NOTICE: This opinion is subject to
formal revision before publication in the preliminary print of the
United States Reports. Readers are requested to notify the Reporter
of Decisions, Supreme Court of the United States, Washington,
D. C. 20543, of any typographical or other formal errors, in
order that corrections may be made before the preliminary print
goes to press.
SUPREME COURT OF THE UNITED STATES
_________________
No. 11–465
_________________
DEBORAH K. JOHNSON, ACTING WARDEN, PE-
TITIONER
v. TARA SHENEVA WILLIAMS
on writ of certiorari to the united states
court of appeals for the ninth circuit
[February 20, 2013]
Justice Alito delivered the opinion of the
Court.
The Antiterrorism and Effective Death Penalty
Act of 1996 (AEDPA) restricts the circumstances under which a
federal habeas court may grant relief to a state prisoner whose
claim has already been “adjudicated on the merits in State court.”
28 U. S. C. §2254(d). Specifically, if a claim has been
“adjudicated on the merits in State court,” a federal habeas court
may not grant relief unless “the adjudication of the claim—
“(1) resulted in a decision that was contrary
to, or involved an unreasonable application of, clearly established
Federal law, as determined by the Supreme Court of the United
States; or
“(2) resulted in a decision that was based on an
unreasonable determination of the facts in light of the evidence
presented in the State court proceeding.”
Ibid.
Because the requirements of §2254(d) are
difficult to meet, it is important whether a federal claim was
“adjudicated on the merits in State court,” and this case requires
us to ascertain the meaning of the adjudication-on-the merits
requirement. This issue arises when a defendant convicted in state
court attempts to raise a federal claim, either on direct appeal or
in a collateral state proceeding, and a state court rules against
the defendant and issues an opinion that addresses some issues but
does not expressly address the federal claim in question. If this
defendant then raises the same claim in a federal habeas
proceeding, should the federal court regard the claim as having
been adjudicated on the merits by the state court and apply
deference under §2254(d)? Or may the federal court assume that the
state court simply overlooked the federal claim and proceed to
adjudicate the claim
de novo, the course taken by the
Court of Appeals in the case at hand?
We believe that the answer to this question
follows logically from our decision in
Harrington v.
Richter, 562 U. S. ___ (2011). In that case, we held
that, when a state court issues an order that summarily rejects
without discussion
all the claims raised by a defendant,
including a federal claim that the defendant subsequently presses
in a federal habeas proceeding, the federal habeas court must
presume (subject to rebuttal) that the federal claim was
adjudicated on the merits. We see no reason why this same rule
should not apply when the state court addresses some of the claims
raised by a defendant but not a claim that is later raised in a
federal habeas proceeding.
Applying this rule in the present case, we hold
that the federal claim at issue here (a Sixth Amendment jury trial
claim) must be presumed to have been adjudicated on the merits by
the California courts, that this presumption was not adequately
rebutted, that the restrictive standard of review set out in
§2254(d)(2) consequently applies, and that under that standard
respondent is not entitled to habeas relief. We therefore reverse
the judgment of the Court of Appeals.
I
A
In October 1993, respondent Tara Williams took
two of her friends for a drive in southern California with the
objective of committing a robbery. They stopped at a liquor store
in Long Beach, and while Williams waited in the getaway car, her
friends stole money from the cash register and fatally shot the
store’s owner. Williams then drove one of her friends away, and the
other fled on foot. Williams avoided capture for five years but was
ultimately apprehended and charged with first-degree murder.
At trial, Williams admitted that she had served
as the getaway driver but claimed that she did not know that her
friends were going to rob the liquor store at the particular time
in question. Instead, she contended that the three friends had
agreed only that they would “case” the store and would possibly
return later that evening to rob it. The State countered that,
regardless of whether Williams knew precisely when and where the
robbery was to take place, she had agreed to help commit a robbery
and that this was sufficient to provide the predicate for felony
murder under California law.
After deliberating for about three hours, the
jury foreman sent the judge two notes. The first note asked the
following question:
“ ‘Is it legally permissible for a juror
to interpret . . . the jury instructions to mean that the
conspiracy should involve a plan to commit a specific robbery
rather than a general plan to commit robberies in the
future?’ ” Tr. 1247.
The second note stated:
“I wish to inform you that we have one juror
who . . . has expressed an intention to disregard the law
. . . and . . . has expressed concern relative
to the severity of the charge (first degree murder).”
Id.,
at 1246.
The judge told the jury that the answer to the
question in the first note was “no.”
Id., at 1249. Then,
over Williams’ objection, the judge briefly questioned the foreman
outside the presence of the rest of the jury about the second note.
The foreman said that he thought the judge’s answer to the first
note might resolve the problem, and the judge instructed the jury
to resume its deliberations.
The next morning, once again over Williams’
objection, the judge decided to inquire further about the foreman’s
second note. On questioning by the judge and lawyers for both
parties, the foreman testified that Juror 6 had brought up past
instances of jury nullification. The foreman also expressed doubt
about whether Juror 6 was willing to apply the felony-murder rule.
The trial judge then ordered questioning of Juror 6, who first
denied and then admitted bringing up instances of nullification.
Juror 6 also testified that this was a serious case and that he
would vote to convict only if he was “very convinced
. . . beyond a reasonable doubt.”
Id., at 1280. He
later clarified that in his view “convinced beyond a reasonable
doubt” and “very convinced beyond a reasonable doubt” meant the
same thing.
Id., at 1281. After taking testi- mony from the
remaining jurors, who corroborated the foreman’s testimony to
varying degrees, the trial judge dis- missed Juror 6 for bias. With
an alternate juror in place, the jury convicted Williams of
first-degree murder.
B
On appeal to the California Court of Appeal,
Williams argued, among other things, that the discharge of Juror 6
violated both the Sixth Amendment and the California Penal Code,
which allows a California trial judge to dismiss a juror who “upon
. . . good cause shown to the court is found to be unable
to perform his or her duty.” Cal. Penal Code Ann. §1089 (West
2004). Although Williams’ brief challenged the questioning and
dismissal of Juror 6 on both state and federal grounds, it did not
clearly distinguish between these two lines of authority.
In a written opinion affirming Williams’
conviction, the California Court of Appeal devoted several pages to
discussing the propriety of the trial judge’s decision to dis- miss
the juror.
People v.
Taylor, No. B137365 (Mar. 27,
2001). The court held that Juror 6 had been properly dismissed for
bias and quoted this Court’s definition of “impartiality” in
United States v.
Wood,
299
U.S. 123, 145–146 (1936). But despite its extended discussion
of Juror 6’s dismissal and the questioning that preceded it, the
California Court of Appeal never expressly acknowledged that it was
deciding a Sixth Amendment issue.
Williams petitioned the California Supreme Court
for review, and while her petition was pending, that court decided
People v.
Cleveland,
25 Cal. 4th 466,
21 P.3d 1225 (2001), which held that a trial court had abused
its discretion by dismissing for failure to deliberate a juror who
appeared to disagree with the rest of the jury about the evidence.
The California Supreme Court granted Williams’ petition for review
and remanded her case for further consideration in light of this
intervening authority.
People v.
Taylor, No. S097387
(July 11, 2001).
On remand, the California Court of Appeal issued
a revised opinion holding that the trial court had not abused its
discretion by questioning the jury and dismissing Juror 6. Williams
argued that Juror 6—like the holdout juror in
Cleveland—was
dismissed because he was uncooperative with other jurors who did
not share his view of the evidence. But the California Court of
Appeal disagreed, explaining that Williams’ argument “not only
misstate[d] the evidence,” but also “ignore[d] the trial court’s
explanation that it was discharging Juror No. 6 because he had
shown himself to be biased,
not because he was failing to
deliberate or engaging in juror nullification.”
People v.
Taylor, No. B137365 (Jan. 18, 2002), App. to Pet. for Cert.
105a. As in its earlier opinion, the California Court of Appeal
quoted our definition of juror bias in
Wood, but the court
did not expressly acknowledge that Williams had invoked a federal
basis for her argument. Despite that omission, however, Williams
did not seek rehearing or other- wise suggest that the court had
overlooked her federal claim. Instead, she filed another petition
for review in the California Supreme Court, but this time that
court denied relief in a one-sentence order.
People v.
Taylor, No. S104661 (Apr. 10, 2002), App. to Pet. for Cert.
85a.
Williams sought but failed to obtain relief
through state habeas proceedings, and she then filed a federal
habeas petition under 28 U. S. C. §2254. The District
Court applied AEDPA’s deferential standard of review for claims
previously adjudicated on the merits and denied relief.
Williams v.
Mitchell, No. 03–2691 (CD Cal., May 30,
2007), App. to Pet. for Cert. 57a. In so holding, the District
Court adopted a Magistrate Judge’s finding that the evidence “amply
support[ed] the trial judge’s determination that good cause existed
for the discharge of Juror 6.”
Williams v.
Mitchell,
No. 03–2691 (CD Cal., Mar. 19, 2007),
id., at 70a.
The Ninth Circuit reversed. Unlike the District
Court, the Ninth Circuit declined to apply the deferential standard
of review contained in §2254(d). The Ninth Circuit took this
approach because it thought it “obvious” that the State Court of
Appeal had “overlooked or disregarded” Williams’ Sixth Amendment
claim.[
1]
Williams v.
Cavazos, 646 F.3d 626, 639 (2011). The Ninth Circuit
reasoned that
Cleveland, the State Supreme Court decision on
which the State Court of Appeal had relied, “was not a
constitutional decision,” 646 F. 3d, at 640, and the Ninth
Circuit attributed no significance to the state court’s citation of
our decision in
Wood. Reviewing Williams’ Sixth Amendment
claim
de novo, the Ninth Circuit applied its own
precedent and held that the questioning and dismissal of Juror 6
violated the Sixth Amendment. 646 F. 3d, at 646–647. We
granted the warden’s petition for a writ of certiorari, 565
U. S. ___ (2012), in order to decide whether the Ninth Circuit
erred by refusing to afford AEDPA deference to the California Court
of Appeal’s decision.
II
A
As noted above, AEDPA sharply limits the
circum- stances in which a federal court may issue a writ of habeas
corpus to a state prisoner whose claim was “adjudicated on the
merits in State court proceedings.” 28 U. S. C. §2254(d).
In
Richter, 562 U. S., at ___ (slip op., at 10), we
held that §2254(d) “does not require a state court to give reasons
before its decision can be deemed to have been ‘adjudicated on the
merits.’ ” Rather, we explained, “[w]hen a federal claim has
been presented to a state court and the state court has denied
relief, it may be presumed that the state court adjudicated the
claim on the merits in the absence of any indication or state-law
procedural principles to the contrary.”
Id., at ___ (slip
op., at 9).
Our reasoning in
Richter points clearly
to the answer to the question presented in the case at hand.
Although
Richter itself concerned a state-court order that
did not address
any of the defendant’s claims, we see no
reason why the
Richter presumption should not also apply
when a state-court opinion addresses some but not all of a
defendant’s claims. There would be a reason for drawing a
distinction between these two situations if opinions issued by
state appellate courts always separately addressed every single
claim that is mentioned in a defendant’s papers. If there were such
a uniform practice, then federal habeas courts could assume that
any unaddressed federal claim was simply overlooked.
No such assumption is warranted, however,
because it is not the uniform practice of busy state courts to
discuss separately every single claim to which a defendant makes
even a passing reference. On the contrary, there are several
situations in which state courts frequently take a different
course.
First, there are circumstances in which a line
of state precedent is viewed as fully incorporating a related
federal constitutional right. In California, for example, the state
constitutional right to be present at trial “ ‘is generally
coextensive with’ ” the protections of the Federal
Constitution.
People v.
Butler, 46 Cal. 4th 847, 861,
209 P.3d 596, 606 (2009); see also,
e.g., Commonwealth v.
Prunty, 462 Mass. 295, 305, n. 14, 968 N.E.2d 361, 371,
n. 14 (2012) (standard for racial discrimination in juror selection
“ ‘is the same under the Federal Constitution and the
[Massachusetts] Declaration of Rights’ ”);
State v.
Krause, 817 N.W.2d 136, 144 (Minn. 2012) (“ ‘The due
process protection provided under the Minnesota Constitution is
identical to the due proces[s] guaranteed under the Constitution of
the United States’ ”);
State v.
Engelhardt, 280
Kan. 113, 122, 119 P.3d 1148, 1158 (2005) (observing that a Kansas
statute is “analytically and functionally identical to the
requirements under the Confrontation Clause and the Due Process
Clause of the federal Constitution”). In this situation, a state
appellate court may regard its discussion of the state precedent as
sufficient to cover a claim based on the related federal right.
Second, a state court may not regard a fleeting
reference to a provision of the Federal Constitution or federal
precedent as sufficient to raise a separate federal claim. Federal
courts of appeals refuse to take cognizance of arguments that are
made in passing without proper development. See,
e.g.,
United States v.
Cloud, 680 F.3d 396, 409, n. 7
(CA4 2012);
United States v.
Mitchell, 502 F.3d 931,
953, n. 2 (CA9 2007);
United States v.
Charles,
469 F.3d 402,
408 (CA5 2006);
Reynolds v.
Wagner,
128 F.3d 166, 178 (CA3 1997);
Carducci v.
Regan,
714 F.2d 171, 177 (CADC 1983). State appellate courts are entitled
to follow the same practice.
Third, there are instances in which a state
court may simply regard a claim as too insubstantial to merit
discussion. Indeed, the California Court of Appeal has expressly
stated that it has no obligation to address claims that lack
arguable merit. See
People v.
Rojas,
118 Cal. App. 3d 278, 290, 173 Cal. Rptr. 91,
93
(1981). That court has explained: “In an era in which there is
concern that the quality of justice is being diminished by
appellate backlog with its attendant delay, which in turn
contributes to a lack of finality of judgment, it behooves us as an
appellate court to ‘get to the heart’ of cases presented and
dispose of them expeditiously.”
Ibid. See also
People
v.
Burke, 18 Cal. App. 72, 79, 122 P. 435, 439 (1912) (“The
author of an opinion . . . must follow his own judgment
as to the degree of elaboration to be accorded to the treatment of
any proposition and
as to the questions which are worthy of
notice at all” (emphasis added)). While it is preferable for an
appellate court in a criminal case to list all of the arguments
that the court recognizes as having been properly presented, see R.
Aldisert, Opinion Writing 95–96 (3d ed. 2012), federal courts have
no authority to impose mandatory opinion-writing standards on state
courts, see
Coleman v.
Thompson,
501 U.S.
722, 739 (1991) (“[W]e have no power to tell state courts how
they must write their opinions”). The caseloads shouldered by many
state appellate courts are very heavy,[
2] and the opinions issued by these courts must be read
with that factor in mind.
In sum, because it is by no means uncommon for a
state court to fail to address separately a federal claim that the
court has not simply overlooked, we see no sound reason for failing
to apply the
Richter presumption in cases like the one now
before us. When a state court rejects a federal claim without
expressly addressing that claim, a federal habeas court must
presume that the federal claim was adjudicated on the merits—but
that presumption can in some limited circumstances be rebutted.
B
Not satisfied with a strong but rebuttable
presumption, petitioner urges us to make the presumption
irrebuttable. Specifically, petitioner contends that a state court
must be regarded as having adjudicated a federal claim on the
merits if the state court addressed “the substance of [an] asserted
trial error.” Brief for Petitioner 27. Suppose, for example, that a
defendant claimed in state court that something that occurred at
trial violated both a provision of the Federal Constitution and a
related provision of state law, and suppose further that the state
court, in denying relief, made no reference to federal law.
According to petitioner’s argument, a federal habeas court would be
required to proceed on the assumption that the federal claim was
adjudicated on the merits.
This argument goes too far. To be sure, if the
state-law rule subsumes the federal standard—that is, if it is at
least as protective as the federal standard—then the federal claim
may be regarded as having been adjudicated on the merits. See
Early v.
Packer,
537 U.S.
3, 8 (2002) (
per curiam)
. But what if, for
example, in at least some circumstances the state standard is
less protective? Or what if the state standard is quite
different from the federal standard, and the defendant’s papers
made no effort to develop the basis for the federal claim? What if
a provision of the Federal Constitution or a federal precedent was
simply mentioned in passing in a footnote or was buried in a string
cite? In such circumstances, the presumption that the federal claim
was adjudicated on the merits may be rebutted—either by the habeas
petitioner (for the purpose of showing that the claim should be
considered by the federal court
de novo) or by the
State (for the purpose of showing that the federal claim should be
regarded as procedurally defaulted). See
Coleman,
supra, at 739 (rebuttable presumption of no independent and
adequate state ground applies so long as “it fairly appears that a
state court judgment rested primarily on federal law or was
interwoven with federal law”). Thus, while the
Richter
presumption is a strong one that may be rebutted only in unusual
circumstances, it is not irrebuttable.[
3] “
Per se rules should not be applied
. . . in situations where the generalization is incorrect
as an empirical matter,”
Coleman, 501 U. S., at 737,
and an irrebuttable presumption that state courts never overlook
federal claims would occasionally miss the mark.
The language of 28 U. S. C. §2254(d)
makes it clear that this provision applies only when a federal
claim was “adjudicated
on the merits in State court.” A
judgment is normally said to have been rendered “on the merits”
only if it was “delivered after the court . . . heard and
evaluated the evidence and the parties’ substantive
arguments.” Black’s Law Dictionary 1199 (9th ed. 2009) (emphasis
added). And as used in this context, the word “merits” is defined
as “
[t]he intrinsic rights and wrongs of a case as
determined by
matters of substance, in distinction from
matters of form.” Webster’s New International Dictionary 1540 (2d
ed. 1954) (emphasis added); see also,
e.g., 9 Oxford English
Dictionary 634 (2d ed. 1989) (“
the intrinsic ‘rights and wrongs’
of the matter, in contradistinction to extraneous points such
as the competence of the tribunal or the like” (emphasis added));
Random House Dictionary of the English Language 897 (1967) (“the
intrinsic right and wrong of a matter, as a law case,
unobscured by procedural details, technicalities, personal
feelings, etc.” (emphasis added)). If a federal claim is rejected
as a result of sheer inadvertence, it has not been evaluated based
on the intrinsic right and wrong of the matter. Justice Scalia is
surely correct that such claims have been adjudicated and present
federal questions we may review,
post, at 3–4, but it does
not follow that they have been adjudicated “on the merits.” By
having us nevertheless apply AEDPA’s deferential standard of review
in such cases, petitioner’s argument would improperly excise
§2254(d)’s on-the-merits requirement.
Nor does petitioner’s preferred approach follow
inexorably from AEDPA’s deferential architecture. Even while
leaving “primary responsibility” for adjudicating federal claims to
the States,
Woodford v.
Visciotti,
537 U.S.
19, 27 (2002) (
per curiam), AEDPA permits
de novo review in those rare cases when a state court
decides a federal claim in a way that is “contrary to” clearly
established Supreme Court precedent, see
Panetti v.
Quarterman,
551 U.S.
930, 953 (2007). When the evidence leads very clearly to the
conclusion that a federal claim was inadvertently overlooked in
state court, §2254(d) entitles the prisoner to an unencumbered
opportunity to make his case before a fed- eral judge.
We are not persuaded that applying a rebuttable
presumption in this context will be unduly burdensome for federal
courts. Before
Richter, every Court of Appeals to consider
the issue allowed a prisoner to argue that a state court had
overlooked his federal claim.[
4] That approach did not prompt an unmanageable flood of
litigation, and we see no reason to fear that it will do so
now.
III
Applying the presumption of merits
adjudication to the facts of this case, we hold that the Ninth
Circuit erred by finding that the California Court of Appeal
overlooked Williams’ Sixth Amendment claim. Several facts make this
conclusion inescapable.
Most important is the state court’s discussion
of
Cleveland,
25 Cal. 4th 466,
21 P.3d 1225, a California Supreme Court decision on which the
Court of Appeal solicited briefing.
Cleveland held that a
California trial court, “if put on notice that a juror is not
participating in delib- erations,” may “conduct ‘whatever inquiry
is reasonably necessary to determine’ whether such grounds exist
and . . . discharge the juror if it appears as a
‘demonstrable reality’ that the juror is unable or unwilling to
deliberate.”
Id., at 484, 21 P. 3d, at 1237 (citations
omitted). The
Cleveland court acknowledged “[t]he need to
protect the sanctity of jury deliberations,”
id., at 476, 21
P. 3d, at 1231, and included a lengthy discussion of three Federal
Court of Appeals cases that it said had “considered these issues in
depth,”
id., at 480–484, 21 P. 3d, at 1234–1237. Those three
cases—
United States v.
Symington,
195 F.3d 1080 (CA9 1999),
United States v.
Thomas,
116 F.3d 606 (CA2 1997), and
United States v.
Brown, 823 F.2d 591 (CADC 1987)—concern the discharge of
holdout jurors in federal court. Each case discusses the Sixth
Amendment right to a jury trial and concludes that a trial court
should not inquire further if it appears that there is “ ‘any
reasonable possibility that the impetus for a juror’s dismissal
stems from the juror’s views on the merits of the case.’ ”
Cleveland,
supra, at 484, 21 P. 3d, at 1237
(quoting
Symington,
supra, at 1087); see also
Thomas,
supra, at 621–622;
Brown,
supra, at 596. Though the
Cleveland court found much
to praise in these decisions, it expressly declined to follow them
on this point. 25 Cal. 4th, at 483–484, 21 P. 3d, at
1236–1237.
Cleveland did not expressly purport to
decide a federal constitutional question, but its discussion of
Symington,
Thomas, and
Brown shows that the
California Supreme Court understood itself to be deciding a
question with federal constitutional dimensions. See 25 Cal. 4th,
at 487, 21 P. 3d, at 1239 (Werdegar, J., concurring)
(emphasizing importance of careful appellate review in juror
discharge cases in light of the “constitutional dimension to the
problem”). Indeed, it is difficult to imagine the California
Supreme Court announcing an interpretation of Cal. Penal Code Ann.
§1089 that it believed to be less protective than the Sixth
Amendment, as any such interpretation would provide no guidance to
state trial judges bound to follow both state and federal law.
The Ninth Circuit’s conclusion to the contrary
rested on the fact that
Cleveland refused to follow
Symington,
Brown, and
Thomas. 646 F. 3d,
at 640. But the views of the federal courts of appeals do not bind
the California Supreme Court when it decides a federal
constitutional question, and disagreeing with the lower federal
courts is not the same as ignoring federal law. The Ninth Circuit’s
apparent assumption that the California Supreme Court could not
refuse to follow federal court of appeals precedent without
disregarding the Federal Constitution would undo §2254(d)’s
“contrary to” provision, which requires deference unless a state
court fails to follow
Supreme Court precedent. 28
U. S. C. §2254(d)(1).
Regardless of whether a California court would
consider Williams’ §1089 and Sixth Amendment claims to be perfectly
coextensive, the fact that these claims are so similar makes it
unlikely that the California Court of Appeal decided one while
overlooking the other. Indeed, it is dif- ficult to imagine any
panel of appellate judges reading
Cleveland and passing on
the propriety of dismissing a holdout juror under §1089 without
realizing that such situations also bear on the federal
constitutional right to a fair trial. The California Court of
Appeal’s quotation of our definition of “impartiality” from
Wood, 299 U. S., at 145–146, points to the same
conclusion, confirming that the state court was well aware that the
questioning and dismissal of Juror 6 implicated both state and
federal law.
Williams’ litigation strategy supports the same
result. Throughout her state proceedings, Williams treated her
state and federal claims as interchangeable, and it is hardly
surprising that the state courts did so as well. See Brief for
Appellant in No. B137365 (Cal. App.), App. 29 (citing §1089
precedent and concluding that Williams “was accordingly denied her
Sixth Amendment right to a unanimous jury”). After the California
Court of Appeal rendered its decision, Williams neither petitioned
that court for rehearing nor argued in the subsequent state and
federal proceedings that the state court had failed to adjudicate
her Sixth Amendment claim on the merits. The possibility that the
California Court of Appeal had simply overlooked Williams’ Sixth
Amendment claim apparently did not occur to anyone until that issue
was raised by two judges during the oral argument in the Ninth
Circuit. See 646 F. 3d, at 638, n. 7. Williams presumably
knows her case better than anyone else, and the fact that she does
not appear to have thought that there was an oversight makes such a
mistake most improbable.
We think it exceedingly unlikely that the
California Court of Appeal overlooked Williams’ federal claim, and
the Ninth Circuit’s judgment to the contrary is reversed. The case
is remanded for further proceedings consistent with this
opinion.
It is so ordered.