DALE S. FISCHER, District Judge.
The Court has reviewed the entire record in this action, the Report and Recommendation of Magistrate Judge ("Report"), and respondent's objections. The Court concurs with and adopts the findings of fact, conclusions of law, and recommendations contained in the Report after having made a de novo determination of the portions to which objections were directed.
ANDREW J. WISTRICH, United States Magistrate Judge.
On November 17, 2005, petitioner was charged by felony complaint with two counts of possession of a controlled substance. The complaint also alleged that petitioner had suffered a prior felony conviction for assault with a deadly weapon or with force likely to produce great bodily injury. [Lodged Document ("LD") 12; Evidentiary Hearing Exhibit ("EH Ex.") 101].
Petitioner met his appointed counsel, Deputy Public Defender Roger Whitenhill, on November 18, 2005. [Evidentiary Hearing Transcript ("EHT") 7]. At the time, Whitenhill possessed a copy of the complaint against petitioner, which included
Whitenhill subsequently met with Urgo to propose a disposition that included a referral for Prop 36 eligibility. Urgo agreed to extend such an offer. Thus, petitioner was offered a deal pursuant to which he would receive either Prop 36 treatment (if the 1993 conviction was not deemed to be a strike), or a prison term of six years (if the 1993 conviction was deemed to be a strike). [EHT 18, 20; EH Ex. 301 at 2].
Whitenhill discussed that offer with petitioner. At the time of this discussion, Whitenhill was aware that petitioner's prior conviction under section 245(a)(1) of the Penal Code did not necessarily constitute a strike under state law. Rather, the conviction would qualify as a strike only if petitioner either personally used a weapon or caused great bodily injury. [EHT 11-14]. See People v. Rodriguez, 17 Cal.4th 253, 261, 70 Cal.Rptr.2d 334, 949 P.2d 31 (1998). Petitioner denied using a weapon, but told Whitenhill that his sister had tripped and suffered a broken vertebra during the assault. Whitenhill believed that the injury would be characterized as great bodily injury. Although he did not have a copy of it, Whitenhill knew that a preliminary hearing transcript existed. According to Whitenhill's notes, he and Urgo were unsure whether the preliminary
At the time of the plea negotiations, Whitenhill also was aware that petitioner had been convicted of drug possession in 2003 and sentenced to 32 months.
The record also includes a determination made by a deputy district attorney under penalty of perjury on November 17, 2005 stating that petitioner is ineligible for Prop 36 because he had suffered a prior conviction for a serious or violent felony. This document was part of Whitenhill's file. [EH Ex. 102]. It is not clear whether Whitenhill possessed this document at the time of the plea negotiations, or whether he believed that the document was inaccurate or subject to challenge. It also is not clear why Urgo would have offered a Prop 36 referral if his office already had determined that petitioner was ineligible for Prop 36.
Nevertheless, because Whitenhill thought there was some question about whether the prosecution could prove that the 1993 conviction was a strike, he suggested to petitioner that he attempt to obtain an offer for a four year term without a Prop 36 referral. Whitenhill then met with Urgo a third time. He inquired about a deal for a four year prison term (which consisted of the mid-term doubled) without the Prop 36 referral. Urgo accepted that proposal. [EHT 9, 11].
Ultimately, Whitenhill returned to petitioner with two options: (a) a Prop 36 referral, but a prison term of six years if petitioner was found ineligible for Prop 36; or (b) a four year prison term, but no Prop 36 referral. [EHT 18-20, 36-40]. Whitenhill told petitioner that he had a good chance of receiving a Prop 36 disposition because — other than the 1993 assault conviction — petitioner's prior convictions were for drug possession. Petitioner wanted additional time to consider his options, but Whitenhill told him that the offer would not remain open for more than a day.
Petitioner chose option (a), which included a Prop 36 referral. [EHT 31-32, 40, 50]. Petitioner believed that he would be remanded to drug court for a determination of whether his 1993 conviction was a strike. Petitioner knew that he was not guaranteed a Prop 36 disposition, but he based his choice on his having been told by Whitenhill that there was a chance that he would be eligible for a Prop 36 disposition. If petitioner had known that he had no chance at obtaining a Prop 36 disposition, he definitely would have accepted option (b), which contained a shorter prison term. [EHT 51-53; Petitioner's Declaration].
Approximately one and one half hours passed between the conclusion of Whitenhill's discussions with petitioner and Urgo about petitioner's plea and the entry of petitioner's guilty plea. Whitenhill's office was three or four blocks from the courthouse. [EHT 8]. Although Whitenhill had questions about whether the 1993 conviction was a strike, he did not attempt to research the law regarding the admissibility of a preliminary hearing transcript concerning a prior conviction to prove a strike, he did not attempt to obtain a copy of the preliminary hearing transcript concerning the 1993 conviction to see if there really was a "causation" issue, and he did not attempt to obtain petitioner's criminal history in order to determine whether he had admitted that the 1993 conviction was a strike in 2003.
That afternoon, petitioner entered a guilty plea. The following colloquy took place:
[LD 14 at 1-8].
After the guilty plea, Whitenhill returned to his office. [EHT 21-22; EH Ex. 105]. He was able to obtain the documents concerning the 2003 proceedings from his computer, and discovered that petitioner had admitted that the 1993 conviction was a strike in 2003. [EHT 21-22; EH Ex. 125].
On December 6, 2005, a hearing was held in front of Commissioner Anthony M. Peters to determine whether petitioner was eligible for a Prop 36 disposition. During that hearing, the trial court stated:
[EH Ex. 115 at 1-2].
On December 21, 2005, another hearing was held, and the following colloquy took place:
[EH Ex. 117 at 4-9].
On February 21, 2006, petitioner filed a motion to withdraw his guilty plea. The motion was denied on March 23, 2006. [LDs 38-39].
On March 24, 2006, petitioner was sentenced. He objected to the proceedings and objected to the denial of his motion to withdraw his guilty plea. Pursuant to the plea agreement, petitioner was sentenced to state prison for a term of six years, consisting of the mid-term for the offense (two years), doubled to four years under the Three Strikes Law, plus one year each for two of the prior convictions pursuant to section 667.5(a) of the California Penal Code. The remaining four prior convictions were dismissed as were the remaining two counts of the information. [LDs 17-19].
On May 1, 2006, petitioner filed two petitions for a writ of mandate or prohibition, both of which were denied. [LDs 25-28]. Petitioner filed petitions for review in the California Supreme Court, which were denied. [LDs 29-32]. He filed habeas petitions in the California Superior Court, the California Court of Appeal, and the California Supreme Court, all of which were denied. [LDs 22-24, 33-36]. No state court has ever provided a reasoned decision for rejecting petitioner's claims. [See LDs 26, 28, 30, 32, 34, 36].
In this federal habeas petition, petitioner alleges that Whitenhill provided ineffective assistance. In particular, petitioner contends that Whitenhill's advice regarding the plea was deficient because he advised petitioner that he had a chance at a Prop 36 disposition when it was clear that petitioner could not qualify for Prop 36 because his 1993 conviction constituted a strike. [Petition, Attachments at 1-3]. According to petitioner, because his counsel provided ineffective assistance, his plea was invalid. [Petition, Attachment at A1-3 & B1-3].
A federal court may not grant a writ of habeas corpus on behalf of a person in state custody
28 U.S.C. § 2254(d).
Section "2254(d) (1)'s `contrary to' and `unreasonable application' clauses have independent meaning." Bell v. Cone, 535 U.S. 685,
Williams v. Taylor, 529 U.S. 362, 412-413, 120 S.Ct. 1495, 146 L.Ed.2d 389 (2000); see Lockyer v. Andrade, 538 U.S. 63, 73-76, 123 S.Ct. 1166, 155 L.Ed.2d 144 (2003); Weighall v. Middle, 215 F.3d 1058, 1061 (9th Cir.2000).
While only Supreme Court precedent is controlling, other case law is persuasive authority "for purposes of determining whether a particular state court decision is an unreasonable application of Supreme Court law." Vlasak v. Superior Court of California ex rel. County of Los Angeles, 329 F.3d 683, 687 (9th Cir.2003) (quoting Luna v. Cambra, 306 F.3d 954, 960 (9th Cir.2002) (internal quotation marks and citation omitted), amended, 311 F.3d 928 (9th Cir.2002)); see Bruce v. Terhune, 376 F.3d 950, 956 (9th Cir.2004) ("Although only the Supreme Court's precedents are binding on state courts under AEDPA, our precedents may provide guidance as we review state-court determinations.").
Generally, when a higher state court has denied a claim without explanation, federal courts "look through" that denial to the last reasoned state decision. See Ylst v. Nunnemaker, 501 U.S. 797, 803-806, 111 S.Ct. 2590, 115 L.Ed.2d 706 (1991); Shackleford v. Hubbard, 234 F.3d 1072, 1079 n. 2 (9th Cir.2000), cert. denied, 534 U.S. 944, 122 S.Ct. 324, 151 L.Ed.2d 242 (2001). Where, as here, no state court has provided a reasoned explanation for rejecting a petitioner's federal claim, an independent review of the record is the only means of deciding whether the state courts's determination was objectively reasonable. Greene v. Lambert, 288 F.3d 1081, 1088-1089 (9th Cir.2002).
Finally, state court findings of fact are presumed to be correct unless the petitioner rebuts that presumption by clear and convincing evidence. 28 U.S.C. § 2254(e)(1). In this case, however, no state court made any findings of fact regarding what occurred during the plea negotiations or counsel's performance relating to petitioner's plea or the plea agreement. Therefore, there are no state court findings of fact to which this Court must defer under 28 U.S.C. §§ 2254(d)(2) or (e)(1). Killian v. Poole, 282 F.3d 1204, 1208 (9th Cir.2002) (AEDPA deference does not apply where "state courts could not have made a proper determination on the merits" because the evidence upon which adjudication must be based was adduced for the first time at a federal evidentiary hearing), cert. denied, 537 U.S. 1179, 123 S.Ct. 992, 154 L.Ed.2d 927 (2003).
Petitioner alleges that Whitenhill provided ineffective assistance because he misadvised petitioner that by accepting a plea offer, petitioner could receive a Prop 36 disposition rather than six years in prison. [Petitioner's Supplemental Brief at 4]. Petitioner alleges that he would have accepted the four-year prison term offer he received if he had known that he was clearly ineligible for Prop 36 and that he would certainly be sentenced to six years in prison.
Petitioner may attack his guilty plea on the ground that his plea was rendered involuntary or unintelligent as a result of ineffective assistance of counsel. See Hill v. Lockhart, 474 U.S. 52, 56-57, 106 S.Ct. 366, 88 L.Ed.2d 203 (1985); Lambert v. Blodgett, 393 F.3d 943, 979 (9th Cir. 2004).
The Sixth Amendment entitles an accused to the effective assistance of trial counsel. To establish ineffective assistance of counsel, petitioner must demonstrate that (1) counsel's performance was so deficient that it was not within the range of reasonable professional assistance, and (2) there is a reasonable probability that, but for counsel's unprofessional errors, the result of the proceeding would have been more favorable to petitioner. Strickland v. Washington, 466 U.S. 668, 687, 694, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984); Alcala v. Woodford, 334 F.3d 862, 869 (9th Cir.2003); see Smith v. Robbins, 528 U.S. 259, 285-286, 120 S.Ct. 746, 145 L.Ed.2d 756 (2000). In the context of guilty pleas, the prejudice requirement "focuses on whether counsel's constitutionally ineffective performance affected the outcome of the plea process." Hill, 474 U.S. at 59, 106 S.Ct. 366. Ordinarily, to obtain relief on a claim of deficient advice regarding a plea offer, the petitioner must show that if he or she had received accurate information and advice, he or she would not have accepted the plea. See Hill, 474 U.S. at 56-57, 106 S.Ct. 366.
Here, of course, the situation is a bit different. Whitenhill presented petitioner with a plea offer consisting of two options: (a) a four year prison term with no chance at a Prop 36 disposition or (b) a six year prison term with a chance at a Prop 36 disposition. Petitioner chose option (b). Petitioner alleges that he would have selected option (a) if Whitenhill had provided him with competent advice. In a case like this one, petitioner need not show that he would have insisted on going to trial, but merely that he would have selected a different option. See generally Lambert, 393 F.3d at 982-984 (discussing the prejudice requirement in a claim of ineffective assistance during plea bargaining).
Whitenhill advised petitioner that he had a chance at receiving a Prop 36 disposition because it was possible that his 1993 conviction was not a strike. At the time Whitenhill advised petitioner that a Prop 36 disposition was a possibility, his advice was legally and factually incorrect. If Whitenhill had performed a reasonable investigation into the law and the facts, he would have known that petitioner certainly was not eligible for Prop 36 because the 1993 conviction amounted to a strike. In particular, Whitenhill's conduct fell outside the range of reasonable professional assistance because he: (a) failed to investigate petitioner's 2003 conviction to confirm that petitioner had not admitted to a strike; (b) failed to check the law, which clearly provided that preliminary hearing transcripts are admissible to prove a strike; (c) failed to obtain the preliminary hearing transcript or research the law, which would have confirmed that petitioner's assault constituted a strike because it involved great bodily injury; and (d) advised petitioner to enter into a plea pursuant to which he admitted that the 1993 assault was a strike, thereby precluding him from Prop 36 eligibility. These failures are discussed in detail below.
First, Whitenhill could have looked up the 2003 conviction to determine whether petitioner previously had admitted to a strike. Whitenhill was able to look up this information quickly and easily, but neglected to do so until it was too late: that is, until after advising petitioner that he could receive a Prop 36 disposition and after
Under California law, petitioner's 2003 admission to the 1993 strike was the equivalent of a guilty plea, which "admits every element of the offense charged and is a conclusive admission of guilt. It waives any right to raise questions about the evidence, including its sufficiency." People v. Lobaugh, 188 Cal.App.3d 780, 785, 233 Cal.Rptr. 683 (1987); see Cal.Penal Code § 1025(a) ("When a defendant who is charged in the accusatory pleading with having suffered a prior conviction pleads either guilty or not guilty of the offense charged against him or her, he or she shall be asked whether he or she has suffered the prior conviction. If the defendant enters an admission, his or her answer shall be entered in the minutes of the court, and shall, unless withdrawn by consent of the court, be conclusive of the fact of his or her having suffered the prior conviction in all subsequent proceedings."). So, for example, a defendant's prior admission of a section 12022(b) enhancement — namely, that he personally used a dangerous or deadly weapon in the commission of a felony — constitutes proof that offense is a serious felony. People v. Equarte, 42 Cal.3d 456, 465, 229 Cal.Rptr. 116, 722 P.2d 890 (1986); People v. Shirley, 18 Cal.App.4th 40, 44-45, 22 Cal.Rptr.2d 340 (1993). "[P]roof is not required where the defendant admits a properly pleaded enhancement pursuant to a plea bargain, after the required advisement and waiver of constitutional rights, for in that situation, where a bargain is struck, the defendant's admission is not limited to the scope of the fact of the conviction, but extends to all allegations concerning the prior, even though the People might have been unable to prove those allegations." People v. Leever, 173 Cal.App.3d 853, 872, 219 Cal.Rptr. 581 (1985) (internal citations omitted), disapproved on other grounds, People v. Ervin, 22 Cal.4th 48, 91 Cal.Rptr.2d 623, 990 P.2d 506 (2000). Thus, petitioner's 2003 admission that he suffered a prior "strike" by virtue of the 1993 conviction obviated the need for the prosecution to come forward with any evidence concerning the 1993 conviction, and rendered the 1993 conviction a serious felony and a strike under California law.
Both the deputy public defender who represented petitioner at the Prop 36 hearings and the trial court presiding over those hearings, recognized that petitioner's 2003 admission that he suffered a prior strike conviction in 1993 was all that was necessary to prove the strike, and that as a result, petitioner "clearly" did not qualify for Prop 36. [EH Ex. 117 at 5-6 ("It would have been totally obvious at that [sic] time that the plea was taken that Mr.
Second, neither the record nor the law supports Whitenhill's assertion that his advice was based upon a genuine legal issue about the "provability" of the 1993 conviction.
Whitenhill's contemporaneous notes suggest that he did not know whether the preliminary hearing transcript would be admissible to prove the strike. Whitenhill writes:
[EH Ex. 105].
To the extent that Whitenhill's advice was the result of his lack of knowledge about whether the preliminary hearing transcript would be admissible to prove that the victim suffered great bodily injury, his error was outside the range of
Next, to the extent that Whitenhill's advice was based upon his opinion that there was an arguable "causation" issue, his performance also was deficient. During the evidentiary hearing, Whitenhill stated that he knew that the preliminary hearing transcript could be used to prove that petitioner's 1993 conviction was a strike, but he believed there was a "causation" problem because it wasn't clear that petitioner caused his sister's great bodily injury. [EHT 14-15].
By "causation," Whitenhill apparently was referring to the requirement that petitioner personally inflicted the great bodily injury. Cal.Penal Code § 1192.7(c)(8). According to Whitenhill, petitioner had told him that his sister tripped during the assault.
Whitenhill's testimony that he believed there was a "causation" issue lacks credibility. It is not supported by the record, which indicates that Whitenhill was focused on whether the preliminary hearing testimony was admissible to show that the victim suffered great bodily injury. [See EH Exs. 104-105], If Whitenhill truly had some legitimate reason to believe there was a causation issue, he inexplicably failed to raise it. He neither mentioned it in his transfer memo to the deputy public defender who would be handling the Prop 36 hearings nor raised it before the trial court. Further, there is no legal basis for the argument Whitenhill apparently intended to make — that because the victim tripped after petitioner engaged her in a pushing match, petitioner did not personally cause the great bodily injury. California law is to the contrary. See CALJIC No. 17.20; People v. Cross, 45 Cal.4th 58, 66-69, n. 3, 82 Cal.Rptr.3d 373, 190 P.3d 706 (2008) (interpreting section 12022.7(a), concerning a different enhancement employing nearly identical language, and holding that "to the extent defendant argues that great bodily injury invariably requires the application of physical force to the victim in order to cause great bodily injury, we reject that view") (citations omitted); People v. Guzman, 77 Cal.App.4th 761, 764, 91 Cal.Rptr.2d 885 (2000) (discussing an allegation of personal infliction of great bodily injury in case where the defendant unsafely turned his vehicle into oncoming traffic, and holding that "[t]his volitional act was the direct cause of the collision and therefore was the direct cause of the injury. Appellant was not merely an accomplice. Thus, appellant personally inflicted the injury on Ms. Quinonez. Further, the accidental nature of the injuries suffered does not affect this analysis").
If Whitenhill had bothered to perform minimal legal research or obtain the preliminary hearing transcript, all of his doubts about whether the 1993 conviction constituted a strike would have been immediately
Finally, it appears that the 2005 guilty plea itself may have precluded a Prop 36 disposition.
Petitioner, then, did not merely admit that he had been convicted of assault in 1993. Instead, petitioner admitted that his conviction was a strike, and that it would be used to double his base prison term. Accordingly, it appears that Whitenhill advised petitioner to enter a plea that itself precluded petitioner from Prop 36 eligibility.
Whitenhill's failure to adequately research the law and the facts surrounding petitioner's 1993 and 2003 convictions was deficient, and resulted in his providing petitioner with inaccurate advice. Contrary to Whitenhill's advice, there was no longer any possibility that petitioner was eligible for Prop 36. See Riggs, 178 F.Supp.2d at 1147 ("given the serious penal consequences of the Three Strikes law, it is the duty of defendant's counsel, in advance of plea or trial predicated upon convictions charged as strikes, to determine, on the basis of records which are necessary to an informed decision, whether the convictions are strikes under the California law, to advise his or her client accordingly, and that it is ineffectiveness of counsel to fail to do so") (quoting People v. Morgan, 91 Cal.App.4th 1324, 1327, 111 Cal.Rptr.2d 502 (2001)). As a result, petitioner pleaded guilty based upon a nonexistent possibility of a Prop 36 disposition, and unbeknownst to him, the plea agreement was really just a deal for six years in prison.
Petitioner also has demonstrated that he was prejudiced by Whitenhill's deficient performance. If petitioner had known there was no chance he could receive a Prop 36 disposition (and therefore would certainly receive a six-year prison term), he would have accepted the offer for a four-year prison term. Not only has petitioner so testified [EHT 51], but common sense confirms that any defendant faced with a choice between four years in prison or six years in prison would choose the lesser term. See Hill, 474 U.S. at 56-57, 106 S.Ct. 366.
For the foregoing reasons, petitioner received ineffective assistance of counsel, and the state court's determination to the contrary is an unreasonable application of clearly established Supreme Court law. The only remaining issue is the remedy.
As the Supreme Court has explained:
Hilton v. Braunskill, 481 U.S. 770, 775, 107 S.Ct. 2113, 95 L.Ed.2d 724 (1987); see also McQuillion v. Duncan, 253 F.Supp.2d 1131, 1134 (C.D.Cal.2003).
The appropriate habeas remedy "should put the defendant back in the position he would have been in if the Sixth Amendment violation never occurred," and in some circumstances granting a new trial is not conducive to that end. Nunes v. Mueller, 350 F.3d 1045, 1056-1057 (9th Cir.2003) (granting relief based on ineffective assistance of counsel during the plea bargaining process, and holding that the proper form of habeas relief was an order directing the state to release the petitioner unless it offered him the same material terms that were contained in its original plea offer), cert. denied, 543 U.S. 1038, 125 S.Ct. 808, 160 L.Ed.2d 605 (2004); see also United States v. Blaylock, 20 F.3d 1458, 1468 (9th Cir.1994) (discussing the proper remedy for ineffective assistance of counsel during plea bargaining). Where, as here, a defendant has been deprived of the opportunity to make a reasoned decision about a plea offer because of ineffective assistance of counsel, the proper remedy is reinstatement of the offer. See Nunes, 350 F.3d at 1056-1057; see also Blaylock, 20 F.3d at 1468-1469.
It is recommended that the petition be granted and that respondent be directed to release petitioner within twenty-eight (28) days unless the State of California reinstates the plea offer of a four-year prison term in exchange for petitioner's guilty plea.
Aug. 23, 2010.
Whether a defendant is eligible for treatment under Prop 36 is governed by section 1210.1, which provides in relevant part:
Cal.Penal Code § 1210.1.
Petitioner had not remained free of prison custody for a period of five years before the nonviolent drug possession offense in this case. The only question was whether petitioner's prior conviction constituted a strike.