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UNITED STATES v. MORRISON

U.S. Supreme Court
Jan 13, 1981
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Summary of Opinion: United States v. Morrison (No. 79-395)

Factual and Procedural Background

Hazel Morrison was indicted on two counts of distributing heroin in violation of 21 U.S.C. § 841(a)(1). She retained private counsel. Drug Enforcement Agency agents, aware of the indictment and of her retention of counsel, met with Morrison without her counsel's knowledge or permission to seek her cooperation in a related investigation. During these interviews the agents disparaged her retained counsel, suggested benefits if she cooperated and threatened a stiff jail term if she did not. Morrison declined to cooperate, notified her attorney, and continued to rely on her retained counsel. She did not incriminate herself or provide information relevant to her case.

Morrison moved to dismiss the indictment with prejudice on the ground that the agents' conduct violated her Sixth Amendment right to counsel. The motion did not allege any prejudice to the quality or effectiveness of her representation or any adverse impact on her legal position; it rested solely on the agents' egregious conduct and asserted that such interference was a sufficient basis for dismissal. The District Court denied the motion. Pursuant to a prior agreement with the Government, Morrison entered a conditional plea of guilty to one count (a second count was dismissed under the plea agreement), reserving the right to appeal the denial of the motion to dismiss. The Court of Appeals for the Third Circuit reversed, holding that Morrison's Sixth Amendment right had been violated and that dismissal with prejudice was the appropriate remedy even in the absence of an allegation of tangible adverse effect. The Supreme Court granted certiorari and reversed the Court of Appeals, remanding for further proceedings consistent with its opinion.

Legal Issues Presented

  1. Whether dismissal of an indictment with prejudice is an appropriate remedy for a claimed Sixth Amendment violation where the defendant has not shown any adverse consequence to the effectiveness of counsel or to the fairness of the criminal proceedings.

Arguments of the Parties

United States' Arguments

  • The Government urged that, absent some showing of prejudice, there could be no Sixth Amendment violation that warranted dismissal or other remedial action in the criminal proceeding.

Respondent's Arguments

  • Respondent moved to dismiss the indictment with prejudice on the ground that the agents' conduct violated her Sixth Amendment right to counsel. The motion relied on the egregious nature of the agents' conduct, described as having "interfered" with her right to counsel, and urged that such interference alone justified dismissal even without an allegation of tangible adverse effect on counsel's effectiveness or on the fairness of the proceedings.

Table of Precedents Cited

Precedent Rule or Principle Cited For Application by the Court
Gideon v. Wainwright, 372 U.S. 335, 344 Establishes that the right to counsel is fundamental and meant to assure fairness in the adversary criminal process. Used to underscore the fundamental nature of the Sixth Amendment right to counsel as the starting point for analysis.
Glasser v. United States, 315 U.S. 60, 69-70, 75-76 Support for the fundamental nature of the right to counsel and its role in assuring fairness. Cited with Gideon and Johnson as foundational cases recognizing the right to counsel.
Johnson v. Zerbst, 304 U.S. 458, 462-463 Support for the principle that the assistance of counsel is a constitutional right essential to fairness. Included among foundational authorities establishing the Sixth Amendment right.
Moore v. Illinois, 434 U.S. 220 Example of the Court's responsiveness to claims that governmental conduct rendered counsel's assistance ineffective. Grouped with other cases to show that proven governmental interference has been addressed by relief tailored to the injury, not by dismissal of indictments.
Geders v. United States, 425 U.S. 80 Example of case where judicial action affected counsel's ability to be fully effective. Used to illustrate that when counsel's effectiveness is impeded relief has been appropriate but typically tailored (e.g., new trial), not dismissal of indictment.
Herring v. New York, 422 U.S. 853 Cited as responsive to claims of governmental conduct impairing counsel's assistance. Part of the body of authority supporting tailored relief for Sixth Amendment deprivations.
Gilbert v. California, 388 U.S. 263 Illustrates that when incriminating information is obtained improperly, the remedy is suppression or a new trial rather than dismissal of indictment. Supports the proposition that remedies focused on the taint (suppression/new trial) are appropriate instead of barring prosecution entirely.
United States v. Wade, 388 U.S. 218 Demonstrates remedying improper government acquisition of incriminating information post-initiation of adversary proceedings. Used to show that suppression or new trial is the characteristic remedy, not dismissal of indictment.
Massiah v. United States, 377 U.S. 201 Holds that when prosecution obtains incriminating information in absence of counsel, remedial measures are suppression or new trial rather than dismissal. Supports limiting remedies to denying the prosecution the fruits of the transgression and providing a new trial if needed.
Powell v. Alabama, 287 U.S. 45 Example where judicial action before or during trial prevented counsel from being fully effective. Illustrates past remedial approaches where convictions were reversed and retrial permitted rather than dismissal of indictment.
Black v. United States, 385 U.S. 26 Involves law enforcement overhearing pretrial conversations between defendant and lawyer; shows such deprivations did not lead to dismissal. Cited to show prior practice of reversing convictions and allowing retrial rather than dismissing indictments.
O'Brien v. United States, 386 U.S. 345 Like Black, addresses improper government overhearing of attorney-client communications. Supports the proposition that reversal and retrial, not dismissal, has been the remedy.
Chapman v. California, 386 U.S. 18, 23 Harmless error doctrine referenced in comparison to other Sixth Amendment decisions. Used to note that some right-to-counsel violations may be treated as harmless error depending on circumstances.
United States v. Marion, 404 U.S. 307, 325-326 (1971) Referenced for the proposition that where continuing prejudice cannot be remedied by new trial or suppression, more drastic treatment might be considered. Cited to note there was no claim of continuing prejudice here that would mandate more drastic relief.
United States v. Blue, 384 U.S. 251, 255 Explains that exclusionary rules assume suppression of evidence, not barring prosecution altogether; barring prosecution would unduly interfere with public interest. Quoted to support the Court's view that dismissal of indictment is an unduly drastic remedy compared to suppression.
602 F.2d 529 Decision of the Court of Appeals for the Third Circuit reversing the District Court and ordering dismissal with prejudice. The Supreme Court reversed that result, concluding dismissal was inappropriate absent demonstrable prejudice.
United States v. Moskow, 588 F.2d 882 Appeals-court authority noting the Third Circuit's approval of conditional pleas retaining appeal rights. Mentioned in a footnote as cases in which the Third Circuit approved the conditional plea procedure used here.
United States v. Zudick, 523 F.2d 848 Another case approving the conditional plea procedure in the Third Circuit. Referenced in a footnote describing the procedural posture of the plea here.
United States v. Jimenez, 626 F.2d 39, 41-42 (CA7 1980) One of several Courts of Appeals cases supporting the view that dismissal is not required absent prejudice. Cited as supportive authority in the Courts of Appeals for the position adopted by the Supreme Court.
United States v. Artuso, 618 F.2d 192, 196-197 (CA2 1980) Court of Appeals authority supporting limiting remedies to those tailored to the injury. Listed among appellate cases aligning with the Court's approach.
United States v. Glover, 596 F.2d 857, 861-864 (CA9 1979) Appellate decision cited as consistent with the Court's remedial approach. Used to show substantial appellate support for not dismissing indictments absent demonstrable prejudice.
United States v. Crow Dog, 532 F.2d 1182, 1196-1197 (CA8 1976) Appellate authority cited in support of tailored remedies and against dismissal absent prejudice. Included as part of the body of appellate cases endorsing the Court's approach.
United States v. Acosta, 526 F.2d 670, 674 (CA5 1976) Appellate decision cited as supportive of limiting remedies to the injury suffered. Noted among appellate precedents aligning with the Supreme Court's reasoning.
United States v. McCord, 166 U.S.App.D.C. 1, 15-18, 509 F.2d 334, 348-351 (1974) (en banc) (dicta) Appellate en banc decision cited as containing dicta to a contrary view. Identified as an exception among appellate authorities—presented as dicta contrary to the prevailing appellate trend.
Commonwealth v. Manning, 373 Mass. 438, 367 N.E.2d 635 (1977) State-court authority adopting a contrary view to the one supported by many federal appellate courts. Noted as adopting a different approach (contrary view) regarding remedies for such violations.

Court's Reasoning and Analysis

The Court began by acknowledging the centrality of the Sixth Amendment right to counsel, citing foundational cases (e.g., Gideon, Glasser, Johnson). It then noted that the Government's conduct alleged here was egregious but observed that the motion to dismiss contained no allegation that the conduct had prejudiced the effectiveness or quality of Morrison's counsel's representation or otherwise had an adverse impact on her legal position.

Assuming, arguendo, that a Sixth Amendment violation occurred, the Court turned to the question of appropriate remedy. It adopted the guiding principle drawn from its prior decisions: remedies for Sixth Amendment deprivations should be tailored to the injury suffered and should not unnecessarily infringe competing societal interests in administering criminal justice. The Court surveyed relevant precedent showing that where counsel's assistance was rendered ineffective or where incriminating information was improperly obtained, remedies have typically consisted of reversal and retrial, suppression of improperly obtained evidence, or other tailored relief—not dismissal of the indictment.

The Court emphasized that absent demonstrable prejudice, or a substantial threat of such prejudice, dismissal of the indictment is "plainly inappropriate," even if the violation was deliberate. It analogized the approach to remedies for other constitutional violations (e.g., Fifth and Fourth Amendment contexts), explaining that the criminal proceeding's remedy is generally limited to denying the prosecution the fruits of the transgression (e.g., suppression), rather than barring prosecution altogether. The Court also noted there was no record here of continuing prejudice that could not be remedied by a new trial or suppression.

Applying these principles to the facts, the Court concluded Morrison had demonstrated no prejudice—transitory or permanent—to her counsel's ability to provide adequate representation, nor any constitutional taint that required purging to ensure effective representation or a fair trial. Therefore, the extreme remedy of dismissal with prejudice imposed by the Court of Appeals was inappropriate. The Court made clear that it did not condone the agents' conduct and that other proceedings might provide remedy, but that dismissal of the indictment in the criminal proceeding was not justified on the record before it.

Holding and Implications

Holding: The judgment of the Court of Appeals is REVERSED, and the case is remanded for proceedings consistent with the Supreme Court's opinion.

Implications:

  • The Supreme Court held that dismissal of an indictment with prejudice is not an appropriate remedy for an assumed Sixth Amendment violation where the defendant has not shown any adverse effect on the effectiveness of counsel or on the fairness of the proceedings. The direct effect is that the Court of Appeals' order dismissing the indictment was vacated and the criminal proceedings may continue.
  • The opinion establishes and reinforces the principle that remedies for Sixth Amendment violations must be tailored to the injury suffered; typical remedies include suppression of improperly obtained evidence, reversal and retrial, or other relief designed to neutralize actual prejudice rather than barring prosecution entirely.
  • The Court explicitly disapproved of using dismissal as a categorical deterrent for deliberate violations when no demonstrable prejudice is shown, while noting that other proceedings (outside the criminal proceeding) might afford different remedies for egregious governmental conduct.
Show all summary ...

Federal agents, aware that respondent had been indicted on federal drug charges and had retained counsel, met with her without her counsel's knowledge or permission, seeking her cooperation in a related investigation. The agents disparaged respondent's counsel and indicated that she would gain various benefits if she cooperated and would face a stiff jail term if she did not, but she declined to cooperate and notified her attorney. The agents visited respondent again in the absence of counsel, but she did not agree to cooperate with them, nor did she incriminate herself or supply any information pertinent to her case. Subsequently, respondent moved to dismiss the indictment with prejudice on the ground that the agents' conduct violated her Sixth Amendment right to counsel. The agents' egregious behavior was described as having "interfered" in some unspecified way with respondent's right to counsel, but it was not alleged that the claimed violation had prejudiced the quality or effectiveness of her legal representation or that the agents' conduct had any adverse impact on her legal position. The District Court denied the motion and respondent, pursuant to a prior agreement with the Government, entered a conditional plea of guilty to one count of the indictment. The Court of Appeals reversed, holding that respondent's Sixth Amendment right to counsel had been violated and that whether or not any tangible effect upon her representation had been demonstrated or alleged, the appropriate remedy was dismissal of the indictment with prejudice.

Held: Assuming, arguendo, that the Sixth Amendment was violated in the circumstances of this case, nevertheless the dismissal of the indictment was not appropriate, absent a showing of any adverse consequence to the representation respondent received or to the fairness of the proceedings leading to her conviction. Cases involving Sixth Amendment deprivations are subject to the general rule that remedies should be tailored to the injury suffered from the constitutional violation and should not unnecessarily infringe on competing interests. Absent demonstrable prejudice, or substantial threat thereof, from the violation of the Sixth Amendment, there is no basis for imposing a remedy in the criminal proceeding, which can go forward with full recognition of the defendant's right to counsel and to a fair trial, and dismissal of the indictment is plainly inappropriate, even though the violation may have been deliberate. Pp. 364-367.

602 F.2d 529, reversed and remanded.

WHITE, J., delivered the opinion for a unanimous Court.

JUSTICE WHITE delivered the opinion of the Court.

Hazel Morrison, respondent here, was indicted on two counts of distributing heroin in violation of 21 U.S.C. § 841 (a)(1). She retained private counsel to represent her in the impending criminal proceedings. Thereafter, two agents of the Drug Enforcement Agency, aware that she had been indicted and had retained counsel, sought to obtain her cooperation in a related investigation. They met and conversed with her without the knowledge or permission of her counsel. Furthermore, in the course of the conversation, the agents disparaged respondent's counsel, stating that respondent should think about the type of representation she could expect for the $200 retainer she had paid him and suggesting that she could be better represented by the public defender. In addition, the agents indicated that respondent would gain various benefits if she cooperated but would face a stiff jail term if she did not. Respondent declined to cooperate and immediately notified her attorney. The agents visited respondent again in the absence of counsel, but at no time did respondent agree to cooperate with them, incriminate herself, or supply any information pertinent to her case. Contrary to the agents' advice, respondent continued to rely upon the services of the attorney whom she had retained.

Respondent subsequently moved to dismiss the indictment with prejudice on the ground that the conduct of the agents had violated her Sixth Amendment right to counsel. The motion contained no allegation that the claimed violation had prejudiced the quality or effectiveness of respondent's legal representation; nor did it assert that the behavior of the agents had induced her to plead guilty, had resulted in the prosecution having a stronger case against her, or had any other adverse impact on her legal position. The motion was based solely upon the egregious behavior of the agents, which was described as having "interfered" in some unspecified way with respondent's right to counsel. This interference, unaccompanied by any allegation of adverse effect, was urged as a sufficient basis for the requested disposition.

The District Court denied the motion and respondent, pursuant to a prior agreement with the Government, entered a conditional plea of guilty to one count of the indictment. On appeal to the Court of Appeals for the Third Circuit, the judgment of the District Court was reversed. The appellate court concluded that respondent's Sixth Amendment right to counsel had been violated and that whether or not any tangible effect upon respondent's representation had been demonstrated or alleged, the appropriate remedy was dismissal of the indictment with prejudice. 602 F.2d 529 (1979). We granted the United States' petition for certiorari to consider whether this extraordinary relief was appropriate in the absence of some adverse consequence to the representation respondent received or to the fairness of the proceedings leading to her conviction. 448 U.S. 906. We reverse.

A second count was dismissed as required by the plea agreement. The plea was conditioned on respondent's right to appeal the District Court's denial of the motion to dismiss. The Third Circuit has approved this procedure. United States v. Moskow, 588 F.2d 882 (1978); United States v. Zudick, 523 F.2d 848 (1975). We express no view on the propriety of such conditional pleas.

The United States initially urges that absent some showing of prejudice, there could be no Sixth Amendment violation to be remedied. Because we agree with the United States, however, that the dismissal of the indictment was error in any event, we shall assume, without deciding, that the Sixth Amendment was violated in the circumstances of this case.

The Sixth Amendment provides that an accused shall enjoy the right "to have the Assistance of Counsel for his defense." This right, fundamental to our system of justice, is meant to assure fairness in the adversary criminal process. Gideon v. Wainwright, 372 U.S. 335, 344 (1963); Glasser v. United States, 315 U.S. 60, 69-70, 75-76 (1942); Johnson v. Zerbst, 304 U.S. 458, 462-463 (1938). Our cases have accordingly been responsive to proved claims that governmental conduct has rendered counsel's assistance to the defendant ineffective. Moore v. Illinois, 434 U.S. 220 (1977); Geders v. United States, 425 U.S. 80 (1976); Herring v. New York, 422 U.S. 853 (1975); Gilbert v. California, 388 U.S. 263 (1967); United States v. Wade, 388 U.S. 218 (1967); Massiah v. United States, 377 U.S. 201 (1964).

At the same time and without detracting from the fundamental importance of the right to counsel in criminal cases, we have implicitly recognized the necessity for preserving society's interest in the administration of criminal justice. Cases involving Sixth Amendment deprivations are subject to the general rule that remedies should be tailored to the injury suffered from the constitutional violation and should not unnecessarily infringe on competing interests. Our relevant cases reflect this approach. In Gideon v. Wainwright, supra, the defendant was totally denied the assistance of counsel at his criminal trial. In Geders v. United States, supra, Herring v. New York, supra, and Powell v. Alabama, 287 U.S. 45 (1932), judicial action before or during trial prevented counsel from being fully effective. In Black v. United States, 385 U.S. 26 (1966), and O'Brien v. United States, 386 U.S. 345 (1967), law enforcement officers improperly overheard pretrial conversations between a defendant and his lawyer. None of these deprivations, however, resulted in the dismissal of the indictment. Rather, the conviction in each case was reversed and the Government was free to proceed with a new trial. Similarly, when before trial but after the institution of adversary proceedings, the prosecution has improperly obtained incriminating information from the defendant in the absence of his counsel, the remedy characteristically imposed is not to dismiss the indictment but to suppress the evidence or to order a new trial if the evidence has been wrongfully admitted and the defendant convicted. Gilbert v. California, supra; United States v. Wade, supra; Massiah v. United States, supra. In addition, certain violations of the right to counsel may be disregarded as harmless error. Compare Moore v. Illinois, supra, at 232, with Chapman v. California, 386 U.S. 18, 23, and n. 8 (1967).

Our approach has thus been to identify and then neutralize the taint by tailoring relief appropriate in the circumstances to assure the defendant the effective assistance of counsel and a fair trial. The premise of our prior cases is that the constitutional infringement identified has had or threatens some adverse effect upon the effectiveness of counsel's representation or has produced some other prejudice to the defense. Absent such impact on the criminal proceeding, however, there is no basis for imposing a remedy in that proceeding, which can go forward with full recognition of the defendant's right to counsel and to a fair trial.

More particularly, absent demonstrable prejudice, or substantial threat thereof, dismissal of the indictment is plainly inappropriate, even though the violation may have been deliberate. This has been the result reached where a Fifth Amendment violation has occurred, and we have not suggested that searches and seizures contrary to the Fourth Amendment warrant dismissal of the indictment. The remedy in the criminal proceeding is limited to denying the prosecution the fruits of its transgression.

There is no claim here that there was continuing prejudice which, because it could not be remedied by a new trial or suppression of evidence, called for more drastic treatment. Cf. United States v. Marion, 404 U.S. 307, 325-326 (1971). Indeed, there being no claim of any discernible taint, even the traditional remedies were beside the point. The Court of Appeals seemed to reason that because there was no injury claimed and because other remedies would not be fruitful, dismissal of the indictment was appropriate. But as the dissent below indicated, it is odd to reserve the most drastic remedy for those situations where there has been no discernible injury or other impact.
The Court of Appeals also thought dismissal was appropriate to deter deliberate infringements of the right to counsel. But this proves too much, for it would warrant dismissal, not just in this case, but in any case where there has been a knowing violation. Furthermore, we note that the record before us does not reveal a pattern of recurring violations by investigative officers that might warrant the imposition of a more extreme remedy in order to deter further lawlessness.

This is clear from United States v. Blue, 384 U.S. 251, 255 (1966):
"Even if we assume that the Government did acquire incriminating evidence in violation of the Fifth Amendment, Blue would at most be entitled to suppress the evidence and its fruits if they were sought to be used against him at trial. . . . Our numerous precedents ordering the exclusion of such illegally obtained evidence assume implicitly that the remedy does not extend to barring the prosecution altogether. So drastic a step might advance marginally some of the ends served by exclusionary rules, but it would also increase to an intolerable degree interference with the public interest in having the guilty brought to book." (Footnote omitted.)

Here, respondent has demonstrated no prejudice of any kind, either transitory or permanent, to the ability of her counsel to provide adequate representation in these criminal proceedings. There is no effect of a constitutional dimension which needs to be purged to make certain that respondent has been effectively represented and not unfairly convicted. The Sixth Amendment violation, if any, accordingly provides no justification for interfering with the criminal proceedings against respondent Morrison, much less the drastic relief granted by the Court of Appeals.

The position we have adopted finds substantial support in the Courts of Appeals. United States v. Jimenez, 626 F.2d 39, 41-42 (CA7 1980); United States v. Artuso, 618 F.2d 192, 196-197 (CA2 1980); United States v. Glover, 596 F.2d 857, 861-864 (CA9 1979); United States v. Crow Dog, 532 F.2d 1182, 1196-1197 (CA8 1976); United States v. Acosta, 526 F.2d 670, 674 (CA5 1976); but see United States v. McCord, 166 U.S.App.D.C. 1, 15-18, 509 F.2d 334, 348-351 (1974) (en banc) (dicta). The Supreme Judicial Court of Massachusetts has adopted a contrary view. See Commonwealth v. Manning, 373 Mass. 438, 367 N.E.2d 635 (1977).

In arriving at this conclusion, we do not condone the egregious behavior of the Government agents. Nor do we suggest that in cases such as this, a Sixth Amendment violation may not be remedied in other proceedings. We simply conclude that the solution provided by the Court of Appeals is inappropriate where the violation, which we assume has occurred, has had no adverse impact upon the criminal proceedings.

The judgment of the Court of Appeals is accordingly reversed, and the case is remanded for proceedings consistent with this opinion.

So ordered.