OCTOBER TERM, 1994
Syllabus
HUBBARD
v. UNITED STATES
CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE SIXTH
CIRCUIT
No. 94-172. Argued February 21, 1995-Decided May 15, 1995
Petitioner's falsehoods in unsworn papers filed in Bankruptcy
Court prompted his indictment under 18 U. S. C. § 1001, which
criminalizes false statements and similar misconduct occurring "in
any matter within the jurisdiction of any department or agency of
the United States." He was convicted after the District Court,
relying on
United States v.
Bramblett, 348 U. S. 503, instructed
the jury that a bankruptcy court is a "department of the United
States" within § 1001's meaning. In affirming, the Court of Appeals
concluded that the so-called "judicial nmction" exception developed
in other Circuits, under which § 1001 reaches false statements made
while a court is performing its "administrative" or "housekeeping"
functions, but not its adjudicative functions, does not exist.
Held: The judgment is reversed in part.
16 F.3d
694, reversed in part.
JUSTICE STEVENS delivered the opinion of the Court with respect
to Parts I, II, III, and VI, concluding that, because a federal
court is neither a "department" nor an "agency" within § 1001's
meaning, the statute does not apply to false statements made in
judicial proceedings. Pp. 699-708, 715.
(a) A straightforward interpretation of § 1001's text, with
special emphasis on the words "department or agency," leads
inexorably to the conclusion that there is no need for any judicial
function exception because the statute's reach simply does not
extend to courts. Under both a commonsense reading and the terms of
18 U. S. C. § 6-which applies to all of Title 18 and defines
"agency" to include,
inter alia, any federal "department,
independent establishment, commission, administration, authority,
board or bureau" -it seems incontrovertible that "agency" does not
refer to a court. Moreover, although § 6 defines "department" to
mean an "executive departmen[tJ ... unless the context shows that
such term was intended to describe the ... legislative ... or
judicial branches," there is nothing in § 1001's text, or in any
related legislation, that even suggests-let alone "shows"-that
something other than a component of the Executive Branch was
intended in this instance. Pp. 699-702.
696
Syllabus
(b) The
Bramblett Court erred by giving insufficient
weight to the plain language of §§ 6 and 1001 and, instead, broadly
interpreting "department" in § 1001 to refer to the Executive,
Legislative, and Judicial Branches. Rather than attempting to
reconcile its interpretation with the usual meaning of
"department," that Court relied on a review of the evolution of §
1001 and a related statute as providing a "context" for the
conclusion that "Congress could not have intended to leave frauds
such as [Bramblett's] without penalty." 348 U. S., at 509. Although
a statute's historical evolution should not be discounted, such an
analysis normally provides less guidance to meaning than the final
text. Here, a straightforward reading suggests a meaning of
"department" that is fully consistent with § 6's presumptive
definition. Moreover, the statutory history chronicled in
Bramblett is at best inconclusive and does not supply a
"context" sufficiently clear to warrant departure from that
definition. Pp. 702-708.
(c)
Bramblett is hereby overruled. P. 715.
JUSTICE STEVENS, joined by JUSTICE GINSBURG and JUSTICE BREYER,
concluded in Parts IV and V:
1. A review of pertinent lower court decisions demonstrates that
the judicial function exception is an obvious attempt to impose
limits on
Bramblett's expansive reading of § 1001 and that
the exception has a substantial and longstanding following. Pp.
708-711.
2. The doctrine of
stare decisis does not require this
Court to accept
Bramblett's erroneous interpretation of §
1001. Reconsideration of that case is permitted here (1) because of
a highly unusual intervening development of the law-the judicial
function exception-which is fairly characterized as a competing
legal doctrine that can lay a legitimate claim to respect as a
settled body of law, and (2) because of the absence of significant
reliance interests in adhering to
Bramblett on the part of
prosecutors and Congress. Pp. 711-715.
JUSTICE SCALIA, joined by JUSTICE KENNEDY, agreed that
United
States v.
Bramblett, 348 U. S. 503, should be
overruled, but concluded that the doctrine of
stare decisis
may be ignored in this case not because the judicial function
exception represents an intervening development of the law, but
because of the demonstration, over time, that
Bramblett's
mistaken reading of § 1001 poses a risk that the threat of criminal
prosecution under § 1001's capacious provisions will deter vigorous
representation of opposing interests in adversarial litigation,
particularly representation of criminal defendants, whose
adversaries control the machinery of § 1001 prosecution. That
problem can be judicially avoided (absent overruling) only by
limiting
Bramblett in a manner that is irrational or by
importing exceptions, such as the judicial function exception, that
have no basis in law. Pp.716-717.
697
STEVENS, J., announced the judgment of the Court and delivered
the opinion of the Court with respect to Parts I, II, III, and VI,
in which SCALIA, KENNEDY, THOMAS, GINSBURG, and BREYER, JJ.,
joined, and an opinion with respect to Parts IV and V, in which
GINSBURG and BREYER, JJ., joined. SCALIA, J., filed an opinion
concurring in part and concurring in the judgment, in which
KENNEDY, J., joined,
post, p. 716. REHNQUIST, C. J., filed a
dissenting opinion, in which O'CONNOR and SOUTER, JJ., joined,
post, p. 718.
Paul Morris argued the cause for petitioner. With him on
the brief was
Andrew Boros.
Richard P. Bress argued the cause for the United
States.
With him on the brief were Solicitor General Days, Assistant
Attorney General Harris, Deputy Solicitor General Dreeben, and Joel
M. Gershowitz.
JUSTICE STEVENS delivered the opinion of the Court, except as to
Parts IV and V. *
In unsworn papers filed in a bankruptcy proceeding, petitioner
made three false statements of fact. Each of those
misrepresentations provided the basis for a criminal conviction and
prison sentence under the federal false statement statute, 18 U. S.
C. § 1001. The question we address is whether § 1001 applies to
false statements made in judicial proceedings.
I
In 1985, petitioner filed a voluntary petition for bankruptcy
under Chapter 7 of the Bankruptcy Code. In the course of the
proceedings, the trustee filed an amended complaint and a motion to
compel petitioner to surrender certain business records. Petitioner
opposed the relief sought by the trustee in a pair of unsworn,
written responses filed with the Bankruptcy Court. Both of his
responses contained falsehoods. Petitioner's answer to the
trustee's complaint falsely denied the trustee's allegations that a
well-drilling machine and parts for the machine were stored at
petition-
*JUSTICE THOMAS joins Parts I, II, III, and VI of this
opinion.
698
er's home and in a nearby warehouse. Petitioner's response to
the trustee's discovery motion incorrectly stated that petitioner
had already turned over all of the requested records.
When the misrepresentations came to light, petitioner was
charged with three counts of making false statements under 18 U. S.
C. § 1001.1 That statute provides:
"Whoever, in any matter within the jurisdiction of any
department or agency of the United States knowingly and willfully
falsifies, conceals or covers up by any trick, scheme, or device a
material fact, or makes any false, fictitious or fraudulent
statements or representations, or makes or uses any false writing
or document knowing the same to contain any false, fictitious or
fraudulent statement or entry, shall be fined not more than $10,000
or imprisoned not more than five years, or both."
Relying on our decision in
United States v.
Bramblett,
348 U. S. 503 (1955), the District Court instructed the jury
that a bankruptcy court is a "department ... of the United States"
within the meaning of § 1001. The jury convicted petitioner on all
three § 1001 counts, and the District Court sentenced him to
concurrent terms of 24 months' imprisonment.
On appeal to the Court of Appeals for the Sixth Circuit,
petitioner argued that his convictions under § 1001 were barred by
the so-called "judicial function" exception. First suggested over
30 years ago in
Morgan v.
United States, 309 F. 2d
234 (CADC 1962), cert. denied, 373 U. S. 917 (1963), this doctrine
limits the extent to which § 1001 reaches conduct occurring in the
federal courts. Under the exception, only those misrepresentations
falling within a court's "administrative" or "housekeeping"
functions can give rise to liability
1 Petitioner was also charged with, and convicted of, bankruptcy
fraud and mail fraud under 18 U. S. C. §§ 152 and 1341 (1988 ed.
and Supp. V). The validity of those convictions is not before
us.
699
under § 1001; false statements made while a court is performing
its adjudicative functions are not covered.
The Court of Appeals affirmed petitioner's convictions under §
1001. Although the judicial function exception has become
entrenched over the years in a number of Circuits, the Sixth
Circuit concluded, over a dissent, that the exception does not
exist.
16 F.3d
694 (1994). That conclusion created a split in the Circuits,
prompting us to grant certiorari.2 513 U. S. 959 (1994). We now
reverse.
II
Section 1001 criminalizes false statements and similar
misconduct occurring "in any matter within the jurisdiction of any
department or agency of the United States." In ordinary parlance,
federal courts are not described as "departments" or "agencies" of
the Government. As noted by the Sixth Circuit, it would be strange
indeed to refer to a court as an "agency." See 16 F. 3d, at 698, n.
4 ("[T]he U. S. Court of Appeals [is not] the Appellate
Adjudication Agency"). And while we have occasionally spoken of the
three branches of our Government, including the Judiciary, as
"department[s],"
e. g., Mississippi v.
Johnson, 4 Wall. 475,500 (1867), that locution is not an
ordinary one. Far more common is the use of "department" to refer
to a component of the Executive Branch.
2 The judicial function exception has been recognized in the
following cases:
United States v.
Masterpol,
940 F.2d
760, 764-766
(CA2 1991); United States v.
Holmes, 840 F.2d
246, 248
(CA4), cert. denied, 488 U. S. 831 (1988);
United States v.
Abrahams, 604
F.2d 386, 393
(CA5 1979); United States v.
Mayer, 775 F.2d
1387, 1390
(CA9 1985)
(per curiam); United States
v.
Wood, 6 F.3d
692, 694-695 (CAlO 1993). Although the Seventh and District of
Columbia Circuits have questioned the basis of the exception, see
United States v.
Barber, 881 F.2d
345,350
(CA7 1989), cert. denied, 495 U. S. 922 (1990);
United States v.
Poindexter, 951
F.2d 369, 387 (CADC 1991), cert. denied, 506 U. S. 1021 (1992),
the Sixth Circuit stands alone in unambiguously rejecting it.
700
As an initial matter, therefore, one might be tempted to
conclude that § 1001 does not apply to falsehoods made during
federal-court proceedings. This commonsense reading is bolstered by
the statutory definitions of "department" and "agency" set forth at
18 U. S. C. § 6. First adopted in 1948, and applicable to all of
Title 18, the definitions create a presumption in favor of the
ordinary meaning of the terms at issue:
"The term 'department' means one of the executive departments
enumerated in section 1 [now § 101] of Title 5, unless the context
shows that such term was intended to describe the executive,
legislative, or judicial branches of the government.
"The term 'agency' includes any department, independent
establishment, commission, administration, authority, board or
bureau of the United States or any corporation in which the United
States has a proprietary interest, unless the context shows that
such term was intended to be used in a more limited sense."
Under § 6, it seems incontrovertible that "agency" does not
refer to a court.3 "Department," on the other hand, might be
interpreted under § 6 to describe the Judicial Branch, but only if
the "context" of § 1001 "shows" that Congress intended the word to
be used in the unusual sense employed in
Mississippi v.
Johnson. We believe that § 6 permits such an interpretation
only if the context in § 1001 is fairly powerful. "Shows" is a
strong word; among its definitions is "[t]o make apparent or clear
by evidence, testimony or reasoning; to prove; demonstrate."
Webster's New International Dictionary 2324 (2d ed. 1949). Cf.
Rowland v.
California Men's Colony, Unit II Men's
Advisory Council, 506 u.¥S. 194, 200-201 (1993) (discussing
similar provision
3We express no opinion as to whether any other entity within the
Judicial Branch might be an "agency" within the meaning of § 6.
701
requiring adherence to presumptive definition unless context
"indicate[dJ" a different meaning).4
In
Rowland, we explained the proper method of analyzing a
statutory term's "context" to determine when a presumptive
definition must yield. Such an analysis, we explained, requires a
court to examine "the text of the Act of Congress surrounding the
word at issue, or the texts of other related congressional Acts
.... "
Id., at 199; see also
id., at 212-213 (THOMAS,
J., dissenting);
Monell v.
New York City Dept. of Social
Servs., 436 U. S.
658, 689-690, n. 53 (1978). Review of other materials is not
warranted. "If Congress had meant to point further afield, as to
legislative history, for example, it would have been natural to use
a more spacious phrase, like 'evidence of congressional intent,' in
place of 'context.' "
Rowland, 506 U. S., at 200.
In the case of § 1001, there is nothing in the text of the
statute, or in any related legislation, that even suggests-let
alone "shows"-that the normal definition of "department" was not
intended. Accordingly, a straightforward interpretation of the text
of § 1001, with special emphasis on the words "department or
agency," would seem to lead inexorably to the conclusion that there
is no need for any judicial function exception because the reach of
the statute simply does not extend to courts. Our task, however, is
complicated by the fact that the Court interpreted "department"
broadly 40 years ago in
Bramblett. We must, therefore,
4 Congress' use of the word "shows" is unsurprising in view of
the fact that 18 U. S. C. § 6 provides statutory definitions
exclusively for criminal statutes. We have often emphasized the
need for clarity in the definition of criminal statutes, to provide
"fair warning ... in language that the common world will
understand, of what the law intends to do if a certain line is
passed."
McBoyle v.
United States, 283 U. S. 25, 27 (1931).
See also
United States v.
Batchelder, 442 U. S. 114, 123
(1979);
Lanzetta v.
New Jersey, 306 U. S. 451, 453
(1939). Adhering to the statutory definition of a particular term
is fully consistent with this objective. Cf.
Rowland, 506 U.
S., at 199 (construing 1 U. S. C. § 1, which is generally
applicable to any Act of Congress).
702
turn our attention to that case before deciding the fate of the
judicial function exception.
III
Defendant Bramblett was a former Member of Congress who had
falsely represented to the Disbursing Office of the House of
Representatives that a particular person was entitled to
compensation as his official clerk. He argued that he could not be
convicted under § 1001 because his falsehood was directed to an
office within the Legislative Branch. 348 U. S., at 504. The Court
rejected this argument, concluding that the word "department," as
used in § 1001, "was meant to describe the executive, legislative
and judicial branches of the Government."
Id., at 509.
Although
Bramblett involved Congress, not the courts, the
text and reasoning in the Court's opinion amalgamated all three
branches of the Government. Thus,
Bramblett is highly
relevant here even though its narrow holding only extended § 1001
to false statements made within the Legislative Branch.
We think
Bramblett must be acknowledged as a seriously
flawed decision. Significantly, the
Bramblett Court made no
attempt to reconcile its interpretation with the usual meaning of
"department." It relied instead on a review of the evolution of §
1001 and its statutory cousin, the false claims statute presently
codified at 18 U. S. C. § 287, as providing a "context" for the
conclusion that "Congress could not have intended to leave frauds
such as [Bramblett's] without penalty." 348 U. S., at 509. We are
convinced that the Court erred by giving insufficient weight to the
plain language of §§ 6 and 1001.5 Although the historical evolution
of a stat-
5 In addition, it is debatable at best whether the Court was
correct in asserting that, but for its expansive interpretation of
§ 1001, Bramblett's fraud would necessarily have gone unpunished.
In discussing the evolution of § 1001, the Court noted that the
false claims statute, originally enacted in 1863 and by 1955
codified at 18 U. S. C. § 287, "clearly covers the presentation of
false claims against any component of the Government
703
ute-based on decisions by the entire Congress-should not be
discounted for the reasons that may undermine confidence in the
significance of excerpts from congressional debates and committee
reports,6 a historical analysis normally provides less guidance to
a statute's meaning than its final text. In the ordinary case,
absent any "indication that doing so would frustrate Congress's
clear intention or yield patent absurdity, our obligation is to
apply the statute as Congress wrote it."
BFP v.
Resolution Trust Corporation, 511 U. S. 531, 570 (1994)
(SOUTER, J., dissenting).
As noted above, a straightforward reading of the statute
suggests a meaning of "department" that is fully consistent with
the definition set forth in § 6. See
supra, at 699-702.
Similarly unremarkable is the language of the original Act of
Congress adopting what is now § 1001. That piece of legislation-the
Act of June 18, 1934, 48 Stat. 996 (1934 Act)-
to any officer of the Government."
United States v.
Bramblett, 348
U. S. 503, 505 (1955). In an earlier decision, it had
interpreted "claim" in the false claims statute broadly, explaining
that the word referred to "a claim for money or property to which a
right is asserted against the Government, based upon the
Government's own liability to the claimant."
United States
v.
Cohn, 270
U. S. 339, 345-346 (1926). Bramblett could thus seemingly have
been charged with violating §287, or at least aiding and abetting
in a violation of that statute, since his misrepresentation was
intended to procure Government compensation. See Supplemental
Memorandum for the United States in
United States v.
Bramblett, O. T. 1954, No. 159 (arguing that Bramblett's
conviction could be affirmed because his conduct violated all the
elements of § 287). In today's decision, we do not disturb the
scope of § 287 as construed in either
Cohn or
Bramblett.
Bramblett's fraud also was arguably directed at an "agency"
within the meaning of § 1001. The Court recognized this contention,
noting "it might be argued, as the Government does, that the
[Disbursing Office] is an 'authority' within the § 6 definition of
'agency.'" 348 U. S., at 509. The Court refused, however, to rest
its decision on that more narrow interpretation.
Ibid.
6 See,
e. g., Thompson v.
Thompson, 484 U. S. 174, 191-192
(1988) (SCALIA, J., concurring in judgment); but cf. Breyer, On the
Uses of Legislative History in Interpreting Statutes, 65 S. Cal. L.
Rev. 845 (1992).
704
amended what was then § 35 of the Criminal Code to provide, in
pertinent part:
"[W]hoever shall knowingly and willfully falsify or conceal or
cover up by any trick, scheme, or device a material fact, or make
or cause to be made any false or fraudulent statements or
representations, or make or use or cause to be made or used any
false bill, receipt, voucher, roll, account, claim, certificate,
affidavit, or deposition, knowing the same to contain any
fraudulent or fictitious statement or entry, in any matter
within the jurisdiction of any department or agency of the United
States or of any corporation in which the United States of
America is a stockholder ... [shall be punished]." (Emphasis
added.)
This language conveys no different message regarding
"department" than the current version of § 100l.
What, then, of the earlier statutory history chronicled in
Bramblett? We believe it is at best inconclusive, and that
it does not supply a "context" sufficiently clear to warrant
departure from the presumptive definition in 18 U. S. C. § 6.
The earliest statutory progenitor of § 1001 was the original
false claims statute, adopted as the Act of Mar. 2, 1863, ch. 67,
12 Stat. 696 (1863 Act). That enactment made it a criminal offense
for any person, whether a civilian or a member of the military
services, to
"present or cause to be presented for payment or approval to or
by any person or officer in the civil or military service of the
United States, any claim upon or against the Government of the
United States, or any department or officer thereof, knowing such
claim to be false, fictitious, or fraudulent." 7
7 In
Bramblett, the Court incorrectly stated that the
1863 Act only penalized misconduct by members of the military. In
fact, § 3 of the Act established criminal and civil penalties for
false claims and other misdeeds
705
The 1863 Act also proscribed false statements, but the scope of
that provision was far narrower than that of modern-day § 1001; the
Act prohibited only those false statements made "for the purpose of
obtaining, or aiding in obtaining, the approval or payment of [a
false] claim." 12 Stat. 696. The Court explained in
Bramblett that the false claims provision in the 1863 Act
"clearly cover[ed] the presentation of false claims against any
component of the Government to any officer of the Government," 348
U. S., at 505, and it asserted similar breadth for the false
statement portion of the Act,
ibid.
The false statements provision in the 1863 Act remained
essentially unchanged for 55 years.8 In 1918, Congress amended the
statute to provide as follows:
"[WJhoever, for the purpose of obtaining or aiding to obtain the
payment or approval of [a false] claim, or for the purpose and with
the intent of cheating and swindling or defrauding the Government
of the United States, or any department thereof, or any corporation
in which the United States of America is a stockholder, shall
knowingly and willfully falsify or conceal or cover up by any
trick, scheme, or device a material fact, or make or cause to be
made any false or fraudulent statements or representations, or make
or use or cause to be made or used any false bill, receipt,
voucher, roll, account, claim, certificate, affidavit, or
deposition, knowing the same to contain any fraudulent or
fictitious statement or entry [shall be punished]." Act of Oct.
23,
committed by "any person not in the military or naval forces of
the United States." 12 Stat. 698.
8 In 1873, the statute was codified and minor changes were made.
See Rev. Stat. § 5438. The penalties were changed in the Act of May
30, 1908, 35 Stat. 555, and the statute was recodified as § 35 of
the Criminal Code in the Act of Mar. 4, 1909,35 Stat. 1095.
706
1918, ch. 194, 40 Stat. 1015-1016 (1918 Act) (emphasis
added).
The scope of this new provision is unclear. Although it could be
read to create criminal liability for governmentwide false
statements, its principal purpose seems to have been to prohibit
false statements made to defraud Government corporations, which
flourished during World War I. Cf.
Lebron v.
National
Railroad Passenger Corporation, 513 U. S. 374, 386-391 (1995)
(tracing history of Government corporations). In one important
respect, moreover, the statute remained relatively narrow: It was
limited to false statements intended to bilk the Government out of
money or property. See
United States v.
Cohn,
270 U. S. 339
(1926). Given the continuing focus on financial frauds against the
Government, the 1918 Act did not alter the fundamental character of
the original false claims statute.
The 1934 Act, which created the statute we now know as § 1001,
did work such a change. Congress excised from the statute the
references to financial frauds, thereby severing the historical
link with the false claims portion of the statute, and inserted the
requirement that the false statement be made "in any matter within
the jurisdiction of any department or agency of the United States."
This addition, critical for present purposes, is subject to two
competing inferences. On one hand, it can be read to impose new
words of limitation-whose ordinary meaning connotes the Executive
Branch-in an altogether reformulated statute. On the other hand, it
can be viewed as stripping away the financial fraud requirement
while not disturbing the pre-existing breadth the statute had
enjoyed from its association with the false claims statute.
The
Bramblett Court embraced the latter inference,
finding no indication in any legislative history that the amendment
was intended to narrow the scope of the statute. We think this
interpretation, though not completely implausible, is nevertheless
unsound. The differences between the 1934
707
Act and its predecessors are too dramatic to evidence a
congressional intent to carry forward any features of the old
provision. Moreover, our comments, over the years, regarding the
1934 legislation-including those contained in
Bramblett
itself-contradict the notion that such a "carry forward"
occurred.
We have repeatedly recognized that the 1934 Act was passed at
the behest of "the Secretary of the Interior to aid the enforcement
of laws relating to the functions of the Department of the Interior
and, in particular, to the enforcement of regulations ... with
respect to the transportation of 'hot oil.'"
United States
v.
Gilliland, 312 U. S. 86, 93-94
(1941); see also
United States v.
Yermian, 468 U. S. 63, 72 (1984)
(the 1934 Act was "needed to increase the protection of federal
agencies from the variety of deceptive practices plaguing the New
Deal administration");
id., at 80 (REHNQUIST, J.,
dissenting) (the statute was prompted by problems arising from "the
advent of the New Deal programs in the 1930's"). Indeed, the
Bramblett Court itself acknowledged the connection between
the 1934 Act and the proliferation of fraud in the newly formed
Executive agencies:
"The 1934 revision was largely the product of the urging of the
Secretary of the Interior. The Senate Report, S. Rep. No. 1202, 73d
Cong., 2d Sess., indicates that its purpose was to broaden the
statute so as to reach not only false papers presented in
connection with a claim against the Government, but also
nonmonetary frauds such as those involved in the 'hot-oil'
shipments." 348 U. S., at 507.
None of our opinions refers to any indication that Congress even
considered whether the 1934 Act might apply outside the
Executive Branch, much less that it affirmatively understood the
new enactment to create broad liability for falsehoods in the
federal courts. In light of this vacuum, it would be curious indeed
if Congress truly intended the 1934 Act to
708
Opinion of STEVENS, J.
work a dramatic alteration in the law governing misconduct in
the court system or the Legislature. The unlikelihood of such a
scenario only strengthens our conclusion that the
Bramblett
Court erred in its interpretation of § 1001's statutory
history.
Putting
Bramblett's historical misapprehensions to one
side, however, we believe the
Bramblett Court committed a
far more basic error in its underlying approach to statutory
construction. Courts should not rely on inconclusive statutory
history as a basis for refusing to give effect to the plain
language of an Act of Congress, particularly when the Legislature
has specifically defined the controverted term. In
Bramblett, the Court's method of analysis resulted in a
decision that is at war with the text of not one, but two different
Acts of Congress.
Whether the doctrine of
stare decisis nevertheless
requires that we accept
Bramblett's erroneous interpretation
of § 1001 is a question best answered after reviewing the body of
law directly at issue: the decisions adopting the judicial function
exception.
IV
Although other federal courts have refrained from directly
criticizing
Bramblett's approach to statutory construction,
it is fair to say that they have greeted the decision with
something less than a warm embrace. The judicial function
exception, an obvious attempt to impose limits on
Bramblett's expansive reading of § 1001, is a prime example.
As the following discussion indicates, the judicial function
exception is almost as deeply rooted as
Bramblett
itself.
The seeds of the exception were planted by the Court of Appeals
for the District of Columbia Circuit only seven years after
Bramblett was decided. In
Morgan v.
United
States, 309 F.2d
234 (1962), cert. denied, 373 U. S. 917 (1963), the defendant,
who had falsely held himself out to be a bona fide member of the
bar, was prosecuted on three counts of violating § 1001 for
concealing from the court his name, identity,
709
and nonadmission to the bar. After first acknowledging that, but
for
Bramblett, it might well have accepted the argument that
Congress did not intend § 1001 to apply to the courts, the Court of
Appeals upheld the conviction. But the court was clearly troubled
by the potential sweep of § 100l. Noting that the statute prohibits
"concealment" and "covering up" of material facts, as well as
intentional falsehoods, the court wondered whether the statute
might be interpreted to criminalize conduct that falls well within
the bounds of responsible advocacy.9 The court concluded its
opinion with this significant comment:
"We are certain that neither Congress nor the Supreme Court
intended the statute to include traditional trial tactics within
the statutory terms 'conceals or covers up.' We hold only, on the
authority of the Supreme Court construction, that the statute does
apply to the type of action with which appellant was charged,
action which essentially involved the 'administrative' or
'housekeeping' functions, not the 'judicial' machinery of the
court." 309 F. 2d, at 237.
Relying on
Morgan, the Court of Appeals for the Sixth
Circuit reversed a conviction several years later "because § 1001
does not apply to the introduction of false documents as evidence
in a criminal proceeding."
United States v.
Erhardt,
381 F.2d
173, 175 (1967)
(per curiam). The court explained that
the judicial function exception suggested in
Morgan was
necessary to prevent the perjury statute, with its two-witness rule
(since repealed), from being undermined. 381 F. 2d, at 175.
9" 'Does a defendant "cover up ... a material fact" when he
pleads not guilty?' 'Does an attorney "cover up" when he moves to
exclude hearsay testimony he knows to be true, or when he makes a
summation on behalf of a client he knows to be guilty?'''
Morgan v.
United States, 309 F.2d
234, 237 (CADC 1962), cert. denied, 373 U. S. 917 (1963).
710
Opinion of STEVENS, J.
Once planted, the judicial function exception began to flower in
a number of other Circuits. The Ninth Circuit summarized the state
of the law in 1985:
"[T]he adjudicative functions exception to section 1001 has been
suggested or recognized by appellate decisions since 1962, not long
after the Supreme Court decided that section 1001 applies to
matters within the jurisdiction of the judicial branch. In these
twenty-three years, there has been no response on the part of
Congress either repudiating the limitation or refining it. It
therefore seems too late in the day to hold that no exception
exists." United States v. Mayer, 775 F.2d
1387, 1390 (per curiam) (footnote omitted).
The Second Circuit sounded a similar theme in 1991, relying in
part on the congressional acquiescence to which the Ninth Circuit
had adverted in
Mayer. The Second Circuit wrote:
"No court, to our knowledge, whether due to its acceptance of
the exception or to prosecutorial reticence, has ever sustained a
section 1001 conviction for false statements made by a defendant to
a court acting in its judicial capacity. The exception was first
articulated nearly thirty years ago and ' ... [i]t therefore seems
too late in the day to hold that no exception exists.'
Mayer, 775 F.2d
1390." United States v. Masterpol, 940 F. 2d 760,
766.10
10 Some 17 years before
Masterpol, the Second Circuit
restricted the application of § 1001 in a slightly different
manner. In
United States v.
D'Amato, 507 F.2d
26 (1974), the court overturned a § 1001 conviction arising out
of a false affidavit submitted in the course of a private civil
lawsuit. Based upon a review of relevant case law and legislative
history, the court concluded that § 1001 did not apply "where the
Government is involved only by way of a court deciding a matter in
which the Government or its agencies are not involved."
Id.,
at 28. Accord,
United States v.
London, 714 F.2d
1558, 1561-1562 (CAll 1983).
711
Although not all of the courts of appeals have endorsed the
judicial function exception, it is nevertheless clear that the
doctrine has a substantial following. See n. 2,
supra.
Moreover, as both the Ninth and the Second Circuits observed,
Congress has not seen fit to repudiate, limit, or refine the
exception despite its somewhat murky borders and its obvious
tension with the text of the statute as construed in
Bramblett. On the other hand, it is also true that Congress
has not seen fit to overturn the holding in
Bramblett,
despite the fact that the opinions endorsing the judicial function
exception evidence a good deal of respectful skepticism about the
correctness of that decision.
v
With the foregoing considerations in mind, we now turn to the
difficult
stare decisis question that this case presents. It
is, of course, wise judicial policy to adhere to rules announced in
earlier cases. As Justice Cardozo reminded us:
"The labor of judges would be increased almost to the breaking
point if every past decision could be reopened in every case, and
one could not lay one's own course of bricks on the secure
foundation of the courses laid by others who had gone before him."
B. Cardozo, The Nature of the Judicial Process 149 (1921).
Adherence to precedent also serves an indispensable institutional
role within the Federal Judiciary.
Stare decisis is "a basic
self-governing principle within the Judicial Branch, which is
entrusted with the sensitive and difficult task of fashioning and
preserving a jurisprudential system that is not based upon 'an
arbitrary discretion.'"
Patterson v.
McLean Credit
Union, 491 U. S.
164, 172 (1989) (quoting The Federalist No. 78, p. 490 (H.
Lodge ed. 1888) (A. Hamilton)). See also
Planned Parenthood of
Southeastern Pa. v.
Casey, 505 U. S. 833, 854-855
(1992) (joint opinion of O'CONNOR, KENNEDY, and SOUTER, JJ.).
Respect for precedent is strongest "in the area of statutory
construction, where Congress is free to change this Court's
interpretation
712
Opinion of STEVENS, J.
of its legislation."
Illinois Brick Co. v.
Illinois, 431
U. S. 720, 736
(1977).11
In this case, these considerations point in two conflicting
directions. On one hand, they counsel adherence to the construction
of § 1001 adopted in
Bramblett; on the other, they argue in
favor of retaining the body of law that has cut back on the breadth
of
Bramblett in Circuits from coast to coast.
It would be difficult to achieve both goals simultaneously.
For if the word "department" encompasses the Judiciary, as
Bramblett stated, 348 U. S., at 509, the judicial function
exception cannot be squared with the text of the statute. A court
is a court-and is part of the Judicial Branchwhether it is
functioning in a housekeeping or judicial capacity. Conversely,
Bramblett could not stand if we preserved the thrust of the
judicial function exception-i.
e., if we interpreted 18 U.
S. C. § 1001 so that it did not reach conduct occurring in
federal-court proceedings. Again, although
Bramblett
involved a false representation to an office within the Legislative
Branch, the decision lumped all three branches together in one and
the same breath. See 384 U. S., at 509 ("department" in § 1001 "was
meant to describe the executive, legislative and judicial branches
of the Government").
USee also,
e. g., Patterson v.
McLean Credit
Union, 491 U. S., at 172-173
(stare decisis has "special
force in the area of statutory interpretation, for here, unlike in
the context of constitutional interpretation, the legislative power
is implicated, and Congress remains free to alter what we have
done");
Square D Co. v.
Niagara Frontier Tariff Bureau,
Inc., 476 U. S.
409, 424 (1986) (noting "the strong presumption of continued
validity that adheres in the judicial interpretation of a
statute");
Runyon v.
McCrary, 427 U. S. 160, 189 (1976)
(STEVENS, J., concurring) (declining to overturn "a line of
[statutory] authority which I firmly believe to have been
incorrectly decided");
Burnet v.
Coronado Oil &
Gas Co., 285
U. S. 393, 406 (1932) (Brandeis, J., dissenting)
("Stare
decisis is usually the wise policy, because in most matters it
is more important that the applicable rule of law be settled than
that it be settled right. This is commonly true, even where the
error is a matter of serious concern, provided correction can be
had by legislation") (citation omitted).
713
We think the text of § 1001 forecloses any argument that we
should simply ratify the body of cases adopting the judicial
function exception. We are, however, persuaded that the clarity of
that text justifies a reconsideration of
Bramblett.12
Although such a reconsideration is appropriate only in the rarest
circumstances, we believe this case permits it because of a highly
unusual "intervening development of the law," see
Patterson,
491 U. S., at 173, and because of the absence of significant
reliance interests in adhering to
Bramblett.
The "intervening development" is, of course, the judicial
function exception. In a virtually unbroken line of cases,
respected federal judges have interpreted § 1001 so narrowly that
it has had only a limited application within the Judicial Branch.
See nn. 2 and 10,
supra. This interpretation has roots both
deep and broad in the lower courts. Although the judicial function
exception has not been adopted by this Court, our review of
Bramblett supports the conclusion that the cases endorsing
the exception almost certainly reflect the intent of Congress. It
is thus fair to characterize the judicial function exception as a
"competing legal doctrin[e],"
Patterson, 491 U. S., at 173,
that can lay a legitimate claim to respect as a settled body of
law. Overruling
Bramblett would preserve the essence of this
doctrine and would, to that extent, promote stability in the
law.13
12 Because the fate of the judicial function exception is tied
so closely to
Bramblett, we find no merit in the
Government's suggestion that a reconsideration of the validity of
that decision is not fairly included in the question on which we
granted certiorari. See generally
Lebron v.
National
Railroad Passenger Corporation, 513 U. S. 374, 379-383
(1995).
13 The dissent criticizes us for according respect to a body of
law developed in the lower courts, arguing that our decision will
"induce" federal judges on the courts of appeals to "ignore"
precedents from this Court and thereby invite chaos in the judicial
system.
Post, at 721. We would have thought it self-evident
that the lower courts must adhere to our precedents. Indeed, the
dissent's dire prediction is at odds with its own observation that
"no lower court would deliberately refuse to follow the
decision
714
Opinion of STEVENS, J.
Stare decisis has special force when legislators or
citizens "have acted in reliance on a previous decision, for in
this instance overruling the decision would dislodge settled rights
and expectations or require an extensive legislative response."
Hilton v.
South Carolina Public Railways Comm'n,
502 U. S. 197,
202 (1991); see also
Casey, 505 U. S., at 854-856 (joint
opinion of O'CONNOR, KENNEDY, and SouTER, JJ.). Here, however, the
reliance interests at stake in adhering to
Bramblett are
notably modest. In view of the extensive array of statutes that
already exist to penalize false statements within the Judicial
Branch, see,
e. g., 18 U. S. C. § 1621
(perjury); § 1623 (false declarations before grand jury or court);
§ 1503 (obstruction of justice); § 287 (false claims against the
United States), we doubt that prosecutors have relied on § 1001 as
an important means of deterring and punishing litigation-related
misconduct.14 But we need not speculate, for we have direct
evidence on this point. The United States Attorneys' Manual states
quite plainly that "[p]rosecutions should not be brought under 18
U. S. C. § 1001 for false statements submitted in federal court
proceedings"; it instead directs prosecutors to proceed under the
perjury or obstruction of justice statutes. U. S. Dept. of
of a higher court," see
post, at 720. In concluding that
the cases adopting the judicial function exception are faithful to
the intent of the Legislature that adopted § 1001, we have
obviously exercised our own independent judgment. Thus, far from
"subvert[ing] the very principle on which a hierarchical court
system is built,"
post, at 719, our decision merely reflects
our assessment of the statutory construction issue this case
presents, while serving what the dissent acknowledges to be one of
the central purposes of
stare decisis: promoting "stability
and certainty in the law,"
post, at 720.
14 The perjury and false claims statutes also cover the
Legislative Branch, as does 18 U. S. C. § 1505 (obstruction of
justice). The existence of overlaps with other statutes does not
itself militate in favor of overruling
Bramblett; Congress
may, and often does, enact separate criminal statutes that may, in
practice, cover some of the same conduct. See
United States
v.
Batchelder, 442 U. S., at 123-124;
United States
v.
Gilliland, 312 U. S. 86, 95 (1941). The overlaps here
simply demonstrate that prosecutors cannot be said to have any
significant reliance interest in
Bramblett.
715
Justice, United States Attorneys' Manual' 9-69.267 (1992).
Clearer evidence of nonreliance can scarcely be imagined.15
Similarly unimpressive is the notion of congressional reliance
on
Bramblett. The longstanding judicial function exception
has, to a large extent, negated the actual application of § 1001
within the Judiciary. It is unlikely that Congress has relied on
what has, for many years, been an unfulfilled promise.
In sum, although the
stare decisis issue in this case is
difficult, we conclude that there are sound reasons to correct
Bramblett's erroneous construction of § 1001. Although we
could respect prior decisions by endorsing the judicial function
exception or by adhering to
Bramblett while repudiating that
exception, we believe coherence and stability in the law will best
be served in this case by taking a different course. Limiting the
coverage of § 1001 to the area plainly marked by its text will, as
a practical matter, preserve the interpretation of § 1001 that has
prevailed for over 30 years and will best serve the administration
of justice in the future.
VI
Bramblett is hereby overruled. We hold that a federal
court is neither a "department" nor an "agency" within the meaning
of § 1001. The Court of Appeals' decision is therefore reversed to
the extent that it upheld petitioner's convictions under §
1001.
It is so ordered.
15 The absence of significant reliance interests is confirmed by
an examination of statistical data regarding actual cases brought
under § 1001. The Government has secured convictions under § 1001
in 2,247 cases over the last five fiscal years, see
post, at
722, but the dissent can identify only five reported § 1001 cases
in that time period brought in connection with false statements
made to the Judiciary and Legislature.
Post, at 723, n. (At
least two of the five were unsuccessful, from the Government's
point of view.) This tiny handful of prosecutions does not, in our
view, evidence a weighty reliance interest on the part of
prosecutors in adhering to the interpretation of § 1001 set forth
in
Bramblett.
716
Opinion of SCALIA, J.
JUSTICE SCALIA, with whom JUSTICE KENNEDY joins, concurring in
part and concurring in the judgment.
I concur in the judgment of the Court, and join Parts I-III and
VI of JUSTICE STEVENS' opinion.
United States v.
Bramblett, 348
U. S. 503 (1955), should be overruled.
The doctrine of
stare decisis protects the legitimate
expectations of those who live under the law, and, as Alexander
Hamilton observed, is one of the means by which exercise of "an
arbitrary discretion in the courts" is restrained, The Federalist
No. 78, p. 471 (C. Rossiter ed. 1961). Who ignores it must give
reasons, and reasons that go beyond mere demonstration that the
overruled opinion was wrong (otherwise the doctrine would be no
doctrine at all).
The reason here, as far as I am concerned, is the demonstration,
over time, that
Bramblett has unacceptable consequences,
which can be judicially avoided (absent overruling) only by
limiting
Bramblett in a manner that is irrational or by
importing exceptions with no basis in law. Unlike JusTICE STEVENS,
I do not regard the Courts of Appeals' attempts to limit
Bramblett as an "'intervening development of the law,'"
ante, at 713 (quoting
Patterson v.
McLean Credit
Union, 491 U. S.
164, 173 (1989)), that puts us to a choice between two
conflicting lines of authority. Such "intervening developments" by
lower courts that we do not agree with are ordinarily disposed of
by reversal. See,
e. g., McNally v.
United
States, 483 U. S.
350 (1987). Instead, the significance I find in the fact that
so many Courts of Appeals have strained so mightily to discern an
exception that the statute does not contain, see
ante, at
699, n. 2 (collecting cases), is that it demonstrates how great a
potential for mischief federal judges have discovered in the
mistaken reading of 18 U. S. C. § 1001, a potential we did not
fully appreciate when
Bramblett was decided. To be sure,
since 18 U. S. C. § 1001's prohibition of concealment is violated
only when
717
there exists a duty to disclose, see,
e. g., United
States v.
Kingston, 971 F.2d
481, 489 (CAlO 1992);
United States v.
Richeson,
825 F.2d
17, 20 (CA4 1987);
United States v.
Irwin,
654 F.2d
671, 678-679 (CAlO 1981), cert. denied, 455 U. S. 1016 (1982),
it does not actually prohibit any legitimate trial tactic. There
remains, however, a serious concern that the
threat of
criminal prosecution under the capacious provisions of § 1001 will
deter vigorous representation of opposing interests in
adversariallitigation, particularly representation of criminal
defendants, whose adversaries control the machinery of § 1001
prosecution.
One could avoid the problem by accepting the Courts of Appeals'
invention of a "judicial function" exception, but there is simply
no basis in the text of the statute for that. Similarly
unprincipled would be rejecting
Bramblett's dictum that §
1001 applies to the courts, while adhering to
Bramblett's
holding that § 1001 applies to Congress. This would construct a
bizarre regime in which "department" means the Executive and
Legislative Branches, but not the Judicial, thereby contradicting
not only the statute's intent (as
Bramblett does), but, in
addition, all conceivable interpretations of the English language.
Neither of these solutions furthers the goal of avoiding "an
arbitrary discretion in the courts"; they seem to me much more
arbitrary than simply overruling a wrongly decided case.
The other goal of
stare decisis, preserving justifiable
expectations, is not much at risk here. Those whose reliance on
Bramblett induced them to tell the truth to Congress or the
courts, instead of lying, have no claim on our solicitude. Some
convictions obtained under
Bramblett may have to be
overturned, and in a few instances wrongdoers may go free who could
have been prosecuted and convicted under a different statute if
Bramblett had not been assumed to be the law. I count that a
small price to pay for the uprooting of this weed.
718
CHIEF JUSTICE REHNQUIST, with whom JUSTICE O'CONNOR and JUSTICE
SOUTER join, dissenting.
The bankruptcy trustee objected to the discharge of petitioner,
a voluntary bankrupt, believing that he had filed false
information. The trustee filed a complaint under 11 U. S. C. § 727,
alleging petitioner stored a well-drilling machine at his
residence; petitioner answered by denying the allegation "for the
reason that it is untrue." App. 12, , 10. The trustee also alleged
in a separate motion that petitioner had, despite requests, failed
to turn over all the books and records relating to the bankruptcy
estate. Petitioner filed a response denying the allegation, and
asserting that he had produced the requested documents at the
behest of a previous trustee. Petitioner was then indicted under 18
U. S. C. § 1001, and a jury found that each of these responses was
a lie.
Today, the majority jettisons a 40-year-old unanimous decision
of this Court,
United States v.
Bramblett, 348 U. S. 503 (1955),
under which petitioner's conviction plainly would have been upheld.
It does so despite an admission that the Court's reading of § 1001
in
Bramblett was "not completely implausible,"
ante,
at 706. In replacing
Bramblett's plausible, albeit arguably
flawed, interpretation of the statute with its own "sound" reading,
the Court disrespects the traditionally stringent adherence to
stare decisis in statutory decisions.
Patterson v.
McLean Credit Union, 491 U. S. 164, 172
(1989);
Illinois Brick Co. v.
Illinois, 431 U. S. 720, 736
(1977). The two reasons offered by the plurality in Part V of the
opinion and the justification offered by the concurring opinion
fall far short of the institutional hurdle erected by our past
practice against overruling a decision of this Court interpreting
an Act of Congress.
The first reason is styled as an "intervening development in the
law"; under it, decisions of Courts of Appeals that cannot be
reconciled with our earlier precedent are treated as a basis for
disavowing, not the aberrant Court of Appeals deci-
719
sions, but,
mirabile dictu our own decision! This novel
corollary to the principle of
stare decisis subverts the
very principle on which a hierarchical court system is built. The
second reason given is that there has been little or no reliance on
our
Bramblett decision; I believe that this ground is quite
debatable, if not actually erroneous.
Today's decision harkens to the important reason behind the
doctrine of
stare decisis, but does not heed it. That
doctrine is "a basic self-governing principle within the Judicial
Branch, which is entrusted with the sensitive and difficult task of
fashioning and preserving a jurisprudential system that is not
based upon 'an arbitrary discretion.'"
Patterson, supra, at
172, citing The Federalist No. 78, p. 490 (H. Lodge ed. 1888) (A.
Hamilton). Respect for precedent is strongest "in the area of
statutory construction, where Congress is free to change this
Court's interpretation of its legislation."
Illinois Brick Co.,
supra, at 736. Justice Brandeis' dissenting opinion in
Burnet v.
Coronado Oil &
Gas Co., 285 U. S. 393 (1932),
made the point this way:
"Stare decisis is usually the wise policy, because in
most matters it is more important that the applicable rule of law
be settled than that it be settled right. This is commonly true
even where the error is a matter of serious concern, provided
correction can be had by legislation." Id., at 406
(citations omitted).
We have recognized a very limited exception to this principle
for what had been called "intervening developments in the law." But
the cases exemplifying this principle,
e. g.,
Andrews v.
Louisville &
Nashville R. Co.,
406 U. S. 320
(1972); Rodriguez de Quijas v.
Shearson/American Express,
Inc., 490 U. S.
477 (1989), have invariably made clear that the "intervening
developments" were in the case law of this Court, not of the lower
federal courts. Indeed, in
Illinois Brick Co., we refused to
follow a line oflower court decisions
720
which had carved out an exception from one of our precedents.
431 U. S., at 743-744.
But today's decision departs radically from the previously
limited reliance on this exception. The principle of
stare
decisis is designed to promote stability and certainty in the
law. While most often invoked to justify a court's refusal to
reconsider its own decisions, it applies
a fortiori to
enjoin lower courts to follow the decision of a higher court. This
principle is so firmly established in our jurisprudence that no
lower court would deliberately refuse to follow the decision of a
higher court. But cases come in all shapes and varieties, and it is
not always clear whether a precedent applies to a situation in
which some of the facts are different from those in the decided
case. Here lower courts must necessarily make judgments as to how
far beyond its particular facts the higher court precedent
extends.
If there is appeal as a matter of right from the lower court to
the higher court, any decision by the lower court that is viewed as
mistaken by the higher court will in the normal course of events be
corrected in short order by reversal on appeal. But in the present
day federal court system, where review by this Court is almost
entirely discretionary, a different regime prevails. We receive
nearly 7,000 petitions for certiorari every Term, and can grant
only a tiny fraction of them. A high degree of selectivity is
thereby enjoined upon us in exercising our certiorari jurisdiction,
and our Rule 10 embodies the standards by which we decide to grant
review. One of the reasons contained in Rule 10.1(a) is the
existence of a conflict between one court of appeals and another.
The negative implication of this ground, borne out time and again
in our decisions to grant and deny certiorari, is that ordinarily a
court of appeals decision interpreting one of our precedents-even
one deemed to be arguably inconsistent with it-will not be reviewed
unless it conflicts with a decision of another court of appeals.
This fact is a necessary concomitant of the limited capacity in
this Court.
721
One of the consequences of this highly selective standard for
granting review is that this Court is deprived of a very important
means of assuring that the courts of appeals adhere to its
precedents. It is all the more important, therefore, that no actual
inducements to ignore these precedents be offered to the courts of
appeals. But today's decision is just such an inducement; it tells
courts of appeals that if they build up a body of case law contrary
to ours, their case law will serve as a basis for overruling our
precedent. It is difficult to imagine a more topsy-turvy doctrine
than this, or one more likely to unsettle established legal rules
that the doctrine of
stare decisis is designed to
protect.
The plurality attempts to bolster this aspect of its opinion by
blandly assuring us that "the cases endorsing the exception almost
certainly reflect the intent of Congress."
Ante, at 713.
Members of Congress will surely be surprised by this statement.
Congress has not amended or considered amending § 1001 in the 40
years since
Bramblett was decided. We have often noted the
danger in relying on congressional inaction in construing a
statute,
Brecht v.
Abrahamson, 507 U. S. 619, 632
(1993), citing
Schneidewind v.
ANR Pipeline
Co., 485 U. S.
293, 306 (1988), but even there the "inaction" referred to is a
failure of Congress to enact a particular proposal. Here there was
not even any proposal before Congress.
If we delve more deeply into the hypothetical thought processes
of a very diligent Member of Congress who made a specialty of
following cases construing § 1001, the Member would undoubtedly
know of our decision in
Bramblett 40 years ago. If he also
followed decisions of the courts of appeals, he would know that in
various forms-whether a "judicial function" exception or an
"exculpatory no" ruleseveral Courts of Appeals have held § 1001
inapplicable to some statements made in the course of judicial
proceedings. If, after due deliberation, he concluded that this
exception was inconsistent with our opinion in
Bramblett, he
would
722
surely also realize that in due course, on the assumption that
the Judiciary was functioning as it should, the Supreme Court would
itself decide that the exception was inconsistent with
Bramblett, and disavow the exception. But of one thing he
would have been in no doubt: that under
Bramblett one who
lied to an officer of Congress was punishable under § 1001, since
that was the precise holding of
Bramblett. But it is that
very justifiable expectation of Congress that is set at naught by
today's decision, under which the legislative process is no longer
protected by § 100l.
The plurality offers a second reason in defense of its decision
to overrule
Bramblett. It points to a lack of significant
reliance interests in
Bramblett. It dispels any reliance
prosecutors might have in enforcement of § 1001 by arguing that the
Government has expressed a preference for proceeding under
alternative statutes that punish comparable behavior. U. S. Dept.
of Justice, United States Attorneys' Manual , 9-69.267 (1992). The
Government offered a convincing explanation for this preference: it
instructs prosecutors to proceed under alternative statutes due to
the uncertain mine field posed by the judicial function exception
adopted in some, but not all, Circuits. Brief for Petitioner 20,
and n. 9. I do not think the Government disclaims reliance by
adopting a defensive litigating strategy in response to the choice
oflower courts to disregard precedent favorable to the Government.
And in this particular case, the perjury alternative in 18 U. S. C.
§ 1621 was altogether unavailable to punish petitioner's falsehoods
because his statements were not verified, and the obstruction of
justice alternative in 18 U. S. C. § 1503 was of dubious
utility.
Statistics compiled by the Administrative Office of the United
States Courts indicate that the Government has secured convictions
under § 1001 in 2,247 cases over the last five fiscal years.
Because the Administrative Office does not break down its
statistics by type of agency to which the defendant made a false
statement, further exploration of the
723
subject must be limited to published decisions. It is unclear
what proportion of these cases involved false statements made to
the Legislative or Judicial Branch, but it appears that the
Government has attempted to proceed under § 1001 for false
statements made to the Judiciary and Legislature with mixed
success. * To the extent it has secured valid convictions in some
courts in reliance on
Bramblett, the Government should not
now be forced to endure requests for habeas relief that will
inevitably be filed in the wake of the Court's opinion.
The additional comments set forth in the concurring opinion
equally disregard the respect due a unanimous decision rendered by
six Justices who took the same oath of office sworn by the six
Justices who overrule
Bramblett today. The doctrine of
stare decisis presumes to reinforce the notion that justice
is dispensed according to law and not to serve
*For false statements made to Bankruptcy Courts, see
United
States v.
Taylor, 907 F.2d
801 (CA8 1990) (upheld dismissal under exculpatory no
doctrine);
United States v.
Rowland, 789 F.2d
1169 (CA5) (affirmed conviction), cert. denied, 479 U.
S. 964 (1986). For false statements made to Article III courts, see
United States v.
Masterpol, 940
F.2d 760 (CA2 1991) (reversed conviction);
United
States v.
Holmes, 840 F.2d
246 (CA4) (affirmed conviction), cert. denied, 488 U. S.
831 (1988);
United States v.
Mayer, 775 F.2d
1387 (CA9 1985) (reversed conviction);
United
States v.
Powell, 708 F.2d
455 (CA9 1983) (affirmed conviction);
United
States v.
Abrahams, 604 F.2d
386 (CA5 1979) (reversed conviction);
United
States v.
D'Amato, 507 F.2d
26 (CA2 1974) (reversed conviction);
United
States v.
Erhardt, 381 F.2d
173 (CA6 1967) (reversed conviction);
United
States v.
Stephens, 315 F. Supp. 1008 (WD Okla. 1970)
(denied motion to dismiss; ultimate disposition unclear). For false
statements made to the Legislative Branch, see
United States
v.
Poindexter, 951 F.2d
369 (CADC 1991) (remand to allow independent counsel to pursue
§ 1001 count), cert. denied, 506 U. S. 1021 (1992);
United
States v.
Hansen, 772 F.2d
940 (CADC 1985) (affirmed conviction), cert. denied, 475 U. S.
1045 (1986);
United States v.
Diggs, 613 F.2d
988 (CADC 1979) (affirmed conviction), cert. denied, 446 U. S.
982 (1980);
United States v.
Levine, 860 F. Supp. 880
(DC 1994) (denied motion to dismiss);
United States v.
Clarridge, 811 F. Supp. 697 (DC 1992) (denied motion to
dismiss);
United States v.
North, 708 F. Supp. 380
(DC 1988) (denied motion to dismiss).
724
"the proclivities of individuals."
Vasquez v.
Hillery, 474
U. S. 254, 265 (1986). The opinion of one Justice that
another's view of a statute was wrong, even really wrong, does not
overcome the institutional advantages conferred by adherence to
stare decisis in cases where the wrong is fully redressable
by a coordinate branch of government.
This, then, is clearly a case where it is better that the matter
be decided than that it be decided right.
Bramblett governs
this case, and if the rule of that case is to be overturned it
should be at the hands of Congress, and not of this Court.
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