DECISION: Statistics indicating risk that race bias affects Georgia's capital sentencing
held insufficient to prove that imposition of death penalty on black man for
murdering white man violated 8th or 14th Amendment.
JUDGES: Powell, J., delivered the opinion of the Court, in which Rehnquist, C. J., and White, O'Connor, and Scalia, JJ., joined. Brennan, J., filed a dissenting
opinion in which Marshall, J., joined, and in all but Part I of which Blackmun
and Stevens, JJ., joined, post, p. 320. Blackmun, J., filed a dissenting
opinion in which Marshall and Stevens, JJ., joined, and in all but Part IV-B of
which Brennan, J., joined, post, p. 345. Stevens, J., filed a dissenting
opinion in which Blackmun, J., joined, post, p. 366.
OPINION:
[*282] JUSTICE POWELL delivered the opinion of the Court.
This case presents the question whether a complex
statistical study that indicates a risk that racial considerations enter
[*283] into
capital sentencing determinations proves that petitioner McCleskey's capital
sentence is unconstitutional under the Eighth or
Fourteenth Amendment.
I
McCleskey, a black man, was
convicted of two counts of armed robbery and one count of
murder in the Superior Court of Fulton County, Georgia, on October 12, 1978.
McCleskey's convictions arose out of the robbery of a furniture store and the
killing of a white police officer during the course of the robbery. The evidence at
trial indicated that McCleskey and three accomplices planned and carried out the robbery. All four were armed. McCleskey entered the
front of the store while the
[***273] other three entered the rear. McCleskey secured the front of the store by
rounding up the customers and forcing them to lie face down on the floor. The
other three rounded up the employees in the rear and tied them up with tape.
The manager was forced at gunpoint to turn over the store receipts, his watch,
and $ 6. During the course of the robbery, a police officer, answering a
silent alarm, entered the store through the front door. As he was walking down
the center aisle of the store, two shots were fired. Both struck the officer.
One hit him in the face and killed him.
Several weeks later, McCleskey was arrested in connection with an unrelated
offense. He confessed that he had participated in the furniture store robbery,
but denied that he had shot the police officer. At trial, the State introduced
evidence that at least one of the bullets that struck the officer was fired
from a .38 caliber Rossi revolver. This description matched the description of
the gun that McCleskey had carried during the robbery. The State also
introduced the testimony of two witnesses who had heard McCleskey admit to the shooting.
[*284] The jury
convicted McCleskey of
murder. n1 At the penalty hearing, n2 the jury
[**1763] heard arguments as to the appropriate
sentence. Under Georgia law, the jury could not consider imposing the
death penalty unless it found beyond a reasonable doubt that the
murder was accompanied by one of the statutory
aggravating circumstances. Ga. Code Ann.
§ 17-10-30(c) (1982). n3 The jury in this case
[***274] found two
aggravating
[*285] circumstances to exist beyond a reasonable doubt: the
murder was committed during the course of an armed robbery,
§ 17-10-30(b)(2); and the
murder was committed upon a peace officer engaged in the performance of his duties,
§ 17-10-30(b)(8). In making its decision whether to impose the
death sentence, the jury considered the
mitigating and
aggravating circumstances of McCleskey's conduct.
§ 17-10-2(c). McCleskey offered no
mitigating evidence. The jury recommended that he be sentenced to death on the
murder charge and to consecutive life
sentences on the armed robbery charges. The court followed the jury's recommendation
and sentenced McCleskey to death. n4
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n1 The Georgia Code has been revised and renumbered since McCleskey's trial.
The changes do not alter the substance of the sections relevant to this case.
For convenience, references in this opinion are to the current sections.
The Georgia Code contains only one degree of
murder. A person commits
murder
"when he unlawfully and with malice aforethought, either express or implied,
causes the death of another human being." A person convicted of
murder "shall be punished by death or by imprisonment for life."
n2 Georgia Code Ann.
§ 17-10-2(c) (1982) provides that when a jury convicts a defendant of
murder,
"the court shall resume the trial and conduct a presentence hearing before the
jury." This subsection suggests that a defendant
convicted of
murder always is subjected to a penalty hearing at which the jury considers imposing
a
death sentence. But as a matter of practice, penalty hearings seem to be held only if the
prosecutor affirmatively seeks the
death penalty. If he does not, the defendant receives a
sentence of life imprisonment. See Baldus, Pulaski,
& Woodworth, Comparative Review of Death
Sentences: An Empirical Study of the Georgia Experience, 74 J. Crim. L.
& C. 661, 674, n. 56 (1983).
n3 A jury cannot
sentence a defendant to death for
murder unless it finds that one of the following
aggravating circumstances exists beyond a reasonable doubt:
"(1) The offense . . . was committed by a person with a prior record of
conviction for a capital felony;
"(2) The offense . . . was committed while the
offender was engaged in the commission of another capital felony or aggravated battery,
or the offense of
murder was committed while the
offender was engaged in the commission of burglary or arson in the first degree;
"(3) The
offender, by his act of
murder . . . knowingly created a great risk of death to more than one person in a
public place by means of a weapon or device which would normally be hazardous
to the lives of more than one person;
"(4) The
offender committed the offense . . . for himself or another, for the purpose of
receiving money or any other thing of monetary value;
"(5) The
murder of a judicial officer, former judicial officer, district attorney or
solicitor, or former district attorney or solicitor was committed during or
because of the exercise of his official duties;
"(6) The
offender caused or directed another to commit
murder or committed
murder as an agent or employee of another person;
"(7) The offense of
murder,
rape, armed robbery, or kidnapping was outrageously or wantonly vile, horrible, or
inhuman in that it involved torture, depravity of mind, or an aggravated
battery to the victim;
"(8) The offense . . . was committed against any peace officer, corrections
employee, or fireman while engaged in the performance of his official duties;
"(9) The offense . . . was committed by a person in, or who has escaped from,
the lawful custody of a peace officer or place of lawful confinement; or
"(10) The
murder was committed for the purpose of avoiding, interfering with, or preventing a
lawful arrest or custody in a place of lawful confinement, of himself or
another."
§ 17-10-30(b).
n4 Georgia law provides that
"where a statutory
aggravating circumstance is found and a recommendation of death is made, the court shall
sentence the defendant to death."
§ 17-10-31.
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
On appeal, the Supreme Court of Georgia affirmed the convictions and the
sentences. . . .
McCleskey next filed a petition for a writ of habeas corpus in the Federal District Court for
the Northern District of Georgia. His petition raised 18 claims, one of which
was that the Georgia
capital sentencing process is administered in a
racially
discriminatory manner in violation of the Eighth and Fourteenth Amendments to the United
States Constitution. In support of his claim, McCleskey proffered a
statistical study performed by Professors David C. Baldus, Charles Pulaski, and George
Woodworth (the Baldus study) that purports to show a
disparity in the imposition of the
death sentence in Georgia based on the race of the
murder victim and, to a lesser extent, the race of the defendant. The Baldus study
is actually two sophisticated
statistical studies that examine over 2,000
murder cases that occurred in Georgia during the 1970's. The raw numbers collected
by Professor Baldus indicate that defendants charged with
killing white persons received the
[***275]
death penalty in 11% of the cases, but defendants charged with
killing blacks received the
death penalty in only 1% of the cases. The raw numbers also indicate a reverse racial
disparity according to the race of the defendant: 4% of the black defendants received the
death penalty, as opposed to 7% of the white defendants.
Baldus also divided the cases according to the combination of the race of the
defendant and the race of the victim. He found that the
death penalty was assessed in 22% of the cases involving black defendants and white victims;
8% of the cases involving white defendants and white victims; 1% of the cases
involving black defendants and black victims; and 3% of the cases involving
white defendants and black victims.
[*287] Similarly, Baldus found that
prosecutors sought the
death penalty in 70% of the cases involving black defendants and white victims; 32% of the
cases involving white defendants and white victims; 15% of the cases involving
black defendants and black victims; and 19% of the cases involving white
defendants and black victims.
Baldus subjected his data to an extensive analysis, taking account of 230
variables that could have explained the
disparities on nonracial grounds. One of his models concludes that, even after taking
account of 39 nonracial
variables, defendants charged with
killing white victims were 4.3 times as likely to receive a
death sentence as defendants charged with
killing blacks. According to this model, black defendants were 1.1 times as likely to
receive a
death sentence as other defendants. Thus, the Baldus study indicates that black defendants,
such as McCleskey, who kill white victims have the greatest likelihood of
receiving the death penalty. . . .
The Court of Appeals affirmed the denial by the District Court of McCleskey's
petition for a writ of habeas corpus insofar as the petition was based upon the
Baldus study, with three judges dissenting as to McCleskey's claims based on
[*291] the Baldus study. We granted certiorari,
478 U.S. 1019 (1986), and now affirm.
II
McCleskey's first claim is that the Georgia
capital punishment statute violates the Equal Protection Clause of the
Fourteenth Amendment. n7 He argues that race has infected the administration of
Georgia's statute in two ways: persons who
murder whites are more likely to be sentenced to death than persons who
murder blacks, and black murderers are more likely to
[***278] be sentenced to death than white murderers. n8
[*292] As a black defendant who
[**1767] killed a white victim, McCleskey claims that the Baldus study demonstrates
that he was discriminated against because of his race and because of the race
of his victim. In its broadest form, McCleskey's claim of discrimination
extends to every actor in the Georgia
capital sentencing process, from the
prosecutor who sought the
death penalty and the jury that imposed the
sentence, to the State itself that enacted the
capital punishment statute and allows it to remain in effect despite its allegedly
discriminatory application. We agree with the Court of Appeals, and every other court that
has considered such a challenge, n9 that this claim must fail.
A
Our analysis begins with the basic principle that a defendant who alleges an
equal protection violation has the burden of proving
"the existence of purposeful discrimination."
Whitus v. Georgia, 385 U.S. 545, 550 (1967). n10 A corollary to this principle is that a criminal defendant must prove that
the purposeful discrimination
"had a
discriminatory effect" on him.
Wayte v. United States, 470 U.S. 598, 608 (1985). Thus, to prevail under the Equal Protection Clause, McCleskey must prove that the decisionmakers in
his case acted with
discriminatory purpose. He offers no evidence specific to his own case that would support an
inference that racial
[*293] considerations played a part in his
sentence. Instead, he relies solely on the Baldus study. n11 McCleskey argues that the
Baldus
[***279] study compels an inference that his
sentence rests on purposeful discrimination. McCleskey's claim that these
statistics are sufficient proof of discrimination, without regard to the facts of a
particular case, would extend to all capital cases in Georgia, at least where
the victim was white and the defendant is black.
The Court has accepted
statistics as proof of intent to discriminate in certain limited contexts. First, this
Court has accepted
statistical
disparities as proof of an equal protection violation in the selection of the jury venire
in a particular district. Although
statistical proof normally must present a
"stark" pattern to be accepted as the sole proof of
discriminatory intent under the Constitution, n12
Arlington Heights
[**1768] v.
[*294] Metropolitan Housing Dev. Corp., 429 U.S. 252, 266 (1977),
"because of the nature of the jury-selection task, . . . we have permitted a
finding of constitutional violation even when the
statistical pattern does not approach [such] extremes."
Id., at 266, n. 13. n13 Second, this Court has accepted
statistics in the form of multiple-regression analysis to prove statutory violations
under Title VII of the Civil Rights Act of 1964.
But the nature of the
capital sentencing decision, and the relationship of the
statistics to that decision, are fundamentally different from the corresponding elements
in the venire-selection or Title VII cases. Most importantly, each particular
decision to impose the
death penalty is made by a petit jury selected from a properly constituted venire. Each
jury is unique in its composition, and the Constitution requires that its
decision rest on
[***280] consideration of innumerable factors that vary according to the
characteristics of the individual defendant and the facts of the particular
capital offense.
See
Hitchcock v.
Dugger, post, at 398-399;
Lockett v. Ohio, 438 U.S. 586, 602-605 (1978) (plurality opinion of Burger, C. J.). Thus, the application of an inference
drawn from the general
statistics to a specific decision in a trial and
sentencing simply is not comparable to the application of an inference drawn from general
statistics to a specific venire-selection
[*295] or Title VII case. In those cases, the
statistics relate to fewer entities, n14 and fewer
variables are relevant to the challenged decisions. n15
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n14 In venire-selection cases, the factors that may be considered are limited,
usually by state statute. See
Castaneda v. Partida, supra, at 485 ("A grand
juror must be a citizen of Texas and of the county, be a qualified voter in the
county, be 'of sound mind and good moral character,' be literate, have no prior
felony conviction, and be under no pending indictment 'or other legal
accusation for theft or of any felony'");
Turner v. Fouche, supra, at 354 (jury commissioners may exclude any not
"upright" and
"intelligent" from grand jury service);
Whitus v. Georgia, supra, at 548 (same). These considerations are uniform for all potential
jurors, and although some factors may be said to be subjective, they are limited and,
to a great degree, objectively verifiable. While employment decisions may
involve a number of relevant
variables, these
variables are to a great extent uniform for all employees because they must all have a
reasonable relationship to the employee's qualifications to perform the
particular job at issue. Identifiable qualifications for a single job provide
a common standard by which to assess each employee. In contrast, a
capital sentencing jury may consider
any factor relevant to the defendant's background, character, and the offense.
See
Eddings v. Oklahoma, 455 U.S. 104, 112 (1982). There is no common standard by which to evaluate all defendants who have or
have not received the
death penalty.
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
Another important difference between the cases in which we have accepted
statistics as proof of
discriminatory intent and this case is that, in the venire-selection and Title VII contexts,
the decisionmaker has an opportunity to explain the
statistical
disparity. See
Whitus v. Georgia, 385 U.S., at 552;
Texas Dept. of Community Affairs v. Burdine, 450 U.S. 248, 254 (1981);
McDonnell Douglas Corp. v.
Green, 411 U.S. 792, 802 (1973). Here, the State has no practical opportunity to rebut the Baldus study.
"Controlling considerations
[***281] of . . . public policy,"
McDonald v. Pless, 238 U.S. 264, 267 (1915), dictate that
jurors
"cannot be called . . . to testify to the motives and influences that led to
their verdict."
Chicago, B.
& Q. R. Co. v.
Babcock, 204 U.S. 585, 593 (1907). Similarly, the policy considerations behind a
prosecutor's traditionally
"wide discretion" n16 suggest the impropriety of our requiring
prosecutors to defend their decisions to seek death penalties,
"often years after they were made." n17 See
Imbler v. Pachtman, 424 U.S. 409, 425-426 (1976).
n18 Moreover, absent far stronger proof, it is unnecessary
[*297] to seek such a rebuttal, because a legitimate and unchallenged explanation for
the decision is apparent from the record: McCleskey committed an act for which
the United States Constitution and Georgia laws permit imposition of the death
penalty.
Finally, McCleskey's
statistical proffer must be viewed in the context of his challenge. McCleskey challenges
decisions at the heart of the State's criminal justice system.
"One of society's most basic tasks is that of protecting the lives of its
citizens and one of the most basic ways in which it achieves the task is
through criminal laws against
murder."
Gregg v. Georgia, 428 U.S. 153, 226
[**1770] (1976) (WHITE, J., concurring). Implementation of these laws necessarily requires
discretionary judgments. Because discretion is essential to the criminal justice process, we would demand exceptionally
clear proof before we would infer that the discretion has been abused. The
unique nature of the decisions at issue in this case also counsels against
adopting such an inference from the
disparities indicated by the Baldus study. Accordingly, we hold that the Baldus study is
clearly insufficient to support an inference that any of the
[***282] decisionmakers in McCleskey's case acted with
discriminatory purpose.
B
McCleskey also suggests that the Baldus study proves that the State as a whole
has acted with a
discriminatory purpose. He appears to argue that the State has violated the Equal
[*298] Protection Clause by adopting the
capital punishment statute and allowing it to remain in force despite its allegedly
discriminatory application. But
"'discriminatory purpose' . . . implies more than intent as volition or intent as awareness of
consequences. It implies that the decisionmaker, in this case a state
legislature, selected or reaffirmed a particular course of action at least in
part 'because of,' not merely 'in spite of,' its adverse effects upon an
identifiable group."
Personnel Administrator of Massachusetts v. Feeney, 442 U.S. 256, 279 (1979)
(footnote and citation omitted). See
Wayte v. United States, 470 U.S., at 608-609. For this claim to prevail, McCleskey would have to prove that the Georgia
Legislature enacted or maintained the
death penalty statute
because of an anticipated
racially
discriminatory effect. In
Gregg v. Georgia, supra, this Court found that the Georgia
capital sentencing system could operate in a fair and neutral manner. There
was no evidence then, and there is none now, that the Georgia Legislature
enacted the capital punishment statute to further a racially discriminatory
purpose.
Nor has McCleskey demonstrated that the legislature maintains the
capital punishment statute because of the
racially
disproportionate impact suggested by the Baldus study. As legislatures necessarily have wide
discretion in the choice of criminal laws and penalties, and as there were
[*299] legitimate reasons for the Georgia Legislature to adopt and maintain
capital punishment, see
Gregg v. Georgia, supra, at 183-187 (joint opinion of Stewart, POWELL, and STEVENS, JJ.), we will not infer a
discriminatory purpose on the part of the State of Georgia. n21
[**1771] Accordingly,
[***283] we reject McCleskey's equal protection claims.
III
McCleskey also argues that the Baldus study demonstrates that the Georgia
capital sentencing system violates the
Eighth Amendment. n22 We begin our analysis of this claim by reviewing the restrictions on death
sentences established by our prior decisions under that Amendment.
A
The
Eighth Amendment prohibits infliction of
"cruel and unusual punishments." This Court's early
Eighth Amendment cases examined only the
"particular methods of execution to determine whether they were too cruel to
pass constitutional muster."
Gregg v. Georgia, supra, at 170. See
In re Kemmler, 136 U.S. 436 (1890) (electrocution);
[*300]
Wilkerson v. Utah, 99 U.S. 130 (1879) (public shooting). Subsequently, the Court recognized that the constitutional
prohibition against cruel and unusual punishments
"is not fastened to the obsolete but may acquire meaning as public opinion
becomes enlightened by a humane justice."
Weems v. United States, 217 U.S. 349, 378 (1910). In
Weems, the Court identified a second principle inherent in the
Eighth Amendment,
"that punishment for crime should be graduated and proportioned to offense."
Id., at 367.
Chief Justice Warren, writing for the plurality in
Trop v. Dulles, 356 U.S. 86, 99 (1958), acknowledged the constitutionality of
capital punishment. In his view, the
"basic concept underlying the
Eighth Amendment" in this area is that the penalty must accord with
"the dignity of man."
Id., at 100. In applying this mandate, we have been guided by his statement that
"the Amendment must draw its meaning from the evolving standards of decency that
mark the progress of a maturing society."
Id., at 101. Thus, our constitutional decisions have been informed by
"contemporary values concerning the infliction of a challenged sanction,"
Gregg v. Georgia, 428 U.S., at 173. In assessing contemporary values,
we have eschewed subjective judgment, and instead have sought to ascertain
"objective indicia that reflect the public attitude toward a given sanction."
Ibid. First among these indicia are the decisions of state legislatures,
"because the . . . legislative judgment weighs heavily in ascertaining" contemporary standards,
id., at 175. We also have been guided by the
sentencing decisions of juries, because they are
"a significant and reliable objective index of contemporary values,"
id., at 181.
[***284] Most of our recent decisions as to the constitutionality of the
death penalty for a particular crime have rested on such an examination of contemporary
values.
[*301] B
Two principal decisions guide our resolution of McCleskey's
Eighth Amendment claim. In
Furman v. Georgia, 408 U.S. 238 (1972), the Court concluded that the
death penalty was so irrationally imposed that any particular
death sentence could be presumed excessive. Under the statutes at issue in
Furman, there was no basis for determining in any particular case whether the penalty
[**1772] was proportionate to the crime:
"The
death penalty [was] exacted with great infrequency even for the most atrocious crimes and .
. . there [was] no meaningful basis for distinguishing the few cases in which
it [was] imposed from the many cases in which it [was] not."
Id., at 313 (WHITE, J., concurring).
In
Gregg, the Court specifically addressed the question left open in
Furman -- whether the punishment of death for
murder is
"under all circumstances, 'cruel and unusual' in violation of the Eighth and
Fourteenth Amendments of the Constitution."
428 U.S., at 168. We noted that the imposition of the
death penalty for the crime of
murder
"has a long history of acceptance both in the United States and in England."
Id., at 176 (joint opinion of Stewart, POWELL, and STEVENS, JJ.).
"The most marked indication of society's endorsement of the
death penalty for
murder [was] the legislative response to
Furman."
Id., at 179. During the 4-year period between
Furman and
Gregg, at least 35 States had reenacted the
death penalty, and Congress had authorized the penalty for aircraft piracy.
428 U.S., at 179-180. n23 The
"actions of juries" were
"fully compatible with the legislative judgments."
Id., at 182. We noted that any punishment might be unconstitutionally severe if inflicted
without penological justification, but concluded:
[*302]
"Considerations of federalism, as well as respect for the ability of a
legislature to evaluate, in terms of its particular State, the moral consensus
concerning the
death penalty and its social utility as a sanction, require us to conclude, in the absence
of more convincing evidence, that the infliction of death as a punishment for
murder is not without justification and thus is not unconstitutionally severe."
Id., at 186-187.
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n23 Thirty-seven States now have
capital punishment statutes that were enacted since our decision in
Furman. Thirty-three of these States have imposed death
sentences under the new statutes. A federal statute, amended in relevant part
in 1974, authorizes the death penalty for aircraft piracy in which a death
occurs.
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
The
[***285] second question before the Court in
Gregg was the constitutionality of the particular procedures embodied in the Georgia
capital punishment statute. We explained the fundamental principle of
Furman, that
"where discretion is afforded a
sentencing body on a matter so grave as the determination of whether a human life should
be taken or spared, that discretion must be suitably directed and limited so as
to minimize the risk of wholly arbitrary and capricious action."
428 U.S., at 189. Numerous features of the then new Georgia statute met the concerns articulated
in
Furman. n24 The Georgia system bifurcates guilt and
sentencing proceedings so that the jury can receive all relevant information for
sentencing without the risk that evidence irrelevant to the defendant's guilt will
influence the jury's consideration of that issue. The statute narrows the
class of
murders subject to the
death penalty to cases in which the jury finds at least one statutory
aggravating circumstance beyond a reasonable doubt. Conversely, it allows the defendant
to introduce any relevant
mitigating evidence that might influence the jury not to impose a
death sentence.
See
428 U.S., at 163-164. The procedures also require a particularized inquiry into
"'the circumstances of the offense together with the character and propensities
of the
offender.'"
Id., at 189 (quoting
Pennsylvania ex rel. Sullivan v. Ashe, 302 U.S. 51, 55 (1937)). Thus,
"while some jury discretion still exists, 'the
[*303] discretion to be exercised
[**1773] is controlled by clear and objective standards so as to produce
non-discriminatory application.'"
428 U.S., at 197-198 (quoting
Coley v. State, 231 Ga. 829, 834, 204 S. E. 2d 612, 615 (1974)). Moreover, the Georgia system adds
"an important additional
safeguard against arbitrariness and caprice" in a provision for automatic appeal of a
death sentence to the State Supreme Court.
428 U.S., at 198. The statute requires that court to review each
sentence to determine whether it was imposed under the influence of passion or
prejudice, whether the evidence supports the jury's finding of a statutory
aggravating circumstance, and whether the
sentence is
disproportionate to
sentences imposed in
generally similar
murder cases. To aid the court's review, the trial judge answers a questionnaire
about the trial, including detailed questions as to
"the quality of the defendant's representation [and] whether race played a role
in the trial."
C
In the cases decided after
Gregg, the Court has imposed a number of requirements on the
capital sentencing process to ensure that
capital sentencing decisions rest on the individualized inquiry contemplated in
Gregg. In
Woodson v. North Carolina, 428 U.S. 280 (1976), we invalidated a mandatory
capital sentencing system, finding that the
"respect
[***286] for humanity underlying the
Eighth Amendment requires consideration of the character and record of the individual
offender and the circumstances of the particular offense as a constitutionally indispensable part of the
process of inflicting the penalty of death."
Id., at 304 (plurality opinion of Stewart, POWELL, and STEVENS, JJ.) (citation omitted).
Similarly, a State must
"narrow the class of murderers subject to
capital punishment,"
Gregg v. Georgia, supra, at 196, by providing
"specific and detailed guidance" to the sentencer.
In contrast to the carefully defined standards that must narrow a sentencer's
discretion to
impose the
death sentence, the Constitution limits a State's ability to narrow a sentencer's discretion
to consider relevant evidence that might cause it to
decline to impose the
death sentence. n26
"The sentencer . . . [cannot] be precluded from considering,
as a
mitigating 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."
Lockett v. Ohio, 438 U.S., at 604 (plurality opinion of Burger, C. J.) (emphasis in original; footnote omitted).
See
Skipper v. South Carolina, 476 U.S. 1 (1986). Any exclusion of the
"compassionate or
mitigating
[**1774] factors stemming from the diverse frailties of humankind" that are relevant to the sentencer's decision would fail to treat all persons
as
"uniquely individual human beings."
Woodson v. North Carolina, supra, at 304.
Although our constitutional inquiry has centered on the procedures by which a
death sentence is imposed, we have not stopped at the face of a statute, but have probed the
application
[*305] of statutes to particular cases. For example, in
Godfrey v. Georgia, 446 U.S. 420 (1980), the Court invalidated a Georgia Supreme Court interpretation of the statutory
aggravating circumstance that the
murder be
"outrageously or wantonly vile, horrible or inhuman in
[***287] that it involved torture, depravity of mind, or an aggravated battery to the
victim." Ga. Code
§ 27-2534.1(b)(7) (1978). n27 Although that court had articulated an adequate
limiting definition of this phrase, we concluded that its interpretation in
Godfrey was so broad that it may have vitiated the role of the
aggravating circumstance in guiding the
sentencing jury's discretion.
Finally,
where the objective indicia of community values have demonstrated a consensus
that the
death penalty is
disproportionate as applied to a certain class of cases, we have established substantive
limitations on its application. In
Coker v. Georgia, 433 U.S. 584 (1977), the Court held that a State may not constitutionally
sentence an individual to death for the
rape of an adult woman. In
Enmund v. Florida, 458 U.S. 782 (1982), the Court prohibited imposition of the
death penalty on a defendant
convicted of felony
murder absent a showing that the defendant possessed a sufficiently culpable mental
state. Most recently, in
Ford v. Wainwright, 477 U.S. 399 (1986), we prohibited execution of prisoners who are insane.
D
In sum, our decisions since
Furman have identified a constitutionally permissible range of discretion in imposing
the
death penalty. First, there is a required threshold below which the
death penalty cannot be imposed. In this context, the State must establish rational
criteria that narrow the decisionmaker's judgment as to whether the
circumstances of a particular defendant's case meet the threshold.
Moreover, a societal consensus that the
death penalty is
disproportionate
[*306] to a particular offense prevents a State from imposing the
death penalty for that offense. Second, States cannot limit the sentencer's consideration
of any relevant circumstance that could cause it to decline to impose the
penalty. In this respect, the State cannot channel the sentencer's discretion,
but must allow it to consider any relevant information offered by the defendant.
IV
A
In light of our precedents under the
Eighth Amendment, McCleskey cannot argue successfully that his
sentence is
"disproportionate to the crime in the traditional sense." See
Pulley v. Harris, 465 U.S. 37, 43 (1984). He does not deny that he committed a
murder in the course of a planned robbery, a crime for which this Court has
determined that the
death penalty constitutionally may be imposed.
Gregg v. Georgia, 428 U.S., at 187. His disproportionality claim
"is of a different sort."
Pulley v. Harris, supra, at 43. McCleskey argues that the
sentence in his case is
disproportionate to the
sentences in other
murder cases.
On the one hand, he cannot base a constitutional claim on an argument that
[**1775] his case differs from other cases in which defendants
did
[***288] receive the
death penalty. On automatic appeal, the Georgia Supreme Court found that McCleskey's
death sentence was not
disproportionate to other death
sentences imposed in the State.
McCleskey v. State, 245 Ga. 108, 263 S. E. 2d 146 (1980). The court supported this conclusion with an appendix containing citations to
13 cases involving generally similar
murders. See Ga. Code Ann.
§ 17-10-35(e) (1982). Moreover, where the statutory procedures adequately
channel the sentencer's discretion, such proportionality review is not
constitutionally required.
On the other hand, absent a showing that the Georgia capital punishment system operates in an arbitrary and capricious manner, McCleskey cannot prove a constitutional [*307] violation by demonstrating that other defendants who may be similarly situated did not receive the death penalty. In Gregg, the Court confronted the argument that "the opportunities for discretionary action that are inherent in the processing of any murder case under Georgia law," 428 U.S., at 199, specifically the opportunities for discretionary leniency, rendered the capital sentences imposed arbitrary and capricious. We rejected this contention:
"The existence of these discretionary stages is not determinative of the issues before us. At each of these stages an actor in the criminal justice system makes a decision which may remove a defendant from consideration as a candidate for the death penalty. Furman, in contrast, dealt with the decision to impose the death sentence on a specific individual who had been convicted of a capital offense. Nothing in any of our cases suggests that the decision to afford an individual defendant mercy violates the Constitution. Furman held only that, in order to minimize the risk that the death penalty would be imposed on a capriciously selected group of offenders, the decision to impose it had to be guided by standards so that the sentencing authority would focus on the particularized circumstances of the crime and the defendant."
Because McCleskey's
sentence was imposed under Georgia
sentencing procedures that focus discretion
"on the particularized nature of the crime and the particularized
characteristics of the individual defendant,"
id., at 206, we lawfully may presume that McCleskey's
death sentence was not
"wantonly and freakishly" imposed,
id., at 207, and thus that
[***289] the
sentence is not
disproportionate within any recognized meaning under the
Eighth Amendment.
B
[***HR3C]
[3C]
Although our decision in
Gregg as to the facial validity of the Georgia
capital punishment statute appears to foreclose McCleskey's disproportionality argument, he
further contends that the Georgia
capital punishment system is arbitrary and capricious in
application, and therefore his
sentence is excessive, because racial considerations may influence
capital sentencing decisions in Georgia. We now address this claim.
To evaluate McCleskey's challenge, we must examine exactly what the Baldus
[**1776] study may show. Even Professor Baldus does not contend that his
statistics
prove that race enters into any
capital sentencing decisions or that race was a factor in McCleskey's particular case. n29
Statistics at most may show only a likelihood that a particular factor entered into some
decisions. There is, of course, some risk of racial prejudice influencing a
jury's decision in a criminal case. There are similar risks that other kinds
of prejudice will influence other criminal trials. See
infra, at 315-318. The question
[*309]
"is at what point that risk becomes constitutionally unacceptable,"
Turner v. Murray, 476 U.S. 28, 36, n. 8 (1986). McCleskey asks us to accept the likelihood allegedly shown by the Baldus study
as the constitutional measure of an unacceptable risk of racial prejudice
influencing
capital sentencing decisions. This we decline to do.
Because of the risk that the factor of race may enter the criminal justice
process, we have engaged in
"unceasing efforts" to eradicate racial prejudice from our criminal justice system.
Batson v. Kentucky, 476 U.S. 79, 85 (1986). n30 Our efforts have been
[***290] guided by our recognition that
"the inestimable privilege of trial by jury . . . is a vital principle,
underlying the whole administration of criminal justice,"
Ex parte Milligan, 4 Wall. 2, 123 (1866). See
Duncan v.
[*310] Louisiana, 391 U.S. 145, 155 (1968). n31 Thus, it is the jury that is a criminal defendant's fundamental
"protection of life and liberty against race or color prejudice."
Strauder v. West Virginia, 100 U.S. 303, 309 (1880). Specifically, a
capital sentencing jury representative of a criminal defendant's community assures a
"'diffused impartiality,'"
Taylor v. Louisiana, 419 U.S. 522, 530 (1975) (quoting
Thiel v. Southern Pacific Co., 328 U.S. 217, 227
[**1777] (1946) (Frankfurter, J., dissenting)), in the jury's task of
"express[ing] the conscience of the community on the ultimate question of life or death,"
[*311] Individual
jurors bring to their deliberations
"qualities of human nature and varieties of human experience, the range of which
is unknown and perhaps unknowable."
Peters v. Kiff, 407 U.S. 493, 503 (1972) (opinion of MARSHALL, J.). The
capital sentencing decision requires the individual
[***291]
jurors to focus their collective judgment on the unique characteristics of a
particular criminal defendant. It is not surprising that such collective
judgments often are difficult to explain. But the inherent lack of
predictability of jury decisions does not justify their condemnation. On the
contrary, it is the jury's function to make the difficult and uniquely human
judgments that defy codification and that
"buil[d] discretion, equity, and flexibility into a legal system." H. Kalven
& H. Zeisel, The American Jury 498 (1966).
McCleskey's argument that the Constitution condemns the discretion allowed
decisionmakers in the Georgia
capital sentencing system is antithetical to the fundamental role of discretion in our criminal
justice system. Discretion in the criminal justice system offers substantial
benefits to the criminal defendant. Not only can
a jury decline to impose the
death sentence, it can decline to convict or choose to convict of a lesser offense. Whereas
decisions against a defendant's interest may be reversed by the trial judge or
on appeal, these discretionary exercises of leniency are final and
unreviewable. n33 Similarly, the capacity of
prosecutorial discretion
[*312] to provide individualized justice is
"firmly entrenched in American law." 2 W. LaFave
& J. Israel,
[**1778] Criminal Procedure
§ 13.2(a), p. 160 (1984). As we have noted, a
prosecutor can decline to charge, offer a plea bargain, n34 or decline to seek a
death sentence in any particular case. See n. 28,
supra. Of course,
"the power to be lenient [also] is the power to discriminate," K. Davis, Discretionary Justice 170 (1973), but a
capital punishment system that did not allow for discretionary acts of leniency
"would be totally alien to our notions of criminal justice."
Gregg v. Georgia, 428 U.S., at 200, n. 50.
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n33 In the guilt phase of a trial, the Double Jeopardy Clause bars
reprosecution after an acquittal, even if the acquittal is
"'based upon an egregiously erroneous foundation.'"
United States v. DiFrancesco, 449 U.S. 117, 129 (1980) (quoting
Fong Foo v. United States, 369 U.S. 141, 143 (1962)). See Powell, Jury Trial of Crimes,
23 Wash. & Lee L. Rev. 1, 7-8 (1966) (Despite the apparent injustice of such an acquittal,
"the founding fathers, in light of history, decided that the balance here should
be struck in favor of the individual").
In the penalty hearing, Georgia law provides that
"unless the jury . . . recommends the
death sentence in its verdict, the court shall not
sentence the defendant to death." Georgia Code Ann.
§ 17-10-31 (1982). In
Bullington v. Missouri, 451 U.S. 430 (1981), this Court held that the Double Jeopardy Clause of the Constitution prohibits
a State from asking for a
sentence of death at a second trial when the jury at the first trial recommended a
lesser
sentence.
n34 In this case, for example, McCleskey declined to enter a guilty plea.
According to his trial attorney:
"The
Prosecutor was indicating that we might be able to work out a life
sentence if he were willing to enter a plea. But we never reached any concrete stage
on that because Mr. McCleskey's attitude was that he didn't want to enter a
plea. So it never got any further than just talking about it." Tr. in No. 4909, p. 56 (Jan. 30, 1981).
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
C
At most, the Baldus study indicates a discrepancy that appears to correlate
with race. Apparent
disparities in
sentencing are an inevitable part of our criminal justice system. n35
[*313] The discrepancy indicated
[***292] by the Baldus study is
"a far cry from the major systemic defects identified in
Furman,"
Pulley v. Harris, 465 U.S., at 54. n36 As this Court has recognized, any mode for determining guilt or punishment
"has its weaknesses and the potential for misuse."
Singer v. United States, 380 U.S. 24, 35 (1965). See
Bordenkircher v. Hayes, 434 U.S. 357, 365 (1978). Specifically,
"there can be 'no perfect procedure for deciding in which cases governmental
authority should be used to impose death.'"
Zant v. Stephens, 462 U.S. 862, 884 (1983) (quoting
Lockett v. Ohio, 438 U.S., at 605 (plurality opinion of Burger, C. J.)). Despite these imperfections, our
consistent rule has been that constitutional guarantees are met when
"the mode [for determining guilt or punishment] itself has been surrounded with
safeguards to make it as fair as possible."
Singer v. United States, supra, at 35. Where the discretion that is fundamental to our criminal process is involved,
we decline to assume that what is unexplained is invidious. In light of the
safeguards designed to minimize racial bias in the process, the fundamental value of jury
trial in our criminal justice system, and the benefits that discretion provides
to criminal defendants, we hold that the Baldus study does not demonstrate a
constitutionally significant risk of racial bias affecting the Georgia
capital sentencing process. n37
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n35 Congress has acknowledged the existence of such discrepancies in criminal
sentences, and in 1984 created the United States
Sentencing Commission to develop
sentencing guidelines. The objective of the guidelines
"is to avoid
unwarranted
sentencing
disparities among defendants with similar records who have been found guilty of similar
criminal conduct, while maintaining sufficient flexibility to permit
individualized
sentencing when warranted by
mitigating or
aggravating factors not taken into account in the guidelines."
52 Fed. Reg. 3920 (1987) (emphasis added). No one contends that all
sentencing
disparities can be eliminated. The guidelines, like the
safeguards in the
Gregg-type statute, further an essential need of the Anglo-American criminal justice
system -- to balance the desirability of a high degree of uniformity against
the necessity for the exercise of discretion.
n36 The Baldus study in fact confirms that the Georgia system results in a
reasonable level of proportionality among the class of murderers eligible for
the
death penalty. As Professor Baldus confirmed, the system sorts out cases where the
sentence of death is highly likely and highly unlikely, leaving a midrange of cases
where the imposition of the
death penalty in any particular case is less predictable. App. 35-36. See n. 5,
supra.
n37 JUSTICE BRENNAN's eloquent dissent of course reflects his often repeated
opposition to the
death sentence. His views, that also are shared by JUSTICE MARSHALL, are principled and
entitled to respect. Nevertheless, since
Gregg was decided in 1976, seven Members of this Court consistently have upheld
sentences of death under
Gregg-type statutes providing for meticulous review of each
sentence in both state and federal courts. The ultimate thrust of JUSTICE BRENNAN's
dissent is that
Gregg and its progeny should be overruled. He does not, however, expressly call for
the overruling of any prior decision. Rather, relying on the Baldus study,
JUSTICE BRENNAN, joined by JUSTICES MARSHALL, BLACKMUN, and STEVENS, questions
the very heart of our criminal justice system: the traditional discretion that
prosecutors and juries necessarily must have.
We have held that discretion in a
capital punishment system is necessary to satisfy the Constitution.
Woodson v. North Carolina, 428 U.S. 280 (1976). See
supra, at 303-306. Yet, the dissent now claims that the
"discretion afforded
prosecutors and
jurors in the Georgia
capital sentencing system" violates the Constitution by creating
"opportunities for racial considerations to influence criminal proceedings."
Post, at 333. The dissent contends that in Georgia
"no guidelines govern
prosecutorial decisions . . . and [that] Georgia provides juries with no list of
aggravating and
mitigating factors, nor any standard for balancing them against one another."
Ibid.
Prosecutorial decisions necessarily involve both judgmental and factual decisions that vary
from case to case. See ABA Standards for Criminal Justice 3-3.8, 3-3.9 (2d ed.
1982). Thus, it is difficult to imagine guidelines that would produce the
predictability sought by the dissent without sacrificing the discretion
essential to a humane and fair system of criminal justice. Indeed, the dissent
suggests no such guidelines for
prosecutorial discretion.
The reference to the failure to provide juries with the list of
aggravating and
mitigating factors is curious. The
aggravating circumstances are set forth in detail in the Georgia statute. See n. 3,
supra. The jury is not provided with a list of
aggravating circumstances because not all of them are relevant to any particular crime.
Instead, the
prosecutor must choose the relevant circumstances and the State must prove to the jury
that at least one exists beyond a reasonable doubt before the jury can even
consider imposing the
death sentence. It would be improper and often prejudicial to allow
jurors to speculate as to
aggravating circumstances wholly without support in the evidence.
The dissent's argument that a list of
mitigating factors is required is particularly anomalous. We have held that the
Constitution requires that juries be allowed to consider
"any relevant
mitigating factor," even if it is not included in a statutory list.
Eddings v. Oklahoma, 455 U.S., at 112. See
Lockett v. Ohio, 438 U.S. 586 (1978). The dissent does not attempt to harmonize its criticism with this
constitutional principle. The dissent also does not suggest any standard, much
less a workable one, for balancing
aggravating and
mitigating factors. If capital defendants are to be treated as
"uniquely individual human beings,"
Woodson v. North Carolina, supra, at 304, then discretion to evaluate and weigh the circumstances relevant to the
particular defendant and the crime he committed is essential.
[***HR25B]
[25B]
The dissent repeatedly emphasizes the need for
"a uniquely high degree of rationality in imposing the
death penalty."
Post, at 335. Again, no suggestion is made as to how greater
"rationality" could be achieved under any type of statute that authorizes
capital punishment. The
Gregg-type statute imposes unprecedented
safeguards in the special context of
capital punishment. These include: (i) a bifurcated
sentencing proceeding; (ii) the threshold requirement of one or more
aggravating circumstances; and (iii) mandatory State Supreme Court review. All of these
are administered pursuant to this Court's decisions interpreting the limits of
the
Eighth Amendment on the imposition of the
death penalty, and all are subject to ultimate review by this Court. These ensure a degree
of care in the imposition of the
sentence of death that can be described only as unique. Given these
safeguards already inherent in the imposition and review of capital
sentences, the dissent's call for greater rationality is no less than a claim that a
capital punishment system cannot be administered in accord with the Constitution. As we
reiterate,
infra, the requirement of heightened rationality in the imposition of
capital punishment does not
"plac[e] totally unrealistic conditions on its use."
Gregg v. Georgia, 428 U.S., at 199, n. 50.
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
Two additional concerns inform our decision in this case. First, McCleskey's
claim, taken to its logical conclusion,
[*315] throws into serious question the principles that underlie our entire criminal
justice system. The
Eighth Amendment is not limited in application to
capital punishment, but applies to all penalties.
Solem v. Helm, 463 U.S. 277, 289-290 (1983); see
Rummel v. Estelle, 445 U.S. 263, 293 (1980) (POWELL, J., dissenting). Thus, if we accepted McCleskey's claim that racial
bias has impermissibly tainted the
capital sentencing decision, we could soon be faced with similar claims as to other types of
penalty. n38 Moreover, the claim that his
[**1780]
sentence
[*316] rests on the
[***294] irrelevant factor of race easily could be extended to apply to claims based on
unexplained discrepancies that correlate to membership in other minority
groups, n39 and
[*317] even to gender. n40 Similarly, since McCleskey's claim relates to the race of
his victim, other claims could apply with equally logical force to
statistical
disparities that correlate with the race or sex of other actors in the criminal justice system, such as defense attorneys n41 or judges. n42
Also,
[***295] there is no logical reason that such a claim need be limited to racial or
sexual bias. If arbitrary and capricious punishment is the touchstone under
the
Eighth Amendment, such a claim could -- at least in theory -- be based upon any arbitrary
variable, such as the defendant's facial
[**1781] characteristics, n43 or the physical attractiveness of the defendant or the
victim, n44 that some
statistical
[*318] study indicates may be influential in jury decisionmaking. As these examples
illustrate, there is no limiting principle to the type of challenge brought by
McCleskey. n45
[*319] The Constitution does not require that a State eliminate any demonstrable
disparity that correlates with a potentially irrelevant factor in order to operate a
criminal justice system that includes
capital punishment. As we
[***296] have stated specifically in the context of
capital punishment, the Constitution does not
"plac[e] totally unrealistic conditions on its use."
[**1782]
Gregg v. Georgia, 428 U.S., at 199, n. 50.
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n39 In
Regents of the University of California v. Bakke, 438 U.S. 265, 295 (1978) (opinion of POWELL, J.), we recognized that the national
"majority"
"is composed of various minority groups, most of which can lay claim to a
history of prior discrimination at the hands of the State and private
individuals." See
id., at 292 (citing
Strauder v. West Virginia, 100 U.S., at 308 (Celtic Irishmen) (dictum);
Yick Wo v. Hopkins, 118 U.S. 356 (1886) (Chinese);
Truax v. Raich, 239 U.S. 33, 36, 41-42 (1915) (Austrian resident aliens);
Korematsu v. United States, 323 U.S. 214, 216 (1944) (Japanese);
Hernandez v. Texas, 347 U.S. 475 (1954) (Mexican-Americans)). See also Uniform Guidelines on Employee Selection
Procedures (1978),
29 CFR § 1607.4(B) (1986) (employer must keep records as to the
"following races and ethnic groups: Blacks, American Indians (including Alaskan
Natives), Asians (including Pacific Islanders), Hispanics (including persons of
Mexican, Puerto Rican, Cuban, Central or South American, or other Spanish
origin or culture regardless of race), and whites (Caucasians) other than
Hispanics"); U.S. Bureau of the Census, 1980 Census of the Population, Vol. 1, ch. B
(PC80-1-B), reprinted in 1986
Statistical Abstract of the United States 29 (dividing United States population by
"race and Spanish origin" into the following groups: White, Black, American Indian, Chinese, Filipino,
Japanese, Korean, Vietnamese, Spanish origin, and all other races); U.S. Bureau
of the Census, 1980 Census of the Population, Supplementary Report, series
PC80-S1-10, reprinted in 1986
Statistical Abstract of the United States 34 (listing 44 ancestry groups and noting that
many individuals reported themselves to belong to multiple ancestry groups).
We also have recognized that the ethnic composition of the Nation is ever
shifting.
Crawford v. Board of Ed. of Los Angeles, 458 U.S. 527 (1982), illustrates demographic facts that we increasingly find in our country,
namely, that populations change in composition, and may do so in relatively
short timespans. We noted:
"In 1968 when the case went to trial, the [Los Angeles] District was 53.6%
white, 22.6% black, 20% Hispanic, and 3.8% Asian and other. By October 1980,
the demographic composition had altered radically: 23.7% white, 23.3% black,
45.3% Hispanic, and 7.7% Asian and other."
Id., at 530, n. 1. Increasingly whites are becoming a minority in many of the larger American
cities. There appears to be no reason why a white defendant in such a city
could not make a claim similar to McCleskey's if racial
disparities in
sentencing arguably are shown by a
statistical study.
Finally, in our heterogeneous society the lower courts have found the
boundaries of race and ethnicity increasingly difficult to determine. See
Shaare Tefila Congregation v. Cobb, 785 F.2d 523 (CA4), cert. granted,
479 U.S. 812 (1986), and
Al-Khazraji v. Saint Francis College, 784 F.2d 505 (CA3), cert. granted,
479 U.S. 812 (1986) (argued Feb. 25, 1987) (presenting the questions whether Jews and Arabs,
respectively, are
"races" covered by
42 U. S. C. §§ 1981 and 1982).
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
[***HR28]
[28]
Second, McCleskey's arguments are best presented to the legislative bodies. It
is not the responsibility -- or indeed even the right -- of this Court to
determine the appropriate punishment for particular crimes. It is the
legislatures, the elected representatives of the people, that are
"constituted to respond to the will and consequently the moral values of the
people."
Furman v. Georgia, 408 U.S., at 383 (Burger, C. J., dissenting). Legislatures also are better qualified to weigh
and
"evaluate the results of
statistical studies in terms of their own local conditions and with a flexibility of
approach that is not available to the courts,"
Gregg v. Georgia, supra, at 186. Capital punishment is now the law in more than two-thirds of our States. It
is the ultimate duty of courts to determine on a case-by-case basis whether
these laws are applied consistently with the Constitution. Despite McCleskey's
wide-ranging arguments that basically challenge the validity of
capital punishment in our multiracial society, the only question before us is whether in his
case, see
supra, at 283-285, the law of Georgia was properly applied.
We agree with the District Court and the Court of Appeals for the Eleventh
Circuit that this was carefully and correctly done in this case.
[*320] VI
Accordingly, we affirm the judgment of the Court of Appeals for the Eleventh
Circuit.
It is so ordered.
DISSENT: JUSTICE BRENNAN, with whom JUSTICE MARSHALL joins, and with whom JUSTICE
BLACKMUN and JUSTICE STEVENS join in all but Part I, dissenting.
I
Adhering to my view that the
death penalty is in all circumstances cruel and unusual punishment forbidden by the Eighth
and Fourteenth Amendments, I would vacate the decision below insofar as it left
undisturbed the
death sentence imposed in this case.
Gregg v. Georgia, 428 U.S. 153, 227 (1976) (BRENNAN, J., dissenting). The Court observes that
"the
Gregg-type statute imposes unprecedented
safeguards in the special context of
capital punishment," which
"ensure a degree of care in the imposition of the
death penalty that can be described only as unique."
Ante, at 315, n. 37. Notwithstanding these efforts,
murder defendants in Georgia with white victims are more than four times as likely to
receive the
death sentence as are defendants with black victims. Petitioner's Exhibit DB 82. Nothing could convey more
powerfully the intractable reality of the
death penalty:
"that the effort to eliminate arbitrariness in the infliction of that ultimate
sanction is so plainly doomed to failure that it -- and the
death penalty -- must be abandoned altogether."
[***297]
Godfrey v. Georgia, 446 U.S. 420, 442 (1980) (MARSHALL, J., concurring in judgment).
Even if I did not hold this position, however, I would reverse the Court of
Appeals, for petitioner McCleskey has clearly demonstrated that his
death sentence was imposed in violation of the Eighth and Fourteenth Amendments. While I
join Parts I through IV-A of JUSTICE BLACKMUN's dissenting opinion discussing
petitioner's
Fourteenth Amendment claim, I write separately to emphasize how conclusively
[*321] McCleskey has also demonstrated precisely the type of risk of irrationality in
sentencing that we have consistently condemned in our
Eighth Amendment jurisprudence.
II
At some point in this case, Warren McCleskey doubtless asked his lawyer whether
a jury was likely to
sentence him to die. A candid reply to this question would have been disturbing.
First, counsel would have to tell McCleskey that few of the details of the
crime or of McCleskey's past criminal conduct were more important than the fact
that his victim was white. Petitioner's Supplemental Exhibits (Supp. Exh.) 50.
Furthermore, counsel would feel bound to tell McCleskey that defendants
charged with
killing white victims in Georgia are 4.3 times as likely to be sentenced to death as
defendants charged with
killing blacks. Petitioner's Exhibit DB 82. In addition, frankness would compel the
disclosure that it was more likely than not that the race of McCleskey's victim
would determine whether he received a
death sentence: 6 of every 11 defendants
convicted of
killing a white person would not have received the
death penalty if their victims had been black, Supp. Exh. 51, while, among defendants with
aggravating and
mitigating factors comparable to McCleskey's, 20 of every 34 would not have been
sentenced to die if their victims had been black.
Id., at 54. Finally, the assessment would not be complete without the
information that cases involving black defendants and white victims are more
likely to result
[**1783] in a
death sentence than cases featuring any other racial combination of defendant and victim.
Ibid. The story could be told in a variety of ways, but McCleskey could not fail
to grasp its essential narrative line: there was a significant chance that race
would play a prominent role in determining if he lived or died.
The Court today holds that Warren McCleskey's
sentence was constitutionally imposed. It finds no fault in a system in which lawyers
must tell their clients that race casts a
[*322] large shadow on the
capital sentencing process. The Court arrives at this conclusion by stating that the Baldus
study cannot
"prove that race enters into any
capital sentencing decisions or that race was a factor in McCleskey's particular case."
Ante, at 308 (emphasis in original). Since, according to Professor Baldus, we
cannot say
"to a moral certainty" that race influenced a decision,
ante, at 308, n. 29, we can identify only
"a likelihood that a particular factor entered into some decisions,"
ante, at 308, and
"a discrepancy that appears to correlate with race."
Ante, at 312. This
"likelihood" and
"discrepancy,"
[***298] holds the Court, is insufficient to establish a constitutional violation.
The Court reaches this conclusion by placing four factors on the scales
opposite McCleskey's evidence: the desire to encourage
sentencing discretion, the existence of
"statutory
safeguards" in the Georgia scheme, the fear of encouraging widespread challenges to other
sentencing decisions, and the limits of the judicial role. The Court's evaluation of the
significance of petitioner's evidence is fundamentally at odds with our
consistent concern for rationality in
capital sentencing, and the considerations that the majority invokes to discount that evidence
cannot justify ignoring its force.
III
A
It is important to emphasize at the outset that the Court's observation that
McCleskey cannot prove the influence of race on any particular
sentencing decision is irrelevant in evaluating his
Eighth Amendment claim. Since
Furman v. Georgia, 408 U.S. 238 (1972), the Court has been concerned with the
risk of the imposition of an arbitrary
sentence, rather than the proven fact of one.
Furman held that the
death penalty
"may not be imposed under
sentencing procedures that create a substantial risk that the punishment will be
inflicted in an arbitrary and capricious manner."
Godfrey v. Georgia, supra, at 427. As JUSTICE O'CONNOR observed
[*323] in
Caldwell v. Mississippi, 472 U.S. 320, 343 (1985), a
death sentence must be struck down when the circumstances under which it has been imposed
"creat[e] an unacceptable
risk that 'the
death penalty [may have been] meted out arbitrarily or capriciously' or through 'whim or
mistake'" (emphasis added) (quoting
California v. Ramos, 463 U.S. 992, 999 (1983)). This emphasis on risk acknowledges the difficulty of divining the jury's
motivation in an individual case. In addition, it reflects the fact that
concern for arbitrariness focuses on the rationality of the system as a whole,
and that a system that features a significant probability that
sentencing decisions are influenced by impermissible considerations cannot be regarded as
rational. n1 As we said in
Gregg v. Georgia, 428 U.S., at 200,
"the petitioner looks to the
sentencing system as a whole (as the Court did in
Furman and we do today)": a constitutional
[**1784] violation is established if a plaintiff demonstrates a
"pattern of arbitrary and
[***299] capricious
sentencing."
Id., at 195, n. 46 (emphasis added) (joint opinion of Stewart, POWELL, and STEVENS, JJ.).
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n1 Once we can identify a pattern of arbitrary
sentencing outcomes, we can say that a defendant runs a risk of being sentenced
arbitrarily. It is thus immaterial whether the operation of an impermissible
influence such as race is intentional. While the Equal Protection Clause
forbids
racial discrimination, and intent may be critical in a successful claim under that provision, the
Eighth Amendment has its own distinct focus: whether punishment comports with social standards
of rationality and decency. It may be, as in this case, that on occasion an
influence that makes punishment arbitrary is also proscribed under another
constitutional provision. That does not mean, however, that the standard for
determining an
Eighth Amendment violation is superseded by the standard for determining a violation under this
other provision. Thus, the fact that McCleskey presents a viable equal
protection claim does not require that he demonstrate intentional
racial discrimination to establish his
Eighth Amendment claim.
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
As a result, our inquiry under the
Eighth Amendment has not been directed to the validity of the individual
sentences before us. In
Godfrey, for instance, the Court struck down the petitioner's
sentence because the vagueness of the statutory definition of heinous crimes created a
risk that prejudice
[*324] or other impermissible influences
might have infected the
sentencing decision. In vacating the
sentence, we did not ask whether it was likely that Godfrey's own
sentence reflected the operation of irrational considerations. Nor did we demand a
demonstration that such considerations had actually entered into other
sentencing decisions involving heinous crimes. Similarly, in
Roberts v. Louisiana, 428 U.S. 325 (1976), and
Woodson v. North Carolina, 428 U.S. 280 (1976), we struck down death
sentences in part because mandatory imposition of the
death penalty created the
risk that a jury
might rely on arbitrary considerations in deciding which persons should be
convicted of capital crimes. Such a risk would arise, we said, because of the
likelihood that
jurors reluctant to impose
capital punishment on a particular defendant would refuse to return a conviction, so that the effect of mandatory
sentencing would be to recreate the unbounded
sentencing discretion condemned in
Furman.
Roberts, supra, at 334-335 (plurality opinion);
Woodson, supra, at 303 (plurality opinion). We did not ask whether the death
sentences in the cases before us could have reflected the jury's rational consideration
and rejection of
mitigating factors. Nor did we require proof that juries had actually acted irrationally
in other cases.
Defendants challenging their death
sentences thus never have had to prove that impermissible considerations have actually
infected
sentencing decisions. We have required instead that they establish that the system under
which they were sentenced posed a significant risk of such an occurrence.
McCleskey's claim does differ, however, in one respect from these earlier
cases: it is the first to base a challenge not on speculation about how a
system
might operate, but on empirical documentation of how it
does operate.
The Court assumes the
statistical validity of the Baldus study, and acknowledges that McCleskey has demonstrated
a risk that racial prejudice plays a role in
capital sentencing in Georgia,
ante, at 291, n. 7. Nonetheless, it finds the probability of prejudice
insufficient to create constitutional concern.
[*325]
Ante, at 313. Close analysis of the Baldus study, however, in light of both
statistical principles and human experience, reveals that the risk that race influenced
McCleskey's
sentence is intolerable by any imaginable standard.
B
The Baldus study indicates that, after taking into account some 230 nonracial
factors that might legitimately influence a sentencer, the jury
more likely than not would have spared McCleskey's life had his victim been black. The study
distinguishes between those cases in which (1) the jury exercises virtually
[***300] no discretion because the strength or weakness of
aggravating factors usually suggests that only one outcome is appropriate; n2 and (2)
cases reflecting an
"intermediate" level of aggravation, in which the jury has considerable discretion in
choosing a
sentence. n3 McCleskey's case falls into the intermediate range. In
[**1785] such cases, death is imposed in 34% of
white-victim crimes and 14% of
black-victim crimes, a difference of
139% in the rate of imposition of the
death penalty. Supp. Exh. 54. In other words, just under 59% -- almost 6 in 10 -- defendants
comparable to McCleskey would not have received the death penalty if their
victims had been black.
[*326] Furthermore, even examination of the sentencing system as a
whole, factoring in those cases in which the jury exercises little discretion,
indicates the influence of race on capital sentencing. For the Georgia system
as a whole, race accounts for a six percentage point difference in the rate at
which capital punishment is imposed. Since death is imposed in 11% of all
white-victim cases, the rate in comparably aggravated black-victim cases is
5%. The rate of capital sentencing in a white-victim case is thus 120% greater
than the rate in a black-victim case. Put another way, over half -- 55% -- of
defendants in white-victim crimes in Georgia would not have been sentenced to
die if their victims had been black. Of the more than 200 variables
potentially relevant to a sentencing decision, race of the victim is a
powerful explanation for variation in death sentence rates -- as powerful as
nonracial aggravating factors such as a prior murder conviction or acting as
the principal planner of the homicide.
These adjusted figures are only the most conservative indication of the risk
that race will influence the death
sentences of defendants in Georgia. Data unadjusted for the
mitigating or
aggravating effect of other factors show an even more
[***301] pronounced
disparity by race. The
capital sentencing rate for all
white-victim cases was almost
11 times greater than
[*327] the rate for
black-victim cases. Supp. Exh. 47. Furthermore, blacks who kill whites are sentenced to
death at nearly
22 times the rate of blacks who kill blacks, and more than
7 times the rate of whites who kill blacks.
Ibid. In addition,
prosecutors seek the
death penalty for 70% of black defendants with white victims, but for only 15% of black
defendants with black victims, and only 19% of white defendants with black
victims.
Id., at 56. Since our decision upholding the Georgia
capital sentencing system in
Gregg, the State has executed seven persons. All of the seven were
convicted of
killing whites, and six of the seven executed were black. n6 Such execution figures
are especially striking in light of the fact that, during the period
encompassed by the Baldus study, only 9.2% of Georgia
homicides involved black defendants and white victims, while 60.7% involved black
victims.
McCleskey's
statistics have particular force because most of them are the product of sophisticated
multiple-regression analysis. Such analysis is designed precisely to identify
patterns in the aggregate, even though we may not be able to reconstitute with
certainty any individual decision that goes to make up that pattern.
Multiple-regression analysis is particularly well suited to identify the
influence of impermissible considerations in
sentencing, since it is able to control for permissible factors that may
[**1786] explain an apparent arbitrary pattern. n7 While the decisionmaking process of
a body such as a jury may be complex, the Baldus study provides a massive
compilation of the details that are most relevant to that decision. As we held
in the context of Title VII of the Civil Rights Act of 1964 last Term in
Bazemore v. Friday, 478 U.S. 385 (1986),
a multiple-regression analysis need not include every conceivable
variable to establish a party's case, as long as it includes those
variables that account for the
[*328] major factors that are likely to influence decisions. In this case, Professor
Baldus in fact conducted additional regression analyses in response to
criticisms and suggestions by the District Court, all of which confirmed, and
some of which even strengthened, the study's original conclusions.
The
statistical evidence in this case thus relentlessly documents the risk that McCleskey's
sentence was influenced by racial considerations. This evidence shows that there is a
better than even chance in Georgia that race will influence the decision to
impose the
death penalty: a majority of defendants in
white-victim crimes would not have been sentenced to die if their victims had been black.
In determining whether this risk is acceptable,
our judgment must be shaped by the awareness that
"the risk of racial prejudice infecting a
capital sentencing proceeding is especially serious in light of the complete finality of the
death sentence,"
Turner v. Murray, 476 U.S. 28, 35 (1986), and that
"it is of vital importance to the defendant and to the community that any
decision to
[***302] impose the
death sentence be, and appear to be, based on reason rather than caprice or emotion."
Gardner v. Florida, 430 U.S. 349, 358 (1977). In determining the guilt of a defendant, a State must prove its case beyond a
reasonable doubt. That is, we refuse to convict if the chance of error is
simply less likely than not. Surely, we should not be willing to take a
person's life if the chance that his
death sentence was irrationally imposed is
more likely than not. In light of the gravity of the interest at stake,
petitioner's
statistics on their face are a powerful demonstration of the type of risk that our
Eighth Amendment jurisprudence has consistently condemned.
C
Evaluation of McCleskey's evidence cannot rest solely on the numbers
themselves. We must also ask whether the conclusion suggested by those numbers is consonant with our understanding of history and
human experience. Georgia's legacy of a race-conscious criminal justice
system, as well as
[*329] this Court's own recognition of the persistent danger that racial attitudes
may affect criminal proceedings, indicates that McCleskey's claim is not a
fanciful product of mere
statistical artifice.
For many years, Georgia operated openly and formally precisely the type of dual
system the evidence shows is still effectively in place. The criminal law
expressly differentiated between crimes committed by and against blacks and
whites, distinctions whose lineage traced back to the time of slavery. During
the colonial period, black slaves who killed whites in Georgia, regardless of
whether in self-defense or in defense of another, were automatically executed.
A. Higginbotham, In the Matter of Color: Race in the American Legal Process 256
(1978). n8
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n8 Death could also be inflicted upon a slave who
"grievously wound[ed], maim[ed], or bruis[ed] any white person," who was
convicted for the third time of striking a white person, or who attempted to run away
out of the province. A. Higginbotham, In the Matter of Color: Race in the
American Legal Process 256 (1978). On the other hand, a person who willfully
murdered a slave was not punished until the second offense, and then was
responsible simply for restitution to the slave owner. Furthermore, conviction
for willful
murder of a slave was subject to the difficult requirement of the oath of two white
witnesses.
Id., at 253-254, and n. 190.
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By the time of the Civil War, a dual system of crime and punishment was well
established in Georgia. See Ga. Penal Code (1861). The state criminal code
contained separate sections for
"Slaves and Free Persons of Color," Pt. 4, Tit. 3, Ch. 1, and for all other persons, Pt. 4, Tit. 1, Divs. 1-16.
[**1787] The code provided, for instance, for an automatic
death sentence for
murder committed by blacks, Pt. 4, Tit. 1, Art. II,
§ 4704, but declared that anyone else
convicted of
murder might receive life imprisonment if the conviction were founded solely on
circumstantial testimony
or simply if the jury so recommended. Pt. 4, Tit. 1, Div. 4,
§ 4220. The code established that the
rape of a free white female by a black
"shall be" punishable by death.
§ 4704. However,
rape by anyone else of a free white female was punishable by
[*330] a prison term not less than 2 nor more than 20 years. The
rape of
blacks was punishable
"by fine and imprisonment, at the discretion of the court."
§ 4249. A black
convicted of assaulting a free white person
[***303] with intent to
murder could be put to death at the discretion of the court,
§ 4708, but the same offense committed against a black, slave or free, was classified as a
"minor" offense whose punishment lay in the discretion of the court, as long as such
punishment did not
"extend to life, limb, or health." Art. III,
§§ 4714, 4718. Assault with intent to
murder by a white person was punishable by a prison term of from 2 to 10 years. Div.
4,
§ 4258. While sufficient provocation could reduce a charge of
murder to manslaughter, the code provided that
"obedience and submission being the duty of a slave, much greater provocation is
necessary to reduce a
homicide of a white person by him to voluntary manslaughter, than is prescribed for
white persons." Art. II,
§ 4711.
In more recent times, some 40 years ago, Gunnar Myrdal's epochal study of
American race relations produced findings mirroring McCleskey's evidence:
"As long as only Negroes are concerned and no whites are disturbed, great leniency will be shown in most cases . . . . The sentences for even major crimes are ordinarily reduced when the victim is another Negro.
. . . .
"For offenses which involve any actual or potential danger to whites, however, Negroes are punished more severely than whites.
. . . .
"On the other hand, it is quite common for a white criminal to be set free if his crime was against a Negro." G. Myrdal, An American Dilemma 551-553 (1944).
This Court has invalidated portions of the Georgia
capital sentencing system three times over the past 15 years. The specter of race discrimination
was acknowledged by the Court in striking down the Georgia
death penalty statute in
Furman.
[*331] Justice Douglas cited studies suggesting imposition of the
death penalty in
racially
discriminatory fashion, and found the standardless statutes before the Court
"pregnant with discrimination."
408 U.S., at 257 (concurring opinion). JUSTICE MARSHALL pointed to
statistics indicating that
"Negroes [have been] executed far more often than whites in proportion to their
percentage of the population. Studies indicate that while the higher rate of
execution among Negroes is partially due to a higher rate of crime, there is
evidence of
racial discrimination."
Id., at 364 (concurring opinion). Although Justice Stewart declined to conclude
that
racial discrimination had been plainly proved, he stated that
"my concurring Brothers have demonstrated that, if any basis can be discerned
for the selection of these few to be sentenced to die, it is the constitutionally impermissible basis of
race."
Id., at 310 (concurring opinion). In dissent, Chief Justice Burger acknowledged
that
statistics
"suggest, at least as a historical matter, that Negroes have been sentenced to
death with greater frequency than whites in several States, particularly for
the crime of interracial
rape."
Id., at 289, n. 12. Finally, also in dissent, JUSTICE POWELL intimated that an
Equal Protection Clause argument would be available for a black
"who could demonstrate that members of his race were being
[***304] singled out for more severe punishment than others charged with the same
offense."
Id., at 449. He noted that although the Eighth Circuit had rejected a claim of
discrimination in
Maxwell v. Bishop, 398 F.2d 138 (1968), vacated and remanded on other grounds,
398 U.S. 262
[**1788] (1970), the
statistical evidence in that case
"tend[ed] to show a pronounced disproportion in the number of Negroes receiving
death
sentences for
rape in parts of Arkansas and elsewhere in the South."
408 U.S., at 449. It is clear that the Court regarded the opportunity for the operation of racial prejudice a particularly troublesome aspect of the
unbounded discretion afforded by the Georgia
sentencing scheme.
[*332] Five years later, the Court struck down the imposition of the
death penalty in Georgia for the crime of
rape.
Coker v. Georgia, 433 U.S. 584 (1977). Although the Court did not explicitly mention race, the decision had to have
been informed by the specific observations on
rape by both the Chief Justice and JUSTICE POWELL in
Furman. Furthermore, evidence submitted to the Court indicated that black men who
committed
rape, particularly of white women, were considerably more likely to be sentenced to
death than white rapists. For instance, by 1977 Georgia had executed 62 men
for
rape since the Federal Government began compiling
statistics in 1930. Of these men, 58 were black and 4 were white. See Brief for
Petitioner in
Coker v.
Georgia, O. T. 1976, No. 75-5444, p. 56; see also Wolfgang
& Riedel,
Rape, Race, and the
Death Penalty in Georgia, 45 Am. J. Orthopsychiatry 658 (1975).
Three years later, the Court in
Godfrey found one of the State's statutory
aggravating factors unconstitutionally vague, since it resulted in
"standardless and unchanneled imposition of death
sentences in the uncontrolled discretion of a basically uninstructed jury . . . ."
446 U.S., at 429. JUSTICE MARSHALL, concurring in the judgment, noted that
"the disgraceful distorting effects of
racial discrimination and poverty continue to be painfully visible in the imposition of death
sentences."
Id., at 439 (footnote omitted).
This historical review of Georgia criminal law is not intended as a bill of
indictment calling the State to account for past transgressions. Citation of
past practices does not justify the automatic condemnation of current ones.
But it would be unrealistic to ignore the influence of history in assessing the
plausible implications of McCleskey's evidence. "Americans share a historical
experience that has resulted in individuals within the culture ubiquitously
attaching a significance to race that is irrational and often outside their
awareness." Lawrence, The Id, The Ego, and Equal Protection: Reckoning With
Unconscious Racism, 39 Stan. L. [*333] Rev. 327 (1987). . . .
The ongoing influence of history is acknowledged, as the majority observes, by
our
"'unceasing efforts' to eradicate racial prejudice from our criminal justice
system."
Ante, at 309 (quoting
Batson v. Kentucky, 476 U.S. 79, 85 (1986)). These efforts, however, signify not the elimination of the problem but its
persistence. Our cases reflect a realization of the myriad of opportunities
for racial considerations to influence criminal proceedings: in the exercise of
peremptory challenges,
Batson v. Kentucky, supra; in the selection of the grand jury,
Vasquez v. Hillery, 474 U.S. 254 (1986);
in the selection of the petit jury,
Whitus v. Georgia, 385 U.S. 545 (1967); in the exercise of
prosecutorial discretion,
Wayte v. United States, 470 U.S. 598 (1985); in the conduct of argument,
Donnelly v. DeChristoforo, 416 U.S. 637
[**1789] (1974); and in the conscious or unconscious bias of
jurors,
Turner v. Murray, 476 U.S. 28 (1986),
Ristaino v. Ross, 424 U.S. 589 (1976).
The discretion afforded
prosecutors and
jurors in the Georgia
capital sentencing system creates such opportunities. No guidelines govern
prosecutorial decisions to seek the
death penalty, and Georgia provides juries with no list of
aggravating and
mitigating factors, nor any standard for balancing them against one another. Once a jury
identifies one
aggravating factor, it has complete discretion in choosing life or death, and need not
articulate its basis for selecting life imprisonment. The Georgia
sentencing system therefore
[*334] provides considerable opportunity for racial considerations, however subtle
and unconscious, to influence charging and
sentencing decisions. n9
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n9 The Court contends that it is inappropriate to take into account the wide
latitude afforded actors in the Georgia
capital sentencing system, since
"we have held that discretion in a
capital punishment system is necessary to satisfy the Constitution,"
ante, at 314, n. 37, and
"no suggestion is made as to how greater 'rationality' could be achieved under
any type of statute that authorizes
capital punishment."
Ibid. The first point is true, but of course the Court struck down the
death penalty in
Furman v. Georgia, 408 U.S. 238 (1972), because the
sentencing systems before it provided
too much discretion. Since
Gregg v. Georgia, 428 U.S. 153 (1976), the Court's
death penalty jurisprudence has rested on the premise that it is possible to establish a
system of
guided discretion that will both permit individualized moral evaluation and prevent
impermissible considerations from being taken into account. As JUSTICE
BLACKMUN has persuasively demonstrated,
post, at 357-358, Georgia provides
no systematic guidelines for
prosecutors to utilize in determining for which defendants the
death penalty should be sought. Furthermore, whether a State has chosen an effective
combination of guidance and discretion in its
capital sentencing system as a whole cannot be established in the abstract, as the Court insists
on doing, but must be determined empirically, as the Baldus study has done.
With respect to the Court's criticism that McCleskey has not shown how Georgia
could do a better job,
ante, at 315, n. 37, once it is established that the particular system of guided
discretion chosen by a State is not achieving its intended purpose, the burden
is on the
State, not the defendant, to devise a more rational system if it wishes to continue
to impose the
death penalty.
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
History
[***306] and its continuing legacy thus buttress the probative force of McCleskey's
statistics. Formal dual criminal laws may no longer be in effect, and intentional
discrimination may no longer be prominent. Nonetheless, as we acknowledged in
Turner,
"subtle, less consciously held racial attitudes" continue to be of concern,
476 U.S., at 35, and the Georgia system gives such attitudes considerable room to operate. The
conclusions drawn from McCleskey's
statistical evidence are therefore consistent with the lessons of social experience.
[*335] The majority thus misreads our
Eighth Amendment jurisprudence in concluding that McCleskey has not demonstrated a degree of
risk sufficient to raise constitutional concern. The determination of the
significance of his evidence is at its core an exercise in human moral
judgment, not a mechanical
statistical analysis. It must first and foremost be informed by awareness of the fact
that death is irrevocable, and that as a result
"the qualitative difference of death from all other punishments requires a
greater degree of scrutiny of the
capital sentencing determination."
California v. Ramos, 463 U.S., at 998-999.
For this reason, we have demanded a uniquely high degree of rationality in
imposing the
death penalty. A
capital sentencing system in which race more likely than not plays a role does not meet this
standard. It is true that every nuance of decision cannot be statistically
captured, nor can any individual judgment be plumbed with absolute certainty.
Yet the fact that we must always act without the illumination of complete
knowledge cannot induce paralysis when we confront what is literally an issue
of life and death.
Sentencing data, history, and experience all counsel that Georgia has provided
insufficient assurance of the heightened rationality
[**1790] we have required in order to take a human life.
IV
The Court cites four reasons for shrinking from the implications of McCleskey's
evidence: the desirability of discretion for actors in the criminal justice
system, the existence of statutory
safeguards against abuse of that discretion, the potential consequences for broader
challenges to criminal
sentencing, and an understanding of the contours of the judicial role. While these
concerns underscore the need for sober deliberation, they do not justify
rejecting evidence as
convincing as McCleskey has presented.
The Court maintains that petitioner's claim
"is antithetical to the fundamental role of discretion in our criminal justice
[*336] system."
Ante, at 311. It states that
"where the discretion that is fundamental to our criminal process is involved,
we decline to assume that what is unexplained is invidious."
Ante, at 313.
Reliance on race in imposing
capital punishment, however, is antithetical to the very rationale for granting
sentencing discretion. Discretion is a means, not an end. It is bestowed in order to
permit the sentencer to
"trea[t] each defendant in a capital case with that degree of
[***307] respect due the uniqueness of the individual."
Lockett v. Ohio, 438 U.S. 586, 605 (1978). The decision to impose the punishment of death must be based on a
"particularized consideration of relevant aspects of the character and record of
each
convicted defendant."
Woodson v. North Carolina, 428 U.S., at 303. Failure to conduct such an individualized moral inquiry
"treats all persons
convicted of a designated offense not as unique individual human beings, but as members
of a faceless,
undifferentiated mass to be subjected to the blind infliction of the penalty
of death."
Id., at 304.
Considering the race of a defendant or victim in deciding if the
death penalty should be imposed is completely at odds with this concern that an individual
be evaluated as a unique human being. Decisions influenced by race rest in
part on a categorical assessment of the worth of human beings according to
color, insensitive to whatever qualities the individuals in question may
possess. Enhanced willingness to impose the
death sentence on black defendants, or diminished willingness to render such a
sentence when blacks are victims, reflects a devaluation of the lives of black persons.
When confronted with evidence that race more likely than not plays such a role
in a
capital sentencing system, it is plainly insufficient to say that the importance of discretion
demands that the risk be higher before we will act -- for in such a case the
very end that discretion is designed to serve is being undermined.
[*337] Our desire for individualized moral judgments may lead us to accept some
inconsistencies in
sentencing outcomes. Since such decisions are not reducible to mathematical formulae, we are willing to assume that a certain degree of
variation reflects the fact that no two defendants are completely alike. There
is thus a presumption that actors in the criminal justice system exercise their
discretion in responsible fashion, and we do not automatically infer that
sentencing patterns that do not comport with ideal rationality are suspect.
As we made clear in
Batson v. Kentucky, 476 U.S. 79 (1986), however, that presumption is rebuttable.
Batson dealt with another arena in which considerable discretion traditionally has
been afforded, the exercise of peremptory challenges. Those challenges are
normally exercised without any indication whatsoever of the grounds for doing
so. The rationale for this deference has been a belief that the unique
characteristics of particular prospective
jurors may raise concern on the part of the prosecution or defense, despite the fact
that counsel may not be able to articulate that concern in a manner sufficient
to support exclusion for cause. As with
sentencing, therefore, peremptory challenges are justified as an occasion for
particularized determinations related to specific individuals,
[**1791] and, as with
sentencing, we presume that such challenges normally are not made on the basis of a factor
such as race. As we said in
Batson, however, such features do not justify imposing a
"crippling burden of proof,"
id., at 92, in order to rebut that presumption. The Court in this case apparently seeks
to do just that. On the basis of the need
[***308] for individualized decisions, it rejects evidence, drawn from the most
sophisticated
capital sentencing analysis ever performed, that reveals that race more likely than not infects
capital sentencing decisions. The Court's position converts a rebuttable presumption into a
virtually conclusive one.
[*338] The Court also declines to find McCleskey's evidence sufficient in view of
"the
safeguards designed to minimize racial bias in the [capital sentencing] process."
Ante, at 313.
Gregg v. Georgia, 428 U.S., at 226, upheld the Georgia
capital sentencing statute against a facial challenge which JUSTICE WHITE described in his
concurring opinion as based on
"simply an assertion of lack of faith" that the system could operate in a fair manner (opinion concurring in judgment). JUSTICE WHITE observed that the claim that
prosecutors might act in an arbitrary fashion was
"unsupported by any facts," and that
prosecutors must be assumed to exercise their charging duties properly
"absent facts to the contrary."
Id., at 225. It is clear that
Gregg bestowed no permanent approval on the Georgia system. It simply held that the
State's statutory
safeguards were assumed sufficient to channel discretion without evidence otherwise.
It has now been over 13 years since Georgia adopted the provisions upheld in
Gregg. Professor Baldus and his colleagues have compiled data on almost 2,500
homicides committed during the period 1973-1979. They have taken into account the
influence of 230 nonracial
variables, using a multitude of data from the State itself, and have produced striking
evidence that the odds of being sentenced to death are significantly greater
than average if a defendant is black or his or her victim is white. The
challenge to the Georgia system is not speculative or theoretical; it is
empirical. As a result, the Court cannot rely on the statutory
safeguards in discounting McCleskey's evidence, for it is the very effectiveness of those
safeguards that such evidence calls into question. While we may hope that a model of
procedural fairness will curb the influence of race on
sentencing,
"we cannot simply assume that the model works as intended; we must critique its
performance in terms of its results." Hubbard,
"Reasonable Levels of Arbitrariness" in Death
Sentencing Patterns: A Tragic Perspective on
Capital Punishment,
18 U. C. D. L. Rev. 1113, 1162 (1985).
[*339] The Court next states that its unwillingness to regard petitioner's evidence
as sufficient is based in part on the fear that recognition of McCleskey's
claim would open the door to widespread challenges to all aspects of criminal
sentencing.
Ante, at 314-315. Taken on its face, such a statement seems to suggest a fear of
too much justice. Yet surely the majority would acknowledge that if striking
evidence indicated that other minority groups, or women, or even persons with
blond hair, were disproportionately sentenced to death, such a state of affairs
would be repugnant to deeply rooted conceptions of fairness. The prospect that
there may be more widespread abuse than McCleskey documents may be dismaying,
but it does not justify complete abdication of our judicial role. The
Constitution was framed fundamentally as a bulwark against governmental power,
and preventing [***309] the arbitrary administration of punishment is a
basic ideal of any society that purports to be governed by the rule of law.
[**1792] In fairness, the Court's fear that McCleskey's claim is an invitation to
descend a slippery slope also rests on the realization that any humanly imposed
system of penalties will exhibit some imperfection. Yet to reject McCleskey's
powerful evidence on this basis is to ignore both the qualitatively different
character of the
death penalty and the particular repugnance of
racial discrimination, considerations which may
[*340] properly be taken into account in determining whether various punishments are
"cruel and unusual." Furthermore, it fails to take account of the unprecedented refinement and
strength of the Baldus study.
It hardly needs reiteration that this Court has consistently acknowledged the
uniqueness of the punishment of death.
"Death, in its finality, differs more from life imprisonment than a 100-year
prison term differs from one of only a year or two. Because of that
qualitative difference, there is a corresponding difference in the need for
reliability in the determination that death is the appropriate punishment."
Woodson, 428 U.S., at 305. Furthermore, the relative interests of the state and the defendant differ
dramatically in the
death penalty context. The marginal benefits accruing to the state from obtaining the
death penalty rather than life imprisonment are considerably less than the marginal
difference to the defendant between death and life in prison. Such a
disparity is an additional reason for tolerating scant arbitrariness in
capital sentencing. Even those who believe that society can impose the
death penalty in a manner sufficiently rational to justify its continuation must acknowledge
that the level of rationality that
is considered satisfactory must be
uniquely high. As a result, the degree of arbitrariness that may be adequate to render
the
death penalty
"cruel and unusual" punishment may not be adequate to invalidate lesser penalties. What these
relative degrees of arbitrariness might be in other cases need not concern us
here; the point is that the majority's fear of wholesale invalidation of
criminal
sentences is unfounded.
The Court also maintains that accepting McCleskey's claim would pose a threat
to all
sentencing because of the prospect that a correlation might be demonstrated between
sentencing outcomes and other personal characteristics. Again, such a view is indifferent to the considerations that enter into a determination whether punishment is
"cruel and unusual." Race is a consideration
[***310] whose influence is expressly constitutionally
[*341] proscribed. We have expressed a moral commitment, as embodied in our
fundamental law, that this specific characteristic should not be the basis for
allotting burdens and benefits. Three constitutional amendments, and numerous
statutes, have been prompted specifically by the desire to address the effects
of racism.
"Over the years, this Court has consistently repudiated 'distinctions between
citizens solely because of their ancestry' as being 'odious to a free people
whose institutions are founded upon the doctrine of equality.'"
Loving v. Virginia, 388 U.S. 1, 11 (1967) (quoting
Hirabayashi v. United States, 320 U.S. 81, 100 (1943)). Furthermore, we have explicitly acknowledged the illegitimacy of race as a
consideration in
capital sentencing,
Zant v. Stephens, 462 U.S. 862, 885 (1983). That a decision to impose the
death penalty could be influenced by
race is thus a particularly repugnant prospect, and evidence that race may play even a modest role in levying a
death sentence should be enough to characterize that
sentence as
"cruel and unusual."
Certainly, a factor that we would regard as morally irrelevant, such as hair
color, at least theoretically could be associated with
sentencing results to such an extent that we would regard as arbitrary a system in which
that factor played a significant role.
[**1793] As I have said above, however,
supra, at 328-329, the evaluation of evidence suggesting such a correlation must be
informed not merely by
statistics, but by history and experience. One could hardly contend that this Nation has
on the basis of hair color inflicted upon persons deprivation comparable to
that imposed on the basis of race. Recognition of this fact would necessarily
influence the evaluation of data suggesting the influence of hair color on
sentencing, and would require evidence of
statistical correlation even more powerful than that presented by the Baldus study.
Furthermore, the Court's fear of the expansive ramifications of a holding for
McCleskey in this case is unfounded because it fails to recognize the uniquely
sophisticated nature of the Baldus study. McCleskey presents evidence that is
[*342] far and away the most refined data ever assembled on any system of punishment,
data not readily replicated through casual effort. Moreover, that evidence
depicts not merely arguable tendencies, but striking correlations, all the more
powerful because nonracial explanations have been eliminated. Acceptance of
petitioner's evidence would therefore establish a remarkably stringent standard
of
statistical evidence unlikely to be satisfied with any frequency.
The Court's projection of apocalyptic consequences for criminal
sentencing is thus greatly exaggerated. The Court can indulge in such speculation only
by ignoring its own jurisprudence demanding the highest scrutiny on issues of
death and race. As a result, it fails to do justice to a claim in which both
those elements are intertwined -- an occasion calling for the most sensitive
inquiry a court can conduct. Despite its acceptance of the validity of Warren
McCleskey's evidence, the Court is willing to let his
death sentence stand because it fears that we cannot successfully define a different standard
[***311] for lesser punishments. This fear is baseless.
Finally, the Court justifies its rejection of McCleskey's claim by cautioning against usurpation of the
legislatures' role in devising and monitoring criminal punishment. The Court
is, of course, correct to emphasize the gravity of constitutional intervention
and the importance that it be sparingly employed. The fact that
"capital punishment is now the law in more than two thirds of our States,"
ante, at 319, however, does not diminish the fact that
capital punishment is the most awesome act that a State can perform. The judiciary's role in
this society counts for little if the use of governmental power to extinguish
life does not elicit close scrutiny. It is true that society has a legitimate
interest in punishment. Yet, as Alexander Bickel wrote:
"It is a premise we deduce not merely from the fact of a written constitution but from the history of the race, and ultimately as a moral judgment of the good society, that government should serve not only what we conceive [*343] from time to time to be our immediate material needs but also certain enduring values. This in part is what is meant by government under law." The Least Dangerous Branch 24 (1962).
Our commitment to these values requires fidelity to them even when there is temptation to ignore them. Such temptation is
especially apt to arise in criminal matters, for those granted constitutional
protection in this context are those whom society finds most menacing and
opprobrious. Even less sympathetic are those we consider for the
sentence of death, for execution
"is a way of saying, 'You are not fit for this world, take your chance
elsewhere.'"
Furman, 408 U.S., at 290 (BRENNAN, J., concurring) (quoting Stephen, Capital Punishments, 69 Fraser's
Magazine 753, 763 (1864)).
For these reasons,
"the methods we employ in the enforcement of our criminal law have aptly been
called the measures by which the quality of our civilization may be judged."
Coppedge v. United States, 369 U.S. 438, 449 (1962). Those whom we would banish from society or from the human community itself
often speak in too faint a voice to be heard above society's demand for
punishment. It is the particular role of courts to hear these voices, for the
Constitution declares that the majoritarian chorus may not
[**1794] alone dictate the conditions of social life. The Court thus fulfills, rather
than disrupts,
the scheme of separation of powers by closely scrutinizing the imposition of
the
death penalty, for no decision of a society is more deserving of
"sober second thought." Stone, The Common Law in the United States,
50 Harv. L. Rev. 4, 25 (1936).
V
At the time our Constitution was framed 200 years ago this year, blacks
"had for more than a century before been regarded as beings of an inferior
order, and altogether unfit to associate with the white race, either in social
or political relations; and so far inferior, that they had no rights which the
white man was bound to respect."
Dred Scott v. Sandford,
[*344] 19 How. 393, 407 (1857). Only 130 years ago, this
[***312] Court relied on these observations to deny American citizenship to blacks.
Ibid. A mere three generations ago, this Court sanctioned racial segregation,
stating that
"if one race be inferior to the other socially, the Constitution of the United
States cannot put them upon the same plane."
Plessy v. Ferguson, 163 U.S. 537, 552 (1896).
In more recent times, we have sought to free ourselves from the burden of this
history. Yet it has been scarcely a generation since this Court's first decision striking down racial
segregation, and barely two decades since the legislative prohibition of
racial discrimination in major domains of national life. These have been honorable steps, but we
cannot pretend that in three decades we have completely escaped the grip of a
historical legacy spanning centuries. Warren McCleskey's evidence confronts us
with the subtle and persistent influence of the past. His message is a
disturbing one to a society that has formally repudiated racism, and a
frustrating one to a Nation accustomed to regarding its destiny as the product
of its own will. Nonetheless, we ignore him at our peril, for we remain
imprisoned by the past as long as we deny its influence in the present.
It is tempting to pretend that minorities on death row share a fate in no way
connected to our own, that our treatment of them sounds no echoes beyond the
chambers in which they die. Such an illusion is ultimately corrosive, for the
reverberations of injustice are not so easily confined.
"The destinies of the two races in this country are indissolubly linked together,"
id., at 560 (Harlan, J., dissenting), and the way in which we choose those who will die reveals the depth of moral
commitment among the living.
The Court's decision today will not change what attorneys in Georgia tell other
Warren McCleskeys about their chances of execution. Nothing will soften the
harsh message they must convey, nor alter the prospect that race undoubtedly
will continue to be a topic of discussion. McCleskey's evidence
[*345] will not have obtained judicial acceptance, but that will not affect what is
said on death row. However many criticisms of today's decision may be
rendered, these painful conversations will serve as the most eloquent dissents
of all.
JUSTICE BLACKMUN, with whom JUSTICE MARSHALL and JUSTICE STEVENS join, and with
whom JUSTICE BRENNAN joins in all but Part IV-B, dissenting.
The Court today sanctions the execution of a man despite his presentation of
evidence that establishes a constitutionally intolerable level of
racially based discrimination leading to the imposition of his
death sentence. I am disappointed with the Court's action not only because of its denial of
constitutional guarantees to petitioner McCleskey individually, but also
because of its departure from what seems to me to be well-developed constitutional jurisprudence.
JUSTICE BRENNAN has thoroughly demonstrated,
ante, that, if one assumes that the
statistical evidence presented by petitioner McCleskey is valid, as we must in
[**1795] light of the
[***313] Court of Appeals' assumption, n1 there exists in the Georgia
capital sentencing scheme a risk of
racially based discrimination that is so acute that it violates the
Eighth Amendment. His analysis of McCleskey's case in terms of the
Eighth Amendment is consistent with this Court's recognition that because capital cases involve
the State's imposition of a punishment that is unique both in kind and degree,
the decision in such cases must reflect a heightened degree of reliability
under the Amendment's prohibition of the infliction of cruel and unusual
punishments. See
Woodson v. North Carolina, 428 U.S. 280, 305 (1976) (plurality opinion). I therefore join Parts II through V of JUSTICE BRENNAN's
dissenting opinion.
[*346] Yet McCleskey's case raises concerns that are central not only to the
principles underlying the
Eighth Amendment, but also to the principles underlying the
Fourteenth Amendment. Analysis of his case in terms of the
Fourteenth Amendment is consistent with this Court's recognition that
racial discrimination is fundamentally at odds with our constitutional guarantee of equal
protection. The protections afforded by the
Fourteenth Amendment are not left at the courtroom door.
Hill v. Texas, 316 U.S. 400, 406 (1942). Nor is equal protection denied to persons
convicted of crimes.
Lee v. Washington, 390 U.S. 333 (1968)
(per curiam). The Court in the past has found that
racial discrimination within the criminal justice system is particularly abhorrent:
"Discrimination on the basis of race, odious in all aspects, is especially
pernicious in the administration of justice."
Rose v. Mitchell, 443 U.S. 545, 555 (1979). Disparate enforcement of criminal sanctions
"destroys the appearance of justice and thereby casts doubt on the integrity of
the judicial process."
Id., at 555-556. And only last Term JUSTICE POWELL, writing for the Court, noted:
"Discrimination within the judicial system is most pernicious because it is 'a
stimulant to that race prejudice which is an impediment to securing to [black
citizens] that equal justice which the law aims to secure to all others.'"
Batson v. Kentucky, 476 U.S. 79, 87-88 (1986), quoting
Strauder v. West Virginia, 100 U.S. 303, 308 (1880).
Moreover, the legislative history of the
Fourteenth Amendment reminds us that
discriminatory enforcement of States' criminal laws was a matter of great concern for the
drafters. In the introductory remarks to its Report to Congress, the Joint
Committee on Reconstruction, which reported out the Joint Resolution proposing
the
Fourteenth Amendment, specifically noted:
"This deep-seated prejudice against color . . . leads to acts of cruelty,
oppression, and
murder, which the local authorities are at no pains to prevent or punish." H. R. Joint Comm. Rep. No. 30, 39th Cong., 1st Sess.,
p. XVII (1866). Witnesses [***314] who testified before [*347]
the Committee presented accounts of criminal acts of violence against black
persons that were not prosecuted despite evidence as to the identity of the
perpetrators.
[**1796] I
A
The Court today seems to give a new meaning to our recognition that death is
different. Rather than requiring
[*348]
"a correspondingly greater degree of scrutiny of the
capital sentencing determination,"
California v. Ramos, 463 U.S. 992, 998-999 (1983), the Court relies on the very fact that this is a case involving
capital punishment to apply a
lesser standard of scrutiny under the Equal Protection Clause. The Court concludes
that
"legitimate" explanations outweigh McCleskey's claim that his
death sentence reflected a constitutionally impermissible risk of
racial discrimination. The Court explains that McCleskey's evidence is too weak to require rebuttal
"because a legitimate and unchallenged explanation for the decision is apparent
from the record: McCleskey committed an act for which the United States
Constitution and Georgia laws permit imposition of the
death penalty."
Ante, at 297. The Court states that it will not infer a
discriminatory purpose on the part of the state legislature because
"there were legitimate reasons for the Georgia Legislature to adopt and maintain
capital punishment."
Ante, at 298-299.
The Court's assertion that the fact of McCleskey's conviction undermines his
constitutional claim is inconsistent with a long and unbroken line of this
Court's case law. The Court on numerous occasions during
[***315] the past century has recognized that an otherwise legitimate basis for a
conviction does not outweigh an equal protection violation. In cases where
racial discrimination in the administration of the criminal justice system is established, it has
held that setting aside the conviction is the appropriate remedy. See,
e. g.,
Rose v. Mitchell, 443 U.S., at 559;
Whitus v. Georgia, 385 U.S. 545, 549-550 (1967);
Strauder v. West Virginia, 100 U.S. 303 (1880). The Court recently reaffirmed the propriety of invalidating a conviction in
order to vindicate federal constitutional rights.
Vasquez v. Hillery, 474 U.S. 254 (1986). Invalidation of a criminal conviction on federal constitutional grounds does
not necessarily preclude retrial and resentencing of the defendant by the
State.
Hill v. Texas, 316 U.S., at 406. The Court has maintained a
per se reversal
[*349]
rule rejecting application of harmless-error analysis in cases involving
racial discrimination that
"strikes at the fundamental values of our judicial system and our society as a
whole."
Rose v. Mitchell, 443 U.S., at 556. We have noted that a conviction
"in no way suggests that the discrimination did not impermissibly infect" earlier phases of the criminal prosecution
"and, consequently, the nature or very existence of the proceedings to come."
Vasquez v. Hillery, 474 U.S., at 263. Hence,
[**1797] McCleskey's conviction and the imposition of his
death sentence by the jury do not suggest that discrimination did not impermissibly infect
the earlier steps in the prosecution of his case, such as the
prosecutor's decision to seek the
death penalty.
The Court's reliance on legitimate interests underlying the Georgia
Legislature's enactment of its
capital punishment statute is likewise inappropriate. Although that reasoning may be relevant in
a case involving a facial challenge to the constitutionality of a statute, it
has no relevance in a case dealing with a challenge to the Georgia
capital sentencing system
as applied in McCleskey's case. In
Batson v. Kentucky, supra, we rejected such reasoning:
"The Constitution requires . . . that we look beyond the face of the statute . .
. and also consider challenged selection practices to afford 'protection
against action of the State through its administrative officers in effecting
the prohibited discrimination.'"
476 U.S., at 88, quoting
Norris v. Alabama, 294 U.S. 587, 589 (1935).
B
In analyzing an equal protection claim, a court must first determine the nature
of the claim and the responsibilities of the state actors involved to determine
what showing is required for the establishment of a prima facie case.
Castaneda v. Partida, 430 U.S. 482, 493-494 (1977). The Court correctly points out:
"In its broadest form, McCleskey's claim of discrimination extends to every
actor in the Georgia
capital sentencing process, from the
prosecutor who
[*350] sought the
death penalty and the jury that imposed the
sentence, to the State itself that enacted the
capital punishment statute and allows it to remain in effect despite its
[***316] allegedly
discriminatory application."
Ante,
at 292. Having recognized the complexity of McCleskey's claim, however, the
Court proceeds to ignore a significant element of that claim. The Court treats
the case as if it is limited to challenges to the actions of two specific
decisionmaking bodies -- the petit jury and the state legislature.
Ante, at 294-295, 297-298. This self-imposed restriction enables the Court to
distinguish this case from the venire-selection cases and cases under Title VII
of the Civil Rights Act of 1964 in which it long has accepted
statistical evidence and has provided an easily applicable framework for review. See
e. g.,
Castaneda v. Partida, supra;
Bazemore v. Friday, 478 U.S. 385 (1986) (BRENNAN, J., joined by all other Members of the Court, concurring in part).
Considering McCleskey's claim in its entirety, however, reveals that the claim
fits easily within that same framework. A significant aspect of his claim is
that racial factors impermissibly affected numerous steps in the Georgia
capital sentencing scheme between his indictment and the jury's vote to
sentence him to death. The primary decisionmaker at each of the intervening steps of
the process is the
prosecutor, the quintessential state actor in a criminal proceeding. n3
[**1798] The District Court expressly stated
[*351] that there were
"two levels of the system that matter to [McCleskey], the decision to seek the
death penalty and the decision to impose the
death penalty."
580 F.Supp. 338, 379-380 (ND Ga. 1984). I agree with this statement of McCleskey's case. Hence, my analysis in this
dissenting opinion takes into account the role of the
prosecutor in the Georgia
capital sentencing system. I certainly do not address all the alternative methods of proof in
the Baldus study. Nor do I review each step in the process which McCleskey
challenges. I concentrate on the decisions within the prosecutor's office
through which the State decided to seek the death penalty and, in particular,
the point at which the State proceeded to the penalty phase after conviction.
This is a step at which the evidence of the effect of the racial factors was
especially strong.
II
[***317] A
A criminal defendant alleging an equal protection violation must prove the
existence of purposeful discrimination.
Washington v. Davis, 426 U.S. 229, 239-240 (1976);
Whitus v. Georgia, 385 U.S., at 550. He may establish a prima facie case n4 of purposeful discrimination
"by showing that the
[*352] totality of the relevant facts gives rise to an inference of
discriminatory purpose."
Batson v. Kentucky, 476 U.S., at 94. n5 Once the defendant establishes a prima facie case, the burden shifts to the
prosecution to rebut that case.
"The State cannot meet this burden on mere general assertions that its officials
did not discriminate or that they properly performed their official duties."
Ibid. The State must demonstrate that the challenged effect was due to
"'permissible
racially neutral selection criteria.'"
Ibid., quoting
Alexander v. Louisiana, 405 U.S. 625, 632 (1972).
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n4 The use of the prima facie case method to structure proof in cases charging
racial discrimination is appropriate because it
"progressively . . . sharpen[s] the inquiry into the elusive factual question of
intentional discrimination."
Texas Dept. of Community Affairs v. Burdine, 450 U.S. 248, 255, n. 8 (1981); see
McCleskey v. Kemp, 753 F.2d 877, 912 (CA11 1985) (Johnson, J., dissenting in part and concurring in part) (where the
"prosecutor has considerable discretion and the jury has bounded but irreducible
discretion," the discretion could easily mask conscious or unconscious
racial discrimination and indirect methods of proof are therefore required as outlined in
Washington v. Davis, 426 U.S. 229, 241-242 (1976), and
Arlington Heights v. Metropolitan Housing Development Corp., 429 U.S. 252, 266, n. 13 (1977)).
n5 The Court recently explained:
"In deciding if the defendant has carried his burden of persuasion, a court must
undertake 'a sensitive inquiry into such circumstantial and direct evidence of
intent as may be available.'
Arlington Heights v. Metropolitan Housing Development Corp., 429 U.S., at 266. Circumstantial evidence of invidious intent may include proof of
disproportionate impact.
Washington v. Davis, 426 U.S., at 242. We have observed that under some circumstances proof of
discriminatory impact 'may for all practical purposes demonstrate unconstitutionality because
in various circumstances the discrimination is very difficult to explain on
nonracial grounds.'
Ibid."
Batson v. Kentucky, 476 U.S., at 93.
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
Under
Batson v.
Kentucky and the framework established in
Castaneda v.
Partida, McCleskey must meet a three-factor standard. First, he must establish that
he is a member of a group
"that is a recognizable, distinct class, singled out for different treatment."
430 U.S., at 494. Second,
he must make a showing of a substantial degree of differential treatment. n6
Third, he must establish
[**1799] that the allegedly
[*353]
discriminatory procedure is susceptible to abuse or is not
racially neutral.
Ibid.
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n6 In
Castaneda, we explained that in jury-selection cases where the criminal defendant is
attempting to prove that there was
discriminatory exclusion of potential
jurors we apply the
"rule of exclusion" method of proof.
430 U.S., at 494. The underlying rationale is that
"if a
disparity is sufficiently large, then it is unlikely that it is due solely to chance or
accident, and, in the absence of evidence to the contrary, one must conclude
that racial or other class-related factors entered into the selection process."
Id., at 494, n. 13.
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
B
There can be no dispute that McCleskey
[***318] has made the requisite showing under the first prong of the standard. The
Baldus study demonstrates that black persons are a distinct group that are
singled out for different treatment in the Georgia
capital sentencing system. The Court acknowledges, as it must, that the raw
statistics included in the Baldus study and presented by petitioner indicate that it is
much less likely that a
death sentence will result from a
murder of a black person than from a
murder of a white person.
Ante, at 286.
White-victim cases are nearly 11 times more likely to yield a
death sentence than are
black-victim cases. Supp. Exh. 46. The raw figures also indicate that even within the
group of defendants who are
convicted of
killing white persons and are thereby more likely to receive a
death sentence, black defendants are more likely than white defendants to be sentenced to
death. Supp. Exh. 47.
With respect to the second prong, McCleskey must prove that there is a
substantial likelihood that his
death sentence is due to racial factors. See
Hunter v. Underwood, 471 U.S. 222, 228 (1985). The Court of Appeals assumed the validity of the Baldus study and found that
it
"showed that systemic and substantial
disparities existed in the penalties imposed upon
homicide defendants in Georgia based on race of the
homicide victim, that the
disparities existed at a less substantial rate in death
sentencing based on race of defendants, and that the factors of race of the victim and
defendant were at work in Fulton County."
753 F.2d 877, 895 (CA11 1985).
[*354] The question remaining therefore is at what point does that
disparity become constitutionally unacceptable. See
Turner v. Murray, 476 U.S. 28, 36, n. 8 (1986) (plurality opinion). Recognizing that additional factors can enter into the
decisionmaking process that yields a
death sentence, the authors of the Baldus study collected data concerning the presence of
other relevant factors in
homicide cases in Georgia during the time period relevant to McCleskey's case.
They then analyzed the data in a manner that would permit them to ascertain
the independent effect of the racial factors.
[**1800] McCleskey
[***319] demonstrated the degree to which his
death sentence was affected by racial factors by introducing multiple-regression
[*355] analyses that explain how much of the
statistical distribution of the cases analyzed is attributable to the racial factors.
McCleskey established that because he was charged with
killing a white person he was 4.3 times as likely to be sentenced to death as he would
have been had he been charged with
killing a black person. Petitioner's Exhibit DB 82. McCleskey also demonstrated that
it was more likely than not that the fact that the victim he was charged with
killing was white determined that he received a
sentence of death -- 20 out of every 34 defendants in McCleskey's midrange category
would not have been sentenced to be executed if their victims had been black.
Supp. Exh. 54. n8 The most persuasive evidence of the constitutionally
significant effect of racial factors in the Georgia
capital sentencing system is McCleskey's proof that the race of the victim is more important in
explaining the imposition of a
death sentence than is the factor whether the defendant was a prime mover in the
homicide. Petitioner's Exhibit DB 82. n9 Similarly, the race-of-victim factor is nearly as crucial as the
statutory
aggravating circumstance whether the defendant had a prior record of a conviction for a
capital crime. n10
Ibid. See Ga. Code Ann.
§ 17-10-30(b) (1982),
ante, at 284-285, n. 3. The Court has noted elsewhere that Georgia could not
attach
"the 'aggravating' label to 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."
Zant v. Stephens, 462 U.S. 862, 885 (1983). What we have held to be unconstitutional if included in the
[*356] language of the statute surely cannot be constitutional because it is a
de facto characteristic of the system.
McCleskey produced evidence concerning the role of racial factors at the
various steps in the decisionmaking process, focusing on the
prosecutor's decision as to which cases merit the
death sentence. McCleskey established that the race of the victim is an especially significant
factor at the point where the defendant has been
convicted of
murder and the
prosecutor must choose whether to proceed to the penalty phase of the trial and create
the possibility that a
death sentence may be imposed or to accept the imposition of a
sentence of life imprisonment. McCleskey demonstrated this effect at both the
statewide level, see Supp. Exh. 56, 57, Tr. 897-910, and in Fulton County where
he was
[***320] tried and sentenced, see Supp. Exh. 59, 60, Tr. 978-981. The statewide
statistics indicated that black-defendant/white-victim cases advanced to the penalty trial at nearly five times the rate of the
black-defendant/black-victim cases (70% v. 15%), and over three times the rate of white-defendant/black-victim cases (70% v. 19%). See Supp. Exh. 56. The multiple-regression analysis
demonstrated that racial factors had a readily identifiable effect at a
statistically significant level. See
id., at 57; Tr. 905. The Fulton County statistics were consistent with
this evidence although they involved fewer cases.
[**1801] Individualized evidence relating to the disposition of the Fulton County cases
that were most comparable to McCleskey's case was consistent with the evidence
of the race-of-victim effect as well. Of the 17 defendants, including
[*357] McCleskey, who were arrested and charged with
homicide of a police officer in Fulton County during the 1973-1979 period, McCleskey,
alone, was sentenced to death. The only other defendant whose case even proceeded to the
penalty phase received a
sentence of life imprisonment. That defendant had been
convicted of
killing a black police officer. See
id., at 61-63; Tr. 1050-1062.
As to the final element of the prima facie case, McCleskey showed that the
process by which the State decided to seek a
death penalty in his case and to pursue that
sentence throughout the prosecution was susceptible to abuse. Petitioner submitted the
deposition of Lewis R. Slaton, who, as of the date of the deposition, had been
the District Attorney for 18 years in the county in which McCleskey was tried
and sentenced. Deposition in No. 84-8176 of Lewis R. Slaton, Aug. 4, 1983, p.
5; see
McCleskey v. Zant, 580 F.Supp. 338, 377, n. 15 (1984); Tr. 1316. As Mr. Slaton explained, the duties and responsibilities of that
office are the prosecution of felony charges within the Atlanta Judicial
Circuit that comprises Fulton County. Deposition 7-8. He testified that
during his years in the office, there were no guidelines informing the
Assistant District Attorneys who handled the cases how they should proceed at
any particular stage of the prosecution. There were no guidelines as to when they should
seek an indictment for
murder as opposed to lesser charges,
id., at 10-11; when they should recommend acceptance of a guilty plea to
murder, acceptance of a guilty plea to a lesser charge, reduction of charges, or
dismissal of charges at the postindictment-preconviction stage,
id., at 25-26, 31; or when they should seek the
death penalty,
id., at 31. Slaton testified that these decisions were left to the discretion of
the individual attorneys who then informed Slaton of their decisions as they
saw fit.
Id., at 13, 24-25, 37-38.
Slaton's deposition proves that, at every stage of a prosecution, the Assistant
District Attorney exercised much discretion. The only guidance given was
"on-the-job training."
[*358]
Id., at 20. Addressing plea bargaining,
[***321] for example, Slaton stated that
"through the training that the assistant DA's get, I think we pretty much think
alike on the cases, on what we suggest."
Id., at 25. The sole effort to provide any consistency was Slaton's periodic
pulling of files at random to check on the progress of cases.
Id., at 28-29. Slaton explained that as far as he knew, he was the only one aware of this checking.
Id., at 28. The files contained information only as to the evidence in the case,
not any indication as to why an attorney made a particular decision. The
attorneys were not required to record why they sought an indictment for
murder as opposed to a lesser charge,
id., at 19, or why they recommended a certain plea,
id., at 29-30. n12 The attorneys were not required to report to Slaton the cases
in which they decided not to seek the
death penalty,
id., at 34-36, 38, or the cases in which they did seek the death
penalty.
When questioned directly as to how the
office decided whether to seek the
death penalty, Slaton listed several factors he thought relevant to that decision, including
the strength of the evidence, the atrociousness of the crime, and the
likelihood that a jury would impose the
death sentence.
Id., at 59. He explained that the attorneys did not seek the
death penalty in every case in which statutory
aggravating factors existed.
Id., at 38-39. Slaton testified that his office still operated in the same
manner as it did when he took office in 1965, except
[**1802] that it has not sought the
death penalty in any
rape cases since this Court's decision in
Coker v. Georgia, 433 U.S. 584 (1977). Deposition 60.
In addition to this showing that the challenged system was susceptible to
abuse, McCleskey presented evidence of the
[*359] history of prior discrimination in the Georgia system. JUSTICE BRENNAN has
reviewed much of this history in detail in his dissenting opinion,
ante, at 328-334, including the history of Georgia's
racially based dual system of criminal justice. This historical background of the
state action challenged
"is one evidentiary source" in this equal protection case.
Arlington Heights v. Metropolitan Housing Development Corp., 429 U.S. 252, 267 (1977); see also
Rogers v. Lodge, 458 U.S. 613, 618, 623-625 (1982). Although I would agree that evidence of
"official actions taken long ago" could not alone establish that the current system is applied in an
unconstitutionally
discriminatory manner, I disagree with the Court's statement that such evidence is now
irrelevant.
Ante, at 298, n. 20.
The above-described evidence, considered in conjunction with the other record
evidence outlined by JUSTICE BRENNAN,
ante, at 325-328, and discussed in opinions dissenting from the judgment of the
Court of
Appeals, 753 F.2d, at 919 (Hatchett, J., dissenting in part and concurring in part);
id., at 920-923 (Clark, J., dissenting
[***322] in part and concurring in part), gives rise to an inference of
discriminatory purpose. See
Washington v. Davis, 426 U.S., at 239-242. As in the context of the rule of exclusion, see n. 6,
supra, McCleskey's showing is of sufficient magnitude that, absent evidence to the
contrary, one must conclude that racial factors entered into the decisionmaking process that yielded McCleskey's
death sentence. See
Castaneda v. Partida, 430 U.S., at 494, n. 13. The burden, therefore, shifts to the State to explain the racial selections.
It must demonstrate that legitimate
racially neutral criteria and procedures yielded this
racially skewed result.
In rebuttal, the State's expert suggested that if the Baldus thesis was correct
then the aggravation level in
black-victim cases where a life
sentence was imposed would be higher than in
white-victim cases. See
580 F.Supp., at 373. The expert analyzed
aggravating and
mitigating circumstances
[*360]
"one by one, demonstrating that in life
sentence cases, to the extent that any
aggravating circumstance is more prevalent in one group than the other, there are more
aggravating features in the group of
white-victim cases than in the group of
black-victim cases. Conversely, there were more
mitigating circumstances in which
black-victim cases had a higher proportion of that circumstance than in
white-victim cases."
Ibid. The District Court found that the State's suggestion was plausible. It
concluded, however,
that the State did not conclusively disprove McCleskey's case; yet it reasoned
that the State's theory
"stands to contradict any prima facie case."
Ibid. I find that reasoning wrong as a matter of law, and the conclusion clearly
erroneous.
The State did not test its hypothesis to determine if
white-victim and
black-victim cases at the same level of
aggravating circumstances were similarly treated. Tr. 1613-1614, 1664. McCleskey's
experts, however, performed this test on their data.
Id., at 1297, 1729-1732, 1756-1761. They demonstrated that the racial
disparities in the system were not the result of the differences in the average
aggravation levels between
white-victim and
black-victim cases. See Supp. Exh. 72; Tr. 1291-1296; Petitioner's Exhibit DB 92. The
State's meager and unsophisticated evidence cannot withstand the extensive
scrutiny given the Baldus evidence. n13
[*361] Here, as
[***323] in
Bazemore
[**1803] v.
Friday, the State did not
"demonstrate that when th[e] factors were properly organized and accounted for
there was no significant
disparity" between the death
sentences imposed on defendants
convicted of
killing white victims and those imposed on defendants
convicted of
killing black victims.
478 U.S., at 403-404, n. 14. In
Castaneda, we rejected a similar effort by the State to rely on an unsupported
countervailing theory to rebut the evidence.
430 U.S., at 500. In sum, McCleskey has demonstrated a clear pattern of differential treatment
according to race that is
"unexplainable on grounds other than race."
III
The Court's explanations for its failure to apply this well-established equal
protection analysis to this case are not persuasive. It first reasons that
"each particular decision to impose the
death penalty is made by a petit jury" and that the
"application of an inference drawn from the general
statistics to a specific decision in a trial and
sentencing simply is not comparable to the application of an inference drawn from general
statistics to a specific venire-selection or Title VII
[*362] case."
Ante, at 294-295. According to the Court, the
statistical evidence is less relevant because, in the two latter situations, there are
fewer
variables relevant to the decision and the
"statistics relate to fewer entities."
Ante, at 295.
I disagree with the Court's assertion that there are fewer
variables relevant to the decisions of jury commissioners or
prosecutors in their selection of
jurors, or to the decisions of employers in their selection, promotion, or discharge
of employees. Such decisions involve a multitude of factors, some rational,
some irrational. Second, I disagree with the comment that the venire-selection
and employment decisions are
"made by fewer
entities." Certainly in the employment context, personnel decisions are often the product
of several levels of decisionmaking within the business or government
structure. The Court's statement that the decision to impose death is made by
the petit jury also disregards the fact that the
prosecutor screens the cases throughout the pretrial proceedings and decides to seek the
death penalty and to pursue a capital case to the penalty phase where a
death sentence can be imposed. McCleskey's claim in this regard lends itself to analysis
under the framework we apply in assessing challenges to other
prosecutorial actions. See
Batson v. Kentucky, 476 U.S. 79 (1986); see also
Wayte v. United States, 470 U.S. 598, 608, n. 10 (1985) (applying
Castaneda framework in
[**1804] challenge to
prosecutor's allegedly selective enforcement of criminal sanction). It is appropriate to
judge
[***324] claims of
racially
discriminatory
prosecutorial selection of cases according to ordinary equal protection standards.
470 U.S., at 608.
The Court's other reason for treating this case differently from
venire-selection and employment cases is that in these latter contexts,
"the decisionmaker has an opportunity to explain the
statistical
disparity," but in the instant case the State had no practical opportunity to rebut the
Baldus study.
Ante, at 296. According to the Court, this is because
jurors cannot be called to testify about their verdict and because
[*363] policy considerations render it improper to require
"prosecutors to defend their decisions to seek death penalties, 'often years after they
were made.'"
Ibid., quoting
Imbler v. Pachtman, 424 U.S. 409, 425 (1976).
I agree with the Court's observation as to the difficulty of examining the
jury's decisiomaking process. There perhaps is an inherent tension between the
discretion accorded
capital sentencing juries and the guidance for use of that discretion that is constitutionally
required. In his dissenting opinion, JUSTICE BRENNAN demonstrates that the
Eighth Amendment analysis is well suited to address that aspect of the case.
Ante, at 323. The Court's refusal to require that the
prosecutor provide an explanation for his actions, however, is completely inconsistent
with this Court's longstanding precedents. The
Court misreads
Imbler v.
Pachtman. In that case, the Court held that a
prosecutor who acted within the scope of his duties was entitled to absolute immunity in
an action under
42 U. S. C. § 1983 for
damages. We recognized that immunity from damages actions was necessary to prevent
harassing litigation and to avoid the threat of civil litigation undermining
the
prosecutor's independence of judgment. We clearly specified, however, that the policy
considerations that compelled civil immunity did not mean that
prosecutors could not be called to answer for their actions. We noted the availability of
both criminal sanctions and professional ethical discipline.
424 U.S., at 429.
Prosecutors undoubtedly need adequate discretion to allocate the resources of their
offices and to fulfill their responsibilities to the public in deciding how
best to enforce the law, but this does not place them beyond the constraints
imposed on state action under the
Fourteenth Amendment. Cf.
Ex parte Virginia, 100 U.S. 339 (1880) (upholding validity of conviction of state judge for discriminating on the
basis of race in his selection of
jurors).
The Court attempts to distinguish the present case from
Batson v.
Kentucky, in which we recently reaffirmed the fact
[*364] that
prosecutors' actions are not unreviewable. See
ante, at 296, n. 17. I agree with the Court's observation that this case is
"quite different" from the
Batson case.
Ibid. The irony is that McCleskey presented proof in this case that would have
satisfied the more burdensome standard of
Swain v. Alabama, 380 U.S. 202 (1965), a standard that was described in
Batson as having placed on defendants a
"crippling burden of proof."
476 U.S., at 92. As discussed above, McCleskey presented evidence of numerous
[***325] decisions impermissibly affected by racial factors over a significant number
of cases. The exhaustive evidence presented in this case certainly demands an
inquiry into the
prosecutor's actions.
The Court's assertion that, because of the necessity of discretion in the
criminal justice system, it
"would demand exceptionally clear proof,"
ante, at 297, before inferring abuse of that discretion thus misses the point of
the constitutional challenge in this case. Its conclusory statement that
"the capacity of
prosecutorial discretion to provide individualized justice
[**1805] is 'firmly entrenched in American law,'"
ante, at 311-312, quoting 2 W. LaFave
& J. Israel, Criminal Procedure
§ 13.2(a), p. 160 (1984), is likewise not helpful. The issue in this case is
the extent to which the constitutional guarantee of equal protection limits the
discretion in the Georgia
capital sentencing system. As the Court concedes, discretionary authority can be
discriminatory authority.
Ante, at 312.
Prosecutorial decisions may not be
"'deliberately based upon an unjustifiable standard such as race, religion, or
other arbitrary classification.'"
Bordenkircher v. Hayes, 434 U.S. 357, 364 (1978), quoting
Oyler v. Boles, 368 U.S. 448, 456 (1962). Judicial scrutiny is particularly appropriate in McCleskey's case because
"more subtle, less consciously held racial attitudes could also influence" the decisions in the Georgia
capital sentencing system.
Turner v. Murray, 476 U.S. 28, 35 (1986); see n. 13,
supra. The Court's rejection of McCleskey's equal protection claims is
[*365] a far cry from the
"sensitive inquiry" mandated by the Constitution.
IV
A
One of the final concerns discussed by the Court may be the most disturbing
aspect of its opinion. Granting relief to McCleskey in this case, it is said,
could lead to further constitutional challenges.
Ante, at 314-319. That, of course, is no reason to deny
McCleskey his rights under the Equal Protection Clause. If a grant of relief to him
were to lead to a closer examination of the effects of racial considerations
throughout the criminal justice system, the system, and hence society, might
benefit. Where no such factors come into play, the integrity of the system is
enhanced. Where such considerations are shown to be significant, efforts can
be made to eradicate their impermissible influence and to ensure an evenhanded
application of criminal sanctions.
B
Like JUSTICE STEVENS, I do not believe acceptance of McCleskey's claim would
eliminate
capital punishment in Georgia.
Post, at 367. JUSTICE STEVENS points out that the evidence presented in this case
indicates that in extremely aggravated
murders the risk of
discriminatory enforcement of the
death penalty is minimized.
Ibid. I agree that narrowing the class of death-eligible defendants is not too high a price to pay for a
death penalty system that does not discriminate on the basis of race. Moreover, the
establishment of guidelines for Assistant District Attorneys
[***326] as to the appropriate basis for exercising their discretion at the various
steps in the prosecution of a case would provide at least a measure of
consistency. The Court's emphasis on the procedural
safeguards in the system ignores the fact that there are none whatsoever during the
crucial process leading up to trial. As JUSTICE WHITE stated for the plurality
in
Turner v.
Murray, I find
"the risk that racial prejudice may
[*366] have infected petitioner's
capital sentencing unacceptable in light of the ease with which that risk could have been
minimized."
I dissent.
JUSTICE STEVENS, with whom JUSTICE BLACKMUN joins, dissenting.
There
"is a qualitative difference between death and any other permissible form of
punishment," and hence,
"'a corresponding difference in the need for reliability in the determination
that death is the appropriate punishment in a specific case.'"
Zant v. Stephens, 462 U.S. 862, 884-885 (1983),
quoting
Woodson v. North Carolina, 428 U.S. 280, 305 (1976) (plurality opinion of Stewart, POWELL, and STEVENS, JJ.). Even when
considerations far less repugnant than
racial discrimination are involved, we have recognized the
"vital importance to the defendant and to the community that any decision to
impose the
[**1806]
death sentence be, and appear to be, based on reason rather than caprice or emotion."
Gardner v. Florida, 430 U.S. 349, 358 (1977).
"Although not every imperfection in the deliberative process is sufficient, even
in a capital case, to set aside a state-court judgment, the severity of the
sentence mandates careful scrutiny in the review of any colorable claim of error."
Zant, supra, at 885.
In this case it is claimed -- and the claim is supported by elaborate studies
which the Court properly assumes to be valid -- that the jury's
sentencing process was likely distorted by racial prejudice. The studies demonstrate a
strong probability that McCleskey's
sentencing jury, which expressed
"the community's outrage -- its sense that an individual has lost his moral
entitlement to live,"
Spaziano v. Florida, 468 U.S. 447, 469 (1984)
(STEVENS, J., dissenting) -- was influenced by the fact that McCleskey is
black and his victim was white, and that this same outrage would not have been
generated if he had killed a member of his own race. This sort of
disparity is constitutionally intolerable. It flagrantly violates the Court's prior
"insistence that
capital punishment be
[*367] imposed fairly, and with reasonable consistency, or not at all."
Eddings v. Oklahoma, 455 U.S. 104, 112 (1982).
The Court's decision appears to be based on a fear that the acceptance of
McCleskey's claim would sound the death knell for
capital punishment in Georgia. If society were indeed forced to choose between a
racially
discriminatory
death penalty (one that provides heightened protection against
murder
"for whites only") and no
death penalty at all, the choice mandated by the Constitution would be plain.
Eddings v. Oklahoma, supra. But the Court's fear is unfounded. One of the lessons of the Baldus study is
that there exist certain categories of extremely
[***327] serious crimes for which
prosecutors consistently seek, and juries consistently impose, the
death penalty without regard to the race of the victim or the race of the
offender. If Georgia were to narrow the class of death-eligible defendants to those
categories, the danger of arbitrary and
discriminatory imposition of the
death penalty would be significantly decreased, if not eradicated. As JUSTICE BRENNAN has
demonstrated in his dissenting opinion, such a restructuring of the
sentencing scheme is surely not too high a price to pay.
Like JUSTICE BRENNAN, I would therefore reverse the judgment of the Court of
Appeals. I believe, however, that further proceedings are necessary in order
to determine whether McCleskey's
death sentence should be set aside. First, the Court of Appeals must decide whether the
Baldus study is valid. I am persuaded that it is, but orderly procedure
requires that the Court of Appeals address this issue before we actually decide
the question. Second, it is necessary for the District Court to determine
whether the particular facts of McCleskey's crime and his background place this
case within the range of cases that present an unacceptable risk that race
played a decisive role in McCleskey's
sentencing.
Accordingly, I respectfully dissent.