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- NOTICE: This opinion is subject to formal revision before publication in the
- preliminary print of the United States Reports. Readers are requested to
- notify the Reporter of Decisions, Supreme Court of the United States, Wash-
- ington, D.C. 20543, of any typographical or other formal errors, in order that
- corrections may be made before the preliminary print goes to press.
- SUPREME COURT OF THE UNITED STATES
- --------
- Nos. 92-8894 and 92-9049
- --------
- CLARENCE VICTOR, PETITIONER
- 92-8894 v.
- NEBRASKA
- on writ of certiorari to the supreme court of ne-
- braska
-
- ALFRED ARTHUR SANDOVAL, PETITIONER
- 92-9049 v.
- CALIFORNIA
- on writ of certiorari to the supreme court of
- california
- [March 22, 1994]
-
- Justice O'Connor delivered the opinion of the Court.
- The government must prove beyond a reasonable doubt
- every element of a charged offense. In re Winship, 397
- U. S. 358 (1970). Although this standard is an ancient
- and honored aspect of our criminal justice system, it defies
- easy explication. In these cases, we consider the constitu-
- tionality of two attempts to define -reasonable doubt.-
- I
- The beyond a reasonable doubt standard is a require-
- ment of due process, but the Constitution neither
- prohibits trial courts from defining reasonable doubt nor
- requires them to do so as a matter of course. Cf. Hopt
- v. Utah, 120 U. S. 430, 440-441 (1887). Indeed, so long
- as the court instructs the jury on the necessity that the
- defendant's guilt be proven beyond a reasonable doubt,
- see Jackson v. Virginia, 443 U. S. 307, 320, n. 14
- (1979), the Constitution does not require that any
- particular form of words be used in advising the jury of
- the government's burden of proof. Cf. Taylor v. Ken-
- tucky, 436 U. S. 478, 485-486 (1978). Rather, -taken as
- a whole, the instructions [must] correctly conve[y] the
- concept of reasonable doubt to the jury.- Holland v.
- United States, 348 U. S. 121, 140 (1954).
- In only one case have we held that a definition of
- reasonable doubt violated the Due Process Clause. Cage
- v. Louisiana, 498 U. S. 39 (1990) (per curiam). There,
- the jurors were told:
- -`[A reasonable doubt] is one that is founded upon
- a real tangible substantial basis and not upon mere
- caprice and conjecture. It must be such doubt as
- would give rise to a grave uncertainty, raised in your
- mind by reasons of the unsatisfactory character of
- the evidence or lack thereof. A reasonable doubt is
- not a mere possible doubt. It is an actual substan-
- tial doubt. It is a doubt that a reasonable man can
- seriously entertain. What is required is not an
- absolute or mathematical certainty, but a moral
- certainty.'- Id., at 40 (emphasis added by this
- Court in Cage).
- We held that the highlighted portions of the instruction
- rendered it unconstitutional:
- -It is plain to us that the words `substantial' and
- `grave,' as they are commonly understood, suggest a
- higher degree of doubt than is required for acquittal
- under the reasonable doubt standard. When those
- statements are then considered with the reference to
- `moral certainty,' rather than evidentiary certainty,
- it becomes clear that a reasonable juror could have
- interpreted the instruction to allow a finding of guilt
- based on a degree of proof below that required by
- the Due Process Clause.- Id., at 41.
- In a subsequent case, we made clear that the proper
- inquiry is not whether the instruction -could have- been
- applied in unconstitutional manner, but whether there
- is a reasonable likelihood that the jury did so apply it.
- Estelle v. McGuire, 502 U. S. ___, ___, and n. 4 (1991)
- (slip op., at 9, and n. 4). The constitutional question in
- the present cases, therefore, is whether there is a
- reasonable likelihood that the jury understood the
- instructions to allow conviction based on proof insuffi-
- cient to meet the Winship standard. Although other
- courts have held that instructions similar to those given
- at petitioners' trials violate the Due Process Clause, see
- State v. Bryant, 334 N. C. 333, 432 S. E. 2d 291 (1993),
- cert. pending, No. 93-753; Morley v. Stenberg, 828
- F. Supp. 1413 (Neb. 1993), both the Nebraska and the
- California Supreme Courts held that the instructions
- were constitutional. We granted certiorari, 509 U. S.
- ___ (1993), and now affirm both judgments.
-
- II
- On October 14, 1984, petitioner Sandoval shot three
- men, two of them fatally, in a gang-related incident in
- Los Angeles. About two weeks later, he entered the
- home of a man who had given information to the police
- about the murders and shot him dead; Sandoval then
- killed the man's wife because she had seen him murder
- her husband. Sandoval was convicted on four counts of
- first degree murder. The jury found that Sandoval
- personally used a firearm in the commission of each
- offense, and found the special circumstance of multiple
- murder. Cal. Penal Code Ann. 12022.5 (West 1992)
- and Cal. Penal Code Ann. 190.2(a)(3) (West 1988). He
- was sentenced to death for murdering the woman and to
- life in prison without possibility of parole for the other
- three murders. The California Supreme Court affirmed
- the convictions and sentences. 4 Cal. 4th 155 (1992),
- modified, 4 Cal. 4th 928a, 841 P. 2d 862 (1993).
- The jury in Sandoval's case was given the following
- instruction on the government's burden of proof:
- -A defendant in a criminal action is presumed to
- be innocent until the contrary is proved, and in case
- of a reasonable doubt whether his guilt is satisfacto-
- rily shown, he is entitled to a verdict of not guilty.
- This presumption places upon the State the burden
- of proving him guilty beyond a reasonable doubt.
- -Reasonable doubt is defined as follows: It is not
- a mere possible doubt; because everything relating to
- human affairs, and depending on moral evidence, is
- open to some possible or imaginary doubt. It is that
- state of the case which, after the entire comparison
- and consideration of all the evidence, leaves the
- minds of the jurors in that condition that they
- cannot say they feel an abiding conviction, to a
- moral certainty, of the truth of the charge.- App. in
- No. 92-9049, p. 49 (emphasis added) (Sandoval
- App.).
- The California Supreme Court rejected Sandoval's claim
- that the instruction, particularly the highlighted pas-
- sages, violated the Due Process Clause. 4 Cal. 4th, at
- 185-186, 841 P. 2d, at 878.
- The instruction given in Sandoval's case has its
- genesis in a charge given by Chief Justice Shaw of the
- Massachusetts Supreme Judicial Court more than a
- century ago:
- -[W]hat is reasonable doubt? It is a term often
- used, probably pretty well understood, but not easily
- defined. It is not mere possible doubt; because
- every thing relating to human affairs, and depending
- on moral evidence, is open to some possible or
- imaginary doubt. It is that state of the case, which,
- after the entire comparison and consideration of all
- the evidence, leaves the minds of jurors in that
- condition that they cannot say they feel an abiding
- conviction, to a moral certainty, of the truth of the
- charge. The burden of proof is upon the prosecutor.
- All the presumptions of law independent of evidence
- are in favor of innocence; and every person is
- presumed to be innocent until he is proved guilty.
- If upon such proof there is reasonable doubt remain-
- ing, the accused is entitled to the benefit of it by an
- acquittal. For it is not sufficient to establish a
- probability, though a strong one arising from the
- doctrine of chances, that the fact charged is more
- likely to be true than the contrary; but the evidence
- must establish the truth of the fact to a reasonable
- and moral certainty; a certainty that convinces and
- directs the understanding, and satisfies the reason
- and judgment, of those who are bound to act consci-
- entiously upon it. This we take to be proof beyond
- reasonable doubt.- Commonwealth v. Webster, 59
- Mass. 295, 320 (1850).
- The Webster charge is representative of the time when
- -American courts began applying [the beyond a reason-
- able doubt standard] in its modern form in criminal
- cases.- Apodaca v. Oregon, 406 U. S. 404, 412, n. 6
- (1972) (plurality opinion). See also Perovich v. United
- States, 205 U. S. 86, 92 (1907) (approving Webster
- charge). In People v. Strong, 30 Cal. 151, 155 (1866),
- the California Supreme Court characterized the Webster
- instruction as -probably the most satisfactory definition
- ever given to the words `reasonable doubt' in any case
- known to criminal jurisprudence.- In People v. Paulsell,
- 115 Cal. 6, 12, 46 P. 734 (1896), the court cautioned
- state trial judges against departing from that formula-
- tion. And in 1927, the state legislature adopted the
- bulk of the Webster instruction as a statutory definition
- of reasonable doubt. Cal. Penal Code Ann. 1096 (West
- 1985); see California Jury Instructions, Criminal, No.
- 2.90 (4th ed. 1979). Indeed, the California Legislature
- has directed that -the court may read to the jury section
- 1096 of this code, and no further instruction on the
- subject of the presumption of innocence or defining
- reasonable doubt need be given.- 1096a. The statu-
- tory instruction was given in Sandoval's case.
- The California instruction was criticized in People v.
- Brigham, 25 Cal. 3d 283, 292-316, 599 P. 2d 100,
- 106-121 (1979) (Mosk, J., concurring). Justice Mosk
- apparently did not think the instruction was unconstitu-
- tional, but he -urge[d] the Legislature to reconsider its
- codification.- Id., at 293, 599 P. 2d, at 106. The
- California Assembly and Senate responded by requesting
- the committee on jury instructions of the Los Angeles
- Superior Court -to study alternatives to the definition of
- `reasonable doubt' set forth in Section 1096 of the Penal
- Code, and to report its findings and recommendations to
- the Legislature.- Cal. Assem. Con. Res. No. 148, 1986
- Cal. Stats. 5634. The committee recommended that the
- legislature retain the statutory definition unmodified, see
- Alternative Definitions of Reasonable Doubt: A Report of
- the Committee on Standard Jury Instructions-Criminal
- to the California Legislature (May 22, 1987), and 1096
- has not been changed.
-
- A
- Sandoval's primary objection is to the use of the
- phrases -moral evidence- and -moral certainty- in the
- instruction. As noted, this part of the charge was lifted
- verbatim from Chief Justice Shaw's Webster decision;
- some understanding of the historical context in which
- that instruction was written is accordingly helpful in
- evaluating its continuing validity.
- By the beginning of the Republic, lawyers had bor-
- rowed the concept of -moral evidence- from the philoso-
- phers and historians of the 17th and 18th centuries.
- See generally B. Shapiro, -Beyond Reasonable Doubt-
- and -Probable Cause-: Historical Perspectives on the
- Anglo-American Law of Evidence, ch. 1 (1991). James
- Wilson, who was instrumental in framing the Constitu-
- tion and who served as one of the original Members of
- this Court, explained in a 1790 lecture on law that
- -evidence . . . is divided into two species-demonstrative
- and moral.- 1 Works of James Wilson 518 (J. Andrews
- ed. 1896). Wilson went on to explain the distinction
- thus:
- -Demonstrative evidence has for its subject ab-
- stract and necessary truths, or the unchangeable
- relations of ideas. Moral evidence has for its subject
- the real but contingent truths and connections,
- which take place among things actually existing. . . .
- . . . . .
- -In moral evidence, there not only may be, but
- there generally is, contrariety of proofs: in demon-
- strative evidence, no such contrariety can take
- place. . . . [T]o suppose that two contrary demon-
- strations can exist, is to suppose that the same
- proposition is both true and false: which is mani-
- festly absurd. With regard to moral evidence, there
- is, for the most part, real evidence on both sides.
- On both sides, contrary presumptions, contrary
- testimonies, contrary experiences must be balanced.-
- Id., at 518-519.
- A leading 19th century treatise observed that -[m]atters
- of fact are proved by moral evidence alone; . . . [i]n the
- ordinary affairs of life, we do not require demonstrative
- evidence, . . . and to insist upon it would be unreason-
- able and absurd.- 1 S. Greenleaf, Law of Evidence 3-4
- (13th ed. 1876).
- The phrase -moral certainty- shares an epistemological
- pedigree with moral evidence. See generally Shapiro,
- -To A Moral Certainty-: Theories of Knowledge and
- Anglo-American Juries 1600-1850, 38 Hastings L. J. 153
- (1986). Moral certainty was the highest degree of
- certitude based on such evidence. In his 1790 lecture,
- James Wilson observed:
- -In a series of moral evidence, the inference drawn
- in the several steps is not necessary; nor is it
- impossible that the premises should be true, while
- the conclusion drawn from them is false.
- -. . . In moral evidence, we rise, by an insensible
- gradation, from possibility to probability, and from
- probability to the highest degree of moral certainty.-
- 1 Works of James Wilson, supra, at 519.
- At least one early treatise explicitly equated moral
- certainty with proof beyond a reasonable doubt:
- -Evidence which satisfies the minds of the jury of
- the truth of the fact in dispute, to the entire exclu-
- sion of every reasonable doubt, constitutes full proof
- of the fact. . . . Even the most direct evidence can
- produce nothing more than such a high degree of
- probability as amounts to moral certainty. From the
- highest degree it may decline, by an infinite number
- of gradations, until it produce in the mind nothing
- more than a mere preponderance of assent in favour
- of the particular fact.- T. Starkie, Law of Evidence
- 478 (2d ed. 1833).
- See also Greenleaf, supra, at 4 (-The most that can be
- affirmed of [things proven by moral evidence] is, that
- there is no reasonable doubt concerning them-).
- Thus, when Chief Justice Shaw penned the Webster
- instruction in 1850, moral certainty meant a state of
- subjective certitude about some event or occurrence. As
- the Massachusetts Supreme Judicial Court subsequently
- explained:
- -Proof `beyond a reasonable doubt' . . . is proof `to
- a moral certainty,' as distinguished from an absolute
- certainty. As applied to a judicial trial for crime,
- the two phrases are synonymous and equivalent;
- each has been used by eminent judges to explain the
- other; and each signifies such proof as satisfies the
- judgment and consciences of the jury, as reasonable
- men, and applying their reason to the evidence
- before them, that the crime charged has been
- committed by the defendant, and so satisfies them
- as to leave no other reasonable conclusion possible.-
- Commonwealth v. Costley, 118 Mass. 1, 24 (1875).
- Indeed, we have said that -[p]roof to a `moral certainty'
- is an equivalent phrase with `beyond a reasonable
- doubt.'- Fidelity Mut. Life Assn. v. Mettler, 185 U. S.
- 308, 317 (1902), citing Commonwealth v. Costley, supra.
- See also Wilson v. United States, 232 U. S. 563, 570
- (1914) (approving reasonable doubt instruction cast in
- terms of moral certainty); Miles v. United States, 103
- U. S. 304, 309, 312 (1881).
- We recognize that the phrase -moral evidence- is not
- a mainstay of the modern lexicon, though we do not
- think it means anything different today than it did in
- the 19th century. The few contemporary dictionaries
- that define moral evidence do so consistently with its
- original meaning. See, e.g., Webster's New Twentieth
- Century Dictionary 1168 (2d ed. 1979) (-based on
- general observation of people, etc. rather than on what
- is demonstrable-); Collins English Dictionary 1014 (3d
- ed. 1991) (similar); 9 Oxford English Dictionary 1070 (2d
- ed. 1989) (similar).
- Moreover, the instruction itself gives a definition of
- the phrase. The jury was told that -everything relating
- to human affairs, and depending on moral evidence, is
- open to some possible or imaginary doubt--in other
- words, that absolute certainty is unattainable in matters
- relating to human affairs. Moral evidence, in this
- sentence, can only mean empirical evidence offered to
- prove such matters-the proof introduced at trial.
- This conclusion is reinforced by other instructions
- given in Sandoval's case. The judge informed the jurors
- that their duty was -to determine the facts of the case
- from the evidence received in the trial and not from any
- other source.- Sandoval App. 38. The judge continued:
- -Evidence consists of testimony of witnesses, writings,
- material objects, or anything presented to the senses
- and offered to prove the existence or non-existence of a
- fact.- Id., at 40. The judge also told the jurors that
- -you must not be influenced by pity for a defendant or
- by prejudice against him,- and that -[y]ou must not be
- swayed by mere sentiment, conjecture, sympathy,
- passion, prejudice, public opinion or public feeling.- Id.,
- at 39. These instructions correctly pointed the jurors'
- attention to the facts of the case before them, not (as
- Sandoval contends) the ethics or morality of Sandoval's
- criminal acts. Accordingly, we find the reference to
- moral evidence unproblematic.
- We are somewhat more concerned with Sandoval's
- argument that the phrase -moral certainty- has lost its
- historical meaning, and that a modern jury would
- understand it to allow conviction on proof that does not
- meet the beyond a reasonable doubt standard. Words
- and phrases can change meaning over time: a passage
- generally understood in 1850 may be incomprehensible
- or confusing to a modern juror. And although some
- contemporary dictionaries contain definitions of moral
- certainty similar to the 19th century understanding of
- the phrase, see Webster's Third New International
- Dictionary 1468 (unabridged 1981) (-virtual rather than
- actual, immediate, or completely demonstrable-); 9
- Oxford English Dictionary, supra, at 1070 (-a degree of
- probability so great as to admit of no reasonable doubt-),
- we are willing to accept Sandoval's premise that -moral
- certainty,- standing alone, might not be recognized by
- modern jurors as a synonym for -proof beyond a reason-
- able doubt.- But it does not necessarily follow that the
- California instruction is unconstitutional.
- Sandoval first argues that moral certainty would be
- understood by modern jurors to mean a standard of
- proof lower than beyond a reasonable doubt. In support
- of this proposition, Sandoval points to contemporary
- dictionaries that define moral certainty in terms of
- probability. E.g., Webster's New Twentieth Century
- Dictionary, supra, at 1168 (-based on strong probabil-
- ity-); Random House Dictionary of the English Language
- 1249 (2d ed. 1983) (-resting upon convincing grounds of
- probability-). But the beyond a reasonable doubt
- standard is itself probabilistic. -[I]n a judicial proceed-
- ing in which there is a dispute about the facts of some
- earlier event, the factfinder cannot acquire unassailably
- accurate knowledge of what happened. Instead, all the
- factfinder can acquire is a belief of what probably
- happened.- In re Winship, 397 U. S., at 370 (Harlan, J.,
- concurring) (emphasis in original). The problem is not
- that moral certainty may be understood in terms of
- probability, but that a jury might understand the phrase
- to mean something less than the very high level of
- probability required by the Constitution in criminal
- cases.
- Although in this respect moral certainty is ambiguous
- in the abstract, the rest of the instruction given in
- Sandoval's case lends content to the phrase. The jurors
- were told that they must have -an abiding conviction, to
- a moral certainty, of the truth of the charge.- Sandoval
- App. 49. An instruction cast in terms of an abiding
- conviction as to guilt, without reference to moral
- certainty, correctly states the government's burden of
- proof. Hopt v. Utah, 120 U. S., at 439 (-The word
- `abiding' here has the signification of settled and fixed,
- a conviction which may follow a careful examination and
- comparison of the whole evidence-); see Criminal Jury
- Instructions: District of Columbia 46 (3d H. Greene & T.
- Guidoboni ed. 1978). And the judge had already
- informed the jury that matters relating to human affairs
- are proven by moral evidence, see supra, at 9; giving the
- same meaning to the word moral in this part of the
- instruction, moral certainty can only mean certainty
- with respect to human affairs. As used in this instruc-
- tion, therefore, we are satisfied that the reference to
- moral certainty, in conjunction with the abiding convic-
- tion language, -impress[ed] upon the factfinder the need
- to reach a subjective state of near certitude of the guilt
- of the accused.- Jackson v. Virginia, 443 U. S., at 315.
- Accordingly, we reject Sandoval's contention that the
- moral certainty element of the California instruction
- invited the jury to convict him on proof below that
- required by the Due Process Clause.
- Sandoval's second argument is a variant of the first.
- Accepting that the instruction requires a high level of
- confidence in the defendant's guilt, Sandoval argues that
- a juror might be convinced to a moral certainty that the
- defendant is guilty even though the government has
- failed to prove his guilt beyond a reasonable doubt. A
- definition of moral certainty in a widely used modern
- dictionary lends support to this argument, see The
- American Heritage Dictionary of the English Language
- 1173 (3d ed. 1992) (-Based on strong likelihood or firm
- conviction, rather than on the actual evidence-), and we
- do not gainsay its force. As we have noted, -[t]he
- constitutional standard recognized in the Winship case
- was expressly phrased as one that protects an accused
- against a conviction except on `proof beyond a reasonable
- doubt.'- Jackson v. Virginia, supra, at 315 (emphasis in
- original). Indeed, in Cage we contrasted -moral cer-
- tainty- with -evidentiary certainty.- 498 U. S., at 41.
- But the moral certainty language cannot be seques-
- tered from its surroundings. In the Cage instruction,
- the jurors were simply told that they had to be morally
- certain of the defendant's guilt; there was nothing else
- in the instruction to lend meaning to the phrase. Not
- so here. The jury in Sandoval's case was told that a
- reasonable doubt is -that state of the case which, after
- the entire comparison and consideration of all the
- evidence, leaves the minds of the jurors in that condition
- that they cannot say they feel an abiding conviction, to
- a moral certainty, of the truth of the charge.- Sandoval
- App. 49 (emphasis added). The instruction thus explic-
- itly told the jurors that their conclusion had to be based
- on the evidence in the case. Other instructions rein-
- forced this message. The jury was told -to determine
- the facts of the case from the evidence received in the
- trial and not from any other source.- Id., at 38. The
- judge continued that -you must not be influenced by pity
- for a defendant or by prejudice against him. . . . You
- must not be swayed by mere sentiment, conjecture,
- sympathy, passion, prejudice, public opinion or public
- feeling.- Id., at 39. Accordingly, there is no reasonable
- likelihood that the jury would have understood moral
- certainty to be disassociated from the evidence in the
- case.
- We do not think it reasonably likely that the jury
- understood the words moral certainty either as suggest-
- ing a standard of proof lower than due process requires
- or as allowing conviction on factors other than the
- government's proof. At the same time, however, we do
- not condone the use of the phrase. As modern diction-
- ary definitions of moral certainty attest, the common
- meaning of the phrase has changed since it was used in
- the Webster instruction, and it may continue to do so to
- the point that it conflicts with the Winship standard.
- Indeed, the definitions of reasonable doubt most widely
- used in the federal courts do not contain any reference
- to moral certainty. See Federal Judicial Center, Pattern
- Criminal Jury Instructions 28 (1988); 1 E. Devitt & C.
- Blackmar, Federal Jury Practice and Instructions 11.14
- (3d ed. 1977). But we have no supervisory power over
- the state courts, and in the context of the instructions
- as a whole we cannot say that the use of the phrase
- rendered the instruction given in Sandoval's case
- unconstitutional.
-
- B
- Finally, Sandoval objects to the portion of the charge
- in which the judge instructed the jury that a reasonable
- doubt is -not a mere possible doubt.- The Cage instruc-
- tion included an almost identical reference to -not a
- mere possible doubt,- but we did not intimate that there
- was anything wrong with that part of the charge. See
- 498 U. S., at 40. That is because -[a] `reasonable doubt,'
- at a minimum, is one based upon `reason.'- Jackson v.
- Virginia, supra, at 317. A fanciful doubt is not a
- reasonable doubt. As Sandoval's defense attorney told
- the jury: -[A]nything can be possible . . . . [A] planet
- could be made out of blue cheese. But that's really not
- in the realm of what we're talking about.- Sandoval
- App. 79 (excerpt from closing argument). That this is
- the sense in which the instruction uses -possible- is
- made clear from the final phrase of the sentence, which
- notes that everything -is open to some possible or
- imaginary doubt.- We therefore reject Sandoval's
- challenge to this portion of the instruction as well.
-
- III
- On December 26, 1987, petitioner Victor went to the
- Omaha home of an 82 year-old woman for whom he
- occasionally did gardening work. Once inside, he beat
- her with a pipe and cut her throat with a knife, killing
- her. Victor was convicted of first degree murder. A
- three-judge panel found the statutory aggravating
- circumstances that Victor had previously been convicted
- of murder, Neb. Rev. Stat. 29-2523(1)(a) (1989), and
- that the murder in this case was especially heinous,
- atrocious, and cruel, 29-2523(1)(d). Finding none of
- the statutory mitigating circumstances, the panel
- sentenced Victor to death. The Nebraska Supreme
- Court affirmed the conviction and sentence. State v.
- Victor, 235 Neb. 770, 457 N. W. 2d 431 (1990), cert.
- denied, 498 U. S. 1127 (1991).
- At Victor's trial, the judge instructed the jury that
- -[t]he burden is always on the State to prove beyond a
- reasonable doubt all of the material elements of the
- crime charged, and this burden never shifts.- App. in
- No. 92-8894, p. 8 (Victor App.). The charge continued:
- -`Reasonable doubt' is such a doubt as would cause
- a reasonable and prudent person, in one of the
- graver and more important transactions of life, to
- pause and hesitate before taking the represented
- facts as true and relying and acting thereon. It is
- such a doubt as will not permit you, after full, fair,
- and impartial consideration of all the evidence, to
- have an abiding conviction, to a moral certainty, of
- the guilt of the accused. At the same time, absolute
- or mathematical certainty is not required. You may
- be convinced of the truth of a fact beyond a reason-
- able doubt and yet be fully aware that possibly you
- may be mistaken. You may find an accused guilty
- upon the strong probabilities of the case, provided
- such probabilities are strong enough to exclude any
- doubt of his guilt that is reasonable. A reasonable
- doubt is an actual and substantial doubt arising
- from the evidence, from the facts or circumstances
- shown by the evidence, or from the lack of evidence
- on the part of the state, as distinguished from a
- doubt arising from mere possibility, from bare
- imagination, or from fanciful conjecture.- Id., at 11
- (emphasis added).
- On state postconviction review, the Nebraska Supreme
- Court rejected Victor's contention that the instruction,
- particularly the emphasized phrases, violated the Due
- Process Clause. 242 Neb. 306, 310-311, 494 N. W. 2d
- 565, 569 (1993). Because the last state court in which
- review could be had considered Victor's constitutional
- claim on the merits, it is properly presented for our
- review despite Victor's failure to object to the instruction
- at trial or raise the issue on direct appeal. See, e.g.,
- Ylst v. Nunnemaker, 501 U. S. ___, ___ (1991) (slip op.,
- at 3-4).
- The instruction given in Victor's case can be traced to
- two separate lines of cases. Much of the charge is taken
- from Chief Justice Shaw's Webster instruction. See Carr
- v. State, 23 Neb. 749, 752-753, 37 N. W. 630, 631-632
- (1888) (approving the use of Webster). The rest derives
- from a series of decisions approving instructions cast in
- terms of an -actual doubt- that would cause a reason-
- able person to hesitate to act. See, e.g., Whitney v.
- State, 53 Neb. 287, 298, 73 N. W. 696, 699 (1898); Willis
- v. State, 43 Neb. 102, 110-111, 61 N. W. 254, 256
- (1894); Polin v. State, 14 Neb. 540, 546-547, 16 N. W.
- 898, 900-901 (1883). In 1968, a committee appointed by
- the Nebraska Supreme Court developed model jury
- instructions; a court rule in effect at the time Victor was
- tried directed that those instructions were to be used
- where applicable. Nebraska Jury Instructions ix (1969)
- (N. J. I.). The model instruction on reasonable doubt,
- N. J. I. 14.08, is the one given at Victor's trial. (Since
- Victor was tried, a revised reasonable-doubt instruction,
- N. J. I. 2d Crim. 2.0 (1992), has been adopted, although
- the prior version may still be used.)
-
- A
- Victor's primary argument is that equating a reason-
- able doubt with a -substantial doubt- overstated the
- degree of doubt necessary for acquittal. We agree that
- this construction is somewhat problematic. On the one
- hand, -substantial- means -not seeming or imaginary-;
- on the other, it means -that specified to a large degree.-
- Webster's Third New International Dictionary, supra, at
- 2280. The former is unexceptionable, as it informs the
- jury only that a reasonable doubt is something more
- than a speculative one; but the latter could imply a
- doubt greater than required for acquittal under Winship.
- Any ambiguity, however, is removed by reading the
- phrase in the context of the sentence in which it
- appears: -A reasonable doubt is an actual and substan-
- tial doubt . . . as distinguished from a doubt arising
- from mere possibility, from bare imagination, or from
- fanciful conjecture.- Victor App. 11 (emphasis added).
- This explicit distinction between a substantial doubt
- and a fanciful conjecture was not present in the Cage
- instruction. We did say in that case that -the words
- `substantial' and `grave,' as they are commonly under-
- stood, suggest a higher degree of doubt than is required
- for acquittal under the reasonable doubt standard.- 498
- U. S., at 41. But we did not hold that the reference to
- substantial doubt alone was sufficient to render the
- instruction unconstitutional. Cf. Taylor v. Kentucky, 436
- U. S., at 488 (defining reasonable doubt as a substantial
- doubt, -though perhaps not in itself reversible error,
- often has been criticized as confusing-) (emphasis
- added). Rather, we were concerned that the jury would
- interpret the term -substantial doubt- in parallel with
- the preceding reference to -grave uncertainty,- leading
- to an overstatement of the doubt necessary to acquit. In
- the instruction given in Victor's case, the context makes
- clear that -substantial- is used in the sense of existence
- rather than magnitude of the doubt, so the same concern
- is not present.
- In any event, the instruction provided an alternative
- definition of reasonable doubt: a doubt that would cause
- a reasonable person to hesitate to act. This is a
- formulation we have repeatedly approved, Holland v.
- United States, 348 U. S., at 140; cf. Hopt v. Utah, 120
- U. S., at 439-441, and to the extent the word substan-
- tial denotes the quantum of doubt necessary for acquit-
- tal, the hesitate to act standard gives a common-sense
- benchmark for just how substantial such a doubt must
- be. We therefore do not think it reasonably likely that
- the jury would have interpreted this instruction to
- indicate that the doubt must be anything other than a
- reasonable one.
-
- B
- Victor also challenges the -moral certainty- portion of
- the instruction. In another case involving an identical
- instruction, the Nebraska Supreme Court distinguished
- Cage as follows: -[U]nder the Cage instruction a juror is
- to vote for conviction unless convinced to a moral
- certainty that there exists a reasonable doubt, whereas
- under the questioned instruction a juror is to vote for
- acquittal unless convinced to a moral certainty that no
- reasonable doubt exists.- State v. Morley, 239 Neb. 141,
- 155, 474 N. W. 2d 660, 670 (1991); see also 242 Neb., at
- 310-311, 494 N. W. 2d, at 569 (relying on Morley). We
- disagree with this reading of Cage. The moral certainty
- to which the Cage instruction referred was clearly
- related to the defendant's guilt; the problem in Cage was
- that that the rest of the instruction provided insufficient
- context to lend meaning to the phrase. But the Ne-
- braska instruction is not similarly deficient.
- Instructing the jurors that they must have an abiding
- conviction of the defendant's guilt does much to alleviate
- any concerns that the phrase moral certainty might be
- misunderstood in the abstract. See supra, at 11-12.
- The instruction also equated a doubt sufficient to
- preclude moral certainty with a doubt that would cause
- a reasonable person to hesitate to act. In other words,
- a juror morally certain of a fact would not hesitate to
- rely on it; and such a fact can fairly be said to have
- been proven beyond a reasonable doubt. Cf. Hopt v.
- Utah, supra, at 439-440. The jurors were told that they
- must be convinced of Victor's guilt -after full, fair, and
- impartial consideration of all the evidence.- Victor App.
- 11. The judge also told them: -In determining any
- issues of fact presented in this case, you should be
- governed solely by the evidence introduced before you.
- You should not indulge in speculation, conjectures, or
- inferences not supported by the evidence.- Id., at 2.
- There is accordingly no reasonable likelihood that the
- jurors understood the reference to moral certainty to
- allow conviction on a standard insufficient to satisy
- Winship, or to allow conviction on factors other than the
- government's proof. Though we reiterate that we do not
- countenance its use, the inclusion of the moral certainty
- phrase did not render the instruction given in Victor's
- case unconstitutional.
-
- C
- Finally, Victor argues that the reference to -strong
- probabilities- in the instruction unconstitutionally
- understated the government's burden. But in the same
- sentence, the instruction informs the jury that the
- probabilities must be strong enough to prove the
- defendant's guilt beyond a reasonable doubt. We upheld
- a nearly identical instruction in Dunbar v. United
- States, 156 U. S. 185, 199 (1895): -While it is true that
- [the challenged instruction] used the words `probabilities'
- and `strong probabilities,' yet it emphasized the fact that
- those probabilities must be so strong as to exclude any
- reasonable doubt, and that is unquestionably the law-
- (citing Hopt v. Utah, supra, at 439). That conclusion
- has lost no force in the course of a century, and we
- therefore consider Dunbar controlling on this point.
-
-
- IV
- The Due Process Clause requires the government to
- prove a criminal defendant's guilt beyond a reasonable
- doubt, and trial courts must avoid defining reasonable
- doubt so as to lead the jury to convict on a lesser
- showing than due process requires. In these cases,
- however, we conclude that -taken as a whole, the
- instructions correctly conveyed the concept of reasonable
- doubt to the jury.- Holland v. United States, 348 U. S.,
- at 140. There is no reasonable likelihood that the jurors
- who determined petitioners' guilt applied the instructions
- in a way that violated the Constitution. The judgments
- in both cases are accordingly
- Affirmed.
-