Lockyer v. AndradeLockyer v. Andrade
Lead Opinion
delivered the opinion of the Court.
This сase raises the issue whether the United States Court of Appeals for the Ninth Circuit erred in ruling that the California Court of Appeal’s decision affirming Leandro An-drade’s two consecutive terms of 25 years to life in prison for a “third strike” conviction is contrary to, or an unreasonable application of, clearly established federal law as determined by this Court within the meaning of
I
A
On November 4, 1995, Leandro Andrade stole five videotapes worth $84.70 from a Kmart store in Ontario, California. Security personnel detained Andrade as he was leaving the store. On November 18, 1995, Andrade entered a different Kmart store in Montclair, California, and placed four videotapes worth $68.84 in the rear waistband of his pants. Again, security guards apprehended Andrade as he was exiting the premises. Police subsequently arrested Andrade for these crimes.
These two incidents were not Andrade’s first or only encounters with law enforcement. According to the state probation officer’s presentenee report, Andrade has been in and out of state and federal prison since 1982. In January 1982, he was convicted of a misdemeanor theft offense and was sentenced to 6 days in jail with 12 months’ probation. An-drade was arrested again in November 1982 for multiple counts of first-degree residential burglary. Hе pleaded guilty to at least three of those counts, and in April of the following year he was sentenced to 120 months in prison. In 1988, Andrade was convicted in federal court of “[transportation of [mjarijuana,” App. 24, and was sentenced to eight years in federal prison. In 1990, he was convicted in state court for a misdemeanor petty theft offense and was ordered to serve 180 days in jail. In September 1990, An-drade was convicted again in federal court for the same fel
A state probation officer interviewed Andrade after his arrest in this case. The presentence report notes:
“The defendant admitted committing the offense. The defendant further stated he went into the K-Mart Store to steal videos. He took four of them to sell so he could buy heroin. He has been a heroin addict since 1977. He says when he gets out of jail or prison he always does something stupid. He admits his addiction controls his life and he steals for his habit.” Id., at 25.
Because of his 1990 misdemeanor conviction, the State charged Andrade in this case with two counts of petty theft with a prior conviction, in violation of
Under California’s three strikes law, any felony can constitute the third strike, and thus can subject a defendant to a term of 25 years to life in prison. See
A jury found Andrade guilty of two counts of petty theft with a prior conviction. According to California law, a jury must also find that a defendant has been convicted of at least two serious or violent felonies that serve as qualifying offenses under the three strikes regime. In this case, the jury made a special finding that Andrade was convicted of three counts of first-degree residential burglary. A conviction for first-degree residential burglary qualifies as a serious or violent felony for the purposes of the three strikes law.
B
On direct appeal in 1997, the California Court of Appeal affirmed Andrade’s sentence of two consecutive terms of 25 years to life in prison. It rejected Andrade’s claim that his sentence violates the constitutional prohibition against cruel and unusual punishment. The court stated that “the proportionality analysis” of Solem v. Helm,
After the Supreme Court of California denied discretionary review, Andrade filed a petition for a writ of habeas corpus in Federal District Court. The District Court denied his petition. The Ninth Circuit granted Andrade a certificate of appealability as to his claim that his sentence violated the Eighth Amendment, and subsequently reversed the judgment of the District Court.
The Ninth Circuit first noted that it was reviewing An-drade’s petition under the Antiterrorism and Effective Death Penalty Act of 1996 (AEDPA), 110 Stat. 1214. Applying its own precedent, the Ninth Circuit held that an unreasonable application of clearly established federal law occurs “when our independent review of the legal question ‘leaves us with a “firm conviction” that one answer, the one rejected by the [state] court, was correct and the other, the application of the federal law that the [state] court adopted, was erroneous — in other words that clear error occurred.’”
The court then reviewed our three most recent major precedents in this area — Rummel v. Estelle, supra, Solem v. Helm, supra, and Harmelin v. Michigan, supra. The Ninth Circuit “follow[ed] the test prescribed by Justice Kennedy in Harmelin,” concluding that “both Rummel and Solem remain good law and are instructive in Harmelin’s applica
Judge Sneed dissented in relevant part. He wrote that “[t]he sentence imposed in this case is not one of the ‘exceedingly rare’ terms of imprisonment prohibited by the Eighth Amendment’s proscription against cruel and unusual punishment.” Id., at 767 (quoting Harmelin v. Michigan, supra, at 1001 (Kennedy, J., concurring in part and concurring in judgment)). Under his view, the state court decision upholding Andrade’s sentence was thus “not an unreasonable application of clearly established federal law.”
II
Andrade’s argument in this Court is that two consecutive terms of 25 years to life for stealing approximately $150 in videotapes is grossly disproportionate in violation of the Eighth Amendment. Andrade similarly maintains that the state court decision affirming his sentence is “contrary to, or involved an unreasonable application of, clearly established Federal law, as determined by the Supreme Court of the United States.”
AEDPA circumscribes a federal habeas court’s review of a state court decision.
“(d) An 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—
*71 “(1) resulted in a decision that was contrary to, or involved an unreasonable application оf, clearly established federal law, as determined by the Supreme Court of the United States.”
The Ninth Circuit requires federal habeas courts to review the state court decision de novo before applying the AEDPA standard of review. See, e. g., Van Tran v. Lindsey, supra, at 1154-1155; Clark v. Murphy,
Ill
A
As a threshold matter here, we first decide what constitutes “clearly established Federal law, as determined by the Supreme Court of the United States.”
B
Through this thicket of Eighth Amendment jurisprudence, one governing legal principle emerges as “clearly established” under
Our cases exhibit a lack of clarity regarding what factors may indicate gross disproportionality. In Solem (the case upon which Andrade relies most heavily), we stated: “It is clear that a 25-year sentence generally is more severe than a 15-year sentence, but in most cases it would be difficult to decide that the former violates the Eighth Amendment while the latter does not.”
Thus, in this case, the only relevant clearly established law amenable to the “contrary to” or “unreasonable application of” framework is the gross disproportionality principle, the precise contours of which are unclear, applicable only in the “exceedingly rare” and “extreme” case. Id., at 1001 (KENNEDY, J., concurring in part and concurring in judgment) (internal quotation marks omitted); see also Solem v. Helm, supra, at 290; Rummel v. Estelle,
IV
The final question is whether the California Court of Appeal’s decision affirming Andrade’s sentence is “contrary to, or involved an unreasonable application of,” this clearly established gross disproportionality principle.
First, a state court decision is “contrary to our clearly established precedent if the state court applies a rule that contradicts the governing law set forth in our cases” or “if the state court confronts a set of facts that are materially indistinguishable from a decision of this Court and nevertheless arrives at a result different from our precedent.” Williams v. Taylor, supra, at 405-406; see also Bell v. Cone, supra, at 694. In terms of length of sentence and availability of parole, severity of the underlying offense, and the impact of recidivism, Andrade’s sentence implicates factors relevant in both Rummel and Solem. Because Harmelin and Solem specifically stated that they did not overrule. Rummel, it was not contrary to our clearly established law for the California Court of Appeal to turn to Rummel in deciding whether a sentence is grossly disproportionate. See Harmelin, supra, at 998 (Kennedy, J., concurring in part and concurring in judgment); Solem, supra, at 288, n. 13, 303-304, n. 32. Indeed, Harmelin allows a state court to reasonably rely on Rummel in determining whether a sentence is grossly disproportionate. The California Court of Appeal’s decision
Andrade’s sentence also was not materially indistinguishable from the facts in Solem. The facts here fall in between the facts in Rummel and the facts in Solem. Solem involved a sentence of life in prison without the possibility of parole.
The Ninth Circuit made an initial error in its “unreasonable application” analysis. In Van Tran v. Lindsey,
It is not enough that a federal habeas court, in its “independent review of the legal question,” is left with a “‘firm conviction’” that the state court was “‘erroneous.’”
Indeed, since Harmelin, several Members of this Court have expressed “uncertainty” regarding the application of the proрortionality principle to the California three strikes law. Riggs v. California,
The gross disproрortionality principle reserves a constitutional violation for only the extraordinary case. In applying this principle for
V
The judgment of the United States Court of Appeals for the Ninth Circuit, accordingly, is reversed.
It is so ordered.
Notes
Justice Souter argues that the possibility of Andrade's receiving parole in 50 years makes this case similar to the facts in Solem v. Helm,
Justice Soutee, relying on Robinson v. California,
Justice Souter would hold that Andrade’s sentence also violates the unreasonable application prong of
Dissenting Opinion
with whom Justice Stevens, Justice Ginsburg, and Justice Breyer join, dissenting.
The application of the Eighth Amendment prohibition against cruel and unusual punishment to terms of years is articulated in the “clearly established” principle acknowledged by the Court: a sentence grossly disproportionate to the offense for which it is imposed is unconstitutional. See ante, at 72-73; Harmelin v. Michigan,
The first reason is the holding in Solem, which happens to be our most recent effort at proportionality review of recidivist sentencing, the authority of which was not left in doubt’ by Harmelin, see
The facts here are on all fours with those of Solem and point to the same result. Id., at 279-281. Andrade, like the defendant in Solem, was a repeat offender who committed theft of fairly trifling value, some $150, and their criminal records are comparable, including burglary (though An-drade’s were residential), with no violent crimes or crimes against the person. The respective sentences, too, are strikingly alike. Although Andrade’s petty thefts occurred on two separate occasions, his sentence can only be understood as punishment for the total amount he stole. The two thefts were separated by only two weeks; they involved the same victim; thеy apparently constituted parts of a single, continuing effort to finance drug sales; their seriousness is measured
The second reason that relief is required even under the
The first is the State’s adoption of a particular penalogical theory as its principal reason for shutting a three-strikes defendant away for at least 25 years. Although the State alludes in passing to retribution or deterrence (see Brief for Petitioner 16, 24; Reply Brief for Petitioner 10), its only serious justification for the 25-year minimum treats the sentence as a way to incapacitate a given defendant from further crime; the underlying theory is the need to protect the public from a danger demonstrated by the prior record of violent and serious crime. See Brief for Petitioner 17 (“significant danger to society such that [defendant] must be imprisoned for no less than twenty-five years to life”); id., at 21 (“statute carefully tailored to address . . . defendants that pose the greatest danger”); id., at 23 (“isolating such a defendant for a substantial period of time”); Reply Brief for Petitioner 11 (“If Andrade’s reasoning were accepted, however, California would be precluded from incapacitating him”). See also Rummel,
Whether or not one accepts the State’s choice of penalogical policy as constitutionally sound, that policy cannot rea
This point is independent of the fact, recognized by the Court, ante, at 68, that it remains open to Andrade to appeal his sentence under People v. Garcia,
Implicit in the distinction between future dangerousness and repunishment for prior crimes is the notion that the triggering offense must, within some degree, be substantial enough to bear the weight of the sentence it elicits. As triggering offenses become increasingly minor and recidivist sentences grow, the sentences advance toward double jeopardy violations. When defendants are parking violators or slow readers of borrowed library books, there is not much room for belief, even in light of a past criminal record, that the State is permanently incapacitating the defendant because of future dangerousness rather than resentencing for past offenses.
That said, I do not question the legitimacy of repeatedly sentencing a defendant in light of his criminal record: the Federal Sentencing Guidelines provide a prime example of how a sentencing scheme may take into account a defendant’s criminal history without resentencing a defendant for past convictions, Witte v. United States,