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After this Court announced a "new rule" for evaluating the reliability of testimonial statements in criminal cases, see Crawford v. Washington,
Held: Teague does not constrain the authority of state courts to give broader effect to new rules of criminal procedure than is required by that opinion. Pp. 4-27.
(a) Crawford announced a "new rule"--as defined by Teague--because its result "was not dictated by precedent existing at the time the defendant's conviction became final," Teague,
(b) The Court first adopted a "retroactivity" standard in Linkletter v. Walker,
(c) Neither Linkletter nor Teague explicitly or implicitly constrained the States' authority to provide remedies for a broader range of constitutional violations than are redressable on federal habeas. And Teague makes clear that its rule was tailored to the federal habeas context and thus had no bearing on whether States could provide broader relief in their own postconviction proceedings. Nothing in Justice O'Connor's general nonretroactivity rule discussion in Teague asserts or even intimates that her definition of the class eligible for relief under a new rule should inhibit the authority of a state agency or state court to extend a new rule's benefit to a broader class than she defined. Her opinion also clearly indicates that Teague's general nonretroactivity rule was an exercise of this Court's power to interpret the federal habeas statute. Since Teague is based on statutory authority that extends only to federal courts applying a federal statute, it cannot be read as imposing a binding obligation on state courts. The opinion's text and reasoning also illustrate that the rule was meant to apply only to federal courts considering habeas petitions challenging state-court criminal convictions. The federal interest in uniformity in the application of federal law does not outweigh the general principle that States are independent sovereigns with plenary authority to make and enforce their own laws as long as they do not infringe on federal constitutional guarantees. The Teague rule was intended to limit federal courts' authority to overturn state convictions not to limit a state court's authority to grant relief for violations of new constitutional law rules when reviewing its own State's convictions. Subsequent cases confirm this view. See, e.g., Beard v. Banks,
(d) Neither Michigan v. Payne,
(e) No federal rule, either implicitly announced in Teague, or in some other source of federal law, prohibits States from giving broader retroactive effect to new rules of criminal procedure. Pp. 24-26.
718 N. W. 2d 451, reversed and remanded.
Stevens, J., delivered the opinion of the Court, in which Scalia, Souter, Thomas, Ginsburg, Breyer, and Alito, JJ., joined. Roberts, C. J., filed a dissenting opinion in which Kennedy, J., joined.
STEPHEN DANFORTH, PETITIONER v. MINNESOTA
on writ of certiorari to the supreme court of minnesota
[February 20, 2008]
Justice Stevens delivered the opinion of the Court.
New constitutional rules announced by this Court that place certain kinds of primary individual conduct beyond the power of the States to proscribe, as well as "watershed" rules of criminal procedure, must be applied in all future trials, all cases pending on direct review, and all federal habeas corpus proceedings. All other new rules of criminal procedure must be applied in future trials and in cases pending on direct review, but may not provide the basis for a federal collateral attack on a state-court conviction. This is the substance of the "Teague rule" described by Justice O'Connor in her plurality opinion in Teague v. Lane,
I
In 1996 a Minnesota jury found petitioner Stephen Danforth guilty of first-degree criminal sexual conduct with a minor. See Minn. Stat. §609.342, subd. 1(a) (1994). The 6-year-old victim did not testify at trial, but the jury saw and heard a videotaped interview of the child. On appeal from his conviction, Danforth argued that the tape's admission violated the Sixth Amendment's guarantee that "[i]n all criminal prosecutions, the accused shall enjoy the right . . . to be confronted with the witnesses against him." Applying the rule of admissibility set forth in Ohio v. Roberts,
After petitioner's conviction had become final, we announced a "new rule" for evaluating the reliability of testimonial statements in criminal cases. In Crawford v. Washington,
Shortly thereafter, petitioner filed a state postconviction petition, in which he argued that he was entitled to a new trial because the admission of the taped interview violated the rule announced in Crawford. Applying the standards set forth in Teague, the Minnesota trial court and the Minnesota Court of Appeals concluded that Crawford did not apply to petitioner's case. The State Supreme Court granted review to consider two arguments: (1) that the lower courts erred in holding that Crawford did not apply retroactively under Teague; and (2) that the state court was "free to apply a broader retroactivity standard than that of Teague," and should apply the Crawford rule to petitioner's case even if federal law did not require it to do so. 718 N. W. 2d 451, 455 (2006). The court rejected both arguments. Ibid.
With respect to the second, the Minnesota court held that our decisions in Michigan v. Payne,
Our recent decision in Whorton v. Bockting, 549 U. S. ___ (2007), makes clear that the Minnesota court correctly concluded that federal law does not require state courts to apply the holding in Crawford to cases that were final when that case was decided. Nevertheless, we granted certiorari, 550 U. S. ___ (2007), to consider whether Teague or any other federal rule of law prohibits them from doing so.4
II
We begin with a comment on the source of the "new rule" announced in Crawford. For much of our Nation's history, federal constitutional rights--such as the Sixth Amendment confrontation right at issue in Crawford--were not binding on the States. Federal law, in fact, imposed no constraints on the procedures that state courts could or should follow in imposing criminal sanctions on their citizens. Neither the Federal Constitution as originally ratified nor any of the Amendments added by the Bill of Rights in 1791 gave this Court or any other federal-court power to review the fairness of state criminal procedures. Moreover, before 1867 the statutory authority of federal district courts to issue writs of habeas corpus did not extend to convicted criminals in state custody. See Act of Feb. 5, 1867, ch. 28, §1, 14 Stat. 385.
The ratification of the Fourteenth Amendment radically changed the federal courts' relationship with state courts. That Amendment, one of the post-Civil War Reconstruction Amendments ratified in 1868, is the source of this Court's power to decide whether a defendant in a state proceeding received a fair trial--i.e., whether his deprivation of liberty was "without due process of law." U. S. Const., Amdt. 14, §1 ("[N]or shall any State deprive any person of life, liberty, or property, without due process of law"). In construing that Amendment, we have held that it imposes minimum standards of fairness on the States, and requires state criminal trials to provide defendants with protections "implicit in the concept of ordered liberty." Palko v. Connecticut,
Slowly at first, and then at an accelerating pace in the 1950's and 1960's, the Court held that safeguards afforded by the Bill of Rights--including a defendant's Sixth Amendment right "to be confronted with the witnesses against him"--are incorporated in the Due Process Clause of the Fourteenth Amendment and are therefore binding upon the States. See Gideon v. Wainwright,
In Crawford we accepted the petitioner's argument that the interpretation of the Sixth Amendment right to confrontation that we had previously endorsed in Roberts,
Thus, our opinion in Crawford announced a "new rule"--as that term is defined in Teague--because the result in that case "was not dictated by precedent existing at the time the defendant's conviction became final," Teague,
III
Our decision today must also be understood against the backdrop of our somewhat confused and confusing "retroactivity" cases decided in the years between 1965 and 1987. Indeed, we note at the outset that the very word "retroactivity" is misleading because it speaks in temporal terms. "Retroactivity" suggests that when we declare that a new constitutional rule of criminal procedure is "nonretroactive," we are implying that the right at issue was not in existence prior to the date the "new rule" was announced. But this is incorrect. As we have already explained, the source of a "new rule" is the Constitution itself, not any judicial power to create new rules of law. Accordingly, the underlying right necessarily pre-exists our articulation of the new rule. What we are actually determining when we assess the "retroactivity" of a new rule is not the temporal scope of a newly announced right, but whether a violation of the right that occurred prior to the announcement of the new rule will entitle a criminal defendant to the relief sought.5
Originally, criminal defendants whose convictions were final were entitled to federal habeas relief only if the court that rendered the judgment under which they were in custody lacked jurisdiction to do so. Ex parte Watkins, 3 Pet. 193 (1830); Ex parte Lange, 18 Wall. 163, 176 (1874); Ex parte Siebold,
The serial incorporation of the Amendments in the Bill of Rights during the 1950's and 1960's imposed more constitutional obligations on the States and created more opportunity for claims that individuals were being convicted without due process and held in violation of the Constitution. Nevertheless, until 1965 the Court continued to construe every constitutional error, including newly announced ones, as entitling state prisoners to relief on federal habeas. "New" constitutional rules of criminal procedure were, without discussion or analysis, routinely applied to cases on habeas review. See, e.g., Jackson v. Denno,
In Linkletter v. Walker,
During the next four years, application of the Linkletter standard produced strikingly divergent results. As Justice Harlan pointed out in his classic dissent in Desist v. United States,
Justice Harlan's dissent in Desist, buttressed by his even more searching separate opinion in Mackey v. United States,
Justice O'Connor endorsed a general rule of nonretroactivity for cases on collateral review, stating that "[u]nless they fall within an exception to the general rule, new constitutional rules of criminal procedure will not be applicable to those cases which have become final before the new rules are announced."
It is clear that Linkletter and then Teague considered what constitutional violations may be remedied on federal habeas.11 They did not define the scope of the "new" constitutional rights themselves. Nor, as we shall explain, did Linkletter or Teague (or any of the other cases relied upon by respondent and the Minnesota Supreme Court) speak to the entirely separate question whether States can provide remedies for violations of these rights in their own postconviction proceedings.
IV
Neither Linkletter nor Teague explicitly or implicitly constrained the authority of the States to provide remedies for a broader range of constitutional violations than are redressable on federal habeas. Linkletter spoke in broad terms about the retroactive applicability of new rules to state convictions that had become final prior to our announcement of the rules. Although Linkletter arose on federal habeas, the opinion did not rely on that procedural posture as a factor in its holding or analysis. Arguably, therefore, the approach it established might have been applied with equal force to both federal and state courts reviewing final state convictions. But we did not state--and the state courts did not conclude--that Linkletter imposed such a limitation on the States.12
A year after deciding Linkletter, we granted certiorari in Johnson to address the retroactivity of the rules announced in Escobedo v. Illinois,
Notably, the Oregon Supreme Court decided to give retroactive effect to Escobedo despite our holding in Johnson. In State v. Fair, 263 Ore. 383, 502 P. 2d 1150 (1972), the Oregon court noted that it was continuing to apply Escobedo retroactively and correctly stated that "we are free to choose the degree of retroactivity or prospectivity which we believe appropriate to the particular rule under consideration, so long as we give federal constitutional rights at least as broad a scope as the United States Supreme Court requires." 263 Ore., at 387-388, 502 P. 2d, at 1152. In so holding, the Oregon court cited our language in Johnson that " 'States are still entirely free to effectuate under their own law stricter standards than those we have laid down and to apply those standards in a broader range of cases than is required by this decision.' " 263 Ore., at 386, 502 P. 2d, at 1151 (quoting Johnson,
Like Linkletter, Teague arose on federal habeas. Unlike in Linkletter, however, this procedural posture was not merely a background fact in Teague. A close reading of the Teague opinion makes clear that the rule it established was tailored to the unique context of federal habeas and therefore had no bearing on whether States could provide broader relief in their own postconviction proceedings than required by that opinion. Because the case before us now does not involve either of the "Teague exceptions," it is Justice O'Connor's discussion of the general rule of nonretroactivity that merits the following three comments.
First, not a word in Justice O'Connor's discussion--or in either of the opinions of Justice Harlan that provided the blueprint for her entire analysis--asserts or even intimates that her definition of the class eligible for relief under a new rule should inhibit the authority of any state agency or state court to extend the benefit of a new rule to a broader class than she defined.
Second, Justice O'Connor's opinion clearly indicates that Teague's general rule of nonretroactivity was an exercise of this Court's power to interpret the federal habeas statute. Chapter 153 of Title 28 of the U. S. Code gives federal courts the authority to grant "writs of habeas corpus," but leaves unresolved many important questions about the scope of available relief. This Court has interpreted that congressional silence--along with the statute's command to dispose of habeas petitions "as law and justice require," 28 U. S. C. §2243--as an authorization to adjust the scope of the writ in accordance with equitable and prudential considerations. See, e.g., Brecht v. Abrahamson,
Third, the text and reasoning of Justice O'Connor's opinion also illustrate that the rule was meant to apply only to federal courts considering habeas corpus petitions challenging state-court criminal convictions. Justice O'Connor made numerous references to the "Great writ" and the "writ," and expressly stated that "[t]he relevant frame of reference" for determining the appropriate retroactivity rule is defined by "the purposes for which the writ of habeas corpus is made available."
The dissent correctly points out that Teague was also grounded in concerns over uniformity and the inequity inherent in the Linkletter approach. There is, of course, a federal interest in "reducing the inequity of haphazard retroactivity standards and disuniformity in the application of federal law." Post, at 12. This interest in uniformity, however, does not outweigh the general principle that States are independent sovereigns with plenary authority to make and enforce their own laws as long as they do not infringe on federal constitutional guarantees. The fundamental interest in federalism that allows individual States to define crimes, punishments, rules of evidence, and rules of criminal and civil procedure in a variety of different ways--so long as they do not violate the Federal Constitution--is not otherwise limited by any general, undefined federal interest in uniformity. Nonuniformity is, in fact, an unavoidable reality in a federalist system of government. Any State could surely have adopted the rule of evidence defined in Crawford under state law even if that case had never been decided. It should be equally free to give its citizens the benefit of our rule in any fashion that does not offend federal law.
It is thus abundantly clear that the Teague rule of nonretroactivity was fashioned to achieve the goals of federal habeas while minimizing federal intrusion into state criminal proceedings. It was intended to limit the authority of federal courts to overturn state convictions--not to limit a state court's authority to grant relief for violations of new rules of constitutional law when reviewing its own State's convictions.16
Our subsequent cases, which characterize the Teague rule as a standard limiting only the scope of federal habeas relief, confirm that Teague speaks only to the context of federal habeas. See, e.g., Beard v. Banks,
It is also noteworthy that for many years following Teague, state courts almost universally understood the Teague rule as binding only federal habeas courts, not state courts. See, e.g., Cowell v. Leapley, 458 N. W. 2d 514 (S. D. 1990); Preciose, 129 N. J. 451, 609 A. 2d 1280; State ex rel. Schmelzer v. Murphy, 201 Wis. 2d 246, 256-257, 548 N. W. 2d 45, 49 (1996) (choosing of its own volition to adopt the Teague rule); but see State v. Egelhoff, 272 Mont. 114, 900 P. 2d 260 (1995).17 Commentators were similarly confident that Teague's "restrictions appl[ied] only to federal habeas cases," leaving States free to "determine whether to follow the federal courts' rulings on retroactivity or to fashion rules which respond to the unique concerns of that state." Hutton, Retroactivity in the States: The Impact of Teague v. Lane on State Postconviction Remedies, 44 Ala. L. Rev. 421, 423-424, 422-423 (1993).
In sum, the Teague decision limits the kinds of constitutional violations that will entitle an individual to relief on federal habeas, but does not in any way limit the authority of a state court, when reviewing its own state criminal convictions, to provide a remedy for a violation that is deemed "nonretroactive" under Teague.
V
The State contends that two of our prior decisions--Michigan v. Payne and American Trucking Assns., Inc. v. Smith--cast doubt on state courts' authority to provide broader remedies for federal constitutional violations than mandated by Teague. We disagree.
A
In Michigan v. Payne,
At first blush the fact that we reversed the judgment of the Michigan court appears to lend support to the view that state courts may not give greater retroactive effect to new rules announced by this Court than we expressly authorize. But, as our opinion in Payne noted, the Michigan Supreme Court had applied the Pearce rule retroactively " 'pending clarification' " by this Court.
Notably, at least some state courts continued, after Payne, to adopt and apply broader standards of retroactivity than required by our decisions. In Pennsylvania v. McCormick, 359 Pa. Super. 461, 470, 519 A. 2d 442, 447 (1986), for example, the Superior Court of Pennsylvania chose not to follow this Court's nonretroactivity holding in Allen v. Hardy,
B
In American Trucking Assns., Inc. v. Smith,
The Arkansas Court held that petitioners were not entitled to a refund because our decision in Scheiner did not apply retroactively. Four Members of this Court agreed. The plurality opinion concluded that federal law did not provide petitioners with a right to a refund of pre-Scheiner tax payments because Scheiner did not apply retroactively to invalidate the Arkansas tax prior to its date of decision. Four Members of this Court dissented. The dissenting opinion argued that the case actually raised both the substantive question whether the tax violated the Commerce Clause of the Federal Constitution and the remedial question whether, if so, the petitioners were entitled to a refund. The dissent concluded as a matter of federal law that the tax was invalid during the years before Scheiner, and that petitioners were entitled to a decision to that effect. Whether petitioners should get a refund, however, the dissent deemed a mixed question of state and federal law that should be decided by the state court in the first instance.
Justice Scalia concurred with the plurality's judgment because he disagreed with the substantive rule announced in Scheiner, but he did not agree with the plurality's reasoning. After stating that his views on retroactivity diverged from the plurality's "in a fundamental way," Justice Scalia explained:
"I share [the dissent's] perception that prospective decisionmaking is incompatible with the judicial role, which is to say what the law is, not to prescribe what [the law] shall be. The very framing of the issue that we purport to decide today--whether our decision in Scheiner shall 'apply' retroactively--presupposes a view of our decisions as creating the law, as opposed to declaring what the law already is. Such a view is contrary to that understanding of 'the judicial Power,' U. S. Const., Art. III, § 1, which is not only the common and traditional one, but which is the only one that can justify courts in denying force and effect to the unconstitutional enactments of duly elected legislatures, see Marbury v. Madison, 1 Cranch 137 (1803)--the very exercise of judicial power asserted in Scheiner. To hold a governmental Act to be unconstitutional is not to announce that we forbid it, but that the Constitution forbids it; and when, as in this case, the constitutionality of a state statute is placed in issue, the question is not whether some decision of ours 'applies' in the way that a law applies; the question is whether the Constitution, as interpreted in that decision, invalidates the statute. Since the Constitution does not change from year to year; since it does not conform to our decisions, but our decisions are supposed to conform to it; the notion that our interpretation of the Constitution in a particular decision could take prospective form does not make sense. Either enforcement of the statute at issue in Scheiner (which occurred before our decision there) was unconstitutional, or it was not; if it was, then so is enforcement of all identical statutes in other States, whether occurring before or after our decision; and if it was not, then Scheiner was wrong, and the issue of whether to 'apply' that decision needs no further attention." American Trucking Assns., Inc. v. Smith,
Because Justice Scalia's vote rested on his disagreement with the substantive rule announced in Scheiner--rather than with the retroactivity analysis in the dissenting opinion--there were actually five votes supporting the dissent's views on the retroactivity issue. Accordingly, it is the dissent rather than the plurality that should inform our analysis of the issue before us today.22
Moreover, several years later, a majority of this Court explicitly adopted the Smith dissent's reasoning in Harper v. Virginia Dept. of Taxation,
Thus, to the extent that these civil retroactivity decisions are relevant to the issue before us today,23 they support our conclusion that the remedy a state court chooses to provide its citizens for violations of the Federal Constitution is primarily a question of state law. Federal law simply "sets certain minimum requirements that States must meet but may exceed in providing appropriate relief." American Trucking Assns., Inc. v. Smith,
VI
Finally, while the State acknowledges that it may grant its citizens broader protection than the Federal Constitution requires by enacting appropriate legislation or by judicial interpretation of its own Constitution, it argues that it may not do so by judicial misconstruction of federal law. Oregon v. Hass,
The absence of any precedent for the claim that Teague limits state collateral review courts' authority to provide remedies for federal constitutional violations is a sufficient reason for concluding that there is no such rule of federal law. That conclusion is confirmed by several additional considerations. First, if there is such a federal rule of law, presumably the Supremacy Clause in Article V of the Federal Constitution would require all state entities--not just state judges--to comply with it. We have held that States can waive a Teague defense, during the course of litigation, by expressly choosing not to rely on it, see Collins v. Youngblood,
Second, the State has not identified, and we cannot discern, the source of our authority to promulgate such a novel rule of federal law. While we have ample authority to control the administration of justice in the federal courts--particularly in their enforcement of federal legislation--we have no comparable supervisory authority over the work of state judges. Johnson v. Fankell,
Finally, the dissent contends that the "end result [of this opinion] is startling" because "two criminal defendants, each of whom committed the same crime, at the same time, whose convictions became final on the same day, and each of whom raised an identical claim at the same time under the Federal Constitution" could obtain different results. Post, at 1. This assertion ignores the fact that the two hypothetical criminal defendants did not actually commit the "same crime." They violated different state laws, were tried in and by different state sovereigns, and may--for many reasons--be subject to different penalties. As previously noted, such nonuniformity is a necessary consequence of a federalist system of government.
VII
It is important to keep in mind that our jurisprudence concerning the "retroactivity" of "new rules" of constitutional law is primarily concerned, not with the question whether a constitutional violation occurred, but with the availability or nonavailability of remedies. The former is a "pure question of federal law, our resolution of which should be applied uniformly throughout the Nation, while the latter is a mixed question of state and federal law." American Trucking Assns., Inc. v. Smith,
A decision by this Court that a new rule does not apply retroactively under Teague does not imply that there was no right and thus no violation of that right at the time of trial--only that no remedy will be provided in federal habeas courts. It is fully consistent with a government of laws to recognize that the finality of a judgment may bar relief. It would be quite wrong to assume, however, that the question whether constitutional violations occurred in trials conducted before a certain date depends on how much time was required to complete the appellate process.
Accordingly, the judgment of the Supreme Court of Minnesota is reversed, and the case is remanded for further proceedings not inconsistent with this opinion. As was true in Michigan v. Payne, the Minnesota Court is free to reinstate its judgment disposing of the petition for state postconviction relief.
It is so ordered.
STEPHEN DANFORTH, PETITIONER v. MINNESOTA
on writ of certiorari to the supreme court of minnesota
[February 20, 2008]
Chief Justice Roberts, with whom Justice Kennedy joins, dissenting.
Some of our new rulings on the meaning of the United States Constitution apply retroactively--to cases already concluded--and some do not. This Court has held that the question whether a particular ruling is retroactive is itself a question of federal law. It is basic that when it comes to any such question of federal law, it is "the province and duty" of this Court "to say what the law is." Marbury v. Madison, 1 Cranch 137, 177 (1803). State courts are the final arbiters of their own state law; this Court is the final arbiter of federal law. State courts are therefore bound by our rulings on whether our cases construing federal law are retroactive.
The majority contravenes these bedrock propositions. The end result is startling: Of two criminal defendants, each of whom committed the same crime, at the same time, whose convictions became final on the same day, and each of whom raised an identical claim at the same time under the Federal Constitution, one may be executed while the other is set free--the first despite being correct on his claim, and the second because of it. That result is contrary to the Supremacy Clause and the Framers' decision to vest in "one supreme Court" the responsibility and authority to ensure the uniformity of federal law. Because the Constitution requires us to be more jealous of that responsibility and authority, I respectfully dissent.
I
One year after Teague v. Lane,
"The determination whether a constitutional decision of this Court is retroactive ... is a matter of federal law. When questions of state law are at issue, state courts generally have the authority to determine the retroactivity of their own decisions. The retroactive applicability of a constitutional decision of this Court, however, 'is every bit as much of a federal question as what particular federal constitutional provisions themselves mean, what they guarantee, and whether they have been denied.' " American Trucking Assns., Inc. v. Smith,
For that reason, "we have consistently required that state courts adhere to our retroactivity decisions."
Indeed, about the only point on which our retroactivity jurisprudence has been consistent is that the retroactivity of new federal rules is a question of federal law binding on States. The Court's contrary holding is based on a misreading of our precedent and a misunderstanding of the nature of retroactivity generally.
A
As the Court correctly points out, before 1965 we took for granted the proposition that all federal constitutional rights, including rights that represented a break from earlier precedent, would be given full retroactive effect on both direct and collateral review. That all changed with Linkletter v. Walker,
The next year, we decided Johnson v. New Jersey,
Thus, by 1967, the Linkletter analysis was applied in review of criminal convictions, whether final or not. No matter at what stage of proceedings this Court considered a retroactivity question, the issue was decided with reference to the purposes and practical impact of the precise federal right in question: "Each constitutional rule of criminal procedure has its own distinct functions, its own background of precedent, and its own impact on the administration of justice, and the way in which these factors combine [to decide the retroactivity issue] must inevitably vary with the [constitutional] dictate involved." Johnson, supra, at 728.
Because the question of retroactivity was so tied up with the nature and purpose of the underlying federal constitutional right, it would have been surprising if any of our cases had suggested that States were free to apply new rules of federal constitutional law retroactively even when we would not. As one of the more thoughtful legal scholars put it in discussing the effect of the Linkletter analysis on state collateral review, "[i]f a state gave relief in such a case on the exclusive authority of Mapp, under the rationale of the Linkletter opinion it would presumably have been reversed." Mishkin, Foreword: The High Court, The Great Writ, and the Due Process of Time and Law, 79 Harv. L. Rev. 56, 91, n. 132 (1965).
Our precedents made clear that States could give greater substantive protection under their own laws than was available under federal law, and could give whatever retroactive effect to those laws they wished. As the Court explained in Johnson, "[o]f course, States are still entirely free to effectuate under their own law stricter standards than those we have laid down and to apply those standards in a broader range of cases than is required by this decision."
Thus, contrary to the Court's view, our early retroactivity cases nowhere suggested that the retroactivity of new federal constitutional rules of criminal procedure was anything other than "a matter of federal law." Daniel v. Louisiana,
Although nothing in our decisions suggested that state courts could determine the retroactivity of new federal rules according to their own lights, we had no opportunity to confront the issue head on until Michigan v. Payne,
We granted certiorari in Payne only on the question of retroactivity, and decided that Pearce should not apply retroactively. In reversing the contrary decision of the state court, our language was not equivocal: "Since the resentencing hearing in this case took place approximately two years before Pearce was decided, we hold that the Michigan Supreme Court erred in applying its proscriptions here."
The majority argues that Payne did not preclude States from applying retroactivity rules different from those we announced; rather, the argument goes, the Michigan Supreme Court simply elected to follow the federal retroactivity rule, "pending clarification." See ante, at 18-20. That is certainly a possible reading of Payne, but not the most plausible one. The Michigan Supreme Court did not purport to rest its decision to apply Pearce retroactively on the federal Linkletter analysis, and this Court's reversal is most reasonably read as requiring state courts to apply our federal retroactivity decisions. Notably, this is not the first time Members of this Court have debated the meaning of Payne, with Teague's author explaining that Payne supports the proposition that "we have consistently required that state courts adhere to our retroactivity decisions," American Trucking,
Meanwhile, Justice Harlan had begun dissenting in our retroactivity cases, pressing the view that new rules announced by the Court should be applied in all cases not yet final, without regard to the analysis set forth in Linkletter. See Desist v. United States,
Two years after Griffith was decided, we granted certiorari in Yates v. Aiken,
Instead, the State argued to this Court "that we should adopt Justice Harlan's theory that a newly announced constitutional rule should not be applied retroactively to cases pending on collateral review unless" the rule meets certain criteria--the flip side of Justice Harlan's view about cases on direct review that we had accepted in Griffith.
This Court went on, however, to address South Carolina's alternative argument--that it "has the authority to establish the scope of its own habeas corpus proceedings," which would allow it in the case before the Court "to refuse to apply a new rule of federal constitutional law retroactively in such a proceeding."
Given all this, the present case should come out the way it does only if Teague changed the nature of retroactivity as a creature of federal law binding on the States, and adopted the argument rejected in Yates--that when it comes to retroactivity, a State "has the authority to establish the scope of its own habeas corpus proceedings." Teague did no such thing.
B
In Teague, we completed the project of conforming our view on the retroactivity of new rules of criminal procedure to those of Justice Harlan. Justice O'Connor's plurality opinion posed the problem by noting, with more than a bit of understatement, that the "Linkletter retroactivity standard has not led to consistent results."
The Linkletter approach to retroactivity was thus overruled in favor of the Harlan approach in two steps: Griffith and Teague. There is no dispute that Griffith is fully binding on States; a new rule "is to be applied retroactively to all cases, state or federal, pending on direct review or not yet final."
Indeed, Teague did not purport to distinguish between federal and state collateral review. Justice O'Connor's opinion noted that "in Yates v. Aiken, we were asked to decide whether the rule announced in Francis v. Franklin, should be applied to a defendant on collateral review at the time that case was decided," but that we were able to decide the case on alternative grounds.
Moreover, the reasons the Teague Court provided for adopting Justice Harlan's view apply to state as well as federal collateral review. The majority is quite right that Teague invoked the interest in comity between the state and federal sovereigns. Id., at 308. But contrary to the impression conveyed by the majority, there was more to Teague than that. Teague also relied on the interest in finality: "Application 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. Without finality, the criminal law is deprived of much of its deterrent effect." Id., at 309. The Court responds by flatly stating that "finality of state convictions is a state interest, not a federal one." Ante, at 15. But while it is certainly true that finality of state convictions is a state interest, that does mean it is not also a federal one. After all, our decision in Griffith made finality the touchstone for retroactivity of new federal rules, and bound States to that judgment. See
It is quite a radical proposition to assert that this Court has nothing to say about an interest "essential to the operation of our criminal justice system," without which "the criminal law is deprived of much of its deterrent effect," when the question is whether this interest is being undermined by the very rules of federal constitutional procedure that we are charged with expounding. A State alone may "evaluate, and weigh the importance of" finality interests, ante, at 15, when it decides which substantive rules of criminal procedure state law affords; it is quite a leap to hold, as the Court does, that they alone can do so in the name of the Federal Constitution.
Teague was also based on the inequity of the Linkletter approach to retroactivity. After noting that the disparate treatment of similarly situated defendants led us in Griffith to adopt Justice Harlan's view for cases on direct appeal, the Court then explained that the "Linkletter standard also led to unfortunate disparity in the treatment of similarly situated defendants on collateral review."
This interest in reducing the inequity of haphazard retroactivity standards and disuniformity in the application of federal law is quite plainly a predominantly federal interest. Indeed, it was one of the main reasons we cited in Griffith for imposing a uniform rule of retroactivity upon state courts for cases on direct appeal. And, more to the point, it is the very interest that animates the Supremacy Clause and our role as the "one supreme Court" charged with enforcing it.
Justice Story, writing for the Court, noted nearly two centuries ago that the Constitution requires "uniformity of decisions throughout the whole United States, upon all subjects within [its] purview." Martin v. Hunter's Lessee, 1 Wheat. 304, 347-348 (1816). Indeed, the "fundamental principle" of our Constitution, as Justice O'Connor once put it, is "that a single sovereign's law should be applied equally to all." Our Judicial Federalism, 35 Case W. Res. L. Rev. 1, 4 (1985). States are free to announce their own state-law rules of criminal procedure, and to apply them retroactively in whatever manner they like. That is fully consistent with the principle that "a single sovereign's law should be applied equally to all." But the Court's opinion invites just the sort of disuniformity in federal law that the Supremacy Clause was meant to prevent. The same determination of a federal constitutional violation at the same stage in the criminal process can result in freedom in one State and loss of liberty or life in a neighboring State.2 The Court's opinion allows "a single sovereign's law"--the Federal Constitution, as interpreted by this Court--to be applied differently in every one of the several States.
Finally, from Linkletter through Johnson to Teague, we have always emphasized that determining whether a new federal right is retroactive turns on the nature of the substantive federal rule at issue. See Linkletter,
When this Court decides that a particular right shall not be applied retroactively, but a state court finds that it should, it is at least in part because of a different assessment by the state court of the nature of the underlying federal right--something on which the Constitution gives this Court the final say. The nature and scope of the new rules we announce directly determines whether they will be applied retroactively on collateral review. Today's opinion stands for the unfounded proposition that while we alone have the final say in expounding the former, we have no control over the latter.
II
The Court's holding is not only based on a misreading of our retroactivity cases, but also on a misunderstanding of the nature of retroactivity generally. The majority's decision is grounded on the erroneous view that retroactivity is a remedial question. See ante, at 26-27 ("It is important to keep in mind that our jurisprudence concerning the 'retroactivity' of 'new rules' of constitutional law is primarily concerned, not with the question whether a constitutional violation occurred, but with the availability or nonavailability of remedies"). But as explained in the lead opinion in American Trucking--penned by the author of the lead opinion in Teague--it is an "error" to "equat[e] a decision not to apply a rule retroactively with the judicial choice of a remedy."
In other words, when we ask whether and to what extent a rule will be retroactively applied, we are asking what law--new or old--will apply. As we have expressly noted, "[t]he Teague doctrine ... does not involve a special 'remedial' limitation on the principle of 'retroactivity' as much as it reflects a limitation inherent in the principle itself." Reynoldsville Casket Co. v. Hyde,
The foregoing prompts a lengthy rejoinder from the Court, to the effect that it is wrong to view retroactivity as a federal choice-of-law question rather than a remedial one. That view, we are told, was rejected by five Justices in American Trucking and then by the Court in Harper. Ante, at 20-24. But the proposition on which five Members of the Court agreed in American Trucking, and that the Court adopted in Harper, was that the Griffith rule of retroactivity--that is, that newly announced constitutional decisions should apply to all cases on direct review--should apply to civil cases as well as criminal. See American Trucking,
Neither Justice Scalia's concurrence in American Trucking combined with the dissent, nor the Court's opinion in Harper, resolved that retroactivity was a remedial question. That is why, the year after American Trucking was decided, two of the Justices in today's majority could explain:
"Since the question is whether the court should apply the old rule or the new one, retroactivity is properly seen in the first instance as a matter of choice of law, 'a choice ... between the principle of forward operation and that of relation backward.' Great Northern R. Co. v. Sunburst Oil & Refining Co.,
And Harper certainly did not view the retroactivity of federal rules as a remedial question for state courts. Quite the contrary: Harper held that the "Supremacy Clause does not allow federal retroactivity doctrine to be supplanted by the invocation of a contrary approach to retroactivity under state law,"
The majority explains that when we announce a new rule of law, we are not " 'creating the law,' " but rather " 'declaring what the law already is.' " Ante, at 21 (quoting American Trucking, supra, at 201 (Scalia, J., concurring in judgment)). But this has nothing to do with the question before us. The point may lead to the conclusion that nonretroactivity of our decisions is improper--the position the Court has adopted in both criminal and civil cases on direct review--but everyone agrees that full retroactivity is not required on collateral review. It necessarily follows that we must choose whether "new" or "old" law applies to a particular category of cases. Suppose, for example, that a defendant, whose conviction became final before we announced our decision in Crawford v. Washington,
The proposition that the question of retroactivity--that is, the choice between new or old law in a particular case--is distinct from the question of remedies has several important implications for this case. To begin with, whatever intuitive appeal may lie in the majority's statement that "the remedy a state court chooses to provide its citizens for violations of the Federal Constitution is primarily a question of state law," ante, at 24, the statement misses the mark. The relevant inquiry is not about remedy; it is about choice of law--new or old. There is no reason to believe, either legally or intuitively, that States should have any authority over this question when it comes to which federal constitutional rules of criminal procedure to apply.3
Indeed, when the question is what federal rule of decision from this Court should apply to a particular case, no Court but this one--which has the ultimate authority "to say what the law is," Marbury, 1 Cranch, at 177--should have final say over the answer. See Harper, supra, at 100 ("Supremacy Clause does not allow federal retroactivity doctrine to be supplanted by the invocation of a contrary approach to retroactivity under state law" (citation omitted)). This is enough to rebut the proposition that there is no "source of [our] authority" to bind state courts to follow our retroactivity decisions. Ante, at 26. Retroactivity is a question of federal law, and our final authority to construe it cannot, at this point in the Nation's history, be reasonably doubted.
Principles of federalism protect the prerogative of States to extend greater rights under their own laws than are available under federal law. The question here, however, is the availability of protection under the Federal Constitution--specifically, the Confrontation Clause of the Sixth Amendment. It is no intrusion on the prerogatives of the States to recognize that it is for this Court to decide such a question of federal law, and that our decision is binding on the States under the Supremacy Clause.
Consider the flip side of the question before us today: If a State interprets its own constitution to provide protection beyond that available under the Federal Constitution, and has ruled that this interpretation is not retroactive, no one would suppose that a federal court could hold otherwise, and grant relief under state law that a state court would refuse to grant. The result should be the same when a state court is asked to give retroactive effect to a right under the Federal Constitution that this Court has held is not retroactive.
The distinction between retroactivity and available remedies highlights the fact that the majority's assertion "that Teague's general rule of nonretroactivity was an exercise of this Court's power to interpret the federal habeas statute," ante, at 13--even if correct--is neither here nor there.4 While Congress has substantial control over federal courts' ability to grant relief for violations of the Federal Constitution, the Constitution gives us the responsibility to decide what its provisions mean. And with that responsibility necessarily comes the authority to determine the scope of those provisions--when they apply and when they do not.
This proposition--and the importance of the distinction between retroactivity and available remedies--were confirmed when we considered the availability of federal collateral review of state convictions under the Antiterrorism and Effective Death Penalty Act of 1996 (AEDPA). See 28 U. S. C. §2254(d)(1). Whatever control Congress has over federal courts' ability to grant postconviction remedies, the availability or scope of those remedies has no bearing on our decisions about whether new or old law should apply in a particular case. That is why, after AEDPA's passage, we view the Teague inquiry as distinct from that under AEDPA. See Horn v. Banks,
Lurking behind today's decision is of course the question of just how free state courts are to define the retroactivity of our decisions interpreting the Federal Constitution. I do not see any basis in the majority's logic for concluding that States are free to hold our decisions retroactive when we have held they are not, but not free to hold that they are not when we have held they are. Under the majority's reasoning, in either case the availability of relief in state court is a question for those courts to evaluate independently. The majority carefully reserves that question, see ante, at 4, n. 4, confirming that the majority regards it as open.
Nor is there anything in today's decision suggesting that States could not adopt more nuanced approaches to retroactivity. For example, suppose we hold that the Sixth Amendment right to be represented by particular counsel of choice, recently announced in United States v. Gonzalez-Lopez,
* * *
Perhaps all this will be dismissed as fine parsing of somewhat arcane precedents, over which reasonable judges may disagree. Fair enough; but I would hope that enough has been said at least to refute the majority's assertion that its conclusion is dictated by our prior cases. This dissent is compelled not simply by disagreement over how to read those cases, but by the fundamental issues at stake--our role under the Constitution as the final arbiter of federal law, both as to its meaning and its reach, and the accompanying duty to ensure the uniformity of that federal law.
Stephen Danforth's conviction became final before the new rule in Crawford was announced. In Whorton v. Bockting, 549 U. S. ___ (2007), we held that Crawford shall not be applied retroactively on collateral review. That should be the end of the matter. I respectfully dissent.
Although Teague was a plurality opinion that drew support from only four Members of the Court, the Teague rule was affirmed and applied by a majority of the Court shortly thereafter. See Penry v. Lynaugh,
The relevant passage in the Minnesota Supreme Court opinion states:
"Danforth argues that Teague dictates the limits of retroactive application of new rules only in federal habeas corpus proceedings and does not limit the retroactive application of new rules in state postconviction proceedings. Danforth is incorrect when he asserts that state courts are free to give a Supreme Court decision of federal constitutional criminal procedure broader retroactive application than that given by the Supreme Court. ... In light of Payne and American Trucking Associations, we cannot apply state retroactivity principles when determining the retroactivity of a new rule of federal constitutional criminal procedure if the Supreme Court has already provided relevant federal principles." 718 N. W. 2d 451, 456 (2006).
See, e.g., Daniels v. State, 561 N. E. 2d 487, 489 (Ind. 1990); State ex rel. Taylor v. Whitley, 606 So. 2d 1292, 1296-1297 (La. 1992); State v. Whitfield, 107 S. W. 3d 253, 266-268 (Mo. 2003); Colwell v. State, 118 Nev. 807, 816-819, 59 P. 3d 463, 470-471 (2002) (per curiam); Cowell v. Leapley, 458 N. W. 2d 514, 517-518 (S. D. 1990).
We note at the outset that this case does not present the questions whether States are required to apply "watershed" rules in state post-conviction proceedings, whether the Teague rule applies to cases brought under 28 U. S. C. §2255 (2000 ed., Supp. V), or whether Congress can alter the rules of retroactivity by statute. Accordingly, we express no opinion on these issues.
It may, therefore, make more sense to speak in terms of the "redressability" of violations of new rules, rather than the "retroactivity" of such rules. Cf. American Trucking Assns., Inc. v. Smith,
Although our post-1867 cases reflected a "softening" of the concept of jurisdiction to embrace claims that the statute under which the petitioner had been convicted was unconstitutional or that the detention was based on an illegally imposed sentence, the Court adhered to the basic rule that habeas was unavailable to review claims of constitutional error that did not go to the trial court's jurisdiction. See Bator, Finality in Criminal Law and Federal Habeas Corpus for State Prisoners, 76 Harv. L. Rev. 441, 471, 483-484 (1963); Hart, The Supreme Court 1958 Term, Foreword: The Time Chart of the Justices, 73 Harv. L. Rev. 84, 103-104 (1959).
"[I]n Waley v. Johnston,
Linkletter arose in the context of a denial of federal habeas relief, so its holding was "necessarily limited to convictions which had become final by the time Mapp ... [was] rendered." Johnson v. New Jersey,
See, e.g., Haddad, "Retroactivity Should be Rethought": A Call for the End of the Linkletter Doctrine, 60 J. Crim. L., C. & P. S. 417 (1969).
Rules of the former type "are more accurately characterized as substantive rules not subject to [Teague's] bar." Schriro v. Summerlin,
Similarly, Johnson, and Griffith v. Kentucky,
The dissent is correct that at least one "thoughtful legal scholar" believed that Linkletter did preclude States from applying new constitutional rules more broadly than our cases required. Post, at 4 (citing Mishkin, Foreword: The High Court, The Great Writ, and the Due Process of Time and Law, 79 Harv. L. Rev. 56, 91, n. 132 (1965)). Notably, this comment was made in the context of an attack on Linkletter's prospective approach as inconsistent with the idea that judges are "bound by a body of fixed, overriding law." Mishkin, 79 Harv. L. Rev., at 62. Moreover, the footnote cited by the dissent concludes with a statement that "the reservation to the states of the power to apply [new rules] to all convictions, ... is ... the preferable pattern." Id., at 91, n. 132. In all events, even if Linkletter and its progeny rested on the assumption that "new rules" of constitutional law did not exist until announced by this Court, that view of the law was rejected when we endorsed Justice Harlan's analysis of retroactivity.
That same year, we similarly denied retroactive effect to the rule announced in Griffin v. California,
Although the plain meaning of this language in Johnson is that a state creating its own substantive standards can be as generous with their retroactive effect as it wishes, courts and commentators both before and after Teague v. Lane,
Subsequent decisions have characterized Teague in a similar fashion. See, e.g., Brecht,
The lower federal courts have also applied the Teague rule to motions to vacate, set aside, or correct a federal sentence pursuant to 28 U. S. C. §2255 (2000 ed., Supp. V). Much of the reasoning applicable to applications for writs of habeas corpus filed pursuant to §2254 seems equally applicable in the context of §2255 motions. See United States v. Hayman,
Today, the majority of state courts still read Teague this way. As far as we can tell, only three States--Minnesota, Oregon, and Montana--have adopted a contrary view. See Page, 336 Ore. 379, 84 P. 3d 133; Egelhoff, 272 Mont. 114, 900 P. 2d 260.
In Pearce, we held:
"[W]henever a judge imposes a more severe sentence upon a defendant after a new trial, the reasons for his doing so must affirmatively appear. Those reasons must be based upon objective information concerning identifiable conduct on the part of the defendant occurring after the time of the original sentencing proceeding. And the factual data upon which the increased sentence is based must be made part of the record, so that the constitutional legitimacy of the increased sentence may be fully reviewed on appeal."
As the concurrence pointed out, some States already provided equivalent or broader protection against vindictive sentencing. See id., at 733-734, n. 4 (opinion of Douglas, J.).
Given the fact that Payne's appeal was still pending on that date, however, the result would have been different and the views of the dissenting Justices would have prevailed if the case had been decided after our decision in Teague.
The relevant footnote in the Michigan Supreme Court's opinion explained:
"The United States Supreme Court has not yet decided whether Pearce is to be applied retroactively. Although the Court twice granted certiorari to consider the question, in each case the writ was subsequently dismissed as improvidently granted. Moon v. Maryland, cert granted (1969),
See American Trucking Assns., Inc. v. Smith,
While the opinions discussed at great length our earlier cases raising retroactivity issues, none of them suggested that federal law would prohibit Arkansas from refunding the taxes at issue if it wanted to do so.
The petitioners and the dissenters in American Trucking Assns., Inc. v. Smith relied heavily on separate opinions authored by Justice Harlan, and on the Court's then-recent opinion in Griffith,
See Boyle v. United Technologies Corp.,
Payne came to us on direct appeal, but as noted, supra, at 4, we did not at the time distinguish between direct appeal and collateral review for purposes of retroactivity.
The Court points out that the defendants in such a case are differently situated because they violated the laws of and were tried in different States. Ante, at 26. But disparate treatment under substantively different state laws is something we expect in our federal system; disparate treatment under the same Federal Constitution is quite a different matter.
The majority also points out that the rule announced in Griffith v. Kentucky,
A federal court applying state law under Erie R. Co. v. Tompkins,
The majority's assertion, however, is a bit of an overstatement. Teague would be an odd form of statutory interpretation; 28 U. S. C. §2254 is cited once in passing,
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Citation: 552 U.S. 264
No. 06-8273
Argued: October 31, 2007
Decided: February 20, 2008
Court: United States Supreme Court
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