Trevino v. Thaler
Trevino v. Thaler
Opinion
*416
In
Martinez v. Ryan,
We held that lack of counsel on collateral review might excuse defendant's state law procedural default. We wrote:
"[A] procedural default will not bar a federal habeas court from hearing a substantial claim of ineffective assistance at trial if, in the [State's] initial-review collateral proceeding, there was no counsel or counsel in that proceeding was ineffective."Id., at ----,132 S.Ct., at 1320 .
At the same time we qualified our holding. We said that the holding applied where state procedural law said that "claims of ineffective assistance of trial counsel
must
*1915
be raised in an initial-review collateral proceeding."
In this case Texas state law does not say "must." It does not on its face
require
a defendant initially to raise an ineffective-assistance-of-trial-counsel claim in a state collateral review proceeding. Rather, that law appears at first glance to permit (but not require) the defendant initially to raise a claim of ineffective assistance of trial counsel on direct appeal. The structure and design of the Texas system in actual operation, however, make it "virtually impossible" for an ineffective assistance claim to be presented on direct review. See
Robinson v. State,
I
A Texas state court jury convicted petitioner, Carlos Trevino, of capital murder. After a subsequent penalty-phase hearing, the jury found that Trevino "would commit criminal
*418
acts of violence in the future which would constitute a continuing threat to society," that he "actually caused the death of Linda Salinas or, if he did not actually cause her death, he intended to kill her or another, or he anticipated a human life would be taken," and that "there were insufficient mitigating circumstances to warrant a sentence of life imprisonment" rather than death.
Eight days later the judge appointed new counsel to handle Trevino's direct appeal. App. 1, 3. Seven months after sentencing, when the trial transcript first became available, that counsel filed an appeal. The Texas Court of Criminal Appeals then considered and rejected Trevino's appellate claims. Trevino's appellate counsel did not claim that Trevino's trial counsel had been constitutionally ineffective during the penalty phase of the trial court proceedings. Id., at 12-24.
About six months after sentencing, the trial judge appointed Trevino a different new counsel to seek
state collateral relief
. As Texas' procedural rules provide, that third counsel initiated collateral proceedings while Trevino's appeal still was in progress. This new counsel first sought postconviction relief (through collateral review) in the trial court itself. After a hearing, the trial court denied relief; and the Texas Court of Criminal Appeals affirmed that denial.
Id.,
at 25-26, 321-349. Trevino's postconviction claims included a claim that his trial counsel was constitutionally ineffective during the penalty phase of Trevino's trial, but it
did not include a claim that trial counsel's ineffectiveness consisted in part of a failure adequately to investigate and to present mitigating circumstances during the penalty phase of Trevino's trial.
Id
., at 321-349; see
Wiggins v. Smith,
*419 Trevino then filed a petition in federal court seeking a writ of habeas corpus. The Federal District Court appointed another new counsel to represent him. And that counsel claimed for the first time that Trevino had not received constitutionally effective counsel during the penalty phase of his trial in part because of trial counsel's failure to adequately investigate and present mitigating circumstances during the penalty phase. App. 438, 456-478. Federal habeas counsel pointed out that Trevino's trial counsel had presented only one witness at the sentencing phase, namely Trevino's aunt. The aunt had testified that Trevino had had a difficult upbringing, *1916 that his mother had an alcohol problem, that his family was on welfare, and that he had dropped out of high school. She had added that Trevino had a child, that he was good with children, and that he was not violent. Id., at 285-291.
Federal habeas counsel then told the federal court that Trevino's trial counsel should have found and presented at the penalty phase other mitigating matters that his own investigation had brought to light. These included, among other things, that Trevino's mother abused alcohol while she was pregnant with Trevino, that Trevino weighed only four pounds at birth, that throughout his life Trevino suffered the deleterious effects of Fetal Alcohol Syndrome, that as a child Trevino had suffered numerous head injuries without receiving adequate medical attention, that Trevino's mother had abused him physically and emotionally, that from an early age Trevino was exposed to, and abused, alcohol and drugs, that Trevino had attended school irregularly and performed poorly, and that Trevino's cognitive abilities were impaired. Id., at 66-67.
The federal court stayed proceedings to permit Trevino to raise this claim in state court. The state court held that because Trevino had not raised this claim during his initial postconviction proceedings, he had procedurally defaulted the claim,
id.,
at 27-28; and the Federal District Court then
*420
denied Trevino's ineffective-assistance-of-trial-counsel claim,
id.,
at 78-79. The District Court concluded in relevant part that, despite the fact that "even the most minimal investigation ... would have revealed a wealth of additional mitigating evidence," an independent and adequate state ground (namely Trevino's failure to raise the issue during his state postconviction proceeding) barred the federal habeas court from considering the ineffective-assistance-of-trial-counsel claim.
Id.,
at 131-132. See
Coleman v. Thompson,
Trevino appealed. The Fifth Circuit, without considering the merits of Trevino's ineffective-assistance-of-trial-counsel claim, agreed with the District Court that an independent, adequate state ground, namely Trevino's procedural default, barred its consideration.
That is because in
Ibarra
the Circuit recognized that
Martinez
had said that its good-cause exception applies where state law says that a criminal defendant
must
initially raise his claim of ineffective assistance of trial counsel in initial state collateral review proceedings.
*421 II
A
We begin with
Martinez
. We there recognized the historic importance of federal habeas corpus proceedings as a method for preventing individuals from being
*1917
held in custody in violation of federal law.
Martinez,
566 U.S., at ----,
We similarly recognized the importance of federal habeas corpus principles designed to prevent federal courts from interfering with a State's application of its own firmly established, consistently followed, constitutionally proper procedural rules.
Martinez,
At the same time, we pointed out that "[t]he doctrine barring procedurally defaulted claims from being heard is not without exceptions. A prisoner may obtain federal review of a defaulted claim by showing cause for the default and prejudice from a violation of federal law."
*422
Martinez argued that his lawyer should have raised, but did not raise, his claim of ineffective assistance of trial counsel during state collateral review proceedings.
We ultimately held that a "narrow exception" should "modify the unqualified statement in Coleman that an attorney's ignorance or inadvertence in a postconviction proceeding does not qualify as cause to excuse a procedural default." Martinez, 566 U.S., at ----, 132 S.Ct., at 1315. We did so for three reasons. First, the "right to the effective assistance of counsel at trial is a bedrock principle in our justice system.... Indeed, the right to counsel is the foundation for our adversary system." Id., at ----, 132 S.Ct., at 1317.
Second, ineffective assistance of counsel on direct appellate review could amount to "cause," excusing a defendant's failure to raise (and thus procedurally defaulting) a constitutional claim. Id., at ----, 132 S.Ct., at 1316-1317. But States often have good reasons for initially reviewing claims of ineffective assistance of trial counsel during state collateral proceedings rather than on direct appellate review. Id., at ----, 132 S.Ct., at 1317-1318. That is because review of such a claim normally requires a different attorney, because it *1918 often "depend[s] on evidence outside the trial record," and because efforts to expand the record on direct appeal may run afoul of "[a]bbreviated deadlines," depriving the new attorney of "adequate time ... to investigate the ineffective-assistance claim." Id., at ----, 132 S.Ct., at 1318. *423 Third, where the State consequently channels initial review of this constitutional claim to collateral proceedings, a lawyer's failure to raise an ineffective-assistance-of-trial-counsel claim during initial-review collateral proceedings, could (were Coleman read broadly) deprive a defendant of any review of that claim at all. Martinez,supra, at ----, 132 S.Ct., at 1316.
We consequently read
Coleman
as containing an exception, allowing a federal habeas court to find "cause," thereby excusing a defendant's procedural default, where (1) the claim of "ineffective assistance of trial counsel" was a "substantial" claim; (2) the "cause" consisted of there being "no counsel" or only "ineffective" counsel during the state collateral review proceeding; (3) the state collateral review proceeding was the "initial" review proceeding in respect to the "ineffective-assistance-of-trial-counsel claim"; and (4) state law
requires
that an "ineffective assistance of trial counsel [claim] ... be raised in an initial-review collateral proceeding."
Martinez,
B
Here state law differs from that in Martinez in respect to the fourth requirement. Unlike Arizona, Texas does not expressly require the defendant to raise a claim of ineffective assistance of trial counsel in an initial collateral review proceeding. Rather Texas law on its face appears to permit (but not require) the defendant to raise the claim on direct appeal . Does this difference matter?
1
Two characteristics of the relevant Texas procedures lead us to conclude that it should
not
make a difference in respect to the application of
Martinez
. First, Texas procedure makes it "virtually impossible for appellate counsel to adequately present an ineffective assistance [of trial counsel] claim" on direct review.
Robinson,
As the Court of Criminal Appeals has also noted, a convicted defendant may make a motion in the trial court for a new trial in order to develop the record on appeal. See
Reyes v. State,
See also
Thompson v. State,
*425
only "[r]arely will a reviewing court be provided the opportunity to make its determination on direct appeal with a record capable of providing a fair evaluation of the merits of the claim ...");
Goodspeed v. State,
This opinion considers whether, as a systematic matter, Texas affords meaningful review of a claim of ineffective assistance of trial counsel. The present capital case illustrates why it does not. The trial court appointed new counsel for Trevino eight days after sentencing. Counsel thus had 22 days to decide whether, and on what grounds, to make a motion for a new trial. She then
may
have had an additional 45 days to provide support for the motion but
without the help of a transcript
(which did not become available until much later-seven months after the trial). It would have been difficult, perhaps impossible, within that time frame to investigate Trevino's background, determine whether trial counsel had adequately done so, and then develop evidence about additional mitigating background circumstances. See
Reyes,
Second, were
Martinez
not to apply, the Texas procedural system would create significant unfairness. That is because Texas courts in effect have directed defendants to raise
*426
claims of ineffective assistance of trial counsel on collateral, rather than on direct, review. As noted, they have explained why direct review proceedings are likely inadequate. See
supra,
at 1918 - 1919. They have held that failure to raise the claim on direct review does not bar the defendant from raising the claim in collateral proceedings. See,
e.g.,
Robinson,
The criminal bar, not surprisingly, has taken this strong judicial advice seriously. See Guidelines and Standards for Texas Capital Counsel, 69 Tex. B.J. 966, 977, Guideline 12.2(B)(1)(d) (2006) ("[S]tate habeas corpus is the first opportunity for a capital client to raise challenges to the effectiveness of trial or direct appeal counsel"). Texas now can point to only a comparatively small number of cases in which a defendant has used the motion-for-a-new-trial mechanism to expand the record on appeal and then received a hearing
*427
on his ineffective-assistance-of-trial-counsel claim on direct appeal. Brief for Respondent 35-36, and n. 6 (citing,
inter alia,
State v. Morales,
Respondent argues that Texas courts enforce the relevant time limits more flexibly than we have suggested. Sometimes, for example, an appellate court can abate an appeal and remand the case for further record development in the trial court. See
Cooks v. State,
Respondent further argues that there is no equitable problem to be solved in Texas because if counsel fails to bring a
*428
substantial claim of ineffective assistance of trial counsel
on direct appeal,
the ineffectiveness of
appellate
counsel may constitute cause to excuse the procedural default. See
Murray v. Carrier,
For the reasons just stated, we believe that the Texas procedural system-as a matter of its structure, design, and operation-does not offer most defendants a meaningful opportunity to present a claim of ineffective assistance of trial counsel on direct appeal. What the Arizona law prohibited by explicit terms, Texas law precludes as a matter of course. And, that being so, we can find no significant difference between this case and Martinez . The very factors that led this Court to create a narrow exception to Coleman in Martinez similarly argue for the application of that exception here.
The right involved-adequate assistance of counsel at trial-is similarly and critically important. In both instances practical considerations, such as the need for a new lawyer, the need to expand the trial court record, and the need for sufficient time to develop the claim, argue strongly for initial consideration of the claim during collateral, rather than on direct, review. See
Martinez,
566 U.S., at ----, 132 S.Ct., at 1318; see also
Massaro v. United States,
*429 Thus, for present purposes, a distinction between (1) a State that denies permission to raise the claim on direct appeal and (2) a State that in theory grants permission but, as a matter of procedural design and systemic operation, denies a meaningful opportunity to do so is a distinction without a difference. In saying this, we do not (any more than we did in Martinez ) seek to encourage States to tailor direct appeals so that they provide a fuller opportunity to raise ineffective-assistance-of-trial-counsel claims. That is a matter for the States to decide. And, as we have said, there are often good reasons for hearing the claim initially during collateral proceedings.
III
For these reasons, we conclude that where, as here, state procedural framework, by reason of its design and operation, makes it highly unlikely in a typical case that a defendant will have a meaningful opportunity to raise a claim of ineffective assistance of trial counsel on direct appeal, our holding in Martinez applies:
"[A] procedural default will not bar a federal habeas court from hearing a substantial claim of ineffective assistance at trial if, in the initial-review collateral proceeding, there was no counsel or counsel in that proceeding was ineffective." 566 U.S., at ----, 132 S.Ct., at 1320.
Given this holding, Texas submits that its courts should be permitted, in the first instance, to decide the merits of Trevino's ineffective-assistance-of-trial-counsel claim. Brief for Respondent 58-60. We leave that matter to be determined on remand. Likewise, we do not decide here whether Trevino's claim of ineffective assistance of trial counsel is substantial or whether Trevino's initial state habeas attorney was ineffective.
For these reasons we vacate the Fifth Circuit's judgment and remand the case for further proceedings consistent with this opinion.
It is so ordered.
Chief Justice ROBERTS, with whom Justice ALITO joins, dissenting.
*430
In our federal system, the "state courts are the principal forum for asserting constitutional
*1922
challenges to state convictions."
Harrington v. Richter,
562 U.S. ----, ----,
In order to prevent circumvention of the state courts and the unjustified intrusion on state sovereignty that results, we have held that "a state prisoner [who] fails to exhaust state remedies ... [or] has failed to meet the State's procedural requirements for presenting his federal claims" will not be entitled to federal habeas relief unless he can show "cause" to excuse his default.
Coleman v. Thompson,
Cause comes in different forms, but the one relevant here is attorney error. We recognized in
Coleman
that "[w]here a [habeas] petitioner defaults a claim as a result of the denial of the right to effective assistance of counsel, the State, which is responsible for the denial as a constitutional matter, must bear the cost of any resulting default."
Last Term, in
Martinez v. Ryan,
we announced a "narrow exception" to
Coleman
's"unqualified statement ... that an attorney's ignorance or inadvertence in a postconviction proceeding does not qualify as cause to excuse a procedural default."
We were unusually explicit about the narrowness of our decision: "The holding in this case does not concern attorney *1923 errors in other kinds of proceedings," and "does not extend to attorney errors in any proceeding beyond the first occasion the State allows a prisoner to raise a claim of ineffective assistance at trial." Id., at ---- - ----, 132 S.Ct., at 1320."Our holding here addresses only the constitutional claims presented in this case, where the State barred the defendant from raising the claims on direct appeal." Id., at ----, 132 S.Ct., at 1320. In "all but the limited circumstances *432 recognized here," we said, "[t]he rule of Coleman governs." Id., at ----, 132 S.Ct., at 1320.
This aggressively limiting language was not simply a customary nod to the truism that "we decide only the case before us."
Upjohn Co. v. United States,
Today, with hardly a mention of these concerns, the majority throws over the crisp limit we made so explicit just last Term. We announced in Martinez that the exception applies "where the State barred the defendant from raising the claims on direct appeal." Id., at ----, 132 S.Ct., at 1320. But today, the Court takes all the starch out of its rule with an assortment of adjectives, adverbs, and modifying clauses: Martinez 's"narrow exception" now applies whenever the "state procedural framework, by reason of its design and operation, makes it highly unlikely in a typical case that a defendant will have a meaningful opportunity" to raise his claim on direct appeal. Ante, at 1921.
*433 The questions raised by this equitable equation are as endless as will be the state-by-state litigation it takes to work them out. We are not told, for example, how meaningful is meaningful enough, how meaningfulness is to be measured, how unlikely highly unlikely is, how often a procedural framework's "operation" must be reassessed, or what case qualifies as the "typical" case. Take just this last example: The case before us involved a jury trial (hardly typical), a capital conviction (even less typical), and-as the majority emphasizes-a particular species of ineffectiveness claim that depends on time-consuming investigation of personal background and other mitigating circumstances. Ante, at 1919. Yet the majority holds it up, apparently, as a case that is typical in the relevant sense, saying that "[t]he present capital case illustrates" the "systematic" working of Texas's procedural framework. Ibid.
Given that the standard is so opaque and malleable, the majority cannot describe the exception applied here as narrow, and does not do so. Gone are the repeated words of limitation that characterized *1924 the Martinez opinion. Gone too is the clear choice that Martinez gave the States about how to structure their criminal justice systems. Now, the majority offers them a gamble: If a State allows defendants to bring ineffectiveness claims both on direct appeal and in postconviction proceedings, then a prisoner might have to comply with state procedural requirements in order to preserve the availability of federal habeas review, if a federal judge decides that the state system gave the defendant (or enough other "typical" defendants) a sufficiently meaningful opportunity to press his claim.
This invitation to litigation will, in precisely the manner that
Coleman
foreclosed, " 'frustrate both the States' sovereign power to punish offenders and their good-faith attempts to honor constitutional rights.' "
Coleman,
Justice SCALIA, with whom Justice THOMAS joins, dissenting.
I dissent for the reasons set forth in my dissent in
Martinez v. Ryan,
"Our holding here addresses only the constitutional claims presented in this case, where the State barred the defendant from raising the claims on direct appeal."Id., at ----, 132 S.Ct., at 1320.
I wrote in my dissent:
"That line lacks any principled basis, and will not last." Id., at ----, 132 S.Ct., at 1321, n. 1.
The Court says today:
"Texas law on its face appears to permit (but not require) the defendant to raise the claim on direct appeal. Does this difference matter?" "[W]e can find no significant difference between this case and Martinez ." Ante, at 1918, 1920 - 1921 (emphasis removed).
Reference
- Full Case Name
- Carlos TREVINO, Petitioner v. Rick THALER, Director, Texas Department of Criminal Justice, Correctional Institutions Division.
- Cited By
- 1210 cases
- Status
- Published