RICKY LANGLEY, Petitioner-Appellant, v. HOWARD PRINCE, WARDEN, ELAYN HUNT CORRECTIONAL CENTER, Respondent-Appellee.
No. 16-30486
United States Court of Appeals, Fifth Circuit
June 6, 2019
Before STEWART, Chief Judge, JONES, SMITH, WIENER, DENNIS, OWEN, ELROD, SOUTHWICK, HAYNES, GRAVES, HIGGINSON, COSTA, WILLETT, HO, DUNCAN, ENGELHARDT, and OLDHAM, Circuit Judges.
Appeal from the United States District Court for the Western District of Louisiana. FILED June 6, 2019, Lyle W. Cayce, Clerk.
A Louisiana jury convicted Ricky Langley of second-degree murder. The state court overturned that conviction on direct appeal. So the State retried Langley and re-convicted him. Langley now seeks federal habeas relief. He argues his prior conviction should be construed as an implicit acquittal that bars the re-conviction and allows him to walk free. We disagree.
I.
While on parole for a prior child-molestation conviction, Ricky Langley choked a
The State of Louisiana thrice tried and thrice convicted Langley for his heinous crime. The second and third trials lie at the heart of this case. But we explain all three for the sake of completeness.
Langley I. A Louisiana jury unanimously convicted Langley of first-degree murder and sentenced him to death. For reasons unrelated to this case, Langley‘s first conviction was remanded on direct appeal in state court. See State v. Langley (Langley I), 711 So. 2d 651, 675 (La. 1998) (per curiam) (granting rehearing in part and remanding); see also State v. Langley, 813 So. 2d 356, 358 (La. 2002) (quashing the indictment due to improper selection of the grand jury foreperson). So the State retried him for murder.
Langley II. At the second trial, the jury unanimously convicted Langley of murder once again. This time, however, the jury issued a verdict of second-degree murder. For reasons again unrelated to the appeal before us today, the second jury‘s verdict was also overturned on direct appeal in state court. See State v. Langley (Langley II), 896 So. 2d 200, 201 (La. Ct. App. 2004). So the State again retried Langley for murder.
Langley III. Before the third trial, however, the Louisiana Supreme Court held the second-degree murder conviction precluded the State from retrying Langley for first-degree murder. See State v. Langley (Langley III), 958 So. 2d 1160, 1170 (La. 2007). The court based its holding on state law. Ibid. (citing
Therefore, at Langley‘s third trial, the State charged him only with second-degree murder. Having lost before two juries, Langley decided to try his luck with a bench trial the third time around. Given the facts and his repeated videotaped confessions, however, the trial judge convicted him of second-degree murder. The court found as a matter of fact that Langley had specific intent to kill because, after their “sexual encounter,” Langley thought death would “do this little boy a favor.” The court again sentenced Langley to life in prison.
Langley again appealed. This time he argued the Double Jeopardy Clause should have prohibited the State from retrying him for second-degree specific-intent murder. That result is compelled, Langley said, by Ashe v. Swenson, 397 U.S. 436 (1970). Ashe identified a “collateral estoppel” “ingredient” in the Double Jeopardy Clause and held it precludes a retrial for any issue necessarily determined by a jury‘s general verdict of acquittal. See id. at 442-45. Of course, Langley was not acquitted of second-degree murder in Langley II; he was convicted. Langley nonetheless argued Ashe should be extended to his facts. Langley reasoned
The state courts rejected Langley‘s effort to extend Ashe. See State v. Langley (Langley IV), 61 So. 3d 747, 756-58 (La. Ct. App. 2011), cert. denied, 78 So. 3d 139 (La. 2012). The state appellate court first evaluated the record “to discern which facts were ‘necessarily determined‘” by the jury‘s guilty verdict in Langley II. 61 So. 3d at 757. The only way to determine what the jury actually and necessarily determined is to evaluate what the jury actually and necessarily did—namely, convict Langley of second-degree murder. Although the state court recognized it was “possible that the jury verdict was based on a jury finding under the felony-murder rule,” the court noted it was equally likely the jury based its verdict on second-degree specific-intent murder as an alternative to first-degree murder. Ibid. It was also possible the jury convicted Langley of second-degree murder as a “compromise verdict“—that is, a verdict that did not reflect the jury‘s actual findings, but instead represented a compromise punishment of life in prison that was palatable to all jurors. Ibid. Because the jury could have reached its second-degree murder conviction without necessarily finding Langley lacked specific intent to kill, the Louisiana court held Langley “ha[d] not carried his burden of proving that the element of specific intent was actually decided [in his favor] in the previous trial” to preclude the relitigation of that issue in the third trial. Id. at 758.
Langley filed a federal habeas petition. The district court denied it. See Langley v. Prince, No. 2:13-cv-2780, 2016 WL 1383466, at *1 (W.D. La. Apr. 6, 2016). A panel of our Court, however, reversed and concluded not only that the state court‘s opinion was wrong, but that it was “objectively unreasonable.” Langley v. Prince, 890 F.3d 504, 521-23 (5th Cir. 2018). That decision would‘ve allowed Langley to walk free. But we vacated it upon granting rehearing en banc.
II.
This case implicates constitutional law, the equitable doctrine of estoppel, and statutory text. We address each in turn. We first explain the common-law and constitutional background of the Double Jeopardy Clause. Then we explain how Ashe and collateral estoppel fit into that background. Lastly, we explain how our application of Ashe is affected by the Antiterrorism and Effective Death Penalty Act of 1996 (“AEDPA“),
A.
The Double Jeopardy Clause originates in the common-law plea autrefois acquit, meaning “prior acquittal,” and the related plea autrefois convict. As Sir Edward Coke described it, “the maxim of the common law is, that the life of a man shall not be twice . . . put in jeopardy for one and the same offence, and that is the reason and cause that auterfoits acquitted or convicted of the same offence is a good plea.” Vaux‘s Case (1591), 76 Eng. Rep. 992, 993; 4 Co. Rep. 44a, 45a (K.B.). But as far back as Vaux‘s Case, the plea of prior acquittal was not always a get-out-of-jail-free card. Only some verdicts of acquittal in the first trial would effectively bar a second. See ibid. (discussing some qualifications to the plea); EDWARD COKE, THE THIRD PART OF THE INSTITUTES OF THE LAWS OF ENGLAND 214 (1st ed. 1644) (same); 2 MATTHEW HALE, HISTORIA PLACITORUM CORONÆ 393-95 (1st ed. 1736) (same).
Our Double Jeopardy Clause was framed against this background. James Madison‘s first draft of that Clause stated: “No person shall be subject, except in cases of impeachment, to more than one punishment or one trial for the same offence.” 1 ANNALS OF CONG. 451-52 (1789) (Joseph Gales ed., 1834). Representative Egbert Benson objected because the draft varied from “the right heretofore established” by the common law. Id. at 781. To cure the defect, Benson suggested striking the phrase regarding “one trial.” Id. at 782. Representative Roger Sherman agreed. He reasoned, “if [the defendant] was convicted on the first [trial], and any thing should appear to set the judgment aside, he was entitled to a second, which was certainly favorable to him.” Ibid. The House revised it accordingly, and the Senate concurred in the revision. See S. JOURNAL, 1st Cong., 1st Sess. 71 (1789).
As ratified, the Double Jeopardy Clause provides: “No person shall . . . be subject for the same offence to be twice put in jeopardy of life or limb.”
The Framers adopted not only Blackstone‘s language but also some English common-law exceptions to the pleas of prior acquittal and prior conviction. Most relevant here, the plea did not bar all attempts to retry a criminal defendant. The defendant could be retried, for example:
if the jury have been discharged without giving any verdict; or, if, having given a verdict, judgment has been arrested upon it,1 or a new trial has been granted in his favour; for, in such a case, his life or limb cannot judicially be said to have been put in jeopardy.
3 JOSEPH STORY, COMMENTARIES ON THE CONSTITUTION § 1781 (1st ed. 1833). Likewise, when an “attainder be reversed in a Court of Error,”2 the defendant “may certainly be indicted again for the same offence, and
That is why it has long been true that a defendant can be retried after he successfully appeals his first conviction. See, e.g., Ball v. United States, 163 U.S. 662, 672 (1896) (citing Drury). As the Supreme Court has explained:
While different theories have been advanced to support the permissibility of retrial, of greater importance than the conceptual abstractions employed to explain the Ball principle are the implications of that principle for the sound administration of justice. Corresponding to the right of an accused to be given a fair trial is the societal interest in punishing one whose guilt is clear after he has obtained such a trial. It would be a high price indeed for society to pay were every accused granted immunity from punishment because of any defect sufficient to constitute reversible error in the proceedings leading to conviction.
United States v. Tateo, 377 U.S. 463, 466 (1964); accord Justices of Boston Mun. Court v. Lydon, 466 U.S. 294, 308 (1984) (“The general rule is that the [Double
Jeopardy] Clause does not bar reprosecution of a defendant whose conviction is overturned on appeal.“).
B.
The Supreme Court recently reminded us the line from Vaux‘s Case to Ashe is a crooked one. See Currier, 138 S. Ct. at 2149-50 (noting Ashe “represented a significant innovation in our jurisprudence” that some say “sits uneasily with this Court‘s double jeopardy precedent and the Constitution‘s original meaning“). One reason why is, for the first 164 years of our Nation‘s history, the prohibition on double jeopardy could not be vindicated in habeas proceedings by state prisoners.
From the Founding until after the Civil War, there was no such thing as federal habeas for individuals in state custody (with one limited exception). See
The judgment of a court of record whose jurisdiction is final, is as conclusive on all the world as the judgment of this court would be. It is as conclusive on this court as it is on other courts. It puts an end to inquiry concerning the fact, by deciding it.
Ex parte Watkins, 28 U.S. (3 Pet.) 193, 202-03 (1830).3
In 1867,
For almost a century following the 1867 Act, no prisoner (state or federal) could collaterally attack his conviction under the Double Jeopardy Clause. Take for example Ex parte Lange, 85 U.S. 163 (1873). In that case, a federal court sentenced the prisoner twice for one criminal offense of stealing mail bags. The government conceded the sentence violated the Double Jeopardy Clause. And the Court agreed: “For of what avail is the constitutional protection against more than one trial if there can be any number of sentences pronounced on the same verdict?” Id. at 173. Still, the Court held, that did
not justify habeas relief. That‘s because “[t]he judgment first rendered, though erroneous, was not absolutely void. It was rendered by a court which had jurisdiction of the party and of the offence.” Id. at 174. And that was sufficient to deny relief.
It was not until 1953 that state prisoners could use federal habeas proceedings to relitigate free-standing constitutional claims after pressing and losing them in state court. See Brown v. Allen, 344 U.S. 443, 460-65 (1953); id. at 506-08 (opinion of Frankfurter, J.); see also Fay v. Noia, 372 U.S. 391, 460 (1963) (Harlan, J., dissenting) (describing Brown v. Allen as a “landmark decision[]” that “substantially expanded the scope of inquiry on an application for federal habeas corpus“); BRANDON L. GARRETT & LEE KOVARSKY, FEDERAL HABEAS CORPUS: EXECUTIVE DETENTION AND POST-CONVICTION LITIGATION 3 (Robert C. Clark et al. eds., 2013) (referring to Brown v. Allen as the “big bang“). And it was not until 1969 that the Supreme Court incorporated the Double Jeopardy Clause against the States. See Benton v. Maryland, 395 U.S. 784, 794 (1969). On the same day it announced Benton, the Court held for the first time that state prisoners could raise Double Jeopardy claims in federal habeas. See North Carolina v. Pearce, 395 U.S. 711, 717-19 (1969).
This is the backdrop for Ashe, which came the very next year. In Ashe, a group of masked men allegedly robbed six players at a poker game. 397 U.S. at 437. Under the relevant state law, Ashe was guilty of robbery if he was one of the masked robbers, even if the State could not prove Ashe robbed any one particular poker player. Id. at 439. The State
The Supreme Court held yes. Id. at 447. The Court, however, did not base that holding on autrefois acquit, the common-law qualifications to that plea, or the original meaning of the Double Jeopardy Clause. Instead, the Court identified a collateral estoppel “ingredient” in that Clause. Id. at 442-44. The Court then held the State was collaterally estopped from alleging Ashe was one of the robbers because the first jury (1) returned an acquittal and (2) necessarily determined there was insufficient evidence to prove Ashe was one of the robbers. Id. at 445-47.
The Supreme Court therefore has made clear that Ashe has a different scope than the traditional protections of the Double Jeopardy Clause. “While . . . Ashe‘s protections apply only to trials following acquittals, as a general rule, the Double Jeopardy Clause protects against a second prosecution for the same offense after conviction as well as against a second prosecution for the same offense after acquittal.” Currier, 138 S. Ct. at 2150 (quotation omitted). That‘s why the Court called Ashe “a significant innovation.” Id. at 2149. Indeed, Ashe itself recognized the distinction between its collateral-estoppel rule and the rules that applied “at common law.” 397 U.S. at 445 n.10.
C.
In response to Brown v. Allen—along with its progeny such as Ashe—Congress enacted AEDPA. See Schriro v. Landrigan, 550 U.S. 465, 473 (2007) (noting AEDPA “changed the standards for granting federal habeas relief” from those in Brown v. Allen). As relevant here, AEDPA prohibits a prisoner from raising any claim in federal court unless it was first exhausted in state court. See
judicata rule Chief Justice Marshall recited in Ex parte Watkins and then modifies it. See Felker v. Turpin, 518 U.S. 651, 663-64 (1996) (comparing AEDPA‘s “modified res judicata rule” to Watkins).
To overcome AEDPA‘s relitigation bar, a state prisoner must shoehorn his claim into one of its narrow exceptions. As relevant here, he must show the state court‘s adjudication of the claim “resulted in a decision that was [1] contrary to, or [2] involved an unreasonable application of, clearly established Federal law, as determined by the Supreme Court of the United States.”
The first exception to the relitigation bar—the “contrary to” prong—is generally regarded as the narrower of the two. A state-court decision is “contrary to” clearly established federal law only if it “arrives at a conclusion opposite to that reached by [the Supreme] Court on a question of law or if” it resolves “a case differently than [the Supreme] Court has on a set of materially indistinguishable facts.” Terry Williams v. Taylor, 529 U.S. 362, 413 (2000). Langley identifies no Supreme
The only other exception to
whether that determination was unreasonable—a substantially higher threshold.“). Rather, the relitigation bar forecloses relief unless the prisoner can show the state court was so wrong that the error was “well understood and comprehended in existing law beyond any possibility for fairminded disagreement.” Shoop v. Hill, 139 S. Ct. 504, 506 (2019) (per curiam) (quotation omitted). In other words, the unreasonable-application exception asks whether it is “beyond the realm of possibility that a fairminded jurist could” agree with the state court. Woods v. Etherton, 136 S. Ct. 1149, 1152 (2016) (per curiam); see also Sexton v. Beaudreaux, 138 S. Ct. 2555, 2558 (2018) (per curiam) (asking “whether it is possible fairminded jurists could disagree that those arguments or theories are inconsistent with the holding in a prior decision of this Court” (quotation omitted)).
Overcoming AEDPA‘s relitigation bar is necessary but not sufficient to win habeas relief. Even after overcoming the bar, the prisoner still must “show, on de novo review, that [he is] ‘in custody in violation of the Constitution or laws or treaties of the United States.‘” Salts v. Epps, 676 F.3d 468, 480 (5th Cir. 2012) (quoting
III.
Langley‘s claim fails under these demanding standards. We first explain that Langley cannot surmount AEDPA‘s relitigation bar. Then we explain that the most-on-point Supreme Court precedent supports the State, not Langley. Lastly, even if we set aside AEDPA‘s relitigation bar and review the claim de
novo, Langley still cannot prove his second jury necessarily determined anything regarding his specific intent.
A.
1.
The first step in any case under AEDPA‘s relitigation bar is to determine the “clearly established Federal law, as determined by the Supreme Court of the United States.”
Take for example Carey v. Musladin, 549 U.S. 70 (2006). In that case, the Ninth Circuit held California deprived the defendant of a fair trial by allowing a murder victim‘s family members to sit in the front row of a jury trial wearing buttons with the victim‘s photo. Musladin v. Lamarque, 427 F.3d 653, 654-55 (9th Cir. 2005). The Ninth Circuit identified the clearly established law as “the Williams test.” Id. at 658. “The Williams test” referred to Estelle v. Williams, 425 U.S. 501, 503-06 (1976), in which the Supreme Court held it would violate the defendant‘s fair trial rights to compel him to appear at trial in prison garb. In reversing the Ninth Circuit, the Supreme Court held the clearly established law relevant under AEDPA‘s relitigation bar is only the Supreme Court‘s holdings, not its dicta. Musladin, 549 U.S. at 74. Therefore, Williams clearly established the law only as applied to prison garb—it could not be extended under AEDPA to vitiate state judgments for spectators’ buttons. Id. at 75-77. As the Supreme Court put it in a different but related context:
We have repeatedly told courts . . . not to define clearly established law at a high level of generality. The dispositive question is
whether the violative nature of particular conduct is clearly established. This inquiry must be undertaken in light of the specific context of the case, not as a broad general proposition.
Mullenix v. Luna, 136 S. Ct. 305, 308 (2015) (per curiam) (quotations and emphasis omitted).
In this case, our now-vacated panel opinion conflated the Supreme Court‘s holding with its dicta in much the same way the Ninth Circuit did in Musladin. The Ashe Court had much to say about how or why collateral estoppel should apply in the criminal context—just as the Williams Court had much to say about how or why the State should not allow jurors to see unduly prejudicial things in the courtroom. But the holding in Ashe, like the holding in Williams, was narrower. The Ashe Court held only that a general verdict of acquittal for insufficient evidence that “petitioner was . . . one of the robbers” precluded the State from “hal[ing] him before a new jury to litigate that issue again.” 397 U.S. at 446; see Yeager v. United States, 557 U.S. 110, 119 (2009) (stating Ashe “held that the Double Jeopardy Clause precludes the Government from relitigating any issue that was necessarily decided by a jury‘s acquittal in a prior trial“).
The Supreme Court has found issue preclusion under Ashe only three other times. See Turner v. Arkansas, 407 U.S. 366, 369-70 (1972) (per curiam); Harris v. Washington, 404 U.S. 55, 57 (1971) (per curiam); Simpson v. Florida, 403 U.S. 384, 386 (1971) (per curiam).4 Turner, Harris, Simpson, and Ashe all involved blanket acquittals. See Turner, 407 U.S. at 367 (noting jury returned “a general verdict of acquittal“); Harris, 404 U.S. at 55 (noting defendant “was acquitted by a jury” on a single
jury returned a “general” verdict of acquittal); Ashe, 397 U.S. at 439 (noting jury returned one general verdict of acquittal: “not guilty due to insufficient evidence“). None of the four juries convicted the defendant of the charged crime.
Therefore, none of these cases held issue-preclusion principles apply to a conviction. We asked the parties to identify any case extending Ashe to cases involving a conviction. The parties could not find a single Supreme Court case even hinting at that result. That‘s unsurprising. As the Supreme Court recently acknowledged, ”Ashe‘s protections apply only to trials following acquittals.” Currier, 138 S. Ct. at 2150 (emphases added). Thus, there is no “clearly established Federal law, as determined by the Supreme Court,” explaining whether and to what extent a state court should find issue preclusion following a conviction.
2.
After identifying the clearly established law, we move to step two—determining whether the state court decision “involved an unreasonable application of” that law.
Langley loses at this step. A fairminded jurist could conclude the rule clearly established in Ashe does not apply to a conviction rather than a general acquittal. When a jury issues a general acquittal, it necessarily determines at least something in the defendant‘s favor. It might be possible to identify that something and preclude the government from submitting it to a second jury. That task is obviously different—and more difficult—when the jury convicts
the defendant on at least one count. In the face of a conviction on one count, it is not clear which issues if any the jury determined in the defendant‘s favor on that same count.5
found (2) to the exclusion of (1) and (3) was “clearly . . . unsupported.” Id. at 758.
Even if we thought the state court committed “clear error” by so holding, we still could not grant relief. Woodall, 572 U.S. at 419. After all, neither Ashe nor any other Supreme Court precedent mandates that a lesser-included-offense conviction—or to use the dissent‘s preferred terminology, an “implicit acquittal“—be given issue-preclusive effect. And Supreme Court precedent does mandate caution in finding Ashe issue preclusion where the jury could have rendered a “compromise” or “lenity” verdict. See United States v. Powell, 469 U.S. 57, 65-66 (1984); Standefer v. United States, 447 U.S. 10, 22-23 (1980); accord Bravo-Fernandez v. United States, 137 S. Ct. 352, 363-64 (2016) (noting “the jurors in this case might not have acquitted on [certain] counts absent their belief that the . . . convictions [on other counts] would stand“). Therefore, a fairminded jurist could find that Ashe‘s rule regarding general acquittals does not require issue preclusion for Langley‘s conviction. Under AEDPA, that‘s the end of the matter. See Woodall, 572 U.S. at 419-20.
In the past, some federal courts mistakenly thought it was only the beginning. The Sixth Circuit, for example, faulted a state court for “unreasonably refus[ing] to extend” a Supreme Court precedent “to a new context where [the Sixth Circuit thought] it should apply.” Woodall v. Simpson, 685 F.3d 574, 579 (6th Cir. 2012) (quoting Terry Williams, 529 U.S. at 407). The Supreme Court emphatically reversed. The Court emphasized it “has never adopted the unreasonable-refusal-to-extend rule . . . . It has not been so much as endorsed in a majority opinion, let alone relied on as a basis for granting habeas relief.” Woodall, 572 U.S. at 426; see also ibid. (holding “we reject it“). That result is compelled by the text of the relitigation bar itself: “Section 2254(d)(1) provides a remedy for instances in which a state court
unreasonably applies [the Supreme] 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.” Ibid. To the contrary:
“[I]f a habeas court must extend a rationale before it can apply to the facts at hand,” then by definition the rationale was not “clearly established at the time of the state-court decision.” AEDPA‘s carefully constructed framework “would be undermined if habeas courts introduced rules not clearly established under
the guise of extensions to existing law.”
Ibid. (quoting Yarborough v. Alvarado, 541 U.S. 652, 666 (2004)).
Because a fairminded jurist could decide the clearly established rule does not cover this case, we‘d have to extend Ashe to grant relief here. That is something AEDPA says we cannot do. See, e.g., Woods v. Donald, 135 S. Ct. 1372, 1377 (2015) (per curiam) (“Because none of our cases confront the specific question presented by this case, the state court‘s decision could not be ‘contrary to’ any holding from this Court,” nor an “unreasonable application” thereof. (quotation omitted)); Woodall, 572 U.S. at 427 (“Perhaps the logical next step from [three previous Supreme Court cases] 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.“); Knowles v. Mirzayance, 556 U.S. 111, 122 (2009) (“[T]his Court has held on numerous occasions that it is not ‘an unreasonable application of’ ‘clearly established Federal law’ for a state court to decline to apply a specific legal rule that has not been squarely established by this Court.“); accord Teague v. Lane, 489 U.S. 288, 299-310 (1989) (plurality opinion) (holding federal courts may not develop—and habeas petitioners may not seek—new legal rules on collateral review). As far as we can tell, the only other court of appeals to address this question agrees with us. See Owens v. Trammell, 792 F.3d 1234, 1246-50 (10th Cir. 2015) (holding AEDPA precluded awarding habeas relief based on Ashe following a conviction).6
B.
1.
Extending Ashe in these circumstances would also conflict with other clearly established law. That‘s because the Supreme Court has confronted similar facts before and rejected the prisoner‘s Double Jeopardy claim. See Schiro v. Farley, 510 U.S. 222 (1994). If anything, Schiro was a harder case.
The jury convicted Schiro of felony murder (count II) but did not return a verdict on intentional murder (count I). Id. at 225-26. “Thereafter, in a separate sentencing hearing, the same jury unanimously concluded that Schiro did not deserve the death penalty, presumably because he had not intended to kill.” Id. at 239 (Stevens, J., dissenting) (footnote omitted). And that presumption appeared well grounded because “[t]he principal issue at trial was Schiro‘s mental condition.” Id. at 240; see also ibid. (“No one disputed that he had
they had unanimity—which could imply the jury intended to acquit the defendant on each count they failed to return (like count I, intentional murder). See id. at 233–34 (majority opinion); id. at 246–47 (Stevens, J., dissenting) (arguing jury‘s failure to return a verdict on intentional murder implicitly acquitted on that count). Nonetheless, the State argued Schiro‘s intent was an aggravating factor that justified the court in sentencing him to death. The Supreme Court held the jurors’ failure to return a verdict on intentional murder did not collaterally estop the State from so arguing. Id. at 232–36 (majority opinion); see also Sattazahn v. Pennsylvania, 537 U.S. 101, 113–15 (2003) (holding the Double Jeopardy Clause does not bar reprosecution for capital murder after prisoner successfully appeals judgment for life sentence).7
Louisiana law makes this case easier than Schiro. Under Louisiana law, “the jury must be given the option to convict the defendant of the lesser offense, even though the evidence clearly and overwhelmingly supported a conviction of the charged offense.” State v. Porter, 639 So. 2d 1137, 1140 (La. 1994). And the jury was given that option. The Langley II jury was repeatedly told—orally and in writing—that “[t]he responsive lesser offenses to the charge of First Degree Murder are Second Degree Murder and Manslaughter.” Neither the dissenters nor Langley‘s able appellate attorney has ever disputed that the evidence supported every element of the first-degree murder count against Langley, including specific intent. And a rational jury could have credited that overwhelming evidence and still—in accordance with the instructions and the law—returned a verdict for the lesser-included offense of second-degree specific-intent murder.
As far as the Schiro opinion reveals, the jury in that case received no such option. To the contrary, Indiana law at least arguably required Schiro‘s jury to return a verdict on count I (intentional murder) if they agreed the State proved it. See 510 U.S. at 240–42 (Stevens, J., dissenting). And to the extent Schiro‘s jury instructions were ambiguous on that score, Langley‘s were even more so. See infra at 35–36. If the jury‘s failure to return a verdict on intentional murder did not trigger collateral estoppel in Schiro, it certainly does not do so here.
Finally, it bears emphasis that Schiro was a pre-AEDPA death-penalty case. Even after Schiro‘s jury potentially acquitted him of intentional murder by returning only a verdict of felony murder, the trial judge rejected the jury‘s recommended sentence and held the State proved intent beyond a reasonable doubt for purposes of sentencing the defendant to death. Id. at 226–27 (majority opinion).
In contrast, Langley‘s jury did not return a verdict of felony murder. It returned a verdict of “second-degree murder,” which could mean Langley was convicted of specific-intent murder or felony murder. Langley also faces the additional burden of
2.
At the en banc argument, Langley suggested it matters whether the state court (or the state‘s lawyer at the panel stage) cited Schiro. It doesn‘t. Federal courts must apply
First, it doesn‘t matter whether the state court cited Schiro. The Ninth Circuit once refused to apply
Second, it also doesn‘t matter whether the State‘s panel-stage appellate lawyer cited Schiro. The relitigation bar constrains our ability to award habeas relief regardless of what counsel cites or does not cite. See
Wilson v. Sellers is not to the contrary. Wilson requires us to “look through” to the last reasoned state court decision and apply
Here, as in Schiro, the last-reasoned state court decision held the prisoner failed to prove the jury necessarily determined the specific-intent issue in his favor. Compare Schiro, 510 U.S. at 232–36, with Langley IV, 61 So. 3d at 757–58. Schiro thus illustrates that the last-reasoned state court decision was a reasonable application of Supreme Court precedent, including some holdings the state court did not cite. Nothing in
C.
The principal dissent takes issue with our application of
1.
Collateral estoppel—or, as we call it today, issue preclusion—originates in the law of civil judgments. See, e.g., Cromwell v. County of Sac, 94 U.S. 351, 354 (1876). As with other preclusion doctrines (like res judicata), the idea is that an issue definitively settled once is “forever settled as between the parties.” Baldwin v. Iowa State Traveling Men‘s Ass‘n, 283 U.S. 522, 525 (1931); see also DAVID L. SHAPIRO, CIVIL PROCEDURE: PRECLUSION IN CIVIL ACTIONS 48 (2001) (“[A]n issue once decided is settled, at least as between the parties.“).
In civil cases, the availability of appellate review of the judgment in the first case is particularly important to its issue-preclusive effect in a second case. See id. § 28. That‘s because, as noted above, a civil judgment generates issue preclusion only when it‘s “valid and final.” And the “valid[ity]” of a judgment is suspect if it cannot be reviewed. Therefore, the Restatement concludes, “the availability of review for the correction of errors has become critical to the application of preclusion doctrine.” Id. § 28 cmt. a; see also Bravo-Fernandez, 137 S. Ct. at 358 (“In civil litigation, where issue preclusion and its ramifications first developed, the availability of appellate review is a key factor.“). Correlatively, once a civil judgment is reversed on appeal, it‘s obviously no longer “valid” and retains zero preclusive effect. See RESTATEMENT (SECOND) OF JUDGMENTS § 27 cmt. o; 18A CHARLES ALAN WRIGHT ET AL., FEDERAL PRACTICE AND PROCEDURE § 4432 (3d ed. 2018) [hereinafter WRIGHT & MILLER] (“Reversal and remand for further proceedings on the entire case defeats preclusion entirely until a new final judgment is entered by the trial court or the initial judgment is restored by further appellate proceedings.“).
The principal reason issue preclusion is narrower in criminal cases than in civil ones is the limited availability of appellate review for the former. Criminal issue preclusion attaches to a general verdict of acquittal, and “the Government is precluded from appealing or otherwise upsetting such an acquittal by the Constitution‘s Double Jeopardy Clause.” Powell, 469 U.S. at 65. This “absence of appellate review of acquittals . . . calls for guarded application of preclusion doctrine in criminal cases.” Bravo-Fernandez, 137 S. Ct. at 358; see also Currier, 138 S. Ct. at 2152 (plurality opinion) (“We think that caution remains sound.“).
Take for example Standefer. In that case, the defendant was indicted for bribing an IRS official. 447 U.S. at 11. While that indictment was pending, the IRS official was acquitted of accepting three bribes from Standefer. Id. at 12–13. Standefer argued the IRS official‘s acquittal should trigger nonmutual collateral estoppel against the government‘s prosecution of Standefer. Id. at 13–14, 21–22. The Supreme Court rejected that argument because the government did not have a full and fair opportunity to litigate the acquittal of the IRS agent. Id. at 22. For example, the government could not seek a new trial because the acquittal is contrary to the evidence, nor could it appeal the acquittal. The Supreme Court explained:
The absence of these remedial procedures in criminal cases permits juries to acquit out of compassion or compromise or because of their assumption of a power which they had no right to exercise, but to which they were disposed through lenity. It is of course true that verdicts induced by passion and prejudice are not
unknown in civil suits. But in civil cases, post-trial motions and appellate review provide an aggrieved litigant a remedy; in a criminal case the Government has no similar avenue to correct errors. Under contemporary principles of collateral estoppel, this factor strongly militates against giving an acquittal preclusive effect.
Id. at 22–23 (quotations and citations omitted). Time and again—from Powell and Standefer to Currier and Bravo-Fernandez—the Supreme Court has repeatedly admonished lower courts to carefully apply issue preclusion in criminal cases.
2.
Our now-vacated panel opinion misapplied these principles. It ignored the Supreme Court‘s admonition regarding “guarded application of preclusion doctrine in criminal cases.” Bravo-Fernandez, 137 S. Ct. at 358. In its place, the panel substituted a rigid logic game, complete with numbered “conditions” that could be “fulfilled” or negated according to “the rules of logic.” 890 F.3d at 519–20. That not only contravenes the Supreme Court‘s warnings in cases like Currier, Bravo-Fernandez, Standefer, and Powell, but it also contravenes Ashe itself. Ashe emphasized “the rule of collateral estoppel in criminal cases is not to be applied with the hypertechnical and archaic approach of a 19th century pleading book, but with realism and rationality.” 397 U.S. at 444.
Under a proper understanding of collateral estoppel principles, Langley cannot demonstrate Langley II precluded the specific-intent issue. That‘s for three reasons.
First, Langley cannot prove the jury “actually determined” the issue of specific intent even under the (broader) rules of civil judgments. See RESTATEMENT (SECOND) OF JUDGMENTS § 27 (one prerequisite of preclusion is the issue was “actually . . . determined” in the first civil action); SHAPIRO, supra, at 48 (“[T]he first precondition for the application of issue preclusion [is] that the issue have been ‘actually litigated and determined’ . . . in the prior action.“). Here is what the Langley II jury actually determined:
We presume the jury followed its instructions in rendering this verdict. See, e.g., Turner, 407 U.S. at 369.
We turn then to the jury instructions. The judge orally instructed the jury it could premise its second-degree murder conviction on a finding of specific intent. During its deliberations, the jury sent a note asking for “the instruction sheet” on “specific intent” (among other things). The judge provided the jury with written instructions that again told the jury it could convict Langley of second-degree murder based on specific intent. Langley never objected to any of this at trial. To the contrary, counsel for the State and the
We are aware of no case from any court that would allow us to infer a jury “irrationally” chose a concededly valid option offered in the instructions. It was therefore wrong to hold, as the panel did, that no “rational jury could have convicted Langley of specific intent second degree murder.” Langley, 890 F.3d at 521 (quotation and alteration omitted). Under de novo review, we hold the state court was objectively correct to find “[i]t is possible that the jury convicted the defendant of specific intent second degree murder.” Langley IV, 61 So. 3d at 757. Langley therefore cannot prove the jury “actually determined” the issue of specific intent in his favor.
Second, and for similar reasons, Langley cannot prove the issue of specific intent was “necessary” or “essential to the judgment” even under the (broader) civil preclusion rules. See RESTATEMENT (SECOND) OF JUDGMENTS § 27 (one prerequisite of preclusion is the issue was “essential to the judgment“); SHAPIRO, supra, at 50 (same). Under Louisiana law, a jury can find a defendant overwhelmingly guilty of first-degree murder and still choose to convict of second-degree murder. See Porter, 639 So. 2d at 1140;
Moreover, the instructions gave the jury a rational reason not to decide the issue. If the jury wanted to reconvene for a punishment hearing to sentence Langley to death, it would have to confront the specific-intent issue, find it, and convict him of first-degree murder. But if the jury chose second-degree murder, it could convict without deciding the specific-intent issue, avoid a separate sentencing hearing, and ensure Langley would spend the rest of his life behind bars. The jury instructions were explicit to that effect: “Whoever commits the crime of Second Degree Murder shall be punished by life imprisonment at hard labor without the benefit of probation, parole, or suspension of sentence.” And Langley‘s lawyer used these instructions to plead for the jury‘s mercy. The record suggests the jury might‘ve chosen
Third and finally, Langley cannot prove the issue of specific intent was decided in a “valid and final” judgment even under the (broader) civil preclusion rules. See RESTATEMENT (SECOND) OF JUDGMENTS § 27 (one prerequisite of preclusion is the issue was decided in a “valid and final” civil judgment); SHAPIRO, supra, at 29 (“In addition to the requirement of ‘validity,’ a judgment must be ‘final’ to be entitled to recognition.“). When a judgment is partially reversed on appeal, “[t]here is no preclusion as to the matters vacated or reversed.” 18A WRIGHT & MILLER, supra, § 4432; cf. Aguillard v. McGowen, 207 F.3d 226, 229 (5th Cir. 2000) (“A conviction overturned on appeal cannot constitute a final judgment for purposes of collateral estoppel.“). And the preclusive effect of the remainder of the judgment “is controlled by the actual appellate disposition.” 18A WRIGHT & MILLER, supra, § 4432.
Here, the Louisiana intermediate appellate court reversed the Langley II judgment and remanded for retrial on everything. See Langley II, 896 So. 2d at 212. The Louisiana Supreme Court agreed the “trial error require[d] a reversal of Langley‘s conviction and sentence,” but held, under Louisiana law, the jury‘s conviction for the lesser-included offense of second-degree murder precluded retrying Langley for the greater offense of first-degree murder. See Langley III, 958 So. 2d at 1170 (citing
3.
The dissenters offer four responses to our de novo rejection of Langley‘s claim. The first is confusing. The second is imaginary. The third is irrelevant. And the fourth is unfortunate.
First, the confusion: The dissenters excoriate our reliance on the Restatement (Second) of Judgments as somehow constituting a “doctrinal innovation” in issue-preclusion law. See, e.g., post at 45, 59 (Higginson, J., dissenting). But as noted above, the Supreme Court itself “regularly turns to the Restatement (Second) of Judgments for a statement of the ordinary elements of issue preclusion.” B&B Hardware, 135 S. Ct. at 1303; see also, e.g., Herrera v. Wyoming, --- S. Ct. ---, 2019 WL 2166394, at *7 (May 20, 2019); id. at *16–20 (Alito, J., dissenting); Kircher v. Putnam Funds Tr., 547 U.S. 633, 646–47 (2006); New Hampshire v. Maine, 532 U.S. 742, 748–49 (2001); Arizona v. California, 530 U.S. 392, 414 (2000); Baker v. Gen. Motors Corp., 522 U.S. 222, 233 n.5 (1998); United States v. Stauffer Chem. Co., 464 U.S. 165, 171 (1984); Montana v. United States, 440 U.S. 147, 153–54 (1979). Unsurprisingly, the Supreme Court also relies on the Restatement to determine the bounds of Ashe issue preclusion. See, e.g., Bravo-Fernandez, 137 S. Ct. at 357–58; Bobby v. Bies, 556 U.S. 825, 834, 837 (2009). There is nothing remotely “innovati[ve]” about our reliance on the Restatement here. Post at 59 (Higginson, J., dissenting).11
Equally baffling is the dissenters’ concern over whether the state courts relied on the Restatement. E.g., post at 45 (Higginson, J., dissenting). Under
Their second response is imaginary. The dissenters posit a hypothetical jury trial
Their third response is irrelevant. The dissenters make much of the jury instruction that said, “[i]f you are convinced beyond a reasonable doubt that [Langley] is guilty of first degree murder, your verdict should be ‘guilty.‘” Post at 48 (Higginson, J., dissenting) (second alteration in original). The dissenters say this instruction prohibited the jury from returning a verdict for second-degree specific-intent murder. Of course, that ignores the other instructions that empowered the jury to return a “SECOND DEGREE MURDER” verdict based on a finding “THAT THE DEFENDANT ACTED WITH SPECIFIC INTENT TO KILL.” It ignores Langley‘s agreement—at trial and here—that the jury could return a verdict for second-degree specific-intent murder. See supra at 29. And it would require holding the jury instructions violated Louisiana law. See supra at 30–31 (noting, under Porter and Article 814(A)(1), the jury could find specific intent and choose second-degree murder). “We do not think that a federal court can presume so lightly that a state court failed to apply its own law.” Bell v. Cone, 543 U.S. 447, 455 (2005) (per curiam).
But even if Langley could misconstrue the instructions as violating state law, it would still be irrelevant. Schiro holds that issue preclusion does not attach where “[t]he jury instructions on the issue of intent to kill were . . . ambiguous.” 510 U.S. at 234. If we agree with the dissenters on anything, it‘s that one instruction very clearly told the Langley II jury it could convict of second-degree specific-intent murder. And if we spot the dissenters all of their points arguendo, the absolute most they can prove is that a second jury instruction told the jury it could not convict of second-degree specific-intent murder. That ambiguity would put the case on all fours with Schiro. And it would compel the denial of habeas relief—with AEDPA or without it.
Fourth and finally, the unfortunate: The dissenters accuse us of “dangerously disregard[ing] Supreme Court precedent,” “eras[ing] constitutional protections,” and tearing “many pages . . . from the United States and Federal Reporters.” Post at 47, 61 (Higginson, J., dissenting). Worse, they question whether our real motivation is to underrule Ashe because we “disagree strongly with [its] foundations.” Id. at 46 n.5. Worse still, they say we have bartered away our legal principles “wholesale” to reach a preferred policy result. Id. at 45–46. This sort of rhetoric is regrettable.
We will not respond in kind. But we will make our motivation patently clear: It is the law. Ashe, Turner, and every other Supreme Court case finding issue-preclusion under the Double Jeopardy Clause involved a general acquittal. This one does not. If we were state judges, we‘d obviously still disagree with the dissenters about whether issue preclusion attaches to Langley‘s conviction. That much is obvious from our de novo review of the issue-preclusion
But of course, we are not state judges. And we are bound by
* * *
The principal Founding-era concern regarding the scope of Article III was that it could empower federal judges to run roughshod over state courts. See, e.g., Brutus, Essay I (Oct. 18, 1787), in 2 THE COMPLETE ANTI-FEDERALIST 363, 366–67 (Herbert J. Storing ed. 1981). Few things bring this concern into sharper relief than using logic games in federal habeas to set free from state custody a thrice-convicted child-murderer.12
Judgment AFFIRMED. Habeas DENIED.
JENNIFER WALKER ELROD and CATHARINA HAYNES, Circuit Judges, joined by CARL E. STEWART, Chief Judge, concurring:
We concur in the judgment of the en banc court in this case. We write separately because we conclude that this case is resolvable based solely on the limitations on federal court habeas review as a result of
As is well established, and as the majority opinion explains, our review of legal decisions by state courts in this context is limited to decisions “contrary to” or involving “an unreasonable application of . . . clearly established Federal law, as determined by the Supreme Court of the United States.” Majority Op. at 12 (emphasis added) (quoting
Although the above is enough, another straightforward basis supports affirmance: Even if, as the dissenting opinions argue, we were to accept that applying Ashe to an implied acquittal when there was an actual conviction is somehow not an extension of precedent, the Louisiana court‘s conclusion under Ashe was objectively correct. See State v. Langley, 61 So. 3d 747, 757–58 (La. Ct. App. 2011) (holding that Langley had “not carried his burden of proving that the element of specific intent was actually decided” because “[i]t is possible that the jury convicted [Langley] of specific intent second degree murder“). Under Louisiana law, it is not only possible but also entirely permissible that the Langley II jury convicted Langley of second degree specific intent murder. After all, in a Louisiana criminal trial, “the jury must be given the option to convict the defendant of the lesser offense, even though the evidence clearly and overwhelmingly supported a conviction of the charged offense.” State v. Porter, 639 So. 2d 1137, 1140 (La. 1994). While perhaps unique, this statutory “responsive verdict” right has existed in Louisiana law “[s]ince before the turn of the century[.]” Id.
The principal dissenting opinion overlooks this critical anomaly in Louisiana law when it concludes that the jury necessarily decided the issue of specific intent in Langley‘s favor. See Principal Dissenting Op. at 53. As the majority opinion observes, the trial court explicitly instructed the Langley II jury that it could convict Langley of second degree murder based on a finding of “SPECIFIC INTENT TO KILL.” Majority Op. at 35. The jury was further instructed, in line with Louisiana‘s responsive verdict rule, that second degree murder was a “responsive lesser offense[]” to first degree murder. Majority Op. at 21. Thus, under Louisiana law as explained in the jury instructions, even if the jury found that the evidence supported a conviction for first degree murder, it could nonetheless vote to convict Langley of second degree specific intent murder. This, then, is the logical flaw in the principal dissenting opinion: it assumes that, in returning a verdict of second degree murder, the jury must have determined that the evidence was insufficient for a first degree murder conviction. But Louisiana law tells us that is simply not so.1
instructions as a whole leads it to draw inferences about the jury‘s verdict that do not logically follow from the totality of the circumstances. Taken as a whole, the jury instructions actually undercut those inferences.
The principal dissenting opinion construes the Louisiana court‘s jury instructions like ordinary federal jury instructions and in doing so disregards a significant nuance in Louisiana law. This runs counter to AEDPA‘s goal of advancing “comity, finality, and federalism” and threatens the “mutual respect and common purpose existing between the States and the federal courts.” Williams v. Taylor, 529 U.S. 420, 436 (2000). To preserve that careful balance, we should adhere to Louisiana‘s long-established responsive verdict rule and afford the Langley II jury‘s verdict the high level of respect that it is due.
Simply put, Louisiana‘s Third Circuit Court of Appeal did not unreasonably apply clearly established federal law and, based on its superior understanding of the way responsive verdicts work in Louisiana, its conclusion was objectively correct. Accordingly, the district court correctly denied relief. We therefore join in the judgment of affirmance of the district court‘s denial of habeas relief.
STEPHEN A. HIGGINSON, Circuit Judge, joined by WIENER, DENNIS, GRAVES, and COSTA, Circuit Judges, dissenting:
The majority concludes that the Louisiana Third Circuit Court of Appeal reasonably rejected Ricky Langley‘s argument that Ashe v. Swenson, 397 U.S. 436 (1970), precluded the State of Louisiana retrying the issue of Langley‘s specific intent to kill. The majority says that the panel, in its now-vacated decision granting relief, enforced an unduly rigid conception of Ashe and impermissibly faulted the state court for not extending Ashe. But the majority‘s opinion, ostensibly an effort to set Supreme Court precedent straight, never explains that precedent. It does not, because it cannot. To say what the governing law actually requires is to pull a thread that unravels the majority‘s analysis.
Ashe preclusion operates at the level of issues––that is, elements of an offense, rather than offenses in toto. Ashe requires reviewing courts to decide “whether a rational jury could have grounded its verdict upon an issue other than that which the defendant seeks to foreclose from consideration.” 397 U.S. at 444. We are to decide that question by “examin[ing] the record of a prior proceeding, taking into account the pleadings, evidence,
Langley faced three possible offenses of conviction at his 2003 trial that are relevant here: the charged offense, first degree specific-intent murder; and two responsive verdicts, second degree specific-intent murder and second degree felony murder.1 The jury‘s verdict, in accordance with state law,2 was “guilty of second degree murder,” not specifying the type.3
The Louisiana Court of Appeal suggested three explanations for the jury‘s verdict, concluding that it could not say whether the jury had necessarily decided the issue of Langley‘s specific intent. State v. Langley, 61 So. 3d 747, 757–58 (La. Ct. App. 2011). Properly applied, Ashe‘s principles foreclose two of the three explanations, just as they compel the remaining one: Langley‘s specific intent to kill was the only element of murder disputed in 2003; his lawyers successfully disputed it; the jury acquitted him of first degree specific-intent murder; hence the jury convicted him of second degree felony murder.
The Louisiana Court of Appeal‘s other explanations, avoiding Ashe protection, were that the jury may have chosen second degree specific-intent murder or may simply have reached a “compromise verdict” regardless of specific intent. Langley, 61 So. 3d at 757–58. Both contravene Ashe and Turner‘s directions to assume a rational jury that follows the facts where its instructions lead. If the State had proved Langley‘s specific intent, a rational jury following the instructions given here would have convicted him of first degree specific-intent murder.
Thus, to say what Ashe requires is to see that it leaves just one explanation for Langley‘s 2003 conviction: acquittal on the issue of specific intent. In 2007, the Louisiana Supreme Court, relying on both state and federal law, ruled that Langley‘s 2003 verdict acquitted him of first degree murder, barring retrial on that charge. State v. Langley, 958 So. 2d 1160, 1170 (La. 2007). The Louisiana Code of Criminal Procedure operated to make the jury‘s verdict of second degree murder an acquittal of first degree murder. Id. (citing
It is this acquittal to which Ashe issue preclusion attaches. Langley‘s argument is straightforward and grounded in Supreme Court precedent: Ashe, which is a half-century old, and Green, which is even older. This Supreme Court precedent entitles Langley to habeas relief.4
If the majority dealt squarely with Langley‘s argument, we could perhaps have avoided much length and complication in our combined opinions. The majority does acknowledge that Langley was acquitted of first degree specific-intent murder in 2003. But the majority is unable to explain why that acquittal can bar retrial on the charge, yet not on the charge‘s elements. And so the majority attempts to rationalize the state court‘s decision in other ways.
In Part III(A)(2), the majority suggests that the Louisiana Court of Appeal refused to extend Ashe to implied acquittals on the theory that the law did not clearly establish that it was required to do so. But no extension was required, and the state court plainly believed that Ashe applied. It explained that the “Double Jeopardy Clause protects against successive prosecutions following acquittal or conviction” and stated the correct Ashe standard. 61 So. 3d at 757.
Next, in Part III(B)(1), the majority rationalizes the Louisiana Court of Appeal‘s decision with reference to Schiro v. Farley, 510 U.S. 222 (1994). But Schiro simply had different facts than this case. Moreover, Schiro never appeared in the state court‘s decision, in name or in substance, and it has never played a part in the State‘s opposition to Langley‘s habeas petition.
By relying on post hoc rationalizations that cannot be squared with what the state court actually said, the majority departs from the Supreme Court‘s recent direction on review of reasoned state-court decisions: “a federal habeas court simply reviews the specific reasons given by the state court and defers to those reasons if they are reasonable.” Wilson v. Sellers, 138 S. Ct. 1188, 1192 (2018) (emphasis added). The obligation to search for supportive reasoning obtains only when a state court issues a decision unaccompanied by any reasoning from itself or a lower state court. Id. at 1195; see Harrington v. Richter, 562 U.S. 86 (2011). Richter‘s “could have supported” framework does not apply otherwise. Wilson, 138 S. Ct. at 1195.
The majority also departs from the Supreme Court‘s constitutional command in Ashe. The majority imports extended discussion, far more than of Ashe itself, from the Second Restatement of Judgments, which the Supreme Court has never used to adjudicate an Ashe claim. In place of the straightforward Ashe inquiry explained above, the majority develops a novel set of “essential prerequisites,” analyzing Langley‘s claim under a framework that played no part in the Louisiana Court of Appeal‘s decision or in the State‘s arguments at any stage in this litigation.
In turn, the majority‘s wholesale substitution of principles, embraced without either district court or adversary treatment, broadly threatens double jeopardy doctrine. Rather than dealing squarely with Langley‘s argument that Ashe preclusion flows from Langley‘s acquittal of first degree
Why this avoidance of Supreme Court precedent, both old and new? Perhaps because its correct application yields an unthinkable result due to the horror of Langley‘s crime.5 The majority accurately describes the gruesome details, which shock and disgust. As it happens, Langley‘s 2003 jury had been instructed on predicate offenses for felony murder that were not enumerated in the felony murder statute at the time of Langley‘s offense. The State discovered this error on the eve of the 2009 trial, which appeared to close off the felony murder route to a new second degree murder conviction. That left the State in a bind: charge lesser offenses or retry the specific intent issue decided in Langley‘s favor in 2003. The State chose the latter, and here we are.
Though rejecting the State‘s choice may seem unthinkable, the monstrosity of Langley‘s crime does not put him beyond constitutional protection. The Constitution protects all, including the least and worst among us. Indeed, its safeguards against the profound deficiencies that marred Langley‘s first two trials are the reason that the majority is able to call Langley “thrice-convicted.” If commission of serious crime suffices to erase constitutional protections, many pages must be torn from the United States and Federal Reporters. But it is not in our power to abrogate constitutional law announced by the Supreme Court, nor should we do so indirectly.
I
The vacated panel opinion recounts this case‘s long history in detail, Langley v. Prince, 890 F.3d 504, 508–14 (5th Cir. 2018), and the majority‘s opinion notes the relevant points. A brief review is sufficient here. Committing the offense in 1992, Langley first stood trial in 1994, and his conviction of first degree murder was then set aside due to a flaw that, while substantial, is not significant here. See State v. Langley, 813 So. 2d 356 (La. 2002).
In 2003, the trial relevant to our Ashe inquiry took place. The State charged Langley again with first degree murder, and Langley pleaded not guilty as well as not guilty by reason of insanity. His counsel conceded that Langley had killed the victim, a boy six years old. The defense focused instead on Langley‘s state of mind. Contrary to the majority‘s assertion that evidence of Langley‘s specific intent was overwhelming, defense counsel argued that Langley could not form the specific intent to kill because his mental illness, history of trauma, and exposure to a toxic prenatal environment had rendered him unable to
The trial judge––whose misconduct would cause this conviction to be set aside7––instructed the jury on first degree murder, which consisted of (1) killing a human being (2) with specific intent to kill or to inflict great bodily harm (3) with one or more aggravating factors. See
Crucially for our Ashe inquiry, the trial judge instructed the jury to begin with first degree murder, the charged offense: “[I]f you are convinced beyond a reasonable doubt that [Langley] is guilty of first degree murder, your verdict should be ‘guilty.‘” The jury could then proceed to considering a lesser offense only if it were not so convinced. The judge then instructed the jury on the lesser offenses that Louisiana has deemed responsive to a charge of murder. The judge explained that second degree murder consists of either: (1) killing a human being (2) with specific intent to kill or inflict great bodily harm (“specific-intent second degree murder“), see
14:93. The judge then told the jury: “If you are not convinced that [Langley] is guilty of first degree murder, but you are convinced beyond a reasonable doubt that [he] is guilty of second degree murder, the form of your verdict should be ‘guilty of second degree murder.‘” Thus, under these instructions, and as the Louisiana Supreme Court would later determine,9 a second degree murder verdict was an acquittal of first degree murder.
Consistent with state law,10 the verdict form listed the possible responsive verdicts—“guilty,” “guilty of second degree murder,” “guilty of manslaughter,” “not guilty by reason of insanity,” and “not
The Louisiana Court of Appeal then reversed and remanded for a new trial due to the trial judge‘s misconduct. See State v. Langley, 896 So. 2d 200, 212 (La. Ct. App. 2004). Significantly, the court believed that the judge‘s misconduct was structural error, rendering the verdict “an absolute nullity” and permitting the State to re-try Langley for first degree murder. Id. at 210–12. The State attempted to do just that, and Langley‘s motion to quash the new indictment brought the issue to the Louisiana Supreme Court, which ruled:
The instructions admonished jurors that if they were not convinced beyond a reasonable doubt “that the defendant is guilty of First Degree Murder, but you are convinced beyond a reasonable doubt that the defendant is guilty of second degree murder the form of your verdict should be guilty of Second Degree Murder.” Jurors then returned a lawful, unanimous verdict convicting Langley of second degree murder. Second degree murder is a crime under the
laws of Louisiana and is a responsive verdict to a charge of first degree murder.
[...]
Under these circumstance[s], and by operation of longstanding double jeopardy law, we hold that the unanimous verdict of guilty of second degree murder returned by Langley‘s jury in [Langley‘s second trial] implicitly acquitted him of first degree murder.
State v. Langley, 958 So. 2d 1160, 1170 (La. 2007) (citations omitted). This ruling relied on both state and federal law. The Louisiana Supreme Court read the jury instructions as requiring the jury to acquit on first degree murder before considering second, and Louisiana law provides that “[w]hen a person is found guilty of a lesser degree of the offense charged, the verdict . . . is an acquittal of all greater offenses charged in the indictment.” Id. at 1169–70 (quoting
A bench trial followed in 2009, with first degree murder removed from the indictment. Raising the Ashe issue, Langley‘s counsel argued that specific-intent second degree murder should also be removed, because the 2003 verdict could be rationally explained only as an acquittal on the issue of Langley‘s specific intent. Second degree felony murder would be left as the most serious charge. But the trial judge rejected Langley‘s argument, so the indictment contained both varieties of second degree murder. The next day, however, the State orally withdrew the felony murder charge, having realized that its preferred predicate offenses, second degree kidnapping and cruelty to juveniles, were not enumerated in the felony murder statute at the time of Langley‘s offense. Specific-intent second degree murder, already under the cloud of Ashe, became the State‘s only route to a murder conviction.
The judge ultimately found Langley guilty of second degree murder. The ruling
On appeal, the Louisiana Third Circuit Court of Appeal issued the ruling in question here. It recognized that the Double Jeopardy Clause applied “following acquittal or conviction.” Langley, 61 So. 3d at 757 (quotation omitted). It acknowledged Ashe “prohibits the state from relitigating an issue of ultimate fact that has been determined by a valid and final judgment.” Id. (citing Ashe, 397 U.S. at 443). It then correctly quoted the Ashe standard. Id. (“[T]o determine which facts were ‘necessarily decided’ by the general acquittal in the first trial, it is necessary to examine the record of the prior proceeding in order to determine ‘whether a rational jury could have grounded its verdict upon an issue other than that which the defendant seeks to foreclose from consideration.‘“) (quoting Ashe, 397 U.S. at 444). The court‘s Ashe analysis, in full, is as follows:
When a lesser included offense to the crime charged is returned by a jury it is not always possible to determine why that verdict was reached. It is possible that the jury convicted the defendant of specific intent second degree murder. It is possible that the jury verdict was based on a jury finding under the felony-murder rule, and the jury determined there was no specific intent to kill. It is equally plausible that, given the nature of the case, the verdict was, in fact, a compromise verdict. Regardless of the jury‘s thought process in this particular case, clearly the argument that the issue of specific intent was “necessarily determined” is unsupported. The
defendant has not carried his burden of proving that the element of specific intent was actually decided in the previous trial.
Id. at 757–58. The Louisiana Supreme Court then declined discretionary review, 78 So. 3d 139 (La. 2012), leading Langley to federal habeas and ultimately to our court.
II
Ashe tells courts how to identify the issues that a jury necessarily determined, and its method is directed squarely at deciphering general verdicts:
Where a previous judgment of acquittal was based upon a general verdict, as is usually the case, this approach requires a court to examine the record of a prior proceeding, taking into account the pleadings, evidence, charge, and other relevant matter, and conclude whether a rational jury could have grounded its verdict upon an issue other than that which the defendant seeks to foreclose from consideration.
397 U.S. at 444. We are to assume a rational jury, not to speculate about “what transpired in the jury room.” Yeager, 557 U.S. at 122. Indeed, relief under Ashe depends on the assumption that the jury acted rationally. When the jury‘s verdict is “irreconcilably inconsistent“––for instance, convicting on a compound offense but acquitting on one of its predicates––the verdict has no preclusive effect. See Bravo-Fernandez v. United States, 137 S. Ct. 352, 356–57 (2016). A court applying Ashe also assumes that the jury believed any “substantial and uncontradicted evidence of the prosecution on a point the defendant did not contest.” Ashe, 397 U.S. at 444 n.9 (quotation omitted).
When there is just a “single rationally conceivable issue in dispute before the jury,” Ashe, 397 U.S. at 444, as there is here, this can be a straightforward inquiry. At trial in 2003, the jury was instructed on three offenses relevant here: first degree specific-intent murder; second degree specific-intent murder; and second degree felony murder. The two degrees of specific-intent murder shared two elements: the killing of a human being and the specific intent to kill or inflict great bodily harm. First degree differed from second only by specifying the age of the victim––under twelve––an element not in dispute. The fact of the killing was not disputed either. Specific intent was thus the single rationally conceivable issue in dispute before the jury. If specific intent had been proven, a rational jury following the instructions given here would have been obligated to choose first degree murder.12 The jury did not, indicating that it had necessarily decided the issue of specific intent in Langley‘s favor. As such, the jury‘s choice of second degree murder can be rationally explained only as a felony murder verdict.
As noted at the outset, the Ashe analysis forecloses the two other possibilities suggested by the Louisiana Court of Appeal: that the jury convicted Langley of specific-intent second degree murder, or that the jury reached a compromise verdict. 61 So. 3d at 757–58. The jury instructions, if rationally followed, rule out both. The jury was told to start with first degree murder, two elements of which were uncontested. If the State had proved specific intent, the remaining element, the jury would have been obligated to convict Langley of first degree murder, not second degree murder. Likewise, the jury instructions did not suggest or permit a compromise verdict on a lesser offense despite convincing evidence of a greater offense. The Louisiana Court of Appeal‘s speculation about a compromise cannot be squared with Turner‘s teaching to treat juries as “obligated” to follow their instructions. Consequently, the Louisiana Court of Appeal‘s alternative explanations were objectively unreasonable applications of Ashe and its progeny.
There is thus only one rational explanation of the jury verdict‘s acquittal of first degree murder and conviction of second degree murder: the jury acquitted on the issue of specific intent, hence convicted Langley of felony murder. Langley‘s retrial in 2009 should not have been allowed to proceed on the charge of second degree specific-intent murder. The resulting conviction therefore violates the Double Jeopardy Clause, entitling Langley to habeas relief.
III
The majority‘s reasons for not disturbing the Louisiana Court of Appeal‘s decision depend either on new rationales not employed by the state court or on avoidance of what Ashe requires. Each move the majority makes is therefore a wrong step on the landscape of Supreme Court precedent.
A
The majority begins by framing the panel‘s ruling as requiring an extension of Ashe: “A fairminded jurist could conclude the rule clearly established in Ashe does not apply to a conviction rather than a general acquittal.” Supra, Part III(A)(2). This statement is puzzling at first glance, because the Louisiana Supreme Court ruled that Langley was acquitted of first degree specific-intent murder. Langley, 958 So. 2d at 1170. The 2009 trial proceeded on that ruling, and any possible preclusion would attach to that acquittal. The majority means to say that Langley received an implied acquittal of first degree murder alongside his conviction of second degree murder, and the law is not clearly established that Ashe preclusion may arise from such a verdict.
The majority is quite right to hedge that “[w]e may or may not find this distinction persuasive.” But it is quite wrong to say that “the last reasoned state court decision found it persuasive.” On the contrary, the Louisiana Court of Appeal plainly believed that Ashe applied. 61 So. 3d at 757. It cited Ashe, quoted the standard, and asked the right question––albeit a question it answered unreasonably. If the state court had any doubt that Ashe applied, it did not say so. Consequently, the majority has contrived a rationale for the state court‘s decision that is incompatible with the reasoning that the state court actually gave.
The Supreme Court‘s decisions give us no license to conduct AEDPA review this way. Following Wilson v. Sellers, the mode of our analysis under the “unreasonable application” prong of
Wilson bears on two issues that had divided the circuits. The first issue is the proper object of a federal habeas court‘s focus when the last state court to adjudicate the merits of a post-conviction claim did not explain its reasoning but a lower state court did. Wilson squarely answers the question: “the federal court should ‘look through’ the unexplained decision to the last related state-court decision that does provide a relevant rationale.” 138 S. Ct. at 1192. The second issue is the method of reviewing reasoned state-court decisions under the “unreasonable application”
That direction governs us here. The Louisiana Court of Appeal explained its reasoning for denying relief. That reasoning unreasonably applied Ashe and its progeny. Our analysis should then proceed to de novo review of the petitioner‘s claim. See Salts v. Epps, 676 F.3d 468, 480 (5th Cir. 2012). By instead interposing a new rationale not given by the state court and not compatible with the reasons it did give, the majority runs afoul of Wilson‘s direction.
B
The majority‘s lengthy discussion of Schiro v. Farley, 510 U.S. 222 (1994), is likewise out of place. The Louisiana Court of Appeal never employed any reasoning that could be said to flow from Schiro. The State did not brief Schiro below or to the panel, and at oral argument before the panel, counsel for the State made no use of Schiro when given the chance.17 The majority‘s discussion is thus another effort to supply novel reasoning, contra Wilson, in support of the state court‘s decision.18
Schiro also creates trouble for the majority‘s other post hoc rationalization of the state court‘s decision. As noted, the majority rests its holding on the idea, never espoused by the state court, that Ashe‘s application to implied acquittals accompanying convictions is not clearly established. But Schiro suggests that Ashe does apply. In its discussion, the Court first cited long-standing precedent on implied acquittals. 510 U.S. at 236 (“We have in some circumstances considered jury silence as tantamount to an acquittal for double jeopardy purposes.“) (citing Green, 355 U.S. at 190–91; Price v. Georgia, 398 U.S. 323, 329 (1970)). It then added that “[t]he failure to return a verdict does not have collateral estoppel effect, however, unless the record establishes that the issue was actually and necessarily decided in the defendant‘s favor.” Id. Indeed, the Court conducted an Ashe analysis in Schiro. Id. at 234–36. It simply ruled that Schiro had failed to carry his burden. Id. at 236. Consequently, if Schiro adds anything here, its weight belongs on Langley‘s side of the scale.
C
Finally, there is the majority‘s issue-preclusion analysis. Supra, Part III(C). It is here that the majority‘s refusal to explain the Ashe analysis required by Supreme Court precedent is most glaring. Rather than look to Ashe, Yeager, or other Supreme Court law, the majority instead imports the Second Restatement of Judgments. From the Restatement, the majority derives new “essential prerequisites” for issue preclusion to obtain, which debut in the majority‘s opinion without any adversarial treatment at any stage in this litigation. While the Supreme Court has cited the Restatement‘s issue-preclusion principles in various contexts, it has never employed the novel framework advanced by the majority to adjudicate an Ashe claim
To start, the majority misstates the fundamental question as being what the jury “actually determined,” citing the Restatement, rather than as what it “necessarily decided.” See Yeager, 557 U.S. at 119–20. This difference is subtle but significant, because the latter formulation trains the reviewing court‘s attention on a rational jury adhering to its instructions, and not on speculation about “what transpired in the jury room.” Id. at 122. The majority makes the very error condemned by the Supreme Court in Yeager when it speculates that Langley‘s jury chose second degree murder because it heard defense counsel‘s plea for mercy and because it wanted to avoid a capital punishment hearing.
Similarly, choosing novel Restatement-based standards permits the majority to deploy a misrepresentation of Louisiana responsive verdict law without acknowledging the Supreme Court precedent that would rule it out. The majority describes the specific-intent second degree murder instruction as a “concededly valid option.” Indeed, like many states,20 Louisiana recognizes “that a defendant, when charged with a crime for which the Legislature has provided a responsive verdict, has the statutory right to have the jury characterize his conduct as the lesser crime.” State v. Porter, 639 So. 2d 1137, 1140 (La. 1994). Louisiana treats “the jury‘s prerogative to return a responsive verdict similar to the jury‘s power of nullification,” available to the jury “even though the evidence clearly and overwhelmingly supported a conviction of the charged offense.” Id.21
But the existence of responsive verdicts does not affect the Ashe analysis, which assumes a rational jury that follows its instructions. Given the secrecy of the jury room, the possibility of a nullification verdict is ever-present. Accounting for it in the Ashe analysis would make it impossible to say what a jury “necessarily determined,” and so would effectively eliminate Ashe, as our court has long recognized. See United States v. Tran, 433 F. App‘x 227, 231 (5th Cir. 2011) (“[I]f we consider jury nullification as a basis on which the jury might have acquitted . . . we would in effect be eliminating the entire doctrine of collateral estoppel and greatly weakening the protection against double jeopardy.“) (quoting United States v. Leach, 632 F.2d 1337, 1341 n.12 (5th Cir. 1980)). The majority‘s indulgence of that possibility runs counter to Ashe‘s rational-jury assumption, Turner‘s assumption that juries adhere to instructions, and Yeager‘s direction to avoid speculation about what transpired in the jury room.
The majority‘s use of the Restatement causes still more mischief. Avoiding Langley‘s argument that his first degree murder acquittal is the source of his relief under Ashe, the majority suggests that the reversal of Langley‘s 2003 second degree
The majority does acknowledge what it cannot avoid: the Louisiana Supreme Court‘s ruling that the 2003 verdict impliedly acquitted Langley of first degree murder, barring retrial on that charge. But the majority is unable to explain why the implied acquittal can bar retrial on that charge but not the charge‘s elements. Langley‘s specific intent was the “single rationally conceivable issue in dispute before the jury,” Ashe, 397 U.S. at 444, and so the jury‘s acquittal of first degree murder barred retrial on that element of the charge, just as it barred retrial on the charge itself. The majority cannot or will not say this, and the price of the majority‘s avoidance is a blow dealt to the edifice of Supreme Court law.
***
Under the Double Jeopardy Clause, the verdict rendered by the jury in 2003 prohibited the State of Louisiana retrying the issue of Langley‘s specific intent to kill or inflict great bodily harm. Langley‘s 2009 conviction for specific-intent second degree murder therefore should not stand. Accordingly, I would reverse the district court‘s judgment and remand this case with instructions to grant Langley‘s petition for a writ of habeas corpus, leaving the State free to retry Langley on charges that do not require proof of his specific intent. Because the majority sidesteps numerous Supreme Court precedents and clashes with others in order to avoid that result, I dissent.
GREGG COSTA, Circuit Judge, joined by WIENER and HIGGINSON, Circuit Judges, dissenting:
I had thought the Anti-Federalists lost. But see Maj. Op. at 37. What is more, it is ironic to invoke their rejected constitutional vision in defense of a decision that undermines one of the Anti-Federalists’ most fervent beliefs: the fundamental role of juries. MICHAEL J. KLARMAN, THE FRAMERS’ COUP 350 (2016); HERBERT J. STORING, WHAT THE ANTI-FEDERALISTS WERE FOR 18–19 (1981). As a leading Anti-Federalist inveighed, “jury trials, which have so long been considered the surest barrier against arbitrary power, and the palladium of liberty, with the loss of which the loss of our freedom may be dated, are taken away by the proposed form of government.” The
So important was the jury right the Anti-Federalists fought for that, until the early twentieth century, a defendant charged with serious crimes could not be “tried in any other manner than by a jury of twelve men.” Home Ins. Co. of New York v. Morse, 87 U.S. 445, 451 (1874) (citing Cancemi v. People, 18 N.Y. 128 (1858)); see also Patton v. United States, 281 U.S. 276, 298 (1930) (reversing course and allowing a defendant to waive the jury). As the first Justice Harlan explained in rejecting the view that a defendant could agree to waive the requirement of a full jury, “the wise men who framed the constitution of the United States and the people who approved it were of the opinion that life and liberty, when involved in criminal prosecutions, would not be adequately secured except through the unanimous verdict of twelve jurors.” Thompson v. Utah, 170 U.S. 343, 353 (1898). A leading modern scholar reaches the same conclusion about the original understanding: A jury had to decide felony trials; bench trials were not allowed. See AKHIL AMAR, THE BILL OF RIGHTS 104–08 & nn. 97, 102 (1998) (emphasizing the mandatory Article III language that “trial of all crimes . . . shall be by jury” as well as the writings of both Federalist and Anti-Federalists who viewed the jury guarantee as a structural provision and not just an individual right); see also Cancemi, 18 N.Y. at 138 (rejecting defendant‘s ability to waive 12-member jury because that would also allow a defendant to agree to “trial committed to the court alone,” which the common law did not permit); Recent Development, Accused in Multiple Prosecution Held to Have Absolute Right to Waive Jury Trial, 59 COLUM. L. REV. 813, 814 (1959) (“Until shortly after the turn of the century, federal courts and most state courts applied the common law rule that a jury trial can not be waived in a felony case in which the defendant enters a plea of not guilty.“); Note, Waiver of Constitutional Right to Twelve Jurors, 9 HARV. L. REV. 353 (1895) (similar).
Yet the majority opinion lets a judge‘s finding of specific intent override a jury‘s earlier determination that this required mens rea was not proven. That undermines both the right to a jury and the protection against double jeopardy. As the Anti-Federalists recognized, the latter is essential to the former. See Brutus Essay XIV (Feb. 28, 1788), in THE ANTIFEDERALIST PAPERS, supra, at 234, 235 (lamenting the possibility of “a second hearing” on appeal after acquittal by a jury); see also AMAR, supra, at 96 (explaining that the Double Jeopardy Clause “dovetails with the Sixth Amendment jury right” because it protects “the integrity of the initial petit jury‘s judgment“). If the state can keep retrying someone until it achieves its desired result, then the jury right that both the Federalists and Anti-Federalists cherished, see
