Opinion · Supreme Court of the United States
SAMUELS Et Al. v. MACKELL, DISTRICT ATTORNEY OF QUEENS COUNTY, Et Al.
401 U.S. 66
- Type
- Opinion
- Court
- Supreme Court of the United States
- Jurisdiction
- Federal
- Date
- 1971-02-23
- Topic
- general
How later courts describe this case
- holding that prohibition against enjoining pending state criminal proceedings applies to granting of declaratory relief
- holding that “where an injunction would be impermissible under these principles, declaratory relief should ordinarily be denied as well”
- holding that federal courts may not provide a plaintiff with declaratory relief when he or she is subject to pending state court criminal prosecution
- holding that federal courts may not provide a plaintiff with declaratory relief when he is subject to a pending state court criminal prosecution
- holding that principles of Younger applied to declaratory relief, as well as to injunctive relief
- holding that abstention is appropriate where a plaintiff seeks declaratory relief in federal court against a pending state prosecution
- recognizing that a declaratory judgment issued while state proceedings are pending has the same practical effect as a formal injunction
- concluding that the practical effect of declaratory and injunctive relief is virtually identical
Citator
UpLaw has not yet analyzed SAMUELS Et Al. v. MACKELL, DISTRICT ATTORNEY OF QUEENS COUNTY, Et Al.. The absence of a flag is not a finding that it is good law.
- Authority status
- pending
- Cited by
- 1130 opinions
Headnotes
- Civil Procedure — Injunctions A federal court should not enjoin a state criminal prosecution begun prior to the institution of the federal suit except in very unusual situations, where necessary to prevent immediate irreparable injury; absent a showing of immediate irreparable injury, a federal district court cannot issue an injunction to stay pending state criminal proceedings.
- Civil Procedure — Declaratory Judgment A suit for declaratory judgment is essentially an equitable cause of action, analogous to the equity jurisdiction in suits quia timet or for a decree quieting title, and the district court is as free as in any other suit in equity to grant or withhold the relief prayed upon equitable grounds.
- Civil Procedure — Declaratory Judgment Those considerations that lead federal courts of equity to refuse to enjoin the collection of state taxes, save in exceptional cases, require a like restraint in the use of the declaratory judgment procedure. 319 U.S. at 299 (quoting Great Lakes Co. v. Huffman)
- Civil Procedure — Declaratory Judgment Where a state criminal prosecution was begun prior to the federal suit, the same equitable principles relevant to the propriety of an injunction must be taken into consideration by federal district courts in determining whether to issue a declaratory judgment, and where an injunction would be impermissible under those principles, declaratory relief should ordinarily be denied as well.
- Civil Procedure — Declaratory Judgment The practical effect of a declaratory judgment and an injunction will ordinarily be virtually identical, because a declaratory judgment issued while state proceedings are pending might serve as the basis for a subsequent injunction against those proceedings, or, even absent an injunction, may have virtually the same practical impact as a formal injunction; therefore the basic policy against federal interference with pending state criminal prosecutions would be frustrated as much by a declaratory judgment as by an injunction.
- Civil Procedure — Declaratory Judgment A declaratory judgment may be appropriate in unusual circumstances where an injunction might be withheld because, despite a plaintiff's strong claim for relief under the established standards, the injunctive remedy seemed particularly intrusive or offensive, and such relief might not be contrary to the basic equitable doctrines governing the availability of relief.
- Civil Procedure — Scope of Review Where a district court dismissed a complaint on an adjudication that challenged state statutes are constitutional, that judgment is in effect a declaratory judgment; the appellate court may nevertheless affirm the dismissal solely on the ground that, in the appropriate exercise of the court's discretion, relief by way of declaratory judgment should have been denied without consideration of the merits.
delivered the opinion of the Court.
The appellants in these two cases were all indicted in a New York state court on charges of criminal anarchy, in violation of §§ 160, 161, 163, and 580 (1) of the New York Penal Law.1 They later filed these actions in federal district court,2 alleging (1) that the anarchy statute was void for vagueness in violation of due process, and an abridgment of free speech, press, and assembly, in violation of the First and Fourteenth Amendments; (2) that the anarchy statute had been pre-empted by federal law; and (3) that the New York laws under which the grand jury had been drawn violated the Due Process and Equal Protection Clauses of the Fourteenth Amendment because they disqualified from jury service any member of the community who did not own real or personal property of the value of at least $250, and be
In No. 2, Younger v. Harris, ante, p. 37, we today decided on facts very similar to the facts in these cases that a United States District Court could not issue an injunction to stay proceedings pending in a state criminal court at the time the federal suit was begun. This was because it did not appear from the record that the plaintiffs would suffer immediate irreparable injury in accord with the rule set out in Douglas v. City of Jeannette, 319 U. S. 157 (1943), and many other cases. Since in the present case there is likewise no sufficient showing in the record that the plaintiffs have suffered or would suffer irreparable injury, our decision in the Younger case is dispositive of the prayers for injunctions
In our opinion in the Younger case, we set out in detail the historical and practical basis for the settled doctrine of equity that a federal court should not enjoin a state criminal prosecution begun prior to the institution of the federal suit except in very unusual situations, where necessary to prevent immediate irreparable injury. The question presented here is whether under ordinary circumstances the same considerations that require the withholding of injunctive relief will make declaratory relief equally inappropriate. The question is not, however, a novel one. It was presented and fully considered by this Court in Great Lakes Co. v. Huffman, 319 U. S. 293 (1943). We find the reasoning of this Court in the Great Lakes case fully persuasive and think that its holding is controlling here.
In the Great Lakes case several employers had brought suit against a Louisiana state official, seeking a declaratory judgment that the State’s unemployment compensation law, which required the employers to make contributions to a state compensation fund, was unconstitutional. The lower courts had dismissed the complaint on the ground that the challenged law was constitutional. This Court affirmed the dismissal, “but solely on the ground that, in the appropriate exercise of the court’s discretion, relief by way of a declaratory judgment should have been denied without consideration
“The earlier refusal of federal courts of equity to interfere with the collection of state taxes unless the threatened injury to the taxpayer is one for which the state courts afford no adequate remedy, and the confirmation of that practice by Congress,*71 have an important bearing upon the appropriate use of the declaratory judgment procedure by the federal courts as a means of adjudicating the validity of state taxes.
“It is true that the Act of Congress speaks only of suits 'to enjoin, suspend, or restrain the assessment, levy, or collection of any tax’ imposed by state law, and that the declaratory judgment procedure may be, and in this case was, used only to procure a determination of the rights of the parties, without an injunction or other coercive relief. It is also true that that procedure may in every practical sense operate to suspend collection of the state taxes until the litigation is ended. But we find it unnecessary to inquire whether the words of the statute may be so construed as to prohibit a declaration by federal courts concerning the invalidity of a state tax. For we are of the opinion that those considerations which have led federal courts of equity to refuse to enjoin the collection of state taxes, save in exceptional cases, require a like restraint in the use of the declaratory judgment procedure.” 319 U. S., at 299.
The continuing validity of the Court’s holding in the Great Lakes case has been repeatedly recognized and reaffirmed by this Court. See, e. g., Macauley v. Waterman S. S. Corp., 327 U. S. 540, 545 n. 4 (1946); Ott v. Mississippi Barge Line, 336 U. S. 169, 175 (1949); Public Serv. Comm’n v. Wycoff Co., 344 U. S. 237, 253 (1952) (Douglas, J., dissenting); Allegheny County v. Mashuda Co., 360 U. S. 185, 189 (1959); Enochs v. Williams Packing Co., 370 U. S. 1, 8 (1962). Although we have found no case in this Court dealing with the application of this doctrine to cases in which the relief sought affects state criminal prosecutions rather than
“Is the declaration contemplated here to be res judicata, so that the [state court] cannot hear evidence and decide any matter for itself? If so, the federal court has virtually lifted the case out of the State [court] before it could be heard. If not, the federal judgment serves no useful purpose as a final determination of rights.”
We do not mean to suggest that a declaratory judgment should never be issued in cases of this type if it has been concluded that injunctive relief would be improper. There may be unusual circumstances in which an injunction might be withheld because, despite a plaintiff’s strong claim for relief under the established standards, the injunctive remedy seemed particularly intrusive or offensive; in such a situation, a declaratory judgment might be appropriate and might not be contrary to the basic equitable doctrines governing the availability of relief. Ordinarily, however, the practical effect of the two forms of relief will be virtually identical, and the basic policy against federal interference with pending state criminal prosecutions will be frustrated as much by a declaratory judgment as it would be by an injunction.
For the reasons we have stated, we hold that the court below erred in proceeding to a consideration of the merits of the New York criminal anarchy law. Here, as in the Great Lakes case, the judgment dismissing the complaint was based on an adjudication that the statutes challenged here are constitutional and is thus in effect a declaratory judgment. We affirm the judgment dismissing the complaint, but solely on the ground that, in the appropriate exercise of the court’s discretion, relief by way of declaratory judgment should have been denied without consideration of the merits. We, of course, ex
Affirmed.
[For concurring opinion of Mr. Justice Stewart, see ante, p. 54.]
These provisions were repealed effective September 1, 1967, and a new criminal anarchy statute, in somewhat different form, took effect on the same date.
The complaint in No. 7 was filed in the Southern District of New York. The complaint in No. 9 was originally filed in the Eastern District, but was later transferred to the Southern District by consent.
The court also said that even if its view on the merits was wrong, relief should be withheld because the statutes being challenged were no longer in effect. With respect to the plaintiffs’ challenge to the selection of the grand jury, the District Court held, in reliance on Douglas v. City of Jeannette, 319 U. S. 157 (1943), that this claim could be effectively presented to the New York courts and therefore did not call for federal intervention at this stage.