Lead Opinion
In 2005, a Harris County jury convicted Sean David Cleveland of methamphetamine possession and related crimes. The trial court sentenced him to twenty years in prison with ten years to serve, and Cleveland filed a motion for new trial and amended motion for new
Cleveland was pulled over in Harris County on July 7, 2004, and arrested for driving on a suspended license. While conducting an inventory of the vehicle prior to its being towed, the officer found six individual bags of methamphetamine, a bottle containing red powder, digital scales, a glass smoking device, a straw with methamphetamine residue in it, and a garden hose with a smaller hose inside. The officer called Cleveland’s residence to get someone to come and pick up Cleveland’s dog. Two men came and were also arrested when methamphetamine was found in their vehicle.
On July 9, 2004, a search warrant was executed for Cleveland’s home. Officers found items commonly used in connection with the manufacture of methamphetamine: a bottle of pure ephedrine, burn piles, empty cold medicine packages, strike plates from match books, and security cameras located around the premises. During the search, Cleveland, who was out of jail on bond, returned home and was informed that a search was being performed pursuant to a warrant.
Cleveland was indicted for possession of methamphetamine with intent to distribute, criminal attempt to commit trafficking in methamphetamine, driving on a suspended license, and no proof of insurance. Cleveland was offered and rejected a plea bargain for probation and a fine. Trial commenced on November 28, 2005. During jury selection, defense counsel learned for the first time that the State’s evidence included items seized in the house search. Counsel filed a motion to suppress, which was denied, and the trial proceeded. Cleveland was convicted of possession with intent to distribute, criminal attempt to commit trafficking, and no proof of insurance. He was sentenced to twenty years in prison with ten years to serve.
At the hearing on the motion for new trial, defense counsel admitted that he failed to review the State’s file as allowed under the prosecutor’s “open file” policy, so he did not realize evidence gathered at the home would be used at trial. Cleveland testified that had he known evidence obtained from his home would be used
The Court of Appeals found that although counsel’s performance was objectively unreasonable, Cleveland was not prejudiced, and the convictions should therefore stand. The Court of Appeals reasoned that the evidence supports a finding, implicit in the trial court’s ruling, that Cleveland failed to show a reasonable probability that he would have pled guilty but for counsel’s errors. We granted certiorari to review the Court of Appeals’ application of the decision in Lloyd.
In Lloyd, we recognized, based on governing United States Supreme Court precedent, that the Sixth Amendment guarantees a criminal defendant’s right to competent counsel performing to the standards of the legal profession in deciding whether or not to plead guilty.
The two-part test of Strickland v. Washington ordinarily applies to claims of ineffective assistance of counsel in the plea process.
The district attorney contends that the Court of Appeals erred in applying the prejudice prong of the Strickland test. According to the district attorney, the Court of Appeals should have focused its prejudice inquiry on whether the outcome of the trial would have been different but for counsel’s deficient representation, not whether Cleveland would have pled guilty but for his attorney’s errors. However, this argument is foreclosed by the Supreme Court’s decision in Hill v. Lockhart and our own holding in Lloyd.
In Hill, the Supreme Court held as follows:
In the context of guilty pleas, the . . . second, or “prejudice,” requirement . . . focuses on whether counsel’s constitutionally ineffective performance affected the outcome of the plea process. In other words, in order to satisfy the “prejudice” requirement, 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.11
In Lloyd, we held that the same analysis governs in the converse situation, i.e., where the defendant’s complaint is that he went to trial instead of pleading guilty because of counsel’s deficient representation.
We held in Lloyd that in order to find prejudice in this type of situation, there must be “some indication that the defendant was
According to Cleveland, the italicized language reveals this Court’s intent ‘‘to lower the evidentiary burden in showing prejudice by a defendant who has demonstrated that he received deficient performance in regards to a plea offer.” Cleveland argues that in Lloyd, we “did not require [the] defendant to make a showing by a preponderance of the evidence that he would have accepted the plea offer if he had been given effective assistance of counsel” and instead crafted a rule “essentially giving [the] defendant the benefit of the doubt where there is some evidence to support his assertion that he would have accepted a plea offer.” Cleveland explains that we did this because of “the difficulties faced by a defendant in trying to prove what he would have decided if properly advised in regards to a plea offer.”
The Court of Appeals rejected Cleveland’s interpretation of Lloyd, and so do we. In Lloyd, we merely noted that the evidence presented to show ineffective assistance of counsel failed to support even an “inference” that the defendant would have accepted the plea offer, much less amounted to the affirmative demonstration of prejudice required by the second prong of the Strickland test.
The above-quoted language should not be used to alter the well-established “clearly erroneous” standard of review for ineffective assistance of counsel. Simply because an inference “could be drawn even where the evidence is disputed or unclear on this question,” does not mean that a trial*147 court is required to do so in cases where the evidence is disputed. . . . [W]e decline to apply this language from Lloyd to find prejudice in this case merely because the defendant testified after the fact that he would have accepted the State’s plea offer but for counsel’s ineffective assistance.19
The sum total of Cleveland’s evidence that he would have accepted the plea offer but for his counsel’s deficient performance is the following exchange between Cleveland and his new counsel at the motion for new trial hearing:
Q. . . . Now, why didn’t you take that offer?
A. Well — I guess, dumb.
Q. Well, did you know they were going to introduce evidence against you —
A. No, sir.
Q. — seized at — if you had known that they were going to introduce evidence that was seized from the house, would you have taken the plea offer?
A. Yes, sir. One year probation, thousand dollar fine. I’ve been down 16 months now.
Unsurprisingly, the trial court did not find Cleveland’s after-the-fact, self-serving assertion credible, just as the jury had rejected Cleveland’s false claims at trial that he had nothing to do with the extensive drug manufacturing materials found in his house and van.
The record supports the trial court’s finding that Cleveland failed to demonstrate, through his testimony at the motion for new trial hearing or otherwise, that but for his counsel’s failure to avail himself of the State’s open file policy, there is a reasonable probability that Cleveland would have accepted the State’s pretrial plea offer. Before, during, and after trial, Cleveland adamantly and consistently insisted that he had nothing to do with the drugs and other items that formed the basis for his convictions. After rejecting a pretrial
Cleveland failed to carry his burden of proving a reasonable probability that, but for counsel’s deficient performance, he would have pled guilty. Accordingly, he failed to show Strickland prejudice, and the trial court was correct to deny his motion for new trial.
Judgment affirmed.
Notes
Cleveland v. State,
Lloyd v. State,
Lloyd,
Von Moltke v. Gillies,
Hamilton v. Alabama,
Wright v. Van Patten,
Strickland v. Washington,
Strickland,
Strickland,
See Hill,
Hill,
Lloyd,
Lloyd,
See Roe,
Lloyd,
Lloyd,
Lloyd,
Lloyd,
Cleveland,
It is worth noting that even though Cleveland’s trial counsel testified at the hearing on the motion for new trial, he was never asked by Cleveland’s new attorney whether he would have advised Cleveland to accept the State’s plea offer had he known at the time that the evidence seized from the house would be used against Cleveland at trial.
Lewis v. State,
Although Cleveland claims that he did not know that this additional evidence would be used against him at trial, Cleveland did in fact know prior to rejecting the plea that the police had searched his house and found the very evidence that would later be used against him at trial. In fact, Cleveland arrived at the house while the search was actually taking place.
Dissenting Opinion
dissenting.
This case involves an ineffective assistance of counsel claim raised in regard to appellant Sean David Cleveland’s decision to reject a plea offer, consisting of probation and a fine, and instead proceed to trial where, upon conviction, he faced a mandatory minimum sentence of ten years imprisonment. I agree with the majority and the Court of Appeals that appellant established that his defense counsel’s performance was objectively unreasonable for purposes of the attorney competence prong of the Strickland v.
The following facts are necessary to an understanding of this case. Appellant was stopped for driving a van with no tag on it and arrested for traffic violations. An inventory search of the van revealed drugs and drug paraphernalia behind the driver’s seat and inside a cigarette purse located in the rear of the van on the passenger side. As noted by the Court of Appeals, the items in the van “were either not visible or immediately recognizable as contraband.” Cleveland v. State,
Appellant, who had no previous criminal record, was charged with possession with intent to distribute methamphetamine and criminal attempt to traffic in methamphetamine, along with misdemeanor traffic offenses. The felony charges, however, were not based solely upon the evidence seized during the traffic stop but were also based upon incriminating evidence seized during a subsequent search of appellant’s home. The evidence seized in the search of the home included, inter alia, “pure distilled ephedrine in a bottle in the home’s refrigerator, a straw with residue in the bedroom, and numerous other items commonly used in the manufacture of methamphetamine in a burn pile on the property.” Cleveland v. State, supra,
As detailed in the Court of Appeals’ opinion, Cleveland v. State, supra,
Compounding the errors caused by counsel’s deficient performance in regard to the failures to examine the State’s file in a reasonably professional manner and to provide meaningful advice in regard to the State’s plea offer, the record establishes that defense counsel never sought to renew plea negotiations with the State after counsel learned about this critical evidence against his client.
Appellant was tried and convicted of the felony charges. He was given the ten-year mandatory minimum sentence for attempted trafficking in methamphetamine
The majority and the Court of Appeals both correctly held that the “reasonable probability” standard applies to the assessment of the prejudice prong in those ineffectiveness claims based on rejected guilty pleas and that this standard was not altered by language in Lloyd v. State, supra,
I address the five evidentiary items set forth by the Court of Appeals for its holding, see Cleveland v. State, supra,
Reserving, for the moment, the third item, the Court of Appeals next pointed to the fact that appellant, after learning during jury selection that the home-search evidence would be used against him, “did not seek to renew the earlier plea offer after learning about the true nature of the State’s case.” Cleveland v. State, supra,
Given that the State was never approached about renewing the plea after appellant learned of the critical evidence during jury selection, the Court of Appeals’ third fact is wholly unpersuasive, inasmuch as the prosecutor’s statement that appellant was “adamant about going to trial,” id., necessarily reflected appellant’s uninformed understanding of his legal situation prior to trial.
Finally, the Court of Appeals relied upon the showing in the record that appellant “knew that the police searched his house.”
The majority does not address these “facts” on which the Court of Appeals relied but instead grounds its holding on the basis that the “sum total” of appellant’s evidence consisted of his “after-the-fact and self-serving” assertion that he would have pled guilty except for counsel’s deficient performance. Maj. Op., p. 147. I agree with the majority that appellant’s assertion, like most testimony by witnesses who are parties, is likely to be self-serving and that the self-serving nature of the testimony goes to his credibility. However, I disagree with the majority that appellant’s testimony stands alone in the record. The majority’s analysis incorrectly overlooks two intercon
Because appellant was offered but then rejected the State’s no-jail-time plea, the significant disparity between the plea terms and mandatory minimum sentence appellant faced is not compelling in and of itself. Compare, e.g., Cullen v. United States, supra,
In the context of guilty pleas, the prejudice prong of the Strickland v. Washington test requires only that a defendant establish a reasonable probability that counsel’s constitutionally ineffective performance affected the outcome of the plea process. See generally Hill v. Lockhart,
While the home-search evidence was new to the defense, it was not new to the State, which had been in full possession of all of the evidence when it originally offered appellant probation and a fine in exchange for his guilty plea.
When defense counsel was asked whether he approached the State about re-issuing its plea offer, he could not affirmatively state that he did so but instead replied only that “[it] seems like we did, hut I can’t remember exactly how that went.”
See Watson v. State,
Contrary to language in the majority opinion, the trial court made no express findings whatsoever regarding factual matters at issue in resolving the prejudice prong. This case is therefore distinguishable from Larochelle v. State,
Accordingly, I would recognize that language in cases such as Burch v. State,
The Court of Appeals, when noting that appellant did testify he would have accepted the State’s offer had he known of the home-search evidence, also asserted that he did so “[o]nly after additional leading questioning by his counsel,” Cleveland v. State,
The transcript reveals that, in response to the trial court’s inquiry during sentencing as to whether appellant had anything he wished to say, appellant responded, “You guys are wrong. I — I had nothing to do with it, nothing at all. That’d be all.”
Without professional advice appellant would not know, e.g., whether the items were seized pursuant to a valid warrant, whether the items could be admitted at trial or were subject to foundational or other objections, whether, if the items were not themselves contraband, they could nevertheless incriminate appellant, etc.
