Cruz v. Arizona, 598 U.S. ___ (2023)
Cruz, convicted of capital murder and sentenced to death, argued that under the Supreme Court’s “Simmons” decision, he should have been allowed to inform the jury that a life sentence in Arizona would be without parole. The Arizona Supreme Court held that Arizona’s capital sentencing scheme did not trigger Simmons. The Supreme Court subsequently held ("Lynch" (2016)), that it was fundamental error to conclude that Simmons “did not apply” in Arizona.
Cruz sought to raise the Simmons issue under Arizona Rule of Criminal Procedure 32.1(g), which permits a successive post-conviction petition if “there has been a significant change in the law that, if applicable ... would probably overturn the defendant’s judgment or sentence.” The Arizona Supreme Court denied relief, reasoning that a significant change in the application of a law is not a significant change in the law itself, focusing on whether Lynch was a significant change in federal law.
The U.S. Supreme Court vacated. A state procedural ruling that is “firmly established and regularly followed” ordinarily forecloses review of a federal claim but the Arizona ruling rests on such a novel and unforeseeable interpretation of a state-court procedural rule that it is not adequate to foreclose review of the federal claim. Although Lynch did not change the Supreme Court’s interpretation of Simmons, it did change the operation of Simmons by Arizona courts in a way that matters for Rule 32.1(g). The analytic focus of Arizona courts applying Rule 32.1(g) has always been on the impact on Arizona law.
Supreme Court vacates a ruling by the Arizona Supreme Court that interpreted a state procedural rule to conclude that there was not a "significant change in the law" resulting from the U.S. Supreme Court's reversal of the Arizona Supreme Court's refusal to apply a particular U.S. Supreme Court precedent.
SUPREME COURT OF THE UNITED STATES
Syllabus
CRUZ v. ARIZONA
certiorari to the supreme court of arizona
No. 21–846. Argued November 1, 2022—Decided February 22, 2023
Petitioner John Montenegro Cruz was found guilty of capital murder by an Arizona jury and sentenced to death. Both at trial and on direct appeal, Cruz argued that under Simmons v. South Carolina, 512 U.S. 154, he should have been allowed to inform the jury that a life sentence in Arizona would be without parole. The trial court and Arizona Supreme Court held that Arizona’s capital sentencing scheme did not trigger application of Simmons. After Cruz’s conviction became final, this Court held in Lynch v. Arizona, 578 U.S. 613 (per curiam), that it was fundamental error to conclude that Simmons “did not apply” in Arizona. Id., at 615. Cruz then sought to raise the Simmons issue again in a state postconviction petition under Arizona Rule of Criminal Procedure 32.1(g), which permits a defendant to bring a successive petition if “there has been a significant change in the law that, if applicable to the defendant’s case, would probably overturn the defendant’s judgment or sentence.” The Arizona Supreme Court denied relief after concluding that Lynch was not “a significant change in the law.”
Held: The Arizona Supreme Court’s holding that Lynch was not a significant change in the law is an exceptional case where a state-court judgment rests on such a novel and unforeseeable interpretation of a state-court procedural rule that the decision is not adequate to foreclose review of the federal claim. Pp. 7–14.
(a) This Court does not decide a question of federal law in a case if the state-court judgment “rests on a state law ground that is independent of the federal question and adequate to support the judgment.” Coleman v. Thompson, 501 U.S. 722, 729. In this case the Court focuses on the requirement of adequacy; whether Arizona’s “state procedural ruling is adequate is itself a question of federal law” Beard v. Kindler, 558 U.S. 53, 60. A state procedural ruling that is “ ‘firmly established and regularly followed’ ” will ordinarily “be adequate to foreclose review of a federal claim.” Lee v. Kemna, 534 U.S. 362, 376. This case is an exception, however, implicating this Court’s rule that “an unforeseeable and unsupported state-court decision on a question of state procedure does not constitute an adequate ground to preclude this Court’s review of a federal question.” Bouie v. City of Columbia, 378 U.S. 347, 354.
At issue here is the Arizona Supreme Court’s decision that Cruz’s motion for postconviction relief failed to satisfy Arizona Rule of Criminal Procedure 32.1(g) because Lynch did not result in “a significant change in the law.” That court reasoned that Lynch was not a significant change in the law because it relied on Simmons, which was clearly established law at the time of Cruz’s trial. It so held even though Lynch overruled binding Arizona precedent foreclosing Simmons relief for Arizona capital defendants, and even though the Arizona Supreme Court had previously explained that the “archetype” of a “significant change in the law” is the overruling of “previously binding case law.” State v. Shrum, 220 Ariz. 115, 118, 203 P.3d 1175, 1178. While the court reasoned that a significant change in the application of a law is not the same as a significant change in the law itself, Arizona can point to no other Rule 32.1(g) decision supporting that distinction. This interpretation of Rule 32.1(g) is entirely new and conflicts with prior Arizona case law. The novelty arises from the way in which the Arizona Supreme Court disregarded the effect of Lynch on Arizona law. Ordinarily, Arizona courts applying Rule 32.1(g) focus on how a decision changes the law that is operative in the State. Here, however, the Arizona Supreme Court disregarded the many state precedents overruled by Lynch, focusing instead on whether Lynch had wrought a significant change in federal law. Because the Arizona Supreme Court’s interpretation is so novel and unforeseeable, it cannot constitute an adequate state procedural ground for the challenged decision.
Arizona’s interpretation generates a catch-22 for Cruz and other similarly situated capital defendants that only serves to compound its novelty. To obtain relief under Rule 32.1(g), a defendant must establish not just a significant change in the law but also that the law in question applies retroactively under Teague v. Lane, 489 U.S. 288. Prior to the Arizona Supreme Court’s decision below, it was possible to show that Lynch both was a “significant change in the law” and satisfied retroactivity because it merely applied Simmons. On the interpretation adopted below, however, the argument that Lynch applied “settled” federal law for retroactivity purposes also implies that Lynch does not represent a “significant change in the law.” Earlier Rule 32.1(g) decisions did not generate this catch-22. Given the Court’s conclusion that the Arizona Supreme Court’s application of Rule 32.1(g) to Lynch is so novel and unfounded that it does not constitute an adequate state procedural ground, it is unnecessary for the Court to determine whether the decision below is also independent of federal law. Pp. 7–11.
(b) Counterarguments presented in this case offer various reformulations of the argument that Lynch was not a “significant change in the law” for Rule 32.1(g) purposes, but they fail to grapple with the basic point that Lynch reversed previously binding Arizona Supreme Court precedent. The fact that Lynch was a summary reversal did not justify the Arizona Supreme Court in treating Lynch differently than other transformative decisions of this Court. Although Lynch did not change this Court’s interpretation of Simmons, it did change the operation of Simmons by Arizona courts in a way that matters for Rule 32.1(g). And it makes no difference that Lynch did not alter federal law. The analytic focus of Arizona courts applying Rule 32.1(g) has always been on the impact to Arizona law. Nor does this Court’s interpretation forestall Arizona’s ability to develop its Rule 32.1(g) jurisprudence in new contexts. That the Arizona Supreme Court had never before applied Rule 32.1(g) to a summary reversal did not present a new context in this case. Finally, no effective parallel can be drawn between Rule 32.1(g) and very different procedural rules governing federal prisoners, e.g., 28 U. S. C. §§2255(f),(h). Pp. 11–14.
251 Ariz. 203, 487 P.3d 991, vacated and remanded.
Sotomayor, J., delivered the opinion of the Court, in which Roberts, C. J., and Kagan, Kavanaugh, and Jackson, JJ., joined. Barrett, J., filed a dissenting opinion, in which Thomas, Alito, and Gorsuch, JJ., joined.
Judgment VACATED and case REMANDED. Sotomayor, J., delivered the opinion of the Court, in which Roberts, C. J., and Kagan, Kavanaugh, and Jackson, JJ., joined. Barrett, J., filed a dissenting opinion, in which Thomas, Alito, and Gorsuch, JJ., joined. |
Record received from the Supreme Court of Arizona (3 boxes and the electronic record). |
Argued. For petitioner: Neal K. Katyal, Washington, D. C. For respondent: Joseph A. Kanefeld, Chief Deputy Attorney General, Phoenix, Ariz. |
Argued. For petitioner: Neal K. Katyal, Washington, D. C. For respondent: Joseph A. Kanefield, Chief Deputy Attorney General, Phoenix, Ariz. |
Record received from the Superior Court of the State of Arizona (Pima County) 1 Box. Part of the record has been electronically filed. |
Record requested from the Supreme Court of Arizona. |
Reply of John Montenegro Cruz submitted. |
Reply of petitioner John Montenegro Cruz filed. (Distributed) |
CIRCULATED |
Amicus brief of Jonathan F. Mitchell and Adam K. Mortara submitted. |
Brief amici curiae of Jonathan F. Mitchell, et al. filed. |
Brief of respondent Arizona filed. |
Brief of State of Arizona submitted. |
ARGUMENT SET FOR Tuesday, November 1, 2022. |
Amicus brief of Habeas Scholars submitted. |
Amicus brief of Federal Courts Scholars submitted. |
Amicus brief of LatinoJustice PRLDEF submitted. |
Amicus brief of Arizona Capital Representation Project and Arizona Attorneys for Criminal Justice submitted. |
Amicus brief of National Association of Criminal Defense Lawyers, American Civil Liberties Union, and American Civil Liberties Union of Arizona submitted. |
Amicus brief of Habeas Scholars not accepted for filing. (June 22, 2022) |
Amicus brief of Ohio Justice & Policy Center and Roderick & Solange MacArthur Justice Center submitted. |
Brief amici curiae of Arizona Capital Representation Project, et al. filed. |
Brief amici curiae of National Association of Criminal Defense Lawyers, et al. filed. |
Brief amici curiae of Ohio Justice & Policy Center and Roderick & Solange MacArthur Justice Center filed. |
Brief amici curiae of LatinoJustice PRLDEF, et al. filed. |
Brief amici curiae of Federal Courts Scholars filed. |
Joint Appendix submitted. |
Brief of John Montenegro Cruz submitted. |
Consent to the filing of amicus briefs received from counsel for State of Arizona submitted. |
Brief of petitioner John Montenegro Cruz filed. |
Blanket Consent filed by Respondent, State of Arizona |
Blanket Consent filed by Respondent, Arizona |
Joint appendix filed. (Statement of costs filed) |
Blanket Consent filed by Petitioner, John Montenegro Cruz |
Consent to the filing of amicus briefs received from counsel for John Montenegro Cruz submitted. |
Motion to extend the time to file the briefs on the merits granted. The time to file the joint appendix and petitioner's brief on the merits is extended to and including June 13, 2022. The time to file respondent's brief on the merits is extended to and including August 12, 2022. |
Motion of John Montenegro Cruz for an extension of time submitted. |
Motion for an extension of time to file the briefs on the merits filed. |
Petition GRANTED limited to the following question: Whether the Arizona Supreme Court’s holding that Arizona Rule of Criminal Procedure 32.1(g) precluded post-conviction relief is an adequate and independent state-law ground for the judgment. |
DISTRIBUTED for Conference of 3/25/2022. |
DISTRIBUTED for Conference of 3/18/2022. |
Reply of petitioner John Montenegro Cruz filed. (Distributed) |
Brief of respondent Arizona in opposition filed. |
Amicus brief of LatinoJustice PRLDEF not accepted for filing. (January 07, 2022 - correct pdf to be re-efiled) |
Brief amici curiae of Habeas Scholars filed. |
Brief amicus curiae of LatinoJustice PRLDEF filed. |
Motion to extend the time to file a response is granted and the time is extended to and including February 7, 2022. |
Motion to extend the time to file a response from January 6, 2022 to February 7, 2022, submitted to The Clerk. |
Waiver of Arizona filed 12/16/21 removed from docket. (See Rule 15.1) |
Petition for a writ of certiorari filed. (Response due January 6, 2022) |