MEMORANDUM OPINION AND ORDER
SHADUR, District Judge.
Ivie Clay (“Clay”) has filed a habeas corpus petition against the Director of the Juvenile Division (“Director”) of the State of Illinois Department of Corrections (“Department”).
Clay advances several grounds for relief:
1. Her guilty plea was involuntary because she (a) was ignorant of available defenses and (b) misunderstood the terms of her plea agreement.
2. She received inadequate representation from Assistant Public Defenders Roger Harris (“Harris”) and Saul Friedman (“Friedman”) both when she pleaded guilty and in connection with her motion to vacate the guilty plea.
3. Denial of the motion to vacate deprived Clay of due process because she was unconditionally entitled, according to the trial court’s own representations, to withdraw her plea if her sentence did not accord with the plea agreement.
Director now moves for summary judgment under Fed.R.Civ.P. (“Rule”) 56.
For the reasons stated in this memorandum opinion and order, Director’s motion is granted.
Facts
On August 8, 1977 Clay (then 15 years old) was arrested for aggravated assault and charged with delinquency. Because of Clay’s indigency, Friedman was appointed as her counsel. At the initial interview Clay disclosed facts that might have established certain legal defenses to the charge against her. But Friedman did not apprise her of the availability of such defenses. Instead he urged her to enter into a plea agreement and plead guilty.
Unaware of any other option, Clay followed that recommendation on the understanding her plea agreement foreclosed any possibility of actual commitment. But that belief was apparently mistaken, for both Friedman and the Assistant State’s Attorney handling the case have stated by affidavit that their only agreement was to amend the Complaint to read that the weapon used was a knife rather than a gun.
On September 28,1977 Clay admitted her guilt before Cook County Circuit Court Judge Rogers. After Clay acknowledged her guilty plea had been induced by a plea agreement, Judge Rogers advised her of her unconditional right to withdraw the admission if he refused to accept the agreement. On October 26, 1977 Judge Rogers found Clay guilty of delinquency and committed her to Department. Even though that sentence represented a rejection of Clay’s version of the plea bargain, Friedman neither moved to withdraw her admission nor informed her of her right to do so.
Convinced that Friedman had bungled the case, Clay’s mother Ina immediately telephoned Assistant Director John Elson (“Elson”) of the Northwestern University Legal Clinic (the “Clinic”) for help.
Ina Clay Dep. 126. She told Elson her daughter had been promised probation in return for her guilty plea and Friedman “had sold her down the river.” Elson Dep. 67-69.
Elson told Mrs. Clay he was too busy to represent her daughter but offered.to consult with Friedman and “see if he would do anything about it.” Elson Dep. 61. Mrs. Clay agreed.
Id.
Elson called Friedman the next day, apprising him of Mrs. Clay’s belief her daughter had been misinformed that her admission of guilt could not lead to commitment. Friedman apparently agreed with that assessment, acknowledging “there was a real problem with what Ivie Clay understood.” Elson Dep. 86. Friedman said he would file a motion to vacate her guilty plea, assuring Elson “he didn’t think there would be a big problem with the matter.” Elson Dep. 87-88.
On November 4, 1977 Friedman called Elson to give him a general status report. Friedman said “he was processing the papers on the case and would have them done shortly and have the transcript typed up.” Elson Dep. 76. On November 22 (within the prescribed 30-day period) Friedman filed the motion to vacate, using a standard printed form with blanks for the name of the “respondent” (in this case Clay). Needless to say, the form was seriously deficient as a presentation of Clay’s specific basis for relief:
1. It refers to respondent Clay throughout as a male.
2. It advances very generalized grounds for vacating the plea, none of which really encompassed Clay’s present habeas claims (this is a literal transcription of the form, warts and all):
4. That the minor respondent did not fully comprehend the significance of his admission.
5. That the minor respondent was not admonished in his admission, in that there was no affirmative showing that the court informed the minor respondent and determined that said minor understood:
(a) the nature of the charge
(b) the penalties the minor may be subjected to upon his admission to the offense, including commitment to the Department of Corrections until the age of twenty-one
(c) that the minor respondent has a right not to enter an admission or to
persist in that admission if it has already been made
(d) if the minor respondent enters an admission there will not be a trial of any kind and that by so admitting the offense he waives the right to a trial and the right to be confronted with the witnesses against him.
6. That the minor respondent now urges that his admission was induced by coercion of the police and/or their agents, by the use of force, threats or promises.
7. That the minor respondent now urges that his admission was induced by the use of illegally obtained evidence.
8. That the court failed to determine first when accepting the minor’s admission whether there was an agreement and if there was said agreement said court failed to inquire as to the terms of this agreement.
9. The court failed to determine a factual basis for the admission when it entered a final judgment on the minor respondent’s admission.
10. The court failed to admonish the minor respondent in accordance with the provisions of Supreme Court Rule 605.
3. It failed to identify the most compelling basis for relief: Judge Roger’s statement that Clay had the absolute right to withdraw her guilty admission if he refused to honor the plea agreement, coupled with Clay’s specific understanding no commitment would be imposed.
On February 24, 1978 Judge Rogers held a hearing on the motion to vacate. Instead of arguing the motion himself, Friedman arranged for Harris, another Assistant Public Defender, to attend the hearing. Because Harris was totally unfamiliar with the case, he declined to present any argument in support of the motion.
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MEMORANDUM OPINION AND ORDER
SHADUR, District Judge.
Ivie Clay (“Clay”) has filed a habeas corpus petition against the Director of the Juvenile Division (“Director”) of the State of Illinois Department of Corrections (“Department”).
Clay advances several grounds for relief:
1. Her guilty plea was involuntary because she (a) was ignorant of available defenses and (b) misunderstood the terms of her plea agreement.
2. She received inadequate representation from Assistant Public Defenders Roger Harris (“Harris”) and Saul Friedman (“Friedman”) both when she pleaded guilty and in connection with her motion to vacate the guilty plea.
3. Denial of the motion to vacate deprived Clay of due process because she was unconditionally entitled, according to the trial court’s own representations, to withdraw her plea if her sentence did not accord with the plea agreement.
Director now moves for summary judgment under Fed.R.Civ.P. (“Rule”) 56.
For the reasons stated in this memorandum opinion and order, Director’s motion is granted.
Facts
On August 8, 1977 Clay (then 15 years old) was arrested for aggravated assault and charged with delinquency. Because of Clay’s indigency, Friedman was appointed as her counsel. At the initial interview Clay disclosed facts that might have established certain legal defenses to the charge against her. But Friedman did not apprise her of the availability of such defenses. Instead he urged her to enter into a plea agreement and plead guilty.
Unaware of any other option, Clay followed that recommendation on the understanding her plea agreement foreclosed any possibility of actual commitment. But that belief was apparently mistaken, for both Friedman and the Assistant State’s Attorney handling the case have stated by affidavit that their only agreement was to amend the Complaint to read that the weapon used was a knife rather than a gun.
On September 28,1977 Clay admitted her guilt before Cook County Circuit Court Judge Rogers. After Clay acknowledged her guilty plea had been induced by a plea agreement, Judge Rogers advised her of her unconditional right to withdraw the admission if he refused to accept the agreement. On October 26, 1977 Judge Rogers found Clay guilty of delinquency and committed her to Department. Even though that sentence represented a rejection of Clay’s version of the plea bargain, Friedman neither moved to withdraw her admission nor informed her of her right to do so.
Convinced that Friedman had bungled the case, Clay’s mother Ina immediately telephoned Assistant Director John Elson (“Elson”) of the Northwestern University Legal Clinic (the “Clinic”) for help.
Ina Clay Dep. 126. She told Elson her daughter had been promised probation in return for her guilty plea and Friedman “had sold her down the river.” Elson Dep. 67-69.
Elson told Mrs. Clay he was too busy to represent her daughter but offered.to consult with Friedman and “see if he would do anything about it.” Elson Dep. 61. Mrs. Clay agreed.
Id.
Elson called Friedman the next day, apprising him of Mrs. Clay’s belief her daughter had been misinformed that her admission of guilt could not lead to commitment. Friedman apparently agreed with that assessment, acknowledging “there was a real problem with what Ivie Clay understood.” Elson Dep. 86. Friedman said he would file a motion to vacate her guilty plea, assuring Elson “he didn’t think there would be a big problem with the matter.” Elson Dep. 87-88.
On November 4, 1977 Friedman called Elson to give him a general status report. Friedman said “he was processing the papers on the case and would have them done shortly and have the transcript typed up.” Elson Dep. 76. On November 22 (within the prescribed 30-day period) Friedman filed the motion to vacate, using a standard printed form with blanks for the name of the “respondent” (in this case Clay). Needless to say, the form was seriously deficient as a presentation of Clay’s specific basis for relief:
1. It refers to respondent Clay throughout as a male.
2. It advances very generalized grounds for vacating the plea, none of which really encompassed Clay’s present habeas claims (this is a literal transcription of the form, warts and all):
4. That the minor respondent did not fully comprehend the significance of his admission.
5. That the minor respondent was not admonished in his admission, in that there was no affirmative showing that the court informed the minor respondent and determined that said minor understood:
(a) the nature of the charge
(b) the penalties the minor may be subjected to upon his admission to the offense, including commitment to the Department of Corrections until the age of twenty-one
(c) that the minor respondent has a right not to enter an admission or to
persist in that admission if it has already been made
(d) if the minor respondent enters an admission there will not be a trial of any kind and that by so admitting the offense he waives the right to a trial and the right to be confronted with the witnesses against him.
6. That the minor respondent now urges that his admission was induced by coercion of the police and/or their agents, by the use of force, threats or promises.
7. That the minor respondent now urges that his admission was induced by the use of illegally obtained evidence.
8. That the court failed to determine first when accepting the minor’s admission whether there was an agreement and if there was said agreement said court failed to inquire as to the terms of this agreement.
9. The court failed to determine a factual basis for the admission when it entered a final judgment on the minor respondent’s admission.
10. The court failed to admonish the minor respondent in accordance with the provisions of Supreme Court Rule 605.
3. It failed to identify the most compelling basis for relief: Judge Roger’s statement that Clay had the absolute right to withdraw her guilty admission if he refused to honor the plea agreement, coupled with Clay’s specific understanding no commitment would be imposed.
On February 24, 1978 Judge Rogers held a hearing on the motion to vacate. Instead of arguing the motion himself, Friedman arranged for Harris, another Assistant Public Defender, to attend the hearing. Because Harris was totally unfamiliar with the case, he declined to present any argument in support of the motion. Nor was any effort made to secure Clay’s presence at the hearing or to inform her or her mother about the motion.
Not surprisingly, Judge Rogers denied the motion.
Though not then aware of the February 24 hearing and its outcome,
Elson learned in early March that “nothing had happened” on the Clay matter.
Elson Dep. 110. Consequently Elson changed his earlier position declining direct representation of Clay. On March 10 he filed (1) a petition to substitute himself and Bak (a Certified Senior Law Student) for the Public Defender’s Office as Clay’s counsel and (2) an amended motion to vacate judgment. On March 16 Elson entered an appearance in the case.
Elson’s amended motion asserted only two grounds for relief (quoted verbatim from the motion):
4. That in admitting certain of the allegations made against her, IVIE CLAY did not understand that the Court would construe such admissions as an admission of having committed a delinquent act.
5. That Respondent never intended to waive her defenses of self-defense and defense of her family from imminent life threatening harm.
No mention was made of Harris and Friedman’s incompetent representation, apparently because Elson had not yet seen the original motion to vacate or learned of the manner in which it had been presented at the February 24 hearing. Elson learned of those developments when he appeared before Judge White to argue the amended motion. Elson Dep. 80. At that time (a date that cannot be gleaned from the record) Judge White reset the motion for April 28 before Judge Rogers, who was then on vacation. At Elson’s request Judge White directed the court reporter to prepare a transcript of the February 24 proceedings. On March 26 the 30 day period for an appeal from the denial of the original motion to vacate elapsed.
2. Shortly after her initial talk with Elson, Mrs. Clay (apparently on her own initiative) had a personal interview with some Clinic participant, who left her with the impression she had retained the Clinic. Ina Clay Dep. 126-28.
At the April 28 hearing Elson (having familiarized himself with Friedman’s and Harris’ conduct on Clay’s behalf) urged ineffective assistance of counsel as a basis for considering the amended motion and vacating Clay’s delinquency adjudication.
See
April 28, 1978 Report of Proceedings 11. Judge Rogers refused to entertain the motion, primarily on grounds of untimeliness: It was not filed within 30 days of the October 26 order of commitment.
Believing the state procedural rule invoked by Judge Rogers foreclosed any other state remedies, Elson filed this habeas petition on Clay’s behalf.
Summary Judgment Motion
Director’s summary judgment motion urges the “waiver” principles of
Wainwright v. Sykes,
433 U.S. 72, 97 S.Ct. 2497, 53 L.Ed.2d 594 (1976) bar consideration of Clay’s habeas claims.
Under
Wainwright
a state prisoner who fails to satisfy state procedural requirements for judicial review of an issue cannot raise that issue in a federal habeas proceeding unless he shows good cause for and prejudice from his procedural default.
Director’s waiver contention therefore entails a two-step inquiry:
1. Was Clay free, on a direct appeal from denial of the
original
motion to vacate, to assert the claims now advanced in this habeas proceeding — even though they had not been presented to the trial court in that original motion?
2. If so, did Clay forfeit her federal habeas remedy under the
Wainwright
cause-prejudice test by failing to take such a direct appeal?
As for the first question, Illinois case law confirms the .availability of appellate review of all three habeas claims:
1. Because Friedman’s post-trial motion would not have been expected to impugn his own competency at Clay’s initial admission-of-guilt hearing, that claim could have been pursued for the first time on appeal.
People v. Harrawood,
66 Ill.App.3d 163, 167, 22 Ill.Dec. 899, 901, 383 N.E.2d 707, 709 (5th Dist.1978);
People v. Pendleton,
52 Ill.App.3d 241, 244-45, 9 Ill.Dec. 762, 765, 367 N.E.2d 196, 199 (1st Dist.1977).
2. That same analysis would permit assertion of the other two habeas claims on appeal. They too could be said to have been omitted from the motion to vacate as a result of the incompetence of Clay’s appointed counsel and thus “would not normally be expected to be included in a post trial motion.”
Harrawood,
66 Ill.App.3d at 167, 22 Ill.Dec. at 901, 383 N.E.2d at 709.
Accord, People v. Rhodes,
71 Ill.App.2d 150,151, 217 N.E.2d 123,124 (4th Dist.1966) (counsel’s failure to object to admissibility of evidence did not waive issue because that failure was allegedly caused by his incompetence).
Moreover, nothing in the record before this Court indicates Elson was not retained in sufficient time to prepare such an appeal. As his filing of the March 10 amended motion to vacate confirms, Elson began representing Clay more than two weeks before expiration of the appeal period from denial of the original motion to vacate.
1. Clay may assert her former counsel’s incompetence as cause for the failure to advance her claims at the state trial court level.
See Norris v. United States,
687 F.2d 899, 903 (7th Cir.1982).
2. Clay did not waive that point by neglecting to present it on direct appeal.
Wain-
wrighfs waiver doctrine is confined to the underlying habeas claims and is inapplicable to arguments bearing only on the cause-prejudice inquiry.
Under the circumstances, then, Clay’s failure to appeal deprived the state courts of an opportunity to evaluate Clay’s habeas claims.
That procedural default is fatal to those claims unless
Wainwrighfs
conjunctive requirements of cause and prejudice are met.
United States ex rel. Spur-lark v. Wolff,
699 F.2d 354, 357-61 (7th Cir.1983) (extending
Wainwrighfs
cause-prejudice standard to failure-to-appeal cases).
As for the “cause” prong, Clay asserts she was not required to raise the issues on appeal because it would have been futile to do so.
In fact she argues law of the case principles compel this Court’s acceptance of that contention, for the 1980 Seventh Circuit opinion that remanded the case to this Court held futility was a sufficient cause to suspend operation of the waiver doctrine, 631 F.2d 516, 523 (7th Cir. 1980):
The State has argued that any infirmities in the level of advocacy petitioner received in conjunction with the motion to vacate were somehow cured by the fact that petitioner retained present counsel seven days before the expiration of the period allowed for appealing the denial of the motion. We do not agree. Under Illinois law, a motion to vacate a guilty plea is addressed to the discretion of the trial court, and an appellate court may not reverse the denial of the motion except upon a showing of an abuse of discretion.
People v. Walston,
38 Ill.2d 39, 230 N.E.2d 233 (1967). Given the general grounds in the motion, and the fact that no argument was presented in the trial court, there would have been no basis on which the appellate court could have reversed. For the same reason, we reject the State’s contention that the failure to take an appeal was a deliberate bypass of state remedies, which constituted a waiver for purposes of federal habeas relief.
Two considerations lead this Court to a different conclusion:
1. Law of the case does not operate here.
2. Under the present state of the law, waiver
does
bar Clay’s claim.
Those issues will be treated in turn.
As for law of the case, later Seventh Circuit and Supreme Court pronouncements have jettisoned the waiver principles on which the just-quoted language rested:
1. That language analyzed the problem under the “deliberate bypass” standard of
Fay v. Noia,
372 U.S. 391, 438, 83 S.Ct. 822, 848, 9 L.Ed.2d 837 (1963).
2. This year’s decision in
Spurlark
requires application of
Wainwrighfs
cause-prejudice test in lieu of
Fay’s
more forgiving “deliberate bypass” standard in determining whether a petitioner forfeits habeas relief by failing to take a direct appeal.
3.
Engle,
102 S.Ct. at 1572-73 teaches that a belief it will be futile to try to convince a state court to uphold a constitutional claim does not excuse the procedural default.
Consequently this Court is free to reconsider the waiver issue in light of such subsequent legal developments.
Morrow v. Dillard,
580 F.2d 1284,1294,1297 (5th Cir. 1978) (law of case doctrine did not preclude District Court from reconsidering issue previously decided by Court of Appeals, because intervening Supreme Court decision superseded basis of Court of Appeals’ decision); cf. Crane Co. v.
American Standard, Inc.,
603 F.2d 244, 248-49 (2d Cir.1979) (holding law of the case principles do not bind Court of Appeals to an earlier ruling undercut by a subsequent Supreme Court decision, but reserving judgment on whether a District Court is similarly unconstrained).
On the merits, the Illinois “abuse of discretion” doctrine holds that the trial court’s rejection of issues
actually raised
(however incompetently) in a motion to vacate cannot be overturned except upon a showing of such abuse. That stringent standard of review would not have extended to any of Clay’s habeas claims, which were never presented to the trial court at all. As already noted, an Illinois appellate court would have entertained those claims de novo because they concern either trial counsel’s incompetence (at the admission hearing) or issues neglected as a result of counsel’s incompetence (at the post-admission proceeding).
And, as
Spurlark
and Engle
together make plain, current waiver doctrine categorically rejects Clay’s proffered justification for her failure to appeal. There was no “cause” in
Wainwright
terms. That procedural default therefore disqualifies Clay from seeking federal habeas relief.
Conclusion
There is no genuine issue of material fact, and Director is entitled to judgment as a matter of law. Director’s motion for summary judgment is granted.