Opinion ID: 2045722
Heading Depth: 1
Heading Rank: 6

Heading: ineffective assistance: prejudice to defendant

Text: ¶ 27. Whether or not Smith was prejudiced by his counsel's deficient performance is the crux of the matter now before us. The United States Supreme Court has ruled that when a plea rests in any significant degree on a promise or agreement of the prosecutor. . .such promise must be fulfilled. Santobello v. New York, 404 U.S. 257, 262 (1971). The guilty plea process must be attended by certain assurances that the defendant will receive what is reasonably due, under the circumstances. Id. According to the Strickland Court, proof of prejudice requires a showing that the defendant was deprived of a fair proceeding whose result is reliable. 466 U.S. at 687. The defendant need only demonstrate to the court that the outcome is suspect, but need not establish that the final result of the proceeding would have been different. As the Strickland Court said, An ineffective assistance claim asserts the absence of one of the crucial assurances that the result of the proceeding is reliable, so finality concerns are somewhat weaker and the appropriate standard of prejudice should be somewhat lower. The result of a proceeding can be rendered unreliable, and hence the proceeding itself unfair, even if the errors of counsel cannot be shown by a preponderance of the evidence to have determined the outcome. . .The defendant must show that there is a reasonable probability that, but for counsel's unprofessional errors, the result of the proceeding would have been different. A reasonable probability is a probability sufficient to undermine confidence in the outcome. Id. at 694. ¶ 28. The Strickland test is not an outcome-determinative test. Id. at 693-94. In decisions following Strickland, the Supreme Court has reaffirmed that the touchstone of the prejudice component is whether counsel's deficient performance renders the result of the trial unreliable or the proceeding fundamentally unfair. Lockhart v. Fretwell, 506 U.S. 364, 372 (1993). In Nix v. Whiteside, 475 U.S. 157, 175-76 (1986), the Court said that the benchmark of the right to counsel is the fairness of the adversary proceeding; see also, United States v. Morrison, 449 U.S. 361, 364 (1981) (the right to counsel is meant to assure fairness in the adversary criminal process). ¶ 29. The Santobello decision was rendered prior to Strickland but likewise relied on principles of fairness to establish that the breach of a prosecutor's agreement required a remand either for specific performance under the agreement, or to permit the defendant to withdraw his plea. 404 U.S. at 262-63. In that case, the defendant had negotiated with the prosecutor and agreed to plead guilty to a lesser included offense that carried a maximum sentence of one year in prison. As part of that agreement, the prosecutor agreed to make no sentence recommendation. 404 U.S. at 258. There were a number of procedural delays after the defendant entered his guilty plea and before his sentencing. In that interval, the defendant acquired new defense counsel, the original presiding judge retired, and by the time of the sentencing, a different prosecutor had taken on the case. Id. at 258-59. That prosecutor recommended the maximum sentence. Id. at 259. Unlike the facts before us, however, Santobello's counsel immediately objected to the prosecutor's breach of the plea agreement condition and requested an adjournment. Id. ¶ 30. The trial court declined to adjourn the hearing or to take testimony. The judge then told the parties that he was not at all influenced by the prosecutor's recommendation, but instead relied upon the presentence report in rendering the maximum sentence. Id. at 259-60. After unsuccessful appeals to New York courts, Santobello sought certiorari in the United States Supreme Court. ¶ 31. The Court observed that plea negotiations between the State and the defendant offer a number of advantages to efficiently ensure the public's protection and the prompt disposition of criminal cases. Id. at 261. But, the Court cautioned, all of those advantages are premised on a plea negotiation rooted in fairness. [A]ll of these considerations presuppose fairness in securing agreement between an accused and a prosecutor. Id. To ensure a fair result to the process, certain safeguards must be present. [A] constant factor is that when a plea rests in any significant degree on a promise or agreement of the prosecutor, so that it can be said to be part of the inducement or consideration, such promise must be fulfilled. Id. at 262. The Court held that the interests of justice and a recognition of the duties of the prosecution would best be served by a remand to the state courts. Id. at 262-63. ¶ 32. Discussing the prejudice component sometime after Santobello, the Supreme Court said that [u]nreliability or unfairness does not result if the ineffectiveness of counsel does not deprive the defendant of any substantive or procedural right to which the law entitles him. Lockhart, 506 U.S. at 372. Santobello remains consistent with the later rulings of the Supreme Court in that it recognizes the defendant's substantive right to fulfillment of the fundamental terms of a plea agreement, and also by its conclusion that a breach of the plea agreement, unobjected to by defense counsel, constitutes a deprivation of that substantive right. ¶ 33. In certain instances, prejudice is presumed once deficient performance has been proven. The Supreme Court highlighted several of these situations: In certain Sixth Amendment contexts, prejudice is presumed. Actual or constructive denial of the assistance of counsel altogether is legally presumed to result in prejudice. So are various kinds of state interference with counsel's assistance. Prejudice in these circumstances is so likely that case-by-case inquiry into prejudice is not worth the cost. Moreover, such circumstances involve impairments of the Sixth Amendment right that are easy to identify and, for that reason and because the prosecution is directly responsible, easy for the government to prevent. Strickland, 466 U.S. at 692 (citations omitted). ¶ 34. Instances where the Supreme Court has presumed prejudice include United States v. Cronic, 466 U.S. 648, 659 (1984)(presuming that trial is unfair if the accused is denied counsel at a critical stage of the trial); Hamilton v. Alabama, 368 U.S. 52, 55 (1961)(presumption of prejudice when defendant is denied counsel at arraignment); White v. Maryland, 373 U.S. 59, 60 (1963) (prejudice presumed when defendant denied counsel at preliminary hearing); Herring v. New York, 422 U.S. 853, 864 (1975)(presumption of prejudice where defendant denied right to give closing argument); Penson v. Ohio, 488 U.S. 75, 88 (1988) (ruling that where there is a complete denial of appeal, prejudice is presumed); Cuyler v. Sullivan, 446 U.S. 335, 349-50 (1980) (presumption of prejudice to defendant where his attorney labored under an actual conflict of interest that negatively affected his performance). ¶ 35. Our court too, has presumed prejudice to a criminal defendant in some instances. In one ineffective assistance of counsel case we ruled that had certain letters creating doubt as to the defendant's competency to stand trial been introduced, the trial court would have been required to hold a competency hearing. State v. [Oliver Ross] Johnson, 133 Wis. 2d at 224. Thus, the defendant in Johnson established that his counsel's failure to bring those letters to the circuit court's attention was so serious as to deprive [the defendant] of a fair trial, a trial whose result is reliable. 133 Wis. 2d at 224. Later, in State v. Behnke, 155 Wis. 2d 796, 456 N.W.2d 610 (1990), we declined to consider whether the outcome would have been different but for counsel's error. In particular, we declined to assess whether the jury poll would have yielded a different result had Behnke's attorney been present at the reading of the verdict. Instead, we assumed prejudice because the defense counsel's absence cost the defendant a very important right. 155 Wis. 2d at 802, 806. ¶ 36. Part of the rationale behind presuming prejudice is the difficulty in measuring the harm caused by the error or the ineffective assistance. See Strickland, 466 U.S. at 692; Behnke, 155 Wis. 2d at 806. In Behnke, for instance, we declined to indulge in calculation or speculation about the prejudice arising from the absence of counsel and the failure to poll the jury. 155 Wis. 2d at 807. ¶ 37. In this case, both parties recognize the difficulty in measuring the degree to which Smith was prejudiced when his counsel failed to object to the prosecutor's breach. To ascertain what would have happened in the absence of error, the State suggests that we remand to the circuit court for a new hearing to determine whether Mr. Smith would have received a different sentence if the prosecutor had made no recommendation. But such a hearing would necessarily involve speculation and calculation. Retrospective testimony by the judge who sentenced Smith would be inappropriate, and irrelevant. [12] Poole, 131 Wis. 2d at 364. [14, 15] ¶ 38. Instead, we conclude that when a prosecutor agrees to make no sentence recommendation but instead recommends a significant prison term, such conduct is a material and substantial breach of the plea agreement. Such a breach of the State's agreement on sentencing is a manifest injustice and always results in prejudice to the defendant. [13] See State v. Bangert, 131 Wis. 2d at 289. The breach of a material and substantial term of a plea agreement by the prosecutor deprives the defendant of a sentencing proceeding whose result is fair and reliable. Our conclusion precludes any need to consider what the sentencing judge would have done if the defense counsel had objected to the breach by the district attorney. Rather, our conclusion is premised on the rule of Santobello, that when a negotiated plea rests in any significant degree on a promise or agreement of the prosecutor, such promise must be fulfilled. 404 U.S. at 262. [16, 17] ¶ 39. We are mindful that the sentencing court is not bound by the parties' negotiations. State v. McQuay, 154 Wis. 2d 116, 128, 452 N.W.2d 377 (1990); Melby v. State, 70 Wis. 2d 368, 385-86, 234 N.W.2d 634 (1975). The sentencing court always has an independent duty to look beyond the recommendations and to consider all relevant sentencing factors. [14] There is no question that Judge DiMotto had the authority to sentence Smith to any appropriate sentence up to the statutory maximum. But the prejudice in this case arose when the prosecutor recommended a significant prison term after an agreement to make no recommendation, and Smith's defense counsel failed to object to that recommendation. ¶ 40. We conclude that Smith was automatically prejudiced when the prosecutor materially and substantially breached the plea agreement. Thus, there is no need to remand for a determination of the ineffectiveness of counsel. Instead, we grant Smith's request for a new sentencing hearing conducted in accordance with the terms of the plea agreement. By the Court. Reversed and remanded for a new sentencing hearing.