Ninth Circuit Recognizes that a Defendant Who Pled Guilty Can Be Actually Innocent

In most people’s minds, an innocent man would never plead guilty to an offense. A recent decision of the United States Court of Appeals for the 9th Circuit calls this assumption into question.

In Smith v. Baldwin, 04-35253 (9th Cir., Oct. 24, 2006), a divided Ninth Circuit panel found that a defendant who pled guilty to an offense could assert his actual innocence in challenging his conviction. There, Roger Smith pleaded guilty to felony murder after a burglary turned deadly. Eyewitness testimony established that either Smith or his buddy Jacob Edmonds committed the murder, and the killer did so entirely outside the presence of the other burglar. Although there was evidence pointing to Edmonds as the killer, he was the first to make a deal and he agreed to testify against Smith. After prosecutors confirmed that Edmonds had passed a polygraph, Smith decided to cut his losses and plead guilty to felony murder based on his participation in the burglary.

Edmonds later recanted, admitting that he was the killer and suggesting that Smith knew nothing of his violent intentions (in which case felony murder arguably would not apply). And that polygraph that Edmonds took? It turned out that the results were borderline at best. Smith sought habeas relief, but Oregon prosecutors threatened to revoke Edmonds’ deal if he agreed to testify. In more bad news for Smith, his federal petition was likely barred because he had failed to comply with all of the procedural requirements under the Anti-Terrorism and Effective Death Penalty Act (”AEDPA”).

Thankfully for Mr. Smith the AEDPA has a safety valve for claims of actual innocence. The Ninth Circuit found that the recantation was sufficient evidence of “actual innocence” to allow Mr. Smith’s habeas claim to proceed. The Court found that the prosecution’s effort to prevent Edmonds from testifying is a sufficient basis for presuming that Edmonds is now telling the truth. Accordingly, it concludes that Smith has made a preliminary showing of actual innocence and remands for an evidentiary hearing on his habeas claim.
A virgorous dissent was lodged by Judge Bybee who noted that once a defendant pleads guilty to an offense, he gives up the right to assert his innocence. Further, a prosecutor did not commit error when he “reminded” the informant of his agreement under the plea.