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United States v. Simon Lee Holmes
Citations: 840 F.2d 246; 1988 U.S. App. LEXIS 2391; 1988 WL 13470Docket: 87-5066
Court: Court of Appeals for the Fourth Circuit; February 25, 1988; Federal Appellate Court
Simon Lee Holmes appeals his conviction for making a false statement under 18 U.S.C. § 1001, arguing that his guilty plea should be withdrawn because his actions do not constitute a violation of the statute. Holmes was arrested for illegal gambling and, during a proceeding before a United States Magistrate, he falsely identified himself as "Charles Holmes," his brother's name, fearing repercussions on his state parole. He was indicted on two counts of violating § 1001 based on his false signatures on a consent form and a financial statement. Holmes pled guilty to the first count, leading to a sentence of five years imprisonment. On appeal, Holmes contends that the false statement made in the context of a judicial proceeding does not fall within the jurisdiction of § 1001. The court, however, affirms the conviction, stating that a United States Magistrate's court qualifies as a "department or agency" under § 1001. It distinguishes that while statements made in judicial functions may not be subject to § 1001, false statements made during the administrative functions of a judicial official do violate the statute. Thus, the court maintains that Holmes' false statement was appropriately prosecuted under § 1001. Holmes' statement is classified as administrative, primarily because signing a standardized consent form is inherently administrative in nature. The magistrate's inquiry into Holmes' identity was an administrative function rather than a judicial one. Consequently, Holmes' statement fell under the jurisdiction of 18 U.S.C. § 1001, which penalizes false statements made in matters within federal agency jurisdiction. Holmes contends that the "exculpatory no" doctrine should protect him from sanctions under § 1001. This doctrine, a judicially created exception, applies to exculpatory responses to investigative questions that could lead to criminal implications for the defendant. However, the court notes that it has not yet decided whether to adopt this doctrine. Even so, the court finds that Holmes' false signature does not satisfy the criteria for the doctrine's application. Specifically, a truthful response from Holmes would not have incriminated him but would merely have revealed information pertinent to his sentencing, which does not meet the doctrine's requirement. Additionally, the routine determination of a defendant's identity does not qualify for the "exculpatory no" doctrine. Given these considerations, the district court's judgment is affirmed, confirming that Holmes' actions constituted a violation of the statute. The court also emphasizes its jurisdiction to review the plea's validity, affirming that there was a sufficient factual basis for the plea, associated with the undisputed facts of the case. In Morgan, the defendant misrepresented himself as a licensed attorney, leading to a conviction under section 1001, which he appealed by arguing that the court did not qualify as an "agency" under the statute. The court upheld the conviction, clarifying that the statute applied to actions involving administrative or housekeeping functions rather than judicial functions, a distinction that has been widely accepted in subsequent cases. Key points derived from the ruling include: (1) false statements must not relate to claims of privilege or against the government; (2) they must be made in response to inquiries from a federal agency; (3) they must not impair the agency's basic legal functions; (4) they should occur within an investigation context, not a routine administrative setting; and (5) they must be made where truthfulness would incriminate the declarant. Additionally, the court dismissed Holmes' claim of improper pressure to plead guilty, asserting that the prosecutor's charging of two counts, despite one offense, did not constitute coercion.