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Full Opinion
with whom Justice Ginsburg and Justice Kagan join as to Part II, dissenting.
Some habeas petitioners are unable to develop the factual basis of their claims in state court through no fault of their own. Congress recognized as much when it enacted the Antiterrorism and Effective Death Penalty Act of 1996 (AEDPA), 110 Stat. 1214, and permitted therein the introduction of new evidence in federal habeas proceedings in certain limited circumstances. See 28 U. S. C. § 2254(e)(2). Under the Courtâs novel interpretation of § 2254(d)(1), however, federal courts must turn a blind eye to new evidence in deciding whether a petitioner has satisfied § 2254(d)(l)âs threshold obstacle to federal habeas relief â even when it is clear that the petitioner would be entitled to relief in light of that evidence. In reading the statute to âcompe[l]â this harsh result, ante, at 182, the Court ignores a key textual difference between §§ 2254(d)(1) and 2254(d)(2) and discards the previous understanding in our precedents that new evidence can, in fact, inform the § 2254(d)(1) inquiry. I therefore dissent from the Courtâs first holding.
I
The Court first holds that, in determining whether a state-court decision is an unreasonable application of Supreme Court precedent under § 2254(d)(1), âreview ... is limited to the record that was before the state court that adjudicated the claim on the merits.â Ante, at 181. New evidence adduced at a federal evidentiary hearing is now irrelevant to determining whether a petitioner has satisfied § 2254(d)(1). This holding is unnecessary to promote AEDPAâs purposes, and it is inconsistent with the provisionâs text, the structure of the statute, and our precedents.
A
To understand the significance of the majorityâs holding, it is important to view the issue in context. AEDPAâs entire structure â which gives state courts the opportunity to decide factual and legal questions in the first instance â ensures that evidentiary hearings in federal habeas proceedings are very rare. See N. Kang, F. Cheesman, & B. Ostrom, Final Technical Report: Habeas Litigation in U. S. District Courts 35-36 (2007) (evidentiary hearings under AEDPA occur in 0.4 percent of noncapital cases and 9.5 percent of capital cases). Even absent the new restriction created by todayâs holding, AEDPA erects multiple hurdles to a state prisonerâs ability to introduce new evidence in a federal habeas proceeding.
Second, the exhaustion requirement is âcomplement[ed]â by the standards set forth in § 2254(d). Harrington, 562 U. S., at 103. Under this provision, a federal court may not grant habeas relief on any âclaim that was adjudicated on the merits in State court proceedingsâ unless the adjudication
â(1) 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; or
â(2) resulted in a decision that was based on an unreasonable determination of the facts in light of the evidence presented in the State court proceeding.â
These standards âcontrol whether to grant habeas relief.â Schriro v. Landrigan, 550 U. S. 465, 474 (2007). Accordingly, we have said, if the factual allegations a petitioner seeks to prove at an evidentiary hearing would not satisfy these standards, there is no reason for a hearing. See id., at 481. In such a case, the district court may exercise its âdiscretion to deny an evidentiary hearing.â Ibid.; see also infra, at 218-219. This approach makes eminent sense: If district courts held evidentiary hearings without first asking
Third, even when a petitioner seeks to introduce new evidence that would entitle him to relief, AEDPA prohibits him from doing so, except in a narrow range of cases, unless he âmade a reasonable attempt, in light of the information available at the time, to investigate and pursue claims in state court.â Williams v. Taylor, 529 U. S. 420, 435 (2000) (Michael Williams). Thus, § 2254(e)(2) provides:
âIf the applicant has failed to develop the factual basis of a claim in State court proceedings, the court shall not hold an evidentiary hearing on the claim unless the applicant shows thatâ
â(A) the claim relies onâ
â(i) a new rule of constitutional law, made retroactive to eases on collateral review by the Supreme Court, that was previously unavailable; or
â(ii) a factual predicate that could not have been previously discovered through the exercise of due diligence; and
â(B) the facts underlying the claim would be sufficient to establish by clear and convincing evidence that but for constitutional error, no reasonable factfinder would have found the applicant guilty of the underlying offense.â
In Michael Williams, we construed the opening clause of this provision â which triggers the bar on evidentiary hearings â to apply when âthere is lack of diligence, or some greater fault, attributable to the prisoner or the prisonerâs counsel.â
To the limited extent that federal evidentiary hearings are available under AEDPA, they ensure that petitioners who diligently developed the factual basis of their claims in state court, discovered new evidence after the state-court proceeding, and cannot return to state court retain the ability to access the Great Writ. See ante, at 203-204 (Alito, J., concurring in part and concurring in judgment). âWhen Congress codified new rules governing this previously judicially managed area of law, it did so without losing sight of the fact that the âwrit of habeas corpus plays a vital role in protecting constitutional rights.ââ Holland v. Florida, 560 U. S. 631, 649 (2010) (quoting Slack v. McDaniel, 529 U. S. 473, 483 (2000)). Allowing a petitioner to introduce new evidence at a hearing in the limited circumstance permitted by § 2254(e)(2) does not upset the balance that Congress struck in AEDPA between the state and federal courts. By construing § 2254(d)(1) to do the work of other provisions in AEDPA, the majority has subverted Congressâ careful balance of responsibilities. It has also created unnecessarily a brandnew set of procedural complexities that lower courts will have to confront.
B
The majorityâs interpretation of § 2254(d)(1) finds no support in the provisionâs text or the statuteâs structure as a whole.
1
Section 2254(d)(1) requires district courts to ask whether a state-court adjudication on the merits âresulted in a decision that was contrary to, or involved an unreasonable application of, clearly established FederĂĄl law, as determined by
Ignoring our usual âreluctan[ee] to treat statutory terms as surplusage in any setting,â TRW Inc. v. Andrews, 534 U. S. 19, 31 (2001) (internal quotation marks omitted), the majority characterizes the phrase appearing in § 2254(d)(2) as mere âclarifying language,â ante, at 185, n. 7. It speculates that â[t]he omission of clarifying language from § 2254(d)(1) just as likely reflects Congressâ belief that such language was unnecessary as it does anything else.â Ibid. The argument that this phrase is merely âclarifyingâ might have more force, however, had Congress included this phrase in § 2254(d)(1) but not in § 2254(d)(2). As between the two provisions, § 2254(d)(2) â which requires review of the state courtâs âdetermination of the factsâ â more logically depends on the facts presented to the state court. Because this provision needs less clarification on this point than
Unlike my colleagues in the majority, I refuse to assume that Congress simply engaged in sloppy drafting. The inclusion of this phrase in § 2254(d)(2) â coupled with its omission from § 2254(d)(2)âs partner provision, § 2254(d)(1) â provides strong reason to think that Congress did not intend for the § 2254(d)(1) analysis to be limited categorically to âthe evidence presented in the State court proceeding.â
2
The â âbroader context of the statute as a whole/ â ante, at 182 (quoting Robinson v. Shell Oil Co., 519 U. S. 337, 341 (1997)), reinforces this conclusion. In particular, Congressâ decision to include in AEDPA a provision, § 2254(e)(2), that permits federal evidentiary hearings in certain circumstances provides further evidence that Congress did not intend to limit the § 2254(d)(1) inquiry to the state-court record in every case.
We have long recognized that some diligent habeas petitioners are unable to develop all of the facts supporting their claims in state court.
Faced with situations in which a diligent petitioner offers additional evidence in federal court, the courts of appeals have taken two approaches to applying § 2254(d)(1). Some courts have held that when a federal court admits new evidence supporting a claim adjudicated on the merits in state court, § 2254(d)(1) does not apply at all and the federal court may review the claim de novo. See ante, at 184; Holland v. Jackson, 542 U. S. 649, 653 (2004) (per curiam); see, e. g., Winston v. Kelly, 592 F. 3d 535, 555-556 (CA4 2010). I agree with the majorityâs rejection of this approach. See ante, at 185. It would undermine the comity principles motivating AEDPA to decline to defer to a state-court adjudication of a claim because the state court, through no fault of its own, lacked all the relevant evidence.
Other Courts of Appeals, including the court below, have struck a more considered balance. These courts have held that § 2254(d)(1) continues to apply but that new evidence properly presented in a federal hearing is relevant to the
The majority charts a third, novel course that, so far as I am aware, no court of appeals has adopted: Section 2254(d)(1) continues to apply when a petitioner has additional evidence that he was unable to present to the state court, but the district court cannot consider that evidence in deciding whether the petitioner has satisfied § 2254(d)(1). The problem with this approach is its potential to bar federal habeas relief for diligent habeas petitioners who cannot present new evidence to a state court.
Consider, for example, a petitioner who diligently attempted in state court to develop the factual basis of a claim that prosecutors withheld exculpatory witness statements in violation of Brady v. Maryland, 373 U. S. 83 (1963). The state court denied relief on the ground that the withheld evidence then known did not rise to the level of materiality required under Brady. Before the time for filing a federal habeas petition has expired, however, a state court orders the State to disclose additional documents the petitioner had timely requested under the Stateâs public records Act. The disclosed documents reveal that the State withheld other exculpatory witness statements, but state law would not per
Under our precedent, if the petitioner had not presented his Brady claim to the state court at all, his claim would be deemed defaulted, and the petitioner could attempt to show cause and prejudice to overcome the default. See Michael Williams, 529 U. S., at 444; see also n. 1, supra. If, however, the new evidence merely bolsters a Brady claim that was adjudicated on the merits in state court, it is unclear how the petitioner can obtain federal habeas relief after todayâs holding. What may have been a reasonable decision on the state-court record may no longer be reasonable in light of the new evidence. See Kyles v. Whitley, 514 U. S. 419, 436 (1995) (materiality of Brady evidence is viewed âcollectively, not item by itemâ). Because the state court adjudicated the petitionerâs Brady claim on the merits, § 2254(d)(1) would still apply. Yet, under the majorityâs interpretation of § 2254(d)(1), a federal court is now prohibited from considering the new evidence in determining the reasonableness of the state-court decision.
The majorityâs interpretation of § 2254(d)(1) thus suggests the anomalous result that petitioners with new claims based on newly obtained evidence can obtain federal habeas relief if they can show cause and prejudice for their default but petitioners with newly obtained evidence supporting a claim adjudicated on the merits in state court cannot obtain federal habeas relief if they cannot first satisfy § 2254(d)(1) without the new evidence. That the majorityâs interpretation leads to this anomaly is good reason to conclude that its interpretation is wrong. See Keeney v. Tamayo-Reyes, 504 U. S. 1, 7-8 (1992) (â [I]t is . . . irrational to distinguish between failing to properly assert a federal claim in state court and failing in state court to properly develop such a claimâ).
The majorityâs reading of § 2254(d)(1) appears ultimately to rest on its understanding that state courts must have the first opportunity to adjudicate habeas petitionersâ claims. See ante, at 182 (âIt would be contrary to [AEDPAâs exhaustion requirement] to allow a petitioner to overcome an adverse state-court decision with new evidence introduced in a federal habeas court and reviewed by that court in
3
These considerations lead me to agree with the Courts of Appeals that have concluded that a federal court should assess the reasonableness of a state courtâs application of clearly established federal law under § 2254(d)(1) in light of evidence properly admitted in a federal evidentiary hearing. There is nothing âstrangeâ about this approach. Ante, at 182. Under § 2254(d)(1), federal courts routinely engage in analysis that the state court itself might never have conducted or did not conduct. For example, when a state court summarily denies a claim without explanation, as the California Supreme Court did here, district courts must deny habeas relief pursuant to § 2254(d)(1) so long as âthere is any reasonable argumentâ supporting the denial of the petitionerâs
Admittedly, the text of § 2254(d)(1), standing alone, does not compel either reading of that provision. But construing § 2254(d)(1) to permit consideration of evidence properly introduced in federal court best accords with the text of § 2254(d)(2) and AEDPAâs structure as a whole. By interpreting § 2254(d)(1) to prevent nondiligent petitioners from gaming the system â the very purpose of § 2254(e)(2) â the majority potentially has put habeas relief out of reach for diligent petitioners with meritorious claims based on new evidence.
C
The majority claims that its holding is âconsistentâ with our case law. Ante, at 182. Quite the opposite is true: Orneases reflect our previous understanding that evidence properly admitted pursuant to § 2254(e)(2) is relevant to the § 2254(d)(1) analysis.
In Landrigan, Justice Thomas, the author of todayâs opinion, confirmed this understanding of the interplay between §§ 2254(d)(1) and 2254(e)(2). As noted above, we admonished district courts to consider whether a petitionerâs allegations, if proved true, would satisfy § 2254(d) in determining whether to grant a hearing. After highlighting the deference owed to state courts under §§ 2254(d) and 2254(e)(1), we stated:
âIn deciding whether to grant an evidentiary hearing, a federal court must consider whether such a hearing*219 could enable an applicant to prove the petitionâs factual allegations, which, if true, would entitle the applicant to federal habeas relief. Because the deferential standards prescribed by §2254 control whether to grant habeas relief, a federal court must take into account those standards in deciding whether an evidentiary hearing is appropriate.â 550 U. S., at 474 (citation omitted).
By instructing district courts to consider the § 2254(d) standards in deciding whether to grant a hearing, we must have understood that the evidence admitted at a hearing could be considered in the § 2254(d)(1) analysis. See Brief for American Civil Liberties Union as Amicus Curiae 9 (âThe whole point of Landriganâs admonition that the court must decide whether to hold a hearing with an eye on § 2254(d)(1) is that some proffers of evidence will not justify federal fact-finding in view of § 2254(d)(1), but that other proffers of proof willâ).
In Michael Williams, the warden argued that § 2254(e)(2) bars an evidentiary hearing whenever a petitioner was unable to develop the factual record in state court, âwhether or not through his own fault or neglect.â 529 U. S., at 430. Under the wardenâs argument, a petitioner who did not develop the record in state court, whatever the reason, would be barred from presenting evidence to the federal court. In rejecting that argument, we observed:
âA prisoner who developed his claim in state court and can prove the state courtâs decision was âcontrary to, or involved an unreasonable application of, clearly established Federal law, as determined by the Supreme Court of the United States,â is not barred from obtaining relief*220 by § 2254(d)(1). If the opening clause of § 2254(e)(2) covers a request for an evidentiary hearing on a claim which was pursued with diligence but remained undeveloped in state court because, for instance, the prosecution concealed the facts, a prisoner lacking clear and convincing evidence of innocence could be barred from a hearing on the claim even if he could satisfy § 2254(d).â Id., at 434 (citation omitted; emphasis added).
A petitioner in the latter situation would almost certainly be unable to âsatisfy § 2254(d)â without introducing the concealed facts in federal court. This passage thus reflects our understanding that, in some circumstances, a petitioner might need an evidentiary hearing in federal court to prove the facts necessary to satisfy § 2254(d). To avoid foreclosing habeas relief for such petitioners, we concluded that § 2254(e)(2) could not bear the wardenâs âharsh reading,â which essentially would have held petitioners strictly at fault for their inability to develop the facts in state court. Ibid. The majority today gives an equally âharsh readingâ to § 2254(d)(1) to achieve the result we rejected in Michael Williams.
None of the other cases cited by the majority supports its result. In Williams v. Taylor, 529 U. S. 362 (2000) (Terry Williams), we interpreted § 2254(d)(1) to ask whether the state-court decision âidentifies the correct governing legal principle from this Courtâs decisions but unreasonably applies that principle to the facts of the prisonerâs case.â Id.,
In Holland v. Jackson, we stated that âwe have made clear that whether a state courtâs decision was unreasonable must be assessed in light of the record the court had before it.â 542 U, S., at 652. In the next sentence, however, we observed that the evidence at issue âcould have been the subject of an evidentiary hearing by the District Court, but only if respondent was not at fault in failing to develop that evidence in state court.â Id., at 652-653. We proceeded to find that the evidence was not properly admitted under § 2254(e)(2) before concluding that the Court of Appeals had erred in its § 2254(d)(1) analysis. Id., at 653; see also Bradshaw v. Richey, 546 U. S. 74, 79 (2005) (per curiam).
In sum, our cases reflect our recognition that it is sometimes appropriate to consider new evidence in deciding whether a petitioner can satisfy § 2254(d)(1). In reading our precedent to require the opposite conclusion, the majority disregards the concerns that motivated our decision in Michael Williams: Some petitioners, even if diligent, may be unable to develop the factual record in state court through no fault of their own. We should not interpret § 2254(d)(1) to foreclose these diligent petitioners from accessing the Great Writ when the state court will not consider the new evidence and could not reasonably have reached the same conclusion with the new evidence before it.
II
I also disagree with the Courtâs conclusion that the Court of Appeals erred in holding that Pinholster had satisfied § 2254(d)(1) on the basis of the state-court record.
The majority omits critical details relating to the performance of Pinholsterâs trial counsel, the mitigating evidence they failed to discover, and the history of these proceedings. I therefore highlight several aspects of the facts and history of this case.
1
After the jury returned a guilty verdict, the court instructed the jury to return six days later for the penalty phase. This prompted discussion at sidebar regarding whether the State had provided notice of its intent to offer aggravating evidence. Pinholsterâs court-appointed attorney, Wilbur Dettmar, argued that the State should be precluded from offering aggravating evidence:
âI am not presently prepared to offer anything by way of mitigation. If I was going to proceed on mitigation, the people would have the right to rebuttal with or without notice.
âI took the position, since the people had not given notice, I had not prepared any evidence by way of mitigation. I would submit it on that basis.â 52 Reporterâs Tr. 7250 (hereinafter Tr.) (emphasis added).
At the penalty phase, defense counsel called only one witness: Pinholsterâs mother, Burnice Brashear. Brashear testified that Pinholster ânever really wanted for anything at home too muchâ and âhad everything normally materialwise that most people have.â Id., at 7395. She said that Pinholster was âdifferentâ from his siblings, whom she characterized as âbasically very good children.â Id., at 7401-7402. Pinholster, she said, had a âfriendlyâ relationship with his stepfather, although his stepfather âsometimes would lose his temperâ with Pinholster, who âhad a mind of his own.â Id., at 7392-7393; see also id., at 7393 (stating that his stepfather was âat timesâ âabusive or near abusiveâ).
Brashear provided brief testimony regarding Pinholsterâs childhood. She described two car accidents â one when she ran over him in the driveway and one when he went through the windshield. Id., at 7389-7391. She stated that he started failing school in the first grade and that the school eventually âsent him to [an] educationally handicapped class.â Id., at 7393-7394. When Pinholster was 10, a psychologist recommended placing him in a mental institution, but she âdidnât think he was that far gone.â Id., at 7395. A few years later, she testified, he spent six months in a state hospital for emotionally handicapped children. Id., at 7402.
According to Brashear, Pinholster had suffered from epilepsy since age 18, when he was beaten in jail. Id., at 7397.
In closing argument, the prosecutor ridiculed Brashearâs testimony. See 53 id., at 7442 (âShe said his stepfather disciplined him. So what? I am sure you have all disciplined your children. I was disciplined myselfâ); ibid. (âHe was run over by a car when he was three years old. Thatâs very unfortunate. There is no evidence of any brain damage. A lot of children get dropped, fall from their cribs or whateverâ); id., at 7444-7445 (âI submit to you that if this defendant truly had epilepsy,... a doctor would have been brought in to tell you that. Medical records, somethingâ). The prosecutor also highlighted Brashearâs testimony about Pin-holsterâs stable home environment, arguing: âHe came from a good home. You heard that he was not a deprived child. Had many things going for him, probably more than many children.â Id., at 7442.
Notwithstanding the meager mitigation case presented by Pinholsterâs counsel, it took the jury two days to reach a decision to sentence Pinholster to death. His counsel later moved to modify the sentence to life imprisonment. In denying the motion, the trial judge stated: âThe evidence which the defense offered concerning the defendantâs extenuation was merely some testimony from his mother that was not persuasive. His mother did not, in the courtâs opinion, present any evidence which the court would find to be a moral justification or extenuation for his conduct. No witnesses supplied such evidence.â 54 id., at 7514.
After his conviction and sentence were affirmed on appeal, Pinholster filed a habeas petition in the California Supreme Court alleging, among other things, that his counsel had âunreasonably failed to investigate, prepare and present available mitigating evidence during penalty phase.â Record ER-103.
Pinholsterâs state-court petition included 121 exhibits. In a series of declarations, his trial attorney Harry Brainard (who had by then been disbarred) confirmed what Dettmar had forthrightly told the trial court: Brainard and Dettmar neither expected nor prepared to present mitigation evidence.
Documentary evidence showed, directly contrary to Bra-shearâs trial testimony, that Pinholsterâs siblings had very troubled pasts. Pinholsterâs elder brother was arrested for armed burglary, robbery, and forcible rape of a 14-year-old with a deadly weapon. While in custody, he was diagnosed as âcatatonic-likeâ and âacutely psychotic, probably suffering some type of schizophrenia.â Id., at ER-219, ER-224. He later committed suicide.
Pinholsterâs petition and exhibits described a long history of emotional disturbance and neurological problems. A former schoolteacher stated that, as a child, Pinholster âseemed incapable of relating either to his peers or to adults,â that â[i]t was even hard to maintain eye contact with him,â and that â[h]is hyperactivity was so extreme that [she] formed the opinion it probably had an organic base.â Id., at ER-231. School records revealed that he âtalk[ed] to self continuously,â had âmany grimaces,â fought in his sleep, and could
This and other evidence attached to the petition was summarized in a declaration by Dr. George Woods. Dr. Woods opined that Pinholster âsuffered] from severe and long standing seizure disorders,â id., at EE-156, that his childhood head traumas âmay have been the precipitating factors for [his] seizure disorder,â id., at ER-157, and that he suffered from bipolar mood disorder. He pointed to trial testimony that immediately before the burglary on the night of the homicides, Pinholster announced that he â'ha[d] a message from Godââ â which Dr. Woods believed to reflect â[a]uditory hallucinationsâ and âsevere psychosis.â Id., at ER-169. He concluded that at the time of the homicides Pinholster âwas suffering from bipolar mood disorder with psychotic ideation and was suffering a complex partial seizure.â Id., at ER-170. He also observed that Pinholsterâs âgrossly dysfunctional family, the abuse he received as a child, his history of suffering from substantial seizure and mood disorders, his frequently untreated psychiatric and psychological disabilities and his educational handicaps were relevant circumstances which would extenuate the gravity of the crime.â Id., at ER-171.
On the basis of Pinholsterâs submission, the California Supreme Court denied Pinholsterâs ineffective-assistance-of-counsel claim.
Pinholster then filed a habeas petition in Federal District Court. He included an additional exhibit: a declaration by Dr. John Stalberg, a psychiatrist who had hastily examined
The District Court stayed the federal proceedings while Pinholster sought state-court review of claims the District Court deemed unexhausted. Pinholsterâs second habeas submission to the California Supreme Court included Stalbergâs declaration. That court summarily denied Pinholsterâs petition on the merits.
Pinholster returned to Federal District Court and filed an amended petition. After an evidentiary hearing, the District Court concluded that Pinholster had demonstrated deficient performance and prejudice under Strickland.
As the majority notes, Pinholsterâs claim arises under Strickland v. Washington. âThe benchmark for judging any claim of ineffectiveness [under Strickland] must be whether counselâs conduct so undermined the proper functioning of the adversarial process that the trial cannot be relied on as having produced a just result.â Additional Information