Lead Opinion
delivered the opinion of the Court.
This case requires us to review the grant of a writ of habeas corpus to a state prisoner under the Antiterrorism and Effective Death Penalty Act of 1996 (AEDPA), 28 U. S. C. § 2254(d). The District Court in this case issued the writ to respondent Reginald Lett on the ground that his Michigan murder conviction violated the Double Jeopardy Clause of the Constitution, and the U. S. Court of Appeals for the Sixth Circuit affirmed. In doing so, however, these courts misapplied AEDPA’s deferential standard of review. Because we conclude that the Michigan Supreme Court’s application of federal law was not unreasonable, we reverse.
I
On August 29, 1996, an argument broke out in a Detroit liquor store. The antagonists included Adesoji Latona, a taxi driver; Charles Jones, a passenger who claimed he had been wrongfully ejected from Latona’s cab; and Reginald Lett, a Mend of Jones’s. After the argument began, Lett left the liquor store, retrieved a handgun from another friend outside in the parking lot, and returned to the store. He shot Latona twice, once in the head and once in the chest. Latona died from his wounds shortly thereafter. See People v. Lett,
Michigan prosecutors charged Lett with first-degree murder and possession of a firearm during the commission of a
The jury’s deliberations began on June 12, 1997, at 3:24 p.m., and ran that day until 4 p.m. Id., at 209, n. 1,
The trial transcript does not reveal whether the judge discussed the jury’s query with counsel, off the record, upon receiving this last communication. Id., at 209, n. 3,
“THE COURT: I received your note asking me what if you can’t agree? And I have to conclude from that that that is your situation at this time. So, I’d like to ask the foreperson to identify themselves, please?
“THE FOREPERSON: [Identified herself.]
“THE COURT: Okay, thank you. All right. I need to ask you if the jury is deadlocked; in other words, is there a disagreement as to the verdict?
“THE FOREPERSON: Yes, there is.
“THE COURT: All right. Do you believe that it is hopelessly deadlocked?
“THE FOREPERSON: The majority of us don’t believe that—
“THE COURT: (Interposing) Don’t say what you’re going to say, okay?
*771 “THE FOREPERSON: Oh, I’m sorry.
“THE COURT: I don’t want to know what your verdict might be, or how the split is, or any of that. Thank you. Okay? Are you going to reach a unanimous verdict, or not?
“THE FOREPERSON: (No response)
“THE COURT: Yes or no?
“THE FOREPERSON: No, Judge.” Tr. in No. 96-08252 (Recorder’s Court, Detroit, Mich.), pp. 319-320.
The judge then declared a mistrial, dismissed the jury, and scheduled a new trial for later that year. Neither the prosecutor nor Lett’s attorney made any objection.
Lett’s second trial was held before a different judge and jury in November 1997. This time, the jury was able to reach a unanimous verdict — that Lett was guilty of second-degree murder — after deliberating for only 3 hours and 15 minutes. Lett, supra, at 210, and n. 4,
Lett appealed his conviction to the Michigan Court of Appeals. He argued that the judge in his first trial had announced a mistrial without any manifest necessity for doing so. Because the mistrial was an error, Lett maintained, the State was barred by the Double Jeopardy Clause of the U. S. Constitution from trying him a second time. The Michigan Court of Appeals agreed with Lett and reversed his conviction.
The State appealed to the Michigan Supreme Court, which reversed the Court of Appeals. The court explained that under our decision in United States v. Perez,
After setting forth the applicable law, the Michigan Supreme Court determined that the judge at Lett's first trial had not abused her discretion in declaring the mistrial. Id., at 223,
Lett petitioned for a federal writ of habeas corpus. Again he argued that the trial court's declaration of a mistrial constituted an abuse of discretion because there was no manifest necessity to cut short the jury's deliberations. He further contended that the Michigan Supreme Court's rejection of his double jeopardy claim amounted to “an unreasonable application of . . . clearly established Federal law, as determined by the Supreme Court of the United States,” and thus that he was not barred by AEDPA, 28 U. S. C. § 2254(d)(1), from obtaining federal habeas relief. The District Court agreed and granted the writ.
II
It is important at the outset to define the question before us. That question is not whether the trial judge should have declared a mistrial. It is not even whether it was an
We have explained that “an unreasonable application of federal law is different from an incorrect application of federal law.” Williams v. Taylor,
The “clearly established Federal law” in this area is largely undisputed. In Perez, we held that when a judge discharges a jury on the grounds that the jury cannot reach a verdict, the Double Jeopardy Clause does not bar a new trial for the defendant before a new jury.
Since Perez, we have clarified that the “manifest necessity” standard “cannot be interpreted literally,” and that a mistrial is appropriate when there is a “‘high degree’” of necessity. Washington, supra, at 506. The decision whether to grant a mistrial is reserved to the “broad discretion” of the trial judge, a point that “has been consistently reiterated in decisions of this Court.” Illinois v. Somerville,
In particular, “[t]he trial judge’s decision to declare a mistrial when he considers the jury deadlocked is . . . accorded great deference by a reviewing court.” Washington,
The reasons for “allowing the trial judge to exercise broad discretion” are “especially compelling” in eases involving a potentially deadlocked jury. Washington,
We have expressly declined to require the “mechanical application” of any “rigid formula” when trial judges decide whether jury deadlock warrants a mistrial. Wade v. Hunter,
III
In light of all the foregoing, the Michigan Supreme Court’s decision in this case was not unreasonable under AEDPA, and the decision of the Court of Appeals to grant Lett a writ of habeas corpus must be reversed.
The Michigan Supreme Court’s adjudication involved a straightforward application of our longstanding precedents to the facts of Lett’s case. The court cited our own double jeopardy cases — from Perez to Washington — elaborating upon the “manifest necessity” standard for granting a mistrial and noting the broad deference that appellate courts must give trial judges in deciding whether that standard has been met in any given case. Lett,
The Court of Appeals for the Sixth Circuit concluded otherwise. It did not contest the Michigan Supreme Court's description of the objective facts, but disagreed with the inferences to be drawn from them. For example, it speculated that the trial judge may have misinterpreted the jury's notes as signs of discord and deadlock when, read literally, they expressly stated no such thing.
The Court of Appeals’ interpretation of the trial record is not implausible. Nor, for that matter, is the more inventive (surely not “crude”) speculation of the dissent. Post, at 789. After all, the jury only deliberated for four hours, its notes were arguably ambiguous, the trial judge’s initial question to the foreperson was imprecise, and the judge neither asked for elaboration of the foreperson’s answers nor took any other measures to confirm the foreperson’s prediction that a unanimous verdict would not be reached.
But other reasonable interpretations of the record are also possible. Lett’s trial was not complex, and there is no reason that the jury would necessarily have needed more than
Given the foregoing facts, the Michigan Supreme Court’s decision upholding the trial judge’s exercise of discretion— while not necessarily correct — was not objectively unreasonable.
The Court of Appeals also erred in a second respect. It relied upon its own decision in Fulton v. Moore,
The Fulton decision, however, does not constitute “clearly established Federal law, as determined by the Supreme Court,” §2254(d)(1), so any failure to apply that decision cannot independently authorize habeas relief under AEDPA. Nor, as the dissent suggests, can Fulton be understood merely to “illuminat[e]” Washington. Post, at 796. Washington nowhere established these three factors as a constitutional test that “determine^]” whether a trial judge has exercised sound discretion in declaring a mistrial.
In concluding that Lett is not entitled to a writ of habeas corpus, we do not deny that the trial judge could have been more thorough before declaring a mistrial. As the Court of Appeals pointed out, id., at 427-428, she could have asked the foreperson additional followup questions, granted additional time for further deliberations, or consulted with the prosecutor and defense counsel before acting. Any of these steps would have been appropriate under the circumstances. None, however, was required — either under our double jeopardy precedents or, by extension, under AEDPA.
* *
AEDPA prevents defendants — and federal courts — from using federal habeas corpus review as a vehicle to second-guess the reasonable decisions of state courts. Whether or not the Michigan Supreme Court’s opinion reinstating Lett’s conviction in this case was correct, it was clearly not unreasonable. 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.
Notes
The dissent correctly points out that AEDPA itself “never uses the term ‘deference.’ ” Post, at 797 (opinion of Stevens, J.). But our cases have done so over and over again to describe the effect of the threshold restrictions in 28 U. S. C. § 2254(d) on granting federal habeas relief to state prisoners. See, e. g., Wellons v. Hall,
We do not think it reasonable, however, to contend that “the foreperson had no solid basis for estimating the likelihood of deadlock.” Post, at 790. She had, after all, participated in the jury’s deliberations.
It is not necessary for us to decide whether the Michigan Supreme Court’s decision — or, for that matter, the trial judge’s declaration of a mistrial — was right or wrong. The latter question, in particular, is a dose one. As Lett points out, at a hearing before the Michigan Court of Appeals, the state prosecutor expressed the view that the judge had in fact erred in dismissing the jury and declaring a mistrial. The Michigan Supreme Court declined to accept this confession of error, People v. Lett,
Dissenting Opinion
with whom Justice Sotomayor joins, and with whom Justice Breyer joins as to Parts I and II, dissenting.
At common law, courts went to great lengths to ensure the jury reached a verdict. Fourteenth-century English judges reportedly loaded hung juries into oxcarts and carried them from town to town until a judgment “ ‘bounced out.' ”
“The reasons why this Valued right’ merits constitutional protection are worthy of repetition.” Arizona v. Washington,
“Even if the first trial is not completed, a second prosecution may be grossly unfair. It increases the financial and emotional burden on the accused, prolongs the period in which he is stigmatized by an unresolved accusation of wrongdoing, and may even enhance the risk that an innocent defendant may be convicted. The danger of such unfairness to the defendant exists whenever a trial is aborted before it is completed. Consequently, as a general rule, the prosecutor is entitled to one, and only one, opportunity to require an accused to stand trial.” Id., at 503-505 (footnotes omitted).
“The underlying idea ... is that the State with all its resources and power should not be allowed to make repeated attempts to convict an individual for an alleged offense, thereby subjecting him to embarrassment, expense and ordeal and compelling him to live in a continuing state of anxiety and insecurity, as well as enhancing the possibility that even though innocent he may be found guilty.” Green v. United States,
In this case, the trial judge did not meet that burden. The record suggests that she discharged the jury without considering any less extreme courses of action, and the record makes quite clear that she did not fully appreciate the scope or significance of the ancient right at stake; The Michigan Supreme Court’s decision rejecting Reginald Lett’s double jeopardy claim was just as clearly in error.
I
No one disputes that a “genuinely deadlocked jury” is “the classic basis” for declaring a mistrial or that such declaration, under our doctrine, does not preclude reprosecution, id., at 509; what is disputed in this ease is whether the trial judge took adequate care to ensure the jury was genuinely deadlocked. A long line of precedents from this Court establishes the “governing legal principle[s],” Williams v. Taylor,
“We think, that in all cases of this nature, the law has invested Courts of justice with the authority to discharge a jury from giving any verdict, whenever, in their opinion, taking all the circumstances into consideration, there is a manifest necessity for the act, or the ends of public justice would otherwise be defeated. They are to exercise a sound discretion on the subject; and it is impossible to define all the circumstances, which would render it proper to interfere. To be sure, the power ought to be used with the greatest caution, under urgent circumstances, and for very plain and obvious causes; and, in capital cases especially, Courts should be extremely careful how they interfere with any of the chances of life, in favour of the prisoner. But, after all, they have the right to order the discharge; and the security which the public have for the faithful, sound, and conscientious exercise of this discretion, rests, in this, as in other cases, upon the responsibility of the Judges, under their oaths of office.” United States v. Perez,9 Wheat. 579 , 580 (1824).
This passage, too, is worthy of repetition, because in it the Perez Court struck a careful balance. The Court established the authority of trial judges to discharge the jury prior to verdict, but in recognition of the novelty and potential injustice of the practice, the Court subjected that authority to several constraints: The judge may not declare a mistrial unless “there is a manifest necessity for the act” or
The seeds of our entire jurisprudence on the permissibility of retrial following an initial mistrial are packed into this one passage. Later Courts have fleshed out Perez, without making significant innovations or additions. Justice Story’s formulation has been “quoted over and over again to provide guidance in the decision of a wide variety of cases,” Washington,
Thus, we have repeatedly reaffirmed that the power to discharge the jury prior to verdict should be reserved for “extraordinary and striking circumstances,” Downum v. United States,
As the Court emphasizes, we have also repeatedly reaffirmed that trial judges have considerable leeway in determining whether the jury is deadlocked, that they are not bound to use specific procedures or to make specific findings, and that reviewing courts must accord broad deference to their decisions. Ante, at 773-775. But the reviewing court still has an important role to play; the application of deference “does not, of course, end the inquiry.” Washington,
Our precedents contain examples of judicial action on both sides of the line. We have, for instance, allowed a second trial when the jurors in the first trial, after 40 hours of deliberation, “announced in open court that they were unable to agree,” and no “specific and traversable fact[s]” called their deadlock into question. Logan v. United States,
On the other hand, we have barred retrial when the first judge acted “abruptly,” cutting off the prosecutor “in midstream” and discharging the jury without giving the parties an opportunity to object. Jorn,
II
The Court accurately describes the events leading up to this trial judge’s declaration of mistrial, ante, at 770-771, but it glides too quickly over a number of details that, taken to
It is probably fair to say that this trial was not especially complex, ante, at 772, 777, but neither was it a trivial affair. Lett was charged with the most serious of crimes, first-degree murder, as well as possession of a firearm during the commission of a felony. He faced a potential sentence of life imprisonment if convicted. Seventeen witnesses provided testimony over the course of 10 calendar days. See
The jury’s first period of deliberation on Thursday afternoon lasted less than 40 minutes. “The jury likely spent” that brief session “doing little more than electing a foreperson.” People v. Lett,
At 12:45 p.m., the trial judge initiated a colloquy with the foreperson that concluded in the mistrial declaration. See ante, at 770-771 (reproducing transcript of colloquy). Even accounting for the imprecision of oral communication, the judge made an inordinate number of logical and legal missteps during this short exchange. Cf. Somerville, 410 U. S., at
The judge began by stating: “ ‘I received your note asking me what if you can’t agree? And I have to conclude from that that that is your situation at this time.’” Ante, at 770. This “ ‘conclusion]’ ” was a non sequitur. The note asked what would happen if the jury could not agree; it gave no indication that the jury had already reached an irrevocable impasse. The judge ignored the request for information that the note actually contained. Instead, she announced that deadlock was the jury’s “‘situation at this time,’” thereby prejudging the question she had ostensibly summoned the foreperson to probe: namely, whether the jury was in fact deadlocked.
The judge continued: “‘I need to ask you if the jury is deadlocked; in other words, is there a disagreement as to the verdict?’ ” Ibid. As the Federal Court of Appeals observed, this question “improperly conflated deadlock with mere disagreement.”
The trial judge then modulated her inquiry: “ ‘Do you believe [the jury] is hopelessly deadlocked?’” Ante, at 770. The foreperson was in the midst of replying, “ ‘The majority of us don’t believe that — ,’ ” when the judge appears to have cut her off. Ibid. One cannot “fault the trial judge” for wanting “to preserve the secrecy of jury deliberations,”
Second, the foreperson’s reply suggests the jury may have been leaning toward acquittal. Admittedly, this is crude speculation, but it is entirely possible that the foreperson was in the process of saying, “The majority of us don’t believe that he's guilty.” Or: “The majority of us don’t believe that there is sufficient evidence to prove one of the counts.” (On retrial, Lett was convicted on both counts.) These possibilities are, I submit, linguistically more probable than something like the following: “The majority of us don’t believe that Lett is guilty, whereas a minority of us believe that he is — and we are hopelessly deadlocked on the matter.” And they are logically far more probable than something along the lines of, “The majority of us don’t believe that we will ever be able to reach a verdict,” as the foreperson had been given no opportunity to poll her colleagues on this point. Yet only such implausible endings could have supported a conclusion that it was manifestly necessary to discharge the jury.
The judge then steered the conversation back to the issue of deadlock, asking: “ ‘Are you going to reach a unanimous verdict, or not?’ ” Ante, at 771. After the foreperson hesitated, the judge persisted: “‘Yes or no?’” Ibid. The foreperson replied: “‘No, Judge.’” Ibid. Two aspects of this interchange are also notable. First, the judge’s question, though “very direct,” was “actually rather ambiguous,” because it gave the foreperson no temporal or legal context
Second, the foreperson’s hesitation suggests a lack of confidence in her position. That alone ought to have called into question the propriety of a mistrial order. But the judge bore down and demanded an unqualified answer, “‘Yes or no.’ ” Most of the time when we worry about judicial coercion of juries, we worry about judges pressuring them, in the common-law manner, to keep deliberating until they return a verdict they may not otherwise have chosen. This judge exerted pressure so as to prevent the jury from reaching any verdict at all. In so doing, she cut off deliberations well before the point when it was clear they would no longer be fruitful. Recall that prior to summoning the foreperson for their colloquy, the trial judge gave her no opportunity to consult with the other jurors on the matter that would be discussed. So, the foreperson had no solid basis for estimating the likelihood of deadlock. Recall, as well, that almost immediately after sending the judge a note asking what would happen if they disagreed, the jury sent a note asking about lunch. Plainly, this was a group that was prepared to go on with its work.
The judge then declared a mistrial on the spot. Her entire exchange with the foreperson took three minutes, from 12:45 p.m. to 12:48 p.m. App. to Pet. for Cert. 93a-94a. The entire jury deliberations took roughly four hours. The judge gave the parties no opportunity to comment on the
In addition to the remarkable “hast[e],” Washington,
Add all these factors up, and I fail to see how the trial judge exercised anything resembling “sound discretion” in declaring a mistrial, as we have defined that term. Indeed, I fail to see how a record could disclose much less evidence of sound decisionmaking. Within the realm of realistic, nonpretextual possibilities, this mistrial declaration was about as precipitate as one is liable to find. Despite the multitude of cases involving hung-jury mistrials that have arisen over the years, neither petitioner nor the Court has been able to identify any in which such abrupt judicial action has been upheld. See Tr. of Oral Arg. 12-15. Even the prosecutor felt compelled to acknowledge that the trial court’s decision
The Michigan Supreme Court’s contrary conclusion was unreasonable. The court suggested that an abuse of discretion should only be found “ ‘when the result is “so palpably and grossly violative of fact and logic that it evidences not the exercise of will but perversity of will, not the exercise of judgment but defiance thereof.’”” Lett,
The Michigan Supreme Court’s defense of the trial court's actions is thus weak on its own terms. It collapses entirely under the weight of the many defects in the trial court’s process, virtually all of which the court either overlooked or discounted.
The unreasonableness of the Michigan Supreme Court’s decision is highlighted by the decisions of the three other courts that have addressed Lett’s double jeopardy claim, each of which ruled in his favor, as well as the dissent filed by two Michigan Supreme Court justices and the opinion of the State’s own prosecutor. This Court’s decision unfortunately compounds the deleterious consequences of the Michigan Supreme Court’s ruling. “Although the trial judge’s decision is entitled to great deference, it is not the place of a reviewing court to extract factoids from the record in an attempt to salvage a bad decision.”
III
The Court does not really try to vindicate the Michigan Supreme Court on the merits, but instead ascribes today’s outcome to the Antiterrorism and Effective Death Penalty Act of 1996 (AEDPA). The foregoing analysis shows why the Michigan Supreme Court’s ruling cannot be saved by 28 U. S. C. § 2254(d)(1), however construed. That ruling was not only incorrect but also unreasonable by any fair measure. Three particular facets of the Court’s AEDPA analysis require a brief comment.
First, the fact that the substantive legal standard applied by the state court “is a general one” has no bearing on the standard of review. Ante, at 778. We have said that “[t]he more general the rule, the more leeway courts have in reaching outcomes in case-by-case determinations.” Yarborough
Second, I do not agree that the Federal Court of Appeals “erred” by “rel[ying] upon its own decision” applying Arizona v. Washington. Ante, at 778. The Sixth Circuit was well aware that its own decision “does not constitute ‘clearly established Federal law, as determined by the Supreme Court.' ” Ante, at 779 (quoting § 2254(d)(1)). The panel expressly stated that it “review[ed] the Michigan Supreme Court’s decision to determine only whether it was objectively unreasonable in light of the holdings of the Supreme Court.”
Finally, I do not agree that AEDPA authorizes “the dual layers of deference” the Court has utilized in this case. Ante, at 778. There is little doubt that AEDPA “directs federal courts to attend to every state-court judgment with utmost care.” Williams,
So on two levels, it is absolutely “necessary for us to decide whether the Michigan Supreme Court’s decision . . . was right or wrong.” Ante, at 778, n. 3. If a federal judge were firmly convinced that such a decision were wrong, then in my view not only would he have no statutory duty to uphold it, but he might also have a constitutional obligation to reverse it. And regardless of how one conceptualizes the distinction between an incorrect and an “unreasonable” state-court ruling under § 2254(d)(1), one must always determine whether the ruling was wrong to be able to test the magnitude of any error. Substantive and methodological considerations compel federal courts to give habeas
‡ ‡ *
In this case, Reginald Lett’s constitutional rights were violated when the trial court terminated his first trial without adequate justification and he was subsequently prosecuted for the same offense. The majority does not appear to dispute this point, but it nevertheless denies Lett relief by applying a level of deference to the state court’s ruling that effectively effaces the role of the federal courts. Nothing one will find in the United States Code or the United States Reports requires us to turn a blind eye to this manifestly unlawful conviction.
I respeetMly dissent.
Comment, Deadlocked Juries and Dynamite: A Critical Look at the “Allen Charge,” 31 U. Chi. L. Rev. 386 (1964) (citing G. Crabb, A History of English Law 287 (1829)); see King v. Ledgingham, 1 Vent. 97, 86 Eng. Rep. 67 (K. B. 1670); 2 M. Hale, Pleas of the Crown 297 (1736).
J. Baker, An Introduction to English Legal History 75 (4th ed. 2002); see also 1 W. Holdsworth, A History of English Law 318-319 (rev. 7th ed. 1956).
“When the evidence on both sides is closed,” Blackstone observed of criminal cases, “the jury cannot be discharged till they have given in their verdict.” 4 Commentaries on the Laws of England 354 (1769).
See Thomas & Greenbaum, Justice Story Cuts the Gordian Knot of Hung Jury Instructions, 15 Wm. & Mary Bill Rights J. 893, 897 (2007). According to these scholars, “[t]he first report of a mistrial for failure to reach a verdict in an American court was 1807.” Ibid.
See, e.g., Mead v. Richland Center,
See, e. g., Commonwealth v. Moore,
See, e. g., Cole v. Swan,
See, e. g., Canterberry v. Commonwealth,
As Justice Harlan observed, “[a] power in government to subject the individual to repeated prosecutions for the same offense would cut deeply into the framework of procedural protections which the Constitution establishes for the conduct of a criminal trial.” United States v. Jorn,
See also Gori v. United States,
See also Jorn,
See Brief for Petitioner 13-14,25, 32 (recognizing this “constitutional floor”).
Accord, Arizona v. Washington,
Another reading of the foreperson’s reply is available: Her statement, “‘The majority of us don’t believe that,’” may have been a complete sentence. In other words, she may have meant to convey, “The majority of us don’t believe that we are hopelessly deadlocked.” The trial-court transcript places an em dash rather than a period after the word “that,” but this is hardly dispositive evidence of intonation or intent. However, the trial judge’s contemporaneous reaction, the fact that the foreperson was not permitted to consult with the other jurors on the issue of deadlock, and respondent’s failure to advance this reading undercut its plausibility.
See, e. g., ABA Standards for Criminal Justice, Discovery and Trial by Jury 15-5.4, pp. 256-257 (3d ed. 1996) ("A trial judge should be able to send the jury back for further deliberations notwithstanding its indication that it has been unable to agree. The general view is that a court may
Like the trial court before it, the Michigan Supreme Court did not make any factual findings to bolster its unreasonable legal conclusion. As the State Court of Appeals noted, the trial judge declared a mistrial as soon as she extracted a suggestive answer from the foreperson. She “never even found on the record that the jury was genuinely deadlocked.” People v. Lett, No. 209513,
See Jorn,
In recognition of this basic insight, our precedents “have made clear” that a state-court decision may be “unreasonable” within the meaning of § 2254(d)(1) when the “state court has misapplied a ‘governing legal principle’ to ‘a set of facts different from those of the case in which the principle was announced.’ ” Wiggins v. Smith,
