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United States v. Morrison, No. 75-1534 (Dec. 12, 1976) — Summary

Factual and Procedural Background

On September 27, 1972, Border Patrol agents stopped a car driven by respondent at the permanent immigration checkpoint near Truth or Consequences, New Mexico. An agent detected the odor of marihuana and searched the car, discovering a large quantity of marihuana. Respondent was charged with possessing marihuana with intent to distribute in violation of 21 U.S.C. § 841(a)(1). He filed a pretrial Fourth Amendment motion to suppress the marihuana and waived his right to a jury trial. The motion to suppress was heard during the bench trial; the District Court denied the motion and entered a general finding of guilt.

After this conviction the Supreme Court decided Almeida-Sanchez v. United States, and the Tenth Circuit applied that decision retroactively and extended its rationale to fixed traffic checkpoints in United States v. King and United States v. Maddox. In light of those decisions, the District Court reconsidered respondent's original suppression motion and entered an order suppressing the marihuana. The Government appealed that suppression order under 18 U.S.C. § 3731.

While the Government's appeal was pending, this Court decided Bowen v. United States and United States v. Peltier, holding that Almeida-Sanchez was not to be applied retroactively to Border Patrol searches conducted prior to June 21, 1973. The Tenth Circuit, however, dismissed the Government's appeal for lack of jurisdiction, concluding that double jeopardy would bar further proceedings because resolution of factual issues going to the elements of the offense would be required.

Legal Issues Presented

  1. Whether the Government may appeal, under the Criminal Appeals Act (18 U.S.C. § 3731), a district court order suppressing evidence entered on reconsideration after a bench trial in which the district judge had already entered a general finding of guilt, or whether the Double Jeopardy Clause prohibits such an appeal.
  2. Whether a district court's general finding of guilt in a bench trial is, for Double Jeopardy purposes, equivalent to a jury verdict of guilty.

Arguments of the Parties

The opinion does not contain a detailed account of the parties' legal arguments.

Table of Precedents Cited

Precedent Rule or Principle Cited For Application by the Court
United States v. Wilson, 420 U.S. 332 When a judge rules in favor of the defendant after a verdict of guilty has been entered by the trier of fact, the Government may appeal that ruling without violating the Double Jeopardy Clause. The Court applied this holding to permit Government appeal of a suppression order entered after a bench trial, analogizing the district judge's general finding of guilt to a jury verdict.
Almeida-Sanchez v. United States, 413 U.S. 266 Held that a warrantless roving patrol search of vehicles for aliens, conducted without probable cause at a point removed from the border or its functional equivalent, violated the Fourth Amendment. Described as the intervening Supreme Court decision that led the Tenth Circuit to apply its rule retroactively and prompted reconsideration of the suppression motion in this case.
United States v. King, 485 F.2d 353 Tenth Circuit decision applying Almeida-Sanchez retroactively and holding its rationale encompasses searches at fixed checkpoints. Identified as a controlling circuit precedent that the District Court relied upon in granting suppression on reconsideration.
United States v. Maddox, 485 F.2d 361 Tenth Circuit decision similar to King applying Almeida-Sanchez retroactively to fixed checkpoints. Also cited by the District Court in reconsidering and suppressing the evidence.
Bowen v. United States, 422 U.S. 916 Held that Almeida-Sanchez was not to be applied retroactively to Border Patrol searches conducted prior to June 21, 1973. Noted as a subsequent Supreme Court decision issued while the Government's appeal was pending; bears on retroactivity of Almeida-Sanchez.
United States v. Peltier, 422 U.S. 531 Also held that Almeida-Sanchez was not retroactive to certain prior Border Patrol searches. Described alongside Bowen as affecting the retroactivity question while the Government's appeal was pending.
United States v. Jenkins, 420 U.S. 358 Explains that the Double Jeopardy Clause applies equally to bench and jury trials and that a judge's general finding of guilt may be analogized to a jury verdict. The Court relied on Jenkins to support the proposition that a district court's general finding of guilt is equivalent to a jury verdict for double jeopardy purposes, thereby permitting appeal consistent with Wilson.

Court's Reasoning and Analysis

The Court began by identifying the sequence of events: a bench trial in which the District Court denied the suppression motion and found the defendant guilty, followed by later intervening decisions (both at the Supreme Court and circuit level) that led the District Court to reconsider and suppress the evidence. The Government appealed the suppression order under 18 U.S.C. § 3731.

The Court analyzed whether double jeopardy barred the Government's appeal. It relied primarily on United States v. Wilson, which permits Government appeal when a judge rules in favor of a defendant after a guilty verdict has been entered, without violating the Double Jeopardy Clause. The Court then applied the principle expressed in United States v. Jenkins that the Double Jeopardy Clause makes no distinction between bench and jury trials and that a judge's general finding of guilt may be analogized to a jury verdict.

From these authorities the Court concluded that the District Court's general finding of guilt in this bench trial is for double jeopardy purposes equivalent to a jury verdict. Therefore, reversal of the suppression order on appeal would not necessitate further factfinding regarding guilt or innocence; instead, success on appeal would reinstate the general finding of guilt. Because the appeal would not require retrial or additional factual proceedings, the Double Jeopardy Clause does not bar the Government's appeal under the Criminal Appeals Act.

The Court noted that, if the suppression order were reversed, only sentencing and entry of judgment under Federal Rule of Criminal Procedure 32 would remain.

Holding and Implications

The Supreme Court granted certiorari, vacated the judgment of the Court of Appeals, and remanded the case for further proceedings consistent with this opinion.

Consequences and immediate effects:

  • The Court held that a district court's general finding of guilt in a bench trial is equivalent to a jury verdict for double jeopardy purposes.
  • Accordingly, the Government is entitled to appeal the District Court's suppression order under 18 U.S.C. § 3731 because a successful appeal would reinstate the prior finding of guilt rather than require additional factual proceedings or a retrial.
  • The Court's decision directed that the Tenth Circuit's dismissal for lack of jurisdiction be vacated and that the case be returned for proceedings consistent with the Supreme Court's analysis (i.e., permitting the Government's appeal to proceed).

The opinion does not announce a broader new precedent beyond applying existing holdings (Wilson and Jenkins) to the bench-trial context in this procedural posture; its direct effect is to allow the Government's appeal to proceed and to remand for further action consistent with reinstatement of the district court's earlier general finding of guilt if the suppression order is reversed.

UNITED STATES v. MORRISON

The District Court's general finding of guilt in a bench trial is for double jeopardy purposes the same as a jury verdict of guilty. The Government is therefore entitled, pursuant to the Criminal Appeals Act, to appeal the District Court's subsequent order suppressing certain evidence on reconsideration of respondent's pretrial motion, which was originally denied, since success on that appeal would result in reinstatement of the District Court's general finding of guilt, rather than in further factual proceedings relating to guilt or innocence. United States v. Wilson, 420 U.S. 332.

Certiorari granted; vacated and remanded.

PER CURIAM.

On September 27, 1972, a car driven by respondent was stopped by Border Patrol agents at the permanent immigration traffic checkpoint near Truth or Consequences, N.M. An agent detected the odor of marihuana; the car was then searched, disclosing a large quantity of marihuana.

Respondent was charged with possessing marihuana with intent to distribute in violation of 21 U.S.C. § 841 (a)(1). He filed a pretrial motion to suppress the marihuana on the ground that the search of his car violated the Fourth Amendment. He waived his right to a jury trial. The motion to suppress was heard during the trial on the merits, and the District Court denied the motion to suppress and found the respondent guilty as charged.

Approximately three months later, we held that a warrantless roving patrol search of vehicles for aliens, conducted without probable cause at a point removed from the border or its functional equivalent, violated the Fourth Amendment. Almeida-Sanchez v. United States, 413 U.S. 266 (1973). The Court of Appeals for the Tenth Circuit thereafter held that Almeida-Sanchez should be applied retroactively and that its rationale encompasses searches conducted at fixed traffic checkpoints. United States v. King, 485 F.2d 353 (1973); United States v. Maddox, 485 F.2d 361 (1973).

Respondent's original motion to suppress was then reconsidered by the District Court in the light of King, supra, and Maddox, supra, and the following order was entered:

At that time, this case was still pending before the court for sentencing.

"[I]t is hereby

"ORDERED that the marihuana which is the subject matter of the charge herein shall be and is hereby suppressed.
"The Court will take appropriate action consistent with this Order if this Order is not appealed by the United States of America or if this Order is affirmed on appeal."

Thereupon the Government appealed pursuant to 18 U.S.C. § 3731. While this appeal was pending in the Court of Appeals, we held in Bowen v. United States, 422 U.S. 916 (1975); United States v. Peltier, 422 U.S. 531 (1975), that Almeida-Sanchez was not to be applied retroactively to Border Patrol searches conducted prior to June 21, 1973. After the Government moved for summary reversal of the District Court's suppression order, the Court of Appeals, without benefit of briefing or oral argument, dismissed the Government's appeal for lack of jurisdiction, finding that double jeopardy would bar a retrial. The court, citing United States v. Jenkins, 420 U.S. 358 (1975), felt that double jeopardy would bar because further proceedings involving "the resolution of factual issues going to the elements of the offense charged . . ." would be required.

The Criminal Appeals Act provides in pertinent part:
"In a criminal case an appeal by the United States shall lie to a court of appeals from a decision, judgment, or order of a district court dismissing an indictment or information as to any one or more counts, except that no appeal shall lie where the double jeopardy clause of the United States Constitution prohibits further prosecution."

We cannot agree. In United States v. Wilson, 420 U.S. 332 (1975), we held:

"[W]hen a judge rules in favor of the defendant after a verdict of guilty has been entered by the trier of fact, the Government may appeal from that ruling without running afoul of the Double Jeopardy Clause." Id., at 352-353.

The holding in Wilson applies to the bench trial here, for, as we stated in United States v. Jenkins, supra:

"Since the Double Jeopardy Clause of the Fifth Amendment nowhere distinguishes between bench and jury trials, the principles given expression through that Clause apply to cases tried to a judge. . . .
"A general finding of guilt by a judge may be analogized to a verdict of `guilty' returned by a jury." 420 U.S., at 365-366.

Thus the District Court's general finding of guilt here is for double jeopardy purposes the same as a jury verdict of guilty. The Government is therefore entitled to appeal the order suppressing the evidence, since success on that appeal would result in the reinstatement of the general finding of guilt, rather than in further factual proceedings relating to guilt or innocence. As in Wilson, there would then remain only the imposition of sentence and the entry of a judgment of conviction pursuant to Fed. Rule Crim. Proc. 32.

We grant the petition for certiorari, vacate the judgment of the Court of Appeals, and remand for further proceedings consistent with this opinion.

It is so ordered.

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UNITED STATES v. MORRISON
(Oct 12, 1976)