home *** CD-ROM | disk | FTP | other *** search
- 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, Wash-
- ington, 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. 91-1738
- --------
- JERRY D. GILMORE, PETITIONER v. KEVIN
- TAYLOR
- on writ of certiorari to the united states court
- of appeals for the seventh circuit
- [June 7, 1993]
-
- Chief Justice Rehnquist delivered the opinion of the
- Court.
- Respondent Kevin Taylor was convicted of murder by
- an Illinois jury and sentenced to 35 years' imprisonment.
- After his conviction and sentence became final, he sought
- federal habeas relief on the ground that the jury instruc-
- tions given at his trial violated the Fourteenth
- Amendment's Due Process Clause. The Court of Appeals
- for the Seventh Circuit granted relief on the basis of its
- recent decision in Falconer v. Lane, 905 F. 2d 1129 (1990),
- which held that the Illinois pattern jury instructions on
- murder and voluntary manslaughter were unconstitutional
- because they allowed a jury to return a murder verdict
- without considering whether the defendant possessed a
- mental state that would support a voluntary-manslaughter
- verdict instead. We conclude that the rule announced in
- Falconer was not dictated by prior precedent, and is
- therefore -new- within the meaning of Teague v. Lane,
- 489 U. S. 288 (1989). Accordingly, the Falconer rule may
- not provide the basis for federal habeas relief in
- respondent's case.
- Early one morning in September 1985, respondent
-
- became involved in a dispute with his former wife and her
- live-in boyfriend, Scott Siniscalchi, over custodial arrange-
- ments for his daughter. A fracas ensued between the
- three adults, during which respondent stabbed Siniscalchi
- seven times with a hunting knife. Siniscalchi died from
- these wounds, and respondent was arrested at his home
- later that morning.
- Respondent was charged with murder. Ill. Rev. Stat.,
- ch. 38, -9-1 (1985). At trial, he took the stand and
- admitted killing Siniscalchi, but claimed he was acting
- under a sudden and intense passion provoked by
- Siniscalchi, and was therefore only guilty of the lesser-
- included offense of voluntary manslaughter. -9-2. At the
- close of all the evidence, the trial judge found that there
- was sufficient evidence supporting respondent's -heat of
- passion- defense to require an instruction on voluntary
- manslaughter, and instructed the jury as follows:
- -To sustain the charge of murder, the State must
- prove the following propositions:
- -First: That the Defendant performed the acts which
- caused the death of Scott Siniscalchi; and
- -Second: That when the Defendant did so he in-
- tended to kill or do great bodily harm to Scott
- Siniscalchi; or he knew that his act would cause
- death or great bodily harm to Scott Siniscalchi; or he
- knew that his acts created a strong probability of
- death or great bodily harm to Scott Siniscalchi; or he
- was committing the offense of home invasion.
- -If you find from your consideration of all the
- evidence that each one of these propositions has been
- proved beyond a reasonable doubt, you should find the
- Defendant guilty.
- -If you find from your consideration of all the
- evidence that any one of these propositions has not
- been proved beyond a reasonable doubt, you should
- find the Defendant not guilty.
- . . . . .
- -To sustain the charge of voluntary manslaughter,
- the evidence must prove the following propositions:
- -First: That the Defendant performed the acts which
- caused the death of Scott Siniscalchi; and
- -Second: That when the Defendant did so he in-
- tended to kill or do great bodily harm to Scott
- Siniscalchi; or he knew that such acts would [sic]
- death or great bodily harm to Scott Siniscalchi; or he
- knew that such acts created a strong probability of
- death or great bodily harm to Scott Siniscalchi;
- -Third: That when the Defendant did so he acted
- under a sudden and intense passion, resulting from
- serious provocation by another.
- -If you find from your consideration of all the
- evidence that each one of these propositions has been
- proved beyond a reasonable doubt, you should find the
- Defendant guilty.
- -If you find from your consideration of all the
- evidence that any one of these propositions has not
- been proved beyond a reasonable doubt, you should
- find the Defendant not guilty.
- -As stated previously, the Defendant is charged with
- committing the offense of murder and voluntary
- manslaughter. If you find the Defendant guilty, you
- must find him guilty of either offense; but not both.
- On the other hand, if you find the Defendant not
- guilty, you can find him not guilty on either or both
- offenses.- App. 128-131.
- These instructions were modeled after, and virtually
- identical to, the Illinois pattern jury instructions on
- murder and voluntary manslaughter, which were formally
- adopted in 1981, Illinois Pattern Jury Instructions-
- Criminal 7.02 and 7.04 (2d ed. 1981), but had been
- uniformly given by Illinois judges since 1961, when
- the State enacted the definitions of murder and vol-
- untary manslaughter that governed until 1987. See
- Haddad, Allocation of Burdens in Murder-VoluntaryManslaughter Cases: An Affirmative Defense Approach,
- 59 Chi.-Kent L. Rev. 23 (1982). Respondent did not
- object to the instructions. The jury returned a guilty
- verdict on the murder charge, and respondent was sen-
- tenced to 35 years' imprisonment.
- Respondent unsuccessfully challenged his conviction on
- appeal, then filed a petition for state postconviction relief.
- The Circuit Court dismissed the petition. But while
- respondent's appeal was pending, the Illinois Supreme
- Court invalidated the Illinois pattern jury instructions on
- murder and voluntary manslaughter. People v. Reddick,
- 123 Ill. 2d 184, 526 N. E. 2d 141 (1988). According to the
- Supreme Court, under Illinois law, the instructions should
- have placed on the prosecution the burden of disproving
- beyond a reasonable doubt that the defendant possessed
- a mitigating mental state. Id., at 197, 526 N. E. 2d, at
- 146. Respondent sought to take advantage of Reddick on
- appeal, but the Court of Appeals affirmed the denial of
- postconviction relief on the ground that Reddick did not
- involve constitutional error, the only type of error that
- would support the grant of relief. People v. Taylor, 181
- Ill. App. 3d 538, 536 N. E. 2d 1312 (1989). The Illinois
- Supreme Court denied respondent's request for leave to
- appeal.
- Having exhausted his state remedies, respondent sought
- federal habeas relief, attacking his conviction on the
- ground that the jury instructions given at his trial vio-
- lated due process. Eleven days later, the Court of Ap-
- peals for the Seventh Circuit held as much in Falconer v.
- Lane, 905 F. 2d 1129 (1990). The defect identified by the
- Falconer court was quite different from that identified in
- Reddick: Because the murder instructions preceded the
- voluntary-manslaughter instructions, but did not expressly
- direct the jury that it could not return a murder convic-
- tion if it found that the defendant possessed a mitigating
- mental state, it was possible for a jury to find that a
- defendant was guilty of murder without even considering
- whether he was entitled to a voluntary-manslaughter
- conviction instead. 905 F. 2d, at 1136. -Explicit misdirec-
- tion on this scale,- the Seventh Circuit held, -violates the
- constitutional guarantee of due process.- Id., at 1137. In
- reaching this conclusion, the Court of Appeals placed
- principal reliance on Cupp v. Naughten, 414 U. S. 141
- (1973).
- At respondent's federal habeas proceeding, the State
- conceded that the jury instructions given at respondent's
- trial were unconstitutional under Falconer, but argued
- that the rule announced in Falconer was -new- within the
- meaning of Teague v. Lane, 489 U. S. 288 (1989), and
- therefore could not form the basis for federal habeas
- relief. The District Court agreed, but the Court of Ap-
- peals reversed. 954 F. 2d 441 (1992). Although the
- Seventh Circuit now thought Cupp was -too general to
- have compelled Falconer within the meaning of Teague,-
- 954 F. 2d, at 452, it concluded that Boyde v. California,
- 494 U. S. 370 (1990), and Connecticut v. Johnson, 460
- U. S. 73 (1983) (plurality opinion), were -specific enough
- to have compelled- the result reached in Falconer, 954
- F. 2d, at 453. Accordingly, the Court of Appeals held that
- the rule announced in Falconer was not -new- within the
- meaning of Teague, and that Teague therefore did not bar
- the retroactive application of Falconer in respondent's
- case. Id., at 453. We granted certiorari, 506 U. S. --
- (1992), and now reverse.
- The retroactivity of Falconer under Teague and its
- progeny is the only question before us in this case.
- Subject to two narrow exceptions, a case that is decided
- after a defendant's conviction and sentence become final
- may not provide the basis for federal habeas relief if it
- announces a -new rule.- Graham v. Collins, 506 U. S.
- --, -- (1993) (slip op., at 5); Stringer v. Black, 503
- U. S. --, -- (1992) (slip op., at 4); Teague, supra, at
- 305-311 (plurality opinion). Though we have offered
- various formulations of what constitutes a new rule, put
- -meaningfully for the majority of cases, a decision an-
- nounces a new rule `if the result was not dictated by
- precedent existing at the time the defendant's conviction
- became final.'- Butler v. McKellar, 494 U. S. 407, 412
- (1990) (quoting Teague, supra, at 301 (emphasis in origi-
- nal)); see also Graham, supra, at --, (slip op., at 5);
- Sawyer v. Smith, 497 U. S. 227, 234 (1990); Saffle v.
- Parks, 494 U. S. 484, 488 (1990); Penry v. Lynaugh, 492
- U. S. 302, 329 (1989). -The `new rule' principle . . .
- validates reasonable, good-faith interpretations of existing
- precedents made by state courts,- 494 U. S., at 414, and
- thus effectuates the States' interest in the finality of
- criminal convictions and fosters comity between federal
- and state courts.
- We begin our analysis with the actual flaw found by the
- Falconer court in the challenged jury instructions. It was
- not that they somehow lessened the State's burden of
- proof below that constitutionally required by cases such
- as In re Winship, 397 U. S. 358 (1970); nor was it that
- the instructions affirmatively misstated applicable state
- law. (The Court of Appeals in no way relied upon People
- v. Reddick, supra, which the Illinois Supreme Court had
- subsequently held was subject to prospective application
- only. People v. Flowers, 138 Ill. 2d 218, 561 N. E. 2d 674
- (1990).) Rather, the flaw identified by the Falconer court
- was that when the jury instructions were read consecu-
- tively, with the elements of murder set forth before the
- elements of voluntary manslaughter, a juror could con-
- clude that the defendant was guilty of murder after
- applying the elements of that offense without continuing
- on to decide whether the elements of voluntary man-
- slaughter were also made out, so as to justify returning
- a verdict on that lesser offense instead.
- In concluding that this defect violated due process, the
- Falconer court relied on Cupp v. Naughten, supra. That
- case involved a due process challenge to a jury instruction
- that witnesses are presumed to tell the truth, which the
- defendant claimed had the effect of shifting the burden of
- proof on his innocence. Because the jury had been
- explicitly instructed on the defendant's presumption of
- innocence as well as the State's burden of proving guilt
- beyond a reasonable doubt, we held that the instruction
- did not amount to a constitutional violation. See 414
- U. S., at 149.
- We think Cupp is an unlikely progenitor of the rule
- announced in Falconer, a view now shared by the Seventh
- Circuit. The cases following Cupp in the Winship line
- establish that States must prove guilt beyond a reasonable
- doubt with respect to every element of the offense
- charged, but that they may place on defendants the
- burden of proving affirmative defenses. See Martin v.
- Ohio, 480 U. S. 228 (1987); Patterson v. New York, 432
- U. S. 197 (1977). The State argues that these later cases
- support the proposition that any error committed in
- instructing a jury with respect to an affirmative defense,
- which does not lessen the State's Winship burden in
- proving every element of the offense charged beyond a
- reasonable doubt, is one wholly of state law. Cf. Engle
- v. Isaac, 456 U. S. 107, 119-121, and n. 21 (1982)
- (challenge to correctness of self-defense instructions under
- state law provides no basis for federal habeas relief). We
- need not address this contention other than to say that
- cases like Patterson and Martin make it crystal clear that
- Cupp does not compel the result reached in Falconer.
- In its decision in the present case, the Court of Appeals
- offered two additional cases which it believed did dictate
- the result in Falconer. The first is Boyde v. California,
- supra. There, we clarified the standard for reviewing on
- federal habeas a claim that ambiguous jury instructions
- impermissibly restricted the jury's consideration of -consti-
- tutionally relevant evidence.- 494 U. S., at 380. Al-
- though Boyde was decided after respondent's conviction
- and sentence became final, it did not work a change in
- the law favoring criminal defendants, and therefore may
- be considered in our Teague analysis. See Lockhart v.
- Fretwell, 506 U. S. --, -- (1993) (slip op., at 7-8).
- Nevertheless, Boyde was a capital case, with respect to
- which we have held that the Eighth Amendment requires
- a greater degree of accuracy and fact finding than would
- be true in a noncapital case. See Herrera v. Collins, 506
- U. S. --, -- (1993) (slip op., at 7); Beck v. Alabama,
- 447 U. S. 625 (1980). Outside of the capital context, we
- have never said that the possibility of a jury misapplying
- state law gives rise to federal constitutional error. To the
- contrary, we have held that instructions that contain
- errors of state law may not form the basis for federal
- habeas relief. Estelle v. McGuire, 502 U. S. -- (1991).
- Moreover, under the standard fashioned in Boyde the
- relevant inquiry is -whether there is a reasonable likeli-
- hood that the jury has applied the challenged instruction
- in a way that prevents the consideration of constitu-
- tionally relevant evidence.- 494 U. S., at 380. In Boyde,
- the petitioner argued that the trial court's instruction on
- California's -catch-all- factor for determining whether a
- defendant should be sentenced to death restricted the
- jury's consideration of certain mitigating evidence. Since
- -[t]he Eighth Amendment requires that the jury be able
- to consider and give effect to all relevant mitigating
- evidence,- id., at 377-378, this evidence was plainly
- constitutionally relevant. In this case, by contrast,
- petitioner argues that the challenged instructions pre-
- vented the jury from considering evidence of his affirma-
- tive defense. But in a noncapital case such as this there
- is no counterpart to the Eighth Amendment's doctrine of
- -constitutionally relevant evidence- in capital cases.
- The Court of Appeals also relied on the plurality opinion
- in Connecticut v. Johnson, 460 U. S. 73 (1983). That case
- dealt with the question whether an instruction that
- violates due process under Sandstrom v. Montana, 442
- U. S. 510 (1979), may be subject to harmless-error analy-
- sis. But in the course of deciding this question, the
- plurality discussed the nature of Sandstrom error, and it
- is this discussion on which the Court of Appeals relied
- below. Sandstrom is a lineal descendant of Winship; it
- simply held that an instruction which creates a presump-
- tion of fact violates due process if it relieves the State of
- its burden of proving all of the elements of the offense
- charged beyond a reasonable doubt. The Court of Appeals
- read the Johnson plurality's discussion of Sandstrom as
- establishing the -due process principle- that instructions
- are unconstitutional if they lead -the jury to ignore
- exculpatory evidence in finding the defendant guilty of
- murder beyond a reasonable doubt.- 954 F. 2d, at 453
- (emphasis added). But neither Sandstrom nor Johnson
- can be stretched that far beyond Winship. The most that
- can be said of the instructions given at respondent's trial
- is that they created a risk that the jury would fail to
- consider evidence that related to an affirmative defense,
- with respect to which Winship's due process guarantee
- does not apply. See Martin v. Ohio, supra; Patterson v.
- New York, supra.
- Respondent offers a separate (but related) rationale he
- claims is supported by our cases and also compels the
- Seventh Circuit's ruling in Falconer: viz., the jury instruc-
- tions given at his trial interfered with his fundamental
- right to present a defense. We have previously stated
- that -the Constitution guarantees criminal defendants `a
- meaningful opportunity to present a complete defense.'-
- Crane v. Kentucky, 476 U. S. 683, 690 (1986) (quoting
- California v. Trombetta, 467 U. S. 479, 485 (1984)). But
- the cases in which we have invoked this principle dealt
- with the exclusion of evidence, see, e.g., Crane v. Ken-
- tucky, supra; Chambers v. Mississippi, 410 U. S. 284
- (1973), or the testimony of defense witnesses, see, e.g.,
- Webb v. Texas, 409 U. S. 95 (1972) (per curiam); Washing-
- ton v. Texas, 388 U. S. 14 (1967). None of them involved
- restrictions imposed on a defendant's ability to present an
- affirmative defense. Drawing on these cases, respondent
- argues that the right to present a defense includes the
- right to have the jury consider it, and that confusing
- instructions on state law which prevent a jury from
- considering an affirmative defense therefore violate due
- process. But such an expansive reading of our cases
- would make a nullity of the rule reaffirmed in Estelle v.
- McGuire, supra, that instructional errors of state law
- generally may not form the basis for federal habeas relief.
- And the level of generality at which respondent invokes
- this line of cases is far too great to provide any meaning-
- ful guidance for purposes of our Teague inquiry. See
- Saffle v. Parks, 494 U. S., at 491.
- For the foregoing reasons, we disagree with the Seventh
- Circuit and respondent that our precedent foreordained
- the result in Falconer, and therefore hold that the rule
- announced in Falconer is -new- within the meaning of
- Teague. All that remains to be decided is whether this
- rule falls into one of Teague's exceptions, under which a
- new rule may be given retroactive effect on collateral
- review. The first exception applies to those rules that
- -plac[e] certain kinds of primary, private individual
- conduct beyond the power of the criminal law-making
- authority to proscribe.- Teague v. Lane, 489 U. S., at 307
- (plurality opinion) (internal quotation marks omitted).
- This exception is clearly inapplicable here, since the rule
- announced in Falconer does not -decriminalize- any class
- of conduct. See Saffle v. Parks, supra, at 495. Teague's
- second exception permits the retroactive application of
- -`watershed rules of criminal procedure' implicating the
- fundamental fairness and accuracy of the criminal pro-
- ceeding.- 494 U. S., at 495 (quoting Teague, supra, at
- 311). This exception is also inapplicable. Although the
- Falconer court expressed concern that the jury might have
- been confused by the instructions in question, we cannot
- say that its holding falls into that -small core of rules
- requiring `observance of those procedures that . . . are
- implicit in the concept of ordered liberty.'- Graham
- v. Collins, 506 U. S., at -- (slip op. at 16-17) (quot-
- ing Teague, supra, at 311 (internal quotation marks
-
- omitted)).
- Because the rule announced in Falconer is -new- within
- the meaning of Teague, and does not fall into one of
- Teague's exceptions, it cannot provide the basis for federal
- habeas relief in respondent's case. The judgment of the
- Court of Appeals is therefore
- Reversed.
-