United States v. Duane Thomas McMains

540 F.2d 387, 38 A.L.R. Fed. 464, 1976 U.S. App. LEXIS 7773
CourtCourt of Appeals for the Eighth Circuit
DecidedJuly 30, 1976
Docket76-1091
StatusPublished
Cited by81 cases

This text of 540 F.2d 387 (United States v. Duane Thomas McMains) is published on Counsel Stack Legal Research, covering Court of Appeals for the Eighth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Duane Thomas McMains, 540 F.2d 387, 38 A.L.R. Fed. 464, 1976 U.S. App. LEXIS 7773 (8th Cir. 1976).

Opinions

ROSS, Circuit Judge.

The United States appeals from a district court order directing that all records of Duane Thomas McMains’ 1971 federal conviction for misprision of a felony be expunged.

In 1971 an Information was filed in the district court, charging McMains with concealing and failing to report a robbery of a federally insured bank, in violation of 18 U.S.C. § 4. McMains entered a plea of guilty and was sentenced to three years probation under the Federal Youth Correc[388]*388tions Act, 18 U.S.C. § 5005 et seq.1 Thereafter, in January 1974 he was unconditionally discharged from probation. Under 18 U.S.C. § 5021(b) McMains’ discharge from probation operated to automatically “set aside” his conviction.

In August 1975 McMains submitted a letter to the district court requesting that the record of his conviction be expunged. In an ex parte order the court granted the relief sought, finding implicit authority therefor in 18 U.S.C. § 5021(b). Thereafter, the United States moved for reconsideration of the order. The motion was overruled and this appeal followed.

The government contends that the district court lacked authority to expunge the record of McMains’ conviction. It argues that expunction is permissible only where authorized by statute, or, in extraordinary cases, where equitable principles warrant such relief, and that neither of those criteria is satisfied here. McMains contends that the court’s order was proper, both under the Youth Corrections Act, and as an exercise of its inherent equitable powers.

A. The Youth Corrections Act.

The Youth Corrections Act was designed as a sentencing alternative whereby youthful offenders showing promise of becoming useful citizens would be provided with a program of treatment aimed at rehabilitating them and restoring normal behavior patterns. See Dorszynski v. United States, 418 U.S. 424, 432-34, 94 S.Ct. 3042, 41 L.Ed.2d 855 (1974); H.R.Rep. No. 2979, 81st Cong., 2d Sess., 2 U.S.Code Cong.Serv. p. 3983 (1950). One of the benefits available to an offender sentenced under the Act is that he may, upon successful completion of the treatment program, have his conviction “set aside.” See 18 U.S.C. § 5021, which provides:

(a) Upon the unconditional discharge by the division of a committed youth offender before the expiration of the maximum sentence imposed upon him, the conviction shall be automatically set aside and the division shall issue to the youth offender a certificate to that effect.
(b) Where a youth offender has been placed on probation by the court, the court may thereafter, in its discretion, unconditionally discharge such youth offender from probation prior to the expiration of the maximum period of probation theretofore fixed by the court, which discharge shall automatically set aside the conviction, and the court shall issue to the youth offender a certificate to that effect.

The offender is thus spared at least part of the stigma ordinarily attendant to a criminal conviction.

McMains contends that section 5021 should be read to authorize expunction of the record of the conviction as well as the conviction itself. He argues that such a construction is necessary to effectuate the rehabilitative goals of the Act.

Cases which have directly considered the question of record expunction. under the Youth Corrections Act reflect divergent viewpoints. A few have indicated, in dictum, that the statute authorizes it, reasoning that record expunction is necessary to fulfill the statutory purposes. See United States v. Fryer, 402 F.Supp. 831 (N.D. Ohio 1975); United States v. Glasgow, 389 F.Supp. 217, 224 n. 17 (D.D.C.1975). See also Tatum v. United States, 114 U.S.App. D.C. 49, 310 F.2d 854, 856 (1962). The only court which has been squarely presented with the issue, however, reached the opposite conclusion. Fite v. Retail Credit Co., 386 F.Supp. 1045, 1047 (D.Mont.1975).

Commentators who have addressed the question are also in disagreement. Compare Gough, The Expungement of Adjudication Records of Juvenile and Adult Offenders: A Problem of Status, 1966 Wash. U.L.Q. 147, 151-52 (Act is clearly not an expunging statute) with Schaefer, The Federal Youth Corrections Act: The Purposes and Uses of Vacating the Conviction, 39 Fed.Probation 31 (Sept.1975) (section 5021 should be read as providing for complete record expungement).

[389]*389The legislative history underlying the Act is similarly inconclusive. Three witnesses touched on the subject of record expunction under the Act in testimony before a Senate subcommittee. Judge Bolitha J. Laws testified:

Committed youth offenders who earn their final discharges before the end of their maximum term have their records cleared and all their civil rights restored.

Hearings on S. 1114 and S. 2609 Before a Subcomm. of the Senate Comm, on the Judiciary, 81st Cong., 1st Sess. 14 (1949). Judge Laws later stated:

When the Division turns them out ahead of their maximum sentence, this law blots out their sentence and lets them go without any stigma on their life * *.

Id. at 19. Similar sentiments were expressed by Judge John J. Parker:

[Tjhere is one feature in this bill which is very salutary and that is that if the youth offender is reclaimed in the opinion of the Board and they decide to release him, they can strike out the sentence imposed upon him and completely set aside his conviction so that he will not have a criminal record staring him in the face.

Id. at 45. A contrary view, however, was offered by Judge Orie L. Phillips:

Well, of course the act does provide for the wiping out of the conviction if the youth is discharged, rehabilitated and behaves himself after his period of supervision. The purpose of that is to help him get a job and keep him from having to be turned down by a prospective employer because of the fact that he has had a conviction. It does not entirely remove the difficulty but he can say to the prospective employer, “I have gone through this thing. They think I am rehabilitated and they have given me this clearance and I think I am rehabilitated and can make good.”

Id. at 70.

On the basis of our own reading of the statutory language, in light of the purposes sought to be achieved by the Act, we hold that the Act does not authorize ex-punction of the record of a conviction which has been set aside pursuant to section 5021. First, the language of section 5021 does not plainly provide for record expunction.

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Bluebook (online)
540 F.2d 387, 38 A.L.R. Fed. 464, 1976 U.S. App. LEXIS 7773, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-duane-thomas-mcmains-ca8-1976.