CHAMBERS
v.
MISSISSIPPI
No. 71-5908.
Certiorari to the Supreme Court of Mississippi
Argued November 15, 1972
Decided February 21, 1973
410 U.S. 284 (1973)
After petitioner was arrested for murder, another
person (McDonald) made, but later repudiated, a written confession. On
three separate occasions, each time to a different friend, McDonald
orally admitted the killing. Petitioner was convicted of the murder in
a trial that he claimed was lacking in due process because petitioner
was not allowed to (1) cross-examine McDonald (whom petitioner had
called as a witness when the State failed to do so), since under
Mississippi's common-law "voucher" rule a party may not impeach his
own witness, or (2) introduce the testimony of the three persons to
whom McDonald had confessed, the trial court having ruled their
testimony inadmissible as hearsay. The Mississippi Supreme Court
affirmed.
Held: Under the facts
and circumstances of this case, petitioner was denied a fair trial, in
violation of the Due Process Clause of the Fourteenth Amendment.
(a) The application of the "voucher" rule prevented
petitioner, through cross-examination of McDonald, from exploring the
circumstances of McDonald's three prior oral confessions and
challenging his renunciation of the written confession, and thus
deprived petitioner of the right to contradict testimony that was
clearly "adverse."
(b) The trial court erred in excluding McDonald's
hearsay statements, which were critical to petitioner's defense and
which bore substantial assurances of trustworthiness, including that
each was made spontaneously to a close acquaintance, that each was
corroborated by other evidence in the case, that each was in a real
sense against McDonald's interest, and that McDonald was present and
available for cross-examination by the State..
252 So.2d 217, reversed and remanded.
POWELL, J., delivered the opinion of the Court, in
which BURGER,C. J., and DOUGLAS, BRENNAN, STEWART, WHITE, MARSHALL,
and BLACKMUN, JJ., joined. WHITE, J., filed a concurring opinion,
REHNQUIST, J., filed a dissenting opinion,
Peter Westen
argued the cause for petitioner pro hac vice. With him on the
briefs was Ramsey Clark.
Timmie Hancock, Special
Assistant Attorney General of Mississippi, argued the cause for
respondent. With him on the brief were A. F. Summer, Attorney
General, and Guy N. Rogers, Assistant Attorney General.
MR. JUSTICE POWELL delivered the opinion of the
Court.
Petitioner, Leon Chambers, was tried by a jury in a
Mississippi trial court and convicted of murdering a policeman. The
jury assessed punishment at life imprisonment, and the Mississippi
Supreme Court affirmed, one justice dissenting. 252 So.2d 217 (1971).
Pending disposition of his application for certiorari to this Court,
petitioner was granted bail by order of the Circuit Justice, dated
February 1, 1972. Two weeks later, on the State's request for
reconsideration, that order was reaffirmed.405 U.S. 1205 (1972).
Subsequently, the petition for certiorari was granted, 405 U.S. 987
(1972), to consider whether petitioner's trial was conducted in accord
with principles of due process under the Fourteenth Amendment. We
conclude that it was not.
I
The events that led to petitioner's prosecution for
murder occurred in the small town of Woodville in southern
Mississippi. On Saturday evening, June 14,1969, two Woodville
policemen, James Forman and Aaron "Sonny" Liberty, entered a local bar
and pool hall to execute a warrant for the arrest of a youth named C.
C. Jackson. Jackson resisted and a hostile crowd of some 50 or 60
persons gathered. The officers' first attempt to handcuff Jackson was
frustrated when 20or 25 men in the crowd intervened and wrestled him
free. Forman then radioed for assistance and Liberty removed his
riot gun, a 12-gauge sawed-off shotgun, from the car. Three deputy
sheriffs arrived shortly thereafter and the officers again attempted
to make their arrest. Once more, the officers were attacked by the
onlookers and during the commotion five or six pistol shots were
fired. Forman was looking in a different direction when the shooting
began, but immediately saw that Liberty had been shot several times in
the back. Before Liberty died, he turned around and fired both barrels
of his riot gun into an alley in the area from which the shots
appeared to have come. The first shot was wild and high and scattered
the crowd standing at the face of the alley. Liberty appeared,
however, to take more deliberate aim before the second shot and hit
one of the men in the crowd in the back of the head and neck as he ran
down the alley. That man was Leon Chambers.
Officer Forman could not see from his vantage point
who shot Liberty or whether Liberty's shots hit anyone. One of the
deputy sheriffs testified at trial that he was standing several feet
from Liberty and that he saw Chambers shoot him. Another deputy
sheriff stated that, although he could not see whether Chambers had a
gun in his hand, he did see Chambers "break his arm down" shortly
before the shots were fired. The officers who saw Chambers fall
testified that they thought he was dead but they made no effort at
that time either to examine him or to search for the murder weapon.
Instead, they attended to Liberty, who was placed in the police car
and taken to a hospital where he was declared dead on arrival. A
subsequent autopsy showed that he had been hit with four bullets from
a .22-caliber revolver.
Shortly after the shooting, three of Chambers'
friends discovered that he was not yet dead. James
Williams,
Berkley Turner, and Gable McDonald loaded him into a car and
transported him to the same hospital. Later that night, when the
county sheriff discovered that Chambers was still alive, a guard was
placed outside his room. Chambers was subsequently charged with
Liberty's murder. He pleaded not guilty and has asserted his innocence
throughout.
The story of Leon Chambers is intertwined with the
story of another man, Gable McDonald. McDonald, a lifelong resident of
Woodville, was in the crowd on the evening of Liberty's death.
Sometime shortly after that day, he left his wife in Woodville and
moved to Louisiana and found a job at a sugar mill. In November of
that same year, he returned to Woodville when his wife informed him
that an acquaintance of his, known as Reverend Stokes, wanted to see
him. Stokes owned a gas station in Natchez, Mississippi, several miles
north of Woodville, and upon his return McDonald went to see him.
After talking to Stokes, McDonald agreed to make a statement to
Chambers' attorneys, who maintained offices in Natchez. Two days
later, he appeared at the attorneys offices and gave a sworn
confession that he shot Officer Liberty. He also stated that he had
already told a friend of his, James Williams, that he shot Liberty. He
said that he used his own pistol, a nine-shot .22-caliberrevolver,
which he had discarded shortly after the shooting. In response to
questions from Chambers' attorneys, McDonald affirmed that his
confession was voluntary and that no one had compelled him to come to
them. Once the confession had been transcribed,
signed, and witnessed, McDonald was turned over to the local police
authorities and was placed in jail.
One month later, at a preliminary hearing, McDonald
repudiated his prior sworn confession. He testified that Stokes had
persuaded him to confess that he shot Liberty. He claimed that Stokes
had promised that he would not go to jail and that he would share in
the proceeds of a lawsuit that Chambers would bring against the town
of Woodville. On examination by his own attorney and on
cross-examination by the State, McDonald swore that he had not been at
the scene when Liberty was shot but had been down the street drinking
beer in a cafe with a friend, Berkley Turner. When he and Turner heard
the shooting, he testified, they walked up the street and found
Chambers lying in the alley. He, Turner, and Williams took Chambers to
the hospital. McDonald further testified at the preliminary hearing
that he did not know what had happened, that there was no discussion
about the shooting either going to or coming back from the hospital,
and that it was not until the next day that he learned that Chambers
had been felled by a blast from Liberty's riot gun. In addition,
McDonald stated that while he once owned a .22-caliberpistol he had
lost it many months before the shooting and did not own or possess a
weapon at that time. The local justice of the peace accepted
McDonald's repudiation and released him from custody. The local
authorities undertook no further investigation of his possible
involvement.
Chambers' case came on for trial in October of the
next year.
At trial, he endeavored to develop two grounds of
defense. He first attempted to show that he did not shoot Liberty.
Only one officer testified that he actually saw Chambers fire the
shots. Although three officers saw Liberty shoot Chambers and
testified that they assumed he was shooting his attacker, none of them
examined Chambers to see whether he was still alive or whether he
possessed a gun. Indeed, no weapon was ever recovered from the scene
and there was no proof that Chambers had ever owned a .22-caliber
pistol. One witness testified that he was standing in the street near
where Liberty was shot, that he was looking at Chambers when the
shooting began, and that he was sure that Chambers did not fire the
shots.
Petitioner's second defense was that Gable McDonald
had shot Officer Liberty. He was only partially successful, however,
in his efforts to bring before the jury the testimony supporting this
defense. Sam Hardin, a lifelong friend of McDonald's, testified that
he saw McDonald shoot Liberty. A second witness, one of Liberty's
cousins, testified that he saw McDonald immediately after the shooting
with a pistol in his hand. In addition to the testimony of these two
witnesses, Chambers endeavored to show the jury that McDonald had
repeatedly confessed to the crime. Chambers attempted to prove that
McDonald had admitted responsibility for the murder on four separate
occasions, once when he gave the sworn statement to Chambers' counsel
and three other times prior to that occasion in private conversations
with friends.
In large measure, he was thwarted in his attempt to
present this portion of his defense by the strict application of
certain Mississippi rules of evidence. Chambers asserts in this Court,
as he did unsuccessfully in his motion for new trial and on appeal to
the State Supreme Court, that the application of these evidentiary
rules rendered his trial fundamentally unfair and
deprived him of due process of law.
It is necessary, therefore, to examine carefully the rulings made
during the trial.
II
Chambers filed a pretrial motion requesting the
court to order McDonald to appear. Chambers also sought a ruling at
that time that, if the State itself chose not to call McDonald, he be
allowed to call him as an adverse witness. Attached to the motion were
copies of McDonald's sworn confession and of the transcript of his
preliminary hearing at which he repudiated that confession. The trial
court granted the motion requiring McDonald to appear but reserved
ruling on the adverse-witness motion. At trial, after the State failed
to put McDonald on the stand, Chambers called McDonald, laid a
predicate for the introduction of his sworn out-of-court confession,
had it admitted into evidence, and read it to the jury. The State,
upon cross-examination, elicited from McDonald the fact that he had
repudiated his prior confession. McDonald further testified, as he had
at the preliminary hearing, that he did not shoot Liberty, and that he
confessed to the crime only on the promise of Reverend Stokes that he
would not go to jail and would share in a sizable tort recovery from
the town. He also retold his own story of his actions on the evening
of the shooting, including his visit to the cafe down the street, his
absence from the scene during the critical period, and his subsequent
trip to the hospital with Chambers.
At the conclusion of the State's cross-examination,
Chambers renewed his motion to examine McDonald as an adverse witness.
The trial court denied the motion, stating: "He may be hostile, but he
is not adverse in the sense of the word, so your request will be
overruled. "On appeal, the State Supreme Court upheld the trial
court's ruling, finding that "McDonald's testimony was not adverse to
appellant" because "[n]owhere did he point the finger at Chambers."
252 So.2d, at 220.
Defeated in his attempt to challenge directly
McDonald's renunciation of his prior confession, Chambers sought to
introduce the testimony of the three witnesses to whom McDonald had
admitted that he shot the officer. The first of these, Sam Hardin,
would have testified that, on the night of the shooting, he spent the
late evening hours with McDonald at a friend's house after their
return from the hospital and that, while driving McDonald home later
that night, McDonald stated that he shot Liberty. The State objected
to the admission of this testimony on the ground that it was hearsay.
The trial court sustained the objection.
Berkley Turner, the friend with whom McDonald said
he was drinking beer when the shooting occurred, was then called to
testify. In the jury's presence, and without objection, he testified
that he had not been in the cafe that Saturday and had not had any
beers with McDonald. The jury was then excused. In the absence of the
jury, Turner recounted his conversations with McDonald while they were
riding with James Williams to take Chambers to the hospital. When
asked whether McDonald said anything regarding the shooting of
Liberty, Turner testified that McDonald told him that he "shot him."
Turner further stated that one week later, when he met McDonald at a
friend's house, McDonald reminded him of their prior conversation and
urged Turner not to "mess him up." Petitioner argued to the court
that, especially where there was other proof
in the case that was corroborative of these out-of-court statements,
Turner's testimony as to McDonald's self-incriminating remarks should
have been admitted as an exception to the hearsay rule. Again, the
trial court sustained the State's objection.
The third witness, Albert Carter, was McDonald's
neighbor. They had been friends for about 25 years. Although Carter
had not been in Woodville on the evening of the shooting, he stated
that he learned about it the next morning from McDonald. That same
day, he and McDonald walked out to a well near McDonald's house and
there McDonald told him that he was the one who shot Officer Liberty.
Carter testified that McDonald also told him that he had disposed of
the .22-caliberrevolver later that night. He further testified that
several weeks after the shooting, he accompanied McDonald to Natchez
where McDonald purchased another .22 pistol to replace the one he had
discarded.
The jury was not allowed to hear Carter's testimony. Chambers urged
that these statements were admissible, the State objected, and the
court sustained the objection.
On appeal, the State Supreme Court approved the lower court's
exclusion of these witnesses' testimony on hearsay grounds. 252 So.2d,
at 220.
In sum, then, this was Chambers' predicament. As a
consequence of the combination of Mississippi's "party witness" or
"voucher" rule and its hearsay rule, he was unable either to
cross-examine McDonald or to present witnesses in his own behalf who
would have discredited McDonald's repudiation and demonstrated his
complicity. Chambers had, however, chipped away at the fringes of
McDonald's story by introducing admissible testimony from other
sources indicating that he had not been seen in the cafe where he said
he was when the shooting started, that he had not been having beer
with Turner, and that he possessed a .22 pistol at the time of the
crime. But all that remained from McDonald's own testimony was a
single written confession countered by an arguably acceptable
renunciation. Chambers' defense was far less persuasive than it might
have been had he been given an opportunity to subject McDonald's
statements to cross-examination or had the other confessions been
admitted.
III
The right of an accused in a criminal trial to due
process is, in essence, the right to a fair opportunity to defend
against the State's accusations. The rights to confront and
cross-examine witnesses and to call witnesses in one's own behalf have
long been recognized as essential to due process. Mr. Justice Black,
writing for the Court in In re Oliver, 333 U.S. 257, 273
(1948), identified these rights as among the minimum essentials of a
fair trial:
"A person's right to reasonable notice of a charge
against him, and an opportunity to be heard in his defense — a right
to his day in court — are basic in our system of jurisprudence; and
these rights include, as a minimum, a right to examine the witnesses
against him, to offer testimony, and to be represented by counsel."
See also Morrissey v. Brewer, 408 U.S.
471, 488-489(1972); Jenkins v. McKeithen, 395 U.S. 411,
428-429(1969); Specht v. Patterson, 386 U.S. 605, 610
(1967).Both of these elements of a fair trial are implicated in the
present case.
A
Chambers was denied an opportunity to subject
McDonald's damning repudiation and alibi to cross-examination. He was
not allowed to test the witness' recollection, to probe into the
details of his alibi, or to "sift" his conscience so that the jury
might judge for itself whether McDonald's testimony was worthy of
belief. Mattox v. United States, 156 U.S. 237,
242-243(1895). The right of cross-examination is more than a desirable
rule of trial procedure. It is implicit in the constitutional right of
confrontation, and helps assure the "accuracy of the truth-determining
process." Dutton v. Evans, 400 U.S. 74, 89 (1970);
Bruton v. United States, 391 U.S. 123, 135-137 (1968). It
is, indeed, "an essential and fundamental requirement for the kind of
fair trial which is this country's constitutional goal. "Pointer
v. Texas, 380 U.S. 400, 405 (1965). Of course, the right to
confront and to cross-examine is not absolute and may, in appropriate
cases, bow to accommodate other legitimate interests in the criminal
trial process. E.g., Mancusi v. Stubbs, 408 U.S. 204
(1972). But its denial or significant diminution calls into question
the ultimate "'integrity of the fact-finding process'" and requires
that the competing interest be closely examined. Berger v.
California, 393 U.S. 314, 315 (1969).
In this case, petitioner's request to cross-examine
McDonald was denied on the basis of a Mississippi common-law rule that
a party may not impeach his own witness. The rule rests on the
presumption — without regard to the circumstances of the particular
case — that a party who calls a witness "vouches for his credibility.
"Clark v. Lansford, 191 So.2d 123,
125 (Miss. 1966).Although the historical origins of the "voucher" rule
are uncertain, it appears to be a remnant of primitive English trial
practice in which "oath-takers" or "compurgators" were called to stand
behind a particular party's position in any controversy. Their
assertions were strictly partisan and, quite unlike witnesses in
criminal trials today, their role bore little relation to the
impartial ascertainment of the facts.
Whatever validity the "voucher" rule may have once
enjoyed, and apart from whatever usefulness it retains today in the
civil trial process, it bears little present relationship to the
realities of the criminal process.
It might have been logical for the early common law to require a party
to vouch for the credibility of witnesses he brought before the jury
to affirm his veracity. Having selected them especially for that
purpose, the party might reasonably be expected to stand firmly behind
their testimony. But in modern criminal trials, defendants are rarely
able to select their witnesses: they must take them where they find
them. Moreover, as applied in this case, the "voucher" rule's
impact was doubly
harmful to Chambers' efforts to develop his defense. Not only was he
precluded from cross-examining McDonald, but, as the State conceded at
oral argument,
he was also
restricted in the scope of his direct examination by the rule's
corollary requirement that the party calling the witness is bound by
anything he might say. He was, therefore, effectively prevented from
exploring the circumstances of McDonald's three prior oral confessions
and from challenging the renunciation of the written confession.
In this Court, Mississippi has not sought to defend
the rule or explain its underlying rationale. Nor has it contended
that its rule should override the accused's right of confrontation.
Instead, it argues that there is no incompatibility between the rule
and Chambers' rights because no right of confrontation exists unless
the testifying witness is "adverse" to the accused. The State's brief
asserts that the "right of confrontation applies to witnesses
'against' an accused."
Relying on the trial court's determination that McDonald was not
"adverse," and on the State Supreme Court's holding that McDonald did
not "point the finger at Chambers,"
the State contends that Chambers' constitutional right was not
involved.
The argument that McDonald's testimony was not
"adverse" to, or "against," Chambers is not convincing. The State's
proof at trial excluded the theory that more than one person
participated in the shooting of Liberty. To the extent that McDonald's
sworn confession tended to incriminate him, it tended also to
exculpate Chambers.
And, in the circumstances of this case, McDonald's retraction
inculpated Chambers to the same extent that it exculpated McDonald. It
can hardly be disputed that McDonald's testimony was in fact seriously
adverse to Chambers. The availability of the right
to confront and to cross-examine those who give damaging testimony
against the accused has never been held to depend on whether the
witness was initially put on the stand by the accused or by the State.
We reject the notion that a right of such substance in the criminal
process may be governed by that technicality or by any narrow and
unrealistic definition of the word "against." The "voucher" rule, as
applied in this case, plainly interfered with Chambers' right to
defend against the State's charges.
B
We need not decide, however, whether this error
alone would occasion reversal since Chambers' claimed denial of due
process rests on the ultimate impact of that error when viewed in
conjunction with the trial court's refusal to permit him to call other
witnesses. The trial court refused to allow him to introduce the
testimony of Hardin, Turner, and Carter. Each would have testified to
the statements purportedly made by McDonald, on three separate
occasions shortly after the crime, naming himself as the murderer. The
State Supreme Court approved the exclusion of this evidence on the
ground that it was hearsay
The hearsay rule, which has long been recognized and
respected by virtually every State, is based on experience and
grounded in the notion that untrustworthy evidence should not be
presented to the triers of fact. Out-of-court statements are
traditionally excluded because they lack the conventional indicia of
reliability: they are usually not made under oath or other
circumstances that impress the speaker with the solemnity of his
statements; the declarant's word is not subject to cross-examination;
and he is not available in order that his demeanor and credibility may
be assessed by the jury. California v. Green, 399 U.S.
149, 158 (1970). A number of exceptions have developed over the years
to allow admission of hearsay statements made under
circumstances that tend to assure reliability and thereby compensate
for the absence of the oath and opportunity for cross-examination.
Among the most prevalent of these exceptions is the one applicable to
declarations against interest
— an exception
founded on the assumption that a person is unlikely to fabricate a
statement against his own interest at the time it is made. Mississippi
recognizes this exception but applies it only to declarations against
pecuniary interest.
It recognizes no such exception for declarations, like McDonald's in
this case, that are against the penal interest of the declarant.
Brown v. State, 99 Miss. 719, 55 So. 961 (1911).
This materialistic limitation on the
declaration-against-interest hearsay exception appears to be accepted
by most States in their criminal trial processes,
although a number of States have discarded it.
Declarations against penal interest have also been excluded in federal
courts under the authority of Donnelly v. United States,228
U.S. 243, 272-273 (1913), although exclusion would not be required
under the newly proposed Federal Rules of Evidence.
Exclusion, where the limitation prevails, is usually premised on the
view that admission would lead to the frequent presentation of
perjured testimony to the jury. It is believed that confessions of
criminal activity are often motivated by extraneous considerations
and, therefore, are not as inherently reliable as statements against
pecuniary or proprietary interest. While that rationale has been the
subject of considerable scholarly criticism,
we need not decide in this case whether, under other circumstances, it
might serve some valid state purpose by excluding untrustworthy
testimony.
The hearsay statements involved in this case were
originally made and subsequently offered at trial under circumstances
that provided considerable assurance of their reliability. First, each
of McDonald's confessions was made spontaneously to a close
acquaintance shortly after the murder had occurred. Second, each one
was corroborated by some other evidence in the case —McDonald's sworn
confession, the testimony of an eye-witness to the shooting, the
testimony that McDonald was seen with a gun immediately after the
shooting, and proof of his prior ownership of a .22-caliber revolver
and subsequent purchase of a new weapon. The sheer number of
independent confessions provided additional corroboration for each.
Third, whatever may be the parameters of the penal-interest rationale,
each confession here was in a very real sense
self-incriminatory and unquestionably against interest. See
United States v. Harris, 403 U.S. 573, 584 (1971);
Dutton v. Evans, 400 U.S., at 89. McDonald stood to benefit
nothing by disclosing his role in the shooting to any of his three
friends and he must have been aware of the possibility that disclosure
would lead to criminal prosecution. Indeed, after telling Turner of
his involvement, he subsequently urged Turner not to "mess him up."
Finally, if there was any question about the truthfulness of the
extrajudicial statements, McDonald was present in the courtroom and
was under oath. He could have been cross-examined by the State, and
his demeanor and responses weighed by the jury. See California
v. Green, 399 U.S. 149 (1970). The availability of McDonald
significantly distinguishes this case from the prior Mississippi
precedent, Brown v. State, supra, and from the
Donnelly-type situation, since in both cases the declarant was
unavailable at the time of trial.
Few rights are more fundamental than that of an
accused to present witnesses in his own defense. E. g., Webb v.
Texas, 409 U.S. 95 (1972); Washington v. Texas,
388 U.S. 14, 19 (1967); In re Oliver, 333 U.S. 257(1948). In
the exercise of this right, the accused, as is required of the State,
must comply with established rules of procedure and evidence designed
to assure both fairness and reliability in the ascertainment of guilt
and innocence. Although perhaps no rule of evidence has been more
respected or more frequently applied in jury trials than that
applicable to the exclusion of hearsay, exceptions tailored to allow
the introduction of evidence which in fact is likely to be trustworthy
have long existed. The testimony rejected by the trial court here bore
persuasive assurances of trustworthiness and thus was well within the
basic rationale of the exception for declarations against interest.
That testimony also was critical to Chambers' defense. In these
circumstances, where constitutional rights directly affecting the
ascertainment of guilt are implicated, the hearsay rule may not be
applied mechanistically to defeat the ends of justice.
We conclude that the exclusion of this critical
evidence, coupled with the State's refusal to permit Chambers to
cross-examine McDonald, denied him a trial in accord with traditional
and fundamental standards of due process. In reaching this judgment,
we establish no new principles of constitutional law. Nor does our
holding signal any diminution in the respect traditionally accorded to
the States in the establishment and implementation of their own
criminal trial rules and
procedures. Rather, we hold quite simply that under the facts and
circumstances of this case the rulings of the trial court deprived
Chambers of a fair trial.
The judgment is reversed and the case is remanded to
the Supreme Court of Mississippi for further proceedings not
inconsistent with this opinion.
It is so ordered.
MR. JUSTICE WHITE, concurring.
We would not ordinarily expect an appellate court in
the state or federal system to remain silent on a constitutional issue
requiring decision in the case before it. Normally, a court's silence
on an important question would simply indicate that it was unnecessary
to decide the issue because it was not properly before the court or
for some other reason. As my Brother REHNQUIST points out, the Court
stated in Street v. New York, 394 U.S. 576, 582 (1969),
that "when . . . the highest state court has failed to pass upon a
federal question, it will be assumed that the omission was due to want
of proper presentation in the state courts, unless the aggrieved party
in this Court can affirmatively show the contrary."
Under this rule it becomes the petitioner's burden
to demonstrate that under the applicable state law his claim was
properly before the state court and was therefore necessarily
rejected, although silently, by affirmance of the judgment. If he
fails to do so, we need not entertain and decide the federal question
that he presses.
It is not our invariable practice, however, that we
will not ourselves canvass state law to determine whether the federal
question, presented to but not discussed by the state supreme court,
was properly raised in accordance with state procedures. The Court
surveyed state law in Street, itself, with little if any help
from the appellant; and I think it is appropriate here where the State
does not contest our jurisdiction and seemingly
concedes that the question was properly raised below and necessarily
decided by the Mississippi Supreme Court.
There is little doubt that Mississippi ordinarily
enforces a rule of contemporaneous objection with respect to evidence;
the three opinions in Henry v. State, 253 Miss. 263, 154
So.2d 289 (1963); 253 Miss. 283,174 So.2d 348 (1965); 198 So.2d 213
(1967), make this sufficiently clear. Also, that case came here, and
we not only noted the existence of the rule but recognized that it
served a legitimate state interest. Henry v. Mississippi,
379 U.S. 443 (1965). The same rule obtains where the proponent of
evidence claims error in its exclusion:
"The rejection of evidence not apparently admissible
is not error, in the absence of an offer or sufficient statement of
the purpose of its introduction, by which the court may determine its
relevancy or admissibility. . . . This Court has consistently followed
this rule requiring definiteness and sufficiency of an offer of proof.
. . ." Freeman v. State, 204 So.2d 842, 847-848 (1967)
(dissenting opinion).
There are Mississippi cases stating that in proper
circumstances the contemporaneous-objection rule will not be enforced
and that the State Supreme Court in some circumstances will consider
an issue raised there for the first time. In Carter v.
State, 198 Miss. 523, 21 So.2d 404(1945), the only issue in the
appellate court concerned appellant's mental condition at the time of
the crime, an issue not raised at trial. The court said"[t]he rule
that questions not raised in the trial court cannot be raised for the
first time on appeal, is not without exceptions, among which are
errors 'affecting fundamental rights of the parties . . . or affecting
public policy,' . . . if to act on which will work no injustice to any
party to the appeal." Id., at 528, 21 So.2d,at 404. The
court proceeded to consider the issue. In Brooks v. State,
209 Miss. 150, 155, 46 So.2d 94,97 (1950), a convicted defendant
asserted in the State Supreme Court for the first time the
inadmissibility of certain evidence on the grounds of an illegal
search and seizure, violation of the rule against self-incrimination,
and improper cross-examination. The court considered these questions
and reversed the conviction, saying that"[e]rrors affecting
fundamental rights are exceptions to the rule that questions not
raised in the trial court cannot be raised for the first time on
appeal. . . . [W]here fundamental and constitutional rights are
ignored, due process does not exist, and a fair trial in contemplation
of law cannot be had."
The reach of these cases was left in doubt when, in
affirming the judgment in Henry v. State, 253 Miss.
263,154 So.2d 289 (1963), the Mississippi Supreme Court refused to
consider a claim of illegally obtained evidence because the matter had
not been presented to the trial court. The case did not come within
Brooks v. State, supra, the court ruled, because Henry's
counsel were experienced and adequate, and Henry was bound by their
mistakes. This Court vacated that judgment and remanded for
determination whether there had been a deliberate bypass, reading
Mississippi law as extending no discretion to give relief from the
contemporaneous-objection rule where "petitioner was represented by
competent local counsel familiar with local procedure." Henry
v. Mississippi, 379 U.S., at 449 n. 5. In its initial opinion
on remand, the Supreme Court of Mississippi reasserted the necessity
to object at the time testimony is offered in the trial court, but it
said"[n]evertheless if it appears to the trial judge that the
foregoing rule of procedure would defeat justice and bring about
results not justified or intended by substantive law, the rule may be
relaxed and subordinated to the primary purpose of the law to enforce
constitutional rights in the interest of justice." Henry v.
State, 253 Miss., at 287, 174 So.2d, at 351.
In King v. State, 230 So.2d 209, 211
(1970), this statement from the 1965 Henry opinion was
interpreted as giving the Supreme Court of the State, as well as the
trial court, sufficient latitude to treat the request for a peremptory
instruction to the jury after failure to object to the introduction of
allegedly illegally obtained evidence as if the appellant had made
timely objection.
Moreover, in Wood v. State, 257 So.2d
193, 200(1972), where a convicted defendant complained of a
wide-ranging and allegedly unfair cross-examination of defense
witnesses, and where there had been a failure to object to part of the
prejudicial inquiry, the State Supreme Court nevertheless considered
the question, stating: "We note also that no objection was made to the
testimony of Donald Ray Boyd when he was asked whether he had ever
been in jail. However, it was stated in Brooks, supra, that in
extreme cases a failure to object to questions which were violative of
a constitutional right did not in all events have to be objected to
before they would receive consideration by this Court. The appellant
in this case was being tried for murder. The evidence of defendant's
guilt was extremely close. A shred of evidence one way or the other
could have been persuasive to the jury. In our opinion, this warrants
our consideration of the
questions and responses to which repeated objections were made and
sustained by the court, as well as the consideration of the testimony
of Donald Ray Boyd wherein he was asked whether he had been in jail or
not though no formal objection was made thereto."
These cases seemingly preserve some aspects of the
Brooks rule, and hence anticipate some situations where the
contemporaneous-objection requirement will not been forced, despite
Henry. There will be occasions where the Supreme Court of
Mississippi will consider constitutional claims made in that court for
the first time.
Where this leaves the matter of our jurisdiction in
the light of decisions such as Williams v. Georgia,349
U.S. 375 (1955), is not clear. There, while acknowledging that motions
for a new trial after final judgment were not favored in Georgia, the
Court recognized that such motions had been granted in "exceptional"
or "extraordinary" cases, their availability being within the
well-informed discretion of the courts. It was claimed that denying
Williams' motion was an adequate state ground precluding review here,
but "since his motion was based upon a constitutional objection, and
one the validity of which has in principle been sustained here, the
discretionary decision to deny the motion does not deprive this Court
of jurisdiction to find that the substantive issue is properly before
us." Id., at 389.
In the circumstances before us, where there were
repeated offers of evidence and objections to its exclusion, although
not on constitutional grounds, where the matter was presented in
federal due process terms to the State Supreme Court and where the
State does not now deny that the issue was properly before the state
court and could have been considered by it, I am inclined, although
dubitante, to conclude with the Court that we have
jurisdiction.
As to the merits, I would join in the Court's
opinion and judgment.
MR. JUSTICE REHNQUIST, dissenting.
Were I to reach the merits in this case, I would
have considerable difficulty in subscribing to the Court's further
constitutionalization of the intricacies of the common law of
evidence. I do not reach the merits, since I conclude that petitioner
failed to properly raise in the Mississippi courts the constitutional
issue that he seeks to have this Court decide.
Title 28 U.S.C. § 1257 provides in pertinent part as
follows:
"Final judgments or decrees rendered by the highest
court of a State in which a decision could be had, may be reviewed by
the Supreme Court as follows:. . . . ."(3) By writ of certiorari, . .
. where any title, right, privilege or immunity is specially set up or
claimed under the Constitution, treaties or statutes of, or commission
held or authority exercised under, the United States."
We deal here with a limitation imposed by Congress
upon this Court's authority to review judgments of state courts. It is
a jurisdictional limitation, Cardinale v. Louisiana, 394
U.S. 437, 438 (1969), that has always been interpreted with careful
regard for the delicate nature of the authority conferred upon this
Court to review the judgments of state courts of last resort:
"Upon like grounds the jurisdiction of this court to
reexamine the final judgment of a state court cannot
arise from mere inference, but only from averments so distinct and
positive as to place it beyond question that the party bringing a case
here from such court intended to assert a Federal right." Oxley
Stave Co. v. Butler County, 166 U.S. 648, 655 (1897).
In Street v. New York, 394 U.S. 576
(1969), cited by the Court in its n. 3, the following language from
the earlier case of New York ex rel. Bryant v. Zimmerman,
278 U.S. 63, 67 (1928), was quoted:
"No particular form of words or phrases is
essential, but only that the claim of invalidity and the ground
therefor be brought to the attention of the state court with fair
precision and in due time." 394 U.S., at 584 (emphasis added).
The question of whether a constitutional issue has
been raised in "due time" in the state courts is one generally left to
state procedure, subject to the important condition that the state
procedure give no indication "that there was an attempt on the part of
the state court to evade the decision of Federal questions, duly set
up, by unwarranted resort to alleged rules under local practice. "Louisville
& Nashville R. Co. v. Woodford, 234 U.S. 46,51 (1914). More
recently, the Court has stated in Henry v. Mississippi,
379 U.S. 443, 447 (1965) that:
"These cases settle the proposition that a
litigant's procedural defaults in state proceedings do not prevent
vindication of his federal rights unless the State's insistence on
compliance with its procedural rule serves a legitimate state
interest."
Since the Court in Henry was dealing with a
rule of trial procedure from the State of Mississippi, its analysis in
that case is particularly helpful in deciding this one. It was
conceded by all parties there that the Mississippi rules required
contemporaneous objection to evidentiary rulings, and this Court
commented:
"The Mississippi rule . . . clearly does serve a
legitimate state interest. By immediately apprising the trial judge of
the objection, counsel gives the court the opportunity to conduct the
trial without using the tainted evidence. If the objection is well
taken the fruits of the illegal search may be excluded from jury
consideration, and a reversal and new trial avoided." Id., at
448.
In that case, the petitioner had made his motion to
exclude the evidence at the close of the State's case, and this Court
observed that a ruling on the motion at that point would very likely
have prevented the possibility of reversal and new trial just as
surely as a ruling on a motion made contemporaneously with the offer
of the evidence.
Here, however, the record of the state proceedings
shows that the first occasion on which petitioner's counsel even
hinted that his previous evidentiary objection had a constitutional
basis was at the time he filed a motion for new trial. By delaying his
constitutional contention until after the evidence was in and the jury
had retired and returned a verdict of guilty against him, petitioner
denied the trial court an opportunity to reconsider its evidentiary
ruling in the light of the constitutional objection. While this Court
in Henry expressed doubt as to the adequacy for federal
purposes of Mississippi's differing treatment of a motion to exclude
at the close of the State's case and an objection made
contemporaneously with the offer of the evidence, there can be no
doubt that the policy supporting Mississippi's requirement of
contemporaneous objection cannot be served equally well by a motion
for new trial following the rendition of the jury's verdict.
It is perfectly true, as the Court states in n. 3 of
its opinion, that petitioner "objected during trial to each of the
court's rulings." But this is only half the test; the litigant seeking
to have a decision here on a constitutional claim must not only object
or otherwise advise the lower court of his claim that a ruling is
error, but he must make it clear that his claim of error is
constitutionally grounded. In Bailey v. Anderson,326
U.S. 203 (1945), the petitioner argued in this Court that a state
court condemnation award that failed to include interest from the date
of possession denied him just compensation in violation of the Due
Process Clause of the Fourteenth Amendment. This Court noted that in
the state circuit court petitioner had requested that the award
include interest from the date of taking, and that the circuit court
without explanation had rejected this claim. But this Court went on to
say:
"But throughout the proceedings in the circuit court
appellant made no claim to interest on constitutional grounds, and
made no attack on the constitutionality of the award or the court's
decree because of the asserted denial of interest." Id., at
206.
Concluding from an examination of the opinion of the
Supreme Court of Appeals of Virginia that although appellant had
raised his constitutional claim there, it had not been passed upon by
that court, this Court held that the "appeal must be dismissed for
want of any properly presented substantial federal question." Id.,
at207.
Neither the majority nor the dissenting opinions of
the Supreme Court of Mississippi contain one syllable that refers
expressly or by implication to any claim based on the Constitution of
the United States. Those opinions did, of course, treat the
evidentiary objections and proffers
that this Court now holds to be of constitutional dimension, but it
passed on them in terms of nonconstitutional evidentiary questions
that are one of the staples of the business of appellate courts that
regularly review claims of error in the conduct of trial. Since
Mississippi requires contemporaneous objection to evidentiary rulings
during the trial, it would have been entirely proper for the Supreme
Court of Mississippi to conclude that even though petitioner might
have asserted constitutional claims in his brief there, they had been
raised too late to require consideration by it.
This Court said in Street v.
New York:
"Moreover, this Court has stated that when, as here,
the highest state court has failed to pass upon a federal question, it
will be assumed that the omission was due to want of proper
presentation in the state courts, unless the aggrieved party in this
Court can affirmatively show the contrary." 394 U.S., at 582.
If, by some extraordinarily lenient construction of
the decisional requirement that the constitutional claim be made "in
due time" in the state proceedings, the making of such a claim for the
first time in a motion for a new trial were deemed timely, it is still
extraordinarily doubtful that this petitioner adequately raised any
constitutional claims in his motion for new trial. That motion
consisted of the following pertinent points:
"3rd, the Court erred in refusing to declare Gable
McDonald a hostile and adverse witness and permitting the Defendant to
propound leading questions as on cross-examination.
"4th, the Court erred in refusing to permit the
Defendant to introduce evidence corroborating the
admission of Gable McDonald admitting the killing of Aaron
Liberty. . .
"6th, the trial of the Defendant was not in accord
with fundamental fairness guaranteed by the Fourteenth Amendment of
the Constitution of the United States and Article Three, Sections
Fourteen and Twenty-Six of the Constitution of the State of
Mississippi."
It would have to be an extraordinarily perceptive
trial judge who could glean from this motion that the separately
stated third and fourth points, dealing as they do in customary terms
of claims of trial error in the exclusion or admission of evidence,
were intended to be bolstered by the generalized assertion of the
violation of due process contained in a separately stated point. The
contention of the sixth point, standing by itself, that "the trial of
the Defendant was not in accord with fundamental fairness guaranteed
by the Fourteenth Amendment of the Constitution of the United States"
directs the trial court to no particular ruling or decision that he
may have made during the trial; it is a bald assertion that the trial
from beginning to end was somehow fundamentally unfair. Even the most
lenient construction of that part of 28 U.S.C. § 1257 that requires
that the "title, right, privilege or immunity" be "specially set up or
claimed" could not aid petitioner in his claim that this point
properly raised a federal constitutional issue.
This Court under the Constitution has the
extraordinarily delicate but equally necessary authority to review
judgments of state courts of last resort on issues that turn on
construction of the United States Constitution or federal law. But
before we undertake to tell a state court of last
resort that its judgment is inconsistent with the mandate of the
Constitution, it behooves us to make certain that in doing so we
adhere to the congressional mandate that limits our jurisdiction.
Believing as I do that petitioner has not complied with28 U.S.C. §
1257 (3), I would dismiss the writ of certiorari.