Majority — Taft C.J.
Syllabus
ERROR TO THE DISTRICT COURT-OF THE UNITED STATES FOR THE NORTHERN DISTRICT OF ILLINOIS.delivered the opinion of the Court.
This is an original petition in this Court for a writ of habeas corpus by Philip Grossman against Ritchie V. Graham, Superintendent of the Chicago House of Correction, Cook County, Illinois. The respondent has answered the rule to show cause. The facts are not in dispute.
On November 24, 1920, the United States filed a bill in equity against Philip Grossman in the District Court of the United States for the Northern District of Illinois, under Section 22 of the National Prohibition Act (Ch. 85, 41 Stat. 305 , 314), averring that Grossman was maintaining a nuisance at his place of business in Chicago by sales of. liquor in violation of the Act and asking an injunction to abate the same. .Two days later the District Judge granted a temporary order. January 11, 1921, an information was filed against Grossman, charging that, after the restraining order had been served on him, he had sold to several persons liquor to be drunk on his premises. He was arrested, tried, found guilty of contempt and sentenced to imprisonment in the Chicago House of Correction for one year and to pay a fine of $1,000 to the United States and costs. The decree was affirmed by the Circuit Court of Appeals, 280 Fed. 683 . In December, 1923, the President issued a pardon in which he commuted the sentence of Grossman to the fine of $1,000 on condition that the fine be paid. The pardon was accepted, the fine was paid and the defendant was released. In May, 1924, however, the District Court committed Grossman to the Chicago House of Correction to serve the sentence notwithstanding the pardon. 1 Fed. (2d) 941. The only
Special counsel, employed by the Department of Justice, appear for the respondent to uphold the legality of the detention. The Attorney General of the United States, as amicus curiae, maintains the validity and effectiveness of the President's action. The petitioner, by his counsel, urges his discharge from imprisonment.
Article II, Section 2, clause one, of the Constitution, dealing with the powers and duties of the President, closes with these words:
“. . . and he shall have power to grant Reprieves and Pardons for Offences against the United States, except in Cases of Impeachment.”
The argument for the respondent is that the President’s power extends only to offenses against the United States and a contempt of Court is not such an offense, that offenses against the United States are not common law offenses but can only be created by legislative act, that the President’s pardoning power is more limited than that of the King of England at common law, which was a broad prerogative and included contempts against his courts chiefly because the judges thereof were his agents and acted in his name; that the. context of the Constitution shows that the word “ offences ” is used in that instrument only to include crimes and misdemeanors triable by jury and not contempts of the dignity and authority of the federal courts, and that to construe the pardon clause to include contempts of court would be to violate the fundamental principle of the Constitution in the division of powers between the Legislative, Executive and Judicial branches, and to take from the federal courts their independence and the essential means of protecting their dignity and authority.
The language of the Constitution cannot be interpreted safely except by reference to the common law and to
In a case presenting the question whether a pardon should be pleaded in bar to be effective, Chief Justice Marshall said of the power of pardon (United States v. Wilson, 7 Peters, 150, 160):
“As this power had been exercised, from time immemorial, by the executive of that nation whose language is our language, and to whose judicial institutions ours bear a close resemblance; we adopt their principles respecting the operation and effect of a pardon, and look into their books for the rules prescribing the manner in which it is to be used by the person who would avail himself of it.”
In Ex parte William Wells, 18 Howard, 307 , 311, the question was whether the President under his power to pardon could commute a death sentence to life imprisonment by granting a pardon , of the capital punishment on condition that the convict be imprisoned during his natural life. This Court, speaking through Mr. Justice -Wayne, after quoting the above language of the Chief Justice, said:
“ We still think so, and that the language used in the Constitution, conferring the power to grant reprieves and pardons, must be construed with reference to its meaning
at the time of its adoption. At the time of our separation from Great Britain, that power had been exercised by the King, as the chief executive. Prior to the Revolution, the Colonies, being in effect under.the laws of England, were accustomed to the exercise of it in the various forms, as they may be found in the English law books. They were, of course, to be applied as occasions occurred, and they constituted a part of the jurisprudence of Anglo-America. At the time of the adoption of the Constitution, American statesmen were conversant with the laws of England and familiar with the prerogatives exercised by the crown. Hence, when the words to grant pardons were used in the Constitution, they conveyed to the mind the authority as exercised by the English crown,' or by its representatives in the colonies. At that time both Englishmen and Americans attached the same meaning to the word pardon. In the convention which framed the Constitution, no effort was made to define or change its meaning, although it was limited in cases of impeachment.”
The King of England before our Revolution, in the exercise of his prerogative, had always exercised the power to pardon contempts of court, just as he did ordinary crimes and misdemeanors and as he has done to the present day. In the mind of a common law lawyer of the eighteenth century the word pardon included within its scope the ending by the King’s grace of the punishment of such derelictions, whether it was imposed by the court without a jury or upon indictment, for both forms of trial for contempts were had. Thomas of Chartham v. Benet of Stamford (1313), 24 Selden Society, 185; Fulwood v. Fulwood (1585), Toothill, 46; Rex v. Buckenham (1665), 1 Keble 751, 787, 852; Anonymous (1674), Cases in Chancery, 238; King and Codrington v. Rodman (1630), Cro. Car. 198; Bartram v. Dannett (1676), Finch, 253; Phipps v. Earl of Angelsea (1721), 1 Peere Williams, 696.
In our own law the same distinction clearly appears. Gompers v. Bucks Stove & Range Company, 221 U. S. 418 ; Doyle v. London Guarantee Company, 204 U. S. 599 , 607; Bessette v. Conkey Co., 194 U. S. 324 ; Alexander v. United States, 201 U. S. 117 ; Union Tool Co. v. Wilson, 259 U. S. 107 , 109. In the Gompers Case this Court points out that it is not the fact of punishment but rather its character and purpose that makes the difference between the two kinds of contempts. For civil contempts, the punishment is remedial and for the benefit of the complainant, and a pardon cannot stop it. For. criminal contempts the sentence is punitive in the public interest to vindicate the authority of the court and to deter other like derelictions.
Nor is there any substance in the contention that there is any substantial difference in this matter between the executive power of pardon in our Govemmént and the King’s prerogative. The courts of Great Britain were called the King’s Courts, as indeed they were; but for years before our Constitution they were as independent of the King’s interference as they are today. The extent of thé King’s pardon was clearly circumscribed by law and the British Constitution, as the cases cited above show. The framers of our Constitution had in mind no •necessity for curtailing this feature of the King’s prerogative in transplanting it into the American governmental structures, save by excepting cases of impeachment; and. even in that regard, as already pointed out, the common law forbade the pleading a pardon in bar to an impeachment. The suggestion that the President’s power of pardon should be regarded as necessarily léss than that of the King was pressed upon this Court and was agreed to by Mr. Justice McLean, one of the dissenting Judges, in Ex parte William Wells, 18 Howard, 307 , 321, but it did not prevail with the majority.
It is said that “ Offences against the United States,” in the pardon clause can include only crimes and misde
Nothing in the ordinary meaning of the words “ of-fences against the United States ” excludes criminal con-tempts. That which violates the dignity and authority of federal courts such as an intentional effort to defeat their decrees justifying punishment violates a law of the United States (In re Neagle, 135 U. S. 1 , 59, et seq.), and so must be an offense against the United States.. Moreover, this Court has held that the general statute of limitation which forbids prosecutions “ for any offense unless instituted within three years next after such offense shall have been committed,” applies to criminal contempts.
“ It is urged in the first place that contempts'can not be crimes, because, although punishable by imprisonment and therefore, if crimes, infamous, they aré not within the protection of the Constitution and the amendments giving a right to trial by jury &c. to persons charged with such crimes. But the provisions of the Constitution are not mathematical formulas having their essence in their, form; they are organic living institutions transplanted from English soil. Their significance is vital not formal; it is to be gathered not simply by taking the words and a dictionary, but by considering their origin and the line of their growth. Robertson v. Baldwin, 165 U. S. 275 , 281, 282. It does not follow that contempts of the class under consideration are not crimes, or rather, in the language'of the .statute, offenses, because trial by jury as it has been gradually worked out and fought out has been thought not to extend to them as a matter of constitutional right. These contempts are infractions of the law, visited with punishment as such.. If such acts are not criminal, we are in error as to the most fundamental characteristic of crimes as that word has been understood in’English speech. So truly are they crimes that it seems to be proved that in the early law they were punished only by the usual criminal procedure, 3 Transactions of the Royal Historical Society, N. S. p. 147 (1885), and that at least in England it seems that they still may be and preferably are tried in that way. See 7 Halsbury, Laws of England, 280, sub. v. Contempt of Court (604); Re Clements v. Erlanger, 46 L. J., N. S., pp. 375, 383. Matter of Macleod, 6 Jur. 461. Schreiber v. Lateward, 2 Dick. 592. Wellesley’s Case, 2 Russ. & M. 639, 667. In re Pollard, L. R. 2 P. C. 106, 120. Ex parte Kearney, 7 Wheat. 38 , 43. Bessette v. W. B. Conkey Co., 194 U. S. 324 , 328, 331, 332. Gompers v. Bucks Stove & Range Co., 221 U. S. 418 , 441.”
It is said, however, that whatever may be the scope of the word “ offenses ” in the particular statute construed in the Gompers Case, its association in the Constitution is such as to show a narrower meaning. The word “of-fences” is only used twice in the original Constitution, once in the pardon clause, and once in Article I, Section 8, among the powers of Congress “ to define and punish Piracies and Felonies committed on the high seas and offences against the Law of Nations.” In the amendments, “ offence ” occurs but -once and that in the Fifth Amendment in the clause forbidding double jeopardy. We do not see how these other two uses of the word can be said to limit the meaning of “ offences ” in the pardon clause.
The argument is that the word “ offences ” is used in the Constitution interchangeably with crimes and criminal prosecutions. But as has been pointed out in Shick v. United States, 195 U. S. 65 , the term “ offences ” is used in the Constitution in & more comprehensive sense than are the terms “ crimes ” and “ criminal prosecutions.” In Myers v. United States, 264 U. S. 95 , 104, 105, we have but recently held that “ while contempt may be an offense against the law and subject to appropriate1 punishment, certain it is that since the foundation of our Government proceedings to punish such offenses have been regarded as sui generis and not criminal prosecutions within the Sixth Amendment or common understanding.” Bessette v. Conkey Co., 194 U. S. 324 , 326. Contempt proceedings are sui generis because they are not hedged about, with all the safeguards provided in the bill of rights for protecting one accused of ordinary crime from the danger of unjust' conviction. This is due,- of course, to the fact that for years before the American Constitution, courts had been held to be inherently empowered
Moreover, criminal contempts of a federal court have been pardoned for eighty-five years. In that time the power has been exercised twenty-seven times. In 1830, Attorney General Berrien, in an opinion on a state of fact which did not involve the pardon of a contempt, expressed merely in passing the view that the pardoning power did not include impeachments or contempts, using Rawle’s general words from his work on the Constitution. Examination shows that the author’s exception of con-tempts had reference only to contempts of a House of Congress. In 1841, Attorney General Gilpin approved the pardon of a, contempt on the ground that the principles of the common law embraced such a case and this Court had held that we should follow them as to pardons. (3 Op. A. G. 622.) Attorney General Nelson in 1844 (4 Op. A.- G. 317), Attorney General Mason in Í845 (4 Op.‘A. G. 458), and Attorney General Miller-in 1890 (19 Op, A. G. 476), rendered similar opinions. Similar-views were expressed, though the opinions were not re-' ported, by Attorney General Knox in 1901 and’by Attorney General Daugherty in 1923. Such long practice under the pardoning power and acquiescence in it strongly
Finally, it is urged that criminal contempts should not be held within the pardoning power because it will tend to destroy the independence of the judiciary and violate the primary constitutional principle of- a separation of the legislative, executive and judicial powers. This argument influenced the two district judges below. (1 Fed. (2d). 941.) The Circuit Court of Appeals of the Eighth Circdit sustained it in a discussion, though not necessary to the case, in In re Nevitt, 117 Fed. 448 . The Supreme Court of Wisconsin by a majority upheld it in State ex rel. Rodd v. Verage, 177 Wis., 295 , in remarks which were also obiter. Taylor v. Goodrich, 25 Texas Civil App., 109, is the only direct authority, and that deals with a clause a little differently worded. The opposite conclusion was reached in In re Mullee, 7 Blatchford, 23; Ex parte Hickey, 12 Miss. 751 ; Louisiana v. Sauvinet, 24 La. Ann. 119 ; Sharp v. State, 102 Tenn. 9 ; State v. Magee Publishing Company, 29 New Mexico 455.
The Federal Constitution nowhere expressly declares that the three branches of the Government shall be kept separate and independent. All legislative powers are vested in a Congress. The executive power is vested in a President. The judicial powér is vested in one Supreme Court and in such inferior courts as Congress may from time to time establish. The Judges are given life tenure and a compensation that, may not be diminished during their continuance in office,- with the evident purpose of securing them and their courts an independence of Congress and the Executive. Complete independence and separation be\wr en the three branches, however, are not attained, or intended,' as other provisions of the Constitution and the normal operation of government under it
These are some instances of positive and negative restraints possibly available under the Constitution to each branch of the government in defeat of the action of the other. They show that the independence of each of the others is qualified and is so subject to exception as not to constitute a broadly positive injunction or a necessarily controlling rule of construction. The fact is that the Judiciary, quite as much as Congress and the Executive, is dependent on the cooperation of the other two, that government may go on. Indeed, while the .Constitution has made the Judiciary as independent of the other branches as is practicable, it is, as often remarked, the weakest of the three. It must look for a continuity of necessary cooperation, in the possible reluctance of either of the other branches, to the force of public opinion.
Executive clemency exists to afford relief from undué harshness or evident mistake in the operation or enforcement of the criminal law. The administration of justice by the courts is not necessarily always wise or certainly considerate of circumstances which may properly mitigate
If it be said that the President, by successive pardons of constantly recurring contempts in particular litigation, might deprive a court of power to enforce .its orders'in a recalcitrant neighborhood, it is enough to observe that such a course is so improbable as to furnish but little basis for argument. Exceptional cases like this, if to be imagined at all, would suggest a resort tó impeachmfent rather' than to a narrow and strained construction of the general powers of the President.
It goes without saying that nowhere is there a more earnest will to maintain the independence of federal courts and the preservation of every legitimate safeguard of their effectiveness afforded by the Constitution than in this Court. But the qualified independence which they fortunately enjoy is not likely to be permanently strengthened by ignoring precedent and practice and minimizing the'importance of the coordinating checks and balances of the Constitution.
The rule is made absolute and the petitioner is discharged.
Cases cited
- Ex parte Kearney 7 Wheat. 38 p. 89, p. 101, p. 116
- New Orleans v. Steamship Co. 20 Wall. 387 p. 89, p. 94, p. 101
- In re Swan 150 U. S. 637 p. 89
- Gompers v. Bucks Stove & Range Co. 221 U. S. 418 p. 90, p. 94, p. 95, p. 98, p. 101, p. 111, p. 116
- Gompers v. United States 233 U. S. 604 p. 90, p. 95, p. 101, p. 106, p. 116
- 223 U. S. 640 223 U. S. 640 p. 90
- In re Christensen Engineering Co. 194 U. S. 458 p. 90
- United States v. Wilson 7 Pet. 150 p. 90, p. 99
- Ex parte Wells 18 How. 307 p. 91, p. 94, p. 103
- Ex parte Garland 4 Wall. 333 p. 91, p. 104, p. 120
- United States v. Klein 13 Wall. 128 p. 91
- United States v. Arredondo 6 Pet. 691 p. 91
- Bend v. Hoyt 13 Pet. 263 p. 91
- Arthur v. Cumming 91 U. S. 362 p. 91
- Ex parte Fisk 113 U. S. 713 p. 91, p. 99
- 194 U. S. 325 194 U. S. 325 p. 91
- United States v. Hudson 7 Cranch 32 at 7 p. 93, p. 114
- United States v. Eaton 144 U. S. 677 p. 93
- In re Chapman 166 U. S. 661 p. 93, p. 97
- The Laura 114 U. S. 411 p. 93, p. 99, p. 101, p. 119
- Bessette v. W. B. Conkey Co. 194 U. S. 324 at 331 p. 93, p. 94, p. 95, p. 101, p. 111, p. 116, p. 117
- Eilenbecker v. District Court of Plymouth County 134 U. S. 31 p. 93, p. 98
- In re Debs 158 U. S. 564 p. 96, p. 98
- Ex parte Terry 128 U. S. 289 p. 97, p. 98
- 263 U. S. 42 263 U. S. 42 p. 98
- Anderson v. Dunn 6 Wheat. 204 p. 98
- Interstate Commerce Commission v. Brimson 154 U. S. 447 p. 98
- Myers v. United States 264 U. S. 95 at 105 p. 98, p. 102, p. 103, p. 117
- Kilbourn v. Thompson 103 U. S. 168 p. 99
- 263 U. S. 245 263 U. S. 245 p. 99
- United States v. Midwest Oil Co. 236 U. S. 459 p. 100
- Toledo Newspaper Co. v. United States 247 U. S. 402 p. 100, p. 101
- Craig v. Hecht 263 U. S. 255 p. 100
- Ex parte Robinson 19 Wall. 505 p. 101
- Michaelson v. United States ex rel. Chicago 266 U. S. 42 at 67 p. 101, p. 117
- Ex parte United States 242 U. S. 27 p. 106
- United States v. Mayer 235 U. S. 55 p. 106
- Doyle v. London Guarantee & Accident Co. 204 U. S. 599 p. 111
- Alexander v. United States 201 U. S. 117 p. 111
- Union Tool Co. v. Wilson 259 U. S. 107 p. 111, p. 114
- United States v. Coolidge 1 Wheat. 415 p. 114
- In re Neagle 135 U. S. 1 p. 115
- Robertson v. Baldwin 165 U. S. 275 at 282 p. 116
- Schick v. United States 195 U. S. 65 p. 117
- Cooley v. Board of Wardens 12 How. 299 p. 119
- Burrow-Giles Lithographic Co. v. Sarony 111 U. S. 53 p. 119