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An attorney appointed to represent an indigent defendant on appeal may conclude that an appeal would be frivolous and request that the appellate court allow him to withdraw or that the court dispose of the case without the filing of merits briefs. In
Anders
v.
California,
Held:
1. The Anders procedure is only one method of satisfying the Constitution's requirements for indigent criminal appeals; the States are free to adopt different procedures, so long as those procedures adequately safeguard a defendant's right to appellate counsel. Pp. 6-13.
(a) In finding that the California procedure at issue in
Anders
--which permitted appellate counsel to withdraw upon filing a conclusory letter stating that the appeal had "no merit" and permitted the appellate court to affirm the conviction upon reaching the same conclusion following a review of the record--did not comport with fair procedure and lacked the equality that the Fourteenth Amendment requires, this Court placed the case within a line of precedent beginning with
Griffin
v.
Illinois,
(b) The Ninth Circuit erred in finding that
Anders'
s
final section, though unnecessary to the holding in that case, was obligatory upon the States. This Court has never so held; its precedents suggest otherwise; and the Ninth Circuit's view runs contrary to this Court's established practice. In
McCoy
v.
Court of Appeals of Wis., Dist. 1,
2. California's Wende procedure does not violate the Fourteenth Amendment. Pp. 13-22.
(a) The precise rationale for the Griffin and Douglas line of cases has never been explicitly stated, but this Court's case law reveals that the Equal Protection and Due Process Clauses of the Fourteenth Amendment largely converge to require that a State's procedure "afford adequate and effective appellate review to indigent defendants," Griffin, supra, at 20 (plurality opinion). A State's procedure provides such review so long as it reasonably ensures that an indigent's appeal will be resolved in a way that is related to the merit of that appeal. In determining whether a particular procedure satisfies this standard, it is important to focus on the underlying goals that the procedure should serve--to ensure that those indigents whose appeals are not frivolous receive the counsel and merits brief required by Douglas, and also to enable the State to "protect itself so that frivolous appeals are not subsidized and public moneys not needlessly spent," Griffin, supra, at 24 (Frankfurter, J., concurring in judgment). For an indigent's right to counsel on direct appeal does not include the right to bring a frivolous appeal and, concomitantly, does not include the right to counsel for bringing a frivolous appeal. Anders 's obvious goal was to prevent this limitation on the right to appellate counsel from swallowing the right itself, and the Court does not retreat from that goal here. Pp. 14-16.
(b) The
Wende
procedure reasonably ensures that an indigent's appeal will be resolved in a way that is related to the appeal's merit. A comparison of that procedure to those evaluated in this Court's chief cases demonstrates that it affords indigents the adequate and effective appellate review required by the Fourteenth Amendment. The
Wende
procedure is undoubtedly far better than those procedures the Court has found inadequate. A significant fact in finding the old California procedure inadequate in
Anders
, and also in finding inadequate the procedures that the Court reviewed in
Eskridge
v.
Washington Bd. of Prison Terms and Paroles,
(c) The
Wende
procedure is also at least comparable to those procedures the Court has approved. By neither requiring the
Wende
brief to raise legal issues nor requiring counsel to explicitly describe the case as frivolous, California has made a good-faith effort to mitigate one of the problems that critics have found with
Anders,
namely, the requirement that counsel violate his ethical duty as an officer of the court (by presenting frivolous arguments) as well as his duty to further his client's interests (by characterizing the client's claims as frivolous).
Wende
also attempts to resolve another
Anders
problem--that it apparently adopts gradations of frivolity and uses two different meanings for the phrase "arguable issue"--by drawing the line at frivolity and by defining arguable issues as those that are not frivolous. Finally, the
Wende
procedure appears to be, in some ways, better than the one approved in
McCoy,
and in other ways, worse. On balance, the Court cannot say that the latter, assuming
arguendo
that they outweigh the former, do so sufficiently to make the
Wende
procedure unconstitutional, and the Court's purpose under the Constitution is not to resolve such arguments. The Court addresses not what is prudent or appropriate, but what is constitutionally compelled.
United States
v.
Cronic,
3. This case is remanded for the Ninth Circuit to evaluate Robbins's ineffective-assistance claim. It may be that his appeal was not frivolous and that he was thus entitled to a merits brief. Both the District Court and the Ninth Circuit found that there were two arguable issues on direct appeal, but it is unclear how they used the phrase "arguable issues." It is therefore necessary to clarify how strong those issues are. The proper standard for evaluating Robbins's claim on remand is that enunciated in
Strickland
v.
Washington,
152 F. 3d 1062, reversed and remanded.
T homas, J., delivered the opinion of the Court, in which Rehnquist, C. J., and O'Connor, Scalia, and Kennedy, JJ., joined. Stevens, J., filed a dissenting opinion, in which Ginsburg, J., joined. Souter, J., filed a dissenting opinion, in which Stevens, Ginsburg, and Breyer, JJ., joined.
GEORGE SMITH, WARDEN, PETITIONER
v.
LEE ROBBINS
on writ of certiorari to the united states court of
appeals for the ninth circuit
[January 19, 2000]
Justice Thomas delivered the opinion of the Court.
Not infrequently, an attorney appointed to represent an indigent defendant on appeal concludes that an appeal would be frivolous and requests that the appellate court allow him to withdraw or that the court dispose of the case without the filing of merits briefs. In
Anders
v.
California
,
I
A
Under California's new procedure, established in People v. Wende , 25 Cal. 3d 436, 441-442, 600 P. 2d 1071, 1074-1075 (1979), and followed in numerous cases since then, see, e.g. , People v. Rowland , 75 Cal. App. 4th 61, 63, 88 Cal. Rptr. 2d 900, 901 (1999), counsel, upon concluding that an appeal would be frivolous, files a brief with the appellate court that summarizes the procedural and factual history of the case, with citations of the record. He also attests that he has reviewed the record, explained his evaluation of the case to his client, provided the client with a copy of the brief, and informed the client of his right to file a pro se supplemental brief. He further requests that the court independently examine the record for arguable issues. Unlike under the Anders procedure, counsel following Wende neither explicitly states that his review has led him to conclude that an appeal would be frivolous (although that is considered implicit, see Wende , 25 Cal. 3d, at 441-442, 600 P. 2d, at 1075) nor requests leave to withdraw. Instead, he is silent on the merits of the case and expresses his availability to brief any issues on which the court might desire briefing. See generally id ., at 438, 441-442, 600 P. 2d, 1072, 1074-1075.
The appellate court, upon receiving a " Wende brief," must "conduct a review of the entire record," regardless of whether the defendant has filed a pro se brief. Id ., at 441-442, 600 P. 2d, at 1074-1075. The California Supreme Court in Wende required such a thorough review notwithstanding a dissenting Justice's argument that it was unnecessary and exceeded the review that a court performs under Anders . See 25 Cal. 3d, at 444-445, 600 P. 2d, at 1077 (Clark, J., concurring in judgment and dissenting in part); see also id ., at 444, 600 P. 2d, at 1076 ("The precise holding in Anders was that a `no merit' letter ... `was not enough.' ... Just what is `enough' is not clear, but the majority of the court in that case did not require an appellate court to function as cocounsel"). If the appellate court, after its review of the record pursuant to Wende , also finds the appeal to be frivolous, it may affirm. See id ., at 443, 600 P. 2d, at 1076 (majority opinion). If, however, it finds an arguable ( i.e. , nonfrivolous) issue, it orders briefing on that issue. Id ., at 442, n. 3, 600 P. 2d, at 1075, n. 3. 1
B
In 1990, a California state-court jury convicted respondent Lee Robbins of second-degree murder (for fatally shooting his former roommate) and of grand theft of an automobile (for stealing a truck that he used to flee the State after committing the murder). Robbins was sentenced to 17 years to life. He elected to represent himself at trial, but on appeal he received appointed counsel. His appointed counsel, concluding that an appeal would be frivolous, filed with the California Court of Appeal a brief that complied with the
Wende
procedure.
2
Robbins also availed himself of his right under
Wende
to file a
pro se
supplemental brief, filing a brief in which he contended that there was insufficient evidence to support his conviction and that the prosecutor violated
Brady
v.
Maryland
,
The California Court of Appeal, agreeing with counsel's assessment of the case, affirmed. The court explained that it had "examined the entire record" and had, as a result, concluded both that counsel had fully complied with his responsibilities under Wende and that "no arguable issues exist." App. 39. The court added that the two issues that Robbins raised in his supplemental brief had no support in the record. Ibid. The California Supreme Court denied Robbins's petition for review.
After exhausting state postconviction remedies, Robbins filed in the United States District Court for the Central District of California the instant petition for a writ of habeas corpus pursuant to 28 U. S. C. §2254.
3
Robbins renewed his
Brady
claim, argued that the state trial court had erred by not allowing him to withdraw his waiver of his right to trial counsel, and added nine other claims of trial error. In addition, and most importantly for present purposes, he claimed that he had been denied effective assistance of appellate counsel because his appellate counsel's
Wende
brief failed to comply with
Anders
v.
California
,
The District Court agreed with Robbins's last claim, concluding that there were at least two issues that, pursuant to
Anders
, counsel should have raised in his brief (in a
Wende
brief, as noted above, counsel is not required to raise issues): first, whether the prison law library was adequate for Robbins's needs in preparing his
defense after he elected to dismiss his appointed counsel and proceed
pro se
at trial, and, second, whether the trial court erred in refusing to allow him to withdraw his waiver of counsel. The District Court did not attempt to determine the likelihood that either of these two issues would have prevailed in an appeal. Rather, it simply concluded that, in the language of the
Anders
procedure, these issues "might arguably" have "support[ed] the appeal," App. 51, n. 6 (citing
Anders
), and thus that Robbins's appellate counsel, by not including them in his brief, deviated from the procedure set forth in
Anders
. The court concluded that such a deviation amounted to deficient performance by counsel. In addition, rather than requiring Robbins to show that he suffered prejudice from this deficient performance, the District Court applied a presumption of prejudice. App. 49. Thus, based simply on a finding that appellate counsel's brief was inadequate under
Anders
,
the District Court ordered California to grant respondent a new appeal within 30 days or else release him from custody.
The United States Court of Appeals for the Ninth Circuit agreed with the District Court on the
Anders
issue. In the Ninth Circuit's view,
Anders
, together with
Douglas
v.
California
,
II
A
In
Anders
, we reviewed an earlier California procedure for handling appeals by convicted indigents. Pursuant to that procedure, Anders's appointed appellate counsel had filed a letter stating that he had concluded that there was "no merit to the appeal,"
Anders
,
We held that "California's action does not comport with fair procedure and lacks that equality that is required by the Fourteenth Amendment."
Id.,
at 741. We placed the case within a line of precedent beginning with
Griffin
v.
Illinois,
" ` If counsel is convinced, after conscientious investigation, that the appeal is frivolous, of course, he may ask to withdraw on that account. If the court is satisfied that counsel has diligently investigated the possible grounds of appeal, and agrees with counsel's evaluation of the case, then leave to withdraw may be allowed and leave to appeal may be denied.' " Anders, supra, at 741-742 (quoting Ellis, supra, at 675).
In
Anders
, neither counsel, the state appellate court on direct appeal, nor the state habeas courts had made any finding of frivolity.
6
We concluded that a finding that the appeal had "no merit" was not adequate, because it did not mean that the appeal was so lacking in prospects as to be "frivolous": "We cannot say that there was a finding of frivolity by either of the California courts or that counsel acted in any greater capacity than merely as
amicus curiae
which was condemned in
Ellis
."
Having rejected the California procedure, we proceeded, in a final, separate section, to set out what would be an acceptable procedure for treating frivolous appeals:
"[I]f counsel finds his case to be wholly frivolous, after a conscientious examination of it, he should so advise the court and request permission to withdraw. That request must, however, be accompanied by a brief referring to anything in the record that might arguably support the appeal. A copy of counsel's brief should be furnished the indigent and time allowed him to raise any points that he chooses; the court--not counsel--then proceeds, after a full examination of all the proceedings, to decide whether the case is wholly frivolous. If it so finds it may grant counsel's request to withdraw and dismiss the appeal insofar as federal requirements are concerned, or proceed to a decision on the merits, if state law so requires. On the other hand, it if 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." Id ., at 744.
We then concluded by explaining how this procedure would be better than the California one that we had found deficient. Among other things, we thought that it would "induce the court to pursue all the more vigorously its own review because of the ready references not only to the record but also to the legal authorities as furnished it by counsel." Id., at 745.
B
The Ninth Circuit ruled that this final section of Anders , even though unnecessary to our holding in that case, was obligatory upon the States. We disagree. We have never so held; we read our precedents to suggest otherwise; and the Ninth Circuit's view runs contrary to our established practice of permitting the States, within the broad bounds of the Constitution, to experiment with solutions to difficult questions of policy.
In
McCoy
v.
Court of Appeals of Wis., Dist. 1,
In
Pennsylvania
v.
Finley,
It is true that in
Penson
we used some language suggesting that
Anders
is mandatory upon the States, see,
Finally, any view of the procedure we described in the last section of
Anders
that converted it from a suggestion into a straitjacket would contravene our established practice, rooted in federalism, of allowing the States wide discretion, subject to the minimum requirements of the Fourteenth Amendment, to experiment with solutions to difficult problems of policy. In
Griffin
v.
Illinois
,
In a related context, we stated this basic principle of federalism in the very Term in which we decided
Anders
. We emphatically reaffirmed that the Constitution "has never been thought [to] establish this Court as a rule-making organ for the promulgation of state rules of criminal procedure."
Spencer
v.
Texas,
"If the Constitution gave me a roving commission to impose upon the criminal courts of Texas my own notions of enlightened policy, I would not join the Court's opinion. . . . [But] [t]he question is whether those procedures fall below the minimum level the Fourteenth Amendment will tolerate. Upon that question, I am constrained to join the opinion and judgment of the Court."
We have continued to reiterate this principle in recent years. See
Finley
,
In short, it is more in keeping with our status as a court, and particularly with our status as a court in a federal system, to avoid imposing a single solution on the States from the top down. We should, and do, evaluate state procedures one at a time, as they come before us, see
Murray, supra,
at 14, while leaving "the more challenging task of crafting appropriate procedures ... to the laboratory of the States in the first instance."
Cruzan
v.
Director, Mo. Dept. of Health,
III
Having determined that California's
Wende
procedure is not unconstitutional merely because it diverges from the
Anders
procedure, we turn to consider the
Wende
procedure on its own merits. We think it clear that California's system does not violate the Fourteenth Amendment, for it provides "a criminal appellant pursuing a first appeal as of right [the] minimum safeguards necessary to make that appeal `adequate and effective,' "
Evitts
v.
Lucey
,
A
As we have admitted on numerous occasions, "[t]he precise rationale for the
Griffin
and
Douglas
lines of cases has never been explicitly stated, some support being derived from the Equal Protection Clause of the Fourteenth Amendment and some from the Due Process Clause of that Amendment.' "
Evitts, supra,
at 403 (quoting
Ross
v.
Moffitt,
In determining whether a particular state procedure satisfies this standard, it is important to focus on the underlying goals that the procedure should serve--to ensure that those indigents whose appeals are not frivolous receive the counsel and merits brief required by
Douglas
, and also to enable the State to "protect itself so that frivolous appeals are not subsidized and public moneys not needlessly spent,"
Griffin, supra,
at 24 (Frankfurter, J., concurring in judgment). For although, under
Douglas,
indigents generally have a right to counsel on a first appeal as of right, it is equally true that this right does not include the right to bring a frivolous appeal and, concomitantly, does not include the right to counsel for bringing a frivolous appeal.
10
See
McCoy
,
B
We think the
Wende
procedure reasonably ensures that an indigent's appeal will be resolved in a way that is related to the merit of that appeal. Whatever its strengths or weaknesses as a matter of policy, we cannot say that
it fails to afford indigents the adequate and effective
appellate review that the Fourteenth Amendment requires. A comparison of the
Wende
procedure to the procedures evaluated in our chief cases in this area makes this evident.
The
Wende
procedure is undoubtedly far better than those procedures we have found inadequate.
Anders
itself, in disapproving the former California procedure, chiefly relied on three precedents:
Ellis
v.
United States,
to withdraw may be allowed and leave to appeal may
be denied' " (quoting
Ellis, supra,
at 675)), with
Anders, supra,
at 743 ("We cannot say that there was a finding of frivolity"). See also
McCoy, supra,
at 437 (quoting same passage from
Ellis
that we quoted in
Anders
). This problem also appears to have been one of the flaws in the procedures at issue in
Eskridge
and
Lane
. The former involved a finding only that there had been " `no grave or prejudicial errors' " at trial,
Anders, supra,
at 742 (quoting
Eskridge
,
supra
, at 215), and the latter, a finding only that the appeal " `would be unsuccessful,' "
Anders, supra,
at 743 (quoting
Lane
,
supra
, at 482).
Wende
, by contrast, requires both counsel and the court to find the appeal to be lacking in arguable issues, which is to say, frivolous. See 25 Cal. 3d, at 439, 441-442, 600 P. 2d, at 1073, 1075; see
id.,
at 441, 600 P. 2d, at 1074 (reading
Anders
as finding old California procedure deficient largely "because the court itself did not make an express finding that the appeal was frivolous").
An additional problem with the old California procedure was that it apparently permitted an appellate court to allow counsel to withdraw and thereafter to decide the appeal without appointing new counsel. See
Anders, supra,
at 740, n. 2. We resolved any doubt on this point in
Penson
, where we struck down a procedure that allowed counsel to withdraw before the court had determined whether counsel's evaluation of the case was accurate,
In
Anders
, we also disapproved the old California procedure because we thought that a one paragraph letter from counsel stating only his "bare conclusion" that the appeal had no merit was insufficient.
Finally, an additional flaw with the procedures in
Eskridge
and
Lane
was that there was only one tier of review --by the trial judge in
Eskridge
(who understandably had little incentive to find any error warranting an appeal) and by the public defender in
Lane
. See
Anders, supra,
at 742-743. The procedure in
Douglas
itself was, in part, flawed for the same reason. See
Douglas
,
Not only does the Wende procedure far exceed those procedures that we have found invalid, but it is also at least comparable to those procedures that we have approved. Turning first to the procedure we set out in the final section of Anders , we note that it has, from the beginning, faced " `consistent and severe criticism.' " In re Sade C. , 13 Cal. 4th 952, 979, n. 7, 920 P. 2d 716, 731, n. 7 (1996) (quoting Note, 67 Texas L. Rev. 181, 212 (1988)). One of the most consistent criticisms, one with which we wrestled in McCoy , is that Anders is in some tension both with counsel's ethical duty as an officer of the court (which requires him not to present frivolous arguments) and also with his duty to further his client's interests (which might not permit counsel to characterize his client's claims as frivolous). 11 California, through the Wende procedure, has made a good-faith effort to mitigate this problem by not requiring the Wende brief to raise legal issues and by not requiring counsel to explicitly describe the case as frivolous. See Wende , 25 Cal. 3d, at 441-442, 600 P. 2d, at 1074-1075.
Another criticism of the Anders procedure has been that it is incoherent and thus impossible to follow. Those making this criticism point to our language in Anders suggesting that an appeal could be both "wholly frivolous" and at the same time contain arguable issues, even though we also said that an issue that was arguable was "therefore not frivolous." Anders, supra, at 744. 12 In other words, the Anders procedure appears to adopt gradations of frivolity and to use two different meanings for the phrase "arguable issue." The Wende procedure attempts to resolve this problem as well, by drawing the line at frivolity and by defining arguable issues as those that are not frivolous. 13
Finally, the
Wende
procedure appears to be, in some ways, better than the one we approved in
McCoy
and, in other ways, worse. On balance, we cannot say that the latter, assuming
arguendo
that they outweigh the former, do so sufficiently to make the
Wende
procedure unconstitutional.
The Wisconsin procedure we evaluated in
McCoy
, which required counsel filing an
Anders
brief to explain why the issues he raised in his brief lacked merit, arguably exacerbated the ethical problem already present in the
Anders
procedure. The
Wende
procedure, as we have explained, attempts to mitigate that problem. Further, it appears that in the
McCoy
scheme counsel discussed--and the appellate court reviewed--only the parts of the record cited by counsel in support of the "arguable" issues he raised. See
Our purpose is not to resolve any of these arguments. The Constitution does not resolve them, nor does it require us to do so. "We address not what is prudent or appropriate, but only what is constitutionally compelled."
Cronic,
IV
Since Robbins's counsel complied with a valid procedure for determining when an indigent's direct appeal is frivolous, we reverse the Ninth Circuit's judgment that the Wende procedure fails adequately to serve the constitutional principles we identified in Anders . But our reversal does not necessarily mean that Robbins's claim that his appellate counsel rendered constitutionally ineffective assistance fails. For it may be, as Robbins argues, that his appeal was not frivolous and that he was thus entitled to a merits brief rather than to a Wende brief. Indeed, both the District Court and the Ninth Circuit found that there were two arguable issues on direct appeal. The meaning of "arguable issue" as used in the opinions below, however, is far from clear. The courts below most likely used the phrase in the unusual way that we used it in Anders --an issue arguably supporting the appeal even though the appeal was wholly frivolous. See 152 F. 3d, at 1067 (discussing arguable issues in context of requirements of Anders ); App. 48 (District Court opinion) (same). Such an issue does not warrant a merits brief. But the courts below may have used the term to signify issues that were "arguable" in the more normal sense of being nonfrivolous and thus warranting a merits brief. See App. 49, and n. 3 (District Court, considering arguable issues to determine "whether Anders was violated," but also defining arguable issue as one that counsel could argue "in good faith with some potential for prevailing"). Further, the courts below, in determining whether there were arguable issues, did not address petitioner's argument that, at least with regard to the adequacy of the prison law library, Robbins waived the issue for appeal by failing to object at trial. Thus, it will be necessary on remand to clarify just how strong these two issues are.
On remand, the proper standard for evaluating Robbins's claim that appellate counsel was ineffective in neglecting to file a merits brief is that enunciated in
Strickland
v.
Washington,
The applicability of
Strickland
's actual-prejudice prong to Robbins's claim of ineffective assistance follows from
Penson
, where we distinguished denial of counsel altogether on appeal, which warrants a presumption of prejudice, from mere ineffective assistance of counsel on appeal, which does not. See
But where, as here, the defendant has received appellate counsel who has complied with a valid state procedure for determining whether the defendant's appeal is frivolous, and the State has not at any time left the defendant without counsel on appeal, there is no reason to presume that the defendant has been prejudiced. In
Penson
, we worried that requiring the defendant to establish prejudice would leave him "without any of the protections afforded by
Anders
."
Further, the ineffective-assistance claim that Robbins presses does not fall within any of the three categories of cases, described in
Strickland
, in which we presume prejudice rather than require a defendant to demonstrate it. First, as noted, we presume prejudice in a case of denial of counsel. Second, "various kinds of state interference with counsel's assistance" can warrant a presumption of prejudice.
Id
., at 692; see
Cronic
,
It is no harder for a court to apply
Strickland
in this area than it is when a defendant claims that he received ineffective assistance of appellate counsel because his counsel, although filing a merits brief, failed to raise a particular claim. It will likely be easier to do so. In
Jones
v.
Barnes,
In sum, Robbins must satisfy both prongs of the Strickland test in order to prevail on his claim of ineffective assistance of appellate counsel. The judgment of the Court of Appeals is reversed, and the case is remanded for further proceedings consistent with this opinion.
It is so ordered.
GEORGE SMITH, WARDEN, PETITIONER
v.
LEE ROBBINS
on writ of certiorari to the united states court of
appeals for the ninth circuit
[January 19, 2000]
Justice Stevens , with whom Justice Ginsburg joins, dissenting.
While I join Justice Souter 's cogent dissent without qualification, I write separately to emphasize two points that are obscured by the Court's somewhat meandering explanation of its sharp departure from settled law.
First, despite its failure to say so directly, the Court has effectively overruled both
Anders
v.
California,
1,
the extent of today's majority's disregard for accepted precedent.
To make my first point it is only necessary to quote the Court's new standard for determining whether a State's appellate procedure affords adequate review for indigent defendants:
"A State's procedure provides such review so long as it reasonably ensures that an indigent's appeal will be resolved in a way that is related to the merit of that appeal." Ante , at 14.
The California procedure reviewed in Anders and the Ohio procedure reviewed in Penson --both found inadequate by this Court--would easily have satisfied that standard. Yet the Court today accepts California's current procedure because it "requires both counsel and the court to find the appeal to be lacking in arguable issues." Ante , at 17. But in defense of its position in Anders , California relied heavily on those very same requirements, i.e., "the additional feature of the [State's] system where the court also reads the full record." Brief for Respondent in Anders v. California , O. T. 1966, No. 98, pp. 30-31; see also id., at 12-13, 19, 23, 28-29. Our Anders decision held, however, that this "additional feature" was insufficient to safeguard the indigent appellant's rights.
To make my second point I shall draw on my own experience as a practicing lawyer and as a judge. On a good many occasions I have found that the task of writing out the reasons that support an initial opinion on a question of law--whether for the purpose of giving advice to my client or for the purpose of explaining my vote as an appellate judge--leads to a conclusion that was not previously apparent. Colleagues who shared that view of the importance of giving reasons, as opposed to merely announcing conclusions, joined the opinions that I authored in McCoy, Penson , and Nickols v. Gagnon , 454 F. 2d 467 (CA7 1971). 1 In its casual rejection of the reasoning in McCoy , the Court simply ignores this portion of the opinion:
"Wisconsin's Rule merely requires that the attorney go one step further. Instead of relying on an unexplained assumption that the attorney has discovered law or facts that completely refute the arguments identified in the brief, the Wisconsin court requires additional evidence of counsel's diligence. This requirement furthers the same interests that are served by the minimum requirements of
Anders
. Because counsel may discover previously unrecognized aspects of the law in the process of preparing a written explanation for his or her conclusion, the discussion requirement provides an additional safeguard against mistaken conclusions by counsel that the strongest arguments he or she can find are frivolous. Just like the references to favorable aspects of the record required by
Anders
, the discussion requirement may forestall some motions to withdraw and will assist the court in passing on the soundness of the lawyer's conclusion that the appeal is frivolous."
McCoy
,
In short, "simply putting pen to paper can often shed new light on what may at first appear to be an open-and-shut issue." Id. , at 82, n. 4. For this reason, the Court is quite wrong to say that requiring counsel to articulate reasons for its conclusion results in "less effective advocacy." Ante , at 10. 2
An appellate court that employed a law clerk to review the trial transcripts in all indigent appeals in search of arguable error could be reasonably sure that it had resolved all of those appeals "in a way that is related" to their merits. It would not, however, provide the indigent appellant with anything approaching representation by a paid attorney. Like California's so-called
Wende
procedure, it would violate the "principle of substantial equality" that was described in
Anders
and
McCoy
and has been a part of our law for decades.
McCoy
,
GEORGE SMITH, WARDEN, PETITIONER
v.
LEE ROBBINS
on writ of certiorari to the united states court of
appeals for the ninth circuit
[January 19, 2000]
Justice Souter , with whom Justice Stevens, Justice Ginsburg, and Justice Breyer join, dissenting.
A defendant's right to representation on appeal is limited by the prohibition against frivolous litigation, and I realize that when a lawyer's corresponding obligations are at odds with each other, there is no perfect place to draw the line between them. But because I believe the procedure adopted in People v. Wende , 25 Cal. 3d 436, 600 P. 2d 1071 (1979), fails to assure representation by counsel with the adversarial character demanded by the Constitution, I respectfully dissent.
I
Although the Sixth Amendment guarantees trial counsel to a felony defendant, see
Gideon
v.
Wainwright
,
In a line of cases beginning with
Griffin
, this Court examined appellate procedural schemes under the principle that justice may not be conditioned on ability to pay, see generally
Ross, supra,
at 605-609. Even though "[a]bsolute equality is not required,"
Douglas
v.
California
,
Two services of appellate counsel are on point here. Appellate counsel examines the trial record with an advocate's eye, identifying and weighing potential issues for appeal. This is review not by a dispassionate legal mind but by a committed representative, pledged to his client's interests, primed to attack the conviction on any ground the record may reveal. If counsel's review reveals arguable trial error, he prepares and submits a brief on the merits and argues the appeal.
The right to the first of these services, a partisan scrutiny of the record and assessment of potential issues, goes to the irreducible core of the lawyer's obligation to a litigant in an adversary system, and we have consistently held it essential to substantial equality of representation by assigned counsel. "The paramount importance of vigorous representation follows from the nature of our adversarial system of justice."
Penson
v.
Ohio
,
Because the right to the second service, merits briefing, is not similarly unqualified, however, the issue we address today arises. The limitation on the right to a merits brief is that no one has a right to a wholly frivolous appeal, see
Anders
v.
California
,
The rub is that although counsel may properly refuse to brief a frivolous issue and a court may just as properly deny leave to take a frivolous appeal, there needs to be some reasonable assurance that the lawyer has not relaxed his partisan instinct prior to refusing, 3 in which case the court's review could never compensate for the lawyer's failure of advocacy. A simple statement by counsel that an appeal has no merit, coupled with an appellate court's endorsement of counsel's conclusion, gives no affirmative indication that anyone has sought out the appellant's best arguments or championed his cause to the degree contemplated by the adversary system. Nor do such conclusions acquire any implicit persuasiveness through exposure to an interested opponent's readiness to mount a challenge. The government is unlikely to dispute or even test counsel's evaluation; one does not berate an opponent for giving up. To guard against the possibility, then, that counsel has not done the advocate's work of looking hard for potential issues, there must be some prod to find any reclusive merit in an ostensibly unpromising case and some process to assess the lawyer's efforts after the fact. A judicial process that renders constitutional error invisible is, after all, itself an affront to the Constitution. See Penson, supra , at 81-82.
In
Anders
, we devised such a mechanism to ensure respect for an appellant's rights. See
Penson, supra
, at 80. A lawyer's request to withdraw on the ground that an appeal is frivolous "must ... be accompanied by a brief referring to anything in the record that might arguably support the appeal."
Anders
,
Anders thus contemplates two reviews of the record, each of a markedly different character. First comes review by the advocate, the defendant's interested representative. His job is to identify the best issues the partisan eye can spot. Then comes judicial review from a disinterested judge, who asks two questions: whether the lawyer really did function as a committed advocate, and whether he misjudged the legitimate appealability of any issue. In reviewing the advocate's work, the court is responsible for assuring that counsel has gone as far as advocacy will take him with the best issues undiscounted. We have repeatedly described the task of an appellate court in terms of this dual responsibility. " `First, [the court] 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.' "
Penson
,
Griffin and Anders thus require significantly more than the abstract evaluation of the merits of conceivably appealable points. Without the assurance that assigned counsel has done his best as a partisan, his substantial equality to a lawyer retained at a defendant's expense cannot be assumed. And without the benefit of the lawyer's statement of strongest claims, the appellate panel cannot act as a reviewing court, but is relegated to an inquisitorial role.
It is owing to the importance of assuring that an adversarial, not an inquisitorial, system is at work that I disagree with the Court's statement today that our cases approve of any state procedure that "reasonably ensures that an indigent's appeal will be resolved in a way that is related to the merit of that appeal."
Ante
, at 14. A purely inquisitorial system could satisfy that criterion, and so could one that appoints counsel only if the appellate court deems it useful. But we have rejected the former and have explicitly held the latter unconstitutional, see
Douglas
,
II
We have not held the details of Anders to be exclusive, but it does make sense to read the case as exemplifying what substantial equality requires on behalf of indigent appellants entitled to an advocate's review and to reasonable certainty that arguable issues will be briefed on their merits. With Anders thus as a benchmark, California's Wende procedure fails to measure up. Its primary failing is in permitting counsel to refrain as a matter of course from mentioning possibly arguable issues in a no-merit brief; its second deficiency is a correlative of the first, in obliging an appellate court to search the record for arguable issues without benefit of an issue-spotting, no-merit brief to review. See 25 Cal. 3d, at 440-442, 600 P. 2d, at 1074-1075.
Although Wende assumes that counsel will act as an advocate, see id., at 441-442, 600 P. 2d, at 1075, it fails to assure, or even promote, the partisan attention that the Constitution requires. While the lawyer must summarize the procedural and factual history of the case with citations to the record, nothing in the Wende scheme requires counsel to show affirmatively, subject to evaluation, that he has made the committed search for issues and the advocate's assessment of their merits that go to the heart of appellate representation in our adversary system. It begs the question to say that "[c]ounsel's inability to find any arguable issues may readily be inferred from his failure to raise any," id. , at 442, 600 p. 2d, at 1075 and it misses the point to argue that the indigent appellant is adequately protected because the lawyer assigned to a case under California's assigned counsel scheme may not file a Wende brief without the approval of a supervisor. The point is the need for some affirmative and express indicator that an advocate has been at work, in the form of a product that an appellate court can specifically review. 5 Thus Anders requires counsel to flag the best issues for the sake of keeping counsel on his toes and giving focus to judicial review of his judgment. Wende on the other hand requires no indication of conceivable issues and hence nothing specifically reviewable by a court bound to preserve the system's adversary character. Wende does no more to protect the indigent's right to advocacy than the no-merit letter condemned in Anders , or the conclusory statement disapproved in Penson .
On like reasoning,
Wende
is deficient in relying on a judge's nonpartisan review to assure that a defendant suffers no prejudice at the hands of a lawyer who has failed to document his best effort at partisan review. Exactly because our system assumes that a lawyer committed to a client is the most dependable guardian of the client's interest, see
supra,
at 6, we have consistently rejected procedures leaving the determination of frivolousness to the court in the first instance, see
Douglas, supra
, at 355-356, or to the court following a conclusory declaration by counsel, see
Penson
,
It goes without saying, too, that Wende 's reliance on judges to start from scratch in seeking arguable issues adds substantially to the burden on the judicial shoulders. While I have no need to decide whether this drawback of the Wende scheme is of constitutional significance, it raises questions that certainly underscore the constitutional failing of relying on judicial scrutiny uninformed by counsel's partisan analysis. In an amicus brief filed in this case, 13 retired Justices of the Supreme Court or Courts of Appeal of California have pointed out the "risk that the review of the cold record [under the Wende scheme] will be more perfunctory without the issue-spotting guidance, and associated record citations, of counsel." Brief for Retired Justice Armand Arabian et al. as Amici Curiae 5. The amici have candidly represented that "[w]hen a California appellate court receives a Wende brief, it assigns the case to a staff attorney who prepares a memorandum analyzing all possible legal issues in the case. Typically, the staff attorney then makes an oral presentation to the appellate panel ... ." Brief for Retired Justice Arabian, supra, at 6. When the responsibility of counsel is thrown onto the court, the court gives way to a staff attorney; it could not be clearer that Wende is seriously at odds with the respective obligations of counsel and the courts as contemplated by the Constitution.
III
Unlike the Court, I reach the question of appropriate relief. With respect to respondent's Anders claim, the Court of Appeals premised its disposition on finding that two potentially meritorious issues showed that Robbins had been prejudiced by the failure of the Wende scheme to result in their litigation. I think it unnecessary to invoke such findings, however, and would hold for Robbins simply because of the failure to provide an advocate's analysis of issues as a predicate of court review. Without more, I would, in effect, require the state courts to reinstate the appeal for treatment consistent with the Anders application of Griffin.
It is true of course, that before relief is normally granted for want of adequate assistance of trial counsel, a defendant must show not only his lawyer's failure to represent him with reasonable competence (demonstrated here by the failure to file an advocate's issue-spotting brief), but also a "reasonable probability" that competent representation would have produced a different result in his case, see
Strickland
,
This, I think, is the answer to any suggestion that a specific assessment of prejudice need be shown in order to get relief from
Wende
. A complete absence of counsel is a reversible violation of the constitutional right to representation, even when there is no question that at the end of the day the smartest lawyer in the world would have watched his client being led off to prison. See
Cronic, supra
, at 658-659; cf.
Rodriquez
v.
United States
,
This conclusion was anticipated in
Penson
, in which we dealt with the violation of
Anders
standards when counsel was allowed to withdraw without supplying the court with his best effort to identify appealable weaknesses, and prior to any judicial determination that counsel had missed nothing in finding no arguable appellate issues in the record. The appellate court in
Penson
subsequently identified arguable issues but thought the appointment of new counsel unnecessary after finding that any legitimately appealable issues would be losers. This Court recognized a presumption of prejudice without more, for purposes of both
Strickland
and
Chapman
v.
California
,
There is practical sense as well as good theory behind this presumption of prejudice, for any requirement to demonstrate prejudice specifically would often place federal judges on habeas in highly precarious positions calling for judgments that state judges are generally better qualified to make. Since there will have been no advocate's help in analyzing the record on the direct state appeal, and since counsel may well have been absent formally as well as constructively in any state post-conviction proceedings, the federal judge would be looking for (among other things) previously unidentified state law issues not previously waived. One could not ask for a more certain guarantee of inefficient and time consuming judicial effort. 7
What remains is only to say a word about the State's argument that relief in this case is barred under
Teague
v.
Lane
,
* * *
The Wende procedure does not assure even the most minimal assistance of counsel in an adversarial role. The Constitution demands such assurances, and I would hold Robbins entitled to an appeal that provides them.
In addition to this double review and double determination of frivolity, California affords a third layer of review, through the California Appellate Projects, described in a recent opinion by the California Court of Appeal for the First District:
"[The appellate projects] are under contract to the court; their contractual duties include review of the records to assist court-appointed counsel in identifying issues to brief. If the court-appointed counsel can find no meritorious issues to raise and decides to file a Wende brief, an appellate project staff attorney reviews the record again to determine whether a Wende brief is appropriate. Thus, by the time the Wende brief is filed in the Court of Appeal, the record in the case has been reviewed both by the court-appointed counsel (who is presumably well qualified to handle the case) and by an experienced attorney on the staff of [the appellate project]." People v. Hackett, 36 Cal. App. 4th 1297, 1311, 43 Cal. Rptr. 2d 219, 228 (1995).
Footnote
2
Before filing his Wende brief, counsel consulted with the California Appellate Project for the Second District Court of Appeal and received its permission to file such a brief. App. 43.
Footnote
3
The Antiterrorism and Effective Death Penalty Act of 1996, 110 Stat. 1214, which amended §2254 and related provisions, does not apply to respondent's habeas petition, since he filed his petition before that Act's effective date of April 24, 1996. See
Lindh
v.
Murphy
,
Footnote
4
In subsequent cases, the Ninth Circuit has reiterated its view that the Wende procedure is unconstitutional because it differs from the Anders procedure. See Delgado v. Lewis , 181 F. 3d 1087, 1090, 1093 (1999), cert. pending, No. 98-1427; Davis v. Kramer , 167 F. 3d 494, 496, 497-498, stay granted pending disposition of pet. for cert., 527 U. S. -- (1999).
Footnote
5
The Constitution does not, however, require States to create appellate review in the first place. See,
e.g.,
Ross
v.
Moffitt
,
Footnote
6
The same was true in
Ellis
itself. See
Ellis
v.
United States
, 249 F. 2d 478, 480-481 (CADC 1957) (Washington, J., dissenting) ("Counsel ... concluded that the rulings of the District Court were not `so clearly erroneous as to constitute probable error.' ... Where, as here, there was a fairly arguable question, counsel should have proceeded to present argument"), vacated and remanded,
Footnote
7
States have, in fact, already been doing this to some degree. See Warner, Anders in the Fifty States: Some Appellants' Equal Protection is More Equal Than Others', 23 Fla. St. U. L. Rev. 625, 642-662 (1996); Arizona v. Clark , -- P. 2d --, No. 1 CA-CR 97-0673, 1999 WL 21250, ¶ ;¶ ;25-38 (Ariz. App., Jan. 19, 1999).
Footnote
8
Of course, no procedure can eliminate all risk of error.
E.g.
,
Walters
v.
National Assn. of Radiation Survivors,
Footnote
9
Although we have said that an indigent must receive "substantial equality" compared to the legal assistance that a defendant with paid counsel would receive,
McCoy
v.
Court of Appeals of Wis., Dist. 1
,
Footnote
10
This distinction gives meaning to our previous emphasis on an indigent appellant's right to "advocacy." Although an indigent whose appeal is frivolous has no right to have an advocate make his case to the appellate court, such an indigent does, in all cases, have the right to have an attorney, zealous for the indigent's interests, evaluate his case and attempt to discern nonfrivolous arguments. See
Ellis
,
Footnote
11
As one former public defender has explained, "an attorney confronted with the Anders situation has to do something that the Code of Professional Responsibility describes as unethical; the only choice is as to which canon he or she prefers to violate." Pengilly, Never Cry Anders : The Ethical Dilemma of Counsel Appointed to Pursue a Frivolous Criminal Appeal, 9 Crim. Justice J. 45, 64 (1986). See also, e.g. , Commonwealth v. Moffett , 383 Mass. 201, 206, 418 N. E. 2d 585, 590 (1981) ( Anders requires a "Janus-faced approach" by counsel); Hermann, Frivolous Criminal Appeals, 47 N. Y. U. L. Rev. 701, 711 (1972).
Footnote
12
Justice Stewart, in his dissent in
Anders
, was the first to make this criticism of the procedure set out by the
Anders
majority: "[I]f the record did present any such `arguable' issues, the appeal would not be frivolous."
Footnote
13
See supra , at 17-18. A further criticism of Anders has been that it is unjust. More particularly, critics have claimed that, in setting out the Anders procedure, we were oblivious to the problem of scarce resources (with regard to both counsel and courts) and, as a result, crafted a rule that diverts attention from meritorious appeals of indigents and ensures poor representation for all indigents. See, e.g. , Pritchard, Auctioning Justice: Legal and Market Mechanisms for Allocating Criminal Appellate Counsel, 34 Am. Crim. L. Rev. 1161, 1167-1168 (1997) ( Anders has created a "tragedy of the commons" that, "far from guaranteeing adequate appellate representation for all criminal defendants, instead ensures that indigent criminal defendants will receive mediocre appellate representation, whether their claims are good or bad" (footnote omitted)); Pritchard, supra, at 1169 (noting Anders 's similar effect on appellate courts); Pritchard, supra, at 1162 ("[J]udicial fiat cannot cure scarcity; it merely disguises the symptoms of the disease"); Doherty, Wolf! Wolf!--The Ramifications of Frivolous Appeals, 59 J. Crim. L., C. & P. S. 1, 2 (1968) ("[T]he people who will suffer the most are the indigent prisoners who have been unjustly convicted; they will languish in prison while lawyers devote time and energy to hopeless causes on a first come-first served basis" (footnote omitted)). We cannot say whether the Wende procedure is better or worse than the Anders procedure in this regard (although we are aware of policy-based arguments that it is worse as to appellate courts, see People v. Williams , 59 Cal. App. 4th 1202, 1205-1206, 69 Cal. Rptr. 2d 690, 692 (1997); Brief for Retired Justice Armand Arabian et al. as Amici Curiae ), but it is clear that, to the extent this criticism has merit, our holding today that the Anders procedure is not exclusive will enable States to continue to experiment with solutions to this problem.
Footnote
14
The performance component need not be addressed first. "If it is easier to dispose of an ineffectiveness claim on the ground of lack of sufficient prejudice, which we expect will often be so, that course should be followed."
Strickland
v.
Washington
,
Footnote
15
Moreover, such an error by counsel is neither "easy to identify" (since it is necessary to evaluate a defendant's case in order to find the error) nor attributable to the prosecution. See Strickland, supra, at 692.
Footnote
16
Federal judges are, of course, fully capable of assessing prejudice in this area, including for the very sorts of claims that Robbins has raised. See,
e.g.
,
Duhamel
v.
Collins
, 955 F. 2d 962, 967 (CA5 1992) (defendant not prejudiced by appellate counsel's failure to challenge sufficiency of the evidence);
Banks
v.
Reynolds
, 54 F. 3d 1508, 1515-1516 (CA10 1995) (finding both parts of
Strickland
test satisfied where appellate counsel failed to raise claim of violation of
Brady
v.
Maryland
,
"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,' the temptation to discharge an obligation in summary fashion is avoided, and the reviewing court is provided with meaningful assistance."
Nickols,
454 F. 2d, at 470 (citation and footnotes omitted) (quoting
Anders
v.
California
,
Footnote
2
The
Wende
procedure at issue in this case requires a "summary of the proceedings and facts," but does not require counsel to raise any legal issues.
People
v.
Wende,
25 Cal. 3d 436, 438, 600 P. 2d 1071, 1072 (1979); see also
ante
, at 2. This procedure plainly does not serve the above purpose, since it does not force counsel to "put pen to paper" regarding those things most relevant to an appeal--legal issues. Accordingly, and contrary to the Court's assertion,
ante
, at 18-19, this summary does not improve upon the procedure rejected in
Anders
--a "bare conclusion" by the attorney that an appeal is without merit.
The
Griffin
line of cases has roots in both due process and equal protection, see
M. L. B.
v.
S. L. J.
,
Footnote
2
Anders addressed the problem as confronted by assigned counsel, though in theory it can be equally acute when counsel is retained. It is unlikely to show up in practice, however. Paying clients generally can fire a lawyer expressing unsatisfying conclusions and will often find a replacement with a keener eye for arguable issues or a duller nose for frivolous ones. As a practical matter, the States may find it too difficult or costly to prevent monied appellants from wasting their own resources, and those of the judicial system, by bringing frivolous appeals. This does not mean, however, that the States are obligated to subsidize such efforts by indigents.
Footnote
3
An assurance, that is, that he has not become what is known around the Los Angeles County Jail as a " `dumptruck.' " Reply Brief for Petitioner 1.
Footnote
4
Of course, if appellate review is not constitutionally required, States may well be able to impose nonadversarial review on all appellants. They may not, however, reserve the adversary system for those able to afford counsel.
Footnote
5
Since the state petitioner's claims that the lawyer's unrevealing and conclusory certification has been approved by a superior are neither here nor there on my analysis, I need not evaluate assertions by amicus Delgado that there is no scheme of assigned representation uniform throughout the State, see Brief for Jesus Garcia Delgado as Amicus Curiae 8 .
Footnote
6
Although this habeas proceeding began on February 24, 1994, and is therefore not governed by the Antiterrorism and Effective Death Penalty Act of 1996 (AEDPA), see
Lindh
v.
Murphy
,
Footnote
7
Since a
Wende
case is like a denial of counsel, it would make no more sense to give the State an option to demonstrate no prejudice under
Chapman
v.
Calfornia
,
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Citation: 528 U.S. 259
No. 98-1037
Argued: October 05, 1999
Decided: January 19, 2000
Court: United States Supreme Court
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