Legal Document

396 U.S. 87 90 Supreme Court Reporter 284 24 United States Reports Lawyer’s Edition 2d Series KF101.8 U54 283 James MINOR, Petitioner,v.UNITED STATES. Michael BUIE, Petitioner, versus UNITED Nos. 189 and 271. Argued Oct. 15, 1969. Decided Dec. 8, [Syllabus from pages 87-88 intentionally omitted] Phylis Skloot Bamberger, New York City, for petitioner, minor. Peter L. Strauss, Washington, D.C., respondent, the in Number 189. David Atlantic Diamond, Buie. Joseph Judge Connolly, Mr. Justice WHITE delivered opinion of Court. 1 These cases raise related questions about availability Fifth Amendment as a defense to convictions selling narcotic drugs marihuana without written order forms required by law. 2 Minor, petitioner 189, sold heroin on two separate occasions 1967 an undercover narcotics agent. Having waived trial jury, was convicted District Southern not pursuant official form—a violation § Harrison Narcotics Act, now 26 Code KF62 4705(a).1 3 Buie, 271, five packages May The agent did have form such transactions 6 Marihuana Tax 4742(a).2 A jury violating 4742(a). 4 In opinions, Appeals Second Circuit affirmed both over objections each case that statutory obligation sell only pursuance violated petitioner's privilege against self-incrimination. 398 Federal Reporter, 2nd 511 (1968); 407 905 (1969). We granted certiorari, 395 932 976, 89 2000 2150, 23 447 765, consider petitioners' claims, particularly light our intervening decision Leary States, 6, 1532, 57 For reasons follow, we affirm judgments cases. 5 deal first with Under pertinent provisions §§ 4751—4753, every person who sells, deals in, dispenses, or gives away must register Internal Revenue Service pay special occupational tax. Act also imposes tax transfers marihuana, be paid transferee; rate those registered is $1 per ounce; cannot $100 ounce. 4742(a) it illegal transfer except transferee obtained latter at time he pays when issued carry name address buyer seller amount purchased. 4742(c). Other 4742 require triplicate, one copy retained Service, other kept buyer's files, original him. 4742(d). Both copies are open inspection federal state law enforcement officers. 4742(d), 4773. Buie argues because Secretary Treasury 4742(c) requires seller's before its issuance buyer, forced incriminate himself: insist linking him illicit transaction many instances furnish links himself giving his so will data necessary secure form. Moreover, said very act forces admit named document acknowledge sale specified amounts date; leads further requirement retain officials. 7 considerable doubt any these arguments would withstand close scrutiny,3 but find unnecessary appraise them detail concluded there no real substantial possibility Buie's purchaser, purchasers generally, willing comply even if their insisted prescribed 8 situation this: applies announce intention purchase marihuana—a that, unregistered, involve ounce involved impending under great difficulty believing, nothing this record convinces us, wishes request local authorities taxes unlikely view fact relieves unregistered buyers duty incriminating Except they sources sellers magic power buyers; characteristics do suggest driven urgent need get drug themselves behest prohibitive imposed transfer. As insistent might be, extremely comply. 9 thus bears little resemblance confronted Leary. vice statute case—as Marchetti 390 39, 88 697, 19 889; Grosso 62, 709, 906, Haynes 85, 722, 923 (1968)—stemmed dilemma buyer. purported make all purchases legal viewpoint option; had avoid penalty But exercise option penalty, laws. present case, horn does confront seller. face refusal form, making foreclosed decision, 'full literal compliance' means simply all.4 There way simple reason seldom, ever, purchaser able 10 This conclusion affected tiny number dealers—some 83 entire country according government figures 1967.5 register, dealers show compliance laws6 and, registered, can paying dealer subject deterrent pressures operating dealer. like itself hypothesis more imaginary than real; legitimate source hardly likely advantage instead market. event, quite clear customer Nor anything been asked. 11 No same result follow Minor's similar reasons. 4701 et seq., various drugs, including heroin. Dealers tax, 4721—4722; producers importers stamps affix package, 4701, 4703, 4771(a)(1); stamped 4704(a). transfers, exceptions relevant here, made Government. 4705(a). Only may forms. 4705(f), (g); see 4721; Regulations 151.24. Order triplicate proper applicants prospective purchaser. 4705(f); 151.161. When decides execute fills exact date type requested signs 151.163—151.165, 151.167. retains duplicate delivers executed seller, enters size furnished item filled. 151.161(a), 151.185. regulation, 151.201, forward end month. Section 4705(d) keep respective period years accessible 12 differ three principal respects. First, given Government secured, filled subsequently executed.7 Second, although apparently add sale, enter dates. Finally, unlike Marihuna which least theory permits buy long paid, explicitly forbids registration 'lawfully entitled' laws State drug.8 13 Like Minor provision compel give information preserved files readily agents. argument, argument assumes otherwise forthcoming refused it9 founders reality could secured convinced unreal one. Prospective either failed dealings illicit—and strenuously virtually illicit10—simply among class persons whom permitted condition. dealing class, faces risk incrimination 4705(a) since involved. Confronted would-be leaves alternative: sell. Since alleged purely hypothetical. 14 different were registered. It true some 400,000 196711 blank. conceivable, course, seek market, difficult imagine what surely sale.12 Such possibilities 'imaginary insubstantial' hazards incrimination, rather 'real appreciable' risks needed support claim.13 15 affirmed. 16 ordered. 17 Judgments 18 BLACK DOUGLAS dissent DOUGLAS, concurs, dissenting 20 guilt seems plain. Two counts charge sales dates 'not * form.' He found guilty count Court, having waived. basis attack upon conviction violates matter me. Holmes used say should turn square corners. See Rock Island, & L.R. company 254 141, 143, 41 55, 56, 65 L.Ed. 188. all-powerful, all-pervasive moves curtail liberty person, too 21 4705(a), derived Anti-Narcotic December 17, 1914, 38 Statutes-at-Large 785, commonly called Act. amended, narcotics, 4721—4722, commodity excise removed consumption 4701. certain mut transferor transferee. properly narcotics. conceded oral however, 'it impossible lawful purpose. Heroin unlawful purpose.' 22 plenary define punish criminal acts. Its regard derives powers specifically delegated Constitution, Tenth provides: 'The nor prohibited reserved respectively, people.' 'lay collect Taxes.' Article I, 8. constitutionality sustained Doremus, 249 86, 39 214, 63 493—a five-to-four decision. 'order form' tended 'to traffic aboveboard authorized revenue,' diminish opportunity unauthorized obtain clandestinely law.' Id., 94, 216. N Immigration Nationality Decisions punishing individual failing something has do—that is, prior Petitioner did, heroin, sense indeed possible. overlooks outlaw critical interest necessarily collecting provides crucial link constitutional Nigro 276 332, 341, 48 388, 390, 72 600, Chief Taft, speaking said: 25 'In interpreting assume taxing measure, all. If mere purpose regulating restraining opiate beyond Congress regarded invalid *.' Thus form—not sale—that constitutes heart offense convicted. how crime out receiving allow category sales. 27 suggest, majority opinion, ante, 98 n. 13, imposing flat ban sustainable Commerce Clause. concerned done yet future. enact measure. And charged form,' 28 reverse judgment conviction. 'It shall sell, barter, exchange, article sold, bartered, exchanged, given, blank delegate.' transferred, 7237(b), 'shall imprisoned less addition, fined $20,000.' terms placed buyer; while 'inform' ordinarily thought latter's 'self-incrimination.' through himself, form—even assuming 'testimonial' purposes Amendment—adds significantly already whatever merits attempt assert prosecution failure exhibit forms, similarly dispense identify themselves, via purchasers. Cf. 351, 394, 600 (1928); 216, 493 (1919). answer buying. 51—52, 704, 889. Leary, presented purchasing complying law, himself. viable option, refuses meet Nothing prevents restricting market classes duly licensed buyers. Act's requirements stem fear personal raised excuse evading requirements. George Campbell Painting Corporation Reid, 392 286, 1978, 1094 Rogers 340 3678 71 438, 95 344 (1951). Department, Bureau Narcotics, Traffic Opium Dangerous Drugs 42 (1968). regulations, 152.22, 152.23, limit whose laws, supported legislative history represent long-established administrative practice. 38, 1541, (1969); H.R.Rep. 792, 75th Cong., 1st Sess., (1937); S.Rep. 900, Hearings H.R. 6906 subcommittee Senate Committee Finance, 6385 House Ways Means, (1937). regulations whom. addressed 'to' contain enable 'made to' endorsed another fill order. 151.189. suggests sends Whether irrelevant analysis text. difference between recognized passed 21—22, 1540 regulation 151.24, finds specific language 4705(g), 4721. Even realistically persuasive Buie's. 3, supra. Brief 22—23. Convinced '(h)eroin medical value better served drugs,' 1997, 84th (1956), 1956 surrender theretofore lawfully possessed distributed approved scientific research. 1402. Narcotic Import Export 35 614, 173, 174, effectively prohibits imporation opium manufacturing makes felony knowing unlawfully imported. Manufacturing 1960, 74 501 limited purposes. Given resulting absence 4704(a) buying, selling, dispensing, distributing drug. practical use almost certainly 4705(g): use, distribution thereof conduct business practice profession.' 22, hypothetical became reality, doubtful back 10, 151.181, sellers—a belong. significant nearly 1967, four reported during year courts refuse enforce part revenue upheld ago valid though operated prevent large people obtaining forms—and hence acquiring drugs—at Webb 96, 217, 497 (1919); (1928). cease measure deters activity taxed, negligible, illegal. See, e.g., 44, 700, 889 Kahriger, 345 28, 73 510, 513, 97 754 (1953); License Cases, Wall. 462, (1867). viewing sales, Yee Hem 268 178, 183, 45 470, 471, 69 904 (1925). Brolan 236 222, 285, 287, 59 544 (1915); cf. Sullivan, 332 689, 68 331, 92 297 (1948); Darby, 312 100, 61 451, 85 609 (1941).

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