LeeAnn Brock v. United States
Opinion
LeeAnn Brock-Miller pled guilty, pursuant to a plea agreement, to one count of conspiracy to possess with intent to distribute heroin. She received the agreed-upon sentence of ten years' imprisonment and eight years of supervised release. She then brought a timely motion under
I.
Brock-Miller was one of forty defendants charged with various drug crimes in a twenty-six count indictment. Brock-Miller was charged only in Count Six of the August 2012 indictment, with conspiracy to possess with intent to distribute more than one kilogram of heroin in violation of
On or about July 13, 2012, after a series of telephone calls with JUSTIN ADDLER, BRIAN MOORE, LEEANN BROCK, and JOSHUA MILLER were in possession of $6,000 of JUSTIN ADDLER'S money, traveling on I-65 to Chicago to obtain a large quantity of heroin. During the trip, MILLER noticed law enforcement agents conducting surveillance and began driving erratically in an attempt to avoid detection.
*301 MOORE subsequently threw the $6,000 out the window of the vehicle.
At the going rate of $110 per gram, $6,000 would have purchased approximately fifty-four grams of heroin. Miller and another man subsequently recovered the $6,000. As Brock-Miller later told the sentencing judge, this car trip was an isolated incident, where she agreed to give the others a ride in exchange for one gram of heroin for herself. Brock-Miller had an extensive criminal history that corroborated her claim that she did not sell drugs but was an addict who simply bought drugs for personal consumption.
More than a year after the grand jury returned the indictment charging Brock-Miller in Count Six, the government filed an information under
Brock-Miller had in fact been convicted in 2008 for possession of syringes in violation of Indiana Code § 16-42-19-18 (2007). At that time, the Indiana law provided:
A person may not possess or have under control with intent to violate this chapter a hypodermic syringe or needle or an instrument adapted for the use of a legend drug by injection in a human being.
The term "legend drug" referred to prescription drugs, see infra , and did not include controlled substances such as heroin. Brock-Miller's conviction under the 2007 version of the statute was later vacated, as we will discuss below, because the substance she was charged with injecting was heroin, which is not a legend drug and thus her conduct was not covered by the statute. The statute was later amended to include both legend drugs and controlled substances such as heroin, a change in the law that does not affect the outcome here but that helps explain an error in the district court's analysis in this case.
In any event, Brock-Miller's counsel objected to the section 851 information by contending that Brock-Miller did not have a conviction under Indiana Code § 35-48-4-8.3, which criminalizes the possession of drug paraphernalia. Counsel argued that first time offenses under the paraphernalia statute are considered misdemeanors and so the conviction could not be considered a felony drug offense for the purpose of enhancing the sentence under sections 841(b) and 851. 3 This was a frivolous and misdirected objection, though, for at least two reasons. First, Brock-Miller had never been convicted of possessing drug paraphernalia under section 35-48-4-8.3. And second, the government had not asserted a conviction under section 35-48-4-8.3 for *302 possession of paraphernalia as the basis for the recidivist enhancement; it had cited Brock-Miller's conviction for Unlawful Possession of Syringes or Needles. Although the government did not specify the Indiana statute under which Brock-Miller had been convicted, the section 851 information listed the case number, date of conviction and county in which she was convicted. State records for the conviction indicate that Brock-Miller was charged under Indiana Code § 16-42-19-18, not § 35-48-4-8.3.
A check of Brock-Miller's record of conviction would have revealed the correct statutory cite, and a proper analysis would have confirmed that Brock-Miller had a meritorious objection to the recidivist enhancement, as we will discuss below. But her lawyer never raised a proper objection to the section 851 information and the district court never ruled on the frivolous objection that was filed. Brock-Miller, believing that she faced a mandatory minimum sentence of twenty years, pled guilty to conspiracy to possess with intent to distribute more than 100 grams of heroin, a smaller amount than was initially charged. She agreed to accept a sentence of ten years' imprisonment and eight years of supervised release, and gave up her right to file a direct appeal or a collateral challenge to her conviction and sentence.
At the change of plea hearing, there was considerable confusion regarding the sentencing range. The court first stated that the maximum sentence for Count Six was forty years. Counsel for the government interposed that the correct range was "ten to life." The court noted that Brock-Miller's petition to enter a plea of guilty showed a range of five to forty years. The government then agreed that five to forty years was the correct range and the court then repeated to Brock-Miller that the sentencing range was five to forty years. After reviewing the plea agreement itself, the court again asked for clarification because that document showed a sentencing range of ten years to life. Brock-Miller's appointed counsel told the court that her client pled guilty to a lesser amount of heroin than was initially charged and so the range for the lesser included count to which she was pleading was five to forty years. Government counsel agreed again that the sentencing range for the charge to which Brock-Miller was entering a plea was five to forty years. The court then told Brock-Miller that her sentencing range would have been ten years to life for the crime initially charged but that her plea agreement reduced the range to five to forty years. That was incorrect. For the kilogram quantity of heroin initially charged, the sentencing range was ten years to life without the recidivist enhancement and twenty years to life with the enhancement. For the reduced amount of heroin to which Brock-Miller pled guilty, the sentencing range was five to forty years without the recidivist enhancement and ten years to life when the enhancement was included. At sentencing, the court noted for the first time that the plea agreement provided for a binding sentence of ten years, and that the correct statutory range for the lesser amount of heroin, together with the enhancement under sections 841(b) and 851, was ten years to life. 4 The court also gave Brock-Miller an eight-year term of supervised release to follow the ten-year term of imprisonment.
After sentencing, Brock-Miller filed and then quickly withdrew a timely
pro se
notice
*303
of appeal. She then filed a timely
pro se
motion for collateral relief under
The district court denied Brock-Miller's section 2255 motion. The court first correctly noted that Brock-Miller's plea agreement included a waiver of the right to seek collateral relief, but that such waivers would not be upheld and enforced if, among other things, the defendant claimed ineffective assistance of counsel in relation to the negotiation of the plea agreement. Brock-Miller claimed that her conviction for unlawful possession of syringes was not a felony drug offense for purposes of the recidivist enhancement, the court noted. In analyzing Brock-Miller's claim, the court examined Indiana Code § 16-42-19-18, the correct statute for her predicate conviction. Unfortunately, though, the court cited the later-revised version which prohibits possession of "a hypodermic syringe or needle or an instrument adapted
for the use of a controlled substance or legend drug
by injection in a human being." Indiana Code 16-42-19-18 (2015) (emphasis added). The version in effect at the time of Brock-Miller's conviction made no mention of controlled substances. Unaware of the intervening amendment to the law, the district court held that a conviction under that statute would meet the definition of a felony drug offense under
II.
Brock-Miller raises two primary issues on appeal. First, she contends that her conviction under the 2007 version of the Indiana Legend Drug Act does not qualify as a felony drug offense under
*304
A.
Section 2255 allows a prisoner in federal custody to move for relief on "the ground that the sentence was imposed in violation of the Constitution or laws of the United States."
1.
Brock-Miller is correct that the district court erred when it concluded that her prior conviction under Indiana Code § 16-42-19-18 was a felony drug offense under
Although the district court correctly identified Indiana Code § 16-42-19-18 as the statute of conviction for Brock-Miller's prior offense, the court cited a later version of the statute when analyzing her claim. The first version, as we noted above, applied to the use of syringes only with legend drugs. The later version, on which the district court relied, criminalized the use of syringes with legend drugs
or
controlled substances. Under either version of
*305
the law, the term "legend drugs" was defined under Indiana law with reference to prescription drugs, not controlled substances such as heroin.
See
Indiana Code § 16-18-2-199 (1993). That section of the Indiana Code, enacted in 1993 and still valid at the time of Brock-Miller's offense in 2007, defined "legend drug" as a drug subject to
We turn to the federal statute to determine if Brock-Miller's conviction under the correct version of the Indiana law qualifies as a "felony drug offense" for the purposes of a recidivist enhancement. The term "felony drug offense" as used in section 841(b) is defined in
The term "felony drug offense" means an offense that is punishable by imprisonment for more than one year under any law of the United States or of a State or foreign country that prohibits or restricts conduct relating to narcotic drugs, marihuana, anabolic steroids, or depressant or stimulant substances.
See also
Burgess v. United States
,
2.
Brock-Miller framed her argument in part by using the language of the categorical approach established in
Taylor v. United States
,
As far as we can tell, our circuit has not expressly employed the
Taylor
categorical approach in resolving whether a state conviction is a "felony drug offense" under section 802(44), instead simply comparing the straight-forward federal definition to the state statute of conviction.
See e.g.
,
United States v. Elder
,
*307
United States v. Grayson
,
B.
Brock-Miller's section 2255 claims are founded on her Sixth Amendment right to counsel, "a right that extends to the plea-bargaining process."
Lafler v. Cooper
,
1.
Under the first part of the
Strickland
test, we consider whether counsel's representation fell below an objective standard of reasonableness.
Strickland
,
In the plea bargaining context, a reasonably competent lawyer must attempt to learn all of the relevant facts of the case, make an estimate of the likely sentence, and communicate the results of that analysis to the client before allowing the client to plead guilty.
Spiller v. United States
,
Because the district court declined to hold a hearing on Brock-Miller's section 2255 motion, the record is not fully developed on several important issues. From the limited record of the plea proceedings, it appears that counsel first failed to check Brock-Miller's criminal record and discern the relevant statute for the predicate conviction. Brock-Miller had been convicted under Indiana Code § 16-42-19-18, but counsel incorrectly cited Indiana Code § 35-48-4-8.3 as the basis for the conviction. That threshold factual error may have led counsel to erroneously conclude
*309
that Brock-Miller was subject to the recidivist enhancement, which in turn may have caused counsel to make significant errors in predicting the likely sentence. A lawyer's failure to learn the relevant facts and make an estimate of the likely sentence constitutes deficient performance.
Moore
,
The errors asserted here are very similar to those alleged in
Gaylord v. United States
,
Gaylord argued that counsel was deficient for failing to adequately investigate his case and failing to provide him with the forensic and pathology reports so that he could make an informed decision regarding whether to plead guilty. He also contended that counsel was deficient for failing to challenge the application of the "death results" enhancement to his sentence. We agreed that, if proven, these alleged errors would constitute deficient performance under
Strickland
. We found that there was a substantial probability that the application of the enhancement in Gaylord's case was inconsistent with the prevailing but-for standard of causation. The medical reports provided no evidence that the drug Gaylord distributed caused the subject death. Because Gaylord was not provided with a hearing on his claim, the record contained no evidence regarding whether counsel was aware of the proper causation standard, whether he had examined the medical reports, and whether he had provided Gaylord with the information necessary for a knowing and voluntary plea. In sum, we concluded that Gaylord's allegations supported his claim that his counsel performed deficiently by failing to provide him with the postmortem and forensic pathology reports and not challenging the application of the "death results" enhancement to his sentence.
*310
Brock-Miller's circumstances are directly analogous. Counsel's apparent error in identifying the applicable Indiana statute, the frivolous challenge under section 851, and the failure to file a plainly meritorious objection could constitute deficient performance if proved.
See also
Prou v. United States
,
Before we turn to the second part of the Strickland analysis, we must address a few issues raised by the government on the question of deficient performance. At various points in its briefing, the government concedes that Brock-Miller's attorney made mistakes. See e.g. Brief for the United States, at 14 ("Brock-Miller offers a substantial argument that her lawyer made a real mistake[.]"); at 18 ("And, in fact, she does appear to be right on this score" that legend drugs are prescription drugs that fall outside the federal definition under section 802(44) ); at 18 ("To be sure, Brock-Miller's initial objection [to the section 851 information] was lacking."). Nevertheless, the government contends that counsel's errors were not sufficiently egregious to meet the Strickland standard for deficient performance. The government characterizes Brock-Miller's argument as both "sophisticated" and "convoluted," and in any event beyond what is required by Strickland .
We disagree. The alleged errors, if true, were contrary to the well-settled
Strickland
standard for the plea bargaining context.
Spiller
,
*311
The government counters that, at the time Brock-Miller was charged, "Indiana courts had sustained convictions for unlawful possession of a syringe in order to ingest heroin." Brief for the United States, at 21.
8
The government cites
Cherry v. State
,
In the context of a guilty plea, the second part of the Strickland test:
focuses on whether counsel's constitutionally ineffective performance affected the outcome of the plea process. In other words, in order to satisfy the "prejudice" requirement, 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
,
In these circumstances a defendant must show that but for the ineffective *312 advice of counsel there is a reasonable probability that the plea offer would have been presented to the court ( i.e. , that the defendant would have accepted the plea and the prosecution would not have withdrawn it in light of intervening circumstances), that the court would have accepted its terms, and that the conviction or sentence, or both, under the offer's terms would have been less severe than under the judgment and sentence that in fact were imposed.
Lafler
, 566 U.S. at 164,
In order to complete a showing of Strickland prejudice, defendants who have shown a reasonable probability they would have accepted the earlier plea offer must also show that, if the prosecution had the discretion to cancel it or if the trial court had the discretion to refuse to accept it, there is a reasonable probability neither the prosecution nor the trial court would have prevented the offer from being accepted or implemented.
Frye
, 566 U.S. at 148,
Brock-Miller, who began this process pro se , has asserted in various ways that, but for counsel's deficient performance, the outcome of the proceedings would have been different. In particular, she has argued that the sentencing court would have dismissed the section 851 information, which would have afforded Brock-Miller much greater leverage in plea negotiations. With a correct ruling on an appropriate objection to the section 851 information, she would not have been subject to the severe doubling effect of the recidivist enhancement. She would have had much less to lose by going to trial, she contends, because she would have faced a smaller sentence and the government would have been required to prove that the full kilogram of heroin charged in the indictment was foreseeable to someone who joined the conspiracy at the very end, in a deal involving only 54 grams of heroin. With a guidelines range of 92-115 months (a range that would now be 77 to 96 months, see footnote 4 supra ), she would have had little incentive to agree to a 120-month term of imprisonment, she maintains.
She asserts that, if counsel had not been deficient, she either would have gone to trial or negotiated a more favorable plea agreement.
Hill
sets the standard for prejudice for her claim that she would have gone to trial, and
Frye
comes closest to setting the standard for a claim to renegotiate the plea without the specter of an improper recidivist enhancement looming over the proceedings.
Hill
,
III.
When Brock-Miller was convicted under Indiana Code § 16-42-19-18, the factual basis for the charge was that she used the syringe to inject heroin. But heroin is not a legend drug and, in 2007, the statute prohibited the use of syringes only in connection with legend drugs. Brock-Miller mentioned in her pro se section 2255 motion to the district court that she was seeking to vacate in state court the very conviction that served as the predicate for a recidivist sentence. After the district court denied her section 2255 motion, the state court ruled in Brock-Miller's favor on her due process challenge to her Indiana conviction, concluding that Brock-Miller had not actually violated the Indiana statute because heroin is not a legend drug.
Once counsel was appointed in the instant appeal, Brock-Miller filed a Rule 60(b) motion to vacate the judgment in the case now on appeal because it relied on the now-vacated state court judgment. 9 Once the appeal was filed, though, the district court was divested of jurisdiction to consider that motion. Brock-Miller simultaneously filed a Rule 62.1 "Motion for Indicative Ruling," asking the court to indicate how it would rule on the Rule 60(b) motion if it had jurisdiction. Both of those motions remain pending in the district court.
Brock-Miller has presented substantial evidence that her lawyer in her federal criminal case made a series of factual and legal errors that could amount to deficient performance. She persuasively asserts that competent counsel would not have advised a client to accept the proffered plea agreement under these circumstances, and that she would have insisted on going to trial rather than accept these terms. We now know that the Indiana conviction, the entire basis for the recidivist enhancement, has been vacated on the ground that Brock-Miller did not violate the statute. On remand, the court should expeditiously hold a hearing to resolve the questions of whether counsel's performance was deficient, *314 and if so, whether Brock-Miller was prejudiced by that performance. The district court may also consider Brock-Miller's pending motions under Rules 60(b) and 62.1.
REVERSED AND REMANDED.
Brock-Miller was indicted under the name LeeAnn Brock, but proceeds in this action under her married name, Brock-Miller.
Brock-Miller possessed the syringes in August 2007, and pled guilty in 2008. Thus, the 2007 version of the statute controlled. The statute was amended in 2015.
Sections 841(b)(1)(A) and (b)(1)(B) authorize the enhanced recidivist sentences at issue in this case, the former applying to larger quantities of heroin and the latter to smaller quantities. Section 851 provides the procedure for establishing that the enhancements apply. These statutes collectively are the basis for the recidivist enhancement at issue here.
The guidelines range was 92 to 115 months of imprisonment, a range which Brock-Miller asserts would now be 77 to 96 months based on the retroactive Amendment 782 to the sentencing guidelines. The mandatory minimum of ten years (120 months) for the crime to which Brock-Miller pled guilty made the guidelines calculation largely irrelevant.
The term "drug" itself is defined in another part of the Indiana statute. See Indiana Code § 16-42-19-2. The statute defines "drug" very broadly to include, among other things, substances listed in the United States Pharmacopeia and the National Formulary; articles or substances intended for use in the diagnosis, cure, mitigation, treatment, or prevention of disease in human beings or other animals; articles other than food intended to affect the structure or any function of the body of human beings or other animals; components of those first three categories; and "devices." The term "legend drug" is a subset of this broader category of drugs.
Under
Taylor
's
categorical approach, courts deciding whether a prior conviction qualifies as a predicate offense under the Armed Career Criminal Act ("ACCA") look only to the statutory elements of the prior offense, and not to the particular facts underlying the conviction. "If the relevant statute has the same elements as the 'generic' ACCA crime, then the prior conviction can serve as an ACCA predicate; so too if the statute defines the crime more narrowly, because anyone convicted under that law is 'necessarily ... guilty of all the [generic crime's] elements.' ... But if the statute sweeps more broadly than the generic crime, a conviction under that law cannot count as an ACCA predicate, even if the defendant actually committed the offense in its generic form. The key, we emphasized, is elements, not facts."
Descamps v. United States
,
Although Ocampo-Estrada used the categorical approach without specifically addressing whether it was applicable, a week after that decision was issued, an unpublished decision of the Ninth Circuit appeared to take the position that the categorical approach might not apply in this context:
Though both parties argue that the categorical approach applies when determining whether a prior conviction is a "felony drug offense" under § 841, we have never held in a published opinion that it applies in this context. Though we need not reach the issue, we note that the categorical approach may be a poor fit for sentencing determinations under21 U.S.C. § 851 , which sets up a statutory, trial-like procedure for determining whether the defendant has a prior conviction for a "felony drug offense."
United States v. Torres
,
We assume the government simply misspoke when it used the plural "courts," in that claim.
Cherry
is the only Indiana case cited in support and it is the only case we were able to find in which a court sustained a conviction under section 16-42-19-18 in connection with heroin. The assumption made in
Cherry
is somewhat understandable in light of the history of Indiana laws governing the possession of syringes. A version of the statute in operation in 1972 appears to have covered possession of a syringe "adapted for the use of narcotic drugs by injection in a human being."
Cooper v. State
,
Brock-Miller conceded in her counseled Rule 60(b) motion that she did not alert the district court in her section 2255 proceedings to her pending state court post-conviction proceedings. Although she may not have adequately alerted the district court to the nature of her state court challenge and the attendant need to hold her section 2255 motion in abeyance pending the resolution of that challenge, she did mention the state court proceeding in paragraph 14, page 12, of her section 2255 motion. In response to the question whether she had "any motion, petition, or appeal now pending (filed and not decided yet) in any court for the judgment you are now challenging," she checked the "yes" box and specified, "Montgomery County Indiana Cause No. 54C01-0709-FC-00122 Post conviction relief. Fifth and Sixth Amendment violations." That was the very conviction cited by the government in its section 851 information.
Reference
- Full Case Name
- Leeann BROCK-MILLER, Petitioner-Appellant, v. UNITED STATES of America, Respondent-Appellee.
- Cited By
- 42 cases
- Status
- Published