Document: 333 U.S. 640 68 S.Ct. 763 92 L.Ed. 986 BUTEv.PEOPLE OF STATE ILLINOIS. No. 398. Argued Feb. 12, 1948. Decided April 19, [Syllabus from pages 640-642 intentionally omitted] Mr. Victor Brudney, of New York City, for petitioner. William C. Wines, Chicago, Ill., respondent. Justice BURTON delivered the opinion Court. 1 In Circuit Court La Salle County, Illinois, petitioner, Roy Bute, pleaded guilty to crime 'taking indecent liberties with children' as charged in each two indictments and, on plea, was sentenced confinement Illinois State Penitentiary not less than one nor more 20 years, sentences run consecutively. Each common law record is silent subject counsel petitioner's defense. The issue here whether or state sentence shall be held have been imposed violation due process clause Fourteenth Amendment Constitution United States1 because shows that petitioner appeared 'in his own proper person' and does show court inquired desire represented by counsel, ability procure assigned him assist defense, such offered him. We hold a silence respective records suffice invalidate sentences. further that, absence any showing beyond these records, Amn dment did require make inquiries offer assignment now claimed right 2 At time indictments, June 17, 1938, 57 years old. indictment, its first count, taking May girl under age 15, second attempting do so. indictment related eight 11. offenses were violations Ill.Rev.Stat. c. 38, § 109 (1937).2 3 intelligibility evident following language quoted first: 4 'That Bute late said wit: 19th day year our Lord thousand nine hundred thirty-eight at within County Salle, being male person seventeen (17) upwards, then there unlawfully feloniously take certain immoral, improper female child, fifteen (15) (8) to-wit, * intent arousing, appealing gratifying lust, passion sexual desires contrary form statute case made provided, against peace dignity same People Illinois.'3 5 material portions cases are identical, except names ages children. They contain all before Supreme this appears each: 6 'Arraignment plea guilty—June 20, 1938 7 'Now come Taylor E. Wilhelm, State's Attorney, defendant also comes; Whereupon furnished copy list witnesses jurors herein. 8 'And arraigned bar moves leave enter Guilty children manner count herein; having admonished explained consequences penalties, which will result still persisting oft aking children, herein, grants leave. 9 'Thereupon enters 10 finds fifty-seven (57) years. 11 'Judgment 12 again comes, defendant, saying anything why judgment should pronounced heretofore entered 13 'Whereupon it Ordered he hereby aforesaid Joliet period (1) year, twenty (20) years.' 14 October, 1946, while serving Penitentiary, appearing pro se, filed motions asking 'to Sue Poor Person Writ Error *' review original proceedings. These granted petitions, based upon cases. He relied particularly claim had denied representation trial advised rights assistance rushed expedition deprive fair impartial trial, guaranteed Federal Constitutions. 15 affirmed both judgments. 396 Ill. 588, 72 N.E.2d 813. It expressly abovementioned claims rehearing. certiorari recognition frequently arising constitutional principle involved. 332 756, 40. presentations, marked professional accuracy clarity but petition states ignorant documents se prepared appointed member Bar act fully competently presented 16 Effect Amendment. 17 turn meaning 'due law' relation defense accused criminal trials these. Powell v. Alabama, 287 45, 53 55, 77 158, 84 A.L.R. 527, relief group capital demonstrated essential need applying full force invalidation purportedly valid judgments rednered circumstances shown. Those other extreme casses well illustrated kind service cause justice can rendered thus giving effect 18 'The up statutes several them test what requires; enable revise decisions courts questions law. What action, through agency another, consistent fundamental principles liberty lie base civil political institutions infrequently designated 'law land.' prn ciples applicable alike depend vary local legislation.' Hebert Louisiana, 272 312, 316, 317, 47 103, 104, 71 270, 48 1102. 19 'This has never attempted dofine precision words law,' necessary so case. sufficient say immutable justice, inhere very idea free government, no Union may disregard, man condemned property without notice an opportunity heard defence.' Holden Hardy, 169 366, 389, 390, 383, 387, 42 780. foregoing statements referred approval Albama, supra, 67, 71, 72, 63, 65. 21 present case, hand, illustrates equally invalidated lacking required This so, although precedure followed, instant cases, might satisfied practice federal comparable crimes. Amendment, however, prescribed says merely 'nor life, liberty, property, law; *.' equivalent particular state. reference rather standard cover many varieties processes expressive differing combinations historical modern, juridical standards, provided they conflict 'fundamental page 104. leaves room much freedom which, States accordance purposes, originally reserved their exercise police powers control over procedure followed courts. recognizes differences arise naturally between procedures those courts.4 22 One major contributions science government division Government. compromise central considered securing ratification 1787 1788.5 emphasized 'Bill Rights,' ratified 1791. ten Amendments constituting Bill, additional restrictions placed Government int courts.6 None states. On contrary, people Ninth Tenth Amendments.7 conceived large part spirit Declaration Independence declared secure 'unalienable Rights' 'Life, Liberty pursuit Happiness. Governments instituted among Men, deriving just consent governed, sought keep individual close While modifications States, Congress some relations people, change taken underlying procedures. retained beginning states, matters long antedated Constitution. repositories 'powers delegated Constitution, prohibited *.'8 court, dealing distinctly involved, consequently remains needs customs even communities emphasize familiarity with, complete understanding of, characteristics, standards foundation stones successful self-government. Local conducted people. No national authority, however benevolent, governs 130,000,000 closely touch who governed authorities subdivisions. 'Home Rule' axiom authors After all, vital self-government satisfactoriness weighed scales outsiders 'the governed.'9 While, Government, bottom nevertheless, sphere largely limited powers. burden establishing delegation power prohibition making claim. point view interpreting limitation places practiced including Illinois. descriptive broad regulatory transfer primary pre-existing 23 Until 1868, question establish included permitted Because during nearly 80 formative establish, maintain accustom state's forms substantial presumption arises favor against, lawfulness continued law.' directed, reason feel directed us. Constitutional Provisions. 24 From inception statehood, recognized responsibility preservation individuals jurisdiction State. dealt length constitution 1818, Smith-Hurd Stats. Article VIII provided— 25 general, great unalterably established, we declare: 26 's 9. That prosecutions, hath himself counsel; e mand nature accusation him; meet face face; compulsory compel attendance favor; prosecutions information, speedy public jury vicinage, compelled give evidence himself.'10 Reprinted (1937). 27 1848 contained 'Declaration XIII. Among Article's sections §§ 9, substantially readopting used constitution.11 28 1870, set forth II subjects form: 29 2. deprived 30 appear defend demand thereof, face, behalf, county district offense alleged committed. 31 latter provisions There raised conformed interpreted 32 left regulate discretion least until 1868. adopted crying time.12 33 Judicial Interpretation 34 exhaustive consideration subject, decided not, otherwise, requiring conform precise courts, extent Bill Rights. nothing specifically stating existing limited. Unlike Rights, mention requirement grand presentments preliminary step prosecutions; universal compelled, witness himself; jurisdictional juries trials; guaranty observe rules re-examination facts tried jury.13 spite omissions, here, behalf though failure inquire assign amounted Constitution,14 yet practices satisfy States. 35 To sustain claim, constitutionality developed prior law, after longer constitutionally recognize supreme land VI supersedes 'any Thing Laws Contrary notwithstanding.' important remains, however: contrary? established policy treat possible conflicts produce little friction possible. So violate permissible broadly unless violates essence scheme ordered liberty' continue would 'violate 'principle rooted traditions conscience ranked fundamental." Cardozo, J., Palko Connecticut, 302 319, 325, 58 149, 152, 82 288, quotation Snyder Massachusetts, 291 97, 105, 54 330, 332, 78 674, 90 575. See Foster 134, 137, 67 1716, 1718; Adamson California, 46, concurring 61 1672, 1680—1683; Betts Brady, 316 455, 465, 62 1252, 1257, 86 1595; Brown Mississippi, 297 278, 285, 286, 56 461, 464, 682; 61, 62, 65, 527; 1102; Twining Jersey, 211 78, 14, 97; 780; Hurtado 110 516, 532, 535, 537, 111, 119—121, 232. 36 natural differ ways. ways safeguarding interests prosecution Before examining us, helpful see especially cn stitutional minimum must observed afford example approved contributes something toward general currently properly 37 Practice Courts. 38 derived Sixth requires defense.15 proof Fifth specific provision obvious Furthermore, rule clear today. then, now, practically when enacted 1789 1790. accused's only accusations treason crimes.16 fact, decision May, (one month court), Johnson Zerbst, 304 458, 1019, 1461, indicate appointment contrasted if desired. pre-1938 practice, where waive counsel.17 withholds proceedings, authority life waives counsel.' Id., 463, U.S., 1022 68, 69, 64, 527 Patton 281 276, 308, 50 253, 261, 74 854, 70 263, Zerbst also, Walker Johnston, 312 275, 574, 85 830. 39 best adapted most responsive requirements stated Rule 44 Rules Criminal Procedure became effective March 21, 1946.18 view, applicability new cannot regarded defining, analogy, considers suitable discretion, follow it. determine Accordingly, lack conformity means determinative 40 41 As throwing light National Commission Law Observance Enforcement, ud er chairmanship George W. Wickersham, Report Prosecution 1931, said: 'In America allowed early date Constitutions guarantee defense,' language. seen bit history indeed held, employing But legislation authorized indigent unrepresented prisoners. provide. Thirty-four provide felonies misdemeanors.' Vol. I, p. 30. 43 suggests existence gradual voluntary trend authorization special seriousness charge faced actual Much place since neither uniform. above summary authorizing appointments misdemeanor none, felony charges offenses. authorizations, limitations affirmative inability himself. Another indication representative members Bench, school faculties 203 Code Procedure, American Institute 1930: 45 'Before shall, objects, represent cause. Counsel serve cost access private, reasonable hours acting Assignment engage stage proceedings substitution court.' 88. 46 Commentary accompanying Section recommended proposed far advance variations search satisfactory regard. demonstrates 1930, progress become 1938.19 wide difference Institute. find asked us namely, enforce substance either Institute, penalty every past future nonconforming judgment. reviewing situation further, 1942, Court, 1595, indicated regard Maryland refuse appoint robbery case.20 follows: incorporate, such, guarantees found denial privileges embodied others amendments may, circumstances, connection elements, operate, given litigant Fourteenth. Asserted (of counsel) tested appraisal totality setting, constitute fairness, shocking sense considerations, fall short denial. application concept always danger falling into habit formulating guarante hard fast ignore qualifying factors therein disclosed.' 462 1256 S.Ct., 1595.21 49 If, widely varying procedures, select contended invalid reaching standard, disregard basic historic prescribe (subject abuse power) introduce extraordinary confusion uncertainty certainty essentials order. 51 violated sentences, conclusively compliance finding necessarily helped, measuring process, note exactly compliance. 52 Sections quoted. Art. II, supra. dur counsel. allowance assignmen differentiated cases: 'Every oath unable competent conduct persons confined, consult private. 'Whenever defendants indicted pay her duty defendants, 1937, 730. 55 An party 'guilty.' effect, seeing met legal requirements, origin. pleads 'guilty,' entering plea; persist pleading received recorded, proceed render execution thereon, jury. possesses punishment, examine aggravation mitigation offense.' 732. Instant Cases. province consider preferable lawfully could crime. decide admittedly clearly variance completely invalidated. brings analysis records. punishable mandatory penitentiary. simple terms, ordinarily capable misunderstood 57-year old man, elementary primitive understanding. failed understand charges. guilty, 'admonished made. recite, statute, leave.' accept argument unreliable almost statute. phraseology used, actually argued, factual support, intelligent, appreciation obligations. judge presiding courtroom, incapable reproduction passed, attorney person, came 'not pronounced, guilty. sole guides good doubt propriety court. fit abnormality, intoxication, insanity indignation, prejudice emotional influence affecting thought anyone connected trials. presence judge, attorney, together wish expand shame crimes, ground conclusion failure, judicial process. Doubts resolved integrity, competence performance official duties attorney. officials chosen discharge serious responsibilities oaths office. Especially self-governing nation, governmental stability depends faith credit form, acts, Governments. 59 Although disclose basis invalidating suggested error omission accused, inquiry accused. Here indulged regularity irregularity. Eight indicates discharged, unconstitutionally disregarded, relating right, any, Fuhs, 390 60 205. necessary, presumption. affirmance express calling action Russell, 394 192, 895; Stack, 391 807; supra; Braner, 389 190, 869; Corrie, 387 587, 767; Corbett, 41, 74; Childers, 386 878. statutory previously (Ill.Rev.Stat. s 730), affords adequate conclusions request oath, he, 'unable things. is, therefore, whether, statement undert took accorded noncapital called use offenses, age, appearance, persisted court's admonishment explanation penalties involved plea. thereupon affirmatively waived for, arisen favor. Under it, origin, did. desired represented. initiate desires. final itself, or, event charges, required, steps. 63 These, commission carrying each. shown concluding failing suggested, rely appropriate, indicative assurance crimes character circumstances. 64 rights, plead guilty.22 If waiver effective, intelligently, competently, understandingly voluntarily existed, pleas was, n action. Consequently, effectiveness amounting waivers admissions guilt. 65 laws day, corresponding courts23 recommendations However, matter stands, histories needs, procedure, practice. 66 answering negative, follows announced passing somewhat similar issues complaint Recently, mean like burglary 1716. A reached self-incrimination comment defendant's testify. 1672. Refusal requested 1595. alibi. repeatedly Carter 329 173, 216; Hawk Olson, 326 271, 116, 61; Tomkins Missouri, 323 485, 370, 89 407; Williams Kaiser, 471, 363, 398; Moore Dempsey, 261 86, 265, 543. De Meerleer Michigan, 663, 596 (convicted degree murder imprisonment). enjoy hearing charge. Rice 324 786, 989, 637. immediate waiver, Indian, coupled complex committed Indian reservation. For discussions bearing resulting intelligently 138, Canizio York, 327 82, 84, 85, 452, 453, 545 (robbery degree); house Mayo, 42, 517, 519, 520, 739 (burglary); Smith O'Grady, 329, 332—334, 572, 573, 859 70, (dictum deportation cases). 69 reasons, affirmed. Affirmed. DOUGLAS, whom BLACK, MURPHY RUTLEDGE concur, dissenting. considering ill-starred Brady,1 ask ourselves question: Of value advise him? 73 Framers deemed indispensable, wrote 'shall Assistance Hence, mandatory, 1022, 1461. I think fairness in. Rights times. Black dissent 1684, 1686, chief purpose protect safeguards invasion defined demands done prosecutions. procedural impossible legislatures tinker them. fail proe deny benefit withheld hostile assume provides lesser same. Then 'by natural, inherent, fairness.' 464 1257 75 allows everyone obtain counsel.2 Van Horn, 496, 498, 187. But, counsel.3 apparently proceeds premise average knows resorts gets caught toils logically applied, case—capital otherwise. usually blow shot killed deceased therefore unjustly And certainly trouble logic lead know enough lawyer 76 Fortunately liberal tradition different course. one, 596. innocent entitled layman experience skill guide get lost intricacies lose advantages extends expert surrounding arrest, detention, arraignment, conviction suffers aggravated ignorance overreaching police.4 Hence exists contests 1718. considerations germane hangs balance. Certainly solicitude life. facing prison term indeed, stake itself. repulsive seem easy uncomplicated stood child rape, 'an easily proved, harder defended innocent.' Hale's Pleas Crown 634. Freeman, 244 590, 594, 91 N.E. 708, 709, 'Public indignation apt aroused brought adult.' imponderables, weight prosecution's available5 skilled intelligently. rush confession weakness utilized standing offense. uses appeal conscience. convince me sure side guided across treacherous traverse. 79 holds undergoing punishments. nonsense draw Brady line somewhere parking ordinance, former latter. maximum death distinction makes terms Yet establishes real determining unfair. determined complexities stands measured alone, unaided indicates, intelligent educated layman. confronting Bt e. 'No abridge immunities citizens States; equal protection laws.' U.S.Const.Amend. XIV, 1. '* upwards take, attempt sex, lust passions desires, imprisoned penitentiary years: setting out elements crime, sufficient. Rogers, 224, 229, 154 909, 911; Butler, 268 635, 641, 677, 679; Scattura, 238 313, 314, 315, 87 333. counts sheet, devastating frankness describing acts complained misunderstanding contend By 'Nolle Prosequi' count. greater compared submitting Quercia 289 466, 469, 698, 699, 1321; 254, 263; Simmons 142 148, 155, 171, 172, 968. mentioned Seventh proponents opponents, unquestionably Federalist Papers, Number XLIV, Restrictions Authority Several XLV, Aleged Danger Powers Considered; XLVI, Influence Compared. persons, houses, papers, effects, unreasonable searches seizures, violated, Warrants issue, probable cause, supported Oath affirmation, searched, things seized. answer capital, otherwise infamous presentment Grand Jury, naval forces, Militia, War danger; h offence twice put jeopardy limb; Case himself, private use, compensation. wherein committed, ascertained informed accusation; confronted obtaining Witnesses favor, defence. suits controversy exceed dollars, preserved, fact jury, re-examined according 'Excessive bail excessive fines imposed, cruel unusual punishments inflicted.' U.S.Const. Amend. IV, V, VI, VII VIII. enumeration construed disparage respectively, people.' U.S.C.onst. IX X. X, 7, 'Due (i.e., Amendment) refers derives legislative conferred congress exercised limits prescribed, fourteenth amendment, parity reason, inherent state, exerted institutions, greatest security resides laws, alter pleasure.' 120, 1818 types process' following: 8. freeman disseized freehold, privileges, outlawed exiled, peers land. XIII peers, himself.' treatments especially, 61—68, dissenting 68—123, 1680, 1683; 464—472, 477—480, 1257—1261, 1263—1265, 462, 3, 1461; 322—328, 149 153, 288; 59—69, 60—64, 520—538, 113—122, 232, 538—558, 292—302, 232; Davidson Orleans, 96 100—104, 616. classic way nature, Cardozo 'We appellant's embodying prohibitions Fifth. His thesis broader. Whatever bill (Amendments VIII) unlawful rule. provides, things, informations instance officer. 292, Gaines Washington, 277 81, 468, 470, 793. exemption elects end 106, 112, (14, 22, 24, 25), 97. Cf. 575; 682. calls dollars. ruled consistently modified abolished altogether. Sauvinet, 90, 678; Maxwell Dow, 176 581, 448, 494, 597; Central R. Co. White, 243 188, 208, 247 (254), 667, L.R.A.1917D, 1, Ann.Cas.1917D, 629; Wagner Electric Mfg. Lyndon, 262 226, 589, 591, 961. Fourth refer Weeks 232 398, 341, 346, 652, L.R.A.1915B, 834, Ann.Cas.1915C, 1177, Sixth, West 194 258, 650, 965.' 323, 324, 151, 288. 2, 6, 'By virtue (in Amendment), prosecuted whatever circumstances.' 136, 1716—1718. 1255, Glasser 315 60, 457, 680; 327, parties manage causes personally, attorneys as, therein.' Jud.Code, 272, Stat. 1164, U.S.C. 394, U.S.C.A. 394. verbatim First Judiciary Act, September 1789, 92. ful learned tried, immediately, request, exceeding two, desire, seasonable hours. R.S. 1034, 563, 563. conforms Crimes 30, 1790, 118, 562. 'It probably safe adoption 1791 defense' generally understood assumed privilege comprised prisoner if, financial retain imposing defendant. departure effected created practical difficulty respect tried. obstacle existed ruling subsequent proceedings.' Holtzoff, Right N.Y.U.L.Q.Rev. 7—8, (1944). statement, Judge Holtzoff Secretary Advisory Committee Procedure. 'Rule 44. Counsel. proceeding able 866, 867, 1946 ed., 687, section 687. 'this restatement recent decisions. recently 830, 680. enunciated decisions.' Notes District Courts direction March, 1945, 38. tabulations 'provide arraignment arraigned, aid Six counsel: Eighteen conditions 'that employ Fifteen Both Louisiana oath. Five it: Three two: Thirteen hours: $203 (1930) 630—634. summarized robbery. consisted identifying perpetrator. Petitioner examined prove another veracity testimony Bond says, helpless, forty-three , ordinary intelligence, care narrow issue. once larceny served wholly unfamiliar procedure.' 472 1261 reviewed thirteen 467 1258 force: constitutions presently force, save Virginia, embody textually import. choice. eighteen seems regulation offenses.' 467, 471 1258, Particularly uniformly incorporation constitutions, concluded— 'we incorporated obligates Every power, deems proper, course interest 472, marshals collects headings: judicially approved, non-capital request: (Italics supplied); remaining 13, 'are provision, statutes, requirement: *'; dicta opinions harmony below case: (here affirmed); rejected: 1264, 1265 tabulation appointment. here. 174, 175, 216, 218; 788, 789, 989—991, 637; Adams ex rel. McCann, 317 269, 267—279, 236, 240, 241, 268, 143 435; 579, 830; 467—469, 1023, 1024, 1025, Benefit Col.L.Rev. 277-280 (1942). 1942. Benjamin V. Cohen Erwin N. Griswold, writing Times, August stated: 'Most Americans—lawyers laymen alike—before majority discredit significance importance observance. 'Yet critical world history, dangerously tilts precious man. penal servitude poor rich, indispensable safeguard Ill.Rev.Stat.1937, Rutledge 143, 144, 1721. Sutherland S.Ct.: be, avail comprehend Even small sometimes incapable, bad. evidence. Left charge, convicted incompetent evidence, irrelevant inadmissible. lacks knowledge adequately prepare perfect one. guiding hand Without faces how innocence. true men illiterate, feeble intellect.' ingredient disproved intoxication (People Klemann, 383 957) insanity. 592.

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