In Re Nicholas R. Allis

531 F.2d 1391
Court of Appeals for the Ninth Circuit·Decided May 13, 1976·No. 74--1695·Published·Cited by 46 cases

Opinions

OPINION

Before HUFSTEDLER and SNEED, Circuit Judges, and THOMPSON,* District Judge.

[1392] BRUCE R. THOMPSON, District Judge:

This is an appeal from an order holding defense counsel in contempt of court for tardiness. Annexed to this opinion is a transcript of the proceedings which states with precision exactly what occurred.

The Court’s oral adjudication was followed by a written order filed March 6, 1974, which parroted the oral findings in all material respects. The written order contains the following preface:

“After notifying Nicholas Allis, Esq., of the nature of the proceeding and after affording him an opportunity to consult with counsel and an opportunity for himself and counsel to be heard, the Court finds said Nicholas Allis, Esq., to have been in direct contempt of court and certifies that the Court saw and heard the conduct constituting the contempt and that it was committed in the actual presence of the Court.”

Thereafter, Allis filed a motion to vacate the contempt order and the motion was denied. This appeal followed.

It is probably too late for an effective argument that tardiness of counsel is punishable summarily under Rule 42(a), Federal Rules of Criminal Procedure, as conduct committed in the actual presence of the Court. Persuasive appellate court opinions have sustained the view that it is not counsel’s absence from the courtroom at the appointed hour which constitutes the contempt, if any. Sykes v. United States, 144 U.S.App.D.C. 53, 444 F.2d 928 (1971); In Re Lamson, 468 F.2d 551 (1st Cir. 1972); United States v. Willett, 432 F.2d 202 (4th Cir. 1970); United States v. Delahanty, 488 F.2d 396 (6th Cir. 1973). The import of these cases is that the contempt consists not in the absence from the courtroom but in the reasons for the attorney’s presence elsewhere, and the presence elsewhere was, of course, not in the actual presence of the Court, a requirement for summary disposition under Rule 42(a), Federal Rules of Criminal Procedure. The absence-presence contention has its fascinating aspects. We, nevertheless, agree with the conclusion reached in the Delahanty case, supra:

“We find that this matter should not have been dealt with summarily. While the absence of Appellants was obvious to the Court, the reasons for their absence were not. The Court did provide an opportunity for an explanation of their absence, but only after the Court had found Appellants to be in contempt. As the Supreme Court has stated, summary disposition of contempt under Rule 42(a) is ‘ “for exceptional circumstances” * * such as acts threatening the judge or disrupting a hearing or obstructing court proceedings.’ Harris v. United States, 382 U.S. 162, 164, 86 S.Ct. 352, 354, 15 L.Ed.2d 240 (1965). We find no exceptional circumstances in this case justifying summary disposition.” Delahanty, supra, at 398.

The Government relies primarily on In Re Gates, 156 U.S.App.D.C. 88, 478 F.2d 998 (1973), and In Re Niblack, 155 U.S.App.D.C. 174, 476 F.2d 930 (1973), which reject the Sykes and Willett, supra, rationale and proclaim tardiness of counsel to be summarily punishable as direct contempt in the actual presence of the Court. With this conclusion we respectfully disagree.

Absence (tardiness) alone is not contempt. The reasons for the default are important. A contempt is a wilful disregard or disobedience of public authority and the requisite wrongful intent may be inferred from an attorney’s reckless disregard of his obligations to the Court. Sykes, supra, at 930; Delahanty, supra, at 398. If an explanation for tardiness is made which is inconsistent with wilful disobedience, a hearing must be held, if the facts are disputed, or, if the explanation is accepted there is no contempt.

So, to the extent the district court relied upon Rule 42(a) for summary adjudication of misconduct in the actual presence of the Court, we believe it was in error. But the district court did not rely solely upon Rule 42(a). It notified Allis of the charges and afforded him the opportunity to consult [1393] with counsel and an opportunity for himself and counsel to be heard. The issue is whether this procedure was consonant with the requirements of Rule 42(b), Federal Rules of Criminal Procedure, which provides:

“(b) Disposition upon Notice and Hearing. A criminal contempt except as provided in subdivision (a) of this rule shall be prosecuted on notice. The notice shall state the time and place of hearing, allowing a reasonable time for the preparation of the defense, and shall state the essential facts constituting the criminal contempt charged and describe it as such. The notice shall be given orally by the judge in open court in the presence of the defendant or, on application of the United States attorney or of an attorney appointed by the court for that purpose, by an order to show cause or an order of arrest. The defendant is entitled to a trial by jury in any case in which an act of Congress so provides. He is entitled to admission to bail as provided in these rules. If the contempt charged involves disrespect to or criticism of a judge, that judge is disqualified from presiding at the trial or hearing except with the defendant’s consent. Upon a verdict or finding of guilt the court shall enter an order fixing the punishment.”

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In Re Nicholas R. Allis, 531 F.2d 1391 (9th Cir. 1976).

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