Document: 469 U.S. 387 105 S.Ct. 830 83 L.Ed.2d 821 Ralph W. EVITTS, Superintendent, Blackburn Correctional Complex and David L. Armstrong, Attorney General, Petitioners,v.Keith E. LUCEY. No. 83-1378. Argued Oct. 10, 1984. Decided Jan. 21, 1985. Rehearing Denied March 18, See 470 1065, 1783. After respondent was convicted of a drug offense in Kentucky state court, his retained counsel filed timely notice appeal to the Court Appeals. But because failed file statement required by Rule Appellate Procedure when he brief record on appeal, Appeals dismissed later denied motion for reconsideration. The Supreme affirmed, trial court vacate conviction or grant belated appeal. then sought habeas corpus relief Federal District Court, challenging dismissal ground that it deprived him right effective assistance guaranteed Due Process Clause Fourteenth Amendment. granted conditional writ corpus, ordering respondent's release unless Commonwealth either reinstated retried him. United States affirmed. Held: Amendment guarantees criminal defendant first as right. Pp. 391-405. (a) Nominal representation an right—like nominal at trial—does not suffice render proceedings constitutionally adequate; party whose is unable provide no better position than one who has all. A therefore adjudicated accord with due process law if appellant does have attorney. promise Douglas v. California, 372 353, 814, 9 811, Gideon Wainwright, 335, 792, 799, trial—would be futile gesture comprehended counsel. 391-400. (b) When State opts act field where its action significant discretionary elements, such establishes system appeals although do so, must nonetheless dictates Constitution, and, particular, Clause. P. 400-401. (c) Under any reasonable interpretation line drawn Ross Moffitt, 417 600, 94 2437, 41 341, between which does, defendant's Constitution requires least allowed all cases, civil criminal. And appealing previously had adequate opportunity present claims fairly context State's appellate process. It follows purposes analysis under Clause, right, thus triggering recognized supra. 401-402. (d) Petitioners' argument bearing Commonwealth's actions this case constitutional requirements Griffin Illinois, 351 12, 76 585, 100 L.Ed. 891 (the transcript prerequisite decision merits appeal), supra, cases followed their source Equal Protection rests misunderstanding diverse sources Court's holdings area law. Both equal protection concerns were implicated both Clauses supported those decisions. 402-405. 724 F.2d 560 (CA 6, 1984), Justice BRENNAN delivered opinion Court. 1 J. Gerald Henry, Frankfort, Ky., petitioners. 2 William M. Radigan, Louisville, respondent. Syllabus 3 811 (1963), held In case, we decide whether 4 * On 1976, jury found guilty trafficking controlled substances. His Kentucky, intermediate court. 1.095(a)(1) appellants serve "statement appeal" contain names appellees, counsel, judge, date judgment, additional information.1 England Spalding, 460 S.W.2d 4, 6 (Ky.1970) (Rule "is designed assist processing records compliance jurisdictional"). Respondent's September 1977.2 5 brief, included dismiss failure "appellant supply information RAP 1.095(a)(1)." App. 37a. Respondent moved reconsideration, arguing necessary fact albeit somewhat different format. At same time, tendered formally complied Rules. summarily review but judgment affirmed one-sentence order. final effort gain conviction, motion. federal Eastern Kentucky. He challenged constitutionality lawyer's him.3 appealed Sixth Circuit, reached instead remanded determination claim Lucey Seabold, 645 547 (1981). 7 remand, parties stipulated there issue only being court's dismissing violated thereupon reissued corpus. January 1984, Circuit Kavanaugh, 560. We petition certiorari. 466 949, 104 2149, 80 535 (1984). affirm.4 II 8 past seven years unsuccessfully pursued every avenue open obtain prove unlawful. courts' refusal hear stem from view merits, argue courts favor. Rather despite ineffective violates Before analyzing contention, appropriate emphasize two limits scope question presented. First, challenge finding indeed received alleges—and petitioners deny Court—that counsel's obey simple rule could drastic consequences finding. need content standards judging Cf. Strickland Washington, 668, 2052, 674 (1984); Cronic, 648, 2039, 657 Second, stipulation remand our inquiry solely validity Amendment.5 10 arises intersection lines cases. line, pursuing certain minimum safeguards make "adequate effective," see 20, 591, (1956); among (1963). second trial-level created applied through Amendment, 344, 796, 799 comprehends Cuyler Sullivan, 446 1708, 1716, 64 333 1980). presented appellate-level also 11 Almost century ago, require defendants seeking alleged errors. McKane Durston, 153 684, 14 913, 38 867 (1894). Nonetheless, "an integral part . finally adjudicating guilt innocence defendant," U.S., S.Ct., 590, procedures used deciding comport demands Constitution. itself, id., 13-14, 588. indigent afford buy way assure effective" Id., 591; Eskridge Washington Board Prison Terms Paroles, 357 214, 215, 78 1061, 1062, 1269 (1958) (per curiam ) (invalidating giving free transcripts convince judge "justice will thereby promoted"); Burns Ohio, 360 252, 79 1164, 1209 (1959) requirement pay fee before filing conviction); Lane Brown, 477, 768, 892 (1963) procedure whereby meaningful possible public defender requested transcript); Draper 487, 774, 899 providing satisfy frivolous). 12 Just may custom review, services lawyer virtually layman form suitable consideration merits. Griffin, 591. Therefore, principles afforded more "meaningless ritual" supplying 358, 817. This limited 341 (1974), attorney advance argument, regardless merit, urged appellant, Jones Barnes, 463 745, 103 3308, 77 987 (1983). available preparing submitting Swenson Bosler, 386 258, 87 996, 18 33 (1967) ), play role active advocate, rather mere friend assisting detached evaluation appellant's claim. Anders 738, 1396, 493 (1967); Entsminger Iowa, 748, 1402, 501 (1967). B 13 " 'so fundamental essential fair trial, law, made obligatory upon Amendment.' 340, 794, quoting Betts Brady, 316 455, 465, 62 1252, 1257, 86 1595 (1942); Powell Alabama, 287 45, 53 55, 158 (1932); Johnson Zerbst, 304 458, 58 1019, 82 1461 (1938). rested "obvious truth" lawyers are "necessities, luxuries" adversarial justice. 796. "The very premise adversary justice partisan advocacy sides best promote ultimate objective innocent go free." Herring New York, 422 853, 862, 95 2550, 2555, 45 593 (1975). liberty depends ability face "the intricacies prosecutor," Ash, 413 300, 309, 93 2568, 2573, 37 619 (1973); conducted represent him.6 As clear, guarantee "cannot satisfied formal appointment," Avery 308 444, 446, 60 321, 322, 84 377 (1940). "That person happens alongside accused, however, enough command. An accused entitled assisted attorney, appointed, plays ensure fair." 685, 104, 2063; McMann Richardson, 397 759, 771, n. 14, 90 1441, 1449, 25 763 (1970) ("It long been counsel"); 1716. Last Term, emphasized point while clarifying assessing representation. Because so cannot tolerate trials though name, 15 quotation Strickland, makes applies prosecution, without regard appointed. 342-345, 1714-17. mandate addressed obtaining fails meet "Unless charged serious able invoke procedural substantive distinguish justice, risk injustice infects itself. obtains unconstitutionally deprives liberty." 343, 1715 (citations omitted). C 16 mentioned—the recognizing includes counsel—are dispositive bringing attempting demonstrate consequent loss liberty, To prosecute proceeding that—like trial—is governed intricate rules layperson would hopelessly forbidding. unrepresented appellant—like protect vital interests stake. sure, did brought 17 attorney.7 result hardly novel. (1967), claimed that, represented name they type fair. agreed petitioners, holding submit waiver petitioner's full rendered subsequent judgments against unconstitutional.8 short, appeal—like Recognition affirm Circuit's case. Petitioners object disable enforcing wide range governing appeals. Counsel may, according disobey impunity precluded them 19 exaggerated. lower courts—and many courts—overwhelmingly appeal.9 These decisions seem dire States' conduct accordance rules. Nor matter longstanding recognition trial—including (1980), extended well appointed counsel—rendered ineffectual perhaps complex trials. 20 extent believes jeopardy, numerous courses remain open. For example, certainly enforce imposing sanctions client. Such course alternative refusing reduce possibility powerless term jail unlawful conviction. If chooses incompetent local rules, intrude client's rights. instance itself other contexts permitted postconviction attack remedy frustrated appeal," Hammershoy Commonwealth, 398 883 (1966); several solutions similar cases.10 established precisely validly freedom drastically curtailed. extinguish another appellant—the counsel—has violated. III 21 urge reasoning faulty premises. establish instance, immune scrutiny system. "conditional Third, even here subject Clause—upon based—has take up each these three arguments turn. A. 22 support initially rely (1894), 611, 2444; 751, 3312. derive proposition much broader principle "whatever appeal—whether how operate it—is concern ." Brief 23. follow cutting off attorney's incompetence permissible 23 unique withdrawn applicable norms. choose institute given welfare program, whatever programs protections Goldberg Kelly, 254, 262, 1011, 1017, (1970). Similarly, great discretion setting policies parole decisions, Morrissey Brewer, 408 471, 481-484, 92 2593, 2600-02, 484 (1972). Graham 403 365, 374, 91 1848, 1853, 29 534 (1971); Bell Burson, 402 535, 539, 1586, 1589, Sherbert Verner, 374 398, 404, 1790, 1794, 965 (1963); Joint Anti-Fascist Refugee Committee McGrath, 123, 165-166, 71 624, 645-46, 817 (1951) (Frankfurter, J., concurring). 24 relies According permit condition statutes Brown 551 557, 559 (1977). conclude counsel—or appeal." Section 115 provides "[i]n criminal, shall court." Unlike Ross, typically benefit prepared transcript, previous written opinion. 615, 2446. addition, fail indicating like respondent—unlike —is contingent involves jurisprudential issues; purpose appears determine individual lawfully convicted. process." 616, 2447. 26 Finally, apply manner conducts offended granting fortiori counsel—on Although progeny defeat attempt exploiting seeming ambiguity 27 Douglas, out involved wealthier lawyers, transcripts, prerequisites adjudication such, claim, should understood distinction rich poor defendants. permits forfeited surely prosecuting 28 area. 608-609, 2442-43, "[t]he precise rationale never explicitly stated, some derived Amendment." Accord, Bearden Georgia, 461 660, 665, 2064, 2068, 221 (1983) ("Due converge cases"). Note, 1962 Harv.L.Rev. 62, 107, (citing cases). clear played prior themselves. effect transcript. establishing implicitly determined unwilling curtail judicial decisionmaker, convinced having decided important—having step individual, 590—the wealthy. disposition distinguished respect arbitrary issues involved. noted dispensing "justice" level charging privilege pleading "would worthless thing." 17, 589. Deciding basis obvious fatal—defect. 357, 816 (procedure merit "does procedure"); 744, 1400 ("constitutional substantial equality can attained acts advocate") (emphasis added). 30 Our Anders, (1983), inconsistent petitioners' interpretation. above, dealt responsibilities representing appeal.11 Entsminger, rest attorneys specified types assistance—that is, rights enjoyed measured nonindigent appellants. instant correct, themselves erred reaching contrary conclusion. 31 lesson pointed 609, 2443, triggers distinct inquiry: 'Due Process' emphasizes fairness dealing State, individuals situation treated. 'Equal Protection,' hand, disparity treatment classes situations arguably indistinguishable."12 set refused offer treated class defendants—indigent ones—differently offering 32 Affirmed. Chief BURGER, dissenting. 34 Few things plagued administration contributed lowered confidence courts, interminable appeals, retrials, lack finality. 35 Today, REHNQUIST cogently points out, adds barrier finality offers real contribution fairer I join 36 REHNQUIST, whom THE CHIEF JUSTICE joins, creates whole cloth materials works—previous requiring indigents basic tools convictions, interpreting Amendment's "assistance counsel" —simply task called perform. heavily Clause." today's ignores conclusion six Justices joined : 39 "Unfairness results singled access poverty. That profitably considered analysis." 2444. 40 further precedential cites passing dictum nothing review. fact, precedents imposed bar narrower nonindigents. place 816, stated obstacles placed path "comport procedure," explained unfairness entirely terms inequality: 42 "There lacking demanded man, enjoys examination into record, research marshalling behalf, indigent, already burdened preliminary forced shift himself." 357-358, 816-17. 43 Even plurality 18-19, 590-91, (1956), simply "invidious discriminations" persons "must money transcripts." Moreover, Frankfurter, concurrence decision, viewed protection. 21-22, 591-92. 44 vein, reading cited reveals uniform reliance concepts process.* Contrary characterization, create per force confer nonindigents; clients vigor ordinarily paying clients. Neither language nor prosecutions, enjoy Assistance defense" observes, interpreted prosecutions incorporation words "prosecutions" "defense" plainly indicate proceedings. stage, needs "as shield 'haled court' stripped presumption innocence." 610-611, 2443-44. 46 matter. beyond doubt sentenced imprisonment, immediate deprivation seeks "to upset guilt" universally retain sword" endeavor. There substantial, critical, advised commonly so. Accordingly, protection, stand footing nonindigents convictions. extends supporting rationale. 47 "It wholly within allow review." 687, 915, decides "upon wisdom deemed proper." 687-688, 914-15. aberration. convictions until 1889 Congress direct capital 1891 include "otherwise infamous" crimes. Carroll States, 354 394, 400, 9, 1332, 1336, 1442 (1957); Kent, Commentaries American Law *325 (1896). 1907. 591 concurring judgment); Jenks, Short History English 353 (6th ed. 1949). countries, concept almost trial. 48 Citing Wainwright Torna, 455 586, 587-588, 102 1300, 1301-1302, 475 (1982) curiam), candidly acknowledges "[o]f course, dependent itself." Ante, 397, 7. Proper apart invoked therefore, logic 49 analogy (1970), confers so-called "entitlement" totally inapposite. They turn "property," express deprivations "property." True, expressly "liberty," incorporating "liberty" lawful 2443-44, unsuccessful attack. Illinois defendant" characterization general expressed recently Members 50 undesirable. Challenges performance become routine petitions. Now criminals meritorious bases attacking tie petitions alleging defective akin mirror facing mirror, image repeating infinity. 51 Today's undermines Presumably, common country comply time limits, see, e.g., Fed.Rule App.Proc. 31(c), longer enforced understandable sympathy badly served hired lead treat authority, use indiscriminately litigants attorneys' neglect malpractice. most areas life bound, often prejudice, omissions agents, believe prohibits carrying over generally prosecution 1.090 provided: "In forth: appellee. address judge. entered, page found. (e) (f) following facts, any, true: (1) cross filed; (2) supersedeas bond executed; (3) reason advanced; (4) suit involving multiple .; (5) pending transaction occurrence, consolidated, style case; (6) bond." forth 9-10, 3. headings were: "I. Was Error Admit Photographs Appellant Into Evidence Which Lacked Any Probative Value Served Only Mislead Arouse Passion Prejudice Jury. II. Trial charge Jury Failed Meet Requirements Law. III. Constitutional Right Fair Improper Conduct During Prejudicial Comments Made Prosecutor Summation." 7a-9a. none us. referred Governors Bar Association disciplinary "attacking own work product." 44a. informed five days oral released custody rights, including suffrage hold office, restored May 1983. However, pardoned collateral remain, impeach testimony might give future persistent felony offender charges future. moot. Carafas LaVallee, 391 234, 238, 88 1556, 1559, 554 (1968); Sibron 392 40, 55-57, 1889, 1898-1900, 917 (1968). Seemingly, entered retained, counsel—whether appeal—have focused presentation prosecutor. See, 817, (noting "counsel's [client's] behalf"). order favorable decision. facts different, related, aspect role, expert professional legal less decision—on here, particularly egregious essentially waived merits; sense, difficult someone held, considerations different. infra, Of 1301-02, curiam) ("Since application timely") (footnote "of counsel." 749, 3311. Jones, raise defendant. rejected goal "vigorous advocacy." 754, 3314. superfluous place. Francois 741 1275, 1284-1285 (CA11 1984); Tsirizotakis LeFevre, 736 57, 65 (CA2), cert. denied, 869, 216, 146 Branch Cupp, 533, 537-538 (CA9 Alvord 725 1282, 1291 (CA11), 956, 355, 291 Cunningham Henderson, (CA2 Doyle 721 1195 1983); Gilbert Sowders, 646 1146 (CA6 1981) (dismissal ran afoul "highly technical rule" process); Perez 640 596, 598, (CA5 cases), 456 910, 1759, 72 168 (1982); Robinson Wyrick, 635 757 (CA8 1981); Cleaver Bordenkircher, 634 1010 1980), sub nom. Sowders Cleaver, 451 1008, 101 2345, 68 861 (1981); Miller McCarthy, 607 854, 857-858 1979); Passmore Estelle, 594 1979), 937, 2155, 789 (1980); Cantrell 546 652, 653 (CA5), 431 959, 97 2687, 278 (1977); Walters Harris, 988, 990 (CA4 1972), Wren 409 1129, 947, 262 Macon Lash, 458 942, 949-950 (CA7 1972); Hill Page, 454 679 (CA10 1971) (performance judged Entsminger); Blanchard 429 89 1970) papers properly violation Williams 548 1968); Harkness 264 Ark. 561, 572 835 (1978) curiam); People Barton, Cal.3d 513, Cal.Rptr. 727, 579 P.2d 1043 (1978); Erb 332 A.2d 137 (Del.1974); Hines 237 827 (D.C.1968); Barclay 444 So.2d 956 (Fla.1984); McAuliffe Rutledge, 231 Ga. 204 S.E.2d 141 (1974); Erwin, 57 Haw. 268, 236 (1976); Ill.2d 307, 235 N.E.2d 562 Burton 938 (Ind.1983); Wilson 284 Md. 664, 669-671, 399 256, 258-260 (1979); Irving 441 846, 856 (Miss.1983); Gonzalez, N.Y.2d 606, 419 N.Y.S.2d 393 Shipman Gladden, 253 Ore. 192, 453 921 (1969); Wilkerson, 490 Pa. 296, 416 477 Grooms 320 N.W.2d 149 (S.D.1982); re Savo, 139 Vt. 527, 482 Rhodes Leverette, 160 W.Va. 781, 239 136 diverge widely ineffectiveness, ordered, used. Stahl 613 617 (1981), proper enter new one, whereupon taken judgment." 618. Rodriquez 395 327, 332, 1715, 1718, 340 (1969) (ordering denial prosecution); Winterhalder, 109 1983) (discussing remedies). 396-397. 2068-2069, went analyze there—the appeals—primarily neither ever exerted influence ("[W]e '[d]estitute transcripts,' [76 591] ); 1169, ("Indigents opportunities Ohio"); 484-485, 772-73, ("The falls clearly staked Burns, Smith [v. Bennett, 365 708, 81 895, (1961) ], "Such procedure, based indigency alone, standards"); 496, 779, ("[T]he duty funds—the means presenting contentions good contentions"); 1400, ("assure penniless appeal—as nearly practicable—as retention private 259, 997, (assistance "may defendant, indigency"). 751-752, 1403-04, (relies Griffin-Douglas Anders); 750-754, 3312-3314, (interpreting Anders).

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