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United States v. Charles Frederick Leonard, 977 F.2d 597, 10th Cir. (1992)
United States v. Charles Frederick Leonard, 977 F.2d 597, 10th Cir. (1992)
2d 597
NOTICE: Although citation of unpublished opinions remains unfavored,
unpublished opinions may now be cited if the opinion has persuasive value on a
material issue, and a copy is attached to the citing document or, if cited in oral
argument, copies are furnished to the Court and all parties. See General Order of
November 29, 1993, suspending 10th Cir. Rule 36.3 until December 31, 1995, or
further order.
FACTS
3
The Government asserts that the Oklahoma authorities agreed only to drop the
pending methamphetamine manufacturing charge in exchange for Leonard's
statement. Leonard asserts that the Oklahoma authorities essentially promised
him full immunity from prosecution for any crime, state or federal, stemming
from the methamphetamine operation or the murder. Had he thought that he
remained open to federal prosecution for methamphetamine production, he
asserts, he would not have given the statement.2
After Leonard gave his statement, he was indicted in federal court for (1)
conspiracy to manufacture, possess with intent to distribute, and distribute
methamphetamine, in violation of 21 U.S.C. 846, and (2) continuing criminal
enterprise, in violation of 21 U.S.C. 848. The indictment was based on
substantially the same conduct as the Oklahoma manufacturing charge that was
dismissed pursuant to the confession agreement. Leonard moved to suppress his
statement to the Oklahoma authorities. The district court denied Leonard's
motion to suppress the statement, finding that the confession agreement
contained no grant of immunity from federal prosecution and that,
notwithstanding this fact, Leonard gave his statement voluntarily.3
When the district court denied his motion to suppress, Leonard pled guilty to
the continuing criminal enterprise charge. His guilty plea was made pursuant to
a plea agreement in which the Government agreed to (1) drop the conspiracy
charge, (2) prosecute no other federal charges against Leonard for any acts
occurring in connection with the federal investigation, (3) arrange for
Oklahoma to drop a first degree murder charge brought against Leonard for the
Canup murder, (4) request a two-level decrease in offense level for acceptance
of responsibility, (5) stipulate that the methamphetamine received by Leonard
was less than pure, and (6) stipulate that Leonard's participation in the
manufacturing of methamphetamine was minimal.
Leonard asserts that he entered the plea agreement, and the unconditional guilty
plea, upon the advice of counsel that he could subsequently appeal the district
court's denial of his suppression motion. This advice, to the extent that it was
given, was erroneous. United States v. Davis, 900 F.2d 1524, 1526 (10th Cir.)
("Because the effect of the guilty plea was to waive all nonjurisdictional
defenses, we need not and do not review the trial court's denial of [the
defendant's] suppression motions.") cert. denied, 111 S.Ct. 155 (1990). On
appeal, Leonard argues that this advice constituted ineffective assistance of
counsel.
DISCUSSION
8
10
This is not to say that any error by counsel in advising a defendant about a
guilty plea renders counsel constitutionally deficient. Where counsel errs in
predicting the future course of the law or how a court will apply present law
whose application allows discretion, counsel acts within the range of
competence mandated by the Constitution. See, e.g., Parker v. North Carolina,
397 U.S. 790, 797-98 (1970) (counsel's allegedly mistaken conclusion that
confession was admissible "was well within the range of competence required
of attorneys representing defendants in criminal cases"); United States v.
Zweber, 913 F.2d 705, 712 (9th Cir.1990) ("[The defendants'] lawyers failed to
anticipate the court's interpretation of [the U.S. Sentencing Guidelines], but
their approach was not clearly wrong under the existing cases.... Defense
counsel's assistance was not outside of the acceptable range of competence.").
As noted by the Fourth Circuit, " '[A]lthough counsel need not be a fortune
teller, he must be a reasonably competent legal historian. Though he need not
see into the future, he must reasonably recall (or at least research) the past....' "
Kennedy v. Maggio, 725 F.2d 269, 272 (4th Cir.1984) (citation omitted).
11
In a nearly identical case to this, the Seventh Circuit held that an attorney who
mistakenly informed a defendant that he could appeal evidentiary rulings after
pleading guilty was constitutionally deficient. United States ex rel. Healey v.
Cannon. 553 F.2d 1052, 1058 (7th Cir.), cert. denied, 434 U.S. 874 (1977).
Every circuit that we are aware of that has addressed the issue has held that
counsel who offers patently erroneous advice material to a guilty plea may be
constitutionally deficient. See Sparks v. Sowders, 852 F.2d 882, 885 (6th
Cir.1988) ("[G]ross misadvice concerning parole eligibility can amount to
ineffective assistance of counsel."); Iaea v. Sunn, 800 F.2d 861, 865 (9th
Cir.1986) ("[G]ross mischaracterization of the likely [sentencing] outcome
presented in this case, combined with ... erroneous advice on the possible
effects [of sentencing statute if defendant went] to trial, falls below the level of
competence required of defense attorneys."); Downs-Morgan v. United States,
765 F.2d 1534, 1539-41 (11th Cir.1985) ("patently erroneous advice" regarding
possibility of deportation as result of guilty plea may constitute ineffective
assistance of counsel); Kennedy v. Maggio, 725 F.2d 269, 272 (5th Cir.1984) ('
"Where counsel has induced defendant to plead guilty on the patently erroneous
advice that if he does not do so he may be subject to' [a significantly harsher
penalty]," counsel is constitutionally deficient.) (citation omitted); O'Tuel v.
Osborne, 706 F.2d 498, 500 (4th Cir.1983) (" '[W]hen [a defendant] is grossly
misinformed about [parole eligibility dates and the possibility of receiving the
death sentence] by his lawyer, and relies upon that misinformation, he is
deprived of his constitutional right to counsel.' ") (citation omitted); see also
Cepulonis v. Ponte, 699 F.2d 573, 577 (1st Cir.1983) ("[M]isinformation
[regarding parole eligibility] may be more vulnerable to constitutional
challenge than mere lack of information....").
12
Leonard also alleges that he relied on the erroneous advice of counsel--that but
for this advice, he would have pleaded not guilty and insisted on going to trial.
Thus, the facts alleged by Leonard are sufficient to state a claim for ineffective
assistance of counsel.
13
The Government does not dispute that the facts alleged by Leonard, if true,
would entitle him to relief. Rather, the Government argues that Leonard has not
offered sufficient proof of these facts. Additionally, the Government argues, the
facts available in the record suggest that Leonard would have pled guilty even
if his attorney gave him accurate advice regarding his ability to appeal the
district court's suppression ruling. Thus, the Government argues, we should
affirm Leonard's conviction. We disagree.
14
16
Admittedly, some courts have declined to grant relief where a defendant has
failed to offer adequate proof to support his allegations that he was
inadequately advised or that he relied on such advice. See United States v.
Jordan, 870 F.2d 1310, 1318 (7th Cir.) cert. denied, 493 U.S. 831 (1989);
United States v. Signori, 844 F.2d 635, 639 (9th Cir.1988). However, in each of
these cases the defendant apparently had the opportunity to develop a factual
record. See Jordan, 870 F.2d 1312 (defendant moved in district court to
suppress evidence of prior plea on ineffective assistance grounds); Signori, 844
F.2d at 639 (affidavits filed in district court at plea withdrawal motion).
17
18
The Government argues that the fact that Leonard admitted during the plea
colloquy that he pled guilty because he was guilty, R., Supp.Vol. III, at 20,
precludes a finding of prejudice. That is, the Government argues, Leonard
"admitted" that he pled guilty because he was guilty--not because he had been
given certain advice by counsel. However, this is not dispositive. As the
Eleventh Circuit explained, "A defendant's statement at the time of his Rule 11
hearing that his guilty plea is intelligent and voluntary is not dispositive,
although it gives rise to a presumption that the plea is constitutionally adequate.
... Any presumptions arising from these statements ... are overcome because
[the defendant] had no way of knowing at the time of the hearing that his
lawyer had incorrectly informed him...." Downs-Morgan, 765 F.2d at 1541 n.
14. The same reasoning applies to a defendant's statement at a Rule 11 hearing
that he is pleading guilty because he is guilty.
19
20
21
Accordingly, we REMAND.
The Honorable Bruce M. Van Sickle, Senior District Judge of the United States
District Court for the District of North Dakota, sitting by designation
**
This order and judgment has no precedential value and shall not be cited, or
used by any court within the Tenth Circuit, except for purposes of establishing
the doctrines of the law of the case, res judicata, or collateral estoppel. 10th
Cir.R. 36.3
After examining the briefs and appellate record, this panel has determined
unanimously that oral argument would not materially assist the determination
of this appeal. See Fed.R.App.P. 34(a); 10th Cir.R. 34.1.9. Therefore, the case
is ordered submitted without oral argument
On the tape, the parties note, "this statement is predicated upon the District
Attorney's Office grant of immunity, which would have to be judicially done ...
at some point in time or in exchange for ... a dismissal of ... the one count
manufacturing charge that's pending." Defendant/Appellant's Opening Br.,
App. B, at 1. This is not necessarily inconsistent with Leonard's purported
understanding of the agreement. Leonard asserts that the Oklahoma authorities
led him to believe that the one manufacturing charge was the only charge that
the state intended to bring against him and that the federal government did not
intend to bring charges against him
The record before us is inadequate to assess the validity of the district court's
findings. Moreover, as discussed below, Leonard's guilty plea precludes us from
reviewing the denial of his motion to suppress