Lead Opinion
delivered the opinion of the Court.
Respondent Kevin Taylor was convicted of murder by an Illinois jury and sentenced to 85 years’ imprisonment. After his conviction and sentence became final, he sought federal habeas relief on the ground that the jury instructions 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,
Early one morning in September 1985, respondent became involved in a dispute with his former wife and her live-in
Respondent was charged with murder. 111. Rev. Stat., ch. 38, ¶ 9-1 (1985). At trial, he took the stand and admitted killing Siniscalehi, but claimed he was acting under a sudden and intense passion provoked by Siniscalehi, 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 Siniscalehi; and
“Second: That when the Defendant did so he intended to kill or do great bodily harm to Scott Siniscalehi; or he knew that his act would cause death or great bodily harm to Scott Siniscalehi; or he knew that his acts created a strong probability of death or great bodily harm to Scott Siniscalehi; 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 intended 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 on which Illinois judges had relied since 1961, when the State enacted the definitions of murder and voluntary manslaughter that governed until 1987. See Haddad, Allocation of Burdens in Murder-Voluntary Man
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,
Having exhausted his state remedies, respondent sought federal habeas relief, attacking his conviction on the ground that the jury instructions given at his trial violated due process. Eleven days later, the Court of Appeals for the Seventh Circuit held as much in Falconer v. Lane,
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,
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
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 eases such as In re Winship,
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,
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 “constitutionally relevant evidence.”
Moreover, under the standard fashioned in Boyde, the relevant inquiry is “whether there is a reasonable likelihood that the jury has applied the challenged instruction in a way that prevents the consideration of constitutionally relevant evidence.”
The Court of Appeals also relied on the plurality opinion in Connecticut v. Johnson,
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 instructions 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,
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.
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
Reversed.
Notes
JusTiCE Souter joins all but footnote 3 of this opinion.
Effective July 1, 1987, the offense of voluntary manslaughter was reclassified as second-degree murder and the burden of proof as to the existence of a mitigating mental state was expressly placed on the defendant. Ill. Rev. Stat., ch. 38, ¶ 9-2 (1987). The Illinois pattern jury instructions were rewritten accordingly. 1 Illinois Pattern Jury Instructions — Criminal §7.02B (3d ed. 1992, Supp. 1993).
Respondent also relies on Cool v. United States,
Strongly fortifying this conclusion is the fact that the instructions deemed unconstitutional in Falconer were modeled after, and virtually identical to, the Illinois pattern jury instructions on murder and voluntary manslaughter, which were formally adopted in 1981 — five years before respondent’s trial — but on which Illinois judges had relied since 1961. As we have stated, the purpose of Teague’s “new rule” principle is to. “validate reasonable, good-faith interpretations of existing precedents made by state courts.” Butler v. McKellar,
Justice Blackmon in dissent would elevate the instructional defect contained in the Illinois pattern jury instructions on murder and voluntary manslaughter not merely to the level of a federal constitutional violation, but to one that is so fundamental as to come within Teagues, second exception. He reaches this result by combining several different constitutional principles — the prohibition against ex post facto laws, the right to a fair trial, and the right to remain silent — into an unrecognizable constitutional stew.
Concurrence Opinion
with whom
Kevin Taylor admitted that he had killed Scott Sinisealchi. He contended, however, that he had “act[ed] under a sudden and intense passion resulting from serious provocation by [Sinisealchi].” 111. Rev. Stat., eh. 38, ¶ 9-2 (1985). If Taylor’s account is to be believed, then, under the law of the State of Illinois, he is not guilty of murder but rather of manslaughter. Ibid. At trial, Taylor took the stand and admitted to the two elements of murder. He asked only that the jury consider his state of mind when he acted and convict him of voluntary manslaughter, acquitting him of murder. Illinois law is clear that this put the jury to a choice: Taylor could be convicted only of manslaughter or murder — not of both. Indeed, because Taylor produced sufficient evidence to raise the defense of sudden passion, Illinois law required the State to negate Taylor’s defense beyond a reasonable doubt. People v. Reddick,
In Falconer v. Lane,
The Court of Appeals, however, understood that our decision in Teague v. Lane,
I agree with the majority today that the rule the Court of Appeals announced was at least susceptible to debate among reasonable jurists. See Butler v. McKellar,
Prior to Boyde, we phrased the standard for reviewing jury instructions in a variety of ways, not all of which were consistent. Compare Mills v. Maryland,
It is true that we clarified the standard for reviewing jury instructions in a capital case, but Boyde did not purport to limit application of that standard to capital eases, nor have we so limited it. In Estelle v. McGuire,
Although the Court’s opinion today might be read as implying that erroneous jury instructions may never give rise to constitutional error outside of capital cases, ante, at 342, such an implication would misconstrue our precedent. When the Court states that “instructions that contain errors of state law may not form the basis for federal habeas relief,” ibid, (citing Estelle v. McGuire, supra), it must mean that a mere error of state law, one that does not rise to the level of
We have not held that the Eighth Amendment’s requirement that the jury be allowed to consider and give effect to all relevant mitigating evidence in capital cases, see, e. g., Boyde, supra, applies to noncapital cases. Nevertheless, we have held that other constitutional amendments create “constitutionally relevant evidence” that the jury must be able to consider. See, e. g., Rock v. Arkansas,
In this case, the question is not whether application of the “reasonable likelihood” standard of Boyde is a new rule. It is not. See ante, at 341-342; supra, at 348. Nor is the question whether jury instructions may be so erroneous under state law as to rise to the level of a constitutional violation. It is clear to me that they may. See, e. g., McGuire,
Our opinions in Martin v. Ohio,
The purpose of Teague is to promote the finality of state-court judgments. When a state court makes a “reasonable, good-faith interpretatio[n]” of our precedents as they exist at the time of decision, that decision should not be overturned on federal habeas review. Butler,
Because our cases do not resolve conclusively the question whether it violates due process to give an instruction that is reasonably likely to prevent the jury from considering an affirmative defense, or a hybrid defense such as the State of Illinois permits, resolution of the issue on habeas would require us to promulgate a new rule. Like the Court, I be
The rule the Court of Appeals promulgated is not compelled by precedent, nor does it fall within one of the two Teague exceptions. I therefore agree with the Court that the Court of Appeals erred in applying that rule in this ease. I do not join the Court’s opinion, however, because it could be read (wrongly, in my view) as suggesting that the Court of Appeals’ decision in this case applied not only a new rule, but also an incorrect one. I would reserve that question until we address it on direct review.
with whom
The Court today holds that it cannot decide whether Kevin Taylor has suffered a denial of due process, because Teague v. Lane,
Taylor argues that the substantive criminal law existing at the time of a defendant’s alleged offense must be the law that governs the trial of that offense. I believe that he is correct and that the principle he asserts is a fundamental one. I therefore would affirm the judgment of the Court of Appeals.
I
At the time that Taylor was tried for the “murder” of Scott Siniscalchi, Illinois law defined murder and voluntary manslaughter as two distinct crimes, albeit with two elements in common. To be guilty of either crime, a defendant had to have (1) caused the death of the victim, and (2) intended to kill or cause great bodily harm to the victim.
At the close of Taylor’s trial, the presiding judge found that sufficient evidence in support of voluntary manslaughter had been presented to require a jury instruction under Illinois law. The judge therefore determined that he would “let the Jury decide . . . whether that provocation existed here or did not exist here.” App. 96. No one has challenged this finding on appeal. Yet the presiding judge did not explain to the jury that provocation was an affirmative defense to murder. Instead, after telling the jury about the two elements of murder (intent and causation of death), the judge stated: “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.” Id., at 129. The judge went on to instruct the jury that a person is guilty of voluntary manslaughter when he has killed an individual while possessing the requisite state of mind, and at “the time of the killing he acts under a sudden and intense passion resulting from serious proyoeatin [sic] by the deceased. Serious provocation is conduct sufficient to excite an intense passion in a reasonable person.” Id., at 130. Finally, the judge gave the following instruction in an apparent attempt to explain the relation between the murder and the voluntary manslaughter charges:
“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.” Id., at 131.
Even the prosecutor thought these instructions may have failed to inform the jury of the relation between the offenses of murder and manslaughter under Illinois law. Id., at 98-
After deliberations, the jury announced that it had found Taylor guilty of murder. It then returned a signed verdict form to that effect. Id., at 131, 137. The jury never mentioned the manslaughter charge and returned unsigned both the guilty and not-guilty forms for that offense. Id., at 139-140.
II
A jury instruction is unconstitutional if there is a “reasonable likelihood that the jury has applied the challenged instruction in a way that prevents the consideration of constitutionally relevant evidence.” Boyde v. California,
No one appears to contest the proposition that a jury of lay people would not understand from the instructions that it should find Taylor not guilty of murder if it concluded that he acted under provocation. The judge explained to the
The relation between murder and voluntary manslaughter in Illinois at the time of Taylor’s offense was a complicated one. Provocation was both a component of manslaughter and a defense to murder. The easy way to convey this idea is to explain that to find a defendant guilty of murder, the jury must find (1) that there was intent, (2) that there was causation, and (3) that there was no provocation. The prosecutor explained to the judge that he might have had to provide such an instruction under Illinois law. See id., at 99.
What the judge actually did, however, was simply to list the elements of each offense, starting with murder, tell the jury that it could convict Taylor of only one but not of both, and send the jury to deliberate. In the deliberation room, the jurors had four sheets of paper,
The State itself concedes that the instructions “violated state law by permitting the jury to find Taylor guilty of murder without considering his affirmative defense.” Brief for Petitioner 12. According to a unanimous Illinois Supreme Court evaluating the same instructions given in another case: “These instructions essentially assure that, if the jury follows them, the jury cannot possibly convict a defendant of voluntary manslaughter.” . People v. Reddick,
Ill
To understand why an instruction that prevents the jury from considering provocation evidence violates the Constitution, it is necessary to examine the operation of the criminal law in regulating the conduct of citizens in a free society. As explained below, the instructions in this case in effect created an ex post facto law, diminished the likelihood of an accurate conviction, and deprived Taylor of his right to a fair trial.
1
This Court consistently has held that the Constitution requires a State to provide notice to its citizens of what conduct will subject them to criminal penalties and of what those penalties are. See Miller v. Florida,
Illinois, through its criminal statutes, warned Taylor that his actions, as conceded at trial, were against the law. Illinois, however, did not warn him that murder and voluntary manslaughter would be treated as interchangeable or equivalent offenses. A defendant convicted of voluntary manslaughter, for example, could be incarcerated for as short a term as 4 years, and could be imprisoned for a maximum term of 15 years. A convicted murderer, in contrast, could be imprisoned for no fewer than 20 years and up to a maximum of 40 years, absent aggravating factors. See 111. Rev. Stat., eh. 38, W-2(e), 1005-8-1(1) and (4) (1985). Under Illinois law at the time of Taylor’s acts, then, the offense that he claims he committed — voluntary manslaughter — was not treated as an offense of nearly the same seriousness as murder.
A useful analogy to the relation between voluntary manslaughter and murder in this case is the relation between self-defense and murder elsewhere in the criminal law. In those States in which self-defense is an affirmative defense to murder, the Constitution does not require that the prosecution disprove self-defense beyond a reasonable doubt. See, e. g., Martin v. Ohio,
It is easy to see in the context of self-defense how the omission of an affirmative-defense instruction fundamentally denies the defendant due process. Consider the following hypothetical example. As a citizen who is presumed to know the law, see Atkins v. Parker,
“Indeed, when viewed in terms of the potential difference in restrictions of personal liberty attendant to each conviction, the distinction ... between murder and manslaughter may be of greater importance than the difference between guilt or innocence for many lesser crimes.”
2
By equating voluntary manslaughter with murder and thereby, in effect, applying an ex post facto murder law to Taylor, the instructions in this case made it highly likely that the jury would return an inaccurate murder conviction.
As explained above, under Illinois law at the time of Taylor’s offense, the presence of provocation reduced murder to voluntary manslaughter. This meant that state law defined the category of murder to exclude voluntary manslaughter and therefore considered a person who was guilty of voluntary manslaughter also to be innocent of murder. Any procedure that increased the likelihood of a murder conviction despite the presence of provocation, thus also decreasing the likelihood of a manslaughter conviction, was therefore a procedure that diminished the likelihood of an accurate conviction by the jury. Because the procedure in this ease prevented the jury from even considering the voluntary manslaughter option, it severely diminished the likelihood of an accurate conviction. See Butler v. McKellar,
Returning to the hypothetical example set forth above, the omission of a self-defense instruction in Jane Doe’s case would distort the definition of murder by causing the jury to include killings in self-defense within that definition. A person who kills in self-defense, however, like a person who kill a under provocation, is not guilty of murder under state law and is therefore not subject to the penalties prescribed for murder. Any conviction that results from the omission of a state-law affirmative defense is therefore, in the case of provocation and in the case of self-defense, an inaccurate conviction.
The State suggests that the right asserted by Taylor is the same as that recognized by this Court in Beck v. Alabama,
Like the right Taylor claims, Beck entitles certain defendants to have the jury consider less drastic alternatives to murder. This, however, is where the similarity between the two rights ends. In Beck, the Court’s concern and the reason for the required lesser included offense instruction was that jurors might ignore their reasonable-doubt instruction. Where the defendant is “‘plainly guilty of some offense,’”
In Taylor’s case, the concern is just the opposite — that the jurors will follow their instructions and thereby convict the defendant of murder because they are ignorant of the fact that provocation reduces the offense to voluntary manslaughter. The failure to include a proper voluntary manslaughter instruction literally distorts the definition of murder by extending it to include voluntary manslaughter and thereby misinforming the jury.
Whether or not we would choose to extend Beck and its presumption of jury nullification to the noncapital defendant has no bearing on the outcome of this case. The right at issue here is one premised upon the notion that jurors faithfully follow what they understand to be their instructions. This premise clearly operates in the capital and noncapital contexts alike. See Richardson v. Marsh,
B '
Through his instructions, then, the trial judge in this ease applied an ex post facto murder law to Taylor and thereby misled the jury as to the definition of murder. But the trial judge also violated another of Taylor’s constitutional rights. When the judge prevented Taylor’s jurors from considering his provocation defense, the judge deprived Taylor of his Sixth Amendment and Fourteenth Amendment right to a fair trial.
The Fifth and Fourteenth Amendments to the Constitution guarantee every criminal defendant the right to remain silent. Our precedents have explained that this right precludes the State from calling the defendant as a witness for the prosecution. See, e.g., South Dakota v. Neville,
Taylor gave up this important right and took the witness stand to testify about his crime. He evidently did so to avail himself of the provocation defense provided by Illinois law. Taylor admitted under oath that he broke into his former wife’s home and intentionally and fatally stabbed Scott Sinisealchi. App. 80-81. He also testified, however, that he had been provoked by the victim. Id., at 76-81. In its closing argument, the defense therefore asked the jury to find that he had acted under sudden and intense passion when he killed Sinisealchi and therefore was not guilty of murder. Id., at 112-121.
When the judge instructed the jurors, he effectively told them to disregard Taylor’s provocation testimony. Absent that testimony, of course, the most important evidence before the jurors when they deliberated was that Taylor had taken the stand and had sworn to them that his actions violated both elements of the murder statute. As far as the jurors could tell, Taylor had confessed to the crime of murder in open court.
Taylor never indicated a desire to plead guilty to murder. Indeed, he offered testimony that tended to show that he was innocent of murder. Yet the trial judge failed to follow the very statute that had prompted Taylor to testify. By so doing, the judge effectively transformed exculpatory testimony into a plea of guilty to murder. When a defendant intentionally pleads guilty to an offense, he has a constitutional right to be informed about the consequences of his plea. See Mabry v. Johnson,
IV
The omission of an adequate affirmative-defense instruction constitutes a profound violation of a defendant’s constitutional rights. It creates an ex post facto law, misinforms the jury as to the governing legal principles, and denies a defendant his right to a fair trial. “Although the precise contours of [the second Teague] exception may be difficult to discern, we have usually cited Gideon v. Wainwright,
Kevin Taylor has not requested a rule that would unreasonably place stumbling blocks in the path of law enforcement, nor has he asked this Court to announce a rule that is only marginally related to the underlying right to a fair trial. On the contrary, he has asked that he be convicted of voluntary manslaughter if he is guilty of voluntary manslaughter, that he be spared a sentence for murder if he is innocent of murder, and that his judge not effectively instruct the jury to disregard the exculpatory part of his testimony and attend
I respectfully dissent and would affirm the judgment of the Court of Appeals.
The intent element -would also be satisfied if the defendant knew that his acts would cause or create a strong probability of death or great bodily harm, or if the defendant had been attempting or committing a forcible felony at the time. See Ill. Rev. Stat., ch. 38, ¶¶ 9-1(2) and (3) (1985).
The Court implies, ante, at 342, that the Boyde standard might be confined to capital cases. The Court’s citation of Estelle v. McGuire,
Two additional sheets referred to the crime of home invasion, for which Taylor was tried and convicted. This conviction, however, is no longer at issue in this case.
This distinction between murder and voluntary manslaughter is hardly a recent innovation in the criminal law. “[T]he presence or absence of the heat of passion on sudden provocation — has been, almost from the inception of the common law of homicide, the single most important factor
The Court’s footnote 4, ante, at 345, added by The Chief Justice after the dissenting opinion circulated, hardly deserves acknowledgment, let alone comment. I had thought that this was a court of justice and that a criminal defendant in this country could expect to receive a genuine analysis of the constitutional issues in his case rather than the dismissive and conclusory rhetoric with which Kevin Taylor is here treated. I adhere to my derided “constitutional stew.”
