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529 U.S. 362(2000)+LOOY/RFNKDUW
474 U.S. 52(1985DQG 6WULFNODQGY:DVKLQJWRQ
466 U.S. 668(1984)$FFRUGLQJO\ WKHFRXUW JUDQWHG/\RQV¶SHWLWLRQIRUDZULWRIKDEHDVFRUSXV RQ WKH JURXQG RI LQHIIHFWLYH DVVLVWDQFH RI FRXQVHO 7KH ZDUGHQ DSSHDOV $IWHU D FDUHIXO UHYLHZ RI WKH UHFRUG ZH $)),50WKHGLVWULFWFRXUW ,%$&.*5281' 2Q 1RYHPEHU /\RQV VKRW DQG NLOOHG 'RXJODV 7KRPDV 7KH VWDWH RI 0LFKLJDQ FKDUJHG /\RQV ZLWK ILUVW GHJUHHPXUGHUDQGSRVVHVVLRQRIDILUHDUPGXULQJFRPPLVVLRQ RIDIHORQ\ /\RQV¶WULDOLQWKH5HFRUGHU¶V&RXUWIRUWKHFLW\RI'HWURLW ZDV VFKHGXOHG WR EHJLQ RQ 0DUFK 7KH DVVLJQHG MXGJH KDG DQRWKHU MXU\ WULDO WKDW GD\ VR /\RQV¶ WULDO ZDV SRVWSRQHG WR WKH QH[W GD\ DQG WUDQVIHUUHG WR WKH GRFNHW RI The Honorable Denise Page Hood 8QLWHG 6WDWHV 'LVWULFW &RXUW -XGJH IRU WKH (DVWHUQ 'LVWULFW RI 0LFKLJDQ 7KH GLVWULFW FRXUW RUGHUHG WKDW XQOHVV 0LFKLJDQ WRRN DFWLRQ ZLWKLQ GD\V WR DIIRUG /\RQV D QHZ WULDO /\RQV FRXOG DSSO\ IRU D ZULW RUGHULQJ KLV IRUWKZLWK UHOHDVH IURP FXVWRG\ The district court did not publish its decision in this case. On the same day the district court granted Lyons’ habeas corpus petition, it granted two other petitions in similar cases. The court analyzed all three cases similarly and published only one opinion. See Haynes v. Burke,
115 F.Supp.2d 813(E.D.Mich 2000). The other opinions are unpublished. 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DPHQGPHQW WR 0LFKLJDQ VWDWXWRU\ ODZ JUDQWHG Michigan DSSOLHG6WULFNODQG prosecutors an appeal of right from "[a] final judgment or final order of the . . . recorder’s court" in criminal cases. Mich. Comp. Laws Ann. )LQDOO\,GRQRWDJUHHZLWK-XGJH*LOPDQWKDWWKHIDLOXUHRI § 770.12 (as amended, Mich. Pub. Act 1988 No. 66) ,Q 1RYHPEHU WKHVWDWHFRXUWWRGLVFXVVWKHSUHMXGLFHSURQJRI6WULFNODQG WKH 0LFKLJDQ &RXUW RI $SSHDOV SXEOLVKHG D GHFLVLRQ LQ ZKLFK LW FRQVWUXHG PHDQVWKDWLWGLGQRWFRUUHFWO\LGHQWLI\DQGDSSO\6WULFNODQGDV WKH DPHQGPHQW WR DOORZ SURVHFXWRUV WR DSSHDO FULPLQDO VHQWHQFHV DV RI WKHJRYHUQLQJIHGHUDOUXOH%XWHYHQLIZHZHUHWRSDUVHWKH ULJKW 3HRSOH Y 5H\QROGV 1:G 0LFK $SS WZRSDUWVRI6WULFNODQGLQWKLVZD\ZHZRXOGQRWFRQGXFWD IXOOGHQRYRUHYLHZEXWUDWKHUD³LQGHSHQGHQW´UHYLHZDVODLG See People v. Haynes,
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Because WKH WKRURXJKLQYHVWLJDWLRQRIODZDQGIDFWVUHOHYDQWWRSODXVLEOH 0LFKLJDQ &RXUW RI $SSHDOV GHWHUPLQHG /\RQV¶ WULDO FRXQVHO SHUIRUPHG RSWLRQVDUHYLUWXDOO\XQFKDOOHQJHDEOHDQGVWUDWHJLFFKRLFHV DGHTXDWHO\ LW GLG QRW UHDFK WKH TXHVWLRQ ZKHWKHU /\RQV ZDV SUHMXGLFHG E\ PDGH DIWHU OHVV WKDQ FRPSOHWH LQYHVWLJDWLRQ DUH UHDVRQDEOH GHILFLHQW SHUIRUPDQFH /\RQVY-DFNVRQ 1R 1R /\RQVY-DFNVRQ III. CONCLUSION FROODWHUDO DVRSSRVHGWRDGLUHFWFRQVHTXHQFHRIWKHSOHD :HUHMHFWWKLVDUJXPHQWRQWZRJURXQGV We conclude that Lyons received constitutionally ineffective assistance of counsel. We further conclude that a )LUVW WKH ZDUGHQ¶V UHOLDQFH RQ FLUFXLW FRXUW FDVHV LV decision to the contrary on the facts of this case is an LPSURSHU7KH$('3$SURKLELWVXVHRIORZHUFRXUWGHFLVLRQV unreasonable application of clearly established federal law. LQGHWHUPLQLQJZKHWKHUWKHVWDWHFRXUWGHFLVLRQLVFRQWUDU\WR We therefore AFFIRM the federal district court’s conditional RU LV DQ XQUHDVRQDEOH DSSOLFDWLRQ RI FOHDUO\ HVWDEOLVKHG grant of habeas corpus. IHGHUDO ODZ :LOOLDPV 86 DW GHILQLQJ ³FOHDUO\ HVWDEOLVKHGODZDVGHWHUPLQHGE\WKH6XSUHPH&RXUW´WRPHDQ KROGLQJVRI6XSUHPH&RXUWGHFLVLRQV+DUULV)GDW KROGLQJ GLVWULFW FRXUW HUUHG LQ ³UHO\>LQJ@ RQ DXWKRULW\ RWKHUWKDQWKDWRIWKH6XSUHPH&RXUWRIWKH8QLWHG6WDWHVLQ LWVDQDO\VLVXQGHUG´ 6HFRQG WKH ZDUGHQ¶V DUJXPHQW LV LQFRPSDWLEOH ZLWK 6XSUHPH &RXUW FDVH ODZ 7KH &RXUW GRHV QRW XVH D GLUHFWFROODWHUDOFRQVHTXHQFHFDWHJRUL]DWLRQVFKHPHWRGHFLGH LQHIIHFWLYHDVVLVWDQFHRIFRXQVHOFODLPV,QGHHGLQ+LOOWKH 6XSUHPH&RXUWUHYLHZHGDQ(LJKWK&LUFXLWGHFLVLRQKROGLQJ WKDW SDUROH HOLJLELOLW\ ZDV QRW D ³GLUHFW FRQVHTXHQFH´ RI D JXLOW\SOHD6HH+LOOY/RFNKDUW)GWK &LU7KH&RXUWQRWHGWKLVKROGLQJEXWHVFKHZHGDQ\ VXFKFKDUDFWHUL]DWLRQLQIDYRURIGLUHFWO\DSSO\LQJ6WULFNODQG WRWKHSOHDFRQWH[W+LOO86DW$VWKH&RXUW VWDWHGLQ:LOOLDPV³WKH6WULFNODQGWHVWSURYLGHVVXIILFLHQW JXLGDQFHIRUUHVROYLQJYLUWXDOO\DOOLQHIIHFWLYHDVVLVWDQFHRI FRXQVHOFODLPV´86DW & $QDO\VLV 7KH IHGHUDO GLVWULFW FRXUW FRQFOXGHG WKDW WKH 0LFKLJDQ &RXUWRI$SSHDOVGHFLVLRQZDVDQXQUHDVRQDEOHDSSOLFDWLRQRI +LOO DQG 6WULFNODQG :H UHYLHZ GH QRYR D GLVWULFW FRXUW¶V OHJDOFRQFOXVLRQVLQDKDEHDVFRUSXVSURFHHGLQJ0LOOHUY )UDQFLV)GWK&LU:KHUHDVKHUH WKHGLVWULFWFRXUW¶VIDFWXDOILQGLQJVDUHEDVHGRQDWUDQVFULSW IURPWKHVWDWHFRXUWSURFHHGLQJVDQGWKHGLVWULFWFRXUWPDNHV QRFUHGLELOLW\GHWHUPLQDWLRQZHDOVRUHYLHZWKRVHILQGLQJVGH QRYR,G:HPXVWGHWHUPLQHZKHWKHULWLVDQXQUHDVRQDEOH DSSOLFDWLRQ RI +LOO DQG 6WULFNODQG WR KROG HLWKHU WKDW /\RQV¶WULDOFRXQVHOSURYLGHGKLPZLWKREMHFWLYHO\UHDVRQDEOH /\RQVY-DFNVRQ 1R 1R /\RQVY-DFNVRQ DVVLVWDQFH RU WKDW HYHQ LI /\RQV KDG EHHQ UHDVRQDEO\ need not decide this issue here because other evidence DGYLVHGKHVWLOOZRXOGKDYHSOHGJXLOW\ supports Lyons' claim of prejudice. 3HUIRUPDQFHRI&RXQVHO At the March 1990 plea hearing, Burgess told the court that Lyons wished to offer a plea of guilty "on the basis of" 7KH SURSHU PHDVXUH RI DWWRUQH\ SHUIRUPDQFH LV ZKHWKHU Burgess's belief that he could convince Chief Judge Roberson FRXQVHO¶V DVVLVWDQFH ZDV UHDVRQDEOH ³XQGHU SUHYDLOLQJ to sentence Lyons as a juvenile. Later, at the evidentiary SURIHVVLRQDOQRUPV´DQG³FRQVLGHULQJDOOWKHFLUFXPVWDQFHV´ hearing on Lyons’ motion to withdraw his guilty plea, 6WULFNODQG 86 DW :H PDNH D FDVHE\FDVH Burgess acknowledged the possibility that, had he considered H[DPLQDWLRQRIWKHHYLGHQFH:LOOLDPV86DWDQG the possibility that the prosecutor would appeal a juvenile ³LQGXOJH D VWURQJ SUHVXPSWLRQ WKDW FRXQVHO¶V FRQGXFW IDOOV sentence, he might not have recommended that Lyons plead ZLWKLQWKHZLGHUDQJHRIUHDVRQDEOHSURIHVVLRQDODVVLVWDQFH´ guilty. Both Lyons and his counsel testified that Lyons relied 6WULFNODQG86DW heavily on the attorney’s advice; thus, evidence that Burgess might have changed his recommendation indicates that 7KH SURIHVVLRQDO QRUPV WKDW JXLGH XV UHVW XSRQ GHIHQVH Lyons would have been more likely to demand a trial rather FRXQVHO¶VIXQGDPHQWDOGXWLHV³WREULQJWREHDUVXFKVNLOODQG than plead guilty. NQRZOHGJHDVZLOOUHQGHUWKHWULDODUHOLDEOHDGYHUVDULDOWHVWLQJ SURFHVV´ DQG ³WR FRQVXOW ZLWK WKH GHIHQGDQW RQ LPSRUWDQW Lyons testified at the plea withdrawal hearing that, when GHFLVLRQVDQGWRNHHSWKHGHIHQGDQWLQIRUPHGRILPSRUWDQW first presented with Burgess's advice that he plead guilty, GHYHORSPHQWVLQWKHFRXUVHRIWKHSURVHFXWLRQ´,GDW Lyons initially "wanted to fight" and put the government to its 7KH IHGHUDO GLVWULFW FRXUW DUWLFXODWHG WKH FLUFXPVWDQFHV burden of proof. Burgess corroborated Lyons’ belief that he UHOHYDQWWRWKHSHUIRUPDQFHLQTXLU\LQWKLVFDVH had defenses to the first degree murder charge. In fact, Burgess and Lyons had been concentrating almost exclusively >7@ULDOFRXQVHO¶VSHUIRUPDQFHZDVGHILFLHQWZLWKLQWKH on trial preparation up until the date of the trial, when the case PHDQLQJ RI WKH6WULFNODQG VWDQGDUG ZKHUH KH IDLOHG WR was transferred to Chief Judge Roberson. Given this DGYLVH SHWLWLRQHU WKDW WKH SURVHFXWRU FRXOG DSSHDO D background, had Burgess advised Lyons of all the risks he MXYHQLOHVHQWHQFHWRD0LFKLJDQDSSHOODWHFRXUWZLWKWKH was facing, Lyons might have pled not guilty. YHU\ UHDO SRVVLELOLW\ WKDW D KLJKHU FRXUW ZRXOG RUGHU SHWLWLRQHU UHVHQWHQFHG DV DQ DGXOW %HFDXVH RI To meet the prejudice requirement under Strickland and SHWLWLRQHU¶V\RXQJDJHSHWLWLRQHUZDVSDUWLFXODUO\UHOLDQW Hill, Lyons need only show a reasonable probability that he RQKLVDWWRUQH\¶VDGYLFHWRSOHDGJXLOW\WRWKHRIIHQVHVLQ would have pled not guilty had Burgess’s performance been WKLVFDVH,QOLJKWRIFRXQVHO VH[WUDRUGLQDU\DGYLFHWR objectively reasonable. We conclude that Lyons' and SHWLWLRQHUWKDWKHSOHDGJXLOW\WRDQRIIHQVHZKLFKFDUULHG Burgess’s testimony, along with reasonable inferences from D PDQGDWRU\ VHQWHQFH RI OLIH LPSULVRQPHQW ZLWKRXW the facts and circumstances of this case, are sufficient to SDUROHFRXQVHOKDGDGXW\ERWKWRFRQVLGHUDQGWRDGYLVH demonstrate not only a reasonable probability that Lyons SHWLWLRQHURIWKHSURVHFXWRU¶VULJKWWRDSSHDODQ\VHQWHQFH would have decided to plead not guilty but also that a WRWKH0LFKLJDQDSSHOODWHFRXUWVZLWKWKHSRVVLELOLW\WKDW contrary conclusion is objectively unreasonable. SHWLWLRQHU¶V MXYHQLOH VHQWHQFH ZRXOG EH RYHUWXUQHG RQ DSSHDODQGKHZRXOGWKHQKDYHWRVHUYHDQRQSDURODEOH OLIHVHQWHQFH /\RQVY-DFNVRQ 1R 1R /\RQVY-DFNVRQ The warden maintains that if a defendant is aware of the /\RQVY-DFNVRQ1R&9'76OLS2SDW(' maximum possible sentence he cannot be prejudiced by his 0LFK$XJ counsel's failure to inform him of the prosecutor's right to appeal. We decline to adopt the warden’s argument. An /\RQV¶WULDOFRXQVHO%XUJHVVEURXJKWWREHDURQWKLVFDVH awareness of the sentencing range available to the trial judge KLV NQRZOHGJH RI &KLHI -XGJH 5REHUVRQ V VHQWHQFLQJ is not the same as an informed understanding that a SUDFWLFHV:LWKRXWDQ\GRXEWLQWKLVUHJDUG/\RQVLQLWLDOO\ sentencing judge's decision is subject to reversal. The rule EHQHILWWHGIURPFRXQVHO VNQRZOHGJH)XUWKHUPRUH%XUJHVV suggested by the warden would preclude courts from finding DGHTXDWHO\LQIRUPHG/\RQVUHJDUGLQJWKHULVNVDVWKH\UHODWHG prejudice in any situation where the defendant knew the range WR&KLHI-XGJH5REHUVRQ¶VVHQWHQFLQJGHWHUPLQDWLRQ/\RQV of penalties to which he was subject. understood that if he pled guilty Chief Judge Roberson could opt to impose either a severe adult sentence of life Furthermore, the circumstances of this case illustrate the imprisonment or a lenient juvenile sentence. failings of the warden's argument. Lyons pled guilty in hopes of avoiding life imprisonment without parole. A reduced However, Burgess acted incompetently in failing to likelihood of being sentenced as an adult was the sole benefit consider the likelihood that the prosecutor would exercise his of Lyons' guilty plea before Chief Judge Roberson. In reality, right to appeal the district court's imposition of a juvenile the risk of being sentenced as an adult came in two parts: sentence. Any juvenile sentence imposed on Lyons would be (1) being sentenced as an adult by Chief Judge Roberson; and less than five years in a juvenile facility. Given such a lenient (2) having received a juvenile sentence from Chief Judge sentence for first degree murder, it was unreasonable for Roberson, being subject to a successful appeal by the Burgess not to have considered that the prosecutor could prosecutor. Lyons, however, was informed by his attorney, appeal and the juvenile sentence could be reversed. Yet Burgess, of only the first risk. Burgess's failure to assess all Burgess did not factor this scenario into his advice to Lyons the risks and inform his client left Lyons to make the most that pleading guilty was in Lyons’ best interest. important decision of his life without essential information. Presented with all the risks, Lyons might well have decided Thus, Lyons did not know that the prosecutor could appeal to plead not guilty and to take his chances at trial. and that the juvenile sentence could be reversed, and, if so, Lyons would serve a life sentence without possibility of Indeed, Lyons puts forth evidence that he would have pled parole. Lyons was left unaware that, even if Burgess’s not guilty. At the evidentiary hearing on his plea withdrawal assessment on his chances of receiving a juvenile sentence motion, Lyons testified that he would not have pled guilty had from Chief Judge Roberson were correct, this was not a one- he known of the prosecutor’s right to appeal. This testimony, act play in Chief Judge Roberson's courtroom. though self-serving, may be enough by itself to satisfy the prejudice prong under the circumstances here. See Magana Burgess should have considered these possibilities, v. Hofbauer,
263 F.3d 542, 547 n.1 (6th Cir. 2001) (noting informed Lyons about them, and incorporated them into his that, unlike the Seventh and Second Circuits, this Circuit has risk assessment when he advised Lyons about pleading guilty. not explicitly adopted a requirement that in order to establish prejudice a defendant must come forward with objective evidence in addition to his post-conviction claim that he ,Q DGGLWLRQ %XUJHVV HQWLUHO\ IDLOHG WR FRQVLGHU WKDW DQ DSSHDOV FRXUW IDFHG ZLWK WKH VDPH WZR UDGLFDOO\ GLIIHUHQW VHQWHQFLQJ SRVVLELOLWLHV would have changed his mind about pleading guilty). We DV &KLHI -XGJH 5REHUVRQ PLJKW ZHOO UHYHUVH WKH WULDO FRXUW LQ IDYRU RI WKH PRUH VHYHUH VHQWHQFH /\RQVY-DFNVRQ 1R 1R /\RQVY-DFNVRQ He failed to do so. Rather, he advised Lyons to plead guilty advising him." This case epitomizes the criminal defendant's based solely upon his assessment of the relative risks in going need for what the Supreme Court has called the "guiding hand to trial versus pleading guilty before Chief Judge Roberson. of counsel at every step in the proceeding against him." As a result, Burgess misinformed Lyons regarding the Powell v. Alabama,
287 U.S. 45, 69 (1932). likelihood he would receive an adult sentence. Lyons was not fully apprised of the risks he faced. We conclude that Lyons’ trial counsel was incompetent. It is an objectively unreasonable application of Hill and The duty of defense counsel to consult is paramount when Strickland for the Michigan Court of Appeals to hold a client has to decide whether or not to waive a constitutional otherwise. right, such as the right to trial. Because the decision whether or not to plead guilty ultimately rests with the client, see 2. Prejudice Jones v. Barnes,
463 U.S. 745, 751 (1983) ("the accused has the ultimate authority to make certain fundamental decisions To determine whether Lyons was prejudiced by his regarding the case, as to whether to plead guilty, waive a jury, counsel’s deficient performance, we ask whether there is a testify in his or her own behalf, or take an appeal"); reasonable probability that, had he been advised of the Wainwright v. Sykes,
433 U.S. 72, 93 n.1 (1977) (Burger, prosecutor’s right of appeal, he would not have pled guilty. C.J., concurring) ("[o]nly such basic decisions as whether to A "reasonable probability" is a probability sufficient to plead guilty, waive a jury, or testify in one's own behalf are undermine confidence in the outcome; it is less than a ultimately for the accused to make"), counsel must ensure that preponderance of the evidence. Strickland86DW the client's decision is as informed as possible. Failing even to consider, let alone notify the client of, a factor that could The warden argues that Lyons could not have been negate the entire benefit of the guilty plea is not within the prejudiced by any deficiency on the part of his trial counsel range of professional norms. because Lyons acknowledged at the plea hearing in March 1990 that he could receive an adult sentence of life Lyons’ age and his heavy reliance on Burgess, a reliance of imprisonment without parole. $FFRUGLQJ WR WKH ZDUGHQ which Burgess was aware, enhanced Burgess’s duty to make "the fact that [Lyons] might not have been told that the certain that Lyons understood all the risks associated with his prosecution could appeal [the juvenile] sentence he was never guilty plea. Lyons was sixteen years old and had a seventh assured of receiving in the first place should be of no grade education. His father knew nothing about the consequence." applicable law. Burgess acknowledges that he was "placed in the role where [he] was both [Lyons'] lawyer and like a parent 7KH ZDUGHQ DOVR DUJXHV WKDW /\RQV FDQQRW VKRZ SUHMXGLFH EHFDXVH &LWLQJ WKH 6XSUHPH &RXUW¶V UHFHQW GHFLVLRQ LQ %HOO Y &RQH DIWHU OHDUQLQJ WKDW WKH SURVHFXWLRQ KDG DSSHDOHG WKH MXYHQLOH VHQWHQFH 6&W WKH GLVVHQW VWDWHV WKDW DQ DWWRUQH\¶V OHJLWLPDWH WULDO /\RQV IDLOHG WR UHTXHVW WKDW WKH FDVH EH UHPDQGHG WR WKH WULDO FRXUW VR WKDW WDFWLFV GR QRW FRQVWLWXWH GHILFLHQW SHUIRUPDQFH $ GHIHQVH FRXQVHO¶V KH FRXOG ZLWKGUDZ KLV SOHD $ GHIHQGDQW¶V GHFLVLRQ QRW WR DEDQGRQ WKH IDLOXUH WR FRQVLGHU D SURVHFXWRU¶V ULJKW WR DSSHDO LV QRW D WDFWLF RU VWUDWHJ\ DSSHOODWH SURFHVV LQ DQ HIIRUW WR ZLWKGUDZ KLV JXLOW\ SOHD GRHV QRW REYLDWH $ GHIHQVH FRXQVHO¶V IDLOXUH WR LQIRUP RU DGYLVH WKH GHIHQGDQW UHJDUGLQJ SUHMXGLFH WR WKH GHIHQGDQW LQ SOHDGLQJ JXLOW\ DV WKH GHFLVLRQ WR SOHDG KDG WKH VWDWH¶V ULJKW RI DSSHDO DQG WKH DWWHQGDQW FKDQFHV RI UHYHUVDO LV QRW D DOUHDG\ EHHQ PDGH 0RUHRYHU WKH ZDUGHQ¶V FRQWHQWLRQ LV ZHDNHQHG WDFWLF RU VWUDWHJ\ 6XFK RPLVVLRQV RI OHJDO SUDFWLFH DQG OHJDO FRXQVHOLQJ EHFDXVH WKH FDVH UHPDLQHG LQ WKH DSSHDOV FRXUW QRW WKH WULDO FRXUW ZKHUH FDQ QHYHU EH D OHJLWLPDWH GHIHQVH WDFWLF RU VWUDWHJ\ ZLWKGUDZDO SOHDV PXVW EH PDGH
Document Info
Docket Number: 00-2153
Filed Date: 8/8/2002
Precedential Status: Precedential
Modified Date: 3/3/2016