Jae Lee v. United States
Jae Lee v. United States
Opinion
Petitioner Jae Lee was indicted on one count of possessing ecstasy with intent to distribute. Although he has lived in this country for most of his life, Lee is not a United States citizen, and he feared that a criminal conviction might affect his status as a lawful permanent resident. His attorney assured him there was nothing to worry about-the Government would not deport him if he pleaded guilty. So Lee, who had no real defense to the charge, opted to accept a plea that carried a lesser prison sentence than he would have faced at trial.
Lee's attorney was wrong: The conviction meant that Lee was subject to mandatory deportation from this country. Lee seeks to vacate his conviction on the ground that, in accepting the plea, he received ineffective assistance of counsel in violation of the Sixth Amendment. Everyone agrees that Lee received objectively unreasonable representation. The question presented is whether he can show he was prejudiced as a result.
I
Jae Lee moved to the United States from South Korea in 1982. He was 13 at the time. His parents settled the family in New York City, where they opened a small coffee shop. After graduating from a business high school in Manhattan, Lee set out on his own to Memphis, Tennessee, where he started working at a restaurant. After *1963 three years, Lee decided to try his hand at running a business. With some assistance from his family, Lee opened the Mandarin Palace Chinese Restaurant in a Memphis suburb. The Mandarin was a success, and Lee eventually opened a second restaurant nearby. In the 35 years he has spent in the country, Lee has never returned to South Korea. He did not become a United States citizen, living instead as a lawful permanent resident.
At the same time he was running his lawful businesses, Lee also engaged in some illegitimate activity. In 2008, a confidential informant told federal officials that Lee had sold the informant approximately 200 ecstasy pills and two ounces of hydroponic marijuana over the course of eight years. The officials obtained a search warrant for Lee's house, where they found 88 ecstasy pills, three Valium tablets, $32,432 in cash, and a loaded rifle. Lee admitted that the drugs were his and that he had given ecstasy to his friends.
A grand jury indicted Lee on one count of possessing ecstasy with intent to distribute in violation of
Lee quickly learned, however, that a prison term was not the only consequence of his plea. Lee had pleaded guilty to what qualifies as an "aggravated felony" under the Immigration and Nationality Act, and a noncitizen convicted of such an offense is subject to mandatory deportation. See
At an evidentiary hearing on Lee's motion, both Lee and his plea-stage counsel testified that "deportation was the determinative issue in Lee's decision whether to accept the plea." Report and Recommendation in No. 2:10-cv-02698 (WD Tenn.), pp. 6-7 (Report and Recommendation). In fact, Lee explained, his attorney became "pretty upset because every time something comes up I always ask about immigration status," and the lawyer "always said why [are you] worrying about something that you don't need to worry about." App. 170. According to Lee, the lawyer assured him that if deportation was not in the plea agreement, "the government cannot deport you."
The District Court, however, denied relief. Applying our two-part test for ineffective assistance claims from
Strickland v. Washington,
The Court of Appeals for the Sixth Circuit affirmed the denial of relief. On appeal, the Government conceded that the performance of Lee's attorney had been deficient. To establish that he was prejudiced by that deficient performance, the court explained, Lee was required to show "a reasonable probability that, but for counsel's errors, he would not have pleaded guilty and would have insisted on going to trial."
II
The Sixth Amendment guarantees a defendant the effective assistance of counsel at "critical stages of a criminal proceeding," including when he enters a guilty plea.
Lafler v. Cooper,
A
A claim of ineffective assistance of counsel will often involve a claim of attorney error "during the course of a legal proceeding"-for example, that counsel failed to raise an objection at trial or to present an argument on appeal.
Roe v. Flores-Ortega,
*1965
But in this case counsel's "deficient performance arguably led not to a judicial proceeding of disputed reliability, but rather to the forfeiture of a proceeding itself."
Flores-Ortega,
We instead consider whether the defendant was prejudiced by the "denial of the entire judicial proceeding ... to which he had a right."
The dissent contends that a defendant must also show that he would have been better off going to trial. That is true when the defendant's decision about going to trial turns on his prospects of success and those are affected by the attorney's error-for instance, where a defendant alleges that his lawyer should have but did not seek to suppress an improperly obtained confession.
Premo v. Moore,
Not all errors, however, are of that sort. Here Lee knew, correctly, that his prospects of acquittal at trial were grim, and his attorney's error had nothing to do with that. The error was instead one that affected Lee's understanding of the consequences of pleading guilty. The Court confronted precisely this kind of error in
Hill
. See
*1966 Lee, on the other hand, argues he can establish prejudice under Hill because he never would have accepted a guilty plea had he known that he would be deported as a result. Lee insists he would have gambled on trial, risking more jail time for whatever small chance there might be of an acquittal that would let him remain in the United States. 2 The Government responds that, since Lee had no viable defense at trial, he would almost certainly have lost and found himself still subject to deportation, with a lengthier prison sentence to boot. Lee, the Government contends, cannot show prejudice from accepting a plea where his only hope at trial was that something unexpected and unpredictable might occur that would lead to an acquittal.
B
The Government asks that we, like the Court of Appeals below, adopt a
per se
rule that a defendant with no viable defense cannot show prejudice from the denial of his right to trial. Brief for United States 26. As a general matter, it makes sense that a defendant who has no realistic defense to a charge supported by sufficient evidence will be unable to carry his burden of showing prejudice from accepting a guilty plea. But in elevating this general proposition to a
per se
rule, the Government makes two errors. First, it forgets that categorical rules are ill suited to an inquiry that we have emphasized demands a "case-by-case examination" of the "totality of the evidence."
Williams v. Taylor,
A defendant without any viable defense will be highly likely to lose at trial. And a defendant facing such long odds will rarely be able to show prejudice from accepting a guilty plea that offers him a better resolution than would be likely after trial. But that is not because the prejudice inquiry in this context looks to the probability of a conviction for its own sake. It is instead because defendants obviously weigh their prospects at trial in deciding whether to accept a plea. See
Hill,
But common sense (not to mention our precedent) recognizes that there is more to consider than simply the likelihood of success at trial. The decision whether to plead guilty also involves assessing the respective consequences of a conviction after trial and by plea. See
INS v. St. Cyr,
The Government urges that, in such circumstances, the possibility of an acquittal after trial is "irrelevant to the prejudice inquiry," pointing to our statement in
Strickland
that "[a] defendant has no entitlement to the luck of a lawless decisionmaker."
C
"Surmounting
Strickland
's high bar is never an easy task,"
Padilla v. Kentucky,
In the unusual circumstances of this case, we conclude that Lee has adequately demonstrated a reasonable probability that he would have rejected the plea had he known that it would lead to mandatory deportation. There is no question that "deportation was the determinative issue in Lee's decision whether to accept the plea deal." Report and Recommendation, at 6-7; see also Order, at 14 (noting Government did not dispute testimony to this effect). Lee asked his attorney repeatedly whether there was any risk of deportation from the proceedings, and both Lee and his attorney testified at the *1968 evidentiary hearing below that Lee would have gone to trial if he had known about the deportation consequences. See Report and Recommendation, at 12 (noting "the undisputed fact that had Lee at all been aware that deportation was possible as a result of his guilty plea, he would ... not have pled guilty"), adopted in relevant part in Order, at 15.
Lee demonstrated as much at his plea colloquy: When the judge warned him that a conviction "could result in your being deported," and asked "[d]oes that at all affect your decision about whether you want to plead guilty or not," Lee answered "Yes, Your Honor." App. 103. When the judge inquired "[h]ow does it affect your decision," Lee responded "I don't understand," and turned to his attorney for advice.
There is no reason to doubt the paramount importance Lee placed on avoiding deportation. Deportation is always "a particularly severe penalty,"
Padilla,
The Government argues, however, that under
Padilla v. Kentucky,
a defendant "must convince the court that a decision to reject the plea bargain would have been rational under the circumstances."
We cannot agree that it would be irrational for a defendant in Lee's position to reject the plea offer in favor of trial. But for his attorney's incompetence, Lee would have known that accepting the plea agreement would certainly lead to deportation. Going to trial? Almost certainly. If deportation were the "determinative issue" for an individual in plea discussions, as it was for Lee; if that individual had strong connections to this country and no other, *1969 as did Lee; and if the consequences of taking a chance at trial were not markedly harsher than pleading, as in this case, that "almost" could make all the difference. Balanced against holding on to some chance of avoiding deportation was a year or two more of prison time. See id., at 6. Not everyone in Lee's position would make the choice to reject the plea. But we cannot say it would be irrational to do so.
Lee's claim that he would not have accepted a plea had he known it would lead to deportation is backed by substantial and uncontroverted evidence. Accordingly we conclude Lee has demonstrated a "reasonable probability that, but for [his] counsel's errors, he would not have pleaded guilty and would have insisted on going to trial."
Hill,
* * *
The judgment of the United States Court of Appeals for the Sixth Circuit is reversed, and the case is remanded for further proceedings consistent with this opinion.
It is so ordered.
Justice GORSUCH took no part in the consideration or decision of this case.
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,
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,
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."
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."
When the Court extended the right to effective counsel to the plea stage, see
Hill v. Lockhart,
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.
To the extent
Hill
was ambiguous about the standard, our precedents applying it confirm this interpretation. In
Premo v. Moore,
The Court in
Missouri v. Frye,
Finally, the Court's decision in
Lafler v. Cooper,
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,
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 1965, 1965 (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."
The majority also relies on a case that arises in a completely different context,
Roe v. Flores-Ortega,
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,
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 1967, n. 3 (quoting
Hill,
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."
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 1965 - 1966, 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,
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,
III
Applying the ordinary
Strickland
standard in this case, I do not think a defendant in petitioner's circumstances could
*1974
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,"
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,
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 1965 - 1966, 1966. 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 1968, he could allege a plausible claim of ineffective assistance of counsel.
*1975
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,
* * *
For these reasons, I would affirm the judgment of the Court of Appeals. I respectfully dissent.
It is not enough for a defendant to show that he would have obtained a better plea agreement. "[A] defendant has no right to be offered a plea,"
Missouri v. Frye,
The syllabus constitutes no part of the opinion of the Court but has been prepared by the Reporter of Decisions for the convenience of the reader. See
United States v. Detroit Timber & Lumber Co.,
The dissent also relies heavily on
Missouri v. Frye,
Lee also argues that he can show prejudice because, had his attorney advised him that he would be deported if he accepted the Government's plea offer, he would have bargained for a plea deal that did not result in certain deportation. Given our conclusion that Lee can show prejudice based on the reasonable probability that he would have gone to trial, we need not reach this argument.
The dissent makes much of the fact that
Hill v. Lockhart,
Several courts have noted that a judge's warnings at a plea colloquy may undermine a claim that the defendant was prejudiced by his attorney's misadvice. See,
e.g.,
United States v. Newman,
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