Henry Edsel Holmes v. United StatesHenry Edsel Holmes v. United States
Henry Edsel Holmes was convicted of engaging in a continuing criminal enterprise (“CCE”) in violation of
BACKGROUND
In 1986, the appellant, Henry Edsel Holmes, was charged by superseding indictment with numerous narcotic and tax
At his Rule 11 hearing, Holmes acknowledged that he managed and supervised five or more individuals in a continuing criminal enterprise involving the smuggling of large quantities of cocaine. Appellant also acknowledged that he received substantial income from his smuggling activities and therefore filed a false and fraudulent tax return for 1984 which he signed under penalties of perjury. The plea agreement stated, and Holmes acknowledged in open court, that Count Four carriеd the possible maximum sentence of life without parole. During the plea proceedings, however, the trial court did not advise appellant of the minimum sentence under the continuing criminal enterprise statute of ten years without parole. Pursuant to the negotiated plea agreement, the government recommended to the court that a “substantial” sentence should be imposed on Count Four not to exceed twenty-two (22) years.
On April 22, 1984, appellant was sentenced to twenty-two years imprisonment on Count Four and three years imprisonment on County Twenty-Seven, together with a $1,000 fine. The sentence on Count Twenty-Seven was to run concurrent with the sentence on Count Four. On motion of the government, the court dismissed the remaining counts. No direct appeal of the sentence was taken by the appellant.
On March 4, 1988, Holmes petitioned the lower court pursuant to
Holmes argues on appeal that the lower court erred in denying his collateral attack on his sentence. Specifically, appellant alleges that his plea of guilty was not made voluntarily and with the understanding of the consequences because the lower court failed to inform him of the mandatory minimum sentence and the non-parole feature of the continuing criminal enterprise statute,
DISCUSSION
1.
Alleged
Appellant’s first contention is that his plea agreement must be set aside because the lower court did not comply with the letter of
The focus of Hоlmes’ contention is on the court’s failure to address the latter core concern — the defendant’s knowledge of the consequences of his plea.
In
Trujillo v. United States,
The Supreme Court has recently made clear that a trial сourt’s failure to inform the defendant of his parole eligibility is not a basis for invalidating a guilty plea on voluntariness grounds.
Hill v. Lockhart,
Although parole eligibility is a collateral consequence of a guilty plea under
Our analysis of Holmes’ argument begins by recognizing that this case involves a collateral attack on appellant’s sentence based on a
[W]hen a collateral attack is made on a guilty plea for failure of the district court to literally comply with newRule 11 , the defendant must show prejudice in order to qualify for asection 2255 relief. In the absеnce of a fundamental defect which inherently results in the miscarriage of justice, or an omission inconsistent with the demands of fair procedure, relief cannot be given in a collateral attack on a guilty plea conviction based on failure ofRule 11 compliance when the plea was taken.
Keel v. United States,
This court in
Lilly v. United States,
In the present case, the government concedes that the appellant was not advised of the minimum ten-year sentence which must be imposed for a CCE conviction, contrary to the requirements of
A review оf the written plea agreement clearly reflects that appellant knew he would likely be sentenced to a substantial term of imprisonment in excess of minimum mandatory sentence of ten years. Paragraph “1” of the plea agreement recited the maximum penalties for Counts Four and Twenty-Seven, including the fact that the maximum CCE sentence was “life without parole.” Paragraph “3” “a” of the agreement further informed Holmes that the government would argue at sentencing for “... a substantial period of incarceration [to] be imposed not to excеed twenty-two (22) years in the continuing criminal enterprise violation.” The same paragraph fully advised Holmes that sentencing is “exclusively left to the discretion of the court who could reject the government’s recommendation and impose the maximum sentence of life without parole.” Finally, as recited in Paragraph “5” of the plea agreement, the appellant was informed of the constitutional rights which he would waive by pleading guilty.
Before accepting his guilty plea, the district court engaged in a
In light of Holmes’ awareness that the government would argue for a substantial period of incarceration not exceeding twenty-two years, and that the trial court had absolute discretion to impose the maximum sentence of life without parole, we conclude that the district court did not err in denying appellant’s
2. Ineffective Assistance of Counsel Claim
Holmes’ second argument is predicated on a claim of ineffective assistance of counsel. Appellant argues that he was denied effective assistance of counsel as guaranteеd by the Sixth Amendment because his attorney misinformed him that he would be eligible for parole under the CCE statute. Specifically, appellant avers that his counsel not only failed to tell him that any sentence under the CCE statute would be non-parolable, but affirmatively misinformed him that he would be paroled in seven years and four months, after serving one-third of his sentence. Holmes contends that, because of his advanced age, he would not have pleaded guilty to the CCE charge and would have insisted on going to trial had his counsel correctly informed him of his parole ineligibility. According to this argument, the erroneous advice by his attorney constitutes ineffective assistance of counsel which warrants this court to set aside the plea and sentence.
In support of his argument, Holmes cites a Fourth Circuit decision wherein the court held that, although parole eligibility is a collateral consequences of a guilty plea of which a defendant need not be informed if he does not inquire, a defendant is deprived of his constitutional right to counsel when his attorney grossly misinforms him of his parole eligibility and he relies upon that
In
Harris,
the Eleventh Circuit held that the ineffectiveness of counsel claim was without merit where thе defendant “was, or had ample opportunity to be aware of” the potential parole consequences of his entering a guilty plea.
Subsequent to the Eleventh Circuit decisions in
Harris
and
Restrepo,
the Supreme Court addressed the interrelationship of ineffective assistance claims and guilty pleas in
Hill v. Lockhart,
If the effective assistance of counsel might have produced an acquittal, a conviction at the conclusion of a trial upon a plea of not guilty will be vacated if the defense lawyer’s performance was below the range of competence expected of lawyers in the conduct of criminal trials. There is no reason the same rule should not be applied when a guilty plea is induced by a lawyer’s ignorance and mis-advice to a client_ When the misad-vice of the lawyer is so gross as to amount to a denial of the constitutional right to the effective assistance of counsel, leading the defendant to enter an improvident plea, striking the sentence and permitting a withdrawal оf the plea seems only a necessary consequence of the deprivation of the right to counsel. Deprivation of the constitutional right cannot be left unredressed.
Strader,
Recently, this court applied the
Hill
standard in
Slicker v. Wainwright,
The court below rejected, without an evi-dentiary hearing, the appellant’s claim that he was denied effective assistance of counsel. It is the general rule in this circuit that ineffective assistance claims will not be addressed on direct appeal from a criminal conviction because an evidentiary hearing, available in a
In this case, the record does not conclusively show that the appellant is entitled to no relief on his ineffective assistance of counsel claim.
9
The district court, relying on language in
Harris,
In denying appellant’s claim, the district court did not address the applicability of the Supreme Court’s decision in
Hill v. Lockhart.
In light of the
Hill
decision, we are compelled to reverse and remand this case in part to the district court with directions that the court determine whether Holmes’ pleading satisfies the
Hill v. Lockhart
standard. If Holmes’ allegations are sufficient to satisfy this threshold inquiry, then the district court should order an evi-dentiary hearing and rule on the merits of his claim. We emphasize that in order to prevail on the merits at an evidentiary hearing, appellant must prove that the claimed misinformation regarding parole consequences was given to him by his attorney; his counsel’s performance fell below an objective standard of reasonableness; and he would not have pleaded guilty and would have insisted on going to trial had his attorney not misled him with the faulty information. In other words, Holmes must allege and prove sufficient “prejudiсe” due to his attorney’s deficient performance.
See Slicker,
CONCLUSION
For the reasons stated above, we reverse the district court’s order denying appellant’s
Notes
. Under the terms of the negotiated plea agreement, in exchange for Holmes pleading guilty to the two named counts, the government would recommend sentences totaling not over 22 years, and would dismiss the remaining counts of the indictment and of an indictment pending in another district. Holmes also agreed to execute consent orders thereby allowing all seized property to be forfeited in the various collateral civil actions pending in the district court as he admitted that the property was acquired illegally through his narcotic activities. Appellant argued at the lower court in his
. In its sentencing provision, the continuing criminal enterprise statute,
(a) Any person who engages in a continuing criminal enterprise shall be sentenced to a term of imprisonment which may not be less than ten years and which may be up to life imprisonment ...
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(e) In the case of any sentence imposed under this section, imposition or execution of such sentence shall not be suspended, probation shall not be granted, аnd Section 4202 of the Title 18 and the Act of July 15, 1932 (D.C. Code, secs. 24-203 to 24-207), shall not apply.
Section 4202 of Title 18 contains the language establishing the U.S. Parole Commission, followed by its powers and duties. There are no exceptions to the non-parole provisions of
. Although that opinion was later limited to its facts by the Fifth Circuit in
Spradley v. United States,
. As the Supreme Court recognized:
We have never held that the United States Constitution requires the State to furnish a defendant with information about párole eligibility in order for the defendant’s plea of guilty to be voluntary, and indeed such a constitutional requirement would be inconsistent with the current rules of procedure governing the entry of guilty pleas in the federal courts. SeeFed.Rule Crim.Proc. 11(c) ; Advisory Committee's Notes on 1974 Amendment toFed.Rule Crim.Proc. 11 , 18U.S.C.App., p. 223 [USCS Cоurt Rules, Fed. Rules Crim.Proc., Rule 11(c) Note] (federal courts generally are not required to inform defendant about parole eligibility before accepting guilty plea).
Hill,
. Although the trial court that accepts the guilty plea is not obligated to inform the defendant of the parole consequence of the plea, nevertheless, under
. The petitionеr alleged that counsel had advised him that he would be required to serve one-third of any sentence imposed before qualifying for release on parole when, in fact, he was required to serve one-half of the imposed sentence. The appeals court in
Hitt
concluded that this erroneous prediction did not involve the "gross misinformation” found in
Strader
and
O’Tuel, supra.
The court noted that
"Strader
and
O’Tuel
do not define ‘gross misinformation,’ but as is evident involve major miscalculation in the years. It is this miscalculation in years that is material to the individual in question rather than the reason for the miscalculation.”
Hill,
. The Supreme Court in
Hill
noted in finding that аppellant’s allegations were insufficient to satisfy the “prejudice” requirement that "[h]e alleged no special circumstances that might support the conclusion that he placed particular emphasis on his parole eligibility in deciding whether or not to plead guilty.”
. In adopting the reasoning of the Strader court, we recognize the distinction between failure to inform and giving misinformation:
Even if the Sixth Amendment does not impose on counsel an affirmative obligation to inform clients of the parole consequence of their pleas, and we doubt that it does (at least absent some special factors), other courts have recognized a distinction between failure to inform and giving misinformation.... See Strader v. Garrison,611 F.2d 61 (4th Cir.1979) (misinformation of parole consequences is ineffective assistance of counsel); O’Tuel v. Osborne,706 F.2d 498 (4th Cir.1983); Cepu-lonis v. Ponte,699 F.2d 573 , 577 (1st Cir.1983) (commenting that counsel’s "misinformation [regarding parole eligibility] may be more vulnerable to constitutional challenge than mere lack of information.").
Czere v. Butler,
. In support of his allegations that his attorney incorrectly informed him that he would be eligible for parole, Holmes submitted a handwritten letter sent to him by his attorney after sentencing in which the latter wrote: "enclosing judgment and commitment reflecting 22 years but not as a ‘C.C.E.’ sentence without parole.” The district court found that the language of the letter could easily support a showing that Holmes’ attorney had specifically discussed with him the non-parole feature of thе continuing criminal enterprise statute as Holmes’ contention that his attorney lead him to believe he could be paroled. Appellant also contends that the evidence, as provided in his affidavit, is "undisputed” in its showing that his attorney wrongfully advised him that his sentence would be subject to parole. The government responded in its brief that the district court properly discounted the appellant’s affidavit as there existed many independent facts which undermined the credibility of Holmes, including inferences drawn from the language of the note and the fact that Holmes hаs in the past made false statements as evidenced by his plea of guilty to knowingly and willingly signing a false income tax return. We believe that these factual issues, including the question of Holmes' credibility, are best resolved in an evidentiary hearing.
. We note that
Harris
is distinguishable from the present case. In
Harris,
the defendant’s counsel correctly recited the potential parole consequences in the defendant’s presence and on the record. The
Harris
court concluded that the defendant "was or had ample opportunity to be aware of’ the potential parole consequences of his entering a guilty plea.