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Case Summary: SMITH v. UNITED STATES, No. 8511 (9th Cir. Oct. 26, 1937)

Factual and Procedural Background

The petitioner, Grace E. Smith, was indicted with others by a grand jury for the Southern District of California for conspiring to violate the Mann White Slave Traffic Act (citing 18 U.S.C.A. § 398 and 18 U.S.C.A. § 88). The indictment did not allege where the conspiracy was formed or otherwise specify venue for the conspiracy, but it alleged various overt acts, including that on or about August 27, 1936, Grace E. Smith telephoned a co-defendant in Los Angeles from Honolulu, Territory of Hawaii.

Petitioner was never present in Southern California at any material time. After the indictment was filed, she was arrested on a fugitive warrant in Hawaii. The government applied for a bench warrant to remove her to California; after a hearing the bench warrant issued. Petitioner filed a writ of habeas corpus in the District Court for the Territory of Hawaii challenging her restraint. The District Court discharged the habeas writ; petitioner appealed to the Ninth Circuit Court of Appeals. The Ninth Circuit affirmed the District Court's order discharging the writ.

Legal Issues Presented

  1. Whether the indictment sufficiently charged an offense within the Southern District of California (i.e., whether venue was proper where the indictment did not allege where the conspiracy was formed but alleged overt acts occurring in California and Hawaii).
  2. Whether the petitioner was sufficiently identified as the person named in the indictment such that the bench warrant and resulting restraint were lawful (i.e., whether there was probable cause or other sufficient identification to justify issuance of the bench warrant).

Arguments of the Parties

Appellant's Arguments

  • The indictment fails to state where the conspiracy was formed and thus does not properly charge an offense within the Southern District of California.
  • The telephone call from Honolulu to Los Angeles is too innocuous to constitute an "overt act" in furtherance of a conspiracy under the statute.
  • The petitioner has not been properly identified as the Grace E. Smith referred to in the indictment, so the bench warrant was issued without adequate identification.

Respondent's (Government's) Arguments

  • An overt act occurring in the Southern District of California (here, the telephone call to Los Angeles) brings the conspiracy within that district for prosecution, even if the conspiracy's formation location is not alleged.
  • If the telephone call was in furtherance of the conspiracy, it qualifies as an overt act under 18 U.S.C.A. § 88 ("And one or more of such parties do any act to effect the object of the conspiracy").
  • The indictment itself establishes probable cause and an inference of identity from the name is permissible; the testimony of the Department of Justice agent (Taylor) that he investigated and arrested the petitioner as the person named in the indictment, together with the petitioner being present in Honolulu, sufficiently supports the issuance of the bench warrant.

Table of Precedents Cited

Precedent Rule or Principle Cited For Application by the Court
Hyde v. U.S., 225 U.S. 347, 360 (1912) Holds that an overt act is part of the conspiracy and that a conspirator may be tried where an overt act is committed; an offense begun in one district and completed in another may be treated as committed in either. Used to support the conclusion that the telephone call from Honolulu to Los Angeles was an overt act that made the conspiracy an offense within the Southern District of California even though the indictment did not allege where the conspiracy was formed.
Brown v. Elliott, 225 U.S. 392, 400 (1912) Applied in conjunction with Hyde to support principles concerning conspiracy venue and overt acts. Cited to support the proposition that an overt act can establish venue and that indictment sufficiency as to place of conspiracy formation is not fatal when overt acts are alleged in the district.
Grigg v. Bolton (C.C.A.9), 53 F.2d 158, 159 Confirms that a conspirator may be tried either where the conspiracy is formed or where an overt act is committed. Relied upon to show that the alleged telephone call to Los Angeles (an overt act) made prosecution in the Southern District of California proper.
Charlie Wong v. Esola (C.C.A.9), 6 F.2d 828, 829 Authority that in the context of a habeas corpus proceeding challenging removal, the reviewing court may examine whether the judge making the removal order had jurisdiction; also holds an indictment is sufficient to show probable cause and that identity of names creates an inference of identity. Applied to determine that (a) the indictment supplied probable cause for the bench warrant, and (b) an inference of identity from the name in the indictment was not rebutted by the petitioner—Taylor's testimony and the petitioner's presence in Honolulu bolstered the inference and justified issuance of the bench warrant.

Court's Reasoning and Analysis

The court proceeded in two analytical steps corresponding to the petitioner's claims.

1. Venue and sufficiency of the indictment: The court first addressed the argument that the indictment's failure to state where the conspiracy was formed rendered it defective. The court reasoned that an alleged overt act occurring in the Southern District of California (the telephone call to Los Angeles) is sufficient to bring the conspiracy within that district. The court emphasized that an overt act is not merely evidence of the conspiracy but is part of the conspiracy itself; therefore, where an overt act is alleged to have occurred in a particular district, the offense may be prosecuted there even if the location of formation is unknown. The court relied on Hyde v. U.S., Brown v. Elliott, and Grigg v. Bolton to support the principle that a conspirator may be tried either where the conspiracy was formed or where an overt act in furtherance of it was committed. The court also cited the statutory provision (28 U.S.C.A. § 103) stating that an offense begun in one judicial district and completed in another may be treated as committed in either district.

The court rejected the appellant's contention that the telephone call was too "innocent" to constitute an overt act. It explained that ordinarily an act may appear innocent unless shown to be in furtherance of the conspiracy; because the indictment alleged the call was in pursuance of the conspiracy, the call—if so used—qualified as an act "to effect the object of the conspiracy" under 18 U.S.C.A. § 88.

2. Identification and probable cause for the bench warrant: The court considered the contention that the petitioner was not properly identified as the Grace E. Smith named in the indictment. The court noted precedent (Charlie Wong v. Esola) that restricts habeas review in removal contexts to whether the judge had jurisdiction to issue the removal order; but even assuming broader review, the applicable rule is that the committing judge must have probable cause to believe a crime has been committed by the person in custody.

The court observed that an indictment itself establishes probable cause. It further explained that identity of names in an indictment creates an inference of identity which the petitioner bears the burden to rebut. The court found that the petitioner did not rebut that inference; moreover, the testimony of a Department of Justice agent (Taylor) that he had investigated, arrested the petitioner, and believed she was the person named in the indictment, together with the petitioner's presence in Honolulu, strengthened the inference of identity. On that basis the court concluded the District Judge was justified in issuing the bench warrant and that the warrant constituted a lawful restraint.

Holding and Implications

Holding: The District Court's order discharging the writ of habeas corpus was AFFIRMED.

Implications: The direct effect of the decision is that the bench warrant issued to remove Grace E. Smith to the Southern District of California was lawful and the habeas corpus petition was properly discharged; the petitioner remains lawfully restrained under that bench warrant. The opinion applies established precedent on conspiracy venue and the sufficiency of overt acts and reaffirms that an indictment supplies probable cause and that a shared name in an indictment raises an inference of identity the defendant must rebut. The opinion does not purport to announce a novel legal rule beyond the application of cited authorities to the facts of this case.

Panel: Judges Denman, Stephens, and Healy. Decision authored by Circuit Judge Denman.

SMITH v. UNITED STATES

DENMAN, Circuit Judge.

This is an appeal from an order of the District Court for the Territory of Hawaii discharging a writ of habeas corpus.

The situation disclosed by the petition for the writ and by the record is that one Grace E. Smith was indicted, with others, by the grand jury for the Southern District of California for conspiring to violate the Mann White Slave Traffic Act (section 2, 18 U.S.C.A. § 398); 18 U.S.C.A. § 88. The indictment, set out in the record at pages 91 to 94, does not allege that the conspiracy was formed in the Southern District of California, nor does it allege any venue to the conspiracy. It does recite, however, various overt acts, including the following:

"* * * In pursuance of, and in furtherance of, in execution of, and for the purpose of carrying out and to effect the object, design and purposes of said conspiracy, combination, confederation and agreement aforesaid, the hereinafter named defendants did commit the following overt acts at the hereinafter stated places:

"* * * 7. That on or about the 27th day of August, 1936, defendant Grace E. Smith telephoned defendant Ann Boyd from Honolulu, Territory of Hawaii to Los Angeles, California."

The petitioner, Grace E. Smith, was never, at any time material to this case, present in Southern California. Subsequent to the filing of the indictment she was arrested on a fugitive warrant in Hawaii. The government then applied for a bench warrant, the purpose of which was to remove her to California. Hearing was had and the warrant issued. It is by virtue of this bench warrant that the petitioner is restrained of her liberty.

Her petition for habeas corpus is based on the claims (1) that the indictment does not state an offense, particularly not one within the Southern District of California; and (2) that she has not been identified as the Grace E. Smith mentioned in the indictment.

1. The objection to the indictment is, first, that it fails to state where the conspiracy was formed. There is no merit in this contention. The telephone from Honolulu to Los Angeles brings the conspiracy both within the Territory of Hawaii and the Southern District of California. An overt act is more than evidence of a conspiracy. It is a part of the conspiracy itself, and where, as here, it is alleged as occurring in the Territory and in California, it is sufficient to make it an offense within the statute, even though the indictment had stated that the place in which the conspiracy was formed is unknown. Hyde v. U.S., 225 U.S. 347, 360, 32 S.Ct. 793, 56 L.Ed. 1114, Ann.Cas. 1914A, 614; Brown v. Elliott, 225 U.S. 392, 400, 32 S.Ct. 812, 56 L.Ed. 1136. A conspirator may be tried either at the place where the conspiracy is hatched or where the overt act is committed. Hyde v. U.S., supra, 225 U.S. 347, 360, 32 S.Ct. 793, 56 L.Ed. 1114, Ann.Cas. 1914A, 614; Grigg v. Bolton (C.C.A.9) 53 F.2d 158, 159.

In this case an overt act was committed in California by petitioner telephoning there from Honolulu. It is not necessary that a defendant be physically within a jurisdiction to do a criminal act there. In Hyde v. U.S., supra, the defendant was held indictable for conspiracy in the District of Columbia on the strength of his conspiring in California to commit a crime and by way of overt act, mailing a letter from California to the District of Columbia.

28 U.S.C.A. § 103 provides: "When any offense against the United States is begun in one judicial district and completed in another, it shall be deemed to have been committed in either, and may be dealt with, inquired of, tried, determined, and punished in either district, in the same manner as if it had been actually and wholly committed therein."

Appellant contends that the making of the telephone call from Honolulu to Los Angeles is too innocent an act to be an "overt act" under the conspiracy statute. There is no merit to this argument. Any act without criminal purpose is usually innocent. If the telephone call was in furtherance of the conspiracy, as alleged in the indictment, it was clearly a criminal act within the phrase of 18 U.S.C.A. § 88: "And one or more of such parties do any act to effect the object of the conspiracy."

2. Appellant contends she was not properly identified as the Grace E. Smith mentioned in the indictment. At the hearing for the bench warrant, one Taylor, an agent of the Department of Justice, testified that he had investigated the case and had arrested this defendant, and that she was the person mentioned in the indictment. He does not tell how he knows she is the person mentioned.

There is authority that the only question to be reviewed by the trial court in a habeas corpus proceeding such as the one before the District Judge in this case, is whether the judge making the order of removal had jurisdiction to make it. Charlie Wong v. Esola (C.C.A.9) 6 F.2d 828, 829. Assuming, however, his actions are subject to review for claim of error, the rule is that he must have probable cause to believe a crime has been committed by the person in custody. An indictment is sufficient to show probable cause that a crime has been committed. Charlie Wong v. Esola, supra. An identity of names is sufficient to create an inference of identity which the petitioner must rebut. Charlie Wong v. Esola, supra. Not only has petitioner not rebutted the inference in this case, but the testimony of Taylor, plus the presence of this petitioner in Honolulu, strengthens the inference and fully justifies the District Judge in issuing the bench warrant.

The bench warrant is therefore a lawful restraint of petitioner, and the discharge of the writ of habeas corpus should be affirmed.

Affirmed.

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SMITH v. UNITED STATES
(Oct 26, 1937)