Eighth Amendment:
Excessive bail shall not be required, nor excessive fines imposed, nor cruel and unusual punishments inflicted.
Most states responded to the 1976 requirement that the sentencing authority’s discretion be narrowed by enacting statutes spelling out aggravating
circumstances, and requiring that at least one such aggravating circumstance be found before the death penalty is imposed. The Court has required that the standards be relatively precise and instructive so as to minimize the risk of arbitrary and capricious action by the sentencer, the desired result being a principled way to distinguish cases in which the death penalty should be imposed from cases in which it should not be. Thus, the Court invalidated a capital sentence based upon a jury finding that the murder was outrageously or wantonly vile, horrible, and inhuman,
reasoning that a person of ordinary sensibility could fairly [so] characterize almost every murder.
1 Similarly, an especially heinous, atrocious, or cruel
aggravating circumstance was held to be unconstitutionally vague.2 The especially heinous, cruel, or depraved
standard is cured, however, by a narrowing interpretation requiring a finding of infliction of mental anguish or physical abuse before the victim’s death.3
The proscription against a mandatory death penalty has also received elaboration. The Court invalidated statutes making death the mandatory sentence for persons convicted of first-degree murder of a police officer,4 and for prison inmates convicted of murder while serving a life sentence without possibility of parole.5 Flaws related to those attributed to mandatory sentencing statutes were found in a state’s structuring of its capital system to deny the jury the option of convicting on a lesser included offense, when doing so would be justified by the evidence.6 Because the jury had to choose between conviction or acquittal, the statute created the risk that the jury would convict because it felt the defendant deserved to be punished or acquit because it believed death was too severe for the particular crime, when at that stage the jury should concentrate on determining whether the prosecution had proved defendant’s guilt beyond a reasonable doubt.7
The overarching principle of Furman and of the Gregg series of cases was that the jury should not be without guidance or direction
in deciding whether a convicted defendant should live or die. The jury’s attention was statutorily directed to the specific circumstances of the crime . . . and on the characteristics of the person who committed the crime.
8 Discretion was channeled and rationalized. But, in Lockett v. Ohio,9 a Court plurality determined that a state law was invalid because it prevented the sentencer from giving weight to any mitigating factors other than those specified in the law. In other words, the jury’s discretion was curbed too much. [W]e conclude that the Eighth and Fourteenth Amendments require that the sentencer, in all but the rarest kind of capital case, not 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.
10 Similarly, the reason that a three-justice plurality viewed North Carolina’s mandatory death sentence for persons convicted of first degree murder as invalid was that it failed to allow the particularized consideration of relevant aspects of the character and record of each convicted defendant.
11 Lockett and Woodson have since been endorsed by a Court majority.12 Thus, a great measure of discretion was again accorded the sentencing authority, be it judge or jury, subject only to the consideration that the legislature must prescribe aggravating factors.13
The Court has explained this apparent contradiction as constituting recognition that individual culpability is not always measured by the category of crime committed,
14 and as the product of an attempt to pursue the twin objectives
of measured, consistent application
of the death penalty and fairness to the accused.
15 The requirement that aggravating circumstances be spelled out by statute serves a narrowing purpose that helps consistency of application; absence of restriction on mitigating evidence helps promote fairness to the accused through an individualized
consideration of his circumstances. In the Court’s words, statutory aggravating circumstances play a constitutionally necessary function at the stage of legislative definition [by] circumscribing the class of persons eligible for the death penalty,
16 while consideration of all mitigating evidence requires focus on the character and record of the individual offender and the circumstances of the particular offense
consistent with the fundamental respect for humanity underlying the Eighth Amendment.
17 As long as the defendant’s crime falls within the statutorily narrowed class, the jury may then conduct an individualized determination on the basis of the character of the individual and the circumstances of the crime.
18
So far, the Justices who favor abandonment of the Lockett and Woodson approach have not prevailed. The Court has, however, given states greater leeway in fashioning procedural rules that have the effect of controlling how juries may use mitigating evidence that must be admitted and considered.19 States may also cure some constitutional errors on appeal through operation of harmless error
rules and reweighing of evidence by the appellate court.20 Also, the Court has constrained the use of federal habeas corpus to review state court judgments. As a result of these trends, the Court recognizes a significant degree of state autonomy in capital sentencing in spite of its rulings on substantive Eighth Amendment law.21
While holding fast to the Lockett requirement that sentencers be allowed to consider all mitigating evidence,22 the Court has upheld state statutes that control the relative weight that the sentencer may accord to aggravating and mitigating evidence.23 The requirement of individualized sentencing is satisfied by allowing the jury to consider all relevant mitigating evidence
; there is no additional requirement that the jury be allowed to weigh the severity of an aggravating circumstance in the absence of any mitigating factor.24 So, too, the legislature may specify the consequences of the jury’s finding an aggravating circumstance; it may mandate that a death sentence be imposed if the jury unanimously finds at least one aggravating circumstance and no mitigating circumstance,25 or if the jury finds that aggravating circumstances outweigh mitigating circumstances.26 And a court may instruct that the jury must not be swayed by mere sentiment, conjecture, sympathy, passion, prejudice, public opinion, or public feeling,
because in essence the instruction merely cautions the jury not to base its decision on factors not presented at the trial.
27 However, a jury instruction that can be interpreted as requiring jury unanimity on the existence of each mitigating factor before that factor may be weighed against aggravating factors is invalid as in effect allowing one juror to veto consideration of any and all mitigating factors. Instead, each juror must be allowed to give effect to what he or she believes to be established mitigating evidence.28 Due process considerations can also come into play; if the state argues for the death penalty based on the defendant’s future dangerousness, due process requires that the jury be informed if the alternative to a death sentence is a life sentence without possibility of parole.29
What is the effect on a death sentence if an eligibility factor
(a factor making the defendant eligible for the death penalty) or an aggravating factor
(a factor, to be weighed against mitigating factors, in determining whether a defendant who has been found eligible for the death penalty should receive it) is found invalid? In Brown v. Sanders, the Court announced the following rule: An invalidated sentencing factor (whether an eligibility factor or not) will render the sentence unconstitutional by reason of its adding an improper element to the aggravation scale in the weighing process unless one of the other sentencing factors enables the sentencer to give aggravating weight to the same facts and circumstances.
30
Appellate review under a harmless error standard can preserve a death sentence based in part on a jury’s consideration of an aggravating factor later found to be invalid,31 or on a trial judge’s consideration of improper aggravating circumstances.32 In each case the sentencing authority had found other aggravating circumstances justifying imposition of capital punishment, and in Zant evidence relating to the invalid factor was nonetheless admissible on another basis.33 Even in states that require the jury to weigh statutory aggravating and mitigating circumstances (and even in the absence of written findings by the jury), the appellate court may preserve a death penalty through harmless error review or through a reweighing of the aggravating and mitigating evidence.34 By contrast, where there is a possibility that the jury’s reliance on a totally irrelevant
factor (defendant had served time pursuant to an invalid conviction subsequently vacated) may have been decisive in balancing aggravating and mitigating factors, a death sentence may not stand notwithstanding the presence of other aggravating factors.35
In Oregon v. Guzek, the Court could find nothing in the Eighth or Fourteenth Amendments that provides a capital defendant a right to introduce,
at sentencing, new evidence, available to him at the time of trial, that shows he was not present at the scene of the crime.
36 Although the Eighth and Fourteenth Amendments require that the sentencer . . . not 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,
such evidence is a traditional concern of sentencing because it tends to show how, not whether,
the defendant committed the crime.37 Alibi evidence, by contrast, concerns whether the defendant committed the basic crime,
and thereby attacks a previously determined matter in a proceeding [i.e., sentencing] at which, in principle, that matter is not at issue.
38
Focus on the character and culpability of the defendant led the Court, initially, to hold that the Eighth Amendment prohibits a capital sentencing jury from considering victim impact evidence
that does not relate directly to the circumstances of the crime.
39 Four years later, the Court largely overruled40 these decisions, however, holding that the Eighth Amendment does allow the jury to consider ‘victim impact’ evidence relating to the personal characteristics of the victim and the emotional impact of the crimes on the victim’s family.
41 The Court reasoned that the admissibility of victim impact evidence was necessary to restore balance to capital sentencing. In the Court’s view, exclusion of such evidence unfairly weighted the scales in a capital trial
because there are no corresponding limits on relevant mitigating evidence a capital defendant may introduce concerning his own circumstances.
42