Document: 489 U.S. 255 109 S.Ct. 1038 103 L.Ed.2d 308 Warren Lee HARRIS, Petitionerv.Marvin REED, Warden, et al. No. 87-5677. Argued Oct. 12, 1988. Decided Feb. 22, 1989. Syllabus Petitioner's state-court murder conviction was affirmed by the Appellate Court of Illinois on direct appeal, where petitioner challenged only sufficiency evidence. The trial court then dismissed his petition for postconviction relief—which alleged ineffective assistance counsel in several respects, including failure to call alibi witnesses—and again affirmed. Although referring "well-settled" principle that issues could have been, but were not, presented appeal are considered waived, and finding that, "except witnesses," petitioner's ineffective-assistance claim "could been raised [on] appeal," nevertheless went consider reject its merits. Petitioner pursued filing a habeas corpus Federal District under 28 U.S.C. § 2254. While recognizing absent showing either "cause prejudice" or "miscarriage justice," Wainwright v. Sykes, 433 72, 97 2497, 53 594 would barred consideration had State held waived state law, federal determined there no waiver holding, entirety dismiss it In affirming dismissal, Appeals ruled precluded from reviewing claim's merits because believed be procedurally barred. Finding Court's order "ambiguous" question, concluded bound order's "suggest[ed]" intention "to find all grounds except pertaining witnesses." Held: 1. " 'plain statement' rule" Michigan Long, 463 1032, 1042, n. 7, 3469, 3477, 77 1201 is not limited cases review this Court, extends as well review. Pp. 1042-1044. (a) Sykes' procedural default rule based longstanding "adequate independent ground" doctrine, whereby will law issue judgment if rests state-law ground both "independent" an "adequate" basis court's decision. Long avoids difficulties arise doctrine when reference ambiguous, permitting reach question unless opinion contains "a plain statement" decision upon adequate grounds, whether substantive procedural. Pp.260-262. (b) Since, Sykes made clear, applies habeas, since courts commonly face same problem ambiguity resolved "plain adopted cases. Thus, bar last rendering case clearly expressly states bar. P. 262-263. (c) Respondents' persuasive should presume whenever ambiguous point. Applying barely burdens interests finality, federalism, comity, remains free foreclose extent permitted simply explicitly relying default. Conversely, respondents' proposed impose substantial courts, which lose much time legal factual court, familiar with record before it, better suited address expeditiously. 263-265. 2. statement most ineffective-assistance-of-counsel allegations appeal" does satisfy requirement, falls short explicit reliance rejecting any aspect claim. Accordingly, preclude Court. 266. 822 F.2d 684 (CA7 1987), reversed remanded. BLACKMUN, J., delivered REHNQUIST, C.J., BRENNAN, WHITE, MARSHALL, STEVENS, O'CONNOR, SCALIA, JJ., joined. filed concurring opinion, post, p. joined, 268. KENNEDY, dissenting 271. Kimball R. Anderson, Chicago, Ill., petitioner. Robert V. Shuff, Jr., respondents. Justice BLACKMUN 1 case, we (1983), We hold does. 2 * Harris convicted Circuit Cook County, murder. On Illinois, unpublished order, conviction. App. 5; see 71 Ill.App.3d 1113, 30 Ill.Dec. 341, 392 N.E.2d 1386 (1979). 3 returned County relief, alleging rendered witnesses.1 without evidentiary hearing. another 9. 4 referred "those [issues] [on appeal], waived." Id., at 12. found [his] appeal." Ibid. however, 5 did seek Supreme Illinois. Instead, he writ recognized (1977), able show justice." 608 F.Supp. 1369, 1377 (ND Ill.1985).2 6 portion waived. First, observed, "made clear" apply witnesses. 1378. Second, never other "did appear make two rulings alternative, rather note ignore reaching instead." Based determination, ordered 1385. After hearing, memorandum merits, although characterized close ifficult" one. 45. 7 because, disagreement Considering contained "neither nor expression waiver," nonetheless asserted "should try assess possible." 687. Undertaking effort, interpretation reached "as alternate holding," ibid., itself claim.3 8 Concurring separately, Judge Cudahy stated: "Rather than attempting divine unspoken 'intent' [the state] I think invoke presumption has condoned." 9 between majority concurrence reflects conflict among Courts over standard determining invocation bars review.4 granted certiorari resolve conflict. 485 934, 108 1107, 99 268 (1988). II 10 confusion evidently stems recognize historical theoretical doctrine. U.S., 78-79, 81-82, 87, S.Ct., 2502, 2503-04, 2506.5 Once lineage clarified, cure becomes apparent. 11 This long See, e.g., Fox Film Corp. Muller, 296 207, 210, 56 183, 184, 80 L.Ed. 158 (1935); Murdock City Memphis, 20 Wall. 590, 635-636, 22 429 (1875). originated context judgments alternative "substantive" nature, "has applied routinely decisions forfeiting claims violation rules." Meltzer, Forfeitures Rights, Harv.L.Rev. 1128, 1134 (1986).6 12 constitutes may difficult opinion. laid down avoid associated such ambiguity. Under "it fairly appears rested primarily law," [its] grounds." 3477.7 13 regardless disputed (as ) procedural, Caldwell Mississippi, 472 320, 327, 105 2633, 2638, 86 231 (1985). mere fact claimant failed abide itself, prevent claim: "[T]he must actually relied disposition case." Furthermore, ambiguities regard application standard. 328, 2639. B 14 concern pursuant 1257, also proceedings 15 clear habeas. 81, 2503, 2506. See Ulster Allen, 442 140, 148, 2213, 2220, 60 777 p ogeny, claim, can "cause" "prejudice attributable thereto," Murray Carrier, 477 478, 485, 106 2639, 2644, 91 397 (1986), demonstrate result 'fundamental miscarriage justice.' 495, 2649, quoting Engle Isaac, 456 107, 135, 102 1558, 1576, 783 (1982). Smith Murray, 527, 537, 2661, 2668, 434 (1986). 16 claimant's precludes review, like 2638; 152-154, 2222-2223. Moreover, indeed done so sometimes answer Just 1257 encounters opinions unclear point, too do 2254.8 17 Habeas thus presents Long. expressed ground, court. "somewhat cryptic" 18 arose principles underlying those Indeed, our heavily earlier County. Caldwell, 327-328, indicates references led adoption rule, common Faced problem, adopt solution: 'clearly expressly' 1041, 3476.9 C 19 Respondents, urge us different cases, arguing bar, Respondents ap lying requirement harm comity. alert touches these significant interests. reveals this. 90-91, 2508-2509. believe, applying minimally, all. benefits, contrast, substantial. A rely thereby Sykes.10 Requiring interfere unduly judicial decisionmaking. As recognized, more intrusive second-guess determination law. 3476. become Caldwell. today, need nothing 21 courts. At oral argument, respondents conceded some circumstances, their proposal, forced examine determine argued required undertake extensive analysis potentially applicable particular case. Tr. Oral Arg. 28-29. Much lost achieves important objective rapidly identify properly it. that.11 persuaded depart Having extended now extend ground.12 III 23 conclude "clearly expressly" To sure, perhaps foundation holding stating Nonetheless, ground.13 addressing arisen established, 24 reversed, remanded further consistent 25 It ordered. 26 concurring. 27 view my dissent 1065-1072, 3489-3492, appropriate add few words explaining why unique virtue My addressed concerns. adopting favoring assertion jurisdiction ignored venerated 'the contrary affirmatively record.' Delaware Van Arsdall, 475 673, 692, 1431, 1442, 89 674 (1986) (STEVENS, dissenting) (quoting King Bridge Co. Otoe 120 225, 226, 552, 553, 623 (1887)). original form, expanded overprotected respective citizens. courts—and particularly Court—have primary obligation protect rights individual embodied Constitution. 695-697, 1443-1445. involving overly expansive interpretations federally protected surely merit interest correcting errors necessarily secondary courts' principal role protector secured rights. expenditure scarce resources intrusion into affairs accordingly less justified gone far ng right provide constitutional minimum protection. 29 These concerns, implicated this, considering corpus, decide denying relief. Fay Noia, 372 391, 426-435, 83 822, 842-847, 837 (1963), 82-84, 2504-2505, dispossess collateral More significantly, petitions relief 2254, States protecting citizenry, perform core function vindicating Because concerns prevented me joining present join judgment. whom THE CHIEF JUSTICE SCALIA join, 31 am general agreement rules. write separately emphasize points. read altering well-settled lower inquire availability remedies exhausted Humphrey Cady, 405 504, 515-517, 92 1048, 1055-1056, 394 (1972); Ex parte Hawk, 321 114, 118, 64 448, 450, 88 572 (1944). 32 2254(b), Congress provided "shall applicant available State, absence corrective processes existence circumstances process prisoner." exhaustion satisfied raise, procedure, presented." 2254(c). remedy "available," authorized, required, likelihood accord hearing 33 requiring exhaust seeking via serves roots lie respect owe procedures erected correct errors, confidence judges take, encouraged duties seriously. furthers efficiency assuring general, bases surrounding developed prior adjudication. generally Rose Lundy, 455 509, 518-519, 1198, 1203-1204, 379 34 raises forum, defaulted navailable" within meaning 125-126, 28, 1570-1571, consistently looked rules making "availability" after Engle. Watson Alabama, 841 1074, 1077, (CA11), cert. denied, 488 864, 164, 134 (1988); Leroy Marshall, 757 94, (CA6), 474 831, 99, (1985); Wayne White, 735 324, 325 (CA8 1984); Williams Duckworth, 724 1439, 1442 (CA7), 469 841, 143, 82 (1984); Richardson Turner, 716 1059, 1061-1062 (CA4 1983); Beaty Patton, 700 110, 112 (CA3 Jackson Cupp, 693 867, 869 (CA9 1982); Matias Oshiro, 683 318, 319-321 Keener Ridenour, 581, 584 (CA6 1979); Estelle, 562 1006, 1007-1008 (CA5 1977); United ex rel. Brantley, 502 1383, 1385-1386 1974). reaffirmed Teague Lane, 288, 297-298, 1060, 1068, 334 (1989). 35 sense. require indicating ever given opportunity pass posture dismissing often game ping-pong prisoner invoked against him. 435, 847, (1963); supra, ("We refuse contribute needless delaying requirements procedure already results shuttling prisoners back forth reached"). Finally, create incentive proceed immediately bypassing entirely hope lack applicability State's treated "ambiguity." Such run counter Rose, frustrate congressional purpose 36 sum, impossible "[r]equir[e] default," ante, 264, context, quite look to, apply, congressionally mandated 37 second majority's decisions, 2508, pursuing "prejudice" flowing entertain despite otherwise preclusive rejected reworking cause prejudice test . dispense instead focus exclusively 'manifest injustice' denial fairness.' 493, 2648. indicate that: 38 "We remain confident part, 'victims fundamental justice meet cause-and-prejudice standard.' But pretend always true. extraordinary probably resulted one who innocent, grant even default." 495-496, 2650. (citation omitted). 39 points refers justice" conjunction inquiry. 258, 2; 259, 3; 262. suggesting alteration relationship inquiry narrow exception cannot strong probable innocence. Smith, 538-539, 2668-2669 similarly suggestion anything 'fundamentally unfair' about enforcing devoid error undermined accuracy guilt sentencing determination"). operative prejudice; kind "safety valve" "extraordinary case" innocence inability cause. With understanding, 40 dissenting. 41 petition, prejudice, mentions default, yet considers holds evidenced 42 Two premises underlie today's holding. proceeding, explores deprive matter here discovers designed relies interwoven concerning intended Thus fortified enhanced turns us. stakes out premise, attack governed rule. therefore concludes triggers prescribed (1977). Disagreement each elicits respectful dissent. 43 settled "where nonfederal character, fails support judgment." (1935). first announced deny authority revise resting 0 636, (1875), later rest grounds. Henry 443, 446, 85 564, 566, 408 (1965); Herndon Georgia, 295 441, 55 794, 79 1530 follows refuses owing criminal defendant's comply independent, 44 Our discussions jurisdictional identified "inadequate" below, Johnson 486 578, 587-589, 1981, 1987-1988, 100 575 James Kentucky, 466 348-349, 104 1830, 1835, 346 (1984), deemed rights, Ake Oklahoma, 470 68, 74-75, 1087, 1092, 84 An analogous body aids assessing independence Enterprise Irrigation Dist. Farmers Mutual Canal Co., 243 157, 61 644 (1917). might expected light history purposes doctrines, degree overlap. precedents declare, distinguish grounds," 567, caution indiscriminate defaults. id., 447, 567. 2503-04. well-understood ensure integrity judgments. 45 search unlawful. almost construing Fourth Amendment, though twice cited provision. 1043, 3478. various forms constitute favor "when adequacy possible ." 1040-1041, 46 resolution critical assumption: When effect being used solely authority, "accept reasonable explanation decided way so." 3476 (emphasis added). approach, added, advantage interpret laws unfamiliar. 1039, 3475, 47 There argument coming doubt example "the depend antecedent ruling is, committed." 75, 1092. Longshoremen Davis, 476 380, 388, 1904, 1910, 90 389 situation defendant neglects raise inadequate representation assert post-conviction relief," Devine DeRobertis, 754 764, 766, 1985) (collecting cases), "strict [this] relaxed 'where fairness requires.' People Gaines, Ill.2d 79, 91, 269, 276, 473 868, 875 471 1131, 2666, 282 (1985), Burns, 75 282, 290, 679, 683, 388 394, 398 somehow determinative "fundamental fairness" uncertainty exists "[t]here determination." Pennsylvania Finley, 481 551, 563, 107 1990, 1997, 95 539 (1987) (BRENNAN, dissenting), citing 48 purported dissimilar confronted Long.1 "[t]he Constitution indicat[ed] below 1044, 3478 original), raising "decided 570, 2001 dissenting). remotely implicate relates explain sensible. seems not. 49 Applied "most explanation" suggests interesting aside. waiver. exception, presumably smaller number waiver, operates lift requires. Other structure, see, oman Abrams, 214, 222 (CA2 1987) (discussing New York rule), pending, 87-6154, assumed subject empirical logical support, intends mention. contrary, unreasonable assumes exceptions saying so, habit disregarding own rules.2 50 aim devise bright-line best greatest opinions, announce mirror image today. statement," specifically exception. serve apparent clarity equal measure, accurate assessment intent additional presuming disregarded instances manifestly inapplicable defendant. Cf. Black Romano, 606, 615, 2260, 636 (1985) judge followed [state] law"). 51 makeweight unconvincing, moreover, justify extension avoiding unnecessary inquiries "state unfamiliar." 3475.3 slight substantive. requires conduct reviews questions "procedural 'strictly regularly followed,' 587, 1987, Barr Columbia, 378 146, 149, 1734, 1736, 766 (1964), "may deciding invoking they evenhandedly similar claims." Hathorn Lovorn, 457 255, 263, 2421, 2426, 72 824 If institutionally capable "evenhandedly claims," certainly whether, invoked.4 52 sidesteps obvious new "must standard." Ante, true indicating, somewhat obliquely, contain 2638. statements announcing conclusively event, decision, uncritical controlling misplaced. reasons deprived jurisdiction. "read decision." 2639 ought interpreted faced noted Mississippi capital Caldwell's citation oust included eagerly sought majority. inconsistent 1987-1988. Long's plainest itself. 54 convinced reasoning where, here, ambiguity, Facial relate uncritically Even concluding reviewable errs available. equivalence finds bet een arguments. asserts habeas." argues "substantial" benefits extending outweigh burdened context. Neither persuasive. Far supporting reflexive exhaustive precedents, "apply" manner suggested noted, divorced doctrines governing appellate power applications. 82-83, 2504; 425-426, 433-434, 842, 846. took statute Fay, sufficient judgment, comity denied "applicant ha[d] deliberately by-passed orderly doing forfeited remedies." 438, 849. 57 placed limits regime federalism control weight mechanical jurisdiction, formed shows failing actual resulting violation.5 84-91, 2505-2509. reaffirmation notwithstanding belies facile significance essential part federalism. 58 honor defaults sovereignty system," 154, 2223, (1979), intend deference motivates willingness place. acknowledge much, least purports guided until informed analysis. perfunctory discussion principles, burden "minimally, all," while producing benefits. conclusions, view, reflect miserly extravagant notion derived 59 dismisses positing One "unrealistic—and unfair—to expect [who deal courts] acquire retain familiarity jurisprudence intricacies jurisdiction." improvident acknowledge. emphasized great length 126-128, 1571-1572, (1982), entails costs. disturbs repose litigation, denies society punish admitted offenders, intrudes matched exercises authority. increase costs incurred often. little perverse incentives created access whose every never-ending stream perseverance may, due course, rewarded suitably rebuff, one-line prisoner's "lacks merit" "denied." Instead noncompliance rules, contemplated standard, openly encourages blatant abuse circumvention established Sykes.6 th questionable advantages allay arcane district appeals task effect. experts matters local procedure. Rummel 445 267, 1133, 1135, 63 382 (1980) (deferring Fifth Circuit's conclusion Texas law); 153-154, 2223 (noting owed Second merits); Brown 344 458, 73 397, 407, (1953) ("So concerned, practice favorable position denials opinion"). regarding "substantial courts," reveal ability dispose desirable means avoiding, possible, questions. Pennhurst School Hospital Halderman, 465 89, 117, 119, 900, 917, 918, 67 Ashwander TVA, 297 347, 466, 483, 688 (1936) (Brandeis, concurring); 693, 5, relaxation salutary offers sound reason thinking dire dispensation, especially conferred cost undetermined 62 assuming avoidance unalloyed blessing matter, avoided cite reason, "unless 2254(b). Granberry Greer, 129, 133-134, 1671, 1674-1675, 119 (1987); Picard Connor, 404 270, 275, 512, 438 (1971); 116-118, 449-450, still 28. invoked. unequivocal command 2254(b) govern marginal imposed construe described extravagant. strongly reaff rms 9; Castille Peoples, 346, 1056, 380 (1989); (1989), difficulty reasoning. driving force possibility forgive irrespective how contrary. premise credited true, overruled, reaffirmed. forgiveness realistic possibility, Engle, state's According majority, guide hand, applies. consult sources authorized overlooked attempted likely waive concludes, Yet irreconcilable assumptions regularity predictability And predict pronouncements soon choose other. 65 Nothing illustrate point 334. Teague, Harris, overlooked. Speaking four Members O'CONNOR scope proceedings. For plurality 297-299, 1068. Without disagreeing plurality's logically issues, WHITE concurs disposing retroactivity 317, 1079. five futile remand enforce strictly. explain, fail possibly squared conclusive 66 ignores tradition honor, advances interest. works claims, stemming overwhelming tide petitions. logic precedent result. acknowledged preserved However, Nor barred, establish secure vacate matters. goes significantly further, description 1369 Ill.1985), 1987). terms meanings terms. witnesses, inasmuch why, progeny. omissions. Compare, Hardin Black, 845 953, 959 (CA11 1988) (federal merits), Brasier Douglas, 815 64, (CA10 alternatively bar), 483 1023, 3271, 769 (1987), Shepard Foltz, 771 962, 965 (when arguments court). Mann Dugger, 817 1471, 1487-1489 (Clark, specially concurring) (the review), rehearing en banc, 844 1446 (1988), 87-2073. Some judges, indeed, analyzed Meadows Holland, 831 504 (Winter, banc decision), 87-6063; F.2d, concurring). "independent," "adequate," Bator, D. Mishkin, & Shapiro, Hart Wechsler's System 590-627 (3d ed. 1988). Since repeatedly requirement. Chesternut, 571, 3, 1975, 1978, 565 Kentucky Stincer, 482 730, 735, 2658, 2662, 96 631 Maryland Garrison, 480 83-84, 1013, 1016-1017, 94 P.J. Video, Inc., 872, 4, 1610, 1613, 871 (1986); 678, 1434, Class, 106, 109-110, 960, 963-964, 81 example, usually petition. Of 351, 1067-1068, (1989) (plurality opinion). involve fear By very definition, curtails reconsideration invokes separate way, sacrificing argue disobey confirmed themselves discretion Brief 10-11. relieves having chosen Insofar urges repudiate f decline so. Additionally, dissent's fear, 6, submerge flood improper unrealistic: wishes pro forma easily "relief chooses refusing 147-154, 2219-2223, sufficed result, insufficient ground. precisely permits issue. adopts "ambiguity" applicant's presence treats adversely respondent (and inclined revisit), ambiguous. former reading 8. believe fair follow lead treat explains entail 265, 11. arguably Only tantamount assumption. importance advisory 3476, pertinent Procedural differ 446-447, 566-567, (1965). perfectly certain 964, Ohio Johnson, 467 497-498, 2536, 2540, 425 (1984). obtain demonstrating justice,' 262, innocent. 496, innocence, prefer treating test. litigation class correctly. known "that actions occupy disproportionate amount energy judiciary," Mitchell, 443 545, 584, 2993, 3014, 739 (1979) (Powell, judgment), many frivolous. year ending June 30, 10,000 prisoners. 1987 Annual Report Director Administrative Office 179. monumental unlikely alleviated dubious assumption bars, claims.

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