Abraham HAGOS, Petitioner
v.The PEOPLE of the State of Colorado, Respondent.
No. 10SC424.
Supreme Court of Colorado, En Banc.
Nov. 5, 2012.
OPINION TEXT STARTS HERE
Reppucci Law Firm, P.C., Jonathan D. Reppucci, Denver, Colorado, Attorneys for Petitioner.
John W. Suthers, Attorney General, Elizabeth Rohrbough, Senior Assistant Attorney General, Denver, Colorado, Attorneys for Respondent.
Justice RICE delivered the Opinion of the Court.
¶ 1 In this postconviction proceeding, we address whether a determination on direct appeal that instructional error did not constitute plain error necessarily requires a determination in postconviction proceedings that trial counsel's failure to object to the erroneous instruction did not prejudice the defense. We conclude that a determination that instructional error did not constitute plain error does not control a determination of prejudice under Strickland v. Washington,
¶ 2 Abraham Hagos and another man distributed drugs from an apartment. A buyer broke into the apartment and took a safe containing cash and drugs. In retaliation, Hagos and others kidnapped and assaulted the buyer's brother.
¶ 3 A grand jury indicted Hagos for first degree kidnapping, first degree burglary, aggravated robbery, assault in the second degree, and conspiracy to commit each of these crimes. At trial, the trial court instructed the jury, “[t]he elements of the crime of First Degree Kidnapping are: (1) That the Defendant, ... (3) forcibly, or otherwise, seized and carried any person from one place to another.” (Emphasis added). Hagos did not object to this instruction. The jury returned guilty verdicts for first degree kidnapping; first degree burglary; felony menacing; and conspiracy to commit second degree kidnapping, first degree burglary, and felony menacing.
¶ 4 Hagos appealed and the court of appeals affirmed. Among other claims, Hagos asserted that the trial court committed plain error by including the words “or otherwise” in its instruction on first degree kidnapping. The court of appeals concluded that the instruction was erroneous, but the error did not constitute plain error because it did not so undermine the fundamental fairness of the trial as to cast serious doubt on the reliability of the conviction. The court of appeals reached this conclusion because it determined that the record contained overwhelming and undisputed evidence that the kidnapping occurred by force.
¶ 5 Hagos then filed a Crim. P. 35(c) postconviction motion in the trial court. He asserted, among other contentions, that his trial counsel had provided ineffective assistance by failing to object to the erroneous instruction. The trial court denied the motion. It determined that Hagos could not establish the prejudice component of the ineffective assistance claim because the court of appeals had held on direct appeal that the erroneous instruction did not warrant reversal under plain error analysis.
¶ 6 Hagos appealed the order denying his postconviction motion and the court of appeals affirmed. The court of appeals followed People v. Villarreal,
¶ 7 We granted certiorari to decide whether a determination on direct appeal that instructional error did not constitute plain error necessarily requires a determination in postconviction proceedings that trial counsel's failure to object to the erroneous instruction did not prejudice the defense.1
¶ 8 Before addressing the difference between plain error and ineffective assistance of counsel, we describe, as useful context, the various error doctrines that dictate reversal of a conviction in criminal appeals.
¶ 9 Appellate courts in Colorado employ one of five different standards to determine whether an error in criminal proceedings necessitates reversal of the judgment of conviction.2 These five standards differ by the degree to which they require that the error impair the reliability of the judgment of conviction. We now describe these five types of review:
• Structural error;
• Constitutional harmless error;
• Harmless error;
• Claims where the effect on the conviction is constitutionally material to the claim itself; and
• Plain error.
¶ 10 First, certain errors are structural errors, which require automatic reversal without individualized analysis of how the error impairs the reliability of the judgment of conviction. Neder v. United States,
¶ 11 Second, we review trial errors of constitutional dimension that were preserved by objection for constitutional harmless error. Krutsinger v. People,
¶ 12 Third, we review nonconstitutional trial errors that were preserved by objection for harmless error. Crim. P. 52(a); Tevlin v. People,
¶ 13 Fourth, for certain types of claims, including ineffective assistance of counsel, the effect of the error upon the proceedings is constitutionally material to the claim itself. Delaware v. Van Arsdall,
¶ 14 Finally, we review all other errors, constitutional and nonconstitutional, that were not preserved by objection for plain error. People v. Miller,
¶ 15 Having placed the plain error and ineffective assistance of counsel standards in context, we address whether plain error requires a showing that the error impair the reliability of the conviction to a greater degree than the Strickland prejudice standard.
¶ 16 If plain error requires that an error impair the reliability of the judgment of conviction to a greater degree than Strickland prejudice, then a determination that the error did not constitute plain error does not control the determination of whether a defendant can establish Strickland prejudice. We conclude that plain error requires a greater degree of harm in order for reversal to be warranted.
¶ 17 A criminal defendant is constitutionally entitled to effective assistance from his counsel. Strickland,
¶ 18 Plain error addresses error that is both “obvious and substantial.” Miller,
¶ 19 Plain error casts serious doubt on the judgment of conviction. Deficient performance of counsel, on the other hand, undermines confidence in the judgment of conviction. The words “undermine confidence” reveal that the error in a claim of ineffective assistance of counsel must impair the reliability of the judgment of conviction to a lesser degree than a plain error in order to warrant reversal of the conviction. These two standards are therefore not the same.
¶ 20 The two claims serve different purposes and each requires an independent, fact-specific analysis. The direct appeal addresses whether the prejudice resulted from the trial court's acts or omissions, while the ineffective assistance claim examines whether prejudice resulted from counsel's acts or omissions. Moreover, a direct appeal and an ineffective assistance of counsel claim ask the court to assess substantially different errors in the context of different due process rights. The direct appeal analysis examines whether an error deprived the defendant of his constitutional right to trial, while an ineffective assistance analysis looks at whether an error deprived the defendant of his constitutional right to effective assistance of counsel. Because the two claims serve different purposes and each requires an independent, fact-specific analysis, the respective analyses should remain separate.
¶ 21 A prior determination, therefore, that an error was not so prejudicial as to cast serious doubt upon the reliability of the judgment of conviction, and therefore was not plain error, does not control a later determination of whether the error undermined confidence in the judgment of conviction under Strickland.
¶ 22 The People assert that certain formulations in our cases of the plain error standard reveal that the degree of prejudice required under plain error review is equal to or below that of Strickland prejudice. We recognize that we have recently used the words “reasonable possibility” in connection with plain error review of instructional error. Kaufman v. People,
¶ 23 Our conclusion is consistent with the purposes underlying each standard. Plain error review reflects a “careful balancing of our need to encourage all trial participants to seek a fair and accurate trial the first time around against our insistence that obvious injustice be promptly redressed.” United States v. Frady,
¶ 24 Ineffective assistance of counsel claims, however, do not require the same balancing of interests. Moreover, effective assistance of counsel “plays a crucial role in the adversarial system embodied in the Sixth Amendment, since access to counsel's skill and knowledge is necessary to accord defendants the ‘ample opportunity to meet the case of the prosecution’ to which they are entitled.” Strickland,
¶ 25 Turning to the facts of this case as established by the record, Hagos's claim for ineffective assistance of counsel is deficient. First, Hagos alleged ineffective assistance of counsel on constitutional grounds because counsel did not attack the search of Hagos's apartment. The court of appeals properly rejected this argument because the exact same search of Hagos's apartment was found to be constitutionally permissible in a companion case. Thus, the doctrine of issue preclusion applied and counsel's failure to attack the exact same search on the identified grounds is not ineffective as a matter of law.
¶ 26 Second, Hagos failed to establish any prejudice resulting from the erroneous jury instruction. It was never disputed that the victim was in fact “forcibly” seized and carried: the victim was beaten, handcuffed, and taken to a car at gunpoint. Hagos argued at trial that he lacked the mens rea required for a guilty verdict because he was merely present to ensure that the victim was not seriously injured. The jury rejected Hagos's theory. Therefore, the language “or otherwise” included in the kidnapping instruction had no effect on the judgment of conviction, and Hagos's Crim. P. 35(c) claim inevitably fails.
¶ 27 Thus, the jury instruction, though erroneous, had no effect on the judgment of conviction. Consequently, Hagos's claim for ineffective assistance of counsel fails through a separate, fact-specific analysis pursuant to Strickland.
¶ 28 We conclude that a determination that instructional error did not constitute plain error does not control a determination of prejudice under Strickland, because the plain error and Strickland standards are not the same. The plain error standard requires that an error impair the reliability of the judgment of conviction to a greater degree than the Strickland prejudice standard. Hagos's ineffective assistance of counsel claim, nonetheless, fails under the separate, fact-specific Strickland analysis. Thus, we affirm the court of appeals' judgment on different grounds.
Justice EID concurs in the judgment.
Justice COATS does not participate.
Justice EID, concurring in the judgment.
¶ 29 Just last year, this court stated that, in order to maintain a claim of plain error, a defendant must demonstrate “a reasonable possibility that the [error] contributed to the defendant's conviction.” Tumentsereg v. People,
¶ 30 Both a plain error claim on direct review and a claim for ineffective assistance of counsel on post-conviction review require a defendant to demonstrate that the error in question contributed in some way to his conviction. In the ineffective assistance context, we have said that a defendant must show that “there is a reasonable probability that, but for counsel's unprofessional errors, the result of the proceeding would have been different.” Id. at 76 (2003) (emphasis added) (citing Strickland,
¶ 31 The majority rejects this reasoning by finding that the “reasonable possibility” standard of plain error review is actually a higher standard than the “reasonable probability” formulation of an ineffective assistance of counsel claim brought on post-conviction review. Maj. op. at ¶ 19. The majority justifies its conclusion on the ground that the “reasonable possibility” formulation of plain error prejudice is simply a forty-year mistake, id. at ¶ 22, albeit one that has been repeated numerous times by this court, and as recently as last year, see, e.g., Tumentsereg,
¶ 32 But the majority's attempt to refocus attention to the “cast serious doubt” language of our plain error case law is unavailing. We borrowed that language from U.S. Supreme Court jurisprudence considering the plain error standard of Fed.R.Crim.P. 52(b), the federal analog of our plain error rule. See Wilson v. People,
¶ 33 Importantly, this case is about more than simple semantics. In the process of drawing comparisons between the two prejudice standards, the majority pumps up the plain error standard, stressing just how serious the error must be to constitute plain error. Maj. op. at ¶ 18. According to the majority, “[p]lain error review allows the opportunity to reverse convictions in cases presenting particularly egregious errors, [and] reversals must be rare to maintain adequate motivation among trial participants to seek a fair and accurate trial the first time.” Id. at ¶ 23. By contrast, ineffective assistance claims “do not require the same balancing of interests,” and should be governed by a lower standard of prejudice because of the importance of the Sixth Amendment right to counsel. Id. at ¶¶ 19, 24. All of this implies that, to use the majority's terminology, “reversals” based on ineffective assistance of counsel should not be as “rare,” nor limited to cases where there is “a particularly egregious error[ ].” Id. at ¶ 23. In other words, the majority suggests that not only are the two inquiries different, but that one (ineffective assistance) is easier than the other (plain error). Id. at ¶¶ 20, 24.
¶ 34 The majority reinforces this message by suggesting that a district court must take care to perform a “separate, fact-specific analysis pursuant to Strickland ” when determining whether a defendant can demonstrate prejudice. Id. at ¶ 27. In this case, for example, the court of appeals concluded on direct review that the instructional error at issue—the erroneous addition of “or otherwise” to the “forcibly seized” language of the asportation element of kidnapping—did not “cast serious doubt” on the defendant's conviction “[b]ecause the record contains overwhelming and undisputed evidence of defendant's participation in the forcible removal of [the victim] from his apartment.” People v. Hagos, No. 03CA315, slip. op. at 7,
1. Specifically, we granted certiorari on the following issue:
Whether the court of appeals erred when it held that a finding of no plain error in Petitioner's earlier appeal regarding defective ... jury instructions, necessarily required a finding of no ineffective assistance of counsel regarding a failure to object to ... the same jury instructions in Petitioner's later Crim. P. 35(c) motion, thus affirming the trial court's order denying the Crim. P. 35(c) motion.
2. We note that two additional standards, invited error and cumulative error, also govern whether errors will result in reversal of the conviction. See People v. Zapata,
3. Such a claim cannot be harmless because satisfaction of the prejudice component of the claim necessarily entails the conclusion that the error substantially influenced the verdict. Kyles v. Whitley,
