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Death
Penalty in America, Legal Studies 485, Spring 2003 |
JUDGES: STEVENS, J., delivered the opinion of the Court, in which
O'CONNOR, KENNEDY, SOUTER, GINSBURG,
and BREYER, JJ., joined. REHNQUIST, C. J., filed a dissenting
opinion, in which SCALIA and THOMAS, JJ., joined.
SCALIA, J., filed a dissenting opinion, in which REHNQUIST, C.
J., and THOMAS, J., joined.
OPINION: JUSTICE STEVENS delivered the opinion of the Court.
Those mentally retarded persons who meet the law's requirements for
criminal responsibility should be tried and punished when they commit
crimes. Because of their disabilities in areas of reasoning,
judgment, and control of their impulses, however, they do not act
with the level of moral culpability that characterizes the most
serious adult criminal conduct. Moreover, their impairments can
jeopardize the reliability and fairness of capital proceedings
against mentally retarded defendants. Presumably for these reasons,
in the 13 years since we decided Penry v. Lynaugh, 492 U.S.
302 (1989), the American public, legislators, scholars, and judges
have deliberated over the question whether the death penalty should
ever be imposed on a mentally retarded criminal. The consensus
reflected in those deliberations informs our answer to the question
presented by this case: whether such executions are "cruel and
unusual punishments" prohibited by the Eighth Amendment to the
Federal Constitution.
I
Petitioner, Daryl Renard Atkins, was convicted of abduction, armed
robbery, and capital murder, and sentenced to death. At
approximately midnight on August 16, 1996, Atkins and William
Jones, armed with a semiautomatic handgun, abducted Eric Nesbitt, robbed him of the money on his person,
drove him to an automated teller machine in his pickup truck where
cameras recorded their withdrawal of additional cash, then took him
to an isolated location where he was shot eight times and killed.
Jones and Atkins both testified in the guilt phase of Atkins' trial. n1 Each confirmed most of the details in the other's account of the incident, with the important exception that each stated that the other had actually shot and killed Nesbitt. Jones' testimony, which was both more coherent and credible than Atkins', was obviously credited by the jury and was sufficient to establish Atkins' guilt. At the penalty phase of the trial, the State introduced victim impact evidence and Atkins' guilt. At the penalty phase of the trial, the State introduced victim impact evidence and proved two aggravating circumstances: future dangerousness and "vileness of the offense."
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n1 Initially, both Jones and Atkins were indicted
for capital murder. The prosecution ultimately permitted Jones to
plead guilty to first‑degree
murder in exchange for his testimony against Atkins. As a result of
the plea, Jones became ineligible to receive
the death penalty.
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To prove future dangerousness, the State relied on Atkins' prior felony convictions as well as the testimony of four victims of earlier robberies and assaults. To prove the second aggravator, the prosecution relied upon the trial record, including pictures of the deceased's body and the autopsy report. In the penalty phase, the defense relied on one witness, Dr. Evan Nelson, a forensic psychologist who had evaluated Atkins before trial and concluded that he was "mildly mentally retarded." n3 His conclusion was based on interviews with people who knew Atkins, n4 a review of school and court records, and the administration of a standard intelligence test which indicated that Atkins had a full scale IQ of 59. n5
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n3
The American Association of Mental Retardation (AAMR) defines mental
retardation as follows: "Mental retardation
refers to substantial limitations in present functioning. It
is characterized by significantly subaverage intellectual
functioning, existing concurrently with related limitations
in two or more of the following applicable adaptive skill areas:
communication, self‑care, home
living, social skills, community use, self‑direction, health
and safety, functional academics, leisure, and work.
Mental retardation manifests before age 18." Mental
Retardation: Definition, Classification, and Systems of Supports 5
(9th ed. 1992).
The American Psychiatric Association's definition is similar: "The
essential feature of Mental Retardation is significantly
subaverage general intellectual functioning (Criterion A) that
is accompanied by significant limitations in adaptive functioning in
at least two of the following skill areas: communication, self‑care,
home living, social/interpersonal skills, use of community resources,
self‑direction, functional academic skills, work, leisure,
health, and safety (Criterion B). The onset must occur
before age 18 years (Criterion C). Mental Retardation has many
different etiologies and may be seen as a final common
pathway of various pathological processes that affect the
functioning of the central nervous system." American Psychiatric
Association, Diagnostic and Statistical Manual of Mental Disorders 41
(4th ed. 2000). "Mild" mental retardation is typically
used to describe people with an IQ level of 50‑55 to
approximately 70. Id., at 42‑43.
n4 The doctor
interviewed Atkins, members of his family, and deputies at the jail
where he had been incarcerated for the
preceding 18 months. Dr. Nelson also reviewed the statements
that Atkins had given to the police and the investigative reports
concerning this case.
n5 Dr. Nelson
administered the Wechsler Adult Intelligence Scales test (WAIS‑III),
the standard instrument in the United
States for assessing intellectual functioning. The WAIS‑III
is scored by adding together the
number of points earned on different subtests, and using a
mathematical formula to convert this raw score into a scaled
score. The test measures an intelligence range from 45 to 155.
The mean score of the test is 100, which means that a person receiving a score of 100 is considered to have
an average level of cognitive functioning. It is estimated that
between 1 and 3 percent of the population has an IQ between 70 and 75
or lower, which is typically considered the cutoff IQ score for the
intellectual function prong of the mental retardation definition.
At the sentencing phase, Dr. Nelson testified: "[Atkins']
full scale IQ is 59. Compared to the population at large, that means
less than one percentile . . . . Mental retardation is a
relatively rare thing. It's about one percent of the population."
According to Dr. Nelson, Atkins' IQ score "would automatically
qualify for Social Security disability income." Dr. Nelson also
indicated that of the over 40 capital defendants that he had
evaluated, Atkins was only the second individual who met the criteria for mental
retardation. He testified that, in his opinion, Atkins' limited
intellect had been a consistent
feature throughout his life, and that his IQ score of 59 is
not an "aberration, malingered result, or invalid test score."
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The jury sentenced Atkins to death, but the Virginia Supreme Court
ordered a second sentencing hearing because the trial court had used
a misleading verdict form. 257 Va. 160, 510 S. E. 2d 445 (1999). At
the resentencing, Dr. Nelson again
testified. The State presented an expert rebuttal witness, Dr.
Stanton Samenow, who expressed the opinion that Atkins was
not mentally retarded, but rather was of "average
intelligence, at least," and diagnosable as having antisocial
personality disorder. n6 The jury again sentenced Atkins to
death.
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n6 Dr. Samenow's testimony was based upon two interviews with Atkins, a review of his school records, and interviews with correctional staff. He did not administer an intelligence test, but did ask Atkins questions taken from the 1972 version of the Wechsler Memory Scale. Dr. Samenow attributed Atkins'"academic performance [that was] by and large terrible" to the fact that he "is a person who chose to pay attention sometimes, not to pay attention others, and did poorly because he did not want to do what he was required to do."
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The Supreme Court of Virginia affirmed the
imposition of the death penalty. 260 Va. 375, 385, 534 S. E. 2d 312,
318 (2000). Atkins . . .
contend[ed] "that he is mentally
retarded and thus cannot be sentenced to death." The majority of the
state court rejected this contention, relying on our holding in
Penry. The Court was "not willing to commute Atkins' sentence
of death to life imprisonment merely
because of his IQ score."
Justice Hassell and Justice Koontz dissented. They rejected Dr.
Samenow's opinion that Atkins possesses average intelligence as "incredulous as a matter
of law," and concluded that "the imposition of the sentence of death
upon a criminal defendant who has
the mental age of a child between the ages of 9 and 12 is excessive."
In their opinion, "it is
indefensible to conclude that individuals who are mentally retarded
are not to some degree less culpable for their criminal acts. By
definition, such individuals have substantial limitations not shared
by the general population. A moral and civilized society diminishes
itself if its system of justice does not afford recognition and
consideration of those limitations in a meaningful way."
Because of the gravity of the concerns expressed by the dissenters,
and in light of the dramatic shift in the state legislative landscape that has occurred
in the past 13 years, we granted certiorari to revisit the issue that
we first addressed in the Penry case.
II
The Eighth Amendment succinctly prohibits "excessive" sanctions. It
provides: "Excessive bail shall not be required, nor excessive fines imposed,
nor cruel and unusual punishments inflicted." In Weems v. United
States, 217 U.S. 349 (1910), we
held that a punishment of 12 years
jailed in irons at hard and painful labor for the crime of falsifying
records was excessive. We explained
"that it is a precept of justice that punishment for crime should be
graduated and proportioned to the
offense." We have repeatedly applied this proportionality
precept in later cases interpreting the Eighth Amendment. Thus, even
though "imprisonment for ninety days is not, in the abstract, a
punishment which is either cruel or unusual," it may not be
imposed as a penalty for "the 'status' of narcotic addiction," Robinson v.
California, 370 U.S. 660 (1962), because such a sanction would be
excessive. As Justice Stewart explained in Robinson: "Even one
day in prison would be a cruel and unusual punishment for
the 'crime' of having a common cold."
A claim that punishment is excessive is judged not
by the standards that prevailed in 1685 when Lord Jeffreys presided
over the "Bloody Assizes" or
when the Bill of Rights was adopted, but rather by those that
currently prevail. As Chief Justice
Warren explained in his opinion in Trop v. Dulles, 356
U.S. 86 (1958): "The basic concept underlying the Eighth Amendment
is nothing less than the dignity of man. . . . The Amendment
must draw its meaning from the evolving standards of decency that
mark the progress of a maturing society."
Proportionality review
under those evolving standards should be informed by "'objective
factors to the maximum possible
extent. . .'" We have pinpointed that the "clearest and most reliable
objective evidence of contemporary values is the legislation enacted
by the country's legislatures." Penry, 492 U.S., at 331.
Relying in part on such legislative evidence,
we have held that death is an impermissibly excessive
punishment for the rape of an adult woman, Coker v. Georgia,
433 U.S. 584, (1977), or
for a defendant who neither took life, attempted to take life, nor
intended to take life, Enmund
v. Florida, 458 U.S. 782 (1982). . .
We also acknowledged in Coker that the objective evidence,
though of great importance, did not "wholly determine" the
controversy, "for the Constitution contemplates that in the end our
own judgment will be brought to bear on the question of the
acceptability of the death penalty under the Eighth Amendment." For
example, in Enmund, we concluded by expressing our own
judgment about the issue:
"For purposes of imposing the death penalty, Enmund's criminal
culpability must be limited to his participation in the robbery, and
his punishment must be tailored to his personal responsibility and
moral guilt. Putting Enmund to death to avenge two killings that he
did not commit and had no intention of committing or
causing does not measurably contribute to the retributive end
of ensuring that the criminal gets his just deserts. This is the
judgment of most of the legislatures that have recently addressed the
matter, and we have no reason to disagree with that judgment for
purposes of construing and applying the Eighth Amendment."
Thus, in cases involving a consensus, our own judgment is "brought to
bear," by asking whether there is reason to disagree with the
judgment reached by the citizenry and its legislators.
Guided by our approach in these cases, we shall first review the judgment of legislatures that have addressed the suitability of imposing the death penalty on the mentally retarded and then consider reasons for agreeing or disagreeing with their judgment.
III
The parties have not called our attention to any state legislative
consideration of the suitability of imposing the death penalty on mentally retarded offenders prior to 1986. In
that year, the public reaction to the execution of a mentally
retarded murderer in Georgia apparently led to the enactment
of the first state statute prohibiting such executions. In 1988, when Congress enacted
legislation reinstating the federal death penalty, it expressly
provided that a "sentence of death shall not be carried out upon a
person who is mentally retarded." In 1989, Maryland enacted a similar
prohibition. It was in that year that we decided
Penry, and concluded that those two state enactments, "even
when added to the 14 States that have
rejected capital punishment completely, do not provide
sufficient evidence at present of a national consensus." 492 U.S., at
334.
Much has changed since then. Responding to the national attention received by the Bowden execution and our decision in Penry, state legislatures across the country began to address the issue. In 1990 Kentucky and Tennessee enacted statutes similar to those in Georgia and Maryland, as did New Mexico in 1991, and Arkansas, Colorado, Washington, Indiana, and Kansas in 1993 and 1994. In 1995, when New York reinstated its death penalty, it emulated the Federal Government by expressly exempting the mentally retarded. Nebraska followed suit in 1998. There appear to have been no similar enactments during the next two years, but in 2000 and 2001 six more States ‑‑ South Dakota, Arizona, Connecticut, Florida, Missouri, and North Carolina ‑‑ joined the procession. The Texas Legislature unanimously adopted a similar bill, and bills have passed at least one house in other States, including Virginia and Nevada.
It is not so much the number of these States that is significant, but the consistency of the direction of change. Given the well‑known fact that anticrime legislation is far more popular than legislation providing protections for persons guilty of violent crime, the large number of States prohibiting the execution of mentally retarded persons (and the complete absence of States passing legislation reinstating the power to conduct such executions) provides powerful evidence that today our society views mentally retarded offenders as categorically less culpable than the average criminal. The evidence carries even greater force when it is noted that the legislatures that have addressed the issue have voted overwhelmingly in favor of the prohibition. Moreover, even in those States that allow the execution of mentally retarded offenders, the practice is uncommon. Some States, for example New Hampshire and New Jersey, continue to authorize executions, but none have been carried out in decades. Thus there is little need to pursue legislation barring the execution of the mentally retarded in those States. And it appears that even among those States that regularly execute offenders and that have no prohibition with regard to the mentally retarded, only five have executed offenders possessing a known IQ less than 70 since we decided Penry. The practice, therefore, has become truly unusual, and it is fair to say that a national consensus has developed against it. n21
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n21 Additional evidence makes it clear that this legislative judgment reflects a much broader social and professional consensus. For example, several organizations with germane expertise have adopted official positions opposing the imposition of the death penalty upon a mentally retarded offender. See Brief for American Psychological Association et al. as Amici Curiae; Brief for AAMR et al. as Amici Curiae. In addition, representatives of widely diverse religious communities in the United States, reflecting Christian, Jewish, Muslim, and Buddhist traditions, have filed an amicus curiae brief explaining that even though their views about the death penalty differ, they all "share a conviction that the execution of persons with mental retardation cannot be morally justified." See Brief for United States Catholic Conference et al. as Amici Curiae in McCarver v. North Carolina, O. T. 2001, No. 00‑8727, p. 2. Moreover, within the world community, the imposition of the death penalty for crimes committed by mentally retarded offenders is overwhelmingly disapproved. Brief for The European Union as Amicus Curiae in McCarver v. North Carolina, O. T. 2001, No. 00‑8727, p. 4. Finally, polling data shows a widespread consensus among Americans, even those who support the death penalty, that executing the mentally retarded is wrong. R. Bonner & S. Rimer, Executing the Mentally Retarded Even as Laws Begin to Shift, N. Y. Times, Aug. 7, 2000, p. A1; App. B to Brief for AAMR as Amicus Curiae in McCarver v. North Carolina, O. T. 2001, No. 00‑8727 (appending approximately 20 state and national polls on the issue). Although these factors are by no means dispositive, their consistency with the legislative evidence lends further support to our conclusion that there is a consensus among those who have addressed the issue. . .
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To the extent there is serious disagreement about the execution of mentally retarded offenders, it is in determining which offenders are in fact retarded. In this case, for instance, the Commonwealth of Virginia disputes that Atkins suffers from mental retardation. Not all people who claim to be mentally retarded will be so impaired as to fall within the range of mentally retarded offenders about whom there is a national consensus. As was our approach in Ford v. Wainwright, with regard to insanity, "we leave to the States the task of developing appropriate ways to enforce the constitutional restriction upon its execution of sentences." 477 U.S. 399 (1986).
IV
This consensus unquestionably reflects widespread judgment about the
relative culpability of mentally
retarded offenders, and the relationship between mental retardation
and the penological purposes served by the death penalty.
Additionally, it suggests
that some characteristics of mental retardation undermine the
strength of the procedural protections that our capital jurisprudence
steadfastly guards. As discussed above, clinical definitions of
mental retardation require not only subaverage intellectual
functioning, but also significant limitations in
adaptive skills such as communication, self‑care, and self‑direction
that became manifest before age 18. Mentally retarded persons
frequently know the difference between right and wrong and are
competent to stand trial. Because of their impairments, however, by
definition they have diminished capacities to understand and process
information, to communicate, to abstract from mistakes and learn from
experience, to engage in logical reasoning, to control impulses, and
to understand the reactions of others. There is no evidence that they
are more likely to engage in criminal conduct than
others, but there is abundant evidence that they often act on
impulse rather than pursuant to a premeditated plan, and that in group settings they are
followers rather than leaders. Their
deficiencies do not warrant an exemption from criminal
sanctions, but they do diminish their personal
culpability.
In light of these deficiencies, our death penalty jurisprudence
provides two reasons consistent with the legislative consensus
that the mentally retarded should be categorically excluded
from execution. First, there is a serious question as to whether
either justification that we have recognized as a basis for
the death penalty applies to mentally retarded offenders. Gregg v.
Georgia, 428 U.S. 153 (1976), identified "retribution and
deterrence of capital crimes by prospective offenders" as the social
purposes served by the death penalty. Unless the imposition of the
death penalty on a
mentally retarded person "measurably contributes to one or both of
these goals, it 'is nothing more than the purposeless and needless imposition of pain and suffering,'
and hence an unconstitutional punishment."
With respect to retribution ‑‑ the interest in seeing
that the offender gets his "just deserts" ‑‑ the severity
of the appropriate punishment
necessarily depends on the culpability of the offender.
Since Gregg, our jurisprudence has consistently confined the imposition of
the death penalty to a narrow category of the most serious crimes.
For example, in Godfrey v.Georgia, 446 U.S. 420 (1980), we set
aside a death sentence because the petitioner's crimes did not
reflect "a consciousness materially more 'depraved' than that of any
person guilty of murder." If the culpability of the
average murderer is insufficient to justify the most extreme sanction
available to the State, the lesser culpability of the mentally
retarded offender surely does not merit that form of retribution.
Thus, pursuant to our narrowing jurisprudence, which seeks to ensure
that only the most deserving of execution are put to death, an
exclusion for the mentally retarded is appropriate.
With respect to deterrence ‑‑ the interest in preventing
capital crimes by prospective offenders ‑‑ "it seems
likely that 'capital punishment can serve as a deterrent only when
murder is the result of premeditation and deliberation,'"
Enmund, 458 U.S., at 799. Exempting the mentally retarded from
that punishment will not affect the "cold calculus that precedes the
decision" of other potential murderers. Gregg, 428 U.S., at
186. Indeed, that sort of calculus is at the opposite end of the
spectrum from behavior of mentally retarded offenders. The theory of
deterrence in capital sentencing is predicated upon the notion that
the increased severity of the punishment will inhibit criminal actors
from carrying out murderous conduct. Yet it is the same cognitive and
behavioral impairments that make these defendants less morally
culpable ‑‑ for example, the diminished ability to
understand and process information, to learn from experience, to
engage in logical reasoning, or to control impulses ‑‑
that also make it less likely that they can process the information
of the possibility of execution as a penalty and, as a result,
control their conduct based upon that information. Nor will exempting
the mentally retarded from execution lessen the deterrent effect of
the death penalty with respect to offenders who are not mentally
retarded. Such individuals are unprotected by the exemption and will
continue to face the threat of execution. Thus, executing the
mentally retarded will not measurably further the goal of
deterrence.
The reduced capacity of mentally retarded offenders provides a second
justification for a categorical rule making such offenders ineligible
for the death penalty. The risk "that the death penalty will be
imposed in spite of factors which may call for a less severe
penalty," Lockett v. Ohio, 438 U.S. 586 (1978), is enhanced,
not only by the possibility of false confessions, n25 but also by the
lesser ability of mentally retarded defendants to make a persuasive
showing of mitigation in the face of prosecutorial evidence of one or
more aggravating factors. Mentally retarded defendants may be less
able to give meaningful assistance to their counsel and are typically
poor witnesses, and their demeanor may create an unwarranted
impression of lack of remorse for their crimes. As Penry
demonstrated, moreover, reliance on mental retardation as a
mitigating factor can be a two‑edged sword that may enhance the
likelihood that the aggravating factor of future dangerousness will
be found by the jury. 492 U.S., at 323‑325. Mentally retarded
defendants in the aggregate face a special risk of wrongful
execution.
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n25 Despite the heavy burden that the prosecution must shoulder in capital cases, we cannot ignore the fact that in recent years a disturbing number of inmates on death row have been exonerated. As two recent high‑profile cases demonstrate, these exonerations include mentally retarded persons who unwittingly confessed to crimes that they did not commit. See Baker, Death‑Row Inmate Gets Clemency; Agreement Ends Days of Suspense, Washington Post, Jan. 15, 1994, p. A1; Holt & McRoberts, Porter Fully Savors First Taste of Freedom; Judge Releases Man Once Set for Execution, Chicago Tribune, Feb. 6, 1999, p. N1
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Our independent evaluation of the issue reveals no reason to disagree
with the judgment of "the legislatures that have recently addressed
the matter" and concluded that death is not a suitable punishment for
a mentally retarded criminal. We are not persuaded that the execution
of mentally retarded criminals will measurably advance the deterrent
or the retributive purpose of the death penalty. Construing and
applying the Eighth Amendment in the light of our "evolving standards
of decency," we therefore conclude that such punishment is excessive
and that the Constitution "places a substantive restriction on the
State's power to take the life" of a mentally retarded offender.
The judgment of the Virginia Supreme Court is reversed and the case
is remanded for further proceedings not inconsistent with this
opinion.
DISSENT: CHIEF JUSTICE REHNQUIST, with whom JUSTICE SCALIA and
JUSTICE THOMAS join, dissenting.
The question presented by this case is whether a national consensus
deprives Virginia of the constitutional power to impose the death
penalty on capital murder defendants like petitioner, i.e., those
defendants who indisputably are competent to stand trial, aware of
the punishment they are about to suffer and why, and whose mental
retardation has been found an insufficiently compelling reason to
lessen their individual responsibility for the crime. The Court
pronounces the punishment cruel and unusual primarily because 18
States recently have passed laws limiting the death eligibility of
certain defendants based on mental retardation alone, despite the
fact that the laws of 19 other States besides Virginia continue to
leave the question of proper punishment to the individuated
consideration of sentencing judges or juries familiar with the
particular offender and his or her crime.
I agree with JUSTICE SCALIA that the Court's assessment of the
current legislative judgment regarding the execution of defendants
like petitioner more resembles a post hoc rationalization for
the majority's subjectively preferred result rather than any
objective effort to ascertain the content of an evolving standard of
decency. I write separately, however, to call attention to the
defects in the Court's decision to place weight on foreign laws, the
views of professional and religious organizations, and opinion polls
in reaching its conclusion. The Court's suggestion that these sources
are relevant to the constitutional question finds little support in
our precedents and, in my view, is antithetical to considerations of
federalism, which instruct that any "permanent prohibition upon all
units of democratic government must [be apparent] in the
operative acts (laws and the application of laws) that the people
have approved." Stanford v. Kentucky, 492 U.S. 361 (1989)
(plurality opinion). The Court's uncritical acceptance of the opinion
poll data brought to our attention, moreover, warrants additional
comment, because we lack sufficient information to conclude that the
surveys were conducted in accordance with generally accepted
scientific principles or are capable of supporting valid empirical
inferences about the issue before us.
In making determinations about whether a punishment is "cruel and
unusual" under the evolving standards of decency embraced by the
Eighth Amendment, we have emphasized that legislation is the
"clearest and most reliable objective evidence of contemporary
values." Penry v. Lynaugh, 492 U.S. 302 (1989). The reason we
ascribe primacy to legislative enactments follows from the
constitutional role legislatures play in expressing policy of a
State. "'In a democratic society legislatures, not courts, are
constituted to respond to the will and consequently the moral values
of the people.'" Gregg v. Georgia, 428 U.S. 153 (1976) (joint
opinion of Stewart, Powell, and STEVENS, JJ.) (quoting Furman v.
Georgia, 408 U.S. 238 (1972)
(Burger, C. J., dissenting)). And because the specifications of
punishments are "peculiarly questions of legislative policy," Gore
v. United States, 357 U.S. 386 (1958),
our cases have cautioned against using "'the
aegis of the Cruel and Unusual Punishment Clause'" to cut off
the normal democratic processes, Gregg, supra.
Our opinions have also recognized that data concerning the actions of
sentencing juries, though entitled to less weight than legislative
judgments, "'is a significant and reliable index of contemporary
values,'" Coker v. Georgia, 433 U.S. 584 (1977) (plurality
opinion) (quoting Gregg, supra, at 181), because of the jury's
intimate involvement in the case and
its function of "'maintaining a link between contemporary community
values and the penal system,'" Gregg, supra, at 181. In
Coker, supra, at 596‑597, for example, we credited data
showing that "at least 9 out of 10" juries in Georgia did not impose
the death sentence for rape convictions. And in Enmund v.
Florida, 458 U.S. 782 (1982), where evidence of the current
legislative judgment was not as "compelling" as that in Coker
(but more so than that here), we were persuaded by "overwhelming
[evidence] that American juries . . . repudiated imposition
of the death penalty" for a defendant who neither took life nor
attempted or intended to take life.
In my view, these two sources ‑‑ the work product of
legislatures and sentencing jury determinations ‑‑ ought
to be the sole indicators by which courts ascertain the contemporary
American conceptions of decency for purposes of the Eighth Amendment.
They are the only objective indicia of contemporary values firmly
supported by our precedents. More importantly, however, they can be
reconciled with the undeniable precepts that the democratic branches
of government and individual sentencing juries are, by design, better
suited than courts to evaluating and giving effect to the complex
societal and moral considerations that inform the selection of
publicly acceptable criminal punishments.
In reaching its conclusion today, the Court does not take notice of
the fact that neither petitioner nor his amici have adduced
any comprehensive statistics that would conclusively
prove (or disprove) whether juries routinely consider death a
disproportionate punishment for mentally retarded offenders like
petitioner. Instead, it adverts to the fact that other countries have
disapproved imposition of the death penalty for crimes committed by
mentally retarded offenders. I fail to see, however, how the views of
other countries regarding the punishment of their citizens provide
any support for the Court's ultimate determination. While it is true
that some of our prior opinions have looked to "the climate of
international opinion," Coker, 433 U.S. at 596, n. 10, to
reinforce a conclusion regarding evolving standards of decency, we
have since explicitly rejected the idea that the sentencing practices
of other countries could "serve to establish the first Eighth
Amendment prerequisite, that [a] practice is accepted among
our people." Stanford, 492 U.S. at 369, n. 1 (emphasizing that
"American conceptions of decency . . . are dispositive"). . .
There are strong reasons for limiting our inquiry into what
constitutes an evolving standard of decency under the Eighth
Amendment to the laws passed by legislatures and the practices of
sentencing juries in America. Here, the Court goes beyond these well‑established
objective indicators of contemporary values. It finds "further
support to [its] conclusion" that a national consensus has
developed against imposing the death penalty on all mentally retarded
defendants in international opinion, the views of professional and
religious organizations, and opinion polls not demonstrated to be
reliable. Believing this view to be seriously mistaken, I
dissent.
JUSTICE SCALIA, with whom the CHIEF JUSTICE and JUSTICE THOMAS join,
dissenting.
Today's decision is the pinnacle of our Eighth Amendment death‑is‑different jurisprudence. Not only does it, like all of that jurisprudence, find no support in the text or history of the Eighth Amendment; it does not even have support in current social attitudes regarding the conditions that render an otherwise just death penalty inappropriate. Seldom has an opinion of this Court rested so obviously upon nothing but the personal views of its members.
I
I begin with a brief restatement of facts that are abridged by the
Court but important to understanding this case. After spending the
day drinking alcohol and smoking marijuana, petitioner Daryl Renard
Atkins and a partner in crime drove to a convenience store, intending
to rob a customer. Their victim was Eric Nesbitt, an airman from
Langley Air Force Base, whom they abducted, drove to a nearby
automated teller machine, and forced to withdraw $ 200. They then
drove him to a deserted area, ignoring his pleas to leave him
unharmed. According to the co‑conspirator, whose testimony the
jury evidently credited, Atkins ordered Nesbitt out of the vehicle
and, after he had taken only a few steps, shot him one, two, three,
four, five, six, seven, eight times in the thorax, chest, abdomen,
arms, and legs.
The jury convicted Atkins of capital murder. At resentencing (the
Virginia Supreme Court affirmed his conviction but remanded for
resentencing because the trial court had used an improper verdict
form), the jury heard extensive evidence of petitioner's alleged
mental retardation. A psychologist testified that petitioner was
mildly mentally retarded with an IQ of 59, that he was a "slow
learner," who showed a "lack of success in pretty much every domain
of his life," and that he had an "impaired" capacity to appreciate
the criminality of his conduct and to conform his conduct to the law.
Petitioner's family members offered additional evidence in support of
his mental retardation claim (e.g., that petitioner is a "follower").
The State contested the evidence of retardation and presented
testimony of a psychologist who found "absolutely no evidence other
than the IQ score . . . indicating that [petitioner] was in
the least bit mentally retarded" and concluded that petitioner was
"of average intelligence, at least."
The jury also heard testimony about petitioner's 16 prior felony
convictions for robbery, attempted robbery, abduction, use of a
firearm, and maiming. The victims of these offenses provided graphic
depictions of petitioner's violent tendencies: He hit one over the
head with a beer bottle; he slapped a gun across another victim's
face, clubbed her in the head with it, knocked her to the ground, and
then helped her up, only to shoot her in the stomach. The jury
sentenced petitioner to death. The Supreme Court of Virginia affirmed
petitioner's sentence. 260 Va. 375, 534 S. E. 2d 312 (2000).
II
As the foregoing history demonstrates, petitioner's mental
retardation was a central issue at sentencing. The jury concluded,
however, that his alleged retardation was not a compelling reason to
exempt him from the death penalty in light of the brutality of his
crime and his long demonstrated propensity for violence. "In
upsetting this particularized judgment on the basis of a
constitutional absolute, " the Court concludes that no one who is
even slightly mentally retarded can have sufficient "moral
responsibility to be subjected to capital punishment for any crime.
As a sociological and moral conclusion that is implausible; and it is
doubly implausible as an interpretation of the United States
Constitution." Thompson v. Oklahoma, 487 U.S. 815 (1988)
(SCALIA, J., dissenting).
Under our Eighth Amendment jurisprudence, a punishment is "cruel and
unusual" if it falls within one of two categories: "those modes or
acts of punishment that had been considered cruel and unusual at the
time that the Bill of Rights was adopted," Ford v. Wainwright,
477 U.S. 399, 405 (1986), and modes of punishment that are
inconsistent with modern "standards of decency," as evinced by
objective indicia, the most important of which is "legislation
enacted by the country's legislatures," Penry v. Lynaugh, 492
U.S. 302 (1989).
The Court makes no pretense that execution of the mildly mentally
retarded would have been considered "cruel and unusual" in 1791. Only
the severely or profoundly mentally retarded, commonly known as
"idiots," enjoyed any special status under the law at that time.
They, like lunatics, suffered a "deficiency in will" rendering them
unable to tell right from wrong. Due to their incompetence, idiots
were "excused from the guilt, and of course from the punishment, of
any criminal action committed under such deprivation of
the senses." Instead, they were often committed to civil confinement
or made wards of the State, thereby preventing them from "going
loose, to the terror of the king's subjects.". Mentally retarded
offenders with less severe impairments ‑‑ those who were
not "idiots" ‑‑ suffered criminal prosecution and
punishment, including capital punishment. . .
The Court is left to argue, therefore, that execution of the mildly
retarded is inconsistent with the "evolving standards of decency that
mark the progress of a maturing society." Trop v. Dulles, 356
U.S. 86 (1958) (plurality opinion)
(Warren, C. J.). Before today, our opinions consistently emphasized
that Eighth Amendment judgments regarding the existence of social
"standards" "should be informed by objective factors to the maximum
possible extent" and "should not be, or appear to be, merely the
subjective views of individual Justices." Coker v. Georgia,
433 U.S. 584, 592 (1977) (plurality opinion); see also
Stanford, supra, at 369; McCleskey v. Kemp, 481 U.S.
279, 300 (1987); Enmund v. Florida, 458 U.S. 782, 788 (1982).
"First" among these objective factors are the "statutes passed by
society's elected representatives," Stanford v. Kentucky, 492
U.S. 361, 370 (1989); because it "will rarely if ever be the case
that the Members of this Court will have a better sense of the
evolution in views of the American people than do their elected
representatives," Thompson, supra, at 865 (SCALIA, J.,
dissenting).
The Court pays lip service to these precedents as it miraculously
extracts a "national consensus" forbidding execution of the mentally
retarded, from the fact that 18 States ‑‑ less than half
(47%) of the 38 States that permit capital punishment (for whom the
issue exists) ‑‑ have very recently enacted legislation
barring execution of the mentally retarded. Even that 47% figure is a
distorted one. If one is to say, as the Court does today, that all
executions of the mentally retarded are so morally repugnant as to
violate our national "standards of decency," surely the "consensus"
it points to must be one that has set its righteous face against all
such executions. Not 18 States, but only seven ‑‑ 18% of
death penalty jurisdictions ‑‑ have legislation of that scope. Eleven of those
that the Court counts enacted statutes prohibiting execution of
mentally retarded defendants convicted after, or convicted of crimes
committed after, the effective date of the legislation; those already
on death row, or consigned there before the statute's effective date,
or even (in those States using the date of the crime as the criterion
of retroactivity) tried in the future for murders committed many
years ago, could be put to death. That is not a statement of absolute
moral repugnance, but one of current preference between two tolerable
approaches. Two of these States permit execution of the mentally
retarded in other situations as well: Kansas apparently permits
execution of all except the severely mentally retarded; New York
permits execution of the mentally retarded who commit murder in a
correctional facility.
But let us accept, for the sake of argument, the Court's faulty
count. That bare number of States alone ‑‑ 18 ‑‑
should be enough to convince any reasonable person that no "national
consensus" exists. How is it possible that agreement among 47% of the
death penalty jurisdictions amounts to "consensus"? Our prior cases
have generally required a much higher degree of agreement before
finding a punishment cruel and unusual on "evolving standards"
grounds. . . What the Court calls evidence of "consensus" in the
present case (a fudged 47%) more closely resembles evidence that we
found inadequate to establish consensus in earlier cases. Tison v.
Arizona, 481 U.S. 137 (1987), upheld a state law authorizing capital
punishment for major participation in a felony with reckless
indifference to life where only 11 of the 37 death penalty States
(30%) prohibited such punishment. Stanford, 492 U.S. at 372,
upheld a state law permitting execution of defendants who committed a
capital crime at age 16 where only 15 of the 36 death penalty States
(42%) prohibited death for such offenders.
Moreover, a major factor that the Court entirely disregards is that
the legislation of all 18 States it relies on is still in its
infancy. The oldest of the statutes is only 14 years old; five were
enacted last year; over half were enacted within the past eight
years. Few, if any, of the States have had sufficient experience with
these laws to know whether they are sensible in the
long term. It is "myopic to base sweeping constitutional
principles upon the narrow experience of [a few] years."
Coker, 433 U.S., at 614 (Burger, C. J., dissenting).
The Court attempts to bolster its embarrassingly feeble evidence of
"consensus" with the following: "It is not so much the number of
these States that is significant, but the consistency of the
direction of change." But in what other direction could we possibly
see change? Given that 14 years ago all the death penalty statutes
included the mentally retarded, any
change (except precipitate undoing of what had just been done) was
bound to be in the one direction the Court finds significant enough
to overcome the lack of real consensus. That is to say, to be
accurate the Court's "consistency‑of‑the‑direction‑of‑change"
point should be recast into the following unimpressive observation:
"No State has yet undone its exemption of the mentally retarded, one
for as long as 14 whole years." In any event, reliance upon "trends,"
even those of much longer duration than a mere 14 years, is a
perilous basis for constitutional adjudication . . .
The Court's thrashing about for evidence of "consensus" includes
reliance upon the margins by which state legislatures have enacted
bans on execution of the retarded. Presumably, in applying our Eighth
Amendment "evolving‑standards‑of‑decency"
jurisprudence, we will henceforth weigh not only how many States have
agreed, but how many States have agreed by how much. Of course if the
percentage of legislators voting for the bill is significant, surely
the number of people represented by the legislators voting for the
bill is also significant: the fact that 49% of the legislators in a
State with a population of 60 million voted against the bill should
be more impressive than the fact that 90% of the legislators in a
state with a population of 2 million voted for it. (By the way, the
population of the death penalty States that exclude the mentally
retarded is only 44% of the
population of all death penalty States. U.S. Census Bureau,
Statistical Abstract of the United States 21 (121st ed. 2001).) This
is quite absurd. What we have looked for in the past to "evolve" the
Eighth Amendment is a consensus of the same sort as the consensus
that adopted the Eighth Amendment: a consensus of the sovereign
States that form the Union, not a nose count of Americans for and
against.
Even less compelling (if possible) is the Court's argument that
evidence of "national consensus" is to be found in the infrequency
with which retarded persons are executed in States that do not bar
their execution. To begin with, what the Court takes as true is in
fact quite doubtful. It is not at all clear that execution of the
mentally retarded is "uncommon". . . If, however, execution of the
mentally retarded is "uncommon"; and if it is not a sufficient
explanation of this that the retarded comprise a tiny fraction of
society (1% to 3%), Brief for American Psychological Association et
al. as Amici Curiae 7; then surely the explanation is that
mental retardation is a constitutionally mandated mitigating factor
at sentencing, Penry, 492 U.S. at 328. For that reason, even
if there were uniform national sentiment in favor of executing the
retarded in appropriate cases, one would still expect execution of
the mentally retarded to be "uncommon." To adapt to the present case
what the Court itself said in Stanford, 492 U.S., at 374: "It
is not only possible, but overwhelmingly probable, that the very
considerations which induce [today's majority] to believe
that death should never be imposed on [mentally retarded]
offenders . . . cause prosecutors and juries to believe that it
should rarely be imposed."
But the Prize for the Court's Most Feeble Effort to fabricate
"national consensus" must go to its appeal (deservedly relegated to a
footnote) to the views of assorted professional and religious
organizations, members of the so‑called "world community," and
respondents to opinion polls. I agree with the CHIEF JUSTICE
(dissenting opinion), that the views of professional and religious
organizations and the results of opinion polls are irrelevant.
Equally irrelevant are the practices of the "world community," whose
notions of justice are (thankfully) not always those of our people.
"We must never forget that it is a Constitution for the United States
of America that we are expounding. . . . Where there is not first a
settled consensus among our own people, the views of other nations,
however enlightened the Justices of this Court may think them to be,
cannot be imposed upon Americans through the Constitution."
Thompson, 487 U.S., at 868‑869, n. 4 (SCALIA, J.,
dissenting).
III
Beyond the empty talk of a "national consensus," the Court gives us a
brief glimpse of what really underlies today's decision: pretension
to a power confined neither by the moral sentiments originally
enshrined in the Eighth Amendment (its original meaning) nor even by
the current moral sentiments of the American people. "'The
Constitution,'" the Court says, "contemplates that in the end our own
judgment will be brought to bear on the question of the acceptability
of the death penalty under the Eighth Amendment.'" (The unexpressed
reason for this unexpressed "contemplation" of the Constitution is
presumably that really good lawyers have moral sentiments superior to
those of the common herd, whether in 1791 or today.) The arrogance of
this assumption of power takes one's breath away. And it explains, of
course, why the Court can be so cavalier about the evidence of
consensus. It is just a game, after all. "In the end," it is the
feelings and intuition of a majority of the Justices that count ‑‑
"the perceptions of decency, or of penology, or of mercy, entertained
. . . by a majority of the small and unrepresentative segment of our
society that sits on this Court." Thompson, 487 U.S. at 873
(SCALIA, J., dissenting).
The genuinely operative portion of the opinion, then, is the Court's
statement of the reasons why it agrees with the contrived consensus
it has found, that the "diminished capacities" of the mentally
retarded render the death penalty excessive. The Court's analysis
rests on two fundamental assumptions: (1) that the Eighth Amendment
prohibits excessive punishments, and (2) that sentencing juries or
judges are unable to account properly for the "diminished capacities"
of the retarded. The first assumption is wrong, as I explained at
length in Harmelin v. Michigan, 501 U.S. 957, 966‑990
(1991) (opinion of SCALIA, J.). . .The second assumption ‑‑
inability of judges or juries to take proper account of mental
retardation ‑‑ is not only unsubstantiated, but
contradicts the immemorial belief, here and in England, that they
play an indispensable role in such matters. . .
Proceeding from these faulty assumptions, the Court gives two reasons
why the death penalty is an excessive punishment for all mentally
retarded offenders. First, the "diminished capacities" of the
mentally retarded raise a "serious question" whether their execution
contributes to the "social purposes" of the death penalty, viz.,
retribution and deterrence.(The Court conveniently ignores a third
"social purpose" of the death penalty ‑‑ "incapacitation
of dangerous criminals and the consequent prevention of crimes that
they may otherwise commit in the future," Gregg v. Georgia,
428 U.S. 153, 183, n. 28 (1976) (joint opinion of Stewart, Powell,
and Stevens, JJ.). But never mind; its discussion of even the other
two does not bear analysis.) Retribution is not advanced, the
argument goes, because the mentally retarded are no more culpable
than the average murderer, whom we have already held lacks sufficient
culpability to warrant the death penalty. Who says so? Is there an
established correlation between mental acuity and the ability to
conform one's conduct to the law in such a rudimentary matter as
murder? Are the mentally retarded really more disposed (and hence
more likely) to commit willfully cruel and serious crime than others?
In my experience, the opposite is true: being childlike generally
suggests innocence rather than brutality.
Assuming, however, that there is a direct connection between
diminished intelligence and the inability to refrain from murder,
what scientific analysis can possibly show that a mildly retarded
individual who commits an exquisite torture‑killing is "no more
culpable" than the "average" murderer in a holdup‑gone‑wrong
or a domestic dispute? Or a moderately retarded individual who
commits a series of 20 exquisite torture‑killings? Surely
culpability, and deservedness of the most severe retribution, depends
not merely (if at all) upon the mental capacity of the criminal
(above the level where he is able to distinguish right from wrong)
but also upon the depravity of the crime ‑‑ which is
precisely why this sort of question has traditionally been thought
answerable not by a categorical rule of the sort the Court today
imposes upon all trials, but rather by the sentencer's weighing of
the circumstances (both degree of retardation and depravity of crime)
in the particular case. The fact that juries continue to sentence
mentally retarded offenders to death for extreme crimes shows that
society's moral outrage sometimes demands execution of retarded
offenders. By what principle of law, science, or logic can the Court
pronounce that this is wrong? There is none. Once the Court admits
(as it does) that mental retardation does not render the offender
morally blameless, there is no basis for saying that the death
penalty is never appropriate retribution, no matter how heinous the
crime. As long as a mentally retarded offender knows "the difference
between right and wrong," only the sentencer can assess whether his
retardation reduces his culpability enough to exempt him from the
death penalty for the particular murder in question.
As for the other social purpose of the death penalty that the Court
discusses, deterrence: That is not advanced, the Court tells us,
because the mentally retarded are "less likely" than their non‑retarded
counterparts to "process the information of the possibility of
execution as a penalty and . . . control their conduct based upon
that information." Of course this leads to the same conclusion
discussed earlier ‑‑ that the mentally retarded (because
they are less deterred) are more likely to kill ‑‑ which
neither I nor the society at large believes. In any event, even the
Court does not say that all mentally retarded individuals cannot
"process the information of the possibility of execution as a penalty
and . . . control their conduct based upon that information"; it
merely asserts that they are "less likely" to be able to do so. But
surely the deterrent effect of a penalty is adequately vindicated if
it successfully deters many, but not all, of the target class.
Virginia's death penalty, for example, does not fail of its deterrent
effect simply because some criminals are unaware that Virginia has
the death penalty. In other words, the supposed fact that some
retarded criminals cannot fully appreciate the death penalty has
nothing to do with the deterrence rationale, but is simply an echo of
the arguments denying a retribution rationale, discussed and rejected
above. I am not sure that a murderer is somehow less blameworthy if
(though he knew his act was wrong) he did not fully appreciate that
he could die for it; but if so, we should treat a mentally retarded
murderer the way we treat an offender who may be "less likely" to
respond to the death penalty because he was abused as a child. We do
not hold him immune from capital punishment, but require his
background to be considered by the sentencer as a mitigating
factor.
The Court throws one last factor into its grab bag of reasons why
execution of the retarded is "excessive" in all cases: Mentally
retarded offenders "face a special risk of wrongful execution"
because they are less able "to make a persuasive showing of
mitigation," "to give meaningful assistance to their counsel," and to
be effective witnesses. "Special risk" is pretty flabby language
(even flabbier than "less likely") ‑‑ and I suppose a
similar "special risk" could be said to exist for just plain stupid
people, inarticulate people, even ugly people. If this unsupported
claim has any substance to it (which I doubt) it might support a due
process claim in all criminal prosecutions of the mentally retarded;
but it is hard to see how it has anything to do with an Eighth
Amendment claim that execution of the mentally retarded is cruel and
unusual. We have never before held it to be cruel and unusual
punishment to impose a sentence in violation of some other
constitutional imperative.
* * *
Today's opinion adds one more to the long list of substantive and
procedural requirements impeding imposition of the death penalty
imposed under this Court's assumed power to invent a death‑is‑different
jurisprudence. None of those requirements existed when the Eighth
Amendment was adopted, and some of them were not even supported by
current moral consensus. . .
This newest invention promises to be more effective than any of the
others in turning the process of capital trial into a game. One need
only read the definitions of mental retardation adopted by the
American Association of Mental Retardation and the American
Psychiatric Association to realize that the symptoms of this
condition can readily be feigned. And whereas the capital defendant
who feigns insanity risks commitment to a mental institution until he
can be cured (and then tried and executed), the capital defendant who
feigns mental retardation risks nothing at all. The mere pendency of
the present case has brought us petitions by death row inmates
claiming for the first time, after multiple habeas petitions, that
they are retarded.
Perhaps these practical difficulties will not be experienced by the
minority of capital‑punishment States that have very recently
changed mental retardation from a mitigating factor (to be accepted
or rejected by the sentencer) to an absolute immunity. Time will tell
‑‑ and the brief time those States have had the new
disposition in place (an average of 6.8 years) is surely not enough.
But if the practical difficulties do not appear, and if the other
States share the Court's perceived moral consensus that all mental
retardation renders the death penalty inappropriate for all crimes,
then that majority will presumably follow suit. But there is no
justification for this Court's pushing them into the experiment ‑‑
and turning the experiment into a permanent practice ‑‑
on constitutional pretext. . .
I respectfully dissent.