Hernandez v. State
Hernandez v. State
Opinion of the Court
OPINION
delivered the opinion of the Court, in
We granted discretionary review in this ease to reexamine, as a matter of state and federal constitutional law, whether to apply the two-prong Strickland v. Washington
Seizing upon this language from Strickland a majority of this Court in Ex parte Cruz
We have decided to reexamine the question of whether to apply the Duffy and Cruz standards to claims alleging deficient attorney performance at noncapital sentencing proceedings. And, we have decided there are valid reasons for disregarding principles of stare decisis and for overruling Dujfy and Cruz.
Duffy was decided before and without the benefit of Strickland. Therefore, to the extent Duffy, as we have limited it in Cruz, is inconsistent with Strickland on matters of federal constitutional law, we have no choice but to overrule it as we are obligated to follow United States Supreme Court precedent on matters of federal constitutional law. See State v. Guzman, 959 S.W.2d 631 (Tex.Cr.App. 1998) (when we decide cases involving the United States Constitution, we are bound by United States Supreme Court case law interpreting it).
Cruz, which was decided after Strickland, misread some language in Strickland in concluding that a defendant does not have to show prejudice from deficient attorney performance at noncapital sentencing proceedings. See Cruz, 739 S.W.2d at 57-58.
On the contrary, with some exceptions not applicable here, Strickland clearly requires a showing of prejudice for all claims alleging deficient attorney performance primarily because the government is not responsible for and cannot prevent deficient attorney performance. Strickland, 104 S.Ct. at 2067 (government is not responsible for and cannot prevent deficient attorney performance; therefore, claims “alleging a deficiency in attorney performance” are subject to a general requirement that the defendant affirmatively prove prejudice); cf. Burdeau v. McDowell, 256 U.S. 465, 41 S.Ct. 574, 65 L.Ed. 1048 (1921) (Fourth Amendment proscribes only “governmental action”). Therefore, as a matter of federal constitutional law, we are required to disregard principles of stare decisis and to overrule Duffy and Cruz.
Judge Mansfield’s concurring and dissenting opinion and Judge Price’s dissenting opinion claim we should continue to follow Duffy and Cruz under principles of stare decisis. However, the foregoing discussion demonstrates that Duffy and Cruz are inconsistent with Strickland on matters of federal constitutional law. Principles of stare decisis have no application in this context since we have no choice but to follow United States Supreme Court precedent on matters of federal constitutional law. See Guzman, 959 S.W.2d at 633. A contrary holding would in principle be the same as saying we do not have to follow applicable and controlling United States Supreme Court precedents in other cases that the dissenters perceive as providing “more protection” to criminal defendants. Such a position would violate the Supremacy Clause set out in Article VI of the United States Constitution. See Guzman, 959 S.W.2d at 633; Lopez v. State, 954 S.W.2d 774, 774-77 (Tex.Cr.App. 1997) (McCormick, P.J., dissenting).
Assuming Strickland left open the question of whether a defendant is required to show prejudice from deficient attorney performance at noncapital sentencing proceedings,
Instead of attempting to guess how the United States Supreme Court would decide the question that some believe it left open in Strickland, we should exercise restraint and consider Strickland to be the controlling authority for all ineffective assistance of counsel claims unless and until the United States Supreme Court decides otherwise. These are other valid reasons to disregard principles of stare decisis and to overrule Duffy and Cruz.
Finally, since Duffy also was decided as a matter of state constitutional law, it is necessary to decide whether to retain the Duffy standard as a matter of state constitutional law. The dissenters in Cruz apparently claimed we should have continued to apply the Duffy standard to all claims alleging a deficiency of attorney performance as a matter of state constitutional law. See Cruz, 739 S.W.2d at 60-61 (Clinton, J., dissenting) (Duffy standard “is equally appropriate for testing adequacy of all representation by counsel”), and at 61-63 (Duncan, J., dissenting). However, Duffy was a three-judge plurality opinion with no precedential value.
Moreover, while we have never squarely decided the scope of Texas’ right to counsel constitutional provision, we have consistently held it is no more protective than its federal counterpart. See, e.g., Hernandez, 726 S.W.2d at 56-57. And, a valid and reason
Apparently the intent of Texas’ right to counsel constitutional provision does not affirmatively guarantee lawyers to those who cannot afford them and it does not affirmatively guarantee the effective assistance of lawyers to those who can afford them.
Judge Price’s dissenting opinion claims the merits of the state and federal constitutional issues we have addressed are not fairly presented by the State’s ground for review which asks whether the “Duffy standard should be abandoned.” Judge Price’s dissenting opinion claims this ground for review does not fairly present these issues because it does not specify whether Duffy should be abandoned “as a matter of federal constitutional law, state constitutional law, or both.” However, since Duffy was decided as a matter of state and federal constitutional law, the State’s ground for review fairly presents the issues we have addressed. We decline to engage in a hyperteehnical construction of the State’s ground for review to avoid the important issues presented by this case and others like it.
Finally, Judge Price’s dissenting opinion characterizes our decision as a “political polemic” meant to criticize “contemporary Supreme Court jurisprudence.” We disagree. Our decision rests on our understanding of what Strickland requires and it discusses a possible interpretation of what Texas’ right to counsel constitutional provision was originally intended to accomplish.
Moreover, members of this Court have been known to criticize “contemporary Supreme Court jurisprudence.” See Cruz, 739 S.W.2d at 60 (Clinton, J., dissenting) (what we have learned from experience is that from time to time a majority of this Court seems driven to pretend that Justices of the Supreme Court alone understand and are competent to decide constitutional law); McCambridge v. State, 778 S.W.2d 70, 77 (Tex.Cr.App. 1989) (Teague, J., dissenting), cert. denied, 495 U.S. 910, 110 S.Ct. 1936, 109 L.Ed.2d 299 (1990) (criticizing the “arehcon-servative” Supreme Court). And, those few cases where this Court has interpreted a particular provision of the Texas Constitution as providing “more protection” than its federal counterpart have either implicitly or explicitly criticized contemporary Supreme Court jurisprudence. See Bauder v. State, 921 S.W.2d 696, 699 (Tex.Cr.App. 1996). State constitutional interpretation can cut both ways. See Bauder, 921 S.W.2d at 700 (Clinton, J., concurring), and at 706 fn 5 (McCormick, P.J., dissenting).
. Strickland v. Washington, 466 U.S. 668, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984).
. Ex parte Duffy, 607 S.W.2d 507, 516 (Tex.Cr.App. 1980).
. The now familiar two-prong Strickland test usually is stated as: (1) whether counsel’s conduct was deficient, and (2) whether, but for counsel’s deficient performance, the result of the proceeding would have been different. See Strickland, 104 S.Ct. at 2064, 2068. The Strickland standard contains two tests: attorney performance and prejudice. See id. The first prong of the Strickland test (attorney performance) essentially is the Duffy standard. See Strickland,
. Ex parte Cruz, 739 S.W.2d 53 (Tex.Cr.App. 1987).
. Cruz relied on the following language from Strickland to conclude a defendant does not have to show prejudice from deficient attorney performance at noncapital sentencing proceedings:
"We need not consider the role of counsel in an ordinary sentencing, which may involve informal proceedings and standardless discretion in the sentencer, and hence may require a different approach to the definition of constitutionally effective assistance.” Cruz, 739 S.W.2d at 57 (citing Strickland, 104 S.Ct. at 2064).
. But see Strickland, 104 S.Ct. at 2064.
. See Strickland, 104 S.Ct. at 2063 (Sixth Amendment right to counsel includes right to effective assistance of counsel); Gideon v. Wainwright, 372 U.S. 335, 83 S.Ct. 792, 794-96, 9 L.Ed.2d 799 (1963) (Sixth Amendment applicable to states through Fourteenth Amendment’s Due Process Clause); Johnson v. Zerbst, 304 U.S. 458, 58 S.Ct. 1019, 82 L.Ed. 1461 (1938) (Sixth Amendment required appointment of counsel to indigent defendants in most federal criminal prosecutions).
. See Lanford v. Fourteenth Court of Appeals, 847 S.W.2d 581, 585 (Tex.Cr.App. 1993) (when interpreting the Texas Constitution, our duty is to give effect to intent of voters who adopted it); Hernandez, 726 S.W.2d at 56 (Texas’ right to counsel provision modeled after Sixth Amendment's right to counsel provision); Ex parte Jordan, 879 S.W.2d 61, 62-64 (Tex.Cr.App. 1994) (McCormick, P.J., dissenting); cf. Scott v. Illinois, 440 U.S. 367, 99 S.Ct. 1158, 1160-61, 59 L.Ed.2d 383 (1979) (considerable doubt that the Sixth Amendment itself, as originally drafted by the Framers of the Bill of Rights, contemplated any guarantee other than the right of an accused in a criminal prosecution in a federal court to employ a lawyer to assist in his defense); W. Beaney, The Right To Counsel In American Courts, at 27-33, 226 (1955) (Sixth Amendment's right to counsel provision originally intended as nothing more than guaranteeing the right to retain counsel, and before 1938 "no responsible authority, scholarly or judicial” claimed otherwise).
Concurring in Part
concurring and dissenting opinion.
For the reasons expressed in my concurring opinion in State v. Ibarra, 953 S.W.2d 242 (Tex.Crim.App. 1997), I believe that overruling Ex parte Duffy, 607 S.W.2d 507 (Tex.Crim.App. 1980), would do violence to the principle of stare decisis. Stare decisis compels us to overrule precedent only where the reasons for doing so are compelling, i.e., it has become unworkable or has led to injustice. I am not convinced that application of the Duffy standard to determine whether counsel has rendered ineffective assistance at the punishment phase of a noncapital trial has led to injustice, the overturning of significant numbers of convictions or that it has become unworkable.
However, in my opinion, the Duffy standard does not apply to errors made by counsel during the guilt/innocence phase of a non-capital trial when such errors could have at most an indirect or ancillary impact on the effectiveness of assistance rendered by counsel at the punishment phase.
Accordingly, I would reverse the judgment of the court of appeals and thus concur with the opinion of the majority to that extent. I would also remand the cause to the court of appeals to determine whether Duffy applies to errors made during the guilt/innocence phase by counsel when such errors have at most an indirect or ancillary effect on the punishment phase. I would further order the court of appeals to apply the totality of representation test as part of its determination as to whether appellant received effective assistance of counsel at the punishment phase. See Ex parte Walker, 777 S.W.2d 427, 431 (Tex.Crim.App. 1989). I respectfully dissent to that portion of the Court’s opinion overruling Duffy.
. Whether counsel rendered constitutionally ineffective assistance at the guilt/innocence phase is determined by application of the standards set forth in Strickland v. Washington, 466 U.S. 668, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984).
Dissenting Opinion
delivered a dissenting opinion
in which MEYERS and JOHNSON, JJ., joined.
I dissent. We granted the State’s petition for discretionary review on the following grounds:
(1) Does any error on the part of trial counsel that could have an indirect, ancillary impact upon the punishment phase of the trial invoke the Duffy standard, instead of the Strickland standard, for assessing potential ineffective assistance of counsel?
(2) Should the Duffy standard be abandoned as the analytical test for assessing claims of ineffective assistance of counsel based upon errors of trial counsel that relate to the punishment phase of a trial?
The second ground for review actually granted by this Court comes closest to stating the focus of the majority opinion. The State’s argument under this ground asks us to abandon Duffy and apply the two-prong Strickland test. Although it argues that we should adopt Strickland and abandon Duffy, it does so without specifically discussing whether this is to be done as a matter of federal constitutional law, state constitutional law, or both. The State does this for the very simple reason that this Court has consistently held for more than a decade that the right to effective assistance of counsel under the Texas Constitution is the same as
Nevertheless, after rewriting the grounds for review presented to this Court, the majority detours into purely gratuitous dicta, in which it states the novel proposition that as to claims of right to counsel, the Texas Constitution now provides less protection to its citizens than the U.S. Constitution. This portion of the opinion is completely unnecessary. It is well established that a state, through its constitution and laws, may grant greater protections to its citizens than does the federal constitution
For the foregoing reasons, I dissent.
. See Hernandez v. State, 726 S.W.2d 53, 56-57 (Tex.Crim.App. 1986) (because Texas constitutional and statutory provisions do not create a standard in ineffective assistance cases more protective of a defendant's rights than the standard of Strickland, Court of Criminal Appeals will follow in full the Strickland standards in determining effective assistance and prejudice resulting therefrom); see also Hathorn v. State, 848 S.W.2d 101, 118 (Tex.Crim.App. 1992), cert. denied, 509 U.S. 932, 113 S.Ct. 3062, 125 L.Ed.2d 744 (1993); Black v. State, 816 S.W.2d 350, 356 (Tex.Crim.App. 1991); Ex parte Felton, 815 S.W.2d 733, 736 n. 4 (Tex.Crim.App. 1991); Derrick v. State, 773 S.W.2d 271, 272-273 (Tex.Crim.App. 1989), cert. denied, 493 U.S. 874, 110 S.Ct. 209, 107 L.Ed.2d 162 (1989).
. See, e.g., PruneYard Shopping Ctr. v. Robins, 447 U.S. 74, 81, 100 S.Ct. 2035, 2040, 64 L.Ed.2d 741 (1980) (A State is not limited in exercising "its police power or its sovereign right to adopt in its own Constitution individual liberties more expansive than those conferred by the Federal Constitution") (citing Cooper v. California, 386 U.S. 58, 87 S.Ct. 788, 17 L.Ed.2d 730 (1967)); see also Connecticut v. Johnson, 460 U.S. 73, 81 n. 9, 103 S.Ct. 969, 974 n. 9, 74 L.Ed.2d 823 (1983) (plurality opinion); Michigan v. Mosley, 423 U.S. 96, 120, 96 S.Ct. 321, 334, 46 L.Ed.2d 313 (1975) (Brennan, J., dissenting); United States v. Cella, 568 F.2d 1266, 1279 n. 9 (9 th Cir. 1977); United States v. Valenzuela, 546 F.2d 273, 275 (9 th Cir. 1975); United States v. Hall, 543 F.2d 1229, 1246 n. 17 (9 th Cir.1976 (Duniway, J., concurring), cert. denied, 429 U.S. 1075, 97 S.Ct. 814, 50 L.Ed.2d 793 (1977); United States v. Geller, 560 F.Supp. 1309, 1314 (E.D.Pa. 1983), aff'd sub nom. United States v. DeMaise, 745 F.2d 49 (3rd Cir. 1984), cert. denied, 469 U.S. 1109, 105 S.Ct. 786, 83 L.Ed.2d 780 (1985); Bower v. State, 769 S.W.2d 887, 903 (Tex.Crim.App. 1989); Milton v. State, 549 S.W.2d 190, 192 (Tex.Crim.App. 1977); Crittenden v. State, 899 S.W.2d 668, 676 (Tex.Crim.App. 1995) (Baird, J., dissenting); Gillett v. State, 588 S.W.2d 361, 367 (Tex.Crim.App. 1979) (Roberts, J., dissenting); Reeves v. State, 969 S.W.2d 471, 484 (Tex.App.-Waco 1998, pet. ref’d); Jones v. State, 867 S.W.2d 63, 65 (Tex.App.-Corpus Christi 1993, pet. ref'd); State v. Engelking, 771 S.W.2d 213, 218 (Tex.App.-Houston [1 st Dist.] 1989) (Dunn, J., dissenting), rev’d, 817 S.W.2d 64 (Tex.Crim.App. 1991).
. See, e.g., Davis v. Bd. Of Medical Examiners, 497 F.Supp. 525, 528 (D.N.J. 1980); Autran v. State, 887 S.W.2d 31, 36 (Tex.Crim.App. 1994) (plurality opinion); Kann v. State, 694 S.W.2d 156, 159 (Tex.App.-Dallas 1985, pet. ref'd).
. See, e.g., Matchett v. State, 941 S.W.2d 922, 932-933 (Tex.Crim.App. 1996) (plurality opinion) ("Judicial power ... is the power of the courts to decide and pronounce judgments and to carry them into effect between persons and parties who bring cases before them for decisions”) (citation omitted), cert. denied, 521 U.S. 1107, 117 S.Ct. 2487, 138 L.Ed.2d 994 (1997); Garrett v. State, 749 S.W.2d 784, 803 (Tex.Crim.App. 1988) (opinion on State’s motion for rehearing) (plurality opinion) ("The Texas Constitution vests judicial power over criminal cases in the Court of Criminal Appeals and the courts of appeals ... ' 'Judicial power' is the power of a court to decide and pronounce a judgment and carry it into effect between persons and parties who bring a case before it for a decision ... 'Judicial power does not include the power to issue advisory opinions ... An advisory opinion results when a court attempts to decide an issue that does not arise from an actual controversy capable of final adjudication”) (footnote and citations omitted); Gammage v. Compton, 548 S.W.2d 1, 9 (Tex. 1977) (Yarbrough, J., dissenting) (courts "... are restricted to the exercise of 'judicial power,’ which 'is the power of a court to decide and pronounce a judgment and carry it into effect between persons and parties who bring a case before it for a decision’ ” (citation omitted), cert. denied sub nom. Paul v. Gammage, 431 U.S. 955, 97 S.Ct. 2676, 53 L.Ed.2d 271 (1977).
. This unrestrained diatribe is particularly striking, since just prior to it, the majority states that it is now applying Strickland to claims of ineffective assistance of counsel in noncapital sentenc
. See Planned Parenthood of Southeastern Pennsylvania v. Casey, 505 U.S. 833, 854, 112 S.Ct. 2791, 2808, 120 L.Ed.2d 674 (1992) (recognizing that the doctrine of stare decisis is based on the premise "... that no judicial system could do society’s work if it eyed each issue afresh in every case that raised it”) (citing Cardozo, The Nature of the Judicial Process 149 (1921)).
Reference
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- Mickey Thomas HERNANDEZ, Appellant, v. the STATE of Texas
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