Lead Opinion
delivered the opinion of the Court.
We must decide in this case whether a prisoner whose murder conviction became final before our decision in Caldwell v. Mississippi,
I
Over 10 years ago, petitioner Robert Sawyer murdered Frances Arwood, a visitor in the New Orleans, Louisiana, residence petitioner shared with his girlfriend, Cynthia
Petitioner was convicted and sentenced to death for the crime by a Louisiana jury in September 1980. At issue in this case are remarks made by the prosecutor in his closing argument during the sentencing phase of the trial. The prosecutor first stated, after discussing the proof of aggravating circumstances under Louisiana law:
“The law provides that if you find one of those circumstances then what you are doing as a juror, you yourself will not be sentencing Robert Sawyer to the electric chair. What you are saying to this Court, to the people of this Parish, to any appellate court, the Supreme Court of this State, the Supreme Court possibly of the United States, that you the people as a fact finding body from all the facts and evidence you have heard in relationship to this man’s conduct are of the opinion that there are aggravating circumstances as defined by the statute, by*231 the State Legislature that this is a type of crime that deserves that penalty. It is merely a recommendation so try as he may, if Mr. Weidner tells you that each and every one of you I hope can live with your conscience and try and play upon your emotions, you cannot deny, it is a difficult decision. No one likes to make those type of decisions but you have to realize if but for this man’s actions, but for the type of life that he has decided to live, if of his own free choosing, I wouldn’t be here presenting evidence and making argument to you. You wouldn’t have to make the decision.” Tr. 982.
After emphasizing the brutal nature of the crime for which they had convicted petitioner, the prosecutor told the jury:
“There is really not a whole lot that can be said at this point in time that hasn’t already been said and done. The decision is in your hands. You are the people that are going to take the initial step and only the initial step and all you are saying to this court, to the people of this Parish, to this man, to all the Judges that are going to review this case after this day, is that you the people do not agree and will not tolerate an individual to commit such a heinous and atrocious crime to degrade such a fellow human being without the authority and the impact, the full authority and impact of the law of Louisiana. All you are saying is that this man from his actions could be prosecuted to the fullest extent of the law. No more and no less.” Id., at 984.
Finally, the prosecutor emphasized again that the jury’s decision would be reviewed by later decisionmakers:
“It’s all [you’re] doing. Don’t feel otherwise. Don’t feel like you are the one, because it is very easy for defense lawyers to try and make each and every one of you feel like you are pulling the switch. That is not so. It is not so and if you are wrong in your decision believe me, believe me there will be others who will be behind*232 you to either agree with you or to say you are wrong so I ask that you do have the courage of your convictions.” Id., at 985.
The Louisiana Supreme Court affirmed petitioner’s conviction and sentence. State v. Sawyer,
Petitioner then filed the federal habeas corpus petition now before us, raising a host of constitutional claims. Relevant here is petitioner’s claim that the prosecutor’s closing argument violated the Eighth Amendment of the United States Constitution by diminishing the jury’s sense of responsibility for the capital sentencing decision, in violation of our decision in Caldwell v. Mississippi,
The District Court denied relief, concluding that the prosecutor’s remarks were of a different character from those in Caldwell, and that there was no reasonable probability that the sentence would have been different in the absence of the comments. A divided panel of the Court of Appeals for the Fifth Circuit affirmed.
We granted certiorari,
II
We must address first whether, in relying on Caldwell, petitioner claims the benefit of a new rule, as defined by our decision in Teague. In Caldwell, we held that the Eighth Amendment prohibits the imposition of a death sentence by a sentencer that has been led to the false belief that the responsibility for determining the appropriateness of the defendant’s capital sentence rests elsewhere. See
At the outset we note that the parties dispute whether Caldwell, even if its rule applies, could support any claim for relief in petitioner’s case. The State emphasizes that the judge in this case, unlike Caldwell, see id., at 339, did not approve the prosecutor’s argument, and that the remarks
Our review of the relevant precedents that preceded Caldwell convinces us that it is a new rule for purposes of Teague. On this point we are in accord with the Court of Appeals, as well as the other two Courts of Appeals that have addressed the question. See Clark v. Dugger,
Caldwell, of course, was not decided upon a clean slate. As the Court in Caldwell recognized, we had earlier ad
Examination of our Eighth Amendment authorities that preceded Caldwell shows that it was not dictated by prior precedent existing at the time the defendant’s conviction became final. In Caldwell itself we relied on Eddings v. Oklahoma,
We do not doubt that our earlier Eighth Amendment cases lent general support to the conclusion reached in Caldwell. But neither this fact, nor petitioner’s contention that state courts “would have found Caldwell to be a predictable development in Eighth Amendment law,” Brief for Petitioner 8, suffices to show that Caldwell was not a new rule. In petitioner’s view, Caldwell was dictated by the principle of reliability in capital sentencing. But the test would be meaningless if applied at this level of generality. Cf. Anderson v. Creighton,
It is beyond question that no case prior to Caldwell invalidated a prosecutorial argument as impermissible under the Eighth Amendment. Eddings and Lockett invalidated statutory schemes that imposed an absolute prohibition against consideration of certain mitigating evidence by the sen-tencer. Woodson invalidated a capital sentencing statute providing for mandatory capital sentencing. Gardner invalidated a capital sentence based on information of which the defendant had no notice or opportunity to respond. These cases do not speak to the issue we decided in Caldwell. What we said in Saffle v. Parks,
From the point of view of a state court considering petitioner’s claim at the time his conviction became final, Saffle, supra, at 488, there were in fact indications in our decisions that the Caldwell rule was not a requirement of the Eighth Amendment. In a previous case raising an Eighth Amendment challenge to prosecutorial comment, we had rejected the petitioner’s claim. California v. Ramos,
Our opinion in Maggio v. Williams,
We note also that, when petitioner’s conviction became final, there was some reason for doubt as to this Court’s view concerning what became a major premise of Caldwell, that misleading prosecutorial comment might cause a “bias in favor of death sentences.”
Petitioner places primary reliance on numerous state cases, decided prior to the finality of his conviction, that prohibited prosecutorial statements of the type later held to violate the Eighth Amendment in Caldwell. See, e. g., Ward v. Commonwealth,
The flaw in this argument is that “the availability of a claim under state law does not of itself establish that a claim was available under the United States Constitution.” Dugger v. Adams, supra, at 409. All of the cases cited by petitioner, with one arguable exception, are decisions of state law, and do not purport to construe the Eighth Amendment. These cases, moreover, apply state common-law rules prohibiting any mention of appellate review; they do not condemn false prosecutorial statements under the Eighth Amendment analysis employed in Caldwell. Reliance on state-law cases for the proposition that the rule adopted in Caldwell was an old one misapprehends the function of federal habeas corpus. As we have said, the “ ‘relevant frame of reference’ ” for the new rule inquiry “ ‘is not the purpose of the new rule whose benefit the [defendant] seeks, but instead the purposes for which the writ of habeas corpus is made available.’” Teague,
One Louisiana case cited by petitioner disapproving pros-ecutorial comment on appellate review does discuss Eighth Amendment principles rather than relying solely on state law. Even in this case, however, the court cited Eighth Amendment cases only in its discussion of prosecutorial reference to the possibility of pardon. Its discussion of pros-ecutorial comment on appellate review, the issue before us here, referred to state-law rules. See State v. Willie, supra, at 1033 (La. 1982), cert. denied,
Petitioner appears to contend that state courts will recognize federal constitutional protections only if they are compelled to do so by federal precedent and the threat of federal habeas review. Since some state courts had recognized a principle similar to Caldwell’s, this argument goes, the result in Caldwell must have been compelled by Eighth Amendment precedent. This argument is premised on a skepticism of state courts that we decline to endorse. State courts are coequal parts of our national judicial system and give serious attention to their responsibilities for enforcing the commands of the Constitution. It is not surprising that state courts, whether applying federal constitutional protections or seeking fair administration of their own state capital punishment law, would have taken care to exclude misleading prosecuto-rial comment. But this conscientious exercise of their powers of supervision and review could not dictate Caldwell as a principle of federal law under the Eighth Amendment.
HH HH HH
Under Teague, new rules may be applied m habeas corpus proceedings only if they come within “one of two narrow exceptions.” Saffle,
Petitioner contends that the second Teague exception should be read to include new rules of capital sentencing that “preserve the accuracy and fairness of capital sentencing judgments.” Brief for Petitioner 30. But this test looks only to half of our definition of the second exception. Acceptance of petitioner’s argument would return the second exception to the broad definition that Justice Harlan first proposed in Desist, but later abandoned in Mackey, under which new rules that “significantly improve the pre-existing fact-finding procedures are to be retroactively applied on ha-beas.” Desist v. United States,
The scope of the Teague exceptions must be consistent with the recognition that “[a]pplication of constitutional rules not in existence at the time a conviction became final seriously undermines the principle of finality which is essential to the operation of our criminal justice system.” Teague, supra, at 309 (plurality opinion) (citing Friendly, Is Innocence Irrelevant? Collateral Attacks on Criminal Judgments, 38 U. Chi. L. Rev. 142, 150 (1970)). The “costs imposed upon the State[s] by retroactive application of new rules of constitutional law on habeas corpus thus generally far outweigh the benefits of this application.” Solem v.
It is difficult to see any limit to the definition of the second exception if cast as proposed by petitioner. All of our Eighth Amendment jurisprudence concerning capital sentencing is directed toward the enhancement of reliability and accuracy in some sense. Indeed, petitioner has not suggested any Eighth Amendment rule that would not be sufficiently “fundamental” to qualify for the proposed definition of the exception, and at oral argument in this case counsel was unable to provide a single example. Tr. of Oral Arg. 17. In practical effect, petitioner asks us to overrule our decision in Penry that Teague applies to new rules of capital sentencing. This we decline to do.
At the time of petitioner’s trial and appeal, the rule of Don-nelly was in place to protect any defendant who could show that a prosecutor’s remarks had in fact made a proceeding fundamentally unfair. It was always open to this petitioner to challenge the prosecutor’s remarks at his sentencing proceeding, by making the showing required by Donnelly. See Dugger v. Adams,
Rather than focusing on the prejudice to the defendant that must be shown to establish a Donnelly violation, our concern in Caldwell was with the “unacceptable risk” that misleading remarks could affect the reliability of the sentence. See
Discussions of the nature of Caldivell error from other contexts also support our conclusion. In Dugger v. Adams, supra, we held that failure to consider a Caldwell claim would not come within a “fundamental miscarriage of justice” exception to the doctrine of procedural default. Id., at 412, n. 6; see Murray v. Carrier,
Because petitioner seeks the benefit of a new rule that does not come within either of the Teague exceptions, his claim for habeas corpus relief is without merit. The judgment of the Court of Appeals is therefore
Affirmed.
Notes
That Penry v. Lynaugh,
Dissenting Opinion
with whom Justice Brennan joins, Justice Blackmun joins as to Parts I-IV, and Justice Stevens joins as to Parts I — III, dissenting.
In his closing argument in the sentencing phase of Robert Sawyer’s trial, the prosecutor emphatically argued to the jury that a sentence of death would be “merely a recommendation” and that “others” would be able to correct the decision if it turned out to be “wrong.” This argument misrepresented the scope of appellate review of capital sentences under Louisiana law. La. Code Crim. Proc. Ann., Art. 905.9 (West 1984) (review by State Supreme Court is limited to question whether sentence of death is “excessive”). The prosecutor’s effort to minimize the jury’s sense of responsibility is precisely the type of misleading argument that we condemned in Caldwell v. Mississippi,
The Court refuses to address Sawyer’s Caldwell claim on the merits. Instead, it holds that Caldwell created a “new” rule within the meaning of Teague v. Lane,
I
In Teague, the plurality declared that a case announces a new rule “if the result was not dictated by precedent existing at the time the defendant’s conviction became final.”
A
The “new rule” inquiry spelled out in Teague, Butler, and Parks confirms that Caldwell did not create a new rule. The roots of the Caldwell rule can be traced directly to this Court’s Eighth Amendment decisions demanding heightened
The majority nonetheless insists that the “principle of reliability in capital sentencing” is framed at such a high “level of generality” that treating it as the relevant principle for determining whether Caldwell is new law would render Teague “meaningless.” Ante, at 236. This argument ignores the centrality of the Caldivell rule to reliability in capital sentencing. Caldwell error affects not just the consideration of some relevant sentencing factors, but the entire decision-making process itself. When a prosecutor misleadingly tells the jury that its verdict may be corrected on appeal, the prosecutor invites the jury to shirk its sentencing responsibility. The prosecutor essentially informs the jury that its verdict is less important because no execution will occur without the independent approval of higher authorities. To the extent
Some rules in capital proceedings do not contribute fundamentally to reliability; as to such rules, the majority’s rejection of the reliability principle as too general may be apt. For example, the rule of Batson v. Kentucky,
B
The majority’s assertion that “there were in fact indications in our decisions that the Caldwell rule was not a requirement of the Eighth Amendment,” ante, at 237, is unsupported by the cases on which the majority relies. In California v. Ramos,
That the Mississippi Supreme Court in Caldwell erroneously read Ramos so broadly does not, as the majority argues, “sugges[t] that prior to Caldwell our cases did not put other courts on notice that the Eighth Amendment compelled the Caldwell result.” Ante, at 237. Some courts will misconstrue our precedents notwithstanding their clarity, see, e. g., McKoy v. North Carolina,
Ironically, the majority regards one errant decision by the Mississippi Supreme Court as evidence of uncertainty and yet dismisses as irrelevant to its “new rule” inquiry the States’ near-unanimous rejection of Caldwell-type prosecuto-rial arguments prior to Caldwell, supra, at 333-334, and n. 4 (collecting cases). Even the Mississippi Supreme Court declared that “[a]ny argument by the state which distorts or minimizes the solemn obligation and responsibility of the jury is serious error.” Hill v. State,
Moreover, the majority’s contention that the state courts based their decisions solely on “state common law,” ante, at 239, assumes that States’ capital punishment jurisprudence has evolved independently of our Eighth Amendment decisions. But state decisions regarding capital sentencing procedures — even those that do not explicitly mention federal law — are surely informed by federal principles and should thus be accorded some weight in discerning the scope of federal protections. Only an especially condescending federalism would protect States from retroactive application of federal law by dismissing state decisions concerning capital sentencing as irrelevant to the lineage of the federal law.
C
This Court’s approach to improper prosecutorial comments in Donnelly v. DeChristoforo,
Donnelly was decided prior to the Court’s explicit recognition in the cases following Gregg that the Eighth Amendment affords special protections to defendants facing the death penalty. The Court’s decisions in the decade after Donnelly but before Caldwell made unmistakably clear that the death penalty’s qualitatively different character from all other punishments necessitates “a corresponding difference in the need for reliability in the determination that death is the appropriate punishment in a specific case.” Woodson,
The majority’s contrary conclusion rests on a misunderstanding of the relationship between Caldwell and Donnelly. The majority endorses the Fifth Circuit’s view that “‘[t]he only defendants who need to rely on Caldwell rather than Donnelly are those who must concede that the prosecutorial argument in their case was not so harmful as to render their
The majority’s claim that Maggio v. Williams,
r-H HH
Even if Caldwell established a “new rule,” that rule nonetheless is available on federal habeas because it is a rule “without which the likelihood of an accurate [verdict] is seriously diminished,” Teague,
The majority’s underestimation of Caldwell’s importance rests on the defect discussed above, supra, at 252-253, namely, the view that a Caldwell error will not render a trial fundamentally unfair.
Nor does Dugger v. Adams,
No such concern with enforcing state procedural rules against a particular defendant is at stake when we decide whether to apply new constitutional principles retroactively to all federal habeas cases. Our inquiry instead focuses on the importance of the new principle generally to the fairness and accuracy of the proceedings in which that principle went unobserved. Whereas the Dugger inquiry focuses on the general necessity of a rule to ensure an accurate verdict in all cases, the Court will overlook a clear procedural default only if the error has “probably resulted in the conviction of one who is actually innocent,”
Finally, the fundamental importance of Caldwell cannot be denied on the ground that “it is ‘unlikely that many [new rules] of basic due process [essential to accuracy and fairness] have yet to emerge.’” Ante, at 243 (quoting Teague,
Ill
The Court’s refusal to allow Sawyer the benefit of Caldwell reveals the extent to which Teague and its progeny unjustifi
The state prosecutor in this case surely could not claim a good-faith belief in the legitimacy of the conduct proscribed in Caldwell — misleading and inaccurate argument designed to minimize the jury’s sentencing responsibility. Indeed, respondent seems to concede as much, framing the State’s reliance interest, beyond its general interest in the finality of its convictions, as the right to have “misleading prosecutorial remarks . . . reviewed under the fundamental fairness standard of due process” rather than the Eighth Amendment. Brief for Respondent 16. This purported reliance interest depends on the erroneous view that Caldwell error could survive review under the Due Process Clause. See, supra, at 257. But even granting a distinction in the degree of scrutiny applied by Donnelly and Caldwell, the State’s claimed interest in having its intentional misconduct reviewed under a less demanding standard is hardly worth crediting.
No such balancing of the competing concerns occurs today. The Court instead simply elevates its preference for finality in state proceedings over Congress’ commitment “to provide a federal forum for state prisoners ... by extending the ha-beas corpus powers of the federal courts to their constitutional maximum,” Fay v. Noia,
IV
The jury that sentenced Sawyer to death was deliberately misled about the significance of its verdict. That Sawyer
V
Even if I did not believe that Sawyer was entitled to federal habeas review of his Caldwell claim, I would nonetheless vacate his death sentence. I adhere to my view that the death penalty is in all circumstances cruel and unusual punishment. Gregg v. Georgia,
The majority nonetheless views Williams as casting some doubt on the ultimate disposition of Caldwell v. Mississippi,
The majority’s rejection of the States’ view that Caldwell's prohibitions are vital to the fairness of a capital proceeding reveals a tension in the Court’s retroactivity doctrine. At the same time that the majority insists that Caldwell was not dictated by our Eighth Amendment decisions, the majority also argues that Caldwell is not a fundamental rule because it affected only an incremental change in capital sentencing. See ante, at 244 (stating that Caldwell provides merely an “additional measure of protection against error, beyond that afforded by Donnelly"). A rule may be “new” even if it is designed to serve interests substantially similar to an “old” rule. The majority’s extensive effort in its “new rule” analysis to demonstrate that Caldwell's “additional” protections marked a departure in our Eighth Amendment jurisprudence, however, seems disingenuous in light of its conclusion that the departure did not amount to much.
