CARMELL v. TEXAS
No. 98-7540
Supreme Court of the United States
Argued November 30, 1999—Decided May 1, 2000
529 U.S. 513
Richard D. Bernstein, by appointment of the Court, 527 U. S. 1051, argued the cause for petitioner. With him on the briefs were Carter G. Phillips, Katherine L. Adams, and Paul A. Hemmersbaugh.
John Cornyn, Attorney General of Texas, argued the cause for respondent. With him on the brief were Andy Taylor, First Assistant Attorney General, Linda S. Eads, Deputy Attorney General, Gregory S. Coleman, Solicitor General, and Philip A. Lionberger, Assistant Solicitor General.
Beth S. Brinkmann argued the cause for the United States as amicus curiae urging affirmance. With her on the brief were Solicitor General Waxman, Assistant Attorney
JUSTICE STEVENS delivered the opinion of the Court.
An amendment to a Texas statute that went into effect on September 1, 1993, authorized conviction of certain sexual offenses on the victim‘s testimony alone. The previous statute required the victim‘s testimony plus other corroborating evidence to convict the offender. The question presented is whether that amendment may be applied in a trial for offenses committed before the amendment‘s effective date without violating the constitutional prohibition against state “ex post facto” laws.
I
In 1996, a Texas grand jury returned a 15-count indictment charging petitioner with various sexual offenses against his stepdaughter. The alleged conduct took place over more than four years, from February 1991 to March 1995, when the victim was 12 to 16 years old. The conduct ceased after the victim told her mother what had happened. Petitioner was convicted on all 15 counts. The two most serious counts charged him with aggravated sexual assault, and petitioner was sentenced to life imprisonment on those two counts.
Until September 1, 1993, the following statute was in effect in Texas:
“A conviction under Chapter 21, Section 22.011, or Section 22.021, Penal Code, is supportable on the uncorroborated testimony of the victim of the sexual offense if the victim informed any person, other than the defendant, of the alleged offense within six months after the date on which the offense is alleged to have occurred. The requirement that the victim inform another person of an alleged offense does not apply if the victim was younger than 14 years of age at the time of the alleged offense.”
Tex. Code Crim. Proc. Ann., Art. 38.07 (Vernon 1983) .1
We emphasize three features of this law that are critical to petitioner‘s case.
The first is the so-called “outcry or corroboration” requirement. Under that provision, a victim‘s testimony can support a conviction for the specified offenses only if (1) that testimony is corroborated by other evidence, or (2) the victim informed another person of the offense within six months of its occurrence (an “outcry“). The second feature is the “child victim” provision, which is an exception to the outcry or corroboration requirement. According to this provision, if the victim was under 14 years old at the time of the alleged offense, the outcry or corroboration requirement does not apply and the victim‘s testimony alone can support a conviction—even without any corroborating evidence or outcry. The third feature is that Article 38.07 establishes a suffi-
Texas amended Article 38.07, effective September 1, 1993. The amendment extended the child victim exception to victims under 18 years old.3 For four of petitioner‘s counts,
As mentioned, only 4 of petitioner‘s 15 total convictions are implicated by the amendment to Article 38.07; the other 11 counts—including the 2 convictions for which petitioner received life sentences—are uncontested. Six counts are uncontested because they were committed when the victim was under 14 years old, so his convictions stand even under the old law; the other five uncontested counts were committed after the new Texas law went into effect, so there could be no ex post facto claim as to those convictions. See
Petitioner appealed his four convictions to the Court of Appeals for the Second District of Texas in Fort Worth. See 963 S. W. 2d 833 (1998). Petitioner argued that under the pre-1993 version of Article 38.07, which was the law in effect at the time of his alleged conduct, those convictions could not stand, because they were based solely on the victim‘s testimony, and the victim was not under 14 years old at the time of the offenses, nor had she made a timely outcry.
The Court of Appeals rejected petitioner‘s argument. Under the 1993 amendment to Article 38.07, the court observed, petitioner could be convicted on the victim‘s testimony alone because she was under 18 years old at the time of the offenses. The court held that applying this amendment retrospectively to petitioner‘s case did not violate the Ex Post Facto Clause:
“The statute as amended does not increase the punishment nor change the elements of the offense that the State must prove. It merely ‘removes existing restrictions upon the competency of certain classes of persons as witnesses’ and is, thus, a rule of procedure. Hopt v. Utah, 110 U. S. 574, 590 . . . (1884).” Id., at 836.
The Texas Court of Criminal Appeals denied discretionary review. Because the question whether the retrospective application of a statute repealing a corroboration requirement has given rise to conflicting decisions,5 we granted peti-
II
To prohibit legislative Acts “contrary to the first principles of the social compact and to every principle of sound legislation,”6 the Framers included provisions they considered to be “perhaps greater securities to liberty and republicanism than any [the Constitution] contains.”7 The provisions declare:
“No State shall. . . pass any Bill of Attainder, ex post facto Law, or Law impairing the Obligation of Contracts. . . .”
U. S. Const., Art. I, § 10 .8
The proscription against ex post facto laws “necessarily requires some explanation; for, naked and without explanation, it is unintelligible, and means nothing.” Calder v. Bull, 3 Dall. 386, 390 (1798) (Chase, J.). In Calder v. Bull, Justice Chase stated that the necessary explanation is derived from English common law well known to the Framers: “The expressions ’ex post facto laws,’ are technical, they had been in use long before the Revolution, and had acquired an appropriate meaning, by Legislators, Lawyers, and Authors.” Id., at 391; see also id., at 389 (“The prohibition. . . very probably arose from the knowledge, that the Parliament of Great Britain claimed and exercised a power to pass such laws. . .“); id., at 396 (Paterson, J.). Specifically, the
“I will state what laws I consider ex post facto laws, within the words and the intent of the prohibition. 1st. Every law that makes an action done before the passing of the law, and which was innocent when done, criminal; and punishes such action. 2d. Every law that aggravates a crime, or makes it greater than it was, when committed. 3d. Every law that changes the punishment, and inflicts a greater punishment, than the law annexed to the crime, when committed. 4th. Every law that alters the legal rules of evidence, and receives less, or different, testimony, than the law required at the time of the commission of the offence, in order to convict the offender.” Id., at 390 (emphasis in original).9
It is the fourth category that is at issue in petitioner‘s case.
The common-law understanding explained by Justice Chase drew heavily upon the authoritative exposition of one of the great scholars of the common law, Richard Wooddeson. See id., at 391 (noting reliance on Wooddeson‘s treatise).10
Wooddeson‘s classification divided ex post facto laws into three general categories: those respecting the crimes themselves; those respecting the legal rules of evidence; and those affecting punishment (which he further subdivided into laws creating a punishment and those making an existing punishment more severe).11 See 2 R. Wooddeson, A Systematical View of the Laws of England 625-640 (1792) (Lecture 41) (hereinafter Wooddeson). Those three categories (the last of which was further subdivided) correlate precisely to Calder‘s four categories. Justice Chase also used language in describing the categories that corresponds directly to Wooddeson‘s phrasing.12 Finally, in four
footnotes in Justice Chase‘s opinion, he listed examples of various Acts of Parliament illustrating each of the four categories. See 3 Dall., at 389, nn. *, †, ‡, ||.13 Each of these examples is exactly the same as the ones Wooddeson himself used in his treatise. See 2 Wooddeson 629 (case of the Earl of Strafford); id., at 634 (case of Sir John Fenwick); id., at 638 (banishments of Lord Clarendon and of Bishop Atterbury); id., at 639 (Coventry Act).
Calder‘s four categories, which embraced Wooddeson‘s formulation, were, in turn, soon embraced by contemporary scholars. Joseph Story, for example, in writing on the Ex Post Facto Clause, stated:
“The general interpretation has been, and is, . . . that the prohibition reaches every law, whereby an act is declared a crime, and made punishable as such, when it was not a crime, when done; or whereby the act, if a crime, is aggravated in enormity, or punishment; or whereby different, or less evidence, is required to convict an offender, than was required, when the act was committed.” 3 Commentaries on the Constitution of the United States § 1339, p. 212 (1833).
James Kent concurred in this understanding of the Clause:
“[T]he words ex post facto laws were technical expressions, and meant every law that made an act done before the passing of the law, and which was innocent when done, criminal; or which aggravated a crime, and
made it greater than it was when committed; or which changed the punishment, and inflicted a greater punishment than the law annexed to the crime when committed; or which altered the legal rules of evidence, and received less or different testimony than the law required at the time of the commission of the offence, in order to convict the offender.” 1 Commentaries on American Law 408 (3d ed. 1836) (Lecture 19).
This Court, moreover, has repeatedly endorsed this understanding, including, in particular, the fourth category (sometimes quoting Chase‘s words verbatim, sometimes simply paraphrasing). See Lynce v. Mathis, 519 U. S. 433, 441, n. 13 (1997); Dobbert v. Florida, 432 U. S. 282, 293 (1977); Malloy v. South Carolina, 237 U. S. 180, 183-184 (1915); Mallett v. North Carolina, 181 U. S. 589, 593-594 (1901); Thompson v. Missouri, 171 U. S. 380, 382, 387 (1898); Hawker v. New York, 170 U. S. 189, 201 (1898) (Harlan, J., dissenting); Gibson v. Mississippi, 162 U. S. 565, 589-590 (1896); Duncan v. Missouri, 152 U. S. 377, 382 (1894); Hopt v. Territory of Utah, 110 U. S. 574, 589 (1884); Kring v. Missouri, 107 U. S. 221, 228 (1883), overruled on other grounds, Collins v. Youngblood, 497 U. S. 37, 38 (1990); Gut v. State, 9 Wall. 35, 38 (1870); Ex parte Garland, 4 Wall. 333, 390-391 (1867) (Miller, J., dissenting); Cummings v. Missouri, 4 Wall. 277, 325-326, 328 (1867). State courts, too, in the years following Calder, adopted Justice Chase‘s four-category formulation. See Boston & Gunby v. Cummins, 16 Ga. 102, 106 (1854); Martindale v. Moore, 3 Blackf. 275, 277 (Ind. 1833); Davis v. Ballard, 24 Ky. 563, 578 (1829); Strong v. State, 1 Blackf. 193, 196 (Ind. 1822); Dickinson v. Dickinson, 7 N. C. 327, 330 (1819); see also Woart v. Winnick, 3 N. H. 473, 475 (Super. Ct. 1826).14
III
As mentioned earlier, Justice Chase and Wooddeson both cited several examples of ex post facto laws, and, in particular, cited the case of Sir John Fenwick as an example of the fourth category. To better understand the type of law that falls within that category, then, we turn to Fenwick‘s case for preliminary guidance.
Those who remained loyal to James II after he was deposed by King William III in the Revolution of 1688 thought their opportunity for restoration had arrived in 1695, following the death of Queen Mary. 9 T. Macaulay, History of England 31 (1899) (hereinafter Macaulay). Sir John Fenwick, along with other Jacobite plotters including George Porter and Cardell Goodman, began concocting their scheme in the spring of that year, and over the next several months the original circle of conspirators expanded in number. Id., at 32, 47-48, 109-110. Before the conspirators could carry out their machinations, however, three members of the group disclosed the plot to William. Id., at 122-125. One by one, the participants were arrested, tried, and convicted of treason. Id., at 127-142. Fenwick, though, remained in hiding while the rest of the cabal was brought to justice. During that time, the trials of his accomplices revealed that there were only two witnesses among them who could prove Fenwick‘s guilt, Porter and Goodman. Id., at 170-171. As luck would have it, an act of Parliament proclaimed that two witnesses were necessary to convict a person of high treason. See An Act for Regulateing of Tryals in
Fenwick first tried his hand with Porter. Fenwick sent his agent to attempt a bribe, which Porter initially accepted in exchange for leaving for France. But then Porter simply pocketed the bribe, turned in Fenwick‘s agent (who was promptly tried, convicted, and pilloried), and proceeded to testify against Fenwick (along with Goodman) before a grand jury. Id., at 171-173. When the grand jury returned an indictment for high treason, Fenwick attempted to flee the country himself, but was apprehended and brought before the Lord Justices in London. Sensing an impending conviction, Fenwick threw himself on the mercy of the court and offered to disclose all he knew of the Jacobite plotting, aware all the while that the judges would soon leave the city for their circuits, and a delay would thus buy him a few weeks time. Id., at 173-174.
Fenwick was granted time to write up his confession, but rather than betray true Jacobites, he concocted a confession calculated to accuse those loyal to William, hoping to introduce embarrassment and perhaps a measure of instability to the current regime. Id., at 175-178. William, however, at once perceived Fenwick‘s design and rejected the confession, along with any expectation of mercy. Id., at 178-
Without a second witness, Fenwick could not be convicted of high treason under the statute mentioned earlier. For all his plotting, however, Fenwick was not to escape. After Goodman‘s absence was discovered, the House of Commons met and introduced a bill of attainder against Fenwick to correct the situation produced by the combination of bribery and the two-witness law. Id., at 198-199. A lengthy debate ensued, during which the Members repeatedly discussed whether the two-witness rule should apply.17 Ultimately, the bill passed by a close vote of 189 to 156, id., at 210, notwithstanding the objections of Members who (foreshadowing Calder‘s fourth category) complained that Fenwick was being attainted “upon less Evidence” than
House of Lords, and the King gave his assent. Id., at 214-225; see also An Act to Attaint Sir John Fenwick Baronet of High Treason, 8 Will. III, ch. 4 (1696). On January 28, 1697, Sir John Fenwick was beheaded. 9 Macaulay 226-227.
IV
Article 38.07 is unquestionably a law “that alters the legal rules of evidence, and receives less, or different, testimony, than the law required at the time of the commission of the offence, in order to convict the offender.” Under the law in effect at the time the acts were committed, the prosecution‘s case was legally insufficient and petitioner was entitled to a judgment of acquittal, unless the State could produce both the victim‘s testimony and corroborative evidence. The amended law, however, changed the quantum of evidence necessary to sustain a conviction; under the new law, petitioner could be (and was) convicted on the victim‘s testimony alone, without any corroborating evidence. Under any commonsense understanding of Calder‘s fourth category, Article 38.07 plainly fits. Requiring only the victim‘s testimony to convict, rather than the victim‘s testimony plus other corroborating evidence is surely “less testimony required to convict” in any straightforward sense of those words.
Indeed, the circumstances of petitioner‘s case parallel those of Fenwick‘s case 300 years earlier. Just as the relevant law in Fenwick‘s case required more than one witness’ testimony to support a conviction (namely, the testimony of a second witness), Texas’ old version of Article 38.07 required more than the victim‘s testimony alone to sustain a conviction (namely, other corroborating evidence).20 And just like Fen-
wick‘s bill of attainder, which permitted the House of Commons to convict him with less evidence than was otherwise required, Texas’ retrospective application of the amendment to Article 38.07 permitted petitioner to be convicted with less than the previously required quantum of evidence. It is true, of course, as the Texas Court of Appeals observed, that “[t]he statute as amended does not increase the punishment nor change the elements of the offense that the State must prove.” 963 S. W. 2d, at 836. But that observation simply demonstrates that the amendment does not fit within Calder‘s first and third categories. Likewise, the dissent‘s remark that “Article 38.07 does not establish an element of the offense,” post, at 559, only reveals that the law does not come within Calder‘s first category. The fact that the amendment authorizes a conviction on less evidence than previously required, however, brings it squarely within the fourth category.
V
The fourth category, so understood, resonates harmoniously with one of the principal interests that the Ex Post Facto Clause was designed to serve, fundamental justice.21
“Why did the authors of the constitution turn their attention to this subject, which, at the first blush, would appear to be peculiarly fit to be left to the discretion of those who have the police and good government of the State under their management and control? The only answer to be given is, because laws of this character are oppressive, unjust, and tyrannical; and, as such, are condemned by the universal sentence of civilized man.” Ogden v. Saunders, 12 Wheat. 213, 266 (1827).
In short, the Ex Post Facto Clause was designed as “an additional bulwark in favour of the personal security of the subject,” Calder, 3 Dall., at 390 (Chase, J.), to protect against “the favorite and most formidable instruments of tyranny,” The Federalist No. 84, p. 512 (C. Rossiter ed. 1961) (A. Hamilton), that were “often used to effect the most detestable purposes,” Calder, 3 Dall., at 396 (Paterson, J.).
Calder‘s fourth category addresses this concern precisely. A law reducing the quantum of evidence required to convict an offender is as grossly unfair as, say, retrospectively eliminating an element of the offense, increasing the punishment for an existing offense, or lowering the burden of proof (see infra, at 540-544). In each of these instances, the government subverts the presumption of innocence by reducing the number of elements it must prove to overcome that presumption; by threatening such severe punishment so as to induce a plea to a lesser offense or a lower sentence; or by making it easier to meet the threshold for overcoming the presumption. Reducing the quantum of evidence necessary
Indeed, Fenwick‘s case is itself an illustration of this principle. Fenwick could claim no credible reliance interest in the two-witness statute, as he could not possibly have known that only two of his fellow conspirators would be able to testify as to his guilt, nor that he would be successful in bribing one of them to leave the country. Nevertheless, Parliament had enacted the two-witness law, and there was
VI
The United States as amicus asks us to revisit the accuracy of the fourth category as an original matter. None of its reasons for abandoning the category is persuasive.
All of these sources, though, are perfectly consistent with Justice Chase‘s first category of ex post facto laws. None of them is incompatible with his four-category formulation, unless we accept the premise that Blackstone and the state constitutions purported to express the exclusive definition of an ex post facto law. Yet none appears to do so on its face. And if those definitions were read as exclusive, the United
Next, the United States contends Justice Chase was mistaken to cite the case of Sir John Fenwick as an example of an ex post facto law, because it was actually a bill of attainder. Fenwick was indeed convicted by a bill of attainder, but it does not follow that his case cannot also be an example of an ex post facto law. Clearly, Wooddeson thought it was, see 2 Wooddeson 641, as did the House of Commons, see n. 19, supra, and we are aware of no rule stating that a single historical event can explain one, but not two, constitutional Clauses (actually, three Clauses, see
Finally, both Texas and the United States argue that we have already effectively cast out the fourth category in Collins v. Youngblood, 497 U. S. 37 (1990). Collins held no such thing. That case began its discussion of the
“It is settled, by decisions of this Court so well known that their citation may be dispensed with, that any statute which punishes as a crime an act previously committed, which was innocent when done; which makes more burdensome the punishment for a crime, after its commission, or which deprives one charged with crime of any defense available according to law at the time when the act was committed, is prohibited as ex post
facto.” Collins, 497 U. S., at 42 (quoting Beazell, 269 U. S., at 169-170).
Collins then observed in a footnote: “The Beazell definition omits the reference by Justice Chase in Calder v. Bull, to alterations in the ‘legal rules of evidence.’ As cases subsequent to Calder make clear, this language was not intended to prohibit the application of new evidentiary rules in trials for crimes committed before the changes.” 497 U. S., at 43, n. 3 (citations omitted). Collins then commented that “[t]he Beazell formulation is faithful to our best knowledge of the original understanding of the
It seems most accurate to say that Collins is rather cryptic. While calling Calder‘s four categories the “exclusive definition” of ex post facto laws, it also calls Beazell‘s definition a “faithful” rendition of the “original understanding” of the Clause, even though that quotation omitted category four. And while Collins quotes a portion of Beazell omitting the fourth category, the immediately preceding paragraph in Beazell explains that the law at issue in that case did not change “[t]he quantum and kind of proof required to establish guilt,” 269 U. S., at 170, a statement distinguishing, rather than overruling, Calder‘s fourth category.
If Collins had intended to resurrect a long forgotten original understanding of the
VII
Texas next argues that even if the fourth category exists, it is limited to laws that retrospectively alter the burden of proof (which Article 38.07 does not do). See also post, at 572 (dissenting opinion). It comes to this conclusion on the basis of two pieces of evidence. The first is our decision in Cummings v. Missouri, 4 Wall. 277 (1867). The second concerns Texas’ historical understanding of Fenwick‘s case.
Writing for the Court, Justice Field first observed that “[b]y an ex post facto law is meant one which imposes a punishment for an act which was not punishable at the time it was committed; or imposes additional punishment to that then prescribed; or changes the rules of evidence by which less or different testimony is sufficient to convict than was then required.” Id., at 325-326. The Court then held the amendments violated the
It is correct that Cummings held Missouri‘s constitutional amendments invalid under the fourth category because
As for Texas’ second piece of evidence, it asserts that the law in Fenwick‘s case, requiring two witnesses to convict a person for high treason, traces its origins to the ancient Roman law concept known as the “rule of number,” under which “the probative value of testimony would be increased if others testifying to the same facts swore an oath.” Brief for Respondent 20. The “less testimony” to which Fenwick‘s case refers, the argument runs, concerns lowering the probative value required to convict, i. e., a reduction in the burden of proof.
Even if that historical argument were correct, the same response to Texas’ Cummings-based argument is applicable. But we think the historical premise is mistaken. If the testimony of one witness rather than two truly reflected a less credible showing, and if the House of Commons truly thought it labored under a lesser burden of proof, then one would expect some sort of reference to that in Fenwick‘s case. Yet the few direct references to the burden of proof that were made during the debates are to the contrary; they indicate something roughly the equivalent of a beyond-a-reasonable-doubt standard.29 And at least one Member expressly de-
VIII
Texas argues (following the holding of the Texas Court of Appeals) that the present case is controlled by Hopt v. Territory of Utah, 110 U. S. 574 (1884), and Thompson v. Missouri, 171 U. S. 380 (1898). In Hopt, the defendant was convicted of murder. At trial, the prosecution introduced the testimony of a convicted felon that tended to inculpate the defendant. Hopt objected to the competency of the witness on the basis of a law in place at the time of the alleged murder, which stated: “[T]he rules for determining the competency of witnesses in civil actions are applicable also to criminal actions. . . .” The relevant civil rules, in turn, specified that “all persons, without exception, . . . may be witnesses in any action or proceeding,” but “persons against whom judgment has been rendered upon a conviction
The defendant argued that the retrospective application of the felon witness-competency provision violated the
“Statutes which simply enlarge the class of persons who may be competent to testify in criminal cases are not ex post facto in their application to prosecutions for crimes committed prior to their passage; for they do not attach criminality to any act previously done, and which was innocent when done; nor aggravate any crime theretofore committed; nor provide a greater punishment therefor than was prescribed at the time of its commission; nor do they alter the degree, or lessen the amount or measure, of the proof which was made necessary to conviction when the crime was committed.
“The crime for which the present defendant was indicted, the punishment prescribed therefor, and the quantity or the degree of proof necessary to establish his guilt, all remained unaffected by the subsequent statute. Any statutory alteration of the legal rules of evidence which would authorize conviction upon less proof, in amount or degree, than was required when the offence was committed, might, in respect of that offence, be obnoxious to the constitutional inhibition upon ex post facto laws. But alterations which do not increase the punishment, nor change the ingredients of the offence or the ultimate facts necessary to establish guilt, but—leaving untouched the nature of the crime and the amount or degree of proof essential to conviction—only remove existing restrictions upon the compe-
tency of certain classes of persons as witnesses, relate to modes of procedure only, in which no one can be said to have a vested right, and which the State, upon grounds of public policy, may regulate at pleasure. Such regulations of the mode in which the facts constituting guilt may be placed before the jury, can be made applicable to prosecutions or trials thereafter had, without reference to the date of the commission of the offence charged.” Id., at 589-590 (emphases added).
Thompson v. Missouri, also relied upon by Texas, involved a similar ex post facto challenge to the retrospective application of a law permitting the introduction of expert handwriting testimony as competent evidence, where the rule in place at the time of the offense did not permit such evidence to be introduced. Mainly on the authority of Hopt, the Court rejected Thompson‘s ex post facto challenge as well.
Texas’ reliance on Hopt is misplaced. Article 38.07 is simply not a witness competency rule.31 It does not “simply enlarge the class of persons who may be competent to testify,” and it does not “only remove existing restrictions upon the competency of certain classes of persons as witnesses.” 110 U. S., at 589-590. Both before and after the amendment, the victim‘s testimony was competent evidence. Texas Rule of Criminal Evidence 601(a) already prescribes that “[e]very person is competent to be a witness except as otherwise provided in these rules,” and Rule 601(a)(2) already contains its own provision respecting child wit-
It is profitable, in this respect, to compare the statutes in Hopt and Thompson with the text of Article 38.07. The law in Hopt proscribed a “rul[e] for determining the competency of witnesses” that stated ” ‘persons . . . convict[ed of a] felony . . . shall not be witnesses.’ ” 110 U. S., at 587-588. The statute in Thompson, similarly, specified that ” ‘comparison of a disputed writing . . . shall be permitted to be made by witnesses, and such writings . . . may be submitted to the court and jury as evidence.’ ” 171 U. S., at 381. Article 38.07, however, speaks in terms of whether “[a] convic-
Moreover, a sufficiency of the evidence rule resonates with the interests to which the
Nor do such rules necessarily affect, let alone subvert, the presumption of innocence. The issue of the admissibility of evidence is simply different from the question whether the properly admitted evidence is sufficient to convict the defendant. Evidence admissibility rules do not go to the general issue of guilt, nor to whether a conviction, as a matter of law, may be sustained. Prosecutors may satisfy all the requirements of any number of witness competency
IX
The dissent contends that Article 38.07 is not a sufficiency of the evidence rule. It begins its argument by describing at length how the corroboration requirement “is premised on a legislative judgment that accusations made by sexual assault victims above a certain age are not independently trustworthy.” Post, at 556; see also post, at 557-559. But it does not follow from that premise that Article 38.07 cannot be a sufficiency of the evidence rule. Surely the legislature can address trustworthiness issues through witness competency rules and sufficiency of the evidence rules alike. Indeed, the statutory history to which the dissent points cuts against its own argument. Article 38.07‘s statutory antecedent, the dissent says, was a “replacem[ent]” for the old common-law rule that seduced females were “incompetent” as witnesses. Post, at 557, 558. In 1891, Texas substituted a law stating that ” ‘the female alleged to have been seduced shall be permitted to testify; but no conviction shall be had upon the testimony of the said female, unless the same is corroborated . . . .’ ” Post, at 558 (emphasis added). That statute was recodified as Article 38.07 in 1965, was repealed in 1973, and then replaced in 1975 by another version of Article 38.07. As reenacted, the law‘s language changed from “no conviction shall be had” to its current language that “[a] conviction . . . is supportable.” We think this legislative history, to the extent it is relevant for interpreting the current
Next, the dissent argues that under Texas’ law “the prosecution need not introduce the victim‘s testimony at all, much less any corroboration of that testimony.” Post, at 559. Instead, “[u]nder both the old and new versions of the statute, a conviction could be sustained on the testimony of a single third-party witness, on purely circumstantial evidence, or in any number of other ways.” Ibid. Because other avenues of prosecution—besides the victim‘s testimony (with or without corroboration or outcry)—remain available to the State, Article 38.07 “did not change the quantity of proof necessary to convict in every case.” Post, at 560 (emphasis added in part and deleted in part); see also post, at 561 (“Article 38.07 has never dictated what it takes in all cases . . . for evidence to be sufficient to convict” (emphasis added)). Accordingly, the dissent urges, more evidence (in the form of corroboration) is not really required under Article 38.07. See post, at 560-561, 574. It is unclear whether the dissent‘s argument is that laws cannot be sufficiency of the evidence rules unless they apply to every conviction for a particular crime, or whether the dissent means that sufficiency rules not applicable in every prosecution for a particular crime do not fall within Calder‘s fourth category, which refers to less testimony “required . . . in order to convict the offender.” 3 Dall., at 390 (emphasis added in part and deleted in part). Either way, the argument fails.
Fenwick‘s case once again provides the guide. The dissent agrees that “[t]he treason statute in effect at the time of John Fenwick‘s conspiracy, like the Treason Clause of our Constitution, embodied . . . a quantitative sufficiency [of the evidence] rule.” Post, at 573. But, it argues, Fen-
The dissent‘s final argument relies upon Hopt and runs something like this. The “effect” of Article 38.07, it claims, is the same, in certain cases, as a witness credibility rule. See post, at 559, 563-566, 575. However differently Hopt-
This argument seeks to make Hopt controlling by ignoring what the case says. Hopt specifically distinguished laws that “alter the degree, or lessen the amount or measure, of the proof” required to convict from those laws that merely respect what kind of evidence may be introduced at trial. See supra, at 545. The above argument, though, simply denies any meaningful distinction between those types of laws, on the premise that they produce the same results in some situations. See post, at 563 (“Such a victim is of course not literally forbidden from testifying, but that cannot make the difference for
The argument also pays no heed to the example laid down by Fenwick‘s case. Surely we can imagine a witness competency rule that would operate in a manner similar to the law in that case (e. g., a witness to a treasonous act is not
Moreover, the argument fails to account for what Calder‘s fourth category actually says, and tells only half the story of what a witness competency rule does. As for what Calder says, the fourth category applies to “[e]very law that alters the legal rules of evidence, and receives less, or different, testimony, than the law required at the time of the commission of the offence, in order to convict the offender.” 3 Dall., at 390 (emphasis deleted). The last six words are crucial. The relevant question is whether the law affects the quantum of evidence required to convict; a witness competency rule that (in certain instances at least) has the practical effect of telling us what evidence would result in acquittal does not really speak to Calder‘s fourth category.
As for relating only half the story, the dissent‘s argument rests on the assertion that sometimes a witness competency rule will result in acquittals in the same instances in which Article 38.07 would also demand an acquittal. That may be conceded, but it is only half the story—and, as just noted, not the most relevant half. The other half concerns what a witness competency rule has to say about the evidence “required . . . in order to convict the offender.” The answer is, nothing at all. As mentioned earlier, see supra, at 546-547, prosecutors may satisfy all the requirements of any number of witness competency rules, but this says absolutely nothing about whether they have introduced a quantum of
X
For these reasons, we hold that petitioner‘s convictions on counts 7 through 10, insofar as they are not corroborated by other evidence, cannot be sustained under the
“If the laws in being do not punish an offender, let him go unpunished; let the legislature, admonished of the
And, of course, nothing in the
It is so ordered.
JUSTICE GINSBURG, with whom THE CHIEF JUSTICE, JUSTICE O CONNOR, and JUSTICE KENNEDY join, dissenting.
The Court today holds that the amended version of Article 38.07 of the Texas Code of Criminal Procedure reduces the amount of proof necessary to support a sexual assault conviction, and that its retroactive application therefore violates the
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Petitioner Scott Leslie Carmell began sexually abusing his stepdaughter, “K. M.,” in the spring of 1991, when K. M. was 13 years old. He continued to do so through March 1995. The specific question before the Court concerns Carmell sexual assault on K. M. in June 1992, when K. M. was 14.1 K. M. did not inform anyone about that assault or about any of Carmell other sexual advances toward her until sometime around March 1995, when she told a friend and then her mother, Eleanor Alexander. Alexander went to the police, and Carmell was arrested and charged in a 15-count indictment.
Under
I
A proper understanding of
The effect of
This sort of corroboration requirement—still embodied in
Legislatures in many States, including Texas, have enacted similar evidentiary provisions requiring corroboration for the testimony of other categories of witnesses, particularly accomplices. See, e. g.,
I make no judgment here as to the propriety of the Texas Legislature decision to view the testimony of certain sexual assault victims in the same light as that of accomplices.
The history of
In 1975,
The version of
To begin with, it is beyond doubt that
And it does so without affecting in any way the burden of persuasion that the prosecution must satisfy to support a conviction. Under both the old and new versions of the statute, the applicable standard is proof beyond a reasonable doubt. The amendment in 1993 that repealed the corroboration requirement for victims between the ages of 14 and 18 did nothing to change that standard.
The Court recognizes that
The Court also declares several times that the amended version of
The Court places perhaps its greatest weight on the “sufficiency of the evidence” label, see ante, at 547-552, but the label will not stick. As just noted,
To be sure, one might descriptively say in an individual case that the uncorroborated testimony of the victim would be “sufficient” to convict under the new version of
The Court attempts to distinguish
The Court resists the conclusion that
In short, no matter how it is phrased, the corroboration requirement of
In sum, the function and purpose of the corroboration requirement embedded in the former version of
II
The
The Court does not even attempt to justify its extension of the Clause in terms of these two fundamental purposes. That is understandable, for todays decision serves neither purpose. The first purpose (fair warning and reliance), vital as it is, cannot tenably be relied upon by Carmell. He had ample notice that the conduct in which he engaged was illegal. He certainly cannot claim to have relied in any way on the preamendment version of
In holding the new
If those words are placed in the context of the full text of the Collins opinion, however, a strong case can be made that Collins pared the number of Calder categories down to three, eliminating altogether the fourth category on which the Court today so heavily relies. As long ago as 1925, in Beazell v. Ohio, 269 U. S. 167 (1925), the Court cataloged
The majority asserts that the Court has repeatedly endorsed Justice Chase formulation, “including, in particular, the fourth category,” and it offers an impressive-looking string citation in support of the claim. Ante, at 525. Yet all of those cases simply quoted or paraphrased Chase enumeration, a mechanical task that naturally entailed a recitation of the fourth category. Not one of them depended on that category for the judgment the Court reached.13 Nei
It is true that the Court has on two occasions struck down as
The Court today offers a different reading of Collins. It concludes that Collins overruled Kring and Thompson v. Utah because those cases improperly construed the
In Thompson v. Missouri, 171 U. S. 380 (1898), this Court upheld against
The case most similar to the one before us is Hopt v. Territory of Utah, 110 U. S. 574 (1884). In that case, a statute in effect at the time of the offense but repealed by the time of trial provided that felons were incompetent to testify. The defendant, whose conviction for capital murder had been based in large part on the testimony of a felon, claimed that the application of the new law to his trial was
“Statutes which simply enlarge the class of persons who may be competent to testify in criminal cases are not
ex post facto in their application to prosecutions for crimes committed prior to their passage; for they donot attach criminality to any act previously done, and which was innocent when done; nor aggravate any crime theretofore committed; nor provide a greater punishment therefor than was prescribed at the time of its commission; nor do they alter the degree, or lessen the amount or measure, of the proof which was made necessary to conviction when the crime was committed.” Id., at 589.
As the quoted passage shows, the Court in Hopt rejected the defendant
The Court asserts that ”
In short, the Court expansive new reading of the
Burdens of persuasion are qualitative tests of sufficiency. Calders fourth category, however, encompasses quantitative sufficiency rules as well, for Justice Chase did speak of a law that “receives less . . . testimony, than the law required at the time of the commission of the offence.” 3 Dall., at 390 (emphasis added). Cf. Hopt, 110 U. S., at 590 (“Any statutory alteration of the legal rules of evidence which would authorize conviction upon less proof, in amount or degree, than was required when the offence was committed” might be
The treason statute in effect at the time of John Fenwick conspiracy, like the Treason Clause of our Constitution, embodied just such a quantitative sufficiency rule: As long as the accused traitor put the prosecution to its proof by pleading not guilty, the sworn testimony of two witnesses was necessary to support a conviction. The Court describes at great length the attainder of Fenwick, which served as a cautionary model for Justice Chase explication of the fourth category in Calder. See ante, at 526-530.14 This excursion into post-Restoration English history is diverting, but the Court statement that “the circumstances of petitioner case parallel those of Fenwick case 300 years earlier,” ante, at 530, simply will not wash. The preamendment version of
First, the preamendment version of
That should not be surprising. It makes little sense in our modern legal system to conceive of standards of proof in quantitative terms. In a civil case, the winner is the party that produces better evidence, not the party that produces more evidence. Similarly, in a criminal trial the prosecution need not introduce any fixed amount of evidence, so long as the evidence it does introduce could persuade a rational factfinder beyond a reasonable doubt. “Our system of justice rests on the general assumption that the truth is not to be determined merely by the number of witnesses on each side of a controversy. In gauging the truth of conflicting evidence, a jury has no simple formulation of weights and measures on which to rely. The touchstone is always credibility; the ultimate measure of testimonial worth is quality and not
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In sum, it is well settled (or was until today) that retroactive changes to rules concerning the admissibility of evidence and the competency of witnesses to testify cannot be
Notes
It is also worth observing that before 1986, Rule 601(a) was codified as
That is also why the dissent‘s statement that we have been “misdirected” by the plain text of Article 38.07 is wrong. Post, at 564. The dissent asserts that “any evidence” admitted under an applicable rule of evidence could “potentially” support a conviction, ibid., and therefore Article 38.07‘s explicit specification that a conviction “is supportable” if its requirements are met does not distinguish it from ordinary rules of evidence. Once again, we point out that whether certain evidence can support a conviction is not determined by the rule of admissibility itself, but by some other, separate, normally operative sufficiency of the evidence rule. The distinction the dissent finds illusive is that Article 38.07 itself determines the evidence‘s sufficiency (that is why it is a sufficiency of the evidence rule), while witness competency rules and other ordinary rules of evidence do not (because they are admissibility rules, not sufficiency rules). See also n. 23, supra.
