GERALD L. WERTH, Petitioner-Appellant, v. THOMAS BELL, Warden, Respondent-Appellee.
No. 10-2183
UNITED STATES COURT OF APPEALS FOR THE SIXTH CIRCUIT
August 28, 2012
12a0288p.06
BOGGS, GILMAN, and DONALD, Circuit Judges.
RECOMMENDED FOR FULL-TEXT PUBLICATION Pursuant to Sixth Circuit Rule 206. Appeal from the United States District Court for the Eastern District of Michigan at Ann Arbor. No. 5:09-cv-11472—John Corbett O‘Meara, District Judge. Argued: July 24, 2012.
COUNSEL
ARGUED:
OPINION
BOGGS, Circuit Judge. Gerald Werth, charged with robbing a Flint, Michigan convenience store, pleaded guilty to breaking and entering with the intent to commit larceny and to possession of burglar‘s tools. Before he pleaded guilty, however, Werth attempted no fewer than seven times to assert his Sixth Amendment right to self-representation. The trial court denied his request summarily the first six times. The seventh time, the judge explained the nature of the charges against Werth, told him that she could not give him special training or treatment, and denied his request without giving him an opportunity to speak. Some three weeks later, the judge denied Werth‘s subsequent motion to withdraw his guilty plea, in which he argued that his plea was the product of duress because, among other things, the court would not let him proceed pro se. After being sentenced, Werth filed an application for leave to appeal.1 Both the Michigan Court of Appeals and the Michigan Supreme Court denied his application in brief summary orders that referred to the merits of his claims. The district court, adopting a magistrate judge‘s recommendation, denied Werth‘s petition for a writ of habeas corpus. Applying AEDPA deference, it held that Werth waived his self-representation claim by pleading guilty. The district court granted a certificate of appealability on the question of whether the Michigan courts violated clearly established federal law in holding that a defendant may not challenge the denial of his request to represent himself, after entering a knowing and voluntary unconditional guilty plea. For the reasons that follow, we affirm.
I
Around 5:30 a.m. on November 7, 2007, someone broke into Khirfan‘s Blue Collar Market, a business located near a General Motors plant in Flint, Michigan. Investigation led to charging Werth with breaking and entering with the intent to commit larceny and with possession of burglar‘s tools. Because he had six prior felony
At the February 8 hearing, Werth began to ask for permission to represent himself, pursuant to Faretta v. California, 422 U.S. 806 (1975). He did so both in a written motion that he instructed his lawyer to file and orally in open court.2 Werth believed that Crystal Davidson, owner of the trailer in which both Werth and the stolen property were found, had “purged [sic] herself” during his preliminary examination, and Werth wanted his lawyer to subpoena cell-phone records as proof. Werth‘s then-attorney, Roger Lange, did not understand the reason for his client‘s request, and took no action. “[T]hat,” Werth explained, “[is] why I want to represent myself.” The trial judge‘s reaction to this initial request was to probe why Werth wanted the phone records in the first place.3 The judge suggested that, if “we take care of the other issues that [Werth] wants raised,” she did not need to address his request to represent himself. Although Lange called Werth‘s request “a wild goose chase,” the trial judge postponed the trial for sixty days to give Werth an opportunity to obtain Davidson‘s cell-phone records. Still, Werth persisted in his self-representation request, telling the judge, “I do not want Mr. Lange representing me . . . . I‘ll represent myself, your Honor.” This time, the judge responded: “You know what, there‘s a test involved. And I don‘t think that you‘re going to meet the test.” After a brief discussion about the logistics of preparing a subpoena for Davidson‘s records, Werth, undeterred, told the court, “I want an adjournment because . . . I do want to present this [the phone records] to the Court and I do want to represent myself.” The court replied: “I‘m not . . . . prepared to allow that to happen at this time.”
After another delay related to cell-phone records, the court held a final pretrial conference on April 14, 2008. There, Werth again asked to represent himself. Again, his requests were both written and oral. He sent a written “communication . . . to the Court entitled motion to grant speedy trial . . . . [that contained a] request[] to represent himself and . . . to withdraw his counsel in this case and represent himself in this matter.” Before the hearing, “[h]e indicated [to his then-attorney Mark W. Latchana] . . . that he wanted to tell the Court that he wanted to represent himself.” Attorney Latchana, in response, “indicated to [Werth] that [he] would be happy to abstain [as his] counsel and assist him in whatever way [he] could.” Then, during the hearing, Werth said to the court:
I have a constitutional right and a state right to represent myself. Also, Michigan Court Rule 6.005 states that I have a right to court appointed counsel. I also have a right under that court rule to waive that counsel. Mr. Latchana has done nothing for me. There should have been motions filed into this Court all ready [sic]. I don‘t believe the prosecutor can make her case.
The judge‘s immediate response focused only on Werth‘s last statement about the sufficiency of the evidence against him. Werth, though, did not let the self-representation
THE COURT: No, I‘m not going to do it. Let me first tell you, I‘m required under the court rule. As you‘re so familiar with it. So you understand that right--
THE DEFENDANT: I‘m not saying I‘m familiar with it, your Honor. I just want to represent myself. I have that right. And I‘m asking to exercise that right. That‘s all.
THE COURT: That‘s only if I can count on you not to behave improperly and I can‘t.
THE DEFENDANT: How am I going to--your Honor, I have a right to do this.
THE COURT: Count one, let me go through this. Count one, breaking and entering a building with intent to commit a larceny. That‘s a felony. Maximum sentence by statute ten years. With sentence enhancement, life. Count two, possession of burglar tools, also a felony. Maximum statutory penalty ten years. With sentence enhancement, life. Those are the mandatory facts. You were on parole. The sentence must be consecutive to the sentence you‘re now serving. And then of course, as you‘re clearly aware, there are multiple risks involved with self representation including--
THE DEFENDANT: And I‘m willing to take those risks, your Honor.
THE COURT: --lack of knowledge of the rules of evidence and the court rules. There are no ways that I can give you special training overnight. Nor can I give you any special treatment once we go to trial. You‘d be held to the same standards [the prosecutor] is expected to do in here to with respect to the court rules and the rules of evidence. And the Court is not in a position under the circumstances, to allow you to represent yourself. Now that‘s the ruling of the Court, denied.
Trial began the next day, Tuesday, April 15, 2008. On Wednesday, April 16, Werth decided to plead guilty. The plea agreement provided that, although Werth was guilty of both counts, he would be sentenced as though he were a “habitual offender two,” not a “habitual offender four.” This meant that Werth faced statutory-maximum sentences of fifteen years, not life, on each count. Before accepting the plea, the judge engaged Werth in a lengthy colloquy, explaining that the plea would act as a waiver of his rights to trial by jury, to be presumed innocent until proven guilty, to make the State prove his guilt beyond a reasonable doubt, to call witnesses in his favor and question witnesses against him, to remain silent, not to have his silence used against him, and to testify on his own behalf. The court also ensured that Werth understood that he could not claim that the plea “was the result of a promise or threat that was not disclosed right now on this record during this plea taking proceeding[.]” The court did not tell Werth that he would waive (or might be waiving) an appeal on his denial-of-self-representation claim if he pleaded guilty. After establishing a factual basis, the court accepted the plea, finding that the agreement was “made understandingly, voluntarily, accurately, and knowingly.” The court scheduled sentencing for Monday, May 19.
In motions dated April 30, 2008, and May 6, 2008, Werth, in propria persona, and his counsel each moved to withdraw the guilty plea in separate motions. Werth‘s lengthy motion claimed that, because he was not allowed to represent
The sentencing hearing went forward that afternoon, as scheduled. Before the judge imposed her sentence, she asked Werth if he wanted to speak. His only response was to ask whether “the[] reasons that [he] listed” in his pro se motion to withdraw guilty plea were “preserved for appeal.”5 The judge told him: “They are filed with the court file. It is the first thing in file and will be right under the judgment of sentence that will be filed after I finish here today.” The judge asked if Werth had anything else to say. He reiterated: “I just want to make sure they are preserved for the appeal.” The court imposed concurrent sentences of not less than forty-seven months and not more than fifteen years of imprisonment on count one, and not less than thirty months and not more than fifteen years of imprisonment on count two.
Werth filed a delayed application for leave to appeal on October 3, 2008. He claimed, through counsel, that the trial court abused its discretion by denying his motion to withdraw the guilty plea, violated his “constitutional, statutory, and rule-based rights to represent himself,” and “erroneously denied [his] motion to withdraw his guilty plea . . . [because] the plea was the product of ineffective assistance of his attorney.” The Michigan Court of Appeals “order[ed] that the delayed application for leave to appeal is DENIED for lack of merit in the grounds presented.” Werth then filed a pro se application for leave to appeal in the Michigan Supreme Court, raising the same three arguments that the Court of Appeals found lacked merit. The Michigan Supreme Court denied the application because it was “not persuaded that the questions presented should be reviewed by this Court.”
Werth filed this timely petition for a writ of habeas corpus in the United States District Court for the Eastern District of Michigan. He again raised the self-representation and ineffective-assistance-of-counsel claims that he pressed in state court. A magistrate judge, applying the highly deferential standard of the Antiterrorism and Effective Death Penalty Act (AEDPA), recommended that the district court deny the petition. The magistrate judge reasoned that, although Werth had “a strong, if not meritorious, claim that he was denied his Sixth Amendment right to self-representation,” Werth waived any such claim by entering a knowing and voluntary unconditional guilty plea. Werth‘s ineffective-assistance claim failed, the magistrate judge suggested, because Werth could establish neither deficient
II
At the threshold, we must decide which standard to apply to Werth‘s self-representation claim: de novo review or AEDPA deference. Under AEDPA,
[a]n application for a writ of habeas corpus on behalf of a person in custody pursuant to the judgment of a State court shall not be granted with respect to any claim that was adjudicated on the merits in State court proceedings unless the adjudication of the claim--
(1) resulted in a decision that was contrary to, or involved an unreasonable application of, clearly established Federal law, as determined by the Supreme Court of the United States; or
(2) resulted in a decision that was based on an unreasonable determination of the facts in light of the evidence presented in the State court proceeding.
We have, before, had occasion to address whether Michigan Court of Appeals and Michigan Supreme Court orders identical to the orders in this case qualify as adjudication “on the merits” under AEDPA. See
Because the state court may have various reasons for denying an application for leave to appeal “for lack of merit in the grounds presented,” and we cannot discern from that language alone whether that decision was based on the merits of the case, we cannot conclude that it was an “adjudication on the merits” pursuant to
28 U.S.C. § 2254(d) . Accordingly, de novo review is appropriate.
After Dorn, however, the Supreme Court decided Harrington v. Richter, 131 S. Ct. 770 (2011). Harrington resolved, inter alia, the question “whether § 2254(d) applies when a state court‘s order is unaccompanied by an opinion explaining the reasons relief has been denied.” Id. at 784. The Court explained that AEDPA
refers only to a “decision,” which resulted from an “adjudication.” As every Court of Appeals to consider the issue has recognized, determining whether a state court‘s decision resulted from an unreasonable legal or factual conclusion does not require that there be an opinion from the state court explaining the state court‘s reasoning.
Ibid.7 “Where a state court‘s decision is unaccompanied by an explanation,” the
Court held, “§ 2254(d) does not require a state court to give reasons before its decision can be deemed to have been adjudicated on the merits.” Id. at 785.
We have not yet addressed Harrington‘s impact on Dorn. Of course, the general principle that we review de novo a claim properly presented in a habeas petition, but not addressed on the merits by a state court, is good law. See Maples, 340 F.3d at 436. However, absent some “indication or [Michigan] procedural principle to the contrary,” we must presume that an unexplained summary order is an adjudication “on the merits” for AEDPA purposes. Harrington, 131 S. Ct. at 785. Dorn took precisely the opposite tack. It reasoned that de novo review was appropriate because the Michigan courts’ denial could have been for reasons unrelated to the merits. Dorn, 601 F.3d at 443. It presumed, in other words, that denial of an application for leave to appeal was not a decision on the merits for AEDPA purposes, unless the Michigan courts said so. After Harrington, this logic is untenable.8 Harrington thus abrogates Dorn. We hold that AEDPA deference applies to Michigan orders like the orders in this case, absent some “indication or [Michigan] procedural principle to the contrary.” Harrington, 131 S. Ct. at 785.
The question remains, however, whether there is a principle of Michigan law or circumstance of this case that overcomes the Harrington presumption. There is not. First, at argument, Werth urged that Harrington does not apply because of differences between the Michigan procedure that Werth attempted to use here and the California procedure that Richter attempted to use in Harrington.9 To this end, he cites Michigan precedent indicating that “[w]hen the [Michigan Supreme] Court denies leave to appeal, it does not comment on the merits of a case,” Beasley v. State, 765 N.W.2d 608, 608 (Mich. 2009) (Kelly, C.J., concurring), and that “a denial of leave to appeal by the Supreme Court, without explanation, is generally not considered a decision on the merits and is not precedentially binding.” People v. Shook, No. 233346, 2002 WL 31379664, at *2 (Mich. App. Ct. Oct. 22, 2002).
This is “generally,” ibid. (emphasis added), true “but with the caveat that denials of leaves to appeal
Nor does any Michigan statute or court rule compel a contrary conclusion. It is true that
Finally, Werth offers no “reason to think some other explanation for the state court‘s decision is more likely,” Harrington, 131 S. Ct. at 785, in this particular case, pointing only to the ambiguous language of the Michigan courts’ orders, and Michigan cases and court rules. Indeed, Werth does not even offer the kind of purely speculative explanation that the Court rejected in Harrington, 131 S. Ct. at 785 (“[Richter] mentions the theoretical possibility that the members of the California Supreme Court may not have agreed on the reasons for denying his petition. It is pure speculation, however, to suppose that happened in this case.“).
Thus, neither Michigan law nor the specific background of this case gives us “reason to think some other explanation for the state court‘s decision is more likely.” Harrington, 131 S. Ct. at 785. The Harrington presumption that an unexplained state court decision was on the merits controls, and we apply AEDPA deference to Werth‘s claim.
III
Under AEDPA, we may not grant a writ of habeas corpus on a claim that a state court has resolved on the merits unless the decision:
(1) . . . was contrary to, or involved an unreasonable application of, clearly established Federal law, as determined by
the Supreme Court of the United States; or (2) . . . was based on an unreasonable determination of the facts in light of the evidence presented in the State court proceeding.
As with all of its legal conclusions, we review the district court‘s application of this stringent standard de novo. Davis v. Lafler, 658 F.3d 525, 530 (6th Cir. 2011) (en banc). Review of district-court factual findings is for clear error. Ibid.
IV
“Generally, a voluntary and unconditional guilty plea ‘bars any subsequent non-jurisdictional attack on the conviction.‘” United States v. Corp, 668 F.3d 379, 384 (6th Cir. 2012) (internal quotations omitted). This is so because
a guilty plea represents a break in the chain of events which has preceded it in the criminal process. When a criminal defendant has solemnly admitted in open court that he is in fact guilty of the offense with which he is charged, he may not thereafter raise independent claims relating to the deprivation of constitutional rights that occurred prior to the entry of the guilty plea.
Tollett v. Henderson, 411 U.S. 258, 267 (1973). Thus, after the entry of an unconditional guilty plea, the defendant may challenge only the court‘s jurisdiction and the voluntary and intelligent character of the plea itself. United States v. Ferguson, 669 F.3d 756, 763 (6th Cir. 2012).
Whether this principle prevents a defendant allegedly denied his right to self-representation from making a Faretta challenge on appeal is a question that has divided the state and federal courts. Some treat a Faretta challenge exactly like any other non-jurisdictional challenge, holding that a defendant waives his self-representation claim by entering a knowing and voluntary unconditional guilty plea. See United States v. Moussaoui, 591 F.3d 263, 279–80 (4th Cir. 2010); Gomez v. Berge, 434 F.3d 940, 943 (7th Cir. 2006); United States v. Seybold, 979 F.2d 582, 585–86 (7th Cir. 1992); Rowland v. Thayer, No. 4:09–CV–630–A, 2010 WL 4511023, at *5 (N.D. Tex. Nov. 1, 2010); State v. Kovach, No. 08-MA-125, 2009 WL 1710752, at *2 (Ohio App. 7th Dist. June 12, 2009); Miller v. State, No. 08-02-00405-CR, 2003 WL 21574275, at *1 (Tex. App.-El Paso July 10, 2003); State v. Szemple, 753 A.2d 732, 736 (N.J. Super. Ct. App. Div. 2000); People v. Shields, 613 N.Y.S.2d 281, 282 (N.Y. Super. Ct. App. Div. 1994). At least one other federal circuit has held that, by allowing counsel to plea bargain, the defendant implicitly waives his Faretta
Only one federal court has held that a defendant who pleads guilty unconditionally may still maintain his Faretta challenge on appeal. In United States v. Hernandez, 203 F.3d 614, 626–27 (9th Cir. 2000) (Reinhardt, J.), the Ninth Circuit held that a guilty plea by a defendant wrongfully deprived of his right to self-representation was automatically involuntary because the defendant was “forced . . . to choose between pleading guilty and submitting to a trial the very structure of which would be unconstitutional.” Id. at 626; see also United States v. Kaczynski, 239 F.3d 1108, 1116 (9th Cir. 2001) (following Hernandez as binding circuit precedent). A number of California courts have reached the same result, see, e.g., People v. Marlow, 96 P.3d 126, 135 (Cal. 2004); People v. Butler, No. B213049, 2010 WL 2000332, at *8 n.7 (Cal. App. 2d Dist. May 20, 2010); People v. Robinson, 65 Cal. Rptr. 2d 406, 409–10 (Cal. App. 3d Dist. 1997) (holding that defendant who obtained certificate of probable cause could challenge denial of right to self-representation after guilty plea),11 as did the Michigan
Court of Appeals in an unpublished opinion. People v. Hoffman, No. 266560, 2007 WL 397224, at *2 (Mich. Ct. App. Feb. 6) (citing Hernandez, 203 F.3d at 626–27), leave to appeal denied, 737 N.W.2d 767 (Mich. 2007). The Supreme Court has not spoken on the issue. See Appellant‘s Reply Br. at 15 (“Neither this court nor the Supreme Court has addressed the specific question of whether the violation of a defendant‘s right to self-representation renders a guilty plea invalid. This question has divided the courts that have confronted it.“).
If nothing else, these cases show that fairminded jurists could (and do) debate whether a defendant waives his right to self-representation by entering a knowing and voluntary unconditional guilty plea. Under AEDPA, this is enough. Harrington, 131 S. Ct. at 786. It did not violate clearly established Supreme Court precedent for the Michigan appellate courts to conclude that Werth‘s guilty plea foreclosed his Faretta challenge.
Werth‘s contrary arguments are unavailing. First, he urges that Tollett‘s waiver analysis does not apply because “the violation of Mr. Werth‘s rights was of an ongoing nature.” Appellant‘s Br. at 38. This argument fails, first, because Werth points to no clearly established Supreme Court precedent that acknowledges such an exception to the Tollett rule. But even if he did, his argument would fail as a matter of
Second, Werth argues that “[b]ecause the trial court‘s refusal to allow Mr. Werth to exercise his constitutional right to self-representation directly contributed to his decision to plead guilty, his plea was not offered voluntarily and intelligently, and therefore cannot satisfy the prerequisites for waiver under Tollett.” Appellant‘s Br. at 39. This argument has some force—indeed, it carried the day in Hernandez, 203 F.3d at 626–27. It met with a frostier reception, however, in Moussaoui, where the Fourth Circuit wrote:
With all due respect, we are not persuaded by the analysis in Hernandez. . . . The Hernandez court‘s conclusion that the defendant‘s guilty plea was involuntary was based on a faulty premise, namely, that his only alternative was to submit to an unconstitutional trial. This premise fails to account for the fact that if the defendant proceeded to trial and was convicted, he could seek an appellate remedy for the constitutional violations he alleged.
591 F.3d at 280. We need not resolve, or even weigh in on, this debate between our sister circuits. It is enough to say that fairminded jurists could disagree whether the denial of a motion for self-representation necessarily renders a guilty plea involuntary and therefore invalid. Werth‘s second argument cannot succeed, given the deference that we must apply under AEDPA. Harrington, 131 S. Ct. at 786.
Third, Werth suggests that, because the Michigan courts would allow him to “plead guilty without forfeiting his right to judicial review” of his self-representation claim, he may present the claim here. Lefkowitz v. Newsome, 420 U.S. 283, 293 (1975). The only Michigan case to address the question whether a defendant waives his Faretta claim by entering a knowing and voluntary unconditional guilty plea is Hoffman, 2007 WL 397224, at *2. That decision is an unpublished opinion, which is “not precedentially binding” under Michigan law.
It is not clear whether such an opinion qualifies as “state law,” within the meaning of Lefkowitz. As Werth points out, we may consider and follow an unpublished state-court decision on state law, absent a contrary published decision, for “it remains our overarching duty to ensure that
Finally, Werth attempts to distinguish the cases that the magistrate judge cited. But even if we agreed with him at every turn, at least Moussaoui remains directly opposed to the position that he would have us take, a position based almost entirely on Hernandez. See Appellant‘s Br. at 52–53 (“In Moussaoui, the Fourth Circuit directly confronted the Hernandez decision and concluded that it was based on a faulty premise because the defendant could have proceeded to trial and sought a remedy on appeal if convicted.“). Werth concedes as much, but suggests that the Moussaoui rule would be “extraordinarily punitive
V
In sum, under the standard that we are bound to apply, Werth‘s guilty plea is a waiver of his Faretta claim. We therefore AFFIRM the district court‘s denial of Werth‘s petition.