Lead Opinion
Shannon Aguilar pleaded guilty to possession of cocaine in a constructive possession case. Before sentencing, she moved to withdraw her plea. She claimed, among other things, that her counsel had a conflict of interest because of his concurrent representation of Aguilar’s codefendant. The trial court denied her motion, and the Court of Appeals affirmed. State v. Aguilar, 95,249 unpublished opinion filed February 16, 2007. This court granted Aguilar’s petition for review.
Police in Kansas City, Kansas, pulled over a vehicle for the driver’s failure to use a turn signal. The driver was Leona Ayalla; Aguilar was the only passenger. Ayalla was a close family friend whom Aguilar referred to as her “aunt.” During the stop, the officers learned of an outstanding warrant for each woman and arrested both. An inventory search of the vehicle revealed three baggies of cocaine under Aguilar’s passenger seat. While searching Ayalla, police found an additional two bags of cocaine and two bags of crystal methamphetamine inside her bra.
Ayalla was charged with possession of cocaine, possession of methamphetamine, and possession of a controlled substance without a tax stamp. Aguilar was charged only with possession of cocaine.
Both women retained Jeff Carlin as defense counsel. Carlin gave them a “deal,” agreeing to handle both clients’ criminal cases for $1,500 total if they both pleaded guilty, and for $3,000 total if they chose to go to trial. Three days before Aguilar entered her plea, Carlin filed a motion to withdraw from his representation of Aguilar. According to the motion, Aguilar had failed to pay the agreed attorney fees, which made it “impossible for movant to zealously represent Defendant as is ethically required of an attorney licensed to practice law in the State of Kansas.”
Despite this motion, Carlin represented both women at their joint plea hearing 3 days later. There, Ayalla pleaded guilty to one count of possession of cocaine; the State dismissed all of the other charges against her. Aguilar also pleaded guilty to possession of cocaine, the only charge against her. The record contains no mention whatsoever of any discussion or disposition of Carlin’s motion to withdraw. Aguilar signed a plea agreement, which indicated that she was represented by Carlin, that she was satisfied with the advice he had given her, and that the maximum punishment she faced was 42 months’ imprisonment plus a $100,000 fine.
During the plea hearing, the court conducted a plea colloquy, confirming with Ayalla and Aguilar in succession that each had reviewed her plea agreement with Carlin and that neither defend
After questioning each codefendant, the court found that the women “voluntarily, knowingly, and understanding^ waived their constitutional rights and enter[ed] their plea of guilty, that there’s a factual basis for the plea, and that they understand the nature of the charges and the consequences of the pleas.” At no point in the hearing, however, did the court inform Aguilar pursuant to K.S.A. 22-3210(a)(2) of the maximum punishment she faced for her crime.
Within days, Aguilar informed Carlin that she wished to withdraw her plea. At a previously scheduled sentencing hearing before a different district judge, Carlin informed the court of Aguilar’s request. Because Aguilar now wished to “present to the court a conflicting defense” by withdrawing her plea, Carlin said he believed that he could not represent both defendants and requested to withdraw. The judge allowed Carlin to do so and appointed Craig Lubow to represent Aguilar. Per the State’s request, the judge then reassigned the case to the judge who had taken Aguilar’s original plea.
Approximately 3 weeks later, Lubow submitted a formal motion to withdraw Aguilar’s plea. The motion claimed that she was not guilty of the crime charged, that she entered the plea under duress, and that she had ineffective assistance of counsel during the plea hearing and the negotiations leading to it. According to the motion, Aguilar “felt pressured to enter the plea” because “die codefendant is her ‘aunt’, although not biologically related.” The motion also claimed Carlin had a conflict of interest because of his simultaneous representation of Aguilar and Ayalla. Included in this claim was an assertion that Carlin told Aguilar that a plea by both defendants would save Aguilar substantial legal fees she could not afford.
The court held a hearing on the motion to withdraw Aguilar’s plea the same day. Lubow first advised the court that Aguilar had stated that she wanted to withdraw her plea ahead of sentencing before a different judge, and “it was sent back down here for you to consider that.” The judge replied: “I have reviewed the motion.”
The State responded that the court had conducted the usual plea colloquy during the plea hearing and that Aguilar had said she was satisfied with Carlin’s performance. The State also argued that there was no evidence of conflict of interest.
Aguilar provided brief testimony at the hearing after counsels’ arguments. Among other things, Aguilar testified that she had felt financial and personal pressure to plead guilty as a result of her relationship with Ayalla and her inability to pay Carlin’s higher trial fees: “$750 apiece only if we pled the same plea.” (Emphasis added.) Aguilar suggested that she felt pressure because she believed a not guilty plea would lead to her charge being added to her aunt’s charges. Ayalla was already in jail while Aguilar stayed with Ayalla’s children. “I did not [have] any idea that she [Ayalla] was going to get all that stuff dropped, or I would not have pled guilty.” On cross-examination, she acknowledged that she had told the court during the plea hearing that she thought Carlin’s services were satisfactoiy.
At the close of the plea withdrawal hearing, the judge ruled from the bench, denying Aguilar’s motion to withdraw her plea saying:
“Ms. Aguilar, tire dilemma die Court faces now is, I have to determine when you were telling die truth, were you telling me the truth in your responses on the day we took the plea, or are you telling the truth today. I have a hard time finding— really now, at this point, knowing when you were telling the truth. I spent thirteen pages and about 15 minutes going — asking you and your codefendant various questions about the plea. I had you under oath. You made what seemed to be appropriate responses and I thought, at the time, truthful responses; and frankly, at this time, I still think they were truthful. I think you — either because you don’t want to do the [drug] treatment or you don’t want to be on probation — I don’t know what the reason is; but I think that the plea was voluntarily given — given without any threats, any promises. The fact that you say you’re not guilty now, when you clearly stated to me that you were guilty, hasn’t changed my mind. I don’t think you were under duress. And — and fourth' — the fourth reason, that Mr. Carlin gave you ineffective assistance of counsel — I’ve had Mr. Carlin in this courtroom a lot of times. I think he does a good job. And in addition to me going through this 15 minute recitation, Mr. Carlin also presented to me a plea petition, which he had gone over with you; and I asked you, ‘Did you go over the plea petition?’ In fact, I asked you if you had any questions concerning the plea petition, anything in there you didn’t understand that you would like the court to explain to you; and you said no. So you had really two lengthy opportunities to tell the truth, if you weren’t telling the truth. One was after Mr. Carlin asked you the questions and then when the Court asked them. So you’re asking me to believe that you were not telling the truth on that day but you’re telling the truth today. The Court is not going to accept that. And I don’t — I don’t feel, at this time, that a case has been presented to set aside the plea, and the plea will — -the Motion to Withdraw Plea is considered and denied. That will be the order.”
Analysis
The decision to grant or deny a motion to withdraw a guilty plea is governed by K.S.A. 22-3210(d):
“A plea of guilty or nolo contendere, for good cause shown and within the discretion of the court, may be withdrawn at any time before sentence is adjudged. To correct manifest injustice the court after sentence may set aside the judgment of conviction and permit the defendant to withdraw the plea.”
Our cases dealing with presentence and postsentence motions to withdraw have sometimes invoked and sometimes not invoked three factors to be considered: (1) whether the defendant was represented by competent counsel, (2) whether the defendant was misled, coerced, mistreated, or unfairly taken advantage of, and (3) whether the plea was fairly and understanding^ made. Compare Schow,
This court has recently referred to these three considerations as the “Edgar factors” — after State v. Edgar,
Our previous inconsistent adherence to the Edgar factors to inform the standard for considering motions to withdraw pleas— regardless of whether the statutory language requires good cause or manifest injustice — has no doubt been confusing for practitioners and the district bench. In Schow, we finally and explicitly recognized the distinction drawn in the statutory language, characterizing good cause for presentence motions as a “lesser standard” for a defendant to meet, when compared to manifest injustice for a defendant advancing a postsentence motion. Schow,
At least one more clarifying step beyond Schow is necessary to decide this case.
The Edgar factors remain viable benchmarks for judicial discretion but rebanee on them to the exclusion of other factors has not only conflated the good cause and manifest injustice standards of K.S.A. 22-3210(d) but also may have overemphasized the role of plea counsel’s competence in deciding presentence plea withdrawal motions. Although the Edgar factors permit counsel’s competence or lack thereof to be one consideration when the motion is filed in the time period between conviction and sentencing, they should not be mechanically applied to demand that a defendant
It is neither logical nor fair to equate the lesser K.S.A. 22-3210(d) good cause standard governing a presentence plea withdrawal motion to the high constitutional burden. The Edgar factors do not transform the lower good cause standard of the statute’s plain language into a constitutional gauntlet. Merely lackluster advocacy — or, as here, evidence of an insurmountable conflict of interest among jointly represented codefendants that is ignored by a district judge — may be plenty to support the first Edgar factor and thus statutory good cause for presentence withdrawal of a plea. All of the Edgar factors need not apply in a defendant’s favor in every case, and other factors may be duly considered in the district judge’s discretionary decision on the existence or nonexistence of good cause.
Here, Aguilar sought to withdraw her plea in part on the basis that her attorney had a conflict of interest arising out of his concurrent representation of Aguilar’s codefendant. At the plea hearing in this case, Carlin failed to address on the record his pending
At least some of these problems in Aguilar’s plea hearing had the potential to be corrected or ameliorated once she had been given new counsel. Unfortunately, this potential was not realized.
The district judge’s failure to apply the appropriate standards in the plea withdrawal hearing was an abuse of discretion requiring reversal and remand so that Aguilar may withdraw her plea and the State may pursue any additional proceedings it sees fit to pursue. Under the particularly egregious facts of this case — in which the conflict of interest between die defendant and her jointly represented codefendant was insurmountable, and the record reveals no sufficient disclosure by counsel and waiver by the client — -Aguilar met her burden to show good cause to grant her presentence motion to withdraw her plea under K.S.A. 22-3210(d). No additional district court hearing on the motion is necessaiy.
Reversed and remanded.
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Dissenting Opinion
dissenting: I respectfully dissent. More particularly, I disagree with the majority’s dilution of the constitutional standard articulated in Cuyler v. Sullivan,
The majority concedes that Aguilar emphasized the incompetency of her counsel and, more specifically, that she focused on her counsel’s purported conflict of interest arising out of his concurrent representation of Aguilar’s codefendant. Indeed, the majority concludes: “At the hearing on her motion to withdraw plea, there should have been no doubt whatsoever as to the main issue to be addressed: the conflict of interest between the codefendants in a constructive drug possession case and whether it warranted withdrawal of Aguilar’s guilty plea for good cause shown.”
The majority also correctly recites the applicable standard: ineffective assistance of counsel based upon conflict of interest requires the defendant to show that the conflict actually affected the adequacy of the representation. Mickens v. Taylor,
To this point, I am in agreement with the majority. I leave its company, however, when as a matter of law it refuses to require Aguilar to meet the specific standard articulated in Mickens, which
One obvious problem with diluting a constitutional standard is determining just how close one must get to it in order to be good enough. Unfortunately, the majority provides us no guidelines for filling the void created by its removal of the Mickens standards. Moreover, when the United States Supreme Court first applied a constitutional standard to a defendant’s request to withdraw a guilty plea based upon ineffective assistance of counsel, the Court warned that approving new grounds for setting aside guilty pleas represents “inroads on the concept of finality [which] undermines confidence in the integrity of our procedures.” Hill v. Lockhart,
This particular issue — the appropriate standard for addressing a presentence plea withdrawal motion based upon ineffective assistance of counsel due to conflict of interest through concurrent representation- — apparently has not yet arisen in Kansas appellate courts. However, a closely related issue has arisen: the appropriate standard for a presentence plea withdrawal based upon ineffective assistance of counsel due to conflict of interest but not because of concurrent representation. According to the majority, the constitutional standard articulated in Mickens, e.g., a conflict actually affecting the adequacy of the representation, is somewhat in tension with Kansas’ statutoiy standard of “good cause.” As a result, under the majority’s reasoning, these particular Kansas cases necessarily should also be analyzed under a similarly diluted “close enough to Mickens” standard. But they were not. Eveiy defendant was required to meet Mickens.
In State v. Whidden, the Court of Appeals clearly applied the Mickens test to a presentence challenge to a guilty plea based on ineffective assistance of counsel due to personal conflict of interest.
Another closely related issue has often arisen in Kansas appellate courts: the appropriate standard for a presentence plea withdrawal motion based upon ineffective assistance of counsel due purely to performance. According to the majority, the constitutional standards articulated in Strickland, e.g., deficient performance resulting in actual prejudice to defendant, would be somewhat in conflict with Kansas’ statutory standard of “good cause." As a result, under the majority’s rationale, these particular cases necessarily should also be analyzed under a similarly diluted “close enough to Strickland” standard. But they were not. Every defendant was required to meet Strickland. See, e.g., State v. White,
In short, the majority’s dilution of the Mickens standard directly contradicts the longstanding practice of Kansas appellate courts of applying constitutional standards to resolve Sixth Amendment-based presentence motions to withdraw pleas. This dilution also conflicts with the practice, and case law, of many federal courts.
While the particular issue in the instant case has not yet arisen in Kansas, it has occurred in the federal courts. The case of United States v. Verducci,
The Verducci court did not dilute the Mickens standard in its search for “fair and just” reasons permitting presentence withdrawal of the plea. Rather, the court essentially applied the Mick-ens standard, holding that defendant had failed to show the concurrent representation placed him in a more disadvantageous position than he would have occupied had his attorney not represented the other at all.
Similarly, in United States v. Cruz-Camacho, the district court addressed defendant’s presentence motion under Rule 11 to withdraw his plea due to ineffective assistance of counsel based upon
The case of United States v. Berkeley,
Berkeley represents the typical approach of the federal circuit courts. They generally require the defendant to meet constitutional standards when they review on direct appeal a district court’s denial of a Sixth Amendment-based presentence motion to withdraw plea. Specifically, they consider whether the Strickland, Cuyler, Mick-ens, or other constitutional standards are met. See, e.g., United States v. Wallace,
While some of these appellate decisions in the preceding paragraph do not clearly disclose the exact standards used by the district court, the following cases reveal the constitutional standards utilized by other district courts when reviewing presentence motions to withdraw plea for ineffective assistance of counsel, including for conflict of interest. See United States v. Tolson,
Finally, I point to United States v. Graham,
In conclusion, I would follow the guidance, and practice, of Kansas appellate courts. For those defendants filing presentence motions to withdraw their pleas under K.S.A. 22-3210(d) that allege ineffective assistance of counsel due to conflict of interest through concurrent representation, I would require them to meet constitutional standards before concluding they had established “good cause” for withdrawal. This continuation is consistent with the approach of federal courts which operate under a similar requirement, Federal Rule of Criminal Procedure 11(d), for addressing presentence motions to withdraw pleas. In my view, applying anything less than “full strength” constitutional standards to a defendant’s Constitution-based arguments creates problems.
