Document: 528 U.S. 259120 S.Ct. 746145 L.Ed.2d 756 GEORGE SMITH, WARDEN, PETITIONERv.LEE ROBBINS No. 98-1037. Supreme Court of the United States Argued October 5, 1999 Decided January 19, 2000 Syllabus An attorney appointed to represent an indigent defendant on appeal may conclude that would be frivolous and request appellate court allow him withdraw or dispose case without filing merits briefs. In Anders v. California, 386 U. S. 738 , this found that, in order protect a defendant's constitutional right counsel, courts must safeguard against risk granting such requests where is not actually frivolous; California's procedure for evaluating inadequate; set forth acceptable procedure. California adopted new People Wende, 25 Cal. 3d 436, 600 P. 2d 1071. Unlike under procedure, counsel Wende neither explicitly states his review has led nor withdraw; instead he silent offers brief issues at court's direction. A state-court jury convicted respondent Robbins second-degree murder grand theft. His concluded filed with State Appeal complied Agreeing counsel's assessment, affirmed. The denied review. After exhausting state postconviction remedies, sought federal habeas relief, arguing, inter alia, had been effective assistance because did comply requirement refer "to anything record might arguably support appeal," 744 . District agreed, concluding there were least two have supported Robbins's finding failure include them deviated from thus amounted deficient performance by counsel. Rather than requiring prove prejudice deficiency, applied presumption prejudice. Ninth Circuit Anders, together Douglas 372 353 --which held provide criminal defendants appeal--set exclusive which could constitutional, failed court, however, remanded consider other trial errors raised Robbins. Held: 1. only one method satisfying Constitution's requirements appeals; are free adopt different procedures, so long as those procedures adequately Pp. 6-13. (a) issue permitted upon conclusory letter stating "no merit" affirm conviction reaching same conclusion following record--did comport fair lacked equality Fourteenth Amendment requires, placed within line precedent beginning Griffin Illinois, 351 12 continuing imposed constraints choosing create Comparing invalid statutory governing appeals indigents was inadequate it mean lacking prospects frivolous. Court, final, separate section, out what treating appeals. 6-9. (b) erred Anders' s final though unnecessary holding case, obligatory States. This never held; its precedents suggest otherwise; Circuit's view runs contrary Court's established practice. McCoy Appeals Wis., Dist. 1, 486 429 rejected challenge Wisconsin's variation even variation, respect, provided less advocacy indigent. Pennsylvania Finley, 481 551 explained independent command, but rather prophylactic framework; say framework vindicate announced Douglas. Similarly, Penson Ohio, 488 75 described simply erecting safeguards. Finally, any last section converted suggestion into straitjacket contravene practice allowing wide discretion, subject minimum Amendment, experiment solutions difficult policy problems. See e.g., supra. status court--particularly system--avoids imposing single solution top down evaluates time, while leaving "the more challenging task crafting appropriate ... laboratory first instance," Cruzan Director, Mo. Dept. Health, 497 261 ( O'Connor, J., concurring). 9-13. 1 2. does violate Amendment. 13-22. 2 precise rationale cases stated, law reveals Equal Protection Due Process Clauses largely converge require State's "afford adequate defendants," Griffin, supra, 20 (plurality opinion). provides reasonably ensures indigent's will resolved way related merit appeal. determining whether particular satisfies standard, important focus underlying goals should serve--to ensure whose receive required Douglas, also enable "protect itself subsidized public moneys needlessly spent," 24 (Frankfurter, concurring judgment). For direct bring and, concomitantly, bringing 's obvious goal prevent limitation swallowing itself, retreat here. 14-16. 3 appeal's merit. comparison evaluated chief demonstrates affords undoubtedly far better inadequate. significant fact old reviewed Eskridge Washington Bd. Prison Terms Paroles, 357 214 Lane Brown, 477 relied, determination unlikely prevail appeal, contrast, requires both find arguable issues, i.e., additional problem apparently then decide appointing Such struck basic violation until determined nonfrivolous Under violations do occur, move orders briefing if finds issues. disapproved file one-paragraph "bare conclusion" no merit, summary case's procedural factual history, citations record, trained legal eye searched assist reviewing own evaluation. providing tiers review, avoids flaw, Lane, having tier. 16-19. 4 (c) comparable approved. By raise describe frivolous, made good-faith effort mitigate problems critics namely, ethical duty officer (by presenting arguments) well further client's interests characterizing claims frivolous). attempts resolve another problem--that adopts gradations frivolity uses meanings phrase "arguable issue"--by drawing defining appears be, some ways, approved McCoy, worse. On balance, cannot latter, assuming arguendo they outweigh former, sufficiently make unconstitutional, purpose Constitution arguments. addresses prudent appropriate, constitutionally compelled. Cronic, 466 648, 665 n. 38. It enough like unlike ones in, Penson, indigents. 19-22. 5 3. evaluate ineffective-assistance claim. entitled brief. Both unclear how used issues." therefore necessary clarify strong are. proper standard claim remand enunciated Strickland Washington, 668 : He show objectively unreasonable, id., 687-691, failing succeeds showing, burden demonstrating prejudice, 694. satisfy prongs test prevail, warrant received who valid left Thus, presumed result proceedings reliable, incorrect. Further, fall three categories presumed, involve complete denial interference assistance, actual conflict interest part. Id., 692, 22-27. 6 152 F. 1062, reversed remanded. 7 writ certiorari united ninth circuit 8 T homas, delivered opinion Rehnquist, C. Scalia, Kennedy, JJ., joined. Stevens, dissenting opinion, Ginsburg, Souter, Breyer, 9 Justice Thomas Court. 10 Not infrequently, concludes (1967), we defendants' We procedure--which record. went since departs respects delineated question departure fatal. hold not. sketched one; 11 * 441-442, 1071, 1074-1075 (1979), followed numerous then, see, e.g. Rowland App. 4th 61, 63, 88 Rptr. 900, 901 (1999), files summarizes history attests evaluation client, client copy brief, informed pro se supplemental independently examine (although considered implicit, see 3d, 2d, 1075) leave withdraw. Instead, expresses availability desire briefing. generally id ., 438, 1072, 1074-1075. 13 receiving " brief," "conduct entire record," regardless Id thorough notwithstanding Justice's argument exceeded performs 444-445, 1077 (Clark, judgment part); 444, 1076 ("The `no merit' `was enough.' Just `enough' clear, majority function cocounsel"). If after pursuant affirm. 443, (majority If, i.e. nonfrivolous) issue, issue. 442, 3, 1075, 3.1 B 14 1990, Lee (for fatally shooting former roommate) theft automobile stealing truck flee committing murder). sentenced 17 years life. elected himself trial, procedure.2 availed contended insufficient evidence prosecutor violated Brady Maryland 373 83 (1963), disclose exculpatory evidence. 15 Appeal, agreeing assessment "examined record" had, result, fully responsibilities exist." 39. added Ibid. petition 16 Central instant corpus 28 2254.3 renewed claim, argued waiver nine error. addition, most importantly present purposes, claimed 368 S., follow seeking permission representation when includes "referring ibid agreed (in noted above, issues): first, prison library needs preparing defense dismiss proceed second, refusing attempt determine likelihood either these prevailed Rather, language "might arguably" "support[ed] 51, (citing ), including deviation suffered performance, 49. based ordered grant 30 days else release custody. 18 view, "set through can pass muster." 1066 (1998). Rejecting petitioner's sufficient not, identify 1066-1067.4 standing alone, 1066-1067, award relief identified. remanded, respondent's 1069. reasoned claims, granted certiorari. 526 1003 (1999). II 19 earlier handling Pursuant Anders's 739 -740. response, counsel; request, That issued four affirmed, error (or prejudicial error). 167 65, 333 854 (1959). thereafter explaining again `without merit.' 740 (quoting unreported memorandum "California's action lacks Amendment." 741. (1956), supra choose review.5 breached constraints, compared 741-743. relied Ellis 356 674 (1958) (per curiam), involving requirements, quoted passage it: 21 ` convinced, conscientious investigation, course, ask account. satisfied diligently investigated possible grounds agrees allowed denied.' 741-742 Ellis, 675). 22 frivolity.6 adequate, "frivolous": "We acted greater capacity merely amicus curiae condemned ." 743 23 Having proceeded, appeals: "[I]f wholly examination it, advise must, accompanied referring furnished time points chooses; court--not counsel--then proceeds, full all proceedings, insofar concerned, decision merits, requires. hand, their (and frivolous) prior decision, afford argue appeal." 744. deficient. Among things, thought "induce pursue vigorously ready references authorities counsel." 745. 26 ruled our disagree. read permitting States, broad bounds Constitution, questions policy. 27 (1988), Wisconsin departed briefs discuss why each rule forced obligations client. We, emphasized arguments 436 similarly, "under obligation refuse prosecute ibid. (footnote omitted). explained, aims "assure rights violated." 442 Because assurance, violation, variance -444. did, going "one step further" suggesting mandatory minimum, think description questionable, indigent--in respect--than one-sided best probably likely (1987), "an command," just "a framework" 555 right; instead, making clear compel suggested otherwise. Ohio "safeguards." 80 29 true -82, reached. reason mandatory, clearly infra 18. closely analogous 77-78, need rely opposed holding, improper. 77 presented remarkably similar [to ] answer"). practice, rooted federalism, Illinois invoked foundational 741 expressly disclaimed pretensions rulemaking authority area unconstitutional Illinois's pay fee transcript essential Frankfurter, fifth vote tell means open chosen. prescribe discretion" "may spent." (opinion "bolt door equal justice," obliged "support wasteful abuse process." Ibid plurality shared "that purchase stenographer's every buy it. [of Illinois] affording defendants." 20. 31 context, stated principle federalism very Term decided emphatically reaffirmed "has [to] establish rule-making organ promulgation rules procedure." Spencer Texas, 385 554, 564 (1967) (citing, alia ). Accord Medina 505 437, 443-444 447-448 (1992). Stewart, further: 32 "If gave me roving commission impose Texas my notions enlightened policy, I join opinion. [But] [t]he below level tolerate. Upon question, am constrained Court." 569 (concurring 33 continued reiterate recent years. Finley 559 (refusing accept premise "when chooses offer help convictions, Federal dictates exact form assume"); (explaining "substantial discretion develop implement programs aid prisoners secure review"); Murray Giarratano 492 (1989) O'Connor concurring) ("[N]or seem model [postconviction] proceedings. [have] considerable discretion"); Kennedy judgment) ("[J]udicial imposition categorical remedy pretermit responsible being Congress legislatures"). Although involved counsel) think, suggests, contexts. here, 34 short, keeping particularly system, avoid down. should, do, come before us, Murray, 14, instance." 261, 292 (1990) (citation internal quotation marks cavalierly "imped[e] States' ability serve laboratories testing novel problems." Arizona Evans, 514 (1995) Ginsburg dissenting). Accordingly, may--and, confident, will--craft terms superior to, good as, erects barrier doing so.7 III 35 diverges turn merits. system appellant pursuing [the] safeguards `adequate effective,' Evitts Lucey 469 387, 392 (1985) opinion)). 36 As admitted occasions, "[t]he lines derived Clause Amendment.' Evitts, 403 Ross Moffitt, 417 600, 608-609 (1974) omitted)). But practical matter, clauses appeal.8 17-18 opinion) (state regulating indigents' bore rational relationship guilt innocence"); (law "differentiations relation appeal"); (decision "without benefit matter meritorious [an indigent's] be" discriminates between rich poor "possibly obviously bad cases" (internal omitted)); Rinaldi Yeager 384 305, 310 (1966) "free unreasoned distinctions"); 404 "decided arbitrary respect involved"). Compare 556 protection guarantee assure[s] opportunity fairly context process" Ross, 616)), 405 ("[D]ue process [requires] obtain adjudication appeal" (discussing )).9 although, right, equally appeal.10 -438; 357; 656 (1984) ("Of Sixth [trial] impossible unethical"); cf. Nix Whiteside 475 157, 175 (1986) (no refuses perjured testimony). To put point differently, dismissed deprived opportunity" 405; 556, fairness once properly -84; today. 37 Whatever strengths weaknesses fails makes evident. 38 disapproving chiefly precedents: (1958), curiam) (1963). -743. explain detail precedents, heavy reliance factor (" denied' 675)), ("We frivolity"). 437 flaws grave errors' 742 215), `would unsuccessful,' 482). say, 439, 1073, 1075; 441, 1074 (reading "because express frivolous"). 39 740, doubt accurate, 82 -83, (stating latter flaw "[m]ost significan[t]" one). ("[I]t emphasize petitioner completely during decisional process"); (defendant "entirely appeal"). Cf. 430 -431, (approving affirms, relieves counsel). 3; also, 61-62, 900-901. 40 paragraph insufficient. much objection severable lack frivolity, immediately discussion finding. event, conclusion." Counsel's assists case. 41 tier --by judge (who understandably little incentive warranting appeal) defender 742-743. was, part, flawed reason. 354 -355. suffer 42 exceed invalid, Turning note has, beginning, faced `consistent severe criticism.' re Sade 952, 979, 7, 920 716, 731, (1996) Note, 67 L. Rev. 181, 212 (1988)). One consistent criticisms, wrestled tension (which permit characterize frivolous).11 43 Another criticism incoherent follow. Those "wholly frivolous" contain said "therefore frivolous." 744.12 words, use issue." well, frivolous.13 44 unconstitutional. exacerbated already problem. scheme discussed--and reviewed--only parts cited "arguable" raised. 440 442. treatment court. 440-441, 1074-1075; 445, part). directing issues; presumably thing. selecting divert attention meritorious, unmentioned, is, applicable Moreover, predispose reach conclusion. reduces risks, omitting signals subtly undermine independence thoroughness second 45 Our them, us so. address compelled." used. IV 46 Since reverse principles identified reversal necessarily rendered ineffective fails. argues, Indeed, meaning issue" opinions below, clear. unusual --an supporting 1067 ); 48 (District (same). term signify normal sense 49, considering "whether violated," "in faith potential prevailing"). regard adequacy library, waived object trial. 47 remand, neglecting (1984). Smith 527, 535-536 (applying appeal). Respondent Strickland, 687 -691, appeal--that unreasonably discover raising them. reasonable probability unreasonable 694 unprofessional errors, proceeding different").14 applicability actual-prejudice prong follows distinguished altogether warrants mere -89. because, discussed, 18, followed, 88. presume "[a]ctual constructive altogether." 692 ; 659, 25. normally apply "strong reliability" judicial overcome presumption, 696, when, opposite, 692. 49 where, prejudiced. worried protections afforded 86 Here, area, incorrect 50 presses cases, demonstrate First, noted, Second, "various kinds assistance" 692; Cronic 659 Third, "prejudice burdened interest," although adversely affected None applies Robbins's. Nor offered "is case-by-case inquiry worth cost." 658.15 contrary, found, 51 harder easier Jones Barnes, 463 745 (1983), not) select among maximize success Notwithstanding Barnes still incompetent. See, Gray Greer 800 644, 646 (CA7 1986) ("Generally, ignored stronger presented, overcome"). With erroneously defendant-appellant part test, competent showing present. analysis same.16 52 sum, reversed, 53 ordered. NOTES addition double third layer Appellate Projects, First District: "[The projects] contract court; contractual duties records court-appointed identifying decides project staff reviews appropriate. qualified handle case) experienced [the project]." Hackett, 1297, 1311, 219, 228 (1995). Before consulted Project Second 43. Antiterrorism Effective Death Penalty Act 1996, 110 Stat. 1214, amended 2254 provisions, petition, Act's date April 24, 1996. Lindh Murphy 521 320 (1997). subsequent reiterated differs Delgado Lewis 181 1087, 1090, 1093 cert. pending, 98-1427; Davis Kramer 494, 496, 497-498, stay pending disposition pet. cert., 527 -- place. Moffitt 606 McKane Durston 153 684, (1894)). itself. 249 478, 480-481 (CADC 1957) (Washington, dissenting) ("Counsel rulings `so erroneous constitute probable error.' Where, proceeded argument"), vacated curiam). have, fact, degree. Warner, Fifty States: Some Appellants' More Than Others', Fla. St. 625, 642-662 (1996); Clark --, CA-CR 97-0673, WL 21250, ;25-38 (Ariz. App., Jan. 1999). Of eliminate E.g. Walters National Assn. Radiation Survivors, 473 320-321 (1985). equality" paid receive, 429, 438 "[a]bsolute required; drawn often sustain them," 353, distinction gives previous emphasis appellant's "advocacy." advocate does, attorney, zealous interests, discern 675 738, 741-743 (1967). confronted situation something Code Professional Responsibility describes unethical; choice canon she prefers violate." Pengilly, Never Cry Ethical Dilemma Counsel Appointed Pursue Frivolous Criminal Crim. J. 45, 64 (1986). Commonwealth Moffett 383 Mass. 201, 206, 418 N. E. 585, 590 (1981) "Janus-faced approach" counsel); Hermann, Appeals, Y. 701, 711 (1972). dissent majority: `arguable' 746 746, Wolfram, Modern Legal Ethics 817 directives confusing, contradictory"). 17-18. unjust. particularly, setting oblivious scarce resources (with courts) crafted diverts Pritchard, Auctioning Justice: Market Mechanisms Allocating Counsel, Am. 1161, 1167-1168 (1997) created "tragedy commons" "far guaranteeing defendants, mediocre representation, bad" 1169 (noting effect courts); 1162 fiat cure scarcity; disguises symptoms disease"); Doherty, Wolf! Wolf!--The Ramifications 59 L., & (1968) ("[T]he people unjustly convicted; languish lawyers devote energy hopeless causes come-first served basis" worse aware policy-based courts, Williams 1202, 1205-1206, 69 690, (1997); Brief Retired Armand Arabian et al. Amici Curiae extent today continue component addressed first. ineffectiveness ground expect so, course followed." 668, 697 "easy identify" (since error) attributable prosecution. judges are, capable assessing sorts Duhamel Collins 955 962, 967 (CA5 1992) prejudiced sufficiency evidence); Banks Reynolds 54 1508, 1515-1516 (CA10 1995) (finding (1963)); Cross 893 1287, 1290-1291, 1292 (CA11) (rejecting Faretta 422 806 (1975), prejudice), denied, 498 849 (1990). occasion per approach, lieu requirement, challenges convictions Goeke Branch, 115, 119 (distinguishing supervisory power administer States); Stevens whom joins, dissenting. 55 While Souter cogent qualification, write separately obscured somewhat meandering explanation sharp settled law. 56 despite directly, effectively overruled (1988). unexplained rejection reasoning ante, 9-10, illustrates today's majority's disregard accepted precedent. 57 quote defendants: 58 "A Ante 14. --both Court--would easily standard. Yet accepts current "requires 17. position heavily feature [State's] reads record." O. T. 1966, 98, pp. 30-31; 12-13, 23, 28-29. held, "additional feature" rights. 60 shall draw experience practicing lawyer judge. many occasions writing reasons initial law--whether giving advice judge--leads previously apparent. Colleagues importance reasons, announcing conclusions, joined authored Nickols Gagnon 454 467 1971).1 casual ignores portion opinion: 61 "Wisconsin's Rule go further. Instead relying assumption discovered facts refute diligence. furthers unrecognized aspects written her conclusion, mistaken conclusions strongest favorable forestall motions passing soundness lawyer's 81 -82. 62 "simply putting pen paper shed light appear open-and-shut Id. 82, 4. reason, quite wrong articulate results "less advocacy." 10.2 63 employed clerk transcripts search sure related" approaching attorney. Like so-called "principle substantial decades. NOTES: "The danger busy inexperienced opt favor sentence individual marginal real, dedication typifies profession. ultimate `referring appeal,' temptation discharge fashion avoided, meaningful assistance." Nickols, 470 footnotes omitted) (1967)). "summary facts," 1072 (1979); ante plainly above purpose, force "put paper" regarding things relevant appeal--legal assertion, 18-19, improve --a Breyer join, 65 limited prohibition litigation, realize corresponding odds other, perfect place believe 1071 assure adversarial character demanded respectfully dissent. 66 guarantees felony defendant, Gideon Wainwright 335 contains similarly freestanding, unconditional all, (1974). When elects notice. 12, (1956); (1966); 393 examined schemes justice conditioned pay, 605-609. Even required," retain Amendment1 appellants substantially footing appointment expense. (1988) (referring equality"). 68 Two services examines advocate's eye, weighing dispassionate mind committed representative, pledged primed attack reveal. error, prepares submits argues services, partisan scrutiny goes irreducible core litigant adversary consistently assigned paramount vigorous nature justice." 75, 84 674, curiam); 357-358; 438. unqualified retained imagine appointed. 70 service, briefing, unqualified, arises. system's lawyers. Being officers members bar bound "not clog appeals," Polk County Dodson 312, 323 (1981); given responds arises views barred pressing court.2 71 rub deny take assurance relaxed instinct refusing,3 compensate advocacy. simple statement coupled endorsement affirmative indication anyone championed cause degree contemplated system. acquire implicit persuasiveness exposure interested opponent's readiness mount challenge. government dispute evaluation; berate opponent up. guard possibility, done work looking hard prod reclusive ostensibly unpromising assess efforts fact. renders invisible affront Constitution. 81-82. 72 devised mechanism 80. "must best, short calling black white, flag closest appealable; job give chances comes up trifling "[T]he counsel--," continued, "then 73 contemplates markedly character. advocate, representative. spot. Then disinterested judge, asks questions: really misjudged legitimate appealability work, assuring gone undiscounted. repeatedly dual responsibility. `First, court] diligent correctly frivolous.' 74 significantly abstract conceivably appealable points. Without partisan, expense assumed. And panel act relegated inquisitorial role. owing adversarial, inquisitorial, disagree approve "reasonably purely criterion, appoints deems useful. 355 looks ends.4 Singer 380 (1965) recognizes ..."). 87 ("A single-minded ..."); 685 envisions playing role critical results"); ("Thus, protected accused `counsel acting advocate.' ") 743). 76 details exclusive, exemplifying behalf certainty briefed benchmark, measure Its primary refrain mentioning possibly no-merit brief; deficiency correlative obliging issue-spotting, 440-442, assumes assure, promote, summarize nothing affirmatively, evaluation, heart begs "[c]ounsel's inability readily inferred any," id. p. 1075 misses approval supervisor. indicator product specifically Thus sake toes judgment. hand conceivable hence reviewable preserve 78 reasoning, judge's nonpartisan suffers hands document Exactly dependable guardian interest, 6, frivolousness instance, 355-356, declaration assisted defect detached magistrate instance get course. 79 saying, too, start scratch adds shoulders. drawback significance, raises certainly underscore uninformed analysis. retired Justices Courts pointed "risk cold [under scheme] perfunctory issue-spotting guidance, associated citations, 5. amici candidly represented "[w]hen receives assigns analyzing Typically, oral presentation Arabian, 6. responsibility thrown onto attorney; clearer seriously respective relief. premised potentially showed litigation. invoke findings, predicate more, would, effect, reinstate application Griffin. want competence (demonstrated here brief), "reasonable probability" produced behind representing level, whereas assumed situation, nominal functioning friend helping grasp structure purporting highlight record's nearest approach hope attorney) abandons longer rendering 654 -655. missing ingredient essence closer subpar This, answer specific shown absence reversible end day smartest world watched off prison. 658-659; Rodriquez 395 327 (1969). fared look sort ensued flagged came due otherwise pursue. Peguero 30-31 (1999) concurring); Rodriquez, 330.6 anticipated dealt standards supplying weaknesses, missed subsequently legitimately losers. recognized purposes Chapman 85 -86. appoint egregious 83, consequent withdrew, now. There theory highly precarious positions judgments make. absent formally constructively post-conviction (among things) unidentified waived. certain inefficient consuming effort.7 What remains word about Teague 489 288 (1989), entailed holdings. seems disapproval juncture novelty (resulting objections). meritless repeated starting echoed Once general become "new" occur. Saffle Parks 494 484, 491-492 Jurek 428 262 (1976), Penry Lynaugh 302 (1989)). point, AEDPA beyond "clearly law, States," 2254(d)(1) (1994 ed. Supp. III) minimal demands assurances, roots protection, M. B. 519 102, 120 (1996), decisions rested ," Bearden Georgia 461 660, (1983). 611 profitably analysis"). acute retained. however. Paying clients fire expressing unsatisfying replacement keener duller nose ones. too costly monied wasting resources, mean, obligated subsidize known around Los Angeles Jail `dumptruck.' Reply Petitioner required, able nonadversarial appellants. They reserve unrevealing certification analysis, assertions uniform throughout State, Jesus Garcia Amicus began February 1994, governed 1996 (AEDPA), (1997), post-AEDPA 12-13. option Calfornia Brecht Abrahamson 507 619 (1993), promise statute limitations run, 2244(d)(1) ed., III). submission supplanted California. 9-10. Briefs according adumbrated

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