United States v. Shapleigh

54 F. 126, 4 C.C.A. 237, 1893 U.S. App. LEXIS 1425
CourtCourt of Appeals for the Eighth Circuit
DecidedJanuary 27, 1893
DocketNo. 121
StatusPublished
Cited by38 cases

This text of 54 F. 126 (United States v. Shapleigh) is published on Counsel Stack Legal Research, covering Court of Appeals for the Eighth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Shapleigh, 54 F. 126, 4 C.C.A. 237, 1893 U.S. App. LEXIS 1425 (8th Cir. 1893).

Opinion

SANBORN, Circuit Judge,

(after stating tbe facts.) Where a statute authorizes the state to recover, in a civil suit, penalties prescribed for the commission of a felony, must the government prove its case beyond a reasonable doubt, in order to recover the penalties in such a suit? This is the most important question presented by this record. The burden of proof in judicial proceedings is on him who alleges the existence of a fact denied. Where the fact denied is the commission of a crime, the additional burden of overcoming [129]*129the presumption of innocence, which the law always interposes as a shield between accuser and accused, is necessarily imposed upon 'him who alleges it In controversies’, of a civil nature the purpose is generally to obtain the determination of some right of person or property, or to recover compensation for some injury. The parties are ordinarily private citizens or corporations, and the character, life, or liberty of neither party is in jeopardy. In controversies of a criminal nature the purpose is to punish the accused for some violation of his duty to the public. The prosecutor is generally the government, and the defendant is a private citizen, whose character, and either Ms life, liberty, or properly, and sometimes all of them, are placed ⅛ jeopardy. To this wide difference in the purpose, the character, and situation of the parties, and in the natural effects of ■findings and judgments against the defendants in controversies, civil and criminal, is it duo that the rule became established that, to warrant a verdict or finding against the defendant in. the latter, ■evidence sufficient to satisfy the jury or court beyond a reasonable doubt is required; while in the former, evidence preponderating in Ms favor, but less convincing, is sufficient to warrant a recovery by the plaintiff. The presumption that every man is innocent until the contrary appears, and a consideration of the irreparable injury to the defendant that must result from an unjust conviction, tended to the establishment of this rule; but doubtless the controlling con-sidera, iicn was the inequality of the parties in power, situation, and advantage in criminal cases where the government, with its unlimited resources, trained detectives, willing officers, and counsel learned in the law stood arrayed against a single defendant, unfamiliar willi the practice ,of the courts, unacquainted with their officers or attorneys, often without means, and frequently too terrified to make a defense if he had one, while hia character and his life, liberty, or property rested upon the result of the trial. Proof sufficient to satisfy beyond a reasonable doubt, then, is required in a criminal cuso, because its purpose is punishment, not compensation for injury; its prosecutor is the state; the result to the defendant of its successful prosecution is irreparable loss of character, and the loss of either life, liberty, or property; and because the presumption is that every man is innocent until the contrary appears; while less convincing evidence will authorize a recovery in a civil suit, because its purpose ⅛ generally compensation for injury or the determination of rights, not the punishment of the offender; the litigants are generally private parties, more nearly equal in resources, advantages, and situation, and neither the character, life, nor liberty of either is ordinarily at stake.

blow, if the government enacts a statute which provides that a case in its nature criminal, whose purpose is punishment, whose prosecutor is the state, and whose successful prosecution disgraces the defendant, and forfeits his property to the state as a punishment for crime, may be brought in the form of a civil suit, does that change the rule of evidence that ought to be applied to it? If a state provides that all proceedings for the punishment of crime shall be conducted in the form of civil suits, does that change their [130]*130nature, or the amount of evidence that ought to be required to convict the defendants of the crimes? Is a wolf in sheep’s clothing a wolf or a sheep? Take the case at bar. The raimes with which the defendant was charged were felonies. The government might have proceeded by indictment to punish him for them under section 5438. If it had done so, its case must have been proved beyond a reasonable doubt. It elected to proceed under section 3490, by a civil suit, to recover over $300,000 in penalties, to punish the defendant for the same crime. The penalties sought to be inflicted by the latter proceeding are far heavier than any that the court would probably have inflicted under the former. In each proceeding the same government, with its unlimited resources, proceeds against the same citizen to punish him for the same crimes, and in each the single question for the jury to determine is, was this defendant guilty of these felonies? Every consideration which induced the courts to establish the rule that, the prosecutor must prove the crime charged beyond a reasonable doubt — the inequality of the parties in power, situation, and advantage; the purpose of the proceeding, which is the punishment of the defendant, not compensation for injury; the irreparable disgrace and injury that must result to the defendant from an unjust recovery, and the presumption of his innocence — demands.that this rule be applied to the latter to the same extent as it would be to the former proceeding. It is not the form, but the nature, of this proceeding that must determine the rule to be applied to it. To protect the substantial rights of parties; to wisely administer the law, courts must frequently look beyond the outward form to the real substance and nature of things. Thus in Wisconsin v. Pelican Ins. Co., 127 U. S. 265, 8 Sup. Ct. Rep. 1370, the state of Wisconsin brought in the supreme court a civil suit to collect a judgment rendered in one of its own courts against the Pelican Insurance Company, a corporation of Louisiana, for penalties imposed by a statute of Wisconsin for doing an insurance business therein without having deposited with the proper officer of the state a full statement of its property and business during the previous years. This was a suit to recover a debt. It was founded on a judgment rendered in a proceeding in the form of a civil suit. The judiciary act provided that “the supreme court shall have exclusive jurisdiction of controversies of a civil nature where a state is a party, except between a state and its citizens, and except, also, between a state and citizens of other states, or aliens, in which latter case it shall have original, and not exclusive, jurisdiction.” Section G87. But that court looked through the form of the civil suit before it, and through the form of the suit in which the judgment was rendered, to the real nature of the original controversy, and refused to take jurisdiction, because that was a suit to recover a penalty, and was not of a civil nature. ¡Mr. Justice Gray, in delivering the opinion of the court, said:

“The cause of action was not any private injury, but solely the offense committed against the state by violating her law. The prosecution was in the name of the state, and the whole penalty, when recovered, would accrue [131]*131to tho state, and be paid, one half into her treasury and the other half to feet' insurance commissioner, who pays all expenses of prosecuting for and collecting such fon'eiiures. laws \Vis. 18⅛”>, c. S)5. Tho real nature of the case is not affected by tho forms provided by the law of the state for tho punishment of the offense.

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Bluebook (online)
54 F. 126, 4 C.C.A. 237, 1893 U.S. App. LEXIS 1425, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-shapleigh-ca8-1893.