GREGORY, Circuit Judge:
Respondent-Appellant Thomas Blackledge has been civilly committed as a sexually dangerous person under the Adam Walsh Child Protection and Safety Act of 2006 ("Adam Walsh Act"), codified at 18 U.S.C. §§ 4247-48. Prior to a hearing on his commitment, Blackledge successfully moved for the appointment of an expert forensic examiner, who opined that he was indeed a sexually dangerous person. Blackledge then sought the appointment of a second expert and an extension of the deadline for discovery. A magistrate judge denied both motions without prejudice, and when counsel renewed the motions after the discovery deadline had passed, the motions were again denied. Citing an internal ethical conflict, Blackledge's attorney later moved to withdraw as counsel, which the magistrate judge denied. Counsel appealed the ruling to the district court and filed a second motion to withdraw, this time also noting that Blackledge had filed a bar complaint against her. The district court denied both the appeal of the magistrate judge's ruling and the second motion to withdraw.
On appeal, Blackledge challenges the denial of the motions to extend and reopen the discovery period, motions to withdraw as counsel, and motions to appoint a second expert. Because we find that the district court abused its discretion in denying the motions to withdraw as counsel, we vacate and remand.
As relevant to these proceedings, we briefly summarize Blackledge's criminal history.
Following his release, Blackledge violated the terms of his probation by possessing images of nude children on his home computer. He was consequently sentenced
The court appointed the Federal Public Defender's Office to represent Blackledge, and on March 11, 2011, Sonya Allen ("Attorney Allen") entered an appearance on Blackledge's behalf. Attorney Allen moved for the appointment of Dr. Terrence Campbell as an expert forensic examiner, which a magistrate judge granted on August 4, 2011. After interviewing Blackledge and considering various materials, Dr. Campbell opined that he was indeed a sexually dangerous person under the Adam Walsh Act.
On October 11, 2011, Attorney Allen moved for the appointment of a second expert, Dr. Joseph Plaud, and requested an extension of the time for discovery. The magistrate judge denied the motions on November 4, 2011 without prejudice, finding that Blackledge failed to show the need for the appointment of a second expert. The magistrate judge granted a later request to extend discovery until December 22, 2011, and the district court set a bench trial for June 14, 2012. On April 17, 2012, two additional attorneys entered appearances as Attorney Allen's co-counsel, and the court continued the trial until August 2, 2012. On June 14, 2012, Attorney Allen filed a sealed motion renewing Blackledge's request to appoint Dr. Plaud and asking the court to reopen discovery and continue the trial. The magistrate judge denied the motions on July 2, 2012, finding that Blackledge again failed to show good cause for the appointment of a second expert, and that appointment at that stage would disrupt the court's prior scheduling orders.
On July 10, 2012, Attorney Allen filed a motion to withdraw as counsel on the ground that an internal conflict had arisen and she could "no longer continue to ethically represent" Blackledge. J.A. 80. Speaking carefully to avoid violating client confidences or revealing trial strategies, Attorney Allen represented at a hearing on the motion that her internal ethical conflict arose from the fact that Blackledge requested to see certain items that she could not provide him. She added that Blackledge wished to proceed with new counsel and that she had located a panel attorney experienced in § 4248 hearings who could take over the matter immediately. Blackledge also stated at the motions hearing that Attorney Allen had failed to provide him certain documents he requested, and that he felt ignored by her, which made it very difficult for them to communicate.
Blackledge complained in particular about Attorney Allen's failure to obtain a second expert, and Attorney Allen explained that she did not renew the motion earlier because she thought she had more time to do so. While Attorney Allen asserted that Dr. Plaud said only that it was possible that he would find Blackledge not to be a sexually dangerous person, her co-counsel represented that Dr. Plaud had preliminarily indicated that he could testify favorably for Blackledge. Attorney Allen asserted that she had failed at allaying Blackledge's concerns about his defense, and that, as a result of her error, they no
The magistrate judge denied the motion to withdraw, finding that it was untimely and that there was no breakdown in the attorney-client communications that prevented an adequate defense. On July 23, 2012, Attorney Allen appealed the magistrate judge's ruling to the district court, and on July 30, 2012, she filed a second motion to withdraw. The second motion asserted that Blackledge had filed a state bar grievance against her, causing a conflict of interest where she could not defend against the bar complaint while also representing Blackledge.
The bench trial began on August 2, 2012, and the district court first took up the appeal of the magistrate judge's ruling and the second motion to withdraw. Attorney Allen described her relationship with Blackledge as follows: "our relationship has deteriorated to a point that we cannot discuss his case, strategies of his case. We cannot effectively communicate. That has tied my hands with regard to being able to represent him effectively." J.A. 148-49. She continued: "One of the essential parts of defending someone would be whether they decide to testify or not and how you would go about preparing them for that testimony. That's not even something I can discuss with Mr. Blackledge, so we have not been able to address that appropriately." J.A. 151. Blackledge also explained to the court that he had not "even really had any trial preparation with [Attorney Allen]" and that he had not seen her "for quite sometime [sic]." Id. Attorney Allen added that the bar complaint had put her "at odds with" Blackledge. J.A. 149.
The district court told Blackledge that he might have to proceed pro se if the motions were granted, and Blackledge stated that he would proceed with Attorney Allen if forced to because he could not defend himself. The court denied the appeal and the second motion, finding that Attorney Allen had not abandoned Blackledge as he claimed and that there was not a breakdown in communications that would prevent an adequate defense. Attorney Allen moved to bifurcate the trial so that the available witnesses could testify, but Blackledge would be allowed to later present an expert opinion from Dr. Plaud. The court denied the motion to bifurcate, and the trial proceeded.
At trial, the Government presented the testimony of two expert witnesses, Dr. Christopher North and Dr. Campbell, and the written report of a third expert witness, Dr. Tonya Cunic. All three experts diagnosed Blackledge with pedophilia — sexually attracted to boys and girls, non-exclusive type — among other psychiatric disorders. All three experts concluded that Blackledge met the criteria for a sexually dangerous person under § 4248. Blackledge did not testify or present evidence.
On August 10, 2012, the court found by clear and convincing evidence that Blackledge is a sexually dangerous person under the Adam Walsh Act and ordered his commitment. The court specifically found that Blackledge engaged in child molestation and sexually violent conduct, suffers from pedophilia and antisocial personality disorder, and, as a result, would have serious difficulty refraining from reoffending.
An individual in the custody of the Federal Bureau of Prisons may be civilly committed under § 4248 if the Government proves in a hearing that the person is a sexually dangerous person. 18 U.S.C. § 4248(d). The Government must prove each of the following by clear and convincing evidence: (1) the person "has engaged or attempted to engage in sexually violent conduct or child molestation" ("prior conduct" element); (2) the person "suffers from a serious mental illness, abnormality, or disorder" ("serious mental illness" element); and (3) "as a result of" such condition, the person "would have serious difficulty in refraining from sexually violent conduct or child molestation if released" ("volitional impairment" element). 18 U.S.C. § 4247(a)(5), (6), 4248. United States v. Hall, 664 F.3d 456, 458 (4th Cir.2012). Blackledge has stipulated that he engaged in sexually violent conduct or child molestation or attempted to do so, and that he suffers from pedophilia, a serious mental illness, abnormality, or disorder. The trial thus centered on whether he satisfies the volitional impairment element.
Blackledge argues on appeal that the court abused its discretion in denying his motions to extend and reopen discovery, motions to withdraw as counsel, and motions to appoint Dr. Plaud. We hold that the court did abuse its discretion in denying the motions to withdraw and remand for the court to reconsider these motions by engaging in a thorough inquiry as to the extent of Attorney Allen's conflict. We therefore need not address Blackledge's remaining arguments.
We review the denial of a motion to withdraw for abuse of discretion. United States v. Johnson, 114 F.3d 435, 442 (4th Cir.1997) (citing United States v. Mullen, 32 F.3d 891, 895 (4th Cir.1994)). Blackledge argues that Attorney Allen abandoned his case during the time in which she should have renewed the motion to appoint Dr. Plaud, and thus had a significant conflict presented by her interest in protecting her own professional reputation thereafter. He maintains that because he has a right to counsel under the Adam Walsh Act,
The Government argues in response that Blackledge was not prejudiced by the denial of the motions because he remained represented by one of Attorney Allen's co-counsel,
In deciding whether a district court has abused its discretion in denying a motion to withdraw or to substitute counsel, we consider three factors: (1) timeliness of the motion; (2) adequacy of the court's inquiry; and (3) "whether the attorney/client conflict was so great that it had resulted in total lack of communication preventing an adequate defense." United States v. Gallop, 838 F.2d 105, 108 (4th Cir.1988) (internal citations omitted). If the court abused its discretion, the ruling is subject to harmless error review. See United States v. Horton, 693 F.3d 463, 467 (4th Cir.2012). We review the court's factual findings for clear error and its legal conclusions de novo. Hall, 664 F.3d at 462. "A finding is `clearly erroneous' when although there is evidence to support it, the reviewing court on the entire evidence is left with the definite and firm conviction that a mistake has been committed." Id. (internal citations omitted).
Turning to the first factor, it appears that at least the second motion to withdraw was untimely. Attorney Allen filed the first motion on July 10, 2012, slightly more than three weeks before trial. The magistrate judge noted the court's difficulty in scheduling hearings so that all the necessary witnesses could be available, and Blackledge acknowledged that granting the motion would require another continuance so that new counsel could prepare. Consistent with our prior holding that a motion to substitute counsel filed two weeks before the relevant hearing was timely, the initial motion to withdraw in this case was likely timely. See United States v. Jennette, 387 Fed.Appx. 303, 307 (4th Cir.2010). However, the second motion was filed on July 30, 2012, only three days before trial. The district court noted that it had a very busy trial calendar for August and September, and that granting the motion at that point would frustrate its scheduling orders. Although the district court was certainly on notice that Attorney Allen wished to withdraw as counsel after the first motion was filed, "[i]n considering timeliness when a defendant requests substitution of counsel, `the court is entitled to take into account the ... public interest in proceeding on schedule.'" Mullen, 32 F.3d at 895 (internal citations omitted). As such, this factor weighs somewhat in favor of the court's ruling.
Turning to the second factor, however, the record reveals that the district court failed to engage in an adequate inquiry. "When a defendant raises a seemingly substantial complaint about counsel, the judge `has an obligation to inquire thoroughly into the factual basis of defendant's dissatisfaction.'" Id. at 896 (internal citations omitted). "An inquiry into the reasons for a defendant's dissatisfaction with his or her lawyer is necessary for the trial court to determine whether good cause for substitution of counsel exists." Id. (internal citations omitted). "The district court is far better situated than we are to observe and inquire into the state of the relationship between a defendant and his appointed counsel, and thus, where the district court has met its `obligation to inquire thoroughly into the factual basis of defendant's dissatisfaction,' ... we apply the ordinary standard of review to its factual findings: clear error." United States v. Smith, 640 F.3d 580, 590 (4th Cir.2011) (citing Mullen, 32 F.3d at 896). While motions to substitute counsel often arise at the defendant's urging, when the attorney also seeks to withdraw, the court must thoroughly inquire into the factual basis of any conflicts asserted by counsel.
In this case, the district court did not meet its obligation to thoroughly inquire into the extent of the communications breakdown or the basis of the asserted
Turning to the third factor, because the district court failed to engage in an adequate inquiry, its factual determination that there was not a total breakdown in communication preventing an adequate defense is not entitled to clear error review. See Smith, 640 F.3d at 590. Even if we were to review this finding for clear error, however, this factor likewise weighs against the district court's ruling.
Firstly, a conflict of interest emerged once Attorney Allen failed to timely renew the motion to appoint Dr. Plaud before the discovery deadline passed. We find useful the Supreme Court's decision in Maples v. Thomas, in which a post-conviction petitioner's attorneys abandoned their representation of him and missed a critical deadline, thereby causing a procedural default of the petitioner's claims. ___ U.S. ___, 132 S.Ct. 912, 916-25, 181 L.Ed.2d 807 (2012). While dicta, the Supreme Court found in Maples that "a significant conflict of interest arose for the firm once the crucial deadline passed" because "the firm's interest in avoiding damage to its own reputation was at odds with [the client's] strongest argument" for excusing the procedural default. Id. at 925 n. 8.
In this case, we need not decide whether Attorney Allen actually abandoned Blackledge as in Maples because a conflict arose from the fact that the alleged abandonment was Blackledge's strongest argument for excusing the untimeliness of the renewed motion. Indeed, we recently recognized in the context of federal habeas proceedings that "a clear conflict of interest exists in requiring ... counsel to identify and investigate potential errors that they themselves may have made...." Gray v. Pearson, 526 Fed.Appx. 331, 334 (4th Cir. 2013). This conflict exists irrespective of whether the attorney is ultimately found to have erred. See id. at 334-35. Likewise,
Secondly, in her second motion to withdraw, Attorney Allen explained that Blackledge had recently "indicated that he intends to file a complaint with the North Carolina State Bar against counsel because of her failure to obtain an expert in his case, unless she removes herself from his case." J.A. 120. As in Maples, this threat and the subsequent filing of a bar complaint against Attorney Allen for her conduct thus put her own professional interests directly at odds with those of her client's interests. Certainly, not every bar complaint against an attorney by her client will result in a conflict of interest, and we have previously expressed our unwillingness to "invite [those] anxious to rid themselves of unwanted lawyers to queue up at the doors of bar disciplinary committees on the eve of trial." United States v. Burns, 990 F.2d 1426, 1438 (4th Cir.1993). However, in this case, Blackledge threatened and ultimately submitted a seemingly non-frivolous grievance against Attorney Allen that forced her to choose between protecting her own reputation and arguing in her client's best interest that Blackledge should not be made to bear the consequence of her own errors in submitting the renewed motion to appoint Dr. Plaud.
Thirdly, Attorney Allen also asserted an internal ethical conflict, and because the district court failed to conduct an adequate inquiry, it is unclear if this conflict was ever resolved prior to trial. Moreover, the district court made no inquiry whatsoever into the scope and nature of this conflict. As a result, we have no way of knowing whether Attorney Allen's internal ethical conflict was indeed so significant that it required her withdrawal as counsel. The fact that she told the magistrate judge that she would represent Blackledge zealously "with great difficulty" if the motion were denied, J.A. 101, is of little help, because, having been made aware of its existence, the court had a sua sponte obligation to examine the extent of this conflict. See Mickens v. Taylor, 240 F.3d 348, 357-58 (4th Cir.2001) ("[A] trial court must inquire into a conflict of interest `when it knows or reasonably should know that a particular conflict exists.'") (quoting Cuyler v. Sullivan, 446 U.S. 335, 347, 100 S.Ct. 1708, 64 L.Ed.2d 333 (1980)). Indeed, to the extent that Attorney Allen did opine that she could continue to represent Blackledge, this assertion cannot be isolated from her repeated protestations that she could not do so ethically.
Notwithstanding this lack of clarity as to the extent of the internal ethical conflict, Attorney Allen's delay in renewing the motion to appoint Dr. Plaud and the bar complaint against her, taken together, created a conflict of interest. As such, we must consider whether the conflict resulted in a total breakdown in communications
The most telling evidence of the extent of the breakdown and its impact on Blackledge's defense is the assertion from Attorney Allen and Blackledge on the morning of the trial that they failed to engage in trial preparation or discuss whether Blackledge would testify. The dissent overstates the extent to which Attorney Allen conferred with Blackledge about whether he would testify, as she declined the court's offer to take a recess in order to do so, citing the fact that she had spoken with him "just briefly" in deciding not to present any witnesses or evidence. J.A. 233. In Jennette, we held that a court abused its discretion in denying a motion to substitute counsel prior to a sentencing hearing in light of the fact that both counsel and the defendant "stated that they had not had a chance to review the PSR together, and indeed had not really spoken since the trial concluded, certainly a fundamental step for adequate representation at sentencing." 387 Fed.Appx. at 307.
In this case, Attorney Allen labored under a conflict of interest that caused her communications with Blackledge to be so broken that a "fundamental step for adequate representation" — basic trial preparation — failed to occur. As we have previously noted, "it is the marriage of the attorney's legal knowledge and mature judgment with the defendant's factual knowledge that makes for an adequate defense." Smith, 640 F.3d at 588. In this case, because of the communications breakdown, Blackledge presented no evidence or testimony in proceedings that, like a sentencing hearing, often turn on mitigating evidence as to the respondent's continued dangerousness. This factor therefore weighs against the court's ruling.
Weighing all three Gallop factors, we hold that the district court abused its discretion. The second motion to withdraw was untimely, as the district court found. However, the motions do not appear to be a "transparent plot to bring about delay," and "we have never found [untimeliness] a bar when a substitution claim is otherwise meritorious." Smith, 640 F.3d at 596 (internal citations omitted). The district court failed to perform an adequate inquiry here, but the record before us nonetheless reveals that the above-discussed conflict resulted in a communications breakdown that prevented Attorney Allen and Blackledge from mounting an adequate defense. As such, the court abused its discretion in denying the motions to withdraw.
A district court's abuse of discretion in denying a motion to substitute counsel is subject to harmless error review. Horton, 693 F.3d at 467. Although Horton does not explicitly prescribe how to proceed with this harmlessness analysis, we cited a Seventh Circuit case holding that a court's error in denying a motion for new counsel was harmless because the defendant had not shown that his counsel was constitutionally ineffective under the Sixth Amendment. Id. (citing United States v. Wilks, 46 F.3d 640, 644 (7th Cir.1995)). Blackledge acknowledges that he does not have a right to effective assistance of counsel under the Sixth Amendment, and we need not and do not decide here whether he has an analogous right under the Due Process Clause. However, even if we were to consider whether the
In Horton, we assumed without deciding that the district court abused its discretion since the court's failure to conduct any inquiry left us with an incomplete record upon which to determine the extent of the communications breakdown and whether it prevented an adequate defense. 693 F.3d at 467. Still, we found that the error was harmless, noting that the defendant had not identified "any specific way in which his defense was hampered by any lack of communication with his counsel," and, indeed Horton later indicated that he had an ample opportunity to discuss his case with his lawyer, had done so, and was fully satisfied with his representation. 693 F.3d at 467. In Blackledge's case, however, his representation was undoubtedly hampered by his lack of communication with Attorney Allen since it prevented them from preparing for trial or discussing whether he would testify,
Further, we rejected the argument that the denial of a motion to substitute counsel was harmless in Jennette, where defense counsel failed to go over the PSR with his client prior to the sentencing hearing, despite the fact that the court actually reviewed the PSR with the defendant in open court. 387 Fed.Appx. at 307-08. "Although laudable," we noted that "going over the PSR with the district judge in open court can hardly be said to substitute for a private, attorney-client-privileged conversation with counsel before sentencing even begins." Id. at 308. Even if such an action could have rendered the court's abuse of discretion harmless in Jennette, there was no such attempt to cure the deficiencies in Blackledge's representation caused by the breakdown in communications, nor could there have been here other than to allow conflict-free counsel to take Attorney Allen's place.
In total, in proceedings that could result in lifelong incarceration for a person who has already served his full sentence, Blackledge was forced to be represented by a
For the foregoing reasons, we vacate the district court's judgment denying the motions to withdraw and remand for further proceedings consistent with this opinion. In light of this ruling, we need not consider at this time Blackledge's remaining arguments regarding the motions to reopen and extend discovery and to appoint Dr. Plaud.
VACATED AND REMANDED
SHEDD, Circuit Judge, dissenting:
If the record supported the majority's narrative that the district court failed to investigate Attorney Sonya Allen's asserted conflicts of interest and forced Blackledge to participate in the civil commitment hearing without meaningful assistance of counsel, I would join the decision to vacate the judgment. However, the record establishes quite the contrary.
During two separate hearings, the magistrate judge and the district judge thoroughly considered Attorney Allen's motions to withdraw as counsel, both of which were untimely, and gave Blackledge and Attorney Allen ample opportunity to address the purported conflicts. After personally observing their in-court interaction, the magistrate judge found that Blackledge and Attorney Allen were able to communicate adequately in his defense; that finding — which was reviewed by the district judge — is not clearly erroneous. Moreover, the district judge explained why the purported conflicts did not prevent Attorney Allen from representing Blackledge, and both judges recognized the prejudicial impact that granting the withdrawal motions would have on the government and the administration of justice. Further, Attorney Allen fully represented Blackledge at the commitment hearing, filing a prehearing brief, cross-examining witnesses, conferring with him about whether he would testify or present evidence, and making a closing argument.
Simply put, the district court did not abuse its discretion in denying the withdrawal motions. Because the court committed no discernible error, I dissent from the majority's decision to vacate the judgment.
I begin with an overview of pertinent aspects of the Adam Walsh Child Protection and Safety Act, 18 U.S.C. § 4248. Enacted in 2006, the Act is "a modest addition to a set of federal prison-related mental-health statutes that have existed for many decades,"
A § 4248 hearing is "civil in nature," and "the constitutional rights to which a defendant in a criminal trial is entitled do not adhere to [the] respondent in [the] commitment hearing." United States v. Wood, 741 F.3d 417, 423 (4th Cir.2013) (citation and internal quotation marks omitted). Moreover, "[a]s compared to the goal of a criminal trial, the goal of a commitment hearing is far different." United States v. Baker, 45 F.3d 837, 844 (4th Cir.1995). The "basic issue" in a criminal case "is a straightforward factual question — did the accused commit the act alleged?" Addington v. Texas, 441 U.S. 418, 429, 99 S.Ct. 1804, 60 L.Ed.2d 323 (1979). A criminal trial serves "to uncover the truth by examining rigorously the reliability of conflicting evidence presented and then engaging in extensive factfinding," and the "rights of cross-examination and confrontation, as well as the right to effective assistance of counsel, are all directed toward this goal." Baker, 45 F.3d at 844. In contrast, the primary inquiry in a commitment hearing "involves a question that is essentially medical," Vitek v. Jones, 445 U.S. 480, 495, 100 S.Ct. 1254, 63 L.Ed.2d 552 (1980), and it is based primarily upon the theoretical opinions of experts, Baker, 45 F.3d at 845. "The aim of cross-examination is changed accordingly: its goal is not to `poke holes' in the testimony of a witness, but to test the expert opinion given and determine its basis and its limits." Id.
When the government initiates a § 4248 civil commitment proceeding, the district court "may order that a psychiatric or psychological examination of the defendant be conducted, and that a psychiatric or psychological report be filed with the court pursuant to the provisions of [18 U.S.C. §§] 4247(b) and (c)." 18 U.S.C. § 4248(b). If the court finds more than one examiner "appropriate," it may appoint additional examiners. 18 U.S.C. § 4247(b). Each examiner is designated by the court, except "upon the request of the defendant an additional examiner may be selected by the defendant." Id. Regardless of whether the defendant selects the examiner, however, the § 4247(b) examiner serves as an "officer of the court, not responsible to prosecution or defense," In re Harmon, 425 F.2d 916, 918 (1st Cir.1970), and must file his report with the court and provide copies to government and defense counsel, 18 U.S.C. § 4247(c).
At the commitment hearing, the defendant "shall be represented by counsel and, if he is financially unable to obtain adequate representation, counsel shall be appointed for him pursuant to § 3006A." 18 U.S.C. § 4247(d). Additionally, the defendant "shall be afforded an opportunity to testify, to present evidence, to subpoena witnesses on his behalf, and to confront and cross-examine witnesses who appear at the hearing." Id.
To civilly commit an individual under § 4248, the government must prove by clear and convincing evidence that the person: (1) engaged in or attempted to engage in sexually violent conduct or child molestation (the "prior conduct element");
When a district court determines (as a preliminary factual matter) that the government has proven the "prior conduct" element, it must then consider the "mental illness" and "serious difficulty" elements. These latter two elements "ensure that commitment is limited to inmates with a volitional impairment — inmates whose mental illness renders them dangerous beyond their control." United States v. Wooden, 693 F.3d 440, 442 (4th Cir.2012) (citation and internal quotation marks omitted). Therefore, the court must evaluate "the individual's present mental condition and the likely prospective effect of that mental condition on his volitional control;" this evaluation depends "on the significance of the factual information as viewed by the expert psychiatrists and psychologists." Francis, 686 F.3d at 275. Compared to the first two elements, the "serious difficulty" element is "more complicated" because "it requires the court to issue a predictive judgment: has the Government met its burden by presenting clear and convincing evidence that, in the uncertain future, the respondent will have serious difficulty in refraining from sexually violent conduct or child molestation?" United States v. Antone, 742 F.3d 151, 159 (4th Cir.2014) (internal quotation marks and citation omitted).
With this backdrop in mind, I now turn to the pertinent facts. In my view, proper evaluation of the decision to deny the withdrawal motions requires a complete understanding of the facts of this case, but many critical facts are not acknowledged by the majority, and these facts tend to fatally undermine the majority's decision.
Blackledge has a substantial criminal history, which spans 45 years and includes a conviction for first degree murder, multiple convictions for producing and mailing child pornography, a conviction for sexual exploitation of a minor, and a probation violation for possessing child pornography. Based on this record, the government filed a "Certificate of Sexually Dangerous Person" against Blackledge in September 2009. In June 2010, the district court appointed the Federal Public Defender's Office ("FPDO") to represent Blackledge. Shortly thereafter, Blackledge moved to dismiss the case. The court denied that motion in January 2011. Initially, other FPDO attorneys represented Blackledge, but in March 2011, FPDO Attorney Allen replaced those attorneys.
Attorney Allen actively represented Blackledge in pretrial matters. As one of her discovery efforts, she obtained the appointment of Dr. Terence Campbell to provide a forensic evaluation of Blackledge pursuant to § 4247(b). Unfortunately for Blackledge, Dr. Campbell concluded that Blackledge meets the sexual dangerousness criteria for civil commitment. Upon receiving Dr. Campbell's report, Attorney Allen attempted to have Dr. Joseph Plaud appointed as an additional forensic examiner, but the magistrate judge denied the motion without prejudice based on his finding that Blackledge had failed to establish a need for an additional court-appointed examiner. Blackledge did not appeal this order to the district judge. The deadline for discovery was December 22, 2011.
On June 14, Blackledge filed a "renewed motion" to have Dr. Plaud appointed, to reopen discovery, and to reschedule the August 2 commitment hearing. Blackledge asserted that "securing an expert to testify favorably ... is of paramount importance to putting on an adequate defense." J.A. 306. Opposing this motion, the government argued that Blackledge "has not shown a need for a second additional examiner, aside from the stated desire to secure an expert to testify favorably [for him]. Such a purpose falls outside the statutory provisions governing court-appointed examiners in this proceeding." J.A. 77. In a subsequent reply memorandum supporting the motion, Blackledge asserted that this is a "battle-of-the-experts case" and that his ability to defend himself would be prejudiced without a favorable expert. J.A. 310.
The magistrate judge denied this motion on July 2, finding that it was untimely and that Blackledge failed to show that appointment of Dr. Plaud was necessary. The magistrate judge explained that Blackledge made "no representation that Dr. Plaud has reached a preliminary opinion that [he] does not qualify as a sexually dangerous person or that the other evaluations under § 4248 are somehow flawed based on a review of the records without a clinical interview. Such a record review [by Dr. Plaud] would not require court approval." J.A. 314-15. Blackledge did not appeal this order to the district judge.
On July 10, just over three weeks before the scheduled trial date, Attorney Allen moved for an order allowing her and the entire FPDO to withdraw. In the motion, Attorney Allen asserted without further explanation that "an internal conflict has arisen and the undersigned can no longer ethically continue to represent" Blackledge. J.A. 80. After the government filed a memorandum opposing this motion, Attorney Allen filed a reply memorandum, in which she stated: "To clarify the position of Respondent, Mr. Blackledge personally wishes to proceed in this matter with new counsel." J.A. 86. Apart from this statement, Attorney Allen offered no further explanation for the motion, but she did ask for a hearing if the court desired additional information.
On July 17, Attorney Graves filed a notice that she had withdrawn from the case. The notice contains no explanation for her withdrawal.
On July 18, the magistrate judge held a hearing on the withdrawal motion. The hearing lasted almost one hour, and Attorneys Allen, Graves, and Shea appeared on behalf of Blackledge. See J.A. 89. The magistrate judge began by confirming that Blackledge joined in the motion and was seeking new counsel. The magistrate judge then asked Attorney Allen to explain the "internal conflict" underlying the motion. Attorney Allen responded that "there are some things that [Blackledge] wants to see that I am not going to be able to help him with and because of that there's a conflict that we just will not be able to resolve." J.A. 91.
At this point, the magistrate judge asked Attorney Allen about possible replacement counsel. Attorney Allen stated that she understood a private attorney would accept the case, but that the attorney would not be prepared to go forward with the August 2 hearing. The magistrate judge then paused the hearing in order to permit Attorney Shea to confer with Blackledge. J.A. 99. When the hearing resumed, Attorney Allen stated that she understood why Blackledge had lost confidence in her, but she acknowledged that she could represent him "with great difficulty." J.A. 101. The magistrate judge then spent some time explaining to Blackledge the role of a lawyer, after which the government attorney briefly stated the government's position.
Following the government's statement, Blackledge expressed his concern that he did not have an adequate defense because he did not have an expert witness who would testify on his behalf at the hearing. Blackledge also alluded to "other matters" but stated that he could not discuss them "because they are a part of my defense that were mishandled." J.A. 106. Blackledge then stated that all he wanted was "a level playing field and a fair shake and I don't think I'm getting it the way things are now." Id. The magistrate judge observed that Blackledge's complaint was really about the orders denying Dr. Plaud's appointment, to which Blackledge responded that he had been "laboring under the assumption" that Attorney Allen had procured a new expert examiner for him, only to find out that another expert had been "precluded by the Court." J.A. 107. The magistrate judge explained that there was no basis under the circumstances for Blackledge to have another court-appointed examiner.
In response, Attorney Graves (who had previously withdrawn from the case) stated that Dr. Plaud had given "a preliminary determination ... that he could potentially clear" Blackledge for commitment. Id. Attorney Allen then admitted that she had neglected to move for another expert to be appointed in a timely manner, and she noted that this was "another conflict" and "one of the reasons" for the withdrawal motion. J.A. 108. Attorney Allen also stated that "[w]ith no expert, there's very little reason for [Blackledge] to have a trial
The magistrate judge raised the possibility of conducting an ex parte hearing with Blackledge and Attorney Allen. J.A. 111. However, the magistrate judge asked Blackledge if he had anything further to add regarding his relationship with Attorney Allen, and Blackledge responded that he had adequately conveyed his position. Id. With that concession, the magistrate judge then announced his ruling from the bench.
Denying the motion, the magistrate judge first found that it was untimely. As the magistrate judge explained: "Mr. Blackledge ... states that he's had concerns about his counsel going back for months and yet this motion is filed in a matter of weeks before the hearing in this case." J.A. 113. The magistrate judge then noted the difficulties involved in scheduling commitment hearings and that a continuance would be necessary if the motion was granted. Finally, the magistrate judge stated that after considering the information presented, he had a "full picture of the nature of the problem" between Attorney Allen and Blackledge, and he did not believe that there was a breakdown in communication that would prevent an adequate defense. J.A. 114. In support of this point, the magistrate judge pointed out that Blackledge and Attorney Allen conferred "at Mr. Blackledge's initiation in court today." Id.
On July 23, Attorney Allen filed an appeal of the magistrate judge's order denying the withdrawal motion. As grounds for the appeal, Attorney Allen stated that the magistrate judge's order is "contrary to law," J.A. 119, specifically Maples v. Thomas, ___ U.S. ___, 132 S.Ct. 912, 181 L.Ed.2d 807 (2012).
The following day, Attorney Shea filed a notice that she had withdrawn from the case. As with Attorney Graves, the notice contains no explanation for Attorney Shea's withdrawal.
On July 26, Blackledge sent a handwritten letter to the district court stating that he had "written the bar association to dismiss the team of Shea, Graves, and Allen" and that he was "serious about wanting new blood and attentiveness to [his] defence [sic]." J.A. 129 (emphasis in original).
That same day, Attorney Allen filed Blackledge's proposed findings of fact and conclusions of law. Evidently, she had discussed some aspects of the case with Blackledge because she foreshadowed his expected hearing testimony, stating (in predictive form) that he "denied possession and use of any drugs while incarcerated" and testified "with regard to the sex offender treatment and drug treatment he received in the past and his prior convictions for sexual conduct," "about his conduct while incarcerated," and "that he has received no infractions of any nature, sexual or otherwise" during his time at FCI-Butner. Respondent's Proposed Findings of Fact and Conclusions of Law, No. 5:09-HC-2118-D-JG (E.D.N.C. July 26, 2012) (pages 14-15).
On July 30, Attorney Allen filed a "second motion" to withdraw as counsel. In this motion, she referenced Blackledge's complaint with the state bar and stated that she believed she could no longer represent him.
On July 31, the parties' Second Amended Joint Proposed Pre-Trial Order was filed. Attorney Allen signed the document on Blackledge's behalf. In this document, Blackledge stipulated that "he has engaged in or attempted to engage in sexually violent conduct or child molestation" and that "he suffers from a serious mental illness, abnormality or disorder, specifically pedophilia." J.A. 137. Based on these stipulations regarding the "prior conduct" and "mental illness" elements, Blackledge agreed there was only one issue to be decided at the commitment hearing: i.e., whether he would "have serious difficulty in refraining from sexually violent conduct or child molestation if released." J.A. 138. Among other things, the government listed Blackledge as a potential witness, and it also designated his deposition transcript as potential discovery material to be used at the hearing.
On August 2, the parties appeared before the district judge for the commitment hearing. As the hearing began, Attorney Allen asked the district judge to consider the withdrawal issue. The district judge responded that he had "read everything" and was prepared to "listen to anything you would like to add." J.A. 148.
Attorney Allen stated that she had a conflict that could not be resolved and that Blackledge "feels he cannot get proper representation if [she] were to continue, and our relationship has deteriorated to a point that we cannot discuss his case, strategies of his case. We cannot effectively communicate." J.A. 148-49. The district judge then asked Attorney Allen how her ability to cross-examine the expert witnesses would be impacted by her relationship with Blackledge. Without specifically answering this question, Attorney Allen referred to the state bar complaint, which she admitted she had not seen, and asserted that "it has certainly affected my ability to feel as if I can do everything in this case that is needed because I can't even effectively communicate with my client." J.A. 149-50.
The district judge noted that the case had been pending for a considerable period and that he was "very familiar with the record." J.A. 150. Continuing, the district judge stated: "I have listened to the hearing that [the magistrate judge] had on the original motion to withdraw and I understand all the issues associated with Dr. Plaud and the scheduling order." Id. The district judge observed that because of Blackledge's stipulations, the case essentially
At the district judge's invitation to speak, Blackledge stated that he was "being given a short shrift" and that the "playing field is not level." Id. Blackledge also complained generally about Attorney Allen's alleged failure on his behalf during discovery. Responding to a question from the district judge, Blackledge stated that, if pushed to the choice, he would rather be represented by Attorney Allen than proceed pro se.
In denying the motions, the district judge began with a thorough recitation of the history of the case. See J.A. 151-57. The district judge specifically detailed the hearing before the magistrate judge and the bases for the magistrate judge's order denying the first withdrawal motion. The district judge stated that he had reviewed the magistrate judge's order de novo and had fully considered the second withdrawal motion.
The district judge found that the motions were untimely and "[a]ny further delay would substantially prejudice the government and ... the public interest." J.A. 159. The district judge explained that the trial dockets for the next several months were full, indicating that the delay caused by granting the motions would be lengthy.
The district judge then found that a thorough inquiry had been made into the issues. As the district judge explained, the magistrate judge "thoroughly engaged in an inquiry with Mr. Blackledge and Ms. Allen and the government," and "[t]he issues associated with Dr. Plaud have been exhaustively examined." J.A. 160.
The district judge further found that there was not a breakdown between Attorney Allen and Blackledge that would prevent an adequate defense. The district judge noted that the government bore the burden of proof at the commitment hearing, and Attorney Allen was prepared to cross-examine the expert witnesses. Moreover, the district judge pointed out that the government "ha[d] the ability to call Mr. Blackledge as a witness and had planned to ... for some time." J.A. 161. The district judge also explained that Maples was inapplicable because Attorney Allen had not abandoned Blackledge. Finally, the district judge observed that he had "looked into this whole issue of a bar disciplinary grievance" — which was "an undefined grievance but apparently just a dissatisfaction with how the case came out." Id. The district judge explained that the bar complaint did not create a per se conflict, and neither Blackledge nor Attorney Allen had presented any specific evidence to establish a conflict arising from the complaint.
After the district judge ruled on the withdrawal motions, Attorney Allen moved to bifurcate the commitment hearing to allow Blackledge the "opportunity to be examined by Dr. Plaud" and "an opportunity to possibly present a defense in the future." J.A. 162. The government opposed the motion, and the district judge denied it, explaining that "there's been no evidence that I have seen that [Dr. Plaud] would actually reach a different conclusion, other than apparently just perhaps the belief, to my knowledge, that he's never found anyone in a 4248 case tried in the Eastern District of North Carolina subject to civil commitment." J.A. 163. The district
Thereafter, the commitment hearing proceeded on the merits. During the hearing, two expert witnesses — Dr. Christopher North and Dr. Terence Campbell — testified, and the forensic report of a third expert witness — Dr. Tonya Cunic — was admitted into evidence. Additionally, in lieu of calling Blackledge to the stand to testify, the government submitted his deposition. Receiving the deposition into evidence, the district judge noted that "to the extent there was an issue associated with trial preparation, I know that Mr. Blackledge appeared at that deposition with counsel and was prepared for that deposition by counsel." J.A. 166. The district judge stated that this fact "further mitigates issues associated with any prejudice on the motion to withdraw." Id.
Attorney Allen vigorously represented Blackledge. Among other things, she cross-examined Drs. North and Campbell, see J.A. 197-204, 220-33; conferred with Blackledge about whether he was going to testify, see J.A. 233; unsuccessfully moved for judgment as a matter of law, see J.A. 234; and presented a closing argument, see J.A. 241-45. Ultimately, the district judge found that Blackledge meets the § 4248 commitment criteria. The district judge explained its reasoning in detail, see J.A. 247-86, noting (among other things) that he read Blackledge's deposition testimony as part of his consideration of the evidence, see J.A. 261-62.
On appeal, Blackledge does not challenge the district court's finding that he meets the § 4248 criteria. Instead, he bases his arguments on the court's denial of Attorney Allen's withdrawal motions and his requests for the appointment of Dr. Plaud as an additional examiner. Specifically, he contends: (1) based on Maples, the court clearly erred in finding that Attorney Allen had not abandoned him; (2) because Attorney Allen abandoned him, the court abused its discretion by failing to equitably toll the discovery deadline to allow him to seek the appointment of Dr. Plaud;
The majority grounds its decision to vacate the judgment only on the third issue, finding that the district court abused its discretion in denying the withdrawal motions. Before I address that issue, I believe that it is necessary to address the issues involving Dr. Plaud, which appear to be the genesis of Blackledge's dissatisfaction with the proceedings below. As noted, Blackledge and Attorney Allen have argued throughout the case that he cannot avoid civil commitment without an expert testifying in his favor. See, e.g., J.A. 109 (Attorney Allen stating that "[w]ith no expert, there's very little reason for [Blackledge] to have a trial and he understands that"). Blackledge emphasizes this point most succinctly in his appellate brief:
Opening Brief of Appellant, at 34 (emphasis added). Given Blackledge's view, I suspect that on remand this issue will almost certainly come up again.
In considering this issue, it is important to recall that the district court granted Blackledge his § 4247(b) right to select an examiner. Faced with an unfavorable diagnosis by his chosen examiner, Blackledge sought to have Dr. Plaud appointed in the hope that he would render a more favorable diagnosis. Although Blackledge's desire to have an examiner testify favorably for him is understandable, nothing in § 4247(b) suggests that he is entitled to select multiple court-appointed examiners or, for that matter, to select an examiner who will testify on his behalf. See generally Wilson v. Greene, 155 F.3d 396, 401 (4th Cir.1998) (noting that due process "reflects primarily a concern with ensuring a defendant access to a psychiatrist or psychologist, not with guaranteeing a particular substantive result" (emphasis in original)).
Although I believe that Blackledge's appellate arguments regarding Dr. Plaud likely fail on the merits, we need not reach them. Both of Blackledge's motions seeking the appointment of Dr. Plaud were nondispositive, and they were referred to the magistrate judge. Following the denial of the motions, Blackledge did not appeal either magistrate judge order to the district judge.
Rule 72(a) of the Federal Rules of Civil Procedure provides that a party may serve and file objections to a magistrate judge's order on a nondispositive matter within 14 days after being served with a copy, but the party "may not assign as error a defect in the order not timely objected to." By failing to appeal the magistrate judge orders to the district judge, Blackledge has waived appellate review of the orders denying his motions to have Dr. Plaud appointed. See McDonald v. City of Saint Paul, 679 F.3d 698, 709 (8th Cir.2012).
I now turn to the withdrawal issues. In deciding whether to permit court-appointed counsel to withdraw, or to substitute court-appointed counsel on the defendant's request, the district court must be guided
As with any abuse-of-discretion review, we are obligated to exercise a "healthy measure of judicial restraint," Evans v. Eaton Corp. Long Term Disability Plan, 514 F.3d 315, 323 (4th Cir.2008), reserving our power to correct only those district court decisions that "stray[] too far from the mark," id. at 322. Therefore, we may properly find abuse of discretion where the district court has acted arbitrarily or irrationally, failed to consider judicially recognized factors constraining its exercise of discretion, relied on erroneous factual or legal premises, or committed an error of law. United States v. Thompson-Riviere, 561 F.3d 345, 348 (4th Cir.2009).
We have identified three relevant factors to consider in determining whether a district court abused its discretion in denying a withdrawal motion: (1) the timeliness of the motion, (2) the adequacy of the court's inquiry into the matter, and (3) whether the client and counsel experienced a total lack of communication preventing an adequate defense. United States v. Reevey, 364 F.3d 151, 156 (4th Cir.2004). We weigh these factors against the district court's interest in the orderly administration of justice. Id. at 157.
The majority holds that the district court abused its discretion in denying Attorney Allen's withdrawal motions. Applying the pertinent factors, the majority finds that the timeliness factor "weighs somewhat" in support of the district court's ruling, Majority Op., at 194, but it concludes that the other two factors do not. Specifically, the majority finds that "the district court did not meet its obligation to thoroughly inquire into the basis of the asserted conflict," id. at 194-95, and this "failure to probe deeply into the basis of Attorney Allen's conflict seriously undermines its decision," id. at 195. Further, the majority finds that "Attorney Allen labored under a conflict of interest that caused her communications with Blackledge to be so broken that a `fundamental step for adequate representation' — basic trial preparation — failed to occur." Id. at 197. Explaining why the district court's purported error is not harmless, the majority states: "[I]n proceedings that could result in lifelong incarceration for a person who has already served his full sentence, Blackledge was forced to be represented by a lawyer asserting multiple conflicts of interest with whom he had not prepared for trial because of their inability to communicate." Id. at 198-99.
In my view, the record conclusively establishes that the district court did not abuse its discretion, much less err at all, in denying the withdrawal motions. Indeed,
First, the findings by the magistrate judge and the district judge that the motions were untimely are not clearly erroneous. By his own admission, Blackledge lost confidence in Attorney Allen no later than early 2012. In July, a mere three weeks before the August 2 commitment hearing, and after Blackledge had previously obtained a continuance of the commitment hearing,
Second, the district court's inquiry into the motions was more than adequate. Our caselaw illustrates that the district court conducts an adequate inquiry if it gives the defendant and counsel the opportunity to be heard regarding the nature of their relationship and the reason underlying the motion, considers what the attorney and defendant say in the context of the case as a whole, and explains the basis for its determination. See Perez, 661 F.3d at 192. We review the adequacy of the court's inquiry in its totality, and when the attorney-client issue has been raised at different stages of the litigation, the court need not revisit each aspect of the issue at every stage. See Smith, 640 F.3d at 594-95.
The magistrate judge, who had been very involved in the case, spent almost one hour hearing from Blackledge and Attorney Allen, and he afforded them every opportunity to present their arguments. The magistrate judge specifically inquired about the purported internal ethical conflict, and he listened as Attorney Allen described it as arising from the fact that "there are some things that [Blackledge] wants to see that I am not going to be able to help him with." J.A. 91. The magistrate judge then listened as Blackledge expressed his general dissatisfaction with Attorney Allen and his defense, with the fact that she had not provided him with certain unspecified documents, and with the fact that he did not have another expert examiner. At the end of the hearing, the magistrate judge inquired and even offered to conduct an ex parte hearing, and Blackledge told him that he had nothing more to say on the matter.
When the district judge considered the appeal of the denial of the first motion,
Finally, the findings by the magistrate judge and the district judge that there was not a total breakdown in communication that would prevent Blackledge from mounting an adequate defense are not clearly erroneous. The standard by which we must judge the denial of a withdrawal motion is objective, and it therefore does not depend solely on the defendant's dissatisfaction with his attorney's performance. United States v. Myers, 294 F.3d 203, 206 (1st Cir.2002). As we have explained, the "breakdown" of communication between an attorney and the defendant must be "so great that the principal purpose of the appointment — the mounting of an adequate defense incident to a fair trial — has been frustrated." Smith, 640 F.3d at 588.
This standard requires us to consider whether the defendant has justifiable dissatisfaction with his appointed attorney, which includes a serious conflict of interest or an irreconcilable conflict. Id. at 588 n. 4. However, justifiable dissatisfaction "is not established merely by a defendant's frustration with counsel's performance or disagreement with his tactical decisions." United States v. Boone, 437 F.3d 829, 839 (8th Cir.2006). Moreover, the district court is not always required to substitute counsel even where a real conflict exists. For example, the court may properly deny substitution "when the defendant's own behavior creates a conflict." United States v. Morsley, 64 F.3d 907, 918 (4th Cir.1995); see also Smith, 640 F.3d at 591 (noting that a "defendant's obstinacy" cannot force the district court to substitute counsel).
The magistrate judge personally observed the in-court interaction between Blackledge and Attorney Allen during the hearing on the first withdrawal motions, and he expressly found (based on his observation) that they were able to communicate about the case in a manner that allowed Blackledge to conduct an adequate defense. This finding — based on the magistrate judge's direct observation — is not clearly erroneous.
The district judge was aware of this finding, as well as the fact that Attorney Allen had communicated in some respects with Blackledge after the July 18 hearing and had filed pre-hearing documents on his behalf. Other than referring to the bar complaint and rehashing the same arguments they previously made, neither
The foregoing discussion amply illustrates that the district court did not abuse its discretion in denying the withdrawal motions.
In United States v. Horton, 693 F.3d 463 (4th Cir.2012), the defendant filed a timely motion to substitute counsel, and the district court did not inquire into the reasons for the defendant's dissatisfaction with his attorney. We assumed, without deciding, that the court abused its discretion, but we nonetheless found the error harmless. As we noted, notwithstanding the defendant's dissatisfaction, the attorney provided an adequate defense: "For example, he filed pre-trial motions in limine, he cross-examined government witnesses, and he strongly advocated for his client throughout" the trial proceedings. Id. at 467. Moreover, we recognized that the defendant did not "identify — let alone show — any specific way in which his defense was hampered by any lack of communication with his counsel." Id.
Here, the record reflects that Attorney Allen fully represented Blackledge at the commitment hearing. She filed a pre-trial brief, cross-examined the expert witnesses,
Notably, Blackledge has not offered any reason why he could not have testified or, more importantly, what relevant testimony or other evidence he would have presented had his relationship with Attorney Allen been better. Importantly, Blackledge stipulated to the first two elements of the civil commitment analysis, so there was no relevant evidence he could have offered on those elements. As the district judge correctly observed, the issue of civil commitment boiled down to one question: whether the government proved the "serious difficulty" element. Consistent with what Attorney Allen and Blackledge have repeatedly asserted, our caselaw establishes that resolution of this element depended on expert testimony, not on Blackledge's testimony.
In any event, regardless of whether they communicated before the hearing, and regardless of whether any of his testimony would be relevant, Attorney Allen had the opportunity to confer with Blackledge about testifying during the hearing, and he chose not to testify. Further, the district court reviewed Blackledge's deposition testimony during his deliberations and was aware of the substance of what he would likely say at the hearing. Moreover, the district judge noted, and Blackledge does not dispute, that Blackledge was prepared by counsel before the deposition and represented by counsel during the deposition.
Apart from my disagreement with the majority's abuse-of-discretion and harmless error determinations, I also question its instruction on remand for the district court to "reconsider" the withdrawal motions "after engaging in the appropriate inquiry regarding the extent of Attorney Allen's conflicts." Majority Op., at 199. I suspect that on remand the district court will ask the same question that I have: What is left to consider?
As I have noted, the majority has found that "Attorney Allen labored under a conflict of interest that caused her communications with Blackledge to be so broken that a `fundamental step for adequate representation' — basic trial preparation — failed to occur," Majority Op., at 197, and that he was "forced to be represented by a lawyer asserting multiple conflicts of interest with whom he had not prepared for trial because of their inability to communicate," id. at 199. Given the definitive nature in which the majority has spoken, I fail to understand how the district court can "reconsider" these appellate findings or how it can do anything on remand other than appoint Blackledge new counsel and conduct another commitment hearing. I suspect that if the district court "reconsidered" the motions on remand and denied them, my colleagues in the majority — to be consistent with the majority opinion — will overturn the district court's decision if there is a subsequent appeal.
Based on the foregoing, I dissent. I would affirm the judgment of the district court.