Document: 431 U.S. 63 97 S.Ct. 1621 52 L.Ed.2d 136 Stanley BLACKLEDGE, Warden, et al., Petitioners,v.Gary Darrell ALLISON. No. 75-1693. Argued Feb. 22, 1977. Decided May 2, Syllabus At the arraignment of respondent, who had been indicted in North Carolina for various state criminal offenses, he entered a guilty plea to single count attempted safe robbery. In response two form questions that under then-applicable procedures were put by trial judge those entering pleas, respondent acknowledged understood could be imprisoned minimum 10 years maximum life and no one made promises or threats influence him plead guilty. Without further questioning, accepted on an "Adjudication" form, which, inter alia, recited pleaded robbery "freely, understandingly voluntarily," with full awareness consequences, "without undue . compulsion duress, (or) promise leniency." sentencing hearing three days later was sentenced 17-21 years. After unsuccessfully exhausting collateral remedy, sought writ habeas corpus Federal District Court, claiming his induced attorney, presumably consulted Solicitor, would get only 10-year sentence. He also stated aware questioned before but thought going instructed answer so court accept plea. The Court granted motion dismiss petition, ground conclusively showed chosen knowingly, voluntarily, consequences. Appeals reversed, holding respondent's allegation broken promise, as amplified explanation lawyer deny existence any promises, not foreclosed responses entitled evidentiary hearing, at least absence counter-affidavits proving falsity allegations. Held: light nature record proceeding which accepted, ambiguous status process bargaining time made, petition should have summarily dismissed. Pp. 71-83. (a) Although constitutes formidable barrier attack plea, is insurmountable, administering federal courts cannot fairly adopt per se rule excluding all possibility defendant's representations much product such factors misunderstanding, misrepresentation make constitutionally inadequate basis imprisonment. Machibroda v. United States, 368 487, 82 510, 7 473; Fontaine 411 213, 93 1461, 36 169. 71-75. (b) Respondent's allegations vague conclusory warrant dismissal reason alone. elaborated claim specific factual allegations, indicating exactly what terms were; when, where, whom it made; identity witness its communication. 75-76. (c) plea-bargaining procedure effect reflected atmosphere secrecy then characterized bargaining, whose legitimacy finally established until Santobello New York, 404 257, 92 495, 30 427 decided long arraignment. There transcript standard printed there way knowing if deviated from whether statements regarding promised concessions; nor hearing. did nothing dispel belief bargain concealed. Particularly, if, alleged, advised counsel conceal bargain, denial mere courtroom ritual. 76-78. (d) Though through summary judgment, discovery, expansion record, may develop required, "entitled careful consideration plenary processing (his claim,) including opportunity presentation relevant facts." Harris Nelson, 394 286, 298, 89 1082, 1090, 22 281. 80-82. 4 Cir., 533 F.2d 894, affirmed. Richard N. League, Raleigh, C., petitioners. C. Frank Goldsmith, Jr., Marion, respondent. Mr. Justice STEWART delivered opinion Court. 1 Gary Allison, inmate penitentiary, petitioned corpus. dismissed without ruling circumstances this case improper. We certiorari review judgment Appeals. 2 * Allison grand jury breaking entering, robbery, possession burglary tools. arraignment, where represented court-appointed counsel, initially But after learning codefendant planned guilty, prison sentence life. N.C.Gen.Stat. § 14-89.1 (1969). 3 accord taking pleas Carolina, open read 13 questions, generally concerning understanding charge, voluntariness answered "yes" "no" each question, clerk transcribed copy signed. So far shows, questioning beyond routine; inquiry either defense prosecutor. Two are particular relevance issues us: Question 8 "Do you understand upon your (sic ) life?" "Yes"; 11 "Has lawyer, policeman, law officer anyone else threat case?" "No." signing name bottom text "Adjudication," charges indicted, fully rights, fact leniency."1 Three later, whatsoever, prison. 5 filed pro seeking alleged: 6 "(H)is unkept therefore free willing choice petitioner, set aside An has grounds relief. 267 (, 501, 427) (1971)." Pet. Cert. 14. went explain support follows: "The petitioner led believe believe, Pickard (Allison's attorney), Glenn talked over Solicitor Judge, plea(d) year penal servitude. This conversation, assured plea(ded) ten witnessed another party other than counsel. 9 believing active sentence, allowed himself pled charge shocked Attorney, Judge because relief prior sentencing, years, does preclude raising matter especially since given 12 ". said more, affect, sentence." here, Warden Blackledge, attached "transcript" consisting more filled signed state-court judge. contended agreed "conclusively shows (Allison) carefully examined accepted. Therefore, must stand." 18. Construing Allison's alleging merely lawyer's prediction severity turned out inaccurate, found and, accordingly, petition. 14 One week rehearing. during guilty-plea "evidentiary, NOT conclusory" (App. 17); true relief; deserved chance establish their truth. Apparently impressed these arguments recognizing "prediction" referred rehearing States Magistrate, directed submit evidence inconclusive exchange correspondence, Magistrate concluded despite "ample opportunity" failed comply directive, recommended denied. Magistrate's recommendation denied A reconsideration 15 Fourth Circuit reversed. It held proceeding. appellate reasoned when se, indigent prisoner makes that, proved, entitle relief, required prove advance counter affidavits falsity. remanded 894. 16 warden 28 U.S.C. 1254(1), we certiorari, 429 814, 55, 50 74, consider significant question presented. II 17 Whatever might situation ideal world, often concomitant important components country's justice system. Properly administered, they can benefit concerned. defendant avoids extended pretrial incarceration anxieties uncertainties trial; gains speedy disposition case, acknowledge guilt, prompt start realizing whatever potential rehabilitation. Judges prosecutors conserve vital scarce resources. public protected risks posed charged offenses large bail while awaiting completion proceedings.2 18 These advantages secured, however, dispositions accorded great measure finality. To allow indiscriminate hearings postconviction proceedings, prisoners 2255 §§ 2241-2254, eliminate chief virtues system speed, economy, And concern about prospect. More everything gain lose filing If succeeds vacating conviction, retrial difficult. convinces advantageous agreement violated, obtain terms. inspired "a desire freed temporarily confines prison." Price Johnston, 334 266, 284-285, 68 1049, 1059, L.Ed. 1356; accord, 497, 515, 473 (Clark, J., dissenting). 19 Yet arrayed against interest finality very purpose safeguard person's freedom detention violation constitutional guarantees. 290-291, 1086, played role history human freedom. judicial method lifting restraints personal liberty." supra, 269, 1052, 1356. custody pleading less tried convicted jury, avail challenging constitutionality custody. 20 473, bank 40 Assistant Attorney's exceed prosecutor admonished tell agreement, wholly inquire voluntarily accepting it. noted raised issue resolved simply affidavit denying Because "related primarily purported occurrences outside could, therefore, cast real light," U.S., 494-495, S.Ct., 514, "vague conclusory," id., permit disposition, ruled substantiate them 21 169 followed same approach. there, having waived charges. Before addressed personally, substance "that consequences guilty." Id., 213-214, 1462. vacate coerced "by combination fear, coercive police tactics, illness, mental illness." 214, included supporting well hospital records documenting some contentions. noting collaterally attacking "may ordinarily repudiate" entered, observed procedural device perfect design exercise rendering "uniformly invulnerable subsequent challenge." 215, not, view " 'conclusively show (was) relief,' 2255, hearing.3 23 (1, 2) cases do reduce force original For defendant, findings constitute proceedings. Solemn declarations carry strong presumption verity. unsupported specifics subject dismissal, contentions face incredible. Machibroda, 495-496, 514 (§ 2255); 286-287, 1060-1061, 1356 2243).4 24 (3) What indisputably teach, although imposing, invariably insurmountable.5 counterpart, others imprisonment.6 III 25 (4-6) themselves alone.7 alleged promise.8 stop there. proceeded elaborate indicated critical viewed "palpably incredible," ibid., "patently frivolous false", Herman Claudy, 350 116, 119, 76 223, 225, 100 126, dismissal. conclude 26 Only recently become visible practice legitimate component administration justice. decades sub rosa shrouded deliberately concealed participating defendants, lawyers, prosecutors, even judges.9 Indeed, our decision 427, lingering doubts dispelled.10 27 arraigned 37 announced, modified earlier decisions Court11 bargaining.12 That itself generally. No made. form. supplemented silent concessions. participants statement shedding veracity advanced. litany nowhere (or indeed lawyers involved) freely disclosed court. Neither asked disclose reached, promised. thus struck remain here allegedly reinforced admonition disclosure jeopardize agreement. Rather counsel's contention oral argument "at bargains never form," Tr. Oral Arg. 25, petitioners conceded "(t)hat inquiry." 49. 29 (7) "(l)ogically general elicit information seldom past." Advisory Committee Notes 1974 Amendment Fed.Rule Crim.Proc. 11, U.S.C.App., p. 1304 (1970 ed., Supp. V).13 Particularly ritual sham real.14 measured "record" false frivolous"15 dismissal.16 undertaken major revisions part prevent kind problem now us.17 Plea expressly legitimate. 15A-1021, Official Commentary (1975). advise approved admit fear jeopardizing advantgeous prejudicing judge's eyes. See Brief Respondent, App. D. Specific 15A-1023(a), Finally, entire verbatim. 15A-1026, amended (Int.Supp.1976).18 31 (8) Had commendable present different light. explication both verbatim answers proceedings almost surely shown exist so, insured ignored.19 salutary reforms implemented highlight sharply deficiencies case.20 32 (9) say every merit entitles As civil generally, exists test facially adequate sufficient evidence. is, course, judgment. Upon remand will notion, proof wishes attach.21 chooses produce contrary genuine inability provide proof. Fed.Rules Civ.Proc. 56(e), (f). 33 (10) Moreover, provided Rules Governing Habeas Corpus Cases, district magistrate referred)22 employ variety measures effort avoid need Under Rule 6,23 request direct discovery take place, "there instances appropriate (before hearing) unnecessary. ." Note 6, U.S.C., 268 (1976 ed.). 7,24 include materials "enable dispose petitions pleadings, expense hearing."25 34 (11) short, turn required. 1090. Shapiro, Corpus: Study Massachusetts, 87 Harv.L.Rev. 321, 337-338 (1973).26 understanding, 35 ordered. THE CHIEF JUSTICE concurs REHNQUIST took case. 38 POWELL, concurring. 39 I join write briefly emphasize importance justice.* Our traditional "persons society grievously wronged belated liberation little enough compensation," Fay Noia, 372 391, 441, 83 822, 850, 837 (1963), resulted uniquely appeals review, presented innocence accused. substantial societal judgments subordinated many formalisms. us today necessarily example abuse example, how frustrated failure adhere proper level. prejudge ultimate result saying knowingly voluntarily. five following courts, Circuit, leaves room doubt reliability respect All testing possible certified know anything judge, prosecutor, monosyllabic 41 Court's indicates, similar prescribed new statute followed, justify "only most extraordinary circumstances." Ante, 80 n. 19. stage mindful adhering preserving thereof, causes served. consists, executed reads, entirety (Pet. 10-13), "File 71 CrS 15073 "Film .......... "In General "Superior Division "State "County Alamance "vs. "Gary "TRANSCRIPT OF PLEA Defendant, being first duly sworn, Presiding Judge: "1. Are able hear my questions? Answer: Yes "2. alcohol, drugs, narcotics, medicines, pills? "3. Do felony Attempted Safe Cracking? "4. Has explained you, ready trial? Answer(:) "5. right Jury? "6. How Cracking Guilty, nolo contendere? Guilty "7. guilty? (Omit contendere) (If applicable) Have meaning "8. life? "9. subpoena witnesses wanted you? "10. talk confer conferred satisfied services? "11. case? "12. freely, authorize instruct enter behalf "13. just "I heard above them, ones gave correct. "Defendant "Sworn subscribed me 24th day January, 1972. "AOC-L Form 158 "Rev. 10/69 "Catherine Sykes, Ass't. "Clerk Superior "ADJUDICATION undersigned hereby finds adjudges: "I. sworn forth Transcript thereto therein. "II. M. Pickard, (court appointed); (guilty) (warrant) (bill indictment), Breaking & Entering, Burglary Possession Tools oath informs that: rights him; punishment offense(s) charged, pleads guilty; authorizes attorney charge(s); ample desired services attorney; "And examination ascertains, determines adjudges, influence, leniency. ORDERED Adjudication recorded. "This "Marvin Blount, Jr. "Judge Presiding" 260-261, 497-498, 427; Brady 397 742, 751-752, 90 1463, 1470-1471, 747; ABA Project Standards Criminal Justice, Pleas 1-3 (Approved Draft 1968) (hereinafter Standards); ALI Model Code Pre-Arraignment Procedure 350.3, (1975) Code). means available person See, e. g., 126; Waley 316 101, 62 964, 86 1302; Walker 312 275, 61 574, 85 830. standards 2243 differ somewhat phrasing. Compare (A "unless appears application applicant thereto") moving "(u)nless files relief"). However, remedy designed "exactly commensurate" Swain Pressley, 430 372, 381, 1224, 1230, 51 411; Hill 424, 468, 470, 417; Hayman, 342 205, 219, 72 263, 272, 96 232, construed accordance design, Sanders 373 1, 6-14, 1068, 1072-1076, 148. Developments Law Corpus, 1038, 1173, 126 (1970). Unlike presided conviction prisoner. cases, recollection events enable motion, though similarly presenting identical Cf. ("Nor completely resolve drawing own knowledge recollection"). extent, administered fashion. McCarthy, 433 591, 593 (CA1); LaVallee, 319 308, 314 (CA2); Trotter 359 419 Valenciano, 495 585 (CA3); Edwards Garrison, 529 1374, 1377 (CA4); Bryan 492 775, 778 (CA5); Mayes Pickett, 537 1080, 1082-1083 (CA9); Jones 384 916, 917 Simpson, 141 U.S.App.D.C. 8, 436 162, 165. citing approve them. analogy contracts. parol exclusion repudiate provisions written integration contractual provision declaring contract contains complete parties, antecedent extrinsic exist, bar additional agreements force. agreements, carries weight, fraud, mistake, "or setting contracts." A. Corbin, Contracts 578, 403 (2d ed. 1960); see 405-407, nn. 41, 43. 4, Cases (" '(N)otice' sufficient, expected facts point 'real error' "), 266 "who Solicitor," imposed allegation, serious 755, 1472, 747. V); Standards, 60-64; Code, 350.5, Commentary; President's Commission Enforcement Administration Task Force Report: Courts 9, 12-13, 111, 115 (1967) Report). Santabello declared "an essential component" "(p)roperly encouraged." 260, 498. McMann Richardson, 759, 1441, 763; supra. According petitioner's brief, employed dates 1967. F.2d, 593; Walters Harris, 460 988, 993 Williams, 407 940, 947-949, 780-781; Moody 497 359, 362-363, (CA7); Tweedy, 192, 193 423 252 White Gaffney, 435 1241 (CA10); Report 115; Trebach, Rationing 159-160 (1964). 61-62; Force, Report, 111. separate listed them; pursuant see, supra; Lynott 360 586 (CA3), delay Raines 526, 528 195; 498-499, 515-516 dissenting), undercuts credibility reasons text, "finding" recorded "understandingly leniency," binding 2254(d) 1377-1378, 3. ("The (at issue) related light"); Friendly, Is Innocence Irrelevant? Collateral Attacks Judgments, U.Chi.L.Rev. 142, 152 1973, Legislature enacted comprehensive governing arrangement, modeled Procedure, Art. (Tent. 5, 1972). purposes reform "defendants truth They go judges negotiations lie made." 58, ss15A-1021 -1027 Appendices brief indicate used conducting twice passage legislation. quite recommendations Code. principal statutory quick baseless attacks. Commentary, ("If negotiation accurately reflect things (legitimately) done, challenge effectively minimized"). like mandated asserting responses, untruthful. Especially becomes routine circumstances. suggest vulnerable attack. serve (1) occurrence errors process, (2) discourage facilitate fair filed. seem easier State indigent, untutored principals, particularly availability 23, infra. Title 636(b)(2), magistrates assist conduct actions," preliminary "applications posttrial individuals newly promulgated performance virtually duties except decisionmaking authority. 10, Wingo Wedding, 418 461, 473-474, 94 2842, 2849-2850, 879. "Discovery," provides: "(a) Leave shall invoke processes Civil extent discretion good cause grants leave otherwise. necessary effective utilization procedures, appointed qualifies appointment 3006A(g). "(b) Requests discovery. accompanied interrogatories, requests admission list documents, any, produced. "(c) Expenses. deposition condition pay expenses travel subsistence fees attend deposition." "Expansion Record," Direction expansion. expanded parties inclusion determination merits Materials added. include, limitation, letters predating court, exhibits, oath, directed, interrogatories propounded Affidavits submitted considered record. Submission opposing party. copies letters, proposed offered, afforded correctness." "evidence extra-record overwhelming conclusion (allegation dishonored agreement) raise fact." Moorhead 456 992, 996 (CA3). dismissing short seek persons likely firsthand 992. 'When credibility, resolution rarely conclusive, helpful.' 7, 269 ed.), quoting 530 (CA4). correspondence between pertaining rehearing, 70, opportunity. notarized codefendant, confined legal assistance. circumstances, novel formless burden supplying proof, compulsory intimation follow met. hardly "full facts" received "careful processing." Harlan: "Both individual insuring certainty comes end litigation, attention ultimately focused error rather restored useful place community." 24-25, 148 (1963) (dissenting opinion). Schneckloth Bustamonte, 412 218, 256-266, 2041, 2062-2067, 854 (1973) (Powell, concurring).

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