OCTOBER TERM, 1996
Syllabus
O'DELL
v. NETHERLAND, WARDEN, ET AL.
CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE FOURTH
CIRCUIT
No. 96-6867. Argued March 18, 1997-Decided June 19, 1997
At the penalty phase of petitioner's state trial on capital
murder, rape, and sodomy charges, evidence was presented that he
had been convicted of a host of other offenses-including the
kidnaping and assault of another woman while he was on parole and
the murder of a fellow prisoner during a previous prison stint. The
court denied his request for a jury instruction that he was
ineligible for parole if sentenced to life in prison. The jury
determined that petitioner presented a future danger, and he was
sentenced to death. In subsequently granting federal habeas relief,
the District Court concluded that this Court's intervening decision
in
Simmons v.
South Carolina, 512 U. S. 154-which
requires that a capital defendant be permitted to inform his
sentencing jury that he is parole ineligible if the prosecution
argues his future dangerousnesswas not a "new" rule within the
meaning of
Teague v.
Lane, 489 U. S. 288, and thus
entitled petitioner to resentencing. The Fourth Circuit
reversed.
Held: Simmons' rule was new and cannot, therefore, be
used to disturb petitioner's death sentence. Pp. 156-168.
(a) Under
Teague, this Court will not disturb a final
state conviction or sentence unless it can be said that, at the
time the conviction or sentence became final, a state court would
have acted objectively unreasonably by not extending the relief
later sought in federal court.
Teague requires a federal
habeas court to determine the date on which the conviction became
final; to consider whether a state court considering the
defendant's claim at the time it became final would have felt
compelled by existing precedent to conclude that the rule he seeks
was required by the Constitution; and if not, to determine whether
that new rule nonetheless falls within one of two narrow exceptions
to the
Teague doctrine.
Lambrix v.
Singletary,
520 U. S. 518,
527. Pp. 156-157.
(b) Petitioner's conviction became final in 1988 and
Simmons was decided in 1994.
Simmons is an unlikely
candidate for "old-rule" status. There was no opinion for the Court
in
Simmons, and the array of views expressed there suggests
that the rule announced was, in light of this Court's precedent,
"susceptible to debate among reasonable minds."
Butler v.
McKellar, 494
U. S. 407, 415. An assessment of the legal land-
152
Syllabus
scape existing at the time petitioner's conviction and sentence
became final bolsters this conclusion. Contrary to petitioner's
position, the result in
Simmons did not follow ineluctably
from the decisions in
Gardner v.
Florida, 430 U. S. 349, and
Skipper v.
South Carolina, 476 U. S. 1. The seven
opinions in
Gardner produced a narrow holding that a death
penalty procedure permitting consideration of secret information
relevant to the offender's character and record-there a presentence
report not provided to the defendant-violates the Eighth Amendment.
Petitioner points to no secret evidence in his case. And the
evidence he sought to present to the jury was not historical
evidence about his character and record but evidence concerning
what might happen, under then-extant law, after a sentence was
imposed. In
Skipper, too, it was evidence of past behavior
that the defendant was unconstitutionally prevented from adducing.
The distinction between information concerning state postsentencing
law and evidence specifically related to the defendant was also at
the heart of two other cases in 1988's complex legal landscape. In
California v.
Ramos, 463 U. S. 992, the Court
concluded that California had reasonably chosen to provide some,
limited, postsentence information to the capital sentencing jury,
namely, the possibility of pardon. But the Court emphasized that
this conclusion did not override the choices of other States
not to permit their juries to be informed of postsentencing
proceedings, including parole. The general proposition that the
States retained the prerogative to determine how much (if at all)
juries would be informed about the postsentencing legal regime was
given further credence in
Caldwell v.
Mississippi,
472 U. S. 320.
The Court determined there that the prosecution and judge had
improperly left the jury with the impression that a death sentence
was not final because it would be extensively reviewed, with a
plurality concluding that,
Ramos notwithstanding, sentencing
juries were
never to be given information about
postsentencing appellate proceedings, and JusTICE O'CONNOR
concluding that such information-if
accurate----could be
provided. In light of these cases, it would hardly have been
unreasonable for a jurist in 1988 to conclude that his State had
acted constitutionally by choosing not to advise its jurors as to
events that would (or would not) follow their death sentence
recommendation. Accordingly,
Simmons announced a new rule
that may not be applied here unless it falls within a
Teague
exception. pp. 157-166.
(c)
Simmons' narrow right of rebuttal is not a watershed
rule of criminal procedure implicating the fundamental fairness and
accuracy of the criminal proceeding under the second exception to
Teague. Gideon v.
Wainwright, 372 U. S. 335,
distinguished. P. 167.
95 F.3d
1214, affirmed.
153
THOMAS, J., delivered the opinion of the Court, in which
REHNQUIST, C. J., and O'CONNOR, SCALIA, and KENNEDY, JJ., joined.
STEVENS, J., filed a dissenting opinion, in which SOUTER, GINSBURG,
and BREYER, JJ., joined,
post, p. 168.
Robert S.
Smith, by appointment of the Court, 520
U. S. 1114, argued the cause for petitioner. With him on the briefs
were
Alan Effron and
Michele J.
Brace.
Katherine P. Baldwin, Assistant Attorney General of
Virginia, argued the cause for respondents. With her on the brief
were
James S.
Gilmore III, Attorney General, and
David E. Anderson, Chief Deputy Attorney General.
JUSTICE THOMAS delivered the opinion of the Court.
This case presents the question whether the rule set out in
Simmons v.
South Carolina, 512 U. S. 154
(1994)-which requires that a capital defendant be permitted to
inform his sentencing jury that he is parole ineligible if the
prosecution argues that he presents a future danger-was "new"
within the meaning of
Teague v.
Lane, 489 U. S. 288 (1989), and
thereby inapplicable to an already final death sentence. We
conclude that it was new, and that it cannot, therefore, be used to
disturb petitioner's death sentence, which had been final for six
years when
Simmons was decided.
I
Helen Schartner was last seen alive late in the evening of
February 5, 1985, leaving the County Line Lounge in Virginia Beach,
Virginia. Her lifeless body was discovered the next day, in a muddy
field across a highway from the lounge. Schartner's head had been
laid open by several blows with the barrel of a handgun, and she
had been strangled with such violence that bones in her neck were
broken and finger imprints were left on her skin. An abundance of
physical evidence linked petitioner to the crime scene and
crimeamong other things, tire tracks near Schartner's body were
consistent with petitioner's car, and bodily fluids recovered
154
from Schartner's body matched petitioner. He was indicted on
counts of capital murder, rape, sodomy, and abduction (which count
was later dismissed).
After a jury trial, petitioner was found guilty on the murder,
rape, and sodomy counts. During the subsequent sentencing hearing,
the prosecution sought to establish two aggravating factors: that
petitioner presented a future danger, and that the murder had been
"wanton, vile or inhuman." Evidence was presented that, prior to
Schartner's murder, petitioner had been convicted of a host of
other offenses, including the kidnaping and assault of another
woman while he was on parole, and the murder of a fellow inmate
during an earlier prison stint. Petitioner sought a jury
instruction explaining that he was not eligible for parole if
sentenced to life in prison. The trial judge denied petitioner's
request. After the sentencing hearing, the jury found beyond a
reasonable doubt that petitioner "would constitute a continuous
serious threat to society" and that "his conduct in committing the
offense was outrageously wanton, vile or inhuman." 46 Record 208.
The jury recommended that petitioner be sentenced to death.1 The
trial judge adopted the jury's recommendation and sentenced
petitioner to 40 years' imprisonment each for the rape and sodomy
convictions, and to death by electrocution for Schartner's murder.
Petitioner appealed to the Supreme Court of Virginia, which
affirmed both the conviction and the sentence.
O'Dell v.
Commonwealth, 234 Va. 672, 364 S. E. 2d 491 (1988). We
denied certiorari.
O'Dell v.
Virginia, 488 U. S. 871
(1988). Petitioner's efforts at state habeas relief were
unsuccessful, and we again denied certiorari.
O'Dell v.
Thompson, 502 U. S. 995 (1991).
1 The Virginia Supreme Court concluded that the jury's
recommendation of a death sentence was based only on the first
aggravating factor-petitioner's future dangerousness.
O'Dell
v.
Commonwealth, 234 Va. 672, 706, 364 S. E. 2d 491, 510
(1988). Only that aggravating factor is before us.
155
Petitioner then filed a federal habeas claim. He contended,
inter alia, that newly obtained DNA evidence established
that he was actually innocent, and that his death sentence was
faulty because he had been prevented from informing the jury of his
ineligibility for parole. The District Court rejected petitioner's
claim of innocence.
O'Dell v.
Thompson, Civ. Action
No. 3:92CV480 (ED Va., Sept. 6, 1994), App. 171-172. But it agreed
with petitioner that he was entitled to resentencing under the
intervening decision in
Simmons v.
South Carolina,
supra. The District Court described
Simmons as holding
that "where the defendant's future dangerousness is at issue, and
state law prohibits the defendant's release on parole, the Due
Process Clause of the Fourteenth Amendment requires that the
sentencing jury be informed that the defendant is not eligible for
parole." App. 198. The court concluded that the
Simmons rule
was not new and thus was available to petitioner. Because the
prosecutor "obviously used O'Dell's prior releases on
crossexamination, and in his closing argument, to argue that the
defendant presented a future danger to society," App. 201
(citations omitted), the District Court held that petitioner was
entitled to be resentenced if it could be demonstrated that he was
in fact ineligible for parole.
A divided en banc Court of Appeals for the Fourth Circuit
reversed.
95 F.3d
1214 (1996). After an exhaustive review of our precedents, the
Court of Appeals majority determined that
"Simmons was the
paradigmatic 'new rule,'"
id., at 1218, and, as such, could
not aid petitioner. The Fourth Circuit was closely divided as to
whether
Simmons set forth a new rule, but every member of
the court agreed that petitioner's "claim of actual innocence [was]
not even colorable." 95 F. 3d, at 1218; see also id., at 1255-1256
(Ervin, J., concurring in part and dissenting in part). We declined
review on petitioner's claim of actual innocence, but granted
certiorari to determine whether the rule of
Simmons was new.
519
156
u. S. 1050 (1996); see also
ibid. (SCALIA, J., respecting
the grant of certiorari).
II
Before a state prisoner may upset his state conviction or
sentence on federal collateral review, he must demonstrate as a
threshold matter that the court-made rule of which he seeks the
benefit is not "new." We have stated variously the formula for
determining when a rule is new. See,
e. g.,
Graham v.
Collins, 506
U. S. 461, 467 (1993) ("A holding constitutes a 'new rule'
within the meaning of
Teague if it 'breaks new ground,'
'imposes a new obligation on the States or the Federal Government,'
or was not
'dictated by precedent existing at the time the
defendant's conviction became final''') (quoting
Teague, 489
U. S., at 301) (emphasis in original). At bottom, however, the
Teague doctrine "validates reasonable, good-faith
interpretations of existing precedents made by state courts even
though they are shown to be contrary to later decisions."
Butler v.
McKellar, 494 U. S. 407, 414 (1990)
(citation omitted). "Reasonableness, in this as in many other
contexts, is an objective standard."
Stringer v.
Black, 503 U.
S. 222, 237 (1992). Accordingly, we will not disturb a final
state conviction or sentence unless it can be said that a state
court, at the time the conviction or sentence became final, would
have acted objectively unreasonably by not extending the relief
later sought in federal court.
The
Teague inquiry is conducted in three steps. First,
the date on which the defendant's conviction became final is
determined.
Lambrix v.
Singletary, 520 U. S. 518, 527
(1997). Next, the habeas court considers whether" 'a state court
considering [the defendant's] claim at the time his conviction
became final would have felt compelled by existing precedent to
conclude that the rule [he] seeks was required by the
Constitution.'"
Ibid. (quoting
Saffle v.
Parks, 494 U.
S. 484, 488 (1990)) (alterations in
Lambrix). If not,
then the rule is new. If the rule is determined to be new, the
final step in the
Teague analysis requires the court to
determine whether
157
the rule nonetheless falls within one of the two narrow
exceptions to the
Teague doctrine. 520 U. S., at 527. The
first, limited exception is for new rules "forbidding criminal
punishment of certain primary conduct [and] rules prohibiting a
certain category of punishment for a class of defendants because of
their status or offense."
Penry v.
Lynaugh, 492 U. S. 302, 330
(1989). The second, even more circumscribed, exception permits
retroactive application of "watershed rules of criminal procedure
implicating the fundamental fairness and accuracy of the criminal
proceeding."
Graham, supra, at 478 (quoting
Teague,
supra, at 311) (internal quotation marks omitted). "Whatever
the precise scope of this [second] exception, it is clearly meant
to apply only to a small core of rules requiring observance of
those procedures that ... are implicit in the concept of ordered
liberty."
Graham, supra, at 478 (internal quotation marks
omitted).
III
Petitioner's conviction became final on October 3, 1988, when we
declined to review the Virginia Supreme Court's decision affirming
his sentence on direct review.
Simmons, the rule of which
petitioner now seeks to avail himself, was decided in 1994.
In
Simmons, the defendant had been found guilty of
capital murder for the brutal killing of an elderly woman. The
defendant had also assaulted other elderly women, resulting in
convictions that rendered him-at least as of the time he was
sentenced-ineligible for parole. Prosecutors in South Carolina are
permitted to argue to sentencing juries that defendants' future
dangerousness is an appropriate consideration in determining
whether to affix a sentence of death. 512 U. S., at 162-163
(plurality opinion). Simmons sought to rebut the prosecution's
"generalized argument of future dangerousness" by presenting the
jury with evidence that "his dangerousness was limited to elderly
women," none of whom he was likely to encounter in prison.
Id., at 157.
158
Simmons' efforts to shore up this argument by demonstrating to
the jury that, under South Carolina law, he was ineligible for
parole were rebuffed by the trial court. This Court reversed the
judgment of the South Carolina Supreme Court upholding Simmons'
death sentence. A plurality of the Court noted that a prosecutor's
future dangerousness argument will "necessarily [be] undercut" by
"the fact that the alternative sentence to death is life without
parole."
Id., at 169. The plurality, relying on
Gardner v.
Florida, 430 U. S. 349 (1977), and
Skipper v.
South Carolina, 476 U. S. 1 (1986),
concluded that "[b]ecause truthful information of parole
ineligibility allows the defendant to 'deny or explain' the showing
of future dangerousness, due process plainly requires that he be
allowed to bring it to the jury's attention." 512 U. S., at
169.
JUSTICE O'CONNOR, joined by THE CHIEF JUSTICE and JUSTICE
KENNEDY, concurred in the judgment, providing the dispositive votes
necessary to sustain it. The concurrence recognized:
"[The Court has] previously noted with approval ... that '[m]any
state courts have held it improper for the jury to consider or to
be informed-through argument or instruction-of the possibility of
commutation, pardon, or parole.' California v. Ramos,
463 U. S. [992, 1013, n. 30 (1983)]. The decision whether or not to
inform the jury of the possibility of early release is generally
left to the States." Id., at 176.
The concurrence also distinguished
Skipper, noting that
Skipper involved an attempt to introduce "factual evidence"
regarding the defendant himself, while Simmons "sought to rely on
the operation of South Carolina's sentencing law" to demonstrate
that he did not present a future danger. 512 U. S., at 176. But the
concurrence nonetheless concluded that, "[w]hen the State seeks to
show the defendant's future
159
dangerousness," the defendant "should be allowed to bring his
parole ineligibility to the jury's attention."
Id., at
177.
Petitioner asserts that the
Simmons rule covers his case,
and that because he was parole ineligible-but not allowed to relay
that information to the jury in order to rebut the prosecutor's
argument as to his future dangerousness-Sim
mons requires
vacatur of his sentence. Before we can decide whether petitioner's
claim falls within the scope of
Simmons, we must determine
whether the rule of
Simmons was new for
Teague
purposes, and, if so, whether that rule falls within one of the two
exceptions to
Teague's bar.
A
We observe, at the outset, that
Simmons is an unlikely
candidate for "old-rule" status. As noted above, there was no
opinion for the Court. Rather, Justice Blackmun's plurality
opinion, for four Members, concluded that the Due Process Clause
required allowing the defendant to inform the jury-through argument
or instruction-of his parole ineligibility in the face of a
prosecution's future dangerousness argument. 512 U. S., at 168-169.
Two Members of the plurality, JUSTICE SOUTER and JUSTICE STEVENS,
would have further held that the Eighth Amendment mandated that the
trial court instruct the jury on a capital defendant's parole
ineligibility even if future dangerousness was not at issue.
Id., at 172-174 (SOUTER, J., concurring). JUSTICE GINSBURG,
also a Member of the plurality, wrote a concurrence grounded in the
Due Process Clause.
Id., at 174-175. THE CHIEF JUSTICE and
JUSTICE KENNEDY joined JUSTICE O'CONNOR'S decisive opinion
concurring in the judgment, as described above.
Id., at
175-178. And, two Justices dissented, arguing that the result did
not "fit" the Court's precedents and that it was not, in any case,
required by the Constitution.
Id., at 180, 185 (opinion of
SCALIA, J., joined by THOMAS, J.). The array of views expressed in
Simmons itself suggests that the rule announced there was,
in light of
160
this Court's precedent, "susceptible to debate among reasonable
minds."
Butler, 494 U. S., at 415; cf.
Sawyer v.
Smith, 497 U.
S. 227, 236-237 (1990) (citing, as evidence that
Caldwell v.
Mississippi, 472 U. S. 320 (1985),
announced a new rule, the views of the three
Caldwell
dissenters). An assessment of the legal landscape existing at the
time petitioner's conviction and sentence became final bolsters
this conclusion.
1
Petitioner's review of the relevant precedent discloses the
decisions relied upon in
Simmons, namely,
Gardner v.
Florida, supra, and
Skipper v.
South Carolina,
supra. Petitioner asserts that a reasonable jurist considering
his claim in light of those two decisions "would have felt
'compelled ... to conclude that the rule [petitioner] seeks was
required by the Constitution.'" Brief for Petitioner 14 (quoting
Saffle, 494 U. S., at 488) (emphasis deleted).
In
Gardner, the defendant received a death sentence from
a judge who had reviewed a presentence report that was not made
available to the defendant.
Gardner produced no opinion for
the Court. A plurality of the Court concluded that the defendant
"was denied due process of law when the death sentence was imposed,
at least in part, on the basis of information which he had no
opportunity to deny or explain." 430 U. S., at 362. Justice White
concurred in the judgment, providing the narrowest grounds of
decision among the Justices whose votes were necessary to the
judgment. Cf.
Marks v.
United States, 430 U. S. 188, 193
(1977). He concluded that the Eighth Amendment was violated by a
"procedure for selecting people for the death penalty which permits
consideration of such secret information relevant to the
character and record of the individual offender." 430 U. S.,
at 364 (internal quotation marks omitted; emphasis added).
In
Skipper, the prosecutor argued during the penalty
phase that a death sentence was appropriate because the defendant
"would pose disciplinary problems if sentenced to
161
prison and would likely rape other prisoners." 476 U. S., at 3.
Skipper's efforts to introduce evidence that he had behaved himself
in, and made a "good adjustment" to, jail in the time between his
arrest and his trial were rejected by the trial court.
Ibid.
The Court concluded: "[E]vidence that the defendant would not pose
a danger if spared (but incarcerated) must be considered
potentially mitigating. Under
Eddings [v.
Oklahoma,
455 U. S. 104
(1982)], such evidence may not be excluded from the sentencer's
consideration." 476 U. S., at 5 (footnote omitted). This holding
was grounded, as was
Eddings, in the Eighth Amendment. The
Court also cited the Due Process Clause, stating that "[w]here the
prosecution specifically relies on a prediction of future
dangerousness in asking for the death penalty," due process
required that "a defendant not be sentenced to death 'on the basis
of information which he had no opportunity to deny or explain.'"
476 U. S., at 5, n. 1 (quoting
Gardner, supra, at 362).
Simmons, argues petitioner, presented merely a variation
on the facts of
Skipper. In each, the prosecution raised the
issue of future dangerousness. Skipper was unconstitutionally
prevented from demonstrating that he had behaved in prison and thus
would not be a danger to his fellow prisoners. Simmons, likewise,
says petitioner, was not allowed to inform the jury that he would
be in, rather than out of, prison and so could not present a danger
to elderly women. Because the rule of
Simmons was allegedly
set forth in the 1986 decision in
Skipper, which in turn
relied upon the 1977 decision in
Gardner, petitioner argues
that his death sentence was flawed when affirmed in 1988, and we
may set it aside without running afoul of
Teague.2
2 Petitioner makes much of language in the
Simmons
plurality opinion that the "principle announced in
Gardner
was reaffirmed in
Skipper, and it
compels our
decision today."
Simmons v.
South Carolina, 512 U. S. 154, 164-165
(1994) (emphasis added). While this language, expressing the view
of four Justices, is certainly evidence tending to prove that
the
162
Even were these two cases the sum total of relevant precedent
bearing on the rule of
Simmons, petitioner's argument that
the result in
Simmons followed ineluctably would not be
compelling.
Gardner produced seven opinions, none for a
majority of the Court. Taking the view expressed in Justice White's
opinion concurring in the judgment as the rule of
Gardner,
see
Marks, supra, at 193, the holding is a narrow one-that
"[a] procedure for selecting people for the death penalty which
permits consideration of ... secret information relevant to the
character and record of the individual offender" violates
the Eighth Amendment's requirement of "reliability in the
determination that death is the appropriate punishment." 430 U. S.,
at 364 (citation and internal quotation marks omitted; emphasis
added). Petitioner points to no secret evidence given to the
sentencer but not to him. And, the evidence that he sought to
present to the jury was not historical evidence about his
"character and record," but evidence concerning the operation of
the extant legal regime.
In
Skipper, too, the evidence that the defendant was
unconstitutionally prevented from adducing was evidence of his past
behavior. It is a step from a ruling that a defendant must be
permitted to present evidence of that sort to a requirement that he
be afforded an opportunity to describe the extant legal regime. Cf.
Simmons, 512 U. S., at 176 (O'CONNOR, J., concurring in
judgment).
2
Whatever support
Gardner and
Skipper, standing
alone, might lend to petitioner's claim that
Simmons was a
foregone conclusion, the legal landscape in 1988 was far more
complex. Respondents point to, and the Fourth Circuit ma-
rule of
Simmons was not new-i.
e., that it was
"dictated" by thenexisting precedent-it is far from conclusive. We
have noted that "[cJourts frequently view their decisions as being
'controlled' or 'governed' by prior opinions even when aware of
reasonable contrary conclusions reached by other courts."
Butler v.
McKellar, 494 U. S. 407, 415
(1990).
163
jority relied on, two other cases that had been decided by the
time petitioner's conviction became final and that bear on its
constitutionality:
California v.
Ramos, 463 U. S. 992 (1983), and
Caldwell v.
Mississippi, 472 U. S. 320 (1985). In
Ramos, the Court upheld an instruction that informed the
jury that a defendant sentenced to life in prison without parole
could nonetheless be rendered parole eligible if the Governor
elected to commute his sentence. The Court concluded that the
instruction neither introduced a constitutionally irrelevant factor
into the sentencing process, 463 U. S., at 1001-1004, nor diverted
the jury's attention from the task of rendering an "individualized
sentencing determination," id., at 1005. Within the bounds of the
Constitution, the Court stated that it would defer to California's
"identification of the Governor's power to commute a life sentence
as a substantive factor to be presented for the sentencing jury's
consideration."
Id., at 1013. We emphasized, however, that
this conclusion was not to be taken to "override the contrary
judgment of state legislatures" that capital juries
not
learn of a Governor's commutation power.
Ibid. "Many state
courts," we pointed out, "have held it improper for the jury to
consider or to be informed-through argument or instruction-of the
possibility of commutation, pardon, or
parole." Id., at
1013, n. 30 (emphasis added); see also
ibid. (citing,
inter alia, Ga. Code Ann. § 17-8-76 (1982), and describing
that statute as "prohibiting argument as to possibility of pardon,
parole, or clemency" (emphasis added)). "We sit as judges,
not as legislators, and the wisdom of the decision to permit juror
consideration of possible commutation is best left to the States."
463 U. S., at 1014. The dissenters in
Ramos disputed the
constitutionality of
ever informing juries of the Governor's
power to commute a death sentence. See id., at 1018 (opinion of
Marshall, J., joined by Brennan and Blackmun, JJ.); see also id.,
at 1019-1020 (asserting that consideration by a capital sentencing
jury
164
of a defendant's prospects for commutation
or parole is
unconstitutional).
The general proposition that the States retained the prerogative
to determine how much (if at all) juries would be informed about
the postsentencing legal regime was given further credence in
Caldwell v.
Mississippi, supra. In that case, the
prosecution and the judge had, the Court concluded, improperly left
the jury with the impression that a death sentence was not final
because it would be extensively reviewed. Justice Marshall authored
the opinion for the Court except for one portion. In that portion,
Justice Marshall-writing for a plurality-concluded that,
Ramos notwithstanding, sentencing juries were not to be
given information about postsentencing appellate proceedings.
JusTICE O'CONNOR, who provided the fifth vote necessary to the
judgment, did not join this portion of Justice Marshall's opinion.
She wrote separately, stating that, under
Ramos, a State
could choose whether or not to "instruc[t] the jurors on the
sentencing procedure, including the existence and limited nature of
appellate review," so long as any information it chose to provide
was accurate. 472 U. S., at 342 (opinion concurring in part and
concurring in judgment).
3
In light of
Ramos and
Caldwell, we think it plain
that a reasonable jurist in 1988 would not have felt
compelled to adopt the rule later set out in
Simmons.
As noted above, neither
Gardner nor
Skipper involved
a prohibition on imparting information concerning what might
happen, under then-extant law, after a sentence was imposed.
Rather, the information at issue in each case was information
pertaining to the defendant's "character and record." Although the
principal opinions in
Simmons found
Skipper (which,
in turn, relied on
Gardner) persuasive, JUSTICE O'CONNOR
distinguished
Skipper from the facts presented in
Simmons on this very ground, see 512 U. S., at 176 (opinion
concurring
165
in judgment), suggesting that the rule announced in
Sim
mons was not inevitable. See also
id., at 183
(SCALIA, J., dissenting).
That distinction-between information concerning state
postsentencing law on the one hand and evidence specifically
related to the defendant on the other-was also at the heart of
Ramos and
Caldwell. In
Ramos, the majority
concluded that California had reasonably chosen to provide some,
limited, postsentence information to the capital sentencing
jury-though it noted that many other States had elected just the
opposite. The principal dissent in
Ramos would have
forbidden the provision of any information about postsentence
occurrences for the very reason that it did not constitute evidence
concerning the defendant's "character or the nature of his crime."
463 U. S., at 1022 (opinion of Marshall, J.). In
Caldwell,
the plurality and JUSTICE O'CONNOR contested whether the fact that
"appellate review is available to a capital defendant sentenced to
death" was "simply a factor that in itself is wholly irrelevant to
the determination of the appropriate sentence" (as the plurality
concluded, 472 U. S., at 336), or whether provision of that
information was a constitutional "policy choice in favor of jury
education" (as JusTICE O'CONNOR concluded, id., at 342 (opinion
concurring in part and concurring in judgment)).
A reasonable jurist in 1988, then, could have drawn a
distinction between information about a defendant and information
concerning the extant legal regime. It would hardly have been
unreasonable in light of
Ramos and
Caldwell
for the jurist to conclude that his State had acted
constitutionally by choosing not to advise its jurors as to events
that would (or would not) follow their recommendation of a death
sentence, as provided by the legal regime of the moment. Indeed,
given the sentiments, expressed in Justice Marshall's
Ramos
dissent and
Caldwell plurality, that information about
postsentence procedures was
never to go to the jury and
given that the decision whether to provide such informa-
166
tion had been described by the
Ramos majority opinion and
JUSTICE O'CONNOR'S concurrence in
Caldwell as a "policy
choice" left to the States, the reasonable jurist may well have
concluded that the most surely constitutional course, when
confronted with a request to inform a jury about a defendant's
parole eligibility, was silence.
Teague asks state-court judges to judge reasonably, not
presciently. See
Stringer v.
Black, 503 U. S., at 244
(SouTER, J., dissenting). In
Simmons, the Court carved out
an exception to the general rule described in
Ramos by, for
the first time ever, requiring that a defendant be allowed to
inform the jury of postsentencing legal eventualities. A 1988
jurist's failure to predict this cannot, we think, be deemed
unreasonable. Accordingly, the rule announced in
Simmons was
new, and petitioner may not avail himself of it unless the rule of
Simmons falls within one of the exceptions to
Teague's bar.3
3 Our conclusion that the rule of
Simmons was new finds
support in the decisions of the state courts and the lower federal
courts. See
Butler, 494 U. S., at 415. By 1988, no state or
federal court had adopted the rule of
Simmons. In fact, both
before and after
Skipper v.
South Carolina, 476 U. S. 1 (1986), several
courts had upheld against constitutional challenge practices
similar, if not identical, to that later forbidden in
Simmons. See,
e. g., Turner v.
Bass, 753 F.2d
342, 354
(CA4 1985), rev'd on other grounds
sub nom.
Turner v.
Murray, 476 U. S. 28 (1986);
O'Bryan v.
Estelle, 714 F.2d
365, 389
(CA5 1983), cert. denied
sub nom.
O'Bryan v.
McKaskle, 465 U. S. 1013 (1984);
King
v.
Lynaugh, 850 F.2d
1055, 1057
(CA5 1988) (en bane), cert. denied, 488 U. S.
1019 (1989);
Peterson v.
Murray, 904 F.2d
882, 886-887
(CA4), cert. denied, 498 U. S. 992 (1990);
Knox v.
Collins, 928 F.2d
657, 660, 662
(CA5 1991); see also
Turner v.
Commonwealth, 234 Va. 543, 551-552, 364 S. E. 2d 483,
487-488, cert. denied, 486 U. S. 1017 (1988);
Mueller v.
Commonwealth, 244 Va. 386, 408-409, 422 S. E. 2d 380, 394
(1992), cert. denied, 507 U. S. 1043 (1993). In addition, several
of the courts to consider the question have, along with the Fourth
Circuit in this case, concluded that the rule of
Simmons was
new. See,
e. g., Johnson v.
Scott, 68 F.3d
106, 111-112, n. 11
(CA5 1995), cert. denied
sub nom.
Johnson v.
Johnson, 517 U. S. 1122 (1996);
Mueller v.
Murray, 252 Va. 356, 365-366, 478 S. E. 2d
542, 548 (1996);
Commonwealth v.
167
B
Petitioner contends that, even if it is new, the rule of
Simmons falls within the second exception to
Teague,
which permits retroactive application of " 'watershed rules of
criminal procedure' implicating the fundamental fairness and
accuracy of the criminal proceeding."
Graham, 506 U. S., at
478 (quoting
Teague, 489 U. S., at 311). Petitioner
describes the "practice condemned in
Simmons" as a "shocking
one." Brief for Petitioner 33. The rule forbidding it, we are told,
is "on par" with
Gideon v.
Wainwright, 372 U. S. 335 (1963)which
we have cited as an example of the sort of rule falling within
Teague's second exception, see
Saffle, 494 U. S., at
495-because "both cases rest upon this Court's belief that certain
procedural protections are essential to prevent a miscarriage of
justice," Brief for Petitioner 35 (citations omitted). We
disagree.4 Unlike the sweeping rule of
Gideon, which
established an affirmative right to counsel in all felony cases,
the narrow right of rebuttal that
Simmons affords to
defendants in a limited class of capital cases has hardly" ,
"alter[ed] our understanding of the
bedrock procedural
elements'" essential to the fairness of a proceeding."
Sawyer, 497 U. S., at 242 (quoting
Teague, supra, at
311, quoting, in turn,
Mackey v.
United States,
401 U. S. 667,
693 (1971) (Harlan, J., concurring in judgments in part and
dissenting in part) (emphasis in
Teague)). Simmons possesses
little of the "watershed" character envisioned by
Teague's
second exception.
Christy, 540 Pa. 192, 215-217, 656 A. 2d 877, 888-889,
cert. denied, 516
4 It is by no means inevitable that, absent application of the
rule of
Simmons, "miscarriage[s] of justice" will occur. We
note, for example, that at the time he was sentenced to death for
Helen Schartner's murder, petitioner had already been convicted of
a murder committed while he was in prison. Informing his sentencing
jury that petitioner would spend the rest of his days in prison
would not, then, necessarily have rebutted an argument that he
presented a continuing danger.
168
IV
For the reasons stated herein, the judgment of the Court of
Appeals is affirmed.
It is so ordered.
JUSTICE STEVENS, with whom JUSTICE SOUTER, JUSTICE GINSBURG, and
JUSTICE BREYER join, dissenting.
Although petitioner's guilt has been established, it is
undisputed that the conduct of the sentencing hearing that led to
the imposition of his death penalty violated the Due Process Clause
of the Fourteenth Amendment. His eligibility for a death sentence
depended on the prosecutor's ability to convince the jury that
there was a "probability that he would commit criminal acts of
violence that would constitute a continuous threat to society."
App. 69. In support of his argument to the jury that nothing short
of the death penalty would be sufficient, the prosecutor emphasized
petitioner's misconduct when he was "outside of the prison system,"
id., at 61,1 and stated that petitioner had "forfeited his right to
live among us," id., at 66. Nevertheless, the trial court re-
1 During his closing statement at the sentencing proceeding, the
prosecutor observed: "Isn't it interesting that he is only able to
be outside of the prison system for a matter of months to a year
and a half before something has happened again?" App. 61. And,
after drawing out the parallels between the Virginia murder and a
kidnaping and robbery for which petitioner had been convicted in
Florida some years earlier, the prosecutor said: "We are a society
of fair, honest people who believe in our government and who
believe in our justice system; and I submit to you there was a
failure in the Florida criminal justice system for paroling this
man when they did."
Id., at 64.
The prosecutor concluded his argument by saying: "[Y]ou may
still sentence him to life in prison, but I ask you ladies and
gentlemen[,] in a system, in a society that believes in its
criminal justice system and its government, what does this mean?
... [A]ll the times he has committed crimes before and been before
other juries and judges, no sentence ever meted out to this man has
stopped him. Nothing has stopped him, and nothing ever will except
the punishment that I now ask you to impose."
Id., at
66.
169
fused to allow petitioner to advise the jury that if the death
sentence were not imposed, he would be imprisoned for the rest of
his life without any possibility of parole. Thus, he was denied the
opportunity to make a fair response to the prosecutor's misleading
argument about the future danger that he allegedly posed to the
community.
Our virtually unanimous decision in
Simmons v.
South
Carolina, 512 U.
S. 154 (1994),2 recognized the fundamental unfairness of the
restrictive procedure followed in this case. As JUSTICE O'CONNOR'S
opinion, which has been treated as expressing the narrowest ground
on which the decision rested, explained:
"'Capital sentencing proceedings must of course satisfy the
dictates of the Due Process Clause,' Clemons v.
Mississippi, 494 U. S. 738, 746
(1990), and one of the hallmarks of due process in our adversary
system is the defendant's ability to meet the State's case against
him. Cf. Crane v. Kentucky, 476 U. S. 683, 690
(1986). In capital cases, we have held that the defendant's future
dangerousness is a consideration on which the State may rely in
seeking the death penalty. See California v. Ramos,
463 U. S. 992,
1002-1003 (1983). But '[w]here the prosecution specifically relies
on a prediction of future dangerousness in asking for the death
penalty, ... the elemental due process requirement that a defendant
not be sentenced to death "on the basis of information which he had
no opportunity to deny or explain" [requires that the defendant be
afforded an opportunity to introduce evidence on this point].'
Skipper v. South Carolina, 476 U. S. 1, 5, n. 1
(1986), quoting Gardner v. Florida, 430 U. S. 349, 362 (1977)
(plurality opinion); see
2 In the years following our decision in Furman v. Georgia,
408 U. S. 238
(1972) (per curiam), unanimous Court opinions in capital cases have
been virtually nonexistent. The decision in Simmons v. South
Carolina,
512 U. S.
154 (1994), came closer than most, for only two Justices
dissented.
170
also 476 U. S., at 9-10 (Powell, J., concurring in judgment)."
Id., at 175 (opinion concurring in judgment).
Thus, this case is not about whether petitioner was given a fair
sentencing hearing; instead, the question presented is whether,
despite the admittedly unfair hearing, he should be put to death
because his trial was conducted before
Simmons was decided.
Because the Court regards the holding in
Simmons as nothing
more than a novel "court-made rule,"
ante, at 156, it
rejects petitioner's plea. In my view, our decision in
Simmons applied a fundamental principle that is as old as
the adversary system itself, and that had been quite clearly
articulated by this Court in two earlier opinions. Accordingly, I
respectfully dissent.
I
My analysis begins where the majority tersely ends-with
petitioner's contention that the rule in
Simmons implicates
"the fundamental fairness and accuracy of the criminal proceeding,"
Saffle v.
Parks, 494 U. S. 484, 495
(1990), and therefore should be retroactively applied even if it
would constitute a "new" rule under
Teague v.
Lane,
489 U. S. 288,
307 (1989).
Our decision in
Teague recognized two exceptions to the
general rule of nonretroactivity. The relevant exception for our
purposes establishes that "a new rule should be applied
retroactively if it requires the observance of 'those procedures
that ... are "implicit in the concept of ordered liberty."'"
Ibid. (quoting
Mackey v.
United States,
401 U. S. 667,
693 (1971) (Harlan, J., concurring in judgments in part and
dissenting in part), in turn quoting
Palko v.
Connecticut, 302 U. S. 319, 325
(1937)). In the opinion that provided the basis for the limitations
on collateral review adopted in
Teague, Justice Harlan
emphasized the importance of protecting "bedrock procedural
elements" that are "essential to the substance of a full hearing."
Mackey, 401 U. S., at 693694. We endorsed that view, with
the caveat that this
171
exception should be limited to those "procedures without which
the likelihood of an accurate [determination of guilt or innocence]
is seriously diminished."
Teague, 489 U. S., at 313.3
Since
Teague was decided, this Court has never found a
rule so essential to the fairness of a proceeding that it would
fall under this exception.4 In my view, the right in
Simmons-the right to respond to an inaccurate or misleading
argument-is surely a bedrock procedural element of a full and fair
hearing. As JUSTICE O'CONNOR recognized in her opinion in
Simmons, this right to rebut the prosecutor's arguments is a
"hallmar[k] of due process," 512 U. S., at 175 (opinion concurring
in judgment). See also id., at 174 (GINSBURG, J., concurring)
("This case is most readily resolved under a core requirement of
due process, the right to be heard"). When a defendant is denied
the ability to respond to the state's case against him, he is
deprived of "his fundamental constitutional right to a fair
opportunity to present a defense."
Crane v.
Kentucky,
476 U. S. 683,
687 (1986).
The Court today argues that
Simmons defined only a
"narrow right of rebuttal [for] defendants in a limited class of
capital cases,"
ante, at 167, and therefore that the rule
cannot be in that class of rules so essential to the accuracy
of
3 Although
Teague v.
Lane, 489 U. S. 288 (1989),
focused on the accuracy of a guilt-innocence determination, we have
long recognized that sentencing procedures, as well as trials, must
satisfy the dictates of the Due Process Clause, see,
e. g.,
Clemons v.
Mississippi, 494 U. S. 738, 746
(1990), and that the unique character of the death penalty mandates
special scrutiny of those procedures in capital cases. An unfair
procedure that seriously diminishes the likelihood of an accurate
determination that a convicted defendant should receive the death
penalty rather than life without parole-that the defendant is
"innocent of the death penalty," see
Sawyer v.
Whitley, 505
U. S. 333, 341-343 (1992)-is plainly encompassed by
Teague's exception.
4 The most commonly cited example of a rule so fundamental that
it would fit this category is the right to counsel articulated in
Gideon v.
Wainwright, 372 U. S. 335 (1963).
172
a criminal proceeding that they are excepted from
Teague's nonretroactivity principle.
The majority appears not to appreciate that the reason
Simmons' holding applied directly to only a narrow class of
capital defendants is because only a very few States had in place
procedures that allowed the prosecutor to argue future
dangerousness while at the same time prohibiting defendants from
using "the only way that [they] can successfully rebut the State's
case." 512 U. S., at 177 (O'CONNOR, J., concurring in judgment).5
The prevailing rule in the States that provided a
life-without-parole sentencing alternative required an instruction
explaining that alternative to the jury.6
Although the majority relies on the limited impact of the
Simmons rule to discount its importance, the broad consensus
in favor of giving the jury accurate information in fact
underscores the importance of the rule applied in
Simmons.
The rule's significance is further demonstrated by evidence of the
effect that information about the life-without-parole alternative
has on capital jury deliberations. For example, only 2 death
sentences have been imposed in Virginia for crimes committed after
January 1, 1995-whereas 10 were imposed in 1994 alone-and the
decline in the number of death sentences has been attributed to the
fact that juries in Virginia must now be informed of the
life-without-parole alternative. See Green, Death Sentences Decline
in Virginia, Richmond Times-Dispatch, Nov. 24, 1996,7 p. Al.
The
5 See
Simmons, 512 U. S., at 168, n. 8.
6 See id., at 167, n. 7 (listing the States whose capital
punishment schemes in one way or another require the jury to be
informed that life without parole is either the only available
alternative sentence or one of the options from which the jury is
free to choose).
7 See also,
e. g., Comment, Truth in Sentencing: The
Prospective and Retroactive Application of
Simmons v.
South Carolina, 63 U. Chi. L. Rev. 1573 (1996); Eisenberg
& Wells, Deadly Confusion: Juror Instructions in Capital Cases,
79 Cornell L. Rev. 1, 7-9 (1993) ("[J]urors who believe the
alternative to death is a relatively short time in prison tend to
sentence
173
consensus among the scholars and practitioners who drafted the
Model Penal Code is that instructing the jury completely about the
available sentencing alternatives is the best way to ensure
accuracy in sentencing. See American Law Institute, Model Penal
Code § 210.6 (1980). And we affirmed this basic point in
Beck v.
Alabama, 447 U. S. 625, 637
(1980), when we acknowledged that the likelihood that a jury would
find an obviously guilty defendant eligible for the death penalty
was significantly increased when an arguably more appropriate
sentencing alternative was not available.
Thus, even if the rule in
Simmons could properly be
viewed as a "new" rule, it is of such importance to the accuracy
and fairness of a capital sentencing proceeding that it should be
applied consistently to all prisoners whose death sentences were
imposed in violation of the rule, whether they were sentenced
before
Simmons was decided or after. Moreover, to the extent
that the fundamental principles underlying the rule needed explicit
articulation by this Court, they clearly had been expressed well
before petitioner's 1988 sentencing proceeding.
II
Distinguishing new rules from those that are not new under our
post-
Teague jurisprudence is not an easy task, but it is
evident to me that if there is such a thing as a rule that is not
new for these purposes, the rule announced in
Simmons is
one.
In
Gardner v.
Florida, 430 U. S. 349 (1977), a
plurality of the Court concluded that the defendant's due process
rights had been violated because his "death sentence was imposed,
at least in part, on the basis of information which he had no
opportunity to deny or explain."
Id., at 362. Nine years
later, in
Skipper v.
South Carolina, 476 U. S. 1 (1986), all
to death"); Paduano & Smith, Deathly Errors: Juror
Misperceptions Concerning Parole in the Imposition of the Death
Penalty, 18 Colum. Hum. Rts. L. Rev. 211 (1987).
174
nine Justices cited
Gardner, with approval, as
establishing the "elemental due process requirement that a
defendant not be sentenced to death 'on the basis of information
which he had no opportunity to deny or explain.'
Gardner v.
Florida, 430
U. S. 349, 362 (1977)." 476 U. S., at 5, n. 1; see also id., at
10-11 (Powell, J., concurring in judgment) ("The Court correctly
concludes that the exclusion of the proffered testimony violated
due process .... [P]etitioner's death sentence violates the rule in
Gardner").
When the Court was presented with the facts in
Simmons,
it was no surprise that Justice Blackmun said that "[t]he principle
announced in
Gardner was reaffirmed in
Skipper, and
it compels our decision today." 512 u. S., at 164-165 (plurality
opinion). Or that JUSTICE O'CONNOR quoted
Gardner and
Skipper for the proposition that "elemental due process"
requires that a defendant must be allowed to answer a prosecutor's
"prediction of future dangerousness" with "evidence on this point."
512 U. S., at 175 (internal quotation marks omitted).
Today, however, the Court seeks to revise the import of this
line of cases. The first misstep in the Court's analysis is its
treatment of
Gardner. The majority makes much of the fact
that the lead opinion was joined by only three Justices,S and
instead of accepting the plurality's due process analysis as the
rule of
Gardner, the Court takes Justice White's concurring
opinion, which was grounded in the Eighth Amendment, as expressing
the holding of the case. The Court's reading of
Gardner
ignores the fact that Justice White himself squarely adopted the
due process holding of
8The Court ignores the fact that Justice Brennan and Justice
Marshall agreed with the plurality's conclusion that sentencing a
defendant based on information he was not permitted to deny or
explain violated due process, but refused to join the judgment
insofar as it permitted further proceedings that could lead to
another death sentence. See
Gardner v.
Florida,
430 U. S. 349,
364-365 (1977) (opinion of Brennan, J.);
id., at 365
(Marshall, J., dissenting).
175
Gardner in his opinion for the Court in
Skipper.
Although his opinion accepted Skipper's argument that the exclusion
of evidence of his good behavior in prison at the sentencing
hearing violated the Eighth Amendment requirement that the jury be
allowed to consider all relevant mitigating evidence, Justice White
went out of his way to add a footnote endorsing the
Gardner
plurality's statement of the law and emphasizing that this
"elemental due process requirement" provided an even more basic
justification for the Court's holding. 9 Moreover, in his opinion
concurring in the judgment in
Skipper, Justice Powell,
joined by the Chief Justice and then-JusTIcE REHNQUIST, rejected
the mitigating evidence rationale, relying instead on "the rule in
Gardner." 476 U. S., at 10-11. Thus, in
Skipper, all
nine Justices then serving on the Court endorsed
Gardner's
holding that due process was violated when a sentencing
determination rested on information that a defendant was not
permitted to explain or deny. See also
Clemons v.
Mississippi, 494 U. S. 738, 746 (1990)
(citing
Gardner for the proposition that "[c]apital
sentencing proceedings must of course satisfy the dictates of the
Due Process Clause");
Simmons, 512 U. S., at 180 (SCALIA,
J., dissenting) (quoting
Skipper and
Gardner as
"indicat[ing] that petitioner's due process rights would be
violated if he was 'sentenced to death "on the basis of information
which he had no opportunity to deny or explain,"'" but concluding
that the petitioner could not show that his sentence violated this
principle).
9 "Where the prosecution specifically relies on a prediction of
future dangerousness in asking for the death penalty, it is not
only the rule of
Lockett [v.
Ohio, 438 U. S. 586 (1978),]
and
Eddings [v.
Oklahoma, 455 U. S. 104 (1982),]
that requires that the defendant be afforded an opportunity to
introduce evidence on this point; it is also the elemental due
process requirement that a defendant not be sentenced to death 'on
the basis of information which he had no opportunity to deny or
explain.'
Gardner v.
Florida, 430 U. S. 349, 362
(1977)."
Skipper v.
South Carolina, 476 U. S. 1, 5, n. 1
(1986).
176
As to
Skipper, the only distinction the majority is able
to draw between that case and
Simmons is that the defendant
in
Skipper sought to introduce "evidence of his past
behavior," while Simmons wished "an opportunity to describe the
extant legal regime."
Ante, at 162. This distinction is
simply not enough to make the rule in
Simmons "new." In both
cases, the prosecution was seeking to mislead the jury with an
argument that excluded facts essential to the defendant's actual
circumstances. The rule in
Skipper and
Gardner-that a
defendant must be allowed an opportunity to rebut arguments put
forward by the prosecution-simply cannot turn on whether his
rebuttal relies on the fact that he is ineligible for parole or on
the fact that he is a model prisoner.
The two cases on which the majority relies to argue that a
reasonable jurist in 1988 would have thought that petitioner did
not have a right to rebut the prosecutor's future dangerousness
arguments simply provide further support for the conclusion that
Simmons did not announce a new rule of law. In both
California v.
Ramos, 463 U. S. 992 (1983), and
Caldwell v.
Mississippi, 472 U. S. 320 (1985), the
Court focused its analysis on whether the information being
presented (or withheld) in a sentencing determination permitted
accurate and informed decisionmaking on the part of the
sentencer.
In
Ramos, the Court held that California's capital
sentencing procedure-in which the judge was required to inform the
jury that it could sentence the defendant to death or to life
without parole, and then to provide the further instruction that
the Governor could commute a life sentence without parole-was not
constitutionally infirm. (This further instruction is, of course,
only relevant when the jury has first been advised that the
alternative to the death sentence is the option that was concealed
from the jury in
Simmons and in this case.) The Court
correctly explained that the instruction on commutation of the life
sentence was relevant
177
to the issue of future dangerousness, 463 U. S., at 1003, and
consistent with the rule of
Gardner because it provided the
jury with accurate information and did not preclude the defendant
from offering argument or evidence regarding the Governor's power
to commute a life sentence. 463 U. S., at 1004. In a comment that
anticipated the precise holding in
Simmons, the Court
concluded that the instruction under review "corrects a
misconception and supplies the jury with accurate information for
its deliberation in selecting an appropriate sentence." 463 U. S.,
at 1009.10
While the
Ramos Court concluded that a State
could
constitutionally require trial judges to inform sentencing juries
about the possibility of commutation of a life sentence, the Court
did not hold that a State was constitutionally compelled to do so.
The majority today,
ante, at 163-164, suggests that the
Ramos Court's endorsement of that optioninvolving a choice
between two nonmisleading instructions, one mentioning and the
other not mentioning the remote "possibility" of parole-might have
led reasonable state judges to conclude that they could allow
juries to be misled on the future dangerousness issue by concealing
entirely the legal certainty of parole
impossibility. But
the general rule applied in
Ramos simply permits state
courts to give accurate instructions that will prevent juries from
being misled about sentencing options in capital cases. In order to
decide
Simmons correctly, there was no need to "carv[e] out
an exception,"
ante, at 166, from that rule.
The Court's reading of
Caldwell is equally
unpersuasive.
In that case, the prosecutor had urged the jury not to view
itself as finally determining whether the defendant would
10 The Court cited with approval the provision of the Model
Penal Code recommending that the jury be advised of "the nature of
the sentence of imprisonment that may be imposed, including its
implication with respect to possible release upon parole, if the
jury verdict is against sentence of death."
California v.
Ramos, 463 U. S., at 1009, n. 23 (quoting American Law
Institute, Model Penal Code § 210.6 (Prop. Off. Draft 1962)).
178
die, because the death sentence was subject to appellate review.
As JUSTICE O'CONNOR'S controlling opinion explained, the
prosecutor's remarks were improper "because they were inaccurate
and misleading in a manner that diminished the jury's sense of
responsibility." 472 U. S., at 342. Because Justice Marshall's
plurality opinion suggested that any comment on appellate review
was "wholly irrelevant" to the sentencing determination, id., at
336, the Court today suggests that state judges might reasonably
have concluded "that information about postsentence procedures was
never to go to the jury."
Ante, at 165. Apart from
the fact that an instruction describing a sentencing alternative
does not relate to "postsentence procedures," I see no basis for
assuming that concerns about describing the process of appellate
review to a jury might have anything to do with the necessity for
providing the jury with accurate information about sentencing
options when the prosecutor makes the misleading argument that the
death penalty is the only way to prevent a defendant's future
dangerousness "outside of the prison system."
The Court has consistently, and appropriately, shown a
particular concern for procedures that protect the accuracy of
sentencing determinations in capital cases.ll Today, the majority
discards this concern when it relies on a nonexistent tension
between
Gardner and
Skipper on the one hand and
Ramos and
Caldwell on the other to justify its
refusal to apply the rule in
Simmons to this case.
I respectfully dissent.
11 See
Gardner, 430 U. S., at 357-358 ("From the point of
view of the defendant, it is different in both its severity and its
finality. From the point of view of society, the action of the
sovereign in taking the life of one of its citizens also differs
dramatically from any other legitimate state action. It is of vital
importance to the defendant and to the community that any decision
to impose the death sentence be, and appear to be, based on reason
rather than caprice or emotion"). See also,
e. g.,
California v.
Ramos, 463 U. S. 992, 998-999
(1983);
Beck v.
Alabama, 447 U. S. 625, 637-638
(1980).
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