Bye v. United States

53 F.R.D. 354, 1971 U.S. Dist. LEXIS 12736
CourtDistrict Court, S.D. New York
DecidedJune 23, 1971
DocketNo. 69 Civ. 3440
StatusPublished

This text of 53 F.R.D. 354 (Bye v. United States) is published on Counsel Stack Legal Research, covering District Court, S.D. New York primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Bye v. United States, 53 F.R.D. 354, 1971 U.S. Dist. LEXIS 12736 (S.D.N.Y. 1971).

Opinion

OPINION

COOPER, District Judge.

Our Circuit, in Bye v. United States, 435 F.2d 177, “first announced” 1 as the controlling rule in this district that a narcotic offender’s ineligibility for parole is a consequence of his plea of guilty, and a court’s omission to so inform defendant at the time of accepting the plea constitutes a failure to comply with Rule 11, F.R.Crim.P.2 Accordingly, the Court remanded this litigation3 for a factual hearing on petitioner’s claim that at the time he pleaded guilty he was unaware of his parole ineligibility, and squarely placed upon the Government the burden “of proving that his guilty plea was entered voluntarily with an understanding of the consequences of the plea.”4 435 F.2d at 181.

On the basis of the papers before us and the evidence adduced at the hearing on December 30, 31, 1970 and January 21, 28, 1971 we are constrained to and do conclude that the Government has been unable to satisfy (albeit by a close margin) this burden of proof.

Parole Information Prior to Guilty Plea

Arthur Gruder, Bye’s counsel at the time of the plea, (Tr. 60)5 testified at the hearing that he first became aware of a narcotic offender’s ineligibility for parole in 1969 when Bye’s present counsel contacted him in connection with this proceeding (Tr. 64, 69). Although we view it as remarkable, we are convinced [356]*356that Gruder in fact did not know of Bye’s ineligibility when petitioner entered his guilty plea, and accordingly could not have advised Bye of this consequence of the plea. Further, Gruder testified that in the course of a conversation with Bye shortly before his guilty plea was recorded, as in “practically every instance” of his representation of a criminal case defendant, he “admonished” Bye to “behave * * *. I told him that he would get credit for good time provided he behaved * * * and there would be a possibility that when he comes up for parole, if he behaves, they will look at him with a little favor.” (Tr. 66-7.) We consider Gruder’s affidavit of July 14, 1970 (Gov’t. Ex. 12) as seriously undermining his credibility as to this purported conversation with Bye;6 his most recent “recollection” is however a natural expression consistent with the overall “effectiveness of counsel” 7 with which petitioner was provided in 1966.

The only witness able to offer direct evidence that prior to his plea of guilty Bye was informed he would not be eligible for parole was Peter Scrocca, a group supervisor attached to the Bureau of Narcotics and Dangerous Drugs, and Bye’s arresting officer. (Tr. 243.) Because of the nature of the crucial issue before us, the exact phraseology of Scroc-ca’s testimony became critical. He testified;

“I can’t give you the exact words. I apprised Mr. Bye of his constitutional right, his right to counsel, the right to remain silent. I also advised him that the particular offense for which he’s going to be charged would carry a sentence of five to twenty years and that the minimum he would do in this particular case no matter what if convicted would carry a sentence of at least three years and eight months.” (Tr. 248.)

We find significant Scrocca’s failure, throughout his entire hearing testimony, to assert that he specifically advised Bye of a narcotics offender ineligibility for parole. (Tr. 251.) In fact, neither the express term “parole” nor the general concept of parole appear in his recounting of his statments to Bye at that time. Scrocca did testify that he informed Bye that “no matter what if convicted [he would have to serve] * * * at least 3 years and 8 months.” (Tr. 248, 258.) We cannot conclude that this brief statement is equivalent to advising a defendant of the full breadth of the consequence of parole ineligibility.

Additionally, Scrocca testified that it was his ordinary practice to discuss with an apprehended narcotic’s dealer that “with substantial cooperation” the Bureau might recommend a tax count charge and “the [resulting] possibility of receiving a suspended sentence and not going to jail at all.” (Tr. 264.) Although Scrocca could not recall engaging in a tax count discussion with Bye (Tr. 258), he did acknowledge Bye’s apparent “willingness to cooperate” at that time.8 (Tr. 258.)

We find noteworthy that Scrocca himself was misinformed as to the availability of parole in a tax count violation (Tr. 258-9; Petitioner’s Post-Hearing Memorandum, March 18, 1971, p. 6). [357]*357Although Bye’s codefendant Cordero was aware that availability of parole depended upon the particular statutory provision (Tr. 235), he likewise shared misconceptions as to the effects of a tax count conviction on the potential sentence.

Further, petitioner alleged that both his faculty to comprehend and remember what Scrocca had imparted was substantially impaired by drugs injected into him shortly before his arrest. (Tr. 419, 421.) Although Scrocca could not recall whether Bye evidenced any symptoms of narcotics addiction (Tr. 261), Bye’s allegation that he was “high” at the time of his arrest, receives some support from documentary evidence (Petitioner’s Ex. B) which Scrocca interpreted as “reflecting the fact that * * * Bye, was, in fact, an addict at the time of his arrest.” (Tr. 262.)

On the basis of this record as viewed in the context of Gruder’s testimony, we cannot conclude that Scrocca brought home to Bye the parole ineligibility feature of his prospective sentence.

Presumption Evidence

The Government sought to establish the presumption that a narcotics offender, as was Bye, involved in the drug traffic would necessarily be aware of the essence of criminal statutes forbidding such activities, and most particularly with punishment therefor as provided by law. Government’s Memorandum of Law, March 5, 1971, pp. 10-15. Petitioner repeatedly sought to exclude this form of evidence at the hearing (e. g. Tr. 48-49, 110) and continued to press the objection to the appropriateness of this form of proof in its post hearing argument. Petitioner’s Memorandum, pp. 4-5.

a In favor

The legitimacy of the inference the Government seeks to rely upon was expressly recognized by our Circuit in Wel-ton, supra, which found in the circumstances of Welton’s apprehension, “an unusually large amount [of heroin] * * justifies the inference that Welton was a large-scale smuggler who would have known the consequences of a federal conviction.” Welton, at 827 of 439 F.2d. Although Welton’s ten (10) pounds of heroin far “outweighs” Bye’s thirty (30) grams (Tr. 245), petitioner’s lengthy involvement in trafficking of narcotics (Tr. 229) justifies, on the facts before us, the operation of the presumption.

However, as we repeatedly emphasized at the hearing, and based upon the evidence adduced there, the weight accorded this form of evidene, in light of the particular factual surrounding of Bye’s plea of guilty, cannot be substantial. (Tr. 135-136, 158).

The hearing evidence as to the applicability of the presumption to Bye’s state of knowledge was equivocal at best.

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Related

McCarthy v. United States
394 U.S. 459 (Supreme Court, 1969)
Robert Bye v. United States
435 F.2d 177 (Second Circuit, 1970)
United States v. Thomas Welton
439 F.2d 824 (Second Circuit, 1971)
Frank Serrano v. United States
442 F.2d 923 (Second Circuit, 1971)
United States v. Caruso
280 F. Supp. 371 (S.D. New York, 1967)
Bye v. United States
309 F. Supp. 202 (S.D. New York, 1969)

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Bluebook (online)
53 F.R.D. 354, 1971 U.S. Dist. LEXIS 12736, Counsel Stack Legal Research, https://law.counselstack.com/opinion/bye-v-united-states-nysd-1971.