OCTOBER TERM, 1995
Syllabus
GRAYv.NETHERLAND, WARDEN
CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE FOURTH
CIRCUIT
No. 95-6510. Argued April 15, 1996-Decided June 20, 1996
At the start of petitioner's Virginia trial for the capital
murder of Richard McClelland, the prosecution acknowledged that,
should the trial reach the penalty phase, it would introduce
petitioner's admissions to other inmates that he had previously
murdered Lisa Sorrell and her daughter. The day that petitioner was
convicted of the McClelland murder, the prosecution disclosed that
it would introduce additional evidence at sentencing linking
petitioner to the Sorrell murders, including crime scene
photographs and testimony from the Sorrell investigating detective
and medical examiner. Counsel moved to exclude evidence pertaining
to any felony for which petitioner had not been charged. Although
counsel also complained that he was not prepared for the additional
evidence, and that the defense was taken by surprise, he did not
request a continuance. The court denied the motions to exclude,
and, after a hearing, petitioner was sentenced to death. After
exhausting his state remedies, he sought federal habeas relief,
claiming, as relevant here, that inadequate notice prevented him
from defending against the evidence introduced at the penalty
phase, and that the Commonwealth failed to disclose exculpatory
evidence regarding the Sorrell murders. The District Court
initially denied relief, finding that petitioner had no
constitutional right to notice of individual testimony that the
Commonwealth planned to introduce at sentencing, and that the claim
made under
Brady v.
Maryland, 373 U. S. 83, was
procedurally barred under Virginia law. However, the court later
amended its judgment, concluding that petitioner was denied due
process when the Commonwealth failed to provide fair notice of what
Sorrell murder evidence would be introduced. In reversing, the
Fourth Circuit found that granting habeas relief would give
petitioner the benefit of a new rule of federal constitutional law,
in violation of
Teague v.
Lane, 489 U. S. 288. The grant
of certiorari is limited to petitioner's notice-of-evidence and
Brady claims.
Held:
1. Petitioner's
Brady claim is procedurally defaulted. He
never raised that claim in state court, and, because he knew of its
grounds when he filed his first state petition, Virginia law
precludes review of the defaulted claim in any future state habeas
proceeding. This provides an independent and adequate state-law
ground for the conviction
153
and sentence, and thus prevents federal habeas review of the
defaulted claim, unless petitioner can demonstrate cause and
prejudice for the default.
Teague v.
Lane, supra, at
298. Because he has made no such demonstration, his claim is not
cognizable in a federal suit for the writ. Pp. 161-162.
2. The misrepresentation claim raised by petitioner in his brief
here is remanded for the Court of Appeals to determine whether he
in fact raised that issue below. pp. 162-166.
(a) In his brief, petitioner relies on two separate due process
challenges to the manner in which the prosecution introduced
evidence about the Sorrell murders: a notice-of-evidence claim
alleging that the Commonwealth failed to give adequate notice of
the evidence it would use, and a misrepresentation claim alleging
that the Commonwealth misled him about the evidence it intended to
present. For purposes of exhausting state remedies, a habeas claim
must include reference to a specific federal constitutional
guarantee, as well as a statement of the facts entitling a
petitioner to relief.
Picard v.
Connor, 404 U. S. 270. A
petitioner does not satisfy the exhaustion requirement by
presenting the state courts only with the facts necessary to state
a claim for relief. Nor is it enough to make a general appeal to a
constitutional guarantee as broad as due process to present the
"substance" of such a claim to a state court.
Anderson v.
Harless, 459 U.
S. 4.
Gardner v.
Florida, 430 U. S. 349-on which
petitioner relies for his notice-of-evidence claim-and
In re
Ruffalo, 390 U.
S. 544,
Raley v.
Ohio, 360 U. S. 423, and
Mooney v.
Holohan, 294 U. S. 103-on which he
relies for his misrepresentation claim-arise in widely differing
contexts. The two claims are separate. Pp. 162-165.
(b) If petitioner never raised the misrepresentation issue in
state proceedings, federal habeas review would be barred unless he
could demonstrate cause and prejudice for his failure to raise the
claim in state proceedings. However, if it was addressed in the
federal proceedings, the Commonwealth would have been obligated to
raise procedural default as a defense or lose the right to assert
the defense thereafter. If the Court of Appeals determines that the
issue was raised, it should consider whether the Commonwealth has
preserved any defenses and proceed to consider the claim and
preserved defenses as appropriate. Pp. 165-166.
3. Petitioner's notice-of-evidence claim would require the
adoption of a new constitutional rule. Pp. 166-170.
(a) Petitioner contends that he was deprived of adequate notice
when he received only one day's notice of the additional evidence,
but, rather than seeking a continuance, he sought to have all such
evidence excluded. For him to prevail, he must establish that due
process re-
154
Syllabus
quires that he receive more than a day's notice of the
Commonwealth's evidence. He must also show that due process
required a continuance whether or not he sought one, or that, if he
chose not to seek a continuance, exclusion was the only appropriate
remedy. Only the adoption of a new constitutional rule could
establish these propositions. A defendant has the right to notice
of the charges against which he must defend.
In re Ruffalo,
supra. However, he does not have a constitutional right to
notice of the
evidence which the state plans to use to prove
the charges, and
Brady, which addressed only exculpatory
evidence, did not create one.
Weatherford v.
Bursey,
429 U. S. 545,
559.
Gardner v.
Florida, supra, distinguished. Even
if notice were required, exclusion of evidence is not the sole
remedy for a violation of such a right, since a continuance could
minimize prejudice.
Taylor v.
Illinois, 484 U. S. 400, 413.
Petitioner made no such request here, and in view of his insistence
on exclusion, the trial court might well have felt that it would
have been interfering with counsel's tactical decision to order a
continuance on its own motion. Pp. 166-170.
(b) The new rule petitioner proposes does not fall within
Teague's second exception, which is for watershed rules of
criminal procedure implicating a criminal proceeding's fundamental
fairness and accuracy. Whatever one may think of the importance of
petitioner's proposed rule, it has none of the primacy and
centrality of the rule adopted in
Gideon v.
Wainwright, 372 U. S. 335, or other
rules which may be thought to be within the exception.
Saffle v.
Parks, 494 U. S. 484, 495. P.
170.
58 F.3d
59, vacated and remanded.
REHNQUIST, C. J., delivered the opinion of the Court, in which
O'CONNOR, SCALIA, KENNEDY, and THOMAS, JJ., joined. STEVENS, J.,
filed a dissenting opinion,
post, p. 171. GINSBURG, J.,
filed a dissenting opinion, in which STEVENS, SOUTER, and BREYER,
JJ., joined,
post, p. 171.
Mark Evan Olive, by appointment of the Court, 516 U. s.
1170, argued the cause for petitioner. With him on the briefs were
Donald R. Lee, Jr., Paul G.
Turner, and
John H.
Blume.
John H. McLees, Jr., Assistant Attorney General of
Virginia, argued the cause for respondent. With him on the brief
were
James S.
Gilmore III, Attorney General, and
David E. Anderson, Chief Deputy Attorney General. *
* Kent S.
Scheidegger filed a brief for the
Criminal Justice Legal Foundation as
amicus curiae urging
affirmance.
155
CHIEF JUSTICE REHNQUIST delivered the opinion of the Court.
Petitioner, convicted of capital murder, complains that his
right to due process of law under the Fourteenth Amendment was
violated because he was not given adequate notice of some of the
evidence the Commonwealth intended to use against him at the
penalty hearing of his trial. We hold that this claim would
necessitate a "new rule," and that therefore it does not provide a
basis on which he may seek federal habeas relief.
I A
Richard McClelland was the manager of a department store,
Murphy's Mart, in Portsmouth, Virginia. On May 2, 1985, at
approximately 9:30 p.m., petitioner and Melvin Tucker, a friend,
both under the influence of cocaine, parked in the parking lot of
the Murphy's Mart and watched McClelland and a store security guard
inside. Shortly before midnight, McClelland and the guard came out
of the store and left in separate automobiles. With Tucker in the
passenger seat, petitioner followed McClelland, pulled in front of
his car at a stop sign, threatened him with a .32-caliber revolver,
ordered him into petitioner's car, and struck him. Petitioner and
Tucker took McClelland's wallet and threatened to harm his family
if he did not cooperate.
Gray v.
Commonwealth,
233 Va. 313, 340-341, 356 S. E. 2d 157, 172, cert. denied, 484 U.
S. 873 (1987).
Petitioner drove the car back to the Murphy's Mart, where he
forced McClelland at gunpoint to reopen the store. They filled
three gym bags with money, totaling between $12,000 and $13,000.
Petitioner drove McClelland and Tucker to a service station, bought
gasoline for his car and for a gas can in the car's trunk, and
proceeded to a remote side road. He took McClelland 15 to 20 feet
behind the car and ordered him to lie down. While McClelland begged
petitioner not to
156
hurt or shoot him, petitioner assured him he would not be
harmed. Having thus assured McClelland, petitioner fired six pistol
shots into the back of his head in rapid succession. 233 Va., at
341-342, 356 S. E. 2d, at 172-173.
Leaving McClelland's dead body on the side road, petitioner and
Tucker returned to the intersection where they had seized him.
Petitioner, telling Tucker he wanted to destroy McClelland's car as
evidence, doused its interior with gasoline and lit it with a
match.
Id., at 341-342, 356 S. E. 2d, at 173.
Petitioner and Tucker were later arrested and indicted in the
Circuit Court of the city of Suffolk on several counts, including
capital murder. Having evidence that petitioner had announced
before the killing that "he was going to get" McClelland for having
fired his wife from her job as a saleswoman at the Murphy's Mart,
and that petitioner had told other witnesses after the killing that
he had performed it, the prosecutor entered into a plea bargain
with Tucker. In return for being tried for first-degree murder
instead of capital murder, Tucker would testify at petitioner's
trial about events leading up to the killing and would identify
petitioner as the actual "trigger man."
Id., at 331,356 S.
E. 2d, at 167.
B
On Monday, December 2, 1985, petitioner's trial began.
Petitioner's counsel moved that the trial court order the
prosecution to disclose the evidence it planned to introduce in the
penalty phase. The prosecutor acknowledged that "in the event
[petitioner] is found guilty we do intend to introduce evidence of
statements he has made to other people about other crimes he has
committed of which he has not been convicted." 14 Record 8. In
particular, the prosecution intended to show that petitioner had
admitted to a notorious double murder in Chesapeake, a city
adjacent to Suffolk. Lisa Sorrell and her 3-year-old daughter,
Shanta, had been murdered five months before McClelland was
killed.
157
The prosecutor told petitioner's counsel in court that the only
evidence he would introduce would be statements by petitioner to
Tucker or fellow inmates that he committed these murders.
Id., at 11.
On Thursday, December 5, 1985, the jury convicted petitioner on
all counts. That evening, the prosecution informed petitioner's
counsel that the Commonwealth would introduce evidence, beyond
petitioner's own admissions, linking petitioner to the Sorrell
murders. The additional evidence included photographs of the crime
scene and testimony by the police detective who investigated the
murders and by the state medical examiner who performed autopsies
on the Sorrells' bodies. The testimony was meant to show that the
manner in which Lisa and Shanta Sorrell had been killed resembled
the manner in which McClelland was killed. The next morning,
petitioner's counsel made two motions "to have excluded from
evidence during [the] penalty trial any evidence pertaining to any
... felony for which the defendant has not yet been charged." 18
id., at 776. Counsel argued that the additional evidence
exceeded the scope of unadjudicated-crime evidence admissible for
sentencing under Virginia law, because "[i]n essence, what [the
prosecutor is] doing is trying [the Sorrell] case in the minds of
the jurors."
Id., at 724 (citing
Watkins v.
Commonwealth, 229 Va. 469, 331 S. E. 2d 422 (1985), cert.
denied,
475 U. S.
1099 (1986)). Although counsel also complained that he was not
"prepared for any of this [additional evidence], other than [that
petitioner] may have made some incriminating statements," 18 Record
725, and that the "[d]efense was taken by surprise,"
id., at
777, he never requested a continuance. The trial court denied the
motions to exclude.
During the sentencing phase, Tucker testified that, shortly
after the McClelland murder, petitioner pointed to a picture of
Lisa Sorrell in a newspaper and told Tucker that he had "knocked
off" Sorrell. Petitioner's counsel did not crossexamine Tucker.
Officer Michael Slezak, who had investi-
158
gated the Sorrell murders, testified that he found Lisa's body
in the front seat of a partially burned automobile and Shanta's
body in the trunk. Dr. Faruk Presswalla, the medical examiner who
had performed autopsies on the bodies, testified that Lisa was
killed by six bullets to the head, shot from a .32-caliber gun.
Gray, supra, at 345, 356 S. E. 2d, at 175. Petitioner's
counsel did not cross-examine Dr. Presswalla, and only
cross-examined Officer Slezak to suggest that McClelland's murder
may have been a "copycat" murder, committed by a different
perpetrator. 18 Record 793, 802.1
The jury fixed petitioner's sentence for McClelland's murder at
death. The trial court entered judgment on the verdicts for all the
charges against petitioner and sentenced him to death. The Virginia
Supreme Court affirmed, 233 Va. 313, 356 S. E. 2d 157, and we
denied certiorari,
Gray v.
Virginia, 484 U. S. 873
(1987). The Suffolk Circuit Court dismissed petitioner's state
petition for a writ of habeas corpus. The Virginia Supreme Court
affirmed the dismissal, and we denied certiorari.
Gray v.
Thompson, 500 U. S. 949 (1991).
C
Petitioner then sought a writ of habeas corpus from the United
States District Court for the Eastern District of Virginia. With
respect to the Sorrell murders, he argued,
inter alia, that
he had "never been convicted of any of these crimes nor was he
awaiting trial for these crimes," that the Commonwealth "did not
disclose its intentions to use the
1 The prosecutor introduced this testimony as evidence of
petitioner's future dangerousness. The prosecutor also introduced
into evidence petitioner's criminal record, which included 13
felony convictions, at least 9 of which were for crimes of
violence, including armed robbery and malicious wounding.
Petitioner's record revealed that he had locked a restaurant's
employees in a food freezer while robbing the restaurant, and
threatened the lives of two persons other than McClelland.
Gray v.
Commonwealth, 233 Va. 313,353, 356 S. E. 2d
157, 179, cert. denied, 484 U. S. 873 (1987).
159
Sorrell murders as evidence against [him] until such a late date
that it was impossible for [his] defense counsel reasonably to
prepare or defend against such evidence at trial," and that Tucker"
'sold' his testimony to the Commonwealth for ... less than a life
sentence." 1 Joint Appendix in No. 94-4009 (CA4), pp. 32-33
(hereinafter J. A.).
The Commonwealth moved to dismiss the petition. To clarify its
arguments against petitioner's Sorrell murder claim, it
characterized petitioner's allegations as seven separate subclaims.
The first subclaim asserted that petitioner was given "inadequate
notice of the evidence which the Commonwealth intended to introduce
to permit him to defend against it," and the third, relying on
Brady v.
Maryland, 373 U. S. 83 (1963), asserted that
"[t]he Commonwealth failed to disclose evidence tending to prove
that someone else had committed the Sorrell murders." 2
Respondent's Brief in Support of Motion to Dismiss in No. 3:91CV693
(ED Va.), p. 2. According to the Commonwealth, the
notice-ofevidence subclaim was meritless and could not be the basis
for relief in federal habeas corpus proceedings because it sought
the retroactive application of a new rule of constitutional law.
Id., at 18-19, 19-20. The Commonwealth alleged that the
Brady subclaim had not been presented to the state courts on
direct appeal or in state habeas corpus proceedings, and was thus
procedurally barred under Va. Code Ann. § 8.01-654(B)(2) (1992).
Respondent's Brief in Support of Motion to Dismiss,
supra,
at 19.
Initially, the District Court dismissed the habeas petition.
The court adopted the Commonwealth's characterization of
petitioner's Sorrell claim. See 1 J. A. 193. The court held that
petitioner was not entitled to relief on the notice-ofevidence
subclaim, because he "has no constitutional right to notice of
individual items of testimony which the Com-
2 The other five sub claims are not relevant to our review.
160
monwealth intends to introduce at the penalty phase."
Id., at 194. The court declined to review the
Brady
subclaim because it was procedurally barred. 1 J. A. 194.
Later, on petitioner's motion, the District Court amended its
judgment to find within petitioner's Sorrell claim a specific due
process claim about the admissibility of the Sorrell murder
evidence.
Id., at 252. (In amending this judgment, the court
announced that it remained unchanged as to the remaining claims,
which it had dismissed.
Id., at 251.) After holding an
evidentiary hearing on the Sorrell claim, the District Court
ordered that petitioner be granted a writ of habeas corpus. The
court characterized the claim as an allegation that petitioner "was
denied due process of law under the Fourteenth Amendment of the
United States Constitution because the Commonwealth failed to
provide fair notice that evidence concerning the Sorrell murders
would be introduced at his penalty phase." App. 348. Citing
Gardner v.
Florida, 430 U. S. 349, 357-359
(1977), the court determined that there was a constitutional defect
in petitioner's penalty phase hearing: "Petitioner was confronted
and surprised by the testimony of officer Slezak and Dr.
Presswalla." App. 349. This defect "violated [petitioner's] right
to fair notice and rendered the hearing clearly unreliable,"
because petitioner's attorneys had less than one day's notice of
the additional evidence to be used against their client.
Id., at 349-350.
The Commonwealth appealed, arguing to the Fourth Circuit that to
grant petitioner habeas relief would give him the benefit of a new
rule of federal constitutional law, in violation of
Teague
v.
Lane, 489
U. S. 288 (1989). The Fourth Circuit reversed the judgment
granting the writ, rejected petitioner's cross-appeals from the
dismissal of several other claims, and remanded with directions
that the habeas corpus petition be dismissed.
Gray v.
Thompson, 58 F.3d
59, 67 (1995). The court distinguished
Gardner, on which
the District Court had relied, because petitioner, unlike Gardner,
"was
161
not sentenced on the basis of any secret information." 58 F. 3d,
at 64. The court thus concluded that petitioner's
notice-of-evidence claim "was not compelled by existing precedent
at the time his conviction became final," and thus could not be
considered in federal habeas proceedings under
Teague. 58 F.
3d, at 64.
The Commonwealth scheduled petitioner's execution for December
14, 1995. Petitioner applied for a stay of execution and petitioned
for a writ of certiorari from this Court. We granted his stay
application on December 13, 1995. 516 U. S. 1034. On January 5,
1996, we granted certiorari, limited to the questions whether
petitioner's notice-of-evidence claim stated a new rule and whether
the Commonwealth violated petitioner's due process rights under
Brady by withholding evidence exculpating him from
responsibility for the Sorrell murders. 516 U. S. 1037; see Pet.
for Cert. i.
II
We first address petitioner's
Brady claim. The District
Court determined that "[t]his claim was not presented to the
Supreme Court of Virginia on direct appeal nor in state habeas
corpus proceedings," and that "the factual basis of the claim was
available to [petitioner] at the time he litigated his state habeas
corpus petition," and dismissed the claim on this basis. 1 J. A.
194. Petitioner does not contest these determinations in this
Court.
Petitioner's failure to raise his
Brady claim in state
court implicates the requirements in habeas of exhaustion and
procedural default. Title 28 U. S. C. § 2254(b) bars the granting
of habeas corpus relief "unless it appears that the applicant has
exhausted the remedies available in the courts of the State."
Because "[t]his requirement ... refers only to remedies still
available at the time of the federal petition,"
Engle v.
Isaac, 456 U.
S. 107, 126, n. 28 (1982), it is satisfied "if it is clear that
[the habeas petitioner's] claims are now procedurally barred under
[state] law,"
Castille v.
Peoples, 489 U. S.
162
346, 351 (1989). However, the procedural bar that gives rise to
exhaustion provides an independent and adequate state-law ground
for the conviction and sentence, and thus prevents federal habeas
corpus review of the defaulted claim, unless the petitioner can
demonstrate cause and prejudice for the default.
Teague v.
Lane, supra, at 298;
Isaac, supra, at 126, n. 28,
129;
Wainwright v.
Sykes, 433 U. S. 72, 90-91
(1977).
In Virginia, "[n]o writ [of habeas corpus ad subjiciendum] shall
be granted on the basis of any allegation the facts of which
petitioner had knowledge at the time of filing any previous
petition." Va. Code Ann. §8.01-654(B)(2) (1992). Because petitioner
knew of the grounds of his
Brady claim when he filed his
first petition, §8.01-654(B)(2) precludes review of petitioner's
claim in any future state habeas proceeding. Because petitioner
makes no attempt to demonstrate cause or prejudice for his default
in state habeas proceedings, his claim is not cognizable in a
federal suit for the writ.
III A
Petitioner makes a separate due process challenge to the manner
in which the prosecution introduced evidence about the Sorrell
murders. We perceive two separate claims in this challenge. As we
will explain in greater detail below, petitioner raises a
"notice-of-evidence" claim, which alleges that the Commonwealth
deprived petitioner of due process by failing to give him adequate
notice of the evidence the Commonwealth would introduce in the
sentencing phase of his trial. He raises a separate
"misrepresentation" claim, which alleges that the Commonwealth
violated due process by misleading petitioner about the evidence it
intended to use at sentencing.
In
Picard v.
Connor, 404 U. S. 270 (1971), we
held that, for purposes of exhausting state remedies, a claim for
relief in habeas corpus must include reference to a specific
federal
163
constitutional guarantee, as well as a statement of the facts
that entitle the petitioner to relief. We considered whether a
habeas petitioner was entitled to relief on the basis of a claim,
which was not raised in the state courts or in his federal habeas
petition, that the indictment procedure by which he was brought to
trial violated equal protection.
Id., at 271. In announcing
that "the substance of a federal habeas corpus claim must first be
presented to the state courts,"
id., at 278, we rejected the
contention that the petitioner satisfied the exhaustion requirement
of 28 U. s. C. § 2254(b) by presenting the state courts only with
the facts necessary to state a claim for relief. "The [state court]
dealt with the arguments [the habeas petitioner] offered; we cannot
fault that court for failing also to consider
sua sponte
whether the indictment procedure denied [the petitioner] equal
protection of the laws."
Id., at 277.
We have also indicated that it is not enough to make a general
appeal to a constitutional guarantee as broad as due process to
present the "substance" of such a claim to a state court. In
Anderson v.
Harless, 459 U. S. 4 (1982), the
habeas petitioner was granted relief on the ground that it violated
due process for a jury instruction to obviate the requirement that
the prosecutor prove all the elements of the crime beyond a
reasonable doubt.
Id., at 7 (citing
Sandstrom v.
Montana, 442
U. S. 510 (1979)). The only manner in which the habeas
petitioner had cited federal authority was by referring to a
state-court decision in which "the defendant ... asserted a broad
federal due process right to jury instructions that properly
explain state law." 459 U. S., at 7 (internal quotation marks
omitted). Our review of the record satisfied us that the
Sandstrom claim "was never presented to, or considered by,
the [state] courts," but we found it especially significant that
the "broad federal due process right" that the habeas petition
might have been read to incorporate did not include "the more
particular analysis developed in cases such as
Sandstrom."
459 U. S., at 7.
164
The due process challenge in petitioner's brief relies on two
"particular analys[es]" of due process.
Ibid. Relying on
cases like
Gardner v.
Florida, 430 U. S. 349 (1977), and
Skipper v.
South Carolina, 476 U. S. 1 (1986),
petitioner argues that he should have been given "'such notice of
the issues involved in the [sentencing] hearing as [would have]
reasonably enable[d] him to prepare his case,'" Brief for
Petitioner 32 (quoting B. Schwartz, Administrative Law 283 (2d ed.
1984)), and that he was denied "a fair opportunity to be heard on
determinative sentencing issues," Brief for Petitioner 33. This
right stems from the defendant's "legitimate interest in the
character of the procedure which leads to the imposition of
sentence" of death,
Gardner, 430 U. S., at 358, which
justifies giving him an "opportunity to deny" potentially
determinative sentencing information,
id., at 362.
"Yet another way in which the state may unconstitutionally ...
deprive [a defendant] of a meaningful opportunity to address the
issues, is simply by misinforming him." Brief for Petitioner 34.
Petitioner cites
In re Ruffalo, 390 U. S. 544 (1968),
Raley v.
Ohio, 360 U. S. 423 (1959), and
Mooney v.
Holohan, 294 U. S. 103 (1935), for
this proposition.
Ruffalo was a disbarment proceeding in
which this Court held that the disbarred attorney had not been
given notice of the charges against him by the Ohio committee which
administered bar discipline. 390 U. S., at 550. In
Raley,
the chairman and members of a state investigating commission
assured witnesses that the privilege against self-incrimination was
available to them, but when the witnesses were convicted for
contempt the Supreme Court of Ohio held that a state immunity
statute rendered the Fifth Amendment privilege unavailable. 360 U.
S., at 430-434. And in
Mooney v.
Holohan, the
defendant alleged that the prosecution knowingly used perjured
testimony at his trial. 294 U. S., at 110.
Gardner, Ruffalo, Raley, and
Mooney arise in
widely differing contexts.
Gardner forbids the use of secret
testimony in the penalty proceeding of a capital case which the
165
defendant has had no opportunity to consider or rebut.
Ruffalo deals with a defendant's right to notice of the
charges against him. Whether or not
Ruffalo might have
supported petitioner's notice-of-evidence claim, see
infra,
at 169-170, it does not support the misrepresentation claim for
which petitioner cites it.
Mooney forbade the prosecution to
engage in "a deliberate deception of court and jury." 294 U. S., at
112.
Raley, though involving no deliberate deception, held
that defendants who detrimentally relied on the assurance of a
committee chairman could not be punished for having done so.
Mooney, of course, would lend support to petitioner's claim
if it could be shown that the prosecutor deliberately misled him,
not just that he changed his mind over the course of the trial. The
two claims are separate.
B
The Commonwealth argues that the misrepresentation claim "was
never argued before in any court." Brief for Respondent 39. If
petitioner never presented this claim on direct appeal or in state
habeas proceedings, federal habeas review of the claim would be
barred unless petitioner could demonstrate cause and prejudice for
his failure to raise the claim in state proceedings.
Supra,
at 161-162. If the claim was not raised or addressed in federal
proceedings, below, our usual practice would be to decline to
review it.
Yee v.
Escondido, 503 U. S. 519, 533
(1992).
There is some ambiguity as to whether the misrepresentation
claim was raised or addressed in the District Court or the Court of
Appeals. On the one hand, the District Court ordered relief
primarily on the basis of
Gardner, i.
e., lack of
notice.
Supra, at 160. On the other hand, some of the
District Court findings advert to a deliberate decision by the
prosecutor to mislead petitioner's counsel for tactical advantage.
See,
e. g., App. 348, 350. The ambiguity in the
federal record complicates the state-court procedural default
issue, because procedural default is an affirmative defense for
the
166
Commonwealth. If the misrepresentation claim was addressed at
some stage of federal proceedings, the Commonwealth would have been
obligated to raise procedural default as a defense, or lose the
right to assert the defense thereafter. See
Jenkins v.
Anderson, 447
U. S. 231, 234, n. 1 (1980); see also
Schiro v.
Farley, 510 U.
S. 222, 227-228 (1994).
We remand for the Court of Appeals to determine whether
petitioner in fact raised what in his briefs on the merits to this
Court he asserts has been his "fundamental complaint throughout
this litigation ... : the Commonwealth's affirmative
misrepresentation regarding its presentation of the Sorrell murders
... deprived Petitioner of a fair sentencing proceeding." Reply
Brief for Petitioner 4-5. If the misrepresentation claim was
raised, the Court of Appeals should consider whether the
Commonwealth has preserved any defenses to it and proceed to
consider the claim and preserved defenses as appropriate.
C
We turn to the notice-of-evidence claim, and consider whether
the Court of Appeals correctly concluded that this claim sought the
retroactive application of a new rule of federal constitutional
law. We have concluded that the writ's purpose may be fulfilled
with the least intrusion necessary on States' interest of the
finality of criminal proceedings by applying constitutional
standards contemporaneous with the habeas petitioner's conviction
to review his petition. See
Teague, 489 U. S., at 309-310
(opinion of O'CONNOR, J.). Thus, habeas relief is appropriate only
if "a state court considering [the petitioner's] claim at the time
his conviction became final would have felt compelled by existing
precedent to conclude that the rule [he] seeks was required by the
Constitution."
Saffle v.
Parks, 494 U. S. 484, 488
(1990).
At the latest, petitioner knew at the start of trial that the
prosecutor intended to introduce evidence tending to show that he
committed the Sorrell murders. He knew then that the Commonwealth
would call Tucker to the stand to
167
repeat his statement that petitioner had admitted to committing
the murders.3 See App. 340; 14 Record 8-9. He nonetheless contends
that he was deprived of adequate notice of the
other
witnesses, the police officer and the medical examiner who had
investigated the Sorrell murders, whom he was advised that the
prosecutor would call only on the evening before the sentencing
hearing. App. 342; 18 Record 777. But petitioner did not attempt to
cure this inadequacy of notice by requesting more time to respond
to this evidence. He instead moved "to have excluded from evidence
during this penalty trial any evidence pertaining to any other-any
felony for which the defendant has not yet been charged." 4
Id., at 776.
On these facts, for petitioner to prevail on his
notice-ofevidence claim, he must establish that due process
requires that he receive more than a day's notice of the
Commonwealth's evidence. He must also establish that due process
required a continuance whether or not he sought one, or that, if he
chose not to seek a continuance, exclusion was the only appropriate
remedy for the inadequate notice. We conclude that only the
adoption of a new constitutional rule could establish these
propositions.
A defendant's right to notice of the charges against which he
must defend is well established.
In re Ruffalo, 390 U.
S.
3 When petitioner did object later, at the start of the penalty
phase, to the admission of all the Sorrell murder evidence, counsel
conceded that he would have been prepared to refute such evidence
if it had consisted only of testimony by Tucker or petitioner's
fellow inmates that petitioner had admitted to killing the
Sorrells. See 18 Record 722, 780.
4 The District Court described petitioner's counsel as having
made a "plea for additional time to prepare." App. 343. The Court
of Appeals found this plea insufficient to have legal effect in
court: "If the defense felt unprepared to undertake effective
cross-examination, one would think a formal motion for continuance
would have been forthcoming, but none was ever made; counsel moved
only that the evidence be excluded."
Gray v.
Thompson, 58 F.3d
59, 64
(CA4 1995). We agree with the Court of
Appeals.
168
544 (1968);
Cole v.
Arkansas, 333 U. S. 196 (1948). But
a defendant's claim that he has a right to notice of the
evidence that the state plans to use to prove the charges
stands on quite a different footing. We have said that "the Due
Process Clause has little to say regarding the amount of discovery
which the parties must be afforded."
Ward ius v.
Oregon, 412 U.
S. 470, 474 (1973). In
Weatherford v.
Bursey,
429 U. S. 545
(1977), we considered the due process claim of a defendant who had
been convicted with the aid of surprise testimony of an accomplice
who was an undercover agent. Although the prosecutor had not
intended to introduce the agent's testimony, he changed his mind
the day of trial.
Id., at 549. To keep his cover, the agent
had told the defendant and his counsel that he would not testify
against the defendant.
Id., at 560. We rejected the
defendant's claim, explaining that "[t]here is no general
constitutional right to discovery in a criminal case, and
Brady," which addressed only exculpatory evidence, "did not
create one,"
id., at 559. To put it mildly, these cases do
not compel a court to order the prosecutor to disclose his
evidence; their import, in fact, is strongly against the validity
of petitioner's claim.
Petitioner relies principally on
Gardner v.
Florida,
430 U. S. 349 (1977), for the proposition that a defendant may
not be sentenced to death "on the basis of information which he had
no opportunity to deny or explain."
Id., at 362 (opinion of
STEVENS, J.). In
Gardner, the trial court sentenced the
defendant to death relying in part on evidence assembled in a
presentence investigation by the state parole commission; the
"investigation report contained a confidential portion which was
not disclosed to defense counsel."
Id., at 353. Gardner
literally had no opportunity to even see the confidential
information, let alone contest it. Petitioner in the present case,
on the other hand, had the opportunity to hear the testimony of
Officer Slezak and Dr. Presswalla in open court, and to
cross-examine them. His claim to notice is
169
much more akin to the one rejected in
Weatherford, supra,
than to the one upheld in
Gardner.
Even were our cases otherwise on the notice issue, we have
acknowledged that exclusion of evidence is not the sole remedy for
a violation of a conceded right to notice of an alibi witness. In
Taylor v.
Illinois, 484 U. S. 400 (1988), we
said that in this situation "a less drastic sanction is always
available. Prejudice ... could be minimized by granting a
continuance."
Id., at 413. Here, counsel did not request a
continuance; he argued only for exclusion. Counsel argued that the
evidence should be excluded not only because he was not prepared to
contest the evidence, but also because it exceeded the standard in
Virginia,
Watkins v.
Commonwealth, 229 Va. 469, 331
S. E. 2d 422 (1985), for relevance of unsolved-crime evidence to
sentencing. See 18 Record 723. In view of petitioner's insistence
on exclusion of the evidence, the trial court might well have felt
that it would have been interfering with a tactical decision of
counsel to order a continuance on its own motion.
The dissent argues that petitioner seeks the benefit of a
well-established rule, that "a capital defendant must be afforded a
meaningful opportunity to explain or deny the evidence introduced
against him at sentencing."
Post, at 180. Because we
disagree with the dissent's assertion that petitioner moved for a
continuance, we disagree with its characterization of the
constitutional rule underlying his claim for relief. Compare
supra, at 166-167, and n. 4, with
post, at 184-185,
n. 11. The dissent glosses over the similarities between this case
and
Weatherford, which
"'dictate[s],'" post, at 180,
the disposition of petitioner's claimadversely to petitioner-more
clearly than any precedent cited by the dissent. But even without
Weatherford and petitioner's failure to move for a
continuance, we would still think the new-rule doctrine "would be
meaningless if applied at this level of generality."
Sawyer
v.
Smith, 497
U. S. 227, 236 (1990). We therefore hold that petitioner's
notice-of-
170
evidence claim would require the adoption of a new
constitutional rule.
D
Petitioner argues that relief should be granted nonetheless,
because the new rule he proposes falls within one of
Teague's two exceptions. "The first exception permits the
retroactive application of a new rule if the rule places a class of
private conduct beyond the power of the State to proscribe."
Parks, 494 U. S., at 494 (citing
Teague, 489 U. S.,
at 311). This exception is not at issue here. "The second exception
is for 'watershed rules of criminal procedure' implicating the
fundamental fairness and accuracy of the criminal proceeding."
Parks, supra, at 495 (citing
Teague, supra, at 311;
Butler v.
McKellar, 494 U. S. 407, 416
(1990)). Petitioner argues that his notice-of-evidence new rule is
"mandated by long-recognized principles of fundamental fairness
critical to accuracy in capital sentencing determinations." Brief
for Petitioner 47.
We observed in
Saffle v.
Parks that the
paradigmatic example of a watershed rule of criminal procedure is
the requirement that counsel be provided in all criminal trials for
serious offenses. 494 U. S., at 495 (citing
Gideon v.
Wainwright, 372 U. S. 335 (1963)).
"Whatever one may think of the importance of [petitioner's]
proposed rule, it has none of the primacy and centrality of the
rule adopted in
Gideon or other rules which may be thought
to be within the exception."
Parks, supra, at 495. The rule
in
Teague therefore applies, and petitioner may not obtain
habeas relief on his notice-of-evidence claim.
IV
We hold that petitioner's
Brady claim is procedurally
defaulted and that his notice-of-evidence claim seeks retroactive
application of a new rule. Neither claim states a ground upon which
relief may be granted in federal habeas corpus proceedings.
However, we vacate the judgment of
171
the Court of Appeals and remand the case for consideration of
petitioner's misrepresentation claim in proceedings consistent with
this opinion.
It is so ordered.
JUSTICE STEVENS, dissenting.
JUSTICE GINSBURG has cogently explained why wellsettled law
requires the reversal of the judgment of the Court of Appeals. I
join her opinion with this additional observation. The evidence
tending to support the proposition that petitioner committed the
Sorrell murders was not even sufficient to support the filing of
charges against him. Whatever limits due process places upon the
introduction of evidence of unadjudicated conduct in capital cases,
they surely were exceeded here. Given the "vital importance" that
"any decision to impose the death sentence be, and appear to be,
based on reason rather than caprice or emotion," the sentencing
proceeding would have been fundamentally unfair even if the
prosecutors had given defense counsel fair notice of their intent
to offer this evidence. See
Gardner v.
Florida,
430 U. S. 349,
357-358 (1977) (opinion of STEVENS, J.).
JUSTICE GINSBURG, with whom JUSTICE STEVENS, JusTICE SOUTER, and
JUSTICE BREYER join, dissenting.
Basic to due process in criminal proceedings is the right to a
full, fair, potentially effective opportunity to defend against the
State's charges. Petitioner Gray was not accorded that fundamental
right at the penalty phase of his trial for capital murder. I
therefore conclude that no "new rule" is implicated in his petition
for habeas corpus, and dissent from the Court's decision, which
denies Gray the resentencing proceeding he seeks.
I
Petitioner Coleman Gray's murder trial began on Monday, December
2, 1985, in the city of Suffolk, Virginia. He was
172
charged with killing Richard McClelland during the commission of
a robbery, a capital offense. Va. Code Ann. § 18.231(4) (Supp.
1995). Under Virginia law, the trial would proceed in two stages:
During the guilt phase, the jury would determine whether Gray was
guilty of capital murder; and during the penalty phase, the jury
would decide whether Gray should be sentenced to death or life
imprisonment. See Va. Code Ann. § 19.2-264.4(A) (1995).
At an in-chambers conference before the guilt phase began,
Gray's lawyers requested a court order directing the prosecutor to
disclose the evidence he would introduce during the penalty phase
if Gray were convicted.1 Defense counsel wanted to know, in
particular, whether the prosecutor planned to introduce evidence
relating to the murders of Lisa Sorrell and her 3-year-old
daughter, Shanta. Defense counsel informed the trial court of the
basis for the request:
" ... Your Honor, this is my concern. We will probably at the
very best stop in the middle of the day or late in the afternoon
and start the penalty trial the next day .... [W]e have good reason
to believe that [the prosecutor] is going to call people to
introduce a statement that our client supposedly made to another
inmate that he murdered [the Sorrells] which were very violent and
well-known crimes throughout this entire area.
"If that comes in we are going to want to know it in advance so
we can be prepared on our argument .... It's absolute dynamite." 3
Joint Appendix in No. 94-4009 (CA4), pp. 1328-1329 (hereinafter J.
A.).
1 This request was made pursuant to
Peterson v.
Commonwealth, 225 Va. 289, 302 S. E. 2d 520 (1983), which
instructed that, under Virginia law, the "preferred practice" in
capital trials "is to make known to [the defendant] before trial
the evidence that is to be adduced at the penalty stage if he is
found guilty."
Id., at 298,302 S. E. 2d, at 526.
173
The Sorrell murders "were one of the most highly publicized
crimes in the history of the Tidewater, Virginia area." App. 341.
In December 1984, five days after they were reported missing, Lisa
and Shanta Sorrell were found dead in a partially burned car in
Chesapeake, Virginia, a city that shares borders with Suffolk.
Lisa's body was slumped in the front passenger seat of the car; she
had been shot in the head six times. Shanta had been removed from
her car seat and locked in the trunk, where she died after inhaling
smoke produced by the fire in the car's passenger compartment. N
either Gray nor anyone else has ever been charged with commission
of the Sorrell murders.2
In response to defense counsel's disclosure request, the
prosecutor told Gray's lawyers and the court that he would
introduce "statements" Gray had made to other inmates in which Gray
allegedly admitted killing the Sorrells. The following exchange
then took place between defense counsel Moore and prosecutor
Ferguson:
"MR. MOORE: Is it going to be evidence or just his
statement?
"MR. FERGUSON: Statements that your client made. "MR. MOORE:
Nothing other than statements?
"MR. FERGUSON: To other people,
that's correct.
Statements made by your client that he did these things." 3 J.
A. 1331 (emphasis added).
2 That Gray had not been convicted of killing the Sorrells would
not, under Virginia law, bar admission of evidence relating to
those crimes during the penalty phase of his trial. One of
Virginia's two aggravating circumstances requires the jury to
determine whether "there is a probability that the defendant would
commit criminal acts of violence that would constitute a continuing
serious threat to society." Va. Code Ann. § 19.2264.2 (1995). The
Virginia Supreme Court has held that "evidence of prior
unadjudicated criminal conduct ... may be used in the penalty phase
to prove the defendant's propensity to commit criminal acts of
violence in the future."
Watkins v.
Commonwealth, 229
Va. 469, 488, 331 S. E. 2d 422, 436 (1985).
174
After the in-chambers conference ended, the guilt phase of the
trial began. Three days later, at 4 o'clock on Thursday afternoon,
December 5, the jury returned a verdict finding Gray guilty of the
capital murder of McClelland. Proceedings were adjourned for the
day, with the penalty phase to begin at 9:30 the next morning.
That evening, the prosecutor informed defense counsel that, in
addition to Gray's statements, he planned to introduce further
evidence relating to the Sorrell murders. That further evidence
included: (1) the testimony of Detective Slezak, the police officer
who investigated the Sorrell murders, regarding his observations at
the crime scene shortly after the bodies of Lisa and Shanta were
discovered; (2) graphic photographs of the crime scene, depicting
the interior of the partially burned car, Lisa's body in the front
seat, and Shanta's body in the trunk; (3) the testimony of Doctor
Presswalla, the state medical examiner who conducted the autopsies
of the victims, regarding the causes of their deaths; (4) graphic
photographs of the victims at the time of the autopsies, including
a photograph depicting the back of Lisa's head, shaved to reveal
six gunshot wounds; and (5) Doctor Presswalla's autopsy reports.
See App. 29-37, 40-47.
This additional evidence, advanced by the prosecutor on the eve
of the penalty phase, suggested that the Sorrell murders were
carried out in a manner "strikingly similar" to the murder of
McClelland.
Gray v.
Commonwealth, 233 Va. 313, 347,
356 S. E. 2d 157, 176 (1987). Like Lisa Sorrell, McClelland had
been shot six times in the head; his car, too, had been partially
burned. As defense counsel later explained, "the similarities
between the McClelland murder and the Sorrell murder would be
obvious to anyone sitting in a jury box." App. 141.
On Friday morning, December 6, before trial proceedings resumed,
defense counsel informed the court of Thursday evening's
developments. Gray's lawyers told the court they had learned for
the first time the previous evening that the
175
prosecutor planned to introduce evidence relating to the Sorrell
murders other than Gray's alleged statements. Counsel stated that
while they were prepared to rebut the statements, they were "not
prepared to rebut [the additional evidence] ... because of the
shortness of notice." 4 J. A. 2065. "We are not prepared to try the
Sorrell murder today," counsel told the court. "We have not been
given sufficient notice."
Ibid.
Gray's lawyers argued that the case relied on by the prosecutor,
Watkins v.
Commonwealth, 229 Va. 469, 331 S. E. 2d
422 (1985), was distinguishable. There, counsel explained, separate
murder charges were outstanding against the defendant, and "[t]he
lawyers who were representing [Watkins] in the first murder trial
were already representing him with respect to the second murders.
They were aware of all the charges, were aware of the evidence that
was available to the Commonwealth in the second murder charge and
were in a position to confront the evidence ... that would come in
[during] the penalty trial." 4 J. A. 2065-2066. In contrast to the
situation in
Watkins, counsel pointed out, "[w]e are not
prepared for any of this, other than [Gray] may have made some
incriminating statements." 4 J. A. 2067. The trial court
nonetheless ruled that the Sorrell murders evidence was "admissible
at this stage of the trial."
Id., at 2068.
The penalty phase of the trial then commenced. The prosecutor,
in keeping with his representations before the guilt phase began,
called Melvin Tucker to the stand. Tucker was Gray's accomplice in
the McClelland murder; he, along with Gray, had initially been
charged with capital murder. After plea negotiations, however, the
prosecutor agreed to reduce the charge against Tucker to
first-degree murder, a noncapital offense, in exchange for Tucker's
testimony against Gray. App. 339, and n. 3. Tucker testified during
the guilt phase that Gray had been the "trigger man" in
McClelland's murder.
176
Tucker testified at the penalty phase that, shortly after the
McClelland robbery, he and Gray "were searching through the
newspaper for some information" on the crime.
Id., at 22.
According to Tucker, Gray stated that he had "knocked off" Lisa
Sorrell, and pointed to a picture of Lisa Sorrell in the newspaper.
Id., at 22-23.3 Gray's lawyers declined to cross-examine
Tucker after his penalty phase testimony; in their view, Tucker's
motive to lie had already been adequately exposed during the guilt
phase. See
id., at 157 (testimony of defense counsel Moore)
("Melvin Tucker had been ... extensively ... cross-examined during
the guilt phase ... The same jurors who were sitting there during
the guilt trial were there during the penalty phase and they had
been told and drawn a pretty accurate picture as to why Melvin
Tucker would strike a deal and tell anybody anything they wanted to
hear. To save his life. That didn't need to be brought up
again.").
The prosecutor then called Detective Slezak. Defense counsel
renewed their objection, outside the presence of the jury, to
admission of any evidence relating to the Sorrell murders other
than Gray's statements. Counsel reiterated that they had "had no
notice of this," and had been "taken by surprise."
Id., at
25. What the prosecutor "is going to do today," they emphasized,
"is not what he said he was going to do at the beginning of trial."
Id., at 27. The court adhered to its earlier ruling that the
evidence was admissible.
With nothing more than Tucker's testimony linking Gray to the
Sorrell murders, the trial court then allowed the prosecutor to
introduce the testimony of Detective Slezak and Doctor Presswalla,
as well as crime scene and autopsy
3 As the District Court suggested, in one respect this version
of events is implausible. The McClelland murder occurred in May
1985, some six months after the Sorrells had been killed. No
newspaper from May 1985 containing a photograph of Lisa Sorrell was
ever introduced into evidence. See App. 343.
177
photographs and the victims' autopsy reports. See
ante,
at 157-158. During the defense case, Gray took the stand, admitted
complicity in the McClelland murder but denied being the
"triggerman," and denied any involvement in the Sorrell murders.
App. 346-347. After closing arguments, in which the prosecutor
highlighted the similarities between the Sorrell and McClelland
murders, and urged that Gray's commission of the Sorrell murders
demonstrated his "future dangerous[ness]," see
id., at
51-53, the jury fixed Gray's punishment at death.
Gray unsuccessfully argued on direct appeal to the Virginia
Supreme Court and in state habeas proceedings that admission of the
additional Sorrell murders evidence violated his right to a fair
trial under the Fourteenth Amendment. Gray then filed a federal
habeas petition in the United States District Court for the Eastern
District of Virginia. Gray argued, among other things, that
admission of the Sorrell murders evidence violated his Fourteenth
Amendment rights. 1 J. A. 35. Specifically, he asserted:
"The Commonwealth did not disclose its intentions to use the
Sorrell murders as evidence against Gray until such a late date
that it was impossible for Gray's defense counsel reasonably to
prepare or defend against such evidence at trial. Because of the
late notice, ... Gray could not adequately prepare to defend his
innocence regarding the Sorrell murders." Id., at 33.
The District Court concluded that other claims pressed by Gray
in his federal habeas petition were either procedurally barred or
meritless. The court found, however, that the Sorrell evidence
claim "was consistently raised in the State courts and is not
procedurally defaulted."
Id., at 253.
After conducting an evidentiary hearing, the District Court
granted Gray a writ of habeas corpus. Relying primarily on
Gardner v.
Florida, 430 U. S. 349 (1977), the
court held that Gray's due process rights were violated
"because
178
the Commonwealth failed to provide fair notice that evidence
concerning the Sorrell murders would be introduced at his penalty
phase," App. 348; consequently, Gray became vulnerable to a death
sentence on the basis of information he had scant opportunity to
deny or explain, see
id., at 349-351. Recalling the
prosecutor's Monday morning affirmations that he would introduce
only Gray's "statements," the District Court noted that Gray's
lawyers were "clearly and justifiably ... shocked" when the
prosecutor reported, Thursday evening, his intention to introduce,
the next day, further evidence on the Sorrell murders.
Id.,
at 350. "The only Sorrell murder evidence which [Gray's lawyers]
were prepared to challenge," the District Court recounted, "was the
evidence [the prosecutor] indicated he would introduce at the
outset of the trial: Melvin Tucker's statement that Gray allegedly
had confessed to the murders."
Id., at 346. The prosecutor's
surprise move had disarmed Gray's counsel, the District Court
recognized, leaving them without capacity to cross-examine
Detective Slezak and Doctor Presswalla effectively, with the result
that the Sorrell murders evidence "carrie[d] no assurance of
reliability."
Id., at 351.
"The consequences of this surprise," the District Court found,
"could not have been more devastating."
Id., at 350. Most
critically, the prosecutor's "statements only" assurance led
defense counsel to forgo investigation of the details of the
Sorrell murders, including a review of the evidence collected by
the Chesapeake police department during its investigation of the
crimes. See
ibid. Had Gray's lawyers conducted such a
review, they could have shown that none of the forensic evidence
collected by the Chesapeake police directly linked Gray to the
Sorrell murders.4 Moreover, the evidence the Chesapeake police did
obtain "strongly sug-
4 The District Court noted, in this regard, that an investigator
engaged by Gray's federal habeas counsel had run a driving test
indicating that "Coleman Gray could not have performed the Sorrell
murders on his wife's dinner hour, as the prosecutor speculated."
Id., at 345, n. 5.
179
gested that Timothy Sorrell"-Lisa's husband and Shanta's
father-"actually committed the notorious murders."
Id., at
350-351.
Indeed, for a substantial period of time following the Sorrell
murders, Timothy Sorrell was the prime suspect in the case.5 Police
suspicion focused on Mr. Sorrell the night Lisa and Shanta were
found dead. When Detective Slezak and another officer informed Mr.
Sorrell of the grim discovery, his statements and demeanor made the
officers "highly suspicious."
Id., at 186.6
Police subsequently learned that Timothy Sorrell had an apparent
motive for the murders. Two weeks before Lisa and Shanta were
killed, the Sorrells obtained a life insurance policy, which
designated Timothy and Shanta as beneficiaries in the event of
Lisa's death.
Id., at 344.7 Lisa's parents later filed a
lawsuit to stop Mr. Sorrell from obtaining the proceeds of the
insurance policy, alleging that he was responsible for Lisa's
death.
Ibid. In addition, police uncovered evidence
suggesting that Mr. Sorrell was involved in a stolen merchandise
ring at his place of employment, the Naval Supply Center, and that
Lisa "was very angry and unhappy about her husband's apparent
criminal activities."
Id., at 345.8 Based on this
information, Detective Slezak asked the
5 Police designated Mr. Sorrell as the sole suspect on evidence
they sent to crime labs for analysis.
Id., at 344.
6 Asked to describe what about Mr. Sorrell's demeanor made him
suspicious, Slezak testified: "I don't know how to describe it
other than to say that it was not what you would expect to find in
a situation like that. He just seemed defensive."
Id., at
186.
7 By contrast, police never established Gray's supposed motive
for killing the Sorrells. Lisa was found with her jewelry (a
necklace and gold earrings) undisturbed, as well as cash and a
postal money order for $280,
id., at 316, suggesting that
robbery was not the perpetrator's motive,
id., at 317.
8 Despite defense counsel's pretrial request for all exculpatory
evidence pursuant to
Brady v.
Maryland, 373 U. S. 83 (1963), the
prosecutor never disclosed the evidence incriminating Timothy
Sorrell. Gray presented a
Brady claim in his federal habeas
petition, but the District Court noted
180
local Commonwealth's Attorney "to determine whether it was
appropriate to prosecute Timothy Sorrell."
Ibid.9
Assessing the prejudicial potency of the Sorrell murders
evidence admitted at the penalty phase of Gray's trial, the
District Court concluded that the due process violation was not
harmless.
Id., at 353. The District Court therefore vacated
Gray's death sentence, and remanded the case to the state trial
court for resentencing.
The Court of Appeals for the Fourth Circuit reversed.
Gray v.
Thompson, 58 F.3d
59 (1995). It held that federal habeas relief was barred
because Gray's due process claim depended on a "new rule" of
constitutional law which, under
Teague v.
Lane,
489 U. S. 288
(1989), could not be applied on collateral review. The Court of
Appeals accordingly remanded the case, directing the District Court
to dismiss Gray's habeas petition.
II
A case announces a "new rule" under
Teague "if the result
was not
dictated by precedent existing at the time the
defendant's conviction became final."
Id., at 301 (plurality
opinion). Gray's conviction became final in 1987, when we denied
certiorari to review the Virginia Supreme Court's decision on
direct appeal. See
Gray v.
Virginia, 484 U. S. 873
(1987). As explained below, precedent decided well before 1987
"dictates" the conclusion that Gray was not accorded due process at
the penalty phase of his trial.
Gray's claim is encompassing, but it is fundamental.
Under the Due Process Clause, he contends, a capital defendant
must be afforded a meaningful opportunity to explain or deny the
evidence introduced against him at sentencing. See Brief for
Petitioner 45; Reply Brief for Petitioner 5.
that the claim had not been raised in state court, and therefore
held it procedurally barred. 1 J. A. 194.
9 After Gray's trial, the local prosecutor reportedly stated in
an affidavit that Mr. Sorrell was no longer a suspect. See 2
id., at 927 (news report in The Virginian-Pilot, Jan. 7,
1986, p. Dl).
181
The District Court concluded that Gray was stripped of any
meaningful opportunity to explain or deny the Sorrell murders
evidence, for his lawyers were unfairly "ambushed"clearly surprised
and devastatingly disarmed by the prosecutor's decision, announced
on the eve of the penalty trial, to introduce extensive evidence
other than Gray's statements. App. 349-351. Gray's counsel
reasonably relied on the prosecutor's unequivocal "statements only"
pledge, see
id., at 342, made at the outset of trial; based
on the prosecutor's assurances, defense counsel spent no resources
tracking down information in police records on the Sorrell murders.
The prosecutor's switch, altogether unanticipated by defense
counsel, left them with no chance to uncover, through their own
investigation, information that could have defused the prosecutor's
case, in short, without time to prepare an effective defense.
Id., at 351.
The Fourth Circuit recast Gray's claim, transforming it into an
assertion of a broad constitutional right to discovery in capital
cases. See 58 F. 3d, at 64-65. This Court also restates and
reshapes Gray's claim. The Court first slices Gray's whole claim
into pieces; it then deals discretely with each segment it
"perceive[s],"
ante, at 162: a "misrepresentation" claim,
ante, at 166; and a supposed "notice-ofevidence" claim,
ante, at 166-170. Gray, himself, however, has "never claimed
a constitutional right to advance discovery of the Commonwealth's
evidence." Brief for Petitioner 46, n. 37, and accompanying text.
His own claim is more basic and should not succumb to artificial
endeavors to divide and conquer it.
There is nothing "new" in a rule that capital defendants must be
afforded a meaningful opportunity to defend against the State's
penalty phase evidence. As this Court affirmed more than a century
ago: "Common justice requires that no man shall be condemned in his
person or property without ... an opportunity to make his defence."
Baldwin v.
Hale, 1 Wall. 223, 233 (1864). See also
Windsor v.
McVeigh, 93
182
u. S. 274, 277 (1876). A
proforma opportunity will not
do.lO Due process demands an opportunity to be heard "at a
meaningful time and in a meaningful manner."
Armstrong v.
Manzo, 380 U.
S. 545, 552 (1965); see
In re Oliver, 333 U. S. 257, 275 (1948)
(defendant must be afforded "a reasonable opportunity to meet [the
charges against him] by way of defense or explanation");
Morgan v.
United States, 304 U. S. 1, 18 (1938)
("The right to a hearing embraces not only the right to present
evidence but also a reasonable opportunity to know the claims of
the opposing party and to meet them."). Absent a full, fair,
potentially effective opportunity to defend against the State's
charges, the right to a hearing would be "but a barren one."
Ibid.; see
Mullane v.
Central Hanover Bank
&
Trust Co., 339 U. S. 306, 315 (1950)
("process which is a mere gesture is not due process").
In
Gardner v.
Florida, 430 U. S. 349 (1977), the
principal decision relied on by the District Court, we confirmed
that the sentencing phase of a capital trial "must satisfy the
requirements of the Due Process Clause."
Id., at 358
(plurality opinion).
Gardner presented the question whether
a defendant was denied due process when the trial judge sentenced
him to death relying in part on a presentence report, including a
confidential portion not disclosed to defense counsel. Counsel's
deprivation of an "opportunity ... to challenge the accuracy or
materiality" of the undisclosed information,
id., at 356,
the
Gardner plurality reasoned, left a manifest risk that
"some of the information accepted in confidence may [have been]
erroneous, or ... misinterpreted,"
10 Cf.
In re Gault, 387 U. S. 1, 33 (1967)
(notice to parents the night before a juvenile delinquency hearing
was constitutionally inadequate; due process requires that notice
"be given sufficiently in advance of scheduled court proceedings so
that reasonable opportunity to prepare will be afforded");
Powell v.
Alabama, 287 U. S. 45, 58 (1932)
(defense counsel appointed the morning of trial could not satisfy
the constitutional requirement because counsel lacked opportunity
to investigate the case; Court observed that "[tJo decide
otherwise, would simply be to ignore actualities").
183
id., at 359. As a basis for a death sentence,
Gardner teaches, information unexposed to adversary testing
does not qualify as reliable. See
ibid. The
Gardner
Court vacated the defendant's sentence, concluding that he "was
denied due process of law when the death [penalty] was imposed, at
least in part, on the basis of information which he had no
opportunity to deny or explain."
Id., at 362.
Urging that
Gardner fails to "dictate" a decision for
Gray here, the Commonwealth relies on the Fourth Circuit's
reasoning to this effect:
Gardner was a case about
"secrecy"; Gray's case is about "surprise." See 58 F. 3d, at 65.
Therefore, Gray seeks an extension, not an application, of
Gardner, see Brief for Respondent 30, in
Teague
parlance, a "new rule," Brief for Respondent 31. It would be an
impermissible "leap," the Fourth Circuit maintained, to equate to a
failure to disclose, a disclosure in fact made, "but allegedly so
late as to be unfair." 58 F. 3d, at 65.
Teague is not the straitjacket the Commonwealth
misunderstands it to be.
Teague requires federal courts to
decide a habeas petitioner's constitutional claims according to the
"law prevailing at the time [his] conviction became final." 489 U.
S., at 306 (plurality opinion) (internal quotation marks omitted).
But
Teague does
not bar federal habeas courts from
applying, in "a myriad of factual contexts," law that is
settled-here, the right to a meaningful chance to defend against or
explain charges pressed by the State. See
Wright v.
West, 505 U.
S. 277, 309 (1992) (KENNEDY, J., concurring in judgment)
("Where the beginning point is a rule of this general application,
a rule designed for the specific purpose of evaluating a myriad of
factual contexts, it will be the infrequent case that yields a
result so novel that it forges a new rule, one not dictated by
precedent.").
The District Court did not "forg[e] a new rule,"
ibid.,
by holding, on the facts of this case, that Gray was denied a
meaningful opportunity to challenge the Sorrell murders evidence.
Ordinarily, it is incumbent upon defense counsel,
184
after receiving adequate notice of the triable issues, to pursue
whatever investigation is needed to rebut relevant evidence the
State may introduce. Here, however, in keeping with the practice
approved by Virginia's highest court, see
supra, at 172, and
n. 1, the prosecutor expressly delineated the scope and character
of the evidence he would introduce with respect to the Sorrell
murders: nothing other than statements Gray himself allegedly made,
see
supra, at 173. Gray's lawyers reasonably relied on the
prosecutor's "statements only" assurance by forgoing inquiry into
the details of the Sorrell crimes. Resource-consuming
investigation, they responsibly determined, was unnecessary to cast
doubt on the veracity of inmate "snitch" testimony, the only
evidence the prosecutor initially said he would offer.
Gray's lawyers were undeniably caught short by the prosecutor's
startling announcement, the night before the penalty phase was to
begin, that he would in effect put on a "minitrial" of the Sorrell
murders. At that point, Gray's lawyers could not possibly conduct
the investigation and preparation necessary to counter the
prosecutor's newly announced evidence. Thus, at the penalty trial,
defense counsel were reduced nearly to the role of spectators.
Lacking proof, later uncovered, that "strongly suggested" Timothy
Sorrell, not Gray, was the actual killer, App. 350-351, Gray's
lawyers could mount only a feeble cross-examination of Detective
Slezak; counsel simply inquired of the detective whether highly
publicized crimes could prompt "copycat" crimes, see
id., at
37-40. Gray's lawyers had no questions at all for Doctor
Presswalla, the medical examiner who testified about the Sorrell
autopsies.
Id., at 47.11
11 The Court attaches weight to the failure of Gray's lawyers to
ask explicitly for deferral of the penalty phase. See
ante,
at 167, 169. It is uncontested that defense counsel made no formal
motion for a continuance. But as the District Court described the
morning-of-trial episode, counsel "plea[ded] for additional time to
prepare." App. 343. And as earlier noted, see
supra, at
174-175, counsel was explicit about the dilemma con-
185
In sum, the record shows, beyond genuine debate, that Gray was
not afforded a "meaningful" opportunity to defend against the
additional Sorrell murders evidence. The fatal infection present in
Gardner infects this case as well: Defense counsel were
effectively deprived of an opportunity to challenge the "accuracy
or materiality" of information relied on in imposing the death
sentence.
Gardner, 430 U. S., at 356. Unexposed to adversary
testing, the Sorrell murders evidence "carrie[d] no assurance of
reliability." App. 351. The "debate between adversaries," valued in
our system of justice for its contribution "to the truth-seeking
function of trials,"
Gardner, 430 U. S., at 360, was
precluded here by the prosecutor's eve-of-sentencing shift, and the
trial court's tolerance of it. To hold otherwise "would simply be
to ignore actualities."
Powell v.
Alabama, 287 U. S. 45, 58
(1932).12
fronting the defense: "We are not prepared to try the Sorrell
murder today." 4 J. A. 2065. The Court's suggestion that "this plea
[was] insufficient to have legal effect in court,"
ante, at
167, n. 4, is puzzling. Neither the Court, the Fourth Circuit, nor
the Commonwealth has cited any Virginia authority for this
proposition. Cf.
Smith v.
Estelle, 602 F.2d
694, 701, n. 8
(CA5 1979) ("the state points us to no
rule of Texas law saying that moving for a continuance is the only
way to object to surprise"), aff'd on other grounds,
451 U. S. 454 (1981).
Given the potency of the evidence in question, it is difficult to
comprehend the Court's speculation that defense counsel, for
"tactical" reasons, may have wanted only exclusion and not more
time. Compare
ante, at 169, with Tr. of Oral Arg. 11
(counsel for petitioner urged that if a trial judge is asked,
"please stop this from happening ... , it violates my [client's]
right to a fair trial," the existence of that right should not turn
on whether counsel next says, "please exclude this evidence, as
opposed to please give me more time").
12 Weatherford v.
Bursey, 429 U. S. 545 (1977),
featured by the Court, see
ante, at 168, 169-170, hardly
controls this case. There, the State's
witness, and not the
prosecutor, misled defense counsel. 429 U. S., at 560. Furthermore,
Weatherford did not involve the penalty phase of a capital
trial, a stage at which reliability concerns are most vital.
Finally, the defendant in
Weatherford did not object at
trial to the surprise witness, and did not later show how he was
prejudiced by the surprise.
Id., at 561.
186
***
For the reasons stated, I conclude that the District Court's
decision vacating Gray's death sentence did not rest on a "new
rule" of constitutional law. I would therefore reverse the judgment
of the Court of Appeals, and respectfully dissent from this Court's
decision.
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