Opinion · Supreme Court of the United States
Ylst v. Nunnemaker
501 U.S. 797
- Type
- Opinion
- Court
- Supreme Court of the United States
- Jurisdiction
- Federal
- Date
- 1991-06-24
- Topic
- bankruptcy
holding that in applying procedural default provisions an unexplained appellate state-court decision is presumed to be based on the last reasoned decision | holding that in applying procedural default provisions an unexplained appellate state-court decision is presumed to be based on the last reasoned decision | holding that “where there has been one reasoned state judgment rejecting a federal claim, later unexplained orders upholding that judgment or rejecting the same claim rest upon the same ground” | holding that when lower state court speaks clearly all unexplained affirmances by higher state courts must ordinarily be read to confirm the unambiguous holding of lower court | holding that an unexplained appellate state-court decision is pre- sumed to be based on the last reasoned decision | holding that unexplained orders upholding a judgment are presumed to rest upon the same ground as the previous judgment | holding that later unexplained orders 11 addressing the same claim are presumed to rest on the same grounds | holding that in applying procedural default provisions an unexplained appellate state-court decision is presumed to be based on the last reasoned decision | holding that “look through” practice continues to apply on AEDPA review of California Supreme Court summary denials of habeas petition | holding that “the nature of the disposition” and “surrounding circumstances” may inform the reasoning behind a state court’s silent denial of relief | holding that a later decision without written opinion does not silently consider the merits of a claim | holding that California Supreme Court, by silently denying petition for review, presumably did not intend to change court of appeal’s analysis | holding that a court must look through unexplained' orders to the last reasoned decision | holding that "[wjhere there has been one reasoned state judgment rejecting a federal claim, later unexplained orders upholding that judgment or rejecting the same claim rest upon the same ground” | holding that a federal court looks through an unexplained order "to the last reasoned decision," and does not assume that the unexplained order lifts the prior holding that the claim at issue was procedurally barred | holding that a federal court looks through an unexplained order "to the last reasoned decision,” and does not assume that the unexplained order lifts the prior holding that the claim at issue was procedurally barred | holding that when a lower state court spoke clearly, all unexplained affirmances of that opinion by higher state tribunals must ordinarily be read to confirm the unambiguous holding of the lower court | holding that a later decision rejecting a claim without discussion should be presumed to rest on the same grounds as a previous reasoned opinion on the claim | holding that a state procedural bar will be removed if the last state court to be presented with a particular federal claim reaches the merits of the claim | holding that when there has been one reasoned state court judgment rejecting petitioner’s claim, later unexplained orders upholding that judgment should be assumed to rest on the same ground as the reasoned judgment | holding that “where there has been one reasoned state judgment rejecting a federal claim, later unexplained orders upholding that judgment or rejecting the same claim rest upon the same ground.” | holding that where there has been one reasoned state judgment rejecting a federal claim, later unexplained orders upholding that judgment or rejecting the same claim rest upon the same ground | holding that where "there has been one reasoned state judgment rejecting a federal claim, later unexplained orders upholding that judgment or rejecting the same claim rest upon the same ground” | explaining that “if the last state court to be presented with a particular federal claim reaches the merits,” any procedural bar is removed | holding that a federal habeas court must presume that unexplained orders fr
Citator
- Cited by
- 1074 opinions
delivered the opinion of the Court.
In this case we decide whether the unexplained denial of a petition for habeas corpus by a state court lifts a state procedural bar imposed on direct appeal, so that a state prisoner may then have his claim heard on the merits in a federal ha-beas proceeding.
I
In 1975, respondent Nunnemaker was tried in California state court for murder. He raised a defense of diminished capacity and introduced psychiatric testimony in support. In response, the State introduced — without objection from respondent — the testimony of a psychiatrist based upon a custodial interview. The jury found respondent guilty. He appealed, claiming for the first time that the State’s psychiatric testimony was inadmissible because the interview had not been preceded by a Miranda warning, see Miranda v. Arizona, 384 U. S. 436 (1966). In addition, he alleged that his attorney’s failure to object to the psychiatric testimony amounted to ineffective assistance of counsel, and raised other claims not relevant here.
The California Court of Appeal affirmed the conviction. The sole basis for its rejection of the Miranda claim was the state procedural rule that “an objection based upon a Miranda violation cannot be raised for the first time on appeal.” App. 15. See People v. Bennett, 60 Cal. App. 3d 112, 116, 131 Cal. Rptr. 305, 306-307 (1976); In re Dennis M., 70 Cal. 2d 444, 461-462, 450 P. 2d 296, 306-307 (1969). The California Supreme Court denied discretionary review on September 27, 1978.
Respondent next filed a petition for writ of habeas corpus in the United States District Court for the Northern District of California. The court dismissed the petition without prejudice, ruling that it was not clear whether respondent had exhausted his state remedies with respect to all his claims.1 See Rose v. Lundy, 455 U. S. 509 (1982). Respondent then filed a second petition for habeas relief in the California Supreme Court, again invoking that court’s original jurisdiction. That petition was denied, without opinion or case citation, on April 7, 1988.
Respondent then filed a second petition for habeas relief in the Northern District of California, raising the Miranda claim and the ineffectiveness claim. The court rejected the ineffectiveness claim on the merits. As to the Miranda claim, the court found that respondent’s state procedural default barred federal review. Respondent appealed. The Court of Appeals for the Ninth Circuit reversed in part. The court agreed that the ineffective-assistance claim was
1 — I I — I
The last state court to render a judgment on the Miranda claim as of 1978, the California Court of Appeal, expressly found a procedural default. When a state-law default prevents the state court from reaching the merits of a federal claim, that claim can ordinarily not be reviewed in federal court. Wainwright v. Sykes, 433 U. S. 72, 87-88 (1977); Murray v. Carrier, 477 U. S. 478, 485-492 (1986). Thus, had respondent proceeded to federal habeas on the basis of the Miranda claim upon completing his direct review in 1978, federal review would have been barred by the state-law procedural default.
State procedural bars are not immortal, however; they may expire because of later actions by state courts. If the last state court to be presented with a particular federal claim reaches the merits, it removes any bar to federal-court review that might otherwise have been available. See Harris, supra, at 262. We consider, therefore, whether the California Supreme Court’s unexplained order denying his second habeas petition to that court, which according to the Ninth Circuit sought relief on the basis of his Miranda claim, constituted a “decision on the merits” of that claim sufficient to lift the procedural bar imposed on direct appeal.
The consequent question presented by the present case, therefore, is how federal courts in habeas proceedings are to determine whether an unexplained order (by which we mean an order whose text or accompanying opinion does not disclose the reason for the judgment) rests primarily on federal law. The question is not an easy one. In Coleman itself, although the order was unexplained, the nature of the disposition (“dismissed” rather than “denied”) and surrounding circumstances (in particular the fact that the State had rested its argument entirely upon a procedural bar), indicated that the basis was procedural default. But such clues
The problem we face arises, of course, because many formulary orders are not meant to convey anything as to the reason for the .decision. Attributing a reason is therefore both difficult and artificial. We think that the attribution necessary for federal habeas purposes can be facilitated, and sound results more often assured, by applying the following presumption: Where there has been one reasoned state judgment rejecting a federal claim, later unexplained orders upholding that judgment or rejecting the same claim rest upon the same ground. If an earlier opinion “fairly appear[s] to rest primarily upon federal law,” Coleman, ante, at 740, we will presume that no procedural default has been invoked by a subsequent unexplained order that leaves the judgment or its consequences in place. Similarly where, as here, the last reasoned opinion on the claim explicitly imposes a procedural default, we will presume that a later decision rejecting the claim did not silently disregard that bar and consider the merits. This approach accords with the view of every Court of Appeals to consider the matter, save the court below. See Prihoda v. McCaughtry, 910 F. 2d 1379, 1383 (CA7 1990) (dicta); Harmon v. Barton, 894 F. 2d 1268, 1272 (CA11 1990); Evans v. Thompson, 881 F. 2d 117, 123, n. 2 (CA4 1989); Ellis v. Lynaugh, 873 F. 2d 830, 838 (CA5 1989).
This presumption assists, as we have said, not only administrability but accuracy as well — unlike the application of Harris to unexplained orders, which achieves the former at the expense of the latter. As applied to an unexplained order leaving in effect a decision (or, in the case of habeas, the consequences of a decision) that expressly relies upon procedural bar, the Harris presumption would interpret the order as rejecting that bar and deciding the federal question
Respondent poses various hypotheticals in which this presumption would not produce a correct assessment of the state-court disposition. We need not consider them, because we do not suggest that the presumption is irrebuttable; strong evidence can refute it. It might be shown, for example, that even though the last reasoned state-court opinion had relied upon a procedural default, a retroactive change in law had eliminated that ground as a basis of decision, and the court which issued-the later unexplained order had directed extensive briefing limited to the merits of the federal claim. Or it might be shown that, even though the last reasoned state-court opinion had relied upon a federal ground, the later appeal to the court that issued the unexplained order was plainly out of time, and that the latter court did not ordinarily waive such a procedural default without saying so.
To decide the present case, therefore, we begin by asking which is the last explained state-court judgment on the Miranda claim. Obviously it is not the second denial of habeas by the California Supreme Court; although that was the last judgment, it said absolutely nothing about the reasons for the denial. The first denial of habeas by that court, on December 3, 1986, did cite (without any elaboration) two state cases, Swain and Waltreus. The former holds that facts relied upon in a habeas petition must be alleged with particularity, and the latter that claims presented on direct review ordinarily may not be relitigated on state habeas. Even if we knew that the court intended to apply both of these cases to the Miranda claim (as opposed to the other claims raised by the same petition), that would be irrelevant to the point before us here. Respondent had exhausted his Miranda claim by presenting it on direct appeal, and was not required to go to state habeas at all, see Castille v. Peoples, 489 U. S. 346, 349-350 (1989); state rules against that superfluous recourse have no bearing upon his ability to raise the Miranda claim in federal court. Thus, although the California Supreme Court’s denial of respondent’s first habeas petition to it was not utterly silent, neither was it informative with respect to the question before us.
The prior denials of respondent’s state habeas petitions by the two lower California courts were silent; and, as discussed above, the discretionary denial of review on direct appeal by
The judgment of the Court of Appeals is reversed, and the case is remanded for further proceedings consistent with this opinion.
So ordered.
In fact he had. The California Court of Appeal decision on direct review shows that all claims, including the Miranda claim and the ineffectiveness claim, were presented to, and specifically addressed by, that court. See App. 15, 17. The District Court’s mistake on this point was apparently caused by respondent’s own statement “that none of his claims were [sic] raised by way of direct appeal.” Id., at 83.
Petitioner also argues that in California original habeas corpus jurisdiction is discretionary, so that denial of a petition is not a “judgment,” and the last state-court “judgment” to which we should look is that of the Court of Appeal on direct review. Respondent concedes that a discretionary denial of review cannot lift a pre-existing procedural bar, and the federal courts are in accord. See Goodwin v. Collins, 910 F. 2d 185, 187 (CA5 1990); Prihoda v. McCaughtry, 910 F. 2d 1379, 1382-1383 (CA7 1990). Respondent denies, however, that California courts have any discretion not to entertain habeas corpus petitions. The state law on this question is not clear, and we shall assume for purposes of this case that respondent is right. We also assume, since the point has not been argued, that Miranda claims such as that raised by respondent are cognizable in federal habeas corpus. See Duckworth v. Eagan, 492 U. S. 195, 205-214 (1989) (O’Connor, J., concurring); cf. Stone v. Powell, 428 U. S. 465 (1976).
The only common circumstance in which the presumption is unrealistic is that in which the later state decision rests upon a prohibition against further state review — for example, an unexplained denial of state habeas resting in fact upon a rule (such as petitioner contends exists in California) preventing the relitigation on state habeas of claims raised on direct appeal. In that circumstance, even though the presumption does not posit the real reason for the later denial, it does produce a result (“looking through” to the last reasoned decision) that is the correct one for federal habeas courts. Since a later state decision based upon ineligibility for further state review neither rests upon procedural default nor lifts a pre-existing procedural default, its effect upon the availability of federal habeas is nil — which is precisely the effect accorded by the “look-through” presumption.