Source: https://supreme.justia.com/cases/federal/us/304/458/
Timestamp: 2019-04-23 16:20:19+00:00

Document:
1. A person charged with crime in a federal court is entitled by the Sixth Amendment to the assistance of counsel for his defense. P. 304 U. S. 462.
2. This right may be waived, but the waiver must be an intelligent one, and whether there was such must depend upon the particular facts and circumstances, including background, experience, and conduct of accused. P. 304 U. S. 464.
3. It is a duty of a federal court in the trial of a criminal case to protect the right of the accused to counsel, and, if he has no counsel, to determine whether he has intelligently and competently waived the right. It would be fitting that such determination be made a matter of record. P. 304 U. S. 465.
4. If the accused is not represented by counsel and has not competently and intelligently waived his constitutional right, the Sixth Amendment stands as a jurisdictional bar to a valid conviction and sentence depriving him of his life or his liberty. P. 304 U. S. 468.
5. The question whether the assistance of counsel was intelligently and competently waived by the prisoner at his trial may be determined in habeas corpus proceedings on proofs aliunde. P. 304 U. S. 467.
CERTIORARI, 303 U.S. 629, to review the affirmance of a judgment of the District Court discharging a writ of habeas corpus. See 13 F.Supp. 253.
"the peculiar circumstances surrounding the case and the desire of the court to afford opportunity to present any additional facts and views which petitioner desired to present."
Upon consideration of the second petition, the court found that it did "not substantially differ from the" first, "and for the reasons stated in the decision in that case" the second petition was also denied.
"to make the trial void and justify its annulment in a habeas corpus proceeding, but that they constituted trial errors or irregularities which could only be corrected on appeal."
feloniously uttering and passing four counterfeit twenty-dollar Federal Reserve notes and possessing twenty-one such notes. Both were then enlisted men in the United States Marine Corps, on leave. They were bound over to await action of the United States Grand Jury, but were kept in jail due to inability to give bail. January 21, 1935, they were indicted; January 23, 1935, they were taken to court, and there first given notice of the indictment; immediately were arraigned, tried, convicted and sentenced that day to four and one-half years in the penitentiary, and January 25, were transported to the Federal Penitentiary in Atlanta. While counsel had represented them in the preliminary hearings before the commissioner in which they -- some two months before their trial -- were bound over to the Grand Jury, the accused were unable to employ counsel for their trial. Upon arraignment, both pleaded not guilty, said that they had no lawyer, and -- in response to an inquiry of the court -- stated that they were ready for trial. They were then tried, convicted and sentenced, without assistance of counsel.
"Both petitioners lived in distant cities of other states, and neither had relatives, friends, or acquaintances in Charleston. Both had little education, and were without funds. They testified that they had never been guilty of nor charged with any offense before, and there was no evidence in rebuttal of these statements. [Footnote 5]"
"I tried to speak to the jury after the evidence was in during my trial over in the Eastern District of South Carolina. I told the jury, 'I don't consider myself a hoodlum as the District Attorney has made me out several times.' I told the jury that I was not a native of New York as the District Attorney stated, but was from Mississippi, and only stationed for government service in New York. I only said fifteen or twenty words. I said I didn't think I was a hoodlum, and could not have been one of very long standing because they didn't keep them in the Marine Corps."
"I objected to one witness' testimony. I didn't ask him any questions, I only objected to his whole testimony. After the prosecuting attorney was finished with the witness, he said, 'Your witness,' and I got up and objected to the testimony on the grounds that it was all false, and the Trial Judge said any objection I had I would have to bring proof or disproof."
". . . were remanded to jail, where they asked the jailer to call a lawyer for them, but were not permitted to contact one. They did not, however, undertake to get any message to the judge. "
". . . January 25th, they were transported by automobile to the Federal Penitentiary in Atlanta, Ga. arriving . . . the same day."
"There, as is the custom, they were placed in isolation and so kept for sixteen days without being permitted to communicate with anyone except the officers of the institution, but they did see the officers daily. They made no request of the officers to be permitted to see a lawyer, nor did they ask the officers to present to the trial judge a motion for new trial or application for appeal or notice that they desired to move for a new trial or to take an appeal."
"On May 15, 1935, petitioners filed applications for appeal which were denied because filed too late."
". . . right to be heard would be, in many cases, of little avail if it did not comprehend the right to be heard by counsel. Even the intelligent and educated layman has small and sometimes no skill in the science of law. If charged with crime, he is incapable, generally, of determining for himself whether the indictment is good or bad. He is unfamiliar with the rules of evidence. Left without the aid of counsel, he may be put on trial without a proper charge, and convicted upon incompetent evidence, or evidence irrelevant to the issue or otherwise inadmissible. He lacks both the skill and knowledge adequately to prepare his defence, even though he have a perfect one. He requires the guiding hand of counsel at every step in the proceedings against him. [Footnote 10]"
The Sixth Amendment withholds from federal courts, [Footnote 11] in all criminal proceedings, the power and authority to deprive an accused of his life or liberty unless he has or waives the assistance of counsel.
Two. There is insistence here that petitioner waived this constitutional right. The District Court did not so find. It has been pointed out that "courts indulge every reasonable presumption against waiver" of fundamental constitutional rights, [Footnote 12] and that we "do not presume acquiescence in the loss of fundamental rights." [Footnote 13] A waiver is ordinarily an intentional relinquishment or abandonment of a known right or privilege. The determination of whether there has been an intelligent waiver of the right to counsel must depend, in each case, upon the particular facts and circumstances surrounding that case, including the background, experience, and conduct of the accused.
Patton v. United States, 281 U. S. 276, decided that an accused may, under certain circumstances, consent to a jury of eleven and waive the right to trial and verdict by a constitutional jury of twelve men. The question of waiver was there considered on direct appeal from the conviction, and not by collateral attack on habeas corpus. However, that decision may be helpful in indicating how, and in what manner, an accused may -- before his trial results in final judgment and conviction -- waive the right to assistance of counsel. The Patton ease noted approvingly a state court decision [Footnote 14] pointing out that the humane policy of modern criminal law had altered conditions which had existed in the "days when the accused could not testify in his own behalf, [and] was not furnished Counsel," and which had made it possible to convict a man when he was "without money, without counsel, without ability to summon witnesses and not permitted to tell his own story, . . ."
The constitutional right of an accused to be represented by counsel invokes, of itself, the protection of a trial court in which the accused -- whose life or liberty is at stake -- is without counsel. This protecting duty imposes the serious and weighty responsibility upon the trial judge of determining whether there is an intelligent and competent waiver by the accused. While an accused may waive the right to counsel, whether there is a proper waiver should be clearly determined by the trial court, and it would be fitting and appropriate for that determination to appear upon the record.
"It is unfortunate if petitioners lost their right to a new trial through ignorance or negligence, but such misfortune cannot give this Court jurisdiction in a habeas corpus case to review and correct the errors complained of."
"power to inquire with regard to the jurisdiction of the inferior court, either in respect to the subject matter or to the person, even if such inquiry . . . [involves] an examination of facts outside of, but not inconsistent with, the record. [Footnote 18]"
". . . effect is to substitute for the bare legal review that seems to have been the limit of judicial authority under the common law practice, and under the Act of 31 Car. II, c. 2, a more searching investigation, in which the applicant is put upon his oath to set forth the truth of the matter respecting the causes of his detention, and the court, upon determining the actual facts, is to 'dispose of the party as law and justice require.'"
"There being no doubt of the authority of the Congress to thus liberalize the common law procedure on habeas corpus in order to safeguard the liberty of all persons within the jurisdiction of the United States against infringement through any violation of the Constitution or a law or treaty established thereunder, it results that, under the sections cited, a prisoner in custody pursuant to the final judgment of a state court of criminal jurisdiction may have a judicial inquiry in a court of the United States into the very truth and substance of the causes of his detention, although it may become necessary to look behind and beyond the record of his conviction to a sufficient extent to test the jurisdiction of the state court to proceed to a judgment against him. . . . "
". . . it is open to the courts of the United States upon an application for a writ of habeas corpus to look beyond forms and inquire into the very substance of the matter. . . . [Footnote 20]"
Petitioner, convicted and sentenced without the assistance of counsel, contends that he was ignorant of his right to counsel, and incapable of preserving his legal and constitutional rights during trial. Urging that -- after conviction -- he was unable to obtain a lawyer; was ignorant of the proceedings to obtain new trial or appeal and the time limits governing both, and that he did not possess the requisite skill or knowledge properly to conduct an appeal, he says that it was -- as a practical matter -- impossible for him to obtain relief by appeal. If these contentions be true in fact, it necessarily follows that no legal procedural remedy is available to grant relief for a violation of constitutional rights unless the courts protect petitioner's rights by habeas corpus. Of the contention that the law provides no effective remedy for such a deprivation of rights affecting life and liberty, it may well be said -- as in Mooney v. Holohan, 294 U. S. 103, 294 U. S. 113 -- that it "falls with the premise." To deprive a citizen of his only effective remedy would not only be contrary to the "rudimentary demands of justice," [Footnote 21] but destructive of a constitutional guaranty specifically designed to prevent injustice.
right to assistance of counsel. If, in a habeas corpus hearing, he does meet this burden and convinces the court by a preponderance of evidence that he neither had counsel nor properly waived his constitutional right to counsel, it is the duty of the court to grant the writ.
In this case, petitioner was convicted without enjoying the assistance of counsel. Believing habeas corpus was not an available remedy, the District Court below made no findings as to waiver by petitioner. In this state of the record, we deem it necessary to remand the cause. If -- on remand -- the District Court finds from all of the evidence that petitioner has sustained the burden of proof resting upon him and that he did not competently and intelligently waive his right to counsel, it will follow that the trial court did not have jurisdiction to proceed to judgment and conviction of petitioner, and he will therefore be entitled to have his petition granted. If petitioner fails to sustain this burden, he is not entitled to the writ.
The cause is reversed and remanded to the District Court for action in harmony with this opinion.
MR. JUSTICE REED concurs in the reversal.
MR. JUSTICE McREYNOLDS is of opinion that the judgment of the court below should be affirmed.
MR. JUSTICE BUTLER is of the opinion that the record shows that petitioner waived the right to have counsel, that the trial court had jurisdiction, and that the judgment of the Circuit Court of Appeals should be affirmed.
Opinion of the District Judge, 13 F.Supp. 253, 254.
13 F.Supp. at 256; see Rules of Practice and Procedure (Criminal Appeals Rules), adopted May 7, 1934, II, III.
Cf. Palko v. Connecticut, 302 U. S. 319, 302 U. S. 325.
Patton v. United States, 281 U. S. 276, 281 U. S. 308.
Powell v. Alabama, 287 U. S. 45, 287 U. S. 68, 69.
Aetna Ins. Co. v. Kennedy, 301 U. S. 389, 301 U. S. 393; Hodges v. Easton, 106 U. S. 408, 106 U. S. 412.
Ohio Bell Telephone Co. v. Public Utilities Comm'n, 301 U. S. 292, 301 U. S. 307.
Hack v. State, 141 Wis. 346, 351, 124 N.W. 492.
Cf. 28 U. S. 3 Pet.193; Knewal v. Egan, 268 U. S. 442; Harlan v. McGourin, 218 U. S. 442.
Woolsey v. Best, 299 U. S. 1, 299 U. S. 2.
Frank v. Mangum, 237 U. S. 309, 237 U. S. 327.
In re Mayfield, 141 U. S. 107, 141 U. S. 116; Cuddy, Petitioner, 131 U. S. 280.
28 U.S.C. ch. 14, § 451, et seq.
Frank v. Mangum, supra, 237 U. S. 330, 237 U. S. 331; cf. Moore v. Dempsey, 261 U. S. 86; Mooney v. Holohan, 294 U. S. 103; Hans Nielsen, Petitioner, 131 U. S. 176.
Cf. Mooney v. Holohan, supra, 294 U. S. 112.
Cf., Frank v. Mangum, supra, 237 U. S. 327.
Cf. Moore v. Dempsey, 261 U. S. 86, 261 U. S. 92; Patton v. United States, 281 U. S. 276, 281 U. S. 312, 281 U. S. 313.

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