Source: https://supreme.justia.com/cases/federal/us/332/708/
Timestamp: 2019-04-26 01:44:34+00:00

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Upon an indictment for conspiracy to violate the Espionage Act of 1917, the penalty for which may be death or imprisonment for as long as 30 years, petitioner signed a paper purporting to waive her right to counsel, and pleaded guilty. She was sentenced to imprisonment for four years. In a subsequent habeas corpus proceeding challenging the validity of the sentence, she alleged (1) that the plea was entered because of coercion, intimidation, and deception by federal officers in violation of the due process clause of the Fifth Amendment, and (2) that she neither understandingly waived the benefit of the advice of counsel nor was provided with the assistance of counsel as required by the Sixth Amendment. The District Court heard the conflicting evidence offered by petitioner and the Government, found that petitioner had failed to prove either contention, and dismissed the writ. The Circuit Court of Appeals affirmed.
The judgment of the Circuit Court of Appeals is reversed, and that of the District Court is set aside. The cause is remanded to the District Court so that it may hold further hearings and give consideration to, and make explicit findings upon, the question whether the petitioner pleaded guilty in reliance upon the erroneous legal advice of a Government agent. If upon such further hearings and consideration, the District Court finds that the petitioner did not competently, intelligently, and with full understanding of the implications waive her constitutional right to counsel, an order should be entered directing that she be released from further custody under the judgment based on her plea. Pp. 332 U. S. 709-710, 332 U. S. 727.
the writ. The Circuit Court of Appeals affirmed. 161 F.2d 113. This Court granted certiorari. 331 U.S. 800. Reversed and remanded, p. 332 U. S. 727.
The petitioner was indicted for conspiracy to violate the Espionage Act of 1917. [Footnote 1] The specific charge was that, in order to injure the United States and to aid the German Reich, she and twenty-three others had conspired during the second World War to collect and deliver vital military information to German agents.
With no money to hire a lawyer and without the benefit of counsel, the petitioner appeared before a federal district judge, told him that the indictment had been explained to her, signed a paper stating that she waived the "right to be represented by counsel at the trial of this cause," and then pleaded guilty. Under her plea, she could have been sentenced to death or to imprisonment for not more than thirty years. After thirteen months in jail following her plea, the court sentenced her to four years in prison.
was invalid for two reasons: first, she alleged that the plea was entered by reason of the coercion, intimidation, and deception of federal officers in violation of the due process clause of the Fifth Amendment. Second, she alleged that she neither understandingly waived the benefit of the advice of counsel nor was provided with the assistance of counsel as required by the Sixth Amendment. As the Government concedes, these charges entitle the petitioner to have the issues heard and determined in a habeas corpus proceeding, and, if true, invalidate the plea and sentence. [Footnote 2] The District Court heard evidence offered by both the petitioner and the Government, and then found that she had failed to prove either contention. 72 F.Supp. 994. The Sixth Circuit Court of Appeals affirmed, with one judge dissenting. 161 F.2d 113.
On the basis of what he designated as "the undisputed evidence," the dissenting judge concluded that petitioner had pleaded guilty because of her reliance upon the legal advice of a Federal Bureau of Investigation (FBI) lawyer-agent, which advice "was, though honestly given, false." Neither the District Court nor the majority of the Circuit Court of Appeals controverted this conclusion of the dissenting judge. A challenge to a plea of guilty made by an indigent defendant, for whom no lawyer has been provided, on the ground that the plea was entered in reliance upon advice given by a government lawyer-agent, raises serious constitutional questions. Under these circumstances, we granted certiorari in this case. 331 U.S. 800.
in this case. We do not attempt to resolve these conflicts. Our conclusion is reached from the following facts shown by the testimony of government agents or by undisputed evidence offered by petitioner.
The petitioner was born in Germany. In that country, she bore the title of countess. She and her husband came to the United States in December, 1926. Since 1930, they have lived in Detroit, where the petitioner has been a housewife and her husband an instructor in German at Wayne University. Her husband is a naturalized citizen of the United States; her own naturalization papers have been pending for some time. They have four children, three of whom were born in this country as American citizens.
specially cared since his infancy, required a strict diet and injections twice daily.
September 1, eight days after her early morning arrest, petitioner was taken before an Enemy Alien Hearing Board. She was not then informed of any specific charges against her, but she was told that she could not be "represented by a legal attorney" at the hearing. The results of this hearing were not make known to her. At its conclusion, she was returned to the detention home.
September 18, the petitioner was handed the indictment against her. In our printed record, this document covers a little more than fourteen pages. It charges generally, in the language of the statute, that the twenty-four defendants conspired to violate the statute. It also enumerates forty-seven overt acts alleged to have been performed in pursuance of the objects of the conspiracy, five of which acts specifically refer to the petitioner. Four out of the five merely allege that the petitioner "met and conferred with" one or more of the other defendants; the fifth alleges that she "introduced" someone to one of the defendants.
that. But then he consented, just for the arraignment, to help out, and he came over to us -- we were sitting on the side bench, and he asked me, 'How do you want to plead?' I said, 'Not guilty.' And he asked Mrs. Leonhardt, and she said the same thing. So he told us that, he whispered to us, in fact he went over it, whispered that it would not be advisable, but I do not know even now why, but he suggested it would be proper to stand mute."
In this two- to five-minute whispered conversation (the lawyer said "a couple of minutes") the lawyer asked both defendants if they "understood what this was all about." They indicated that they did. He did not even see the indictment, did not inform the petitioner as to the nature of the charge against her or as to her possible defenses, and did not inquire if she knew the punishment that could be imposed for her alleged offense. The case on trial was then interrupted, the charge was made against the defendants, who stood mute, and a plea of not guilty was entered. With reference to their future representation by an attorney, the petitioner's uncontradicted testimony was that the judge "said he would appoint an attorney right away, and I understood that the gentleman was to be expected to come right away."
The two women, unable to get out on bond, were then immediately taken from the courthouse to the Wayne County jail. The matron there informed the petitioner that she had strict orders to hold the petitioner and Mrs. Leonhardt "incommunicado." Notwithstanding this order, however, the FBI agents continued to visit and talk with both of them and a third defendant, Mrs. Behrens, every day except Sunday. During this period, all three of them were allowed to read and discuss among themselves the unfavorable newspaper reports which their arrest and indictment had occasioned. They talked also with the FBI agents about this adverse publicity and about how they should plead to the charges.
September 25, one month and one day after Mrs. von Moltke's arrest, two lawyers came to the jail to see her. They had been sent by her husband. One of them appears to have taken the husband's language course at Wayne University. These lawyers' message was the first communication she had been permitted to receive from her husband since her removal to the county jail. She had been so well shut off from the outside world that she thought he did not even know where she was then confined. These lawyers informed her that, although they had come at her husband's request, they would not represent her as counsel. Furthermore, they warned her that they would not even hold what she said in confidence, and that they would feel free to disclose anything she told them to the Government. Only one of the lawyers appeared at the trial. He testified that the petitioner was concerned during their visit for her children and her husband, whom the university had removed from his $4,000 position the day after her arrest. She particularly inquired whether it would help her husband to get his university position back if she pleaded guilty, but received no counsel on the subject one way or another. In fact, the lawyers emphasized a number of times that they could not and would not advise her what she should do. Although they gave her a form of cross-examination regarding the charges against her in the indictment, they did not attempt to explain to her the implications of these charges, or to advise her as to any possible defenses to them, or to inform her of the permissible punishments under the indictment.
asked for the opportunity of discussing the matter with her husband. He came to the marshal's office, was allowed to talk with his wife in the "bull pen," and advised her not to do anything before she saw a lawyer. She then declined to plead guilty, and was taken back to jail.
October 7, nine days later, she did plead guilty without having talked to any lawyer in the meantime except the FBI agent-attorneys, although she had seen her husband several more times. A few days before the 7th, Mrs. Behrens had entered a plea of guilty, and rumors reached the petitioner that other defendants named in the indictment would also plead guilty. During the interval between the 28th of September and petitioner's plea of guilty on the 7th of October, the FBI men had talked to her daily. She had particularly asked them whether, under United States law, she would have the right to a trial if all her codefendants pleaded guilty. The agent's reply, as he remembered it, was "that the question of trial would be up to the United States attorney's office." She also repeatedly plied the agents with questions as to what plea she should enter in order to reduce as much as possible the injurious publicity of the affair, and what would be the least harmful course to make it possible for her husband to recover his old position. She was also vitally interested in whether she would be deported, and whether, if she did plead guilty, her sentence could be served close to her family. All of these subjects the agents talked over with her in their daily conversations, and one of them offered to, and did, discuss them with the assistant district attorney on her behalf. Following this discussion, the agent brought back word to the petitioner that the assistant district attorney could not control deportation, publicity, or the place of her imprisonment, but that, if she pleaded guilty, he would write a letter to the controlling authorities and recommend that she be imprisoned close to her family.
"That if there is a group of people in a 'Rum' plan who violate the law, and another person is there and the person doesn't know the people who are planning the violation and doesn't know what is going on, but still it seemed after two years this plan is carried out, in the law, the man who was present becomes . . . the person nevertheless is guilty of conspiracy. . . ."
"Q. Now, isn't it true that, up until the time you plead [sic] guilty, you repeatedly asked the agents for advice as to whether you should plead guilty or not? Isn't that true?"
"A. There was nobody else I could ask."
"Q. Well, just say yes or no."
anything to indicate she was informed that a sentence of death could be imposed under the charges. The judge appears not to have asked petitioner whether she was able to hire a lawyer, why she did not want one, or who had given her advice in connection with her plea. Apparently he was not informed that the petitioner's only legal counsel had come from FBI agents.
"A plea of guilty differs in purpose and effect from a mere admission or an extrajudicial confession; it is itself a conviction. . . . Out of just consideration for persons accused of crime, courts are careful that a plea of guilty shall not be accepted unless made voluntarily after proper advice and with full understanding of the consequences. [Footnote 5]"
upon the trial court's refusal to permit the withdrawal of the plea was obvious, in view of her failure to meet the strict requirements of Rule II(4). It seems pretty plain that the petitioner has raised the question here in the only proper way -- by habeas corpus proceedings.
We accept the government's contention that the petitioner is an intelligent, mentally acute woman. It is not now necessary to determine whether, as the Government argues, the District Court might reasonably have rejected much of petitioner's testimony. Nor need we pass upon the government's contention that the evidence might have supported a finding that the FBI lawyer-agent did not actually give her the erroneous advice that mere association with criminal conspirators was sufficient, in and of itself, to make a person guilty of criminal conspiracy. For, assuming the correctness of the two latter contentions, we are of the opinion that the undisputed testimony previously summarized shows that, when petitioner pleaded guilty, she did not have that full understanding and comprehension of her legal rights indispensable to a valid waiver of the assistance of counsel.
name. She was a German. She had been a German countess. The war atmosphere was saturated at that time with a suspicion and fear of Germans. The indictment charged that, while this country was at war with Germany and Japan, the petitioner had conspired with others to betray our military secrets to Germany. She had been kept in close confinement since her arrest. Many of her alleged coconspirators had already pleaded guilty. If found guilty, she could have been, and many people might think should have been, legally put to death as punishment for violation of the Espionage Act. If not executed, she could have been imprisoned for thirty years or for such shorter period as the judge in his discretion might fix. Even when the trial court was about to impose sentence on this petitioner following her plea of guilty, a lawyer might have rendered her invaluable aid in calling to the court's attention any mitigating circumstances that might have inclined him to fix a lighter penalty for her. Anyone charged with espionage in wartime under the statute in question would have sorely needed a lawyer; Mrs. von Moltke in particular, desperately needed the best she could get.
Second. A waiver of the constitutional right to the assistance of counsel is of no less moment to an accused who must decide whether to plead guilty than to an accused who stands trial. See Williams v. Kaiser, 323 U. S. 471, 323 U. S. 475. Prior to trial, an accused is entitled to rely upon his counsel to make an independent examination of the facts, circumstances, pleadings, and laws involved, and then to offer his informed opinion as to what plea should be entered. Determining whether an accused is guilty or innocent of the charges in a complex legal indictment is seldom a simple and easy task for a layman, even though acutely intelligent. Conspiracy charges frequently are of broad and confusing scope, and that is particularly true of conspiracies under the Espionage Act. See e.g., 312 U. S.
United States, 312 U. S. 19; United States v. Heine, 151 F.2d 813. And especially misleading to a layman are the overt act allegations of a conspiracy. Such charges are often, as in this indictment, mere statements of past associations or conferences with other persons, which activities apparently are entirely harmless standing alone. A layman reading the overt act charges of this indictment might reasonably think that one could be convicted under the indictment simply because he had, in perfect innocence, associated with some criminal at the time and place alleged. The undisputed evidence in this case that petitioner was concerned about many of these legal questions -- such as the significance of the overt act charges, and her possibilities of defense should all her codefendants plead guilty -- emphasizes her need for the aid of counsel at this stage.
though we assume that this attorney did the very best he could under the circumstances, we cannot accept this designation of counsel by the trial court as anything more than token obedience to his constitutional required duty to appoint counsel for petitioner. Arraignment is too important a step in a criminal proceeding to give such wholly inadequate representation to one charged with a crime. The hollow compliance with the mandate of the Constitution at a stage so important as arraignment might be enough, in itself, to convince one like petitioner, who previously had never set foot in an American courtroom, that a waiver of this right to counsel was no great loss -- just another legalistic formality. We are unable to agree with the government's argument that the momentary appointment of the lawyer for arraignment purposes supports the contention that the petitioner intelligently waived her right to counsel. In fact, that court episode points in the other direction, for the judge then told the petitioner that he would appoint another lawyer "right away" for her -- which he never did until long after she had pleaded guilty, too late to do her any good.
"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. [Footnote 6]"
him demand. The fact that an accused may tell him that he is informed of his right to counsel and desires to waive this right does not automatically end the judge's responsibility. To be valid, such waiver must be made with an apprehension of the nature of the charges, the statutory offenses included within them, the range of allowable punishments thereunder, possible defenses to the charges and circumstances in mitigation thereof, and all other facts essential to a broad understanding of the whole matter. A judge can make certain that an accused's professed waiver of counsel is understandingly and wisely made only from a penetrating and comprehensive examination of all the circumstances under which such a plea is tendered.
This case graphically illustrates that a mere routine inquiry -- the asking of several standard questions followed by the signing of a standard written waiver of counsel -- may leave a judge entirely unaware of the facts essential to an informed decision that an accused has executed a valid waiver of his right to counsel. And this case shows that such routine inquiries may be inadequate, although the Constitution "does not require that, under all circumstances counsel be forced upon a defendant." Carter v. Illinois, 329 U. S. 173, 329 U. S. 174-175. For the record demonstrates that the petitioner welcomed legal aid from all possible sources; there would have been no necessity for forcing counsel on her.
motion under the procedural rules, there is no complaint that the petitioner failed to cooperate with him. And the record is filled with evidence from many witnesses that the petitioner persistently sought legal advice from all of the very limited number of people she was permitted to see during the period of her close incarceration before her plea of guilty was entered. It is apparent from the record that, when she did plead guilty, the slightest deviation from the court's routine procedure would have revealed the petitioner's perplexity and doubt. For the testimony of all the witnesses points unerringly to the existence of the uncertainty which was obviously just below the surface of the petitioner's statements to the judge.
lawyer. [Footnote 9] It is this kind of service for which the Sixth Amendment makes provision. And nowhere is this service deemed more honorable than in case of appointment to represent an accused too poor to hire a lawyer, even though the accused may be a member of an unpopular or hated group or may be charged with an offense which is peculiarly abhorrent.
should be reversed, and that the District Court's prior judgment should be set aside, but they are of the opinion that, after setting aside its judgment, the District Court should further consider and make explicit findings on, the questions of fact discussed in the separate opinion.
The judgment of the Circuit Court of Appeals is reversed, and that of the District Court is set aside. The cause is remanded to the District Court so that it may hold further hearings and give consideration to, and make explicit findings on, the questions of fact discussed in the separate opinion. If, upon such further hearings and consideration the District Court finds that the petitioner did not competently, intelligently, and with full understanding of the implications, waive her constitutional right to counsel, an order should be entered directing that she be released from further custody under the judgment based on her plea.
Section 32 defines the substantive crime of espionage. Section 34 declares conspiracies to violate § 32 to be unlawful. 40 Stat. 217, 50 U.S.C. §§ 32, 34.
Waley v. Johnston, 316 U. S. 101; Walker v. Johnston, 312 U. S. 275, 312 U. S. 286; Johnson v. Zerbst, 304 U. S. 458, 304 U. S. 467; cf. Sunal v. Large, 332 U. S. 174, 332 U. S. 177.
"Q. And did you during that discussion use a [sic] illustration about a rum runner?"
"A. Well, I heard Mrs. von Moltke say that, and since she did, I have been trying to recall, and I cannot remember such an illustration."
"A. But it is quite possible that Mrs. von Moltke's memory is better than mine, and I may have used such an illustration."
Rule II(4) of the Criminal Appeals Rules, effective September 1, 1934, then required such motions to be filed within ten days after entry of the plea, and before imposition of sentence. Swift v. United States, 79 U.S.App.D.C. 387, 148 F.2d 361; see Hood v. United States, 152 F.2d 431, 435; United States v. Achtner, 144 F.2d 49, 52. It has since been liberalized by Rule 32(d) of the Federal Rules of Criminal Procedure, effective March 21, 1946.
Petitioner's brief states that the court denied her motion to withdraw the plea of guilty "without taking any testimony or permitting petitioner to take the stand. . . ." The Government has not challenged that statement. There is nothing in the record which indicates that the judge allowed any witnesses to testify on the motion. Nevertheless the judge, "after consideration of said motion and of the arguments presented," made purported findings of fact to the effect that she had pleaded guilty "after due and careful deliberation," and that, at the time she entered the plea, she "thoroughly understood the nature of the charge contained in the indictment." Neither the majority nor the minority opinion of the Circuit Court of Appeals referred to these so-called "findings" as a support for denial of the motion to withdraw the plea of guilty. The Circuit Court of Appeals simply justified the denial on the ground that the motion was filed "far too late."
"Since a plea of guilty is a confession in open court and a waiver of trial, it has always been received with great caution. It is the duty of the court to see that the defendant thoroughly understands the situation and acts voluntarily before receiving it."
"Upon a simple and plain confession, the court hath nothing to do but to award judgment; but it is usually very backward in receiving and recording such confession, out of tenderness to the life of the subject, and will generally advise the prisoner to retract it and plead to the indictment,"
"The civil law will not allow a man to be convicted on his bare confession, not corroborated by evidence of his guilt, because there may be circumstances which may induce an innocent man to accuse himself."
Johnson v. Zerbst, 304 U. S. 458, 304 U. S. 465; see also Adams v. United States ex rel. McCann, 317 U. S. 269, 317 U. S. 270.
Johnson v. Zerbst, 304 U. S. 458, 304 U. S. 464; Glasser v. United States, 315 U. S. 60, 315 U. S. 70.
"The lawyer owes 'entire devotion to the interest of the client, warm zeal in the maintenance and defense of his rights and the exertion of his utmost learning and ability,' to the end that nothing be taken or withheld from him, save by the rules of law, legally applied. No fear of judicial disfavor or public unpopularity should restrain him from the full discharge of his duty. In the judicial forum, the client is entitled to the benefit of any and every remedy and defense that is authorized by the law of the land, and he may expect his lawyer to assert every such remedy or defense."
"A lawyer assigned as counsel for an indigent prisoner ought not to ask to be excused for any trivial reason, and should always exert his best efforts in his behalf."
The appropriate disposition of this case turns for me on the truth of petitioner's allegation that she was advised by an FBI agent, active in the case, that one who merely associated, however innocently, with persons who were parties to a criminal conspiracy was equally guilty.
that lay behind it, as having been made on the necessary basis of informed, self-determined choice.
Of course, an accused, "in the exercise of a free and intelligent choice, and with the considered approval of the court . . . , may . . . competently and intelligently waive" his right to the assistance of counsel guaranteed by the Sixth Amendment. Adams v. United States ex rel. McCann, 317 U. S. 269, 317 U. S. 275, and see Patton v. United States, 281 U. S. 276, and Johnson v. Zerbst, 304 U. S. 458. There must be both the capacity to make an understanding choice and an absence of subverting factors, so that the choice is clearly free and responsible. If the choice is beclouded, whether by duress or by misleading advice, however honestly offered by a member of the prosecution, a plea of guilty, accepted without more than what this record discloses, can hardly be called a refusal to put the inner feeling of innocence to the fair test of the law with intelligent awareness of consequences. Therefore, if the FBI agent had admitted that the petitioner accurately stated his advice to her, or if the District Court, upon a conflict of testimony, had found that memory or truth lay with the petitioner, I could not escape the conclusion that the circumstances under which the petitioner's plea of guilty was accepted did not measure up to the safeguards heretofore enunciated by this Court for accepting a plea of guilty, especially where a sentence of death was at hazard.
On the record as we have it, however, I cannot tell whether the advice which, if given, would have colored the plea of guilty was actually given. If the unrevealing words of the cold record spoke to me with the clarity which they convey to four of my brethren, I should agree that the petitioner must be discharged. Conversely, if the District Court's opinion conveyed to me the findings which it radiates to my other brethren, I too would conclude that the judgment should be affirmed.
Unfortunately, the record does not give me a firm basis for judgment regarding the crucial issue of the FBI agent's advice to the petitioner. It is not disputed that the agent, who was also a lawyer, did talk with her, and did discuss legal issues with her. But he neither admitted nor denied whether, in the course of his discussions with her, he expounded the law so as hardly to leave her escape, however innocent under correct view of the law she may have been. He did not even suggest that, even though he did not remember, he was confident that he could not have given her the kind of misleading legal information she attributed to him. On the contrary, he added that "it is quite possible that Mrs. von Moltke's memory is better than mine." [Footnote 2/2] From the dead page, in connection with the rest of the agent's testimony, this suggests a scrupulous witness. But I cannot now recreate his tone of voice or the gloss that personality puts upon speech. Therefore, I am unable to determine whether the petitioner pleaded guilty in reliance on the palpably erroneous advice of an FBI lawyer-agent who, as the symbol of the prosecution, owed it to an accused in petitioner's position to give her accurate guidance, if he gave any.
I deem controlling. [Footnote 2/3] Since the record affords neither resolving evidence nor the District Court's finding on what I deem to be the circumstance of controlling importance, I would send the cause back to the District Court for further proceedings with a view to a specific finding of fact regarding the conversation between petitioner and the FBI agent, with as close a recreation of the incident as is now possible.
"That, if there is a group of people in a 'Rum' plan who violate the law, and another person is there, and the person doesn't know the people who are planning the violation and doesn't know what is going on, but still it seemed after two years this plan is carried out, in the law, the man who was present becomes . . . the person nevertheless is guilty of conspiracy."
The law, of course, is precisely to the contrary. United States v. Falcone, 311 U. S. 205, 311 U. S. 210.
"Q. And did you [the FBI agent], during that discussion, use a [sic] illustration about a rum runner?"
"agents of the Federal Bureau of Investigation mislead [sic] her or made promises to her that, which at least [in] some degree, influenced her action in pleading guilty to the charge,"
but, "for the purpose of the record," he stated "most vigorously that there was absolutely nothing in the testimony sustaining such charges or implications." While it does appear from the record that petitioner abandoned her charge of coercion, there is nothing to buttress the suggestion that she abandoned the charge that she had been misled by the agent, and I therefore read the statement as referring to threats or promises to induce confession by the petitioner. The District Judge gave no intimation whatever that, in his view, the plea of guilty, in connection with all the other circumstances, could not be deemed to have been intelligently tendered if, in fact, it was influenced by the FBI agent's exposition of the law, as asserted by the petitioner. Nowhere is there a suggestion that, although the agent was not prepared to say her memory of the interview was false or incorrect, the District Judge rejected her account.
As the issues in this case are factual, and deal largely with the credibility of witnesses, the binding force of this decision as a precedent is narrow. However, to guard against undue extension of its influence, a recorded dissent seems justified.
in the original proceedings against her for violation of the Espionage Act or her written and otherwise clearly stated waiver of counsel in those proceedings was not freely, intelligently, and knowingly made. The Government vigorously contends that she has failed in this proceeding to establish either of those facts. We agree with the Government. She has failed to do so, and, having so failed, she is not entitled to release. The printed record does not require reversal of the judgment. The uniform findings of fact against her by the three trial judges who separately saw and heard her are amply sustainable.
attorney right away, and I understood that the gentleman was to be expected to come right away." This referred to the period after her arraignment.
"Q. He told you to get a lawyer?"
"A. Yes; he said I should not [plead guilty] before I have seen an attorney; on such a question, I should talk to an attorney first about the whole thing."
"A. My husband said to wait until a lawyer comes out."
"Q. And you decided not to plead guilty because of that?"
"A. Because of that, yes."
"Q. So, during the week, you decided to disregard the advice that your husband had given you?"
"Q. You made that decision; yes or no?"
In other words, she had discussed her situation to her own satisfaction to the point where she had reached a conclusion both as to her plea of guilty and as to her wish to waive counsel. There is no constitutional provision that required or permitted counsel to be thrust upon her against her wishes. She had a right to decide that she did not want to discuss her case further with anyone. The issue was not then, and is not now, whether she might have been benefited by having counsel. She was an "intelligent, mentally acute woman," and, for reasons of her own, she made up her mind that she wished to plead guilty and to waive counsel. If she did this freely, intelligently and knowingly, that was her right, and that action should be final, subject only to a motion to withdraw her plea in regular course by due process of law or to appeal from the judgment rendered on her plea. Under the rules of the court, any withdrawal of her plea had to be made within ten days after entry of such plea, and before sentence was imposed.Rules for Criminal Appeals, Rule II(4), 292 U.S. 662. This was not done. Judge Lederle, to guard against any misunderstanding, on October 7, 1943, especially inquired if she desired the assistance of counsel. She answered in the negative. He then inquired as to what her plea was. She answered "guilty." In addition, she submitted a written waiver of counsel. The court then deferred sentence and referred the case to the United States Probation Officer for investigation and report. Ample time was taken for this.
"This cause having come on for hearing upon the motion of the defendant Grafin Marianna von Moltke for leave to withdraw her plea of guilty, heretofore entered, and for leave to enter a plea of Not Guilty to the indictment filed herein, the matter after hearing, having been submitted, the Court, after consideration of said motion and of the arguments presented on behalf of the respective parties hereto, specifically finds:"
"1. That the defendant Grafin Marianna von Moltke was properly advised of her constitutional rights by the Court, both prior to and at the time she entered her plea of Guilty to the indictment;"
thereon, was submitted after due and careful deliberation;"
"3. That the defendant was advised of and thoroughly understood the nature of the charge contained in the indictment filed in this cause;"
"4. That no promises or inducements or threats were made for the purpose of obtaining the plea of Guilty, and that the entry of the plea of Guilty was not due to any misrepresentations;"
"5. That the motion praying for leave to withdraw the plea of Guilty was not filed within the period fixed by Rule II(4) adopted by the Supreme Court of the United States of America;"
"Wherefore, It is Ordered that the said motion to withdraw the plea of guilty entered by the defendant Graffin [Grafin] Marianna von Moltke in the above entitled cause be, and the same is hereby, denied."
the protection of our judicial process against the making, in this way, of unjustified attacks upon such process is equally important to the preservation of the rights of the people as a whole. Each attempted attack calls for the careful weighing not only of the claims made, but also of the proof submitted to sustain each claim.
In now attacking collaterally the unappealed and deliberate judicial proceedings of 1944, a heavy burden of proof rests upon the petitioner to establish the invalidity of her original plea and waiver. The essential presumption of regularity which attaches to judicial proceedings is not lightly to be rebutted. Johnson v. Zerbst, 304 U. S. 458, 304 U. S. 468-469; Hawk v. Olson, 326 U. S. 271, 326 U. S. 279. Judge O'Brien recognized the strength of this presumption and the heavy burden of proof to be borne by the petitioner. He therefore held extended hearings at which the petitioner and many others appeared as witnesses. The evidence included a substantial showing that the trial judge, in accepting the petitioner's plea of guilty in the original proceeding, had done so only after satisfying himself, by careful questioning, that the plea was not the result of threats or promises and that, with knowledge of her right to counsel, the petitioner had voluntarily waived that right. * At the conclusion of these hearings, Judge O'Brien found not only that the petitioner had failed to sustain the burden resting upon her, but that the overwhelming weight of the evidence in these proceedings was against her.
Attorney having the case in charge and agents of the Federal Bureau of Investigation mislead [misled] her or made promises to her that which, at least [in] some degree, influenced her action in pleading guilty to the charge. I am of the opinion that these charges have now been abandoned by the petitioner, but, for the purposes of the record, I wish to state most vigorously that there was absolutely nothing in the testimony sustaining such charges or implications. The conduct of both the officials of the District Attorney's office and the agents of the Federal Bureau of Investigation were meticulous in safeguarding the rights of the petitioner, and that the record is utterly bare of any support of petitioner's contentions."
"The petitioner is a woman obviously of good education and above the average in intelligence. Her knowledge of English was fluent and ample. She had discussed the case with various people before the plea of guilty was entered. In fact, at her own request, she had a conference with the chief assistant district attorney wherein she endeavored to secure from him some promises of leniency and convenience as an inducement to a plea of guilty. These advancements by the petitioner were, of course, repudiated by the district attorney, and she was informed of the officials who had jurisdiction over the matter in advent [the event] of her plea of guilty."
the negative. The Judge then inquired what was her plea. She answered 'guilty.' In addition to this, she submitted a signed waiver stating that she did not desire counsel."
"The only substantial question in this case is whether the petitioner intelligently and knowingly waived her constitutional rights. It was her obligation to sustain the allegations of her petition by a preponderance of evidence. Not only has she failed in this, but I believe that the evidence is overwhelming against her contentions. The petitioner is an intelligent, mentally acute woman. She understood the charge and the proceedings. She freely, intelligently and knowingly waived her constitutional rights. I conclude, therefore, that there is no merit in her petition, and that it shall be dismissed together with the writ."
72 F.Supp. 994, 995, 997.
The Circuit Court of Appeals affirmed the judgment dismissing the petition for the writ of habeas corpus. That judgment is now brought here, and we are called upon to make a further review of the factual conclusions of the District Court in the habeas corpus proceedings.
Due process of law calls for an equal regard by us for the interests of the Government and of the petitioner in seeking the nearest possible approximation to the truth. Necessarily, we have only the printed record here. On the other hand, the trial judge, faced by the same issues, heard spoken the words we now read. He saw the original instruments that we now see reproduced. He observed the conduct and expressions of the petitioner and of the other witnesses, whereas we cannot make an informed independent conjecture as to such conduct or expressions. From the living record, he found the factual issues overwhelmingly against the petitioner.
There is nothing in the printed record sufficient to convince us that, if we had seen the witnesses and heard the testimony, we would not have reached the same conclusion. Much less is there anything in it that convinces us that, not having seen or heard it made, we are justified in reversing his findings which were based upon more than can be before us. Under the circumstances, we believe that the truth is more nearly approximated and justice is more surely served by reading the printed record in the strong light of the trial judge's factual conclusions than by attempting to interpret that record without giving large effect to his conclusions as to its credibility and to the inferences he has drawn from it. The aid to the ascertainment of the truth to be derived from the trial court's impartial observation of the witnesses should not be dissipated in the process of review. His appraisal of the living record is entitled to proportionately more, rather than less, reliance the further the reviewing court is removed from the scene of the trial. See District of Columbia v. Pace, 320 U. S. 698, 320 U. S. 701; United States v. Johnson, 319 U. S. 503, 319 U. S. 518; Williams Mfg. Co. v. United Shoe Machinery Corp., 316 U. S. 364, 316 U. S. 367; Delaney v. United States, 263 U. S. 586, 263 U. S. 589-590.
Her status as an enemy alien does not, in itself, affect her right to counsel or the informed character of her plea of guilty and her waiver of counsel. The fact that the charge against her was under the Espionage Act, and therefore carried a technical possibility of the death penalty, did not at any time it produce a practical consideration that she was in actual danger of suffering capital punishment. She accurately forecast the general character of her sentence, and was concerned primarily with the wish that her sentence be served near her family. An assistant district attorney stated that he would write a letter recommending that she be imprisoned close to her family.
While a conspiracy is exceptionally difficult to define in all its legal and factual complexities, there is nothing in the Constitution that prevents an accused from freely, intelligently, and knowingly choosing to plead guilty to that, as well as to other complex charges, for reasons best known to the accused, as an alternative to standing trial on that charge. This was her right. Having thus positively decided not to stand trial, she did not require counsel in order freely, intelligently, and knowingly to waive counsel.
Our Constitution, Bill of Rights, and fundamental principles of government call for careful and sympathetic observance of the due process of law that is guaranteed to all accused persons, including enemy aliens like the petitioner. The Constitution, however, was adopted also in order to establish justice, insure domestic tranquility, promote the general welfare, and secure the blessings of liberty to the people of the United States as a whole. To that end, it is equally important to review with sympathetic understanding the judicial process as constitutionally administered by our courts. While the majority of this Court are not ready to affirm the judgment below on the record as it stands, their decision to remand the case for further findings does not mean that established and salutary general presumptions in favor of the validity of judicial proceedings and in favor of a trial court's conclusions as to the credibility of witnesses are to be relaxed.
* See Adams v. United States ex rel. McCann, 317 U. S. 269, 317 U. S. 276-277.

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