United States v. Palos

20 C.M.A. 104, 20 USCMA 104, 42 C.M.R. 296, 1970 CMA LEXIS 693, 1970 WL 7078
CourtUnited States Court of Military Appeals
DecidedNovember 6, 1970
DocketNo. 22,991
StatusPublished
Cited by28 cases

This text of 20 C.M.A. 104 (United States v. Palos) is published on Counsel Stack Legal Research, covering United States Court of Military Appeals primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Palos, 20 C.M.A. 104, 20 USCMA 104, 42 C.M.R. 296, 1970 CMA LEXIS 693, 1970 WL 7078 (cma 1970).

Opinions

Opinion of the Court

Quinn, Chief Judge:

At his request, the accused was tried by a military judge sitting as a special court-martial without court members. He pleaded guilty to the charge and its specifications consisting of four unauthorized absences, in violation of Article 86, Uniform Code of Military Justice, 10 USC § 886, and was sentenced to a bad-conduct discharge, confinement at hard labor for two months, and accessory penalties. Two errors are alleged.

First, the accused contends that his plea of guilty should not have been accepted because the judge did not formally find, and note for the record, that the accused made a knowing, intelligent and conscious waiver of the right to a trial of the facts by a court-martial composed of an appropriate number of court members, and of the right to confront and cross-examine adverse witnesses and the right not to incriminate himself. See United States v Care, 18 USCMA 535, 40 CMR 247 (1969). The Government maintains that the judge’s personal examination of the accused as to his rights as an accused, which is set out as Appendix A to this opinion, manifests the judge’s conclusion that the plea of guilty was understandingly and voluntarily entered by the accused.

For various reasons, more comprehensive procedures than previously utilized have been instituted to insure that an accused who proposes to plead guilty fully understands the nature of the charge against him, the meaning and eifect of a plea of guilty, and that he has complete freedom to choose whether or not to enter a plea of guilty. One of the major objectives was to guard against inadvertent waiver by the accused of constitutional and statutory rights. This Court addressed itself to the matter in United States v Chancelor, 16 USCMA 297, 36 CMR 453 (1966). Additional guidelines were indicated as necessary supplements to the procedure specified in the Manual for Courts-Martial, United States, 1951. We returned to the matter in Care to refine the nature and scope of the personal examination that should be made of the accused to insure that the record of trial properly reflects his understanding, and his voluntary and intelligent waiver, of his constitutional and statutory rights.

United States v Care, supra, postulated that, before a plea of guilty be accepted, the record of trial must reflect that “the elements of each offense charged have been explained to the accused” and that the military judge “questioned the accused about what he did or did not do, and what he intended (where this is pertinent).” Id., at page 541. The extract of the personal examination of the accused by the judge in this case, which is set out in the Appendix, demonstrates the accused received a full explanation of the elements of the offense, and that he freely acknowledged he committed the acts charged. Care also required, as a precondition to acceptance of a guilty plea, that the military judge advise the accused “personally” that his plea “waives his right against self-incrimination, his right to a trial of the facts by a court-martial, and his right to be confronted by the witnesses against him.” Id., at page 541. The judge’s examination here demonstrates the accused was informed of these matters, and that he desired to waive the rights he would otherwise have at trial by entering a plea of guilty. As far as the requisites of the examination are concerned, therefore, the trial judge complied with Care.

[106]*106Beyond delineation of the nature and scope of the preliminary examination of the accused, Care also commented on the affirmative duty of the trial judge to “make a finding that there is a knowing, intelligent, and conscious waiver” by the accused of his rights; but it said nothing about the manner in which the finding should be indicated on the record. Id., at page 542. According to the accused, unless “express words . . . setting forth” the judge’s findings of fact are specifically and formally entered in the record, “the appellate courts can not know” whether he actually found the essential facts. The United States Navy Court of Military Review rejected a similar contention in United States v Smart, No. 70-0473 (NCMR April 20, 1970).

The reference in Care to “a finding” by the judge as to the accused’s waiver of his trial rights was predicated upon the Manual provision that the court “should not accept the plea without first determining that it is made voluntarily with understanding of the nature of the charge.” Manual for Courts-Martial, United States, 1951, paragraph 70a, at page 107. Substantially the same language appears in the 1969 Manual, which was in effect at the trial of this case. Manual for Courts-Martial, United States, 1969 (Revised edition), paragraph 70a, at page 12-9. See United States v Care, supra, at page 541.

The Manual provision is almost identical with that provided in Rule 11, Federal Rules of Criminal Procedure. We may, therefore, look to Federal civilian court decisions on Rule 11 for guidance. United States v Knudson, 4 USCMA 587, 590, 16 CMR 161 (1954). Previous to amendments made in 1966, Rule 11 provided that the court “shall not accept the plea [of guilty] without first determining that the plea is made voluntarily with understanding of the nature of the charge.” Other conditions tc the acceptance of a plea were specified in 1968, but the language defining the duty to determine the voluntariness of the plea of guilty and the accused’s understanding of its effects remained unchanged. Since the language remained the same, the earlier judicial gloss on Rule 11 would appear to be still valid.

Several Courts of Appeals have considered the provision as contained in the pre-1966 version of the rule. Consistently, they held that the trial judge did not have to state, expressly and formally, on the record that he had determined from his examination of the accused that the plea of guilty was voluntary and that the accused understood the nature of the offense and the meaning and effect of a plea of guilty. Nunley v United States, 294 F2d 579, 580 (CA 10th Cir) (1961), certiorari denied, 368 US 991, 7 L Ed 2d 527, 82 S Ct 607 (1962); Bone v United States, 351 F2d 11 (CA 8th Cir) (1965); Bongiorno v United States, 424 F2d 373 (CA 8th Cir) (1970). In Bongiorno, the Court of Appeals said:

“. . . Rule 11 as it stood at the time of defendant’s conviction to the extent here material reads: ‘The court may refuse to accept a plea of guilty, and shall not accept the plea without first determining that the plea was made voluntarily with understanding of the nature of the charge.’ In interpreting Rule 11 as it stood at the time of defendant’s conviction, courts have frequently held that while Rule 11 imposes on the sentencing court the responsibility of making certain that voluntar-iness and understanding of the nature of the charge exists, there is no requirement that the court enter a formal finding or recitation to that effect and there is no requirement that a particular form or ritual be followed.” [Citing cases.] [Id., at page 374.]

In McCarthy v United States, 394 US 459, 22 L Ed 2d 418, 89 S Ct 1166 (1969), the Supreme Court invalidated the acceptance of a plea of guilty for failure of the trial judge to comply with Rule 11. However, the Court did not consider the matter in issue in this case. Since the Court undertook to review in extenso

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Bluebook (online)
20 C.M.A. 104, 20 USCMA 104, 42 C.M.R. 296, 1970 CMA LEXIS 693, 1970 WL 7078, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-palos-cma-1970.