Legal Document

350 U.S. 422 76 Supreme Court Reporter 497 100 L.Ed. 511 William Ludwig ULLMANN, Petitioner,v.UNITED STATES of America. Number 58. Argued Dec. 6, 1955. Decided March 26, 1956. Mr. Leonard baron Boudin, New York City, for petitioner. Charles Federal KF105 F3 Barber, Washington, D.C., respondent. Justice FRANKFURTER delivered the opinion Court. 1 On November 10, 1954, United States Attorney Southern District filed an application under Immunity Act 68 Statutes-at-Large 745, 18 Code KF62 (Supp.II) § 3486, Annotated KF65 U5 order requiring petitioner to testify before a grand jury. The Act, in its pertinent portions, provides: 2 '(c) Whenever judgment attorney testimony any witness, or production books, papers, other evidence by case proceeding jury court involving interference with endangering of, plans attempts interfere endanger, national security defense treason, sabotage, espionage, sedition, seditious conspiracy, violations chapter 115 title Code, Internal Security 1950 (64 987), Atomic Energy 1946 (60 755), as amended, sections 212(a) (27), (28), (29) 241(a)(6), (7) 313(a) Immigration and Nationality (66 182—186; 204—206; 240—241), conspiracies foregoing, is necessary public interest, he, upon approval General, shall make that witness be instructed produce subject provisions this section, such not excused from testifying producing on ground required him may tend incriminate penalty forfeiture. But no prosecuted subjected forfeiture account transaction, matter, thing concerning which he compelled, after having claimed his privilege against self-incrimination, evidence, nor so compelled used criminal (except prosecution described subsection (d) hereof) court. 3 '(d) No exempt provision section perjury contempt committed while giving compulsion provided section.' 4 In alleged following facts. 3, petitioner, pursuant subpoena, appeared duly constituted was investigating matters concerned endanger espionage conspiracy commit espionage. asked series questions relating knowledge activities persons' participation activities, membership Communist Party. Petitioner, invoking refused answer questions. also asserted deemed interest States, annexed letter General approving application. Attorney, compliance request district judge, affidavit asserting own good faith filing 5 contesting application, attacked constitutionality urged that, if immunity statute held constitutional, should, exercise discretion, deny He setting forth detail experiences agents Department congressional committees information support plea discretion Government reply affidavits denying some allegations set petitioner's affidavit. 6 January 31, 1955, sustained statute. 128 F.Supp. 617. Its order, dated February 8, 'to propounded Grand Jury respect inquiry said . ..' Petitioner appealed but Appeals Second Circuit dismissed appeal authority Cobbledick versus 309 323, 60 540, 84 783. 7 again had ordered answer. then brought and, stipulation obey convicted sentenced six months' imprisonment unless should purge himself contempt. affirmed 221 Reporter, 2nd Series 760. importance at issue, view differences between legislation Brown Walker, 161 591, 16 644, 40 819, review, led us bring here. 349 951, 75 882, 99 1276. 8 Four major are raised appeal: Is sufficiently broad displace protection afforded self-incrimination? Assuming statutory requirements met, does give judge relevant put jury, so, thereby function 'judicial Power'? Did Congress provide state crime, it empowered do so? Does Fifth Amendment prohibit what would otherwise self-incriminating matter scope statute? 9 It define explicitly spirit Amendment's self-incrimination approached. This command ('nor person * *') registers important advance development our liberty—'one great landmarks man's struggle civilized.'1 Time has shown evils safeguard directed needless unwarranted. constitutional must interpreted hostile niggardly spirit. Too many, even those who better advised, shelter wrongdoers. They too readily assume invoke either guilty crime claiming privilege.2 Such scant honor patriots sponsored Bill Rights condition acceptance Constitution ratifying States. Founders Nation were naive disregardful interests justice. difference them deem obstruction due been appropriately indicated Chief Judge Magruder: 10 'Our forefathers, when they wrote into Constitution, mind lot history largely forgotten to-day. See VIII Wigmore Evidence (3d ed. 1940) 2250 et seq.; Morgan, Privilege Against Self-Incrimination, 34 Minn.L.Rev. (1949). made judgment, expressed fundamental law, occasional go unpunished than free build up case, whole part, assistance enforced disclosures accused. serves innocent well guilty, we have admonished given liberal Hoffman 341 479, 486, 71 814, 818, 95 1118. If thought outmoded conditions modern age, take out whittle down subtle encroachments judicial opinion.' Maffie Cir., 209 225, 227. 11 Nothing new can except through amendatory process. old taken without same 12 doubt may, occasion, save man just deserts. aimed more far-reaching evil—a recurrence Inquisition Star Chamber, their stark brutality. Prevention greater evil occurrence lesser evil. Having much experience tendency human nature abuse power, sought close doors like future abuses law-enforcing agencies. 13 As guarantee enjoys preference, none suffer subordination deletion. appropriate read conviction memorable address Senator Albert Beveridge American Bar Association 1920, time there manifested impatience restrictions presumed security. His Constitution—to mutilating selection parts only moment find favor.3 To particular disfavor inevitably results constricted it. disrespect Constitution. 14 strict, lax, observance individual approach claims case. attack violating one. Sixty years ago considered, similar 11, 1893, 27 443.4 Brown, auditor railroad company, subpoenaed charges officers company violated Interstate Commerce Act. Invoking certain operations rebate policy railroad. show cause Western Pennsylvania, adjudged petition writ habeas corpus Pennsylvania dismissed. Court, urging 1893 unconstitutional. 15 considered rejected arguments, holding secured might aided directly indirectly did violate immunity. 'While question justly regarded one most valuable prerogatives citizen, object fully accomplished immunity, therefore compellable *.' page 610, 652.5 however, distinguish Walker. argues different Walker because impact disabilities imposed federal authorities general—such loss job, expulsion labor unions, registration investigation statutes, passport eligibility, general opprobrium—is oppressive true This, alleges, significantly could next day resume job reputation unaffected.6 But, often held, granted need remove sanctions generate fear justifying invocation privilege: 'The interdiction 5th operates where himself,—in words, possibly expose charge. criminality already away, amendment ceases apply.' Hale Henkel, 201 43, 67, 26 370, 376, 50 652. Here, since protects extent course, sanction him, right claim nature. 17 Again, seeks 1954 whom apply instructing granting thus automatically follows order. cites language statute, legislative history, miscellaneous construction. contends determine whether best served exchanging testimony, determines within framework We here (c) pass §§ (a) (b) Act.7 A fair reading indicate warrant agree Weinfeld's interpretation section:8 19 inconclusive. Certainly, contains nothing requires reject construction clearly requires. Especially contended purports raise serious role judiciary doctrine separation powers. repeatedly warned 'if raised, cardinal principle will first ascertain fairly possible avoided.'9 Indeed, stated words strained 'in candid service avoiding doubt.'10 Here strain words. neither torturing disregard clear policy11 avoid advanced witness. reach issue require straining language. circumstances court's duty plainly question.' pages 627—628. 20 Since Court's complied difficulty concluding confined power.' Commission Brimson, 154 447, 1125, 38 1047. 21 further constitutionally sufficient long very real possibility prosecution. urges not, grant portion two parts. prohibits prosecutions worded virtually terms second makes explicit clause construed Adams State Maryland, 347 179, 74 442, 98 608, courts. prohibition First finding statute: 22 act suggestion applied declares, broadly, 'no attending interstate commerce commission criminate him,' etc. 'But testify,' testify, crimes law crimes, passing counterfeit money, etc., cognizable laws; extends indicates intended general, applicable whenever whatever had.' 607—608, 651, 819. 23 Report Committee Judiciary House Representatives supports us: 24 'Even though power subsequent doubtful, prevent enactment recommended bill. ban determined so. addition, provides additional outlawing use Federal. 25 'By these distinct concepts, committee believes fullest achieved.' H.R.Rep. 2606, 83d Cong., 2d Sess. 7. Congressional abolition punish violation presents drastic Adams. itself, prohibited. forbidden prosecute. cannot contested complementary 'To all Laws proper carrying Execution foregoing Powers, Powers vested Officer thereof.' U.S.Const., Article I, cl. 18. reflects increase complete open disclosure removal say Congress' paramount safeguarding justify restriction placed effective conceded power. already, name Clause, upheld jurisdiction, 606—607, 650—651, distinction Hines Davidowitz, 312 52, 61 399, 85 581.12 found nondistinguishable controlling, reconsidered overruled. 'return' literal Amendment. deal previously, Counselman Hitchcock, 142 547, 195, 35 1110, unanimous inadequate predecessor incomplete, merely forbade failed protect based sources obtained testimony. background providing prosecution, passed argued decided. Counselman, appellant's numerous arguments presented James C. Carter, widely acknowledged leader bar.13 closely divided upholding opinions reflect thoroughness issues considered. never challenged; announced consistently treated definitive written, among others, Holmes Brandeis, JJ. See, e.g., McCarthy Arndstein, 266 34, 42, 45 16, 17, 18, 69 158; Heike 227 131, 142, 33 226, 227, 228, 57 450. become part fabric included substantially terms, regulatory enactments Government.' Shapiro 335 1, 1375, 1378, 92 1787. For partial list see, Id., 6—7, note 4, Moreover, exception—a decided prior Walker—have, constitutions, enunciated doctrine, Wigmore, ed.), 2281, statutes compelling exchange form amnesty see n. (pp. 478—501) Pocket Supplement thereto, 147—157). 28 dealing vague, undefinable, admonitory whose addressed changing circumstances. specific peculiarly 'a worth volume logic.' Trust Eisner, 256 345, 349, 41 506, 507, 65 963. establishes literally,14 sole concern is, indicates, danger forced leading infliction 'penalties affixed acts Boyd 116 616, 634, 524, 534, 29 746. leave unqualified, left unqualified displaces danger. Once reason ceases, ceases. reaffirm doing repeat answers points petitioner.15 affirmed. 30 Affirmed. 31 REED concurs statement preference. Murdock Commonwealth 319 105, 115, 63 870, 876, 87 1292; Thomas Collins, 323 516, 530, 315, 322, 89 430; cf., Kovacs Cooper, 336 77, 88, 448, 454, 93 513. 32 DOUGLAS, BLACK concurs, dissenting. & N Decisions reverse conviction. base reversal 746, or, alternative, overrule five-to-four decision adopt minority silence created beyond Congress. First, There attach Communist. These include ineligibility employment facilities, disqualification passport, risk internment, longshoreman—to mention few.1 forfeitures meaning cases protected itself. indication (Supp. II) grants disabilities. majority does. think, indeed, partial, complete, disclosed compulsion. Yet, 586, 206, valid 'supply perils designed guard supra, involved establish goods fraudulently imported payment duties. claimants resisted invoice proceedings. Bradley said, 'A party, being tends property forfeiture.' 638, 536, And Lees 150 476, 163, 37 1150. contrary institutions: 36 '* compulsory discovery extorting party's oath, private books convict forfeit property, principles government. abhorrent instincts Englishman; American. suit purposes despotic abide pure atmosphere political liberty personal freedom.' 631—632, 533, rights citizenship. Any result war apparently distinguishes act. penalties Dennis 494, 857, 1137, plain Party crucial link Smith 54 671, 62 808, 2385, 2385. Blau 340 159, 223, 170. When loses Communist, suffered importer tax evader. lost revenue laws. Both hitched acts. places higher citizenship 39 mean government lifted witness' Congress, surprised hear this. suggest willing pay price existing forfeitures, strike chooses enact enough seems favors. present hold citizenship, less Certainly freedom least dignity property. Second, add qualification 'shall himself.' enforce written qualifies it; reads, 'but result.' Wisely self-accusation exception qualification. 562, 198, Blatchford limited matters, mischief guard.' 42 'mischief' prevented falls three heads. 43 (1) One Shiras, four dissenters alluded declared unconstitutional: 44 protected, prosecuted, furnished indictment, secure acquittal. true? Not competent evidence. condition, then, presumably, furnish bail, trouble expense employing counsel furnishing plea.' 621, 660, wise lightly. experienced Learned Hand once 'I litigant, dread lawsuit almost anything else short sickness death.' Frank, Courts Trial (1949), 40. chain events motion made. truth control left, secrecy broken. accused 'transaction, thing' bars 'testimony compelled.' vast vistas prosecutor leads accusations purview What related offenses confession? How remote offense it? litigation reaction highest facts 46 example, member organization registered Subversive Activities Control 64 987, 781, employed facility, office organization, 5(a)(1), passport. 6(a). named agencies, be. Are Act? 47 Taft-Hartley 146, 159(h), organizations file non-Communist National Labor Relations Board investigations complaints. force testify. testifies Part. files effect. May false affidavit? 48 uncertainties remove. emphasize protective removed qualified manner today. 49 leaves another day, saying extend limits litigation. That means knows are. say. Only distant concession underlines my point. shows exchanged undefined, vague far away. 51 (2) contained conscience expression well. My Framers compel anyone confess crimes. guarded partly legal evial. involved. So guaranteed Amendment.2 Framers, therefore, federally decreed pry one's lips himself. 52 deep sentiment lay behind decision. Some came shores Puritans known hated oath ex officio both Chamber High Commission. Maguire, Attack Common Lawyers Oath Ex Officio Administered Ecclesiastical England, Essays History Political Theory (1936), VII. rebellion Lilburn, Cartwright others instruments oppression. grounds 'hee bound lawes God doe.' Pearson, Elizabethan Puritanism 1535—1603 (1925), 318. Lilburn marshalled many officio, sanctity God: 53 'as me, refuse sinful unlawful strength enabling it, pulled pieces wild horses, ancient Christians bloody tyrants Primitive Church; think faithful Christ's kingdom, hereafter seeing wickedness hath laid refusal whereof cruel persecution day.' Wharton, How.St.Tr. 1315, 1332. literature Levellers, leader, abounds attitude. 1948, published Declaration petition, item reads: 55 'That Statutes kinds Oaths, Corporations, Cities, other, insnare conscientious people, Statutes, injoyning Book Prayer, forthwith repealed nulled, consciences sin consciences.' Haller Davies, Leveller Tracts 1647—1653 (1944), 112. 56 1653, Just Defence wrote: 'Another for, was, mans ought racked oaths imposed, criminal, pretended so.' id., 454. 58 declarations, throw light 'compelled' 59 amending process little aid problem interpretation. indications debates remedied torture exact confessions. Virginia Debates (2d 1805), 221, 320—321; Elliot's 1876), 111. condemnation confessions early Colonies. Massachusetts Body Liberties 1641 'No Torture confesse Crime Connecticut adopted provision. Colony (1865 65. soon followed suit: noe compell sweare himselfe wherein lyable corporall punishment.' Hening, Large, Vol. II, 422. outlawed moral physical An episode administration Governor Bradford Plymouth Plantation illustrates advice ministers asking, 'How farr magistrate extracte confession delinquente, acuse selfe capitall ministers—Ralph Partrich, John Reynor, Chancy—were laws man. Partrich's typical: '(The magistrate) suspected violent means, punishment inflicted threatened inflicted.' Bradford, Plantation, Mass. Hist. Soc. Coll. Ser. III, 390—391. Griswold, Today (1955), 4; Self Incrimination, 22; Pittman, Colonial Constitutional Self-Incrimination America, Va.L.Rev. 763, 769. forgetting robs serve. repeat, court, prying incriminating statements will. individual, safety security, government.3 (3) silence, stand mute high purpose. Field, aim 'which infamy disgrace,' lead 631, 653, powerful maintaining thesis Peter S. Grosscup James, 257, L.R.A. 418, reviewed reign intolerance ruled contests Church State, cruelties procedures. drafting (id., 264): 'Did originate simply themselves law-inflicted forfeitures? pains practical outlawry? aside; pain odium neighbors, excommunication church societies governed prevailing views, liabilities authorize, unfathomable disgrace, susceptible formulation language, brings offender? Then, too, penalties, probe secrets every conversation, society, extending pardon participants, turn involuntary informer. framers contemplate exchangeable always, government, remission participant's disclosure, plighted loyalty grasp prosecutor? 66 Field strong historical ground. recent analysis Professor Mitchell Franklin Tulane illuminates Encyclopediste Origin Meaning Amendment, Guild Rev. 41. how Italian jurist, Beccaria, French English followers, influenced critical Revolution. notorious. Luther inveighed excommunication. 60: censure degrad depose Civill dignitie, office, Authoritie Commonwealth.' Loss dignity, face feudal forms punishment. Infamy historically fine imprisonment.4 67 Beccarian attitude toward concept guess that. Clause haec verba: capital, infamous crime,5 presentment indictment (Italics added.) third here—'No *'—also revulsion society State. works here6 particularly Jefferson,7 main voice curse infamy, showed, opinion. Oppression occurs citizen Brissot de Warville, Beccaria's position, 'It mores rather hands legislator terrible weapon rests, type civil excommunication, deprives victim consideration, severs ties bind fellow citizens, isolates midst society. purer untouched customs are, infamy.' Theorie des Loix Criminelles (1781) 188. Pastoret 'Infamy, opinion, exists independently legislator; employ adroitly salutary punishment.'8 Des Penales (1970), Pt. 2, 121. tradition Lord Treby 1696 penalty, Freind, 17. apart mentioned. practically excommunicates School boards hire him. Adler Education, 342 485, 72 380, 96 517. lawyer risks exclusion bar (In re Anastaplo, Ill.2d 471, 121 North Eastern 826); doctor, revocation license practice (cf. Barsky Regents, 650, 829). actor, black list. (See Horowitz, Loyalty Tests Employment Motion Picture Industry, Stan.L.Rev. 438.) able lowest level, all. persuasive 264—265, 1894: 70 battle attained, but, absence din clash, comprehend safeguards employed. shield briber, liquor seller, usury taker, duelist, violators accepted moved break cast aside, unmindful splendid purpose threw forward. disadvantages now, fixed privilege, until extended certain, either, yet serve useful oppression crowns principalities unquestionably over, frightful selfish, ruthless, merciless majorities constitute chapters history. accusation, guarantied fifth amendment, meant consequences disclosure.' exercises stands disrepute. pays exercising point casts outer darkness, happens today exposed head compels disclosure. precisely prohibits. Finally, disturb established always re-examine precedents, established. Erie R. Tompkins, 304 64, 817, 82 1188, overruled Swift Tyson, Pet. 865, rule years. South-Eastern Underwriters Ass'n, 322 1162, 88 1440, Paul Virginia, Wall. 168, 357, previously. Kilbourn Thompson, 103 377, Anderson Dunn, Wheat. 204, 242, standing bare now old, venerable decisions showed outlived usefulness conceived error. rejection certainly disruptive system overruling affected trial diversity Father Fearon, O.P., misapprehension: 'What obligation recourse Amendment? natural circumstance law. Actually determination quite clear: alike defined inconceivable simultaneously recourse, duties correlative. Nor non-recourse piety binding men waived defeated common welfare nation prosper.' Investigations Moral Theology, Commonweal, Feb. 19, 497, 499. 'If keeping representative saving, fundamentals—not some, All woven well-being. fast only, abandon moment, inconvenient. prostrated, end surely fall. success failure theory depends fidelity interdependent immortal charter orderly freedom, States.' Beveridge, Assault Fundamentals, Reports Ass'n., 188, 216 (1920). tariffs, contracts, agreements documents Commission, obedience subpoena proceeding, otherwise, growing entitled, 'An regulate commerce,' documentary thing, proceeding: Provided, testifying.' J., joined Gray White, JJ., dissented. stated: entirely chief, substantial, offender shielding railway answering charge provisions. notwithstanding punishment, incur disgrace questions, worthy consideration.' 609—610, 651 concluded: 'But, true, above cited, still answer, elucidated material issue.' 651. fuller exposition, 605—606, 650. '(a) course overthrow violence, House, joint Houses forfeiture, record that— '(1) proceedings members House; '(2) committee, two-thirds full affirmative vote authorized transactions, things direction presiding officer 'that carried entered issued concerned. '(b) Neither thereof notified action thereafter held. each proposed opportunity heard thereto entrance court.' footnotes judge's renumbered. 'Crowell Benson, 285 22, 62, 285, 296, 598; Rumely, 345 41, 45, 73 543, 97 770; C.I.O., 106, 1349, 1849; concurring Ashwander T.V.A., 297 288, 341, 348, 466, 80 688, cited.' 'United 47, 546, 770.' 'Cf. 1787.' consider unconstitutional later continuing conspiracy. provide, provided, worse abrogate immunity; goes relieving accusation forces supply defense; puts heavy burden indicted, prove testified indicted; entitled something probably purpose; subjects safeguard; crime; interpreted, protection; narrow called given; reveal him; finally attempt delegated mathematical formulas essence form; organic, living institutions transplanted soil. significance vital, formal; gathered taking dictionary, considering origin line growth.' Gompers 233 604, 693, 695, 1115. discuss argument, relying associations objectionable implications tribunal invokes exemption withholding Although argument applied, cited 'all Weinfeld opposition contention rest proceed basis Appellate Courts.' objection assertion unconstitutionality noted petitioner—who, shows, advised especially field, desirous making test case—refused time, counsel, dispensing minutes took place 'the feared pleaded Constitution.' 992, 784, 777, 784 (prohibition facilities); 993, 785, 785 (ineligibility passport); 1019, 811—826, 811—826 (the internment); 220, 427, 191, 191; CFR, 1955 Cum.Supp. 125.01, 125.29 (possibility longshoreman). 776, 843, 843. discussed hereafter, engage activity, work identification freedoms Vinson Communications Douds, 339 382, 402, 674, 686, 94 925, said: 'Under circumstances, indirect 'discouragements' undoubtedly coercive effect imprisonment, fines, injunctions taxes. requirement adherents religious faiths, parties wear identifying arm-bands, obviously nature.' Dean Erwin N. Griswold Harvard recently 'Where belief views essential elements charge, difficult get Hence, over perhaps greatest connection resistance heresy areas hindrance wish prosecute thoughts alone.' Today, supra 8—9. Roman Law traced Tatarczuk, Law, Canon Studies Catholic University America (1954), 1—13. attached familiar: army, service, rights. 10. arising recognize 'infamous crime' changes age another. parte Wilson, 114 417, 935, 940, 89; Mackin 117 351, 778, 909; Moreland, 258 433, 441, 451, 368, 371, 374, 700 (dissenting J.). 35, 38, 673, decide 'very important' 'infamous' defendant became "ineligible honor, profit, trust States." Miller 'When sentence indelible party declaration direct article constitution arise cannot, information.' 112 82, 673. lower 426, 939, 89. Sixth Amendments petit juries barriers individual. help played Attainder clauses 9, 3; 1. Bills pale imposition outlawry Executive proscribed professions. Lovett, 328 303, 1073, 90 1252; Garland, 333, 366; Cummings Missouri, 277, 356. Beccaria principally introduced Voltaire. Barr, Voltaire (1941), 23—24. Barr states, 'Beccaria's Essay Crimes Punishment famous commentary immediately appearance France Voltaire's popular lending libraries quickly sold bookstores, formation social separate monograph trace influence epoch-making tract.' 119. Chinard, Commonplace Jefferson (1926), 298 seq. Pastoret, 125—126, 'Penalties which, France, (in addition corporal afflictive penalties), la claie,* iron collar pillory, death, censure, memory, around ass wearing straw hat, degradation nobility, confirms apology, alms permanent office.' Trainer sue claie drag condemned execution. done bodies suicides. description this, Saint-Edme, Dictionnaire De La Penalite Dans Toutes Les Parties Du Monde Connu (1825), 242—244.

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