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- /* Many lawyers and law students find this case to perhaps be the
- "case of the year" within constitutional law. The case is over
- the rather strange proposition that is it, or is it not,
- unconstitutional to execute someone who is in fact innocent of
- the capital crime for which they are to be executed. Read on for
- the answer. */
-
- NOTE: Where it is feasible, a syllabus (headnote) will be
- released, as is being done in connection with this case, at the
- time the opinion is issued. The syllabus constitutes no part of
- the opinion of the Court but has been prepared by the Reporter of
- Decisions for the convenience of the reader. See United States
- v. Detroit Lumber Co., 200 U. S. 321, 337.
-
- SUPREME COURT OF THE UNITED STATES
-
- Syllabus
-
- HERRERA v. COLLINS, DIRECTOR, TEXAS
- DEPARTMENT OF CRIMINAL JUSTICE,
- INSTITUTIONAL DIVISION
- certiorari to the united states court of appeals for
- the fifth circuit
- No. 91-7328. Argued October 7, 1992-Decided January 25, 1993
-
- On the basis of proof which included two eyewitness
- identifications, numerous pieces of circumstantial evidence, and
- petitioner Herrera's handwritten letter impliedly admitting his
- guilt, Herrera was convicted of the capital murder of Police
- Officer Carrisalez and sentenced to death in January 1982. After
- pleading guilty, in July 1982, to the related capital murder of
- Officer Rucker, Herrera unsuccessfully challenged the Carrisalez
- conviction on direct appeal and in two collateral proceedings in
- the Texas state courts, and in a federal habeas petition. Ten
- years after his conviction, he urged in a second federal habeas
- proceeding that newly discovered evidence demonstrated that he
- was "actually innocent" of the murders of Carrisalez and Rucker,
- and that the Eighth Amendment's prohibition against cruel and
- unusual punishment and the Fourteenth Amendment's due process
- guarantee therefore forbid his execution. He supported this claim
- with affidavits tending to show that his now-dead brother had
- committed the murders. The District Court, inter alia, granted
- his request for a stay of execution so that he could present his
- actual innocence claim and the supporting affidavits in state
- court. In vacating the stay, the Court of Appeals held that the
- claim was not cognizable on federal habeas absent an accompanying
- federal constitutional violation.
-
- Held: Herrera's claim of actual innocence does not entitle him
- to federal habeas relief. Pp. 6-28.
-
- (a) Herrera's constitutional claim for relief based upon
- his newly discovered evidence of innocence must be evaluated in
- light of the previous 10 years of proceedings in this case. In
- criminal cases, the trial is the paramount event for determining
-
- the defendant's guilt or innocence. Where, as here, a defendant
- has been afforded a fair trial and convicted of the offense for
- which he was charged, the constitutional presumption of innocence
- disappears. Federal habeas courts do not sit to correct errors
- of fact, but to ensure that individuals are not imprisoned in
- violation of the Constitution. See, e.g., Moore v. Dempsey, 261
- U. S. 86, 87-88. Thus, claims of actual innocence based on newly
- discovered evidence have never been held to state a ground for
- federal habeas relief absent an independent constitutional
- violation occurring in the course of the underlying state
- criminal proceedings. See Townsend v. Sain, 372 U. S. 293, 317.
- The rule that a petitioner subject to defenses of abusive or
- successive use of the habeas writ may have his federal
- constitutional claim considered on the merits if he makes a
- proper showing of actual innocence, see, e.g., Sawyer v. Whitley,
- 505 U. S. ___, ___, is inapplicable in this case. For Herrera
- does not seek relief from a procedural error so that he may bring
- an independent constitutional claim challenging his conviction or
- sentence, but rather argues that he is entitled to habeas relief
- because new evidence shows that his conviction is factually
- incorrect. To allow a federal court to grant him typical habeas
- relief-a conditional order releasing him unless the State elects
- to retry him or vacating his death sentence-would in effect
- require a new trial 10 years after the first trial, not because
- of any constitutional violation at the first trial, but simply
- because of a belief that in light of his new found evidence a
- jury might find him not guilty at a second trial. It is far from
- clear that this would produce a more reliable determination of
- guilt or innocence, since the passage of time only diminishes the
- reliability of criminal adjudications. Jackson v. Virginia, 443
- U. S. 307, Ford v. Wainwright, 477 U. S. 399, and Johnson v.
- Mississippi, 486 U. S. 578, distinguished. Pp. 6-15.
-
- (b) Herrera's contention that the Fourteenth Amendment's
- due process guarantee supports his claim that his showing of
- innocence entitles him to a new trial, or at least to a vacation
- of his death sentence, is unpersuasive. Because state
- legislative judgments are entitled to substantial deference in
- the criminal procedure area, criminal process will be found
- lacking only where it offends some principle of justice so rooted
- in tradition and conscience as to be ranked as fundamental. See,
- e.g., Patterson v. New York, 432 U. S. 197, 202. It cannot be
- said that the refusal of Texas-which requires a new trial motion
- based on newly discovered evidence to be made within 30 days of
- imposition or suspension of sentence-to entertain Herrera's new
- evidence eight years after his conviction transgresses a
- principle of fundamental fairness, in light of the Constitution's
- silence on the subject of new trials, the historical availability
- of new trials based on newly discovered evidence, this Court's
- amendments to Federal Rule of Criminal Procedure 33 to impose a
- time limit for filing new trial motions based on newly discovered
- evidence, and the contemporary practice in the States, only nine
- of which have no time limits for the filing of such motions. Pp.
- 15-20.
- (c) Herrera is not left without a forum to raise his actual
- innocence claim. He may file a request for clemency under Texas
- law, which contains specific guidelines for pardons on the ground
- of innocence. History shows that executive clemency is the
- traditional "fail safe" remedy for claims of innocence based on
- new evidence, discovered too late in the day to file a new trial
- motion. Pp. 20-26.
-
- (d) Even assuming, for the sake of argument, that in a
- capital case a truly persuasive post-trial demonstration of
- "actual innocence" would render a defendant's execution
- unconstitutional and warrant federal habeas relief if there were
- no state avenue open to process such a claim, Herrera's showing
- of innocence falls far short of the threshold showing which would
- have to be made in order to trigger relief. That threshold would
- necessarily be extraordinarily high because of the very
- disruptive effect that entertaining such claims would have on the
- need for finality in capital cases, and the enormous burden that
- having to retry cases based on often stale evidence would place
- on the States. Although not without probative value, Herrera's
- affidavits are insufficient to meet such a standard, since they
- were obtained without the benefit of cross-examination and an
- opportunity to make credibility determinations; consist, with one
- exception, of hearsay; are likely to have been presented as a
- means of delaying Herrera's sentence; were produced not at the
- trial, but over eight years later and only after the death of the
- alleged perpetrator, without a satisfactory explanation for the
- delay or for why Herrera pleaded guilty to the Rucker murder;
- contain inconsistencies, and therefore fail to provide a
- convincing account of what took place on the night of the
- murders; and do not overcome the strong proof of Herrera's guilt
- that was presented at trial. Pp. 26-28. 954 F. 2d 1029,
- affirmed.
-
- Rehnquist, C. J., delivered the opinion of the Court, in
- which O'Connor, Scalia, Kennedy, and Thomas, JJ., joined.
- O'Connor, J., filed a concurring opinion, in which Kennedy, J.,
- joined. Scalia, J., filed a concurring opinion, in which Thomas,
- J., joined. White, J., filed an opinion concurring in the
- judgment. Blackmun, J., filed a dissenting opinion, in Parts I,
- II, III, and IV of which Stevens and Souter, JJ., joined.
-
- Chief Justice Rehnquist delivered the opinion of the
- Court.
-
- Petitioner Leonel Torres Herrera was convicted of capital murder
- and sentenced to death in January 1982. He unsuccessfully
- challenged the conviction on direct appeal and state collateral
- proceedings in the Texas state courts, and in a federal habeas
- petition. In February 1992-10 years after his conviction- he
- urged in a second federal habeas petition that he was -actually
- innocent- of the murder for which he was sentenced to death, and
- that the Eighth Amendment's prohibition against cruel and unusual
- punishment and the Fourteenth Amendment's guarantee of due
- process of law therefore forbid his execution. He supported this
- claim with affidavits tending to show that his now-dead brother,
- rather than he, had been the perpetrator of the crime.
- Petitioner urges us to hold that this showing of innocence
- entitles him to relief in this federal habeas proceeding. We
- hold that it does not.
-
- Shortly before 11 p.m. on an evening in late September
- 1981, the body of Texas Department of Public Safety Officer David
- Rucker was found by a passerby on a stretch of highway about six
- miles east of Los Fresnos, Texas, a few miles north of
- Brownsville in the Rio Grande Valley. Rucker's body was lying
- beside his patrol car. He had been shot in the head.
-
- At about the same time, Los Fresnos Police Officer
- Enrique Carrisalez observed a speeding vehicle traveling west
- towards Los Fresnos, away from the place where Rucker's body had
- been found, along the same road. Carrisalez, who was accompanied
- in his patrol car by Enrique Hernandez, turned on his flashing
- red lights and pursued the speeding vehicle. After the car had
- stopped briefly at a red light, it signaled that it would pull
- over and did so. The patrol car pulled up behind it. Carrisalez
- took a flashlight and walked toward the car of the speeder. The
- driver opened his door and exchanged a few words with Carrisalez
- before firing at least one shot at Carrisalez' chest. The
- officer died nine days later.
-
- Petitioner Herrera was arrested a few days after the
- shootings and charged with the capital murder of both Carrisalez
- and Rucker. He was tried and found guilty of the capital murder
- of Carrisalez in January 1982, and sentenced to death. In July
- 1982, petitioner pleaded guilty to the murder of Rucker.
-
- At petitioner's trial for the murder of Carrisalez,
- Hernandez, who had witnessed Carrisalez' slaying from the
- officer's patrol car, identified petitioner as the person who had
- wielded the gun. A declaration by Officer Carrisalez to the same
- effect, made while he was in the hospital, was also admitted.
- Through a license plate check, it was shown that the speeding car
- involved in Carrisalez' murder was registered to petitioner's
- "live-in" girlfriend. Petitioner was known to drive this car,
- and he had a set of keys to the car in his pants pocket when he
- was arrested. Hernandez identified the car as the vehicle from
- which the murderer had emerged to fire the fatal shot. He also
- testified that there had been only one person in the car that
- night.
-
- The evidence showed that Herrera's Social Security card
- had been found alongside Rucker's patrol car on the night he was
- killed. Splatters of blood on the car identified as the vehicle
- involved in the shootings, and on petitioner's blue jeans and
- wallet were identified as type A blood-the same type which Rucker
- had. (Herrera has type O blood.) Similar evidence with respect
- to strands of hair found in the car indicated that the hair was
- Rucker's and not Herrera's. A handwritten letter was also found
- on the person of petitioner when he was arrested, which strongly
- implied that he had killed Rucker.
-
- Petitioner appealed his conviction and sentence, arguing,
- among other things, that Hernandez' and Carrisalez'
- identifications were unreliable and improperly admitted. The
- Texas Court of Criminal Appeals affirmed, Herrera v. State, 682
- S. W. 2d 313 (1984), and we denied certiorari, 471 U. S. 1131
- (1985). Petitioner's application for state habeas relief was
- denied. Ex parte Herrera, No. 12,848-02 (Tex. Crim. App., Aug.
- 2, 1985). Petitioner then filed a federal habeas petition, again
- challenging the identifications offered against him at trial.
- This petition was denied, see 904 F. 2d 944 (CA5), and we again
- denied certiorari. 498 U. S. 925 (1990).
-
- /* The point here is that there is a great deal of evidence of
- guilt. */
-
- Petitioner next returned to state court and filed a
- second habeas petition, raising, among other things, a claim of
- "actual innocence" based on newly discovered evidence. In
- support of this claim petitioner presented the affidavits of
- Hector Villarreal, an attorney who had represented petitioner's
- brother, Raul Herrera, Sr., and of Juan Franco Palacious, one of
- Raul Sr.'s former cellmates. Both individuals claimed that Raul
- Sr., who died in 1984, had told them that he- and not petitioner-
- had killed Officers Rucker and Carrisalez. The State District
- Court denied this application, finding that "no evidence at trial
- remotely suggest[ed] that anyone other than [petitioner]
- committed the offense." Ex parte Herrera, No. 81-CR- 672-C (Tex.
- 197th Jud. Dist., Jan. 14, 1991), -35. The Texas Court of
- Criminal Appeals affirmed, Ex parte Herrera, 819 S. W. 2d 528
- (1991), and we denied certiorari, Herrera v. Texas, 502 U. S. ---
- (1992).
-
- In February 1992, petitioner lodged the instant habeas
- petition-his second-in federal court, alleging, among other
- things, that he is innocent of the murders of Rucker and
- Carrisalez, and that his execution would thus violate the Eighth
- and Fourteenth Amendments. In addition to proffering the above
- affidavits, petitioner presented the affidavits of Raul Herrera,
- Jr., Raul Sr.'s son, and Jose Ybarra, Jr., a schoolmate of the
- Herrera brothers. Raul Jr. averred that he had witnessed his
- father shoot Officers Rucker and Carrisalez and petitioner was
- not present. Raul Jr. was nine years old at the time of the
- killings. Ybarra alleged that Raul Sr. told him one summer night
- in 1983 that he had shot the two police officers. Petitioner
- alleged that law enforcement officials were aware of this
- evidence, and had withheld it in violation of Brady v. Maryland,
- 373 U. S. 83 (1963).
-
- The District Court dismissed most of petitioner's claims
- as an abuse of the writ. No. M-92-30 (SD Tex. Feb. 17, 1992).
- However, "in order to ensure that Petitioner can assert his
- constitutional claims and out of a sense of fairness and due
- process," the District Court granted petitioner's request for a
- stay of execution so that he could present his claim of actual
- innocence, along with the Raul Jr. and Ybarra affidavits, in
- state court. App. 38-39. Although it initially dismissed
- petitioner's Brady claim on the ground that petitioner had failed
- to present "any evidence of withholding exculpatory material by
- the prosecution," App. 37, the District Court also granted an
- evidentiary hearing on this claim after reconsideration, id., at
- 54.
-
- /* An unusual step of remanding a matter to a state court which
- might not want to deal with the case. */
-
- The Court of Appeals vacated the stay of execution. 954
- F. 2d 1029 (CA5 1992). It agreed with the District Court's
- initial conclusion that there was no evidentiary basis for
- petitioner's Brady claim, and found disingenuous petitioner's
- attempt to couch his claim of actual innocence in Brady terms.
- 954 F. 2d, at 1032. Absent an accompanying constitutional
- violation, the Court of Appeals held that petitioner's claim of
- actual innocence was not cognizable because, under Townsend v.
- Sain, 372 U. S. 293, 317 (1963), "the existence merely of newly
- discovered evidence relevant to the guilt of a state prisoner is
- not a ground for relief on federal habeas corpus." See 954 F. 2d
- at 1034. We granted certiorari, 502 U. S. --- (1992), and the
- Texas Court of Criminal Appeals stayed petitioner's execution.
- We now affirm.
-
- Petitioner asserts that the Eighth and Fourteenth
- Amendments to the United States Constitution prohibit
- the execution of a person who is innocent of the crime for which
- he was convicted. This proposition has an elemental appeal, as
- would the similar proposition that the Constitution prohibits the
- imprisonment of one who is innocent of the crime for which he was
- convicted. After all, the central purpose of any system of
- criminal justice is to convict the guilty and free the innocent.
- See United States v. Nobles, 422 U. S. 225, 230 (1975). But the
- evidence upon which petitioner's claim of innocence rests was not
- produced at his trial, but rather eight years later. In any
- system of criminal justice, -innocence- or -guilt- must be
- determined in some sort of a judicial proceeding. Petitioner's
- showing of innocence, and indeed his constitutional claim for
- relief based upon that showing, must be evaluated in the light of
- the previous proceedings in this case, which have stretched over
- a span of 10 years.
-
- /* The time span on the raising of the claim is stated as an
- additional factor in discrediting the claims of the petitioner.
- */
-
- A person when first charged with a crime is entitled to a
- presumption of innocence, and may insist that his guilt be
- established beyond a reasonable doubt. In re Winship, 397 U. S.
- 358 (1970). Other constitutional provisions also have the effect
- of ensuring against the risk of convicting an innocent person.
- See, e.g., Coy v. Iowa, 487 U. S. 1012 (1988) (right to confront
- adverse witnesses); Taylor v. Illinois, 484 U. S. 400 (1988)
- (right to compulsory process); Strickland v. Washington, 466 U.
- S. 668 (1984) (right to effective assistance of counsel);
- Winship, supra (prosecution must prove guilt beyond a reasonable
- doubt); Duncan v. Louisiana, 391 U. S. 145 (1968) (right to jury
- trial); Brady v. Maryland, 373 U. S. 83 (1963) (prosecution must
- disclose exculpatory evidence); Gideon v. Wainwright, 372 U. S.
- 335 (1963) (right to assistance of counsel); In re Murchison, 349
- U. S. 133, 136 (1955) (right to "fair trial in a fair tribunal").
- In capital cases, we have required additional protections because
- of the nature of the penalty at stake. See, e.g., Beck v.
- Alabama, 447 U. S. 625 (1980) (jury must be given option of
- convicting the defendant of a lesser offense). All of these
- constitutional safeguards, of course, make it more difficult for
- the State to rebut and finally overturn the presumption of
- innocence which attaches to every criminal defendant. But we
- have also observed that "[d]ue process does not require that
- every conceivable step be taken, at whatever cost, to eliminate
- the possibility of convicting an innocent person." Patterson v.
- New York, 432 U.S. 197, 208 (1977). To conclude otherwise would
- all but paralyze our system for enforcement of the criminal law.
-
- Once a defendant has been afforded a fair trial and
- convicted of the offense for which he was charged, the
- presumption of innocence disappears. Cf. Ross v. Moffitt, 417 U.
- S. 600, 610 (1974) ("The purpose of the trial stage from the
- State's point of view is to convert a criminal defendant from a
- person presumed innocent to one found guilty beyond a reasonable
- doubt"). Here, it is not disputed that the State met its burden
- of proving at trial that petitioner was guilty of the capital
- murder of Officer Carrisalez beyond a reasonable doubt. Thus, in
- the eyes of the law, petitioner does not come before the Court as
- one who is -innocent,- but on the contrary as one who has been
- convicted by due process of law of two brutal murders.
-
- Based on affidavits here filed, petitioner claims that
- evidence never presented to the trial court proves him innocent
- notwithstanding the verdict reached at his trial. Such a claim
- is not cognizable in the state courts of Texas. For to obtain a
- new trial based on newly discovered evidence, a defendant must
- file a motion within 30 days after imposition or suspension of
- sentence. Tex. Rule App. Proc. 31(a)(1) (1992). The Texas
- courts have construed this 30-day time limit as jurisdictional.
- See Beathard v. State, 767 S. W. 2d 423, 433 (Tex. Crim. App.
- 1989); Drew v. State, 743 S. W. 2d 207, 222-223 (Tex. Crim. App.
- 1987).
-
- /* A fascinating rule which is absurd. If the evidence is truly
- "newly discovered" 31 days after the case is over, then it can
- never be presented? */
-
- Claims of actual innocence based on newly discovered
- evidence have never been held to state a ground for federal
- habeas relief absent an independent constitutional violation
- occurring in the underlying state criminal proceeding. Chief
- Justice Warren made this clear in Townsend v. Sain, 372 U. S.
- 293, 317 (1963) (emphasis added):
-
- Where newly discovered evidence is alleged in a habeas
- application, evidence which could not reasonably have
- been presented to the state trier of facts, the federal
- court must grant an evidentiary hearing. Of course,
- such evidence must bear upon the constitutionality of
- the applicant's detention; the existence merely of
- newly discovered evidence relevant to the guilt of a
- state prisoner is not a ground for relief on federal
- habeas corpus.
-
- This rule is grounded in the principle that federal habeas courts
- sit to ensure that individuals are not imprisoned in violation of
- the Constitution-not to correct errors of fact. See, e.g., Moore
- v. Dempsey, 261 U. S. 86, 87-88 (1923) (Holmes, J.) ("[W]hat we
- have to deal with [on habeas review] is not the petitioners'
- innocence or guilt but solely the question whether their
- constitutional rights have been preserved"); Hyde v. Shine, 199
- U. S. 62, 84 (1905) ("[I]t is well settled that upon habeas
- corpus the court will not weigh the evidence") (emphasis in
- original); Ex parte Terry, 128 U. S. 289, 305 (1888) ("As the
- writ of habeas corpus does not perform the office of a writ of
- error or an appeal, [the facts establishing guilt] cannot be
- re-examined or reviewed in this collateral proceeding") (emphasis
- in original).
-
- More recent authority construing federal habeas statutes
- speaks in a similar vein. "Federal courts are not forums
- in which to relitigate state trials." Barefoot v. Estelle, 463
- U.S. 880, 887 (1983). The guilt or innocence determination in
- state criminal trials is "a decisive and portentous event."
- Wainwright v. Sykes, 433 U. S. 72, 90 (1977). "Society's
- resources have been concentrated at that time and place in order
- to decide, within the limits of human fallibility, the question
- of guilt or innocence of one of its citizens." Ibid. Few rulings
- would be more disruptive of our federal system than to provide
- for federal habeas review of free-standing claims of actual
- innocence.
-
- Our decision in Jackson v. Virginia, 443 U. S. 307
- (1979), comes as close to authorizing evidentiary review of a
- state court conviction on federal habeas as any of our cases.
- There, we held that a federal habeas court may review a claim
- that the evidence adduced at a state trial was not sufficient to
- convict a criminal defendant beyond a reasonable doubt. But in
- so holding, we emphasized: "[T]his inquiry does not require a
- court to `ask itself whether it believes that the evidence at the
- trial established guilt beyond a reasonable doubt.' Instead, the
- relevant question is whether, after viewing the evidence in the
- light most favorable to the prosecution, any rational trier of
- fact could have found the essential elements of the crime beyond
- a reasonable doubt. This familiar standard gives full play to
- the responsibility of the trier of fact fairly to resolve
- conflicts in the testimony, to weigh the evidence, and to draw
- reasonable inferences from basic facts to ultimate facts. Id., at
- 318-319 (citations omitted) (emphasis in original)." We
- specifically noted that "the standard announced . . . does not
- permit a court to make its own subjective determination of guilt
- or innocence." Id., at 320, n. 13.
-
- The type of federal habeas review sought by petitioner
- here is different in critical respects than that authorized by
- Jackson. First, the Jackson inquiry is aimed at determining
- whether there has been an independent constitutional violation-
- i.e., a conviction based on evidence that fails to meet the
- Winship standard. Thus, federal habeas courts act in their
- historic capacity- to assure that the habeas petitioner is not
- being held in violation of his or her federal constitutional
- rights. Second, the sufficiency of the evidence review
- authorized by Jackson is limited to -record evidence.- 443 U. S.,
- at 318. Jackson does not extend to nonrecord evidence, including
- newly discovered evidence. Finally, the Jackson inquiry does not
- focus on whether the trier of fact made the correct guilt or
- innocence determination, but rather whether it made a rational
- decision to convict or acquit.
-
- Petitioner is understandably imprecise in describing the
- sort of federal relief to which a suitable showing of actual
- innocence would entitle him. In his brief he states that the
- federal habeas court should have "an important initial
- opportunity to hear the evidence and resolve the merits
- of Petitioner's claim." Brief for Petitioner 42. Acceptance of
- this view would presumably require the habeas court
- to hear testimony from the witnesses who testified at trial as
- well as those who made the statements in the affidavits which
- petitioner has presented, and to determine anew whether or not
- petitioner is guilty of the murder of Officer Carrisalez.
- Indeed, the dissent's approach differs little from that
- hypothesized here.
-
- The dissent would place the burden on petitioner to show
- that he is -probably- innocent. Post, at 14-15. Although
- petitioner would not be entitled to discovery -as a matter of
- right,- the District Court would retain its "discretion to order
- discovery . . . when it would help the court make a reliable
- determination with respect to the prisoner's claim." Post, at 16.
- And although the District Court would not be required to hear
- testimony from the witnesses who testified at trial or the
- affiants upon whom petitioner relies, it would allow the District
- Court to do so "if the petition warrants a hearing." Post, at 16.
- At the end of the day, the dissent would have the District Court
- "make a case-by-case determination about the reliability of newly
- discovered evidence under the circumstances," and then "weigh the
- evidence in favor of the prisoner against the evidence of his
- guilt." Post, at 15.
-
- The dissent fails to articulate the relief that would be
- available if petitioner were to meets its "probable innocence"
- standard. Would it be commutation of petitioner's death
- sentence, new trial, or unconditional release from imprisonment?
- The typical relief granted in federal habeas corpus is a
- conditional order of release unless the State elects to retry the
- successful habeas petitioner, or in a capital case a similar
- conditional order vacating the death sentence. Were petitioner
- to satisfy the dissent's -probable innocence- standard,
- therefore, the District Court would presumably be required to
- grant a conditional order of relief, which would in effect
- require the State to retry petitioner 10 years after his first
- trial, not because of any constitutional violation which had
- occurred at the first trial, but simply because of a belief that
- in light of petitioner's new found evidence a jury might find him
- not guilty at a second trial.
-
- Yet there is no guarantee that the guilt or innocence
- determination would be any more exact. To the contrary, the
- passage of time only diminishes the reliability of criminal
- adjudications. See McCleskey v. Zant, 499 U. S. --- (1991)
- (slip op., at 22) ("[W]hen a habeas petitioner succeeds in
- obtaining a new trial, the `erosion of memory and dispersion of
- witnesses that occur with the passage of time' prejudice the
- government and diminish the chances of a reliable criminal
- adjudication") (quoting Kuhlmann v. Wilson, 477 U. S. 436, 453
- (1986) (plurality opinion) (internal quotation marks omitted;
- citation omitted)); United States v. Smith, 331 U. S. 469, 476
- (1947). Under the dissent's approach, the District Court would
- be placed in the even more difficult position of having to weigh
- the probative value of -hot- and -cold- evidence on petitioner's
- guilt or innocence.
-
- This is not to say that our habeas jurisprudence casts a
- blind eye towards innocence. In a series of cases culminating
- with Sawyer v. Whitley, 505 U. S. --- (1992), decided last Term,
- we have held that a petitioner otherwise subject to defenses of
- abusive or successive use of the writ may have his federal
- constitutional claim considered on the merits if he makes a
- proper showing of actual innocence. This rule, or fundamental
- miscarriage of justice exception, is grounded in the "equitable
- discretion" of habeas courts to see that federal constitutional
- errors do not result in the incarceration of innocent persons.
- See McCleskey, supra, at --- (slip op., at 33). But this body of
- our habeas jurisprudence makes clear that a claim of -actual
- innocence- is not itself a constitutional claim, but instead a
- gateway through which a habeas petitioner must pass to have his
- otherwise barred constitutional claim considered on the merits.
-
- Petitioner in this case is simply not entitled to habeas
- relief based on the reasoning of this line of cases. For he does
- not seek excusal of a procedural error so that he may bring an
- independent constitutional claim challenging his conviction or
- sentence, but rather argues that he is entitled to habeas relief
- because newly discovered evidence shows that his conviction is
- factually incorrect. The fundamental miscarriage of justice
- exception is available "only where the prisoner supplements his
- constitutional claim with a colorable showing of factual
- innocence." Kuhlmann, supra, at 454 (emphasis added). We have
- never held that it extends to free-standing claims of actual
- innocence. Therefore, the exception is inapplicable here.
-
- Petitioner asserts that this case is different because he
- has been sentenced to death. But we have "refused to hold that
- the fact that a death sentence has been imposed requires a
- different standard of review on federal habeas corpus." Murray v.
- Giarratano, 492 U. S. 1, 9 (1989) (plurality opinion). We have,
- of course, held that the Eighth Amendment requires increased
- reliability of the process by which capital punishment may be
- imposed. See, e.g., McKoy v. North Carolina, 494 U. S. 433
- (1990) (unanimity requirement impermissibly limits jurors'
- consideration of mitigating evidence); Eddings v. Oklahoma, 455
- U. S. 105 (1982) (jury must be allowed to consider all of a
- capital defendant's mitigating character evidence); Lockett v.
- Ohio, 438 U. S. 586, 604 (1978) (plurality opinion) (same). But
- petitioner's claim does not fit well into the doctrine of these
- cases, since, as we have pointed out, it is far from clear that a
- second trial 10 years after the first trial would produce a more
- reliable result.
-
- Perhaps mindful of this, petitioner urges not that he
- necessarily receive a new trial, but that his death sentence
- simply be vacated if a federal habeas court deems that a
- satisfactory showing of -actual innocence- has been made. Tr. of
- Oral Arg. 19-20. But such a result is scarcely logical;
- petitioner's claim is not that some error was made in imposing a
- capital sentence upon him, but that a fundamental error was made
- in finding him guilty of the underlying murder in the first
- place. It would be a rather strange jurisprudence, in these
- circumstances, which held that under our Constitution he could
- not be executed, but that he could spend the rest of his life in
- prison.
-
- Petitioner argues that our decision in Ford v.
- Wainwright, 477 U. S. 399 (1986), supports his position. The
- plurality in Ford held that, because the Eighth Amendment
- prohibits the execution of insane persons, certain procedural
- protections inhere in the sanity determination. "[I]f the
- Constitution renders the fact or timing of his execution
- contingent upon establishment of a further fact," Justice
- Marshall wrote, "then that fact must be determined with the high
- regard for truth that befits a decision affecting the life or
- death of a human being." Id., at 411. Because the Florida scheme
- for determining the sanity of persons sentenced to death failed
- "to achieve even the minimal degree of reliability," id., at 413,
- the plurality concluded that Ford was entitled to an evidentiary
- hearing on his sanity before the District Court.
-
- Unlike petitioner here, Ford did not challenge the
- validity of his conviction. Rather, he challenged the
- constitutionality of his death sentence in view of his claim of
- insanity. Because Ford's claim went to a matter of
- punishment-not guilt-it was properly examined within the purview
- of the Eighth Amendment. Moreover, unlike the question of guilt
- or innocence, which becomes more uncertain with time for
- evidentiary reasons, the issue of sanity is properly considered
- in proximity to the execution. Finally, unlike the sanity
- determination under the Florida scheme at issue in Ford, the
- guilt or innocence determination in our system of criminal
- justice is made "with the high regard for truth that befits a
- decision affecting the life or death of a human being." Id., at
- 411.
-
- Petitioner also relies on Johnson v. Mississippi, 486
- U.S. 578 (1988), where we held that the Eighth Amendment requires
- reexamination of a death sentence based in part on a prior felony
- conviction which was set aside in the rendering State after the
- capital sentence was imposed. There, the State insisted that it
- was too late in the day to raise this point. But we pointed out
- that the Mississippi Supreme Court had previously considered
- similar claims by writ of error coram nobis. Thus, there was no
- need to override state law relating to newly discovered evidence
- in order to consider Johnson's claim on the merits. Here, there
- is no doubt that petitioner seeks additional process -an
- evidentiary hearing on his claim of -actual innocence- based on
- newly discovered evidence- which is not available under Texas law
- more than 30 days after imposition or suspension of sentence.
- Tex. Rule App. Proc. 31(a)(1) (1992).
-
- Alternatively, petitioner invokes the Fourteenth
- Amendment's guarantee of due process of law in support
- of his claim that his showing of actual innocence entitles him to
- a new trial, or at least to a vacation of his death sentence.
- "[B]ecause the States have considerable expertise in matters of
- criminal procedure and the criminal process is grounded in
- centuries of common-law tradition," we have "exercis[ed]
- substantial deference to legislative judgments in this area."
- Medina v. California, 505 U. S. ---, --- (1992) (slip op., at
- 7-8). Thus, we have found criminal process lacking only where it
- -`offends some principle of justice so rooted in the traditions
- and conscience of our people as to be ranked as fundamental.'-
- Ibid. (quoting Patterson v. New York, 432 U. S. 197, 202 (1977)).
- "Historical practice is probative of whether a procedural rule
- can be characterized as fundamental." 505 U. S., at ---.
-
- The Constitution itself, of course, makes no mention of
- new trials. New trials in criminal cases were not granted in
- England until the end of the 17th century. And even then, they
- were available only in misdemeanor cases, though the writ of
- error coram nobis was available for some errors of fact in felony
- cases. Orfield, New Trial in Federal Criminal Cases, 2 Vill. L.
- Rev. 293, 304 (1957). The First Congress provided for new trials
- for "reasons for which new trials have usually been granted in
- courts of law." Act of Sept. 24, 1789, ch. 20, 17, 1 Stat. 83.
- This rule was early held to extend to criminal cases. See Sparf
- and Hansen v. United States, 156 U. S. 51, 175 (1895) (Gray, J.,
- dissenting) (citing cases). One of the grounds upon which new
- trials were granted was newly discovered evidence. See F.
- Wharton, Criminal Pleading and Practice 854-874, pp. 584-592 (8th
- ed. 1880).
-
- The early federal cases adhere to the common-law rule
- that a new trial may be granted only during the term of court in
- which the final judgment was entered. See, e.g., United States
- v. Mayer, 235 U. S. 55, 67 (1914); United States v. Simmons, 27
- F. Cas. 1080, (No. 16,289) (CCEDNY 1878). Otherwise, "the court
- at a subsequent term has power to correct inaccuracies in mere
- matters of form, or clerical errors." 235 U. S., at 67. In 1934,
- this Court departed from the common-law rule and adopted a time
- limit-60 days after final judgment-for filing new trial motions
- based on newly discovered evidence. Rule II(3), Criminal Rules
- of Practice and Procedure, 292 U. S. 659, 662. Four years later,
- we amended Rule II(3) to allow such motions in capital cases "at
- any time" before the execution took place. 304 U. S. 592, 592
- (1938) (codified at 18 U. S. C. 688 (1940)).
-
- There ensued a debate as to whether this Court should
- abolish the time limit for filing new trial motions based on
- newly discovered evidence to prevent a miscarriage of justice, or
- retain a time limit even in capital cases to promote finality.
- See Orfield, supra, at 299-304. In 1945, we set a two-year time
- limit for filing new trial motions based on newly discovered
- evidence and abolished the exception for capital cases. Rule 33,
- Federal Rules of Criminal Procedure, 327 U. S. 821, 855-856 ("A
- motion for new trial based on the ground of newly discovered
- evidence may be made only before or within two years after final
- judgment"). We have strictly construed the Rule 33 time limits.
- Cf. United States v. Smith, 331 U.S. 469, 473 (1947). And the
- Rule's treatment of new trials based on newly discovered evidence
- has not changed since its adoption.
-
- The American Colonies adopted the English common law
- on new trials. Riddell, New Trial in Present Practice, 27 Yale
- L. J. 353, 360 (1917). Thus, where new trials were available,
- motions for such relief typically had to be filed before the
- expiration of the term during which the trial was held. H.
- Underhill, Criminal Evidence 579, n. 1 (1898); J. Bassett,
- Criminal Pleading and Practice 313 (1885). Over time, many
- States enacted statutes providing for new trials in all types of
- cases. Some States also extended the time period for filing new
- trial motions beyond the term of court, but most States required
- that such motions be made within a few days after the verdict was
- rendered or before the judgment was entered. See American Law
- Institute Code of Criminal Procedure 1040-1042 (Official Draft
- 1931) (reviewing contemporary new trials rules).
-
- The practice in the States today, while of limited
- relevance to our historical inquiry, is divergent. Texas is one
- of 17 States that requires a new trial motion based on newly
- discovered evidence to be made within 60 days of judgment. One
- State adheres to the common-law rule and requires that such a
- motion be filed during the term in which judgment was rendered.
- Eighteen jurisdictions have time limits ranging between 1 and 3
- years, with 10 States and the District of Columbia following the
- 2-year federal time limit. Only 15 States allow a new trial
- motion based on newly discovered evidence to be filed more than 3
- years after conviction. Of these States, 4 have waivable time
- limits of less than 120 days, 2 have waivable time limits of more
- than 120 days, and 9 States have no time limits.
-
- In light of the historical availability of new trials,
- our own amendments to Rule 33, and the contemporary
- practice in the States, we cannot say that Texas' refusal to
- entertain petitioner's newly discovered evidence eight years
- after his conviction transgresses a principle of fundamental
- fairness "rooted in the traditions and conscience of our people."
- Patterson v. New York, 432 U. S., at 202 (internal quotation
- marks and citations omitted). This is not to say, however, that
- petitioner is left without a forum to raise his actual innocence
- claim. For under Texas law, petitioner may file a request for
- executive clemency. See Tex. Const., Art. IV., 11; Tex. Code
- Crim. Proc. Ann., Art. 48.01 (Vernon 1979). Clemency is deeply
- rooted in our Anglo-American tradition of law, and is the
- historic remedy for preventing miscarriages of justice where
- judicial process has been exhausted.
-
- In England, the clemency power was vested in the Crown
- and can be traced back to the 700's. W. Humbert, The Pardoning
- Power of the President 9 (1941). Blackstone thought this "one of
- the great advantages of monarchy in general, above any other form
- of government; that there is a magistrate, who has it in his
- power to extend mercy, wherever he thinks it is deserved: holding
- a court of equity in his own breast, to soften the rigour of the
- general law, in such criminal cases as merit an exemption from
- punishment." 4 W. Blackstone, Commentaries *397. Clemency
- provided the principal avenue of relief for individuals convicted
- of criminal offenses -most of which were capital- because there
- was no right of appeal until 1907. 1 L. Radzinowicz, A History
- of English Criminal Law 122 (1948). It was the only means by
- which one could challenge his conviction on the ground of
- innocence. United States Dept. of Justice, 3 Attorney General's
- Survey of Release Procedures 73 (1939).
-
- Our Constitution adopts the British model and gives to
- the President the "Power to grant Reprieves and Pardons
- for Offences against the United States." Art. II, 2, cl. 1. In
- United States v. Wilson, 7 Pet. 150, 160-161 (1833), Chief
- Justice Marshall expounded on the President's pardon power:
-
- As this power had been exercised from time immemorial
- by the executive of that nation whose language is our
- language, and to whose judicial institutions ours bears
- a close resemblance; we adopt their principles
- respecting the operation and effect of a pardon, and
- look into their books for the rules prescribing the
- manner in which it is to be used by the person who
- would avail himself of it.
-
- A pardon is an act of grace, proceeding from the power
- entrusted with the execution of the laws, which exempts
- the individual, on whom it is bestowed, from the
- punishment the law inflicts for a crime he has
- committed. It is the private, though official act of
- the executive magistrate, delivered to the individual
- for whose benefit it is intended, and not communicated
- officially to the court. It is a constituent part of
- the judicial system, that the judge sees only with
- judicial eyes, and knows nothing respecting any
- particular case, of which he is not informed
- judicially. A private deed, not communicated to him,
- whatever may be its character, whether a pardon or
- release, is totally unknown and cannot be acted on.
- The looseness which would be introduced into judicial
- proceedings, would prove fatal to the great principles
- of justice, if the judge might notice and act upon
- facts not brought regularly into the cause. Such a
- proceeding, in ordinary cases, would subvert the best
- established principles, and overturn those rules which
- have been settled by the wisdom of ages.
-
- See also Ex parte Garland, 4 Wall. 333, 380-381 (1867); The
- Federalist No. 74, pp. 447-449 (C. Rossiter ed. 1961) (A.
- Hamilton) ("The criminal code of every country partakes so much
- of necessary severity that without an easy access to exceptions
- in favor of unfortunate guilt, justice would wear a countenance
- too sanguinary and cruel").
-
- Of course, although the Constitution vests in the
- President a pardon power, it does not require the States to enact
- a clemency mechanism. Yet since the British Colonies were
- founded, clemency has been available in America. C. Jensen, The
- Pardoning Power in the American States 3-4 (1922). The original
- States were reluctant to vest the clemency power in the
- executive. And although this power has gravitated toward the
- executive over time, several States have split the clemency power
- between the Governor and an advisory board selected by the
- legislature. See Survey of Release Procedures, supra, at 91-98.
- Today, all 36 States that authorize capital punishment have
- constitutional or statutory provisions for clemency.
-
- Executive clemency has provided the -fail safe- in our
- criminal justice system. K. Moore, Pardons: Justice, Mercy, and
- the Public Interest 131 (1989). It is an unalterable fact that
- our judicial system, like the human beings who administer it, is
- fallible. But history is replete with examples of wrongfully
- convicted persons who have been pardoned in the wake of
- after-discovered evidence establishing their innocence. In his
- classic work, Professor Edwin Borchard compiled 65 cases in which
- it was later determined that individuals had been wrongfully
- convicted of crimes. Clemency provided the relief mechanism in
- 47 of these cases; the remaining cases ended in judgments of
- acquittals after new trials. E. Borchard, Convicting the Innocent
- (1932). Recent authority confirms that over the past century
- clemency has been exercised frequently in capital cases in which
- demonstrations of -actual innocence- have been made. See
- M. Radelet, H. Bedau, & C. Putnam, In Spite of Innocence 282-356
- (1992).
-
- In Texas, the Governor has the power, upon the
- recommendation of a majority of the Board of Pardons and Paroles,
- to grant clemency. Tex. Const., Art. IV, 11; Tex. Code Crim.
- Proc. Ann.; Art. 48.01 (Vernon 1979). The board's consideration
- is triggered upon request of the individual sentenced to death,
- his or her representative, or the Governor herself. In capital
- cases, a request may be made for a full pardon, Tex. Admin. Code,
- Tit. 37, 143.1 (West Supp. 1992), a commutation of death sentence
- to life imprisonment or appropriate maximum penalty, 143.57, or a
- reprieve of execution, 143.43. The Governor has the sole
- authority to grant one reprieve in any capital case not exceeding
- 30 days. 143.41(a).
-
- The Texas clemency procedures contain specific guidelines
- for pardons on the ground of innocence. The board will entertain
- applications for a recommendation of full pardon because of
- innocence upon receipt of the following: "(1) a written unanimous
- recommendation of the current trial officials of the court of
- conviction; and/or (2) a certified order or judgment of a court
- having jurisdiction accompanied by certified copy of the findings
- of fact (if any); and (3) affidavits of witnesses upon which the
- finding of innocence is based." 143.2. In this case, petitioner
- has apparently sought a 30-day reprieve from the Governor, but
- has yet to apply for a pardon, or even a commutation, on the
- ground of innocence or otherwise. Tr. of Oral Arg. 7, 34.
-
- As the foregoing discussion illustrates, in state
- criminal proceedings the trial is the paramount event for
- determining the guilt or innocence of the defendant. Federal
- habeas review of state convictions has traditionally been limited
- to claims of constitutional violations occurring in the course of
- the underlying state criminal proceedings. Our federal habeas
- cases have treated claims of -actual innocence,- not as an
- independent constitutional claim, but as a basis upon which a
- habeas petitioner may have an independent constitutional claim
- considered on the merits, even though his habeas petition would
- otherwise be regarded as successive or abusive. History shows
- that the traditional remedy for claims of innocence based on new
- evidence, discovered too late in the day to file a new trial
- motion, has been executive clemency.
-
- We may assume, for the sake of argument in deciding
- this case, that in a capital case a truly persuasive
- demonstration of -actual innocence- made after trial would render
- the execution of a defendant unconstitutional, and warrant
- federal habeas relief if there were no state avenue open to
- process such a claim. But because of the very disruptive effect
- that entertaining claims of actual innocence would have on the
- need for finality in capital cases, and the enormous burden that
- having to retry cases based on often stale evidence would place
- on the States, the threshold showing for such an assumed right
- would necessarily be extraordinarily high. The showing made by
- petitioner in this case falls far short of any such threshold.
-
- Petitioner's newly discovered evidence consists of
- affidavits. In the new trial context, motions based solely upon
- affidavits are disfavored because the affiants' statements are
- obtained without the benefit of cross- examination and an
- opportunity to make credibility determinations. See Orfield, 2
- Vill. L. Rev., at 333. Petitioner's affidavits are particularly
- suspect in this regard because, with the exception of Raul
- Herrera, Jr.'s, affidavit, they consist of hearsay. Likewise, in
- reviewing petitioner's new evidence, we are mindful that
- defendants often abuse new trial motions "as a method of delaying
- enforcement of just sentences." United States v. Johnson, 327 U.
- S. 106, 112 (1946). Although we are not presented with a new
- trial motion per se, we believe the likelihood of abuse is as
- great-or greater-here.
-
- The affidavits filed in this habeas proceeding were given
- over eight years after petitioner's trial. No satisfactory
- explanation has been given as to why the affiants waited until
- the 11th hour-and, indeed, until after the alleged perpetrator of
- the murders himself was dead-to make their statements. Cf.
- Taylor v. Illinois, 484 U. S. 400, 414 (1988) ("[I]t is . . .
- reasonable to presume that there is something suspect about a
- defense witness who is not identified until after the 11th hour
- has passed"). Equally troubling, no explanation has been offered
- as to why petitioner, by hypothesis an innocent man, pleaded
- guilty to the murder of Rucker.
-
- Moreover, the affidavits themselves contain
- inconsistencies, and therefore fail to provide a convincing
- account of what took place on the night Officers Rucker and
- Carrisalez were killed. For instance, the affidavit of Raul Jr.,
- who was nine years old at the time, indicates that there were
- three people in the speeding car from which the murderer emerged,
- whereas Hector Villarreal attested that Raul Sr. told him that
- there were two people in the car that night. Of course,
- Hernandez testified at petitioner's trial that the murderer was
- the only occupant of the car. The affidavits also conflict as to
- the direction in which the vehicle was heading when the murders
- took place, and petitioner's whereabouts on the night of the
- killings.
-
- Finally, the affidavits must be considered in light of
- the proof of petitioner's guilt at trial-proof which included two
- eyewitness identifications, numerous pieces of circumstantial
- evidence, and a handwritten letter in which petitioner apologized
- for killing the officers and offered to turn himself in under
- certain conditions. See supra, at 2-3, and n. 1. That proof,
- even when considered along- side petitioner's belated affidavits,
- points strongly to petitioner's guilt.
-
- /* This opinion continues. */
-