Crain v. United States
Opinion of the Court
delivered the opinion of the court.
The transcript before the court must be taken to be as certified, namely, a true and complete copy of the record and proceedings in this case. It appears from the first order of record in the trial court that the defendant came “in his own person, and by his attorney;” that, on motion of the United States, by its attorney, it was “ordered by the court that a jury come to try the issue joined; ” that a jury was.selected, empanelled and sworn “to try the issue joined, and a true verdict render according to the law and the evidence;” and that the jury found the defendant “guilty as
The defendant moved, upon written grounds filed, to arrést the judgment, and to set aside the verdict. The grounds of that motion all related to the sufficiency of the. several, counts of the indictment. The motion was overruled as to the second count, and sustained as to the first and third.
The defendant, on a subsequent day, tendered his bill of exceptions, embodying the motion in arrest of judgment, with the grounds ■ therefor, and at the same time presented an assignment of errors.
The errors assigned by him in the court below, and made part of the record, were: 1. The overruling of the motion in arrest of judgment upon the conviction on the second-count of the indictment. 2. The rendering of judgment upon the verdict of guilty on that count, and the sentence of imprisonment.
When the accused was brought into court, after verdict, it was demanded of him what he had or could say why the sentence of the law upon the verdict of guilty on the second count should not be pronounced against him. He replied that he had nothing further to say than he had theretofore said.
1. One of the objections made to the second count was that it was incomplete, and referred in an uncertain, indefinite manner to documents, set forth in th.e first count. The reference to the declaration and affidavit set forth in the first count indicated the documents that were intended to be incorporated, by reference, into the second count; and this reference was not affected by the fact that the first count was defective, or by the fact that judgment upon that count was arrested. One count may refer to matter in a previous count so as to avoid unnecessary repetition; and if the previous count be defective or is rejected, that circumstance will not vitiate the remaining counts, if the reference be sufficiently full to incorporate the matter going before with that in the. count in which the reference is made. Blitz v. United States, 153 U. S. 308, 317.
In Rex v. Hunt, 2 Camp. 583, the question was whether a defendant might be found guilty upon a count in an information, charging him with .having composed, printed and published a libel, if it were proved that he simply published-but did not compose it. Lord Ellenborough held that it was enough to prove publication. “ If an indictment,” he said, “ charges that the defendant did and caused to be done a particular act, it is enough .to prove either. The distinction runs through the whole criminal law, and it is invariably enough to prove so much of the indictment as shows that the defendant has committed a substantive crime therein specified.” Chitty says: “ If an indictment charge that the defendant did, and caused to be done, a particular act, it is enough to prove
In Rasnick v. Commonwealth, 2 Virginia Cases, 356, it was held that an indictment charging the defendant with the making of certain base coin, of causing and procuring such coin to be made, and of assisting in making it — three distinct offences set out in one count — was sufficient to authorize judgment upon a general verdict of guilty.
So, in Commonwealth v. Tuck, 20 Pick. 356, it was adjudged that a count in an indictment, alleging that the defendant broke and entered a shop with intent to commit larceny, and did there commit larceny, was not double. In that case, doubt, was expressed whether the objection that an indictment, containing one count, and embracing more than one offence, could be taken advantage of in arrest or on error — the court observing that the better opinion was that it cannot, and that the appropriate remedy of the accused, in order to avoid the inconvenience and danger of having to meet several charges at the same time, is a motion to quash the indictment or to confine the prosecutor to some one of the charges. In another case, arising under a statute of Massachusetts making it an of-fence to set up or promote certain exhibitions, without license therefor, an indictment, containing a single count, and charging that the defendant set up and promoted a certain exhibition, was sustained against the objection of duplicity. Commonwealth v. Twitchell, 4 Cush. 74.
Under a statute of New Jersey, making it an offence to burn or cause to be burned any barn, not parcel of a dwelling-house, an indictment, containing one count, charging that the defendant “ burned and caused to be burned,” etc., was sustained by the Supreme Court of New Jersey in State v. Price, 6 Halsted, pp. 203, 215. Among other authorities the court cited Starkie, who says: “ It is the usual practice to allege offence's cumulatively, both at common law and under the description contained in penal statutes ; as that the defendant published and caused to be published a certain libel; that he forged and caused to be forged,” etc.. Starkie’s Cr. Pl. 271.
We are of opinion that the objection to the second count upon the ground of duplicity was properly overruled. The evil that Congress intended to reach was the obtaining of •money from the United States by means of fraudulent deeds, powers of attorney, orders, certificates, receipts or other writings. The statute was directed against certain defined modes for accomplishing a general object, and declared that the doing.of either one of several specified things, each having reference to that object, should be punished by imprisonment at hard, labor for a period of not less than five years nor more than ten years, or by imprisonment for not more than five years and a fine of not more than one thousand dollars. We perceive no sound reason why the doing of the prohibited thing, in each and all of the prohibited modes, may not be charged in one count, so that the're may be a verdict of guilty upon proof that the accused had done any one of the things constituting a substantive crime under the statute. And this is a view altogether favorable to an accused, who pleads not guilty to the charge contained in -a single count; for a judgment on a general verdict of guilty upon that count.will be a bar to any further prosecution- in respect of any of the matters embraced by it.
3. . But an objection is made to the proceedings in the court below which is of a serious character.
The record does not show that the accused was ever formally-arraigned, or that he pleaded to the indictment, .unless •all that is to be inferred simply from the order, made at the beginning of the trial and as soon as .the accused appeared, reciting that the jury were selected,, empanelled and sworn “ to try the issue joined,” and from the statement in the bill of exceptions that the jury were “sworn and charged to try the
The Government does not, in terms, claim, that it was unnecessary for the defendant to plead to the indictment. But it assumes (although the record does not state such to be the fact) that the defendant pleaded not guilty, and contends that the omission to record that plea is only a clerical error which did not prejudice his substantial rights.
By section 1025 of the Revised Statutes of the United States it is declared that “ no indictment found and presented by a grand jury in any District or Circuit or other court of the United States shall be deemed insufficient, nor shall the trial, judgment or other proceeding thereon be affected by reason of any defect or imperfection in matter of form only, which shall not tend to the prejudice of the defendant.”
Is it a matter of form only whether the accused pleads or does not plead to an indictment for an infamous crime? If it be not a matter of form, then it would seem that, if convicted, the fact that tire accused did'plead should clearly-appear from the record, and not be left to mere inference arising from a general recital that the jury was sworn to try and did try'“the issue joined,” without stating what was such issue. While, as said in Pointer v. United States, 151 U. S. 396, 419, all parts of the record are to be interpreted together, so that, if possible, effect be given to all, and a deficiency in one part of it supplied by what appears elsewhere, it was there held, that “ the record of a criminal case must state what will affirmatively show the offence, the steps without which the sentence cannot be good, and the sentence itself.”
In' capital or other infamous crimes an arraignment has always been regarded as a matter of substance. “The arraignment of the prisoner,” Lord Coke said, “is to take order that he appear, and for the certainty of the person to hold up his hand, and to plead a sufficient plea to the indictment or other record.” Co. Litt. 263a.
According to Sir Matthew Hale, the.arraignment consists of three parts, one of which, after the prisoner has been called to the bar, and informed of the charge against him, is, the
The importance attached to the proper arraignment of one accused of felony, including the demand upon him to plead to the indictment, was illustrated in Commonwealth v. Hardy, 2 Mass. 303, 316. That was a case of murder. The accused was arraigned before one of the justices of the Supreme Judicial Court of Massachusetts. ' He pleaded not guilty, and put himself for trial upon the country. The plea was recorded, and counsel was assigned to him at his own request. On a subsequent day the prisoner was brought into court, three justices being present, and the clerk having been directed to-arraign him, he informed the court, that the prisoner had been arraigned and had pleaded not guilty. The prisoner madp no objection to proceeding, and he was convicted;.- The question arose whether the conviction was valid under & statute then in force which provided that “ all indictments which may be found-for any capital offence shall be heard, tried and determined exclusively in the courts which are to be holden- pursuant to the second section. hereof' by
' In Grigg v. People, 31 Michigan, 471, which was an indictment for larceny, the record did not show that the accused had been arraigned or that any plea was made or entered of record. Nevertheless, he was convicted and sentenced to the House of Correction. The court, speaking by Chief Justice Graves, (Justices Cooley and Campbell concurring,) said: “ The attorney general, whilst admitting that an arraignment and plea were' indispensable, as of course they were, submits to the court whether, in the absence of any express matter in the record as returned to show the contrary, it ought not to be intended that both proceedings were actually had. An arraignment and plea being steps imperatively required, the recital of them, if they were taken, was a necessary ingredient of the record.” The judgment was reversed, that the- accused might be lawfully arraigned or otherwise dealt with agreeably to law.
The Supreme Court of Wisconsin, in a case of misdemeanor, said : “ The record in this case fails to show any issue which the jury was called upon to try. It is the business and the duty of the prosecuting officer of the government to move on the trial of criminal cases and to see that the proper issue be made up. It may be probable that the defendant in this case was perfectly aware of the offence with which he was charged.
In People v. Corbett, 28 California, 328, 330, it appeared that the defendant, indicted for grand larceny, asked, when brought into court, a separate trial," which was granted; the jury was empanelled ; witnesses were introduced by him ; the case was argued by his counsel, and the jury, having been charged by thé court, returned a verdict of guilty. The Supreme Court of California said: “ If the defendant had at any .time, anterior to the trial, plead not guilty, the defects in the arraignment, or rather the omission to arraign, might have been cured on the ground of waiver. But neither the motion. of defendant for a separate trial, nor the introduction of witnesses by him, nor the fact that the case was argued on his behalf to the jury, nor did all of them combined, cure the want of a plea. There was not only no arraignment, but over and beyond that there was no issue for the jury to try. Not only did the defendant not plead, but inasmuch as the statute opportunity for pleading was never extended to him, hé was. ■never under any obligation to plead. A verdict in a criminal case where there has been neither arraignment nor plea, is a nullity, and no valid judgment can be rendered thereon. And so is a verdict rendered upon a plea put in by the attorney of a party indicted for a felonious assault with intent to rob.”
In State v. Hughes, 1 Alabama, 655, 657, it was held to be error to swear the "jury to pass upon the guilt or innocence of the accused before calling upon him to plead. The court said that until the prisoner was called on for his plea, it could not be known whether there would be an issue of fact for the-jury,
In Sartorious v. State, 24 Mississippi, 602, 611, 612, which was an indictment for buying certain goods, knowing them to be stolen, the court said: “ The record does not show that the prisoner was arraigned or that he pleaded to the indictment. In trials for minor offences a formal arraignment in practice is generally dispensed with. In such cases, where the defendant has pleaded to the indictment, an arraignment will be presumed. But a party, before he can'be put upon his trial, must’ plead to the indictment. In civil proceedings it is error to submit a cause to the jury without an issue in fact having been made up by parties. In prosecutions for offences it must be equally erroneous to put a party upon his trial, unless he has taken issue upon the charge by pleading to the indictment.”
In Bowen v. State, 108 Indiana, 411, 413, the court said: “ Under the decisions of this court it can no longer be recognized as a subject of controversy that where the record in a criminal case fails to disclose affirmatively that a plea to the indictment was. entered, either by or for the defendant, such record on its face shows a mistrial, and that the proceeding was consequently erroneous, to say the least.”
In Aylesworth v. People, 65 Illinois, 301, 302, which was an indictment for a misdemeanor, the record failed , to show that the accused was ever arraigned or pleaded. The Supreme Court of Illinois said: “ The record should also show that the plea of not guilty was entered. Without it there is nothing for the jury to try, Johnson v. People, 22 Illinois, 314.” The judgment was reversed. In the subsequent case of Hoskins v. People, 84 Illinois, 87, which was an indictment for larceny, the court said: “It appears from the record that defendant ‘waived arraignment, copy of indictment, list of jurors and witnesses,’ etc., but no plea of any kind was entered,
In State v. Ulger Chenier, 32 La. Ann. 103, 104, which was an indictment for rape, the accused, after the trial commenced, was, by order of court, arraigned and his plea made. The trial then proceeded under the direction of the court. The Supreme Court of Louisiana said : “We cannot sanction such a departure from ancient landmarks in criminal procedure. The prisoner must be arraigned and must, plead to the indictment before the case can be set down for trial or tried. It may be that, in this particular case, no prejudice "was wrought to the accused. Still we think it unsafe to sanction such irregularities in capital cases.”
In Ray v. People, 6 Colorado, 231, which was an indictment for forgery, it was assigned for error that the accused never was arraigned, and that he never pleaded or was required to plead to the indictment. Upon these points the record was silent. The statutes of Colorado required all criminal trials to be conducted according to the course of the common law, except where a different mode is pointed out. The court held that without, an issue there was nothing to try, and if the record failed to show an arraignment and plea prior to trial ' the proceeding was a nullity.
In State v. Vanhook, 88 Missouri, 105, the Supreme Court of Missouri reversed a judgment of conviction, because the record did not show an arraignment and plea of not guilty, observing that the error was á fatal one, and that, it was for the legislature, and not the court, to change the law on the subject.
To the same general effect are State v. Wilson, 22 Pac. Rep. (Kansas) 622, 626; Jefferson v. State, 7 S. W. Rep. (Texas)
The American treatises upon criminal law are to the same effect. Bishop says: “ It is laid down, in a general way, that the arraignment and plea are a necessary part of the proceeding, without which there can be no valid trial and judgment. "With the consent of the court the prisoner may waive the reading of the indictment, though without waiver it will be read, even where he has been furnished with a copy. And as the object of the arraignment is to obtain the plea, if the prisoner voluntarily makes it without, and it is accepted by the court, nothing more is required. But without plea there can be no valid trial. Nor will the proceeding be rendered good by the fact that the defendant went to trial voluntarily and without objection, knowing there was no plea. It must be before the jury are sworn; afterward the plea comes too late.” 1 Bishop’s Or. Pro. § 733. “ There can be no trial on the merits without a plea of not guilty.” Ib. § 801. Wharton : “ When brought to the bar in capital cases, and at strict practice in all cases whatever, the defendant is formally arraigned by the reading of the indictment and the calling on him for a plea. . . . The right of arraignment in a criminal trial may, in some cases, be waived, but a plea is always essential.” 1 Amer. Or. Law. § 530.
Without citing other authorities we think it may be stated to be the prevailing rule, in this country and in England, at least in cases of felony, that a plea to the indictment is necessary before the trial can be properly commenced, and that unless this fact appears affirmatively from the record the judgment cannot be sustained. Until the accused pleads to the indictment and thereby indicates the issue submitted by him for trial, there is nothing for the jury to try; and the fact that the defendant did so plead should not be left to be inferred from a general recital in some order that the jury were sworn to “ try the issue joined.” The record should be a permanent memorial of what was the issue tried, and show whether the judgment, whereby it was proposed to take the life of the accused or to deprive him of his liberty, was in accordance with the law of
The views we have expressed would seem to be the necessary result of section 1032 of the Revised Statutes, which provides: “ When any person indicted for any offence against the United States, whether capital or otherwise, upon his arraignment stands mute or refuses to plead or answer thereto, it shall be the duty of the court to enter the plea of not guilty on his behalf in the same manner as if he had pleaded not guilty thereto. And when the party pleads not guilty, or such plea is entered as aforesaid, the cause shall be deemed at issue, and shall, without further form or ceremony, be tried by a jury.”
This statute is based on the act of April 30, 1790, c. 9, § 30, 1 Stat. 112, 119; the act of March 3, 1825, c. 65, § 14, 4 Stat. 115,118; and the act of March 3, 1835, c. 40, § 4, 4 Stat. 775, 777. It proceeds upon the established- principle that before a criminal trial can be legally commenced there must be an issue to try, and that a plea by or for the accused is essential to the formation of the issue. And the section above quoted requires the entry of the plea before the trial commences. Where the crime charged is infamous in its nature, are we at liberty to guess that a plea was made by or for the accused, and then guess again as to what was the nature of that plea t
Neither sound reason nor public policy justifies any departure from settled principles applicable in criminal prosecutions for infamous crimes. Even if there were a wide divergence among the- authorities upon this subject, safety lies in adhering to established modes of procedure devised for the security of life and liberty.' Nor ought the courts, in their abhorrence of crime nor because of their anxiety to enforce the law against criminals, to countenance the careless manner in which the records of cases involving the life or liberty of an accused are
It is true that the Constitution does not, in terms, declare that a person accused of crime cannot be tried until it be demanded of him that he plead, or unless'he pleads, to'the indictment. But it does forbid the deprivation of liberty without due process of law ; and due process of law requires that the accused plead, or be ordered to plead, or, in a proper case, that a plea of not guilty be filed for him, before his trial can rightfully proceed; and the record of his conviction should show distinctly, and not by inference merely, that every step involved in due process of law, and essential to a valid trial, was taken in the trial court; otherwise, the judgment will be erroneous. The suggestion that the' trial court would not have stated, in its order, that the jury was sworn to try and tried “ the issue joined,” unless the defendant pleaded, or was ordered to plead, to the indictment, cannot be made the basis of judicial action without endangering the just and orderly administration of the criminal law. The present defendant may be guilty, and may deserve the full punishment imposed upon him by the sentence of the trial court. But it were better that he should escape altogether than that the court should sustain a judgment of conviction of an infamous crime
The judgment is reversed and the case is remanded ihat the defendant may he properly arraigned and plead to,the indictment, and for further proceedings in conformity with law.
Dissenting Opinion
dissenting.
I dissent from the judgment of the court in this casé. It seems to me to proceed, not alone upon the merest technicality, but also upon an unwarranted presumption of error arising from the absence of a formal statement in the record showing that the defendant was duly arraigned and pleaded not guilty, although the inference that he was so arraigned and that he did thus plead seems to be plain from the facts which the record discloses. At a certain periocl of English history, when an accused person had no right to be represented by counsel, and when the punishments for crimes were so severe as to shock the sense of justice of many judges who administered the criminal law, it was natural that technical objections which, perhaps, alone stood between the criminal and the enforcement of a most severe, if not cruel, penalty, should be accorded great weight, and that forms and ■ modes of procedure, having really no connection with the merits of a particular case, should be insisted upon as a sort of bulwark of defence against prosecutions which might otherwise be successful, and which at the same time ought not to succeed. These times have passed and the reasons for the strict and slavish adherence to mere form have passed with them.
In this case there, cannot be a well founded doubt that the defendant was arraigned and pleaded not guilty. The presumption of that fact arises from a perusal of the record and it is, as it se.ems to me, conclusive. There is no presumption in favor of a defendant upon a criminal trial, excepting that of innocence. Error in the record is not presumed, but must be shown. A presumption that proper forms were omitted is not
The record sets out the indictment. It then shows that the district attorney for the United States appeared in court and the defendant in his own person, and by his attorney, also appeared, and then, on motion by the district attorney, it is ordered by the court that a jury come to try the issue joined, and a jury is duly selected, empanelled and sworn to try the issue joined, and a true verdict to render according to the law and the evidence. The trial proceeds and the jury return a verdict that the defendant i's guilty as charged in the first, second and third counts of the indictment. In the bill of exceptions, a document prepared by the defendant, it is also asserted that a jury was empanelled, sworn and charged to try the issues joined in the cause. Can there, from these facts, be a doubt founded upon any fair presumption that the defendant had been arraigned and had pleaded not guilty ?
That the plea was of that nature must be presumed from the fact that the jury was summoned to try the issue, and that upon the trial of such issue the defendant was convicted on the first, second and third counts of the indictment. The evidence stated in the bill of exceptions is directed solely to the issue of guilt or innocence. It would be wholly immaterial upon any other issue, and it is also of such a nature as to show beyond all rational doubt that it was received upon the trial of the issue, raised by a plea of not guilty. No other presumption than that an arraignment and a plea of not guilty had been interposed, could- from such a record be reasonably indulged in. The record further shows a motion made in arrest of judgment and the grounds thereof, among which no mention is made of any alleged failure to arraign the defendant. The motion is sustained as to' the first and third counts of the indictment, and overruled as to the second,
In the face of such a presumption, the simple failure of a clerk to make an entry of the fact of arraignment and plea, although both presumably took place, is yet made a substantial ground for a reversal of a judgment which actually was rendered in due course of a criminal prosecution and by a court of competent jurisdiction. This ought not to be. There is but a mere suggestion at the end of the brief of the ■counsel for the plaintiff in error, filed in this court, where the objection is for the first time raised that defendant was not given an opportunity to plead to the indictment before being put upon his trial, never having been arraigned. For the facts counsel refer to the record, and that shows what has already been set forth. I think a clear and necessary inference arises from the contents of the record that the defendant was arraigned and pleaded.
Suppose, however, the defendant through mere inadver
Here the defendant could not have been injured by an inadvertence of that nature. He ought to be held to have waived that which under the circumstances would have been a wholly unimportant formality. A waiver ought to be conclusively implied where the parties had proceeded as if defendant had been duly arraigned, and a formal plea of not .guilty had been interposed, and where there was no objection- made on account of its absence until, as in this case, the record was brought to this court for review. It would be inconsistent with the due administration of justice to permit a •defendant under such circumstances to lie by, say nothing as to such an objection, and then for the first time urge it in.this court.
It is not necessary, however, in this case to place my judgment upon any doctrine of waiver, and I do not base my dissent upon that view of the case.
This record is, as I have said, far from showing that through mere inadvertence the defendant was not arraigned and did not plead. On the contrary, the necessary presumption arising from the facts appearing therein is that the
The judgment should be
Affirmed.
I am authorized to state that Me. Justice Bbewee and Me. Justice White concur in this opinion.
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- One count in an indictment may refer to matter in a previous count so as to avoid unnecessary repetition; and if the previous count be defective or is rejected, that circumstance will not vitiate the remaining counts, if the reference be sufficiently full to incorporate the matter going before with that in the count in which, the reference is made. A count in an indictment which charges that the defendant did certain specified things, and each of them, the doing of which and of each of which was prohibited by statute, and also that he caused the doing of such things and of each of them, is not defective so as to require that jndgmeut upon it be arrested ; and there may be a verdict of guilty upon proof that the accused had done any one of the things constituting a substantive crime under the statute. A record which sets forth an indictment against a person for the commission of au infamous crime; the appearance of the prosecuting attorney; the appearance of the accused in person and by his attorney; an order by the court that a jury come “ to try the issue joined; ” the selection of a named jury for the trial of the cause, who were “ sworn to try the issue joined and a true verdict render;” the trial; the retirement of the jury; their verdict finding the prisoner guilty; and the judgment entered thereon in accordance therewith; does not show that the accused was ever formally arraigned, or.that he pleaded to the indictment, and the conviction must be stet aside; as it is better that a prisoner should escape altogether than that a judgment of conviction of an infamous crime ' should be sustained, where the record does not clearly show that there was a valid trial. •