Strickland v. Washington
Encyclopedia
In Strickland v. Washington, , the United States Supreme Court established a two-part test for establishing a claim of ineffective assistance of counsel
. Under this test, a criminal defendant may not obtain relief unless he can show that counsel's performance fell below an objective standard of reasonableness, and that counsel's performance gives rise to a reasonable probability that, if counsel had performed adequately, the result of the proceeding—the trial, the sentencing hearing, the appeal—would have been different.
right to counsel "exists, and is needed, in order to protect the fundamental right to a fair trial." 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." Criminal defendants require counsel's skill and knowledge in order to be able to successfully rebuff the State's attempt to imprison o r execute them. Accordingly, the Court has ruled that counsel must be appointed for criminal defendants if they cannot afford to hire their own counsel. But the fact that "a person who happens to be a lawyer is present at trial alongside the accused... is not enough to satisfy the constitutional command." Counsel must play the role in the adversarial system
that allows the system to produce just results. Hence, the right to counsel is the right to the effective assistance of counsel.
A claim that counsel was ineffective, then, has two components. First, the defendant must show that counsel's performance was "deficient," such that counsel's errors were "so serious that counsel was not functioning as the 'counsel' guaranteed the defendant by the Sixth Amendment." Second, this deficient performance must be so serious as to deprive the defendant of a fair trial. Without these two showings, "it cannot be said that the conviction or death sentence resulted from a breakdown in the adversary process that renders the result unreliable."
In order to show that counsel's performance was "deficient," the defendant must show that it fell below an "objective standard of reasonableness." The legal profession is capable of maintaining standards that justify the law's presumption that counsel ordinarily serves his function in the adversary system. This includes such basic duties as assisting the defendant and showing him undivided loyalty by representing him unburdened by any conflict of interest. Counsel should advocate the defendant's case, consult with the defendant on the important decisions and keep him informed of important developments in the course of the prosecution. But these basic duties do not serve as a "checklist" for counsel, for "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." Counsel must have "wide latitude" to make "reasonable tactical decisions," lest the requirements for constitutionally effective assistance distract counsel from "the overriding mission of vigorous advocacy of the defendant's cause." Judges who evaluate ineffective assistance claims should, in turn, be highly deferential to counsel's decisions and avoid scrutinizing them in hindsight. Harsh scrutiny would encourage the proliferation of ineffective assistance claims and "dampen the ardor and impair the independence of defense counsel."
Counsel does, however, have a duty to make "reasonable investigations, or to make a reasonable decision that makes particular investigations unnecessary." After all, strategic decisions made in light of a reasonable investigation and compared to plausible options are virtually unchallengeable. By contrast, strategic choices made after less than complete investigation are reasonable only to the extent that reasonable professional judgments justify the curtailment of counsel's investigation. These judgments may be informed by statements the defendant himself makes to counsel and the effects of previous strategic choices.
But not all errors on counsel's part justify setting aside the judgment; rather, they must prejudice the defendant's ability to receive a fair trial. In certain circumstances, such as when the defendant has had no counsel at all or when counsel has labored under a conflict of interest, the Court will presume prejudice. But ordinarily, the defendant must show that counsel's deficient performance had an adverse effect on the defense. Since the goal is to ensure that the defendant had a fair trial, the defendant must show that there is a reasonable probability that, but for counsel's errors, the result of the proceeding would have been different. A reasonable probability is one sufficient to undermine confidence in the outcome. When the defendant challenges his conviction, this means he must show that counsel's errors prevented the jury from forming a reasonable doubt as to his guilt. When he challenges a death sentence, as Washington is doing, he must show a reasonable probability that the sentencer would have balanced the aggravation and mitigation evidence
differently. These assessments must be made, of course, with respect to the totality of the evidence presented at the hearing, so that when the prosecution's case is weak, the defendant will more easily show prejudice.
Applying this test to Washington's case, the Court concluded that counsel did not perform deficiently and that Washington suffered no prejudice. Counsel's decision to focus on remorse and emotional distress was a reasonable strategic decision in light of the trial judge's stated views on remorse, the heinousness of Washington's crimes, and Washington's own statements to counsel. In view of these considerations, the Court could not conclude that additional mitigating evidence would have given rise to a reasonable probability that the trial judge would have sentenced Washington to life in prison rather than death.
The majority reversed the judgment of the Court of Appeals.
Justice Brennan
concurred in the result because he believed that the Court's new test for ineffective assistance, particularly the prejudice prong, would not impede the presentation of mitigating evidence
on behalf of capital defendants. "Counsel's general duty to investigate... 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." However, because Justice Brennan believed that the death penalty is in all circumstances cruel and unusual punishment, he would have vacated Washington's death sentence and remanded for further proceedings.
dissented from the majority's holding. He objected that the Court's newly crafted test was unlikely to "improve the adjudication of Sixth Amendment claims." In his view, the performance standard was "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." What does "reasonable" mean? Should counsel's performance be judged by reference to a reasonable paid attorney or a reasonable appointed one? After all, Marshall pointed out, "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." Marshall also disputed that counsel's performance must be given especially wide latitude, since "much of the work involved in preparing for 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."
Marshall also disputed that it should be made the defendant's burden to show prejudice from an allegedly incompetent attorney's performance. Nor should prejudice be measured solely with respect to the fairness of the outcome of the trial; the fairness of the procedure matters just as much. "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."
Marshall worried that the Court's admonition to future judges, presented with ineffective assistance claims should defer to counsel's strategic judgments, placed too heavy a burden on defendants making such claims.
Finally, Marshall took issue with the Court's conclusion that the same standard for ineffectiveness should apply in a capital sentencing proceeding that applies at an ordinary trial. The capital sentencing process is intended to be especially reliable, and "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." The defendant's attorney is responsible for doing this. For this reason, and in light of the "severity and irrevocability of the sanction at stake," the standard for effective assistance in capital sentencing proceedings must be especially stringent. Accordingly, Marshall believed that a person on death row seeking relief from his death sentence on grounds of ineffective assistance should not have to show a reasonable probability that he would not have received a death sentence if counsel had presented more mitigating evidence. Because it was clear that Washington's attorney had failed to investigate and then present large amounts of information to the sentencing judge, Marshall concluded that Washington's lawyer was ineffective.
.
Ineffective assistance of counsel
Ineffective assistance of counsel is an issue raised in legal malpractice suits and in appeals in criminal cases where a criminal defendant asserts that their criminal conviction occurred because their attorney failed to properly defend the case...
. Under this test, a criminal defendant may not obtain relief unless he can show that counsel's performance fell below an objective standard of reasonableness, and that counsel's performance gives rise to a reasonable probability that, if counsel had performed adequately, the result of the proceeding—the trial, the sentencing hearing, the appeal—would have been different.
Facts
Respondent pleaded guilty in a Florida trial court to an indictment that included three capital murder charges. In the plea colloquy, respondent told the trial judge that, although he had committed a string of burglaries, at the time of his criminal spree he was under extreme stress caused by his inability to support his family. 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." In preparing for the sentencing hearing, defense counsel spoke with respondent about his background, but did not seek out character witnesses or request a psychiatric examination. Counsel's decision not to present evidence concerning respondent's character and emotional state reflected his judgment that it was advisable to rely on the plea colloquy for evidence as to such matters, thus preventing the State from cross-examining respondent and from presenting psychiatric evidence of its own. Counsel did not request a presentence report because it would have included respondent's criminal history and thereby would have undermined the claim of no significant prior criminal record. Finding numerous aggravating circumstances and no mitigating circumstance, the trial judge sentenced respondent to death on each of the murder counts. The Florida Supreme Court affirmed, and respondent then sought collateral relief in state court on the ground, inter alia, that counsel had rendered ineffective assistance at the sentencing proceeding in several respects, including his failure to request a psychiatric report, to investigate and present character witnesses, and to seek a presentence report. The trial court denied relief, and the Florida Supreme Court affirmed. Respondent then filed a habeas corpus petition in Federal District Court advancing numerous grounds for relief, including the claim of ineffective assistance of counsel. After an evidentiary hearing, the District Court denied relief, concluding that although counsel made errors in judgment in failing to investigate mitigating evidence further than he did, no prejudice to respondent's sentence resulted from any such error in judgment. The Court of Appeals ultimately reversed, stating that the Sixth Amendment accorded [466 U.S. 668, 669] criminal defendants a right to counsel rendering "reasonably effective assistance given the totality of the circumstances." After outlining standards for judging whether a defense counsel fulfilled the duty to investigate nonstatutory mitigating circumstances and whether counsel's errors were sufficiently prejudicial to justify reversal, the Court of Appeals remanded the case for application of the standards.Majority opinion
The Sixth AmendmentSixth Amendment to the United States Constitution
The Sixth Amendment to the United States Constitution is the part of the United States Bill of Rights which sets forth rights related to criminal prosecutions...
right to counsel "exists, and is needed, in order to protect the fundamental right to a fair trial." 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." Criminal defendants require counsel's skill and knowledge in order to be able to successfully rebuff the State's attempt to imprison o r execute them. Accordingly, the Court has ruled that counsel must be appointed for criminal defendants if they cannot afford to hire their own counsel. But the fact that "a person who happens to be a lawyer is present at trial alongside the accused... is not enough to satisfy the constitutional command." Counsel must play the role in the adversarial system
Adversarial system
The adversarial system is a legal system where two advocates represent their parties' positions before an impartial person or group of people, usually a jury or judge, who attempt to determine the truth of the case...
that allows the system to produce just results. Hence, the right to counsel is the right to the effective assistance of counsel.
A claim that counsel was ineffective, then, has two components. First, the defendant must show that counsel's performance was "deficient," such that counsel's errors were "so serious that counsel was not functioning as the 'counsel' guaranteed the defendant by the Sixth Amendment." Second, this deficient performance must be so serious as to deprive the defendant of a fair trial. Without these two showings, "it cannot be said that the conviction or death sentence resulted from a breakdown in the adversary process that renders the result unreliable."
In order to show that counsel's performance was "deficient," the defendant must show that it fell below an "objective standard of reasonableness." The legal profession is capable of maintaining standards that justify the law's presumption that counsel ordinarily serves his function in the adversary system. This includes such basic duties as assisting the defendant and showing him undivided loyalty by representing him unburdened by any conflict of interest. Counsel should advocate the defendant's case, consult with the defendant on the important decisions and keep him informed of important developments in the course of the prosecution. But these basic duties do not serve as a "checklist" for counsel, for "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." Counsel must have "wide latitude" to make "reasonable tactical decisions," lest the requirements for constitutionally effective assistance distract counsel from "the overriding mission of vigorous advocacy of the defendant's cause." Judges who evaluate ineffective assistance claims should, in turn, be highly deferential to counsel's decisions and avoid scrutinizing them in hindsight. Harsh scrutiny would encourage the proliferation of ineffective assistance claims and "dampen the ardor and impair the independence of defense counsel."
Counsel does, however, have a duty to make "reasonable investigations, or to make a reasonable decision that makes particular investigations unnecessary." After all, strategic decisions made in light of a reasonable investigation and compared to plausible options are virtually unchallengeable. By contrast, strategic choices made after less than complete investigation are reasonable only to the extent that reasonable professional judgments justify the curtailment of counsel's investigation. These judgments may be informed by statements the defendant himself makes to counsel and the effects of previous strategic choices.
But not all errors on counsel's part justify setting aside the judgment; rather, they must prejudice the defendant's ability to receive a fair trial. In certain circumstances, such as when the defendant has had no counsel at all or when counsel has labored under a conflict of interest, the Court will presume prejudice. But ordinarily, the defendant must show that counsel's deficient performance had an adverse effect on the defense. Since the goal is to ensure that the defendant had a fair trial, the defendant must show that there is a reasonable probability that, but for counsel's errors, the result of the proceeding would have been different. A reasonable probability is one sufficient to undermine confidence in the outcome. When the defendant challenges his conviction, this means he must show that counsel's errors prevented the jury from forming a reasonable doubt as to his guilt. When he challenges a death sentence, as Washington is doing, he must show a reasonable probability that the sentencer would have balanced the aggravation and mitigation evidence
Mitigating factor
A mitigating factor, in law, is any information or evidence presented to the court regarding the defendant or the circumstances of the crime that might result in reduced charges or a lesser sentence.-Death penalty in the United States:...
differently. These assessments must be made, of course, with respect to the totality of the evidence presented at the hearing, so that when the prosecution's case is weak, the defendant will more easily show prejudice.
Applying this test to Washington's case, the Court concluded that counsel did not perform deficiently and that Washington suffered no prejudice. Counsel's decision to focus on remorse and emotional distress was a reasonable strategic decision in light of the trial judge's stated views on remorse, the heinousness of Washington's crimes, and Washington's own statements to counsel. In view of these considerations, the Court could not conclude that additional mitigating evidence would have given rise to a reasonable probability that the trial judge would have sentenced Washington to life in prison rather than death.
The majority reversed the judgment of the Court of Appeals.
Justice Brennan
William J. Brennan, Jr.
William Joseph Brennan, Jr. was an American jurist who served as an Associate Justice of the United States Supreme Court from 1956 to 1990...
concurred in the result because he believed that the Court's new test for ineffective assistance, particularly the prejudice prong, would not impede the presentation of mitigating evidence
Mitigating factor
A mitigating factor, in law, is any information or evidence presented to the court regarding the defendant or the circumstances of the crime that might result in reduced charges or a lesser sentence.-Death penalty in the United States:...
on behalf of capital defendants. "Counsel's general duty to investigate... 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." However, because Justice Brennan believed that the death penalty is in all circumstances cruel and unusual punishment, he would have vacated Washington's death sentence and remanded for further proceedings.
Dissenting opinion
Justice MarshallThurgood Marshall
Thurgood Marshall was an Associate Justice of the United States Supreme Court, serving from October 1967 until October 1991...
dissented from the majority's holding. He objected that the Court's newly crafted test was unlikely to "improve the adjudication of Sixth Amendment claims." In his view, the performance standard was "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." What does "reasonable" mean? Should counsel's performance be judged by reference to a reasonable paid attorney or a reasonable appointed one? After all, Marshall pointed out, "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." Marshall also disputed that counsel's performance must be given especially wide latitude, since "much of the work involved in preparing for 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."
Marshall also disputed that it should be made the defendant's burden to show prejudice from an allegedly incompetent attorney's performance. Nor should prejudice be measured solely with respect to the fairness of the outcome of the trial; the fairness of the procedure matters just as much. "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."
Marshall worried that the Court's admonition to future judges, presented with ineffective assistance claims should defer to counsel's strategic judgments, placed too heavy a burden on defendants making such claims.
Finally, Marshall took issue with the Court's conclusion that the same standard for ineffectiveness should apply in a capital sentencing proceeding that applies at an ordinary trial. The capital sentencing process is intended to be especially reliable, and "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." The defendant's attorney is responsible for doing this. For this reason, and in light of the "severity and irrevocability of the sanction at stake," the standard for effective assistance in capital sentencing proceedings must be especially stringent. Accordingly, Marshall believed that a person on death row seeking relief from his death sentence on grounds of ineffective assistance should not have to show a reasonable probability that he would not have received a death sentence if counsel had presented more mitigating evidence. Because it was clear that Washington's attorney had failed to investigate and then present large amounts of information to the sentencing judge, Marshall concluded that Washington's lawyer was ineffective.
Subsequent events
Washington was executed in July 1984, two months after the Supreme Court's decision. He had spent seven years on death rowDeath row
Death row signifies the place, often a section of a prison, that houses individuals awaiting execution. The term is also used figuratively to describe the state of awaiting execution , even in places where no special facility or separate unit for condemned inmates exists.After individuals are found...
.
See also
- List of United States Supreme Court cases, volume 466
- Wiggins v. SmithWiggins v. SmithWiggins v. Smith, is a case in which the United States Supreme Court spelled out standards for "effectiveness" in the constitutional right to legal counsel guaranteed by the Sixth Amendment...
- Premo, Superintendent, Oregon State Penitentiary v. Moore