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Factual and Procedural Background

Carlos Trevino was convicted of capital murder in Texas state court and sentenced to death after a jury found aggravating factors and insufficient mitigating circumstances. New counsel was appointed for Trevino's direct appeal eight days after sentencing, but the counsel did not raise a claim of ineffective assistance of trial counsel during the penalty phase. Subsequently, a different counsel was appointed to pursue state collateral relief, including claims of ineffective assistance of trial counsel, but did not include all relevant aspects of the claim, such as failure to investigate and present mitigating evidence. The state courts denied relief, finding procedural default because Trevino had not raised the claim during his initial postconviction proceedings. Federal habeas proceedings were stayed to allow state court consideration, but the federal district court and the Fifth Circuit held that the procedural default barred federal review. Trevino appealed to the Supreme Court, which granted certiorari to determine whether the exception recognized in Martinez v. Ryan applies in Texas, given Texas's procedural framework.

Legal Issues Presented

  1. Whether the Martinez exception to procedural default applies in Texas, where state law permits but does not require raising ineffective-assistance-of-trial-counsel claims on direct appeal, but the procedural framework makes it virtually impossible to do so meaningfully.
  2. Whether the structural and operational characteristics of Texas's procedural system justify applying the Martinez exception despite the absence of an explicit state law requirement to raise such claims initially in collateral review.

Arguments of the Parties

Petitioner’s Arguments

  • Texas’s procedural framework, by design and operation, effectively precludes a meaningful opportunity to raise ineffective-assistance-of-trial-counsel claims on direct appeal.
  • The Martinez exception should apply because Texas’s system, like Arizona’s in Martinez, channels initial review of these claims to collateral proceedings, making it unfair to bar federal habeas review due to procedural default.
  • Practical considerations such as the need for new counsel, the inadequacy of the trial record on direct appeal, and the short time frames for filing motions for new trial support applying the exception.

Respondent’s Arguments

  • Texas law permits raising ineffective-assistance claims on direct appeal, so the Martinez exception does not apply.
  • Texas courts enforce time limits flexibly, sometimes allowing record development through abatement and remand.
  • If appellate counsel fails to raise a substantial ineffective-assistance claim on direct appeal, the ineffectiveness of appellate counsel may constitute cause to excuse procedural default.
  • No case has found appellate counsel constitutionally ineffective for failing to raise such claims on direct appeal, consistent with Texas courts directing defendants to raise these claims in collateral review.

Table of Precedents Cited

Precedent Rule or Principle Cited For Application by the Court
Martinez v. Ryan, 566 U.S. 1 (2012) Created a narrow exception to procedural default where ineffective assistance or absence of counsel during initial-review collateral proceedings excuses default of ineffective-assistance-of-trial-counsel claims. Extended the exception to Texas’s procedural framework, holding that despite Texas law permitting claims on direct appeal, the practical impossibility of doing so justifies applying Martinez.
Coleman v. Thompson, 501 U.S. 722 (1991) Established that attorney negligence in postconviction proceedings generally does not constitute “cause” to excuse procedural default. Martinez carved out a narrow exception to this rule; the Court reaffirmed its importance but recognized the exception applies here.
Maples v. Thomas, 565 U.S. 266 (2012) Held that negligence of postconviction counsel does not qualify as cause for procedural default because the petitioner bears the risk of attorney negligence. Referenced to contrast the narrowness of the Martinez exception.
Wiggins v. Smith, 539 U.S. 510 (2003) Failure to investigate and present mitigating circumstances can constitute ineffective assistance of counsel. Used to illustrate the nature of claims that are difficult to raise on direct appeal due to record limitations.
Murray v. Carrier, 477 U.S. 478 (1986) Appellate counsel’s ineffectiveness may constitute cause to excuse procedural default in some circumstances. Respondent cited this to argue appellate counsel’s failure could excuse default, but no cases support its application here.
Robinson v. State, 16 S.W.3d 808 (Tex. Crim. App. 2000) Texas court recognized it is virtually impossible to adequately present ineffective-assistance claims on direct appeal. Supported the Court’s conclusion that Texas’s procedural framework effectively bars direct appeal claims.
Mata v. State, 226 S.W.3d 425 (Tex. Crim. App. 2007) Texas courts generally discourage raising ineffective assistance claims on direct appeal, preferring collateral review. Reinforced the practical operation of Texas law as limiting direct appeal claims.
Preiser v. Rodriguez, 411 U.S. 475 (1973) Recognized the historic importance of federal habeas corpus to review unlawful detention. Contextual background on habeas corpus principles.
Massaro v. United States, 538 U.S. 500 (2003) Claims of ineffective assistance of trial counsel are generally best raised in collateral proceedings. Supported the Court’s reasoning favoring collateral review for such claims.

Court's Reasoning and Analysis

The Court began by reaffirming the principles established in Martinez v. Ryan, which created a narrow exception to the general rule that attorney negligence in postconviction proceedings does not constitute cause to excuse procedural default. In Martinez, the exception applied where state law required ineffective-assistance-of-trial-counsel claims to be raised in initial collateral review proceedings, and there was no counsel or ineffective counsel during that review.

The Court recognized that Texas law differs from Arizona’s in that it does not explicitly require raising such claims in initial collateral proceedings; Texas law appears to permit raising these claims on direct appeal. However, the Court emphasized that the practical operation of Texas’s procedural framework makes it virtually impossible for defendants to meaningfully raise ineffective-assistance claims on direct appeal. This is due to the inadequacy of the trial record on direct appeal, the short time frames for filing motions for new trial before the trial transcript is available, and strong judicial discouragement of raising such claims on direct appeal.

The Court found that these structural and operational realities of Texas's system are functionally equivalent to the Arizona system at issue in Martinez. Therefore, the rationale supporting the Martinez exception applies equally in Texas.

The Court rejected the respondent's argument that appellate counsel's failure to raise claims on direct appeal could serve as cause to excuse procedural default, noting the absence of any case law supporting such a position and the Texas courts’ explicit direction to raise ineffective-assistance claims in collateral review.

Ultimately, the Court concluded that where a state procedural framework, by its design and operation, makes it highly unlikely that a defendant will have a meaningful opportunity to raise an ineffective-assistance-of-trial-counsel claim on direct appeal, the Martinez exception applies to excuse procedural default and permit federal habeas review of such claims.

Holding and Implications

The Supreme Court held that the Martinez exception applies in Texas. Specifically, where Texas’s procedural framework, by reason of its design and operation, makes it highly unlikely in a typical case that a defendant will have a meaningful opportunity to raise an ineffective-assistance-of-trial-counsel claim on direct appeal, a procedural default will not bar federal habeas review if there was no counsel or ineffective counsel during the initial-review collateral proceeding.

The Court vacated the Fifth Circuit’s judgment and remanded the case for further proceedings consistent with this opinion. The Court did not decide whether Trevino’s ineffective-assistance claim is substantial or whether his initial collateral counsel was ineffective, leaving those matters for the state courts to address on remand.

No new broad precedent was established beyond extending the Martinez exception to Texas’s procedural context. The decision reinforces the importance of meaningful procedural opportunities to raise constitutional claims and ensures federal habeas courts may review substantial claims when state procedural frameworks effectively bar direct appeal claims.

Carlos TREVINO, Petitioner v. Rick THALER, Director, Texas Department of Criminal Justice, Correctional Institutions Di

In Martinez v. Ryan, 566 U.S. 1, 17, 566 U.S. 1, 132 S. Ct. 1309, 182 L. Ed. 2d 272, 278, 288 this Court held that “a procedural default will not bar a federal habeas court from hearing a substantial claim of ineffective assistance at trial if, in the [State's] initial-review collateral proceeding, there was no counsel or counsel in that proceeding was ineffective.” Martinez regarded a prisoner from Arizona, where state procedural law required the prisoner to raise the claim during his first state collateral review proceeding. Ibid. This case regards a prisoner from Texas, where state procedural law does not require a defendant to raise his ineffective-assistance-of-trial-counsel claim on collateral review. Rather, Texas law appears to permit a prisoner to raise such a claim on direct review, but the structure and design of the Texas system make it virtually impossible for a prisoner to do so. The question presented in this case is whether, despite this difference, the rule set out in Martinez applies in Texas.

Petitioner Trevino was convicted of capital murder in Texas state court and sentenced to death after the jury to raise that claim on direct appeal.

Held: Where, as here, a State's procedural framework, by reason of its design and operation, makes it highly unlikely in a typical case that a defendant will have a meaningful opportunity to raise an ineffective-assistance-of-trial-counsel claim on direct appeal, the exception recognized in Martinez applies. Pp. 421-429, 185 L. Ed. 2d, at 1051-1057.

(a) A finding that a defendant's state law “procedural default” rests on “an independent and adequate state ground” ordinarily prevents a federal habeas court (2) the “cause” consisted of there being “no counsel” or only “ineffective” counsel during the state collateral review proceeding; (3) the state collateral review proceeding was the “initial” review proceeding in respect to the “ineffective-assistance-of-trial-counsel claim”; and (4) state law requires that the claim “be raised in an initial-review collateral proceeding.” Id., at 14, 17, 132 S. Ct. 1309, 182 L. Ed. 2d 272, 288. Pp. 421-423, 185 L. Ed. 2d, at 1051-1053.

(b) The difference between the Texas law--which in theory grants permission to bring an ineffective-assistance-of-trial-counsel claim on direct appeal but in practice denies a meaningful opportunity to do so -- and the Arizona law at issue in Martinez--which required the claim to be raised in an initial collateral review proceeding -- does not matter in respect to the application of Martinez. Pp. 423-429, 185 L. Ed. 2d, at 1053-1057.

(1) This conclusion is supported by two characteristics of Texas' procedures. First, Texas procedures make it nearly impossible for an ineffective-assistance-of-trial-counsel claim to be presented on direct review. The nature of an ineffective-assistance claim means that the trial record is likely to be insufficient to support the claim. And a motion for a new trial to develop the record is usually inadequate to excuse the procedural default, but respondent points to no case in which such a failure by appellate counsel has been deemed constitutionally ineffective. Pp. 423-428, 185 L. Ed. 2d, at 1053-1056.

(2) The very factors that led this Court to create a narrow exception to Coleman in Martinez similarly argue for applying that exception here. The right involved--adequate assistance of trial counsel--is similarly and critically important. In both instances practical considerations--the need for a new lawyer, the need to expand the trial court record, and the need for sufficient time to develop the to develop the claim is a distinction without a difference. Pp. 428-429, 185 L. Ed. 2d, at 1056-1057.

449 Fed. Appx. 415, vacated and remanded.

Breyer, J., delivered the opinion for the Court, in which Kennedy, Ginsburg, Sotomayor, and Kagan, JJ., joined. Roberts, C. J., filed a dissenting opinion, in which Alito, J., joined, post, p. 430. Scalia, J., filed a dissenting opinion, in which Thomas, J., joined, post, p. 434.

Justice Breyer delivered the opinion of the Court.

In Martinez v. Ryan, 566 U.S. 1, 132 S. Ct. 1309, 182 L. Ed. 2d 272 (2012) , we considered the right of a state prisoner to raise, in a federal habeas corpus proceeding, a claim of ineffective assistance of trial counsel. In that case an Arizona procedural rule required a defendant convicted at trial to raise a claim of ineffective assistance of trial counsel during his first state collateral review proceeding — or lose the claim. The defendant in Martinez did not comply with the state procedural rule. But he argued review proceeding.

We held that lack of counsel on collateral review might excuse defendant’s state law procedural default. We wrote:

“[A] procedural default will not bar a federal habeas court from hearing a substantial claim of ineffective assistance at trial if, in the [State’s] initial-review collateral proceeding, there was no counsel or counsel in that proceeding was ineffective.” Id., at 17, 132 S. Ct. 1309, 182 L. Ed. 2d 272, 278, 288).

At the same time we qualified our holding. We said that the holding applied where state procedural law said that “claims of ineffective assistance of trial counsel must be raised in an initial-review collateral proceeding.” Ibid. (emphasis added).

In this case Texas state law does not say “must.” It does not on its face require a defendant initially to raise an ineffective-assistance-of-trial-counsel claim in a state collateral review proceeding. Rather, that law appears at first glance to permit (but not require) the defendant initially to raise a claim of ineffective assistance of trial counsel on direct appeal. The structure and design of the Texas system in actual operation, however, make it “virtually impossible” for an ineffective assistance claim to be presented direct review. See Robinson v. State, 16 S.W.3d 808, 810-811 (Tex. Crim. App. 2000). We must now decide whether the Martinez exception applies in this procedural regime. We conclude that it does.

I

A Texas state court jury convicted petitioner, Carlos Trevino, of capital murder. After a subsequent penalty-phase hearing, the jury found that Trevino “would commit criminal acts of violence in the future which would constitute a continuing threat to society,” that he “actually caused the death of Linda Salinas or, if he did not actually cause her death, he intended to kill her or another, or he anticipated a human life would be taken,” and that “there were insufficient mitigating circumstances to warrant a sentence of life imprisonment” rather than death. 449 Fed. Appx. 415, 418 (CA5 2011). The judge consequently imposed a sentence of death.

Eight days later, the judge appointed new counsel to handle Trevino’s direct appeal. App. 1, 3. Seven months after sentencing, when the trial transcript first became available, that counsel filed an appeal. The Texas Court of Criminal Appeals then considered and rejected Trevino’s appellate claims. Trevino’s appellate counsel did not claim that Trevino’s trial counsel had been constitutionally ineffective during the penalty phase of the trial court proceedings. Id., at 12-24.

About six months after sentencing, the trial judge appointed Trevino a different new counsel to seek state collateral relief. As Texas’ procedural rules provide, that third counsel initiated collateral proceedings while Trevino’s appeal still was in progress. This new counsel first sought postconviction relief (through collateral review) in the trial court itself. After a hearing, the trial court denied relief; and the Texas Court of Criminal Appeals affirmed that denial. Id., at 25-26, 321-349. Trevino’s postconviction claims included a claim that his trial counsel was constitutionally ineffective during the penalty phase of Trevino’s trial, but it did not include a claim that trial counsel’s ineffectiveness consisted in part of a failure adequately to investigate and to present mitigating circumstances during the penalty phase of Trevino’s trial. Id., at 321-349; see Wiggins v. Smith, 539 U.S. 510, 523, 123 S. Ct. 2527, 156 L. Ed. 2d 471 (2003) (counsel’s failure to investigate and present mitigating circumstances deprived defendant of effective assistance of counsel).

that his mother had an alcohol problem, that his family was on welfare, and that he had dropped out of high school. She had added that Trevino had a child, that he was good with children, and that he was not violent. Id., at 285-291.

only four pounds at birth, that throughout his life Trevino suffered the deleterious effects of Fetal Alcohol Syndrome, that as a child Trevino had suffered numerous head injuries without receiving adequate medical attention, that Trevino’s mother had abused him physically and emotionally, that from an early age Trevino was exposed to, and abused, alcohol and drugs, that Trevino had attended school irregularly and performed poorly, and that Trevino’s cognitive abilities were impaired. Id., at 66-67.

The federal court stayed proceedings to permit Trevino to raise this claim in state court. The state court held that because Trevino had not raised this claim during his initial postconviction proceedings, he had procedurally defaulted the claim, id., at 27-28; and the Federal District Court then the federal habeas court from considering the ineffective-assistance-of-trial-counsel claim. Id., at 131-132. See Coleman v. Thompson, 501 U.S. 722, 729-730, 111 S. Ct. 2546, 115 L. Ed. 2d 640 (1991).

Trevino appealed. The Fifth Circuit, without considering the merits of Trevino’s ineffective-assistance-of-trial-counsel claim, agreed with the District Court that an independent, adequate state ground, namely, Trevino’s procedural default, barred its consideration. 449 Fed. Appx., at 426. Although the Circuit decided Trevino’s case before this Court decided Martinez, the Fifth Circuit’s reasoning in a later case, Ibarra v. Thaler, 687 F. 3d 222 (2012) , makes clear that the Fifth Circuit would have found that Martinez would have made no difference.

That is because in Ibarra the Circuit recognized that Martinez had said that its good-cause exception applies where state law says that a criminal defendant must initially raise his claim of ineffective assistance of trial counsel in initial state collateral review proceedings. 687 F. 3d , at 225-226. Texas law, the Circuit pointed out, does not say explicitly that the defendant must initially raise the claim in state collateral review proceedings. Rather Texas law on its face appears to permit a criminal defendant to raise such a claim on direct appeal. Id., at 227. And the Circuit held that that fact means that Martinez does not apply in Texas. 687 F. 3d , at 227. Since the Circuit’s holding in Ibarra (that Martinez does not apply in Texas) would similarly govern this case, we granted certiorari here to determine whether Martinez applies in Texas.

[*421] II

A

We begin with Martinez. We there recognized the historic importance of held in custody in violation of federal law. Martinez, 566 U.S., at 8–15, 132 S. Ct. 1309, 182 L. Ed. 2d 272. See generally Preiser v. Rodriguez, 411 U.S. 475, 484-485, 93 S. Ct. 1827, 36 L. Ed. 2d 439 (1973). In general, if a convicted state criminal defendant can show a federal habeas court that his conviction rests upon a violation of the Federal Constitution, he may well obtain a writ of habeas corpus that requires a new trial, a new sentence, or release.

We similarly recognized the importance of federal habeas corpus principles designed to prevent federal courts from interfering with a State’s application of its own firmly established, consistently followed, constitutionally proper procedural rules. Martinez, supra, at 9, 132 S. Ct. 1309, 182 L. Ed. 2d 272. Those principles have long made clear that a conviction that rests upon a defendant’s state law “procedural default” (for example, the defendant’s failure to raise a claim of error at the time or in the place that state law requires) normally rests upon “an independent and adequate state ground.” Coleman, 501 U.S., at 729-730, 111 S. Ct. 2546, 115 L. Ed. 2d 640. And where a conviction rests upon such a ground, a federal habeas court normally cannot consider the defendant’s federal constitutional claim. Ibid.; see Martinez, 566 U.S. , at 9, 132 S. Ct. 1309, 182 L. Ed. 2d 272.

At the same time, we pointed out that “[t]he doctrine barring procedurally defaulted claims from being heard is not without exceptions. A prisoner may obtain federal review of a defaulted claim by showing cause for the default and prejudice from a violation of federal law.” Id., at 10, 132 S. Ct. 1309, 182 L. Ed. 2d 272, 283. And we turned to the issue directly before the Court: whether Martinez had shown “cause” to excuse his state procedural failing. Id., at 15, 132 S. Ct. 1309, 182 L. Ed. 2d 272.

that this failure, itself amounting to ineffective assistance, was the “cause” of, and ought to excuse, his procedural default. Id., at 10, 132 S. Ct. 1309, 182 L. Ed. 2d 272, 292. But this Court had previously held that “[n]egligence on the part of a prisoner’s postconviction attorney does not qualify as ‘cause,’” primarily because a “principal,” such as the prisoner, “bears the risk of negligent conduct on the part of his agent,” the attorney. Maples v. Thomas, 565 U.S. 266, 280–281, 132 S. Ct. 912, 181 L. Ed. 2d 807, 821 (2012) (quoting Coleman, supra, at 753-754, 111 S. Ct. 2546, 115 L. Ed. 2d 640; emphasis added). Martinez, in effect, argued for an exception to Coleman’s broad statement of the law.

We ultimately held that a “narrow exception” should “modify the unqualified statement in Coleman that an attorney’s ignorance or inadvertence in a postconviction proceeding does not qualify as cause to excuse a procedural default.” Martinez, 566 U.S. , at 9, 132 S. Ct. 1309, 182 L. Ed. 2d 272, 282. We did so for three reasons. First, the “right to the effective assistance of counsel at trial is a bedrock principle in our justice system. . . . Indeed, the right to counsel is the foundation for our adversary system.” Id., at 12, 132 S. Ct. 1309, 182 L. Ed. 2d 272, 284-285.

often “depend[s] on evidence outside the trial record,” and because efforts to expand the record on direct appeal may run afoul of “[a]bbreviated deadlines,” depriving the new attorney of “adequate time . . . to investigate the ineffective-assistance claim.” Ibid.

Third, where the State consequently channels initial review of this constitutional claim to collateral proceedings, a lawyer’s failure to raise an ineffective-assistance-of-trial-counsel claim during initial-review collateral proceedings, could (were Coleman read broadly) deprive a defendant of any review of that claim at all. Martinez, supra, at 11, 132 S. Ct. 1309, 182 L. Ed. 2d 272.

We consequently read Coleman as containing an exception, allowing a federal habeas court to find “cause,” thereby excusing a defendant’s procedural default, where (1) the claim of “ineffective assistance of trial counsel” was a “substantial” claim; (2) the “cause” consisted of there being “no counsel” or only “ineffective” counsel during the state collateral review proceeding; (3) the state collateral review proceeding was the “initial” review proceeding in respect to the “ineffective-assistance-of-trial-counsel claim”; and (4) state law requires that an “ineffective assistance of trial counsel [claim] . . . be raised in an initial-review collateral proceeding.” Martinez, supra, at 14, 17, 132 S. Ct. 1309, 182 L. Ed. 2d 272, 278, 288.

B

Here state law differs from that in Martinez in respect to the fourth requirement. Unlike Arizona, Texas does not expressly require the defendant to raise a claim of ineffective assistance of trial counsel in an initial collateral review proceeding. Rather Texas law on its face appears to permit (but not require) the defendant to raise the claim on direct appeal. Does this difference matter?

1

Two characteristics of the relevant Texas procedures lead us to conclude that it should not make a difference in respect to the application of Martinez. out, “the inherent nature of most ineffective assistance” of trial counsel “claims” means that the trial court record will often fail to “contai[n] the information necessary to substantiate” the claim. Ex parte Torres, 943 S.W.2d 469, 475 (1997) (en banc).

As the Court of Criminal Appeals has also noted, a convicted defendant may make a motion in the trial court for a new trial in order to develop the record on appeal. See Reyes v. State, 849 S.W.2d 812, 816 (1993). And, in principle, the trial court could, in connection supra, at 475. See Robinson, supra, at 810-811 (noting that there is “not generally a realistic opportunity to adequately develop the record for appeal in post-trial motions” and that “[t]he time requirements for filing and presenting a motion for new trial would have made it virtually impossible for appellate counsel to adequately present an ineffective assistance claim to the trial court”).

See also Thompson v. State, 9 S.W.3d 808, 813-814, and n. 6 (Tex. Crim. App. 1999) (“[I]n the vast majority of cases, the undeveloped record on direct appeal will be insufficient for an appellant to satisfy the dual prongs of Strickland”; determination on direct appeal with a record capable of providing a fair evaluation of the merits of the claim . . .”); Goodspeed v. State, 187 S.W.3d 390, 392 (Tex. Crim. App. 2005) (similar); Andrews v. State, 159 S.W.3d 98, 102-103 (Tex. Crim. App. 2005) (similar); Ex parte Brown, 158 S.W.3d 449, 453 (Tex. Crim. App. 2005) ( per curiam) (similar); Jackson v. State, 973 S.W.2d 954, 957 (Tex. Crim. App. 1998) ( per curiam) (similar). See also 42 G. Dix & J. Schmolesky, Texas Practice Series §29:76, pp. 844-845 (3d ed. 2011) (hereinafter Texas Practice) (explaining that “[o]ften” the requirement that a claim of ineffective assistance of trial counsel be supported by a record containing direct evidence of why counsel acted as he did “will require that the claim . . . be raised in postconviction habeas proceedings where a full record on the matter can be raised”).

This opinion considers whether, as a systematic matter, Texas affords meaningful review of a claim of ineffective assistance of trial counsel. The present capital case illustrates why it does not. The trial court appointed new counsel for Trevino eight days after sentencing. Counsel thus had 22 days to decide whether, and on what grounds, to make a motion for a new trial. She then may have had an additional 45 days to provide support for the motion but without the help of a transcript (which did not become available until much later—seven months after the trial). It would have been difficult, perhaps impossible, within that time frame to investigate Trevino’s background, determine whether trial counsel had adequately done so, and then develop evidence about additional mitigating background circumstances. See Reyes, supra, at 816 (“[M]otions for new trial [must] be supported by affidavit . . . specifically showing the truth of the grounds of attack”).

283152, *7 (Tex. Crim. App., Jan. 31, 2007) (unpublished) . And Texas’ highest criminal court has explicitly stated that “[a]s a general rule” the defendant “should not raise an issue of ineffective assistance of counsel on direct appeal,” but rather in collateral review proceedings. Mata v. State, 226 S.W.3d 425, 430, n. 14 (2007) (internal quotation marks omitted). See Robinson, supra, at 810 (“[A] post-conviction writ proceeding, rather than a motion for new trial, is the preferred method for gathering the facts necessary to substantiate” an ineffective-assistance-of-trial-counsel claim).

The criminal bar, not surprisingly, has taken this strong judicial impossible, to use successfully, and which Texas courts so strongly discourage defendants from using?

Respondent argues that Texas courts enforce the relevant time limits more flexibly than we have suggested. Sometimes, for example, an appellate court can abate an appeal and remand the case for further record claim.

Respondent further argues that there is no equitable problem to be solved in Texas because if counsel fails to bring a substantial claim of ineffective assistance of trial counsel on direct appeal, the ineffectiveness of appellate counsel may constitute cause to excuse the procedural default. See Murray v. Carrier, 477 U.S. 478, 106 S. Ct. 2639, 91 L. Ed. 2d 397 (1986). But respondent points to no case in which such a failure by appellate counsel has been deemed constitutionally ineffective. And that lack of authority is not surprising given the fact that the Texas Court of Criminal Appeals has directed defendants to bring such claims on collateral review.

[**1921] 2

For the reasons just stated, we believe that the Texas procedural system—as a matter of its structure, design, and operation—does not offer most defendants a meaningful opportunity to present a claim of ineffective assistance of trial counsel on direct appeal. What the Arizona law prohibited by explicit terms, Texas law precludes as a matter of course. And, that being so, we can find no significant difference between this case and Martinez. The very factors that led this Court to create a narrow exception to Coleman in Martinez similarly argue for the application of that exception here.

The right involved — adequate assistance of counsel at trial — is similarly and critically important. In both instances practical considerations, such as the need for a new lawyer, the need to expand the trial court record, and the need for sufficient time to develop the claim, argue strongly for initial consideration of the claim during collateral, rather than on direct, review. See Martinez, 566 U.S., at 13, 132 S. Ct. 1309, 182 L. Ed. 2d 272; see also Massaro v. United States, 538 U.S. 500, 505, 123 S. Ct. 1690, 155 L. Ed. 2d 714 (2003). In both instances failure to consider a lawyer’s “ineffectiveness” during an initial-review collateral proceeding as a potential “cause” for excusing a procedural default will deprive the defendant of any opportunity at all for review of an ineffective-assistance-of-trial-counsel claim. See Martinez, supra, at 11, 132 S. Ct. 1309, 182 L. Ed. 2d 272.

than we did in Martinez) seek to encourage States to tailor direct appeals so that they provide a fuller opportunity to raise ineffective-assistance-of-trial-counsel claims. That is a matter for the States to decide. And, as we have said, there are often good reasons for hearing the claim initially during collateral proceedings.

III

For these reasons, we conclude that where, as here, state procedural framework, by reason of its design and operation, makes it highly unlikely in a typical case that a defendant will have a meaningful opportunity to raise a claim of ineffective assistance of trial counsel on direct appeal, our holding in Martinez applies:

“[A] procedural default will not bar a federal habeas court from hearing a substantial claim of ineffective assistance at trial if, in the initial-review collateral proceeding, there was no counsel or counsel in that proceeding was ineffective.” 566 U.S. , at 17, 132 S. Ct. 1309, 182 L. Ed. 2d 272, 278, 288).

Given this holding, Texas submits that its courts should be permitted, in the first instance, to decide the merits of Trevino’s ineffective-assistance-of-trial-counsel claim. Brief for Respondent 58-60. We leave that matter to be determined on remand. Likewise, we do not decide here whether Trevino’s claim of ineffective assistance of trial counsel is substantial or whether Trevino’s initial state habeas attorney was ineffective.

For these reasons we vacate the Fifth Circuit’s judgment and remand the case for further proceedings consistent with this opinion.

It is so ordered.

Dissent by:ROBERTS; SCALIA

Dissent

Chief Justice Roberts, with whom Justice Alito joins, dissenting.

In our federal system, the “state courts are the principal forum for asserting constitutional challenges to state convictions.” Harrington v. Richter, 562 U.S. 86, 103, 562 U.S. 86, 131 S. Ct. 770, 178 L. Ed. 2d 624, 632, 641 (2011). “Federal courts sitting in habeas,” we have said, “are not an alternative forum for trying . . . issues which a prisoner made insufficient effort to pursue in state proceedings.” Williams v. Taylor, 529 U.S. 420, 437, 120 S. Ct. 1479, 146 L. Ed. 2d 435 (2000). This basic principle reflects the fact that federal habeas review “‘intrudes on state sovereignty to a degree matched by few exercises of federal judicial authority.’” Richter, supra, at 103, 131 S. Ct. 770, 178 L. Ed. 2d 624, 641 (quoting Harris v. Reed, 489 U.S. 255, 282, 109 S. Ct. 1038, 103 L. Ed. 2d 308 (1989) (Kennedy, J., dissenting)).

In order to prevent circumvention of the state courts and the unjustified intrusion on state sovereignty that results, we have held that “a state prisoner [who] fails to exhaust state remedies . . . [or] has failed to meet the State’s procedural requirements for presenting his federal claims” will not be entitled to federal habeas relief unless he can show “cause” to excuse his default. Coleman v. Thompson, 501 U.S. 722, 732, 750, 111 S. Ct. 2546, 115 L. Ed. 2d 640 (1991). There is an exception to that rule where “failure to consider the claims will result in a fundamental miscarriage of justice,” ibid.; that exception is not at issue here.

procedural rules.” Ibid. Because the error in Coleman occurred during state postconviction proceedings, a point at which the habeas petitioner had no constitutional right to counsel, the petitioner had to bear the cost of his default. Id., at 757, 111 S. Ct. 2546, 115 L. Ed. 2d 640.

Last Term, in Martinez v. Ryan, we announced a “narrow exception” to Coleman’s “unqualified statement . . . that an attorney’s ignorance or inadvertence in a postconviction proceeding does not qualify as cause to excuse a procedural default.” 566 U.S. 1, 9, 132 S. Ct. 1309, 182 L. Ed. 2d 272, 278, 282 (2012)). In Martinez, Arizona law did not allow defendants to raise ineffective assistance of counsel claims on direct appeal; they could only raise such claims in state collateral proceedings. Id., at 6, 132 S. Ct. 1309, 182 L. Ed. 2d 272. We held that while Arizona was free to structure its state court procedures in this way, its “decision is not without consequences for the State’s ability to assert a procedural default in later proceedings.” Id., at 13, 132 S. Ct. 1309, 182 L. Ed. 2d 272, 285. “By deliberately choosing to move trial-ineffectiveness claims outside of the direct-appeal process, where counsel is constitutionally guaranteed, the State significantly diminishes prisoners’ ability to file such claims.” Ibid. Thus, “within the context of this state procedural framework,” attorney error would qualify as cause to excuse procedural default if it occurred in the first proceeding at which the prisoner was “allow[ed]” to raise his trial ineffectiveness claim. Id., at 13, 16, 132 S. Ct. 1309, 182 L. Ed. 2d 272, 285.

We were unusually explicit about the narrowness of our decision: “The holding in this case does not concern attorney recognized here,” we said, “[t]he rule of Coleman governs.” Id., at 16, 132 S. Ct. 1309, 182 L. Ed. 2d 272, 287.

This aggressively limiting language was not simply a customary nod to the truism that “we decide only the case before us.” Upjohn Co. v. United States, 449 U.S. 383, 396, 101 S. Ct. 677, 66 L. Ed. 2d 584 (1981). It was instead an important part of at 15, 132 S. Ct. 1309, 182 L. Ed. 2d 272, 286. The fact that the exception was clearly delineated ensured that the Coleman rule would remain administrable. And because States could readily anticipate how such a sharply defined exception would apply to various procedural frameworks, the exception could be reconciled with our concerns for comity and equitable balancing that led to Coleman’s baseline rule in the first place. See Coleman, supra, at 750-751, 111 S. Ct. 2546, 115 L. Ed. 2d 640. The States had a clear choice, which they could make with full knowledge of the consequences: If a State “deliberately cho[se] to move trial-ineffectiveness claims outside of the direct-appeal process” through a “decision to bar defendants from raising” them there, then—and only then—would “counsel’s ineffectiveness in an initial-review collateral proceeding qualif[y] as cause for a procedural default.” Martinez, 566 U.S., at 13, 16–17, 132 S. Ct. 1309, 182 L. Ed. 2d 272.

Today, with hardly a mention of these concerns, the majority throws over the crisp limit we made so explicit just last Term. We announced in Martinez that the exception applies “where the State barred the defendant from raising the claims on direct appeal.” Id., at 17, 132 S. Ct. 1309, 182 L. Ed. 2d 272, 287. But today, the Court takes all the starch out of its rule with an assortment of adjectives, adverbs, and modifying clauses: Martinez’s “narrow exception” now applies whenever the “state procedural framework, by reason of its design and operation, makes it highly unlikely in a typical case that a defendant will have a meaningful opportunity” to raise his claim on direct appeal. Ante, at 428-429, 185 L. Ed. 2d, at 1057.

of personal background and other mitigating circumstances. Ante, at 425, 185 L. Ed. 2d, at 1054. Yet the majority holds it up, apparently, as a case that is typical in the relevant sense, saying that “[t]he present capital case illustrates” the “systematic” working of Texas’s procedural framework. Ibid.

Given that the standard is so opaque and malleable, the majority cannot describe the exception applied here as narrow, and does not do so. Gone are the repeated words of limitation that characterized the Martinez opinion. Gone too is the clear choice that Martinez gave the States about how to structure their criminal justice systems. Now, the majority offers them a gamble: If a State allows defendants to bring ineffectiveness claims both on direct appeal and in postconviction proceedings, then a prisoner might have to comply with state procedural requirements in order to preserve the availability of federal habeas review, if a federal judge decides that the state system gave the defendant (or enough other “typical” defendants) a sufficiently meaningful opportunity to press his claim.

Court’s approach will excuse procedural defaults that, under Coleman, should preclude federal review. But even in cases where federal courts ultimately decide that the habeas petitioner cannot establish cause under the new standard, the years of procedural wrangling it takes to reach that decision will themselves undermine the finality of sentences necessary to effective criminal justice. Because that approach is inconsistent with Coleman, Martinez itself, and the principles of equitable discretion and comity at the heart of both, I respectfully dissent.

Justice Scalia, with whom Justice Thomas joins, dissenting.

I dissent for the reasons set forth in my dissent in Martinez v. Ryan, 566 U.S. 1, 566 U.S. 1, 132 S. Ct. 1309, 182 L. Ed. 2d 272 (2012). That opinion sought to minimize the impact of its novel holding as follows:

“Our holding here addresses only the constitutional claims presented in this case, where the State barred the defendant from raising the claims on direct appeal.’’ Id., at 17, 132 S. Ct. 1309, 182 L. Ed. 2d 272, 287.

I wrote in my dissent:

“That line lacks any principled basis, and will not last.’’ Id., at 19, n. 1, 132 S. Ct. 1309, 182 L. Ed. 2d 272, 289.

The Court says today:

“Texas law on its face appears to permit (but not require) the defendant to raise the claim on direct appeal. Does this difference matter?’’ “[W]e can find no significant difference between this case and Martinez.’’ Ante, at 423, 428, 185 L. Ed. 2d, at 1053, 1056 (emphasis removed).

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