Opinion · Supreme Court of the United States

Williams v. Taylor

529 U.S. 362

Type
Opinion
Court
Supreme Court of the United States
Jurisdiction
Federal
Date
2000-04-18
Topic
general

How later courts describe this case

  • holding that the language of § 2254(d)(1) expressly “restricts the source of clearly established law to [the Supreme Court’s] jurisprudence”
  • holding that 28 U.S.C. § 2254(d)(1), which includes two disjunctive clauses, must be read so as to give independent meaning to both clauses
  • concluding that Strickland provided standards that were clearly established federal law applicable to ineffective assistance of counsel claims
  • holding that a failure to investigate and present mitigating evidence during sentencing hearing constituted ineffective assistance, even when doing so would have admitted some unfavorable evidence
  • holding that the failure to “conduct an investigation that would have uncovered extensive records graphically describing [the petitioner’s] nightmarish childhood” constituted deficient performance
  • holding that an erroneous, but not unreasonable, application of Supreme Court precedent will not justify habeas relief
  • holding that counsel provided ineffective assistance at sentencing because they failed to investigate records due,to their mistaken understanding of state law on accessing such records
  • concluding that counsel was deficient in failing to conduct an investigation that would have uncovered records describing a “nightmarish childhood” and borderline mental retardation

Citator

Williams v. Taylor has been questioned or limited by later authorities: relies on overruled authority: 103 L. Ed. 2d 334 (overruled by Edwards v. Vannoy). Read them before relying on it. 15,732 later decisions cite it.

Authority status
caution
Cited by
15732 opinions
Followed
12 times
Distinguished
6 times

Headnotes

  1. Criminal Law & Procedure — Right to Counsel A claim of ineffective assistance of counsel is governed by the standard established in Strickland v. Washington, which requires the defendant to prove both that counsel's performance fell below an objective standard of reasonableness and that the deficient performance prejudiced the defense. Strickland v. Washington, 466 U.S. 668, 687–688, 694 (1984)
  2. Criminal Law & Procedure — Right to Counsel To establish deficient performance, the defendant must show that counsel made errors so serious that counsel was not functioning as the counsel guaranteed by the Sixth Amendment, and that counsel's representation fell below an objective standard of reasonableness. Strickland v. Washington, 466 U.S. 668, 687–688 (1984)
  3. Criminal Law & Procedure — Right to Counsel To establish prejudice, the defendant must show a reasonable probability that, but for counsel's unprofessional errors, the result of the proceeding would have been different; a reasonable probability is a probability sufficient to undermine confidence in the outcome. Strickland v. Washington, 466 U.S. 668, 694 (1984)
  4. Criminal Law & Procedure — Right to Counsel It is insufficient to show only that counsel's errors had some conceivable effect on the outcome of the proceeding, because virtually every act or omission of counsel would meet that test; the petitioner bears a highly demanding and heavy burden in establishing actual prejudice. Strickland v. Washington, 466 U.S. 668, 693–694 (1984)
  5. Criminal Law & Procedure — Right to Counsel The Strickland test qualifies as "clearly established Federal law, as determined by the Supreme Court of the United States" for purposes of 28 U.S.C. § 2254(d)(1); that the test requires a case-by-case examination of the evidence obviates neither the clarity of the rule nor the extent to which it must be seen as established by the Supreme Court. Teague v. Lane, 489 U.S. 288, 301 (1989); Wright v. West, 505 U.S. 277, 308 (1992) (Kennedy, J., concurring in judgment)
  6. Criminal Law & Procedure — Right to Counsel Supreme Court precedent dictated that a state court apply the Strickland test at the time it entertained an ineffective-assistance claim, and recognizing the right to effective counsel does not break new ground or impose a new obligation on the States. Teague v. Lane, 489 U.S. 288, 301 (1989)
  7. Habeas Corpus — Standard of Review Under 28 U.S.C. § 2254(d)(1), an application for a writ of habeas corpus on behalf of a person in custody pursuant to the judgment of a State court shall not be granted with respect to any claim adjudicated on the merits in State court proceedings unless the adjudication resulted in a decision that was contrary to, or involved an unreasonable application of, clearly established Federal law as determined by the Supreme Court of the United States. 28 U.S.C. § 2254(d)(1)
  8. Habeas Corpus — Standard of Review Before 1996, a federal habeas court was required to exercise its independent judgment when deciding questions of constitutional law and mixed constitutional questions, and owed no deference to a state court's resolution of such questions. Miller v. Fenton, 474 U.S. 104, 112 (1985)
  9. Habeas Corpus — Standard of Review Federal habeas courts have a duty to evaluate mixed constitutional questions independently, and Teague v. Lane did not establish a deferential standard of review because it did not establish a standard of review at all. Wright v. West, 505 U.S. 277, 301–304 (1992)
  10. Habeas Corpus — Standard of Review The maxim that federal habeas courts should give great weight to the considered conclusions of a coequal state judiciary signifies only that a state-court decision is due the same respect as any other persuasive, well-reasoned authority; it does not require federal courts to presume the correctness of a state court's legal conclusions on habeas, and a state court's incorrect legal determination has never been allowed to stand because it was reasonable. Miller v. Fenton, 474 U.S. 104, 112 (1985); Wright v. West, 505 U.S. 277, 305 (1992)
  11. Habeas Corpus — Standard of Review Federal courts, even on habeas, have an independent obligation to say what the law is. Wright v. West, 505 U.S. 277, 305 (1992); Marbury v. Madison, 5 U.S. (1 Cranch) 137, 177 (1803)
  12. Habeas Corpus — Statutory Construction Section 2254(d)(1) modifies the previously settled rule of independent federal review of state prisoners' habeas petitions in order to curb delays, prevent retrials on federal habeas, and give effect to state convictions to the extent possible under law. 28 U.S.C. § 2254(d)(1)
  13. Habeas Corpus — Statutory Construction A cardinal principle of statutory construction requires that effect, if possible, be given to every clause and word of a statute; accordingly, the "contrary to" and "unreasonable application" clauses of § 2254(d)(1) must each be given independent meaning. United States v. Menasche, 348 U.S. 528, 538–539 (1955)
  14. Habeas Corpus — "Contrary To" Clause Under the "contrary to" clause of § 2254(d)(1), a federal habeas court may grant the writ if the state court arrives at a conclusion opposite to that reached by the Supreme Court on a question of law, or if the state court decides a case differently than the Supreme Court has on a set of materially indistinguishable facts, or if the state court applies a rule that contradicts the governing law set forth in the Supreme Court's cases. 28 U.S.C. § 2254(d)(1); Green v. French, 143 F.3d 865, 869–870 (4th Cir. 1998)
  15. Habeas Corpus — "Contrary To" Clause A run-of-the-mill state-court decision applying the correct legal rule from Supreme Court cases to the facts of a prisoner's case does not fit within § 2254(d)(1)'s "contrary to" clause, even if the federal habeas court might reach a different result applying the same legal framework; construing the clause to encompass such a decision would render the "unreasonable application" clause a nullity. 28 U.S.C. § 2254(d)(1)
  16. Habeas Corpus — "Unreasonable Application" Clause Under the "unreasonable application" clause of § 2254(d)(1), a federal habeas court may grant the writ if the state court identifies the correct governing legal principle from the Supreme Court's decisions but unreasonably applies that principle to the facts of the prisoner's case. 28 U.S.C. § 2254(d)(1)
  17. Habeas Corpus — "Unreasonable Application" Clause A state-court decision that unreasonably extends a legal principle from Supreme Court precedent to a new context where it should not apply, or unreasonably refuses to extend a legal principle to a new context where it should apply, may be analyzed under § 2254(d)(1)'s "unreasonable application" clause. 28 U.S.C. § 2254(d)(1); Green v. French, 143 F.3d 865, 869–870 (4th Cir. 1998)
  18. Habeas Corpus — "Unreasonable Application" Clause A federal habeas court making the "unreasonable application" inquiry should ask whether the state court's application of clearly established federal law was objectively unreasonable, and should not transform the inquiry into a subjective one by resting its determination on the simple fact that at least one of the Nation's jurists has applied the relevant federal law in the same manner the state court did. 28 U.S.C. § 2254(d)(1)
  19. Habeas Corpus — "Unreasonable Application" Clause An unreasonable application of federal law is different from an incorrect or erroneous application of federal law; a federal habeas court may not issue the writ simply because it concludes in its independent judgment that the relevant state-court decision applied clearly established federal law erroneously or incorrectly, because Congress specifically used the word "unreasonable" rather than a term like "erroneous" or "incorrect." 28 U.S.C. § 2254(d)(1)
  20. Habeas Corpus — "Clearly Established Federal Law" The phrase "clearly established Federal law, as determined by the Supreme Court of the United States" in § 2254(d)(1) refers to the holdings, as opposed to the dicta, of the Supreme Court's decisions as of the time of the relevant state-court decision. 28 U.S.C. § 2254(d)(1)
  21. Habeas Corpus — "Clearly Established Federal Law" The phrase "clearly established Federal law, as determined by the Supreme Court of the United States" bears only a slight connection to the Supreme Court's jurisprudence under Teague v. Lane; with the caveat that § 2254(d)(1) restricts the source of clearly established law to the Supreme Court's jurisprudence, whatever would qualify as an "old rule" under Teague will constitute clearly established Federal law. Teague v. Lane, 489 U.S. 288 (1989); Stringer v. Black, 503 U.S. 222, 228 (1992)
  22. Habeas Corpus — Retroactivity A federal habeas petitioner is not entitled to relief based on a rule of federal law announced after the petitioner's state conviction became final; the Teague antiretroactivity rule is the functional equivalent of a statutory provision commanding exclusive reliance on "clearly established law," and AEDPA codifies Teague to the extent that Teague requires federal habeas courts to deny relief contingent upon a rule of law not clearly established at the time the state conviction became final. Teague v. Lane, 489 U.S. 288 (1989)
  23. Habeas Corpus — Retroactivity A rule that fails to satisfy the criteria for a "new rule" under Teague v. Lane is barred from application on collateral review and is likewise unavailable as a basis for relief in a habeas case to which AEDPA applies. Teague v. Lane, 489 U.S. 288 (1989)
  24. Habeas Corpus — Retroactivity Rules of law may be sufficiently clear for habeas purposes even when expressed as a generalized standard rather than as a bright-line rule; where the beginning point is a rule of general application designed for the specific purpose of evaluating a myriad of factual contexts, it will be the infrequent case that yields a result so novel that it forges a new rule not dictated by precedent. Wright v. West, 505 U.S. 277, 308–309 (1992) (Kennedy, J., concurring in judgment)
  25. Habeas Corpus — Retroactivity The determination whether a rule is clearly established at the time a state court renders its final judgment of conviction is a question as to which federal courts must make an independent evaluation. Wright v. West, 505 U.S. 277, 305 (1992) (O'Connor, J., concurring in judgment)
  26. Habeas Corpus — Standard of Review Deference under AEDPA is not the same as Teague's antiretroactivity rule; Teague does not encompass a broader principle of deference requiring federal courts to validate reasonable, good-faith interpretations of the law by state courts, and the language endorsing "reasonable, good-faith interpretations" is an explanation of policy, not a statement of law. Butler v. McKellar, 494 U.S. 407, 414 (1990); Wright v. West, 505 U.S. 277 (1992)
  27. Habeas Corpus — Standard of Review Habeas corpus is not to be used as a second criminal trial, and federal courts must attend closely to the considered decisions of state courts and give them full effect when their findings and judgments are consistent with federal law. Thompson v. Keohane, 516 U.S. 99, 107–116 (1995)
  28. Habeas Corpus — Standard of Review The federal court's duty in evaluating whether a rule is "new" is not the same as deference; Teague does not direct federal courts to spend less time or effort scrutinizing the existing federal law, and the maxim that federal courts should give great weight to the considered conclusions of a coequal state judiciary does not mean that federal courts must presume the correctness of a state court's legal conclusions on habeas. Wright v. West, 505 U.S. 277, 305 (1992) (O'Connor, J., concurring in judgment)
  29. Habeas Corpus — Standard of Review The phrases "contrary to" and "unreasonable application of" in § 2254(d)(1) do not define two mutually exclusive categories of questions and have overlapping meanings; most constitutional questions arising in habeas corpus proceedings require the federal judge to apply a rule of law to a set of facts, some of which may be disputed and some undisputed. 28 U.S.C. § 2254(d)(1); Green v. French, 143 F.3d 865, 870 (4th Cir. 1998)
  30. Habeas Corpus — Standard of Review Section 2254(d)(1) does not prescribe a specific, recognizable standard of review for either the "contrary to" or "unreasonable application of" phrase and does not use a term such as "de novo" or "plain error" that would easily identify a familiar standard of review; the provision is fairly read as a command that a federal court not issue the habeas writ unless the state court was wrong as a matter of law or unreasonable in its application of law in a given case. 28 U.S.C. § 2254(d)(1)
  31. Habeas Corpus — Standard of Review The § 2254(d)(1) phrases express a "mood" that the Federal Judiciary must respect, and Congress intended federal judges to attend with the utmost care to state-court decisions, including all reasons supporting them, before concluding that those proceedings were infected by constitutional error sufficiently serious to warrant issuance of the writ. Universal Camera Corp. v. NLRB, 340 U.S. 474, 487 (1951); 28 U.S.C. § 2254(d)(1)
  32. Habeas Corpus — Factual Determinations Under 28 U.S.C. § 2254(d)(2), the habeas remedy is available when a state-court decision was based on an unreasonable determination of the facts in light of the evidence presented in the State court proceeding, and federal habeas courts must make as the starting point of their analysis the state courts' determinations of fact, including that aspect of a mixed question that rests on a finding of fact. 28 U.S.C. § 2254(d)(2)
  33. Habeas Corpus — Statutory Construction The proper characterization of a question as one of fact or law, and the applicable standard of review, are sometimes unclear; pre-AEDPA efforts to distinguish questions of fact, questions of law, and mixed questions, and to create an appropriate standard of habeas review for each, generated substantial differences of opinion as to which issues of law fell into which category and as to which standard of review applied to each. Thompson v. Keohane, 516 U.S. 99, 110–111 (1995); Miller v. Fenton, 474 U.S. 104, 113 (1985)
  34. Habeas Corpus — Standard of Review AEDPA sought to ensure a level of deference to the determinations of state courts, provided those determinations did not conflict with federal law or apply federal law in an unreasonable way. H.R. Conf. Rep. No. 104-518, p. 111 (1996)
  35. Habeas Corpus — Federalism Federal law as determined by the Supreme Court of the United States must be applied uniformly by federal courts across different states, and the relevant statute does not permit non-uniform interpretation of federal law by federal courts.
  36. Criminal Law & Procedure — Right to Counsel A violation of the right to effective assistance of counsel has two components: deficient performance, established by showing counsel made errors so serious that counsel was not functioning as the counsel guaranteed by the Sixth Amendment, and prejudice, established by showing counsel's errors were so serious as to deprive the defendant of a fair trial whose result is reliable. Strickland v. Washington, 466 U.S. 668, 687 (1984)
  37. Criminal Law & Procedure — Right to Counsel Where a death sentence was based on an aggravating circumstance that duplicated an element of the underlying felony, and a federal court of appeals had held such double counting impermissible shortly before trial but that decision was later overruled before the federal habeas claim reached the Supreme Court, the State had a right to rely on the disputed aggravating circumstance, and the defendant suffered no prejudice from counsel's failure to make an objection to which the defendant was not entitled. Lockhart v. Fretwell, 506 U.S. 364, 372 (1993); Collins v. Lockhart, 754 F.2d 258, 265 (8th Cir. 1985)
  38. Criminal Law & Procedure — Right to Counsel The "prejudice" component of the Strickland test focuses on whether counsel's deficient performance renders the result of the trial unreliable or the proceeding fundamentally unfair; unreliability or unfairness does not result if the ineffectiveness of counsel does not deprive the defendant of any substantive or procedural right to which the law entitles him. Lockhart v. Fretwell, 506 U.S. 364, 372 (1993); Strickland v. Washington, 466 U.S. 668, 687 (1984)
  39. Criminal Law & Procedure — Right to Counsel Cases such as Nix v. Whiteside and Lockhart v. Fretwell do not justify a departure from a straightforward application of Strickland when the ineffectiveness of counsel deprives the defendant of a substantive or procedural right to which the law entitles him. Nix v. Whiteside, 475 U.S. 157 (1986); Lockhart v. Fretwell, 506 U.S. 364 (1993)
  40. Criminal Law & Procedure — Right to Counsel A defendant has a constitutionally protected right to provide the jury with mitigating evidence. Lockhart v. Fretwell, 506 U.S. 364 (1993); Strickland v. Washington, 466 U.S. 668 (1984)
  41. Criminal Law & Procedure — Right to Counsel The determinative question for prejudice under Strickland remains whether there is a reasonable probability that, but for counsel's unprofessional errors, the result of the proceeding would have been different, and a defendant may not demonstrate prejudice based on considerations that, as a matter of law, ought not inform the prejudice inquiry. Lockhart v. Fretwell, 506 U.S. 364, 373 (1993) (O'Connor, J., concurring); Strickland v. Washington, 466 U.S. 668, 694 (1984)
  42. Criminal Law & Procedure — Right to Counsel An analysis focusing solely on mere outcome determination, without attention to whether the result of the proceeding was fundamentally unfair or unreliable, is defective. Lockhart v. Fretwell, 506 U.S. 364 (1993); Williams v. Warden, 254 Va. 16, 25, 487 S.E.2d 194, 199 (1997)
  43. Criminal Law & Procedure — Right to Counsel The prejudice inquiry under Strickland is a mixed question of law and fact, and whether available mitigation evidence was not presented at trial is a factual question as to which there may be no genuine dispute, while the prejudice determination is the legal part of the mixed question. Strickland v. Washington, 466 U.S. 668, 698 (1984); Williams v. Warden, 254 Va. 16, 487 S.E.2d 194 (1997)
  44. Criminal Law & Procedure — Right to Counsel Trial counsel has an obligation to conduct a thorough investigation of the defendant's background and personal circumstances, and counsel's failure to conduct a requisite, diligent investigation into a client's troubling background and unique personal circumstances can constitute deficient performance. 1 ABA Standards for Criminal Justice 4-4.1, commentary, p. 4-55 (2d ed. 1980); Williams v. Warden, 254 Va. 16, 487 S.E.2d 194 (1997)
  45. Criminal Law & Procedure — Right to Counsel Counsel's failure to conduct an adequate investigation is not excused as a strategic decision where counsel did not fail to seek records because he thought they would be counterproductive, but because counsel erroneously believed that state law did not permit it; tactics as a matter of reasonable performance could not justify the omissions.
  46. Criminal Law & Procedure — Right to Counsel Counsel's performance during the sentencing phase falls below the range expected of reasonable, professionally competent assistance where counsel does not begin preparing for that phase until a week before trial, fails to uncover extensive records describing the defendant's troubled background, fails to introduce available evidence that the defendant was borderline mentally retarded and did not advance beyond sixth grade, fails to seek prison records reflecting the defendant's commendations, and fails to present testimony of prison officials who described the defendant as among the inmates least likely to act violently, dangerously, or provocatively.
  47. Criminal Law & Procedure — Right to Counsel Failure to introduce a comparatively voluminous amount of evidence favorable to the defendant is not justified by a tactical decision, and such omissions clearly demonstrate that counsel did not fulfill the ethical obligation to conduct a thorough investigation of the defendant's background.
  48. Criminal Law & Procedure — Right to Counsel The prejudice determination requires evaluating the totality of the available mitigation evidence — both that adduced at trial and that adduced in the habeas proceeding — in reweighing it against the evidence in aggravation, and mitigating evidence unrelated to dangerousness may alter the jury's selection of penalty even if it does not undermine or rebut the prosecution's death-eligibility case. Clemons v. Mississippi, 494 U.S. 738, 751–752 (1990); Boyde v. California, 494 U.S. 370, 387 (1990)
  49. Criminal Law & Procedure — Right to Counsel A state court's prejudice analysis is an unreasonable application of clearly established federal law where it mischaracterizes the Strickland rule by requiring more than a "mere" difference in outcome to establish constitutionally ineffective assistance of counsel, or fails to evaluate the totality of the available mitigation evidence, including evidence that does not relate to dangerousness, in reweighing it against the evidence in aggravation. Strickland v. Washington, 466 U.S. 668 (1984)
  50. Criminal Law & Procedure — Right to Counsel A state court decision is contrary to, and separately an unreasonable application of, clearly established federal law where the state court relies on an inapplicable exception rather than the controlling rule established by the Supreme Court.
  51. Criminal Law & Procedure — Right to Counsel The established legal standard for determining counsel's effectiveness requires assessing the entire postconviction record, viewed as a whole and cumulative of the mitigation evidence presented originally, to determine whether there is a reasonable probability that the result of the sentencing proceeding would have been different if competent counsel had presented and explained the significance of all available evidence.
  52. Criminal Law & Procedure — Right to Counsel A state court decision that is contrary to, or involves an unreasonable application of, clearly established federal law — as where the prejudice determination fails to comply with Strickland — violates the defendant's constitutional right to the effective assistance of counsel. Strickland v. Washington, 466 U.S. 668 (1984)
  53. Criminal Law & Procedure — Right to Counsel Ineffective assistance of counsel that does not result in actual prejudice to the accused does not warrant relief; a prisoner's assertions about the potential effects of omitted proof do not establish a reasonable probability that the result of the proceeding would have been different, nor any probability sufficient to undermine confidence in the outcome. Williams v. Warden, 254 Va. 16, 25, 487 S.E.2d 194, 199 (1997)
  54. Criminal Law & Procedure — Right to Counsel It is not unreasonable for a state court to decide that a jury would not have been swayed by mitigation evidence demonstrating that a petitioner had a terrible childhood and a low IQ, where there was strong evidence that the petitioner would continue to be a danger to society, both in and out of prison.
  55. Criminal Law & Procedure — Right to Counsel Even assuming challenged conduct of counsel was unreasonable, a prisoner suffers insufficient prejudice to warrant setting aside his death sentence where, given overwhelming aggravating factors, there is no reasonable probability that the omitted evidence would have changed the conclusion that the aggravating circumstances outweighed the mitigating circumstances and hence the sentence imposed, and the prisoner has made no showing that the justice of his sentence was rendered unreliable by a breakdown in the adversary process or that his sentencing proceeding was fundamentally unfair. Strickland v. Washington, 466 U.S. 668, 698–700 (1984)
  56. Criminal Law & Procedure — Right to Counsel In unusual circumstances such as those present in Lockhart or Nix v. Whiteside, the prejudice inquiry extends beyond mere outcome determination to whether the result of the criminal proceeding was fundamentally unfair or unreliable; where a case does not implicate those unusual circumstances, an emphasis on outcome determination in the prejudice analysis is entirely appropriate. Lockhart v. Fretwell, 506 U.S. 364 (1993); Nix v. Whiteside, 475 U.S. 157 (1986)
  57. Criminal Law & Procedure — Right to Counsel Even if a defendant's false testimony might have persuaded the jury to acquit him, it is not fundamentally unfair to conclude that he was not prejudiced by counsel's interference with his intended perjury. Nix v. Whiteside, 475 U.S. 157, 175–176 (1986)
  58. Criminal Law & Procedure — Right to Counsel Given the overriding interest in fundamental fairness, the likelihood of a different outcome attributable to an incorrect interpretation of the law should be regarded as a potential windfall to the defendant rather than the legitimate prejudice contemplated by Strickland. Lockhart v. Fretwell, 506 U.S. 364 (1993)
  59. Criminal Law & Procedure — Right to Counsel The Strickland test provides sufficient guidance for resolving virtually all ineffective-assistance-of-counsel claims, but there are a few situations in which prejudice may be presumed, and situations in which it would be unjust to characterize the likelihood of a different outcome as legitimate prejudice. Strickland v. Washington, 466 U.S. 668, 692 (1984)
  60. Criminal Law & Procedure — Right to Counsel Even if a defendant neglects to conduct an investigation as part of a tactical decision, such tactics as a matter of reasonable performance cannot justify the omissions.
  61. Criminal Law & Procedure — Right to Counsel Counsel's failure to contact a potentially persuasive character witness is not a conscious strategic choice where it resulted simply from a failure to return the witness's phone call offering his service.