SUPREME COURT OF THE UNITED STATES
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No. 16–327
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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, 62, 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.