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SUPREME COURT OF THE UNITED STATES
_________________
No. 11–820
_________________
ROSELVA CHAIDEZ, PETITIONER
v. UNITED
STATES
on writ of certiorari to the united states
court of appeals for the seventh circuit
[February 20, 2013]
Justice Kagan delivered the opinion of the
Court.
In
Padilla v.
Kentucky, 559
U. S. ___ (2010), this Court held that the Sixth Amendment
requires an attorney for a criminal defendant to provide advice
about the risk of deportation arising from a guilty plea. We
consider here whether that ruling applies retroactively, so that a
person whose conviction became final before we decided
Padilla can benefit from it. We conclude that, under the
prin-ciples set out in
Teague v.
Lane,
489 U.S.
288 (1989),
Padilla does not have retroactive
effect.
I
Petitioner Roselva Chaidez hails from Mexico,
but became a lawful permanent resident of the United States in
1977. About 20 years later, she helped to defraud an automobile
insurance company out of $26,000. After federal agents uncovered
the scheme, Chaidez pleaded guilty to two counts of mail fraud, in
violation of 18 U. S. C. §1341. The District Court
sentenced her to four years of probation and ordered her to pay
restitution. Chaidez’s conviction became final in 2004.
Under federal immigration law, the offenses to
which Chaidez pleaded guilty are “aggravated felonies,” subjecting
her to mandatory removal from this country. See 8
U. S. C. §§1101(a)(43)(M)(i), 1227(a)(2)(A)(iii). But
according to Chaidez, her attorney never advised her of that fact,
and at the time of her plea she remained ignorant of it.
Immigration officials initiated removal
proceedings against Chaidez in 2009, after an application she made
for citizenship alerted them to her prior conviction. To avoid
removal, Chaidez sought to overturn that conviction by filing a
petition for a writ of
coram nobis in Federal District
Court.[
1] She argued that her
former attorney’s failure to advise her of the immigration
consequences of pleading guilty constituted ineffective assistance
of counsel under the Sixth Amendment.
While Chaidez’s petition was pending, this Court
decided
Padilla. Our ruling vindicated Chaidez’s view of the
Sixth Amendment: We held that criminal defense attorneys must
inform non-citizen clients of the risks of deportation arising from
guilty pleas. See 559 U. S., at ___ (slip op., at 9). But the
Government argued that Chaidez could not benefit from
Padilla because it announced a “new rule” and, under
Teague, such rules do not apply in collateral challenges to
already-final convictions.
The District Court determined that
Padilla “did not announce a new rule for
Teague
purposes,” and therefore should apply to Chaidez’s case. 730 F.
Supp. 2d 896, 904 (ND Ill. 2010). It then found that Chaidez’s
counsel had performed deficiently under
Padilla and that
Chaidez suffered prejudice as a result. Accordingly, the court
vacated Chaidez’s conviction. See No. 03 CR 636–6, 2010 WL 3979664
(ND Ill., Oct. 6, 2010).
The United States Court of Appeals for the
Seventh Circuit reversed, holding that
Padilla had declared
a new rule and so should not apply in a challenge to a final
conviction. “Before
Padilla,” the Seventh Circuit reasoned,
“the [Supreme] Court had never held that the Sixth Amendment
requires a criminal defense attorney to provide advice about
matters not directly related to [a] client’s criminal prosecution,”
including the risks of deporta-tion. 655 F.3d 684, 693 (2011). And
state and lower federal courts had uniformly concluded that an
attorney need
not give “advice concerning [such a]
collateral (as opposed to direct) consequenc[e] of a guilty plea.”
Id., at 690. According to the Seventh Circuit,
Padilla’s holding was new because it ran counter to that
widely accepted “distinction between direct and collateral
consequences.” 655 F. 3d, at 691. Judge Williams dissented.
Agreeing with the Third Circuit’s view, she argued that
Padilla “broke no new ground” because it merely applied
established law about a lawyer’s “duty to consult” with a client.
655 F. 3d, at 695 (quoting
United States v.
Orocio, 645 F.3d 630, 638–639 (CA3 2011) (internal quotation
marks omitted)).
We granted certiorari, 566 U. S. ___
(2012), to resolve a split among federal and state courts on
whether
Padilla applies retroactively.[
2] Holding that it does not, we affirm the Seventh
Circuit.
II
Teague makes the retroactivity of our
criminal procedure decisions turn on whether they are novel. When
we announce a “new rule,” a person whose conviction is already
final may not benefit from the decision in a habeas or similar
proceeding.[
3] Only when we
apply a settled rule may a person avail herself of the decision on
collateral review. Here, Chaidez filed her
coram nobis
petition five years after her guilty plea became final. Her
challenge therefore fails if
Padilla declared a new
rule.
“[A] case announces a new rule,”
Teague
explained, “when it breaks new ground or imposes a new obligation”
on the government. 489 U. S., at 301. “To put it
differ-ently,” we continued, “a case announces a new rule if the
result was not
dictated by precedent existing at the time
the defendant’s conviction became final.”
Ibid. And a
holding is not so dictated, we later stated, unless it would have
been “apparent to all reasonable jurists.”
Lambrix v.
Singletary,
520 U.S.
518, 527–528 (1997).
But that account has a flipside.
Teague
also made clear that a case does
not “announce a new rule,
[when] it ‘[is] merely an application of the principle that
governed’ ” a prior decision to a different set of facts. 489
U. S., at 307 (quoting
Yates v.
Aiken,
484 U.S.
211, 217 (1988)). As Justice Kennedy has explained, “[w]here
the beginning point” of our analysis is a rule of “general
application, a rule designed for the specific purpose of evaluating
a myriad of factual contexts, it will be the infrequent case that
yields a result so novel that it forges a new rule, one not
dictated by precedent.”
Wright v.
West,
505 U.S.
277, 309 (1992) (concurring in judgment); see also
Williams v.
Taylor,
529 U.S.
362, 391 (2000). Otherwise said, when all we do is apply a
general standard to the kind of factual circumstances it was meant
to address, we will rarely state a new rule for
Teague
purposes.
Because that is so, garden-variety applications
of the test in
Strickland v.
Washington,
466 U.S.
668 (1984), for assessing claims of ineffective assistance of
counsel do not produce new rules. In
Strickland, we held
that legal representation violates the Sixth Amendment if it falls
“below an objective standard of reasonableness,” as indicated by
“prevailing professional norms,” and the defendant suffers
prejudice as a result.
Id., at 687–688. That standard, we
later concluded, “provides sufficient guidance for resolving
virtually all” claims of ineffective assistance, even though their
particular circumstances will differ.
Williams, 529
U. S., at 391. And so we have granted relief under
Strickland in diverse contexts without ever suggesting that
doing so required a new rule. See,
e.g.,
ibid.;
Rompilla v.
Beard,
545 U.S.
374 (2005);
Wiggins v.
Smith,
539 U.S.
510 (2003).[
4] In like
manner,
Padilla would not have created a new rule had it
only applied
Strickland’s general standard to yet another
factual situation—that is, had
Padilla merely made clear
that a lawyer who neglects to inform a client about the risk of
deportation is professionally incompetent.
But
Padilla did something more. Before
deciding if failing to provide such advice “fell below an objective
stan-dard of reasonableness,”
Padilla considered a threshold
question: Was advice about deportation “categorically removed” from
the scope of the Sixth Amendment right to counsel because it
involved only a “collateral consequence” of a conviction, rather
than a component of the criminal sentence? 559 U. S., at ___
(slip op., at 7–9).[
5] In other
words, prior to asking
how the
Strickland test
applied (“Did this attorney act unreasonably?”),
Padilla
asked
whether the
Strickland test applied (“Should we
even evaluate if this attorney acted unreasonably?”). And as we
will describe, that preliminary question about
Strickland’s
ambit came to the
Padilla Court unsettled—so that the
Court’s answer (“Yes,
Strickland governs here”) required a
new rule.
The relevant background begins with our decision
in
Hill v.
Lockhart,
474 U.S.
52 (1985), which explicitly left open whether advice concerning
a collateral consequence must satisfy Sixth Amendment requirements.
Hill pleaded guilty to first-degree murder after his attorney
misinformed him about his parole eligibility. In addressing his
claim of ineffective assistance, we first held that the
Strickland standard extends generally to the plea process.
See
Hill, 474 U. S., at 57. We then determined,
however, that Hill had failed to allege prejudice from the lawyer’s
error and so could not prevail under that standard. See
id.,
at 60. That conclusion allowed us to avoid another, more
categorical question: whether advice about parole (however
inadequate and prejudicial) could possibly violate the Sixth
Amendment. The Court of Appeals, we noted, had held “that parole
eligibility is a collateral rather than a direct consequence of a
guilty plea, of which a defendant need not be informed.”
Id., at 55. But our ruling on prejudice made “it unnecessary
to determine whether there may be circumstances under which” ad-
vice about a matter deemed collateral violates the Sixth Amendment.
Id., at 60.[
6]
That non-decision left the state and lower
federal courts to deal with the issue; and they almost unanimously
concluded that the Sixth Amendment does not require attorneys to
inform their clients of a conviction’s collateral consequences,
including deportation. All 10 federal appellate courts to consider
the question decided, in the words of one, that “counsel’s failure
to inform a defendant of the collateral consequences of a guilty
plea is never” a violation of the Sixth Amendment.
Santos-
Sanchez v.
United States, 548 F.3d 327,
334 (CA5 2008).[
7] That
constitutional guarantee, another typical decision expounded,
“assures an accused of effective assistance of counsel in
‘
criminal prosecutions’ ”; accordingly, advice about
matters like de- portation, which are “not a part of or enmeshed in
the criminal proceeding,” does not fall within the Amendment’s
scope.
United States v.
George, 869 F.2d 333, 337
(CA7 1989). Appellate courts in almost 30 States agreed.[
8] By contrast, only two state courts
held that an attorney could violate the Sixth Amendment by failing
to inform a client about deportation risks or other collateral
consequences of a guilty plea.[
9] That imbalance led the authors of the principal
scholarly article on the subject to call the exclusion of advice
about collateral consequences from the Sixth Amendment’s scope one
of “the most widely recognized rules of American law.” Chin &
Holmes, Effective Assistance of Counsel and the Consequences of
Guilty Pleas, 87 Cornell L. Rev. 697, 706 (2002).[
10]
So when we decided
Padilla, we answered a
question about the Sixth Amendment’s reach that we had left open,
in a way that altered the law of most jurisdictions—and our
reasoning reflected that we were doing as much. In the normal
Strickland case, a court begins by evaluating the
reasonableness of an attorney’s conduct in light of professional
norms, and then assesses prejudice. But as earlier indicated, see
supra, at 5–6,
Padilla had a different starting
point. Before asking whether the performance of Padilla’s attorney
was deficient under
Strickland, we considered (in a
separately numbered part of the opinion) whether
Strickland
applied at all. See 559 U. S., at ___ (slip op., at 7–9). Many
courts, we acknowledged, had excluded advice about collateral
matters from the Sixth Amendment’s ambit; and deportation, because
the consequence of a distinct civil proceeding, could well be
viewed as such a matter. See
id., at ___ (slip op., at 7).
But, we continued, no decision of our own committed us to “appl[y]
a distinction between direct and collateral consequences to define
the scope” of the right to counsel.
Id., at ___ (slip op.,
at 8). And however apt that distinction might be in other contexts,
it should not exempt from Sixth Amendment scrutiny a lawyer’s
advice (or non-advice) about a plea’s deportation risk.
Deportation, we stated, is “unique.”
Ibid. It is a
“particularly severe” penalty, and one “intimately related to the
criminal process”; indeed, immigration statutes make it “nearly an
automatic result” of some convictions.
Ibid. We thus
resolved the threshold question before us by breaching the
previously chink-free wall between direct and collateral
consequences: Notwithstanding the then-dominant view,
“
Strickland applies to Padilla’s claim.”
Id., at ___
(slip op., at 9).
If that does not count as “break[ing] new
ground” or “impos[ing] a new obligation,” we are hard pressed to
know what would.
Teague, 489 U. S., at 301. Before
Padilla, we had declined to decide whether the Sixth
Amendment had any relevance to a lawyer’s advice about matters not
part of a criminal proceeding. Perhaps some advice of that kind
would have to meet
Strickland’s reasonableness standard—but
then again, perhaps not: No precedent of our own “
dictated”
the answer.
Teague, 489 U. S., at 301. And as the lower
courts filled the vacuum, they almost uniformly insisted on what
Padilla called the “categorica[l] remov[al]” of advice about
a conviction’s non-criminal consequences—including deportation—from
the Sixth Amendment’s scope. 559 U. S., at ___ (slip op., at
9). It was
Padilla that first rejected that categorical
approach—and so made the
Strickland test operative—when a
criminal lawyer gives (or fails to give) advice about immigration
consequences.[
11] In
acknowledging that fact, we do not cast doubt on, or at all
denigrate,
Padilla. Courts often need to, and do, break new
ground; it is the very premise of
Teague that a decision can
be right and also be novel. All we say here is that
Padilla’s holding that the failure to advise about a
non-criminal consequence could violate the Sixth Amendment would
not have been—in fact, was not—“apparent to all reasonable jurists”
prior to our decision.
Lambrix, 520 U. S., at 527–528.
Padilla thus announced a “new rule.”
III
Chaidez offers, and the dissent largely
adopts, a different account of
Padilla, in which we did no
more than apply
Strickland to a new set of facts. On
Chaidez’s view,
Strickland insisted “[f]rom its inception”
that
all aspects of a criminal lawyer’s performance pass a
test of “ ‘reasonableness under prevailing professional
norms’ ”: The decision thus foreclosed any “categorical
distinction between direct and collateral consequences.” Brief for
Petitioner 21–22 (emphasis deleted) (quoting
Strickland, 466
U. S., at 688). Indeed, Chaidez contends, courts prior to
Padilla recognized
Strickland’s all-encompassing
scope and so applied its reasonableness standard to advice
concerning deportation. See Brief for Petitioner 25–26; Reply Brief
10–12. She here points to caselaw in three federal appeals courts
allowing ineffective assistance claims when attorneys affirmatively
misled their clients about the deportation consequences of guilty
pleas.[
12] The only question
left for
Padilla to resolve, Chaidez claims, was whether
professional norms also require criminal lawyers to volunteer
advice about the risk of deportation. In addressing that issue, she
continues,
Padilla did a run-of-the-mill
Strickland
analysis. And more: It did an especially easy
Strickland
analysis. We had earlier noted in
INS v.
St. Cyr,
533 U.S.
289 (2001)—a case raising an issue of immigration law unrelated
to the Sixth Amendment—that a “competent defense counsel” would
inform his client about a guilty plea’s deportation consequences.
Id., at 323, n. 50. All
Padilla had to do, Chaidez
concludes, was recite that prior finding.
But Chaidez’s (and the dissent’s) story line is
wrong, for reasons we have mostly already noted:
Padilla had
to develop new law, establishing that the Sixth Amendment applied
at all, before it could assess the performance of Padilla’s lawyer
under
Strickland. See
supra, at 5–6, 9. Our first
order of business was thus to consider whether the widely accepted
distinction between direct and collateral consequences
categorically foreclosed Padilla’s claim, whatever the level of his
attorney’s performance. We did not think, as Chaidez argues, that
Strickland barred resort to that distinction. Far from it:
Even in
Padilla we did not eschew the direct-collateral
divide across the board. See 559 U. S., at ___ (slip op., at
8) (“Whether that distinction is [generally] appropriate is a
question we need not consider in this case”). Rather, we relied on
the special “nature of deportation”—the severity of the penalty and
the “automatic” way it follows from conviction—to show that “[t]he
collateral versus direct distinction [was] ill-suited” to dispose
of Padilla’s claim.
Id., at ___ (slip op., at 8–9). All that
reasoning came before we conducted a
Strickland analysis (by
examining professional norms and so forth), and none of it followed
ineluctably from prior law.[
13]
Predictably, then, the caselaw Chaidez and the
dissent cite fails to support their claim that lower courts
“accepted that
Strickland applied to deportation advice.”
Brief for Petitioner 25; see
post, at 8–11. True enough,
three fed- eral circuits (and a handful of state courts) held
before
Pa-dilla that misstatements about deportation could
support an ineffective assistance claim. But those decisions
reasoned only that a lawyer may not affirmatively misrepresent his
expertise or otherwise actively mislead his client on any important
matter, however related to a criminal prosecution. See,
e.g.,
United States v.
Kwan,
407 F.3d 1005, 1015–1017 (CA9 2005). They co-existed happily
with precedent, from the same jurisdictions (and almost all
others), holding that deportation is not “so unique as to warrant
an exception to the general rule that a defendant need not be
advised of the [collateral] consequences of a guilty plea.”
United States v.
Campbell, 778 F.2d 764, 769 (CA11
1985).[
14] So at most,
Chaidez has shown that a minority of courts recognized a separate
rule for material misrepresentations, regardless whether they
concerned deportation or another collateral matter. That limited
rule does not apply to Chaidez’s case. And because it lived in
harmony with the exclusion of claims like hers from the Sixth
Amendment, it does not establish what she needs to—that all
reasonable judges, prior to
Padilla, thought they were
living in a
Padilla-like world.
Nor, finally, does
St. Cyr have any
relevance here. That decision stated what is common sense (and what
we again recognized in
Padilla): A reasonably competent
lawyer will tell a non-citizen client about a guilty plea’s
deportation consequences because “ ‘[p]reserving the client’s
right to remain in the United States may be more important to the
client than any potential jail sentence.’ ”
Padilla,
559 U. S., at ___ (slip op., at 10) (quoting
St. Cyr,
533 U. S., at 322). But in saying that much,
St. Cyr
did not determine that the Sixth Amendment requires a lawyer to
provide such information. Courts had held to the contrary not
because advice about deportation was insignificant to a
client—really, who could think that, whether before or after
St.
Cyr?—but because it concerned a matter collateral to the
criminal prosecution.[
15] On
those courts’ view, the Sixth Amendment no more demanded competent
advice about a plea’s deportation consequences than it demanded
competent representation in the deportation process itself.
Padilla decided that view was wrong. But to repeat: It was
Padilla that did so. In the years following
St. Cyr,
not a single state or lower federal court considering a lawyer’s
failure to provide deportation advice abandoned the distinction
between direct and collateral consequences, and several courts
reaffirmed that divide. See,
e.g., Santos-Sanchez,
548 F. 3d, at 335–336;
Broomes v.
Ashcroft,
358 F.3d 1251, 1256–1257 (CA10 2004);
United States v.
Fry,
322 F.3d 1198, 1200–1201 (CA9 2003). It took
Padilla to
decide that in assessing such a lawyer’s performance, the Sixth
Amendment sets the standard.[
16]
IV
This Court announced a new rule in
Padilla. Under
Teague, defendants whose convictions
became final prior to
Padilla therefore cannot benefit from
its holding. We accordingly affirm the judgment of the Court of
Appeals for the Seventh Circuit.
It is so ordered.