Source: http://www.chanrobles.com/usa/us_supremecourt/451/232/case.php
Timestamp: 2019-10-21 05:16:42
Document Index: 646249043

Matched Legal Cases: ['§ 13', '§ 1442', '§ 3731', '§ 1442', '§ 1442', '§ 1291', '§ 3731', '§ 1291', '§ 1442', '§ 1442', '§ 1291', '§ 1291', '§ 1291', '§ 1291', '§ 1291', '§ 1291', '§ 12']

Respondent, a federal officer, was charged in Arizona with the commission of a state crime. On the officer's motion, the case was removed from state court and tried in federal court. The issue presented is whether a federal appellate court has jurisdiction to entertain Arizona's appeal from the District Court's judgment of acquittal entered after a jury verdict of guilty. chanroblesvirtualawlibrary
Three Mexican males were traveling north along the trail when respondent's electronic sensor system signaled their approach. [Footnote 3] Following standard procedure, Agent Hjelle stationed himself near where the path emerged from the canyon onto higher ground. Respondent took a position some 100 yards to the south, on a bluff overlooking, but out of sight of, the path. The plan called for Ejelle to stop any suspected illegal alien, identify himself, and conduct a brief inquiry to determine the suspect's status, while respondent approached from behind. chanroblesvirtualawlibrary
Respondent was indicted in the Superior Court of Pima County, Ariz., for assault with a deadly weapon, in violation of Ariz.Rev.Stat.Ann. § 13-249A and B (Supp. 1973). [Footnote 4] Because the charge arose from an act committed while on duty for the INS, respondent, pursuant to 28 U.S.C. § 1442(a)(1), [Footnote 5] removed the case to the United States District Court chanroblesvirtualawlibrary
for the District of Arizona. The case was tried before a jury, and a verdict of guilty was returned. Respondent then timely moved for arrest of judgment or, alternatively, for a new trial. See Fed.Rules Crim.Proc. 33 and 34 [Footnote 6] The District Court granted respondent's motion to arrest judgment and dismissed the indictment; it did so on the ground that the State could not assert its criminal jurisdiction over federal lands. 7 Record 7-8. The State immediately moved for reconsideration; the District Court also granted the State's motion and took the matter under advisement. App. 36-38. Nine months later, the District Court vacated its previous order arresting judgment. 445 F.Supp. 1123 (1977). The court, on reconsideration, held that Arizona retained criminal jurisdiction over all land within its exterior boundaries. [Footnote 7] Having determined that it properly could exercise jurisdiction over Arizona's claim, the District Court then proceeded sua sponte to construe respondent's motion under Rule 34 as a motion for judgment of acquittal, pursuant to Federal Rule of Criminal Procedure 29(c). Although an immunity defense had not been raised at trial, and the State had not introduced any evidence designed to overcome that defense, the court concluded that it had erred in failing to instruct the jury on such a defense. Relying on principles enunciated in In re Neale, 135 U. S. 1, 135 U. S. 75 (1890), and Clifton v. Cox, 549 F.2d 722 (CA9 1977), the District Court reasoned that respondent chanroblesvirtualawlibrary
Claiming that the trial court had exceeded its authority, [Footnote 8] the State filed a timely notice of appeal from the acquittal. It invoked the appellate court's jurisdiction under 18 U.S.C. § 3731. [Footnote 9] The United States Court of Appeals for the Ninth Circuit, by a brief per curiam opinion citing Sanabria v. United States, 437 U. S. 54 (1978), initially dismissed the appeal on double jeopardy grounds. [Footnote 10] Upon timely petition for rehearing, however, the Court of Appeals withdrew the opinion, App. to Pet. for Cert. 1a, and substituted another in its place. This time, by a divided vote, the court dismissed Arizona's appeal on the ground that jurisdiction was lacking. chanroblesvirtualawlibrary
The Court of Appeals declined to consider whether state law provided Arizona with a right to appeal in this case. Instead, the court reasoned that a criminal proceeding removed to federal court under 28 U.S.C. § 1442(a)(1) arises under federal law, and accordingly is to be controlled by that law, rather than state law. The court concluded that "only Congress can authorize an appeal by a state in a § 1442(a)(1) criminal prosecution," and Congress had not done so. 608 F.2d 1200. The Court of Appeals also rejected the suggestion that the general appeals statute, 28 U.S.C. § 1291, [Footnote 11] provided authorization for Arizona's appeal. 608 F.2d 1199, n. 3.
The dissenting judge discerned separate bases for appellate jurisdiction in 18 U.S.C. § 3731 and 28 U.S.C. § 1291. 608 F.2d 1200-1202. [Footnote 12] chanroblesvirtualawlibrary
We begin by noting that, had respondent's trial occurred in state, rather than federal, court, Arizona's statutes, as construed and applied by the courts of that State, would enable the State to obtain the appellate review it seeks. Under Arizona law, the prosecution is authorized to seek review, by certiorari, when its claim is that the lower court has exceeded its jurisdiction or has abused its discretion. See Ariz.Rev.Stat.Ann. 12-2001 (1956). [Footnote 13] The State's petition for review chanroblesvirtualawlibrary
Thus, the sole question posed here is whether respondent's removal of the state prosecution to federal court for trial alters the nature of the State's otherwise well established right, under state law, to seek review of the instant judgment of acquittal. We consider this question first by reviewing the legal effect of, and the policies served by, removal for trial under § 1442(a)(1). We then examine respondent's argument that the federal law governing federal appellate jurisdiction not only does not permit, but also, in fact, bars the State's criminal appeal in federal court. chanroblesvirtualawlibrary
This principle is entirely consistent with the purpose underlying the removal of proceedings commenced in state court against a federal officer. Historically, removal under § 1442(a)(1) and its predecessor statutes was meant to ensure a federal forum in any case where a federal official is entitled to raise a defense arising out of his official duties. [Footnote 16] The act chanroblesvirtualawlibrary
At the same time, the invocation of removal jurisdiction by a federal officer does not revise or alter the underlying law to be applied. In this respect, it is a purely derivative form of jurisdiction, neither enlarging nor contracting the rights of the parties. [Footnote 17] Federal involvement is necessary in order to insure a federal forum, but it is limited to assuring that an impartial setting is provided in which the federal defense of immunity can be considered during prosecution under state law. Thus, while giving full effect to the purpose of removal, chanroblesvirtualawlibrary
Respondent here, by obtaining a federal forum, has fully vindicated the federal policies supporting removal. The plainest evidence of this vindication is the District Court's application of the immunity defense. No further purpose of the removal statute would be served by denying the State a right to seek review when that very right is available under applicable state law. On the contrary, it would be anomalous to conclude that the State's appellate rights were diminished solely because of the removal. The statutory goal of ensuring fair and impartial adjudication is not advanced when the State, in effect, can be penalized by the defendant's decision to remove a criminal prosecution. Absent any indication that the removal statute was intended to derogate from the State's interest in evenhanded enforcement of its laws, we see no justification for providing an unintended benefit to a defendant who happens to be a federal officer. [Footnote 18] chanroblesvirtualawlibrary
Under 28 U.S.C. § 1291, any litigant armed with a final judgment from a lower federal court is entitled to take an appeal. By its terms, the statute addresses neither the identity of particular parties nor the nature of the prior legal chanroblesvirtualawlibrary
proceedings. [Footnote 19] But while it is settled that a civil appeal, or an appeal by the defendant in a criminal case, may be taken from any final decision of a District Court, this Court has observed on prior occasions that, "in the federal jurisprudence, at least, appeals by the Government in criminal cases are something unusual, exceptional, not favored.'" Will v. United States, 389 U. S. 90, 389 U. S. 96 (1967), quoting from Carroll v. United States, 354 U. S. 394, 354 U. S. 400 (1957). This federal policy has deep roots in the common law, for it was generally understood, at least in this country, that the sovereign had no right to appeal an adverse criminal judgment unless expressly authorized by statute to do so. [Footnote 20] Accordingly, from the early days of the Republic, most state courts refused to consider appeals by prosecutors who lacked the requisite statutory authority. [Footnote 21] chanroblesvirtualawlibrary
This presumption was first announced as a rule of federal law in United States v. Sanges, 144 U. S. 310 (1892). There, the Court held that no appellate right by the Federal Government exists in the absence of express enabling legislation from Congress. The Court also concluded that the general grant of appellate jurisdiction contained in the Judiciary Act of 1891 did not satisfy this requirement. [Footnote 22] In subsequent decisions, the Court has reaffirmed that the Federal Government enjoys no inherent right to appeal a criminal judgment, and that the grant of general appellate jurisdiction, now contained in 28 U.S.C. § 1291, does not authorize such a federal appeal. DiBella v. United States, 369 U. S. 121, 369 U. S. 130 (1962); 354 U. S. 400-403 (1957). See Will v. United States, 389 U. S. 90, 389 U. S. 96-97 (1967); United States v. Burroughs,@ 289 U. S. 159, 289 U. S. 161 (1933).
Respondent contends that Sanges and its progeny must be read to foreclose a criminal appeal in federal court by any governmental entity unless the appellate right derives from an express federal statute. We do not believe that Sanges is to be so broadly construed. Sanges holds simply that the federal sovereign may not subject one of its citizens to continued federal prosecution in its own courts where it has not been expressly permitted to do so under federal law. 144 U.S. at 144 U. S. 323. [Footnote 23] Our continuing refusal to assume that the United States possesses any inherent right to appeal reflects an abiding concern to check the Federal Government's possible misuse of its enormous prosecutorial powers. By insisting that Congress speak with a clear voice when extending to the Executive a right to expand criminal prosecutions, Sanges and its subsequent applications have placed the responsibility for such assertions of authority over citizens in the democratically elected Legislature, where it belongs. Congress has properly assumed this responsibility by first defining, and then broadening and clarifying, the Federal Government's right to appeal an adverse criminal judgment. [Footnote 24] chanroblesvirtualawlibrary
The concern to restrict prosecuting authority to express congressional grants, however, does not justify a requirement of express authorization by Congress when the sovereign seeking to appeal is a State, rather than the Federal Government. Nothing in the language or logic of the Sanges opinion contains any suggestion of that kind. Nor should such an intimation be read into the Court's subsequent decisions adhering to Sanges' principle. [Footnote 25] For the purposes of chanroblesvirtualawlibrary
In sum, the Court's prior decisions restricting the availability of § 1291 in a criminal context flow from a tradition of requiring that a prosecutorial appeal be affirmatively sanctioned by the same sovereign that sponsors the prosecution. The intention to restrict sovereign power in this area is adequately addressed when the legislature responsible for that power has spoken in express terms, or when a legislative enactment has been authoritatively construed by the sovereign's highest court. We conclude that § 1291 neither compels nor forecloses appellate jurisdiction in an appeal taken by a State as prosecutor. Instead, the provision permits a State to appeal if it is authorized to do so by state law. Petitioner Arizona can rely on § 1291 combined with appellate authorization from the Arizona Legislature. [Footnote 26] In the circumstances of this case, no more is required. [Footnote 27] chanroblesvirtualawlibrary
Having found jurisdiction, the dissent concluded on the merits that the judgment of acquittal should be reversed. 608 F.2d 1205. The Court of Appeals' majority, however, did not reach the merits. In view of the posture of the case, we also intimate no view on the merits. Neither do we have any occasion now to decide whether the instant appeal would be barred under the Double Jeopardy Clause of the Fifth Amendment, which is enforceable against the States through the Fourteenth Amendment. Benton v. Maryland, 395 U. S. 784, 395 U. S. 793-796 (1969). That question was not decided by the Court of Appeals, and the parties have not raised it before this Court. See Tr. of Oral Arg 33.
There is a distinction between a court's power to accept an appeal and an executive's power to prosecute an appeal. The question whether the United States Court of Appeals in this case had jurisdiction to entertain the appeal is a federal chanroblesvirtualawlibrary
United States v. Sanges, 144 U. S. 310 (1892), announced the general rule that governments may not appeal in criminal cases in the federal courts in the absence of express statutory authority. Finding, inter alia, that the predecessor to 28 U.S.C. § 1291 was not sufficiently express, [Footnote 2/1] Sanges refused to allow an appeal by the Federal Government. Today, chanroblesvirtualawlibrary
Ante at 451 U. S. 249. [Footnote 2/2] I find this reading of the Sanges rule inaccurate: in my view, Sanges plainly requires express authorization from the legislative body controlling federal court jurisdiction for all government appeals in criminal cases in the federal courts. [Footnote 2/3] The Court stated that the express authorization must be made by the legislature "acting within its constitutional authority." 144 U.S. at 144 U. S. 318. Since Congress is the only entity constitutionally empowered to grant express authority for government appeals in the federal courts, the Sanges principle necessarily confines our inquiry to whether there is express authorization in federal statutes controlling criminal appeals by the States in federal court. Therefore, the Court's finding that Arizona, the sovereign sponsoring the prosecution in the instant case, has sanctioned prosecutorial appeals in its courts is irrelevant to the question of federal appellate jurisdiction chanroblesvirtualawlibrary
Ante at 451 U. S. 248, n. 25. But this is a clearly incorrect reading, for it ignores the fact that, at the time Maryland v. Soper was decided, the prohibition contained in the Fifth Amendment's Double Jeopardy Clause was applicable only against the Federal Government in federal prosecutions, and not against state governments in state prosecutions. See Palko v. Connecticut, 302 U. S. 319 (1937). [Footnote 2/7] It was not until 32 years later that 395 U. S. 271 (1880), the Court's suggestion that the statement in Maryland v. [email protected] referred to double jeopardy limitations is plainly unfounded.
If it be true the State's petition for review "has been routinely granted" by the appellate courts, ante at 451 U. S. 240, this hardly qualifies as an authoritative construction by the State's highest court that the statute itself authorizes review in every case. The Court has failed to cite a single precedent in which the Arizona Supreme Court has investigated the intent of the state legislature in passing the statute authorizing chanroblesvirtualawlibrary
It is difficult to understand how the Court's insistence that the democratically elected legislature speak with a clear voice can be satisfied without interpretive decisions of the State's highest court holding that the state legislature has done so in the case of § 12-2001. Indeed, the Court's application of a less stringent requirement of clarity in the case of state legislation than in the case of federal legislation, see, e.g., United States v. Martin Linen Supply Co., 430 U. S. 564, 430 U. S. 568 (1977) ("express congressional authorization"); United States v. Wilson, 420 U. S. 332, 420 U. S. 336 (1975) ("express statutory authority"); DiBella v. United States, 369 U. S. 121, 369 U. S. 130 (1962) ("expressly authorized by statute"); Carroll v. United States, 354 U. S. 394, 354 U. S. 399 (1957) ("expressly conferred by statute"); United States v. Burroughs, 289 U. S. 159, 289 U. S. 161 (1933) ("express statutory authority"); United States v. Sanges, 144 U.S. at 144 U. S. 318 ("statute expressly giving the right"), is surely unprecedented. The Court has offered no justification for its more expansive treatment of state statutes. Indeed, since the Court has convinced itself that there are "express" provisions in the Arizona statute, I see no logical barrier -- under the Court's novel determination of what is chanroblesvirtualawlibrary
Carroll v. United States, supra, at 354 U. S. 399. chanroblesvirtualawlibrary
Because Sanges dealt with a Government appeal to this Court, see 451 U. S. 319.