Document: 28 L.Ed.2d 434 91 S.Ct. 1041 401 U.S. 715 UNITED STATES, Petitioner,v.UNITED STATES COIN AND CURRENCY, etc. No. 5. Argued Feb. 25—26, 1969. Reargued Oct. 20, 1970. Decided April 5, 1971. Syllabus The United States brought this action for the forfeiture of money in possession one Angelini when he was arrested failing to register as a gambler and pay gambling tax required by 26 U.S.C. §§ 4411, 4412, 4901. Having found that had been used violation those laws, District Court ordered under § 7302. After Appeals affirmed, case remanded further consideration light Court's subsequent decisions Marchetti v. States, 390 39, 88 697, 19 889, Grosso 62, 709, 906, which held gamblers Fifth Amendment right remain silent despite statutory requirement they submit reports could incriminate them. thereafter money's return, having concluded assert his privilege. Government contends (1) Marchetti-Grosso rationale is inapplicable 7302 proceedings because provision 'any property intended use violating * internal revenue laws' subject regardless owner's guilt, (2) should not be given retroactive effect. Held: 1. privilege may properly invoked since statutes, viewed their entirety, are intened penalize only persons significantly involved criminal enterprise. Pp. 717—722. 2. rule has effect proceeding 722—724. 393 F.2d 499, 7 Cir., affirmed. Jerome M. Feit, Washington, D.C., petitioner. Anna R. Lavin, Edward J. Calihan, Jr., Chicago, Ill., respondent. Mr. Justice HARLAN delivered opinion Court. 1 Donald convicted related federal law, 4901, instituted obtain $8,674 at time arrest. Northern Illinois being bookmaking operation these laws provides: 2 'It shall unlawful have or possess any provisions no rights exist such property. *' 3 When we granted certiorari, sub nom. 204, 899, 1035, our 889 (1968), 906 precluded conviction who against self-incrimination ground failure comply with aspects law. A unanimous panel might return seized money. Coin & Currency Amount $8,674.00, 499 (7 1968). Since Sixth Circuit subsequently came opposite conclusion,1 Government's petition certiorari present case, 949, 89 375, 21 361 order resolve conflict. first argued 1968 Term reargued current Term. We now affirm decision below. 4 principal argument turns upon an exceedingly narrow construction Grosso. In cases, took pains make it clear way doubted power assess collect taxes on activities. It method Congress adopted collecting raised question. statute commanded special registration statements returns contained information well them many circumstances. Because risk substantial, defense prosecution charging file forms. collection constitutional objection, indicated remained free due so long did attempt punish taxpayer require documents. 5 relies heavily fact 'a claim precludes premised tax.'2 (Emphasis supplied.) argues just civil action, also initiate proceedings—which formally nature—without offending But Boyd 116 616, 634, 68 524, 534, 29 L.Ed. 746 (1886), makes clear, 'proceedings purpose declaring man's reason offences committed him, though form, nature criminal' purposes. From relevant standpoint there difference between man 'forfeits' illegal activities pays 'criminal fine' result same course conduct. both instances, liability predicated finding wrongful conduct; applies equal force. See One 1958 Plymouth Sedan Pennsylvania, 380 693, 700, 85 1246, 1250, 14 170 (1965). 6 does seriously contend otherwise. Instead places great emphasis peculiar authorized Boyd, told, concerned forfeitures imposed 'by by' owner. U.S., S.Ct., 534. however, guilt owner irrelevant. statute, noted, simply authorizes confiscation laws'; possessed requisite intention. If, example, left bookmaker's office without know would take place there, reads permitting if can shown bookmaker Angelini's wagering Since, view, innocence actual irrelevant 7302, urges considered 'criminal' If were writing clean slate, operates deprive totally innocent people hardly compelling. Although true specifically state its participated enterprise, readily infer different meaning. Cf. Morissette 342 246, 72 240, 96 288 (1952). However, past recognized, centuries history support statutes similar extraordinarily broad scope. Goldsmith Jr.-Grant Co. 254 505, 41 189, 65 376 (1921); Ford Coupe, 272 321, 47 154, 71 279 (1926). Traditionally, actions proceeded fiction inanimate objects themselves guilty wrongdoing. Dobbins's Distillery 395, 399—401, 24 637 (1878); Palmyra, 12 Wheat. 1, 14, 531 (1827). Simply put, theory object 'guilty,' forfeit. words medieval English writer, 'Where killeth another sword John Stile, forfeit deodand, yet default owner.'3 modern direct descendants heritage, searchingly Holmes brilliant chapter book, Common Law.4 rem itself formal More remarkable, complaint charges commission actionable wrong.5 8 appear then contention regarding do several rendered courts appeals.6 before distinguish even begin convince, satisfied sweep, raise serious questions portion commands person 'deprived property, process law; nor private taken public use, compensation.' Even Blackstone, known biting critic legal tradition, condemned seizure based 'superstition' inherited from 'blind days' feudalism.7 And recognized difficulty reconciling scope traditional doctrine requirements Amendment. See, e.g., supra. 1936 Model V-8 DeLuxe Coach, 307 219, 236—237, 59 861, 869—870, 86 1249 (1939). 9 need pursue inquiry once again, think fails score. For language cannot understood considering terms other regulate proceedings. An express permits prove Secretary Treasury 'forfeiture incurred willful negligence intention part petitioner violate law *.' 1618.8 Upon showing, 'upon conditions deems reasonable just.' presumed will conscientiously fulfill trust, intervened petitioner's protests gone unheeded. Edwards, 368 722 (CA4 1966); Cotonificio Bustese, S.A. Morgenthau, 74 App.D.C. 13, 121 884 (1941) (Rutledge, J.). manifest impose penalty enterprise.9 follows Marchetti, Amendment's proceedings.10 II 10 next event retroactively applied govern seizures taking handed down January 29, 1968. said reliance earlier Kahriger Lewis,11 upheld validity requirements, '$6,686,098.22 worth 7302.' Brief 32—33. Solicitor General concedes, figure overestimates stake retroactivity question 'there reliable statistics indicating what percentage (of seized) eventually returned claimants' rpoved Id., 33. Nevertheless, some litigation anticipated reclaim new limited. 11 agree. Unlike decisions, here implementation procedural undermine basic accuracy factfinding trial. Linkletter Walker, 381 618, 1731, 601 (1965); Tehan ex rel. Shott, 382 406, 459, 15 453 (1966); Johnson New Jersey, 384 719, 1772, 16 882 Stovall Denno, 388 293, 87 1967, 18 1199 (1967). Rather, dealt kind conduct constitutionally punished instance. These cases position face statute's command absence waiver right, prosecuted all. Given aim rule, seems must undergo relatively insignificant inconvenience defending lawsuits anticipated. Indeed, conclusion fortiori mandating application rules substantially improve trial.12 employ trial meant significant chance men wrongfully past. us, impeccable procedures legitimate verdict decreeing forfeiture, penalized immune punishment. No circumstances call more invocation complete retroactivity.13 13 Affirmed. BLACK concurs judgment far goes. He go overrule (1965), progeny. BRENNAN, concurring. I join dissent us hold continue indefinitely enforce penalties individuals temerity engage protected Bill Rights day protected. Any holding than cases. 17 Frank recognition possible impact administration justice led establish guidelines determine 'constitutional procedure.' 296, 1969, '(e)ach procedure own distinct functions, background precedent, justice,' 'retroactivity nonretroactivity automatically determined Constitution dictate based.' 728, 1778, (1966). although '(t)he extent practice infects integrity truth-determining 'question probabilities," 298, 1970, quoting 729, general matter '(w)here major overcome aspect impairs truthfinding function raises about verdicts trials, rulr effect.' Williams 646, 653, 1148, 1152, 388. 'Neither good-faith authorities prior accepted practice, severe sufficed prospective circumstances.' Ibid.* reasoning underlies clear. Federal have, course, interest evenhanded enforcement sanctions desire prohibit. By definition 'new procedure' casts doubt government certain conduct, but legitimacy engaged Of upholding unconstitutional system procedure. accepting results reached uphold future. Notwithstanding retains sanctioning Accordingly, cast substantial reliability determinations denied where contrary 'impose burden retrials) judicial system(s) while serving neither redress knowing violations (constitutional rights) protect class punishing.' 664, 1158 (Brennan, J., concurring result); see Desist 394 244, 1030, 22 248 (1969). punishing wrongdoing, cf. Thompson Louisville, 362 199, 80 624, 654 (1960), proportion convictions obtained protections, full 1152. beyond sanction prohibit prevent continuing imposition date decision. guilt-determining process. irrelevant, establishes peradventure Ex parte Siebold, 100 371, 376—377, 25 717 (1880). longer it. seeks explain view after declared individual prohibit, 'interest maintaining demonstrating defy impunity' Post, 735. This argument, nothing whatever exalts merely judges approving punishment lese-majeste asserting frequent reiteration usual mode challenging expected adjudication challenge proceeding, see, Douglas City Jeannette, 319 157, 163, 63 877, 880, 1324 (1943); Dombrowski Pfister, 479, 484—485, 1116, 1119—1120, difficult how amounts flat statement impunity. 20 today means says, follow Virginia keep jail interracial married couples whose offense cohabitation within State, Loving Virginia, 1817, 1010 (1967); Arkansas still discharge school teachers taught evolution struck Epperson Arkansas, 97, 266, 228 (1968). dissenters never action. distinction bar, self-incrimination, rather First Fourteenth Whatever relevance source determining affects trial, justification allowing greater vindicate nonexistent enforcing punishes assertion right. APPENDIX TO OPINION OF CONCURRING Our show little deviation principle affect will, general, applied. (1966), Griffin California, 609, 1229, 106 serve adjunct truth. 414—415, n. 12, 464—465, Murphy Waterfront Comm., 378 52, 55, 84 1594, 1596, 678 (1964). noted primarily 'an ascertainment truth,' 416, 465, emphasized would, concerned, 'have devastating elaboration.' 419, 467. Similarly, Escobedo Illinois, 478, 1758, 977 (1964), Miranda Arizona, 436, 1602, 694 notwithstanding principles announced guard possibility unreliable confessions. 730, 1779. strict pre-Miranda standards available desiring test admissibility confessions, ibid., pointing out processes. 731 732, 1779—1780. (1967), Wade, 218, 1926, 1149 Gilbert 263, 1951, 1178 uncertainty frequency actually injustice, availability standard remedy least injustices, 'unusual force countervailing considerations.' 299, Finally, DeStefano Woods, 392 631, 2093, 1308 Duncan Louisiana, 391 145, 1444, 491 Bloom 194, 1477, 522 respectively afford defendants jury demand extends trials contempts. As Duncan, likelihood bench whole, unfair, reopen every crime. 633—634, 2095—2096. Bloom, 'the belief contempt often occur very judge allegedly contemptuous behavior, fairly tried guilt.' 2096. firm tradition nonjury combined adverse justice, persuade prospectively only. 634—635, addition, hesitant reverse involvement judge. Mayberry 400 455, 27 532 (1971), cited. Examination therefore, indicates all save DeStefano/Bloom, regarded small noncompliance resulted injustice Moreover, DeStefano/Duncan, alternative methods demonstrate feared resulted. Taken combination, factors lead me conclude discussed Appendix undercut proposition issue. 23 WHITE, whom THE CHIEF JUSTICE, STEWART, BLACKMUN join, dissenting. None violated begun Internal Revenue Code, failed tax; default; Kahriger, 345 22, 73 510, 97 754 (1953), Lewis 348 75 415, 99 475 (1955), obligation compulsory proscribed afforded either charge refusal offenses. affirmance Appeals, intervened. overruled. Obligatory filing payment violative followed claims benefit Marchetti-Grosso. set aside will. stand unless otherwise commands. specifically, empowered compelled give application. firmly settled interpretation retrospectively 388, much. They squarely sweep newly doubts factual previous nonobservance convictions, involving arguments interests judgments. So far, apparently agreement. disposition case. majority's simple: apply casting verdicts, decisions—expressly Court—hold surely, argued, approach beguiling verbalism. There register, returns, suggestion instant unfair departed controlling norms. insight whether acts giving rise employed acted charged; rather, immune. it, always invalidating grounds substantive statute. defining void ab initio. 30 fail find command, implied, Constitution. Nor care reaches. embrace says means. deny interpretations valid disregarded. making criminal, invalidated here, formerly regularly affirmed over explicit challenge. am prepared agree proposition. 31 Had registered paid interstate crime, admissions presumptively evidence admissible Lewis. Marchetti-Grosso, complained evidence, 1780, surely denial relief review collateral relief. 32 upset filed him prosecution, implement reading applying tax. Mackey 667, 1160, 404, predicate Mackey's admissions—that tax, issue controlled Lewis, better argue successfully invalid decided ignore called 'compelled' incriminating admissions. To urge destroyed forbade reassert assume implementing Amendment, using fruits compliance funds validly accurately forfeited consistent Relief remove judged exercise privilege, occurred then-controlling breach duty legally bound perform. III 33 countenance wholly censures acts, surrenders deterring delinquents generally engaging particular form unobjectionable behavior. remains Clearly, demise unwise so. insubstantial forbids State behavior conduct? not. 34 old legislatures my answer novel, context repeal court overruling respect constitutionality 35 common attached retrospectivity Absent guidance, judge-made finally received rule; abated pending prosecutions reversal appeal changed. Chambers, 291 217, 54 434, 78 763 (1934); Massey 608, 532, 1019 Tynen, Wall. 88, 153 (1871); Yeaton Cranch 281, 101 (1809); re Kline, 70 Ohio St. 25, N.E. 511 (1904); Addington, Bailey (S.C.) 516 (1831); Andres, Tex.Cr.R. 93, 237 S.W. 283 (1922); Sutherland, Statutory Construction 2046 (1943 ed.). 36 nevertheless honored repealing saving former Irresistible, 551, 520 (1822); supra, 2050. 1871, enacted following which, among things, saved ongoing abatement penal statute: 37 '(T)he release extinguish penalty, act expressly provide, treated remaining sustaining proper liability.' Stat. 432. 38 section carried forward broadened amendment 'to provide expiration temporary preventing statute' 'applicable offenses repealed.' H.R.Rep. 261, 78th Cong., 1st Sess., (1943).1 Today, 46 Government, underlying statute.2 prevailing legislative policy positive thus penalties, forfeitures, liabilities Conduct perfectly punishable enforced 109, suggesting infirm fundamentally frankly recognizing maintain insisting suffer consequences.3 39 involve existing barring 7203 refusing persons, 1968, enforced. Does declaration concerning previously validated mean moment enacted? so, abate, vulnerable habeas corpus petitions alleging petitioners custody pursuant Or until invalidation treats statute? 40 Neither alternatives unqualified whatsoever enactment. I. L.R. Hackett, 559, 581, 57 966 (1913); Norton Shelby County, 118 425, 1121, 178 (1886); 376, (1880).4 prevailed. Gelpcke Dubuque, 175, 206, (1864), city issued bonds authorization Iowa Supreme constitutional. overruled void. refused allow bonds, saying legislature impair contract 'where change enact enlarged, adhere. court.'5 Great Sunburst Oil Refining Co., 287 358, 53 77 360 (1932),6 indication clearly rejected all-inclusive declarative Chicot County Drainage Baxter Bank, 308 60 317, 329 (1940), faced accorded unconstitutional, Ashton Cameron Water District, 298 513, 56 892, 1309 (1936). Referring Norton, Chief Hughes stated 'must qualifications.' 374, 318. asserted: 42 'The existence (a determination unconstitutionality), operative consequences justly ignored. erased declaration. ruling invalidity various aspects,—with relations, corporate, official. Questions claimed become vested, status, deemed finality accordingly, application, examination. most attention courts, federal, numerous absolute justified.' Ibid. 43 rejection idea underpinnings 622 629, 1733—1738, Linkletter.7 fashioned deal closed construing Rights. Appeals. 1965 Buick, 672, rehearing denied, 397 782. 70, 7, 714; 41—42, 61, 698—700, 709. Quoted O. Holmes, Law (M. Howe ed. 1963). 3, Lecture libel charged that: 'On aforementioned dates aforesaid respondents (i.e., money) Laws America. WHEREFORE FRANK E. McDONALD, Attorney prays That adjudged decreed AMERICA.' App. 5—6. Bride, 470 (CA9 1962); Pontiac 421 (CA7 1957 Oldsmobile Automobile, 256 931 (CA5 1958). W. Commentaries, c. 8, *300. appears Title 19, regulating customs 7327 provides applicable remission mitigation delegate alleged laws.' noteworthy made business operated Angelini, (the provisions),' (emphasis supplied), introduced liability. suggested forms, gambler's consistently abandoned reargument Grosso, Reargument 37—41, that, '(a)lthough failures excise separately 7203, two obligations inseparable purposes measuring hazards stem tax.' 65, 712. ruled occupational essentially elements single 42—43, 699, 3. Consequently, defense. (1953); (1955). Roberts Russell, 1921, 1100 (1968); McConnell Rhay, 2, 32, Arsenault Massachusetts, 35, Berger 314, 540, 508 writer opinion, final suffices, more, respecting nonretroactivity. 256, 1037, (Harlan, dissenting), (and companion cases), 675, 1171, L.Ed.2d, 410 judgments dissenting). few process, denying statements. collected infra, p. 728. letter Speaker House Representatives broadening amendment, Biddle referred common-law 'deficiency (which) cured concerns cognizable repealed, distinguished expires terms.' (1943). identical 1871 (by (1940 ed.)) expired concluded. number wartime enacted, forestall enforceability 'it desirable legislation permit lapse force.' are: Alabama: Ala.Code, Tit. (1958); Alaska: Alaska 01.05.021 (1962); Arizona: Ariz.Rev.Stat.Ann. 1—246, 1—247 (1956); id., 1—244, 1—249; Arkansas: Ark.Stat.Ann. 1—103 (1947); California: Cal.Govt. Code 9608 Colorado: Colo.Rev.Stat.Ann. 135 1—7, 135—4—7 (1963); Connecticut: Conn.Gen.Stat.Rev. 54—194 Florida: Fla.Const., Art. 10, 9, F.S.A.; Georgia: Ga.Code Ann. 26—103 Hawaii: Hawaii Rev.Laws 1—11 Idaho: Idaho 67—513 Illinois: Ill.Rev.Stat., 131, (1969); Indiana: Ind.Ann.Stat. 303, 1—307 Iowa: 4.1(1) (1971); Kansas: Kan.Stat.Ann. 77—201 Kentucky: Ky.Rev.Stat. 446.110 Louisiana: La.Rev.Stat. 24:171 (1950); Maine: Me.Rev.Stat.Ann., 302 (Supp.1970—1971); Maryland: Md.Ann.Code, (1957); Massachusetts: Mass.Gen.Laws Ann., 4, M.C.L.A. 8.4a; Michigan: Mich.Comp.Laws 8.4a (1948); Minnesota: Minn.Stat. 645.35 Mississippi: Miss.Code 2608 Missouri: Mo.Rev.Stat. 1.160 Montana: Mont.Rev.Codes 43—514 (1961); Nebraska: Neb.Rev.Stat. 49—301 Nevada: Nev.Rev.Stat. 169.235 Hampshire: N.H.Rev.Stat.Ann. 21:38 (1955); Jersey: N.J.R.ev.Stat. 1:1—15 (1937); Mexico; N.M.Const., 33; York: N.Y.Gen.Constr.Law 94 (McKinney's Consol.Laws, 1951); North Carolina: N.C.Gen.Stat. 164—4, 164—5 (1964); Dakota: N.D.Cent.Code 1—02—17 (1959) (saves fines, liabilities, repealed forfeitures; otherwise, repeal, 'extinguishing prison sentence be, been, Ibid.; 69 N.D. 309, 285 N.W. 862 (1939), insofar 02—17 purported sentences preceded effective N.D.Const. 76, vests pardon Governor board pardons); Ohio: Rev.Code 1.20 Oklahoma: Okl.Const., 54; Oregon: Ore.Rev.Stat. 161.040 Rhode Island: R.I.Gen.Laws 43—3—23 South S.D. Compiled 2—14—18 Tennessee: Tenn.Code 1—301 Utah: Utah 68—3—5 Vermont: Vt.Stat.Ann., 214 (Supp.1970); Virginia: Va.Code 1—16 Washington: Wash.Rev.Code 10.01.040 West W.Va.Code 2—2—8 Wisconsin: Wisc.Stat. 990.04 Wyoming: Wyo.Stat.Ann. 8—21 (1957). four Delaware State's comprehensive 1953 adopted. Del.Code 104 (1953). Pa.Stat.Ann., 46, 596 (1969), 'civil provisions.' 582, accompanied re-enactment law's 'substantially terms,' saved. Commonwealth Davis, Pa.Dist. Co.R.2d 182 (1954). Tex.Pen.Code. 14.16 (1952), substitutes exempt statute.' Tex.Pen.Code, 17.19 saves Penal Carolina prosecutions. Reisinger, 128 398, 99, 480 (1888) (enforcing predecessors 109); Allen Grand Central Aircraft 347 535, 553—555, 745, 755—757, 98 933 (1954); Moorehead Hunter, 198 52 (CA10 1952); Lovely 175 312, 316—318 1949); Rehberg 174 Ladner 168 771 1948). 2048 Fleming Mohawk Wrecking Lumber 331 111, 119, 67 1129, 1133, 1375 Duffel 95 U.S.App.D.C. 242, 221 523 Curtiss-Wright Export Corp., 299 304, 331—333, 216, 226—227, 81 255 (1936); Hark, 320 531, 64 359, 290 (1944) (reversing quashing indictment maximum price regulation revoked revocation). (1934), Eighteenth Twenty-first December 1933, continued National Prohibition Act ratified. Hughes, Tynen prosecutions, including review, abated. ratification reserved. 226, 436. Thereafter, appeals ratified sentences. Randall Marshal, 143 830 (CA2 1944); ,Odekirk Ryan, 313 (CA6 1936); Cheramie Dutton, 740 1935), cert. Freudenstein, 295 733, 55 644, 79 1681 (1935); Rives O'Hearne, 48, 984 Moss 1934); Helen, 772 (CA3 1934) (common-law Chambers forfeiture); Benton Hill, 826 Voorhees Nerbonne 1006 1934). provision—the predecessor 109 supported continuation passed 'continued competent authority,' 224, halts enforcement. propose include provision, vary amendment's gave extend Act, deprived (1932), consider judiciary 'competent authority' fashion changed interpretation, events transpired occurred. nn. 6—7, accompanying text. Field declared: 'An confers rights; imposes duties; affords protection; creates office; is, contemplation, inoperative passed.' 442, 1125. Miller said: rulings important presented. understand changed, expounded later decision, not, reason. contravenes principle, holds fact, constitution thing 1853, 1859.' Wall., 211. Loeb Columbia Township Trustees, 179 472, 492, 174, 182, 45 280 (1900); Douglass Pike, 677, 687, 968 refuse retroactive. Cardoze held: 'A limits adherence precedent choice relation backward. say highest court, overruled, none less intermediate transactions. intimating, too broadly, effect; expressed treat pleases, whenever hardship thereby averted. On hand, ancient dogma Platonic ideal declaration, discredited reconsidered beginning. juristic philosophy her conceptions origin nature.' 364—365, 148 (citations omitted, footnotes original). Phoenix Kolodziejski, 399 213 215, 90 1990, 1996—1997, (1970); Cipriano Houma, 395 701, 706, 1897, 1900, 647 prosecutor's comment defendant's authorized, made, I, 2945.43.

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