Lead Opinion
We GRANT the motion for the appointment of new supplemental counsel. We REMAND THIS CASE IN PART to the district court solely to appoint supplemental counsel consistent with this opinion and the requirements of 18 U.S.C. § 3599, and to consider in the first instance whether the petitioner can establish cause for the procedural default of any ineffeetive-assistance-of-trial-counsel claims pursuant to Martinez and Trevino that he may raise, and if so, whether those claims merit relief. We retain jurisdiction in the remainder of the case and STAY proceedings
Concurrence Opinion
concurring:
I concur in the appointment of supplemental counsel, though I do not join the panel majority’s truncated resolution of the issues. I write separately to address arguments raised by Mendoza and the State that are not discussed in the panel majority opinion and to set forth why I conclude that supplemental counsel is necessary in this case.
In this proceeding under 28. U.S.C. § 2254, Moisés Sandoval Mendoza has appealed the district court’s denial of habeas relief. After Mendoza had filed his initial brief in our court, the Supreme Court issued its decision in Trevino v. Thaler,
I
In April 2004, Mendoza was indicted for capital murder for intentionally killing Rachelle Tolleson by strangling her with his hands and stabbing her with a knife while committing or attempting to commit burglary, kidnapping, and aggravated sexual assault of Tolleson. After speaking with Mendoza and various members of his family, and considering the evidence against Mendoza, which included DNA evidence and multiple confessions, his defense team pursued a strategy of asserting that Mendoza was guilty of first-degree, but not capital, murder. The jury convicted Mendoza of capital murder, and he was sentenced to death in June 2005. His conviction and death sentence were affirmed on direct appeal in 2008.
While Mendoza’s direct appeal was pending, Lydia Brandt was appointed as Mendoza’s state habeas counsel. Mendoza filed an application for a writ of habeas corpus in state court challenging his conviction and sentence on seven grounds,
Brandt was subsequently appointed as Mendoza’s federal habeas counsel and presented Mendoza’s seven state habeas claims in a habeas petition submitted to the federal district court in June 2010. Mendoza filed an amended petition in January 2011 and another in June 2011, both containing substantially the same seven claims originally presented. The district court permitted Mendoza to propound interrogatories to members of his trial defense team but denied his motion for an evidentiary hearing. Following a report and recommendation by a magistrate judge, the district court dismissed with prejudice Mendoza’s claims unrelated to ineffective assistance of trial counsel and denied his five ineffective-assistanee-of-tri
Mendoza filed a motion to alter or amend the judgment, which the district court granted in part and denied in part, but which still resulted in the dismissal of Mendoza’s claims unrelated to ineffective assistance of trial counsel, and judgment in favor of the Director of the Texas Department of Criminal Justice, Correction Institutions Division (the Director). Mendoza filed a notice of appeal and an application for a certificate of appealability, which was granted in December 2012 on Mendoza’s first four ineffective-assistance claims.
While Mendoza’s appeal was pending in this court, the Supreme Court decided Trevino v. Thaler, which held that its earlier decision in Martinez v. Ryan — that the procedural default of a substantial claim of ineffective assistance of trial counsel may be excused when the claim was not properly presented at the first opportunity in state court due to the ineffective assistance of state habeas counsel — applies to Texas state habeas proceedings.
II
Mendoza, represented by Brandt, asserts that because Brandt served as both his federal and state habeas counsel, Brandt has a conflict of interest in light of the Supreme Court’s decisions in Christeson and Trevino. Mendoza contends that Brandt was (and is) unable to conduct a sufficiently searching review of her own possible ineffective assistance as state habeas counsel because to do so, she would be required to assess whether she was ineffective in representing Mendoza with respect to ineffective-assistance-of-trial-counsel issues. Mendoza therefore requests that he be appointed additional counsel to conduct a review to determine whether there are any ineffective-assistance-of-trial-counsel claims that should have been, but were not, raised in the state habeas proceedings.
Congress has provided by statute, 18 U.S.C. § 3599(a), that a state defendant charged with committing a crime punishable by death is entitled to counsel if he is or becomes financially unable to obtain adequate representation.
Although § 3599 “fails to specify how a court should decide” a motion for appointment of new counsel,
In adopting the “in the interests of justice” standard, the Supreme Court noted that “[hjabeas petitioners facing execution now receive counsel as a matter of right, not [sic] an exercise of the court’s discretion” by virtue of § 3599(a)(2).
In the present case, the State of Texas argues, in essence, that Brandt is an excellent attorney and that she has acted as an effective advocate for Mendoza. The State contends that Mendoza has a functioning lawyer — Brandt—and therefore that Mendoza’s motion for additional counsel should be denied. The Supreme Court rejected similar arguments in Martel and Christeson.
Mendoza argues that Brandt may not be able to consider, recommend, or carry out an appropriate course of action in reviewing her own performance as state habeas counsel. In urging this court to appoint additional counsel for Mendoza, Brandt asserted that if she were found by a federal habeas court to have provided ineffective assistance of counsel in the state habeas proceedings, such a finding would tend to affect negatively the prospect that she would be appointed as counsel in other criminal cases or retained as counsel by other defendants. Brandt observed in her arguments to this court that a finding that state habeas counsel was ineffective may affect not only that counsel’s professional reputation but her future earnings, as well.
From an objective observer’s viewpoint, Brandt’s loyalty to her client reasonably appears to be adversely limited because of her own interests. In other contexts, at least four Circuit courts have recognized that when state habeas counsel was also trial counsel, an inherent conflict of interest is present.
The State of Texas does not contend that Brandt does not have a conflict of interest. Instead, the State argues that Mendoza has not pointed to any ineffective-assistance-of-trial-counsel claim that Brandt should have raised, but did not raise, in the state habeas corpus proceedings. This argument is entirely circular. The State says that Mendoza cannot have conflict-free counsel unless conflicted counsel does what no’ court has thus far expect
In the interests of justice, it is appropriate to appoint additional counsel for Mendoza to determine whether, in new counsel’s professional judgment, there are claims that should have been, but were not, raised in the state habeas proceedings. It may well be that Brandt has actually been diligent and selfless in her review of her representation of Mendoza in state habeas proceedings. However, the interests of justice weigh in favor of appointing additional counsel.
In Martel, the Supreme Court observed that the interests of justice standard “contemplates a peculiarly context-specific inquiry.”
Clearly, Mendoza bears no responsibility for the fact that his appointed federal habeas counsel also served as his state habeas counsel. As to the timeliness of Mendoza’s motion, the State contends that Mendoza has waived the right to seek conflict-free counsel by failing to raise the issue in the federal district court. I disagree in light of the procedural posture of this case. The federal district court appointed federal habeas counsel for Mendoza in June 2009, almost three years before the Supreme Court decided Martinez
In March 2012, in Martinez, the Supreme Court held that ineffective assistance of state habeas counsel in failing to raise an ineffective-assistance-of-trial-counsel claim could establish cause for the procedural default of such a claim in states that required ineffective-assistance-of-trial-counsel claims to be raised in state habeas proceedings rather than on direct appeal.
Mendoza pursued an appeal in this court and filed his initial brief on May 22, 2013. Six days later, on May 28, 2013, the Supreme Court issued its opinion in Trevino v. Thaler;
Mendoza filed a motion seeking appointment of conflict-free counsel 65 days after Trevino issued. While that motion could certainly have been filed in our court much sooner after Trevino issued, it cannot be said that the passage of 65 days resulted in a forfeiture or waiver.
The State argues that Mendoza’s motion should be denied because he has not identified any aspect of his counsel’s performance in the state habeas proceedings that even might have been ineffective in pursuing additional ineffective-assistance-of-trial-counsel claims. The State points out that the Supreme Court noted that the rule it adopted in Martinez was equitable
The State’s position ignores the fact that Mendoza is represented by Brandt, and only Brandt, in the federal habeas proceedings at this juncture. To accept the State’s argument would require Mendoza either to go forward with counsel who has a conflict of interest or, acting pro se, to determine if there were other ineffective-assistance-of-trial-counsel claims that Brandt should have raised in the state habeas proceedings.
This approach also comports with Cbristeson. In that case, the Supreme Court did not examine the merits of the petitioner’s potential equitable-tolling claim. Rather, it determined that “grounds for substitution” exist when a pfetitioner’s attorneys must raise arguments that are “directly and concededly contrary to their client’s interest” in service of protecting “their own professional and reputational interests.”
The Supreme Court also instructed that procedural obstacles faced by a habeas petitioner must not preclude the appointment of substitute counsel unless it is “plain that any subsequent motion that substitute counsel might file on [petitioner’s] behalf would be futile.”
Ill
This court’s resolution of Mendoza’s motion is supported by decisions of the Fourth Circuit. The first was an unpublished opinion in Gray v. Pearson>
Subsequently, in Juniper v. Davis,
To be clear, if a federal habeas petitioner is represented by the same counsel as .in state habeas proceedings, and the petitioner requests independent counsel in order to investigate and pursue claims under Martinez ... qualified and independent counsel is ethically required. A district court must grant the motion for appointment of counsel without regard to whether the underlying motion identifies a ‘substantial’ ineffective assistance claim under Martinez49
The Fourth Circuit’s reasoning is persuasive when, as here, a state defendant’s sole federal habeas counsel is the same as his state habeas counsel.
IV
Pursuant to 28 U.S.C. § 2106, this court is authorized to “require such further proceedings to be had as may be just under the circumstances.”
. - U.S. -, 133 S.Ct. 1911, 185 L.Ed.2d 1044 (2013).
. Mendoza v. State, No. AP-75213, 2008 WL 4803471, at *28 (Tex.Crim.App. Nov. 5, 2008), cert. denied, 556 U.S. 1272, 129 S.Ct. 2742, 174 L.Ed.2d 254 (2009).
. See Ex parte Mendoza, No. WR-70211-01, 2009 WL 1617814, at *1 (Tex.Crim.App. Jun. 10, 2009).
. Id.
. Trevino, 133 S.Ct. at 1921.
. Christeson v. Roper, - U.S. -, 135 S.Ct. 891, 894-95, 190 L.Ed.2d 763 (2015) (per curiam).
. Id.
. 18 U.S.C. § 3599(a), which provides:
(a)(1) Notwithstanding any other provision of law to the contrary, in every criminal action in which a defendant is charged with a crime which may be punishable by death, a defendant who is or becomes financially unable to obtain adequate representation or*206 investigative, expert, or other reasonably necessary services at any time either—
(A) before judgment; or
(B) after the entry of a judgment imposing a sentence of death but before the execution of that judgment;
shall be entitled to the appointment of one or more attorneys and the furnishing of such other services in accordance with subsections (b) through (f).
(2) In any post conviction proceeding under section 2254 or 2255 of title 28, United States Code, seeking to vacate or set aside a death sentence, any defendant who is or becomes financially unable to obtain adequate representation or investigative, expert, or other reasonably necessary services shall be entitled to the appointment of one or more attorneys and the furnishing of such other services in accordance with subsections (b) through (f).
. Id. § 3599(a)(2).
. Martel v. Clair, - U.S. -, 132 S.Ct. 1276, 1284, 182 L.Ed.2d 135 (2012).
. Id.
. See id.
. Id.
. Id.
. Id. at 1285.
. Id. (quoting McFarland v. Scott, 512 U.S. 849, 855, 859, 114 S.Ct. 2568, 129 L.Ed.2d 666 (1994)).
. Christeson v. Roper, - U.S. -, 135 S.Ct. 891, 894, 190 L.Ed.2d 763 (2015) (per curiam); Martel, 132 S.Ct. at 1286 (rejecting the contentions that "a court may not change counsel under § 3599 even if the attorney-client relationship has broken down, so long
. Martel, 132 S.Ct. at 1286.
. Id. (emphasis added).
. Christeson, 135 S.Ct. at 894.
. See Bloomer v. United States, 162 F.3d 187, 192 (2d Cir.1998) (“[W]e need not find that appellate (or, by analogy, habeas) counsel was ineffective in failing to challenge the quality of the representation that he had rendered .at trial. Rather, we effectively excuse the failure to raise that argument on appeal (or here on an initial § 2255 petition) due simply to counsel's inherent conflict of interest.”); Stephens v. Kemp, 846 F.2d 642, 651 (11th Cir.1988) ("We find ‘cause’ for petitioner's failure to raise the ineffective assistance issue in his first state habeas petition in the fact that petitioner’s trial counsel, whose effectiveness is here challenged, also represented him in the first state habeas proceeding.”); Riner v. Owens, 764 F.2d 1253, 1257 (7th Cir.1985) (“Since it would be most difficult if not professionally awkward to require a lawyer to argue on appeal his own ineffectiveness ... we conclude that identity of trial and appellate counsel can constitute sufficient cause to meet the first element of the cause and prejudice standard.”); Alston v. Garrison, 720 F.2d 812, 816 (4th Cir.1983) (“We are satisfied with Alston’s excuse for failing to raise his ineffectiveness claim at trial and on state appeal. The content of an appeal is heavily controlled by counsel, and where, as here, the defendant's trial lawyer also prosecuted the appeal, it is obvious that ineffective assistance of counsel is not likely to be raised at trial or to appear among the assignments of constitutional error.”).
. 132 S.Ct. at 1287.
. Id.
. See Christeson, 135 S.Ct. at 894 ("The District Court here properly recognized that its consideration of Christeson's motion for substitution was governed by Clair's 'interests of justice' standard. But its denial of his motion did not adequately account for all of the fac- ■ tors we set forth in Clair.").
. Martinez v. Ryan, - U.S. -, 132 S.Ct. 1309, 182 L.Ed.2d 272 (2012).
. 501 U.S. 722, 111 S.Ct. 2546, 115 L.Ed.2d 640 (1991).
. Id. at 752-54, 111 S.Ct. 2546.
. Id. at 755, 111 S.Ct. 2546.
. See, e.g., Cantu v. Thaler, 632 F.3d 157, 166 (5th Cir.2011); Woodfox v. Cain, 609 F.3d 774, 793 (5th Cir.2010); Haynes v. Quarterman, 526 F.3d 189, 195 (5th Cir.2008); Matchett v. Dretke, 380 F.3d 844, 849 (5th Cir.2004).
. Martinez, 132 S.Ct. at 1320 (modifying Coleman to permit federal courts to excuse the procedural default of a substantial claim of ineffective assistance of trial counsel when (1) the claim was not properly presented in state court due to the ineffective assistance of state habeas counsel, and (2) under state law, claims of ineffective assistance of trial counsel must be raised in an "initial-review collateral proceeding,” rather than on direct appeal).
. 687 F.3d 222 (5th Cir.2012).
. See, e.g., Haynes v. Thaler, 489 Fed.Appx. 770, 772 (5th Cir.2012); Foster v. Thaler, 481 Fed.Appx. 229, 230 (5th Cir.2012); Newbury v. Thaler, 481 Fed.Appx. 953, 955 (5th Cir.2012); Ayestas v. Thaler, 475 Fed.Appx. 518 (5th Cir.2012).
. - U.S. -, 133 S.Ct. 1911, 185 L.Ed.2d 1044 (2013).
. Trevino, 133 S.Ct. at 1921.
. Cf. Christeson v. Roper, - U.S. -, 135 S.Ct. 891, 895, 190 L.Ed.2d 763 (2015) (per curiam) (“Christeson’s first substitution motion, while undoubtedly delayed, was not abusive. It was filed approximately a month after outside counsel became aware of Christeson's plight and well before the State had set an execution date, and it requested only 90 days to investigate and file a Rule 60(b) motion.”).
. Harper v. Virginia Dept. of Taxation, 509 U.S. 86, 97, 113 S.Ct. 2510, 125 L.Ed.2d 74 (1993)
. Martinez v. Ryan, - U.S. -, 132 S.Ct. 1309, 1315, 1319-20, 182 L.Ed.2d 272 (2012).
. See generally Juniper v. Davis, 737 F.3d 288 (4th Cir.2013); Gray v. Pearson, 526 Fed. Appx. 331 (4th Cir.2013).
. Id.; see also 18 U.S.C. § 3599(a).
. Christeson, 135 S.Ct. at 895.
. Id.
. 526 Fed.Appx. 331 (4th Cir.2013).
. Id. at 332.
. Id. at 332, 334.
. Id. at 334.
. Id. at 335.
. 737 F.3d 288 (4th Cir.2013).
. Id. at 290.
. Id.
. But see Fowler v. Joyner, 753 F.3d 446, 450 (4th Cir.2014) (denying a motion, filed while appeal was pending, for appointment of additional counsel and remand to the district court "[b]ecause Fowler had the benefit of the qualified, independent counsel called for in Juniper and he failed to raise any Martinez-based claims below.”).
.28 U.S.C. § 2106, which provides:
The Supreme Court or any other court of appellate jurisdiction may affirm, modify, vacate, set aside or reverse any judgment, decree, or order of a court lawfully brought before it for review, and may remand the cause and direct the entry of such appropriate judgment, decree, or order, or require such further proceedings to be had as may be just under the circumstances.
Concurrence Opinion
concur for the reasons stated in their opinion in Speer v. Stephens, 13-70001.
