Lead Opinion
delivered the opinion of the Court.
The Warden of San Quentin State Prison asks this Court to retire a doctrine of equal protection jurisprudence first announced in 1880. The time has come, he urges, for us to abandon the rule requiring reversal of the conviction of any defendant indicted by a grand jury from which members of his own race were systematically excluded.
I-H
In 1962, the grand jury of Kings County, California, indicted respondent, Booker T. Hillery, for a brutal murder.
For the next 16 years, respondent pursued appeals and collateral relief in the state courts, raising at every opportunity his equal protection challenge to the grand jury that indicted him.
1 — 1 I
As a threshold matter, we turn to petitioner s contention that respondent has circumvented his obligation to exhaust state remedies before seeking collateral relief in federal court. 28 U. S. C. § 2254(b). The exhaustion issue had its genesis in this case when the Federal District Judge saw a need to “supplement and clarify” the state-court record presented for review. Record, Doc. No. 8, p. 2. Upon authority of 28 U. S. C. § 2254 Rule 7, the judge directed the State to provide more figures “demonstrating what portion of the Black population in Kings County was eligible for grand jury service.” Record, Doc. No. 8, p. 3. He also directed the parties to present their views regarding the application of statistical probability analysis to the facts of this case, to assist him in “focus[ing] on the likelihood that chance or accident alone could account for the exclusion of a group from grand jury service.” Ibid. Petitioner objects that the submissions made in response to the judge’s order “drastically” altered respondent’s claim and rendered it unsuitable for federal habeas review without prior consideration by the state courts. Brief for Petitioner 81.
The exhaustion doctrine seeks to afford the state courts a meaningful opportunity to consider allegations of legal error without interference from the federal judiciary. Rose v. Lundy,
Rule 7(b) permits a federal district court in a habeas proceeding to expand the existing record to “include, without limitation,. . . documents, exhibits, and answers under oath, if so directed, to written interrogatories propounded by the judge. Affidavits may be submitted and considered as a part of the record.” In this case, the District Court sought to clarify the relevant facts, an endeavor wholly consistent with Rule 7 and the purpose of the writ. See Townsend v. Sain,
Several affidavits challenged here as “new” evidence supported respondent’s allegations that no black had ever served on the grand jury in Kings County and that qualified blacks in the county were available to serve, which he had pressed in his pretrial motion to quash in Superior Court, App. 28-30, and throughout the state proceedings. The California Supreme Court found that the total absence of blacks from the grand jury in the history of Kings County was an undisputed fact. People v. Hillery,
The remaining “new” evidence under attack, a computer analysis submitted in response to the District Court’s request, assessed the mathematical probability that chance or accident could have accounted for the exclusion of blacks from the Kings County grand jury over the years at issue.
More recently, in reviewing a habeas corpus proceeding, this Court independently applied general statistical principles to the evidence on the record in order to assess the role of chance in the exclusion of Mexican-Americans from a grand jury in Texas. Castaneda v. Partida,
We emphasize that the District Court’s request for further information was evidently motivated by a responsible concern that it provide the meaningful federal review of constitutional claims that the writ of habeas corpus has contemplated throughout its history.
I — I hH hH
On the merits, petitioner urges this Court to find that discrimination in the grand jury amounted to harmless error in this case, claiming that the evidence against respondent was overwhelming and that discrimination no longer infects the selection of grand juries in Kings County. Respondent’s conviction after a fair trial, we are told, purged any taint attributable to the indictment process. Our acceptance of this theory would require abandonment of more than a century of consistent precedent.
In 1880, this Court reversed a state conviction on the ground that the indictment charging the offense had been
Thereafter, the Court has repeatedly rejected all arguments that a conviction may stand despite racial discrimination in the selection of the grand jury. See, e. g., Neal v. Delaware,
Petitioner argues here that requiring a State to retry a defendant, sometimes years later, imposes on it an unduly harsh penalty for a constitutional defect bearing no relation to the fundamental fairness of the trial. Yet intentional discrimination in the selection of grand jurors is a grave constitutional trespass, possible only under color of state authority, and wholly within the power of the State to prevent. Thus, the remedy we have embraced for over a century — the only effective remedy for this violation
When constitutional error calls into question the objectivity of those charged with bringing a defendant to judgment, a reviewing court can neither indulge a presumption of regularity nor evaluate the resulting harm. Accordingly, when the trial judge is discovered to have had some basis for rendering a biased judgment, his actual motivations are hidden from review, and we must presume that the process was impaired. See Tumey v. Ohio,
Just as a conviction is void under the Equal Protection Clause if the prosecutor deliberately charged the defendant on account of his race, see United States v. Batchelder,
The opinion of the Court in Mitchell ably presented other justifications, based on the necessity for vindicating Fourteenth Amendment rights, supporting a policy of automatic reversal in cases of grand jury discrimination. That analysis persuasively demonstrated that the justifications retain their validity in modern times, for “114 years after the close of the War Between the States and nearly 100 years after Strauder, racial and other forms of discrimination still remain a fact of life, in the administration of justice as in our society as a whole.”
IV
The dissent propounds a theory, not advanced by any party, which would condition the grant of relief upon the passage of time between a conviction and the filing of a petition for federal habeas corpus, depending upon the ability of a State to obtain a second conviction. Sound jurisprudence
The Habeas Corpus Rules permit a State to move for dismissal of a habeas petition when it “has been prejudiced in its ability to respond to the petition by delay in its filing.” 28 U. S. C. §2254 Rule 9(a). Indeed, petitioner filed such a motion in this case, and it was denied because the District Court found that no prejudicial delay had been caused by respondent. Hillery v. Sumner,
V
Today’s decision is supported, though not compelled, by the important doctrine of stare decisis, the means by which we ensure that the law will not merely change erratically, but will develop in a principled and intelligible fashion. That doctrine permits society to presume that bedrock principles are founded in the law rather than in the proclivities of individuals, and thereby contributes to the integrity of our constitutional system of government, both in appearance and in
Our history does not impose any rigid formula to constrain the Court in the disposition of cases. Rather, its lesson is that every successful proponent of overruling precedent has borne the heavy burden of persuading the Court that changes in society or in the law dictate that the values served by stare decisis yield in favor of a greater objective. In the case of grand jury discrimination, we have been offered no reason to believe that any such metamorphosis has rendered the Court’s long commitment to a rule of reversal outdated, ill-founded, unworkable, or otherwise legitimately vulnerable to serious reconsideration. On the contrary, the need for such a rule is as compelling today as it was at its inception.
The judgment of the Court of Appeals, accordingly, is affirmed.
It is so ordered.
Notes
Three thorough and well-reasoned opinions of the District Court discuss in detail the evidence adduced at the hearing, as well as other aspects of the case. See Hillery v. Pulley,
See People v. Hillery,
The statistical expert concluded that if the grand juries selected in Kings County between 1900 and 1962 had been chosen by chance, the probability that no black would have been selected was 57 in 100,000 million. Although the State made no attempt to rebut this testimony, the District Court questioned the reliability of the expert’s analysis, performed its own analysis of the data, and ultimately accepted the expert’s conclusions only for the 7-year period of Judge Wingrove’s tenure, which yielded a probability of 2 in 1,000 that the phenomenon was attributable to chance.
The dissent attempts to lessen the precedential weight of Mitchell by characterizing it as an advisory opinion. Post, at 270, n. 4. In Part II of Mitchell, three Justices reaffirmed the principle that grand jury discrimination requires reversal of the conviction in all cases; in Parts III and IV, they concluded that the prisoner had failed to make out a prima facie case of discrimination.
As we pointed out in Rose v. Mitchell, alternative remedies are ineffectual. Federal law provides a criminal prohibition against discrimination in the selection of grand jurors, 18 U. S. C. § 243, but according to statistics compiled by the Administrative Office of the United States Courts, that section has not been the basis for a single prosecution in the past nine years. With respect to prior years, for which precise information is not available, we have been unable to find evidence of any prosecution or conviction under the statute in the last century. The other putative remedy for grand jury discrimination is 42 U. S. C. § 1983, which, in theory, allows redress for blacks who have been excluded from grand jury service. See Carter v. Jury Comm’n of Greene County,
Justice White does not join in the foregoing paragraph.
Concurrence Opinion
concurring in the judgment.
This Court has long held that upon proof of systematic exclusion of blacks from a grand jury issuing an indictment, the admittedly costly remedy of reversal of a conviction thereafter obtained through a fair trial is necessary in order to eradicate and deter such discrimination. Not until Rose v. Mitchell,
I share the view expressed by Justice Powell in Rose: a petitioner who has been afforded by the state courts a full
In this case, the District Court held that respondent was not given a full and fair hearing on his discriminatory exclusion claim in state court. See Hillery v. Pulley,
Dissenting Opinion
with whom The Chief Justice and Justice Rehnquist join, dissenting.
Respondent, a black man, was indicted by a grand jury having no black members for the stabbing murder of a 15-year-old girl. A petit jury found respondent guilty of that charge beyond a reasonable doubt, in a trial the fairness of which is unchallenged here.
It is difficult to reconcile this result with a rational system of justice. The Court nevertheless finds its decision compelled by a century of precedent and by the interests of respondent and of society in ending race discrimination in the selection of grand juries. I dissent for two reasons. First, in my view, any error in the selection of the grand jury that indicted respondent is constitutionally harmless. Second, even assuming that the harmless-error rule does not apply, reversal of respondent’s conviction is an inappropriate remedy for the wrong that prompts this case.
h-i
The Court concludes that the harmless-error rule does not apply to claims of grand jury discrimination. Ante, at 261. This conclusion is said to follow from a line of cases going back over 100 years. Ante, at 260-261. In my view, it follows from a misapplication of the doctrine of stare decisis.
Adhering to precedent “is usually the wise policy, because in most matters it is more important that the applicable rule of law be settled than that it be settled right.” Burnet v.
In Chapman v. California,
Other doctrines reflect the same principle. A defendant claiming ineffective assistance of counsel must show that counsel’s incompetence caused him actual prejudice. Strickland v. Washington,
In Rose v. Mitchell,
Thirty-one years ago, in a typically prescient opinion, Justice Jackson called for such an explanation. Cassell v. Texas,
I would dissent from the Court’s decision for this reason alone. The reasoning of Chapman and its progeny accords with a rational system of justice — one that fully preserves
II
Even assuming that now-established harmless-error principles are inapplicable, this case unjustifiably extends the “century of precedent” on which the Court relies. Those decisions do not require reversal of a decades-old conviction on the ground that it was preceded by an indictment issued by a discriminatorily selected grand jury. The purposes of the “automatic reversal” rule require otherwise.
A
No one questions that race discrimination in grand jury selection violates the Equal Protection Clause of the Fourteenth Amendment. E. g., Rose v. Mitchell,
The Constitution does not compel the rule of automatic reversal that the Court applies today. In Hobby v. United States,
B
The scope of the remedy depends in part on the nature and degree of the harm caused by the wrong. The Court perceives two kinds of harm flowing from grand jury discrimination: harm to respondent’s interest in not being charged
(1)
The Court does not contend that the discriminatory selection of the grand jury that indicted respondent calls into question the correctness of the decision to indict. Such a contention could not withstand analysis. Following his indictment for murder, respondent was convicted of that charge in a trial and by a jury whose fairness is not now challenged. The conviction, affirmed on direct appeal in 1965,
“It hardly lies in the mouth of a defendant whom a fairly chosen trial jury has found guilty beyond reasonable doubt, to say that his indictment is attributable to prejudice. In this case a trial judge heard the prosecution’s evidence, ruled it sufficient to warrant a conviction, appellate courts have held the same, and no further question about it is before us. Moreover, a jury admittedly chosen without racial discrimination has heard the prosecution’s and defendant’s evidence and has held that guilt beyond a reasonable doubt has been proved. That finding, too, has been affirmed on appeal and is not here. Under such circumstances, it is frivolous to contend that any grand jury, however constituted, could have done itsduty in any way other than to indict.” Cassell v. Texas, supra, at 302 (dissenting).
The Court nevertheless decides that discrimination in the selection of the grand jury potentially harmed respondent, because the grand jury is vested with broad discretion in deciding whether to indict and in framing the charges, and because it is impossible to know whether this discretion would have been exercised differently by a properly selected grand jury. Ante, at 263. The point appears to be that an all-white grand jury from which blacks are systematically excluded might be influenced by race in determining whether to indict and for what charge. Since the State may not imprison respondent for a crime if one of its elements is his race, the argument goes, his conviction must be set aside.
This reasoning ignores established principles of equal protection jurisprudence. We have consistently declined to find a violation of the Equal Protection Clause absent a finding of intentional discrimination. Arlington Heights v. Metropolitan Housing Development Corp.,
This justification does not square with the Court’s previous decisions in this area; at the same time, it fails to explain the outcome of this case. In Castaneda v. Partida,
Once the inference of racial bias in the decision to indict is placed to one side, as it must be under our precedents, it is
(2)
As respondent suffered no prejudice from the grand jury discrimination that prompted his claim, the Court’s remedy must stand or fall on its utility as a deterrent to government officials who seek to exclude particular groups from grand juries, weighed against the cost that the remedy imposes on society. See United States v. Leon,
The cases on which the Court relies involved relatively brief lapses of time between the defendant’s trial and the granting of relief. This fact is unsurprising, since the Court only recently determined that claims of grand jury discrimination may be raised in federal habeas corpus proceedings. See Rose v. Mitchell,
This case raises the open question whether relief should be denied where the discrimination claim is pressed many years after conviction, and where the State can show that the delay prejudiced its ability to retry the defendant.
In Rose v. Mitchell, supra, the Court reasoned that the rule of automatic reversal imposes limited costs on society, since the State is able to retry successful petitioners, and since “the State remains free to use all the proof it introduced to obtain the conviction in the first trial.” Id., at 558. This is not the case when relief is granted many years after the original conviction. In those circumstances, the State may find itself severely handicapped in its ability to carry its heavy burden of proving guilt beyond a reasonable doubt. Where the original verdict turned on the jury’s credibility judgments, long delays effectively eliminate the State’s ability to reconstruct its case. Even where credibility is not central, the passage of time may make the right to retry the defendant “a matter of theory only.” Friendly, Is Innocence Irrelevant? Collateral Attack on Criminal Judgments, 38 U. Chi. L. Rev. 142, 147 (1970). Witnesses die or move away; physical evidence is lost; memories fade. For these reasons, the Court has noted that “ ‘[t]he greater the lapse of time, the more unlikely it becomes that the state could reprosecute if retrials are held to be necessary.’” Peyton v. Rowe,
Long delays also dilute the effectiveness of the reversal rule as a deterrent. This case is illustrative. The architect of the discriminatory selection system that led to respondent’s claim, Judge Wingrove, died 19 years ago. Respond
These concerns require that a different balance be struck in a case such as this one than in cases in which the grand jury discrimination claim is adjudicated only a short time after the petitioner’s conviction. At the very least, the Court should focus directly on the aspect of delay that increases the costliness of its remedy by allowing the State to show that it would be substantially prejudiced in its ability to retry respondent.
Ill
Twenty-three years ago, respondent was fairly convicted of the most serious of crimes. Respondent’s grand jury discrimination claim casts no doubt on the adequacy of the procedures used to convict him or on the sufficiency of the evidence of his guilt. For that reason alone, the Court should reverse the Court of Appeals’ decision.
The Court follows neither of these paths, but instead affirms a decision that will likely mean that respondent must be freed for no good purpose. This result is not compelled by precedent. But if it were, its consequences would justify reconsidering those decisions thought to require it. I therefore dissent.
Respondent was thrice sentenced to death for this murder. See People v. Hillery,
According to 1960 census figures, 4.7% of Kings County’s population over age 21 was black. Hillery v. Pulley,
As the Court stated in Strickland, “[w]hen a defendant challenges a conviction, the question is whether there is a reasonable probability that, absent the errors, the factfinder would have had a reasonable doubt respecting guilt.”
Although all parts of Justice Blackmun’s opinion in Rose v. Mitchell were joined by four other Justices, its precedential weight is subject to some question. In particular, Part II of the opinion — the part that discusses the legal principles applicable to grand jury discrimination claims generally — was not joined by five Justices who also joined in the judgment. Cf. Gregg v. Georgia,
Respondent does not allege that discriminatory selection of grand jurors continued after 1962. Nor is there anything in the record to support such an allegation.
The California Supreme Court affirmed respondent’s conviction in 1963; on rehearing in 1965, the court reversed respondent’s death sentence but again affirmed his conviction. Ante, at 256, n. 2. Respondent is presently serving a sentence of life imprisonment.
Most criminal cases in Kings County were initiated by information rather than indictment. In the decade ending in 1962, Kings County grand juries indicted a total of only four persons, only one of whom was black. People v. Hillery,
Nor is there any direct evidence that the grand jury discriminated against respondent because of his race. The only discrimination in this ease was directed not at respondent but at the black residents of Kings County, who were barred from serving on grand juries because of their
Instead, as the Court apparently acknowledges, a validly convicted criminal defendant must show that he was “deliberately charged ... on account of his race” in order to obtain reversal of the conviction. Ante, at 264 (citing United States v. Batchelder,
1 do not intend to suggest that respondent could have obtained judicial review of the sufficiency of the evidence on which his indictment was based. See United States v. Calandra,
In my separate opinion in Rose v. Mitchell, I took the position that, where a habeas petitioner is given a full opportunity to litigate his grand jury discrimination claim in state court, he should not be permitted to litigate the claim again on federal habeas corpus.
Justice O’Connor has some doubt as to whether respondent had a full and fair opportunity to litigate his grand jury discrimination claim in a state court. Ante, at 267 (O’ConnoR, J., concurring in judgment). Respondent concedes that he did in fact relitigate that claim in state habeas corpus proceedings, Brief for Respondent 3, and appealed the denial of relief to the California Supreme Court. Ibid. In my view, this afforded respondent an entirely adequate opportunity to litigate in state courts both the underlying discrimination claim and the subsidiary claim that Judge Wingrove was a biased adjudicator.
It is unnecessary actually to decide the issue in this case, for I conclude that the judgment should be reversed on two other grounds: the harmlessness of the error, and the inappropriateness of the Court’s remedy in cases in which the discrimination claim is raised so long after the claimant’s conviction that retrial is difficult if not impossible.
The longest time lapse occurred in Strauder v. West Virginia,
The Court has decided only two cases in which the State might have argued that a long delay in raising a grand jury discrimination claim prejudiced the State’s ability to retry the defendant. In both instances, the Court denied relief on other grounds. Francis v. Henderson,
The reason for this delay is irrelevant, unless bad faith on the State’s part can be shown. Because respondent suffered no injury from Kings County’s discriminatory selection of grand juries, he cannot fairly complain if he is required to raise his claim promptly in order to secure a windfall.
Moreover, respondent does not appear to have been blameless for the long delay. The California Supreme Court finally rejected respondent’s grand jury discrimination claim in 1965. Respondent next raised the claim in 1974, when he sought postconviction relief in state court. During the intervening nine years, respondent raised repeated challenges — ultimately successfully — to his death sentence. There is no apparent reason why respondent could not simultaneously have sought postconviction relief on the grand jury discrimination claim, which if successful would require a new trial on guilt.
Under the Court’s approach, one in respondent’s position may be wise to wait to raise his discrimination claim until the State could no longer reconvict him due to the death or disappearance of witnesses or the loss of physical evidence. In effect, this strategy could permit a prisoner to commute a legally imposed sentence of life or long duration. This is a risk society should tolerate where the claim goes to the petitioner’s guilt or innocence, or even where the claim seeks otherwise to redress a wrong done to the petitioner. But there is no reason to tolerate this risk where, as here, the claimant was fairly convicted and has suffered no prejudice from the asserted constitutional error.
The Court suggests that Rule 9(a) of the Habeas Corpus Rules, together with congressional inaction, “counsels against” considering prejudice to the State’s ability to retry respondent in this case. Ante, at 265. This suggestion is erroneous. Rule 9 permits the State to defend against both repetitious habeas petitions, see Woodard v. Hutchins,
“[W]e recognize a limited discretion in the federal judge to deny [habeas corpus] relief to an applicant under certain circumstances. Discretion is implicit in the statutory command that the judge, after granting the writ and holding a hearing of appropriate scope, ‘dispose of the matter as law and justice require,’ 28 U. S. C. § 2243; and discretion was the flexible concept employed by the federal courts in developing the exhaustion rule. Furthermore, habeas corpus has traditionally been regarded as governed by equitable principles.”
See also Stone v. Powell, supra, at 478, n. 11. Those “equitable principles” cannot, in my view, require that the Court apply a remedy that is not constitutionally compelled beyond the bounds of justice and good sense.
Confidence in our system of justice is eroded when one found guilty of murder, in a trial conceded to be fair, is set free. It is important to remember that the criminal law’s aim is twofold: “that guilt shall not escape
