OCTOBER TERM, 1991
Syllabus
SOCHOR
v. FLORIDA
CERTIORARI TO THE SUPREME COURT OF FLORIDA No. 91-5843. Argued
March 2, 1992-Decided June 8, 1992
After a Florida jury found petitioner Sochor guilty of capital
murder, the jury was instructed at the penalty hearing on the
possibility of finding four aggravating factors, including the
State's "heinousness" and "coldness" factors. The jury was also
charged with weighing any mitigating circumstances it might find
against the aggravating ones in reaching an advisory verdict as to
whether Sochor's sentence should be life imprisonment or death. The
jury's recommendation of death was adopted by the trial court,
which found all four aggravating circumstances defined in the jury
instructions and no mitigating circumstances. The State Supreme
Court held, among other things, that the question whether the jury
instruction on the heinousness factor was unconstitutionally vague
had been waived for failure to object. The court also held that the
evidence failed to support the trial judge's finding of the
coldness factor, but nevertheless affirmed the death sentence.
Held:
1. The application of the heinousness factor to Sochor did not
result in reversible error. Pp. 532-537.
(a) In a weighing State like Florida, Eighth Amendment error
occurs when the sentencer weighs an "invalid" aggravating factor in
reaching the decision to impose a death sentence. See
Clemons v.
Mississippi, 494 U. S. 738, 752. While
federal law does not require the state appellate court reviewing
such error to remand for resentencing, the court must, short of
remand, either itself reweigh without the invalid aggravating
factor or determine that weighing the invalid factor was harmless
error. See,
e. g., Parker v.
Dugger, 498 U. S. 308, 321. P.
532.
(b) This Court lacks jurisdiction to address Sochor's claim that
the jury instruction on the heinousness factor was
unconstitutionally vague. The State Supreme Court indicated with
requisite clarity that its rejection of the claim was based on an
alternative state ground, see,
e. g., Michigan
v.
Long, 463
U. S. 1032, 1041, and Sochor has said nothing to persuade the
Court that this state ground is either not adequate or not
independent, see
Herb v.
Pitcairn, 324 U. S. 117, 125-126.
Pp.533-534.
(c) No Eighth Amendment violation occurred when the trial judge
weighed the heinousness factor. Although the State Supreme Court's
recent decisions may have evinced inconsistent and overbroad
constructions of the heinousness factor that leave trial judges
without sufficient
528
Syllabus
guidance in other factual situations, that court has
consistently held that heinousness is properly found where, as
here, the defendant strangled a conscious victim. Under
Walton v.
Arizona, 497 U. S. 639, 653, it
must be presumed that the trial judge in the case at hand was
familiar with this body of case law, which, at a minimum, gave the
judge "some guidance,"
id., at 654. This is all that the
Eighth Amendment requires. Pp.535-537.
2. The application of the coldness factor to Sochor constituted
Eighth Amendment error that went uncorrected in the State Supreme
Court. Pp. 538-541.
(a) Sochor's claim that an Eighth Amendment violation occurred
when the jury "weighed" the coldness factor is rejected. Because,
under Florida law, the jury does not reveal the aggravating factors
on which it relies, it cannot be known whether the jury actually
relied on the coldness factor here. This Court will not presume
that a general verdict rests on a ground that the evidence does not
support.
Griffin v.
United States, 502 U. S. 46, 59-60. P.
538.
(b) However, Eighth Amendment error occurred when the trial
judge weighed the coldness factor. In Florida, the judge is at
least a constituent part of the "sentencer" for
Clemons
purposes, and there is no doubt that the judge "weighed" the
coldness factor in this case. Nor is there any question that the
factor was "invalid" for
Clemons purposes, since the State
Supreme Court found it to be unsupported by the evidence. See
Parker, supra, at 311. Pp. 538-539.
(c) The State Supreme Court did not cure the Eighth Amendment
error. That court generally does not reweigh evidence
independently. See,
e. g., Parker, supra, at 319. Nor did
that court support the death verdict by performing harmless-error
analysis, since its opinion fails to mention "harmless error" and
expressly refers to the quite different enquiry whether Sochor's
sentence was proportional, and since only one of the four cases
cited by the court contained explicit harmless-error language. pp.
539-540.
580 So. 2d 595, vacated and remanded.
SOUTER, J., delivered the opinion of the Court, Part I of which
was unanimous, Part II of which was joined by REHNQUIST, C. J., and
WHITE, O'CONNOR, SCALIA, KENNEDY, and THOMAS, JJ., Part III-A of
which was joined by REHNQUIST, C. J., and WHITE, O'CONNOR, KENNEDY,
and THOMAS, JJ., Part III-B-l of which was joined by REHNQUIST, C.
J., and WHITE, BLACKMUN, STEVENS, O'CONNOR, KENNEDY, and THOMAS,
JJ., and Parts III-B-2 and IV of which were joined by BLACKMUN,
STEVENS, O'CONNOR, and KENNEDY, JJ. O'CONNOR, J., filed a
concurring opinion,
post, p. 541. REHNQUIST, C. J., filed an
opinion concurring in part and dissenting in part, in which WHITE
and THOMAS, JJ., joined,
post, p. 541.
529
STEVENS, J., filed an opinion concurring in part and dissenting
in part, in which BLACKMUN, J., joined,
post, p. 545.
SCALIA, J., filed an opinion concurring in part and dissenting in
part,
post, p. 553.
Gary Caldwell argued the cause for petitioner. With him
on the briefs were
Richard L. Jorandby and
Eric
Cumfer.
Carolyn M. Snurkowski, Assistant Attorney General of
Florida, argued the cause for respondent. With her on the brief
were
Robert A. Butterworth, Attorney General, and
Celia
A. Terenzio, Assistant Attorney General. *
JUSTICE SOUTER delivered the opinion of the Court. Under Florida
law, after a defendant is found guilty of capital murder, a
separate jury proceeding is held as the first of two steps in
deciding whether his sentence should be life imprisonment or death.
Fla. Stat. § 921.141(1) (1991). At the close of such aggravating
and mitigating evidence as the prosecution and the defense may
introduce, the trial judge charges the jurors to weigh whatever
aggravating and mitigating circumstances or factors they may find,
and to reach an advisory verdict by majority vote. § 921.141(2).
The jury does not report specific findings of aggravating and
mitigating circumstances, but if, at the second sentencing step,
the judge decides upon death, he must issue a written statement of
the circumstances he finds. § 921.141(3). A death sentence is then
subject to automatic review by the Supreme Court of Florida. §
921.141(4).
A Florida trial court sentenced petitioner to death after a jury
so recommended, and the Supreme Court of Florida affirmed. We must
determine whether, as petitioner claims, the sentencer in his case
weighed either of two aggravating factors that he claims were
invalid, and if so, whether the State Supreme Court cured the error
by holding it harmless.
*Steven M. Goldstein filed a brief for the Volunteer
Lawyers Resource Center of Florida, Inc., as
amicus curiae
urging reversal.
Michael Mello filed a brief for the Capital Collateral
Representative of the State of Florida as
amicus curiae.
530
We answer yes to the first question and no to the second, and
therefore vacate the judgment of the Supreme Court of Florida and
remand.
I
On New Year's Eve 1981, petitioner Dennis Sochor met a woman in
a bar in Broward County, Florida. Sochor tried to rape her after
they had left together, and her resistance angered him to the point
of choking her to death. He was indicted for first-degree murder
and kidnaping and, after a jury trial, was found guilty of each
offense.
At the penalty hearing, aggravating and mitigating evidence was
offered, and the jury was instructed on the possibility of finding
four aggravating circumstances, two of which were that
"the crime for which the defendant is to be sentenced was
especially wicked, evil, atrocious or cruel, and [that] the crime
for which the defendant is to be sentenced was committed in a cold,
calculated and premeditated manner, without any pretense of moral
or legal justification." App. 326-327.
The judge then explained to the jury that it could find certain
statutory and any nonstatutory mitigating circumstances, which were
to be weighed against any aggravating ones. By a vote of 10 to 2,
the jury recommended the death penalty for the murder. The trial
court adopted the jury's recommendation, finding all four
aggravating circumstances as defined in the jury instructions and
no circumstances in mitigation.
The Supreme Court of Florida affirmed. 580 So. 2d 595 (1991). It
declined to reverse for unconstitutional vagueness in the trial
judge's instruction that the jury could find as an aggravating
factor that "the crime for which the defendant is to be sentenced
was especially wicked, evil, atrocious or cruel" (hereinafter, for
brevity, the heinousness factor, after the statute's words
"heinous, atrocious, or
531
cruel," Fla. Stat. § 921.141(5)(h) (1991)). The court held the
issue waived for failure to object and the claim lacking merit in
any event. 580 So. 2d, at 602-603, and n. 10. The court also
rejected Sochor's claim of insufficient evidence to support the
trial judge's finding of the heinousness factor, citing evidence of
the victim's extreme anxiety and fear before she died. The State
Supreme Court did agree with Sochor, however, that the evidence
failed to support the trial judge's finding that "the crime ... was
committed in a cold, calculated, and premeditated manner without
any pretense of moral or legal justification" (hereinafter the
coldness factor), holding this factor to require a "heightened"
degree of premeditation not shown in this case.
Id., at 603.
The State Supreme Court affirmed the death sentence notwithstanding
the error, saying that:
"[1] We ... disagree with Sochor's claim that his death sentence
is disproportionate. [2] The trial court carefully weighed the
aggravating factors against the lack of any mitigating factors and
concluded that death was warranted. [3] Even after removing the
aggravating factor of cold, calculated, and premeditated there
still remain three aggravating factors to be weighed against no
mitigating circumstances. [4] Striking one aggravating factor when
there are no mitigating circumstances does not necessarily require
resentencing. Robinson v. State, 574 So. 2d 108 (Fla. 1991);
Holton v. State, 573 So. 2d 284 (Fla. 1990); James v.
State, 453 So. 2d 786 (Fla.), cert. denied, 469 U. S.
1098 ... (1984); Francois v. State, 407 So. 2d 885 (Fla.
1981), cert. denied, 458 U. S. 1122 ... (1982). [5] Under
the circumstances of this case, and in comparison with other death
cases, we find Sochor's sentence of death proportionate to his
crime. E. g., Hitchcock v. State, 578 So. 2d 685 (Fla.
1990); Tompkins[ v. State, 502 So. 2d 415 (Fla.
1986), cert. denied, 483 U. S. 1033 (1987)]; Doyle[ v.
State, 460 So. 2d 353 (Fla. 1984)]." Id., at 604.
532
Sochor petitioned for a writ of certiorari, raising four
questions. We granted review limited to the following two: (1) "Did
the application of Florida's [heinousness factor] violate the
Eighth and Fourteenth Amendments?" and (2) "Did the Florida Supreme
Court's review of petitioner's death sentence violate the Eighth
and Fourteenth Amendments where that court upheld the sentence even
though the trial court had instructed the jury on, and had applied,
an improper aggravating circumstance, [in that] the Florida Supreme
Court did not reweigh the evidence or conduct a harmless error
analysis as to the effect of improper use of the circumstance on
the jury's penalty verdict?" Pet. for Cert. ii; see 502 U. S. 967
(1991).
II
In a weighing State like Florida, there is Eighth Amendment
error when the sentencer weighs an "invalid" aggravating
circumstance in reaching the ultimate decision to impose a death
sentence. See
Clemons v.
Mississippi, 494 U. S. 738, 752
(1990). Employing an invalid aggravating factor in the weighing
process "creates the possibility ... of randomness,"
Stringer v.
Black, 503 U. S. 222, 236
(1992), by placing a "thumb [on] death's side of the scale,"
id., at 232, thus "creat[ing] the risk [of] treat[ing] the
defendant as more deserving of the death penalty,"
id., at
235. Even when other valid aggravating factors exist, merely
affirming a sentence reached by weighing an invalid aggravating
factor deprives a defendant of "the individualized treatment that
would result from actual reweighing of the mix of mitigating
factors and aggravating circumstances."
Clemons, supra, at
752 (citing
Lockett v.
Ohio, 438 U. S. 586 (1978), and
Eddings v.
Oklahoma, 455 U. S. 104 (1982));
see
Parker v.
Dugger, 498 U. S. 308, 321
(1991). While federal law does not require the state appellate
court to remand for resentencing, it must, short of remand, either
itself reweigh without the invalid aggravating factor or determine
that weighing the invalid factor was harmless error.
Id., at
320.
533
A
Florida's capital sentencing statute allows application of the
heinousness factor if "[t]he capital felony was especially heinous,
atrocious, or cruel." Fla. Stat. § 921.141(5)(h) (1991). Sochor
first argues that the jury instruction on the heinousness factor
was invalid in that the statutory definition is unconstitutionally
vague, see
Maynard v.
Cartwright, 486 U. S. 356 (1988);
Godfrey v.
Georgia, 446 U. S. 420 (1980), and
the instruction failed to narrow the meaning enough to cure the
defect. This error goes to the ultimate sentence, Sochor claims,
because a Florida jury is "the sentencer" for
Clemons
purposes, or at the least one of "the sentencer's" constituent
elements. This is so because the trial judge does not render wholly
independent judgment, but must accord deference to the jury's
recommendation. See
Tedder v.
State, 322 So. 2d 908,
910 (Fla. 1975) (life verdict);
Grossman v.
State,
525 So. 2d 833, 839, n. 1 (Fla. 1988) (death verdict), cert.
denied, 489 U. S. 1071 (1989). Hence, the argument runs, error at
the jury stage taints a death sentence, even if the trial judge's
decision is otherwise error free. Cf.
Baldwin v.
Alabama, 472
U. S. 372, 382 (1985). While Sochor concedes that the general
advisory jury verdict does not reveal whether the jury did find and
weigh the heinousness factor, he seems to argue that the
possibility that the jury weighed an invalid factor is enough to
require cure.
This argument faces a hurdle, however, in the rule that this
Court lacks jurisdiction to review a state court's resolution of an
issue of federal law if the state court's decision rests on an
adequate and independent state ground, see
Herb v.
Pitcairn, 324
U. S. 117, 125-126 (1945), as it will if the state court's
opinion "indicates clearly and expressly" that the state ground is
an alternative holding, see
Michigan v.
Long,
463 U. S. 1032,
1041 (1983); see also
Harris v.
Reed, 489 U. S. 255, 264, n. 10
(1989);
Fox Film Corp. v.
Muller, 296 U. S. 207, 210
(1935).
534
The Supreme Court of Florida said this about petitioner's claim
that the trial judge's instruction on the heinousness factor was
unconstitutional:
"Sochor's next claim, regarding alleged errors in the penalty
jury instructions, likewise must fail. None of the complained-of
jury instructions were objected to at trial, and, thus, they are
not preserved for appeal. Vaught v. State, 410 So. 2d 147
(Fla. 1982). In any event, Sochor's claims here have no
merit.10
"10 .•••• We reject without discussion Sochor's ... claims ...
that the instructions as to the aggravating factors of heinous,
atrocious, or cruel and cold, calculated, and premeditated were
improper .... "
580 So. 2d, at 602-603, and n. 10.
The quoted passage indicates with requisite clarity that the
rejection of Sochor's claim was based on the alternative state
ground that the claim was "not preserved for appeal," and Sochor
has said nothing in this Court to persuade us that this state
ground is either not adequate or not independent. Hence, we hold
ourselves to be without authority to address Sochor's claim based
on the jury instruction about the heinousness factor. *
*JUSTICE STEVENS'S dissenting conclusion that we do have
jurisdiction,
post, at 547-549, is mistaken. First, the
suggestion that Sochor's pretrial motion objecting to the vagueness
of Florida's heinousness factor preserved his objection to the
heinousness instruction to the jury,
post, at 547, ignores
the settled rule of Florida procedure that, in order to preserve an
objection, a party must object after the trial judge has instructed
the jury. See,
e. g., Harris v.
State, 438 So. 2d
787, 795 (Fla. 1983), cert. denied, 466 U. S. 963 (1984);
Vazquez v.
State, 518 So. 2d 1348, 1350 (Fla. App.
1987); Walker v.
State, 473 So. 2d 694, 697-698 (Fla.
App. 1985). While the rule is subject to a limited exception for an
advance request for a specific jury instruction that is explicitly
denied, see,
e. g., State v.
Heathcoat, 442 So. 2d
955, 957 (Fla. 1983);
Buford v.
Wainwright, 428 So.
2d
535
B
Sochor maintains that the same Eighth Amendment violation
occurred again when the trial judge, who both parties
1389, 1390 (Fla.), cert. denied, 464 U. S. 956 (1983);
De
Parias v.
State, 562 So. 2d 434, 435 (Fla. App. 1990),
Sochor gets no benefit from this exception, because he never asked
for a specific instruction.
Second, JUSTICE STEVENS states that "the Florida Supreme Court,
far from providing us with a plain statement that petitioner's
claim was procedurally barred, has merely said that the claim was
not preserved for appeal, and has given even further indication
that petitioner's claim was not procedurally barred by proceeding
to the merits, albeit in the alternative."
Post, at 547-548
(citations and internal quotation marks omitted). It is difficult
to comprehend why the State Supreme Court's statement that "the
claim was not preserved for appeal" would not amount to "a plain
statement that petitioner's claim was procedurally barred,"
especially since there is no reason to believe that error of the
kind Sochor alleged cannot be waived under Florida law, see this
note,
infra. It is even more difficult to comprehend why the
fact that the State Supreme Court rested upon this state ground
merely in the alternative would somehow save our jurisdiction. See
supra, at 533.
Third, JUSTICE STEVENS suggests that, in holding Sochor's claim
waived, the Supreme Court of Florida implied that the claim did not
implicate "fundamental error," and that this in turn implied a
rejection of Sochor's claim of "error," presumably because all
federal constitutional error (or at least the kind claimed by
Sochor) would automatically be "fundamental."
Post, at
548-549. To say that this is "the most reasonable explanation,"
Michigan v.
Long, 463 U. S. 1032, 1041
(1983), of the court's summary statement that Sochor's claim was
"not preserved for appeal," see 580 So. 2d, at 602-603, is an
Olympic stretch, see
Harris v.
Reed, 489 U. S. 255,274-276
(1989) (KENNEDY, J., dissenting). In any event, we know of no
Florida authority supporting JUSTICE STEVENS'S suggestion that all
federal constitutional error (or even the kind claimed by Sochor)
would be automatically "fundamental." Indeed, where, as here, valid
aggravating factors would remain, instructional error involving
another factor is not "fundamental." See
Occhicone v.
State, 570 So. 2d 902, 906 (Fla. 1990), cert. denied, 500 U.
S. 938 (1991).
Finally, JUSTICE STEVENS'S suggestion that the State waived its
independent-state-ground defense,
post, at 548-549, forgets
that this defense goes to our jurisdiction and therefore cannot be
waived. See
supra, at 533.
536
agree is at least a constituent part of "the sentencer," weighed
the heinousness factor himself. To be sure, Sochor acknowledges the
rule in
Walton v.
Arizona, 497 U. S. 639 (1990),
where we held it was no error for a trial judge to weigh an
aggravating factor defined by statute with impermissible vagueness,
when the State Supreme Court had construed the statutory language
narrowly in a prior case.
Id., at 653. We presumed that the
trial judge had been familiar with the authoritative construction,
which gave significant guidance.
Ibid. Sochor nonetheless
argues that
Walton is no help to the State, because
Florida's heinousness factor has not been subjected to the
limitation of a narrow construction from the State Supreme
Court.
In
State v.
Dixon, 283 So. 2d 1 (1973), cert.
denied, 416 U. S. 943 (1974), the Supreme Court of Florida
construed the statutory definition of the heinousness factor:
"It is our interpretation that heinous means extremely wicked or
shockingly evil; that atrocious means outrageously wicked and vile;
and, that cruel means designed to inflict a high degree of pain
with utter indifference to, or even enjoyment of, the suffering of
others. What is intended to be included are those capital crimes
where the actual commission of the capital felony was accompanied
by such additional acts as to set the crime apart from the norm of
capital felonies-the conscienceless or pitiless crime which is
unnecessarily torturous to the victim." 283 So. 2d, at 9.
Understanding the factor, as defined in
Dixon, to apply
only to a "conscienceless or pitiless crime which is unnecessarily
torturous to the victim," we held in
Proffitt v.
Florida,
428 U. S. 242 (1976), that the sentencer had adequate guidance.
See
id., at 255-256 (opinion of Stewart, Powell, and
STEVENS, JJ.).
Sochor contends, however, that the State Supreme Court's
post-Proffitt cases have not adhered to
Dixon's
limitation as
537
stated in
Proffitt, but instead evince inconsistent and
overbroad constructions that leave a trial court without sufficient
guidance. And we may well agree with him that the Supreme Court of
Florida has not confined its discussions on the matter to the
Dixon language we approved in
Proffitt, but has on
occasion continued to invoke the entire
Dixon statement
quoted above, perhaps thinking that
Proffitt approved it
all. See,
e. g., Porter v.
State, 564 So. 2d 1060
(1990), cert. denied, 498 U. S. 1110 (1991);
Cherry v.
State, 544 So. 2d 184, 187 (1989), cert. denied, 494 U. S.
1090 (1990);
Lucas v.
State, 376 So. 2d 1149, 1153
(1979).
But however much that may be troubling in the abstract, it need
not trouble us here, for our review of Florida law indicates that
the State Supreme Court has consistently held that heinousness is
properly found if the defendant strangled a conscious victim. See
Hitchcock v.
State, 578 So. 2d 685, 692-693 (1990),
cert. denied, 502 U. S. 912 (1991);
Holton v.
State,
573 So. 2d 284, 292 (1990);
Tompkins v.
State, 502
So. 2d 415, 421 (1986);
Johnson v.
State, 465 So. 2d
499, 507, cert. denied, 474 U. S. 865 (1985);
Adams v.
State, 412 So. 2d 850, cert. denied, 459 U. S. 882 (1982).
Cf.
Rhodes v.
State, 547 So. 2d 1201, 1208 (1989)
(strangulation of semiconscious victim not heinous);
Herzog
v.
State, 439 So. 2d 1372 (1983) (same). We must presume the
trial judge to have been familiar with this body of case law, see
Walton, 497 U. S., at 653, which, at a minimum, gave the
trial judge "[some] guidance,"
id., at 654. Since the Eighth
Amendment requires no more, we infer no error merely from the fact
that the trial judge weighed the heinousness factor. While Sochor
responds that the State Supreme Court's interpretation of the
heinousness factor has left Florida trial judges without sufficient
guidance in other factual situations, we fail to see how that
supports the conclusion that the trial judge was without sufficient
guidance in the case at hand. See generally
Maynard v.
Cartwright, 486 U. S., at 361-364.
538
III
Sochor also claims that when "the sentencer" weighed the
coldness factor there was Eighth Amendment error that went
uncorrected in the State Supreme Court.
A
First, Sochor complains of consideration of the coldness factor
by the jury, the first step in his argument being that the coldness
factor was "invalid" in that it was unsupported by the evidence;
the second step, that the jury in the instant case "weighed" the
coldness factor; and the third and last step, that in Florida the
jury is at least a constituent part of "the sentencer" for
Clemons purposes. The argument fails, however, for the
second step is fatally flawed. Because the jury in Florida does not
reveal the aggravating factors on which it relies, we cannot know
whether this jury actually relied on the coldness factor. If it did
not, there was no Eighth Amendment violation. Thus, Sochor
implicitly suggests that, if the jury was allowed to rely on any of
two or more independent grounds, one of which is infirm, we should
presume that the resulting general verdict rested on the infirm
ground and must be set aside. See
Mills v.
Maryland,
486 U. S. 367,
376-377 (1988); cf.
Stromberg v.
California, 283 U. S. 359, 368
(1931). Just this Term, however, we held it was no violation of due
process that a trial court instructed a jury on two different legal
theories, one supported by the evidence, the other not. See
Griffin v.
United States, 502 U. S. 46 (1991). We
reasoned that although a jury is unlikely to disregard a theory
flawed in law, it is indeed likely to disregard an option simply
unsupported by evidence.
Id., at 59-60. We see no occasion
for different reasoning here, and accordingly decline to presume
jury error.
B
Sochor next complains that Eighth Amendment error in the trial
judge's weighing of the coldness factor was left uncured by the
State Supreme Court.
539
1
We can start from some points of agreement. The parties agree
that, in Florida, the trial judge is at least a constituent part of
"the sentencer" for
Clemons purposes, and there is, of
course, no doubt that the trial judge "weighed" the coldness
factor, as he said in his sentencing order. Nor is there any
question that the coldness factor was "invalid" for
Clemons
purposes, since
Parker applied the
Clemons rule where
a trial judge had weighed two aggravating circumstances that were
invalid in the sense that the Supreme Court of Florida had found
them to be unsupported by the evidence. See 498 U. S., at 311. It
follows that Eighth Amendment error did occur when the trial judge
weighed the coldness factor in the instant case. What is in issue
is the adequacy of the State Supreme Court's effort to cure the
error under the rule announced in
Clemons, that a sentence
so tainted requires appellate reweighing or review for
harmlessness.
2
We noted in
Parker that the Supreme Court of Florida will
generally not reweigh evidence independently, 498 U. S., at 319
(citing
Hudson v.
State, 538 So. 2d 829, 831
(per
curiam), cert. denied, 493 U. S. 875 (1989);
Brown v.
Wainwright, 392 So. 2d 1327, 1331-1332 (1981)
(per
curiam)), and the parties agree that, to this extent at least,
our perception of Florida law was correct. The State argues,
nonetheless, that, in this case, the State Supreme Court did
support the death verdict adequately by performing harmless-error
analysis. It relies on the excerpt from the state court's opinion
quoted above, and particularly on the second through fourth
sentences, as "declar[ing] a belief that" the trial judge's
weighing of the coldness factor "was harmless beyond a reasonable
doubt" in that it "did not contribute to the [sentence] obtained."
Chapman v.
California, 386 U. S. 18, 24 (1967).
This, however, is far from apparent. Not only does the State
Supreme Court's opinion fail so much as to mention
540
"harmless error," see
Yates v.
Evatt, 500 U. S. 391, 406
(1991), but the quoted sentences numbered one and five expressly
refer to the quite different enquiry whether Sochor's sentence was
proportional.
The State tries to counter this deficiency by arguing that the
four cases cited following the fourth sentence of the quoted
passage were harmless-error cases, citation to which was a
shorthand signal that the court had reviewed this record for
harmless error as well. But the citations come up short. Only one
of the four cases contains language giving an explicit indication
that the State Supreme Court had performed harmless-error analysis.
See
Holton v.
State, 573 So. 2d 284, 293 (1990) ("We
find the error was harmless beyond a reasonable doubt"). The other
three simply do not, and the result is ambiguity.
Although we do not mean here to require a particular formulaic
indication by state courts before their review for harmless federal
error will pass federal scrutiny, a plain statement that the
judgment survives on such an enquiry is clearly preferable to
allusions by citation. In any event, when the citations stop as far
short of clarity as these do, they cannot even arguably substitute
for explicit language signifying that the State Supreme Court
reviewed for harmless error.
IV
In sum, Eighth Amendment error occurred when the trial judge
weighed the coldness factor. Since the Supreme Court of Florida did
not explain or even "declare a belief that" this error "was
harmless beyond a reasonable doubt" in that "it did not contribute
to the [sentence] obtained,"
Chapman, supra, at 24, the
error cannot be taken as cured by the State Supreme Court's
consideration of the case. It follows that Sochor's sentence cannot
stand on the existing record of appellate review. We vacate the
judgment of the
541
Supreme Court of Florida and remand the case for proceedings not
inconsistent with this opinion.
It is so ordered.
JUSTICE O'CONNOR, concurring.
I join the Court's opinion but write separately to set forth my
understanding that the Court does not hold that an appellate court
can fulfill its obligations of meaningful review by simply reciting
the formula for harmless error. In
Chapman v.
California, 386
U. S. 18 (1967), we held that before a federal constitutional
error can be held harmless, the reviewing court must find "beyond a
reasonable doubt that the error complained of did not contribute to
the verdict obtained."
Id., at 24. This is a justifiably
high standard, and while it can be met without uttering the magic
words "harmless error," see
ante, at 540, the reverse is not
true. An appellate court's bald assertion that an error of
constitutional dimensions was "harmless" cannot substitute for a
principled explanation of how the court reached that conclusion. In
Clemons v.
Mississippi, 494 U. S. 738 (1990), for
example, we did not hesitate to remand a case for "a detailed
explanation based on the record" when the lower court failed to
undertake an explicit analysis supporting its "cryptic,"
onesentence conclusion of harmless error.
Id., at 753. I
agree with the Court that the Florida Supreme Court's discussion of
the proportionality of petitioner's sentence is not an acceptable
substitute for harmless error analysis, see
ante, at
539-540, and I do not understand the Court to say that the mere
addition of the words "harmless error" would have sufficed to
satisfy the dictates of
Clemons.
CHIEF JUSTICE REHNQUIST, with whom JUSTICE WHITE and JUSTICE
THOMAS join, concurring in part and dissenting in part.
I join in all that the Court has to say in rejecting Sochor's
claim that the application of Florida's "heinousness" factor in
542
Opinion of REHNQUIST, C. J.
this case violated his constitutional rights. I also agree with
the majority that Eighth Amendment error occurred when the trial
judge weighed the invalid "coldness" factor in imposing Sochor's
death sentence. Accordingly, I join Parts I, II, III-A, and III-B-l
of the Court's opinion. I dissent from Parts III-B-2 and IV of the
opinion, however, for I believe that the Supreme Court of Florida
cured this sentencing error by finding it harmless. I would thus
affirm the judgment below and uphold the sentence.
When a reviewing court invalidates one or more of the
aggravating factors upon which the sentencer relied in imposing a
death sentence, the court may uphold the sentence by reweighing the
remaining evidence or by conducting harmless-error analysis.
Clemons v.
Mississippi, 494 U. S. 738 (1990). As
the majority observes, the Supreme Court of Florida does not in
practice independently reweigh aggravating and mitigating evidence,
and it did not do so in this case.
Ante, at 539-540. In
order to sustain Sochor's sentence, the court thus had to find any
error harmless. In other words, it had to find beyond a reasonable
doubt that the trial judge would still have imposed the death
sentence if he had not considered the "coldness" factor when
performing the weighing function required by Florida law.
Clemons v.
Mississippi, supra, at 753;
Chapman
v.
California, 386 U. S. 18, 24 (1967).
It seems clear to me that the court reached this conclusion, and
that the conclusion is certainly justified by the facts of this
case.
After finding that the trial judge erred in relying on the
"coldness" factor in determining Sochor's sentence, the Supreme
Court of Florida stated:
"The trial court carefully weighed the aggravating factors
against the lack of any mitigating factors and concluded that death
was warranted. Even after removing the aggravating factor of cold,
calculated, and premeditated there still remain three aggravating
factors to be weighed against no mitigating circumstances.
Striking
543
one aggravating factor when there are no mitigating
circumstances does not necessarily require resentencing.
Robinson v. State, 574 So. 2d 108 (Fla. 1991); Holton v.
State, 573 So. 2d 284 (Fla. 1990); James v. State, 453
So. 2d 786 (Fla.), cert. denied, 469 U. S. 1098 ... (1984);
Francois v. State, 407 So. 2d 885 (Fla. 1981), cert.
denied, 458 U. S. 1122 ... (1982)." 580 So. 2d 595, 604
(1991).
The Court now holds that this passage fails to indicate that the
error in this case was viewed as harmless. It is true that the
passage does not mention the words "harmless error." But we have
never held that a court must necessarily recite those words in
determining whether an error had an effect on a certain result. In
deciding whether the Supreme Court of Florida conducted adequate
harmless-error analysis in this case, our focus should not be
solely on the particular words and phrases it used to convey its
thoughts. Whatever words it used, if they show that it concluded
beyond a reasonable doubt that elimination of the "coldness"
aggravating factor would have made no difference to Sochor's
sentence, then it conducted adequate harmless-error analysis. See
Parker v.
Dugger, 498 U. S. 308, 319
(1991).
I am convinced by the passage quoted above that the Supreme
Court of Florida believed, beyond a reasonable doubt, that the
elimination of the "coldness" factor would have made no difference
at all in this case. A review of the aggravating and mitigating
evidence presented in this case demonstrates why. In making his
sentencing determination, the trial judge found four aggravating
circumstances, including the "coldness" aggravator. He found
absolutely
no mitigating evidence. After weighing the four
aggravating circumstances against zero mitigating circumstances,
the trial judge imposed the death penalty. The Supreme Court of
Florida later found the "coldness" aggravating circumstance
invalid. It observed, however, that three valid aggravators were
left to be balanced against the complete lack of mitigating
evidence. On that basis, the court concluded
544
Opinion of REHNQUIST, C. J.
that resentencing was unnecessary. After reaching that
conclusion, the court cited four cases in which it had invalidated
aggravating factors but had upheld the death sentences, having
found that the inclusion of those aggravators made no difference to
the weighing process. One of the cases cited in fact made explicit
mention of harmless-error analysis.
Holton v.
State,
573 So. 2d 284, 293 (1990) ("Under the circumstances of this case,
we cannot say there is any reasonable likelihood the trial court
would have concluded that the three valid aggravating circumstances
were outweighed by the mitigating factors. We find the error was
harmless beyond a reasonable doubt") (citation omitted). See
supra, at 542-543.
In my mind, it is no stretch to conclude that the court saw this
case for what it is-a paradigmatic example of the situation where
the invalidation of an aggravator makes absolutely no difference in
the sentencing calculus. We have previously observed that the
invalidation of an aggravating circumstance results in the removal
of a "thumb ... from death's side of the scale."
Stringer v.
Black, 503 U.
S. 222, 232 (1992). Precisely for this reason, we require
appellate courts to either reweigh the evidence or perform
harmlesserror analysis if they seek to affirm a death sentence
after invalidating an aggravator. In a case such as this, however,
where there is not so much as a thumbnail on the scale in favor of
mitigation, I would not require appellate courts to adhere to any
particular form of words to demonstrate that which is evident. If
the trial judge in this case had eliminated the "coldness"
aggravator from the weighing process, and had balanced the three
valid aggravators against the complete absence of mitigating
evidence, the absent mitigating evidence would still have failed to
outweigh the aggravating evidence, and the sentence would still
have been death. Although it did so cursorily, I am convinced that
the Supreme Court of Florida found the inclusion of the invalid
"coldness" factor harmless beyond a reasonable doubt.
545
It seems that the omission of the words "harmless error" from
the opinion below is the root of this Court's dissatisfaction with
it. In all likelihood, the Supreme Court of Florida will reimpose
Sochor's death sentence on remand, perhaps by appending a sentence
using the talismanic phrase "harmless error." Form will then
correspond to substance, but this marginal benefit does not justify
our effort to supervise the opinion writing of state courts. I
would therefore affirm the judgment below.
JUSTICE STEVENS, with whom JUSTICE BLACKMUN joins, concurring in
part and dissenting in part.
We granted certiorari to consider two questions.1 The Court
answers the first question in Parts III-B and IV of its opinion,
see
ante, at 538-540, which I join. I do not, however, agree
with the Court's treatment of the plain error that occurred when
the trial judge instructed the jury at the penalty phase of the
trial. See
ante, at 532-534. Florida argues that this error
was harmless because the death sentence was imposed by the judge
rather than the jury. The Court today does not address this
argument because it concludes that petitioner waived the error by
failing to object to the instruction. I disagree with this Court in
its effort
1 Petitioner included four questions in his petition for writ of
certiorari; however, the Court limited its grant to a consideration
of questions two and four, which petitioner framed as follows:
"2. Did the Florida Supreme Court's review of petitioner's death
sentence violate the Eighth and Fourteenth Amendments where that
court upheld the sentence even though the trial court had
instructed the jury on, and had applied, an improper aggravating
circumstance, where the Florida Supreme Court did not reweigh the
evidence or conduct a harmless error analysis as to the effect of
improper use of the circumstance on the jury's penalty
verdict?"
"4. Did the application of Florida's 'especially heinous,
atrocious, or cruel' aggravating circumstance at bar violate the
Eighth and Fourteenth Amendments?" Pet. for Cert. ii.
546
Opinion of STEVENS, J.
to avoid the issue and with the Florida Supreme Court in its
appraisal of the error.
I
There is no dispute that the instruction prescribing the
socalled heinous, atrocious, or cruel aggravating circumstance (or
heinousness factor, according to the Court's nomenclature) 2 was
unconstitutionally vague under our decision in
Maynard v.
Cartwright, 486 U. S. 356 (1988).3 In
Cartwright, the Court explained that "[t]o say that
something is 'especially heinous' merely suggests that the
individual jurors should determine that the murder is more than
just 'heinous,' whatever that means, and an ordinary person could
honestly believe that every unjustified, intentional taking of
human life is 'especially heinous.'"
Id., at 364 (citation
omitted). Although a state court may adopt a limiting construction
of a vague capital sentencing aggravating circumstance to give
meaningful guidance to the sentencer, see
id., at 360,
365; Walton v.
Arizona, 497 U. S. 639, 653
(1990);
Lewis v.
Jeffers, 497 U. S. 764, 778-779
(1990);
Godfrey v.
Georgia, 446 U. S. 420, 428 (1980)
(plurality opinion), or a state appellate court might apply a
limiting definition of the aggravating circumstance to the facts
presented, see
Cartwright, 486 U. S., at 364;
Walton,
497 U. S., at 653;
Jeffers, 497 U. S., at
778-779;
Godfrey, 446 U. S., at 429, the Florida Supreme
2 The trial judge gave the following instruction with respect to
the heinous, atrocious, or cruel aggravating circumstance: "The
aggravating circumstances that you may consider are limited to any
of the following that are established by the evidence .... [N]umber
three, the crime for which the defendant is to be sentenced was
especially wicked, evil, atrocious or cruel." App.326-327.
3 See
Walton v.
Arizona, 497 U. S. 639, 653 (1990)
("It is not enough to instruct the jury in the bare terms of an
aggravating circumstance that is unconstitutionally vague on its
face");
Godfrey v.
Georgia, 446 U. S. 420, 428 (1980)
("There is nothing in these few words, ['outrageously or wantonly
vile, horrible and inhuman,'] standing alone, that implies any
inherent restraint on the arbitrary and capricious infliction of
the death sentence").
547
Court has failed to do so here. In
Proffitt v.
Florida, 428 U. S. 242, 255-256 (1976), this Court approved
the limiting construction adopted by the Florida Supreme Court for
the heinousness factor; 4 however, the guidance given in
State v.
Dixon, 283 So. 2d 1 (Fla. 1973), was
certainly not provided in the bare bones of the instruction given
by the trial court in this case. See n. 2,
supra.
II
Petitioner's failure to object to the instruction at trial did
not deprive the Florida Supreme Court or this Court of the power to
correct the obvious constitutional error. First, petitioner did
object to the vagueness of this aggravating circumstance in a
Motion To Declare Section 921.141, Florida Statutes
Unconstitutional Re: Aggravating and Mitigating Circumstances at
the start of trial, see App. 8, 10; 5 however, that motion was
denied. See 1 Tr. 9. Second, the Florida Supreme Court, though
noting that petitioner had failed to make a contemporaneous
objection to the instruction at the time of trial, nevertheless
went on to reach the merits of petitioner's claim. See 580 So. 2d
595, 603 (1991). Thus, the Florida Supreme Court, far from
providing us with a plain statement that petitioner's claim was
procedurally barred, see
Michigan v.
Long, 463 U. S. 1032, 1042
(1983), has merely said that the claim was "not preserved for
appeal," 580 So. 2d, at 602, and has given even further indica-
4 In
State v.
Dixon, 283 So. 2d 1 (Fla. 1973),
cert. denied, 416 U. S. 943 (1974), the Florida courts had
construed the heinousness factor to apply only to "the
conscienceless or pitiless crime which is unnecessarily torturous
to the victim." 283 So. 2d, at 9.
5 In particular, petitioner alleged:
"Almost any capital felony would appear especially cruel,
heinous and atrocious to the layman, particularly any felony
murder. Examination of the widespread application of this
circumstance indicates that reasonable and consistent application
is impossible. This standard is vague and overbroad and provides no
basis for distinguishing one factual situation from another.
Godfrey v.
Georgia, 446 U. S. 420 (1980)."
App. 10.
548
Opinion of STEVENS, J.
tion that petitioner's claim was not procedurally barred by
proceeding to the merits, albeit in the alternative. Third, and
most important, the state court may review a fundamental error
despite a party's failure to make a contemporaneous objection in
the trial court,6 and it unquestionably has the power to review
this error even though the error may not have been properly
preserved for appeal. 7 As the Florida Supreme Court explained,
"[f]undamental error has been defined as 'error which goes to the
foundation of the case or goes to the merits of the cause of
action,'" and although it is to be applied" 'very guardedly,'" it
nevertheless is to be applied in those "rare cases where a
jurisdictional error appears or where the interests of justice
present a compelling demand for its application."
Ray v.
State, 403 So. 2d 956, 960 (1981) (citations omitted).8
Presumably because the
6 See,
e. g., Ray v.
State, 403 So.
2d 956, 960 (Fla. 1981) ("This Court has indicated that for error
to be so fundamental that it may be urged on appeal, though not
properly presented below, the error must amount to a denial of due
process");
Castor v.
State, 365 So. 2d 701, 704, n. 7
(Fla. 1978) (same);
State v.
Smith, 240 So. 2d 807,
810 (Fla. 1970) (same).
7 The Florida Supreme Court's statement that none of the alleged
errors in the jury instructions had been "preserved for appeal,"
580 So. 2d 595, 602 (1991), merely raised the question whether they
should nevertheless be reviewed under the "fundamental error"
exception. That question was answered by the court's statement that
petitioner's claims "have no merit."
Id., at 603.
8 The Court clearly misconstrues my point about fundamental
error if it understands me to be saying that all errors concerning
an improper instruction on the heinous, atrocious, or cruel
aggravating circumstance "would automatically be 'fundamental.'"
Ante, at 535, n. Quite simply, my point is
not that
such error necessarily constitutes fundamental error, but rather,
that such error can be the subject of fundamental error review. In
other words, the Florida Supreme Court is not without power, even
when the defendant has failed to raise an objection at trial, to
consider whether such error constitutes fundamental error. Although
the Florida Supreme Court may not necessarily find fundamental
error in the particular instance, it is, nevertheless, willing and
able to consider whether fundamental error has occurred. See,
e. g., Walton v.
State, 547 So. 2d 622,
625-626 (Fla. 1989) ("Absent fundamental error, failure to object
to the
549
state court reviews for fundamental error, but did not find such
error here, the State did not oppose the petition for certiorari by
arguing procedural default. See Brief in Opposition 11 (State
argued heinousness factor was not unconstitutionally vague). Under
these circumstances, the State has waived any possible procedural
objection to our consideration of the erroneous jury instruction,9
and this Court, contrary to its protestation, is not "without
authority" to address petitioner's claim.
Ante, at 534.
III
We should reject unequivocally Florida's submission that
erroneous jury instructions at the penalty phase of a capital case
are harmless because the trial judge is the actual sentencer and
the jury's role is purely advisory. That submission is unsound as a
matter of law, see,
e. g., Riley v.
Wainwright, 517
So. 2d 656, 659 (Fla. 1987);
Hall v.
State, 541 So.
2d 1125, 1129 (Fla. 1989), and as a matter of fact.
As a matter of law, the jury plays an essential role in the
Florida sentencing scheme. Under
Tedder v.
State,
322
jury instructions at trial precludes appellate review .... We
find no fundamental error in the instructions"), cert. denied, 493
U. S. 1036 (1990);
Smalley v.
State, 546 So. 2d 720,
722 (Fla. 1989).
9See
Oklahoma City v.
Tuttle, 471 U. S. 808,816 (1985)
("Our decision to grant certiorari represents a commitment of
scarce judicial resources with a view to deciding the merits of one
or more of the questions presented in the petition.
Nonjurisdictional defects of this sort should be brought to our
attention
no later than in respondent's brief in opposition
to the petition for certiorari; if not, we consider it within our
discretion to deem the defect waived").
Contrary to the Court's suggestion that I have forgotten that
the "defense" is jurisdictional, see
ante, at 535, n., I
believe the Court has forgotten that we have ample power to review
a state court's disposition of a federal question on its merits. If
the Florida Supreme Court has jurisdiction to consider petitioner's
claim, as I believe it does when it engages in fundamental error
review and reaches the merits of the claim, then this Court also
has jurisdiction to reach the merits.
550
Opinion of STEVENS, J.
So. 2d 908 (Fla. 1975), and its progeny,10 a jury's
recommendation must be given "great weight."
Id., at 910.
The Florida Supreme Court explained that a jury recommendation of a
life sentence can be overturned only if "the facts suggesting a
sentence of death [are] so clear and convincing that virtually no
reasonable person could differ."
Ibid.ll
Similarly, a jury's recommendation of a death sentence must also
be given great weight.12 For example, in
Stone v.
State, 378 So. 2d 765, cert. denied, 449 U. S. 986 (1980),
the Florida Supreme Court discussed a challenge to a death sentence
imposed after a jury had recommended a sentence
10 See,
e. g., Thompson v.
State, 328 So. 2d 1
(Fla. 1976).
11 As the Eleventh Circuit observed about the Florida Supreme
Court:
"That the court meant what it said in
Tedder is amply
demonstrated by the dozens of cases in which it has applied the
Tedder standard to reverse a trial judge's attempt to
override a jury recommendation of life.
See, e. g., Wasko v.
State, 505 So. 2d 1314, 1318 (Fla. 1987);
Brookings v.
State, 495 So. 2d 135, 142-43 (Fla. 1986);
McCampbell v.
State, 421 So. 2d 1072, 1075-76 (Fla. 1982);
Goodwin v.
State, 405 So. 2d 170, 172 (Fla. 1981);
Odom v. State,
403 So. 2d 936, 942-43 (Fla. 1981),
cert. denied, 456 U. S.
925 ...
(1982); Neary v. State, 384 So. 2d 881, 885-88 (Fla.
1980);
Malloy v. State, 382 So. 2d 1190, 1193 (Fla. 1979);
Shue v.
State, 366 So. 2d 387, 390-91 (Fla.
1978);
McCaskill v. State, 344 So. 2d 1276, 1280 (Fla. 1977);
Thompson v. State, 328 So. 2d 1, 5 (Fla. 1976)."
Mann
v.
Dugger, 844 F.2d
1446, 1451 (1988) (en bane), cert. denied, 489 U. S. 1071
(1989).
12 Smith v.
State, 515 So. 2d 182, 185 (Fla. 1987)
("[W]e approve the death sentence on the basis that a jury
recommendation of death is entitled to great weight"), cert.
denied, 485 U. S. 971 (1988); see also
LeDuc v.
State, 365 So. 2d 149, 151 (Fla. 1978) ("The primary
standard for our review of death sentences is that the recommended
sentence of a jury should not be disturbed if all relevant data
w[ere] considered, unless there appear strong reasons to believe
that reasonable persons could not agree with the recommendation"),
cert. denied, 444 U. S. 885 (1979);
Ross v.
State,
386 So. 2d 1191, 1197 (Fla. 1980) (same);
Middleton v.
State, 426 So. 2d 548, 552-553 (Fla. 1982) (approving trial
court's imposition of death sentence and reiterating that jury had
recommended death), cert. denied,
463 U. S. 1230 (1983);
Francois v.
State, 407 So. 2d 885, 891 (Fla. 1981)
(same), cert. denied, 458 U. S. 1122 (1982); cf.
Grossman v.
State, 525 So. 2d, at 839, n. 1 ("We have ... held that a
jury recommendation of death should be given great weight").
551
of death. The petitioner had based his challenge on a similar
case,
Swan v.
State, 322 So. 2d 485 (Fla. 1975), in
which the court had reversed the death sentence. In affirming
Stone's sentence, however, the court pointed out that the critical
difference between Stone's case and Swan's case was that "Swan's
jury recommended mercy while Stone's recommended death and the jury
recommendation is entitled to great weight.
Tedder v.
State, 322 So. 2d 908 (Fla. 1975)." 378 So. 2d, at
772.13
As a matter of fact, the jury sentence is the sentence that is
usually imposed by the Florida Supreme Court. The State has
attached an appendix to its brief, see App. to Brief for Respondent
A1-A70, setting forth data concerning 469 capital cases that were
reviewed by the Florida Supreme Court between 1980 and 1991. In 341
of those cases (73%), the jury recommended the death penalty; in
none of those cases did the trial judge impose a lesser sentence.
In 91 cases (19%), the jury recommended a life sentence; in all but
one of those cases, the trial judge overrode the jury's recommended
life sentence and imposed a death sentence. In 69 of those
overrides (77%), however, the Florida Supreme Court vacated the
trial judge's sentence and either imposed a life sentence itself or
remanded for a new sentencing hearing.14
13 The Florida courts have long recognized the integral role
that the jury plays in their capital sentencing scheme. See,
e.
g., Messer v.
State, 330 So. 2d 137, 142 (Fla. 1976)
("[T]he legislative intent that can be gleaned from Section 921.141
... [indicates that the legislature] sought to devise a scheme of
checks and balances in which the input of the jury serves as an
integral part"); see also
Riley v.
Wainwright, 517
So. 2d 656, 657 (Fla. 1988) ("This Court has long held that a
Florida capital sentencing jury's recommendation is an integral
part of the death sentencing process");
Lamadline v.
State, 303 So. 2d 17,20 (Fla. 1974) (right to sentencing
jury is "an essential right of the defendant under our death
penalty legislation").
14 In 37 out of the 469 cases, there was no jury recommendation
either because the defendant had waived the right to a jury trial
or had offered a plea, or because the jury selection or trial had
to be redone.
552
Opinion of STEVENS, J.
Two conclusions are evident. First, when the jury recommends a
death sentence, the trial judge will almost certainly impose that
sentence. Second, when the jury recommends a life sentence,
although overrides have been sustained occasionally, the Florida
Supreme Court will normally uphold the jury rather than the judge.
It is therefore clear that in practice, erroneous instructions to
the jury at the sentencing phase of the trial may make the
difference between life or death.
When a jury has been mistakenly instructed on the heinous,
atrocious, or cruel aggravating circumstance, the Florida Supreme
Court, acknowledging the important role that the jury plays in the
sentencing scheme, has held that the error was reversible. For
example, in
Jones v.
State, 569 So. 2d 1234 (1990),
in which the jury was instructed on the heinousness factor, but the
body had been sexually abused
after death, and the death had
occurred quickly as the result of a gunshot wound, the Florida
Supreme Court concluded that the heinousness factor was
inapplicable and that its inclusion in the instructions constituted
reversible error. Similarly, in
Omelus v.
State, 584
So. 2d 563 (1991), when the trial court had instructed the jury on
the heinousness factor even though the defendant had contracted
with a third party to perform the killing, and had no knowledge of
how the murder was accomplished, the Florida Supreme Court remanded
the case for resentencing. Thus, the Florida Supreme Court
recognized that when the jury's deliberative process is infected by
consideration of an inapplicable aggravating factor, the sentence
must be vacated unless the error is harmless beyond a reasonable
doubt.15 Similarly, the court has recog-
15 As the Eleventh Circuit observed:
"[T]he Florida Supreme Court will vacate the [death] sentence
and order resentencing before a new jury if it concludes that the
proceedings before the original jury were tainted by error .... In
those cases, the supreme court frequently focuses on how the error
may have affected the jury's recommendation .... Such a focus would
be illogical unless the supreme
553
nized that when the jury is given an instruction that is
unconstitutionally vague, the jury's deliberative process is also
tainted,16 and a remand is appropriate so that the jury can reach a
sentence that is not influenced by the unconstitutional factor
unless the error is harmless beyond a reasonable doubt.
The harmless-error inquiry to be conducted by the Florida
Supreme Court on remand should, therefore, encompass the erroneous
jury instruction on the heinousness factor and the error in
submitting an instruction on the cold, calculated, and premeditated
aggravating circumstance to the jury when the evidence did not
support such an instruction, as well as the error committed by the
trial judge in relying on that factor.
For the reasons given above, I concur in Parts I, III-B, and IV,
and respectfully disagree with Parts II-A, II-B, and III-A.
JUSTICE SCALIA, concurring in part and dissenting in part. I
join the Court's opinion insofar as it rejects petitioner's
challenge to the heinous, atrocious, and cruel aggravating factor.
I dissent, however, from its holding that the death sentence in
this case is unconstitutional because the Florida Supreme Court
failed to find "harmless error" after having invalidated the trial
judge's "coldness" finding.
Even without that finding, three unquestionably valid
aggravating factors remained, so that the death sentence com-
court began with the premise that the jury's recommendation must
be given significant weight by the trial judge. Once that premise
is established, a focus on how the error may have affected the
jury's recommendation makes sense: if the jury's recommendation is
tainted, then the trial court's sentencing decision, which took
into account that recommendation, is also tainted."
Mann v.
Dugger, 844 F. 2d, at 1452-1453 (footnote omitted).
16 As the court explained in
Riley v.
Wainwright,
517 So. 2d, at 659: "If the jury's recommendation, upon which the
judge must rely, results from an unconstitutional procedure, then
the entire sentencing process necessarily is tainted by that
procedure."
554
Opinion of SCALIA, J.
plied with the so-called "narrowing" requirement imposed by the
line of cases commencing with
Furman v.
Georgia,
408 U. S. 238
(1972). The constitutional "error" whose harmlessness is at issue,
then, concerns only the inclusion of the "coldness" factor in the
weighing of the aggravating factors against the mitigating evidence
petitioner offered. It has been my view that the Eighth Amendment
does not require any consideration of mitigating evidence, see
Walton v.
Arizona, 497 U. S. 639, 656 (1990)
(opinion concurring in part and concurring in judgment)-a view I am
increasingly confirmed in, as the byzantine complexity of the death
penalty jurisprudence we are annually accreting becomes more and
more apparent. Since the weighing here was in my view not
constitutionally required, any error in the doing of it raised no
federal question. For that reason, I would affirm the death
sentence.
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