District Attorney's Office for the Third Judicial District v. Osborne
Full Opinion (html_with_citations)
delivered the opinion of the Court.
DNA testing has an unparalleled ability both to exonerate the wrongly convicted and to identify the guilty. It has the potential to significantly improve both the criminal justice system and police investigative practices. The Federal Government and the States have recognized this, and have developed special approaches to ensure that this evidentiary tool can be effectively incorporated into established criminal procedure ā usually but not always through legislation.
Against this prompt and considered response, the respondent, William Osborne, proposes a different approach: the rec
I
A
This lawsuit arose out of a violent crime committed 16 years ago, which has resulted in a long string of litigation in the state and federal courts. On the evening of March 22, 1993, two men driving through Anchorage, Alaska, solicited sex from a female prostitute, K. G. She agreed to perform fellatio on both men for $100 and got in their ear. The three spent some time looking for a place to stop and ended up in a deserted area near Earthquake Park. When K. G. demanded payment in advance, the two men pulled out a gun and forced her to perform fellatio on the driver while the passenger penetrated her vaginally, using a blue condom she had brought. The passenger then ordered K. G. out of the car and told her to lie face-down in the snow. Fearing for her life, she refused, and the two men choked her and beat her with the gun. When K. G. tried to flee, the passenger beat her with a wooden axe handle and shot her in the head while she lay on the ground. They kicked some snow on top of her and left her for dead. 521 F. 3d 1118,1122 (CA9 2008) (case below); Osborne v. State, 163 P. 3d 973, 975-976 (Alaska App. 2007) (Osborne II); App. 27, 42-44.
K. G. did not die; the bullet had only grazed her head. Once the two men left, she found her way back to the road,
Six days later, two military police officers at Fort Richardson pulled over Dexter Jackson for flashing his headlights at another vehicle. In his car they discovered a gun (which matched the shell casing), as well as several items K. G. had been carrying the night of the attack. Id., at 116a, 118a-119a. The car also matched the description K. G. had given to the police. Jackson admitted that he had been the driver during the rape and assault, and told the police that William Osborne had been his passenger. 521 F. 3d, at 1122-1123; 423 F. 3d 1050, 1051-1052 (CA9 2005); Osborne v. State, 110 P. 3d 986, 990 (Alaska App. 2005) (Osborne I). Other evidence also implicated Osborne. K. G. picked out his photograph (with some uncertainty) and at trial she identified Osborne as her attacker. Other witnesses testified that shortly before the crime, Osborne had called Jackson from an arcade, and then driven off with him. An axe handle similar to the one at the scene of the crime was found in Osborneās room on the military base where he lived.
The State also performed DQ Alpha testing on sperm found in the blue condom. DQ Alpha testing is a relatively inexact form of DNA testing that can clear some wrongly accused individuals, but generally cannot narrow the perpetrator down to less than 5% of the population. See Dept, of Justice, National Commān on the Future of DNA Evidence, The Future of Forensic DNA Testing 17 (NCJ 183697, 2000) (hereinafter Future of Forensic DNA Testing); Dept, of Justice, National Commān on the Future of DNA Evidence, Post-conviction DNA Testing: Recommendations for Handling Requests 27 (NCJ 177626, 1999) (hereinafter Postconvietion DNA Testing). The semen found on the condom had a geno
B
Osborne and Jackson were convicted by an Alaska jury of kidnaping, assault, and sexual assault. They were acquitted of an additional count of sexual assault and of attempted murder. Finding it āānearly miraculousāā that K. G. had survived, the trial judge sentenced Osborne to 26 years in prison, with 5 suspended. Id., at 128a. His conviction and sentence were affirmed on appeal. Id., at 113a-130a.
Osborne then sought postconviction relief in Alaska state court. He claimed that he had asked his attorney, Sidney Billingslea, to seek more discriminating restriction-fragment-length-polymorphism (RFLP) DNA testing during trial, and argued that she was constitutionally ineffective for not doing so.
In this proceeding, Osborne also sought the DNA testing that Billingslea had failed to perform, relying on an Alaska postconviction statute, Alaska Stat. §12.72 (2008), and the State and Federal Constitutions. In two decisions, the Alaska Court of Appeals concluded that Osborne had no right to the RFLP test. According to the court, § 12.72 āapparentlyā did not apply to DNA testing that had been available at trial.
The court relied heavily on the fact that Osborne had confessed to some of his crimes in a 2004 application for paroleā in which it is a crime to lie. Id., at 978-979, 981 (majority opinion) (citing Alaska Stat. §11.56.210 (2002)). In this statement, Osborne acknowledged forcing K. G. to have sex at gunpoint, as well as beating her and covering her with
Meanwhile, Osborne had also been active in federal court, suing state officials under 42 U. S. C. § 1983. He claimed that the Due Process Clause and other constitutional provisions gave him a constitutional right to access the DNA evidence for what is known as short-tandem-repeat (STR) testing (at his own expense). App. 24. This form of testing is more discriminating than the DQ Alpha or RFLP methods available at the time of Osborneās trial.
On cross-motions for summary judgment after remand, the District Court concluded that āthere does exist, under the unique and specific facts presented, a very limited constitutional right to the testing sought.ā 445 F. Supp. 2d 1079,
The Court of Appeals affirmed, relying on the prosecutorial duty to disclose exculpatory evidence recognized in Pennsylvania v. Ritchie, 480 U. S. 39 (1987), and Brady v. Maryland, 373 U. S. 83 (1963). While acknowledging that our precedents āinvolved only the right to pre-trial disclosure,ā the court concluded that the Due Process Clause also āextends the governmentās duty to disclose (or the defendantās right of access) to post-conviction proceedings.ā 521 F. 3d, at 1128. Although Osborneās trial and appeals were over, the court noted that he had a āpotentially viableā state constitutional claim of āactual innocence,ā id., at 1130, and relied on the āwell-established assumptionā that a similar claim arose under the Federal Constitution, id., at 1131; cf. Herrera v. Collins, 506 U. S. 390 (1993). The court held that these potential claims extended some of the Stateās Brady obligations to the postconviction context.
The court declined to decide the details of what showing must be made to access the evidence because it found āOsborneās case for disclosure ... so strong on the factsā that ā[wjherever the bar is, he crosses it.ā 521 F. 3d, at 1134. While acknowledging that Osborneās prior confessions were ācertainly relevant,ā the court concluded that they did not ānecessarily trum[p] . . . the right to obtain post-conviction access to evidenceā in light of the āemerging reality of wrongful convictions based on false confessions.ā Id., at 1140.
We granted certiorari to decide whether Osborneās claims could be pursued using § 1983, and whether he has a right under the Due Process Clause to obtain postconviction access to the Stateās evidence for DNA testing. 555 U. S. 992
II
Modern DNA testing can provide powerful new evidence unlike anything known before. Since its first use in criminal investigations in the mid-1980s, there have been several major advances in DNA technology, culminating in STR technology. It is now often possible to determine whether a biological tissue matches a suspect with near certainty. While of course many criminal trials proceed without any forensic and scientific testing at all, there is no technology comparable to DNA testing for matching tissues when such evidence is at issue. Postconviction DNA Testing 1-2; Future of Forensic DNA Testing 13-14. DNA testing has exonerated wrongly convicted people, and has confirmed the convictions of many others.
At the same time, DNA testing alone does not always resolve a case. Where there is enough other incriminating evidence and an explanation for the DNA result, science alone cannot prove a prisoner innocent. See House v. Bell, 547 U. S. 518, 540-548 (2006). The availability of technologies not available at trial cannot mean that every criminal conviction, or even every criminal conviction involving biological evidence, is suddenly in doubt. The dilemma is how to harness DNAās power to prove innocence without unnecessarily overthrowing the established system of criminal justice.
That task belongs primarily to the legislature. ā[T]he States are currently engaged in serious, thoughtful examinations,ā Washington v. Glucksberg, 521 U. S. 702, 719 (1997), of how to ensure the fair and effective use of this testing within the existing criminal justice framework. Forty-six States have already enacted statutes dealing specifically with access to DNA evidence. See generally Brief for State of California et al. as Amici Curiae 3-13; Garrett, Claiming Innocence, 92 Minn. L. Rev. 1629, 1719 (2008) (surveying state statutes); see also An Act to Improve the Preservation
These laws recognize the value of DNA evidence but also the need for certain conditions on access to the Stateās evidence. A requirement of demonstrating materiality is common, e. g., 18 U. S. C. § 3600(a)(8), but it is not the only one. The federal statute, for example, requires a sworn statement that the applicant is innocent. § 3600(a)(1). This requirement is replicated in several state statutes. E. g., Cal. Penal Code Ann. §§ 1405(b)(1), (c)(1) (West Supp. 2009); Fla. Stat. §925.11(2)(a)(3) (2007); N. H. Rev. Stat. Ann. § 651-D:2(I)(b) (West 2007); S. C. Code Ann. §17-28-40 (Supp. 2008). States also impose a range of diligence requirements. Several require the requested testing to āhave been technologically impossible at trial.ā Garrett, supra, at 1681, and n. 242. Others deny testing to those who declined testing at trial for tactical reasons. E. g., Utah Code Ann. § 78B-9-301(4) (Lexis 2008).
First, access to evidence is available under Alaska law for those who seek to subject it to newly available DNA testing that will prove them to be actually innocent. Under the Stateās general postconviction relief statute, a prisoner may challenge his conviction when āthere exists evidence of material facts, not previously presented and heard by the court, that requires vacation of the conviction or sentence in the interest of justice.ā Alaska Stat. § 12.72.010(4) (2008). Such a claim is exempt from otherwise applicable time limits if ānewly discovered evidence,ā pursued with due diligence, āestablishes by clear and convincing evidence that the applicant is innocent.ā § 12.72.020(b)(2).
Both parties agree that under these provisions of § 12.72, āa defendant is entitled to post-conviction relief if the defendant presents newly discovered evidence that establishes by clear and convincing evidence that the defendant is innocent.ā Osborne I, supra, at 992 (internal quotation marks omitted). If such a claim is brought, state law permits general discovery. See Alaska Rule Crim. Proc. 35.1(g) (2008-2009). Alaska courts have explained that these procedures are available to request DNA evidence for newly available testing to establish actual innocence. See Patterson, supra, at *4 (āIf Patterson had brought the DNA analysis request as part of his previous application for [postconviction]
In addition to this statutory procedure, the Alaska Court of Appeals has invoked a widely accepted three-part test to govern additional rights to DNA access under the State Constitution. Osborne II, 163 P. 3d, at 974-975. Drawing on the experience with DNA evidence of State Supreme Courts around the country, the Court of Appeals explained that it was āreluctant to hold that Alaska law offers no remedy to defendants who could prove their factual innocence.ā Osborne 1, 110 P. 3d, at 995; see id., at 995, n. 27 (citing decisions from other state courts). It was āprepared to hold, however, that a defendant who seeks post-conviction DNA testing ... must show (1) that the conviction rested primarily on eyewitness identification evidence, (2) that there was a demonstrable doubt concerning the defendantās identification as the perpetrator, and (3) that scientific testing would likely be conclusive on this issue.ā Id., at 995. Thus, the Alaska courts have suggested that even those who do not get discovery under the Stateās criminal rules have available to them a safety valve under the State Constitution.
This is the background against which the Federal Court of Appeals ordered the State to turn over the DNA evidence in its possession, and it is our starting point in analyzing Osborneās constitutional claims.
Ill
The parties dispute whether Osborne has invoked the proper federal statute in bringing his claim. He sued under the federal civil rights statute, 42 U. S. C. § 1983, which gives a cause of action to those who challenge a Stateās ādeprivation of any rights . . . secured by the Constitution.ā The State insists that Osborneās claim must be brought under 28 U. S. C. § 2254, which allows a prisoner to seek āa writ of habeas corpus ... on the ground that he is in custody in violation of the Constitution.ā
Osborne responds that his claim does not sound in habeas at all. Although invalidating his conviction is of course his ultimate goal, giving him the evidence he seeks āwould not necessarily imply the invalidity of [his] confinement.ā Brief for Respondent 21. If he prevails, he would receive only access to the DNA, and even if DNA testing exonerates him, his conviction is not automatically invalidated. He must bring an entirely separate suit or a petition for clemency to invalidate his conviction. If he were proved innocent, the State might also release him on its own initiative, avoiding any need to pursue habeas at all.
Osborne also invokes our recent decision in Wilkinson v. Dotson, 544 U. S. 74 (2005). There, we held that prisoners who sought new hearings for parole eligibility and suitability need not proceed in habeas. We acknowledged that the two plaintiffs āhope[d]ā their suits would āhelp bring about earlier release,ā id., at 78, but concluded that the §1983 suit would not accomplish that without further proceedings. āBecause neither prisonerās claim would necessarily spell speedier release, neither l[ay] at the core of habeas corpus.ā Id., at 82 (internal quotation marks omitted). Every Court of Appeals to consider the question since Dotson has decided that because access to DNA evidence similarly does not ānecessarily spell speedier release,ā ibid., it can be sought under § 1983. See 423 F. 3d, at 1055-1056; Savory v. Lyons, 469 F. 3d 667, 672 (CA7 2006); McKithen v. Brown, 481 F. 3d 89, 103, and n. 15 (CA2 2007). On the other hand, the State
While we granted certiorari on this question, our resolution of Osborneās claims does not require us to resolve this difficult issue. Accordingly, we will assume without deciding that the Court of Appeals was correct that Heck does not bar Osborneās § 1983 claim. Even under this assumption, it was wrong to find a due process violation.
IV
A
āNo State shall . . . deprive any person of life, liberty, or property, without due process of law.ā U. S. Const., Amdt. 14, § 1; accord, Amdt. 5. This Clause imposes procedural limitations on a Stateās power to take away protected entitlements. See, e. g., Jones v. Flowers, 547 U. S. 220, 226-239 (2006). Osborne argues that access to the Stateās evidence is a āprocessā needed to vindicate his right to prove himself innocent and get out of jail. Process is not an end in itself, so a necessary premise of this argument is that he has an entitlement (what our precedents call a āliberty interestā) to prove his innocence even after a fair trial has proved otherwise. We must first examine this asserted liberty interest to determine what process (if any) is due. See Board of Regents of State Colleges v. Roth, 408 U. S. 564, 570-571 (1972); Olim v. Wakinekona, 461 U. S. 238, 250-251 (1983).
In identifying his potential liberty interest, Osborne first attempts to rely on the Governorās constitutional authority to āgrant pardons, commutations, and reprieves.ā Alaska Const., Art. Ill, §21. That claim can be readily disposed of. We have held that noncapital defendants do not have a liberty interest in traditional state executive clemency,
Osborne does, however, have a liberty interest in demonstrating his innocence with new evidence under state law. As explained, Alaska law provides that those who use ānewly discovered evidenceā to āestablis[h] by clear and convincing evidence that [they are] innocentā may obtain āvacation of [their] conviction or sentence in the interest of justice.ā Alaska Stat. §§ 12.72.020(b)(2), 12.72.010(4). This āstate-created right can, in some circumstances, beget yet other rights to procedures essential to the realization of the parent right.ā Dumschat, supra, at 463; see also Wolff v. McDonnell, 418 U. S. 539, 556-558 (1974).
The Court of Appeals went too far, however, in concluding that the Due Process Clause requires that certain familiar preeonviction trial rights be extended to protect Osborneās postconviction liberty interest. After identifying Osborneās possible liberty interests, the court concluded that the State had an obligation to comply with the principles of Brady v. Maryland, 373 U. S. 83. In that case, we held that due process requires a prosecutor to disclose material exculpatory evidence to the defendant before trial. The Court of Appeals acknowledged that nothing in our precedents suggested that this disclosure obligation continued after the defendant was convicted and the case was closed, 521 F. 3d, at 1128, but it relied on prior Ninth Circuit precedent applying āBrady as a post-conviction right,ā ibid, (citing Thomas v. Goldsmith, 979 F. 2d 746, 749-750 (1992)). Osborne does not claim that Brady controls this case, Brief for Respondent 39-40, and with good reason.
A criminal defendant proved guilty after a fair trial does not have the same liberty interests as a free man. At trial, the defendant is presumed innocent and may demand that
The State accordingly has more flexibility in deciding what procedures are needed in the context of postconviction relief. ā[W]hen a State chooses to offer help to those seeking relief from convictions,ā due process does not ādictat[e] the exact form such assistance must assume.ā Pennsylvania v. Finley, 481 U. S. 551, 559 (1987). Osborneās right to due process is not parallel to a trial right, but rather must be analyzed in light of the fact that he has already been found guilty at a fair trial, and has only a limited interest in postconviction relief. Brady is the wrong framework.
Instead, the question is whether consideration of Osborneās claim within the framework of the Stateās procedures for postconviction relief āoffends some principle of justice so rooted in the traditions and conscience of our people as to be ranked as fundamental,ā or ātransgresses any recognized principle of fundamental fairness in operation.ā Medina v. California, 505 U. S. 437, 446, 448 (1992) (internal quotation marks omitted); see Herrera, supra, at 407-408 (applying Medina to postconviction relief for actual innocence); Finley, supra, at 556 (postconviction relief procedures are constitutional if they ācompor[t] with fundamental fairnessā). Federal courts may upset a Stateās postconviction relief procedures only if they are fundamentally inadequate to vindicate the substantive rights provided.
We see nothing inadequate about the procedures Alaska has provided to vindicate its state right to postconviction relief in general, and nothing inadequate about how those procedures apply to those who seek access to DNA evidence.
And there is more. While the Alaska courts have not had occasion to conclusively decide the question, the Alaska Court of Appeals has suggested that the State Constitution provides an additional right of access to DNA. In expressing its āreluctante] to hold that Alaska law offers no remedyā to those who belatedly seek DNA testing, and in invoking the three-part test used by other state courts, the court indicated that in an appropriate case the State Constitution may provide a failsafe even for those who cannot satisfy the statutory requirements under general postconviction procedures. Osborne I, 110 P. 3d, at 995-996.
To the degree there is some uncertainty in the details of Alaskaās newly developing procedures for obtaining postconviction access to DNA, we can hardly fault the State for that. Osborne has brought this §1983 action without ever using these procedures in filing a state or federal habeas claim relying on actual innocence. In other words, he has not tried to use the process provided to him by the State or attempted to vindicate the liberty interest that is now the centerpiece
His attempt to sidestep state process through a new federal lawsuit puts Osborne in a very awkward position. If he simply seeks the DNA through the Stateās discovery procedures, he might well get it. If he does not, it may be for a perfectly adequate reason, just as the federal statute and all state statutes impose conditions and limits on access to DNA evidence. It is difficult to criticize the Stateās procedures when Osborne has not invoked them. This is not to say that Osborne must exhaust state-law remedies. See Patsy v. Board of Regents of Fla., 457 U. S. 496, 500-501 (1982). But it is Osborneās burden to demonstrate the inadequacy of the state-law procedures available to him in state postconviction relief. Cf. Medina, supra, at 453. These procedures are adequate on their face, and without trying them, Osborne can hardly complain that they do not work in practice.
As a fallback, Osborne also obliquely relies on an asserted federal constitutional right to be released upon proof of āactual innocence.ā Whether such a federal right exists is an open question. We have struggled with it over the years, in some cases assuming, arguendo, that it exists while also noting the difficult questions such a right would pose and the high standard any claimant would have to meet. House, 547 U. S., at 554-555; Herrera, 506 U. S., at 398-417; see also id., at 419-421 (OāConnor, J., concurring); id., at 427-428 (SCALIA,
B
The Court of Appeals below relied only on procedural due process, but Osborne seeks to defend the judgment on the basis of substantive due process as well. He asks that we recognize a freestanding right to DNA evidence untethered from the liberty interests he hopes to vindicate with it. We reject the invitation and conclude, in the circumstances of this case, that there is no such substantive due process right. āAs a general matter, the Court has always been reluctant to expand the concept of substantive due process because guideposts for responsible decisionmaking in this unchartered area are scarce and open-ended.ā Collins v. Harker Heights, 503 U. S. 115, 125 (1992). Osborne seeks access to state evidence so that he can apply new DNA-testing technology that might prove him innocent. There is no long history of such a right, and ā[t]he mere novelty of such a claim is reason enough to doubt that āsubstantive due processā sustains it.ā Reno v. Flores, 507 U. S. 292, 303 (1993).
And there are further reasons to doubt. The elected governments of the States are actively confronting the challenges DNA technology poses to our criminal justice systems and our traditional notions of finality, as well as the opportu
Establishing a freestanding right to access DNA evidence for testing would force us to act as policymakers, and our
In this case, the evidence has already been gathered and preserved, but if we extend substantive due process to this area, these questions would be before us in short order, and it is hard to imagine what tools federal courts would use to answer them. At the end of the day, there is no reason to suppose that their answers to these questions would be any better than those of state courts and legislatures, and good reason to suspect the opposite. See Collins, supra, at 125; Glucksberg, supra, at 720.
* * *
DNA evidence will undoubtedly lead to changes in the criminal justice system. It has done so already. The question is whether further change will primarily be made by legislative revision and judicial interpretation of the existing system, or whether the Federal Judiciary must leap aheadā revising (or even discarding) the system by creating a new constitutional right and taking over responsibility for refining it.
Federal courts should not presume that state criminal procedures will be inadequate to deal with technological change. The criminal justice system has historically accommodated new types of evidence, and is a time-tested means of carrying out societyās interest in convicting the guilty while respect
The judgment of the Court of Appeals is reversed, and the case is remanded for further proceedings consistent with this opinion.
It is so ordered.
RFLP testing, unlike DQ Alpha testing, āhas a high degree of discrimination,ā although it is sometimes ineffective on small samples. Postconviction DNA Testing 26-27; Future of Forensic DNA Testing 14-16. Billingslea testified that she had no memory of Osborne making such a request, but said she was ā āwilling to acceptā ā that he had. Osborne I, 110 P. 3d 986, 990 (Alaska App. 2005).
It is not clear whether the Alaska Court of Appeals was correct that Osborne sought only forms of DNA testing that had been available at trial, compare id., at 992, 995, with 521 F. 3d 1118, 1123, n. 2 (CA9 2008), but it resolved the ease on that basis.
STR testing is extremely discriminating, can be used on small samples, and is ārapidly becoming the standard.ā Future of Forensic DNA Testing 18, n. 9. Osborne also sought to subject the pubic hairs to mitochondrial DNA testing, a secondary testing method often used when a sample cannot be subjected to other tests. See Postconviction DNA Testing 28. He argues that ā[a]ll of the same arguments that support access to the condom for STR testing support access to the hairs for mitochondrial testing as well,ā Brief for Respondent 11, n. 4, and we treat the claim accordingly.
The dissent asserts that our position āresemblesā Justice Harlanās dissent in Miranda v. Arizona, 384 U. S. 436 (1966). Post, at 101, n. 10 (opinion of Stevens, J.). Miranda devised rules to safeguard a constitutional right the Court had already recognized. Indeed, the underlying requirement at issue in that case that confessions be voluntary had ārootsā going back centuries. Dickerson v. United States, 530 U. S. 428, 432-433 (2000). In contrast, the asserted right to access DNA evidence is unrooted in history or tradition, and would thrust the Federal Judiciary into an area previously left to state courts and legislatures.