Opinion ID: 1901039
Heading Depth: 2
Heading Rank: 1

Heading: United States Supreme Court Framework.

Text: 1. General approach. The United States Constitution prohibits the imposition of cruel and unusual punishment. U.S. Const. amend. VIII. The clause embraces a bedrock rule of law that punishment should fit the crime. This basic concept stands for the proposition that even guilty people are entitled to protection from overreaching punishment meted out by the state. The United States Supreme Court has struggled with the proper approach to cruel and unusual punishment. In recent years, the cases of the Supreme Court have produced a multitude of majority, plurality, and dissenting opinions. Nonetheless, there are some principles that can be distilled from these opinions. Although some have argued that the Cruel and Unusual Punishment Clause is designed to address only methods of punishment, the Supreme Court has firmly held that the Cruel and Unusual Punishment Clause applies to a sentence for a term of years. Lockyer v. Andrade, 538 U.S. 63, 73, 123 S.Ct. 1166, 1173, 155 L.Ed.2d 144, 156 (2003); Ewing v. California, 538 U.S. 11, 20, 123 S.Ct. 1179, 1185, 155 L.Ed.2d 108, 117 (2003). Thus, a reviewing court has the authority to consider whether imprisonment for a term of years for a particular crime or crimes is so excessive as to violate the Cruel and Unusual Punishment Clause. The Supreme Court has also emphasized that legislative determinations of punishment are entitled to great deference. In order to establish a claim for cruel and unusual punishment, a sentence must be grossly disproportionate to the underlying crime. Rummel v. Estelle, 445 U.S. 263, 271, 100 S.Ct. 1133, 1138, 63 L.Ed.2d 382, 389 (1980). As Justice Rehnquist suggested, a life sentence for a parking ticket could run afoul of cruel and unusual punishment as being grossly disproportionate to the crime. Id. at 274 n. 11, 100 S.Ct. at 1139 n. 11, 63 L.Ed.2d at 391 n. 11. Strict proportionality in sentencing, however, is not required, and a reviewing court is not authorized to generally blue pencil criminal sentences to advance judicial perceptions of fairness. Severe, mandatory penalties may be cruel, but they are not unusual in the constitutional sense, having been employed in various forms throughout our Nation's history. Harmelin v. Michigan, 501 U.S. 957, 994-95, 111 S.Ct. 2680, 2701, 115 L.Ed.2d 836, 864 (1991). While a sentence to a term of years might be so lengthy as to violate the Cruel and Unusual Punishment Clause, such an occurrence outside the context of capital punishment has been exceedingly rare. Rummel, 445 U.S. at 272, 100 S.Ct. at 1138, 63 L.Ed.2d at 390. In evaluating whether a lengthy sentence is grossly disproportionate under the Cruel and Unusual Punishment Clause, the Supreme Court has developed a three-part test. Solem v. Helm, 463 U.S. 277, 292, 103 S.Ct. 3001, 3011, 77 L.Ed.2d 637, 650 (1983), as modified in Ewing, 538 U.S. at 23-24, 123 S.Ct. at 1186-87, 155 L.Ed.2d at 118-19. The first part of the test, sometimes referred to as the threshold test, involves a preliminary judicial evaluation of whether the sentence being reviewed is grossly disproportionate to the underlying crime. Solem, 463 U.S. at 290-91 & n. 17, 103 S.Ct. at 3010 & n. 17, 77 L.Ed.2d at 649 & n. 17. This preliminary test involves a balancing of the gravity of the crime against the severity of the sentence. Id. at 291, 103 S.Ct. at 3010, 77 L.Ed.2d at 650. The Supreme Court has not articulated what factors go into this initial determination, but has stated that it is a `rare case in which a threshold comparison of the crime committed and the sentence imposed leads to an inference of gross disproportionality.' Ewing, 538 U.S. at 30, 123 S.Ct. at 1190, 155 L.Ed.2d at 123 (quoting Harmelin, 501 U.S. at 1005, 111 S.Ct. at 2707, 115 L.Ed.2d at 871 (Kennedy, J., concurring in part and concurring in judgment)). If the threshold test has been crossed, the Supreme Court proceeds to steps two and three. Harmelin, 501 U.S. at 1005, 111 S.Ct. at 2707, 115 L.Ed.2d at 871 (Kennedy, J., concurring in part and concurring in judgment). In step two, the Supreme Court engages in intrajurisdictional analysis, comparing the challenged sentence to sentences for other crimes within the jurisdiction. Solem, 463 U.S. at 292, 103 S.Ct. at 3011, 77 L.Ed.2d at 650. In step three, the Supreme Court engages in interjurisdictional review, comparing sentences in other jurisdictions for the same or similar crimes. Id. These last two steps introduce objectivity into the determination of gross disproportionality. The general theory under Solem, Harmelin, and Ewing seems to be that a sentence for a term of years within the bounds authorized by statute is not likely to be grossly disproportionate under the Cruel and Unusual Punishment Clause. Legislative judgments are generally regarded as the most reliable objective indicators of community standards for purposes of determining whether a punishment is cruel and unusual. See McCleskey v. Kemp, 481 U.S. 279, 301-02, 107 S.Ct. 1756, 1772, 95 L.Ed.2d 262, 284-85 (1987). While the Supreme Court, particularly in recent years, has emphasized objective factors in analyzing cruel and unusual punishment cases, the Court has also noted that objective evidence, though of great importance, [does] not `wholly determine' the controversy, `for the Constitution contemplates that in the end our own judgment will be brought to bear on the question. . . .' Atkins v. Virginia, 536 U.S. 304, 312, 122 S.Ct. 2242, 2247, 153 L.Ed.2d 335, 345 (2002) (quoting Coker v. Georgia, 433 U.S. 584, 597, 97 S.Ct. 2861, 2868, 53 L.Ed.2d 982, 992 (1977)). 2. Validity of enhanced sentences for recidivists. The Supreme Court has had three occasions to directly consider the validity of lengthy sentences under criminal statutes that impose enhanced sentences on recidivists. In Rummel, the Court upheld a lifetime sentencewith the possibility of parole in ten or twelve yearsunder a Texas three strikes statute where the defendant's offenses all involved nonviolent property crimes and the monetary value of all three crimes totaled less than $250.00. Rummel, 445 U.S. at 265-66, 284, 100 S.Ct. at 1134-35, 1144-45, 63 L.Ed.2d at 385-85, 397. In Solem, the Court vacated a sentence where the defendant, convicted of uttering a no account check for $100, was sentenced to life in prison without possibility of parole because of six prior felony convictions. Solem, 463 U.S. at 279-81, 303, 103 S.Ct. at 3004-05, 3016, 77 L.Ed.2d at 642-43, 657-58. Finally, in Ewing, the Court held that the theft of three golf clubs valued at $1200, when coupled with prior nonviolent property crimes, was sufficient to support a sentence of twenty-five years to life. Ewing, 538 U.S. at 18-20, 29-30, 123 S.Ct. at 1183-85, 1189-90, 155 L.Ed.2d at 115-16, 123. In a fourth case, Lockyer, the defendant was sentenced as a recidivist to two consecutive terms of twenty-five years to life where the final conviction consisted of stealing nine videotapes on two separate occasions. Lockyer, 538 U.S. at 66-68, 123 S.Ct. at 1169-71, 155 L.Ed.2d at 152-53. The defendant's cruel and unusual punishment claim, however, was raised in the context of a federal habeas corpus proceeding with a restricted standard of review. Id. at 69, 123 S.Ct. at 1171, 155 L.Ed.2d at 154. The court in Lockyer declined to intervene, noting that the sentence did not violate clearly established law. Id. at 77, 123 S.Ct. at 1175, 155 L.Ed.2d at 159. As is apparent from these cases, the Supreme Court has generally supported harsh and severe sentences for repeat offenders even when the later offense was nonviolent. Further, the Supreme Court has found that incapacitation is among the legitimate penological objectives that a state may further through long prison sentences. Ewing, 538 U.S. at 25, 123 S.Ct. at 1187, 155 L.Ed.2d at 120; Harmelin, 501 U.S. at 999, 111 S.Ct. at 2704, 115 L.Ed.2d at 867-68 (Kennedy, J., concurring in part and concurring in judgment). [3] 3. Role of individualized determination. In Woodson v. North Carolina, 428 U.S. 280, 303-04, 96 S.Ct. 2978, 2990-91, 49 L.Ed.2d 944, 960-61 (1976), the Supreme Court held that in death penalty cases, courts must engage in consideration of the character and record of the individual offender and the circumstances of the particular offense before the death penalty may be imposed. See also Enmund v. Florida, 458 U.S. 782, 798, 102 S.Ct. 3368, 3377, 73 L.Ed.2d 1140, 1152 (1982). Woodson established a prerequisite legal requirement in all death penalty cases. The question arises whether a criminal defendant in a noncapital case may attempt to attack a sentence as applied as constituting cruel and unusual punishment. The question of whether a defendant may attack a statute as applied as cruel and unusual is a different question than that considered in Woodson, where the statute was facially invalid. A noncapital criminal statute that does not require an individualized determination regarding the appropriate sentence may be valid in many, but not all applications. In Rummel, the Supreme Court seemed to utilize an individualized approach where a defendant challenged his lengthy noncapital sentence under recidivist statutes. The Court noted that the defendant did not challenge the constitutionality of the applicable recidivist statute as a general proposition. Rummel, 445 at 270-71, 100 S.Ct. at 1137, 63 L.Ed.2d at 388-89. Instead, Rummel challenged only the result of applying a concededly valid statute to the facts of his case. Id. The court then proceeded to consider, among other factors, the length of a prison term in real time (time that is likely to be served), the defendant's triggering criminal conduct (the offender's actual behavior or other offense-related circumstances), and the offender's criminal history. Id. at 265-81, 100 S.Ct. at 1134-43, 63 L.Ed.2d at 385-95. The Court seemed to take a similar approach in Solem. There, the court noted, among other things, that the culpability of the offender, including his intent or motive in committing a crime, may be considered in determining the proportionality of the penalty to the offense. Solem, 463 U.S. at 293, 103 S.Ct. at 3011, 77 L.Ed.2d at 651. After Rummel and Solem, the court decided Harmelin. Among other arguments, Harmelin claimed that it was cruel and unusual to impose a mandatory sentence of life in prison for drug possession. Harmelin, 501 U.S. at 994, 111 S.Ct. at 2701, 115 L.Ed.2d at 864. In part IV of his plurality opinion, Justice Scalia expressly refused to consider expanding the individualized capital sentencing doctrine outside the capital punishment context. Id. at 995, 111 S.Ct. at 2701-02, 115 L.Ed.2d at 865. Justice Scalia noted, We have drawn the line of required individualized sentencing at capital cases, and see no basis for extending it further. Id. at 996, 111 S.Ct. at 2702, 115 L.Ed.2d at 865. Justice Scalia's opinion could be broadly interpreted to mean that when considering cruel and unusual punishment challenges to a sentence, individualized analysis of the seriousness of the crime and the culpability of the offender is never appropriate outside the capital context. But there is also a narrower interpretation. In part IV, Justice Scalia was responding to the position that a statute imposing a mandatory sentence of life in prison, on its face, is unconstitutional and could not be applied against anyone. Justice Scalia rejected this facial argument. But a rejection of a facial challenge to a mandatory sentencing statute on the ground that individualized sentencing is not statutorily required does not mean that individualized analysis is never appropriate in a noncapital cruel and unusual punishment case. Narrowly read, the only proposition in part IV of Justice Scalia's opinion in Harmelin is that a mandatory sentencing statute cannot be stricken from the statute books and applied to no one, even the most deserving defendant, because of a lack of individualized sentencing. Part IV of the Scalia opinion simply does not address the question of whether a defendant may concede the facial validity of a mandatory sentencing statute, but then attack the constitutionality of its application in a particular case in light of all the facts and circumstances involved. A narrow reading of part IV of Justice Scalia's Harmelin opinion is supported by the Court's subsequent opinion in Ewing. In Ewing, the Court considered the constitutionality of a recidivist statute imposing a twenty-five-years-to-life sentence for property crimes. Ewing, 538 U.S. at 19-20, 123 S.Ct. at 1184-85, 155 L.Ed.2d at 116. In Ewing, the Court was highly fractured and no opinion commanded a majority. In her opinion joined by two other members of the court, Justice O'Connor examined the details of Ewing's criminal record, which included numerous separate terms of incarceration, commission of crimes while on parole, and serious felonies including robbery and three residential burglaries. Id. at 18-19, 123 S.Ct. at 1183-84, 155 L.Ed.2d at 115-16. Under these facts and circumstances, Justice O'Connor declared that Ewing's is not `the rare case in which a threshold comparison of the crime committed and the sentence imposed leads to an inference of gross disproportionality.' Id. at 30, 123 S.Ct. at 1190, 155 L.Ed.2d at 123 (quoting Harmelin, 501 U.S. at 1005, 111 S.Ct. at 2707, 115 L.Ed.2d at 871 (Kennedy, J., concurring in part and concurring in judgment)). In reaching her decision, Justice O'Connor does not seem to be conducting a facial examination of the statute, where the underlying facts and circumstances would be entirely irrelevant. Instead, Justice O'Connor appears to be undertaking an analysis of the constitutionality of the statute as applied to Ewing. According to Justice O'Connor, it is Ewing's case that does not meet the gross disproportionality threshold of Solem, not the statute itself. Justice Breyer's dissenting opinion in Ewing, joined by three other members of the court, explicitly embraces the fact-specific approaches in Rummel and Solem. Id. at 36-39, 123 S.Ct. at 1193-95, 155 L.Ed.2d at 127-29 (Breyer, J., dissenting). As a result, a majority of the Supreme Court in Ewing seems to approve of an as-applied challenge to an otherwise valid statute under the Cruel and Unusual Punishment Clause of the Eighth Amendment. 4. Relevance of juvenile status in cruel and unusual punishment analysis. The Supreme Court has also struggled with the proper application of the Cruel and Unusual Punishment Clause to juvenile defendants facing the death penalty. The cases have meandered. Compare Thompson v. Oklahoma, 487 U.S. 815, 838, 108 S.Ct. 2687, 2700, 101 L.Ed.2d 702, 720-21 (1988) (vacating death sentence in case involving juvenile), and Eddings v. Oklahoma, 455 U.S. 104, 116-17, 102 S.Ct. 869, 877-78, 71 L.Ed.2d 1, 12 (1982) (same), with Stanford v. Kentucky, 492 U.S. 361, 379-80, 109 S.Ct. 2969, 2980, 106 L.Ed.2d 306, 324-25 (1989) (finding death penalty could be applied to sixteen- or seventeen-year-olds). Most recently, however, the Supreme Court in Roper v. Simmons, 543 U.S. 551, 556, 125 S.Ct. 1183, 1187, 161 L.Ed.2d 1, 13 (2005), considered a death sentence imposed on a seventeen-year-old convicted of murder. Justice Kennedy begins his analysis with a review of other jurisdictions. Roper, 543 U.S. at 564, 125 S.Ct. at 1192, 161 L.Ed.2d at 18. Although twenty states did not formally prohibit the death penalty for juveniles, Justice Kennedy stressed that, in practice, juvenile execution was infrequent. Id. at 564, 125 S.Ct. at 1192, 161 L.Ed.2d at 18-19. Based on the infrequency of its use even when it remained on the books and the growing trend toward abolition of the practice, Justice Kennedy concluded that juveniles were `categorically less culpable than the average criminal.' Id. at 567, 125 S.Ct. at 1194, 161 L.Ed.2d at 20-21 (quoting Atkins v. Virginia, 536 U.S. 304, 316, 122 S.Ct. 2242, 2249, 153 L.Ed.2d 335, 347 (2002)). After noting that the Eighth Amendment applied to the death penalty with special force, Justice Kennedy next turned to consideration of the mental abilities of juveniles. Id. at 568, 125 S.Ct. at 1194, 161 L.Ed.2d at 21. Citing the common experience of parents, confirmed by scientific and sociological studies, Justice Kennedy noted that juveniles tend to have immature judgment and act impulsively and without a full appreciation of the consequences of their actions, were more susceptible to negative peer influences than adults, were dependent on parents and others, and had personalities that were less well developed and more transitory than adults. Id. at 569-72, 125 S.Ct. at 1195-96, 161 L.Ed.2d at 21-23. Justice Kennedy noted that as a result of their immature judgment, impulsivity, dependence on others, and lack of responsibility, nearly all states prohibit persons under eighteen years of age from voting, serving on juries, or marrying without parental consent. Id. at 569, 125 S.Ct. at 1195, 161 L.Ed.2d at 22. Finally, Justice Kennedy surveyed international law, noting that various sources of international law condemn the death penalty for juveniles and that only a few countries continue the practice. Id. at 576-77, 125 S.Ct. at 1198-99, 161 L.Ed.2d at 26-27. Because of the psychosocial and neurological differences between juveniles and adults, Justice Kennedy wrote that the penological justifications for the death penaltyretribution and general deterrence apply to juveniles with lesser force than to adults. Id. at 571, 125 S.Ct. at 1196, 161 L.Ed.2d at 23. Justice Kennedy noted that punishment of life imprisonment without the possibility of parole is itself a severe sanction, in particular for a young person. Id. at 572, 125 S.Ct. at 1196, 161 L.Ed.2d at 23. As a result, the death penalty categorically could not be applied to juveniles. Roper involved the constitutionality of the death penalty applied to juveniles, but its analysis has potentially broader impact notwithstanding the language of limitation in the opinion. In particular, academics began to assert that the analysis in Roper could be applied to challenge sentences of juveniles to life without possibility of parole. [4] The Supreme Court has recently agreed to hear two cases involving juveniles sentenced to imprisonment for life without possibility of parole for noncapital crimes. See Sullivan v. State, 987 So.2d 83 (Fla.Dist.Ct.App.2008) (thirteen-year-old convicted of sexual battery in connection with burglary sentenced to life without possibility of parole), cert. granted, ___ U.S. ___, 129 S.Ct. 2157, 173 L.Ed.2d 1155 (2009); Graham v. State, 982 So.2d 43 (Fla.Dist.Ct.App.2008) (sixteen-year-old sentenced to life in prison without possibility of parole based on armed burglaries, attempted robberies, and parole violation), cert. granted, ___ U.S. ___, 129 S.Ct. 2157, 173 L.Ed.2d 1155 (2009). These cases could shed some light on the viability of a Roper -type reasoning outside the death penalty context under the Cruel and Unusual Punishment Clause of the United States Constitution.