2004 U.S. LEXIS 1621,*;124 S. Ct. 1256;
157 L. Ed. 2d 1166;72 U.S.L.W. 4193
DELMA BANKS, JR., PETITIONER v. DOUG
DRETKE, DIRECTOR, TEXAS DEPARTMENT OF CRIMINAL JUSTICE, CORRECTIONAL
INSTITUTIONS DIVISION
No. 02-8286
SUPREME COURT OF THE UNITED STATES
124 S. Ct. 1256;157 L. Ed. 2d 1166;2004 U.S. LEXIS 1621;72
U.S.L.W.
4193;17 Fla. L. Weekly Fed. S 153
December 8, 2003, Argued
February 24, 2004, Decided
PRIOR HISTORY: ON WRIT OF CERTIORARI TO THE UNITED STATES
COURT OF APPEALS FOR THE FIFTH CIRCUIT.
Banks v.
Cockrell, 48 Fed. Appx. 104, 2002 U.S. App. LEXIS 19381 (2002)
DISPOSITION:
48 Fed.
Appx. 104, reversed and remanded.
JUDGES: GINSBURG, J., delivered the opinion of the Court, in
which REHNQUIST, C. J., and STEVENS, O'CONNOR, KENNEDY, SOUTER, and BREYER,
JJ., joined, and in which SCALIA and THOMAS, JJ., joined as to Part III.
THOMAS, J., filed an opinion concurring [*17] in part and dissenting in
part, in which SCALIA, J., joined.
OPINIONBY: GINSBURG
OPINION: JUSTICE GINSBURG delivered the opinion of the Court.
Petitioner Delma Banks, Jr., was convicted of capital murder and sentenced
to death. Prior to trial, the State advised Banks's attorney there would
be no need to litigate discovery issues, representing: "We will, without
the necessity of motions[,] provide you with all discovery to which you
are entitled." App. 361, n. 1; App. to Pet. for Cert. A4 (both sources'
internal quotation marks omitted). Despite that undertaking, the State
withheld evidence that would have allowed Banks to discredit two essential
prosecution witnesses. The State did not disclose that one of those
witnesses was a paid police informant, nor did it disclose a pretrial
transcript revealing that the other witness' trial testimony had been
intensively coached by prosecutors and law enforcement officers.
Furthermore, the prosecution raised no red flag when the informant
testified, untruthfully, that he never gave the police any statement and,
indeed, had not talked to any police officer about the case until a few
days before the trial. Instead of correcting the informant's false [*18]
statements, the prosecutor told the jury that the witness "had been open
and honest with you in every way," App. 140, and that his testimony was of
the "utmost significance," id., at 146. Similarly, the prosecution
allowed the other key witness to convey, untruthfully, that his testimony
was entirely unrehearsed. Through direct appeal and state collateral
review proceedings, the State continued to hold secret the key witnesses'
links to the police and allowed their false statements to stand
uncorrected.
Ultimately, through discovery and an evidentiary hearing authorized in a
federal habeas corpus proceeding, the long-suppressed evidence came to
light. The District Court granted Banks relief from the death penalty, but
the Court of Appeals reversed. In the latter court's judgment, Banks had
documented his claims of prosecutorial misconduct too late and in the
wrong forum; therefore he did not qualify for federal-court relief. We
reverse that judgment. When police or prosecutors conceal significant
exculpatory or impeaching material in the State's possession, it is
ordinarily incumbent on the State to set the record straight.
I
On April 14, 1980, police found the [*19] corpse of 16-year-old Richard
Whitehead in Pocket Park, east of Nash, Texas, a town in the vicinity of
Texarkana. Id., at 8, 141. n1 A preliminary autopsy revealed that
Whitehead had been shot three times. Id., at 10. Bowie County
Deputy Sheriff Willie Huff, lead investigator of the death, learned from
two witnesses that Whitehead had been in the company of petitioner,
21-year-old Delma Banks, Jr., late on the evening of April 11. Id.,
at 11-15, 144;
Banks
v. State, 643 S.W.2d 129, 131 (Tex. Crim. App. 1982) (en banc),
cert. denied,
464 U.S. 904, 78 L. Ed. 2d 244, 104 S. Ct. 259 (1983). On April
23, Huff received a call from a confidential informant reporting that
"Banks was coming to Dallas to meet an individual and get a weapon." App.
15. That evening, Huff and other officers followed Banks to South Dallas,
where Banks visited a residence. Ibid.; Brief for Petitioner 3.
Police stopped Banks's vehicle en route from Dallas, found a handgun in
the car, and arrested the car's occupants. App. 16. Returning to the
Dallas residence Banks had visited, Huff encountered and interviewed
Charles Cook and recovered a second gun, a weapon Cook said Banks had left
with him several [*20] days earlier. Ibid. Tests later identified
the second gun as the Whitehead murder weapon. Id., at 17.
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n1 Although a police officer testified Whitehead's body was found on April
14, App. 8, the Texas Court of Criminal Appeals stated the body was
discovered on April 15.
Banks
v. State, 643 S.W.2d 129, 131 (1982) (en banc).
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - -
In a May 21, 1980, pretrial hearing, Banks's counsel sought information
from Huff concerning the confidential informant who told Huff that Banks
would be driving to Dallas. Id., at 21. Huff was unresponsive.
Ibid. Any information that might reveal the identity of the informant,
the prosecution urged, was privileged. Id., at 23. The trial court
sustained the State's objection. Id., at 24. Several weeks later,
in a July 7, 1980, letter, the prosecution advised Banks's counsel that
"[the State] will, without necessity of motions provide you with all
discovery to which you are entitled." Id., at 361, n. 1; App. to
Pet. for Cert. A4 (both sources' [*21] internal quotation marks
omitted).
The guilt phase of Banks's trial spanned two days in September 1980. See
Brief for Petitioner 2; App. to Pet. for Cert. C3. Witnesses testified to
seeing Banks and Whitehead together on April 11 in Whitehead's green
Mustang, and to hearing gunshots in Pocket Park at 4 a.m. on April 12.
Banks
v. State, 643 S. W. 2d, at 131. Charles Cook testified that Banks
arrived in Dallas in a green Mustang at about 8:15 a.m. on April 12, and
stayed with Cook until April 14. App. 42-43, 47-53. Cook gave the
following account of Banks's visit. On the morning of his arrival, Banks
had blood on his leg and told Cook "he [had] got into it on the highway
with a white boy." Id., at 44. That night, Banks confessed to
having "killed the white boy for the hell of it and taken his car and come
to Dallas." Id., at 48. During their ensuing conversation, Cook
first noticed that "[Banks] had a pistol." Id., at 49. Two days
later, Banks left Dallas by bus. Id., at 52-53. The next day, Cook
abandoned the Mustang in West Dallas and sold Banks's gun to a neighbor.
Id., at 54. Cook further testified that, shortly before the police
arrived [*22] at his residence to question him, Banks had revisited him
and requested the gun. Id., at 57.
On cross-examination, Cook three times represented that he had not talked
to anyone about his testimony. Id., at 59. In fact, however, Cook
had at least one "pretrial practice session" at which Huff and prosecutors
intensively coached Cook for his appearance on the stand at Banks's trial.
Id., at 325, P10, 381-390; Joint Lodging Material 1-36 (transcript
of pretrial preparatory session). The prosecution allowed Cook's
misstatements to stand uncorrected. In its guilt-phase summation, the
prosecution told the jury "Cook brought you absolute truth." App. 84.
In addition to Cook, Robert Farr was a key witness for the prosecution.
Corroborating parts of Cook's account, Farr testified to traveling to
Dallas with Banks to retrieve Banks's gun. Id., at 34-35. On
cross-examination, defense counsel asked Farr whether he had "ever taken
any money from some police officers," or "given any police officers a
statement." Id., at 37-38. Farr answered no to both questions; he
asserted emphatically that police officers had not promised him anything
and that he had "talked to no one about [*23] this [case]" until a few
days before trial. Ibid. These answers were untrue, but the State
did not correct them. Farr was the paid informant who told Deputy Sheriff
Huff that Banks would travel to Dallas in search of a gun. Id., at
329; App. to Pet. for Cert. A4, A9. In a 1999 affidavit, Farr explained:
"I assumed that if I did not help [Huff] with his investigation of Delma
that he would have me arrested for drug charges. That's why I agreed to
help [Huff]. I was afraid that if I didn't help him, I would be arrested .
. . .
"Willie Huff asked me to help him find Delma's gun. I told [Huff] that he
would have to pay me money right away for my help on the case. I think
altogether he gave me about $ 200.00 for helping him. He paid me some of
the money before I set Delma up. He paid me the rest after Delma was
arrested and charged with murder . . . .
"In order to help Willie Huff, I had to set Delma up. I told Delma that I
wanted to rob a pharmacy to get drugs and that I needed his gun to do it.
I did not really plan to commit a robbery but I told Delma this so that he
would give me his gun . . . . I convinced Delma to drive to Dallas with me
to get the gun." App. 442-443, PP6-8. [*24]
The defense presented no evidence. App. to Pet. for Cert. A6. Banks was
convicted of murder committed in the course of a robbery, in violation of
Tex.
Penal Code Ann. § 19.03(a)(2) (1974). See App. to Pet. for Cert.
C3. n2
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n2 "A person commits an offense if he commits murder . . . and . . . the
person intentionally commits the murder in the course of committing or
attempting to commit kidnapping, burglary, robbery, aggravated rape, or
arson."
Tex.
Penal Code Ann. § 19.03(a)(2) (1974).
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - -
The penalty phase ran its course the next day. Ibid. Governed by
the Texas statutory capital murder scheme applicable in 1980, the jury
decided Banks's sentence by answering three "special issues." App.
142-143. n3 "If the jury unanimously answered 'yes' to each issue
submitted, the trial court [would be obliged to] sentence the defendant to
death."
Penry v.
Lynaugh, 492 U.S. 302, 310, 106 L. Ed. 2d 256, 109 S. Ct. 2934 (1989)
(construing Texas' sentencing scheme);
Tex. Code Crim. Proc. Ann., Arts. 37.071(c)-(e) (Vernon Supp. 1980).
[*25] The critical question at the penalty phase in Banks's case was:
"Do you find from the evidence beyond a reasonable doubt that there is a
probability that the defendant, Delma Banks, Jr., would commit criminal
acts of violence that would constitute a continuing threat to society?"
App. 143 (internal quotation marks omitted).
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n3 As set forth in Texas law, the three special issues were:
"(1) whether the conduct of the defendant that caused the death of the
deceased was committed deliberately and with the reasonable expectation
that the death of the deceased or another would result;
"(2) whether there is a probability that the defendant would commit
criminal acts of violence that would constitute a continuing threat to
society; and
"(3) if raised by the evidence, whether the conduct of the defendant in
killing the deceased was unreasonable in response to the provocation, if
any, by the deceased."
Tex. Code Crim. Proc. Ann., Arts. 37.071(b)(1)-(3) (Vernon Supp. 1980).
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - -
On this question, the State offered two witnesses, [*26] Vetrano
Jefferson and Robert Farr. Id., at 104-113. Jefferson testified
that, in early April 1980, Banks had struck him across the face with a gun
and threatened to kill him. Id., at 104-106. Farr's testimony
focused once more on the trip to Dallas to fetch Banks's gun. The gun was
needed, Farr asserted, because "we [Farr and Banks] were going to pull
some robberies." Id., at 108. According to Farr, Banks "said he
would take care of it" if "there was any trouble during these burglaries."
Id., at 109. When the prosecution asked: "How did [Banks] say he
would take care of it?", Farr responded: "[Banks] didn't go into any
specifics, but he said it would be taken care of." Ibid.
On cross-examination, defense counsel twice asked whether Farr had told
Deputy Sheriff Huff of the Dallas trip. Ibid. The State remained
silent as Farr twice perjuriously testified: "No, I did not." Ibid.
Banks's counsel also inquired whether Farr had previously attempted to
obtain prescription drugs by fraud, and, "up tight over that," would
"testify to anything anybody wanted to hear." Id., at 110. Farr
first responded: "Can you prove it?" Ibid. Instructed by [*27]
the court to answer defense counsel's questions, Farr again said: "No, I
did not . . . ." Ibid.
Two defense witnesses impeached Farr, but were, in turn, impeached
themselves. James Kelley testified to Farr's attempts to obtain drugs by
fraud; the prosecution impeached Kelley by eliciting his close
relationship to Banks's girlfriend. Id., at 124-129. Later, Kelley
admitted to being drunk while on the stand. App. to Pet. for Cert. A13.
Former Arkansas police officer Gary Owen testified that Farr, as a police
informant in Arkansas, had given false information; the prosecution
impeached Owen by bringing out his pending application for employment by
defense counsel's private investigator. App. 129-131.
Banks's parents and acquaintances testified that Banks was a "respectful,
churchgoing young man." App. to Pet. for Cert. A7; App. 137-139.
Thereafter, Banks took the stand. He affirmed that he "had never before
been convicted of a felony." Id., at 134. n4 Banks admitted
striking Vetrano Jefferson in April 1980, and traveling to Dallas to
obtain a gun in late April 1980. Id., at 134-136. He denied,
however, any intent to participate in robberies, asserting that Farr
[*28] alone had planned to commit them. Id., at 136-137. The
prosecution suggested on cross-examination that Banks had been willing "to
supply [Farr] the means and possible death weapon in an armed robbery
case." Id., at 137. Banks conceded as much. Ibid.
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n4 Banks, in fact, had no criminal record at all. App. 255, P115; App. to
Pet. for Cert. C23. He also "had no history of violence or alcohol abuse
and seemed to possess a self-control that would suggest no particular risk
of future violence." Ibid.
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - -
During summation, the prosecution intimated that Banks had not been wholly
truthful in this regard, suggesting that "a man doesn't travel two hundred
miles, or whatever the distance is from here [Texarkana] to Dallas, Texas,
to supply a person with a weapon." Id., at 143. The State homed in
on Farr's testimony that Banks said he would "take care" of any trouble
arising during the robbery:
"[Farr] said, 'Man, you know, what if there's trouble?' And [Banks] says,
'Don't worry about it. [*29] I'll take care of it.' I think that speaks
for itself, and I think you know what that means . . . . I submit to you
beyond a reasonable doubt that the State has again met its burden of
proof, and that the answer to question number two [propensity to commit
violent criminal acts] should also be yes." Id., at 140, 144. See
also id., at 146-147.
Urging Farr's credibility, the prosecution called the jury's attention to
Farr's admission, at trial, that he used narcotics. Id., at 36,
140. Just as Farr had been truthful about his drug use, the prosecution
suggested, he was also "open and honest with [the jury] in every way" in
his penalty-phase testimony. Id., at 140. Farr's testimony, the
prosecution emphasized, was "of the utmost significance" because it showed
"[Banks] is a danger to friends and strangers, alike." Id., at 146.
Banks's effort to impeach Farr was ineffective, the prosecution further
urged, because defense witness "Kelley knew nothing about the murder," and
defense witness Owen "wished to please his future employers." Id.,
at 148.
The jury answered yes to the three special issues, and the judge sentenced
Banks to death. The Texas Court of Criminal [*30] Appeals denied Banks's
direct appeal.
643 S.
W. 2d, at 135. Banks's first two state postconviction motions
raised issues not implicated here; both were denied. Ex parte Banks,
No. 13568-01 (Tex. Crim. App. 1984);
Ex
parte Banks, 769 S.W.2d 539, 540 (Tex. Crim. App. 1989).
Banks's third state postconviction motion, filed January 13, 1992,
presented questions later advanced in federal court and reiterated in the
petition now before us. App. 150. Banks alleged "upon information and
belief" that "the prosecution knowingly failed to turn over exculpatory
evidence as required by [Brady
v. Maryland, 373 U.S. 83, 10 L. Ed. 2d 215, 83 S. Ct. 1194 (1963)";
n5 the withheld evidence, Banks asserted, "would have revealed Robert Farr
as a police informant and Mr. Banks' arrest as a set-up." App. 180, P114
(internal quotation marks omitted). In support of this third state-court
postconviction plea, Banks attached an unsigned affidavit from his
girlfriend, Farr's sister-in-law Demetra Jefferson, which stated that Farr
"was well-connected to law enforcement people," and consequently managed
to stay out of "trouble" for illegally obtaining prescription drugs.
Id., at 195, [*31] P7. Banks alleged as well that during the guilt
phase of his trial, the State deliberately withheld information "critical
to the jury's assessment of Cook's credibility," including the "generous
'deal' [Cook had] cut with the prosecutors." Id., at 152, P2, 180,
P114. n6
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n5 Brady
v. Maryland, 373 U.S. 83, 87, 10 L. Ed. 2d 215, 83 S. Ct. 1194 (1963),
held that "the suppression by the prosecution of evidence favorable to an
accused upon request violates due process where the evidence is material
either to guilt or to punishment, irrespective of the good faith or bad
faith of the prosecution."
n6 Banks also alleged ineffective assistance of counsel at both the guilt
and penalty phases; insufficient evidence on the second penalty-phase
special issue (Banks's propensity to commit violent criminal acts); and
the exclusion of minority jurors in violation of
Swain v. Alabama,
380 U.S. 202, 13 L. Ed. 2d 759, 85 S. Ct. 824 (1965). App. to Pet.
for Cert. C5-C7. Banks filed two further state postconviction motions;
both were denied. Brief for Respondent 6-7, nn. 6 and 7 (citing Ex
parte Banks, No. 13568-03 (Tex. Crim. App. 1993) (per curiam),
and Ex parte Banks, No. 13568-06 (Tex. Crim. App.), cert. denied,
155 L.
Ed. 2d 688, 123 S. Ct. 1810(2003)).
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - - [*32]
The State's reply to Banks's pleading, filed October 6, 1992, "denied each
and every allegation of fact made by [Banks] except those supported by
official court records and those specifically admitted." Id., at
234; Tr. of Oral Arg. 32. "Nothing was kept secret from the defense," the
State represented. App. 234. While the reply specifically asserted that
the State had made "no deal with Cook," ibid., the State said
nothing specific about Farr. Affidavits from Deputy Sheriff Huff and
prosecutors accompanied the reply. Id., at 241-243. The affiants
denied any "deal, secret or otherwise, with Charles Cook," but they, too,
like the State's pleading they supported, remained silent about Farr.
Ibid.
In February and July 1993 orders, the state postconviction court rejected
Banks's claims. App. to Pet. for Cert. E1-E10, G1-G7. The court found that
"there was no agreement between the State and the witness Charles Cook,"
but made no findings concerning Farr. Id., at G2. In a January 10,
1996, one-page per curiam order, the Texas Court of Criminal
Appeals upheld the lower court's disposition of Banks's motion. Id.,
at D1.
On March 7, 1996, Banks filed the [*33] instant petition for a writ of
habeas corpus in the United States District Court for the Eastern District
of Texas. App. 248. He alleged multiple violations of his federal
constitutional rights. App. to Pet. for Cert. C5-C7. Relevant here, Banks
reasserted that the State had withheld material exculpatory evidence
"revealing Robert Farr as a police informant and Mr. Banks' arrest as a
set-up." App. 260, P152 (internal quotation marks omitted). Banks also
asserted that the State had concealed "Cook's enormous incentive to
testify in a manner favorable to the [prosecution]." Id., at 260,
P153; App. to Pet. for Cert. C6-C7. n7 In June 1998, Banks moved for
discovery and an evidentiary hearing to gain information from the State on
the roles played and trial testimony provided by Farr and Cook. App.
262-266, 282-283, 286. The superintending Magistrate Judge allowed limited
discovery regarding Cook, but found insufficient justification for
inquiries concerning Farr. Id., at 294-295.
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n7 We hereinafter refer to these claims as the Farr Brady and Cook
Brady claims respectively. See supra, at 9, n. 5.
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - - [*34]
Banks renewed his discovery and evidentiary hearing requests in February
1999. Id., at 2, 300-331. This time, he proffered affidavits from
both Farr and Cook to back up his claims that, as to each of these two key
witnesses, the prosecution had wrongly withheld crucial exculpatory and
impeaching evidence. Id., at 322-331. Farr's affidavit affirmed
that Farr had "set Delma up" by proposing the drive to Dallas and
informing Deputy Sheriff Huff of the trip. Id., at 329, P8,
442-443, P8; supra, at 5. Accounting for his unavailability
earlier, Farr stated that less than a year after the Banks trial, he had
left Texarkana, first for Oklahoma, then for California, because his
police-informant work endangered his life. App. 330-331, 444; Pet. for
Cert. 27, n. 12. Cook recalled that in preparation for his Banks trial
testimony, he had participated in "three or four . . . practice sessions"
at which prosecutors told him to testify "as they wanted [him] to, and
that [he] would spend the rest of [his] life in prison if [he] did not."
App. 325, PP10-11.
On March 4, 1999, the Magistrate Judge issued an order establishing issues
for an evidentiary hearing, id., at 340, [*35] 346, at which she
would consider Banks's claims that the State had withheld "crucial
exculpatory and impeaching evidence" concerning "two of the State's
essential witnesses, Charles Cook and Robert Farr." Id., at 340,
345 (internal quotation marks omitted). In anticipation of the hearing,
the Magistrate Judge ordered disclosure of the Bowie County District
Attorney's files. Brief for Petitioner 37-38; Tr. of June 7-8, 1999,
Federal Evidentiary Hearing (ED Tex.), p. 30 (hereinafter Federal
Evidentiary Hearing).
One item lodged in the District Attorney's files, turned over to Banks
pursuant to the Magistrate Judge's disclosure order, was a 74-page
transcript of a Cook interrogation. App. to Pet. for Cert. A10. The
interrogation, conducted by Bowie County law enforcement officials and
prosecutors, occurred in September 1980, shortly before the Banks trial.
Ibid. The transcript revealed that the State's representatives had
closely rehearsed Cook's testimony. In particular, the officials told Cook
how to reconcile his testimony with affidavits to which he had earlier
subscribed recounting Banks's visits to Dallas. See, e.g., Joint
Lodging Material 24 ("Your [April 1980] statement [*36] is obviously
screwed up."); id., at 26 ("The way this statement should read is
that . . . ."); id., at 32 ("Let me tell you how this is going to
work."); id., at 36 ("That's not in your [earlier] statement.").
Although the transcript did not bear on Banks's claim that the prosecution
had a deal with Cook, it provided compelling evidence that Cook's
testimony had been tutored by Banks's prosecutors. Without objection at
the hearing, the Magistrate Judge admitted the September 1980 transcript
into evidence. Brief for Petitioner 39; Federal Evidentiary Hearing 75-76.
Testifying at the evidentiary hearing, Deputy Sheriff Huff acknowledged,
for the first time, that Farr was an informant and that he had been paid $
200 for his involvement in the case. App. to Pet. for Cert. C43. As to
Cook, a Banks trial prosecutor testified, in line with the State's
consistent position, that no deal had been offered to gain Cook's trial
testimony. Id., at C45; Federal Evidentiary Hearing 52-53. Defense
counsel questioned the prosecutor about the September 1980 transcript,
calling attention to discrepancies between the transcript and Cook's
statements at trial. Id., at 65-68. In a [*37] posthearing brief
and again in proposed findings of fact and conclusions of law, Banks
emphasized the suppression of the September 1980 transcript, noting the
prosecution's obligation to disclose material, exculpatory evidence, and
the assurance in this case that Banks would receive "all [the] discovery
to which [Banks was] entitled." App. 360-361, and n. 1, 378-379 (internal
quotation marks omitted); supra, at 3.
In a May 11, 2000, report and recommendation, the Magistrate Judge
recommended a writ of habeas corpus with respect to Banks's death
sentence, but not his conviction. App. to Pet. for Cert. C54. "The State's
failure to disclose Farr's informant status, coupled with trial counsel's
dismal performance during the punishment phase," the Magistrate Judge
concluded, "undermined the reliability of the jury's verdict regarding
punishment." Id., at C44. Finding no convincing evidence of a deal
between the State and Cook, however, she recommended that the guilt-phase
verdict remain undisturbed. Id., at C46.
Banks moved to alter or amend the Magistrate Judge's report on the ground
that it left unresolved a fully aired question, i.e., whether
Banks's rights were [*38] violated by the State's failure to disclose to
the defense the prosecution's eve-of-trial interrogation of Cook. App.
398. That interrogation, Banks observed, could not be reconciled with
Cook's insistence at trial that he had talked to no one about his
testimony. Id., at 400, n. 17; see supra, at 4.
The District Court adopted the Magistrate Judge's report and denied
Banks's motion to amend the report. App. to Pet. for Cert. B6; App.
421-424. Concerning the Cook Brady transcript-suppression claim,
the District Court recognized that Banks had filed his federal petition in
1996, three years before he became aware of the September 1980 transcript.
App. 422-423. When the transcript surfaced in response to the Magistrate
Judge's 1999 disclosure order, Banks raised that newly discovered, long
withheld document in his proposed findings of fact and conclusions of law
and, again, in his objections to the Magistrate Judge's report. Id.,
at 423. The District Court concluded, however, that Banks had not properly
pleaded a Brady claim predicated on the withheld Cook rehearsal
transcript. App. 422. When that Brady claim came to light, the
District Court reasoned, Banks should [*39] have moved to amend or
supplement his 1996 federal habeas petition specifically to include the
1999 discovery as a basis for relief. App. 423. Banks urged that a
Brady claim based on the September 1980 transcript had been aired by
implied consent; under
Federal
Rule of Civil Procedure 15(b), he contended, the claim should have
been treated as if raised in the pleadings. App. 433. n8 Banks sought, and
the District Court denied, a certificate of appealability on this
question. Id., at 433, 436.
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n8
Federal Rule of Civil Procedure 15(b) provides: "When issues not
raised by the pleadings are tried by express or implied consent of the
parties, they shall be treated in all respects as if they had been raised
in the pleadings. Such amendment of the pleadings as may be necessary to
cause them to conform to the evidence and to raise these issues may be
made upon motion of any party at any time . . . ."
Rule 11 of the Rules Governing Section 2254 Cases in the United States
District Courts provides that the Federal Rules of Civil Procedure
apply "to the extent that they are not inconsistent with [habeas] rules."
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - - [*40]
In an August 20, 2003, unpublished per curiam opinion, the Court of
Appeals for the Fifth Circuit reversed the judgment of the District Court
to the extent that it granted relief on the Farr Brady claim and
denied a certificate of appealability on the Cook Brady claim. App.
to Pet. for Cert. A2, Judgt. order reported at
48 Fed.
Appx. 104 (2002). n9 The Court of Appeals observed that in his
1992 state-court postconviction application, Banks had not endeavored to
develop the facts underpinning the Farr Brady claim. App to Pet.
for Cert. A19-A20. For that reason, the court held, the evidentiary
proceeding ordered by the Magistrate Judge was unwarranted. Ibid.
The Court of Appeals expressed no doubt that the prosecution had
suppressed, prior to the federal habeas proceeding, Farr's informant
status and his part in the fateful trip to Dallas. But Banks was not
appropriately diligent in pursuing his state-court application, the Court
of Appeals maintained. In the Fifth Circuit's view, Banks should have at
that time attempted to locate Farr and question him; similarly, he should
have asked to interview Deputy Sheriff Huff and other officers involved in
investigating [*41] the crime. Id., at A19, A22. If such efforts
had proved unavailing, the Court of Appeals suggested, Banks might have
applied to the state court for assistance. Id., at A19. Banks's
lack of diligence in pursuing his 1992 state-court plea, the Court of
Appeals concluded, rendered the evidence uncovered in the federal habeas
proceeding procedurally barred. Id., at A22-A23.
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n9 The Fifth Circuit noted correctly that under
Lindh v.
Murphy, 521 U.S. 320, 336-337, 138 L. Ed. 2d 481, 117 S. Ct. 2059 (1997),
the standards of the Antiterrorism and Effective Death Penalty Act of 1996
(AEDPA), 110 Stat. 1214, do not apply to Banks's petition. See App. to
Pet. for Cert. A14-A15.
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - -
In any event, the Fifth Circuit further concluded, Farr's status as an
informant was not "material" for Brady purposes. App. to Pet. for
Cert. A32-A33. Banks had impeached Farr at trial by bringing out that he
had been a police informant in Arkansas, and an unreliable one at that.
Id., at A28, A32-A33; supra, at 7. Moreover, the Court of
Appeals [*42] said, other witnesses had corroborated much of Farr's
testimony against Banks. App. to Pet. for Cert. A32. Notably, Banks
himself had acknowledged his willingness to get a gun for Farr's use in
robberies. Ibid. In addition, the Fifth Circuit observed, the
Magistrate Judge had relied on the cumulative effect of Brady error
and the ineffectiveness of Banks's counsel at the penalty phase. App. to
Pet. for Cert. A44. Banks himself, however, had not urged that position;
he had argued Brady and ineffective assistance of counsel
discretely, not cumulatively. App. to Pet. for Cert. A46-A47. Finally, in
accord with the District Court, the Court of Appeals apparently regarded
Rule
15(b) as inapplicable in habeas proceedings. App. to Pet. for
Cert. A51-A52. The Fifth Circuit accordingly denied a certificate of
appealability on the Cook Brady transcript-suppression claim. App.
to Pet. for Cert. A52, A78.
With an execution date set for March 12, 2003, Banks applied to this Court
for a writ of certiorari, presenting four issues: the tenability of his
Farr Brady claim; a penalty-phase ineffective-assistance-of-counsel
claim; the question whether, as to the Cook Brady
transcript-suppression [*43] claim, a certificate of appealability was
wrongly denied; and a claim of improper exclusion of minority jurors in
violation of
Swain v. Alabama, 380 U.S. 202, 13 L. Ed. 2d 759, 85 S. Ct. 824 (1965).
Pet. for Cert. 23-24. We stayed Banks's execution on March 12, 2003, and,
on April 21, 2003, granted his petition on all questions other than his
Swain claim.
155 L.
Ed. 2d 665, 123 S. Ct. 1784 (2003). We now reverse the Court of
Appeals' judgment dismissing Banks's Farr Brady claim and that
Court's denial of a certificate of appealability on his Cook Brady
claim. n10
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n10 Our disposition of the Farr Brady claim, and our conclusion
that a writ of habeas corpus should issue with respect to the death
sentence, render it unnecessary to address Banks's claim of ineffective
assistance of counsel at the penalty phase; any relief he could obtain on
that claim would be cumulative.
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - -
II
We note, initially, that Bank's Brady claims arose under the regime
in place prior to the Antiterrorism and Effective Death Penalty Act of
1996 [*44] (AEDPA), 110 Stat. 1214. Turning to the tenability of those
claims, we consider first Banks's Farr Brady claim as it trains on
his death sentence, see App. to Pet. for Cert. B6 (District Court granted
habeas solely with respect to the capital sentence), and next, Banks's
Cook Brady claim.
A
To pursue habeas corpus relief in federal court, Banks first had to
exhaust "the remedies available in the courts of the State."
28 U.S.C. §
2254(b) (1994 ed.); see
Rose v.
Lundy, 455 U.S. 509, 520, 71 L. Ed. 2d 379, 102 S. Ct. 1198 (1982).
Banks alleged in his January 1992 state-court application for a writ of
habeas corpus that the prosecution knowingly failed to turn over
exculpatory evidence involving Farr in violation of Banks's due process
rights. App. 180. Banks thus satisfied the exhaustion requirement as to
the legal ground for his Farr Brady claim. n11
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n11 Banks's federal habeas petition, the Court of Appeals said, stated a
claim, only under Brady, that material exculpatory or impeachment
evidence had been suppressed, not a claim under
Napue v. Illinois,
360 U.S. 264, 3 L. Ed. 2d 1217, 79 S. Ct. 1173 (1959), and
Giglio v. United
States, 405 U.S. 150, 31 L. Ed. 2d 104, 92 S. Ct. 763 (1972), that
the prosecution had failed to correct Farr's false testimony. App. to Pet.
for Cert. A29-A32; App. 259-260. In its view, the Court of Appeals
explained, a Brady claim is distinct from a Giglio claim,
App. to Pet. for Cert. A30; thus the two did not fit under one umbrella.
But cf.
United
States v. Bagley, 473 U.S. 667, 679-680, n. 8, 87 L. Ed. 2d 481, 105 S.
Ct. 3375 (1985);
United
States v. Agurs, 427 U.S. 97, 103-104, 49 L. Ed. 2d 342, 96 S. Ct. 2392
(1976). On brief, the parties debate the issue. Brief for
Petitioner 23-25; Brief for Respondent 21-22, n. 21. Because we conclude
that Banks qualifies for relief under Brady, we need not decide
whether a Giglio claim, to warrant adjudication, must be separately
pleaded.
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - - [*45]
In state postconviction court, however, Banks failed to produce evidence
establishing that Farr had served as a police informant in this case. As
support for his Farr Brady claim, Banks appended to his state-court
application only Demetra Jefferson's hardly probative statement that Farr
"was well-connected to law enforcement people." App. 195, P7; see supra,
at 9. In the federal habeas forum, therefore, it was incumbent on Banks to
show that he was not barred, by reason of the anterior state proceedings,
from producing evidence to substantiate his Farr Brady claim. Banks
"[would be] entitled to an evidentiary hearing [in federal court] if he
[could] show cause for his failure to develop the facts in state-court
proceedings and actual prejudice resulting from that failure."
Keeney v.
Tamayo-Reyes, 504 U.S. 1, 11, 118 L. Ed. 2d 318, 112 S. Ct. 1715 (1992).
Brady, we reiterate, held that "the suppression by the prosecution
of evidence favorable to an accused upon request violates due process
where the evidence is material either to guilt or to punishment,
irrespective of the good faith or bad faith of the prosecution."
373 U.S. 83
at 87, 10 L. Ed. 2d 215, 83 S. Ct. 1194. We set out in
Strickler
v. Greene, 527 U.S. 263, 281-282, 144 L. Ed. 2d 286, 119 S. Ct. 1936
(1999), [*46] the three components or essential elements of a
Brady prosecutorial misconduct claim: "The evidence at issue must be
favorable to the accused, either because it is exculpatory, or because it
is impeaching; that evidence must have been suppressed by the State,
either willfully or inadvertently; and prejudice must have ensued."
527 U.S.
263 at 281-282, 144 L. Ed. 2d 286, 119 S. Ct. 1936. "Cause and
prejudice" in this case "parallel two of the three components of the
alleged Brady violation itself."
Id., 527
U.S. at 282, 144 L. Ed. 2d 286, 119 S. Ct. 1936. Corresponding to
the second Brady component (evidence suppressed by the State), a
petitioner shows "cause" when the reason for his failure to develop facts
in state-court proceedings was the State's suppression of the relevant
evidence; coincident with the third Brady component (prejudice),
prejudice within the compass of the "cause and prejudice" requirement
exists when the suppressed evidence is "material" for Brady
purposes.
527 U.S.
263 at 282, 144 L. Ed. 2d 286, 119 S. Ct. 1936. As to the first
Brady component (evidence favorable to the accused), beyond genuine
debate, the suppressed evidence relevant here, Farr's paid informant
status, qualifies as evidence advantageous to Banks. See [*47] App. to
Pet. for Cert. A26 (Court of Appeals' recognition that "Farr's being a
paid informant would certainly be favorable to Banks in attacking Farr's
testimony"). Thus, if Banks succeeds in demonstrating "cause and
prejudice," he will at the same time succeed in establishing the elements
of his Farr Brady death penalty due process claim.
B
Our determination as to "cause" for Banks's failure to develop the facts
in state-court proceedings is informed by
Strickler.
n12 In that case, Virginia prosecutors told the petitioner, prior to
trial, that "the prosecutor's files were open to the petitioner's
counsel," thus "there was no need for a formal [Brady] motion."
527 U.S.
263 at 276, n. 14, 144 L. Ed. 2d 286, 119 S. Ct. 1936 (quoting
App. in Strickler v. Greene, O. T. 1998, No. 98-5864, pp.
212-213 (brackets in original)). The prosecution file given to the
Strickler petitioner, however, did not include several documents
prepared by an "important" prosecution witness, recounting the witness'
initial difficulty recalling the events to which she testified at the
petitioner's trial.
527 U.S.
263 at 273-275, 290, 144 L. Ed. 2d 286, 119 S. Ct. 1936. Those
absent-from-the-file documents could have been used to impeach [*48] the
witness.
Id., 527
U.S. 263 at 273, 144 L. Ed. 2d 286, 119 S. Ct. 1936. In
state-court postconviction proceedings, the Strickler petitioner
had unsuccessfully urged ineffective assistance of trial counsel based on
counsel's failure to move, pretrial, for Brady material. Answering
that plea, the State asserted that a Brady motion would have been
superfluous, for the prosecution had maintained an open file policy
pursuant to which it had disclosed all Brady material.
527 U.S.
263 at 276, n. 14, 278, 144 L. Ed. 2d 286, 119 S. Ct. 1936.
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n12 Surprisingly, the Court of Appeals' per curiam opinion did not
refer to
Strickler v. Greene, 527 U.S. 263, 144 L. Ed. 2d 286, 119 S. Ct. 1936
(1999), the controlling precedent on the issue of "cause." App. to
Pet. for Cert. A15-A33.
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - -
This Court determined that in the federal habeas proceedings, the
Strickler petitioner had shown cause for his failure to raise a
Brady claim in state court.
527 U.S.
263 at 289, 144 L. Ed. 2d 286, 119 S. Ct. 1936. Three factors
accounted for that determination:
"(a) the prosecution withheld exculpatory evidence; [*49] (b) petitioner
reasonably relied on the prosecution's open file policy as fulfilling the
prosecution's duty to disclose such evidence; and (c) the [State]
confirmed petitioner's reliance on the open file policy by asserting
during state habeas proceedings that petitioner had already received
everything known to the government."
Ibid. (internal quotation
marks and footnote omitted). n13
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n13 We left open the question "whether any one or two of these factors
would be sufficient to constitute cause."
Strickler,
527 U.S. 263 at 289, 144 L. Ed. 2d 286, 119 S. Ct. 1936. We need
not decide that question today.
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - -
This case is congruent with
Strickler
in all three respects. First, the State knew of, but kept back, Farr's
arrangement with Deputy Sheriff Huff. App. to Pet. for Cert. C43; Tr. of
Oral Arg. 33; cf.
Kyles v.
Whitley, 514 U.S. 419, 437, 131 L. Ed. 2d 490, 115 S. Ct. 1555 (1995)
(prosecutors are responsible for "any favorable evidence known to the
others acting on the government's behalf in the case, including the
police"). Second, the State [*50] asserted, on the eve of trial, that it
would disclose all Brady material. App. 361, n. 1; see supra,
at 3. As Strickler instructs, Banks cannot be faulted for relying
on that representation. See
527 U.S.
263 at 283-284, 144 L. Ed. 2d 286, 119 S. Ct. 1936 (an "open file
policy" is one factor that "explains why trial counsel did not advance [a
Brady] claim").
Third, in his January 1992 state habeas application, Banks asserted that
Farr was a police informant and Banks's arrest, "a set-up." App. 180, P114
(internal quotation marks omitted). In its answer, the State denied
Banks's assertion. Id., at 234; see supra, at 10. The State
thereby "confirmed" Banks's reliance on the prosecution's representation
that it had fully disclosed all relevant information its file contained.
527
U.S. 263 at 289, 144 L. Ed. 2d 286, 119 S. Ct. 1936; see
id., 527
U.S. 263 at 284, 144 L. Ed. 2d 286, 119 S. Ct. 1936 (state habeas
counsel, as well as trial counsel, could reasonably rely on the State's
representations). In short, because the State persisted in hiding Farr's
informant status and misleadingly represented that it had complied in full
with its Brady disclosure obligations, Banks had cause for failing
to investigate, in state postconviction proceedings, [*51] Farr's
connections to Deputy Sheriff Huff.
On the question of "cause," moreover, Banks's case is stronger than was
the petitioner's in Strickler in a notable respect. As a
prosecution witness in the guilt and penalty phases of Banks's trial, Farr
repeatedly misrepresented his dealings with police; each time Farr
responded untruthfully, the prosecution allowed his testimony to stand
uncorrected. See supra, at 4-7. Farr denied taking money from or
being promised anything by police officers, App. 37; he twice denied
speaking with police officers, id., at 38, and twice denied
informing Deputy Sheriff Huff about Banks's trip to Dallas, id., at
109. It has long been established that the prosecution's "deliberate
deception of a court and jurors by the presentation of known false
evidence is incompatible with rudimentary demands of justice."
Giglio v.
United States, 405 U.S. 150, 153, 31 L. Ed. 2d 104, 92 S. Ct. 763 (1972)
(quoting
Mooney v.
Holohan, 294 U.S. 103, 112, 79 L. Ed. 791, 55 S. Ct. 340 (1935)
(per curiam) ). If it was reasonable for Banks to rely on the
prosecution's full disclosure representation, it was also appropriate for
Banks to assume that his prosecutors would not stoop [*52] to improper
litigation conduct to advance prospects for gaining a conviction. See
Berger v.
United States, 295 U.S. 78, 88, 79 L. Ed. 1314, 55 S. Ct. 629 (1935);
Strickler, 527 U.S. 263 at 284, 144 L. Ed. 2d 286 119 S. Ct. 1936.
n14
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
N14 In addition, Banks could have expected disclosure of Farr's informant
status as a matter of state law if Farr in fact acted in that capacity.
Under Texas law applicable at the time of Banks's trial, the State had an
obligation to disclose the identity of an informant when "the informant .
. . was present at the time of the offense or arrest . . . [or] was
otherwise shown to be a material witness to the transaction . . . ."
Kemner
v. State, 589 S.W.2d 403, 408 (Tex. Crim. App. 1979) (quoting
Carmouche v. State, 540 S.W.2d 701, 703 (Tex. Crim. App. 1976));
cf. Tex. Rule Evid. 508(c)(1) (2003) ("No privilege exists [for the
identity of an informer] . . . if the informer appears as a witness for
the public entity."). Farr was present when Banks was arrested. App. 443,
P10. Further, as the prosecution noted in its penalty-phase summation,
Farr's testimony was not only material, but "of the utmost significance."
Id., at 146.
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - - [*53]
The State presents three main arguments for distinguishing Strickler
on the issue of "cause," two of them endorsed by the Court of Appeals.
Brief for Respondent 15-20; App. to Pet. for Cert. A19, A22-A23; see
supra, at 15. We conclude that none of these arguments accounts
adequately for the State's concealment and misrepresentation regarding
Farr's link to Deputy Sheriff Huff. The State first suggests that Banks's
failure, during state postconviction proceedings, to "attempt to locate
Farr and ascertain his true status," or to "interview the investigating
officers, such as Deputy Huff, to ascertain Farr's status," undermines a
finding of cause; the Fifth Circuit agreed. App. to Pet. for Cert. A22;
Brief for Respondent 18-20. In the State's view, "the question [of cause]
revolves around Banks's conduct," particularly his lack of appropriate
diligence in pursuing the Farr Brady claim before resorting to
federal court. Brief for Respondent 14. n15
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n15 The Court of Appeals also stated that, because "the State did not
respond" to Banks's "Farr-was-an-informant contention" in its answer to
the January 1992 state habeas application, Banks should have "further
investigated." App. to Pet. for Cert. A22. The Fifth Circuit's error in
this regard is apparent. As earlier recounted, see supra, at 10,
the State's answer indeed did deny Banks's allegation.
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - - [*54]
We rejected a similar argument in
Strickler.
There, the State contended that examination of a witness' trial testimony,
alongside a letter the witness published in a local newspaper, should have
alerted the petitioner to the existence of undisclosed interviews of the
witness by the police.
527 U.S.
263 at 284, 144 L. Ed. 2d 286, 119 S. Ct. 1936, and n. 26. We
found this contention insubstantial. In light of the State's open file
policy, we noted, "it is especially unlikely that counsel would have
suspected that additional impeaching evidence was being withheld."
Id., 527
U.S. 263 at 285, 144 L. Ed. 2d 286, 119 S. Ct. 1936. Our decisions
lend no support to the notion that defendants must scavenge for hints of
undisclosed Brady material when the prosecution represents that all
such material has been disclosed. As we observed in Strickler,
defense counsel has no "procedural obligation to assert constitutional
error on the basis of mere suspicion that some prosecutorial misstep may
have occurred."
527 U.S.
263 at 286-287, 144 L. Ed. 2d 286, 119 S. Ct. 1936. The "cause"
inquiry, we have also observed, turns on events or circumstances "external
to the defense."
Amadeo v.
Zant, 486 U.S. 214, 222, 100 L. Ed. 2d 249, 108 S. Ct. 1771 (1988)
(quoting
Murray v.
Carrier, 477 U.S. 478, 488, 91 L. Ed. 2d 397, 106 S. Ct. 2639 (1986)).
[*55]
The State here nevertheless urges, in effect, that "the prosecution can
lie and conceal and the prisoner still has the burden to . . . discover
the evidence," Tr. of Oral Arg. 35, so long as the "potential existence"
of a prosecutorial misconduct claim might have been detected, id.,
at 36. A rule thus declaring "prosecutor may hide, defendant must seek,"
is not tenable in a system constitutionally bound to accord defendants due
process. "Ordinarily, we presume that public officials have properly
discharged their official duties."
Bracy v.
Gramley, 520 U.S. 899, 909, 138 L. Ed. 2d 97, 117 S. Ct. 1793 (1997)
(quoting
United States v. Chemical Foundation, Inc., 272 U.S. 1, 14-15, 71 L. Ed.
131, 47 S. Ct. 1 (1926)). We have several times underscored the
"special role played by the American prosecutor in the search for truth in
criminal trials."
Strickler,
527 U.S. 263 at 281, 144 L. Ed. 2d 286, 119 S. Ct. 1936; accord,
Kyles,
514 U.S. 419 at 439-440, 131 L. Ed. 2d 490, 115 S. Ct. 1555;
United
States v. Bagley, 473 U.S. 667, 675, n. 6, 87 L. Ed. 2d 481, 105 S. Ct.
3375 (1985);
Berger, 295
U.S. 78 at 88, 79 L. Ed. 1314, 55 S. Ct. 629. See also
Olmstead
v. United States, 277 U.S. 438, 484, 72 L. Ed. 944, 48 S. Ct. 564 (1928)
(Brandeis, J., dissenting). Courts, litigants, and juries properly [*56]
anticipate that "obligations [to refrain from improper methods to secure a
conviction] . . . plainly resting upon the prosecuting attorney, will be
faithfully observed."
Berger, 295
U.S. 78 at 88, 79 L. Ed. 1314, 55 S. Ct. 629. Prosecutors'
dishonest conduct or unwarranted concealment should attract no judicial
approbation. See
Kyles,
514 U.S. 419 at 440, 131 L. Ed. 2d 490, 115 S. Ct. 1555 ("The
prudence of the careful prosecutor should not . . . be discouraged.").
The State's second argument is a variant of the first. Specifically, the
State argues, and the Court of Appeals accepted, that Banks cannot show
cause because in the 1992 state-court postconviction proceedings, he
failed to move for investigative assistance enabling him to inquire into
Farr's police connections, connections he then alleged, but failed to
prove. Brief for Respondent 15-16; App. to Pet. for Cert. A19; see 1977
Tex. Gen. Laws ch. 789, § 2(d) (as amended) (instructing postconviction
court to "designate the issues of fact to be resolved," and giving the
court discretion to "order affidavits, depositions, interrogatories, and
hearings"). Armed in 1992 only with Demetra Jefferson's declaration that
Farr was "well-connected to law enforcement people, [*57] " App. 195,
P7; see supra, at 9, Banks had little to proffer in support of a
request for assistance from the state postconviction court. We assign no
overriding significance to Banks's failure to invoke state-court
assistance to which he had no clear entitlement. Cf.
Strickler,
527 U.S. 263 at 286, 144 L. Ed. 2d 286, 119 S. Ct. 1936 ("Proper
respect for state procedures counsels against a requirement that all
possible claims be raised in state collateral proceedings, even when no
known facts support them."). n16
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n16 Furthermore, rather than conceding the need for factual development of
the Farr Brady claim in state postconviction court, the State
asserted that Banks's prosecutorial misconduct claims were meritless and
procedurally barred in that tribunal. App. 234, 240. Having taken that
position in 1992, the State can hardly fault Banks now for failing earlier
to request assistance the State certainly would have opposed.
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - -
Finally, relying on
Roviaro v. United
States, 353 U.S. 53, 1 L. Ed. 2d 639, 77 S. Ct. 623 (1957), the
State asserts [*58] that "disclosure [of an informant's identity] is not
automatic," and, "consequently, it was Banks's duty to move for disclosure
of otherwise privileged information." Brief for Respondent 17-18, n. 15.
We need not linger over this argument. The issue of evidentiary law in
Roviaro was whether (or when) the Government is obliged to reveal the
identity of an undercover informer the Government does not call as
a trial witness.
353 U.S. 53
at 55-56, 1 L. Ed. 2d 639, 77 S. Ct. 623. The Court there stated
that no privilege obtains "where the disclosure of an informer's identify,
or of the contents of his communication, is relevant and helpful to the
defense of an accused."
Id., 353
U.S. 53 at 60-61, 1 L. Ed. 2d 639, 77 S. Ct. 623. Accordingly,
even though the informer in Roviaro did not testify, we held that
disclosure of his identity was necessary because he could have "amplified
or contradicted the testimony of government witnesses."
Id., 353
U.S. 53 at 64, 1 L. Ed. 2d 639, 77 S. Ct. 623.
Here, the State elected to call Farr as a witness. Indeed, he was a key
witness at both guilt and punishment phases of Banks's capital trial.
Farr's status as a paid informant was unquestionably "relevant"; similarly
beyond doubt, disclosure of Farr's status would [*59] have been "helpful
to [Banks's] defense."
Id., 353
U.S. 53 at 60-61, 1 L. Ed 2d 639, 77 S. Ct. 623. Nothing in
Roviaro, or any other decision of this Court, suggests that the State
can examine an informant at trial, withholding acknowledgment of his
informant status in the hope that defendant will not catch on, so will
make no disclosure motion.
In summary, Banks's prosecutors represented at trial and in state
postconviction proceedings that the State had held nothing back. Moreover,
in state postconviction court, the State's pleading denied that Farr was
an informant. App. 234; supra, at 10. It was not incumbent on Banks
to prove these representations false; rather, Banks was entitled to treat
the prosecutor's submissions as truthful. Accordingly, Banks has shown
cause for failing to present evidence in state court capable of
substantiating his Farr Brady claim.
C
Unless suppressed evidence is "material for Brady purposes, [its]
suppression [does] not give rise to sufficient prejudice to overcome [a]
procedural default."
Strickler,
527 U.S. 263 at 282, 144 L. Ed. 286, 119 S. Ct. 1936. Our
touchstone on materiality is
Kyles v. Whitley,
514 U.S. 419, 131 L. Ed. 2d 490, 115 S. Ct. 1555 (1995). Kyles
instructed that [*60] the materiality standard for Brady claims
is met when "the favorable evidence could reasonably be taken to put the
whole case in such a different light as to undermine confidence in the
verdict."
514 U.S.
419 at 435, 131 L. Ed. 2d 490, 115 S. Ct. 1555. See also
id., 514
U.S. 419 at 434-435, 131 L. Ed. 2d 490, 115 S. Ct. 1555 ("A
defendant need not demonstrate that after discounting the inculpatory
evidence in light of the undisclosed evidence, there would not have been
enough left to convict."); accord,
Strickler,
527 U.S. 263 at 290, 144 L. Ed. 2d 286, 119 S. Ct. 1936. In short,
Banks must show a "reasonable probability of a different result."
Kyles,
514 U.S. 419 at 434, 131 L. Ed. 2d 490, 115 S. Ct. 1555 (internal
quotation marks omitted) (citing
Bagley,
473 U.S. 667 at 678, 87 L. Ed. 2d 481, 105 S. Ct. 3375).
As the State acknowledged at oral argument, Farr was "paid for a critical
role in the scenario that led to the indictment." Tr. of Oral Arg. 34.
Farr's declaration, presented to the federal habeas court, asserts that
Farr, not Banks, initiated the proposal to obtain a gun to facilitate the
commission of robberies. See App. 442-443, PP7-8; supra, at 5. Had
Farr not instigated, upon Deputy Sheriff Huff's request, the Dallas
excursion to fetch Banks's gun, the prosecution would have had [*61]
slim, if any, evidence that Banks planned to "continue" committing violent
acts. App. 147. n17 Farr's admission of his instigating role, moreover,
would have dampened the prosecution's zeal in urging the jury to bear in
mind Banks's "planning and acquisition of a gun to commit robbery," or
Banks's "planned violence." Ibid.; see Tr. of Oral Arg. 50. n18
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n17 It bears reiteration here that Banks had no criminal record, App. 255,
P115, "no history of violence or alcohol abuse," nothing indicative of
"[any] particular risk of future violence." App. to Pet. for Cert. C23.
It also appears that the remaining prosecution witness in the penalty
phase, Vetrano Jefferson, had omitted crucial details from his 1980
testimony. In his September 1980 testimony, Vetrano Jefferson said that
Banks had struck him with a pistol in early April 1980. App. 104-105;
supra, at 6. In the federal habeas proceeding, Vetrano Jefferson
elaborated that he, not Banks, had initiated that incident by making
"disrespectful comments" about Demetra Jefferson, Banks's girlfriend. App.
337, P4. Vetrano Jefferson recounted that he "grew angry" when Banks
objected to the comments, and only then did a fight ensue, in the course
of which Banks struck Vetrano Jefferson. Ibid. [*62]
n18 On brief and at oral argument, the State suggests that "the damaging
evidence was Banks's willing abetment of Farr's commission of a violent
crime, not Banks's own intent to commit such an act." Brief for
Respondent 25 (emphasis in original); Tr. of Oral Arg. 50. See also
post, at 2-3 (THOMAS, J., concurring in part and dissenting in part).
In the penalty-phase summation, however, the prosecution highlighted
Banks's propensity to commit violent criminal acts, see App. 140, 144,
146-147, not his facilitation of others' criminal acts, see id., at
141 ("[Banks] says, 'I thought I would give [the gun] to them so they
could do the robberies.' I don't believe you [the jury] believe that.");
id., at 143 ("a man doesn't travel two hundred miles . . . to
supply [another] person with a weapon"). The special issue the prosecution
addressed focused on what acts Banks would commit, not what harms he might
facilitate: "Do you find from the evidence beyond a reasonable doubt that
there is a probability that the defendant, Delma Banks, Jr., would
commit criminal acts of violence that would constitute a continuing
threat to society?" Ibid. (internal quotation marks omitted and
emphasis added). It is therefore unsurprising that the prosecution did not
rest on Banks's facilitation of others' criminal acts in urging the jury
to answer the second special issue (propensity to commit violent criminal
acts) in the affirmative.
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - - [*63]
Because Banks had no criminal record, Farr's testimony about Banks's
propensity to commit violent acts was crucial to the prosecution. Without
that testimony, the State could not have underscored, as it did three
times in the penalty phase, that Banks would use the gun fetched in Dallas
to "take care" of trouble arising during the robberies. App. 140, 144,
146-147; see supra, at 8. The stress placed by the prosecution on
this part of Farr's testimony, uncorroborated by any other witness, belies
the State's suggestion that "Farr's testimony was adequately
corroborated." Brief for Respondent 22-25. The prosecution's penalty-phase
summation, moreover, left no doubt about the importance the State attached
to Farr's testimony. What Farr told the jury, the prosecution urged, was
"of the utmost significance" to show "[Banks] is a danger to friends and
strangers, alike." App. 146.
In
Strickler, 527 U.S. 263 at 289, 144 L. Ed. 2d 286, 119 S. Ct. 1936,
although the Court found "cause" for the petitioner's procedural default
of a Brady claim, it found the requisite "prejudice" absent,
527
U.S.263 at 292-296, 144 L. Ed. 2d 286, 119 S. Ct. 1936. Regarding
"prejudice," the contrast between
Strickler
and Banks's case is marked. [*64] The witness whose impeachment was at
issue in Strickler gave testimony that was in the main cumulative,
id.,
527 U.S. 263 at 292, 144 L. Ed. 2d 286, 119 S. Ct. 1936, and
hardly significant to one of the "two predicates for capital murder:
[armed] robbery,"
id., 527
U.S. 263 at 294, 144 L. Ed. 2d 286, 119 S. Ct. 1936. Other
evidence in the record, the Court found, provided strong support for the
conviction even if the witness' testimony had been excluded entirely:
Unlike the Banks prosecution, in Strickler, "considerable forensic
and other physical evidence linked [the defendant] to the crime" and
supported the capital murder conviction.
Id., 527
U.S. 263 at 293, 144 L. Ed. 2d 286, 119 S. Ct. 1936. Most
tellingly, the witness' testimony in Strickler "did not relate to
[the petitioner's] eligibility for the death sentence"; it "was not relied
upon by the prosecution at all during its closing argument at the penalty
phase."
Id., 527
U.S. 263 at 295, 144 L. Ed. 2d 286, 119 S. Ct. 1936. In contrast,
Farr's testimony was the centerpiece of Banks's prosecution's
penalty-phase case.
Farr's trial testimony, critical at the penalty phase, was cast in large
doubt by the declaration Banks ultimately obtained from Farr and
introduced in the federal habeas proceeding. See supra, at 5, 11.
In the guilt [*65] phase of Banks's trial, Farr had acknowledged his
narcotics use. App. 36. In the penalty phase, Banks's counsel asked Farr
if, "drawn up tight over" previous drug-related activity, he would
"testify to anything anybody wanted to hear"; Farr denied this. Id.,
at 110; supra, at 7. Farr's declaration supporting Banks's federal
habeas petition, however, vividly contradicts that denial: "I assumed that
if I did not help [Huff] . . . he would have me arrested for drug
charges." App. 442, P6. Had jurors known of Farr's continuing interest in
obtaining Deputy Sheriff Huff's favor, in addition to his receipt of funds
to "set [Banks] up," id., at 442, P7, they might well have
distrusted Farr's testimony, and, insofar as it was uncorroborated,
disregarded it.
The jury, moreover, did not benefit from customary, truth-promoting
precautions that generally accompany the testimony of informants. This
Court has long recognized the "serious questions of credibility" informers
pose.
On Lee v. United States, 343 U.S. 747, 757, 96 L. Ed. 1270, 72 S. Ct. 967
(1952). See also Trott, Words of Warning for Prosecutors Using
Criminals as Witnesses,
47 Hastings L. J. 1381, 1385 (1996) ("Jurors [*66] suspect
[informants'] motives from the moment they hear about them in a case, and
they frequently disregard their testimony altogether as highly
untrustworthy and unreliable . . . ."). We have therefore allowed
defendants "broad latitude to probe [informants'] credibility by
cross-examination" and have counseled submission of the credibility issue
to the jury "with careful instructions."
On Lee,
343 U.S. 747 at 757, 96 L. Ed. 1270, 72 S. Ct. 967; accord,
Hoffa v.
United States, 385 U.S. 293, 311-312, 17 L. Ed. 2d 374, 87 S. Ct. 408
(1966). See also 1A K. O'Malley, J. Grenig, & W. Lee, Federal Jury
Practice and Instructions, Criminal § 15.02 (5th ed. 2000) (jury
instructions from the First, Fifth, Sixth, Seventh, Eighth, Ninth, and
Eleventh Circuits on special caution appropriate in assessing informant
testimony).
The State argues that "Farr was heavily impeached [at trial]," rendering
his informant status "merely cumulative." Tr. of Oral Arg. 49; see Brief
for Respondent 26-28; post, at 4, n. 3. The record suggests
otherwise. Neither witness called to impeach Farr gave evidence directly
relevant to Farr's part in Banks's trial. App. 124-133; id., at 129
(prosecutor noted that Kelley lacked "personal [*67] knowledge with
regard to this case on trial"). The impeaching witnesses, Kelley and Owen,
moreover, were themselves impeached, as the prosecution stressed on
summation. See id., at 141, 148; supra, at 7-8. Further, the
prosecution turned to its advantage remaining impeachment evidence
concerning Farr's drug use. On summation, the prosecution suggested that
Farr's admission "that he used dope, that he shot," demonstrated that Farr
had been "open and honest with [the jury] in every way." App. 140;
supra, at 8.
At least as to the penalty phase, in sum, one can hardly be confident that
Banks received a fair trial, given the jury's ignorance of Farr's true
role in the investigation and trial of the case. See
Kyles,
514 U.S. 419 at 434, 131 L. Ed. 2d 490, 115 S. Ct. 1555 ("The
question is not whether the defendant would more likely than not have
received a different verdict with the evidence, but whether in its absence
he received a fair trial, understood as a trial resulting in a verdict
worthy of confidence."). On the record before us, one could not plausibly
deny the existence of the requisite "reasonable probability of a different
result" had the suppressed information been disclosed to the [*68]
defense. Ibid. (internal quotation marks omitted) (citing
Bagley,
473 U.S. 667 at 678, 87 L. Ed. 2d 481, 105 S. Ct. 3375);
Strickler,
527 U.S. 263 at 290, 144 L. Ed. 2d 286, 119 S. Ct. 1936.
Accordingly, as to the suppression of Farr's informant status and its
bearing on "the reliability of the jury's verdict regarding punishment,"
App. to Pet. for Cert. C44; supra, at 13, all three elements of a
Brady claim are satisfied.
III
Both the District Court and the Court of Appeals denied Banks a
certificate of appealability with regard to his Cook Brady claim,
which rested on the prosecution's suppression of the September 1980 Cook
interrogation transcript. App. 422-423; App. to Pet. for Cert. A52, A78;
supra, at 13-14, 16. See also Joint Lodging Material 1-36. The
District Court and the Fifth Circuit concluded that Banks had not properly
pleaded this claim because he had not sought leave to amend his petition,
but had stated the claim only in other submissions, i.e., in his
proposed findings of fact and conclusions of law, and, again, in his
objections to the Magistrate Judge's report. App. 422-423, 432-433; App.
to Pet. for Cert. A51-A52; supra, at 13-14, 16. Banks contended,
unsuccessfully, that evidence [*69] substantiating the Cook Brady
claim had been aired before the Magistrate Judge; therefore the claim
should have been treated as if raised in the pleadings, as
Federal
Rule of Civil Procedure 15(b) instructs. See App. to Pet. for
Cert. A51-A52; supra, at 14, n. 8 (setting out text of
Rule
15(b)). The Fifth Circuit stated its position on this point
somewhat obliquely, but appears to have viewed
Rule
15(b) as inapplicable in habeas proceedings; the State now
concedes, however, that the question whether
Rule
15(b) extends to habeas proceedings is one "jurists of reason
would find . . . debatable." Compare App. to Pet. for Cert. A52 (quoting
Slack
v. McDaniel, 529 U.S. 473, 484, 146 L. Ed. 2d 542, 120 S. Ct. 1595 (2000)),
with Tr. of Oral Arg. 45-46. We conclude that a certificate of
appealability should have issued.
We have twice before referenced
Rule
15(b)'s application in federal habeas proceedings. In
Harris v.
Nelson, 394 U.S. 286, 294, n. 5, 22 L. Ed. 2d 281, 89 S. Ct. 1082 (1969),
we noted that
Rule
15(b)'s use in habeas proceedings is "noncontroversial." In
Withrow
v. Williams, 507 U.S. 680, 696, 123 L. Ed. 2d 407, 113 S. Ct. 1745,
and n. 7 (1993), we similarly assumed
Rule
15(b)'s application to habeas petitions. [*70] There, however,
the District Court had granted a writ of habeas corpus on a claim neither
pleaded, considered at "an evidentiary hearing," nor "even argued" by the
parties.
Id., 507
U.S. 680 at 695, 123 L. Ed. 2d 407, 113 S. Ct. 1745. Given those
circumstances, we held that there had been no trial of the claim by
implied consent; the respondent warden, we observed, "was manifestly
prejudiced by the District Court's failure to afford her an opportunity to
present evidence bearing on the claim's resolution."
Id., 507
U.S. 680 at 696, 123 L. Ed. 2d 407, 113 S. Ct. 1745. Here, in
contrast, the issue of the undisclosed Cook interrogation transcript was
indeed aired before the Magistrate Judge and the transcript itself was
admitted into evidence without objection. See supra, at 12-13. n19
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n19 See Federal Evidentiary Hearing 56-73. Examining one of Banks's
prosecutors, counsel for Banks twice asked if Cook had been "instructed .
. . on how to testify." Id., at 56. See also id., at 63-64
("Texarkana law enforcement did not instruct Mr. Cook how to testify in
this case. Is that your testimony today?"). To show that Cook had been
coached, Banks's counsel called attention to discrepancies between
portions of the September 1980 transcript and Cook's trial testimony.
Id., at 65-68. Concluding his examination, Banks's counsel
emphasized the prosecution's duty to disclose the September 1980
transcript once Cook, while on the stand, stated that he had not been
coached. Id., at 73-74; App. 59; supra, at 4.
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - - [*71]
The Court of Appeals found no authority for equating "an evidentiary
hearing . . . with a trial" for
Rule
15(b) purposes. App. to Pet. for Cert. A52. We see no reason why
an evidentiary hearing should not qualify so long as the respondent gave
"any sort of consent" and had a full and fair "opportunity to present
evidence bearing on the claim's resolution."
Withrow,
507 U.S., 680 at 696, 123 L. Ed. 2d 407, 113 S. Ct. 1745. Nor do
we find convincing the Fifth Circuit's view that applying
Rule
15(b) in habeas proceedings would undermine the State's exhaustion
and procedural default defenses. Ibid. Under pre-AEDPA law, there
was no inconsistency between
Rule
15(b) and those defenses. That is doubtless why this Court's pre-AEDPA
cases assumed
Rule
15(b)'s application in habeas proceedings. See ibid.;
Harris,
394 U.S. 286 at 294, n. 5, 22 L. Ed. 2d 281, 89 S. Ct. 1082. n20
We note in this regard that, while AEDPA forbids a finding that exhaustion
has been waived unless the State expressly waives the requirement,
28 U.S.C. §
2254(b)(3), under pre-AEDPA law, exhaustion and procedural default
defenses could be waived based on the State's litigation conduct. See
Gray v.
Netherland, 518 U.S. 152, 166, 135 L. Ed. 2d 457, 116 S. Ct. 2074 (1996)
[*72] (failure to raise procedural default in federal habeas court means
the defense is lost);
Granberry
v. Greer, 481 U.S. 129, 135, 95 L. Ed. 2d 119, 107 S. Ct. 1671 (1987)
("if a full trial has been held in the district court and it is evident
that a miscarriage of justice has occurred, it may . . . be appropriate
for the court of appeals to hold that the nonexhaustion defense has been
waived").
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n20 Banks's case provides no occasion to consider
Rule
15(b)'s application under the AEDPA regime.
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - -
To obtain a certificate of appealability, a prisoner must "demonstrate
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."
Miller-El
v. Cockrell, 537 U.S. 322, 327, 154 L. Ed. 2d 931, 123 S. Ct. 1029 (2003).
At least as to the application of
Rule
15(b), this case surely fits that description. A certificate of
appealability, therefore, should have issued.
* * *
For the reasons stated, the judgment [*73] 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.
CONCURBY: THOMAS (In Part)
DISSENTBY: THOMAS (In Part)
DISSENT: JUSTICE THOMAS, with whom JUSTICE SCALIA joins,
concurring in part and dissenting in part.
I join Part III of the Court's opinion, and respectfully dissent from Part
II, which holds that Banks' claim under
Brady v. Maryland,
373 U.S. 83, 10 L. Ed. 2d 215, 83 S. Ct. 1194 (1963), relating to
the nondisclosure of evidence that Farr accepted money from a police
officer during the course of the investigation, warrants habeas relief.
Although I find it to be a very close question, I cannot conclude that the
nondisclosure of Farr's informant status was prejudicial under
Kyles v. Whitley,
514 U.S. 419, 131 L. Ed. 2d 490, 115 S. Ct. 1555 (1995), and
Brady. n1
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n1 I do not address the possible application of the standard enunciated in
Giglio v.
United States, 405 U.S. 150, 31 L. Ed. 2d 104, 92 S. Ct. 763 (1972),
since I agree with the Court of Appeals that the issue was not properly
raised below, and since addressing this issue would go beyond the question
on which certiorari was granted. See Brief for Petitioner (i) (stating the
question presented as whether "the Fifth Circuit committed legal error in
rejecting Banks' Brady claim -- that the prosecution suppressed
material witness impeachment evidence that prejudiced him in the penalty
phase of his trial -- on the grounds that: . . . the suppressed evidence
was immaterial to Banks' death sentence").
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - - [*74]
To demonstrate prejudice, Banks must show that "the favorable evidence
could reasonably be taken to put the whole case in such a different light
as to undermine confidence in the verdict."
Kyles,
supra, 514 U.S. 419 at 435, 131 L. Ed. 2d 490, 115 S. Ct. 1555.
The undisclosed material consisted of evidence that "Willie Huff asked
[Farr] to help him find [Banks'] gun," and that Huff "gave [Farr] about $
200.00 for helping him." App. 442 (Farr Declaration). Banks contends that
if Farr's receipt of $ 200 from Huff had been revealed to the defense,
there would have been a "reasonable probability,"
Kyles,
supra, 514 U.S. 419 at 434, 131 L. Ed. 2d 490, 115 S. Ct. 1555,
that the jury would not have found "beyond a reasonable doubt that there
[was] a probability that the defendant, Delma Banks, Jr., would commit
criminal acts of violence that would constitute a continuing threat to
society." App. 143 (the second special issue presented to the jury)
(internal quotation marks omitted).
I do not believe that there is a reasonable probability that the jury
would have altered its finding. The jury was presented with the facts of a
horrible crime. Banks, after meeting the victim, Richard Whitehead, a
16-year-old boy who had the misfortune of owning a car that Banks wanted,
[*75] decided "to kill the person for the hell of it" and take his car.
Banks v. State, 643 S.W.2d 129, 131 (Tex. Crim. App. 1982) (en
banc), cert. denied,
464 U.S. 904, 78
L. Ed. 2d 244, 104 S. Ct. 259, (1983). Banks proceeded to shoot
Whitehead three times, twice in the head and once in the upper back. Banks
fired one of the shots only 18 to 24 inches away from Whitehead. The jury
was thus presented with evidence showing that Banks, apparently on a whim,
executed Whitehead simply to get his car.
The jury was also presented with evidence, in the form of Banks' own
testimony, that he was willing to abet another individual in obtaining a
gun, with the full knowledge that this gun would aid future armed
robberies. The colloquy between a prosecuting attorney and Banks makes it
clear what Banks thought he was doing:
"Q: You were going to supply him [Farr] your gun so he could do armed
robberies?
"A: No, not supply him my gun. A gun.
"Q: In other words you didn't care if it was yours or whose, but you were
going to be the man who got the gun to do armed robberies. Is that
correct?
"A: He was going to do it.
"Q: I understand, but you were going to supply him the means and possible
death [*76] weapon in an armed robbery case. Is that correct?
"A: Yes." App. 137 (cross-examination of Banks).
Accordingly, the jury was also presented with Banks' willingness to assist
others in committing deadly crimes. Indeed, the prosecution referenced
this very fact at one point during its closing argument in its attempt to
convince the jury that Banks posed a threat to commit violent acts in the
future:
"The testimony of Vetrano Jefferson and Robert Farr is of the utmost
significance. Vetrano brought before you the scar on his face, put there
by Delma Banks . . . . He also corroborates or supports the testimony of
Robert Farr. You don't have to believe just Robert in order to find that
Delma went to Dallas to get a pistol so that somebody could do some
robberies. Marcus Jefferson told you that, too." Id., at 146
(emphasis added). n2
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n2 Admittedly, the prosecution used more of its closing argument trying to
convince the jury to believe Farr's testimony that Banks himself was
planning more robberies. See ante, at 27, n. 18. This fact is one
of the reasons I find the materiality question to be a close one.
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - - [*77]
The jury also heard testimony that Banks had violently pistol-whipped and
threatened to kill his brother-in-law one week before the murder. Banks
now claims that this evidence should be discounted because his trial
counsel failed to uncover that the brother-in-law was "responsible for the
fight." Brief for Petitioner 33. But even if it is appropriate to
mix-and-match the prejudice analysis of the Brady claim and the
claim under
Strickland v. Washington, 466 U.S. 668, 80 L. Ed. 2d 674, 104 S. Ct. 2052
(1984) (rather than to evaluate them independently, as distinct
potential constitutional violations), Banks' response was vastly
disproportional to his brother-in-law's actions.
In sum, the jury knew that Banks had murdered a 16-year-old on a whim, had
violently attacked and threatened a relative shortly before the murder,
and was willing to assist another individual in committing armed robberies
by providing the "means and possible death weapon" for these robberies.
App. 137. Even if the jury were to discredit entirely Farr's testimony
that Banks was planning more robberies, n3 in all likelihood the jury
still would have found "beyond a reasonable doubt" that there "[was] a
probability that [*78] [Banks] would commit criminal acts of violence
that would constitute a continuing threat to society." Id., at 143.
The randomness and wantonness of the murder would perhaps, standing alone,
mandate such a finding. Accordingly, I cannot find that the nondisclosure
of the evidence was prejudicial.
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n3 It is quite possible that the jury already discredited this aspect of
Farr's testimony. The jury knew, from the testimony of witnesses James
Kelley and Officer Gary Owen, that Farr was generally dishonest, as it
heard how he had lied about getting into an altercation with a doctor over
false prescriptions, and had lied about his status as an informant for an
Arkansas officer in other cases. The Court suggests that the witnesses
providing this information were themselves "impeached." Ante, at
30. At best, though, they were only slightly impeached. The prosecution
merely intimated that Owen was slanting his testimony in the hopes of
being hired by the defense counsel's private investigator, App. 131, and
that Kelley was doing the same as he was a "friend of [Banks'] family,"
id., at 141.
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - - [*79]
Because Banks cannot show prejudice, I do not resolve whether he has cause
to excuse his failure to present his Farr Brady evidence in state
court,
Keeney v. Tamayo-Reyes, 504 U.S. 1, 11-12, 118 L. Ed. 2d 318, 112 S. Ct.
1715 (1992). But there are reasons to doubt the Court's conclusion
that Banks can show cause. For instance, the Court concludes that "this
case is congruent with Strickler [v.
Greene, 527 U.S. 263, 144 L. Ed. 2d 286, 119 S. Ct. 1936 (1999),"
ante, at 20, relying in part on the State's general denial of all
of Banks' factual allegations contained in his January 1992 state habeas
application. But, in the relevant state postconviction proceeding in
Strickler, the State alleged that the petitioner had already received
"'everything known to the government,'" a statement that federal
habeas proceedings established was clearly not true.
527 U.S.
263 at 289, 144 L. Ed. 2d 286, 119 S. Ct. 1936 (emphasis added).
In the instant case, the particular allegation raised in Banks' state
habeas application and denied by the State was that "the prosecution
knowingly failed to turn over exculpatory evidence as required by
Brady v.
Maryland, 363 U.S. 83, 10 L. Ed. 2d 215, 83 S. Ct. 1194 (1963)."
App. 180 (emphasis added). The State, [*80] then, could have been
denying only that the prosecution knowingly failed to turn over the
evidence (there is, incidentally, very little evidence in the record
tending to show that any prosecutor had actual knowledge of Huff's payment
to Farr). Or, the State could have been denying only that it had failed to
turn over evidence in violation of Brady, i.e., that any
evidence the prosecution did not turn over was not material (a position
advanced by the State throughout the federal habeas process), see
Strickler,
supra, 527 U.S. 263 at 281, 144 L. Ed. 2d 286, 119 S. Ct. 1936
("Strictly speaking, there is never a real 'Brady violation' unless
the nondisclosure was so serious that there is a reasonable probability
that the suppressed evidence would have produced a different verdict").
Either way, Strickler does not clearly control, and the Court's
reliance on it is less than compelling.
Because of the Court's disposition of Banks' Farr Brady claim, it
does not address his claim of ineffective assistance of counsel,
concluding that "any relief he could obtain on that claim would be
cumulative." Ante, at 16, n. 10. As I would affirm the Court of
Appeals on the Farr Brady claim, I briefly discuss this [*81]
ineffective-assistance claim. Although I find the Farr Brady claim
a close call, I do not find this to be so as to the ineffective-assistance
claim. Banks comes nowhere close to satisfying the prejudice prong of
Strickland v.
Washington, supra, 466 U.S. 668, 80 L. Ed. 2d 674, 104 S. Ct. 2052.
The conclusory and uncorroborated claims of some level of physical abuse,
the allegations that a bad skin condition negatively affected his
childhood development, the evidence that he was a slow learner and
possessed a willingness to please others, and the claim that Banks'
brother-in-law was responsible for his own pistol-whipping and receipt of
a death threat, are so unpersuasive that there is no reasonable
probability that the jury would have come to the opposite conclusion with
respect to the future dangerousness special issue, even if presented with
this evidence.
I therefore conclude that the Court of Appeals did not err when it denied
relief to Banks based on his Farr Brady claim and his Strickland
claim. I would reverse the Court of Appeals only insofar as it did not
grant a certificate of appealability on the Cook Brady claim.
|