Lego v. Twomey
Opinion of the Court
delivered the opinion of the Court.
In 1964 this Court held that a criminal defendant who challenges the voluntariness of a confession made to officials and sought to be used against him at his trial has a due process right to a reliable determination that the confession was in fact voluntarily given and not the outcome of coercion which the Constitution forbids. Jackson v. Denno, 378 U. S. 368. While our decision made plain that only voluntary confessions may be admitted at the trial of guilt or innocence, we did not then announce, or even suggest, that the factfinder at a coercion hearing need judge voluntariness with reference to an especially severe standard of proof. Never
Four years later petitioner challenged his conviction by seeking a writ of habeas corpus in the United States District Court for the Northern District of Illinois. He maintained that the trial judge should have found the confession voluntary beyond a reasonable doubt before admitting it into evidence. Although the judge had made no mention of the standard he used, Illinois law provided that a confession challenged as involuntary could be admitted into evidence if, at a hearing outside the presence of the jury, the judge found it voluntary by a preponderance of the evidence.
I
Petitioner challenges the judgment of the Court of Appeals on three grounds. The first is that he was not proved guilty beyond a reasonable doubt as required by In re Winship, 397 U. S. 358 (1970), because the confession used against him at his trial had been proved voluntary only by a preponderance of the evidence. Implicit in the claim is an assumption that a voluntariness hearing is designed to enhance the reliability of jury verdicts. To judge whether that is so we must return to Jackson v. Denno, 378 U. S. 368 (1964).
In New York prior to Jackson, juries most often determined the voluntariness of confessions and hence whether confessions could be used in deciding guilt or innocence. Trial judges were required to make an initial determination and could exclude a confession, but only if it could not under any circumstances be deemed voluntary.
We concluded that the New York procedure was constitutionally defective because at no point along the way did a criminal defendant receive a clear-cut determination that the confession used against him was in fact voluntary. The trial judge was not entitled to exclude a confession merely because he himself would have found it involuntary, and, while we recpgnized that the jury was empowered to perform that function, we doubted it could do so reliably. Precisely because confessions of guilt, whether coerced or freely given, may be truthful and potent evidence, we did not believe a jury could be called upon to ignore the probative value of a truthful but coerced confession; it was also likely, we thought, that in judging voluntariness itself the jury would be influenced by the reliability of a confession it considered an accurate account of the facts. “It is now axiomatic,” we said,
“that a defendant in a criminal case is deprived of due process of law if his conviction is founded, in whole or in part, upon an involuntary confession, without regard for the truth or falsity of the confession, Rogers v. Richmond, 365 U. S. 534, and even though there is ample evidence aside from the confession to support the conviction. Malinski v. New York, 324 U. S. 401; Stroble v. California, 343 U. S. 181; Payne v. Arkansas, 356 U. S. 560. Equally clear is the defendant’s constitutional right at some stage in the proceedings to object to the use of the con*484 fession and to have a fair hearing and a reliable determination on the issue of voluntariness, a determination uninfluenced by the truth or falsity of the confession. Rogers v. Richmond, supra.”8
We did not think it necessary, or even appropriate, in Jackson to announce that prosecutors would be required to meet a particular burden of proof in a Jackson hearing held before the trial judge.
We noted in Jackson that there may be a relationship between the involuntariness of a confession and its unreliability.
Quite the contrary, we feared that the reliability and truthfulness of even coerced confessions could impermis-sibly influence a jury’s judgment as to voluntariness. The use of coerced confessions, whether true or false, is forbidden because the method used to extract them offends constitutional principles. Rogers v. Richmond, 365 U. S. 534, 540-541 (1961).
Since the purpose that a voluntariness hearing is designed to serve has nothing whatever to do with improving the reliability of jury verdicts, we cannot accept the charge that judging the admissibility of a confession by a preponderance of the evidence undermines the mandate of In re Winship, 397 U. S. 358 (1970). Our decision in Winship was not concerned with standards for determining the admissibility of evidence or with the prosecution’s burden of proof at a suppression hearing when evidence is challenged on constitutional grounds. Win-ship went no further than to confirm the fundamental right that protects “the accused against conviction except upon proof beyond a reasonable doubt of every fact necessary to constitute the crime with which he is charged.” Id., at 364. A high standard of proof is
II
Even conceding that Winship is inapplicable because the purpose of a voluntariness hearing is not to implement the presumption of innocence, petitioner presses for reversal on the alternative ground that evidence offered against a defendant at a criminal trial and challenged on constitutional grounds must be determined admissible beyond a reasonable doubt in order to give adequate protection to those values that exclusionary rules are designed to serve. Jackson v. Denno, supra, an offspring of Brown v. Mississippi, 297 U. S. 278 (1936), requires judicial rulings on voluntariness prior to admitting confessions. Miranda v. Arizona, 384
The argument is straightforward and has appeal. But we are unconvinced that merely emphasizing the importance of the values served by exclusionary rules is itself sufficient demonstration that the Constitution also requires admissibility to be proved beyond reasonable doubt.
To reiterate what we said in Jackson: when a confession challenged as involuntary is sought to be used against a criminal defendant at his trial, he is entitled to a reliable and clear-cut determination that the confession was in fact voluntarily rendered. Thus, the prosecution must prove at least by a preponderance of the evidence that the confession was voluntary. Of course, the States are free, pursuant to their own law, to adopt a higher standard. They may indeed differ as to the appropriate resolution of the values they find at stake.
III
We also reject petitioner’s final contention that, even though the trial judge ruled on his coercion claim, he was entitled to have the jury decide the claim anew. To the extent this argument asserts that the judge’s determination was insufficiently reliable, it is no more persuasive than petitioner’s other contentions. To the extent the position assumes that a jury is better suited than a judge to determine voluntariness, it questions the basic assumptions of Jackson v. Denno; it also ignores
The decision of the Court of Appeals is
Affirmed.
State courts that have considered the question since Jackson have adopted a variety of standards, most of them founded upon state law. Many have sanctioned a standard of proof less strict than beyond a reasonable doubt, including proof of voluntariness by a preponderance of the evidence or to the satisfaction of the court or proof of voluntariness in fact. E. g., Duncan v. State, 278 Ala. 145, 176 So. 2d 840 (1965); State v. Dillon, 93 Idaho 698, 471 P. 2d 553 (1970), cert. denied, 401 U. S. 942 (1971); People v. Harper, 36 Ill. 2d 398, 223 N. E. 2d 841 (1967); State v. Milow, 199 Kan. 576, 433 P. 2d 538 (1967); Barnhart v. State, 5 Md. App. 222, 246 A. 2d 280 (1968); Commonwealth v. White, 353 Mass. 409, 232 N. E. 2d 335 (1967); State v. Nolan, 423 S.W.2d 815 (Mo. 1968); State v. White, 146 Mont. 226, 405 P. 2d 761 (1965), cert. denied, 384 U. S. 1023 (1966); State v. Brewton, 238 Or. 590, 395 P. 2d 874 (1964); Commonwealth ex rel. Butler v. Rundle, 429 Pa. 141, 239 A. 2d 426 (1968); Monts v. State, 218 Tenn. 31, 400 S.W.2d 722 (1966); State v. Davis, 73 Wash. 2d 271, 438 P. 2d 185 (1968).
Other States, using state law or not specifying a basis, require proof beyond a reasonable doubt. E. g., State v. Ragsdale, 249 La. 420, 187 So. 2d 427 (1966), cert. denied, 385 U. S. 1029 (1967); State v. Keiser, 274 Minn. 265, 143 N. W. 2d 75 (1966); State v. Yough, 49 N. J. 587, 231 A. 2d 598 (1967); People v. Huntley, 15 N. Y. 2d 72, 204 N. E. 2d 179 (1965); State v. Thundershield, 83 S. D. 414, 160 N. W. 2d 408 (1968); State ex rel. Goodchild v. Burke, 27 Wis. 2d 244, 133 N. W. 2d 753 (1965), cert. denied, 384 U. S. 1017 (1966).
Two federal courts have held as an exercise of supervisory power that voluntariness must be proved beyond a reasonable doubt. Ralph v. Warden, 438 F. 2d 786, 793 (CA4 1970), clarifying United States v. Inman, 352 F. 2d 954 (CA4 1965); Pea v. United States, 130 U. S. App. D. C. 66, 397 F. 2d 627 (1967); cf. United States v. Schipani, 289 F. Supp. 43 (EDNY 1968), aff’d, 414 F. 2d 1262 (CA2 1969), cert. denied, 397 U. S. 922 (1970), requiring the Government to prove beyond a reasonable doubt that certain evidence was not tainted by violation of the Fourth Amendment.
In ruling the confession admissible, the judge stated:
“The petitioner has admitted under oath he had a struggle with the complaining witness over the gun; he was wounded, obtained a facial wound. The Officers testified he was bloody at the time he was arrested.
“I don’t believe the defendant’s testimony at all that he was beaten up by the Police. The condition he is in is well explained by the defendant himself.”
Illinois followed what we described in Jackson v. Denno, 378 U. S. 368 (1964), as “the orthodox rule, under which the judge himself solely and finally determines the voluntariness of the confession . . . .” Id., at 378. While the procedures of all the States could not be neatly classified, we noted that some followed the Massachusetts procedure whereby the judge himself first resolves evidentiary conflicts and determines whether a confession is in fact voluntary. If he is unable so to conclude, the confession may not be admitted into evidence. If judged voluntary and therefore admissible, the jury must also determine the coercion issue and is instructed to ignore a confession it finds involuntary. Id., at 378 n. 8. Other States had adopted the New York procedure at issue in Jackson. Our decision in Jackson cast no doubt upon the orthodox and Massachusetts procedures but did call into question the practice of every State that did not clearly follow one of these procedures. A thorough tabulation of what States did in the wake of Jackson appears in 3 J. Wigmore, Evidence 585-593 (J. Chadbourn rev. 1970).
People v. Wagoner, 8 Ill. 2d 188, 133 N. E. 2d 24 (1956); People v. Thomlison, 400 Ill. 555, 81 N. E. 2d 434 (1948).
Respondent makes no contention here that petitioner either waived the right to adjudicate his federal claims or deliberately bypassed state procedures for testing those claims. Cf. Fay v. Noia, 372 U. S. 391, 439 (1963).
The Seventh Circuit’s affirmance is unreported. United States ex rel. Lego v. Pate, No. 18313 (CA7 Oct. 8, 1970).
A more thorough description of the New York procedure is found in Jackson v. Denno, 378 U. S., at 377-391.
Jackson v. Denno, 378 U. S., at 376-377.
“Judge” is used here and throughout the opinion to mean a factfinder, whether trial judge or jury, at a voluntariness hearing. The proscription against permitting the jury that passes upon guilt or innocence to judge voluntariness in the same proceeding does not preclude the States from impaneling a separate jury to determine voluntariness. Jackson v. Denno, 378 U. S., at 391 n. 19.
See, e. g., Haynes v. Washington, 373 U. S. 503 (1963); Spano v. New York, 360 U. S. 315 (1959); Payne v. Arkansas, 356 U. S. 560 (1958).
See, e. g., Frazier v. Cupp, 394 U. S. 731 (1969); Boulden v. Holman, 394 U. S. 478 (1969); Harrison v. United States, 392 U. S. 219 (1968); Greenwald v. Wisconsin, 390 U. S. 519 (1968); Clewis v. Texas, 386 U. S. 707 (1967); Davis v. North Carolina, 384 U. S. 737 (1966); cf. Procunier v. Atchley, 400 U. S. 446 (1971).
We noted that coerced confessions are forbidden in part because of their “probable unreliability.” Jackson v. Denno, 378 U. S., at 385-386. However, it had been settled when this Court decided Jackson that the exclusion of unreliable confessions is not the purpose that a voluntariness hearing is designed to
In Jackson, 378 U. S., at 377-391, we traced the genesis of the view that due process forbids the use of coerced confessions, whether or not reliable. The Court had departed from that view in Stein v. New York, 346 U. S. 156 (1953), whose premise was that a confession is excludable because of its inherent untrustworthiness. The Stein premise was repudiated in Rogers v. Richmond and Rogers was reaffirmed in Davis v. North Carolina, 384 U. S., at 739, and Johnson v. New Jersey, 384 U. S. 719, 729 n. 9 (1966). That case continues to serve as the basis for evaluating coercion claims. See cases cited in n. 11, supra.
This is the course that petitioner pursued. Cf. Jackson v. Denno, 378 U. S., at 386 n. 13. Although 18 U. S. C. §3501 (a) is inapplicable here, it is relevant to note the provisions of that section:
“(a) In any criminal prosecution brought by the United States or by the District of Columbia, a confession, as defined in subsection (e) hereof, shall be admissible in evidence if it is voluntarily given. Before such confession is received in evidence, the trial judge shall, out of the presence of the jury, determine any issue as to voluntariness. If the trial judge determines that the confession was voluntarily made it shall be admitted in evidence and the trial judge shall permit the jury to hear relevant evidence on the issue of voluntariness and shall instruct the jury to give such weight to the confession as the jury feels it deserves under all the circumstances.”
Nothing is to be gained from restating the constitutional rule as requiring proof of guilt beyond a reasonable doubt on the basis of constitutionally obtained evidence and then arguing that rights under Winship are diluted unless admissibility is governed by a high standard. Transparently, this assumes the question at issue, which is whether a confession is admissible if found voluntary by a preponderance of the evidence. United States v. Schipani, supra, n. 1, followed this unsatisfactory course in a Fourth Amendment case but stopped short of basing the decision on the Constitution.
It is no more persuasive to impose the stricter standard of proof as an exercise of supervisory power than as a constitutional rule. Cf. Ralph v. Warden, supra, n. 1, clarifying United States v. Inman, supra, n. 1; Pea v. United States, supra, n. 1.
See cases cited in n. 1, supra.
Dissenting Opinion
dissenting.
When the prosecution, state or federal, seeks to put in evidence an allegedly involuntary confession, its admissibility is determined by the command of the Fifth Amendment that “[n]o person . . . shall be compelled in any criminal case to be a witness against himself.” Davis v. North Carolina, 384 U. S. 737, 740 (1966) ; Malloy v. Hogan, 378 U. S. 1, 7-8 (1964); Bram v. United States, 168 U. S. 532, 542-543 (1897). This right against compulsory self-incrimination is the “essential mainstay” of our system of criminal prosecution, Malloy v. Hogan, supra, at 7, “a system in which the State must establish guilt by evidence independently
Ideally, of course, a defendant’s compelled utterance would never be admitted into evidence against him. As we said in Jackson v. Denno, 378 U. S. 368, 376 (1964), it is “axiomatic” that a criminal conviction cannot stand if it “is founded, in whole or in part, upon an involuntary confession . . . even though there is ample evidence aside from the confession to support the conviction.” Yet I doubt that informed observers of the criminal process would deny that at least some compelled utterances slip through, even assuming scrupulous adherence to constitutional standards and the most rigorous procedural protections. Jackson was an attempt to move that reality somewhat closer to the ideal. We there rejected the New York rule because it “did not afford a reliable determination of the voluntariness of the confession offered in evidence at the trial” and consequently “did not adequately protect [a defendant’s] right to be free of a conviction based upon a coerced confession.” Id., at 377. As the Court today points out, “[t]he procedure we established in Jackson was designed to safeguard the right of an individual, entirely apart from his guilt or innocence, not to be compelled to condemn himself by his own utterances.” Ante, at 485.
There is no need to dwell upon the importance our American concept of justice attaches to preserving the
A Jackson hearing normally presents the factfinder with conflicting testimony from the defendant and law enforcement officers about what occurred during the officers’ interrogation of the defendant. The factfinder’s resolution of this conflict is often, as a practical matter, the final resolution of the voluntariness issue. Jackson, supra, at 390-391. This case is a typical example. Petitioner testified that he confessed because the police had beaten him; the police testified that there was no beating. As the Court notes, “[t]he trial judge resolved this credibility problem in favor of the police and ruled the confession admissible.” Ante, at 480. When the question before the factfinder is whether to believe one or the other of two self-serving accounts of what has happened, it is apparent that the standard of persuasion will in many instances be of controlling significance.
The standard of proof required for a criminal conviction presents a similar situation, yet we have held that guilt must be established by proof beyond a reasonable doubt. In re Winship, 397 U. S. 358, 361-364 (1970) ; see id., at 370-372 (Harlan, J., concurring.) Permitting proof by a preponderance of the evidence would necessarily result in the conviction of more defendants who are in fact innocent. Conversely, imposing the burden of proof beyond a reasonable doubt means that more defendants who are in fact guilty are found innocent. It seems to me that the same considerations that demand the reasonable-doubt standard when guilt or innocence is at stake also demand that standard when the question is the admissibility of an allegedly involuntary confession.
We permit proof by a preponderance of the evidence in civil litigation because “we view it as no more serious in general for there to be an erroneous verdict in the defendant’s favor than for there to be an erroneous verdict in the plaintiff’s favor.” Id., at 371 (Harlan, J., concurring). We do not take that view in criminal cases.
If we permit the prosecution to prove by a preponderance of the evidence that a confession was voluntary, then, to paraphrase Mr. Justice Harlan, we must be prepared to justify the view that it is no more serious in general to admit involuntary confessions than it is to exclude voluntary confessions. I am not prepared to justify that view. Compelled self-incrimination is so alien to the American sense of justice that I see no way that such a view could ever be justified. If we are to provide “concrete substance” for the command of the Fifth Amendment that no person shall be compelled to condemn himself, we must insist, as we do at the trial of guilt or innocence, that the prosecution prove that the defendant’s confession was voluntary beyond a reasonable doubt.
I add only that the absolute bar against the admission of a defendant’s compelled utterance at his criminal trial is fundamentally an expression of the American commitment to the moral worth of the individual. What we said in Winship bears repeating here. “[U]se of the reasonable-doubt standard is indispensable to command the respect and confidence of the community in applications of the criminal law. It is critical that the moral force of the criminal law not be diluted by a standard of proof that leaves people in doubt whether innocent men are being condemned.” Id., at 364. I believe that it is just as critical to our system of criminal justice that when a person’s words are used against him, no reasonable doubt remains that he spoke of his own free will.
My view that the reasonable-doubt standard must be imposed upon the prosecution does not depend upon whether that standard would be more effective than some lower standard in deterring police misconduct. When a defendant challenges his confession as involuntary, “the constitutional inquiry is not whether the conduct of state officers in obtaining the confession was shocking, but whether the confession was ‘free and voluntary ....’” Malloy v. Hogan, 378 U. S. 1, 7 (1964). It is true that the defendant will frequently allege police misconduct, as petitioner did here. Nevertheless, as we said in Townsend v. Sain, 372 U. S. 293,308 (1963), “[a]ny questioning by police officers which in fact produces a confession which is not the product of a free intellect renders that confession inadmissible.” (Emphasis in original.)
Reference
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