for acts made criminal under the laws of both. These cases reflect the concern that if the Double Jeopardy Clause were applied when the sovereign with the greater interest is not the first to proceed, the administration of criminal justice may suffer. Bartkus v. Illinois, supra, at 137; Abbate v. United States, supra, at 195. Yet mindful of the potential for abuse in a rule permitting duplicate prosecutions, the Court noted that “[t]he greatest self-restraint is necessary when that federal system yields results with which a court is in little sympathy.” Bartkus v. Illinois, supra, at 138.
In response to the Court’s continuing sensitivity to the fairness implications of the multiple prosecution power, the Justice Department adopted the policy of refusing to bring a federal prosecution following a state prosecution except when necessary to advance compelling interests of federal law enforcement.
Here, the Government filed a motion under Fed. Rule Crim. Proc. 48 (a) seeking “leave of court” to dismiss the federal charges against petitioner. Under the standard applied by the Court of Appeals, the District Court was empowered to withhold leave if the Government’s decision to terminate this prosecution clearly disserved the public interest. United States v. Cowan, 524 F. 2d 504, 513 (CA5 1975).
It was, therefore, an abuse of the discretion of the District Court to refuse to grant the Government’s motion on the ground that the violation of the Petite policy in this case resulted from prosecutorial misconduct rather than inadvertence. The motion for leave to proceed in forma pauperis and the petition for writ of certiorari are granted. The judgment is vacated, and the case is remanded to the District Court for the purpose of dismissing the indictment.
It is so ordered.
Memorandum for United States 9.
The state offenses were conspiracy to commit robbery, conspiracy to commit grand larceny, and carrying a concealed weapon.
Section 1951 provides in part:
“(a) Whoever in any way or degree . . . affects commerce ... by robbery ... or conspires so to do . . . shall be fined not more than $10,000 or imprisoned not more than twenty years, or both.”
He was sentenced to concurrent terms of five years’ imprisonment on the conspiracy to commit robbery and grand larceny counts and a consecutive term of one year’s imprisonment on the weapons count. On the State’s confession of error, petitioner’s conviction of conspiracy to commit grand larceny was reversed on appeal. His convictions on the other two counts were affirmed. See Scaldeferri v. State, 294 So. 2d 407 (Fla.
The Petite policy is most frequently applied against duplicating federal-state prosecutions. As stated by the Department of Justice, under that policy a federal trial following a state prosecution for the same act or acts is barred “unless the reasons are compelling.” A United States Attorney contemplating a federal prosecution in these circumstances is required to obtain authorization from an appropriate Assistant Attorney General. In this case, the Justice Department official who instructed trial counsel to insist upon a retrial had not obtained the requisite approval.
But, as the Petite case itself illustrates, the policy also encompasses successive federal prosecutions arising out of the same transaction. In that case, the Solicitor General represented that “it is the general policy of the Federal Government ‘that several offenses arising out of a single transaction should be alleged and tried together and should not be made the basis of multiple prosecutions, a policy dictated by considerations both of fairness to defendants and of efficient and orderly law enforcement.’ The Solicitor General on behalf of the Government represents this policy as closely related to that against duplicating federal-state prosecutions, which was formally defined by the Attorney General of the United States in a memorandum to the United States Attorneys. (Department of Justice Press Release, Apr. 6, 1959).” 361 U. S., at 530-531.
Rule 48 (a) states:
“The Attorney General or the United States attorney may by leave of court file a dismissal of an indictment, information or complaint and the prosecution shall thereupon terminate. Such a dismissal may not be filed during the trial without the consent of the defendant.”
See n. 5, supra.
The prior-authorization requirement in the Petite policy ensures that the Department of Justice will normally make the “compelling reasons” determination prior to commencement of the federal prosecution. On occasion, however, a prosecution is initiated and a conviction obtained in violation of the policy. When the Solicitor General has discovered such a violation in a case pending before this Court, he has sought to remedy it by moving to have the case remanded to allow the Government to dismiss the indictment. Exercising our power to afford relief which is “just under the circumstances,” 28 U. S. C. § 2106, we have granted the Government’s motion on several occasions. See Watts v. United States, 422 U. S. 1032 (1975); Ackerson v. United States, 419 U. S. 1099 (1975); Hayles v. United States, 419 U. S. 892 (1974); Cf. Redmond v. United
The majority described the Government’s bad faith in the following terms:
“In this case, an unidentified, but responsible, official within the Department authorized a federal prosecution with full knowledge that such a prosecution was forbidden by the Petite Policy. For the Government to attempt to dismiss by arguing that no compelling reason now exists for a separate federal conviction, when the considerations that allegedly imply a lack of 'compelling reason’ were known as fully to the Government throughout both federal trials as now, does, for this court, constitute bad faith.” 544 F. 2d, at 208.
The majority stated:
“The fact that the Justice Department is now reconsidering its original decision to prosecute does not vest defendants with any right to have an otherwise valid conviction dismissed. . . . While a determination of such a motion obviously affects defendants, it is not a defendant’s interest in avoiding a validly obtained conviction that we weigh in our examination of the propriety of . . . [the District Court’s] order.” Id., at 209.
They stated:
“[T]he withholding of leave [to dismiss] in this case was not justified. The motive of the prosecutor in moving for dismissal was based upon the Petite Policy which is not contrary to the public interest. The prosecutor may have acted in the conduct of the entire litigation in a manner not consistent with the public interest, but his motion to dismiss should not be tainted with that prior activity.” Id., at 213 (emphasis in original).
The dissenters also questioned the logic of the majority’s “bad faith” rationale:
“[I]n what has been determined and, indeed, confessed to have been bad faith, the government persisted in a prosecution and obtained, as a result of that bad faith, convictions. The majority holds today that, in order not to 'invite future misconduct by the Government,’ we insist that the government be rewarded with the very convictions that it obtained through bad faith prosecutions and, we deny government counsel the right at long last to recant and in good faith dismiss the indictment.” Id., at 210-211.
In announcing the policy, Attorney General Rogers stated:
“Cooperation between federal and state prosecutive officers is essential if the gears of the federal and state systems are to mesh properly. We should continue to make every effort to cooperate with state and local authorities to the end that the trial occur in the jurisdiction, whether it be state or federal, where the public interest is best served. If this be determined accurately, and is followed by efficient and intelligent cooperation of state and federal law enforcement authorities, then consideration of a second prosecution very seldom should arise.” Dept, of Justice Press Release, Apr. 6, 1959, p. 3.
At the heart of the policy announced by Attorney General Rogers was the statement:
“It is our duty to observe not only the rulings of the Court but the
“Applied indiscriminately and with bad judgment it, like most rules of law, could cause considerable hardship. Applied wisely it is a rule that is in the public interest. Consequently — as the Court clearly indicated — those of us charged with law enforcement responsibilities have a particular duty to act wisely and with self-restraint in this area.” Ibid.
The words “leave of court” were inserted in Rule 48 (a) without explanation. While they obviously vest some discretion in the court, the circumstances in which that discretion may properly be exercised have not been delineated by this Court. The principal object of the “leave of court” requirement is apparently to protect a defendant against prosecu-torial harassment, e. g., charging, dismissing, and recharging, when, the Government moves to dismiss an indictment over the defendant’s objection. See, e. g., United States v. Cox, 342 F. 2d 167, 171 (CA5), cert. denied, sub nom. Cox v. Hauberg, 381 U. S. 935 (1965); Woodring v. United States, 311 F. 2d 417, 424 (CA8), cert. denied, sub nom. Felice v. United States, 373 U. S. 913 (1963). But the Rule has also been held to
In reaching a contrary conclusion, the Court of Appeals relied heavily on the remarks of a Government attorney during oral argument. Attempting to rebut the charge that the “responsible person” in the Justice Department who authorized this prosecution showed bad faith by not seeking the approval of the Attorney General, the Government attorney apparently contended it would be proper to continue a federal prosecution until the integrity of a prior state conviction was assured and then to seek dismissal of the federal charges. If counsel’s argument represented the position of the United States, it would indeed mark a departure from
The Court of Appeals thought it necessary to deprive petitioner of the policy’s benefit in order to deter future misconduct by Government attorneys. As did the dissenters below, we fail to see how rewarding those responsible for the Petite policy violation with a conviction serves to deter prosecutorial misconduct. Indeed, a result which leaves intact a conviction obtained through a prosecution tainted by bad faith may encourage repetition of the impropriety disclosed by the record in this case.
Dissenting Opinion
with whom Mr. Justice White joins, dissenting.
In Watts v. United States, 422 U. S. 1032 (1975), this Court, with three Justices dissenting, remanded a federal criminal case with instructions to dismiss the indictment because of the concession of the Solicitor General that the Justice Department had accidentally violated its own Petite policy. See also Ackerson v. United States, 419 U. S. 1099 (1975); Hayles v. United States, 419 U. S. 892 (1974). Whatever may be the propriety of our assisting in the enforcement of the Justice Department’s internal Petite policy, the Court today places its imprimatur on a quite different and unsettling prosecu-torial policy. Under this new policy, the Government prosecutes under federal laws individuals who have already been tried and convicted of violating similar state laws in order to protect against the possibility of the state convictions’ being reversed on appeal, but the policy contemplates that the federal prosecutions will be dismissed, even after entry of guilty verdicts, if the state convictions are ultimately affirmed. According to the Court of Appeals:
“[T]he Government attorney conceded that a ‘responsible person’ within the Department of Justice . . . was aware*33 that the Petite Policy was being violated through its prosecution of defendants, but nevertheless, out of his fear that the state convictions would be reversed on appeal, instructed the trial attorney to proceed with the case; only after a Florida appellate court affirmed the state convictions and after defendants raised the Petite Policy on appeal did the Government move for dismissal. . . . [According to the Government attorney], the position of the Department of Justice is not that the prosecution should never have been brought, but that once the state convictions had been affirmed the Government could properly have moved to dismiss the federal indictment against defendants. Indeed,, he states that had permission to prosecute been sought from an Assistant Attorney General by the ‘responsible person’ in charge of the case, it might well have been given and hence, there would have been no violation of the Petite Policy. Had that event occurred, ... it would have then been absolutely proper, once the Florida appellate court affirmed the state conviction on appeal, for the Department of Justice to rescind, retroactively, its authorization of the prosecution and now, finding the Petite Policy to have been violated by a federal trial for an offense for which a state prosecution was made, to seek a dismissal based on this violation of the policy and the interest against duplicitous prosecutions that it seeks to promote.” In re Washington, 544 F. 2d 203, 207.*
In the past, the Court has ordered indictments dismissed upon the Government’s concession that it violated its own Petite policy without discussing the justification for its action. Here, in its first full opinion on the subject, the Court again fails to enunciate why federal courts must reverse a valid conviction because of the Government’s admission of administrative error not going to the guilt or innocence of the defendant. Cf. Watts, supra, at 1032-1038 (Burger, C. J., dissenting). The apparent inability of the Court to agree on a rationale for enforcing the Government’s Petite policy at its request suggests that this case is inappropriate for summary disposition and should be set for full argument.
The Solicitor General does not contradict or repudiate the position of the Government attorney who argued before the Court of Appeals. Under such circumstances, this Court should not casually reject the Court of Appeals’ understanding of the position of the Department of Justice in this case, an understanding that the dissenters there apparently shared. According to the Solicitor General, when the Government’s appellate counsel was informed that the prosecutor had not strictly followed the Justice Department’s Petite policy, further consideration was given to the case within the Department and “it was determined that there were no com
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