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SUPREME COURT OF THE UNITED STATES
_________________
No. 16–6855
_________________
MARION WILSON, PETITIONER
v. ERIC
SELLERS, WARDEN
on writ of certiorari to the united states
court of appeals for the eleventh circuit
[April 17, 2018]
Justice Breyer delivered the opinion of the
Court.
The Antiterrorism and Effective Death Penalty
Act of 1996 (AEDPA) requires a prisoner who challenges (in a
federal habeas court) a matter “adjudicated on the merits in State
court” to show that the relevant state-court “decision” (1) “was
contrary to, or involved an unreasonable application of, clearly
established Federal law,” or (2) “was based on an unreasonable
determination of the facts in light of the evidence presented in
the State court proceeding.” 28 U. S. C. §2254(d).
Deciding whether a state court’s decision “involved” an
unreasonable application of federal law or “was based on” an
unreasonable determination of fact requires the federal habeas
court to “train its attention on the particular reasons—both legal
and fac- tual—why state courts rejected a state prisoner’s federal
claims,”
Hittson v.
Chatman, 576 U. S. ___, ___
(2015) (Ginsburg, J., concurring in denial of certiorari) (slip
op., at 1), and to give appropriate deference to that decision,
Harrington v.
Richter, 562 U. S. 86, 101 –102
(2011).
This is a straightforward inquiry when the last
state court to decide a prisoner’s federal claim explains its
decision on the merits in a reasoned opinion. In that case, a
federal habeas court simply reviews the specific reasons given by
the state court and defers to those reasons if they are reasonable.
We have affirmed this approach time and again. See,
e.g.,
Porter v.
McCollum, 558 U. S. 30, 39 –44 (2009)
(
per curiam);
Rompilla v.
Beard, 545
U. S. 374, 388 –392 (2005);
Wiggins v.
Smith,
539 U. S. 510, 523 –538 (2003).
The issue before us, however, is more difficult.
It concerns how a federal habeas court is to find the state court’s
reasons when the relevant state-court decision on the merits, say,
a state supreme court decision, does not come accompanied with
those reasons. For instance, the decision may consist of a one-word
order, such as “affirmed” or “denied.” What then is the federal
habeas court to do? We hold that the federal court should “look
through” the unexplained decision to the last related state-court
decision that does provide a relevant rationale. It should then
presume that the unexplained decision adopted the same reasoning.
But the State may rebut the presumption by showing that the
unexplained affirmance relied or most likely did rely on different
grounds than the lower state court’s decision, such as alternative
grounds for affirmance that were briefed or argued to the state
supreme court or obvious in the record it reviewed.
I
In 1997 a Georgia jury convicted petitioner,
Marion Wilson, of murder and related crimes. After a sentencing
hearing, the jury sentenced Wilson to death. In 1999 the Georgia
Supreme Court affirmed Wilson’s conviction and sentence,
Wilson v.
State, 271 Ga. 811,
525 S.E.2d
339 (1999), and this Court denied his petition for certiorari,
Wilson v.
Georgia, 531 U. S. 838 (2000) .
Wilson then filed a petition for habeas corpus
in a state court, the Superior Court for Butts County. Among other
things, he claimed that his counsel was “ineffective” during his
sentencing, in violation of the Sixth Amendment. See
Strickland v.
Washington, 466 U. S. 668, 687
(1984) (setting forth “two components” of an
ineffective-assistance-of-counsel claim: “that counsel’s
performance was deficient” and “that the deficient performance
prejudiced the defense”). Wilson identified new evidence that he
argued trial counsel should have introduced at sentencing, namely,
testimony from various witnesses about Wilson’s childhood and the
impairment of the frontal lobe of Wilson’s brain.
After a hearing, the state habeas court denied
the petition in relevant part because it thought Wilson’s evidence
did not show that counsel was “deficient,” and, in any event,
counsel’s failure to find and present the new evidence that Wilson
offered had not prejudiced Wilson.
Wilson v.
Terry,
No. 2001–v–38 (Super. Ct. Butts Cty., Ga., Dec. 1, 2008), App.
60–61. In the court’s view, that was because the new evidence was
“inadmissible on evidentiary grounds,” was “cumulative of other
testimony,” or “otherwise would not have, in reasonable
probability, changed the outcome of the trial.”
Id., at 61.
Wilson applied to the Georgia Supreme Court for a certificate of
probable cause to appeal the state habeas court’s decision. But the
Georgia Supreme Court denied the application without any
explanatory opinion.
Wilson v.
Terry, No. 2001–v–38
(May 3, 2010), App. 87, cert. denied, 562 U. S. 1093 (2010)
.
Wilson subsequently filed a petition for habeas
corpus in the United States District Court for the Middle District
of Georgia. He made what was essentially the same “ineffective
assistance” claim. After a hearing, the District Court denied
Wilson’s petition.
Wilson v.
Humphrey, No.
5:10–cv–489 (Dec. 19, 2013), App. 88–89. The court assumed that
Wilson’s counsel had indeed been “deficient” in failing adequately
to investigate Wilson’s background and physical condition for
mitigation evidence and to present what he likely would have found
at the sentencing hearing.
Id., at 144. But, the court
nonetheless deferred to the state habeas court’s conclusion that
these deficiencies did not “prejudice” Wilson, primarily because
the testimony of many witnesses was “cumulative,” and because the
evidence of physical impairments did not include any physical
examination or other support that would have shown the state-court
determination was “unreasonable.”
Id., at 187; see
Richter, 562 U. S., at 111–112.
Wilson appealed to the Court of Appeals for the
Eleventh Circuit.
Wilson v.
Warden, 774 F. 3d
671 (2014). The panel first held that the District Court had used
the wrong method for determining the reasoning of the relevant
state court, namely, that of the Georgia Supreme Court (the final
and highest state court to decide the merits of Wilson’s claims).
Id., at 678. That state-court decision, the panel conceded,
was made without an opinion. But, the federal court was wrong to
“look through” that decision and assume that it rested on the
grounds given in the lower court’s decision. Instead of “looking
through” the decision to the state habeas court’s opinion, the
federal court should have asked what arguments “could have
supported” the Georgia Supreme Court’s refusal to grant permission
to appeal. The panel proceeded to identify a number of bases that
it believed reasonably could have supported the decision.
Id., at 678–681.
The Eleventh Circuit then granted Wilson
rehearing en banc so that it could consider the matter of
methodology.
Wilson v.
Warden, 834 F. 3d 1227
(2016). Ultimately six judges (a majority) agreed with the panel
and held that its “could have supported” approach was correct.
Id., at 1235. Five dissenting judges believed that the
District Court should have used the methodology it did use, namely,
the “look through” approach.
Id., at 1242–1247, 1247–1269.
Wilson then sought certiorari here. Because the Eleventh Circuit’s
opinion creates a split among the Circuits, we granted the
petition. Compare
id., at 1285 (applying “could have
supported” approach), with
Grueninger v.
Director, Va.
Dept. of Corrections, 813 F. 3d 517, 525–526 (CA4 2016)
(applying “look through” presumption post-
Richter), and
Cannedy v.
Adams, 706 F. 3d 1148, 1156–1159 (CA9
2013) (same); see also
Clements v.
Clarke, 592
F. 3d 45, 52 (CA1 2010) (applying “look through” presumption
pre-
Richter);
Bond v.
Beard, 539 F. 3d
256, 289–290 (CA3 2008) (same);
Mark v.
Ault, 498
F. 3d 775, 782–783 (CA8 2007) (same);
Joseph v.
Coyle, 469 F. 3d 441, 450 (CA6 2006) (same).
II
We conclude that federal habeas law employs a
“look through” presumption. That conclusion has parallels in this
Court’s precedent. In
Ylst v.
Nunnemaker, a
defendant, convicted in a California state court of murder,
appealed his conviction to the state appeals court where he raised
a constitutional claim based on
Miranda v.
Arizona,
384 U. S. 436 (1966) . 501 U. S. 797, 799 –800 (1991).
The appeals court rejected that claim, writing that “ ‘an
objection based upon a
Miranda violation cannot be raised
for the first time on appeal.’ ”
Id., at 799. The
defendant then similarly challenged his conviction in the
California Supreme Court and on collateral review in several state
courts (including once again the California Supreme Court). In each
of these latter instances the state court denied the defendant
relief (or review). In each instance the court did so without an
opinion or other explanation.
Id., at 799–800.
Subsequently, the defendant asked a federal
habeas court to review his constitutional claim.
Id., at
800. The higher state courts had given no reason for their
decision. And this Court ultimately had to decide how the federal
court was to find the state court’s reasoning in those
circumstances. Should it have “looked through” the unreasoned
decisions to the state procedural ground articulated in the appeals
court or should it have used a different method?
In answering that question Justice Scalia wrote
the following for the Court:
“The problem we face arises, of course,
because many formulary orders are not meant to convey
anything as to the reason for the decision. Attributing a
reason is therefore both difficult and artificial. We think that
the attribution necessary for federal habeas purposes can be
facilitated, and sound results more often assured, by applying the
following presumption: Where there has been one reasoned state
judgment rejecting a federal claim, later unexplained orders
upholding that judgment or rejecting the same claim rest upon the
same ground. If an earlier opinion ‘fairly appear[s] to rest
primarily upon federal law,’ we will presume that no procedural
default has been invoked by a subsequent unexplained order that
leaves the judgment or its consequences in place. Similarly where,
as here, the last reasoned opinion on the claim explicitly imposes
a procedural default, we will presume that a later decision
rejecting the claim did not silently disregard that bar and
consider the merits.”
Id., at 803 (citation omitted).
Since
Ylst, every Circuit to have
considered the matter has applied this presumption, often called
the “look through” presumption, but for the Eleventh Circuit—even
where the state courts did not apply a procedural bar to review.
See
supra, at 4–5. And most Federal Circuits applied it
prior to
Ylst. See
Ylst,
supra, at 803 (citing
Prihoda v.
McCaughtry, 910 F. 2d 1379, 1383 (CA7
1990);
Harmon v.
Barton, 894 F. 2d 1268, 1272
(CA11 1990);
Evans v.
Thompson, 881 F. 2d 117,
123, n. 2 (CA4 1989);
Ellis v.
Lynaugh, 873
F. 2d 830, 838 (CA5 1989)).
That is not surprising in light of the fact that
the “look through” presumption is often realistic, for state higher
courts often (but certainly not always, see
Redmon v.
Johnson, 2018 WL 415714 (Ga., Jan. 16, 2018)) write “denied”
or “affirmed” or “dismissed” when they have examined the lower
court’s reasoning and found nothing significant with which they
disagree.
Moreover, a “look through” presumption is often
(but not always) more efficiently applied than a contrary
approach—an approach, for example, that would require a federal
habeas court to imagine what might have been the state court’s
supportive reasoning. The latter task may prove particularly
difficult where the issue involves state law, such as state
procedural rules that may constrain the scope of a reviewing
court’s summary decision, a matter in which a federal judge often
lacks comparative expertise. See
Ylst, supra, at
805.
The State points to a later case,
Harrington v.
Richter, 562 U. S. 86 (2011) ,
which, it says, controls here instead of
Ylst. In its view,
Ylst should apply, at most, to cases in which the federal
habeas court is trying to determine whether a state-court decision
without opinion rested on a state procedural ground (for example, a
procedural default) or whether the state court has reached the
merits of a federal issue. In support, it notes that
Richter
held that the state-court decisions to which AEDPA refers include
summary dispositions,
i.e., decisions without opinion.
Richter added that “determining whether a state court’s
decision resulted from an unreasonable legal or factual conclusion
does not require that there be an opinion from the state court
explaining the state court’s reasoning.” 562 U. S., at 98.
Richter then said that, where “a state
court’s decision is unaccompanied by an explanation, the habeas
petitioner’s burden still must be met by showing there was no
reasonable basis for the state court to deny relief.”
Ibid.
And the Court concluded that, when “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 99.
In our view, however,
Richter does not
control here. For one thing,
Richter did not directly
concern the issue before us—whether to “look through” the silent
state higher court opinion to the reasoned opinion of a lower court
in order to determine the reasons for the higher court’s decision.
Indeed, it could not have considered that matter, for in
Richter, there was no lower court opinion to look to. That
is because the convicted defendant sought to raise his federal
constitutional claim for the first time in the California Supreme
Court (via a direct petition for habeas corpus, as California law
permits).
Id., at 96.
For another thing,
Richter does not say
the reasoning of
Ylst does not apply in the context of an
unexplained decision on the merits. To the contrary, the Court
noted that it was setting forth a presumption, which “may be
overcome when there is reason to think some other explanation for
the state court’s decision is more likely.”
Richter,
supra, at 99–100. And it referred in support to
Ylst,
501 U. S., at 803.
Further, we have “looked through” to lower court
decisions in cases involving the merits. See,
e.g.,
Premo v.
Moore, 562 U. S. 115, 123 –133 (2011);
Sears v.
Upton, 561 U. S. 945, 951 –956 (2010)
(
per curiam). Indeed, we de- cided one of those cases,
Premo, on the same day we decided
Richter. And in our
opinion in
Richter we referred to
Premo. 562
U. S., at 91. Had we intended
Richter’s “could have
supported” framework to apply even where there is a reasoned
decision by a lower state court, our opinion in
Premo would
have looked very different. We did not even cite the reviewing
state court’s summary affirmance. Instead, we focused exclusively
on the actual reasons given by the lower state court, and we
deferred to those reasons under AEDPA. 562 U. S., at 132 (“The
state postconviction court’s decision involved no unreasonable
application of Supreme Court precedent”).
III
The State’s further arguments do not convince
us. The State points out that there could be many cases in which a
“look through” presumption does not accurately identify the grounds
for the higher court’s decision. And we agree. We also agree that
it is more likely that a state supreme court’s single word “affirm”
rests upon alternative grounds where the lower state court decision
is unreasonable than,
e.g., where the lower court rested on
a state-law proce- dural ground, as in
Ylst. But that is why
we have set forth a presumption and not an absolute rule. And the
unreasonableness of the lower court’s decision itself provides some
evidence that makes it less likely the state supreme court adopted
the same reasoning. Thus, additional evidence that might not be
sufficient to rebut the presumption in a case like
Ylst
would allow a federal court to conclude that counsel has rebutted
the presumption in a case like this one. For instance, a federal
habeas court may conclude that counsel has rebutted the presumption
on the basis of convincing alternative arguments for affirmance
made to the State’s highest court or equivalent evidence presented
in its briefing to the federal court similarly establishing that
the State’s highest court relied on a different ground than the
lower state court, such as the existence of a valid ground for
affirmance that is obvious from the state-court record. The dissent
argues that the Georgia Supreme Court’s recent decision in
Redmon v.
Johnson rebuts the presumption in Georgia
because that court indicated its summary decisions should not be
read to adopt the lower court’s reasoning.
Post, at 6–8,
10–11 (opinion of Gorsuch, J.). This misses the point. A
presumption that can be rebutted by evidence of, for instance, an
alternative ground that was argued or that is clear in the record
was the likely basis for the decision is in accord with full and
proper respect for state courts, like those in Georgia, which have
well-established systems and procedures in place in order to ensure
proper consideration to the arguments and contention in the many
cases they must process to determine whether relief should be
granted when a criminal conviction or its ensuing sentence is
challenged.
The State also points out that we do not
necessarily presume that a silent opinion of a federal court of
appeals adopts the reasoning of the court below. The dissent
similarly invokes these “traditional rules of appellate practice.”
See
post, at 5–6, 10. But neither the State nor the dissent
provides examples of similar context. Were we to adopt a “look
through” approach in respect to silent federal appeals court
decisions as a general matter in other contexts, we would risk
judges and lawyers reading those decisions as creating, through
silence, a precedent that could be read as binding throughout the
circuit—just what a silent decision may be thought not to do. Here,
however, we “look through” the silent decision for a spe- cific and
narrow purpose—to identify the grounds for the higher court’s
decision, as AEDPA directs us to do. See
supra, at 1–2. We
see no reason why the federal court’s interpretation of the state
court’s silence should be taken as binding precedent outside this
context, for example, as a statewide binding interpretation of
state law.
Further, the State argues that the “look
through” approach shows disrespect for the States. See Brief for
Respondent 39 (“Wilson’s approach to summary decisions reflects an
utter lack of faith in the ability of the highest state courts to
adjudicate constitutional rights”). We do not believe this is so.
Rather the presumption seeks to replicate the grounds for the
higher state court’s decision. Where there are convincing grounds
to believe the silent court had a different basis for its decision
than the analysis followed by the previous court, the federal
habeas court is free, as we have said, to find to the contrary. In
our view, this approach is more likely to respect what the state
court actually did, and easier to apply in practice, than to ask
the federal court to substitute for silence the federal court’s
thought as to more supportive reasoning.
Finally, the State argues that the “look
through” approach will lead state courts to believe they must write
full opinions where, given the workload, they would have preferred
to have decided summarily. Though the matter is empirical, given
the narrowness of the context, we do not believe that they will
feel compelled to do so—at least not to any significant degree. The
State offers no such evidence in the many Circuits that have
applied
Ylst outside the procedural context. See
supra, at 5.
For these reasons, we reverse the Eleventh
Circuit’s judgment and remand the case for further proceedings
consistent with this opinion.
It is so ordered.