State v. Nkiam
State v. Nkiam
Opinion
*777
Defendant Archimede N. Nkiam, an alien who had obtained permanent legal resident status in the United States, appeals from an order denying his motion for appropriate relief ("MAR") that, asserted a claim of ineffective assistance of counsel ("IAC") with respect to his guilty plea to two crimes that led to the initiation of deportation proceedings. On appeal, defendant argues that the trial court should have granted his MAR based on
*778
Padilla v. Kentucky,
Facts
Defendant was born on 5 January 1990 in the Democratic Republic of Congo ("DRC"). Defendant moved to the United States and settled in Raleigh with his family when he was about 11 years old. Defendant was admitted for an indefinite period as a returning asylee, and he later became a permanent resident of the United States after obtaining a green card.
On 24 February 2012, defendant was arrested in connection with an armed robbery of Jocqui Brown. On 16 April 2012, defendant was charged with having used a knife or pistol to commit armed robbery of Mr. Brown's personal property having a value of $50.00, including a cell phone and a ball cap. Defendant was also charged with conspiring with Terrence Mitchell and Leslie Martine to rob Mr. Brown. Attorney Deonte Thomas, a Wake County public defender, was assigned to represent defendant on the charges, and defendant met with Mr. Thomas several times about his case.
At a hearing on 7 January 2013, defendant appeared in Wake County Superior Court before Judge G. Wayne Abernathy to accept a plea offer that allowed him to plead guilty to aiding and abetting common law robbery, a Class G felony, and conspiracy to commit common law robbery, a Class H felony. After conducting a colloquy with defendant, Judge Abernathy accepted defendant's plea and sentenced him to two consecutive suspended sentences. For the aiding and abetting charge, defendant received a sentence of 13 to 25 months imprisonment, which was suspended and defendant was placed on 24 months of supervised probation. For the conspiracy charge, defendant was placed on an additional 24 months of supervised probation after suspension of a sentence of six to 17 months imprisonment.
Following defendant's guilty plea, the federal government initiated deportation proceedings against defendant. In January 2013, defendant was detained by immigration officials and transported to an immigration holding facility in Atlanta.
*779 On 3 April 2013, defendant filed an MAR asserting IAC that the trial court denied *865 without a hearing on 1 May 2013. This Court granted defendant's petition for writ of certiorari, reversed the trial court's order, and remanded for an evidentiary hearing. On 15 November 2013, the trial court held an evidentiary hearing at which Mr. Thomas, defendant, defendant's father, and an immigration law expert, Hans Linnartz, testified. Following the hearing, the trial court entered an order making the following pertinent findings of fact.
The trial court found that, following his arrest, defendant received "at a minimum" the following information regarding the immigration consequences of his guilty plea:
a. Defendant was informed by his attorney prior to accepting the plea that there was at least a possibility it could result in his deportation from the United States;
b. Defendant reviewed and answered question # 8 on the Transcript of Plea form with his attorney, indicating that he was a permanent U.S. resident born in Congo, and that he understood his plea of guilty could therefore result in deportation from the country;
c. Judge Abernathy informed Defendant that his guilty plea "would make him subject to deportation," and his attorney responded by confirming that it could result in his deportation.
d. Defendant's attorney stated during the colloquy that he hoped the Defendant would not actually be deported, but also stated "we told him we can't do anything with that."
e. Judge Abernathy directly cautioned the Defendant that: i) his guilty plea could result in deportation; ii) the judge had no control over that in state court; and, iii) he could not make Defendant any promises about what would happen with his potential deportation.
f. During the colloquy, Defendant was asked three different times whether he understood that his plea could have immigration consequences, and each time the Defendant answered that he understood.
*780 The trial court then further found that defendant testified that if he had "been advised of the high likelihood that he would be deported as a result of his negotiated plea, he would not have accepted it." However, the trial court also found that "[i]n reviewing the overall reasonableness of Defendant's decision to accept the original plea agreement," there was a "sound factual basis for th[e] plea," including (1) anticipated testimony from the victim, Mr. Brown, identifying defendant, Mr. Mitchell, and Mr. Martine as being involved in the robbery, as well as their car, the weapons used, and the stolen property found in defendant's and his accomplices' possession; (2) evidence that officers apprehended defendant and the other two men 30 minutes after Mr. Brown reported the crime; and (3) Mr. Mitchell's agreement in exchange for a plea to testify that defendant was driving when the robbery was committed although Mr. Mitchell denied any weapons were used.
The trial court found that had defendant proceeded to trial on the robbery with a dangerous weapon charge, he could have been sentenced to 51 to 74 months in prison and would be subject to the same immigration consequences he now faces. On the other hand, the trial court acknowledged that defendant and his father both testified as to their fears of political and ethnic persecution if defendant were to return to DRC.
The trial court then determined that, given its review of defendant's testimony, the relevant immigration statutes, and Mr. Linnartz' testimony,
a. Defendant's conviction constituted an "aggravated felony" under8 U.S.C. § 1101 , since it carried a potential prison sentence of at least twelve months.
b. Defendant therefore became "removable" and subject to deportation by accepting the plea, pursuant to8 U.S.C. § 1227 , and he is not eligible for Asylum or Cancellation of Removal relief. 8 U.S.C. § 1229b ;8 U.S.C. § 1158 .
c. However, several other avenues of relief from deportation were (and in some cases still are) possible for Defendant, such as:
i. Withholding of Removal (8 U.S.C. § 1231 );
*866 ii. Appeal of a denial of Withholding to the Immigration Board of Appeals or the 11th Circuit Court of Appeals (8 CFE § 1003;8 U.S.C. § 1252 );
*781 iii. Convention Against Torture ("CAT") Relief (8 C.F.R. § 208.16 );
iv. Stay of Removal on discretionary grounds (8 C.F.R. § 241.6 ).
Although these avenues were extremely difficult to achieve, according to Mr. Linnartz, defendant and his father had testified to the threat of political persecution in the Congo, and the trial court found defendant "therefore had a reasonable basis for asserting such a claim for relief."
Based on these findings of fact, the trial court concluded that for trial counsel to satisfy his responsibility to advise his client regarding the immigration consequences of a plea,
Padilla's
"final holding" was that counsel need only " 'inform her client whether his plea carries a
risk
of deportation.' " (Quoting
Padilla,
The trial court then distinguished
Padilla
on the grounds that counsel for the defendant in
Padilla
"incorrectly 'provided him with false assurance that his conviction would not result in his deportation[,]' " (quoting
Padilla,
Discussion
Defendant's sole argument on appeal is that the trial court erred in denying his MAR because the trial court misapplied the standard for determining IAC under Padilla. This Court has explained,
*782 "When considering rulings on motions for appropriate relief, we review the trial court's order to determine whether the findings of fact are supported by evidence, whether the findings of fact support the conclusions of law, and whether the conclusions of law support the order entered by the trial court." State v. Frogge,359 N.C. 228 , 240,607 S.E.2d 627 , 634 (2005).... However, "[i]f the issues raised by Defendant's challenge to [the trial court's] decision to deny his motion for appropriate relief are primarily legal rather than factual in nature, we will essentially use a de novo standard of review in evaluating Defendant's challenges to [the court's] order." State v. Jackson, [220] N.C.App. [1], [8],727 S.E.2d 322 , 329 (2012) [.]
State v. Marino,
--- N.C.App. ----, ----,
To prevail on an IAC claim,
"[F]irst, the defendant must show that counsel's performance was deficient. This requires showing that counsel made errors so serious that counsel was not functioning as the 'counsel' guaranteed the defendant by the Sixth Amendment. Second, the defendant must show that the deficient performance prejudiced the defense. This requires showing that counsel's errors were so serious as to deprive the defendant of a fair trial, a trial whose result is reliable. "
State v. Braswell,
This case is the first in which our appellate courts have been called upon to interpret and apply
Padilla's
holding. In
*867
Padilla,
After discovering that his pleas made him deportable, the defendant filed a postconviction IAC proceeding in Kentucky state court seeking to withdraw his guilty pleas.
Padilla,
After the defendant was denied relief in the Kentucky Supreme Court, the United States Supreme Court granted certiorari to address whether, under the Sixth Amendment right to effective assistance of counsel, defense counsel had "an obligation to advise [a client] that [an] offense to which he was pleading guilty
would result in his removal
from this country."
The
Padilla
majority acknowledged that, given the change in deportation law, " '[p]reserving the client's right to remain in the United States may be more important to the client than any potential jail sentence[,]' " and "[t]he weight of prevailing professional norms supports the view that counsel must advise her client regarding the risk of deportation."
The
Padilla
majority, therefore, held that "counsel must inform her client whether his plea carries a risk of deportation. Our longstanding Sixth Amendment precedents, the seriousness of deportation as a consequence of a criminal plea, and the concomitant impact of deportation
*784
on families living lawfully in this country demand no less."
Indeed, the majority noted that "were a defendant's lawyer to know that a particular offense would result in the client's deportation and that, upon deportation, the client and his family might well be killed due to circumstances in the client's home country, any decent attorney would inform the client of the consequences of his plea. We think the same result should follow when the stakes are not life and death but merely 'banishment or exile [.]' "
The
Padilla
majority recognized the tension between the harshness of deportation and the fact that "[i]mmigration law can be complex, and it is a legal specialty of its own. Some members of the bar who represent clients facing criminal charges ... may not be well versed in it. There will, therefore, undoubtedly be numerous situations in which the deportation consequences of a particular plea are unclear or uncertain."
Id.
at 369,
Given this tension, the majority set out the following Sixth Amendment duty that an attorney owes to a noncitizen defendant:
The duty of the private practitioner in [unclear or uncertain] cases is ... limited. When the law is not succinct and straightforward (as it is in many of the scenarios posited by Justice ALITO [in his concurring opinion] ), a criminal defense attorney need do no more than advise a noncitizen client that pending criminal charges may carry a risk of adverse immigration consequences. But when the deportation consequence is truly clear ... the duty to give correct advice is equally clear.
*785
In
Padilla,
whether the defendant was subject to mandatory deportation was "truly clear," and his appeal was "not a hard case in which to find deficiency [.]"
The
Padilla
majority, therefore, agreed with the defendant that, in his case, "constitutionally competent counsel would have advised him that his conviction for drug distribution made him subject to automatic deportation."
In this case, the State asserts that
Padilla
still requires no more than that "counsel must inform her client whether his plea carries a
risk
of deportation."
Moreover, Justice Alito's opinion concurring in the result confirms our interpretation of the majority opinion. Justice Alito warned, "the Court's opinion would not just require defense counsel to warn the
*786
client of a general
risk
of removal; it would also require counsel in at least some cases, to specify what the removal
consequences
of a conviction would be."
We hold that
Padilla
mandates that when the consequence of deportation is truly clear, it is not sufficient for the attorney to advise the client only that there is a risk of deportation. The State, however, alternatively contends that
Padilla's
holding should be limited to the facts of that case and, therefore, apply only when a noncitizen defendant pleads guilty to a deportable offense under
In support of its argument that deportation can never be a truly clear consequence when a defendant pleads guilty to an aggravated offense, the State cites no authority other than Justice Alito's opinion concurring in the result, which noted that whether an alien is convicted of an aggravated felony is not always easy to determine.
See
Padilla
,
However, numerous other courts considering guilty pleas to aggravated felonies have concluded that the immigration consequences of such pleas can be truly clear.
See, e.g.,
*787
United States v. Bonilla,
We hold that Padilla is not limited to its facts and that the deportation consequences resulting from a guilty plea to an aggravated felony may, depending on the particular offense, be truly clear within the meaning of Padilla. Defendant asserts that, in this case, (1) the offenses of aiding and abetting common law robbery and conspiracy to commit common law robbery were aggravated felonies, and (2) the deportation consequences of defendant's guilty plea were truly *870 clear. Therefore, according to defendant, mere advice that his guilty plea gave rise to a risk of deportation was not adequate under Padilla.
The State does not seriously dispute that defendant's offenses amount to aggravated felonies.
Moreover, the relevant provisions of the United States Code plainly indicate that defendant's deportation upon entering his guilty plea was "presumptively mandatory."
See
Padilla,
When other courts have found deportation consequences unclear for particular guilty pleas, they have pointed to the need for trial counsel to look beyond the plain language of the United States Code in order to reach a conclusion regarding the deportation consequences for the defendant.
See, e.g.,
United States v. Chan Ho Shin,
Rather than argue that it was unclear whether defendant was subject to presumptive mandatory deportation, the State contends that the deportation consequences for defendant were not truly clear because of the availability of other "various forms of relief from deportation," as referenced in the trial court's order. These forms of relief include Withholding of Removal,
According to the uncontradicted testimony of defendant's immigration law expert Mr. Linnartz, these avenues of relief from deportation were "in the realm of mathematical possibility," but such relief was a "remote possibility" at the time defendant entered his guilty plea. With respect to Withholding of Removal and the Convention Against Torture, Mr. Linnartz testified that this type of relief was rarely granted, did not confer lawful *871 legal status, and the deferral of deportation would be lifted as soon as the threat to the defendant abated. With respect to the Stay of Removal, Mr. Linnartz explained that such relief was only temporary-such as in the event of a medical emergency-and was almost never granted to an alien being deported due to a criminal conviction. Mr. Linnartz emphasized that (1) none of the forms of relief would eliminate the deportation order, (2) a defendant could end up spending his life in a detention facility, (3) a defendant could be deported to a third country if there was a fear of persecution, and (4) lawful status would never be conferred.
The State has cited no authority supporting its contention that the possible availability of these forms of rare relief render defendant's deportation consequences unclear. In
Padilla,
the majority opinion noted the potential availability to the defendant of an avenue of relief from a deportation order: 8 U.S.C. § 1229b, which grants the Attorney General discretionary authority to cancel an alien's removal.
*790
Moreover, we believe that
Padilla's
holding would be substantially undermined by the State's contention, if accepted, that the theoretical availability of relief that does not eliminate the deportation order and grant lawful status renders the law unclear. One or more of the avenues of relief relied upon by the trial court would theoretically be available to most defendants. We note that other courts have rejected the State's approach, and the State has cited no authority supporting it.
See
Encarnacion,
Consequently, we hold that the deportation consequences of defendant's guilty plea were truly clear in this case. Trial counsel was required, therefore, under
Padilla,
"to give correct advice" and not just advise defendant that his "pending criminal charges may carry a risk of adverse immigration consequences."
The trial court's findings establish only that defendant's trial counsel informed him that he could be deported, that the trial court had no control over deportation, that his plea could have immigration consequences, and that his attorney hoped that defendant would not actually be deported. While the State points to the attorney's testimony that he told defendant "you're not a legal citizen[ and] it's going to result in deportation," Mr. Thomas clarified, when asked about the accuracy of that statement, that he actually advised defendant that he "could possibly be subject to deportation." Indeed, Mr. Thomas gave defendant a false assurance when he told Judge Abernathy: "We told [defendant] we can't do anything with [deportation], and I'm hoping that my past experience doing this kind of things [sic]-
*872
the Congo is not one of the places they're apt to send you back to."
1
*791
The trial court's findings and the evidence, therefore, show that defendant was only advised of the risk of deportation. This advice was not sufficient under
Padilla
because it did not adequately advise defendant of the likelihood of deportation.
See, e.g.,
Hernandez v. State,
We need not determine precisely what advice Mr. Thomas should have given defendant because, here, there can be no question that Mr. Thomas' advice fell short of what Padilla required. Defendant has, therefore, shown that he received ineffective assistance of counsel.
Turning to the question whether defendant was prejudiced by the inadequate advice, the State contends that any prejudice defendant might have suffered as a result of misadvice by Mr. Thomas was cured by the plea colloquy conducted by Judge Abernathy prior to defendant's entering his plea. In
Missouri v. Frye,
--- U.S. ----, ----,
At the plea entry proceedings the trial court and all counsel have the opportunity to establish on the record that the defendant understands ... the advantages and disadvantages of accepting [the plea deal.] ... [ N]evertheless, there may be instances when claims of ineffective assistance can arise after the conviction is entered. Still, the State, and the trial court itself, have ... a substantial opportunity to guard against this contingency by establishing at the plea entry proceeding that the defendant has been given proper advice or, if the advice received appears to have been inadequate, to remedy that deficiency before the plea is accepted and the conviction entered.
At the plea hearing in this case, Judge Abernathy announced that defendant's "guilty plea 'would make him subject to deportation[.]' " However, this isolated statement, when read in the context of the entire colloquy, cannot reasonably be read as advising defendant that his plea would certainly result in deportation. Immediately following this statement, Mr. Thomas interjected that defendant's plea "possibly could"
*792
make him subject to deportation. Then, the trial court asked defendant whether he understood that "there's a possibility, because you're not a U.S. citizen, upon your plea of guilty you could be deported from this country or denied readmission[,]" to which defendant replied that he did. Thus, the advice in the colloquy, which merely advised defendant of the risk of deportation, was incorrect and inadequate and did not cure any possible prejudice.
See
Enyong,
The question remains whether defendant has adequately demonstrated prejudice. In the plea context, "[t]he ... 'prejudice[ ]' requirement [ ] ... focuses on whether counsel's constitutionally ineffective performance affected the outcome of the plea process."
Hill,
In
Padilla,
upon remand, the Kentucky Court of Appeals addressed whether the defendant had been prejudiced by the incorrect advice he received from his trial counsel.
Padilla v. Commonwealth,
A reasonable probability [that a defendant, if advised adequately, would have decided to reject the plea offer] exists if the defendant convinces the court "that a decision to reject the plea bargain would have been rational under the circumstances." Padilla, [559 U.S. at 372 ]130 S.Ct. at 1485 [176 L.Ed.2d at 297 ] . This standard of proof is "somewhat lower" than the common "preponderance of the evidence" standard. Strickland,466 U.S. at 694 ,104 S.Ct. at 2068 [80 L.Ed.2d at 698 ].
....
*793 The [trial] court must determine whether the defendant's rejection of the plea offer would have been a rational choice, even if not the best choice. Necessarily, the court must consider the importance a particular defendant places upon preserving his or her right to remain in the country. A noncitizen defendant with significant ties to this country may rationally be willing to take the risk of a trial while the same decision by one who has resided in the United States for a relatively brief period of time or has no family or employment in this country may be irrational.
Id. at 328-29 (emphasis added) (internal footnote omitted).
Other jurisdictions addressing the question of prejudice in light of
Padilla
have adopted a similar approach to that taken in
Padilla II. See, e.g.,
Hernandez v. United States,
*794
State v. Tejeiro,
Some courts discussing prejudice based on insufficient advice under
Padilla
have, however, focused on whether there was a likelihood of acquittal at trial.
E.g.,
Clarke v. United States,
*795
While the United States Supreme Court in
Hill
stated that "[i]n many guilty plea cases ... the determination whether the error 'prejudiced' the defendant ... will depend in large part on a prediction whether the evidence likely would have changed the outcome of a trial,"
In this case, because the trial court concluded that defendant had failed to show that his attorney inadequately advised him, the court never addressed the prejudice prong of defendant's IAC claim. The trial court held that defendant's decision to accept the plea was reasonable, but did not consider whether rejection of the plea would be a reasonable choice given the immigration consequences. We hold that defendant presented sufficient evidence to support a finding that rejection of the plea offer would have been a rational choice for defendant, taking into account defendant's fear of deportation. Even if the evidence against defendant may have made conviction for a deportable offense likely at trial, the evidence would permit a finding that, had Mr. Thomas provided correct advice, it would have been a rational course of action for defendant to forego the plea offered to him for the chance of acquittal at trial or even just to delay deportation.
*875
"Moreover, had the immigration consequences of [defendant's] plea been factored into the plea bargaining process, trial counsel may have obtained a plea agreement that would not have the consequence of mandatory deportation."
Padilla II,
Conclusion
We hold that the trial court's findings of fact establish under
Padilla
that defendant received ineffective assistance of counsel in connection with his decision whether to enter into a guilty plea. We, therefore, reverse the trial court's denial of defendant's MAR and remand for a determination whether defendant has proven the prejudice prong of his IAC claim. In the event the trial court determines that defendant has adequately shown prejudice, the trial court must set aside defendant's conviction and allow defendant to withdraw his guilty plea.
State v. Moser,
REVERSED AND REMANDED.
Judges ELMORE and INMAN concur.
Mr. Thomas also testified that he told defendant he did not practice immigration law and that he offered to put defendant in touch with an immigration attorney if defendant ran into any trouble after pleading guilty. This advice would have erroneously suggested that defendant still could have done something to avoid deportation after pleading guilty.
We note that our own case law, consistent with other jurisdictions, forbids a finding of prejudice upon " '[a] mere allegation by the defendant that he would have insisted on going to trial [.]' "
State v. Goforth,
Reference
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- STATE of North Carolina v. Archimede N. NKIAM, Defendant.
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