State v. Tyrus Lee Cooper
State v. Tyrus Lee Cooper
Opinion of the Court
*443¶1 Mr. Tyrus Lee Cooper moved the circuit court, prior to sentencing, to withdraw his guilty plea. The circuit court refused his request. Two years later, we disciplined his attorney (Michael J. Hicks) for professional misconduct that included his handling of Mr. Cooper's defense.
I. BACKGROUND
¶2 Mr. Cooper was charged with a single count of armed robbery as a party to a crime.
¶3 Shortly before trial, the State offered to recommend a sentence of three years of initial confinement and three years of extended supervision if Mr. Cooper pled guilty as charged. He agreed, and on October 21, 2013, the circuit court heard his plea. Prior to accepting it, the circuit court
¶4 The circuit court specifically asked Mr. Cooper about the allegations he made in his letter of *445October 8, 2013. Mr. Cooper stated that he wanted the circuit court to take "[n]o actions" with respect to the letter and indicated that he wanted the letter "disposed of." Mr. Cooper's final statement with respect to his plea was "I fully understand. I feel confident in what I did." The circuit court set sentencing for January 9, 2014.
¶5 Approximately three weeks before sentencing, Mr. Cooper personally sent another letter to the circuit court, this time asking to withdraw his plea "due to the fact of ineffective assistance of counsel." Mr. Cooper wrote that he was unaware that Mr. Hicks had been suspended from practicing law during part of his representation.
¶6 Mr. Cooper's newly-appointed counsel formally moved to withdraw the plea. The motion asserts that the issues raised in the October 2013 letter were not resolved before the circuit court accepted the plea. It repeats many of the concerns Mr. Cooper listed in that letter, including that Mr. Hicks had not met with him from December 2012 until October 8, 2013, to discuss his case, and that Mr. Hicks failed to provide him with a copy of discovery materials. The motion *446also repeats the assertion that he had been unaware that Mr. Hicks' law license had been suspended. Finally, Mr. Cooper alleged that he did not knowingly and voluntarily enter his plea.
¶7 At the hearing on the plea-withdrawal motion, Mr. Cooper's new counsel said that if Mr. Cooper had known Mr. Hicks' license had been suspended, he would have asked for another lawyer. He also asserted that Mr. Cooper entered his plea in haste because he believed his attorney was not prepared for trial. However, Mr. Cooper's counsel also indicated that, if the circuit court granted his motion, Mr. Cooper might just enter the same plea because he was satisfied with the State's recommendation. Mr. Cooper testified at the hearing and claimed that he had believed part of the plea agreement included reducing the armed robbery charge to something with a lower maximum penalty. He did not say what he believed the reduced charge would have been. The circuit court questioned Mr. Cooper on this point, noting that the charge to which he pled had been read to *196him at the plea hearing, as well as its elements and the maximum penalty, and that he had affirmatively responded that he understood and wanted to enter his plea. Mr. Cooper said he thought the circuit court was required to read the original charge, but that he would actually be convicted of a lesser offense.
¶8 The circuit court denied Mr. Cooper's motion on June 27, 2014 (a date that will have some significance to our analysis). It concluded that the plea colloquy demonstrated that Mr. Cooper knowingly, intelligently, and voluntarily entered his plea, and that the matters in the October 8, 2013 letter had been properly addressed. It also concluded that granting Mr. Cooper's motion would cause substantial prejudice to *447the State. The circuit court made no factual findings regarding communications between Mr. Hicks and Mr. Cooper. In due course, the circuit court sentenced Mr. Cooper to five years of confinement and five years of extended supervision. Mr. Cooper appealed.
¶9 Two years after Mr. Cooper moved to withdraw his plea (and while his appeal was pending), we decided a disciplinary case brought by the Office of Lawyer Regulation (OLR) against Mr. Hicks. See In re Disciplinary Proceedings Against Hicks,
¶10 After reviewing the referee's report, we accepted his "factual findings as taken from the OLR's *449complaint." Id., ¶ 39. We also agreed "with the referee that those factual findings are sufficient to support a legal conclusion that Attorney Hicks engaged in the professional misconduct set forth in the 19 counts" contained in the OLR's complaint. Id.
¶11 On appeal, Mr. Cooper argued (in part) that our decision in Hicks established that he had received ineffective assistance of counsel prior to entering his guilty plea. The court of appeals considered the well-known analytical structure we use to assess such claims
¶12 We granted Mr. Cooper's petition for review, which presented the first and third of the following three issues. We asked the parties to brief the second issue:
1. When Cooper's counsel engaged in serious professional misconduct, preventing Cooper from adequately understanding and participating in his own defense, did this constitute ineffective assistance of counsel and provide Cooper with a fair and just reason to withdraw his guilty plea prior to sentencing?
2. In deciding whether Cooper may withdraw his guilty plea, is the circuit court bound by the Supreme Court's findings and/or conclusions in *450In re Disciplinary Proceedings Against Hicks,2016 WI 31 ,368 Wis. 2d 108 ,877 N.W.2d 848 (2016), including, but not limited to, language stating that the failure of Cooper's trial counsel to properly communicate with him prevented him from adequately understanding and participating in his own defense ...?
3. Did the circuit court erroneously exercise its discretion when it denied defendant's motion to withdraw his plea prior to sentencing without a sufficient evidentiary record to support a finding that withdrawal of the plea pre-sentencing would result in substantial prejudice to the State?
For the reasons set forth below, we affirm the court of appeals.
II. STANDARD OF REVIEW
¶13 "[W]hether a defendant may withdraw his plea is left to the sound discretion of the circuit court." State v. Bollig,
¶14 "A claim for ineffective assistance of counsel is a mixed question of fact and law." State v. Wood,
*451client's defense is a question of law that we review de novo." State v. Hunt,
III. ANALYSIS
¶15 A court will generally grant a pre-sentencing request to withdraw a guilty plea upon presentation of a fair and just reason for doing so. State v. Canedy,
¶16 The phrase "fair and just" is not, of course, susceptible to precise definition, and our cases have identified many reasons for withdrawing a plea that meet this standard. For example, an adequate reason "will likely exist if the defendant shows that the circuit court failed to conform to its statutory or other mandatory duties in the plea colloquy, and the defendant asserts misunderstanding because of it." Jenkins,
¶17 Mr. Cooper says he should be allowed to withdraw his plea because he received ineffective assistance of counsel from Mr. Hicks before he pled. If true, that would certainly entitle him to relief because such a justification satisfies even the more rigorous post-sentencing "manifest *199injustice" plea-withdrawal standard. State v. Dillard,
A. Hicks as Proof of Ineffective Assistance of Counsel
¶18 The proof Mr. Cooper offers to establish the deficiency of his counsel is of no small moment, for he offers us the words of our own opinion in which we *453announced Mr. Hicks' discipline for his misconduct in handling Mr. Cooper's defense. Specifically, he says we conclusively answered the deficiency question when we addressed Count 13 of the OLR's complaint, which says:
By failing between the date on which he received [Mr. Cooper's] letter in January 2013 and February 12, 2013, between March 11, 2013 and August 16, 2013, and between August 18, 2013 and October 20, 2013, to communicate with [Mr. Cooper] regarding the issues raised in [Mr. Cooper's] January 2013 letter and to otherwise consult with [Mr. Cooper] regarding trial strategy and preparation, thereby preventing [Mr. Cooper] from adequately understanding and participating in his own defense, [Attorney] Hicks violated SCR 20:1.4(a)(2).
Hicks,
¶19 First, with respect to what we said in Hicks, there is a distinction to be drawn between our quotation of the OLR's complaint, on the one hand, and on the other our review of the referee's factual findings and our independent conclusions of law. We said we would accept the referee's "factual findings as taken from the OLR's complaint," id., ¶ 39, which means we must review the referee's findings of fact and the OLR complaint's allegations to determine whether we adopted the statement upon which Mr. Cooper relies. The factual background supporting Mr. Hicks' misconduct appears in paragraphs 52-62 of the OLR's complaint. The passage on which Mr. Cooper relies appears in paragraph 63, which is not part of the factual background *454but is the formal accusation of misconduct against Mr. Hicks. The referee's report tracked the complaint's distinction between the facts, on the one hand, and on the other the formal accusation of misconduct. Consequently, the referee's findings of fact do not contain the assertion that Mr. Hicks "prevent[ed] [Mr. Cooper] from adequately understanding and participating in his own defense ...." See Hicks,
¶20 Nor could it be said that we adopted the referee's statement as a conclusion of law. Our analysis in Hicks started with the usual assertion that we "review the referee's conclusions of law on a de novo basis." Id., ¶ 38 (citation omitted). We did not deviate from that standard practice. Our terse conclusion did not comment on whether Mr. Hicks' misconduct interfered with Mr. Cooper's defense. Instead, we said we "agree with the referee that [the]
*200factual findings are sufficient to support a legal conclusion that Attorney Hicks engaged in the professional misconduct set forth in the 19 counts described above." Id., ¶ 39. The professional misconduct to which the complaint and referee referred in Count 13 was a violation of SCR 20:1.4(a)(2). So our conclusion of law, as relevant here, was that Mr. Hicks failed to "reasonably consult with the client about the means by which the client's *455objectives are to be accomplished ...." SCR 20:1.4(a)(2). The referee's statement that the misconduct had also "prevent[ed] [Mr. Cooper] from adequately understanding and participating in his own defense" had no necessary bearing on whether Mr. Hicks had violated SCR 20:1.4(a)(2). See Hicks,
¶21 The second reason Hicks does not stand for the proposition that Mr. Cooper received ineffective *456assistance of counsel bears a close relation to the first. Our purpose in Hicks was not to inquire into the validity of Mr. Cooper's guilty plea. It was to determine whether Mr. Hicks had engaged in professional misconduct. In particular, our inquiry into Count 13's allegations required us to go no further than considering the adequacy of Mr. Hicks' consultation with Mr. Cooper about the "means by which the client's objectives are to be accomplished." SCR 20:1.4(a)(2). Ineffective assistance of counsel, on the other hand, arises only when a defendant suffers prejudice as a result of his counsel's deficient performance. Strickland v. Washington,
Violation of a rule should not itself give rise to a cause of action against a lawyer nor should it create any presumption in *201such a case that a legal duty has been breached.... Furthermore, the purpose of the rules can be subverted when they are invoked by opposing parties as procedural weapons. The fact that a rule is a just basis for a lawyer's self-assessment, or for sanctioning a lawyer under the administration of a disciplinary authority, does not imply that an antagonist in a collateral proceeding or transaction has standing to seek enforcement of the rule. Nevertheless, *457since the rules do establish standards of conduct by lawyers, a lawyer's violation of a rule may be evidence of breach of the applicable standard of conduct.
SCR Rules of Professional Conduct, Preamble, ¶20.
¶22 Therefore, our conclusion that Mr. Hicks failed to meet the demands of SCR 20:1.4(a)(2) cannot mean, ipso facto, that he performed deficiently within Strickland's meaning. More to the point, it may not be taken to mean we had specifically measured the impact of Mr. Hicks' violation of SCR 20:1.4(a)(2) on Mr. Cooper's ability to enter an appropriate plea. We simply did not address that subject, even tangentially. Nor could we have done so based on the record before us in Hicks. The OLR's complaint simply did not contain the information necessary for us to evaluate whether Mr. Hicks' performance was so deficient that it prejudiced Mr. Cooper's ability to knowingly, intelligently, and voluntarily enter a plea.
¶23 The third reason Hicks is uninstructive concerns its temporal relationship to this case. As we foreshadowed in our recitation of the procedural history, the date on which Mr. Cooper's motion was denied is important. We are reviewing the circuit court's exercise of its discretion, which necessarily means we focus on the facts available to the circuit court when it made its decision. Hartung v. Hartung,
B. Hicks Adds Nothing to the Ineffective Assistance Analysis
¶24 Aside from the referee's statement regarding the effect of Mr. Hicks' misconduct on Mr. Cooper's defense (which we did not adopt), our opinion in Hicks suggests no additional support for Mr. Cooper's claim that he received ineffective assistance of counsel prior to entering his plea. To the extent the opinion bears on Mr. Cooper's case, it reflects that Mr. Hicks:
• had minimal communications with Mr. Cooper prior to the plea hearing;
• had not timely provided a copy of discovery material to Mr. Cooper; and *202• had not notified his client, the circuit court, or opposing counsel that his license to practice law had been suspended for part of the time he had been representing Mr. Cooper.
Hicks,
¶25 All of these facts and allegations were already before the circuit court when it considered Mr. Cooper's motion to withdraw his plea. Thus, in January of 2014, Mr. Cooper personally wrote to the circuit court asserting that Mr. Hicks had misled him into pleading guilty and that Mr. Hicks had said Mr. Cooper was destined to lose at trial. His formal motion to withdraw his plea explained that the issues raised in his letter of October 8, 2013, had not been resolved. It also faulted Mr. Hicks for failing to disclose that his license had been suspended during part of the time the criminal case was pending. Finally, Mr. Cooper's motion claimed his plea was not knowing or voluntary, had been given in haste, and without sufficient consultation with his counsel or consideration of discovery materials.
¶26 At the hearing on his motion, Mr. Cooper once again asserted these deficiencies. He told the circuit court that he was confused regarding the charge to which he was pleading and the sentence range. He argued that Mr. Hicks had misled him about the nature of the charge, as well as the content of the plea agreement with the State. And he renewed his complaint about Mr. Hicks' lack of communication and his dissatisfaction with Mr. Hicks' failure to notify him of the temporary license suspension.
¶27 Our review of the record in this case, therefore, reveals that everything in Hicks relating to Mr. Cooper's defense had already been brought to the circuit court's attention before it decided the plea-withdrawal motion. Everything, that is, but for the *460referee's statement regarding the effect of Mr. Hicks' misconduct on Mr. Cooper's defense. But we are not bound by the statements of referees, and as we discussed above, we did not adopt the referee's statement as our own. Consequently, Hicks adds nothing relevant to the universe of facts that the circuit court was responsible for considering.
C. No Ineffective Assistance of Counsel
¶28 Hicks cannot do the work Mr. Cooper assigns to it. It does not, of its own force, establish that Mr. Hicks provided ineffective assistance of counsel. That leaves Mr. Cooper with the burden of showing: (1) "that counsel's performance was deficient"; and (2) "that the deficient performance prejudiced the defense." Strickland,
Although our decision in Strickland v. Washington dealt with a claim of ineffective assistance of counsel in a capital sentencing proceeding, and was premised in part on the similarity between such a proceeding and the usual criminal trial, the same two-part standard seems to us applicable to ineffective-assistance claims arising out of the plea process.
Hill v. Lockhart,
*203*461¶29 In considering whether counsel's deficient performance prejudiced the defendant, we "evaluate whether 'there is a reasonable probability that, but for counsel's unprofessional errors, the result of the proceeding would have been different.' " State v. Sholar,
¶30 Determining whether a likelihood is substantial, as opposed to merely conceivable, can be a difficult undertaking when evaluating how an attorney's performance affects, for example, a jury's verdict, or the court's imposition of a sentence. We cannot, of *462course, reassemble and poll the jury to determine what it would have done in the absence of counsel's deficient performance. Neither do we return to the sentencing court to inquire into whether the sentence would have been different if counsel had performed better. Here, however, we need only know whether there is a substantial likelihood that Mr. Cooper would have pled differently if Mr. Hicks' performance did not fall below the Strickland standard. That information is, obviously, readily available to Mr. Cooper, and he had an opportunity to present it to the circuit court at the hearing on his motion to withdraw his plea. He did not comment, however, on whether his plea would have been different if Mr. Hicks had not performed as he did. To the contrary, his counsel said that "if the Court were to allow Mr. Cooper to withdraw his plea, he still might decide to enter a plea, because he does like-he's satisfied, I guess, with the recommendation that [the State] made." This does not describe a substantial likelihood of a different outcome. At best, it describes something conceivable. Therefore, he has shown no prejudice. Without prejudice, there can be no ineffective assistance of counsel. And because the ineffectiveness of counsel is the only "fair and just reason" Mr. Cooper gave for withdrawing his plea (at least in this court), his argument cannot prevail.
¶32 In any event, the dissent says, United States v. Davis,
*
¶33 One final point bears mentioning. The dissent is embarking on a significantly different project from the one presented by this case. Our task here is to review the record of Mr. Cooper's criminal proceedings. The dissent, however, wants to create and review a hybrid record comprising Mr. Cooper's criminal case and Mr. Hicks' disciplinary proceedings. To further complicate matters, this hypothetical record did not become hybridized until after the circuit court completed its work, so the author is retroactively reading into the Cooper record information that was *205not available *465to the circuit court when the actions and decisions under review occurred. Making the dissent's proposed experiment in hybrid records even more problematic is the fact that one is criminal and the other is disciplinary. The differences between the two types of cases with respect to evidentiary standards, procedural safeguards, constitutional requirements, and interests of the different parties are too vast to catalogue here. Neither the dissent nor Mr. Cooper explain how we can iron out all of those differences in a way that would allow one record to rationally inform the other. Ultimately, the dissent's proposal to hybridize the record simply creates a path for collaterally attacking a criminal conviction via our attorney disciplinary proceedings. We are unwilling to blaze that trail.
IV. CONCLUSION
¶34 Our conclusions with respect to the three issues presented by this case are as follows. First, the record does not demonstrate that the professional misconduct described in Hicks prevented Mr. Cooper from receiving the effective assistance of counsel. Because that was the only rationale he offered (in this court) for withdrawing his plea, we conclude the circuit court did not erroneously exercise its discretion when it denied Mr. Cooper's motion. Second, we conclude that we did not adopt the referee's statement regarding the effect of Mr. Hicks' professional misconduct on Mr. Cooper's defense. And third, we need not determine whether the State would have been prejudiced if Mr. Cooper had been allowed to withdraw his plea because we conclude he did not present a "fair and just reason" for doing so.
By the Court. -The decision of the court of appeals is affirmed.
*466¶35 SHIRLEY S. ABRAHAMSON, J., withdrew from participation prior to oral argument.
DALLET, J. dissents, joined by A.W. BRADLEY, J. (opinion filed).
See In re Disciplinary Proceedings Against Hicks,
This is a review of an unpublished court of appeals decision affirming the Milwaukee County Circuit Court, the Honorable M. Joseph Donald presiding. State v. Cooper, No. 2016AP375-CR, unpublished slip op.,
See
The Honorable Dennis Flynn presided over the plea hearing while the Honorable M. Joseph Donald presided over the hearing of Mr. Cooper's motion to withdraw his plea.
Our statutes require that a plea be "made voluntarily with understanding of the nature of the charge and the potential punishment if convicted."
Mr. Hicks' law license was temporarily suspended from February 12, 2013, through March 11, 2013, for reasons unrelated to his representation of Mr. Cooper. Hicks,
The OLR complaint is not in the record in this proceeding. However, the complaint was in the record in Hicks,
The OLR complaint's formal accusations of misconduct, as far as they relate to Mr. Hicks' representation of Mr. Cooper, are as follows:
[Count Thirteen] By failing between the date on which he received [Mr. Cooper's] letter in January 2013 and February 12, 2013, between March 11, 2013 and August 16, 2013, and between August 18, 2013 and October 20, 2013, to communicate with [Mr. Cooper] regarding the issues raised in [Mr. Cooper's] January 2013 letter and to otherwise consult with [Mr. Cooper] regarding trial strategy and preparation, thereby preventing [Mr. Cooper] from adequately understanding and participating in his own defense, [Attorney] Hicks violated SCR 20:1.4(a)(2).
[Count Fourteen] By failing to timely provide [Mr. Cooper] with a complete copy of the discovery materials, despite [Mr. Cooper's] requests, [Attorney] Hicks violated SCR 20:1.4(a)(4).
[Count Fifteen] By failing to provide a written notice to [Mr. Cooper] of his February 12, 2013 suspension, [Attorney] Hicks violated SCR 22.26(1)(a) and (b).
[Count Sixteen] By failing to provide written notice to the court and opposing counsel in [Mr. Cooper's pending criminal case] that his license to practice law had been suspended on February 12, 2013, [Attorney] Hicks violated SCR 22.26 (1)(c).
[Count Seventeen] By failing to timely file a response to [Mr. Cooper's] grievance, [Attorney] Hicks violated SCR 22.03(2) and (6), enforced via SCR 20:8.4(h).
Hicks,
Supreme Court Rule 20:1.4(a)(2) provides in pertinent part: "(a) A lawyer shall: ... (2) reasonably consult with the client about the means by which the client's objectives are to be accomplished ...."
"First, the defendant must show that counsel's performance was deficient.... Second, the defendant must show that the deficient performance prejudiced the defense. This requires showing that counsel's errors were so serious as to deprive the defendant of a fair trial, a trial whose result is reliable." Strickland v. Washington,
Mr. Hicks predicated, and we accepted, his no contest plea on the facts as contained in the complaint. As the referee recognized, the OLR complaint's accusation of misconduct was not a factual assertion, but an asserted legal conclusion. So it would have been inappropriate for us treat the accusation as a factual finding.
One of the dissent's key foundational assertions is that "[w]e agreed with the referee that the factual findings support the conclusion that ... Mr. Cooper was prevented from 'adequately understanding and participating in his own defense.' " Dissent, ¶36. But as described above, we did not say we agreed with that conclusion. We agreed only that the facts in the complaint (which do not contain this statement) described a violation of SCR 20:1.4(a)(2).
The dissent is concerned we are ignoring what we said in Hicks: "Mr. Cooper's case is notable because this court accepted the legal conclusion that a defendant was prevented from 'adequately understanding and participating in his own defense.' This court should not now pretend our words in Hicks were meaningless." Dissent, ¶50. We are not pretending they are meaningless; we are carefully distinguishing what we said from what the referee said. They are not necessarily the same. Our analysis establishes that we did not accept the referee's statement as either a finding of fact or as a conclusion of law. This should come as no surprise-the question before us was not whether Mr. Cooper had been prejudiced in his case, it was whether Mr. Hicks violated SCR 20:1.4(a)(2). Those are different questions with different legal standards and different factual predicates.
The nature of the dissent's analysis is unclear. The author says she would dispense with the "deficient performance" component when assessing counsel's ineffectiveness with respect to a plea withdrawal motion: "[B]y requiring Mr. Cooper to prove deficiency as part of a motion for plea withdrawal pre-sentencing, the majority opinion equates the standard for withdrawal of a plea post-sentencing, 'manifest injustice,' with the lower pre-sentence standard of a 'fair and just reason.' " Dissent, ¶39. Whether the motion is pre-sentence or post-sentence, the ineffective assistance paradigm established by Strickland requires deficient performance as an indispensable element of the analysis. So it seems the dissent is proposing a relaxed standard for establishing ineffective assistance of counsel when the underlying issue relates to a motion to withdraw a plea before sentencing.
In addition to his ineffective assistance of counsel claim, Mr. Cooper says the circuit court erred in not allowing him to withdraw his plea because he pled so hastily that it caused him to be confused and to genuinely misunderstand the plea's consequences. He also said he was subject to the coercion and misleading advice of his counsel. Those have been recognized as adequate reasons for withdrawing a plea. State v. Shimek,
Furthermore, the dissent's formulation of the "prejudice" component of the Strickland test suggests the defendant can satisfy it by merely "alleging" prejudice. But Strickland says the defendant "must show that the deficient performance prejudiced the defense."
Combined with the proposition that Mr. Cooper need not establish deficient performance, dissent ¶39, the dissent would apparently let defendants prove ineffective assistance of counsel without satisfying any of its elements. Not even Mr. Cooper advanced such pioneering arguments.
Dissenting Opinion
¶36 In determining that Attorney Michael J. Hicks violated the Rules of Professional Conduct for Attorneys in his representation of Mr. Cooper, we accepted and relied upon the referee's factual findings. The referee found that during the 10 months leading up to the trial date on which Mr. Cooper entered his guilty plea, Attorney Hicks failed to consult with Mr. Cooper regarding trial strategy and preparation and failed to provide Mr. Cooper with requested discovery.
¶38 The majority opinion ultimately determines that even if Attorney Hicks' performance was deficient, Mr. Cooper failed to allege prejudice resulting from that deficient performance, and therefore his motion to withdraw his plea fails. Majority op., ¶¶28-30. I disagree with the majority opinion's conclusion that Mr. Cooper failed to allege that Attorney Hicks' deficient performance caused prejudice. Although Mr. Cooper's counsel stated at the hearing that Mr. Cooper still "might" decide to enter a plea, Mr. Cooper is now asking this court to "allow him to withdraw his guilty plea, and remand this case for further proceedings and a trial on the merits." (emphasis added). Mr. Cooper alleges sufficient prejudice that resulted from Attorney Hicks' deficient performance, *468namely, hasty entry of a plea because Attorney Hicks was not prepared to defend him on the day of trial.
¶39 Moreover, by requiring Mr. Cooper to prove deficiency as part of a motion for plea withdrawal pre-sentencing, the majority opinion equates the standard for withdrawal of a plea post-sentencing, "manifest injustice," with the lower pre-sentencing standard of a "fair and just reason." See State v. Cain,
¶40 In contrast, to withdraw a plea prior to sentencing, a defendant need only prove by a preponderance of the evidence a "fair and just reason." State v. Canedy,
¶41 Guidelines have emerged from appellate cases that aid in the consideration of whether the reason given for plea withdrawal is fair and just. See State v. Shanks,
¶42 It is noteworthy that both Strickland and Hill involved a motion to withdraw a plea post-sentencing and that there is no United States Supreme Court or Wisconsin precedent requiring a defendant to show prejudice as a result of counsel's deficient performance when moving to withdraw a plea pre-sentencing. In United States v. Davis,
¶43 I therefore focus my attention not on whether Mr. Cooper must show prejudice, which may be inconsequential pre-sentencing, but on whether the circuit court erred in finding that Attorney Hicks' performance was not deficient. See State v. Turner,
¶44 At the plea withdrawal hearing, Mr. Cooper's new counsel articulated two ways in which Attorney Hicks was deficient. First, Attorney Hicks did not inform Mr. Cooper of the suspension of his law license. Second, Mr. Cooper "entered the plea in haste" based upon his belief that "he felt like his attorney wasn't prepared" to proceed to trial. This belief led Mr. Cooper to answer the circuit court's questions at the plea hearing in the manner in which he did.
¶45 The majority opinion broadly discounts Attorney Hicks' deficient performance and mistakenly states that "[a]ll of these facts and allegations were already before the circuit court when it considered Mr. Cooper's motion ...." Majority op., ¶25. According to *471the majority opinion, this court's disciplinary decision in Hicks "suggests no additional support for Mr. Cooper's *208claim that he received ineffective assistance of counsel prior to entering his plea." Id., ¶24. However, it is apparent that the circuit court drew conclusions based upon incomplete and incorrect information.
¶46 Regarding Attorney Hicks' failure to inform Mr. Cooper of his license suspension, the circuit court stated:
I don't know what attempts Mr. Hicks made to communicate [his license suspension] or whether or not he did ... I don't see anything in the record, at least at this point, to say that Mr. Hicks didn't communicate that or if he did communicate that whether or not Mr. Cooper cared.
It is now undisputed that Attorney Hicks never communicated the fact that his law license was suspended to Mr. Cooper.
¶47 It is Mr. Cooper's second proffered reason, his hasty entry of a plea because Attorney Hicks was not prepared and did not turn over requested discovery, that causes even more concern in light of this court's conclusions in Hicks,
*472Mr. Cooper further stated that he was not prepared for trial and that his alibi witness was not subpoenaed. In his December 21, 2013 letter to the circuit court asking to withdraw his guilty plea, Mr. Cooper said that he was never provided with the documents he sought and that he "was misslead [sic] by my counsel that I was dstined [sic] to loss [sic] my case if I go to trial, and [i]f I take this plea I will still go home on time. Even [i]f I didn't commit this case a plea will be in my best interest."
¶48 Based upon Mr. Cooper's statements at the plea hearing indicating that he wanted the circuit court to take "no actions" with respect to the letters he had sent, the circuit court discounted the letters. The circuit court made no factual findings about whether or not Attorney Hicks had communicated with Mr. Cooper regarding trial preparation or whether he had turned over the requested discovery to Mr. Cooper. The circuit court concluded that "prior to the plea Mr. Cooper is sitting, they weren't ready for trial, there were alibi witnesses available, he felt he had a defense, and all of those things seem to be consistent with someone who is prepared and going to trial." The circuit court further emphasized the generous plea deal and speculated that Attorney Hicks prevailed upon Mr. Cooper to take the deal.
¶49 The circuit court erroneously found that Mr. Cooper was prepared to proceed to a jury trial on October 21, 2013. The factual findings accepted in Hicks establish that for the 10 months prior to trial, Attorney Hicks failed to communicate with Mr. Cooper regarding trial strategy and preparation and failed to give Mr. Cooper discovery that he had requested to review prior to trial. This court agreed with the referee that the factual findings support the conclusion that *473the lack of communication between Attorney Hicks and Mr. Cooper resulted in Mr. Cooper being prevented from "adequately understanding and participating in his own defense." Hicks,
¶50 The majority opinion claims that I am "hybridiz[ing] the record" and creating "a path for collaterally attacking a criminal conviction via our attorney disciplinary proceedings." Majority op., ¶33. However, Mr. Cooper's case is notable because this court accepted the legal conclusion that a defendant was prevented from "adequately understanding and participating in his own defense." This court should not now pretend our words in Hicks were meaningless. While I acknowledge the majority opinion's concern, in the rare situation that this issue arises again, the right to effective assistance of counsel is fundamental and therefore justifies remand to the circuit court for a new plea withdrawal hearing.
¶51 For the foregoing reasons I would remand the case to the circuit court for a new plea withdrawal hearing. At that hearing, the circuit court should consider all of these now undisputed facts and make a determination as to whether Mr. Cooper offered a fair and just reason for withdrawal of his plea. Factors for *474the circuit court to consider include: Attorney Hicks' lack of communication and preparation for trial, possible coercion by Attorney Hicks to accept a plea, Mr. Cooper's potentially hasty entry of a plea, and Mr. Cooper's subsequent expeditious request to withdraw his plea. If the circuit court determines Mr. Cooper has demonstrated a fair and just reason to withdraw his plea, the burden shifts to the State to show substantial prejudice to defeat the plea withdrawal.
¶52 Accordingly, I respectfully dissent.
¶53 I am authorized to state that Justice ANN WALSH BRADLEY joins this dissent.
The referee found that Attorney Hicks failed between "January 2013 and February 12, 2013, between March 11, 2013 and August 16, 2013, and between August 18, 2013 and October 20, 2013 to communicate with [Mr. Cooper] regarding the issues raised in [Mr. Cooper's] January 2013 letter [requesting discovery and raising concerns about his case] and to otherwise consult with [Mr. Cooper] regarding trial strategy and preparation." In re Disciplinary Proceedings Against Hicks,
The majority opinion attempts to distance itself from our language and holding in Hicks. The majority seems to be saying: "just because we said it does not mean we actually meant it."
In Hicks, we accepted the referee's factual finding that Attorney Hicks failed to notify Mr. Cooper of his law license suspension. Hicks,
Of note, Mr. Cooper filed a grievance with OLR against Attorney Hicks well before his plea withdrawal hearing. In December 2013, OLR requested specific documents and information from Attorney Hicks surrounding Mr. Cooper's claims.
The circuit court summarily stated "for purposes of the record": "given the age of the case and the time lapse, I would find that there would be a substantial prejudice to allow [Mr. Cooper] to withdraw the plea at this point in time." However, because the circuit court did not find a fair and just reason to support plea withdrawal, this analysis was incomplete.
Reference
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- STATE of Wisconsin, Plaintiff-Respondent, v. Tyrus Lee COOPER, Defendant-Appellant-Petitioner.
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