Sylvester KELLY, Appellant v. The STATE of Texas.
No. PD-0702-13.
Court of Criminal Appeals of Texas.
June 25, 2014.
433 S.W.3d 313
Zan Colson Brown, Assistant District Attorney, Lisa C. McMinn, State‘s Attorney, Austin, for the State.
OPINION
PRICE, J., delivered the opinion of the court in which MEYERS, WOMACK, JOHNSON, KEASLER, HERVEY and COCHRAN, JJ., joined.
When appointed appellate counsel files a so-called Anders brief,1 the indigent appellant has a right to review the appellate record and file a response in the court of appeals, pointing out to the appellate court any reason why he thinks there are non-frivolous issues to be raised on his behalf, notwithstanding his appointed counsel‘s evaluation of the record. In this petition for discretionary review, we address the question of who should bear the ultimate responsibility for assuring that the indigent appellant is allowed access to the appellate record in order to implement this right. We hold that appointed counsel has a duty, once he has filed a motion to withdraw from representation with accompanying Anders brief, to assist the appellant in filing a motion in the court of appeals for access to the appellate record if that is indeed what the appellant wants. Once such a motion is filed, the court of appeals has the ultimate responsibility to make sure that, one way or another (we shall not dictate how), the appellant is granted access to the appellate record so that he may file his response (if, after reviewing the record, he does decide to file one) before it rules on the adequacy of the Anders brief and appointed counsel‘s motion to withdraw.
FACTS AND PROCEDURAL POSTURE
A jury convicted the appellant of аggravated robbery, and the trial court sentenced him to fifty years’ incarceration. Because he was indigent, the trial court appointed a lawyer to represent him on appeal. The appellant‘s appointed counsel on appeal was unable to find any meritorious points of error to raise, however, and filed a motion to withdraw with an Anders brief. He wrote a letter to the appellant to inform him, inter alia, of his right to file a pro se response to the Anders brief.
The appellant duly filed a petition for discretionary review in this Court, arguing that the court of appeals violated his rights to due process and due course of law by deeming his appeal to be frivolous without first granting him access to the appellate record so that he could prepare an adequate response to his appointed counsel‘s Anders brief. We granted the appellant‘s petition and ordered the trial court to appoint counsel for the appellant to brief the issue. In their respective briefs, both the State and the appellant have now agreed that the appellant should have been allowed access to the appellate record in order to prepare his response to appointed counsel‘s Anders brief.7 In the absence of any governing rule in the Texas Rules of
In order to educate ourselves about whatever procedures may presently be in place, we solicited information from the various courts of appeals with respect to how they currently go about ensuring that appellate records are made available to indigent pro se appellants who wish to review them in order to respond to Anders briefs. More specifically, we invited the clerks of the fourteen courts of appeals in Texas to file amicus briefs or letters “informing us of the current policies and procedures in their respective districts for ensuring that pro se appellants who so desire are granted access to the appellate record for purposes of responding to Anders briefs.”11 After considering the various responses of amici, we now endeavor
ANALYSIS
In response to our invitation to submit amicus briefs/letters, the Clerk of the Sixth Court of Appeals has indicated that “[o]ur procedures vary according to the situation.” Upon receiving an Anders brief, the Sixth Court first makes sure that appellate counsel has informed the appellant of, inter alia, his right to review the appellate record. The more “helpful” appellate attorneys send a copy of the record to the appellant, we are told, but “[i]n the absence of such a proactive behavior, if the appellant contacts this Court requesting a record, we typically refer him or her alternatively to the defense attorney or the trial clerk.” Thus, the Sixth Court has adopted a policy that appellate counsel “has the responsibility to procure a copy of the record for appellant to review in preparation of the pro se response to the Anders brief.”12 We cannot tell from the record before us in this case whether the Sixth Court, in keeping with this policy, referred the appellant to his appellate counsel or the trial clerk. We agree with the Sixth Court that appellate counsel has a continuing responsibility to his client, extending beyond the filing of a motion to withdraw and Anders brief, to facilitate the appellant‘s access to the appellate record should the appellant so desire. But we believe that the courts of appeals also have an on-going responsibility, once an appellant manifests his desire for pro se record access, to officially guide the process and follow through to make sure that such access is granted before they rule on the validity of appointed counsel‘s Anders brief and motion to withdraw.
Appointed Counsel‘s Responsibility
Once appellate counsel is appointed to represent an indigent client, his only justification for filing an Anders brief is his ethical obligation to avoid burdening the courts with wholly frivolous appeals.13 When his good-faith review of the law and record suggests to him no plausible grounds for appeal, appointed counsel‘s “duty to withdraw is based upon his professional and ethical responsibilities as an officer of the court not to burden the judicial system with false claims, frivolous pleadings, or burdensome time demands.”14 The purpose of the Anders brief is to satisfy the appellate court that the appointed counsel‘s motion to withdraw is, indeed, based upon a conscientious and thorough review of the law and facts; “the Anders brief is only the proverbial ‘tail’ [while] the motion to withdraw is ‘the dog.‘”15 That being the case, the court of appeals may not immediately grant the motion to withdraw, even though the granting of a motion to withdraw is inevitable once an Anders brief has been filed.16
We have previously acknowledged that an appointed lawyer who files an Anders brief must fulfill a number of additional functions. He must write a letter to (1) notify his client of the motion to withdraw and the accompanying Anders brief, providing him a copy of each, (2) inform him of his right to file a pro se response and of his right to review the record preparatory to filing that response, and (3) inform him of his pro se right to seek discretionary review should the court of appeals declare his appeal frivolous.20 To this list we now add that appointed counsel who files a motion to withdraw and Anders brief must also (4) take concrete measures to initiate and facilitate the process of actuating his client‘s right to review the appellate record, if that is what his client wishes. We think that the most time-efficient method to facilitate this right of review is to require that, at the same time that he files the motion to withdraw and Anders brief and carries out the notification functions (1) through (3), listed above, appоinted counsel must also notify his client that, should he wish to exercise his right to review the appellate record in preparing to file a response to the Anders brief, he should immediately file a motion for pro se access to the appellate record with the applicable court of appeals.21 Ap-
The Appellate Court‘s Responsibility
Once the appellant has filed his motion to make the appellate record available with the court of appeals, we think that the onus should shift to the court of appeals to ensure that, one way or another, this request is satisfied. Moreover, the appellate court may not rule on the motion to withdraw and the validity of the Anders brief until the appellant has been given access to, and an adequate opportunity to review, the appellate record. This, we think, is the optimal way to ensure that the indigent pro se appellant‘s right to review the appellate record in order to respond to appellate counsel‘s Anders briefs is honored.
So how do the various courts of appeals currently go about making arrangements for pro se access to the appellate record? Judging by their amicus briefs, the answer is that they do so in various ways, all of which seem to have met with reasonable success. Even within the same court of appeals, the procedure chosen may depend
By all accounts, each of these procedures has worked tolerably well in the past, and we need not mandate or even recommend one over the others. Our only requirement is that, upon receipt of the appellant‘s motion for pro se access to the appellate record, the court of appeals enter a formal written order specifying the procedure to be followed in the particular case, sending copies of that order to the appellant, his appellate counsel, the State, the trial court, and the trial court‘s clerk, so thаt all interested parties are on the same page.25 The order should also require the entity who is designated to arrange the appellant‘s access to the record (be that the appellate counsel, the trial court, or the trial court‘s clerk) to report to the court of appeals, in writing, when the record has been made available to the appellant so that it can then set a firm date for the appellant to file his response to the Anders brief, as well as a date for the State‘s response, if any. The court of
CONCLUSION
We hold that the court of appeals in the instant case erred to grant appointed counsel‘s motion to withdraw and declare the appellant‘s appeal to be frivolous without first satisfying the appellant‘s express request to gain access to the appellate record in order to meaningfully respond to the Anders brief. The judgment of the court of appeals is reversed and the cause is remanded to that court. After arranging for the appellant to have a meaningful opportunity to review the appellate record in accordance with the procedure we announce today, that court shall revisit its review of appellate counsel‘s Anders brief and motion to withdraw in light of the appellant‘s revised response, if any, and any response from the State.
KELLER, P.J., filed a concurring opinion.
ALCALA, J., filed a concurring opinion.
KELLER, P.J., filed a concurring opinion.
The principle of subsidiarity is the concept that a central authority should have a subsidiary function, performing only those tasks that cannot be performed effectively at a more immediate or local level. It is the idea that problems are best solved where they occur in an organization. I believe that the courts of appeals understand better than we do what is necessary to ensure that appellants are able to review the appellate record. Despite the mistake in this case, it appеars that each court has a process that effectively addresses the matter. Because I think that this Court imposes an unnecessary burden upon the courts of appeals, I join its judgment but not its opinion.
ALCALA, J., filed a concurring opinion.
Although I agree that a court of appeals should not decide an Anders appeal until after a defendant who so desires has had an adequate opportunity to review the record and prepare a pro se brief,1 I disagree with the majority opinion‘s creation of a new requirement that “the court of appeals has the ultimate responsibility to make sure that ... the appellant is granted access to the appellate record.” I disagree with this aspect of the Court‘s holding because an attorney—not an appellate court—has the ultimate responsibility to represent his client by obtaining the record for him if that record is necessary to the client‘s preparation of a pro se brief in response to an Anders appeal. I also disagree with the majority opinion‘s micromanagement of the courts of appeals by now requiring them to enter a written order in every Anders case they receive, rather than permitting them to address these appeals in any way that achieves the desired result. Recognizing that there is no general problem here for it to fix, the majority opinion accurately observes that, “[b]y all accounts, each of these procedures [employed by the courts of appeals] has worked tolerably well in the past[.]” Undeterred, thе majority opinion nevertheless prescribes heavy regulation of all future Anders cases in the form of the
I would rеsolve this case on the narrower basis that the court of appeals erred by deciding the Anders appeal without ensuring that Sylvester Kelly, appellant, had an adequate opportunity to obtain the appellate record and prepare a pro se brief in response, and on that sole basis I would reverse the judgment of the court of appeals. See Kelly v. State, No. 06-12-00141-CR, 2013 WL 1804115, at *1 (Tex.App.-Texarkana Apr. 26, 2013) (mem. op., not designated for publication). I, therefore, respectfully concur in this Court‘s judgment but do not join the majority opinion in fashioning an overly burdensome regulatory framework to combat a problem that appears to be confined to the facts of this case.
I. Courts of Appeals Do Not Have the Ultimate Responsibility to Provide A Record
Unlike the Texas Rules of Appellate Procedure, which do not place upon an appellate-court clerk the ultimate responsibility for obtaining an appellate record for a defendant, the ethical rules for attorneys do require them to zealously represent their clients until the point when they are permitted to withdraw from the case. The ultimate responsibility for providing a record to a defendant, therefore, properly falls on counsel.
Rule 12 of the Texas Rules of Appellate Procedure describes the duties of an appellate-court clerk as docketing the case, placing the docket number on each case‘s record, safeguarding the record, permitting individuals to withdraw the record under certain conditions, accounting for any money received, and sending the parties notice of the judgments and mandates issued in the case by the court of appeals. See
The preamble to the Texas Disciplinary Rules for Professional Conduct declares thаt in “all professional functions, a lawyer should zealously pursue clients’ interests within the bounds of the law.”
Here, when appellant asked counsel for a copy of the record, counsel did nothing to ensure that appellant actually received access to the record other than merely telling him to cоntact the trial-court clerk, which was inadequate to ensure that appellant would receive access to the record in time for him to prepare a pro se brief. Furthermore, counsel did not file a motion for extension of time asking the appellate court not to rule on the Anders brief or his motion to withdraw until appellant could obtain the record, review it, and prepare any pro se response regarding the Anders claim. See Kelly, 2013 WL 1804115, at *1 (observing that, as of date of opinion‘s filing, “no brief [by appellant] has been filed and no request for extension has been made“). By failing to render timely assistance in ensuring that appellant was given adequate access to the record, counsel failed in his duty to zealously represent his client. The court of appeals, aware that appellant was attempting to obtain the appellate record after his attorney had filed an Anders brief, erred by resolving the appeal without determining whether appellant had received the record and had been afforded an adequate opportunity to review it and prepare a pro se brief. The current rules that require an attorney to zealously represent his client until he is given permission to withdraw from representation are all that are necessary to ensure that a client receives access to the appellate record after his attorney files an Anders brief. It is thus unnecessary to impose new administrative regulations on the appellate courts for the purpose of resolving this casе.
II. Conclusion
This Court‘s decision to impose new requirements on the courts of appeals will result in an unnecessary micro-managing of those courts’ administrative processes and will absolve appellate lawyers in Anders cases of their ethical duty to assist their clients up to the point when they are given permission to withdraw from a case. Here, the parties agree that appellant should have been permitted access to the appellate record for the purpose of enabling him to prepare his response to counsel‘s Anders brief, and the record supports a conclusion that the court of appeals should not have decided this Anders appeal until after counsel had ensured that appellant received the appellate record and had an opportunity to review the record and prepare a pro se brief. Appellant, therefore, is entitled to have the opportunity to do this upon this Court‘s reversal and remand of this case to the court of appeals. The specific failure in this case should not be the basis for a blanket rule for the treatment of appellate records in all Anders appeals, which, as conceded by the majority opinion, are already being appropriately addressed by the courts of appeals at present. I, therefore, respectfully concur only in this Court‘s judgment.
Notes
The record does not reveal whether the appellant made a request to the trial court for access to the appellate record.I do hereby inform you that you have a right to review the record and file a Pro Se Appellate Brief should you desire to do so. You have the right to request the trial Court to provide a copy of the record at no expense to you and the Appellate Court may grant a timely request for extensions of time for filing the Pro Se brief.
Several of the courts of appeals, including the Eighth Court, have expressed concerns about how electronic copies can be made available to pro se appellants who are incarcerated. It occurs to us that, similar to the Eighth Court‘s procedure with respect to the trial court clerk‘s duplicate copy, courts of appeals could order either the trial-court clerk or its own clerk to send an electronic copy of the record to the warden of the appellant‘s unit with explicit instructions to provide the appellant with supervised access to a computer upon which to review it or print it out.
