Francis v. Henderson
Opinion of the Court
delivered the opinion of the Court.
In Davis v. United States, 411 U. S. 233, the Court held that a federal prisoner who had failed to make a timely challenge to the allegedly unconstitutional composition of the grand jury that indicted him could not after his conviction attack the grand jury’s composition in an action for collateral relief under 28 U. S. C. § 2255. The question in this case is whether a state prisoner who failed to make a timely challenge to the composition of the grand jury that indicted him could after his conviction bring that challenge in a federal habeas corpus proceeding.
The petitioner, Abraham Francis, was brought to trial in a Louisiana court in 1965 upon an indictment for felony murder. He was represented by counsel provided by the State. The Louisiana law then in force clearly required that any objection by a defendant to the composition of the grand jury that had indicted him had to be made in advance of his trial. Otherwise, the law provided, “all such objections shall be considered as waived and shall not afterwards be urged or heard.”
He did not appeal the conviction, but in 1971 he sought collateral relief from a state court on the ground, inter alia, that Negroes had been excluded from the grand jury that had indicted him. The court held that Francis had waived this claim when he failed to raise it before trial as required by state law, and it accordingly denied relief. Francis thereafter sought a writ of habeas corpus in the United States District Court for the Eastern District of Louisiana. The District Court granted the writ on the ground that Negroes had been impermissibly excluded from the grand jury that had returned the indictment.
There can be no question of a federal district court’s power to entertain an application for a writ of habeas corpus in a case such as this. 28 U. S. C. §§ 2241, 2254. The issue, as in the Davis case, goes rather to the appro
In Davis, supra, the petitioner was indicted by a federal grand jury upon a charge of attempted bank robbery. Federal Rule Crim. Proc. 12 provides that a defendant in a federal criminal case who wants to challenge the constitutional validity of the grand jury that indicted him must do so by motion before trial; otherwise he is deemed to have waived such a challenge, except for “cause shown."
“We think it inconceivable that Congress, having in the criminal proceeding foreclosed the raising of a claim such as this after the commencement of trial in the absence of a showing of 'cause' for relief from waiver, nonetheless intended to perversely negate the Rule’s purpose by permitting an entirely different but much more liberal requirement of waiver in federal habeas proceedings. We believe that the necessary effect of the congressional adoption of Rule 12 (b) (2) is to provide that a claim*540 once waived pursuant to that Rule may not later be resurrected, either in the criminal proceedings or in federal habeas, in the absence of the showing of ‘cause’ which that Rule requires. We therefore hold that the waiver standard expressed in Rule 12 (b) (2) governs an untimely claim of grand jury discrimination, not only during the criminal proceeding, but also later on collateral review.” 411 U. S., at 242.
See also Shotwell Mfg. Co. v. United States, 371 U. S. 341, 361-364.
As the Court in Davis pointed out, a time requirement such as that contained in Rule 12 serves interests far more significant than mere judicial convenience:
“The waiver provisions of Rule 12 (b) (2) are operative only with respect to claims of defects in the institution of criminal proceedings. If its time limits are followed, inquiry into an alleged defect may be concluded and, if necessary, cured before the court, the witnesses, and the parties have gone to the burden and expense of a trial. If defendants were allowed to flout its time limitations, on the other hand, there would be little incentive to comply with its terms when a successful attack might simply result in a new indictment prior to trial. Strong tactical considerations would militate in favor of delaying the raising of the claim in hopes of an acquittal, with the thought that if those hopes did not materialize, the claim could be used to upset an otherwise valid conviction at a time when repros-ecution might well be difficult.” 411 U. S., at 241.
The Louisiana time limitation applicable in the present case was obviously designed to serve precisely these same important purposes, as the Court specifically recognized more than 20 years ago in a case involving this
“It is beyond question that under the Due Process Clause of the Fourteenth Amendment Louisiana may attach reasonable time limitations to the assertion of federal constitutional rights. More particularly, the State may require prompt assertion of the right to challenge discriminatory practices in the make-up of a grand jury.” Id., at 97 (footnote omitted).
“Not only may the prompt determination of such preliminary matters avoid the necessity of a second trial, but a long delay in its determination, such as here, makes it extremely difficult in this class of case for the State to overcome the prima facie claim which may be established by a defendant. Material witnesses and grand jurors may die or leave the jurisdiction, and memories as to intent or specific practices relating to the selection of a particular grand jury may lose their sharpness. Furthermore, a successful attack on a grand jury that sat several years earlier may affect other convictions based on indictments returned by the same grand jury.” Id., at 98 n. 5.
If, as Davis held, the federal courts must give effect to these important and legitimate concerns in § 2255 proceedings, then surely considerations of comity and federalism require that they give no less effect to the same clear interests when asked to overturn state criminal convictions. Those considerations require that recognition be given “to the legitimate interests of both State and National Governments, and . . . [that] the National Government, anxious though it may be to vindicate and protect federal rights and federal interests, always [endeavor] to do so in ways that will not unduly
We conclude, therefore, that the Court of Appeals was correct in holding that the rule of Davis v. United States applies with equal force when a federal court is asked in a habeas corpus proceeding to overturn a state-court conviction because of an allegedly unconstitutional grand jury indictment.
It is so ordered.
Mr. Justice Marshall took no part in the decision of this case. Mr. Justice Stevens took no part in the consideration or decision of this case.
At the time of Francis’ trial Art. 202 of the Louisiana Code of Criminal Procedure (1928) required that all objections to a grand jury must be raised before the expiration of the third judicial day following the end of the grand jury’s term or before trial, whichever was earlier. State v. Wilson, 204 La. 24, 14 So. 2d 873; State v. Chianelli, 226 La. 552, 76 So. 2d 727. See Michel v. Louisiana, 350
While Negroes did serve on that grand jury, the District Court held that the practice the State followed at that time of excluding daily wage earners from grand jury service operated to exclude a disproportionate number of Negroes.
This question has been explicitly left open in previous cases. See Davis v. United States, 411 U. S. 233, 242-243; Parker v. North Carolina, 397 U. S. 790, 798.
Before.December 1, 1975, this requirement was embodied in paragraph (b) (2) of Rule 12. It is now contained in paragraphs (b) (2) and (f) of that Rule.
In a case where the state courts have declined to impose a waiver but have considered the merits of the prisoner's claim, different considerations would, of course, be applicable. See Lefkowitz v. Newsome, 420 U. S. 283.
See Davis v. United States, 411 U. S., at 244-245. “The presumption of prejudice which supports the existence of the right is not inconsistent with a holding that actual prejudice must be shown in order to obtain relief from a statutorily provided waiver for failure to assert it in a timely manner.” Id., at 245.
Dissenting Opinion
dissenting.
I dissent. Fay v. Noia, 372 U. S. 391 (1963), was a
We should call to mind what was said in Fay. Fay established the principle which was reaffirmed in Henry v. Mississippi, 379 U. S. 443, 452 (1965), and only last Term in Lefkowitz v. Newsome, 420 U. S. 283, 290 n. 6 (1975), that “even when state procedural grounds are adequate to bar direct review of a conviction in this Court, federal habeas corpus relief is nonetheless available to litigate the defendant’s constitutional claims unless there has been a deliberate bypass of the state procedures.” Ibid. (emphasis supplied); 372 U. S., at 428-434,438-439. See also, e. g., Camp v. Arkansas, 404 U. S. 69 (1971). Fay acknowledged that “orderly criminal procedure is a desideratum, and of course there must be sanctions for the flouting of such procedure. But that state interest 'competes . . . against an ideal . . . [the] ideal of fair procedure.’ ” 372 U. S., at 431 (citation omitted). Fay rejected the legitimacy of a “state interest in an airtight system of forfeitures,” id., at 432, explicitly addressed the extent to which considerations of federalism should bar federal habeas corpus review, and determined that “deliberate bypass” was the equivalent of the “knowing and intelligent” waiver standard of Johnson v. Zerbst, 304 U. S. 458 (1938):
“We fully grant. . . that the exigencies of federalism warrant a limitation whereby the federal judge has the discretion to deny relief to one who has deliberately sought to subvert or evade the orderly adjudication of his federal defenses in the state courts. Surely no stricter rule is a realistic neces*544 sity. ... [I]f because of inadvertence or neglect he runs afoul of a state procedural requirement, and thereby forfeits his state remedies, appellate and collateral, as well as direct review thereof in this Court, those consequences should be sufficient to vindicate the State’s valid interest in orderly procedure. Whatever residuum of state interest there may be under such circumstances is manifestly insufficient in the face of the federal policy, drawn from the ancient principles of the writ of habeas corpus, embodied both in the Federal Constitution and in the habeas corpus provisions of the Judicial Code, and consistently upheld by this Court, of affording an effective remedy for restraints contrary to the Constitution.
“Although we hold that the jurisdiction of the federal courts on habeas corpus is not affected by procedural defaults incurred by the applicant during the state court proceedings, we recognize a limited discretion in the federal judge to deny relief to an applicant under certain circumstances .... Narrowly circumscribed, in conformity to the historical role of the writ of habeas corpus as an effective and imperative remedy for detentions contrary to fundamental law, the principle is unexceptionable. We therefore hold that the federal habeas judge may in his discretion deny relief to an applicant who has deliberately by-passed the orderly procedure of the state courts and in so doing has forfeited his state court remedies.
“But we wish to make very clear that this grant of discretion is not to be interpreted as a permission to introduce legal fictions into federal habeas corpus. The classic definition of waiver enunciated in Johnson v. Zerbst, 304 U. S. 458, 464 — ‘an intentional relinquishment or abandonment of a known right or*545 privilege’ — furnishes the controlling standard. If a habeas applicant, after consultation with competent counsel or otherwise, understandingly and knowingly forewent the privilege of seeking to vindicate his federal claims in the state courts, whether for strategic, tactical, or any other reasons that can fairly be described as the deliberate by-passing of state procedures, then it is open to the federal court on habeas to deny him all relief if the state courts refused to entertain his federal claims on the merits — though of course only after the federal court has satisfied itself, by holding a hearing or by some other means, of the facts bearing upon the applicant’s default. Cf. Price v. Johnston, 334 U. S. 266, 291. At all events we wish it clearly understood that the standard here put forth depends on the considered choice of the petitioner. ... A choice made by counsel not participated in by the petitioner does not automatically bar relief. Nor does a state court’s finding of waiver bar independent determination of the question by the federal courts on habeas, for waiver affecting federal rights is a federal question.” 372 U. S., at 433-434, 438 — 439 (emphasis supplied).
Despite Fay’s unqualified holding that a state procedural default can bar federal habeas relief sought by a state prisoner who was denied fundamental constitutional rights only if the petitioner deliberately bypassed orderly state procedures, the Court now rejects that “deliberate bypass” standard in the context of a constitutional challenge to the composition of a grand jury.
If this case were an isolated instance of infidelity to the teaching of Fay, it might be seen as a simple aberration. But it is particularly distressing in light of decisions such as Estelle v. Williams, ante, p. 501, where the Court also exposes its hostility toward and makes substantial inroads into the precedential force of Fay
Today’s opinion is notably deficient in that respect. After properly conceding that “[tjhere can be no question of a federal district court’s power to entertain an application for a writ of habeas corpus in a case such as this,” ante, at 538, the Court notes that Davis v. United States, 411 U. S. 233 (1973), sustained Fed. Rule Crim.
The defects in this analysis are glaring. As my Brother Marshall pointed out in dissent in Davis, see 411 U. S., at 245-257, there was no justifiable basis for the Court’s holding there. I still concur in the reasoning of that dissent, and therefore I will not repeat those arguments here. But more fundamentally for purposes of this case, it must be emphasized that the decision in Davis was at least based on the notion that Congress intended that the availability of collateral relief for federal prisoners under § 2255 would be governed by the same rules it had determined would govern the availability of relief during the criminal proceeding itself. See 411 U. S., at 241-243.
Moreover, even if the Court were to carve out an exception to Fay for waiver of the right to challenge the composition of grand juries on the ground that the rule of Davis v. United States should apply “with equal force” to proceedings under § 2254 as to those under § 2255, there is no basis for the Court’s inexplicable conclusion that petitioner must show not only “cause” for the untimeliness of the challenge, but also “actual preju
Indeed, the Court’s apparent overruling of Fay at least for constitutional challenges to the composition of grand
Two months later, the State appointed uncompensated counsel for petitioner. During the period before trial petitioner’s counsel, who was in failing health and who had not practiced criminal law for several years, took essentially no action with respect to petitioner’s defense. Not until the day before trial did counsel file any motions in this capital case, and it was only then that he filed such elementary motions as an application for a bill of particulars, a motion to quash the indictment on vagueness grounds, and a discovery motion seeking production of copies of the confessions petitioner had allegedly made to the police while he was still unrepresented. No challenge was made to the composition of the grand jury that had indicted petitioner, and petitioner was informed neither of the fact that such a challenge was possible nor of the fact that his counsel had not made such a challenge.. On the day of petitioner’s one-day trial, his motion to exclude the statements made to the police was denied without hearing. Petitioner was convicted of felony murder and sentenced to life imprisonment, while his two older accomplices, who after plea bargaining had pled guilty, each received 8-year prison terms.
That court granted the writ on the ground that the Orleans Parish grand jury, which had been chosen by the Orleans Parish Jury Commission intentionally and systematically to exclude daily wage earners, was unconstitutionally constituted in that it excluded a disproportionate number of blacks and was not an impartial jury representing a cross-section of the community. The court, relying on Fay v. Noia, 372 U. S. 391 (1963), and Johnson v. Zerbst, 304 U. S. 458 (1938), noted that although petitioner could not now raise his grand jury challenge in the state courts, there was no similar bar to federal habeas relief because petitioner had not intentionally relinquished or abandoned his constitutional
Given these facts, the Court's unexplained imposition of an “actual prejudice” requirement for collateral relief from the state procedural default looms even more oppressive. The District Court has found that the grand jury that indicted petitioner was unconstitutionally composed, and that petitioner neither knowingly and intelligently waived his right to a proper grand jury indictment nor deliberately bypassed the state procedures for adjudicating his federal allegations, thus meeting Fay’s prerequisites for habeas relief. Moreover, the District Court found that petitioner has shown sufficient “cause” for relief under the Davis test for relief from a procedural “waiver.” This Court, recognizing that petitioner has overcome the hurdles of showing an unconstitution
Moreover, the Court, in addition to failing to supply any justifications for this requirement, fails to supply any content to it. One suspects that a habeas petitioner will never be able to demonstrate “actual” prejudice, if the Court intends by that to mean he must prove, by some standard, that he would not in fact have been indicted for a particular crime had the grand jury met constitutional standards. The Fifth Circuit’s hypothetical for “actual prejudice” was a situation in which petitioner’s copartici-pants were white, and the unconstitutionally composed grand jury failed to indict them. Of course, such a clear situation will seldom eventuate, and it is difficult to see how petitioner, whose coparticipants were also black, could ever show such “actual prejudice.”
It would seem that, at a minimum, if the Court were to impose any “prejudice” requirement, it should require the State, once the racial bias of the grand jury is shown, to demonstrate that the constitutional deprivation was harmless error in that petitioner would have, beyond any reasonable doubt, been indicted for the same offense by a constitutionally composed grand jury. Such a test would at least allow the clearly justifiable relief sought in this case. For a constitutionally constituted grand jury was of the utmost importance to petitioner. The facts concerning the crime were essentially undisputed, and the pivotal decision in this case was invocation of the felony murder doctrine in an extremely rare factual context laden with racial overtones. If there was any case in which a constitutionally composed grand jury could perform its “historic function” of determining
I would reverse the Court of Appeals and remand with direction to reinstate the order of the District Court dated September 20, 1973, modified however to postpone execution of the writ and release of the petitioner to afford the State a specified time from the date of the entry of the reinstated order within which to indict and try the petitioner.
Although the Fifth Amendment's provision for presentment or indictment by grand jury has not been extended against the States, Hurtado v. California, 110 U. S. 516, 538 (1884), a properly constituted grand jury is a fundamental constitutional right when the State proceeds by grand jury indictment.
“For over 90 years, it has been established that a criminal convic
Moreover, the Court has never fully addressed the constitutional dimensions of the waiver problem, and certainly failed to do so in Davis. “[W]aiver affecting federal rights is a federal question.” Fay v. Noia, 372 U. S. 391, 439 (1963). If, as a matter of consti
Furthermore, I am puzzled by the Court’s statement that “considerations of comity and federalism require” that the rule of Davis be applicable to federal habeas petitions brought by state prisoners. E. g., ante, at 541 (emphasis supplied). It is one thing to say that, for whatever unarticulated reason underlies today’s decision, federal courts as a discretionary matter should not remedy certain unconstitutionally obtained convictions rendered by state courts. However, since I do not understand that today’s is a constitutional decision, if Congress were legislatively to overrule it and require habeas relief in these circumstances, plainly the Court could not refuse to enforce the congressional mandate on the basis of its own notions of “comity and federalism.”
Davis v. United States does not support this holding. See ante, at 542 n. 6. Davis, in analyzing Rule 12 (b)(2), affirmed the District Court ruling that no “cause” for relief had been shown in light of the facts, inter alia, that the same method of grand jury selection had been employed for a number of years, that there were no racial overtones to the case, that the challenge was made three years after petitioner’s conviction, and that the Government’s case was strong. 411 U. S., at 235-236, 243-244. These factors, which were used in evaluating the existence of “cause,” clearly are not all related to “prejudice.” True, Davis also noted that the District Court had taken absence of prejudice into account in denying relief, and held that this was permissible. Id., at 244. But plainly the existence of prejudice was deemed simply to be one means of demonstrating “cause" for relief. The Court thus addressed petitioner’s contention that Peters v. Kiff, 407 U. S. 493 (1972), which held that prejudice is presumed in cases where racial discrimination is alleged in grand jury composition, mandated that sufficient prejudice was therefore demonstrated to establish “cause.” The Court, in that context, made the statement quoted by the Court today, and concluded that although the unconstitutional composition of the grand jury alone would not justify relief, “actual prejudice” would be deemed sufficient to establish “cause” within the meaning of Rule 12 (b) (2). However, it was clear that in the absence of prejudice other factors could also establish “cause.” Thus, Davis simply provides no support for the Court’s implication in n. 6 that only “actual prejudice” justifies relief from a procedural default. Certainly the Court cannot be suggesting that the flexible “cause shown” standard of Rule 12 (b) (2) is now to be similarly contracted when federal judges exercise their discretion during the course of a trial or during collateral proceedings.
Today’s decision may be read to stop short of overruling Fay across the board only if the Court is holding that the attachment of the consequence of “waiver” to the failure to make timely objections required by state law depends upon the constitutional right involved. That would, of course, comport with the Court’s unfortunate trend of diluting the standards by which waiver of constitutional rights might be accomplished. See, e. g., Schneckloth v. Bustamonte, 412 U. S. 218 (1973). Many of the quotations in the Court’s opinion would appear to indicate that the Court conceives of the State’s interest in securing waivers of the right to a constitutionally composed grand jury as somehow different from its interest in securing the waiver of other constitutional rights. Perhaps there is some notion of “harmless error” underlying that belief. Whatever it is, the Court should articulate any perceived bases for such a differentiation. I cannot believe that the Court would allow States, merely by passing numerous procedural rules requiring objections at particular times, to eviscerate the “knowing and intelligent waiver” doctrine of Johnson v. Zerbst, 304 U. S. 458 (1938), with respect to such rights as the right to counsel and the right to a jury trial and a fair and impartial jury, or the requirement that the State prove every element of a crime by proof beyond a reasonable doubt. It may be, however, that the Court is rejecting Fay’s principle that waiver of constitutional rights must ordinarily be made personally by the defendant. See Estelle v. Williams, ante, p. 513 (Powell, J., concurring). But here again, the Court should address that issue and inform us what “trial-type” rights, if any, may be waived for an accused by his lawyer. Moreover, if the Court is embarking on a program of diluting Fay standards to bind the accused by waivers by counsel, some concrete content should be given the Sixth Amendment guarantee of effective assistance of counsel and some explanation made of what actually constitutes action “within the range of competence demanded of attorneys in criminal eases.” McMann v. Richardson, 397 U. S. 759, 771 (1970); Tollett v. Henderson, 411 U. S. 258, 266 (1973); see Davis, 411 U. S., at 234 n. 1. Indeed, if defendants’ constitutional rights are to be controlled by counsel’s conduct, a more exacting scrutiny of counsel’s conduct over the full course of the criminal process should be made.
Although there is some indication in the record that state law prohibited a guilty plea by a minor to a charge of manslaughter,
“Q. Was there any reason why this man didn’t plead guilty to manslaughter, Francis?
“A. Sure, there is a reason, the State was out to put him in the electric chair.”
The Court of Appeals vacated the relief even though it agreed that "cause” had been shown sufficient to satisfy the Davis test for collateral review of federal convictions in "that Francis had been represented by a civil lawyer, unskilled in the intricacies of criminal practice, who had, by his inexperience, allowed the time for challenging the indictment to pass without objecting to the grand jury’s composition.” 496 F. 2d 896, 897-898 (CA5 1974). The Court of Appeals held, in an opinion also devoid of analysis, that a State might base a finding of waiver of a federal constitutional claim on failure to object within the time prescribed by a state procedural rule, -without more, and that a federal habeas court must give effect to that state requirement “absent a. showing of actual prejudice by the habeas petitioner.” Id., at 897.
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