FILED
United States Court of Appeals
Tenth Circuit
April 20, 2010
UNITED STATES COURT OF APPEALS
Elisabeth A. Shumaker
Clerk of Court
TENTH CIRCUIT
DAVID GORDON SMITH,
Petitioner-Appellant,
v.
No. 09-5147
(D.C. No. 4:06-CV-00468-TCK-FHM)
MIKE ADDISON, Warden
(N.D. Okla.)
Respondent-Appellee.
ORDER DENYING CERTIFICATE OF APPEALABILITY *
Before MURPHY, GORSUCH, and HOLMES, Circuit Judges.
David Gordon Smith, an Oklahoma state prisoner, applies for a certificate
of appealability (COA) to challenge the district court’s denial of his 28 U.S.C.
§ 2254 petition for a writ of habeas corpus. Because the district court correctly
concluded it was barred from reviewing Mr. Smith’s habeas petition, we deny his
application for a COA and dismiss his appeal.
* * *
*
This order is not binding precedent except under the doctrines of law of
the case, res judicata, and collateral estoppel. It may be cited, however, for its
persuasive value consistent with Fed. R. App. P. 32.1 and 10th Cir. R. 32.1.
In September 1978, Mr. Smith and Jackie Ray Young robbed a tag agency
in Catoosa, Oklahoma. When the police arrived on the scene, a gun fight ensued
between the two robbers and Catoosa Police Chief J.B. Hamby. At some point
during the shooting, Chief Hamby was fatally wounded and Mr. Young committed
suicide. Mr. Smith was hit by one of Chief Hamby’s shots, but he was able to
flee the scene alive. A few hours later, police arrested Mr. Smith at a Tulsa
hospital where he was receiving treatment for his wound.
The state charged Mr. Smith under the felony-murder doctrine for his role
in Chief Hamby’s death. In defense, Mr. Smith argued that he participated in the
robbery under duress, claiming that Mr. Young had put a gun to his head and
forced him to assist in the crime. The jury rejected this defense and convicted
Mr. Smith of first degree felony murder. Mr. Smith was then sentenced to life in
prison, in accord with the jury’s recommendation. Mr. Smith appealed to the
Oklahoma Court of Criminal Appeals (OCCA), and the OCCA affirmed his
conviction and sentence.
Mr. Smith escaped from prison in 1985 and wasn’t recaptured until 1993.
Upon his return to prison, Mr. Smith filed a state Open Records Act request to
obtain all the records possessed by prosecutors prior to his conviction. The
information he received from this request, Mr. Smith claims, demonstrates that
the “prosecutors withheld material exculpatory evidence,” Pet. Br. at 3, and
thereby violated his Fourteenth Amendment due process rights under Brady v.
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Maryland, 373 U.S. 83, 87 (1963) (“[T]he 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.”).
In 1997, Mr. Smith presented his Brady claim in an application for post-
conviction relief in state court. The state district court in Rogers County,
Oklahoma denied his application, and Mr. Smith appealed to the OCCA. The
OCCA applied the state law doctrine of laches and held that Mr. Smith had
“forfeited consideration of his application for post-conviction relief through his
own inaction” over the years since his conviction. R. Vol. III at 406.
Mr. Smith then filed his current federal habeas petition pursuant to 28
U.S.C. § 2254. The district court denied his petition, holding that it was barred
from considering Mr. Smith’s habeas claim because the OCCA denied the claim
on independent and adequate state law grounds. See D. Ct. Order at 6-7. Mr.
Smith now seeks to appeal the district court’s denial of his § 2254 petition.
* * *
Because he is in custody pursuant to the judgment of a state court, Mr.
Smith must obtain a COA before pursuing his appeal. 28 U.S.C. 2253(c)(1)(A).
We may issue a COA only if the applicant makes “a substantial showing of the
denial of a constitutional right.” 28 U.S.C. § 2253(c)(2). And where, as here, the
district court has dismissed the petition on procedural grounds, “without reaching
the prisoner’s underlying constitutional claim,” a COA will not issue unless
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“jurists of reason would find it debatable whether the district court was correct in
its procedural ruling.” Slack v. McDaniel, 529 U.S. 473, 484 (2000). Because
jurists of reason could not debate the district court’s ruling in this case, we deny
Mr. Smith’s request for a COA and dismiss his appeal.
Under long-settled doctrine, “[a] federal habeas court will not review a
claim rejected by a state court if the decision of the state court rests on a state law
ground that is independent of the federal question and adequate to support the
judgment.” Beard v. Kindler, 130 S. Ct. 612, 614 (2009) (internal quotation
marks omitted). “The rule applies with equal force whether the state-law ground
is substantive or procedural.” Lee v. Kemna, 534 U.S. 362, 375 (2002). A state
law ground “is ‘independent’ if it relies on state law, rather than federal law,” and
“is ‘adequate’ if it is firmly established and regularly followed,” such that it does
not raise any federal due process questions associated with erratically enforced
laws. Smith v. Workman, 550 F.3d 1258, 1274 (10th Cir. 2008). 1
1
Before Congress amended 28 U.S.C. § 2254, through the Antiterrorism
and Effective Death Penalty Act (AEDPA), the Supreme Court explained and
defended this doctrine as “grounded in concerns of comity and federalism.”
Coleman v. Thompson, 501 U.S. 722, 730 (1991). Some commentators have
argued that the doctrine is now also a jurisdictional one grounded in the text of
AEDPA. After all, they emphasize, § 2254 allows federal courts to “entertain an
application for a writ of habeas corpus in behalf of a person in custody pursuant
to the judgment of a State court only on the ground that he is in custody in
violation of the Constitution or laws or treaties of the United States,” 28 U.S.C.
§ 2254(a) (emphasis added), and directs that a writ “shall not be granted with
respect to any claim that was adjudicated on the merits in State court proceedings
unless the adjudication of the claim resulted in a decision that was contrary to, or
(continued...)
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In this case, the district court correctly held that it was barred from
reviewing Mr. Smith’s habeas petition because the OCCA resolved his claim on
an independent and adequate state law ground. The OCCA’s decision was
independent because it was based on the state law doctrine of laches, not on any
federal law. And the doctrine of laches is adequate because it is both firmly
established and regularly followed by the OCCA. Thomas v. State, 903 P.2d 328,
332 (Okla. Crim. App. 1995) (“[T]he doctrine of laches has been and continues to
be applicable, in appropriate cases, to collateral attacks upon convictions . . .
where petitioner has forfeited that right through his own inaction.”).
Under this court’s precedents, Mr. Smith could overcome the adequate and
independent state law bar to review only by demonstrating “cause and prejudice
or a fundamental miscarriage of justice.” Smith, 550 F.3d at 1274. 2 This
exception to the independent and adequate state ground doctrine, we are told,
“shows due regard for States’ finality and comity interests while ensuring that,”
as a matter of federal law, “fundamental fairness remains the central concern of
1
(...continued)
involved an unreasonable application of, clearly established Federal law, as
determined by the Supreme Court of the United States,” 28 U.S.C. § 2254(d)(1)
(emphasis added). “If a state court decision is based on an ‘adequate’ and
‘independent’ state ground,” these commentators argue, “there is no federal
question to review.” 2 Hertz & Liebman, Federal Habeas Corpus Practice and
Procedure § 26.1 at 1257. Resolution of this question, however, is not material to
our decision in this case.
2
Though this exception was crafted before AEDPA, federal courts have
continued to apply it after AEDPA’s passage. See, e.g., Smith, 550 F.3d at 1274.
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the writ of habeas corpus.” Dretke v. Haley, 541 U.S. 386, 393 (2004) (internal
quotation marks omitted). For a petitioner to show cause, however, he must
demonstrate that “some objective factor external to the defense impeded [his]
efforts to comply” with the state law. Murray v. Carrier, 477 U.S. 478, 488
(1986). And for a petitioner to show prejudice, he must show that he suffered
“actual prejudice as a result of the alleged violation of federal law.” Coleman,
501 U.S. at 750. The fundamental miscarriage of justice exception, meanwhile, is
“a narrow exception to the cause requirement where a constitutional violation has
probably resulted in the conviction of one who is ‘actually innocent’ of the
substantive offense.” Dretke, 541 U.S. at 393 (internal quotation marks omitted).
Mr. Smith has not shown sufficient cause to excuse the independent and
adequate state grounds bar here. As the district court noted, Mr. Smith’s delay in
pursuing his Brady claim is directly attributable to his escape from prison. Had
he not escaped, Mr. Smith could’ve developed his claim in 1985, when Oklahoma
passed its Open Records Act. Okla. Stat. tit. 51, § 24A.1 (effective Nov. 1,
1985). As it happened, though, Mr. Smith didn’t seek the relevant records until
1994, once he had been returned to prison. And even then, Mr. Smith waited
another three years after discovering the alleged Brady violation before filing his
state petition for post-conviction relief. Because Mr. Smith cannot show cause,
we need not address whether he has shown prejudice.
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Neither has Mr. Smith demonstrated that failure to review his claim would
result in a fundamental miscarriage of justice. Mr. Smith argues that the withheld
evidence would have supported his duress defense. But that defense presents a
legal justification for his conduct, not a claim of factual innocence. As we have
previously explained, arguments premised on legal innocence alone do not satisfy
the fundamental miscarriage of justice exception. See Ellis v. Hargett, 302 F.3d
1182, 1186 n.1 (10th Cir. 2002) (rejecting miscarriage of justice argument
because it merely “assert[s] that [petitioner] is legally innocent because his
conduct is justified or mitigated by the doctrines of self-defense or heat of
passion”); Beavers v. Saffle, 216 F.3d 918, 923 (10th Cir. 2000) (“Mr. Beavers
does not claim that he is innocent of killing Raymond Matthews. Rather, he
claims that he is not guilty of first degree murder because he was intoxicated and
acted in self defense. However, these arguments go to legal innocence, as
opposed to factual innocence.”); see also id. (“The exception is intended for those
rare situations ‘where the State has convicted the wrong person of the crime.’”
(quoting Klein v. Neal, 45 F.3d 1395, 1400 (10th Cir. 1995) (quoting Sawyer v.
Whitley, 505 U.S. 333, 340 (1992))).
***
For the foregoing reasons, the district court was indisputably correct in
concluding it was barred from reviewing Mr. Smith’s habeas petition.
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Accordingly, we must deny Mr. Smith’s application for a COA and dismiss his
appeal.
ENTERED FOR THE COURT
Neil M. Gorsuch
Circuit Judge
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