No.
96-6867
JOSEPH ROGER O'DELL,
III, PETITIONER
on writ of certiorari to the
united states court of appeals for the fourth
circuit
Justice
Thomas delivered the opinion of the Court.
This case
presents the question whether the rule set out
in Simmons v. South Carolina, 512
U.S. 154 (1994)--which requires that a capital
defendant be permitted to inform his sentencing
jury that he is parole ineligible if the
prosecution argues that he presents a future
danger--was "new" within the meaning of
Teague v. Lane, 489 U.S. 288 (1989),
and thereby inapplicable to an already final
death sentence. We conclude that it was new, and
that it cannot, therefore, be used to disturb
petitioner's death sentence, which had been
final for six years when Simmons was
decided.
Helen
Schartner was last seen alive late in the
evening of February 5, 1985, leaving the County
Line Lounge in Virginia Beach, Virginia. Her
lifeless body was discovered the next day, in a
muddy field across a highway from the lounge.
Schartner's head had been laid open by several
blows with the barrel of a handgun, and she had
been strangled with such violence that bones in
her neck were broken and finger imprints were
left on her skin.
An abundance
of physical evidence linked petitioner to the
crime scene and crime--among other things, tire
tracks near Schartner's body were consistent
with petitioner's car, and bodily fluids
recovered from Schartner's body matched
petitioner. He was indicted on counts of capital
murder, rape, sodomy, and abduction (which count
was later dismissed).
After a jury
trial, petitioner was found guilty on the murder,
rape, and sodomy counts. During the subsequent
sentencing hearing, the prosecution sought to
establish two aggravating factors: that
petitioner presented a future danger, and that
the murder had been "wanton, vile or inhuman."
Evidence was
presented that, prior to Schartner's murder,
petitioner had been convicted of a host of other
offenses, including the kidnaping and assault of
another woman while he was on parole, and the
murder of a fellow inmate during an earlier
prison stint.
Petitioner
sought a jury instruction explaining that he was
not eligible for parole if sentenced to life in
prison. The trial judge denied petitioner's
request. After the sentencing hearing, the jury
found beyond a reasonable doubt that petitioner
"would constitute a continuous serious threat to
society" and that "his conduct in committing the
offense was outrageously wanton, vile, or
inhuman." 46 Record 208. The jury recommended
that petitioner be sentenced to death.
Petitioner
then filed a federal habeas claim. He contended,
inter alia, that newly obtained DNA
evidence established that he was actually
innocent, and that his death sentence was faulty
because he had been prevented from informing the
jury of his ineligibility for parole. The
District Court rejected petitioner's claim of
innocence. O'Dell v. Thompson, Civ.
Action No. 3:92CV480 (ED Va., Sept. 6, 1994),
App. 171-172. But it agreed with petitioner that
he was entitled to resentencing under the
intervening decision in Simmons v.
South Carolina, supra.
The District
Court described Simmons as holding "that
where the defendant's future dangerousness is at
issue, and state law prohibits the defendant's
release on parole, the Due Process Clause of the
Fourteenth Amendment requires that the
sentencing jury be informed that the defendant
is not eligible for parole." App. 198.
The court
concluded that the Simmons rule was not
new and thus was available to petitioner.
Because the prosecutor "obviously used O'Dell's
prior releases on cross examination, and in his
closing argument, to argue that the defendant
presented a future danger to society," App. 201
(citations omitted), the District Court held
that petitioner was entitled to be resentenced
if it could be demonstrated that he were in fact
ineligible for parole.
A divided en
banc Court of Appeals for the Fourth Circuit
reversed. 95 F. 3d 1214 (1996). After an
exhaustive review of our precedents, the Court
of Appeals majority determined that "Simmons
was the paradigmatic `new rule,' " id.,
at 1218, and, as such, could not aid petitioner.
The Fourth Circuit was closely divided as to
whether Simmons set forth a new rule, but
every member of the court agreed that
petitioner's "claim of actual innocence [was]
not even colorable." 95 F. 3d, at 1218; see also
id., at 1255-1256 (Ervin, J., concurring
in part and dissenting in part). We declined
review on petitioner's claim of actual innocence,
but granted certiorari to determine whether the
rule of Simmons was new. 519 U. S. ___
(1996); see also ibid. (Scalia, J.,
respecting the grant of certiorari).
Before a
state prisoner may upset his state conviction or
sentence on federal collateral review, he must
demonstrate as a threshold matter that the court
made rule of which he seeks the benefit is not "new."
We have stated variously the formula for
determining when a rule is new. See, e.g.,
Graham v. Collins, 506 U.S. 461,
467 (1993) ("A holding constitutes a `new rule'
within the meaning of Teague if it
`breaks new ground,' `imposes a new obligation
on the States or the Federal Government,' or was
not `dictated by precedent existing at
the time the defendant's conviction became
final' ") (quoting Teague, 489 U. S., at
301) (emphasis in original).
At bottom,
however, the Teague doctrine "validates
reasonable, good faith interpretations of
existing precedents made by state courts even
though they are shown to be contrary to later
decisions." Butler v. McKellar,
494 U.S. 407, 414 (1990) (citation omitted). "Reasonableness,
in this as in many other contexts, is an
objective standard." Stringer v.
Black, 503 U.S. 222, 237 (1992).
Accordingly,
we will not disturb a final state conviction or
sentence unless it can be said that a state
court, at the time the conviction or sentence
became final, would have acted objectively
unreasonably by not extending the relief later
sought in federal court.
The
Teague inquiry is conducted in three steps.
First, the date on which the defendant's
conviction became final is determined.
Lambrix v. Singletary, 520 U. S. ___,
___ (1997) (slip op., at 8). Next, the habeas
court considers whether "a state court
considering [the defendant's] claim at the time
his conviction became final would have felt
compelled by existing precedent to conclude that
the rule [he] seeks was required by the
Constitution." Ibid. (quoting Saffle
v. Parks, 494 U.S. 484, 488 (1990)) (alterations
in Lambrix). If not, then the rule is new.
If the rule is determined to be new, the final
step in the Teague analysis requires the
court to determine whether the rule nonetheless
falls within one of the two narrow exceptions to
the Teague doctrine. 520 U. S., at ___.
The first,
limited exception is for new rules "forbidding
criminal punishment of certain primary conduct [and]
rules prohibiting a certain category of
punishment for a class of defendants because of
their status or offense." Penry v.
Lynaugh, 492 U.S. 302, 330 (1989).
The second,
even more circumscribed, exception permits
retroactive application of "watershed rules of
criminal procedure implicating the fundamental
fairness and accuracy of the criminal proceeding."
Graham, supra, at 478 (quoting
Teague, 489 U. S., at 311) (internal
quotation marks omitted). "Whatever the precise
scope of this [second] exception, 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." Graham, supra, at 478 (internal
quotation marks omitted).
Petitioner's
conviction became final on October 3, 1988, when
we declined to review the Virginia Supreme
Court's decision affirming his sentence on
direct review. Simmons, the rule of which
petitioner now seeks to avail himself, was
decided in 1994.
In
Simmons, the defendant had been found guilty
of capital murder for the brutal killing of an
elderly woman. The defendant had also assaulted
other elderly women, resulting in convictions
that rendered him--at least as of the time he
was sentenced--ineligible for parole.
Prosecutors in South Carolina are permitted to
argue to sentencing juries that defendants'
future dangerousness is an appropriate
consideration in determining whether to affix a
sentence of death. 512 U. S., at 162-163 (plurality
opinion). Simmons sought to rebut the
prosecution's "generalized argument of future
dangerousness" by presenting the jury with
evidence that "his dangerousness was limited to
elderly women," none of whom he was likely to
encounter in prison. Id., at 157.
Simmons'
efforts to shore up this argument by
demonstrating to the jury that, under South
Carolina law, he was ineligible for parole were
rebuffed by the trial court. This Court reversed
the judgment of the South Carolina Supreme Court
upholding Simmons' death sentence.
A plurality
of the Court noted that a prosecutor's future
dangerousness argument will "necessarily [be]
undercut" by "the fact that the alternative
sentence to death is life without parole." Id.,
at 169. The plurality, relying on Gardner
v. Florida, 430 U.S. 349 (1977), and
Skipper v. South Carolina, 476 U.S. 1
(1986), concluded that "[b]ecause truthful
information of parole ineligibility allows the
defendant to `deny or explain' the showing of
future dangerousness, due process plainly
requires that he be allowed to bring it to the
jury's attention." 512 U. S., at 169.
Justice
O'Connor, joined by The Chief Justice and
Justice Kennedy, concurred in the judgment,
providing the dispositive votes necessary to
sustain it. The concurrence recognized:
"[The
Court has] previously noted with approval . . .
that `[m]any state courts have held it improper
for the jury to consider or to be informed--through
argument or instruction--of the possibility of
commutation, pardon, or parole.' California
v. Ramos, 463 U. S. [992, 1013, n. 30
(1983)]. The decision whether or not to inform
the jury of the possibility of early release is
generally left to the States." Id., at
176.
The
concurrence also distinguished Skipper,
noting that Skipper involved an attempt
to introduce "factual evidence" regarding the
defendant himself, while Simmons "sought to rely
on the operation of South Carolina's sentencing
law" to demonstrate that he did not present a
future danger. 512 U. S., at 176. But the
concurrence nonetheless concluded that, "[w]hen
the State seeks to show the defendant's future
dangerousness," the defendant "should be allowed
to bring his parole ineligibility to the jury's
attention." Id., at 177.
Petitioner
asserts that the Simmons rule covers his
case, and that because he was parole ineligible--but
not allowed to relay that information to the
jury in order to rebut the prosecutor's argument
as to his future dangerousness--Simmons
requires vacatur of his sentence. Before we can
decide whether petitioner's claim falls within
the scope of Simmons, we must determine
whether the rule of Simmons was new for
Teague purposes, and, if so, whether that
rule falls within one of the two exceptions to
Teague's bar.
We observe,
at the outset, that Simmons is an
unlikely candidate for "old rule" status. As
noted above, there was no opinion for the Court.
Rather, Justice Blackmun's plurality opinion,
for four Members, concluded that the Due Process
Clause required allowing the defendant to inform
the jury--through argument or instruction--of
his parole ineligibility in the face of a
prosecution's future dangerousness argument. 512
U. S., at 168-169. Two members of the plurality,
Justice Souter and Justice Stevens, would have
further held that the Eighth Amendment mandated
that the trial court instruct the jury on a
capital defendant's parole ineligibility even if
future dangerousness was not at issue. Id.,
at 172-174 (Souter, J., concurring). Justice
Ginsburg, also a member of the plurality, wrote
a concurrence grounded in the Due Process Clause.
Id., at 174-175.
The Chief
Justice and Justice Kennedy joined Justice
O'Connor's decisive opinion concurring in the
judgment, as described above. Id., at
175-178. And, two Justices dissented, arguing
that the result did not "fit" the Court's
precedents and that it was not, in any case,
required by the Constitution. Id., at
180, 185 (opinion of Scalia, J., joined by
Thomas, J.). The array of views expressed in
Simmons itself suggests that the rule
announced there was, in light of this Court's
precedent, "susceptible to debate among
reasonable minds." Butler, 494 U. S., at
415; cf. Sawyer v. Smith, 497 U.S.
227, 236-237 (1990) (citing, as evidence that
Caldwell v. Mississippi, 472 U.S. 320
(1985), announced a new rule, the views of the
three Caldwell dissenters). An assessment
of the legal landscape existing at the time
petitioner's conviction and sentence became
final bolsters this conclusion.
Petitioner's
review of the relevant precedent discloses the
decisions relied upon in Simmons, namely
Gardner v. Florida, supra
and Skipper v. South Carolina,
supra. Petitioner asserts that a reasonable
jurist considering his claim in light of those
two decisions "would have felt `compelled . . .
to conclude that the rule [petitioner] seeks was
required by the Constitution.' " Brief for
Petitioner 14 (quoting Saffle, 494 U. S.,
at 488) (emphasis omitted).
In
Gardner, the defendant received a death
sentence from a judge who had reviewed a
presentence report that was not made available
to the defendant. Gardner produced no
opinion for the Court. A plurality of the Court
concluded that the defendant "was denied due
process of law when the death sentence was
imposed, at least in part, on the basis of
information which he had no opportunity to deny
or explain." 430 U. S., at 362. Justice White
concurred in the judgment, providing the
narrowest grounds of decision among the Justices
whose votes were necessary to the judgment. Cf.
Marks v. United States, 430 U.S.
188, 193 (1977).
He concluded
that the Eighth Amendment was violated by a "procedure
for selecting people for the death penalty which
permits consideration of such secret information
relevant to the character and record of the
individual offender." 430 U. S., at 364 (internal
quotation marks omitted; emphasis added).
In
Skipper, the prosecutor argued during the
penalty phase that a death sentence was
appropriate because the defendant "would pose
disciplinary problems if sentenced to prison and
would likely rape other prisoners." 476 U. S.,
at 3. Skipper's efforts to introduce evidence
that he had behaved himself in, and made a "good
adjustment" to, jail in the time between his
arrest and his trial were rejected by the trial
court. Ibid. The Court concluded: "[E]vidence
that the defendant would not pose a danger if
spared (but incarcerated) must be considered
potentially mitigating. Under Eddings [v.
Oklahoma, 455 U.S. 104 (1982)], such
evidence may not be excluded from the
sentencer's consideration." 476 U. S., at 5 (footnote
omitted). This holding was grounded, as was
Eddings, in the Eighth Amendment.
The Court
also cited the Due Process Clause, stating that
"[w]here the prosecution specifically relies on
a prediction of future dangerousness in asking
for the death penalty" due process required that
"a defendant not be sentenced to death `on the
basis of information which he had no opportunity
to deny or explain.' " 476 U. S., at 5, n. 1 (quoting
Gardner, supra, at 362).
Simmons,
argues petitioner, presented merely a variation
on the facts of Skipper. In each, the
prosecution raised the issue of future
dangerousness. Skipper was unconstitutionally
prevented from demonstrating that he had behaved
in prison and thus would not be a danger to his
fellow prisoners. Simmons, likewise, says
petitioner, was not allowed to inform the jury
that he would be in, rather than out of, prison
and so could not present a danger to elderly
women. Because the rule of Simmons was
allegedly set forth in the 1986 decision in
Skipper, which in turn relied upon the 1977
decision in Gardner, petitioner argues
that his death sentence was flawed when affirmed
in 1988, and we may set it aside without running
afoul of Teague.
Even were
these two cases the sum total of relevant
precedent bearing on the rule of Simmons,
petitioner's argument that the result in
Simmons followed ineluctably would not be
compelling. Gardner produced seven
opinions, none for a majority of the Court.
Taking the view expressed in Justice White's
opinion concurring in the judgment as the rule
of Gardner, see Marks, supra,
at 193, the holding is a narrow one--that "[a]
procedure for selecting people for the death
penalty which permits consideration of . . .
secret information relevant to the character
and record of the individual offender"
violates the Eighth Amendment's requirement of "reliability
in the determination that death is the
appropriate punishment. " 430 U. S., at 364) (citation
and internal quotation marks omitted; emphasis
added). Petitioner points to no secret evidence
given to the sentencer but not to him. And, the
evidence that he sought to present to the jury
was not historical evidence about his "character
and record," but evidence concerning the
operation of the extant legal regime.
In
Skipper, too, the evidence that the
defendant was unconstitutionally prevented from
adducing was evidence of his past behavior. It
is a step from a ruling that a defendant must be
permitted to present evidence of that sort to a
requirement that he be afforded an opportunity
to describe the extant legal regime. Cf.
Simmons, 512 U. S., at 176 (O'Connor, J.,
concurring in judgment).
Whatever
support Gardner and Skipper,
standing alone, might lend to petitioner's claim
that Simmons was a foregone conclusion,
the legal landscape in 1988 was far more complex.
Respondent points to, and the Fourth Circuit
majority relied on, two other cases that had
been decided by the time petitioner's conviction
became final and that bear on its
constitutionality: California v.
Ramos, 463 U.S. 992 (1983), and Caldwell
v. Mississippi, 472 U.S. 320 (1985). In
Ramos, the Court upheld an instruction
that informed the jury that a defendant
sentenced to life in prison without parole could
nonetheless be rendered parole eligible if the
Governor elected to commute his sentence.
The Court
concluded that the instruction neither
introduced a constitutionally irrelevant factor
into the sentencing process, Ramos, 463
U. S., at 1001-1004, nor diverted the jury's
attention from the task of rendering an "individualized
sentencing determination," id., at 1005.
Within the bounds of the Constitution, the Court
stated that it would defer to California's "identification
of the Governor's power to commute a life
sentence as a substantive factor to be presented
for the sentencing jury's consideration." Id.,
at 1013.
We
emphasized, however, that this conclusion was
not to be taken to "override the contrary
judgment of state legislatures" that capital
juries not learn of a governor's
commutation power. Ibid. "Many state
courts," we pointed out, "have held it improper
for the jury to consider or to be informed--through
argument or instruction--of the possibility of
commutation, pardon, or parole." Id.,
at 1013, n. 30 (emphasis added); see also
ibid. (citing, inter alia, Ga. Code
Ann. §17-8-76 (1982), and describing that
statute as "prohibiting argument as to
possibility of pardon, parole, or
clemency") (emphasis added).
"We sit as judges, not as legislators, and the
wisdom of the decision to permit juror
consideration of possible commutation is best
left to the States." 463 U. S., at 1014.
The
dissenters in Ramos disputed the
constitutionality of ever informing
juries of the governor's power to commute a
death sentence. See id., at 1018 (opinion
of Marshall, J., joined by Brennan and Blackmun,
JJ.); see also id., at 1019-1020 (asserting
that consideration by a capital sentencing jury
of a defendant's prospects for commutation or
parole is unconstitutional).
The general
proposition that the States retained the
prerogative to determine how much (if at all)
juries would be informed about the
postsentencing legal regime was given further
credence in Caldwell v. Mississippi,
supra. In that case, the prosecution and
the judge had, the Court concluded, improperly
left the jury with the impression that a death
sentence was not final because it would be
extensively reviewed. Justice Marshall authored
the opinion for the Court except for one portion.
In that
portion, Justice Marshall--writing for a
plurality--concluded that, Ramos
notwithstanding, sentencing juries were not to
be given information about postsentencing
appellate proceedings. Justice O'Connor, who
provided the fifth vote necessary to the
judgment, did not join this portion of Justice
Marshall's opinion.
She wrote
separately, stating that, under Ramos, a
State could choose whether or not to "instruc[t]
the jurors on the sentencing procedure,
including the existence and limited nature of
appellate review," so long as any information it
chose to provide was accurate. 472 U. S., at 342
(O'Connor, J., concurring in part and concurring
in judgment).
In light of
Ramos and Caldwell, we think it
plain that, a reasonable jurist in 1988 would
not have felt compelled to adopt the rule
later set out in Simmons. As noted above,
neither Gardner nor Skipper
involved a prohibition on imparting information
concerning what might happen, under then extant
law, after a sentence was imposed. Rather, the
information at issue in each case was
information pertaining to the defendant's "character
and record."
Although the
principal opinions in Simmons found
Skipper (which, in turn, relied on
Gardner) persuasive, Justice O'Connor
distinguished Skipper from the facts
presented in Simmons on this very ground,
see 512 U. S., at 176 (opinion concurring in
judgment), suggesting that the rule announced in
Simmons was not inevitable. See also
id., at 183 (Scalia, J., dissenting).
That
distinction--between information concerning
state postsentencing law on the one hand and
evidence specifically related to the defendant
on the other--was also at the heart of Ramos
and Caldwell. In Ramos, the
majority concluded that California had
reasonably chosen to provide some, limited,
postsentence information to the capital
sentencing jury--though it noted that many other
States had elected just the opposite.
The
principal dissent in Ramos would have
forbidden the provision of any
information about postsentence occurrences for
the very reason that it did not constitute
evidence concerning the defendant's "character
or the nature of his crime." 463 U. S., at 1022
(opinion of Marshall, J.). In Caldwell,
the plurality and Justice O'Connor contested
whether the fact that "appellate review is
available to a capital defendant sentenced to
death" was "simply a factor that in itself is
wholly irrelevant to the determination of the
appropriate sentence" (as the plurality
concluded, 472 U. S., at 336), or whether
provision of that information was a
constitutional "policy choice in favor of jury
education" (as Justice O'Connor concluded, id.,
at 342 (opinion concurring in part and
concurring in judgment)).
A reasonable
jurist in 1988, then, could have drawn a
distinction between information about a
defendant and information concerning the extant
legal regime. It would hardly have been
unreasonable in light of Ramos and
Caldwell for the jurist to conclude that his
State had acted constitutionally by choosing not
to advise its jurors as to events that would (or
would not) follow their recommendation of a
death sentence, as provided by the legal regime
of the moment. Indeed, given the sentiments,
expressed in Justice Marshall's Ramos
dissent and Caldwell plurality, that
information about postsentence procedures was
never to go to the jury and given that the
decision whether to provide such information had
been described by the Ramos majority
opinion and Justice O'Connor's concurrence in
Caldwell as a "policy choice" left to the
States, the reasonable jurist may well have
concluded that the most surely constitutional
course, when confronted with a request to inform
a jury about a defendant's parole eligibility,
was silence.
Teague
asks state court judges to judge reasonably, not
presciently. See Stringer v. Black,
503 U. S., at 244 (Souter, J., dissenting). In
Simmons, the Court carved out an
exception to the general rule described in
Ramos by, for the first time ever, requiring
that a defendant be allowed to inform the jury
of postsentencing legal eventualities. A 1988
jurist's failure to predict this cannot, we
think, be deemed unreasonable. Accordingly, the
rule announced in Simmons was new, and
petitioner may not avail himself of it unless
the rule of Simmons falls within one of
the exceptions to Teague's bar.
Petitioner
contends that, even if it is new, the rule of
Simmons falls within the second exception to
Teague, which permits retroactive
application of " `watershed rules of criminal
procedure' implicating the fundamental fairness
and accuracy of the criminal proceeding."
Graham, 506 U. S., at 478 (quoting Teague,
489 U. S., at 311). Petitioner describes the "practice
condemned in Simmons" as a "shocking one."
Brief for Petitioner 33.
The rule
forbidding it, we are told, is "on par" with
Gideon v. Wainwright, 372 U.S. 335
(1963)--which we have cited as an example of the
sort of rule falling within Teague's
second exception, see Saffle, 494 U. S.,
at 495--because "both cases rest upon this
Court's belief that certain procedural
protections are essential to prevent a
miscarriage of justice," Brief for Petitioner 35
(citations omitted). We disagree.
For the
reasons stated herein, the judgment of the Court
of Appeals is affirmed.
It is so
ordered.