Opinion ID: 2508569
Heading Depth: 2
Heading Rank: 2

Heading: dunlap received effective assistance of counsel

Text: Dunlap asserts his constitutional rights were violated by counsels' ineffective assistance with the pretrial investigation leading up to his guilty plea, the entry of the plea, the failure to withdraw his guilty plea, the failure to have him present at all hearings, and the failure to file a timely post-conviction application. The issues regarding ineffective assistance of counsel that will be considered by this Court are as follows: (1) whether trial counsel were ineffective when they did not have Petitioner evaluated or seek a competency hearing before tendering a guilty plea; (2) whether trial counsel were ineffective in negotiating and recommending the plea agreement; (3) whether trial counsel were ineffective in not seeking withdrawal of the guilty plea prior to or after sentencing; (4) whether trial counsel were ineffective in failing to investigate and present evidence in mitigation; (5) whether trial counsel were ineffective in not timely filing the post-conviction petition; and (6) whether trial counsel were ineffective due to their conflict of interest for simultaneously representing the prosecutor's key witness. Article I, section 13 of the Idaho Constitution guarantees a criminal defendant reasonably competent assistance of counsel. State v. Wood, 132 Idaho 88, 95, 967 P.2d 702, 709 (1998) (quoting Gibson v. State, 110 Idaho 631, 635, 718 P.2d 283, 287 (1986)). Likewise, the Sixth Amendment via the due process clause of the Fourteenth Amendment assures a criminal defendant effective assistance of counsel. Strickland v. Washington, 466 U.S. 668, 685-86, 104 S.Ct. 2052, 2063-64, 80 L.Ed.2d 674, 691-92 (1984); Aragon v. State, 114 Idaho 758, 760, 760 P.2d 1174, 1176 (1988). There is a strong presumption that trial counsel was competent and that trial tactics were based on sound legal strategy. Strickland, 466 U.S. at 689, 104 S.Ct. at 2065, 80 L.Ed.2d at 694; State v. Mathews, 133 Idaho 300, 306, 986 P.2d 323, 329 (1999); Wood, 132 Idaho at 95, 967 P.2d at 709; Aragon, 114 Idaho at 760, 760 P.2d at 1176. Our Court adopted the Strickland two-prong test to evaluate whether a criminal defendant received effective assistance of counsel. Mathews, 133 Idaho at 306, 986 P.2d at 329; Wood, 132 Idaho at 95, 967 P.2d at 709; Giles v. State, 125 Idaho 921, 924, 877 P.2d 365, 368 (1994). A defendant must prove that counsel's performance was deficient and the deficiency prejudiced the case. Strickland, 466 U.S. at 687, 104 S.Ct. at 2064, 80 L.Ed.2d at 693; Mathews, 133 Idaho at 306, 986 P.2d at 329; Wood, 132 Idaho at 95-96, 967 P.2d at 709-10. To show a deficiency the defendant must show the attorney's representation fell below an objective standard of reasonableness. Gilpin-Grubb v. State, 138 Idaho 76, 81, 57 P.3d 787, 792 (2002). To prove prejudice, the defendant must show a reasonable probability that, but for the attorney's deficient performance, the outcome of the trial would have been different. Id. When the conviction is the result of a plea as compared to a trial; the defendant must show that there is a reasonable probability that, but for counsel's errors, he would not have pleaded guilty and would have insisted on going to trial. Hill v. Lockhart, 474 U.S. 52, 59, 106 S.Ct. 366, 370, 88 L.Ed.2d 203, 210 (1985). When this Court reviews the district court's factual findings in an ineffective assistance of counsel claim we determine whether the findings were clearly erroneous. Wood, 132 Idaho at 96, 967 P.2d at 710. We exercise free and independent review of the district court's application of law. Id.
Dunlap argues he received ineffective assistance of counsel because his attorneys did not ensure he was competent when he pled guilty. He contends the information his attorneys had available to them required an evaluation for competency pursuant to I.C. § 18-211 be completed prior to Dunlap pleading guilty. The test to determine whether a defendant is competent to stand trial is `[w]hether a defendant has sufficient present ability to consult with his lawyer with a reasonable degree of rational understanding and whether he has a rational, as well as factual, understanding of the proceedings against him.' Green, 130 Idaho at 505, 943 P.2d at 931 (quoting State v. Daniel, 127 Idaho 801, 803, 907 P.2d 119, 121 (Ct.App.1995) (citing Dusky v. United States, 362 U.S. 402, 80 S.Ct. 788, 4 L.Ed.2d 824 (1960))). While the opinion of ... counsel certainly is not determinative, a defendant's counsel is in the best position to evaluate a client's comprehension of the proceedings. Hernandez v. Ylst, 930 F.2d 714, 718 (9th Cir.1991). In a criminal case, counsel has a duty to conduct an adequate investigation. Mathews, 133 Idaho at 307, 986 P.2d at 330. In this case, counsel did investigate Dunlap's competency. Prior to the guilty plea counsel had some of Dunlap's prior mental health records for review. Dunlap had been previously found by various mental health providers to have a manipulative, passive-aggressive personality but to not demonstrate any signs of psychosis. None found him to suffer from a mental illness. As a result, in review of the evidence and materials available to Dunlap's attorneys and the district court prior to the acceptance of Dunlap's guilty plea, neither the district court nor Dunlap's attorneys had any reason to doubt Dunlap's competency. His attorneys and the district court also had the benefit of reviewing additional reports regarding Dunlap's competency before sentencing. Dr. Estess concluded in part: 2. I do not think that Mr. Dunlap manifests any evidence of significant psychiatric difficulty. That is, I do not think he is mentally ill. He has at times had periods of depression. Whether or not he has had a major depression or a dysthymic disorder or an adjustment disorder with associated depressed mood, I think is a bit academic. Importantly at this time, he does not seem significantly depressed to me, from a strictly clinical perspective. He does, I think, manifest evidence of a personality disorder. Features of his personality problems fall into the area of explosive, passive aggressive, and histrionic characteristics. 3. I do not think that Mr. Dunlap suffers from any functional impairment, from a psychiatric perspective.... 9. I think Mr. Dunlap is entirely capable of understanding the charges against him, of his plea arrangements, and he is competent to proceed with sentencing consideration. Dr. Brooks concluded, [T]he psychological testing is very clearly indicative of an impulsive, explosive individual who is extremely suspicious of others. He is one who can be expected to be extremely shallow, superficial and manipulative in his relationships.... The information available at this time points to the existence of a personality disorder. I do not believe that the evidence supports a conclusion that a multiple personality disorder exists. In reviewing the information presented at the evidentiary hearing for post-conviction relief there still was insufficient information to believe Dunlap was incompetent at the time he pled guilty. When reviewing this case from the perspective of Dunlap's attorneys at the time Dunlap accepted the guilty plea, there is insufficient evidence to prove they were ineffective. Dunlap failed to prove by a preponderance of evidence that his attorneys provided ineffective assistance of counsel by failing to submit Dunlap to a competency evaluation prior to pleading guilty.
The longstanding test for determining the validity of a guilty plea is `whether the plea represents a voluntary and intelligent choice among the alternative courses of action open to the defendant.' Hill v. Lockhart, 474 U.S. 52, 56, 106 S.Ct. 366, 369, 88 L.Ed.2d 203, 208 (1985). Where ... a defendant is represented by counsel during the plea process and enters a plea upon the advice of counsel, the voluntariness of the plea depends on whether counsel's advice `was within the range of competence demanded of attorneys in criminal cases.' Id. (citation omitted). Strategic or tactical decisions made by counsel will not be second-guessed on appeal unless those decisions are based on inadequate preparation, ignorance of relevant law, or other shortcomings capable of objective evaluation. Gilpin-Grubb, 138 Idaho at 81, 57 P.3d at 792. Dunlap argues he could not have entered a knowing and voluntary plea because his counsel failed to advise him of the best course of action. Dunlap contends his attorneys did not recommend any course of action for him and he was left completely abandoned to decide whether to accept the State's offer. Furthermore, his attorneys failed to give accurate, informed advice on the consequences of a guilty plea. He asserts trial counsels' testimony supports his position. Finally, Dunlap asserts the American Bar Association Guidelines for the Appointment and Performance of Defense Counsel in Death Penalty Cases requires counsel to ensure that death is not a possible punishment before advising a client to plead guilty. Dunlap contends there is a reasonable probability he would have proceeded to trial had he been properly advised. The United States Supreme Court has stated, [T]he decision to plead guilty before the evidence is in frequently involves the making of difficult judgments. All the pertinent facts normally cannot be known unless witnesses are examined and cross-examined in court. Even then the truth will often be in dispute. In the face of unavoidable uncertainty, the defendant and his counsel must make their best judgment as to the weight of the State's case. Counsel must predict how the facts, as he understands them, would be viewed by a court. If proved would those facts convince a judge or jury of the defendant's guilt? . . . Questions like these cannot be answered with certitude; yet a decision to plead guilty must necessarily rest upon counsel's answers, uncertain as they may be. Waiving trial entails the inherent risk that the good-faith evaluations of a reasonably competent attorney will turn out to be mistaken either as to the facts or as what a court's judgment might be on given facts. That a guilty plea must be intelligently made is not a requirement that all advice offered by the defendant's lawyer withstand retrospective examination in a post-conviction hearing. McMann v. Richardson, 397 U.S. 759, 769-70, 90 S.Ct. 1441, 1448, 25 L.Ed.2d 763, 772-73 (1970) (citing Brady v. United States, 397 U.S. 742, 756-57, 90 S.Ct. 1463, 1473-74, 25 L.Ed.2d 747, 760-61 (1970)). Dunlap's attorneys evaluated the evidence and determined the State had overwhelming evidence against Dunlap. In their view, the best way to avoid the death penalty was to accept responsibility and attempt to reduce the details the court would be presented with. When attorney Souza was asked if he gave Dunlap the best advice he could, he stated, Well, I hope that we tried to discuss with him and give him the options that he had at that particular time. That certainly was the intent. Attorney Souza explained, [T]here was a decision on his part not to go to trial, and if he didn't go to trial, then what was the best outcome that he could hope for, given the facts and circumstances of this case, and if I remember right, it was discussed in terms of, of course, what the court could do as far as imposing the death penalty or the court giving him fixed life. The Court finds the trial judge did reasonably determine that the defendant was adequately advised by trial counsel on the proposed plea agreement.
Dunlap argues he received ineffective assistance of counsel when his trial attorneys failed to withdraw his guilty plea. A guilty plea may be withdrawn prior to sentencing if there is a just reason to withdraw the plea. State v. Ballard, 114 Idaho 799, 801, 761 P.2d 1151, 1153 (1988). The motion shall be denied if the State can show resulting prejudice from the withdrawal. Id. A factor to consider is whether the defendant read the presentencing report before filing the motion, and if he has received the report the court has broad discretion to take into account the defendant's motives for filing. State v. Akin, 139 Idaho 160, 163, 75 P.3d 214, 217 (Ct.App.2003). Dunlap asserts there are three just reasons that trial counsel could have asserted to support a motion to withdraw his guilty plea: (1) counsel learned Gilette was planning to testify to extremely damaging allegations; (2) counsel knew that Gilette was a client of theirs; and (3) counsel learned that Dr. Estess released a prejudicial report that counsel was unprepared to rebut. Dunlap argues that these three things completely undermined the strategy to show his remorse and thus it was necessary for trial counsel to withdraw his guilty plea. Dunlap's motion had no chance of being granted. Dunlap does not assert his innocence. His motives for requesting the motion would have been suspect in light of the fact it is based on the prejudicial information that came out in Dr. Estess' report and his cellmate's testimony. Dunlap fails to assert any just reason that would have allowed him to withdraw his guilty plea. Therefore, Dunlap fails to prove his trial attorneys were ineffective for failing to withdraw his guilty plea.
Dunlap argues on appeal he received ineffective assistance of counsel because his attorneys failed to conduct an adequate mitigation investigation. Dunlap contends that such an investigation needed to be completed prior to advising him to plead guilty. Generally, an issue is moot if it does not present a real and substantial controversy capable of being concluded through a judicial decree of specific relief. Idaho Sch. for Equal Educ. Opportunity v. Idaho State Bd. of Educ., 128 Idaho 276, 281-82, 912 P.2d 644, 649-50 (1996). If the parties lack a legally cognizable interest in the outcome or the issues presented are no longer live, the issues are moot and preclude review. Id. at 281, 912 P.2d at 649. When a favorable judicial decision would not result in any relief, the party lacks a legally cognizable interest in the outcome. See Murphy v. Hunt, 455 U.S. 478, 481-82, 102 S.Ct. 1181, 1183-84, 71 L.Ed.2d 353, 356-57 (1982). The State conceded and the district court agreed that Dunlap should have a new sentencing hearing. Dunlap may present any and all mitigating evidence at that time. We do not believe Dunlap's mitigation investigation had to be completed prior to pleading guilty. This issue is moot because even a favorable result would not give Dunlap any additional relief beyond what has already been granted by the district court.
Dunlap argues he received ineffective assistance of counsel when his attorneys did not file a timely post-conviction application. He asserts that laboring under an invalid death sentence for approximately ten years and being denied the benefit of having a consolidated appeal prejudiced him. This issue is moot because of our decision in Dunlap II, 131 Idaho at 577, 961 P.2d at 1180, wherein we allowed Dunlap to proceed on the post-conviction application although it was filed after the 42-day deadline. Furthermore, we do not believe Dunlap has shown prejudice other than his conclusionary statement that the suffered from laboring under his death sentence.
On appeal, Dunlap argues that trial counsel labored under three conflicts of interest that adversely affected their representation of him. First, because of the public defender contract, trial counsel faced a financial conflict of interest. Second, the plea agreement where Dunlap stipulated he received effective assistance of counsel created a conflict of interest. Third, the simultaneous representation of the prosecutor's key witness and Dunlap created a conflict of interest that was not waived by Dunlap. The first two conflicts of interest are being asserted for the first time on appeal and will not be considered by this Court. Sanchez v. Arave, 120 Idaho 321, 322, 815 P.2d 1061, 1062 (1991). Although the third alleged conflict, the simultaneous representation of the prosecutor's key witness and Dunlap, was not specifically ruled on by the district court, the issue was contained in Dunlap's post-conviction application. Therefore, we will consider the issue. In order to establish a violation of the Sixth Amendment, a defendant who raised no objection at trial must demonstrate that an actual conflict of interest adversely affected his lawyer's performance. Cuyler v. Sullivan, 446 U.S. 335, 348, 100 S.Ct. 1708, 1718, 64 L.Ed.2d 333, 346 (1980). [T]he possibility of conflict is insufficient to impugn a criminal conviction. Id. at 350, 100 S.Ct. at 1719, 64 L.Ed.2d at 348. Dunlap bears the burden of showing `active representation of competing interests' in order to establish a conflict of interest implicating the protection of the Sixth Amendment. State v. Wood, 132 Idaho 88, 98, 967 P.2d 702, 712 (1998). Dunlap pled guilty on December 30, 1991 at approximately 1:45 p.m. Lieutenant Rice completed the interview and received a statement from Dunlap's cellmate, Gillette, the same day at approximately 12:30 p.m. After December 30, 1991, but before January 21, 1992, Dunlap's attorneys were made aware of Gillette's statement. Thus, the potential conflict arose after the plea agreement. There is no evidence that counsels' performance was adversely affected by the alleged conflict on December 30, 1991. Furthermore, since Dunlap has been granted a new sentencing hearing, his argument regarding counsels' deficient performance due to a conflict of interest fails because it is moot. He will have different counsel for his resentencing. Dunlap may still investigate Gillette and properly cross-examine him at the resentencing hearing.