United States v. William E. Sullivan

406 F.2d 180, 1969 U.S. App. LEXIS 9217
CourtCourt of Appeals for the Second Circuit
DecidedJanuary 23, 1969
Docket174, Docket 32520
StatusPublished
Cited by52 cases

This text of 406 F.2d 180 (United States v. William E. Sullivan) 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. William E. Sullivan, 406 F.2d 180, 1969 U.S. App. LEXIS 9217 (2d Cir. 1969).

Opinions

J. JOSEPH SMITH, Circuit Judge:

This is an appeal from a judgment of the United States District Court for the Southern District of New York, on trial to the court, jury waived, Edward C. McLean, Judge, convicting appellant of violation of 18 U.S.C. § 495 by forging and uttering a check of the United States, and sentencing him to two concurring terms of one year’s imprisonment. We find no error and affirm the judgment.

The issues on appeal are Sullivan’s competence to stand trial, and the existence of the requisite criminal intent under the statute. The testimony of the government’s witnesses established that appellant forged a United States government check made out to Sue Vecera, Columbia, Pennsylvania, as payee, and that he attempted to cash the check, at a Greyhound Bus ticket window at the Port Authority Bus Terminal in Manhattan.

On the afternoon of December 6, 1967, appellant asked ticket agent Janthor to cash the government check, which was endorsed at an incorrect place on the reverse side. In response to Janthor’s request for identification, appellant first stated that he had none and then said that he was sales manager of a newspaper and that the check was his wife’s, showing some pink slips which had the name of no person thereon. Janthor testified that although appellant was sloppy and dirty and looked like a derelict, appellant’s speech was not slurred, he did not stagger, and he “wasn’t what you’d call drunk.” Detective Pagano, who watched appellant enter the bus terminal, testified that Sullivan walked normally, and was responsive and coherent during a subsequent conversation in the squad room where he was arrested for loitering. Detective MeCarroll corroborated Paga-no’s opinion that Sullivan was not drunk, although he smelled of alcohol, adding that on the few occasions MeCarroll had seen appellant previously, he had been intoxicated.

Appellant, testifying on his own behalf, stated that he had been treated with paraldehyde at Bellevue several times to aid his drinking problem. He testified further that he did not recall a conversation with Pagano nor going to the squad room, and stated that he did not attempt to cash a check. On cross-examination Sullivan testified that his poor memory was due to his being an alcoholic.

Prior to trial, at the request of the defense, appellant was committed for psychiatric examination at Bellevue Hospital on the question of whether he was competent to stand trial. Dr. Jason Miller’s report of April 4, 19681 stated that [183]*183he diagnosed Sullivan to be a chronic alcoholic, with a spotty memory and poor insight and judgment. The report also indicated that Sullivan denied any recollection of the charge, but wished to stand trial to prove his innocence.

Pursuant to a court order of April 19 for an additional examination, a report of Dr. Goldin was filed stating that Sullivan “was oriented to time, place and person. He was able to articulate the nature of the legal charges which have been made against him and demonstrated an understanding of the legal proceedings in which he is currently involved.” The report, dated May 3, 1968,2 concluded [184]*184that appellant is “capable of understanding the charges against him and of assisting in his own defense.” Dr. Goldin submitted an additional report on May-10, 1968,3 in response to a request by the United States Attorney’s Office for a [185]*185diagnosis on the issue of Sullivan’s memory of events:

“Mr. Sullivan when questioned directly about the act he is alleged to have committed, could not recall the commission of such an act. However, by history on his own admission he was an alcoholic and there is the possibility, not within my professional competence to ascertain, that he suffered from an altered state of consciousness at the time with consequent amnesia for any behavior at such time. Such fact-finding is beyond my professional competence. However, on clinical examination, I did not find any gross memory impairment and do not believe that a general memory deficit is present that would render this individual incompetent. * * * Aside from his inability to recall on request the event in question, his recollection of the past was not grossly damaged.”

Based on these reports, appellant was deemed competent to stand trial. The reports, as well as the testimony of the witnesses, were also relied upon by defense counsel in a motion, at the close of trial, for a mistrial on the ground that appellant was unable to form the specific intent required by both counts of the indictment. The Court denied the motion.

I.

No part of a criminal proceeding may be proceeded with against a defendant who is at the time “insane or otherwise so mentally incompetent as to be unable to understand the proceedings against him or properly to assist in his own defense * * * ” 18 U.S.C. § 4244. The test under the statute is stated in Dusky v. United States, 362 U.S. 402, 80 S.Ct. 788, 4 L.Ed.2d 824 (1960):

[The] test must be whether he has sufficient present ability to consult with his lawyer with a reasonable degree of rational understanding — and whether he has a rational as well as factual understanding of the proceedings against him.

The reports and testimony indicate that appellant was in fact competent. Dr. Goldin specifically concluded that Sullivan was capable of understanding and articulating the charges against him and assisting in his own defense.

Appellant contends that his lack of memory as to the relevant events made him unable to confer with counsel and to assist in the preparation of a defense in any meaningful sense. A court is unable, however, to probe Sullivan’s mind to determine the extent of his memory of the facts in this case, and must determine the issue from the evidence of his behavior and the opinions of the expert witnesses. Appellant did not, according to Dr. Goldin, have any gross memory impairment, and it was not found that he was unable to advise his counsel concerning the events of the case as known to him.

Judge McLean was able to observe Sullivan’s condition in court and on the stand at the time of trial. On his own observation, and on the doctors’ reports in evidence, he concluded that Sullivan did, understand the nature of the proceedings and was able to consult rationally with his attorney. We cannot say on this record that this conclusion was erroneous.

If in fact he had developed an amnesia preventing his recollection of the events of the day in question, this would not in itself be a complete defense to the charges. There were other witnesses to the events who could and did testify. At the time of trial, Sullivan was capable of understanding the charges and assist in the conduct of the trial. We cannot say that in these circumstances an amnesia for the events in question, if it were found that it actually existed, whether caused by drinking on the day in question or at a later date or dates (Sullivan was out on bail for a period after arrest), or by later trauma, must [186]*186constitute a defense to criminal prosecution for acts committed in an apparently sober and competent interlude.

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Bluebook (online)
406 F.2d 180, 1969 U.S. App. LEXIS 9217, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-william-e-sullivan-ca2-1969.