United States v. Gary Malcolm

432 F.2d 809, 1970 U.S. App. LEXIS 7227
CourtCourt of Appeals for the Second Circuit
DecidedSeptember 23, 1970
Docket34296_1
StatusPublished
Cited by166 cases

This text of 432 F.2d 809 (United States v. Gary Malcolm) is published on Counsel Stack Legal Research, covering Court of Appeals for the Second 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. Gary Malcolm, 432 F.2d 809, 1970 U.S. App. LEXIS 7227 (2d Cir. 1970).

Opinion

MacMAHON, District Judge:

The appellant, Gary Malcolm, then eighteen years old, was convicted upon his plea of guilty to the crime of bank robbery (18 U.S.C. § 2113(a)) and sentenced to a term of fifteen years on March 22, 1968. He moved the district court in September 1969 for vacation, correction or reduction of sentence or, in the alternative, to vacate his plea of guilty under Rule 35, Fed.R.Crim.P., and 28 U.S.C. § 2255. The motion was denied without a hearing, but after a review of the record, as completely without merit and frivolous.

Malcolm now appeals from the order of denial, asserting error in the district court’s dismissal of his petition without an evidentiary hearing on. his claims that: (1) he was mentally incompetent to plead guilty because he was then addicted and under the influence of drugs; (2) he was induced to plead guilty by the prosecutor’s unfulfilled promise to recommend sentence under the Federal Youth Corrections Act and (3) he was sentenced illegally because the sentencing judge stifled the prosecutor’s attempts to keep his promise, confused his criminal record and labored under a false assumption about his cooperation with city, state and federal authorities while refusing to hear evidence that he had rendered substantial assistance to the New York City police.

We first consider Malcolm’s challenge to the validity of his plea and conviction.

Essentially, Malcolm’s claim is that his plea of guilty was neither knowing nor voluntary. “A defendant who enters such a plea simultaneously waives several constitutional rights, including his privilege against compulsory self-incrimination, his right to trial by jury, and his right to confront his accusers. For this waiver to be valid under the Due Process Clause, it must be ‘an intentional relinquishment of a known right or privilege.’ Johnson v. Zerbst, 304 U.S. 458, 464, 58 S.Ct. 1019, 82 L.Ed. 1461 *812 (1938). Consequently, if a defendant’s guilty plea is not equally voluntary and knowing, it has been obtained in violation of due process and is therefore void.” McCarthy v. United States, 394 U.S. 459, 466, 89 S.Ct. 1166, 1171, 22 L.Ed.2d 418 (1969). Accordingly, a plea which is the tainted product of ignorance, incomprehension, coercion, terror, inducements, threats or promises is void. Boykin v. Alabama, 395 U.S. 238, 242-243, 89 S.Ct. 1709, 23 L.Ed.2d 274 (1969).

These safeguards of fundamental fairness make plain that Malcolm would be entitled to vacation of his plea and conviction if he proved that his mental faculties were so impaired by drugs when he pleaded that he was incapable of full understanding and appreciation of the charges against him, of comprehending his constitutional rights and of realizing the consequences of his plea. Sanders v. United States, 373 U.S. 1, 5-6, 19-20, 83 S.Ct. 1068, 10 L.Ed.2d 148 (1963). A plea in such circumstances is not a knowing, free and rational choice of the alternatives open to an accused and cannot be an intelligent waiver of constitutional rights. It would, therefore, offend due process. Boykin v. Alabama, supra; McCarthy v. United States, supra; Sanders v. United States, supra, 373 U.S. at 19-20, 83 S.Ct. 1068; Machibroda v. United States, 368 U.S. 487, 493, 82 S.Ct. 510, 7 L.Ed.2d 473 (1962); Kercheval v. United States, 274 U.S. 220, 223, 47 S.Ct. 582, 71 L.Ed. 1009 (1927).

The district court recognized these familiar principles but denied collateral relief without a hearing, because after review of the record it considered Malcolm’s allegations unsupported, wholly without merit and completely frivolous. The statute requires “a prompt hearing” when the allegations of deprivation of constitutional rights raise disputed issues of fact in order to “determine the issues and make findings of fact and conclusions of law” with respect to them “unless the motion and the files and records of the case conclusively show that the prisoner is entitled to no relief.” 28 U.S.C. § 2255; Sanders v. United States, supra, 373 U.S. at 6, 15, 83 S.Ct. at 1077; Townsend v. Sain, 372 U.S. 293, 83 S.Ct. 745, 9 L.Ed.2d 770 (1963); Machibroda v. United States, supra, 368 U.S. at 494, 82 S.Ct. 510; Note, Developments in the Law; Federal Habeas Corpus, 83 Harv.L.Rev. 1038 (1970). A hearing is not required, therefore, where the allegations are insufficient in law, undisputed, immaterial, vague, conclusory, palpably false or patently frivolous. Sanders v. United States, supra, 373 U.S. at 19, 83 S.Ct. 1068; Machibroda v. United States, supra, 368 U.S. at 494, 82 S.Ct. 510; Pennsylvania ex rel. Herman v. Claudy, 350 U.S. 116, 119, 76 S.Ct. 223, 100 L.Ed. 126 (1956).

With these principles in mind, we turn to the facts respecting Malcolm’s plea of guilty.

Malcolm was arraigned before the district court, Bartels, J., on January 25, 1968. His assigned counsel was relieved and retained counsel substituted. Following a brief conference between his attorney and the Assistant United States Attorney, Malcolm offered to plead guilty to count one of a two-count indictment. Malcolm was then personally interrogated by the judge, who first ascertained that he was eighteen years old but, despite his youth, did not inquire about addiction or recent use of drugs. The judge then read aloud count one charging Malcolm with knowing and wilful robbery of a bank, but he did not ask explicitly about each element of the crime, as- required by Rule 11, Fed.R.Crim.P. McCarthy v. United States, supra. Malcolm’s counsel, however, represented that he had advised him of the charges and Malcolm personally admitted to the judge that he understood them. 1 The judge proceeded to *813 advise him of his right to a jury trial, to be confronted with the witnesses against him, to summon witnesses in his behalf and of the consequences of his plea, including possible sentence under the Federal Youth Corrections Act as well as the maximum statutory penalty. Malcolm then pleaded guilty. He was then asked: “Has anyone made any threats or promises or statements to induce you to plead guilty to this count?” He answered: “No.” Replying to further questions, he said that he had discussed his plea with his attorney, that he was pleading guilty because he was guilty and for no other reason, and that he was doing so with full understanding of the consequence.

There is nothing in the form or content of the entire interrogation to suggest that Malcolm was under the influence of drugs or otherwise not in full possession of his mental faculties.

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Bluebook (online)
432 F.2d 809, 1970 U.S. App. LEXIS 7227, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-gary-malcolm-ca2-1970.