| [1] | SUPREME COURT OF THE UNITED STATES |
| [2] | No. 82-1554 |
| [3] | 1984.SCT.41944 <http://www.versuslaw.com>; 466
U.S. 668, 104 S. Ct. 2052, 80 L. Ed. 2d 674, 52 U.S.L.W.
4565 |
| [4] | decided: May 14, 1984. |
| [5] | STRICKLAND, SUPERINTENDENT, FLORIDA STATE PRISON, ET
AL. v. WASHINGTON |
| [6] | CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE ELEVENTH
CIRCUIT. |
| [7] | Carolyn M. Snurkowski, Assistant Attorney General of Florida, argued
the cause for petitioners. On the briefs were Jim Smith, Attorney General,
and Calvin L. Fox, Assistant Attorney General. |
| [8] | Richard E. Shapiro argued the cause for respondent. With him on the
brief was Joseph H. Rodriguez.*fn* |
| [9] | O'connor, J., delivered the opinion of the Court, in which Burger, C.
J., and White, Blackmun, Powell, Rehnquist, and Stevens, JJ., joined.
Brennan, J., filed an opinion concurring in part and dissenting in part,
post, p. 701. Marshall, J., filed a dissenting opinion, post, p.
706. |
| [10] | Author: O'connor |
| [11] | JUSTICE O'CONNOR delivered the opinion of the Court. |
| [12] | This case requires us to consider the proper standards for judging a
criminal defendant's contention that the Constitution requires a
conviction or death sentence to be set aside because counsel's assistance
at the trial or sentencing was ineffective. |
| [13] | I |
| [14] | A |
| [15] | During a 10-day period in September 1976, respondent planned and
committed three groups of crimes, which included three
brutal stabbing murders, torture, kidnaping, severe assaults, attempted
murders, attempted extortion, and theft. After his two accomplices were
arrested, respondent surrendered to police and voluntarily gave a lengthy
statement confessing to the third of the criminal episodes. The State of
Florida indicted respondent for kidnaping and murder and appointed an
experienced criminal lawyer to represent him. |
| [16] | Counsel actively pursued pretrial motions and discovery. He cut his
efforts short, however, and he experienced a sense of hopelessness about
the case, when he learned that, against his specific advice, respondent
had also confessed to the first two murders. By the date set for trial,
respondent was subject to indictment for three counts of first-degree
murder and multiple counts of robbery, kidnaping for ransom, breaking and
entering and assault, attempted murder, and conspiracy to commit robbery.
Respondent waived his right to a jury trial, again acting against
counsel's advice, and pleaded guilty to all charges, including the three
capital murder charges. |
| [17] | In the plea colloquy, respondent told the trial judge that, although
he had committed a string of burglaries, he had no significant prior
criminal record and that at the time of his criminal spree he was under
extreme stress caused by his inability to support his family. App. 50-53.
He also stated, however, that he accepted responsibility for the crimes.
E. g., id., at 54, 57. The trial judge told respondent that he had "a
great deal of respect for people who are willing to step forward and admit
their responsibility" but that he was making no statement at all about his
likely sentencing decision. Id., at 62. |
| [18] | Counsel advised respondent to invoke his right under Florida law to an
advisory jury at his capital sentencing hearing. Respondent rejected the
advice and waived the right. He chose instead to be sentenced by the trial
judge without a jury recommendation. |
| [19] | In preparing for the sentencing hearing, counsel spoke with respondent
about his background. He also spoke on the
telephone with respondent's wife and mother, though he did not follow up
on the one unsuccessful effort to meet with them. He did not otherwise
seek out character witnesses for respondent. App. to Pet. for Cert. A265.
Nor did he request a psychiatric examination, since his conversations with
his client gave no indication that respondent had psychological problems.
Id., at A266. |
| [20] | Counsel decided not to present and hence not to look further for
evidence concerning respondent's character and emotional state. That
decision reflected trial counsel's sense of hopelessness about overcoming
the evidentiary effect of respondent's confessions to the gruesome crimes.
See id., at A282. It also reflected the judgment that it was advisable to
rely on the plea colloquy for evidence about respondent's background and
about his claim of emotional stress: the plea colloquy communicated
sufficient information about these subjects, and by forgoing the
opportunity to present new evidence on these subjects, counsel prevented
the State from cross-examining respondent on his claim and from putting on
psychiatric evidence of its own. Id., at A223-A225. |
| [21] | Counsel also excluded from the sentencing hearing other evidence he
thought was potentially damaging. He successfully moved to exclude
respondent's "rap sheet." Id., at A227; App. 311. Because he judged that a
presentence report might prove more detrimental than helpful, as it would
have included respondent's criminal history and thereby would have
undermined the claim of no significant history of criminal activity, he
did not request that one be prepared. App. to Pet. for Cert. A227-A228,
A265-A266. |
| [22] | At the sentencing hearing, counsel's strategy was based primarily on
the trial judge's remarks at the plea colloquy as well as on his
reputation as a sentencing judge who thought it important for a convicted
defendant to own up to his crime. Counsel argued that respondent's remorse
and acceptance of responsibility justified sparing him from the death
penalty. Id., at A265-A266. Counsel also argued that respondent had no
history of criminal activity and that respondent committed the
crimes under extreme mental or emotional disturbance, thus coming within
the statutory list of mitigating circumstances. He further argued that
respondent should be spared death because he had surrendered, confessed,
and offered to testify against a co-defendant and because respondent was
fundamentally a good person who had briefly gone badly wrong in extremely
stressful circumstances. The State put on evidence and witnesses largely
for the purpose of describing the details of the crimes. Counsel did not
cross-examine the medical experts who testified about the manner of death
of respondent's victims. |
| [23] | The trial judge found several aggravating circumstances with respect
to each of the three murders. He found that all three murders were
especially heinous, atrocious, and cruel, all involving repeated
stabbings. All three murders were committed in the course of at least one
other dangerous and violent felony, and since all involved robbery, the
murders were for pecuniary gain. All three murders were committed to avoid
arrest for the accompanying crimes and to hinder law enforcement. In the
course of one of the murders, respondent knowingly subjected numerous
persons to a grave risk of death by deliberately stabbing and shooting the
murder victim's sisters-in-law, who sustained severe -- in one case,
ultimately fatal -- injuries. |
| [24] | With respect to mitigating circumstances, the trial judge made the
same findings for all three capital murders. First, although there was no
admitted evidence of prior convictions, respondent had stated that he had
engaged in a course of stealing. In any case, even if respondent had no
significant history of criminal activity, the aggravating circumstances
"would still clearly far outweigh" that mitigating factor. Second, the
judge found that, during all three crimes, respondent was not suffering
from extreme mental or emotional disturbance and could appreciate the
criminality of his acts. Third, none of the victims was a participant in,
or consented to, respondent's conduct. Fourth, respondent's participation
in the crimes was neither minor nor the result of duress or domination by
an accomplice. Finally, respondent's age (26) could not be considered a
factor in mitigation, especially when viewed in light of respondent's
planning of the crimes and disposition of the proceeds of the various
accompanying thefts. |
| [25] | In short, the trial judge found numerous aggravating circumstances and
no (or a single comparatively insignificant) mitigating circumstance. With
respect to each of the three convictions for capital murder, the trial
judge concluded: "A careful consideration of all matters presented to the
court impels the conclusion that there are insufficient mitigating
circumstances . . . to outweigh the aggravating circumstances." See
Washington v. State, 362 So. 2d 658, 663-664 (Fla. 1978) (quoting trial
court findings), cert. denied, 441 U.S. 937 (1979).
He therefore sentenced respondent to death on each of the three counts of
murder and to prison terms for the other crimes. The Florida Supreme Court
upheld the convictions and sentences on direct appeal. |
| [26] | B |
| [27] | Respondent subsequently sought collateral relief in state court on
numerous grounds, among them that counsel had rendered ineffective
assistance at the sentencing proceeding. Respondent challenged counsel's
assistance in six respects. He asserted that counsel was ineffective
because he failed to move for a continuance to prepare for sentencing, to
request a psychiatric report, to investigate and present character
witnesses, to seek a presentence investigation report, to present
meaningful arguments to the sentencing judge, and to investigate the
medical examiner's reports or cross-examine the medical experts. In
support of the claim, respondent submitted 14 affidavits from friends,
neighbors, and relatives stating that they would have testified if asked
to do so. He also submitted one psychiatric report and one psychological
report stating that respondent, though not under the influence of
extreme mental or emotional disturbance, was "chronically frustrated and
depressed because of his economic dilemma" at the time of his crimes. App.
7; see also id., at 14. |
| [28] | The trial court denied relief without an evidentiary hearing, finding
that the record evidence conclusively showed that the ineffectiveness
claim was meritless. App. to Pet. for Cert. A206-A243. Four of the
assertedly prejudicial errors required little discussion. First, there
were no grounds to request a continuance, so there was no error in not
requesting one when respondent pleaded guilty. Id., at A218-A220. Second,
failure to request a presentence investigation was not a serious error
because the trial judge had discretion not to grant such a request and
because any presentence investigation would have resulted in admission of
respondent's "rap sheet" and thus would have undermined his assertion of
no significant history of criminal activity. Id., at A226-A228. Third, the
argument and memorandum given to the sentencing judge were "admirable" in
light of the overwhelming aggravating circumstances and absence of
mitigating circumstances. Id., at A228. Fourth, there was no error in
failure to examine the medical examiner's reports or to cross-examine the
medical witnesses testifying on the manner of death of respondent's
victims, since respondent admitted that the victims died in the ways shown
by the unchallenged medical evidence. Id., at A229. |
| [29] | The trial court dealt at greater length with the two other bases for
the ineffectiveness claim. The court pointed out that a psychiatric
examination of respondent was conducted by state order soon after
respondent's initial arraignment. That report states that there was no
indication of major mental illness at the time of the crimes. Moreover,
both the reports submitted in the collateral proceeding state that,
although respondent was "chronically frustrated and depressed because of
his economic dilemma," he was not under the influence of extreme mental or
emotional disturbance. All three reports
thus directly undermine the contention made at the sentencing hearing that
respondent was suffering from extreme mental or emotional disturbance
during his crime spree. Accordingly, counsel could reasonably decide not
to seek psychiatric reports; indeed, by relying solely on the plea
colloquy to support the emotional disturbance contention, counsel denied
the State an opportunity to rebut his claim with psychiatric testimony. In
any event, the aggravating circumstances were so overwhelming that no
substantial prejudice resulted from the absence at sentencing of the
psychiatric evidence offered in the collateral attack. |
| [30] | The court rejected the challenge to counsel's failure to develop and
to present character evidence for much the same reasons. The affidavits
submitted in the collateral proceeding showed nothing more than that
certain persons would have testified that respondent was basically a good
person who was worried about his family's financial problems. Respondent
himself had already testified along those lines at the plea colloquy.
Moreover, respondent's admission of a course of stealing rebutted many of
the factual allegations in the affidavits. For those reasons, and because
the sentencing judge had stated that the death sentence would be
appropriate even if respondent had no significant prior criminal history,
no substantial prejudice resulted from the absence at sentencing of the
character evidence offered in the collateral attack. |
| [31] | Applying the standard for ineffectiveness claims articulated by the
Florida Supreme Court in Knight v. State, 394 So. 2d 997 (1981), the trial
court concluded that respondent had not shown that counsel's assistance
reflected any substantial and serious deficiency measurably below that of
competent counsel that was likely to have affected the outcome of the
sentencing proceeding. The court specifically found: "[As] a matter of
law, the record affirmatively demonstrates beyond any doubt that even if
[counsel] had done each of the . . . things [that respondent alleged
counsel had failed to do] at
the time of sentencing, there is not even the remotest chance that the
outcome would have been any different. The plain fact is that the
aggravating circumstances proved in this case were completely
overwhelming. . . ." App. to Pet. for Cert. A230. |
| [32] | The Florida Supreme Court affirmed the denial of relief. Washington v.
State, 397 So. 2d 285 (1981). For essentially the reasons given by the
trial court, the State Supreme Court concluded that respondent had failed
to make out a prima facie case of either "substantial deficiency or
possible prejudice" and, indeed, had "failed to such a degree that we
believe, to the point of a moral certainty, that he is entitled to no
relief. . . ." Id., at 287. Respondent's claims were "shown conclusively
to be without merit so as to obviate the need for an evidentiary hearing."
Id., at 286. |
| [33] | C |
| [34] | Respondent next filed a petition for a writ of habeas corpus in the
United States District Court for the Southern District of Florida. He
advanced numerous grounds for relief, among them ineffective assistance of
counsel based on the same errors, except for the failure to move for a
continuance, as those he had identified in state court. The District Court
held an evidentiary hearing to inquire into trial counsel's efforts to
investigate and to present mitigating circumstances. Respondent offered
the affidavits and reports he had submitted in the state collateral
proceedings; he also called his trial counsel to testify. The State of
Florida, over respondent's objection, called the trial judge to
testify. |
| [35] | The District Court disputed none of the state court factual findings
concerning trial counsel's assistance and made findings of its own that
are consistent with the state court findings. The account of trial
counsel's actions and decisions given above reflects the combined
findings. On the legal issue of ineffectiveness, the District Court
concluded that, although trial counsel made errors in judgment in failing
to investigate
non-statutory mitigating evidence further than he did, no prejudice to
respondent's sentence resulted from any such error in judgment. Relying in
part on the trial judge's testimony but also on the same factors that led
the state courts to find no prejudice, the District Court concluded that
"there does not appear to be a likelihood, or even a significant
possibility," that any errors of trial counsel had affected the outcome of
the sentencing proceeding. App. to Pet. for Cert. A285-A286. The District
Court went on to reject all of respondent's other grounds for relief,
including one not exhausted in state court, which the District Court
considered because, among other reasons, the State urged its
consideration. Id., at A286-A292. The court accordingly denied the
petition for a writ of habeas corpus. |
| [36] | On appeal, a panel of the United States Court of Appeals for the Fifth
Circuit affirmed in part, vacated in part, and remanded with instructions
to apply to the particular facts the framework for analyzing
ineffectiveness claims that it developed in its opinion. 673
F.2d 879 (1982). The panel decision was itself vacated when
Unit B of the former Fifth Circuit, now the Eleventh Circuit, decided to
rehear the case en banc. 679 F.2d 23 (1982). The full
Court of Appeals developed its own framework for analyzing ineffective
assistance claims and reversed the judgment of the District Court and
remanded the case for new factfinding under the newly announced standards.
693 F.2d 1243 (1982). |
| [37] | The court noted at the outset that, because respondent had raised an
unexhausted claim at his evidentiary hearing in the District Court, the
habeas petition might be characterized as a mixed petition subject to the
rule of Rose v. Lundy, 455 U.S. 509 (1982), requiring
dismissal of the entire petition. The court held, however, that the
exhaustion requirement is "a matter of comity rather than a matter of
jurisdiction" and hence admitted of exceptions. The court agreed with the
District Court that this case came within an exception to the mixed
petition rule. 693 F.2d, at 1248, n. 7. Turning
to the merits, the Court of Appeals stated that the Sixth Amendment right
to assistance of counsel accorded criminal defendants a right to "counsel
reasonably likely to render and rendering reasonably effective assistance
given the totality of the circumstances." Id., at 1250. The court remarked
in passing that no special standard applies in capital cases such as the
one before it: the punishment that a defendant faces is merely one of the
circumstances to be considered in determining whether counsel was
reasonably effective. Id., at 1250, n. 12. The court then addressed
respondent's contention that his trial counsel's assistance was not
reasonably effective because counsel breached his duty to investigate
non-statutory mitigating circumstances. |
| [38] | The court agreed that the Sixth Amendment imposes on counsel a duty to
investigate, because reasonably effective assistance must be based on
professional decisions and informed legal choices can be made only after
investigation of options. The court observed that counsel's investigatory
decisions must be assessed in light of the information known at the time
of the decisions, not in hindsight, and that "[the] amount of pretrial
investigation that is reasonable defies precise measurement." Id., at
1251. Nevertheless, putting guilty-plea cases to one side, the court
attempted to classify cases presenting issues concerning the scope of the
duty to investigate before proceeding to trial. |
| [39] | If there is only one plausible line of defense, the court concluded,
counsel must conduct a "reasonably substantial investigation" into that
line of defense, since there can be no strategic choice that renders such
an investigation unnecessary. Id., at 1252. The same duty exists if
counsel relies at trial on only one line of defense, although others are
available. In either case, the investigation need not be exhaustive. It
must include "'an independent examination of the facts, circumstances,
pleadings and laws involved.'" Id., at 1253 (quoting Rummel v. Estelle, 590 F.2d 103, 104 (CA5 1979)). The scope of the duty,
however, depends on
such facts as the strength of the government's case and the likelihood
that pursuing certain leads may prove more harmful than helpful. 693 F.2d, at 1253, n. 16. |
| [40] | If there is more than one plausible line of defense, the court held,
counsel should ideally investigate each line substantially before making a
strategic choice about which lines to rely on at trial. If counsel
conducts such substantial investigations, the strategic choices made as a
result "will seldom if ever" be found wanting. Because advocacy is an art
and not a science, and because the adversary system requires deference to
counsel's informed decisions, strategic choices must be respected in these
circumstances if they are based on professional judgment. Id., at
1254. |
| [41] | If counsel does not conduct a substantial investigation into each of
several plausible lines of defense, assistance may nonetheless be
effective. Counsel may not exclude certain lines of defense for other than
strategic reasons. Id., at 1257-1258. Limitations of time and money,
however, may force early strategic choices, often based solely on
conversations with the defendant and a review of the prosecution's
evidence. Those strategic choices about which lines of defense to pursue
are owed deference commensurate with the reasonableness of the
professional judgments on which they are based. Thus, "when counsel's
assumptions are reasonable given the totality of the circumstances and
when counsel's strategy represents a reasonable choice based upon those
assumptions, counsel need not investigate lines of defense that he has
chosen not to employ at trial." Id., at 1255 (footnote omitted). Among the
factors relevant to deciding whether particular strategic choices are
reasonable are the experience of the attorney, the inconsistency of
unpursued and pursued lines of defense, and the potential for prejudice
from taking an unpursued line of defense. Id., at 1256-1257, n.
23. |
| [42] | Having outlined the standards for judging whether defense counsel
fulfilled the duty to investigate, the Court of Appeals turned its
attention to the question of the prejudice to the defense
that must be shown before counsel's errors justify reversal of the
judgment. The court observed that only in cases of outright denial of
counsel, of affirmative government interference in the representation
process, or of inherently prejudicial conflicts of interest had this Court
said that no special showing of prejudice need be made. Id., at 1258-1259.
For cases of deficient performance by counsel, where the government is not
directly responsible for the deficiencies and where evidence of deficiency
may be more accessible to the defendant than to the prosecution, the
defendant must show that counsel's errors "resulted in actual and
substantial disadvantage to the course of his defense." Id., at 1262. This
standard, the Court of Appeals reasoned, is compatible with the "cause and
prejudice" standard for overcoming procedural defaults in federal
collateral proceedings and discourages insubstantial claims by requiring
more than a showing, which could virtually always be made, of some
conceivable adverse effect on the defense from counsel's errors. The
specified showing of prejudice would result in reversal of the judgment,
the court concluded, unless the prosecution showed that the
constitutionally deficient performance was, in light of all the evidence,
harmless beyond a reasonable doubt. Id., at 1260-1262. |
| [43] | The Court of Appeals thus laid down the tests to be applied in the
Eleventh Circuit in challenges to convictions on the ground of
ineffectiveness of counsel. Although some of the judges of the court
proposed different approaches to judging ineffectiveness claims either
generally or when raised in federal habeas petitions from state prisoners,
id., at 1264-1280 (opinion of Tjoflat, J.); id., at 1280 (opinion of
Clark, J.); id., at 1285-1288 (opinion of Roney, J., joined by Fay and
Hill, JJ.); id., at 1288-1291 (opinion of Hill, J.), and although some
believed that no remand was necessary in this case, id., at 1281-1285
(opinion of Johnson, J., joined by Anderson, J.); id., at 1285-1288
(opinion of Roney, J., joined by Fay and Hill, JJ.); id., at 1288-1291
(opinion of Hill, J.), a majority of
the judges of the en banc court agreed that the case should be remanded
for application of the newly announced standards. Summarily rejecting
respondent's claims other than ineffectiveness of counsel, the court
accordingly reversed the judgment of the District Court and remanded the
case. On remand, the court finally ruled, the state trial judge's
testimony, though admissible "to the extent that it contains personal
knowledge of historical facts or expert opinion," was not to be considered
admitted into evidence to explain the judge's mental processes in reaching
his sentencing decision. Id., at 1262-1263; see Fayerweather v. Ritch, 195 U.S. 276, 306-307 (1904). |
| [44] | D |
| [45] | Petitioners, who are officials of the State of Florida, filed a
petition for a writ of certiorari seeking review of the decision of the
Court of Appeals. The petition presents a type of Sixth Amendment claim
that this Court has not previously considered in any generality. The Court
has considered Sixth Amendment claims based on actual or constructive
denial of the assistance of counsel altogether, as well as claims based on
state interference with the ability of counsel to render effective
assistance to the accused. E. g., United States v. Cronic, ante, p. 648.
With the exception of Cuyler v. Sullivan, 446 U.S. 335 (1980), however, which involved a claim that counsel's
assistance was rendered ineffective by a conflict of interest, the Court
has never directly and fully addressed a claim of "actual ineffectiveness"
of counsel's assistance in a case going to trial. Cf. United States v.
Agurs, 427 U.S. 97, 102, n. 5 (1976). |
| [46] | In assessing attorney performance, all the Federal Courts of Appeals
and all but a few state courts have now adopted the "reasonably effective
assistance" standard in one formulation or another. See Trapnell v. United
States, 725 F.2d 149, 151-152 (CA2 1983); App. B to
Brief for United States in United States v. Cronic, O. T. 1983, No.
82-660, pp. 3a-6a; Sarno, Modern
Status of Rules and Standards in State Courts as to Adequacy of Defense
Counsel's Representation of Criminal Client, 2 A. L. R. 4th 99-157, §§
7-10 (1980). Yet this Court has not had occasion squarely to decide
whether that is the proper standard. With respect to the prejudice that a
defendant must show from deficient attorney performance, the lower courts
have adopted tests that purport to differ in more than formulation. See
App. C to Brief for United States in United States v. Cronic, supra, at
7a-10a; Sarno, supra, at 83-99, § 6. In particular, the Court of Appeals
in this case expressly rejected the prejudice standard articulated by
Judge Leventhal in his plurality opinion in United States v. Decoster, 199
U. S. App. D.C. 359, 371, 374-375, 624 F.2d 196, 208,
211-212 (en banc), cert. denied, 444 U.S. 944 (1979),
and adopted by the State of Florida in Knight v. State, 394 So. 2d, at
1001, a standard that requires a showing that specified deficient conduct
of counsel was likely to have affected the outcome of the proceeding. 693 F.2d, at 1261-1262. |
| [47] | For these reasons, we granted certiorari to consider the standards by
which to judge a contention that the Constitution requires that a criminal
judgment be overturned because of the actual ineffective assistance of
counsel. 462 U.S. 1105 (1983). We agree with the
Court of Appeals that the exhaustion rule requiring dismissal of mixed
petitions, though to be strictly enforced, is not jurisdictional. See Rose
v. Lundy, 455 U.S., at 515-520. We therefore address
the merits of the constitutional issue. |
| [48] | II |
| [49] | In a long line of cases that includes Powell v. Alabama, 287
U.S. 45 (1932), Johnson v. Zerbst, 304 U.S. 458 (1938), and Gideon v. Wainwright, 372 U.S. 335 (1963), this Court has recognized that the Sixth Amendment
right to counsel exists, and is needed, in order to protect the
fundamental right to a fair trial. The Constitution guarantees a fair
trial through the
Due Process Clauses, but it defines the basic elements of a fair trial
largely through the several provisions of the Sixth Amendment, including
the Counsel Clause: |
| [50] | "In all criminal prosecutions, the accused shall enjoy the right to a
speedy and public trial, by an impartial jury of the State and district
wherein the crime shall have been committed, which district shall have
been previously ascertained by law, and to be informed of the nature and
cause of the accusation; to be confronted with the witnesses against him;
to have compulsory process for obtaining witnesses in his favor, and to
have the Assistance of Counsel for his defence." |
| [51] | Thus, a fair trial is one in which evidence subject to adversarial
testing is presented to an impartial tribunal for resolution of issues
defined in advance of the proceeding. The right to counsel plays a crucial
role in the adversarial system embodied in the Sixth Amendment, since
access to counsel's skill and knowledge is necessary to accord defendants
the "ample opportunity to meet the case of the prosecution" to which they
are entitled. Adams v. United States ex rel. McCann, 317 U.S.
269, 275, 276 (1942); see Powell v. Alabama, supra, at
68-69. |
| [52] | Because of the vital importance of counsel's assistance, this Court
has held that, with certain exceptions, a person accused of a federal or
state crime has the right to have counsel appointed if retained counsel
cannot be obtained. See Argersinger v. Hamlin, 407 U.S. 25 (1972); Gideon v. Wainwright, supra; Johnson v. Zerbst,
supra. That a person who happens to be a lawyer is present at trial
alongside the accused, however, is not enough to satisfy the
constitutional command. The Sixth Amendment recognizes the right to the
assistance of counsel because it envisions counsel's playing a role that
is critical to the ability of the adversarial system to produce just
results. An accused is entitled to be assisted by an attorney, whether
retained or appointed, who plays the role necessary to ensure that the
trial is fair. For
that reason, the Court has recognized that "the right to counsel is the
right to the effective assistance of counsel." McMann v. Richardson, 397 U.S. 759, 771, n. 14 (1970). Government violates
the right to effective assistance when it interferes in certain ways with
the ability of counsel to make independent decisions about how to conduct
the defense. See, e. g., Geders v. United States, 425 U.S. 80 (1976) (bar on attorney-client consultation during overnight
recess); Herring v. New York, 422 U.S. 853 (1975)
(bar on summation at bench trial); Brooks v. Tennessee, 406 U.S.
605, 612-613 (1972) (requirement that defendant be first
defense witness); Ferguson v. Georgia, 365 U.S. 570,
593-596 (1961) (bar on direct examination of defendant). Counsel, however,
can also deprive a defendant of the right to effective assistance, simply
by failing to render "adequate legal assistance," Cuyler v. Sullivan, 446 U.S., at 344. Id., at 345-350 (actual conflict of
interest adversely affecting lawyer's performance renders assistance
ineffective). |
| [53] | The Court has not elaborated on the meaning of the constitutional
requirement of effective assistance in the latter class of cases -- that
is, those presenting claims of "actual ineffectiveness." In giving meaning
to the requirement, however, we must take its purpose -- to ensure a fair
trial -- as the guide. The benchmark for judging any claim of
ineffectiveness must be whether counsel's conduct so undermined the proper
functioning of the adversarial process that the trial cannot be relied on
as having produced a just result. |
| [54] | The same principle applies to a capital sentencing proceeding such as
that provided by Florida law. We need not consider the role of counsel in
an ordinary sentencing, which may involve informal proceedings and
standardless discretion in the sentencer, and hence may require a
different approach to the definition of constitutionally effective
assistance. A capital sentencing proceeding like the one involved in this
case, however, is sufficiently like a trial in its adversarial format and
in the existence of standards for decision, see Barclay v.
Florida, 463 U.S. 939, 952-954 (1983); Bullington v.
Missouri, 451 U.S. 430 (1981), that counsel's role in
the proceeding is comparable to counsel's role at trial -- to ensure that
the adversarial testing process works to produce a just result under the
standards governing decision. For purposes of describing counsel's duties,
therefore, Florida's capital sentencing proceeding need not be
distinguished from an ordinary trial. |
| [55] | III |
| [56] | A convicted defendant's claim that counsel's assistance was so
defective as to require reversal of a conviction or death sentence has two
components. First, the defendant must show that counsel's performance was
deficient. This requires showing that counsel made errors so serious that
counsel was not functioning as the "counsel" guaranteed the defendant by
the Sixth Amendment. Second, the defendant must show that the deficient
performance prejudiced the defense. This requires showing that counsel's
errors were so serious as to deprive the defendant of a fair trial, a
trial whose result is reliable. Unless a defendant makes both showings, it
cannot be said that the conviction or death sentence resulted from a
breakdown in the adversary process that renders the result
unreliable. |
| [57] | A |
| [58] | As all the Federal Courts of Appeals have now held, the proper
standard for attorney performance is that of reasonably effective
assistance. See Trapnell v. United States, 725 F.2d, at 151-152. The Court indirectly recognized as much when it stated
in McMann v. Richardson, supra, at 770, 771, that a guilty plea cannot be
attacked as based on inadequate legal advice unless counsel was not "a
reasonably competent attorney" and the advice was not "within the range of
competence demanded of attorneys in criminal cases." See also Cuyler v.
Sullivan, supra, at 344. When a convicted defendant complains
of the ineffectiveness of counsel's assistance, the defendant must show
that counsel's representation fell below an objective standard of
reasonableness. |
| [59] | More specific guidelines are not appropriate. The Sixth Amendment
refers simply to "counsel," not specifying particular requirements of
effective assistance. It relies instead on the legal profession's
maintenance of standards sufficient to justify the law's presumption that
counsel will fulfill the role in the adversary process that the Amendment
envisions. See Michel v. Louisiana, 350 U.S. 91,
100-101 (1955). The proper measure of attorney performance remains simply
reasonableness under prevailing professional norms. |
| [60] | Representation of a criminal defendant entails certain basic duties.
Counsel's function is to assist the defendant, and hence counsel owes the
client a duty of loyalty, a duty to avoid conflicts of interest. See
Cuyler v. Sullivan, supra, at 346. From counsel's function as assistant to
the defendant derive the overarching duty to advocate the defendant's
cause and the more particular duties to consult with the defendant on
important decisions and to keep the defendant informed of important
developments in the course of the prosecution. Counsel also has a duty to
bring to bear such skill and knowledge as will render the trial a reliable
adversarial testing process. See Powell v. Alabama, 287 U.S., at
68-69. |
| [61] | These basic duties neither exhaustively define the obligations of
counsel nor form a checklist for judicial evaluation of attorney
performance. In any case presenting an ineffectiveness claim, the
performance inquiry must be whether counsel's assistance was reasonable
considering all the circumstances. Prevailing norms of practice as
reflected in American Bar Association standards and the like, e. g., ABA
Standards for Criminal Justice 4-1.1 to 4-8.6 (2d ed. 1980) ("The Defense
Function"), are guides to determining what is reasonable, but they are
only guides. No particular set of detailed rules for counsel's conduct can
satisfactorily take account
of the variety of circumstances faced by defense counsel or the range of
legitimate decisions regarding how best to represent a criminal defendant.
Any such set of rules would interfere with the constitutionally protected
independence of counsel and restrict the wide latitude counsel must have
in making tactical decisions. See United States v. Decoster, 199 U. S.
App. D.C., at 371, 624 F.2d, at 208. Indeed, the
existence of detailed guidelines for representation could distract counsel
from the overriding mission of vigorous advocacy of the defendant's cause.
Moreover, the purpose of the effective assistance guarantee of the Sixth
Amendment is not to improve the quality of legal representation, although
that is a goal of considerable importance to the legal system. The purpose
is simply to ensure that criminal defendants receive a fair
trial. |
| [62] | Judicial scrutiny of counsel's performance must be highly deferential.
It is all too tempting for a defendant to second-guess counsel's
assistance after conviction or adverse sentence, and it is all too easy
for a court, examining counsel's defense after it has proved unsuccessful,
to conclude that a particular act or omission of counsel was unreasonable.
Cf. Engle v. Isaac, 456 U.S. 107, 133-134 (1982). A
fair assessment of attorney performance requires that every effort be made
to eliminate the distorting effects of hindsight, to reconstruct the
circumstances of counsel's challenged conduct, and to evaluate the conduct
from counsel's perspective at the time. Because of the difficulties
inherent in making the evaluation, a court must indulge a strong
presumption that counsel's conduct falls within the wide range of
reasonable professional assistance; that is, the defendant must overcome
the presumption that, under the circumstances, the challenged action
"might be considered sound trial strategy." See Michel v. Louisiana,
supra, at 101. There are countless ways to provide effective assistance in
any given case. Even the best criminal defense attorneys would not defend
a particular client in the same way. See Goodpaster, The
Trial for Life: Effective Assistance of Counsel in Death Penalty Cases, 58
N. Y. U. L. Rev. 299, 343 (1983). |
| [63] | The availability of intrusive post-trial inquiry into attorney
performance or of detailed guidelines for its evaluation would encourage
the proliferation of ineffectiveness challenges. Criminal trials resolved
unfavorably to the defendant would increasingly come to be followed by a
second trial, this one of counsel's unsuccessful defense. Counsel's
performance and even willingness to serve could be adversely affected.
Intensive scrutiny of counsel and rigid requirements for acceptable
assistance could dampen the ardor and impair the independence of defense
counsel, discourage the acceptance of assigned cases, and undermine the
trust between attorney and client. |
| [64] | Thus, a court deciding an actual ineffectiveness claim must judge the
reasonableness of counsel's challenged conduct on the facts of the
particular case, viewed as of the time of counsel's conduct. A convicted
defendant making a claim of ineffective assistance must identify the acts
or omissions of counsel that are alleged not to have been the result of
reasonable professional judgment. The court must then determine whether,
in light of all the circumstances, the identified acts or omissions were
outside the wide range of professionally competent assistance. In making
that determination, the court should keep in mind that counsel's function,
as elaborated in prevailing professional norms, is to make the adversarial
testing process work in the particular case. At the same time, the court
should recognize that counsel is strongly presumed to have rendered
adequate assistance and made all significant decisions in the exercise of
reasonable professional judgment. |
| [65] | These standards require no special amplification in order to define
counsel's duty to investigate, the duty at issue in this case. As the
Court of Appeals concluded, strategic choices made after thorough
investigation of law and facts relevant to plausible options are virtually
unchallengeable; and strategic choices
made after less than complete investigation are reasonable precisely to
the extent that reasonable professional judgments support the limitations
on investigation. In other words, counsel has a duty to make reasonable
investigations or to make a reasonable decision that makes particular
investigations unnecessary. In any ineffectiveness case, a particular
decision not to investigate must be directly assessed for reasonableness
in all the circumstances, applying a heavy measure of deference to
counsel's judgments. |
| [66] | The reasonableness of counsel's actions may be determined or
substantially influenced by the defendant's own statements or actions.
Counsel's actions are usually based, quite properly, on informed strategic
choices made by the defendant and on information supplied by the
defendant. In particular, what investigation decisions are reasonable
depends critically on such information. For example, when the facts that
support a certain potential line of defense are generally known to counsel
because of what the defendant has said, the need for further investigation
may be considerably diminished or eliminated altogether. And when a
defendant has given counsel reason to believe that pursuing certain
investigations would be fruitless or even harmful, counsel's failure to
pursue those investigations may not later be challenged as unreasonable.
In short, inquiry into counsel's conversations with the defendant may be
critical to a proper assessment of counsel's investigation decisions, just
as it may be critical to a proper assessment of counsel's other litigation
decisions. See United States v. Decoster, supra, at 372-373, 624
F.2d, at 209-210. |
| [67] | B |
| [68] | An error by counsel, even if professionally unreasonable, does not
warrant setting aside the judgment of a criminal proceeding if the error
had no effect on the judgment. Cf. United States v. Morrison,
449 U.S. 361, 364-365 (1981). The purpose of the
Sixth Amendment guarantee of counsel is to ensure that
a defendant has the assistance necessary to justify reliance on the
outcome of the proceeding. Accordingly, any deficiencies in counsel's
performance must be prejudicial to the defense in order to constitute
ineffective assistance under the Constitution. |
| [69] | In certain Sixth Amendment contexts, prejudice is presumed. Actual or
constructive denial of the assistance of counsel altogether is legally
presumed to result in prejudice. So are various kinds of state
interference with counsel's assistance. See United States v. Cronic, ante,
at 659, and n. 25. Prejudice in these circumstances is so likely that
case-by-case inquiry into prejudice is not worth the cost. Ante, at 658.
Moreover, such circumstances involve impairments of the Sixth Amendment
right that are easy to identify and, for that reason and because the
prosecution is directly responsible, easy for the government to
prevent. |
| [70] | One type of actual ineffectiveness claim warrants a similar, though
more limited, presumption of prejudice. In Cuyler v. Sullivan,
446 U.S., at 345-350, the Court held that prejudice
is presumed when counsel is burdened by an actual conflict of interest. In
those circumstances, counsel breaches the duty of loyalty, perhaps the
most basic of counsel's duties. Moreover, it is difficult to measure the
precise effect on the defense of representation corrupted by conflicting
interests. Given the obligation of counsel to avoid conflicts of interest
and the ability of trial courts to make early inquiry in certain
situations likely to give rise to conflicts, see, e. g., Fed. Rule Crim.
Proc. 44(c), it is reasonable for the criminal justice system to maintain
a fairly rigid rule of presumed prejudice for conflicts of interest. Even
so, the rule is not quite the per se rule of prejudice that exists for the
Sixth Amendment claims mentioned above. Prejudice is presumed only if the
defendant demonstrates that counsel "actively represented conflicting
interests" and that "an actual conflict of interest adversely affected his
lawyer's performance." Cuyler v. Sullivan, supra, at 350, 348 (footnote
omitted). Conflict
of interest claims aside, actual ineffectiveness claims alleging a
deficiency in attorney performance are subject to a general requirement
that the defendant affirmatively prove prejudice. The government is not
responsible for, and hence not able to prevent, attorney errors that will
result in reversal of a conviction or sentence. Attorney errors come in an
infinite variety and are as likely to be utterly harmless in a particular
case as they are to be prejudicial. They cannot be classified according to
likelihood of causing prejudice. Nor can they be defined with sufficient
precision to inform defense attorneys correctly just what conduct to
avoid. Representation is an art, and an act or omission that is
unprofessional in one case may be sound or even brilliant in another. Even
if a defendant shows that particular errors of counsel were unreasonable,
therefore, the defendant must show that they actually had an adverse
effect on the defense. |
| [71] | It is not enough for the defendant to show that the errors had some
conceivable effect on the outcome of the proceeding. Virtually every act
or omission of counsel would meet that test, cf. United States v.
Valenzuela-Bernal, 458 U.S. 858, 866-867 (1982), and
not every error that conceivably could have influenced the outcome
undermines the reliability of the result of the proceeding. Respondent
suggests requiring a showing that the errors "impaired the presentation of
the defense." Brief for Respondent 58. That standard, however, provides no
workable principle. Since any error, if it is indeed an error, "impairs"
the presentation of the defense, the proposed standard is inadequate
because it provides no way of deciding what impairments are sufficiently
serious to warrant setting aside the outcome of the
proceeding. |
| [72] | On the other hand, we believe that a defendant need not show that
counsel's deficient conduct more likely than not altered the outcome in
the case. This outcome-determinative standard has several strengths. It
defines the relevant inquiry in a way familiar to courts, though the
inquiry, as is inevitable, is anything but precise. The standard also
reflects the profound importance of finality in criminal proceedings. Moreover,
it comports with the widely used standard for assessing motions for new
trial based on newly discovered evidence. See Brief for United States as
Amicus Curiae 19-20, and nn. 10, 11. Nevertheless, the standard is not
quite appropriate. |
| [73] | Even when the specified attorney error results in the omission of
certain evidence, the newly discovered evidence standard is not an apt
source from which to draw a prejudice standard for ineffectiveness claims.
The high standard for newly discovered evidence claims presupposes that
all the essential elements of a presumptively accurate and fair proceeding
were present in the proceeding whose result is challenged. Cf. United
States v. Johnson, 327 U.S. 106, 112 (1946). An
ineffective assistance claim asserts the absence of one of the crucial
assurances that the result of the proceeding is reliable, so finality
concerns are somewhat weaker and the appropriate standard of prejudice
should be somewhat lower. The result of a proceeding can be rendered
unreliable, and hence the proceeding itself unfair, even if the errors of
counsel cannot be shown by a preponderance of the evidence to have
determined the outcome. |
| [74] | Accordingly, the appropriate test for prejudice finds its roots in the
test for materiality of exculpatory information not disclosed to the
defense by the prosecution, United States v. Agurs, 427 U.S., at
104, 112-113, and in the test for materiality of testimony made
unavailable to the defense by Government deportation of a witness, United
States v. Valenzuela-Bernal, supra, at 872-874. The defendant must show
that there is a reasonable probability that, but for counsel's
unprofessional errors, the result of the proceeding would have been
different. A reasonable probability is a probability sufficient to
undermine confidence in the outcome. |
| [75] | In making the determination whether the specified errors resulted in
the required prejudice, a court should presume, absent challenge to the
judgment on grounds of evidentiary insufficiency, that the judge or jury
acted according to law. An
assessment of the likelihood of a result more favorable to the defendant
must exclude the possibility of arbitrariness, whimsy, caprice,
"nullification," and the like. A defendant has no entitlement to the luck
of a lawless decisionmaker, even if a lawless decision cannot be reviewed.
The assessment of prejudice should proceed on the assumption that the
decisionmaker is reasonably, conscientiously, and impartially applying the
standards that govern the decision. It should not depend on the
idiosyncracies of the particular decisionmaker, such as unusual
propensities toward harshness or leniency. Although these factors may
actually have entered into counsel's selection of strategies and, to that
limited extent, may thus affect the performance inquiry, they are
irrelevant to the prejudice inquiry. Thus, evidence about the actual
process of decision, if not part of the record of the proceeding under
review, and evidence about, for example, a particular judge's sentencing
practices, should not be considered in the prejudice
determination. |
| [76] | The governing legal standard plays a critical role in defining the
question to be asked in assessing the prejudice from counsel's errors.
When a defendant challenges a conviction, the question is whether there is
a reasonable probability that, absent the errors, the factfinder would
have had a reasonable doubt respecting guilt. When a defendant challenges
a death sentence such as the one at issue in this case, the question is
whether there is a reasonable probability that, absent the errors, the
sentencer -- including an appellate court, to the extent it independently
reweighs the evidence -- would have concluded that the balance of
aggravating and mitigating circumstances did not warrant
death. |
| [77] | In making this determination, a court hearing an ineffectiveness claim
must consider the totality of the evidence before the judge or jury. Some
of the factual findings will have been unaffected by the errors, and
factual findings that were affected will have been affected in different
ways. Some errors will have had a pervasive effect on the inferences to be
drawn from the evidence, altering the entire evidentiary picture, and some
will have had an isolated, trivial effect. Moreover, a verdict or
conclusion only weakly supported by the record is more likely to have been
affected by errors than one with overwhelming record support. Taking the
unaffected findings as a given, and taking due account of the effect of
the errors on the remaining findings, a court making the prejudice inquiry
must ask if the defendant has met the burden of showing that the decision
reached would reasonably likely have been different absent the
errors. |
| [78] | IV |
| [79] | A number of practical considerations are important for the application
of the standards we have outlined. Most important, in adjudicating a claim
of actual ineffectiveness of counsel, a court should keep in mind that the
principles we have stated do not establish mechanical rules. Although
those principles should guide the process of decision, the ultimate focus
of inquiry must be on the fundamental fairness of the proceeding whose
result is being challenged. In every case the court should be concerned
with whether, despite the strong presumption of reliability, the result of
the particular proceeding is unreliable because of a breakdown in the
adversarial process that our system counts on to produce just
results. |
| [80] | To the extent that this has already been the guiding inquiry in the
lower courts, the standards articulated today do not require
reconsideration of ineffectiveness claims rejected under different
standards. Cf. Trapnell v. United States, 725 F.2d, at 153 (in several years of applying "farce and mockery" standard
along with "reasonable competence" standard, court "never found that the
result of a case hinged on the choice of a particular standard"). In
particular, the minor differences in the lower courts' precise
formulations of the performance standard are insignificant: the different formulations
are mere variations of the overarching reasonableness standard. With
regard to the prejudice inquiry, only the strict outcome-determinative
test, among the standards articulated in the lower courts, imposes a
heavier burden on defendants than the tests laid down today. The
difference, however, should alter the merit of an ineffectiveness claim
only in the rarest case. |
| [81] | Although we have discussed the performance component of an
ineffectiveness claim prior to the prejudice component, there is no reason
for a court deciding an ineffective assistance claim to approach the
inquiry in the same order or even to address both components of the
inquiry if the defendant makes an insufficient showing on one. In
particular, a court need not determine whether counsel's performance was
deficient before examining the prejudice suffered by the defendant as a
result of the alleged deficiencies. The object of an ineffectiveness claim
is not to grade counsel's performance. 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. Courts should
strive to ensure that ineffectiveness claims not become so burdensome to
defense counsel that the entire criminal justice system suffers as a
result. |
| [82] | The principles governing ineffectiveness claims should apply in
federal collateral proceedings as they do on direct appeal or in motions
for a new trial. As indicated by the "cause and prejudice" test for
overcoming procedural waivers of claims of error, the presumption that a
criminal judgment is final is at its strongest in collateral attacks on
that judgment. See United States v. Frady, 456 U.S. 152, 162-169 (1982); Engle v. Isaac, 456 U.S. 107, 126-129 (1982). An ineffectiveness claim, however, as our
articulation of the standards that govern decision of such claims makes
clear, is an attack on the fundamental fairness of the proceeding whose
result is challenged. Since fundamental fairness is the central concern of
the writ of habeas corpus, see id., at
126, no special standards ought to apply to ineffectiveness claims made in
habeas proceedings. |
| [83] | Finally, in a federal habeas challenge to a state criminal judgment, a
state court conclusion that counsel rendered effective assistance is not a
finding of fact binding on the federal court to the extent stated by 28 U.
S. C. § 2254(d). Ineffectiveness is not a question of "basic, primary, or
historical [fact]," Townsend v. Sain, 372 U.S. 293,
309, n. 6 (1963). Rather, like the question whether multiple
representation in a particular case gave rise to a conflict of interest,
it is a mixed question of law and fact. See Cuyler v. Sullivan,
446 U.S., at 342. Although state court findings of
fact made in the course of deciding an ineffectiveness claim are subject
to the deference requirement of § 2254(d), and although district court
findings are subject to the clearly erroneous standard of Federal Rule of
Civil Procedure 52(a), both the performance and prejudice components of
the ineffectiveness inquiry are mixed questions of law and
fact. |
| [84] | V |
| [85] | Having articulated general standards for judging ineffectiveness
claims, we think it useful to apply those standards to the facts of this
case in order to illustrate the meaning of the general principles. The
record makes it possible to do so. There are no conflicts between the
state and federal courts over findings of fact, and the principles we have
articulated are sufficiently close to the principles applied both in the
Florida courts and in the District Court that it is clear that the
factfinding was not affected by erroneous legal principles. See
Pullman-Standard v. Swint, 456 U.S. 273, 291-292
(1982). |
| [86] | Application of the governing principles is not difficult in this case.
The facts as described above, see supra, at 671-678, make clear that the
conduct of respondent's counsel at and before respondent's sentencing
proceeding cannot be found unreasonable. They also make clear that, even
assuming the challenged
conduct of counsel was unreasonable, respondent suffered insufficient
prejudice to warrant setting aside his death sentence. |
| [87] | With respect to the performance component, the record shows that
respondent's counsel made a strategic choice to argue for the extreme
emotional distress mitigating circumstance and to rely as fully as
possible on respondent's acceptance of responsibility for his crimes.
Although counsel understandably felt hopeless about respondent's
prospects, see App. 383-384, 400-401, nothing in the record indicates, as
one possible reading of the District Court's opinion suggests, see App. to
Pet. for Cert. A282, that counsel's sense of hopelessness distorted his
professional judgment. Counsel's strategy choice was well within the range
of professionally reasonable judgments, and the decision not to seek more
character or psychological evidence than was already in hand was likewise
reasonable. |
| [88] | The trial judge's views on the importance of owning up to one's crimes
were well known to counsel. The aggravating circumstances were utterly
overwhelming. Trial counsel could reasonably surmise from his
conversations with respondent that character and psychological evidence
would be of little help. Respondent had already been able to mention at
the plea colloquy the substance of what there was to know about his
financial and emotional troubles. Restricting testimony on respondent's
character to what had come in at the plea colloquy ensured that contrary
character and psychological evidence and respondent's criminal history,
which counsel had successfully moved to exclude, would not come in. On
these facts, there can be little question, even without application of the
presumption of adequate performance, that trial counsel's defense, though
unsuccessful, was the result of reasonable professional
judgment. |
| [89] | With respect to the prejudice component, the lack of merit of
respondent's claim is even more stark. The evidence that respondent says
his trial counsel should have offered at the sentencing
hearing would barely have altered the sentencing profile presented to the
sentencing judge. As the state courts and District Court found, at most
this evidence shows that numerous people who knew respondent thought he
was generally a good person and that a psychiatrist and a psychologist
believed he was under considerable emotional stress that did not rise to
the level of extreme disturbance. Given the overwhelming aggravating
factors, there is no reasonable probability that the omitted evidence
would have changed the conclusion that the aggravating circumstances
outweighed the mitigating circumstances and, hence, the sentence imposed.
Indeed, admission of the evidence respondent now offers might even have
been harmful to his case: his "rap sheet" would probably have been
admitted into evidence, and the psychological reports would have directly
contradicted respondent's claim that the mitigating circumstance of
extreme emotional disturbance applied to his case. |
| [90] | Our conclusions on both the prejudice and performance components of
the ineffectiveness inquiry do not depend on the trial judge's testimony
at the District Court hearing. We therefore need not consider the general
admissibility of that testimony, although, as noted supra, at 695, that
testimony is irrelevant to the prejudice inquiry. Moreover, the prejudice
question is resolvable, and hence the ineffectiveness claim can be
rejected, without regard to the evidence presented at the District Court
hearing. The state courts properly concluded that the ineffectiveness
claim was meritless without holding an evidentiary hearing. |
| [91] | Failure to make the required showing of either deficient performance
or sufficient prejudice defeats the ineffectiveness claim. Here there is a
double failure. More generally, respondent has made no showing that the
justice of his sentence was rendered unreliable by a breakdown in the
adversary process caused by deficiencies in counsel's assistance.
Respondent's sentencing proceeding was not fundamentally unfair. We
conclude, therefore, that the District Court properly declined to issue a
writ of habeas corpus. The judgment of the Court of Appeals is
accordingly |
| [92] | Reversed. |
| [93] | Disposition |
| [94] | 693 F.2d 1243, reversed. |
| [95] | JUSTICE BRENNAN, concurring in part and dissenting in
part. |
| [96] | I join the Court's opinion but dissent from its judgment. Adhering to
my view that the death penalty is in all circumstances cruel and unusual
punishment forbidden by the Eighth and Fourteenth Amendments, see Gregg v.
Georgia, 428 U.S. 153, 227 (1976) (BRENNAN, J.,
dissenting), I would vacate respondent's death sentence and remand the
case for further proceedings.*fn1
I |
| [97] | This case and United States v. Cronic, ante, p. 648, present our first
occasions to elaborate the appropriate standards for judging claims of
ineffective assistance of counsel. In Cronic, the Court considers such
claims in the context of cases "in which the surrounding circumstances
[make] it so unlikely that any lawyer could provide effective assistance
that ineffectiveness [is] properly presumed without inquiry into actual
performance at trial," ante, at 661. This case, in contrast, concerns
claims of ineffective assistance based on allegations of specific errors
by counsel -- claims which, by their very nature, require courts to
evaluate both the attorney's performance and the effect of that
performance on the reliability and fairness of the proceeding.
Accordingly, a defendant making a claim of this kind must show not only
that his lawyer's performance was inadequate but also that he was
prejudiced thereby. See also Cronic, ante, at 659, n. 26. |
| [98] | I join the Court's opinion because I believe that the standards it
sets out today will both provide helpful guidance to courts considering
claims of actual ineffectiveness of counsel and also permit those courts
to continue their efforts to achieve progressive development of this area
of the law. Like all federal courts and most state courts that have
previously addressed the matter, see ante, at 683-684, the Court concludes
that "the proper standard for attorney performance is that of reasonably
effective assistance." Ante, at 687. And, rejecting
the strict "outcome-determinative" test employed by some courts, the Court
adopts as the appropriate standard for prejudice a requirement that the
defendant "show that there is a reasonable probability that, but for
counsel's unprofessional errors, the result of the proceeding would have
been different," defining a "reasonable probability" as "a probability
sufficient to undermine confidence in the outcome." Ante, at 694. I
believe these standards are sufficiently precise to permit meaningful
distinctions between those attorney derelictions that deprive defendants
of their constitutional rights and those that do not; at the same time,
the standards are sufficiently flexible to accommodate the wide variety of
situations giving rise to claims of this kind. |
| [99] | With respect to the performance standard, I agree with the Court's
conclusion that a "particular set of detailed rules for counsel's conduct"
would be inappropriate. Ante, at 688. Precisely because the standard of
"reasonably effective assistance" adopted today requires that counsel's
performance be measured in light of the particular circumstances of the
case, I do not believe our decision "will stunt the development of
constitutional doctrine in this area," post, at 709 (MARSHALL, J.,
dissenting). Indeed, the Court's suggestion that today's decision is
largely consistent with the approach taken by the lower courts, ante, at
696, simply indicates that those courts may continue to develop governing
principles on a case-by-case basis in the common-law tradition, as they
have in the past. Similarly, the prejudice standard announced today does
not erect an insurmountable obstacle to meritorious claims, but rather
simply requires courts carefully to examine trial records in light of both
the nature and seriousness of counsel's errors and their effect in the
particular circumstances of the case. Ante, at 695.*fn2
II |
| [100] | Because of their flexibility and the requirement that they be
considered in light of the particular circumstances of the case, the
standards announced today can and should be applied with concern for the
special considerations that must attend review of counsel's performance in
a capital sentencing proceeding. In contrast to a case in which a finding
of ineffective assistance requires a new trial, a conclusion that counsel
was ineffective with respect to only the penalty phase of a capital trial
imposes on the State the far lesser burden of reconsideration of the
sentence alone. On the other hand, the consequences to the defendant of
incompetent assistance at a capital sentencing could not, of course, be
greater. Recognizing the unique seriousness of such a proceeding, we have
repeatedly emphasized that "'where discretion is afforded a sentencing
body on a matter so grave as the determination of whether a human life
should be taken or spared, that discretion must be suitably directed and
limited so as to minimize the risk of wholly arbitrary and capricious
action.'" Zant v. Stephens, 462 U.S. 862, 874 (1983)
(quoting Gregg v. Georgia, 428 U.S., at 188-189
(opinion of Stewart, POWELL, and STEVENS, JJ.)). |
| [101] | For that reason, we have consistently required that capital
proceedings be policed at all stages by an especially vigilant concern for
procedural fairness and for the accuracy of factfinding. As JUSTICE
MARSHALL emphasized last Term: |
| [102] | "This Court has always insisted that the need for procedural
safeguards is particularly great where life is at stake. Long before the
Court established the right to counsel in all felony cases, Gideon v.
Wainwright, 372 U.S. 335 (1963), it recognized that
right in capital cases, Powell v. Alabama, 287 U.S. 45, 71-72 (1932). Time and
again the Court has condemned procedures in capital cases that might be
completely acceptable in an ordinary case. See, e. g., Bullington v.
Missouri, 451 U.S. 430 (1981); Beck v. Alabama, 447 U.S. 625 (1980); Green v. Georgia, 442
U.S. 95 (1979) (per curiam); Lockett v. Ohio, 438
U.S. 586 (1978); Gardner v. Florida, 430 U.S. 349 (1977); Woodson v. North Carolina, 428 U.S. 280 (1976). . . . |
| [103] | " Because of [the] basic difference between the death penalty and all
other punishments, this Court has consistently recognized that there is 'a
corresponding difference in the need for reliability in the determination
that death is the appropriate punishment in a specific case.' Ibid."
Barefoot v. Estelle, 463 U.S. 880, 913-914 (1983)
(dissenting opinion). |
| [104] | See also id., at 924 (BLACKMUN, J., dissenting). In short, this Court
has taken special care to minimize the possibility that death sentences
are "imposed out of whim, passion, prejudice, or mistake." Eddings v.
Oklahoma, 455 U.S. 104, 118 (1982) (O'CONNOR, J.,
concurring). |
| [105] | In the sentencing phase of a capital case, "[what] is essential is
that the jury have before it all possible relevant information about the
individual defendant whose fate it must determine." Jurek v. Texas, 428 U.S. 262, 276 (1976) (opinion of Stewart, POWELL,
and STEVENS, JJ.). For that reason, we have repeatedly insisted that "the
sentencer in capital cases must be permitted to consider any relevant
mitigating factor." Eddings v. Oklahoma, 455 U.S., at 112. In fact, as JUSTICE O'CONNOR has noted, a sentencing
judge's failure to consider relevant aspects of a defendant's character
and background creates such an unacceptable risk that the death penalty
was unconstitutionally imposed that, even in cases where the matter was
not raised below, the "interests of justice" may impose on reviewing
courts "a duty to remand [the] case for resentencing." Id., at 117, n.,
and 119 (O'CONNOR, J., concurring). Of
course, "[the] right to present, and to have the sentencer consider, any
and all mitigating evidence means little if defense counsel fails to look
for mitigating evidence or fails to present a case in mitigation at the
capital sentencing hearing." Comment, 83 Colum. L. Rev. 1544, 1549 (1983).
See, e. g., Burger v. Zant, 718 F.2d 979 (CA11 1983)
(defendant, 17 years old at time of crime, sentenced to death after
counsel failed to present any evidence in mitigation), stay granted, post,
at 902. Accordingly, counsel's general duty to investigate, ante, at 690,
takes on supreme importance to a defendant in the context of developing
mitigating evidence to present to a judge or jury considering the sentence
of death; claims of ineffective assistance in the performance of that duty
should therefore be considered with commensurate care. |
| [106] | That the Court rejects the ineffective-assistance claim in this case
should not, of course, be understood to reflect any diminution in
commitment to the principle that "'the fundamental respect for humanity
underlying the Eighth Amendment . . . requires consideration of the
character and record of the individual offender and the circumstances of
the particular offense as a constitutionally indispensable part of the
process of inflicting the penalty of death.'" Eddings v. Oklahoma, supra,
at 112 (quoting Woodson v. North Carolina, 428 U.S. 280, 304 (1976) (opinion of Stewart, POWELL, and STEVENS,
JJ.)). I am satisfied that the standards announced today will go far
towards assisting lower federal courts and state courts in discharging
their constitutional duty to ensure that every criminal defendant receives
the effective assistance of counsel guaranteed by the Sixth
Amendment. |
| [107] | JUSTICE MARSHALL, dissenting. |
| [108] | The Sixth and Fourteenth Amendments guarantee a person accused of a
crime the right to the aid of a lawyer in preparing and presenting his
defense. It has long been settled that "the right to counsel is the right
to the effective assistance of
counsel." McMann v. Richardson, 397 U.S. 759, 771, n.
14 (1970). The state and lower federal courts have developed standards for
distinguishing effective from inadequate assistance.*fn1a
Today, for the first time, this Court attempts to synthesize and clarify
those standards. For the most part, the majority's efforts are unhelpful.
Neither of its two principal holdings seems to me likely to improve the
adjudication of Sixth Amendment claims. And, in its zeal to survey
comprehensively this field of doctrine, the majority makes many other
generalizations and suggestions that I find unacceptable. Most
importantly, the majority fails to take adequate account of the fact that
the locus of this case is a capital sentencing proceeding. Accordingly, I
join neither the Court's opinion nor its judgment. |
| [109] | I |
| [110] | The opinion of the Court revolves around two holdings. First, the
majority ties the constitutional minima of attorney performance to a
simple "standard of reasonableness." Ante, at 688. Second, the majority
holds that only an error of counsel that has sufficient impact on a trial
to "undermine confidence in the outcome" is grounds for overturning a
conviction. Ante, at 694. I disagree with both of these
rulings. |
| [111] | A |
| [112] | My objection to the performance standard adopted by the Court is that
it is so malleable that, in practice, it will either have no grip at all
or will yield excessive variation in the manner in which the Sixth
Amendment is interpreted and applied by different courts. To tell lawyers
and the lower courts that counsel for a criminal defendant must behave "reasonably"
and must act like "a reasonably competent attorney," ante, at 687, is to
tell them almost nothing. In essence, the majority has instructed judges
called upon to assess claims of ineffective assistance of counsel to
advert to their own intuitions regarding what constitutes "professional"
representation, and has discouraged them from trying to develop more
detailed standards governing the performance of defense counsel. In my
view, the Court has thereby not only abdicated its own responsibility to
interpret the Constitution, but also impaired the ability of the lower
courts to exercise theirs. |
| [113] | The debilitating ambiguity of an "objective standard of reasonableness
" in this context is illustrated by the majority's failure to address
important issues concerning the quality of representation mandated by the
Constitution. It is an unfortunate but undeniable fact that a person of
means, by selecting a lawyer and paying him enough to ensure he prepares
thoroughly, usually can obtain better representation than that available
to an indigent defendant, who must rely on appointed counsel, who, in
turn, has limited time and resources to devote to a given case. Is a
"reasonably competent attorney" a reasonably competent adequately paid
retained lawyer or a reasonably competent appointed attorney? It is also a
fact that the quality of representation available to ordinary defendants
in different parts of the country varies significantly. Should the
standard of performance mandated by the Sixth Amendment vary by locale?*fn2a
The majority offers no clues as to the proper responses to these
questions. |
| [114] | The majority defends its refusal to adopt more specific standards
primarily on the ground that "[no] particular set of detailed rules for
counsel's conduct can satisfactorily take account of
the variety of circumstances faced by defense counsel or the range of
legitimate decisions regarding how best to represent a criminal defendant.
" Ante, at 688-689. I agree that counsel must be afforded "wide latitude"
when making "tactical decisions" regarding trial strategy, see ante, at
689; cf. infra, at 712, 713, but many aspects of the job of a criminal
defense attorney are more amenable to judicial oversight. For example,
much of the work involved in preparing for a trial, applying for bail,
conferring with one's client, making timely objections to significant,
arguably erroneous rulings of the trial judge, and filing a notice of
appeal if there are colorable grounds therefor could profitably be made
the subject of uniform standards. |
| [115] | The opinion of the Court of Appeals in this case represents one sound
attempt to develop particularized standards designed to ensure that all
defendants receive effective legal assistance. See 693 F.2d
1243, 1251-1258 (CA5 1982) (en banc). For other, generally
consistent efforts, see United States v. Decoster, 159 U. S. App. D.C.
326, 333-334, 487 F.2d 1197, 1203-1204 (1973),
disapproved on rehearing, 199 U. S. App. D.C. 359, 624 F.2d 196 (en banc), cert. denied, 444 U.S. 944
(1979); Coles v. Peyton, 389 F.2d 224, 226 (CA4),
cert. denied, 393 U.S. 849 (1968); People v. Pope, 23
Cal. 3d 412, 424-425, 590 P. 2d 859, 866 (1979); State v. Harper, 57 Wis.
2d 543, 550-557, 205 N. W. 2d 1, 6-9 (1973).*fn3
By refusing to address the merits of these proposals, and indeed
suggesting that no such effort is worthwhile, the opinion of the Court, I
fear, will stunt the development of constitutional doctrine in this area. B |
| [116] | I object to the prejudice standard adopted by the Court for two
independent reasons. First, it is often very difficult to tell whether a
defendant convicted after a trial in which he was ineffectively
represented would have fared better if his lawyer had been competent.
Seemingly impregnable cases can sometimes be dismantled by good defense
counsel. On the basis of a cold record, it may be impossible for a
reviewing court confidently to ascertain how the government's evidence and
arguments would have stood up against rebuttal and cross-examination by a
shrewd, well-prepared lawyer. The difficulties of estimating prejudice
after the fact are exacerbated by the possibility that evidence of injury
to the defendant may be missing from the record precisely because of the
incompetence of defense counsel.*fn4
In view of all these impediments to a fair evaluation of the probability
that the outcome of a trial was affected by ineffectiveness of counsel, it
seems to me senseless to impose on a defendant whose lawyer has been shown
to have been incompetent the burden of demonstrating prejudice. Second
and more fundamentally, the assumption on which the Court's holding rests
is that the only purpose of the constitutional guarantee of effective
assistance of counsel is to reduce the chance that innocent persons will
be convicted. In my view, the guarantee also functions to ensure that
convictions are obtained only through fundamentally fair procedures.*fn5
The majority contends that the Sixth Amendment is not violated when a
manifestly guilty defendant is convicted after a trial in which he was
represented by a manifestly ineffective attorney. I cannot agree. Every
defendant is entitled to a trial in which his interests are vigorously and
conscientiously advocated by an able lawyer. A proceeding in which the
defendant does not receive meaningful assistance in meeting the forces of
the State does not, in my opinion, constitute due process. |
| [117] | In Chapman v. California, 386 U.S. 18, 23 (1967),
we acknowledged that certain constitutional rights are "so basic to a fair
trial that their infraction can never be treated as harmless error." Among
these rights is the right to the assistance of counsel at trial. Id., at
23, n. 8; see Gideon v. Wainwright, 372 U.S. 335
(1963).*fn6
In my view, the right to
effective assistance of counsel is entailed by the right to counsel, and
abridgment of the former is equivalent to abridgment of the latter.*fn7
I would thus hold that a showing that the performance of a defendant's
lawyer departed from constitutionally prescribed standards requires a new
trial regardless of whether the defendant suffered demonstrable prejudice
thereby. |
| [118] | II |
| [119] | Even if I were inclined to join the majority's two central holdings, I
could not abide the manner in which the majority elaborates upon its
rulings. Particularly regrettable are the majority's discussion of the
"presumption" of reasonableness to be accorded lawyers' decisions and its
attempt to prejudge the merits of claims previously rejected by lower
courts using different legal standards. |
| [120] | A |
| [121] | In defining the standard of attorney performance required by the
Constitution, the majority appropriately notes that many problems
confronting criminal defense attorneys admit of "a range of legitimate"
responses. Ante, at 689. And the majority properly cautions courts, when
reviewing a lawyer's selection amongst a set of options, to avoid the
hubris of hindsight. Ibid . The majority goes on, however, to suggest that
reviewing courts should "indulge a strong presumption that counsel's
conduct" was constitutionally acceptable, ibid.; see ante, at 690, 696,
and should "[apply] a heavy measure of deference to counsel's judgments,"
ante, at 691. |
| [122] | I am not sure what these phrases mean, and I doubt that they will be
self-explanatory to lower courts. If they denote nothing more than that a
defendant claiming he was denied effective assistance of counsel has the
burden of proof, I would
agree. See United States v. Cronic, ante, at 658. But the adjectives
"strong" and "heavy" might be read as imposing upon defendants an
unusually weighty burden of persuasion. If that is the majority's intent,
I must respectfully dissent. The range of acceptable behavior defined by
"prevailing professional norms," ante, at 688, seems to me sufficiently
broad to allow defense counsel the flexibility they need in responding to
novel problems of trial strategy. To afford attorneys more latitude, by
"strongly presuming" that their behavior will fall within the zone of
reasonableness, is covertly to legitimate convictions and sentences
obtained on the basis of incompetent conduct by defense
counsel. |
| [123] | The only justification the majority itself provides for its proposed
presumption is that undue receptivity to claims of ineffective assistance
of counsel would encourage too many defendants to raise such claims and
thereby would clog the courts with frivolous suits and "dampen the ardor"
of defense counsel. See ante, at 690. I have more confidence than the
majority in the ability of state and federal courts expeditiously to
dispose of meritless arguments and to ensure that responsible, innovative
lawyering is not inhibited. In my view, little will be gained and much may
be lost by instructing the lower courts to proceed on the assumption that
a defendant's challenge to his lawyer's performance will be
insubstantial. |
| [124] | B |
| [125] | For many years the lower courts have been debating the meaning of
"effective" assistance of counsel. Different courts have developed
different standards. On the issue of the level of performance required by
the Constitution, some courts have adopted the forgiving
"farce-and-mockery" standard,*fn8
while others have adopted various versions of the
"reasonable competence" standard.*fn9
On the issue of the level of prejudice necessary to compel a new trial,
the courts have taken a wide variety of positions, ranging from the
stringent "outcome-determinative" test,*fn10
to the rule that a showing of incompetence on the part of defense counsel
automatically requires reversal of the conviction regardless of the injury
to the defendant.*fn11 |
| [126] | The Court today substantially resolves these disputes. The majority
holds that the Constitution is violated when defense counsel's
representation falls below the level expected of reasonably competent
defense counsel, ante, at 687-691, and so affects the trial that there is
a "reasonable probability" that, absent counsel's error, the outcome would
have been different, ante, at 691-696. |
| [127] | Curiously, though, the Court discounts the significance of its
rulings, suggesting that its choice of standards matters little and that
few if any cases would have been decided differently if the lower courts
had always applied the tests announced today. See ante, at 696-697. Surely
the judges in the state and lower federal courts will be surprised to
learn that the distinctions they have so fiercely debated for many years
are in fact unimportant. |
| [128] | The majority's comments on this point seem to be prompted principally
by a reluctance to acknowledge that today's decision will require a
reassessment of many previously rejected ineffective-assistance-of-counsel
claims. The majority's unhappiness on this score is understandable, but
its efforts to mitigate the perceived problem will be ineffectual. Nothing
the majority says can relieve lower courts that hitherto have
been using standards more tolerant of ineffectual advocacy of their
obligation to scrutinize all claims, old as well as new, under the
principles laid down today. |
| [129] | III |
| [130] | The majority suggests that, "[for] purposes of describing counsel's
duties," a capital sentencing proceeding "need not be distinguished from
an ordinary trial." Ante, at 687. I cannot agree. |
| [131] | The Court has repeatedly acknowledged that the Constitution requires
stricter adherence to procedural safeguards in a capital case than in
other cases. |
| [132] | "[The] penalty of death is qualitatively different from a sentence of
imprisonment, however long. Death, in its finality, differs more from life
imprisonment than a 100-year prison term differs from one of only a year
or two. Because of that qualitative difference, there is a corresponding
difference in the need for reliability in the determination that death is
the appropriate punishment in a specific case." Woodson v. North Carolina,
428 U.S. 280, 305 (1976) (plurality opinion)
(footnote omitted).*fn12 |
| [133] | The performance of defense counsel is a crucial component of the
system of protections designed to ensure that capital punishment is
administered with some degree of rationality. "Reliability" in the
imposition of the death sentence can be approximated only if the sentencer
is fully informed of "all possible relevant information about the
individual defendant whose fate it must determine." Jurek v. Texas, 428 U.S. 262, 276 (1976) (opinion of Stewart, POWELL,
and STEVENS, JJ.). The job of amassing that information and presenting it in
an organized and persuasive manner to the sentencer is entrusted
principally to the defendant's lawyer. The importance to the process of
counsel's efforts,*fn13
combined with the severity and irrevocability of the sanction at stake,
require that the standards for determining what constitutes "effective
assistance" be applied especially stringently in capital sentencing
proceedings.*fn14 |
| [134] | It matters little whether strict scrutiny of a claim that
ineffectiveness of counsel resulted in a death sentence is achieved
through modification of the Sixth Amendment standards or through
especially careful application of those standards. JUSTICE BRENNAN
suggests that the necessary adjustment of the level of performance
required of counsel in capital sentencing proceedings can be effected
simply by construing the phrase, "reasonableness under prevailing
professional norms," in a manner that takes into account the nature of the
impending penalty. Ante, at 704-706. Though I would prefer a more specific
iteration of counsel's duties in this special context,*fn15
I can accept that proposal. However, when instructing lower courts
regarding the probability of impact upon the outcome that requires a
resentencing, I think the Court would do best explicitly to modify the
legal standard itself.*fn16
In my view, a person on death row, whose counsel's performance fell below
constitutionally acceptable levels, should not be compelled to demonstrate
a "reasonable probability" that
he would have been given a life sentence if his lawyer had been competent,
see ante, at 694; if the defendant can establish a significant chance that
the outcome would have been different, he surely should be entitled to a
redetermination of his fate. Cf. United States v. Agurs, 427
U.S. 97, 121-122 (1976) (MARSHALL, J., dissenting).*fn17 |
| [135] | IV |
| [136] | The views expressed in the preceding section oblige me to dissent from
the majority's disposition of the case before us.*fn18
It is undisputed that respondent's trial counsel made virtually no
investigation of the possibility of obtaining testimony from respondent's
relatives, friends, or former employers pertaining to respondent's
character or background. Had counsel done so, he would have found several
persons willing and able to testify that, in their experience, respondent
was a responsible, nonviolent man, devoted to his family, and active in
the affairs of his church. See App. 338-365. Respondent contends that his
lawyer could have and should have used that testimony to "humanize"
respondent, to counteract the impression conveyed by the trial that he was
little more than a cold-blooded killer. Had this evidence been admitted,
respondent argues, his chances of obtaining a life sentence would have
been significantly better. Measured
against the standards outlined above, respondent's contentions are
substantial. Experienced members of the death-penalty bar have long
recognized the crucial importance of adducing evidence at a sentencing
proceeding that establishes the defendant's social and familial
connections. See Goodpaster, The Trial for Life: Effective Assistance of
Counsel in Death Penalty Cases, 58 N. Y. U. L. Rev. 299, 300-303, 334-335
(1983). The State makes a colorable -- though in my view not compelling --
argument that defense counsel in this case might have made a reasonable
"strategic" decision not to present such evidence at the sentencing
hearing on the assumption that an unadorned acknowledgment of respondent's
responsibility for his crimes would be more likely to appeal to the trial
judge, who was reputed to respect persons who accepted responsibility for
their actions.*fn19
But however justifiable such a choice might have been after counsel had
fairly assessed the potential strength of the mitigating evidence
available to him, counsel's failure to make any significant effort to find
out what evidence might be garnered from respondent's relatives and
acquaintances surely cannot be described as "reasonable." Counsel's
failure to investigate is particularly suspicious in light of his candid
admission that respondent's confessions and conduct in the course of the
trial gave him a feeling of "hopelessness" regarding the possibility of
saving respondent's life, see App. 383-384, 400-401. That
the aggravating circumstances implicated by respondent's criminal conduct
were substantial, see ante, at 700, does not vitiate respondent's
constitutional claim; judges and juries in cases involving behavior at
least as egregious have shown mercy, particularly when afforded an
opportunity to see other facets of the defendant's personality and life.*fn20
Nor is respondent's contention defeated by the possibility that the
material his counsel turned up might not have been sufficient to establish
a statutory mitigating circumstance under Florida law; Florida sentencing
judges and the Florida Supreme Court sometimes refuse to impose death
sentences in cases "in which, even though statutory mitigating
circumstances do not outweigh statutory aggravating circumstances, the
addition of non-statutory mitigating circumstances tips the scales in
favor of life imprisonment." Barclay v. Florida, 463 U.S. 939, 964 (1983) (STEVENS, J., concurring in judgment) (emphasis
in original). |
| [137] | If counsel had investigated the availability of mitigating evidence,
he might well have decided to present some such material at the hearing.
If he had done so, there is a significant chance that respondent would
have been given a life sentence. In my view, those possibilities,
conjoined with the unreasonableness of counsel's failure to investigate,
are more than sufficient to establish a violation of the Sixth Amendment
and to entitle respondent to a new sentencing proceeding. |
| [138] | I respectfully dissent. |
| [139] | Counsel FOOTNOTES |
| [140] | * Briefs of amici curiae urging reversal were filed for the United
States by Solicitor General Lee, Assistant Attorney General Trott, Deputy
Solicitor General Frey, and Edwin S. Kneedler; for the State of Alabama et
al. by Mike Greely, Attorney General of Montana, and John H. Maynard,
Assistant Attorney General, Charles A. Graddick, Attorney General of
Alabama, Robert K. Corbin, Attorney General of Arizona, John Steven Clark,
Attorney General of Arkansas, John Van de Kamp, Attorney General of
California, Duane Woodard, Attorney General of Colorado, Austin J.
McGuigan, Chief State's Attorney of Connecticut, Michael J. Bowers,
Attorney General of Georgia, Tany S. Hong, Attorney General of Hawaii, Jim
Jones, Attorney General of Idaho, Linley E. Pearson, Attorney General of
Indiana, Robert T. Stephan, Attorney General of Kansas, Steven L. Beshear,
Attorney General of Kentucky, William J. Guste, Jr., Attorney General of
Louisiana, James E. Tierney, Attorney General of Maine, Stephen H. Sachs,
Attorney General of Maryland, Francis X. Bellotti, Attorney General of
Massachusetts, Frank J. Kelley, Attorney General of Michigan, Hubert H.
Humphrey III, Attorney General of Minnesota, William A. Allain, Attorney
General of Mississippi, John D. Ashcroft, Attorney General of Missouri,
Paul L. Douglas, Attorney General of Nebraska, Brian McKay, Attorney
General of Nevada, Irwin I. Kimmelman, Attorney General of New Jersey,
Paul Bardacke, Attorney General of New Mexico, Rufus L. Edmisten, Attorney
General of North Carolina, Robert Wefald, Attorney General of North
Dakota, Anthony Celebrezze, Jr., Attorney General of Ohio, Michael Turpen,
Attorney General of Oklahoma, Dave Frohnmayer, Attorney General of Oregon,
LeRoy S. Zimmerman, Attorney General of Pennsylvania, Dennis J. Roberts
II, Attorney General of Rhode Island, T. Travis Medlock, Attorney General
of South Carolina, Mark V. Meierhenry, Attorney General of South Dakota,
William M. Leech, Jr., Attorney General of Tennessee, David L. Wilkinson,
Attorney General of Utah, John J. Easton, Attorney General of Vermont,
Gerald L. Baliles, Attorney General of Virginia, Kenneth O. Eikenberry,
Attorney General of Washington, Chauncey H. Browning, Attorney General of
West Virginia, and Archie G. McClintock, Attorney General of Wyoming; and
for the Washington Legal Foundation by Daniel J. Popeo, Paul D. Kamenar,
and Nicholas E. Calio. |
| [141] | Richard J. Wilson, Charles S. Sims, and Burt Neuborne filed a brief
for the National Legal Aid and Defender Association et al. as amici curiae
urging affirmance. |
|
| |
| Dissent Footnotes | |
|
| |
| [142] | *fn1 The Court's judgment leaves standing another in an increasing number of capital sentences purportedly imposed in compliance with the procedural standards developed in cases beginning with Gregg v. Georgia, 428 U.S. 153 (1976). Earlier this Term, I reiterated my view that these procedural requirements have proven unequal to the task of eliminating the irrationality that necessarily attends decisions by juries, trial judges, and appellate courts whether to take or spare human life. Pulley v. Harris, 465 U.S. 37, 59 (1984) (BRENNAN, J., dissenting). The inherent difficulty in imposing the ultimate sanction consistent with the rule of law, see Furman v. Georgia, 408 U.S. 238, 274-277 (1972) (BRENNAN, J., concurring); McGautha v. California, 402 U.S. 183, 248-312 (1971) (BRENNAN, J., dissenting), is confirmed by the extraordinary pressure put on our own deliberations in recent months by the growing number of applications to stay executions. See Wainwright v. Adams, post, at 965 (MARSHALL, J., dissenting) (stating that "haste and confusion surrounding . . . decision [to vacate stay] is degrading to our role as judges"); Autry v. McKaskle, 465 U.S. 1085 (1984) (MARSHALL, J., dissenting) (criticizing Court for "dramatically expediting its normal deliberative processes to clear the way for an impending execution"); Stephens v. Kemp, 464 U.S. 1027, 1032 (1983) (POWELL, J., dissenting) (contending that procedures by which stay applications are considered "undermin |