Lead Opinion
Toby Joe Gutierrez brought this habeas corpus action pursuant to 28 U.S.C. § 2254 (1988) challenging the constitutionality of his conviction and sentence under New Mexico law for heroin trafficking. A federal magistrate denied Gutierrez’ motion for an evidentiary hearing and issued proposed findings recommending that relief be denied. The district court adopted the recommendation and Gutierrez appeals. Gutierrez contends that: (1) the State’s failure to produce his co-defendant and a confidential informant denied his due process right to a fair trial; (2) the district court erred in failing to hold an evidentiary hearing on his claims arising from preindictment and pretrial delay; (3) the court erred in failing to hold an evidentiary hearing on his claim of ineffective assistance of counsel arising from counsel’s failure to raise preindictment and pretrial delay; and (4) his life sentence constitutes cruel and unusual punishment. We affirm.
I.
On July 12, 1979, Gutierrez and co-defendant Ruth Maestas were indicted on two counts of heroin trafficking that had allegedly occurred in March. A bench warrant for their arrest was also issued on July 12, although Gutierrez was not arrested until February 14, 1980. Maestas was never apprehended and the case against her was ultimately dropped. Gutierrez’ public defender entered an appearance on February 25 and moved the court on March 14 for an order requiring the State to identify and produce the confidential informant who had taken part in the transactions underlying the indictment. Although the court granted the motion on April 7, the State did not respond until May 28 at which time the State named Leonard Alvarez as the informant but stated that Alvarez’ whereabouts were unknown.
A trial date of June 16,1980, was extended upon Gutierrez’ motion, and his trial commenced on August 21. Although Gutierrez’ counsel pointed out to the court on the day of trial that the State had never produced Alvarez, no motion objecting to that failure is in the record on appeal. Alvarez and Maestas did not appear at trial, and the State established its case against Gutierrez through the testimony of Solomon Luna, a narcotics agent with the New Mexico State Police, who worked undercover with the confidential informant he identified as Leonard Alvarez. According to Luna, he and Alvarez went to Maestas’ home to set up a heroin deal. Maestas left the home to obtain the heroin and returned followed by three men, one of whom Luna identified as Gutierrez. Two sales of heroin occurred, in one of which Gutierrez allegedly provided the heroin. The court directed an acquittal on one count, and a jury convicted Gutierrez on the remaining count involving the deal in which the man Luna identified as Gutierrez had actually handed over the drug in Luna’s presence.
Gutierrez was found to be a second offender under the state heroin trafficking statute and sentenced to life in prison. Gutierrez appealed, raising the State’s failure to produce the informant and his attorney’s failure to file motions attacking the prein-dictment and pretrial delay. The New Mexico Supreme Court remanded for reconsideration of the sentence. In so doing, the Court did not address the informant issue and stated with respect to preindictment and pretrial delay that “appellant’s failure to raise the 'speedy trial’ issue at the trial level and present a proper quantum of proof on the issue was a failure to preserve the issue for appellate review. See State v. Elliott,
II.
Gutierrez asserts that the State’s failure to produce the informant Alvarez or reveal his whereabouts deprived Gutierrez of his right to due process. It is clear that a defendant may be “denied due process by the failure of the government to produce the informant for interview, as ordered by the trial court.” United States v. Muse,
In denying Gutierrez relief on this ground, the district court relied entirely on United States v. Valenzuela-Bernal,
The Court in Roviaro considered a situation in which the government had not identified or produced an informant who “was the sole participant, other than the accused, in the transaction charged. The informer was the only witness in a position to amplify or contradict the testimony of government witnesses. Moreover, a government witness testified that [the informant] denied knowing [the accused] or ever having seen him before.” Id. at 64-65,
In Valenzuela-Bernal, the defendant, who was charged with bringing an illegal alien into the United States, was arrested along with three illegal aliens as they crossed a border checkpoint. The government detained one of the three to provide a basis for the charge against the defendant, while the other two were deported before they were interviewed by the defendant upon the government’s determination that they possessed no evidence material to the defense. In finding no prejudicial error arising from the deportation, the Court concluded that the defendant had to offer “a plausible showing that the testimony of the deported witnesses would have been material and favorable to his defense, in ways not merely cumulative to the testimony of available witnesses.”
We see no conflict in the standards the Court applied in the two cases discussed above. As stated by the Court in Roviaro and as applied in Valenzuela-Bernal, assessment of whether nondisclosure or non-production of a witness is erroneous “must depend on the particular circumstances of each case, taking into consideration the crime charged, the possible defenses, the possible significance of the informer’s testimony, and other relevant factors.”
Here, as distinguished from Roviaro, the informant was not the only person other than the accused present at the scene of the crime. Unlike the situation in Va
III.
Gutierrez contends that the district court erred in refusing to hold an evidentiary hearing on his claims asserting constitutional violations arising from preindictment and pretrial delay. The court concluded that the state supreme court had expressly invoked its procedural bar based on Gutierrez’ failure to raise these issues properly in state district court. The district court rejected Gutierrez’ argument that federal ha-beas review is nonetheless available because New Mexico has a fundamental error exception to its procedural bar analogous to the Oklahoma exception recognized by the Supreme Court in Ake v. Oklahoma,
As quoted above, the New Mexico Supreme Court rejected the preindictment and pretrial delay claims by stating that the failure to raise the issue “at the trial level and present a proper quantum of proof on the issue was a failure to preserve the issue for appellate review,” citing State v. Elliott,
The Supreme Court has held that federal habeas review of a defaulted claim is not precluded unless the state court opinion contains a plain statement clearly and expressly relying on its procedural bar. See Harris v. Reed,
Federal habeas review of a defaulted federal claim is precluded when the state court has disposed of the claim on a procedural ground “that is both ‘independent’ of the merits of the federal claim and an ‘adequate’ basis for the court’s decision.” Harris,
A.
In assessing whether New Mexico’s procedural bar is an independent state law ground, we begin by pointing out that New Mexico draws a clear distinction between fundamental rights and fundamental errors when determining the applicability of its bar. See, e.g., State v. Isiah,
Thus, unlike Oklahoma, New Mexico does not equate fundamental error with federal constitutional error. See Ake,
B.
Nonetheless, the rule is not “adequate” under Harris and its predecessor cases because New Mexico does not follow
Turning specifically to New Mexico’s treatment of claims of the type at issue here, we recognize that New Mexico did apply a waiver rule to such claims in some decisions handed down before the Supreme Court’s decision in Barker v. Wingo,
The Court in Barker identified four factors to be considered in determining whether a defendant’s speedy trial right had been denied: “Length of delay, the reason for the delay, the defendant’s assertion of his right, and prejudice to the defendant.” Id. at 530,
In State v. Mendoza,
In State v. Gallegos,
In State v. Urban,
In sum, the New Mexico courts clearly have not applied their procedural bar rule strictly and regularly to claims of speedy trial violations and preindictment delay. Indeed, it may well be that after Mendoza, New Mexico will always apply a Barker v. Wingo constitutional analysis when the state speedy trial six-month limitation is passed. In Mendoza, the court specifically stated that the untimeliness of the assertion of speedy trial rights “does not end our inquiry. Whenever there is a delay of more than six months between the time of arraignment and the date of the trial, [the Barker ] factors are to be considered in determining whether a defendant has been denied the right to a speedy trial.”
Accordingly, we conclude that New Mexico’s invocation of its procedural bar rule in this case, to the extent it did so, does not preclude federal habeas review. As discussed above, the rule is not adequate because the state courts do not apply the rule consistently to these claims. Moreover, the rule may well no longer be independent as to these claims in view of New Mexico’s treatment of them in Mendoza. Although the federal district court therefore erred in holding federal review of the delay claims themselves unavailable, we need not re
IV.
Gutierrez contends that he received ineffective assistance of counsel when his attorney failed to properly assert preindictment and pretrial delay in state court. To establish ineffective counsel, Gutierrez must show both that his attorney’s performance was deficient and that these deficiencies were prejudicial to his defense. See Strickland v. Washington,
A.
Preindictment delay rises to a constitutional violation when the defense is substantially prejudiced by the delay and the reasons for the prosecutor’s delay are improper. See Martinez v. Romero,
B.
In assessing whether pretrial delay has deprived a defendant of his constitutional right to a speedy trial, a court must balance four factors: “Length of delay, the reason for the delay, the defendant’s assertion of his right, and prejudice to the defendant.” Barker,
The lower court found that while the twelve month delay from indictment to trial, some of which was admittedly attributable to defendant, was sufficiently lengthy to trigger speedy trial analysis, the length was not itself exceptional. The court noted that if overcrowded dockets had caused the delay, it weighed against the State, but held that this factor nonetheless provided little support for the
Because we conclude that Gutierrez’ preindictment and pretrial delay claims are without merit, we likewise conclude that he has failed to show the prejudice necessary to establish ineffective assistance of counsel.
V.
Finally, we address Gutierrez’ claim that a life sentence for distributing a “miniscule” amount of heroin is cruel and unusual punishment. The Eighth Amendment prohibits “sentences that are disproportionate to the crime committed.” Solem v. Helm,
The judgment of the district court is AFFIRMED.
Notes
. The district court held that Gutierrez had exhausted his state remedies as required by 28 U.S.C. § 2254, and the State does not challenge this holding on appeal.
. In State v. Bishop,
. Although these cases were all decided after the New Mexico Supreme Court’s decision at issue here, we note that the Supreme Court has considered decisions issued before, after, and contemporaneously with the state court decision under review. See Dugger v. Adams,
Concurrence Opinion
concurring in part and dissenting
in part:
I concur in part II of the majority opinion, and in the result. However, I respectfully dissent with respect to the process by which the majority reaches that result. Procedural bar precludes consideration of Gutierrez’s speedy trial claim.
When the last state court of review clearly holds that a federal constitutional issue has been forfeited due to a violation of state procedural rules, and the finding rests on adequate and independent state law grounds, then such a finding of procedural default bars federal habeas review of the federal claim. See Harris v. Reed,
Many New Mexico cases, in a variety of different contexts, recite and apply the general rule that “[o]n appeal, a reviewing court will not consider issues not raised in the trial court.” State v. Muise,
The majority opinion relies on three cases for its conclusion that the New Mexico courts do not follow their own procedural bar rules where speedy trial claims are concerned: State v. Mendoza,
In Gallegos and Urban there was no procedural bar because timely motions were made before the trial court. In Gallegos the court stated “we affirm the trial court’s denial of defendant’s motion to dismiss two of the counts for speedy trial violations.”
In Urban, the court begins its discussion by stating that “[defendant appeals his conviction for shoplifting, contending that the trial court erred in denying his motion to dismiss the indictment on sixth amendment speedy trial and fourteenth amendment due process grounds.”
[f]or all of these reasons, we conclude that Rule 5-601(C) lists several motions that must be raised before trial but need not be raised at arraignment or within twenty days thereafter. See State v. Aragon [99 N.M. 190 ,656 P.2d 240 (Ct.App.1982)]. Defendant’s motion was based on two objections, both of which were directed at the initiation of the prosecution. Therefore, defendant’s motion was timely.
Id.,
Mendoza also involved a timely motion seeking dismissal for violation of the New Mexico statutory speedy trial time limits. There was no question in that case of procedural bar since the motion in the trial court was obviously timely and the appeal properly perfected. The majority opinion’s strained attempt to reconstruct these cases in a way to achieve some equivalence with the type of case before us includes the necessity of building on an “inference” it
The only recent case from New Mexico which has addressed the situation in which a speedy trial claim was not raised at all in the trial court, expressly holds that in such a circumstance the issue is procedurally barred. State v. Valdes,
Defendant also contends that he was denied his sixth amendment right to a speedy trial. Determination of whether a defendant has been denied his constitutional right to a speedy trial requires weighing four factors: length of the delay, reason for the delay, assertion of the right, and prejudice to the defendant. See Barker v. Wingo,407 U.S. 514 ,92 S.Ct. 2182 ,33 L.Ed.2d 101 (1972); Zurla v. State,109 N.M. 640 ,789 P.2d 588 (1990); State v. Grissom,106 N.M. 555 ,746 P.2d 661 (Ct.App.1987). The principal stumbling block for defendant is his failure to raise his constitutional claim in the district court. In the portion of defendant's brief-in-chief that addresses the constitutional claim, defendant states, "Mr. Valdez asserted his right in a motion before trial," and cites to the taped transcript for the day of trial. The state's answer brief points out, however, that defendant's trial counsel never claimed violation of a constitutional right and never argued the four factors set out in Barker. Defendant's reply brief does not address the constitutional claim. Our review of the transcript shows that trial counsel discussed only violation of this state's six-month rules.
Because defendant did not raise the constitutional claim until this appeal, there were no district court proceedings to develop fully the facts relating to the Barker factors, and the district court had no opportunity to weigh them. In a similar circumstance, a federal court of appeals wrote:
Although defendants and their counsel are allowed considerable leeway in delaying their demand for a speedy trial before the trial court, the issue must be raised at some point. A complete failure to raise it in the trial court, as was the case here, precludes our consideration of the issue on appeal, for the simple reason that there is nothing to review. There is no decision of the district court weighing the factors considered and no record from which we could independently evaluate the government's conduct. [Citations and footnote omitted.]
United States v. Canniff
In short, nothing in the record suggests such a striking violation of the constitutional right to a speedy trial that it would be appropriate to consider that issue for the first time on appeal. See SCRA 1986, 12-216(B).
Id.,
The majority's electronmicroscope approach to dissecting the New Mexico cases
In sum, the majority opinion is wrong on procedural bar for two reasons. First, it misinterprets and incorrectly analyzes and applies New Mexico case law. Second, it approaches its procedural bar analysis with an apparent set of presumptions which I find unacceptable: that the state courts are not faithful to their own rules, and are seemingly unaware of how to apply them; and, that we ought to strain to permit federal habeas review and avoid finding procedural bar on state grounds. In my view, the presumptions must be exactly the opposite. Rather than going out of the way to imagine fatal defects in state cases so as to deny state courts the privilege of applying their own procedural bar rules, I would accord a presumption of regularity to state court applications of state rules.
Accordingly, for the reasons stated, I respectfully dissent to that part of the majority opinion referred to above.
. It does not matter that the court in Valdez went on to reject the speedy trial claim on the merits, for we view that disposition, in the context of the case, as clearly an alternative holding. A state court may make alternative holdings on the merits and on procedural bar:
a state court need not fear reaching the merits of a federal claim in an alternative holding. By its very definition, the adequate and independent state-ground doctrine requires the federal court to honor a state holding that is a sufficient basis for the state court's judgment, even when the state court also relies on federal law.
Harris v. Reed,
. It is entirely appropriate to focus on the single most recent case from a state appellate court since the state courts are to be expected to follow current teachings of the United States Supreme Court. Meadows v. Legursky,
. Thus, for instance, in Dugger v. Adams,
