Case Name: UNITED STATES v. FIELD et al.
Court: United States Court of Appeals for the Second Circuit
Jurisdiction: United States
Decision Date: 1951-10-30
Citations: 193 F.2d 92
Docket Number: Nos. 300-302, Dockets 22116-22118
Parties: UNITED STATES v. FIELD et al.
Judges: 
Reporter: Federal Reporter 2d Series
Volume: 193
Pages: 92–109

Head Matter:
UNITED STATES v. FIELD et al.
Nos. 300-302, Dockets 22116-22118.
United States Court of Appeals Second Circuit.
Argued Sept. 14, 1951.
Decided Oct. 30, 1951.
Writ of Certiorari Dismissed Jan. 7,1952.
See 72 S.Ct. 303.
Frank, Circuit Judge, dissented in part. '"
See also 190 F.2d 554; 190 F.2d 556.
Mary M. Kaufman, of New York City (Victor Rabinowitz, of New York City, on the brief), for appellants Frederick V. Field and W. Alphaeus Hunton.
Charles Haydon, of New York City, for appellant Dashiell Hammett.
Roy M. Cohn and James B. Kilsheimer III, Asst. U. S. Attys., both of New York City (Irving H. Saypol, U. S. Atty., and Robert Martin, Asst. U.S. Atty., both of New York City, on the brief), for the United States, appellee.
Before CHASE, CLARK, and FRANK, Circuit Judges.

Opinion:
CLARK, Circuit Judge.
This appeal, from three summary orders of contempt, is an aftermath of the affirmance by the Supreme Court in Dennis et al. v. United States, 341 U.S. 494, 71 S.Ct. 857, 95 L.Ed. 1137, of the conviction of eleven officers of the Communist Party of America for violation of the Smith Act, 18 U.S.C. § 2385. Those defendants had been enlarged on bail in the sum of $20,000 each, furnished by the Bail Fund of the Civil Rights Congress of New York pending appeal to this court and, after affirmance, United States v. Dennis et al., 2 Cir., 183 F.2d 201, pending certiorari by Circuit Justice Jackson, Williamson et al. v. United States, 2 Cir., 184 F.2d 280, because of the substantial issue of law involved. The present appellants are three of the five trustees of that Fund. When the District Court received the mandate of final affirmance by the highest court on July 2, 1951, it ordered the surrender of the defendants, to commence service of their sentences of imprisonment. Seven appeared and were duly incarcerated. Four did not; and when bench warrants did not produce them on the next day, their bail was declared forfeited. The court then directed the appearance before it of the bondsmen and trustees and officers of the Bail Fund which had acted as surety for the fugitives. Appellants appeared and were examined by the court and by the United States Attorney at hearings occupying several days — Field on July 3 and 5, Hunton on July 6 and 9, and Hammett on July 9. All refused to answer certain questions and to produce certain books and records of the Bail Fund and were cited for contempt, Field on July 5, and the others on July 9. Field was sentenced to imprisonment for ninety days or until such time as he might purge himself of his contempt. The others were sentenced for six months, with like provision for purging themselves.
These are the orders we have for review. Certain later proceedings should, however, be noted. Field applied to Chief Judge Swan for bail pending appeal, who eventually denied the application in a detailed opinion reported in United States v. Field, 2 Cir., 190 F.2d 554; and this was concurred in by Judge L. Hand in denying similar applications by Hammett and Hun-ton, United States v. Hunton et al., 2 Cir., 190 F.2d 556. Thereafter all three made like petitions before Justice Reed as Acting Circuit Justice for the circuit. Justice Reed denied the petitions in a comprehensive opinion dated July 25, 1951. 193 F.2d 86. The opinions of these several judges cover with meticulous care a subtantial part of the case now before us on this full review of the entire record, and we have been greatly aided by the clear statements of the law there set forth.
Meanwhile Field, having refused to comply with directions of a federal grand jury, was found in contempt and sentenced to an additional term of imprisonment of six months — an order we are reviewing in the companion case herewith of United States v. Field, 2 Cir., 193 F.2d 109. A fourth trustee, Abner Green, was also held in contempt of directions both of a grand jury and of the court in proceedings decided in the third appeal herewith, Green v. United States, 2 Cir., 193 F.2d 111. Application for a special session of the court during the summer recess having been granted, these three appeals were heard at a single sitting in September. It is a matter of regret to the court that some delay in disposing of the cases has occurred, due to illness in the court, pressure of judicial work upon the opening of the regular October term, and the gravity of the issues involved.
The record before us shows that when the judge undertook his inquiry into the escape of the fugitives, there were placed before him the documents filed in court when the bonds were given. These included, first, the "Agreement and Deed of Trust," dated originally September 16, 1946, and amended September 26, 1949, and signed by the five trustees, with the fifth trustee, Robert W. Dunn, signing a second time as "Treasurer." This provided that the Fund was to accept both loans and gifts — for which certificates of deposit and receipts were to be given the lenders and contributors respectively — to be employed in posting bail "for the benefit of strikes, and of those whose civil rights are threatened or under attack." Second, there was a statement under oath, dated November 3, 1949, by three trustees — Field, Dunn, and Hunton — reciting specific authority to Dunn to post the Government Bearer bonds, purchased with moneys given "by diverse persons," as collateral security for bail for the eleven specifically named defendants. It also stated that "in addition to the general authroity [sic] contained in the annexed Agreement and Deed of Trust, all the trustees duly adopted a resolution at a meeting of the trustees held on July 22, 1948, reading as follows: Resolved that the trustees hereby authorized the use of the bail fund for such bail as might be required in the case of the Communist leaders indicted under the Smith Act on July 20, 1948, at all stages of the proceedings and until the case is finally terminated." And third, there were the formal "Bonds on Appeal" in the penal sum of $20,000 conditioned on the appearance of the particular defendant named whenever required by law or order of the court and signed by .the particular defendant as Principal and Dunn as Surety.
At the hearing on July 3; Field appeared voluntarily without waiting to be subpoenaed. Advised that the purpose of the hearing was to make inquiry of the sureties under oath as to their knowledge of the whereabouts of the defendants whom the court was seeking — an inquiry "to assist the Court in effecting service of its process, which has been issued" — he was duly sworn and proceeded to testify. At first he answered readily, stating that he was a trustee of the Fund, that he had paid several visits to the headquarters of the Communist Party during the previous week in order to assure himself that the defendants would appear, and that during one of these visits he had seen at least two of the four who had failed to appear. His first refusal to answer was to a question as to the source of the funds which the group had used in posting the bond in question. He was then asked a series of questions pertaining to the last time he had seen the fugitives, the functioning of the Bail Fund, its officers, and the records it kept. These he answered, with the exception of questions pertaining to those who had contributed to the Fund, as to which he now responded affirmatively to a suggestion in a question put by the court that such a disclosure might tend to incriminate him. Thereafter he stood definitely on this claim of privilege under the Fifth Amendment. When the hearing was resumed on July 5 the court after further questiening ordered the production of the books and records of the Fund which Field had described. Again he refused, alleging the same privilege. The court then made a specific direction that the records be produced and the questions answered. The witness continued his refusal and the citation for contempt followed.
Next Hunton was sworn, having also appeared without subpoena upon being ad-, vised that the matter was before the court. He likewise admitted his trusteeship of the Bail Fund. Beyond this, however, he would not go; he declined, on grounds of the privilege against self-incrimination, to answer numerous questions concerning the nature and location of the Fund's records, acquaintanceship with the four fugitives, the time when he had last seen them, whether the signatures on the bond or trusteeship agreements were his, and even whether or not he knew what records the Bail Fund kept. Directions to produce such records were variously answered with a plea that he had no control over them and, later, with -a plea of the privilege. Specific directions to answer the questions and produce the books were ignored and he also was sentenced for contempt.
When Hammett appeared on July 9 he would admit nothing; he met all questions, including his trusteeship of the Fund, the signatures on the minute book (which Field had produced), his knowledge of the fugitives, and the nature of the books of the Fund, with the same plea. After the court's overruling of the plea and his continued refusal, he too was sentenced for contempt.
Appellants seek reversal here on two basic tenets: that the court had no jurisdiction to conduct the inquiry, and that the appellants were protected by their privilege against self-incrimination under the Fifth Amendment which they had validly asserted.
1. Jurisdiction of the District Court
Appellants' vigorous attack on the court's jurisdiction even to institute and prosecute the inquiry is based upon the premise that the matter concerned a possible crime against the United States. It is the exclusive province of the executive arm of government, they contend, to investigate such matters and, if facts justify, submit them to the courts through the process of grand jury indictment after review of the evidence. The precedents upon which they rely are cases where duties of investigation or of acting as a "one-man grand jury" were held improperly granted or "delegated to" the courts. See, e. g., In re Richardson, 247 N.Y. 401, 160 N.E. 655; In re Oliver, 333 U.S. 257, 68 S.Ct. 499, 92 L.Ed. 682.
But we think this argument misses the real point as to the court's authority to take steps to effectuate its own decrees. True, there may have been crimes committed in connection with the flight of the fugitives, as under the Harboring Act, 18 U.S.C. § 1071, 1072; and the grand jury investigation which led to the contempt orders reviewed in the companion cases was obviously natural and desirable in this area. But the possibility of accusation and prosecution under a statute defining a crime does not offer or suggest any immunity for violating the direct mandate of a court; two different powers are involved, though the acts and events may be the same or interwoven. And we suggest that any conception restricting a court from taking even such limited steps to effectuate its decrees as investigating the reasons for noncompliance is not only novel, but abhorrent to any idea of effective justice. Carried to its logical conclusion it would mean that a court cannot issue exécution or supplementary writs to carry its judgments, civil or criminal, into effect, but must await the chance action of some outside agency; it would also mean that it cannot issue warrants for the detention of the fugitives themselves. Actually of course courts have always exercised such powers; specific instances alone, and not the broad principle itself, have been challenged. True, the court may call upon the executive to assist its authority or carry out its mandate; but that its mandate must be obeyed, whether or not effectuated by enforcing officers of another arm of the government, even to the forfeit of human life if necessary, is quite clear. For this reason a federal officer executing the process of a United States court, or even merely guarding the person of a federal justice, is immune from state prosecution for a homicide committed in performance of these duties. See In re Neagle, 135 U.S. 1, 10 S.Ct. 658, 34 L.Ed. 55, and cases cited; Ex parte Jenkins, Fed.Cas.No.7,259, 2 Wall.Jr. 521; Ex parte Turner, Fed.Cas. No.14,246, 3 Woods 603; Beckett v. Sheriff Harford Co., C.C.D.Md., 21 F. 32; and cases collected in 65 A.L.R. 732.
Mr. Justice Reed, in his opinion cited above, succinctly answers appellants' argument as to the District Court's jurisdiction thus [193 F.2d 90]: "District Courts of the United States have jurisdiction of all offenses against the laws of the United States. 18 U.S.C. § 3231. They 'may issue all writs necessary or appropriate in aid of their respective jurisdictions agreeable to the usages and principles. of law.' 28 U.S.C. § 1651. 'The jurisdiction of a court is not exhausted by the rendition of its judgment, but continues until that judgment is satisfied.' Wayman v. Southard, 10 Wheat. 1, 23, 6 L.Ed. 253. Under ancient practice bench warrants are issued on indictments to bring defendants before the court for trial, and after violation of bail, either before or after conviction, warrants issue in order that a judgment may be executed. There can be no doubt of the power of the court to direct the bench warrant for the arrest of the four fugitives from justice in the case of Dennis et als." We agree.
"Furthermore, it is fundamental that federal courts, in common with other courts, have,inherent power to do all things that are reasonably necessary for the administration of justice, within the scope of their jurisdiction." Strohbar v. Dwinnell, 5 Cir., 29 F.2d 915, 916. See also Adams v. United States ex rel. McCann, 317 U. S. 269, 63 S.Ct. 236, 87 L.Ed. 268, 143 A.L.R. 435. Here the court was properly continuing the effective disposition of the litigation initiated in the Dennis case; and examination of those who, as developed below, had constituted themselves "in truth, the jailers of the fugitives, responsible for their appearáhce," was a natural and appropriate step.
Mr. Justice Reed, who is author of the clause just quoted, also went on to point out that a mere witness was not entitled to question the court's jurisdiction: "It is enough if the court has a de facto existence and organization," citing Blair v. United States, 250 U.S. 273, 39 S.Ct. 468, 63 L.Ed. 979; United States v. Shipp, 203 U. S. 563, 573, 27 S.Ct. 165, 51 L.Ed. 319; and United States v. United Mine Workers of America, 330 U.S. 258, 293, 67 S.Ct. 677, 91 L.Ed. 884. But the jurisdiction of the court seems to us so clear that we do not need to resort to this additional ground.
2. The Privilege Against Self-incrimination
While the questions of the court to the appellants and the order for production of the Fund's books were all a part of the one attempt to obtain information as to those who had advanced money for the bail and might reasonably be expected to have knowledge of their whereabouts, a separation of the issue as to the books from that as to the questions is expedient. For the Supreme Court has already given such clear guidance in the realm of organization records that we think no doubt can exist as to this first issue. In United States v. White, 322 U.S. 694, 699, 64 S.Ct. 1248, 1251, 88 L.Ed. 1542, 152 A.L.R. 1202, the Court upheld the conviction for contempt of a custodian of books of a labor union, saying that official records held "in a representative rather than in a personal capacity cannot be the subject of the personal privilege against self-incrimination, even though production of the papers might tend to incriminate them personally." This is a settled rule, as shown by Wilson v. United States, 221 U.S. 361, 31 S.Ct. 538, 55 L.Ed. 771. The authority would seem particularly conclusive here, since these trustees of a declared trust, probably even more clearly than union officers, are acting as representatives of a group, rather than in their own purely private or personal interest.
The conclusions thus reached necessarily require affirmance of the convictions. What effect, if any, a possible error disclosed in the remainder of the record should have is not overclear. In Blau v. United States, 340 U.S. 332, 334, 335, 71 S.Ct. 301, 95 L.Ed. 306, the majority did not decide the point; but the minority opinion indicates that the entire conviction would still be valid, citing Pinkerton v. United States, 328 U.S. 640, 641, note 1, 66 S.Ct. 1180, 90 L.Ed. 1489; Hirabayashi v. United States, 320 U.S. 81, 84, 63 S.Ct. 1375, 87 L.Ed. 1774, though the appellants might apply under F.R.Cr.P., rule 35, 18 U.S.C., to the district court to exercise its discretion to reduce the sentences. While decision of the further issues in this case may therefore not be required, nevertheless since they are definitely presented by the record and may be of importance in the ultimate disposition of this case, as well as other like cases, we think consideration of the problem at this time is desirable.
The questions asked of these appellants fell into certain distinct patterns. We shall dismiss at once those which concerned their positions as trustees of the Fund, because Field and Hunton readily admitted their office, and Hammett (as well as they) was committed by the deed of trust and trustee vote, filing of which was required by the District Court for acceptance of the bail originally. Nor need we stop as to those questions which sought to locate and identify the books; for these were proper under the precedents. Once custodianship of the books was admitted, the custodian had no privilege as to questions "auxiliary to the production," and was .obligated not merely to produce them, but also to make their use in court possible "without requiring other proof than his own." United States v. Austin Bagley Corp., 2 Cir., 31 F.2d 229, 234, certiorari denied Austin-Bagley Corp. v. United States, 279 U.S. 863, 49 S.Ct. 479, 73 L.Ed. 1002; Pulford v. United States, 6 Cir., 155 F.2d 944, 947. So far, it is clear, there was no breach by the court of the constitutional privilege; and Hunton and Hammett, who refused to answer even these questions, were properly held in contempt. Remaining for consideration are two important series of questions: as to what the books would reveal and particularly as to the names of donors to the Bail Fund; and as to any clue or information appellants might have bearing on the whereabouts of the fugitives. All three appellants refused to answer the first series of questions. Field answered the latter series, but Hunton and Hammett did not.
So far as Field's original refusal to disclose the names of donors to the Fund was based on some desire to shield those persons, it manifestly cannot stand. So the Supreme Court explicitly ruled as to names of party members in Rogers v. United States, 340 U.S. 367, 371, 71 S.Ct. 438, 95 L.Ed. 344. For the privilege is a personal one which cannot be interposed to protect others from possible criminal prosecution. United States v. Murdock, 284 U.S. 141, 148, 52 S.Ct. 63, 76 L.Ed. 210, 82 A.L.R. 1376; Hale v. Henkel, 201 U.S. 43, 69, 26 S.Ct. 370, 50 L.Ed. 652. Legally the controlling principle is clear. Practically the same result is at least indicated, for a fund owned by "a great many hundreds of individuals," as Field said, each holding a certificate of deposit or receipt, cannot long remain secret when loss es deplete or exhaust it and some protection of the depositors becomes imperative. Excuse, if any, must' therefore be found in the claim of the constitutional privilege by the individual involved and in the particular situation.
The privilege against self-incrimination is of course one of the great constitutional rights, not lightly to be pushed aside. Hoffman v. United States, 341 U.S. 479, 486, 71 S.Ct. 814, 95 L.Ed. 1118; Blau v. United States, 340 U.S. 159, 71 S.Ct. 223, 95 L.Ed. 170; Smith v. United States, 337 U.S. 137, 150, 69 S.Ct. 1000, 93 L.Ed. 1264. Consideration of its exercise here must be approached, however, in the perspective before the court at the time and freed of questions troublesome at earlier stages of this same litigation. As the thoughtful opinions of the various courts have demonstrated, the original prosecutions in the Dennis case presented serious problems of adjusting traditional views of freedom of expression to the need for guarding against a dangerous' attack upon government itself. These are now all settled for this case by the final decision of our highest court; here we have to deal only with the pursuit of fugitive felons and how far those responsible to the court for their appearance may refuse pertinent information by claiming the privilege. *The rule applicable must be the same as with any other federal convicts and their bail; what we hold must necessarily have that generality of application.
Directly involved, too, is another constitutional right, that against "excessive bail" granted by the Eighth Amendment. For appellants' thesis, considered in detail below, comes to rest upon the contention that the surety's obligation is fixed and limited by the cash deposit made, or in effect that a charge of crime can be commuted into some stated sum of money, payment of which terminates all surety responsibility. Such a monetary evaluation of crime is definitely at variance with the settled principle that bail is to be only in such amount as "will insure the presence of the defendant," and, if pursued logically, will seriously prejudice the furnishing of bail pending trial, particularly in the case of crimes against the government's existence, where an amount so determined is sure to be high. Indeed, the many appeals now developing concerning high bail are perhaps a consequence of the vigorous pressing of such contentions which may already have weakened the traditional value of a bail bond with responsible surety.
So the basic question before us has been much argued in terms of waiver, with consideration directed to what each appellant may have done or not done toward waiving his privilege. We think, however, that this is a confining approach to the problem before us. Rather should the situation be viewed from the broader aspect of the nature and extent of the obligations originally assumed by these appellants. For all present intents and purposes they are to be regarded as the sureties, though only Dunn, the treasurer of their group, actually signed the bonds. The court required the nature of the trust to be disclosed through the documents mentioned above, and they thereby all accepted the obligation for the use of the Bail Fund for such bail as might be required at all stages of the pending prosecution and until its final termination.
In his Commentaries, Blackstone sets forth the traditional "nature" of bail as "a delivery, or bailment, of a person to his sureties, upon their giving (together with himself) sufficient security for his appearance; he being supposed to continue in their friendly custody instead of going to gaol." 4 Bl.Comm. 297. So the Supreme Court expressed a like thought in refusing to hold a person immune from arrest on an indictment for which he had already forfeited bail. Mr. Justice Story said: "A recognizance of bail, in a criminal case, is taken to secure the due attendance of the party accused to answer the indictment, and to submit to a trial, and the judgment of the court thereon. It is not designed as a satisfaction for the offense when it is forfeited and paid; but as a means of compelling the party to submit to the trial and punishment which the law ordains for his offense." Ex parte Milburn, 9 Pet. 704, 710, 9 L.Ed. 280. This same conception is repeated in many cases which find involved a "moral risk as well as the material risk." Concord Casualty & Surety Co. v. United States, 2 Cir., 69 F.2d 78, 81, 91 A.L.R. 885, where Judge Swan pointed out: "If the court lacks confidence in the surety's purpose or ability to secure the appearance of a bailed defendant, it may refuse its approval of a bond even though the financial standing of the bail is beyond question." To this point he cited United States v. Lee, D.C.S.D. Ohio, 170 F. 613, 614, where the court made a particularly strong statement as follows: "In the theory of the law, by a recognizance of bail in a criminal action, the accused is committed to the custody of the sureties as to jailers of his own choosing, and is so far placed in their power that they may at any time arrest him upon the recognizance and surrender him to the court, and are bound, at their peril, to see that he obeys the court's order."
Among other cases which may be cited to the same effect are United States v. Ryder, 110 U. S. 729, 4 S.Ct. 196, 28 L.Ed. 308; Reese v. United States, 9 Wall. 13, 21, 19 L.Ed. 541; Taylor v. Taintor, 16 Wall. 366, 371, 21 L.Ed. 287; Cosgrove v. Winney, 174 U.S. 64, 66, 19 S.Ct. 598, 43 L.Ed. 897; United States v. Simmons, C.C.S.D.N.Y., 47 F. 575, 14 L.R.A. 78; United States v. Caligiuri, D.C.N.J., 35 F. Supp. 799, 801. It was this line of compelling precedents upon which Mr. Justice Reed relied in holding these trustees "in truth jailers of the fugitives, responsible for their appearance."
Appellants urge that this is an older concept which must yield to the view, implicit in modern statutes allowing the deposit of cash or securities in lieu of a bail bond, that a surety's duty is a pecuniary and wholly impersonal one. It is of course true that many states have such statutes and state courts in many jurisdictions have relied upon them to settle in favor of the surety the mooted point as to the validity of an indemnity bond given by a prisoner to his surety. Western Surety Co. v. Kelley, 27 S.D. 465, 131 N.W. 808; see Note, 35 Va.L.Rev. 496, 502. Contra Sansome v. Samuelson, 222 Minn. 417, 24 N.W.2d 702, 170 A.L.R. 1158, with annotation 1161— 1170; United States v. Simmons, C.C.S.D.N.Y., 47 F. 575, 14 L.R.A. 78. In Leary v. United States, 224 U.S. 567, 32 S.Ct. 599, 600, 56 L.Ed. 889, Ann.Cas.l913D 1029, the Supreme Court upheld such an express agreement, relying upon New York law and citing New York decisions "as founded in good sense." Appellants stress this decision and quote from it certain references to the impersonal character of the surety's obligation. But these expressions are taken out of the context, which was a favoring opinion as to a surety as against his principal, and not as against the government. Greater freedom to the surety in this regard may well be a strengthening factor in the bail relationship; at any rate we are clear that this favor cannot be held to overturn the long and settled line of cases to which we have referred.
Moreover, the Rules, we think, make the point clear. Thus F.R.Cr.P., rule 46(d) provides that "A person required or permitted to give bail shall execute a bond for his appearance. One or more sureties may be required, cash or bonds or notes of the United States may be accepted and in proper cases no security need be required." The Committee Note states that "This rule is a restatement of existing practice, and is based in part on 6 U.S.C. A. § 15" — the statute which provides for the deposit of bonds or notes of the United States in lieu of a recognizance or bond. This shows the Committee's interpretation of the power thus given to require sureties; of course if there be thought to be any difference between the rule and the statute, the rule prevails under the terms of the rule-making act, 18 U.S.C. § 3771, formerly § 687.
Again the same principle appears in another rule much relied on by appellants, although it appears to us to have a different significance. That is the provision of F.R.Cr.P., rule 46(g), that "A surety may be exonerated by a deposit of cash in the amount of the bond or by .a timely surrender of the defendant into custody." This, too, is said in the Note to be "a restatement of existing law and practice," based in part on 18 U.S.C. § 599, now § 3142, providing for the surrender of his principal by the bail. The latter part of this is old. "The bail have their principal on a string, and may pull the string whenever they please, and render ¡him in their discharge." Anonymous, 6 Mod. 231, quoted in Taylor v. Taintor, 16 Wall. 366, 371, 372, 21 L.Ed. 287. But the provision for the deposit of cash is significant; it shows quite clearly that the surety owes an obligation beyond the mere deposit' for which some method of exoneration in fairness must be devised. If the utmost extent of his obligation is to lose ¡his money, he will hardly put it up as exoneration before loss is shown. Under the rule, however, the surety can get exoneration from his continuing responsibility as jailer; and the court may then order different and perhaps better bail. Thus in United States v. Flynn, 2 Cir., 190 F.2d 672, 673, this court spoke approvingly of the revocation of bail given by these trustees in other cases before the District Court because they "had shown, by refusing to answer questions relating to the bail fund and their connection with the defendants, a disregard of their responsibilities as sureties for the discovery and presentation before the court of their principals."
Such is the nature of the obligation assumed by these appellants when they provided for the bonds originally in the District Court. It is obvious that exercise of their constitutional privilege completely sets at naught their definite obligation. This is perhaps most clearly demonstrated in the case of Hammett, who refused to lend the court's process assistance of any kind.
It is not a new thing to hold that the privilege may be limited in various ways by a previous obligation otherwise assumed. Examples of limitations validly set upon its exercise are found in the various requirements for the disclosure of information set by the state as a correlative of the pursuit of certain activities. Thus doctors must réport deaths and their causes, druggists must show their prescription lists, mine owners must report details of accidents in their mines, and motor vehicle operators must report details of collisions on the highway. Ex parte Kneedler, 243 Mo. 632, 639, 147 S.W. 983, 40 L.R.A.,N.S., 622; People v. Rosenheimer, 209 N.Y. 115, 102 N.E. 530, 46 L.R.A.,N.S., 977; State of Kansas v. Razey, 129 Kan. 328, 282 P. 755, 66 A.L.R. 1225, with annotatation at 1228; Ule v. State of Indiana, 208 Ind. 255, 194 N.E. 140, 101 A.L.R. 903, with annotation at 911; Commonwealth v. Joyce, 326 Mass. 751, 97 N.E.2d 192 (citing cases). Various examples are also given in Shapiro v. United States, 335 U.S. 1, 17-19, 59-65, 68 S.Ct. 1375, 92 L.Ed. 1787, which is itself important because of its holding that the records required to be kept by OPA regulations under the wartime price controls were not subject to the privilege. See also United States v. Darby, 312 U.S. 100, 125, 61 S.Ct. 451, 85 L.Ed. 609, 132 A.L.R. 1430; Davis v. United States, 328 U.S. 582, 66 S.Ct. 1256, 90 L.Ed. 1453.
Dean Wigmore states that this privilege, like others, should be subject to relinquish ment by contract, express or implied, in advance or retrospectively, and cites in support such cases as Green v. Weaver, 1 Sim., Ch., 404; Hickman v. London Assur. Corp., 184 Cal. 524, 195 P. 45, 18 A.L.R. 742; Swedish-American Tel. Co. v. Fidelity & Casualty Co., 208 Ill. 562, 70 N.E. 768. See 8 Wig-more on Evidence § 2275, 3d Ed. 1940. He also says that such an agreement may be required of, and enforced against, public officers, § 2275a; and see also Seabury, Address at American Law Institute 1932,18 A. B.A.J. 371, 372. On the other hand, certain state court opinions have assumed that police officers may stand on their constitutional privilege in refusing to answer questions concerning a violation of their official duty. Christal v. Police Commission, 33 Cal.App.2d 564, 92 P.2d 416; In re Lemon, 15 Cal.App.2d 82, 59 P.2d 213; Drury v. Hurley, 402 Ill. 243, 83 N.E.2d 575. These cases may fall short of clear precedents, since they deal with the issue collaterally by holding that such officers violate their duty in making the claim and may properly be discharged because of such violation. Yet there seems no reason to quarrel with the suggestion, since obviously the principle cannot be pressed to hold that all acceptance of office carries an obligation to perform without resort to the constitutional protection. Else a public officer or judge must disclose all bribes, a hank official all embezzlements, indeed, a citizen all violations of his obligation to good citizenship. Louisville, H. & St. L. Ry. Co. v. Schwab, 127 Ky. 82, 105 S.W. 110; Scholl v. Bell, 125 Ky. 750, 102 S.W. 248. Naturally the obligation deduced from the accepted activity must be close and direct, and not the merely general burden of either citizenship or due performance of accepted office. More apposite is the holding that direct waiver of immunity may constitutionally be required of public officials, including police officers, and applied even as to acts before the passage of the statute. Canteline v. McClellan, 282 N.Y. 166, 25 N.E.2d 972. The question thus appears to be one of the directness of the obligation undertaken upon entry into the office.
In the present case the obligation assumed by these appellants to act as jailers for their principals was much more direct and immediate than any undertaken by wholesalers and retailers who continued in their respective businesses after the OPA regulations upheld in Shapiro v. United States, 335 U.S. 1, 68 S.Ct. 1375, 92 L.Ed. 1787, went into force. There they had little voluntary choice; here choice was complete. Here, too, nullification of the obligation by resort to the privilege is yet more complete than that adverted to in the Shapiro opinion. Moreover, there is a certain anomaly, realistically viewed, in a ruling which, while upholding the major' contention as to production of the hooks, sticks in the bark as to the implementing questions concerning their contents. We conclude that questions directly pertinent to the whereabouts of the fugitives or to clues to trace down their whereabouts cannot be defeated by claim of the privilege; else the obligation assumed is meaningless (and doubly so if all possibility of penalty is limited to some merely future prohibition of further bonding or vague threat of nonexistent damages). And it does not seem to us that the questions here asked went beyond these limits. Certainly the objective of the judge in asking them was clearly within these limits; answers to them, while only remotely and at best unclearly dangerous to appellants, were potentially capable of providing direct assistance to his inquiry. Hence, repeated refusals in repudiation of the definite responsibility thus assumed were properly visited with the customary penalties exacted for defiance of a court acting in the normal exercise of its appropriate functions.
Convictions affirmed.
. Mr. Justice Reed ruled that a witness before a court, not a party, cannot take exception to the materiality of the questions, citing Nelson v. United States, 201 U.S. 92, 114, 26 S.Ct. 358, 50 L.Ed. 673. While we agree, we think the questions prima facie material to the inquiry the court was making. Some persons had made a large total investment in the appearance of these fugitives before the court when required; it would be proper to ascertain how concentrated was this investment and whether or not the larger investors at least had any knowledge of the flight of their principals or had taken any steps to endeávor to produce them.
. E. R. Cr. P., rule 46(c), continuing; "having regard to the nature and circumstances of the offense charged, the weight of the evidence against him, the financial ability of the defendant to give bail and the character of the defendant." See also United States ex rel. Rubinstein, v. Mulcahy, 2 Cir., 155 F.2d 1002; United States ex rel. Potash v. District Director of Immigration and Naturalization, 2 Cir., 169 F.2d 747, 751; United States ex rel. Pirinsky v. Shaughnessy, 2 Cir., 177 F.2d 708; Zydok v. Butterfield, 6 Cir., 187 F.2d 802, 804; Williamson v. United States, 2 Cir., 184 F.2d 280; People of the State of Ill. ex rel. Sammons v. Snow, 340 Ill. 464, 173 N.E. 8, 72 A.L.R. 798, with annotation at page 801.
. The element of choice is stressed, for example, in eases such as People v. Rosenheimer, supra, 209 N.Y. 115, 102 N.E. 530, 46 L.R.A.,N.S., 977, against interesting dissent and opposing views below, 70 Misc. 433, 128 N.Y.S. 1093, Id., 146 App.Div. 875, 130 N.Y.S. 544, relying upon the privilege involved in the operation of a motor vehicle on the highway and thus supporting a statute making it a felony for a motor vehicle operator to leave the scene of an accident without stopping and giving his name, residence, and license number, or, if no police officer is about, of reporting the accident to the nearest police station.
. Several recent and thoughtful articles have stressed the desirability of disdossures of the type we have been discussing and the availability of other less controversial types of constitutional guaranty for protection of individual liberties in this area, e.g., freedom of speech of the First Amendment and the prohibition against illegal search and seizure of the Fourth Amendment. See, e.g., Meltzer, Required Records, the McOarran Act, and the Privilege Against Self-Incrimination, 18 U. of Chi.L.Rev. 687; Morgan, The Privilege Against Self-Incrimination, 34 Minn.D.Rev. 1; Quasi Public Records and Self-Incrimination, 47 Cob.L.Rev. 838; Davis, The Administrative Power of Investigation, 56 Yale L. J. 1111, 1137, 1138, 1154; The Privilege Against Self-Incrimination, 49 Yale L.J. 1059, 1087-1069, 1078. See also the broad provisions of the A. L. I. Model Code of Evidence, Rules 206, 207, 1942.