OPINION OF THE COURT
BEARD V. BANKS
542 U. S. ____ (2004)
SUPREME COURT OF THE UNITED STATES
NO. 02-1603
JEFFREY A. BEARD, SECRETARY, PENNSYLVANIA
DEPARTMENT OF CORRECTIONS, et al., PETITIONERS
v.
GEORGE E. BANKS
on writ of certiorari to the united states court of
appeals for the third circuit
[June 24, 2004]
Justice Thomas delivered the
opinion of the Court.
In
Mills v.
Maryland, 486 U. S. 367 (1988), and
McKoy v.
North Carolina, 494 U. S. 433 (1990), this Court held
invalid capital sentencing schemes that require juries to disregard
mitigating factors not found unanimously. In this case, we must
determine whether the rule announced in
Mills and
McKoy can be applied on federal habeas corpus review to a
defendant whose conviction became final in 1987. Under our
retroactivity analysis as set forth in
Teague v.
Lane, 489 U. S. 288 (1989), federal habeas
corpus petitioners may not avail themselves of new rules of
criminal procedure outside two narrow exceptions. We conclude that
Mills announced a new rule that does not fall within
either of
Teague’s exceptions.
I
More than 20 years ago, a jury
convicted respondent, George Banks, of 12 counts of first-degree
murder, and the trial court sentenced him to death. The facts of
this case are set forth in detail in the Pennsylvania Supreme
Court’s decision affirming respondent’s conviction and sentence on
direct review. See
Commonwealth v.
Banks, 513 Pa.
318, 521 A. 2d 1 (1987). Direct review ended when this Court
denied certiorari on October 5, 1987.
Banks v.
Pennsylvania,
484 U. S. 873.
Approximately eight months later, this Court handed down its
decision in
Mills,
supra, which announced that
the Constitution forbids States from imposing a requirement that
the jury find a potential mitigating factor unanimously before that
factor may be considered in the sentencing decision.
Respondent pursued state
postconviction relief on the theory that the instructions and
verdict form given to the jury in his case violated the
Mills principle, but the Pennsylvania Supreme Court
rejected this claim on the merits. See
Commonwealth v.
Banks, 540 Pa. 143, 656 A. 2d 467 (1995). Respondent
then turned to the federal courts. Although the District Court
denied relief,
Banks v.
Horn, 63 F. Supp. 2d
525 (MD Pa. 1999), the Court of Appeals for the Third Circuit
reversed respondent’s death sentence,
Banks v.
Horn, 271 F. 3d 527 (2001). In reaching its decision,
the Court of Appeals declined to apply the retroactivity analysis
set forth in
Teague v.
Lane, supra, to the
question whether
Mills applied retroactively to
respondent. This was not necessary, in the Court of Appeals’ view,
because the Pennsylvania Supreme Court had itself applied
Mills. 271 F. 3d, at 543. We summarily reversed,
holding that “in addition to performing any analysis required by
AEDPA, a federal court considering a habeas petition must conduct a
threshold
Teague analysis when the issue is properly
raised by the state.”
Horn v.
Banks, 536
U. S. 266, 272 (2002)
(per curiam) (Banks
I).
On remand, the Court of Appeals considered the
retroactive application of
Mills.
Banks v.
Horn, 316 F. 3d 228 (CA3 2003). The court recognized
that its primary task was to determine whether
Mills
announced a new rule, and that this, in turn, required it to
ascertain whether the precedent existing at the time respondent’s
conviction became final dictated or compelled the rule in
Mills. 316 F. 3d, at 233–235. From this Court’s
decisions in
Lockett v.
Ohio, 438
U. S. 586 (1978),
Eddings v.
Oklahoma, 455
U. S. 104 (1982), and their direct progeny, the Court of
Appeals distilled the rule that the “Eighth Amendment prohibits any
barrier to the sentencer’s consideration of mitigating evidence.”
316 F. 3d, at 239. The Court of Appeals characterized this
Court’s decision in
Mills as “merely recogniz[ing] that
the perceived need for unanimity could constitute one such
unconstitutional barrier,” and concluded that the existing legal
landscape compelled the decision in
Mills. 316 F. 3d,
at 240. Accordingly, the court held that
Mills applied
retroactively to respondent and reinstated the remainder of its
previous opinion, again granting respondent relief from his death
sentence.[
Footnote 1]
We granted the Commonwealth’s second petition
for certiorari in this case to decide whether
Mills
applies retroactively to respondent and, if so, whether the
Pennsylvania Supreme Court unreasonably applied federal law in
holding that there was no
Mills error in respondent’s
case.
539 U. S.
987 (2003). Although the
Lockett/
Eddings line
of cases supports the Court’s decision in
Mills, it does
not compel that decision.
Mills therefore announced a new
rule. We are also unable to conclude that the
Mills rule
falls under either
Teague exception. In particular,
Mills did not announce a “watershed rul[e] of criminal
procedure implicating the fundamental fairness and accuracy of the
criminal proceeding.”
Saffle v.
Parks, 494 U. S. 484, 495 (1990) (internal
quotation marks omitted). Accordingly, we again reverse the
judgment of the Court of Appeals.[
Footnote 2]
II
Under
Teague, the
determination whether a constitutional rule of criminal procedure
applies to a case on collateral review involves a three-step
process. See,
e.g., Lambrix v.
Singletary, 520 U. S. 518, 527
(1997). First, the court must determine when the defendant’s
conviction became final. Second, it must ascertain the “legal
landscape as it then existed,”
Graham v.
Collins, 506 U. S. 461, 468
(1993), and ask whether the Constitution, as interpreted by the
precedent then existing, compels the rule.
Saffle,
supra, at 488. That is, the court must decide whether the
rule is actually “new.” Finally, if the rule is new, the court must
consider whether it falls within either of the two exceptions to
nonretroactivity.
Lambrix,
supra, at
527.[
Footnote 3]
A
Ordinarily, ascertaining the date
on which a defendant’s conviction becomes final poses no
difficulties: State convictions are final “for purposes of
retroactivity analysis when the availability of direct appeal to
the state courts has been exhausted and the time for filing a
petition for a writ of certiorari has elapsed or a timely filed
petition has been finally denied.”
Caspari v.
Bohlen, 510 U. S. 383, 390
(1994). See also
Clay v.
United
States, 537 U. S. 522, 527
(2003). Respondent, however, urges a different rule. He argues
that, in view of the Pennsylvania Supreme Court’s unique “relaxed
waiver rule”—pursuant to which that court considered his
Mills claim on the merits—his conviction became final for
Teague purposes in 1995 when the State Supreme Court
decided the
Mills claim against him. Brief for Respondent
25–31. Because of the Pennsylvania Supreme Court’s practice of
considering forfeited claims in capital cases, respondent insists,
“conventional notions of ‘finality,’ ” do not apply.
Id., at 27.
In the past, the Pennsylvania
Supreme Court did, in fact, apply a “relaxed waiver rule” in death
penalty cases. See,
e.g., Commonwealth v.
DeHart, 539 Pa. 5, 25, 650 A. 2d 38, 48 (1994);
Commonwealth v.
Billa, 521 Pa. 168, 181, 555
A. 2d 835, 842 (1989). But this practice, which the court has
abandoned, see
Commonwealth v.
Albretcht, 554 Pa.
31, 44–46, 720 A. 2d 693, 700 (1999), “was not absolute, but
discretionary,”
Commonwealth v.
Freeman, 573 Pa.
532, 557, n. 9, 827 A. 2d 385, 400, n. 9 (2003)
(describing past practice). Notably, the Pennsylvania Supreme Court
has expressly stated, in a capital case, that it would decline to
apply
Mills retroactively.
Commonwealth v.
Peterkin, 538 Pa. 455, 465, n. 4, 649 A. 2d 121,
126, n. 4 (1994).
A state court’s past discretionary
“ ‘practice’ [of] declin[ing] to apply ordinary waiver
principles in capital cases,”
Albretcht,
supra,
at 44, 720 A. 2d, at 700, does not render convictions and
sentences that are no longer subject to direct review nonfinal for
Teague purposes. Such a judgment is “final” despite the
possibility that a state court might, in its discretion, decline to
enforce an available procedural bar and choose to apply a new rule
of law. Cf.
Wainwright v.
Sykes, 433 U. S. 72, 81–91
(1977).
Respondent’s argument reflects a fundamental
misunderstanding of
Teague.
Teague’s
nonretroactivity principle acts as a limitation on the power of
federal courts to grant “habeas corpus relief to … state
prisoner[s].”
Caspari, 510 U. S., at 389. That is why
federal habeas corpus courts “
must apply
Teague
before considering the merits of [a] claim,”
ibid.,
whenever
the State raises the question, a point we
explained in
Banks I, see 536 U. S., at 271. See also
id., at 271–272 (explaining that the Court of Appeals had
erred by focusing only on the Pennsylvania Supreme Court’s
treatment of respondent’s
Mills claim).
This should make clear that the
Teague principle protects not only the reasonable
judgments of state courts but also the States’ interest in finality
quite apart from their courts. As
Teague explained:
“In many ways the application of new rules to cases
on collateral review may be more intrusive than the enjoining of
criminal prosecutions, cf.
Younger v.
Harris, 401 U. S. 37, 43–54
(1971), for it
continually forces the States to marshal
resources in order to keep in prison defendants whose trials and
appeals conformed to then-existing constitutional standards.” 489
U. S., at 310.
In short, our rule for determining when a state
conviction becomes final applies to this case without modification,
and we agree with the Court of Appeals that respondent’s conviction
became final in 1987. See 316 F. 3d, at 235.
B
We must therefore assay the legal
landscape as of 1987 and ask “whether the rule later announced in
[Mills] was
dictated by then-existing
precedent—whether, that is, the unlawfulness of [respondent’s]
conviction was apparent to all reasonable jurists.”
Lambrix, supra, at 527–528. In
Mills,
the Court held that the Constitution prohibits States from
requiring jurors to find mitigating factors unanimously.
McKoy, 494 U. S., at 444;
Mills, 486 U. S., at
374–375;
id., at 384 (vacating death sentence because the
jury instructions gave rise to a “substantial probability that
reasonable jurors … may have thought they were precluded from
considering any mitigating evidence” not found
unanimously).[
Footnote 4]
In reaching its conclusion, the
Court in
Mills and
McKoy relied on a line of
cases beginning with
Lockett v.
Ohio, 438
U. S. 586 (1978) (plurality opinion), and
Eddings v.
Oklahoma, 455
U. S. 104 (1982). In
Lockett, a plurality of the Court
struck down Ohio’s death penalty statute because it prevented the
sentencer from “considering,
as a mitigating factor,”
certain “aspect[s] of a defendant’s character or record and
[certain] circumstances of the offense that the defendant
proffer[ed] as a basis for a sentence less than death.” 438 U. S.,
at 604. A majority of the Court first embraced this principle in
Eddings. There, the Court confronted a situation in which
the sentencer had found, “
as a matter of law [that it] was
unable even to consider [potentially mitigating] evidence.” 455 U.
S., at 113. The Court held that this limitation violated the
Lockett rule.
Id., at 113–115. See also
Skipper v.
South Carolina, 476 U. S. 1, 4, 8–9 (1986)
(holding that States cannot, through evidentiary rules, exclude
relevant mitigating evidence from the sentencer’s
consideration).
In
Mills, the Court noted that its
previous cases did not depend on the source of the potential
barrier to the sentencer’s ability to consider mitigating evidence.
486 U. S., at 375. The Court then asserted that “[t]he same [rule
must apply] with respect to a single juror’s holdout vote against
finding the presence of a mitigating circumstance.”
Ibid.
See also
McKoy,
supra, at 441–443 (quoting
Mills and performing the same analysis).
The generalized
Lockett rule (that
the sentencer must be allowed to consider any mitigating evidence)
could be thought to support the Court’s conclusion in
Mills and
McKoy. But what is essential here is
that it does not mandate the
Mills rule. Each of the cases
relied on by
Mills (and
McKoy) specifically
considered only obstructions to the
sentencer’s ability to
consider mitigating evidence.
Mills’ innovation rests with
its shift in focus to individual jurors. We think it clear that
reasonable jurists could have differed as to whether the
Lockett principle compelled
Mills. See
Lambrix, 520 U. S., at 527–528.
But there is no need to guess. In
Mills, four justices dissented, reasoning that because
nothing prevented the jurors from hearing any mitigating evidence
that the defendant proffered, the
Lockett principle did
not control. 486 U. S., at 394 (opinion of Rehnquist, C. J.).
In
McKoy, three justices dissented, explaining that
“ ‘the principle established in
Lockett’ does not
remotely support” the new focus on individual jurors. 494 U. S., at
464 (opinion of Scalia, J.); see
id., at 466 (“In short,
Lockett and
Eddings are quite simply irrelevant
to the question before us …”); see also
id., at 452–453
(Kennedy, J., concurring in judgment) (noting that the Court
“stretche[d]” the
Lockett cases “beyond their proper
bounds”). The dissent in
McKoy stressed the Court’s move
from jury to juror. See 494 U. S., at 465–466 (opinion of Scalia,
J.). Indeed, prior to
Mills,
none of the Court’s
relevant cases addressed individual jurors, see,
e.g.,
Hitchcock v.
Dugger, 481 U. S. 393 (1987), a
trend that continued even after
Mills, see,
e.g.,
Saffle v.
Parks, 494 U. S. 484 (1990);
Penry
v.
Lynaugh, 492 U. S. 302 (1989);
Franklin v.
Lynaugh, 487 U. S. 164
(1988).
The
McKoy dissent also explained that
the
Mills rule governs how the sentencer considers
evidence, not what evidence it considers. In the dissent’s view,
the
Lockett line governed the latter but not the former.
See 494 U. S., at 465–466 (opinion of Scalia, J.). For this
distinction, the dissent relied on
Saffle v.
Parks,
supra, decided the same day. There, the
Court held that the
Lockett line of cases did not compel
(assuming it informed) the sought-for rule that States may not
“instruct the sentencer to render its decision on the evidence
without sympathy.” 494 U. S., at 490. The Court observed:
“Parks asks us to create a rule relating, not to
what mitigating evidence the jury must be permitted to
consider in making its sentencing decision, but to
how it
must consider the mitigating evidence. There is a simple and
logical difference between rules that govern what factors the jury
must be permitted to consider in making its sentencing decision and
rules that govern how the State may guide the jury in considering
and weighing those factors in reaching a decision.”
Ibid.
Thus, although the Lockett
principle—conceived of at a high level of generality—could be
thought to support the
Mills rule, reasonable jurists
differed even as to this point. It follows
a fortiori that
reasonable jurists could have concluded that the
Lockett
line of cases did not compel
Mills.[
Footnote 5] Given the brand new attention
Mills paid to individual jurors and the relevance of the
what/how distinction drawn in
Saffle (which again
distinguishes
Mills from the
Lockett line), we
must conclude that the
Mills rule “br[o]k[e] new ground,”
Teague, 489 U. S., at 301.[
Footnote 6] Accordingly,
Mills announced a new
rule, which does not apply to respondent on collateral review,
unless, of course, it falls under one of
Teague’s
exceptions.
C
Teague’s bar on
retroactive application of new rules of constitutional criminal
procedure has two exceptions. First, the bar does not apply to
rules forbidding punishment “of certain primary conduct [or to]
rules prohibiting a certain category of punishment for a class of
defendants because of their status or offense.”
Penry,
supra, at 330; see also
O’Dell v.
Netherland, 521 U. S. 151, 157
(1997).[
Footnote 7] There is no
argument that this exception applies here. The second exception is
for “ ‘watershed rules of criminal procedure implicating the
fundamental fairness and accuracy of the criminal
proceeding.’ ”
Ibid. (quoting
Graham, 506 U.
S., at 478).
We have repeatedly emphasized the
limited scope of the second
Teague exception, explaining
that “ ‘it is clearly meant to apply only to a small core of
rules requiring observance of those procedures that … are implicit
in the concept of ordered liberty.’ ”
O’Dell,
supra, at 157 (quoting
Graham,
supra, at
478). And, because any qualifying rule “would be so central to an
accurate determination of innocence or guilt [that it is] unlikely
that many such components of basic due process have yet to emerge,”
Graham,
supra, at 478 (quoting
Teague,
supra, at 313), it should come as no surprise that we have
yet to find a new rule that falls under the second
Teague
exception. Perhaps for this reason, respondent does not even
attempt to argue that
Mills qualifies or to rebut
petitioners’ argument that it does not, Brief for Petitioners
23–26.
In providing guidance as to what might fall
within this exception, we have repeatedly referred to the rule of
Gideon v.
Wainwright, 372 U. S. 335 (1963) (right to
counsel), and only to this rule. See,
e.g.,
Saffle,
supra, at 495; cf.
Gilmore v.
Taylor, 508 U. S. 333, 364
(1993) (Blackmun, J., dissenting).
Gideon overruled
Betts v.
Brady, 316 U. S. 455 (1942),
noting that
Betts itself had “made an abrupt break with
[the Court’s] well-considered precedents.” 372 U. S., at 344. The
Court continued:
“Lawyers to prosecute are everywhere deemed
essential to protect the public’s interest in an orderly society.
Similarly, there are few defendants charged with crime, few indeed,
who fail to hire the best lawyers they can get to prepare and
present their defenses. That government hires lawyers to prosecute
and defendants who have the money hire lawyers to defend are the
strongest indications of the widespread belief that lawyers in
criminal courts are necessities, not luxuries.
The right of one
charged with crime to counsel may not be deemed fundamental and
essential to fair trials in some countries, but it is in ours. From
the very beginning, our state and national constitutions and laws
have laid great emphasis on procedural and substantive safeguards
designed to assure fair trials before impartial tribunals in which
every defendant stands equal before the law. This noble ideal
cannot be realized if the poor man charged with crime has to face
his accusers without a lawyer to assist him.”
Ibid.
(emphasis added).
See also
id., at 344–345 (quoting
Powell v.
Alabama, 287 U. S. 45, 68–69
(1932)).
Gideon, it is fair to say, “alter[ed] our
understanding of the
bedrock procedural elements essential
to the fairness of a proceeding.”
Sawyer v.
Smith, 497 U. S. 227, 242
(1990) (internal quotation marks omitted).
By contrast, we have not hesitated to hold
that less sweeping and fundamental rules do not fall within
Teague’s second exception. In
O’Dell v.
Netherland,
supra, for example, we considered the
retroactivity of the rule announced in
Simmons v.
South Carolina, 512 U. S. 154 (1994).
Simmons held that a capital defendant must be allowed to
inform the sentencer that he would be ineligible for parole if the
prosecution argues future dangerousness. We rejected the
petitioner’s argument that the
Simmons rule was “ ‘on
par’ with
Gideon v.
Wainwright, 372 U. S. 335 (1963),” emphasizing
“the sweeping [nature] of
Gideon, which established an
affirmative right to counsel in all felony cases.”
O’Dell,
supra, at 167.
And, in
Sawyer v.
Smith,
supra, we considered whether a habeas petitioner could
make use of the rule announced in
Caldwell v.
Mississippi, 472 U. S. 320, 323
(1985) (holding that the Eighth Amendment bars imposition of the
death penalty by a jury that had been led to believe that
responsibility for the ultimate decision rested elsewhere). There
too we declined to give retroactive effect to a rule that
effectively withheld relevant information from the sentencer. See
Sawyer,
supra, at 242–245. We acknowledged that
the
Caldwell rule was intended to enhance “the accuracy of
capital sentencing.” 497 U. S., at 244. But because it affected an
incremental change, we could not conclude that “this systemic rule
enhancing reliability is an ‘absolute prerequisite to fundamental
fairness.’ ”
Ibid. (quoting
Teague,
supra, at 314). See also
Graham,
supra,
at 478 (concluding that the rule announced in
Penry v.
Lynaugh, 492 U. S. 302 (1989), does not fall
within the second
Teague exception).
We recognize that avoidance of potentially
arbitrary impositions of the death sentence motivated the Court in
Mills and
McKoy.
Mills described two
troubling situations that could theoretically occur absent the
Mills rule. Eleven of 12 jurors, could, for example, agree
that six mitigating circumstances existed, but one holdout juror
could nevertheless force the death sentence. Similarly, all 12
jurors could agree that some mitigating circumstances existed and
that these outweighed any aggravators, but because they did not
agree on which mitigating circumstances were present, they would
again have to return a death sentence. See
Mills, 486 U.
S., at 373–374; see also
McKoy, 494 U. S., at 439–440
(describing these examples). Imposition of the death penalty in
these circumstances, the Court reasoned, “would be the ‘height of
arbitrariness.’ ”
Id., at 440 (quoting
Mills,
supra, at 374). See also
McKoy,
supra, at 454 (Kennedy, J., concurring in judgment).
Quite obviously, the Court decided
Mills and
McKoy as it did to avoid this
possibility. But because “[a]ll of our Eighth Amendment
jurisprudence concerning capital sentencing is directed toward the
enhancement of reliability and accuracy in some sense,” the fact
that a new rule removes some remote possibility of arbitrary
infliction of the death sentence does not suffice to bring it
within
Teague’s second exception.
Sawyer,
supra, at 243.
However laudable the
Mills rule might
be, “it has none of the primacy and centrality of the rule adopted
in
Gideon.”
Saffle, 494 U. S., at 495. The
Mills rule applies fairly narrowly and works no
fundamental shift in “our understanding of the
bedrock
procedural elements” essential to fundamental fairness.
O’Dell, 521 U. S., at 167 (internal quotation marks
omitted). We therefore conclude that the
Mills rule does
not fall within the second
Teague exception.
III
We hold that
Mills
announced a new rule of constitutional criminal procedure that
falls within neither
Teague exception. Accordingly, that
rule cannot be applied retroactively to respondent. The judgment of
the Court of Appeals is reversed, and the case is remanded for
further proceedings consistent with this opinion.
It is so ordered.
Footnote 1
Judge Sloviter wrote separately to express
her view that
Mills v.
Maryland, 486 U. S. 367 (1988), established a
new rule that qualified for neither
Teague v.
Lane, 489 U. S. 288 (1989), exception. 316
F. 3d 228, 253–254 (CA3 2003) (opinion concurring in
judgment). Judge Sloviter nevertheless posited that
Mills
could be applied to respondent because of Pennsylvania’s “unique
relaxed waiver doctrine in capital cases.”
Id., at
256.
Footnote 2
Given our determination that the Court of
Appeals erred in holding that
Mills applied retroactively
to respondent, we do not reach the question whether the Court of
Appeals also erred in concluding that the Pennsylvania Supreme
Court unreasonably applied
Mills.
Footnote 3
Rules that fall within what we have referred
to as
Teague’s first exception “are more accurately
characterized as substantive rules not subject to
[
Teague’s] bar.”
Schriro v.
Summerlin,
ante, at __ (slip op., at 3, n. 4). See also
infra, at 10, and n. 7.
Footnote 4
Although nothing in this case turns on it, we
note that it is arguable that the “
Mills rule” did not
fully emerge until the Court issued
McKoy v.
North
Carolina, 494 U. S. 433 (1990). See
id., at 459–463 (Scalia, J., dissenting).
Footnote 5
Because the focus of the inquiry is whether
reasonable jurists could differ as to whether precedent
compels the sought-for rule, we do not suggest that the mere
existence of a dissent suffices to show that the rule is new.
Footnote 6
The Court of Appeals erred by drawing from
Lockett v.
Ohio, 438
U. S. 586 (1978), and
Eddings v.
Oklahoma,
455
U. S. 104 (1982), the general rule that “the Constitution
prohibited any barrier to the
jury’s consideration of
mitigating evidence,” 316 F. 3d, at 241–243 (emphasis added),
without also acknowledging that the rule, for purposes of the
Teague analysis, did not automatically extend to arguably
analogous contexts. It is with respect to this last point that
reasonable jurists did in fact differ.
Footnote 7
As noted above, these rules are more properly
viewed as substantive and therefore not subject to
Teague’s bar. See n. 3,
supra.
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