Opinion · Supreme Court of the United States
Tuilaepa v. California
Tuilaepa v. Cal., 114 S. Ct. 2630 (1994)
- Type
- Opinion
- Court
- Supreme Court of the United States
- Jurisdiction
- Federal
- Date
- 1994-06-30
- Topic
- general
holding that "[t]he circumstances of the crime are a traditional subject for consideration by the sen-tencer,” and may include factors such as the defendant’s age | concluding that “[a] capital sentencer need not be instructed how to weigh any particular fact in the capital sentencing decision.” | holding that sentencer has discretion to evaluate and weigh aggravating and mitigating factors in deciding whether to impose death penalty | holding that “[t]he circumstances of the crime are a traditional subject for consideration by the sentencer,” and may include factors such as the defendant's age | holding that California death penalty special circumstances were not unconstitutionally vague | holding that in order for an aggravating circumstance to not be constitutionally infirm, it “may not apply to every defendant convicted of a murder; it must apply only to a subclass of defendants convicted of murder” | holding that in order for an aggravating circumstance to not be constitutionally infirm, it "may not apply to every defendant convicted of a murder; it must apply only to a subclass of defendants convicted of murder" | holding trier of fact must find one aggravating circumstance at either the guilt or penalty phase | holding trier of fact must find one aggravating circumstance at either the guilt or penalty phase | holding that in order for an aggravating circumstance to not be constitutionally infirm, it “may not apply to every defendant convicted of a murder; it must apply only to a subclass of defendants convicted of murder” | noting that at the selection phase, the state is not confined to submitting specific propositional questions to the jury and may indeed allow the jury unbridled discretion | noting that at the selection phase, the state is not confined to submitting specific propositional questions to the jury and may indeed allow the jury unbridled discretion | stating that "the aggravating-factor determination (the so-called 'eligibility phase') * * * is a purely factual determination" | noting that the § 190.3 sentencing factors "do not instruct the sentencer how to weigh any of the facts it finds in deciding upon the ultimate sentence" | noting that the § 190.3 sentencing factors “do not instruct the sentencer how to weigh any of the facts it finds in deciding upon the ultimate sentence” | explaining that an aggravating circumstance “must apply only to a subclass of defendants convicted of murder.” | noting that sentencing factors that permit the jury to "consider matters of historical fact" are not constitutionally infirm | explaining that the aggravating circumstance "may not apply to every defendant convicted of a murder; it must apply only to a subclass of defendants convicted of murder" | holding that challenge to portion of California’s death penalty regime requiring jury to consider circumstances of the crime was merit less because it was at odds with settled principles of capital jurisprudence that circumstances of the crime must be considered | explaining that the Eighth Amendment is satisfied "when the jury can consider relevant mitigating evidence of the character and record of the defendant and the circumstances of the crime" (emphases added) | noting that a jury can consider “evidence of the character and record of the defendant” during the sentence stage | explaining that "[a] capital sentencer need not be instructed how to weigh any particular fact in the capital sentencing decision" | noting that a defendant’s threat to “burn” a California Youth Authority employee was meant only as an angry retort rather than as a true threat | holding unadjudicated criminal conduct may be introduced to support the aggravating factor of probable future violence | noting that sentencing factors that permit the jury to “consider matters of historical fact” are not constitutionally infirm | observing that decision whether death-eligible defendant should receive death penalty “is an individualized determination on the
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(a) The Court's vagueness review is quite deferential, and relies on the basic principle that a factor is not unconstitutional if it has some "commonsense core of meaning . . . that criminal juries should be capable of understanding."Jurekv.Texas,428 U.S. 262,279(White, J., concurring in judgment). Petitioners' challenge to factor (a) is at some odds with settled principles, for the circumstances of the crime are a traditional subject for consideration by the sentencer, see,e.g., Woodsonv.North Carolina,428 U.S. 280,304(plurality opinion), and factor (a) instructs the jury in understandable terms. Factor (b) is framed in conventional and understandable terms as well. Asking a jury to consider matters of historical fact is a permissible part of the sentencing process. Tuilaepa's challenge to factor (i) is also unusual in light of thePage 968Court's precedents. SeeEddings v. Oklahoma,455 U.S. 104,115-117. While determining the bearing age ought to have in fixing the penalty can pose a dilemma for the jury, difficulty in application is not the equivalent of vagueness. Pp. 971-977.
(b) This Court's precedents also foreclose petitioners' remaining arguments. Selection factors need not require answers to factual questions. The States are not confined to submitting to the jury specific propositional questions, see,e.g., Zantv.Stephens,462 U.S. 862,878-880,889, and there is no constitutional problem where an instruction directs consideration of a crime's facts and circumstances. Nor must a capital sentencer be instructed how to weigh any particular fact in the sentencing decision. See,e.g., Californiav.Ramos,463 U.S. 992,1008-1009. Pp. 977-980.
No. 93-5131,4 Cal.4th 569,842 P.2d 1142, and No. 93-5161,4 Cal.4th 499,842 P.2d 1100, affirmed.
KENNEDY, J., delivered the opinion of the Court, in which REHNQUIST, C.J., and O'CONNOR, SCALIA, SOUTER, and THOMAS, JJ., joined. SCALIA, J.,post, p. 980 and SOUTER, J., post, p. 980, filed concurring opinions. STEVENS, J., filed an opinion concurring in the judgment, in which GINSBURG, J., joined, post, p. 981. BLACKMUN, J., filed a dissenting opinion, post, p. 984.
The State sought the death penalty against Tuilaepa, charging him with the murder of Melvin Whiddon and one special circumstance under § 190.2: murder during the commission of a robbery. The jury found Tuilaepa guilty of first-degree murder, and also found the special circumstance true. At the penalty phase, the trial judge instructed the jury to consider the relevant sentencing factors specified in § 190.3. The jury was unanimous in sentencing Tuilaepa to death.
Petitioner Proctor murdered Bonnie Stendal, a 55-year-old schoolteacher who lived in Burney, a small community in Shasta County, California. On a night in April, 1982, Proctor entered Mrs. Stendal's home and beat her, causing numerousPage 971cuts and bruises on her face. Proctor stabbed Mrs. Stendal in the neck several times and inflicted seven stab wounds in the area of the right breast. Proctor raped Mrs. Stendal and committed further sexual assaults with a foreign object. After beating, torturing, and raping Mrs. Stendal, Proctor strangled her to death and dumped her body on the side of the road near Lake Britton, 12 miles from Burney. The body was found late the next afternoon, clad in a nightgown with hands tied behind the back.
The State sought the death penalty against Proctor, charging him with murder and a number of special circumstances under § 190.2, including murder during the commission of a rape, murder during the commission of a burglary, and infliction of torture during a murder. The jury found Proctor guilty of murder and found the three special circumstances true. After a mistrial at the penalty phase, Proctor's motion for change of venue was granted, and a new sentencing jury was empaneled in Sacramento County. The trial judge instructed the jury to consider the sentencing factors specified in § 190.3. The jury was unanimous in sentencing Proctor to death.
Petitioners appealed to the Supreme Court of California, which affirmed their convictions and death sentences. No. 93-5131,4 Cal.4th 569,842 P.2d 1142(1992), and No. 93-5161,4 Cal.4th 499,842 P.2d 1100(1992). We granted certiorari,510 U.S. 1010(1993), and now affirm.
We have imposed a separate requirement for the selection decision, where the sentencer determines whether a defendant eligible for the death penalty should in fact receive that sentence. "What is important at the selection stage is anindividualizeddetermination on the basis of the character of the individual and the circumstances of the crime."Zant, supra, at 879; see alsoWoodsonv.North Carolina,428 U.S. 280,303-304(1976) (plurality opinion). That requirement is met when the jury can consider relevant mitigating evidence of the character and record of the defendant and the circumstances of the crime.Blystonev. Pennsylvania,494 U.S. 299,307(1990) ("requirement of individualized sentencing in capital cases is satisfied by allowing the jury to consider allPage 973relevant mitigating evidence"); seeJohnsonv.Texas,509 U.S. 350,361(1993).
The eligibility decision fits the crime within a defined classification. Eligibility factors almost of necessity require an answer to a question with a factual nexus to the crime or the defendant so as to "make rationally reviewable the process for imposing a sentence of death."Arave, supra, at 471 (internal quotation marks omitted). The selection decision, on the other hand, requires individualized sentencing and must be expansive enough to accommodate relevant mitigating evidence so as to assure an assessment of the defendant's culpability. The objectives of these two inquiries can be in some tension, at least when the inquiries occur at the same time. SeeRomanov.Oklahoma, ante, at 6 (referring to "two somewhat contradictory tasks"). There is one principle common to both decisions, however: The State must ensure that the process is neutral and principled so as to guard against bias or caprice in the sentencing decision. SeeGreggv.Georgia,428 U.S. 153,189(1976) (joint opinion of Stewart, Powell, and STEVENS, JJ.) (procedures must "minimize the risk of wholly arbitrary and capricious action"). That is the controlling objective when we examine eligibility and selection factors for vagueness. Indeed, it is the reason that eligibility and selection factors (at least in some sentencing schemes) may not be "too vague."Walton, supra, at 654; seeMaynardv.Cartwright,486 U.S. 356,361-364(1988).
Because "the proper degree of definition" of eligibility and selection factors often "is not susceptible of mathematical precision," our vagueness review is quite deferential.Walton, supra, at 655; seeGregg, supra, at 193-194 (factors "are by necessity somewhat general"). Relying on the basic principle that a factor is not unconstitutional if it has some "common sense core of meaning . . . that criminal juries should be capable of understanding,"Jurekv.Texas,428 U.S. 262,279(1976) (White, J., concurring in judgment), wePage 974have found only a few factors vague, and those, in fact, are quite similar to one another. SeeMaynard, supra, at 363-364 (question whether murder was "especially heinous, atrocious, or cruel");Godfrey,supra, at 427-429 (question whether murder was "outrageously or wantonly vile, horrible and inhuman"); cf.Arave,507 U.S., at 472("We are not faced with pejorative adjectives . . . that describe a crime as a whole"). In providing for individualized sentencing, it must be recognized that the States may adopt capital sentencing processes that rely upon the jury, in its sound judgment, to exercise wide discretion. That is evident from the numerous factors we have upheld against vagueness challenges. See,e.g., id., at 472-473 (question whether the defendant was a "cold-blooded, pitiless slayer" is not unconstitutionally vague);Walton, supra, at 654 (question whether "perpetrator inflict[ed] mental anguish or physical abuse before the victim's death" with "[m]ental anguish includ[ing] a victim's uncertainty as to his ultimate fate" is not unconstitutionally vague) (internal quotation marks omitted);Proffittv.Florida,428 U.S. 242,255-258(1976) (joint opinion of Stewart, Powell, and STEVENS, JJ.) (various "mitigating" questions not unconstitutionally vague, nor is the question whether the crime was a "conscienceless or pitiless crime which [wa]s unnecessarily torturous to the victim") (internal quotation marks omitted);Jurek, supra, at 274-276 (question "whether there is a probability that the defendant would commit criminal acts of violence that would constitute a continuing threat to society" is not unconstitutionally vague).
In our decisions holding a death sentence unconstitutional because of a vague sentencing factor, the State had presented a specific proposition that the sentencer had to find true or false (e.g., whether the crime was especially heinous, atrocious, or cruel). We have held, under certain sentencing schemes, that a vague propositional factor used in the sentencing decision creates an unacceptable risk of randomness, the mark of the arbitrary and capricious sentencing processPage 975prohibited byFurmanv.Georgia,408 U.S. 238(1972). SeeStringerv.Black,503 U.S. 222(1992). Those concerns are mitigated when a factor does not require a yes or a no answer to a specific question, but instead only points the sentencer to a subject matter. See Cal. Penal Code Ann. §§ 190.3(a), (k) (West 1988). Both types of factors (and the distinction between the two is not always clear) have their utility. For purposes of vagueness analysis, however, in examining the propositional content of a factor, our concern is that the factor have some "common sense core of meaning . . . that criminal juries should be capable of understanding."Jurek, supra, at 279 (White, J., concurring in judgment).
Petitioners' challenge to factor (a) is at some odds with settled principles, for our capital jurisprudence has established that the sentencer should consider the circumstances of the crime in deciding whether to impose the death penalty. See,e.g., Woodson,428 U.S., at 304("Consideration of . . . the circumstances of the particular offense [is] a constitutionally indispensable part of the process of inflicting the penalty of death"). We would be hard-pressed to invalidate a jury instruction that implements what we have said the law requires. In any event, this California factor instructs the jury to consider a relevant subject matter and does so in understandable terms. The circumstances of the crime are a traditional subject for consideration by the sentencer, and an instruction to consider the circumstances is neither vague nor otherwise improper under ourEighthAmendment jurisprudence.
Tuilaepa also challenges factor (b), which requires the sentencer to consider the defendant's prior criminal activity. The objection fails for many of the same reasons. Factor (b) is phrased in conventional and understandable terms, and rests in large part on a determination whether certain events occurred, thus asking the jury to consider matters of historical fact. Under other sentencing schemes, in Texas, for example, jurors may be asked to make a predictive judgment, such as "whether there is a probability that the defendant would commit criminal acts of violence that wouldPage 977constitute a continuing threat to society." SeeJurek,428 U.S., at 269. Both a backward-looking and a forward-looking inquiry are a permissible part of the sentencing process, however, and the States have considerable latitude in determining how to guide the sentencer's decision in this respect. Here, factor (b) is not vague.
Tuilaepa's third challenge is to factor (i), which requires the sentencer to consider "[t]he age of the defendant at the time of the crime." This again is an unusual challenge in light of our precedents. SeeEddingsv.Oklahoma,455 U.S. 104,115-117(1982) (age may be relevant factor in sentencing decision). The factual inquiry is of the most rudimentary sort, and there is no suggestion that the term "age" is vague. Petitioner contends, however, that the age factor is equivocal, and that, in the typical case, the prosecution argues in favor of the death penalty based on the defendant's age, no matter how old or young he was at the time of the crime. It is neither surprising nor remarkable that the relevance of the defendant's age can pose a dilemma for the sentencer. But difficulty in application is not equivalent to vagueness. Both the prosecution and the defense may present valid arguments as to the significance of the defendant's age in a particular case. Competing arguments by adversary parties bring perspective to a problem, and thus serve to promote a more reasoned decision, providing guidance as to a factor jurors most likely would discuss in any event. We find no constitutional deficiency in factor (i).
Petitioners also suggest that the § 190.3 sentencing factors are flawed because they do not instruct the sentencer how toPage 979weigh any of the facts it finds in deciding upon the ultimate sentence. In this regard, petitioners claim that a single list of factors is unconstitutional because it does not guide the jury in evaluating and weighing the evidence and allows the prosecution (as well as the defense) to make wide-ranging arguments about whether the defendant deserves the death penalty. This argument, too, is foreclosed by our cases. A capital sentencer need not be instructed how to weigh any particular fact in the capital sentencing decision. InCaliforniav.Ramos, for example, we upheld an instruction informing the jury that the Governor had the power to commute life sentences, and stated that "the fact that the jury is given no specific guidance on how the commutation factor is to figure into its determination presents no constitutional problem."463 U.S., at 1008-1009, n. 22. Likewise, inProffittv.Florida, we upheld the Florida capital sentencing scheme even though "the various factors to be considered by the sentencing authorities [did] not have numerical weights assigned to them."428 U.S., at 258. InGregg, moreover, we "approved Georgia's capital sentencing statute even though it clearly did not channel the jury's discretion by enunciating specific standards to guide the jury's consideration of aggravating and mitigating circumstances."Zant,462 U.S., at 875. We also rejected an objection "to the wide scope of evidence and argument" allowed at sentencing hearings.428 U.S., at 203-204. In sum, "discretion to evaluate and weigh the circumstances relevant to the particular defendant and the crime he committed" is not impermissible in the capital sentencing process.McCleskeyv.Kemp,481 U.S. 279,315, n. 37 (1987). "Once the jury finds that the defendant falls within the legislatively defined category of persons eligible for the death penalty, . . . the jury then is free to consider a myriad of factors to determine whether death is the appropriate punishment.Ramos, supra, at 1008. Indeed, the sentencer may be given unbridled discretion in determining whether the death penalty should bePage 980imposed after it has found that the defendant is a member of the class made eligible for that penalty."Zant, supra, at 875; see alsoBarclayv.Florida,463 U.S. 939,948-951(1983) (plurality opinion). In contravention of those cases, petitioners' argument would force the States to adopt a kind of mandatory sentencing scheme requiring a jury to sentence a defendant to death if it found, for example, a certain kind or number of facts, or found more statutory aggravating factors than statutory mitigating factors. The States are not required to conduct the capital sentencing process in that fashion. SeeGregg, supra, at 199-200, n. 50.
The instructions to the juries in petitioners' cases directing consideration of factor (a), factor (b), and factor (i) did not violate the Constitution. The judgments of the Supreme Court of California areAffirmed.
The question is whether, in addition to adequately narrowing the class of death-eligible defendants, the State must channel the jury's sentencing discretion when it is deciding whether to impose the death sentence on an eligible defendant by requiring the trial judge to characterize relevant sentencing factors as aggravating or mitigating. InZant, we held that the incorrect characterization of a relevant factor as an aggravating factor did not prejudice the defendant; it follows, I believe, that the failure to characterize factors such as the age of the defendant or the circumstances of the crime as either aggravating or mitigating is also unobjectionable.Page 982Indeed, I am persuaded that references to such potentially ambiguous, but clearly relevant, factors actually reduces the risk of arbitrary capital sentencing.
Prior to the Court's decision inFurmanv.Georgia,408 U.S. 238(1972), in a number of States the death penalty was authorized not only for all first-degree murders, but for less serious offenses such as rape, armed robbery, and kidnaping as well. Moreover, juries had virtually unbridled discretion in determining whether a human life should be taken or spared. The risk of arbitrary and capricious sentencing, specifically including the danger that racial prejudice would determine the fate of the defendant,fn*persuaded a majority of the Court inFurmanthat such capital sentencing schemes were unconstitutional. The two principal protections against such arbitrary sentencing that have been endorsed in our subsequent jurisprudence focus, respectively, on the eligibility determination and the actual sentencing decision.
First, as CHIEF JUSTICE REHNQUIST writing for the Court inLowenfieldv. Phelps,484 U.S. 231(1988), succinctly stated: "To pass constitutional muster, a capital sentencing scheme must `genuinely narrow the class of persons eligible for the death penalty and must reasonably justify the imposition of a more severe sentence on the defendant compared to others found guilty of murder.'"Id., at 244 (quotingZantv.Stephens,462 U.S., at 877). When only a narrow subclass of murderers can be subjected to the death penalty, the risk of cruel and unusual punishment — either because it is disproportionate to the severity of the offense or because its imposition may be influenced by unacceptable factors — is diminished. SeeMcCleskeyv.Kemp,481 U.S. 279,367(1987) (STEVENS, J., dissenting). Because those risks can never be entirely eliminated, however, the Court has identified an additionalPage 983safeguard to protect death-eligible defendants from the arbitrary imposition of the extreme penalty.
InLockettv.Ohio,438 U.S. 586,602-605(1978), Chief Justice Burger emphasized the importance of requiring the jury to make an individualized determination on the basis of the character of the individual and the circumstances of the crime. Insisting that the jury have an opportunity to consider all evidencerelevantto a fair sentencing decision reduces the danger that they might otherwise rely on an irrelevant and improper consideration such as the race of the defendant. InZant, even though the trial judge had incorrectly characterized the defendant's prior history of "assaultive offenses" as a statutory aggravating circumstance, we found no constitutional error because the evidence supporting that characterization was relevant and admissible.462 U.S., at 887-889. We made it clear, however, that it would be error for a State to attach the "aggravating" label to, or otherwise authorize the jury to draw adverse inferences from, "factors that are constitutionally impermissible or totally irrelevant to the sentencing process, such as for example the race, religion, or political affiliation of the defendant."Id., at 885.
The three penalty-phase factors in California's statute that are challenged in these cases do not violate that command. Matters such as the age of the defendant at the time of the crime, the circumstances of the crime, and the presence or absence of force or violence are, in my opinion, relevant to an informed, individualized sentencing decision. UnderLockett, the defendant has a right to have the sentencer consider favorable evidence on each of these subjects, and underZantit is permissible for the prosecutor to adduce unfavorable evidence on the same subjects. If, as we held inZant, it is not constitutional error for the trial judge to place an incorrect label on the prosecutor's evidence, it necessarily follows that refusing to characterize ambiguous evidence asPage 984mitigating or aggravating is also constitutionally permissible. Indeed, as I have indicated, I think the identification of additional factors that are relevant to the sentencing decision reduces the danger that a juror may vote in favor of the death penalty because he or she harbors a prejudice against a class of which the defendant is a member.
Accordingly, given the assumption (unchallenged by these petitioners) that California has a statutory "scheme" that complies with the narrowing requirement defined inLowenfieldv.Phelps,484 U.S., at 244, I conclude that the sentencing factors at issue in these cases are consistent with the defendant's constitutional entitlement to an individualized "determination that death is the appropriate punishment in a specific case."Woodsonv.North Carolina,428 U.S. 280,305(1976) (opinion of Stewart, Powell, and STEVENS, JJ.).
The majority introduces a novel distinction between "propositional" and "nonpropositional" aggravating circumstances.Ante, at 974. The majority acknowledges that the "distinction between the two is not always clear,"ante, at 975; I find it largely illusory. The Court suggests, but does not make explicit, that propositional factors are those that "require a yes or a no answer to a specific question," while nonpropositional factors are those that "only poin[t] the sentencer to a subject matter."Ibid. Presumably, then, asking the jury whether "the murder was especially heinous, atrocious, or cruel" would be a propositional aggravator, while directing the sentencer to "the presence or absence of any especial heinousness, atrocity, or cruelty" would be a nonpropositional factor. I am at a loss to see how the mere rephrasing does anything more to channel or guide jury discretion. Nor does this propositional/nonpropositional distinction appear to play any role in the Court's decision. The Court nowhere discloses specifically where the line is drawn, on which side of it the three challenged factors fall, and what relevance, if any, this distinction should have to the Court's future vagueness analysis.1Page 986
The more relevant distinction is not how an aggravating factor is presented, but what the sentencer is told to do with it. Where, as in Georgia, "aggravating factors, as such, have no specific function in the jury's decision whether a defendant who has been found to be eligible for the death penalty should receive it under all the circumstances of the case,"Stringer,503 U.S., at 229-230, we have not subjected aggravating circumstances to a vagueness analysis. SeeZantv.Stephens,462 U.S. 862,873-874(1983). In California, by contrast, where the sentencer is instructed to weigh the aggravating and mitigating circumstances, a vague aggravator creates the risk of an arbitrary thumb on death's side of the scale, so we analyze aggravators for clarity, objectivity, and principled guidance. SeeMaynardv.Cartwright,486 U.S. 356(1988);Godfreyv.Georgia,446 U.S. 420(1980); see alsoPensingerv.California,502 U.S. 930,931(1991) (O'CONNOR, J., dissenting from denial of certiorari) (observing that California, like Mississippi, "requires its juries to weigh aggravating and mitigating circumstances");Stringer,503 U.S., at 231(difference between "nonweighing" States like Georgia and "weighing" States like California is "not one of `semantics'") (citation omitted).
Each of the challenged California factors "leave[s] the sentencer without sufficient guidance for determining the presence or absence of the factor."Espinosav.Florida,505 U.S. 1079,1081(1992). Each of the three — circumstances of the crime, age, and prior criminal activity — has been exploited to convince jurors that just about anything is aggravating.
Prosecutors have argued, and jurors are free to find, that "circumstances of the crime" constitutes an aggravating factor because the defendant killed the victim for some purportedlyPage 987aggravating motive, such as money,2or because the defendant killed the victim for no motive at all;3because the defendant killed in cold blood,4or in hot blood;5because the defendant attempted to conceal his crime,6or made no attempt to conceal it;7because the defendant made the victim endure the terror of anticipating a violent death,8or because the defendant killed without any warning;9and because the defendant had a prior relationship with the victim,10or because the victim was a complete stranger.11Similarly, prosecutors have argued, and juries are free to find, that the age of the victim was an aggravating circumstance because the victim was a child, an adolescent, a young adult, in the prime of life, or elderly;12or that the method of killing was aggravating because the victim was strangled, bludgeoned, shot, stabbed, or consumed by fire;13or thatPage 988the location of the killing was an aggravating factor, because the victim was killed in her own home, in a public bar, in a city park, or in a remote location.14In short, because neither the California Legislature nor the California courts ever have articulated a limiting construction of this term, prosecutors have been permitted to use the "circumstances of the crime" as an aggravating factor to embrace the entire spectrum of facts present in virtually every homicide — something this Court condemned inGodfreyv.Georgia,446 U.S. 420(1980). SeeMaynardv.Cartwright,486 U.S., at 363(the Court "plainly rejected the submission that a particular set of facts surrounding a murder, however shocking they might be, were enough in themselves, and without some narrowing principle to apply to those facts, to warrant the imposition of the death penalty").15
The defendant's age as a factor, applied inconsistently and erratically, similarly fails to channel the jurors' discretion. In practice, prosecutors and trial judges have applied this factor to defendants of virtually every age: in their teens, twenties, thirties, forties, and fifties at the time of thePage 989crime.16Far from applying any narrowing construction, the California Supreme Court has described age as a "metonym for any age-related matter suggested by the evidence or by common experience or morality that might reasonably inform the choice of penalty."Peoplev.Lucky,45 Cal.3d 259,302,753 P.2d 1052,1080(1988),cert. denied,488 U.S. 1034(1989).
Nor do jurors find meaningful guidance from "the presence or absence of criminal activity by the defendant which involved the use or attempted use of force or violence." Although the California Supreme Court has held that "criminal" is "limited to conductthat violates a penalstatute,"Peoplev.Wright,52 Cal.3d 367,425,802 P.2d 221,259(1990) (emphasis in original), and that "force or violence" excludes violence to property,Peoplev.Boyd,38 Cal.3d 762,700 P.2d 782(1985), that court has not required such an instruction, and petitioner Tuilaepa's jurors were not so instructed. This left the prosecution free to introduce evidence of "trivial incidents of misconduct and ill temper,"Peoplev.Boyd,38 Cal.3d, at 774,700 P.2d, at 791, and left the jury free to find an aggravator on that basis.17Page 990
No less a danger is that jurors — or even judges — will treat the mere absence of a mitigator as an aggravator, transforming a neutral or factually irrelevant factor into an illusory aggravator.18Although the California Supreme Court has ruled that certain of the factors can serve only as mitigators,19it has not required that the jury be so instructed. See,e.g., Peoplev.Raley,2 Cal.4th 870,919,830 P.2d 712,744-745(1992), cert. denied,507 U.S. 945(1993). Nor has that court restricted jury instructions to those aggravatingPage 991factors that are factually relevant to the case.20Clearly, some of the mitigating circumstances are so unusual that treating their absence as an aggravating circumstance would make them applicable to virtually all murderers. SeePeoplev.Davenport,41 Cal.3d 247,289,710 P.2d 841,888(1985) (most murder cases present the absence of the mitigating circumstances of moral justification and victim participation). An aggravating factor that exists in nearly every capital case fails to fulfill its purpose of guiding the jury in distinguishing "those who deserve capital punishment from those who do not."Aravev.Creech,507 U.S. 463,474(1993). Moreover, a process creating the risk that the absence of mitigation will count as aggravation artificially inflates the number of aggravating factors the jury weighs, "creat[ing] the possibility not only of randomness but also of bias in favor of . . . death."Stringerv.Black,503 U.S., at 236.
In short, open-ended factors and a lack of guidance to regularize the jurors' application of these factors create a system in which, as a practical matter, improper arguments can be made in the courtroom and credited in the jury room. I am at a loss to see how these challenged factors furnish the "`clear and objective standards' that provide `specific and detailed guidance,' and that `make rationally reviewable the process for imposing a sentence of death.'"Walton v.Arizona,497 U.S. 639,651(1990) (SCALIA, J., concurring in part and dissenting in part), quotingGodfreyv.Georgia,446 U.S. 428omitted).
Because the "circumstances of the crime" factor lacks clarity and objectivity, it poses an unacceptable risk that a sentencer will succumb to either overt or subtle racial impulses or appeals. This risk is not merely theoretical. For far too many jurors, the most important "circumstances of the crime" are the race of the victim or the defendant. SeeMcCleskeyv.Kemp,481 U.S. 279,320(1987) (BRENNAN, J., dissenting); see also General Accounting Office, Report to Senate and House Committees on the Judiciary, Death Penalty Sentencing: Research Indicates Pattern of Racial Disparities (Feb. 1990) (surveying and synthesizing studies and finding a "remarkably consistent" conclusion that the race of the victim influenced the likelihood of being charged with capital murder or receiving the death penalty in 82% of cases), reprinted at 136 Cong. Rec. 12267-12268 (1990).
The California capital sentencing scheme does little to minimize this risk. The "circumstances of the crime" factor may be weighed in aggravation in addition to the applicable special circumstances. Cal. Penal Code Ann. § 190.3(a) (West 1988) (the trier of fact shall take into account "[t]he circumstances of the crime of which the defendant was convicted in the present proceedingandthe existence of any special circumstances found to be true") (emphasis added).Page 993The special circumstances themselves encompass many of the factors generally recognized as aggravating, including multiple-murder convictions; commission of the murder in relation to another felony; the "especially heinous, atrocious, or cruel" nature of the murder; and the relevant identity of the victim (as a law enforcement officer, a witness to a crime, a judge, a prosecutor, or a public official). The statute, therefore, invites the jurors to speculate about, and give aggravating weight to, unspecified circumstances apart from these.
Nor has the California Supreme Court attempted to limit or guide this ranging inquiry. Far from it. That court has concluded that the "circumstances of the crime" factor extends beyond "merely the immediate temporal and spatial circumstances of the crime,"Peoplev.Edwards,54 Cal.3d 787,833,819 P.2d 436,465(1991), and leaves "the sentencer free to evaluate the evidence in accordance with his or her own subjective values,"Peoplev.Tuilaepa,4 Cal.4th 569,595,842 P.2d 1142,1158(1992) (case below). The court has even warned that it has not yet "explore[d] the outer reaches of the evidence admissible as a circumstance of the crime."Peoplev.Edwards,54 Cal.3d, at 835,819 P.2d, at 467. Thus, the "unique opportunity for racial prejudice to operate but remain undetected,"Turnerv.Murray,476 U.S. 28,35(1986), exists unchecked in the California capital sentencing scheme. This does not instill confidence in the jury's decision to impose the death penalty on petitioner Tuilaepa, who is Samoan, and whose victim was white.
Additionally, the Court's opinion says nothing about the constitutional adequacy of California's eligibility process, which subjects a defendant to the death penalty if he is convicted of first-degree murder and the jury finds the existence of one "special circumstance."22By creating nearly 20 such special circumstances, California creates an extraordinarily large death pool. Because petitioners mount no challenge to these circumstances, the Court is not called on to determine that they collectively perform sufficient, meaningful narrowing. SeeZantv.Stephens,462 U.S. 862(1983).
Of particular significance, the Court's consideration of a small slice of one component of the California scheme says nothing about the interaction of the various components — the statutory definition of first-degree murder, the special circumstances, the relevant factors, the statutorily required weighing of aggravating and mitigating factors, and the availability of judicial review, but not appellate proportionality review — and whether their end result satisfies theEighthAmendment's commands. The Court's treatment today of the relevant factors as "selection factors" alone rests on thePage 995assumption, not tested, that the special circumstances perform all of the constitutionally required narrowing for eligibility. Should that assumption prove false, it would further undermine the Court's approval today of these relevant factors.
Similarly, inPulleyv.Harris,465 U.S. 37,51(1984), the Court's conclusion that the California capital sentencing scheme was not "so lacking in other checks on arbitrariness that it would not pass constitutional muster without comparative proportionality review" was based in part on an understanding that the application of the relevant factors "`provide[s] jury guidance and lessen[s] the chance of arbitrary application of the death penalty,'" thereby "`guarantee[ing] that the jury's discretion will be guided and its consideration deliberate.'"Id., at 53, quotingHarrisv.Pulley,692 F.2d 1189,1194,1195(CA9 1982). As litigation exposes the failure of these factors to guide the jury in making principled distinctions, the Court will be well advised to reevaluate its decision inPulleyv.Harris.
In summary, the Court isolates one part of a complex scheme and says that, assuming that all the other parts are doing their job, this one passes muster. But the crucial question, and one the Court will need to face, is how the parts are working together to determine with rationality and fairness who is exposed to the death penalty and who receives it.
- Together with No. 93-5161,Proctorv.California, also on certiorari to the same court. ↩
- Page 968Michael Laurence, Paul L. Hoffman, andMark Silversteinfiled a brief for the American Civil Liberties Union et al. asamici curiaeurging reversal in No. 93-5131.Clifford Gardner, Melissa W. Johnson,Gail R. Weinheimer, andSteven W. Parnesfiled a brief for the California Appellate Project asamicus curiaeurging reversal in both cases.Kent S. Scheideggerfiled a brief for the Criminal Justice Legal Foundation asamicus curiaeurging affirmance in both cases. ↩
- Page 969 Section 190.3 provides in part:
"In determining the penalty, the trier of fact shall take into account any of the following factors if relevant:
"(a) The circumstances of the crime of which the defendant was convicted in the present proceeding and the existence of any special circumstances found to be true pursuant to Section 190.1.
"(b) The presence or absence of criminal activity by the defendant which involved the use or attempted use of force or violence or the express or implied threat to use force or violence.
"(c) The presence or absence of any prior felony conviction."(d) Whether or not the offense was committed while the defendant was under the influence of extreme mental or emotional disturbance.
"(e) Whether or not the victim was a participant in the defendant's homicidal conduct or consented to the homicidal act.
"(f) Whether or not the offense was committed under circumstances which the defendant reasonably believed to be a moral justification or extenuation for his conduct.
"(g) Whether or not defendant acted under extreme duress or under the substantial domination of another person.
"(h) Whether or not at the time of the offense the capacity of the defendant to appreciate the criminality of his conduct or to conform his conduct to the requirements of law was impaired as a result of mental disease or defect, or the [e]ffects of intoxication.
"(i) The age of the defendant at the time of the crime."(j) Whether or not the defendant was an accomplice to the offense and his participation in the commission of the offense was relatively minor.
"(k) Any other circumstance which extenuates the gravity of the crime even though it is not a legal excuse for the crime.
↩ - Page 982 See Justice Douglas' concurring opinion,408 U.S., at 249-251. ↩
- Page 985 Nor does it matter forEighthAmendment purposes that California uses one set of factors (the § 190.2 "special circumstances") to determine eligibility, and another set (the § 190.3 "relevant factors") in the weighing or selection process. Whether an aggravator is used for narrowing, or for weighing, or for both, it cannot be impermissibly vague. SeeAravev.Creech,507 U.S. 463(1993) (vagueness analysis applied to aggravating factor, even though remaining aggravating factor made defendant death Page 986 eligible);Sochorv.Florida,504 U.S. 527(1992) (same);Waltonv.Arizona,497 U.S. 639(1990) (same). The Court recognizes as much by subjecting the challenged factors to a vagueness analysis. ↩
- Page 987Peoplev.Howard, Cal. Sup.Ct. No. S004452, Brief for California Appellate Project asAmicus Curiae14, n. 9, 17, n. 29 (hereinafterAmicusBrief). ↩
- Page 987Peoplev.Edwards, Cal. Sup.Ct. No. S004755,id., at 15, n. 13, 17, n. 29. ↩
- Page 987Peoplev.Visciotti, Cal. Sup.Ct. No. S004597,id., at 15, n. 15. ↩
- Page 987Peoplev.Jennings, Cal. Sup.Ct. No. S004754,id., at 15, n. 16. ↩
- Page 987Peoplev.Benson, Cal. Sup.Ct. No. S004763,id., at 15, n. 17. ↩
- Page 987Peoplev.Morales, Cal. Sup.Ct. No. S004552,id., at 15, n. 18. ↩
- Page 987Peoplev.Webb, Cal. Sup.Ct. No. S006938,id., at 16, n. 19. ↩
- Page 987Peoplev.Freeman, Cal. Sup.Ct. No. S004787,id., at 18, n. 31. ↩
- Page 987Peoplev.Padilla, Cal. Sup.Ct. No. S0144964,id., at 16, n. 25. ↩
- Page 987Peoplev.Anderson, Cal. Sup.Ct. No. S004385,id., at 16, n. 26. ↩
- Page 987Peoplev.Deere, Cal. Sup.Ct. No. S004722,id., at 17, n. 27 (victims were two and six);Peoplev.Bonin, Cal. Sup.Ct. No. S004565,ibid. (victims were adolescents);Peoplev.Carpenter, Cal. Sup.Ct. No. S004654,ibid. (victim was 20);Peoplev.Phillips,41 Cal.3d 29,63,711 P.2d 423,444(1985) (26-year-old victim was "in the prime of his life");Peoplev. Melton, Cal. Sup.Ct. No. S004518, Amicus Brief 17, n. 27 (victim was 77). ↩
- Page 987Peoplev.Clair, Cal. Sup.Ct. No. S004789,id., at 17, n. 27 (strangulation);Peoplev.Kipp, Cal. Sup.Ct. No. S004784,ibid. (same);Peoplev.Fauber, Cal. Sup.Ct. No. S005868,ibid. (use of an axe);Peoplev.Benson, Cal. Sup.Ct. No. S004763,ibid. (use of a hammer);Peoplev.Cain, Cal. Sup.Ct. No. S006544,ibid. (use of a club);Peoplev.Jackson, Cal. Sup.Ct. No. S010723,ibid. (use of a gun);Peoplev.Reilly, Cal. Sup.Ct. Page 988 No. S004607,ibid. (stabbing);Peoplev.Scott, Cal. Sup.Ct. No. S010334,ibid. (fire). ↩
- Page 988Peoplev.Anderson, Cal. Sup.Ct. No. S004385,id., at 18, n. 31 (victim's home);Peoplev.Freeman, Cal. Sup.Ct. No. S004787,ibid. (public bar);Peoplev.Ashmus, Cal. Sup.Ct. No. S004723,ibid. (city park);Peoplev.Carpenter, Cal. Sup.Ct. No. S004654,ibid. (forested area);Peoplev.Comtois, Cal. Sup.Ct. No. S017116,ibid. (remote, isolated location). ↩
- Page 988 Although we have required that jurors be allowed to consider "as amitigating factor, any aspect of a defendant's character or record and any of the circumstances of the offense that the defendant proffers as a basis for a sentence less than death,"Lockettv.Ohio,438 U.S. 586,604(1978) (emphasis in original), we have never approved such unrestricted consideration of a circumstance in aggravation. Similarly, while we approved the Georgia capital sentencing scheme, which permits jurors to consider all the circumstances of the offense and the offender, we did so in the context of a system in which aggravators performed no function beyond the eligibility decision. SeeZantv.Stephens,462 U.S. 862,873-874(1983). ↩
- Page 989 See,e.g., Peoplev.Williams, Cal. Sup.Ct. No. S004522,id., at 20, n. 34 (teens);Peoplev.Avena, Cal. Sup.Ct. No. S004422,ibid. (teens);Peoplev.Bean,46 Cal.3d 919,952, n. 18,760 P.2d 996,1017, n. 18 (1988) (age 20);Peoplev.Coleman,48 Cal.3d 112,153-154,768 P.2d 32,55-56(1989) (age 22),cert. denied,494 U.S. 1038(1990);Peoplev. Gonzalez,51 Cal.3d 1179,1233,800 P.2d 1159,1187(1990) (age 31), cert. denied,502 U.S. 835(1991);Peoplev.McLain,46 Cal.3d 97,111-112,757 P.2d 569,576-577(1988) (age 41),cert. denied,489 U.S. 1072(1989);Peoplev.Douglas,50 Cal.3d 468,538,788 P.2d 640,681(1990) (age 56),cert. denied,498 U.S. 1110(1991). ↩
- Page 989 Even with the limiting construction, "prior criminal activity involving force or violence" is far more open-ended than factors invalidated by other state courts as vague or subjective. See,e.g.,Arnoldv.State,236 Ga. 534,540,224 S.E.2d 386,391(1976) (invalidating aggravating circumstance that the "`murder . . . was committed by a person . . . who has a substantial history of serious assaultive convictions'");Statev.David, Page 990468 So.2d 1126,1129-1130(La. 1985) (invalidating aggravating circumstance of "significant" history of criminal conduct). ↩
- Page 990 Judges, as well as juries, have fallen into this trap. See,e.g.,Peoplev.Kaurish,52 Cal.3d 648,717,802 P.2d 278,316(1990) (trial judge concluded that factor (h), dealing with a defendant's impaired capacity to appreciate the criminality of his actions, was an aggravating factor because defendant did not have diminished capacity or other impairment), cert. denied,502 U.S. 837(1991);Peoplev.Hamilton,48 Cal.3d 1142,1186,774 P.2d 730,757(1989) (trial court concluded that 10 of 11 factors were aggravating, including factors (d)-(h) and (j)), cert. denied,494 U.S. 1039(1990). ↩
- Page 990 The factors that can serve only as mitigators are:
"(d) Whether or not the offense was committed while the defendant was under the influence of extreme mental or emotional disturbance.
"(e) Whether or not the victim was a participant in the defendant's homicidal act or consented to the homicidal act.
"(f) Whether or not the offense was committed under circumstances which the defendant reasonably believed to be a moral justification or extenuation for his conduct.
"(g) Whether or not defendant acted under extreme duress or under the substantial domination of another person.
"(h) Whether or not at the time of the offense the capacity of the defendant to appreciate the criminality of his conduct or to conform his conduct to the requirements of law was impaired as a result of mental disease and defect, or the effects of intoxication.
"(i) The age of the defendant at the time of the crime."(j) Whether or not the defendant was an accomplice to the offense and his participation in the commission of the offense was relatively minor."
Cal. Penal Code Ann. § 190.3 (West 1988); see also Brief Amicus 22-24, and nn. 47, 48, and cases cited therein. ↩ - Page 991 Although the trial judge at petitioner Tuilaepa's trial instructed the jury on only those factors that were factually relevant, the jury at petitioner Proctor's trial was instructed on all of the factors in § 190.3. The prosecutor argued that 9 of the 11 factors were aggravating. Brief for Petitioner in No. 93-5161, pp. 4-5. ↩
- Page 994 Such a challenge would require something more than merely pointing to others who committed similar offenses and did not receive the death penalty,Lewisv.Jeffers,497 U.S. 764(1990), but it is not hard to imagine more pronounced erratic outcomes. ↩
- Page 994 The special circumstances include premeditated and deliberate murder; felony murder based on nine felonies; the infliction of torture; that the murder was especially heinous, atrocious, or cruel; that the victim was killed because of his race, religion, or ethnic origin; and the identity of the victim, including that he was a peace officer, a federal law enforcement officer, a firefighter, a witness to a crime, a prosecutor or assistant prosecutor, a former or current local, state, or federal judge, or an elected or appointed local, state, or federal official. Cal. Penal Code Ann. § 190.2 (West 1988). ↩