GLICKMAN, Associate Judge:
Prior to their trial on charges of assault with intent to kill while armed and other offenses, the government extended "wired" plea offers to appellant Basillo Benitez and his co-defendant, Carlos Sarmiento-Morales. The offers were not accepted, and the two men were tried and convicted on several counts. Benitez subsequently moved the trial court to vacate his convictions because his defense attorney never informed him of the government's offer, thereby denying him his Sixth Amendment right to the effective assistance of counsel. After an evidentiary hearing, the court credited Benitez's claim and found that he would have accepted the plea offer had he been advised of it. The court found, however, that Benitez would have been unable to go through with the proposed plea because there was no evidence that the government would have "unwired" it or that his co-defendant also would have accepted the plea offer. Concluding that Benitez therefore did not show prejudice from his counsel's failure to inform him of the plea offer, the court denied relief. Benitez has appealed that decision to this court.
We agree with the trial court that Benitez did not make a sufficient showing of prejudice. For the reasons stated below, we remand for further proceedings on Benitez's claim.
On November 21, 2004, according to the government's evidence at trial, Benitez and Sarmiento-Morales forced their way into the apartment of Virgilio Argueta and demanded money. When Argueta refused to give it to them, Sarmiento-Morales fetched a knife from the kitchen and gave it to Benitez, who proceeded to stab Argueta in the abdomen. Taking cash and other property belonging to Argueta, Benitez and Sarmiento-Morales then left the apartment. Argueta survived the stabbing and reported it to the police.
Eventually, Benitez and Sarmiento-Morales were arrested and charged with first-degree burglary, assault with intent to kill while armed, aggravated assault while armed, armed robbery, and other offenses arising out of the November 21 incident. Benitez was also charged with having threatened and assaulted Argueta
Following their indictment, the government extended identical written plea offers to Benitez and his co-defendant. In exchange for each defendant's plea of guilty to first-degree burglary, the government was prepared to dismiss all of the other charges and (if certain conditions were met) to agree not to allocute for more than the lowest period of incarceration in the applicable guideline range.
The offers expired on July 28, 2005. At a pretrial hearing on that date, the prosecutor informed the judge in the presence of both defendants and their counsel that the "defendants are rejecting the Government's plea offer." No defendant or defense counsel said anything in response to this statement.
Trial commenced a few weeks later. In the end, the jury acquitted Benitez and Sarmiento-Morales of first-degree burglary and armed robbery but found them guilty of assault with intent to kill while armed, aggravated assault while armed, and other, lesser offenses in connection with the November 21 incident. Benitez was found not guilty of the assault and threat charges relating to the November 16 incident. On November 28, 2005, the trial court sentenced him to serve 132 months in prison. This court affirmed his convictions on direct appeal.
While his appeal was pending, Benitez filed a motion in the trial court to vacate his conviction pursuant to D.C.Code § 23-110 (2001) alleging ineffective assistance of counsel. At an evidentiary hearing on the motion, Benitez testified that his defense attorney, Howard McEachern, failed to apprise him of the government's plea offer, thereby depriving him of the opportunity to accept that offer and limit his sentencing exposure. Benitez claimed that he would have accepted the offer had he been informed of it. The government disputed each of these assertions. It called McEachern, who testified that he was confident he discussed the plea offer with Benitez, even though he did not specifically remember doing so, and that Benitez steadfastly maintained his innocence. No other witnesses appeared at the hearing. At its conclusion, after confirming that the parties had no additional evidence to present, the court declared the evidentiary record closed ("I'm going to cut off the admission of any further evidence.... [O]nce I stop today there is not going to be any more evidence.") and proceeded to hear argument.
Following the argument, the court observed that while the parties had disputed whether McEachern had informed Benitez of the plea offer and whether Benitez would have taken it, there was another issue they had ignored: whether it would have been possible for Benitez to accept the government's offer and obtain its benefits, given that the offers extended to him and his co-defendant were wired. Even assuming Benitez would have wanted to plead guilty on the government's terms,
In its post-hearing submission, the government did not argue that the wired character of its plea offer defeated Benitez's ineffective assistance claim. Instead, the government simply urged the court to credit McEachern's testimony that he properly advised Benitez of the plea offer, or in the alternative to find that Benitez would not have accepted the offer in any event. In contrast, Benitez did address the issue the court had raised. Benitez argued that the prejudice prong of Strickland did not require him to show anything more than a reasonable probability that he would have accepted the plea offer had his attorney properly advised him of it. It would be unfair and inappropriate, Benitez argued, to demand that he also prove what his co-defendant or the prosecutor would have done, as such proof could never amount to anything other than "a black hole of speculation." Benitez noted that some federal courts had rejected a comparable requirement, that a defendant demonstrate a reasonable probability the trial court would have approved the plea agreement, as "an unworkable standard" that would be "inconsistent with Supreme Court precedent."
In a memorandum opinion and order, the court denied Benitez's motion for post-conviction relief. It credited Benitez's testimony and found that McEachern failed to inform him of the government's plea offer or explain the possible sentencing implications of a guilty plea.
Benitez argues that the trial court erred in three respects in concluding that he failed to show Strickland prejudice. We discuss each argument in turn.
Benitez argues, first, that the court erroneously required him to prove prejudice by a preponderance of the evidence rather than by a reasonable probability. There is a difference between those two standards of proof. A defendant must prove the "factual contentions" underlying his ineffectiveness claim by a preponderance of the evidence;
We agree that there is some ambiguity on this score in the court's order. After correctly quoting the Strickland standard, the order states that
The order goes on to state that "the movant who has the burden of proof here by an evidentiary preponderance has not offered any evidence to support ... the prejudice prong of Strickland." These passages arguably raise a concern that the court conflated the preponderance of the evidence standard with the reasonable probability standard.
However, we need not resolve whether the court applied an incorrect standard or whether, "in context," the quoted passages are more "reasonably read" as referring simply to the "burden of proof with regard to factual contentions."
Benitez argues that all he needed to show was a reasonable probability that he would have opted to take the plea offer had he been informed of it. He argues that the trial court erred in requiring him to show more just because the offer was conditioned on his co-defendant's acceptance as well — specifically, to show that Sarmiento-Morales probably would have agreed to plead guilty or that the government probably would have waived that precondition to allow Benitez to plead guilty by himself.
Of the two cases, Frye is the one more directly on point because, like the instant case, it involved a defense attorney who failed to inform his client of a plea offer, whereas Lafler involved an attorney who incompetently advised his client to reject an offer of which he was informed. "[A]s a general rule," the Court held in Frye, "defense counsel has the duty to communicate formal offers from the prosecution to accept a plea on terms and conditions that may be favorable to the accused."
It follows from Frye (and Lafler) that Benitez had to show more than that he would have chosen to accept the government's plea offer. An express condition of the offer was that Benitez could take advantage of it only if his co-defendant also agreed to it. If his co-defendant did not agree, the government had the right to cancel the offer. Thus, to establish prejudice, Benitez had to show a reasonable probability that either the government would have waived that condition or his co-defendant would have been willing to plead guilty on the government's terms.
That Benitez might have been unable to make such a showing in his particular case does not mean it was unfair to require him to do so in order to demonstrate he was prejudiced. As a general proposition, whether the government probably would have unwired a plea offer is not unsusceptible to proof. For example, in Gaviria, the probability that the government would have unwired the plea offer was evidenced by the prosecutor's acceptance of an unwired plea from a co-defendant and by the government's expressed willingness to entertain counter offers from individual defendants.
In the evidentiary hearing on his motion, Benitez made no effort to prove that Sarmiento-Morales would have joined him in accepting the government's plea offer (presumably because the issue did not surface until the court raised it at the conclusion of the hearing). On appeal, however, Benitez argues that the evidence showed that Sarmiento-Morales probably would have taken the offer had he known he could do so, and that the court erred in concluding otherwise. The gist of Benitez's argument is that the government's plea offer was so attractive that — for that reason alone — it is reasonably probable Sarmiento-Morales would have accepted it once the only condition preventing him from doing so (the condition that his co-defendant had to accept it as well) was satisfied. In evaluating this argument, we shall assume that the offer was attractive for the reasons Benitez cites: the prosecution case was a strong one; the government offered to dismiss all but one of the charges; and, most importantly, pleading guilty on the government's terms would have been likely to reduce Sarmiento-Morales's sentencing exposure significantly.
Even so, Benitez's argument is unpersuasive. What is most striking is that the record is devoid of any indication that Sarmiento-Morales or his attorney had any interest whatsoever in accepting the government's plea offer or in pleading guilty on any terms. There is no suggestion that Sarmiento-Morales was unaware of the plea offer. One would expect that if he was interested in taking it but was stymied by the condition that Benitez plead guilty too, his attorney would have inquired about the possibility of overcoming that impediment. Yet there is no evidence that Sarmiento-Morales's attorney made any overture to Benitez's attorney or to the prosecutor to enable Sarmiento-Morales to take the government's offer. There likewise is no evidence that Sarmiento-Morales ever spoke with Benitez personally about pleading guilty. And when the prosecutor stated on the record that the defendants had rejected the plea offer, Sarmiento-Morales and his counsel did not disagree; nor did they complain about the condition that precluded them from reaching a deal. It is entirely possible that Sarmiento-Morales and his attorney liked their chances at trial and preferred to "roll the dice" rather than plead guilty, or that they assessed the government's offer as insufficient.
A somewhat peculiar feature of this case is that the government never argued in the proceedings below that Benitez suffered no prejudice because the wired nature of the plea offer was an obstacle he could not have overcome. The government refrained from making this argument even after the court invited it to do so at the conclusion of the evidentiary hearing. Instead, the government rested on its arguments that Benitez's attorney properly advised him of the plea offer and that Benitez would not have accepted the offer in any event — arguments the court rejected.
Because the government did not rely on the wired nature of the plea in opposing his § 23-110 motion, and because the "wired plea" problem was raised for the first time after the court declared the evidentiary record closed, Benitez claims he was blindsided by the court's rationale for denying him relief. Anticipating that we might affirm the soundness of the court's legal reasoning (as we do), Benitez therefore asks us in that event to consider remanding the case for a further evidentiary hearing, at which he would have a chance to present whatever evidence he can muster to show either that the government would have unwired its plea offer to him or that Sarmiento-Morales would have been willing to accept the offer and plead guilty with him.
We think it appropriate to grant Benitez's request for a remand. Notwithstanding the D.C. Circuit's decision in Gaviria, it is understandable that Benitez did not seek to marshal evidence to meet an argument the government never made — particularly since it was uncertain prior to Frye and Lafler what a defendant in Benitez's shoes needed to show in order to demonstrate Strickland prejudice.
Therefore, to afford Benitez a full opportunity to show that the outcome of his criminal prosecution was adversely affected by his counsel's deficient performance and to give the trial court the opportunity
So ordered.
132 S.Ct. at 1410.