CARLISLE v. UNITED STATES
No. 94-9247
Supreme Court of the United States
Argued January 16, 1996—Decided April 29, 1996
517 U.S. 416
James A. Christopherson argued the cause and filed briefs for petitioner. With him on the briefs was Joel R. Myler.
Paul A. Engelmayer argued the cause for the United States. With him on the brief were Solicitor General Days, Acting Assistant Attorney General Keeney, Deputy Solicitor General Dreeben, and David S. Kris.
JUSTICE SCALIA delivered the opinion of the Court.
This case presents the question whether a district court has authority to grant a postverdict motion for judgment of
I
Petitioner Charles Carlisle, along with several co-defendants, was tried by jury in the United States District Court for the Western District of Michigan for conspiracy to possess with intent to distribute marijuana, in violation of
When Carlisle appeared for sentencing on October 14, 1993, the District Court announced that it was reversing its ruling. When it made its decision in August, the court said, it had prepared two opinions, one granting and one denying the motion, and it had now decided to substitute the former for the latter. The court subsequently entered an order that
“. . . I can conceive of no prejudice to the United States which will result from consideration of a motion that is one day lat[e] in this case. Because I believe that refusal to hear this motion would result in grave injustice, and because [
Rule 29(c) ] permits the Court to extend the deadline, I will consider this motion as if it were filed in a timely manner.” Id., at 37.
The United States Court of Appeals for the Sixth Circuit reversed the judgment of acquittal and remanded to the District Court for reinstatement of the jury‘s verdict and for sentencing. It held that under
II
Petitioner argues that district courts “should be given the power to go outside the strict time limits of
Unable to offer any reading of
“The court on motion of a defendant or of its own motion shall order the entry of judgment of acquittal of one or more offenses charged in the indictment or information after the evidence on either side is closed if the evidence is insufficient to sustain a conviction of such offense or offenses.”
It would be quite a surprise to find a district court‘s sua sponte power to grant judgment of acquittal after submission of the case to the jury hidden away in a provision entitled “Motion Before Submission to Jury.” We are not inclined to adopt an interpretation that creates such a surprise unless the intent that the text exceed its caption is clear.
Petitioner‘s proposed reading would create an odd system in which defense counsel could move for judgment of acquittal for only seven days after the jury‘s discharge, but the court‘s power to enter such a judgment would linger. In United States v. Smith, 331 U. S. 469 (1947), we declined to read former
The Government offers an alternative theory of a court‘s power to act sua sponte under
“These rules are intended to provide for the just determination of every criminal proceeding. They shall be construed to secure simplicity in procedure, fairness in administration and the elimination of unjustifiable expense and delay.”
This Rule is of no aid to petitioner. It sets forth a principle of interpretation to be used in construing ambiguous rules, not a principle of law superseding clear rules that do not achieve the stated objectives. It does not, that is to say, provide that rules shall be construed to mean something other than what they plainly say—which is what petitioner‘s proposed construction of
We must acknowledge that there is precedent in this Court for using
sua sponte, in order to invite such a motion later. It is our hope and belief that no such district judge exists.
Finally, petitioner cannot rely on
III
As alternative authority for the District Court‘s action, petitioner invokes courts’ “inherent supervisory power.” Brief for Petitioner 9. We have recognized that federal
neglect.” See
In Chambers v. NASCO, Inc., 501 U. S. 32, 47 (1991), we said that we would not “lightly assume that Congress has intended to depart from established principles’ such as the scope of a court‘s inherent power,” id., at 47 (quoting Weinberger v. Romero-Barcelo, 456 U. S. 305, 313 (1982)). Similarly, in Link v. Wabash R. Co., 370 U. S. 626, 629-632 (1962), we said that since a district court‘s authority to dismiss sua sponte for lack of prosecution was a “sanction of wide usage,” we would not assume, in the absence of a clear expression, that
IV
Petitioner‘s three remaining arguments need not detain us long. First, he argues that the District Court had power to enter a judgment of acquittal in this case under the
verdict. The dissent apparently thinks it an adequate explanation for this lack of support that, prior to our decision in United States v. Smith, 331 U. S. 469, 474 (1947) (suggesting that sua sponte grant of a new trial may raise double jeopardy concerns), district courts could order new trials where there was insufficient evidence to sustain the jury verdict. Post, at 442-443. But if these district courts truly had latent inherent power to enter a judgment of acquittal, surely at least some of them would have been willing to give a legally innocent defendant that to which he was entitled—viz., a judgment of acquittal rather than just a new trial.
Second, petitioner asserts that the failure to allow the District Court to enter a judgment of acquittal would violate the Due Process Clause of the Fifth Amendment. His argument on this point consists of nothing more than bald assertions that
V
Finally, we may respond to some of the many arguments put forward by the dissent. The dissent makes the sweeping assertion that “a district court clearly has the inherent authority to ensure that a legally innocent defendant is not wrongfully convicted,” post, at 442. Perhaps so. As the dissent itself recognizes, however, that power has come to an end once an appeal has been taken. Post, at 452-453. We are in accord, then, that there is some point at which the district court is rendered powerless to enter a judgment of acquittal, and the disagreement between us and the dissent
In an effort to explain why, if a
The dissent asserts that “permissive rules do not withdraw pre-existing inherent powers.” Post, at 452. That assertion is really not relevant to the present case since, as we have discussed, the power to enter postverdict judgments of acquittal sua sponte was not a “pre-existing inherent power.” See supra, at 426-428, and n. 5. But besides the lack of factual predicate for its application here, the principle the dissent proposes would produce some extraordinary consequences. For example, as the cases cited by the dissent illustrate, see post, at 439-440, courts previously have ordered new trials sua sponte.
The decisions of Justice Harlan relied upon by the dissent to support the proposition that permissive rules do not eliminate inherent powers are not germane. We have discussed Link above, see supra, at 426. In United States v. Ohio Power Co., 353 U. S. 98, 104 (1957), Justice Harlan noted that this Court has proceeded on the assumption that we have inherent authority to “affect judgments by action which would otherwise be out of time under [our own] Rules.” That statement would be relevant if the present case involved a district court‘s departure from one of its own rules—which of course it does not. In Fernandez v. United
Finally, the dissent contends that United States v. Sisson, 399 U. S. 267 (1970), supports existence of the “inherent power” petitioner invokes. See post, at 448-449. We think not. Sisson did not “implicitly conclude” that it was proper to enter a postverdict judgment of acquittal without motion, because the propriety of the judgment of acquittal was irrelevant to the decision. The only issue was whether the judgment appealed from was a judgment of acquittal (proper or improper), because that would mean that the Government‘s appeal under the former
*
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We conclude that the District Court had no authority to grant petitioner‘s motion for judgment of acquittal filed one day outside the time limit prescribed by
It is so ordered.
In Part I of his dissenting opinion, JUSTICE STEVENS makes a persuasive argument that, absent a rule to the contrary, district judges have an “inherent authority” to enter a judgment of acquittal, although, for the reasons offered by the majority, ante, at 426, I am not persuaded that this inherent authority extends to the power to act sua sponte to grant a judgment of acquittal after the jury has returned a verdict. In any event, I accept the received view that inherent power generally is subject to legislative abrogation, see Bank of Nova Scotia v. United States, 487 U. S. 250, 254-255 (1988); ante, at 426, and although Congress‘s power is not necessarily plenary, its limits are not implicated here. While there may be some point at which legislative interference with a court‘s inherent authority would run afoul of Article III, see Chambers v. NASCO, Inc., 501 U. S. 32, 58 (1991) (SCALIA, J., dissenting) (“Some elements of that inherent authority are so essential to ‘[t]he judicial Power,’ U. S. Const., Art. III, § 1, that they are indefeasible“), it is not seriously contended that
JUSTICE GINSBURG, with whom JUSTICE SOUTER and JUSTICE BREYER join, concurring.
I join the opinion of the Court and highlight features of the case key to my judgment.
It is anomalous to classify time prescriptions, even rigid ones,* under the heading “subject matter jurisdiction.” That most basic requirement relates to the subject matter of the case or controversy or the status of the parties to it. See 13 C. Wright, A. Miller, & E. Cooper, Federal Practice and Procedure § 3522, p. 78 (2d ed. 1984); Restatement (Second) of Judgments § 11 (1982) (defining “subject matter juris-
This Court has recognized one sharply honed exception to rules of the 29(c)/45(b) genre. That exception covers cases in which the trial judge has misled a party who could have—and probably would have—taken timely action had the trial judge conveyed correct, rather than incorrect, information. See Thompson v. INS, 375 U. S. 384, 386-387 (1964) (per curiam) (had trial judge not misinformed party that his new trial motion was made “in ample time,” party “could have, and presumably would have, filed the appeal within 60 days of the entry of the original judgment, rather than waiting, as he did, until after the trial court had disposed of the [new trial motion]“); Harris Truck Lines, Inc. v. Cherry Meat Packers, Inc., 371 U. S. 215, 216-217 (1962) (per curiam) (instructing that petitioner‘s appeal be heard on the merits
Carlisle‘s counsel was not misled by any trial court statement or action; rather, he neglected to follow plain instructions.
It bears emphasis, finally, that the Government recognizes legal avenues still open to Carlisle to challenge the sufficiency of the evidence to warrant his conviction: on appeal (subject to “plain error” standard); and through a postconviction motion, under
JUSTICE STEVENS, with whom JUSTICE KENNEDY joins, dissenting.
As long as a federal court retains jurisdiction over a criminal case, it has the authority to ensure that no conviction is entered unless the prosecutor has proved the defendant‘s guilt. The exercise of the court‘s inherent power to set
Viewed in this light, the majority places more reliance on the negative implication in
I
Trial judges are kept busy responding to motions, objections, and requests by the litigants. It is quite wrong, however, to assume that a judge is nothing more than a referee whose authority is limited to granting or denying motions advanced by the parties. As Learned Hand tersely noted, a “judge, at least in a federal court, is more than a moderator; he is affirmatively charged with securing a fair trial, and he must intervene sua sponte to that end, when necessary.” Brown v. Walter, 62 F.2d 798, 799 (CA2 1933). That duty encompasses not only the avoidance of error before it occurs, but the correction of error that may have occurred earlier in a proceeding.
The basic principle has been stated many times. There is a “‘power inherent in every court of justice so long as it retains control of the subject matter and of the parties, to correct that which has been wrongfully done by virtue of its process.’ Arkadelphia Co. v. St. Louis Southwestern Ry. Co., 249 U.S. 134, 146. See Northwestern Fuel Co. v. Brock, 139 U.S. 216, 219.” United States v. Morgan, 307 U.S. 183, 197 (1939).
Examples of the exercise of the federal courts’ inherent powers are abundant in both our civil and our criminal jurisprudence.1 Indeed, when he was serving on the Court of Appeals for the Ninth Circuit, then-Judge Kennedy, after considering a series of cases that recognized various inherent judicial powers,2 correctly pointed out:
“Exercise of judicial power by entry of orders not expressly sanctioned by rule or statute in order to correct the legal process or avert its misfunction has been approved in varied circumstances.” Arizona v. Manypenny, 672 F.2d 761, 765, cert. denied, 459 U.S. 850 (1982).
When a federal court declines to enter a judgment of conviction against a defendant whom it should have directed the jury to acquit, it clearly corrects the legal process and averts its misfunctioning. Given the various sua sponte powers that district courts unquestionably may exercise in order to ensure that legally innocent defendants are not convicted, it is clear that they also possess the inherent authority sua sponte to enter postverdict acquittals when the Government has failed to prove that a defendant is guilty.
District courts have long exercised their inherent power to direct an acquittal sua sponte when the prosecution fails to prove its case at the close of evidence. See Wiborg v. United States, 163 U.S. 632, 659 (1896); Cady v. United States, 293 F. 829 (CADC 1923); Nosowitz v. United States, 282 F. 575, 578 (CA2 1922).3 They have also long exercised
The District Courts’ longstanding exercise of these inherent powers is entirely consistent with the conclusion that a district court acts within its power when it enters a judgment of acquittal upon setting aside an unsupported jury verdict. To be sure, the early cases reveal that District Courts typically ordered new trials, rather than acquittals, upon concluding that the jury‘s verdict was not supported by legally sufficient evidence. However, subsequent cases demonstrate that as courts became concerned that the new
The earliest cases involve appellate courts entering judgments of acquittal in order to remedy a district court‘s failure to direct the jury to acquit. See Nosowitz v. United States, 282 F. 575 (CA2 1922); Cherry v. United States, 78 F.2d 334 (CA7 1935); Reiner v. United States, 92 F.2d 823 (CA9 1937); see also France v. United States, 164 U.S. 676 (1897) (remanding to the District Court with directions to enter such judgment); Romano v. United States, 9 F.2d 522 (CA2 1925) (same). Later cases reveal that District Courts soon followed suit, either by ruling on reserved, preverdict acquittal motions or by granting postverdict motions to acquit. See Ex parte United States, 101 F.2d 870 (CA7 1939); United States v. Standard Oil Co., 23 F. Supp. 937 (WD Wis. 1938), aff‘d in United States v. Socony-Vacuum Oil Co., 310 U.S. 150, 165, n. 1 (1940); State v. Meen, 171 Wis. 36 (1920) (same); see also Advisory Committee‘s Notes to
In light of this history, it makes no sense to conclude that a federal district court lacks the inherent power to enter sua sponte a postverdict judgment of acquittal. A trial court‘s postverdict entry of a judgment of acquittal is in substance no different from an appellate court‘s order directing entry of that same judgment. Moreover, the double jeopardy concerns that may bar a district court from ordering a new trial to remedy its failure to have directed an acquittal cannot sensibly be understood to prohibit the district court from providing a defendant some measure of relief from a legally
In all events, a district court clearly has the inherent authority to ensure that a legally innocent defendant is not wrongfully convicted. It would be most strange to conclude that this authority, which enables a district court to keep a case from the jury altogether when the Government fails to prove its case, does not permit that same court to revise a guilty verdict that the jury returns despite the Government‘s insufficient proof. That conclusion is particularly difficult to fathom when one considers that the latter action may be appealed by the Government, while the former may not. United States v. Wilson, 420 U.S. 332, 345 (1975). Not surprisingly, therefore, numerous courts have recognized that, prior to the passage of
The majority states that no pre-Rule case establishes the precise power at issue here. Ante, at 427-428, n. 5. That
In sum, the error-correcting power that is “inherent in every court of justice so long as it retains control of the subject matter and of the parties,” Morgan, 307 U.S., at 197, encompasses the kind of error at issue in this case. Therefore, absent some express indication that Congress intended to withdraw the power that implicitly attends its initial grant of jurisdiction, a district court acts well within its discretion when it sets aside a jury verdict and acquits a defendant because the prosecution failed to prove its case.
II
Because the Acts of Congress investing federal judges with jurisdiction to try criminal cases are the source of a district court‘s power to set aside unsupported jury verdicts, I have no occasion to disagree with the Court‘s view that petitioner errs in relying on
In Part III of its opinion, the majority asserts that the District Court‘s action “contradicted the plain language of
In my view, the Rule serves three salutary purposes that are in no tension with a district court‘s inherent power to enter a judgment of acquittal sua sponte. None of these purposes would be frustrated if the Rule were understood to coexist with, though not to authorize, a district court‘s power to avoid imposing sentence on an innocent defendant in the truly exceptional case in which evidence of guilt is wholly lacking.
First, subdivision (a) confirms the view that a judge has a duty to direct an acquittal if the prosecution has failed to prove its case at the close of evidence. The Rule‘s affirmation of that duty is in no way inconsistent with a court‘s exercise of its postverdict power to enter sua sponte a judgment of acquittal. As then-Judge Kennedy explained for the Ninth Circuit in Arizona v. Manypenny, 672 F.2d, at 764: “We do not read the mention in Rule 29(a) of a court granting such a judgment ‘on its own motion’ before submission to a jury as an elimination of a court‘s inherent power to grant such a judgment after submission to the jury.”
Second, subdivision (b) accommodates the defendant‘s right to move for a directed acquittal with the Government‘s right to seek appellate review. Indeed, the subdivision was amended in 1994 for the very purpose of striking a more proper balance between those two interests. See Advisory Committee‘s Notes to
Third, subdivision (c) requires defense counsel to file the postverdict motion for judgment of acquittal promptly, while the trial judge presumably retains a firm recollection of the evidence and therefore is able to rule expeditiously and efficiently. The untimeliness of a later motion provides the judge with a sufficient reason for denying it without even reading it or reviewing the transcript. Thus, a judge‘s entirely discretionary decision to enter sua sponte an acquittal after the 7-day period in no way annuls the 7-day deadline. Defendants are still bound by that time limitation, and the Rule thus serves the useful function of limiting a defendant‘s right to require a judge to reconsider the sufficiency of the evidence. As then-Judge Kennedy explained: ”
In light of the pre-Rule precedent establishing a district court‘s inherent power to review sua sponte a jury verdict for sufficiency of the evidence, see Ansley v. United States, 135 F.2d, at 208, the majority reads far too much into the omission. The caption to
Notes
Common sense refutes what the text fails to compel. Under the majority‘s reading,
Indeed, our decision in United States v. Sisson, 399 U.S. 267 (1970), reveals that when we previously considered
In holding that we lacked jurisdiction to hear the Government‘s appeal, we explained that although the District Court termed its order an “arres[t] [of] judgment,” it was in fact an acquittal. Id., at 288. The portion of Justice Harlan‘s opinion that five Members of the Court joined equated the District Court‘s sua sponte acquittal with an acquittal by a jury. As support for the comparison, the opinion explained that, under
Although the merits of the judgment of acquittal were not before the Court in Sisson, the trial court‘s jurisdiction to enter the judgment plainly was. Just as a trial court‘s postjudgment acquittal could not have mooted a pending appeal, neither could a jurisdictionally barred action have prevented an appeal from being taken. Nevertheless, the Sisson Court did not identify any jurisdictional bar to the judge‘s entry of a postverdict acquittal motion, even though no
Our prior construction of procedural rules that employ permissive language similar to that used in
Link v. Wabash R. Co., 370 U.S. 626 (1962), sets forth the proper analysis. In Link, we rejected the argument that the authority granted to a defendant by
“We do not read Rule 41(b) as implying any such restriction. Neither the permissive language of the Rule-which merely authorizes a motion by the defendant-nor its policy requires us to conclude that it was the purpose of the Rule to abrogate the power of courts, acting on their own initiative, to clear their calendars of cases that have remained dormant because of the inaction or dilatoriness of the parties seeking relief. The authority of a court to dismiss sua sponte for lack of prosecution has generally been considered an ‘inherent power,’ governed not by rule or statute but by the control necessarily vested in courts to manage their own affairs so as to achieve the orderly and expeditious disposition of cases.” Id., at 630-631 (footnote omitted).9
Our practice with respect to petitions for rehearing is also instructive. Such petitions, like motions for a judgment of acquittal, are routinely filed and almost never granted. If not filed within the time specified in our Rules, it is appropriate to deny such a petition without even reading it. On rare occasions, however, we have held that the interest in the evenhanded administration of justice outweighs the interest in finality and granted such petitions even though un-
Thus, in United States v. Ohio Power Co., 351 U.S. 980 (1956), the Court on its own initiative vacated an earlier order denying a petition for rehearing and, in the following Term, granted the previously denied petition. United States v. Ohio Power Co., 353 U.S. 98 (1957). While Justice Harlan dissented from that disposition, he did not disagree with the proposition that “the Court‘s inherent power over its judgments” included the authority to take action that “would otherwise be out of time under the Rules.” Id., at 104.
Just three years after the Ohio Power decision, Justice Harlan had occasion to endorse the exercise of a District Court‘s use of its inherent powers in apparent conflict with the language of the Federal Rules of Criminal Procedure. Explaining his denial of an application for bail, he correctly observed that those Rules should not be construed to withdraw the District Court‘s inherent power to revoke bail during the course of a criminal trial. See Fernandez v. United States, 81 S. Ct. 642, 644, n. 7, 5 L. Ed. 2d 683, 685, n. 7 (1961) (in chambers). In doing so, he exposed the basic flaw in an argument comparable to the one accepted by the Court today.
Justice Harlan explained that even though
Our decision in United States v. Smith, 331 U.S. 469 (1947), is consistent with our prior cases holding that permissive rules do not withdraw pre-existing inherent powers.10 Although the majority contends that Smith supports the inference that the draftsmen of
The error committed by Judge Smith was his attempt to assert jurisdiction in a criminal case after the judgment of conviction had been affirmed on appeal and even after the defendant had started to serve his sentence. There was not even an arguable basis for suggesting that the judge then had jurisdiction to order a new trial. Id., at 474; see United States v. Mayer, 235 U.S. 55, 70 (1914).11 The only theory that might have justified his action was his lawyer‘s argument that the Rules had expanded the District Court‘s jurisdiction beyond the end of the term of court in which the trial
In fact, if one takes note of the extraordinary character of Judge Smith‘s attempt to set aside a conviction after it had been affirmed on appeal and after the defendant had been incarcerated for several months, it is easy to understand why Justice Jackson‘s opinion for the Court expressed concern that such action might give rise to an appearance of impropriety, and therefore provided us with the dictum concerning possible ex parte approaches to the judge on which today‘s majority relies. The suggestion that that dictum has any relevance to the period between the return of the jury‘s verdict and the imposition of sentence is not only misplaced, but also represents a highly inappropriate comment on the integrity of the federal judiciary. Judge Smith‘s singularly bizarre action a half century ago provides no basis for either the inference or the rule that today‘s majority thinks the Smith opinion supports. See Arizona v. Manypenny, 672 F.2d, at 765, n. 10 (explaining that ”Smith cannot be applied indiscriminately outside of the particular factual context at issue there“).
The decision in Smith was a correct application of the principle that should control the disposition of this case. There is a “‘power inherent in every court of justice so long as it retains control of the subject matter and of the parties, to correct that which has been wrongfully done by virtue of its process.‘” United States v. Morgan, 307 U.S., at 197. Of course, that power does not survive after the court‘s jurisdiction of the subject matter has expired. It is surely sufficient, however, to enable the judge to refuse to impose sentence on a defendant when the record does not contain evidence of guilt.
As a result,
III
A brief final word about the practical significance of today‘s holding. There is no real danger that district judges will be burdened by a flood of untimely motions. On the other hand, the possibility that an Act of God may preclude the timely filing of a meritorious motion cannot be denied. Because evidence of guilt is “absolutely vital to defendants,” Wiborg, 163 U.S., at 658, that possibility, no matter how remote, is sufficient to justify a district court‘s inherent authority to avert the conviction of a legally innocent defendant despite the absence of a timely motion. Because there is no
Accordingly, I respectfully dissent.
Contrary to the majority‘s construction of the relevant language, there is no reason to suppose that the phrase “on such motion” in the old Rule applied only to the circumstance in which the jury returned a verdict. Under such a construction, the original Rule would have been intended to “conve[y] the idea,” ante, at 423, that the District Court possessed the authority to impose a new trial against the defendant‘s wishes whenever the jury had been discharged without having returned a verdict. It is clear that the drafters never intended to convey such a potentially unconstitutional idea. Indeed, it was the drafters’ concern that the original Rule might be subject to the potentially unconstitutional “interpretation that a motion for judgment of acquittal gives the court power to order a new trial even though the defendant does not a wish a new trial and has not asked for one” that led them to eliminate all references to new trial orders in what is now