09/26/2017
DA 16-0540
IN THE SUPREME COURT OF THE STATE OF MONTANA Case Number: DA 16-0540
2017 MT 239N
TIMOTHY J. WHALEN,
Petitioner and Appellant,
v.
STATE OF MONTANA,
Respondent and Appellee.
APPEAL FROM: District Court of the Thirteenth Judicial District,
In and For the County of Yellowstone, Cause No. DV 14-1430
Honorable Ingrid G. Gustafson, Presiding Judge
COUNSEL OF RECORD:
For Appellant:
Timothy Joseph Whalen, self-represented, Columbus, Montana
For Appellee:
Timothy C. Fox, Montana Attorney General, Tammy K Plubell,
Assistant Attorney General, Helena, Montana
Scott D. Twito, Yellowstone County Attorney, Billings, Montana
Submitted on Briefs: June 28, 2017
Decided: September 26, 2017
Filed:
__________________________________________
Clerk
Justice Dirk M. Sandefur delivered the Opinion of the Court.
¶1 Pursuant to Section I, Paragraph 3(c), Montana Supreme Court Internal Operating
Rules, this case is decided by memorandum opinion and shall not be cited and does not
serve as precedent. Its case title, cause number, and disposition shall be included in this
Court’s quarterly list of noncitable cases published in the Pacific Reporter and Montana
Reports.
¶2 Timothy J. Whalen (Whalen) appeals the denial of his petition for postconviction
relief and concurrent motion to withdraw his guilty pleas by the Montana Thirteenth
Judicial District Court, Yellowstone County. We affirm.
¶3 On the morning of September 25, 2009, Whalen, a licensed commercial school bus
driver transporting a bus full of students, struck a 15-year-old girl in a designated crosswalk
in Billings, Montana. He immediately stopped the bus, ran to and checked on the girl, then
got back in the bus, and drove off without identifying himself or reporting the incident to
authorities. After delivering his passengers, Whalen returned to the accident scene where
police ultimately arrested him upon determining that he was under the influence of alcohol
at the time of the accident and had caused serious bodily injury to the girl struck in the
crosswalk.
¶4 On August 13, 2010, Whalen pled guilty in district court to one count of negligent
vehicular assault (§ 45-5-205, MCA) and one count of criminal endangerment (§ 45-5-207,
MCA). Pursuant to the plea agreement, the State dismissed an alternative count of felony
criminal endangerment and a count of felony failure to stop or remain at the scene of a
personal injury accident. Upon hearing, the District Court ultimately sentenced Whalen to
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concurrent six-year terms of commitment to the Montana Department of Corrections
(DOC) with 18 months suspended and credit for time served. Whalen discharged onto
probation on December 17, 2012.
¶5 On February 5, 2013, we affirmed Whalen’s conviction and sentence in State v.
Whalen, 2013 MT 26,
368 Mont. 354,
295 P.3d 1055 (alleged insufficiency of plea waiver
waived, legal sentence imposed, lawful probation conditions imposed, and 8th Amendment
challenge to sentence and conditions of incarceration waived). On October 6, 2014,
Whalen timely-filed a district court petition for postconviction relief (PCR) and concurrent
motion to withdraw his guilty pleas.1 On July 20, 2016, following a three-day evidentiary
hearing, the District Court issued a comprehensive, 29-page order denying Whalen’s
concurrently filed PCR petition and motion to withdraw pleas. Whalen fully discharged
his sentence on July 19, 2016.
¶6 Based on various asserted claims of error, Whalen’s overlapping PCR petition and
motion to withdraw pleas essentially assert that: (1) his pleas and plea waiver were not
valid because they were not knowing, voluntary, and intelligent due to ineffective
assistance of counsel; (2) the District Court unlawfully incarcerated him, thereby denying
him the opportunity to present an effective defense; and (3) this Court prejudiced his
exercise of available post-plea rights and remedies by refusing to stay his initial appeal and
1
Although Whalen filed the instant PCR petition and motion to withdraw his guilty pleas more
than four years after he changed his pleas, the U.S. Supreme Court did not decline review of his
case until October 7, 2013. Whalen v. Montana, ___ U.S. ___,
134 S. Ct. 319 (2013). Thus,
Whalen timely filed his PCR petition and concurrent plea withdrawal motion within the one-year
deadline specified by §§ 46-16-105(2)(c) and 46-21-102(1)(c), MCA.
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allow the District Court to re-assume jurisdiction to entertain his earlier motion to withdraw
his guilty pleas. Whalen ultimately seeks restoration of his right to trial upon withdrawal
or setting aside of his guilty pleas.
¶7 Our standard of review of a district court denial of a PCR petition is whether the
court’s findings of fact are clearly erroneous and whether its conclusions of law are correct.
McGarvey v. State, 2014 MT 189, ¶ 14,
375 Mont. 495,
329 P.3d 576. The question of
whether a defendant voluntarily pled guilty and thereby knowingly, voluntarily, and
intelligently waived associated rights is a mixed question of fact and law reviewed de novo.
State v. Warclub,
2005 MT 149, ¶ 17,
327 Mont. 352,
114 P.3d 254. The question of
whether the performance of counsel was constitutionally deficient is similarly a mixed
question of fact and law. McGarvey, ¶ 14.
¶8 Upon a showing of good cause, a district court may allow a defendant to withdraw
a guilty plea before judgment or within one year after a judgment of conviction becomes
final. Section 46-16-105(2), MCA. An involuntary guilty plea is good cause for
withdrawal of the plea under § 46-16-105(2), MCA. State v. Brinson,
2009 MT 200, ¶ 8,
351 Mont. 136,
210 P.3d 164. A plea is not voluntary if the defendant did not understand
the consequences of the plea or the plea was induced by threats, misrepresentation,
improper promises, or bribes. Brinson, ¶ 8; Warclub, ¶ 32; State v. Lone Elk,
2005 MT 56,
¶¶ 13-16 and 21-23,
326 Mont. 214,
108 P.3d 500 (requirement for knowing, voluntary,
and intelligent plea waiver), overruled on other ground by Brinson, ¶ 9 (rejecting “however
slightly” standard of inducement). A defendant must prove that a prior plea was not
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voluntary by a preponderance of the evidence. State v. Cobell, 2004 MT 46, ¶ 12,
320
Mont. 122,
86 P.3d 20.
¶9 A criminal defendant’s right to counsel under the United States Constitution,
Amendments VI and XIV, and Montana Constitution, Article II, section 24, includes the
right to effective assistance of counsel. Miller v. State,
2012 MT 131, ¶ 12,
365 Mont. 264,
280 P.3d 272. To prevail on a claim of ineffective assistance of counsel (IAC), a defendant
must affirmatively prove: (1) that counsel’s performance was in fact deficient and, if so,
(2) the deficient performance resulted in actual prejudice to the defendant’s right to a fair
trial. Miller, ¶ 13; Strickland v. Washington,
466 U.S. 668, 687,
104 S. Ct. 2052, 2064
(1984). The claimant must support an IAC claim with record facts; conclusory allegations
or assertions are insufficient. St. Germain v. State,
2012 MT 86, ¶ 8,
364 Mont. 494,
276
P.3d 886. Failure of proof of one Strickland prong defeats the claim and obviates the need
for consideration of the other. Whitlow v. State,
2008 MT 140, ¶ 11,
343 Mont. 90,
183
P.3d 861 (citing Strickland,
466 U.S. at 697,
104 S. Ct. at 2069). A court may consider the
Strickland elements in any order as necessary to dispose of a claim. Cobell, ¶ 15.
¶10 Under the first prong of the Strickland test, counsel’s performance is presumed
effective based on sound trial strategy within a broad range of reasonable professional
conduct. Whitlow, ¶ 21. Counsel’s performance is constitutionally deficient only if,
viewed in the light most deferential to counsel, it falls “below an objective standard of
reasonableness” under the circumstances and “prevailing professional norms,” regardless
of best or customary practices. Ariegwe v. State,
2012 MT 166, ¶ 16,
365 Mont. 505,
285
P.3d 424; Bomar v. State,
2012 MT 163, ¶ 19,
365 Mont. 474,
285 P.3d 396; Worthan v.
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State, 2010 MT 98, ¶ 10,
356 Mont. 206,
232 P.3d 380 (citing Whitlow, ¶ 15). Success is
not the measure of effective counsel. Bomar, ¶ 19. Effective assistance does not require
“perfect advocacy judged with the benefit of hindsight.” Bomar, ¶ 8 (quoting Yarborough
v. Gentry,
540 U.S. 1, 8,
124 S. Ct. 1, 6 (2003)). Effective performance requires only
performance that was reasonably competent under the circumstances. Bomar, ¶ 19;
Strickland,
466 U.S. at 689,
104 S. Ct. at 2065. Defense “counsel has no constitutional
obligation to raise every non-frivolous issue” in a client’s defense. Miller, ¶ 14. Failure
to raise an issue constitutes deficient performance only upon preponderant proof that the
omitted or ignored issue was “clearly stronger than” the issues raised. Miller, ¶ 14.
¶11 Under the second Strickland prong, deficient performance of counsel is prejudicial
only upon proof that a reasonable probability exists that the outcome of the proceeding
would have been different but for the deficient performance. Ariegwe, ¶ 16; Heath v. State,
2009 MT 7, ¶ 17,
348 Mont. 361,
202 P.3d 118; Strickland,
466 U.S. at 694,
104 S. Ct. at
2068. In this context, a “reasonable probability is a probability sufficient to overcome
confidence in the outcome” of the proceeding. Cobell, ¶ 14. Prejudice on a challenge to
the voluntariness of a guilty plea based on alleged IAC requires proof that it was reasonably
probable that, but for counsel’s errors, the defendant would not have pled guilty. Hardin
v. State,
2006 MT 272, ¶ 18,
334 Mont. 204,
146 P.3d 746. The mere fact that a deficient
performance may have “had some conceivable effect on the outcome of the proceeding” is
insufficient to prove constitutional prejudice. Strickland,
466 U.S. at 693,
104 S. Ct. at
2067.
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¶12 Here, the District Court’s 29-page order comprehensively addressed Whalen’s
numerous allegations of attorney error. The postconviction Gillham testimony2 of counsel
described Whalen, who was a licensed attorney and former State legislator, as an unusually
sophisticated client. Whalen presented to counsel as having the capacity to conduct
independent research, understand applicable law, and actively participate in strategic
discussions. Disputing Whalen’s assertion of his inability to influence the conduct of his
defense, counsel testified that “Whalen debated almost every piece of advice we gave him”
and that it was simply not possible “to pressure him or convince him of something he did
not agree with on his own volition.” In explaining their decision not to challenge the State’s
alcohol intoxication evidence, counsel noted that: (1) Whalen admitted to drinking alcohol
the night before the morning of the accident; (2) the discovery documents verified that law
enforcement properly calibrated its breath-testing equipment; and (3) Whalen never
disputed the accuracy of the test.
¶13 Counsel testified further that they discussed hiring an investigator or accident
reconstructionist with Whalen but he flatly rejected the proposal due to cost. Counsel
testified further that Whalen never expressed an intent to go to trial but, rather, wanted to
delay trial as long as possible to distance himself from adverse news coverage of the
accident and to allow his case to become “stale.” Counsel testified that, in the end, Whalen
explicitly directed them to initiate plea negotiations with the State, fully understood the
nature and consequences of the State’s final plea offer, and freely accepted it.
2
See Petition of Henry J. Gillham, 216 Mont. 279, 281-82,
704 P.2d 1019, 1020 (1985).
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¶14 The record reflects that the District Court conducted a thorough colloquy at
Whalen’s change of plea hearing on August 13, 2010, during which he expressly
represented that he was knowingly and voluntarily pleading guilty. Whalen stated in open
court that he fully understood the consequences of his guilty pleas and waiver of associated
constitutional rights to trial by jury, to confront and cross-examine witnesses, to require
the State to prove his guilt beyond a reasonable doubt, and to be free from
self-incrimination. He further expressly represented that he had no mental difficulty and
was taking no medication that would impair his ability to understand the nature or
consequences of a guilty plea. Whalen’s written plea agreement and acknowledgement of
waiver of rights clearly specified the maximum allowable sentences he could receive and
further represented that:
I have met with my attorneys and had the opportunity to review the police
reports, witness statements, and other physical evidence. I am satisfied with
my attorneys’ services and advice, and I have had adequate time to review
legal issues with counsel and discuss possible defenses.
Whalen made explicit factual admissions on the elements of each felony offense to which
he pled guilty and represented that he was aware of nothing that constrained the court from
imposing any sentence allowed by law.
¶15 The District Court made extensive findings of fact regarding Whalen’s IAC claims.
The District Court determined that Whalen was entirely “capable of communicating with
and questioning his counsel throughout his criminal matter,” noting that his ability “to
review the discovery material and other documents filed” allowed him to “assist his trial
counsel after he posted bond and was released from incarceration.” The District Court
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found that Whalen’s admission to consuming alcohol and the proper functioning of law
enforcement’s breath-testing equipment provided sound bases for counsel to reasonably
conclude that attempting to challenge the accuracy of the State’s breath-test result would
be futile. Moreover, the District Court found no evidence indicating that Whalen’s pleas
were anything other than the product of a knowing, voluntary, intelligent, and calculated
decision. The District Court ultimately concluded that the performance of Whalen’s
counsel was well within an objective standard of reasonableness and that he knowingly,
voluntarily, and intelligently pled guilty.
¶16 On appeal, Whalen recounts a laundry list of alleged errors by counsel supported by
no more than conclusory assertions of deficient performance. Whalen presented no
evidence as to pertinent prevailing professional norms for the representation of criminal
defendants, much less any specific proof of how, why, or on what basis the cursorily
alleged errors and omissions of counsel failed to meet those norms on the record in this
case. No substantial evidence of record supports Whalen’s claim that counsel induced him
to accept the plea agreement by threat, misrepresentation, or improper promises. No
substantial evidence supports his assertion that counsel failed to adequately investigate his
case or to adequately advise him of available defense options and the consequences of his
pleas. We further hold that Whalen failed to meet his burden on appeal of showing that
the District Court’s findings of fact were clearly erroneous or that its conclusions of law
were not correct. We hold that the District Court correctly concluded that Whalen failed
to prove his IAC claims and similarly failed to show good cause for withdrawal of his
guilty pleas.
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¶17 Whalen finally asserts that this Court denied him an adequate remedy by refusing
to stay his initial appeal and allow the district court to re-assume jurisdiction to entertain
his earlier motion to withdraw his guilty pleas. Whalen also reframes as a postconviction
claim his earlier appellate contention that the District Court imposed illegal conditions of
probation. The District Court declined to address these additional claims, concluding that
Whalen failed to timely or properly raise them as provided by law. We agree. Together
with a detailed procedural history of this case, the jurisdictional implications of filing a
notice of appeal to this Court and Whalen’s challenge to the legality of his sentence are set
forth in State v. Whalen, supra. We hold that Whalen has simply failed to properly comply
with the substantive and procedural requirements for contesting these additional issues on
direct appeal, PCR petition, or as otherwise provided by law. We affirm.
¶18 We have determined to decide this case pursuant to Section I, Paragraph 3(c) of our
Internal Operating Rules, which provides for memorandum opinions. This appeal presents
no constitutional issues, no issues of first impression, and does not establish new precedent
or modify existing precedent. We affirm the District Court’s denial of Whalen’s motion to
withdraw his guilty pleas and petition for postconviction relief.
/S/ DIRK M. SANDEFUR
We concur:
/S/ LAURIE McKINNON
/S/ BETH BAKER
/S/ MICHAEL E WHEAT
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