Yates v. Aiken, 484 U.S. 211 (1988). · Go Syfert
Yates v. Aiken, 484 U.S. 211 (1988). Cases Citing This Book View Copy Cite
Quick Summary

The Due Process Clause prohibits jury instructions that effectively relieve the state of its burden of proof.

A petitioner convicted of murder challenged a jury instruction that presumed malice from the use of a deadly weapon, arguing it violated the Due Process Clause. Although the state court found the instruction unconstitutional under recent precedent, it denied relief on the grounds that the rule should not apply retroactively. The Supreme Court holds that because the decision in Francis v. Franklin merely applied well-settled constitutional principles regarding burden-shifting instructions, it did not announce a new rule. Consequently, the state court has a duty to grant the relief that federal law requires.

560 citation events (189 in the last 25 years) across 63 distinct courts.
Treatment trajectory · 1988 → 2026 · click a year to view as-of
1988 2007 2026
Cited for
At page 216 Determining new rules versus applying settled principles12 citing cases“many 'new' holdings are merely applications of principles that were well settled at the time of conviction”1 citing court quotes it · 10 listed here
  • Willie Lloyd Turner v. David A. Williams, 35 F.3d 872 (4th Cir. 1994).published 6 cites
    (many 'new' holdings are merely applications of principles that were well settled at the time of conviction)
  • Shea v. United States, 976 F.3d 63 (1st Cir. 2020).published
    Yates v. Aiken, 484 U.S. 211, 216 (1988) (quoting Desist v. United States, 394 U.S. 244, 263 (1969) (Harlan, J., dissenting)).
  • United States v. Bobbie London, Jr., 937 F.3d 502 (5th Cir. 2019).published 2 cites
    Id. at 307 (quoting Yates v. Aiken, 484 U.S. 211, 216 (1988)).
  • The People v. Roni Smith The People v. Keith Fagan, 66 N.E.3d 641 (N.Y. 2016).published 2 cites
    In contrast, an “old rule” is one that applies a well-established constitutional principle to a new circumstance, and, as such, is always retroactive (Yates v Aiken, 484 US 211, 216 [1988]; People v Eastman, 85 NY2d 265, 275 [1995]). .
  • People v. Reed, 2014 IL App (1st) 122610.published 2 cites
    Id. at 307 (quoting Yates v. Aiken, 484 U.S. 211, 216-17 (1988)).
  • People v. Garcia, 29 Misc. 3d 756 (N.Y. Sup. Ct. 2010).published
    (See Whorton v Bockting, 549 US 406, 416 [2007].) “[W]hen a Supreme Court decision applies a well-established constitutional principle to a new circumstance, it is considered to be an application of an ‘old’ rule, and is always retroactive…
  • Duncan v. United States, 552 F.3d 442 (6th Cir. 2009).published
    Three years after Francis was decided, the Court, in Yates v. Aiken, 484 U.S. 211, 216-17 (1988), quoted in Teague, 489 U.S. at 307 , held that Francis did not announce a new rule because it “was merely an application” of principles the Co…
  • Stephen K. Johns v. Michael Bowersox, 203 F.3d 538 (8th Cir. 2000).published 5 cites
    See Yates v. Aiken, 484 U.S. 211, 216-17 , 108 S.Ct. 534 , 98 L.Ed.2d 546 (1988).
  • Penry v. Lynaugh, 492 U.S. 302 (1989).published 2 cites
    (concluding that Francis v. Franklin, 471 U. S. 307 (1985), did not announce a new rule but was “merely an application of the principle that governed our decision in Sandstrom v. Montana, [ 442 U. S. 510 (1979),] which h…)
  • People v. Nunez, 30 Misc. 3d 55 (N.Y. App. Term. 2010).published
    “When a Supreme Court decision applies a well-established constitutional principle to a new circumstance, it is considered to be an application of an ‘old’ rule, and is always retroactive” (People v Eastman, 85 NY2d 265, 275 [1995]; see al…
At page 218 Duty to grant relief when state does not limit collateral proceedings9 citing cases“has a duty to grant the relief that federal law requires.”9 citing courts quote it · Neutral (citing treatments of this passage) · 6 listed here
  • Argent, Ex Parte Andrew Kelly, No. AP-76,891 (Tex. Crim. App. Mar. 20, 2013).published 2 cites
    App. 1998)). 18 Yates v. Aiken, 484 U.S. 211, 218 (1988); Sullivan, 532 U.S., at 772 . 19 It is worth noting that this change should not substantially affect the outcome of most cases.
  • Montgomery v. Louisiana, 577 U.S. 190 (2016).published 6 cites
    (when a State has not “placed any limit on the issues that it will entertain in collateral proceedings . . . it has a duty to grant the relief that federal law requires)
  • Danforth v. Minnesota, 552 U.S. 264 (2008).published 2 cites
    See, e.g., Yates, 484 U.S., at 218 , 108 S.Ct. 534 .
  • Yates v. Aiken, 391 S.E.2d 530 (S.C. 1989).published
  • Jones v. Commonwealth, 795 S.E.2d 705 (Va. 2017).published
  • Carter v. Rone, No. 3:90-cv-00780 (M.D. Tenn. Aug. 5, 2020).
At page 214 Protecting against conviction without proof beyond a reasonable doubt3 citing cases“bedrock, 'axiomatic and elementary' constitutional principle,”the opinion's own words at *214, quoted by 6 later opinions
  • El Pueblo de Puerto Rico v. Sánchez Molina, 134 P.R. Dec. 577 (1993).published
    Yates v. Aiken, 484 U.S. 211, 214 (1988); Ulster County Court v. Allen, 442 U.S. 140, 156 (1979); Mullaney v. Wilbur, 421 U.S. 684, 703-704 (1975).
  • People v. Nieto Benitez, 840 P.2d 969 (Cal. 1992).published
    (Compare Yates v. Aiken (1988) 484 U.S. 211, 214-217 [ 98 L.Ed.2d 546, 552-554 , 108 S.Ct. 534 ].)
  • Yates v. Evatt, 500 U.S. 391 (1991).published 2 cites
    Petitioner again sought review here, and again we granted certiorari, Yates v. Aiken, 480 U. S. 945 (1987), out of concern that the State Supreme Court had not complied with the mandate to reconsider its earlier decision in light of Franci…
At page 217 “that the due process clause of the fourteenth amendment prohibits the state from making use of jury instructions that have the effect of relieving the state of the burden of proof enunciated in winship on the critical question of intent in a criminal prosecution”2 citing casesthe opinion's own words at *217, quoted by 1 later opinions
  • Chaidez v. United States, 568 U.S. 342 (2013).published 2 cites
    Teague also made clear that a case does not “announce a new rule [when] it '[is] merely an application of the principle that governed’ ” a prior decision to a different set of facts. 489 U. S., at 307 (quoting Yates v. Aiken, 484 U. S. 211…
  • Ohio Adult Parole Auth. v. Woodard, 523 U.S. 272 (1998).published 2 cites
    If there could be any question whether state postconviction proceedings are subject to due process protections, our unanimous opinion in Yates v. Aiken, 484 U. S. 211, 217-218 (1988), makes it clear that they are. [4] The Court has recogni…
At page 215 “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”2 citing cases2 citing courts quote it · 1 listed here
  • Danforth v. Minnesota, 552 U.S. 264 (2008).published 2 cites
    See, e.g., Yates, 484 U.S., at 218 , 108 S.Ct. 534 .
108 S. Ct. at 536 “The Due Process Clause of the Fourteenth Amendment ‘protects the accused against conviction except upon proof beyond a reasonable doubt of every fact necessary to constitute the crime with which he is charged”1 citing case1 citing court quotes it
  • Okeke Kamel Onick v. State, No. 02-18-00356-CR, 2019 WL 1950063 (Tex. App.—Fort Worth May 2, 2019).unpublished
    “The Due Process Clause of the Fourteenth Amendment ‘protects the accused against conviction except upon proof beyond a reasonable doubt of every fact necessary to constitute the crime with which he is charged”
108 S. Ct. at 537 cited at this page1 citing case
  • Kleinbart v. United States, 553 A.2d 1236 (D.C. 1989).published 2 cites
    Yates, supra, 108 S.Ct. at 537 (emphasis supplied; citations omitted).
98 L. Ed. 2d at 554 cited at this page1 citing case
  • Calvin Gunn v. Lanson Newsome, 851 F.2d 1294 (11th Cir. 1988).published 2 cites
    The first part of the district court's rationale has since proved to be erroneous, and I do not believe the fact that Gunn was proceeding without counsel is enough, standing alone, to excuse his failure to make his burden-shifting claim at…
Other citing cases23 with no pin cite or quoted language on record
Show 13 more citing cases
Retrieving the full opinion text from the archive…
YATES
v.
AIKEN, WARDEN, ET AL.
86-6060.
Supreme Court of the United States.
Jan 12, 1988.
Published opinion
484 U.S. 211
1988 U.S. LEXIS 306
Stevens.
Cited by 183 opinions  |  Published
1 passages pin-cited by 1 case
Pinpoint authority: bottom 73%
Citer courts: Fourth Circuit (2)
CERTIORARI TO THE SUPREME COURT OF SOUTH CAROLINA

[*212] David I. Bruck argued the cause and filed briefs for petitioner.

Donald J. Zelenka, Chief Deputy Attorney General of South Carolina, argued the cause for respondents. With him on the brief was T. Travis Medlock, Attorney General.

JUSTICE STEVENS delivered the opinion of the Court.

Petitioner and an accomplice robbed a country store in South Carolina in 1981. After petitioner left the store, a fight occurred in which the accomplice and the storekeeper's mother were both killed. Petitioner was convicted of murder and armed robbery and sentenced to death. His conviction and sentence were affirmed by the South Carolina Supreme Court in 1982. State v. Yates, 280 S. C. 29, 310 S. E. 2d 805, cert. denied, 462 U. S. 1124 (1983).

At his trial, petitioner testified that the victim had not even entered the store before he left and that he had not intended to kill or to harm anyone. The jury, however, was instructed "that malice is implied or presumed from the use of a deadly weapon."[1] A few months after petitioner's conviction was affirmed, the South Carolina Supreme Court held that it was error to give such an instruction. See State v. Elmore, 279 S. C. 417, 308 S. E. 2d 781 (1983). Thereafter, petitioner sought a writ of habeas corpus from the South Carolina Supreme Court, arguing that the burden-shifting instruction given at his trial was unconstitutional under the state court's reasoning in Elmore and under our decision in Sandstrom v. Montana, 442 U. S. 510 (1979). While the application for habeas corpus was pending, we decided another[*213] case involving a burden-shifting instruction, Francis v. Franklin, 471 U. S. 307 (1985), and petitioner promptly called that decision to the attention of the State Supreme Court. The court denied the writ without opinion.

Petitioner then sought a writ of certiorari in this Court. We summarily vacated the judgment of the South Carolina Supreme Court and remanded the case "for further consideration in light of Francis v. Franklin." Yates v. Aiken, 474 U. S. 896 (1985). On remand, the state court determined that the jury instruction at petitioner's trial "suffered from the same infirmities present in Elmore and addressed in Francis v. Franklin." 290 S. C. 231, 233, 349 S. E. 2d 84, 85 (1986). Nevertheless, the court held that petitioner was not entitled to relief. As an explanation for its holding, the court stated that its decision in Elmore should not be applied retroactively to invalidate a conviction that was final when Elmore was decided. The opinion did not consider whether the decision in Francis v. Franklin might apply retroactively and also did not discuss our decision in Sandstrom v. Montana, on which petitioner had relied.

In dissent, Justice Finney reasoned that Elmore and Francis v. Franklin should be applied retroactively because an instruction that shifts the burden of proof on an element of the offense — particularly in a capital case — substantially impairs the truth-finding function of the jury. Moreover, he reasoned, given our decision in Sandstrom v. Montana in 1979, the case did not represent a significant change in the law.[2]

[*214] We granted certiorari because we were concerned that the South Carolina Supreme Court had not fully complied with our mandate. 480 U. S. 945 (1987). We now reverse.

I

Our order remanding the case for further consideration in the light of Francis v. Franklin was predicated entirely on the fact that petitioner's challenge to the jury instruction asserted a substantial federal question. Our opinion in Francis explained why a challenge of this kind is supported by the Federal Constitution:

"The Due Process Clause of the Fourteenth Amendment `protects the accused against conviction except upon proof beyond a reasonable doubt of every fact necessary to constitute the crime with which he is charged.' In re Winship, [397 U. S. 358, 364 (1970)]. This `bedrock, "axiomatic and elementary" [constitutional] principle,' id., at 363, prohibits the State from using evidentiary presumptions in a jury charge that have the effect of relieving the State of its burden of persuasion beyond a reasonable doubt of every essential element of a crime. Sandstrom v. Montana, supra, at 520-524; Patterson v. New York, 432 U. S. 197, 210, 215 (1977); Mullaney v. Wilbur, 421 U. S. 684, 698-701 (1975); see also Morissette v. United States, 342 U. S. 246, 274-275 (1952). The prohibition protects the `fundamental value determination of our society,' given voice in Justice Harlan's concurrence in Winship, that `it is far worse to convict an innocent man than to let a guilty man go free.' 397 U. S., at 372. See Speiser v. Randall, 357 U. S. 513, 525-526 (1958)." 471 U. S., at 313.

The portion of the state court's opinion concluding that the instruction in petitioner's case was infirm for the reasons "addressed[*215] in Francis" was responsive to our mandate, but the discussion of the question whether the decision in Elmore should be applied retroactively was not. Our mandate contemplated that the state court would consider whether, as a matter of federal law, petitioner's conviction could stand in the light of Francis. Since the state court did not decide that question, we shall do so.

II

The South Carolina Attorney General submits 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 places "certain kinds of primary, private individual conduct beyond the power of the criminal law-making authority to proscribe," Mackey v. United States, 401 U. S. 667, 692 (1971) (Harlan, J., concurring in part and dissenting in part), or enunciates a procedural rule that is "implicit in the concept of ordered liberty," id., at 693. Under this theory, the Attorney General argues, petitioner would not be entitled to the benefit of our ruling in Franklin.

We have already endorsed Justice Harlan's retroactivity analysis for cases pending on direct appeal, see Griffith v. Kentucky, 479 U. S. 314, 322 (1987); United States v. Johnson, 457 U. S. 537 (1982), and we have noted, as Justice Harlan did, Mackey, supra, at 682-687; Desist v. United States, 394 U. S. 244, 260 (1969) (Harlan, J., dissenting), the important distinction between direct review and collateral review. Compare Allen v. Hardy, 478 U. S. 255 (1986) (holding that Batson v. Kentucky, 476 U. S. 79 (1986) does not apply retroactively to cases on collateral review), with Griffith, supra, at 322-323 (holding that Batson does apply retroactively to cases pending on direct review); see, e. g., Pennsylvania v. Finley, 481 U. S. 551 (1987) (right to appointed counsel on direct appeal not applicable in collateral proceedings). To decide this case, however, it is not necessary[*216] to determine whether we should go further and adopt Justice Harlan's reasoning as to the retroactivity of cases announcing new constitutional rules to cases pending on collateral review.

Although Justice Harlan believed that most collateral attacks on final judgments should be resolved by reference to the state of the law at the time of the petitioner's conviction, he emphasized the proposition that many "new" holdings are merely applications of principles that were well settled at the time of conviction. As he explained in Desist:

"The theory that the habeas petitioner is entitled to the law prevailing at the time of his conviction is, however, one which is more complex than the Court has seemingly recognized. First, it is necessary to determine whether a particular decision has really announced a `new' rule at all or whether it has simply applied a well-established constitutional principle to govern a case which is closely analogous to those which have been previously considered in the prior case law. . . . One need not be a rigid partisan of Blackstone to recognize that many, though not all, of this Court's constitutional decisions are grounded upon fundamental principles whose content does not change dramatically from year to year, but whose meanings are altered slowly and subtly as generation succeeds generation. In such a context it appears very difficult to argue against the application of the `new' rule in all habeas cases since one could never say with any assurance that this Court would have ruled differently at the time the petitioner's conviction became final." 394 U. S., at 263-264.

This reasoning, which we previously have endorsed,[3] is controlling in this case because our decision in Francis was[*217] merely an application of the principle that governed our decision in Sandstrom v. Montana, which had been decided before petitioner's trial took place. We explicitly so held in Francis itself:

"The question before the Court in this case is almost identical to that before the Court in Sandstrom: whether the challenged jury instruction had the effect of relieving the State of the burden of proof enunciated in Winship on the critical question of . . . state of mind,' 442 U. S., at 521, by creating a mandatory presumption of intent upon proof by the State of other elements of the offense." 471 U. S., at 313.
"Sandstrom v. Montana made clear that the Due Process Clause of the Fourteenth Amendment prohibits the State from making use of jury instructions that have the effect of relieving the State of the burden of proof enunciated in Winship on the critical question of intent in a criminal prosecution. 442 U. S., at 521. Today we reaffirm the rule of Sandstrom and the wellspring due process principle from which it was drawn. The Court of Appeals faithfully and correctly applied this rule, and the court's judgment is therefore affirmed." Id., at 326-327.

III

Respondents also argue that South Carolina has the authority to establish the scope of its own habeas corpus proceedings and to refuse to apply a new rule of federal constitutional law retroactively in such a proceeding. We reject this argument for two reasons. First, as we have just explained,[*218] Francis did not announce a new rule. Second, we do not read the South Carolina Supreme Court's opinion as having placed any limit on the issues that it will entertain in collateral proceedings. Since it has considered the merits of the federal claim, it has a duty to grant the relief that federal law requires.

The judgment is reversed, and the case is remanded for further proceedings not inconsistent with this opinion.

It is so ordered.

1 See App. 7; Tr. 1208.
2 "The doctrine against burden shifting presumptions set out in Francis v. Franklin, [471 U. S. 307 (1985)], is not a clear break with prior law. The United States Supreme Court in Sandstrom v. Montana, 442 U. S. 510 . . . (1979), decided prior to Yates, held that conclusive presumptions or instructions which shift the burden of persuasion violate the Fourteenth Amendment's requirement that in every criminal trial, the state is required to prove each element of the criminal offense beyond a reasonable doubt. The Court went on to hold, concerning Elmore-type errors, that conclusive presumptions conflict with the presumption of innocence with which the law endows the accused. These presumptions, likewise, extend to every element of the crime and invade the truth-finding function which, in a criminal case, the law assigns solely to the jury." 290 S. C., at 239, 349 S. E. 2d, at 88-89.
3 We stated in United States v. Johnson, 457 U. S. 537, 549 (1982):

"[W]hen a decision of this Court merely has applied settled precedents to new and different factual situations, no real question has arisen as to whether the later decision should apply retrospectively. In such cases, it has been a foregone conclusion that the rule of the later case applies in earlier cases, because the later decision has not in fact altered that rule in any material way."

See also Truesdale v. Aiken, 480 U. S. 527 (1987) (per curiam); Dunaway v. New York, 442 U. S. 200 (1979); Lee v. Missouri, 439 U. S. 461, 462 (1979) (per curiam).