Court Opinion

ID: 9640290
Source: CourtListenerOpinion
Date Created: 2023-08-22 17:02:30.131135+00
Date Added: 2024-06-11T09:03:27.135528
License: Public Domain

On Petition for Rehearing.
Leslie -C. Garnett, U. S. Atty., Allen J. Krouse and Irvin Goldstein, Asst. U. S. Attys., all of Washington, D. C., for appellee-petitioner.*
Albert A. Stern and Albert Lyman, both of Washington, D. C., for appellant-respondent.*
Before MARTIN, Chief Justice, and ROBB, VAN ORSDEL, GRONER, and STEPHENS, Associate Justices.
STEPHENS, Associate Justice.
The petition for rehearing and an “Agreed Statement of Facts to Constitute Part of the Record . . . ” in this court, filed in connection with the petition for rehearing, urge the following points:
1. It is asserted that the opinion leaves uncertain whether the criminal cases were reversed:
“ . . . because of the lack of authority in the trial Justice to correct this record, or because the Court is of opinion that it appears from the record that the trial Justice who entered the order of correction did it upon a lack of evidence supporting the order. In other words, assuming that the record had come to this Court in the form which it now suggests, namely, findings of fact, conclusions of law, decree and a statement of the evidence, would the single fact that the Judge who imposed the sentence, was the one who undertook to correct the judgments, require this Court to reverse the case?
* * *
“In the last analysis, as we interpret the decision here, the Court holds that a Judge who imposes a sentence which *235is erroneously recorded by his clerk is disqualified to correct the clerk’s error.”
It is then argued:
“The practical result will be far-reaching. First, it places upon the trial Judge’s brethren of the Bench at least an unenviable burden to determine not only his accuracy but his veracity, and to weigh the relative merits of his testimony and that of convicted criminals. Second, it requires the trial Judge to testify as to his official action, and subjects him to being cross-examined by counsel for criminals convicted in his Court and sentenced by him. ))
We did not rule as above contended. We ruled in, this aspect of the case:
“But we are not willing to set a precedent validating the procedure below. We are of the view, to use the phrase of the Patterson Case, that there should be ‘materials in existence for altering the form of the judgment,’ and by materials we mean legal materials, that is to say, materials arrived at under the usual legal safeguards in respect of the ascertainment of facts. There should be, in a proceeding to correct a record of sentence alleged to be erroneous, in the absence of clear stipulation or admission by the affected party as to the original fact, a judicial determination thereof. And where recourse to the memory of the justice who imposed the sentence is necessary to prove the fact, he should be heard as witness, but not as judge and witness both. We do not rale, as do, apparently, the Puccinelli and Patterson Cases, that there can be no recourse to his memory. Numberless facts are established in both civil and criminal trials upon the basis of memory. But memory should be testified to, not merely recited, and of especial importance is this in a criminal case where liberty is at stake. If there are written materials such as will refresh or confirm recollection, or other written materials, they too should be placed in evidence in the usual manner. The parly moving to correct the record should have the burden of proof. The party opposing correction of the record should have the usual rights of inspection and cross-examination and proof.”
The assertedly untoward consequences of requiring a judge to be a witness as to his official action are apparently intended to be urged also against the actual ruling of the court as above set forth. In such respect they are, we think, not sound. A practice of prompt entry by the court clerk of a judge’s orders, and of prompt scrutiny by the judge of such entries, will guard against all but occasional error. If, in the event of such error, the correction of the record involves determination of a dispute of fact as to what the uttered, as distinguished from the entered, order of a judge was, and if that question must be determined by the memory of the judge alone, or by recourse to his files, or by both, there is in our view no proper reason why he should not be called upon to testify like any other witness, or why the contents of his files should not be subject to introduction in evidence like any other paper. Exemption of a judge and his files from the usual processes of the law which safeguard the ascertainment of facts, especially in such a situation as the instant one, wherein correct determination of the fact is of crucial' importance to the public interest and to individual liberty, is not warranted. The dignity of a judge’s office will not be lessened by the judge’s being witness only, rather than judge and witness both.
2. It is urged that the assertion in the appellant’s petition for writ of habeas corpus that “in each case the Court directed that the sentence was ‘to take effect from and including the date upon which it was imposed’ . . . ” is a mere conclusion of the pleader and cannot override the recital in the memorandum of the trial judge that the fact that the sentences originally pronounced were consecutive “is not disputed.” It is said that this assertion in the appellant’s petition is merely “the language of the insertion by the Clerk in the sentence imposed in each case.” It is not such exactly. The language in the docket entries and minutes was, “to take effect from and including this date.” But even if the assertion in the appellant’s petition was exactly the same as this, it might well also be the language which the judge used in imposing the sentences. While the pleader might perhaps have more fully alleged the language of the judge, we think the pleading is not so clearly conclusional that it must be disregarded. It purports to be a quotation of the judge’s utterance; it speaks of “imposed” sentences, rather than of “entered” sentences. It is, we think, in effect an allegation of ultimate fact. We did not assume to say in our opinion that it was perfectly clear from the record that there was a dispute of fact as to what the ui*236tered sentences were. On' that subject the record is far from satisfactory. But we discussed this topic, with sufficient pains, we think, to indicate, and we are still of the view, that on the whole of -the record it was fair to say that there was. an issue of fact. Note that at the close of our discussion- of this topic we said:
-“We -think, moreover, that it appears from the memorandum that the determination of the trial justice that the record should be corrected was not made upon mere absence, if there was such, of dispute, as to the form of the sentences as originally uttered, or upon mere absence, if there was such, of dispute as to the justice’s recollection. It was made also upon the basis of his recollection and upon circumstances and letters referred to which, as- the justice indicated, originally fixed, and at the time of the hearing confirmed, his recollection. Certainly there was a contest over the proposed correction of the record, and there was an objection to this justice’s sitting on that contest.”
If there was no dispute that the sentences as uttered were consecutive rather than concurrent, it is not-clear why the trial judge feit bound to determine the fact. Why did he not take it as stipulated and determine! only an issue of law as to the power of the judge to correct the record to conform to an undisputed fact? We repeat that we in no manner question the fairness. of the trial judge. As we stated in the opinion, “The memorandum of the trial justice clearly evidences his own feeling of responsibility in the determination of the legal and factual issues, and no question is raised in the brief of appellant as to his fairness, and there is no such question.” But we think he was in error in concluding that there was no issue of fact.
Issues are determined not by the recitals of a trial judge in a memorandum, but by pleadings. And although this criticized pleading was in the habeas corpus case, the appellant is entitled to rely upon it because, as we point out at the 'outset of the opinion:
“Hearing on the appellant’s demurrer in the habeas corpus case and on the motion of the Government to correct the record in the 'three criminal cases was had before the same justice in the trial court. Although 'there are two records, one in the habeas -corpus case, and another in the three criminal cases combined, all four cases were presented together on appeal under one brief on the part of each party, and as if there-were but one record.”
We think the issues were determined, in view of the manner of dealing with the four cases as one, by the pleadings in all of the cases, and that the trial judge could not, and that we cannot, treat the habeas corpus pleadings as separate and refuse the appellant recourse to them. We think it would be improper to deny to the appellant the benefit of his allegations in the habeas corpus case.
3. It is asserte'd that there was no burden upon the appellee to settle and file a bill of exceptions, and that since none was settled and filed by the appellant it is our duty to presume that the findings of the trial court were supported by evidence. Reliance is had upon McCarty v. United States (C.C.A.) 101 F. 113; Katz v. United States (C.C.A.) 273 F. 157, 159; Hagner v. United States, 285 U.S. 427, 52 S.Ct. 417, 76 L.Ed. 861; and McDonald v. Maxwell, 55 App.D.C. 375, 6 F.(2d) 678, reversed on other grounds, 274 U.S. 91, 47 S.Ct. 497, 71 L.Ed. 942, 55 A.L.R. 705. These cases state a well settled rule, but we think it not determinative of the duty of the court in this situation. The cases cited do not involve, and the rule is not apt for, situations where, as here, in our view, it appears from the record of the cases, including the orders and memorandum of the trial judge, that there was, in the legal sense of the term, no hearing, that the judge sat as judge and witness both, that there was no other witness, that no evidence was in the usual manner introduced. There was nothing for the appellant to embody in a bill of exceptions.
4. It is urged that no exception was taken to the action of the chief justice in denying the motion for reassignment of the cases. It was not the denial of this motion as such which constituted the essential error. We did not rule that the mere assignment of the cases to Judge Proctor was error. It is not shown that at- the time of the assignment it was made to appear that Judge Proctor would act as both judge and witness. The essentia] error was that of the trial judge in acting as both judge and witness on a dispute of fact. That error is apparent from the record, including the memorandum. As we pointed out in the opinion, exceptions are not necessary for the review of errors apparent upon the record. Nalle v. Oyster, 230 U.S. 165, 33 S.Ct. 1043, 57 L.Ed. 1439.
*237It is further urged that preliminary to stating his conclusions, the trial justice “made a statement in open court substantially as contained in his memorandum filed September 19, 1936, ... to which statements of fact there were no objections or exceptions by the defendant present in court or by his counsel.” Just what is intended here is not clear. If it is intended to urge that no objection was made and no exception taken during the course of the judge’s oral statement to his acting as both judge and witness on a dispute of fact, that error, as we have just pointed out, is apparent from the record. If it is intended to urge that by omitting to make objection or take exception to a statement of the judge, when orally made, that there was no dispute of fact, the appellant waived determination of the issue of fact made by the pleadings, or admitted correctness of the judge’s statements, then we think the point is not well taken. Silence of the appellant or his counsel during the course of what was in the nature of an oral opinion by the judge was not, in our view, a waiver of the determination of the issues made by the pleadings, or an admission.
S. It is made to appear in the “Agreed Statement of Facts to Constitute Part of the Record . . . ” that:
“ . . . the Court produced at the trial a letter from the defendant Downey, dated April 8, 1932, and read therefrom as follows: ‘On March 24th, 1932, I was sentenced in your court to a term of 12 years, three four year consecutive sentences.’ The Court further produced a letter from the mother of the defendant, dated March 31, 1932, containing these words, ‘now please won’t you change the three four year sentences, which run consecutive, to concurrently or even two of them to concurrently.’ The Court further produced a letter from the father of the defendant, dated June 20, 1932, in which appears this passage concerning the son, ‘At the time he was before you he received three four year sentences to run consecutive.’ ”
These were three of the four letters referred to in the judge’s memorandum. All of them were apparently relied upon by the judge not to refresh his recollection but to confirm it. He said in his memorandum, “My recollection was fixed and is confirmed by very strong circumstances.” (Italics supplied.) He then referred to the defendant’s criminal record, and then to the letters, including the three above referred to and a fourth purporting to be from an aunt of the defendant. Reliance upon the letters as confirmatory of a fixed recollection was reliance upon the truth of their contents, and a mere reading from them or reference to their contents was not a proper evidential use of the letters. They should have been identified and submitted to inspection and offered in evidence in the usual manner and thus subjected to possible objection as to their competency. Even if used merely to refresh recollection they should have been submitted to inspection.
6. The “Agreed Statement of Facts to Constitute Part of the Record . . . ” omits any reference to the habeas corpus proceeding, in which the appellant pleaded, as above pointed out, that, “in each case the Court directed that the sentence was ‘to take effect from and including the date upon which it was imposed’. . . . ” As said above, we think this habeas corpus case and the pleading therein cannot be disregarded.
Upon careful consideration of the petition for rehearing we see no reason for granting the same, and no proper objection to the disposition of the case which we made, requiring the motion and rule to be reheard below before a judge other than the one who imposed the sentences, the record of which it is sought to correct, and this not because the judge was ipso facto disqualified, but because in his memory and files alone lay the answer to a dispute of fact, in respect of which he ought not act as both judge and witness. We remain of the view that this is a just and lawful disposition of the appeal in the protection of the rights of both the appellant and the Government.
The petition for rehearing in this court is therefore
Denied.

 For convenience we will continue to refer to the Government as appellee and to Downey as appellant.