Mark Allen Cates v. Superintendent, Indiana Youth Center

981 F.2d 949, 1992 U.S. App. LEXIS 32433, 1992 WL 364290
CourtCourt of Appeals for the Seventh Circuit
DecidedDecember 11, 1992
Docket90-3009
StatusPublished
Cited by19 cases

This text of 981 F.2d 949 (Mark Allen Cates v. Superintendent, Indiana Youth Center) is published on Counsel Stack Legal Research, covering Court of Appeals for the Seventh Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Mark Allen Cates v. Superintendent, Indiana Youth Center, 981 F.2d 949, 1992 U.S. App. LEXIS 32433, 1992 WL 364290 (7th Cir. 1992).

Opinion

BAUER, Chief Judge.

In this habeas corpus appeal, we determine whether counsel’s joint representation of two defendants during the initial phases of their criminal proceedings violated Petitioner Mark Cates’ Sixth Amendment right to effective assistance of counsel. We find no constitutional violation, and reverse the district court’s grant of Cates’ petition.

I. Factual Background

A. State Court Proceedings

In October 1984, Mark Cates and Dennis Hanaway were charged with one count each of felony forgery and felony theft, two counts of burglary, attempted escape, and criminal mischief. In two hearings held October 14 and October 25, the Jasper Circuit Court in Jasper County, Indiana explained the charges to Cates and Hana-way and informed them of their constitutional rights. 1 During the October 14 hearing, Cates and Hanaway informed the court that they had retained Ronald V. Aungst to represent them. Neither the parties nor the court mentioned the possibility of a conflict of interest during the hearing. At the second hearing, new charges were levied against the defendants, and the court asked the defendants whether they had retained counsel to represent them on those charges. State Court Record (“S.C.R.”) at 152. They had not retained counsel, and the trial court suggested that they retain Aungst to represent them on these charges as well. The defendants accepted this suggestion. *951 Again, no mention was made of a possible conflict of interest.

The defendants’ mothers visited Aungst in early October 1984 to hire him to represent their sons. Both paid retainer fees. Although he discussed their sons’ cases with the women, Aungst did not mention the possibility of any potential conflicts of interest which might affect his representation of both men. Transcript of August 26, 1987 Hearing on Defendant’s Petition for Post-Conviction Relief (“Post-Conviction Hearing”) (testimony of Barbara O’Brien, Cates’ Mother) S.C.R. at 118. Aungst met with Cates and Hanaway together and discussed the details of the crimes with which they were charged. He did not discuss the potential for conflicts of interest with Han-away and Cates. At the hearing for post-conviction relief, Aungst testified that it was “not necessarily” his usual practice to inform co-defendants of the potential conflicts of interest inherent in joint representation. Id. at 126. This neglect was not in keeping with his duty as an attorney.

Sometime in December 1983 (the date is not clear), the prosecutor approached Aungst to offer Hanaway a plea bargain. The bargain was conditioned on Hanaway assisting the government in its case against Cates, and testifying against him if necessary. Id. at 127. The prosecutor did not offer a plea agreement for Cates. The state court granted Aungst’s Motion to Withdraw on December 15, 1983. On December 19, 1983, Aungst notified Cates that he was withdrawing from his case because of a conflict of interest. Id. at 129. Aungst’s letter stated that

as a result of a plea agreement that has been entered into by your co-defendant, Dennis Hanaway, it becomes impossible for me to continue to represent you in your pending criminal matters. This comes as a result of a conflict of interest arising from the plea agreement entered into by Dennis Hanaway.

Aungst letter of December 19,1983, Defendant’s Exhibit A to Post-Conviction Hearing, S.C.R. at 125. Cates retained another attorney, James Tsoutsouris, who appeared on his behalf on January 17, 1984. At the plea hearing on February 14, 1984 the government added a felony theft count to its information based upon the statement Han-away provided pursuant to his plea agreement. See Cates’ Petition for Writ of Ha-beas Corpus, District Court Record Document 3. Cates pleaded guilty to all the charges. After it fully explained the constitutional rights Cates waived if he pleaded guilty, the sentencing court asked Cates if he understood those rights, and if he was satisfied with the representation of counsel. Plea Hearing Transcript S.C.R. at 171-72. Cates responded positively to both questions. S.C.R. at 179. The plea agreement provided that Cates would plead guilty and be available to testify against other individuals about the acts charged in the information. In exchange, the State would abandon a habitual criminal charge. Id. at 176. This charge would have required the court to impose a thirty-year sentence enhancement. Appellant’s Brief at 20. The court accepted Cates’ plea, and he was sentenced on April 2, 1984. Transcript of Pronouncement of Sentence, S.C.R. at 190.

On April 11, 1985, Cates filed a pro se petition for post-conviction relief pursuant to the Indiana Rules of Procedure for Post-Conviction Remedies. Among other challenges, he complained that he did not receive effective assistance of counsel because of Aungst’s misconduct. The trial court held two hearings on Cates’ motions on May 18, 1987 and August 26, 1987. The delay before the hearings was caused by the court’s inadvertent failure to set the matter for hearing. S.C.R. at 83. The Indiana trial court denied Cates’ motion because (1) Aungst withdrew from Cates’ case one month before Cates pleaded guilty, (2) Cates was represented by Tsout-souris when he pleaded guilty, and (3) there was no evidence that Aungst used privileged information he received from Cates to negotiate Hanaway’s plea agreement. Jasper County Court Order of January 19, 1988, S.C.R. at 105-10. At the hearing, the court acknowledged that attorneys face a potential conflict when they represent co-defendants, but questioned the impact of the conflict in Cates’ case. “[W]hat I need *952 to know is how Mr. Cates has been prejudiced by this, how this plea agreement is detrimental to him ... at least- on its face_ Mr. Cates [was] facing something over 66 years in prison, and negotiated and entered into an agreement for 14 years.... How is that detrimental to him?” Post-Conviction Hearing, S.C.R. at 235.

The Court of Appeals of Indiana denied Cates’ appeal because it found that there was no “showing that the actions of the first attorney unduly prejudiced the petitioner's rights to a fair trial or decision to plead guilty.” Cates v. State, No. 37A03-8806-P.C.-179 (Memorandum Decision) slip op. at 2 (3d Dist. Sept. 29, 1988), Appellant's Appendix at 27. The Supreme Court of Indiana declined to review the matter.

B. District Court Proceedings

Having exhausted his state court remedies, Cates filed a petition for writ of habe-as corpus pursuant to 28 U.S.C. § 2254. The district court granted the writ on the ground that Aungst’s joint representation violated Cates’ Sixth Amendment right to effective assistance of counsel. Cates v. Superintendent, 752 F.Supp. 854 (S.D.Ind.1990). The court found that the Indiana Court of Appeals improperly invoked the “standard ineffective assistance of counsel test.” Cates, 752 F.Supp. at 865. Instead, the district court believed that Cuyler v. Sullivan, 446 U.S. 335

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Bluebook (online)
981 F.2d 949, 1992 U.S. App. LEXIS 32433, 1992 WL 364290, Counsel Stack Legal Research, https://law.counselstack.com/opinion/mark-allen-cates-v-superintendent-indiana-youth-center-ca7-1992.