SUPREME COURT OF THE UNITED STATES
_________________
No. 16–327
_________________
JAE LEE, PETITIONER
v. UNITED
STATES
on writ of certiorari to the united states
court of appeals for the sixth circuit
[June 23, 2017]
Justice Thomas, with whom Justice Alito joins
except for Part I, dissenting.
The Court today holds that a defendant can undo
a guilty plea, well after sentencing and in the face of
overwhelming evidence of guilt, because he would have chosen to
pursue a defense at trial with no reasonable chance of success if
his attorney had properly advised him of the immigration
consequences of his plea. Neither the Sixth Amendment nor this
Court’s precedents support that conclusion. I respectfully
dissent.
I
As an initial matter, I remain of the view
that the Sixth Amendment to the Constitution does not “requir[e]
counsel to provide accurate advice concerning the potential removal
consequences of a guilty plea.”
Padilla v.
Kentucky,
559 U. S. 356, 388 (2010) (Scalia, J., joined by Thomas, J.,
dissenting). I would therefore affirm the Court of Appeals on the
ground that the Sixth Amendment does not apply to the allegedly
ineffective assistance in this case.
II
Because the Court today announces a novel
standard for prejudice at the plea stage, I further dissent on the
separate ground that its standard does not follow from our
precedents.
A
The Court and both of the parties agree that
the prejudice inquiry in this context is governed by
Strickland v.
Washington, 466 U. S. 668 (1984) .
See
ante, at 5; Brief for Petitioner 16; Brief for United
States 15. The Court in
Strickland held that a defendant may
establish a claim of ineffective assistance of counsel by showing
that his “counsel’s representation fell below an objective standard
of reasonableness” and, as relevant here, that the representation
prejudiced the defendant by “actually ha[ving] an adverse effect on
the defense.” 466 U. S., at 688, 693.
To establish prejudice under
Strickland,
a defendant must show a “reasonable probability that, but for
counsel’s unprofessional errors, the result of the proceeding would
have been different.”
Id., at 694.
Strickland made
clear that the “result of the proceeding” refers to the outcome of
the defendant’s criminal prosecution as a whole. It defined
“reasonable probability” as “a probability sufficient to undermine
confidence
in the outcome.”
Ibid. (emphasis added).
And it explained that “[a]n error by counsel . . . does
not warrant setting aside the judgment of a criminal proceeding if
the error had no effect
on the judgment.”
Id., at 691
(emphasis added).
The parties agree that this inquiry assumes an
“objective” decisionmaker. Brief for Petitioner 17; Brief for
United States 17. That conclusion also follows directly from
Strickland. According to
Strickland, the “assessment
of the likelihood of a result more favorable to the defendant must
exclude the possibility of arbitrariness, whimsy, caprice,
‘nullification,’ and the like.” 466 U. S., at 695. It does not
depend on subjective factors such as “the idiosyncrasies of the
particular decisionmaker,” including the decisionmaker’s “unusual
propensities toward harshness or leniency.”
Ibid. These
factors are flatly “irrelevant to the prejudice inquiry.”
Ibid. In other words, “[a] defendant has no entitlement to
the luck of a lawless decisionmaker.”
Ibid. Instead, “[t]he
assessment of prejudice should proceed on the assumption that the
decisionmaker is reasonably, conscientiously, and impartially
applying the standards that govern the decision.”
Ibid.
When the Court extended the right to effective
counsel to the plea stage, see
Hill v.
Lockhart, 474
U. S. 52 (1985) , it held that “the same two-part standard”
from
Strickland applies. 474 U. S., at 57 (repeating
Strickland’s teaching that even an unreasonable error by
counsel “ ‘does not warrant setting aside the judgment’ ”
so long as the error “ ‘had no effect on the judgment’ ”
(quoting 466 U. S., at 691)). To be sure, the Court said—and
the majority today emphasizes—that a defendant asserting an
ineffectiveness claim at the plea stage “must show that there is a
reasonable probability that, but for counsel’s errors, he would not
have pleaded guilty and would have insisted on going to trial.” 474
U. S., at 59. But that requirement merely reflects the reality
that a defendant cannot show that the outcome of his case would
have been different if he would have accepted his current plea
anyway.[
1]* In other words, the
defendant’s ability to show that he would have gone to trial is
necessary, but not sufficient, to establish prejudice.
The
Hill Court went on to explain that
Strickland’s two-part test applies the same way in the plea
context as in other contexts. In particular, the “assessment” will
primarily turn on “a prediction whether,” in the absence of
counsel’s error, “the evidence” of the defendant’s innocence or
guilt “likely would have changed the outcome” of the proceeding.
474 U. S., at 59. Thus, a defendant cannot show prejudice
where it is “ ‘inconceivable’ ” not only that he would
have gone to trial, but also “ ‘that
if he had done so
he either would have been acquitted or, if convicted, would
nevertheless have been given a shorter sentence than he actually
received.’ ”
Ibid. (quoting
Evans v.
Meyer, 742 F. 2d 371, 375 (CA7 1984) (emphasis added)).
In sum, the proper inquiry requires a defendant to show both that
he would have rejected his plea and gone to trial
and that
he would likely have obtained a more favorable result in the
end.
To the extent
Hill was ambiguous about
the standard, our precedents applying it confirm this
interpretation. In
Premo v.
Moore, 562 U. S. 115
(2011) , the Court emphasized that “strict adherence to the
Strickland standard” is “essential” when reviewing claims
about attorney error “at the plea bargain stage.”
Id., at
125. In that case, the defendant argued that his counsel was
constitutionally ineffective because he had failed to seek
suppression of his confession before he pleaded no contest. In
analyzing the prejudice issue, the Court did not focus solely on
whether the suppression hearing would have turned out differ-ently,
or whether the defendant would have chosen to go to trial. It
focused as well on the weight of the evidence against the defendant
and the fact that he likely would not have obtained a more
favorable result at trial, regardless of whether he succeeded at
the suppression hearing. See
id., at 129 (describing the
State’s case as “formidable” and observing that “[t]he bargain
counsel struck” in the plea agreement was “a favorable one” to the
defendant compared to what might have happened at trial).
The Court in
Missouri v.
Frye, 566
U. S. 134 (2012) , took a similar approach. In that case, the
Court extended
Hill to hold that counsel could be
constitutionally ineffective for failing to communicate a plea deal
to a defendant. 566 U. S., at 145. The Court emphasized that,
in addition to showing a reasonable probability that the defendant
“would have accepted the earlier plea offer,” it is also
“necessary” to show a “reasonable probability that the end result
of the criminal process would have been more favorable by reason of
a plea to a lesser charge or a sentence of less prison time.”
Id., at 147; see also
id., at 150 (the defendant
“must show
not only a reasonable probability that he would
have accepted the lapsed plea
but also a reasonable
probability that the prosecution would have adhered to the
agreement and that it would have been accepted by the trial court”
(emphasis added)). In short, the Court did not focus solely on
whether the defendant would have accepted the plea. It instead
required the defendant to show that the ultimate outcome would have
been different.
Finally, the Court’s decision in
Lafler
v.
Cooper, 566 U. S. 156 (2012) , is to the same
effect. In that case, the Court concluded that counsel may be
constitutionally ineffective by causing a defendant to reject a
plea deal he should have accepted.
Id., at 164. The Court
again emphasized that the prejudice inquiry requires a showing that
the criminal prosecution would ultimately have ended differently
for the defendant—not merely that the defendant would have accepted
the deal. The Court stated that the defendant in those
circumstances “must show” a reasonable probability that “the
conviction or sentence, or both, under the offer’s terms would have
been less severe than under the judgment and sentence that in fact
were imposed.”
Ibid.
These precedents are consistent with our cases
governing the right to effective assistance of counsel in other
contexts. This Court has held that the right to effective counsel
applies to all “critical stages of the criminal proceedings.”
Montejo v.
Louisiana, 556 U. S. 778, 786 (2009)
(internal quotation marks omitted). Those stages include not only
“the entry of a guilty plea,” but also “arraignments,
postindictment interrogation, [and] postindictment lineups.”
Frye,
supra, at 140 (citing cases). In those
circumstances, the Court has not held that the prejudice inquiry
focuses on whether
that stage of the proceeding would have
ended differently. It instead has made clear that the prejudice
inquiry is the same as in
Strickland, which requires a
defendant to establish that he would have been better off in the
end had his counsel not erred. See 466 U. S., at 694.
B
The majority misapplies this Court’s
precedents when it concludes that a defendant may establish
prejudice by showing only that “he would not have pleaded guilty
and would have insisted on going to trial,” without showing that
“the result of that trial would have been different than the result
of the plea bargain.”
Ante, at 5, 6 (internal quotation
marks omitted). In reaching this conclusion, the Court relies
almost exclusively on the single line from
Hill that “the
defendant must show that there is a reasonable probability that,
but for counsel’s errors, he would not have pleaded guilty and
would have insisted on going to trial.” 474 U. S., at 59. For
the reasons explained above, that sentence prescribes the threshold
showing a defendant must make to establish
Strickland
prejudice where a defendant has accepted a guilty plea. In
Hill, the Court concluded that the defendant had not made
that showing, so it rejected his claim. The Court did not, however,
further hold that a defendant can establish prejudice by making
that showing alone.
The majority also relies on a case that arises
in a completely different context,
Roe v.
Flores-Ortega, 528 U. S. 470 (2000) . There, the Court
considered a defendant’s claim that his attorney failed to file a
notice of appeal. See
id., at 474. The Court observed that
the lawyer’s failure to file the notice of appeal “arguably led not
to a judicial proceeding of disputed reliability,” but instead to
“the forfeiture of a proceeding itself.”
Id., at 483. The
Court today observes that petitioner’s guilty plea meant that he
did not go to trial.
Ante, at 5. Because that trial
“ ‘never took place,’ ” the Court reasons, we cannot
“ ‘apply a strong presumption of reliability’ ” to it.
Ante, at 5–6 (quoting
Flores-Ortega,
supra, at
482–483). And because the presumption of reliability does not
apply, we may not depend on
Strickland’s statement “that
‘[a] defendant has no entitlement to the luck of a lawless
decisionmaker.’ ”
Ante, at 8 (quoting 466 U. S.,
at 695). This point is key to the majority’s conclusion that
petitioner would have chosen to gamble on a trial even though he
had no viable defense.
The majority’s analysis, however, is directly
contrary to
Hill, which instructed a court undertaking a
prejudice analysis to apply a presumption of reliability to the
hypothetical trial that would have occurred had the defendant not
pleaded guilty. After explaining that a court should engage in a
predictive inquiry about the likelihood of a defendant securing a
better result at trial, the Court said: “As we explained in
Strickland v.
Washington, supra, these predictions of
the outcome at a possible trial, where necessary, should be made
objectively, without regard for the ‘idiosyncrasies of the
particular decisionmaker.’ ” 474 U. S., at 59–60 (quoting
466 U. S., at 695). That quote comes from the same paragraph
in
Strickland as the discussion about the presumption of
reliability that attaches to the trial. In other words,
Hill
instructs that the prejudice inquiry must presume that the foregone
trial would have been reliable.
The majority responds that
Hill made
statements about presuming a reliable trial only in “discussing how
courts should analyze ‘predictions of the outcome at a possible
trial,’ ” which “will not always be ‘necessary.’ ”
Ante, at 10, n. 3 (quoting
Hill, 474 U. S.,
at 59–60). I agree that such an inquiry is not always necessary—it
is not necessary where, as in
Hill, the defendant cannot
show at the threshold that he would have rejected his plea and
chosen to go to trial. But that caveat says nothing about the
application of the presumption of reliability when a defendant can
make that threshold showing.
In any event, the Court in
Hill
recognized that guilty pleas are themselves generally reliable.
Guilty pleas “rarely” give rise to the “concern that unfair
procedures may have resulted in the conviction of an innocent
defendant.”
Id., at 58 (internal quotation marks omitted).
That is because “a counseled plea of guilty is an admission of
factual guilt so reliable that, where voluntary and intelligent, it
quite validly removes the issue of factual guilt from the case.”
Menna v.
New York, 423 U. S. 61 , n. 2
(1975) (
per curiam) (emphasis deleted). Guilty pleas, like
completed trials, are therefore entitled to the protections against
collateral attack that the
Strickland prejudice standard
affords.
Finally, the majority does not dispute that the
prejudice inquiry in
Frye and
Lafler focused on
whether the defendant established a reasonable probability of a
different outcome. The majority instead distinguishes those cases
on the ground that they involved a defendant who did not accept a
guilty plea. See
ante, at 7, n. 1. According to the
majority, those cases “articulated a
different way to show
prejudice, suited to the context of pleas not accepted.”
Ibid. But the Court in
Frye and
Lafler (and
Hill, for that matter) did not purport to establish a
“
different” test for prejudice. To the contrary, the Court
repeatedly stated that it was applying the “
same two-part
standard” from
Strickland.
Hill,
supra, at 57
(emphasis added); accord,
Frye, 566, U. S., at 140
(“
Hill established that claims of ineffective assistance of
counsel in the plea bargain context are governed by the two-part
test set forth in
Strickland”);
Lafler, 566
U. S., at 162–163 (applying
Strickland).
The majority today abandons any pretense of
applying
Strickland to claims of ineffective assistance of
counsel that arise at the plea stage. It instead concludes that one
standard applies when a defendant goes to trial
(
Strickland); another standard applies when a defendant
accepts a plea (
Hill); and yet another standard applies when
counsel does not apprise the defendant of an available plea or when
the defendant rejects a plea (
Frye and
Lafler). That
approach leaves little doubt that the Court has “open[ed] a whole
new field of constitutionalized criminal
procedure”—“plea-bargaining law”—despite its repeated assurances
that it has been applying the same
Strickland standard all
along.
Lafler,
supra, at 175 (Scalia, J.,
dissenting). In my view, we should take the Court’s precedents at
their word and conclude that “[a]n error by counsel . . .
does not warrant setting aside the judgment of a criminal
proceeding if the error had no effect on the judgment.”
Strickland, 466, U. S., at 691.
III
Applying the ordinary
Strickland
standard in this case, I do not think a defendant in petitioner’s
circumstances could show a reasonable probability that the result
of his criminal proceeding would have been different had he not
pleaded guilty. Petitioner does not dispute that he possessed large
quantities of illegal drugs or that the Government had secured a
witness who had purchased the drugs directly from him. In light of
this “overwhelming evidence of . . . guilt,” 2014 WL
1260388, *15 (WD Tenn., Mar. 20, 2014), the Court of Appeals
concluded that petitioner had “no
bona fide defense, not
even a weak one,” 825 F. 3d 311, 316 (CA6 2016). His only
chance of succeeding would have been to “thro[w] a ‘Hail Mary’ at
trial.”
Ante, at 8. As I have explained, however, the Court
in
Strickland expressly foreclosed relying on the
possibility of a “Hail Mary” to establish prejudice. See
supra, at 3.
Strickland made clear that the prejudice
assessment should “proceed on the assumption that the decisionmaker
is reasonably, conscientiously, and impartially applying the
standards that govern the decision.” 466 U. S., at 695.
In the face of overwhelming evidence of guilt
and in the absence of a bona fide defense, a reasonable court or
jury applying the law to the facts of this case would find the
defendant guilty. There is no reasonable probability of any other
verdict. A defendant in petitioner’s shoes, therefore, would have
suffered the same deportation consequences regardless of whether he
accepted a plea or went to trial. He is thus plainly better off for
having accepted his plea: had he gone to trial, he not only would
have faced the same deportation consequences, he also likely would
have received a higher prison sentence. Finding that petitioner has
established prejudice in these circumstances turns
Strickland on its head.
IV
The Court’s decision today will have
pernicious consequences for the criminal justice system. This Court
has shown special solicitude for the plea process, which brings
“stability” and “certainty” to “the criminal justice system.”
Premo, 562 U. S., at 132. The Court has warned that
“the prospect of collateral challenges” threatens to undermine
these important values.
Ibid. And we have explained that
“[p]rosecutors must have assurance that a plea will not be undone
years later,” lest they “forgo plea bargains that would benefit
defendants,” which would be “a result favorable to no one.”
Id., at 125.
The Court today provides no assurance that plea
deals negotiated in good faith with guilty defendants will remain
final. For one thing, the Court’s artificially cabined standard for
prejudice in the plea context is likely to generate a high volume
of challenges to existing and future plea agreements. Under the
majority’s standard, defendants bringing these challenges will bear
a relatively low burden to show prejudice. Whereas a defendant
asserting an ordinary claim of ineffective assistance of counsel
must prove that the ultimate outcome of his case would have been
different, the Court today holds that a defendant who pleaded
guilty need show only that he would have rejected his plea and gone
to trial. This standard does not appear to be particularly
demanding, as even a defendant who has only the “smallest chance of
success at trial”—relying on nothing more than a “ ‘Hail
Mary’ ”—may be able to satisfy it.
Ante, at 7, 8. For
another, the Court does not limit its holding to immigration
consequences. Under its rule, so long as a defendant alleges that
his counsel omitted or misadvised him on a piece of information
during the plea process that he considered of “paramount
importance,”
ante, at 10, he could allege a plausible claim
of ineffective assistance of counsel.
In addition to undermining finality, the Court’s
rule will impose significant costs on courts and prosecutors. Under
the Court’s standard, a challenge to a guilty plea will be a highly
fact-intensive, defendant-specific undertaking. Petitioner suggests
that each claim will “at least” require a “hearing to get th[e]
facts on the table.” Tr. of Oral Arg. 7. Given that more than 90
percent of criminal convictions are the result of guilty pleas,
Frye, 566 U. S., at 143, the burden of holding
evidentiary hearings on these claims could be significant. In
circumstances where a defendant has admitted his guilt, the
evidence against him is overwhelming, and he has no bona fide
defense strategy, I see no justification for imposing these
costs.
* * *
For these reasons, I would affirm the judgment
of the Court of Appeals. I respectfully dissent.