Terry Brian Tower v. O.J. PhillipsTerry Brian Tower v. O.J. Phillips
This case arises on appeal following the district court’s order denying and dismissing the petition for writ of habeas corpus of petitioner-appellant Terry Brian Towler. 1 For the reasons that follow, we vacate the district court’s decision and remand the case to the district court for an evidentiary hearing.
I. STATEMENT OF THE CASE
A. Background, Facts
In November 1981, Towler, then age 19, was in a Florida jail facing three informa-tions containing various state felony charges against him. The informations charged Towler with at least three life felonies (including one count of attempted murder, one count of armed burglary, and one count of armed kidnapping), two armed robbery felonies which the State argues were also life felonies, but which Towler asserts constituted only first degree felonies, 2 and several second degree felonies (including two counts of escape, one count of introduction of contraband into prison, and one count of possession of contraband). The Florida trial court appointed an assistant public defender to represent Towler in connection with these charges.
On November 16, 1981, Towler entered into a written plea agreement with the State, pursuant to which Towler agreed to plead guilty to five of the offenses listed in the informations. Later the same day, Towler, accompanied by his attorney, appeared before the trial' judge for a hearing to change Towler’s plea on the five offenses from not guilty to guilty. During the hearing, the trial judge informed Towler of all of the charges against him and their maximum possible sentences, and engaged in a routine plea colloquy with Towler concerning those offenses Towler had agreed to plead guilty to. With one exception, 3 Towler indicated that he understood both the charges and the effect of a guilty plea. At the conclusion of the hearing, the trial judge accepted and entered Towler’s plea of guilty to one count of armed kidnapping, one count of armed robbery, one count of introduction of contraband into prison, and two counts of escape. In return, the state dropped the remaining charges against Towler.
The written plea agreement identified the offenses to which Towler agreed to plead guilty and referenced the location of each offense in the original informations. The plea agreement did not, however, indicate the degree of the offenses that Towler -would plead guilty to. The trial judge entered Towler’s guilty pleas to the charges in the same degree as listed in the informa-tions — i.e., the judgment reflected convictions of two life felonies and three second degree felonies. 4 However, Towler alleges *810 that he executed the plea agreement only upon the advice of his attorney that the charges against him would be reduced to lesser-degree offenses as a result of the plea agreement. 5 Towler insists that had he known the true nature of the bargain, he would never have agreed to plead guilty to two life offenses which each carried mandatory sentences of thirty years to life in addition to three other second degree felonies.
Towler's attorney also represented Towler at his sentencing hearing, which was held on January 29, 1982. Shortly before the hearing commenced, Towler obtained a copy of his Presentence Investigation Report. On reading of the possible sentencing options discussed in the report, Towler alleges that he realized for the first time that the charges he pleaded guilty to had not been reduced to third degree offenses. Towler claims that he spoke with his attorney about the perceived error immediately before the hearing. Towler insists that he told his attorney at that time that the report was not consistent with his understanding of the nature of his pleas, and that he therefore wished to withdraw his guilty pleas and proceed with a jury trial.
The same judge who had accepted Towler’s guilty pleas presided over the sentencing hearing. At the hearing, Towler’s attorney informed the judge that Towler wished to change his pleas. When the judge asked what grounds Towler had for withdrawing the guilty pleas, Towler’s attorney responded, “[M]y understanding is that we would simply prefer to have a Jury Trial on each of these offenses.” Towler’s attorney did not mention anything improper about the plea agreement. Towler himself did not object to his attorney’s characterization of his request, nor did the trial judge question Towler directly about his request to withdraw his pleas. The judge denied Towler’s motion for permission to change his pleas, and sentenced Towler to a total of 95 years in prison.
B. Procedural History
In February 1982, Towler’s attorney filed a motion with the sentencing judge to reduce Towler’s sentence. The sentencing judge denied the motion on March 26, 1982. Towler never directly appealed his convictions or sentence, allegedly because his attorney told him that he could not challenge his guilty pleas once his motion to reduce the sentence was denied. 6
In June and November of 1987, more than five years after the entry of Towler’s convictions, Towler filed two collateral motions in Florida state court to vacate or set aside his sentence pursuant to Rule 3.850 *811 of the Florida Rules of Criminal Procedure. Neither of Towler’s motions have ever been ruled upon by a Florida court. Although Towler has not sought mandamus or an expedited ruling on these motions, he has apparently written the clerk of the state court repeatedly concerning his pending motions.
On June 21, 1989, Towler initiated federal proceedings by filing a petition for writ of habeas corpus relief in the Middle District of Florida.
See
II. ANALYSIS
On appeal, Towler challenges the district court’s ruling that the habeas petition did not raise a question as to whether Towler was denied the effective assistance of counsel or whether Towler’s guilty pleas may have been unknowing or involuntary. Claims that a petitioner received ineffective assistance of counsel and claims challenging the voluntariness of guilty pleas both present mixed questions of law and fact, which we review
de novo. LoConte v. Dugger,
Before we can reach the merits of Towler’s claims, however, we must address the State’s argument that Towler’s petition is procedurally barred because Towler has not shown cause for and prejudice from his failure to comply with Florida’s time limitations on collateral motions made pursuant to Rule 3.850. Whether a petitioner’s actions or inaction have created a state law procedural bar of particular claims is a mixed question of law and fact. Therefore, we review the district court’s determination that Towler was not procedurally barred from raising his claims in federal court
de novo. Cf. Fox v. Kelso,
A. The Need to Establish Cause and Prejudice
On appeal, the State contends that because Towler did not meet the time limitations imposed on Rule 3.850 motions under Florida law,
9
Towler must now show
*812
cause and prejudice to proceed on his federal habeas claims.
See Wainwright v. Sykes,
The State argues that a procedural bar is imposed by Rule 3.850 itself, which precludes motions from being “filed or considered” outside the two-year limitations period.
At the time Towler filed his habeas petition in federal court, Towler’s state motions had been pending without action in the Florida courts for a little over two years and nineteen months, respectively. This lengthy delay alone is sufficient to excuse Towler from state exhaustion requirements.
10
See Breazeale v. Bradley,
This unusual state of affairs leaves us with a record satisfying state exhaustion requirements but completely lacking any state court “judgment” on
*813
Towler’s claims, much less one resting on “adequate and independent state grounds.”
See Harris v. Reed,
B. The Petitioner’s Claims for Habeas Relief
Before we begin our discussion
of
the merits of Towler’s claims, we re-emphasize the limited nature of our review. The district court determined that Towler’s petition was not sufficient on its face to state a claim-for habeas relief. When a district court has denied a habeas petition without the benefit of a state or federal evidentiary hearing, our inquiry is limited to a
de novo
review of whether the facts alleged in the petition, if proven, would justify relief.
12
*814 1. Ineffective Assistance of Counsel
Towler’s claim of ineffective assistance of counsel is governed by the two-part test announced in
Strickland v. Washington,
Although not every misrepresentation by a lawyer that results in a guilty plea rises to the level of constitutionally ineffective assistance,
see Downs-Morgan,
In addition, Towler has sufficiently alleged prejudice resulting from his counsel’s misrepresentations. Towler repeatedly alleges that he would not have pleaded guilty to all five offenses in the same degree as charged in the informations. This allegation is circumstantially supported by the fact that Towler did move to withdraw his guilty plea at the sentencing hearing. Indeed, Towler’s allegations, if proven, might also support a finding that Towler did not receive effective assistance of counsel during his sentencing hearing.
See Wilson v. United States,
We conclude that the record does not conclusively establish that Towler is not entitled to relief on his ineffective assistance claim. Where the issue is the substance of an attorney-client communication, the record is often of limited usefulness and an evidentiary hearing may be necessary to resolve disputed issues of fact.
See Holmes,
*815 2. Voluntariness of Guilty Plea
A defendant who pleads guilty must be aware of “the relevant circumstances and likely consequences” surrounding the plea.
Brady v. United States,
In denying Towler’s petition, the district court held that the transcript of the plea hearing conclusively refuted Towler’s claim that his plea was involuntary. In other words, the district court concluded that any misrepresentations by Towler’s counsel were “cured” by the information communicated to Towler in the plea colloquy. 15 The court observed that Towler was fully informed by the trial judge of each charge he pleaded guilty to and each charge’s maximum sentence. Moreover, the district court noted that Towler told the trial judge that he understood the nature and consequences of his plea, and that Towler’s conduct in the hearing supported his statement.
In order for Towler’s pleas to have been knowing and voluntary, he must have been reasonably informed of “the nature of the charges against him, the factual basis underlying those charges, and the legal options and alternatives that are available.”
LoConte,
Our review of the plea hearing transcript leads us to conclude that the transcript does not conclusively refute Towler’s claims. According to Towler, he went into the plea hearing believing that he would be pleading to the third degree version of each offense listed in the plea agreement. The written terms of the plea agreement did not flatly contradict this perception because the agreement listed only the “counts” Towler would plead guilty to, and was silent as to the degree of each offense Towler was pleading to. The trial judge, after asking Towler a series of preliminary questions designed to ensure Towler’s competency to plea, opened the discussion of charges by saying:
Now, you are charged, as your attorney has indicated, in three separate cases, and I want to advise you of those charges and tell you what the maximum penalties are, and these are just the charges. It does not necessarily mean what you’re pleading to, and I will go over that with you in just a minute, but first of all, the charges. (Emphasis added).
After a run-down of the all the charges with their corresponding maximum sentences, the trial judge turned back to those offenses Towler had agreed to plead guilty to in the plea agreement.
And by this written plea, you’re offering to plead guilty to several of the offenses. And I’m going to tell you what you’re offering to plead guilty to under this written plea to be sure that it is consis *816 tent with what you understand that you’re pleading guilty to.
The trial judge then proceeded to identify those charges listed in the informations that the plea agreement indicated Towler would plead guilty to, and the court reiterated each offense’s maximum penalty. Neither party has challenged the sufficiency of the trial judge’s pre-plea colloquy. However, this is not conclusive proof that Towler was not prejudiced by his attorney’s misrepresentations.
See Slicker,
III. CONCLUSION
For the foregoing reasons, we VACATE the district court’s decision denying Towler’s petition and REMAND the case to the district court for an evidentiary hearing on Towler’s ineffective assistance of counsel and involuntary guilty plea claims.
Notes
. Although this case been docketed under the name “Tower,” we will refer to the petitioner by his proper last name of “Towler.”
. Towler and the State have apparently disputed the status of the armed robbery charges from the initiation of the criminal proceedings against Towler. The source of the dispute has centered on whether the underlying information’s allegations that Towler committed robberies while carrying a knife were sufficient to charge Towler with robbery with a "deadly weapon.”
See
. In response to the court’s question, "So far as we have gone, is that your understanding as far as this case is concerned,” Towler told the judge that he understood the maximum sentence for armed robbery was 30 years. The judge had earlier listed the maximum sentence for armed robbery as life imprisonment. Although life imprisonment was the maximum sentence for armed robbery as a life felony, 30 years was the maximum sentence for armed robbery as a first degree felony.
. Towler’s guilty plea on the armed robbery charge was apparently entered as a life felony, although the court only imposed a 30-year sentence for the offense. Thirty years imprison
*810
ment is the minimum sentence for a life felony in Florida, and the maximum sentence for a first degree felony.
See
. There is some confusion in the record as to the precise nature of Towler's understanding of the terms of the plea agreement. Towler has apparently contended throughout much of his post-conviction proceedings that he was told that all five charges would be reduced to third degree offenses in return for his guilty plea. However, Towler submitted an affidavit to the district court below which indicates that Towler believed that only the three second degree offenses would be reduced to third degree, and the potential life felonies reduced to first degree felonies. Because neither understanding is consistent with the convictions entered by the district court, we need not resolve this apparent discrepancy for purposes of this appeal.
. In support of this allegation, Towler submitted two letters addressed to him which appear to be signed by his attorney. The first letter, dated March 30, 1982, informs Towler, ‘'[s]ince any request for a sentence reduction is addressed to the discretion of the Court, there is no right of appeal from an order denying such a motion. I regret the decision the Court made but there is nothing else that can be done.” The second letter, dated June 3, 1982, informs Towler that no transcript of the court proceedings could be provided to Towler because ”[t]ranscripts are generally only prepared when there is an appeal of some type. As I have explained to you in the past, Florida does not allow appeals from a guilty plea. Therefore, there are no transcripts." The letter concludes, "I regret the lengthy sentence given you by Judge Lawrence, and the decision not to reduce your sentence. But there is no further action that can be taken at this point."
. Towler bases his involiintariness claims solely on the alleged misrepresentations of his attorney. Towler does not allege that the plea agreement should have been enforced according to his interpretation of its terms, or that the State was ever even aware of his interpretation of the agreement.
. This claim was dismissed by the district court as purely an issue of state law.
See Branan v. Booth,
.
No ... motion [other than motions to vacate a sentence in excess of the legal limits] shall be filed or considered pursuant to this rule if filed more than two years after the judgment *812 and sentence become final unless it alleges (1) the facts upon which the claim is predicated were unknown to the movant or his attorney and could not have been ascertained by the exercise of due diligence, or, (2) the fundamental constitutional right asserted was not established within the period provided for herein and has been held to apply retroactively-
. In addition, the State conceded exhaustion on the basis of futility in the district court proceedings below.
See Hollis v. Davis,
. The State cites this Circuit’s opinion in
Whid-don v. Dugger
for the proposition that federal courts must treat clearly delinquent applications for state relief as procedurally barred even if the state courts have never ruled on the late application.
See Whiddon v. Dugger,
. Towler has not submitted any documentary evidence supporting the allegations contained in his petition other than his own affidavits. However, corroborating evidence is not required to secure an evidentiary hearing unless the record conclusively refutes Towler’s claims.
See Downs-Morgan v. United States,
. District court determinations in habeas proceedings must be made on a sufficient and adequate record.
Clark v. Blackburn,
. We express no view as to the ultimate merit of Towler's claim. To prevail on the merits, Towler faces a heavy evidentiary burden. He will need to prove (1) that his attorney made the alleged misrepresentation, (2) that his attorney’s performance was constitutionally deficient, and (3) that he would not have pleaded guilty had he been properly informed and not misled as to the nature of the charges he was pleading to.
Yordan,
. This holding was also essential to the district court’s denial of Towler’s ineffective assistance of counsel claim. The district court found that the plea hearing conclusively refuted Towler’s claim of prejudice in regard to the ineffective assistance claim.
. Both the magistrate judge and the district court made much of the fact that Towler attempted to correct the judge on the maximum sentence for armed robbery. However, because the defense counsel’s position was that the wording of the original robbery charge would only support a 30-year sentence (rather than life), Towler’s intervention would not be inconsistent with his allegations that he thought the judge was reiterating the maximum sentences of each offense as originally charged.