Legal Document

486 U.S. 429 108 S.Ct. 1895 100 L.Ed.2d 440 Ellis T. McCOY, etc., Appellantv.COURT OF APPEALS WISCONSIN, DISTRICT 1. No. 87-5002. Argued Jan. 20, 1988. Decided June 6, Syllabus Under Anders v. California, 386 738, 87 1396, 18 493, if court-appointed appellate counsel wishes to withdraw on the ground that his or her client's appeal is wholly frivolous, he she must include with withdrawal motion "a brief referring anything in record might arguably support appeal." A Wisconsin Supreme Court Rule essentially restates this requirement, but also requires discussion of why issue lacks merit." Believing state-court from felony convictions was being unwilling required by Rule, appellant's counsel, after an unsuccessful challenge state intermediate court, filed original action State challenging requirement grounds it inconsistent and forces violate Sixth Amendment rights. The court upheld requirement. Held: requirement—as construed require a statement particular cases, statutes, facts lead attorney believe merit—is constitutional under Fourteenth Amendments. merely goes one step further than minimum requirements stated Anders, satisfies same objectives those serve: assuring has protected indigent rights diligently thoroughly searching for any arguable claim appeal, allowing determine whether counsel's frivolousness conclusion correct. Because may discover previously unrecognized aspects law process preparing discussion, provides additional safeguard against mistaken conclusions. It forestall some motions will assist passing soundness frivolous. settled can advise frivolous without impairing Explaining basis does not burden effective representation due more stating bald conclusion. diminish right defendant have merits, since once satisfied both been diligent federal concerns are case be disposed accordance law. Furthermore, attorney's obligations as advocate, duty client fulfilled conducted zealous review record. Pp. 440-444. 137 Wis.2d 90, 403 N.W.2d 449, affirmed. STEVENS, J., delivered opinion Court, which REHNQUIST, C.J., WHITE, O'CONNOR, SCALIA, JJ., joined. BRENNAN, dissenting opinion, MARSHALL BLACKMUN, joined, post, p. ----. KENNEDY, took no part consideration decision case. Louis Bennett Butler, Jr., Milwaukee, Wis., appellant. Stephen W. Kleinmaier, Madison, appellee. Justice STEVENS Court. 1 Like 493 (1967), scope conscientiously determined indigent's In we held could simply advising conclusion, request Id., at 744, S.Ct., 1400. adopted rule such merit."1 Appellant challenged constitutionality Over dissent three its justices, rejecting contentions ex rel. McCoy Appeals, 449 (1987). We noted probable jurisdiction, 484 813, 63, 98 27 (1987), now affirm. 2 * indigent. trial judge found him guilty abduction sexual assault sentenced prison 12 years. He conviction appointed represent him. After studying case, advised proceedings would completely useless had options: voluntarily dismiss appeal; go forward lawyer; authorize file present strongest arguments lawyer make lawyer's selected third option. 3 Appellant's then prepared fairly characterized schizophrenic. role advocate appellant, facts, advanced four reversal, prayed set aside. officer behalf "would merit," App. 14, permitted withdraw, id., 27. Thus, document, purported maintain there were warranting reversal merit. did contain explanation reasons Instead, explained believed unethical contrary discuss lacked merit.2 comply 809.32(1), ordered stricken directed submit conforming within 15 days. 30. 4 order. unsuccessfully attempting obtain ruling seeking 809.32(1) declared unconstitutional.3 agreed portions argument, rejected ultimate reaffirmed acceptance principle paid provide their clients adequate representation,4 sanctioned requirement.5 Moreover, ultimately responsibility court—and counsel—to decide explained, however, assists making determination: 5 "When before reasoned summary militating proceedings, assured made inquiry into relative merits valid grounded fact law." Wis.2d, 101, N.W.2d, 454. 6 because procedures handling appeals far removed simple condemned they raise "quality equality representation" underlay our Anders. 101-102, pointed out argue client; rather fulfill courts.6 Accordingly, Rule. 7 justices expressed view necessary7 improperly defense assume either amicus curiae, even adversary, instead acting exclusively client. 8 appellant makes two basic attacks argues discriminates violates advocate. Both rest largely assumption retained seldom, ever, concluded meritless, supporting determining Wisconsin's requiring advice constitutional, appropriate begin restating certain propositions established previous decisions concerning counsel. II 9 State's enforcement criminal laws principles substantial fair procedure embodied Amendment. Amendment's "the accused shall enjoy Assistance Counsel defense" therefore binding States. Gideon Wainwright, 372 335, 83 792, 799 (1963). As Gideon, "in adversary system justice, person hailed who too poor hire lawyer, cannot unless provided him." 344, 796. active afford retain choice. "guiding hand counsel," see Powell Alabama, 287 45, 68-69, 53 55, 64, 77 L.Ed. 158 (1932), essential evaluation prosecution's determination strategy, possible negotiation plea bargain and, trial, sure prosecution prove evidence lawfully obtained considered trier fact. 10 At level, never gives rise withdraw. That convinced qualify court. Ethical considerations rules prevent dilatory motions, adducing inadmissible perjured evidence, advancing improper arguments, constraints do obligation stigma guilt attach until presumption innocence overcome proof beyond reasonable doubt. 11 judgment entered, longer innocence. If convicted elects retains competent convincing tribunal reversible error occurred trial. Although remain silent force prosecutor every element offense, serve interest asserting specific reversal. so doing, ignore professional obligations. Neither nor deliberately mislead respect law, consume time energies opposing party arguments. An attorney, paid, ethical refuse prosecute appeal.8 "A all, duty, indeed right, pester say conceivably persuade believes good faith other honor-bound seek leave counsel." United States Edwards, 777 F.2d 364, 365 (CA7 1985). 13 When concludes waste money it. comes arises. Appointed presented dilemma appear conflict advocate's well settled, resolved informing decades ago: 14 "If convinced, conscientious investigation, course, ask account. investigated agrees allowed denied." States, 356 674, 675, 78 974, 1060 (1958). proposition Anders.9 find necessary indicate received less affluent. categorically suggestion Polk County Dodson, 454 312, 102 445, 70 509 (1981). Court: 16 "Dodson's argument assumes private borne appeal. This error. claiming public defender peculiarly subject divided loyalties, Dodson confuses judicial allegiance interests prosecution. advance all colorable claims defenses, canons ethics impose limits permissible advocacy. privately publicly appointed—not clog courts appeals. legitimate complaint refused so." 323, 452-53 (footnote omitted). 17 squarely compromised when files "no merit" though briefs Douglas 353, 357, 814, 816, 811 (1963), "[a]bsolute required." does, thorough concluding Every accepted retainer paying appointment master record, research exercise identifying evaluating prospects success, consistently best ability. Only led "wholly frivolous"10 justified central teaching Anders.11 19 accompanied U.S., designed fully performed clients' assures defendants benefit what wealthy able acquire purchase—a identification issues revealed review.12 critical should withdraw.13 III 20 question consistent holding answered light Court's Rule's requirements: 21 "We interpret merit include, example, statutory authority appears conclusions, synopsis compel reaching result. contemplate engage protracted favor reached; rather, attempt 'notice' cases statutes point seem 100, 22 construed, cite principal meritless. these citations former is, Federal Constitution concerned, entirely unobjectionable. Attorneys obligated act candor presenting resolution. already prescribe circumstances disclose interests.14 deny assistance do. 23 aspect provoked concern petitioner members bar calls reveal judgment.15 neither amici debate propriety satisfy belief contend assert disagree. 24 served Unlike typical sole purpose persuasion grant relief defendant, assure defendant's violated. To concerns, faces interrelated tasks First, itself search Second, correctly mere insufficient allow determinations, court's references further. Instead relying unexplained discovered refute identified brief, diligence. furthers written conclusions Just like favorable frivolous.16 25 place curiae. argued California's conclusory meritless posed danger thought because, seeing themselves friends weighing probability success burdens full pursue Brief Petitioner O.T. 1966, 98, 13. California encourage consider outline obviously pose danger. 26 contention filing denies lesser quality affluent obtain. impairment fundamental rights, follow deprivation occurs explains supported implicate greater extent substitute merits. above, device scrupulously honored. injury purpose, Once examining meritorious Of nonfrivolous raised, appoint direct prepare deciding 28 bears emphasis diminished imposed still precisely services counsel—a review. available, resolve doubts ambiguous legal questions fulfilled, frivolous—and proceeding appeal—the complies 29 30 Affirmed. 31 KENNEDY 32 whom BLACKMUN join, dissenting. 33 Indigent incarcerated, fights uphill battle overturn conviction. Standing alone, hardly match formidable resources committed keeping behind bars. most crucial ally fight constitutionally furnish very deprive liberty pays understandably suspect defender's allegiance. Sensitive natural distrust, always Constitution's guarantee . defense," Const., Amdt. "contemplates devoted solely client." Von Moltke Gillies, 332 708, 725, 68 316, 324, 92 309 (1948) (plurality opinion) (citation counseled them fear receive justice afford, "constitutional process" means rich alike deserve opportunities ." 745, 1400, (1967). today reneges longstanding assurances permitting upon unilaterally I dissent. 34 "The premise partisan advocacy sides promote objective innocent free." Herring New York, 422 853, 862, 95 2550, 2555, 45 593 (1975). See Kimmelman Morrison, 477 365, 379-380, 106 2574, 2585-2586, 91 305 (1986). imposes "overarching duty," Strickland Washington, 466 668, 688, 104 2052, 2064-65, 80 674 (1984), "advanc[e] 'the undivided client,' " 318-319, 450, (1981) (quoting Ferri Ackerman, 444 193, 204, 402, 409, 62 355 (1979)), concomitant independence defenders engages," 321-322, 451 loses character confrontation between adversaries, violated." Cronic, 648, 656-657, 2039, 2045-46, 657 (1984) Our commitment adversarial process, repeatedly recognized, bit See, e.g., (1963); Entsminger Iowa, 748, 751, 1402, 1403-04, 501 (1967); Evitts Lucey, 469 387, 105 830, 821 (1985). On guarantees "an friend assisting detached claim." Evitts, supra, 394, 835 (citations Jones Barnes, 463 758, 103 3308, 3316-17, 987 (1983) (BRENNAN, dissenting). 35 Naturally, tempered rules. For zeal fabricate suborn perjury, times position. ante, 441, n. 14. Similarly, press lawyers County, 323-324, 452-53. decline latter interfere unwavering Since, only approval, insists pursuing finds presents unique dilemma: cast ostensibly defender, announce 36 struck delicate balance manner least compromises thereby minimizes disadvantage abundantly clear zealously end abruptly have, flatly disapproved regime permits counsel—or anyone itself—to adjudge finally worthiness Lane Brown, 477, 485, 768, 773, 892 1400 ("[T]he court—not counsel—then proceeds, examination frivolous"). 37 strictly latitude depart defender—either declining or, worse yet, permit assertion 'there appeal.' 742, 1399. "role ability" "must Central analysis imperative "assure penniless appeal—as nearly practicable—as enjoyed persons similar situation retention process," held, "can attained where acts client, opposed curiae." pains emphasize Anders-brief nonindigent obtain." 38 Anders' injunction casting "brief client" understood (1958) (per curiam ), relied, abdicated advocates arguing single 'possible' area error," 101 U.S.App.D.C. 386, 249 478, 479 (1957) (en banc), presumably do, "defense" memorandum proceeded (not announce) "there warrant appeal," existed case." Ibid. (emphasis Appeals commended conduct faithful "to matter." F.2d, 478 original). ibid. ("[C]ounsel warranted review"); wish owe clients"). summarily vacated remanded, roundly criticizing encouraged play: "In attorneys But repre- sentation 975 added).1 39 together carefully contours nothing defense, more. point, unadorned 452-53, impermissibly casts amicus. 40 exactly denounced begins "shall next breath departs prescription Wis. App.Proc. 809.32(1). language reminiscent Appeals' Ellis, extolled "as significant administrative aid reviewing [which] serves informational function equally important, enables operate efficient, expeditious cost-saving manner." 103, 455 foregoing functions, however expedient be, describe ordinarily filled attorney. then, "acts Far providing "Assistance mandates, explicitly "force[s] client," No no-merit undermines "very justice," Herring, 2555. 41 curious nevertheless curiae requisite rooted observation: poses little "weig[h] attorney." Ante, 745 another only, common, sense amici, assuredly meaning ascribed term. common definition "amicus "[a] strong views matter [who] petition[s] permission suggest rationale own views." Black's Law Dictionary 75 (5th ed., 1979). And numerous passages quoted above clear, reference focused (a possibility prohibits). falls flat prohibition amici. 42 Not impinge but—contrary admonition equal kind man enjoys 'depends amount has,' Douglas, 355, 816 Griffin Illinois, 351 12, 19, 76 585, 590-91, 891 (1956) opinion))—it ensures appeal" rich. position repeated observation entitled 436, 438 439. here, 'to court,' 436 omitted), state-funded "unscrupulous attorney" so, 439, usual test validity Legal come prepackaged labels "frivolous" "arguably meritorious." characterizations typically unanimous uncontroversial, freely proceed, supra; supra. impugns profession's integrity acknowledge differ meritorious. 43 Therein lies inequity. declines second conscience event, name undercuts contrast, harbors belief, recourse (unless withdraws appeal) respond defender. accepts offer state-imposed risk purchase whose need treachery. "actively conflicting interests" deride "ineffective," Cuyler Sullivan, 446 350, 1708, 1719, 64 333 (1980); Wheat 153, 1692, 140 (1988), actively congratulate achieving "substantial procedure," 435. 44 left, justify inequality imagined distinction "typical brief. 442.2 true (whether merit) differs prevail). Any substantive difference questions, suggest, maintains, forceful context other. writing brief," letter flawed "did [Anderss resolution capacity," 743, 1399 added). supposed does. Rather spare having sift through "only cold help advocate," sure, unlike assertion—"This frivolous" interest. not, conclusion." 443. Such seems agree, different type statements interests, admission weight belie 440—441, suppose limited translates general expose weaknesses explain cited disfavor defense. Merely take slight deviations mean abandon role, absolutely obligation.3 46 identifies demands drastic departure Strickland, 409. doubt, refutation deems lightens load, analytical flaw apparent bare clearly minimal guidance. One perhaps hypothesize frivolity elusive refutation. stage prosecution, surely correct "[t]he better equipped about potential authorities militate it." 100-101, Never before, "powerful [a] question" compelling sides. 655, 2044-45 (footnotes internal quotations There reason command deem situation, corps ready perform task. 47 purports unscathed axiom play court," 835. disagreement boils down details befriends looks sees "assur[es] honored." 444. look damning responds. Tr. Oral Arg. 13-14, Either way, that, truly alone. 809.32, Rules App.Proc., provides: "Rule (No reports) (1). s. 809.30 ch. 977 copies copy service defendant. response days service. "(2) notice order denying postconviction motion. clerk transmit pursuant 809.15. 180 transcript 809.30(1)(e). "(3) event merit, affirm denial post-conviction relieve petition supreme 809.62." stated, part: "Counsel awkward mandate Since legally bound relieved sixth amendment." 15-16. declaratory writ prohibition, asked "strike portion unconstitutional, prohibit striking filed, relator's compliance 809.32(1)." 54. decided prior enactment rule, compels 'perform duties adequately deprived indigency.' Cleghorn State, 55 466, 471, 198 577 (1972). reaffirm principle." 97, 452. "While sanction use proscribe it, either." "[W]e co-exists owed client—that "Appointed puts considers nature difficult evaluate supplying factual 106, 456 (Abrahamson, "See ABA Standards Criminal Justice, Commentary 3.9 (2d ed. 1980) ('No assigned staff, steps actions unfounded according informed judgment. contrary, unprofessional conduct'); Committee Ethics Professional Responsibility, Informal Opinion 955, Obligation Take Appeal, reprinted Opinions 955-956 (1975) (like 'ethically, appeals'). Nickols Gagnon, 467, 472 1971)." 452, "Of withdraw." terms "without often used interchangeably context. Whatever term reach requesting granting request, certiorari read follows: "May first brief?" 2. gave negative answer question. "conclusory statement" sufficient refusal counsel—must "decide [appeal] frivolous," guidance appraisal pay locates unscrupulous examine error, keep mind so-called "Anders brief" expected strange preface author Rather, enable 3.3 Model Conduct "CANDOR TOWARD THE TRIBUNAL "(a) knowingly: "(1) false material tribunal; fail disclosure avoid fraudulent controlling jurisdiction known directly adverse disclosed counsel; "(4) knows false." commentary explains, "[t]here failure equivalent affirmative misrepresentation." G. Hazard & Hodes, Lawyering: Handbook 352 (1985) ("The precedent established"). National Aid Defender Association et al. Amici Curiae 6. referred approval practice District Columbia Circuit, "convince 'frivolous' documented analyzes applicable 16. Viewed light, responsive notwithstanding "[c]ounsel convince 'frivolous.' done preliminary matter, prescribed "is merits," 444; 439—440, 13, belied reality usually culminate affirmance conviction, 809.32(3). creatively recharacterizes "provide ability," place, focus careful thinker. rubber-stamp conclusion; uses guide independent otherwise "cold record." 1400-01. More importantly, recharacterization proves little. just easily recharacterize prevail. Yet rebut

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