Case brief · Federal Courts

Herndon v. Georgia Case Brief

Supreme Court of the United States • 1935 • Docket #435645
Holding checked against the opinion
295 U.S. 441 55 S. Ct. 794 79 L. Ed. 1530 1935 U.S. LEXIS 329 Federal Courts Civil Procedure Constitutional Law
AI-generated from the opinion text. Read the opinion before you rely on it.

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Case Brief Summary & Legal Analysis

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tl;dr: Herndon challenged his Georgia conviction for attempting to incite insurrection, arguing that the statute violated due process. The Court dismissed his appeal for lack of jurisdiction because he had not timely presented his federal challenge and should have anticipated the state court’s statutory interpretation.

Legal Significance: The decision applies the requirement that federal questions be timely presented in state proceedings. A constitutional challenge first raised on rehearing may be timely when an appellate ruling was unforeseeable, but an existing state precedent made the interpretation here sufficiently foreseeable to require an earlier challenge.

Case Facts & Court Holding

Key Facts & Case Background

A Georgia jury convicted Herndon of attempting to incite insurrection under § 56 of the Penal Code, and he received a prison sentence. The trial court instructed that conviction required evidence that immediate serious violence against Georgia was expected or advocated. Herndon’s preliminary constitutional attack on the indictment was overruled, and he did not preserve that ruling as state procedure required. The state supreme court affirmed, construing the statute to require no insurrection instantly or at a specified time. On rehearing, it explained that the intended insurrection must occur within a reasonable time during which the defendant’s persuasion could reasonably be expected to operate directly. Herndon challenged that construction under the Fourteenth Amendment. Before the trial court denied his new-trial motion, however, the state supreme court had decided Carr v. State, which the majority understood to supply substantially the same statutory construction.

Court Holding & Legal Precedent

Issue: Was Herndon’s federal constitutional challenge timely raised on rehearing because the state supreme court’s statutory construction could not reasonably have been anticipated?

The Court dismissed the appeal for want of jurisdiction because no federal question was seasonably raised or passed upon below. Carr v. State made the challenged statutory construction foreseeable, so Herndon could not rely on rehearing as his first opportunity to assert the constitutional claim. The Court did not decide the statute’s constitutionality.

IRAC Legal Analysis

Legal Issue

Was Herndon’s federal constitutional challenge timely raised on rehearing because the state supreme court’s statutory construction could not reasonably have been anticipated?

Conclusion

The decision establishes a procedural limit on federal review when existing state precedent makes a challenged interpretation foreseeable. It leaves the constitutional merits of Herndon’s conviction and the statute unresolved.

Legal Rule

A federal question first raised after judgment on rehearing ordinarily comes too late unless the state court actually entertains and decides it. Texas & Pacific Ry. Co. v. Southern Pacific Co., 137 U. S. 48, 54. An exception applies when an unanticipated ruling creates the federal question and rehearing supplies the first opportunity to raise it. Saunders v. Shaw, 244 U. S. 317, 320; Missouri v. Gehner, 281 U. S. 313, 320. A state court’s refusal to review an issue not preserved under settled state procedure is conclusive here. John v. Paullin, 231 U. S. 583, 585.

Legal Analysis

The preliminary constitutional objection neither specified the federal claim adequately nor preserved the adverse ruling through the procedures required by state practice. The state supreme court’s refusal to review that ruling therefore foreclosed reliance on the preliminary objection.

The majority next applied the general rule that a federal question raised for the first time on rehearing is untimely unless the state court considers and decides it. The state supreme court refused to consider Herndon’s federal question. The remaining possibility was the exception for an unforeseeable appellate ruling that first creates an occasion for a constitutional challenge.

The difference between the trial instruction requiring immediate violence and the appellate construction might otherwise have supported that exception. But Carr v. State, 176 Ga. 747; 169 S. E. 201, preceded denial of Herndon’s new-trial motion and substantially anticipated the challenged interpretation. Carr explained that the state could suppress threatened revolutionary danger in its incipiency without awaiting imminent destruction. Its quoted language originated in People v. Lloyd, 304 Ill. 23, 35, and had been quoted with approval in Gitlow v. New York, 268 U. S. 652, 669.

Although Carr did not use the phrase “at any time,” the majority found its substance consistent with the state court’s clarification that persuasion must reasonably be expected to cause insurrection within a reasonable time. Herndon was therefore bound to anticipate a similar ruling and present his federal objection during the original appellate hearing.

Separate opinions

Cardozo, dissenting: Joined by Brandeis and Stone, Cardozo maintained that Herndon timely raised his constitutional challenge on rehearing because the appellate court unexpectedly replaced the trial court’s immediate-violence requirement. He read the Carr decisions as addressing the sufficiency of indictments without settling the necessary connection between advocacy and insurrection. Herndon therefore had no obligation to anticipate an unfavorable reinterpretation while benefiting from the trial instruction. Cardozo would have reached the merits but expressed no conclusion on them.

The Opinions

Summary

  • The Supreme Court dismissed this appeal for lack of jurisdiction because the appellant failed to “seasonably raise” his federal constitutional claim in state court.
  • A federal question raised for the first time in a petition for rehearing is too late, unless the state court’s statutory construction was “unanticipated.”
  • Here, the construction was foreseeable due to a prior state court precedent, so the procedural bar to federal review was valid.

Full text

Complete unedited opinion text as published by the court

Mr. Justice Sutherland

delivered the opinion of the Court.

Appellant was sentenced to a term of imprisonment upon conviction by a jury in a Georgia court of first instance of an attempt to incite insurrection by endeavoring to induce others to join in combined resistance to the authority of the state to be accomplished by acts of violence, in violation of § 56 of the Penal Code of Georgia.1 The supreme court of the state affirmed the judgment. 178 Ga. 832; 174 S. E. 597, rehearing denied, 179 Ga. 597; 176 S. E. 620. On this appeal, the statute is assailed as contravening the due process clause of the Fourteenth Amendment in certain designated particulars. We find it unnecessary to review the points made, since this court is without jurisdiction for the reason that no federal question was seasonably raised in the court below or passed upon by that court.

It is true that there was a preliminary attack upon the indictment in the trial court on the ground, among others, that the statute was in violation “ of the Constitution of \*443the United States," and that this contention was overruled. But, in addition to the insufficiency of the specification,2 the adverse action of the trial court was not preserved by exceptions pendente lite or assigned as error in due time in the bill of exceptions, as the settled rules of the state practice require. In that situation, the state supreme court declined to review any of the rulings of the trial court in respect of that and other preliminary issues; and this determination of the state court is conclusive here. John v. Paullin, 231 U. S. 583, 585; Atlantic Coast Line R. Co. v. Mims, 242 U. S. 532, 535; Nevada-California-Oregon Ry. v. Burrus, 244 U. S. 103, 105; Brooks v. Missouri, 124 U. S. 394, 400; Central Union Telephone Co. v. Edwardsville, 269 U. S. 190, 194-195; Erie R. Co. v. Purdy, 185 U. S. 148, 154; Mutual Life Ins. Co. v. McGrew, 188 U. S. 291, 308.

The federal question was never properly presented to the state supreme court unless upon motion for rehearing; and that court then refused to consider it. The long-established general rule is that the attempt to raise a federal question after judgment, upon a petition for rehearing, comes too late, unless the court actually entertains the question and decides it. Texas & Pacific Ry. Co. v. Southern Pacific Co., 137 U. S. 48, 54; Loeber v. Schroeder, 149 U. S. 580, 585; Godchaux Co. v. Estopinal, 251 U. S. 179,181; Rooker v. Fidelity Trust Co., 261 U. S. 114, 117; Tidal Oil Co. v. Flanagan, 263 U. S. 444, 454-455, and cases cited.

Petitioner, however, contends that the present case falls within an exception to the rule — namely, that the question respecting the validity of the statute as applied by the lower court first .arose from its unanticipated act \*444in. giving to the statute a new construction which threatened rights under the Constitution. There is no doubt that the federal claim was timely if the ruling of the state court could not have been anticipated and a petition for rehearing presented the first opportunity for raising it. Saunders v. Shaw, 244 U. S. 317, 320; Ohio v. Akron Park District, 281 U. S. 74, 79; Missouri v. Gehner, 281 U. S. 313, 320; Brinkerhoff-Faris Co. v. Hill, 281 U. S. 673, 677-678; American Surety Co. v. Baldwin, 287 U. S. 156, 164; Great Northern Ry. v. Sunburst Oil Co., 287 U. S. 358, 367. The whole point, therefore, is whether the ruling here assailed should have been anticipated.

The trial court instructed the jury that the evidence would not be sufficient to convict the defendant if it did not indicate that his advocacy would be acted upon immediately; and that — “ In order to convict the defendant, ... it must appear clearly by the evidence that immediate serious violence against the State of Georgia was to be expected or was advocated.” Petitioner urges that the question presented to the state supreme court was whether the evidence made out a violation of the statute as thus construed by the trial court, while the supreme court construed the statute (178 Ga., p. 855) as not requiring that an insurrection should follow instantly or at any given time, but that “ it would be sufficient that he [the defendant] intended it to happen at any time, as a result of his influence, by those whom he sought to incite,” and upon that construction determined the sufficiency of the evidence against the defendant. If that were all, the petitioner’s contention that the federal question was raised at the earliest opportunity well might be sustained; but it is not all.

The verdict of the jury was returned on January 18, 1933, and judgment immediately followed. On July 5, 1933, the trial court overruled a motion for new trial. The original opinion was handed down and the judgment of \*445the state supreme court entered May 24, 1934, the case having been in that court since the preceding July.

On March 18, 1933, several months prior to the action of the trial court on the motion for new trial, the state supreme court had decided Carr v. State, 176 Ga. 747; 169 S. E. 201. In that case § 66 of the Penal Code, under which it arose, was challenged as contravening the Fourteenth Amendment. The court in substance construed the statute as it did in the present case. In the course of the opinion it said (p. 760) :

“ It [the state] can not reasonably be required to defer the adoption of measures for its own peace and safety until the revolutionary utterances lead to actual disturbances of the public peace or imminent and immediate danger of its own destruction; but it may, in the exercise of its judgment, suppress the threatened danger in its incipiency. . . . ‘ Manifestly, the legislature has authority to forbid the advocacy of a doctrine designed and intended to overthrow the government, without waiting until there is a present and imminent danger of the success of the plan advocated. If the State were compelled to wait until the apprehended danger became certain, then its right to protect itself would come into being simultaneously with the overthrow of the government, when there would be neither prosecuting officers nor courts for the enforcement of the law.’ ”

The language contained in the subquotation is taken from People v. Lloyd, 304 Ill. 23, 35; 136 N. E. 505, and is quoted with approval by this court in Gitlow v. New York, 268 U. S. 652, 669.

In the present case, following the language quoted at an earlier point in this opinion to the effect that it was sufficient if the defendant intended an insurrection to follow at any time, etc., the court below, in its original opinion, (178 Ga. 855) added — “ It was the intention of this law to arrest at its incipiency any effort to overthrow the state \*446government, where it takes the form of an actual attempt to incite others to insurrection.” The phrase “ at any time ” is not found in the foregoing excerpt from the Carr case, but it is there in effect, when the phrase is given the meaning disclosed by the context, as that meaning is pointed out by the court below in its opinion denying the motion for a rehearing (179 Ga. 600), when it said that the phrase was necessarily intended to mean within a reasonable time — “ that is, within such time as one’s persuasion or other adopted means might reasonably be expected to be directly operative in causing an insurrection.”

Appellant, of course, cannot plead ignorance of the ruling in the Carr case, and was therefore bound to anticipate the probability of a similar ruling in his own case, and preserve his right to a review here by appropriate action upon the original hearing in the court below. It follows that his contention that he raised the federal question at the first opportunity is without substance, and the appeal must be dismissed for want of jurisdiction.

Dismissed.

“ § 56. Any attempt, by persuasion or otherwise, to induce others to join in any combined resistance to the lawful authority of the State shall constitute an attempt to incite insurrection.”

“ Insurrection ” is defined by the preceding section. “ § 55. Insurrection shall consist in any combined resistance to the lawful authority of the State, with intent to the denial thereof, when the same is manifested, or intended to be manifested, by acts of violence,”

Maxwell v. Newbold, 18 How. 511, 516; Messenger v. Mason, 10 Wall. 507, 509; Capital City Dairy Co. v. Ohio, 183 U. S. 238, 248; Harding v. Illinois, 196 U, S. 78, 85, 86-88.