Steele v. United States
Steele v. United States
Opinion of the Court
Advocacy does not begin and end with a trial. Throughout all stages of litigation, attorneys must vigorously advocate for their clients in spite of busy schedules, personality conflicts, or unforeseen circumstances. In particular, attorneys advocating for criminal defendants who face tough odds at trial must tell their clients what they need to hear -not necessarily what they want to hear. This sentiment is not merely an aspiration of the judicial system; it is a guarantee under our Constitution.
The Sixth Amendment requires effective assistance of counsel at critical stages of a criminal proceeding. Its protections are not designed simply to protect the trial, even though counsel's absence in these stages may derogate from the accused's right to a fair trial. The constitutional guarantee applies to pretrial critical stages that are part of the whole course of a criminal proceeding, a proceeding in which defendants cannot be presumed to make critical decisions without counsel's advice.
Lafler v. Cooper ,
I. Procedural History
After a four-week jury trial, Petitioner Omar Steele ("Steele") was found guilty on April 19, 2013 of one count of conspiracy to distribute and possess with intent to distribute controlled substances in violation of
On July 27, 2016, Steele filed a motion under
II. Discussion
Legal Standard. As previously noted, the Sixth Amendment right to counsel "extends to the plea-bargaining process." Lafler , 566 U.S. at 162,
Under the performance prong, a defendant must show that counsel's performance was deficient. Strickland ,
Under the prejudice prong, a defendant must show that the deficient performance *588prejudiced the defense, and but for counsel's unprofessional errors, there is a reasonable probability that the result of the proceeding would have been different. Strickland ,
The Key Letters. Prior to the evidentiary hearing, two primary artifacts of evidence supported the plausibility of Steele's allegations of counsel's deficient performance. The first was a November 2, 2012 letter from Steele to his trial counsel, Kira West ("West"), in which Steele (1) indicated that he had sent "numerous letters" to which West had not responded, and (2) vehemently expressed a desire to obtain a plea agreement from the Government in order to plead guilty. See ECF No. 648-3. The second was West's November 29, 2012 response letter, which she drafted after meeting with the Government the day before. See ECF No. 648-4. While West advised Steele that no plea offer had been made by the Government, based on her discussions with the Government, she outlined the sort of plea agreement she believed she could obtain (based on an Offense Level of 30, resulting in a sentence of imprisonment of 97-121 months, and the possibility of a reduction of 2-4 levels for cooperation)-a case resolution that would have resulted in approximately half of the length of imprisonment that Steele ultimately received. See ECF No. 648-4.
The Testimony. At the evidentiary hearing, the Court heard testimony from both Steele and West. After weighing the credibility of each witness and comparing their statements to the other evidence in the record, the Court finds Steele's testimony to be credible. The Court also finds West's testimony both contradictory and incredible.
West was overly confident in her ability to secure an acquittal based on her prior experience and claimed success rate as an AUSA in Texas.
It is undisputed that Steele was initially only willing to accept a plea agreement that resulted in less than eight years imprisonment.
West's advice to Steele regarding the availability of conditional pleas was simply wrong-both factually and legally.
Indeed, while it is not the norm, this Court has presided over many conditional guilty pleas subject to appeals of case-dispositive motions. See, e.g. , United States v. Morris ,
Likewise, the actual sentencing ranges being negotiated by the parties indicate a further fundamental breakdown in advocacy. West now claims that the Government would never have agreed to any term of imprisonment below ten years,
*5921967). And it was a tragic and prejudicial failure.
A Failure to Communicate. An attorney's competence and diligence in communication with his or her client are not simply idealistic concepts contained in the Rules of Professional Conduct-they are fundamental to advocacy under the Sixth Amendment. They apply throughout "the whole course of a criminal proceeding," both during trial and all "pretrial critical stages." Lafler , 566 U.S. at 165,
As noted above, the role of a criminal defense attorney is to tell clients what they need to hear -not necessarily what they want to hear. An attorney's desire to go to trial is an insufficient substitute for proper representation. Steele's pretrial motions were lost, the evidence mounted against him was overwhelming, see supra, e.g. , Note 10, and his leverage was dwindling as eight of his ten co-defendants had accepted plea agreements, see supra Note 12. Under these circumstances, a rational and competent advocate would not cling to delusions of victory when hope was slipping away, but rather would have proactively sought out a plea offer and advised his or her client that a plea was likely in the client's best interest.
In any event, the facts of this case illustrate an even graver deficiency. Despite all of West's failures to properly advise her client or proactively engage the Government in vitally important plea discussions, Steele-on his own volition-begged his attorney to obtain a plea offer for him. And West failed to do so. It does not matter if the range discussed with the Government was slightly different than what the defendant was seeking or if the plea offer omitted some condition that the defendant desired. Sometimes, that is what advocacy is all about-having heartfelt discussions with clients to adequately advise them of their options and realistically prepare them for what lies ahead.
Quite simply, when a criminal defendant asks his or her attorney to obtain a plea offer, and the attorney fails to do so when acquiring one was reasonably practicable, then that attorney has "made [an] error[ ] so serious that counsel was not functioning as the 'counsel' guaranteed the defendant by the Sixth Amendment." Strickland ,
Remedy. Having concluded that Steele has satisfied his burden under Strickland , the Court must now determine the appropriate remedy.
However, the Government's argument entirely misses the mark. It is true that Lafler involved a plea offer rejected by a defendant due to counsel's erroneous advice, 566 U.S. at 161,
Due to West's deficient performance, Steele is now serving a sentence vastly disparate to his co-defendants that is manifestly unjust considering the comparative culpability of each defendant. There was overwhelming evidence mounted against Steele; eight of his ten co-defendants had already assented to plea agreements; and he desperately sought to enter a plea in exchange for a reduced sentence. The Court has before it the credible testimony of Steele, a letter to him from West [ECF No. 648-4] and posthumous notes made by the prosecutor [ECF No. 696], which establish a clear outline of the parameters for a plea agreement involving Steele-parameters to which Steele assented, and which West did not pursue. All of this amounts to an opportunity lost. With a minimal amount of effort, West could have obtained a formal plea agreement, thus making the circumstances of this case equivalent to an offer not communicated. Therefore, to allow the Government to rely solely on the absence of a written plea offer would shock the conscience of this Court.
Pursuant to the Supreme Court's guidance in Lafler , 566 U.S. at 170-72,
Criminal Cases , United States Courts, http://www.uscourts.gov/about-federal-courts/types-cases/criminal-cases (last visited July 16, 2018).
The nature of the meeting and the substance of West's calculations are corroborated by the handwritten notes of AUSA Deborah Johnston (now deceased) concerning their November 28, 2012 meeting-a document that the Government made available subsequent to the evidentiary hearing following a review of Johnston's file notes. See ECF No. 696. While not a written, formal agreement, the documentation from each side supports the contention that there was effectively an outline of the parameters that such an agreement would involve, i.e., a sentence of 97-121 months.
See infra Note 12.
It is fairly common for defendants to raise claims of ineffective assistance of counsel in post-conviction habeas petitions. However, West's reaction to Steele's petition was anything but common. The Government never sought, and West was never compelled by, any Court Order requiring disclosure of client information. See generally Butler v. United States , No. DKC 12-cr-0116,
However, in anticipation and furtherance of the evidentiary hearing, West shared evidence with the Government without her client's consent and sent repeated letters in an attempt to discredit Steele and vindicate her prior performance. See, e.g. , ECF No. 693-1 (West's letter to defense counsel); Sealed Ex. A to this Opinion (West's letter to the Court); Sealed Ex. B to this Opinion (West's letter to the Government). The Court is deeply concerned by West's actions, and that concern is amplified by a formal opinion of the American Bar Association's Standing Committee on Ethics and Professional Responsibility:
Although it is highly unusual for a trial lawyer accused of providing ineffective representation to assist the prosecution in advance of testifying or otherwise submitting evidence in a judicial proceeding, sometimes trial lawyers have done so, and commentators have expressed concerns about the practice. In general, a lawyer must maintain confidentiality of information protected by Rule 1.6 for former clients ... and may not disclose protected information unless the ... former client gives informed consent. The confidentiality rule applies not only to matters communicated in confidence by the client but also to all information relating to the representation, whatever its source.
See ABA Formal Op. 10-456 at 1 (discussing the disclosure of information to prosecutors when the attorney's former client brings an ineffective assistance of counsel claim) (internal quotations omitted).
While West claims that she "had to give this information" to the Government by virtue of Steele's § 2255 petition, see ECF No. 688 at 140-46, she is plainly incorrect. An attorney's "self-defense exception" does not apply here because "the legal controversy is not between the client and the lawyer," and "the habeas corpus petition is not a criminal charge or civil claim against which the lawyer must defend." See ABA Formal Op. 10-456 at 3-4. Even if West were mistaken on this issue, the information she provided was both (1) nonessential and (2) made without appropriate measures to protect access to a wide breadth of her client's information. See id. at 4-5.
In the generation since Strickland , the normal practice has been that trial lawyers do not disclose client confidences to the prosecution outside of court-supervised proceedings. There is no published evidence establishing that court resolutions have been prejudiced when the prosecution has not received counsel's information outside the proceeding. Thus, it will be extremely difficult for defense counsel to conclude that there is a reasonable need in self-defense to disclose client confidences to the prosecutor outside any court-supervised setting.
See id. at 5. Therefore, the Court concludes that West's actions may have been in violation of the duty of confidentiality and the attorney-client privilege, and they color West's subsequent testimony as impetuous and self-serving.
For example, in the first ten months of Steele's pre-trial incarceration, West visited Steele in jail on only one occasion. See ECF No. 688 at 7-8, 25-26; but see ECF No. 688 at 83-84, 118-20 (West averring that she often opted to meet with clients at the courthouse holding cells before and after hearings instead).
See ECF No. 688 at 15-17, 24-25, 84-85, 124-25.
See, e.g. , ECF No. 688 at 4, 111, 121-23.
Steele argues, and the Court agrees, that the record indicates that West either misunderstood herself or failed to advise Steele of a number of issues which materially affected Steele's decision to move forward with trial. See ECF No. 691 at 9-14. West failed to inform Steele of a two-level sentencing enhancement for firearms possessed by co-defendants. See id. She also conveyed a number of erroneous beliefs regarding the timing of, and Steele's qualifications for, the safety valve provision in the U.S.S.G. See id. West incorrectly advised Steele to not rush in his plea decision, while the other co-defendants were nearing the end of their respective plea negotiations. See id. And she misapprehended the availability of conditional pleas in this jurisdiction that might have preserved her unsuccessful challenge to the wiretap evidence for appellate review. See id.
See ECF No. 688 at 14, 19-20, 23-24, 55-56, 73, 92-93, 98, 121-23.
Despite a plethora of evidence of nearly a thousand recorded contacts between Steele and the main co-defendant facilitating the conspiracy, see ECF No. 691 at 10-11 (citing the Government's fact summary on appeal), West repeatedly-and now, unapologetically-advised Steele that his chances at trial were good, see, e.g. , ECF No. 688 at 14 (Steele explaining that West viewed the Government's evidence as not "convincing," while the defense "had a strong case going to trial"); ECF No. 688 at 111 (West asserting a lack of evidence against Steele and that the defense "had a better chance than a lot of people that [West] see[s] go to trial with drug evidence"); ECF No. 688 at 123 (West stating "I thought his chances at trial were good. There was very little evidence against him.").
See, e.g. , ECF No. 691 at 14; ECF No. 694 at 4.
In fact, eight of Steele's ten co-defendants accepted plea agreements. See ECF Nos. 158, 177, 233, 242, 249, 273, 285, 354. Facing a U.S.S.G. range of 235-293 months at sentencing, the Court granted Steele a downward variance. However, because Steele's culpability fell in the middle-range of his co-defendants, his 188-month sentence remains in stark contrast to those of his peers.
Pursuant to plea agreements, Steele's co-defendants received sentences with the following periods of incarceration:
• Saul Calderon Mata: 144 months
• Ivan Santoyo-Villa: 78 months
• Alfonso Solorio: 72 months
• Devonte Jackson: 60 months
• Gaudencio Campos Torres: 51 months
• Nelkin E. Rincon-Cubilete: 36 months
• Lorena Chavez-Luna: 24 months
• Daniel Mark Stotz: 6 days
After trial, Steele's co-defendants received sentences with the following periods of incarceration:
• Francisco Barahona: 132 months
• Noe Farid Medrano: 120 months
ECF No. 648-3; see ECF No. 688 at 22-34, 43-44.
See ECF No. 688 at 95-97.
See ECF No. 688 at 98-99.
See ECF No. 688 at 92 ("I'm sure that there is no way-I have never heard of a case here in the District of Maryland where you can maintain your-your right to your wiretap motion on appeal and plead guilty."); ECF No. 688 at 98 ("I mean, I don't think I would have asked [the prosecutor] if we could plead guilty and keep the wiretap motion, preserve it for appeal. I probably wouldn't have even asked that because I know what the answer would have been.").
See ECF No. 688 at 98-99.
See supra Note 2 (and accompanying text).
See ECF No. 688 at 32-33.
See ECF No. 688 at 95-96, 100, 109-10, 115-16.
But see ECF No. 688 at 121-23 (West stating even now , years after losing at trial, that she thought Steele's chances were "good" despite her never having "won a wiretap case before a jury ... as a defense attorney" and never having "lost a wiretap trial before a jury ... as a prosecutor").
An acquittal is improper because this is not a case involving a claim of actual innocence. On the other hand, a new trial is improper because it would result in prejudice for both Steele (given that a trial is precisely what he was seeking to avoid in his urgent requests for a plea agreement) and the Government (given the duplicative costs and resources with conducting a second trial).
Reference
- Full Case Name
- Omar STEELE v. United States
- Status
- Published