Walker v. Caldwell

• Decision Date: 03 April 1973
• Docket Number: No. 71-3253.,71-3253.
• Citation: 476 F.2d 213
• Court: U.S. Court of Appeals — Fifth Circuit
• Parties: Roosevelt WALKER, Petitioner-Appellant, v. E. B. CALDWELL, Warden, Georgia State Prison, Respondent-Appellee.

476 F.2d 213 (1973)

Roosevelt WALKER, Petitioner-Appellant, v. E. B. CALDWELL, Warden, Georgia State Prison, Respondent-Appellee.

No. 71-3253.

United States Court of Appeals, Fifth Circuit.

April 3, 1973.

Joseph W. Popper, Jr., Macon, Ga., for petitioner-appellant.

Arthur K. Bolton, Atty. Gen., Dorothy T. Beasley, Harold N. Hill, Courtney Wilder Stanton, Asst. Attys. Gen., Atlanta, Ga., for respondent-appellee.

Before JOHN R. BROWN, Chief Judge, and BELL and SIMPSON, Circuit Judges.

SIMPSON, Circuit Judge:

Roosevelt Walker, a Georgia state prisoner, appeals from the district court's denial of his petition for writ of habeas corpus. We are required here once again to examine the minimum standard of duty imposed upon appointed counsel in a felony case where the defendant pleads guilty. After careful review of the record, the briefs and the contentions of the parties at oral argument we reverse.

Walker was arrested in Baldwin County, Georgia, on August 23, 1969, and charged in eleven separate indictments with seven counts of burglary (Criminal Code of Georgia, 1969, § 26-1601), three counts of theft by taking (Criminal Code of Georgia, 1969, § 26-1802), and one count of carrying an unlicensed, concealed pistol. On Friday, August 29, 1969, Walker attended by court-appointed counsel pled guilty in Georgia state court to each of the charges against him. He was sentenced to three years confinement on each of the seven charges of burglary and on each of the three counts of theft by taking, all sentences to be served consecutively, a total of thirty years imprisonment. On the charge of carrying an unlicensed, concealed pistol, Walker was sentenced to six months in a public work camp, this sentence to be served concurrently.

Subsequent to his imprisonment, Walker petitioned the state courts of Georgia for a writ of habeas corpus contending, inter alia, that he was at all times innocent of the charges against him, that he had never expressed a desire to plead guilty, that he had been denied effective assistance of counsel at the time of his pleas, and that therefore his pleas of guilty were not knowingly, voluntarily and understandingly made. After a hearing, the state court denied relief.

Walker then sought habeas corpus relief from the Middle District of Georgia federal district court. On the basis of an insufficient state court record, that court denied relief without an evidentiary hearing. Walker v. Smith, 5 Cir. 1971, 439 F.2d 392. We reversed, and directed the district court to conduct an adequate evidentiary hearing to permit Walker to develop his contentions that he was deprived of his constitutional rights in connection with his criminal conviction by the State of Georgia, and to accord Walker representation in connection with such hearing if that court should, in its discretion, determine that such representation was required in the interests of justice.

The hearing was held on July 26, 1971. Walker testified. Deposition testimony was introduced from the Sheriff of Baldwin County, two of his deputies, the judge of the state court who accepted Walker's pleas and sentenced him, and from Walker's appointed counsel. Petitioner's counsel attended and cross-examined at the depositions. On October 7, 1971, the district court again denied habeas corpus relief. Walker v. Caldwell, M.D.Ga.1971, 335 F.Supp. 308. This appeal followed.

At the time of Walker's convictions, it was the practice to take all guilty pleas on Friday mornings in the Baldwin Superior Court. On Friday, August 29, 1969, Walker was transported to the court, apparently on the basis of an indication to the Sheriff or one of his deputies that he wished to plead guilty. Walker had not as yet discussed his case with any member of the bar.

The Judge of the Superior Court, Judge George S. Carpenter, appointed James M. Watts, Jr., an attorney, to represent Walker and his co-defendants at the proceeding. Watts, whose office adjoins the courtroom, handled roughly ninety per cent of the appointed cases in this court, without fee. He represented approximately 500 defendants each year, and usually handled about ten cases each plea day.

Watts talked to Walker for a very brief period of time. Walker testified that Watts only talked to him for five minutes. Watts, although unable to remember the specific incidents of his representation of Walker, testified in the court below by deposition that it was his usual practice to spend from ten to thirty minutes on each case on an average plea day. It is uncontradicted however, that on the morning in question Watts did not seek to investigate the facts of the charges against Walker, talk to any witnesses, explore the possibility of a motion to suppress, or engage in any plea bargaining. Watts testified below that he follows a substantially different practice when representing fee clients rather than appointed clients. Watts also testified that he only determined to his satisfaction that Walker's pleas were voluntarily and understandingly made, and did not advise Walker whether to plead guilty.

After his brief discussion with Walker, Watts pleaded Walker guilty to all charges against him. Walker is illiterate and Watts signed the pleas of guilty. No record was made of the plea proceedings in the state court, other than the formal notations of pleas and sentencing.

On appeal to this Court, Walker contends that:

(1) habeas corpus relief must be granted under Boykin v. Alabama, 1969, 395 U.S. 238, 89 S.Ct. 1709, 23 L.Ed.2d 274, since no record was made of the proceedings in state court;

(2) the district court erred in finding that Walker was afforded and enjoyed the benefits of effective assistance of counsel at the time of his pleading and sentencing; and

(3) the district court erred in finding that Walker knowingly, voluntarily, and understandingly entered pleas of guilty to the charges in state court.

Since we agree with the district court's determination of the Boykin issue,¹ we address ourselves solely to Walker's contention that he was denied effective assistance of counsel at the time of his pleas, and that therefore his pleas were not voluntarily and intelligently given. The determination of these issues is first a question of fact for the trial court, not to be disturbed on appeal unless clearly erroneous. Rule 52(a), F.R.Civ.P. The precise issue of whether a particular defendant enjoyed "effective" assistance of counsel, is, in the end, however, a question of law. As implied by the Supreme Court in Powell v. State of Alabama, 1932, 287 U.S. 45, 53 S.Ct. 55, 77 L.Ed. 158, and Von Moltke v. Gillies, 1948, 332 U.S. 708, 68 S.Ct. 316, 92 L.Ed. 309, there is a legal standard, by definition normative and prescriptive, which must be applied to a particular set of facts in order to determine whether an accused received effective assistance of counsel. Thus while we question the trial court's findings of fact (see footnotes 4, 5, and 6 and accompanying text), we think the trial court erred in its conclusion of law, under either version of the facts, that Walker enjoyed effective assistance of counsel and thus pleaded guilty both voluntarily and intelligently.

In Powell v. State of Alabama, supra, the "Scottsboro case", the Supreme Court granted certiorari to decide whether the denial of the assistance of counsel in a criminal case violated the due process clause of the Fourteenth Amendment of the United States Constitution. In that case several blacks were accused of the rape of two white females. The state trial court appointed "all the members of the bar" to represent the defendants at arraignment. Only at the trial itself was specific defense counsel appointed. Limiting itself to the facts of this particular case, the Supreme Court held that in a capital case where the defendant is indigent and incapable of making his own defense, the court has the duty of appointing counsel to represent the defendant. The Court held that this duty was not discharged by an appointment that precluded effective assistance, that mere appointment of counsel is insufficient in and of itself to comply with the due process clause. While limited to its facts, Powell discussed the principles underlying effective assistance of counsel:

"However guilty defendants, upon due inquiry, might prove to have been, they were, until convicted, presumed to be innocent. It was the duty of the court having their cases in charge to see that they were denied no necessary incident of a fair trial. . . . 287 U.S. at 52, 53 S.Ct. at 58, 77 L. Ed. at 162.

* * * * * *

"Such designation of counsel as was attempted here was either so indefinite or so close upon the trial as to amount to a denial of effective and substantial aid in that regard . . . This action of the trial judge in respect of appointment of counsel was little more than an expansive gesture, imposing no substantial or definite obligation upon any one . . . The defendants did not have the aid of counsel in any real sense. . . .

287 U.S. at 53, 56, 57, 53 S.Ct. at 58, 59, 60, 77 L.Ed. at 162, 164.

* * * * * *

"It is not enough to assume that counsel thus precipitated into the case thought there was no defense, and exercised their best judgment in proceeding to trial without preparation. Neither they nor the court could say what a prompt and thorough-going investigation might disclose as to the facts. No attempt was made to investigate. No opportunity to do so was given. Defendants were immediately hurried to trial . . . Under the circumstances disclosed, we hold that defendants were not accorded the right of counsel in any substantial sense. To decide otherwise, would simply be to ignore actualities . . . 287 U.S. at 58, 53 S.Ct. at 60, 77 L.Ed. at 165.

* * * * * *

"The 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.

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