Court Opinion

ID: 9443395
Source: CourtListenerOpinion
Date Created: 2023-08-03 19:19:17.291013+00
Date Added: 2024-06-11T17:29:28.561167
License: Public Domain

BIGGS, Circuit Judge
(concurring in part and dissenting in part).
I concur in the majority opinion in all respects save one. I cannot agree that a conviction for criminal contempt may be sustained on facts from which it is shown that the United States Attorney had given notice to an attorney of a proposed order requiring his client to appear for execution -of sentence, even though the inference is properly supportable that the attorney informed his client of the proposed order. The pertinent statute is Section 401(3), Title 18, U.S.C.1
On June 28, 1951, the mandate of the Supreme Court in Dennis v. United States, 341 U.S. 494, 71 S.Ct. 857, 95 L.Ed. 1137, was about to be handed down, and Hall was on bail as one of the defendants-appellants whose judgment of conviction had been affirmed by the Supreme Court in the Dennis case. The United States Attorney that day caused to be served on most of the attorneys for the defendants-appellants in Dennis a “Notice of Settlement” to the effect that an “Order on Mandate” would be presented for signature by the court on the morning of July 2, 1951.
The proposed order contained the following unusual provision: “ * * * and it is further ordered, adjudged and decreed that the defendants [including Hall] personally surrender to the United States Marshal for the Southern District of New York in Room 318, United States Court House, Foley Square, New York, N. Y., on the-day of July, 1951, at 10:30 o’clock in the forenoon on that day.”
Hall was represented of record in the Dennis proceeding by Attorney Gladstein but Attorney Sacher, who was counsel of record for other defendants therein, accepted service of the proposed order on behalf of Hall by signing the “Admission of Service” by “Richard Gladstein by HS.”
On June 29, 1951, the United States Attorney and Mr. Sacher appeared in open court before Judge Ryan. Mr. Sacher had an application which he desired to make respecting the sentences of all the defendants-appellants in the Dennis case and another application going particularly to the sentence of the defendant-appellant Stachel and he desired to obtain rules to show cause on both applications. The United States Attorney wished to have Judge Ryan sign the “Order on Mandate” containing the *732provision quoted above. Judge Ryan refused to make any orders in Dennis because he was of the opinion that he did not possess the power to enter any order therein until the mandate of the Supreme Court had been received by the United States District Court for the Southern District of New York.
It was anticipated that the mandate would be received by Monday, July 2.2 The court said among other things, “We will pass on everything at that time.” Counsel indicated that this would be satisfactory. Judge Ryan then stated: “All right. I won’t sign these orders but it is understood that these applications will be heard on Monday.”
It was stipulated by the United States Attorney and by Mr. Sacher at the hearing on tlie contempt proceeding on' November 21, 1951, that he had seen Hall “ * * * sometime on Friday [June 29] at.35 East 12th Street in New York City.” Mr. Sacher stipulated also that on Friday, June 29, he had informed Hall that his presence would be required in court on July 2. It was agreed at the hearing of November 21 that at a hearing on July 3 before Judge Ryan, the court asked Mr. Sacher, “Did you tell them at that time [June 29] that their [Hall’s] presence was required in court yesterday morning [July 2] ?” Mr. Sacher replied, “Definitely. As a matter of fact I advised that because I think I saw them among the other defendants after I had been here on Friday [June 29], your Honor, and had made these motions, and therefore advised that they all should be and I was assured that they * * * [woitld] be [in court on July 2].” This was the extent of Mr. Sacher’s admission by stipulation. He was not sworn nor did he give any evidence at this or any prior or subsequent hearing.3
Early on the morning of June 30 Hall absconded, being apprehended at Laredo, Texas, some months later. On July 2 at 11:05 A. M. Judge Ryan signed the order of which Hall has been adjudged to stand in contempt. On July 2 the figures and letters “2nd” were inserted in the blank before the word “day” preceding the phrase “of July, 1951” in the face of the paragraph hereto■fore quoted and the figures “10:30” were stricken out before the word “o’clock?’ and there was inserted therein the figures “ID-OS.” Judge Ryan then signed the order. It then read as to the particular paragraph with which we are concerned as follows : ■ “ * * * -and it is further ordered, adjudged and decreed that the defendants [including Hall] personally surrender to the United States Marshal for the Southern -District of New York in Room 318, United States Court House, Foley Square, New York, N. Y., on the 2nd day of July, 1951, at 11:05 o’clock on the forenoon of that day.” The order was of course not served on Hall. There is no evidence that he had actual notice or knowledge that the proposed order was ever signed until the contempt specifications were served on him.
The “Specifications of Criminal Contempt,” under which Hall has been found guilty (Paragraph “B” thereof), state: *733“The contemnor disobeyed and resisted the * * * [order of July 2] by failing to surrender on said date or at any other time prior to his apprehension at Laredo, Texas, on October 10, 1951.” The supporting affidavit of the United States Attorney alleges: “Upon information and belief, respondent Hall well knew 4 of the outstanding orders and decrees of this court, and was in wilful and deliberate disobedience and resistance to said orders and decrees of this court * * * and was therefore in criminal contempt of this court and of its authority.” A rule was entered on the specifications and the affidavit, and the instant proceedings were commenced. Hall’s answer therefore, was not and could not have been treated as evidence of his knowledge of the signed order of July 2, for he was charged with contempt prior to the filing of his answer.
The question posed is a narrow one and may be restated as follows: Conceding, as it must be, that Hall knew on June 29 that an order requiring him to appear on July 2 for execution of his sentence might be made by Judge Ryan on July 2, is this knowledge sufficient to sustain his conviction of contempt of the order of July 2?
Despite Hall’s contentions to the contrary I entertain no doubt but that the order of July 2 was a valid one when entered. But on June 29 no valid order requiring Hall to appear on July 2 was in existence: none had been made and, indeed, the court below was technically without the power to enter any order in the Dennis case for the Supreme Court’s mandate had not been received. If Hall is to be held to answer for contempt of the July 2 order, (1) facts must be shown from which the court below was entitled to infer that Hall knew the order of July 2 had been entered, or (2) Hall must be held responsible on an application of ■ a theory of constructive notice.
As to (1) supra, there is no evidence in the record from which the court below could have inferred that Hall knew that the order of July 2 had been entered.
As to (2) supra, can the theory of constructive notice be properly applied under the circumstances of this criminal case? It is true that the doctrine of constructive notice as distinguished from actual notice or knowledge is frequently applied in civil injunction, or other civil, proceedings. A party to a civil suit, civil injunction proceedings in particular, is on notice as to any future order which the court may enter in his case. As an extreme illustration, if a complaint to enjoin waste has been filed and the court has jurisdiction of the cause of action and of the defendant and if prior to a decree or judgment against him the defendant cuts the woods or lays waste the farmland, he does so at his peril and may be held in contempt of a valid decree entered by the court. In New York, under the Civil Practice Act, Section 882, as amended by Laws 1930, c. 378, any notice which the court deems sufficient to apprise a defendant of an application for a temporary injunction is deemed sufficient to render the defendant chargeable with a breach of the injunction when entered. See George F. Stuhmer & Co. v. Korman, 143 Misc. 246, 256 N.Y.S. 253. See also 2 Daniels, Chancery Practice, 6th Am. ed. 1684, 2 High, Injunctions, 4th ed. Sections 1420 and 1452.
Constructive notice is notice which is implied by law. Prouty v. Devin, 118 Cal. 258, 50 P. 380. Constructive notice assumes that no information concerning the prior fact has been directly and personally communicated to the party but is inferred by operation of legal presumption. See 2 Pomeroy, Equity Jurisprudence, Section 593, 5th ed. 1941. Nonetheless, constructive notice is held to be sufficient by the great weight of authority in civil suits. But no case has been cited to us and I have found none where the doctrine of constructive notice has been applied in a criminal case including a criminal contempt proceeding. Though the United States places great reliance on the decision in Pettibone v. United States, 148 U.S. 197, 13 S.Ct. 542, 37 L.Ed. 419, the Pettibone decision does not support the Government’s position for it is too far removed in its facts from the instant case.5 Indeed in the Pettibone case *734the opinion strongly indicates, albeit by way of dicta, that scienter, viz., knowledge of the existence of a fact which is an essential element of the crime, must be alleged and proved. In the instant case an essential element of the crime was knowledge on the part of Hall that the order of July 2 had been entered.
In United States v. Day, 25 Fed.Cas. pp. 793, 795, No. 14,934, reference is made to the curtailment of the inherent contempt power of federal courts by the act of March 2, 1831, 4 Stat. 487. The Master in the Day case stated that this statute “ * * * was beyond doubt intended as a guide for the courts, and to forbid in future all constructive .contempts”, and for an act to constitute a contempt, “ * * * there must be a decree or order in existence, and a disobedience or resistance to such decree or order.” Cf. In re Sixth & Wisconsin Tower, 7 Cir., 108 F.2d 538. The Day decision is one dealing with constructive contempt rather than constructive notice. That the Supreme Court has drastically curtailed the operation of the theory of constructive contempt has been so recently demonstrated as to require no extended discussion. See Matter of Michael, 326 U.S. 224, 227, 66 S.Ct. 78, 90 L.Ed. 30, and Nye v. United States, 313 U.S. 33, 61 S.Ct. 810, 85 L.Ed. 1172, overruling Toledo Newspaper Co. v. United States, 247 U.S. 402, 38 S.Ct. 560, 62 L.Ed. 1186. Hall’s counsel contends that in the whole course of our law as well as that of England there has been no proceeding like the one at bar. The view asserted may be an exaggerated one but exhaustive independent research has disclosed no similar case. It is probably the first time that a proceeding like this has been before the courts.
Hall was charged with a .crime, a criminal contempt. See In re Fox, 3 Cir., 96 F.2d 23, 25. To base a conviction fo-r criminal contempt upon constructive notice is too close to basing a conviction on constructive contempt. But the question presented in the instant .case is really one of due process. Proof of actual notice or knowledge on Hall’s part that the order of July 2 had been entered is a constitutional requirement under all the circumstances. Moreover, the United States Attorney did not base his charge on constructive notice but on actual knowledge. He alleged that Hall “well knew” of the order of- July 2.
It may be asserted that this view bestows a benefit on the convicted defendant who, when his appeal has failed, does not sur*735render himself for execution of his sentence but absconds. A question of great public policy is here involved, however. The constitutional question aside, can it be said that Congress in enacting Section 401, Title 18, U.S.C. intended its provisions to have the United States courts base convictions for criminal contempt on orders not yet entered? When the statute speaks of an “order,” the reasonable conclusion is that it means an order in esse.
It is suggested, however tacitly, in the brief of the United States and it was argued before this court, that, by reason of the colloquy during the hearing of June 29, 1951 (set out in pertinent part in note 2, supra) and the stipulation that Mr. Sacher had told Hall to be present in court on July 2 (as he should have been) the court below, prior to July 2, issued a “command,” within the purview of 18 U.S.C. Section 401(3), that Hall be in court on July 2; and, since Hall was not in court on July 2 in response to this “command,” he was properly adjudged guilty of contempt in the instant proceeding. This view of the case has been adopted by the majority opinion.6 But this court ruled in Berry v. Midtown Service Corporation, 104 F.2d 107, 110, Judge Clark dissenting, that it had to be shown that “ * * * a party must have violated an express court order before he can be punished for contempt under the final clause of Section 385 [of former Title 18]”, citing Ex parte Buskirk, 4 Cir., 72 F. 14, Dakota Corp. v. Slope County, 8 Cir., 75 F.2d 584, and Morgan v. United States, 8 Cir., 95 F.2d 830.
Hall was held to answer in the contempt proceeding for violation of the express order of July 2, 1951 entered by Judge Ryan on that day and insofar as the record before us shows, no other “command” was given by the court. This was the consistent attitude of Judge Ryan and of the parties to the contempt proceeding and, veritably, the theory on which the case was tried. See, for example, Judge Ryan’s statements at page 29 of the transcript of the contempt hearings and his opinion. It follows that my difficulty in holding Flail guilty of contempt is not one merely of pleading. The reason that I cannot agree with the majority on this phase of the case lies in the fact that' the colloquy quoted in note 2, supra, and the stipulated fact that Hall’s counsel had directed him to be in court on July 2, could not support an adjudication of guilt for criminal contempt against Hall even had the case been tried (as it was not) on the theory that Hall was guilty of contempt of a “command” by the court, issued prior to the express order of July 2.
I would reverse Hall’s conviction and direct his acquittal of the charge of contempt based on Judge Ryan’s order of July 2.

. Section 401 is as follows:
“A court of the United States shall have power to punish by fine or imprisonment, at its discretion, such contempt of its authority, and none other, as—
Sjt * * * *
“(3) Disobedience or resistance to its lawful writ, process, order, rule, decree, or command.”
See also the original Act of September 24, 1789, 1 Stat. 83 and the Act of March 2, 1831, 4 Stat. 487-A88.

. The following colloquy took place on June 29, 1951, between the court and counsel respecting all the motions:
“Mr. Sacher: Mr. Saypol has told you, I think, that he has served an order returnable Monday morning at 10 o’clock to make the mandate of the Supreme Court the order of this Court.
“May I ask your Honor to be good enough to withhold the signing of that order until you have heard our arguments on Monday?
“The Court: Yes, the matters will all come up on Monday at the same time as these two applications.
“Mr. Sacher: You have my word that all of these defendants will be here at that time.
“The Court: We will pass on everything at that time.
“Mr. Sacher: Good enough.
“Mr. Saypol: Satisfactory.
“The Court: All right. I won’t sign these orders, but it is understood that these applications will be heard on Monday.
“Mr. Sacher: Very good. Thank you.”
See the transcript of June 29, 1931, filed September 28, 1951.

. Mr. Sacher stated later, during the course of the contempt proceeding, that he had not informed Hall of the order of July 2. The statement, however, does not constitute evidence for Mr. Sacher was not under oath when he mad<J it.

. Emphasis added.

. In the Pettibone case the defendants were indicted under R.S. §§ 5399 and 5440, 18 U.S.O.A. §§ 371, 1503, for cor*734ruptly conspiring to interrupt the course of justice in a United States Court. The United States Circuit Court for the District of Ohio had issued an injunction in a labor dispute to restrain the defendants from attempting to prevent by any force or intimidation any employee of certain mining companies from going to work. The Supreme Court quashed the indictment because it did not allege that the purpose of the conspiracy was to obstruct the administration of justice by the court issuing the injunction or to violate the injunction.
Mr. Chief Justice Fuller laid emphasis -on the fact that it was necessary for the defendants “* * * to have [had] knowledge or notice or information of the pendency of proceedings in the United States court * * See for example, 148 U.S. at pp. 205, 206 and 207, 13 S.Ct. 542, 546. Referring to Savin, Petitioner, 131 U.S. 267, 9 S.Ct. 699, 33 L.Ed. 150, Mr. Chief Justice Fuller stated : “In matters of contempt, persons are not held liable for the breach of a restraining order or injunction unless they know or have notice, or are chargeable with knowledge or notice, that the writ has been issued or the order entered, or at least that application is to be made; but without service of process, or knowledge or notice or information of the pendency of proceedings, a violation cannot be made out.” See 148 U.S. at pp. 206-207, 13 S.Ct. 542, 546, citing inter alia, 2 High, Injunctions, 3rd ed., Sections 1421 and 1452. But in the Pettibone decision it is pointed out that whenever knowledge is an essential ingredient of the offense and not implied by a mere statement of the prohibited act itself scienter is a necessary element, one which must be alleged and proved.
The words quoted above from Mr. Chief Justice Fuller’s opinion were employed by him by way of an analogy between the facts of contempt proceedings and those of the cited case. Knowledge of the defendants of the injunction issued by the United States Court for the District of Ohio was deemed an essential element of the crime, an operative fact which had to be both alleged and proved.

. The statements made by Judge Ryan and Mr. Sacher on July 3, 1951, that Hall’s presence in court on July 2 had been “required” at first blush lend color to this view. But, as I have said, Hall’s counsel stated, albeit on his word, only that he would have Hall in court on - July 2. Judge Ryan then stated that he would hear the applications, including the proposed order requiring Hall to appear, on July 2.