Opinion ID: 435827
Heading Depth: 1
Heading Rank: 1

Heading: Is Petitioner Barred by his Long Delay?

Text: 9 The Advisory Committee Note to Rule 9(a) was prescient in 1976 when it stated: 10 The assertion of stale claims is a problem which is not likely to decrease in frequency.... The grounds most often troublesome to the courts are ... plea of guilty unlawfully induced, use of a coerced confession ... When they are asserted after the passage of many years, both the attorney for the defendant and the state have difficulty in ascertaining what the facts are. 11 28 U.S.C. foll. Sec. 2254, Rule 9, Advisory Committee Note p. 1137. 12 The Advisory Committee Note cites a Supreme Court reference to the problems faced in cases where defendants challenged their guilty pleas, based upon alleged forced confessions. 13 What is at stake in this phase of the case is not the integrity of the state convictions obtained on guilty pleas, but whether, years later, defendants must be permitted to withdraw their pleas, which were perfectly valid when made, and be given another choice between admitting their guilt and putting the State to its proof. (emphasis added). 14 McMann v. Richardson, 397 U.S. 759, 773, 90 S.Ct. 1441, 1450, 25 L.Ed.2d 763 (1970). 15 In McMann, the Supreme Court refused to give cognizance to three claims of this nature, the oldest of which was fourteen years old, and reversed the court of appeals which had granted the writs. It should be acknowledged, however, that McMann involved defendants who had counsel when they submitted guilty pleas, even though they claimed later a coerced confession was the basis thereof. In Herman v. Claudy, 350 U.S. 116, 76 S.Ct. 223, 100 L.Ed. 126 (1956), on the other hand, the court set aside an uncounselled state guilty plea even though the defendant had waited eight years to make a post-conviction challenge. The Court made reference to a case where a state prisoner successfully challenged validity of his conviction eighteen years after conviction. 3 16 This court has read Rule 9(a) as invoking the equitable doctrine of laches, as has the Advisory Committee to Rule 9(a). Thus, in Davis v. Adult Parole Authority, 610 F.2d 410, 414 (6th Cir.1979), a two prong test was developed: 17 First, the state must appear to have been prejudiced in its ability to respond to petitioner's claims. Second, the petitioner must be given the opportunity to meet or rebut the apparent prejudice to the state, or to show that whatever prejudice the state has suffered would not have been avoided had the petition been filed earlier. 18 This court has considered three habeas corpus petitions challenging state convictions after many years of delay. Most recently, in Ford v. Supt., Kentucky State Penitentiary, 687 F.2d 870 (6th Cir.1982), it affirmed denial of habeas corpus relief to a prisoner who filed his first state court action fourteen years after submitting a guilty plea. It was not until twenty-three years after the state court sentence had been imposed that he filed his petition for release and relief in federal court on the grounds that he was denied the presence of counsel at the time of plea and sentence. Ford at 871. As in the instant matter, the prisoner's petition was referred to a magistrate for a hearing, who recommended denial of the writ. The records of the state trial court reflected that an attorney had been appointed to represent Ford and was present in court on the day that he pled guilty. Ford at 871. Testimony at the hearing tended to cast doubt as to whether that attorney actually was present at the taking of the plea and the imposition of sentence. The magistrate based his recommendation to deny the writ on the merits, but the district court ruled adversely to Ford apparently based on Rule 9(a) delay grounds as well as on the merits. Ford at 872. Judge Lively, for the majority, ruled, at 874: 19 Ford was accorded a meaningful hearing on his claim. He was unable to carry his burden of proving a constitutional violation. This was a proper case for dismissal pursuant to Rule 9(a) after the petitioner had been given an opportunity to establish his claim and to show lack of prejudice and had failed in both respects. (emphasis added) 20 This court, then, ruled that the writ was properly denied on both the merits, and the Rule 9(a) basis that Ford failed to show a lack of prejudice to the state. 4 21 In an earlier case, however, Phillips v. Black, 367 F.Supp. 774 (E.D.Ky.1973) aff'd. without opinion, 497 F.2d 924 (6th Cir.1974), there was a prisoner challenge to a guilty plea and sentence on the grounds that there had been no attorney present at sentencing in 1955. A writ of habeas corpus was granted because the record did not indicate the presence at sentencing of the attorney who had represented the petitioner in the prior course of proceedings. (The attorney, after a sixteen year delay, could not recall whether or not he had been present). See also, Oliver v. Cowan, 487 F.2d 895 (6th Cir.1973) where absence of counsel at the time of sentencing was determined to be grounds for habeas corpus relief. (The sentencing by a jury occurred in 1959; habeas corpus relief was granted by the district court in and affirmed by this circuit in 1973). 22 The other recent case in this court dealing with a prisoner's long delay in seeking habeas corpus relief is Arnold v. Marshall, 657 F.2d 83 (6th Cir.1981). Arnold was convicted in Ohio in 1953, never appealed, and was released prior to a 1973 indictment for being an habitual offender, on which he was convicted and sentenced to a life term in 1975. One of the four predicate convictions on which the habitual offender charge was based was the 1953 jury conviction. This became the subject matter of the 28 U.S.C. Sec. 2254 action in 1980 (twenty-seven years after the unappealed conviction), based on his not being advised of his right to appeal. The magistrate in Arnold recommended that the writ be denied because key witnesses were missing or dead, no transcript was prepared, and trial notes could not be located. This court affirmed the dismissal, based on Rule 9(a). 23 In view of the foregoing, this Court concludes that the twenty seven year delay has prejudiced respondent's ability to respond in a meaningful way to petitioner's claims. 24 Our Rule 9(a) analysis, however, does not end here. Delay is excused if petitioner can show that his petition is based on grounds of which he could not have had knowledge by the exercise of reasonable diligence before the circumstances prejudicial to the state occurred. 25 No such showing has been made in this case. 26 657 F.2d at 84-85. 27 The decision to deny the writ was based on the conclusion that there was no dispute as to the underlying facts, and the petitioner pled no facts which would serve to rebut the obvious prejudice to the State from the twenty-seven years of delay. Arnold, at 85. (Davis v. Adult Parole Authority, supra, was the only case cited in Arnold.) 28 It was stipulated that none of the prosecutors involved in this case, in 1955-56, had any independent recollection of the events surrounding Buchanon's arrest, statements or plea. The trial judge, retired for seven years, testified that the in-chambers conference with petitioner incident to taking the plea was commonplace, the purpose being to talk to him away from the victim's family, the prosecutors and spectators to see if anyone had abused him in any way or taken advantage in any way ... [in order to coerce him] to plead guilty to the offense. He denied using any racial epithet or threatening Buchanon in any fashion during the private conference, but he could not recall if petitioner mentioned anything about police threats or coercion. The judge also testified that at the time it was not unusual for any defendant, black or white, even in a murder case, to appear without an attorney, and that he was not aware that any large crowd had gathered around the jail in Stockbridge while petitioner was there. 29 Based on these facts, and Buchanon's testimony at the hearing, the magistrate recommended on the merits of his claim that the writ be denied, holding: 30 The record, and indeed, Petitioner's own testimony in this case, make it clear that Petitioner knew he had a right to an appointed attorney but that he declined to ask for one because he simply did not think one would do him any good (Tr. 30, 34, 55), and because he considered himself guilty of the murders (Tr. 40). The undersigned finds as a matter of fact that his decision to waive counsel was made understandingly and intelligently. 31 Joint App. 35 (footnotes omitted). 32 The magistrate distinguished Moore v. Michigan, 355 U.S. 155, 78 S.Ct. 191, 2 L.Ed.2d 167 (1957), principally relied upon by petitioner, wherein a 1938 state conviction was set aside. Moore involved a seventeen year old black defendant with a seventh grade education who also pled guilty to murder of an elderly white victim without benefit of counsel and, again without counsel, was sentenced to life imprisonment. He was questioned in jail without an attorney for approximately 28 hours over two days and nights before orally confessing, and did not request an attorney, although advised that he might have one, at the taking of the guilty plea. Like Buchanon, Moore did not participate in the degree hearing. The trial judge's findings after an in-chambers meeting with Moore included the comment that Moore insisted something was wrong with his head and that he had experienced queer sensations. Also, the Sheriff conceded that he told Moore while he was in jail before the confession that there might be trouble and he could not guarantee that he could protect him in that event. In a five to four decision, the court reversed, ordering a new trial in an appeal from the Supreme Court of Michigan after a hearing on the twelve year delayed motion for a new trial, because petitioner had satisfied his burden of demonstrating that he had not understandingly and intelligently waived counsel at critical stages. 33 In the instant case, Judge DeMascio considered each claim made by Buchanon and the magistrate's recommendation denying each of these claims. He sustained the magistrate on the evidence submitted at the hearing in finding that Buchanon's guilty plea was voluntarily and understandingly made, and not improperly induced by coercion or threats. He found the magistrate's conclusion appropriate that petitioner's allegations of a mob outside the Michigan jail inducing or coercing his giving of a confession were not well founded. He found that although the transcript of the preliminary examination of the petitioner had been lost as had the prosecutor's file and all files pertaining to the first round of appeals in 1966, that transcripts of the taking of the plea and of the sentencing were available as was the testimony of the state trial judge who accepted the plea, and determined that first degree murder was the correct charge. Sufficient facts and record were adduced for the district judge to find, as had the magistrate, that the Michigan trial judge had properly and carefully conducted the proceedings during the submission of the guilty plea, including an in camera hearing to ensure that petitioner was acting independently, knowingly, and not under compulsion, and that he had also voluntarily and understandingly waived his right to counsel at the time of the guilty plea, distinguishing the factual circumstances from those in Moore v. Michigan, supra. 34 The district judge, however, differed with the magistrate's conclusion that there was also an effectual and valid waiver of the right to counsel at the degree hearing and the sentencing that followed. 35 Judge DeMascio concluded that because petitioner presented no evidence that would tend to support his claim that he was not present at the degree hearing, and admitted that he himself cannot recall whether he was present, that his claim in that respect must fail. He stated as an additional basis for his conclusion, citing Arnold v. Marshall, supra, that under Rule 9(a) petitioner had not met his burden of showing why he could not have raised his claim at a time when there would have been witnesses with an independent recollection of whether he was present at the degree hearing. He also sustained the magistrate's finding that coercion did not taint the guilty plea with respect to the alleged police beating in Baltimore. As to whether petitioner's confession was coerced, Judge DeMascio also ruled that this issue comes within the purview of Rule 9(a). He concluded alternatively, that Rule 9(a) was dispositive as to the claim challenging the voluntariness of the guilty plea. 36 The trial judge decided, contrary to the magistrate's recommendation, that merely because Buchanon had freely, knowingly and intelligently waived a right to counsel at the submission of his guilty plea, it did not follow that he similarly waived the right to assistance of counsel at the later critical stage, the degree hearing and sentencing, citing Hamilton v. Alabama, 368 U.S. 52, 54, 82 S.Ct. 157, 158, 7 L.Ed.2d 114 (1961) (constitutional right in capital case to counsel at arraignment), White v. Maryland, 373 U.S. 59, 60, 83 S.Ct. 1050, 1051, 10 L.Ed.2d 193 (1963) (constitutional right to counsel in capital case at preliminary hearing), and Moore v. Michigan, supra. He concluded further that waiver of the right to counsel may not be implied from such a silent record, where petitioner said nothing, there was no cross-examination, and he presented no evidence in his behalf. See, Carnley v. Cochran, 369 U.S. 506, 515-16, 82 S.Ct. 884, 889-10, 8 L.Ed.2d 70 (1962) (constitutional right to counsel unless waived in state felony case), and Boykin v. Alabama, 395 U.S. 238, 242-43, 89 S.Ct. 1709, 1711-12, 23 L.Ed.2d 274 (1969) (guilty plea must be shown to be intelligent and voluntary). The district judge granted the writ on this sole issue, or alternatively [the state may] amend petitioner's judgment of conviction to murder in the second degree. The state appeals from the granting of any relief, including the above alternative. Petitioner appeals on the basis that there was no knowing or voluntary guilty plea and no waiver of right to counsel at any stage. 37 We agree with the district court that the Rule 9(a) tests set out in Davis have been met on the issues pertaining to the allegedly coerced confession, the circumstances of the guilty plea, and with respect to the alleged absence of Buchanon from the degree hearing. The state clearly has been prejudiced by the passage of some 25 years from the time of petitioner's guilty plea and sentencing to the time of the hearing on this habeas corpus writ. See Arnold v. Marshall, supra; Ford v. Supt., supra. While given an opportunity to rebut this prejudice caused by long delay under the doctrine of laches, including the loss of memory, potential witnesses and records, petitioner has not shown that this prejudice would not have been avoided if he had proceeded earlier on these essentially fact claims relating to circumstances surrounding the confession, 5 and as to whether he was physically present during the degree hearing. We further conclude that the same Rule 9(a) principles would apply to all the guilty plea claims which are closely intertwined with the alleged coerced confessions. This lengthy delay in presenting a federal claim after submission of a guilty plea clearly places a very heavy burden on a claimant to rebut the inherent prejudice involved. See Arnold and Ford. We agree, furthermore, with the magistrate and the district judge that on the merits of the claims on these issues, coercion while in the Michigan jail, presence at a hearing, and the circumstances surrounding the guilty plea, petitioner cannot prevail. The Michigan confession was taken before a court reporter, and the petitioner indicated (1) that he was freely and voluntarily  confessing; (2) that he understood the authorities could not force him to make any statement; (3) that it could be used against him; (4) that he was subject to no physical force; and, (5) that no promises were made to him in exchange for his statement. He then recounted the details of his escape from Jackson prison and the ensuing murders. At the guilty plea hearing, Buchanon, who had been involved in felony proceedings before, was advised that he could have a lawyer, regardless of his financial ability, and a jury trial, if he wished. He was asked if any one made any promises to him to induce the guilty plea. He affirmed that he was pleading guilty because he was guilty. Based on his unequivocal responses, and a conference in chambers, the court concluded: 38 THE COURT: Let the record show that the court has conferred with the accused relative to the circumstances in each one of these crimes, is convinced that he committed the crimes, and that his plea was freely, understandingly and voluntarily made, without undue influence, compulsion or duress and without promise of leniency. Therefore his pleas are accepted and he is remanded to the custody of the county sheriff to await the taking of testimony of witnesses to determine the degree of the crime, and for sentence. 39 As to the claimed coercion in Baltimore, that issue was precluded by the long and unexplained delay in asserting the claim where, as determined by the district judge, making an adequate defense was entirely dependent upon witnesses who have no recollection of the facts. Buchanon failed to meet or rebut the prejudice which resulted from the passage of many years in this regard. We find the district judge was also correct for the reasons stated in his disposition of the claim on the waiver of counsel at the guilty plea based on the evidence. 40 The last issue is whether the district judge was correct in holding that neither on the merits, after the hearing, nor on the basis of Rule 9(a) was petitioner precluded from obtaining relief on the claim that he did not understandingly and intelligently waive the assistance of counsel at the degree hearing and the sentencing which followed immediately. There is, first of all, no question but that this hearing on the determination of the degree of guilt was a critical stage and bore directly on the punishment and/or disposition which was to be made by the state court after acceptance of the guilty plea. The right to counsel was a matter of supreme importance at this stage of the proceeding. Moore at 164, 78 S.Ct. at 196. We recognize also that: 41 ... 'courts indulge every reasonable presumption against waiver' of fundamental constitutional rights and that 'we do not presume acquiesce in the loss of fundamental rights.' 42 .... 43 the constitutional right of an accused to be represented by counsel invokes, of itself, the protection of a trial court .... 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. 44 Johnson v. Zerbst, 304 U.S. 458, 464-5, 58 S.Ct. 1019, 1023, 82 L.Ed. 1461 (1937), quoted in Carnley, supra, at 514-5, 82 S.Ct. at 889-10. See also Rice v. Olson, 324 U.S. 786, 788-791, 65 S.Ct. 989, 990-991, 89 L.Ed. 1367 (1945). 45 Even when a right so fundamental as that to counsel at trial is involved the question of waiver must be determined on 'the particular facts and circumstances surrounding that case, including the background, experience and conduct of the accused.' 46 North Carolina v. Butler, 441 U.S. 369, 374-5, 99 S.Ct. 1755, 1757-8, 60 L.Ed.2d 286 (1979), (quoting Johnson v. Zerbst, 304 U.S. at 464, 58 S.Ct. at 1023). See, Oliver v. Cowan, supra. 47 Since the record is silent as to whether the trial court advised petitioner at the degree hearing and at sentencing that he was entitled to the assistance of counsel at this critical stage, and since we cannot presume a waiver by mere silence (absent other corroborated proof of a waiver), we affirm the trial judge in his holding that a writ of habeas corpus should issue unless within a reasonable time the state conducts another degree hearing and resentencing with the opportunity for petitioner to have counsel to assist him. There is a sufficient record of these proceedings to indicate that the state has not been prejudiced in its ability to respond to petitioner's claims in this respect of the case only. There is nothing in the transcript of the degree hearing or the sentencing that indicates any mention of right to counsel or any knowing waiver of this right at these stages. 48 We emphasize also that at the degree hearing, if any is held, Buchanon's confession may be utilized as well as the exhibits introduced at the prior hearing. 49 We reverse, however, the alternative ordered by the trial judge that the judgment of conviction be amended to that of murder in the second degree in lieu of the opportunity for a degree hearing and resentencing. We find no authority for this action of the trial judge. 50