Craig v. People

• Decision Date: 04 October 1999
• Docket Number: No. 99SA159.,99SA159.
• Parties: Michael J. CRAIG, Defendant-Appellant, v. The PEOPLE of the State of Colorado, Plaintiff-Appellee.
• Court: Colorado Supreme Court

986 P.2d 951

Michael J. CRAIG, Defendant-Appellant, v. The PEOPLE of the State of Colorado, Plaintiff-Appellee.

No. 99SA159.

Supreme Court of Colorado, En Banc.

October 4, 1999.

James O. Simpson, Denver, Colorado, Attorney for Defendant-Appellant.

Ken Salazar, Attorney General, John Daniel Dailey, Assistant Solicitor General, Julia A. Thomas, Assistant Attorney General, Appellate Division Denver, Colorado, Attorneys for Plaintiff-Appellee.

David F. Vela, Colorado State Public Defender, Kathleen A. Lord, Chief Appellate Deputy, Karen N. Taylor, Deputy State Public Defender, Denver, Colorado, Attorneys for Amicus Curiae for the Defendant-Appellant.

Justice MARTINEZ delivered the Opinion of the Court.

Michael Craig initiated this appeal following the district court's denial of his Crim. P. 35(c) motion seeking relief from his plea-bargained sentence. We accepted transfer of the matter (along with a similar case)¹ from the court of appeals in order to address the relationship among the plea agreement, the advisement, and the mandatory parole requirement set forth in section 18-1-105(1)(a)(V)(A), 6 C.R.S. (1998).

We hold that issues of mandatory parole can only render invalid a defendant's waiver of constitutional rights associated with a plea of guilty in two discrete respects. First, if a defendant is explicitly promised a sentence related to mandatory parole which is contrary to the statutes, and such a promise is a material part of the plea agreement, then the defendant's plea is invalid. Such an agreement can never result in a finding of breach and an order of specific enforcement because the courts may not uphold a negotiated plea that has as its object an illegal sentence. Second, a plea that is entered without an adequate advisement of the direct consequence of mandatory parole is constitutionally infirm and subject to withdrawal unless the infirmity is harmless or can be rendered harmless by a modified legal sentence. We also hold that the omission of mandatory parole from the mittimus should be read as imposing mandatory parole and must, therefore, be corrected by the trial court.

In the instant case, we conclude that Craig was neither offered an improper inducement with regard to mandatory parole, nor inadequately advised as to this consequence of his plea. Accordingly, the post-conviction court correctly denied relief.

I.

Following Craig's 1994 arrest on various charges, he and defense counsel entered into plea negotiations with the district attorney. The parties eventually agreed to a proposed disposition and submitted it to the trial court for approval pursuant to Crim. P. 11.

The trial court conducted a providency hearing, at which time several documents related to the plea were tendered. A "WRITTEN PLEA AGREEMENT" embodied the parties' understanding that, in exchange for the People dismissing a first degree burglary charge (and withdrawing recently filed habitual criminal counts), Craig would enter a plea of guilty on the remaining charges of second degree burglary and second degree assault, both class four felonies. The written agreement also indicated that the parties had "stipulated to the following sentence concessions: stipulated 5 year DOC [Department of Corrections], both cases, concurrent, consecutive [to] present sentence."² (Emphasis added.)

Another form, entitled "REQUEST TO PLEAD GUILTY (Rule 11 Advisement)" was also completed. By his signature on this document (and his initials on each paragraph), Craig indicated his awareness of several important principles. In particular, paragraph fourteen of the advisement form provided: "I know that I could be required to serve up to five years on parole after serving a sentence." (Emphasis added.)

Finally, a document entitled "STATEMENT OF COUNSEL" was completed by Craig's attorney, and included the following certification:

I have fully discussed with the Defendant and am satisfied the Defendant understands each and every element of the charge(s) to which he/she is pleading guilty as well as the possible sentence for the conviction(s).

(Emphasis added.) During the course of the providency hearing, the trial court advised Craig on several topics. He was informed of the constitutional rights associated with trial that would be waived as a result of the plea disposition and was told, in detail, exactly what the prosecutor would be required to prove in order to obtain convictions at a trial. In addition, the court confirmed that Craig had reviewed all of the plea documents with his attorney, and determined that Craig had no questions regarding the proposed plea or any of the matters indicated in the forms he had completed. The court noted that the proposed plea disposition was for a "stipulated five year DOC sentence on both cases, with those to run concurrent," and further explained that "there's three years of mandatory parole on a Class Four Felony." Craig indicated that he understood the penalties and wished to proceed. The trial court accepted the guilty pleas and made written findings that they were knowingly, voluntarily and intelligently entered. Craig was sentenced to five years in the Department of Corrections on each count, with the sentences to run concurrently as per the agreement of the parties. However, the trial court did not include a notation on the mittimus reflecting the mandatory parole period required by section 18-1-105(1)(a)(V)(A).

On June 17, 1997, Craig filed a Crim. P. 35(c) motion for post-conviction relief claiming that he had not been advised of the mandatory parole requirement "while engaging in plea negotiations, on his written plea agreement, or during his providency and sentencing hearing." Asserting that he would not have pleaded guilty if he had known of the additional mandatory parole period, Craig claimed that his plea was "not voluntarily and intelligently given and should not have been accepted by the court." In addition, Craig complained that "[t]he term of mandatory parole imposed upon defendant exceeds his maximum, under the plea agreement, of (5) [f]ive years."

Following the post-conviction court's denial of the motion, Craig initiated this appeal. On its own motion, and pursuant to section 13-4-109, 5 C.R.S. (1998) and C.A.R. 50(b), the court of appeals requested that we accept transfer of the dispute prior to decision. Because of the number of similar cases now pending in the court of appeals and in post-conviction review proceedings in the sentencing courts, we entered an order accepting transfer of the case. We conclude that the post-conviction motion was properly denied.

II.

Beginning on July 1, 1993, all class two through six felony convictions in Colorado involving a sentence to a term of imprisonment have been subject to an additional period of "mandatory parole." See § 18-1-105(1)(a)(V)(A). An offender is subject to mandatory parole following discharge from imprisonment regardless of whether such discharge is through some form of early release under the auspices of the state board of parole, or as the result of the offender having served the entire period of confinement specified in his or her sentence. See § 18-1-105(1)(a)(V)(B).³ The exact length of the additional parole term is specified by reference to the class of felony for which the defendant was convicted. See § 18-1-105(1)(a)(V)(A). This period is mandatory, in that it may not be waived by the offender or waived or suspended by the trial court. See § 18-1-105(1)(a)(V)(B). However, "The state board of parole may discharge the offender at any time during the parole period upon a determination that the offender has been sufficiently rehabilitated and reintegrated into society and can no longer benefit from parole supervision." § 17-22.5-403(8), 6 C.R.S. (1998); see also § 18-1-105(1)(a)(V)(B).

Offenders who enter into plea dispositions but later challenge the mandatory parole requirement often seek relief through post-conviction proceedings. A great deal of confusion has arisen with regard to the proper approach to resolving these cases. We begin our analysis by first considering, and then rejecting, the view that a plea agreement contemplating an illegal sentence involving mandatory parole may be specifically enforced notwithstanding the illegality of the agreement as originally conceived. We then turn to what, in our view, is the proper analytical framework for resolving this type of case. Simply put, the courts must determine whether the waiver of constitutional rights associated with the defendant's entrance of a negotiated plea was rendered unknowing, involuntary or unintelligent by either (1) the improper inducement of a plea agreement to alter or to eliminate the term of mandatory parole; or (2) an insufficient advisement on mandatory parole in light of its status as a direct consequence of the guilty plea. Finding neither flaw in this case, we hold that the post-conviction court properly denied relief.

A.

The courts have long recognized that, "[w]hen a plea rests in any significant degree on a promise or agreement of the prosecutor, so that it can be said to be part of the inducement or consideration, such promise must be fulfilled." Santobello v. New York, 404 U.S. 257, 262, 92 S.Ct. 495, 30 L.Ed.2d 427 (1971). We have recently reaffirmed this principle. See St. James v. People, 948 P.2d 1028, 1032 (Colo.1997). If a breach is established, the appropriate remedy will generally be to give effect to the defendant's legitimate expectations arising out of the express promises made by the government. See St. James, 948 P.2d at 1033; People v. Macrander, 756 P.2d 356, 361 (Colo.1988); People v. Fisher, 657 P.2d 922, 931 (Colo.1983).

However, because mandatory parole is a statutorily prescribed sentence component that attaches automatically to any sentence involving imprisonment, a plea agreement purporting to alter this requirement represents a special case. It is important to recognize that the provisions...