Lopez v. Smith
Lopez v. Smith
Opinion
When a state prisoner seeks federal habeas relief on the ground that a state court, in adjudicating a claim on the merits,
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misapplied federal law, a federal court may grant relief only if the state court's decision was "contrary to, or involved an unreasonable application of, clearly established Federal law, as determined by the Supreme Court of the United States."
I
Respondent was arrested for the murder of his wife, Minnie Smith. On December 15, 2005, Mrs. Smith was found dead in the home she shared with respondent, and it was determined that she was killed by a massive blow to the head from a fireplace log roller. The home appeared to have been ransacked, and valuable jewelry was missing.
The State charged respondent with first-degree murder and offered substantial incriminating evidence at trial. The prosecution presented evidence that respondent "was unfaithful to his wife for many years, that his wife was threatening to divorce him, and that he told one of his former employees ... that the 'only way' he or his wife would get out of their marriage was 'to die,' because he was 'not going to give [Mrs. Smith] half of what [he] got so some other man can live off of it.' "
Respondent defended in part on the basis that he could not have delivered the fatal blow due to rotator cuff surgery several weeks before the murder. See
At the close of evidence, the prosecution requested an aiding-and-abetting instruction, and the trial court agreed to give such an instruction. During closing argument, the prosecutor contended that respondent was physically able to wield the log roller that had killed Mrs. Smith, but he also informed the jury that, even if respondent had not delivered the fatal blow, he could still be convicted on an aiding-and-abetting theory. See id., at 864. The jury convicted respondent of first-degree murder without specifying which theory of guilt it adopted.
After a series of state-court proceedings not relevant here, the California Court of
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Appeal affirmed respondent's conviction. The state court rejected respondent's assertion that he had inadequate notice of the possibility of conviction on an aiding-and-abetting theory. The court explained that " 'an accusatory pleading charging a defendant with murder need not specify the theory of murder on which the prosecution intends to rely,' " and noted that the "information charged defendant with murder in compliance with the governing statutes."
Smith,
Respondent filed a petition for habeas relief with the United States District Court for the Central District of California. The Magistrate Judge recommended granting relief, and the District Court summarily adopted the Magistrate Judge's recommendation.
The Ninth Circuit affirmed. The court acknowledged that the "information charging [respondent] with first-degree murder was initially sufficient to put him on notice that he could be convicted either as a principal or as an aider-and-abettor," because under California law "aiding and abetting a crime is the same substantive offense as perpetrating the crime."
The Ninth Circuit did not purport to identify any case in which we have found notice constitutionally inadequate because, although the defendant was initially adequately apprised of the offense against him, the prosecutor focused at trial on one potential theory of liability at the expense of another. Rather, it found the instant case to be "indistinguishable from" the Ninth Circuit's own decision in
Sheppard v. Rees,
II
A
The Ninth Circuit held, and respondent does not dispute, that respondent initially received adequate notice of the possibility of conviction on an aiding-and-abetting theory. The question is therefore whether habeas relief is warranted because the State principally relied at trial on the theory that respondent himself delivered the fatal blow.
Assuming,
arguendo,
that a defendant is entitled to notice of the possibility of conviction on an aiding-and-abetting theory, the Ninth Circuit's grant of habeas relief may be affirmed only if this Court's cases clearly establish that a defendant, once adequately apprised of such a possibility, can nevertheless be deprived of adequate notice by a prosecutorial decision to focus
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on another theory of liability at trial. The Ninth Circuit pointed to no case of ours holding as much. Instead, the Court of Appeals cited three older cases that stand for nothing more than the general proposition that a defendant must have adequate notice of the charges against him. See
This proposition is far too abstract to establish clearly the specific rule respondent needs. We have before cautioned the lower courts-and the Ninth Circuit in particular-against "framing our precedents at such a high level of generality."
Nevada v. Jackson,
569 U.S. ----, ----,
Because our case law does not clearly establish the legal proposition needed to grant respondent habeas relief, the Ninth Circuit was forced to rely heavily on its own decision in
Sheppard,
B
The Ninth Circuit also disagreed with what it termed the state court's "determination of the facts"-principally, the state court's holding that preliminary examination testimony and the prosecutors' request for an aiding-and-abetting jury instruction shortly before closing arguments adequately put respondent on notice of the prosecution's aiding-and-abetting theory.
In purporting to reject the state court's "determination of the facts," the Ninth Circuit focused on preliminary examination testimony by an investigator about conversations between respondent and his cellmate. According to the investigator, the cellmate stated that respondent told him that respondent "had to get rid of his wife because she was standing in the way of his future plans; that she was threatening to divorce him and he wasn't going to give up half of his property"; that respondent made his house look like the site of a home invasion robbery; and that, when he left for work the morning of the murder, he left the window open and did not set the alarm.
Smith,
The Ninth Circuit also focused on the jury instructions conference, which occurred after the defense rested but before the parties' closing arguments. During that conference, prosecutors requested an aiding-and-abetting instruction, which further provided notice to respondent. The California Court of Appeal concluded that this case is distinguishable from
Sheppard v. Rees,
Although the Ninth Circuit claimed its disagreement with the state court was factual in nature, in reality its grant of relief was based on a legal conclusion about the adequacy of the notice provided. The Ninth Circuit believed that the events detailed above, even when taken together with the information filed against respondent, failed to measure up to the standard of notice applicable in cases like this. That ranked as a legal determination governed by § 2254(d)(1), not one of fact governed by § 2254(d)(2). But, as we have explained, the Ninth Circuit cited only its own precedent for establishing the appropriate standard. Absent a decision of ours clearly establishing the relevant standard, the Ninth Circuit had nothing against which it could assess, and deem lacking, the notice afforded respondent by the information and proceedings. It therefore had no basis to reject the state court's assessment that respondent was adequately apprised of the possibility of conviction on an aiding-and-abetting theory. 2
*6 The petition for a writ of certiorari is granted. The judgment of the United States Court of Appeals for the Ninth Circuit is reversed, and the case is remanded for further proceedings consistent with this opinion.
It is so ordered.
Respondent claims that our decision in
Lankford v. Idaho,
Because we reverse the Ninth Circuit's decision on the foregoing grounds, we need not opine on the correctness of that court's discussion of
Griffin v. United States,
Reference
- Full Case Name
- Raul LOPEZ, Warden v. Marvin Vernis SMITH.
- Cited By
- 173 cases
- Status
- Published