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MR. JUSTICE BLACK, dissenting.
It is argued that the Court is not asked
to "act with unseemly haste to avoid ostponement of a scheduled execution."
I do not agree. I do not believe that Government counsel or this Court
has had time or an adequate opportunity to investigate and decide the very
serious question raised in asking this Court to vacate the stay granted
by MR. JUSTICE DOUGLAS. The oral arguments have been wholly unsatisfactory
due entirely to the lack of time for preparation by counsel for the Government
and counsel for the defendants. Certainly the time has been too short for
me to give this question the study it deserves. The following are some
of the reasons why I think the Court should not at this time upset the
considered rulings of MR. JUSTICE DOUGLAS. I add my regret that the rush
of this case has deprived me of any opportunity to do more at this time
than hastily sketch my view on the important questions raised.
First . The Government argues that this
Court has power to set aside the stay granted by MR. JUSTICE DOUGLAS. I
think this is doubtful. I have found no statute or rule of court which
permits the full Court to set aside a mere temporary stay entered by a
Justice in obedience to his statutory obligations. * Moreover, it is a
commonplace for judges to grant stays in vacation. This is a healthy and
necessary Court custom. There may have been prior instances where vacation
stays of individual Justices have been set aside by the full Court before
the next regular term, but no such cases have been pointed out in the Solicitor
General's argument and I have found none. So far as I can tell, the Court's
action here is unprecedented.
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* The Government cites 28 U. S. C. @ 2106
and 28 U. S. C. @ 1651 as statutory authority for the Court's action in
dissolving the stay granted by MR. JUSTICE DOUGLAS. Neither statute authorizes
the Court's action. Section 2106 provides:
"The Supreme Court or any other court of
appellate jurisdiction may affirm, modify, vacate, set aside or reverse
any judgment, decree, or order of a court lawfully brought before it for
review, and may remand the cause and direct the entry of such appropriate
judgment, decree, or order, or require such further proceedings to be had
as may be just under the circumstances."
But the plain words of this section exclude
the case here. Those words say this Court may affirm, etc., any "judgment,
decree, or order of a court . . .." But no court order is before us. Nor
can the Government take comfort in @ 1651. It says only that "The Supreme
Court and all courts established by Act of Congress may issue all writs
necessary or appropriate in aid of their respective jurisdictions and agreeable
to the usages and principles of law." The statute says nothing about dissolution
of a stay order.
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But if the Court could find statutory or
constitutional power to vacate this stay, there are many reasons why I
believe that power should not be exercised. Concededly, an individual Justice
has power to grant stays where substantial questions are raised. He not
merely has power to do so; there is a serious obligation upon him to grant
a stay where new substantial questions are presented. Where the life or
death of citizens is involved, that obligation is all the heavier. Surely
the Court is not here establishing a precedent which will require it to
call extra sessions during vacation every time a federal or state official
asks it to hasten the electrocution of defendants without affording this
Court adequate time or opportunity for exploration and study of serious
legal questions. It is not inappropriate to point out that in Lambert v.
Barrett, 157 U.S. 697, decided in 1895 and never overruled, this Court
held that it had no jurisdiction over an appeal from a habeas corpus order
of a circuit judge entered in chambers. The stay
order in this case derives from petitions
for habeas corpus and was entered by MR. JUSTICE DOUGLAS in chambers.
Second. The stay of MR. JUSTICE DOUGLAS
in this case was based on his studied conclusion that there were substantial
grounds to believe the death sentences of these two people were imposed
by the District Judge in violation of law. I agree with MR. JUSTICE DOUGLAS.
The Government contends, however, that the death sentences were properly
imposed under the Espionage Act of 1917, 50 U. S. C. @ 32, which gives
a district judge unconditional power to impose the death penalty for violation
of that Act. But the Atomic Energy Act, 42 U. S. C. @ 1810, passed in 1946,
appears to
have taken the death sentencing power from
district judges, in cases of atomic energy espionage, except where juries
recommend a death sentence and where there are allegations and proof that
atomic energy information has been unlawfully transmitted with intent to
injure the United States. The indictment here charged a conspiracy alleged
to have continued from June 6, 1944, to June 16, 1950. Thus the alleged
conspiracy covered one period of conduct where the 1917 Act plainly governed
and another period of conduct after the Atomic Energy Act went into effect.
The Rosenbergs were charged with conspiracy to disclose atomic secrets
as well as other kinds of secre ts. Under these circumstances it would
more nearly fit into the general canons of construction to hold that a
District Court could impose sentence only under the less harsh statute.
I am not unaware of the Government's argument
that this Court can and should give full effect to both these statutes,
one which deprives the District Court of unconditional power to impose
the death sentence and one which grants such unconditional power. This
would be a strange argument in any case but it seems still stranger to
me in a case which involves matters of life and death. The stay of MR.
JUSTICE DOUGLAS is based entirely on his desire to have this matter passed
upon in due course and after proper deliberation in a habeas corpus proceeding
brought in district court and followed through to this Court. That is as
it should be. Judicial haste is peculiarly out of place where the death
penalty has been imposed for conduct part of which took place at a time
when the Congress appears to have barred the imposition of the death penalty
by district judges acting without a jury's recommendation. And it seems
to me that this Court has not had time or opportunity for sufficient study
to give the kind of informed decision on this important question it would
if the case should take its regular course.
Third. I am aware also of the argument that
MR. JUSTICE DOUGLAS should not have considered and that we should not now
consider the point here involved because the Rosenbergs' lawyers had not
originally raised it on appeal. I cannot believe, however, that if the
sentence of a citizen to death is plainly illegal, this Court would allow
that citizen to be executed on the grounds that his lawyers had "waived"
plain error. An illegal execution is no less illegal because a technical
ground of "waiver" is assigned to justify it. Compare Bowen v. Johnston,
306 U.S. 19, 26. After having seen the Court's order I find that it appears
to agree with this view.
Fourth. The inadequate oral arguments before
this Court have left me with the firm conviction that the applicability
of the penal provisions of the Atomic Energy Act of 1946 to this case presents
a substantial and serious question. This I think is fully demonstrated
by the opinion written by MR. JUSTICE DOUGLAS when he granted the stay
order, a copy of which is attached by him as an appendix to his opinion
with which opinion I agree. It is my view based on the limited arguments
we have heard that after passage of the Atomic Energy Act of 1946 it was
unlawful for a judge to impose the death penalty for unlawful transmittal
of atomic secrets unless such a penalty was recommended by the jury
trying the case. I think this question should be decided only after time
has been afforded counsel for the Government and for the defendants to
make more informed arguments than we have yet heard and after this Court
has had an opportunity to give more deliberation than it has given up to
this date. This I think would be more nearly in harmony with the best judicial
traditions.
I may add that I voted to grant certiorari
originally in this case. That petition for certiorari challenged the fairness
of the trial. It also challenged the right of the Government to try these
defendants except under the limited rules prescribed by the Constitution
defining the offense of treason. These I then believed to be important
questions. In motions for rehearing the arguments as to the unfairness
of the trial were expanded and I again voted for review. I have long thought
that the practice of some of the states to require an automatic review
by the highest court of the state in cases which involve the death penalty
was a good practice.
It is not amiss to point out that this Court
has never reviewed this record and has never affirmed the fairness of the
trial below. Without an affirmance of the fairness of the trial by the
highest court of the land there may always be questions as to whether these
executions were legally and rightfully carried out. I would still grant
certiorari and let this Court approve or disapprove the fairness of the
trials.
MR. JUSTICE FRANKFURTER,
dissenting.
On an application made after adjournment
of the Court, MR. JUSTICE DOUGLAS granted a stay of execution of the death
sentences of Julius and Ethel Rosenberg. On the afternoon of the same day,
the Attorney General of the United States filed an application to convene
the Court in Special Term with a view to vacating the stay. It was not
until late that afternoon that arrangements for convening the Court the
following day could be completed. Less than three hours before the Court
convened at about noon on Thursday, June 18, and in the case of some members
of the Court only a few minutes before noon, did the individual members
of the Court receive the Government's application and brief bearing on
the propriety and reviewability of MR. JUSTICE DOUGLAS' order.
There followed three hours of argument
on jurisdictional and procedural issues as well as on the issue of the
substantiality of the question of law raised by the application for a stay
which led to MR. JUSTICE DOUGLAS' order. In vacating that order the Court
found no infirmity in it on any jurisdictional or procedural ground. The
Court recognized MR. JUSTICE DOUGLAS' power to entertain the application
for a stay; n1 his power to
consider a question though raised by counsel
not of record; his power to consider a question not heretofore urged, when
it concerned the legality of a sentence. See Ex parte Lange, 18 Wall. 163.
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n1 Naturally enough the Government and the
Court "do not doubt that MR. JUSTICE DOUGLAS had power to issue the stay
in these proceedings." How could there be doubt about a power that has
existed uninterruptedly ever since Congress gave it by the Act of September
24, 1789? Section 14 of the First Judiciary Act, 1 Stat. 73, 81-82.
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Thus the only issue in the case was whether
the question on the basis of which MR. JUSTICE DOUGLAS acted was patently
frivolous or was sufficiently serious to require the judicial process to
run its course with the deliberation necessary for confident judgment.
That is the sole issue to which this opinion is addressed. All else is
irrelevant. Once the Court conceded, as it did, that the substantiality
of the question raised before MR. JUSTICE DOUGLAS was the sole issue, it
became wholly immaterial how many other questions were raised and considered
on their merits in the District Court and in the Court of Appeals, or how
many times review was sought on these questions and refused by this Court.
It was equally immaterial how long a time intervened between the original
trial of this case and the present proceeding, and immaterial that this
was a last-minute effort almost on the eve of the executions. To allow
such irrelevancies to enter the mind not unnaturally tends to bend the
judicial judgment in a false direction.
And so I turn to what is for me controlling
in this case. I summarized my position in the following notation on the
Court's order:
"MR. JUSTICE FRANKFURTER is of opinion
that the questions raised for the first time yesterday before the full
Court by the application of the Attorney General are complicated and novel.
He believes that, in order to enable the Court to adjudicate these issues
upon adequate deliberation, this application should be disposed of only
after opportunity has been afforded to counsel for both sides to make an
adequate study and presentation. In due course, MR. JUSTICE FRANKFURTER
will set forth more specifically the grounds for this position."
Painful as it is, I am bound to say that
circumstances precluded what to me are indispensable conditions for solid
judicial judgment. They precluded me, and now preclude me, from saying
that the legal issue that was raised before MR. JUSTICE DOUGLAS was without
substance. Let me set forth some of the difficulties that immediately arise
upon consideration of that issue.
The basis on which a jury convicts is authoritatively
to be taken from what the judge tells the jury. In this case, the jury's
attention was especially directed to the fact that the charge was a conspiracy
to obtain and transmit classified materials pertaining in part to the atomic
bomb:
"Bear in mind -- please listen to this,
ladies and gentlemen -- that the Government contends that the conspiracy
was one to obtain not only atomic bomb information, but other secret and
classified information; that the information including the report regarding
fire-control equipment requested of Elitcher by Sobell or Rosenberg was
classified; that the atomic bomb information transmitted by the Rosenbergs
was classified as top secret; that based on Rosenberg's alleged statements
to Greenglass, other secret information such as mathematical data on atomic
energy for airplanes,
information relating to a 'sky platform'
project and other information was obtained by Julius Rosenberg from scientist
contacts in the country." R. 1557.
And the indictment charged that the conspiracy
continued from 1944 to 1950. Such "averments of time in the indictment
are expected and intended to be proved as laid." United States v. Kissel,
218 U.S. 601, 609. Indeed, the judge told the jury: "You must first determine
from all the evidence in the case, relating to the period of time defined
in the indictment, whether or not a conspiracy existed." R. 1552. Only
one conspiracy could have been found by the jury to have existed, and that
was the conspiracy averred in the indictment, a conspiracy continuous from
a date certain in 1944 to a date certain in 1950. The Government could
of course have charged a conspiracy beginning in 1944 and ending on July
31, 1946, the day before the Atomic Energy Act came into effect. It did
not do so. That fact is of decisive importance. The consequences of a conspiracy
that was afoot for six years might have been vastly different from those
of a conspiracy that terminated within two years, that is, by the time
Congress devised legislation to protect atomic energy secrets.
It is suggested that the overt acts laid
in the indictment all occurred before the effective date of the Atomic
Energy Act and that hence the indictment did not charge any offense committed
after that effective date. But, again, the offense charged in the indictment
was a conspiracy, not one or more overt acts. n2 As the judge told the
jury, they had to find a conspiracy in order to convict, a conspiracy aimed
principally at obtaining atomic secrets and characterized as such by the
overt acts alleged, but a conspiracy, I cannot too often repeat, alleged
to have been continuous to a date certain in 1950. The Government having
tried the Rosenbergs for a conspiracy, continuing from 1944 to 1950, to
reveal atomic secrets among other things, it flies in the face of the charge
made, the evidence adduced and the basis on which the conviction was secured
now to contend that the terminal date of the Rosenberg conspiracy preceded
the effective date of the Atomic Energy Act.
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n2 It is worth noting that under the Atomic
Energy Act it is very probably not necessary, since the Act, unlike the
Espionage Act, does not make it a requirement, to prove overt acts in furtherance
of a conspiracy. Cf. Singer v. United States, 323 U.S. 338. If so, under
the Atomic Energy Act it would not have been necessary to allege or prove
an overt act involving atomic espionage subsequent to 1946 in order to
obtain a conviction on a conspiracy indictment such as the one here. It
is not without significance that the relevance of this point was not considered
by the Government in its argument or
submission. This is significant not because
it discloses a failure of counsel, but because to require consideration
of this and other points within twenty-four hours after a complex of problems
was first put forward is to presuppose omniscient lawyers.
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It thus appears -- although, of course,
I would feel more secure in my conviction had I had the opportunity to
make a thorough study of the lengthy record in this case -- that the conspiracy
with which the Rosenbergs were charged is one falling in part within the
terms of the Atomic Energy Act, passed by Congress in 1946 and specifically
dealing with classified information pertaining to the recent developments
in atomic energy. There remains the question whether the sentence for such
a conspiracy could be imposed under the Espionage Act.
Congress was not content with the penal
provisions of the Espionage Act of 1917 to prevent disclosure of atomic
energy information. The relevant provisions of the Atomic Energy Act of
1946 differ in several respects from those of the Espionage Act. For one
thing the 1946 Act makes possible the death penalty for disclosures in
time of peace as well as in war. Some disclosures which fell generally
within the Espionage Act now specifically fall under @ 10 of the Atomic
Energy Act. The decisive thing in this case is that under the Espionage
Act the power to impose a sentence of death was left exclusively to the
discretion of the court, while under the Atomic Energy Act a sentence of
death can be imposed only upon recommendation of the jury.
Surely it needs only statement that with
such a drastic difference in the authority to take life between the Espionage
Act and the Atomic Energy Act, it cannot be left within the discretion
of a prosecutor whether the judge may impose the death sentence wholly
on his own authority or whether he may do so only upon recommendation of
the jury. Nothing can rest on the prosecutor's caprice in placing on the
indictment the label of the 1917 Act or of the 1946 Act. To seek demonstration
of such an absurdity, in defiance of our whole conception of impersonality
in the criminal law, would be an
exercise in self-stultification. The indorsement
of an indictment, the theory under which the prosecutor is operating, his
belief or error as to the statute which supports an indictment or under
which sentences may be imposed, are all wholly immaterial. n3 See Williams
v. United States, 168 U.S. 382, 389.
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- - - - - - - - - - - - - - - - - n3 "In order to determine whether an
indictment charges an offense against the United States, designation by
the pleader of the statute under which he purported to lay the charge is
immaterial. He may have conceived the charge under one statute which would
not sustain the indictment but it may nevertheless come within the terms
of another statute. See Williams v. United States, 168 U.S. 382. On the
other hand, an indictment may validly satisfy the statute under which the
pleader proceeded, but other statutes not referred to
by him may draw the sting of criminality
from the allegations." United States v. Hutcheson, 312 U.S. 219, 229.
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These considerations -- the fact that Congress
and not the whim of the prosecutor fixes sentences, that the allegations
of an indictment are to be judged by the relevant statute under which punishment
may be meted out and not by the design of the prosecutor or the assumption
of the trial court -- cut across all the talk about repeal by implication
and other empty generalities on statutory construction. Congress does not
have to say in so many words that hereafter a judge cannot without jury
recommendation impose a sentence of death on a charge of conspiracy that
falls within the Atomic Energy Act. It is enough if in fact Congress has
provided that hereafter such a death sentence is to depend on the will
of the jury.
This much, at least, lies on the surface
of an analysis of the two statutes. The Reports of this Court are replete
with instances of marked division of opinion in construing criminal statutes;
doubtful and ambiguous statutory language and like ambiguities in the interpretative
materials that led to many of those divisions are certainly not more impressive,
to say the least, than the ambiguities and difficulties here. See, e. g.,
United States v.Dotterweich, 320 U.S. 277; United States v. Singer, 323
U.S. 338; United States v. Petrillo, 332 U.S. 1; United States v. C.I.O.,
335 U.S. 106; United States v. Williams, 341 U.S. 70; United States v.
Hood, 343 U.S. 148.
In all matters of statutory construction
one goes, especially these days, to the history of the legislation and
other illuminating materials. It is almost mathematically demonstrable
that there just was not time within twelve waking hours to dig out, to
assess, to assemble, and to formulate the meaning of legislative materials.
Suffice it to say that such materials bearing on legislative purpose as
a necessarily very limited inquiry has revealed do not justify certitude.
See S. Rep. No. 1211, 79th Cong., 2d Sess. 23-24; 92 Cong. Rec. 6082, 6096,
9257, 10194; cf. id., at 9481-9482. And an authoritative commentary on
the Atomic Energy Act, written by counsel for the Senate Special Committee
on Atomic Energy which drafted the statute, not only recognizes a compelling
need for judicial decision in order to reconcile the conflicting penalty
provisions of that Act and of the Espionage Act but seems, as I read it,
to point to the view that on facts like those of this case the Atomic Energy
Act may well be found to apply to the exclusion of the Espionage Act. n4
Newman, Control of Information Relating to Atomic Energy, 56 Yale L. J.
769.
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n4 That the Atomic Energy Act is not a pellucid
piece of draftsmanship so that he who runs may read is indicated by this
general observation of Mr. Newman: "Skillful administration and careful
judicial consideration will be needed to reconcile the apparent inconsistencies
and to effect the evident intent of Congress -- regardless of the labyrinth
of confusion that inadequate drafting has created." 56 Yale L. J., at 791.
Some of the specific difficulties laid bare
by Mr. Newman are of immediate relevance to the problem before the Court:
"It is reasonable to suppose that Congress did not intend to give the prosecuting
attorney the option of moving under the Espionage Act instead of the Atomic
Energy Act where an offense involving information relating to atomic energy
is specifically described in the latter and only broadly and generically
encompassed by the former. On the other hand this judgment creates an intellectual
predicament. Its acceptance might mean that while the disclosure of information
relating to the construction of a machine gun, may, under given circumstances,
be punishable by death, the disclosure of information relating to the exact
construction of an atomic bomb, would not, under the same circumstances,
be punishable by more than 10 years' imprisonment. But in spite of its
anomalous consequences the conclusion seems inescapable. When Congress
adopted Section 10 of the Atomic Energy Act it intended to prescribe the
exact punishment to be applied for all violations involving the unlawful
dissemination of restricted atomic energy data. And, in stating in Section
10 (b)(6) that the applicable provisions of other laws were not to be excluded,
it meant to guard against possible omissions, rather than to give
a prosecutor the option of proceeding under other laws against offenses
fully covered by the Atomic Energy Act for the sole reason that under such
other laws these offenses bore heavier penalties." 56 Yale L. J., at 797-798.
Finally, this specially qualified student
of the Act concludes that the conflicts and inconsistencies which he laid
bare regarding the penalty provisions can only be resolved, as such conflicts
and inconsistencies inevitably are resolved, by adjudication:
"Differing penalty provisions: The difference
can only be resolved by judicial decision. Fortunately, this raises problems
within judicial proceedings as such and does not pose any difficulties
or dilemmas for the Commission in administering the Act." 56 Yale L. J.,
at 799.
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Neither counsel nor the Court, in the time
available, were able to go below the surface of the question raised by
the application for a stay which MR. JUSTICE DOUGLAS granted. More time
was needed than was had for adequate consideration. Arguments by counsel
are an indispensable adjunct of the judicial process, and responsible arguments
require adequate opportunity for preparation. They must be pressed with
the force of partisanship. And, because arguments are partisan, judgment
further presupposes ample time and an unhurried mind for independent study
and reflection by judges as a basis for discussion in conference. Without
adequate study there cannot be adequate reflection; without adequate reflection
there cannot be adequate discussion; without adequate discussion there
cannot be the searching and fruitful interchange of informed minds which
is indispensable to wise decision and which alone can produce compelling
opinions. We have not had in this case carefully prepared argument. We
have not had what cannot exist without that essential preliminary. We have
not had the basis for reaching conclusions and for supporting them in opinions.
Can it be said that there was time to go through the process by which cases
are customarily decided here?
The crux of all I am suggesting is that
none of the obvious considerations for bringing the all too leaden-footed
proceedings in this case to an end should have barred the full employment
of the deliberative process necessary for reaching a firm conclusion
on the issue on which the Court has now spoken, however unfortunate it
may be that that issue did not emerge earlier than it did. Since I find
myself under the disability of having had insufficient time to explore
the issue as I believe it should have been explored, nothing I am saying
may be taken to intimate that I would now sustain
the last claim made in behalf of the Rosenbergs.
But I am clear that the claim had substance and that the opportunity for
adequate exercise of the judicial judgment was wanting.
To be writing an opinion in a case affecting
two lives after the curtain has been rung down upon them has the appearance
of pathetic futility. But history also has its claims. This case is an
incident in the long and unending effort to develop and enforce justice
according to law. The progress in that struggle surely depends on searching
analysis of the past, though the past cannot be recalled, as illumination
for the future. Only by sturdy self-examination and self-criticism can
the necessary habits for detached and wise judgment be established and
fortified so as to become effective when the judicial process is again
subjected to stress and strain. American criminal procedure has its defects,
though its essentials have behind them the vindication of long history.
But all systems of law, however wise, are administered through men and
therefore may occasionally disclose the frailties of men. Perfection may
not be demanded of law, but the capacity to counteract inevitable, though
rare, frailties is the mark of a civilized legal mechanism.
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