author: Mr. Justice Rehnquist Mr. Justice Marshall,

text:
    DAVIS v. UNITED STATES
    No. 71-6481.
    Argued February 20, 1973
    Decided April 17, 1973
    Rehnquist, J., delivered the opinion of the Court, in which Burger, C. J., and Stewart, White, Blackmun, and Powell, JJ., joined. Marshall, J., filed a dissenting opinion, in which Douglas and Brennan, JJ., joined, post, p. 245.

      Melvin L. Wulf argued the cause and filed briefs for petitioner.

      Edward R. Korman argued the cause for the United States. With him on the brief were Solicitor General

      Griswold, Assistant Attorney General Petersen, and Sidney M. Glazer.

         Jack Greenberg, James M. Nabrit III, and Charles Stephen Ralston filed a brief for the NAACP Legal Defense and Educational Fund, Inc., as amicus curiae urging reversal.

   Mr. Justice Rehnquist

delivered the opinion of the Court.

We are called upon to determine the effect of Rule 12 (b)(2) of the Federal Rules of Criminal Procedure on a post-conviction motion for relief which raises for the first time a claim of unconstitutional discrimination in the composition of a grand jury. An indictment was returned in the District Court charging petitioner Davis, a Negro, and two white men with entry into a federally insured bank with intent to commit larceny in violation of 18 U. S. C. §§2 and 2113 (a). Represented by appointed counsel, petitioner entered a not-guilty plea at his arraignment and was given 30 days within which to file pretrial motions. He timely moved to quash his indictment on the ground that it was the result of an illegal arrest, but made no other pretrial motions relating to the indictment.

On the opening day of the trial, following voir dire of the jury, the District Judge ruled on petitioner’s pretrial motions in chambers and ordered that the motion to quash on the illegal arrest ground be carried with the case. He then asked twice if there were anything else before commencing trial. Petitioner was convicted and sentenced to 14 years’ imprisonment. His conviction was affirmed on appeal. 409 F. 2d 1095 (CA5 1969).

Post-conviction motions were thereafter filed and denied, but none dealt with the issue presented in this case. Almost three years after his conviction, petitioner filed the instant motion to dismiss the indictment, pursuant to 28 U. S. C. § 2255, alleging that the District Court had acquiesced in the systematic exclusion of qualified Negro jurymen by reason of the use of a “key man” system of selection, an asserted violation of the “mandatory requirement of the statute laws set forth ... in title 28, U. S. C. A. Section 1861, 1863, 1864, and the 5th amendment of the United States Constitution.” His challenge only went to the composition of the grand jury and did not include the petit jury which found him guilty. The District Court, though it took no evidence on the motion, invited additional briefs on the issue of waiver. It then denied the motion. In its memorandum opinion it relied on Shotwell Mfg. Co. v. United States, 371 U. S. 341 (1963), and concluded that petitioner had waived his right to object to the composition of the grand jury because such a contention is waived under Rule 12 (b)(2) unless raised by motion prior to trial. Also, since the “key man” method of selecting grand jurors had been openly followed for many years prior to petitioner’s indictment; since the same grand jury that indicted petitioner indicted his two white accomplices; and since the case against petitioner was “a strong one,” the court determined that there was nothing in the facts of the case or in the nature of the claim justifying the exercise of the power to grant relief under Rule 12 (b) (2) for “cause shown.”

The Court of Appeals affirmed on the basis of Shotwell, supra, and Rule 12 (b)(2). Because its decision is contrary to decisions of the Ninth Circuit in Fernandez v. Meier, 408 F. 2d 974 (1969), and Chee v. United States, 449 F. 2d 747 (1971), we granted certiorari to resolve the conflict.

Petitioner contends that because his § 2255 motion alleged deprivation of a fundamental constitutional right, one which has been recognized since Strauder v. West Virginia, 100 U. S. 303 (1880), his case is controlled by this Court’s dispositions of Kaufman v. United States, 394 U. S. 217 (1969), and Sanders v. United States, 373 U. S. 1 (1963), rather than Shotwell Mfg. Co. v. United States, supra, and Rule 12 (b)(2). Accordingly, he urges that his collateral attack on his conviction may be precluded only after a hearing in which it is established that he “deliberately bypassed” or “understandingly and knowingly” waived his claim of unconstitutional grand jury composition. See Fay v. Noia, 372 U. S. 391 (1963), and Johnson v. Zerbst, 304 U. S. 458 (1938).

I

Rule 12 (b)(2) provides in pertinent part that “[defenses and objections based on defects in the institution of the prosecution or in the indictment . . . may be raised only by motion before trial,” and that failure to present such defenses or objections “constitutes a waiver thereof, but the court for cause shown may grant relief from the waiver.” By its terms, it applies to both procedural and constitutional defects in the institution of prosecutions which do not affect the jurisdiction of the trial court. According to the Notes of the Advisory Committee on Rules, the waiver provision was designed to continue existing law, which as exemplified by this Court’s decision in United States v. Gale, 109 U. S. 65 (1883), was, inter alia, that defendants who pleaded to an indictment and went to trial without making any non-jurisdictional objection to the grand jury, even one unconstitutionally composed, waived any right of subsequent complaint on account thereof. Not surprisingly, therefore, the Advisory Committee’s Notes expressly indicate that claims such as petitioner’s are meant to be within the Rule’s purview:

“These two paragraphs [12 (b)(1) and (2)] classify into two groups all objections and defenses to be interposed by motion prescribed by Rule 12 (a). In one group are defenses and objections which must be raised by motion, failure to do so constituting a waiver. . . .
“. . . Among the defenses and objections in this group are the following: Illegal selection or organization of the grand jury . . . .” Notes of Advisory Committee following Fed. Rule Crim. Proc. 12, 18 U. S. C. App.

This Court had occasion to consider the Rule’s application in Shotwell Mfg. Co. v. United States, supra, a case involving tax-evasion convictions. In a motion filed more than four years after their trial, but before the conclusion of direct review, petitioners alleged that both the grand and petit jury arrays were illegally constituted because, inter alia, “the Clerk of the District Court failed to employ a selection method designed to secure a cross-section of the population.” 371 U. S., at 361-362. Deeming the case controlled by Rule 12 (b)(2), the District Court held a hearing to determine whether there was “cause” warranting relief from the waiver provision and it found that “the facts concerning the selection of the grand and petit juries were notorious and available to petitioners in the exercise of due diligence before the trial.” Id., at 363. It concluded that their failure to exercise due diligence combined with the absence of prejudice from the alleged illegalities precluded the raising of the issue, and the Court of Appeals affirmed. In this Court, petitioners conceded that Rule 12 (b) (2) applied to their objection to the grand jury array, but they denied that it applied to the petit jury. Both objections were held foreclosed by the petitioners’ years of inaction, and the lower courts’ application of the Rule was affirmed.

Shotwell thus confirms that Rule 12 (b) (2) precludes untimely challenges to grand jury arrays, even when such challenges are on constitutional grounds. Despite the strong analogy between the effect of the Rule as construed in Shotwell and petitioner’s § 2255 allegations, he nonetheless contends that Kaufman v. United States, supra, establishes that he is not precluded from raising his constitutional challenge in a § 2255 proceeding. See Fay v. Noia, supra. We disagree.

In Kaufman, the defendant in a bank robbery conviction sought collateral relief under § 2255 alleging that illegally seized evidence had been admitted against him at trial, over a timely objection, and that this evidence resulted in the rejection of his only defense to the charge. The application was denied in both the District Court and the Court of Appeals on the ground that it had not been raised on appeal from the judgment of conviction and “that a motion under § 2255 cannot be used in lieu of an appeal.” 394 U. S., at 223. This Court reversed, however, holding that when constitutional claims are asserted, post-conviction relief cannot be denied solely on the ground that relief should have been sought by appeal. Ibid.

But the Court in Kaufman was not dealing with the sort of express waiver provision contained in Rule 12 (b) (2) which specifically provides for the waiver of a particular kind of constitutional claim if it be not timely asserted. The claim in Kaufman was that the applicable provisions of § 2255 by implication forbade the assertion of a constitutional claim of unlawful search and seizure where the defendant failed to assert the claim on appeal from the judgment of conviction. See, e. g., Sunal v. Large, 332 U. S. 174, 179 (1947). The Court held that the statute did not preclude the granting of relief on such a claim simply because it had not been asserted on appeal, where there was no indication of a knowing and deliberate bypass of the appeal procedure. But here the Government’s claim is not that § 2255 itself limits or precludes the assertion of petitioner’s claim, but that the separate provisions of Rule 12 (b) (2) do so. Kaufman, therefore, is dispositive only if the absence of a statutory provision for waiver in § 2255 and the federal habeas statute by implication precludes the application to post-conviction proceedings of the express waiver provision found in the Federal Rules of Criminal Procedure.

Shotwell held that a claim of unconstitutional grand jury composition raised four years after conviction, but while the appeal proceedings were still alive, was governed by Rule 12 (b) (2). Both the reasons for the Rule and the normal rules of statutory construction clearly indicate that no more lenient standard of waiver should apply to a claim raised three years after conviction simply because the claim is asserted by way of collateral attack rather than in the criminal, proceeding itself.

The waiver provisions of Rule 12 (b) (2) are operative only with respect to claims of defects in the institution of criminal proceedings. If its time limits are followed, inquiry into an alleged defect may be concluded and, if necessary, cured before the court, the witnesses, and the parties have gone to the burden and expense of a trial. If defendants were allowed to flout its time limitations, on the other hand, there would be little incentive to comply with its terms when a successful attack might simply result in a new indictment prior to trial. Strong tactical considerations would militate in favor of delaying the raising of the claim in hopes of an acquittal, with the thought that if those hopes did not materialize, the claim could be used to upset an otherwise valid conviction at a time when reprosecution might well be difficult.

Rule 12 (b) (2) promulgated by this Court and, pursuant to 18 U. S. C. § 3771, “adopted” by Congress, governs by its terms the manner in which the claims of defects in the institution of criminal proceedings may be waived. See Singer v. United States,, 380 U. S. 24, 37 (1965). Were we confronted with an express conflict between the Rule and a prior statute, the force of § 3771, providing that “[a] 11 laws in conflict with such rules shall be of no further force or effect,” is such that the prior inconsistent statute would be deemed to have been repealed. Cf. Sibbach v. Wilson & Co., 312 U. S. 1, 10 (1941). The Federal Rules of Criminal Procedure do not ex proprio vigore govern post-conviction proceedings, and had Congress in enacting the statutes governing federal collateral relief specifically there dealt with the issue of waiver, we would be faced with a difficult question of repeal by implication of such a provision by the later enacted rules of criminal procedure. But Congress did not deal with the question of waiver in the federal collateral relief statutes, and in Kaufman this Court held that, since § 2255 had not spoken on the subject of waiver with respect to claims of unlawful search and seizure, a particular doctrine of waiver would be applied by this Court in interpreting the statute.

We think it inconceivable that Congress, having in the criminal proceeding foreclosed the raising of a claim such as this after the commencement of trial in the absence of a showing of “cause” for relief from waiver, nonetheless intended to perversely negate the Rule’s purpose by permitting an entirely different but much more liberal requirement of waiver in federal habeas proceedings. We believe that the necessary effect of the congressional adoption of Rule 12 (b) (2) is to' provide that a claim once waived pursuant to that Rule may not later be resurrected, either in the criminal proceedings or in federal habeas, in the absence of the showing of “cause” which that Rule requires. We therefore hold that the waiver standard expressed in Rule 12 (b) (2) governs an untimely claim of grand jury discrimination, not only during the criminal proceeding, but also later on collateral review.

Our conclusion in this regard is further buttressed by the Court’s observation in Parker v. North Carolina, 397 U. S. 790, 798 (1970), decided the year after Kaufman, that “[w]hether the question of racial exclusion in the selection of the grand jury is open in a federal habeas corpus action we need not decide.” The context of the Court’s language makes it apparent that the question was framed in terms of waiver and timely assertion of such a claim in state criminal proceedings. But if the question were left open with respect to state proceedings, it must have been at least patently open with respect to federal habeas review of federal convictions, where Congress is the lawgiver both as to the procedural rules governing the criminal trial and the principles governing collateral review.

II

The principles of Rule 12 (b) (2), as construed in Shot-well, are not difficult to apply to the facts of this case. Petitioner alleged the deprivation of a substantial constitutional right, recognized by this Court as applicable to state criminal proceedings from Bush v. Kentucky, 107 U. S. 110 (1883), through Alexander v. Louisiana, 405 U. S. 625 (1972). But he failed to assert the claim until long after his trial, verdict, sentence, and appeal had run their course. In findings challenged only halfheartedly here, the District Court determined that no motion, oral or otherwise, raised the issue of discrimination in the selection of the grand jurors prior to trial. The Court of Appeals affirmed, and on petition for rehearing conducted its own search of the record in a vain effort to see whether the files or docket entries in the case supported petitioner’s contention that he had made such a motion. We will not disturb the coordinate findings of these two courts on a question such as this.

The waiver provision of the Eule therefore coming into play, the District Court held that there had been no “cause shown” which would justify relief. It said:

“Petitioner offers no plausible explanation of his failure to timely make his objection to the composition of the grand jury. The method of selecting grand jurors then in use was the same system employed by this court for years. No reason has been suggested why petitioner or his attorney could not have ascertained all of the facts necessary to present the objection to the court prior to trial. The same grand jury that indicted petitioner also indicted his two white accomplices. The case had no racial overtones. The government’s case against petitioner was, although largely circumstantial, a strong one. There was certainly sufficient evidence against petitioner to justify a grand jury in determining that he should stand trial for the offense with which he was charged. . . . Petitioner has shown no cause why the court should grant him relief from his waiver of the objection to the composition of the grand jury.....”

In denying the relief, the court took into consideration the question of prejudice to petitioner. This approach was approved in Shotwell where the Court stated:

“[W]here, as here, objection to the jury selection has not been timely raised under Rule 12 (b)(2), it is entirely proper to take absence of prejudice into account in determining whether a sufficient showing has been made to warrant relief from the effect of that Rule.” 371 U. S., at 363.

Petitioner seeks to avoid this aspect of Shotwell by asserting that there both lower courts had found that petitioners were not prejudiced in any way by the alleged illegalities whereas under Peters v. Kiff, 407 U. S. 493 (1972), prejudice is presumed in cases where there is an allegation of racial discrimination in grand jury composition. But Peters dealt with whether or not a white man had a substantive constitutional right to set aside his conviction upon proof that Negroes had been systematically excluded from the state grand and petit juries which indicted and tried him. Three Justices dissented from the Court’s upholding of such a substantive right on the ground that no prejudice had been shown, and three concurred separately in the judgment. But the three opinions delivered in Peters, supra, all indicate a focus on the existence of the constitutional right, rather than its possible loss through delay in asserting it. The presumption of prejudice which supports the existence of the right is not inconsistent with a holding that actual prejudice must be shown in order to obtain relief from a statutorily provided waiver for failure to assert it in a timely manner.

We hold that the District Court did not abuse its discretion in denying petitioner relief from the application of the waiver provision of Rule 12(b)(2), and that having concluded he was not entitled to such relief, it properly dismissed his motion under § 2255. Accordingly, the judgment of the Court of Appeals is

Affirmed.

Mr. Justice Marshall,

with whom Mr. Justice Douglas and Mr. Justice Brennan join,

dissenting.

The opinion of the Court obscures the only sensible argument for the result the majority reaches. I am not persuaded by that argument, and find the majority opinion clearly defective. I believe that Rule 12(b)(2), properly interpreted in the light of the purposes it serves and the purposes served by making available collateral relief from criminal convictions, does not bar a prisoner from claiming that the grand jury that indicted him was unconstitutionally composed, if he shows that his failure to make that claim before trial was not “an intentional relinquishment or abandonment of a known right or privilege,” Johnson v. Zerbst, 304 U. S. 458, 464 (1938). But first there is some underbrush to be cleared away.

Davis challenged the “key man” system of selection of grand jurors used in the Northern District of Mississippi in 1968, when he was indicted, because it was implemented to exclude qualified Negroes from the grand jury. Cf. Glasser v. United States, 315 U. S. 60, 85-87 (1942); Dow v. Carnegie-Illinois Steel Corp., 224 F. 2d 414 (CA3 1955). The Court notes that the use of the “key man” system was approved by this Court in Scales v. United States, 367 U. S. 203 (1961). This observation is both irrelevant and misleading. It is irrelevant because the Court’s holding today bars prisoners from raising meritorious claims not raised before trial. A prisoner like Davis could not contend after today’s decision, for example, that federal jury commissioners had simply refused to place the names of Negroes in the jury box used in 1968. That, of course, would have been unconstitutional. See Alexander v. Louisiana, 405 U. S. 625, 628-629 (1972); Hill v. Texas, 316 U. S. 400 (1942). The Court’s observation is misleading because in Scales the Court said only that “no impropriety in the method of choosing grand jurors has been shown,” as to a grand jury convened in the Middle District of North Carolina in 1955, 367 U. S., at 206 n. 2, 259. I doubt that the Court meant to suggest that the use of a “key man” system was immune from constitutional attack. Indeed, Carter v. Jury Comm’n, 396 U. S. 320 (1970), and the cases there cited, show that systems essentially the same as a “key man” system may be administered in an unconstitutional manner.

To the extent that our prior decisions speak to the issue in this case, the Court’s decision today seems inconsistent with them. The Court purports to distinguish Kaufman v. United States, 394 U. S. 217 (1969), for example, on the ground that we were there “not dealing with the sort of express waiver provision contained in Rule 12 (b)(2).” I had not thought that words were quite so magical as that distinction makes them. It is true, of course, that Rule 12 (b)(2) provides that “[defenses and objections based on defects in the institution of the prosecution . . . may be raised only by motion before trial. . . . Failure to present any such defense or objection as herein provided constitutes a waiver thereof, but the court for cause shown may grant relief from the waiver.” Kaufman involved a claim that the prisoner was convicted on the basis of evidence obtained in an unconstitutional search. And Rule 41 (e) of the Federal Rules of Criminal Procedure provides that a motion to suppress the use of the evidence obtained in an unlawful search “shall be made before trial or hearing unless opportunity therefor did not exist or the defendant was not aware of the grounds for the motion, but the court in its discretion may entertain the motion at the trial or hearing.”

In Kaufman, we indicated that the failure to make a timely motion to suppress would permit the § 2255 court to deny relief where that failure was a deliberate bypass of the orderly procedures set out in the Rules of Criminal Procedure. 394 U. S., at 227 n. 8. Relief under § 2255 would be barred only if there had been an intentional relinquishment of a known right. Rule 41 (e) does not use the apparently crucial word “waiver.” But its structure is basically the same as that of Rule 12 (b) (2): the motions shall be made at a certain time, and failure to make them may be excused for cause. Nothing in the opinion of the Court suggests why the use of the word “waiver” makes such a difference, so that Kaufman permits consideration of claims not made in the time set by Rule 41 (e) in a § 2255 proceeding, while claims not made in the time set by Rule 12 (b) (2) may not be considered. There is a clear line of cases in the courts of appeals holding that failure to make a timely motion to suppress evidence bars an attempt to raise the Fourth Amendment issue on appeal. See, e. g., United States v. Ellis, 461 F. 2d 962 (CA2 1972); United States v. Volkell, 251 F. 2d 333 (CA2 1958), and cases cited therein. Certainly the use of the word “waiver” in Rule 12 (b) (2) does not make any clearer the notice to attorneys that the failure to make a timely claim about the composition of the grand jury will bar later attempts to raise that claim.

In light of the similarity between Kaufman and this case, the only way that I can understand the Court’s action is to assume that the Court believes there are strong reasons of policy justifying “an airtight system of forfeitures,” Fay v. Noia, 372 U. S. 391, 432 (1963), with respect to a claim that the grand jury was unconstitutionally composed, reasons that are not applicable to a claim that evidence unconstitutionally seized was used at trial. All that I can find in the opinion of the Court, however, is one sentence referring to such policy considerations: “Strong tactical considerations would militate in favor of delaying the raising of the claim in hopes of an acquittal, with the thought that if those hopes did not materialize, the claim could be used to upset an otherwise valid conviction at a time when reprosecution might well be difficult.”

That, I submit, is once again both irrelevant and misleading. It is misleading because it relies on a mechanical invocation of the difficulties of reprosecution in a setting where those difficulties are patently quite small. When evidence used at trial is ordered suppressed and a retrial required, the prosecution must reconstruct its case with a new focus; it may have to gather new evidence, or find new witnesses, or it may have to elicit new testimony from witnesses who testified before. In such a setting, there may well be difficulties in reprosecution. But when a new trial is required so that an indictment may be returned by a properly constituted grand jury, those difficulties simply do not arise. Nothing in the previous trial must be redone; indeed, the prosecution could present its entire case through the testimony given at the previous trial, if it showed that its witnesses were now unavailable and thus that the alleged difficulties in re-prosecution were real. Cf. Mattox v. United States, 156 U. S. 237 (1895). All that the prosecution might lose is the enhancement of credibility, if any, that the actual presence of the witnesses could lend their testimony.

The Court’s reference to “[sjtrong tactical considerations” is irrelevant because a prisoner would properly be held to have intentionally relinquished his right to raise the constitutional claim if he failed to raise it for tactical reasons. The only issue in this case is whether one who claims that he did not intentionally relinquish a known right is to be afforded the opportunity to prove that claim, as a step toward establishing that his rights were in fact infringed. Saying that Davis, who makes just such a claim, cannot be allowed to prove it because some other prisoners might have made a tactical choice not to raise the underlying issue, is just not responsive to his argument.

The Solicitor General has urged on us policy considerations that at least bear on the decision whether the Government’s interest in enforcing an airtight system of forfeitures with respect to claims going to the composition of the grand jury is greater than its interest in enforcing a similar system with respect to claims going to the admission of illegally seized evidence. He argues that the crucial difference lies in the ease with which the prosecution can reconstruct its case on a proper basis. It is relatively easy, he says, to remedy the return of an indictment by an unconstitutionally composed grand jury. All that must be done is to convene a properly composed grand jury. But if the result of a finding of error is to wash out not just the indictment but also an entire trial, that error is very costly to legitimate interests in economy. Thus, failure to raise a claim relating to the composition of the grand jury prior to trial may entail large costs. In contrast, the Solicitor General suggests, failure to raise a claim before trial relating to the use of the fruits of an unconstitutional search is not quite so costly. Whenever the finding that the search was unlawful is made, the prosecution will have to reconstruct its case rather substantially. New witnesses may have to be found, and more emphasis must be placed upon the testimony of witnesses that is not tainted by the search. There is, on this view, a very important reason for- enforcing an airtight system of foreclosures where the claim is that an easily remedied error has been made — it is simply much more costly to require retrials in those cases.

That argument undoubtedly has some force. But it also goes too far, for it is inconsistent with the power given to reverse a conviction on the basis of plain error to which no objection had been made. Fed. Rule Crim. Proc. 52 (b). An improper argument by a prosecutor in his closing argument may be plain error, for example. Doty v. United States, 416 F. 2d 887, 890-891 (CA10 1968), and cases cited. Yet timely objection might have cut off the improper argument at a point when an admonition to the jury to disregard it would adequately protect the defendant’s rights. A system that permits reversal on the ground of plain error to which no objection had been made but prohibits reversal on the ground that timely objection to the composition of the grand jury had not been made by a defendant who did not intentionally relinquish his right to object, and that justifies the latter rule in terms of governmental interests in economy, seems to me perverse.

The Solicitor General’s argument is unpersuasive, ultimately, not alone for the reasons just given, but also because the legitimate governmental interests that support a strict system of forfeitures with respect to claims about the composition of the grand jury are, in my view, outweighed by other important public interests. First, and most important in this case, we must assure that no one is excluded from participation in important democratic institutions like the grand jury because of race. Second, convicted offenders will be more amenable to rehabilitation when they know that all their claims of unfairness have been considered, unless they deliberately refrained from raising them at an earlier point. Finally, providing the opportunity to raise such claims at any point in the process, so long as the offender did not willingly conceal them for strategic reasons, helps guarantee that the process of criminal justice is fair, and does so without benefiting someone who was delinquent in his attempts to preserve the fairness of the process.

“For over 90 years, it has been established that a criminal conviction of a Negro cannot stand under the Equal Protection Clause of the Fourteenth Amendment if it is based on an indictment of a grand jury from which Negroes were excluded by reason of their race. Strauder v. West Virginia, 100 U. S. 303 (1880); Neal v. Delaware, 103 U. S. 370 (1881).” Alexander v. Louisiana, 405 U. S. 625, 628 (1972). “People excluded from juries because of their race are as much aggrieved as those indicted and tried by juries chosen under a system of racial exclusion.” Carter v. Jury Comm’n, 396 U. S., at 329. When it fulfills its proper function, the grand jury is a central institution of our democracy, restraining the discretion of prosecutors to institute criminal proceedings. Cf. United States v. Dionisio, 410 U. S. 1, 17 (1973) ; Wood v. Georgia, 370 U. S. 375, 390 (1962). Although there may be other ways to vindicate the right of every qualified citizen to participate in the grand jury without discrimination based on race, Carter v. Jury Comm’n, supra, this Court has consistently allowed criminal defendants to assert the rights of excluded groups without requiring that they show prejudice in the particular case. Ballard v. United States, 329 U. S. 187, 195 (1946). This is contrary to the general rule that no one has standing to assert the rights of others, Moose Lodge No. 107 v. Irvis, 407 U. S. 163, 166-167 (1972). It is justified by the importance of assuring every opportunity to raise claims of unconstitutional discrimination in the selection of grand juries. That principle alone, in my view, would warrant a very restrictive view of attempts to foreclose the opportunity to raise such claims.

But there is more. Offenders who have been indicted by unconstitutionally composed grand juries undeniably are aggrieved. There is a paramount public interest that the process of criminal justice be fair. As we said in Kaufman v. United States, 394 U. S., at 226, “The provision of federal collateral remedies rests . . . upon a recognition that adequate protection of constitutional rights relating to the criminal trial process requires the continuing availability of a mechanism for relief.” The function of collateral relief “has been to provide a prompt and efficacious remedy for whatever society deems to be intolerable restraints. Its root principle is that in a civilized society, government must always be accountable to the judiciary for a man’s imprisonment: if the imprisonment cannot be shown to conform with the fundamental requirements of law, the individual is entitled to his immediate release.” Fay v. Noia, 372 U. S., at 401-402 (emphasis added). The traditional scope of collateral relief requires, again, that prisoners be afforded the broadest possible opportunity to present claims that their detention is the result of an unconstitutional procedure.

I do not deny that there is an interest in enforcing compliance with reasonable procedural requirements by a system of forfeitures, so that claims will be raised at a time when they may easily be determined and necessary corrective action taken. But I do not believe that the system of forfeitures must be so comprehensive and rigid that a person may not raise a claim of discrimination in the selection of the grand jury even though he made no deliberate, informed choice to forgo the claim. Such a system too grievously affects other important interests.

With these principles in mind, the resolution of this case is not difficult. Rule 12 (b) (2) provides that “the court for cause shown may grant relief from the waiver.” I would hold that, when a prisoner shows that his failure to raise a claim of discrimination in the selection of the grand jury was not an intentional relinquishment of a known right, he has shown cause for relief from the waiver. The prior cases, which Rule 12 (b) (2) is said to have continued, did not examine in any detail the circumstances in which failure to object was held to constitute a waiver. See, e. g., United States v. Gale, 109 U. S. 65 (1883); In re Wilson, 140 U. S. 575 (1891). Cf. Kohl v. Lehlback, 160 U. S. 293 (1895). It is clear that in none of those cases did the prisoner show that his failure to object was not an intentional relinquishment of a known right.

Shotwell Mfg. Co. v. United States, 371 U. S. 341 (1963), does not reflect a contrary interpretation of Rule 12(b)(2). There a corporation and two of its officers were indicted for attempted income tax evasion. Four years after trial, they attacked the composition of the grand and petit juries. They contended that there was newly discovered evidence that the Clerk of the District Court had failed to use a method of selecting grand jurors designed to secure a cross section of the community. Thus, they did not contend that they had not known of their right to be indicted by a representative grand jury. Clearly, to establish that that right had been infringed, they had to find evidence relating to the method of selection. The District Court found that such evidence was “notorious and available to petitioners in the exercise of due diligence before the trial.” Id., at 363. I have little difficulty in saying that, where one must present evidence in order to support a constitutional claim, the failure to exercise due diligence in searching for that evidence is a deliberate relinquishment of that claim.

The interpretation I would give to “good cause” is supported, finally, by this Court’s insistence that acquiescence in the loss of constitutional rights is not lightly to be assumed. See Johnson v. Zerbst, 304 U. S. 458, 464 (1938); Aetna Insurance Co. v. Kennedy, 301 U. S. 389, 393 (1937), and cases cited therein at n. 2. It is well established that a procedural rule that unreasonably precludes the vindication of constitutional rights itself raises serious constitutional questions. See, e. g., Reece v. Georgia, 350 U. S. 85 (1955); Davis v. Wechsler, 263 U. S. 22 (1923); Williams v. Georgia, 349 U. S. 375, 399 (1955) (Clark, J., dissenting). In Johnson v. Z&rbst, supra, this Court adopted a definition of waiver that can be applied to serve all valid interests in barring untimely assertions of constitutional rights while not precluding claims by defendants who have not abused the procedural system. No convincing reasons have been advanced to adopt a more restrictive definition of waiver in this case. If Davis did not intentionally relinquish a known right, I do not see any valid interest in keeping him from asserting that right in this § 2255 action.

Davis alleged in his motion for collateral relief that “he had not waived nor abandoned this right to contest the Grand Jury array.” App. 8. This is enough, in a motion submitted by a prisoner unaided by counsel, to constitute an allegation that he had not intentionally relinquished a known right. Cf. Haines v. Kerner, 404 U. S. 519 (1972). It is a factual allegation not refuted by the record in the case, 28 U. S. C. § 2255, and Davis should have an opportunity to prove this allegation. I would therefore reverse the judgment below.

       Petitioner was represented throughout the trial by competent, court-appointed counsel, whose advocacy prompted the Court of Appeals to compliment him saying:
      “We have rarely witnessed a more thorough or more unstinted expenditure of effort by able counsel on behalf of a client.” 409 F. 2d 1095, 1101 (CA5 1969).

       The use of the “key man” system was approved in. Scales v. United States, 367 U. S. 203, 259 (1961), affirming 260 F. 2d 21, 44-46 (CA4 1958). The adoption of the Jury Selection and Service Act of 1968, 28 U. S. C. §§ 1861-1869, has precluded its further use.

       Petitioner also alleged that a timely oral motion in open court prior to trial was made preserving for him the right to contest the grand jury array, and that a law student who was researching the grand jury array was stopped from seeing him.

       Petitioner attempts to distinguish Shotwell on the ground that the case “involved legal irregularities which did not rise to the dimension of the fundamental constitutional right asserted” herein. (Brief for Petitioner 18.) At 362-363 of the Court's opinion in Shotwell, however, the majority accepted petitioners’ assertion of constitutional deprivation at face value before rejecting their claims on the basis of Rule 12 (b) (2).

       We are comforted in this conclusion by the concurrence of all but one of the courts of appeals that have considered the issue. See Moore v. United States, 432 F. 2d 730, 740 (CA3 1970) (en banc); Juelich v. Harris, 425 F. 2d 814 (CA7 1970); United States v. Williams, 421 F. 2d 529, 532 (CA8 1970); Bastillo v. United States, 421 F. 2d 131 (CA5 1970); and Poliafico v. United States, 237 F. 2d 97 (CA6 1956). Contra, Fernandez v. Meier, 408 F. 2d 974 (CA9 1969).

       Petitioner relies on the reasoning of Fernandez, supra, in arguing that a different waiver rule should apply in § 2255 proceedings. In that case, the defendant argued that the exclusion of Spanish Americans from his grand and petit juries constituted a deprivation of constitutional right. The claim was untimely raised and the Court of Appeals conceded that failure to present it as provided in Rule 12 (b) (2) resulted in a waiver. Relying, however, on this Court’s decisions in Fay v. Noia, 372 U. S. 391 (1963), and Sanders v. United States, 373 U. S. 1 (1963), that court held that collateral relief could be denied under § 2255 only upon a showing of a “knowing and deliberate by-pass” of a timely objection. Petitioner concedes that the court misread Sanders, supra, but he argues that it applied the correct waiver rule. Although we find it difficult to conceptualize the application of one waiver rule for purposes of federal appeal and another for purposes of federal habeas corpus, we will nonetheless give consideration to petitioner’s claim that the cases interpreting the federal habeas corpus statute set the applicable standard.

       The Court in Kaufman made reference to the possibility of the denial of § 2255 relief as a result of a deliberate bypass of the suppression procedures established in Fed. Rule Crim. Proc. 41 (e). Kaufman v. United States, 394 U. S. 217, 227 n. 8 (1969). But it had no occasion to consider that Rule’s effects on § 2255 motions since there “[a]ppointed counsel had objected at trial to the admission of certain evidence on grounds of unlawful search and seizure,” id., at 220 n. 3, and the District Court’s rationale for denying relief was that “this matter was not assigned as error on Kaufman’s appeal from conviction and is not available as a ground for collateral attack . . . .” See id., at 219.

       Davis alleged, in part:
      “(b) that the jury commissioner and Clerk of Court for the Northern District of Mississippi for the past 20 years implementing the ‘Keyman’ and ‘Selectors/ system cause nought to token in their selection of prospective qualifying negro jurymen because of their race and color in violation of Section 1863.
      “(c) that the Northern District Court has by its affirmative action taken for the past 20 years has acquiesced to systematically, purposefully, unlawfully and unconstitutionally excluded the prospective qualified resident negroes from the Grand Jury box in violation of Section 1864.
      “(d) that the petitioner being a member of the negro race has been prejudiced by the aforesaid violation caused by the violators in carrying out their duties, and has denied petitioner his constitutional right, guaranteed to him by the Sixth Amendment, the right to a fair cross-section of the community.” App. 7.

       Under a “key man” system, jury commissioners ask persons who are thought to have wide contacts in the community to supply the names of prospective jurors.

       Similarly, the Jury Selection and Service Act of 1968, 28 U. S. C. §§ 1861-1869, can be administered in an unconstitutional manner. Its adoption might have some bearing on our decision to review a holding that the “key man” system used in Mississippi in 1968 was constitutional, but the new Act is plainly irrelevant to the question presented by this case.

       Those cases involved discrimination unconstitutional because of the Equal Protection Clause of the Fourteenth Amendment. But the Due Process and Grand Jury Clauses of the Fifth Amendment make unconstitutional the same discrimination in the federal system. Bolling v. Sharpe, 347 U. S. 497, 499 (1954).

       The Court also notes that its conclusion is “buttressed by the Court’s observation in Parker v. North Carolina, 397 U. S. 790, 798 (1970) . . . that ‘[wjhether the question of racial exclusion in the selection of the grand jury is open in a federal habeas corpus action we need not decide.’ ” I am at a loss to understand how that observation buttresses the Court’s holding today. In Parker we were reviewing a state court’s decision to deny collateral relief under state law. The state court had refused to consider Parker’s claim that the grand jury was unconstitutionally composed because he had failed to raise the claim before trial. That was either an adequate state ground, in a procedural sense, or a construction of the state collateral-relief statute. No matter how considered, though, the Court clearly had no jurisdiction to consider the constitutional claim. It would have been odd indeed had we decided that Parker’s claim could or could not be raised in a federal habeas corpus action. The observation on which the majority relies can only mean that the question had not then been decided by this Court. I fail to understand how the fact that a question had not been resolved supports any particular resolution of a similar question. In the sense of “buttressed” used by the majority, Parker also buttresses my position.

       Kaufman had raised the search issue at trial, but his counsel on appeal did not pursue it. 394 U. S., at 220 n. 3. Ordinarily, the failure to pursue a claim in the Court of Appeals bars further review. It does so in the nature of things with respect to consideration by the Court of Appeals. And as to review in this Court, see Lawn v. United States, 355 U. S. 339, 362 n. 16 (1958).
      That a rule makes a waiver “express,” rather than a series of holdings doing the same, should affect analysis only if the fact that the waiver is “express” makes some difference in terms of policy. The Court offers no reasons why the “express” waiver bears on any relevant policies of §2255.

       The sentence preceding that one in the opinion of the Court simply says that some incentive to raise the claim is necessary. It does not say why the system of foreclosures must be airtight.

       The difficulties in. proving that a tactical choice was made not to raise the grand jury claim are, so far as I can tell, no different from proving that a tactical choice was made not to make a motion to suppress or to object to a prosecutor’s comments on a defendant’s failure to testify, both decisions to which this Court has applied the traditional test of waiver. Kaufman v. United States, 394 U. S. 217 (1969); Camp v. Arkansas, 404 U. S. 69 (1971).

       Since nothing distinguishes this ease from others involving, for example, claims of illegal searches, Kaufman v. United States, supra, in terms of the governmental interest in finality in criminal litigation, I do not discuss that interest here. The Government must be able to assert interests peculiar to grand jury claims in order to show that those interests outweigh countervailing public interests served by leaving those claims open to later determination.

       Indeed, this Court has suggested that any narrowing of those opportunities would itself be an unconstitutional suspension of the writ of habeas corpus, Art. I, §9, cl. 2. Fay v. Noia, 372 U. S. 391, 406 (1963); Sanders v. United States, 373 U. S. 1, 11-12 (1963).

       I do not understand the Court’s contention that this is a “liberal requirement.” It is true of course that waiver will not be presumed from a silent record. Cf. Carnley v. Cochran, 369 U. S. 506, 516 (1962). But in a case like this, the record is not silent; it shows that the defendant did not object to the composition of the grand jury. (I do not quarrel with the Court’s reliance on the finding made below that, despite Davis’ allegations, no pretrial objection was made.) Thus, the burden is on him to show that he did not know of his right to object to the composition of the grand jury, or that, knowing of his rights, he nonetheless did not exercise them because, for example, he feared that to do so would generate hostility that would adversely affect his chances of acquittal.

       In a related setting, this Court has interpreted language that might be thought to preclude later claims in a manner similar to that I would adopt here. Sanders v. United States, supra, involved the question whether failure to raise a claim in a previous petition for collateral relief precluded consideration of that claim in a later petition. There was a statutory provision that “[t]he sentencing court shall not be required to entertain a second or successive motion for similar relief on behalf of the same prisoner.” 28 U. S. C. § 2255. The term “similar relief” was interpreted to mean relief based upon the same claim that was presented before, or upon a claim that had intentionally been relinquished, 373 U. S., at 15-18.


source: Caselaw Access Project

author: Mr. Justice Rehnquist Me. Justice Marshall,

license: Public Domain

text:
    TOLLETT, WARDEN v. HENDERSON
    No. 72-95.
    Argued February 20, 1973
    Decided April 17, 1973
    Rehnqtjist, J., delivered the opinion of the Court, in which Burger, C. J., and Stewart, White, Blackmun, and Powell, JJ., joined. Marshall, J., filed a dissenting opinion, in which Douglas and Brennan, JJ., joined, post, p. 269.

      R. Jackson Rose, Assistant Attorney General of Tennessee, argued the cause for petitioner. With him on the brief were David M. Pack, Attorney General, and Bart C. Durham III and William C. Koch, Assistant Attorneys General.

      H. Fred Hoefle, by appointment of the Court, 409 U. S. 1004, argued the cause and filed a brief for respondent.

         Evelle J. Younger, Attorney General, Edward A. Hinz, Jr., Chief Assistant Attorney General, Doris H. Maier and Edward P. O’Brien, Assistant Attorneys General, and Gloria F. DeHart, Deputy Attorney General, filed a brief for the State of California as amicus curiae urging reversal.

        Jack Greenberg, James M. Nabrit III, and Charles Stephen Ralston filed a brief for the NAACP Legal Defense and Educational Fund, Inc., as amicus curiae, urging affirmance.

   Mr. Justice Rehnquist

delivered the opinion of the Court.

Twenty-five years ago respondent was indicted for the crime of first-degree murder by a grand jury in Davidson County, Tennessee. On the advice of counsel, he pleaded guilty and was sentenced to a term of 99 years in prison. Many years later he sought habeas corpus in both state and federal courts. In one petition in United States District Court, he contended that a confession he had given to the police had been coerced, and that he had been denied the effective assistance of counsel. The District Court considered these claims and decided them adversely to respondent, the Court of Appeals for the Sixth Circuit affirmed without opinion, and this Court denied certiorari. Henderson v. Henderson, 391 U. S. 927 (1968). Respondent then sought state habeas corpus, alleging for the first time that he was deprived of his constitutional right because Negroes had been excluded from the grand jury which indicted him in 1948. After a series of proceedings in the Tennessee trial and appellate courts, the Tennessee Court of Criminal Appeals ultimately concluded that respondent had waived his claim by failure to raise it before pleading to the indictment, and by pleading guilty.

Respondent then filed in the United States District Court the petition for habeas corpus which commenced the present litigation, asserting the denial of his constitutional right by reason of the systematic exclusion of Negroes from grand jury service. Petitioner, in effect, conceded such systematic exclusion to have existed, and the District Court so found. The issue upon which the District Court and the Court of Appeals focused was whether respondent’s failure to object to the indictment within the time provided by Tennessee law constituted a waiver of his Fourteenth Amendment right to be indicted by a constitutionally selected grand jury.

At a state hearing, respondent testified that his lawyer did not inform him of his constitutional rights with respect to the composition of the grand jury, that he did not know how the grand jury was selected or that Negroes were systematically excluded, and that his attorney did not tell him that he could have challenged the indictment, or that failure to challenge it would preclude him from later raising that issue. An unchallenged affidavit submitted by the attorney who represented respondent in the 1948 criminal proceeding stated that counsel did not know as a matter of fact that Negroes were systematically excluded from the Davidson County grand jury, and that therefore there had been no occasion to advise respondent of any rights he had as to the composition or method of selection of that body.

On the basis of this evidence, the Court of Appeals held that the record demonstrated no such “waiver” of constitutional rights as that term was defined in Johnson v. Zerbst, 304 U. S. 458, 464 (1938) — “an intentional relinquishment or abandonment of a known right or privilege.” The Court of Appeals went on to affirm the judgment of the District Court, which had ordered respondent released from custody because Negroes had been excluded from the grand jury which indicted him for the offense in question. We granted certiorari in order to decide whether a state prisoner, pleading guilty with the advice of counsel, may later obtain release through federal habeas corpus by proving only that the indictment to which he pleaded was returned by an unconstitutionally selected grand jury.

I

Respondent, a Negro, and two others were arrested by-Tennessee authorities for the robbery of a Nashville liquor store and the attempted murder of an employee who was shot during the episode. Three weeks later the employee died, and a Davidson County grand jury subsequently returned a murder indictment against respondent. Respondent signed a confession admitting his involvement in the robbery and shooting.

At the time of his arrest, respondent was 20 years old and his formal education had terminated at the sixth grade level. He had no attorney when he signed the confession, but subsequently his mother retained counsel to represent him. The attorney’s major effort appears to have been to arrange a form of plea bargain, whereby respondent would plead guilty to the murder charge and the sentence, although imposed by a petit jury, would be 99 years, rather than the ultimate penalty. Respondent initially expressed a desire to plead not guilty, but, apparently because of the evidence against him and the possibility that the death sentence might be imposed if he were convicted, he decided on the advice of his counsel to plead guilty. The plea was entered, and the agreed-upon sentence was imposed.

II

For nearly a hundred years it has been established that the Constitution prohibits a State from systematically excluding Negroes from serving upon grand juries that indict for crime and petit juries that try the factual issue of the guilt or innocence of the accused. Strauder v. West Virginia, 100 U. S. 303, 309 (1880). See also Virginia v. Rives, 100 U. S. 313, 322-323 (1880). These holdings have been reaffirmed over the years, see, e. g., Norris v. Alabama, 294 U. S. 587 (1935), and Pierre v. Louisiana, 306 U. S. 354 (1939), and are not of course questioned here. But respondent’s assertion of this claim has another dimension to it; it was made for the first time many years after he had pleaded guilty to the offense for which he was indicted by the grand jury. None of our previous decisions dealing with the constitutional prohibition against racial discrimination in the selection of grand jurors has come to us in the context of a guilty plea.

In Brady v. United States, 397 U. S. 742, 750 (1970), McMann v. Richardson, 397 U. S. 759, 770 (1970), and Parker v. North Carolina, 397 U. S. 790 (1970), this Court dealt at some length with the effect of a plea of guilty on the later assertion of claimed violations of constitutional rights. In Brady v. United States, supra, at 750, 758, the Court said:

“The State to some degree encourages pleas of guilty at every important step in the criminal process. For some people, their breach of a State’s law is alone sufficient reason for surrendering themselves and accepting punishment. For others, apprehension and charge, both threatening acts by the Government, jar them into admitting their guilt. In still other cases, the post-indictment accumulation of evidence may convince the defendant and his counsel that a trial is not worth the agony and expense to the defendant and his family. All these pleas of guilty are valid in spite of the State’s responsibility for some of the factors motivating the pleas; the pleas are no more improperly compelled than is the decision by a defendant at the close of the State’s evidence at trial that he must take the stand or face certain conviction.
“This mode of conviction is no more foolproof than full trials to the court or to the jury. Accordingly, we take great precautions against unsound results, and we should continue to do so, whether conviction is by plea or by trial. We would have serious doubts about this case if the encouragement of guilty pleas by offers of leniency substantially increased the likelihood that defendants, advised by competent counsel, would falsely condemn themselves. But our view is to the contrary and is based on our expectations that courts will satisfy themselves that pleas of guilty are voluntarily and intelligently made by competent defendants with adequate advice of counsel and that there is nothing to question the accuracy and reliability of the defendants’ admissions that they committed the crimes with which they are charged. In the case before us, nothing in the record impeaches Brady’s plea or suggests that his admissions in open court were anything but the truth.”

In McMann v. Richardson, supra, at 770-771, the Court laid down the general rule by which federal collateral attacks on convictions based on guilty pleas rendered with the advice of counsel were to be governed:

“In our view a defendant’s plea of guilty based on reasonably competent advice is an intelligent plea not open to attack on the ground that counsel may have misjudged the admissibility of the defendant’s confession. Whether a plea of guilty is unintelligent and therefore vulnerable when motivated by a confession erroneously thought admissible in evidence depends as an initial matter, not on whether a court would retrospectively consider counsel’s advice to be right or wrong, but on whether that advice was within the range of competence demanded of attorneys in criminal cases.” (Footnote omitted.)

The Court of Appeals in its opinion in this case expressed the view that Brady, supra, and McMann, supra, were not controlling, because, in its words:

“The Brady line of cases dealt only with challenges to the guilty plea itself; no such challenge has been made here. For this reason alone we believe that Brady and its successors cannot govern our decision here.” 459 F. 2d 237, 242 n. 5 (1972).

We think the Court of Appeals took too restrictive a view of our holdings in the Brady trilogy. In each of those cases the habeas petitioner alleged some deprivation of constitutional rights that preceded his decision to plead guilty. In McMann, supra, each of the respondents asserted that a coerced confession had been obtained by the State. In Brady, supra, the claim was that the burden placed on the exercise of the right to jury trial by the structure of the Federal Kidnaping Act, 18 U. S. C. § 1201 — a burden which was held constitutionally impermissible in United States v. Jackson, 390 U. S. 570 (1968) — had motivated petitioner’s decision to plead guilty. In Parker, supra, the claim was that a provision of that State’s laws similar to that contained in 18 U. S. C. § 1201 had likewise motivated the guilty plea.

While the claims of coerced confessions extracted prior to the guilty plea in McMann were in a somewhat different posture than had they been made in attacking a jury verdict based in part upon such confessions, the claim of impermissible burden on the right to jury trial resulting from the structure of the Kidnaping Act and the North Carolina law, respectively, were not significantly different from what they would have been had they been made following a bench trial and judgment of conviction. But the Court in Brady and Parker, as well as in McMann, refused to address the merits of the claimed constitutional deprivations that occurred prior to the guilty plea. Instead, it concluded in each case that the issue was not the merits of these constitutional claims as such, but rather whether the guilty plea had been made intelligently and voluntarily with the advice of competent counsel.

There are no doubt factual and legal differences between respondent’s present assertion of the claim of discriminatory selection of the members of a grand jury, and the assertion of the constitutional claims by the prisoners in the Brady trilogy. In the latter cases, the facts giving rise to the constitutional claims were generally known to the defendants and their attorneys prior to the entry of the guilty pleas, and the issue in this Court turned on the adequacy of the attorneys’ advice in evaluating those facts as a part of the recommendation to plead guilty. In the instant case, the facts relating to the selection of the Davidson County grand jury in 1948 were found by the District Court and the Court of Appeals to have been unknown to both respondent and his attorney. If the issue were to be cast solely in terms of “waiver,” the Court of Appeals was undoubtedly correct in concluding that there had been no such waiver here. But just as the guilty pleas in the Brady trilogy were found to foreclose direct inquiry into the merits of claimed antecedent constitutional violations there, we conclude that respondent’s guilty plea here alike forecloses independent inquiry into the claim of discrimination in the selection of the grand jury.

III

We hold that after a criminal defendant pleads guilty, on the advice of counsel, he is not automatically entitled to federal collateral relief on proof that the indicting grand jury was unconstitutionally selected. The focus of federal habeas inquiry is the nature of the advice and the voluntariness of the plea, not the existence as such of an antecedent constitutional infirmity. A state prisoner must, of course, prove that some constitutional infirmity occurred in the proceedings. But the inquiry does not end at that point, as the Court of Appeals apparently thought. If a prisoner pleads guilty on the advice of counsel, he must demonstrate that the advice was not “within the range of competence demanded of attorneys in criminal cases,” McMann v. Richardson, supra, at 771. Counsel’s failure to evaluate properly facts giving rise to a constitutional claim, or his failure properly to inform himself of facts that would have shown the existence of a constitutional claim, might in particular fact situations meet this standard of proof. Thus, while claims of prior constitutional deprivation may play a part in evaluating the advice rendered by counsel, they are not themselves independent grounds for federal collateral relief.

We thus reaffirm the principle recognized in the Brady trilogy: a guilty plea represents a break in the chain of events which has preceded it in the criminal process. When a criminal defendant has solemnly admitted in open court that he is in fact guilty of the offense with which he is charged, he may not thereafter raise independent claims relating to the deprivation of constitutional rights that occurred prior to the entry of the guilty plea. He may only attack the voluntary and intelligent character of the guilty plea by showing that the advice he received from counsel was not within the standards set forth in McMann.

A guilty plea, voluntarily and intelligently entered, may not be vacated because the defendant was not advised of every conceivable constitutional plea in abatement he might have to the charge, no matter how peripheral such a plea might be to the normal focus of counsel's inquiry. And just as it is not sufficient for the criminal defendant seeking to set aside such a plea to show that his counsel in retrospect may not have correctly appraised the constitutional significance of certain historical facts, McMann, supra, it is likewise not sufficient that he show that if counsel had pursued a certain factual inquiry such a pursuit would have uncovered a possible constitutional infirmity in the proceedings.

The principal value of counsel to the accused in a criminal prosecution often does not lie in counsel's ability to recite a list of possible defenses in the abstract, nor in his ability, if time permitted, to amass a large quantum of factual data and inform the defendant of it. Counsel’s concern is the faithful representation of the interest of his client, and such representation frequently involves highly practical considerations as well as specialized knowledge of the law. Often the interests of the accused are not advanced by challenges that would only delay the inevitable date of prosecution, see Brady v. United States, supra, at 751-752, or by contesting all guilt, see Santobello v. New York, 404 U. S. 257 (1971). A prospect of plea bargaining, the expectation or hope of a lesser sentence, or the convincing nature of the evidence against the accused are considerations that might well suggest the advisability of a guilty plea without elaborate consideration of whether pleas in abatement, such as unconstitutional grand jury selection procedures, might be factually supported.

In order to obtain his release on federal habeas under these circumstances, respondent must not only establish the unconstitutional discrimination in selection of grand jurors, he must also establish that his attorney’s advice to plead guilty without having made inquiry into the composition of the grand jury rendered that advice outside the “range of competence demanded of attorneys in criminal cases.”

Because we do not have before us all of the papers dealing with respondent’s previous federal habeas petitions, we are not in a position to say whether he is presently precluded from raising the issue of the voluntary and intelligent nature of his guilty plea, or whether that claim would be open to him on appropriate allegations in a new or amended petition. The Court of Appeals was at pains to point out that respondent’s present petition did not attack the guilty plea. In view of the reliance placed by the Court of Appeals and the District Court in their respective opinions in this case upon the statement of the concurring judge in the Tennessee Court of Criminal Appeals that “[n]o lawyer in this State would have ever thought of objecting to the fact that Negroes did not serve on the Grand Jury in Tennessee in 1948,” the chances of respondent's being able to carry the necessary burden of proof in challenging the guilty plea would appear slim. Nonetheless, we prefer to have this issue, if it be open to respondent under federal habeas practice, first addressed by the District Court or by the Court of Appeals. Respondent was not at any rate entitled to release from custody solely by reason of the fact that the grand jury which indicted him was unconstitutionally selected, and the judgment of the Court of Appeals holding otherwise is reversed and remanded for further proceedings consistent with this opinion.

It is so ordered.

Me. Justice Marshall,

with whom Mr. Justice Douglas and Mr. Justice Brennan join,

dissenting.

I would affirm the judgment of the Court of Appeals. I am convinced that Henderson amply demonstrated that he is entitled to relief on any acceptable theory of voluntariness, right to effective assistance of counsel, or waiver, and that no further proceedings are necessary. The Court adopts an inflexible rule in a case where, as the Court of Appeals noted, the facts establish a need for flexibility. 459 F. 2d 237, 242 n. 5 (CA6 1962). In doing so, it disregards this Court’s previous counsel that whether a defendant is to be precluded from establishing a claim that his constitutional rights have been infringed “must depend, in each case, upon the particular facts and circumstances surrounding that case,” Johnson v. Zerbst, 304 U. S. 458, 464 (1938).

The Court relies on the “guilty plea” trilogy, Brady v. United States, 397 U. S. 742 (1970), McMann v. Richardson, 397 U. S. 759 (1970), and Parker v. North Carolina, 397 U. S. 790 (1970). In each of those cases the Court held that a guilty plea, intelligently and voluntarily made, barred the assertion of later claims that at some point in the pretrial process, an admission of guilt had been unconstitutionally extracted, either through a coerced confession or through a plea of guilty induced by fear of enhanced punishment if such a plea were not made. In McMann, the Court summarized the view of the criminal process underlying those cases, stating, “In our view a defendant’s plea of guilty based on reasonably competent advice is an intelligent plea not open to attack on the ground that counsel may have misjudged the admissibility of the defendant’s confession.” 397 U. S., at 770.

The Court today extends that holding, so that, even where counsel does not consider and present to his client the possibility of a challenge to the composition of the grand jury, the client is nonetheless held to have made an “intelligent” guilty plea. I think that this extension of the “guilty plea” trilogy is misconceived. Those cases were concerned with the practical consequences of overturning negotiated pleas of guilty simply on the ground that the defense may have misjudged the possibility of successfully raising constitutional challenges to the pretrial proceedings. The Court recognized the importance of plea bargaining to the administration of criminal justice. See, e. g., Brady v. United States, supra, at 750-753. Promises of leniency, which the Court viewed as indistinguishable from the challenges in those cases, are used to induce defendants to forgo possibly meritorious challenges to the proceedings against them. This, the Court believed, permitted the imposition of punishment on offenders who deserved it, without significantly impairing the integrity of the criminal process by leaving unsanctioned all constitutional violations.

Whatever one may think of this analysis, it is plainly premised on the notion of bargain and exchange: in return for relinquishing a constitutional challenge, the offender receives more lenient treatment. Clearly, that decision must be made by the defendant, for we would not let an attorney bargain away his client’s rights. It is the defendant who must, “with the help of counsel, rationally weigh the advantages of going to trial against the advantages of pleading guilty.” Id., at 750. Yet nothing like that happened in this case. Henderson’s attorney never presented to him the possibility that, by insisting upon indictment by a properly composed grand jury, he might secure a more favorable bargain. See App. 83, 96.

The opinion of the Court devotes most of its attention to assertions and reassertions that in all cases a guilty plea “may not be vacated because the defendant was not advised of every conceivable constitutional plea in abatement he might have to the charge.” But the majority gives us almost no reason why those assertions should be accepted, and, with respect, I cannot accept them.

The Court invokes the specter of requiring counsel to present to his client “every conceivable constitutional plea in abatement,” suggesting, I suppose, that there are such a huge number of conceivable constitutional objections to the prosecution as to make such a requirement utterly impractical. I doubt that this accurately reflects the true situation; in most cases only one or two possibly meritorious objections to the prosecution can be made before trial. And, after all, these are objections bottomed on constitutional guarantees. I would have thought that the fact that the Constitution placed limits on the prosecution would be very important in deciding whether a lawyer’s professional responsibility required him to consult with his client before taking action that led to a relinquishment of the constitutional objection. Surely Brady implied as much in saying that guilty pleas, because they operate as a waiver of constitutional rights, “must be knowing, intelligent acts done with sufficient awareness of the relevant circumstances and likely consequences,” 397 U. S., at 748 (emphasis added). The Court today extends the holdings of the “guilty plea” trilogy without reference to the rationale by which those cases were reconciled with the requirements of the Constitution that a plea is a waiver of constitutional rights only where the defendant has been informed of those rights and decides not to invoke them in order to gain some advantage.

In the end, the Court seems to adopt a concept of professional responsibility that I cannot accept. It would let an attorney “advance” the interests of his client without even informing himself about the facts underlying a constitutional challenge so that he might inform the client about the way in which, in the attorney’s professional judgment, the course he is taking in fact advances those interests. “[F] aithful representation of the interest of his client,” ante, at 268, means, I believe, that an attorney must consult with the client fully on matters of constitutional magnitude. Without such consultation, the representation of criminal defendants becomes only another method of manipulating persons in situations where their control over their lives is precisely what is at stake.

If plea bargaining is to be constitutionally acceptable, it must rest upon personal choices made by defendants informed about possible alternatives; at least, they should know what- options are open to them. In this case, Henderson might have secured a sentence shorter than 99 years by requiring the State to defend the constitutionality of its procedures for selecting grand juries. As is clear from this record, such a defense could not have succeeded, and the embarrassment of attempting a defense might well have led the prosecution to offer a more favorable bargain. I find nothing in the opinion of the Court that persuades me that Henderson’s attorney acted “within the range of competence demanded of attorneys in criminal cases,” McMann v. Richardson, supra, at 771, because he did not consult with his client on a matter about which consultation is required.

Petitioner suggests, however, that Henderson’s attorney may have considered the possibility of challenging the indictment but rejected that course because he believed, that the grand jury was in fact selected by procedures that conformed to constitutional requirements. There is only the barest support in the record for this contention, and the District Judge explicitly found that no objection was made by counsel “quite simply, because the possibility never occurred to him.” 342 F. Supp. 113, 115. But even if petitioner’s suggestion were correct, it would not advance his cause. For then, as Judge Celebrezze aptly put it, the attorney’s decision would have been “grossly inadequate in light of the clearly established constitutional law of the period.” 459 F. 2d, at 242 n. 5.

Henderson was indicted in March 1948 by a grand jury in Davidson County, Tennessee. Although Negroes constituted 25% of the population of the county in 1948, not a single Negro had served on the grand jury in the years before 1948. In addition, whenever the name of a Negro appeared on the lists from which members of the grand jury were chosen, the letters “c” or “col” were marked next to the name. In the words of the Court of Appeals, “officials were thus provided with a simple means of determining which citizens might be appropriately 'excused’ from grand jury duty. It is apparent from the absence of any Negroes on the grand jury panels that the means were used and the impermissible end of exclusion accomplished.” 459 F. 2d, at 239 n. 2.

Two points about these facts must be emphasized. First, the law was clear in 1948 that it was extremely difficult for a State to establish that it did not unconstitutionally exclude Negroes from service on the grand jury if no Negroes in fact served and a method of selection was used that brought to the attention of the persons selecting the grand jury the race of potential grand jurors. See, e. g., Patton v. Mississippi, 332 U. S. 463, 466 (1947); Hill v. Texas, 316 U. S. 400 (1942); Smith v. Texas, 311 U. S. 128 (1940). It was therefore relatively easy to assess whether, if an attorney could present that kind of evidence, a constitutional challenge to the indictment was likely to succeed. Thus, making the decision to challenge the grand jury is different from making the decision to challenge a confession as coerced or a search as unreasonable. The latter decision, as the Court emphasized in McMann v. Richardson, supra, at 769-770, often turns upon predictions about how certain facts will be viewed by a court attempting to apply largely unstructured tests of reasonableness or voluntariness under all the circumstances. I would therefore accord less weight to the fact that an attorney must make professional judgments in cases like this one than in cases like McMann, in line with the difference in the ease with which such judgments can confidently be made.

Second, it takes almost no inquiry at all to determine whether any Negroes had served on local grand juries and whether racial designations appeared on the lists from which grand jurors were chosen. In its quest to establish a general rule applicable to all cases of challenges to the composition of grand juries, the Court disregards this fact. Instead, it characterizes the problem as involving “amass [ing] a large quantum of factual data” and “elaborate consideration of whether pleas in abatement . . . might be factually supported.” Ante, at 268. Whatever might be the situation in other cases, the facts in this case show that no large amounts of data or elaborate consideration is involved. That is enough to demonstrate the fallacy of the Court’s attempt to define a broad general rule. I would adhere to tests that turn on the facts of each case. Cf. Johnson v. Zerbst, 304 U. S. 458 (1938).

The Court suggests that the failure by Henderson's attorney to consider the possibility of a constitutional challenge may' be excused because, in the words of a judge of the Tennessee Court of Criminal Appeals, 3 Tenn. Crim. App. 204, 211, 459 S. W. 2d 176, 179 (1970), “No lawyer in this State would have ever thought of objecting to the fact that Negroes did not serve on the Grand Jury in Tennessee in 1948.” That statement is simply untrue. Even cursory research has disclosed several cases at the appellate level in which such challenges were raised by local attorneys. Kennedy v. State, 186 Tenn. 310, 210 S. W. 2d 132 (1947); Williamson v. State, 194 Tenn. 341, 250 S. W. 2d 556 (1952); Beckett v. United States, 84 F. 2d 731 (CA6 1936). It may well be that Henderson “received the same advice on this point [that is, none at all] that he would have received from most other lawyers in Tennessee in 1948.” 459 F. 2d, at 242 n. 6. That should not exonerate Henderson's attorney, though; it reflects, as Judge Celebrezze said, “a too-long tolerated gap between the requirements of the Constitution and realities of Tennessee Criminal-practice.” Ibid. Determination of whether counsel is competent should not turn on the fact that many attorneys in a particular place at a given time would not think of raising certain claims. The test must be whether the advice was competent in light of the law of the time, and without regard to local peculiarities. Cf. United States ex rel. Goldsby v. Harpole, 263 F. 2d 71, 82 (CA5 1959) ; Window, v. Cook, 423 F. 2d 721 (CA5 1970).

If Henderson’s attorney had had even a passing acquaintance with the Tennessee Supreme Court’s decision in Kennedy v. State, supra, a decision plainly relevant to Henderson’s situation and recently decided, he would have immediately noticed that he had a very strong case. The Tennessee Supreme Court held that Kennedy had failed to prove his claim of unconstitutional discrimination in the selection of grand jurors. The court emphasized that the jury commissioners in Maury County selected names from tax books that “contained no identifying symbols whereby the race of any taxpayer might be known,” and that 10 persons of 109 summoned for jury service were Negroes. 186 Tenn., at 316, 210 S. W. 2d, at 134. An attorney of minimal competence would have realized that, where no Negroes had been summoned for service over many years and where racial designations were used, the Tennessee Supreme Court would very probably have held the selection system unconstitutional, in line with the decisions of this Court.

I believe that the Court today adopts a rule that does not reflect the variety of circumstances in which claims like Henderson's arise. The Court's rule is particularly inappropriate in this very case. I therefore dissent.

       In Parker v. North Carolina, 397 U. S. 790, 798 (1970), the Court said: “Whether the question of racial exclusion in the selection of the grand jury is open in a federal habeas corpus action we need not decide,” citing three decisions of the courts of appeals. All of these decisions dealt with the issue of whether grand jury exclusion might be raised on federal habeas after a plea of not guilty and trial by jury. That issue is left open by this opinion, as it was by Parker.

       Cf. Alexander v. Louisiana, 405 U. S. 625 (1972); Sims v. Georgia, 389 U. S. 404 (1967); Jones v. Georgia, 389 U. S. 24 (1967); Whitus v. Georgia, 385 U. S. 545 (1967); Coleman v. Alabama, 377 U. S. 129 (1964); Arnold v. North Carolina, 376 U. S. 773 (1964); Eubanks v. Louisiana, 356 U. S. 584 (1958); Reece v. Georgia, 350 U. S. 85 (1955); Williams v. Georgia, 349 U. S. 375 (1955); Hernandez v. Texas, 347 U. S. 475 (1954); Avery v. Georgia, 345 U. S. 559 (1953); Cassell v. Texas, 339 U. S. 282 (1950); Patton v. Mississippi, 332 U. S. 463 (1947); Akins v. Texas, 325 U. S. 398 (1945); Hill v. Texas, 316 U. S. 400 (1942); Smith v. Texas, 311 U. S. 128 (1940); Pierre v. Louisiana, 306 U. S. 354 (1939); Hale v. Kentucky, 303 U. S. 613 (1938); Hollins v. Oklahoma, 295 U. S. 394 (1935); Norris v. Alabama, 294 u. S. 587 (1935); Martin v. Texas, 200 U. S. 316 (1906); Rogers v. Alabama, 192 U. S. 226 (1904); Torrance v. Florida, 188 U. S. 519 (1903); Carter v. Texas, 177 U. S. 442 (1900); Williams v. Mississippi, 170 U. S. 213 (1898); Gibson v. Mississippi, 162 U. S. 565 (1896); Bush v. Kentucky, 107 U. S. 110 (1883); Neal v. Delaware, 103 U. S. 370 (1881); Strauder v. West Virginia, 100 U. S. 303 (1880).

       A recent decision of the Fourth Circuit, Parker v. Ross, 470 F. 2d 1092 (1972), arrived at the conclusion we now reach by extending the reasoning of the Brady trilogy to the type of claim respondent seeks to assert.
      The second sentence of the quoted passage does not appear in the cited report. It is contained, however, in the official opinion as issued by the Clerk of Court for the Sixth Circuit.

       Mr. Justice Douglas, Mr. Justice Brennan, and I dissented in McMann and Parker, believing that guilty pleas were so prevalent that it did impair constitutional protections to permit a plea to bar challenges to the prosecution.

       Some of this Court’s decisions suggest that an attorney’s decision, in which the defendant does not participate, not to raise a constitutional objection may sometimes preclude successful reliance on the constitutional claim. See Henry v. Mississippi, 379 U. S. 443, 451 (1965); Brookhart v. Janis, 384 U. S. 1, 7-8 (1966). If such a rule is to be squarely adopted by this Court, it should be limited narrowly to situations in which practical realities bar consultation, as often may happen during the course of trial. Cf. Murch v. Mottram, 409 U. S. 41 (1972).

       Even if the State successfully defended its procedures in a preliminary attack, or if it decided to institute proceedings anew by convening a new grand jury, Henderson would have secured time in which to prepare a better defense and in which passions over his offense might subside, so that a plea of not guilty might have been more attractive to him.

       In a hearing held in state court on Henderson’s application for collateral relief, an affidavit from the attorney who had represented him was introduced. It stated in part, “I have never been aware of any irregularity in the method of selection of grand or petit juries, particularly in regard to systematic exclusion of members of any race . . . App. 96.

       In this regard the strictures in McMann v. Richardson, 397 U. S. 759, 772-773 (1970), against assessing decisions by counsel in the light of subsequent developments in the law have no force.

       Davidson County includes the city of Nashville.

       The first Negro to serve on the Davidson County grand jury was selected in 1953.

       The offense in this case occurred in 1949; the report does not indicate when the trial commenced. In its opinion, the Tennessee Supreme Court noted that “some months ago this Court reversed a conviction . . . because no members of the colored race were summoned for jury service.” 194 Tenn. 341, 346, 250 S. W. 2d 556, 558 (1952) (emphasis added).

       Including, of course, consideration of recent trends that might suggest fruitful attempts to raise claims rejected in decisions whose rationale has been undermined by later decisions. Cf. Tehan v. Shott, 382 U. S. 406 (1966); Milton v. Wainwright, 407 U. S. 371, 381-382 (Stewart, J., dissenting).

       Notwithstanding these differences between Kennedy and this case, petitioner suggests that it would have been “an exercise in futility” to have challenged the composition of the grand jury in this case. Brief for Petitioner 12. I would not lightly assume that a State’s highest court would disregard clear holdings, consistently reiterated, of this Court. But even if petitioner’s assessment is correct, it would further undercut extending the rationale of the “guilty plea” trilogy to this case. As I have said above, plea bargaining rests on an exchange. If the State refuses to acknowledge that it may have something to lose, by taking the position that state courts would fail to apply established constitutional standards to undisputed facts, no bargain is possible. In such a case, even on the rationale of the “guilty plea” cases, the plea would be involuntary.
      Petitioner’s suggestion is of course premised on an estimate of how a competent attorney would have assessed the chances of prevailing on the constitutional challenge. Since Henderson’s attorney made no such assessment anyway, the suggestion has no relevance to this case.