Legal Document

457 U.S. 537 102 Supreme Court Reporter 2579 73 United States Reports Lawyer’s Edition 2d Series KF101.8 U54 202 UNITED STATES, Petitionerv.Raymond Eugene JOHNSON. Number 80-1608. Argued Feb. 24, 1982. Decided June 21, Syllabus Payton versus New York, 445 573, 100 1371, 63 639, held that the Fourth Amendment prohibits police from making a warrantless and nonconsensual entry into suspect's home to make routine felony arrest. Before was decided, respondent arrested on federal charge by Secret Service agents who had entered his without an arrest warrant. Subsequently, Federal District denied respondent's pretrial motion suppress incriminating statements he made after This evidence admitted at trial convicted. While case still pending direct appeal, decided. On strength of Payton, Appeals reversed conviction, holding applied retroactively. Held : A decision this construing is be retroactively all convictions were not yet final time rendered, except where would clearly controlled existing retroactivity precedents. Hence, case. Pp. 542-563. (a) Respondent's does present retrospectivity problem precedent. Where merely has settled principles new set facts, it been foregone conclusion rule later applies in earlier cases. Conversely, declared criminal procedure "a clear break with past," almost invariably found principle nonretroactive. Also, recognized full as necessary adjunct ruling court lacked authority convict or punish defendant first place. fit any these categories, did apply precedent announce entirely unanticipated law, hold either immunized conduct punishment. 548-554 (b) The question presented here fairly resolved applying cases appeal To do so (1) provides decisionmaking consonant Court's original understanding Linkletter Walker, 381 618, 85 1731, 14 601, Tehan ex rel. Shott, 382 406, 86 459, 15 453, newly constitutional rules retrospectively least when established; (2) comports judicial responsibility "to justice each litigant merits own case," Desist States, 394 244, 259, 89 1030, 1039, 22 248 (Harlan, J., dissenting), "resolve before us review light our best governing principles," Mackey 401 667, 679, 91 1160, 1173, 28 404 (separate opinion Harlan, J.); (3) furthers goal treating similarly situated defendants similarly. 554-556. (c) There no merit Government's arguments, based Peltier, 422 531, 95 2313, 45 374, against adoption above approach 557-562 9 Cir., 626 Reporter, 2nd 753, affirmed. Elliott Schulder, Washington, D. C., for petitioner. John KF105 F3 Walter, Los Angeles, Cal., respondent. Justice BLACKMUN delivered Court. 1 In 639 (1980), Amendment1 whether announced took place 2 * Special Agents Hemenway Pickering suspected Raymond Johnson codefendant, Oscar Joseph Dodd, attempting negotiate misdelivered Treasury check.2 Proceeding warrant, May 5, 1977, two went Angeles waited outside. Shortly thereafter, wife arrived house. 3 drew their weapons, approached doorway knocked, identifying themselves fictitious names. When opened door, saw guns drawn badges raised. Respondent permitted enter one agent stood living room, other searched premises. then advised rights interrogated him. revealed involvement taking check, formally signed written statement admitting check. 4 trial, sought oral fruits unlawful supported probable cause. Central California proper evidence. App. 7. jury convicted aiding abetting obstruction correspondence, violation 18 Code KF62 §§ 1702.3 imposition sentence suspended favor five years' probation. 5 By unreported filed December 19, 1978, Ninth Circuit affirmed judgment conviction. Acknowledging "[i]t certainly have preferable obtained warrant" entering residence, nonetheless ruled "if cause exists arrest, [respondent's] violated even though there may [for agents] warrant arrest." Pet. Certiorari 26a-27a. 6 April 15, 1980, while petition rehearing Circuit, decided supra.4 September 2, granted rehearing, withdrew its prior opinion, now 753. "In strong language emphasizing special protection Constitution affords individuals within homes," "the Johnson, home, having door response false identification agents, constituted rights." Id., 757. Government petitioned arguing should occurred disagreed, amended clarify 12a.5 7 We certiorari consider retrospective effect, if any, Payton. 454 814, 89, 70 82 (1981).6 II 8 "[T]he constitution voice upon subject" retrospectivity. Great Northern R. company Sunburst Oil & Refining Co., 287 358, 364, 53 145, 148, 77 L.Ed. 360 (1932). 1965, "both common law decisions general effect . subject [certain] limited exceptions." Robinson Neil, 409 505, 507, 93 876, 877, 35 29 (1973), citing Norton Shelby County, 118 425, 442, 1121, 1125, 30 178 (1886), Chicot County Drainage Dist. Baxter State Bank, 308 371, 60 317, 84 329 (1940).7 Linkletter, however, concluded "that neither nor requires [that] effect" given "new" rule. U.S., 629, S.Ct., 1737. Since announcement realm frequently followed separate explaining whether, what extent, past, pending, future See generally Beytagh, Ten Years Non-Retroactivity: Critique Proposal, 61 Va.L.Rev. 1557 (1975). 10 itself addressed exclusionary Mapp Ohio, 367 643, 81 1684, 1081 (1961), state become decided.8 At outset, noted handed down already received benefit Mapp's 622, n. 4, 1734, Ker California, 374 23, 83 1623, 726 (1963); Fahy Connecticut, 375 85, 229, 11 171 Stoner 376 483 (1964). application consistent common-law rule, both civil litigation, change will review." 627, 1736, Schooner Peggy, Cranch 103, 49 (1801). determine particular also extend final, directed courts "weigh demerits looking history question, purpose operation further retard operation." 1738. Employing test, 12 following Term, 453 (1966), Linkletter's analysis Fifth Griffin 380 609, 1229, 106 (1965) (barring comment defendant's failure testify), nonretroactive judgments conviction again "question applicability announced." 409, 3, 461, O'Connor 286, 445, 337 (1965). Thus, appeared established. 13 Jersey, 384 719, 1772, 16 882 Stovall Denno, 388 293, 87 1967, 1199 (1967), departed basic principle. Those that, interest justice, balance three factors prospectively applied: "(a) served standards, extent reliance enforcement authorities old administration retroactive standards." 297, 1970. alsoJohnson 728, 1778. Because outcome balancing process might call different degrees cases, "no distinction justified between various stages 300, 1971. 732, 1780. inevitably shifted case, hardly surprising some, subsequent course became difficult follow tracks beast prey search intended victim." 676, 1172, (1971) J.). extreme, regularly complete whose major "is overcome aspect substantially impairs truth-finding function raises serious questions about accuracy guilty verdicts past trials." Williams 646, 653, 1148, 1152, (plurality opinion). id., 6, 6; Brown Louisiana, 447 323, 328-330, 2214, 2219-2220, 65 159 (1980) opinion); Hankerson North Carolina, 432 233, 243, 97 2339, 2345, 306 (1977); Gosa Mayden, 413 665, 2926, 2935, 37 873 (1973) Ivan V. City 407 203, 205, 92 1951, 1952, 32 659 (1972). some standards only denying parties See, e.g., Morrissey Brewer, 408 471, 490, 2593, 2604, 33 484 (1972) (establishing requirements applicable "future revocations parole"). Cf. 733, 1780, England Louisiana Board Medical Examiners, 411, 440 (1964), James 366 213, 1052, 246 (1961). As intermediate position, litigants, but bar. 301, 1972; DeStefano Woods, 392 631, 633, 88 2093, 2095, 20 1308 (1968); Adams Illinois, 405 278, 284-285, 916, 920, 31 Michigan Payne, 412 47, 1966, 36 736 (1973). stream opinions since Members argued selective awards retroactivity. uniformly asserted minimum, law-changing entitled invoke rule.9 256, 1037, (1969) (dissenting opinion), 675, 1164 Harlan comprehensive support view, newly-declared norms adjudication. 17 First, argued, "ambulatory doctrine," 681, 1174, conflicts norm principled decisionmaking. "Some members Court, N Dec. Immigration Nationality Decisions come regret among them, initially grasped doctrine way limiting reach seemed them fundamentally unsound. Others rationalized resort prospectivity 'technique' provided 'impetus implementation long overdue reforms, which otherwise could practicably effected.' " Jenkins Delaware, 395 218, 1677, 1680, 23 253 (1969). "The upshot confluence viewpoints," coalitions favoring nonretroactivity realigned generating welter "incompatible inconsistent 258, 1038. 61, 1973 (MARSHALL, dissenting) ("principled adjudication abandon charade carefully countervailing considerations deciding retroactivity"). Second, accept notion body, 'new' prospectively, exception chosen vehicle establishing rule." 1038 legislature makes "wholly partially prospective deems wise." 677, 1172 dissenting). 19 "announce[s] correlative dual duty decide those over we jurisdiction source matrix legal rules. Simply fishing appellate review, using pronouncing permitting similar subsequently flow unaffected constitute indefensible departure model 678-679, 1172-1173. Third, similarly:10 21 "[W]hen another comes us, must grant same relief give reason acting differently. depart tradition simply pick choose alone receive law." 258-259, 1038-1039 suggested simple satisfy concerns. "I right insisting must, are down." 1039. "[A] perception duties charged resolve every dispute mandates time, once was." 1174 agree '[r]etroactivity' rethought," therefore examine circumstances presents precedents, not, issue equitable manner. III Atlantic 24 ask Re-examination post-Linkletter convinces narrow categories answer effectively determined, factors, rather, through threshold test.11 25 precedents factual situations, real arisen retrospectively. such because fact altered material way. Dunaway 442 200, 206, 99 2248, 2253, 824 (1979) (reviewing 590, 2254, 416 (1975)); Spinelli 393 410, 412, 584, 586, 637 ("further explicat[ing]" Aguilar Texas, 378 108, 1509, 723 (1964)); 263, 1041 26 expressly 248, 1033, gone find minted 547, 2322, (1975) (BRENNAN, (collecting cases). second type traits less critical than express determination interpretatio[n] change[s] arguably course," 659, 1156 Once unanticipated, third factors—reliance rule—have virtually compelled finding nonretroactivity. 672-673, 682-685, 2932-2933, 2937-2938 55-57, 1970-1971.12 27 invalidated reading guarantee immunizes punishment, see, Coin Currency, 715, 724, 1041, 1046, 434 (penalty assertion privilege self-incrimination), serves prevent [his] all, rather prescribe procedural govern trial," 509, 878 (double jeopardy). relied technique sentences void ab initio. Moore 786, 800, 2562, 2570, 706 (retroactive Eighth Furman Georgia, 238, 2726, 346 (1972)); Ashe Swenson, 397 436, 437, 1, 90 1189, 1191, 469 (1970) double jeopardy Benton Maryland, 784, 2056, 707 (1969)). 693, 2943 dissenting); (rulings fully "Court traditional sense"). neatly fits none categories. York facts. InPayton, acknowledged "important presented" "expressly left open number opinions." 574 575, 1374, citingUnited Watson, 423 418, 96 820, 825, 46 598 (1976); Gerstein Pugh, 420 113, 13, 854, 862, 43 54 (1975); Coolidge Hampshire, 403 443, 474-481, 2022, 2042, 2045, 564 (1971); Jones 357 493, 499-500, 78 1253, 1257, 1514 (1958). token, law. general, read work "sharp web law," Milton Wainwright, 381, 2174, 2180, (Stewart, unless caused "such abrupt fundamental shift replaced older one," Hanover Shoe, Incorporated Shoe Machinery Corp., 481, 498, 2224, 2234, 1231 (1968). Such explicitly overrules 1048, (1969); (1971), disapproves practice sanctioned 673, 2932 283, 919; 731, 1779, overturns longstanding widespread spoken, near-unanimous body lower approved. opinion) (applying nonretroactively "effected decisional attitude prevailed many decades"); 299-300, Chevron Huson, 97, 107, 349, 355, 296 Cipriano Houma, 701, 1897, 647 381-382, 2179-2180, ("sharp break" occurs "decision disrupts accepted widely upon"). these. overruled litigants relied. Nor disapprove established previously sanctioned. spoken engaged officers deemed doubtful constitutionality.13 rested long-recognized weight historical Framers Amendment.14 Finally, overturned approved authority.15 fall class preordained they unmistakably signal 1033. It equally plain category pose questions. Theodore Payton's immunize place; Appeals' remanded conducted unconstitutionally B Having determined next Answering affirmatively concerns stated Harlan's Mackey. nonfinal provide Shott. Moreover, capable applicability, satisfying central concern: "Refusal arising tends cut loose force precedent, allowing restructure artificially expectations legitimately created extant thereby mitigate practical stare decisis ought properly bear resolution problem." 680-681, 1173-1174 34 comport responsibilities 1039 principles." 1173 contention. supra. ironic indeed reverse itself, directly contrary Appeals. "If truly right, it; affirm rejected very arguments embraced." contends Yet goes saying Furthermore, issued benefited although he, too, decided.16 An under lessen possibility mete out simultaneously subjected identical conduct.17 IV Against approach, four None persuasive. cites Peltier's holding: Almeida-Sanchez 266, 2535, 596 announced. holding, suggests, Peltier controls rulings.18 38 Upon examination, posed differs Peltier. concedes, statute approving nonconsensual, entries. Brief 30, 18. "clear above. contrast, form validly enacted statute, administrative regulations continuous approval." 541, 2319. 2542 (POWELL, concurring) ("While impression Court," disapproved "been consistently judiciary"); 298-299, 10, 2552, (WHITE, (35 judges practice). 39 approved, represented past. For alone, controlling appropriate involved question. respect, resembles several nonretroactive, ground rulings being "so change[d] [was] course." 1155 (refusing Chimel 752, 2034, 685 (1969), Rabinowitz, 339 56, 430, 94 653 (1950), Harris 331 67 1098, 1399 (1947)). Katz 389 347, 576 Goldman 316 129, 62 993, 1322 (1942), Olmstead 277 438, 48 564, 72 944 (1928)). 40 bases argument broad language: deter suppressed can said officer knowledge, unconstitutional Amendment" (emphasis added). 542, 2320. reads require failed act good-faith compliance then-prevailing norms. 41 seriously suggest turn solely subjective arresting officer's mind. Instead, offers "objective" test: "may knowledge" "settled" Under theory, regarding arrests "unsettled" 14-19, 34-38. 42 reduce "retroactivity test" absurdity. worthy pre-existing guidelines But seen above, involving clear, raise all. Literally read, theory automatically eliminate consideration application. claim logic suggests like Payton—even review—would serve policies underlying 536-542, 2317-2320. viewed ofPeltier's fails. worked Almeida-Sanchez, little deterrent rarely deterred engaging never expected invalidated. 541-542, 2319-2320. 44 unsettled point cannot years pass finally invalidates dubious constitutionality. 275, 1051 (Fortas, (arguing "physical-trespass" wiretap (1928), moribund overruled). Long example, questioned constitutionality arrests. emphasized traditionally accorded privacy doubts validity obtaining 333 14, 68 367, 369, 436 (1948) ("Any assumption sufficient magistrate's disinterested justify nullity leave people's homes secure discretion officers"). If, argues, resolving then, close officials incentive err side behavior.19 Official awareness counterbalanced official certainty area remained unsettled, questionable excluded definitively Failure accord "encourage disregard purport adopt let's-wait-until-it's-decided approach." 277, 1052 argues accomplish nothing discharge wrongdoer. gave assertion. "We release jail so, think wise government offended And differently." Applying step toward "turning backs ad hoc far characterized field proceeding administer principle." 224, 1683 V 47 today's embrace views exceptions below, rendered. undisturbed areas. today affect arises need address issues collateral attack.20 view provision Amendment.21 continue governed standard enunciated 106-107, 355. 12, correctly affirmed.22 50 ordered. 51 BRENNAN, concurring. 52 join my leaves decision. (1967). WHITE, whom THE CHIEF JUSTICE, REHNQUIST, O'CONNOR join, dissenting. propositions. doctrine's 'to trials.' 535, 2316, quoting (1971). extensions and, therefore, surely extraordinary 55 latest extending effect. "in context application." 2316. reasons pattern related justifications 56 That understood purposes: first, preserves "judicial integrity"; second, acts conduct. Neither purposes, furthered reasonably believed good faith seized admissible 'imperative integrity' introduction material." 537, 2317. deterrence derived knew known Amendment. 57 focusing order retroactivity, principles. 601 (1965), majority agrees modern forth three-pronged there: 58 "[W]e look rule; placed Wolf [Wolf People Colorado, 338 25, 69 1359, 1782 (1949) ] doctrine; Mapp." 636, 1741. 59 three-prong followed, 419, 467, (1966); 727, 1777, 1970, Indeed, Stovall, specifically considerations—purpose justice—were guide problems relating procedure. consideration. accidental absolutely 249, (1969): "Foremost rule."* say there, "[t]his criterion strongly supports amplifying evidentiary Ibid. up until announcement. just sort case: "rule date 500 985, 986 (CA9 1974) (footnote omitted). thought ago appearance inequity whenever limit BRENNAN supra, 1972: "Inequity results according raised issue. regard chance beneficiaries insignificant cost adherence sound decision-making." All well reversal majority, intricate confusing disagrees. Two disagreement seem presented. discerns control Ante, 554 ("Having ."). Given clarity strange conclusion. Eschewing straight-forward looks primarily substantive relevant replaces exceedingly formal 549-551. dicta only, comment. Suffice inadequacy obvious moment's reflection: nowhere included scheme—cases announcing 'is 544, 1152 wonder finds difficult, learn most lessons previous 64 seems struggled dissent unanswerable fails benefits These were, believe, adequately answered Stovall. majority's theoretical problems; draws necessarily arbitrary line somewhat upon. Anything appear unjust instances; treatment individuals. recognizes vagaries reappear proposed rule: "Even unavoidable treated 556-557, 17. deal inherent arbitrariness abide outlined better suggestion fooling believes proposal reasoned arbitrariness, exercise line-drawing. insubstantiality illustrated Despite apparent injustice partial announces end "construing asserts disturbing 562. is, returns abstract this, however. connection more important, perfectly 66 Accordingly, dissent. reads: people persons, houses, papers, effects, unreasonable searches seizures, shall violated, Warrants issue, cause, Oath affirmation, particularly describing searched, persons things seized." March Postal mistakenly Lena Kearney check $4,681.41, payable Elihu Peterson. her sister-in-law Dodd's assistance cashing Accompanied man, Dodd Kearney's residence discuss methods men eventually departed, them. After foregoing events Agent Hemenway, He, obtain 754-755 1980). acquitted count receipt stolen property. 641. codefendant counts. decision, summarily us. 614 777 1980), denied, Mar. 1980. 11, 1978. 439 1044, 718, 703. 1979, deferred en banc 8. heard 26, restored calendar reargument. 441 930, 2049, 658 (1979). August 20, reaffirmed amending initial rehearing. 14a. timely banc, months here, panel anticipated "absent exigent circumstances, suspect dwelling carry Prescott, 581 1343, 1350 (1978). denial post-Payton "rests chiefly Prescott Payton." 13a. Blake, 632 731 (1980). purposes assumes correctness exclusion statements. 12-13, 6. pre-1965 requirement Blackstonian 'pronounce maintain expound one.' 622-623, 1733-1734, W. Blackstone, Commentaries (15th ed. 1809). "By mean availability exhausted, elapsed [or all] Ohio." 5. (1966). 337, STEVENS, joined, concurring judgment); Harlin Missouri, 460, 709, 710, 733 judgments); 245, 2346, (1977) 246, 2346 543, 2320, (Douglas, Daniel 31, 33, n., 704, 705, 790 Tucker, 417 433, 2357, 2372, 182 (1974) 58, 1972, 59, 921, MARSHALL, concurred, 1164, 713, 1170 Black, 1159, part dissenting part); Coleman Alabama, 399 1999, 2008, 387 Von Cleef 817, 2051, 2053, 728 result); 222, 1682, 255, 1037 269, 1048 Fuller Alaska, 80, 82, 62, 212 (1968) 635, 2096, 302, (1967) 303, (Black, 736, 1782, (1966) Douglas, Whisman 895, 1001 467 640, 1743 Evenhanded principal theme sounded Justices Black Douglas. cited 9, diverged equal attack. Compare 260-269, 1039-1044 287, offer troublesome judgment), 2347 judgment). proved "readily susceptible cases." 508, 878, dissent's accusation exclude "most obvious" cases—those function, post, 567—misses point. turned often standard. 2225 (REHNQUIST, (disagreeing "major purpose" unanimous six-person Burch 130, (1979)). context, usually test determining nonretroactively. 106, "establish[ed] overruling foreshadowed," history, purpose, imposed 355-356. 499, Boyd 116 616, 630, 524, 532, 746 accords home. McDonald 335 451, 456, 191, 193, 153 (1948), magistrate desires violate home." 13-15, 368-369, (1948). ultimately declining 474-475, omitted), seizure carried premises per se unreasonable, show falls defined presence 'exigent circumstances.' 313, 2125, 2134, 752 ("physical chief evil wording directed"); Martinez-Fuerte, 428 561, 3074, 3084, 1116 (1976) ("the sanctity private dwellings [is] ordinarily afforded stringent protection"). 'basic law' seizures inside presumptively unreasonable." 1380, 477, 2044. "has firm entrance house" "terms property persons." 1382. examining 591-598, 1382-1386, [of Amendment] required [before arrest], minimum substantial risks one." 596, 1385. courts, evinced "by means kind virtual unanimity," 600, 1387, "[o]nly currently sanction entries trend." arose, year counterpart, absence circumstances. Ramey, Cal.3d 275-276, 127 Cal.Rptr. 636-637, 545 Pacific 1333, 1340-1341, cert. 429 929, 335, 299 (1976). Of seven Courts considered expressed unconstitutional. 4. Three Circuits assumed, deciding, unlawful. decisions, Department instructed agencies procuring warrants him 20. arrested, "law th[e] circuit's drift requirement." F.2d, 736. Phillips, 497 1131, 1135 1974), dictum Calhoun, 542 1094, 1102 1976), sub nom. Stephenson 1064, 792, 781 (1977), observed agreed absent illegal. 1350, squarely along Obie Riddick. 578-579, 1376. Riddick's consolidated Payton's, convictions. 603, 1388. jurisdictional disposition vacated reconsideration taken Gonzalez 446 902, 1824, (1980); Florida, 1826, 254 Busch 255 Vidal 903, Gordon 1827, Gayle 905, 1829, 257 Dunagan Alternatively, plenary review. Potential unequal process. Douglas "recalled," Miranda Arizona, 1602, 694 (1966): "some 80 raising rest disposed four, respects relief. sheer coincidence precise chosen. Any single group purposes." "we Post, 566. mischaracterizes it. inequity, actual chooses beneficiary persistently voiced dissatisfaction doctrine" revealed, see "resolved" much tolerate toleration end. aware, course, progress system, speed differ State, Even 657, 1154, ensures anomalies occur. concedes pre-Payton authoritatively -type 22-26. Dorman 140 U.S.App.D.C. 435 385 (1970); Shye, 492 886 (CA6 1974). Columbia, day not. reasoning, obliged excluding statements, Columbia parallel takes tack. Arguing "inherent arbitrariness" lines area, "best problem" picking choosing defendants. 568. clinging dissent, itself." power slow tribunals throughout country ensure does, unfairness gives conveniently shares mistaken impression. claim, "accorded discomfort, itself—the cases—acknowledged record explain why codefendant. Stone Powell, 465, 3037, 1067 (1976), challenges attack habeas corpus prisoner opportunity fair litigation analogous § 2255, prisoners postconviction statutes recognize claims. ruling, giving function. Depending involved, additional beyond 2347, Curiously, faults case—the Amendment—but preserving, overruling, recasts simplistic way, implying rules—including rules—should none. are, this. stated, "rule" urged "perfectly good" one. shown, condones obviously inequitable individual litigants. encompassed issue: 1343 (1978), disturb 251, 1035: "It heavily consequent burden prospectivity."

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