Document: 472 U.S. 372 105 S.Ct. 2727 86 L.Ed.2d 300 Brian Keith BALDWIN, Petitioner,v.ALABAMA. No. 84-5743. Argued March 27, 1985. Decided June 17, Syllabus Alabama's 1975 Death Penalty Act (later repealed) required a jury that convicted defendant of any one number specified aggravated crimes to "fix the punishment at death." However, "sentence" fixed by was not dispositive, because provided "[n]otwithstanding fixing death jury, court, after weighing aggravating and mitigating circumstances" brought out sentencing hearing, could refuse accept penalty and, instead, impose life sentence, or, such circumstances, "and jury," sentence death. Petitioner under capital offense, jury's verdict his After conducting hearing judge accepted as jury. The Alabama Supreme Court ultimately affirmed conviction rejecting petitioner's contention facially unconstitutional. court held even though had no discretion regarding it would impose, procedure saved fact trial who true authority, he considered circumstances before imposing sentence. Held: requirement return along with its guilty did render unconstitutional imposed independently considering background character crime. Pp. 379-389. (a) Although scheme have been if mandatory were there is merit judge's consider, accord some deference to, "sentence." While Act's language expressly preclude, might seem authorized, consideration in determining whether appropriate, appellate courts interpreted mean without regard Moreover, clear here interpret statute requiring him consider "sentence," never described factor deliberations. 382-386. (b) Nor decision must swayed returned Beck v. Alabama, 447 625, 100 2382, 65 392 distinguished. knew determination appropriate within province, evidence mitigation arriving 386-389. 456 So.2d 129 (Ala.1984), affirmed. John L. Carroll, Montgomery, Ala., for petitioner. Edward Earl Carnes, respondent. Justice BLACKMUN delivered opinion Court. 1 Between 1976 1981, an "with aggravation" Ala.Code § 13-11-2(a) (1975).1 however, dispositive. Instead, 13-11-4, then hear those or imprisonment parole. 2 This case concerns constitutionality peculiar unusual "shall fix death," actual authority.2 United States Appeals Eleventh Circuit ruled Ritter Smith, 726 F.2d 1505, 1515-1517, cert. denied, 469 869, 218, 83 148 (1984). Shortly thereafter, two dissenting votes, contrary present case. Ex parte Baldwin, 129, 138-139 We granted certiorari resolve this significant conflict. 1085, 589, 699 3 * A. 4 facts are sordid, but brief recital them be made. 18 years age, escaped from North Carolina prison camp on Saturday, 12, 1977. That evening, fellow escapee, Horsley, came upon 16-year-old Naomi Rolon, having trouble her automobile. forcibly took over car drove Charlotte, N.C. There, both men attempted rape her, petitioner sodomized choke They ran car, locked trunk, left while they through Georgia Alabama. Twice, when heard young woman cry out, stopped opened stabbed repeatedly. On Monday afternoon, stole pickup truck, vehicles secluded spot, again using run victim, cut throat hatchet. She died 40-hour ordeal. 5 apprehended following day driving stolen truck. He charged theft. custody, confessed victim's murder led police body. indicted "robbery . victim intentionally killed," 13-11-2(a)(2), tried Monroe County. At close guilt innocence, instructed found guilty, "the Legislature State has said situation [in] which electrocution," Tr. 244-245, therefore Id., 242. terms statute, robbery circumstance killing form stated: "We, Jury, find indictment electrocution." App. 4. B 6 Under Act, once 14 offenses, see (1975), obligated hold hearing: 7 "[T]he shall thereupon aid determine will In may presented matter deems relevant include matters relating enumerated sections 13-11-6 13-11-7." 13-11-3. 8 parole: 9 "Notwithstanding parole, served parole; accordingly 13-11-4. 10 If set forth writing factual findings including formed basis Ibid. judgment subject automatic review Criminal Appeals, affirmed, §§ 13-11-5, 12-22-150; Ala.Rules App.Proc. 39(c). See State, 396 645, 664 (Ala.1981); Evans Britton, F.Supp. 707, 713-714, 723-724 (SD Ala.1979), rev'd other grounds, 628 400 (CA5 1980), 639 221 (1981), sub nom. Hopper Evans, 605, 102 2049, 72 367 (1982). C 11 Following conviction, reintroduced submitted trial, introduced juvenile adult criminal records, well Horsley's statement stand testified "a hard time growing up"; home age 13 father like come late night; dropped school ninth grade; made living "street hustling"; arrested approximately 30 times; drug addict. 8-10. conclusion testimony, 12 "Brian today you tell whatever your mind ., now anything feel helpful position yourself in. I want give every opportunity world know about. Anything can Judge help position." 12. complained about various aspects concluded: "I ain't saying I'm down here. That's all got say." 13. stated "having hearing," id., 17-18, circumstances: offense committed escaped; previously pleaded felony involving use violence person; committing flight robbery; especially heinous, atrocious, cruel.3 age—18 crime—was only circumstance. 18. 15 "The far outweigh should hereby accepted." 16 eventually (1984).4 argument contended invalid. Tracking reasoning F.2d, 1516-1517, argued unguided, standardless, reflected particular crime, based part impermissible infected it. rejected arguments, holding So.2d, 139.5 II 17 indeed dispositive principles announced Woodson Carolina, 428 280, 96 2978, 49 944 (1976) (plurality opinion), Roberts (Stanislaus) Louisiana, 325, 3001, 974 opinion). also (Harry) 431 633, 97 1993, 52 637 (1977). Woodson, Carolina's scheme, broad category homicidal violated Eighth Fourteenth Amendments three respects. First, schemes offend contemporary standards decency, evidenced frequency jurors avoid imposition sentences disregarding their oaths refusing convict, consistent movement Congress away schemes. U.S., 288-301, S.Ct., 2983-2989. Second, convict defendants think do deserve penalty, juries exercise unguided unchecked sentenced 302-303, 2990-2991. Third, fail allow particularized record offense. 303-305, 2990-2992. wide range homicides, standing alone, suffer each defects. does alone scheme. above, thereafter conducts separate receive determines circumstances. guided finds serves define crime—in homicide place during commission robbery—and definitional circumstance, plus circumstance,6 outweighs statutory nonstatutory argue 13-11-4 "suitably directed limited so minimize risk wholly arbitrary capricious action," Gregg Georgia, 153, 189, 2909, 2932, 859 (opinion Stewart, POWELL, STEVENS, JJ.). issue type individualized factors" constitutionally indispensable cases.7 Lockett Ohio, 438 586, 606, 98 2954, 2965, 57 973 (1978) opinion); Eddings Oklahoma, 455 104, 71 (1982); 304, 2991 19 Petitioner's challenge rests instead provision allows weigh jury" "factors totally irrelevant process, example race, religion, political affiliation defendant," violate Constitution. Zant Stephens, 462 862, 885, 103 2733, 2747, 77 235 (1983). Relying Zant, contends that, appears require, process. conceivably actually recommendation believed cf. Proffitt Florida, 242, 2960, 913 (1976), fashion, courts' construction statements process arrived definitely indicates. 20 sure, many words preclude appropriate. first clause section—"the parole"—does authorize require penalty. second clause—"or death"—does It authorized indicated rejected, ignore count factor, similar favor look supra; Jurek Texas, 262, 272-273, 2950, 2956-2957, 929 21 function innocence. authority." Jacobs 361 607, 631 (1977), aff'd, 640 (Ala.1978), 439 1122, 99 1034, 59 (1979). Indeed, gone state: 22 "No exists until pronouncement hearing. reason cannot commuting but, truth fact, accused finding guilt." 365 985, 1005, 1006 (1980). 23 further role follows: 24 most important critical stages law. stage passed. Now experienced surrounding offender die reviewed leading up culminating court's fact." Richardson 376 205, 224 (1978), 228 (Ala.1979). 25 Conspicuously absent description duty mention according weight 26 agrees authority Alabama," reviewer sentencer: 27 "In body finally murderers not. mandatorily requires 'hold parole,' specifically provides 'sentence' Code Ala.1975, section imposes 'sentence death' forth, writing, sentence." 644 (emphasis original; footnote omitted). 28 429 928, 935-936 (Ala.1983); 659. 29 case, moreover, verdict, informed petitioner: "Let me say this: crime electrocution law state additional extenuating concerning " added). 249. 31 addition, 32 accepted" 33 None these indicates added, add, scale appropriateness entitled presumption correctness. judge, course, system signified, mandatory, reflect logically, therefore, thought owed petitioner.8 III 34 contends, nevertheless, points Court's 2393, (1980), expressed skepticism influence judge. precluded lesser included noncapital offenses. reasoned due where choices death, acquit him, supported factfinding tainted considerations. hand, reasoned, unavailability option convicting encourage believes serious punished. apparently nature option, warranted evidence, thus "introduce[s] level uncertainty unreliability into tolerated case." 642-643, 2392. 35 holding, erroneously defendant, sentencer ensure improperly reasoned: 36 "[I]t manifest tendency motivate same did. statistics State's Attorney General, fair infer ordinarily followed aggravation we unwilling presume post-trial always correct mistakes occurred performance function." 645-646, 2393-2394 (footnote 37 concern inclined influenced To "correct" erroneous inappropriate punishment, outweighed proved beyond reasonable doubt. Obviously, basing belief properly province 38 follow, merely knows means crime—that is, intentional course conveys nothing more than read conjunction provisions making convey. defies logic assume little meaning. Despite misdescribed label, 39 argues "blurs" cause arbitrarily nullify acquitting guidance, undeserving stems plurality noted American "persistently" refused portion" first-degree order death-penalty statutes, power lead "wanton" "arbitrary" troubled Furman. 2990, 2991. resulted arbitrariness. Juries deliberating act cases; indeed, 50 effect acquitted. 641, n. 18, 2392, Thus, specter prone acquit, thereby benefiting acquitted, unconstitutionally arbitrary. IV 40 wisdom phraseology curious surely open question, abandonment 1981 perhaps indicates.9 clear, "we right way capital-sentencing scheme." Spaziano 468 447, 464, 104 3154, 3164, 82 340 884, 2747; 195, 2935 unusual, 41 42 ordered. 43 Chief BURGER, concurring judgment. 44 seems evades constitutional presented, ante, 386, 8, resolves inconsistent appear (c) asserted arguments states: 45 (1975) 46 language, particularly italicized portions, clearly contemplates "fixing death" But opinion, ambiguous cases decided 383. Even point, ambiguity one, 47 Given import difficult depart equally court. Throughout discussion law, simply draws inferences omissions. No holds affirmatively "sentence."* passages quoted Court, 383-385, establish authority. proposition 48 support quotes 'the [§ 13-11-4] balance deciding penalty.' 138 (Ala.1984) (quoting 1516 (CA11 1984)); accord, 141 (Jones, J., part). refute statute; upheld grounds binding propensities offender. There inconsistency between factors. suggests, expect otherwise thorough view According petitioner, "very flaw kills statute" "as process." Brief face contention, "[t]he 'sentence,' 383 added), mentioned decide imposed. my passes muster. 51 limits offenses murders statutorily Because already includes definition reflects defined Kyzer, 399 330, 338 (Ala.1981), makes complete sense take account issue. BRENNAN, dissenting. 53 adhere cruel prohibited Amendments, 227, (BRENNAN, dissenting), vacate Baldwin's event. otherwise, pursuant reasons STEVENS' dissent, join. 54 whom BRENNAN MARSHALL join, 55 unique provision, since repealed, Baldwin [his] (1975). permitted either "refuse accept" "after jury." 56 467, 3166, (1984), explained length why spokesman community, plays offense.1 valid unless sanction view, "misdescribed" infect subsequent "accept" Ante, 388. As demonstrates, patently uphold 379-380. elected against balanced burden kind life. 58 One condemned past unintelligible. When convicts assurance represents "just 2991, For proper instructions, doubt; willing sworn oath automatic. 642, 644, Of automatic, believe die.2 intend consequent sense, "no guidance whatsoever," 640, 2391, "particularized consideration" factors Constitution cases. supra, 303, 2990; 333-336, 3006-3007, Thus represent sort community approved past. 271-275, 2956-2958, JJ.); Witherspoon Illinois, 391 510, 519, 88 1770, 1775, 776 (1968).3 "uncertai[n] unreliab[le]" "cannot Beck, 643, arbitrariness message conveyed Rather representing information bar, best worst unwillingness violent free discretion. possibly what meaning, any, conveys, "totally aside. 60 plainly was, 1977.4 scheduled electrocution, "all circumstances." Record 249 His reference rather "accept[ing]" Theoretical speculation "logically" concluded 385, insufficient overcome obvious demonstrated repeated references how weighed deliberations, careful parsing "conside[r]" all. 61 unrealistic maintain enter examined 1980, seven Justices agreed "it did." 2393. Today, changed maintains "[i]t penalty" mandatory. easily change appraisal human nature. Judges States, elected. Ala. Const., Amdt. 328, 6.13. insulated pressure; responsiveness accountability provide justification judiciary.5 understand meaningless (but 2, supra ), probably A likely reported understood real case.6 62 Whether need not, 388, plain later decides publicly perceived sentence; itself embody perception. pressures inevitably result ignored.7 distance realities bench explain declaration considers "refuse" 63 views receiving advisory fully (1976). mandatory—as here—it "appropriate" full providing arguably community's misleading best, decision.8 64 repealed unlikely ever replicated. Nevertheless, persons remain executed command. extreme uniquely irreversible expression societal condemnation, continue vital importance be, caprice emotion." Gardner 430 349, 358, 1197, 1204, 393 (1977) J.) added); Barefoot Estelle, 463 880, 938, 3383, 3417, 1090 (1983) (BLACKMUN, dissenting). mislead public complicate task confusing signals pressures. prohibits influences cases, respectfully dissent. originating Acts, 213, effective 7, 1976. 213 enacted response Furman 408 238, 92 2726, 346 (1972), revised statutes. Chapter Title Code, stood, entirety replaced new 81-178, July 1, 1981. repeal moot 1977 effect. 20, codified Ala.Code, 13A-5-57 Our own research disclosed currently make decision. herein, longer requirement. found, adjudged delinquent proceedings being kidnaping rape. delinquency adjudication harmless error. 117, 125-128 (1983), (Ala.1984). raised petition here, initially 448 903, 3043, 1133 vacated remanded reconsideration light remand, reversed Beck. 405 (1981). instruction (1982), rehearing, rescinded earlier reversal, reaffirmed 117 decision, review. text, 12-22-150, affirms Ala.Rule Both "review judge" 647 (Ala.1978) (Torbert, C.J., part), (1979); (Ala.1981). reviewing neither gave indication weighing. describing "We relative error reaching fits crime." 32. Upon reaffirming obligation 128. "aggravating greatly 140. 13-11-6. presence (in words, agree indictment) 330 Generally, counterparts Where counterpart, imposed, 337. facts, asserts 13-11-7, violation addressed review, certiorari. note, "was given circumstance" supplied), aspect asked "tell in." counsel times "anything else able point?" 10-11. Finally, offer 14. express structure decisions 13-11-2(a), 'shall [is construed] permissive takes together propensity offender, procedures original). 660. trifurcated proceeding returns hears mitigation. issues another 13A-5-39 13A-5-59 385-386. "Because prescribed rule judges normally rules, outrage—its individual lost moral entitlement live—I am convinced danger excessive avoided single governmental official. history current consensus better equipped decisions. basic explanation lies question answered decisionmaker 'express conscience ultimate death.' 519 [88 776] (1968) omitted)." 468-470, 3166-3168 (footnotes '[M]ost, all, point our abhor setting establishes knowing. .' quoting 652 (Shores, told conviction. ("This electrocution. offenses"). 237-247, 298-303; 639, 15, 2390, 15. indictment, necessarily "conveys guilty." unavoidable creates difficulties. Jones relied slightly different nonconstitutional dissent affirmance sentence: [the result] overlooks gives guidelines administering [Alabama] meet federal muster omitted altogether (assuming, prescribes bifurcated judge). omitted. "Obviously, legislature, retaining two-step intended final benefit input 'recommendation' legislative will—as requisite—is thwarted legally bound 'recommend' penalty." 141-142 (1984) part) Cf. 112-114, 875-877, (1982) (considering application Oklahoma law). See, e.g., P. Dubois, From Ballot Bench: Judicial Elections Quest Accountability 3, 29, 145 (1980); Sheldon & Lovrich, vs. Responsibility: Balancing Views Voters Judges, Judicature 470, 471 rendered major newspapers "[Baldwin] gets Birmingham News, Aug. 10, 1977, p. Gets Penalty," Montgomery Advertiser, approvingly 22, noting judge," "[T]o leave reduction prerogative undue office. Again, admittedly, often bulwark legal unpopular causes adverse opinion. recent history, outcry unjustified criticism attendant possibility Clearly, pressure constitutes compulsion conform 650-651. 475, 14, 3170, (STEVENS, dissenting) ("if recommends Florida sensitive sentiment follow recommendation"); 568 1499, 1521 Ala.1983) (the identical claim "appears substantial. combined inclusion formula respect public, prejudice case"). really procedural mechanism legislature presumptively proved. Aside implausibility choosing clumsy achieve suggested end pendente lite interpretation. legislature's somewhat (1972). 934 (Ala.1983). purpose save invalidation, inherent means. acquittal, whim "unguided discretion" 302, JJ.), removed theory.

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