Davila v. Davis
Davila v. Davis
Opinion
Federal habeas courts reviewing convictions from state courts will not consider claims that a state court refused to hear based on an adequate and independent state procedural ground. A state prisoner may be able to overcome this bar, however, if he can establish "cause" to excuse the procedural default and demonstrate that he suffered actual prejudice from the alleged error. An attorney error does not qualify as "cause" to excuse a procedural default unless the error amounted to constitutionally ineffective assistance of counsel. Because a prisoner does not have a constitutional right to counsel in state postconviction proceedings, ineffective assistance in those proceedings does not qualify as cause to excuse a procedural default. See
Coleman v. Thompson,
In
Martinez v. Ryan,
I
A
On April 6, 2008, a group of family and friends gathered at Annette Stevenson's home to celebrate her granddaughter's birthday. Petitioner Erick Daniel Davila, believing he had seen a member of a rival street gang at the celebration, fired a rifle at the group while they were eating cake and ice cream. He shot and killed Annette and her 5-year-old granddaughter Queshawn, and he wounded three other children and one woman.
After the police arrested petitioner, he confessed to the killings. He stated that he "wasn't aiming at the kids or the woman," but that he was trying to kill Annette's son (and Queshawn's father) Jerry Stevenson and the other "guys on the porch." App. 38. The other "guys on the porch" were, apparently, women.
The State indicted petitioner for capital murder under
B
Petitioner appealed his conviction and sentence. Although his appellate counsel argued that the State presented insufficient evidence to show that he acted with the requisite intent, counsel did not challenge the instruction about transferred intent. The Texas Court of Criminal Appeals affirmed petitioner's conviction and sentence.
Davila v. State,
Petitioner next sought habeas relief in Texas state court. His counsel did not challenge the instruction about transferred intent, nor did he challenge the failure of his appellate counsel to raise the alleged instructional error on direct appeal. The Texas Court of Criminal Appeals denied relief.
Ex parte Davila,
C
Petitioner then sought habeas relief in Federal District Court under
The District Court denied petitioner's § 2254 petition. It concluded that
Martinez
and
Trevino
did not supply cause to excuse the procedural default of petitioner's claim of ineffective assistance of
appellate
counsel because those decisions applied exclusively to claims of ineffective assistance of
trial
counsel. See
Davila v. Stephens,
II
Our decision in this case is guided by two fundamental tenets of federal review of state convictions. First, a state prisoner must exhaust available state remedies before presenting his claim to a federal habeas court. § 2254(b)(1)(A). The exhaustion requirement is designed to avoid the "unseemly" result of a federal court "upset[ting] a state court conviction without" first according the state courts an "opportunity to ... correct a constitutional violation,"
Rose v. Lundy,
Second, a federal court may not review federal claims that were procedurally defaulted in state court-that is, claims that the state court denied based on an adequate and independent state procedural rule.
E.g.,
Beard v. Kindler,
A state prisoner may overcome the prohibition on reviewing procedurally defaulted claims if he can show "cause" to excuse his failure to comply with the state
*2065
procedural rule and "actual prejudice resulting from the alleged constitutional violation."
Wainwright v. Sykes,
It has long been the rule that attorney error is an objective external factor providing cause for excusing a procedural default only if that error amounted to a deprivation of the constitutional right to counsel. See
Edwards v. Carpenter,
In
Martinez,
this Court announced a narrow, "equitable ... qualification" of the rule in
Coleman
that applies where state law requires prisoners to raise claims of ineffective assistance of trial counsel "in an initial-review collateral proceeding," rather than on direct appeal.
Martinez,
III
Petitioner asks us to extend Martinez to allow a federal court to hear a substantial, but procedurally defaulted, claim of ineffective assistance of appellate counsel when a prisoner's state postconviction counsel provides ineffective assistance by failing to raise that claim. We decline to do so.
A
On its face,
Martinez
provides no support for extending its narrow exception to new categories of procedurally defaulted claims.
Martinez
did not purport to displace
Coleman
as the general rule governing procedural default. Rather, it "qualifie[d]
Coleman
by recognizing a narrow exception" that applies only to claims of
*2066
"ineffective assistance of counsel at trial" and only when, "under state law," those claims "must be raised in an initial-review collateral proceeding."
Martinez, supra, at 9, 17,
B
Petitioner also finds no support in the underlying rationale of Martinez . Petitioner's primary argument is that his claim of ineffective assistance of appellate counsel might never be reviewed by any court, state or federal, without expanding the exception to the rule in Coleman . He argues that this situation is analogous to Martinez, where the Court expressed that same concern about claims of ineffective assistance of trial counsel. But the Court in Martinez was principally concerned about trial errors -in particular, claims of ineffective assistance of trial counsel. Ineffective assistance of appellate counsel is not a trial error. Nor is petitioner's rule necessary to ensure that a meritorious trial error (of any kind) receives review.
1
Petitioner argues that allowing a claim of ineffective assistance of appellate counsel to evade review is just as concerning as allowing a claim of ineffective assistance of trial counsel to evade review. Brief for Petitioner 12; see also
The criminal trial enjoys pride of place in our criminal justice system in a way that an appeal from that trial does not. The Constitution twice guarantees the right to a criminal trial, see Art. III, § 2; Amdt. 6, but does not guarantee the right to an appeal at all,
Halbert v. Michigan,
The Court in
Martinez
made clear that it exercised its equitable discretion in view of the unique importance of protecting a defendant's trial rights, particularly the right to effective assistance of trial counsel. As the Court explained, "the limited nature" of its holding "reflect[ed] the importance
*2067
of the right to the effective assistance of
trial
counsel," which is "a bedrock principle in our justice system."
2
Petitioner's rule also is not required to ensure that meritorious claims of trial error receive review by at least one state or federal court-the chief concern identified by this Court in
Martinez
. See
id
., at 10, 12,
Claims of ineffective assistance of appellate counsel, however, do not pose the same risk that a trial error-of any kind-will escape review altogether, at least in a way that could be remedied by petitioner's proposed rule. This is true regardless of whether trial counsel preserved the alleged error at trial. If trial counsel preserved the error by properly objecting, then that claim of trial error "will have been addressed by ... the trial court."
Martinez,
If trial counsel failed to preserve the error at trial, then petitioner's proposed rule ordinarily would not give the prisoner access to federal review of the error, anyway. Effective appellate counsel should not raise every nonfrivolous argument on appeal, but rather only those arguments most likely to succeed.
Smith v. Murray,
Adopting petitioner's proposed rule would be unnecessary to ensure review of a claim of trial error even when a prisoner has a legitimate claim of ineffective assistance of appellate counsel based on something other than a preserved trial error. If an unpreserved trial error was so obvious *2068 that appellate counsel was constitutionally required to raise it on appeal, then trial counsel likely provided ineffective assistance by failing to object to it in the first instance. In that circumstance, the prisoner likely could invoke Martinez or Coleman to obtain review of trial counsel's failure to object. Similarly, if the underlying, defaulted claim of trial error was ineffective assistance of trial counsel premised on something other than the failure to object, then Martinez and Coleman again already provide a vehicle for obtaining review of that error in most circumstances. Petitioner's proposed rule is thus unnecessary for ensuring that trial errors are reviewed by at least one court.
C
The Court in
Martinez
also was responding to an equitable consideration that is unique to claims of ineffective assistance of trial counsel and accordingly inapplicable to claims of ineffective assistance of appellate counsel. In
Martinez,
the State "deliberately cho[se] to move trial-ineffectiveness claims outside of the direct-appeal process, where counsel is constitutionally guaranteed," into the postconviction review process, where we have never held that the Constitution guarantees a right to counsel.
Although this Court acknowledged in
Martinez
that there was nothing inappropriate about the State's choice, it explained that the choice was "not without consequences for the State's ability to assert a procedural default" in subsequent federal habeas proceedings.
The States have not made a similar choice with respect to claims of ineffective assistance of appellate counsel-nor could they. By their very nature, such claims generally cannot be presented until
after
the termination of direct appeal. Put another way, they
necessarily
must be heard in collateral proceedings, where counsel is not constitutionally guaranteed. The fact that claims of appellate ineffectiveness are considered in proceedings in which counsel is not constitutionally guaranteed is a function of the nature of the claim, not of the State's "deliberat[e] cho[ice] to move ... claims outside of the direct-appeal process."
D
Finally, the Court in
Martinez
grounded its decision in part on the belief that its narrow exception was unlikely to impose significant systemic costs. See
1
Adopting petitioner's argument could flood the federal courts with defaulted claims of appellate ineffectiveness. For one thing, every prisoner in the country could bring these claims.
Martinez
currently applies only to States that deliberately choose to channel claims of ineffective assistance of trial counsel into collateral proceedings. See,
e.g.,
Lee v. Corsini,
*2069
(
Martinez
and
Trevino
do not apply to Massachusetts);
Henness v. Bagley,
Extending
Martinez
to defaulted claims of ineffective assistance of appellate counsel would be especially troublesome because those claims could serve as the gateway to federal review of a host of trial errors, while
Martinez
covers only one trial error (ineffective assistance of trial counsel). If a prisoner can establish ineffective assistance of trial counsel under
Martinez,
he ordinarily is entitled to a new trial. See
United States v. Morrison,
An expanded
Martinez
exception, however, would mean that
any
defaulted trial error could result in a new trial. In
Carpenter,
this Court held that, when a prisoner can show cause to excuse a defaulted claim of ineffective assistance of appellate counsel, he can in turn rely on that claim as cause to litigate an underlying claim of trial error that was defaulted due to appellate counsel's ineffectiveness.
Petitioner insists that these concerns are overstated because many of the newly raised claims will be meritless. See Brief for Petitioner 28. But even if that were true, courts would still have to undertake the task of separating the wheat from the chaff. And we are not reassured by petitioner's suggestion that extending
Martinez
would increase only the number of claims in each petition rather than the number of federal habeas petitions themselves. Reply Brief 14. Each additional claim would require the district court to review the prisoner's trial record, appellate briefing, and state postconviction record to determine the claim's viability. This effort could be repeated at each level of federal review. We cannot "assume that these costs would be negligible,"
Murray,
477 U.S., at 487,
2
Expanding
Martinez
would not only impose significant costs on the federal courts,
*2070
but would also aggravate the harm to federalism that federal habeas review necessarily causes. Federal habeas review of state convictions "entails significant costs,"
Engle v. Isaac,
Apart from increasing the sheer frequency of federal intrusion into state criminal affairs, petitioner's proposed rule would also undermine the doctrine of procedural default and the values it serves. That doctrine, like the federal habeas statute generally, is designed to ameliorate the injuries to state sovereignty that federal habeas review necessarily inflicts by giving state courts the first opportunity to address challenges to convictions in state court, thereby "promoting comity, finality, and federalism."
Cullen v. Pinholster,
3
Not only would these burdens on the federal courts and our federal system be severe, but the benefit would-as a systemic matter-be small. To be sure, permitting a state prisoner to bring a meritorious constitutional claim that could not otherwise be heard is beneficial to that prisoner. Petitioner's counsel concedes, however, that relief is granted in, "[i]f any, a very minute number" of "post-conviction ineffective assistance of appellate counsel cases." Tr. of Oral Arg. 14. Indeed, he concedes that the number of meritorious cases is "infinitesimally small."
* * *
For the foregoing reasons, we affirm the judgment of the Court of Appeals.
It is so ordered.
Justice BREYER, with whom Justice GINSBURG, Justice SOTOMAYOR, and Justice KAGAN join, dissenting.
As the Court explains, normally a federal habeas court cannot hear a state prisoner's claim that his trial lawyer was, constitutionally speaking, "ineffective" if the prisoner failed to assert that claim in state *2071 court at the appropriate time, that is, if he procedurally defaulted the claim. See ante, at 2062 (the prisoner's failure to raise his federal claim at the initial-review state collateral proceeding amounts to an "adequate and independent state procedural ground" for denying habeas relief).
But there are equitable exceptions. In
Martinez v. Ryan,
In my view, this same exception (with the same qualifications) should apply when a prisoner raises a constitutional claim of ineffective assistance of appellate counsel. See,
e.g.,
Evitts v. Lucey,
I
Two simple examples help make clear why I believe Martinez and Trevino should govern the outcome of this case.
Example One: Ineffective assistance of trial counsel
. The prisoner claims that his trial lawyer was ineffective, say, because counsel failed to object to an obviously unfair jury selection, failed to point out that the prosecution had promised numerous benefits to its main witness in return for the witness' testimony, or failed to object to an erroneous jury instruction that made conviction and imposition of the death penalty far more likely. Next suppose the prisoner appeals but, per state law, may not bring his ineffective-assistance claim until collateral review in state court (
i.e.,
state habeas corpus), where the prisoner will have a better opportunity to develop his claim and the attorney will be better able to explain his (perhaps strategic) reasons for his actions at trial. Suppose that, on collateral review, the prisoner fails to bring up his ineffective-assistance claim, perhaps because he is no longer represented by counsel or because his counsel there is ineffective. Under these circumstances, if his ineffective-assistance claim is a "substantial" one,
i.e.,
it has "some merit," then
Martinez
and
Trevino
hold that a federal court can hear the claim even though the state habeas court did not consider it. See
Trevino,
Example Two: Ineffective assistance of appellate counsel . Now suppose that a prisoner claims that the trial court made an important error of law, say, improperly instructing the jury, or that the prosecution engaged in misconduct. He believes his lawyer on direct appeal should have raised those errors because they led to his conviction or (as here) a death sentence.
*2072 The appellate lawyer's failure to do so, the prisoner might claim, amounts to ineffective assistance of appellate counsel. The prisoner cannot make this argument on direct appeal, for the direct appeal is the very proceeding in which he is represented by the lawyer he says was ineffective. Next suppose the prisoner fails to raise his appellate lawyer's ineffectiveness at the initial state habeas proceeding, either because he was not represented by counsel in that proceeding or because his counsel there also was ineffective. When he brings his case to the federal habeas court, the State contends that the prisoner's failure to present his claim during the initial state habeas proceeding constitutes a procedural default that precludes federal review of his claim.
Given Martinez and Trevino, the prisoner in the first example who complains about his trial counsel can overcome the procedural default but, in the Court's view today, the prisoner in the second example who complains about his appellate counsel cannot. Why should the law treat the second prisoner differently? Why should the Court not apply the rules of Martinez and Trevino to claims of ineffective assistance of both trial and appellate counsel?
II
As I have said, the Constitution applies similarly to both prisoners: It guarantees them effective assistance of counsel at both trial and during an initial appeal. See
Strickland v. Washington,
Four features of the claim of ineffective assistance of trial counsel led the
Martinez
Court to its conclusion. Each equally applies here. First, the Court stressed the importance of the underlying constitutional right to effective assistance of trial counsel, describing it as "a bedrock principle in our justice system."
*2073
Second, we pointed out in
Martinez
that the "initial" state collateral review proceeding "is the first designated proceeding for a prisoner to raise a claim of ineffective assistance at trial."
This consideration applies
a fortiori
where the constitutional claim at issue is ineffective assistance of appellate counsel. The prisoner cannot raise that kind of claim in the very appeal in which he claims his counsel was ineffective. See
Ha Van Nguyen v. Curry,
Third,
Martinez
pointed out that, unless "counsel's errors in an initial-review collateral proceeding ... establish cause to excuse the procedural default in a federal habeas proceeding, no court will review the prisoner's claims."
The Court argues to the contrary. It says that at least one court-namely, the trial court-will have considered the underlying legal error.
Ante,
at 2067 - 2068. (If not, perhaps trial counsel was ineffective.) But I believe the Court here misses the point. The prisoner's complaint is about the ineffectiveness of his appellate counsel. That ineffectiveness could consist, for example, in counsel's failure to appeal 10 different erroneous decisions of the trial court. The fact that the trial court made those decisions (assuming they are erroneous) does not help the prisoner. To the contrary, it forms the basis of his ineffectiveness claim. In the absence of a
Martinez
-like rule, the prisoner here (and prisoners in similar cases) would receive no review of their ineffective-assistance claims. Moreover, there will be cases in which no court will consider the underlying trial error, either. Suppose that, during the pendency of the appeal, appellate counsel learns of a
Brady
violation, juror misconduct, judicial bias, or some similar violation whose basis was not known during the trial. See
Brady v. Maryland,
*2074
Fourth, the
Martinez
Court believed that its decision would "not ... put a significant strain on state resources."
It therefore seems unlikely that applying
Martinez
to ineffective-assistance-of-appellate-counsel claims will "put a significant strain on" state or federal resources. As I have said, the same limitations as the Court placed upon the assertion of a
Martinez
claim would apply here. And the Court's fear of triggering federal second-guessing of many, if not all, trial errors is of no greater concern here than it was in
Martinez,
for both trial- and appellate-level ineffectiveness claims "could serve as the gateway to federal review of a host of trial errors."
Ante,
at 2069. Given a natural judicial hesitation to second-guess counsels' decisions, it is not surprising that we have no significant evidence of defaulted claims of ineffective assistance with "some merit" flooding the federal courts, either in respect to trial counsel (as in
Martinez
) or in respect to appellate counsel (as here). See
Strickland,
In fact, Texas has supplied some empirical evidence, but that evidence suggests that courts can manage a Martinez exception expanded to include claims of ineffective assistance of appellate counsel. Texas says that in the Ninth Circuit, which has applied Martinez to ineffective-assistance-of-appellate-counsel claims since late 2013, petitioners have used the expanded version of Martinez "in dozens" of federal habeas cases. Brief for Respondent 37. (Texas specifically refers to 10 cases, in only 1 of which the petitioner prevailed. Ibid., n. 13.) During that period, state prisoners filed at least 7,500 federal habeas petitions in the Ninth Circuit. See Ninth Circuit Ann. Rep. 71 (2015) (2,468 cases referred to magistrate judges in 2014; 2,693 in 2015). Hence, Texas' estimate of added workload comes down to an increase of "dozens" of cases out of 7,500 cases in total. That figure represents an increase, but not an increase significant enough to warrant depriving a prisoner of any forum to adjudicate a substantial claim that he was deprived of his constitutional right to effective assistance of appellate counsel.
III
In my view, the Court's effort to distinguish Martinez comes down to the following points: (1) Martinez concerned only claims of ineffective trial counsel; (2) Martinez involved trial errors that, at least sometimes, would have escaped review, while here at least one court (the trial court) may have reviewed the underlying *2075 legal error; (3) Martinez involved cases in which the State itself prevented its appellate courts from reviewing the claim of trial counsel's ineffectiveness, whereas here it is the nature of the ineffectiveness claim that prevents the appellate courts from reviewing it; and (4) extending Martinez could flood the federal system with normally meritless claims.
I have explained why I believe the last mentioned empirical prediction does not distinguish
Martinez
and why, in any event, it is unlikely to prove correct. See
supra,
at 2074 - 2075. And I have explained why the second and third points do not successfully distinguish
Martinez
. The second fails to focus on the relevant claim: ineffective assistance of counsel. See
supra,
at 2073 - 2074. And it fails to acknowledge that there may be cases in which the trial court will not have considered the legal error underlying the ineffective-assistance claim.
Ibid.
The third has little to do with the matter. It overlooks the fact that there is no "relevant difference" between cases in which the State requires that certain claims be brought only on collateral review and "cases in which those claims
by their nature
can only be brought on collateral review," such as claims of ineffective assistance of appellate counsel. See
supra,
at 2073 (quoting
Martinez,
As to the first point, the Court is of course right. Martinez had to do only with the ineffectiveness of trial counsel. But our cases make clear that due process requires a criminal defendant to have effective assistance of appellate counsel as well. See supra, at 2072. Indeed, effective trial counsel and appellate counsel are inextricably connected elements of a fair trial.
The basic legal principle that should determine the outcome of this case is the principle that requires courts to treat like cases alike. To put the matter more familiarly, what is sauce for the goose is sauce for the gander. The dissent in
Martinez
wrote that there "is not a dime's worth of difference in principle between [ineffective-assistance-of-trial-counsel] cases and many other cases in which initial state habeas will be the first opportunity for a particular claim to be raised," including "claims asserting ineffective assistance of appellate counsel."
With respect, I dissent.
The Fifth Circuit treats unexhausted claims as procedurally defaulted if "the court to which the petitioner would be required to present his claims in order to meet the exhaustion requirement would now find the claims procedurally barred."
Bagwell v. Dretke,
The dissent argues that Martinez already provides a gateway to the review of underlying trial errors no differently than would petitioner's proposed rule. See post, at 2074 (opinion of BREYER, J.). That is not so. If a prisoner succeeds on his claim of ineffective assistance of trial counsel under Martinez, the federal habeas court would not need to consider any other claim of trial error since the successful claim of trial ineffectiveness-unlike a successful claim of ineffective assistance of appellate counsel-entitles the prisoner to a new trial. See 7 W. LaFave, J. Israel, N. King, & O. Kerr, Criminal Procedure § 28.4(d), p. 258, n. 75 (4th ed. 2015).
Reference
- Full Case Name
- Erick Daniel DAVILA, Petitioner v. Lorie DAVIS, Director, Texas Department of Criminal Justice, Correctional Institutions Division.
- Cited By
- 1277 cases
- Status
- Published