Majority
Patterson described the circumstances that led him to enter the plea as follows: At the preliminary hearing, the prosecution had made a "take-it-or-leave-it offer." Patterson's defense counsel told him that she did not know what immigration consequences the plea would have, and she and Patterson tried to get in touch with Patterson's immigration lawyer, with whom Patterson had apparently never discussed his criminal case. When they were unsuccessful, Patterson's criminal defense attorney recommended that he take the offer, and Patterson "followed her advice." Had he known that the convictions would result in his deportation, Patterson said, he "would have followed through with [his] plan to take the case to trial."
Patterson also supported his motion with a declaration by Stacy Tolchin, an attorney specializing in immigration law. The specialist summarized the
Finally, as evidence that Patterson was unaware of the specific immigration consequences of a guilty plea to possession of MDMA, Patterson submitted a letter his defense counsel wrote to the prosecutor. The letter, dated the day before Patterson entered his plea, described Patterson as a Canadian citizen and registered nurse who had been lawfully present in the United States on employment-based visas for many years, and who had strong professional and personal ties in the country. Counsel stated her belief that Patterson had viable defenses to all the charges against him, but she nevertheless proposed that he plead guilty to two felony violations of Health and Safety Code section 11377, for which he would be placed in a drug diversion program
In Giron , this court held that a defendant may establish good cause to withdraw a guilty plea under section 1018 by showing that he or she was unaware that the plea would result in deportation. ( Giron , supra , 11 Cal.3d at p. 798, 114 Cal.Rptr. 596 , 523 P.2d 636 .) Noting that the immigration consequences of certain criminal convictions may be "dire" for a noncitizen defendant ( ibid. ), we explained: "A trial court ... may take
The question before us is whether Patterson is barred from seeking section 1018 relief on grounds of mistake or ignorance because he received the standard advisement-given to all criminal defendants in California who plead guilty to any offense other than an infraction-that his or her criminal conviction "may" have adverse immigration consequences. (§ 1016.5.) We see no logical reason why the section 1016.5 advisement would operate as such a bar. A defendant entering a guilty plea may be aware that some criminal convictions may have immigration consequences as a general matter, and yet be unaware that a conviction for a specific charged offense will render the defendant subject to mandatory removal. Thus, as we have previously noted in a different context, the standard section 1016.5 advisement that a criminal conviction "may" have adverse immigration consequences "cannot be taken as placing [the defendant] on notice that, owing to
It is also true, as the Attorney General points out, that the immigration consequences of a guilty plea are often unclear, and it may be difficult to know with certainty at the time a noncitizen defendant enters a guilty plea
To establish that he was prejudiced by counsel's alleged errors, Patterson must show "that a reasonable probability exists that, but for counsel's incompetence, he would not have pled guilty" ( Resendiz , supra , 25 Cal.4th at p. 253, 105 Cal.Rptr.2d 431 , 19 P.3d 1171 ) to the charge of possession of MDMA, which subjected him to mandatory deportation. Here, Patterson
Cuéllar, J.
I
In People v. Superior Court (Giron) (1974) 11 Cal.3d 793 , 798, 114 Cal.Rptr. 596 , 523 P.2d 636 ( Giron ), this court held that a defendant's ignorance that a guilty plea will render him deportable may constitute good cause to withdraw the plea under Penal Code section 1018. The question now before us is whether receipt of the standard statutory advisement that a criminal conviction "may" have adverse immigration consequences (Pen. Code, § 1016.5 ), bars a noncitizen defendant from seeking to withdraw a guilty plea on that basis. We conclude that the section 1016.5 advisement creates no such bar. We therefore reverse the judgment of the Court of Appeal and remand to permit the trial court to determine whether, after considering all relevant factors, Patterson has shown good cause for withdrawing his plea.
Patterson was charged in a nine-count complaint with evading a police officer (Veh. Code, § 2800.2 ); with sale or transportation of methamphetamine (Health & Saf. Code, § 11379, subd. (a) ) and cocaine ( id. , § 11352, subd. (a)); and with possession of cocaine ( id. , § 11350, subd. (a)), morphine ( ibid .), MDMA[1] (Health & Saf. Code, § 11377, subd. (a) ), methamphetamine ( ibid. ), and PCP ( ibid .). At a preliminary hearing on March 13, 2013, Patterson entered a negotiated plea of guilty to evading a peace officer and
1 Methylenedioxymethamphetamine, colloquially known as "ecstasy."
To demonstrate that Patterson had a triable case, the motion explained that all of the drug charges were based on substances found in an opaque closed container in Patterson's car, which, according to the motion, had been left there by a passenger a day and a half before Patterson's arrest. An unnamed
3 As an example of one such possible disposition that was supported by the facts of Patterson's case, the immigration specialist suggested "a plea to felony accessory after the fact to possession of an unspecified controlled substance, in violation of Penal Code § 32, and Health and Safety Code § 11377(a), with the same sentence to probation on condition of serving 180 days in custody...."
The trial court denied Patterson's motion to withdraw his guilty plea on the ground that he had been advised, as required by Penal Code section 1016.5 (section 1016.5 ), that the conviction "may" have serious immigration consequences. The trial court stated that "[t]he question is what level of advisement is necessary for any of the items in the felony plea form to stand up," and that "the Legislature ... passed 1016.5 so that there would be a specific language that had to be given to each person." Although the court acknowledged that the federal immigration consequences of Patterson's plea "are disastrous," the court concluded that even if everything Patterson said in his papers was true, his motion was "legally insufficient" to permit Patterson to withdraw his plea. According to the court, "the defendant's subjective level of understanding" of the immigration consequences of his plea was not "truly relevant because anybody can come in and say, oh, I didn't really understand."
Patterson appealed, challenging the trial court's denial of his motion to withdraw his guilty plea. While the appeal was pending, he filed a habeas corpus petition in the superior court. In his petition, Patterson alleged that trial counsel's failure to advise him that his conviction for possession of MDMA would result in his automatic deportation, as well as her failure to attempt to negotiate an immigration-neutral disposition, violated his right to the effective assistance of counsel under the Sixth Amendment to the United States Constitution. He further alleged that he would not have entered the plea had he received accurate advice about its adverse immigration consequences. The petition was assigned to a different trial judge from the judge who had accepted Patterson's guilty plea and denied his motion to set aside the plea. Less than a week after the habeas corpus petition was filed, the judge denied it without issuing an order to show cause or conducting an evidentiary hearing, concluding that Patterson had not demonstrated a reasonable probability that he would have obtained a more favorable outcome in the absence of counsel's alleged deficiencies.
Patterson then filed a new habeas corpus petition in the Court of Appeal raising the same claims as his petition in the superior court. Although the petition did not include a declaration from trial counsel describing the events resulting in Patterson's guilty plea, Patterson attached a declaration from Attorney Norton Tooby, a criminal law specialist who has taught seminars for attorneys regarding the immigration
II
At any time before judgment, or within six months after an order granting probation if entry of judgment is suspended, a trial court may permit a defendant to withdraw a guilty plea for "good cause shown." (§ 1018.) "Mistake, ignorance or any other factor overcoming the exercise of free judgment is good cause for withdrawal of a guilty plea" under section 1018 ( People v. Cruz (1974) 12 Cal.3d 562 , 566, 116 Cal.Rptr. 242 , 526 P.2d 250 ( Cruz )), and section 1018 states that its provisions
B.
Here, as in Giron , defendant seeks to withdraw his guilty plea on the ground that at the time of the plea he was unaware that the conviction would render him subject to removal from the United States. Under the Immigration and Nationality Act ( 8 U.S.C. § 1101 et seq. ), "[a]ny alien who at any time after admission has been convicted of a violation of ... any law or regulation of a State, the United States or a foreign country relating to a controlled substance ..., other than a single offense involving possession for one's own use of 30 grams or less of marijuana, is deportable" ( 8 U.S.C. § 1227 (a)(2)(B)(i) ), and any such deportable alien "shall, upon the order of the Attorney General, be removed" ( 8 U.S.C. § 1227 (a) ). These provisions, as the United
4 This intent recently has been reinforced by the 2015 enactment of Penal Code section 1016.3, which requires that defense counsel "provide accurate and affirmative advice about the immigration consequences of a proposed disposition, and when consistent with the goals of and with the informed consent of the defendant, and consistent with professional standards, defend against those consequences" ( id. subd. (a)), as well as imposing a new requirement that "[t]he prosecution, in the interests of justice, ... consider the avoidance of adverse immigration consequences in the plea negotiation process as one factor in an effort to reach a just resolution" ( id. subd. (b)).
5 As noted, Patterson received the advisement, and he does not contend that the trial court was required under section 1016.5 to permit him to withdraw his guilty plea. (See People v. Aguilar (2014) 227 Cal.App.4th 60 , 71, 173 Cal.Rptr.3d 473 ["Section 1016.5 addresses only the duty of trial courts to advise the defendant of the immigration consequences of the plea, and it empowers the court to vacate a conviction and set aside a plea only for the court's failure to fulfill that duty." (Italics omitted.) ].)
The Attorney General contends that Patterson, knowing his plea could have immigration consequences, made a calculated gamble to enter the plea without seeking advice from immigration counsel, and that he should be held to his part of the bargain in the same manner as a defendant who enters a guilty plea gambling that the sentencing court will treat him with leniency. ( Giron , supra , 11 Cal.3d at pp. 797-798, 114 Cal.Rptr. 596 , 523 P.2d 636 , citing People v. Burkett (1953) 118 Cal.App.2d 204 , 257 P.2d 745 .) But as we observed in Giron , there is an important distinction between the situation in which a defendant, aware that a conviction will render him subject to a particular set of penalties, nevertheless "enters a guilty plea hoping for leniency which is not forthcoming," and one in which the defendant is unaware that, in addition to any punishment the court might impose, the guilty plea will also render him subject to mandatory deportation. ( Giron , supra , 11 Cal.3d at p. 797, 114 Cal.Rptr. 596 , 523 P.2d 636 .) We explained that in the latter situation, the defendant cannot be said to have "gambl[ed] on the severity of possible penalties," and therefore a court may exercise its discretion to grant or deny the motion to withdraw the plea after "considering all factors necessary to bring about a just result." ( Id . at p. 798, 114 Cal.Rptr. 596 , 523 P.2d 636 .) Of course, here, unlike in Giron , Patterson was advised that his plea "may" have immigration consequences. He alleges, however, that he and his counsel were unaware that his plea would make him subject to mandatory removal from the United States and would bar his future reentry. He further asserts that, but for his ignorance, he would not have entered
In this case, however, the trial court did not rule on whether Patterson had credibly demonstrated that he would not have entered a guilty plea to possession of a controlled substance had he known the plea's immigration consequences. Rather, in denying Patterson's motion, the trial court concluded that even if Patterson was unaware of the actual immigration consequences of his guilty plea, he could not, as a matter of law, show good cause to withdraw that plea because he had been advised that his plea "may" have adverse immigration consequences. This was error. We accordingly reverse the judgment of the Court of Appeal and direct it to remand this case to the trial court, so that the trial court may exercise its discretion to determine whether Patterson has shown good cause to withdraw his guilty plea on grounds of mistake or ignorance.[6]
6 In support of his argument that the trial court properly denied the motion to withdraw the guilty plea, the Attorney General relies on People v. Flores (1974) 38 Cal.App.3d 484 , 113 Cal.Rptr. 272 , People v. Quesada (1991) 230 Cal.App.3d 525 , 281 Cal.Rptr. 426 , and People v. Castaneda (1995) 37 Cal.App.4th 1612 , 44 Cal.Rptr.2d 666 . All three cases are distinguishable. In Flores , the Court of Appeal concluded that the trial court had not abused its discretion when it denied the motion to withdraw of a defendant who was aware the plea would render him deportable, but was not aware of the risk that federal authorities would in fact deport him. ( Flores , supra , 38 Cal.App.3d at p. 488, 113 Cal.Rptr. 272 .) In Quesada , the court, relying on Flores , similarly concluded that the trial court had not abused its discretion when it denied a withdrawal motion by a defendant who not only received the standard section 1016.5 advisement, but who also, the court inferred from the record, was aware of a specific risk of deportation in his particular case. ( Quesada , supra , 230 Cal.App.3d at p. 539, 281 Cal.Rptr. 426 .) In Castaneda , the defendant sought to withdraw his plea under section 1016.5, subdivision (b), on the ground that he had not received the required advisement, even though he had previously received the advisement in a different criminal proceeding. The court concluded that a defendant who is aware of the content of that advisement may not file a special motion to withdraw under section 1016.5, subdivision (b). ( Castaneda , supra , 37 Cal.App.4th at pp. 1619-1620, 44 Cal.Rptr.2d 666 .) In none of these cases did the court conclude that receipt of the section 1016.5 advisement categorically bars a noncitizen defendant from seeking to withdraw a guilty plea under section 1018 based on a lack of awareness that the plea would render the defendant deportable.
III
IV
The trial court may, in its discretion, elect to consolidate the habeas corpus proceedings with the motion to withdraw the guilty plea, and to resolve both matters in a single evidentiary hearing.
We reverse the judgment of the Court of Appeal. The Court of Appeal is directed to remand the matter to the trial court for further proceedings consistent with this opinion. In a separate order to be filed when this matter becomes final, we will transfer the original habeas corpus petition filed in this court to the superior court for further proceedings consistent with this opinion.
We Concur:
Cantil-Sakauye, C.J.
Werdegar, J.
Chin, J.
Corrigan, J.
Before entering his guilty plea, Patterson initialed and signed a plea form that stated, in accordance with Penal Code section 1016.5 : "If I am not a citizen of the United States, I understand that this conviction may have the consequences of deportation, exclusion from admission to the United States, or denial of naturalization pursuant to the laws of the United States."[2] He also stated in court that he had reviewed the plea form with his attorney and had no questions. When asked by the court whether he understood "everything" on the plea form, Patterson replied that he did.
2 We use the terms "deportation" and "removal" interchangeably. (See Calcano-Martinez v. I.N.S . (2001) 533 U.S. 348 , 350, fn. 1, 121 S.Ct. 2268 , 150 L.Ed.2d 392 [noting that, as part of 1996 amendments to the immigration statute, references to "deportation" in the Immigration and Nationality Act were replaced with the term "removal"].)
The Court of Appeal consolidated Patterson's appeal and his habeas corpus petition. On Patterson's appeal from denial of the motion to withdraw his guilty plea, the Court of Appeal affirmed the trial court's judgment. The court concluded that the section 1016.5 advisement sufficiently informed Patterson of the immigration consequences of his conviction, even though he "was not clear what those consequences may be." The Court of Appeal denied Patterson's habeas corpus petition without issuing an order to show cause or conducting an evidentiary hearing. The court first concluded that trial counsel was not ineffective. The court reasoned that a criminal defense attorney's responsibility is to advise the defendant "that serious immigration consequences could result from the conviction," and that Patterson had been so advised, as evidenced by his having initialed a box on his felony plea form acknowledging that his conviction " 'may have the consequence[ ] of deportation.' " The Court of Appeal further concluded that Patterson was not, in any event, prejudiced by his counsel's alleged deficiency. The court acknowledged Patterson's assertion that he would not have pleaded guilty had he been aware that the plea would render him deportable, but noted that such self-serving allegations are not sufficient to show prejudice. On the other hand, the court noted, Patterson had not alleged that trial counsel inaccurately conveyed the plea offer to him, Patterson was facing a maximum of 10 years in prison if he was convicted, and a conviction would nevertheless have rendered him deportable.
Patterson filed a petition for review challenging the Court of Appeal's affirmance of his convictions and its denial of his habeas corpus petition. We granted the petition with respect to the appeal. As to his attack on the denial of his habeas corpus petition, we ordered the petition for review (to which the exhibits from his habeas corpus petition in the Court of Appeal were attached) refiled as an original habeas corpus petition, and we issued an order directing the Chief Probation Officer of the Riverside County Probation Department to show cause why the relief prayed for should not be granted. The Attorney General has filed a return to the order to show cause on behalf of the probation officer, and Patterson has filed a traverse.
Responding to much the same concerns, the Legislature enacted section 1016.5 in 1977. Intended "to promote fairness" for noncitizen defendants who may not be aware that a conviction of certain offenses may have severe immigration consequences (§ 1016.5, subd. (d) ), the provision instructs that before a court accepts any "plea of guilty or nolo contendere to any offense punishable as a crime under state law, except offenses designated as infractions under state law," it must advise the defendant as follows: "If you are not a citizen, you are hereby advised that conviction of the offense for which you have been charged may have the consequences of deportation,
Nor does it appear that the Legislature that enacted section 1016.5 intended the required advisements to serve as a categorical bar to the withdrawal of a guilty plea on grounds of mistake or ignorance. Addressing a similar issue in In re Resendiz (2001) 25 Cal.4th 230 , 105 Cal.Rptr.2d 431 , 19 P.3d 1171 ( Resendiz ), abrogated in part on other grounds by Padilla , supra , 559 U.S. at page 370, 130 S.Ct. 1473 , we held that receipt of the section 1016.5 advisement does not bar a criminal defendant from challenging his conviction on the ground that his counsel was ineffective in failing to adequately advise him about the immigration consequences of entering a guilty plea. ( Resendiz , at pp. 241, 105 Cal.Rptr.2d 431 , 19 P.3d 1171 (lead opn. of Werdegar, J.), 255 (conc. & dis. opn. of Mosk, J.).) We explained that, under section 1016.5, "defendants who wish to plead guilty are entitled to receive from the court some advice regarding immigration consequences-a general warning of three immigration consequences that 'may' occur. [Citation.] In evaluating the court's advice, '[t]he defendant can be expected to rely on counsel's independent evaluation of
In defending the trial court's ruling, the Attorney General relies on cases holding that a trial court generally has no duty to advise defendants of collateral consequences of a plea, including immigration consequences. (See, e.g., U.S. v. Delgado-Ramos (9th Cir. 2011) 635 F.3d 1237 [due process does not require trial court to advise the defendant of a plea's immigration consequences].) This is true, but the focus of a section 1018 inquiry is not what the trial court told the defendant; it is, rather, what the defendant knew when entering the plea. As we explained in Giron , to hold that ignorance of specific immigration consequences may constitute good cause to withdraw a plea is not to hold that the trial court is under a duty to provide such case-specific immigration advice. ( Giron , supra , 11 Cal.3d at p. 797, 114 Cal.Rptr. 596 , 523 P.2d 636 .) Even when a
Patterson's motion to withdraw his guilty plea was not, in short, categorically
Although the superior court previously denied the habeas corpus petition Patterson filed in that court, it did so without issuing an order to show cause or conducting an evidentiary hearing. Our issuance of an order to show cause in this matter reflects this court's determination, contrary to that of the superior court, that Patterson has stated a prima facie claim for relief. ( People v. Superior Court (Pearson) (2010) 48 Cal.4th 564 , 572, 107 Cal.Rptr.3d 265 , 227 P.3d 858 ["A court issues an order to show cause in a habeas corpus matter only when the petitioner has stated a prima facie case for relief on one or more claims."].) That determination does not, of course, mean that his conviction must be overturned. Issuance of an order to show cause is, rather, "an intermediate but nonetheless vital step in the process of determining whether the court should grant the affirmative relief that the petitioner has requested," which institutes " 'a proceeding in which issues of fact are to be framed and decided.' " ( People v. Romero (1994) 8 Cal.4th 728 , 740, 35 Cal.Rptr.2d 270 , 883 P.2d 388 ( Romero ).) We express no view as to whether Patterson will ultimately be entitled to relief on his habeas corpus claim.
In the event the trial court finds it necessary to evaluate Patterson's habeas petition, it must employ a two-step process. First, the court must determine "whether counsel's representation 'fell below an objective standard of reasonableness,' " as judged by " 'prevailing professional norms.' " ( Padilla , supra , 559 U.S. at p. 366, 130 S.Ct. 1473 , quoting Strickland v. Washington (1984) 466 U.S. 668 , 688, 104 S.Ct. 2052 , 80 L.Ed.2d 674 .) Second, the court must determine whether " 'there is a reasonable probability that, but for counsel's unprofessional errors, the result of the proceeding would have been different.' " ( Ibid. )
Cases cited
- In re Brown 9 Cal.3d 679 p. 102
- People v. Superior Court 43 Cal.4th 737 p. 102
- Padilla v. Kentucky 559 U.S. 356 p. 103, p. 108, p. 898, p. 901, p. 1177, p. 1180
- People v. Superior Court 11 Cal.3d 793 p. 889
- People v. Cruz 12 Cal.3d 562 p. 894
- People v. Superior Court 23 Cal.4th 183 p. 895
- People v. Burkett 118 Cal.App.2d 204 p. 898
- Immigration & Naturalization Service v. St. Cyr 533 U.S. 289 p. 1177
- In re Resendiz 25 Cal.4th 230 p. 1177
- In re Hawthorne 35 Cal.4th 40 p. 1180
- People v. Superior Court 48 Cal.4th 564 p. 1180
- People v. Romero 8 Cal.4th 728 p. 1180
- Strickland v. Washington 466 U.S. 668 p. 1180