Lead Opinion
This is an appeal from an order denying a motion under Rule 35, Federal Rules of Criminal Procedure, 18 U.S.C.A. following section 687, for correction of an allegedly illegal sentence. ■
“Whoever, with intent to defraud either the United States or any person, shall falsely assume or pretend to be an officer or employee acting under the authority of the United States, or any department, or any officer of the Government thereof, or under the authority of any corpоration owned or controlled by the United States, and shall take upon himself to act as such, or shall in such pretended character demand or obtain from any person or from the United States, or any department, or any officer of the Government thereof, or any corporation ■owned or controlled by the United States, any money, paper, document, or other valuable thing, shall be fined not more than $1,000 or imprisoned not more than three years, or both.”
The indictment was in three cou'nts, the material portions of which are set forth in the footnote.
In the first count it was charged that Ekberg, with intent to defraud one Manuel Vazquez Diaz, pretended to be an officer and employee of the United States Engineer Office of the United States War Department, and did take upon himselfvio act as such officer and' employes; in that he called by telephone the said Manuel Vazquez Diaz and falsely pretended to him that he was such an officer and employee of the United States. In the second count it was charged that Ekberg, with intent to defraud and in the afore-mentioned pretended character, demanded a typewriter from the said Manuel Vazquez Diaz. The third count was the same as the second, exсept that in place of alleging a demand it charged that Ekberg did “obtain” a typewriter from Manuel Vazquez Diaz. In each count the time and place of the offense were alleged to be Febru'ary 9, 1942, in San Juan, Puerto Rico.
Upon arraignment, and being then represented by counsel appointed by the court, Ekberg entered a plea of guilty to the indictment. Thereupon, on April 24, 1942, the court sentenced him to imprisonment for a term of two years and one month on each of the three counts; sentences on the second and third .counts to run concurrently, but consecutively to the sentence imposed on the first count. Further, the court su's
After Ekberg had completed the service of his sentence under count 1, and had entered upon his period of probation, he was taken into custody and brought before the court below on the charge of having violated the conditions of his probation. At the hearing on revocation of probation, Ekberg, being аgain represented by court-appointed counsel, pleaded guilty to the charge. By order on December 2, 1946, the district court revoked the probation, and committed Ekberg to prison for service of the concurrent sentences of two years and one month theretofore imposed on the second and third counts of the indictment. Ekberg is now in the federal penitentiary at Leavenworth, Kansas, on this commitment.
On June 11, 1947, Ekberg filed in the court below a motion for correction of sentence under Rule 35, which provides that an illegal sentence may be corrected “at any time.” His contention was that the indictment with its three counts, to which he pleaded guilty, charged but a single offense under 18 U.S.C.A. § 76, and that the sentence imposed by the court exceeded the statutory maximum of three years. The motion was set down for hearing on June 13, 1947, at which an Assistant United States Attorney appeared for the government, but at which Ekberg was not present or represented by counsel. (Cf. United States v. Lynch, 7 Cir., 1947,
On October 23, 1947, Ekberg filed another motion for correction of sentence. This motion, while more elaborate, is now conceded to have raised in substance the same question that had been presented in the earlier motion. At a hearing held October 31, 1947, the motion was opposed by an Assistant United States Attorney. Ekberg, again, was not present or represented by counsel. The court on the same day denied the motion. Notice of appeal from this order of denial was filed November 7, 1947.
The United States filed a motion to dismiss the appeal as untimely. We withheld consideration of the motion until argument on the merits, at which the United States was represented by the United States Attorney and appellant by counsel appointed by this сourt.
We have concluded, not without some hesitation, that the motion to dismiss should be denied.
An order denying a motion to correct an illegal sentence is a “final decision” within the meaning of 28 U.S.C.A. § 225(a), since nothing further remains to be determined in the cause. See Wiley v. United States, 9 Cir., 1944,
So 'much the government concedes. But in its motion to dismiss it stresses the point that Ekberg’s first motion for correction of sentence, raising the same question of law, was denied by order entered June 13, 1947, and that no appeal was ever taken from such order. The time for appealing having expired, it is contended that appellant cannot extend the time by indirection, by the expedient of filing a second motion to the same effect and having the court enter a second order of denial. Sosa v. Royal Bank of Canada, 1 Cir., 1943,
Since under Rule 35, the sentencing court may correct an illegal sentence “at any time”, even after the term has expired, we think it clear that the court below would have had power to entertain and grant Ekberg’s second motion, notwithstanding its denial of the earlier motion to the same effect, assuming the motion was a meritorious one. If convinced of its previous error, the sentencing court should have continuing power to correct its own illegal sentence. This is a much, more appropriate remedy than remitting the prisoner to a petition for habeas corpus in the district court wherein he is confined. See Berkoff v. Humphrey, 8 Cir., 1947,
Coming then to the merits, we think appellant is entitled to relief.
The problem of multiple offenses Under 18 U.S.C.A. § 76 is somewhat illuminated by decisions in two commonly recurring situations:
(1) It is well settled that the same act or transaction may constitute two distinct federal offenses, and justify findings of guilty on two counts and separate, sentences thereon to run consecutively, if each offense as defined by Congress requires the proof of sоme fact or element not required to establish the other. Thus under a stat
(2) Another commoii situation is where the legislature has defined two distinct offenses, but one offense requires proof of all the facts or elements necessary to establish the other, plus something more- — -in other words, a greater offense including a lesser. Thus, under 18 U.S.C.A. § 320, one may be guilty of assault upon a custodian of mail with intent to rob such mail, without being at the same time guilty of the greater crime of a completed robbery; but "if robbery is proved, the lesser offense is necessarily included. It is proper to prosecute the accused under an indictment with two counts, one charging assault with intent to rob and the other charging robbery. If, however, the accused is convicted on both counts, relating to a single transaction, sentence cannot lawfully be imposed on both counts to run consecutively, for, as the court said in Costner v. United States, 4 Cir., 1943,
■ In all such cases discussed in the preceding paragraph, sentence may be imposed on the more inclusive count only, or
The Act now in question, 18 U.S.C.A. § 76, quoted at the outset of this opinion, has been before the courts in a great many cases. In the leading case of United States v. Barnow, 1915,
“(1) With intent to defraud either the United States or any person, the falsely assuming or pretending to be an officer or employee acting under the authority of the United States, or any department, or any officer of the Government thereof, and taking upon oneself to act as such.
“(2) With intent to defraud either the United Statеs or any person, the" falsely assuming or pretending to be an officer or employee, etc., and in such pretended character demanding or obtaining from any person or from the United States, or any department, or any officer of the government thereof, any money, paper, document, or other valuable thing.”
Later cases, citing United States v, Barnow, have said that the section “creates and describes two [italics added], separate and distinct offenses”. Pierce v. United States, 6 Cir., 1936,
It is clear, also, that the first clause of 18 U.S.C.A. § 76 describes an offense which may be committed without overlapping the offenses described in the second clause of the section, for if the other described elements are present, any act in the pretended character of “an officer or employee acting under the authority of the United States” will constitute an offense under the first clause, even though such act is neither the demanding nor the obtaining of a valuable thing. United States v. Lepowitch, supra, 1943,
In the light of the foregoing discussion, it now becomes pertinent to look more sharply at the three counts in the indictment, which we have set forth in footnote 1, supra.
Counts 2 and 3 adequately charge two separate and distinct offenses under the second clause of 18 U.S.C.A. § 76 — the demanding and the obtaining, etc.
Count 1 was obviously meant to bе laid under the first clause of 18 U.S.C.A. § 76, for the count charges that the defendant “did take upon himself to act as such officer and employee” [the statutory language] “in that he called by telephone the said Manuel Vazquez Diaz and falsely pretended to him that he was such an officer and employee of the United States.” If the pleader had left out the final “in that” clause, the count would sufficiently have stated an offense under the first clause of § 76, for “If the statutory language alone had been used, the indictment would have been proof against demurrer * * *.”
United States v. Lepowitch, supra,
We say-that the “in that” clause vitiated the count because it treated the defendant’s pretense of being an officer as satisfying the statutory requirement that the defendant must “take upon himself to act as su'ch”. This is clearly not enough. As stated in United States v. Barnow, supra,
Evidently the government was not prepared to prove any act “in keeping with the pretense” of being a public official other than the defendant’s acts on February 9, 1942, of demanding and obtaining from Manuel Vazquez" Diaz a valuable thing, to wit, a pоrtable Royal typewriter, as charged in counts 2 and 3. What the pleader did was to duplicate in count 1 part of the factual allegations which went to make out the complete offenses charged in counts 2 and 3; but count 1, for the reason stated, failed to charge an offense separate and distinct from the offenses set forth in the other two counts, in fact, failed to charge any offense at all. Therefore, the court should not have imposed a separate sentence on count 1, and the time which appellant spent in the penitentiary under that sentence becomes lеgally referable to the concurrent sentences imposed on counts 2 and 3. See Holbrook v. United States, supra, 8 Cir., 1943,
It is true that the judge could lawfully have originally sentenced appellant to a maximum of three years on each of counts 2 and 3, to run consecutively, because, as above pointed out, those two counts stated separate and distinct offenses. Hеnce, it might be suggested that the district court, in the course of striking out the invalid sentence on count 1, should now he allowed to resentence appellant on counts 2 and 3. But it is quite plain that merely because the trial judge could have imposed consecutive sentences on counts 2 and 3 equal to the aggregate sentences which he actually imposed on invalid count 1 and valid counts 2 and 3, “the matter may not be treated as though he had done so.” Miller v. United States, supra, 2 Cir., 1945,
The order of the District Court entered October 31, 1947, is vacated and the case is remanded to that cou'rt with direction to enter an order vacating the sentence imposed on count 1 and crediting the time served thereon to the concurrent sentences imposed on counts 2 and 3, and to take further appropriate proceedings in conformity with this opinion. Since time is of the essence to afford appellant any good from our favorable judgment, we shall issue our mandate forthwith instead of withholding it for the usual period of thirty days, as provided in our Rule 35.
Notes
First count: “* * * Heretofore, to wit, on or about February 9, 1942, in the city of San Juan, Puerto Rico, in the District of Puerto Rico and within the jurisdiction of this Court, Jamеs Neis Ekberg, did, knowingly, willfully, unlawfully and feloniously, and with intent to defraud one Manuel Vazquez Diaz, falsely assume and' pretend to be an of-finer and employee acting under the authority of the United States, to wit, an ■officer and employee of the United States Engineer Office of the United States War Department, and did take upon himself to act as such officer and employee, in that he called by telephone the said Manuel Vazquez Diaz and falsely pretended to him that he was such an officer and employee of the United States. * * * ”
Second count: “ * * * Heretofore, to wit, on or about February 9, 1942, in the city of San Juan, Puerto Rico, in the District of Puerto Rico and within the jurisdiction of this Court, James Neis Ekberg, hereinafter referred to as the defendant, did, knowingly, unlawfully, willfully and feloniously, and with intent to defraud one Manuel Vazquez Diaz, falsely assume and pretend to be an officer and employee acting under the authority of tbe United States, to wit, an officer and employee of the United States Engineer Office of the United States War Department, and in such pretended character the defendant did, unlawfully, willfully, knowingly and feloniously, demand from the said Manuel Vazquez Diaz a certain valuable thing, to wit, a portable Royal typewriter. * * * ”
Third count: “ * * * Heretofоre, to wit, on or about February 9, 1042, in the city of San Juan, Puerto Rico, in the District of Puerto Rico and within the jurisdiction of this Court, James Neis Ekberg, hereinafter referred to as the defendant, did, knowingly, unlawfully, willfully and feloniously, and with intent to defraud one Manuel Vazquez Diaz, falsely assume and pretend to be an officer and employee acting under the authority of the United States, to wit, au officer and employee of the United States Engineer Office of the United States War Department, and in such pretended character tho defendant did, unlawfully, willfully, knowingly and feloniously, obtain from the said Manuel Vazquez Diaz a certain valuable thing, to wit, a portable Royal Typewriter. * * * ”
The notice of appeal erroneously states that the order appealed from was entered October 28, 1947, but nothing turns on this discrepancy.
In United States v. Michener, 1947,
However, if an appeal had been taken from the order denying the first motion to correct sentence, and the order had been affirmed, the ruling of the appellate court would have become the law of the case, binding on the district judge in case a second motion to correct sentence were presented to him.
Concurrence Opinion
I concur in the result. I agree, although not without hesitation, that the government’s motion to dismiss the appeal as Untimely ought to be denied. And I agree with my associates’ analysis of § 76 as describing three, not merely two, offenses. My difficulties are with respect to the proposition that the language of count 1 is insufficient to charge any offense.
In the first place I think it is too late at this stage of the proceedings in the case to consider the question of the sufficiency of the wording of any part of the indictment, particularly count 1. In the second place I think it very doubtful indeed that the phraseology of count 1 is not adequate to charge the offense defined in the first clause of the statute.
In United States v. Barnow,
But I see no occasion in the case at bar to consider the sufficiency of the language of the indictment' at all. In my view the issue presented is adequately disposed of by pointing out that “If all the defendant has done by way of acting as such pretended official is to demand or obtain a valuable thing, it cannot be supposed that Congress intended to authorize the imposition of separate sentences, to run consecutively, upon a count charging the оffense described in the first clause of § 76 and another count charging an offense under the second clause”, and then proceeding to say: “Therefore, the court should not have imposed a separate sentence on count 1, and the time which appellant spent in the penitentiary under that sentence becomes legally referable to the concurrent sentences imposed on counts 2 and 3,” and: “Since the sentence on the first count, which he has fully served, was for the same length of imprisonment as the concurrent sentences imposed on the second and third counts, the appellant is now entitled to release from prison.”
