Document: 483 U.S. 402 107 S.Ct. 2906 97 L.Ed.2d 336 David BUCHANAN, Petitioner,v.KENTUCKY. No. 85-5348. Argued Jan. 12, 1987. Decided June 24, Rehearing or Modification Denied Aug. 26, See 1044, 108 19. Syllabus Petitioner was tried with a codefendant for murder and related crimes. The trial court dismissed the capital portion of petitioner's indictment. It also denied his motions in which he requested that jury not be "death qualified," there two juries, one guilt other sentencing, first being qualified." "Death qualification" occurs when prospective jurors are excluded cause light their stated inability to set aside strong opposition death penalty. At trial, petitioner attempted establish affirmative defense "extreme emotional disturbance" by having social worker read from several psychological evaluations were made following previous arrest. On cross-examination, prosecutor rebut this another evaluation prepared Dr. Robert J.G. Lange on joint motion prosecution counsel As jury, report forth Lange's general observations about mental state but did describe any statements crimes charged. After finding both defendants guilty, imposed maximum possible sentence sentenced death. Supreme Court Kentucky affirmed conviction, holding jury's deprive right an impartial drawn fair cross section community, judge had erred allowing introduction report. ruled opened door introducing earlier reports beneficial him, use violate rights under Estelle v. Smith, 451 454, 101 1866, 68 359. Held: 1. deprived Sixth Amendment representative because permitted "death-qualify" jury. Lockhart McCree, 476 162, 106 1758, 90 137, authorizes prior phase bifurcated controls case involving penalty sought only against codefendant. Commonwealth legitimate interests where defendants' conduct arose same events, could properly find facts apply law at phases as defendants, assess appropriateness Pp. 415-421. 2. prosecution's solely evidence Fifth Smith. Where, here, defendant requests presents psychiatric evidence, may presentation examination without implicating defendant's privilege self-incrimination. Because testify entire strategy "mental status" through worker's readings evaluations, respond unless it presented evidence. Moreover, deny effective assistance counsel. Unlike situation himself presumably discussed client. Petitioner's argument neither nor anticipate report's is unavailing. Smith put notice that, if intended present such defense, rebuttal. 421-425. 691 S.W.2d 210 (Ky.1985), affirmed. BLACKMUN, J., delivered opinion Court, REHNQUIST, C.J., WHITE, POWELL, O'CONNOR, SCALIA, JJ., joined. MARSHALL, filed dissenting opinion, BRENNAN, joined, Part I STEVENS, post, p. 426. Kevin McNally, Frankfort, Ky., petitioner. A. respondent. Justice BLACKMUN Court. 1 This narrow issues arising out Buchanan's murder. First, poses question whether Second, raises admission findings proffered violated mental-status defense.1 2 * Shortly after midnight January 7, 1981, police Louisville, discovered partially clad body 20-year-old Barbel C. Poore backseat her automobile. young woman been sexually assaulted shot twice head. discovery occasioned Poore's mother, who driven gas station daughter worked, failed return home expected time, found unattended unlocked. Tr. 399 (Aug. 2-13, 1982). ensuing investigation led arrest Stanford, Troy Johnson, petitioner, Buchanan, juvenile. 3 From confessions these participants, including events surrounding reconstructed: approached Johnson plan rob station, obtained him gun bullets owned Johnson's brother. Id., 1031. then telephoned lived apartment complex next proposed him. 1032. proceeded parking lot they met Stanford. told wait car while Stanford station. 484, 1033. entered office, carrying gun. While locate open safe, took into interior restroom raped her. 484-485. joined turns raping sodomizing despite plea assault cease. 485, 1044. 4 Approximately half hour leaving returned can gasoline placed its backseat. telling continue wait, id., 1034, left He came back once again, it, ordered drive location, short distance order, "[t]o have some more sex her." 1037. got standing beside driver's side vehicle. Ibid. watched, face then, started car, 486, 1037-1038. 5 held over juvenile court,2 transferred Circuit Jefferson County indicted charges murder.3 try jointly.4 request severed Stanford's.5 In pretrial motions, qualified,"6 App. 5, 8. essence, argued community violation Fourteenth Amendments. 6, 9. motions. seeking dismissal indictment basis triggerman, no intent kill Poore, therefore, Enmund Florida, 458 782, 102 3368, 73 140 (1982),7 19, 22. Without objection prosecution, granted motion. 24. voir dire, renewed qualification," emphasizing longer subject 26-27. again 6 disturbance."8 called sole witness worker, Martha Elam, formerly assigned case. counsel, she letters dealing condition.9 Elam progress institutionalized.10 Doctor within jurisdiction Counsel jointly moved order Ky.Rev.Stat. §§ 202A.010-202A.990 (1977), which, governed involuntary hospitalization treatment.11 7 When objected nothing do disturbance competency stand 55, responded dealt matters already explored reports. contended would Amendments during informed results used trial. 57-58. Not persuaded arguments, edited version report,12 observation "you can't argue status time commitment offense exclude evaluated reference status." 56. 8 guilty all and, pursuant procedure, determined sentence.13 each charge, sentences served consecutively. 76-77. accepted them run concurrently length longest term, life sentence, authorized charge. Hearing 4-5 (Sept. 14, 1982); § 532.110 (Supp.1986).14 charge jury.15 9 conviction sentences. (1985). Among things, rejected contention community. view, "death-qualified" "extra-ordinarily conviction-prone," 211; rather, "[a] death-qualified panel tends ensure those serve [will] willing able follow rather than own preconceived attitudes." 212. persons constitute "cognizable group" purposes analysis. 10 court, moreover, introduce cross-examination Elam. observed "opened DHR him." 213. irrelevant fact connection inquiry (as we observed, see n. 11, supra, misunderstood purpose examination). addition, concluded self-incrimination 359 (1981). reasoned remarks examiner incriminatory, whereas "[i]n case, contained inculpatory [petitioner] accusatory merely recited [petitioner's] outward appearance." S.W.2d, Alternatively, error, harmless, given confession overwhelming guilt. 11 nature involved, certiorari, 1140, 2245, (1986). II 12 Last Term, 137 (1986), Constitution does "prohibit removal cause, whose so prevent substantially impair performance duties sentencing trial." 165, S.Ct., 1760. particular, McCree's selected 178, 184, 1767, 1770. decision McCree instant fact, advances here many arguments identical expressly McCree.16 13 Court's reasoning requires rejection claim explained requirement applies venires, petit juries. 173, 1765. Accordingly, juries "reflect composition large." More importantly, pointed even applied established "Witherspoon-excludables" distinctive group purposes. 174, 14 reasons conclusion equally pertinent here. qualifying" arbitrarily single reason unrelated ability as, example, race gender. 174-175, 1765-1766. Rather, promote interest identification "create 'appearance unfairness,' " 176, 1766, Commonwealth's obtaining contain members unable respect particular issue Similar context imposing 15 Finally, emphasized oppose excludable cause. Those indicate temporarily personal beliefs deference rule jurors. Even "their basic citizenship," prevented serving criminal cases. Although, will barred participating trials required incremental restriction individuals constitutionally impermissible. 16 bar alter Thus, Amendment's here.17 B 17 analysis forecloses considered similar directed exclusion 179, 1768. impartial-jury demanded balancing different predilections view inconsistent understanding impartiality 'jurors conscientiously facts.' quoting Wainwright Witt, 469 412, 423, 105 844, 852, 83 841 juror viewpoints impractical require "that [jury] contains proper number Democrats Republicans, old persons, white-collar executives blue-collar laborers, on." U.S., 18 further State's decide proper, distinguished situations Witherspoon Illinois, 391 510, 88 1770, 20 776 (1968), Adams Texas, 448 38, 100 2521, 65 581 (1980), Illinois Texas "crossed line neutrality" striking venire member expressed scruple 179-180, 1768-1769, Witherspoon, 520, 1776. acknowledged possibility might benefit 'residual doubts' had. 181, 1769. much thought appropriate putting either burden testimony twice. deal "the special range discretion necessarily gave rise far greater concern effects 'imbalanced jury.' 182-183, traditionally circumscribed. 19 Although contends removed minimal comparison prejudice suffered convicted Brief 42, identified compelling. primary error characterization affecting opposed actual case—the demonstrated statutory provisions providing joinder offenses 4, has prosecutors authority proceed arises events. Underlying promoting reliability consistency judicial process, noncapital well. trials, obtains complete acts underlying separate trials. perspective, arrive reliably conclusions regarding innocence assign fairly respective responsibilities sentencing. ABA Standards Criminal Standard 13-2.2 (2d ed. 1980). perspective particularly significant where, charged arise chain victim, counts. Indeed, appears moving sever tactical fare better "triggerman" 21 bound up undergo presenting whom eligible position—that, prone likely mete harsher sentences, should case—were accepted, logic lead anomalous result: if, Stanford's offenses, according offense. Such result place intolerable administrative upon Commonwealth.18 22 capital-sentencing scheme scheme, recognized 182, 1768, coupled argues strongly favor permitting 23 Again, effect 'imbalanced' jury" "special sentencing," 1769, For, phase, channeled proceeding, limited specific review judge. nn. supra. control noncapital-sentencing worked well multiple charge.19 24 lacks persuasive McCree's. presupposes impartial, regardless mix individual actually represented long carry sworn duty case." Given presupposition III 25 precedent prosecutor's (1981), faced hearing psychiatrist, described Smith's severe sociopathic condition remedied treatment. 459-460, 1871. psychiatrist give examined judge, notified scope or, seemed, existence examination. 470-471, 15, 1876-1877, 15. offered insanity defense. 457, 1, 458, 1870, Under then-existing answered three questions affirmative, impose sentence. 457-458, 1870. One concerned future dangerousness, addressed. 26 We proceeding. noting applicable hearing, psychiatrist's prognosis dangerousness based simply defendant, detailed descriptions crime. 464, 9, 1873, our communications become testimonial nature. character testimony, consider "a routine restricted ensuring respondent understood capable assisting defense." 465, 1874. concluded: "When [at psychiatrist] went beyond reporting competence testified crucial respondent's role changed became essentially like agent State recounting unwarned postarrest custodial setting." 467, 1875. situation, failure administer before examination, warning Miranda Arizona, 384 436, 86 1602, 694 (1966). 27 recognized, however, "distinct circumstances" 466, 1874—the ordered, sua sponte, asserted thus situations, defense: 28 asserts introduces supporting silence means controverting proof interjected Courts Appeals circumstances, submit sanity conducted psychiatrist." 29 noted: "A initiates attempts compelled proceeding." 468, statement logically leads proposition: very least, requested. prosecution. United States Byers, 239 U.S.App.D.C. 8-10, 740 F.2d 1104, 1111-1113 (1984) (plurality opinion); Pope States, 372 710, 720 (CA8 1967) (en banc), vacated remanded grounds, 392 651, 2145, 1317 (1968). 30 Here procedure hospitalization. extreme disturbance. asked little letter custody Kentucky's Department Human Services. taking stand, excerpts report, charged.20 rebuttal violation. 31 violated. 469-471, 1876-1877. unclear 471, 1877, event, aware include dangerousness. 1877. received opportunity discuss scope. Here, contrast, Lange. assumed—and allegations contrary—that consulted 32 bring arguing although agreed idea, anticipate, undermine 48-49. Petitioner, misconceives focusing Amendment, consultation undoubtedly consultation, effective, must counsel's There information. To sure, effectiveness depend awareness uses proceeding put. certainly rebuttal.21 33 judgment 34 ordered. BRENNAN joins STEVENS I, dissenting. 35 dissented "death-qualifying" permissible. Today's extension permit qualification charges, compels me dissent again. No justified invasion potential answers totally exclusively tried. If chose nonetheless observe constitutional 36 second case: information qualifications treatment pending rights. admitted therapeutic undetermined today. legitimately not, requesting generating admissible offenses. His therefore uninformed constituted waiver 37 1764, today assumes accumulated scholarly studies demonstrate produces abnormally convict. Ante, 415, 16. assumption well-founded. "overwhelming" "substantially convict serious unalterable opponents punishment serve." 1771 (MARSHALL dissenting). 38 nevertheless Arkansas sufficient reject proposal 18, 1776, issues. justifications using avoid repetitive proceedings benefited "residual doubt" However, Arkansas' efficient management overvalued, justification untenable, option waive purported recognized. 205, 1781 (MARSHALL, Today invokes efficiency theories justify But extends charges. 39 relatively few among prosecutions, fewer subjected proceedings. additional costs implementing system alternate replace determination made, comparison. save resources death-qualifying every 204-205, 1781. attenuated McCree. cites "burden juries," ante, 418, presume magnitude burden. manner substantiated create burden.1 instance prosecuted alongside defendant. rarity belies cost empaneling extra jurors, overrides uncommonly prone. proposals, need taken once: qualified, sit simultaneously qualified alternates, hear preparation defendant.2 40 Nor assertion defensible. application variant theory is, best, speculative. record support suggestion "petitioner jury," responsibility relative commission culpability purposes, lingering doubts resulting favorable recommendation. best refusal allow waiving perceived benefit. dissenting).3 41 joint-trial aspect permits venture McCree: "promoting consistency" process. 418. proposals way endanger interests. Regarding between jointly, nondeath-qualified make reliable consistent findings, tainted proven conviction-prone That recommended would, nature, fully informed. A original now alternates replacing penalty, These well, apprised convictions returned. remains matter alternatives options equal exceed severity receive. danger punished severely suggested produce unreliable assessments 42 Death unfairly tilts scales justice unfair criteria entirely decided conceded, Oral Arg. 34, implicitly accepts, prohibited alone. Having chosen incumbent deprivation fate. justifies fortiori decision, others product "unseemly eagerness recognize strength enforcement expedient sacrifices interests." 462-463, 872, (1985) (BRENNAN, 43 relied 408-409, tended lack supported later acted, charged, "under influence disturbance." 507.020(1)(a) precluded disturbance, introduced contents arrested, addressing wholly alleged 44 accordance parties' request, assessed focus "one hour" interview "here now," killing occurred, seven months earlier. 72; 12. such, admitted. Yet significant: demonstrates fundamental distinction assessing then-present amenability acknowledges temporal difference, 423-424, 20, misses importance.4 45 statute governing designed assist mentally ill person currently "presents immediate threat self illness," "can reasonably treatment," "hospitalization least restrictive alternative mode presently available." 202A.070(5) (1977). Clearly, generate responsibility, takes meaning instead humanitarian concerns unimpeded establishment relations trust cooperation physician, Commonwealth, patient. full force attorney provision attained, examinations accurate treatments feel free fears content discussions examiner, examiner's impressions current status, trial.5 46 doubt possible, though believe unlikely, offer "involuntary" objections odds fulfillment statute's cannot assumed knew joining contrary, consent due regard serve. Our contrary reading today, 225, temporally functionally hold status. materially uninformed, Amendments, demand sensitive consideration today.6 47 respectfully dissent. brief, claims: (1) First jury; (2) protection jurors; (3) challenge "death-qualification" 32-39. claims Kentucky, addressed included petition certiorari. Rule 21.1(a). reach claims. Hill California, 401 797, 805-806, 91 1106, 1111, 484 (1971); Cardinale Louisiana, 394 437, 438, 89 1161, 1162, 398 (1969). pleaded accomplice liability, 1029 1982), exchange becoming Commonwealth. provided: "(1) when: (a) With person, causes third person; except shall subsection acted reasonable explanation excuse, reasonableness viewpoint circumstances believed be. preclude manslaughter degree crime; (b) manifesting indifference human life, wantonly engages creates grave risk thereby person. Murder offense." 507.020 (Supp.1977). Subparagraph amended 1984 minor Ky.Acts, ch. July 13, 1984. murder, first-degree robbery, sodomy. receiving stolen property, rape kidnaping. Rules Procedure (1986) provide 9.12 states part: "The indictments, informations, complaints uniform citations together (1), indictment, information, complaint citation. citation." 6.18, deals provides: "Two felonies misdemeanors, both, count offense, transactions connected constituting parts common plan." 6.20, concerning allows situation: participated act transaction series counts separately, count." 9.16 file severance ground unduly prejudicial. Rogers, 698 839 (Ky.1985). considerable severance. Wilson 695 854, 858 severance, apparently request. 27. point, regarded other, 28, ruling selecting denied. views "would 'prevent [their] [jurors] instructions oath.' 424, (1985), 45, 2526, (1980). remove guidelines refined Witt. For sake shorthand, "Witherspoon -excludables." Enmund, invalid, Eighth "who aids abets felony course committed kill, attempt intend take lethal employed." 3376. settled available elements: provoked, subjectively provocation. Gall 607 97, 108-109 (Ky.1980); Wellman 696, 697-698 production Gall, 109, showing illness, Wellman, 697. burglary May 1980, Resources Danville Youth Development Center. 40. 39-41. psychologist observations: "[Petitioner's] responses projective tests suggest isolated, mistrustful interpersonally deficient. reproductions Bender designs indicative Along test behavior flat affect, pattern suggest[s] mild disorder. manner. withdraw others, pushed, becomes hostile. "Recommendations: resentment placement Center appear militate success program." 62-63. recommendation, Northern Treatment Center, institution emotionally disturbed youths. 41. reads, "[Petitioner] quiet, withdrawn moderately depressed sixteen-year-old black youth. oriented place, thinking, extremely simplistic concrete. Impulse stress felt poor. seen sophisticated, dependent, immature, probably pretty disturbed, easily confused Short-term auditory visual memory skills impaired. [Petitioner] capacity insight. Judgment Interactions peers [sic] superficial guarded. defenses projection, denial, rationalization, isolation extensively. sophisticated delinquents interpersonal youths pawn used. figure drawings bizarre. Combined affect mood, suggestions cognitive disorder, developing blown schizophrenic mistrustful, suspicious, paranoid. ongoing extensive health intervention addition highly structured minimally stressful, point residential environment. "In presence unmet dependency needs, early sustained frustration, almost endeavor exists probability passivity withdrawal anger perhaps rage. dangerous persons. part history, needs eventual disposition." 65. 44-45. month noted report: "All motivate toward improvement unsuccessful." (read 46). Less weeks later, Oct. 10, official released "[a]lthough predict behavior, cope problems." 70 48). read: "As evaluation, youth manipulative, conning type behaviors. mature sophicated groups counselling." 55. confusion initially Supplemental Respondent (suggesting request), resulted Reply 28; provided hospitalization: "If physicians certify illness available, retained hospital transported retention." enable receive treatment, determine latter procedure. Ky.Rule Crim.Proc. 8.06 (1986); 504.090-504.110 (1985); B. Milward, Practice 35.01-35.05 (1983). motives awaiting 21. making 73. Perhaps, mistakenly labeled determining competent 210, 213 kept confidential sides determination. 10-11 (Dec. 1981). version, 58-59, referred stated: "At initiation interview, slightly apprehensive why there, soon allayed anxiety relaxed. Rapport good, eye contact adequate interactionally setting. especially hostile friendly, mainly tolerant cooperative. discussion focused now, since goal ascertain meeting 202a criteria, not. good reality contact, knowledge outside seemed functioning dull normal IQ range. Short term appeared intact. hallucinations delusions. Affects generally shallow, emphoria dysphoria. somewhat optimistic outcome changes suicidal ideation present, times angry certain people (staff) 'Center' hurting them. wasn't anxious restless initially, overall relaxed." 72-73. determines limits fixed statute. 9.84(1) 532.060 K. Brickley, Law 29.01 (1974); 49.01-49.03. provides acts, mitigating 532.055 (Supp.1986). Pursuant 532.070(1) reduce believes "unduly harsh." verdict previously presentence 532.050 controverted 29.02; 49.02. law, hearing. 532.025(1)(b) (Supp.1986); 49.12. fixes 532.025(1)(b). revisit social-science literature conclusively shows "conviction-prone," spends effort citing effect. 21-25. Most 169-170, 1762-1763, 5; 168-171, 1762-1764; repeated just "both methodologically valid 'death qualification' 'conviction-prone' 'non-death-qualified' 1764 (emphasis added), conclusion, address description qualification"—the race, sex, political party, age 31, 52—a record. treat detail proposes. 27-29. conflict reflects ambiguity exact relief seeks: wishes qualified" both. alluded oral argument, 44, (this "death-qualified") hand, alternative, 46, (not qualified") phase. guard partiality insofar attribute Whatever relief, basically abandon empanel decline suggests 27, prosecutorial action kind until granted, acquiescence, ultimate commencement dire. seek class cases aggravating factor present. 532.025(2)(a) crime extreme-emotional-disturbance 43, 68. Once necessary repeat 73, volunteered eliminated references. 58-59. what heard condition. doctor note reported thinking "hurting" staff facility, 72, reinforced comments See, e.g., ("Thus, circumstance, persons"). sum, except, course, performed time. allowed, reluctant clients one, "sandbag" raising post-trial 42. requiring condition, Pate Robinson, 383 375, 836, 815 (1966), undermined foresee tactics curious prediction solution. Where issue, mandate allowed consult remain silent. advice warnings, expresses desire refuse answer questions, still "upon purpose." fail how Pate. places relies examinations, expect conceivable harmless above, 8, provocation illness. demonstrated. 40; proceedings, "for cause," 532.080(1) enhanced persistent offenders exaggerated. bolster perception burden, describes "anomalous result" inexorably obtain indicating required. 419. disagree. presented, my 203-206, 1781-1782, empaneled, occur reached Separate were, altogether incidence occur. accept invocation unmeasured, record, precludes inference somehow assessment flatly ignored closing asking instruction intentional convicted, conspiracy. 1336 74-75. offense—murder, rape, sodomy—was unusual step directing initiative 1347-1348 75. emphasizes 20. types "similar nature," produced "performed" times. relevant distinctions focuses themselves. free, compel specifically inquiring issue. 1874, notice, bears Though essential resolution exploited protected procedures manufacture insistence supervision system. committed, preventing self-serving origin. legally inheres 378, 838, implicates principles requirements correctly points out, differ, 411, 2918, share integrity clinical envisioned creation maintenance cooperative possible. Therefore, relying 425,

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