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Full Opinion
dissenting.
Petitioner Antonio Halbert pleaded no contest to charges that he sexually assaulted his stepdaughter and another
W
To understand why the Court s holding is an unwarranted extension of our precedents, it is necessary first to understand the limits that Michigan places on the provision of court-appointed counsel for defendants who plead guilty or no contest. Before 1994, Michigan afforded all criminal defendants the right to appeal their convictions to the Michigan Court of Appeals. By the early 1990âs, however, the Michigan Court of Appeals had a backlog of thousands of cases awaiting decision, nearly a third of which were appeals by defendants who had pleaded guilty or no contest. People v. Bulger, 462 Mich. 495, 504, 614 N. W. 2d 103, 107 (2000). To reduce this backlog, Michigan voters amended the Michigan Constitution in 1994 to provide that â[i]n every criminal prosecution, the accused shall... have an appeal as a matter of right, except [that] an appeal by an accused who pleads guilty or nolo contendere shall be by leave of the court.â Mich. Const., Art. 1, §20; Bulger, supra, at 504,614 N. W. 2d, at 107. This constitutional amendment created a two-track system for Michigan defendants: The Michigan Court of Appeals must hear the appeals of those who dispute their guilt, while it may elect to hear the appeals of those who concede or do not contest their guilt of the substantive crime.
In 1999, the Michigan Legislature enacted the statute at issue here. It provides that, in general, a âdefendant who
HH
The majority nevertheless holds that Michiganâs system is constitutionally inadequate. It finds that all plea-convicted indigent defendants have the right to appellate counsel when seeking leave to appeal. The majority does not say where in the Constitution that right is located â the Due Process Clause, the Equal Protection Clause, or some purported confluence of the two. Ante, at 610-611. Nor does the majority attempt to anchor its holding in the history of those Clauses. M. L. B. v. S. L. J., 519 U. S. 102, 131, 133, 138 (1996) (Thomas, J., dissenting). Nor does the majority even attempt to ground its holding in the entirety of this Courtâs jurisprudence, which does not require paid appellate assistance for indigent criminal defendants. Id., at 131-138. The
Instead, the majority pins its hopes on a single case: Douglas v. California, 372 U. S. 353 (1963). Douglas, however, does not support extending the right to counsel to any form of discretionary review, as Ross v. Moffitt, 417 U. S. 600 (1974), and later cases make clear. Moreover, Michigan has not engaged in the sort of invidious discrimination against indigent defendants that Douglas condemns. Michigan has done no more than recognize the undeniable difference between defendants who plead guilty and those who maintain their innocence, in an attempt to divert resources from largely frivolous appeals to more meritorious ones. The majority substitutes its own policy preference for that of Michigan voters, and it does so based on an untenable reading of Douglas.
A
In Douglas, California granted an initial appeal as of right to all convicted criminal defendants. 372 U. S., at 356. However, the California Court of Appeal appointed counsel for indigent defendants only after determining whether counsel would be useful to the defendant or the court. Ibid. Thus the California appellate court was âforced to prejudge the meritsâ of indigent defendantsâ appeals, while it judged the merits of other defendantsâ appeals only after briefing and oral argument. Ibid.
In previous cases, this Court had considered state-imposed conditions like transcript and filing fees that prevented indigent criminal defendants from obtaining any appellate review. Ross, supra, at 606-607 (discussing Griffin v. Illinois, 351 U. S. 12 (1956), and its progeny). By contrast, in Douglas, California provided appellate review to all criminal defendants, but it did not provide a state subsidy for indigent defendants whose claims appeared unlikely to benefit from counselâs assistance. This Court nevertheless held that when States provide a first appeal as of right, they must
Michiganâs system bears some similarity to the state systems at issue in both Douglas and Ross. Like the defendant in Douglas, Halbert requests appointed counsel for an initial appeal before an intermediate appellate court. But like the defendant in Ross, Halbert requests appointed counsel for an appeal that is discretionary, not as of right. Crucially, however, Douglas noted that its decision extended only to initial appeals as of right â and later cases have repeatedly reaffirmed that understanding.
Far from being an âarbitraryâ or âunreasonedâ distinction, Michiganâs differentiation between defendants convicted at trial and defendants convicted by plea is sensible. First and perhaps foremost, the danger of wrongful convictions is less significant than in Douglas. In Douglas, California preliminarily denied counsel to all indigent defendants, regardless of whether they maintained their innocence at trial or conceded their guilt by plea. Here, Michigan preliminarily denies paid counsel only to indigent defendants who admit or do not contest their guilt. And because a defendant who pleads guilty âmay not thereafter raise independent claims relating to the deprivation of constitutional rights that occurred prior to the entry of the guilty plea,â Tollett v. Henderson, 411 U. S. 258, 267 (1973), the potential issues that can be raised on appeal are more limited, Bulger, 462 Mich., at 517, and n. 7, 614 N. W. 2d, at 112-113, and n. 7. Further, as the Michigan Supreme Court has explained:
âPlea proceedings are also shorter, simpler, and more routine than trials; the record most often consists of the*630 âfactual basisâ for the plea that is provided to the trial court. In contrast with trials, less danger exists in plea cases that the record will be so unclear, or the errors so hidden, that the defendantâs appeal will be reduced to a meaningless ritual.â Id., at 517, 614 N. W. 2d, at 112.
When a defendant pleads in open court, there is less need for counsel to develop the record and refine claims to present to an appellate court. These are all ââ[Reasoned distinctionsâ â between defendants convicted by trial and those convicted by their own plea. M. L. B., supra, at 111 (quoting Rinaldi, supra, at 310).
The brief history of Michiganâs system confirms this. When Michigan voters amended the State Constitution to establish the current system, roughly 13,000 civil and criminal appeals per year clogged the Michigan Court of Appealsâ docket. Of those, nearly a third were appeals by criminal defendants who had pleaded guilty or no contest. Even though at the time plea-convicted defendants were appointed paid appellate counsel, few of these defendants were granted relief on appeal. Simply put, Michiganâs bar and bench were devoting a substantial portion of their scarce resources to thousands of cases with little practical effect. Reallocating resources was not âinvidious discriminationâ against criminal defendants, indigent or otherwise. Douglas, 372 U. S., at 356 (internal quotation marks omitted). It was an attempt to ensure âthat frivolous appeals [were] not subsidized and public moneys not needlessly spent.â Griffin, supra, at 24 (Frankfurter, J., concurring in judgment).
Todayâs decision will therefore do no favors for indigent defendants in Michigan â at least, indigent defendants with nonfrivolous claims. While defendants who admit their guilt will receive more attention, defendants who maintain their innocence will receive less. Even some defendants who plead guilty will feel the pinch, because plea-convicted defendants are entitled to counsel in preparing their leave applications if, for example, they appeal from conditional
B
The majority does not attempt to demonstrate that Michiganâs system is the sort of "unreasonedâ discrimination against indigent defendants Douglas prohibits. Instead, the majority says that this case is earmarked by two considerations that were also key to this Courtâs decision in Douglas: First, when a plea-convicted defendant seeks leave to appeal, the Michigan Court of Appeals adjudicates the leave application with reference to the merits. Ante, at 617. Second, the plea-convicted defendant who seeks leave to appeal is âgenerally ill equipped to represent [himself].â Ibid. Neither of these arguments is correct.
1
The majority reasons that in adjudicating an application for leave to appeal, the Michigan Court of Appeals âis
The Michigan Court of Appeals probably does consider âthe merits of the applicantâs claimsâ in exercising its discretion; so do other courts of discretionary review, including this Court. For instance, this Court would be unlikely to grant certiorari in a case to announce a rule that could not alter the caseâs disposition, or to correct an error that had not affected the proceedings below. This Court often considers whether errors are worth correcting in both plenary and summary dispositions. None of this converts discretionary, error-noticing review into mandatory, error-correcting review.
Likewise, the Michigan Court of Appeals is not required to hear particular cases or correct particular errors. It may elect to hear cases when it finds the trial courtâs disposition questionable or dubious. Or it may elect to hear cases when it finds the trial courtâs disposition important or interesting. For all we know, it may (and probably does) consider both. Regardless, the Court of Appealsâ decision to grant review remains âdiscretionary,â because it does not depend on âwhether there has been âa correct adjudication of guiltâ in every individual case.â Ross, 417 U. S., at 615. Like other courts of discretionary review, the Court of Appeals may opt to correct errors, ante, at 617-619, and n. 3 â but it is not compelled to do so.
The majority appears to dispute that review before the Michigan Court of Appeals is truly discretionary, ante, at 618-619, and n. 4, but it provides no support for its speculation. Unlike the California Court of Appeal in Douglas,
The majorityâs holding suggests that Michiganâs system would pass constitutional muster if the Court of Appeals recited âlack of importance in the grounds presentedâ as its ground for denying leave, ante, at 618-619, or if its decisional criteria were set forth in a statute, judicial decision, or court rule, ibid. Yet the relevant inquiry under Douglas and Ross is whether the Court of Appeals is obliged to review the case â not whether the Court of Appeals must or does offer a particular ground for declining review.
2
The majority also asserts that, without counsel, plea-convicted defendants who seek leave to appeal are âgenerally ill equipped to represent themselves.â Ante, at 617. This overgeneralizes Douglas' rationale. The Douglas Court was concerned with the âbarren recordâ that would follow a defendant on appeal. 372 U. S., at 356. For âwhere the record [was] unclear or the errors [were] hidden,â the appellate court would have difficulty detecting errors without the assistance of counsel. Id., at 358.
This is in part why this Court in Ross did not extend the right to counsel to discretionary review before the North
The majority does not argue that indigent plea-convicted defendants who file leave applications do so with a âbarren record,â Douglas, supra, at 356, or that the Michigan Court of Appeals lacks an âadequate basisâ for reviewing their leave applications, Ross, supra, at 615. The Michigan Supreme Court put it best:
â[Michiganâs] court rules require trial counsel to assist the defendant in organizing and presenting to the trial court any potential appellate issues that warrant preservation. Accordingly, a pro se defendant seeking discretionary review will have the benefit of a transcript, trial counselâs framing of the issues in the motion to withdraw, and the trial courtâs ruling on the motion.â Bulger, supra, at 518, 614 N. W. 2d, at 113; see also Mich. Ct. Rule 6.005(H)(4) (2005).
As in Ross, these materials aid both the plea-convicted defendant and the Michigan Court of Appeals in identifying claims appropriate for plenary consideration. A plea-convicted defendant does not face a record unreviewed by counsel, and he does not lack any reasoned treatment of his claims. And, again, plea proceedings tend to be more transparent than trials, supra, at 629-630; âless danger exists in plea cases that the record will be so unclear, or the errors so hidden,â Bulger, supra, at 517, 614 N. W. 2d, at 112, that the Michigan Court of Appeals will be unable to identify issues that deserve further examination on appeal. After all, the
The majorityâs unwillingness to confront the distinctions between Michiganâs system and the California system at issue in Douglas is made clear by its reliance on Swenson v. Bosler, 386 U. S. 258 (1967) (per curiam). Swenson considered whether indigent defendants convicted at trial have a right to appointed counsel during their initial appeal as of right, even if the State provides indigent defendants with a trial transcript and a motion for a new trial prepared by trial counsel. Id., at 258-259. But Douglas had already answered that question, as this Court summarily declared: â[Appointed counsel] may not be denied to a criminal defendant, solely because of his indigency, on the only appeal which the State affords him as a matter of right.â 386 U. S., at 259 (emphasis added). Of course, Michiganâs entire argument is that there is a â[Reasoned distinctio[n]â between defendants convicted following trials and pleas, as there is between appeals as of right and discretionary review. M. L. B., 519 U. S., at 111 (internal quotation marks omitted); Brief for Respondent 28. This Courtâs brief, per curiam opinion in Swenson did not consider, much less address, these arguments.
Lacking support in this Courtâs cases, the majority effects a not-so-subtle shift from whether the record is adequate to enable discretionary review to whether plea-convicted defendants are generally able to â[n]aviga[te] the appellate process without a lawyerâs assistance.â Ante, at 621. This rationale lacks any stopping point. Pro se defendants may have difficulty navigating discretionary direct appeals and collateral proceedings, but this Court has never extended the right to counsel beyond first appeals as of right. Supra, at 627-628, and n. 1. The majority does not demonstrate that pro se defendants have any more difficulty filing leave appli
In fact, this Court receives thousands of pro se petitions every year that list âthe date and nature of the judgment or order appealed from,â Mich. Ct. Rule 7.205(B)(1) (2005); âreei[te] the appellantâs allegations of error and the relief sought,â ibid.; and âse[t] forth a concise argument ... in support of the appellantâs position on each issue,â ibid. See this Courtâs Rule 14 (setting forth analogous requirements for petitions for writs of certiorari). Michigan actually provides a three-page form application accompanied by two pages of instructions for defendants seeking leave to appeal after sentencing on a plea. It counsels defendants to âstate the issues and facts relevant to the appeal,â and âstate the law that supports your position and explain how the law applies to the facts of your case.â Ante, at 622 (internal quotation marks omitted). The majority gives no clue as to how Michigan could make its procedures for seeking leave to appeal less intimidating to the uncounseled. Ibid. Regardless, Michiganâs procedures are more than sufficient to enable discretionary review.
The majority then attempts to soften the blow by saying that it is doing the State a favor, because âproviding indigents with appellate counsel will yield applications easier to comprehend.â Ante, at 623. Even assuming the majorityâs paternalism is accurate, there is no evidence that the Michigan courts currently have difficulty adjudicating leave applications. At the least, the majority leaves unexplained why the Michigan courts have greater difficulty than do state and federal courts considering discretionary direct appeals and collateral proceedings. And even assuming the Michigan courts have special difficulty, it is unlikely any marginal gains will offset the harms wrought by the majorityâs preference for redistributing resources to a set of generally less meritorious claims. Whether or not one agrees with
Ill
Even assuming that there is a right to appointed appellate counsel in these circumstances, the right, like the vast majority of other procedural rights, is waivable, despite the majorityâs dictum to the contrary. Moreover, Michiganâs statutory prohibition on appointed appellate counsel does not prevent defendants from waiving any constitutional right to such counsel. And, in this case, Halbertâs waiver was knowing and intelligent.
A
Legal rights, even constitutional ones, are presumptively waivable. United States v. Mezzanatto, 513 U. S. 196, 200-201 (1995); see also New York v. Hill, 528 U. S. 110, 114 (2000); Peretz v. United States, 501 U. S. 923, 936 (1991) (âThe most basic rights of criminal defendants are . . . subject to waiverâ). The presumption of waivability holds true for the right to counsel. This Court has held repeatedly that a defendant may waive that right, both at trial and at the entry of a guilty plea, so long as the waiver is knowing and intelligent. Iowa v. Tovar, 541 U. S. 77, 88 (2004); Faretta v. California, 422 U. S. 806, 835 (1975); Adams v. United States ex rel. McCann, 317 U. S. 269, 279 (1942); Johnson v. Zerbst, 304 U. S. 458, 464-465 (1938). Michigan seeks a waiver no more extensive than those this Court has already sanctioned at other stages of a criminal proceeding; It asks defendants convicted by plea to waive the right to appointed counsel on appeal.
There may be some nonwaivable rights: ones âso fundamental to the reliability of the factfinding process that they may never be waived without irreparably discrediting the federal courts.â Mezzanatto, supra, at 204 (internal quotation marks and brackets omitted). The right to appointed counsel on discretionary appeal from a guilty plea, however,
Petitioner emphasizes the difficulty of the choice to which Michiganâs statute puts criminal defendants: proceed to trial and guarantee the appointment of appellate counsel, or plead guilty and forgo that benefit. But this Court has repeatedly recognized that difficult choices are a necessary byproduct of the criminal justice system, and of plea bargaining in particular. See, e.g., Mezzanatto, supra, at 210; Brady v. United States, 397 U. S. 742, 750 (1970). Michiganâs waiver requires a choice no more demanding than others criminal defendants regularly face.
B
The majority maintains, first, that Halbert could not waive the right to appointed appellate counsel because Michigan law afforded him no such right to waive; second, in dictum, that the right cannot be waived; and, third, that even if the
1
The majority claims that â[a]t the time he entered his plea, Halbert, in common with other defendants convicted on their pleas, had no recognized right to appointed appellate counsel he could elect to forgo.â Ante, at 623. This assertion apparently refers to the Michigan statute, Mich. Comp. Laws Ann. § 770.3a (West 2000). At the time of Halbertâs plea, the statute provided that, if a defendant was convicted by plea, he generally could not receive appointed appellate counsel. The majorityâs reasoning is flawed for at least three reasons.
First, the statement that âHalbert, in common with other defendants convicted on their pleas, had no recognized right to appointed appellate counsel,â ante, at 623, is either incorrect or irrelevant. If we view (as we must) the waiver decision from the perspective of Halbert and other defendants before entering a plea, the statement is wrong as a matter of Michigan law. The Michigan Court Rules applicable at the time of Halbertâs plea explicitly provided that he was entitled to appointed appellate counsel if convicted following a trial. Mich. Ct. Rule 6.425(F)(1)(b) (Lexis 2001) (âIn a case involving a conviction following a trial, if the defendant is indigent, the court must enter an order appointing a lawyer if the request is filed within 42 days after sentencing or within the time for filing an appeal of rightâ). Michigan law thus gave Halbert, before entering a plea, the choice either to proceed to trial and guarantee himself appointed appellate counsel, or to plead guilty or no contest and forgo appointed appellate counsel in most circumstances.
Alternatively, by stating that âHalbert, in common with other defendants convicted on their pleas, had no recognized right to appointed appellate counsel,â ante, at 623, the majority might mean that Michigan law afforded Halbert no right to appointed appellate counsel following a plea-based eonvic
Second, even if the majority were correct about Michigan law, that is beside the point. At issue here is w