PENSON v. OHIO
No. 87-6116
Supreme Court of the United States
Argued October 12, 1988—Decided November 29, 1988
488 U.S. 75
Mark B. Robinette argued the cause for respondent. With him on the brief was Lee C. Falke.*
JUSTICE STEVENS delivered the opinion of the Court.
In Anders v. California, 386 U. S. 738 (1967), we gave a negative answer to this question:
“May a State appellate court refuse to provide counsel to brief and argue an indigent criminal defendant‘s first appeal as of right on the basis of a conclusory statement by the appointed attorney on appeal that the case has no merit and that he will file no brief?” Brief for Petitioner in Anders v. California, O. T. 1966, No. 98, p. 2.
The question presented by this case is remarkably similar and therefore requires a similar answer.
I
Petitioner is indigent. After a trial in the Montgomery County, Ohio, Court of Common Pleas, he and two codefendants were found guilty of severаl serious crimes. Petitioner was sentenced to a term of imprisonment of 18 to 28 years. On January 8, 1985, new counsel was appointed to represent him on appeal. Counsel filed a timely notice of appeal.
On June 2, 1986, petitioner‘s appellate counsel filed with the Montgomery County, Ohio, Court of Appeals a document captioned “Certification of Meritless Appeal and Motion.” Excluding this caption and the certificate evidencing its serv-
“Appellant‘s attorney respectfully certifies to the Court that he has carefully reviewed the within record on appeal, that he has found no errors requiring reversal, modification and/or vacation of appellant‘s jury trial convictions and/or the trial court‘s sentence in Case No. 84-CR-1056, that he has found no errors requiring reversal, modification and/or vacation of appellant‘s jury trial convictions and/or the trial court‘s sentence in Case No. 84-CR-1401, and that he will not file a meritless appeal in this matter.
“MOTION
“Appellant‘s attorney respectfully requests a Journal Entry permitting him to withdraw as appellant‘s appellate attorney of rеcord in this appeal thereby relieving appellant‘s attorney of any further responsibility to prosecute this appeal with the attorney/client relationship terminated effective on the date file-stamped on this Motion.” App. 35-36.
A week later, the Court of Appeals entered an order allowing appellate counsel to withdraw and granting petitioner 30 days in which to file an appellate brief pro se. Id., at 37. The order further specified that the court would thereafter “independently review the record thoroughly to determine whether any error exists requiring reversal or modification of the sentence. . . .” Ibid. Thus, counsel was permitted to withdraw before the court reviewed the record on nothing more than “a conclusory statement by the appointed attorney on appeal that the case has no merit and that he will file no brief.” Moreover, although granting petitioner several extensions of time to file a brief, the court denied petitioner‘s request for the appointment of a new attorney. No merits brief was filed on petitioner‘s behalf.
II
Approximately a quarter of a century ago, in Douglas v. California, 372 U. S. 353 (1963), this Court recognized that the
The Anders opinion did, however, rеcognize that in some circumstances counsel may withdraw without denying the indigent appellant fair representation provided that certain safeguards are observed: Appointed counsel is first required to conduct “a conscientious examination” of the case. Id., at 744. If he or she is then of the opinion that the case is wholly frivolous, counsel may request leave to withdraw. The request “must, however, be accompanied by a brief referring to anything in the record that might arguably support the appeal.” Ibid. Once the appellate court receives this brief, it must then itself conduct “a full examination оf all the proceeding[s] to decide whether the case is wholly frivolous.” Ibid. Only after this separate inquiry, and only after the appellate court finds no nonfrivolous issue for appeal, may the court proceed to consider the appeal on the merits without the assistance of counsel. On the other hand, if the court disagrees with counsel—as the Ohio Court of Appeals did in this case—and concludes that there are nonfrivolous issues for appeal, “it must, prior to decision, afford the indigent the assistance of counsel to argue the appeal.” Ibid.
The Ohio Court of Appeals erred in two respects in granting counsel‘s motion for leave to withdraw. First, the motion should have been denied beсause counsel‘s “Certification of Meritless Appeal” failed to draw attention to “anything in the record that might arguably support the appeal.”3 Ibid. The so-called ”Anders brief” serves the valuable purpose of assisting the court in determining both that counsel in fact conducted the required detailed review of the case4 and that
Moreover, the Court of Appeals should not have acted on the motion to withdraw bеfore it made its own examination of the record to determine whether counsel‘s evaluation of the
“To satisfy federal constitutional concerns, an appellate court faces two interrelated tasks as it rules on counsel‘s motion to withdraw. First, it 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. Second, it must determine whether counsel has correctly concluded that the appeal is frivolous.” Ibid.
Most significantly, the Ohio court erred by failing to appoint new counsel to represent petitioner after it had determined that the record supported “several arguable claims.” App. 41. As Anders unambiguously provides, “if [the appellate court] finds any of the legal 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.” 386 U. S., at 744; see also McCoy, 486 U. S., at 444 (“Of course, if the court concludes that there are nonfrivolous issues to be raised, it must appoint counsel to pursue the appeal and direct that counsel to prepare an advocate‘s brief before deciding the merits“). This requirement neсessarily follows from an understanding of the interplay between Douglas and Anders. Anders, in essence, recognizes a limited exception to the requirement articulated in Douglas that indigent defendants receive representation on their first appeal as of right. The exception is predicated on the fact that the
It bears emphasis that the right to be represented by counsel is among the most fundamental of rights. We have long recognized that “lawyers in criminal courts are necessities, not luxuries.” Gideon v. Wainwright, 372 U. S. 335, 344 (1963). As a general matter, it is through counsel that all other rights of the accused are protected: “Of all the rights that an accused person has, the right to be represented by counsel is by far the most pervasive, for it affects his ability to assert any other rights he may have.” Schaefer, Federalism and State Criminal Procedure, 70 Harv. L. Rev. 1, 8 (1956); see also Kimmelman v. Morrison, 477 U. S. 365, 377 (1986); United States v. Cronic, 466 U. S. 648, 654 (1984). The paramount importance of vigorous representation follows from the nature of our adversarial system of justice. This system is premised on the well-tested principle that truth—as well as fairness—is “best discovered by powerful statements on both sides of the question.” Kaufman, Does the Judge Have a Right to Qualified Counsel?, 61 A. B. A. J. 569, 569 (1975) (quoting Lord Eldon); see also Cronic, 466 U. S., at 655; Polk County v. Dodson, 454 U. S. 312, 318-319 (1981). Absent representation, howеver, it is unlikely that a criminal defendant will be able adequately to test the government‘s case, for, as Justice Sutherland wrote in Powell v. Alabama, 287 U. S. 45 (1932), “[e]ven the intelligent and educated layman has small and sometimes no skill in the science of law.” Id., at 69.
“In bringing an appeal as of right from his conviction, a criminal defendant is attempting to demonstrate that the conviction, with its consequent drastic loss of liberty, is unlawful. To prosecute the appeal, a criminal appellant must face an adversary proceeding that—like a trial—is governed by intricate rules that to a layperson would be hopelessly forbidding. An unrepresented appellant—like an unrepresented defendant at trial—is unable to protect the vital interests at stake.” Id., at 396.
By proceeding to decide the merits of petitioner‘s appeal without apрointing new counsel to represent him, the Ohio Court of Appeals deprived both petitioner and itself of the benefit of an adversary examination and presentation of the issues.
III
The State nonetheless maintains that even if the Court of Appeals erred in granting the motion to withdraw and in failing to appoint new counsel, the court‘s conclusion that petitioner suffered “no prejudice” indicates both that petitioner has failed to show prejudice under Strickland v. Washington, 466 U. S. 668 (1984), and also that any error was harmless under Chapman v. California, 386 U. S. 18 (1967). In either event, in the State‘s view, the Court of Appeals’ affirmance of petitioner‘s conviction should stand.7 We disagree.
Nor are we persuaded that the Court of Appeals’ consideration of the appellate briefs filed on behаlf of petitioner‘s codefendants alters this conclusion. One party‘s right to representation on appeal is not satisfied by simply relying on representation provided to another party. See Tr. of Oral Arg. 28-29. To the contrary, “[t]he right to counsel guaranteed by the Constitution contemplates the services of an at-
More significantly, the question whether the briefs filed by petitioner‘s codefendants, along with the court‘s own review of the record, adequately focused the court‘s attention on the arguable claims presented in petitioner‘s case is itself an issue that should not have been resolved without the benefit of an adversary presеntation. An attorney acting on petitioner‘s behalf might well have convinced the court that petitioner‘s interests were at odds with his codefendants’ or that petitioner‘s case involved significant issues not at stake in his codefendants’ cases. Mere speculation that counsel would not have made a difference is no substitute for actual appellate advocacy, particularly when the court‘s speculation is itself unguided by the adversary process.9
The present case is unlike a case in which counsel fails to press a particular argument on appeal, cf. Jones v. Barnes, 463 U. S. 745 (1983), or fails to argue an issue as effectively as he or she might. Rather, at the time the Court of Appeals first considered the merits of petitioner‘s appeal, appellate counsel had already been granted leave to withdraw; petitioner was thus entirely without the assistance of counsel on appeal. In fact, the only relief that counsel sought before the Court of Appeals was leave to withdraw, an action that can hardly be deemed advocacy on petitioner‘s behalf. Cf. McCoy, 486 U. S., at 439-440, n. 13. It is therefore in-
The judgment of the Court of Appeals is accordingly reversed, and thе case is remanded to that court for further proceedings not inconsistent with this opinion.
It is so ordered.
JUSTICE O‘CONNOR, concurring.
I join the Court‘s opinion. I write separately to emphasize that nothing in the Court‘s opinion forecloses the possibility that a mere technical violation of Anders v. California, 386 U. S. 738 (1967), might be excusable. The violation in this case was not a mere technical violation, however, and on that understanding I concur.
CHIEF JUSTICE REHNQUIST, dissenting.
The
“[t]he duty of the State under our cases is not to duplicate the legal arsenal that may be privately retained by a criminal defendant in a continuing effort to reverse his conviction, but only to assure the indigent defendant an adequate opportunity to present his claims fairly in the context of the State‘s appellate process.” Ross v. Moffitt, 417 U. S. 600, 616 (1974).
The Court today losеs sight of this, and instead seeks to engraft onto our decision in Anders v. California, 386 U. S. 738 (1967), a presumption of prejudice when the appellate attorney for an indigent does not exactly follow the procedure laid down in that case. Thus today‘s decision is added to the decision in Anders itself as a futile monument to the Court‘s effort to guarantee to the indigent appellant what no court can guarantee him: exactly the same sort of legal services that would be provided by suitably retained private counsel.
There are doubtless lawyers admitted to practice in the State of Ohio who, for a substantial retainer, would havе filed a brief on behalf of petitioner in the Ohio Court of Appeals urging, with a straight face, all of the claims which petitioner‘s appointed attorney decided were frivolous. But nothing in the Constitution or in any rational concept of public policy should lead us to require public financing for that sort of an effort. The Court‘s opinion today justifies the Anders brief because it “serves the valuable purpose of assisting the court in determining both that counsel in fact conducted the required detailed review of the case and that the appeal is indeed so frivolous that it may be decided without an adversary presentation.” Ante, at 81-82 (footnote omitted). These may be desirable purposes, but it seems to me that it stretches the
Here counsel rendered “assistance” and his performance must be reviewed for ineffectiveness and prejudice before any constitutionally mandated relief is in order. Strickland, supra, at 687-696. Counsel states—and we have nо reason to disbelieve him—that he conscientiously reviewed the record and “found no errors requiring reversal, modification and/or vacation of appellant‘s jury trial convictions and/or the trial court‘s sentence in [his case].” App. 35. As it turned out, that determination was incorrect, but this fact does not mean that counsel did not employ his legal talents in the service of his client. Whether or not this evaluative process constituted “assistance” cannot be affected by its conclusion. “[T]he canons of professional ethics impose limits on permissible advocacy. It is the obligation of any lаwyer—whether privately retained or publicly appointed—not to clog the courts with frivolous motions or appeals.” See Polk County v. Dodson, 454 U. S. 312, 323 (1981).
This is not to say that an attorney‘s erroneous decision to withdraw is necessarily adequate assistance of counsel. That is to be judged under Strickland. Of course, counsel may protect himself from collateral review of the effectiveness of his performance by following the safe-harbor procedures outlined in Anders. As described by the Court today, the filing of an Anders brief creates a strong presumption that counsel has diligently worked on the case and that the court was correct in assessing the frivolousness of the appeal when it allowed withdrawal. Anders may well outline a prudent course to follow for the appointed attorney who wishes to withdraw from a frivolous case. But if counsel declines to follow it, the basic constitutional guarantee of effective assistance remains the underlying standard by which his conduct should be judged.
Notes
“Dear Judge Van Dyke:
“This is to advise you that I have received and examined the trial transcript of CHARLIE ANDERS as it relates to his conviction of the crime of possession of narcotics.
“I will not file a brief on appeal as I am of the opinion that there is no merit to the appeal. I have visited and communicated with Mr. Anders and have explained my views and opinions to him as they relate to his appeal.
“Mr. Anders has advised me that he wishes to file a brief in this matter on his own behalf. . . .” Tr. of Record in Anders v. California, O. T. 1966, No. 98, p. 6.
“The danger that a busy or inexperienced lawyer might opt in favor of a one sentence letter instead of an effective brief in an individual marginal case is real, notwithstanding the dedication that typifies the profession. If, however, counsel‘s ultimate evaluation of the case must be supported by a written opinion ‘referring to anything in the record that might arguably support the appeal,’ [Anders,] 386 U. S., at 744 . . . , the temptation to discharge an obligation in summary fashion is avoided, and the reviewing cоurt is provided with meaningful assistance.” Nickols v. Gagnon, 454 F. 2d 467, 470 (CA7 1971) (footnotes omitted), cert. denied, 408 U. S. 925 (1972).
In addition, simply putting pen to paper can often shed new light on what may at first appear to be an open-and-shut issue.
