KOU HER, Appellant v. STATE of Arkansas, Appellee
No. CR-14-580
Supreme Court of Arkansas.
March 5, 2015
2015 Ark. 91, 659
In short, while Act 1413 does not eliminate the rights to initiative and referendum outright, the effect of its pervasive changes to the petition process will beget such a result—it is death by a thousand cuts. Accordingly, I would hold that Act 1413 is unconstitutional in its entirety.
Baker and Goodson, JJ., join in this concurrence.
Dustin McDaniel, Att‘y Gen., by: Valerie Glover Fortner, Ass‘t Att‘y Gen., for appellee.
KAREN R. BAKER, Associate Justice
Pursuant to Anders v. California, 386 U.S. 738, 87 S.Ct. 1396, 18 L.Ed.2d 493 (1967), and
After a three-day jury trial, on December 10–12, 2013, a Johnson County jury convicted Her of the following charges: (1) first-degree murder with a sentence of life imprisonment; (2) aggravated residential burglary with a sentence of life imprisonment; (3) attempted kidnapping with a sentence of 30 years’ imprisonment; (4) first-degree battery with a sentence of 15 years’ imprisonment; and (5) aggravated assault with a sеntence of two years’ imprisonment. All the sentences were to run consecutively.
On September 25, 2014, Burnett filed a motion to withdraw and a no-merit brief. On October 24, 2014, Her filed his own points for reversal pursuant to
Our
A request to withdraw on the ground that the appeal is wholly without merit shall be accompanied by a brief including an abstract and Addendum. The brief shall contain an argument section that consists of a list of all rulings adverse to the defendant made by the circuit court on all objections, motions and requests mаde by either party with an explanation as to why each adverse ruling is not a meritorious ground for reversal.
A no-merit brief that fails to address an adverse ruling does not satisfy the requirements of
As the
Sixth Amendment extends the right to effective assistance of counsel to appeals from convictions, Anders briefs were created as a prophylactic frame-work to satisfy Fourteenth Amendment due-process concerns when an attorney wished to withdraw from a meritless appeal. Pennsylvania v. Finley, 481 U.S. 551, 555, 107 S.Ct. 1990, 95 L.Ed.2d 539 (1987); Anders, 386 U.S. 738, 87 S.Ct. 1396. The United States Supreme Court has held that states are allowed widе discretion, subject to constitutionally guaranteed minimums, to fashion procedures and policies for dealing with Anders briefs and no-merit appeals. Smith v. Robbins, 528 U.S. 259, 273, 120 S.Ct. 746, 145 L.Ed.2d 756 (2000). By requiring every adverse ruling to be abstracted and briefed, we have ensured that the due-process concerns in Anders are met and that the unnecessary risk of a deficient Anders brief resulting in an incorrect decision on trial counsel‘s motion to withdraw is avoided. We see no reason to lessen these protections, and we hold that, in a criminal case, on direct appeal, a no-merit briеf that fails to address an adverse ruling does not satisfy the requirements ofRule 4-3(k)(1) and must be re-briefed.
Sartin, 2010 Ark. 16, at 3–8, 362 S.W.3d at 879–82 (emphasis added).
Our language in Sartin is clear. In criminal cases the procedures we have fashioned to comply with Anders, by adopting
Counsel did not include as adverse rulings the court‘s response to two objections made by the State during cross-examination of [a witness]. The objections are included in the abstract and could arguably be construed as adverse. We do not order rebriefing, however, because the circumstances here are unlike those in Sartin v. State, 2010 Ark. 16, 362 S.W.3d 877 (per curiam). Here, the abstract and the broader scope of our required [4-3(i)] review of the record are sufficient to confirm that the rulings were nоt prejudicial, even if adverse.
Id. at 3, 372 S.W.3d at 804 n.2. This is clearly in conflict with the United States Supreme Court‘s holding in Anders and our holding in Sartin. Accordingly, to the extent that James conflicts with this opinion, we overrule it. However, the dissent maintains that James is still good law and need not be overruled. The dissent states:
James is distinguishable from Sartin because Appellant James was sentenced to life imprisonment for his first-degree murder conviction, and we ultimately reached the merits of the circuit court‘s “arguably” adverse rulings, pursuant to our required
Rule 4-3(i) review. This court has previously ordered rebriefing in life-imprisonment cases. See, e.g., Thompson v. State, 2014 Ark. 79 [2014 WL 689049] (per curiam); Dewberry v. State, 341 Ark. 170, 15 S.W.3d 671 (2000); Skiver v. State, 330 Ark. 432, 954 S.W.2d 913 (1997) (per curiam). Notwithstanding these holdings, James is still good law. In death and life-imprisonment cases, this court must adhere toRule 4-3(i) , which provides as follows:When the sentence is death or life imprisonment, the Court must review all errors prejudicial to the appellant in accordance with
Ark. Code Ann. § 6-91-113(a) . To make that review possible, the appellant must abstract,or include in the Addendum, as appropriate, all rulings adverse to him or her made by the circuit court on all objections, motions and requests made by either рarty, together with such parts of the record as are needed for an understanding of each adverse ruling. The Attorney General will make certain and certify that all of those objections have been abstracted, or included in the Addendum, and will brief all points argued by the appellant and any other points that appear to involve prejudicial error.
Thus, given our mandatory review of the record pursuant to
This analysis is incorrect. James cannot remain good law because it is in direct contravention of the United States Supreme Court holding in Anders. In Anders, the Supreme Court explained its holding:
The constitutional requirement of substantial equality and fair process can only be attained where counsel acts in the role of an active advocate in behalf of his client, as opposed to that of amicus curiae. The no-merit letter and the procedure it triggers do not reach that dignity. Counsel should, and can with honоr and without conflict, be of more assistance to his client and to the court. His role as advocate requires that he support his client‘s appeal to the best of his ability.... It would also induce the court to pursue all the more vigorously its own review because of the ready references not only to the record, but also to the legal authorities as furnished it by counsel.... This procedure will assure penniless defendants the same rights and opportunities on appeal—as nearly as is practicable—as are enjoyed by those persons who are in a similar situation but who are able to afford the retention of private counsel.
Anders, 386 U.S. at 744–45, 87 S.Ct. 1396 (emphasis added) (footnote omitted).
Accordingly, Anders requires a no-merit brief by defense counsel, and once the brief is filed and the defendant has adequate time to respond, then the appellate court conducts “its own review.” Simply put, the role of the appellate court is to рerform its own review, not act as an advocate for the defendant. However, the dissent mistakenly conflates the requirements of defense counsel pursuant to Anders and the requirements for our review pursuant to
In Penson v. Ohio, 488 U.S. 75, 109 S.Ct. 346, 102 L.Ed.2d 300 (1988), the United States Supreme Court addressed an alleged error in appellate review that
Counsel‘s failure to file such a brief left the Ohio court without an adequate basis for determining that he had performed his duty carefully to search the case for arguable error and also deprived the court of the assistance of an advocate in its own review of the cold record on appeal.
Moreover, the Court recognized that one hurdle faced by an appellate court in reviewing a record on appeal without the assistance of counsel is that the record may not accurately and unambiguously reflect all that occurred at the trial. Presumably, appellate cоunsel may contact the trial attorney to discuss the case and may thus, in arguing the appeal, shed additional light on the proceedings below. The court, of course, is not in the position to conduct such ex parte communications. Id. at 82 n. 5, 109 S.Ct. 346.
Pertinent to Her‘s case before us, in Penson, the State argued that Penson was not prejudiced when an Anders brief had not been filed and the Ohio appellate court conducted a bare record review, the same position the dissent has taken here in Her‘s case. That is, no prejudice occurred because the appellate court‘s own review prevented prejudice to the defendant. The Supreme Court rejected this argument and held:
Under the State‘s theory, if on reviewing the bare appellate record a court would ultimately conclude that the conviction should not be reversed, then the indigent criminal appellant suffers no prejudice by being denied his right to counsel. Similarly, however, if on reviewing the record the court wоuld find a basis for reversal, then the criminal defendant also suffers no prejudice. In either event, the criminal appellant is not harmed and thus has no basis for complaint. Thus, adopting the State‘s view would render meaningless the protections afforded by Douglas and Anders.
Finally, in Gilliam v. State, 305 Ark. 438, 439, 808 S.W.2d 738, 738–39 (1991) (per curiam) and Sartin, citing to Penson, we recognized the requirement of the ap-
The [United States Supreme C]ourt set up a procedure to follow for allowing appointed counsel for an indigent criminal defendant to withdraw from a first appeal on the basis that the apрeal is frivolous. The procedure, which our court has incorporated ... requires counsel to first conduct a “conscientious examination” of the case and then support a request to withdraw with a brief referring to anything in the record which might arguably support the appeal. The appellate court must then conduct a full examination of all the proceedings and permit withdrawal if its separate inquiry reveals no nonfrivolous issue, but must аppoint new counsel to argue the appeal if such an issue exists. See Penson v. Ohio, 488 U.S. 75, 109 S.Ct. 346, 102 L.Ed.2d 300 (1988); McCoy v. Court of Appeals of Wisconsin, 486 U.S. 429, 108 S.Ct. 1895, 100 L.Ed.2d 440 (1988).
Gilliam, 305 Ark. at 439, 808 S.W.2d 738 (emphasis added).
Further, in Sartin, citing Penson as well, we explained:
The purpose and substance of a brief in support of an attorney‘s motion to withdraw as counsel where an appeal would be without merit is governed in part by Anders and subsequent United States Supreme Court holdings.... These purposes, in turn, were held to have imposed two duties on an appellate court faced with an Anders brief. First, the court “must satisfy itself that the attorney has provided the client with a diligent and thorough search of the record for any arguable claim that might support the client‘s appeal.” Penson v. Ohio, 488 U.S. 75, 83, 109 S.Ct. 346, 102 L.Ed.2d 300 (1988) (citing McCoy, 486 U.S. at 442, 108 S.Ct. 1895). Second, the court “must determine whether counsel has correctly concluded that the appeal is frivolous.” Penson, 488 U.S. at 83, 109 S.Ct. 346.
Id., 2010 Ark. 16, at 2–3, 362 S.W.3d 877.
Accordingly, we have previously recognized that the Supreme Court‘s holding in Penson encompasses the issue the dissent has presented here: whether an appellate court‘s independent review satisfies Anders. The answer is no. The Anders requirements pertain to defense counsel‘s advocacy and assistance to the appellate court in its own independent review. Accordingly, although the dissent suggests that our
Turning to Her‘s appeal, upon review, we are unable to consider his appeal at this time, because the brief is not in compliance with
We conclude that Burnett‘s brief fails to comply with
Rebriefing ordered; motion to withdraw denied without prejudice.
Hannah, C.J., and Wood, J., dissent.
Jim Hannah, Chief Justice, dissenting.
I agree with the majority that Her‘s counsel, John Cameron Burnett, has failed to comply fully with the requirements of
Burnett filed a no-merit brief claiming that no meritoriоus issue could support an appeal in Her‘s case. In no-merit appeals, counsel is required to list each ruling adverse to the defendant and to explain why each adverse ruling does not present a meritorious ground for reversal. See
The constitutional requirement of substantial equality and fair process can only be attained where counsel acts in the role of an active advocate in behalf of his client, as opposed to that of amicus curiae. The no-merit letter and the procedure it triggers do not reach that dignity. Counsel should, and can with honor and without conflict, be of more assistance to his client and to the court. His role as advocate requires that he support his client‘s appeal to the best of his ability. Of course, if counsel finds his case to be wholly frivolous, after a conscientious examination of it, he should so advise the court and request permission to withdraw. That request must, however, be accompanied by a brief referring to anything in the record that might arguably support the appeal. A copy of counsel‘s brief should bе furnished the indigent and time allowed him to raise any points that he chooses; the court—not counsel—then proceeds, after a full examination of all the proceedings, to decide whether the case is wholly frivolous. If it so finds it may grant counsel‘s request to withdraw and dismiss the appeal insofar as federal requirements are concerned, or proceed to a decision on the merits, if state law so requires. On the other hand, if it finds any of the lеgal points arguable on their merits (and therefore not frivolous) it must, prior to decision, afford the indigent the assistance of counsel to argue the appeal.
Anders, 386 U.S. at 744, 87 S.Ct. 1396 (footnote omitted) (emphasis added).
In Arkansas, we require a similar procedure with a heightened burden on the attorney.
(1) Any motion by counsel for a defendant in a criminal or a juvenile delinquency case for permission to withdraw made after notice of appeal has been given shall be addressed to the Court, shаll contain a statement of the reason for the request and shall be served upon the defendant personally by first-class mail. A request to withdraw on the ground that the appeal is wholly without merit shall be accompanied by a brief including an abstract and Addendum. The brief shall contain an argument section that consists of a list of all rulings adverse to the defendant made by the circuit court on all objections, motions and requests made by either party with an еxplanation as to why each adverse ruling is not a meritorious ground for reversal. The abstract and Addendum of the brief shall contain, in addition to the other material parts of the record, all rulings adverse to the defendant made by the circuit court.
(Emphasis added.)
Citing Sartin as precedent, the majority orders rebriefing in this case. In doing so, it mistakenly overrules James v. State, 2010 Ark. 486, 372 S.W.3d 800 (per curiam). In James, appellant was sentenced to life imprisonment, and his counsel filed an Anders brief. We stated that “[c]ounsel identifies a number of rulings adverse to aрpellant that he arranges into eight groups for discussion and explains why none provide a meritorious ground for reversal.” Id. at 3, 372 S.W.3d at 804. In a footnote, we stated:
Counsel did not include as adverse rulings the court‘s response to two objections made by the State during cross-examination of Heather‘s son, Michael James. The objections are not included in the abstract and could arguably be construed as adverse. We do not order rebriefing, however, because the circumstanсes here are unlike those in Sartin v. State, 2010 Ark. 16, 362 S.W.3d 877 (per curiam). Here, the abstract and the broader scope of our required review of the record are sufficient to confirm that the rulings were not prejudicial, even if adverse.
Id. at 3, 372 S.W.3d at 804 n.2 (emphasis added). Thus, James is distinguishable from Sartin because Appellant James was sentenced to life imprisonment for his first-degree murder conviction, and we ultimately reached the merits of the circuit court‘s “arguably” adverse rulings, pursuant to our required
In death and life-imprisonment cases, this court must adhere to
When the sentence is death or life imprisonment, the Court must review all errors prejudicial to the appellant in accordance with
Ark.Code Ann. § 6-91-113(a) . To make that review possible, the appellant must abstract, or include in the Addendum, as appropriate, all rulings advеrse to him or her made by the circuit court on all objections, motions and requests made by either party, together with such parts of the record as are needed for an understanding of each adverse ruling. The Attorney General will make certain and certify that all of those objections have been abstracted, or included in the Addendum, and will brief all points argued by the appellant and any other points that appear to involve prеjudicial error.
Thus, given our mandatory review of the record pursuant to
Given this stance, I do not advocate that this court perform an attorney‘s job as required by Anders and
Wood, J., joins.
