OPINION OF ALITO, J.
CONE V. BELL
556 U. S. ____ (2009)
SUPREME COURT OF THE UNITED STATES
NO. 07-1114
GARY BRADFORD CONE, PETITIONER
v. RICKY
BELL, WARDEN
on writ of certiorari to the united states court of
appeals for the sixth circuit
[April 28, 2009]
Justice Alito, concurring in part
and dissenting in part.
We granted certiorari in this
case to answer two questions:
“1. Is a federal habeas claim ‘procedurally
defaulted’ because it has been presented twice to the state
courts?
“2. Is a federal habeas court powerless to recognize that a
state court erred in holding that state law precludes reviewing a
claim?” Pet. for Cert. i.
Both of these questions are based
on a factually incorrect premise, namely, that the Tennessee Court
of Criminal Appeals, the highest state court to entertain
petitioner’s appeal from the denial of his second petition for
state postconviction relief,[
Footnote 1] rejected petitioner’s
Brady[Footnote 2] claim on the ground that
the claim had been previously decided by the Tennessee Supreme
Court in petitioner’s direct appeal. Petitioner’s argument is that
the State Supreme Court did not decide any
Brady issue on
direct appeal, that the Tennessee Court of Criminal Appeals erred
in holding otherwise, and that the Sixth Circuit erred in
concluding that the
Brady claim had been procedurally
defaulted on this ground. Petitioner is quite correct that his
Brady claim was not decided on direct appeal, and the
Court in the present case is clearly correct in holding that a
second attempt to litigate a claim in state court does not
necessarily bar subsequent federal habeas review. See
ante, at 8–9.
But all of this is beside the point because
the Tennessee Court of Criminal Appeals did not reject petitioner’s
Brady claim on the ground that the claim had been
previously determined on direct appeal. Rather, petitioner’s
Brady claim was simply never raised before the Tennessee
Court of Criminal Appeals, and that court did not rule on the claim
at all.
Because the Sixth Circuit’s decision on the
issue of procedural default rests on the same mistaken premise that
the Tennessee Court of Criminal Appeals rejected petitioner’s Brady
claim on the ground that it had been previously determined, I
entirely agree with the majority that the Sixth Circuit’s decision
on that issue cannot be sustained and that a remand is required. I
cannot join the Court’s opinion, however, for two chief
reasons.
First, the Court states without explanation
that “Cone properly preserved and exhausted his
Brady
claim in the state court” and that therefore the claim has not been
defaulted.
Ante, at 20. Because Cone never fairly raised
this claim in the Tennessee Court of Criminal Appeals, the claim is
either not exhausted (if Cone could now raise the claim in state
court) or is procedurally defaulted (if state law now provides no
avenue for further review). I would leave these questions for
resolution in the first instance on remand.
Second, the Court, again without explanation,
remands this case to the District Court, not the Court of Appeals.
I see no justification for this step.
I
In order to understand the
tangled procedural default issue presented in this case, it is
necessary to review the far-from-exemplary manner in which the
attorneys for petitioner and respondent litigated the
Brady claim in the state courts.
On direct appeal, petitioner did
not raise any
Brady claim. As the Court notes, petitioner
did claim that the State had violated a state discovery rule by
failing to provide prior statements given by certain witnesses and
that therefore the testimony of these witnesses should have been
stricken. App. 114–117;
State v.
Cone, 665
S. W. 2d 87, 94 (Tenn. 1984). Although this claim concerned
the State’s failure to turn over information, it is clear that this
was not a
Brady claim.
The first appearance of anything resembling
the claim now at issue occurred in 1993 when petitioner’s
experienced attorneys filed an amendment to his second petition for
postconviction relief in the Shelby County Criminal Court. This
petition included a long litany of tangled claims. Paragraph 35 of
this amended petition claimed, among other things, that the State
had wrongfully withheld information demonstrating that one
particular prosecution witness had testified falsely concerning
“petitioner and his drug use.” App. 13–14. This nondisclosure, the
petition stated, violated not only the Fifth and Fourteenth
Amendments to the Constitution of the United States (which protect
the due process right on which
Brady is based) but also
the Fourth, Sixth, and Eighth Amendments to the United States
Constitution and four provisions of the Tennessee Constitution.
Two months later, counsel for petitioner filed
an amendment adding 12 more claims, including one (¶41) alleging
that the State had abridged petitioner’s rights by failing to
disclose evidence that petitioner suffered from drug problems.
Id., at 20. According to this new submission, the
nondisclosure violated, in addition to the previously cited
provisions of the federal and state constitutions, five more
provisions of the state constitution, including provisions
regarding double jeopardy, see Tenn. Const., Art. I, §10,
ex
post facto laws, §11, indictment, §14, and open courts,
§17.
The Shelby County Criminal Court was faced
with the task of wading through the morass presented in the amended
petition. Under Tenn. Code Ann. §40–30–112 (1990) (repealed
1995),[
Footnote 3] a claim
could not be raised in a postconviction proceeding if the claim had
been “previously determined” or waived. Citing the State Supreme
Court’s rejection on direct appeal of petitioner’s claim that the
prosecution had violated a state discovery rule by failing to turn
over witness statements, the State incorrectly informed the court
that the failure-to-disclose-exculpatory-evidence claim set out in
¶41 had been “previously determined” on direct appeal. App. 15–16.
The Shelby County Criminal Court rejected the claim on this ground,
and held that all of petitioner’s claims had either been previously
determined or waived.
Id.
, at 22.
Given the importance now assigned to
petitioner’s
Brady claim, one might think that
petitioner’s attorneys would have (a) stressed that claim in the
opening brief that they filed in the Tennessee Court of Criminal
Appeals, (b) pointed out the lower court’s clear error in
concluding that this claim had been decided in the direct appeal,
and (c) explained that information supporting the claim had only
recently come to light due to the production of documents under the
State’s public records act. But counsel did none of these things.
In fact, the
Brady claim was not mentioned at all.
Nor was
Brady cited in the reply
brief filed by the same attorneys. The reply brief did contain a
passing reference to “the withholding of exculpatory evidence,” but
the brief did not elaborate on this claim and again failed to
mention that this claim had never been previously decided and was
supported by newly discovered evidence.[
Footnote 4]
The Tennessee Court of Criminal Appeals
affirmed the decision of the lower state court, but the appellate
court made no mention of the
Brady claim, and I see no
basis for concluding that the court regarded the issue as having
been raised on appeal.
Appellate courts generally do not reach out to
decide issues not raised by the appellant.
Snell v.
Tunnell, 920 F. 2d 673, 676 (CA10 1990); see
Powers v.
Hamilton Cty. Public Defender Comm’n,
501 F. 3d 592, 609–610 (CA6 2007); see also
Galvan v.
Alaska Dept. of Corrections, 397 F. 3d 1198, 1204
(CA9 2005) (“Courts generally do not decide issues not raised by
the parties. If they granted relief to petitioners on grounds not
urged by petitioners, respondents would be deprived of a fair
opportunity to respond, and the courts would be deprived of the
benefit of briefing” (footnote omitted)). Nor do they generally
consider issues first mentioned in a reply brief.
Physicians
Comm. For Responsible Medicine v.
Johnson, 436
F. 3d 326, 331, n. 6 (CA2 2006);
Doe v.
Beaumont Independent School Dist., 173 F. 3d 274,
299, n. 13 (CA5 1999) (Garza, J., dissenting);
Doolin
Security Sav. Bank, F. S. B. v.
Office of Thrift
Supervision, 156 F. 3d 190, 191 (CADC 1998);
Boone v.
Carlsbad Bancorporation, Inc., 972 F. 2d 1545, 1554,
n. 6 (CA10 1992). And it is common to practice for appellate
courts to refuse to consider issues that are mentioned only in
passing.
Reynolds v.
Wagner, 128 F. 3d 166,
178 (CA3 1997) (citing authorities).
The Tennessee Court of Criminal Appeals
follows these standard practices. Rule 10(b) of that court states
quite specifically: “Issues which are not supported by argument,
citation to authorities, or appropriate references to the record
will be treated as waived in this court.” The court has applied
this rule in capital cases,
State v.
Dellinger,
79 S. W. 3d 458, 495, 497, 503 (Tenn. 2002) (appendix to
majority opinion);
Brimmer v.
State, 29
S. W. 3d 497, 530 (1998), and in others. See,
e.g.,
State v.
Faulkner, 2001 WL 378540 (Tenn. Crim.
App., Sept. 10, 2001) (73-year sentence for first-degree murder).
And in both capital and noncapital cases, the court has refused to
entertain arguments raised for the first time in a reply brief. See
State v.
Gerhardt, 2009 WL 160930 (Tenn. Crim.
App., Jan. 23, 2009) (capital case);
Carruthers v
.
State, 814 S. W. 2d 64, 68 (Tenn. Crim. App. 1991)
(capital case);
Cammon v.
State, 2007 WL 2409568,
*6 (Tenn. Crim. App., Aug. 23, 2007) (noncapital case).[
Footnote 5] Thus, unless the Tennessee
Court of Criminal Appeals departed substantially from its general
practice, that court did not regard petitioner’s
Brady
claim as having been raised on appeal.
In the decision now under review, the Sixth
Circuit held that “[t]he Tennessee courts found that Cone’s
Brady claims were ‘previously determined’ and, therefore,
not cognizable in [his] state post-conviction action.” 492
F. 3d 743, 756 (2007). In my judgment, however, there is no
basis for concluding that the Tennessee Court of Criminal Appeals
thought that any
Brady issue was before it. A contrary
interpretation would mean that the Tennessee Court of Criminal
Appeals, disregarding its own rules and standard practice,
entertained an issue that was not mentioned at all in the
appellant’s main brief and was mentioned only in passing and
without any development in the reply brief. It would mean that the
Tennessee Court of Criminal Appeals, having chosen to delve into
the
Brady issue on its own, ruled on the issue without
even mentioning it in its opinion and without bothering to check
the record to determine whether in fact the
Brady issue
had been decided on direct appeal. Such an interpretation is
utterly implausible, and it is telling that the majority in this
case cites no support for such an interpretation in the opinion of
the Tennessee Court of Criminal Appeals’ opinion.
The Sixth Circuit’s decision on the question
of procedural default rests on an erroneous premise and must
therefore be vacated.
II
I also agree with the Court that
we should not affirm the decision below on the ground that the
Brady claim lacks substantive merit. After its erroneous
discussion of procedural default, the Sixth Circuit went on to
discuss the merits of petitioner’s
Brady claim. In its
2001 opinion, the Court of Appeals recognized that the
prosecution’s
Brady obligation extends not only to
evidence that is material to guilt but also to evidence that is
material to punishment. See
Cone v.
Bell, 243
F. 3d 961, 968 (2001) (citing
Pennsylvania v.
Ritchie,
480
U. S. 39, 57 (1987)). But neither in that opinion nor in its
2006 opinion did the court address the materiality of the
information in question here in relation to petitioner’s
punishment. See 492 F. 3d, at 756 (“A review of the allegedly
withheld documents shows that this evidence would not have overcome
the overwhelming
evidence of Cone’s guilt in committing a
brutal double murder and the persuasive testimony that Cone was not
under the influence of drugs” (emphasis added)). Therefore, despite
the strength of the arguments in Justice Thomas’ dissent, I would
leave that question to be decided by the Sixth Circuit on
remand.
III
The Court, however, does not
simply vacate and remand to the Sixth Circuit but goes further.
First, the Court states without
elaboration that petitioner “preserved and exhausted his
Brady claim in the state court.”
Ante, at 20. As
I have explained, petitioner did not fairly present his
Brady claim in his prior appeal to the Tennessee Court of
Criminal Appeals, and therefore that claim is either unexhausted or
procedurally barred. If the State is not now foreclosed from
relying on the failure to exhaust, see 28 U. S. C.
§2254(b)(3), or on procedural default,[
Footnote 6] those questions may be decided on remand.
Second, the Court remands the case to the
District Court rather than the Court of Appeals. A remand to the
District Court would of course be necessary if petitioner were
entitled to an evidentiary hearing, but the Court does not hold
that an evidentiary hearing is either required or permitted. In my
view, unless there is to be an evidentiary hearing, there is no
reason to remand this case to the District Court. If the only
purpose of remand is to require an evaluation of petitioner’s
Brady claim in light of the present record, the District
Court is not in a superior position to conduct such a review. And
even if such a review is conducted in the first instance by the
District Court, that court’s decision would be subject to
de
novo review in the Court of Appeals. 492 F. 3d, at 750;
Cone v.
Bell, 243 F. 3d, at 966–967 (CA6
2001); see
United States v.
Graham, 484
F. 3d 413 (CA6 2007);
United States v.
Miller, 161 F. 3d 977, 987 (CA6 1998);
United
States v.
Phillip, 948 F. 2d 241, 250 (CA6
1991). Accordingly, I see no good reason for remanding to the
District Court rather than the Court of Appeals. And if the
majority has such a reason, it is one that it has chosen to keep to
itself.
* * *
For these reasons, I would vacate
the decision of the Court of Appeals and remand to that court.
Footnote 1
Because the Tennessee Supreme Court denied
discretionary review of the decision of the Tennessee Court of
Criminal Appeals decision affirming the denial of petitioner’s
second amended petition for postconviction relief, we must look to
the decision of the latter court to determine if the decision below
was based on an adequate and independent state ground. See
Baldwin v.
Reese,
541 U. S. 27, 30–32
(2004);
O’Sullivan v.
Boerckel,
526 U. S. 838, 842–843
(1999).
Footnote 2
Brady v.
Maryland,
373 U. S. 83 (1963).
Footnote 3
Tennessee law has since changed. Currently,
the Tennessee Post-Conviction Procedure Act bars any second
postconviction petition, see Tenn. Code Ann. §40–30–102 (2006), and
permits the reopening of a petition only under limited
circumstances, §40–30–117. These restrictions apply to any petition
filed after the enactment of the Post-Conviction Procedure Act,
even if the conviction occurred long before.
Footnote 4
After referring to a long list of claims (not
including any claim for the failure to disclose exculpatory
evidence), the reply brief states:
“[I]t is clear that meritorious claims have been presented for
adjudication. These claims have not been waived and a remand for a
hearing is essential in order to enable Mr. Cone to present
evidence and prove the factual allegations, including those
relating to his claims of ineffective assistance of counsel,
Petition ¶¶15, 16, 44, R–67, 71 and 141 and of
the withholding
of exculpatory evidence. Petition ¶41, R–139.” Reply Brief of
Petitioner-Appellant in No. 02–C–01–9403–CR–0052, p. 5
(emphasis added) (hereinafter Reply Brief).
Footnote 5
In a footnote in his reply brief, petitioner
stated that he was not waiving any claim presented in the court
below and asked the appellate court to consider all those claims.
See Reply Brief 3, n. 1. But the Tennessee Court of Criminal
Appeals has specifically held that claims may not be raised on
appeal in this manner. See
Leonard v.
State, 2007
WL 1946662, *21–*22 (Tenn. Crim. App., July 5, 2007).
Footnote 6
Unlike exhaustion, procedural default may be
waived if it is not raised as a defense.
Banks v.
Dretke,
540
U. S. 668, 705 (2004) (allowing for waiver of “procedural
default” “based on the State’s litigation conduct” (citing
Gray v.
Netherland,
518 U. S. 152, 166
(1996))). Here, it appears that the State has consistently argued
that petitioner’s
Brady claim was procedurally defaulted,
but the State’s supporting arguments have shifted. Whether the
question of procedural default described in this opinion should be
entertained under the particular circumstances here is an intensely
fact-bound matter that should be left for the Sixth Circuit on
remand.
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