Opinion ID: 410972
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Heading: The Constitutionality of the California Death Penalty Statute

Text: 3 California has established by statute an elaborate procedural mechanism for the imposition of the death penalty. If a jury convicted the defendant of first degree murder, the same jury must also generally determine whether the special circumstances are true, Cal. Penal Code Sec. 190.4 (Deering 1977), 1 and, if necessary, the penalty. Id. Sec. 190.3. Even if the trial judge acted as the fact finder, a jury must determine the special circumstances unless the defendant and the people waive this right. Id. at Sec. 190.4. Once the defendant has been found guilty of first degree murder, the procedure is divided into the special-circumstances stage and the sentencing stage. See People v. Superior Court, 31 Cal.3d 797, 803, 183 Cal.Rptr. 800, 647 P.2d 76 (1982). First, the jury must determine the truth of any special circumstances the prosecution has charged. Cal. Penal Code Sec. 190.1(b). The jury cannot impose the death penalty unless it first finds at least one statutorily specified special circumstance to be true beyond a reasonable doubt. Id. If it finds the special circumstance true, the jury must then move to the sentencing stage: reviewing the mitigating and aggravating circumstances to determine whether the death penalty should be imposed. Id. Sec. 190.3. 4 Once the jury finds that the death sentence should be imposed, the trial judge reviews the evidence to determine whether the jury's findings and verdict are supported by the evidence. The judge must then state on the record the reasons for the findings. Id. Sec. 190.4(e). The statute also provides for an expeditious, automatic appeal to the California Supreme Court, although the scope and content of the review the court must give is not defined. Id. Sec. 190.6. 5 Harris argues that this procedure for imposing the death penalty violates the eighth amendment's prohibition against cruel and unusual punishment made applicable to the State of California by the fourteenth amendment because the procedure does not guide jury discretion to produce rational or consistent death sentences. In particular, Harris contends that the 1977 capital-punishment statute under which he was sentenced is deficient because (1) it fails to provide unambiguous objective standards to guide and focus the sentencing authority's discretion; (2) it fails to establish the burden of proof a fact finder must use in weighing the aggravating and mitigating circumstances; (3) it fails to require the sentencing authority to furnish a written statement of the basis upon which it decided to impose the death penalty; and (4) it fails to provide for meaningful and effective proportionality review. 6 We review the constitutionality of California's 1977 death-penalty statute on the basis of the standards established in Furman v. Georgia, 408 U.S. 238, 92 S.Ct. 2726, 33 L.Ed.2d 346 (1972), Gregg v. Georgia, 428 U.S. 153, 96 S.Ct. 2909, 49 L.Ed.2d 859 (1976) and their progeny. The primary concerns the Court has expressed in discussing the death penalty have been the need for guidance of the fact finder's discretion and an opportunity for review of the exercise of that discretion. The Court has thus upheld statutes providing for jury consideration of aggravating and mitigating factors, written findings stating reasons for imposition of the penalty, and a procedure designed to ensure proportionality review. See Lockett v. Ohio, 438 U.S. 586, 98 S.Ct. 2954, 57 L.Ed.2d 973 (1978); Jurek v. Texas, 428 U.S. 262, 96 S.Ct. 2950, 49 L.Ed.2d 929 (1976); Proffitt v. Florida, 428 U.S. 242, 96 S.Ct. 2960, 49 L.Ed.2d 913 (1976); Gregg v. Georgia, 428 U.S. 153, 96 S.Ct. 2909, 49 L.Ed.2d 859 (1976). These are, then, the guiding principles we follow in determining the constitutionality of a state's death-penalty statute.
7 Harris contends that the California death-penalty statute violates the eighth and fourteenth amendments because it places no limit on the prosecution's introduction of evidence of aggravating factors. Cal.Penal Code Sec. 190.3. Harris also argues that the statute's failure to require that the jury specify whether the factors the jury considers in imposing the death penalty are mitigating or aggravating impermissibly broadened the jury's discretion. We reject both of these contentions. 8 The California statute does not limit the introduction of evidence of either mitigating or aggravating circumstances, but it does require that certain specified factors be taken into account. Id. The California Supreme Court has interpreted this section as not limiting the admission of evidence to matters relevant to the specified mitigating or aggravating factors. People v. Murtishaw, 29 Cal.3d 733, 773, 175 Cal.Rptr. 738, 631 P.2d 446 (1981). 9 The United States Supreme Court has upheld a death-penalty statute that permitted a jury to consider any aggravating or mitigating circumstance otherwise authorized by law so long as one statutory aggravating factor was identified before the death penalty was imposed. See Gregg v. Georgia, 428 U.S. at 206, 96 S.Ct. at 2940 (plurality opinion noting terms of statute). In Proffitt v. Florida, the Court also upheld a sentencing statute that allowed the jury to consider nonstatutory, aggravating factors. See Proffitt v. Florida, 428 U.S. at 256-57 n.14, 96 S.Ct. at 2968-69 n.14 (suggesting that consideration is proper as long as penalty not based solely on nonstatutory factors). And a plurality of the Supreme Court has noted that, to meet constitutional requirements, a death penalty statute must not preclude consideration of relevant mitigating factors. See Lockett v. Ohio, 438 U.S. at 608, 98 S.Ct. at 2966. 10 These cases suggest that, although the irregular or selective application of the penalty is to be avoided, the consideration of nonstatutory mitigating or aggravating circumstances is not objectionable in itself, as long as at least one statutory circumstance is found before the death penalty is imposed. Because the judge found several statutory aggravating circumstances in this case, we see no constitutional problem here. Moreover, under the statute, the jury must consider certain factors in weighing aggravating and mitigating circumstances, see Cal.Penal Code Sec. 190.3. These required factors provide jury guidance and lessen the chance of arbitrary application of the death penalty. 11 We note that the Fifth Circuit seems to have decided that the consideration of nonstatutory aggravating circumstances impermissibly increases jury discretion. See Henry v. Wainright, 661 F.2d 56, 58-60 (5th Cir. 1981) (introduction and consideration of nonstatutory aggravating factors error under Florida sentencing statute), vacated and remanded on other grounds, --- U.S. ----, 102 S.Ct. 2922, 73 L.Ed.2d ---- (1982). To the extent our conclusion here is inconsistent with Henry v. Wainright, we reject the Fifth Circuit's ruling. 12 Nor do we think that the statute's failure to label factors as aggravating or mitigating invalidates the statute. The Supreme Court has previously upheld a statute that did not explicitly identify factors as aggravating or mitigating but merely asked the jury to answer several particular questions. See Jurek v. Texas, 428 U.S. at 270-73, 96 S.Ct. at 2955-57 (plurality opinion). Because the California statute establishes factors to guide the jury's discretion and allows for consideration of the particular aggravating and mitigating circumstances in this case, the statute is not unconstitutional in this respect.
13 Harris contends that the statute's failure to specify the state's burden of proof in the second sentencing stage--determining whether the aggravating factors outweigh the mitigating ones--violates due process because it results in jury capriciousness. He argues that the state must prove beyond a reasonable doubt that the death penalty is appropriate. These contentions are without merit. 14 Although the statute does not specify the burden of proof at this stage, it does require use of the beyond-a-reasonable-doubt standard in the stage where the truth of any special circumstance is determined. Unless a jury is convinced beyond a reasonable doubt of the truth of at least one special circumstance charged, it cannot even consider whether to impose the death penalty. Cal.Penal Code Sec. 190.4(a). The statute then requires a jury to consider and take into account all mitigating and aggravating factors in determining whether to impose the death penalty. Id. Sec. 190.3. And while the statute does not specify the burden of proof, a plurality of the California Supreme Court has read the statute as requiring the jury to weigh these factors before imposing the penalty. See People v. Frierson, 25 Cal.3d at 180, 158 Cal.Rptr. 281, 599 P.2d 587. These procedures guarantee that the jury's discretion will be guided and its consideration deliberate. 15 The United States Supreme Court has never stated that a beyond-a-reasonable-doubt standard is required when determining whether a death penalty should be imposed. In Proffitt v. Florida, the Court upheld a statute that did not require this standard when the jury rendered an advisory verdict on whether the death penalty should be imposed. See Proffitt v. Florida, 428 U.S. at 257-58, 96 S.Ct. at 2969 (plurality opinion). Although the jury's verdict in this statute is mandatory, we do not think that this difference makes this statute distinguishable from the one in Proffitt. Moreover, we are not aware of any instance where the state must carry such a burden of proof when attempting to convince a sentencing authority of the appropriate criminal sentence. If the Supreme Court had intended for the burden in death-penalty cases to vary from the standard burden in all other criminal sentencing, it would have said so in one of the many modern cases dealing with the death penalty.
16 Harris also argues that the statute violates the eighth and fourteenth amendments because it does not require the jury to make written findings delineating the basis for its decision to impose the death penalty. The California Supreme Court has rejected this contention and held that the requirement that the judge make written findings upholding or overturning the jury's verdict is sufficient to satisfy the procedures validated in Gregg v. Georgia and Proffitt v. Florida. See People v. Jackson, 28 Cal.3d at 316-17, 168 Cal.Rptr. 603, 618 P.2d 149; People v. Frierson, 25 Cal.3d at 178-80, 158 Cal.Rptr. 281, 599 P.2d 587 (plurality opinion). 17 We agree with the California Supreme Court's conclusion because the California statute is very similar to the statute upheld in Proffitt v. Florida, 428 U.S. 242, 250, 96 S.Ct. 2960, 2965, 49 L.Ed.2d 913 (1976). There the judge, not the jury, set forth written findings stating the reasons why the death sentence was appropriate under the Florida statute. Under that statute, the jury's verdict was only advisory. Id. at 249, 96 S.Ct. at 2965. Although the jury's verdict here is mandatory, the judge 18 shall review the evidence, consider, take into account, and be guided by the aggravating and mitigating circumstances referred to in Section 190.3, and shall make an independent determination as to whether the weight of the evidence supports the jury's findings and verdicts. He shall state on the record the reason for his findings. 19 Cal.Penal Code Sec. 190.4(e). Because the judge must determine independently whether the death penalty is appropriate and, in so doing, weigh the evidence of aggravating and mitigating circumstances, the appellate court is provided with a sufficient record upon review. On the basis of the judge's written conclusions, the appellate court can determine whether the evidence supported the jury's finding of aggravated circumstances. If the judge and the appellate court conclude that the jury verdict is supported by the evidence, the danger that the jury acted under the influence of undue passion or prejudice is negligible. See Gregg v. Georgia, 428 U.S. at 195, 96 S.Ct. at 2935 (plurality opinion). While it might be preferable to have the sentencer provide a written statement concerning the basis for the decision to impose the death penalty, we cannot say that the California statute is unconstitutional because it requires only the judge to provide such a statement. The judge's statement provides an adequate basis for appellate review.
20 Harris' final argument under the eighth and fourteenth amendments is that the California Supreme Court's failure to conduct a proportionality review in this case renders his death penalty sentence unconstitutional. A plurality of the United States Supreme Court has approved proportionality review whether such is provided by statute, see Gregg v. Georgia, 428 U.S. at 167, 203, 96 S.Ct. at 2922, 2939, or by case law, see Proffitt v. Florida, 428 U.S. at 259, 96 S.Ct. at 2969. The Supreme Court has discussed proportionality concerning the death penalty in at least two ways. First, in several instances the Court has examined whether the death penalty was proportionate to the crime for which it was imposed. See, e.g., Coker v. Georgia, 433 U.S. 584, 591-92, 97 S.Ct. 2861, 2865-66, 53 L.Ed.2d 982 (1977) (sentence of death grossly disproportionate to crime of rape when no life taken) (plurality opinion); Gregg v. Georgia, 428 U.S. at 187 & n.35, 96 S.Ct. at 2931 & n.35 (declining to address whether death penalty disproportionate for crimes such as kidnapping or armed robbery but noting that death penalty not invariably disproportionate to murder) (plurality opinion). Second, the Court has examined whether the penalty in the case was proportionate to other sentences imposed for similar crimes. See Gregg v. Georgia, 428 U.S. at 198, 203, 96 S.Ct. at 2936, 2939 (plurality opinion); id. at 211-12, 223-24, 96 S.Ct. at 2942-43, 2948-49 (White, J., concurring). This latter proportionality review, intended to prevent the arbitrary and capricious application of the penalty, id. at 203, 96 S.Ct. at 2939, is what concerns us here. 21 In response to these cases, a plurality of the California Supreme Court in People v. Frierson stated that it would review each death penalty under the challenged statute to determine whether the penalty was being applied proportionately. 25 Cal.3d at 183. A majority of the Court later stated that the Court was fully prepared to afford whatever kind of proportionality review is constitutionally mandated by the Supreme Court. People v. Jackson, 28 Cal.3d at 317, 168 Cal.Rptr. 603, 618 P.2d 149. The California court, however, did not undertake any proportionality review in this case. People v. Harris, 28 Cal.3d 935 at 964, 171 Cal.Rptr. 679, 623 P.2d 240. Rather, the court stated that it refused to consider the petitioner's arguments concerning the constitutionality of the death penalty because it had already done so in People v. Frierson. It gave no indication that any type of proportionality review, as required under Gregg v. Georgia and Proffitt v. Florida, was undertaken. 2 Id. 22 Therefore, we must vacate the district court's denial of the petition and instruct the district court to grant the petition relieving petitioner from his sentence of death unless the California Supreme Court undertakes, within a reasonable time not to exceed 120 days from the date this order is filed, the determination of whether the penalty in this case is proportionate to other sentences imposed for similar crimes. It must be recognized, however, that given the broad range of considerations relevant in determining whether to impose the death penalty, any statistical showing based on a particular selection of similar cases may not be conclusive of the usual practice. As the Supreme Court has explained, Furman did not require that all sentencing discretion be eliminated, but only that it be 'directed and limited,' so that the death penalty would be imposed in a more consistent and rational manner and so that there would be a 'meaningful basis for distinguishing the ... cases in which it is imposed from ... the many in which it is not.'  Lockett v. Ohio, 438 U.S. 586, 601, 98 S.Ct. 2954, 2963, 57 L.Ed.2d 973 (1978), citing Gregg v. Georgia, 428 U.S. at 188-89, 96 S.Ct. at 2932-33. [T]he isolated decision of a jury to afford mercy in a particular case does not make death sentences imposed on other defendants unconstitutional as long as the sentencing system does not create a substantial risk of arbitrariness and caprice. Gregg v. Georgia, 428 U.S. at 203, 96 S.Ct. at 2939 (plurality opinion). 23