White v. Woodall
White v. Woodall
Opinion
*417
Respondent brutally raped, slashed with a box cutter, and drowned a 16-year-old
*1701
high-school student. After pleading guilty to murder, rape, and kidnaping, he was sentenced to death. The Kentucky Supreme Court affirmed the sentence, and we denied certiorari. Ten years later, the Court of Appeals for the Sixth Circuit granted respondent's petition for a writ of habeas corpus on his Fifth Amendment claim. In so doing, it disregarded the limitations of
I
On the evening of January 25, 1997, Sarah Hansen drove to a convenience store to rent a movie. When she failed to return home several hours later, her family called the police. Officers eventually found the vehicle Hansen had been driving a short distance from the convenience store. They followed a 400-to 500-foot trail of blood from the van to a nearby lake, where Hansen's unclothed, dead body was found floating in the water. Hansen's "throat had been slashed twice with each cut approximately 3.5 to 4 inches long," and "[h]er windpipe was totally severed."
Woodall v. Commonwealth,
*418
Authorities questioned respondent when they learned that he had been in the convenience store on the night of the murder. Respondent gave conflicting statements regarding his whereabouts that evening. Further investigation revealed that respondent's "fingerprints were on the van the victim was driving," "[b]lood was found on [respondent's] front door," "[b]lood on his clothing and sweatshirt was consistent with the blood of the victim," and "DNA on ... vaginal swabs" taken from the victim "was consistent with" respondent's.
Faced with overwhelming evidence of his guilt, respondent pleaded guilty to capital murder. He also pleaded guilty to capital kidnaping and first-degree rape, the statutory aggravating circumstance for the murder. See App. 78; Ky.Rev.Stat. Ann. § 532.025(2)(a) (West Supp. 2012). At the ensuing penalty-phase trial, respondent called character witnesses but declined to testify himself. Defense counsel asked the trial judge to instruct the jury that "[a] defendant is not compelled to testify and the fact that the defendant did not testify should not prejudice him in any way." App. 31. The trial judge denied the request, and the Kentucky Supreme Court affirmed that denial.
Woodall v. Commonwealth,supra,
at 115. While recognizing that the Fifth Amendment requires a no-adverse-inference instruction to protect a nontestifying defendant at the guilt phase, see
Carter v. Kentucky,
In 2006, respondent filed this petition for habeas corpus in Federal District Court. The District Court granted relief, holding, as relevant here, that the trial court's refusal to issue a no-adverse-inference instruction at the penalty phase violated respondent's Fifth Amendment privilege against
*419
self-incrimination.
Woodall v. Simpson,
No. 5:06CV-P216-R (W.D.Ky., Feb. 24, 2009), App. to Pet. for Cert. 58a-61a,
We granted certiorari. 570 U.S. ----,
II
A
Section 2254(d) of Title 28 provides that "[a]n application for a writ of habeas corpus on behalf of a person in custody pursuant to the judgment of a State court shall not be granted with respect to any claim that was adjudicated on the merits in State court proceedings unless the adjudication of the claim ... 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." "This standard," we recently reminded the Sixth Circuit, "is 'difficult to meet.' "
Metrish v. Lancaster,
569 U.S. ----, ----,
Both the Kentucky Supreme Court and the Court of Appeals identified as the relevant precedents in this area our decisions in
Carter,
Estelle v. Smith,
It is clear that the Kentucky Supreme Court's conclusion is not "contrary to" the actual holding of any of these cases.
*1703
We need not decide here, and express no view on, whether the conclusion that a no-adverse-inference instruction was
*421
required would be correct in a case not reviewed through the lens of § 2254(d)(1). For we are satisfied that the issue was, at a minimum, not "beyond any possibility for fairminded disagreement."
Harrington,
We have, it is true, held that the privilege against self-incrimination applies to the penalty phase. See
Estelle,
Indeed,
Mitchell
itself leaves open the possibility that some inferences might permissibly be drawn from a defendant's penalty-phase silence. In that case, the District Judge had actually
drawn
from the defendant's silence an adverse inference about the drug quantity attributable to the defendant. See
Second, regardless of the scope of respondent's proposed instruction, any inferences that could have been drawn from respondent's silence would arguably fall within the class of inferences as to which
Mitchell
leaves the door open. Respondent pleaded guilty to all of the charges he faced, including the applicable aggravating circumstances. Thus, Kentucky could not have shifted to respondent its "burden of proving facts relevant to the crime,"
The dissent insists that
Mitchell
is irrelevant because it merely declined to create an exception to the "normal rule," supposedly established by
Estelle,
"that a defendant is entitled to a requested no-adverse-inference instruction" at sentencing.
Post,
at 1707 (opinion of BREYER, J.). That argument disregards perfectly reasonable interpretations of
Estelle
and
Mitchell
and hence contravenes § 2254(d)'s deferential
*424
standard of review.
Estelle
did not involve an adverse inference based on the defendant's silence or a corresponding jury instruction. See
B
In arguing for a contrary result, respondent leans heavily on the notion that a state-court " 'determination may be set
*425
aside ... if, under clearly established federal law, the state court was unreasonable in refusing to extend the governing legal principle to a context in which the principle should have controlled.' " Brief for Respondent 21 (quoting
Ramdass v. Angelone,
The unreasonable-refusal-to-extend concept originated in a Fourth Circuit opinion we discussed at length in
Williams,
our first in-depth analysis of the Antiterrorism and Effective Death Penalty Act of 1996 (AEDPA). See
Two months later, a plurality paraphrased and applied the unreasonable-refusal-to-extend concept in
Ramdass
. See
Thus, this Court has never adopted the unreasonable-refusal-to-extend rule on which respondent relies. It has not been so much as endorsed in a majority opinion, let alone relied on as a basis for granting habeas relief. To the extent the unreasonable-refusal-to-extend rule differs from the one embraced in
Williams
and reiterated many times since, we reject it. Section 2254(d)(1) provides a remedy for instances in which a state court unreasonably
applies
this Court's precedent; it does not require state courts to
extend
that precedent or license federal courts to treat the failure to do so as error. See Scheidegger, Habeas Corpus, Relitigation, and the Legislative Power,
*427
This is not to say that § 2254(d)(1) requires an " 'identical factual pattern before a legal rule must be applied.' "
Panetti v. Quarterman,
Perhaps the logical next step from Carter, Estelle, and Mitchell would be to hold that the Fifth Amendment requires a penalty-phase no-adverse-inference instruction in a case like this one; perhaps not. Either way, we have not yet taken that step, and there are reasonable arguments on both sides-which is all Kentucky needs to prevail in this AEDPA case. The appropriate time to consider the question as a matter of first impression would be on direct review, not in a habeas case governed by § 2254(d)(1).
* * *
Because the Kentucky Supreme Court's rejection of respondent's Fifth Amendment claim was not objectively unreasonable, the Sixth Circuit erred in granting the writ. We therefore need not reach its further holding that the trial court's putative error was not harmless. The judgment of the Court of Appeals is reversed, and the case is remanded for further proceedings consistent with this opinion.
It is so ordered.
*428 Justice BREYER, with whom Justice GINSBURG and Justice SOTOMAYOR join, dissenting.
During the penalty phase of his capital murder trial, respondent Robert Woodall asked the court to instruct the jury not to draw any adverse inferences from his failure to testify. The court refused, and the Kentucky Supreme Court agreed that no instruction was warranted. The question before us is whether the Kentucky courts unreasonably applied clearly established Supreme Court law in concluding that the Fifth Amendment did not entitle Woodall to a no-adverse-inference instruction. See
I
This Court's decisions in
Carter v. Kentucky,
Now consider
Estelle.
The Court held that "so far as the protection of the Fifth Amendment privilege is concerned," it could "discern no basis to distinguish between the guilt and penalty phases" of a defendant's "capital murder trial."
*429
Defending the admission of those statements, the State argued that the defendant "was not entitled to the protection of the Fifth Amendment because [his statements were] used only to determine punishment after conviction, not to establish guilt."
What is unclear about the resulting law? If the Court holds in Case A that the First Amendment prohibits Congress from discriminating based on viewpoint, and then holds in Case B that the Fourteenth Amendment incorporates the First Amendment as to the States, then it is clear that the First Amendment prohibits the States from discriminating based on viewpoint. By the same logic, because the Court held in Carter that the Fifth Amendment requires a trial judge to give a requested no-adverse-inference instruction during the guilt phase of a trial, and held in Estelle that there is no basis for distinguishing between the guilt and punishment phases of a capital trial for purposes of the Fifth Amendment, it is clear that the Fifth Amendment requires a judge to provide a requested no-adverse-inference instruction during the penalty phase of a capital trial.
II
The Court avoids this logic by reading Estelle too narrowly. First, it contends that Estelle 's holding that the Fifth Amendment applies equally to the guilt and penalty phases was mere dictum. Ante, at 1704 - 1705, and n. 4. But this rule was essential to the resolution of the case, so it is binding precedent, not dictum.
Second, apparently in the alternative, the majority acknowledges that
Estelle
"held that the privilege against self-incrimination
applies
to the penalty phase," but it concludes that
Estelle
said nothing about the
content
of the privilege in the penalty phase.
Ante,
at 1703 (emphasis added). This interpretation of
Estelle
ignores its rationale. The reason
*430
that
Estelle
concluded that the Fifth Amendment applies to the penalty phase of a capital trial is that the Court saw "no basis to distinguish between the guilt and penalty phases of [a defendant's] capital murder trial so far as the protection of the Fifth Amendment privilege is concerned."
The majority also reads our decision in
Mitchell v. United States,
The majority seizes upon the limited nature of Mitchell 's holding, concluding that by refusing to adopt an exception to the normal rule for certain "factual determinations," Mitchell suggested that inferences about other matters might be permissible at the penalty phase. Ante, at 1703 - 1704. The majority seems to believe that Mitchell somehow casts doubt upon whether Estelle 's Fifth Amendment rule applies to matters unrelated to the "circumstances and details of the crime,"
*1709 such as remorse, or as to which the State does not bear the burden of proof.
As an initial matter,
Mitchell
would have had to overrule-or at least substantially limit-
Estelle
to create an exception
*431
for matters unrelated to the circumstances and details of the crime or for matters on which the defendant bears the burden of proof. Sentencing proceedings, particularly capital sentencing proceedings, often focus on factual matters that do not directly concern facts of the crime. Was the defendant subject to flagrant abuse in his growing-up years? Is he suffering from a severe physical or mental impairment ? Was he supportive of his family? Is he remorseful?
Estelle
itself involved compelled statements introduced to establish the defendant's future dangerousness-another fact often unrelated to the circumstances or details of a defendant's crime.
Mitchell held, simply and only, that the normal rule of Estelle applied in the circumstances of the particular case before the Court. That holding does not destabilize settled law beyond its reach. We frequently resist reaching beyond the facts of a case before us, and we often say so. That does not mean that we throw cases involving all other factual circumstances into a shadow-land of legal doubt.
The majority also places undue weight on dictum in
Mitchell
reserving judgment as to whether to create additional exceptions to the normal rule of
Estelle
and
Carter
. We noted: "Whether silence bears upon the determination of a lack of remorse, or upon acceptance of responsibility for purposes of the downward adjustment provided in § 3E1.1 of the United States Sentencing Guidelines (1998), is a separate question. It is not before us, and we express no view on it."
*432 When the Court merely reserves a question that is "not before us" for a future case, we do not cast doubt on legal principles that are already clearly established. The Court often identifies questions that it is not answering in order to clarify the question it is answering. In so doing-that is, in "express[ing] no view" on questions that are not squarely before us-we do not create a state of uncertainty as to those questions. And in respect to Mitchell, where the Court reserved the question whether to create an exception to the normal rule, this is doubly true. The normal rule that a defendant is entitled to a requested no-adverse-inference instruction at the penalty phase as well as the guilt phase remained clearly established after Mitchell .
III
In holding that the Kentucky courts did not unreasonably apply clearly established law, the majority declares that if a court must "extend" the rationale of a case in order to apply it, the rationale is not clearly established.
Ante,
at 1705 - 1707. I read this to mean simply that if there may be "fairminded disagreement" about whether a rationale applies to a certain set of facts, a state court will not unreasonably apply the law by failing to apply that rationale, and I agree. See
Harrington v. Richter,
562 U.S. ----,
That is the error the Kentucky Supreme Court committed here. Failing to consider together the legal principles established by
Carter
and
Estelle,
the state court confined those cases to their facts. It held that
Carter
did not apply because Woodall had already pleaded guilty-that is, because
*433
Woodall requested a no-adverse-inference instruction at the penalty phase rather than the guilt phase of his trial.
Woodall v. Commonwealth,
With respect I dissent from the Court's contrary conclusion.
The Court of Appeals did not reach the alternative ground for the District Court's decision: respondent's claim based on
Batson v. Kentucky,
The Court of Appeals also based its conclusion that respondent "was entitled to receive a no adverse inference instruction" on one of its own cases,
Finney v. Rothgerber,
The Courts of Appeals have recognized that
Mitchell
left this unresolved; their diverging approaches to the question illustrate the possibility of fairminded disagreement. Compare
United States v. Caro,
Indeed, the Sixth Circuit itself has previously recognized that
Mitchell
"explicitly limited its holding regarding inferences drawn from a defendant's silence to facts about the substantive offense and did not address other inferences that may be drawn from a defendant's silence."
United States v. Kennedy,
The dissent says
Estelle
"held that 'so far as the protection of the Fifth Amendment is concerned,' it could 'discern no basis to distinguish between the guilt and penalty phases of a defendant's 'capital murder trial.' "
Post,
at 1707 (quoting
Estelle,
Reference
- Full Case Name
- Randy WHITE, Warden, Petitioner v. Robert Keith WOODALL.
- Cited By
- 2086 cases
- Status
- Published