Court Opinion

ID: 9442596
Source: CourtListenerOpinion
Date Created: 2023-08-03 18:52:38.640136+00
Date Added: 2024-06-11T17:29:08.916892
License: Public Domain

KALODNER, Circuit Judge
(dissenting).
I cannot agree that the indictment herein is fatally defective.
Rule 12(b) (2) of the Federal Rules of Criminal Procedure specifically provides that “Defenses and objections based on defects in the * * * indictment * * * other than that it fails to show jurisdiction in the court or to charge an offense may be raised only by motion before trial.” Duplicity is, I should think, a defect which comes within those necessary to be asserted prior to trial, and the failure to raise it seasonably results in preclusion from later advancement. Cf. Connors v. United States, 1895, 158 U.S. 408, 410-411, 15 S.Ct. 951, 39 L.Ed. 1033; Beauchamp v. United States, 6 Cir., 1946, 154 F.2d 413, 415, certiorari denied 329 U.S. 723, 67 S.Ct. 66, 91 L.Ed. 626. Moreover, it is not the defendant, but the Court of its own motion, who complains of duplicity; indeed, he has expressly disavowed1 such a claim with respect to this indictment.
Llowever closely duplicity is associated with the further asserted defect, that the indictment lacks clarity, it would seem that in this instance both difficulties arise primarily from the assumed contradictory statements of the learned trial judge concerning the guilt of the defendant. Rule 23(c) of the Federal Rules of Criminal *416Procedure provides that in' cases, such as this, tried without a jury, “* * .* the court shall make a general finding- and shall in addition on request find the facts specially.” The trial judge here rendered what amounts to an oral opinion in which he stated his conclusions on the record. I do not suppose it reversible error that he made specific findings,. albeit without request. The use of the terms “guilty” and “not guilty” as used..by the trial judge, should not lead to confusion. The finding of fact that the defendant did not participate in the preparation of Form 42A (and consequently it was not established that he was not a regularly employed employee), is not inconsistent with or repugnant to the additional finding of fact that the defendant did no work at all between October 6, 1944, and January 25, 1945. It can only be said of the findings that they attempted to cover the evidence in the case: The use of the term “not guilty” signifies no more than a factual finding in the defendant’s favor; it certainly' does not relate to the validity of the indictment.
Further, the charge of the indictment^ while awkward,- is nevertheless legally adequate. It is historically clear that the indictment serves three purposes, as a notice to the defendant, as a pleading in litigation, and as the basis for the determination of former acquittal or conviction. If it is sufficiently- clear to discharge these functions then, in- view of the modern distaste for dependence upon niceties of expression, it should not be dismissed merely because of obstensible ineptness in drafting. “Not readily stricken down are Indictments or Informations because of defects in draftsmanship. * * * the true inquiry is. whether the substantial rights of the parties have been affected. The ‘obvious requirements’ are ‘(1) that the accused shall be definitely informed as to the charges against him, so that he may be enabled to present his defense and not. be taken by surprise by the evidence offered at the trial; and (2) that he may be protected against another prosecution for the same offense.’ * * * ■ See also Hagner v. United States, 1932, 285 U.S. 427, 431; 52 S.Ct. 417, 419, 76 L.Ed. 861: ‘The rigor of old common-law rules of criminal pleading has yielded, in modern practice, to the general principle that formal defects, not prejudicial, will be disregarded.’ United States v. Angelo, 3 Cir., 1946, 153 F.2d 247, 250. Accordingly, I assume that an indictment is not subject to dismissal for lack of clarity unless it would result in prejudicial harm.
Here, the offense specified in the indictment is that the defendant failed to notify his draft board of a change in status which may have brought about a different draft classification had it been known to the draft board. The indictment, it seems to me, is sufficiently specific to satisfy historical usage. Cf. Stassi v. United States, 5 Cir., 1946, 152 F.2d 581, certiorari denied 328 U.S. 842, 66 S.Ct. 1020, 90 L.Ed. 1617. If the defendant desired a further specification, he could have availed himself of a'bill of particulars as provided in Rule 7(f), although it would appear that the inclusion of the specific facts in the indictment could only operate in the defendant’s favor. And -the finding of the court below that the defendant was not employed for a substantial and continuing period of time within the designation of the indictment is in support of the charge therein. Cf. United States v. Weiss, 2 Cir., 1947, 162 F.2d 447, certiorari denied 332 U.S. 767, 68 S.Ct. 76, 92 L.Ed. 352; United States v. Wain, 2 Cir., 1947, 162 F.2d 60, certiorari denied 332 U.S. 764, 68 S.Ct. 69, 92 L.Ed. 349. But even were the indictment not so clear as to appease the precise mind, still I do not think it so badly constructed that the defendant might not have known of what he was accused or might not have been able to prepare his defense.
Moreover, an indictment which contains all the essential averments should not be dismissed so readily in the absence of a showing of harm, such as surprise at the evidence offered, particularly when the issue is raised for the first time after the verdict has been rendered. The testing ground then should be the practical consideration of whether harm actually resulted to the defendant, rather than what might have been if the point were raised before trial. As stated in Hagner v. Unit*417ed States, 1932, 285 U.S. 427, 433, 52 S.Ct. 417, 420, 76 L.Ed. 861, “The indictment in the particular complained of is loosely and inartificially drawn and is not to be commended, but, upon the record before us, and without deciding that the indictment would not have been open to some form of challenge at an earlier stage of the case, we are of opinion that after verdict it is not vulnerable to the attack here made upon it.” In the case sub judice, the defendant did move prior to trial to dismiss the indictment for failure to state sufficient facts to constitute an offense, but at no time prior to the rendering of the judgment was the indictment attacked upon any ground resembling lack of clarity. Therefore, 1 should not think the indictment would be dismissed now unless it is so confused and unintelligible as to amount to a plain failure to state an offense, or as to have actually harmed the defendant in the preparation of his defense. I have already indicated that I do not believe this indictment failed to state sufficient facts to constitute an offense or to establish a basis for determining former jeopardy. Nor am I persuaded that the defendant was actually prejudiced in the trial of the case. It is quite evident on the record that the defendant was able to determine from the indictment the nature and extent of the charge against him and to prepare and present his defense. Nothing in the record suggests prejudicial harm because of the language of the indictment. In addition, the defendant is not on this appeal complaining of the indictment in this respect, but it is the Court of its own motion. Certainly the Court ought not to read the indictment more literally than the defendant himself and to dismiss it without a demonstration of prejudice to him in the trial of the case. With respect to complaints concerning the indictment after the verdict, every intendment should be indulged in support of the indictment, and no objection can be merilorious without a showing of prejudice. Cf. United States v. Beck, 7 Cir., 1941, 118 F.2d 178, 182, certiorari denied 313 U.S. 587, 61 S.Ct. 1121, 85 L.Ed. 1542.
For the reasons stated, I should not dismiss the indictment at this time. Whatever was unnecessarily included in the indictment is surplusage, which the defendant could have had stricken pursuant to Rule 7(d): “It is a settled proposition of law that an indictment is amended only when it is so altered to charge a different offense from that found by the grand jury.” United States v. Krepper, 3 Cir., 1946, 159 F.2d 958, 970, certiorari denied 330 U.S. 824, 67 S.Ct. 865, 91 L.Ed. 1275.
Finally, I believe the record adequately supports the finding of guilt made by the trial judge, and therefore would affirm the judgment below. But even were the proof insufficient, I would not deem appropriate a judgment of acquittal, since on a new trial the government may well be able to make out its case. Bryan v. United States, 1950, 338 U.S. 552, 70 S.Ct. 317.