Document: 339 U.S. 349 70 S.Ct. 739 94 L.Ed. 906 UNITED STATESv.FLEISCHMAN. No. 98. Argued Dec. 15, 1949. Decided May 8, 1950. Rehearing Denied June 5, See 991, 1017. Mr. Philip B. Perlman, Sol. Gen., Washington, D.C., for petitioner. Messrs. O. John Rogge, Benedict Wolf, New York City, respondents. Chief Justice VINSON delivered the opinion of Court. 1 Respondent Fleischman is a member executive board an organization known as Joint Anti-Fascist Refugee Committee (hereinafter referred to association), which, during 1945 and 1946, was under investigation by House on Un-American Activities. In furtherance its investigation, issued subpoenas March 29, each members Helen R. Bryan, secretary association, demanding that they produce certain association's records in Committee's chamber April 4, 1946. other appeared date response but did not records. The thereupon reported were contempt body. After debate, voted direct Speaker certify report United States District Attorney legal action. 2 jointly indicted wilful default R.S. § 102,1 tried separately from others. Her defense, like Bryan,2 consisted part contention she could be guilty because quorum had been present when subpoena. trial court withdrew issue jury, holding 'as matter law, Activities Representatives validly constituted committee Congress, at time defendant's appearance.' Court Appeals Columbia reversed, one judge dissenting, 84 U.S.App.D.C. 388, 174 F.2d 519, ground presence respondent's appearance material question fact jury. also divided whether there sufficient evidence support conviction, majority sufficient. We granted writ certiorari, 338 846, 86, consider these important questions arising 102. 3 governed our decision this day v. 323, 724. Like respondent testified before return subpoena without making any suggestion lack quorum. That raised first trial, two years after her Committee, where given reasons failure documents. Under circumstances disclosed record, we think defense available her. 4 admissibility testimony likewise Bryan case held 859, 18 U.S.C. 3486, U.S.C.A. cannot read prevent introduction kind 5 There remains sufficiency verdict guilt case. record unsuccessful efforts over period four months obtain books papers association chairman secretary, which knowledge.3 Other introduced may reasonably taken establish following facts: Following attempts all sixteen commanding them appear chamber, served addressed 'a Committee.'4 power, acting jointly, Miss records, transfer custody documents some person, or remove office.5 But interval between issued, no meeting discuss compliance. A number met attorney's office 2, he gave typewritten statement Committee. 6 All who subpoenaed place specified subpoenas. No produced Each board, including respondent, handed identically worded statements prepared attorney. These read: 'I individually do have possession, custody, control requested upon me. books, rescords, correspondence are organization, custodian material. Since I either my described subpoena, am unable comply with your order them.' 7 Upon being questioned she, individually, would give consent production answer 'not pertinent'; decide only board. 8 charge 'appeared Congressional City Columbia, failed called subpoenas, power do, thereby wilfully made default.' As pointed out, joint individual members, together, them. It contended, however, (in respect different member) thus nonproduction resulted anything personally omitted do. 9 seems elementary manner duty requiring participation several persons performed combination performances. And conversely, perform such result ordered act together discharge their responsibilities. This necessarily conspiracy, premises agreement kind. One may, alone concert others, fail his task participation. 10 When accepts responsibility, directors corporation, governing municipality, position compliance lawful orders requires action responsible body member, assumes responsibility act, within limits so, bring about order. will avail nothing. If does can, punished recalcitrance Commissioners Sellew, 1879, 99 624, 627, 25 333. hold that, directed corporation common persons, comply, effectually organizations beyond reach legislative judicial commands. state courts considered matter6 adopted contrary view. Wilson States, 1911, 221 361, 31 538, 55 771, Ann.Cas.1912D, 558, Hughes stated proposition thus: 'A command effect those officially conduct affairs. they, apprised take appropriate performance corporate duty, less than itself, disobedience, contempt.' Id. page 376, 543. (Emphasis supplied.) supra.7 11 Nor distinction drawn involved while unincorporated association. Brown 1928, 276 134, 141—142, 48 288, 289, 72 500, makes it clear officers equally valid. right demand directing quite if officers. Cf. White, 1944, 322 694, 64 1248, 88 1542, 152 A.L.R. 1202.8 12 whether, introducing done identical quoted above reason noncompliance, Government has further burden proving well answers themselves satisfy requirement. For indicate clearly assumed personal anything. was, course, patent evasion demands. While stating deny, not, required jointly—the previous demands having avail—the completely irrelevant. 13 asked personally, permit access again evasion. She said: don't pertinent say what should week now.' 14 difficulty nor make up mind next week. arrived. so much hinted act. gathered received statements. informally elsewhere anteroom morning 4. slightest bent toward compliance, opportunities there. effect, time, party refusal records: 'Would you now, here (see records)?' respondent: 'That main thing, whole case.' answer. 15 argued, good faith Or perhaps ill out town immediately prior Granting excuses nonaction exist, must negative each, advance defensive matter? 16 fairly into play familiar doctrine criminal cases 'it incumbent prosecution adduce positive averment truth indicated established untrue, readily disproved probably possession control.' Rossi 1933, 289 89, 91—92, 53 532, 533, 77 1051, authorities cited. considerations govern Cardozo discussing similar question—the constitutionality statute shifted proof defendant. He 17 'The decisions manifold fairness lifted prosecutions cast substance these, shall proved enough just defendant repel excuse explanation, least balancing convenience knowledge shifting found aid accuser subjecting accused hardship oppression. '* * burden, experience teach inculpatory sinister significance or, times lacking, event manifest disparity opportunity knowledge, as, instance, general prohibition applicable every himself range exception. Greenleaf, Evidence, Vol. 1, 79.* list exhaustive. instances arisen develop future balance can redressed oppression through same procedural expedient. decisive too variable, distinctions degree, dependent last analysis sense estimate facilities proof, crowded formula. Once more adumbrate them; sharper definition await specific arises.' Morrison People State California, 1934, 291 82, 88—91, 54 281, 284, 78 664.9 19 situation, manifestly, serious practical handicap prove proposition—that failing try insofar able. possibilities circumstance wide defy inclusive rebuttal. On hand, affirmative oppressive undertake; relevant facts peculiarly knowledge. merely introduce steps took receiving action, tending omission. lose presumption innocence surrounds prosecution. continues operate until overcome reasonable doubt confused rule affecting proof. Wharton, Evidence (11th Ed.) §§ 199—204.10 20 Even though assume, therefore, inferences effort presented sustain defense. And, absence evidence, conclude adduced amply sustains conviction. escape remaining quiescent, hers valid then need refrain attempt none 'individually' action—or nonaction—of corporation. stratagem transparent shadow substance.11 21 emphasized dealing duties witnesses summoned obligations owed authority Senate person group designated authority. Reforms practices procedures committees vigorously demanded both Congress. understood expressing approval disapproval practices. remedy, needed, certainly destroy effective operation committees, necessary compel disclosure facts. sterile document flouted impunity. 22 advances contentions passed Appeals. time. judgment 23 Reversed. 24 DOUGLAS CLARK consideration BLACK, whom FRANKFURTER concurs, dissenting. 26 holds conviction agree. Whether depends primarily 102 duces tecum. My views differ drastically them, conclusions dictate, turning Court's opinion. 27 I. provides: 'Every witness Congress willfully default, deemed misdemeanor.' limited terms types congressional orders: (1) testimony, (2) papers. latter type here. 28 Refusal produce. complete him show control. tecum require 'to sue labor instrument another purpose afterwards himself. *' Munroe Cir., 216 F. 107, 111—112, L.R.A.1915B, 980, quoting Lord Ellenborough's Amey Long, East 473, 483; see discussion Notes, 980—985; 32 Am.St.Rep. 648. get others assist producing. Of course court, broad powers supplement commands calculated obstacles production. even disobedience supplementary bar contempt, Jurney MacCracken, 294 125, 375, 79 802, come scope Only importing does. agree cavalier expansion provision. 29 Prosecution far narrower proceeding notoriously punishment justifiable specifying precisely ordered.1 Certainly precise standard violation statute. Pierce 314 306, 310—311, 62 237, 239, 86 226. 30 Viewed light, unmistakably falls short disobeyed violated succeed establishing knew approximately produce, yet essential ingredient offense—that 4—remains unsubstantiated.2 contend except above, imposed prod initiate aimed production.3 Because documents, crime created set aside. II. dispute insufficient uphold Fleischman's principles outlined above. Rather constructs novel theory however plausible surface, stand detailed analysis. 33 chain reasoning hangs appears this: separate ordering 4; papers; cause production; task, might prevailed pass resolution forced produce; result; therefore properly convicted disobeying 34 intricate chain, crucial links entirely missing weak conviction: 35 A. foundation includes 'all can' papers.4 expands traditional boundaries, Part supra. precedent relied 36 333, approved issuance mandamus county commission specifically Kansas statutes. Such function mandamus. Seldom explicit. sharp contrast Fleischman, commissioners hazard guess mandate. Both mandate statutes told do.5 37 today's orders, getting relies dictum officials 'appropriate action' secure duty. dictum, context Wilson, president addressed, actual Appearing grand jury directors, refused denied so. resulting proceedings, prosecuting attorney complained 'in way nearly month.' many frequently indeed spent entire preceding there.6 view frequent prolonged appearances passing acquaintance how operates inconceivable 'one another' include oral forcing turn justify itself steps, became immaterial innocent, issues Wilson's guilt. Read context, affords whatever conclusion imposes amorphous Moreover, citation Sellew indicates commanded orders. Nothing interpreted supplanting, casting on, clearly, specifically, unequvocally order.7 38 Apparently discarding construe 'remove commands.' fear foundation. prosecuted 'aiding abetting' becomes principal offense similarly subject conspiracy provide grounds Thus sustained actually aided encouraged custodian's conspired accomplish result.8 rare instance sanctions seem unlikely always fall back arsenal enforced proceedings:9 call vote resolutions foster safely presumed capable escaping barrage brought line 'sterile' says 39 fact, new creates danger genuine allegedly avoids. proceedings tribunal decides punish flexibility exists applied prosecutions, sweeping requirement places unfair dilemma. Caution dictates 'sue labor' papers, great useless expense. counsels jury—and spoken know guessed right. 40 Not Fleischman—or, matter, anyone else-know encourage herself produce.10 41 upholds tenable, is, expected novelty, tried. An element judge's instruction find 'acted board' Court, attempting theory, substitutes involving problems evidence.11 persuade tried, concerning it. review exudes impression guilt, supports finding charge, Bollenbach 326 607, 614, 66 402, 405, 90 350. heed mandates forbidding appellate convictions materially Cole Arkansas, 333 196, 201—202, 68 St.Ct. 514, 517, 92 644. 42 C. heavily committee. expressly inadmissible provides house 'shall used against perjury committed giving testimony.' 346, 724, 738. 43 admissible, Weighty attached held. Suffice receipt relevance past charged, anyway. 44 Equally unwarranted inference denying refers statement, lawyer, 'patent evasion' committee's contrary, regard denial adequate surely, although counsel enter room, entitled advice qualified lawyer fact. 45 D. Power 102, indictment alleged 'each all' power. undeniably vital 46 policies activities suspend regular meeting.12 Assuming threat suspension, demonstrates prospective obedience potential accurately inferred supremacy barren complied 4th 47 own membership one-eighteenth board's official 'power,' considers fraction 'power' exercised meeting. showing meeting.13 understand 'power produce' criminally exercise solely imagined ability, unconnected capacity, cajole calling controlled 'policies activities' disproving allegation could' automatically saddled apply her.14 meeting, substantial influence bit arbitrary rejected Tot 319 463, 63 1241, 87 1519.15 directly bars use device shift convenient prosecutor. device, Government's verdict. 49 time-honored rule, charges, safeguard preservation liberty governmental sacrificed single whose plainly prove. 50 flaws, break. With four, collapses. affirmed. 51 FRANKFURTER, 52 Any 'willfully default' obeying has, ever since 1857, federal offense. Act January 24, Stat. 155; amended Resolution 22, 1938, 942, now 192, 192. prosecuted. put prosecution: 'If indirectly, dominion for, acted throughout point, guilty, elements hereinafter doubt.' 'other element' bears court's explanation 'willfully' means 'deliberate intentional.' count charging conspiring willful inappropriate expansive admitted admissible sufficed dismissed Fleischman. careful study compels Edgerton, J. conveyed tried: 'Appellant contradiction express willingness unwillingness produced.8 occur Executive Board appellant one. Long appellant, determined ratified Board. government 'In taking combined withhold peril.' able suggested Board, complied. committeeroom do.' 390, 521. non-action producing believe penal words receive everyday speech.' McBoyle 283 25, 26, 340, 75 816, Roschen Ward, 279 337, 339, 336, 73 722. language normal meaning English speech, surely conveys thought tie non-production attributed. system punitive justice warranted actively passively 56 imply relaxation exercising testimonial compulsion. McGrain Dautherty, 273 135, 319, 71 580, 1. requirements process. terms, defined charged doubt. 57 convened asking procedure 370-371, 540, 558. Had subjected proceeding. prosecuted, Judge Edgerton acquittal directed. 155, amended, inquiry House, concurrent Houses who, appeared, refuses inquiry, misdemeanor, punishable fine $1,000 $100 imprisonment jail month twelve months.' 323; December 14, 1945, condemning consult protecting minutes February 11, instruct Dr. Barsky participate actions, actions thereto shown attendance March, 13, talked matter. Mrs. follows: 'Copy, By Authority America, 'To Sergeant-at-Arms, His Special Messenger: 'You hereby summon Ernestina G. 'Voice Fighting Spain,' Columbus Avenue, Honorable S. Wood chairman, ledgers, relating disbursement money account subsidiary subcommittee thereof, memoranda communications whatsoever foreign countries. said herein city hour a.m., testify touching matters Committee; (she) depart leave 'Herein summons. defective name 558 distinguished ground. clearer notifying serve her, capacity explicit implicit Chairman: isn't higher board? 'Mrs. Fleischman: policy, direction highest authority? Yes. Now, board—you now? willing, concerned, willing subpoena? board.' very question. applications principle analogous situation noncompliance mandamus, ex rel. Gulf Life Ins. Co. Live Oak, 1936, 126 Fla. 132, 170 So. 608; Littlefield Town Adel, 1921, 151 Ga. 684, 108 S.E. 56; Smith Lott, 1923, 156 590, 119 400, 145; McCulloch State, 1910, Ind. 525, N.E. 543; Middle Utilities Osceola, 1942, 231 Iowa 462, N.W.2d 643; Kentucky Culvert Mfg. Elliott County Fiscal 1931, 239 Ky. 797, S.W.2d 375; Minneapolis Street Co., 154 Minn. 401, 191 N.W. 1004; Heather Palmyra, 1927, 317 Mo. 1320, 298 S.W. 750; Commonwealth Schmidt, 1926, 287 Pa. 150, 134 478; Butler Pittsburgh, H., & N.C.R. 1929, 347, 148 504. distinguishable according counsel, supplemented word inference. jury's presentment obey 'for dated October 28, 1910.' Vide following: Court: What precisely? 'Mr. Wise (Government Counsel): Grand Jury presents gentlemen notice defiance process *.' argument refuted full import representative: Rogge (counsel respondent): Let's look again, 83 127, 167 241, 251). action; free propagandist go action— (interposing): takes responsibilities flow along Rogge: that. shows down Ernestina, here, sort taken, footnote reads: 'Instances application cited profusion. follow typical examples: King Turner, Maule Sel. 206, game whereby generally crime, special qualifications (cf. Yee Hem 268 178, 470, 69 904, supra; Spieres Parker, T.R. 144, per Mansfield); Fleming People, N.Y. 329, bigamy, where, contracted second marriage lifetime wife, laid exceptional lawful; finally Potter Deyo, Wend. (N.Y.), 363, Turner (D.C.), 266 248 (typical host others) license business profession otherwise illegal. Hayward, Fed.Cas. 240, 15,336; Com'rs Excise Auburn Merchant, 103 143, 484, Am.Rep. 705.' Williams 1943, 147, 138 81, 153 1213. 1519, creating presumpton firearms previously violence interstate commerce July 30, 'inconsistent experience.' 468, 1245. buttressed ordinarily boards corporations associations charges. removed home, five because, noted opinion: 'On behalf declined surrender They day, (i.e. subpoenas) constituting letterpress copy Federal jury." 371, 540. Again, contrasting stated: assert (the corporation's) part; antagonism attitude shown. urged solicitude writ. formal delivery jury.' 542. considering practice contempts, cases, obtains; doubt; compelled Gompers Bucks Stove Range 418, 444, 492, 499, L.R.A., N.S., 874; Goldman, 277 229, 235—236, 486, 487, 488, 862; Michaelson Chicago, St. P., M. O.R. 1924, 42, 67, 18, 20, 162, 451. tries fails 'empty gesture' overlooks successful. difference note 10, components discussed II (A) (D) infra. offset deficiency rerequired irrelevant noted, entity implies not. former sufficiently tells exactly do; tell case, recipient justified. entity, utterly Therefore, treat issued. string inapplicable reason. position. Unlike individually. See, e.g., McFarland 295 648, 650: 'Certainly violating order, specific, uncertainty minds addressed.' Berry Midtown Service Corp., 104 111, 122 1341, National Labor Relations Merchandise 949, 952. Learned Hand, characterizes 'cardinal' 'no definitely prescribe enforcement decree, Terminal R.R. Ass'n Louis 17, 150. conspiracy. dismissed. 'aider abettor,' submitted charge. affirming, suggest else. upheld existing doctrines inadequacy convicting proven. indication prospect fostering undefined empty gesture. change theories bench judge. alter comes committee, inadmissible. intimates 2d, informal gathering elsewhere. prosecutor labored valiantly visited attended effort. Despite repeated witnesses, evoked indicating saw communicated chambers, strange wanted, itself. event, 'opportunity' equated intimating sharply contrasts officials, crimes associates participated. startling innovation laws country. Brotherhood Carpenters Joiners America 330 395, 406—407, 67 775, 781, 91 973. collected 787; L.R.A.,N.S., 333; Ann.Cas. 383. minimum justification most insignificant 'does can,' custodian. Experience premise; loose-jointed structure nonprofit know, wholly subordinate chairman. 'many significant respects' obviously corporations. 697, 1251, 1202. 664, 'presumption' retroactively basis produce,' mere substitute "The Fleischman; going ask permission. requesting books. Will us not? So us? "Mrs. opinion, Chairman. thing discuss, now. meeting.' nothing else nearer supporting expressed

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