MICKENS v. TAYLOR


Syllabus

MICKENS v. TAYLOR ( No. 00-9285 )
240 F. 3d 348, affirmed.

MICKENS v. TAYLOR, WARDEN

certiorari to the united states court of appeals for the fourth circuit


No. 00–9285. Argued November 5, 2001—Decided March 27, 2002

A Virginia jury convicted petitioner of the premeditated murder of Timothy Hall during or following the commission of an attempted forcible sodomy, and sentenced petitioner to death. Petitioner filed a federal habeas petition alleging, inter alia , that he was denied effective assistance of counsel because one of his court-appointed attorneys had a conflict of interest at trial. Petitioner’s lead attorney, Bryan Saunders, had represented Hall on assault and concealed-weapons charges at the time of the murder. The same juvenile court judge who dismissed the charges against Hall later appointed Saunders to represent petitioner. Saunders did not disclose to the court, his co-counsel, or petitioner that he had previously represented Hall. The District Court denied habeas relief, and an en banc majority of the Fourth Circuit affirmed. The majority rejected petitioner’s argument that the juvenile court judge’s failure to inquire into a potential conflict either mandated automatic reversal of his conviction or relieved him of the burden of showing that a conflict of interest adversely affected his representation. The court concluded that petitioner had not demonstrated adverse effect.

Held: In order to demonstrate a Sixth Amendment violation where the trial court fails to inquire into a potential conflict of interest about which it knew or reasonably should have known, a defendant must establish that a conflict of interest adversely affected his counsel’s performance. Pp. 3–14.

(a) A defendant alleging ineffective assistance generally must demonstrate a reasonable probability that, but for counsel’s unprofessional errors, the result of the proceeding would have been different. Strickland v. Washington, 466 U. S. 668. An exception to this general rule presumes a probable effect upon the outcome where assistance of counsel has been denied entirely or during a critical stage of the proceeding. The Court has held in several cases that “circumstances of that magnitude,” United States v. Cronic, 466 U. S. 648, n. 26, may also arise when the defendant’s attorney actively represented conflicting interests. In Holloway v. Arkansas , 435 U. S. 475, the Court created an automatic reversal rule where counsel is forced to represent codefendants over his timely objection, unless the trial court has determined that there is no conflict. In Cuyler v. Sullivan, 446 U. S. 335, the Court declined to extend Holloway and held that, absent objection, a defendant must demonstrate that a conflict of interest actually affected the adequacy of his representation, 446 U. S., at 348–349. Finally, in Wood v. Georgia , 450 U. S. 261, the Court granted certiorari to consider an equal-protection violation, but then remanded for the trial court to determine whether a conflict of interest that the record strongly suggested actually existed, id., at 273. Pp. 3–7.

(b) This Court rejects petitioner’s argument that the remand instruction in Wood, directing the trial court to grant a new hearing if it determined that “an actual conflict of interest existed,” id., at 273, established that where the trial judge neglects a duty to inquire into a potential conflict the defendant, to obtain reversal, need only show that his lawyer was subject to a conflict of interest, not that the conflict adversely affected counsel’s performance. As used in the remand instruction, “an actual conflict of interest” meant precisely a conflict that affected counsel’s performance—as opposed to a mere theoretical division of loyalties. It was shorthand for Sullivan ’s statement that “a defendant who shows that a conflict of interest actually affected the adequacy of his representation need not demonstrate prejudice in order to obtain relief,” 446 U. S., at 349–350 (emphasis added). The notion that Wood created a new rule sub silentio is implausible. Moreover, petitioner’s proposed rule of automatic reversal makes little policy sense. Thus, to void the conviction petitioner had to establish, at a minimum, that the conflict of interest adversely affected his counsel’s performance. The Fourth Circuit having found no such effect, the denial of habeas relief must be affirmed. Pp. 7–11.

(c) The case was presented and argued on the assumption that (absent some exception for failure to inquire) Sullivan would be applicable to a conflict rooted in counsel’s obligations to former clients. The Court does not rule upon the correctness of that assumption. Pp. 11–14.

240 F. 3d 348, affirmed.

Scalia, J., delivered the opinion of the Court, in which Rehnquist, C. J., and O’Connor, Kennedy, and Thomas, JJ., joined. Kennedy, J., filed a concurring opinion, in which O’Connor, J., joined. Stevens, J., filed a dissenting opinion. Souter, J., filed a dissenting opinion. Breyer, J., filed a dissenting opinion, in which Ginsburg, J., joined.


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Opinion

WALTER MICKENS, Jr ., PETITIONER v.
JOHN TAYLOR, WARDEN

on writ of certiorari to the united states court of appeals for the fourth circuit


[March 27, 2002]

Justice Scalia delivered the opinion of the Court.

The question presented in this case is what a defendant must show in order to demonstrate a Sixth Amendment violation where the trial court fails to inquire into a potential conflict of interest about which it knew or reasonably should have known.

I

In 1993, a Virginia jury convicted petitioner Mickens of the premeditated murder of Timothy Hall during or following the commission of an attempted forcible sodomy. Finding the murder outrageously and wantonly vile, it sentenced petitioner to death. In June 1998, Mickens filed a petition for writ of habeas corpus, see 28 U. S. C. §2254 (1994 ed. and Supp. V), in the United States District Court for the Eastern District of Virginia, alleging, inter alia , that he was denied effective assistance of counsel because one of his court-appointed attorneys had a conflict of interest at trial. Federal habeas counsel had discovered that petitioner’s lead trial attorney, Bryan Saunders, was representing Hall (the victim) on assault and concealed-weapons charges at the time of the murder. Saunders had been appointed to represent Hall, a juvenile, on March 20, 1992, and had met with him once for 15 to 30 minutes some time the following week. Hall’s body was discovered on March 30, 1992, and four days later a juvenile court judge dismissed the charges against him, noting on the docket sheet that Hall was deceased. The one-page docket sheet also listed Saunders as Hall’s counsel. On April 6, 1992, the same judge appointed Saunders to represent petitioner. Saunders did not disclose to the court, his co-counsel, or petitioner that he had previously represented Hall. Under Virginia law, juvenile case files are confidential and may not generally be disclosed without a court order, see Va. Code Ann. §16.1–305 (1999), but petitioner learned about Saunders’ prior representation when a clerk mistakenly produced Hall’s file to federal habeas counsel.

The District Court held an evidentiary hearing and denied petitioner’s habeas petition. A divided panel of the Court of Appeals for the Fourth Circuit reversed, 227 F. 3d 203 (2000), and the Court of Appeals granted rehearing en banc, 240 F. 3d 348 (2001). As an initial matter, the 7-to-3 en banc majority determined that petitioner’s failure to raise his conflict-of-interest claim in state court did not preclude review, concluding that petitioner had established cause and that the “inquiry as to prejudice for purposes of excusing [petitioner’s] default … incorporates the test for evaluating his underlying conflict of interest claim.” Id., at 356–357. On the merits, the Court of Appeals assumed that the juvenile court judge had neglected a duty to inquire into a potential conflict, but rejected petitioner’s argument that this failure either mandated automatic reversal of his conviction or relieved him of the burden of showing that a conflict of interest adversely affected his representation. Relying on Cuyler v. Sullivan, 446 U. S. 335 (1980) , the court held that a defendant must show “both an actual conflict of interest and an adverse effect even if the trial court failed to inquire into a potential conflict about which it reasonably should have known,” 240 F. 3d, at 355–356. Concluding that petitioner had not demonstrated adverse effect, id ., at 360, it affirmed the District Court’s denial of habeas relief. We granted a stay of execution of petitioner’s sentence and granted certiorari. 532 U. S. 970 (2001) .

II

The Sixth Amendment provides that a criminal defendant shall have the right to “the assistance of counsel for his defence.” This right has been accorded, we have said, “not for its own sake, but because of the effect it has on the ability of the accused to receive a fair trial.” United States v. Cronic, 466 U. S. 648, 658 (1984) . It follows from this that assistance which is ineffective in preserving fairness does not meet the constitutional mandate, see Strickland v. Washington , 466 U. S. 668, 685–686 (1984) ; and it also follows that defects in assistance that have no probable effect upon the trial’s outcome do not establish a constitutional violation. As a general matter, a defendant alleging a Sixth Amendment violation must demonstrate “a reasonable probability that, but for counsel’s unprofessional errors, the result of the proceeding would have been different.” Id ., at 694.

There is an exception to this general rule. We have spared the defendant the need of showing probable effect upon the outcome, and have simply presumed such effect, where assistance of counsel has been denied entirely or during a critical stage of the proceeding. When that has occurred, the likelihood that the verdict is unreliable is so high that a case-by-case inquiry is unnecessary. See Cronic , supra, at 658–659; see also Geders v. United States, 425 U. S. 80, 91 (1976) ; Gideon v. Wainwright , 372 U. S. 335, 344–345 (1963) . But only in “circumstances of that magnitude” do we forgo individual inquiry into whether counsel’s inadequate performance undermined the reliability of the verdict. Cronic, supra, at 659, n. 26.

We have held in several cases that “circumstances of that magnitude” may also arise when the defendant’s attorney actively represented conflicting interests. The nub of the question before us is whether the principle established by these cases provides an exception to the general rule of Strickland under the circumstances of the present case. To answer that question, we must examine those cases in some detail. 1

In Holloway v. Arkansas, 435 U. S. 475 (1978) , defense counsel had objected that he could not adequately represent the divergent interests of three codefendants. Id., at 478–480. Without inquiry, the trial court had denied counsel’s motions for the appointment of separate counsel and had refused to allow counsel to cross-examine any of the defendants on behalf of the other two. The Holloway Court deferred to the judgment of counsel regarding the existence of a disabling conflict, recognizing that a defense attorney is in the best position to determine when a conflict exists, that he has an ethical obligation to advise the court of any problem, and that his declarations to the court are “virtually made under oath.” Id., at 485–486 (internal quotation marks omitted). Holloway presumed, moreover, that the conflict, “which [the defendant] and his counsel tried to avoid by timely objections to the joint representation,” id., at 490, undermined the adversarial process. The presumption was justified because joint representation of conflicting interests is inherently suspect, and because counsel’s conflicting obligations to multiple defendants “effectively sea[l] his lips on crucial matters” and make it difficult to measure the precise harm arising from counsel’s errors. Id., at 489–490. Holloway thus creates an automatic reversal rule only where defense counsel is forced to represent codefendants over his timely objection, unless the trial court has determined that there is no conflict. Id., at 488 (“[W]henever a trial court improperly requires joint representation over timely objection reversal is automatic”).

In Cuyler v. Sullivan, 446 U. S. 335 (1980) , the respondent was one of three defendants accused of murder who were tried separately, represented by the same counsel. Neither counsel nor anyone else objected to the multiple representation, and counsel’s opening argument at Sullivan’s trial suggested that the interests of the defendants were aligned. Id. , at 347–348. We declined to extend Holloway ’s automatic reversal rule to this situation and held that, absent objection, a defendant must demonstrate that “a conflict of interest actually affected the adequacy of his representation.” 446 U. S., at 348–349. In addition to describing the defendant’s burden of proof, Sullivan addressed separately a trial court’s duty to inquire into the propriety of a multiple representation, construing Holloway to require inquiry only when “the trial court knows or reasonably should know that a particular conflict exists,” 446 U. S., at 347 2 —which is not to be confused with when the trial court is aware of a vague, unspecified possibility of conflict, such as that which “inheres in almost every instance of multiple representation,” id ., at 348. In Sullivan , no “special circumstances” triggered the trial court’s duty to inquire. Id ., at 346.

Finally, in Wood v. Georgia , 450 U. S. 261 (1981) , three indigent defendants convicted of distributing obscene materials had their probation revoked for failure to make the requisite $500 monthly payments on their $5,000 fines. We granted certiorari to consider whether this violated the Equal Protection Clause, but during the course of our consideration certain disturbing circumstances came to our attention: At the probation-revocation hearing (as at all times since their arrest) the defendants had been represented by the lawyer for their employer (the owner of the business that purveyed the obscenity), and their employer paid the attorney’s fees. The employer had promised his employees he would pay their fines, and had generally kept that promise but had not done so in these defendants’ case. This record suggested that the employer’s interest in establishing a favorable equal-protection precedent (reducing the fines he would have to pay for his indigent employees in the future) diverged from the defendants’ interest in obtaining leniency or paying lesser fines to avoid imprisonment. Moreover, the possibility that counsel was actively representing the conflicting interests of employer and defendants “was sufficiently apparent at the time of the revocation hearing to impose upon the court a duty to inquire further.” Id., at 272. Because “[o]n the record before us, we [could not] be sure whether counsel was influenced in his basic strategic decisions by the interests of the employer who hired him,” ibid. , we remanded for the trial court “to determine whether the conflict of interest that this record strongly suggests actually existed,” id. , at 273.

Petitioner argues that the remand instruction in Wood established an “unambiguous rule” that where the trial judge neglects a duty to inquire into a potential conflict, the defendant, to obtain reversal of the judgment, need only show that his lawyer was subject to a conflict of interest, and need not show that the conflict adversely affected counsel’s performance. Brief for Petitioner 21. 3 He relies upon the language in the remand instruction directing the trial court to grant a new revocation hearing if it determines that “an actual conflict of interest existed,” Wood , 450 U. S., at 273, without requiring a further determination that the conflict adversely affected counsel’s performance. As used in the remand instruction, however, we think “an actual conflict of interest” meant precisely a conflict that affected counsel’s performance —as opposed to a mere theoretical division of loyalties. It was shorthand for the statement in Sullivan that “a defendant who shows that a conflict of interest actually affected the adequacy of his representation need not demonstrate prejudice in order to obtain relief.” 446 U. S., at 349–350 (emphasis added). 4 This is the only interpretation consistent with the Wood Court’s earlier description of why it could not decide the case without a remand: “On the record before us, we cannot be sure whether counsel was influenced in his basic strategic decisions by the interests of the employer who hired him. If this was the case , the due process rights of petitioners were not respected … .” 450 U. S., at 272 (emphasis added). The notion that Wood created a new rule sub silentio —and in a case where certiorari had been granted on an entirely different question, and the parties had neither briefed nor argued the conflict-of-interest issue—is implausible. 5

Petitioner’s proposed rule of automatic reversal when there existed a conflict that did not affect counsel’s performance, but the trial judge failed to make the Sullivan -mandated inquiry, makes little policy sense. As discussed, the rule applied when the trial judge is not aware of the conflict (and thus not obligated to inquire) is that prejudice will be presumed only if the conflict has significantly affected counsel’s performance—thereby rendering the verdict unreliable, even though Strickland prejudice cannot be shown. See Sullivan, supra , at 348–349. The trial court’s awareness of a potential conflict neither renders it more likely that counsel’s performance was significantly affected nor in any other way renders the verdict unreliable. Cf. United States v. Cronic , 466 U. S., at 662, n. 31. Nor does the trial judge’s failure to make the Sullivan -mandated inquiry often make it harder for reviewing courts to determine conflict and effect, particularly since those courts may rely on evidence and testimony whose importance only becomes established at the trial.

Nor, finally, is automatic reversal simply an appropriate means of enforcing Sullivan ’s mandate of inquiry. Despite Justice Souter ’s belief that there must be a threat of sanction (to-wit, the risk of conferring a windfall upon the defendant) in order to induce “resolutely obdurate” trial judges to follow the law, post , at 20, we do not presume that judges are as careless or as partial as those police officers who need the incentive of the exclusionary rule, see United States v. Leon, 468 U. S. 897, 916–917 (1984) . And in any event, the Sullivan standard, which requires proof of effect upon representation but (once such effect is shown) presumes prejudice, already creates an “incentive” to inquire into a potential conflict. In those cases where the potential conflict is in fact an actual one, only inquiry will enable the judge to avoid all possibility of reversal by either seeking waiver or replacing a conflicted attorney. We doubt that the deterrence of “judicial dereliction” that would be achieved by an automatic reversal rule is significantly greater.

Since this was not a case in which (as in Holloway ) counsel protested his inability simultaneously to represent multiple defendants; and since the trial court’s failure to make the Sullivan -mandated inquiry does not reduce the petitioner’s burden of proof; it was at least necessary, to void the conviction, for petitioner to establish that the conflict of interest adversely affected his counsel’s performance. The Court of Appeals having found no such effect, see 240 F. 3d, at 360, the denial of habeas relief must be affirmed.

III

Lest today’s holding be misconstrued, we note that the only question presented was the effect of a trial court’s failure to inquire into a potential conflict upon the Sullivan rule that deficient performance of counsel must be shown. The case was presented and argued on the assumption that (absent some exception for failure to inquire) Sullivan would be applicable—requiring a showing of defective performance, but not requiring in addition (as Strickland does in other ineffectiveness-of-counsel cases), a showing of probable effect upon the outcome of trial. That assumption was not unreasonable in light of the holdings of Courts of Appeals, which have applied Sullivan “unblinkingly” to “all kinds of alleged attorney ethical conflicts,” Beets v. Scott , 65 F. 3d 1258, 1266 (CA5 1995) (en banc). They have invoked the Sullivan standard not only when (as here) there is a conflict rooted in counsel’s obligations to former clients, see, e.g., Perillo v. Johnson , 205 F. 3d 775, 797–799 (CA5 2001); Freund v. Butterworth , 165 F. 3d 839, 858–860 (CA11 1999); Mannhalt v. Reed , 847 F. 2d 576, 580 (CA9 1988); United States v. Young , 644 F. 2d 1008, 1013 (CA4 1981), but even when representation of the defendant somehow implicates counsel’s personal or financial interests, including a book deal, United States v. Hearst , 638 F. 2d 1190, 1193 (CA9 1980), a job with the prosecutor’s office, Garcia v. Bunnell , 33 F. 3d 1193, 1194–1195, 1198, n. 4 (CA9 1994), the teaching of classes to Internal Revenue Service agents, United States v. Michaud , 925 F. 2d 37, 40–42 (CA1 1991), a romantic “entanglement” with the prosecutor, Summerlin v. Stewart , 267 F. 3d 926, 935–941 (CA9 2001), or fear of antagonizing the trial judge, United States v. Sayan , 968 F. 2d 55, 64–65 (CADC 1992).

It must be said, however, that the language of Sullivan itself does not clearly establish, or indeed even support, such expansive application. “[U]ntil,” it said, “a defendant shows that his counsel actively represented conflicting interests, he has not established the constitutional predicate for his claim of ineffective assistance.” 446 U. S., at 350 (emphasis added). Both Sullivan itself, see id ., at 348–349, and Holloway , see 435 U. S., at 490–491, stressed the high probability of prejudice arising from multiple concurrent representation, and the difficulty of proving that prejudice. See also Geer, Representation of Multiple Criminal Defendants: Conflicts of Interest and the Professional Responsibilities of the Defense Attorney, 62 Minn. L. Rev. 119, 125–140 (1978); Lowenthal, Joint Representation in Criminal Cases: A Critical Appraisal, 64 Va. L. Rev. 939, 941–950 (1978). Not all attorney conflicts present comparable difficulties. Thus, the Federal Rules of Criminal Procedure treat concurrent representation and prior representation differently, requiring a trial court to inquire into the likelihood of conflict whenever jointly charged defendants are represented by a single attorney (Rule 44(c)), but not when counsel previously represented another defendant in a substantially related matter, even where the trial court is aware of the prior representation. 6 See Sullivan , supra, at 346, n. 10 (citing the Rule).

This is not to suggest that one ethical duty is more or less important than another. The purpose of our Holloway and Sullivan exceptions from the ordinary requirements of Strickland , however, is not to enforce the Canons of Legal Ethics, but to apply needed prophylaxis in situations where Strickland itself is evidently inadequate to assure vindication of the defendant’s Sixth Amendment right to counsel. See Nix v. Whiteside, 475 U. S. 157, 165 (1986) (“[B]reach of an ethical standard does not necessarily make out a denial of the Sixth Amendment guarantee of assistance of counsel”). In resolving this case on the grounds on which it was presented to us, we do not rule upon the need for the Sullivan prophylaxis in cases of successive representation. Whether Sullivan should be extended to such cases remains, as far as the jurisprudence of this Court is concerned, an open question.

* * *

For the reasons stated, the judgment of the Court of Appeals is

Affirmed.


Notes

1 Justice Breyer rejects Holloway v. Arkansas, 435 U. S. 475 (1978) , Cuyler v. Sullivan, 446 U. S. 335 (1980) , and Wood v. Georgia, 450 U. S. 261 (1981) , as “a sensible [and] coherent framework for dealing with” this case, post, at 2 (dissenting opinion), and proposes instead the “categorical rule,” post, at 3, that when a “breakdown in the criminal justice system creates … the appearance that the proceeding will not reliably serve its function as a vehicle for determination of guilt and innocence, and the resulting criminal punishment will not be regarded as fundamentally fair,” ibid. (internal quotation marks omitted), reversal must be decreed without proof of prejudice. This seems to us less a categorical rule of decision than a restatement of the issue to be decided. Holloway, Sullivan, and Wood establish the framework that they do precisely because that framework is thought to identify the situations in which the conviction will reasonably not be regarded as fundamentally fair. We believe it eminently performs that function in the case at hand, and that Justice Breyer is mistaken to think otherwise. But if he does think otherwise, a proper regard for the judicial function—and especially for the function of this Court, which must lay down rules that can be followed in the innumerable cases we are unable to review—would counsel that he propose some other “sensible and coherent framework,” rather than merely saying that prior representation of the victim, plus the capital nature of the case, plus judicial appointment of the counsel, see post, at 2, strikes him as producing a result that will not be regarded as fundamentally fair. This is not a rule of law but expression of an ad hoc “fairness” judgment (with which we disagree).

2 In order to circumvent Sullivan’s clear language, Justice Stevens suggests that a trial court must scrutinize representation by appointed counsel more closely than representation by retained counsel. Post, at 6–7 (dissenting opinion). But we have already rejected the notion that the Sixth Amendment draws such a distinction. “A proper respect for the Sixth Amendment disarms [the] contention that defendants who retain their own lawyers are entitled to less protection than defendants for whom the State appoints counsel … . The vital guarantee of the Sixth Amendment would stand for little if the often uninformed decision to retain a particular lawyer could reduce or forfeit the defendant’s entitlement to constitutional protection.” Cuyler v. Sullivan, 446 U. S. 335, 344 (1980) .

3 Petitioner no longer argues, as he did below and as Justice Souter does now, post, at 14 (dissenting opinion), that the Sixth Amendment requires reversal of his conviction without further inquiry into whether the potential conflict that the judge should have investigated was real. Compare 240 F. 3d 348, 357 (CA4 2001) (en banc), with Tr. of Oral Arg. 23–25. Some Courts of Appeals have read a footnote in Wood v. Georgia, 450 U. S. 261, n. 18 (1981), as establishing that outright reversal is mandated when the trial court neglects a duty to inquire into a potential conflict of interest. See, e.g., Campbell v. Rice, 265 F. 3d 878, 884–885, 888 (CA9 2001); Ciak v. United States, 59 F. 3d 296, 302 (CA2 1995). But see Brien v. United States, 695 F. 2d 10, 15, n. 10 (CA1 1982). The Wood footnote says that Sullivan does not preclude “raising … a conflict-of-interest problem that is apparent in the record” and that “Sullivan mandates a reversal when the trial court has failed to make [the requisite] inquiry.” Wood, supra, at 272, n. 18. These statements were made in response to the dissent’s contention that the majority opinion had “gone beyond” Cuyler v. Sullivan, ibid., in reaching a conflict-of-interest due-process claim that had been raised neither in the petition for certiorari nor before the state courts, see 450 U. S., at 280 (White, J., dissenting). To the extent the “mandates a reversal” statement goes beyond the assertion of mere jurisdiction to reverse, it is dictum—and dictum inconsistent with the disposition in Wood, which was not to reverse but to vacate and remand for the trial court to conduct the inquiry it had omitted. Justice Souter labors to suggest that the Wood remand order is part of “a coherent scheme,” post, at 6, in which automatic reversal is required when the trial judge fails to inquire into a potential conflict that was apparent before the proceeding was “held or completed,” but a defendant must demonstrate adverse effect when the judge fails to inquire into a conflict that was not apparent before the end of the proceeding, post, at 14. The problem with this carefully concealed “coherent scheme” (no case has ever mentioned it) is that in Wood itself the court did not decree automatic reversal, even though it found that “the possibility of a conflict of interest was sufficiently apparent at the time of the revocation hearing to impose upon the court a duty to inquire further.” 450 U. S., at 272 (second emphasis added). Indeed, the State had actually notified the judge of a potential conflict of interest “ ‘[d]uring the probation revocation hearing.’ ” Id., at 272, and n. 20. Justice Souter’s statement that “the signs that a conflict may have occurred were clear to the judge at the close of the probation revocation proceeding,” post, at 13—when it became apparent that counsel had neglected the “strategy more obviously in the defendants’ interest, of requesting the court to reduce the fines or defer their collection,” post, at 10—would more accurately be phrased “the effect of the conflict upon counsel’s performance was clear to the judge at the close of the probation revocation proceeding.”

4 Justice Stevens asserts that this reading (and presumably Justice Souter’s reading as well, post, at 13), is wrong, post, at 9; that Wood only requires petitioner to show that a real conflict existed, not that it affected counsel’s performance, post, at 9–10. This is so because we “unambiguously stated” that a conviction must be reversed whenever the trial court fails to investigate a potential conflict, post, at 9 (citing Wood footnote). As we have explained earlier, n. 3, supra, this dictum simply contradicts the remand order in Wood.

5 We have used “actual conflict of interest” elsewhere to mean what was required to be shown in Sullivan. See United States v. Cronic, 466 U. S. 648, n. 31 (1984) (“[W]e have presumed prejudice when counsel labors under an actual conflict of interest … . See Cuyler v. Sullivan, 446 U. S. 335 (1980) ”). And we have used “conflict of interest” to mean a division of loyalties that affected counsel’s performance. In Holloway, 435 U. S., at 482, we described our earlier opinion in Glasser v. United States, 315 U. S. 60 (1942) , as follows: “The record disclosed that Stewart failed to cross-examine a Government witness whose testimony linked Glasser with the conspiracy and failed to object to the admission of arguably inadmissible evidence. This failure was viewed by the Court as a result of Stewart’s desire to protect Kretske’s interests, and was thus ‘indicative of Stewart’s struggle to serve two masters … .’ [315 U. S.], at 75. After identifying this conflict of interests, the Court declined to inquire whether the prejudice flowing from it was harmless and instead ordered Glasser’s conviction reversed.” (Emphasis added.) Thus, the Sullivan standard is not properly read as requiring inquiry into actual conflict as something separate and apart from adverse effect. An “actual conflict,” for Sixth Amendment purposes, is a conflict of interest that adversely affects counsel’s performance.

6 Federal Rule of Criminal Procedure 44(c) provides: “Whenever two or more defendants have been jointly charged pursuant to Rule 8(b) or have been joined for trial pursuant to Rule 13, and are represented by the same retained or assigned counsel or by retained or assigned counsel who are associated in the practice of law, the court shall promptly inquire with respect to such joint representation and shall personally advise each defendant of the right to the effective assistance of counsel, including separate representation. Unless it appears that there is good cause to believe no conflict of interest is likely to arise, the court shall take such measures as may be appropriate to protect each defendant’s right to counsel.”


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Opinion

WALTER MICKENS, Jr ., PETITIONER v.
JOHN TAYLOR, WARDEN

on writ of certiorari to the united states court of appeals for the fourth circuit


[March 27, 2002]

Justice Scalia delivered the opinion of the Court.

The question presented in this case is what a defendant must show in order to demonstrate a Sixth Amendment violation where the trial court fails to inquire into a potential conflict of interest about which it knew or reasonably should have known.

I

In 1993, a Virginia jury convicted petitioner Mickens of the premeditated murder of Timothy Hall during or following the commission of an attempted forcible sodomy. Finding the murder outrageously and wantonly vile, it sentenced petitioner to death. In June 1998, Mickens filed a petition for writ of habeas corpus, see 28 U. S. C. §2254 (1994 ed. and Supp. V), in the United States District Court for the Eastern District of Virginia, alleging, inter alia , that he was denied effective assistance of counsel because one of his court-appointed attorneys had a conflict of interest at trial. Federal habeas counsel had discovered that petitioner’s lead trial attorney, Bryan Saunders, was representing Hall (the victim) on assault and concealed-weapons charges at the time of the murder. Saunders had been appointed to represent Hall, a juvenile, on March 20, 1992, and had met with him once for 15 to 30 minutes some time the following week. Hall’s body was discovered on March 30, 1992, and four days later a juvenile court judge dismissed the charges against him, noting on the docket sheet that Hall was deceased. The one-page docket sheet also listed Saunders as Hall’s counsel. On April 6, 1992, the same judge appointed Saunders to represent petitioner. Saunders did not disclose to the court, his co-counsel, or petitioner that he had previously represented Hall. Under Virginia law, juvenile case files are confidential and may not generally be disclosed without a court order, see Va. Code Ann. §16.1–305 (1999), but petitioner learned about Saunders’ prior representation when a clerk mistakenly produced Hall’s file to federal habeas counsel.

The District Court held an evidentiary hearing and denied petitioner’s habeas petition. A divided panel of the Court of Appeals for the Fourth Circuit reversed, 227 F. 3d 203 (2000), and the Court of Appeals granted rehearing en banc, 240 F. 3d 348 (2001). As an initial matter, the 7-to-3 en banc majority determined that petitioner’s failure to raise his conflict-of-interest claim in state court did not preclude review, concluding that petitioner had established cause and that the “inquiry as to prejudice for purposes of excusing [petitioner’s] default … incorporates the test for evaluating his underlying conflict of interest claim.” Id., at 356–357. On the merits, the Court of Appeals assumed that the juvenile court judge had neglected a duty to inquire into a potential conflict, but rejected petitioner’s argument that this failure either mandated automatic reversal of his conviction or relieved him of the burden of showing that a conflict of interest adversely affected his representation. Relying on Cuyler v. Sullivan, 446 U. S. 335 (1980) , the court held that a defendant must show “both an actual conflict of interest and an adverse effect even if the trial court failed to inquire into a potential conflict about which it reasonably should have known,” 240 F. 3d, at 355–356. Concluding that petitioner had not demonstrated adverse effect, id ., at 360, it affirmed the District Court’s denial of habeas relief. We granted a stay of execution of petitioner’s sentence and granted certiorari. 532 U. S. 970 (2001) .

II

The Sixth Amendment provides that a criminal defendant shall have the right to “the assistance of counsel for his defence.” This right has been accorded, we have said, “not for its own sake, but because of the effect it has on the ability of the accused to receive a fair trial.” United States v. Cronic, 466 U. S. 648, 658 (1984) . It follows from this that assistance which is ineffective in preserving fairness does not meet the constitutional mandate, see Strickland v. Washington , 466 U. S. 668, 685–686 (1984) ; and it also follows that defects in assistance that have no probable effect upon the trial’s outcome do not establish a constitutional violation. As a general matter, a defendant alleging a Sixth Amendment violation must demonstrate “a reasonable probability that, but for counsel’s unprofessional errors, the result of the proceeding would have been different.” Id ., at 694.

There is an exception to this general rule. We have spared the defendant the need of showing probable effect upon the outcome, and have simply presumed such effect, where assistance of counsel has been denied entirely or during a critical stage of the proceeding. When that has occurred, the likelihood that the verdict is unreliable is so high that a case-by-case inquiry is unnecessary. See Cronic , supra, at 658–659; see also Geders v. United States, 425 U. S. 80, 91 (1976) ; Gideon v. Wainwright , 372 U. S. 335, 344–345 (1963) . But only in “circumstances of that magnitude” do we forgo individual inquiry into whether counsel’s inadequate performance undermined the reliability of the verdict. Cronic, supra, at 659, n. 26.

We have held in several cases that “circumstances of that magnitude” may also arise when the defendant’s attorney actively represented conflicting interests. The nub of the question before us is whether the principle established by these cases provides an exception to the general rule of Strickland under the circumstances of the present case. To answer that question, we must examine those cases in some detail. 1

In Holloway v. Arkansas, 435 U. S. 475 (1978) , defense counsel had objected that he could not adequately represent the divergent interests of three codefendants. Id., at 478–480. Without inquiry, the trial court had denied counsel’s motions for the appointment of separate counsel and had refused to allow counsel to cross-examine any of the defendants on behalf of the other two. The Holloway Court deferred to the judgment of counsel regarding the existence of a disabling conflict, recognizing that a defense attorney is in the best position to determine when a conflict exists, that he has an ethical obligation to advise the court of any problem, and that his declarations to the court are “virtually made under oath.” Id., at 485–486 (internal quotation marks omitted). Holloway presumed, moreover, that the conflict, “which [the defendant] and his counsel tried to avoid by timely objections to the joint representation,” id., at 490, undermined the adversarial process. The presumption was justified because joint representation of conflicting interests is inherently suspect, and because counsel’s conflicting obligations to multiple defendants “effectively sea[l] his lips on crucial matters” and make it difficult to measure the precise harm arising from counsel’s errors. Id., at 489–490. Holloway thus creates an automatic reversal rule only where defense counsel is forced to represent codefendants over his timely objection, unless the trial court has determined that there is no conflict. Id., at 488 (“[W]henever a trial court improperly requires joint representation over timely objection reversal is automatic”).

In Cuyler v. Sullivan, 446 U. S. 335 (1980) , the respondent was one of three defendants accused of murder who were tried separately, represented by the same counsel. Neither counsel nor anyone else objected to the multiple representation, and counsel’s opening argument at Sullivan’s trial suggested that the interests of the defendants were aligned. Id. , at 347–348. We declined to extend Holloway ’s automatic reversal rule to this situation and held that, absent objection, a defendant must demonstrate that “a conflict of interest actually affected the adequacy of his representation.” 446 U. S., at 348–349. In addition to describing the defendant’s burden of proof, Sullivan addressed separately a trial court’s duty to inquire into the propriety of a multiple representation, construing Holloway to require inquiry only when “the trial court knows or reasonably should know that a particular conflict exists,” 446 U. S., at 347 2 —which is not to be confused with when the trial court is aware of a vague, unspecified possibility of conflict, such as that which “inheres in almost every instance of multiple representation,” id ., at 348. In Sullivan , no “special circumstances” triggered the trial court’s duty to inquire. Id ., at 346.

Finally, in Wood v. Georgia , 450 U. S. 261 (1981) , three indigent defendants convicted of distributing obscene materials had their probation revoked for failure to make the requisite $500 monthly payments on their $5,000 fines. We granted certiorari to consider whether this violated the Equal Protection Clause, but during the course of our consideration certain disturbing circumstances came to our attention: At the probation-revocation hearing (as at all times since their arrest) the defendants had been represented by the lawyer for their employer (the owner of the business that purveyed the obscenity), and their employer paid the attorney’s fees. The employer had promised his employees he would pay their fines, and had generally kept that promise but had not done so in these defendants’ case. This record suggested that the employer’s interest in establishing a favorable equal-protection precedent (reducing the fines he would have to pay for his indigent employees in the future) diverged from the defendants’ interest in obtaining leniency or paying lesser fines to avoid imprisonment. Moreover, the possibility that counsel was actively representing the conflicting interests of employer and defendants “was sufficiently apparent at the time of the revocation hearing to impose upon the court a duty to inquire further.” Id., at 272. Because “[o]n the record before us, we [could not] be sure whether counsel was influenced in his basic strategic decisions by the interests of the employer who hired him,” ibid. , we remanded for the trial court “to determine whether the conflict of interest that this record strongly suggests actually existed,” id. , at 273.

Petitioner argues that the remand instruction in Wood established an “unambiguous rule” that where the trial judge neglects a duty to inquire into a potential conflict, the defendant, to obtain reversal of the judgment, need only show that his lawyer was subject to a conflict of interest, and need not show that the conflict adversely affected counsel’s performance. Brief for Petitioner 21. 3 He relies upon the language in the remand instruction directing the trial court to grant a new revocation hearing if it determines that “an actual conflict of interest existed,” Wood , 450 U. S., at 273, without requiring a further determination that the conflict adversely affected counsel’s performance. As used in the remand instruction, however, we think “an actual conflict of interest” meant precisely a conflict that affected counsel’s performance —as opposed to a mere theoretical division of loyalties. It was shorthand for the statement in Sullivan that “a defendant who shows that a conflict of interest actually affected the adequacy of his representation need not demonstrate prejudice in order to obtain relief.” 446 U. S., at 349–350 (emphasis added). 4 This is the only interpretation consistent with the Wood Court’s earlier description of why it could not decide the case without a remand: “On the record before us, we cannot be sure whether counsel was influenced in his basic strategic decisions by the interests of the employer who hired him. If this was the case , the due process rights of petitioners were not respected … .” 450 U. S., at 272 (emphasis added). The notion that Wood created a new rule sub silentio —and in a case where certiorari had been granted on an entirely different question, and the parties had neither briefed nor argued the conflict-of-interest issue—is implausible. 5

Petitioner’s proposed rule of automatic reversal when there existed a conflict that did not affect counsel’s performance, but the trial judge failed to make the Sullivan -mandated inquiry, makes little policy sense. As discussed, the rule applied when the trial judge is not aware of the conflict (and thus not obligated to inquire) is that prejudice will be presumed only if the conflict has significantly affected counsel’s performance—thereby rendering the verdict unreliable, even though Strickland prejudice cannot be shown. See Sullivan, supra , at 348–349. The trial court’s awareness of a potential conflict neither renders it more likely that counsel’s performance was significantly affected nor in any other way renders the verdict unreliable. Cf. United States v. Cronic , 466 U. S., at 662, n. 31. Nor does the trial judge’s failure to make the Sullivan -mandated inquiry often make it harder for reviewing courts to determine conflict and effect, particularly since those courts may rely on evidence and testimony whose importance only becomes established at the trial.

Nor, finally, is automatic reversal simply an appropriate means of enforcing Sullivan ’s mandate of inquiry. Despite Justice Souter ’s belief that there must be a threat of sanction (to-wit, the risk of conferring a windfall upon the defendant) in order to induce “resolutely obdurate” trial judges to follow the law, post , at 20, we do not presume that judges are as careless or as partial as those police officers who need the incentive of the exclusionary rule, see United States v. Leon, 468 U. S. 897, 916–917 (1984) . And in any event, the Sullivan standard, which requires proof of effect upon representation but (once such effect is shown) presumes prejudice, already creates an “incentive” to inquire into a potential conflict. In those cases where the potential conflict is in fact an actual one, only inquiry will enable the judge to avoid all possibility of reversal by either seeking waiver or replacing a conflicted attorney. We doubt that the deterrence of “judicial dereliction” that would be achieved by an automatic reversal rule is significantly greater.

Since this was not a case in which (as in Holloway ) counsel protested his inability simultaneously to represent multiple defendants; and since the trial court’s failure to make the Sullivan -mandated inquiry does not reduce the petitioner’s burden of proof; it was at least necessary, to void the conviction, for petitioner to establish that the conflict of interest adversely affected his counsel’s performance. The Court of Appeals having found no such effect, see 240 F. 3d, at 360, the denial of habeas relief must be affirmed.

III

Lest today’s holding be misconstrued, we note that the only question presented was the effect of a trial court’s failure to inquire into a potential conflict upon the Sullivan rule that deficient performance of counsel must be shown. The case was presented and argued on the assumption that (absent some exception for failure to inquire) Sullivan would be applicable—requiring a showing of defective performance, but not requiring in addition (as Strickland does in other ineffectiveness-of-counsel cases), a showing of probable effect upon the outcome of trial. That assumption was not unreasonable in light of the holdings of Courts of Appeals, which have applied Sullivan “unblinkingly” to “all kinds of alleged attorney ethical conflicts,” Beets v. Scott , 65 F. 3d 1258, 1266 (CA5 1995) (en banc). They have invoked the Sullivan standard not only when (as here) there is a conflict rooted in counsel’s obligations to former clients, see, e.g., Perillo v. Johnson , 205 F. 3d 775, 797–799 (CA5 2001); Freund v. Butterworth , 165 F. 3d 839, 858–860 (CA11 1999); Mannhalt v. Reed , 847 F. 2d 576, 580 (CA9 1988); United States v. Young , 644 F. 2d 1008, 1013 (CA4 1981), but even when representation of the defendant somehow implicates counsel’s personal or financial interests, including a book deal, United States v. Hearst , 638 F. 2d 1190, 1193 (CA9 1980), a job with the prosecutor’s office, Garcia v. Bunnell , 33 F. 3d 1193, 1194–1195, 1198, n. 4 (CA9 1994), the teaching of classes to Internal Revenue Service agents, United States v. Michaud , 925 F. 2d 37, 40–42 (CA1 1991), a romantic “entanglement” with the prosecutor, Summerlin v. Stewart , 267 F. 3d 926, 935–941 (CA9 2001), or fear of antagonizing the trial judge, United States v. Sayan , 968 F. 2d 55, 64–65 (CADC 1992).

It must be said, however, that the language of Sullivan itself does not clearly establish, or indeed even support, such expansive application. “[U]ntil,” it said, “a defendant shows that his counsel actively represented conflicting interests, he has not established the constitutional predicate for his claim of ineffective assistance.” 446 U. S., at 350 (emphasis added). Both Sullivan itself, see id ., at 348–349, and Holloway , see 435 U. S., at 490–491, stressed the high probability of prejudice arising from multiple concurrent representation, and the difficulty of proving that prejudice. See also Geer, Representation of Multiple Criminal Defendants: Conflicts of Interest and the Professional Responsibilities of the Defense Attorney, 62 Minn. L. Rev. 119, 125–140 (1978); Lowenthal, Joint Representation in Criminal Cases: A Critical Appraisal, 64 Va. L. Rev. 939, 941–950 (1978). Not all attorney conflicts present comparable difficulties. Thus, the Federal Rules of Criminal Procedure treat concurrent representation and prior representation differently, requiring a trial court to inquire into the likelihood of conflict whenever jointly charged defendants are represented by a single attorney (Rule 44(c)), but not when counsel previously represented another defendant in a substantially related matter, even where the trial court is aware of the prior representation. 6 See Sullivan , supra, at 346, n. 10 (citing the Rule).

This is not to suggest that one ethical duty is more or less important than another. The purpose of our Holloway and Sullivan exceptions from the ordinary requirements of Strickland , however, is not to enforce the Canons of Legal Ethics, but to apply needed prophylaxis in situations where Strickland itself is evidently inadequate to assure vindication of the defendant’s Sixth Amendment right to counsel. See Nix v. Whiteside, 475 U. S. 157, 165 (1986) (“[B]reach of an ethical standard does not necessarily make out a denial of the Sixth Amendment guarantee of assistance of counsel”). In resolving this case on the grounds on which it was presented to us, we do not rule upon the need for the Sullivan prophylaxis in cases of successive representation. Whether Sullivan should be extended to such cases remains, as far as the jurisprudence of this Court is concerned, an open question.

* * *

For the reasons stated, the judgment of the Court of Appeals is

Affirmed.


Notes

1 Justice Breyer rejects Holloway v. Arkansas, 435 U. S. 475 (1978) , Cuyler v. Sullivan, 446 U. S. 335 (1980) , and Wood v. Georgia, 450 U. S. 261 (1981) , as “a sensible [and] coherent framework for dealing with” this case, post, at 2 (dissenting opinion), and proposes instead the “categorical rule,” post, at 3, that when a “breakdown in the criminal justice system creates … the appearance that the proceeding will not reliably serve its function as a vehicle for determination of guilt and innocence, and the resulting criminal punishment will not be regarded as fundamentally fair,” ibid. (internal quotation marks omitted), reversal must be decreed without proof of prejudice. This seems to us less a categorical rule of decision than a restatement of the issue to be decided. Holloway, Sullivan, and Wood establish the framework that they do precisely because that framework is thought to identify the situations in which the conviction will reasonably not be regarded as fundamentally fair. We believe it eminently performs that function in the case at hand, and that Justice Breyer is mistaken to think otherwise. But if he does think otherwise, a proper regard for the judicial function—and especially for the function of this Court, which must lay down rules that can be followed in the innumerable cases we are unable to review—would counsel that he propose some other “sensible and coherent framework,” rather than merely saying that prior representation of the victim, plus the capital nature of the case, plus judicial appointment of the counsel, see post, at 2, strikes him as producing a result that will not be regarded as fundamentally fair. This is not a rule of law but expression of an ad hoc “fairness” judgment (with which we disagree).

2 In order to circumvent Sullivan’s clear language, Justice Stevens suggests that a trial court must scrutinize representation by appointed counsel more closely than representation by retained counsel. Post, at 6–7 (dissenting opinion). But we have already rejected the notion that the Sixth Amendment draws such a distinction. “A proper respect for the Sixth Amendment disarms [the] contention that defendants who retain their own lawyers are entitled to less protection than defendants for whom the State appoints counsel … . The vital guarantee of the Sixth Amendment would stand for little if the often uninformed decision to retain a particular lawyer could reduce or forfeit the defendant’s entitlement to constitutional protection.” Cuyler v. Sullivan, 446 U. S. 335, 344 (1980) .

3 Petitioner no longer argues, as he did below and as Justice Souter does now, post, at 14 (dissenting opinion), that the Sixth Amendment requires reversal of his conviction without further inquiry into whether the potential conflict that the judge should have investigated was real. Compare 240 F. 3d 348, 357 (CA4 2001) (en banc), with Tr. of Oral Arg. 23–25. Some Courts of Appeals have read a footnote in Wood v. Georgia, 450 U. S. 261, n. 18 (1981), as establishing that outright reversal is mandated when the trial court neglects a duty to inquire into a potential conflict of interest. See, e.g., Campbell v. Rice, 265 F. 3d 878, 884–885, 888 (CA9 2001); Ciak v. United States, 59 F. 3d 296, 302 (CA2 1995). But see Brien v. United States, 695 F. 2d 10, 15, n. 10 (CA1 1982). The Wood footnote says that Sullivan does not preclude “raising … a conflict-of-interest problem that is apparent in the record” and that “Sullivan mandates a reversal when the trial court has failed to make [the requisite] inquiry.” Wood, supra, at 272, n. 18. These statements were made in response to the dissent’s contention that the majority opinion had “gone beyond” Cuyler v. Sullivan, ibid., in reaching a conflict-of-interest due-process claim that had been raised neither in the petition for certiorari nor before the state courts, see 450 U. S., at 280 (White, J., dissenting). To the extent the “mandates a reversal” statement goes beyond the assertion of mere jurisdiction to reverse, it is dictum—and dictum inconsistent with the disposition in Wood, which was not to reverse but to vacate and remand for the trial court to conduct the inquiry it had omitted. Justice Souter labors to suggest that the Wood remand order is part of “a coherent scheme,” post, at 6, in which automatic reversal is required when the trial judge fails to inquire into a potential conflict that was apparent before the proceeding was “held or completed,” but a defendant must demonstrate adverse effect when the judge fails to inquire into a conflict that was not apparent before the end of the proceeding, post, at 14. The problem with this carefully concealed “coherent scheme” (no case has ever mentioned it) is that in Wood itself the court did not decree automatic reversal, even though it found that “the possibility of a conflict of interest was sufficiently apparent at the time of the revocation hearing to impose upon the court a duty to inquire further.” 450 U. S., at 272 (second emphasis added). Indeed, the State had actually notified the judge of a potential conflict of interest “ ‘[d]uring the probation revocation hearing.’ ” Id., at 272, and n. 20. Justice Souter’s statement that “the signs that a conflict may have occurred were clear to the judge at the close of the probation revocation proceeding,” post, at 13—when it became apparent that counsel had neglected the “strategy more obviously in the defendants’ interest, of requesting the court to reduce the fines or defer their collection,” post, at 10—would more accurately be phrased “the effect of the conflict upon counsel’s performance was clear to the judge at the close of the probation revocation proceeding.”

4 Justice Stevens asserts that this reading (and presumably Justice Souter’s reading as well, post, at 13), is wrong, post, at 9; that Wood only requires petitioner to show that a real conflict existed, not that it affected counsel’s performance, post, at 9–10. This is so because we “unambiguously stated” that a conviction must be reversed whenever the trial court fails to investigate a potential conflict, post, at 9 (citing Wood footnote). As we have explained earlier, n. 3, supra, this dictum simply contradicts the remand order in Wood.

5 We have used “actual conflict of interest” elsewhere to mean what was required to be shown in Sullivan. See United States v. Cronic, 466 U. S. 648, n. 31 (1984) (“[W]e have presumed prejudice when counsel labors under an actual conflict of interest … . See Cuyler v. Sullivan, 446 U. S. 335 (1980) ”). And we have used “conflict of interest” to mean a division of loyalties that affected counsel’s performance. In Holloway, 435 U. S., at 482, we described our earlier opinion in Glasser v. United States, 315 U. S. 60 (1942) , as follows: “The record disclosed that Stewart failed to cross-examine a Government witness whose testimony linked Glasser with the conspiracy and failed to object to the admission of arguably inadmissible evidence. This failure was viewed by the Court as a result of Stewart’s desire to protect Kretske’s interests, and was thus ‘indicative of Stewart’s struggle to serve two masters … .’ [315 U. S.], at 75. After identifying this conflict of interests, the Court declined to inquire whether the prejudice flowing from it was harmless and instead ordered Glasser’s conviction reversed.” (Emphasis added.) Thus, the Sullivan standard is not properly read as requiring inquiry into actual conflict as something separate and apart from adverse effect. An “actual conflict,” for Sixth Amendment purposes, is a conflict of interest that adversely affects counsel’s performance.

6 Federal Rule of Criminal Procedure 44(c) provides: “Whenever two or more defendants have been jointly charged pursuant to Rule 8(b) or have been joined for trial pursuant to Rule 13, and are represented by the same retained or assigned counsel or by retained or assigned counsel who are associated in the practice of law, the court shall promptly inquire with respect to such joint representation and shall personally advise each defendant of the right to the effective assistance of counsel, including separate representation. Unless it appears that there is good cause to believe no conflict of interest is likely to arise, the court shall take such measures as may be appropriate to protect each defendant’s right to counsel.”


TOP

Opinion

WALTER MICKENS, Jr ., PETITIONER v.
JOHN TAYLOR, WARDEN

on writ of certiorari to the united states court of appeals for the fourth circuit


[March 27, 2002]

Justice Scalia delivered the opinion of the Court.

The question presented in this case is what a defendant must show in order to demonstrate a Sixth Amendment violation where the trial court fails to inquire into a potential conflict of interest about which it knew or reasonably should have known.

I

In 1993, a Virginia jury convicted petitioner Mickens of the premeditated murder of Timothy Hall during or following the commission of an attempted forcible sodomy. Finding the murder outrageously and wantonly vile, it sentenced petitioner to death. In June 1998, Mickens filed a petition for writ of habeas corpus, see 28 U. S. C. §2254 (1994 ed. and Supp. V), in the United States District Court for the Eastern District of Virginia, alleging, inter alia , that he was denied effective assistance of counsel because one of his court-appointed attorneys had a conflict of interest at trial. Federal habeas counsel had discovered that petitioner’s lead trial attorney, Bryan Saunders, was representing Hall (the victim) on assault and concealed-weapons charges at the time of the murder. Saunders had been appointed to represent Hall, a juvenile, on March 20, 1992, and had met with him once for 15 to 30 minutes some time the following week. Hall’s body was discovered on March 30, 1992, and four days later a juvenile court judge dismissed the charges against him, noting on the docket sheet that Hall was deceased. The one-page docket sheet also listed Saunders as Hall’s counsel. On April 6, 1992, the same judge appointed Saunders to represent petitioner. Saunders did not disclose to the court, his co-counsel, or petitioner that he had previously represented Hall. Under Virginia law, juvenile case files are confidential and may not generally be disclosed without a court order, see Va. Code Ann. §16.1–305 (1999), but petitioner learned about Saunders’ prior representation when a clerk mistakenly produced Hall’s file to federal habeas counsel.

The District Court held an evidentiary hearing and denied petitioner’s habeas petition. A divided panel of the Court of Appeals for the Fourth Circuit reversed, 227 F. 3d 203 (2000), and the Court of Appeals granted rehearing en banc, 240 F. 3d 348 (2001). As an initial matter, the 7-to-3 en banc majority determined that petitioner’s failure to raise his conflict-of-interest claim in state court did not preclude review, concluding that petitioner had established cause and that the “inquiry as to prejudice for purposes of excusing [petitioner’s] default … incorporates the test for evaluating his underlying conflict of interest claim.” Id., at 356–357. On the merits, the Court of Appeals assumed that the juvenile court judge had neglected a duty to inquire into a potential conflict, but rejected petitioner’s argument that this failure either mandated automatic reversal of his conviction or relieved him of the burden of showing that a conflict of interest adversely affected his representation. Relying on Cuyler v. Sullivan, 446 U. S. 335 (1980) , the court held that a defendant must show “both an actual conflict of interest and an adverse effect even if the trial court failed to inquire into a potential conflict about which it reasonably should have known,” 240 F. 3d, at 355–356. Concluding that petitioner had not demonstrated adverse effect, id ., at 360, it affirmed the District Court’s denial of habeas relief. We granted a stay of execution of petitioner’s sentence and granted certiorari. 532 U. S. 970 (2001) .

II

The Sixth Amendment provides that a criminal defendant shall have the right to “the assistance of counsel for his defence.” This right has been accorded, we have said, “not for its own sake, but because of the effect it has on the ability of the accused to receive a fair trial.” United States v. Cronic, 466 U. S. 648, 658 (1984) . It follows from this that assistance which is ineffective in preserving fairness does not meet the constitutional mandate, see Strickland v. Washington , 466 U. S. 668, 685–686 (1984) ; and it also follows that defects in assistance that have no probable effect upon the trial’s outcome do not establish a constitutional violation. As a general matter, a defendant alleging a Sixth Amendment violation must demonstrate “a reasonable probability that, but for counsel’s unprofessional errors, the result of the proceeding would have been different.” Id ., at 694.

There is an exception to this general rule. We have spared the defendant the need of showing probable effect upon the outcome, and have simply presumed such effect, where assistance of counsel has been denied entirely or during a critical stage of the proceeding. When that has occurred, the likelihood that the verdict is unreliable is so high that a case-by-case inquiry is unnecessary. See Cronic , supra, at 658–659; see also Geders v. United States, 425 U. S. 80, 91 (1976) ; Gideon v. Wainwright , 372 U. S. 335, 344–345 (1963) . But only in “circumstances of that magnitude” do we forgo individual inquiry into whether counsel’s inadequate performance undermined the reliability of the verdict. Cronic, supra, at 659, n. 26.

We have held in several cases that “circumstances of that magnitude” may also arise when the defendant’s attorney actively represented conflicting interests. The nub of the question before us is whether the principle established by these cases provides an exception to the general rule of Strickland under the circumstances of the present case. To answer that question, we must examine those cases in some detail. 1

In Holloway v. Arkansas, 435 U. S. 475 (1978) , defense counsel had objected that he could not adequately represent the divergent interests of three codefendants. Id., at 478–480. Without inquiry, the trial court had denied counsel’s motions for the appointment of separate counsel and had refused to allow counsel to cross-examine any of the defendants on behalf of the other two. The Holloway Court deferred to the judgment of counsel regarding the existence of a disabling conflict, recognizing that a defense attorney is in the best position to determine when a conflict exists, that he has an ethical obligation to advise the court of any problem, and that his declarations to the court are “virtually made under oath.” Id., at 485–486 (internal quotation marks omitted). Holloway presumed, moreover, that the conflict, “which [the defendant] and his counsel tried to avoid by timely objections to the joint representation,” id., at 490, undermined the adversarial process. The presumption was justified because joint representation of conflicting interests is inherently suspect, and because counsel’s conflicting obligations to multiple defendants “effectively sea[l] his lips on crucial matters” and make it difficult to measure the precise harm arising from counsel’s errors. Id., at 489–490. Holloway thus creates an automatic reversal rule only where defense counsel is forced to represent codefendants over his timely objection, unless the trial court has determined that there is no conflict. Id., at 488 (“[W]henever a trial court improperly requires joint representation over timely objection reversal is automatic”).

In Cuyler v. Sullivan, 446 U. S. 335 (1980) , the respondent was one of three defendants accused of murder who were tried separately, represented by the same counsel. Neither counsel nor anyone else objected to the multiple representation, and counsel’s opening argument at Sullivan’s trial suggested that the interests of the defendants were aligned. Id. , at 347–348. We declined to extend Holloway ’s automatic reversal rule to this situation and held that, absent objection, a defendant must demonstrate that “a conflict of interest actually affected the adequacy of his representation.” 446 U. S., at 348–349. In addition to describing the defendant’s burden of proof, Sullivan addressed separately a trial court’s duty to inquire into the propriety of a multiple representation, construing Holloway to require inquiry only when “the trial court knows or reasonably should know that a particular conflict exists,” 446 U. S., at 347 2 —which is not to be confused with when the trial court is aware of a vague, unspecified possibility of conflict, such as that which “inheres in almost every instance of multiple representation,” id ., at 348. In Sullivan , no “special circumstances” triggered the trial court’s duty to inquire. Id ., at 346.

Finally, in Wood v. Georgia , 450 U. S. 261 (1981) , three indigent defendants convicted of distributing obscene materials had their probation revoked for failure to make the requisite $500 monthly payments on their $5,000 fines. We granted certiorari to consider whether this violated the Equal Protection Clause, but during the course of our consideration certain disturbing circumstances came to our attention: At the probation-revocation hearing (as at all times since their arrest) the defendants had been represented by the lawyer for their employer (the owner of the business that purveyed the obscenity), and their employer paid the attorney’s fees. The employer had promised his employees he would pay their fines, and had generally kept that promise but had not done so in these defendants’ case. This record suggested that the employer’s interest in establishing a favorable equal-protection precedent (reducing the fines he would have to pay for his indigent employees in the future) diverged from the defendants’ interest in obtaining leniency or paying lesser fines to avoid imprisonment. Moreover, the possibility that counsel was actively representing the conflicting interests of employer and defendants “was sufficiently apparent at the time of the revocation hearing to impose upon the court a duty to inquire further.” Id., at 272. Because “[o]n the record before us, we [could not] be sure whether counsel was influenced in his basic strategic decisions by the interests of the employer who hired him,” ibid. , we remanded for the trial court “to determine whether the conflict of interest that this record strongly suggests actually existed,” id. , at 273.

Petitioner argues that the remand instruction in Wood established an “unambiguous rule” that where the trial judge neglects a duty to inquire into a potential conflict, the defendant, to obtain reversal of the judgment, need only show that his lawyer was subject to a conflict of interest, and need not show that the conflict adversely affected counsel’s performance. Brief for Petitioner 21. 3 He relies upon the language in the remand instruction directing the trial court to grant a new revocation hearing if it determines that “an actual conflict of interest existed,” Wood , 450 U. S., at 273, without requiring a further determination that the conflict adversely affected counsel’s performance. As used in the remand instruction, however, we think “an actual conflict of interest” meant precisely a conflict that affected counsel’s performance —as opposed to a mere theoretical division of loyalties. It was shorthand for the statement in Sullivan that “a defendant who shows that a conflict of interest actually affected the adequacy of his representation need not demonstrate prejudice in order to obtain relief.” 446 U. S., at 349–350 (emphasis added). 4 This is the only interpretation consistent with the Wood Court’s earlier description of why it could not decide the case without a remand: “On the record before us, we cannot be sure whether counsel was influenced in his basic strategic decisions by the interests of the employer who hired him. If this was the case , the due process rights of petitioners were not respected … .” 450 U. S., at 272 (emphasis added). The notion that Wood created a new rule sub silentio —and in a case where certiorari had been granted on an entirely different question, and the parties had neither briefed nor argued the conflict-of-interest issue—is implausible. 5

Petitioner’s proposed rule of automatic reversal when there existed a conflict that did not affect counsel’s performance, but the trial judge failed to make the Sullivan -mandated inquiry, makes little policy sense. As discussed, the rule applied when the trial judge is not aware of the conflict (and thus not obligated to inquire) is that prejudice will be presumed only if the conflict has significantly affected counsel’s performance—thereby rendering the verdict unreliable, even though Strickland prejudice cannot be shown. See Sullivan, supra , at 348–349. The trial court’s awareness of a potential conflict neither renders it more likely that counsel’s performance was significantly affected nor in any other way renders the verdict unreliable. Cf. United States v. Cronic , 466 U. S., at 662, n. 31. Nor does the trial judge’s failure to make the Sullivan -mandated inquiry often make it harder for reviewing courts to determine conflict and effect, particularly since those courts may rely on evidence and testimony whose importance only becomes established at the trial.

Nor, finally, is automatic reversal simply an appropriate means of enforcing Sullivan ’s mandate of inquiry. Despite Justice Souter ’s belief that there must be a threat of sanction (to-wit, the risk of conferring a windfall upon the defendant) in order to induce “resolutely obdurate” trial judges to follow the law, post , at 20, we do not presume that judges are as careless or as partial as those police officers who need the incentive of the exclusionary rule, see United States v. Leon, 468 U. S. 897, 916–917 (1984) . And in any event, the Sullivan standard, which requires proof of effect upon representation but (once such effect is shown) presumes prejudice, already creates an “incentive” to inquire into a potential conflict. In those cases where the potential conflict is in fact an actual one, only inquiry will enable the judge to avoid all possibility of reversal by either seeking waiver or replacing a conflicted attorney. We doubt that the deterrence of “judicial dereliction” that would be achieved by an automatic reversal rule is significantly greater.

Since this was not a case in which (as in Holloway ) counsel protested his inability simultaneously to represent multiple defendants; and since the trial court’s failure to make the Sullivan -mandated inquiry does not reduce the petitioner’s burden of proof; it was at least necessary, to void the conviction, for petitioner to establish that the conflict of interest adversely affected his counsel’s performance. The Court of Appeals having found no such effect, see 240 F. 3d, at 360, the denial of habeas relief must be affirmed.

III

Lest today’s holding be misconstrued, we note that the only question presented was the effect of a trial court’s failure to inquire into a potential conflict upon the Sullivan rule that deficient performance of counsel must be shown. The case was presented and argued on the assumption that (absent some exception for failure to inquire) Sullivan would be applicable—requiring a showing of defective performance, but not requiring in addition (as Strickland does in other ineffectiveness-of-counsel cases), a showing of probable effect upon the outcome of trial. That assumption was not unreasonable in light of the holdings of Courts of Appeals, which have applied Sullivan “unblinkingly” to “all kinds of alleged attorney ethical conflicts,” Beets v. Scott , 65 F. 3d 1258, 1266 (CA5 1995) (en banc). They have invoked the Sullivan standard not only when (as here) there is a conflict rooted in counsel’s obligations to former clients, see, e.g., Perillo v. Johnson , 205 F. 3d 775, 797–799 (CA5 2001); Freund v. Butterworth , 165 F. 3d 839, 858–860 (CA11 1999); Mannhalt v. Reed , 847 F. 2d 576, 580 (CA9 1988); United States v. Young , 644 F. 2d 1008, 1013 (CA4 1981), but even when representation of the defendant somehow implicates counsel’s personal or financial interests, including a book deal, United States v. Hearst , 638 F. 2d 1190, 1193 (CA9 1980), a job with the prosecutor’s office, Garcia v. Bunnell , 33 F. 3d 1193, 1194–1195, 1198, n. 4 (CA9 1994), the teaching of classes to Internal Revenue Service agents, United States v. Michaud , 925 F. 2d 37, 40–42 (CA1 1991), a romantic “entanglement” with the prosecutor, Summerlin v. Stewart , 267 F. 3d 926, 935–941 (CA9 2001), or fear of antagonizing the trial judge, United States v. Sayan , 968 F. 2d 55, 64–65 (CADC 1992).

It must be said, however, that the language of Sullivan itself does not clearly establish, or indeed even support, such expansive application. “[U]ntil,” it said, “a defendant shows that his counsel actively represented conflicting interests, he has not established the constitutional predicate for his claim of ineffective assistance.” 446 U. S., at 350 (emphasis added). Both Sullivan itself, see id ., at 348–349, and Holloway , see 435 U. S., at 490–491, stressed the high probability of prejudice arising from multiple concurrent representation, and the difficulty of proving that prejudice. See also Geer, Representation of Multiple Criminal Defendants: Conflicts of Interest and the Professional Responsibilities of the Defense Attorney, 62 Minn. L. Rev. 119, 125–140 (1978); Lowenthal, Joint Representation in Criminal Cases: A Critical Appraisal, 64 Va. L. Rev. 939, 941–950 (1978). Not all attorney conflicts present comparable difficulties. Thus, the Federal Rules of Criminal Procedure treat concurrent representation and prior representation differently, requiring a trial court to inquire into the likelihood of conflict whenever jointly charged defendants are represented by a single attorney (Rule 44(c)), but not when counsel previously represented another defendant in a substantially related matter, even where the trial court is aware of the prior representation. 6 See Sullivan , supra, at 346, n. 10 (citing the Rule).

This is not to suggest that one ethical duty is more or less important than another. The purpose of our Holloway and Sullivan exceptions from the ordinary requirements of Strickland , however, is not to enforce the Canons of Legal Ethics, but to apply needed prophylaxis in situations where Strickland itself is evidently inadequate to assure vindication of the defendant’s Sixth Amendment right to counsel. See Nix v. Whiteside, 475 U. S. 157, 165 (1986) (“[B]reach of an ethical standard does not necessarily make out a denial of the Sixth Amendment guarantee of assistance of counsel”). In resolving this case on the grounds on which it was presented to us, we do not rule upon the need for the Sullivan prophylaxis in cases of successive representation. Whether Sullivan should be extended to such cases remains, as far as the jurisprudence of this Court is concerned, an open question.

* * *

For the reasons stated, the judgment of the Court of Appeals is

Affirmed.


Notes

1 Justice Breyer rejects Holloway v. Arkansas, 435 U. S. 475 (1978) , Cuyler v. Sullivan, 446 U. S. 335 (1980) , and Wood v. Georgia, 450 U. S. 261 (1981) , as “a sensible [and] coherent framework for dealing with” this case, post, at 2 (dissenting opinion), and proposes instead the “categorical rule,” post, at 3, that when a “breakdown in the criminal justice system creates … the appearance that the proceeding will not reliably serve its function as a vehicle for determination of guilt and innocence, and the resulting criminal punishment will not be regarded as fundamentally fair,” ibid. (internal quotation marks omitted), reversal must be decreed without proof of prejudice. This seems to us less a categorical rule of decision than a restatement of the issue to be decided. Holloway, Sullivan, and Wood establish the framework that they do precisely because that framework is thought to identify the situations in which the conviction will reasonably not be regarded as fundamentally fair. We believe it eminently performs that function in the case at hand, and that Justice Breyer is mistaken to think otherwise. But if he does think otherwise, a proper regard for the judicial function—and especially for the function of this Court, which must lay down rules that can be followed in the innumerable cases we are unable to review—would counsel that he propose some other “sensible and coherent framework,” rather than merely saying that prior representation of the victim, plus the capital nature of the case, plus judicial appointment of the counsel, see post, at 2, strikes him as producing a result that will not be regarded as fundamentally fair. This is not a rule of law but expression of an ad hoc “fairness” judgment (with which we disagree).

2 In order to circumvent Sullivan’s clear language, Justice Stevens suggests that a trial court must scrutinize representation by appointed counsel more closely than representation by retained counsel. Post, at 6–7 (dissenting opinion). But we have already rejected the notion that the Sixth Amendment draws such a distinction. “A proper respect for the Sixth Amendment disarms [the] contention that defendants who retain their own lawyers are entitled to less protection than defendants for whom the State appoints counsel … . The vital guarantee of the Sixth Amendment would stand for little if the often uninformed decision to retain a particular lawyer could reduce or forfeit the defendant’s entitlement to constitutional protection.” Cuyler v. Sullivan, 446 U. S. 335, 344 (1980) .

3 Petitioner no longer argues, as he did below and as Justice Souter does now, post, at 14 (dissenting opinion), that the Sixth Amendment requires reversal of his conviction without further inquiry into whether the potential conflict that the judge should have investigated was real. Compare 240 F. 3d 348, 357 (CA4 2001) (en banc), with Tr. of Oral Arg. 23–25. Some Courts of Appeals have read a footnote in Wood v. Georgia, 450 U. S. 261, n. 18 (1981), as establishing that outright reversal is mandated when the trial court neglects a duty to inquire into a potential conflict of interest. See, e.g., Campbell v. Rice, 265 F. 3d 878, 884–885, 888 (CA9 2001); Ciak v. United States, 59 F. 3d 296, 302 (CA2 1995). But see Brien v. United States, 695 F. 2d 10, 15, n. 10 (CA1 1982). The Wood footnote says that Sullivan does not preclude “raising … a conflict-of-interest problem that is apparent in the record” and that “Sullivan mandates a reversal when the trial court has failed to make [the requisite] inquiry.” Wood, supra, at 272, n. 18. These statements were made in response to the dissent’s contention that the majority opinion had “gone beyond” Cuyler v. Sullivan, ibid., in reaching a conflict-of-interest due-process claim that had been raised neither in the petition for certiorari nor before the state courts, see 450 U. S., at 280 (White, J., dissenting). To the extent the “mandates a reversal” statement goes beyond the assertion of mere jurisdiction to reverse, it is dictum—and dictum inconsistent with the disposition in Wood, which was not to reverse but to vacate and remand for the trial court to conduct the inquiry it had omitted. Justice Souter labors to suggest that the Wood remand order is part of “a coherent scheme,” post, at 6, in which automatic reversal is required when the trial judge fails to inquire into a potential conflict that was apparent before the proceeding was “held or completed,” but a defendant must demonstrate adverse effect when the judge fails to inquire into a conflict that was not apparent before the end of the proceeding, post, at 14. The problem with this carefully concealed “coherent scheme” (no case has ever mentioned it) is that in Wood itself the court did not decree automatic reversal, even though it found that “the possibility of a conflict of interest was sufficiently apparent at the time of the revocation hearing to impose upon the court a duty to inquire further.” 450 U. S., at 272 (second emphasis added). Indeed, the State had actually notified the judge of a potential conflict of interest “ ‘[d]uring the probation revocation hearing.’ ” Id., at 272, and n. 20. Justice Souter’s statement that “the signs that a conflict may have occurred were clear to the judge at the close of the probation revocation proceeding,” post, at 13—when it became apparent that counsel had neglected the “strategy more obviously in the defendants’ interest, of requesting the court to reduce the fines or defer their collection,” post, at 10—would more accurately be phrased “the effect of the conflict upon counsel’s performance was clear to the judge at the close of the probation revocation proceeding.”

4 Justice Stevens asserts that this reading (and presumably Justice Souter’s reading as well, post, at 13), is wrong, post, at 9; that Wood only requires petitioner to show that a real conflict existed, not that it affected counsel’s performance, post, at 9–10. This is so because we “unambiguously stated” that a conviction must be reversed whenever the trial court fails to investigate a potential conflict, post, at 9 (citing Wood footnote). As we have explained earlier, n. 3, supra, this dictum simply contradicts the remand order in Wood.

5 We have used “actual conflict of interest” elsewhere to mean what was required to be shown in Sullivan. See United States v. Cronic, 466 U. S. 648, n. 31 (1984) (“[W]e have presumed prejudice when counsel labors under an actual conflict of interest … . See Cuyler v. Sullivan, 446 U. S. 335 (1980) ”). And we have used “conflict of interest” to mean a division of loyalties that affected counsel’s performance. In Holloway, 435 U. S., at 482, we described our earlier opinion in Glasser v. United States, 315 U. S. 60 (1942) , as follows: “The record disclosed that Stewart failed to cross-examine a Government witness whose testimony linked Glasser with the conspiracy and failed to object to the admission of arguably inadmissible evidence. This failure was viewed by the Court as a result of Stewart’s desire to protect Kretske’s interests, and was thus ‘indicative of Stewart’s struggle to serve two masters … .’ [315 U. S.], at 75. After identifying this conflict of interests, the Court declined to inquire whether the prejudice flowing from it was harmless and instead ordered Glasser’s conviction reversed.” (Emphasis added.) Thus, the Sullivan standard is not properly read as requiring inquiry into actual conflict as something separate and apart from adverse effect. An “actual conflict,” for Sixth Amendment purposes, is a conflict of interest that adversely affects counsel’s performance.

6 Federal Rule of Criminal Procedure 44(c) provides: “Whenever two or more defendants have been jointly charged pursuant to Rule 8(b) or have been joined for trial pursuant to Rule 13, and are represented by the same retained or assigned counsel or by retained or assigned counsel who are associated in the practice of law, the court shall promptly inquire with respect to such joint representation and shall personally advise each defendant of the right to the effective assistance of counsel, including separate representation. Unless it appears that there is good cause to believe no conflict of interest is likely to arise, the court shall take such measures as may be appropriate to protect each defendant’s right to counsel.”


TOP

Opinion

WALTER MICKENS, Jr ., PETITIONER v.
JOHN TAYLOR, WARDEN

on writ of certiorari to the united states court of appeals for the fourth circuit


[March 27, 2002]

Justice Scalia delivered the opinion of the Court.

The question presented in this case is what a defendant must show in order to demonstrate a Sixth Amendment violation where the trial court fails to inquire into a potential conflict of interest about which it knew or reasonably should have known.

I

In 1993, a Virginia jury convicted petitioner Mickens of the premeditated murder of Timothy Hall during or following the commission of an attempted forcible sodomy. Finding the murder outrageously and wantonly vile, it sentenced petitioner to death. In June 1998, Mickens filed a petition for writ of habeas corpus, see 28 U. S. C. §2254 (1994 ed. and Supp. V), in the United States District Court for the Eastern District of Virginia, alleging, inter alia , that he was denied effective assistance of counsel because one of his court-appointed attorneys had a conflict of interest at trial. Federal habeas counsel had discovered that petitioner’s lead trial attorney, Bryan Saunders, was representing Hall (the victim) on assault and concealed-weapons charges at the time of the murder. Saunders had been appointed to represent Hall, a juvenile, on March 20, 1992, and had met with him once for 15 to 30 minutes some time the following week. Hall’s body was discovered on March 30, 1992, and four days later a juvenile court judge dismissed the charges against him, noting on the docket sheet that Hall was deceased. The one-page docket sheet also listed Saunders as Hall’s counsel. On April 6, 1992, the same judge appointed Saunders to represent petitioner. Saunders did not disclose to the court, his co-counsel, or petitioner that he had previously represented Hall. Under Virginia law, juvenile case files are confidential and may not generally be disclosed without a court order, see Va. Code Ann. §16.1–305 (1999), but petitioner learned about Saunders’ prior representation when a clerk mistakenly produced Hall’s file to federal habeas counsel.

The District Court held an evidentiary hearing and denied petitioner’s habeas petition. A divided panel of the Court of Appeals for the Fourth Circuit reversed, 227 F. 3d 203 (2000), and the Court of Appeals granted rehearing en banc, 240 F. 3d 348 (2001). As an initial matter, the 7-to-3 en banc majority determined that petitioner’s failure to raise his conflict-of-interest claim in state court did not preclude review, concluding that petitioner had established cause and that the “inquiry as to prejudice for purposes of excusing [petitioner’s] default … incorporates the test for evaluating his underlying conflict of interest claim.” Id., at 356–357. On the merits, the Court of Appeals assumed that the juvenile court judge had neglected a duty to inquire into a potential conflict, but rejected petitioner’s argument that this failure either mandated automatic reversal of his conviction or relieved him of the burden of showing that a conflict of interest adversely affected his representation. Relying on Cuyler v. Sullivan, 446 U. S. 335 (1980) , the court held that a defendant must show “both an actual conflict of interest and an adverse effect even if the trial court failed to inquire into a potential conflict about which it reasonably should have known,” 240 F. 3d, at 355–356. Concluding that petitioner had not demonstrated adverse effect, id ., at 360, it affirmed the District Court’s denial of habeas relief. We granted a stay of execution of petitioner’s sentence and granted certiorari. 532 U. S. 970 (2001) .

II

The Sixth Amendment provides that a criminal defendant shall have the right to “the assistance of counsel for his defence.” This right has been accorded, we have said, “not for its own sake, but because of the effect it has on the ability of the accused to receive a fair trial.” United States v. Cronic, 466 U. S. 648, 658 (1984) . It follows from this that assistance which is ineffective in preserving fairness does not meet the constitutional mandate, see Strickland v. Washington , 466 U. S. 668, 685–686 (1984) ; and it also follows that defects in assistance that have no probable effect upon the trial’s outcome do not establish a constitutional violation. As a general matter, a defendant alleging a Sixth Amendment violation must demonstrate “a reasonable probability that, but for counsel’s unprofessional errors, the result of the proceeding would have been different.” Id ., at 694.

There is an exception to this general rule. We have spared the defendant the need of showing probable effect upon the outcome, and have simply presumed such effect, where assistance of counsel has been denied entirely or during a critical stage of the proceeding. When that has occurred, the likelihood that the verdict is unreliable is so high that a case-by-case inquiry is unnecessary. See Cronic , supra, at 658–659; see also Geders v. United States, 425 U. S. 80, 91 (1976) ; Gideon v. Wainwright , 372 U. S. 335, 344–345 (1963) . But only in “circumstances of that magnitude” do we forgo individual inquiry into whether counsel’s inadequate performance undermined the reliability of the verdict. Cronic, supra, at 659, n. 26.

We have held in several cases that “circumstances of that magnitude” may also arise when the defendant’s attorney actively represented conflicting interests. The nub of the question before us is whether the principle established by these cases provides an exception to the general rule of Strickland under the circumstances of the present case. To answer that question, we must examine those cases in some detail. 1

In Holloway v. Arkansas, 435 U. S. 475 (1978) , defense counsel had objected that he could not adequately represent the divergent interests of three codefendants. Id., at 478–480. Without inquiry, the trial court had denied counsel’s motions for the appointment of separate counsel and had refused to allow counsel to cross-examine any of the defendants on behalf of the other two. The Holloway Court deferred to the judgment of counsel regarding the existence of a disabling conflict, recognizing that a defense attorney is in the best position to determine when a conflict exists, that he has an ethical obligation to advise the court of any problem, and that his declarations to the court are “virtually made under oath.” Id., at 485–486 (internal quotation marks omitted). Holloway presumed, moreover, that the conflict, “which [the defendant] and his counsel tried to avoid by timely objections to the joint representation,” id., at 490, undermined the adversarial process. The presumption was justified because joint representation of conflicting interests is inherently suspect, and because counsel’s conflicting obligations to multiple defendants “effectively sea[l] his lips on crucial matters” and make it difficult to measure the precise harm arising from counsel’s errors. Id., at 489–490. Holloway thus creates an automatic reversal rule only where defense counsel is forced to represent codefendants over his timely objection, unless the trial court has determined that there is no conflict. Id., at 488 (“[W]henever a trial court improperly requires joint representation over timely objection reversal is automatic”).

In Cuyler v. Sullivan, 446 U. S. 335 (1980) , the respondent was one of three defendants accused of murder who were tried separately, represented by the same counsel. Neither counsel nor anyone else objected to the multiple representation, and counsel’s opening argument at Sullivan’s trial suggested that the interests of the defendants were aligned. Id. , at 347–348. We declined to extend Holloway ’s automatic reversal rule to this situation and held that, absent objection, a defendant must demonstrate that “a conflict of interest actually affected the adequacy of his representation.” 446 U. S., at 348–349. In addition to describing the defendant’s burden of proof, Sullivan addressed separately a trial court’s duty to inquire into the propriety of a multiple representation, construing Holloway to require inquiry only when “the trial court knows or reasonably should know that a particular conflict exists,” 446 U. S., at 347 2 —which is not to be confused with when the trial court is aware of a vague, unspecified possibility of conflict, such as that which “inheres in almost every instance of multiple representation,” id ., at 348. In Sullivan , no “special circumstances” triggered the trial court’s duty to inquire. Id ., at 346.

Finally, in Wood v. Georgia , 450 U. S. 261 (1981) , three indigent defendants convicted of distributing obscene materials had their probation revoked for failure to make the requisite $500 monthly payments on their $5,000 fines. We granted certiorari to consider whether this violated the Equal Protection Clause, but during the course of our consideration certain disturbing circumstances came to our attention: At the probation-revocation hearing (as at all times since their arrest) the defendants had been represented by the lawyer for their employer (the owner of the business that purveyed the obscenity), and their employer paid the attorney’s fees. The employer had promised his employees he would pay their fines, and had generally kept that promise but had not done so in these defendants’ case. This record suggested that the employer’s interest in establishing a favorable equal-protection precedent (reducing the fines he would have to pay for his indigent employees in the future) diverged from the defendants’ interest in obtaining leniency or paying lesser fines to avoid imprisonment. Moreover, the possibility that counsel was actively representing the conflicting interests of employer and defendants “was sufficiently apparent at the time of the revocation hearing to impose upon the court a duty to inquire further.” Id., at 272. Because “[o]n the record before us, we [could not] be sure whether counsel was influenced in his basic strategic decisions by the interests of the employer who hired him,” ibid. , we remanded for the trial court “to determine whether the conflict of interest that this record strongly suggests actually existed,” id. , at 273.

Petitioner argues that the remand instruction in Wood established an “unambiguous rule” that where the trial judge neglects a duty to inquire into a potential conflict, the defendant, to obtain reversal of the judgment, need only show that his lawyer was subject to a conflict of interest, and need not show that the conflict adversely affected counsel’s performance. Brief for Petitioner 21. 3 He relies upon the language in the remand instruction directing the trial court to grant a new revocation hearing if it determines that “an actual conflict of interest existed,” Wood , 450 U. S., at 273, without requiring a further determination that the conflict adversely affected counsel’s performance. As used in the remand instruction, however, we think “an actual conflict of interest” meant precisely a conflict that affected counsel’s performance —as opposed to a mere theoretical division of loyalties. It was shorthand for the statement in Sullivan that “a defendant who shows that a conflict of interest actually affected the adequacy of his representation need not demonstrate prejudice in order to obtain relief.” 446 U. S., at 349–350 (emphasis added). 4 This is the only interpretation consistent with the Wood Court’s earlier description of why it could not decide the case without a remand: “On the record before us, we cannot be sure whether counsel was influenced in his basic strategic decisions by the interests of the employer who hired him. If this was the case , the due process rights of petitioners were not respected … .” 450 U. S., at 272 (emphasis added). The notion that Wood created a new rule sub silentio —and in a case where certiorari had been granted on an entirely different question, and the parties had neither briefed nor argued the conflict-of-interest issue—is implausible. 5

Petitioner’s proposed rule of automatic reversal when there existed a conflict that did not affect counsel’s performance, but the trial judge failed to make the Sullivan -mandated inquiry, makes little policy sense. As discussed, the rule applied when the trial judge is not aware of the conflict (and thus not obligated to inquire) is that prejudice will be presumed only if the conflict has significantly affected counsel’s performance—thereby rendering the verdict unreliable, even though Strickland prejudice cannot be shown. See Sullivan, supra , at 348–349. The trial court’s awareness of a potential conflict neither renders it more likely that counsel’s performance was significantly affected nor in any other way renders the verdict unreliable. Cf. United States v. Cronic , 466 U. S., at 662, n. 31. Nor does the trial judge’s failure to make the Sullivan -mandated inquiry often make it harder for reviewing courts to determine conflict and effect, particularly since those courts may rely on evidence and testimony whose importance only becomes established at the trial.

Nor, finally, is automatic reversal simply an appropriate means of enforcing Sullivan ’s mandate of inquiry. Despite Justice Souter ’s belief that there must be a threat of sanction (to-wit, the risk of conferring a windfall upon the defendant) in order to induce “resolutely obdurate” trial judges to follow the law, post , at 20, we do not presume that judges are as careless or as partial as those police officers who need the incentive of the exclusionary rule, see United States v. Leon, 468 U. S. 897, 916–917 (1984) . And in any event, the Sullivan standard, which requires proof of effect upon representation but (once such effect is shown) presumes prejudice, already creates an “incentive” to inquire into a potential conflict. In those cases where the potential conflict is in fact an actual one, only inquiry will enable the judge to avoid all possibility of reversal by either seeking waiver or replacing a conflicted attorney. We doubt that the deterrence of “judicial dereliction” that would be achieved by an automatic reversal rule is significantly greater.

Since this was not a case in which (as in Holloway ) counsel protested his inability simultaneously to represent multiple defendants; and since the trial court’s failure to make the Sullivan -mandated inquiry does not reduce the petitioner’s burden of proof; it was at least necessary, to void the conviction, for petitioner to establish that the conflict of interest adversely affected his counsel’s performance. The Court of Appeals having found no such effect, see 240 F. 3d, at 360, the denial of habeas relief must be affirmed.

III

Lest today’s holding be misconstrued, we note that the only question presented was the effect of a trial court’s failure to inquire into a potential conflict upon the Sullivan rule that deficient performance of counsel must be shown. The case was presented and argued on the assumption that (absent some exception for failure to inquire) Sullivan would be applicable—requiring a showing of defective performance, but not requiring in addition (as Strickland does in other ineffectiveness-of-counsel cases), a showing of probable effect upon the outcome of trial. That assumption was not unreasonable in light of the holdings of Courts of Appeals, which have applied Sullivan “unblinkingly” to “all kinds of alleged attorney ethical conflicts,” Beets v. Scott , 65 F. 3d 1258, 1266 (CA5 1995) (en banc). They have invoked the Sullivan standard not only when (as here) there is a conflict rooted in counsel’s obligations to former clients, see, e.g., Perillo v. Johnson , 205 F. 3d 775, 797–799 (CA5 2001); Freund v. Butterworth , 165 F. 3d 839, 858–860 (CA11 1999); Mannhalt v. Reed , 847 F. 2d 576, 580 (CA9 1988); United States v. Young , 644 F. 2d 1008, 1013 (CA4 1981), but even when representation of the defendant somehow implicates counsel’s personal or financial interests, including a book deal, United States v. Hearst , 638 F. 2d 1190, 1193 (CA9 1980), a job with the prosecutor’s office, Garcia v. Bunnell , 33 F. 3d 1193, 1194–1195, 1198, n. 4 (CA9 1994), the teaching of classes to Internal Revenue Service agents, United States v. Michaud , 925 F. 2d 37, 40–42 (CA1 1991), a romantic “entanglement” with the prosecutor, Summerlin v. Stewart , 267 F. 3d 926, 935–941 (CA9 2001), or fear of antagonizing the trial judge, United States v. Sayan , 968 F. 2d 55, 64–65 (CADC 1992).

It must be said, however, that the language of Sullivan itself does not clearly establish, or indeed even support, such expansive application. “[U]ntil,” it said, “a defendant shows that his counsel actively represented conflicting interests, he has not established the constitutional predicate for his claim of ineffective assistance.” 446 U. S., at 350 (emphasis added). Both Sullivan itself, see id ., at 348–349, and Holloway , see 435 U. S., at 490–491, stressed the high probability of prejudice arising from multiple concurrent representation, and the difficulty of proving that prejudice. See also Geer, Representation of Multiple Criminal Defendants: Conflicts of Interest and the Professional Responsibilities of the Defense Attorney, 62 Minn. L. Rev. 119, 125–140 (1978); Lowenthal, Joint Representation in Criminal Cases: A Critical Appraisal, 64 Va. L. Rev. 939, 941–950 (1978). Not all attorney conflicts present comparable difficulties. Thus, the Federal Rules of Criminal Procedure treat concurrent representation and prior representation differently, requiring a trial court to inquire into the likelihood of conflict whenever jointly charged defendants are represented by a single attorney (Rule 44(c)), but not when counsel previously represented another defendant in a substantially related matter, even where the trial court is aware of the prior representation. 6 See Sullivan , supra, at 346, n. 10 (citing the Rule).

This is not to suggest that one ethical duty is more or less important than another. The purpose of our Holloway and Sullivan exceptions from the ordinary requirements of Strickland , however, is not to enforce the Canons of Legal Ethics, but to apply needed prophylaxis in situations where Strickland itself is evidently inadequate to assure vindication of the defendant’s Sixth Amendment right to counsel. See Nix v. Whiteside, 475 U. S. 157, 165 (1986) (“[B]reach of an ethical standard does not necessarily make out a denial of the Sixth Amendment guarantee of assistance of counsel”). In resolving this case on the grounds on which it was presented to us, we do not rule upon the need for the Sullivan prophylaxis in cases of successive representation. Whether Sullivan should be extended to such cases remains, as far as the jurisprudence of this Court is concerned, an open question.

* * *

For the reasons stated, the judgment of the Court of Appeals is

Affirmed.


Notes

1 Justice Breyer rejects Holloway v. Arkansas, 435 U. S. 475 (1978) , Cuyler v. Sullivan, 446 U. S. 335 (1980) , and Wood v. Georgia, 450 U. S. 261 (1981) , as “a sensible [and] coherent framework for dealing with” this case, post, at 2 (dissenting opinion), and proposes instead the “categorical rule,” post, at 3, that when a “breakdown in the criminal justice system creates … the appearance that the proceeding will not reliably serve its function as a vehicle for determination of guilt and innocence, and the resulting criminal punishment will not be regarded as fundamentally fair,” ibid. (internal quotation marks omitted), reversal must be decreed without proof of prejudice. This seems to us less a categorical rule of decision than a restatement of the issue to be decided. Holloway, Sullivan, and Wood establish the framework that they do precisely because that framework is thought to identify the situations in which the conviction will reasonably not be regarded as fundamentally fair. We believe it eminently performs that function in the case at hand, and that Justice Breyer is mistaken to think otherwise. But if he does think otherwise, a proper regard for the judicial function—and especially for the function of this Court, which must lay down rules that can be followed in the innumerable cases we are unable to review—would counsel that he propose some other “sensible and coherent framework,” rather than merely saying that prior representation of the victim, plus the capital nature of the case, plus judicial appointment of the counsel, see post, at 2, strikes him as producing a result that will not be regarded as fundamentally fair. This is not a rule of law but expression of an ad hoc “fairness” judgment (with which we disagree).

2 In order to circumvent Sullivan’s clear language, Justice Stevens suggests that a trial court must scrutinize representation by appointed counsel more closely than representation by retained counsel. Post, at 6–7 (dissenting opinion). But we have already rejected the notion that the Sixth Amendment draws such a distinction. “A proper respect for the Sixth Amendment disarms [the] contention that defendants who retain their own lawyers are entitled to less protection than defendants for whom the State appoints counsel … . The vital guarantee of the Sixth Amendment would stand for little if the often uninformed decision to retain a particular lawyer could reduce or forfeit the defendant’s entitlement to constitutional protection.” Cuyler v. Sullivan, 446 U. S. 335, 344 (1980) .

3 Petitioner no longer argues, as he did below and as Justice Souter does now, post, at 14 (dissenting opinion), that the Sixth Amendment requires reversal of his conviction without further inquiry into whether the potential conflict that the judge should have investigated was real. Compare 240 F. 3d 348, 357 (CA4 2001) (en banc), with Tr. of Oral Arg. 23–25. Some Courts of Appeals have read a footnote in Wood v. Georgia, 450 U. S. 261, n. 18 (1981), as establishing that outright reversal is mandated when the trial court neglects a duty to inquire into a potential conflict of interest. See, e.g., Campbell v. Rice, 265 F. 3d 878, 884–885, 888 (CA9 2001); Ciak v. United States, 59 F. 3d 296, 302 (CA2 1995). But see Brien v. United States, 695 F. 2d 10, 15, n. 10 (CA1 1982). The Wood footnote says that Sullivan does not preclude “raising … a conflict-of-interest problem that is apparent in the record” and that “Sullivan mandates a reversal when the trial court has failed to make [the requisite] inquiry.” Wood, supra, at 272, n. 18. These statements were made in response to the dissent’s contention that the majority opinion had “gone beyond” Cuyler v. Sullivan, ibid., in reaching a conflict-of-interest due-process claim that had been raised neither in the petition for certiorari nor before the state courts, see 450 U. S., at 280 (White, J., dissenting). To the extent the “mandates a reversal” statement goes beyond the assertion of mere jurisdiction to reverse, it is dictum—and dictum inconsistent with the disposition in Wood, which was not to reverse but to vacate and remand for the trial court to conduct the inquiry it had omitted. Justice Souter labors to suggest that the Wood remand order is part of “a coherent scheme,” post, at 6, in which automatic reversal is required when the trial judge fails to inquire into a potential conflict that was apparent before the proceeding was “held or completed,” but a defendant must demonstrate adverse effect when the judge fails to inquire into a conflict that was not apparent before the end of the proceeding, post, at 14. The problem with this carefully concealed “coherent scheme” (no case has ever mentioned it) is that in Wood itself the court did not decree automatic reversal, even though it found that “the possibility of a conflict of interest was sufficiently apparent at the time of the revocation hearing to impose upon the court a duty to inquire further.” 450 U. S., at 272 (second emphasis added). Indeed, the State had actually notified the judge of a potential conflict of interest “ ‘[d]uring the probation revocation hearing.’ ” Id., at 272, and n. 20. Justice Souter’s statement that “the signs that a conflict may have occurred were clear to the judge at the close of the probation revocation proceeding,” post, at 13—when it became apparent that counsel had neglected the “strategy more obviously in the defendants’ interest, of requesting the court to reduce the fines or defer their collection,” post, at 10—would more accurately be phrased “the effect of the conflict upon counsel’s performance was clear to the judge at the close of the probation revocation proceeding.”

4 Justice Stevens asserts that this reading (and presumably Justice Souter’s reading as well, post, at 13), is wrong, post, at 9; that Wood only requires petitioner to show that a real conflict existed, not that it affected counsel’s performance, post, at 9–10. This is so because we “unambiguously stated” that a conviction must be reversed whenever the trial court fails to investigate a potential conflict, post, at 9 (citing Wood footnote). As we have explained earlier, n. 3, supra, this dictum simply contradicts the remand order in Wood.

5 We have used “actual conflict of interest” elsewhere to mean what was required to be shown in Sullivan. See United States v. Cronic, 466 U. S. 648, n. 31 (1984) (“[W]e have presumed prejudice when counsel labors under an actual conflict of interest … . See Cuyler v. Sullivan, 446 U. S. 335 (1980) ”). And we have used “conflict of interest” to mean a division of loyalties that affected counsel’s performance. In Holloway, 435 U. S., at 482, we described our earlier opinion in Glasser v. United States, 315 U. S. 60 (1942) , as follows: “The record disclosed that Stewart failed to cross-examine a Government witness whose testimony linked Glasser with the conspiracy and failed to object to the admission of arguably inadmissible evidence. This failure was viewed by the Court as a result of Stewart’s desire to protect Kretske’s interests, and was thus ‘indicative of Stewart’s struggle to serve two masters … .’ [315 U. S.], at 75. After identifying this conflict of interests, the Court declined to inquire whether the prejudice flowing from it was harmless and instead ordered Glasser’s conviction reversed.” (Emphasis added.) Thus, the Sullivan standard is not properly read as requiring inquiry into actual conflict as something separate and apart from adverse effect. An “actual conflict,” for Sixth Amendment purposes, is a conflict of interest that adversely affects counsel’s performance.

6 Federal Rule of Criminal Procedure 44(c) provides: “Whenever two or more defendants have been jointly charged pursuant to Rule 8(b) or have been joined for trial pursuant to Rule 13, and are represented by the same retained or assigned counsel or by retained or assigned counsel who are associated in the practice of law, the court shall promptly inquire with respect to such joint representation and shall personally advise each defendant of the right to the effective assistance of counsel, including separate representation. Unless it appears that there is good cause to believe no conflict of interest is likely to arise, the court shall take such measures as may be appropriate to protect each defendant’s right to counsel.”


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Opinion

WALTER MICKENS, Jr ., PETITIONER v.
JOHN TAYLOR, WARDEN

on writ of certiorari to the united states court of appeals for the fourth circuit


[March 27, 2002]

Justice Scalia delivered the opinion of the Court.

The question presented in this case is what a defendant must show in order to demonstrate a Sixth Amendment violation where the trial court fails to inquire into a potential conflict of interest about which it knew or reasonably should have known.

I

In 1993, a Virginia jury convicted petitioner Mickens of the premeditated murder of Timothy Hall during or following the commission of an attempted forcible sodomy. Finding the murder outrageously and wantonly vile, it sentenced petitioner to death. In June 1998, Mickens filed a petition for writ of habeas corpus, see 28 U. S. C. §2254 (1994 ed. and Supp. V), in the United States District Court for the Eastern District of Virginia, alleging, inter alia , that he was denied effective assistance of counsel because one of his court-appointed attorneys had a conflict of interest at trial. Federal habeas counsel had discovered that petitioner’s lead trial attorney, Bryan Saunders, was representing Hall (the victim) on assault and concealed-weapons charges at the time of the murder. Saunders had been appointed to represent Hall, a juvenile, on March 20, 1992, and had met with him once for 15 to 30 minutes some time the following week. Hall’s body was discovered on March 30, 1992, and four days later a juvenile court judge dismissed the charges against him, noting on the docket sheet that Hall was deceased. The one-page docket sheet also listed Saunders as Hall’s counsel. On April 6, 1992, the same judge appointed Saunders to represent petitioner. Saunders did not disclose to the court, his co-counsel, or petitioner that he had previously represented Hall. Under Virginia law, juvenile case files are confidential and may not generally be disclosed without a court order, see Va. Code Ann. §16.1–305 (1999), but petitioner learned about Saunders’ prior representation when a clerk mistakenly produced Hall’s file to federal habeas counsel.

The District Court held an evidentiary hearing and denied petitioner’s habeas petition. A divided panel of the Court of Appeals for the Fourth Circuit reversed, 227 F. 3d 203 (2000), and the Court of Appeals granted rehearing en banc, 240 F. 3d 348 (2001). As an initial matter, the 7-to-3 en banc majority determined that petitioner’s failure to raise his conflict-of-interest claim in state court did not preclude review, concluding that petitioner had established cause and that the “inquiry as to prejudice for purposes of excusing [petitioner’s] default … incorporates the test for evaluating his underlying conflict of interest claim.” Id., at 356–357. On the merits, the Court of Appeals assumed that the juvenile court judge had neglected a duty to inquire into a potential conflict, but rejected petitioner’s argument that this failure either mandated automatic reversal of his conviction or relieved him of the burden of showing that a conflict of interest adversely affected his representation. Relying on Cuyler v. Sullivan, 446 U. S. 335 (1980) , the court held that a defendant must show “both an actual conflict of interest and an adverse effect even if the trial court failed to inquire into a potential conflict about which it reasonably should have known,” 240 F. 3d, at 355–356. Concluding that petitioner had not demonstrated adverse effect, id ., at 360, it affirmed the District Court’s denial of habeas relief. We granted a stay of execution of petitioner’s sentence and granted certiorari. 532 U. S. 970 (2001) .

II

The Sixth Amendment provides that a criminal defendant shall have the right to “the assistance of counsel for his defence.” This right has been accorded, we have said, “not for its own sake, but because of the effect it has on the ability of the accused to receive a fair trial.” United States v. Cronic, 466 U. S. 648, 658 (1984) . It follows from this that assistance which is ineffective in preserving fairness does not meet the constitutional mandate, see Strickland v. Washington , 466 U. S. 668, 685–686 (1984) ; and it also follows that defects in assistance that have no probable effect upon the trial’s outcome do not establish a constitutional violation. As a general matter, a defendant alleging a Sixth Amendment violation must demonstrate “a reasonable probability that, but for counsel’s unprofessional errors, the result of the proceeding would have been different.” Id ., at 694.

There is an exception to this general rule. We have spared the defendant the need of showing probable effect upon the outcome, and have simply presumed such effect, where assistance of counsel has been denied entirely or during a critical stage of the proceeding. When that has occurred, the likelihood that the verdict is unreliable is so high that a case-by-case inquiry is unnecessary. See Cronic , supra, at 658–659; see also Geders v. United States, 425 U. S. 80, 91 (1976) ; Gideon v. Wainwright , 372 U. S. 335, 344–345 (1963) . But only in “circumstances of that magnitude” do we forgo individual inquiry into whether counsel’s inadequate performance undermined the reliability of the verdict. Cronic, supra, at 659, n. 26.

We have held in several cases that “circumstances of that magnitude” may also arise when the defendant’s attorney actively represented conflicting interests. The nub of the question before us is whether the principle established by these cases provides an exception to the general rule of Strickland under the circumstances of the present case. To answer that question, we must examine those cases in some detail. 1

In Holloway v. Arkansas, 435 U. S. 475 (1978) , defense counsel had objected that he could not adequately represent the divergent interests of three codefendants. Id., at 478–480. Without inquiry, the trial court had denied counsel’s motions for the appointment of separate counsel and had refused to allow counsel to cross-examine any of the defendants on behalf of the other two. The Holloway Court deferred to the judgment of counsel regarding the existence of a disabling conflict, recognizing that a defense attorney is in the best position to determine when a conflict exists, that he has an ethical obligation to advise the court of any problem, and that his declarations to the court are “virtually made under oath.” Id., at 485–486 (internal quotation marks omitted). Holloway presumed, moreover, that the conflict, “which [the defendant] and his counsel tried to avoid by timely objections to the joint representation,” id., at 490, undermined the adversarial process. The presumption was justified because joint representation of conflicting interests is inherently suspect, and because counsel’s conflicting obligations to multiple defendants “effectively sea[l] his lips on crucial matters” and make it difficult to measure the precise harm arising from counsel’s errors. Id., at 489–490. Holloway thus creates an automatic reversal rule only where defense counsel is forced to represent codefendants over his timely objection, unless the trial court has determined that there is no conflict. Id., at 488 (“[W]henever a trial court improperly requires joint representation over timely objection reversal is automatic”).

In Cuyler v. Sullivan, 446 U. S. 335 (1980) , the respondent was one of three defendants accused of murder who were tried separately, represented by the same counsel. Neither counsel nor anyone else objected to the multiple representation, and counsel’s opening argument at Sullivan’s trial suggested that the interests of the defendants were aligned. Id. , at 347–348. We declined to extend Holloway ’s automatic reversal rule to this situation and held that, absent objection, a defendant must demonstrate that “a conflict of interest actually affected the adequacy of his representation.” 446 U. S., at 348–349. In addition to describing the defendant’s burden of proof, Sullivan addressed separately a trial court’s duty to inquire into the propriety of a multiple representation, construing Holloway to require inquiry only when “the trial court knows or reasonably should know that a particular conflict exists,” 446 U. S., at 347 2 —which is not to be confused with when the trial court is aware of a vague, unspecified possibility of conflict, such as that which “inheres in almost every instance of multiple representation,” id ., at 348. In Sullivan , no “special circumstances” triggered the trial court’s duty to inquire. Id ., at 346.

Finally, in Wood v. Georgia , 450 U. S. 261 (1981) , three indigent defendants convicted of distributing obscene materials had their probation revoked for failure to make the requisite $500 monthly payments on their $5,000 fines. We granted certiorari to consider whether this violated the Equal Protection Clause, but during the course of our consideration certain disturbing circumstances came to our attention: At the probation-revocation hearing (as at all times since their arrest) the defendants had been represented by the lawyer for their employer (the owner of the business that purveyed the obscenity), and their employer paid the attorney’s fees. The employer had promised his employees he would pay their fines, and had generally kept that promise but had not done so in these defendants’ case. This record suggested that the employer’s interest in establishing a favorable equal-protection precedent (reducing the fines he would have to pay for his indigent employees in the future) diverged from the defendants’ interest in obtaining leniency or paying lesser fines to avoid imprisonment. Moreover, the possibility that counsel was actively representing the conflicting interests of employer and defendants “was sufficiently apparent at the time of the revocation hearing to impose upon the court a duty to inquire further.” Id., at 272. Because “[o]n the record before us, we [could not] be sure whether counsel was influenced in his basic strategic decisions by the interests of the employer who hired him,” ibid. , we remanded for the trial court “to determine whether the conflict of interest that this record strongly suggests actually existed,” id. , at 273.

Petitioner argues that the remand instruction in Wood established an “unambiguous rule” that where the trial judge neglects a duty to inquire into a potential conflict, the defendant, to obtain reversal of the judgment, need only show that his lawyer was subject to a conflict of interest, and need not show that the conflict adversely affected counsel’s performance. Brief for Petitioner 21. 3 He relies upon the language in the remand instruction directing the trial court to grant a new revocation hearing if it determines that “an actual conflict of interest existed,” Wood , 450 U. S., at 273, without requiring a further determination that the conflict adversely affected counsel’s performance. As used in the remand instruction, however, we think “an actual conflict of interest” meant precisely a conflict that affected counsel’s performance —as opposed to a mere theoretical division of loyalties. It was shorthand for the statement in Sullivan that “a defendant who shows that a conflict of interest actually affected the adequacy of his representation need not demonstrate prejudice in order to obtain relief.” 446 U. S., at 349–350 (emphasis added). 4 This is the only interpretation consistent with the Wood Court’s earlier description of why it could not decide the case without a remand: “On the record before us, we cannot be sure whether counsel was influenced in his basic strategic decisions by the interests of the employer who hired him. If this was the case , the due process rights of petitioners were not respected … .” 450 U. S., at 272 (emphasis added). The notion that Wood created a new rule sub silentio —and in a case where certiorari had been granted on an entirely different question, and the parties had neither briefed nor argued the conflict-of-interest issue—is implausible. 5

Petitioner’s proposed rule of automatic reversal when there existed a conflict that did not affect counsel’s performance, but the trial judge failed to make the Sullivan -mandated inquiry, makes little policy sense. As discussed, the rule applied when the trial judge is not aware of the conflict (and thus not obligated to inquire) is that prejudice will be presumed only if the conflict has significantly affected counsel’s performance—thereby rendering the verdict unreliable, even though Strickland prejudice cannot be shown. See Sullivan, supra , at 348–349. The trial court’s awareness of a potential conflict neither renders it more likely that counsel’s performance was significantly affected nor in any other way renders the verdict unreliable. Cf. United States v. Cronic , 466 U. S., at 662, n. 31. Nor does the trial judge’s failure to make the Sullivan -mandated inquiry often make it harder for reviewing courts to determine conflict and effect, particularly since those courts may rely on evidence and testimony whose importance only becomes established at the trial.

Nor, finally, is automatic reversal simply an appropriate means of enforcing Sullivan ’s mandate of inquiry. Despite Justice Souter ’s belief that there must be a threat of sanction (to-wit, the risk of conferring a windfall upon the defendant) in order to induce “resolutely obdurate” trial judges to follow the law, post , at 20, we do not presume that judges are as careless or as partial as those police officers who need the incentive of the exclusionary rule, see United States v. Leon, 468 U. S. 897, 916–917 (1984) . And in any event, the Sullivan standard, which requires proof of effect upon representation but (once such effect is shown) presumes prejudice, already creates an “incentive” to inquire into a potential conflict. In those cases where the potential conflict is in fact an actual one, only inquiry will enable the judge to avoid all possibility of reversal by either seeking waiver or replacing a conflicted attorney. We doubt that the deterrence of “judicial dereliction” that would be achieved by an automatic reversal rule is significantly greater.

Since this was not a case in which (as in Holloway ) counsel protested his inability simultaneously to represent multiple defendants; and since the trial court’s failure to make the Sullivan -mandated inquiry does not reduce the petitioner’s burden of proof; it was at least necessary, to void the conviction, for petitioner to establish that the conflict of interest adversely affected his counsel’s performance. The Court of Appeals having found no such effect, see 240 F. 3d, at 360, the denial of habeas relief must be affirmed.

III

Lest today’s holding be misconstrued, we note that the only question presented was the effect of a trial court’s failure to inquire into a potential conflict upon the Sullivan rule that deficient performance of counsel must be shown. The case was presented and argued on the assumption that (absent some exception for failure to inquire) Sullivan would be applicable—requiring a showing of defective performance, but not requiring in addition (as Strickland does in other ineffectiveness-of-counsel cases), a showing of probable effect upon the outcome of trial. That assumption was not unreasonable in light of the holdings of Courts of Appeals, which have applied Sullivan “unblinkingly” to “all kinds of alleged attorney ethical conflicts,” Beets v. Scott , 65 F. 3d 1258, 1266 (CA5 1995) (en banc). They have invoked the Sullivan standard not only when (as here) there is a conflict rooted in counsel’s obligations to former clients, see, e.g., Perillo v. Johnson , 205 F. 3d 775, 797–799 (CA5 2001); Freund v. Butterworth , 165 F. 3d 839, 858–860 (CA11 1999); Mannhalt v. Reed , 847 F. 2d 576, 580 (CA9 1988); United States v. Young , 644 F. 2d 1008, 1013 (CA4 1981), but even when representation of the defendant somehow implicates counsel’s personal or financial interests, including a book deal, United States v. Hearst , 638 F. 2d 1190, 1193 (CA9 1980), a job with the prosecutor’s office, Garcia v. Bunnell , 33 F. 3d 1193, 1194–1195, 1198, n. 4 (CA9 1994), the teaching of classes to Internal Revenue Service agents, United States v. Michaud , 925 F. 2d 37, 40–42 (CA1 1991), a romantic “entanglement” with the prosecutor, Summerlin v. Stewart , 267 F. 3d 926, 935–941 (CA9 2001), or fear of antagonizing the trial judge, United States v. Sayan , 968 F. 2d 55, 64–65 (CADC 1992).

It must be said, however, that the language of Sullivan itself does not clearly establish, or indeed even support, such expansive application. “[U]ntil,” it said, “a defendant shows that his counsel actively represented conflicting interests, he has not established the constitutional predicate for his claim of ineffective assistance.” 446 U. S., at 350 (emphasis added). Both Sullivan itself, see id ., at 348–349, and Holloway , see 435 U. S., at 490–491, stressed the high probability of prejudice arising from multiple concurrent representation, and the difficulty of proving that prejudice. See also Geer, Representation of Multiple Criminal Defendants: Conflicts of Interest and the Professional Responsibilities of the Defense Attorney, 62 Minn. L. Rev. 119, 125–140 (1978); Lowenthal, Joint Representation in Criminal Cases: A Critical Appraisal, 64 Va. L. Rev. 939, 941–950 (1978). Not all attorney conflicts present comparable difficulties. Thus, the Federal Rules of Criminal Procedure treat concurrent representation and prior representation differently, requiring a trial court to inquire into the likelihood of conflict whenever jointly charged defendants are represented by a single attorney (Rule 44(c)), but not when counsel previously represented another defendant in a substantially related matter, even where the trial court is aware of the prior representation. 6 See Sullivan , supra, at 346, n. 10 (citing the Rule).

This is not to suggest that one ethical duty is more or less important than another. The purpose of our Holloway and Sullivan exceptions from the ordinary requirements of Strickland , however, is not to enforce the Canons of Legal Ethics, but to apply needed prophylaxis in situations where Strickland itself is evidently inadequate to assure vindication of the defendant’s Sixth Amendment right to counsel. See Nix v. Whiteside, 475 U. S. 157, 165 (1986) (“[B]reach of an ethical standard does not necessarily make out a denial of the Sixth Amendment guarantee of assistance of counsel”). In resolving this case on the grounds on which it was presented to us, we do not rule upon the need for the Sullivan prophylaxis in cases of successive representation. Whether Sullivan should be extended to such cases remains, as far as the jurisprudence of this Court is concerned, an open question.

* * *

For the reasons stated, the judgment of the Court of Appeals is

Affirmed.


Notes

1 Justice Breyer rejects Holloway v. Arkansas, 435 U. S. 475 (1978) , Cuyler v. Sullivan, 446 U. S. 335 (1980) , and Wood v. Georgia, 450 U. S. 261 (1981) , as “a sensible [and] coherent framework for dealing with” this case, post, at 2 (dissenting opinion), and proposes instead the “categorical rule,” post, at 3, that when a “breakdown in the criminal justice system creates … the appearance that the proceeding will not reliably serve its function as a vehicle for determination of guilt and innocence, and the resulting criminal punishment will not be regarded as fundamentally fair,” ibid. (internal quotation marks omitted), reversal must be decreed without proof of prejudice. This seems to us less a categorical rule of decision than a restatement of the issue to be decided. Holloway, Sullivan, and Wood establish the framework that they do precisely because that framework is thought to identify the situations in which the conviction will reasonably not be regarded as fundamentally fair. We believe it eminently performs that function in the case at hand, and that Justice Breyer is mistaken to think otherwise. But if he does think otherwise, a proper regard for the judicial function—and especially for the function of this Court, which must lay down rules that can be followed in the innumerable cases we are unable to review—would counsel that he propose some other “sensible and coherent framework,” rather than merely saying that prior representation of the victim, plus the capital nature of the case, plus judicial appointment of the counsel, see post, at 2, strikes him as producing a result that will not be regarded as fundamentally fair. This is not a rule of law but expression of an ad hoc “fairness” judgment (with which we disagree).

2 In order to circumvent Sullivan’s clear language, Justice Stevens suggests that a trial court must scrutinize representation by appointed counsel more closely than representation by retained counsel. Post, at 6–7 (dissenting opinion). But we have already rejected the notion that the Sixth Amendment draws such a distinction. “A proper respect for the Sixth Amendment disarms [the] contention that defendants who retain their own lawyers are entitled to less protection than defendants for whom the State appoints counsel … . The vital guarantee of the Sixth Amendment would stand for little if the often uninformed decision to retain a particular lawyer could reduce or forfeit the defendant’s entitlement to constitutional protection.” Cuyler v. Sullivan, 446 U. S. 335, 344 (1980) .

3 Petitioner no longer argues, as he did below and as Justice Souter does now, post, at 14 (dissenting opinion), that the Sixth Amendment requires reversal of his conviction without further inquiry into whether the potential conflict that the judge should have investigated was real. Compare 240 F. 3d 348, 357 (CA4 2001) (en banc), with Tr. of Oral Arg. 23–25. Some Courts of Appeals have read a footnote in Wood v. Georgia, 450 U. S. 261, n. 18 (1981), as establishing that outright reversal is mandated when the trial court neglects a duty to inquire into a potential conflict of interest. See, e.g., Campbell v. Rice, 265 F. 3d 878, 884–885, 888 (CA9 2001); Ciak v. United States, 59 F. 3d 296, 302 (CA2 1995). But see Brien v. United States, 695 F. 2d 10, 15, n. 10 (CA1 1982). The Wood footnote says that Sullivan does not preclude “raising … a conflict-of-interest problem that is apparent in the record” and that “Sullivan mandates a reversal when the trial court has failed to make [the requisite] inquiry.” Wood, supra, at 272, n. 18. These statements were made in response to the dissent’s contention that the majority opinion had “gone beyond” Cuyler v. Sullivan, ibid., in reaching a conflict-of-interest due-process claim that had been raised neither in the petition for certiorari nor before the state courts, see 450 U. S., at 280 (White, J., dissenting). To the extent the “mandates a reversal” statement goes beyond the assertion of mere jurisdiction to reverse, it is dictum—and dictum inconsistent with the disposition in Wood, which was not to reverse but to vacate and remand for the trial court to conduct the inquiry it had omitted. Justice Souter labors to suggest that the Wood remand order is part of “a coherent scheme,” post, at 6, in which automatic reversal is required when the trial judge fails to inquire into a potential conflict that was apparent before the proceeding was “held or completed,” but a defendant must demonstrate adverse effect when the judge fails to inquire into a conflict that was not apparent before the end of the proceeding, post, at 14. The problem with this carefully concealed “coherent scheme” (no case has ever mentioned it) is that in Wood itself the court did not decree automatic reversal, even though it found that “the possibility of a conflict of interest was sufficiently apparent at the time of the revocation hearing to impose upon the court a duty to inquire further.” 450 U. S., at 272 (second emphasis added). Indeed, the State had actually notified the judge of a potential conflict of interest “ ‘[d]uring the probation revocation hearing.’ ” Id., at 272, and n. 20. Justice Souter’s statement that “the signs that a conflict may have occurred were clear to the judge at the close of the probation revocation proceeding,” post, at 13—when it became apparent that counsel had neglected the “strategy more obviously in the defendants’ interest, of requesting the court to reduce the fines or defer their collection,” post, at 10—would more accurately be phrased “the effect of the conflict upon counsel’s performance was clear to the judge at the close of the probation revocation proceeding.”

4 Justice Stevens asserts that this reading (and presumably Justice Souter’s reading as well, post, at 13), is wrong, post, at 9; that Wood only requires petitioner to show that a real conflict existed, not that it affected counsel’s performance, post, at 9–10. This is so because we “unambiguously stated” that a conviction must be reversed whenever the trial court fails to investigate a potential conflict, post, at 9 (citing Wood footnote). As we have explained earlier, n. 3, supra, this dictum simply contradicts the remand order in Wood.

5 We have used “actual conflict of interest” elsewhere to mean what was required to be shown in Sullivan. See United States v. Cronic, 466 U. S. 648, n. 31 (1984) (“[W]e have presumed prejudice when counsel labors under an actual conflict of interest … . See Cuyler v. Sullivan, 446 U. S. 335 (1980) ”). And we have used “conflict of interest” to mean a division of loyalties that affected counsel’s performance. In Holloway, 435 U. S., at 482, we described our earlier opinion in Glasser v. United States, 315 U. S. 60 (1942) , as follows: “The record disclosed that Stewart failed to cross-examine a Government witness whose testimony linked Glasser with the conspiracy and failed to object to the admission of arguably inadmissible evidence. This failure was viewed by the Court as a result of Stewart’s desire to protect Kretske’s interests, and was thus ‘indicative of Stewart’s struggle to serve two masters … .’ [315 U. S.], at 75. After identifying this conflict of interests, the Court declined to inquire whether the prejudice flowing from it was harmless and instead ordered Glasser’s conviction reversed.” (Emphasis added.) Thus, the Sullivan standard is not properly read as requiring inquiry into actual conflict as something separate and apart from adverse effect. An “actual conflict,” for Sixth Amendment purposes, is a conflict of interest that adversely affects counsel’s performance.

6 Federal Rule of Criminal Procedure 44(c) provides: “Whenever two or more defendants have been jointly charged pursuant to Rule 8(b) or have been joined for trial pursuant to Rule 13, and are represented by the same retained or assigned counsel or by retained or assigned counsel who are associated in the practice of law, the court shall promptly inquire with respect to such joint representation and shall personally advise each defendant of the right to the effective assistance of counsel, including separate representation. Unless it appears that there is good cause to believe no conflict of interest is likely to arise, the court shall take such measures as may be appropriate to protect each defendant’s right to counsel.”


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Concurrence

WALTER MICKENS, Jr ., PETITIONER v.
JOHN TAYLOR, WARDEN

on writ of certiorari to the united states court of appeals for the fourth circuit


[March 27, 2002]

Justice Kennedy , with whom Justice O’Connor joins, concurring.

In its comprehensive analysis the Court has said all that is necessary to address the issues raised by the question presented, and I join the opinion in full. The trial judge’s failure to inquire into a suspected conflict is not the kind of error requiring a presumption of prejudice. We did not grant certiorari on a second question presented by petitioner: whether, if we rejected his proposed presumption, he had nonetheless established that a conflict of interest adversely affected his representation. I write separately to emphasize that the facts of this case well illustrate why a wooden rule requiring reversal is inappropriate for cases like this one.

At petitioner’s request, the District Court conducted an evidentiary hearing on the conflict claim and issued a thorough opinion, which found that counsel’s brief representation of the victim had no effect whatsoever on the course of petitioner’s trial. See Mickens v. Greene , 74 F. Supp. 2d 586 (ED Va. 1999). The District Court’s findings depend upon credibility judgments made after hearing the testimony of petitioner’s counsel, Bryan Saunders, and other witnesses. As a reviewing court, our role is not to speculate about counsel’s motives or about the plausibility of alternative litigation strategies. Our role is to defer to the District Court’s factual findings unless we can conclude they are clearly erroneous. See Lackawanna County District Attorney v. Coss, 532 U. S. 394, 406 (2001) (opinion of O’Connor, J. ). The District Court found that Saunders did not believe he had any obligation to his former client, Timothy Hall, that would interfere with the litigation. See 74 F. Supp. 2d, at 606 (“[T]he Court concludes that, as a factual matter, Saunders did not believe that any continuing duties to a former client might interfere with his consideration of all facts and options for his current client”) (internal quotation marks and alteration omitted). Although the District Court concluded that Saunders probably did learn some matters that were confidential, it found that nothing the attorney learned was relevant to the subsequent murder case. See ibid. (“[T]he record here confirms that Saunders did not learn any confidential information from Hall that was relevant to Mickens’ defense either on the merits or at sentencing” (emphasis deleted)). Indeed, even if Saunders had learned relevant information, the District Court found that he labored under the impression he had no continuing duty at all to his deceased client. See id., at 605 (“[T]he record here reflects that, as far as Saunders was concerned, his allegiance to Hall, ‘[e]nded when I walked into the courtroom and they told me he was dead and the case was gone’ ”) (quoting Hearing Tr. 156–157, 218 (Jan. 13, 1999)). While Saunders’ belief may have been mistaken, it establishes that the prior representation did not influence the choices he made during the course of the trial. This conclusion is a good example of why a case-by-case inquiry is required, rather than simply adopting an automatic rule of reversal.

Petitioner’s description of roads not taken would entail two degrees of speculation. We would be required to assume that Saunders believed he had a continuing duty to the victim, and we then would be required to consider whether in this hypothetical case, the counsel would have been blocked from pursuing an alternative defense strategy. The District Court concluded that the prosecution’s case, coupled with the defendant’s insistence on testifying, foreclosed the strategies suggested by petitioner after the fact. According to the District Court, there was no plausible argument that the victim consented to sexual relations with his murderer, given the bruises on the victim’s neck, blood marks showing the victim was stabbed before or during sexual intercourse, and, most important, petitioner’s insistence on testifying at trial that he had never met the victim. See 74 F. Supp. 2d, at 607 (“[T]he record shows that other facts foreclosed presentation of consent as a plausible alternative defense strategy”). The basic defense at the guilt phase was that petitioner was not at the scene; this is hardly consistent with the theory that there was a consensual encounter.

The District Court said the same for counsel’s alleged dereliction at the sentencing phase. Saunders’ failure to attack the character of the 17-year-old victim and his mother had nothing to do with the putative conflict of interest. This strategy was rejected as likely to backfire, not only by Saunders, but also by his co-counsel, who owed no duty to Hall. See id. , at 608 (“[T]he record here dispels the contention that the failure to use negative information about Hall is attributable to any conflict of interest on the part of Saunders”). These facts, and others relied upon by the District Court, provide compelling evidence that a theoretical conflict does not establish a constitutional violation, even when the conflict is one about which the trial judge should have known.

The constitutional question must turn on whether trial counsel had a conflict of interest that hampered the representation, not on whether the trial judge should have been more assiduous in taking prophylactic measures. If it were otherwise, the judge’s duty would not be limited to cases where the attorney is suspected of harboring a conflict of interest. The Sixth Amendment protects the defendant against an ineffective attorney, as well as a conflicted one. See Strickland v. Washington , 466 U. S. 668, 685–686 (1984) . It would be a major departure to say that the trial judge must step in every time defense counsel appears to be providing ineffective assistance, and indeed, there is no precedent to support this proposition. As the Sixth Amendment guarantees the defendant the assistance of counsel, the infringement of that right must depend on a deficiency of the lawyer, not of the trial judge. There is no reason to presume this guarantee unful- filled when the purported conflict has had no effect on the representation.

With these observations, I join the opinion of the Court.


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Concurrence

WALTER MICKENS, Jr ., PETITIONER v.
JOHN TAYLOR, WARDEN

on writ of certiorari to the united states court of appeals for the fourth circuit


[March 27, 2002]

Justice Kennedy , with whom Justice O’Connor joins, concurring.

In its comprehensive analysis the Court has said all that is necessary to address the issues raised by the question presented, and I join the opinion in full. The trial judge’s failure to inquire into a suspected conflict is not the kind of error requiring a presumption of prejudice. We did not grant certiorari on a second question presented by petitioner: whether, if we rejected his proposed presumption, he had nonetheless established that a conflict of interest adversely affected his representation. I write separately to emphasize that the facts of this case well illustrate why a wooden rule requiring reversal is inappropriate for cases like this one.

At petitioner’s request, the District Court conducted an evidentiary hearing on the conflict claim and issued a thorough opinion, which found that counsel’s brief representation of the victim had no effect whatsoever on the course of petitioner’s trial. See Mickens v. Greene , 74 F. Supp. 2d 586 (ED Va. 1999). The District Court’s findings depend upon credibility judgments made after hearing the testimony of petitioner’s counsel, Bryan Saunders, and other witnesses. As a reviewing court, our role is not to speculate about counsel’s motives or about the plausibility of alternative litigation strategies. Our role is to defer to the District Court’s factual findings unless we can conclude they are clearly erroneous. See Lackawanna County District Attorney v. Coss, 532 U. S. 394, 406 (2001) (opinion of O’Connor, J. ). The District Court found that Saunders did not believe he had any obligation to his former client, Timothy Hall, that would interfere with the litigation. See 74 F. Supp. 2d, at 606 (“[T]he Court concludes that, as a factual matter, Saunders did not believe that any continuing duties to a former client might interfere with his consideration of all facts and options for his current client”) (internal quotation marks and alteration omitted). Although the District Court concluded that Saunders probably did learn some matters that were confidential, it found that nothing the attorney learned was relevant to the subsequent murder case. See ibid. (“[T]he record here confirms that Saunders did not learn any confidential information from Hall that was relevant to Mickens’ defense either on the merits or at sentencing” (emphasis deleted)). Indeed, even if Saunders had learned relevant information, the District Court found that he labored under the impression he had no continuing duty at all to his deceased client. See id., at 605 (“[T]he record here reflects that, as far as Saunders was concerned, his allegiance to Hall, ‘[e]nded when I walked into the courtroom and they told me he was dead and the case was gone’ ”) (quoting Hearing Tr. 156–157, 218 (Jan. 13, 1999)). While Saunders’ belief may have been mistaken, it establishes that the prior representation did not influence the choices he made during the course of the trial. This conclusion is a good example of why a case-by-case inquiry is required, rather than simply adopting an automatic rule of reversal.

Petitioner’s description of roads not taken would entail two degrees of speculation. We would be required to assume that Saunders believed he had a continuing duty to the victim, and we then would be required to consider whether in this hypothetical case, the counsel would have been blocked from pursuing an alternative defense strategy. The District Court concluded that the prosecution’s case, coupled with the defendant’s insistence on testifying, foreclosed the strategies suggested by petitioner after the fact. According to the District Court, there was no plausible argument that the victim consented to sexual relations with his murderer, given the bruises on the victim’s neck, blood marks showing the victim was stabbed before or during sexual intercourse, and, most important, petitioner’s insistence on testifying at trial that he had never met the victim. See 74 F. Supp. 2d, at 607 (“[T]he record shows that other facts foreclosed presentation of consent as a plausible alternative defense strategy”). The basic defense at the guilt phase was that petitioner was not at the scene; this is hardly consistent with the theory that there was a consensual encounter.

The District Court said the same for counsel’s alleged dereliction at the sentencing phase. Saunders’ failure to attack the character of the 17-year-old victim and his mother had nothing to do with the putative conflict of interest. This strategy was rejected as likely to backfire, not only by Saunders, but also by his co-counsel, who owed no duty to Hall. See id. , at 608 (“[T]he record here dispels the contention that the failure to use negative information about Hall is attributable to any conflict of interest on the part of Saunders”). These facts, and others relied upon by the District Court, provide compelling evidence that a theoretical conflict does not establish a constitutional violation, even when the conflict is one about which the trial judge should have known.

The constitutional question must turn on whether trial counsel had a conflict of interest that hampered the representation, not on whether the trial judge should have been more assiduous in taking prophylactic measures. If it were otherwise, the judge’s duty would not be limited to cases where the attorney is suspected of harboring a conflict of interest. The Sixth Amendment protects the defendant against an ineffective attorney, as well as a conflicted one. See Strickland v. Washington , 466 U. S. 668, 685–686 (1984) . It would be a major departure to say that the trial judge must step in every time defense counsel appears to be providing ineffective assistance, and indeed, there is no precedent to support this proposition. As the Sixth Amendment guarantees the defendant the assistance of counsel, the infringement of that right must depend on a deficiency of the lawyer, not of the trial judge. There is no reason to presume this guarantee unful- filled when the purported conflict has had no effect on the representation.

With these observations, I join the opinion of the Court.


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Concurrence

WALTER MICKENS, Jr ., PETITIONER v.
JOHN TAYLOR, WARDEN

on writ of certiorari to the united states court of appeals for the fourth circuit


[March 27, 2002]

Justice Kennedy , with whom Justice O’Connor joins, concurring.

In its comprehensive analysis the Court has said all that is necessary to address the issues raised by the question presented, and I join the opinion in full. The trial judge’s failure to inquire into a suspected conflict is not the kind of error requiring a presumption of prejudice. We did not grant certiorari on a second question presented by petitioner: whether, if we rejected his proposed presumption, he had nonetheless established that a conflict of interest adversely affected his representation. I write separately to emphasize that the facts of this case well illustrate why a wooden rule requiring reversal is inappropriate for cases like this one.

At petitioner’s request, the District Court conducted an evidentiary hearing on the conflict claim and issued a thorough opinion, which found that counsel’s brief representation of the victim had no effect whatsoever on the course of petitioner’s trial. See Mickens v. Greene , 74 F. Supp. 2d 586 (ED Va. 1999). The District Court’s findings depend upon credibility judgments made after hearing the testimony of petitioner’s counsel, Bryan Saunders, and other witnesses. As a reviewing court, our role is not to speculate about counsel’s motives or about the plausibility of alternative litigation strategies. Our role is to defer to the District Court’s factual findings unless we can conclude they are clearly erroneous. See Lackawanna County District Attorney v. Coss, 532 U. S. 394, 406 (2001) (opinion of O’Connor, J. ). The District Court found that Saunders did not believe he had any obligation to his former client, Timothy Hall, that would interfere with the litigation. See 74 F. Supp. 2d, at 606 (“[T]he Court concludes that, as a factual matter, Saunders did not believe that any continuing duties to a former client might interfere with his consideration of all facts and options for his current client”) (internal quotation marks and alteration omitted). Although the District Court concluded that Saunders probably did learn some matters that were confidential, it found that nothing the attorney learned was relevant to the subsequent murder case. See ibid. (“[T]he record here confirms that Saunders did not learn any confidential information from Hall that was relevant to Mickens’ defense either on the merits or at sentencing” (emphasis deleted)). Indeed, even if Saunders had learned relevant information, the District Court found that he labored under the impression he had no continuing duty at all to his deceased client. See id., at 605 (“[T]he record here reflects that, as far as Saunders was concerned, his allegiance to Hall, ‘[e]nded when I walked into the courtroom and they told me he was dead and the case was gone’ ”) (quoting Hearing Tr. 156–157, 218 (Jan. 13, 1999)). While Saunders’ belief may have been mistaken, it establishes that the prior representation did not influence the choices he made during the course of the trial. This conclusion is a good example of why a case-by-case inquiry is required, rather than simply adopting an automatic rule of reversal.

Petitioner’s description of roads not taken would entail two degrees of speculation. We would be required to assume that Saunders believed he had a continuing duty to the victim, and we then would be required to consider whether in this hypothetical case, the counsel would have been blocked from pursuing an alternative defense strategy. The District Court concluded that the prosecution’s case, coupled with the defendant’s insistence on testifying, foreclosed the strategies suggested by petitioner after the fact. According to the District Court, there was no plausible argument that the victim consented to sexual relations with his murderer, given the bruises on the victim’s neck, blood marks showing the victim was stabbed before or during sexual intercourse, and, most important, petitioner’s insistence on testifying at trial that he had never met the victim. See 74 F. Supp. 2d, at 607 (“[T]he record shows that other facts foreclosed presentation of consent as a plausible alternative defense strategy”). The basic defense at the guilt phase was that petitioner was not at the scene; this is hardly consistent with the theory that there was a consensual encounter.

The District Court said the same for counsel’s alleged dereliction at the sentencing phase. Saunders’ failure to attack the character of the 17-year-old victim and his mother had nothing to do with the putative conflict of interest. This strategy was rejected as likely to backfire, not only by Saunders, but also by his co-counsel, who owed no duty to Hall. See id. , at 608 (“[T]he record here dispels the contention that the failure to use negative information about Hall is attributable to any conflict of interest on the part of Saunders”). These facts, and others relied upon by the District Court, provide compelling evidence that a theoretical conflict does not establish a constitutional violation, even when the conflict is one about which the trial judge should have known.

The constitutional question must turn on whether trial counsel had a conflict of interest that hampered the representation, not on whether the trial judge should have been more assiduous in taking prophylactic measures. If it were otherwise, the judge’s duty would not be limited to cases where the attorney is suspected of harboring a conflict of interest. The Sixth Amendment protects the defendant against an ineffective attorney, as well as a conflicted one. See Strickland v. Washington , 466 U. S. 668, 685–686 (1984) . It would be a major departure to say that the trial judge must step in every time defense counsel appears to be providing ineffective assistance, and indeed, there is no precedent to support this proposition. As the Sixth Amendment guarantees the defendant the assistance of counsel, the infringement of that right must depend on a deficiency of the lawyer, not of the trial judge. There is no reason to presume this guarantee unful- filled when the purported conflict has had no effect on the representation.

With these observations, I join the opinion of the Court.


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Concurrence

WALTER MICKENS, Jr ., PETITIONER v.
JOHN TAYLOR, WARDEN

on writ of certiorari to the united states court of appeals for the fourth circuit


[March 27, 2002]

Justice Kennedy , with whom Justice O’Connor joins, concurring.

In its comprehensive analysis the Court has said all that is necessary to address the issues raised by the question presented, and I join the opinion in full. The trial judge’s failure to inquire into a suspected conflict is not the kind of error requiring a presumption of prejudice. We did not grant certiorari on a second question presented by petitioner: whether, if we rejected his proposed presumption, he had nonetheless established that a conflict of interest adversely affected his representation. I write separately to emphasize that the facts of this case well illustrate why a wooden rule requiring reversal is inappropriate for cases like this one.

At petitioner’s request, the District Court conducted an evidentiary hearing on the conflict claim and issued a thorough opinion, which found that counsel’s brief representation of the victim had no effect whatsoever on the course of petitioner’s trial. See Mickens v. Greene , 74 F. Supp. 2d 586 (ED Va. 1999). The District Court’s findings depend upon credibility judgments made after hearing the testimony of petitioner’s counsel, Bryan Saunders, and other witnesses. As a reviewing court, our role is not to speculate about counsel’s motives or about the plausibility of alternative litigation strategies. Our role is to defer to the District Court’s factual findings unless we can conclude they are clearly erroneous. See Lackawanna County District Attorney v. Coss, 532 U. S. 394, 406 (2001) (opinion of O’Connor, J. ). The District Court found that Saunders did not believe he had any obligation to his former client, Timothy Hall, that would interfere with the litigation. See 74 F. Supp. 2d, at 606 (“[T]he Court concludes that, as a factual matter, Saunders did not believe that any continuing duties to a former client might interfere with his consideration of all facts and options for his current client”) (internal quotation marks and alteration omitted). Although the District Court concluded that Saunders probably did learn some matters that were confidential, it found that nothing the attorney learned was relevant to the subsequent murder case. See ibid. (“[T]he record here confirms that Saunders did not learn any confidential information from Hall that was relevant to Mickens’ defense either on the merits or at sentencing” (emphasis deleted)). Indeed, even if Saunders had learned relevant information, the District Court found that he labored under the impression he had no continuing duty at all to his deceased client. See id., at 605 (“[T]he record here reflects that, as far as Saunders was concerned, his allegiance to Hall, ‘[e]nded when I walked into the courtroom and they told me he was dead and the case was gone’ ”) (quoting Hearing Tr. 156–157, 218 (Jan. 13, 1999)). While Saunders’ belief may have been mistaken, it establishes that the prior representation did not influence the choices he made during the course of the trial. This conclusion is a good example of why a case-by-case inquiry is required, rather than simply adopting an automatic rule of reversal.

Petitioner’s description of roads not taken would entail two degrees of speculation. We would be required to assume that Saunders believed he had a continuing duty to the victim, and we then would be required to consider whether in this hypothetical case, the counsel would have been blocked from pursuing an alternative defense strategy. The District Court concluded that the prosecution’s case, coupled with the defendant’s insistence on testifying, foreclosed the strategies suggested by petitioner after the fact. According to the District Court, there was no plausible argument that the victim consented to sexual relations with his murderer, given the bruises on the victim’s neck, blood marks showing the victim was stabbed before or during sexual intercourse, and, most important, petitioner’s insistence on testifying at trial that he had never met the victim. See 74 F. Supp. 2d, at 607 (“[T]he record shows that other facts foreclosed presentation of consent as a plausible alternative defense strategy”). The basic defense at the guilt phase was that petitioner was not at the scene; this is hardly consistent with the theory that there was a consensual encounter.

The District Court said the same for counsel’s alleged dereliction at the sentencing phase. Saunders’ failure to attack the character of the 17-year-old victim and his mother had nothing to do with the putative conflict of interest. This strategy was rejected as likely to backfire, not only by Saunders, but also by his co-counsel, who owed no duty to Hall. See id. , at 608 (“[T]he record here dispels the contention that the failure to use negative information about Hall is attributable to any conflict of interest on the part of Saunders”). These facts, and others relied upon by the District Court, provide compelling evidence that a theoretical conflict does not establish a constitutional violation, even when the conflict is one about which the trial judge should have known.

The constitutional question must turn on whether trial counsel had a conflict of interest that hampered the representation, not on whether the trial judge should have been more assiduous in taking prophylactic measures. If it were otherwise, the judge’s duty would not be limited to cases where the attorney is suspected of harboring a conflict of interest. The Sixth Amendment protects the defendant against an ineffective attorney, as well as a conflicted one. See Strickland v. Washington , 466 U. S. 668, 685–686 (1984) . It would be a major departure to say that the trial judge must step in every time defense counsel appears to be providing ineffective assistance, and indeed, there is no precedent to support this proposition. As the Sixth Amendment guarantees the defendant the assistance of counsel, the infringement of that right must depend on a deficiency of the lawyer, not of the trial judge. There is no reason to presume this guarantee unful- filled when the purported conflict has had no effect on the representation.

With these observations, I join the opinion of the Court.


TOP

Concurrence

WALTER MICKENS, Jr ., PETITIONER v.
JOHN TAYLOR, WARDEN

on writ of certiorari to the united states court of appeals for the fourth circuit


[March 27, 2002]

Justice Kennedy , with whom Justice O’Connor joins, concurring.

In its comprehensive analysis the Court has said all that is necessary to address the issues raised by the question presented, and I join the opinion in full. The trial judge’s failure to inquire into a suspected conflict is not the kind of error requiring a presumption of prejudice. We did not grant certiorari on a second question presented by petitioner: whether, if we rejected his proposed presumption, he had nonetheless established that a conflict of interest adversely affected his representation. I write separately to emphasize that the facts of this case well illustrate why a wooden rule requiring reversal is inappropriate for cases like this one.

At petitioner’s request, the District Court conducted an evidentiary hearing on the conflict claim and issued a thorough opinion, which found that counsel’s brief representation of the victim had no effect whatsoever on the course of petitioner’s trial. See Mickens v. Greene , 74 F. Supp. 2d 586 (ED Va. 1999). The District Court’s findings depend upon credibility judgments made after hearing the testimony of petitioner’s counsel, Bryan Saunders, and other witnesses. As a reviewing court, our role is not to speculate about counsel’s motives or about the plausibility of alternative litigation strategies. Our role is to defer to the District Court’s factual findings unless we can conclude they are clearly erroneous. See Lackawanna County District Attorney v. Coss, 532 U. S. 394, 406 (2001) (opinion of O’Connor, J. ). The District Court found that Saunders did not believe he had any obligation to his former client, Timothy Hall, that would interfere with the litigation. See 74 F. Supp. 2d, at 606 (“[T]he Court concludes that, as a factual matter, Saunders did not believe that any continuing duties to a former client might interfere with his consideration of all facts and options for his current client”) (internal quotation marks and alteration omitted). Although the District Court concluded that Saunders probably did learn some matters that were confidential, it found that nothing the attorney learned was relevant to the subsequent murder case. See ibid. (“[T]he record here confirms that Saunders did not learn any confidential information from Hall that was relevant to Mickens’ defense either on the merits or at sentencing” (emphasis deleted)). Indeed, even if Saunders had learned relevant information, the District Court found that he labored under the impression he had no continuing duty at all to his deceased client. See id., at 605 (“[T]he record here reflects that, as far as Saunders was concerned, his allegiance to Hall, ‘[e]nded when I walked into the courtroom and they told me he was dead and the case was gone’ ”) (quoting Hearing Tr. 156–157, 218 (Jan. 13, 1999)). While Saunders’ belief may have been mistaken, it establishes that the prior representation did not influence the choices he made during the course of the trial. This conclusion is a good example of why a case-by-case inquiry is required, rather than simply adopting an automatic rule of reversal.

Petitioner’s description of roads not taken would entail two degrees of speculation. We would be required to assume that Saunders believed he had a continuing duty to the victim, and we then would be required to consider whether in this hypothetical case, the counsel would have been blocked from pursuing an alternative defense strategy. The District Court concluded that the prosecution’s case, coupled with the defendant’s insistence on testifying, foreclosed the strategies suggested by petitioner after the fact. According to the District Court, there was no plausible argument that the victim consented to sexual relations with his murderer, given the bruises on the victim’s neck, blood marks showing the victim was stabbed before or during sexual intercourse, and, most important, petitioner’s insistence on testifying at trial that he had never met the victim. See 74 F. Supp. 2d, at 607 (“[T]he record shows that other facts foreclosed presentation of consent as a plausible alternative defense strategy”). The basic defense at the guilt phase was that petitioner was not at the scene; this is hardly consistent with the theory that there was a consensual encounter.

The District Court said the same for counsel’s alleged dereliction at the sentencing phase. Saunders’ failure to attack the character of the 17-year-old victim and his mother had nothing to do with the putative conflict of interest. This strategy was rejected as likely to backfire, not only by Saunders, but also by his co-counsel, who owed no duty to Hall. See id. , at 608 (“[T]he record here dispels the contention that the failure to use negative information about Hall is attributable to any conflict of interest on the part of Saunders”). These facts, and others relied upon by the District Court, provide compelling evidence that a theoretical conflict does not establish a constitutional violation, even when the conflict is one about which the trial judge should have known.

The constitutional question must turn on whether trial counsel had a conflict of interest that hampered the representation, not on whether the trial judge should have been more assiduous in taking prophylactic measures. If it were otherwise, the judge’s duty would not be limited to cases where the attorney is suspected of harboring a conflict of interest. The Sixth Amendment protects the defendant against an ineffective attorney, as well as a conflicted one. See Strickland v. Washington , 466 U. S. 668, 685–686 (1984) . It would be a major departure to say that the trial judge must step in every time defense counsel appears to be providing ineffective assistance, and indeed, there is no precedent to support this proposition. As the Sixth Amendment guarantees the defendant the assistance of counsel, the infringement of that right must depend on a deficiency of the lawyer, not of the trial judge. There is no reason to presume this guarantee unful- filled when the purported conflict has had no effect on the representation.

With these observations, I join the opinion of the Court.


TOP

Concurrence

WALTER MICKENS, Jr ., PETITIONER v.
JOHN TAYLOR, WARDEN

on writ of certiorari to the united states court of appeals for the fourth circuit


[March 27, 2002]

Justice Kennedy , with whom Justice O’Connor joins, concurring.

In its comprehensive analysis the Court has said all that is necessary to address the issues raised by the question presented, and I join the opinion in full. The trial judge’s failure to inquire into a suspected conflict is not the kind of error requiring a presumption of prejudice. We did not grant certiorari on a second question presented by petitioner: whether, if we rejected his proposed presumption, he had nonetheless established that a conflict of interest adversely affected his representation. I write separately to emphasize that the facts of this case well illustrate why a wooden rule requiring reversal is inappropriate for cases like this one.

At petitioner’s request, the District Court conducted an evidentiary hearing on the conflict claim and issued a thorough opinion, which found that counsel’s brief representation of the victim had no effect whatsoever on the course of petitioner’s trial. See Mickens v. Greene , 74 F. Supp. 2d 586 (ED Va. 1999). The District Court’s findings depend upon credibility judgments made after hearing the testimony of petitioner’s counsel, Bryan Saunders, and other witnesses. As a reviewing court, our role is not to speculate about counsel’s motives or about the plausibility of alternative litigation strategies. Our role is to defer to the District Court’s factual findings unless we can conclude they are clearly erroneous. See Lackawanna County District Attorney v. Coss, 532 U. S. 394, 406 (2001) (opinion of O’Connor, J. ). The District Court found that Saunders did not believe he had any obligation to his former client, Timothy Hall, that would interfere with the litigation. See 74 F. Supp. 2d, at 606 (“[T]he Court concludes that, as a factual matter, Saunders did not believe that any continuing duties to a former client might interfere with his consideration of all facts and options for his current client”) (internal quotation marks and alteration omitted). Although the District Court concluded that Saunders probably did learn some matters that were confidential, it found that nothing the attorney learned was relevant to the subsequent murder case. See ibid. (“[T]he record here confirms that Saunders did not learn any confidential information from Hall that was relevant to Mickens’ defense either on the merits or at sentencing” (emphasis deleted)). Indeed, even if Saunders had learned relevant information, the District Court found that he labored under the impression he had no continuing duty at all to his deceased client. See id., at 605 (“[T]he record here reflects that, as far as Saunders was concerned, his allegiance to Hall, ‘[e]nded when I walked into the courtroom and they told me he was dead and the case was gone’ ”) (quoting Hearing Tr. 156–157, 218 (Jan. 13, 1999)). While Saunders’ belief may have been mistaken, it establishes that the prior representation did not influence the choices he made during the course of the trial. This conclusion is a good example of why a case-by-case inquiry is required, rather than simply adopting an automatic rule of reversal.

Petitioner’s description of roads not taken would entail two degrees of speculation. We would be required to assume that Saunders believed he had a continuing duty to the victim, and we then would be required to consider whether in this hypothetical case, the counsel would have been blocked from pursuing an alternative defense strategy. The District Court concluded that the prosecution’s case, coupled with the defendant’s insistence on testifying, foreclosed the strategies suggested by petitioner after the fact. According to the District Court, there was no plausible argument that the victim consented to sexual relations with his murderer, given the bruises on the victim’s neck, blood marks showing the victim was stabbed before or during sexual intercourse, and, most important, petitioner’s insistence on testifying at trial that he had never met the victim. See 74 F. Supp. 2d, at 607 (“[T]he record shows that other facts foreclosed presentation of consent as a plausible alternative defense strategy”). The basic defense at the guilt phase was that petitioner was not at the scene; this is hardly consistent with the theory that there was a consensual encounter.

The District Court said the same for counsel’s alleged dereliction at the sentencing phase. Saunders’ failure to attack the character of the 17-year-old victim and his mother had nothing to do with the putative conflict of interest. This strategy was rejected as likely to backfire, not only by Saunders, but also by his co-counsel, who owed no duty to Hall. See id. , at 608 (“[T]he record here dispels the contention that the failure to use negative information about Hall is attributable to any conflict of interest on the part of Saunders”). These facts, and others relied upon by the District Court, provide compelling evidence that a theoretical conflict does not establish a constitutional violation, even when the conflict is one about which the trial judge should have known.

The constitutional question must turn on whether trial counsel had a conflict of interest that hampered the representation, not on whether the trial judge should have been more assiduous in taking prophylactic measures. If it were otherwise, the judge’s duty would not be limited to cases where the attorney is suspected of harboring a conflict of interest. The Sixth Amendment protects the defendant against an ineffective attorney, as well as a conflicted one. See Strickland v. Washington , 466 U. S. 668, 685–686 (1984) . It would be a major departure to say that the trial judge must step in every time defense counsel appears to be providing ineffective assistance, and indeed, there is no precedent to support this proposition. As the Sixth Amendment guarantees the defendant the assistance of counsel, the infringement of that right must depend on a deficiency of the lawyer, not of the trial judge. There is no reason to presume this guarantee unful- filled when the purported conflict has had no effect on the representation.

With these observations, I join the opinion of the Court.


TOP

Concurrence

WALTER MICKENS, Jr ., PETITIONER v.
JOHN TAYLOR, WARDEN

on writ of certiorari to the united states court of appeals for the fourth circuit


[March 27, 2002]

Justice Kennedy , with whom Justice O’Connor joins, concurring.

In its comprehensive analysis the Court has said all that is necessary to address the issues raised by the question presented, and I join the opinion in full. The trial judge’s failure to inquire into a suspected conflict is not the kind of error requiring a presumption of prejudice. We did not grant certiorari on a second question presented by petitioner: whether, if we rejected his proposed presumption, he had nonetheless established that a conflict of interest adversely affected his representation. I write separately to emphasize that the facts of this case well illustrate why a wooden rule requiring reversal is inappropriate for cases like this one.

At petitioner’s request, the District Court conducted an evidentiary hearing on the conflict claim and issued a thorough opinion, which found that counsel’s brief representation of the victim had no effect whatsoever on the course of petitioner’s trial. See Mickens v. Greene , 74 F. Supp. 2d 586 (ED Va. 1999). The District Court’s findings depend upon credibility judgments made after hearing the testimony of petitioner’s counsel, Bryan Saunders, and other witnesses. As a reviewing court, our role is not to speculate about counsel’s motives or about the plausibility of alternative litigation strategies. Our role is to defer to the District Court’s factual findings unless we can conclude they are clearly erroneous. See Lackawanna County District Attorney v. Coss, 532 U. S. 394, 406 (2001) (opinion of O’Connor, J. ). The District Court found that Saunders did not believe he had any obligation to his former client, Timothy Hall, that would interfere with the litigation. See 74 F. Supp. 2d, at 606 (“[T]he Court concludes that, as a factual matter, Saunders did not believe that any continuing duties to a former client might interfere with his consideration of all facts and options for his current client”) (internal quotation marks and alteration omitted). Although the District Court concluded that Saunders probably did learn some matters that were confidential, it found that nothing the attorney learned was relevant to the subsequent murder case. See ibid. (“[T]he record here confirms that Saunders did not learn any confidential information from Hall that was relevant to Mickens’ defense either on the merits or at sentencing” (emphasis deleted)). Indeed, even if Saunders had learned relevant information, the District Court found that he labored under the impression he had no continuing duty at all to his deceased client. See id., at 605 (“[T]he record here reflects that, as far as Saunders was concerned, his allegiance to Hall, ‘[e]nded when I walked into the courtroom and they told me he was dead and the case was gone’ ”) (quoting Hearing Tr. 156–157, 218 (Jan. 13, 1999)). While Saunders’ belief may have been mistaken, it establishes that the prior representation did not influence the choices he made during the course of the trial. This conclusion is a good example of why a case-by-case inquiry is required, rather than simply adopting an automatic rule of reversal.

Petitioner’s description of roads not taken would entail two degrees of speculation. We would be required to assume that Saunders believed he had a continuing duty to the victim, and we then would be required to consider whether in this hypothetical case, the counsel would have been blocked from pursuing an alternative defense strategy. The District Court concluded that the prosecution’s case, coupled with the defendant’s insistence on testifying, foreclosed the strategies suggested by petitioner after the fact. According to the District Court, there was no plausible argument that the victim consented to sexual relations with his murderer, given the bruises on the victim’s neck, blood marks showing the victim was stabbed before or during sexual intercourse, and, most important, petitioner’s insistence on testifying at trial that he had never met the victim. See 74 F. Supp. 2d, at 607 (“[T]he record shows that other facts foreclosed presentation of consent as a plausible alternative defense strategy”). The basic defense at the guilt phase was that petitioner was not at the scene; this is hardly consistent with the theory that there was a consensual encounter.

The District Court said the same for counsel’s alleged dereliction at the sentencing phase. Saunders’ failure to attack the character of the 17-year-old victim and his mother had nothing to do with the putative conflict of interest. This strategy was rejected as likely to backfire, not only by Saunders, but also by his co-counsel, who owed no duty to Hall. See id. , at 608 (“[T]he record here dispels the contention that the failure to use negative information about Hall is attributable to any conflict of interest on the part of Saunders”). These facts, and others relied upon by the District Court, provide compelling evidence that a theoretical conflict does not establish a constitutional violation, even when the conflict is one about which the trial judge should have known.

The constitutional question must turn on whether trial counsel had a conflict of interest that hampered the representation, not on whether the trial judge should have been more assiduous in taking prophylactic measures. If it were otherwise, the judge’s duty would not be limited to cases where the attorney is suspected of harboring a conflict of interest. The Sixth Amendment protects the defendant against an ineffective attorney, as well as a conflicted one. See Strickland v. Washington , 466 U. S. 668, 685–686 (1984) . It would be a major departure to say that the trial judge must step in every time defense counsel appears to be providing ineffective assistance, and indeed, there is no precedent to support this proposition. As the Sixth Amendment guarantees the defendant the assistance of counsel, the infringement of that right must depend on a deficiency of the lawyer, not of the trial judge. There is no reason to presume this guarantee unful- filled when the purported conflict has had no effect on the representation.

With these observations, I join the opinion of the Court.


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Concurrence

WALTER MICKENS, Jr ., PETITIONER v.
JOHN TAYLOR, WARDEN

on writ of certiorari to the united states court of appeals for the fourth circuit


[March 27, 2002]

Justice Kennedy , with whom Justice O’Connor joins, concurring.

In its comprehensive analysis the Court has said all that is necessary to address the issues raised by the question presented, and I join the opinion in full. The trial judge’s failure to inquire into a suspected conflict is not the kind of error requiring a presumption of prejudice. We did not grant certiorari on a second question presented by petitioner: whether, if we rejected his proposed presumption, he had nonetheless established that a conflict of interest adversely affected his representation. I write separately to emphasize that the facts of this case well illustrate why a wooden rule requiring reversal is inappropriate for cases like this one.

At petitioner’s request, the District Court conducted an evidentiary hearing on the conflict claim and issued a thorough opinion, which found that counsel’s brief representation of the victim had no effect whatsoever on the course of petitioner’s trial. See Mickens v. Greene , 74 F. Supp. 2d 586 (ED Va. 1999). The District Court’s findings depend upon credibility judgments made after hearing the testimony of petitioner’s counsel, Bryan Saunders, and other witnesses. As a reviewing court, our role is not to speculate about counsel’s motives or about the plausibility of alternative litigation strategies. Our role is to defer to the District Court’s factual findings unless we can conclude they are clearly erroneous. See Lackawanna County District Attorney v. Coss, 532 U. S. 394, 406 (2001) (opinion of O’Connor, J. ). The District Court found that Saunders did not believe he had any obligation to his former client, Timothy Hall, that would interfere with the litigation. See 74 F. Supp. 2d, at 606 (“[T]he Court concludes that, as a factual matter, Saunders did not believe that any continuing duties to a former client might interfere with his consideration of all facts and options for his current client”) (internal quotation marks and alteration omitted). Although the District Court concluded that Saunders probably did learn some matters that were confidential, it found that nothing the attorney learned was relevant to the subsequent murder case. See ibid. (“[T]he record here confirms that Saunders did not learn any confidential information from Hall that was relevant to Mickens’ defense either on the merits or at sentencing” (emphasis deleted)). Indeed, even if Saunders had learned relevant information, the District Court found that he labored under the impression he had no continuing duty at all to his deceased client. See id., at 605 (“[T]he record here reflects that, as far as Saunders was concerned, his allegiance to Hall, ‘[e]nded when I walked into the courtroom and they told me he was dead and the case was gone’ ”) (quoting Hearing Tr. 156–157, 218 (Jan. 13, 1999)). While Saunders’ belief may have been mistaken, it establishes that the prior representation did not influence the choices he made during the course of the trial. This conclusion is a good example of why a case-by-case inquiry is required, rather than simply adopting an automatic rule of reversal.

Petitioner’s description of roads not taken would entail two degrees of speculation. We would be required to assume that Saunders believed he had a continuing duty to the victim, and we then would be required to consider whether in this hypothetical case, the counsel would have been blocked from pursuing an alternative defense strategy. The District Court concluded that the prosecution’s case, coupled with the defendant’s insistence on testifying, foreclosed the strategies suggested by petitioner after the fact. According to the District Court, there was no plausible argument that the victim consented to sexual relations with his murderer, given the bruises on the victim’s neck, blood marks showing the victim was stabbed before or during sexual intercourse, and, most important, petitioner’s insistence on testifying at trial that he had never met the victim. See 74 F. Supp. 2d, at 607 (“[T]he record shows that other facts foreclosed presentation of consent as a plausible alternative defense strategy”). The basic defense at the guilt phase was that petitioner was not at the scene; this is hardly consistent with the theory that there was a consensual encounter.

The District Court said the same for counsel’s alleged dereliction at the sentencing phase. Saunders’ failure to attack the character of the 17-year-old victim and his mother had nothing to do with the putative conflict of interest. This strategy was rejected as likely to backfire, not only by Saunders, but also by his co-counsel, who owed no duty to Hall. See id. , at 608 (“[T]he record here dispels the contention that the failure to use negative information about Hall is attributable to any conflict of interest on the part of Saunders”). These facts, and others relied upon by the District Court, provide compelling evidence that a theoretical conflict does not establish a constitutional violation, even when the conflict is one about which the trial judge should have known.

The constitutional question must turn on whether trial counsel had a conflict of interest that hampered the representation, not on whether the trial judge should have been more assiduous in taking prophylactic measures. If it were otherwise, the judge’s duty would not be limited to cases where the attorney is suspected of harboring a conflict of interest. The Sixth Amendment protects the defendant against an ineffective attorney, as well as a conflicted one. See Strickland v. Washington , 466 U. S. 668, 685–686 (1984) . It would be a major departure to say that the trial judge must step in every time defense counsel appears to be providing ineffective assistance, and indeed, there is no precedent to support this proposition. As the Sixth Amendment guarantees the defendant the assistance of counsel, the infringement of that right must depend on a deficiency of the lawyer, not of the trial judge. There is no reason to presume this guarantee unful- filled when the purported conflict has had no effect on the representation.

With these observations, I join the opinion of the Court.


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Concurrence

WALTER MICKENS, Jr ., PETITIONER v.
JOHN TAYLOR, WARDEN

on writ of certiorari to the united states court of appeals for the fourth circuit


[March 27, 2002]

Justice Kennedy , with whom Justice O’Connor joins, concurring.

In its comprehensive analysis the Court has said all that is necessary to address the issues raised by the question presented, and I join the opinion in full. The trial judge’s failure to inquire into a suspected conflict is not the kind of error requiring a presumption of prejudice. We did not grant certiorari on a second question presented by petitioner: whether, if we rejected his proposed presumption, he had nonetheless established that a conflict of interest adversely affected his representation. I write separately to emphasize that the facts of this case well illustrate why a wooden rule requiring reversal is inappropriate for cases like this one.

At petitioner’s request, the District Court conducted an evidentiary hearing on the conflict claim and issued a thorough opinion, which found that counsel’s brief representation of the victim had no effect whatsoever on the course of petitioner’s trial. See Mickens v. Greene , 74 F. Supp. 2d 586 (ED Va. 1999). The District Court’s findings depend upon credibility judgments made after hearing the testimony of petitioner’s counsel, Bryan Saunders, and other witnesses. As a reviewing court, our role is not to speculate about counsel’s motives or about the plausibility of alternative litigation strategies. Our role is to defer to the District Court’s factual findings unless we can conclude they are clearly erroneous. See Lackawanna County District Attorney v. Coss, 532 U. S. 394, 406 (2001) (opinion of O’Connor, J. ). The District Court found that Saunders did not believe he had any obligation to his former client, Timothy Hall, that would interfere with the litigation. See 74 F. Supp. 2d, at 606 (“[T]he Court concludes that, as a factual matter, Saunders did not believe that any continuing duties to a former client might interfere with his consideration of all facts and options for his current client”) (internal quotation marks and alteration omitted). Although the District Court concluded that Saunders probably did learn some matters that were confidential, it found that nothing the attorney learned was relevant to the subsequent murder case. See ibid. (“[T]he record here confirms that Saunders did not learn any confidential information from Hall that was relevant to Mickens’ defense either on the merits or at sentencing” (emphasis deleted)). Indeed, even if Saunders had learned relevant information, the District Court found that he labored under the impression he had no continuing duty at all to his deceased client. See id., at 605 (“[T]he record here reflects that, as far as Saunders was concerned, his allegiance to Hall, ‘[e]nded when I walked into the courtroom and they told me he was dead and the case was gone’ ”) (quoting Hearing Tr. 156–157, 218 (Jan. 13, 1999)). While Saunders’ belief may have been mistaken, it establishes that the prior representation did not influence the choices he made during the course of the trial. This conclusion is a good example of why a case-by-case inquiry is required, rather than simply adopting an automatic rule of reversal.

Petitioner’s description of roads not taken would entail two degrees of speculation. We would be required to assume that Saunders believed he had a continuing duty to the victim, and we then would be required to consider whether in this hypothetical case, the counsel would have been blocked from pursuing an alternative defense strategy. The District Court concluded that the prosecution’s case, coupled with the defendant’s insistence on testifying, foreclosed the strategies suggested by petitioner after the fact. According to the District Court, there was no plausible argument that the victim consented to sexual relations with his murderer, given the bruises on the victim’s neck, blood marks showing the victim was stabbed before or during sexual intercourse, and, most important, petitioner’s insistence on testifying at trial that he had never met the victim. See 74 F. Supp. 2d, at 607 (“[T]he record shows that other facts foreclosed presentation of consent as a plausible alternative defense strategy”). The basic defense at the guilt phase was that petitioner was not at the scene; this is hardly consistent with the theory that there was a consensual encounter.

The District Court said the same for counsel’s alleged dereliction at the sentencing phase. Saunders’ failure to attack the character of the 17-year-old victim and his mother had nothing to do with the putative conflict of interest. This strategy was rejected as likely to backfire, not only by Saunders, but also by his co-counsel, who owed no duty to Hall. See id. , at 608 (“[T]he record here dispels the contention that the failure to use negative information about Hall is attributable to any conflict of interest on the part of Saunders”). These facts, and others relied upon by the District Court, provide compelling evidence that a theoretical conflict does not establish a constitutional violation, even when the conflict is one about which the trial judge should have known.

The constitutional question must turn on whether trial counsel had a conflict of interest that hampered the representation, not on whether the trial judge should have been more assiduous in taking prophylactic measures. If it were otherwise, the judge’s duty would not be limited to cases where the attorney is suspected of harboring a conflict of interest. The Sixth Amendment protects the defendant against an ineffective attorney, as well as a conflicted one. See Strickland v. Washington , 466 U. S. 668, 685–686 (1984) . It would be a major departure to say that the trial judge must step in every time defense counsel appears to be providing ineffective assistance, and indeed, there is no precedent to support this proposition. As the Sixth Amendment guarantees the defendant the assistance of counsel, the infringement of that right must depend on a deficiency of the lawyer, not of the trial judge. There is no reason to presume this guarantee unful- filled when the purported conflict has had no effect on the representation.

With these observations, I join the opinion of the Court.


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Concurrence

WALTER MICKENS, Jr ., PETITIONER v.
JOHN TAYLOR, WARDEN

on writ of certiorari to the united states court of appeals for the fourth circuit


[March 27, 2002]

Justice Kennedy , with whom Justice O’Connor joins, concurring.

In its comprehensive analysis the Court has said all that is necessary to address the issues raised by the question presented, and I join the opinion in full. The trial judge’s failure to inquire into a suspected conflict is not the kind of error requiring a presumption of prejudice. We did not grant certiorari on a second question presented by petitioner: whether, if we rejected his proposed presumption, he had nonetheless established that a conflict of interest adversely affected his representation. I write separately to emphasize that the facts of this case well illustrate why a wooden rule requiring reversal is inappropriate for cases like this one.

At petitioner’s request, the District Court conducted an evidentiary hearing on the conflict claim and issued a thorough opinion, which found that counsel’s brief representation of the victim had no effect whatsoever on the course of petitioner’s trial. See Mickens v. Greene , 74 F. Supp. 2d 586 (ED Va. 1999). The District Court’s findings depend upon credibility judgments made after hearing the testimony of petitioner’s counsel, Bryan Saunders, and other witnesses. As a reviewing court, our role is not to speculate about counsel’s motives or about the plausibility of alternative litigation strategies. Our role is to defer to the District Court’s factual findings unless we can conclude they are clearly erroneous. See Lackawanna County District Attorney v. Coss, 532 U. S. 394, 406 (2001) (opinion of O’Connor, J. ). The District Court found that Saunders did not believe he had any obligation to his former client, Timothy Hall, that would interfere with the litigation. See 74 F. Supp. 2d, at 606 (“[T]he Court concludes that, as a factual matter, Saunders did not believe that any continuing duties to a former client might interfere with his consideration of all facts and options for his current client”) (internal quotation marks and alteration omitted). Although the District Court concluded that Saunders probably did learn some matters that were confidential, it found that nothing the attorney learned was relevant to the subsequent murder case. See ibid. (“[T]he record here confirms that Saunders did not learn any confidential information from Hall that was relevant to Mickens’ defense either on the merits or at sentencing” (emphasis deleted)). Indeed, even if Saunders had learned relevant information, the District Court found that he labored under the impression he had no continuing duty at all to his deceased client. See id., at 605 (“[T]he record here reflects that, as far as Saunders was concerned, his allegiance to Hall, ‘[e]nded when I walked into the courtroom and they told me he was dead and the case was gone’ ”) (quoting Hearing Tr. 156–157, 218 (Jan. 13, 1999)). While Saunders’ belief may have been mistaken, it establishes that the prior representation did not influence the choices he made during the course of the trial. This conclusion is a good example of why a case-by-case inquiry is required, rather than simply adopting an automatic rule of reversal.

Petitioner’s description of roads not taken would entail two degrees of speculation. We would be required to assume that Saunders believed he had a continuing duty to the victim, and we then would be required to consider whether in this hypothetical case, the counsel would have been blocked from pursuing an alternative defense strategy. The District Court concluded that the prosecution’s case, coupled with the defendant’s insistence on testifying, foreclosed the strategies suggested by petitioner after the fact. According to the District Court, there was no plausible argument that the victim consented to sexual relations with his murderer, given the bruises on the victim’s neck, blood marks showing the victim was stabbed before or during sexual intercourse, and, most important, petitioner’s insistence on testifying at trial that he had never met the victim. See 74 F. Supp. 2d, at 607 (“[T]he record shows that other facts foreclosed presentation of consent as a plausible alternative defense strategy”). The basic defense at the guilt phase was that petitioner was not at the scene; this is hardly consistent with the theory that there was a consensual encounter.

The District Court said the same for counsel’s alleged dereliction at the sentencing phase. Saunders’ failure to attack the character of the 17-year-old victim and his mother had nothing to do with the putative conflict of interest. This strategy was rejected as likely to backfire, not only by Saunders, but also by his co-counsel, who owed no duty to Hall. See id. , at 608 (“[T]he record here dispels the contention that the failure to use negative information about Hall is attributable to any conflict of interest on the part of Saunders”). These facts, and others relied upon by the District Court, provide compelling evidence that a theoretical conflict does not establish a constitutional violation, even when the conflict is one about which the trial judge should have known.

The constitutional question must turn on whether trial counsel had a conflict of interest that hampered the representation, not on whether the trial judge should have been more assiduous in taking prophylactic measures. If it were otherwise, the judge’s duty would not be limited to cases where the attorney is suspected of harboring a conflict of interest. The Sixth Amendment protects the defendant against an ineffective attorney, as well as a conflicted one. See Strickland v. Washington , 466 U. S. 668, 685–686 (1984) . It would be a major departure to say that the trial judge must step in every time defense counsel appears to be providing ineffective assistance, and indeed, there is no precedent to support this proposition. As the Sixth Amendment guarantees the defendant the assistance of counsel, the infringement of that right must depend on a deficiency of the lawyer, not of the trial judge. There is no reason to presume this guarantee unful- filled when the purported conflict has had no effect on the representation.

With these observations, I join the opinion of the Court.


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Concurrence

WALTER MICKENS, Jr ., PETITIONER v.
JOHN TAYLOR, WARDEN

on writ of certiorari to the united states court of appeals for the fourth circuit


[March 27, 2002]

Justice Kennedy , with whom Justice O’Connor joins, concurring.

In its comprehensive analysis the Court has said all that is necessary to address the issues raised by the question presented, and I join the opinion in full. The trial judge’s failure to inquire into a suspected conflict is not the kind of error requiring a presumption of prejudice. We did not grant certiorari on a second question presented by petitioner: whether, if we rejected his proposed presumption, he had nonetheless established that a conflict of interest adversely affected his representation. I write separately to emphasize that the facts of this case well illustrate why a wooden rule requiring reversal is inappropriate for cases like this one.

At petitioner’s request, the District Court conducted an evidentiary hearing on the conflict claim and issued a thorough opinion, which found that counsel’s brief representation of the victim had no effect whatsoever on the course of petitioner’s trial. See Mickens v. Greene , 74 F. Supp. 2d 586 (ED Va. 1999). The District Court’s findings depend upon credibility judgments made after hearing the testimony of petitioner’s counsel, Bryan Saunders, and other witnesses. As a reviewing court, our role is not to speculate about counsel’s motives or about the plausibility of alternative litigation strategies. Our role is to defer to the District Court’s factual findings unless we can conclude they are clearly erroneous. See Lackawanna County District Attorney v. Coss, 532 U. S. 394, 406 (2001) (opinion of O’Connor, J. ). The District Court found that Saunders did not believe he had any obligation to his former client, Timothy Hall, that would interfere with the litigation. See 74 F. Supp. 2d, at 606 (“[T]he Court concludes that, as a factual matter, Saunders did not believe that any continuing duties to a former client might interfere with his consideration of all facts and options for his current client”) (internal quotation marks and alteration omitted). Although the District Court concluded that Saunders probably did learn some matters that were confidential, it found that nothing the attorney learned was relevant to the subsequent murder case. See ibid. (“[T]he record here confirms that Saunders did not learn any confidential information from Hall that was relevant to Mickens’ defense either on the merits or at sentencing” (emphasis deleted)). Indeed, even if Saunders had learned relevant information, the District Court found that he labored under the impression he had no continuing duty at all to his deceased client. See id., at 605 (“[T]he record here reflects that, as far as Saunders was concerned, his allegiance to Hall, ‘[e]nded when I walked into the courtroom and they told me he was dead and the case was gone’ ”) (quoting Hearing Tr. 156–157, 218 (Jan. 13, 1999)). While Saunders’ belief may have been mistaken, it establishes that the prior representation did not influence the choices he made during the course of the trial. This conclusion is a good example of why a case-by-case inquiry is required, rather than simply adopting an automatic rule of reversal.

Petitioner’s description of roads not taken would entail two degrees of speculation. We would be required to assume that Saunders believed he had a continuing duty to the victim, and we then would be required to consider whether in this hypothetical case, the counsel would have been blocked from pursuing an alternative defense strategy. The District Court concluded that the prosecution’s case, coupled with the defendant’s insistence on testifying, foreclosed the strategies suggested by petitioner after the fact. According to the District Court, there was no plausible argument that the victim consented to sexual relations with his murderer, given the bruises on the victim’s neck, blood marks showing the victim was stabbed before or during sexual intercourse, and, most important, petitioner’s insistence on testifying at trial that he had never met the victim. See 74 F. Supp. 2d, at 607 (“[T]he record shows that other facts foreclosed presentation of consent as a plausible alternative defense strategy”). The basic defense at the guilt phase was that petitioner was not at the scene; this is hardly consistent with the theory that there was a consensual encounter.

The District Court said the same for counsel’s alleged dereliction at the sentencing phase. Saunders’ failure to attack the character of the 17-year-old victim and his mother had nothing to do with the putative conflict of interest. This strategy was rejected as likely to backfire, not only by Saunders, but also by his co-counsel, who owed no duty to Hall. See id. , at 608 (“[T]he record here dispels the contention that the failure to use negative information about Hall is attributable to any conflict of interest on the part of Saunders”). These facts, and others relied upon by the District Court, provide compelling evidence that a theoretical conflict does not establish a constitutional violation, even when the conflict is one about which the trial judge should have known.

The constitutional question must turn on whether trial counsel had a conflict of interest that hampered the representation, not on whether the trial judge should have been more assiduous in taking prophylactic measures. If it were otherwise, the judge’s duty would not be limited to cases where the attorney is suspected of harboring a conflict of interest. The Sixth Amendment protects the defendant against an ineffective attorney, as well as a conflicted one. See Strickland v. Washington , 466 U. S. 668, 685–686 (1984) . It would be a major departure to say that the trial judge must step in every time defense counsel appears to be providing ineffective assistance, and indeed, there is no precedent to support this proposition. As the Sixth Amendment guarantees the defendant the assistance of counsel, the infringement of that right must depend on a deficiency of the lawyer, not of the trial judge. There is no reason to presume this guarantee unful- filled when the purported conflict has had no effect on the representation.

With these observations, I join the opinion of the Court.


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Concurrence

WALTER MICKENS, Jr ., PETITIONER v.
JOHN TAYLOR, WARDEN

on writ of certiorari to the united states court of appeals for the fourth circuit


[March 27, 2002]

Justice Kennedy , with whom Justice O’Connor joins, concurring.

In its comprehensive analysis the Court has said all that is necessary to address the issues raised by the question presented, and I join the opinion in full. The trial judge’s failure to inquire into a suspected conflict is not the kind of error requiring a presumption of prejudice. We did not grant certiorari on a second question presented by petitioner: whether, if we rejected his proposed presumption, he had nonetheless established that a conflict of interest adversely affected his representation. I write separately to emphasize that the facts of this case well illustrate why a wooden rule requiring reversal is inappropriate for cases like this one.

At petitioner’s request, the District Court conducted an evidentiary hearing on the conflict claim and issued a thorough opinion, which found that counsel’s brief representation of the victim had no effect whatsoever on the course of petitioner’s trial. See Mickens v. Greene , 74 F. Supp. 2d 586 (ED Va. 1999). The District Court’s findings depend upon credibility judgments made after hearing the testimony of petitioner’s counsel, Bryan Saunders, and other witnesses. As a reviewing court, our role is not to speculate about counsel’s motives or about the plausibility of alternative litigation strategies. Our role is to defer to the District Court’s factual findings unless we can conclude they are clearly erroneous. See Lackawanna County District Attorney v. Coss, 532 U. S. 394, 406 (2001) (opinion of O’Connor, J. ). The District Court found that Saunders did not believe he had any obligation to his former client, Timothy Hall, that would interfere with the litigation. See 74 F. Supp. 2d, at 606 (“[T]he Court concludes that, as a factual matter, Saunders did not believe that any continuing duties to a former client might interfere with his consideration of all facts and options for his current client”) (internal quotation marks and alteration omitted). Although the District Court concluded that Saunders probably did learn some matters that were confidential, it found that nothing the attorney learned was relevant to the subsequent murder case. See ibid. (“[T]he record here confirms that Saunders did not learn any confidential information from Hall that was relevant to Mickens’ defense either on the merits or at sentencing” (emphasis deleted)). Indeed, even if Saunders had learned relevant information, the District Court found that he labored under the impression he had no continuing duty at all to his deceased client. See id., at 605 (“[T]he record here reflects that, as far as Saunders was concerned, his allegiance to Hall, ‘[e]nded when I walked into the courtroom and they told me he was dead and the case was gone’ ”) (quoting Hearing Tr. 156–157, 218 (Jan. 13, 1999)). While Saunders’ belief may have been mistaken, it establishes that the prior representation did not influence the choices he made during the course of the trial. This conclusion is a good example of why a case-by-case inquiry is required, rather than simply adopting an automatic rule of reversal.

Petitioner’s description of roads not taken would entail two degrees of speculation. We would be required to assume that Saunders believed he had a continuing duty to the victim, and we then would be required to consider whether in this hypothetical case, the counsel would have been blocked from pursuing an alternative defense strategy. The District Court concluded that the prosecution’s case, coupled with the defendant’s insistence on testifying, foreclosed the strategies suggested by petitioner after the fact. According to the District Court, there was no plausible argument that the victim consented to sexual relations with his murderer, given the bruises on the victim’s neck, blood marks showing the victim was stabbed before or during sexual intercourse, and, most important, petitioner’s insistence on testifying at trial that he had never met the victim. See 74 F. Supp. 2d, at 607 (“[T]he record shows that other facts foreclosed presentation of consent as a plausible alternative defense strategy”). The basic defense at the guilt phase was that petitioner was not at the scene; this is hardly consistent with the theory that there was a consensual encounter.

The District Court said the same for counsel’s alleged dereliction at the sentencing phase. Saunders’ failure to attack the character of the 17-year-old victim and his mother had nothing to do with the putative conflict of interest. This strategy was rejected as likely to backfire, not only by Saunders, but also by his co-counsel, who owed no duty to Hall. See id. , at 608 (“[T]he record here dispels the contention that the failure to use negative information about Hall is attributable to any conflict of interest on the part of Saunders”). These facts, and others relied upon by the District Court, provide compelling evidence that a theoretical conflict does not establish a constitutional violation, even when the conflict is one about which the trial judge should have known.

The constitutional question must turn on whether trial counsel had a conflict of interest that hampered the representation, not on whether the trial judge should have been more assiduous in taking prophylactic measures. If it were otherwise, the judge’s duty would not be limited to cases where the attorney is suspected of harboring a conflict of interest. The Sixth Amendment protects the defendant against an ineffective attorney, as well as a conflicted one. See Strickland v. Washington , 466 U. S. 668, 685–686 (1984) . It would be a major departure to say that the trial judge must step in every time defense counsel appears to be providing ineffective assistance, and indeed, there is no precedent to support this proposition. As the Sixth Amendment guarantees the defendant the assistance of counsel, the infringement of that right must depend on a deficiency of the lawyer, not of the trial judge. There is no reason to presume this guarantee unful- filled when the purported conflict has had no effect on the representation.

With these observations, I join the opinion of the Court.


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Dissent

WALTER MICKENS, Jr ., PETITIONER v.
JOHN TAYLOR, WARDEN

on writ of certiorari to the united states court of appeals for the fourth circuit


[March 27, 2002]

Justice Stevens , dissenting.

This case raises three uniquely important questions about a fundamental component of our criminal justice system—the constitutional right of a person accused of a capital offense to have the effective assistance of counsel for his defense. 1 The first is whether a capital defendant’s attorney has a duty to disclose that he was representing the defendant’s alleged victim at the time of the murder. Second, is whether, assuming disclosure of the prior representation, the capital defendant has a right to refuse the appointment of the conflicted attorney. Third, is whether the trial judge, who knows or should know of such prior representation, has a duty to obtain the defendant’s consent before appointing that lawyer to represent him. Ultimately, the question presented by this case is whether, if these duties exist and if all of them are violated, there exist “circumstances that are so likely to prejudice the accused that the cost of litigating their effect in a particular case is unjustified.” United States v. Cronic, 466 U. S. 648, 658 (1984).

I

The first critical stage in the defense of a capital case is the series of pretrial meetings between the accused and his counsel when they decide how the case should be defended. A lawyer cannot possibly determine how best to represent a new client unless that client is willing to provide the lawyer with a truthful account of the relevant facts. When an indigent defendant first meets his newly appointed counsel, he will often falsely maintain his complete innocence. Truthful disclosures of embarrassing or incriminating facts are contingent on the development of the client’s confidence in the undivided loyalty of the lawyer. Quite obviously, knowledge that the lawyer represented the victim would be a substantial obstacle to the development of such confidence.

It is equally true that a lawyer’s decision to conceal such an important fact from his new client would have comparable ramifications. The suppression of communication and truncated investigation that would unavoidably follow from such a decision would also make it difficult, if not altogether impossible, to establish the necessary level of trust that should characterize the “delicacy of relation” between attorney and client. 2

In this very case, it is likely that Mickens misled his counsel, Bryan Saunders, given the fact that Mickens gave false testimony at his trial denying any involvement in the crime despite the overwhelming evidence that he had killed Timothy Hall after a sexual encounter. In retrospect, it seems obvious that the death penalty might have been avoided by acknowledging Mickens’ involvement, but emphasizing the evidence suggesting that their sexual encounter was consensual. Mickens’ habeas counsel garnered evidence suggesting that Hall was a male prostitute, App. 137, 149, 162, 169; that the area where Hall was killed was known for prostitution, id ., at 169–170; and that there was no evidence that Hall was forced to the secluded area where he was ultimately murdered. An unconflicted attorney could have put forward a defense tending to show that Mickens killed Hall only after the two engaged in consensual sex, but Saunders offered no such defense. This was a crucial omission—a finding of forcible sodomy was an absolute prerequisite to Mickens’ eligibility for the death penalty. 3 Of course, since that strategy would have led to conviction of a noncapital offense, counsel would have been unable to persuade the defendant to divulge the information necessary to support such a defense and then ultimately to endorse the strategy unless he had earned the complete confidence of his client.

Saunders’ concealment of essential information about his prior representation of the victim was a severe lapse in his professional duty. The lawyer’s duty to disclose his representation of a client related to the instant charge is not only intuitively obvious, it is as old as the profession. Consider this straightforward comment made by Justice Story in 1824:

“An attorney is bound to disclose to his client every adverse retainer, and even every prior retainer, which may affect the discretion of the latter. No man can be supposed to be indifferent to the knowledge of facts, which work directly on his interests, or bear on the freedom of his choice of counsel. When a client employs an attorney, he has a right to presume, if the latter be silent on the point, that he has no engagements, which interfere, in any degree, with his exclusive devotion to the cause confided to him; that he has no interest, which may betray his judgment, or endanger his fidelity.” Williams v. Reed , 29 F. Cas. 1386, 1390 (No. 17,733) (CC Me. 1824).

Mickens’ lawyer’s violation of this fundamental obligation of disclosure is indefensible. The relevance of Saunders’ prior representation of Hall to the new appointment was far too important to be concealed.

II

If the defendant is found guilty of a capital offense, the ensuing proceedings that determine whether he will be put to death are critical in every sense of the word. At those proceedings, testimony about the impact of the crime on the victim, including testimony about the character of the victim, may have a critical effect on the jury’s decision. Payne v. Tennessee, 501 U. S. 808 (1991) . Because a lawyer’s fiduciary relationship with his deceased client survives the client’s death, Swidler & Berlin v. United States, 524 U. S. 399 (1998) , Saunders necessarily labored under conflicting obligations that were irreconcilable. He had a duty to protect the reputation and confidences of his deceased client, and a duty to impeach the impact evidence presented by the prosecutor. 4

Saunders’ conflicting obligations to his deceased client, on the one hand, and to his living client, on the other, were unquestionably sufficient to give Mickens the right to insist on different representation. 5 For the “right to counsel guaranteed by the Constitution contemplates the services of an attorney devoted solely to the interests of his client,” Von Moltke v. Gillies, 332 U. S. 708, 725 (1948) . 6 Moreover, in my judgment, the right to conflict-free counsel is just as firmly protected by the Constitution as the defendant’s right of self-representation recognized in Faretta v. California, 422 U. S. 806 (1975) . 7

III

When an indigent defendant is unable to retain his own lawyer, the trial judge’s appointment of counsel is itself a critical stage of a criminal trial. At that point in the proceeding, by definition, the defendant has no lawyer to protect his interests and must rely entirely on the judge. For that reason it is “the solemn duty of a … judge before whom a defendant appears without counsel to make a thorough inquiry and to take all steps necessary to insure the fullest protection of this constitutional right at every stage of the proceedings.” Von Moltke , 322 U. S., at 722.

This duty with respect to indigent defendants is far more imperative than the judge’s duty to investigate the possibility of a conflict that arises when retained counsel represents either multiple or successive defendants. It is true that in a situation of retained counsel, “[u]nless the trial court knows or reasonably should know that a particular conflict exists, the court need not initiate an inquiry.” Cuyler v. Sullivan, 446 U. S. 335, 347 (1980) . 8 But when, as was true in this case, the judge is not merely reviewing the permissibility of the defendants’ choice of counsel, but is responsible for making the choice herself, and when she knows or should know that a conflict does exist, the duty to make a thorough inquiry is manifest and unqualified. 9 Indeed, under far less compelling circumstances, we squarely held that when a record discloses the “possibility of a conflict” between the interests of the defendants and the interests of the party paying their counsel’s fees, the Constitution imposes a duty of inquiry on the state- court judge even when no objection was made. Wood v. Georgia, 450 U. S. 261, 267, 272 (1981) .

IV

Mickens had a constitutional right to the services of an attorney devoted solely to his interests. That right was violated. The lawyer who did represent him had a duty to disclose his prior representation of the victim to Mickens and to the trial judge. That duty was violated. When Mickens had no counsel, the trial judge had a duty to “make a thorough inquiry and to take all steps necessary to insure the fullest protection of” his right to counsel. Von Moltke , 322 U. S., at 722. Despite knowledge of the lawyer’s prior representation, she violated that duty.

We will never know whether Mickens would have received the death penalty if those violations had not occurred nor precisely what effect they had on Saunders’ representation of Mickens. 10 We do know that he did not receive the kind of representation that the Constitution guarantees. If Mickens had been represented by an attorney-impostor who never passed a bar examination, we might also be unable to determine whether the impostor’s educational shortcomings “ ‘actually affected the adequacy of his representation.” ’ Ante , at 8 (emphasis deleted). We would, however, surely set aside his conviction if the person who had represented him was not a real lawyer. Four compelling reasons make setting aside the conviction the proper remedy in this case.

First, it is the remedy dictated by our holdings in Holloway v . Arkansas , 435 U. S. 475 (1978) , Cuyler v . Sullivan, 446 U. S. 335 (1980) , and Wood v. Georgia , 450 U. S. 261 (1981) . In this line of precedent, our focus was properly upon the duty of the trial court judge to inquire into a potential conflict. This duty was triggered either via defense counsel’s objection, as was the case in Holloway , or some other “special circumstances” whereby the serious potential for conflict was brought to the attention of the trial court judge. Sullivan , 446 U. S., at 346. As we unambiguously stated in Wood , “ Sullivan mandates a reversal when the trial court has failed to make an inquiry even though it ‘knows or reasonably should know that a particular conflict exists.’ ” 450 U. S. , at 272, n. 18. It is thus wrong for the Court to interpret Justice Powell’s language as referring only to a division of loyalties “that affected counsel’s performance.” Ante , at 8, n. 3 (emphasis deleted). 11 Wood nowhere hints of this meaning of “actual conflict of interest” 450 U. S., at 273, nor does it reference Sullivan in “shorthand,” a nte , at 8. Rather, Wood cites Sullivan explicitly in order to make a factual distinction: In a circumstance, such as in Wood , in which the judge knows or should know of the conflict, no showing of adverse effect is required. But when, as in Sullivan , the judge lacked this knowledge, such a showing is required. Wood, 450 U. S., at 272–274. 12

Second, it is the only remedy that responds to the real possibility that Mickens would not have received the death penalty if he had been represented by conflict-free counsel during the critical stage of the proceeding in which he first met with his lawyer. We should presume that the lawyer for the victim of a brutal homicide is incapable of establishing the kind of relationship with the defendant that is essential to effective representation.

Third, it is the only remedy that is consistent with the legal profession’s historic and universal condemnation of the representation of conflicting interests without the full disclosure and consent of all interested parties. 13 The Court’s novel and naïve assumption that a lawyer’s divided loyalties are acceptable unless it can be proved that they actually affected counsel’s performance is demeaning to the profession.

Finally, “justice must satisfy the appearance of justice.” Offutt v. United States , 348 U. S. 11, 14 (1954) . Setting aside Mickens’ conviction is the only remedy that can maintain public confidence in the fairness of the procedures employed in capital cases. Death is a different kind of punishment from any other that may be imposed in this country. “From the point of view of the defendant, it is different in both its severity and its finality. From the point of view of society, the action of the sovereign in taking the life of one of its citizens also differs dramatically from any other legitimate state action. It is of vital importance to the defendant and to the community that any decision to impose the death sentence be, and appear to be, based on reason rather than caprice or emotion.” Gardner v. Florida, 430 U. S. 349, 357–358 (1977) . A rule that allows the State to foist a murder victim’s lawyer onto his accused is not only capricious; it poisons the integrity of our adversary system of justice.

I respectfully dissent.


Notes

1 The Sixth Amendment provides: “In all criminal prosecutions, the accused shall enjoy the right … to have the Assistance of Counsel for his defence.” This protection is applicable to State, as well as federal, criminal proceedings. Gideon v. Wainwright, 372 U. S. 335 (1963) . We have long recognized the paramount importance of the right to effective assistance of counsel. United States v. Cronic, 466 U. S. 648, 653–654 (1984) (“ ‘Of all the rights that an accused person has, the right to be represented by counsel is by far the most pervasive for it affects his ability to assert any other rights he may have’ ”) (citation omitted)).

2 Williams v. Reed, 29 F. Cas. 1386, 1390 (No. 17,733) (CC Me. 1824). Discussing the necessity of full disclosure to the preservation of the lawyer-client relationship, Justice Story stated: “I agree to the doctrine urged at the bar, as to the delicacy of the relation of client and attorney, and the duty of a full, frank, and free disclosure by the latter of every circumstance, which may be presumed to be material, not merely to the interests, but to the fair exercise of the judgment, of the client.”

3 At the guilt phase, the trial court judge instructed Mickens’ jury as follows: “If you find that the Commonwealth has failed to prove beyond a reasonable doubt that the killing occurred in the commission of, or subsequent to, attempted forcible sodomy . . . [but do find a malicious, willful, deliberate, premeditated killing], then you shall find the defendant guilty of first degree murder. If you find the defendant guilty of first degree murder, then you shall fix his punishment at: (1) Imprisonment for life; or (2) A specific term of imprisonment, but not less than twenty years . . . .” App. 58–59.

4 For example, at the time of Hall’s death, Saunders was representing Hall in juvenile court for charges arising out of an incident involving Hall’s mother. She had sworn out a warrant for Hall’s arrest charging him with assault and battery. Despite knowledge of this, Mickens’ lawyer offered no rebuttal to the victim-impact statement submitted by Hall’s mother that “ ‘all [she] lived for was that boy.’ ” App. 297.

5 A group of experts in legal ethics, acting as Amici Curiae, submit that the conflict in issue in this case would be nonwaivable pursuant to the standard articulated in the ABA Ann. Model Rules of Professional Conduct (4th ed. 1999). Brief for Legal Ethicists et al. as Amici Curiae 16 (“[T]he standard test to determine if a conflict is non-waiveable is whether a ‘disinterested lawyer would conclude that the client should not agree to the representation under the circumstances.’ ” (quoting Model Rule 1.7, Comment 5)). Unfortunately, because Mickens was not informed of the fact that his appointed attorney was the lawyer of the alleged victim, the questions whether Mickens would have waived this conflict and consented to the appointment, or whether governing standards of professional responsibility would have precluded him from doing so, remain unanswered.

6 Although the conflict in this case is plainly intolerable, I, of course, do not suggest that every conflict, or every violation of the code of ethics, is a violation of the Constitution.

7 “[W]hen a defendant chooses to have a lawyer manage and present his case, law and tradition may allocate to the counsel the power to make binding decisions of trial strategy in many areas. . . . This allocation can only be justified, however, by the defendant’s consent, at the outset, to accept counsel as his representative. An unwanted counsel ‘represents’ the defendant only through a tenuous and unacceptable legal fiction. Unless the accused has acquiesced in such representation, the defense presented is not the defense guaranteed him by the Constitution, for, in a very real sense, it is not his defense.” 422 U. S., at 820–821.

8 Part III of the Court’s opinion is a foray into an issue that is not implicated by the question presented. In dicta, the Court states that Sullivan may not even apply in the first place to successive representations. Ante, at 10–12. Most Courts of Appeals, however, have applied Sullivan to claims of successive representation as well as to some insidious conflicts arising from a lawyer’s self-interest. See cases cited ante, at 10–11. We have done the same. See Wood v. Georgia, 450 U. S. 261 (1981) (applying Sullivan to a conflict stemming from a third-party payment arrangement). Neither we nor the Courts of Appeals have applied this standard “unblinkingly,” as the Court accuses, ante, at 10, but rather have relied upon principled reason. When a conflict of interest, whether multiple, successive, or otherwise, poses so substantial a risk that a lawyer’s representation would be materially and adversely affected by diverging interests or loyalties and the trial court judge knows of this and yet fails to inquire, it is a “[c]ircumstanc[e] of [such] magnitude” that “the likelihood that any lawyer, even a fully competent one, could provide effective assistance is so small that a presumption of prejudice is appropriate without inquiry into the actual conduct of the trial.” Cronic, 466 U. S., at 659–660.

9 There is no dispute before us as to the appointing judge’s knowledge. The court below assumed, arguendo, that the judge who, upon Hall’s death, dismissed Saunders from his representation of Hall and who then three days later appointed Saunders to represent Mickens in the killing of Hall “reasonably should have known that Saunders labored under a potential conflict of interest arising from his previous representation of Hall.” 240 F. 3d 348, 357 (CA4 2001). This assumption has not been challenged.

10 I disagree with the Court’s assertion that the inquiry mandated by Cuyler v. Sullivan, 446 U. S. 335 (1980) , will not aid in the determination of conflict and effect. Ante, at 9. As we have stated, “the evil [of conflict-ridden counsel] is in what the advocate finds himself compelled to refrain from doing … [making it] difficult to judge intelligently the impact of a conflict on the attorney’s representation of a client.” Holloway v. Arkansas, 435 U. S. 475, 490–491 (1978) . An adequate inquiry by the appointing or trial court judge will augment the record thereby making it easier to evaluate the impact of the conflict.

11 The Court concedes that if Mickens’ attorney had objected to the appointment based upon the conflict of interest and the trial court judge had failed to inquire, then reversal without inquiry into adverse effect would be required. Ante, at 10. The Court, in addition to ignoring the mandate of Wood, reads Sullivan too narrowly. In Sullivan we did not ask only whether an objection was made in order to ascertain whether the trial court had a duty to inquire. Rather, we stated that “[n]othing in the circumstances of this case indicates that the trial court had a duty to inquire whether there was a conflict of interest. The provision of separate trials for Sullivan and his codefendants significantly reduced the potential for a divergence in their interests. No participant in Sullivan’s trial ever objected to the multiple representation… . On these facts, we conclude that the Sixth Amendment imposed upon the trial court no affirmative duty to inquire into the propriety of multiple representation.” 446 U. S., at 347–348. It is also counter to our precedent to treat all Sixth Amendment challenges involving conflicts of interest categorically, without inquiry into the surrounding factual circumstances. In Cronic, we cited Holloway as an example of a case involving “surrounding circumstances [making] it so unlikely that any lawyer could provide effective assistance that ineffectiveness was properly presumed without inquiry into actual performance at trial.” Cronic, 466 U. S., at 661, and n. 28. The surrounding circumstances in the present case were far more egregious than those requiring reversal in either Holloway or Wood.

12 Because the appointing judge knew of the conflict, there is no need in this case to decide what should be done when the judge neither knows, nor should know, about the existence of an intolerable conflict. Nevertheless the Court argues that it makes little sense to reverse automatically upon a showing of actual conflict when the trial court judge knows (or reasonably should know) of a potential conflict and yet has failed to inquire, but not to do so when the trial court judge does not know of the conflict. Ante, at 9. Although it is true that the defendant faces the same potential for harm as a result of a conflict in either instance, in the former case the court committed the error and in the latter the harm is entirely attributable to the misconduct of defense counsel. A requirement that the defendant show adverse effect when the court committed no error surely does not justify such a requirement when the court did err. It is the Court’s rule that leads to an anomalous result. Under the Court’s analysis, if defense counsel objects to the appointment, reversal without inquiry into adverse effect is required. Ante, at 10. But counsel’s failure to object posed a greater—not a lesser—threat to Mickens’ Sixth Amendment right. Had Saunders objected to the appointment, Mickens would at least have been apprised of the conflict.

13 Every state bar in the country has an ethical rule prohibiting a lawyer from undertaking a representation that involves a conflict of interest unless the client has waived the conflict. University Publications of America, National Reporter on Legal Ethics and Professional Responsibility, Vols. I-IV (2001) (reprinting the professional responsibility codes for the 50 States). See also, ABA Ann. Model Rule of Professional Responsibility 1.7, pp. 91–92, Comments 3 and 4 (“As a general proposition, loyalty to a client prohibits undertaking representation directly adverse to that client without that client’s consent… . Loyalty to a client is also impaired when a lawyer cannot consider, recommend or carry out an appropriate course of action for the client because of the lawyer’s other responsibilities or interests”).


TOP

Dissent

WALTER MICKENS, Jr ., PETITIONER v.
JOHN TAYLOR, WARDEN

on writ of certiorari to the united states court of appeals for the fourth circuit


[March 27, 2002]

Justice Stevens , dissenting.

This case raises three uniquely important questions about a fundamental component of our criminal justice system—the constitutional right of a person accused of a capital offense to have the effective assistance of counsel for his defense. 1 The first is whether a capital defendant’s attorney has a duty to disclose that he was representing the defendant’s alleged victim at the time of the murder. Second, is whether, assuming disclosure of the prior representation, the capital defendant has a right to refuse the appointment of the conflicted attorney. Third, is whether the trial judge, who knows or should know of such prior representation, has a duty to obtain the defendant’s consent before appointing that lawyer to represent him. Ultimately, the question presented by this case is whether, if these duties exist and if all of them are violated, there exist “circumstances that are so likely to prejudice the accused that the cost of litigating their effect in a particular case is unjustified.” United States v. Cronic, 466 U. S. 648, 658 (1984).

I

The first critical stage in the defense of a capital case is the series of pretrial meetings between the accused and his counsel when they decide how the case should be defended. A lawyer cannot possibly determine how best to represent a new client unless that client is willing to provide the lawyer with a truthful account of the relevant facts. When an indigent defendant first meets his newly appointed counsel, he will often falsely maintain his complete innocence. Truthful disclosures of embarrassing or incriminating facts are contingent on the development of the client’s confidence in the undivided loyalty of the lawyer. Quite obviously, knowledge that the lawyer represented the victim would be a substantial obstacle to the development of such confidence.

It is equally true that a lawyer’s decision to conceal such an important fact from his new client would have comparable ramifications. The suppression of communication and truncated investigation that would unavoidably follow from such a decision would also make it difficult, if not altogether impossible, to establish the necessary level of trust that should characterize the “delicacy of relation” between attorney and client. 2

In this very case, it is likely that Mickens misled his counsel, Bryan Saunders, given the fact that Mickens gave false testimony at his trial denying any involvement in the crime despite the overwhelming evidence that he had killed Timothy Hall after a sexual encounter. In retrospect, it seems obvious that the death penalty might have been avoided by acknowledging Mickens’ involvement, but emphasizing the evidence suggesting that their sexual encounter was consensual. Mickens’ habeas counsel garnered evidence suggesting that Hall was a male prostitute, App. 137, 149, 162, 169; that the area where Hall was killed was known for prostitution, id ., at 169–170; and that there was no evidence that Hall was forced to the secluded area where he was ultimately murdered. An unconflicted attorney could have put forward a defense tending to show that Mickens killed Hall only after the two engaged in consensual sex, but Saunders offered no such defense. This was a crucial omission—a finding of forcible sodomy was an absolute prerequisite to Mickens’ eligibility for the death penalty. 3 Of course, since that strategy would have led to conviction of a noncapital offense, counsel would have been unable to persuade the defendant to divulge the information necessary to support such a defense and then ultimately to endorse the strategy unless he had earned the complete confidence of his client.

Saunders’ concealment of essential information about his prior representation of the victim was a severe lapse in his professional duty. The lawyer’s duty to disclose his representation of a client related to the instant charge is not only intuitively obvious, it is as old as the profession. Consider this straightforward comment made by Justice Story in 1824:

“An attorney is bound to disclose to his client every adverse retainer, and even every prior retainer, which may affect the discretion of the latter. No man can be supposed to be indifferent to the knowledge of facts, which work directly on his interests, or bear on the freedom of his choice of counsel. When a client employs an attorney, he has a right to presume, if the latter be silent on the point, that he has no engagements, which interfere, in any degree, with his exclusive devotion to the cause confided to him; that he has no interest, which may betray his judgment, or endanger his fidelity.” Williams v. Reed , 29 F. Cas. 1386, 1390 (No. 17,733) (CC Me. 1824).

Mickens’ lawyer’s violation of this fundamental obligation of disclosure is indefensible. The relevance of Saunders’ prior representation of Hall to the new appointment was far too important to be concealed.

II

If the defendant is found guilty of a capital offense, the ensuing proceedings that determine whether he will be put to death are critical in every sense of the word. At those proceedings, testimony about the impact of the crime on the victim, including testimony about the character of the victim, may have a critical effect on the jury’s decision. Payne v. Tennessee, 501 U. S. 808 (1991) . Because a lawyer’s fiduciary relationship with his deceased client survives the client’s death, Swidler & Berlin v. United States, 524 U. S. 399 (1998) , Saunders necessarily labored under conflicting obligations that were irreconcilable. He had a duty to protect the reputation and confidences of his deceased client, and a duty to impeach the impact evidence presented by the prosecutor. 4

Saunders’ conflicting obligations to his deceased client, on the one hand, and to his living client, on the other, were unquestionably sufficient to give Mickens the right to insist on different representation. 5 For the “right to counsel guaranteed by the Constitution contemplates the services of an attorney devoted solely to the interests of his client,” Von Moltke v. Gillies, 332 U. S. 708, 725 (1948) . 6 Moreover, in my judgment, the right to conflict-free counsel is just as firmly protected by the Constitution as the defendant’s right of self-representation recognized in Faretta v. California, 422 U. S. 806 (1975) . 7

III

When an indigent defendant is unable to retain his own lawyer, the trial judge’s appointment of counsel is itself a critical stage of a criminal trial. At that point in the proceeding, by definition, the defendant has no lawyer to protect his interests and must rely entirely on the judge. For that reason it is “the solemn duty of a … judge before whom a defendant appears without counsel to make a thorough inquiry and to take all steps necessary to insure the fullest protection of this constitutional right at every stage of the proceedings.” Von Moltke , 322 U. S., at 722.

This duty with respect to indigent defendants is far more imperative than the judge’s duty to investigate the possibility of a conflict that arises when retained counsel represents either multiple or successive defendants. It is true that in a situation of retained counsel, “[u]nless the trial court knows or reasonably should know that a particular conflict exists, the court need not initiate an inquiry.” Cuyler v. Sullivan, 446 U. S. 335, 347 (1980) . 8 But when, as was true in this case, the judge is not merely reviewing the permissibility of the defendants’ choice of counsel, but is responsible for making the choice herself, and when she knows or should know that a conflict does exist, the duty to make a thorough inquiry is manifest and unqualified. 9 Indeed, under far less compelling circumstances, we squarely held that when a record discloses the “possibility of a conflict” between the interests of the defendants and the interests of the party paying their counsel’s fees, the Constitution imposes a duty of inquiry on the state- court judge even when no objection was made. Wood v. Georgia, 450 U. S. 261, 267, 272 (1981) .

IV

Mickens had a constitutional right to the services of an attorney devoted solely to his interests. That right was violated. The lawyer who did represent him had a duty to disclose his prior representation of the victim to Mickens and to the trial judge. That duty was violated. When Mickens had no counsel, the trial judge had a duty to “make a thorough inquiry and to take all steps necessary to insure the fullest protection of” his right to counsel. Von Moltke , 322 U. S., at 722. Despite knowledge of the lawyer’s prior representation, she violated that duty.

We will never know whether Mickens would have received the death penalty if those violations had not occurred nor precisely what effect they had on Saunders’ representation of Mickens. 10 We do know that he did not receive the kind of representation that the Constitution guarantees. If Mickens had been represented by an attorney-impostor who never passed a bar examination, we might also be unable to determine whether the impostor’s educational shortcomings “ ‘actually affected the adequacy of his representation.” ’ Ante , at 8 (emphasis deleted). We would, however, surely set aside his conviction if the person who had represented him was not a real lawyer. Four compelling reasons make setting aside the conviction the proper remedy in this case.

First, it is the remedy dictated by our holdings in Holloway v . Arkansas , 435 U. S. 475 (1978) , Cuyler v . Sullivan, 446 U. S. 335 (1980) , and Wood v. Georgia , 450 U. S. 261 (1981) . In this line of precedent, our focus was properly upon the duty of the trial court judge to inquire into a potential conflict. This duty was triggered either via defense counsel’s objection, as was the case in Holloway , or some other “special circumstances” whereby the serious potential for conflict was brought to the attention of the trial court judge. Sullivan , 446 U. S., at 346. As we unambiguously stated in Wood , “ Sullivan mandates a reversal when the trial court has failed to make an inquiry even though it ‘knows or reasonably should know that a particular conflict exists.’ ” 450 U. S. , at 272, n. 18. It is thus wrong for the Court to interpret Justice Powell’s language as referring only to a division of loyalties “that affected counsel’s performance.” Ante , at 8, n. 3 (emphasis deleted). 11 Wood nowhere hints of this meaning of “actual conflict of interest” 450 U. S., at 273, nor does it reference Sullivan in “shorthand,” a nte , at 8. Rather, Wood cites Sullivan explicitly in order to make a factual distinction: In a circumstance, such as in Wood , in which the judge knows or should know of the conflict, no showing of adverse effect is required. But when, as in Sullivan , the judge lacked this knowledge, such a showing is required. Wood, 450 U. S., at 272–274. 12

Second, it is the only remedy that responds to the real possibility that Mickens would not have received the death penalty if he had been represented by conflict-free counsel during the critical stage of the proceeding in which he first met with his lawyer. We should presume that the lawyer for the victim of a brutal homicide is incapable of establishing the kind of relationship with the defendant that is essential to effective representation.

Third, it is the only remedy that is consistent with the legal profession’s historic and universal condemnation of the representation of conflicting interests without the full disclosure and consent of all interested parties. 13 The Court’s novel and naïve assumption that a lawyer’s divided loyalties are acceptable unless it can be proved that they actually affected counsel’s performance is demeaning to the profession.

Finally, “justice must satisfy the appearance of justice.” Offutt v. United States , 348 U. S. 11, 14 (1954) . Setting aside Mickens’ conviction is the only remedy that can maintain public confidence in the fairness of the procedures employed in capital cases. Death is a different kind of punishment from any other that may be imposed in this country. “From the point of view of the defendant, it is different in both its severity and its finality. From the point of view of society, the action of the sovereign in taking the life of one of its citizens also differs dramatically from any other legitimate state action. It is of vital importance to the defendant and to the community that any decision to impose the death sentence be, and appear to be, based on reason rather than caprice or emotion.” Gardner v. Florida, 430 U. S. 349, 357–358 (1977) . A rule that allows the State to foist a murder victim’s lawyer onto his accused is not only capricious; it poisons the integrity of our adversary system of justice.

I respectfully dissent.


Notes

1 The Sixth Amendment provides: “In all criminal prosecutions, the accused shall enjoy the right … to have the Assistance of Counsel for his defence.” This protection is applicable to State, as well as federal, criminal proceedings. Gideon v. Wainwright, 372 U. S. 335 (1963) . We have long recognized the paramount importance of the right to effective assistance of counsel. United States v. Cronic, 466 U. S. 648, 653–654 (1984) (“ ‘Of all the rights that an accused person has, the right to be represented by counsel is by far the most pervasive for it affects his ability to assert any other rights he may have’ ”) (citation omitted)).

2 Williams v. Reed, 29 F. Cas. 1386, 1390 (No. 17,733) (CC Me. 1824). Discussing the necessity of full disclosure to the preservation of the lawyer-client relationship, Justice Story stated: “I agree to the doctrine urged at the bar, as to the delicacy of the relation of client and attorney, and the duty of a full, frank, and free disclosure by the latter of every circumstance, which may be presumed to be material, not merely to the interests, but to the fair exercise of the judgment, of the client.”

3 At the guilt phase, the trial court judge instructed Mickens’ jury as follows: “If you find that the Commonwealth has failed to prove beyond a reasonable doubt that the killing occurred in the commission of, or subsequent to, attempted forcible sodomy . . . [but do find a malicious, willful, deliberate, premeditated killing], then you shall find the defendant guilty of first degree murder. If you find the defendant guilty of first degree murder, then you shall fix his punishment at: (1) Imprisonment for life; or (2) A specific term of imprisonment, but not less than twenty years . . . .” App. 58–59.

4 For example, at the time of Hall’s death, Saunders was representing Hall in juvenile court for charges arising out of an incident involving Hall’s mother. She had sworn out a warrant for Hall’s arrest charging him with assault and battery. Despite knowledge of this, Mickens’ lawyer offered no rebuttal to the victim-impact statement submitted by Hall’s mother that “ ‘all [she] lived for was that boy.’ ” App. 297.

5 A group of experts in legal ethics, acting as Amici Curiae, submit that the conflict in issue in this case would be nonwaivable pursuant to the standard articulated in the ABA Ann. Model Rules of Professional Conduct (4th ed. 1999). Brief for Legal Ethicists et al. as Amici Curiae 16 (“[T]he standard test to determine if a conflict is non-waiveable is whether a ‘disinterested lawyer would conclude that the client should not agree to the representation under the circumstances.’ ” (quoting Model Rule 1.7, Comment 5)). Unfortunately, because Mickens was not informed of the fact that his appointed attorney was the lawyer of the alleged victim, the questions whether Mickens would have waived this conflict and consented to the appointment, or whether governing standards of professional responsibility would have precluded him from doing so, remain unanswered.

6 Although the conflict in this case is plainly intolerable, I, of course, do not suggest that every conflict, or every violation of the code of ethics, is a violation of the Constitution.

7 “[W]hen a defendant chooses to have a lawyer manage and present his case, law and tradition may allocate to the counsel the power to make binding decisions of trial strategy in many areas. . . . This allocation can only be justified, however, by the defendant’s consent, at the outset, to accept counsel as his representative. An unwanted counsel ‘represents’ the defendant only through a tenuous and unacceptable legal fiction. Unless the accused has acquiesced in such representation, the defense presented is not the defense guaranteed him by the Constitution, for, in a very real sense, it is not his defense.” 422 U. S., at 820–821.

8 Part III of the Court’s opinion is a foray into an issue that is not implicated by the question presented. In dicta, the Court states that Sullivan may not even apply in the first place to successive representations. Ante, at 10–12. Most Courts of Appeals, however, have applied Sullivan to claims of successive representation as well as to some insidious conflicts arising from a lawyer’s self-interest. See cases cited ante, at 10–11. We have done the same. See Wood v. Georgia, 450 U. S. 261 (1981) (applying Sullivan to a conflict stemming from a third-party payment arrangement). Neither we nor the Courts of Appeals have applied this standard “unblinkingly,” as the Court accuses, ante, at 10, but rather have relied upon principled reason. When a conflict of interest, whether multiple, successive, or otherwise, poses so substantial a risk that a lawyer’s representation would be materially and adversely affected by diverging interests or loyalties and the trial court judge knows of this and yet fails to inquire, it is a “[c]ircumstanc[e] of [such] magnitude” that “the likelihood that any lawyer, even a fully competent one, could provide effective assistance is so small that a presumption of prejudice is appropriate without inquiry into the actual conduct of the trial.” Cronic, 466 U. S., at 659–660.

9 There is no dispute before us as to the appointing judge’s knowledge. The court below assumed, arguendo, that the judge who, upon Hall’s death, dismissed Saunders from his representation of Hall and who then three days later appointed Saunders to represent Mickens in the killing of Hall “reasonably should have known that Saunders labored under a potential conflict of interest arising from his previous representation of Hall.” 240 F. 3d 348, 357 (CA4 2001). This assumption has not been challenged.

10 I disagree with the Court’s assertion that the inquiry mandated by Cuyler v. Sullivan, 446 U. S. 335 (1980) , will not aid in the determination of conflict and effect. Ante, at 9. As we have stated, “the evil [of conflict-ridden counsel] is in what the advocate finds himself compelled to refrain from doing … [making it] difficult to judge intelligently the impact of a conflict on the attorney’s representation of a client.” Holloway v. Arkansas, 435 U. S. 475, 490–491 (1978) . An adequate inquiry by the appointing or trial court judge will augment the record thereby making it easier to evaluate the impact of the conflict.

11 The Court concedes that if Mickens’ attorney had objected to the appointment based upon the conflict of interest and the trial court judge had failed to inquire, then reversal without inquiry into adverse effect would be required. Ante, at 10. The Court, in addition to ignoring the mandate of Wood, reads Sullivan too narrowly. In Sullivan we did not ask only whether an objection was made in order to ascertain whether the trial court had a duty to inquire. Rather, we stated that “[n]othing in the circumstances of this case indicates that the trial court had a duty to inquire whether there was a conflict of interest. The provision of separate trials for Sullivan and his codefendants significantly reduced the potential for a divergence in their interests. No participant in Sullivan’s trial ever objected to the multiple representation… . On these facts, we conclude that the Sixth Amendment imposed upon the trial court no affirmative duty to inquire into the propriety of multiple representation.” 446 U. S., at 347–348. It is also counter to our precedent to treat all Sixth Amendment challenges involving conflicts of interest categorically, without inquiry into the surrounding factual circumstances. In Cronic, we cited Holloway as an example of a case involving “surrounding circumstances [making] it so unlikely that any lawyer could provide effective assistance that ineffectiveness was properly presumed without inquiry into actual performance at trial.” Cronic, 466 U. S., at 661, and n. 28. The surrounding circumstances in the present case were far more egregious than those requiring reversal in either Holloway or Wood.

12 Because the appointing judge knew of the conflict, there is no need in this case to decide what should be done when the judge neither knows, nor should know, about the existence of an intolerable conflict. Nevertheless the Court argues that it makes little sense to reverse automatically upon a showing of actual conflict when the trial court judge knows (or reasonably should know) of a potential conflict and yet has failed to inquire, but not to do so when the trial court judge does not know of the conflict. Ante, at 9. Although it is true that the defendant faces the same potential for harm as a result of a conflict in either instance, in the former case the court committed the error and in the latter the harm is entirely attributable to the misconduct of defense counsel. A requirement that the defendant show adverse effect when the court committed no error surely does not justify such a requirement when the court did err. It is the Court’s rule that leads to an anomalous result. Under the Court’s analysis, if defense counsel objects to the appointment, reversal without inquiry into adverse effect is required. Ante, at 10. But counsel’s failure to object posed a greater—not a lesser—threat to Mickens’ Sixth Amendment right. Had Saunders objected to the appointment, Mickens would at least have been apprised of the conflict.

13 Every state bar in the country has an ethical rule prohibiting a lawyer from undertaking a representation that involves a conflict of interest unless the client has waived the conflict. University Publications of America, National Reporter on Legal Ethics and Professional Responsibility, Vols. I-IV (2001) (reprinting the professional responsibility codes for the 50 States). See also, ABA Ann. Model Rule of Professional Responsibility 1.7, pp. 91–92, Comments 3 and 4 (“As a general proposition, loyalty to a client prohibits undertaking representation directly adverse to that client without that client’s consent… . Loyalty to a client is also impaired when a lawyer cannot consider, recommend or carry out an appropriate course of action for the client because of the lawyer’s other responsibilities or interests”).


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Dissent

WALTER MICKENS, Jr ., PETITIONER v.
JOHN TAYLOR, WARDEN

on writ of certiorari to the united states court of appeals for the fourth circuit


[March 27, 2002]

Justice Stevens , dissenting.

This case raises three uniquely important questions about a fundamental component of our criminal justice system—the constitutional right of a person accused of a capital offense to have the effective assistance of counsel for his defense. 1 The first is whether a capital defendant’s attorney has a duty to disclose that he was representing the defendant’s alleged victim at the time of the murder. Second, is whether, assuming disclosure of the prior representation, the capital defendant has a right to refuse the appointment of the conflicted attorney. Third, is whether the trial judge, who knows or should know of such prior representation, has a duty to obtain the defendant’s consent before appointing that lawyer to represent him. Ultimately, the question presented by this case is whether, if these duties exist and if all of them are violated, there exist “circumstances that are so likely to prejudice the accused that the cost of litigating their effect in a particular case is unjustified.” United States v. Cronic, 466 U. S. 648, 658 (1984).

I

The first critical stage in the defense of a capital case is the series of pretrial meetings between the accused and his counsel when they decide how the case should be defended. A lawyer cannot possibly determine how best to represent a new client unless that client is willing to provide the lawyer with a truthful account of the relevant facts. When an indigent defendant first meets his newly appointed counsel, he will often falsely maintain his complete innocence. Truthful disclosures of embarrassing or incriminating facts are contingent on the development of the client’s confidence in the undivided loyalty of the lawyer. Quite obviously, knowledge that the lawyer represented the victim would be a substantial obstacle to the development of such confidence.

It is equally true that a lawyer’s decision to conceal such an important fact from his new client would have comparable ramifications. The suppression of communication and truncated investigation that would unavoidably follow from such a decision would also make it difficult, if not altogether impossible, to establish the necessary level of trust that should characterize the “delicacy of relation” between attorney and client. 2

In this very case, it is likely that Mickens misled his counsel, Bryan Saunders, given the fact that Mickens gave false testimony at his trial denying any involvement in the crime despite the overwhelming evidence that he had killed Timothy Hall after a sexual encounter. In retrospect, it seems obvious that the death penalty might have been avoided by acknowledging Mickens’ involvement, but emphasizing the evidence suggesting that their sexual encounter was consensual. Mickens’ habeas counsel garnered evidence suggesting that Hall was a male prostitute, App. 137, 149, 162, 169; that the area where Hall was killed was known for prostitution, id ., at 169–170; and that there was no evidence that Hall was forced to the secluded area where he was ultimately murdered. An unconflicted attorney could have put forward a defense tending to show that Mickens killed Hall only after the two engaged in consensual sex, but Saunders offered no such defense. This was a crucial omission—a finding of forcible sodomy was an absolute prerequisite to Mickens’ eligibility for the death penalty. 3 Of course, since that strategy would have led to conviction of a noncapital offense, counsel would have been unable to persuade the defendant to divulge the information necessary to support such a defense and then ultimately to endorse the strategy unless he had earned the complete confidence of his client.

Saunders’ concealment of essential information about his prior representation of the victim was a severe lapse in his professional duty. The lawyer’s duty to disclose his representation of a client related to the instant charge is not only intuitively obvious, it is as old as the profession. Consider this straightforward comment made by Justice Story in 1824:

“An attorney is bound to disclose to his client every adverse retainer, and even every prior retainer, which may affect the discretion of the latter. No man can be supposed to be indifferent to the knowledge of facts, which work directly on his interests, or bear on the freedom of his choice of counsel. When a client employs an attorney, he has a right to presume, if the latter be silent on the point, that he has no engagements, which interfere, in any degree, with his exclusive devotion to the cause confided to him; that he has no interest, which may betray his judgment, or endanger his fidelity.” Williams v. Reed , 29 F. Cas. 1386, 1390 (No. 17,733) (CC Me. 1824).

Mickens’ lawyer’s violation of this fundamental obligation of disclosure is indefensible. The relevance of Saunders’ prior representation of Hall to the new appointment was far too important to be concealed.

II

If the defendant is found guilty of a capital offense, the ensuing proceedings that determine whether he will be put to death are critical in every sense of the word. At those proceedings, testimony about the impact of the crime on the victim, including testimony about the character of the victim, may have a critical effect on the jury’s decision. Payne v. Tennessee, 501 U. S. 808 (1991) . Because a lawyer’s fiduciary relationship with his deceased client survives the client’s death, Swidler & Berlin v. United States, 524 U. S. 399 (1998) , Saunders necessarily labored under conflicting obligations that were irreconcilable. He had a duty to protect the reputation and confidences of his deceased client, and a duty to impeach the impact evidence presented by the prosecutor. 4

Saunders’ conflicting obligations to his deceased client, on the one hand, and to his living client, on the other, were unquestionably sufficient to give Mickens the right to insist on different representation. 5 For the “right to counsel guaranteed by the Constitution contemplates the services of an attorney devoted solely to the interests of his client,” Von Moltke v. Gillies, 332 U. S. 708, 725 (1948) . 6 Moreover, in my judgment, the right to conflict-free counsel is just as firmly protected by the Constitution as the defendant’s right of self-representation recognized in Faretta v. California, 422 U. S. 806 (1975) . 7

III

When an indigent defendant is unable to retain his own lawyer, the trial judge’s appointment of counsel is itself a critical stage of a criminal trial. At that point in the proceeding, by definition, the defendant has no lawyer to protect his interests and must rely entirely on the judge. For that reason it is “the solemn duty of a … judge before whom a defendant appears without counsel to make a thorough inquiry and to take all steps necessary to insure the fullest protection of this constitutional right at every stage of the proceedings.” Von Moltke , 322 U. S., at 722.

This duty with respect to indigent defendants is far more imperative than the judge’s duty to investigate the possibility of a conflict that arises when retained counsel represents either multiple or successive defendants. It is true that in a situation of retained counsel, “[u]nless the trial court knows or reasonably should know that a particular conflict exists, the court need not initiate an inquiry.” Cuyler v. Sullivan, 446 U. S. 335, 347 (1980) . 8 But when, as was true in this case, the judge is not merely reviewing the permissibility of the defendants’ choice of counsel, but is responsible for making the choice herself, and when she knows or should know that a conflict does exist, the duty to make a thorough inquiry is manifest and unqualified. 9 Indeed, under far less compelling circumstances, we squarely held that when a record discloses the “possibility of a conflict” between the interests of the defendants and the interests of the party paying their counsel’s fees, the Constitution imposes a duty of inquiry on the state- court judge even when no objection was made. Wood v. Georgia, 450 U. S. 261, 267, 272 (1981) .

IV

Mickens had a constitutional right to the services of an attorney devoted solely to his interests. That right was violated. The lawyer who did represent him had a duty to disclose his prior representation of the victim to Mickens and to the trial judge. That duty was violated. When Mickens had no counsel, the trial judge had a duty to “make a thorough inquiry and to take all steps necessary to insure the fullest protection of” his right to counsel. Von Moltke , 322 U. S., at 722. Despite knowledge of the lawyer’s prior representation, she violated that duty.

We will never know whether Mickens would have received the death penalty if those violations had not occurred nor precisely what effect they had on Saunders’ representation of Mickens. 10 We do know that he did not receive the kind of representation that the Constitution guarantees. If Mickens had been represented by an attorney-impostor who never passed a bar examination, we might also be unable to determine whether the impostor’s educational shortcomings “ ‘actually affected the adequacy of his representation.” ’ Ante , at 8 (emphasis deleted). We would, however, surely set aside his conviction if the person who had represented him was not a real lawyer. Four compelling reasons make setting aside the conviction the proper remedy in this case.

First, it is the remedy dictated by our holdings in Holloway v . Arkansas , 435 U. S. 475 (1978) , Cuyler v . Sullivan, 446 U. S. 335 (1980) , and Wood v. Georgia , 450 U. S. 261 (1981) . In this line of precedent, our focus was properly upon the duty of the trial court judge to inquire into a potential conflict. This duty was triggered either via defense counsel’s objection, as was the case in Holloway , or some other “special circumstances” whereby the serious potential for conflict was brought to the attention of the trial court judge. Sullivan , 446 U. S., at 346. As we unambiguously stated in Wood , “ Sullivan mandates a reversal when the trial court has failed to make an inquiry even though it ‘knows or reasonably should know that a particular conflict exists.’ ” 450 U. S. , at 272, n. 18. It is thus wrong for the Court to interpret Justice Powell’s language as referring only to a division of loyalties “that affected counsel’s performance.” Ante , at 8, n. 3 (emphasis deleted). 11 Wood nowhere hints of this meaning of “actual conflict of interest” 450 U. S., at 273, nor does it reference Sullivan in “shorthand,” a nte , at 8. Rather, Wood cites Sullivan explicitly in order to make a factual distinction: In a circumstance, such as in Wood , in which the judge knows or should know of the conflict, no showing of adverse effect is required. But when, as in Sullivan , the judge lacked this knowledge, such a showing is required. Wood, 450 U. S., at 272–274. 12

Second, it is the only remedy that responds to the real possibility that Mickens would not have received the death penalty if he had been represented by conflict-free counsel during the critical stage of the proceeding in which he first met with his lawyer. We should presume that the lawyer for the victim of a brutal homicide is incapable of establishing the kind of relationship with the defendant that is essential to effective representation.

Third, it is the only remedy that is consistent with the legal profession’s historic and universal condemnation of the representation of conflicting interests without the full disclosure and consent of all interested parties. 13 The Court’s novel and naïve assumption that a lawyer’s divided loyalties are acceptable unless it can be proved that they actually affected counsel’s performance is demeaning to the profession.

Finally, “justice must satisfy the appearance of justice.” Offutt v. United States , 348 U. S. 11, 14 (1954) . Setting aside Mickens’ conviction is the only remedy that can maintain public confidence in the fairness of the procedures employed in capital cases. Death is a different kind of punishment from any other that may be imposed in this country. “From the point of view of the defendant, it is different in both its severity and its finality. From the point of view of society, the action of the sovereign in taking the life of one of its citizens also differs dramatically from any other legitimate state action. It is of vital importance to the defendant and to the community that any decision to impose the death sentence be, and appear to be, based on reason rather than caprice or emotion.” Gardner v. Florida, 430 U. S. 349, 357–358 (1977) . A rule that allows the State to foist a murder victim’s lawyer onto his accused is not only capricious; it poisons the integrity of our adversary system of justice.

I respectfully dissent.


Notes

1 The Sixth Amendment provides: “In all criminal prosecutions, the accused shall enjoy the right … to have the Assistance of Counsel for his defence.” This protection is applicable to State, as well as federal, criminal proceedings. Gideon v. Wainwright, 372 U. S. 335 (1963) . We have long recognized the paramount importance of the right to effective assistance of counsel. United States v. Cronic, 466 U. S. 648, 653–654 (1984) (“ ‘Of all the rights that an accused person has, the right to be represented by counsel is by far the most pervasive for it affects his ability to assert any other rights he may have’ ”) (citation omitted)).

2 Williams v. Reed, 29 F. Cas. 1386, 1390 (No. 17,733) (CC Me. 1824). Discussing the necessity of full disclosure to the preservation of the lawyer-client relationship, Justice Story stated: “I agree to the doctrine urged at the bar, as to the delicacy of the relation of client and attorney, and the duty of a full, frank, and free disclosure by the latter of every circumstance, which may be presumed to be material, not merely to the interests, but to the fair exercise of the judgment, of the client.”

3 At the guilt phase, the trial court judge instructed Mickens’ jury as follows: “If you find that the Commonwealth has failed to prove beyond a reasonable doubt that the killing occurred in the commission of, or subsequent to, attempted forcible sodomy . . . [but do find a malicious, willful, deliberate, premeditated killing], then you shall find the defendant guilty of first degree murder. If you find the defendant guilty of first degree murder, then you shall fix his punishment at: (1) Imprisonment for life; or (2) A specific term of imprisonment, but not less than twenty years . . . .” App. 58–59.

4 For example, at the time of Hall’s death, Saunders was representing Hall in juvenile court for charges arising out of an incident involving Hall’s mother. She had sworn out a warrant for Hall’s arrest charging him with assault and battery. Despite knowledge of this, Mickens’ lawyer offered no rebuttal to the victim-impact statement submitted by Hall’s mother that “ ‘all [she] lived for was that boy.’ ” App. 297.

5 A group of experts in legal ethics, acting as Amici Curiae, submit that the conflict in issue in this case would be nonwaivable pursuant to the standard articulated in the ABA Ann. Model Rules of Professional Conduct (4th ed. 1999). Brief for Legal Ethicists et al. as Amici Curiae 16 (“[T]he standard test to determine if a conflict is non-waiveable is whether a ‘disinterested lawyer would conclude that the client should not agree to the representation under the circumstances.’ ” (quoting Model Rule 1.7, Comment 5)). Unfortunately, because Mickens was not informed of the fact that his appointed attorney was the lawyer of the alleged victim, the questions whether Mickens would have waived this conflict and consented to the appointment, or whether governing standards of professional responsibility would have precluded him from doing so, remain unanswered.

6 Although the conflict in this case is plainly intolerable, I, of course, do not suggest that every conflict, or every violation of the code of ethics, is a violation of the Constitution.

7 “[W]hen a defendant chooses to have a lawyer manage and present his case, law and tradition may allocate to the counsel the power to make binding decisions of trial strategy in many areas. . . . This allocation can only be justified, however, by the defendant’s consent, at the outset, to accept counsel as his representative. An unwanted counsel ‘represents’ the defendant only through a tenuous and unacceptable legal fiction. Unless the accused has acquiesced in such representation, the defense presented is not the defense guaranteed him by the Constitution, for, in a very real sense, it is not his defense.” 422 U. S., at 820–821.

8 Part III of the Court’s opinion is a foray into an issue that is not implicated by the question presented. In dicta, the Court states that Sullivan may not even apply in the first place to successive representations. Ante, at 10–12. Most Courts of Appeals, however, have applied Sullivan to claims of successive representation as well as to some insidious conflicts arising from a lawyer’s self-interest. See cases cited ante, at 10–11. We have done the same. See Wood v. Georgia, 450 U. S. 261 (1981) (applying Sullivan to a conflict stemming from a third-party payment arrangement). Neither we nor the Courts of Appeals have applied this standard “unblinkingly,” as the Court accuses, ante, at 10, but rather have relied upon principled reason. When a conflict of interest, whether multiple, successive, or otherwise, poses so substantial a risk that a lawyer’s representation would be materially and adversely affected by diverging interests or loyalties and the trial court judge knows of this and yet fails to inquire, it is a “[c]ircumstanc[e] of [such] magnitude” that “the likelihood that any lawyer, even a fully competent one, could provide effective assistance is so small that a presumption of prejudice is appropriate without inquiry into the actual conduct of the trial.” Cronic, 466 U. S., at 659–660.

9 There is no dispute before us as to the appointing judge’s knowledge. The court below assumed, arguendo, that the judge who, upon Hall’s death, dismissed Saunders from his representation of Hall and who then three days later appointed Saunders to represent Mickens in the killing of Hall “reasonably should have known that Saunders labored under a potential conflict of interest arising from his previous representation of Hall.” 240 F. 3d 348, 357 (CA4 2001). This assumption has not been challenged.

10 I disagree with the Court’s assertion that the inquiry mandated by Cuyler v. Sullivan, 446 U. S. 335 (1980) , will not aid in the determination of conflict and effect. Ante, at 9. As we have stated, “the evil [of conflict-ridden counsel] is in what the advocate finds himself compelled to refrain from doing … [making it] difficult to judge intelligently the impact of a conflict on the attorney’s representation of a client.” Holloway v. Arkansas, 435 U. S. 475, 490–491 (1978) . An adequate inquiry by the appointing or trial court judge will augment the record thereby making it easier to evaluate the impact of the conflict.

11 The Court concedes that if Mickens’ attorney had objected to the appointment based upon the conflict of interest and the trial court judge had failed to inquire, then reversal without inquiry into adverse effect would be required. Ante, at 10. The Court, in addition to ignoring the mandate of Wood, reads Sullivan too narrowly. In Sullivan we did not ask only whether an objection was made in order to ascertain whether the trial court had a duty to inquire. Rather, we stated that “[n]othing in the circumstances of this case indicates that the trial court had a duty to inquire whether there was a conflict of interest. The provision of separate trials for Sullivan and his codefendants significantly reduced the potential for a divergence in their interests. No participant in Sullivan’s trial ever objected to the multiple representation… . On these facts, we conclude that the Sixth Amendment imposed upon the trial court no affirmative duty to inquire into the propriety of multiple representation.” 446 U. S., at 347–348. It is also counter to our precedent to treat all Sixth Amendment challenges involving conflicts of interest categorically, without inquiry into the surrounding factual circumstances. In Cronic, we cited Holloway as an example of a case involving “surrounding circumstances [making] it so unlikely that any lawyer could provide effective assistance that ineffectiveness was properly presumed without inquiry into actual performance at trial.” Cronic, 466 U. S., at 661, and n. 28. The surrounding circumstances in the present case were far more egregious than those requiring reversal in either Holloway or Wood.

12 Because the appointing judge knew of the conflict, there is no need in this case to decide what should be done when the judge neither knows, nor should know, about the existence of an intolerable conflict. Nevertheless the Court argues that it makes little sense to reverse automatically upon a showing of actual conflict when the trial court judge knows (or reasonably should know) of a potential conflict and yet has failed to inquire, but not to do so when the trial court judge does not know of the conflict. Ante, at 9. Although it is true that the defendant faces the same potential for harm as a result of a conflict in either instance, in the former case the court committed the error and in the latter the harm is entirely attributable to the misconduct of defense counsel. A requirement that the defendant show adverse effect when the court committed no error surely does not justify such a requirement when the court did err. It is the Court’s rule that leads to an anomalous result. Under the Court’s analysis, if defense counsel objects to the appointment, reversal without inquiry into adverse effect is required. Ante, at 10. But counsel’s failure to object posed a greater—not a lesser—threat to Mickens’ Sixth Amendment right. Had Saunders objected to the appointment, Mickens would at least have been apprised of the conflict.

13 Every state bar in the country has an ethical rule prohibiting a lawyer from undertaking a representation that involves a conflict of interest unless the client has waived the conflict. University Publications of America, National Reporter on Legal Ethics and Professional Responsibility, Vols. I-IV (2001) (reprinting the professional responsibility codes for the 50 States). See also, ABA Ann. Model Rule of Professional Responsibility 1.7, pp. 91–92, Comments 3 and 4 (“As a general proposition, loyalty to a client prohibits undertaking representation directly adverse to that client without that client’s consent… . Loyalty to a client is also impaired when a lawyer cannot consider, recommend or carry out an appropriate course of action for the client because of the lawyer’s other responsibilities or interests”).


TOP

Dissent

WALTER MICKENS, Jr ., PETITIONER v.
JOHN TAYLOR, WARDEN

on writ of certiorari to the united states court of appeals for the fourth circuit


[March 27, 2002]

Justice Stevens , dissenting.

This case raises three uniquely important questions about a fundamental component of our criminal justice system—the constitutional right of a person accused of a capital offense to have the effective assistance of counsel for his defense. 1 The first is whether a capital defendant’s attorney has a duty to disclose that he was representing the defendant’s alleged victim at the time of the murder. Second, is whether, assuming disclosure of the prior representation, the capital defendant has a right to refuse the appointment of the conflicted attorney. Third, is whether the trial judge, who knows or should know of such prior representation, has a duty to obtain the defendant’s consent before appointing that lawyer to represent him. Ultimately, the question presented by this case is whether, if these duties exist and if all of them are violated, there exist “circumstances that are so likely to prejudice the accused that the cost of litigating their effect in a particular case is unjustified.” United States v. Cronic, 466 U. S. 648, 658 (1984).

I

The first critical stage in the defense of a capital case is the series of pretrial meetings between the accused and his counsel when they decide how the case should be defended. A lawyer cannot possibly determine how best to represent a new client unless that client is willing to provide the lawyer with a truthful account of the relevant facts. When an indigent defendant first meets his newly appointed counsel, he will often falsely maintain his complete innocence. Truthful disclosures of embarrassing or incriminating facts are contingent on the development of the client’s confidence in the undivided loyalty of the lawyer. Quite obviously, knowledge that the lawyer represented the victim would be a substantial obstacle to the development of such confidence.

It is equally true that a lawyer’s decision to conceal such an important fact from his new client would have comparable ramifications. The suppression of communication and truncated investigation that would unavoidably follow from such a decision would also make it difficult, if not altogether impossible, to establish the necessary level of trust that should characterize the “delicacy of relation” between attorney and client. 2

In this very case, it is likely that Mickens misled his counsel, Bryan Saunders, given the fact that Mickens gave false testimony at his trial denying any involvement in the crime despite the overwhelming evidence that he had killed Timothy Hall after a sexual encounter. In retrospect, it seems obvious that the death penalty might have been avoided by acknowledging Mickens’ involvement, but emphasizing the evidence suggesting that their sexual encounter was consensual. Mickens’ habeas counsel garnered evidence suggesting that Hall was a male prostitute, App. 137, 149, 162, 169; that the area where Hall was killed was known for prostitution, id ., at 169–170; and that there was no evidence that Hall was forced to the secluded area where he was ultimately murdered. An unconflicted attorney could have put forward a defense tending to show that Mickens killed Hall only after the two engaged in consensual sex, but Saunders offered no such defense. This was a crucial omission—a finding of forcible sodomy was an absolute prerequisite to Mickens’ eligibility for the death penalty. 3 Of course, since that strategy would have led to conviction of a noncapital offense, counsel would have been unable to persuade the defendant to divulge the information necessary to support such a defense and then ultimately to endorse the strategy unless he had earned the complete confidence of his client.

Saunders’ concealment of essential information about his prior representation of the victim was a severe lapse in his professional duty. The lawyer’s duty to disclose his representation of a client related to the instant charge is not only intuitively obvious, it is as old as the profession. Consider this straightforward comment made by Justice Story in 1824:

“An attorney is bound to disclose to his client every adverse retainer, and even every prior retainer, which may affect the discretion of the latter. No man can be supposed to be indifferent to the knowledge of facts, which work directly on his interests, or bear on the freedom of his choice of counsel. When a client employs an attorney, he has a right to presume, if the latter be silent on the point, that he has no engagements, which interfere, in any degree, with his exclusive devotion to the cause confided to him; that he has no interest, which may betray his judgment, or endanger his fidelity.” Williams v. Reed , 29 F. Cas. 1386, 1390 (No. 17,733) (CC Me. 1824).

Mickens’ lawyer’s violation of this fundamental obligation of disclosure is indefensible. The relevance of Saunders’ prior representation of Hall to the new appointment was far too important to be concealed.

II

If the defendant is found guilty of a capital offense, the ensuing proceedings that determine whether he will be put to death are critical in every sense of the word. At those proceedings, testimony about the impact of the crime on the victim, including testimony about the character of the victim, may have a critical effect on the jury’s decision. Payne v. Tennessee, 501 U. S. 808 (1991) . Because a lawyer’s fiduciary relationship with his deceased client survives the client’s death, Swidler & Berlin v. United States, 524 U. S. 399 (1998) , Saunders necessarily labored under conflicting obligations that were irreconcilable. He had a duty to protect the reputation and confidences of his deceased client, and a duty to impeach the impact evidence presented by the prosecutor. 4

Saunders’ conflicting obligations to his deceased client, on the one hand, and to his living client, on the other, were unquestionably sufficient to give Mickens the right to insist on different representation. 5 For the “right to counsel guaranteed by the Constitution contemplates the services of an attorney devoted solely to the interests of his client,” Von Moltke v. Gillies, 332 U. S. 708, 725 (1948) . 6 Moreover, in my judgment, the right to conflict-free counsel is just as firmly protected by the Constitution as the defendant’s right of self-representation recognized in Faretta v. California, 422 U. S. 806 (1975) . 7

III

When an indigent defendant is unable to retain his own lawyer, the trial judge’s appointment of counsel is itself a critical stage of a criminal trial. At that point in the proceeding, by definition, the defendant has no lawyer to protect his interests and must rely entirely on the judge. For that reason it is “the solemn duty of a … judge before whom a defendant appears without counsel to make a thorough inquiry and to take all steps necessary to insure the fullest protection of this constitutional right at every stage of the proceedings.” Von Moltke , 322 U. S., at 722.

This duty with respect to indigent defendants is far more imperative than the judge’s duty to investigate the possibility of a conflict that arises when retained counsel represents either multiple or successive defendants. It is true that in a situation of retained counsel, “[u]nless the trial court knows or reasonably should know that a particular conflict exists, the court need not initiate an inquiry.” Cuyler v. Sullivan, 446 U. S. 335, 347 (1980) . 8 But when, as was true in this case, the judge is not merely reviewing the permissibility of the defendants’ choice of counsel, but is responsible for making the choice herself, and when she knows or should know that a conflict does exist, the duty to make a thorough inquiry is manifest and unqualified. 9 Indeed, under far less compelling circumstances, we squarely held that when a record discloses the “possibility of a conflict” between the interests of the defendants and the interests of the party paying their counsel’s fees, the Constitution imposes a duty of inquiry on the state- court judge even when no objection was made. Wood v. Georgia, 450 U. S. 261, 267, 272 (1981) .

IV

Mickens had a constitutional right to the services of an attorney devoted solely to his interests. That right was violated. The lawyer who did represent him had a duty to disclose his prior representation of the victim to Mickens and to the trial judge. That duty was violated. When Mickens had no counsel, the trial judge had a duty to “make a thorough inquiry and to take all steps necessary to insure the fullest protection of” his right to counsel. Von Moltke , 322 U. S., at 722. Despite knowledge of the lawyer’s prior representation, she violated that duty.

We will never know whether Mickens would have received the death penalty if those violations had not occurred nor precisely what effect they had on Saunders’ representation of Mickens. 10 We do know that he did not receive the kind of representation that the Constitution guarantees. If Mickens had been represented by an attorney-impostor who never passed a bar examination, we might also be unable to determine whether the impostor’s educational shortcomings “ ‘actually affected the adequacy of his representation.” ’ Ante , at 8 (emphasis deleted). We would, however, surely set aside his conviction if the person who had represented him was not a real lawyer. Four compelling reasons make setting aside the conviction the proper remedy in this case.

First, it is the remedy dictated by our holdings in Holloway v . Arkansas , 435 U. S. 475 (1978) , Cuyler v . Sullivan, 446 U. S. 335 (1980) , and Wood v. Georgia , 450 U. S. 261 (1981) . In this line of precedent, our focus was properly upon the duty of the trial court judge to inquire into a potential conflict. This duty was triggered either via defense counsel’s objection, as was the case in Holloway , or some other “special circumstances” whereby the serious potential for conflict was brought to the attention of the trial court judge. Sullivan , 446 U. S., at 346. As we unambiguously stated in Wood , “ Sullivan mandates a reversal when the trial court has failed to make an inquiry even though it ‘knows or reasonably should know that a particular conflict exists.’ ” 450 U. S. , at 272, n. 18. It is thus wrong for the Court to interpret Justice Powell’s language as referring only to a division of loyalties “that affected counsel’s performance.” Ante , at 8, n. 3 (emphasis deleted). 11 Wood nowhere hints of this meaning of “actual conflict of interest” 450 U. S., at 273, nor does it reference Sullivan in “shorthand,” a nte , at 8. Rather, Wood cites Sullivan explicitly in order to make a factual distinction: In a circumstance, such as in Wood , in which the judge knows or should know of the conflict, no showing of adverse effect is required. But when, as in Sullivan , the judge lacked this knowledge, such a showing is required. Wood, 450 U. S., at 272–274. 12

Second, it is the only remedy that responds to the real possibility that Mickens would not have received the death penalty if he had been represented by conflict-free counsel during the critical stage of the proceeding in which he first met with his lawyer. We should presume that the lawyer for the victim of a brutal homicide is incapable of establishing the kind of relationship with the defendant that is essential to effective representation.

Third, it is the only remedy that is consistent with the legal profession’s historic and universal condemnation of the representation of conflicting interests without the full disclosure and consent of all interested parties. 13 The Court’s novel and naïve assumption that a lawyer’s divided loyalties are acceptable unless it can be proved that they actually affected counsel’s performance is demeaning to the profession.

Finally, “justice must satisfy the appearance of justice.” Offutt v. United States , 348 U. S. 11, 14 (1954) . Setting aside Mickens’ conviction is the only remedy that can maintain public confidence in the fairness of the procedures employed in capital cases. Death is a different kind of punishment from any other that may be imposed in this country. “From the point of view of the defendant, it is different in both its severity and its finality. From the point of view of society, the action of the sovereign in taking the life of one of its citizens also differs dramatically from any other legitimate state action. It is of vital importance to the defendant and to the community that any decision to impose the death sentence be, and appear to be, based on reason rather than caprice or emotion.” Gardner v. Florida, 430 U. S. 349, 357–358 (1977) . A rule that allows the State to foist a murder victim’s lawyer onto his accused is not only capricious; it poisons the integrity of our adversary system of justice.

I respectfully dissent.


Notes

1 The Sixth Amendment provides: “In all criminal prosecutions, the accused shall enjoy the right … to have the Assistance of Counsel for his defence.” This protection is applicable to State, as well as federal, criminal proceedings. Gideon v. Wainwright, 372 U. S. 335 (1963) . We have long recognized the paramount importance of the right to effective assistance of counsel. United States v. Cronic, 466 U. S. 648, 653–654 (1984) (“ ‘Of all the rights that an accused person has, the right to be represented by counsel is by far the most pervasive for it affects his ability to assert any other rights he may have’ ”) (citation omitted)).

2 Williams v. Reed, 29 F. Cas. 1386, 1390 (No. 17,733) (CC Me. 1824). Discussing the necessity of full disclosure to the preservation of the lawyer-client relationship, Justice Story stated: “I agree to the doctrine urged at the bar, as to the delicacy of the relation of client and attorney, and the duty of a full, frank, and free disclosure by the latter of every circumstance, which may be presumed to be material, not merely to the interests, but to the fair exercise of the judgment, of the client.”

3 At the guilt phase, the trial court judge instructed Mickens’ jury as follows: “If you find that the Commonwealth has failed to prove beyond a reasonable doubt that the killing occurred in the commission of, or subsequent to, attempted forcible sodomy . . . [but do find a malicious, willful, deliberate, premeditated killing], then you shall find the defendant guilty of first degree murder. If you find the defendant guilty of first degree murder, then you shall fix his punishment at: (1) Imprisonment for life; or (2) A specific term of imprisonment, but not less than twenty years . . . .” App. 58–59.

4 For example, at the time of Hall’s death, Saunders was representing Hall in juvenile court for charges arising out of an incident involving Hall’s mother. She had sworn out a warrant for Hall’s arrest charging him with assault and battery. Despite knowledge of this, Mickens’ lawyer offered no rebuttal to the victim-impact statement submitted by Hall’s mother that “ ‘all [she] lived for was that boy.’ ” App. 297.

5 A group of experts in legal ethics, acting as Amici Curiae, submit that the conflict in issue in this case would be nonwaivable pursuant to the standard articulated in the ABA Ann. Model Rules of Professional Conduct (4th ed. 1999). Brief for Legal Ethicists et al. as Amici Curiae 16 (“[T]he standard test to determine if a conflict is non-waiveable is whether a ‘disinterested lawyer would conclude that the client should not agree to the representation under the circumstances.’ ” (quoting Model Rule 1.7, Comment 5)). Unfortunately, because Mickens was not informed of the fact that his appointed attorney was the lawyer of the alleged victim, the questions whether Mickens would have waived this conflict and consented to the appointment, or whether governing standards of professional responsibility would have precluded him from doing so, remain unanswered.

6 Although the conflict in this case is plainly intolerable, I, of course, do not suggest that every conflict, or every violation of the code of ethics, is a violation of the Constitution.

7 “[W]hen a defendant chooses to have a lawyer manage and present his case, law and tradition may allocate to the counsel the power to make binding decisions of trial strategy in many areas. . . . This allocation can only be justified, however, by the defendant’s consent, at the outset, to accept counsel as his representative. An unwanted counsel ‘represents’ the defendant only through a tenuous and unacceptable legal fiction. Unless the accused has acquiesced in such representation, the defense presented is not the defense guaranteed him by the Constitution, for, in a very real sense, it is not his defense.” 422 U. S., at 820–821.

8 Part III of the Court’s opinion is a foray into an issue that is not implicated by the question presented. In dicta, the Court states that Sullivan may not even apply in the first place to successive representations. Ante, at 10–12. Most Courts of Appeals, however, have applied Sullivan to claims of successive representation as well as to some insidious conflicts arising from a lawyer’s self-interest. See cases cited ante, at 10–11. We have done the same. See Wood v. Georgia, 450 U. S. 261 (1981) (applying Sullivan to a conflict stemming from a third-party payment arrangement). Neither we nor the Courts of Appeals have applied this standard “unblinkingly,” as the Court accuses, ante, at 10, but rather have relied upon principled reason. When a conflict of interest, whether multiple, successive, or otherwise, poses so substantial a risk that a lawyer’s representation would be materially and adversely affected by diverging interests or loyalties and the trial court judge knows of this and yet fails to inquire, it is a “[c]ircumstanc[e] of [such] magnitude” that “the likelihood that any lawyer, even a fully competent one, could provide effective assistance is so small that a presumption of prejudice is appropriate without inquiry into the actual conduct of the trial.” Cronic, 466 U. S., at 659–660.

9 There is no dispute before us as to the appointing judge’s knowledge. The court below assumed, arguendo, that the judge who, upon Hall’s death, dismissed Saunders from his representation of Hall and who then three days later appointed Saunders to represent Mickens in the killing of Hall “reasonably should have known that Saunders labored under a potential conflict of interest arising from his previous representation of Hall.” 240 F. 3d 348, 357 (CA4 2001). This assumption has not been challenged.

10 I disagree with the Court’s assertion that the inquiry mandated by Cuyler v. Sullivan, 446 U. S. 335 (1980) , will not aid in the determination of conflict and effect. Ante, at 9. As we have stated, “the evil [of conflict-ridden counsel] is in what the advocate finds himself compelled to refrain from doing … [making it] difficult to judge intelligently the impact of a conflict on the attorney’s representation of a client.” Holloway v. Arkansas, 435 U. S. 475, 490–491 (1978) . An adequate inquiry by the appointing or trial court judge will augment the record thereby making it easier to evaluate the impact of the conflict.

11 The Court concedes that if Mickens’ attorney had objected to the appointment based upon the conflict of interest and the trial court judge had failed to inquire, then reversal without inquiry into adverse effect would be required. Ante, at 10. The Court, in addition to ignoring the mandate of Wood, reads Sullivan too narrowly. In Sullivan we did not ask only whether an objection was made in order to ascertain whether the trial court had a duty to inquire. Rather, we stated that “[n]othing in the circumstances of this case indicates that the trial court had a duty to inquire whether there was a conflict of interest. The provision of separate trials for Sullivan and his codefendants significantly reduced the potential for a divergence in their interests. No participant in Sullivan’s trial ever objected to the multiple representation… . On these facts, we conclude that the Sixth Amendment imposed upon the trial court no affirmative duty to inquire into the propriety of multiple representation.” 446 U. S., at 347–348. It is also counter to our precedent to treat all Sixth Amendment challenges involving conflicts of interest categorically, without inquiry into the surrounding factual circumstances. In Cronic, we cited Holloway as an example of a case involving “surrounding circumstances [making] it so unlikely that any lawyer could provide effective assistance that ineffectiveness was properly presumed without inquiry into actual performance at trial.” Cronic, 466 U. S., at 661, and n. 28. The surrounding circumstances in the present case were far more egregious than those requiring reversal in either Holloway or Wood.

12 Because the appointing judge knew of the conflict, there is no need in this case to decide what should be done when the judge neither knows, nor should know, about the existence of an intolerable conflict. Nevertheless the Court argues that it makes little sense to reverse automatically upon a showing of actual conflict when the trial court judge knows (or reasonably should know) of a potential conflict and yet has failed to inquire, but not to do so when the trial court judge does not know of the conflict. Ante, at 9. Although it is true that the defendant faces the same potential for harm as a result of a conflict in either instance, in the former case the court committed the error and in the latter the harm is entirely attributable to the misconduct of defense counsel. A requirement that the defendant show adverse effect when the court committed no error surely does not justify such a requirement when the court did err. It is the Court’s rule that leads to an anomalous result. Under the Court’s analysis, if defense counsel objects to the appointment, reversal without inquiry into adverse effect is required. Ante, at 10. But counsel’s failure to object posed a greater—not a lesser—threat to Mickens’ Sixth Amendment right. Had Saunders objected to the appointment, Mickens would at least have been apprised of the conflict.

13 Every state bar in the country has an ethical rule prohibiting a lawyer from undertaking a representation that involves a conflict of interest unless the client has waived the conflict. University Publications of America, National Reporter on Legal Ethics and Professional Responsibility, Vols. I-IV (2001) (reprinting the professional responsibility codes for the 50 States). See also, ABA Ann. Model Rule of Professional Responsibility 1.7, pp. 91–92, Comments 3 and 4 (“As a general proposition, loyalty to a client prohibits undertaking representation directly adverse to that client without that client’s consent… . Loyalty to a client is also impaired when a lawyer cannot consider, recommend or carry out an appropriate course of action for the client because of the lawyer’s other responsibilities or interests”).


TOP

Dissent

WALTER MICKENS, Jr ., PETITIONER v.
JOHN TAYLOR, WARDEN

on writ of certiorari to the united states court of appeals for the fourth circuit


[March 27, 2002]

Justice Stevens , dissenting.

This case raises three uniquely important questions about a fundamental component of our criminal justice system—the constitutional right of a person accused of a capital offense to have the effective assistance of counsel for his defense. 1 The first is whether a capital defendant’s attorney has a duty to disclose that he was representing the defendant’s alleged victim at the time of the murder. Second, is whether, assuming disclosure of the prior representation, the capital defendant has a right to refuse the appointment of the conflicted attorney. Third, is whether the trial judge, who knows or should know of such prior representation, has a duty to obtain the defendant’s consent before appointing that lawyer to represent him. Ultimately, the question presented by this case is whether, if these duties exist and if all of them are violated, there exist “circumstances that are so likely to prejudice the accused that the cost of litigating their effect in a particular case is unjustified.” United States v. Cronic, 466 U. S. 648, 658 (1984).

I

The first critical stage in the defense of a capital case is the series of pretrial meetings between the accused and his counsel when they decide how the case should be defended. A lawyer cannot possibly determine how best to represent a new client unless that client is willing to provide the lawyer with a truthful account of the relevant facts. When an indigent defendant first meets his newly appointed counsel, he will often falsely maintain his complete innocence. Truthful disclosures of embarrassing or incriminating facts are contingent on the development of the client’s confidence in the undivided loyalty of the lawyer. Quite obviously, knowledge that the lawyer represented the victim would be a substantial obstacle to the development of such confidence.

It is equally true that a lawyer’s decision to conceal such an important fact from his new client would have comparable ramifications. The suppression of communication and truncated investigation that would unavoidably follow from such a decision would also make it difficult, if not altogether impossible, to establish the necessary level of trust that should characterize the “delicacy of relation” between attorney and client. 2

In this very case, it is likely that Mickens misled his counsel, Bryan Saunders, given the fact that Mickens gave false testimony at his trial denying any involvement in the crime despite the overwhelming evidence that he had killed Timothy Hall after a sexual encounter. In retrospect, it seems obvious that the death penalty might have been avoided by acknowledging Mickens’ involvement, but emphasizing the evidence suggesting that their sexual encounter was consensual. Mickens’ habeas counsel garnered evidence suggesting that Hall was a male prostitute, App. 137, 149, 162, 169; that the area where Hall was killed was known for prostitution, id ., at 169–170; and that there was no evidence that Hall was forced to the secluded area where he was ultimately murdered. An unconflicted attorney could have put forward a defense tending to show that Mickens killed Hall only after the two engaged in consensual sex, but Saunders offered no such defense. This was a crucial omission—a finding of forcible sodomy was an absolute prerequisite to Mickens’ eligibility for the death penalty. 3 Of course, since that strategy would have led to conviction of a noncapital offense, counsel would have been unable to persuade the defendant to divulge the information necessary to support such a defense and then ultimately to endorse the strategy unless he had earned the complete confidence of his client.

Saunders’ concealment of essential information about his prior representation of the victim was a severe lapse in his professional duty. The lawyer’s duty to disclose his representation of a client related to the instant charge is not only intuitively obvious, it is as old as the profession. Consider this straightforward comment made by Justice Story in 1824:

“An attorney is bound to disclose to his client every adverse retainer, and even every prior retainer, which may affect the discretion of the latter. No man can be supposed to be indifferent to the knowledge of facts, which work directly on his interests, or bear on the freedom of his choice of counsel. When a client employs an attorney, he has a right to presume, if the latter be silent on the point, that he has no engagements, which interfere, in any degree, with his exclusive devotion to the cause confided to him; that he has no interest, which may betray his judgment, or endanger his fidelity.” Williams v. Reed , 29 F. Cas. 1386, 1390 (No. 17,733) (CC Me. 1824).

Mickens’ lawyer’s violation of this fundamental obligation of disclosure is indefensible. The relevance of Saunders’ prior representation of Hall to the new appointment was far too important to be concealed.

II

If the defendant is found guilty of a capital offense, the ensuing proceedings that determine whether he will be put to death are critical in every sense of the word. At those proceedings, testimony about the impact of the crime on the victim, including testimony about the character of the victim, may have a critical effect on the jury’s decision. Payne v. Tennessee, 501 U. S. 808 (1991) . Because a lawyer’s fiduciary relationship with his deceased client survives the client’s death, Swidler & Berlin v. United States, 524 U. S. 399 (1998) , Saunders necessarily labored under conflicting obligations that were irreconcilable. He had a duty to protect the reputation and confidences of his deceased client, and a duty to impeach the impact evidence presented by the prosecutor. 4

Saunders’ conflicting obligations to his deceased client, on the one hand, and to his living client, on the other, were unquestionably sufficient to give Mickens the right to insist on different representation. 5 For the “right to counsel guaranteed by the Constitution contemplates the services of an attorney devoted solely to the interests of his client,” Von Moltke v. Gillies, 332 U. S. 708, 725 (1948) . 6 Moreover, in my judgment, the right to conflict-free counsel is just as firmly protected by the Constitution as the defendant’s right of self-representation recognized in Faretta v. California, 422 U. S. 806 (1975) . 7

III

When an indigent defendant is unable to retain his own lawyer, the trial judge’s appointment of counsel is itself a critical stage of a criminal trial. At that point in the proceeding, by definition, the defendant has no lawyer to protect his interests and must rely entirely on the judge. For that reason it is “the solemn duty of a … judge before whom a defendant appears without counsel to make a thorough inquiry and to take all steps necessary to insure the fullest protection of this constitutional right at every stage of the proceedings.” Von Moltke , 322 U. S., at 722.

This duty with respect to indigent defendants is far more imperative than the judge’s duty to investigate the possibility of a conflict that arises when retained counsel represents either multiple or successive defendants. It is true that in a situation of retained counsel, “[u]nless the trial court knows or reasonably should know that a particular conflict exists, the court need not initiate an inquiry.” Cuyler v. Sullivan, 446 U. S. 335, 347 (1980) . 8 But when, as was true in this case, the judge is not merely reviewing the permissibility of the defendants’ choice of counsel, but is responsible for making the choice herself, and when she knows or should know that a conflict does exist, the duty to make a thorough inquiry is manifest and unqualified. 9 Indeed, under far less compelling circumstances, we squarely held that when a record discloses the “possibility of a conflict” between the interests of the defendants and the interests of the party paying their counsel’s fees, the Constitution imposes a duty of inquiry on the state- court judge even when no objection was made. Wood v. Georgia, 450 U. S. 261, 267, 272 (1981) .

IV

Mickens had a constitutional right to the services of an attorney devoted solely to his interests. That right was violated. The lawyer who did represent him had a duty to disclose his prior representation of the victim to Mickens and to the trial judge. That duty was violated. When Mickens had no counsel, the trial judge had a duty to “make a thorough inquiry and to take all steps necessary to insure the fullest protection of” his right to counsel. Von Moltke , 322 U. S., at 722. Despite knowledge of the lawyer’s prior representation, she violated that duty.

We will never know whether Mickens would have received the death penalty if those violations had not occurred nor precisely what effect they had on Saunders’ representation of Mickens. 10 We do know that he did not receive the kind of representation that the Constitution guarantees. If Mickens had been represented by an attorney-impostor who never passed a bar examination, we might also be unable to determine whether the impostor’s educational shortcomings “ ‘actually affected the adequacy of his representation.” ’ Ante , at 8 (emphasis deleted). We would, however, surely set aside his conviction if the person who had represented him was not a real lawyer. Four compelling reasons make setting aside the conviction the proper remedy in this case.

First, it is the remedy dictated by our holdings in Holloway v . Arkansas , 435 U. S. 475 (1978) , Cuyler v . Sullivan, 446 U. S. 335 (1980) , and Wood v. Georgia , 450 U. S. 261 (1981) . In this line of precedent, our focus was properly upon the duty of the trial court judge to inquire into a potential conflict. This duty was triggered either via defense counsel’s objection, as was the case in Holloway , or some other “special circumstances” whereby the serious potential for conflict was brought to the attention of the trial court judge. Sullivan , 446 U. S., at 346. As we unambiguously stated in Wood , “ Sullivan mandates a reversal when the trial court has failed to make an inquiry even though it ‘knows or reasonably should know that a particular conflict exists.’ ” 450 U. S. , at 272, n. 18. It is thus wrong for the Court to interpret Justice Powell’s language as referring only to a division of loyalties “that affected counsel’s performance.” Ante , at 8, n. 3 (emphasis deleted). 11 Wood nowhere hints of this meaning of “actual conflict of interest” 450 U. S., at 273, nor does it reference Sullivan in “shorthand,” a nte , at 8. Rather, Wood cites Sullivan explicitly in order to make a factual distinction: In a circumstance, such as in Wood , in which the judge knows or should know of the conflict, no showing of adverse effect is required. But when, as in Sullivan , the judge lacked this knowledge, such a showing is required. Wood, 450 U. S., at 272–274. 12

Second, it is the only remedy that responds to the real possibility that Mickens would not have received the death penalty if he had been represented by conflict-free counsel during the critical stage of the proceeding in which he first met with his lawyer. We should presume that the lawyer for the victim of a brutal homicide is incapable of establishing the kind of relationship with the defendant that is essential to effective representation.

Third, it is the only remedy that is consistent with the legal profession’s historic and universal condemnation of the representation of conflicting interests without the full disclosure and consent of all interested parties. 13 The Court’s novel and naïve assumption that a lawyer’s divided loyalties are acceptable unless it can be proved that they actually affected counsel’s performance is demeaning to the profession.

Finally, “justice must satisfy the appearance of justice.” Offutt v. United States , 348 U. S. 11, 14 (1954) . Setting aside Mickens’ conviction is the only remedy that can maintain public confidence in the fairness of the procedures employed in capital cases. Death is a different kind of punishment from any other that may be imposed in this country. “From the point of view of the defendant, it is different in both its severity and its finality. From the point of view of society, the action of the sovereign in taking the life of one of its citizens also differs dramatically from any other legitimate state action. It is of vital importance to the defendant and to the community that any decision to impose the death sentence be, and appear to be, based on reason rather than caprice or emotion.” Gardner v. Florida, 430 U. S. 349, 357–358 (1977) . A rule that allows the State to foist a murder victim’s lawyer onto his accused is not only capricious; it poisons the integrity of our adversary system of justice.

I respectfully dissent.


Notes

1 The Sixth Amendment provides: “In all criminal prosecutions, the accused shall enjoy the right … to have the Assistance of Counsel for his defence.” This protection is applicable to State, as well as federal, criminal proceedings. Gideon v. Wainwright, 372 U. S. 335 (1963) . We have long recognized the paramount importance of the right to effective assistance of counsel. United States v. Cronic, 466 U. S. 648, 653–654 (1984) (“ ‘Of all the rights that an accused person has, the right to be represented by counsel is by far the most pervasive for it affects his ability to assert any other rights he may have’ ”) (citation omitted)).

2 Williams v. Reed, 29 F. Cas. 1386, 1390 (No. 17,733) (CC Me. 1824). Discussing the necessity of full disclosure to the preservation of the lawyer-client relationship, Justice Story stated: “I agree to the doctrine urged at the bar, as to the delicacy of the relation of client and attorney, and the duty of a full, frank, and free disclosure by the latter of every circumstance, which may be presumed to be material, not merely to the interests, but to the fair exercise of the judgment, of the client.”

3 At the guilt phase, the trial court judge instructed Mickens’ jury as follows: “If you find that the Commonwealth has failed to prove beyond a reasonable doubt that the killing occurred in the commission of, or subsequent to, attempted forcible sodomy . . . [but do find a malicious, willful, deliberate, premeditated killing], then you shall find the defendant guilty of first degree murder. If you find the defendant guilty of first degree murder, then you shall fix his punishment at: (1) Imprisonment for life; or (2) A specific term of imprisonment, but not less than twenty years . . . .” App. 58–59.

4 For example, at the time of Hall’s death, Saunders was representing Hall in juvenile court for charges arising out of an incident involving Hall’s mother. She had sworn out a warrant for Hall’s arrest charging him with assault and battery. Despite knowledge of this, Mickens’ lawyer offered no rebuttal to the victim-impact statement submitted by Hall’s mother that “ ‘all [she] lived for was that boy.’ ” App. 297.

5 A group of experts in legal ethics, acting as Amici Curiae, submit that the conflict in issue in this case would be nonwaivable pursuant to the standard articulated in the ABA Ann. Model Rules of Professional Conduct (4th ed. 1999). Brief for Legal Ethicists et al. as Amici Curiae 16 (“[T]he standard test to determine if a conflict is non-waiveable is whether a ‘disinterested lawyer would conclude that the client should not agree to the representation under the circumstances.’ ” (quoting Model Rule 1.7, Comment 5)). Unfortunately, because Mickens was not informed of the fact that his appointed attorney was the lawyer of the alleged victim, the questions whether Mickens would have waived this conflict and consented to the appointment, or whether governing standards of professional responsibility would have precluded him from doing so, remain unanswered.

6 Although the conflict in this case is plainly intolerable, I, of course, do not suggest that every conflict, or every violation of the code of ethics, is a violation of the Constitution.

7 “[W]hen a defendant chooses to have a lawyer manage and present his case, law and tradition may allocate to the counsel the power to make binding decisions of trial strategy in many areas. . . . This allocation can only be justified, however, by the defendant’s consent, at the outset, to accept counsel as his representative. An unwanted counsel ‘represents’ the defendant only through a tenuous and unacceptable legal fiction. Unless the accused has acquiesced in such representation, the defense presented is not the defense guaranteed him by the Constitution, for, in a very real sense, it is not his defense.” 422 U. S., at 820–821.

8 Part III of the Court’s opinion is a foray into an issue that is not implicated by the question presented. In dicta, the Court states that Sullivan may not even apply in the first place to successive representations. Ante, at 10–12. Most Courts of Appeals, however, have applied Sullivan to claims of successive representation as well as to some insidious conflicts arising from a lawyer’s self-interest. See cases cited ante, at 10–11. We have done the same. See Wood v. Georgia, 450 U. S. 261 (1981) (applying Sullivan to a conflict stemming from a third-party payment arrangement). Neither we nor the Courts of Appeals have applied this standard “unblinkingly,” as the Court accuses, ante, at 10, but rather have relied upon principled reason. When a conflict of interest, whether multiple, successive, or otherwise, poses so substantial a risk that a lawyer’s representation would be materially and adversely affected by diverging interests or loyalties and the trial court judge knows of this and yet fails to inquire, it is a “[c]ircumstanc[e] of [such] magnitude” that “the likelihood that any lawyer, even a fully competent one, could provide effective assistance is so small that a presumption of prejudice is appropriate without inquiry into the actual conduct of the trial.” Cronic, 466 U. S., at 659–660.

9 There is no dispute before us as to the appointing judge’s knowledge. The court below assumed, arguendo, that the judge who, upon Hall’s death, dismissed Saunders from his representation of Hall and who then three days later appointed Saunders to represent Mickens in the killing of Hall “reasonably should have known that Saunders labored under a potential conflict of interest arising from his previous representation of Hall.” 240 F. 3d 348, 357 (CA4 2001). This assumption has not been challenged.

10 I disagree with the Court’s assertion that the inquiry mandated by Cuyler v. Sullivan, 446 U. S. 335 (1980) , will not aid in the determination of conflict and effect. Ante, at 9. As we have stated, “the evil [of conflict-ridden counsel] is in what the advocate finds himself compelled to refrain from doing … [making it] difficult to judge intelligently the impact of a conflict on the attorney’s representation of a client.” Holloway v. Arkansas, 435 U. S. 475, 490–491 (1978) . An adequate inquiry by the appointing or trial court judge will augment the record thereby making it easier to evaluate the impact of the conflict.

11 The Court concedes that if Mickens’ attorney had objected to the appointment based upon the conflict of interest and the trial court judge had failed to inquire, then reversal without inquiry into adverse effect would be required. Ante, at 10. The Court, in addition to ignoring the mandate of Wood, reads Sullivan too narrowly. In Sullivan we did not ask only whether an objection was made in order to ascertain whether the trial court had a duty to inquire. Rather, we stated that “[n]othing in the circumstances of this case indicates that the trial court had a duty to inquire whether there was a conflict of interest. The provision of separate trials for Sullivan and his codefendants significantly reduced the potential for a divergence in their interests. No participant in Sullivan’s trial ever objected to the multiple representation… . On these facts, we conclude that the Sixth Amendment imposed upon the trial court no affirmative duty to inquire into the propriety of multiple representation.” 446 U. S., at 347–348. It is also counter to our precedent to treat all Sixth Amendment challenges involving conflicts of interest categorically, without inquiry into the surrounding factual circumstances. In Cronic, we cited Holloway as an example of a case involving “surrounding circumstances [making] it so unlikely that any lawyer could provide effective assistance that ineffectiveness was properly presumed without inquiry into actual performance at trial.” Cronic, 466 U. S., at 661, and n. 28. The surrounding circumstances in the present case were far more egregious than those requiring reversal in either Holloway or Wood.

12 Because the appointing judge knew of the conflict, there is no need in this case to decide what should be done when the judge neither knows, nor should know, about the existence of an intolerable conflict. Nevertheless the Court argues that it makes little sense to reverse automatically upon a showing of actual conflict when the trial court judge knows (or reasonably should know) of a potential conflict and yet has failed to inquire, but not to do so when the trial court judge does not know of the conflict. Ante, at 9. Although it is true that the defendant faces the same potential for harm as a result of a conflict in either instance, in the former case the court committed the error and in the latter the harm is entirely attributable to the misconduct of defense counsel. A requirement that the defendant show adverse effect when the court committed no error surely does not justify such a requirement when the court did err. It is the Court’s rule that leads to an anomalous result. Under the Court’s analysis, if defense counsel objects to the appointment, reversal without inquiry into adverse effect is required. Ante, at 10. But counsel’s failure to object posed a greater—not a lesser—threat to Mickens’ Sixth Amendment right. Had Saunders objected to the appointment, Mickens would at least have been apprised of the conflict.

13 Every state bar in the country has an ethical rule prohibiting a lawyer from undertaking a representation that involves a conflict of interest unless the client has waived the conflict. University Publications of America, National Reporter on Legal Ethics and Professional Responsibility, Vols. I-IV (2001) (reprinting the professional responsibility codes for the 50 States). See also, ABA Ann. Model Rule of Professional Responsibility 1.7, pp. 91–92, Comments 3 and 4 (“As a general proposition, loyalty to a client prohibits undertaking representation directly adverse to that client without that client’s consent… . Loyalty to a client is also impaired when a lawyer cannot consider, recommend or carry out an appropriate course of action for the client because of the lawyer’s other responsibilities or interests”).


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Dissent

WALTER MICKENS, Jr ., PETITIONER v.
JOHN TAYLOR, WARDEN

on writ of certiorari to the united states court of appeals for the fourth circuit


[March 27, 2002]

Justice Stevens , dissenting.

This case raises three uniquely important questions about a fundamental component of our criminal justice system—the constitutional right of a person accused of a capital offense to have the effective assistance of counsel for his defense. 1 The first is whether a capital defendant’s attorney has a duty to disclose that he was representing the defendant’s alleged victim at the time of the murder. Second, is whether, assuming disclosure of the prior representation, the capital defendant has a right to refuse the appointment of the conflicted attorney. Third, is whether the trial judge, who knows or should know of such prior representation, has a duty to obtain the defendant’s consent before appointing that lawyer to represent him. Ultimately, the question presented by this case is whether, if these duties exist and if all of them are violated, there exist “circumstances that are so likely to prejudice the accused that the cost of litigating their effect in a particular case is unjustified.” United States v. Cronic, 466 U. S. 648, 658 (1984).

I

The first critical stage in the defense of a capital case is the series of pretrial meetings between the accused and his counsel when they decide how the case should be defended. A lawyer cannot possibly determine how best to represent a new client unless that client is willing to provide the lawyer with a truthful account of the relevant facts. When an indigent defendant first meets his newly appointed counsel, he will often falsely maintain his complete innocence. Truthful disclosures of embarrassing or incriminating facts are contingent on the development of the client’s confidence in the undivided loyalty of the lawyer. Quite obviously, knowledge that the lawyer represented the victim would be a substantial obstacle to the development of such confidence.

It is equally true that a lawyer’s decision to conceal such an important fact from his new client would have comparable ramifications. The suppression of communication and truncated investigation that would unavoidably follow from such a decision would also make it difficult, if not altogether impossible, to establish the necessary level of trust that should characterize the “delicacy of relation” between attorney and client. 2

In this very case, it is likely that Mickens misled his counsel, Bryan Saunders, given the fact that Mickens gave false testimony at his trial denying any involvement in the crime despite the overwhelming evidence that he had killed Timothy Hall after a sexual encounter. In retrospect, it seems obvious that the death penalty might have been avoided by acknowledging Mickens’ involvement, but emphasizing the evidence suggesting that their sexual encounter was consensual. Mickens’ habeas counsel garnered evidence suggesting that Hall was a male prostitute, App. 137, 149, 162, 169; that the area where Hall was killed was known for prostitution, id ., at 169–170; and that there was no evidence that Hall was forced to the secluded area where he was ultimately murdered. An unconflicted attorney could have put forward a defense tending to show that Mickens killed Hall only after the two engaged in consensual sex, but Saunders offered no such defense. This was a crucial omission—a finding of forcible sodomy was an absolute prerequisite to Mickens’ eligibility for the death penalty. 3 Of course, since that strategy would have led to conviction of a noncapital offense, counsel would have been unable to persuade the defendant to divulge the information necessary to support such a defense and then ultimately to endorse the strategy unless he had earned the complete confidence of his client.

Saunders’ concealment of essential information about his prior representation of the victim was a severe lapse in his professional duty. The lawyer’s duty to disclose his representation of a client related to the instant charge is not only intuitively obvious, it is as old as the profession. Consider this straightforward comment made by Justice Story in 1824:

“An attorney is bound to disclose to his client every adverse retainer, and even every prior retainer, which may affect the discretion of the latter. No man can be supposed to be indifferent to the knowledge of facts, which work directly on his interests, or bear on the freedom of his choice of counsel. When a client employs an attorney, he has a right to presume, if the latter be silent on the point, that he has no engagements, which interfere, in any degree, with his exclusive devotion to the cause confided to him; that he has no interest, which may betray his judgment, or endanger his fidelity.” Williams v. Reed , 29 F. Cas. 1386, 1390 (No. 17,733) (CC Me. 1824).

Mickens’ lawyer’s violation of this fundamental obligation of disclosure is indefensible. The relevance of Saunders’ prior representation of Hall to the new appointment was far too important to be concealed.

II

If the defendant is found guilty of a capital offense, the ensuing proceedings that determine whether he will be put to death are critical in every sense of the word. At those proceedings, testimony about the impact of the crime on the victim, including testimony about the character of the victim, may have a critical effect on the jury’s decision. Payne v. Tennessee, 501 U. S. 808 (1991) . Because a lawyer’s fiduciary relationship with his deceased client survives the client’s death, Swidler & Berlin v. United States, 524 U. S. 399 (1998) , Saunders necessarily labored under conflicting obligations that were irreconcilable. He had a duty to protect the reputation and confidences of his deceased client, and a duty to impeach the impact evidence presented by the prosecutor. 4

Saunders’ conflicting obligations to his deceased client, on the one hand, and to his living client, on the other, were unquestionably sufficient to give Mickens the right to insist on different representation. 5 For the “right to counsel guaranteed by the Constitution contemplates the services of an attorney devoted solely to the interests of his client,” Von Moltke v. Gillies, 332 U. S. 708, 725 (1948) . 6 Moreover, in my judgment, the right to conflict-free counsel is just as firmly protected by the Constitution as the defendant’s right of self-representation recognized in Faretta v. California, 422 U. S. 806 (1975) . 7

III

When an indigent defendant is unable to retain his own lawyer, the trial judge’s appointment of counsel is itself a critical stage of a criminal trial. At that point in the proceeding, by definition, the defendant has no lawyer to protect his interests and must rely entirely on the judge. For that reason it is “the solemn duty of a … judge before whom a defendant appears without counsel to make a thorough inquiry and to take all steps necessary to insure the fullest protection of this constitutional right at every stage of the proceedings.” Von Moltke , 322 U. S., at 722.

This duty with respect to indigent defendants is far more imperative than the judge’s duty to investigate the possibility of a conflict that arises when retained counsel represents either multiple or successive defendants. It is true that in a situation of retained counsel, “[u]nless the trial court knows or reasonably should know that a particular conflict exists, the court need not initiate an inquiry.” Cuyler v. Sullivan, 446 U. S. 335, 347 (1980) . 8 But when, as was true in this case, the judge is not merely reviewing the permissibility of the defendants’ choice of counsel, but is responsible for making the choice herself, and when she knows or should know that a conflict does exist, the duty to make a thorough inquiry is manifest and unqualified. 9 Indeed, under far less compelling circumstances, we squarely held that when a record discloses the “possibility of a conflict” between the interests of the defendants and the interests of the party paying their counsel’s fees, the Constitution imposes a duty of inquiry on the state- court judge even when no objection was made. Wood v. Georgia, 450 U. S. 261, 267, 272 (1981) .

IV

Mickens had a constitutional right to the services of an attorney devoted solely to his interests. That right was violated. The lawyer who did represent him had a duty to disclose his prior representation of the victim to Mickens and to the trial judge. That duty was violated. When Mickens had no counsel, the trial judge had a duty to “make a thorough inquiry and to take all steps necessary to insure the fullest protection of” his right to counsel. Von Moltke , 322 U. S., at 722. Despite knowledge of the lawyer’s prior representation, she violated that duty.

We will never know whether Mickens would have received the death penalty if those violations had not occurred nor precisely what effect they had on Saunders’ representation of Mickens. 10 We do know that he did not receive the kind of representation that the Constitution guarantees. If Mickens had been represented by an attorney-impostor who never passed a bar examination, we might also be unable to determine whether the impostor’s educational shortcomings “ ‘actually affected the adequacy of his representation.” ’ Ante , at 8 (emphasis deleted). We would, however, surely set aside his conviction if the person who had represented him was not a real lawyer. Four compelling reasons make setting aside the conviction the proper remedy in this case.

First, it is the remedy dictated by our holdings in Holloway v . Arkansas , 435 U. S. 475 (1978) , Cuyler v . Sullivan, 446 U. S. 335 (1980) , and Wood v. Georgia , 450 U. S. 261 (1981) . In this line of precedent, our focus was properly upon the duty of the trial court judge to inquire into a potential conflict. This duty was triggered either via defense counsel’s objection, as was the case in Holloway , or some other “special circumstances” whereby the serious potential for conflict was brought to the attention of the trial court judge. Sullivan , 446 U. S., at 346. As we unambiguously stated in Wood , “ Sullivan mandates a reversal when the trial court has failed to make an inquiry even though it ‘knows or reasonably should know that a particular conflict exists.’ ” 450 U. S. , at 272, n. 18. It is thus wrong for the Court to interpret Justice Powell’s language as referring only to a division of loyalties “that affected counsel’s performance.” Ante , at 8, n. 3 (emphasis deleted). 11 Wood nowhere hints of this meaning of “actual conflict of interest” 450 U. S., at 273, nor does it reference Sullivan in “shorthand,” a nte , at 8. Rather, Wood cites Sullivan explicitly in order to make a factual distinction: In a circumstance, such as in Wood , in which the judge knows or should know of the conflict, no showing of adverse effect is required. But when, as in Sullivan , the judge lacked this knowledge, such a showing is required. Wood, 450 U. S., at 272–274. 12

Second, it is the only remedy that responds to the real possibility that Mickens would not have received the death penalty if he had been represented by conflict-free counsel during the critical stage of the proceeding in which he first met with his lawyer. We should presume that the lawyer for the victim of a brutal homicide is incapable of establishing the kind of relationship with the defendant that is essential to effective representation.

Third, it is the only remedy that is consistent with the legal profession’s historic and universal condemnation of the representation of conflicting interests without the full disclosure and consent of all interested parties. 13 The Court’s novel and naïve assumption that a lawyer’s divided loyalties are acceptable unless it can be proved that they actually affected counsel’s performance is demeaning to the profession.

Finally, “justice must satisfy the appearance of justice.” Offutt v. United States , 348 U. S. 11, 14 (1954) . Setting aside Mickens’ conviction is the only remedy that can maintain public confidence in the fairness of the procedures employed in capital cases. Death is a different kind of punishment from any other that may be imposed in this country. “From the point of view of the defendant, it is different in both its severity and its finality. From the point of view of society, the action of the sovereign in taking the life of one of its citizens also differs dramatically from any other legitimate state action. It is of vital importance to the defendant and to the community that any decision to impose the death sentence be, and appear to be, based on reason rather than caprice or emotion.” Gardner v. Florida, 430 U. S. 349, 357–358 (1977) . A rule that allows the State to foist a murder victim’s lawyer onto his accused is not only capricious; it poisons the integrity of our adversary system of justice.

I respectfully dissent.


Notes

1 The Sixth Amendment provides: “In all criminal prosecutions, the accused shall enjoy the right … to have the Assistance of Counsel for his defence.” This protection is applicable to State, as well as federal, criminal proceedings. Gideon v. Wainwright, 372 U. S. 335 (1963) . We have long recognized the paramount importance of the right to effective assistance of counsel. United States v. Cronic, 466 U. S. 648, 653–654 (1984) (“ ‘Of all the rights that an accused person has, the right to be represented by counsel is by far the most pervasive for it affects his ability to assert any other rights he may have’ ”) (citation omitted)).

2 Williams v. Reed, 29 F. Cas. 1386, 1390 (No. 17,733) (CC Me. 1824). Discussing the necessity of full disclosure to the preservation of the lawyer-client relationship, Justice Story stated: “I agree to the doctrine urged at the bar, as to the delicacy of the relation of client and attorney, and the duty of a full, frank, and free disclosure by the latter of every circumstance, which may be presumed to be material, not merely to the interests, but to the fair exercise of the judgment, of the client.”

3 At the guilt phase, the trial court judge instructed Mickens’ jury as follows: “If you find that the Commonwealth has failed to prove beyond a reasonable doubt that the killing occurred in the commission of, or subsequent to, attempted forcible sodomy . . . [but do find a malicious, willful, deliberate, premeditated killing], then you shall find the defendant guilty of first degree murder. If you find the defendant guilty of first degree murder, then you shall fix his punishment at: (1) Imprisonment for life; or (2) A specific term of imprisonment, but not less than twenty years . . . .” App. 58–59.

4 For example, at the time of Hall’s death, Saunders was representing Hall in juvenile court for charges arising out of an incident involving Hall’s mother. She had sworn out a warrant for Hall’s arrest charging him with assault and battery. Despite knowledge of this, Mickens’ lawyer offered no rebuttal to the victim-impact statement submitted by Hall’s mother that “ ‘all [she] lived for was that boy.’ ” App. 297.

5 A group of experts in legal ethics, acting as Amici Curiae, submit that the conflict in issue in this case would be nonwaivable pursuant to the standard articulated in the ABA Ann. Model Rules of Professional Conduct (4th ed. 1999). Brief for Legal Ethicists et al. as Amici Curiae 16 (“[T]he standard test to determine if a conflict is non-waiveable is whether a ‘disinterested lawyer would conclude that the client should not agree to the representation under the circumstances.’ ” (quoting Model Rule 1.7, Comment 5)). Unfortunately, because Mickens was not informed of the fact that his appointed attorney was the lawyer of the alleged victim, the questions whether Mickens would have waived this conflict and consented to the appointment, or whether governing standards of professional responsibility would have precluded him from doing so, remain unanswered.

6 Although the conflict in this case is plainly intolerable, I, of course, do not suggest that every conflict, or every violation of the code of ethics, is a violation of the Constitution.

7 “[W]hen a defendant chooses to have a lawyer manage and present his case, law and tradition may allocate to the counsel the power to make binding decisions of trial strategy in many areas. . . . This allocation can only be justified, however, by the defendant’s consent, at the outset, to accept counsel as his representative. An unwanted counsel ‘represents’ the defendant only through a tenuous and unacceptable legal fiction. Unless the accused has acquiesced in such representation, the defense presented is not the defense guaranteed him by the Constitution, for, in a very real sense, it is not his defense.” 422 U. S., at 820–821.

8 Part III of the Court’s opinion is a foray into an issue that is not implicated by the question presented. In dicta, the Court states that Sullivan may not even apply in the first place to successive representations. Ante, at 10–12. Most Courts of Appeals, however, have applied Sullivan to claims of successive representation as well as to some insidious conflicts arising from a lawyer’s self-interest. See cases cited ante, at 10–11. We have done the same. See Wood v. Georgia, 450 U. S. 261 (1981) (applying Sullivan to a conflict stemming from a third-party payment arrangement). Neither we nor the Courts of Appeals have applied this standard “unblinkingly,” as the Court accuses, ante, at 10, but rather have relied upon principled reason. When a conflict of interest, whether multiple, successive, or otherwise, poses so substantial a risk that a lawyer’s representation would be materially and adversely affected by diverging interests or loyalties and the trial court judge knows of this and yet fails to inquire, it is a “[c]ircumstanc[e] of [such] magnitude” that “the likelihood that any lawyer, even a fully competent one, could provide effective assistance is so small that a presumption of prejudice is appropriate without inquiry into the actual conduct of the trial.” Cronic, 466 U. S., at 659–660.

9 There is no dispute before us as to the appointing judge’s knowledge. The court below assumed, arguendo, that the judge who, upon Hall’s death, dismissed Saunders from his representation of Hall and who then three days later appointed Saunders to represent Mickens in the killing of Hall “reasonably should have known that Saunders labored under a potential conflict of interest arising from his previous representation of Hall.” 240 F. 3d 348, 357 (CA4 2001). This assumption has not been challenged.

10 I disagree with the Court’s assertion that the inquiry mandated by Cuyler v. Sullivan, 446 U. S. 335 (1980) , will not aid in the determination of conflict and effect. Ante, at 9. As we have stated, “the evil [of conflict-ridden counsel] is in what the advocate finds himself compelled to refrain from doing … [making it] difficult to judge intelligently the impact of a conflict on the attorney’s representation of a client.” Holloway v. Arkansas, 435 U. S. 475, 490–491 (1978) . An adequate inquiry by the appointing or trial court judge will augment the record thereby making it easier to evaluate the impact of the conflict.

11 The Court concedes that if Mickens’ attorney had objected to the appointment based upon the conflict of interest and the trial court judge had failed to inquire, then reversal without inquiry into adverse effect would be required. Ante, at 10. The Court, in addition to ignoring the mandate of Wood, reads Sullivan too narrowly. In Sullivan we did not ask only whether an objection was made in order to ascertain whether the trial court had a duty to inquire. Rather, we stated that “[n]othing in the circumstances of this case indicates that the trial court had a duty to inquire whether there was a conflict of interest. The provision of separate trials for Sullivan and his codefendants significantly reduced the potential for a divergence in their interests. No participant in Sullivan’s trial ever objected to the multiple representation… . On these facts, we conclude that the Sixth Amendment imposed upon the trial court no affirmative duty to inquire into the propriety of multiple representation.” 446 U. S., at 347–348. It is also counter to our precedent to treat all Sixth Amendment challenges involving conflicts of interest categorically, without inquiry into the surrounding factual circumstances. In Cronic, we cited Holloway as an example of a case involving “surrounding circumstances [making] it so unlikely that any lawyer could provide effective assistance that ineffectiveness was properly presumed without inquiry into actual performance at trial.” Cronic, 466 U. S., at 661, and n. 28. The surrounding circumstances in the present case were far more egregious than those requiring reversal in either Holloway or Wood.

12 Because the appointing judge knew of the conflict, there is no need in this case to decide what should be done when the judge neither knows, nor should know, about the existence of an intolerable conflict. Nevertheless the Court argues that it makes little sense to reverse automatically upon a showing of actual conflict when the trial court judge knows (or reasonably should know) of a potential conflict and yet has failed to inquire, but not to do so when the trial court judge does not know of the conflict. Ante, at 9. Although it is true that the defendant faces the same potential for harm as a result of a conflict in either instance, in the former case the court committed the error and in the latter the harm is entirely attributable to the misconduct of defense counsel. A requirement that the defendant show adverse effect when the court committed no error surely does not justify such a requirement when the court did err. It is the Court’s rule that leads to an anomalous result. Under the Court’s analysis, if defense counsel objects to the appointment, reversal without inquiry into adverse effect is required. Ante, at 10. But counsel’s failure to object posed a greater—not a lesser—threat to Mickens’ Sixth Amendment right. Had Saunders objected to the appointment, Mickens would at least have been apprised of the conflict.

13 Every state bar in the country has an ethical rule prohibiting a lawyer from undertaking a representation that involves a conflict of interest unless the client has waived the conflict. University Publications of America, National Reporter on Legal Ethics and Professional Responsibility, Vols. I-IV (2001) (reprinting the professional responsibility codes for the 50 States). See also, ABA Ann. Model Rule of Professional Responsibility 1.7, pp. 91–92, Comments 3 and 4 (“As a general proposition, loyalty to a client prohibits undertaking representation directly adverse to that client without that client’s consent… . Loyalty to a client is also impaired when a lawyer cannot consider, recommend or carry out an appropriate course of action for the client because of the lawyer’s other responsibilities or interests”).


TOP

Dissent

WALTER MICKENS, Jr ., PETITIONER v.
JOHN TAYLOR, WARDEN

on writ of certiorari to the united states court of appeals for the fourth circuit


[March 27, 2002]

Justice Stevens , dissenting.

This case raises three uniquely important questions about a fundamental component of our criminal justice system—the constitutional right of a person accused of a capital offense to have the effective assistance of counsel for his defense. 1 The first is whether a capital defendant’s attorney has a duty to disclose that he was representing the defendant’s alleged victim at the time of the murder. Second, is whether, assuming disclosure of the prior representation, the capital defendant has a right to refuse the appointment of the conflicted attorney. Third, is whether the trial judge, who knows or should know of such prior representation, has a duty to obtain the defendant’s consent before appointing that lawyer to represent him. Ultimately, the question presented by this case is whether, if these duties exist and if all of them are violated, there exist “circumstances that are so likely to prejudice the accused that the cost of litigating their effect in a particular case is unjustified.” United States v. Cronic, 466 U. S. 648, 658 (1984).

I

The first critical stage in the defense of a capital case is the series of pretrial meetings between the accused and his counsel when they decide how the case should be defended. A lawyer cannot possibly determine how best to represent a new client unless that client is willing to provide the lawyer with a truthful account of the relevant facts. When an indigent defendant first meets his newly appointed counsel, he will often falsely maintain his complete innocence. Truthful disclosures of embarrassing or incriminating facts are contingent on the development of the client’s confidence in the undivided loyalty of the lawyer. Quite obviously, knowledge that the lawyer represented the victim would be a substantial obstacle to the development of such confidence.

It is equally true that a lawyer’s decision to conceal such an important fact from his new client would have comparable ramifications. The suppression of communication and truncated investigation that would unavoidably follow from such a decision would also make it difficult, if not altogether impossible, to establish the necessary level of trust that should characterize the “delicacy of relation” between attorney and client. 2

In this very case, it is likely that Mickens misled his counsel, Bryan Saunders, given the fact that Mickens gave false testimony at his trial denying any involvement in the crime despite the overwhelming evidence that he had killed Timothy Hall after a sexual encounter. In retrospect, it seems obvious that the death penalty might have been avoided by acknowledging Mickens’ involvement, but emphasizing the evidence suggesting that their sexual encounter was consensual. Mickens’ habeas counsel garnered evidence suggesting that Hall was a male prostitute, App. 137, 149, 162, 169; that the area where Hall was killed was known for prostitution, id ., at 169–170; and that there was no evidence that Hall was forced to the secluded area where he was ultimately murdered. An unconflicted attorney could have put forward a defense tending to show that Mickens killed Hall only after the two engaged in consensual sex, but Saunders offered no such defense. This was a crucial omission—a finding of forcible sodomy was an absolute prerequisite to Mickens’ eligibility for the death penalty. 3 Of course, since that strategy would have led to conviction of a noncapital offense, counsel would have been unable to persuade the defendant to divulge the information necessary to support such a defense and then ultimately to endorse the strategy unless he had earned the complete confidence of his client.

Saunders’ concealment of essential information about his prior representation of the victim was a severe lapse in his professional duty. The lawyer’s duty to disclose his representation of a client related to the instant charge is not only intuitively obvious, it is as old as the profession. Consider this straightforward comment made by Justice Story in 1824:

“An attorney is bound to disclose to his client every adverse retainer, and even every prior retainer, which may affect the discretion of the latter. No man can be supposed to be indifferent to the knowledge of facts, which work directly on his interests, or bear on the freedom of his choice of counsel. When a client employs an attorney, he has a right to presume, if the latter be silent on the point, that he has no engagements, which interfere, in any degree, with his exclusive devotion to the cause confided to him; that he has no interest, which may betray his judgment, or endanger his fidelity.” Williams v. Reed , 29 F. Cas. 1386, 1390 (No. 17,733) (CC Me. 1824).

Mickens’ lawyer’s violation of this fundamental obligation of disclosure is indefensible. The relevance of Saunders’ prior representation of Hall to the new appointment was far too important to be concealed.

II

If the defendant is found guilty of a capital offense, the ensuing proceedings that determine whether he will be put to death are critical in every sense of the word. At those proceedings, testimony about the impact of the crime on the victim, including testimony about the character of the victim, may have a critical effect on the jury’s decision. Payne v. Tennessee, 501 U. S. 808 (1991) . Because a lawyer’s fiduciary relationship with his deceased client survives the client’s death, Swidler & Berlin v. United States, 524 U. S. 399 (1998) , Saunders necessarily labored under conflicting obligations that were irreconcilable. He had a duty to protect the reputation and confidences of his deceased client, and a duty to impeach the impact evidence presented by the prosecutor. 4

Saunders’ conflicting obligations to his deceased client, on the one hand, and to his living client, on the other, were unquestionably sufficient to give Mickens the right to insist on different representation. 5 For the “right to counsel guaranteed by the Constitution contemplates the services of an attorney devoted solely to the interests of his client,” Von Moltke v. Gillies, 332 U. S. 708, 725 (1948) . 6 Moreover, in my judgment, the right to conflict-free counsel is just as firmly protected by the Constitution as the defendant’s right of self-representation recognized in Faretta v. California, 422 U. S. 806 (1975) . 7

III

When an indigent defendant is unable to retain his own lawyer, the trial judge’s appointment of counsel is itself a critical stage of a criminal trial. At that point in the proceeding, by definition, the defendant has no lawyer to protect his interests and must rely entirely on the judge. For that reason it is “the solemn duty of a … judge before whom a defendant appears without counsel to make a thorough inquiry and to take all steps necessary to insure the fullest protection of this constitutional right at every stage of the proceedings.” Von Moltke , 322 U. S., at 722.

This duty with respect to indigent defendants is far more imperative than the judge’s duty to investigate the possibility of a conflict that arises when retained counsel represents either multiple or successive defendants. It is true that in a situation of retained counsel, “[u]nless the trial court knows or reasonably should know that a particular conflict exists, the court need not initiate an inquiry.” Cuyler v. Sullivan, 446 U. S. 335, 347 (1980) . 8 But when, as was true in this case, the judge is not merely reviewing the permissibility of the defendants’ choice of counsel, but is responsible for making the choice herself, and when she knows or should know that a conflict does exist, the duty to make a thorough inquiry is manifest and unqualified. 9 Indeed, under far less compelling circumstances, we squarely held that when a record discloses the “possibility of a conflict” between the interests of the defendants and the interests of the party paying their counsel’s fees, the Constitution imposes a duty of inquiry on the state- court judge even when no objection was made. Wood v. Georgia, 450 U. S. 261, 267, 272 (1981) .

IV

Mickens had a constitutional right to the services of an attorney devoted solely to his interests. That right was violated. The lawyer who did represent him had a duty to disclose his prior representation of the victim to Mickens and to the trial judge. That duty was violated. When Mickens had no counsel, the trial judge had a duty to “make a thorough inquiry and to take all steps necessary to insure the fullest protection of” his right to counsel. Von Moltke , 322 U. S., at 722. Despite knowledge of the lawyer’s prior representation, she violated that duty.

We will never know whether Mickens would have received the death penalty if those violations had not occurred nor precisely what effect they had on Saunders’ representation of Mickens. 10 We do know that he did not receive the kind of representation that the Constitution guarantees. If Mickens had been represented by an attorney-impostor who never passed a bar examination, we might also be unable to determine whether the impostor’s educational shortcomings “ ‘actually affected the adequacy of his representation.” ’ Ante , at 8 (emphasis deleted). We would, however, surely set aside his conviction if the person who had represented him was not a real lawyer. Four compelling reasons make setting aside the conviction the proper remedy in this case.

First, it is the remedy dictated by our holdings in Holloway v . Arkansas , 435 U. S. 475 (1978) , Cuyler v . Sullivan, 446 U. S. 335 (1980) , and Wood v. Georgia , 450 U. S. 261 (1981) . In this line of precedent, our focus was properly upon the duty of the trial court judge to inquire into a potential conflict. This duty was triggered either via defense counsel’s objection, as was the case in Holloway , or some other “special circumstances” whereby the serious potential for conflict was brought to the attention of the trial court judge. Sullivan , 446 U. S., at 346. As we unambiguously stated in Wood , “ Sullivan mandates a reversal when the trial court has failed to make an inquiry even though it ‘knows or reasonably should know that a particular conflict exists.’ ” 450 U. S. , at 272, n. 18. It is thus wrong for the Court to interpret Justice Powell’s language as referring only to a division of loyalties “that affected counsel’s performance.” Ante , at 8, n. 3 (emphasis deleted). 11 Wood nowhere hints of this meaning of “actual conflict of interest” 450 U. S., at 273, nor does it reference Sullivan in “shorthand,” a nte , at 8. Rather, Wood cites Sullivan explicitly in order to make a factual distinction: In a circumstance, such as in Wood , in which the judge knows or should know of the conflict, no showing of adverse effect is required. But when, as in Sullivan , the judge lacked this knowledge, such a showing is required. Wood, 450 U. S., at 272–274. 12

Second, it is the only remedy that responds to the real possibility that Mickens would not have received the death penalty if he had been represented by conflict-free counsel during the critical stage of the proceeding in which he first met with his lawyer. We should presume that the lawyer for the victim of a brutal homicide is incapable of establishing the kind of relationship with the defendant that is essential to effective representation.

Third, it is the only remedy that is consistent with the legal profession’s historic and universal condemnation of the representation of conflicting interests without the full disclosure and consent of all interested parties. 13 The Court’s novel and naïve assumption that a lawyer’s divided loyalties are acceptable unless it can be proved that they actually affected counsel’s performance is demeaning to the profession.

Finally, “justice must satisfy the appearance of justice.” Offutt v. United States , 348 U. S. 11, 14 (1954) . Setting aside Mickens’ conviction is the only remedy that can maintain public confidence in the fairness of the procedures employed in capital cases. Death is a different kind of punishment from any other that may be imposed in this country. “From the point of view of the defendant, it is different in both its severity and its finality. From the point of view of society, the action of the sovereign in taking the life of one of its citizens also differs dramatically from any other legitimate state action. It is of vital importance to the defendant and to the community that any decision to impose the death sentence be, and appear to be, based on reason rather than caprice or emotion.” Gardner v. Florida, 430 U. S. 349, 357–358 (1977) . A rule that allows the State to foist a murder victim’s lawyer onto his accused is not only capricious; it poisons the integrity of our adversary system of justice.

I respectfully dissent.


Notes

1 The Sixth Amendment provides: “In all criminal prosecutions, the accused shall enjoy the right … to have the Assistance of Counsel for his defence.” This protection is applicable to State, as well as federal, criminal proceedings. Gideon v. Wainwright, 372 U. S. 335 (1963) . We have long recognized the paramount importance of the right to effective assistance of counsel. United States v. Cronic, 466 U. S. 648, 653–654 (1984) (“ ‘Of all the rights that an accused person has, the right to be represented by counsel is by far the most pervasive for it affects his ability to assert any other rights he may have’ ”) (citation omitted)).

2 Williams v. Reed, 29 F. Cas. 1386, 1390 (No. 17,733) (CC Me. 1824). Discussing the necessity of full disclosure to the preservation of the lawyer-client relationship, Justice Story stated: “I agree to the doctrine urged at the bar, as to the delicacy of the relation of client and attorney, and the duty of a full, frank, and free disclosure by the latter of every circumstance, which may be presumed to be material, not merely to the interests, but to the fair exercise of the judgment, of the client.”

3 At the guilt phase, the trial court judge instructed Mickens’ jury as follows: “If you find that the Commonwealth has failed to prove beyond a reasonable doubt that the killing occurred in the commission of, or subsequent to, attempted forcible sodomy . . . [but do find a malicious, willful, deliberate, premeditated killing], then you shall find the defendant guilty of first degree murder. If you find the defendant guilty of first degree murder, then you shall fix his punishment at: (1) Imprisonment for life; or (2) A specific term of imprisonment, but not less than twenty years . . . .” App. 58–59.

4 For example, at the time of Hall’s death, Saunders was representing Hall in juvenile court for charges arising out of an incident involving Hall’s mother. She had sworn out a warrant for Hall’s arrest charging him with assault and battery. Despite knowledge of this, Mickens’ lawyer offered no rebuttal to the victim-impact statement submitted by Hall’s mother that “ ‘all [she] lived for was that boy.’ ” App. 297.

5 A group of experts in legal ethics, acting as Amici Curiae, submit that the conflict in issue in this case would be nonwaivable pursuant to the standard articulated in the ABA Ann. Model Rules of Professional Conduct (4th ed. 1999). Brief for Legal Ethicists et al. as Amici Curiae 16 (“[T]he standard test to determine if a conflict is non-waiveable is whether a ‘disinterested lawyer would conclude that the client should not agree to the representation under the circumstances.’ ” (quoting Model Rule 1.7, Comment 5)). Unfortunately, because Mickens was not informed of the fact that his appointed attorney was the lawyer of the alleged victim, the questions whether Mickens would have waived this conflict and consented to the appointment, or whether governing standards of professional responsibility would have precluded him from doing so, remain unanswered.

6 Although the conflict in this case is plainly intolerable, I, of course, do not suggest that every conflict, or every violation of the code of ethics, is a violation of the Constitution.

7 “[W]hen a defendant chooses to have a lawyer manage and present his case, law and tradition may allocate to the counsel the power to make binding decisions of trial strategy in many areas. . . . This allocation can only be justified, however, by the defendant’s consent, at the outset, to accept counsel as his representative. An unwanted counsel ‘represents’ the defendant only through a tenuous and unacceptable legal fiction. Unless the accused has acquiesced in such representation, the defense presented is not the defense guaranteed him by the Constitution, for, in a very real sense, it is not his defense.” 422 U. S., at 820–821.

8 Part III of the Court’s opinion is a foray into an issue that is not implicated by the question presented. In dicta, the Court states that Sullivan may not even apply in the first place to successive representations. Ante, at 10–12. Most Courts of Appeals, however, have applied Sullivan to claims of successive representation as well as to some insidious conflicts arising from a lawyer’s self-interest. See cases cited ante, at 10–11. We have done the same. See Wood v. Georgia, 450 U. S. 261 (1981) (applying Sullivan to a conflict stemming from a third-party payment arrangement). Neither we nor the Courts of Appeals have applied this standard “unblinkingly,” as the Court accuses, ante, at 10, but rather have relied upon principled reason. When a conflict of interest, whether multiple, successive, or otherwise, poses so substantial a risk that a lawyer’s representation would be materially and adversely affected by diverging interests or loyalties and the trial court judge knows of this and yet fails to inquire, it is a “[c]ircumstanc[e] of [such] magnitude” that “the likelihood that any lawyer, even a fully competent one, could provide effective assistance is so small that a presumption of prejudice is appropriate without inquiry into the actual conduct of the trial.” Cronic, 466 U. S., at 659–660.

9 There is no dispute before us as to the appointing judge’s knowledge. The court below assumed, arguendo, that the judge who, upon Hall’s death, dismissed Saunders from his representation of Hall and who then three days later appointed Saunders to represent Mickens in the killing of Hall “reasonably should have known that Saunders labored under a potential conflict of interest arising from his previous representation of Hall.” 240 F. 3d 348, 357 (CA4 2001). This assumption has not been challenged.

10 I disagree with the Court’s assertion that the inquiry mandated by Cuyler v. Sullivan, 446 U. S. 335 (1980) , will not aid in the determination of conflict and effect. Ante, at 9. As we have stated, “the evil [of conflict-ridden counsel] is in what the advocate finds himself compelled to refrain from doing … [making it] difficult to judge intelligently the impact of a conflict on the attorney’s representation of a client.” Holloway v. Arkansas, 435 U. S. 475, 490–491 (1978) . An adequate inquiry by the appointing or trial court judge will augment the record thereby making it easier to evaluate the impact of the conflict.

11 The Court concedes that if Mickens’ attorney had objected to the appointment based upon the conflict of interest and the trial court judge had failed to inquire, then reversal without inquiry into adverse effect would be required. Ante, at 10. The Court, in addition to ignoring the mandate of Wood, reads Sullivan too narrowly. In Sullivan we did not ask only whether an objection was made in order to ascertain whether the trial court had a duty to inquire. Rather, we stated that “[n]othing in the circumstances of this case indicates that the trial court had a duty to inquire whether there was a conflict of interest. The provision of separate trials for Sullivan and his codefendants significantly reduced the potential for a divergence in their interests. No participant in Sullivan’s trial ever objected to the multiple representation… . On these facts, we conclude that the Sixth Amendment imposed upon the trial court no affirmative duty to inquire into the propriety of multiple representation.” 446 U. S., at 347–348. It is also counter to our precedent to treat all Sixth Amendment challenges involving conflicts of interest categorically, without inquiry into the surrounding factual circumstances. In Cronic, we cited Holloway as an example of a case involving “surrounding circumstances [making] it so unlikely that any lawyer could provide effective assistance that ineffectiveness was properly presumed without inquiry into actual performance at trial.” Cronic, 466 U. S., at 661, and n. 28. The surrounding circumstances in the present case were far more egregious than those requiring reversal in either Holloway or Wood.

12 Because the appointing judge knew of the conflict, there is no need in this case to decide what should be done when the judge neither knows, nor should know, about the existence of an intolerable conflict. Nevertheless the Court argues that it makes little sense to reverse automatically upon a showing of actual conflict when the trial court judge knows (or reasonably should know) of a potential conflict and yet has failed to inquire, but not to do so when the trial court judge does not know of the conflict. Ante, at 9. Although it is true that the defendant faces the same potential for harm as a result of a conflict in either instance, in the former case the court committed the error and in the latter the harm is entirely attributable to the misconduct of defense counsel. A requirement that the defendant show adverse effect when the court committed no error surely does not justify such a requirement when the court did err. It is the Court’s rule that leads to an anomalous result. Under the Court’s analysis, if defense counsel objects to the appointment, reversal without inquiry into adverse effect is required. Ante, at 10. But counsel’s failure to object posed a greater—not a lesser—threat to Mickens’ Sixth Amendment right. Had Saunders objected to the appointment, Mickens would at least have been apprised of the conflict.

13 Every state bar in the country has an ethical rule prohibiting a lawyer from undertaking a representation that involves a conflict of interest unless the client has waived the conflict. University Publications of America, National Reporter on Legal Ethics and Professional Responsibility, Vols. I-IV (2001) (reprinting the professional responsibility codes for the 50 States). See also, ABA Ann. Model Rule of Professional Responsibility 1.7, pp. 91–92, Comments 3 and 4 (“As a general proposition, loyalty to a client prohibits undertaking representation directly adverse to that client without that client’s consent… . Loyalty to a client is also impaired when a lawyer cannot consider, recommend or carry out an appropriate course of action for the client because of the lawyer’s other responsibilities or interests”).


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Dissent

WALTER MICKENS, Jr ., PETITIONER v.
JOHN TAYLOR, WARDEN

on writ of certiorari to the united states court of appeals for the fourth circuit


[March 27, 2002]

Justice Stevens , dissenting.

This case raises three uniquely important questions about a fundamental component of our criminal justice system—the constitutional right of a person accused of a capital offense to have the effective assistance of counsel for his defense. 1 The first is whether a capital defendant’s attorney has a duty to disclose that he was representing the defendant’s alleged victim at the time of the murder. Second, is whether, assuming disclosure of the prior representation, the capital defendant has a right to refuse the appointment of the conflicted attorney. Third, is whether the trial judge, who knows or should know of such prior representation, has a duty to obtain the defendant’s consent before appointing that lawyer to represent him. Ultimately, the question presented by this case is whether, if these duties exist and if all of them are violated, there exist “circumstances that are so likely to prejudice the accused that the cost of litigating their effect in a particular case is unjustified.” United States v. Cronic, 466 U. S. 648, 658 (1984).

I

The first critical stage in the defense of a capital case is the series of pretrial meetings between the accused and his counsel when they decide how the case should be defended. A lawyer cannot possibly determine how best to represent a new client unless that client is willing to provide the lawyer with a truthful account of the relevant facts. When an indigent defendant first meets his newly appointed counsel, he will often falsely maintain his complete innocence. Truthful disclosures of embarrassing or incriminating facts are contingent on the development of the client’s confidence in the undivided loyalty of the lawyer. Quite obviously, knowledge that the lawyer represented the victim would be a substantial obstacle to the development of such confidence.

It is equally true that a lawyer’s decision to conceal such an important fact from his new client would have comparable ramifications. The suppression of communication and truncated investigation that would unavoidably follow from such a decision would also make it difficult, if not altogether impossible, to establish the necessary level of trust that should characterize the “delicacy of relation” between attorney and client. 2

In this very case, it is likely that Mickens misled his counsel, Bryan Saunders, given the fact that Mickens gave false testimony at his trial denying any involvement in the crime despite the overwhelming evidence that he had killed Timothy Hall after a sexual encounter. In retrospect, it seems obvious that the death penalty might have been avoided by acknowledging Mickens’ involvement, but emphasizing the evidence suggesting that their sexual encounter was consensual. Mickens’ habeas counsel garnered evidence suggesting that Hall was a male prostitute, App. 137, 149, 162, 169; that the area where Hall was killed was known for prostitution, id ., at 169–170; and that there was no evidence that Hall was forced to the secluded area where he was ultimately murdered. An unconflicted attorney could have put forward a defense tending to show that Mickens killed Hall only after the two engaged in consensual sex, but Saunders offered no such defense. This was a crucial omission—a finding of forcible sodomy was an absolute prerequisite to Mickens’ eligibility for the death penalty. 3 Of course, since that strategy would have led to conviction of a noncapital offense, counsel would have been unable to persuade the defendant to divulge the information necessary to support such a defense and then ultimately to endorse the strategy unless he had earned the complete confidence of his client.

Saunders’ concealment of essential information about his prior representation of the victim was a severe lapse in his professional duty. The lawyer’s duty to disclose his representation of a client related to the instant charge is not only intuitively obvious, it is as old as the profession. Consider this straightforward comment made by Justice Story in 1824:

“An attorney is bound to disclose to his client every adverse retainer, and even every prior retainer, which may affect the discretion of the latter. No man can be supposed to be indifferent to the knowledge of facts, which work directly on his interests, or bear on the freedom of his choice of counsel. When a client employs an attorney, he has a right to presume, if the latter be silent on the point, that he has no engagements, which interfere, in any degree, with his exclusive devotion to the cause confided to him; that he has no interest, which may betray his judgment, or endanger his fidelity.” Williams v. Reed , 29 F. Cas. 1386, 1390 (No. 17,733) (CC Me. 1824).

Mickens’ lawyer’s violation of this fundamental obligation of disclosure is indefensible. The relevance of Saunders’ prior representation of Hall to the new appointment was far too important to be concealed.

II

If the defendant is found guilty of a capital offense, the ensuing proceedings that determine whether he will be put to death are critical in every sense of the word. At those proceedings, testimony about the impact of the crime on the victim, including testimony about the character of the victim, may have a critical effect on the jury’s decision. Payne v. Tennessee, 501 U. S. 808 (1991) . Because a lawyer’s fiduciary relationship with his deceased client survives the client’s death, Swidler & Berlin v. United States, 524 U. S. 399 (1998) , Saunders necessarily labored under conflicting obligations that were irreconcilable. He had a duty to protect the reputation and confidences of his deceased client, and a duty to impeach the impact evidence presented by the prosecutor. 4

Saunders’ conflicting obligations to his deceased client, on the one hand, and to his living client, on the other, were unquestionably sufficient to give Mickens the right to insist on different representation. 5 For the “right to counsel guaranteed by the Constitution contemplates the services of an attorney devoted solely to the interests of his client,” Von Moltke v. Gillies, 332 U. S. 708, 725 (1948) . 6 Moreover, in my judgment, the right to conflict-free counsel is just as firmly protected by the Constitution as the defendant’s right of self-representation recognized in Faretta v. California, 422 U. S. 806 (1975) . 7

III

When an indigent defendant is unable to retain his own lawyer, the trial judge’s appointment of counsel is itself a critical stage of a criminal trial. At that point in the proceeding, by definition, the defendant has no lawyer to protect his interests and must rely entirely on the judge. For that reason it is “the solemn duty of a … judge before whom a defendant appears without counsel to make a thorough inquiry and to take all steps necessary to insure the fullest protection of this constitutional right at every stage of the proceedings.” Von Moltke , 322 U. S., at 722.

This duty with respect to indigent defendants is far more imperative than the judge’s duty to investigate the possibility of a conflict that arises when retained counsel represents either multiple or successive defendants. It is true that in a situation of retained counsel, “[u]nless the trial court knows or reasonably should know that a particular conflict exists, the court need not initiate an inquiry.” Cuyler v. Sullivan, 446 U. S. 335, 347 (1980) . 8 But when, as was true in this case, the judge is not merely reviewing the permissibility of the defendants’ choice of counsel, but is responsible for making the choice herself, and when she knows or should know that a conflict does exist, the duty to make a thorough inquiry is manifest and unqualified. 9 Indeed, under far less compelling circumstances, we squarely held that when a record discloses the “possibility of a conflict” between the interests of the defendants and the interests of the party paying their counsel’s fees, the Constitution imposes a duty of inquiry on the state- court judge even when no objection was made. Wood v. Georgia, 450 U. S. 261, 267, 272 (1981) .

IV

Mickens had a constitutional right to the services of an attorney devoted solely to his interests. That right was violated. The lawyer who did represent him had a duty to disclose his prior representation of the victim to Mickens and to the trial judge. That duty was violated. When Mickens had no counsel, the trial judge had a duty to “make a thorough inquiry and to take all steps necessary to insure the fullest protection of” his right to counsel. Von Moltke , 322 U. S., at 722. Despite knowledge of the lawyer’s prior representation, she violated that duty.

We will never know whether Mickens would have received the death penalty if those violations had not occurred nor precisely what effect they had on Saunders’ representation of Mickens. 10 We do know that he did not receive the kind of representation that the Constitution guarantees. If Mickens had been represented by an attorney-impostor who never passed a bar examination, we might also be unable to determine whether the impostor’s educational shortcomings “ ‘actually affected the adequacy of his representation.” ’ Ante , at 8 (emphasis deleted). We would, however, surely set aside his conviction if the person who had represented him was not a real lawyer. Four compelling reasons make setting aside the conviction the proper remedy in this case.

First, it is the remedy dictated by our holdings in Holloway v . Arkansas , 435 U. S. 475 (1978) , Cuyler v . Sullivan, 446 U. S. 335 (1980) , and Wood v. Georgia , 450 U. S. 261 (1981) . In this line of precedent, our focus was properly upon the duty of the trial court judge to inquire into a potential conflict. This duty was triggered either via defense counsel’s objection, as was the case in Holloway , or some other “special circumstances” whereby the serious potential for conflict was brought to the attention of the trial court judge. Sullivan , 446 U. S., at 346. As we unambiguously stated in Wood , “ Sullivan mandates a reversal when the trial court has failed to make an inquiry even though it ‘knows or reasonably should know that a particular conflict exists.’ ” 450 U. S. , at 272, n. 18. It is thus wrong for the Court to interpret Justice Powell’s language as referring only to a division of loyalties “that affected counsel’s performance.” Ante , at 8, n. 3 (emphasis deleted). 11 Wood nowhere hints of this meaning of “actual conflict of interest” 450 U. S., at 273, nor does it reference Sullivan in “shorthand,” a nte , at 8. Rather, Wood cites Sullivan explicitly in order to make a factual distinction: In a circumstance, such as in Wood , in which the judge knows or should know of the conflict, no showing of adverse effect is required. But when, as in Sullivan , the judge lacked this knowledge, such a showing is required. Wood, 450 U. S., at 272–274. 12

Second, it is the only remedy that responds to the real possibility that Mickens would not have received the death penalty if he had been represented by conflict-free counsel during the critical stage of the proceeding in which he first met with his lawyer. We should presume that the lawyer for the victim of a brutal homicide is incapable of establishing the kind of relationship with the defendant that is essential to effective representation.

Third, it is the only remedy that is consistent with the legal profession’s historic and universal condemnation of the representation of conflicting interests without the full disclosure and consent of all interested parties. 13 The Court’s novel and naïve assumption that a lawyer’s divided loyalties are acceptable unless it can be proved that they actually affected counsel’s performance is demeaning to the profession.

Finally, “justice must satisfy the appearance of justice.” Offutt v. United States , 348 U. S. 11, 14 (1954) . Setting aside Mickens’ conviction is the only remedy that can maintain public confidence in the fairness of the procedures employed in capital cases. Death is a different kind of punishment from any other that may be imposed in this country. “From the point of view of the defendant, it is different in both its severity and its finality. From the point of view of society, the action of the sovereign in taking the life of one of its citizens also differs dramatically from any other legitimate state action. It is of vital importance to the defendant and to the community that any decision to impose the death sentence be, and appear to be, based on reason rather than caprice or emotion.” Gardner v. Florida, 430 U. S. 349, 357–358 (1977) . A rule that allows the State to foist a murder victim’s lawyer onto his accused is not only capricious; it poisons the integrity of our adversary system of justice.

I respectfully dissent.


Notes

1 The Sixth Amendment provides: “In all criminal prosecutions, the accused shall enjoy the right … to have the Assistance of Counsel for his defence.” This protection is applicable to State, as well as federal, criminal proceedings. Gideon v. Wainwright, 372 U. S. 335 (1963) . We have long recognized the paramount importance of the right to effective assistance of counsel. United States v. Cronic, 466 U. S. 648, 653–654 (1984) (“ ‘Of all the rights that an accused person has, the right to be represented by counsel is by far the most pervasive for it affects his ability to assert any other rights he may have’ ”) (citation omitted)).

2 Williams v. Reed, 29 F. Cas. 1386, 1390 (No. 17,733) (CC Me. 1824). Discussing the necessity of full disclosure to the preservation of the lawyer-client relationship, Justice Story stated: “I agree to the doctrine urged at the bar, as to the delicacy of the relation of client and attorney, and the duty of a full, frank, and free disclosure by the latter of every circumstance, which may be presumed to be material, not merely to the interests, but to the fair exercise of the judgment, of the client.”

3 At the guilt phase, the trial court judge instructed Mickens’ jury as follows: “If you find that the Commonwealth has failed to prove beyond a reasonable doubt that the killing occurred in the commission of, or subsequent to, attempted forcible sodomy . . . [but do find a malicious, willful, deliberate, premeditated killing], then you shall find the defendant guilty of first degree murder. If you find the defendant guilty of first degree murder, then you shall fix his punishment at: (1) Imprisonment for life; or (2) A specific term of imprisonment, but not less than twenty years . . . .” App. 58–59.

4 For example, at the time of Hall’s death, Saunders was representing Hall in juvenile court for charges arising out of an incident involving Hall’s mother. She had sworn out a warrant for Hall’s arrest charging him with assault and battery. Despite knowledge of this, Mickens’ lawyer offered no rebuttal to the victim-impact statement submitted by Hall’s mother that “ ‘all [she] lived for was that boy.’ ” App. 297.

5 A group of experts in legal ethics, acting as Amici Curiae, submit that the conflict in issue in this case would be nonwaivable pursuant to the standard articulated in the ABA Ann. Model Rules of Professional Conduct (4th ed. 1999). Brief for Legal Ethicists et al. as Amici Curiae 16 (“[T]he standard test to determine if a conflict is non-waiveable is whether a ‘disinterested lawyer would conclude that the client should not agree to the representation under the circumstances.’ ” (quoting Model Rule 1.7, Comment 5)). Unfortunately, because Mickens was not informed of the fact that his appointed attorney was the lawyer of the alleged victim, the questions whether Mickens would have waived this conflict and consented to the appointment, or whether governing standards of professional responsibility would have precluded him from doing so, remain unanswered.

6 Although the conflict in this case is plainly intolerable, I, of course, do not suggest that every conflict, or every violation of the code of ethics, is a violation of the Constitution.

7 “[W]hen a defendant chooses to have a lawyer manage and present his case, law and tradition may allocate to the counsel the power to make binding decisions of trial strategy in many areas. . . . This allocation can only be justified, however, by the defendant’s consent, at the outset, to accept counsel as his representative. An unwanted counsel ‘represents’ the defendant only through a tenuous and unacceptable legal fiction. Unless the accused has acquiesced in such representation, the defense presented is not the defense guaranteed him by the Constitution, for, in a very real sense, it is not his defense.” 422 U. S., at 820–821.

8 Part III of the Court’s opinion is a foray into an issue that is not implicated by the question presented. In dicta, the Court states that Sullivan may not even apply in the first place to successive representations. Ante, at 10–12. Most Courts of Appeals, however, have applied Sullivan to claims of successive representation as well as to some insidious conflicts arising from a lawyer’s self-interest. See cases cited ante, at 10–11. We have done the same. See Wood v. Georgia, 450 U. S. 261 (1981) (applying Sullivan to a conflict stemming from a third-party payment arrangement). Neither we nor the Courts of Appeals have applied this standard “unblinkingly,” as the Court accuses, ante, at 10, but rather have relied upon principled reason. When a conflict of interest, whether multiple, successive, or otherwise, poses so substantial a risk that a lawyer’s representation would be materially and adversely affected by diverging interests or loyalties and the trial court judge knows of this and yet fails to inquire, it is a “[c]ircumstanc[e] of [such] magnitude” that “the likelihood that any lawyer, even a fully competent one, could provide effective assistance is so small that a presumption of prejudice is appropriate without inquiry into the actual conduct of the trial.” Cronic, 466 U. S., at 659–660.

9 There is no dispute before us as to the appointing judge’s knowledge. The court below assumed, arguendo, that the judge who, upon Hall’s death, dismissed Saunders from his representation of Hall and who then three days later appointed Saunders to represent Mickens in the killing of Hall “reasonably should have known that Saunders labored under a potential conflict of interest arising from his previous representation of Hall.” 240 F. 3d 348, 357 (CA4 2001). This assumption has not been challenged.

10 I disagree with the Court’s assertion that the inquiry mandated by Cuyler v. Sullivan, 446 U. S. 335 (1980) , will not aid in the determination of conflict and effect. Ante, at 9. As we have stated, “the evil [of conflict-ridden counsel] is in what the advocate finds himself compelled to refrain from doing … [making it] difficult to judge intelligently the impact of a conflict on the attorney’s representation of a client.” Holloway v. Arkansas, 435 U. S. 475, 490–491 (1978) . An adequate inquiry by the appointing or trial court judge will augment the record thereby making it easier to evaluate the impact of the conflict.

11 The Court concedes that if Mickens’ attorney had objected to the appointment based upon the conflict of interest and the trial court judge had failed to inquire, then reversal without inquiry into adverse effect would be required. Ante, at 10. The Court, in addition to ignoring the mandate of Wood, reads Sullivan too narrowly. In Sullivan we did not ask only whether an objection was made in order to ascertain whether the trial court had a duty to inquire. Rather, we stated that “[n]othing in the circumstances of this case indicates that the trial court had a duty to inquire whether there was a conflict of interest. The provision of separate trials for Sullivan and his codefendants significantly reduced the potential for a divergence in their interests. No participant in Sullivan’s trial ever objected to the multiple representation… . On these facts, we conclude that the Sixth Amendment imposed upon the trial court no affirmative duty to inquire into the propriety of multiple representation.” 446 U. S., at 347–348. It is also counter to our precedent to treat all Sixth Amendment challenges involving conflicts of interest categorically, without inquiry into the surrounding factual circumstances. In Cronic, we cited Holloway as an example of a case involving “surrounding circumstances [making] it so unlikely that any lawyer could provide effective assistance that ineffectiveness was properly presumed without inquiry into actual performance at trial.” Cronic, 466 U. S., at 661, and n. 28. The surrounding circumstances in the present case were far more egregious than those requiring reversal in either Holloway or Wood.

12 Because the appointing judge knew of the conflict, there is no need in this case to decide what should be done when the judge neither knows, nor should know, about the existence of an intolerable conflict. Nevertheless the Court argues that it makes little sense to reverse automatically upon a showing of actual conflict when the trial court judge knows (or reasonably should know) of a potential conflict and yet has failed to inquire, but not to do so when the trial court judge does not know of the conflict. Ante, at 9. Although it is true that the defendant faces the same potential for harm as a result of a conflict in either instance, in the former case the court committed the error and in the latter the harm is entirely attributable to the misconduct of defense counsel. A requirement that the defendant show adverse effect when the court committed no error surely does not justify such a requirement when the court did err. It is the Court’s rule that leads to an anomalous result. Under the Court’s analysis, if defense counsel objects to the appointment, reversal without inquiry into adverse effect is required. Ante, at 10. But counsel’s failure to object posed a greater—not a lesser—threat to Mickens’ Sixth Amendment right. Had Saunders objected to the appointment, Mickens would at least have been apprised of the conflict.

13 Every state bar in the country has an ethical rule prohibiting a lawyer from undertaking a representation that involves a conflict of interest unless the client has waived the conflict. University Publications of America, National Reporter on Legal Ethics and Professional Responsibility, Vols. I-IV (2001) (reprinting the professional responsibility codes for the 50 States). See also, ABA Ann. Model Rule of Professional Responsibility 1.7, pp. 91–92, Comments 3 and 4 (“As a general proposition, loyalty to a client prohibits undertaking representation directly adverse to that client without that client’s consent… . Loyalty to a client is also impaired when a lawyer cannot consider, recommend or carry out an appropriate course of action for the client because of the lawyer’s other responsibilities or interests”).


TOP

Dissent

WALTER MICKENS, Jr ., PETITIONER v.
JOHN TAYLOR, WARDEN

on writ of certiorari to the united states court of appeals for the fourth circuit


[March 27, 2002]

Justice Stevens , dissenting.

This case raises three uniquely important questions about a fundamental component of our criminal justice system—the constitutional right of a person accused of a capital offense to have the effective assistance of counsel for his defense. 1 The first is whether a capital defendant’s attorney has a duty to disclose that he was representing the defendant’s alleged victim at the time of the murder. Second, is whether, assuming disclosure of the prior representation, the capital defendant has a right to refuse the appointment of the conflicted attorney. Third, is whether the trial judge, who knows or should know of such prior representation, has a duty to obtain the defendant’s consent before appointing that lawyer to represent him. Ultimately, the question presented by this case is whether, if these duties exist and if all of them are violated, there exist “circumstances that are so likely to prejudice the accused that the cost of litigating their effect in a particular case is unjustified.” United States v. Cronic, 466 U. S. 648, 658 (1984).

I

The first critical stage in the defense of a capital case is the series of pretrial meetings between the accused and his counsel when they decide how the case should be defended. A lawyer cannot possibly determine how best to represent a new client unless that client is willing to provide the lawyer with a truthful account of the relevant facts. When an indigent defendant first meets his newly appointed counsel, he will often falsely maintain his complete innocence. Truthful disclosures of embarrassing or incriminating facts are contingent on the development of the client’s confidence in the undivided loyalty of the lawyer. Quite obviously, knowledge that the lawyer represented the victim would be a substantial obstacle to the development of such confidence.

It is equally true that a lawyer’s decision to conceal such an important fact from his new client would have comparable ramifications. The suppression of communication and truncated investigation that would unavoidably follow from such a decision would also make it difficult, if not altogether impossible, to establish the necessary level of trust that should characterize the “delicacy of relation” between attorney and client. 2

In this very case, it is likely that Mickens misled his counsel, Bryan Saunders, given the fact that Mickens gave false testimony at his trial denying any involvement in the crime despite the overwhelming evidence that he had killed Timothy Hall after a sexual encounter. In retrospect, it seems obvious that the death penalty might have been avoided by acknowledging Mickens’ involvement, but emphasizing the evidence suggesting that their sexual encounter was consensual. Mickens’ habeas counsel garnered evidence suggesting that Hall was a male prostitute, App. 137, 149, 162, 169; that the area where Hall was killed was known for prostitution, id ., at 169–170; and that there was no evidence that Hall was forced to the secluded area where he was ultimately murdered. An unconflicted attorney could have put forward a defense tending to show that Mickens killed Hall only after the two engaged in consensual sex, but Saunders offered no such defense. This was a crucial omission—a finding of forcible sodomy was an absolute prerequisite to Mickens’ eligibility for the death penalty. 3 Of course, since that strategy would have led to conviction of a noncapital offense, counsel would have been unable to persuade the defendant to divulge the information necessary to support such a defense and then ultimately to endorse the strategy unless he had earned the complete confidence of his client.

Saunders’ concealment of essential information about his prior representation of the victim was a severe lapse in his professional duty. The lawyer’s duty to disclose his representation of a client related to the instant charge is not only intuitively obvious, it is as old as the profession. Consider this straightforward comment made by Justice Story in 1824:

“An attorney is bound to disclose to his client every adverse retainer, and even every prior retainer, which may affect the discretion of the latter. No man can be supposed to be indifferent to the knowledge of facts, which work directly on his interests, or bear on the freedom of his choice of counsel. When a client employs an attorney, he has a right to presume, if the latter be silent on the point, that he has no engagements, which interfere, in any degree, with his exclusive devotion to the cause confided to him; that he has no interest, which may betray his judgment, or endanger his fidelity.” Williams v. Reed , 29 F. Cas. 1386, 1390 (No. 17,733) (CC Me. 1824).

Mickens’ lawyer’s violation of this fundamental obligation of disclosure is indefensible. The relevance of Saunders’ prior representation of Hall to the new appointment was far too important to be concealed.

II

If the defendant is found guilty of a capital offense, the ensuing proceedings that determine whether he will be put to death are critical in every sense of the word. At those proceedings, testimony about the impact of the crime on the victim, including testimony about the character of the victim, may have a critical effect on the jury’s decision. Payne v. Tennessee, 501 U. S. 808 (1991) . Because a lawyer’s fiduciary relationship with his deceased client survives the client’s death, Swidler & Berlin v. United States, 524 U. S. 399 (1998) , Saunders necessarily labored under conflicting obligations that were irreconcilable. He had a duty to protect the reputation and confidences of his deceased client, and a duty to impeach the impact evidence presented by the prosecutor. 4

Saunders’ conflicting obligations to his deceased client, on the one hand, and to his living client, on the other, were unquestionably sufficient to give Mickens the right to insist on different representation. 5 For the “right to counsel guaranteed by the Constitution contemplates the services of an attorney devoted solely to the interests of his client,” Von Moltke v. Gillies, 332 U. S. 708, 725 (1948) . 6 Moreover, in my judgment, the right to conflict-free counsel is just as firmly protected by the Constitution as the defendant’s right of self-representation recognized in Faretta v. California, 422 U. S. 806 (1975) . 7

III

When an indigent defendant is unable to retain his own lawyer, the trial judge’s appointment of counsel is itself a critical stage of a criminal trial. At that point in the proceeding, by definition, the defendant has no lawyer to protect his interests and must rely entirely on the judge. For that reason it is “the solemn duty of a … judge before whom a defendant appears without counsel to make a thorough inquiry and to take all steps necessary to insure the fullest protection of this constitutional right at every stage of the proceedings.” Von Moltke , 322 U. S., at 722.

This duty with respect to indigent defendants is far more imperative than the judge’s duty to investigate the possibility of a conflict that arises when retained counsel represents either multiple or successive defendants. It is true that in a situation of retained counsel, “[u]nless the trial court knows or reasonably should know that a particular conflict exists, the court need not initiate an inquiry.” Cuyler v. Sullivan, 446 U. S. 335, 347 (1980) . 8 But when, as was true in this case, the judge is not merely reviewing the permissibility of the defendants’ choice of counsel, but is responsible for making the choice herself, and when she knows or should know that a conflict does exist, the duty to make a thorough inquiry is manifest and unqualified. 9 Indeed, under far less compelling circumstances, we squarely held that when a record discloses the “possibility of a conflict” between the interests of the defendants and the interests of the party paying their counsel’s fees, the Constitution imposes a duty of inquiry on the state- court judge even when no objection was made. Wood v. Georgia, 450 U. S. 261, 267, 272 (1981) .

IV

Mickens had a constitutional right to the services of an attorney devoted solely to his interests. That right was violated. The lawyer who did represent him had a duty to disclose his prior representation of the victim to Mickens and to the trial judge. That duty was violated. When Mickens had no counsel, the trial judge had a duty to “make a thorough inquiry and to take all steps necessary to insure the fullest protection of” his right to counsel. Von Moltke , 322 U. S., at 722. Despite knowledge of the lawyer’s prior representation, she violated that duty.

We will never know whether Mickens would have received the death penalty if those violations had not occurred nor precisely what effect they had on Saunders’ representation of Mickens. 10 We do know that he did not receive the kind of representation that the Constitution guarantees. If Mickens had been represented by an attorney-impostor who never passed a bar examination, we might also be unable to determine whether the impostor’s educational shortcomings “ ‘actually affected the adequacy of his representation.” ’ Ante , at 8 (emphasis deleted). We would, however, surely set aside his conviction if the person who had represented him was not a real lawyer. Four compelling reasons make setting aside the conviction the proper remedy in this case.

First, it is the remedy dictated by our holdings in Holloway v . Arkansas , 435 U. S. 475 (1978) , Cuyler v . Sullivan, 446 U. S. 335 (1980) , and Wood v. Georgia , 450 U. S. 261 (1981) . In this line of precedent, our focus was properly upon the duty of the trial court judge to inquire into a potential conflict. This duty was triggered either via defense counsel’s objection, as was the case in Holloway , or some other “special circumstances” whereby the serious potential for conflict was brought to the attention of the trial court judge. Sullivan , 446 U. S., at 346. As we unambiguously stated in Wood , “ Sullivan mandates a reversal when the trial court has failed to make an inquiry even though it ‘knows or reasonably should know that a particular conflict exists.’ ” 450 U. S. , at 272, n. 18. It is thus wrong for the Court to interpret Justice Powell’s language as referring only to a division of loyalties “that affected counsel’s performance.” Ante , at 8, n. 3 (emphasis deleted). 11 Wood nowhere hints of this meaning of “actual conflict of interest” 450 U. S., at 273, nor does it reference Sullivan in “shorthand,” a nte , at 8. Rather, Wood cites Sullivan explicitly in order to make a factual distinction: In a circumstance, such as in Wood , in which the judge knows or should know of the conflict, no showing of adverse effect is required. But when, as in Sullivan , the judge lacked this knowledge, such a showing is required. Wood, 450 U. S., at 272–274. 12

Second, it is the only remedy that responds to the real possibility that Mickens would not have received the death penalty if he had been represented by conflict-free counsel during the critical stage of the proceeding in which he first met with his lawyer. We should presume that the lawyer for the victim of a brutal homicide is incapable of establishing the kind of relationship with the defendant that is essential to effective representation.

Third, it is the only remedy that is consistent with the legal profession’s historic and universal condemnation of the representation of conflicting interests without the full disclosure and consent of all interested parties. 13 The Court’s novel and naïve assumption that a lawyer’s divided loyalties are acceptable unless it can be proved that they actually affected counsel’s performance is demeaning to the profession.

Finally, “justice must satisfy the appearance of justice.” Offutt v. United States , 348 U. S. 11, 14 (1954) . Setting aside Mickens’ conviction is the only remedy that can maintain public confidence in the fairness of the procedures employed in capital cases. Death is a different kind of punishment from any other that may be imposed in this country. “From the point of view of the defendant, it is different in both its severity and its finality. From the point of view of society, the action of the sovereign in taking the life of one of its citizens also differs dramatically from any other legitimate state action. It is of vital importance to the defendant and to the community that any decision to impose the death sentence be, and appear to be, based on reason rather than caprice or emotion.” Gardner v. Florida, 430 U. S. 349, 357–358 (1977) . A rule that allows the State to foist a murder victim’s lawyer onto his accused is not only capricious; it poisons the integrity of our adversary system of justice.

I respectfully dissent.


Notes

1 The Sixth Amendment provides: “In all criminal prosecutions, the accused shall enjoy the right … to have the Assistance of Counsel for his defence.” This protection is applicable to State, as well as federal, criminal proceedings. Gideon v. Wainwright, 372 U. S. 335 (1963) . We have long recognized the paramount importance of the right to effective assistance of counsel. United States v. Cronic, 466 U. S. 648, 653–654 (1984) (“ ‘Of all the rights that an accused person has, the right to be represented by counsel is by far the most pervasive for it affects his ability to assert any other rights he may have’ ”) (citation omitted)).

2 Williams v. Reed, 29 F. Cas. 1386, 1390 (No. 17,733) (CC Me. 1824). Discussing the necessity of full disclosure to the preservation of the lawyer-client relationship, Justice Story stated: “I agree to the doctrine urged at the bar, as to the delicacy of the relation of client and attorney, and the duty of a full, frank, and free disclosure by the latter of every circumstance, which may be presumed to be material, not merely to the interests, but to the fair exercise of the judgment, of the client.”

3 At the guilt phase, the trial court judge instructed Mickens’ jury as follows: “If you find that the Commonwealth has failed to prove beyond a reasonable doubt that the killing occurred in the commission of, or subsequent to, attempted forcible sodomy . . . [but do find a malicious, willful, deliberate, premeditated killing], then you shall find the defendant guilty of first degree murder. If you find the defendant guilty of first degree murder, then you shall fix his punishment at: (1) Imprisonment for life; or (2) A specific term of imprisonment, but not less than twenty years . . . .” App. 58–59.

4 For example, at the time of Hall’s death, Saunders was representing Hall in juvenile court for charges arising out of an incident involving Hall’s mother. She had sworn out a warrant for Hall’s arrest charging him with assault and battery. Despite knowledge of this, Mickens’ lawyer offered no rebuttal to the victim-impact statement submitted by Hall’s mother that “ ‘all [she] lived for was that boy.’ ” App. 297.

5 A group of experts in legal ethics, acting as Amici Curiae, submit that the conflict in issue in this case would be nonwaivable pursuant to the standard articulated in the ABA Ann. Model Rules of Professional Conduct (4th ed. 1999). Brief for Legal Ethicists et al. as Amici Curiae 16 (“[T]he standard test to determine if a conflict is non-waiveable is whether a ‘disinterested lawyer would conclude that the client should not agree to the representation under the circumstances.’ ” (quoting Model Rule 1.7, Comment 5)). Unfortunately, because Mickens was not informed of the fact that his appointed attorney was the lawyer of the alleged victim, the questions whether Mickens would have waived this conflict and consented to the appointment, or whether governing standards of professional responsibility would have precluded him from doing so, remain unanswered.

6 Although the conflict in this case is plainly intolerable, I, of course, do not suggest that every conflict, or every violation of the code of ethics, is a violation of the Constitution.

7 “[W]hen a defendant chooses to have a lawyer manage and present his case, law and tradition may allocate to the counsel the power to make binding decisions of trial strategy in many areas. . . . This allocation can only be justified, however, by the defendant’s consent, at the outset, to accept counsel as his representative. An unwanted counsel ‘represents’ the defendant only through a tenuous and unacceptable legal fiction. Unless the accused has acquiesced in such representation, the defense presented is not the defense guaranteed him by the Constitution, for, in a very real sense, it is not his defense.” 422 U. S., at 820–821.

8 Part III of the Court’s opinion is a foray into an issue that is not implicated by the question presented. In dicta, the Court states that Sullivan may not even apply in the first place to successive representations. Ante, at 10–12. Most Courts of Appeals, however, have applied Sullivan to claims of successive representation as well as to some insidious conflicts arising from a lawyer’s self-interest. See cases cited ante, at 10–11. We have done the same. See Wood v. Georgia, 450 U. S. 261 (1981) (applying Sullivan to a conflict stemming from a third-party payment arrangement). Neither we nor the Courts of Appeals have applied this standard “unblinkingly,” as the Court accuses, ante, at 10, but rather have relied upon principled reason. When a conflict of interest, whether multiple, successive, or otherwise, poses so substantial a risk that a lawyer’s representation would be materially and adversely affected by diverging interests or loyalties and the trial court judge knows of this and yet fails to inquire, it is a “[c]ircumstanc[e] of [such] magnitude” that “the likelihood that any lawyer, even a fully competent one, could provide effective assistance is so small that a presumption of prejudice is appropriate without inquiry into the actual conduct of the trial.” Cronic, 466 U. S., at 659–660.

9 There is no dispute before us as to the appointing judge’s knowledge. The court below assumed, arguendo, that the judge who, upon Hall’s death, dismissed Saunders from his representation of Hall and who then three days later appointed Saunders to represent Mickens in the killing of Hall “reasonably should have known that Saunders labored under a potential conflict of interest arising from his previous representation of Hall.” 240 F. 3d 348, 357 (CA4 2001). This assumption has not been challenged.

10 I disagree with the Court’s assertion that the inquiry mandated by Cuyler v. Sullivan, 446 U. S. 335 (1980) , will not aid in the determination of conflict and effect. Ante, at 9. As we have stated, “the evil [of conflict-ridden counsel] is in what the advocate finds himself compelled to refrain from doing … [making it] difficult to judge intelligently the impact of a conflict on the attorney’s representation of a client.” Holloway v. Arkansas, 435 U. S. 475, 490–491 (1978) . An adequate inquiry by the appointing or trial court judge will augment the record thereby making it easier to evaluate the impact of the conflict.

11 The Court concedes that if Mickens’ attorney had objected to the appointment based upon the conflict of interest and the trial court judge had failed to inquire, then reversal without inquiry into adverse effect would be required. Ante, at 10. The Court, in addition to ignoring the mandate of Wood, reads Sullivan too narrowly. In Sullivan we did not ask only whether an objection was made in order to ascertain whether the trial court had a duty to inquire. Rather, we stated that “[n]othing in the circumstances of this case indicates that the trial court had a duty to inquire whether there was a conflict of interest. The provision of separate trials for Sullivan and his codefendants significantly reduced the potential for a divergence in their interests. No participant in Sullivan’s trial ever objected to the multiple representation… . On these facts, we conclude that the Sixth Amendment imposed upon the trial court no affirmative duty to inquire into the propriety of multiple representation.” 446 U. S., at 347–348. It is also counter to our precedent to treat all Sixth Amendment challenges involving conflicts of interest categorically, without inquiry into the surrounding factual circumstances. In Cronic, we cited Holloway as an example of a case involving “surrounding circumstances [making] it so unlikely that any lawyer could provide effective assistance that ineffectiveness was properly presumed without inquiry into actual performance at trial.” Cronic, 466 U. S., at 661, and n. 28. The surrounding circumstances in the present case were far more egregious than those requiring reversal in either Holloway or Wood.

12 Because the appointing judge knew of the conflict, there is no need in this case to decide what should be done when the judge neither knows, nor should know, about the existence of an intolerable conflict. Nevertheless the Court argues that it makes little sense to reverse automatically upon a showing of actual conflict when the trial court judge knows (or reasonably should know) of a potential conflict and yet has failed to inquire, but not to do so when the trial court judge does not know of the conflict. Ante, at 9. Although it is true that the defendant faces the same potential for harm as a result of a conflict in either instance, in the former case the court committed the error and in the latter the harm is entirely attributable to the misconduct of defense counsel. A requirement that the defendant show adverse effect when the court committed no error surely does not justify such a requirement when the court did err. It is the Court’s rule that leads to an anomalous result. Under the Court’s analysis, if defense counsel objects to the appointment, reversal without inquiry into adverse effect is required. Ante, at 10. But counsel’s failure to object posed a greater—not a lesser—threat to Mickens’ Sixth Amendment right. Had Saunders objected to the appointment, Mickens would at least have been apprised of the conflict.

13 Every state bar in the country has an ethical rule prohibiting a lawyer from undertaking a representation that involves a conflict of interest unless the client has waived the conflict. University Publications of America, National Reporter on Legal Ethics and Professional Responsibility, Vols. I-IV (2001) (reprinting the professional responsibility codes for the 50 States). See also, ABA Ann. Model Rule of Professional Responsibility 1.7, pp. 91–92, Comments 3 and 4 (“As a general proposition, loyalty to a client prohibits undertaking representation directly adverse to that client without that client’s consent… . Loyalty to a client is also impaired when a lawyer cannot consider, recommend or carry out an appropriate course of action for the client because of the lawyer’s other responsibilities or interests”).


TOP

Dissent

WALTER MICKENS, Jr ., PETITIONER v.
JOHN TAYLOR, WARDEN

on writ of certiorari to the united states court of appeals for the fourth circuit


[March 27, 2002]

Justice Stevens , dissenting.

This case raises three uniquely important questions about a fundamental component of our criminal justice system—the constitutional right of a person accused of a capital offense to have the effective assistance of counsel for his defense. 1 The first is whether a capital defendant’s attorney has a duty to disclose that he was representing the defendant’s alleged victim at the time of the murder. Second, is whether, assuming disclosure of the prior representation, the capital defendant has a right to refuse the appointment of the conflicted attorney. Third, is whether the trial judge, who knows or should know of such prior representation, has a duty to obtain the defendant’s consent before appointing that lawyer to represent him. Ultimately, the question presented by this case is whether, if these duties exist and if all of them are violated, there exist “circumstances that are so likely to prejudice the accused that the cost of litigating their effect in a particular case is unjustified.” United States v. Cronic, 466 U. S. 648, 658 (1984).

I

The first critical stage in the defense of a capital case is the series of pretrial meetings between the accused and his counsel when they decide how the case should be defended. A lawyer cannot possibly determine how best to represent a new client unless that client is willing to provide the lawyer with a truthful account of the relevant facts. When an indigent defendant first meets his newly appointed counsel, he will often falsely maintain his complete innocence. Truthful disclosures of embarrassing or incriminating facts are contingent on the development of the client’s confidence in the undivided loyalty of the lawyer. Quite obviously, knowledge that the lawyer represented the victim would be a substantial obstacle to the development of such confidence.

It is equally true that a lawyer’s decision to conceal such an important fact from his new client would have comparable ramifications. The suppression of communication and truncated investigation that would unavoidably follow from such a decision would also make it difficult, if not altogether impossible, to establish the necessary level of trust that should characterize the “delicacy of relation” between attorney and client. 2

In this very case, it is likely that Mickens misled his counsel, Bryan Saunders, given the fact that Mickens gave false testimony at his trial denying any involvement in the crime despite the overwhelming evidence that he had killed Timothy Hall after a sexual encounter. In retrospect, it seems obvious that the death penalty might have been avoided by acknowledging Mickens’ involvement, but emphasizing the evidence suggesting that their sexual encounter was consensual. Mickens’ habeas counsel garnered evidence suggesting that Hall was a male prostitute, App. 137, 149, 162, 169; that the area where Hall was killed was known for prostitution, id ., at 169–170; and that there was no evidence that Hall was forced to the secluded area where he was ultimately murdered. An unconflicted attorney could have put forward a defense tending to show that Mickens killed Hall only after the two engaged in consensual sex, but Saunders offered no such defense. This was a crucial omission—a finding of forcible sodomy was an absolute prerequisite to Mickens’ eligibility for the death penalty. 3 Of course, since that strategy would have led to conviction of a noncapital offense, counsel would have been unable to persuade the defendant to divulge the information necessary to support such a defense and then ultimately to endorse the strategy unless he had earned the complete confidence of his client.

Saunders’ concealment of essential information about his prior representation of the victim was a severe lapse in his professional duty. The lawyer’s duty to disclose his representation of a client related to the instant charge is not only intuitively obvious, it is as old as the profession. Consider this straightforward comment made by Justice Story in 1824:

“An attorney is bound to disclose to his client every adverse retainer, and even every prior retainer, which may affect the discretion of the latter. No man can be supposed to be indifferent to the knowledge of facts, which work directly on his interests, or bear on the freedom of his choice of counsel. When a client employs an attorney, he has a right to presume, if the latter be silent on the point, that he has no engagements, which interfere, in any degree, with his exclusive devotion to the cause confided to him; that he has no interest, which may betray his judgment, or endanger his fidelity.” Williams v. Reed , 29 F. Cas. 1386, 1390 (No. 17,733) (CC Me. 1824).

Mickens’ lawyer’s violation of this fundamental obligation of disclosure is indefensible. The relevance of Saunders’ prior representation of Hall to the new appointment was far too important to be concealed.

II

If the defendant is found guilty of a capital offense, the ensuing proceedings that determine whether he will be put to death are critical in every sense of the word. At those proceedings, testimony about the impact of the crime on the victim, including testimony about the character of the victim, may have a critical effect on the jury’s decision. Payne v. Tennessee, 501 U. S. 808 (1991) . Because a lawyer’s fiduciary relationship with his deceased client survives the client’s death, Swidler & Berlin v. United States, 524 U. S. 399 (1998) , Saunders necessarily labored under conflicting obligations that were irreconcilable. He had a duty to protect the reputation and confidences of his deceased client, and a duty to impeach the impact evidence presented by the prosecutor. 4

Saunders’ conflicting obligations to his deceased client, on the one hand, and to his living client, on the other, were unquestionably sufficient to give Mickens the right to insist on different representation. 5 For the “right to counsel guaranteed by the Constitution contemplates the services of an attorney devoted solely to the interests of his client,” Von Moltke v. Gillies, 332 U. S. 708, 725 (1948) . 6 Moreover, in my judgment, the right to conflict-free counsel is just as firmly protected by the Constitution as the defendant’s right of self-representation recognized in Faretta v. California, 422 U. S. 806 (1975) . 7

III

When an indigent defendant is unable to retain his own lawyer, the trial judge’s appointment of counsel is itself a critical stage of a criminal trial. At that point in the proceeding, by definition, the defendant has no lawyer to protect his interests and must rely entirely on the judge. For that reason it is “the solemn duty of a … judge before whom a defendant appears without counsel to make a thorough inquiry and to take all steps necessary to insure the fullest protection of this constitutional right at every stage of the proceedings.” Von Moltke , 322 U. S., at 722.

This duty with respect to indigent defendants is far more imperative than the judge’s duty to investigate the possibility of a conflict that arises when retained counsel represents either multiple or successive defendants. It is true that in a situation of retained counsel, “[u]nless the trial court knows or reasonably should know that a particular conflict exists, the court need not initiate an inquiry.” Cuyler v. Sullivan, 446 U. S. 335, 347 (1980) . 8 But when, as was true in this case, the judge is not merely reviewing the permissibility of the defendants’ choice of counsel, but is responsible for making the choice herself, and when she knows or should know that a conflict does exist, the duty to make a thorough inquiry is manifest and unqualified. 9 Indeed, under far less compelling circumstances, we squarely held that when a record discloses the “possibility of a conflict” between the interests of the defendants and the interests of the party paying their counsel’s fees, the Constitution imposes a duty of inquiry on the state- court judge even when no objection was made. Wood v. Georgia, 450 U. S. 261, 267, 272 (1981) .

IV

Mickens had a constitutional right to the services of an attorney devoted solely to his interests. That right was violated. The lawyer who did represent him had a duty to disclose his prior representation of the victim to Mickens and to the trial judge. That duty was violated. When Mickens had no counsel, the trial judge had a duty to “make a thorough inquiry and to take all steps necessary to insure the fullest protection of” his right to counsel. Von Moltke , 322 U. S., at 722. Despite knowledge of the lawyer’s prior representation, she violated that duty.

We will never know whether Mickens would have received the death penalty if those violations had not occurred nor precisely what effect they had on Saunders’ representation of Mickens. 10 We do know that he did not receive the kind of representation that the Constitution guarantees. If Mickens had been represented by an attorney-impostor who never passed a bar examination, we might also be unable to determine whether the impostor’s educational shortcomings “ ‘actually affected the adequacy of his representation.” ’ Ante , at 8 (emphasis deleted). We would, however, surely set aside his conviction if the person who had represented him was not a real lawyer. Four compelling reasons make setting aside the conviction the proper remedy in this case.

First, it is the remedy dictated by our holdings in Holloway v . Arkansas , 435 U. S. 475 (1978) , Cuyler v . Sullivan, 446 U. S. 335 (1980) , and Wood v. Georgia , 450 U. S. 261 (1981) . In this line of precedent, our focus was properly upon the duty of the trial court judge to inquire into a potential conflict. This duty was triggered either via defense counsel’s objection, as was the case in Holloway , or some other “special circumstances” whereby the serious potential for conflict was brought to the attention of the trial court judge. Sullivan , 446 U. S., at 346. As we unambiguously stated in Wood , “ Sullivan mandates a reversal when the trial court has failed to make an inquiry even though it ‘knows or reasonably should know that a particular conflict exists.’ ” 450 U. S. , at 272, n. 18. It is thus wrong for the Court to interpret Justice Powell’s language as referring only to a division of loyalties “that affected counsel’s performance.” Ante , at 8, n. 3 (emphasis deleted). 11 Wood nowhere hints of this meaning of “actual conflict of interest” 450 U. S., at 273, nor does it reference Sullivan in “shorthand,” a nte , at 8. Rather, Wood cites Sullivan explicitly in order to make a factual distinction: In a circumstance, such as in Wood , in which the judge knows or should know of the conflict, no showing of adverse effect is required. But when, as in Sullivan , the judge lacked this knowledge, such a showing is required. Wood, 450 U. S., at 272–274. 12

Second, it is the only remedy that responds to the real possibility that Mickens would not have received the death penalty if he had been represented by conflict-free counsel during the critical stage of the proceeding in which he first met with his lawyer. We should presume that the lawyer for the victim of a brutal homicide is incapable of establishing the kind of relationship with the defendant that is essential to effective representation.

Third, it is the only remedy that is consistent with the legal profession’s historic and universal condemnation of the representation of conflicting interests without the full disclosure and consent of all interested parties. 13 The Court’s novel and naïve assumption that a lawyer’s divided loyalties are acceptable unless it can be proved that they actually affected counsel’s performance is demeaning to the profession.

Finally, “justice must satisfy the appearance of justice.” Offutt v. United States , 348 U. S. 11, 14 (1954) . Setting aside Mickens’ conviction is the only remedy that can maintain public confidence in the fairness of the procedures employed in capital cases. Death is a different kind of punishment from any other that may be imposed in this country. “From the point of view of the defendant, it is different in both its severity and its finality. From the point of view of society, the action of the sovereign in taking the life of one of its citizens also differs dramatically from any other legitimate state action. It is of vital importance to the defendant and to the community that any decision to impose the death sentence be, and appear to be, based on reason rather than caprice or emotion.” Gardner v. Florida, 430 U. S. 349, 357–358 (1977) . A rule that allows the State to foist a murder victim’s lawyer onto his accused is not only capricious; it poisons the integrity of our adversary system of justice.

I respectfully dissent.


Notes

1 The Sixth Amendment provides: “In all criminal prosecutions, the accused shall enjoy the right … to have the Assistance of Counsel for his defence.” This protection is applicable to State, as well as federal, criminal proceedings. Gideon v. Wainwright, 372 U. S. 335 (1963) . We have long recognized the paramount importance of the right to effective assistance of counsel. United States v. Cronic, 466 U. S. 648, 653–654 (1984) (“ ‘Of all the rights that an accused person has, the right to be represented by counsel is by far the most pervasive for it affects his ability to assert any other rights he may have’ ”) (citation omitted)).

2 Williams v. Reed, 29 F. Cas. 1386, 1390 (No. 17,733) (CC Me. 1824). Discussing the necessity of full disclosure to the preservation of the lawyer-client relationship, Justice Story stated: “I agree to the doctrine urged at the bar, as to the delicacy of the relation of client and attorney, and the duty of a full, frank, and free disclosure by the latter of every circumstance, which may be presumed to be material, not merely to the interests, but to the fair exercise of the judgment, of the client.”

3 At the guilt phase, the trial court judge instructed Mickens’ jury as follows: “If you find that the Commonwealth has failed to prove beyond a reasonable doubt that the killing occurred in the commission of, or subsequent to, attempted forcible sodomy . . . [but do find a malicious, willful, deliberate, premeditated killing], then you shall find the defendant guilty of first degree murder. If you find the defendant guilty of first degree murder, then you shall fix his punishment at: (1) Imprisonment for life; or (2) A specific term of imprisonment, but not less than twenty years . . . .” App. 58–59.

4 For example, at the time of Hall’s death, Saunders was representing Hall in juvenile court for charges arising out of an incident involving Hall’s mother. She had sworn out a warrant for Hall’s arrest charging him with assault and battery. Despite knowledge of this, Mickens’ lawyer offered no rebuttal to the victim-impact statement submitted by Hall’s mother that “ ‘all [she] lived for was that boy.’ ” App. 297.

5 A group of experts in legal ethics, acting as Amici Curiae, submit that the conflict in issue in this case would be nonwaivable pursuant to the standard articulated in the ABA Ann. Model Rules of Professional Conduct (4th ed. 1999). Brief for Legal Ethicists et al. as Amici Curiae 16 (“[T]he standard test to determine if a conflict is non-waiveable is whether a ‘disinterested lawyer would conclude that the client should not agree to the representation under the circumstances.’ ” (quoting Model Rule 1.7, Comment 5)). Unfortunately, because Mickens was not informed of the fact that his appointed attorney was the lawyer of the alleged victim, the questions whether Mickens would have waived this conflict and consented to the appointment, or whether governing standards of professional responsibility would have precluded him from doing so, remain unanswered.

6 Although the conflict in this case is plainly intolerable, I, of course, do not suggest that every conflict, or every violation of the code of ethics, is a violation of the Constitution.

7 “[W]hen a defendant chooses to have a lawyer manage and present his case, law and tradition may allocate to the counsel the power to make binding decisions of trial strategy in many areas. . . . This allocation can only be justified, however, by the defendant’s consent, at the outset, to accept counsel as his representative. An unwanted counsel ‘represents’ the defendant only through a tenuous and unacceptable legal fiction. Unless the accused has acquiesced in such representation, the defense presented is not the defense guaranteed him by the Constitution, for, in a very real sense, it is not his defense.” 422 U. S., at 820–821.

8 Part III of the Court’s opinion is a foray into an issue that is not implicated by the question presented. In dicta, the Court states that Sullivan may not even apply in the first place to successive representations. Ante, at 10–12. Most Courts of Appeals, however, have applied Sullivan to claims of successive representation as well as to some insidious conflicts arising from a lawyer’s self-interest. See cases cited ante, at 10–11. We have done the same. See Wood v. Georgia, 450 U. S. 261 (1981) (applying Sullivan to a conflict stemming from a third-party payment arrangement). Neither we nor the Courts of Appeals have applied this standard “unblinkingly,” as the Court accuses, ante, at 10, but rather have relied upon principled reason. When a conflict of interest, whether multiple, successive, or otherwise, poses so substantial a risk that a lawyer’s representation would be materially and adversely affected by diverging interests or loyalties and the trial court judge knows of this and yet fails to inquire, it is a “[c]ircumstanc[e] of [such] magnitude” that “the likelihood that any lawyer, even a fully competent one, could provide effective assistance is so small that a presumption of prejudice is appropriate without inquiry into the actual conduct of the trial.” Cronic, 466 U. S., at 659–660.

9 There is no dispute before us as to the appointing judge’s knowledge. The court below assumed, arguendo, that the judge who, upon Hall’s death, dismissed Saunders from his representation of Hall and who then three days later appointed Saunders to represent Mickens in the killing of Hall “reasonably should have known that Saunders labored under a potential conflict of interest arising from his previous representation of Hall.” 240 F. 3d 348, 357 (CA4 2001). This assumption has not been challenged.

10 I disagree with the Court’s assertion that the inquiry mandated by Cuyler v. Sullivan, 446 U. S. 335 (1980) , will not aid in the determination of conflict and effect. Ante, at 9. As we have stated, “the evil [of conflict-ridden counsel] is in what the advocate finds himself compelled to refrain from doing … [making it] difficult to judge intelligently the impact of a conflict on the attorney’s representation of a client.” Holloway v. Arkansas, 435 U. S. 475, 490–491 (1978) . An adequate inquiry by the appointing or trial court judge will augment the record thereby making it easier to evaluate the impact of the conflict.

11 The Court concedes that if Mickens’ attorney had objected to the appointment based upon the conflict of interest and the trial court judge had failed to inquire, then reversal without inquiry into adverse effect would be required. Ante, at 10. The Court, in addition to ignoring the mandate of Wood, reads Sullivan too narrowly. In Sullivan we did not ask only whether an objection was made in order to ascertain whether the trial court had a duty to inquire. Rather, we stated that “[n]othing in the circumstances of this case indicates that the trial court had a duty to inquire whether there was a conflict of interest. The provision of separate trials for Sullivan and his codefendants significantly reduced the potential for a divergence in their interests. No participant in Sullivan’s trial ever objected to the multiple representation… . On these facts, we conclude that the Sixth Amendment imposed upon the trial court no affirmative duty to inquire into the propriety of multiple representation.” 446 U. S., at 347–348. It is also counter to our precedent to treat all Sixth Amendment challenges involving conflicts of interest categorically, without inquiry into the surrounding factual circumstances. In Cronic, we cited Holloway as an example of a case involving “surrounding circumstances [making] it so unlikely that any lawyer could provide effective assistance that ineffectiveness was properly presumed without inquiry into actual performance at trial.” Cronic, 466 U. S., at 661, and n. 28. The surrounding circumstances in the present case were far more egregious than those requiring reversal in either Holloway or Wood.

12 Because the appointing judge knew of the conflict, there is no need in this case to decide what should be done when the judge neither knows, nor should know, about the existence of an intolerable conflict. Nevertheless the Court argues that it makes little sense to reverse automatically upon a showing of actual conflict when the trial court judge knows (or reasonably should know) of a potential conflict and yet has failed to inquire, but not to do so when the trial court judge does not know of the conflict. Ante, at 9. Although it is true that the defendant faces the same potential for harm as a result of a conflict in either instance, in the former case the court committed the error and in the latter the harm is entirely attributable to the misconduct of defense counsel. A requirement that the defendant show adverse effect when the court committed no error surely does not justify such a requirement when the court did err. It is the Court’s rule that leads to an anomalous result. Under the Court’s analysis, if defense counsel objects to the appointment, reversal without inquiry into adverse effect is required. Ante, at 10. But counsel’s failure to object posed a greater—not a lesser—threat to Mickens’ Sixth Amendment right. Had Saunders objected to the appointment, Mickens would at least have been apprised of the conflict.

13 Every state bar in the country has an ethical rule prohibiting a lawyer from undertaking a representation that involves a conflict of interest unless the client has waived the conflict. University Publications of America, National Reporter on Legal Ethics and Professional Responsibility, Vols. I-IV (2001) (reprinting the professional responsibility codes for the 50 States). See also, ABA Ann. Model Rule of Professional Responsibility 1.7, pp. 91–92, Comments 3 and 4 (“As a general proposition, loyalty to a client prohibits undertaking representation directly adverse to that client without that client’s consent… . Loyalty to a client is also impaired when a lawyer cannot consider, recommend or carry out an appropriate course of action for the client because of the lawyer’s other responsibilities or interests”).


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Dissent

WALTER MICKENS, Jr ., PETITIONER v.
JOHN TAYLOR, WARDEN

on writ of certiorari to the united states court of appeals for the fourth circuit


[March 27, 2002]

Justice Stevens , dissenting.

This case raises three uniquely important questions about a fundamental component of our criminal justice system—the constitutional right of a person accused of a capital offense to have the effective assistance of counsel for his defense. 1 The first is whether a capital defendant’s attorney has a duty to disclose that he was representing the defendant’s alleged victim at the time of the murder. Second, is whether, assuming disclosure of the prior representation, the capital defendant has a right to refuse the appointment of the conflicted attorney. Third, is whether the trial judge, who knows or should know of such prior representation, has a duty to obtain the defendant’s consent before appointing that lawyer to represent him. Ultimately, the question presented by this case is whether, if these duties exist and if all of them are violated, there exist “circumstances that are so likely to prejudice the accused that the cost of litigating their effect in a particular case is unjustified.” United States v. Cronic, 466 U. S. 648, 658 (1984).

I

The first critical stage in the defense of a capital case is the series of pretrial meetings between the accused and his counsel when they decide how the case should be defended. A lawyer cannot possibly determine how best to represent a new client unless that client is willing to provide the lawyer with a truthful account of the relevant facts. When an indigent defendant first meets his newly appointed counsel, he will often falsely maintain his complete innocence. Truthful disclosures of embarrassing or incriminating facts are contingent on the development of the client’s confidence in the undivided loyalty of the lawyer. Quite obviously, knowledge that the lawyer represented the victim would be a substantial obstacle to the development of such confidence.

It is equally true that a lawyer’s decision to conceal such an important fact from his new client would have comparable ramifications. The suppression of communication and truncated investigation that would unavoidably follow from such a decision would also make it difficult, if not altogether impossible, to establish the necessary level of trust that should characterize the “delicacy of relation” between attorney and client. 2

In this very case, it is likely that Mickens misled his counsel, Bryan Saunders, given the fact that Mickens gave false testimony at his trial denying any involvement in the crime despite the overwhelming evidence that he had killed Timothy Hall after a sexual encounter. In retrospect, it seems obvious that the death penalty might have been avoided by acknowledging Mickens’ involvement, but emphasizing the evidence suggesting that their sexual encounter was consensual. Mickens’ habeas counsel garnered evidence suggesting that Hall was a male prostitute, App. 137, 149, 162, 169; that the area where Hall was killed was known for prostitution, id ., at 169–170; and that there was no evidence that Hall was forced to the secluded area where he was ultimately murdered. An unconflicted attorney could have put forward a defense tending to show that Mickens killed Hall only after the two engaged in consensual sex, but Saunders offered no such defense. This was a crucial omission—a finding of forcible sodomy was an absolute prerequisite to Mickens’ eligibility for the death penalty. 3 Of course, since that strategy would have led to conviction of a noncapital offense, counsel would have been unable to persuade the defendant to divulge the information necessary to support such a defense and then ultimately to endorse the strategy unless he had earned the complete confidence of his client.

Saunders’ concealment of essential information about his prior representation of the victim was a severe lapse in his professional duty. The lawyer’s duty to disclose his representation of a client related to the instant charge is not only intuitively obvious, it is as old as the profession. Consider this straightforward comment made by Justice Story in 1824:

“An attorney is bound to disclose to his client every adverse retainer, and even every prior retainer, which may affect the discretion of the latter. No man can be supposed to be indifferent to the knowledge of facts, which work directly on his interests, or bear on the freedom of his choice of counsel. When a client employs an attorney, he has a right to presume, if the latter be silent on the point, that he has no engagements, which interfere, in any degree, with his exclusive devotion to the cause confided to him; that he has no interest, which may betray his judgment, or endanger his fidelity.” Williams v. Reed , 29 F. Cas. 1386, 1390 (No. 17,733) (CC Me. 1824).

Mickens’ lawyer’s violation of this fundamental obligation of disclosure is indefensible. The relevance of Saunders’ prior representation of Hall to the new appointment was far too important to be concealed.

II

If the defendant is found guilty of a capital offense, the ensuing proceedings that determine whether he will be put to death are critical in every sense of the word. At those proceedings, testimony about the impact of the crime on the victim, including testimony about the character of the victim, may have a critical effect on the jury’s decision. Payne v. Tennessee, 501 U. S. 808 (1991) . Because a lawyer’s fiduciary relationship with his deceased client survives the client’s death, Swidler & Berlin v. United States, 524 U. S. 399 (1998) , Saunders necessarily labored under conflicting obligations that were irreconcilable. He had a duty to protect the reputation and confidences of his deceased client, and a duty to impeach the impact evidence presented by the prosecutor. 4

Saunders’ conflicting obligations to his deceased client, on the one hand, and to his living client, on the other, were unquestionably sufficient to give Mickens the right to insist on different representation. 5 For the “right to counsel guaranteed by the Constitution contemplates the services of an attorney devoted solely to the interests of his client,” Von Moltke v. Gillies, 332 U. S. 708, 725 (1948) . 6 Moreover, in my judgment, the right to conflict-free counsel is just as firmly protected by the Constitution as the defendant’s right of self-representation recognized in Faretta v. California, 422 U. S. 806 (1975) . 7

III

When an indigent defendant is unable to retain his own lawyer, the trial judge’s appointment of counsel is itself a critical stage of a criminal trial. At that point in the proceeding, by definition, the defendant has no lawyer to protect his interests and must rely entirely on the judge. For that reason it is “the solemn duty of a … judge before whom a defendant appears without counsel to make a thorough inquiry and to take all steps necessary to insure the fullest protection of this constitutional right at every stage of the proceedings.” Von Moltke , 322 U. S., at 722.

This duty with respect to indigent defendants is far more imperative than the judge’s duty to investigate the possibility of a conflict that arises when retained counsel represents either multiple or successive defendants. It is true that in a situation of retained counsel, “[u]nless the trial court knows or reasonably should know that a particular conflict exists, the court need not initiate an inquiry.” Cuyler v. Sullivan, 446 U. S. 335, 347 (1980) . 8 But when, as was true in this case, the judge is not merely reviewing the permissibility of the defendants’ choice of counsel, but is responsible for making the choice herself, and when she knows or should know that a conflict does exist, the duty to make a thorough inquiry is manifest and unqualified. 9 Indeed, under far less compelling circumstances, we squarely held that when a record discloses the “possibility of a conflict” between the interests of the defendants and the interests of the party paying their counsel’s fees, the Constitution imposes a duty of inquiry on the state- court judge even when no objection was made. Wood v. Georgia, 450 U. S. 261, 267, 272 (1981) .

IV

Mickens had a constitutional right to the services of an attorney devoted solely to his interests. That right was violated. The lawyer who did represent him had a duty to disclose his prior representation of the victim to Mickens and to the trial judge. That duty was violated. When Mickens had no counsel, the trial judge had a duty to “make a thorough inquiry and to take all steps necessary to insure the fullest protection of” his right to counsel. Von Moltke , 322 U. S., at 722. Despite knowledge of the lawyer’s prior representation, she violated that duty.

We will never know whether Mickens would have received the death penalty if those violations had not occurred nor precisely what effect they had on Saunders’ representation of Mickens. 10 We do know that he did not receive the kind of representation that the Constitution guarantees. If Mickens had been represented by an attorney-impostor who never passed a bar examination, we might also be unable to determine whether the impostor’s educational shortcomings “ ‘actually affected the adequacy of his representation.” ’ Ante , at 8 (emphasis deleted). We would, however, surely set aside his conviction if the person who had represented him was not a real lawyer. Four compelling reasons make setting aside the conviction the proper remedy in this case.

First, it is the remedy dictated by our holdings in Holloway v . Arkansas , 435 U. S. 475 (1978) , Cuyler v . Sullivan, 446 U. S. 335 (1980) , and Wood v. Georgia , 450 U. S. 261 (1981) . In this line of precedent, our focus was properly upon the duty of the trial court judge to inquire into a potential conflict. This duty was triggered either via defense counsel’s objection, as was the case in Holloway , or some other “special circumstances” whereby the serious potential for conflict was brought to the attention of the trial court judge. Sullivan , 446 U. S., at 346. As we unambiguously stated in Wood , “ Sullivan mandates a reversal when the trial court has failed to make an inquiry even though it ‘knows or reasonably should know that a particular conflict exists.’ ” 450 U. S. , at 272, n. 18. It is thus wrong for the Court to interpret Justice Powell’s language as referring only to a division of loyalties “that affected counsel’s performance.” Ante , at 8, n. 3 (emphasis deleted). 11 Wood nowhere hints of this meaning of “actual conflict of interest” 450 U. S., at 273, nor does it reference Sullivan in “shorthand,” a nte , at 8. Rather, Wood cites Sullivan explicitly in order to make a factual distinction: In a circumstance, such as in Wood , in which the judge knows or should know of the conflict, no showing of adverse effect is required. But when, as in Sullivan , the judge lacked this knowledge, such a showing is required. Wood, 450 U. S., at 272–274. 12

Second, it is the only remedy that responds to the real possibility that Mickens would not have received the death penalty if he had been represented by conflict-free counsel during the critical stage of the proceeding in which he first met with his lawyer. We should presume that the lawyer for the victim of a brutal homicide is incapable of establishing the kind of relationship with the defendant that is essential to effective representation.

Third, it is the only remedy that is consistent with the legal profession’s historic and universal condemnation of the representation of conflicting interests without the full disclosure and consent of all interested parties. 13 The Court’s novel and naïve assumption that a lawyer’s divided loyalties are acceptable unless it can be proved that they actually affected counsel’s performance is demeaning to the profession.

Finally, “justice must satisfy the appearance of justice.” Offutt v. United States , 348 U. S. 11, 14 (1954) . Setting aside Mickens’ conviction is the only remedy that can maintain public confidence in the fairness of the procedures employed in capital cases. Death is a different kind of punishment from any other that may be imposed in this country. “From the point of view of the defendant, it is different in both its severity and its finality. From the point of view of society, the action of the sovereign in taking the life of one of its citizens also differs dramatically from any other legitimate state action. It is of vital importance to the defendant and to the community that any decision to impose the death sentence be, and appear to be, based on reason rather than caprice or emotion.” Gardner v. Florida, 430 U. S. 349, 357–358 (1977) . A rule that allows the State to foist a murder victim’s lawyer onto his accused is not only capricious; it poisons the integrity of our adversary system of justice.

I respectfully dissent.


Notes

1 The Sixth Amendment provides: “In all criminal prosecutions, the accused shall enjoy the right … to have the Assistance of Counsel for his defence.” This protection is applicable to State, as well as federal, criminal proceedings. Gideon v. Wainwright, 372 U. S. 335 (1963) . We have long recognized the paramount importance of the right to effective assistance of counsel. United States v. Cronic, 466 U. S. 648, 653–654 (1984) (“ ‘Of all the rights that an accused person has, the right to be represented by counsel is by far the most pervasive for it affects his ability to assert any other rights he may have’ ”) (citation omitted)).

2 Williams v. Reed, 29 F. Cas. 1386, 1390 (No. 17,733) (CC Me. 1824). Discussing the necessity of full disclosure to the preservation of the lawyer-client relationship, Justice Story stated: “I agree to the doctrine urged at the bar, as to the delicacy of the relation of client and attorney, and the duty of a full, frank, and free disclosure by the latter of every circumstance, which may be presumed to be material, not merely to the interests, but to the fair exercise of the judgment, of the client.”

3 At the guilt phase, the trial court judge instructed Mickens’ jury as follows: “If you find that the Commonwealth has failed to prove beyond a reasonable doubt that the killing occurred in the commission of, or subsequent to, attempted forcible sodomy . . . [but do find a malicious, willful, deliberate, premeditated killing], then you shall find the defendant guilty of first degree murder. If you find the defendant guilty of first degree murder, then you shall fix his punishment at: (1) Imprisonment for life; or (2) A specific term of imprisonment, but not less than twenty years . . . .” App. 58–59.

4 For example, at the time of Hall’s death, Saunders was representing Hall in juvenile court for charges arising out of an incident involving Hall’s mother. She had sworn out a warrant for Hall’s arrest charging him with assault and battery. Despite knowledge of this, Mickens’ lawyer offered no rebuttal to the victim-impact statement submitted by Hall’s mother that “ ‘all [she] lived for was that boy.’ ” App. 297.

5 A group of experts in legal ethics, acting as Amici Curiae, submit that the conflict in issue in this case would be nonwaivable pursuant to the standard articulated in the ABA Ann. Model Rules of Professional Conduct (4th ed. 1999). Brief for Legal Ethicists et al. as Amici Curiae 16 (“[T]he standard test to determine if a conflict is non-waiveable is whether a ‘disinterested lawyer would conclude that the client should not agree to the representation under the circumstances.’ ” (quoting Model Rule 1.7, Comment 5)). Unfortunately, because Mickens was not informed of the fact that his appointed attorney was the lawyer of the alleged victim, the questions whether Mickens would have waived this conflict and consented to the appointment, or whether governing standards of professional responsibility would have precluded him from doing so, remain unanswered.

6 Although the conflict in this case is plainly intolerable, I, of course, do not suggest that every conflict, or every violation of the code of ethics, is a violation of the Constitution.

7 “[W]hen a defendant chooses to have a lawyer manage and present his case, law and tradition may allocate to the counsel the power to make binding decisions of trial strategy in many areas. . . . This allocation can only be justified, however, by the defendant’s consent, at the outset, to accept counsel as his representative. An unwanted counsel ‘represents’ the defendant only through a tenuous and unacceptable legal fiction. Unless the accused has acquiesced in such representation, the defense presented is not the defense guaranteed him by the Constitution, for, in a very real sense, it is not his defense.” 422 U. S., at 820–821.

8 Part III of the Court’s opinion is a foray into an issue that is not implicated by the question presented. In dicta, the Court states that Sullivan may not even apply in the first place to successive representations. Ante, at 10–12. Most Courts of Appeals, however, have applied Sullivan to claims of successive representation as well as to some insidious conflicts arising from a lawyer’s self-interest. See cases cited ante, at 10–11. We have done the same. See Wood v. Georgia, 450 U. S. 261 (1981) (applying Sullivan to a conflict stemming from a third-party payment arrangement). Neither we nor the Courts of Appeals have applied this standard “unblinkingly,” as the Court accuses, ante, at 10, but rather have relied upon principled reason. When a conflict of interest, whether multiple, successive, or otherwise, poses so substantial a risk that a lawyer’s representation would be materially and adversely affected by diverging interests or loyalties and the trial court judge knows of this and yet fails to inquire, it is a “[c]ircumstanc[e] of [such] magnitude” that “the likelihood that any lawyer, even a fully competent one, could provide effective assistance is so small that a presumption of prejudice is appropriate without inquiry into the actual conduct of the trial.” Cronic, 466 U. S., at 659–660.

9 There is no dispute before us as to the appointing judge’s knowledge. The court below assumed, arguendo, that the judge who, upon Hall’s death, dismissed Saunders from his representation of Hall and who then three days later appointed Saunders to represent Mickens in the killing of Hall “reasonably should have known that Saunders labored under a potential conflict of interest arising from his previous representation of Hall.” 240 F. 3d 348, 357 (CA4 2001). This assumption has not been challenged.

10 I disagree with the Court’s assertion that the inquiry mandated by Cuyler v. Sullivan, 446 U. S. 335 (1980) , will not aid in the determination of conflict and effect. Ante, at 9. As we have stated, “the evil [of conflict-ridden counsel] is in what the advocate finds himself compelled to refrain from doing … [making it] difficult to judge intelligently the impact of a conflict on the attorney’s representation of a client.” Holloway v. Arkansas, 435 U. S. 475, 490–491 (1978) . An adequate inquiry by the appointing or trial court judge will augment the record thereby making it easier to evaluate the impact of the conflict.

11 The Court concedes that if Mickens’ attorney had objected to the appointment based upon the conflict of interest and the trial court judge had failed to inquire, then reversal without inquiry into adverse effect would be required. Ante, at 10. The Court, in addition to ignoring the mandate of Wood, reads Sullivan too narrowly. In Sullivan we did not ask only whether an objection was made in order to ascertain whether the trial court had a duty to inquire. Rather, we stated that “[n]othing in the circumstances of this case indicates that the trial court had a duty to inquire whether there was a conflict of interest. The provision of separate trials for Sullivan and his codefendants significantly reduced the potential for a divergence in their interests. No participant in Sullivan’s trial ever objected to the multiple representation… . On these facts, we conclude that the Sixth Amendment imposed upon the trial court no affirmative duty to inquire into the propriety of multiple representation.” 446 U. S., at 347–348. It is also counter to our precedent to treat all Sixth Amendment challenges involving conflicts of interest categorically, without inquiry into the surrounding factual circumstances. In Cronic, we cited Holloway as an example of a case involving “surrounding circumstances [making] it so unlikely that any lawyer could provide effective assistance that ineffectiveness was properly presumed without inquiry into actual performance at trial.” Cronic, 466 U. S., at 661, and n. 28. The surrounding circumstances in the present case were far more egregious than those requiring reversal in either Holloway or Wood.

12 Because the appointing judge knew of the conflict, there is no need in this case to decide what should be done when the judge neither knows, nor should know, about the existence of an intolerable conflict. Nevertheless the Court argues that it makes little sense to reverse automatically upon a showing of actual conflict when the trial court judge knows (or reasonably should know) of a potential conflict and yet has failed to inquire, but not to do so when the trial court judge does not know of the conflict. Ante, at 9. Although it is true that the defendant faces the same potential for harm as a result of a conflict in either instance, in the former case the court committed the error and in the latter the harm is entirely attributable to the misconduct of defense counsel. A requirement that the defendant show adverse effect when the court committed no error surely does not justify such a requirement when the court did err. It is the Court’s rule that leads to an anomalous result. Under the Court’s analysis, if defense counsel objects to the appointment, reversal without inquiry into adverse effect is required. Ante, at 10. But counsel’s failure to object posed a greater—not a lesser—threat to Mickens’ Sixth Amendment right. Had Saunders objected to the appointment, Mickens would at least have been apprised of the conflict.

13 Every state bar in the country has an ethical rule prohibiting a lawyer from undertaking a representation that involves a conflict of interest unless the client has waived the conflict. University Publications of America, National Reporter on Legal Ethics and Professional Responsibility, Vols. I-IV (2001) (reprinting the professional responsibility codes for the 50 States). See also, ABA Ann. Model Rule of Professional Responsibility 1.7, pp. 91–92, Comments 3 and 4 (“As a general proposition, loyalty to a client prohibits undertaking representation directly adverse to that client without that client’s consent… . Loyalty to a client is also impaired when a lawyer cannot consider, recommend or carry out an appropriate course of action for the client because of the lawyer’s other responsibilities or interests”).


TOP

Dissent

WALTER MICKENS, Jr ., PETITIONER v.
JOHN TAYLOR, WARDEN

on writ of certiorari to the united states court of appeals for the fourth circuit


[March 27, 2002]

Justice Stevens , dissenting.

This case raises three uniquely important questions about a fundamental component of our criminal justice system—the constitutional right of a person accused of a capital offense to have the effective assistance of counsel for his defense. 1 The first is whether a capital defendant’s attorney has a duty to disclose that he was representing the defendant’s alleged victim at the time of the murder. Second, is whether, assuming disclosure of the prior representation, the capital defendant has a right to refuse the appointment of the conflicted attorney. Third, is whether the trial judge, who knows or should know of such prior representation, has a duty to obtain the defendant’s consent before appointing that lawyer to represent him. Ultimately, the question presented by this case is whether, if these duties exist and if all of them are violated, there exist “circumstances that are so likely to prejudice the accused that the cost of litigating their effect in a particular case is unjustified.” United States v. Cronic, 466 U. S. 648, 658 (1984).

I

The first critical stage in the defense of a capital case is the series of pretrial meetings between the accused and his counsel when they decide how the case should be defended. A lawyer cannot possibly determine how best to represent a new client unless that client is willing to provide the lawyer with a truthful account of the relevant facts. When an indigent defendant first meets his newly appointed counsel, he will often falsely maintain his complete innocence. Truthful disclosures of embarrassing or incriminating facts are contingent on the development of the client’s confidence in the undivided loyalty of the lawyer. Quite obviously, knowledge that the lawyer represented the victim would be a substantial obstacle to the development of such confidence.

It is equally true that a lawyer’s decision to conceal such an important fact from his new client would have comparable ramifications. The suppression of communication and truncated investigation that would unavoidably follow from such a decision would also make it difficult, if not altogether impossible, to establish the necessary level of trust that should characterize the “delicacy of relation” between attorney and client. 2

In this very case, it is likely that Mickens misled his counsel, Bryan Saunders, given the fact that Mickens gave false testimony at his trial denying any involvement in the crime despite the overwhelming evidence that he had killed Timothy Hall after a sexual encounter. In retrospect, it seems obvious that the death penalty might have been avoided by acknowledging Mickens’ involvement, but emphasizing the evidence suggesting that their sexual encounter was consensual. Mickens’ habeas counsel garnered evidence suggesting that Hall was a male prostitute, App. 137, 149, 162, 169; that the area where Hall was killed was known for prostitution, id ., at 169–170; and that there was no evidence that Hall was forced to the secluded area where he was ultimately murdered. An unconflicted attorney could have put forward a defense tending to show that Mickens killed Hall only after the two engaged in consensual sex, but Saunders offered no such defense. This was a crucial omission—a finding of forcible sodomy was an absolute prerequisite to Mickens’ eligibility for the death penalty. 3 Of course, since that strategy would have led to conviction of a noncapital offense, counsel would have been unable to persuade the defendant to divulge the information necessary to support such a defense and then ultimately to endorse the strategy unless he had earned the complete confidence of his client.

Saunders’ concealment of essential information about his prior representation of the victim was a severe lapse in his professional duty. The lawyer’s duty to disclose his representation of a client related to the instant charge is not only intuitively obvious, it is as old as the profession. Consider this straightforward comment made by Justice Story in 1824:

“An attorney is bound to disclose to his client every adverse retainer, and even every prior retainer, which may affect the discretion of the latter. No man can be supposed to be indifferent to the knowledge of facts, which work directly on his interests, or bear on the freedom of his choice of counsel. When a client employs an attorney, he has a right to presume, if the latter be silent on the point, that he has no engagements, which interfere, in any degree, with his exclusive devotion to the cause confided to him; that he has no interest, which may betray his judgment, or endanger his fidelity.” Williams v. Reed , 29 F. Cas. 1386, 1390 (No. 17,733) (CC Me. 1824).

Mickens’ lawyer’s violation of this fundamental obligation of disclosure is indefensible. The relevance of Saunders’ prior representation of Hall to the new appointment was far too important to be concealed.

II

If the defendant is found guilty of a capital offense, the ensuing proceedings that determine whether he will be put to death are critical in every sense of the word. At those proceedings, testimony about the impact of the crime on the victim, including testimony about the character of the victim, may have a critical effect on the jury’s decision. Payne v. Tennessee, 501 U. S. 808 (1991) . Because a lawyer’s fiduciary relationship with his deceased client survives the client’s death, Swidler & Berlin v. United States, 524 U. S. 399 (1998) , Saunders necessarily labored under conflicting obligations that were irreconcilable. He had a duty to protect the reputation and confidences of his deceased client, and a duty to impeach the impact evidence presented by the prosecutor. 4

Saunders’ conflicting obligations to his deceased client, on the one hand, and to his living client, on the other, were unquestionably sufficient to give Mickens the right to insist on different representation. 5 For the “right to counsel guaranteed by the Constitution contemplates the services of an attorney devoted solely to the interests of his client,” Von Moltke v. Gillies, 332 U. S. 708, 725 (1948) . 6 Moreover, in my judgment, the right to conflict-free counsel is just as firmly protected by the Constitution as the defendant’s right of self-representation recognized in Faretta v. California, 422 U. S. 806 (1975) . 7

III

When an indigent defendant is unable to retain his own lawyer, the trial judge’s appointment of counsel is itself a critical stage of a criminal trial. At that point in the proceeding, by definition, the defendant has no lawyer to protect his interests and must rely entirely on the judge. For that reason it is “the solemn duty of a … judge before whom a defendant appears without counsel to make a thorough inquiry and to take all steps necessary to insure the fullest protection of this constitutional right at every stage of the proceedings.” Von Moltke , 322 U. S., at 722.

This duty with respect to indigent defendants is far more imperative than the judge’s duty to investigate the possibility of a conflict that arises when retained counsel represents either multiple or successive defendants. It is true that in a situation of retained counsel, “[u]nless the trial court knows or reasonably should know that a particular conflict exists, the court need not initiate an inquiry.” Cuyler v. Sullivan, 446 U. S. 335, 347 (1980) . 8 But when, as was true in this case, the judge is not merely reviewing the permissibility of the defendants’ choice of counsel, but is responsible for making the choice herself, and when she knows or should know that a conflict does exist, the duty to make a thorough inquiry is manifest and unqualified. 9 Indeed, under far less compelling circumstances, we squarely held that when a record discloses the “possibility of a conflict” between the interests of the defendants and the interests of the party paying their counsel’s fees, the Constitution imposes a duty of inquiry on the state- court judge even when no objection was made. Wood v. Georgia, 450 U. S. 261, 267, 272 (1981) .

IV

Mickens had a constitutional right to the services of an attorney devoted solely to his interests. That right was violated. The lawyer who did represent him had a duty to disclose his prior representation of the victim to Mickens and to the trial judge. That duty was violated. When Mickens had no counsel, the trial judge had a duty to “make a thorough inquiry and to take all steps necessary to insure the fullest protection of” his right to counsel. Von Moltke , 322 U. S., at 722. Despite knowledge of the lawyer’s prior representation, she violated that duty.

We will never know whether Mickens would have received the death penalty if those violations had not occurred nor precisely what effect they had on Saunders’ representation of Mickens. 10 We do know that he did not receive the kind of representation that the Constitution guarantees. If Mickens had been represented by an attorney-impostor who never passed a bar examination, we might also be unable to determine whether the impostor’s educational shortcomings “ ‘actually affected the adequacy of his representation.” ’ Ante , at 8 (emphasis deleted). We would, however, surely set aside his conviction if the person who had represented him was not a real lawyer. Four compelling reasons make setting aside the conviction the proper remedy in this case.

First, it is the remedy dictated by our holdings in Holloway v . Arkansas , 435 U. S. 475 (1978) , Cuyler v . Sullivan, 446 U. S. 335 (1980) , and Wood v. Georgia , 450 U. S. 261 (1981) . In this line of precedent, our focus was properly upon the duty of the trial court judge to inquire into a potential conflict. This duty was triggered either via defense counsel’s objection, as was the case in Holloway , or some other “special circumstances” whereby the serious potential for conflict was brought to the attention of the trial court judge. Sullivan , 446 U. S., at 346. As we unambiguously stated in Wood , “ Sullivan mandates a reversal when the trial court has failed to make an inquiry even though it ‘knows or reasonably should know that a particular conflict exists.’ ” 450 U. S. , at 272, n. 18. It is thus wrong for the Court to interpret Justice Powell’s language as referring only to a division of loyalties “that affected counsel’s performance.” Ante , at 8, n. 3 (emphasis deleted). 11 Wood nowhere hints of this meaning of “actual conflict of interest” 450 U. S., at 273, nor does it reference Sullivan in “shorthand,” a nte , at 8. Rather, Wood cites Sullivan explicitly in order to make a factual distinction: In a circumstance, such as in Wood , in which the judge knows or should know of the conflict, no showing of adverse effect is required. But when, as in Sullivan , the judge lacked this knowledge, such a showing is required. Wood, 450 U. S., at 272–274. 12

Second, it is the only remedy that responds to the real possibility that Mickens would not have received the death penalty if he had been represented by conflict-free counsel during the critical stage of the proceeding in which he first met with his lawyer. We should presume that the lawyer for the victim of a brutal homicide is incapable of establishing the kind of relationship with the defendant that is essential to effective representation.

Third, it is the only remedy that is consistent with the legal profession’s historic and universal condemnation of the representation of conflicting interests without the full disclosure and consent of all interested parties. 13 The Court’s novel and naïve assumption that a lawyer’s divided loyalties are acceptable unless it can be proved that they actually affected counsel’s performance is demeaning to the profession.

Finally, “justice must satisfy the appearance of justice.” Offutt v. United States , 348 U. S. 11, 14 (1954) . Setting aside Mickens’ conviction is the only remedy that can maintain public confidence in the fairness of the procedures employed in capital cases. Death is a different kind of punishment from any other that may be imposed in this country. “From the point of view of the defendant, it is different in both its severity and its finality. From the point of view of society, the action of the sovereign in taking the life of one of its citizens also differs dramatically from any other legitimate state action. It is of vital importance to the defendant and to the community that any decision to impose the death sentence be, and appear to be, based on reason rather than caprice or emotion.” Gardner v. Florida, 430 U. S. 349, 357–358 (1977) . A rule that allows the State to foist a murder victim’s lawyer onto his accused is not only capricious; it poisons the integrity of our adversary system of justice.

I respectfully dissent.


Notes

1 The Sixth Amendment provides: “In all criminal prosecutions, the accused shall enjoy the right … to have the Assistance of Counsel for his defence.” This protection is applicable to State, as well as federal, criminal proceedings. Gideon v. Wainwright, 372 U. S. 335 (1963) . We have long recognized the paramount importance of the right to effective assistance of counsel. United States v. Cronic, 466 U. S. 648, 653–654 (1984) (“ ‘Of all the rights that an accused person has, the right to be represented by counsel is by far the most pervasive for it affects his ability to assert any other rights he may have’ ”) (citation omitted)).

2 Williams v. Reed, 29 F. Cas. 1386, 1390 (No. 17,733) (CC Me. 1824). Discussing the necessity of full disclosure to the preservation of the lawyer-client relationship, Justice Story stated: “I agree to the doctrine urged at the bar, as to the delicacy of the relation of client and attorney, and the duty of a full, frank, and free disclosure by the latter of every circumstance, which may be presumed to be material, not merely to the interests, but to the fair exercise of the judgment, of the client.”

3 At the guilt phase, the trial court judge instructed Mickens’ jury as follows: “If you find that the Commonwealth has failed to prove beyond a reasonable doubt that the killing occurred in the commission of, or subsequent to, attempted forcible sodomy . . . [but do find a malicious, willful, deliberate, premeditated killing], then you shall find the defendant guilty of first degree murder. If you find the defendant guilty of first degree murder, then you shall fix his punishment at: (1) Imprisonment for life; or (2) A specific term of imprisonment, but not less than twenty years . . . .” App. 58–59.

4 For example, at the time of Hall’s death, Saunders was representing Hall in juvenile court for charges arising out of an incident involving Hall’s mother. She had sworn out a warrant for Hall’s arrest charging him with assault and battery. Despite knowledge of this, Mickens’ lawyer offered no rebuttal to the victim-impact statement submitted by Hall’s mother that “ ‘all [she] lived for was that boy.’ ” App. 297.

5 A group of experts in legal ethics, acting as Amici Curiae, submit that the conflict in issue in this case would be nonwaivable pursuant to the standard articulated in the ABA Ann. Model Rules of Professional Conduct (4th ed. 1999). Brief for Legal Ethicists et al. as Amici Curiae 16 (“[T]he standard test to determine if a conflict is non-waiveable is whether a ‘disinterested lawyer would conclude that the client should not agree to the representation under the circumstances.’ ” (quoting Model Rule 1.7, Comment 5)). Unfortunately, because Mickens was not informed of the fact that his appointed attorney was the lawyer of the alleged victim, the questions whether Mickens would have waived this conflict and consented to the appointment, or whether governing standards of professional responsibility would have precluded him from doing so, remain unanswered.

6 Although the conflict in this case is plainly intolerable, I, of course, do not suggest that every conflict, or every violation of the code of ethics, is a violation of the Constitution.

7 “[W]hen a defendant chooses to have a lawyer manage and present his case, law and tradition may allocate to the counsel the power to make binding decisions of trial strategy in many areas. . . . This allocation can only be justified, however, by the defendant’s consent, at the outset, to accept counsel as his representative. An unwanted counsel ‘represents’ the defendant only through a tenuous and unacceptable legal fiction. Unless the accused has acquiesced in such representation, the defense presented is not the defense guaranteed him by the Constitution, for, in a very real sense, it is not his defense.” 422 U. S., at 820–821.

8 Part III of the Court’s opinion is a foray into an issue that is not implicated by the question presented. In dicta, the Court states that Sullivan may not even apply in the first place to successive representations. Ante, at 10–12. Most Courts of Appeals, however, have applied Sullivan to claims of successive representation as well as to some insidious conflicts arising from a lawyer’s self-interest. See cases cited ante, at 10–11. We have done the same. See Wood v. Georgia, 450 U. S. 261 (1981) (applying Sullivan to a conflict stemming from a third-party payment arrangement). Neither we nor the Courts of Appeals have applied this standard “unblinkingly,” as the Court accuses, ante, at 10, but rather have relied upon principled reason. When a conflict of interest, whether multiple, successive, or otherwise, poses so substantial a risk that a lawyer’s representation would be materially and adversely affected by diverging interests or loyalties and the trial court judge knows of this and yet fails to inquire, it is a “[c]ircumstanc[e] of [such] magnitude” that “the likelihood that any lawyer, even a fully competent one, could provide effective assistance is so small that a presumption of prejudice is appropriate without inquiry into the actual conduct of the trial.” Cronic, 466 U. S., at 659–660.

9 There is no dispute before us as to the appointing judge’s knowledge. The court below assumed, arguendo, that the judge who, upon Hall’s death, dismissed Saunders from his representation of Hall and who then three days later appointed Saunders to represent Mickens in the killing of Hall “reasonably should have known that Saunders labored under a potential conflict of interest arising from his previous representation of Hall.” 240 F. 3d 348, 357 (CA4 2001). This assumption has not been challenged.

10 I disagree with the Court’s assertion that the inquiry mandated by Cuyler v. Sullivan, 446 U. S. 335 (1980) , will not aid in the determination of conflict and effect. Ante, at 9. As we have stated, “the evil [of conflict-ridden counsel] is in what the advocate finds himself compelled to refrain from doing … [making it] difficult to judge intelligently the impact of a conflict on the attorney’s representation of a client.” Holloway v. Arkansas, 435 U. S. 475, 490–491 (1978) . An adequate inquiry by the appointing or trial court judge will augment the record thereby making it easier to evaluate the impact of the conflict.

11 The Court concedes that if Mickens’ attorney had objected to the appointment based upon the conflict of interest and the trial court judge had failed to inquire, then reversal without inquiry into adverse effect would be required. Ante, at 10. The Court, in addition to ignoring the mandate of Wood, reads Sullivan too narrowly. In Sullivan we did not ask only whether an objection was made in order to ascertain whether the trial court had a duty to inquire. Rather, we stated that “[n]othing in the circumstances of this case indicates that the trial court had a duty to inquire whether there was a conflict of interest. The provision of separate trials for Sullivan and his codefendants significantly reduced the potential for a divergence in their interests. No participant in Sullivan’s trial ever objected to the multiple representation… . On these facts, we conclude that the Sixth Amendment imposed upon the trial court no affirmative duty to inquire into the propriety of multiple representation.” 446 U. S., at 347–348. It is also counter to our precedent to treat all Sixth Amendment challenges involving conflicts of interest categorically, without inquiry into the surrounding factual circumstances. In Cronic, we cited Holloway as an example of a case involving “surrounding circumstances [making] it so unlikely that any lawyer could provide effective assistance that ineffectiveness was properly presumed without inquiry into actual performance at trial.” Cronic, 466 U. S., at 661, and n. 28. The surrounding circumstances in the present case were far more egregious than those requiring reversal in either Holloway or Wood.

12 Because the appointing judge knew of the conflict, there is no need in this case to decide what should be done when the judge neither knows, nor should know, about the existence of an intolerable conflict. Nevertheless the Court argues that it makes little sense to reverse automatically upon a showing of actual conflict when the trial court judge knows (or reasonably should know) of a potential conflict and yet has failed to inquire, but not to do so when the trial court judge does not know of the conflict. Ante, at 9. Although it is true that the defendant faces the same potential for harm as a result of a conflict in either instance, in the former case the court committed the error and in the latter the harm is entirely attributable to the misconduct of defense counsel. A requirement that the defendant show adverse effect when the court committed no error surely does not justify such a requirement when the court did err. It is the Court’s rule that leads to an anomalous result. Under the Court’s analysis, if defense counsel objects to the appointment, reversal without inquiry into adverse effect is required. Ante, at 10. But counsel’s failure to object posed a greater—not a lesser—threat to Mickens’ Sixth Amendment right. Had Saunders objected to the appointment, Mickens would at least have been apprised of the conflict.

13 Every state bar in the country has an ethical rule prohibiting a lawyer from undertaking a representation that involves a conflict of interest unless the client has waived the conflict. University Publications of America, National Reporter on Legal Ethics and Professional Responsibility, Vols. I-IV (2001) (reprinting the professional responsibility codes for the 50 States). See also, ABA Ann. Model Rule of Professional Responsibility 1.7, pp. 91–92, Comments 3 and 4 (“As a general proposition, loyalty to a client prohibits undertaking representation directly adverse to that client without that client’s consent… . Loyalty to a client is also impaired when a lawyer cannot consider, recommend or carry out an appropriate course of action for the client because of the lawyer’s other responsibilities or interests”).