NOTICE: This opinion is subject to formal revision before
publication in the preliminary print of the United States
Reports. Readers are requested to notify the Reporter of Decisions,
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SUPREME COURT OF THE UNITED STATES
_________________
No. 15–8049
_________________
DUANE EDWARD BUCK, PETITIONER
v. LORIE DAVIS, DIRECTOR,
TEXAS DEPARTMENT OF CRIMINAL JUSTICE, CORRECTIONAL INSTITUTIONS
DIVISION
on writ of certiorari to the united states court of appeals for
the fifth circuit
[February 22, 2017]
Chief Justice Roberts delivered the opinion of the Court.
A Texas jury convicted petitioner Duane Buck of capital murder.
Under state law, the jury could impose a death sentence only if it
found that Buck was likely to commit acts of violence in the
future. Buck’s attorney called a psychologist to offer his opinion
on that issue. The psychologist testified that Buck probably would
not engage in violent conduct. But he also stated that one of the
factors pertinent in assessing a person’s propensity for violence
was his race, and that Buck was statistically more likely to act
violently because he is black. The jury sentenced Buck to
death.
Buck contends that his attorney’s introduction of this evidence
violated his Sixth Amendment right to the effective assistance of
counsel. This claim has never been heard on the merits in any
court, because the attorney who represented Buck in his first state
postconviction proceeding failed to raise it. In 2006, a Federal
District Court relied on that failure—properly, under
then-governing law—to hold that Buck’s claim was procedurally
defaulted and unreviewable.
In 2014, Buck sought to reopen that 2006 judgment by filing a
motion under Federal Rule of Civil Procedure 60(b)(6). He argued
that this Court’s decisions in
Martinez v.
Ryan,566
U. S. 1 (2012), and
Trevino v.
Thaler, 569
U. S. ___ (2013), had changed the law in a way that provided
an excuse for his procedural default, permitting him to litigate
his claim on the merits. In addition to this change in the law,
Buck’s motion identified ten other factors that, he said,
constituted the “extraordinary circumstances” required to justify
reopening the 2006 judgment under the Rule. See
Gonzalez v.
Crosby,545 U. S. 524,535 (2005).
The District Court below denied the motion, and the Fifth
Circuit declined to issue the certificate of appealability (COA)
requested by Buck to appeal that decision. We granted certiorari,
and now reverse.
I
A
On the morning of July 30, 1995, Duane Buck arrived at the home
of his former girlfriend, Debra Gardner. He was carrying a rifle
and a shotgun. Buck entered the home, shot Phyllis Taylor, his
stepsister, and then shot Gardner’s friend Kenneth Butler. Gardner
fled the house, and Buck followed. So did Gardner’s young children.
While Gardner’s son and daughter begged for their mother’s life,
Buck shot Gardner in the chest. Gardner and Butler died of their
wounds. Taylor survived.
Police officers arrived soon after the shooting and placed Buck
under arrest. An officer would later testify that Buck was laughing
at the scene. He remained “happy” and “upbeat” as he was driven to
the police station, “[s]miling and laughing” in the back of the
patrol car. App. 134a–135a, 252a.
Buck was tried for capital murder, and the jury convicted.
During the penalty phase of the trial, the jury was charged with
deciding two issues. The first was what the parties term the
“future dangerousness” question. At the time of Buck’s trial, a
Texas jury could impose the death penalty only if it
found—unanimously and beyond a reasonable doubt—“a probability that
the defendant would commit criminal acts of violence that would
constitute a continuing threat to society.” Tex. Code Crim. Proc.
Ann., Art. 37.071, §2(b)(1) (Vernon 1998). The second issue, to be
reached only if the jury found Buck likely to be a future danger,
was whether mitigating circumstances nevertheless warranted a
sentence of life imprisonment instead of death. See §2(e).
The parties focused principally on the first question. The State
called witnesses who emphasized the brutality of Buck’s crime and
his evident lack of remorse in its aftermath. The State also called
another former girlfriend, Vivian Jackson. She testified that,
during their relationship, Buck had routinely hit her and had twice
pointed a gun at her. Finally, the State introduced evidence of
Buck’s criminal history, including convictions for delivery of
cocaine and unlawfully carrying a weapon. App. 125a–127a, 185a.
Defense counsel answered with a series of lay witnesses,
including Buck’s father and stepmother, who testified that they had
never known him to be violent. Counsel also called two
psychologists to testify as experts. The first, Dr. Patrick
Lawrence, observed that Buck had previously served time in prison
and had been held in minimum custody. From this he concluded that
Buck “did not present any problems in the prison setting.” Record
in No. 4:04–cv–03965 (SD Tex.), Doc. 5–116, pp. 12–13. Dr. Lawrence
further testified that murders within the Texas penal system tend
to be gang related (there was no evidence Buck had ever been a
member of a gang) and that Buck’s offense had been a “crime of
passion” occurring within the context of a romantic relationship.
Id., at 4, 19, 21. Based on these considerations, Dr.
Lawrence determined that Buck was unlikely to be a danger if he
were sentenced to life in prison.
Id., at 20–21.
Buck’s second expert, Dr. Walter Quijano, had been appointed by
the presiding judge to conduct a psychological evaluation. Dr.
Quijano had met with Buck in prison prior to trial and shared a
report of his findings with defense counsel.
Like Dr. Lawrence, Dr. Quijano thought it significant that
Buck’s prior acts of violence had arisen from romantic
relationships with women; Buck, of course, would not form any such
relationships while incarcerated. And Dr. Quijano likewise
considered Buck’s behavioral record in prison a good indicator that
future violence was unlikely. App. 36a, 39a–40a.
But there was more to the report. In determining whether Buck
was likely to pose a danger in the future, Dr. Quijano considered
seven “statistical factors.” The fourth factor was “race.” His
report read, in relevant part: “4. Race. Black: Increased
probability. There is an over-representation of Blacks among the
violent offenders.”
Id., at 19a.
Despite knowing Dr. Quijano’s view that Buck’s race was
competent evidence of an increased probability of future violence,
defense counsel called Dr. Quijano to the stand and asked him to
discuss the “statistical factors” he had “looked at in regard to
this case.”
Id., at 145a–146a. Dr. Quijano responded that
certain factors were “know[n] to predict future dangerousness” and,
consistent with his report, identified race as one of them.
Id., at 146a. “It’s a sad commentary,” he testified, “that
minorities, Hispanics and black people, are over represented in the
Criminal Justice System.”
Ibid. Through further questioning,
counsel elicited testimony concerning factors Dr. Quijano thought
favorable to Buck, as well as his ultimate opinion that Buck was
unlikely to pose a danger in the future. At the close of Dr.
Quijano’s testimony, his report was admitted into evidence.
Id., at 150a–152a.
After opening cross-examination with a series of general
questions, the prosecutor likewise turned to the report. She asked
first about the statistical factors of past crimes and age, then
questioned Dr. Quijano about the roles of sex and race: “You have
determined that the sex factor, that a male is more violent than a
female because that’s just the way it is, and that the race factor,
black, increases the future dangerousness for various complicated
reasons; is that correct?”
Id., at 170a. Dr. Quijano
replied, “Yes.”
Ibid.
During closing arguments, defense counsel emphasized that Buck
had proved to be “controllable in the prison population,” and that
his crime was one of “jealousy, . . . passion and
emotion” unlikely to be repeated in jail.
Id., at 189a–191a.
The State stressed the crime’s brutal nature and Buck’s lack of
remorse, along with the inability of Buck’s own experts to
guarantee that he would not act violently in the future—a point it
supported by reference to Dr. Quijano’s testimony. See
id.,
at 198a–199a (“You heard from Dr. Quijano, . . . who told
you that . . . the probability did exist that [Buck]
would be a continuing threat to society.”).
The jury deliberated over the course of two days. During that
time it sent out four notes, one of which requested the “psychology
reports” that had been admitted into evidence.
Id., at 209a.
These reports—including Dr. Quijano’s—were provided. The jury
returned a sentence of death.
B
Buck’s conviction and sentence were affirmed on direct appeal.
Buck v.
State, No. 72,810 (Tex. Crim. App., Apr. 28,
1999). His case then entered a labyrinth of state and federal
collateral review, where it has wandered for the better part of two
decades.
Buck filed his first petition for a writ of habeas corpus in
Texas state court in 1999. The four claims advanced in his
petition, however, were all frivolous or noncognizable. See
Ex parte Buck, No. 699684–A (Dist. Ct. Harris Cty.,
Tex., July 11, 2003), pp. 6–7. The petition failed to mention
defense counsel’s introduction of expert testimony that Buck’s race
increased his propensity for violence.
But Dr. Quijano had testified in other cases, too, and in 1999,
while Buck’s first habeas petition was pending, one of those cases
reached this Court. The petitioner, Victor Hugo Saldano, argued
that his death sentence had been tainted by Dr. Quijano’s testimony
that Saldano’s Hispanic heritage “was a factor weighing in the
favor of future dangerousness.” App. 302a. Texas confessed error on
that ground and asked this Court to grant Saldano’s petition for
certiorari, vacate the state court judgment, and remand the case.
In June 2000, the Court did so.
Saldano v.
Texas,530
U. S. 1212.
Within days, the Texas Attorney General, John Cornyn, issued a
public statement concerning the cases in which Dr. Quijano had
testified. The statement affirmed that “it is inappropriate to
allow race to be considered as a factor in our criminal justice
system.” App. 213a. In keeping with that principle, the Attorney
General explained that his office had conducted a “thorough audit”
and “identified eight more cases in which testimony was offered by
Dr. Quijano that race should be a factor for the jury to consider
in making its determination about the sentence in a capital murder
trial.”
Ibid. Six of those cases were “similar to that of
Victor Hugo Saldano”; in those cases, letters had been sent to
counsel apprising them of the Attorney General’s findings.
Id., at 213a–214a. The statement closed by identifying the
defendants in those six cases. Buck was one of them.
Id., at
215a–217a. By the close of 2002, the Attorney General had confessed
error, waived any avail-able procedural defenses, and consented to
resentencing in the cases of five of those six defendants. See
Alba v.
Johnson, 232 F. 3d 208 (CA5 2000) (Table);
Memorandum and Order in
Blue v.
Johnson, No.
4:99–cv–00350 (SD Tex.), pp. 15–17; Order in
Garcia v.
Johnson, No. 1:99–cv–00134 (ED Tex.), p. 1; Order in
Broxton v.
Johnson, No. 4:00–cv–01034 (SD Tex.), pp.
10–11; Final Judgment in
Gonzales v.
Cockrell, No.
7:99–cv–00072 (WD Tex.), p. 1.
Not, however, in Buck’s. In 2002, Buck’s attorney filed a new
state habeas petition alleging that trial counsel had rendered
ineffective assistance by introducing Dr. Quijano’s testimony. The
State was not represented by the Attorney General in this
proceeding—the Texas Attorney General represents state respondents
in federal habeas cases, but not state habeas cases—and it did not
confess error. Because Buck’s petition was successive, the Texas
Court of Criminal Appeals dismissed it as an abuse of the writ.
Ex parte Buck, Nos. 57,004–01, 57,004–02 (Tex. Crim.
App., Oct. 15, 2003) (
per curiam).
Buck turned to the federal courts. He filed a petition for
habeas corpus under28 U. S. C. §2254 in October 2004, by
which time Attorney General Cornyn had left office. See
Buck
v.
Dretke, 2006 WL 8411481, *2 (SD Tex., July 24, 2006).
Buck sought relief on the ground that trial counsel’s introduction
of Dr. Quijano’s testimony was constitutionally ineffective. The
State responded that the state court had dismissed Buck’s
ineffective assistance claim because Buck had failed to press it in
his first petition, raising it for the first time in a procedurally
improper second petition. The State argued that such reliance on an
established state rule of procedure was an adequate and independent
state ground precluding federal review. Texas acknowledged that it
had waived similar procedural defenses in Saldano’s case. But it
argued that Buck’s case was different because “[i]n Saldano’s case
Dr. Quijano
testified for the State”; in Buck’s, “it was
Buck who called Dr. Quijano to testify.” Answer and Motion for
Summary Judgment in No. 4:04–cv–03965 (SD Tex.), p. 20.
Buck countered that, notwithstanding his procedural default, the
District Court should reach the merits of his claim because a
failure to do so would result in a miscarriage of justice. Buck did
not argue that his default should be excused on a showing of
“cause” and “prejudice”—that is, cause for the default, and
prejudice from the denial of a federal right. And for good reason:
At the time Buck filed his §2254 petition, our decision in
Coleman v.
Thompson,501 U. S. 722–753 (1991),
made clear that an attorney’s failure to raise an ineffective
assistance claim during state postconviction review could not
constitute cause. The District Court rejected Buck’s miscarriage of
justice argument and held that, because of his procedural default,
his ineffective assistance claim was unreviewable.
Buck v.
Dretke, 2006 WL 8411481, at *8. Buck unsuccessfully sought
review of the District Court’s ruling. See
Buck v.
Thaler, 345 Fed. Appx. 923 (CA5 2009) (
per
curiam) (denying application for a COA), cert. denied,559
U. S. 1072 (2010).
In 2011, Buck sought to reopen his case, arguing that the
prosecution had violated the Equal Protection and Due Process
Clauses by asking Dr. Quijano about the relationship between race
and future violence on cross-examination and referring to his
testimony during summation. Buck also argued that the State’s
decision to treat him differently from the other defendants
affected by Dr. Quijano’s testimony justified relieving him of the
District Court’s adverse judgment. The Fifth Circuit disagreed, see
Buck v.
Thaler, 452 Fed. Appx. 423, 427–428 (CA5
2011) (
per curiam), and we denied certiorari,
Buck v.
Thaler,565 U. S. 1022 (2011). Buck,
still barred by
Coleman from avoiding the consequences of
his procedural default, did not pursue his ineffective assistance
claim.
C
In 2012, this Court “modif[ied] the unqualified statement in
Coleman that an attorney’s ignorance or inadvertence in a
postconviction proceeding does not qualify as cause to excuse a
procedural default.”
Martinez, 566 U. S., at 9. We held
that when a state formally limits the adjudication of claims of
ineffective assistance of trial counsel to collateral review, a
prisoner may establish cause for procedural default if (1) “the
state courts did not appoint counsel in the initial-review
collateral proceeding,” or “appointed counsel in [that] proceeding
. . . was ineffective under the standards of
Strickland v.
Washington,466 U. S. 668 (1984)”;
and (2) “the underlying . . . claim is a substantial one,
which is to say that . . . the claim has some merit.”
Id., at 14.
By its terms,
Martinez did not bear on Buck’s ineffective
assistance claim. At the time of Buck’s conviction and appeal,
Texas did not formally require criminal defendants to reserve such
claims for collateral review. In
Tre-vino, however, the
Court concluded that the exception an-nounced in
Martinez
extended to state systems that, as a practical matter, deny
criminal defendants “a meaningful opportunity” to press ineffective
assistance claims on direct appeal. 569 U. S., at ___ (slip
op., at 13). The Court further concluded that the system in Texas,
where petitioner had been convicted, was such a system.
Ibid. The upshot: Had
Martinez and
Trevino
been decided before Buck filed his §2254 petition, a federal court
could have reviewed Buck’s ineffective assistance claim if he
demonstrated that (1) state postconviction counsel had been
constitutionally ineffective in failing to raise it, and (2) the
claim had “some merit.”
Martinez, 566 U. S., at 14.
D
When
Trevino was decided, Buck’s third state habeas
petition was pending in Texas court. That petition was denied in
November 2013.
Ex parte Buck, 418 S. W. 3d 98
(Tex. Crim. App. 2013) (
per curiam). Two months later,
Buck returned to federal court, where he filed a motion to reopen
his §2254 case under Federal Rule of Civil Procedure 60(b)(6). Rule
60(b) enumerates specific circumstances in which a party may be
relieved of the effect of a judgment, such as mistake, newly
discovered evidence, fraud, and the like. The Rule concludes with a
catchall category—subdivision (b)(6)—providing that a court may
lift a judgment for “any other reason that justifies relief.”
Relief is available under subdivision (b)(6), however, only in
“extraordinary circumstances,” and the Court has explained that
“[s]uch circumstances will rarely occur in the habeas context.”
Gonzalez, 545 U. S., at 535.
In his motion, Buck identified 11 factors that, in his view,
justified reopening the judgment. These included his attorney’s
introduction of expert testimony linking Buck’s race to violence,
the central issue at sentencing; the prosecution’s questions about
race and violence on cross-examination and reliance on Dr.
Quijano’s testimony in summation; the State’s confession of error
in other cases in which Dr. Quijano testified, but its refusal to
concede error in Buck’s case; and the change in law effected by
Martinez and
Trevino, which, if they had been decided
earlier, would have permitted federal review of Buck’s defaulted
claim. App. 283a–285a.
The District Court denied relief on two grounds. First, the
court concluded that Buck had failed to demonstrate extraordinary
circumstances. To that end, the court observed that a change in
decisional law is rarely extraordinary by itself.
Buck v.
Stephens, 2014 WL 11310152, *4 (SD Tex., Aug. 29, 2014). It
further determined that the State’s “promise” not to oppose
resentencing did not count for much, reasoning that “Buck’s case is
different in critical respects from the cases in which Texas
confessed error” in that Buck’s lawyer, not the prosecutor, had
first elicited the objectionable testimony.
Id., at *4–*5.
The court also dismissed the contention that the nature of Dr.
Quijano’s testimony argued for reopening the case. Although “the
introduction of any mention of race was,” in the court’s view,
“ill[ ]advised at best and repugnant at worst,” it was also “
de
minimis”: Dr. Quijano had discussed the connection between race
and violence only twice.
Id., at *5. The court accordingly
concluded that Buck had failed to make out the predicate for Rule
60(b)(6) relief.
Second, the court determined that—even if the circumstances
were extraordinary—Buck’s claim would fail on the merits.
The court noted that under
Strickland, Buck was obliged to
show that counsel’s performance was both deficient and prejudicial.
The court held that Buck’s lawyer had indeed performed deficiently
in calling Dr. Quijano to give testimony that “len[t] credence to
any potential latent racial prejudice held by the jury.” 2014 WL
11310152, at *6. But, the court concluded, Buck had failed to
demonstrate prejudice. It observed that Buck’s crime had been
“horrific.”
Ibid. And the court had already concluded that
“the introduction of any mention of race was . . .
de
minimis.”
Id., at *5. For those reasons, it held, Buck
had failed to show a reasonable probability that he would not have
been sentenced to death but for Dr. Quijano’s testimony about race
and violence.
Buck sought to appeal the denial of his Rule 60(b)(6) motion. He
accordingly filed an application for a COA with the Fifth Circuit.
To obtain a COA, Buck was required to make “a substantial showing
of the denial of a constitutional right.”[
1]*28
U. S. C. §2253(c)(2).
The Fifth Circuit denied a COA, concluding that Buck’s case was
“not extraordinary at all in the habeas context.”
Buck v.
Stephens, 623 Fed. Appx. 668, 673 (2015). The panel agreed
with the District Court that
Martinez and
Trevino
were not significant factors in the analysis. It characterized most
of the other factors Buck had identified as “variations on the
merits” of his claim, which was “at least unremarkable as far as
[ineffective assistance] claims go.” 623 Fed. Appx., at 673. The
panel likewise rejected Buck’s argument that he was entitled to
relief because the State had issued a press release indicating that
his case would be treated like Saldano’s, and then had confessed
error in the other cases identified as similar in the statement,
but not in Buck’s.
Id., at 674. Because Buck had “not shown
extraordinary circumstances that would permit relief under Federal
Rule of Civil Procedure 60(b)(6),” the panel “den[ied] the
application for a COA.”
Id., at 669.
Buck’s motion for rehearing en banc was denied over two
dissenting votes.
Buck v.
Stephens, 630 Fed. Appx.
251 (CA5 2015) (
per curiam). We granted certiorari.
Buck v.
Stephens, 578 U. S. ___ (2016).
II
A state prisoner whose petition for a writ of habeas corpus is
denied by a federal district court does not enjoy an absolute right
to appeal. Federal law requires that he first obtain a COA from a
circuit justice or judge.28 U. S. C. §2253(c)(1). A COA
may issue “only if the applicant has made a substantial showing of
the denial of a constitutional right.” §2253(c)(2). Until the
prisoner secures a COA, the Court of Appeals may not rule on the
merits of his case.
Miller-El v.
Cockrell,537
U. S. 322 (2003).
The COA inquiry, we have emphasized, is not coextensive with a
merits analysis. At the COA stage, the only question is whether the
applicant has shown that “jurists of reason could disagree with the
district court’s resolution of his constitutional claims or that
jurists could conclude the issues presented are adequate to deserve
encouragement to proceed further.”
Id., at 327. This
threshold question should be decided without “full consideration of
the factual or legal bases adduced in support of the claims.”
Id., at 336. “When a court of appeals sidesteps [the COA]
process by first deciding the merits of an appeal, and then
justifying its denial of a COA based on its adjudication of the
actual merits, it is in essence deciding an appeal without
jurisdiction.”
Id., at 336–337.
The court below phrased its determination in proper terms—that
jurists of reason would not debate that Buck should be denied
relief, 623 Fed. Appx., at 674—but it reached that conclusion only
after essentially deciding the case on the merits. As the court put
it in the second sentence of its opinion: “Because [Buck] has not
shown extraordinary circumstances that would permit relief under
Federal Rule of Civil Procedure 60(b)(6), we deny the application
for a COA.”
Id., at 669. The balance of the Fifth Circuit’s
opinion reflects the same approach. The change in law effected by
Martinez and
Trevino, the panel wrote, was “not an
extraordinary circumstance.” 623 Fed. Appx., at 674. Even if Texas
initially indicated to Buck that he would be resentenced, its
“decision not to follow through” was “not extraordinary.”
Ibid. Buck “ha[d] not shown why” the State’s alleged broken
promise “would justify relief from the judgment.”
Ibid.
But the question for the Fifth Circuit was not whether Buck had
“shown extraordinary circumstances” or “shown why [Texas’s broken
promise] would justify relief from the judgment.”
Id., at
669, 674. Those are ultimate merits determinations the panel should
not have reached. We reiterate what we have said before: A “court
of appeals should limit its examination [at the COA stage] to a
threshold inquiry into the underlying merit of [the] claims,” and
ask “only if the District Court’s decision was debatable.”
Miller-El, 537 U. S., at 327, 348.
The dissent does not accept this established rule, arguing that
a reviewing court that deems a claim nondebatable “must necessarily
conclude that the claim is meritless.”
Post, at 2 (opinion
of Thomas, J.). Of course when a court of appeals properly applies
the COA standard and determines that a prisoner’s claim is not even
debatable, that necessarily means the prisoner has failed to show
that his claim is meritorious. But the converse is not true. That a
prisoner has failed to make the ultimate showing that his claim is
meritorious does not logically mean he failed to make a preliminary
showing that his claim was debatable. Thus, when a reviewing court
(like the Fifth Circuit here) inverts the statutory order of
operations and “first decid[es] the merits of an appeal,
. . . then justif[ies] its denial of a COA based on its
adjudication of the actual merits,” it has placed too heavy a
burden on the prisoner
at the COA stage.
Miller-El,
537 U. S., at 336–337.
Miller-El flatly prohibits such
a departure from the procedure prescribed by §2253.
Ibid.
The State defends the Fifth Circuit’s approach by arguing that
the court’s consideration of an application for a COA is often
quite thorough. The court “occasionally hears oral argument when
considering whether to grant a COA in a capital case.” Brief for
Respondent 50. Indeed, in one recent case, it “received nearly 200
pages of initial briefing, permitted a reply brief, considered the
parties’ supplemental authorities, invited supplemental letter
briefs from both sides, and heard oral argument before denying the
request for a COA.”
Id., at 50–51.
But this hurts rather than helps the State’s case. “[A] claim
can be debatable even though every jurist of reason might agree,
after the COA has been granted and the case has received full
consideration, that petitioner will not prevail.”
Miller-El,
537 U. S., at 338. The statute sets forth a two-step process:
an initial determination whether a claim is reasonably debatable,
and then—if it is—an appeal in the normal course. We do not mean to
specify what procedures may be appropriate in every case. But
whatever procedures are employed at the COA stage should be
consonant with the limited nature of the inquiry.
Given the approach of the court below, it is perhaps
understandable that the parties have essentially briefed and argued
the underlying merits at length. See,
e.g., Brief for
Petitioner 32 (“[T]rial counsel rendered deficient performance
under
Strickland.”);
id., at 39 (“[T]here is a
reasonable probability that Dr. Quijano’s race-as-dangerousness
opinion swayed the judgment of jurors in favor of death.” (internal
quotation marks and alteration omitted));
id., at 59 (Buck
“has demonstrated his entitlement to relief under Rule 60(b)(6)”);
Brief for Respondent 40 (“The particular facts of petitioner’s case
do not establish extraordinary circumstances justifying relief from
the judgment.” (boldface type deleted)). With respect to this
Court’s review, §2253 does not limit the scope of our consideration
of the underlying merits, and at this juncture we think it proper
to meet the decision below and the arguments of the parties on
their own terms.
III
Buck’s request for a COA raised two separate questions for the
Fifth Circuit, one substantive and one procedural: first, whether
reasonable jurists could debate the District Court’s conclusion
that Buck was not denied his right to effective assistance of
counsel under
Strickland; and second, whether reasonable
jurists could debate the District Court’s procedural holding that
Buck had not made the necessary showing to reopen his case under
Rule 60(b)(6).
A
We begin with the District Court’s determination (not
specifically addressed by the Fifth Circuit) that Buck’s
constitutional claim failed on the merits. The Sixth Amendment
right to counsel “is the right to the effective assistance of
counsel.”
Strickland, 466 U. S., at 686 (quoting
McMann v.
Richardson,397 U. S. 759, n. 14
(1970)). A defendant who claims to have been denied ef-fective
assistance must show both that counsel performed deficiently and
that counsel’s deficient performance caused him prejudice. 466
U. S., at 687.
1
Strickland’s first prong sets a high bar. A defense
lawyer navigating a criminal proceeding faces any number of choices
about how best to make a client’s case. The lawyer has discharged
his constitutional responsibility so long as his decisions fall
within the “wide range of professionally competent assistance.”
Id., at 690. It is only when the lawyer’s errors were “so
serious that counsel was not functioning as the ‘counsel’
guaranteed . . . by the Sixth Amendment” that
Strickland’s first prong is satisfied.
Id., at
687.
The District Court determined that, in this case, counsel’s
performance fell outside the bounds of competent representation. We
agree. Counsel knew that Dr. Quijano’s report reflected the view
that Buck’s race disproportionately predisposed him to violent
conduct; he also knew that the principal point of dispute during
the trial’s penalty phase was whether Buck was likely to act
violently in the future. Counsel nevertheless (1) called Dr.
Quijano to the stand; (2) specifically elicited testimony about the
connection between Buck’s race and the likelihood of future
violence; and (3) put into evidence Dr. Quijano’s expert report
that stated, in reference to factors bearing on future
dangerousness, “Race. Black: Increased probability.” App. 19a,
145a–146a.
Given that the jury had to make a finding of future
dangerousness before it could impose a death sentence, Dr.
Quijano’s report said, in effect, that the color of Buck’s skin
made him more deserving of execution. It would be patently
unconstitutional for a state to argue that a defendant is liable to
be a future danger because of his race. See
Zant v.
Stephens,462 U. S. 862,885 (1983) (identifying race
among factors that are “constitutionally impermissible or totally
irrelevant to the sentencing process”). No competent defense
attorney would introduce such evidence about his own client. See
Buck v.
Thaler, 565 U. S., at 1022 (statement of
Alito, J., joined by Scalia and Breyer, JJ., respecting denial of
certiorari) (Buck’s case “concerns bizarre and objectionable
testimony”).
2
To satisfy
Strickland, a litigant must also demonstrate
prejudice—“a reasonable probability that, but for counsel’s
unprofessional errors, the result of the proceeding would have been
different.” 466 U. S.
, at 694. Accordingly, the
question before the District Court was whether Buck had
demonstrated a reasonable probability that, without Dr. Quijano’s
testimony on race, at least one juror would have harbored a
reasonable doubt about whether Buck was likely to be violent in the
future. The District Court concluded that Buck had not made such a
showing. We disagree.
In arguing that the jury would have imposed a death sentence
even if Dr. Quijano had not offered race-based testimony, the State
primarily emphasizes the brutality of Buck’s crime and his lack of
remorse. A jury may conclude that a crime’s vicious nature calls
for a sentence of death. See
Wong v.
Belmontes,558
U. S. 15 (2009) (
per curiam). In this case,
however, several considerations convince us that it is reasonably
probable—notwithstanding the nature of Buck’s crime and his
behavior in its aftermath—that the proceeding would have ended
differently had counsel rendered competent representation.
Dr. Quijano testified on the key point at issue in Buck’s
sentencing. True, the jury was asked to decide two issues—whether
Buck was likely to be a future danger, and, if so, whether
mitigating circumstances nevertheless justified a sentence of life
imprisonment. But the focus of the proceeding was on the first
question. Much of the penalty phase testimony was directed to
future dangerousness, as were the summations for both sides. The
jury, consistent with the focus of the parties, asked during
deliberations to see the expert reports on dangerousness. See App.
187a–196a, 198a–203a, 209a.
Deciding the key issue of Buck’s dangerousness involved an
unusual inquiry. The jurors were not asked to determine a
historical fact concerning Buck’s conduct, but to render a
predictive judgment inevitably entailing a degree of speculation.
Buck, all agreed, had committed acts of terrible violence. Would he
do so again?
Buck’s prior violent acts had occurred outside of prison, and
within the context of romantic relationships with women. If the
jury did not impose a death sentence, Buck would be sentenced to
life in prison, and no such romantic relationship would be likely
to arise. A jury could conclude that those changes would minimize
the prospect of future dangerousness.
But one thing would never change: the color of Buck’s skin. Buck
would always be black. And according to Dr. Quijano, that immutable
characteristic carried with it an “[i]ncreased probability” of
future violence.
Id., at 19a. Here was hard statistical
evidence—from an expert—to guide an otherwise speculative
inquiry.
And it was potent evidence. Dr. Quijano’s testimony appealed to
a powerful racial stereotype—that of black men as “violence prone.”
Turner v.
Murray,476 U. S. 28,35 (1986)
(plurality opinion). In combination with the substance of the
jury’s inquiry, this created something of a perfect storm. Dr.
Quijano’s opinion coincided precisely with a particularly noxious
strain of racial prejudice, which itself coincided precisely with
the central question at sentencing. The effect of this unusual
confluence of factors was to provide support for making a decision
on life or death on the basis of race.
This effect was heightened due to the source of the testimony.
Dr. Quijano took the stand as a medical expert bearing the court’s
imprimatur. The jury learned at the outset of his testimony that he
held a doctorate in clinical psychology, had conducted evaluations
in some 70 capital murder cases, and had been appointed by the
trial judge (at public expense) to evaluate Buck. App. 138a–141a.
Reasonable jurors might well have valued his opinion concerning the
central question before them. See
Satterwhite v.
Texas,486 U. S. 249,259 (1988) (testimony from “a
medical doctor specializing in psychiatry” on the question of
future dangerousness may have influenced the sentencing jury).
For these reasons, we cannot accept the District Court’s
conclusion that “the introduction of any mention of race” during
the penalty phase was “
de minimis.” 2014 WL 11310152, at *5.
There were only “two references to race in Dr. Quijano’s
testimony”—one during direct examination, the other on cross.
Ibid. But when a jury hears expert testimony that expressly
makes a defendant’s race directly pertinent on the question of life
or death, the impact of that evidence cannot be measured simply by
how much air time it received at trial or how many pages it
occupies in the record. Some toxins can be deadly in small
doses.
The State acknowledges, as it must, that introducing “race or
ethnicity as evidence of criminality” can in some cases prejudice a
defendant. Brief for Respondent 31. But it insists that this is not
such a case, because Buck’s own counsel, not the prosecution,
elicited the offending testimony. We are not convinced. In fact,
the distinction could well cut the other way. A prosecutor is
seeking a conviction. Jurors understand this and may reasonably be
expected to evaluate the government’s evidence and arguments in
light of its motivations. When a defendant’s own lawyer puts in the
offending evidence, it is in the nature of an admission against
interest, more likely to be taken at face value.
The effect of Dr. Quijano’s testimony on Buck’s sentencing
cannot be dismissed as “
de minimis.” Buck has demonstrated
prejudice.
B
1
We now turn to the lower courts’ procedural holding: that Buck
failed to demonstrate that he was entitled to have the judgment
against him reopened under Rule 60(b)(6). We have held that a
litigant seeking a COA must demonstrate that a procedural ruling
barring relief is itself debatable among jurists of reason;
otherwise, the appeal would not “deserve encouragement to proceed
further.”
Slack v.
McDaniel,529 U. S. 473,484
(2000) (quoting
Barefoot v.
Estelle, 463 U. S.
880, n. 4 (1983)).
The Rule 60(b)(6) holding Buck challenges would be reviewed for
abuse of discretion during a merits appeal, see 11 C. Wright, A.
Miller, & M. Kane, Federal Practice and Procedure §2857 (3d ed.
2012), and the parties agree that the COA question is therefore
whether a reasonable jurist could conclude that the District Court
abused its discretion in declining to reopen the judgment. See
Brief for Petitioner 54–57; Brief for Respondent 34.
Buck brought his Rule 60(b) motion under the Rule’s catchall
category, subdivision (b)(6), which permits a court to reopen a
judgment for “any other reason that justifies relief.” Rule 60(b)
vests wide discretion in courts, but we have held that relief under
Rule 60(b)(6) is available only in “extraordinary circumstances.”
Gonzalez, 545 U. S., at 535. In determining whether
extraordinary circumstances are present, a court may consider a
wide range of factors. These may include, in an appropriate case,
“the risk of injustice to the parties” and “the risk of undermining
the public’s confidence in the judicial process.”
Liljeberg
v.
Health Services Acquisition Corp.,486 U. S. 847–864
(1988).
In the circumstances of this case, the District Court abused its
discretion in denying Buck’s Rule 60(b)(6) motion. The District
Court’s conclusion that Buck “ha[d] failed to demonstrate that this
case presents extraordinary circumstances” rested in large measure
on itsdetermination that “the introduction of any mention of
race”—though “ill[ ]advised at best and repugnant at
worst”—played only a “
de minimis” role in the proceeding.
2014 WL 11310152, at *5. The Fifth Circuit, for its part, failed
even to mention the racial evidence in concludingthat Buck’s claim
was “at least unremarkable as far as [ineffective assistance]
claims go.” 623 Fed. Appx., at 673. But our holding on prejudice
makes clear that Buck may have been sentenced to death in part
because of his race. As an initial matter, this is a disturbing
departure from a basic premise of our criminal justice system: Our
law punishes people for what they do, not who they are. Dispensing
punishment on the basis of an immutable characteristic flatly
contravenes this guiding principle. As petitioner correctly puts
it, “[i]t stretches credulity to characterize Mr. Buck’s
[ineffective assistance of counsel] claim as run-of-the-mill.”
Brief for Petitioner 57.
This departure from basic principle was exacerbated because it
concerned race. “Discrimination on the basis of race, odious in all
aspects, is especially pernicious in the administration of
justice.”
Rose v.
Mitchell,443 U. S. 545,555
(1979). Relying on race to impose a criminal sanction “poisons
public confidence” in the judicial process.
Davis v.
Ayala, 576 U. S. ___, ___ (2015) (slip op., at 28). It
thus injures not just the defendant, but “the law as an
institution, . . . the community at large, and
. . . the democratic ideal reflected in the processes of
our courts.”
Rose, 443 U. S., at 556 (internal
quotation marks omitted). Such concerns are precisely among those
we have identified as supporting relief under Rule 60(b)(6). See
Liljeberg, 486 U. S.
, at 864.
The extraordinary nature of this case is confirmed by what the
State itself did in response to Dr. Quijano’s testimony. When the
case of Victor Hugo Saldano came before this Court, Texas confessed
error and consented to resentencing. The State’s response to
Saldano’s petition for certiorari succinctly expressed the
injustice Saldano had suffered: “the infusion of race as a factor
for the jury to weigh in making its determination violated his
constitutional right to be sentenced without regard to the color of
his skin.” App. 306a.
The Attorney General’s public statement, issued shortly after we
vacated the judgment in Saldano’s case, reflected this sentiment.
It explained that the State had responded to Saldano’s troubling
petition by conducting a “thorough audit” of criminal cases,
finding six similar to Saldano’s “in which testimony was offered by
Dr. Quijano that race should be a factor for the jury to consider.”
Id., at 213a. The statement affirmed that “it is
inappropriate to allow race to be considered as a factor in our
criminal justice system
.” Ibid. Consistent with this
position—and to its credit—the State confessed error in the cases
of five of the six defendants identified in the Attorney General’s
statement, waiving all available procedural defenses and consenting
to resentencing.
These were remarkable steps. It is not every day that a State
seeks to vacate the sentences of five defendants found guilty of
capital murder. But then again, these were—as the State itself put
it at oral argument here—“extraordinary” cases. Tr. of Oral Arg.
41; see
Buck v.
Thaler, 565 U. S., at 1030
(Sotomayor, J., joined by Kagan, J., dissenting from denial of
certiorari) (“Especially in light of the capital nature of this
case and the express recognition by a Texas attorney general that
the relevant testimony was inappropriately race charged, Buck has
presented issues that ‘deserve encouragement to proceed
further.’ ” (quoting
Miller-El, 537 U. S., at
327)).
To be sure, the State has repeatedly attempted to justify its
decision to treat Buck differently from the other five defendants
identified in the Attorney General’s statement, including on
asserted factual grounds that the State has been required to
abjure. See Brief for Respondent 46, n. 10 (the State’s
initial opposition to Buck’s habeas petition “erroneously” argued
that Buck was treated differently because defense counsel, not the
State, called Dr. Quijano as a witness; that was also true of two
of the other defendants). The State continues its efforts before
this Court, arguing that Buck’s was the only one of the six cases
in which defense counsel, not the prosecution, first elicited Dr.
Quijano’s opinion on race. See also
post, at 8 (opinion of
Thomas, J.).
But this is beside the point. The State’s various explanations
for distinguishing Buck’s case have nothing to do with the Attorney
General’s stated reasons for confessing error in
Saldano and
the cases acknowledged as similar. Regardless of which party first
broached the subject, race was in all these cases put to the jury
“as a factor . . . to weigh in making its determination.”
App. 306a. The statement that “it is inappropriate to allow race to
be considered as a factor in our criminal justice system” is
equally applicable whether the prosecution or ineffective defense
counsel initially injected race into the proceeding.
Id., at
213a. The terms of the State’s announcement provide every reason
for originally including Buck on the list of defendants situated
similarly to Saldano, and no reason for later taking him off.
In opposition, the State reminds us of the importance of
preserving the finality of judgments. Brief for Respondent 34. But
the “whole purpose” of Rule 60(b) “is to make an exception to
finality.”
Gonzalez, 545 U. S., at 529. And in this
case, the State’s interest in finality deserves little weight. When
Texas recognized that the infusion of race into proceedings similar
to Saldano’s warranted confession of error, it effectively
acknowledged that the people of Texas lack an interest in enforcing
a capital sentence obtained on so flawed a basis. In concluding
that the value of finality does not demand that we leave the
District Court’s judgment in place, we do no more than acknowledge
what Texas itself recognized 17 years ago.
2
Our Rule 60(b)(6) analysis has thus far omitted one significant
element. When Buck first sought federal ha-beas relief in 2004,
Coleman barred the District Court from hearing his claim.
Today, however, a claim of ineffective assistance of trial counsel
defaulted in a Texas postconviction proceeding may be reviewed in
federal court if state habeas counsel was constitutionally
ineffective in failing to raise it, and the claim has “some merit.”
Martinez, 566 U. S., at 14; see
Trevino, 569
U. S., at ___ (slip op., at 13). Buck cannot obtain relief
unless he is entitled to the benefit of this rule—that is, unless
Martinez and
Trevino, not
Coleman, would
govern his case were it reopened. If they would not, his claim
would remain unreviewable, and Rule 60(b)(6) relief would be
inappropriate. See 11 Wright & Miller, Federal Practice and
Procedure §2857 (showing “a good claim or defense” is a
precondition of Rule 60(b)(6) relief ).
Until merits briefing in this Court, both parties litigated this
matter on the assumption that
Martinez and
Trevino
would apply if Buck reopened his case. See Pet. for Cert. 27–28;
Brief in Opposition 11–13; Amended Application for Certificate of
Appealability and Brief in Support 26, Respondent-Appellee’s
Opposition to Pet. for En Banc Rehearing 9–11, and Respondent’s
Opposition to Application for Certificate of Appealability 15–17 in
No. 14–70030 (CA5); Amended Response to Motion for Relief from
Judgment in No. 4:04–cv–03965 (SD Tex.), pp. 11–13. But the State’s
brief adopts a new position on this issue. The State now argues
that those cases announced a “new rule” that, under
Teague
v.
Lane,489 U. S. 288 (1989) (plurality opinion), does
not apply retroactively to cases (like Buck’s) on collateral
review. Brief for Respondent 38–40. Buck responds that
Teague analysis applies only to new rules of criminal
procedure that govern trial proceedings—not new rules of habeas
procedure that govern collateral proceedings—and that the State has
in any event waived its
Teague argument. Reply Brief 20.
We agree that the argument has been waived. See
Danforth
v.
Minnesota,552 U. S. 264,289 (2008) (“States can
waive a
Teague defense . . . by failing to raise
it in a timely manner . . . .”). It was not
advanced in District Court, before the Fifth Circuit, or in the
State’s brief in opposition to Buck’s petition for certiorari.
Although we may reach the issue in our discretion, we have observed
before that a State’s failure to raise a
Teague argument at
the petition stage is particularly “significant” in deciding
whether such an exercise of discretion is appropriate.
Schiro v.
Farley,510 U. S. 222–229 (1994). When
“a legal issue appears to warrant review, we grant certiorari in
the expectation of being able to decide that issue.”
Id., at
229. If we were to entertain the State’s eleventh-hour
Teague argument and find it persuasive, Buck’s
Strickland and Rule 60(b)(6) contentions—the issues we
thought worthy of review—would be insulated from our consideration.
We therefore decline to reach the
Teague question and
conclude that
Martinez and
Trevino apply to Buck’s
claim. We reach no broader determination concerning the application
of these cases.
C
For the foregoing reasons, we conclude that Buck has
demonstrated both ineffective assistance of counsel under
Strickland and an entitlement to relief under Rule 60(b)(6).
It follows that the Fifth Circuit erred in denying Buck the COA
required to pursue these claims on appeal.
The judgment of the United States Court of Appeals for the Fifth
Circuit is reversed, and the case is remanded for further
proceedings consistent with this opinion.
It is so ordered.