Frеeman Holman, the defendant in this direct appeal, claims that he received ineffective assistance of counsel because during trial his attorney conceded guilt to one of the four counts he faced. He also alleges that the district judge erred when calculating his sentence. We find that he was not deprived of his Sixth Amendment right to the effective assistance of counsel and that no reversible errors were made during his sentencing.
I. BACKGROUND
On July 31, 1999, Holman was arrested on his way to meet Joyce Lawson, a police informant who arranged to meet Holman and purchase a small quantity of crack cocaine from him. As a result, he was indicted on one count of knowing and intentional possession of cocaine base with intent to distribute in violation of 21 U.S.C. § 841(a)(1) (Count I). A few months later, Holman was arrested when officers found a revolver and crack cocaine in his car. A superceding indictment added three charges based on his second arrest — possession of cocaine base with intent to distribute, possession of a firearm and ammunition by a felon in violation of 18 U.S.C. §§ 922(g)(1) and 924(a)(2), and carrying a firearm during and in relation to a drug trafficking crime in violation of 18 U.S.C. § 924(c)(1) (Counts II-IV)- Holman was found guilty on all counts by a jury after a two-day trial, sentenced to 248 months’ imprisonment, and now appeals.
II. ANALYSIS
A. Ineffective Assistance of Counsel
Holman claims he was denied effective assistance of counsel because his attorney conceded at trial that Holman was guilty of Count I. His challenge is based on the familiar standard of
Strickland v. Washington,
1. Deficient Performance Under Strickland
Holman must describe “errors sо serious that counsel was not functioning as the ‘counsel’ guaranteed the defendant by the Sixth Amendment” to show that his counsel was performing deficiently.
Strickland,
a) Trial strategy
Holman’s attorney began his opening statement by acknowledging that “on July 31st, 1999, Freeman Holman readily admits that he had cocaine in his pocket.” He then explained:
We’re not going to sit here and say, oh, no, he didn’t have it, because he did. He had the point six eight or nearly point seven grams of the cocaine, point seven gram [sic] of cocaine crack base in his pocket. We are not going to attempt tо deny that in any way, because that is the truth.
During the presentation of evidence, Holman’s attorney limited his cross-examination of the prosecution’s witnesses to issues raised in Counts II-IV and did not ask any questions regarding Count I. Similarly, when presenting defense witnesses (including Holman), he avoided any discussion of the events surrounding Count I and only asked questions relating to Counts II-IV. During closing argument, Holman’s attorney not only conceded that his client possessed drugs as alleged in Count I, but told the jury how to fill out the verdict form, saying:
[W]hen you go back to the Jury room we want you to look for Count I and Verdict Form 1 and where it says less than five grams, put an “X” there, date it, and sign it, because that’s what the evidence showed. He possessed point six eight grams of cocaine. And as the evidence went in, it certainly appeared that he was going to deliver it to Joyce Lawson. No problem with that, because that’s the truth.
Though an unusual defense strategy, we have held that conceding guilt to one count of a multi-count indictmеnt to bolster the case for innocence on the remaining counts is a valid trial strategy which, by itself, does not rise to the level of deficient performance.
See United States v. Wilks,
Here, while conceding Count I and its underlying facts,
ie.,
that on July 31,1999, his client possessed less than a gram of cocaine base and intended to sell it to Lawson, Holman’s attorney vigorоusly cross-examined the prosecution’s witnesses regarding Counts II-IV, focusing on gaps
*841
in the prosecution’s evidence.
2
Right after he conceded his client’s guilt on Count I, Holman’s attorney told the jury “[w]hat we don’t want are convictions on the other three charges.” He then described the weaknesses in the prosecution’s case, including the possibility that evidence was planted in Holman’s car or fabricated, and reiterated his client’s defense to Counts II-IV. This decision to emphasize the defense against Counts II-IV while conсeding guilt on Count I was a coherent trial strategy that, by itself, was not deficient.
See Wilks,
b) Client’s consent
While we have concluded that conceding guilt to one count of a multicount indictment is a valid defense strategy, the manner of its execution in this case greatly concerns us.
Strickland
imposes few requirements on attorneys, but one it specifically enumerates is “to consult with the defendant on important decisions and to keep the defendant informed of important developments in the course of the prosecution.”
Strickland,
While we and our sister courts have approved of the strategy that Holman complains of, there has usually been evidence in the record of a client’s consent to the strategy,
see, e.g., Wilks,
Here, unlike other cases, we have no indication from the trial or sentencing transcripts whether Holman’s attorney had his client’s consent to pursue such a strategy. Nor do we have post-trial evidence of consultation or consent. The only evidence of Holman’s opinions regarding his attorney’s conduct is a reference during the sentencing hearing to a letter that Holman sent to the Indiana Supreme Court Disciplinary Commission after his trial. While the contents of the letter are not knоwn, we surmise that Holman considered his attorney’s behavior egregious enough to warrant disciplinary action. During the hearing, Holman’s attorney told the court that he received a response letter from the Indiana Disciplinary Commission stating that he had done nothing wrong. While it is possible that Holman’s letter professed a valid complaint, these letters can also be expressions of “sour grapes” that result from high-risk trial strategies that fail. Without the letter itself in the record, and left with only a reference to it, we cannot consider the letter an expression of Holman’s disapproval of his attorney’s conduct for purposes of establishing lack of consent, given the possibility that the letter could have presented a frivolous claim, and taking into *842 account Holman’s own failure to attach any probative weight to the letter.
Without any indication as to whether Holman agreed to, dissented from, or even was aware of his attorney’s plan to conсede guilt, the question is whether it must be shown that Holman consented to such a strategy. As we said in
Simone,
“[w]e do not approve of a defense counsel’s deliberate, explicit admission that a jury should find his client guilty of a charge in the absence of any suggestion that the defendant concurred in the decision to proceed in such a manner.”
We draw guidance from a pair of Sixth Circuit cases involving Earl and Elmer Wiley. The Wileys were on trial for burglary and during closing argument, Earl Wiley’s attorney (speaking on behalf of both brothers), told the jury
[Ujnfortunately for these two men that you see here today, they are guilty. They’re guilty as charged by the Commonwealth’s Attorneys’s office .... Ladies and gentlemen of the jury, [the prosecutor] has proved to you beyond a reasonable doubt that these gentlemen are guilty of this crime. We don’t have stars in our eyes, аnd we never have. They’re guilty.
Earl Wiley v. Sowders,
Reviewing the habeas petitions separately, the Sixth Circuit found no indication as to whether or not Earl Wiley’s lawyer conferred with his client about conceding guilt (as in Holman’s case), and held that Earl Wiley “was deprived of effective assistance of counsel when his own lawyer admitted his client’s guilt, without first оbtaining his client’s consent to this strategy.”
Id.
It went on to find (though the case pre-dates
Strickland)
that the evidence against the Wileys was very circumstantial
(ie.,
in
Strickland
parlance, that Earl Wiley was prejudiced by his attorney’s concession), and granted Earl Wiley’s petition. On the other hand, Elmer Wiley’s attorney submitted an affidavit as part of the habeas corpus proceedings stating that Elmer discussed the concession strategy with his attorneys and that he consented to it.
Elmer Wiley v. Sowders,
*843
We agree with the Sixth Circuit that obtaining a defendant’s consent on the record in open court is the preferred method of forestalling any issues of consent that could come up later on appeal,
see Elmer Wiley,
Although Holman does not specifically articulate his appeal based on Rule 11, we think that his counsel’s deficient performance was based on a violation of Rule ll’s prоcedures. Though the concession of guilt was made during trial and not before, Holman’s counsel essentially gave up the same constitutional rights that Holman would have relinquished had he plead guilty to Count I before trial.
As outlined in
Boykin v. Alabama,
This was not a situation where the concession was made at the very end of trial, where the attorney realized after the close of evidence that there was no hope of a favorable verdict and thаt conceding guilt to one charge would hopefully preserve some credibility for the defense’s arguments opposing the other counts. Rather, Holman’s attorney decided from the very beginning that Count I was not worth fighting over and relinquished those constitutional rights of his client which Rule 11 was designed to protect.
See Boykin,
Here, Holman’s rights are protected by Rule ll’s extensive procedures, which distinguishes his situation from
United States v. Cooper,
*844
Most recently, in
Taylor v. United States,
we decided that it was not necessary for a defendant who chooses not to testify to make such a waiver on the record.
We consider counsel’s conduct deficient in this case bеcause there is no evidence of a defendant’s consent to a concession of guilt; to think otherwise would leave open a side door that would allow attorneys to abandon their clients. Rule 11 ensures that a guilty plea is made freely and knowingly, but if a defendant pleads not guilty, he enjoys no protection against an appeal to the jury to find him guilty. A similar side door — stipulating without a defendant’s prior consent to facts which prove the defendant’s guilt despite a not guilty plеa — has long been closed.
See United States v. Franzen,
Notwithstanding our finding that Holman’s attorney performed deficiently, we affirm Holman’s conviction, because he suffered no prejudice as a result of his attorney’s conduct.
2. Prejudice Under Strickland
While we find that Holman’s attorney’s conduct was deficient, we have determined that Holman suffered no prejudice as a result. Holman would have been prejudiced if there was “a reasonable probability that, but for counsel’s errors, the result of the proceeding would have been different. A reasonable probability is a probability sufficient to undermine confidence in the outcome.”
Strickland,
*845 Though Holman’s attorney conducted only cursory cross-examination of the prosecution’s witnesses and did not call any witnesses to rebut the prosecution’s case regarding Count I, it is difficult to imagine how he could have mounted an effective defense that would have challenged either Holman’s possession of the cocaine or his intent to sell it to Lawson. According to Lawson’s testimony and that of Tracy Broxon of the Fort Wayne Police Department, Lawson called Holman and told him she wanted to buy some crack from him. Holman told her to go to a certain gas stаtion and call him for further instructions. Accompanied by Broxon and two other officers, Lawson went to the gas station as directed and called Holman again. Holman answered the phone and told her he was coming outside to meet her. When Holman was seen leaving a hotel across the street approaching Lawson, police officers arrested him and found the cocaine.
While his attorney relentlessly pursued the idea that the police planted cocaine on Holman and in his car when they arrested him the second time, there is no indication that this strategy was feasible for Count I. In addition, Holman’s intent to sell the cocaine to Lawson would be very difficult to refute, since he did not leave the hotel until Lawson called and asked that the cocaine be delivered. We have no evidence of improper investigative techniques on the part of the police, nor do we have testimony from Holman that would undermine the government’s case. It is possible that Holman could argue that the concession of guilt to the first cocaine possession count tainted him, making the jury predisposed to thinking of him as a drug dealer when they considered the other counts, but the weight of the evidence suggests that this is a dubious argument at best.
We find, in applying the prejudice prong of
Strickland,
that the strategy used by Holman’s attorney regarding Count I did not have a reasonable probability of affecting the trial’s outcome,
see Strickland,
B. Sentencing Issues
Holman raises three arguments related to his sentencing. First, he argues that a conflict of interest existed between him and his trial counsel during the sentencing proceeding as a result of his letter to the Indiana Supreme Court Disciplinary Commission. Such a conflict would be a violation of the Sixth Amendment, entitling Holman to a new trial.
Strickland,
The fact that Holman initiated a disciplinary inquiry against his attorney is not enough to establish an actual conflict of interest. An actual conflict exists if an attorney is torn between two different interests.
See Stoia,
Second, Holman argues that the level used to calculate his sentence under the Sentencing Guidelines was impropеrly based on facts not raised at trial. Since he did not raise these objections during his sentencing hearing, we review for plain error.
United States v. Davis,
Holman’s final claim is that the trial judge failed to make proper findings when imposing a two-level enhancement for obstruction of justice under Sentencing Guideline § 3C1.1. His attorney objected to the general principle of the enhancement, but did not make any objection to the findings of fact the judge made during the sentencing hearing, so our review is for plain error.
See United States v. Danser,
III. CONCLUSION
For these reasons we Affirm Freeman Holman’s conviction and sentence.
Notes
. It is possible to argue that by conceding his client’s guilt, Holman’s attorney ”fail[ed] to subject the prosecution’s case to adversarial testing,” something found per se prejudicial in
United States v. Cronic,
. Count I carried no statutory mandatory minimum sentence under 21 U.S.C. § 841 since the amount in question was less than a gram. Counts II-IV, on the other hand, carried statutorily required minimum sentences.
. The Fifth Circuit found differently in
Haynes,
where a defendant on trial for first-degree murder in Louisiana objected on the record to the judge (but outside the presence of the jury) to his attorney's сoncession to guilt of second-degree murder. In his federal habeas petition, Haynes argued that this amounted to an impermissible concession under
Cronic.
The Fifth Circuit held that
Strickland
was the proper standard, then bypassed the issue of consent, finding that this was a suitable tactic for such a serious crime, since it hopefully prevented the jury from finding Haynes eligible for the death penalty.
See
. Because this is a direct appeal and not a review of a habeas corpus petition, we do not have the option of remanding to the district court to determine whether or not Holman in fact consented or not to his attorney’s strategy.
See Elmer Wiley,
. A similar showing of consent is also required when defendants waive their right to appeal.
See United States v. Robinson,
. As we have noted, we are constrained by the procedurаl posture of this case to only look at the trial record, in contrast to habeas corpus cases where we have a larger record to draw from and the opportunity to remand for more evidentiary hearings.
See United States v. Asubonteng,
