Lead Opinion
delivered the Opinion of the Court.
We granted certiorari to consider whether the court of appeals erred in People v. Garcia,
I.
Garcia and his brother were charged with two counts of attempted first degree murder,
Following his arrest, Garcia retained an attorney to defend him on the charges. The defense attorney and the district attorney entered into plea negotiations, which culminated in the prosecution’s offer to accept a guilty plea to the charge of accessory to commit first degree assault in exchange for the dismissal of the other pending counts. Defense counsel met with Garcia on December 19, 1987, to discuss the terms of the offer. During the course of their conversation, Garcia informed defense counsel that he did not want to jeopardize his right to file a civil action against the officers involved in the incident resulting in his arrest and prosecution. Following defense counsel’s assurance that a plea of guilty would not bar any civil action, Garcia agreed to plead guilty to the charge of accessory to commit first degree assault.
On December 21, 1987, Garcia appeared in court with defense counsel and again inquired of counsel whether the guilty plea would adversely affect his contemplated civil action. After receiving reassurance from defense counsel that it would not, Garcia signed a written acknowledgement that he had been adequately advised by his attorney of his rights, that he understood his rights, as well as the nature of the charges and the elements of the offense to which he was pleading guilty, that he understood the possible penalties applicable to his guilty plea, and that his plea was voluntary. The trial court arraigned Garcia on the accessory charge and accepted his plea of guilty.
In March 1988 Garcia filed in the United States District Court a pro-se civil complaint against several law enforcement officers for his arrest and prosecution resulting from the incident of March 27, 1987. Garcia later retained the services of an attorney, who filed an amended complaint but later dismissed the civil action on the basis that Garcia’s claims were barred as a result of his guilty plea.
During our discussions concerning the plea agreement, Mr. Garcia inquired of me as to whether or not he would still be able to pursue civil remedies for claims arising as a result of the incident for which I was representing him even though he was entering a plea of guilty.
At that time, I believed that Mr. Garcia’s civil remedies would not be barred if he ple[d] guilty in the case and I advised him of this.
Subsequent to our discussions, Mr. Garcia executed a Petition to Enter a Plea of Guilty and did in fact enter a plea of guilty in that case.
During the hearing on the Crim.P. 35(c) motion, the prosecution called defense counsel as a witness. Defense counsel testified that he advised Garcia that his conviction “could be used for impeachment purposes,” but that he did not believe the conviction would bar Garcia’s civil remedies. The attorney acknowledged that, although he had never filed a claim for false imprisonment or malicious prosecution, he consulted with several other attorneys on this matter before advising Garcia of the effect of his plea on any contemplated civil action.
The trial court denied Garcia’s motion. Noting that Garcia was not contesting the validity of the court’s advisement at the providency hearing, the court ruled that its acceptance of the guilty plea was a determination that the charge against Garcia was true, that guilty plea constituted a bar to Garcia’s civil action, and that Garcia failed to show any actual prejudice resulting from any alleged incompetency of defense counsel.
Garcia appealed the judgment to the court of appeals, which reversed the judgment and remanded the case to the trial court for further proceedings. The court of appeals concluded that defense counsel gave Garcia incorrect advice regarding the consequences of a guilty plea and failed to base that advice on adequate research. The court accordingly directed the trial court to determine whether defense counsel’s performance was constitutionally deficient. The court of appeals also was of the view that the trial court’s resolution of the prejudice issue incorrectly focused on whether Garcia’s “civil claims were dismissed because of ‘truths’ he admitted by virtue of his guilty plea” rather than by evaluating whether “there is a reasonable probability that he would not have pleaded guilty but for counsel’s error.”
II.
The Sixth Amendment of the United States Constitution guarantees an accused the right to effective assistance of counsel. The purpose of this constitutional guarantee is to ensure the accused a level of assistance calculated to produce a fair and just result in a criminal prosecution. E.g., United States v. Cronic,
In Strickland v. Washington,
The test for evaluating an attorney’s performance is whether the attorney’s assistance is within the range of competence demanded of attorneys in criminal cases under prevailing professional norms. Id. at 688,
The prejudice component of an ineffective-assistance claim requires the defendant affirmatively to prove prejudice. Id. at 693,
Although Strickland involved an ineffective-assistance claim based on counsel’s conduct at a capital sentencing hearing, the standards adopted therein are equally applicable to a conviction based on a guilty plea to a criminal charge. In Hill v. Lockhart,
We had occasion to apply the Strickland-Hill principles in People v. Pozo,
It is in light of the principles explicated in Strickland, Hill, and Pozo that we must evaluate the propriety of the court of appeals’ reversal of the trial court’s denial of Garcia’s Crim.P. 35(c) motion and the court of appeals’ order of remand to the trial court for a further evidentiary hearing.
III.
Garcia’s Crim.P. 35(c) motion specifically alleged that he inquired of defense counsel whether a guilty plea would bar his contemplated civil action arising out of the incident on which the criminal charges were based and that he was told by defense counsel that his civil action would not be barred. Moreover, in contrast to the defective habeas petition in Hill, Garcia’s Crim.P. 35(c) motion also alleged that he would not have entered a guilty plea if defense counsel had advised him that a guilty plea would constitute a bar to his contemplated civil action. The allegations pertaining to defense counsel’s advice to Garcia were supported by the affidavit and testimony of defense counsel, who expressly acknowledged that he answered Garcia’s repeated request about the effect of a guilty plea on Garcia’s civil action by tell
There is no question that the legal advice sought by Garcia was highly significant to his ultimate decision to plead guilty to the accessory charge, nor is there any doubt that defense counsel knew of its significance to Garcia’s acceptance of the offered plea bargain. In denying Garcia’s ineffective-assistance claim, however, the trial court declined to consider the performance component of the claim and instead resolved Garcia’s claim on the basis of no prejudice. While we recognize that we are obliged in the first instance to presume that defense counsel’s advice fell within the range of reasonable professional assistance, Strickland,
We turn then to the prejudice element of Garcia’s ineffective-assistance claim. In resolving the issue of prejudice, the court of appeals concluded that the trial court incorrectly focused on whether Garcia’s civil complaint was “dismissed because of ‘truths’ he admitted by virtue of his guilty plea” rather than determining whether “there is a reasonable probability that he would not have pleaded guilty but for counsel’s error.”
We accordingly affirm the judgment of the court of appeals, and we remand the case to that court with directions to return the case to the trial court for further proceedings consistent with the views herein expressed. •
Notes
. Attempted first degree murder, as charged, was a class 2 felony, § 18-2-101(4), 8B C.R.S. (1986), punishable by a presumptive minimum sentence of eight years and a presumptive maximum sentence of twenty-four years, § 18 — 1— 105(l)(a)(IV), 8B C.R.S. (1986).
. Attempted first degree assault, as charged, was a class 3 felony, § 18-3-202(l)(e) & (2)(b), 8B C.R.S. (1986), punishable by a presumptive minimum sentence of four years and a presumptive maximum sentence of sixteen years, § 18 — 1— 105(l)(a)(IV), 8B C.R.S. (1986).
.The crimes of violence, as charged, carried a mandatory sentence greater than the presumptive maximum sentence applicable to the substantive crime but no greater than twice the presumptive maximum term. § 16-11-309(1 )(a), 8A C.R.S. (1986).
. The crime of accessory to first degree assault, as charged, was a class 5 felony, § 18-8-105(4), 8B C.R.S. (1986), punishable by a presumptive minimum sentence of one year and a presumptive maximum sentence of four years, § 18 — 1— 105(l)(a)(IV), 8B C.R.S. (1986).
. Gai. . s initial complaint in federal court vas based on 42 U.S.C. § 1983 (1989) and nan,,-., as defendants the County of Jefferson, the Jefferson County Sheriff, and various deputy sheriffs designated as John Does. Garcia’s claim against Jefferson County was dismissed because the complaint failed to allege that any of the individual defendants were acting pursuant to a county custom or practice. The claim against the individual officers was dismissed as vague and conclusory. Garcia also included in the federal complaint a common law claim for abuse of process. The federal district court dismissed that claim, since Garcia had filed an identical lawsuit in the state court. In dismissing Garcia’s claims, the federal court granted him leave to file an amended complaint. His attorney thereafter filed the amended complaint, but then voluntarily dismissed the federal action upon determining that the claims were barred as a result of Garcia’s guilty plea.
The civil action filed by Garcia in the state court was dismissed due to his failure to comply with the notice provisions of the Governmental Immunity Act.
. In Hill, Justice White, joined by Justice Stevens, concurred in the judgment. Justice White pointed out that Hill had signed a written "plea statement,” a standardized form to be completed by defense counsel in conjunction with his client, indicating that he understood the charges and the consequences of pleading guilty and that he was aware of everything in the plea statement. However, in the space provided for disclosing the number of prior convictions, Hill’s form read "0.”
. In its ruling, the trial court distinguished the facts of this case from those of People v. Pozo,
Dissenting Opinion
dissenting:
I join Justice Vollack in his dissent, but write separately to emphasize the purpose of the providency hearing and the limited grounds for setting aside a defendant’s guilty plea. In my dissent in People v. Pozo,
The interest at stake in a Crim.P. 11 proceeding is whether the defendant voluntarily entered a plea of guilty to the crime for which he was charged.
In Brady v. United States,397 U.S. 742 ,90 S.Ct. 1463 ,25 L.Ed.2d 747 (1970), the defendant sought post-conviction relief on the ground that had he known of a subsequent Supreme Court decision at the time of his plea, he never would have*944 pleaded guilty. The Supreme Court rejected his argument stating:
Central to the plea and the foundation for entering judgment against the defendant is the defendant’s admission in open court that he committed the acts charged in the indictment.
397 U.S. at 748 ,90 S.Ct. at 1468 . The Supreme Court also said:
A plea of guilty entered by one fully aware of direct consequences, including the actual value of any commitments made to him by the court, prosecutor, or his own counsel, must stand unless induced by threats ... misrepresentation ... or perhaps by promises that are by their nature improper as having no proper relationship to the prosecutor’s business.
397 U.S. 742 , 755,90 S.Ct. 1463 , 1472,25 L.Ed.2d 747 (1970), quoting Shelton v. United States,246 F.2d 571 , 572 n. 2 (5th Cir.1957), rev’d on other grounds,356 U.S. 26 ,78 S.Ct. 563 ,2 L.Ed.2d 579 (1958) (emphasis added).
There is no contention by Pozo that he did not understand the direct consequences of his plea or that his plea was invalid because of any threat, misrepresentation, or other impropriety.
Here, the defendant claims that his counsel’s failure to properly advise him that his plea of guilty would limit his civil claims relating to his arrest and prosecution vitiates his plea. No claim is made that a factual basis is lacking for the plea, or that the defendant did not in fact commit the crimes charged. Erickson, The Finality of a Plea of Guilty, 48 Notre Dame Law. 835 (1973).
ROVIRA, C.J., joins in this dissent.
Dissenting Opinion
dissenting:
The majority holds that a criminal defense attorney’s misinformation regarding the effect of a guilty plea on a defendant’s civil remedies may be ineffective assistance of counsel requiring the withdrawal of the defendant’s plea. I believe the majority’s opinion is an expansion of People v. Pozo,
The defendant was charged with two counts of attempted first degree murder, two counts of first degree assault, and two counts of committing a crime of violence. He pleaded guilty to a charge of accessory to commit first degree assault in exchange for dismissal of the other counts. In so pleading, the defendant signed a written acknowledgement that his attorney had advised him of his rights, that he understood by pleading guilty he waived certain constitutional rights, that he understood the nature of the charge and the elements of the offense to which he was pleading guilty, that he understood the possible penalties applicable to his plea, and that his plea was voluntary. The defendant later filed a motion to vacate his conviction pursuant to Crim.P. 35(c), alleging that, in response to his inquiries, defense counsel had misinformed him that a guilty plea would not jeopardize his ability to bring a civil claim related to his arrest and criminal prosecution. The trial court denied the motion, concluding that the defendant had not established that he had been prejudiced by his attorney’s advice. The court of appeals reversed and remanded the case to the trial court to determine whether defense counsel’s conduct “fell below acceptable standards” and whether the defendant was prejudiced. People v. Garcia,
When a conviction is attacked by means of a Crim.P. 35(c) motion, “the legality of the judgment and the regularity of the proceedings leading up to the judgment are presumed. The burden is upon the defendant to establish by at least the preponderance of the evidence the allegations” of the motion. Lamb v. People,
In Strickland v. Washington,
In its explanation of this test, the Strickland Court made several critical statements regarding the sixth amendment guarantee that bear on the case presented to this court. Throughout the opinion, the Court reiterated that the constitutional right to effective assistance of counsel is deemed necessary to ensure that fairness predominates in the adversarial system so that just results are attained. See Strickland,
[t]he availability of intrusive post-trial inquiry into attorney performance or of detailed guidelines for its evaluation would encourage the proliferation of ineffectiveness challenges.... Counsel’s performance and even willingness to serve could be adversely affected. Intensive scrutiny of counsel and rigid requirements for acceptable assistance could dampen the ardor and impair the independence of defense counsel, discourage the acceptance of assigned cases, and undermine the trust between attorney and client.
Id. at 690,
In my view, by opening the Pandora’s box of collateral consequences with today’s opinion, the majority of this court ignores Strickland’s caution by imposing an unreasonable burden on defense counsel to the detriment of our criminal justice system. Moreover, the majority’s holding to include advice on the collateral consequences of guilty pleas among the constitutional guarantees of an accused contradicts “the fundamental interest in the finality of guilty pleas.” Hill v. Lockhart,
In his dissent to Pozo, Chief Justice Rovi-ra noted that the purpose served by a Crim.P. 11 proceeding is to ensure that the defendant voluntarily and knowingly pleads guilty to the crime for which he is charged, and an ineffectiveness of counsel challenge to a guilty plea is relevant only in relation to the defendant’s voluntariness and understanding in pleading guilty. Pozo,
Direct consequences relate strictly to sentencing, whereas collateral consequences are many and conceivably beyond the legitimate sphere of a criminal defense attorney’s expertise. They may include the loss of civil service employment, the right to vote, the ability to travel freely abroad, exclusion from military service, as well as adverse social consequences. See generally J. Bond, Plea Bargaining & Guilty Pleas §§ 3.38-49 (2d ed. 1983). While each of these results may have a harsh impact on a defendant, I agree with those jurisdictions denying that defendants have a constitutional right to be informed of such collateral consequences. See United States v. Del Rosario,
Accordingly, in the present case, the trial court was only required to determine if the defendant was fully aware of the direct consequences of pleading guilty to the charge of accessory to commit first degree assault. That he understood and voluntarily agreed to those consequences is evidenced by his signing the written acknowl-edgement. The defendant does not attack his counsel’s advice on the direct effect of his guilty plea. Instead, the defendant’s sole ground for vacating his conviction was his attorney’s advice on the collateral consequence of a guilty plea on his civil case. I respectfully dissent.
I am authorized to say that Chief Justice ROVIRA and Justice ERICKSON join in this dissent.
