Legal Document

511 U.S. 1114 S.Ct. 1239127 L.Ed.2d 583 Clarence VICTOR, Petitioner,v.NEBRASKA. Alfred Arthur SANDOVAL, Petitioner, v. CALIFORNIA. Nos. 92-8894, 92-9049. Supreme Court of the United States Argued Jan. 18, 1994. Decided March 22, Rehearing Denied May 16, Syllabus * The government must prove beyond a reasonable doubt every element charged offense. In re Winship, 397 358, 90 1068, 25 368. upholding first degree murder convictions and death sentences petitioners Sandoval Victor, Courts California Nebraska, respectively, rejected contentions that due process was violated by pattern jury instructions defining "reasonable doubt" were given in both cases. Held: Taken as whole, question correctly conveyed concept doubt, there is no likelihood jurors understood to allow based on proof insufficient meet Winship standard. Pp. ____. (a) Constitution does not dictate any particular form words be used advising government's burden proof, so long "taken conve[y] doubt," Holland States, 348 121, 140, 75 127, 137, 99 L.Ed. 150. invalidating charge declaring, among other things, "must such . would give rise grave uncertainty," "is an actual substantial requires "a moral certainty," Court, Cage Louisiana, 498 39, 40, 111 328, 329, 112 339, observed juror could have interpreted instruction finding guilt below which constitutionally required. However, Estelle McGuire, 502 ----, n. 4, 475, 482 & n., 116 385 made clear proper inquiry whether "could have" been applied unconstitutionally, but did apply it. (b) Sandoval's case defined as, "not mere possible one "depending evidence," say they felt abiding conviction, "to truth charge. (c) objection charge's use 19th century phrases "moral evidence" certainty" rejected. Although former phrase mainstay modern lexicon, its meaning today consistent with original meaning: evidence general observation people, rather than what demonstrable. Its here unproblematic because pointed jurors' attention facts before them, (as contends) ethics or morality his criminal acts. For example, declaring "everything relating human affairs, depending evidence, open some imaginary can only mean empirical offered matters affairs—the introduced at trial. Similarly, whereas standing alone, might recognized synonym for "proof conjunction conviction language viewed having impressed upon need reach subjective state near certitude guilt, see Jackson Virginia, 443 307, 315, 2781, 2786, 61 560, thus invited less required proof. Moreover, contrast situation Cage, certainty disassociated from case, since explicitly told jurors, their conclusion had evidence. Accordingly, although this condone antiquated phrase, context whole cannot said rendered those unconstitutional. (d) portion also That properly uses "possible" sense fanciful fact it notes everything doubt." P. (e) Victor's will permit accused's "actual excluded "strong probabilities case." (f) primary argument—that equating "substantial overstated necessary acquittal—is Any ambiguity removed reading context: Victor immediately distinguished "arising possibility, bare imagination, conjecture," thereby informed something more speculative one, unexceptionable proposition. supra, U.S., 41, S.Ct., distinguished. alternatively cause person hesitate act, formulation has repeatedly approved gives common-sense benchmark just how be. (g) inclusion render sufficient lend provided rest charge, equated preclude convinced "after full, fair, impartial consideration all should governed solely determining factual issues, indulge speculation, conjectures, unsupported inferences. (h) reference probabilities" unconstitutionally understate burden, informs strong enough doubt. See Dunbar 156 185, 199, 15 325, 330, 39 390. No. 242 Neb. 306, 494 N.W.2d 565, 92-9049, 4 Cal.4th 155, modified, 928a, 14 Cal.Rptr.2d 342, 841 P.2d 862 affirmed. O'CONNOR, J., delivered opinion unanimous respect Part II, Parts I, III, IV, REHNQUIST, C.J., STEVENS, SCALIA, KENNEDY, THOMAS, JJ., joined, III-B IV GINSBURG, joined. filed concurring opinion. part judgment. BLACKMUN, dissenting part, II SOUTER, 1 Mark A. Weber, Omaha, NE, argued petitioner Victor. 2 Eric S. Multhaup, San Francisco, CA, Sandoval. 3 Donald B. Stenberg, Lincoln, respondent Nebraska. Daniel E. Lungren, Atty. Gen. California, California. 5 Justice O'CONNOR Court.** 6 368 (1970). standard ancient honored aspect our justice system, defies easy explication. these cases, we consider constitutionality two attempts define 7 requirement process, neither prohibits trial courts nor them do matter course. Cf. Hopt Utah, 120 430, 440-441, 614, 618-20, 30 708 (1887). Indeed, court instructs necessity defendant's proven 320, 14, 2789, 560 (1979), require Taylor Kentucky, 436 478, 485-486, 98 1930, 1934-1935, 56 468 (1978). Rather, [must] jury." 150 (1954). 8 held definition Due Process Clause. 339 (1990) (per curiam ). There, told: 9 " '[A doubt] founded real tangible basis caprice conjecture. It uncertainty, raised your mind reasons unsatisfactory character lack thereof. A man seriously entertain. What absolute mathematical certainty, certainty.' Id., 329 (emphasis added 10 We highlighted portions unconstitutional: 11 "It plain us 'substantial' 'grave,' are commonly understood, suggest higher acquittal under When statements then considered 'moral certainty,' evidentiary becomes Clause." 329. 12 subsequent unconstitutional manner, (1991) (slip op., 9, 4). constitutional present therefore, similar petitioners' trials violate Clause, State Bryant, 334 N.C. 333, 432 S.E.2d 291 (1993), cert. pending, 93-753; Morley 828 F.Supp. 1413 (Neb.1993), Nebraska constitutional. granted certiorari, 509 114 125 788, 789 now affirm judgments. 13 On October 1984, shot three men, fatally, gang-related incident Los Angeles. About weeks later, he entered home who information police about murders him dead; killed man's wife she seen her husband. convicted four counts murder. found personally firearm commission each offense, special circumstance multiple Cal.Penal Code Ann. § 12022.5 (West 1992) 190.2(a)(3) 1988). He sentenced murdering woman life prison without possibility parole murders. affirmed sentences. (1992), (1993). following proof: "A defendant action presumed innocent until contrary proved, satisfactorily shown, entitled verdict guilty. This presumption places proving guilty 16 "Reasonable follows: doubt; which, after entire comparison leaves minds condition feel charge." App. p. 49 added) (Sandoval App.). 17 claim instruction, particularly passages, Cal.4th, 185-186, Cal.Rptr.2d, 357, P.2d, 878. 18 genesis Chief Shaw Massachusetts Judicial ago: 19 "[W]hat doubt? term often used, probably pretty well easily defined. thing prosecutor. All presumptions law independent favor innocence; proved If remaining, accused benefit acquittal. establish probability, though arising doctrine chances, likely true contrary; certainty; convinces directs understanding, satisfies reason judgment, bound act conscientiously take Commonwealth Webster, 59 Mass. 295, 320 (1850). 20 Webster representative time when "American began applying [the standard] cases." Apodaca Oregon, 406 404, 412, 6, 92 1628, 1633, 32 184 (1972) (plurality opinion). Perovich 205 86, 92, 27 456, 458, 51 722 (1907) (approving charge). People Strong, Cal. 151, 155 (1866), characterized "probably most satisfactory ever 'reasonable doubt' known jurisprudence." Paulsell, 115 12, 46 734 (1896), cautioned judges against departing formulation. And 1927, legislature adopted bulk statutory 1096 1985); Jury Instructions, Criminal, 2.90 (4th ed. 1979). Legislature directed "the may read section code, further subject innocence given." 1096a. case. 21 criticized Brigham, Cal.3d 283, 292-316, 157 Cal.Rptr. 905, 911-926, 599 100, 106-121 (1979) (Mosk, concurring). Mosk apparently think unconstitutional, "urge[d] reconsider codification." 293, Cal.Rptr., 911, 106. Assembly Senate responded requesting committee Angeles Superior study alternatives set forth Section Penal Code, report findings recommendations Legislature." Cal.Assem.Con.Res. 148, 1986 Cal.Stats. 5634. recommended retain unmodified, Alternative Definitions Reasonable Doubt: Report Committee Standard Instructions—Criminal (May 1987), changed. 22 instruction. As noted, lifted verbatim Shaw's decision; understanding historical written accordingly helpful evaluating continuing validity. 23 By beginning Republic, lawyers borrowed philosophers historians 17th 18th centuries. generally Shapiro, "Beyond Doubt" "Probable Cause": Historical Perspectives Anglo-American Law Evidence, ch. (1991). James Wilson, instrumental framing served Members explained 1790 lecture "evidence divided into species—demonstrative moral." Works Wilson 518 (J. Andrews 1896). went explain distinction thus: 24 "Demonstrative abstract truths, unchangeable relations ideas. Moral contingent truths connections, place things actually existing. 26 "In be, is, contrariety proofs: demonstrative place. [T]o suppose demonstrations exist, same proposition false: manifestly absurd. With regard sides. sides, presumptions, testimonies, experiences balanced." 518-519. leading treatise "[m]atters alone; [i]n ordinary affairs life, insist unreasonable absurd." Greenleaf, Evidence 3-4 (13th 1876). 28 shares epistemological pedigree "To Certainty": Theories Knowledge Juries 1600-1850, 38 Hastings L.J. 153 (1986). highest lecture, observed: 29 series inference drawn several steps necessary; impossible premises true, while false. ". rise, insensible gradation, probability certainty." 519. 31 At least early doubt: "Evidence dispute, exclusion constitutes full fact. Even direct produce nothing high amounts certainty. From decline, infinite number gradations, preponderance assent favour fact." T. Starkie, 478 (2d 1833). 33 ("The [things evidence] concerning them"). 34 Thus, penned 1850, meant event occurrence. subsequently explained: 35 "Proof 'beyond 'to judicial crime, synonymous equivalent; eminent other; signifies judgment consciences jury, crime committed defendant, leave possible." Costley, 118 1, (1875). 36 "[p]roof certainty' equivalent doubt.' Fidelity Mut. Life Assn. Mettler, 185 308, 317, 662, 665, 922 (1902), citing supra. 232 563, 570, 347, 349, 58 728 (1914) cast terms certainty); Miles 103 304, 309, 312, 481 (1881). 37 recognize means anything different century. few contemporary dictionaries consistently meaning. See, e.g., Webster's New Twentieth Century Dictionary 1168 1979) ("based etc. demonstrable"); Collins English 1014 (3d 1991) (similar); Oxford 1070 1989) (similar). itself phrase. doubt"—in words, unattainable affairs. sentence, matters—the reinforced judge duty determine received source." 38. continued: consists testimony witnesses, writings, material objects, presented senses existence non-existence 40. "you influenced pity prejudice him," "[y]ou swayed sentiment, conjecture, sympathy, passion, prejudice, public feeling." 39. These find unproblematic. 40 somewhat concerned argument lost meaning, understand Words change over time: passage 1850 incomprehensible confusing juror. contain definitions Third International 1468 (unabridged 1981) ("virtual actual, immediate, completely Dictionary, ("a great admit doubt"), willing accept premise But necessarily follow 41 argues lower support proposition, points probability. E.g., probability"); Random House Language 1249 1983) ("resting convincing grounds probability"). probabilistic. "[I]n proceeding dispute earlier event, factfinder acquire unassailably accurate knowledge happened. Instead, belief happened." 370, 1075 (Harlan, concurring) original). problem very level 42 ambiguous abstract, lends content "an 49. An states 439, 618 word 'abiding' signification settled fixed, careful examination evidence"); Criminal Instructions: District Columbia H. Greene Guidoboni 1978). already 9; giving satisfied language, "impress[ed] accused." 2786. reject contention convict 43 second variant first. Accepting confidence even failed widely dictionary argument, American Heritage 1173 ("Based firm evidence"), gainsay force. "[t]he expressly phrased protects except 'proof 2786 contrasted "evidentiary 44 sequestered surroundings. simply morally certain guilt; else Not here. "that added). Other message. continued him. You 45 reasonably either suggesting allowing factors time, however, attest, common changed continue point conflicts federal Federal Center, Pattern Instructions (1988); Devitt C. Blackmar, Practice 11.14 1977). supervisory power courts, B Finally, objects instructed included almost identical intimate wrong "[a] doubt,' minimum, 'reason.' 2787. defense attorney jury: "[A]nything possible. [A] planet out blue cheese. that's really realm we're talking about." 79 (excerpt closing argument). final therefore challenge well. III 47 December 26, 1987, Omaha 82 year-old whom occasionally gardening work. Once inside, beat pipe cut throat knife, killing her. three-judge panel aggravating circumstances previously murder, Neb.Rev.Stat. 29-2523(1)(a) (1989), especially heinous, atrocious, cruel, 29-2523(1)(d). Finding none mitigating circumstances, death. sentence. 235 770, 457 431 (1990), denied, 1127, 1091, 1195 48 trial, always elements charged, never shifts." (Victor 'Reasonable prudent person, graver important transactions pause taking represented relying acting thereon. you, accused. yet fully aware possibly you mistaken. exclude reasonable. shown state, conjecture." 50 postconviction review, emphasized phrases, 310-311, 569 Because last review merits, despite failure object raise issue appeal. Ylst Nunnemaker, 501 ---- - 2590, 2593-2594, 706 traced separate lines Much taken Carr State, 749, 752-753, N.W. 630, 631-632 (1888) derives decisions approving act. Whitney 53 287, 298, 73 696, 699 (1898); Willis 102, 110-111, 254, 256 (1894); Polin 540, 546-547, 898, 900-901 (1883). 1968, appointed developed model instructions; rule effect tried where applicable. IX (1969) (N.J.I.). N.J.I. 14.08, (Since tried, revised reasonable-doubt N.J.I.2d Crim. 2.0 adopted, prior version still used.) 52 agree construction problematic. hand, "substantial" seeming imaginary"; other, specified large degree." 2280. unexceptionable, one; latter imply greater Winship. ambiguity, sentence appears: explicit between conjecture standard." hold alone 488, 1936 (defining "though perhaps reversible error, confusing") interpret parallel preceding "grave overstatement acquit. makes magnitude concern present. 54 alternative approved, 137; cf. 439-441, 618-620, extent denotes quantum acquittal, indicate one. 55 challenges another involving "[U]nder vote unless exists questioned exists." Morley, 239 141, 474 660, 670 (1991); Neb., N.W.2d, (relying disagree Cage. referred clearly related similarly deficient. Instructing much alleviate concerns misunderstood abstract. 11-12. rely it; fairly 439-440, 618-619. evidence." 11. them: issues you. inferences supported 2. There satisfy Though reiterate countenance use, C 57 understated burden. upheld nearly 390 (1895): "While challenged instruction] 'probabilities' 'strong probabilities,' unquestionably law" (citing 618). force course century, controlling point. Clause avoid lead lesser showing requires. conclude 137. determined way Constitution. judgments cases Affirmed. 60 concurring. commendable pen survived but, clear, once become archaic. fact, confuse far clarify. 62 better, California's troubling, me seems quite indefensible. derivation Court's opinion, help puzzle. research, baffle. 63 I fatal understand, why unruly asked perform task difficulty altogether clear. malleable, obscure, put risk. 64 observation, concur Court. 65 66 Constitution's requirement. observes, adequately focus exclusively ante, ____, if "abiding conviction" agree, further, suggestion misleading avoided unhelpful explaining means. 67 Similarly unhelpful, my view, features begins "such thereon." judges, reporting Conference "hesitate act" 68 "because analogy misplaced. people make own resolution past events usually play major role. lives—choosing spouse, job, live, like—generally involve heavy uncertainty risk-taking. They wholly unlike ought 18-19 (1987) (commentary 21). 69 More recently, Second Circuit Judge Jon O. Newman 70 "Although, district judge, dutifully repeated juries scores trials, bemused ambiguity. encounter 'hesitate importance,' then? Should decline reached hesitation, hesitate, ask themselves whether, private matters, resolve action, and, so, convict?" Newman, Beyond Doubt," N.Y.U.L.Rev. (1994) (forthcoming) (James Madison Lecture, York University School, November 1993). 71 enlightening counseling: "[The jury] reasonable." italicized save understating prosecution's 19, uninstructive circularity. comprehension scarcely advanced "defines" "doubt 72 difficulties led efficacy Appeals admonished Judges attempt definition.* too, suggested occasion prevailing afford aid. (1954) (" '[a]ttempts result making clearer jury' "), quoting (1881); 618-619, (1887) obscure definition, serve create doubts instead removing them."). undefinable, not, course, provide definition. Nor, suggestion, charges decide so. Whether requires, strong. While familiar standard, "beyond self-defining jurors. Several studies behavior concluded "jurors confused left undefined. Note, Defining Doubt, Colum.L.Rev. 1716, 1723 studies). imperfect, alternative—refusing all—is obviously preferable. ("I unsettling using believe it."). 74 Fortunately, choice kinds potential confusion—on confusion caused leaving undefined, induced anachronism misplaced "hesitation act," circularity Center proposed straightforward, accurate. reads: "[T]he Some civil true. powerful that. 76 firmly guilt. world know overcomes If, guilty, guilty." 17-18 (instruction 77 plainly prosecution "firmly convinced" emphasis, enhanced juxtaposed prescription acquit "real possibility" innocent. surpasses others stating succinctly comprehensibly. 78 recognize, powers test exemplary; instead, inquire instructio[n] meet" join III-B, SOUTER joins part. 80 per flawed resulting state-court deserved summary reversal. majority purports uphold falters application meaningful difference issued uncertainty." absence equally offensive process. dissent 81 Our democracy rests small faith ability system not. springs fundamentally established shall go free. 1970, finally constitute charged." 364, 1072. recounted history noting "dates years Nation." 361, 1070. "society values good name freedom individual condemn guilt." 363-364, 1072-1073. Despite inherent appeal provides protection reality, enforceable law. To safeguard, capable being stated accurately precision owed whose liberty extraordinarily stakes "[i]t critical diluted men condemned." 83 reviewing defines merely susceptible interpretation technically correct. likelihood" misled Boyde 380, 110 1190, 1197, 108 316 (1990). suggests improperly low offends Either misstatement prejudicial "vitiates jury's findings," Sullivan 113 2078, 2079, 124 182 removes appropriate predicate verdict. 84 Louisiana court, Tommy first-degree argued, phase Fourteenth Amendment. 554 So.2d (1989). relevant provided: 85 "If entertain return demonstrates (Second emphasis added; third emphases original.) 41. 86 Cage's reasoning that, "might overstate requisite jury," understandable persons intelligence," Ibid. 87 certiorari summarily reversed. noted adequate, ruled uncertainty" "higher standard," together defective. 88 reads 89 conjecture" (emphases majority's distinguish employed unpersuasive. Both equate refer contains equal mislead, including invitation overt effort dissuade acquitting "fully mistaken." Nonetheless, sanitized context. approach fail logic. 91 First, concedes, must, "somewhat problematic" Ante, insists manner distinguishing According majority, "[t]his instruction," thus, context, casual reveals false premise. "founded ("A "). condemned contrasting language; rather, precisely gave: 'grave', 329-330. short, speculation degree" unfounded foreclosed itself. 93 minimize obvious hazards combined "in parallel," withstand scrutiny. convict, exact were: 94 95 Clearly, preoccupied relationship endorsed universal improper potentially overstates Smith Bordenkircher, 718 F.2d 1273, 1276 (CA4 (noting agreement "uniformly disapproving" view appellate regarding language), 466 976, 104 2355, (1984); 1935, (1978) ("[Equating 'substantial doubt], confusing").* 96 states: act." ----. contexts, (1954), "alternative" statement unlikely 97 begin with, note GINSBURG's helpful, worse analogizing decision frequently high-risk personal daily lives. assuming somewhere lawful "reasonably likely" faulty during deliberations. Boyde, 1197. contained salvage remained law, predominance "large" opposed defendant. central purpose responsibility goes assure mistaken"; then, acquainting unsettled convicting free Viewed geared toward assuring mistaken, probabilities," deter convicting. dismisses harmful effects "nearly instruction" ago. (1895). appreciates elsewhere entirety. Holland, 137 '[T]aken Rather examining parses it, ignoring cumulative effect. 100 Considering entirety, increased conviction. Only sense. recently "The 'probability' brings 'chance,' 'possibility,' 'likelihood' 'plausibility'—none appear 1413, 1422 terms, case," believing "likely" charged. 101 sure, qualify case" qualification useless reasonable" defined, next supposed clarification compounds confusion, referring language. 102 disapproved base standards emotion addition standards. risk authorize value alleged repugnant brutal crime. violated. Just dangerous convict. understates "possibly mistaken" together, acquit, distinguishes type here—language overstating Sandoval's, mutually reinforcing, leads ineluctably believed rested prosecution; moreover, prevents Where, here, fails convey clarity accuracy reverse remand new 2083. vacate 105 affirmance Adhering penalty imposed within constraints Constitution, Callins Collins, 510 1130, --- (1994), And, Callins, underlying withstood syllabus prepared Reporter Decisions convenience reader. Detroit Lumber Co., 200 321, 337, 282, 499. ** Justices BLACKMUN GINSBURG IV. Adkins, 937 947, 950 ("This circuit warned tend impermissibly lessen exception categorical disdain specifically requests it."); Hall, 854 1036, 1039 (CA7 1988) (upholding court's refusal request, "at best, jury. presents benefit."). overwhelming disapproval employ instructing F.2d, 1279 (dissenting opinion) ("As forthrightly out, 'good evoked 'uniformly disapproving' response courts. Evidently slight slaps wrist followed hoped end correction error futuro

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