DAVIS v. UNITED STATES
No. 72-1454
Supreme Court of the United States
Argued February 26, 1974—Decided June 10, 1974
417 U.S. 333
Marvin M. Karpatkin argued the cause for petitioner. With him on the briefs was Melvin L. Wulf.
Edmund W. Kitch argued the cause for the United States. With him on the brief were Solicitor General Bork, Assistant Attorney General Petersen, Deputy Solicitor General Frey, Jerome M. Feit, and Frederick W. Read III.
This case involves the availability of collateral relief from a federal criminal conviction based upon an intervening change in substantive law. While the question presented is a relatively narrow one, it arises as the result of a rather complicated chain of events.
I
In February 1965, the petitioner, Joseph Anthony Davis, was classified I-A by his draft board and ordered to report for a pre-induction physical examination. Davis failed to appear on the appointed date. He later informed his local board that his failure to report was due to illness. Although the board attempted to arrange
After another unsuccessful attempt to communicate with the petitioner, the local board declared him a delinquent, pursuant to
At the time that the local board issued the second induction order,
Davis appealed his conviction to the
After Gutknecht, the Court of Appeals remanded the petitioner‘s case to the District Court “without limitation of scope but especially for consideration . . . in the light of the intervening decision of Gutknecht v. United States.” 432 F. 2d 1009, 1010 (1970). On remand,
While Davis’ subsequent petition for certiorari was pending in this Court, the Court of Appeals for the Ninth Circuit decided United States v. Fox, 454 F. 2d 593. The circumstances leading to Fox‘s induction order were virtually identical to those in the petitioner‘s case. Like Davis, “Fox was declared delinquent by his Selective Service Board . . . for his failure to appear for pre-induction physical examinatiоns as ordered . . . .” Ibid. Prior to receiving his induction order, “Fox . . . was never found to be ‘acceptable for service’ and he was [not] mailed a Statement of Acceptability . . . at least 21 days before his induction date . . . .” “[T]hus the only authority the Local Board had for its order to Fox to report for induction was the provision of
At Fox‘s post-Gutknecht trial for failure to report for induction, “the government offered evidence . . . to show that Fox‘s induction order was not accelerated by the declaration of delinquency.” “The trial judge found no acceleration and convicted.” Id., at 593-594. The Court of Appeals reversed Fox‘s conviction on the authority of Gutknecht. The court held that “Fox‘s induction was accelerated by the declaration of delinquency as a matter of law [because] [w]ithout the declaration, the Board could not have ordered him to report for induction.” Id., at 594. Thus, the court concluded “that the [induction] order . . . was illegal and created no duty on Fox‘s part to report for induction.” Id., at 595.
In opposing Davis’ petition for certiorari, the Solicitor General conceded that “the holdings in Fox and in [Davis] are inconsistent,” but nevertheless urged the Court to deny certiorari in that “the conflict is an intracircuit one . . . [to] be resolved by the Ninth Circuit itself . . . .” Supplemental Memorandum for the United States in Opposition 2 (No. 71-661, O. T. 1971). We denied Davis’ petition for certiorari. 405 U. S. 933.
After an unsuccessful attempt to secure a rehearing in the Court of Appeals, Davis was remitted to federal custody to commence serving his three-year sentence. He then instituted the present collateral proceeding under
II
The sole issue before the Court in the present posture of this case is the propriety of the Court of Appeals’ judgment that a change in the law of that Circuit after the petitioner‘s conviction may not be successfully asserted by him in a
Because the petitioner had unsuccessfully litigated the Gutknecht issue on direct review, the Court of Appeals held that its earlier affirmance was “the law of the case” and precluded the petitioner from asserting on collateral attack his claim that its Fox decision had subsequently changed the law of the Ninth Circuit on that issue. In this Court, the Solicitor General‘s brief concedes that the оpinion of the Court of Appeals in this regard “is not consonant with this Court‘s holding in Sanders v. United States, 373 U. S. 1.”13 In Sanders, the Court held, inter alia, that even though the legal issue raised in a
Nevertheless, the Solicitor General contends that we should affirm the judgment of the Court of Appeals because the petitioner‘s claim is not “of constitutional dimension” (Brief for United States 34) and thus is not cognizable in a
It is argued forcefully in a dissenting opinion today that this language, which appears in the first paragraph of
“If the court finds that the judgment was rendered without jurisdiction, or that the sentence imposed was not authorized by law or otherwise open to collateral attack, or that there has been such a denial or infringement of the constitutional rights of the prisoner as to render the judgment vulnerable to collateral attack, the court shall vacate and set the judgment aside and shall discharge the prisoner or resentence him or grant a new trial or correct the sentence as may appear appropriate.”
The dissent of MR. JUSTICE REHNQUIST rejects any suggestion that the language concerning “sentence[s] . . . otherwise open to collateral attack” can encompass a claim that a confinement under that sentence violates the “laws of the United States,” contending that this would reduce the remaining language regarding “a denial or infringement of constitutional rights” to surplusage. Indeed, the nub of the dissent is that
That history makes clear that
No microscopic reading of
Moreover, there is no support in the prior holdings of this Court for the proposition that a claim is not cognizable under
This is not to say, however, that every asserted error of law can be raised on a
In this case, the petitioner‘s contention is that the decision in Gutknecht v. United States, as interpreted and applied by the Court of Appeals for the Ninth Circuit in the Fox case after his conviction was affirmed, establishes that his induction order was invalid under the Selective Service Act and that he could not be lawfully convicted for failure to comply with that order. If this contention is well taken, then Davis’ conviction and punishment are for an act that the law does not make criminal. There can be no room for doubt that such a circumstance “inherently results in a complete miscarriage of justice” and “present[s] exceptional cir-
The judgment of the Court of Appeals is accordingly reversed and the case is remanded for further proceedings consistent with this opinion.
It is so ordered.
MR. JUSTICE POWELL, concurring in part and dissenting in part.
I agree with the Court‘s holding that review under
Petitioner‘s case turns on whether his conviction for refusing induction has been invalidated by Gutknecht v. United States, 396 U. S. 295 (1970). Both parties have raised, briefed and argued this issue, and it is properly before us. We should, in the interest of judicial economy if for no other reason, decide the Gutknecht issue and bring to an end this lengthy litigation, rather than remand it to the Court of Appeals for that court‘s fourth round of consideration.
In my view, petitioner‘s reliance upon Gutknecht is misplaced. Petitioner reads Gutknecht as invalidating the former delinquency regulations of the Sеlective Service System in every possible application.1 He espouses a per se rule under which any induction order that derived from an application of those delinquency regulations is illegal. Gutknecht does not have such a broad sweep.
The Court‘s opinion in Gutknecht repeatedly refers to this deliberately punitive attitude of the Service аnd its use of the then prevailing delinquency regulations as a means, short of criminal prosecution, for dealing with such persons. See, e. g., 396 U. S., at 306-308. But I do not read Gutknecht as overturning the former delinquency regulations in all circumstances, or as depriving boards of a reasonable and effective alternative procedure for dealing with recalcitrant registrants who plainly were seeking to avoid military service. If the stated rationale of the holding in Gutknecht is accepted, that case invalidated those regulations only insofar as they were applied punitively to advance the date of a registrant‘s induction or to deprive him of procedural rights that he had not waived. See United States v. Dobie, 444 F. 2d 417 (CA4 1971). The reasons relied upon by the Court in Gutknecht and in the concurring opinion
In the instant case it is undisputed that Davis was not, as a result of being declared delinquent, ordered to report for induction at a point in time prior to the normal order of his call. Indeed, due to the board‘s patient efforts to deal with Davis’ repeated attempts to obstruct the induction process, Davis was ordered to report for induction some seven months later than would have been the case if the process had been allowеd to function normally. There is no hint of vindictiveness or of an attempt to punish Davis.
The only impact on Davis of being declared delinquent, other than a delay in the issuance of an order to report for induction, was that the declaration of delinquency permitted the board under then prevailing regulations to issue an induction order in the absence of a pre-induction physical examination and of the resulting form letter notifying Davis of his acceptability for service.2 Davis attempts to portray these preconditions
On the record in this case, no one could seriously contend that Davis was the victim of punitive action or that he was not treated with tolerance and forbearance. In my view, the Court in Gutknecht could hardly have intended to invalidate an induction order in such circumstances.
I would affirm the judgment.
MR. JUSTICE REHNQUIST, dissenting.
The Court today holds, with a minimum of discussion, that petitioner, in a proceeding under
I
The Court‘s conclusion, discussed infra, that claims such as petitioner‘s can be raised on a
II
The facts of this case are set out in detail in the Court‘s opinion. I review them here briefly only to emphasize the extent of both administrative and judicial consideration which petitioner has received. A mere recounting of the facts dispels the notion that there are any equities whatever in support of petitioner‘s claim for relief.
Petitioner‘s difficulties with the Selective Service System began in February of 1965 when he was classified I-A by his local draft board. At that time he was ordered to report for a pre-induction physical examination, but did not appear on the specified date. The board then attempted to schedule another physical but was frustrated by petitioner‘s failure to advise the board of his whereabouts. At this point the board warned petitioner that he was in danger of being declared a delinquent, but this warning was also returned with the notation “addressee unknown.”
The board made one more unsuccessful attempt to communicate with petitioner and then declared him a delinquent according to the regulations then in effect.1 After a brief interval the board then mailed petitioner, not a third notice to report for a physical examination, but rather a notice to report for induction. This оrder having been returned stamped “addressee unknown,” the board followed up by sending petitioner a second notice to report for induction which he apparently received. He did not report, however, and was then prosecuted for this refusal.
Having been convicted in the District Court, petitioner took a direct appeal to the Court of Appeals for the Ninth Circuit. While the appeal was pending in that court, however, this Court decided Gutknecht, and the Court of Appeals then remanded the case to the District Court for further consideration in light of our decision. On remand, the District Court decided that Gutknecht did not apply because petitioner‘s induction had not in fact been accelerated.3 The court also found that “[d]efendant‘s substantial rights were not prejudiced by the Local Board‘s ordering him to report for induction without first giving him a physical examination and sending
Although one might have supposed the proceedings to be closed at this point, our denial of certiorari marked only the end of phase one. For petitioner, having failed on his direct attack, then sought relief under
III
For reasons that I frankly do not understand, the Court seems to believe that the question of whether claims such as petitioner‘s may be raised in a motion under
In deciding whether claims of this type may be raised in a
The Court begins its discussion of the statute by stating: “At the outset, we note that the Government‘s position finds scant support in the text of
“A prisoner in custody under sentence of a court established by Act of Congress claiming the right to be released upon the ground that the sentence was imposed in violation of the Constitution or laws of the United States, or that the court was without jurisdiction to impose such sentence, or that the
sentence was in excess of the maximum authorized by law, or is otherwise subject to collateral attack, may move the court which imposed the sentence to vacate, set aside or correct the sentence.”
That paragraph, howevеr, does not speak of an illegal “confinement,” as suggested by the Court, or even of an illegal conviction, but rather of illegal sentences. Furthermore, the paragraph is concerned only with motions for relief, not with the Court‘s power to grant relief. The power to grant relief is instead governed by the more specific provisions of paragraph three of the statute.
The language of paragraph three differs quite strikingly from the language quoted above. After providing for notice and a hearing in appropriate cases, the paragraph continues:
“If the court finds that the judgment was rendered without jurisdiction, or that the sentence imposed was not authorized by law or otherwise open to collateral attack, or that there has been such a denial or infringement of the constitutional rights of the prisoner as to render the judgment vulnerable to collateral attack, the court shall vacate and set the judgment aside and shall discharge the prisoner or resentence him or grant a new trial or correct the sentence as may appear appropriate.”
This language certainly makes less clear the intended scope of pаragraph one, since, contrary to the emphasis on “sentence” in the earlier paragraph, the provisions of paragraph three mention “sentence” which may be set aside only twice, and then in connection with those “not authorized by law or otherwise open to collateral attack....” 13 More importantly, the paragraph makes
The Court, however, strongly suggests that its opinion could rest upon the provision of paragraph three providing relief for “sentence [s] . . . otherwise open to collateral attack.” This suggestion only compounds the confusion. To begin with, it seems odd that the Court chooses to bypass the language of that same sentence dealing with sentences (rather than judgments) “not authorized by law” since that language far more closely parallels the language from the first paragraph cited by the Court. But, in any event, reading words “otherwise open to collateral attack” as simply a catch-all phrase, including any recognizable ground for upsetting convictions on direct appeal makes it difficult to see why Congress then bothered to include the separate provision allowing relief when “there has been such a denial or infringement of the cоnstitutional rights of the prisoner as to render the judgment vulnerable to collateral attack . . . .” The Court could not reasonably argue that this provision is intended to give additional protection to constitutional rights because the Court purports to find no distinction in the statute between constitutional and nonconstitutional attacks on judgments of conviction.
But assuming for the moment that the Court‘s approach is correct, I find a second obstacle to this decision in the definition, or lack of definition, of the word “laws.” For though the Court seems to accept that petitioner has stated a recognizable claim that his sentence was somehow imposed in violation of the laws of the United States, the Court only briefly mentions what law the sentence is thought to be in violation of. Certainly petitioner cannot contend that his sentence under
The term “laws of the United States” was included in
Certainly a creditable argument could be made that the term “laws” applies only to federal statutes, not to individual decisions of the federal courts. In 1842, for example, only 25 years before the Habeas Corpus Act
IV
The Court‘s lack of attention to the statutory language in this case is more than matched by the sparsity of the case law it cites. Although the Court seems to accept without question that both relief under
“Thе failure of a trial court to ask a defendant represented by an attorney whether he has anything
to say before sentence is imposed is not of itself an error of the character or magnitude cognizable under a writ of habeas corpus. It is an error which is neither jurisdictional nor constitutional. It is not a fundamental defect which inherently results in a complete miscarriage of justice, nor an omission inconsistent with the rudimentary demands of fair procedure. It does not present ‘exceptional circumstances where the need for the remedy afforded by the writ of habeas corpus is apparent.‘” 368 U. S., at 428. (Emphasis added; citations omitted.)
The only other case mentioned by the Court which might be relevant to this issue is Sunal v. Large, 332 U. S. 174 (1947), a case like Hill in which this Court denied relief for a claim with no constitutional foundation. The Court today suggests, by stress on a negative pregnant, that the decision to deny habeas corpus relief in that case was grounded solely on the petitioner‘s failure to raise his claim on direct appeal and that if the issue had been properly raised, the Court would have reached a different conclusion. It is true, of course, that collateral relief is not to be employed as a substitute for an appeal, and Sunal is a leading case for that proposition. But a reading of Sunal which recognizes only the effect of failure to appeal is unnecessarily grudging. The Court in Hill, for example, although faced with a situation in which the noncompliance with Rule 32 (a) was not raised on appeal, did not imply that the error could have been raised in
Although the scope of relief in a habeas corpus proceeding remains largely undefined, probably out of concern
The lack of foundation from which the Court now proceeds to fashion a new, expansive collateral-relief doctrine unfortunately suggests that the Court is prepared to extend or retract relief on the basis of whether a majority of the Court believes that a particular set of factual circumstances is “exceptional” or that a particular litigant has raised an appealing point. Thus, the petitioner in Hill is barred from raising his claim at all in a
V
The Court‘s rather brief dismissal of the Government‘s arguments in this case might be understandable were the issues of less importance, or the result less likely to produce severe repercussions. After all, the scope of
(1) This Court occasionally, though not with great frequency, is called upon to resolve conflicts among the courts of appeals on nonconstitutional criminal questions. For example, in January of 1974, the Court decided United States v. Maze, 414 U. S. 395, a case in which we were asked to resolve a conflict among the courts of appeals concerning the circumstances under which fraudulent use of a credit card might violate the federal mail fraud statute. The Courts of Appeals for the Sixth and Tenth Circuits had construed the scope of the statute somewhat more narrowly than five other
The Court‘s decision today seems to provide full opportunity for all defendants convicted under the Mail Fraud Act in the circuits whose view was not accepted to relitigate those convictions in a
(2) The Court of Appeals for the Ninth Circuit, in affirming the dismissal of petitioner‘s
These examples unfortunately may be multiplied. Admittedly, the Court does attempt to set a minimum threshold for such claims, requiring “‘a fundamental defect . . . inherently result[ing] in a complete miscarriage of justice,‘” and “‘exceptional circumstances where the need for the remedy afforded by the writ of habeas corpus is apparent.‘” (Ante, at 346.) This dictum, it is hoped will partially offset the effect of the holding in this case, though if this petitioner‘s case represents a miscarriage of justice it is hard to imagine one that does not. But one must be concerned that the Court, having taken this giant step so casually, may find the next step equally easy to take, allowing perhaps challenges to evidentiary rulings and other trial matters heretofore considered inappropriate for federal habеas corpus.
VI
The decision in this case cannot reasonably be explained by the maxim “Hard cases make bad law,” for although the law made is bad the case is not hard.
I therefore dissent from the Court‘s opinion. Were I persuaded otherwise, on that score, however, I would nonetheless agree for the reasons stated by MR. JUSTICE POWELL in his concurring and dissenting opinion, ante, p. 347, that the judgment should be affirmed.
Notes
The petitioner in Kaufman, in contrast to the petitioner here, sought relief on the ground that he had been subjected to an unconstitutional search and seizure. The Court‘s recognition of the constitutional tenor of his claim is evident throughout the opinion. For example, the Court clearly stated that “the availability of collateral remedies is necessary to insure the integrity of proceedings at and before trial where constitutional rights are at stake,” 394 U. S., at 225 (emphasis added), and that “[t]he provision of federal collateral remedies rests more fundamentally upon a recognition that adequate protection of constitutional rights relating to the criminal trial process requires the continuing availability of a mechanism for relief.” Id., at 226 (emphasis added).
