SUPREME
COURT OF THE UNITED STATES
No.
91-6382
ROBERT WAYNE SAWYER,
PETITIONER
v.
JOHN WHITLEY, WARDEN
on writ of certiorari to the
united states court of appeals for the fifth
circuit
June 22, 1992
Chief Justice
Rehnquist delivered the opinion of the
Court.
The issue
before the Court is the standard for determining
whether a petitioner bringing a successive,
abusive, or defaulted federal habeas claim has
shown he is "actually innocent" of the death
penalty to which he has been sentenced so that
the court may reach the merits of the claim.
Robert Wayne Sawyer, the petitioner in this
case, filed a second federal habeas petition
containing successive and abusive claims.
The Court of
Appeals for the Fifth Circuit refused to examine
the merits of Sawyer's claims. It held that
Sawyer had not shown cause for failure to raise
these claims in his earlier petition, and that
he had not shown that he was "actually innocent"
of the crime of which he was convicted or the
penalty which was imposed. 945 F. 2d 812 (1991).
We affirm
the Court of Appeals and hold that to show
"actual innocence" one must show by clear and
convincing evidence that but for a
constitutional error, no reasonable juror would
have found the petitioner eligible for the death
penalty under the applicable state law.
In 1979--13
years ago--petitioner and his accomplice,
Charles Lane, brutally murdered Frances Arwood
who was a guest in the home petitioner shared
with his girlfriend, Cynthia Shano, and Shano's
two young children. As we recounted in our
earlier review of this case, Sawyer v.Smith,
497 U. S. ___ (1990), petitioner and Lane
returned to petitioner's home after a night of
drinking, and argued with Arwood, accusing her
of drugging one of the children.
Petitioner
and Lane then attacked Arwood, beat her with
their fists, kicked her repeatedly, submerged
her in the bathtub, and poured scalding water on
her before dragging her back into the living
room, pouring lighter fluid on her body and
igniting it. Arwood lost consciousness sometime
during the attack and remained in a coma until
she died of her injuries approximately two
months later. Shano and her children were in the
home during the attack, and Shano testified that
petitioner prevented them from leaving.
[n.1]
At trial,
the jury failed to credit petitioner's "toxic
psychosis" defense, and convicted petitioner of
first degree murder. At the sentencing phase,
petitioner testified that he was intoxicated at
the time of the murder and remembered only bits
and pieces of the events.
Petitioner's
sister, Glenda White, testified about
petitioner's deprived childhood, his affection
and care for her children, and that as a
teenager petitioner had been confined to a
mental hospital for "no reason" where he had
undergone shock therapy. 2 App. 505-516. The
jury found three statutory aggravating factors,
no statutory mitigating factors and sentenced
petitioner to death.
[n.2]
Sawyer's
conviction and sentence were affirmed on appeal
by the Louisiana Supreme Court. State v.
Sawyer, 422 So. 2d 95 (1982). We granted
certiorari, and vacated andremanded with
instructions to reconsider in light of Zant
v. Stephens, 462 U.S. 862 (1983).
Sawyer v. Louisiana, 463 U.S. 1223
(1983). On remand, the Louisiana Supreme Court
reaffirmed the sentence. Sawyer v.
State, 442 So. 2d 1136 (1983), cert. denied,
466 U.S. 931 (1984). Petitioner's first petition
for state postconviction relief was denied.
Louisiana ex rel. Sawyer v. Maggio,
479 So. 2d 360, reconsideration denied, 480 So.
2d 313 (La. 1985).
[n.3]
In 1986,
Sawyer filed his first federal habeas petition,
raising 18 claims, all of which were denied on
the merits. See Sawyer v. Butler,
848 F. 2d 582 (CA5 1988), aff'd on rehearing en
banc, 881 F. 2d 1273 (CA5 1989). We again
granted certiorari and affirmed the Court of
Appeals' denial of relief. Sawyer v.
Smith, supra.
[n.4]
Petitioner next filed a second motion for state
postconviction relief. The state trial court
summarily denied this petition as repetitive and
without merit, and the Louisiana Supreme Court
denied discretionary review. See 945 F. 2d, at
815.
The present
petition before this Court arises out of
Sawyer's second petition for federal habeas
relief. After granting a stay and holding an
evidentiary hearing, the District Court denied
one of Sawyer's claims on the merits, and held
that the others were barred as either abusive or
successive. 772 F. Supp. 297 (ED La. 1991).
The Court of
Appeals granted a certificate of probable cause
on the issue of whether petitioner had shown
that he is actually "innocent of the death
penalty" such that a court should reach the
merits of the claims contained in this
successive petition. 945 F. 2d, at 814.
The Court of
Appeals held thatthe petitioner had failed to
show that he was actually innocent of the death
penalty because the evidence he argued had been
unconstitutionally kept from the jury failed to
show that Sawyer was ineligible for the death
penalty under Louisiana law. For the third time
we granted Sawyer's petition for certiorari, 502
U. S. ___ (1991), and we now affirm.
Unless a
habeas petitioner shows cause and prejudice, see
Wainwright v. Sykes, 433 U.S. 72,
(1977), a court may not reach the merits of: (a)
successive claims which raise grounds
identical to grounds heard and decided on the
merits in a previous petition, Kuhlmann
v. Wilson, 477 U.S. 436 (1986); (b) new
claims, not previously raised which constitute
an abuse of the writ, McCleskey v.
Zant, 499 U. S. ___ (1991); or (c)
procedurally defaulted claims in which the
petitioner failed to follow applicable state
procedural rules in raising the claims.
Murray v. Carrier, 477 U.S. 478
(1986). These cases are premised on our concerns
for the finality of state judgments of
conviction, and the "significant costs of
federal habeas review." McCleskey,
supra, at ___; see, e. g., Engle
v. Isaac, 456 U.S. 107, 126-128 (1982).
We have
previously held that even if a state prisoner
cannot meet the cause and prejudice standard a
federal court may hear the merits of the
successive claims if the failure to hear the
claims would constitute a "miscarriage of
justice." In a trio of 1986 decisions, we
elaborated on the miscarriage of justice, or
"actual innocence," exception. As we explained
Kuhlmann v. Wilson, supra,
the exception developed from the language of the
federal habeas statute which, prior to 1966,
allowed successive claims to be denied without a
hearing if the judge were "satisfied that the
ends of justice will not be served by such
inquiry." Id., at 448.
We held that
despite the removal of this statutory language
from 28 U.S.C. § 2244(b) in 1966, the
miscarriage of justice exception would allow
successive claims to be heard if the petitioner
"establish[es] that under the probative
evidencehe has a colorable claim of factual
innocence." Kuhlmann, 477 U. S., at 454.
[n.5]
In the second of these cases we held that the
actual innocence exception also applies to
procedurally defaulted claims. Murray v.
Carrier, supra.
[n.6]
In Smith
v. Murray, 477 U.S. 527 (1986), we found
no miscarriage of justice in the failure to
examine the merits of procedurally defaulted
claims in the capital sentencing context. We
emphasized that the miscarriage of justice
exception is concerned with actual as compared
to legal innocence, and acknowledged that actual
innocence "does not translate easily into the
context of an alleged error at the sentencing
phase of a trial on a capital offense." Id.,
at 537.
We decided
that the habeas petitioner in that case had
failed to show actual innocence of the death
penalty because the "alleged constitutional
error neither precluded the development of true
facts nor resulted in the admission of false
ones." Id., at 538.
In
subsequent cases, we have emphasized the narrow
scope of the fundamental miscarriage of justice
exception. In Dugger v. Adams, 489
U.S. 401 (1989), we rejected the petitioner's
claim that his procedural default should be
excused because he had shown that he was
actually innocent. Without endeavoring to define
what it meant tobe actually innocent of the
death penalty, we stated that "[d]emonstrating
that an error is by its nature the kind of error
that might have affected the accuracy of a death
sentence is far from demonstrating that an
individual defendant probably is `actually
innocent' of the sentence he or she received."
Id., at 412, n. 6.
Just last
Term in McCleskey v. Zant,
supra, at ----, we held that the "narrow
exception" for miscarriage of justice was of no
avail to the petitioner because the
constitutional violation, if it occurred, "resulted
in the admission at trial of truthful
inculpatory evidence which did not affect the
reliability of the guilt determination."
The present
case requires us to further amplify the meaning
of "actual innocence" in the setting of capital
punishment. A prototypical example of "actual
innocence" in a colloquial sense is the case
where the State has convicted the wrong person
of the crime. Such claims are of course
regularly made on motions for new trial after
conviction in both state and federal courts, and
quite regularly denied because the evidence
adduced in support of them fails to meet the
rigorous standards for granting such motions.
But in rare instances it may turn out later, for
example, that another person has credibly
confessed to the crime, and it is evident that
the law has made a mistake. In the context of a
noncapital case, the concept of "actual
innocence" is easy to grasp.
It is more
difficult to develop an analogous framework when
dealing with a defendant who has been sentenced
to death. The phrase "innocent of death" is not
a natural usage of those words, but we must
strive to construct an analog to the simpler
situation represented by the case of a
noncapital defendant. In defining this analog,
we bear in mind that the exception for "actual
innocence" is a very narrow exception, and that
to make it workable it must be subject to
determination by relatively objective standards.
In the every
day context of capital penalty proceedings, a
federal district judge typically will be
presented with asuccessive or abusive habeas
petition a few days before, or even on the day
of, a scheduled execution, and will have only a
limited time to determine whether a petitioner
has shown that his case falls within the "actual
innocence" exception if such a claim is made.
[n.7]
Since our
decision in Furman v. Georgia, 408
U.S. 238 (1972), our Eighth Amendment
jurisprudence has required those States imposing
capital punishment to adopt procedural
safeguards protecting against arbitrary and
capricious impositions of the death sentence.
See, e. g., Gregg v. Georgia,
428 U.S. 153 (1976); Proffitt v.
Florida, 428 U.S. 242 (1976); Jurek
v. Texas, 428 U.S. 262 (1976).
In response,
the States have adopted various narrowing
factors which limit the class of offenders upon
which the sentencer is authorized to impose the
death penalty. For example, the Louisiana
statute under which petitioner was convicted
defines first degree murder, a capital offense,
as something more than intentional killing.
[n.8]
In addition,
after a defendant is found guilty in Louisiana
of capital murder, the jury must also find at
the sentencing phase beyond a reasonable doubt
at least one of a list of statutory aggravating
factors before it may recommend that the death
penalty be imposed.
[n.9]
But once
eligibility for the death penalty has been
established to the satisfaction of the jury, its
deliberations assume a different tenor. In a
series of cases beginning with Lockett v.
Ohio, 438 U.S. 586, 604 (1978), we have
held that the defendant must be permitted to
introduce a wide variety of mitigating evidence
pertaining to his character and background.
The emphasis
shifts from narrowing the class of eligible
defendants by objective factors to
individualized consideration of a particular
defendant. Consideration of aggravating factors
together with mitigating factors, in various
combinations and methods dependent upon state
law, results in the jury's or judge's ultimate
decision as to what penalty shall be imposed.
Considering
Louisiana law as an example, then, there are
three possible ways in which "actual innocence"
mightbe defined. The strictest definition would
be to limit any showing to the elements of the
crime which the State has made a capital offense.
The showing would have to negate an essential
element of that offense. The Solicitor General,
filing as amicus curiae in support
of respondent, urges the Court to adopt this
standard.
We reject
this submission as too narrow, because it is
contrary to the statement in Smith that
the concept of "actual innocence" could be
applied to mean "innocent" of the death penalty.
477 U. S., at 537. This statement suggested a
more expansive meaning to the term of "actual
innocence" in a capital case than simply
innocence of the capital offense itself.
The most
lenient of the three possibilities would be to
allow the showing of "actual innocence" to
extend not only to the elements of the crime,
but also to the existence of aggravating factors,
and to mitigating evidence which bore, not on
the defendant's eligibility to receive the death
penalty, but only on the ultimate discretionary
decision between the death penalty and life
imprisonment.
This, in
effect is what petitioner urges upon us. He
contends that actual innocence of the death
penalty exists where "there is a `fair
probability' that the admission of false
evidence, or the preclusion of true mitigating
evidence, [caused by a constitutional error]
resulted in a sentence of death." Brief for
Petitioner 18 (citation and footnote omitted).
[n.10]
Although
petitioner describes his standard as narrower
than that adopted by the Eighth and Ninth
Circuit Courts of Appeals,
[n.11] in
reality it is only more closely related to the
facts of his case in which he alleges that
constitutional error kept true mitigating
evidence from the jury. The crucial
consideration according to petitioner, is
whether due to constitutional error the
sentencer was presented with " `a factually
inaccurate sentencing profile' " of the
petitioner. Brief for Petitioner 15, n. 21,
quoting Johnson v. Singletary, 938
F. 2d 1166, 1200 (CA11 1991) (en banc)
(Anderson, J. dissenting).
Insofar as
petitioner's standard would include not merely
the elements of the crime itself, but the
existence of aggravating circumstances, it
broadens the extent of the inquiry but not the
type of inquiry. Both the elements of the crime
and statutory aggravating circumstances in
Louisiana are used to narrow the class of
defendants eligible for the death penalty.
And proof or
disproof of aggravating circumstances, like
proof of the elements of the crime, is confined
by the statutory definitions to a relatively
obvious class of relevant evidence. Sensible
meaning is given to the term "innocent of the
death penalty" by allowing a showing in addition
to innocence of the capital crime itself a
showing that there was no
aggravatingcircumstance or that some other
condition of eligibility had not been met.
[n.12]
But we
reject petitioner's submission that the showing
should extend beyond these elements of the
capital sentence to the existence of additional
mitigating evidence. In the first place, such an
extension would mean that "actual innocence"
amounts to little more than what is already
required to show "prejudice," a necessary
showing for habeas relief for many
constitutional errors. See, e. g.,
United States v. Bagley, 473 U.S.
667, 682 (1985); Strickland v.
Washington, 466 U.S. 668, 694 (1984).
If federal
habeas review of capital sentences is to be at
all rational, petitioner must show something
more in order for a court to reach the merits of
his claims on a successive habeas petition than
he would have had to show to obtain relief on
his first habeas petition.
[n.13]
But, more
importantly, petitioner's standard would so
broaden the inquiry as to make it anything but a
"narrow" exception to the principle of finality
which we have previously described it to be. A
federal district judge confronted with a claim
of actual innocence may with relative ease
determine whether a submission, for example,
that a killing was not intentional, consists of
credible, noncumulative and admissible evidence
negating the element of intent. But it is a far
more difficult task to assess how jurors would
have reacted to additional showings of
mitigating factors,particularly considering the
breadth of those factors that a jury under our
decisions must be allowed to consider.
[n.14]
The Court of
Appeals in this case took the middle ground
among these three possibilities for defining
"actual innocence" of the death penalty, and
adopted this test:
"[W]e must
require the petitioner to show, based on the
evidence proffered plus all record evidence, a
fair probability that a rational trier of fact
would have entertained a reasonable doubt as to
the existence of those facts which are
prerequisites under state or federal law for the
imposition of the death penalty." 945 F. 2d, at
820 (footnotes omitted).
The Court of
Appeals standard therefore hones in on the
objective factors or conditions which must be
shown to exist before a defendant is eligible to
have the death penalty imposed. The Eleventh
Circuit Court of Appeals hasadopted a similar "eligibility"
test for determining actual innocence.
Johnson v. Singletary, 938 F. 2d 1166
(CA11 1991), petition for cert. pending, No.
91-6576.
[n.15]
We agree
with the Courts of Appeals for the Fifth and
Eleventh Circuits that the "actual innocence"
requirement must focus on those elements which
render a defendant eligible for the death
penalty, and not on additional mitigating
evidence which was prevented from being
introduced as a result of a claimed
constitutional error.
In the
present petition, Sawyer advances two claims,
arising from two distinct groups of evidentiary
facts which were not considered by the jury
which convicted and sentenced Sawyer. The first
group of evidence relates to petitioner's role
in the offense and consists of affidavits
attacking the credibility of Cynthia Shano and
an affidavit claiming that one of Shano's sons
told a police officer that Sawyer was not
responsible for pouring lighter fluid on Arwood
and lighting it, and that in fact Sawyer tried
to prevent Charles Lane from lighting Arwood on
fire. Sawyer claims that the police failed to
produce this exculpatory evidence in violation
of his due process rights under Brady v.
Maryland, 373 U.S. 83 (1963).
The second
group consists of medical records from Sawyer's
stays as a teenager in two different mental
heath institutions. Sawyer alleges ineffective
assistance of counsel in trial counsel'sfailure
to introduce these records in the sentencing
phase of his trial.
The Court of
Appeals held that petitioner's failure to assert
his Brady claim in his first petition
constituted an abuse of the writ, and that he
had not shown cause for failing to raise the
claim earlier under McCleskey. 945 F. 2d,
at 824. The ineffective assistance claim was
held by the Court of Appeals to be a successive
claim because it was rejected on the merits in
Sawyer's first petition, and petitioner failed
to show cause for not bringing all the evidence
in support of this claim earlier. Id., at
823.
Petitioner
does not contest these findings of the Court of
Appeals. Tr. of Oral Arg. 7. Therefore we must
determine if petitioner has shown by clear and
convincing evidence that but for constitutional
error, no reasonable juror would find him
eligible for the death penalty under Louisiana
law.
Under
Louisiana law, petitioner is eligible for the
death penalty because he was convicted of first
degree murder-- that is, an intentional killing
while in the process of committing an aggravated
arson--and because at the sentencing phase the
jury found two valid aggravating circumstances:
that the murder was committed in the course of
an aggravated arson, and that the murder was
especially cruel, atrocious, and heinous.
The
psychological evidence petitioner alleges was
kept from the jury due to the ineffective
assistance of counsel does not relate to
petitioner's guilt or innocence of the crime.
[n.16]
Neither does
it relate to either of the aggravating factors
found by the jury which made petitioner eligible
for the death penalty. Even if this evidence had
been before the jury, it cannot be said that a
reasonable juror would not have found both of
the aggravating factors which make petitioner
eligible for the death penalty.
[n.17]
Therefore, as to this evidence, petitioner has
not shown that there would be a fundamental
miscarriage of justice for the Court to fail to
reexamine the merits of this successive claim.
We are
convinced that the evidence allegedly kept from
the jury due to an alleged Brady
violation also fails to show that the petitioner
is actually innocent of the death penalty to
which he has been sentenced. Much of the
evidence goes to the credibility of Shano,
suggesting e. g., that contrary to her
testimony at trial she knew Charles Lane prior
to the day of the murder; that she was drinking
the day before the murder; and that she
testified under a grant of immunity from the
prosecutor. 2 App. 589-608.
This sort of
latter day evidence brought forward to impeach a
prosecution witness will seldom, if ever, make a
clear and convincing showing that no reasonable
juror would have believed the heart of Shano's
account of petitioner's actions.
The final
bit of evidence petitioner alleges was
unconstitutionally kept from the jury due to a
Brady violation was a statement made by
Shano's then 4-year%old son, Wayne, to a police
officer the day after the murder. Petitioner has
submitted an affidavit from one Diane Thibodeaux
stating that she was present when Wayne told a
police detective who asked who had lit Arwood on
fire that "Daddy [Sawyer] tried to help the
lady" and that the "other man" had pushed Sawyer
back into a chair. 2 App. 587.
The
affidavit also states that Wayne showed the
officer where to find a cigarette lighter and a
can of lighter fluid in the trash. Ibid.
Because this evidence goes to the jury's finding
of aggravated arson, it goes both to
petitioner's guilt or innocence of the crime of
first degree murder, and the aggravating
circumstance of a murder committed in the course
of an aggravated arson.
However, we
conclude that this affidavit, in view of all the
other evidence in the record,does not show that
no rational juror would find that petitioner
committed both of the aggravating circumstances
found by the jury. The murder was especially
cruel, atrocious, and heinous based on the
undisputed evidence of torture before the jury
quite apart from the arson (e. g.,
beating, scalding with boiling water).
As for the
finding of aggravated arson, we agree with the
Court of Appeals that, even crediting the
information in the hearsay affidavit,
[n.18] it
cannot be said that no reasonable juror would
have found, in light of all the evidence, that
petitioner was guilty of the aggravated arson
for his participation under the Louisiana law of
principals.
[n.19]
We therefore
hold that petitioner has failed to show by clear
and convincing evidence that but for
constitutional error at his sentencing hearing,
no reasonable juror would have found him
eligible for the death penalty under Louisiana
law. The judgment of the Court of Appeals is
therefore
Affirmed.
*****
Notes