category
stringclasses 27
values | case
stringlengths 11
90
| case_link
stringlengths 48
57
| document
stringlengths 1.58k
697k
| summary
stringlengths 153
2.35k
|
---|---|---|---|---|
Death Penalty & Criminal Sentencing | Madison v. Alabama | https://supreme.justia.com/cases/federal/us/586/17-7505/ | NOTICE: This opinion is subject to
formal revision before publication in the preliminary print of the
United States Reports. Readers are requested to notify the Reporter
of Decisions, Supreme Court of the United States, Washington,
D. C. 20543, of any typographical or other formal errors, in
order that corrections may be made before the preliminary print
goes to press.
SUPREME COURT OF THE UNITED STATES
_________________
No. 17–7505
_________________
VERNON MADISON, PETITIONER v. ALABAMA
on writ of certiorari to the circuit court of
alabama, mobile county
[February 27, 2019]
Justice Kagan delivered the opinion of the
Court.
The Eighth Amendment, this Court has held,
prohibits the execution of a prisoner whose mental illness prevents
him from “rational[ly] understanding” why the State seeks to impose
that punishment. Panetti v. Quarterman , 551 U.S.
930 , 959 (2007). In this case, Vernon Madison argued that his
memory loss and dementia entitled him to a stay of execution, but
an Alabama court denied the relief. We now address two questions
relating to the Eighth Amendment’s bar, disputed below but not in
this Court. First, does the Eighth Amendment forbid execution
whenever a prisoner shows that a mental disorder has left him
without any memory of committing his crime? We (and, now, the
parties) think not, because a person lacking such a memory may
still be able to form a rational understanding of the reasons for
his death sentence. Second, does the Eighth Amendment apply
similarly to a prisoner suffering from dementia as to one
experiencing psychotic delusions? We (and, now, the parties) think
so, because either condition may—or, then again, may not—impede the
requisite comprehension of his punishment. The only issue left, on
which the parties still disagree, is what those rulings mean for
Madison’s own execution. We direct that issue to the state court
for further consideration in light of this opinion.
I
A
This Court decided in Ford v. Wainwright , 477 U.S.
399 (1986), that the Eighth Amendment’s ban on cruel and
unusual punishments precludes executing a prisoner who has “lost
his sanity” after sentencing. Id., at 406. While on death
row, Alvin Ford was beset by “pervasive delusion[s]” associated
with “[p]aranoid [s]chizophrenia.” Id., at 402–403.
Surveying both the common law and state statutes, the Court found a
uniform practice against taking the life of such a prisoner. See id., at 406–409. Among the reasons for that time-honored
bar, the Court explained, was a moral “intuition” that “killing one
who has no capacity” to understand his crime or punishment “simply
offends humanity.” Id., at 407, 409; see id., at 409
(citing the “natural abhorrence civilized societies feel” at
performing such an act). Another rationale rested on the lack of
“retributive value” in executing a person who has no comprehension
of the meaning of the community’s judgment. Ibid. ; see id., at 421 (Powell, J., concurring in part and concurring
in judgment) (stating that the death penalty’s “retributive
force[ ] depends on the defendant’s awareness of the penalty’s
existence and purpose”). The resulting rule, now stated as a matter
of constitutional law, held “a category of defendants defined by
their mental state” incompetent to be executed. Id., at
419.
The Court clarified the scope of that category
in Panetti v. Quarterman by focusing on whether a
prisoner can “reach a rational understanding of the reason for
[his] execution.” 551 U. S., at 958. Like Alvin Ford, Scott
Panetti suffered from “gross delusions” stemming from “extreme
psychosis.” Id., at 936, 960. In reversing a ruling that he
could still be executed, the Panetti Court set out the
appropriate “standard for competency.” Id., at 957. Ford , the Court now noted, had not provided “specific
criteria.” 551 U. S., at 957. But Ford had explored
what lay behind the Eighth Amendment’s prohibition, highlighting
that the execution of a prisoner who cannot comprehend the reasons
for his punishment offends moral values and “serves no retributive
purpose.” 551 U. S. , at 958. Those principles, the Panetti Court explained, indicate how to identify prisoners
whom the State may not execute. The critical question is whether a
“prisoner’s mental state is so distorted by a mental illness” that
he lacks a “rational understanding” of “the State’s rationale for
[his] execution.” Id., at 958–959. Or similarly put, the
issue is whether a “prisoner’s concept of reality” is “so
impair[ed]” that he cannot grasp the execution’s “meaning and
purpose” or the “link between [his] crime and its punishment.” Id., at 958, 960.
B
Vernon Madison killed a police officer in 1985
during a domestic dispute. An Alabama jury found him guilty of
capital murder, and the trial court sentenced him to death. He has
spent most of the ensuing decades on the State’s death row.
In recent years, Madison’s mental condition has
sharply deteriorated. Madison suffered a series of strokes,
including major ones in 2015 and 2016. See Tr. 19, 46–47 (Apr. 14,
2016). He was diagnosed as having vascular dementia, with attendant
disorientation and confusion, cognitive impairment, and memory
loss. See id., at 19–20, 52–54. In particular, Madison
claims that he can no longer recollect committing the crime for
which he has been sentenced to die. See Tr., Pet. Exh. 2, p. 8.
After his 2016 stroke, Madison petitioned the
trial court for a stay of execution on the ground that he had
become mentally incompetent. Citing Ford and Panetti ,
he argued that “he no longer understands” the “status of his case”
or the “nature of his conviction and sentence.” Pet. for Suspension
in No. CC–85–1385.80 (C. C. Mobile Cty., Ala., Feb. 12, 2016),
pp. 11, 14. And in a later filing, Madison emphasized that he
could not “independently recall the facts of the offense he is
convicted of.” Brief Pursuant to Order (Apr. 21, 2016), p. 8.
Alabama countered that Madison had “a rational understanding of
[the reasons for] his impending execution,” as required by Ford and Panetti , even assuming he had no memory of
committing his crime. Brief on Madison’s Competency (April 21,
2016), pp. 4–5, 8. And more broadly, the State claimed that
Madison could not possibly qualify as incompetent under those two
decisions because both “concerned themselves with ‘[g]ross
delusions’ ”—which all agree Madison does not have. Id., at 2; see ibid. (Madison “failed to implicate” Ford and Panetti because he “does not suffer from
psychosis or delusions”).
Expert reports from two psychologists largely
aligned with the parties’ contending positions. Dr. John Goff,
Madison’s expert, found that although Madison “underst[ood] the
nature of execution” in the abstract, he did not comprehend the
“reasoning behind” Alabama’s effort to execute him . Tr.,
Pet. Exh. 2 (Apr. 14, 2016), p. 8; see id., at 9. Goff
stated that Madison had “Major Vascular Neurological Disorder”—also
called vascular dementia—which had caused “significant cognitive
decline.” Ibid. And Goff underscored that Madison
“demonstrate[d] retrograde amnesia” about his crime, meaning that
he had no “independent recollection[ ]” of the murder. Id., at 8; see id., at 9. For his part, Dr. Karl Kirkland, the
court-appointed expert, reported that Madison “was able to discuss
his case” accurately and “appear[ed] to understand his legal
situation.” Tr., Ct. Exh. 1, pp. 10–11. Although Kirkland
acknowledged that Madison’s strokes had led to cognitive decline,
see id., at 10, the psychologist made no men- tion of
Madison’s diagnosed vascular dementia. Rather, Kirkland highlighted
that “[t]here was no evidence of psychosis, paranoia, or delusion.” Id., at 9; see ibid. (Madison “did not seem
delusional at all”).
At a competency hearing, Alabama similarly
stressed Madison’s absence of psychotic episodes or delusions. The
State asked both experts to affirm that Madison was “neither
delusional [n]or psychotic.” Tr. 56; see id. , at 22. And its
closing argument focused on their agreement that he was not. As the
State summarized: “He’s not psychotic. He’s not delusional.” Id. , at 81. On the State’s view, that fact answered the
competency question because “[t]he Supreme Court is looking at
whether someone’s delusions or someone’s paranoia or someone’s
psychosis is standing in the way of” rationally understanding his
punishment. Id. , at 82. Madison’s counsel disputed that
point. “[T]he State would like to say, well, he’s not delusional,
he’s not psychotic,” the attorney recapped. Id. , at 83. But,
she continued, “[t]hat’s not really the criteria” under Panetti . Tr. 83. Rather, the Court there barred executing a
person with any mental illness—“dementia” and “brain injuries” no
less than psychosis and delusions—that prevents him from
comprehending “why he is being executed.” Ibid. The trial court found Madison competent to be
executed. Its order first recounted the evidence given by each
expert witness. The summary of Kirkland’s report and testimony
began by stating that the psychologist had “found no evidence of
paranoia[,] delusion [or] psychosis.” Order (Apr. 29, 2016),
p. 5 (2016 Order). The court then noted Kirkland’s view that
Madison could “give details of the history of his case” and
“appear[ed] to understand his legal situation.” Ibid .
Turning to the Goff report, the court noted the expert’s finding
that Madison was “amnesic” and could not recollect his crime. Id., at 6; see id., at 7. In a single, final
paragraph, the court provided both its ruling and its reasoning.
Madison had failed to show, the court wrote, that he did not
“rationally understand the punishment he is about to suffer and why
he is about to suffer it.” Id., at 10. The court “accept[ed]
the testimony of Dr. Kirkland as to the understanding Madison has
concerning the situation.” Ibid. “Further,” the court
concluded, “the evidence does not support that Mr. Madison is
delusional.” Ibid. Madison next sought habeas relief in federal
court, where he faced the heavy burden of showing that the
state-court ruling “involved an unreasonable application of[ ]
clearly established federal law” or rested on an “unreasonable
determination of the facts.” Antiterrorism and Effective Death
Penalty Act of 1996 (AEDPA), 28 U. S. C. §2254(d). The
District Court rejected his petition, but the Court of Appeals for
the Eleventh Circuit ruled that Madison had demonstrated both kinds
of indisputable error. See Madison v. Commissioner ,
851 F.3d 1173 (2017). This Court then summarily reversed the
appeals court’s decision. See Dunn v. Madison , 583
U. S. ___ (2017) ( per curiam ). We explained, contrary
to the Eleventh Circuit’s principal holding, that “[n]either Panetti nor Ford ‘clearly established’ that a
prisoner is incompetent to be executed” because of a simple failure
to remember his crime. Id., at ___ (slip op., at 4). And we
found that the state court did not act unreasonably—otherwise put,
did not err “beyond any possibility for fairminded
disagreement”—when it found that Madison had the necessary
understanding to be executed. Ibid. (internal quotation
marks omitted). But we made clear that our decision was premised on
AEDPA’s “demanding” and “deferential standard.” Id., at ___,
___ (slip op., at 3, 4). “We express[ed] no view” on the question
of Madison’s competency “outside of the AEDPA context.” Id., at ___ (slip op., at 4).[ 1 ]
When Alabama set an execution date in 2018,
Madison returned to state court to argue again that his mental
condition precluded the State from going forward. In his petition,
Madison reiterated the facts and arguments he had previously
presented to the state court. But Madison also claimed that since
that court’s decision (1) he had suffered further cognitive decline
and (2) a state board had suspended Kirkland’s license to practice
psychology, thus discrediting his prior testimony. See Pet. to
Suspend Execution in No. CC–85–1385.80 (C. C. Mobile Cty., Ala.,
Dec. 18, 2017), pp. 1–2, 16–19.[ 2 ] Alabama responded that nothing material had changed
since the court’s first competency hearing. See Motion to Dismiss
(Dec. 20, 2017), p. 9. The State also repeated its argument
that Panetti permits executing Madison, pointing to the
experts’ agreement that he is “not delusional or psychotic” and
asserting that neither “memory impairment [n]or dementia [could]
suffice to satisfy the Panetti and Ford standards”
without “an expansion” of those decisions. Motion to Dismiss 4, 10.
A week before the scheduled execution, the state court again found
Madison mentally competent. Its brief order stated only that
Madison “did not provide a substantial threshold showing of
insanity[ ] sufficient to convince this Court to stay the
execution.” App. A to Pet. for Cert.
Madison then filed in this Court a request to
stay his execution and a petition for certiorari. We ordered the
stay on the scheduled execution date and granted the petition a few
weeks later. See 583 U. S. ___, ___ (2018). Because the case
now comes to us on direct review of the state court’s decision
(rather than in a habeas proceeding), AEDPA’s deferential standard
no longer governs. (And for that reason—contrary to the dissent’s
suggestion, post , at 12—our decision on Madison’s habeas
petition cannot help resolve the questions raised here.)
II
Two issues relating to Panetti ’s
application are before us. Recall that our decision there held the
Eighth Amendment to forbid executing a prisoner whose mental
illness makes him unable to “reach a rational understanding of the
reason for [his] execution.” 551 U. S., at 958; see supra, at 2–3. The first question presented is whether Panetti prohibits executing Madison merely because he cannot
remember committing his crime. The second question raised is
whether Panetti permits executing Madison merely because he
suffers from dementia, rather than psychotic delusions.[ 3 ] In prior stages of this case, as we
have described, the parties disagreed about those matters. See supra, at 4–8. But at this Court, Madison accepted Alabama’s
positon on the first issue and Alabama accepted Madison’s on the
second. See, e.g. , Tr. of Oral Arg. 11, 36. And rightly so.
As the parties now recognize, the standard set out in Panetti supplies the answers to both questions. First, a
person lacking memory of his crime may yet rationally understand
why the State seeks to execute him; if so, the Eighth Amendment
poses no bar to his execution. Second, a person suffering from
dementia may be unable to rationally understand the reasons for his
sentence; if so, the Eighth Amendment does not allow his execution.
What matters is whether a person has the “rational understanding” Panetti requires—not whether he has any particular memory or
any particular mental illness.
A
Consider initially a person who cannot
remember his crime because of a mental disorder, but who otherwise
has full cognitive function. The memory loss is genuine: Let us say
the person has some kind of amnesia, which has produced a black
hole where that recollection should be. But the person remains
oriented in time and place; he can make logical connections and
order his thoughts; and he comprehends familiar concepts of crime
and punishment. Can the State execute him for a murder? When we
considered this case before, using the deferential standard
applicable in habeas, we held that a state court could allow such
an execution without committing inarguable error. See Madison , 583 U. S., at ___ (slip op., at 4) (stating
that no prior decision had “clearly established” the opposite); supra, at 6. Today, we address the issue straight-up, sans
any deference to a state court. Again, is the failure to remember
committing a crime alone enough to prevent a State from executing a
prisoner?
It is not, under Panetti ’s own terms.
That decision asks about understanding, not memory—more
specifically, about a person’s understanding of why the State seeks
capital punishment for a crime, not his memory of the crime itself.
And the one may exist without the other. Do you have an independent
recollection of the Civil War? Obviously not. But you may still be
able to reach a rational—indeed, a sophisticated—understanding of
that conflict and its consequences. Do you recall your first day of
school? Probably not. But if your mother told you years later that
you were sent home for hitting a classmate, you would have no
trouble grasping the story. And similarly, if you somehow blacked
out a crime you committed, but later learned what you had done, you
could well appreciate the State’s desire to impose a penalty.
Assuming, that is, no other cognitive impairment, loss of memory of
a crime does not prevent rational understanding of the State’s
reasons for resorting to punishment. And that kind of comprehension
is the Panetti standard’s singular focus.
The same answer follows from the core
justifications Panetti offered for framing its Eighth
Amendment test as it did. Echoing Ford, Panetti reasoned
that execution has no retributive value when a prisoner cannot
appreciate the meaning of a community’s judgment. See 551
U. S., at 958–959 (citing 477 U. S., at 407–408); supra, at 3. But as just explained, a person who can no
longer remember a crime may yet recognize the retributive message
society intends to convey with a death sentence. Similarly, Ford and Panetti stated that it “offends humanity” to
execute a person so wracked by mental illness that he cannot
comprehend the “meaning and purpose of the punishment.” 477
U. S., at 407; 551 U. S., at 960; see id., at 958.
But that offense to morality must be much less when a person’s
mental disorder causes nothing more than an episodic memory loss.
Moral values do not exempt the simply forgetful from punishment,
whatever the neurological reason for their lack of recall.
But such memory loss still may factor into the
“rational understanding” analysis that Panetti demands. If
that loss combines and interacts with other mental shortfalls to
deprive a person of the capacity to comprehend why the State is
exacting death as punishment, then the Panetti standard will
be satisfied. That may be so when a person has difficulty
preserving any memories, so that even newly gained knowledge
(about, say, the crime and punishment) will be quickly forgotten.
Or it may be so when cognitive deficits prevent the acquisition of
such knowledge at all, so that memory gaps go forever
uncompensated. As Panetti indicated, neurologists,
psychologists, and other experts can contribute to a court’s
understanding of issues of that kind. See id. , at 962. But
the sole inquiry for the court remains whether the prisoner can
rationally understand the reasons for his death sentence.
B
Next consider a prisoner who suffers from
dementia or a similar disorder, rather than psychotic delusions.
The dementia, as is typical, has compromised this prisoner’s
cognitive functions. But it has not resulted in the kind of
delusional beliefs that Alvin Ford and Scott Panetti held. May the
prisoner nonetheless receive a stay of execution under Ford and Panetti ? Or instead, is a delusional disorder a
prerequisite to declaring a mentally ill person incompetent to be
executed? We did not address that issue when we last considered
this case, on habeas review; in that sense, the question is one of
first impression. See supra, at 6, n. 1.
But here too, Panetti has already
answered the question. Its standard focuses on whether a mental
disorder has had a particular effect : an inability to
rationally understand why the State is seeking execution. See supra, at 2–3. Conversely, that standard has no interest in
establishing any precise cause : Psychosis or dementia,
delusions or overall cognitive decline are all the same under Panetti , so long as they produce the requisite lack of
comprehension. To be sure, Panetti on occasion spoke of
“gross delusions” in explaining its holding. 551 U. S., at
960. And similarly, Ford talked about the “insane,” which
sometimes refers to persons holding such irrational beliefs. See, e.g., 477 U. S., at 401, 410.[ 4 ] But those references are no more than a predictable
byproduct of the two cases’ facts. At the same time (and
interchangeably), Panetti used more inclusive terms, such as
“mental illness,” “mental disorder,” and “psychological
dysfunction.” 551 U. S., at 936, 959, 960; see Ford ,
477 U. S., at 408–409, n. 2 (referring to prisoners with
“mental illness”). And most important, Panetti framed its
test, as just described, in a way utterly indifferent to a
prisoner’s specific mental illness. The Panetti standard
concerns, once again, not the diagnosis of such illness, but a
consequence—to wit, the prisoner’s inability to rationally
understand his punishment.
And here too, the key justifications Ford and Panetti offered for the Eighth Amendment’s bar confirm
our conclusion about its reach. As described above, those decisions
stated that an execution lacks retributive purpose when a mentally
ill prisoner cannot understand the societal judgment underlying his
sentence. See Panetti , 551 U. S., at 958–959; Ford , 477 U. S., at 409; supra, at 2–3. And they
indicated that an execution offends morality in the same
circumstance. See 551 U. S., at 958, 960; 477 U. S., at
409; supra, at 2–3. Both rationales for the constitutional
bar thus hinge (just as the Panetti standard deriving from
them does) on the prisoner’s “[in]comprehension of why he has been
singled out” to die. 477 U. S., at 409; see supra, at
2–3. Or said otherwise, if and when that failure of understanding
is present, the rationales kick in—irrespective of whether one
disease or another (say, psychotic delusions or dementia) is to
blame.
In evaluating competency to be executed, a judge
must therefore look beyond any given diagnosis to a downstream
consequence. As Ford and Panetti recognized, a
delusional disorder can be of such severity—can “so impair the
prisoner’s concept of reality”—that someone in its thrall will be
unable “to come to grips with” the punishment’s meaning. Panetti , 551 U. S., at 958; Ford , 477
U. S., at 409. But delusions come in many shapes and sizes,
and not all will interfere with the understanding that the Eighth
Amendment requires. See Panetti , 551 U. S. , at
962 (remanding the case to consider expert evidence on whether the
prisoner’s delusions did so). And much the same is true of
dementia. That mental condition can cause such disorientation and
cognitive decline as to prevent a person from sustaining a rational
understanding of why the State wants to execute him. See supra, at 11–12. But dementia also has milder forms, which
allow a person to preserve that understanding. Hence the need—for
dementia as for delusions as for any other mental disorder—to
attend to the particular circumstances of a case and make the
precise judgment Panetti requires.
III
The only question left—and the only one on
which the parties now disagree—is whether Madison’s execution may
go forward based on the state court’s decision below. Madison’s
counsel says it cannot because that ruling was tainted by legal
error—specifically, the idea that only delusions, and not dementia,
can support a finding of mental incompetency. See Tr. of Oral Arg.
12, 21, 25, 27. Alabama counters that the state court did not rely
on that (concededly) incorrect view of the law. See id. , at
37–41. But we come away at the least unsure whether that is
so—especially given Alabama’s evidence and arguments in the state
court.
As noted earlier, the 2018 ruling we review
today contains only one sentence of explanation. See supra, at 7–8. It states that Madison “did not provide a substantial
threshold showing of insanity[ ] sufficient to convince this Court
to stay the execution.” App. A to Pet. for Cert. If the state court
used the word “insanity” to refer to a delusional disorder, then
error occurred: The court would have denied a stay on the ground
that Madison did not have that specific kind of mental illness. And
the likelihood that the court made that mistake is heightened by
the State’s emphasis, at that stage of the proceedings (as at
others), that Madison was “not delusional or psychotic” and that
“dementia” could not suffice to bar his execution absent “an
expansion of Ford and Panetti .” Motion to Dismiss 4,
10; see supra, at 4–8; but see post, at 9–10, and
n. 4 (disregarding those arguments).[ 5 ] Alabama argues, however, that the court spoke of
“insanity” only because the state statute under which Madison
sought relief uses that term. See Tr. of Oral Arg. 37; Ala. Code
§15–16–23 (2011) (allowing a stay of execution “on account of the
[convict’s] insanity”). But even if so, that does not advance the
State’s view that the state court properly understood the Eighth
Amendment bar when assessing Madison’s competency. Alabama told
this Court in opposing certiorari that its statute covers only
those with delusional disorders, and not those with dementia. See
Brief in Opposition 12 (“[T]he sole question to be answered under
the state statute was whether Madison was insane, not whether he
suffered from dementia”). The state court’s (supposed) echoing of
statutory language understood in that way cannot provide assurance
that the court knew a person with dementia might receive a stay of
execution; indeed, it suggests exactly the opposite. The court’s
2018 order thus calls out for a do-over.
Alabama further contends, however, that we
should look past the state court’s 2018 decision to the court’s
initial 2016 determination of competency. (The dissent similarly
begins with the 2016 ruling, see post, at 6–7, even though
that is not the decision under review here.) According to the
State, nothing material changed in the interim period, see supra, at 7; thus, we may find the meaning of the later
ruling in the earlier one, see Tr. of Oral Arg. 36–37. And, the
State continues, the 2016 opinion gets the law right. Alabama’s
proof is that the court, after summarizing the psychologists’
testimony, found that “Madison has a rational[ ]
understanding, as required by Panetti ,” concerning the
“punishment he is about to suffer and why he is about to suffer
it.” 2016 Order, at 10; see Tr. of Oral Arg. 39; supra, at
5–6. (The dissent quotes the same passage. See post, at
7.)
But the state court’s initial decision does not
aid Alabama’s cause. First, we do not know that the court in 2018
meant to incorporate everything in its prior opinion. The order
says nothing to that effect; and though it came out the same way as
the earlier decision, it need not have rested on all the same
reasoning. Second, the 2016 opinion itself does not show that the
state court realized that persons suffering from dementia could
satisfy the Panetti standard. True enough, as Alabama says,
that the court accurately stated that standard in its decision. But
as described above, Alabama had repeatedly argued to the court
(over Madison’s objection) that only prisoners suffering from
delusional disorders could qualify as incompetent under Panetti . See, e.g., Brief on Madison’s Competency 2
(Madison “failed to implicate” Ford and Panetti because he “does not suffer from psychosis or delusions”); Tr. 82
(“The Supreme Court [in Panetti ] is looking at whether
someone’s delusions or someone’s paranoia or someone’s psychosis is
standing in the way of” rationally understanding his punishment);
see also supra, at 4–5; but see post, at 9–10, and
n. 4 (disregarding those arguments). And Alabama relied on the
expert opinion of a psychologist who highlighted Madison’s lack of
“psychosis, paranoia, or delusion,” while never mentioning his
dementia. Tr., Ct. Exh. 1 (Apr. 14, 2016), p. 9. That too-limited
understanding of Panetti ’s compass is reflected in the
court’s 2016 opinion. In its single paragraph of analysis, the
court “accept[ed] the testimony” of the State’s preferred
psychologist.[ 6 ] And the court
further found that “the evidence does not support that Mr. Madison
is delusional”—without ever considering his undisputed dementia.
2016 Order, at 10.
For those reasons, we must return this case to
the state court for renewed consideration of Madison’s competency
(assuming Alabama sets a new execution date). See, e.g., Kindred
Nursing Centers L. P. v. Clark , 581 U. S. ___, ___
(2017) (slip op., at 9) (remanding when “uncertain” whether “an
impermissible taint occurred”); Clemons v. Mississippi , 494 U.S.
738 , 751–752 (1990) (similar). In that proceeding, two matters
disputed below should now be clear. First, under Ford and Panetti, the Eighth Amendment may permit executing Madison
even if he cannot remember committing his crime. Second, under
those same decisions, the Eighth Amendment may prohibit executing
Madison even though he suffers from dementia, rather than
delusions. The sole question on which Madison’s competency depends
is whether he can reach a “rational understanding” of why the State
wants to execute him. Panetti , 551 U. S., at 958. In
answering that question—on which we again express no view, see supra, at 6—the state court may not rely on any arguments or
evidence tainted with the legal errors we have addressed. And
because that is so, the court should consider whether it needs to
supplement the existing record. Some evidence in that record,
including portions of the experts’ reports and testimony, expressly
reflects an incorrect view of the relevance of delusions or memory;
still other evidence might have implicitly rested on those same
misjudgments. The state court, we have little doubt, can evaluate
such matters better than we. It must do so as the first step in
assessing Madison’s competency—and ensuring that if he is to be
executed, he understands why.
We accordingly vacate the judgment of the state
court and remand the case for further proceedings not inconsistent
with this opinion.
It is so ordered.
Justice Kavanaugh took no part in the
consideration or decision of this case. Notes 1 Neither did we opine
on—or even mention—the subsidiary legal question whether a mental
disorder other than delusions may render a person incompetent to be
executed. Alabama told the Eleventh Circuit that it could not, thus
reprising the claim the State had made in the trial court. See Madison , 851 F. 3d, at 1188 (describing Alabama’s
argument that “only a prisoner suffering from gross delusions can
show incompetency under Panetti ”); Recording of Oral Arg. in
No. 16–12279 (CA11, June 23, 2016), at 26:36–26:45 (“In this case,
what we have is someone who claims to have a mental illness,
dementia,” but does not have “delusions, which is what Panetti requires”); id., at 26:48–27:21 (When asked
if someone with “severe dementia” but no delusions could be
executed, the State responded “I think so because . . .
they don’t have delusions”). (Alabama alternatively argued
that the state court’s decision was not based on that view, see
Brief for Appellee in No. 16–12279 (CA11), pp. 37–38; the
quotations the dissent picks out, see post, at 10,
n. 4, come from that additional argument.) The Eleventh
Circuit rejected the State’s contention that dementia could not
preclude an execution as “inconsistent with the principles
underlying” Ford and Panetti . 851 F. 3d, at
1188. But we had no reason to address that holding in light of the
errors we saw in other parts of the appeals court’s
analysis. 2 As Madison’s petition
recounted, the license suspension followed the opening of a
criminal investigation into whether Kirkland had committed
narcotics offenses. See Pet. to Suspend Execution
17–19. 3 The dissent is in high
dudgeon over our taking up the second question, arguing that it was
not presented in Madison’s petition for certiorari. See post, at 1–6. But that is incorrect. The petition presented
two questions—the same two we address here. The first question
asked whether the Eighth Amendment bars executing Madison because
he has no “memory of his commission of the capital offense.” Pet.
for Cert. iii. The second question asked whether that Amendment
bars his execution because his “vascular dementia” and “severe
cognitive dysfunction” prevent him from either remembering his
crime “or understanding the circumstances of his scheduled
execution.” Ibid. So the first question concerned whether
memory loss alone could form the basis of a Panetti claim
and the second whether the varied consequences of dementia could do
so. The body of the petition, to be sure, devoted more space to the
first question. But it clearly referenced the second. See Pet. for
Cert. 18 (“[T]his Court has never sought to constrain the world of
maladies that can give rise to a finding that a prisoner is
incompetent to be executed”); id., at 25 (“[C]ourts have
recognized dementia and attendant cognitive decline and memory
impairment as a basis for a finding of incompetency to be
executed”). And in any event, the number of words spent on each is
not what matters. Our Rule states that the Court will consider
“[o]nly the questions set out in the petition, or fairly included
therein.” This Court’s Rule 14.1(a). Here, we consider, in order,
the two questions set out in Madison’s petition. 4 Alternatively, however,
the term may also be used to encompass persons with other mental
conditions, so long as they are “severe enough [to] prevent[ ]
a person from having legal capacity and excuse[ ] the person from
criminal or civil responsibility.” Black’s Law Dictionary 914 (10th
ed. 2014). In that different understanding, “insanity” connotes a
general standard of legal competency rather than a more limited
description of delusional disorders. 5 The State once again
repeated that argument in its Brief in Opposition to Madison’s
certiorari petition. See Brief in Opposition 11–12 (“Madison does
not argue that he is insane. Instead, he argues that he suffers
from dementia” and that his execution should be barred “under a
yet-unannounced expansion of Ford and Panetti ”). 6 The court well understood
that expert’s exclusive focus on whether Madison had psychotic
delusions. In summarizing his testimony, the court began as
follows: “Dr. Kirkland in his exam found no evidence of paranoia or
delusion at the time of his examin[ation], on March 31, 2016. He
also found that there was no psychosis present.” 2016 Order, at 5;
see supra, at 5. SUPREME COURT OF THE UNITED STATES
_________________
No. 17–7505
_________________
VERNON MADISON, PETITIONER v. ALABAMA
on writ of certiorari to the circuit court of
alabama, mobile county
[February 27, 2019]
Justice Alito, with whom Justice Thomas and
Justice Gorsuch join, dissenting.
What the Court has done in this case makes a
mockery of our Rules.
Petitioner’s counsel convinced the Court to stay
his client’s execution and to grant his petition for a writ of
certiorari for the purpose of deciding a clear-cut constitutional
question: Does the Eighth Amendment prohibit the execution of a
murderer who cannot recall committing the murder for which the
death sentence was imposed? The petition strenuously argued that
executing such a person is unconstitutional.
After persuading the Court to grant review of
this question, counsel abruptly changed course. Perhaps because he
concluded (correctly) that petitioner was unlikely to prevail on
the question raised in the petition, he conceded that the argument
advanced in his petition was wrong, and he switched to an entirely
different argument, namely, that the state court had rejected
petitioner’s claim that he is incompetent to be executed because
the court erroneously thought that dementia, as opposed to other
mental conditions, cannot provide a basis for such a claim. See
Brief for Petitioner 16.
This was not a question that the Court agreed to
hear; indeed, there is no mention whatsoever of this argument in
the petition—not even a hint. Nor is this question fairly included
within those on which the Court granted review. On the contrary, it
is an entirely discrete and independent question.
Counsel’s tactics flagrantly flouted our Rules.
Our Rules make it clear that we grant certiorari to decide the
specific question or questions of law set out in a petition for
certiorari. See this Court’s Rule 14.1(a) (“Only the questions set
out in the petition, or fairly included therein, will be considered
by the Court”). Our whole certiorari system would be thrown into
turmoil if we allowed counsel to obtain review of one question and
then switch to an entirely different question after review is
granted. In the past when counsel have done this, we have dismissed
the writ as improvidently granted. See, e.g., Visa,
Inc. v. Osborn , 580 U. S. ___ (2016); City and
County of San Francisco v. Sheehan , 575 U. S. ___
(2015). We should do that here.
Instead, the majority rewards counsel’s trick.
It vacates the judgment below because it is unsure whether the
state court committed the error claimed in petitioner’s merits
brief. But not only was there no trace of this argument in the
petition, there is nothing in the record showing that the state
court ever adopted the erroneous view that petitioner claims it
took.
I
The question on which we granted review was an
outgrowth of our per curiam decision in Dunn v. Madison , 583 U. S. ___ (2017), which concerned an
Eleventh Circuit decision granting petitioner federal habeas
relief. Prior to that decision, this Court had held in Ford v. Wainwright , 477 U.S.
399 (1986), that the Eighth Amendment prohibits the execution
of a person who is “insane,” and in Panetti v. Quarterman , 551 U.S.
930 (2007), the Court elaborated on this rule, explaining that
a person cannot be executed if he lacks a rational understanding of
the reason for the execution. The Eleventh Circuit interpreted
those cases to mean that petitioner could not be executed because
he did not remember killing his victim, Mobile, Alabama, police
officer Julius Schulte.
We summarily reversed. Under the relevant
provision of the federal habeas statute, 28 U. S. C.
§2254(d), which was enacted as part of the Antiterrorism and
Effective Death Penalty Act of 1996 (AEDPA), petitioner could not
obtain federal habeas relief unless the state court’s rejection of
his memory-loss claim represented an unreasonable application of
federal law as clearly established at the time by decisions of this
Court. We held that neither Ford nor Panetti clearly
established that a person cannot be executed if he does not
remember committing the crime for which the death sentence was
imposed.
Our opinion stated, however, that it
“express[ed] no view on the merits of the underlying question
outside of the AEDPA context.” Dunn , 583 U. S., at ___
(slip op., at 4). And a concurring opinion authored by Justice
Ginsburg and joined by Justices Breyer and Sotomayor teed up this
question for review in a later case. Id., at ___ (slip op.,
at 1) (“The issue whether a State may administer the death penalty
to a person whose disability leaves him without memory of his
commission of a capital offense is a substantial question not yet
addressed by the Court. Appropriately presented, the issue would
warrant full airing”).
Taking this cue, petitioner then sought relief
in state court based on his inability to remember his crime, and
when that effort failed, he filed the petition at issue now.
II
The centerpiece of the petition and
petitioner’s 11th-hour application for a stay of execution[ 1 ] was the argument that he could not
constitutionally be executed because he did not remember killing
Officer Schulte. The petition repeatedly noted petitioner’s
inability to remember his crime. See Pet. for Cert. i, iii, 1, 2,
8, 10, 11, 12, 18, 22, 23, 25, 26, 27, 28. And the petition was
very clear about the question on which review was sought:
“[T]his case presents this Court with the
appropriate vehicle to consider the substantial question of whether
the execution of a prisoner with no memory of the underlying
offense is consistent with the evolving standards of decency
inherent in this Court’s Eighth Amendment jurisprudence.” Id., at 2.
This same point was made time and again:
●“[B]ecause [petitioner’s] disability renders
him unable to remember the underlying offense for which he is to be
punished, his execution does not comport with the evolving
standards of decency required by this Court’s Eighth Amendment
jurisprudence.” Id., at 18.
●“[I]mposing death on a prisoner, who, like Mr.
Madison, suffers from substantial memory deficits by virtue of
multiple stroke and resulting vascular dementia serves no
retributive or deterrent purpose.” Id., at 22.
●“[E]xecuting an individual with no memory of
the underlying offense serves no retributive purpose.” Ibid. ●“[W]here the person being punished has no
memory of the commission of the offense for which he is to be
executed, the ‘moral quality’ of that punishment is lessened and
unable to match outrage over the offense.” Id., at
22–23.
●“Mr. Madison’s severe memory impairments as a
result of vascular dementia render him incompetent to be executed
under the Eight Amendment.” Id., at 25 (quotation
altered).
In sum, the body of the petition makes it clear
that review was sought on the question invited by the Dunn concurrence, and the thrust of the wording of the two questions was
the same. They read as follows:
“1. Consistent with the Eighth Amendment, and
this Court’s decisions in Ford and Panetti , may the
State execute a prisoner whose mental disability leaves him without
memory of his commission of the capital offense? See Dunn v. Madison , [583 U. S. ___, ___ (2017) (Ginsburg, J.,
joined by Breyer and Sotomayor, JJ., concurring).]
“2. Do evolving standards of decency and the
Eighth Amendment’s prohibition of cruel and unusual punishment bar
the execution of a prisoner whose competency has been compromised
by vascular dementia and multiple strokes causing severe cognitive
dysfunction and a degenerative medical condition which prevents him
from remembering the crime for which he was convicted or
understanding the circumstances of his scheduled execution? ”
Pet. for Cert. iii.
With the exception of the final phrase in
question two (“or understanding the circumstances of his scheduled
execution”), both questions solely concern the effect of memory
loss on an Eighth Amendment analysis. The final phrase in question
two and certain passages in the petition, if read with an
exceedingly generous eye, might be seen as a basis for
considering whether the evidence in the state-court record shows
that petitioner’s dementia rendered him incapable of having a
rational understanding of the reason for his execution. But that is
the sort of factbound question on which we rarely grant review, see
this Court’s Rule 10, and it is questionable whether we did so
here.
But whether or not the petition may be fairly
read to present that factbound question, it is a travesty to read
it as challenging the state-court order on the ground that the
state court erroneously believed that dementia cannot provide a
basis for a Ford / Panetti claim. There is no inkling
of that argument in the petition. Although the petition described
the state-court order at numerous places, the petition never
claimed that the order was based on an impermissible distinction
between dementia and other mental conditions. See, e.g., Pet. for Cert. ii, 2–3, 16. And in fact, there is a point in the
petition where such an interpretation of the state-court order
would surely have been mentioned if the petition had intended to
raise it as a ground for review. The petition noted that “courts
have recognized dementia and attendant cognitive decline and memory
impairment as a basis for a finding of incompetency to be
executed,” id., at 25, but the petition did not follow that
statement by claiming that the state court in this case took a
contradictory position.
Because the petition did not raise—indeed, did
not even hint at—the argument on which the Court now grants relief,
the Court’s decision is insupportable.[ 2 ] It violates our Rule that “[o]nly the questions set out
in the petition, or fairly included therein, will be considered by
the Court.” See Rule 14.1(a).
III
Even if it were proper for us to consider
whether the order below was based on an erroneous distinction
between dementia and other mental conditions, there is little
reason to think that it was. After a full evidentiary hearing in
2016, the state court rejected petitioner’s Ford / Panetti claim based on a correct statement of
the holding of those decisions. It found that petitioner “ha[d] not
carried his burden [of showing] by a preponderance of the evidence
. . . that he . . . does not rationally
understand the punishment he is about to suffer and why he is about
to suffer it.” Order (Apr. 29, 2016), p. 10. The court’s order
went on to say that it “specifically [found] that Madison has a
rationa[l] understanding, as required by Panetti , that he is
going to be executed because of the murder he committed and a
rationa[l] understanding that the State is seeking retribution and
that he will die when he is executed.” Ibid. In concluding that the state court might have
drawn a distinction between dementia and other mental conditions,
the majority seizes upon the wording of the order issued after a
subsequent hearing in 2018. Ante, at 14. In that order, the
same judge wrote: “Defendant did not provide a substantial
threshold showing of insanity , a requirement set out by the
United States Supreme Court, sufficient to convince this Court to
stay the execution.” Order (Jan. 16, 2018), p. 1 (emphasis
added). The majority worries that the state-court judge might not
have applied the same standard in 2018 as he had two years earlier
and might have viewed “insanity” as something narrower than the
standard mandated by Ford and Panetti . This concern
is unfounded.
Taken out of context, the term “insanity” might
not be read to encompass dementia, but in context, it is apparent
that the state court’s use of that term was based on the way in
which it was used in Ford and Panetti . The state
court did not simply refer to “insanity.” It referred to “insanity,
a requirement set out by the United States Supreme Court.” Thus, it
followed the term “insanity” with an appositive, which is a word or
phrase that renames the word or phrase that precedes it. In other
words, what the state court clearly meant by “insanity” was what
this Court termed insanity in Ford and Panetti . What
was that?
In Ford , the Court held that the Eighth
Amendment prohibits the execution of a person who is “insane,” and
in the portion of Justice Marshall’s lead opinion that was joined
by a plurality, Justice Marshall equated insanity with a mental
condition that “prevents [a person] from comprehending the reasons
for the penalty or its implications.” 477 U. S., at 417.
Justice Powell, who provided the fifth vote for the decision, took
a similar position. See id., at 422–423 (opinion concurring
in part and concurring in judgment). In Panetti , which built
on the holding in Ford , the Court used the term in a similar
way. See 551 U. S., at 958–960. Accordingly, a defendant
suffers from “insanity,” as the term is used in Ford and Panetti , if the prisoner does not understand the reason for
his execution.
Today’s decision does not reject this
interpretation of the state-court order; it says only that it is
vacating and remanding because it is “at the least unsure” whether
the state court used the term “insanity” in this way. Ante, at 14. The majority cites two reasons for its uncertainty, but both
are weak.
First, the majority attributes to the state
court an interpretation of the term “insanity” that was advanced by
the State in this Court in its brief in opposition to the petition
for certiorari. Ante, at 15. In that submission, the State
argued that certiorari should be denied because petitioner had
sought relief in state court under the wrong provision of state
law, namely, Ala. Code §15–16–23 (2011), which authorizes the
suspension of the execution of an inmate who is “insane.” The State
argued that petitioner’s memory loss did not render him “insane”
within the meaning of this statute and that if he wished to argue
that the Eighth Amendment bars the execution of an inmate who
cannot remember his crime, he “should have filed a petition for
post-conviction relief” under Alabama Rule of Criminal Procedure
32.4. Brief in Opposition 11–12.
The majority’s argument based on the State’s
brief in opposition suffers from multiple defects. For one thing,
nothing suggests that the state court rejected petitioner’s
application on the ground that he invoked the wrong provision of
state law; the State’s filing in the state court made no mention of
the argument set out in its brief in opposition filed here.
Moreover, if the state court had rejected petitioner’s application
on the ground that he moved under the wrong provision of state law,
it is doubtful that we could review that decision, for then it
would appear to rest on an adequate and independent state-law
ground. And to top things off, the majority’s argument distorts
what the State’s brief in opposition attempted to say about the
term “insane.” The State did not argue that a defendant who lacks a
rational understanding of the reason for his execution due to
dementia is not “insane” under Ala. Code §15–16–23. Instead, the
State’s point was that a defendant is not “insane” in that sense
merely because he cannot remember committing the crime for which he
was convicted.
The majority’s other proffered basis for doubt
is that the State “repeatedly argued to the [state] court (over
Madison’s objection) that only prisoners suffering from delusional
disorders could qualify as incompetent under Panetti .” Ante, at 16. The majority, however, cites no place where the
State actually made such an argument. To be sure, the State, in
contending that petitioner was not entitled to relief under Ford and Panetti , argued strenuously that he was not
delusional. (The State made this argument because petitioner’s
counsel claimed that petitioner was in fact delusional and fell
within Ford and Panetti for that reason.[ 3 ]) But arguing, as the State did, that
petitioner was not entitled to relief because the claim that he was
delusional was untrue is not the same as arguing that petitioner
could be executed even if his dementia rendered him incapable of
understanding the reason for his execution. The majority cites no
place where the State made the latter argument in the state
court.[ 4 ] And even if the State
had made such an argument, what matters is the basis for the state
court’s decision, not what counsel for the State wrote or said.
I add one more comment regarding the majority’s
uncertainty about the basis for the state-court decision: Our
decision two years ago in Dunn evinced no similar doubts.
There, we said that the state court “held that, under this Court’s
decisions in Ford and Panetti , Madison was en- titled
to relief if he could show” that he lacks a rational understanding
of the circumstances of his punishment. 583 U. S., at ___
(slip op., at 2) (quotation altered). And we said that the state
court “determined that Madison is competent to be executed
because—notwithstanding his memory loss—he recognizes that he will
be put to death as punishment for the murder he was found to have
committed.” Id., at ___ (slip op., at 4); see also ibid. (referring to the state court’s “finding that Madison
understands both that he was tried and imprisoned for murder and
that Alabama will put him to death as punishment for that crime”).
Why the majority cannot now see what it understood without any
apparent difficulty two years ago is hard to grasp.
For all these reasons, what the Court has done
in this case cannot be defended, and therefore it is hard to escape
thinking that the real reason for today’s decision is doubt on the
part of the majority regarding the correctness of the state court’s
factual finding on the question whether Madison has a rational
understanding of the reason for his execution. There is no question
that petitioner suffers from severe physical and mental problems,
and the question whether he is capable of understanding the reason
for his execution was vigorously litigated below. But if the Court
thinks it is proper for us to reach that question and to reverse
the state court’s finding based on a cold record, it should own up
to what it is doing.
* * *
Petitioner has abandoned the question on which
he succeeded in persuading the Court to grant review, and it is
highly improper for the Court to grant him relief on a ground not
even hinted at in his petition. The writ should be dismissed as
improvidently granted, and I therefore respectfully dissent. Notes 1 Petitioner sought and
obtained a stay of execution based on this same argument. See
Application for Stay of Execution 2, 6 (moving the Court to stay
petitioner’s execution so that it could address the “substantial”
and “critical” question whether executing petitioner, “whose severe
cognitive dysfunction leaves him without memory of his commission
of the capital offense,” would violate the Eighth
Amendment). 2 The Court is unable to
cite a single place in the petition that makes any reference to the
argument that the state court failed to understand that dementia
could satisfy the Ford / Panetti test. 3 Petitioner’s papers
emphasized again and again that he suffers from delusions. See Pet.
for Suspension in No. CC–85–1385.80 (C. C. Mobile Cty., Ala., Feb.
12, 2016), p. 1 (“Mr. Madison has long suffered from serious
mental illness, marked by paranoid delusions and other
disabilities”); id ., at 5 (“At Mr. Madison’s trial, Dr.
Barry Amyx established that Mr. Madison suffers from a delusional
disorder that has existed since he was an adolescent”); ibid. (“This well-documented history of paranoia was one of
the reasons Dr. Amyx concluded that Mr. Madison had a delusional
disorder in a paranoid, really a persecutory type” (internal
quotation marks omitted)); ibid. (“Dr. Amyx noted that Mr.
Madison exhibited delusional thinking about . . .
medication and believed that he was being used as a guinea pig in
medical experiments”); id. , at 6 (emphasizing a “more recent
observation” that “ ‘Mr. Madison consistently presented with
paranoid delusions’ ”); id. , at 8 (“Mr. Madison
exhibited delusional and disoriented behavior in June 2015”); id. , at 14 (“decades of delusional thinking and psychotropic
medications”); see also Pet. for Suspension in No. CC–85–1385.80
(C. C. Mobile Cty., Ala., Dec. 18, 2017), pp. 6–7 (detailing
similar statements). This line of argument fell apart when
petitioner’s own expert testified that he found no indication that
petitioner was “[e]ither delusional or psychotic.” Tr. 56 (Apr. 14,
2016). 4 Unable to cite any place
where the State made this argument to the state court, the Court
claims that the State did so in the Eleventh Circuit. Ante, at 6–7, n. 1. But even if that were so, it is hard to see what
that would have to do with the question whether the state court
thought that dementia could not satisfy the Ford / Panetti test. And in any event, the Court does
not fairly describe the State’s argument in the Eleventh Circuit.
The State’s Eleventh Circuit brief argued that merely suffering
from a mental condition like dementia is not enough to render a
prisoner incompetent to be executed; instead, the prisoner must
also establish that he lacks a rational understanding of the reason
for his execution. See Brief for Appellee in No. 16–12279 (CA11),
pp. 37–38 (Brief for Appellee) (“The fairest reading of the state
court’s opinion is that it assumed that dementia and memory loss
caused by strokes is a mental illness and went straight to the
rational understanding question. Thus, it is not that the trial
court refused to consider Madison’s claims pertaining to
dementia—Madison cannot point to any portion of the state court
order that says this—it is that the trial court correctly noted
that Madison failed to prove that any dementia interfered with
Madison’s ability to have a rational understanding of his
execution, including the reasons therefor”); id., at 27
(“The Supreme Court has not held that a petitioner can show
incompetence without demonstrating a mental illness or that
dementia and memory loss definitively preclude rational
understanding”); id., at 29 (“To the extent the state court
followed the lead of the Supreme Court, this Court, and the ABA and
required Madison to show that a mental illness prevented him from
having a rational understanding of his punishment, doing so was not
an unreasonable application of clearly established federal law”).
It is true that the State’s brief, in addressing the standard for
granting federal habeas relief under 28 U. S. C.
§2254(d), stated that this Court “ha[d] never held that dementia or
memory loss is sufficient to show a lack of rational
understanding,” Brief for Appellee 29, but that was because a claim
under §2254(d) must be based on a clearly established Supreme Court
holding. See Recording of Oral Arg. in No. 16–12279 (CA11, June 23,
2016), at 32:37–33:30 (State rejecting a suggestion that Panetti holds “if you don’t remember committing the crime at
all, and it is clear based on the medical testimony that you don’t
remember committing this crime, then you don’t have a
rational understanding of the factual basis for the imposition of
the death penalty”: “First of all, under AEDPA deference, I think
that that is not the holding of Panetti . . . . I think
under AEDPA deference, it’s pretty clear that the holding of Panetti is very narrow. . . . I would say the holding
in Panetti is that documented mental illness that results in
a delusion has to be considered when talking about rational
understanding”); id., at 36:00–36:30 (“I think the Supreme
Court has never held that not remembering something is equivalent
to not having a rational understanding. I think that is just
undeniably true. And if AEDPA deference applies, then I don’t
think the state court could have been unreasonable in rejecting the
view that memory is required”). The State did not argue
either that dementia cannot satisfy Ford and Panetti or that the state court based its decision on that ground. On the
contrary, Alabama wrote that “even if the trial court had
determined that dementia and severe memory loss—or even total
amnesia—are insufficient to meet the rational understanding test,
that finding would not contradict clearly established federal law.”
Brief for Appellee 29; see also id., at 30 (“Even assuming
the state court held, as a matter of law, that amnesia is not
sufficient to show a lack of rational understanding, that
determination was not unreasonable in light of clearly established
federal law”). The majority acknowledges that the State made this
concededly correct habeas argument, but then oddly writes it off as
an “additional” or alternative argument. Ante, at 7,
n. 1. Yet, as the State’s brief and oral argument illustrate,
the State’s core contention was that the state court did not
unreasonably apply clearly established law under Panetti ’s
“very narrow” holding. (And as we later held in Dunn ,
the State was correct.) The majority simply cannot
escape the inconvenient fact that the State never argued, as a
non-AEDPA matter, that peti-tioner could be executed even if his
dementia precluded a rational understanding. | The Supreme Court case of Vernon Madison v. Alabama addressed the question of whether the Eighth Amendment prohibits the execution of a prisoner with a mental disorder that leaves them without memory of their crime. The Court held that while memory loss alone may not impede rational understanding, dementia or other mental illnesses must be considered as they may impede comprehension of punishment. The case was sent back to the state court to determine if Madison's execution should be stayed due to his dementia. |
Death Penalty & Criminal Sentencing | Jones v. Mississippi | https://supreme.justia.com/cases/federal/us/593/18-1259/ | NOTICE: This opinion is subject to
formal revision before publication in the preliminary print of the
United States Reports. Readers are requested to notify the Reporter
of Decisions, Supreme Court of the United States, Washington,
D. C. 20543, of any typographical or other formal errors, in
order that corrections may be made before the preliminary print
goes to press.
SUPREME COURT OF THE UNITED STATES
_________________
No. 18–1259
_________________
BRETT JONES, PETITIONER v. MISSISSIPPI
on writ of certiorari to the court of appeals
of mississippi
[April 22, 2021]
Justice Kavanaugh delivered the opinion of the
Court.
Under Miller v. Alabama , 567
U.S. 460 (2012), an individual who commits a homicide when he
or she is under 18 may be sentenced to life without parole, but
only if the sentence is not mandatory and the sentencer therefore
has discretion to impose a lesser punishment. In this case, a
Mississippi trial judge acknowledged his sentencing discretion
under Miller and then sentenced petitioner Brett Jones to
life without parole for a murder that Jones committed when he was
under 18. The Mississippi Court of Appeals affirmed, concluding
that the discretionary sentencing procedure satisfied Miller .
Jones argues, however, that a sentencer’s
discretion to impose a sentence less than life without parole does
not alone satisfy Miller . Jones contends that a sentencer
who imposes a life-without-parole sentence must also make a
separate factual finding that the defendant is permanently
incorrigible, or at least provide an on-the-record sentencing
explanation with an implicit finding that the defendant is
permanently incorrigible. And Jones says that the trial judge did
not make such a finding in his case.
Jones’s argument that the sentencer must make a
finding of permanent incorrigibility is inconsistent with the
Court’s precedents. In Miller , the Court mandated “only that
a sentencer follow a certain process—considering an offender’s
youth and attendant characteristics—before imposing” a
life-without-parole sentence. Id., at 483. And in Montgomery v. Louisiana , which held that Miller applies retroactively on collateral review, the Court
flatly stated that “ Miller did not impose a formal
factfinding requirement” and added that “a finding of fact
regarding a child’s incorrigibility . . . is not
required.” 577 U.S. 190, 211 (2016). In light of that explicit
language in the Court’s prior decisions, we must reject Jones’s
argument. We affirm the judgment of the Mississippi Court of
Appeals.
I
A
In August 2004, Brett Jones was living with
his grandparents, Bertis and Madge, in Shannon, Mississippi.
Shannon is a small town of about 2,000 in northern Mississippi near
Tupelo, about halfway between Memphis and Birmingham off I–22.
At the time, Jones was only 15 years old. On the
morning of August 9, 2004, Bertis discovered Jones’s girlfriend,
Michelle Austin, in Jones’s bedroom. Bertis and Jones got into an
argument, and Bertis ordered Austin out of the house. A few hours
later, Jones told Austin that he “ ‘was going to hurt’ ”
his grandfather. 938 So. 2d 312, 314 (Miss. App. 2006).
That afternoon, Jones was in the kitchen making
himself something to eat. Jones and Bertis began arguing again. The
clash escalated from shouts to shoves to punches. Jones then
stabbed his grandfather with a kitchen knife. When that knife
broke, Jones picked up a second knife and continued stabbing
Bertis. In total, Jones stabbed his grandfather eight times.
Bleeding profusely, Bertis staggered outside,
fell to the ground, and died. Jones did not call 911. Instead, he
haphazardly attempted to cover up his role in the murder. He
dragged Bertis’s body back inside. Jones then washed the blood off
his arms with a water hose, changed out of his bloody shirt, and
moved Bertis’s car over some blood stains on the carport floor.
While Jones was outside, he was seen by a
neighbor. The neighbor called the police. Shortly thereafter,
another neighbor saw Jones and Austin leaving the house together on
foot. Later that night, police located Jones and Austin at a gas
station several miles away. When questioned, Jones and Austin
provided fake names to the officer. After a police pat down
revealed a knife in Jones’s pocket, the officer asked Jones whether
it was the knife that he “ ‘did it with.’ ” Id., at 315. Jones responded, “ ‘No, I already got rid of
it.’ ” Ibid .
B
Jones was charged with murder. The trial judge
instructed the jury on murder and the lesser included offense of
manslaughter. Jones claimed that he was not guilty because he acted
in self-defense. The jury rejected that defense and found Jones
guilty of murder.
Under Mississippi law at the time, murder
carried a mandatory sentence of life without parole. Miss.
Code Ann. §97–3–21 (2000), §47–7–3(g) (2004); see Parker v. State , 119 So. 3d 987, 996–997 (Miss. 2013). The trial judge
therefore imposed that sentence. In 2006, the Mississippi Court of
Appeals affirmed. See 938 So. 2d 312.
Jones later moved for post-conviction relief in
state court, asserting among other things that his mandatory
life-without-parole sentence violated the Cruel and Unusual
Punishments Clause of the Eighth Amendment. The trial court denied
the motion, and the Mississippi Court of Appeals affirmed. See 122
So. 3d 725 (2011).
In 2012, while the Mississippi Supreme Court was
considering whether to review Jones’s case, this Court decided Miller v. Alabama , 567
U.S. 460 . Miller held that the Cruel and Unusual
Punishments Clause of the Eighth Amendment prohibits mandatory life-without-parole sentences for murderers under
18, but the Court allowed discretionary life-without-parole
sentences for those offenders.
In the wake of Miller , the Mississippi
Supreme Court concluded that Miller applied retroactively on
state collateral review. In Jones’s case, the State Supreme Court
ordered a new sentencing hearing where the sentencing judge could
consider Jones’s youth and exercise discretion in selecting an
appropriate sentence. See 122 So. 3d 698 (2013).
At the resentencing, Jones’s attorney argued
that Jones’s “chronological age and its hallmark features”
diminished the “penological justifications for imposing the
harshest sentences.” App. 25, 27 (quoting Miller , 567
U. S., at 472, 477; emphasis deleted). Jones’s attorney added
that “nothing in this record . . . would support a
finding that the offense reflects irreparable corruption.” App.
143–144.
At the end of the hearing, the sentencing judge
acknowledged that he had discretion under Miller to impose a
sentence less than life without parole. But after considering the
factors “relevant to the child’s culpability,” App. 149, the judge
determined that life without parole remained the appropriate
sentence for Jones, id., at 152.
Jones appealed his sentence to the Mississippi
Court of Appeals, citing both Miller and the then-recently
decided case of Montgomery v. Louisiana , 577 U.S. 190
(2016), which in the interim had held that Miller applied
retroactively on collateral review. According to Jones, in order to
impose a life-without-parole sentence on a defendant who committed
a murder when he or she was under 18, the sentencer must make a
separate factual finding that the defendant is permanently
incorrigible. The Mississippi Court of Appeals rejected Jones’s
argument, relying on this Court’s express statement in Montgomery that “ ‘ Miller did not require trial
courts to make a finding of fact regarding a child’s
incorrigibility.’ ” 285 So. 3d 626, 632 (2017) (quoting Montgomery , 577 U. S., at 211).
In light of disagreement in state and federal
courts about how to interpret Miller and Montgomery ,
we granted certiorari. 589 U. S. ___ (2020). Compare, e.g., Malvo v. Mathena , 893 F.3d 265 (CA4
2018), Commonwealth v. Batts , 640 Pa. 401, 163 A.3d
410 (2017), and Veal v. State , 298 Ga. 691, 784
S.E.2d 403 (2016), with, e.g., United States v. Sparks , 941 F.3d 748 (CA5 2019), People v. Skinner , 502 Mich. 89, 917 N.W.2d 292 (2018), and State v. Ramos , 187 Wash. 2d 420, 387 P.3d 650
(2017).
II
According to Jones, a sentencer’s discretion
to impose a sentence less than life without parole does not alone
satisfy Miller . In Jones’s view, a sentencer who imposes a
life-without-parole sentence must also either (i) make
a separate factual finding of permanent incorrigibility, or
(ii) at least provide an on-the-record sentencing explanation
with an “implicit finding” of permanent incorrigibility. Tr. of
Oral Arg. 32; see id., at 6, 14.
As we will explain, the Court has already ruled
that a separate factual finding of permanent incorrigibility is not
required. In Montgomery , the Court unequivocally stated that
“ Miller did not impose a formal factfinding requirement” and
added that “a finding of fact regarding a child’s incorrigibility
. . . is not required.” 577 U. S., at 211. In a case
involving an individual who was under 18 when he or she committed a
homicide, a State’s discretionary sentencing system is both
constitutionally necessary and constitutionally
sufficient.[ 1 ]
A
In 2004, the year that Jones murdered his
grandfather, about 16,000 individuals committed a homicide in the
United States. See Dept. of Justice, Federal Bureau of
Investigation, Crime in the United States 2004, Murder Offenders by
Age, Sex, and Race 17 (Table 2.5). About 850 of the individuals who
committed a homicide were known to be under 18—meaning that, on
average, more than two homicides were committed every day by
individuals under 18. Ibid. The States authorize strict punishments for
homicide, including for homicides committed by individuals under
18. But this Court has held that sentencing an offender who was
under 18 at the time of the crime raises special constitutional
considerations.
Ratified in 1791, the Eighth Amendment provides
that “cruel and unusual punishments” shall not be “inflicted.”
Ratified in 1868, the Fourteenth Amendment incorporates the Cruel
and Unusual Punishments Clause against the States.
In a series of Eighth Amendment cases applying
the Cruel and Unusual Punishments Clause, this Court has stated
that youth matters in sentencing. In Roper v. Simmons , 543 U.S.
551 (2005), the Court concluded that the Eighth Amendment
prohibits capital punishment for murderers who were under 18 at the
time of their crimes. And in Graham v. Florida , 560 U.S.
48 (2010), the Court held that the Eighth Amendment prohibits
life without parole for offenders who were under 18 and committed non- homicide offenses. Importantly, however, Graham did not prohibit life without parole for offenders who were under
18 and committed homicide . The Graham Court stated:
“There is a line between homicide and other serious violent
offenses against the individual.” Id., at 69 (internal
quotation marks omitted).
And then in Miller in 2012, the Court
allowed life-without-parole sentences for defendants who committed homicide when they were under 18, but only so long as the
sentence is not mandatory—that is, only so long as the sentencer
has discretion to “consider the mitigating qualities of youth” and
impose a lesser punishment. 567 U. S., at 476 (internal
quotation marks omitted). Four years later, Montgomery held
that Miller applied retroactively to cases on collateral
review. 577 U. S., at 206, 212.
Jones argues that Miller requires more
than just a discretionary sentencing procedure. According to Jones,
the sentencer must also make a separate factual finding of
permanent incorrigibility before sentencing a murderer under 18 to
life without parole.
The problem for Jones is that Miller and Montgomery squarely rejected such a requirement. Miller mandated “only that a sentencer follow a certain
process—considering an offender’s youth and attendant
characteristics—before imposing” a life-without-parole sentence.
567 U. S., at 483. Montgomery then flatly stated that
“ Miller did not impose a formal factfinding requirement” and
that “a finding of fact regarding a child’s incorrigibility
. . . is not required.” 577 U. S., at 211.[ 2 ]
Notwithstanding that clear language in Miller and Montgomery , Jones advances three distinct
arguments for why this Court should require a sentencer to make a
finding of permanent incorrigibility before sentencing a murderer
under 18 to life without parole. First, Jones analogizes to cases where
the Court has recognized certain eligibility criteria, such as
sanity or a lack of intellectual disability, that must be met
before an offender can be sentenced to death. See Ford v. Wainwright , 477 U.S.
399 (1986); Atkins v. Virginia , 536 U.S.
304 (2002). Jones argues that the Constitution similarly
requires a sentencer to find permanent incorrigibility before
sentencing a murderer under 18 to life without parole.
The State responds that permanent
incorrigibility is not an eligibility criterion akin to sanity or a
lack of intellectual disability. We agree with the State. For one
thing, the Court has recognized that it “is difficult even for
expert psychologists to differentiate between the juvenile offender
whose crime reflects unfortunate yet transient immaturity, and the
rare juvenile offender whose crime reflects irreparable
corruption.” Roper , 543 U. S., at 573. In addition,
when the Court has established such an eligibility criterion, the
Court has considered whether “ ‘objective indicia of society’s
standards, as expressed in legislative enactments and state
practice,’ ” demonstrated a “national consensus” in favor of
the criterion. Graham , 560 U. S., at 61 (quoting Roper , 543 U. S., at 563). But Miller did not
identify a single State that, as of that time, made permanent
incorrigibility an eligibility criterion for life-without-parole
sentences imposed on murderers under 18.
Given those two points, it comes as no surprise
that Miller declined to characterize permanent
incorrigibility as such an eligibility criterion. Rather, Miller repeatedly described youth as a sentencing factor
akin to a mitigating circumstance. And Miller in turn
required a sentencing procedure similar to the procedure that this
Court has required for the individualized consideration of
mitigating circumstances in capital cases such as Woodson v. North Carolina , 428 U.S.
280 , 303–305 (1976) (plurality opinion), Lockett v. Ohio , 438 U.S.
586 , 597–609 (1978) (plurality opinion), and Eddings v. Oklahoma , 455 U.S.
104 , 113–115 (1982). Those capital cases require sentencers to
consider relevant mitigating circumstances when deciding whether to
impose the death penalty. And those cases afford sentencers wide
discretion in determining “the weight to be given relevant
mitigating evidence.” Id., at 114–115. But those cases do
not require the sentencer to make any particular factual finding
regarding those mitigating circumstances.
Repeatedly citing Woodson , Lockett , and Eddings , the Miller Court stated
that “a judge or jury must have the opportunity to consider” the
defendant’s youth and must have “discretion to impose a different
punishment” than life without parole. 567 U. S., at 489; id., at 465; see id., at 470, 476, 483. Stated
otherwise, the Miller Court mandated “only that a sentencer
follow a certain process—considering an offender’s youth and
attendant characteristics—before imposing” a life-without-parole
sentence. Id., at 483. In that process, the sentencer will
consider the murderer’s “diminished culpability and heightened
capacity for change.” Id., at 479. That sentencing procedure
ensures that the sentencer affords individualized “consideration”
to, among other things, the defendant’s “chronological age and its
hallmark features.” Id. , at 477.
To be sure, Miller also cited Roper and Graham . 567 U. S. , at 471–475. Roper barred capital punishment for offenders under 18. And Graham barred life without parole for offenders under 18 who
committed non-homicide offenses. But Miller did not cite
those cases to require a finding of permanent incorrigibility or to
impose a categorical bar against life without parole for murderers
under 18. We know that because Miller said so: “Our decision
does not categorically bar a penalty for a class of offenders or
type of crime—as, for example, we did in Roper or Graham .” 567 U. S., at 483. Instead, Miller cited Roper and Graham for a simple proposition:
Youth matters in sentencing. And because youth matters, Miller held that a sentencer must have discretion to
consider youth before imposing a life-without-parole sentence, just
as a capital sentencer must have discretion to consider other
mitigating factors before imposing a death sentence.
In short, Miller followed the Court’s
many death penalty cases and required that a sentencer consider
youth as a mitigating factor when deciding whether to impose a
life-without-parole sentence. Miller did not require the
sentencer to make a separate finding of permanent incorrigibility
before imposing such a sentence. And Montgomery did not
purport to add to Miller ’s requirements.[ 3 ] Second , Jones contends that the Montgomery Court must nonetheless have assumed that a
separate factual finding of permanent incorrigibility was necessary
because Montgomery deemed Miller a substantive
holding for purposes of applying Miller retroactively on
collateral review. See Teague v. Lane , 489
U.S. 288 , 310–311 (1989) (plurality opinion).
In advancing that argument, Jones relies on
language in Montgomery that described Miller as
permitting life-without-parole sentences only for “those whose
crimes reflect permanent incorrigibility,” rather than “transient
immaturity.” 577 U. S., at 209. In other words, because the Montgomery Court deemed Miller to be a substantive
holding, and because Montgomery said that life without
parole would be reserved for the permanently incorrigible, Jones
argues that the Montgomery Court must have envisioned a
separate factual finding of permanent incorrigibility, not just a
discretionary sentencing procedure where youth would be
considered.
That is an incorrect interpretation of Miller and Montgomery . We know as much because Montgomery said as much. To reiterate, the Montgomery Court explicitly stated that “a finding of fact regarding a child’s
incorrigibility . . . is not required.” 577 U. S.,
at 211.
To break it down further: Miller required
a discretionary sentencing procedure. The Court stated that a
mandatory life-without-parole sentence for an offender under 18
“poses too great a risk of disproportionate punishment.” 567
U. S., at 479. Despite the procedural function of Miller ’s rule, Montgomery held that the Miller rule was substantive for retroactivity purposes and therefore
applied retroactively on collateral review. 577 U. S., at 206,
212.[ 4 ] But in making the rule
retroactive, the Montgomery Court unsurprisingly declined to
impose new requirements not already imposed by Miller . As Montgomery itself explained, the Court granted certiorari in
that case not to consider whether the rule announced in Miller should be expanded, but rather simply to decide
whether Miller ’s “holding is retroactive to juvenile
offenders whose convictions and sentences were final when Miller was decided.” 577 U. S., at 194. On the question
of what Miller required, Montgomery was clear: “A
hearing where youth and its attendant characteristics are
considered as sentencing factors is necessary to separate those
juveniles who may be sentenced to life without parole from those
who may not.” Id., at 210 (internal quotation marks
omitted). But a separate finding of permanent incorrigibility “is
not required.” Id., at 211.
The key assumption of both Miller and Montgomery was that discretionary sentencing allows the
sentencer to consider the defendant’s youth, and thereby helps
ensure that life-without-parole sentences are imposed only in cases
where that sentence is appropriate in light of the defendant’s age.
If the Miller or Montgomery Court wanted to require
sentencers to also make a factual finding of permanent
incorrigibility, the Court easily could have said so—and surely
would have said so. But the Court did not say that, or anything
like it. On the contrary, the Montgomery Court declared just
the opposite: that the sentencer need not make such a
separate factual finding of permanent incorrigibility.
In short, Jones’s Montgomery -based
argument for requiring a finding of permanent incorrigibility is
unavailing because Montgomery explicitly stated that
“ Miller did not impose a formal factfinding requirement” and
that “a finding of fact regarding a child’s incorrigibility
. . . is not required.” Montgomery , 577
U. S., at 211. Third , Jones relatedly argues that Miller and Montgomery sought to ensure that life
without parole for murderers under 18 would be relatively rare.
According to Jones, a separate factual finding of permanent
incorrigibility is necessary to achieve that goal.
But in Miller , the Court stated that a
discretionary sentencing procedure—where the sentencer can consider
the defendant’s youth and has discretion to impose a lesser
sentence than life without parole—would itself help make
life-without-parole sentences “relatively rar[e ]” for
murderers under 18. 567 U. S., at 484, n. 10.
Importantly, in concluding that a discretionary
sentencing procedure would help make life-without-parole sentences
relatively rare, the Court relied on data, not speculation. The
Court pointed to statistics from 15 States that used discretionary
sentencing regimes to show that, “when given the choice, sentencers
impose life without parole on children relatively rarely.” Ibid .[ 5 ] In light of
those statistics, the Court reasoned that a discretionary
sentencing procedure would make life-without-parole sentences
relatively rare for juvenile offenders. But the Court did not
suggest that the States with discretionary sentencing regimes also
required a separate factual finding of permanent incorrigibility,
or that such a finding was necessary to make life-without-parole
sentences for juvenile offenders relatively rare. Therefore, to
remain true to Miller ’s reasoning, we cannot now require a
separate factual finding of permanent incorrigibility. (Moreover,
to reiterate, Montgomery explicitly stated that such a
finding is not required.)
In sum, the Court has unequivocally stated that
a separate factual finding of permanent incorrigibility is not
required before a sentencer imposes a life-without-parole sentence
on a murderer under 18. To borrow the apt words of the Michigan
Supreme Court: “Given that Montgomery expressly held that
‘ Miller did not require trial courts to make a finding of
fact regarding a child’s incorrigibility,’ we likewise hold that Miller does not require trial courts to make a finding of
fact regarding a child’s incorrigibility.” People v. Skinner , 502 Mich. 89, 122, 917 N.W.2d 292, 309 (2018)
(citation omitted).
B
Even if a separate factual finding of
permanent incorrigibility is not required, Jones alternatively
contends that a sentencer must at least provide an on-the-record
sentencing explanation with an “implicit finding” of permanent
incorrigibility. Tr. of Oral Arg. 32; see id., at 6, 14.
Jones argues that such an explanation is necessary to ensure that
the sentencer actually considers the defendant’s youth. And Jones
further asserts that the sentencing judge did not provide such an
explanation at his resentencing.
We reject Jones’s alternative argument because
an on-the-record sentencing explanation with an implicit finding of
permanent incorrigibility (i) is not necessary to ensure that
a sentencer considers a defendant’s youth, (ii) is not
required by or consistent with Miller , (iii) is not
required by or consistent with this Court’s analogous death penalty
precedents, and (iv) is not dictated by any consistent
historical or contemporary sentencing practice in the States. First , and most fundamentally, an
on-the-record sentencing explanation is not necessary to ensure
that a sentencer considers a defendant’s youth. Jones’s argument to
the contrary rests on the assumption that meaningful daylight
exists between (i) a sentencer’s discretion to consider youth,
and (ii) the sentencer’s actual consideration of youth. But if
the sentencer has discretion to consider the defendant’s youth, the
sentencer necessarily will consider the defendant’s youth,
especially if defense counsel advances an argument based on the
defendant’s youth. Faced with a convicted murderer who was under 18
at the time of the offense and with defense arguments focused on
the defendant’s youth, it would be all but impossible for a
sentencer to avoid considering that mitigating factor.[ 6 ]
It is true that one sentencer may weigh the
defendant’s youth differently than another sentencer or an
appellate court would, given the mix of all the facts and
circumstances in a specific case. Some sentencers may decide that a
defendant’s youth supports a sentence less than life without
parole. Other sentencers presented with the same facts might decide
that life without parole remains appropriate despite the
defendant’s youth. But the key point remains that, in a case
involving a murderer under 18, a sentencer cannot avoid considering
the defendant’s youth if the sentencer has discretion to consider
that mitigating factor.[ 7 ] Second , turning to precedent, an
on-the-record sentencing explanation with an implicit finding of
permanent incorrigibility is not required by or consistent with Miller . The Court’s thorough opinion in Miller did
not even hint at requiring an on-the-record sentencing explanation
with an implicit finding of permanent incorrigibility. Miller highlighted 15 existing discretionary state
sentencing systems as examples of what was missing in the mandatory
Alabama regime before the Court in that case. 567 U. S., at
484, n. 10. As the Court explained, those discretionary
sentencing regimes ensured individualized consideration of
youth.
But the Court did not suggest that those
discretionary sentencing regimes required some kind of sentencing
explanation. Again, if the Miller Court believed that a
sentencing explanation with an implicit finding of permanent
incorrigibility was constitutionally necessary, the Court easily
could have and surely would have said so. But Miller did not
say a word about requiring some kind of particular sentencing
explanation with an implicit finding of permanent incorrigibility,
as Montgomery later confirmed. Third , and just as telling, an
on-the-record sentencing explanation with an implicit finding of
permanent incorrigibility is not required by or consistent with
this Court’s death penalty cases. Those cases demonstrate that an
on-the-record sentencing explanation is not necessary to ensure
that the sentencer considers relevant mitigating circumstances.
In a series of capital cases over the past 45
years, the Court has required the sentencer to consider mitigating
circumstances when deciding whether to impose the death penalty.
See Woodson , 428 U. S., at 303–305 (plurality opinion); Lockett , 438 U. S., at 597–609 (plurality opinion); Eddings , 455 U. S., at 113–115; see also Tennard v. Dretke , 542 U.S.
274 , 285 (2004); Penry v. Lynaugh , 492 U.S.
302 , 318–319 (1989).
But the Court has never required an
on-the-record sentencing explanation or an implicit finding
regarding those mitigating circumstances. The reason is evident:
Under the discretionary death penalty sentencing procedure required
by cases such as Woodson , Lockett , and Eddings , the sentencer will necessarily consider relevant
mitigating circumstances. A sentencing explanation is not necessary
to ensure that the sentencer in death penalty cases considers the
relevant mitigating circumstances. It follows that a sentencing
explanation is likewise not necessary to ensure that the sentencer
in juvenile life-without-parole cases considers the defendant’s
youth.
Because the Constitution does not require an
on-the- record explanation of mitigating circumstances by the
sentencer in death penalty cases , it would be incongruous to
require an on-the-record explanation of the mitigating circumstance
of youth by the sentencer in life-without-parole cases .
Jones offers no persuasive answer for that incongruity in his
argument. Fourth , an on-the-record sentencing
explanation with an implicit finding of permanent incorrigibility
is not dictated by any historical or contemporary sentencing
practice in the States. To be sure, when a state judge imposes a
sentence of imprisonment, particularly a lengthy sentence, the
judge often will explain both the sentence and the judge’s
evaluation of any mitigating circumstances. But many States
traditionally have not legally required (and some States still do
not legally require) on-the-record explanations by the sentencer.
See, e.g., A. Campbell, Law of Sentencing §10:5,
pp. 473–480 (3d ed. 2004) (hereinafter Campbell). Indeed, in
some States, the jury is the sentencer for certain kinds of crimes,
and juries typically do not supply sentencing explanations. See
generally King & Noble, Felony Jury Sentencing in Practice: A
Three-State Study, 57 Vand. L. Rev. 885 (2004). Even when
state law requires a sentencer to supply reasons, many States do
not impose a formulaic checklist of topics or a magic-words
requirement with respect to particular mitigating circumstances.
And appellate courts do not necessarily reverse merely because the
sentencer could have said more about mitigating circumstances. See
Campbell 477; 22A Cal. Jur. 3d, Crim. Law: Posttrial Proceedings
§408, p. 234 (2017) (“[U]nless the record affirmatively
reflects otherwise, the trial court will be deemed to have
considered the relevant criteria, such as mitigating circumstances,
enumerated in the sentencing rules”).
Those state practices matter here because, as
the Court explained in Montgomery , when “a new substantive
rule of constitutional law is established, this Court is careful to
limit the scope of any attendant procedural requirement to avoid
intruding more than necessary upon the States’ sovereign
administration of their criminal justice systems.” 577 U. S.,
at 211. So it is here. Because Montgomery directs us to
“avoid intruding more than necessary” upon the States, ibid. , and because a discretionary sentencing procedure
suffices to ensure individualized consideration of a defendant’s
youth, we should not now add still more procedural
requirements.
In sum, Jones’s alternative argument fails. The
Court’s precedents do not require an on-the-record sentencing
explanation with an implicit finding of permanent
incorrigibility.
III
The Court’s decision today carefully follows
both Miller and Montgomery . The dissent nonetheless
claims that we are somehow implicitly overruling those decisions.
We respectfully but firmly disagree: Today’s decision does not
overrule Miller or Montgomery . Miller held
that a State may not impose a mandatory life-without-parole
sentence on a murderer under 18. Today’s decision does not disturb
that holding. Montgomery later held that Miller applies retroactively on collateral review. Today’s decision
likewise does not disturb that holding.
We simply have a good-faith disagreement with
the dissent over how to interpret Miller and Montgomery . That kind of debate over how to interpret
relevant precedents is commonplace. Here, the dissent thinks that
we are unduly narrowing Miller and Montgomery . And
we, by contrast, think that the dissent would unduly broaden those
decisions. The dissent draws inferences about what, in the
dissent’s view, Miller and Montgomery “must have
done” in order for the decisions to “make any sense.” Post ,
at 12 (opinion of Sotomayor, J.). We instead rely on what Miller and Montgomery said—that is, their explicit
language addressing the precise question before us and definitively
rejecting any requirement of a finding of permanent
incorrigibility.
Notwithstanding our disagreement about whether Miller and Montgomery require a finding of permanent
incorrigibility, we and the dissent both recognize that Miller and Montgomery have been consequential. Miller ’s discretionary sentencing procedure has resulted in
numerous sentences less than life without parole for defendants who
otherwise would have received mandatory life-without-parole
sentences. For example, in Miller resentencings in
Mississippi where Jones was convicted and sentenced, Miller has reduced life-without-parole sentences for murderers under 18 by
about 75 percent. See The Campaign for the Fair Sentencing of
Youth, Tipping Point: A Majority of States Abandon
Life-Without-Parole Sentences for Children 7 (2018). Those
statistics bear out Miller ’s prediction: A discretionary
sentencing procedure has indeed helped make life-without-parole
sentences for offenders under 18 “relatively rar[e ].” 567
U. S., at 484, n. 10.
Moreover, as a result of Montgomery , many
homicide offenders under 18 who received life-without-parole
sentences that were final before Miller have now obtained
new sentencing proceedings and have been sentenced to less than
life without parole.
Despite the significant changes wrought by Miller and Montgomery , the dissent now wants more—an
additional constitutional requirement that the sentencer must make
a finding of permanent incorrigibility before sentencing a murderer
under 18 to life without parole. But to reiterate, in Miller and Montgomery , the Court unequivocally stated that such a
finding is not required. And we will not now rewrite those
decisions to impose a requirement that the Court twice
rejected.
To be clear, our ruling on the legal issue
presented here should not be construed as agreement or disagreement
with the sentence imposed against Jones. As this case again
demonstrates, any homicide, and particularly a homicide committed
by an individual under 18, is a horrific tragedy for all involved
and for all affected. Determining the proper sentence in such a
case raises profound questions of morality and social policy. The
States, not the federal courts, make those broad moral and policy
judgments in the first instance when enacting their sentencing
laws. And state sentencing judges and juries then determine the
proper sentence in individual cases in light of the facts and
circumstances of the offense, and the background of the
offender.
Under our precedents, this Court’s more limited
role is to safeguard the limits imposed by the Cruel and Unusual
Punishments Clause of the Eighth Amendment. The Court’s precedents
require a discretionary sentencing procedure in a case of this
kind. The resentencing in Jones’s case complied with those
precedents because the sentence was not mandatory and the trial
judge had discretion to impose a lesser punishment in light of
Jones’s youth. Moreover, this case does not properly present—and
thus we do not consider—any as-applied Eighth Amendment claim of
disproportionality regarding Jones’s sentence. See Brief for United
States as Amicus Curiae 23; Harmelin v. Michigan , 501 U.S.
957 , 996–1009 (1991) (Kennedy, J., concurring in part and
concurring in judgment).
Importantly, like Miller and Montgomery , our holding today does not preclude the States
from imposing additional sentencing limits in cases involving
defendants under 18 convicted of murder. States may categorically
prohibit life without parole for all offenders under 18. Or States
may require sentencers to make extra factual findings before
sentencing an offender under 18 to life without parole. Or States
may direct sentencers to formally explain on the record why a
life-without-parole sentence is appropriate notwithstanding the
defendant’s youth. States may also establish rigorous
proportionality or other substantive appellate review of
life-without-parole sentences. All of those options, and others,
remain available to the States. See generally J. Sutton, 51
Imperfect Solutions (2018). Indeed, many States have recently
adopted one or more of those reforms. See, e.g., Brief for
Former West Virginia Delegate John Ellem et al. as Amici
Curiae in Mathena v. Malvo , O. T. 2019, No.
18–217, pp. 29–36. But the U. S. Constitution, as this Court’s
precedents have interpreted it, does not demand those particular
policy approaches.
Finally, our holding today is far from the last
word on whether Jones will receive relief from his sentence. Jones
contends that he has maintained a good record in prison and that he
is a different person now than he was when he killed his
grandfather. He articulates several moral and policy arguments for
why he should not be forced to spend the rest of his life in
prison. Our decision allows Jones to present those arguments to the
state officials authorized to act on them, such as the state
legislature, state courts, or Governor. Those state avenues for
sentencing relief remain open to Jones, and they will remain open
to him for years to come.
* * *
We affirm the judgment of the Mississippi
Court of Appeals.
It is so ordered. Notes 1 Both Miller and Montgomery generated vigorous dissents. The dissents in Miller stated that the Eighth Amendment does not prohibit
mandatory life-without-parole sentences and asserted that the
Court’s decision contravened this Court’s precedents. See 567
U. S., at 493–502 (Roberts, C. J., dissenting); id., at 502–509 (Thomas, J., dissenting); id., at
509–515 (Alito, J., dissenting). The lead dissent in Montgomery argued that Miller should not apply
retroactively on collateral review. 577 U. S., at 224–227
(Scalia, J., dissenting). 2 The key paragraph from Montgomery is as follows: “Louisiana suggests that Miller cannot have made a constitutional distinction between
children whose crimes reflect transient immaturity and those whose
crimes reflect irreparable corruption because Miller did not
require trial courts to make a finding of fact regarding a child’s
incorrigibility. That this finding is not required, however, speaks
only to the degree of procedure Miller mandated in order to
implement its substantive guarantee. When a new substantive rule of
constitutional law is established, this Court is careful to limit
the scope of any attendant procedural requirement to avoid
intruding more than necessary upon the States’ sovereign
administration of their criminal justice systems. See Ford v. Wainwright , 477 U.S.
399 , 416–417 (1986) (“[W]e leave to the State[s] the task of
developing appropriate ways to enforce the constitutional
restriction upon [their] execution of sentences”). Fidelity to this
important principle of federalism, however, should not be construed
to demean the substantive character of the federal right at issue.
That Miller did not impose a formal factfinding requirement
does not leave States free to sentence a child whose crime reflects
transient immaturity to life without parole. To the contrary, Miller established that this punishment is disproportionate
under the Eighth Amendment.” 577 U. S., at 211. 3 If permanent
incorrigibility were a factual prerequisite to a
life-without-parole sentence, this Court’s Sixth Amendment
precedents might require that a jury, not a judge, make such a
finding. See Ring v. Arizona , 536
U.S. 584 (2002); Apprendi v. New Jersey , 530 U.S.
466 (2000). If we were to rule for Jones here, the next wave of
litigation would likely concern the scope of the jury right. The
fact that neither Miller nor Montgomery even
mentioned the Sixth Amendment is further reason to doubt that those
cases implicitly required a finding of permanent incorrigibility by
the sentencer. 4 As the Court has stated
in cases both before and after Montgomery , the Court
determines whether a rule is substantive or procedural for
retroactivity purposes “by considering the function of the rule”
itself—not “by asking whether the constitutional right underlying
the new rule is substantive or procedural.” Welch v. United States , 578 U.S. 120, 130–131 (2016). For purposes of Teague v. Lane , 489 U.S.
288 (1989), a rule is procedural if it regulates “ ‘only
the manner of determining the defendant’s culpability.’ ” Welch , 578 U. S., at 129 (quoting Schriro v. Summerlin , 542 U.S.
348 , 353 (2004); emphasis deleted). A rule is substantive and
applies retroactively on collateral review, by contrast, if it
“ ‘alters the range of conduct or the class of persons that
the law punishes.’ ” Welch , 578 U. S., at 129
(quoting Summerlin , 542 U. S., at 353). As the Court’s
post- Montgomery decision in Welch already indicates,
to the extent that Montgomery ’s application of the Teague standard is in tension with the Court’s retroactivity
precedents that both pre-date and post-date Montgomery ,
those retroactivity precedents—and not Montgomery —must guide
the determination of whether rules other than Miller are
substantive. See Welch , 578 U.S. 120; Summerlin , 542 U.S.
348 ; Lambrix v. Singletary , 520 U.S.
518 (1997); Saffle v. Parks , 494 U.S.
484 (1990). To be clear, however, our decision today does not
disturb Montgomery ’s holding that Miller applies
retroactively on collateral review. By now, most offenders who
could seek collateral review as a result of Montgomery have
done so and, if eligible, have received new discretionary sentences
under Miller . 5 See Cal. Penal Code Ann.
§190.5 (West 2014); Ga. Code Ann. §16–5–1 (2011), §17–10–31 (2013);
Ind. Code §35–50–2–3 (2009); Me. Rev. Stat. Ann., Tit. 17–A, §1251
(2006); Md. Crim. Law Code Ann. §§2–201 to 2–203, 2–304 (2012);
Nev. Rev. Stat. §200.030 (2012); N. M. Stat. Ann. §§31–18–13,
31–18–14, 31–18–15.2 (2010); N. D. Cent. Code Ann.
§§12.1–32–01, 12.1–32–09.1 (2012); Okla. Stat., Tit. 21, §§13.1,
701.9 (2011); R. I. Gen. Laws §11–23–2 (2002); S. C. Code
Ann. §16–3–20 (2015); Tenn. Code Ann. §§39–13–202, 39–13–204,
39–13–207 (2018); Utah Code §§76–3–206, 76–3–207 (2012); W. Va.
Code Ann. §62–3–15 (Lexis 2014); Wis. Stat. §939.50 (2005),
§973.014 (2007). 6 If defense counsel fails
to make the sentencer aware of the defendant’s youth, it is
theoretically conceivable (albeit still exceedingly unlikely in the
real world) that the sentencer might somehow not be aware of the
defendant’s youth. But in that highly unlikely scenario, the
defendant may have a potential ineffective-assistance-of-counsel
claim, not a Miller claim—just as defense counsel’s failure
to raise relevant mitigating circumstances in a death penalty
sentencing proceeding can constitute a potential
ineffective-assistance-of-counsel problem, not a Woodson/Lockett/Eddings violation. Cf. Wiggins v. Smith , 539 U.S.
510 , 533–538 (2003) (counsel in capital case was ineffective
for failing to investigate and present mitigating evidence at
sentencing); Williams v. Taylor , 529 U.S.
362 , 395–398 (2000) (same). 7 This Court’s death
penalty cases recognize a potential Eighth Amendment claim if the
sentencer expressly refuses as a matter of law to consider
relevant mitigating circumstances. See Eddings v. Oklahoma , 455 U.S.
104 , 114–115 (1982). By analogy here, if a sentencer
considering life without parole for a murderer who was under 18
expressly refuses as a matter of law to consider the defendant’s
youth (as opposed to, for example, deeming the defendant’s youth to
be outweighed by other factors or deeming the defendant’s youth to
be an insufficient reason to support a lesser sentence under the
facts of the case), then the defendant might be able to raise an
Eighth Amendment claim under the Court’s precedents. In any event,
we need not explore that possibility because the record here does
not reflect that the sentencing judge refused as a matter of law to
consider Jones’s youth. SUPREME COURT OF THE UNITED STATES
_________________
No. 18–1259
_________________
BRETT JONES, PETITIONER v. MISSISSIPPI
on writ of certiorari to the court of appeals
of mississippi
[April 22, 2021]
Justice Thomas, concurring in the
judgment.
The Court correctly holds that the Eighth
Amendment does not require a finding that a minor be permanently
incorrigible as a prerequisite to a sentence of life without
parole. But in reaching that result, the majority adopts a strained
reading of Montgomery v. Louisiana , 577 U.S. 190
(2016), instead of outright admitting that it is irreconcilable
with Miller v. Alabama , 567 U.S.
460 (2012)—and the Constitution. The better approach is to be
patently clear that Montgomery was a “demonstrably
erroneous” decision worthy of outright rejection. Gamble v. United States , 587 U. S. ___, ___ (2019) (Thomas, J.,
concurring) (slip op., at 2).
I
Brett Jones, then 15, murdered his
grandfather. At the time of his trial and sentencing, Mississippi
law automatically punished his crime with life without parole. A
few years later, however, this Court held that youthful offenders
are constitutionally entitled to an “individualized sentencing”
process. Miller , 567 U. S., at 465. The Mississippi
Supreme Court thus ordered a new hearing at which the judge
dutifully considered the factors “relevant to [Jones’] culpability”
before again sentencing him to life without parole. App. 149.
Jones appealed, citing yet another new
decision— Montgomery —in which this Court held that Miller ’s rule was “substantive” and hence had to be
retroactively applied to cases on collateral review. 577
U. S., at 212. Without more, the fact that Miller was
now retroactive did not help Jones, as he had already received the
“individualized” hearing Miller required. 567 U. S., at
465. Therefore, Jones argued that Montgomery further
required the sentencing judge to “make a specific ‘finding’ that he
is irretrievably depraved, irreparably corrupt, or permanently
incorrigible.” 285 So. 3d 626, 632 (Miss. App. 2017). That theory
was not necessarily a stretch—as Montgomery explained that a
life-without-parole sentence “violates the Eighth Amendment for a
child whose crime reflects ‘ “unfortunate yet transient
immaturity.” ’ ” 577 U. S., at 208. But the
Mississippi Court of Appeals disagreed, noting that Montgomery also “stated that ‘ Miller did not require
trial courts to make a finding of fact regarding a child’s
incorrigibility’ [or] ‘impose a formal factfinding
requirement.’ ” 285 So. 3d, at 632.
II Miller and Montgomery are from
the same lineage of precedent that refashions the Eighth Amendment
to accommodate this Court’s views of juvenile justice.[ 1 ] The similarities end there, however,
because the decisions cannot be reconciled.
A Miller announced a purely procedural
rule: A State may not automatically sentence a juvenile to life
without parole, but must instead provide an individualized
sentencing process. In reaching this conclusion, the Court
explicitly cabined its holding to cases in which the sentencer
lacked “discretion to impose a different punishment.” Miller , 567 U. S., at 465; accord, e.g., id., at 479–480. Were there any doubt that Miller focused only on the availability of individualized sentencing, the
Court stressed that it was “not categorically bar[ring] a penalty
for a class of offenders or type of crime” but instead “mandat[ing]
only that a sentencer follow a certain process.” Id. , at
483. Miller ’s descriptions of its procedural
holding track with the opinion’s mode of analysis. At one point,
for example, Miller discussed a line of precedents that
condition the death penalty on an individualized sentencing
process. Id., at 475–476. Reasoning by analogy, the Court
explained that “mandatory penalties” for juveniles “preclude a
sentencer from taking account of an offender’s age and the wealth
of characteristics and circumstances attendant to it.” Id. ,
at 476. The Court also canvassed the jurisdictions that had some
form of mandatory life-without-parole, id. , at 482–487, and
nn. 9–10, 13–14, which would have been an unusual detour if
the opinion were concerned with anything more than nondiscretionary
punishments. And it declined to “consider [the] alternative
argument that the Eighth Amendment requires a categorical bar on
life without parole for juveniles.” Id., at 479.
B
This narrow holding became inconvenient when
the Court decided to apply Miller retroactively to prisoners
whose sentences were already final. Under the approach announced in Teague v. Lane , 489 U.S.
288 (1989), Miller could have been retroactive only if
it were a “watershed” rule of criminal procedure or a “substantive”
rule, Beard v. Banks , 542 U.S.
406 , 416–419, and n. 7 (2004).
Precedent foreclosed the first option. Miller “mandate[d] only that a sentencer follow a certain
process” as a prerequisite to life without parole, 567 U. S.,
at 483, but this directive was hardly “watershed.” According to Teague , a procedural rule might have a claim to watershed
status if it were “ ‘ “implicit in the concept of ordered
liberty.” ’ ” Banks , 542, U. S., at 417. So
limited was this possibility that, in “ ‘the years since Teague , we . . . rejected every claim that a new
rule satisfied the requirements for watershed status.’ ” Ramos v. Louisiana , 590 U. S. ___, ___ (2020)
(Kavanaugh, J., concurring in part) (slip op., at 16). Or in more
concrete terms, we repeatedly suggested that a rule might be
watershed only if it were akin to a defendant’s right to counsel as
articulated in Gideon v. Wainwright , 372 U.S.
335 (1963). See Banks , 542 U. S., at 417–418.
Whatever Miller might have done, its narrow rule about
juvenile sentencing “ ‘ha[d] none of the primacy and
centrality of the rule adopted in Gideon .’ ” Banks , 542 U. S., at 420.
Rather than accept what was plainly the
case—that Miller was procedural, not watershed, and thus not
retroactive— Montgomery proceeded to “rewrite” it into a
substantive rule. 577 U. S., at 224 (Scalia, J., dissenting).
Despite acknowledging that “ Miller ’s holding has a
procedural component,” the majority explained that this procedure
was actually just a way “to implement a substantive
guarantee.” Id. , at 209–210. This guarantee, according to Montgomery , was that “all” juvenile offenders—except for a
rare few “whose crimes reflect permanent incorrigibility”—are
categorically exempt from life without parole. Id. , at
209.
That reimagined rule was substantive under our
precedents. Substantive rules include those that
“ ‘prohibi[t ] a certain category of punishment for a
class of defendants because of their status or offense.’ ” Banks , 542 U. S., at 416. For example—a rule that “life
without parole is an excessive sentence for children whose crimes
reflect transient immaturity.” Montgomery , 577 U. S.,
at 210. Montgomery could not have been clearer that its rule
transcended mere procedure: “Even if a court considers a child’s
age before sentencing him or her to a lifetime in prison, that
sentence still violates the Eighth Amendment for a child whose
crime reflects ‘ “unfortunate yet transient
immaturity.” ’ ” Id., at 208.
The problem with this new rule is that it had
little to do with Miller . Through a feat of legerdemain, Montgomery began by acknowledging that Miller did
“ ‘not categorically bar a penalty for a class of offenders or
type of crime,’ ” yet just three sentences later concluded
that “ Miller did bar life without parole . . . for
all but the rarest of juvenile offenders, those whose crimes
reflect permanent incorrigibility.” 577 U. S., at 209. In a
similar Janus-faced demonstration, Montgomery reiterated Miller ’s assurance that “trial courts [need not] make a
finding of fact regarding a child’s incorrigibility,” yet decided
that “ Miller drew a line between children whose crimes
reflect transient immaturity and those rare children whose crimes
reflect irreparable corruption.” 577 U. S., at
209–211.[ 2 ] These statements
cannot be reconciled.
C
Just as the procedural rule of Miller created problems for the majority in Montgomery , the
substantive rule of Montgomery creates problems for the
majority in this case. If Montgomery is correct about the
existence of a concrete class of offenders who—as a matter of
fundamental constitutional law—are categorically exempt from a
sentence of life without parole, then there must be a determination
as to whether Jones falls within that protected class. Otherwise,
the “line” Miller ostensibly “drew . . . between
children whose crimes reflect transient immaturity and those rare
children whose crimes reflect irreparable corruption” is more
fanciful than real. Montgomery , 577 U. S., at 209.
Sure enough, this Court has often demanded
factual findings when it comes to other classes of criminals that
this Court has declared categorically exempt from certain
punishments. See, e.g., Moore v. Texas , 586
U. S. ___, ___ (2019) ( per curiam ) (slip op., at
10) (finding that an offender “ha[d] shown [that] he is a person
with intellectual disability”); Madison v. Alabama ,
586 U. S. ___, ___, ___–___ (2019) (slip op., at 8, 17–18)
(vacating and remanding “for renewed consideration” of the record
after a state court “found [a prisoner] mentally competent” and
thus eligible for execution). I doubt that a majority of this Court
would tolerate the execution of an offender who alleges insanity or
intellectual disability absent a satisfactory finding to the
contrary.
In response, the majority suggests that insanity
and intellectual disability are legitimate “eligibility criteri[a]”
because they are easy to evaluate, whereas “permanent
incorrigibility . . . ‘is difficult even for expert
psychologists to [assess].’ ” Ante , at 8. This notion
that the former categories are clear cut and predictable might come
as news to the States that have spent years chasing the
ever-evolving definitions of mental incompetence promulgated by
this Court and its preferred experts. See, e.g. , Moore , 586 U. S., at ___–___ (slip op., at 2–10); Moore v. Texas , 581 U. S. ___, ___, ___–___ (2017)
(slip op., at 2, 5–18) (courts must heed “the force of the medical
community’s consensus”); Hall v. Florida , 572 U.S.
701 , 724 (2014). I trust, however, that future decisions will
contain simple and static rules.
D Montgomery ’s creation of a categorical
exemption for certain offenders thus leaves us with two obvious
options. First, we could follow Montgomery ’s logic and hold
that the “legality” of Jones’ sentence turns on whether his crime
in fact “reflect[s] permanent incorrigibility.” 577 U. S., at
205, 209. Or we could just acknowledge that Montgomery had
no basis in law or the Constitution.
The majority, however, selects a third way:
Overrule Montgomery in substance but not in name. The
opinion candidly admits both that Miller ’s rule was
“procedural” and that Montgomery “ma[de] the rule
retroactive.” Ante, at 9, 11–12. The only way to reconcile
these statements with the bottom-line judgment in this case—that
Jones is not entitled to a determination whether he falls within a
constitutionally protected category of offenders—is to reject Montgomery . And sure enough, the majority does just that,
albeit in a footnote. See ante , at 12, n. 4 (explaining
that Montgomery is “in tension” with many other decisions).
But because Montgomery ’s freewheeling approach to the law is
ripe for abuse, the majority’s whisper is worth restating above the
line: Montgomery gave a good-for-one-ride ticket to a class
of juvenile offenders, and its errors will never be repeated.
Firm condemnation of Montgomery is
particularly appropriate because this Court is unable to fully
repair the damage it has caused. Although the majority closes the
door to courts following Montgomery in the future, in doing
so it tacitly admits that the horses have already left the barn:
“[M]ost offenders who could seek collateral review as a result of Montgomery have done so.” Ante , at 12, n. 4.
Today’s judgment thus offers cold comfort to the States that have
already faced the unenviable choice between “permitting juvenile
homicide offenders to be considered for parole” and relitigating
murder sentences long after the fact. Montgomery , 577
U. S., at 212; see also id. , at 226–227 (Scalia, J.,
dissenting). The least we can do is to fully own up to Montgomery ’s sins.
The majority also largely leaves untouched Montgomery ’s violation of the rule that the Constitution
“ ‘ leaves the unavoidably moral question of who
“deserves” a particular nonprohibited method of punishment to the
judgment of the legislatures that authorize the
penalty. ’ ” Miller , 567 U. S., at 504
(Thomas, J., dissenting). When the Eighth Amendment was enacted,
juveniles even younger than Jones could be tried as adults, and
mandatory death sentences were available. See id. , at 503,
n. 2. “It is therefore implausible that a [15]-year-old’s
. . . prison sentence—of any length, with or without
parole—would have been viewed as cruel and unusual.” Ibid. By failing to condemn Montgomery ’s expansion of Miller to an entire category of individuals, the majority
blesses yet another step “on the path to further judicial
displacement of the legislative role in prescribing appropriate
punishment for crime.” 567 U. S., at 500 (Roberts, C. J.,
dissenting).
Finally, I would expressly reject the portion of Montgomery that “purported to constitutionalize” the
substantive exception “so that it would apply in [the petitioner’s]
state court proceeding.” Brief for Jonathan F. Mitchell et al.
as Amici Curiae in Edwards v. Vannoy ,
O. T. 2020, No. 19–5807, pp. 5–6 (emphasis deleted).
Despite this Court’s longstanding recognition that “the
Constitution neither prohibits nor requires retrospective effect,” Linkletter v. Walker , 381 U.S.
618 , 629 (1965); cf. Teague , 489 U. S., at 302–310
(plurality opinion) (narrowing Linkletter even further), the Montgomery Court demanded that the Louisiana courts
“recognize [ Miller ’s] retroactive effect.” 577 U. S.,
at 200, 205. That improper intrusion on state postconviction review
is also worth correcting.
* * *
Today’s majority labors mightily to avoid
confronting the tension between Miller and Montgomery . But though the Court purports to leave Montgomery ’s holding intact, it recognizes that Montgomery ’s analysis is untenable and not to be repeated.
It would be simpler to reject Montgomery in both name and
substance. Notes 1 See, e.g., Roper v. Simmons , 543 U.S.
551 , 556, 578 (2005) (prohibiting the execution of a (barely)
juvenile murderer who had bragged that his age would allow him to
“ ‘get away with it’ ”); Graham v. Florida , 560 U.S.
48 , 74 (2010) (prohibiting life-without-parole sentences for
juvenile nonhomicide offenders). 2 The Court’s language in
this line of precedents is notable. When addressing juvenile
murderers, this Court has stated that “ ‘ children are
different’ ” and that courts must consider “a child ’s
lesser culpability.” Montgomery , 577 U. S., at 207–208
(emphasis added). And yet, when assessing the Court-created right
of an individual of the same age to seek an abortion, Members of
this Court take pains to emphasize a “young woman ’s” right
to choose. See, e.g. , Lambert v. Wicklund , 520 U.S.
292 , 301 (1997) (Stevens, J., joined by Ginsburg and Breyer,
JJ., concurring in judgment) (emphasis added); Planned
Parenthood of Southeastern Pa. v. Casey , 505 U.S.
833 , 899 (1992) (joint opinion of O’Connor, Kennedy, and
Souter, JJ.); Ohio v. Akron Center for Reproductive
Health , 497 U.S.
502 , 532 (1990) (Blackmun, J., joined by Brennan and Marshall,
JJ., dissenting). It is curious how the Court’s view of the
maturity of minors ebbs and flows depending on the
issue. SUPREME COURT OF THE UNITED STATES
_________________
No. 18–1259
_________________
BRETT JONES, PETITIONER v. MISSISSIPPI
on writ of certiorari to the court of appeals
of mississippi
[April 22, 2021]
Justice Sotomayor, with whom Justice Breyer
and Justice Kagan join, dissenting.
Today, the Court guts Miller v. Alabama , 567 U.S.
460 (2012), and Montgomery v. Louisiana , 577 U.S.
190 (2016). Contrary to explicit holdings in both decisions, the
majority claims that the Eighth Amendment permits juvenile
offenders convicted of homicide to be sentenced to life without
parole (LWOP) as long as “the sentence is not mandatory and the
sentencer therefore has discretion to impose a lesser punishment.” Ante, at 1. In the Court’s view, a sentencer never need
determine, even implicitly, whether a juvenile convicted of
homicide is one of “those rare children whose crimes reflect
irreparable corruption.” Montgomery , 577 U. S., at 209.
Even if the juvenile’s crime reflects “ ‘unfortunate yet
transient immaturity,’ ” Miller , 567 U. S., at
479, he can be sentenced to die in prison.
This conclusion would come as a shock to the
Courts in Miller and Montgomery . Miller ’s
essential holding is that “a lifetime in prison is a
disproportionate sentence for all but the rarest children, those
whose crimes reflect ‘irreparable corruption.’ ” Montgomery , 577 U. S., at 195 (quoting Miller ,
567 U. S., at 479–480). Sentencing discretion is “necessary to
separate those juveniles who may be sentenced to life without
parole from those who may not,” Montgomery , 577 U. S.,
at 210, but it is far from sufficient. A sentencer must actually
“make th[e] judgment” that the juvenile in question is one of those
rare children for whom LWOP is a constitutionally permissible
sentence. Miller , 567 U. S., at 480. The Court has thus
expressly rejected the notion that sentencing discretion, alone,
suffices: “Even if a court considers a child’s age before
sentencing him or her to a lifetime in prison, that sentence still
violates the Eighth Amendment for a child whose crime reflects
unfortunate yet transient immaturity.” Montgomery , 577
U. S., at 208 (internal quotation marks omitted).
Today, however, the Court reduces Miller to a decision requiring “just a discretionary sentencing procedure
where youth [is] considered.” Ante, at 11. Such an abrupt
break from precedent demands “special justification.” Ramos v. Louisiana , 590 U. S. ___, ___ (2020) (Kavanaugh, J.,
concurring in part) (slip op., at 6) (internal quotation marks
omitted). The Court offers none. Instead, the Court attempts to
circumvent stare decisis principles by claiming that “[t]he
Court’s decision today carefully follows both Miller and Montgomery .” Ante, at 19. The Court is fooling no
one. Because I cannot countenance the Court’s abandonment of Miller and Montgomery , I dissent.
I
Time and again, this Court has recognized that
“children are constitutionally different from adults for purposes
of sentencing.” Miller , 567 U. S., at 471. In Roper v. Simmons , 543 U.S.
551 (2005), the Court held that the Eighth Amendment forbids
sentencing children to death because “[c]apital punishment must be
limited to those offenders . . . whose extreme
culpability makes them the most deserving of execution.” Id., at 568 (internal quotation marks omitted). Juvenile
offenders “cannot with reliability be classified among the worst
offenders” for several reasons. Id., at 569. First, “as any
parent knows,” and as scientific and sociological studies have
confirmed, juveniles are less mature and responsible than adults,
which “often result[s] in impetuous and ill-considered actions and
decisions.” Ibid. (internal quotation marks omitted).
Second, juveniles are “more vulnerable or susceptible to negative
influences and outside pressures” and “have less control
. . . over their own environment.” Ibid. Finally,
“the character of a juvenile” is “more transitory” than that of an
adult. Id., at 570. “[A]s individuals mature, the
impetuousness and recklessness that may dominate in younger years
can subside.” Ibid. (internal quotation marks omitted).
Weighed against these “signature qualities of youth,” the
penological justifications for the death penalty collapse. Id., at 570–571 (internal quotation marks omitted).
Next, in Graham v. Florida , 560 U.S.
48 (2010), this Court held that “[t]he Constitution prohibits
the imposition of a life without parole sentence on a juvenile
offender who did not commit homicide.” Id., at 82. “To
justify life without parole on the assumption that the juvenile
offender forever will be a danger to society requires the sentencer
to make a judgment that the juvenile is incorrigible.” Id., at 72. But “incorrigibility is inconsistent with youth.” Id., at 73 (internal quotation marks omitted). Rather,
“[m]aturity can lead to that considered reflection which is the
foundation for remorse, renewal, and rehabilitation.” Id., at 79. Graham therefore insisted that sentencers not deprive
juvenile nonhomicide offenders “of the opportunity to achieve
maturity . . . and self-recognition of human worth
and potential” by sentencing them to die in prison. Ibid .
In Miller , this Court extended Graham ’s logic to juveniles convicted of homicide. Miller recognized that “none of what [ Graham ] said
about children . . . is crime-specific.” 567 U. S.,
at 473. Thus, taking Graham as its “foundation stone,” Miller reiterated that “the distinctive attributes of youth
diminish the penological justifications for imposing the harshest
sentences on juvenile offenders, even when they commit terrible
crimes.” 567 U. S., at 470–471, n. 4, 472. Miller emphasized that LWOP is an “ ‘especially harsh punishment for
a juvenile.’ ” Id . , at 475 (quoting Graham , 560 U. S., at 70). “Imprisoning an offender
until he dies alters the remainder of his life ‘by a forfeiture
that is irrevocable.’ ” 567 U. S., at 474–475 (quoting Graham , 560 U. S., at 69). It is the “denial of hope”
itself. Id., at 70 (internal quotation marks omitted). Miller stopped short of prohibiting LWOP
for all juveniles convicted of homicide. Instead, it required
sentencers to distinguish “between the juvenile offender whose
crime reflects unfortunate and transient immaturity, and the rare
juvenile offender whose crime reflects irreparable corruption.” 567
U. S., at 479–480 (internal quotation marks omitted). Only
those rare few in the latter category are constitutionally eligible
for LWOP under Miller . As such, before imposing a sentence
of LWOP, a sentencer must actually “make that judgment,” and make
it correctly. Id., at 480; see Adams v. Alabama , 578 U.S. 994, 999 (2016) (Sotomayor, J., concurring
in decision to grant, vacate, and remand).
Finally, in Montgomery , this Court
confirmed the substantive nature of Miller ’s prohibition on
LWOP for most juveniles. Montgomery held that Miller applies retroactively in cases on collateral review because it
“rendered life without parole an unconstitutional penalty for
. . . juvenile offenders whose crimes reflect the
transient immaturity of youth.” 577 U. S., at 208. Under the
retroactivity doctrine in Teague v. Lane , 489 U.S.
288 (1989), a new constitutional rule is considered
“substantive,” and thus retroactive, if it “alters the range of
conduct or the class of persons that the law punishes.” Montgomery , 577 U. S., at 206 (internal quotation marks
omitted); see Teague , 489 U. S., at 311 (plurality
opinion). A procedural rule, on the other hand, “regulate[s] only
the manner of determining the defendant’s culpability.” Montgomery , 577 U. S., at 206 (emphasis deleted;
internal quotation marks omitted). Such rules generally have not
applied retroactively. Id., at 198. Montgomery recognized that Miller “has a procedural component,” in that “[a] hearing where ‘youth and
its attendant characteristics’ are considered as sentencing factors
is necessary to separate those juveniles who may be sentenced to
life without parole from those who may not.” 577 U. S., at
209–210 (quoting Miller , 567 U. S., at 465). The Court
made clear, however, that “[t]he hearing does not replace
. . . Miller ’s substantive holding that life
without parole is an excessive sentence for children whose crimes
reflect transient immaturity.” 577 U. S., at 210. Rather, the
hearing “gives effect” to Miller ’s prohibition on LWOP by
“enabl[ing] a prisoner to show that he falls within the category of
persons whom the law may no longer punish [with LWOP].” 577
U. S., at 210. Thus, under Miller , juvenile offenders
“must be given the opportunity to show their crime did not reflect
irreparable corruption; and, if it did not, their hope for some
years of life outside prison walls must be restored.” 577
U. S., at 213.
II
A
Today, the Court distorts Miller and Montgomery beyond recognition. According to the majority, “a
State’s discretionary sentencing system is both constitutionally
necessary and constitutionally sufficient” for a State to sentence
a juvenile convicted of homicide to LWOP. Ante, at 5. “[S]o
long as the sentencer has discretion to ‘consider the mitigating
qualities of youth’ and impose a lesser punishment,” any juvenile
convicted of homicide may be sentenced to LWOP, even if his crime
reflects transient immaturity. Ante, at 7 (quoting Miller , 567 U. S., at 476). It does not matter whether
the sentencer meaningfully considers youth: The Court assumes it
will, see ante, at 15, but ultimately, the mere existence of
“a discretionary sentencing procedure suffices,” ante, at
19.
The Court rests its conclusion on Montgomery ’s modest statement that “ Miller did not
impose a formal factfinding requirement,” and so “a finding of fact
regarding a child’s incorrigibility . . . is not
required.” 577 U. S., at 211. This statement is the linchpin
of the Court’s opinion. See ante, at 2, 5, 7, 11–14. As the
Court quietly admits in a footnote, however, Montgomery went
on to clarify that the fact “[t]hat Miller did not impose a
formal factfinding requirement does not leave States free to
sentence a child whose crime reflects transient immaturity to life
without parole. To the contrary, Miller established that
this punishment is disproportionate under the Eighth Amendment.” Montgomery , 577 U. S., at 211; see ante, at 7–8,
n. 2 (quoting the same). Montgomery was equally explicit
elsewhere: “ Miller . . . did more than require a
sentencer to consider a juvenile offender’s youth before imposing
life without parole.” 577 U. S., at 208. Sentencing discretion
and “[a] hearing where ‘youth and its attendant characteristics’
are considered as sentencing factors” are necessary to “giv[e]
effect to Miller ’s substantive holding that life without
parole is an excessive sentence for children whose crimes reflect
transient immaturity,” but they “d[o] not replace” it. Id., at 210. “Even if a court considers a child’s age before sentencing
him or her to a lifetime in prison, that sentence still violates
the Eighth Amendment for a child whose crime reflects
‘ “unfortunate yet transient immaturity.” ’ ” Id., at 208. If a juvenile offender’s crime “did not reflect
irreparable corruption,” his “hope for some years of life outside
prison walls must be restored.” Id., at 213. The Court today
never addresses Montgomery ’s clear articulation of Miller ’s essential holding.
The lone statement on which the Court fixates
recognizes only that Miller does not mandate a particular
procedure for considering a defendant’s youth or explaining the
sentencer’s decision. Miller certainly does not require
sentencers to invoke any magic words. Using this procedural
flexibility, States have adopted different approaches to Miller ’s inquiry. For instance, in some States, the
prosecution must prove that a juvenile offender is permanently
incorrigible beyond a reasonable doubt; in others, the sentencing
judge must make a formal finding of irreparable corruption on the
record. See Brief for American Bar Association as Amicus
Curiae 14–15, 19–21. As the Court correctly notes, Miller does not require any one of “those particular policy
approaches.” Ante, at 22.
What is necessary, however, is “that a sentencer
decide whether the juvenile offender before it is a child whose
crimes reflect transient immaturity or is one of those rare
children whose crimes reflect irreparable corruption.” Tatum v. Arizona , 580 U. S. ___, ___ (2016) (Sotomayor, J.,
concurring in decision to grant, vacate, and remand) (slip op., at
3) (internal quotation marks omitted). That is all petitioner Brett
Jones seeks. See Tr. of Oral Arg. 6 (“On the most fundamental level
. . . what we need is a sentencing judge who understands
that permanent incorrigibility is the dispositive rule and
determines whether the defendant fits within that rule. And there
are any number of ways that it could be done”); Brief for
Petitioner 31 (challenging the “failure to find in any form whether Brett is permanently incorrigible”). As Justice Thomas
recognizes, “there must be a determination as to whether Jones
falls within th[e] protected class” of children who are ineligible
for LWOP. Ante, at 6 (opinion concurring in judgment).
Otherwise, the line between those who may be sentenced to LWOP and
those who may not “is more fanciful than real.” Ibid. The Court attempts to paper over its
mischaracterization of Miller and Montgomery in
several ways. First, it claims that Miller barred only
“ mandatory life-without-parole sentences,” not
“ discretionary life-without-parole sentences.” Ante, at 4. Miller did prohibit mandatory LWOP sentences for
juveniles. See 567 U. S., at 465. To say that Miller is
limited to mandatory LWOP sentences, however, is to ignore half of
its reasoning. Miller relied on “the confluence of
. . . two lines of precedent.” Id., at 470. In one
line of cases, the Court had interpreted the Eighth Amendment to
require that sentencers make individualized, discretionary
decisions when imposing the death penalty. For instance, in Lockett v. Ohio , 438 U.S.
586 (1978), a plurality of the Court concluded that “the
sentencer, in all but the rarest kind of capital case, [can]not be
precluded from considering, as a mitigating factor, any aspect of a
defendant’s character or record and any of the circumstances of the
offense.” Id., at 604 (emphasis deleted; footnote omitted). Miller explained that mandatory LWOP sentences violate
“individualized sentencing cases” like Lockett because they
“preclude a sentencer from taking account of an offender’s age and
the wealth of characteristics and circumstances attendant to it.”
567 U. S., at 476–477.
The Court now pretends that Miller ’s
reasoning ended there. It insists that all Miller required
was “a sentencing procedure similar to the procedure that this
Court has required for the individualized consideration of
mitigating circumstances in capital cases such as Woodson v. North Carolina , 428 U.S.
280 , 303–305 (1976) (plurality opinion), Lockett v. Ohio , 438 U.S.
586 , 597–609 (1978) (plurality opinion), and Eddings v. Oklahoma , 455 U.S.
104 , 113–115 (1982).” Ante, at 9. Reading that
conclusion, one would expect Miller to have announced that
it rested solely on those cases. Miller was clear, however, that it drew
primarily from a different line of precedent headed by Roper and Graham , which “adopted categorical bans on sentencing
practices based on mismatches between the culpability of a class of
offenders and the severity of a penalty,” regardless of the
procedures used to impose the sentences. Miller , 567
U. S., at 470. These cases set forth a substantive
proportionality principle that the individualized-sentencing cases
did not: “[L]ife-without-parole sentences, like capital punishment,
may violate the Eighth Amendment when imposed on children” because
“the characteristics of youth, and the way they weaken rationales
for punishment, can render a life-without-parole sentence
disproportionate.” Id., at 473.
Mandatory and discretionary sentencing schemes
alike can produce disproportionate sentences. Regardless of how it
is imposed, a juvenile death sentence is unconstitutional under Roper , and a juvenile sentence of LWOP for a nonhomicide
offense is unconstitutional under Graham . See Roper ,
543 U. S., at 575 (holding “that the death penalty cannot be
imposed upon juvenile offenders”); Graham , 560 U. S.,
at 74 (drawing a “clear line” against “life without parole for
juvenile nonhomicide offenders”). So, too, with Miller : No
set of discretionary sentencing procedures can render a sentence of
LWOP constitutional for a juvenile whose crime reflects
“unfortunate yet transient immaturity.” 567 U. S., at 479
(internal quotation marks omitted).
The Court claims that Miller relied on Roper and Graham “for a simple proposition: Youth
matters in sentencing.” Ante, at 10. That is true, but the
Court conflates two ways in which youth matters. When Miller was decided, the Court’s individualized-sentencing cases had
already firmly established “that a defendant’s youth is a relevant
mitigating circumstance that must be within the effective reach of
a capital sentencing jury.” Johnson v. Texas , 509 U.S.
350 , 367 (1993); see also Eddings v. Oklahoma , 455 U.S.
104 , 116 (1982) (requiring that sentencers consider “the
chronological age of a minor” and “the background and mental and
emotional development of a youthful defendant”). The Miller Court thus did not need to cite Roper and Graham as a
separate “stran[d] of precedent,” Miller , 567 U. S., at
470, for that long-recognized proposition. It drew on Roper and Graham instead to set a substantive limit on the
imposition of LWOP on juvenile offenders, even when they commit
homicide. The Court today reverses course and concludes that youth
does not matter in this way.
Next, the Court exaggerates the meaning of two
statements from Miller , arguing that it “mandated ‘only that
a sentencer follow a certain process,’ ” rather than
“ ‘categorically bar[ring] a penalty for a class of offenders
or type of crime[,] as, for example, we did in Roper or Graham .’ ” Ante, at 7, 10 (quoting Miller , 567 U. S., at 483). Again, Montgomery already rejected this misinterpretation: “ Miller , it is
true, did not bar a punishment for all juvenile offenders,” or all
juvenile offenders convicted of certain crimes, “as the Court did
in Roper or Graham .” 577 U. S., at 209.
“ Miller did bar life without parole, however, for all but
the rarest of juvenile offenders, those whose crimes reflect
permanent incorrigibility.” Ibid. To “separate those
juveniles who may be sentenced to life without parole from those
who may not,” as Miller requires, sentencers must follow a
certain process: conducting a “hearing where ‘youth and its
attendant characteristics’ are considered.” 577 U. S., at 210.
That process is not an end in itself. Rather, it “gives effect to Miller ’s substantive holding that life without parole is an
excessive sentence for children whose crimes reflect transient
immaturity.” Ibid. Finally, the Court argues that Miller offered nothing more than a prediction that “a discretionary
sentencing procedure would help make life-without-parole
sentences relatively rare.” Ante, at 13. Miller ’s
substantive rule was not a prediction. Rather, Miller held
that juvenile LWOP sentences must be rare because it is only “the
rare juvenile offender whose crime reflects irreparable
corruption.” 567 U. S., at 479–480 (internal quotation marks
omitted). Simply put, there are very few juveniles for whom the
“ ‘signature qualities’ ” of youth do not undermine the
penological justifications for LWOP. Id., at 476. Youth is
“a time of immaturity, irresponsibility, impetuousness, and
recklessness,” and, almost invariably, those “qualities are all
transient.” Ibid. (internal quotation marks and brackets
omitted).
In any event, the data since Miller prove
that sentencing discretion alone will not make LWOP a rare sentence
for juvenile offenders. Even after Montgomery , Mississippi
courts require only that a sentencer consider youth-related factors
“in a non-arbitrary fashion” before imposing a sentence of LWOP.
See, e.g., Miller v. State , ___ So. 3d ___, ___, 2020
WL 2892820, *5 (Miss. App., June 2, 2020). Unbound by Miller ’s essential holding, more than a quarter of
Mississippi’s resentencings have resulted in the reimposition of
LWOP. See Brief for Juvenile Law Center et al. as Amici
Curiae 20.[ 1 ]
Pennsylvania, in contrast, has recognized that
“ Miller requires far more than mere consideration of an
offender’s age,” as “a life-without-parole sentence imposed on a
juvenile is illegal” unless “the defendant will forever be
incorrigible, without any hope for rehabilitation.” Commonwealth v. Batts , 640 Pa. 401, 440, 444, 163
A.3d 410, 433, 435 (2017). Pennsylvania has adopted a number of
procedures to guide sentencing courts in applying Miller ’s
rule, including a presumption against juvenile LWOP that the State
must rebut through proof beyond a reasonable doubt. 640 Pa., at
476, 163 A. 3d, at 454–455. Fewer than 2 percent of resentencings
in Pennsylvania have resulted in the reimposition of LWOP. See The
Campaign for the Fair Sentencing of Youth, Tipping Point: A
Majority of States Abandon Life-Without-Parole Sentences for
Children 7 (2018) (Tipping Point).
These States’ experiences show that juvenile
LWOP sentences will not be rare simply by virtue of sentencing
discretion. Sentencers will not “necessarily . . .
consider the defendant’s youth,” ante, at 15, and they
certainly will not necessarily conduct Miller ’s essential
inquiry. If sentencing discretion is all that is required, far too
many juvenile offenders will be sentenced to die in
prison.[ 2 ]
B
The Court’s misreading of Miller and Montgomery is egregious enough on its own. The Court twists
precedent even further, however, by distorting Miller in a
way that cannot be reconciled with Montgomery ’s holding that Miller applies retroactively under the Teague doctrine. See ante, at 7 (opinion of Thomas, J.). That
doctrine divides new rules of constitutional law into two
categories: substantive and procedural. As noted above, Montgomery held that Miller applies retroactively
based solely on “ Teague ’s first exception for substantive
rules.” 577 U. S., at 200. For Montgomery to make any
sense, then, Miller must have done more than mandate a
certain procedure. Rather, it “eliminated a State’s power to
. . . impose a given punishment.” 577 U. S., at
201.[ 3 ]
Today, however, the Court transforms Miller into a decision requiring only a “discretionary
sentencing procedure.” Ante, at 19. At the same time, the
Court insists that it “does not disturb” Montgomery ’s
holding “that Miller applies retroactively on collateral
review.” Ante, at 19. In other words, the Court rewrites Miller into a procedural rule and, paradoxically, maintains
that Miller was nevertheless “substantive for retroactivity
purposes.” Ante, at 11.
That explanation undoes Teague ’s
distinction between substantive and procedural rules. If a rule
that requires only a sentencing procedure is substantive for
retroactivity purposes, then this Court has improperly classified
numerous sentencing rules as procedural. To take one example, in Mills v. Maryland , 486 U.S.
367 (1988), this Court invalidated a capital sentencing
procedure requiring jurors to disregard mitigating factors that
were not found unanimously. That holding was procedural because it
altered only “the range of permissible methods for determining
whether a defendant’s conduct is punishable by death.” Schriro v. Summerlin , 542 U.S.
348 , 353 (2004). Under the Court’s logic today, however, the
rule in Mills and other rules of sentencing procedure should
have applied retroactively, even though the Court has held that
they do not. See Beard v. Banks , 542 U.S.
406 , 416–417 (2004) (holding that Mills announced a
procedural rule); Schriro , 542 U. S., at 354 (treating
as procedural the rule set forth in Ring v. Arizona , 536 U.S.
584 (2002), that a jury, rather than a judge, must find
aggravating circumstances necessary for the imposition of the death
penalty). If future litigants make such arguments, it will be
because the Court’s contortion of Miller and Montgomery paves the way for them to do so.
C
Rather than read Miller and Montgomery fairly, the Court reprises Justice Scalia’s
dissenting view in Montgomery that Miller requires
only a “youth-protective procedure.” 577 U. S., at 225
(emphasis deleted). Justice Scalia’s view did not prevail, however. Montgomery ’s interpretation of Miller is binding
precedent, just as Miller itself is.
Any doubts the Court may harbor about the merits
of those decisions do not justify overruling them. See June
Medical Services L. L. C. v. Russo , 591 U. S. ___,
___ (2020) (Roberts, C. J., concurring in judgment) (slip op.,
at 3) (“[F]or precedent to mean anything, the doctrine must give
way only to a rationale that goes beyond whether the case was
decided correctly”). As this Court has consistently reiterated, “a
departure from precedent demands special justification.” Gamble v. United States , 587 U. S. ___, ___
(2019) (slip op., at 11) (internal quotation marks omitted);
accord, Kisor v. Wilkie , 588 U. S. ___, ___–___
(2019) (slip op., at 25–26); Kimble v. Marvel
Entertainment, LLC , 576 U.S. 446, 455–456 (2015).
The Court offers no such justification today.
Nor could it. The traditional stare decisis factors include
the quality of the precedent’s reasoning, its consistency with
other decisions, legal and factual developments since the precedent
was decided, and its workability. See Ramos , 590 U. S.,
at ___ (opinion of Kavanaugh, J.) (slip op., at 7). None supports
overturning Miller or Montgomery . As explained above,
those decisions are firmly rooted in two lines of precedent and
fundamental principles of proportionality.[ 4 ] Subsequent legal and factual developments have
reinforced their reasoning. Fifteen state courts of last resort,
for instance, have recognized that Miller announced a
substantive rule barring LWOP for any juvenile whose crime does not
reflect permanent incorrigibility. See Reply Brief 18, n. 6.
Twenty States and the District of Columbia have changed their
policies to prohibit LWOP sentences for all juvenile offenders,
including a number of States that “had discretionary sentencing
schemes or a mixture of both mandatory and discretionary
sentences.” Brief for Former West Virginia Delegate John Ellem et
al. as Amici Curiae in Mathena v. Malvo , O. T.
2019, No. 18–217, pp. 34–35; S. 256, 133d Gen. Assembly (Ohio
2020); Va. Code Ann. §53.1–165.1 (2020). Finally, Miller and Montgomery have not proved unworkable: To the contrary, they
have spurred reforms across the country while “avoid[ing] intruding
more than necessary upon the States’ sovereign administration of
their criminal justice systems.” Montgomery , 577 U. S.,
at 211. Requiring sentencers to make an explicit or implicit
determination of permanent incorrigibility before sentencing a
juvenile offender to LWOP imposes no costs that justify overturning
precedent.
Instead of addressing these factors, the Court
simply rewrites Miller and Montgomery to say what the
Court now wishes they had said, and then denies that it has done
any such thing. See ante, at 19. The Court knows what it is
doing. It admits as much. Rather than try to harmonize its decision
today with Montgomery ’s retroactivity holding, it confesses
in a footnote that its rewriting of precedent is inconsistent with Montgomery and basic retroactivity principles. See ante, at 11–12, n. 4. The Court’s solution? It urges
lower courts to simply ignore Montgomery going forward. Ante, at 11–12, n. 4 (“[T]he Court’s retroactivity
precedents that both pre-date and post-date Montgomery . . . and not Montgomery . . . must
guide the determination of whether rules other than Miller are substantive”).[ 5 ] Instead
of “disturb[ing]” Montgomery ’s retroactivity holding, ante, at 12, n. 4, the Court attempts to bury it.
How low this Court’s respect for stare
decisis has sunk. Not long ago, that doctrine was recognized as
a pillar of the “ ‘rule of law,’ ” critical to “keep the
scale of justice even and steady, and not liable to waver with
every new judge’s opinion.” Ramos , 590 U. S., at
___–___ (opinion of Kavanaugh, J.) (slip op., at 1–2) (internal
quotation marks omitted). Given these weighty interests, the Court
“usually require[d] that a party ask for overruling, or at least
obtain[ed] briefing on the overruling question,” and then
“carefully evaluate[d] the traditional stare decisis factors.” Barr v. American Assn . of Political
Consultants, Inc. , 591 U. S. ___, ___, n. 5 (2020) (slip
op., at 9, n. 5). Now, it seems, the Court is willing to
overrule precedent without even acknowledging it is doing so, much
less providing any special justification. It is hard to see how
that approach is “founded in the law rather than in the
proclivities of individuals.” Ramos , 590 U. S., at ___
(opinion of Kavanaugh, J.) (slip op., at 2) (internal quotation
marks omitted).
For present purposes, sentencers should hold
this Court to its word: Miller and Montgomery are
still good law.[ 6 ] See ante, at 19 (“Today’s decision does not overrule Miller or Montgomery ”). Sentencers are thus bound to
continue applying those decisions faithfully. Thankfully, many
States have already implemented robust procedures to give effect to Miller and Montgomery . In other States, the
responsibility falls squarely on individual sentencers to use their
discretion to “separate those juveniles who may be sentenced to
life without parole from those who may not.” Montgomery , 577
U. S., at 210. Failing to do so violates the Eighth
Amendment.
III
Brett Jones, like all juvenile offenders
facing a sentence of LWOP, deserves an answer to Miller ’s
essential question: whether his crime demonstrates that he is
permanently incorrigible. Ordinarily, an appellate court should not
pass on that question in the first instance. But the Court today
guarantees that the state sentencing court will never have to give
Jones an answer. It thus bears acknowledging that, based on the
evidence presented below, it is hard to see how Jones is one of the
rare juvenile offenders “whose crime reflects irreparable
corruption.” Miller , 567 U. S., at 479–480 (internal
quotation marks omitted). In fact, many aspects of Jones’ crime
seem to epitomize “unfortunate yet transient immaturity.” Id., at 479 (internal quotation marks omitted); see 2018 WL
10700848, *11 (Miss., Nov. 27, 2018) (Kitchens, P. J., dissenting)
(“Jones’s actions reflect [the hallmark] features [of youth] at
every turn”).[ 7 ]
Jones killed his grandfather just 23 days after
Jones’ 15th birthday. App. 71. In his short life before the murder,
Jones was the victim of violence and neglect that he was too young
to escape. Jones’ biological father was an alcoholic who physically
abused Jones’ mother, knocking out her teeth and breaking her nose
on several occasions. Id., at 71–72. The two separated when
Jones was two years old. Id., at 71. Jones’ mother then
married Jones’ stepfather, who was also abusive, especially toward
Jones. He beat Jones with belts, switches, and a paddle labeled
“The Punisher.” Id., at 39–40, 78, 81. He rarely called
Jones or his brother by their names, preferring cruel epithets. Id., at 77, 81, 101 (“[H]is favorite thing to call them was
little motherf***ers”). According to Jones’ mother, Jones’
stepfather “hated Brett more because Brett reminded him of [Jones’
biological father].” Id., at 78. According to Jones’
grandmother, he was simply “easier to hurt and beat.” Id., at 39.
In 2004, after Jones came home late one day,
Jones’ stepfather flew into a rage and grabbed Jones by the neck,
preparing to beat him with a belt. Id., at 128–129. This
time, however, Jones fought back and told his stepfather, “No,
you’re not going to hit me ever again.” Id., at 80. Jones
took a swing at his stepfather and split open his ear. Ibid. The police were called, and Jones was arrested.[ 8 ] Ibid. Jones’ stepfather then threatened
to kick out Jones’ mother and brother if Jones did not move out. Id., at 81. As a result, Jones’ grandparents picked him up
less than two months before the murder and brought him to
Mississippi. Id., at 47.
When he moved, Jones lost access to medications
that he had been taking for mental health issues. Id., at
38–39.[ 9 ] When he was 11 or 12
years old, Jones began cutting himself so that he “would not feel
the panic and the hurt that was inside of [his] head.” Id., at 75. He later experienced hallucinations and was prescribed
antidepressant medications. Id., at 92, 124. These
medications were supposed to be tapered off gradually. Id., at 38–39. When Jones left for Mississippi, however, they were
abruptly cut off.
The murder was precipitated by a dispute over
Jones’ girlfriend. After Jones moved, his girlfriend ran away from
her home in Florida to stay at Jones’ grandparents’ home in secret.
938 So. 2d 312, 313 (Miss. App. 2006). On the day of the murder,
Jones’ grandfather, Bertis Jones, discovered that Jones’ girlfriend
had been staying in their home. Ibid. He ordered her out. Ibid. Later that day, Jones was making a sandwich in the
kitchen using a steak knife. Id., at 314. Jones said
something disrespectful to his grandfather, who started yelling. Ibid. The two began pushing each other, and Jones’
grandfather tried to hit him. Ibid. Jones stabbed his
grandfather with the steak knife. Ibid. Jones’ grandfather
came at Jones again, and the fight continued. Ibid. Jones
ultimately stabbed his grandfather eight times, grabbing a second
knife when the first one broke. 2018 WL 10700848, *7 (Kitchens, P.
J., dissenting).
No one disputes that this was a terrible crime. Miller , however, held that “the distinctive attributes of
youth diminish the penological justifications for imposing the
harshest sentences on juvenile offenders, even when they commit
terrible crimes.” 567 U. S., at 472. Jones’ crime reflects
these distinctive attributes: “That a teenager in trouble for
having been caught concealing his girlfriend at his grandparents’
home would attempt to solve the problem by resorting to violence
dramatically epitomizes immaturity, impetuosity, and failure to
appreciate risks or consequences.” 2018 WL 10700848, *11 (Kitchens,
P. J., dissenting).
Jones then attempted to save his grandfather by
administering CPR. 938 So. 2d, at 314 . When that failed, he
clumsily tried to hide what he had done. 2018 WL 10700848, *11
(Kitchens, P. J., dissenting). He was spotted walking around in
plain sight, covered in blood, trembling and muttering to himself. Ibid. When a neighbor questioned him, Jones told a feeble
lie, claiming that his grandfather had left and that the blood on
his clothes was “ ‘a joke.’ ” 938 So. 2d, at 314. Jones
then met up with his girlfriend and attempted to hitchhike, but not
to make a getaway. Instead, he was trying to go see his grandmother
to tell her what had happened. Id., at 315. The police
stopped Jones, found that he was carrying a pocket knife, and asked
if it was the knife he “ ‘did it with.’ ” Ibid .
Jones replied, “ ‘No, I already got rid of it.’ ” Ibid. He then agreed to be interviewed by three police
detectives, “without invoking his right to silence or his right to
counsel and without a parent or guardian present.” 2018 WL
10700848, *11 (Kitchens, P. J., dissenting). Thus, “Jones’s
behavior in the immediate aftermath of his tragic actions also
demonstrated his fundamental immaturity.” Ibid. At his resentencing hearing, Jones provided
evidence that not only is he capable of rehabilitation, but he had
in fact already matured significantly since his crime. In more than
five years in prison, Jones committed only two disciplinary
infractions. App. 134–135. While incarcerated, Jones earned his GED
and sought out work, becoming a “very good employee.” Id., at 106, 109, 153. Jones and his prison unit manager often discussed
the Bible, and in time, his unit manager came to think of Jones
“almost like [a] son.” Id., at 107. Jones confided in him
that Jones “regretted” what he had done. Id., at 112.
Jones’ grandmother (Bertis Jones’ widow)
testified at Jones’ resentencing hearing and submitted an amicus brief to this Court. She remains “steadfast in her
belief that Brett is not and never was irreparably corrupt.” Brief
for Madge Jones et al. as Amici Curiae 4. She speaks
with Jones weekly, encouraging him as he takes college courses and
serves in the prison ministry. Ibid. Jones’ younger brother,
Marty, and his other family members have also stayed by his
side.
This significant body of evidence does not
excuse Jones’ crime. It does mean, however, that under Miller and Montgomery , there is a strong likelihood
that Jones is constitutionally ineligible for LWOP. His crime,
while terrible, appears to have been the product of “unfortunate
yet transient immaturity.” Miller , 567 U. S., at 479
(internal quotation marks omitted). Notably, the State called no
witnesses and offered no evidence at the resentencing hearing to
rebut Jones’ proof that his crime reflected the “recklessness” and
“impulsivity” characteristic of juveniles. Montgomery , 577
U. S., at 207 (internal quotation marks omitted); see App. 23,
136.
In resentencing Jones to LWOP, the sentencing
court failed to apply Miller properly. Instead, it followed
the instructions of the Mississippi Supreme Court, which held that
“ Miller rendered [Mississippi’s] sentencing scheme
unconstitutional if, and only if, the sentencing authority fails to
take into account characteristics and circumstances unique to
juveniles.” 122 So. 3d 698, 702 (2013). Thus, the sentencing court
simply considered the “ Miller factors” as part of the
“mitigating and the aggravating circumstances.” App. 149. It never
addressed Miller ’s central inquiry: whether Jones is one of
the rare juveniles whose crimes reflect irreparable corruption. 567
U. S., at 479–480. Because the sentencing court failed to ask
and answer this critical question, Jones’ sentence should not
stand.
IV
It is important not to lose sight of what is
at stake in this case. “The Eighth Amendment’s prohibition of cruel
and unusual punishment guarantees individuals the right not to be
subjected to excessive sanctions.” Miller , 567 U. S.,
at 469 (internal quotation marks omitted). In Roper , Graham , Miller , and Montgomery , the Court
recognized that this guarantee has special significance for
children. The Eighth Amendment does not excuse children’s crimes,
nor does it shield them from all punishment. It does, however,
demand that most children be spared from punishments that “giv[e]
no chance for fulfillment outside prison walls, no chance for
reconciliation with society, no hope.” Graham , 560
U. S., at 79.
Jones and other juvenile offenders like him seek
only the possibility of parole. Not the certainty of release, but
the opportunity, at some point in their lives, to show a parole
board all they have done to rehabilitate themselves and to ask for
a second chance. Jones recognizes that the parole board may
ultimately decide he must spend his entire life behind bars. He
simply requests that the State not “mak[e] the judgment at the
outset that [he] never will be fit to reenter society.” Id., at 75. The Eighth Amendment requires that most juvenile offenders
be given this small “hope for some years of life outside prison
walls.” Montgomery , 577 U. S., at 213.[ 10 ]
At his resentencing hearing, Jones told the
court, “I’m not the same person I was when I was 15.
. . . I’ve become a pretty decent person in life. And
I’ve pretty much taken every avenue that I could possibly take in
prison to rehabilitate myself.” App. 152. “Minors do have the
ability to change,” he reflected. Ibid. He noted in closing,
“If you decide to send me back without the possibility of parole, I
will still do exactly what I’ve been doing for ten years. But all I
can do is ask you . . . please give me just one chance to
show the world, man, like, I can be somebody. I’ve done everything
I could over the past ten years to be
somebody. . . . I can’t change what was already
done. I can just try to show . . . I’ve become a grown
man.” Id ., at 153. Today, Jones is 31. His time spent in
prison has now eclipsed the childhood he had outside of it.
Jones should know that, despite the Court’s
decision today, what he does in life matters. So, too, do the
efforts of the almost 1,500 other juvenile offenders like Jones who
are serving LWOP sentences. Of course, nothing can repair the
damage their crimes caused. But that is not the question. The
question is whether the State, at some point, must consider whether
a juvenile offender has demonstrated maturity and rehabilitation
sufficient to merit a chance at life beyond the prison in which he
has grown up. See Graham , 560 U. S., at 79. For most,
the answer is yes. Notes 1 Elsewhere, the numbers
are even more alarming. Like Mississippi courts, Louisiana courts
have concluded that “ Miller requires the sentencing court to
consider an offender’s youth and attendant characteristics as
mitigating circumstances.” State v. Keith , 51,389,
p. 3 (La. App. 2 Cir. 6/21/17), 223 So. 3d 767, 770. As of
2020, Louisiana has imposed LWOP on an astonishing 57 percent of
eligible juvenile offenders since Miller was decided. See
Louisiana Center for Children’s Rights, Louisiana’s Compliance with Miller v. Alabama 1 (2020). 2 The harm from these
sentences will not fall equally. The racial disparities in juvenile
LWOP sentencing are stark: 70 percent of all youths sentenced to
LWOP are children of color. See Tipping Point 10; see also Brief
for Juvenile Law Center et al. as Amici Curiae 21
(reporting that “[i]n the years before Graham and Miller , courts sentenced Black juvenile offenders to life
imprisonment without parole ten times more often than white
offenders”); Mills, Dorn, & Hritz, Juvenile Life Without Parole
in Law and Practice: Chronicling the Rapid Change Underway, 65 Am.
U. L. Rev. 535, 579–580 (2016) (“Non-whites are
overrepresented among the JLWOP population in ways perhaps unseen
in any other aspect of our criminal justice system”). The trend has
worsened since Miller v. Alabama , 567 U.S.
460 (2012): 72 percent of children sentenced to LWOP after Miller were Black, compared to 61 percent of children
sentenced before Miller . Tipping Point
10 . 3 Justice Thomas agrees
that Montgomery mandates such a reading of Miller ,
but he claims that Miller itself did not establish a
substantive rule. See ante, at 2–5. That is incorrect. As
discussed, Miller prohibited mandatory LWOP sentences not
only because mandatory sentencing precludes individualized
consideration of a juvenile’s youth, but also because “such a
scheme poses too great a risk of disproportionate punishment.” 567
U. S., at 479. Applying the principles of proportionality set
forth in Roper and Graham , Miller “rendered
life without parole an unconstitutional penalty for a class of
defendants because of their status[,] that is, juvenile offenders
whose crimes reflect the transient immaturity of youth.” Montgomery , 577 U. S., at 208 (internal quotation marks
omitted). As a result, “ Miller is no less substantive than
are Roper and Graham .” Id., at
209. 4 Justice Thomas claims
that Miller and Montgomery “refashio[n] the Eighth
Amendment to accommodate this Court’s views of juvenile justice.” Ante, at 2; see ante, at 8. In so doing, Justice
Thomas “seek[s] to relitigate old Eighth Amendment battles” based
on “arguments this Court has previously (and often) rejected.” Miller , 567 U. S., at 470–471, n. 4; see Graham v. Florida , 560 U.S.
48 , 58 (2010) (“To determine whether a punishment is cruel and
unusual, courts must look beyond historical conceptions to the
evolving standards of decency that mark the progress of a maturing
society” (internal quotation marks omitted)). 5 Of course, as already
discussed, the Court is perfectly content to rely on Montgomery for its statement that a finding of fact
regarding permanent incorrigibility is not required. That isolated
piece of Montgomery , apparently, still carries the full
weight of precedent. Anything more inconvenient, however, the Court
today discards. 6 The Court leaves open the
possibility of an “as-applied Eighth Amendment claim of
disproportionality.” Ante, at 21 (citing Harmelin v. Michigan , 501 U. S 957, 996–1009 (1991) (Kennedy, J.,
concurring in part and concurring in judgment)). In the context of
a juvenile offender, such a claim should be controlled by this
Court’s holding that sentencing “a child whose crime reflects
transient immaturity to life without parole . . . is
disproportionate under the Eighth Amendment.” Montgomery ,
577 U. S., at 211; see Miller , 567 U. S., at 481
(“ Harmelin had nothing to do with children and did not
purport to apply its holding to the sentencing of juvenile
offenders”). 7 Even as it disclaims any
responsibility for evaluating permanent incorrigibility, the Court
emphasizes the details of Jones’ crime and alludes to other
homicides committed by juveniles throughout the country. See ante, at 2–3, 6. The gravity of these violent acts was not
lost on the Court in Miller , which set forth its substantive
rule specifically for the subset of juvenile offenders who commit
homicide. See also Roper , 543 U. S., at 572 (“[W]e
cannot deny or overlook the brutal crimes too many juvenile
offenders have committed”). Notwithstanding the unique “moral
culpability and consequential harm” of homicide, Miller reasoned that Graham ’s insights about children “are evident
in the same way, and to the same degree.” 567 U. S., at 473.
The point of Miller and Montgomery is that juveniles,
even those who commit murder, have the capacity to grow and mature,
to rehabilitate. The Eighth Amendment requires that sentencers (and
reviewing courts) not presume that most juveniles will forever
remain the “murderers,” ante, at 10, they once
were. 8 This was Jones’ only
prior contact with the juvenile justice system. See Brief for
Petitioner 35. 9 Jones’ mother has also
been diagnosed with a number of conditions, including posttraumatic
stress disorder, bipolar disorder, and manic depression. App. 74.
As a result, throughout Jones’ life, she experienced panic attacks
and emotional breakdowns. Id., at 74–75. As a child, Jones
witnessed his mother cutting herself. Id., at 122–123. The
types of adverse childhood experiences that Jones endured,
including physical abuse, domestic violence, and mental illness in
family members, are strong predictors of negative outcomes for
children, including violence. J. Garbarino, Miller ’s
Children 10–12 (2018); see id., at 12 (“[E]levated adversity
scores are as common among killers as they are rare in the general
adolescent population”). 10 Having deprived Jones of his
constitutional right, the Court gestures at a potential lifeline
from other institutions, including the Mississippi Legislature or
Governor. Ante, at 22. But “the remote possibility” of such
action “does not mitigate the harshness of the sentence” that Jones
now faces. Graham , 560 U. S., at 70. The Eighth
Amendment guarantees juvenile offenders like Jones a basic
constitutional protection against disproportionate punishments. The
Court should not leave the vindication of such important legal
rights to others, or to chance. | The Supreme Court affirmed the Mississippi Court of Appeals' decision to sentence Brett Jones, who was under 18 when he committed a murder, to life without parole. The Court rejected Jones' argument that the sentencer must make a separate finding of permanent incorrigibility before imposing a life-without-parole sentence, citing previous rulings in Miller v. Alabama and Montgomery v. Louisiana. The Court stated that Miller only requires the sentencer to consider the offender's youth and attendant characteristics before imposing a sentence, and Montgomery clarified that Miller did not mandate a formal fact-finding requirement regarding incorrigibility. |
Death Penalty & Criminal Sentencing | Bucklew v. Precythe | https://supreme.justia.com/cases/federal/us/587/17-8151/ | NOTICE: This opinion is subject to
formal revision before publication in the preliminary print of the
United States Reports. Readers are requested to notify the Reporter
of Decisions, Supreme Court of the United States, Washington,
D. C. 20543, of any typographical or other formal errors, in
order that corrections may be made before the preliminary print
goes to press.
SUPREME COURT OF THE UNITED STATES
_________________
No. 17–8151
_________________
RUSSELL BUCKLEW, PETITIONER v. ANNE L.
PRECYTHE, DIRECTOR, MISSOURI DEPARTMENT OF CORRECTIONS,
et al.
on writ of certiorari to the united states
court of appeals for the eighth circuit
[April 1, 2019]
Justice Gorsuch delivered the opinion of the
Court.
Russell Bucklew concedes that the State of
Missouri lawfully convicted him of murder and a variety of other
crimes. He acknowledges that the U. S. Constitution permits a
sentence of execution for his crimes. He accepts, too, that the
State’s lethal injection protocol is constitutional in most
applications. But because of his unusual medical condition, he
contends the protocol is unconstitutional as applied to him. Mr.
Bucklew raised this claim for the first time less than two weeks
before his scheduled execution. He received a stay of execution and
five years to pursue the argument, but in the end neither the
district court nor the Eighth Circuit found it supported by the law
or evidence. Now, Mr. Bucklew asks us to overturn those judgments.
We can discern no lawful basis for doing so.
I
A
In 1996, when Stephanie Ray announced that she
wanted to end their relationship, Mr. Bucklew grew violent. He cut
her jaw, punched her in the face, and threatened her with a knife.
Frightened to remain in the home they had shared, Ms. Ray sought
refuge with her children in Michael Sanders’ nearby residence. But
then one night Mr. Bucklew invaded that home. Bearing a pistol in
each hand, he shot Mr. Sanders in the chest; fired at Mr. Sanders’
6-year-old son (thankfully, he missed); and pistol-whipped Ms. Ray,
this time breaking her jaw. Then Mr. Bucklew handcuffed Ms. Ray,
drove her to a secluded spot, and raped her at gunpoint. After a
trooper spotted Mr. Bucklew, a shootout followed and he was finally
arrested. While all this played out, Mr. Sanders bled to death. As
a coda, Mr. Bucklew escaped from jail while awaiting trial and
attacked Ms. Ray’s mother with a hammer before he could be
recaptured.
After a decade of litigation, Mr. Bucklew was
seemingly out of legal options. A jury had convicted him of murder
and other crimes and recommended a death sentence, which the court
had imposed. His direct appeal had proved unsuccessful. State v. Bucklew , 973 S.W.2d 83 (Mo. 1998), cert. denied, 525 U.S. 1082 (1999).
Separate rounds of state and federal post-conviction proceedings
also had failed to yield relief. Bucklew v. State , 38 S.W.3d 395 (Mo.), cert. denied, 534 U.S. 964 (2001); Bucklew v. Luebbers , 436 F.3d 1010 (CA8), cert. denied, 549 U.S. 1079 (2006).
B
As it turned out, though, Mr. Bucklew’s case
soon became caught up in a wave of litigation over lethal injection
procedures. Like many States, Missouri has periodically sought to
improve its administration of the death penalty. Early in the 20th
century, the State replaced hanging with the gas chamber. Later in
the century, it authorized the use of lethal injection as an
alternative to lethal gas. By the time Mr. Bucklew’s
post-conviction proceedings ended, Missouri’s protocol called for
lethal injections to be carried out using three drugs: sodium
thiopental, pancuronium bromide, and potassium chloride. And by
that time, too, various inmates were in the process of challenging
the constitutionality of the State’s protocol and others like it
around the country. See Taylor v. Crawford , 457 F.3d
902 (CA8 2006); Note, A New Test for Evaluating Eighth Amendment
Challenges to Lethal Injections, 120 Harv. L. Rev. 1301, 1304
(2007) (describing flood of lethal injection lawsuits around 2006
that “severely constrained states’ ability to carry out
executions”); Denno, The Lethal Injection Quandary: How Medicine
Has Dismantled the Death Penalty, 76 Ford. L. Rev. 49, 102–116
(2007).
Ultimately, this Court answered these legal
challenges in Baze v. Rees , 553 U.S.
35 (2008). Addressing Kentucky’s similar three-drug protocol,
The Chief Justice, joined by Justice Alito and Justice Kennedy,
concluded that a State’s refusal to alter its lethal injection
protocol could violate the Eighth Amendment only if an inmate first
identified a “feasible, readily implemented” alternative procedure
that would “significantly reduce a substantial risk of severe
pain.” Id. , at 52. Justice Thomas, joined by Justice Scalia,
thought the protocol passed muster because it was not intended “to
add elements of terror, pain, or disgrace to the death penalty.” Id. , at 107. Justice Breyer reached the same result because
he saw no evidence that the protocol created “a significant risk of
unnecessary suffering.” Id. , at 113. And though Justice
Stevens objected to the continued use of the death penalty, he
agreed that petitioners’ evidence was insufficient. Id. , at
87. After this Court decided Baze , it denied review in a
case seeking to challenge Missouri’s similar lethal injection
protocol. Taylor v. Crawford , 487 F.3d 1072 (2007),
cert. denied, 553 U.S. 1004 (2008).
But that still was not the end of it. Next, Mr.
Bucklew and other inmates unsuccessfully challenged Missouri’s
protocol in state court, alleging that it had been adopted in
contravention of Missouri’s Administrative Procedure Act. Middleton v. Missouri Dept. of Corrections , 278
S.W.3d 193 (Mo.), cert. denied, 556 U.S. 1255 (2009). They also
unsuccessfully challenged the protocol in federal court, this time
alleging it was pre-empted by various federal statutes. Ringo v. Lombardi , 677 F.3d 793 (CA8 2012). And Mr.
Bucklew sought to intervene in yet another lawsuit alleging that
Missouri’s protocol violated the Eighth Amendment because
unqualified personnel might botch its administration. That lawsuit
failed too. Clemons v. Crawford , 585 F.3d 1119 (CA8
2009), cert. denied, 561 U.S. 1026 (2010).
While all this played out, pressure from
anti-death-penalty advocates induced the company that manufactured
sodium thiopental to stop supplying it for use in executions. As a
result, the State was unable to proceed with executions until it
could change its lethal injection protocol again. This it did in
2012, prescribing the use of a single drug, the sedative propofol.
Soon after that, Mr. Bucklew and other inmates sued to invalidate
this new protocol as well, alleging that it would produce
excruciating pain and violate the Eighth Amendment on its face.
After the State revised the protocol in 2013 to use the sedative
pentobarbital instead of propofol, the inmates amended their
complaint to allege that pentobarbital would likewise violate the
Constitution.
C
Things came to a head in 2014. With its new
protocol in place and the necessary drugs now available, the State
scheduled Mr. Bucklew’s execution for May 21. But 12 days before
the execution Mr. Bucklew filed yet another lawsuit, the one now
before us. In this case, he presented an as-applied Eighth
Amendment challenge to the State’s new protocol. Whether or not it
would cause excruciating pain for all prisoners, as his
previous lawsuit alleged, Mr. Bucklew now contended that the
State’s protocol would cause him severe pain because of his
particular medical condition. Mr. Bucklew suffers from a disease
called cavernous hemangioma, which causes vascular tumors—clumps of
blood vessels—to grow in his head, neck, and throat. His complaint
alleged that this condition could prevent the pentobarbital from
circulating properly in his body; that the use of a chemical dye to
flush the intravenous line could cause his blood pressure to spike
and his tumors to rupture; and that pentobarbital could interact
adversely with his other medications.
These latest protocol challenges yielded mixed
results. The district court dismissed both the inmates’ facial
challenge and Mr. Bucklew’s as-applied challenge. But, at Mr.
Bucklew’s request, this Court agreed to stay his execution until
the Eighth Circuit could hear his appeal. Bucklew v. Lombardi , 572 U.S. 1131 (2014). Ultimately, the Eighth
Circuit affirmed the dismissal of the facial challenge. Zink v. Lombardi , 783 F.3d 1089 (en banc) ( per curiam ),
cert. denied, 576 U. S. ___ (2015). Then, turning to the
as-applied challenge and seeking to apply the test set forth by the Baze plurality, the court held that Mr. Bucklew’s complaint
failed as a matter of law to identify an alternative procedure that
would significantly reduce the risks he alleged would flow from the
State’s lethal injection protocol. Yet, despite this dispositive
shortcoming, the court of appeals decided to give Mr. Bucklew
another chance to plead his case. The court stressed that, on
remand before the district court, Mr. Bucklew had to identify “at
the earliest possible time” a feasible, readily implemented
alternative procedure that would address those risks. Bucklew v. Lombardi , 783 F.3d 1120, 1127–1128 (2015)
(en banc).
Shortly after the Eighth Circuit issued its
judgment, this Court decided Glossip v. Gross , 576
U. S. ___ (2015), rejecting a challenge to Oklahoma’s lethal
injection protocol. There, the Court clarified that The Chief
Justice’s plurality opinion in Baze was controlling under Marks v. United States , 430 U.S.
188 (1977). In doing so, it reaffirmed that an inmate cannot
successfully challenge a method of execution under the Eighth
Amendment unless he identifies “an alternative that is ‘feasible,
readily implemented, and in fact significantly reduces a
substantial risk of severe pain.’ ” 576 U. S., at ___–___
(slip op., at 12–13). Justice Thomas, joined by Justice Scalia,
reiterated his view that the Eighth Amendment “prohibits only those
methods of execution that are deliberately designed to inflict
pain,” but he joined the Court’s opinion because it correctly
explained why petitioners’ claim failed even under the controlling
opinion in Baze . Glossip , 576 U. S., at ___
(concurring opinion) (slip op., at 1) (internal quotation marks and
alterations omitted).
D
Despite the Eighth Circuit’s express
instructions, when Mr. Bucklew returned to the district court in
2015 he still refused to identify an alternative procedure that
would significantly reduce his alleged risk of pain. Instead, he
insisted that inmates should have to carry this burden only in
facial, not as-applied, challenges. Finally, after the district
court gave him “one last opportunity,” App. 30, Mr. Bucklew filed a
fourth amended complaint in which he claimed that execution by
“lethal gas” was a feasible and available alternative method that
would significantly reduce his risk of pain. Id. , at 42. Mr.
Bucklew later clarified that the lethal gas he had in mind was
nitrogen, which neither Missouri nor any other State had ever used
to carry out an execution.
The district court allowed Mr. Bucklew
“extensive discovery” on his new proposal. 883 F.3d 1087, 1094 (CA8
2018). But even at the close of discovery in 2017, the district
court still found the proposal lacking and granted the State’s
motion for summary judgment. By this point in the proceedings, Mr.
Bucklew’s contentions about the pain he might suffer had evolved
considerably. He no longer complained about circulation of the
drug, the use of dye, or adverse drug interactions. Instead, his
main claim now was that he would experience pain during the period
after the pentobarbital started to take effect but before it
rendered him fully unconscious. According to his expert, Dr. Joel
Zivot, while in this semiconscious “twilight stage” Mr. Bucklew
would be unable to prevent his tumors from obstructing his
breathing, which would make him feel like he was suffocating. Dr.
Zivot declined to say how long this twilight stage would last. When
pressed, however, he referenced a study on euthanasia in horses. He
claimed that the horses in the study had displayed some amount of
brain activity, as measured with an electroencephalogram (or EEG),
for up to four minutes after they were given a large dose of
pentobarbital. Based on Dr. Zivot’s testi- mony, the district court
found a triable issue as to whether there was a “substantial risk”
that Mr. Bucklew would “experience choking and an inability to
breathe for up to four minutes” if he were executed by lethal
injection. App. 827. Even so, the court held, Mr. Bucklew’s claim
failed because he had produced no evidence that his proposed
alternative, execution by nitrogen hypoxia, would significantly
reduce that risk.
This time, a panel of the Eighth Circuit
affirmed. The panel held that Mr. Bucklew had produced no evidence
that the risk of pain he alleged “would be substantially reduced by
use of nitrogen hypoxia instead of lethal injection as the method
of execution.” 883 F. 3d, at 1096. Judge Colloton dissented,
arguing that the evidence raised a triable issue as to whether
nitrogen gas would “render Bucklew insensate more quickly than
pentobarbital.” Id. , at 1099. The full court denied
rehearing en banc over a dissent by Judge Kelly, who maintained
that, while prisoners pursuing facial challenges to a state
execution protocol must plead and prove an alternative method of
execution under Baze and Glossip , prisoners like Mr.
Bucklew who pursue as-applied challenges should not have to bear
that burden. 885 F.3d 527, 528 (2018).
On the same day Mr. Bucklew was scheduled to be
executed, this Court granted him a second stay of execution. 583
U. S. ___ (2018). We then agreed to hear his case to clarify
the legal standards that govern an as-applied Eighth Amendment
challenge to a State’s method of carrying out a death sentence. 584
U. S. ___ (2018).
II
We begin with Mr. Bucklew’s suggestion that
the test for lethal injection protocol challenges announced in Baze and Glossip should govern only facial
challenges, not as-applied challenges like his. In evaluating this
argument, we first examine the original and historical
understanding of the Eighth Amendment and our precedent in Baze and Glossip . We then address whether, in light
of those authorities, it would be appropriate to adopt a different
constitutional test for as-applied claims.
A
The Constitution allows capital punishment.
See Glossip , 576 U. S., at ___–___ (slip op., at 2–4); Baze , 553 U. S., at 47. In fact, death was “the
standard penalty for all serious crimes” at the time of the
founding. S. Banner, The Death Penalty: An American History 23
(2002) (Banner). Nor did the later addition of the Eighth Amendment
outlaw the practice. On the contrary—the Fifth Amendment, added to
the Constitution at the same time as the Eighth, expressly
contemplates that a defendant may be tried for a “capital” crime
and “deprived of life” as a pen- alty, so long as proper procedures
are followed. And the First Congress, which proposed both
Amendments, made a number of crimes punishable by death. See Act of
Apr. 30, 1790, 1Stat. 112. Of course, that doesn’t mean the
American people must continue to use the death penalty. The same
Constitution that permits States to authorize capital punishment
also allows them to outlaw it. But it does mean that the judiciary
bears no license to end a debate reserved for the people and their
representatives.
While the Eighth Amendment doesn’t forbid
capital punishment, it does speak to how States may carry out that
punishment, prohibiting methods that are “cruel and unusual.” What
does this term mean? At the time of the framing, English law still
formally tolerated certain punishments even though they had largely
fallen into disuse—punishments in which “terror, pain, or disgrace
[were] superadded” to the penalty of death. 4 W. Blackstone,
Commentaries on the Laws of England 370 (1769). These included such
“[d]isgusting” practices as dragging the prisoner to the place of
execution, disemboweling, quartering, public dissection, and
burning alive, all of which Blackstone observed “savor[ed] of
torture or cruelty.” Ibid. Methods of execution like these readily
qualified as “cruel and unusual,” as a reader at the time of the
Eighth Amendment’s adoption would have understood those words. They
were undoubtedly “cruel,” a term often defined to mean “[p]leased
with hurting others; inhuman; hard-hearted; void of pity; wanting
compassion; savage; barbarous; unrelenting,” 1 S. Johnson, A
Dictionary of the English Language (4th ed. 1773), or “[d]isposed
to give pain to others, in body or mind; willing or pleased to
torment, vex or afflict; inhuman; destitute of pity, compassion or
kindness,” 1 N. Webster, An American Dictionary of the English
Language (1828). And by the time of the founding, these methods had
long fallen out of use and so had become “unusual.” 4 Blackstone, supra, at 370; Banner 76; Baze , 553 U. S., at 97
(Thomas, J., concurring in judgment); see also Stinneford, The
Original Meaning of “Unusual”: The Eighth Amendment as a Bar to
Cruel Innovation, 102 Nw. U. L. Rev. 1739, 1770–1771, 1814
(2008) (observing that Americans in the late 18th and early 19th
centuries described as “unusual” governmental actions that had
“fall[en] completely out of usage for a long period of time”).
Contemporary evidence confirms that the people
who ratified the Eighth Amendment would have understood it in just
this way. Patrick Henry, for one, warned that unless the
Constitution was amended to prohibit “cruel and unusual
punishments,” Congress would be free to inflict “tortures” and
“barbarous” punishments. 3 Debates on the Federal Constitution
447–448 (J. Elliot 2d ed. 1891). Many early commentators likewise
described the Eighth Amendment as ruling out “the use of the rack
or the stake, or any of those horrid modes of torture devised by
human ingenuity for the gratification of fiendish passion.” J.
Bayard, A Brief Exposition of the Constitution of the United States
140 (1833); see B. Oliver, The Rights of an American Citizen 186
(1832) (the Eighth Amendment prohibits such “barbarous and cruel
punishments” as “[b]reaking on the wheel, flaying alive, rending
asunder with horses, . . . maiming, mutilating and
scourging to death”). Justice Story even remarked that he thought
the prohibition of cruel and unusual punishments likely
“unnecessary” because no “free government” would ever authorize
“atrocious” methods of execution like these. 3 J. Story,
Commentaries on the Constitution of the United States §1896, p. 750
(1833).
Consistent with the Constitution’s original
understanding, this Court in Wilkerson v. Utah , 99 U.S.
130 (1879), permitted an execution by firing squad while
observing that the Eighth Amendment forbade the gruesome methods of
execution described by Blackstone “and all others in the same line
of unnecessary cruelty.” Id. , at 135–136. A few years later,
the Court upheld a sentence of death by electrocution while
observing that, though electrocution was a new mode of punishment
and therefore perhaps could be considered “unusual,” it was not
“cruel” in the constitutional sense: “[T]he punishment of death is
not cruel, within the meaning of that word as used in the
Constitution. [Cruelty] implies . . . something inhuman
and barbarous, something more than the mere extinguishment of
life.” In re Kemmler , 136 U.S.
436 , 447 (1890).
It’s instructive, too, to contrast the modes of
execution the Eighth Amendment was understood to forbid with those
it was understood to permit. At the time of the Amendment’s
adoption, the predominant method of execution in this country was
hanging. Glossip , 576 U. S., at ___ (slip op., at 2).
While hanging was considered more humane than some of the
punishments of the Old World, it was no guarantee of a quick and
painless death. “Many and perhaps most hangings were evidently
painful for the condemned person because they caused death slowly,”
and “[w]hether a hanging was painless or painful seems to have been
largely a matter of chance.” Banner 48, 170. The force of the drop
could break the neck and sever the spinal cord, making death almost
instantaneous. But that was hardly assured given the techniques
that prevailed at the time. More often it seems the prisoner would
die from loss of blood flow to the brain, which could produce
unconsciousness usually within seconds, or suffocation, which could
take several minutes. Id. , at 46–47; J. Laurence, The
History of Capital Punishment 44–46 (1960); Gardner, Executions and
Indignities: An Eighth Amendment Assessment of Methods of
Inflicting Capital Punishment, 39 Ohio St. L. J. 96, 120
(1978). But while hanging could and often did result in significant
pain, its use “was virtually never questioned.” Banner 170.
Presumably that was because, in contrast to punishments like
burning and disemboweling, hanging wasn’t “ intended to be
painful” and the risk of pain involved was considered “unfortunate
but inevitable.” Ibid. ; see also id. , at 48.
What does all this tell us about how the Eighth
Amendment applies to methods of execution? For one thing, it tells
us that the Eighth Amendment does not guarantee a prisoner a
painless death—something that, of course, isn’t guaranteed to many
people, including most victims of capital crimes. Glossip ,
576 U. S., at ___ (slip op., at 4). Instead, what unites the
punishments the Eighth Amendment was understood to forbid, and
distinguishes them from those it was understood to allow, is that
the former were long disused (unusual) forms of punishment that
intensified the sentence of death with a (cruel)
“ ‘superadd[ition]’ ” of “ ‘terror, pain, or
disgrace.’ ” Baze , 553 U. S., at 48; accord, id. , at 96 (Thomas, J., concurring in judgment).
This Court has yet to hold that a State’s method
of execution qualifies as cruel and unusual, and perhaps
understandably so. Far from seeking to superadd terror, pain, or
disgrace to their executions, the States have often sought more
nearly the opposite, exactly as Justice Story predicted. Through
much of the 19th century, States experimented with technological
innovations aimed at making hanging less painful. See Banner
170–177. In the 1880s, following the recommendation of a commission
tasked with finding “ ‘the most humane and practical method
known to modern science of carrying into effect the sentence of
death,’ ” the State of New York replaced hanging with
electrocution. Glossip , 576 U. S., at ___ (slip op., at
2). Several States followed suit in the “ ‘ “belief that
electrocution is less painful and more humane than
hanging.” ’ ” Ibid. Other States adopted lethal
gas after concluding it was “ ‘the most humane [method of
execution] known to modern science.’ ” Ibid. And
beginning in the 1970s, the search for less painful modes of
execution led many States to switch to lethal injection. Id. , at ___ (slip op., at 3); Baze , 553 U. S.,
at 42, 62; see also Banner 178–181, 196–197, 297. Notably, all of
these innovations occurred not through this Court’s intervention,
but through the initiative of the people and their
representatives.
Still, accepting the possibility that a State
might try to carry out an execution in an impermissibly cruel and
unusual manner, how can a court determine when a State has crossed
the line? The Chief Justice’s opinion in Baze , which a
majority of the Court held to be controlling in Glossip ,
supplies critical guidance. It teaches that where (as here) the
question in dispute is whether the State’s chosen method of
execution cruelly superadds pain to the death sentence, a prisoner
must show a feasible and readily implemented alternative method of
execution that would significantly reduce a substantial risk of
severe pain and that the State has refused to adopt without a
legitimate penological reason. See Glossip , 576 U. S.,
at ___–___ (slip op., at 12–13); Baze , 553 U. S., at
52. Glossip left no doubt that this standard governs “all
Eighth Amendment method-of-execution claims.” 576 U. S., at
___ (slip op., at 1).
In reaching this conclusion, Baze and Glossip recognized that the Eighth Amendment “does not
demand the avoidance of all risk of pain in carrying out
executions.” Baze , 553 U. S., at 47. To the contrary,
the Constitution affords a “measure of deference to a State’s
choice of execution procedures” and does not authorize courts to
serve as “boards of inquiry charged with determining ‘best
practices’ for executions.” Id. , at 51–52, and nn. 2–3.
The Eighth Amendment does not come into play unless the risk of
pain associated with the State’s method is “substantial when
compared to a known and available alternative.” Glossip , 576
U. S., at ___ (slip op., at 13); see Baze , 553
U. S., at 61. Nor do Baze and Glossip suggest
that traditionally accepted methods of execution—such as hanging,
the firing squad, electrocution, and lethal injection—are
necessarily rendered unconstitutional as soon as an arguably more
humane method like lethal injection becomes available. There are,
the Court recognized, many legitimate reasons why a State might
choose, consistent with the Eighth Amendment, not to adopt a
prisoner’s preferred method of execution. See, e.g. , Glossip , 576 U. S., at ___–___ (slip op., at 13–14) (a
State can’t be faulted for failing to use lethal injection drugs
that it’s unable to procure through good-faith efforts); Baze , 553 U. S., at 57 (a State has a legitimate
interest in selecting a method it regards as “preserving the
dignity of the procedure”); id. , at 66 (Alito, J.,
concurring) (a State isn’t required to modify its protocol in ways
that would require the involvement of “persons whose professional
ethics rules or traditions impede their participation”).
As we’ve seen, two Members of the Court whose
votes were essential to the judgment in Glossip argued that
establishing cruelty consistent with the Eighth Amendment’s
original meaning demands slightly more than the majority opinion
there (or the Baze plurality opinion it followed) suggested.
Instead of requiring an inmate to establish that a State has
unreasonably refused to alter its method of execution to avoid a
risk of unnecessary pain, Justice Thomas and Justice Scalia
contended that an inmate must show that the State intended its method to inflict such pain. See Glossip , 576
U. S., at ___ (Thomas, J., concurring) (slip op., at 1); Baze , 553 U. S., at 94–107 (Thomas, J., concurring in
judgment). But revisiting that debate isn’t necessary here because,
as we’ll see, the State was entitled to summary judgment in this
case even under the more forgiving Baze - Glossip test.
See Part III, infra .
B
Before turning to the application of Baze and Glossip , however, we must confront Mr.
Bucklew’s argument that a different standard entirely should govern
as-applied challenges like his. He admits that Baze and Glossip supply the controlling test in facial challenges to
a State’s chosen method of execution. But he suggests that he
should not have to prove an alternative method of execution in his
as-applied challenge because “certain categories” of punishment are
“manifestly cruel . . . without reference to any
alternative methods.” Brief for Petitioner 41–42 (internal
quotation marks omitted). He points to “ ‘burning at the
stake, crucifixion, [and] breaking on the wheel’ ” as examples
of “categorically” cruel methods. Ibid. And, he says, we
should use this case to add to the list of “categorically” cruel
methods any method that, as applied to a particular inmate, will
pose a “substantial and particular risk of grave suffering” due to
the inmate’s “unique medical condition.” Id. , at 44.
The first problem with this argument is that
it’s foreclosed by precedent. Glossip expressly held that
identifying an available alternative is “a requirement of all Eighth Amendment method-of-execution claims” alleging
cruel pain. 576 U. S., at ___ (slip op., at 1) (emphasis
added). And just as binding as this holding is the reasoning
underlying it. Distinguishing between constitutionally permissible
and impermissible degrees of pain, Baze and Glossip explained, is a necessarily comparative exercise. To decide
whether the State has cruelly “superadded” pain to the punishment
of death isn’t something that can be accomplished by examining the
State’s proposed method in a vacuum, but only by “compar[ing]” that
method with a viable alternative. Glossip , 576 U. S.,
at ___ (slip op., at 13); see Baze , 553 U. S., at 61.
As Mr. Bucklew acknowledges when speaking of facial challenges,
this comparison “provides the needed metric” to measure whether the
State is lawfully carrying out an execution or inflicting
“gratuitous” pain. Brief for Petitioner 42–43. Yet it is that very
comparison and needed metric Mr. Bucklew would now have us discard.
Nor does he offer some persuasive reason for overturning our
precedent. To the contrary, Mr. Bucklew simply repeats the same
argument the principal dissent offered and the Court expressly and
thoughtfully rejected in Glossip . Just as Mr. Bucklew argues
here, the dissent there argued that “certain methods of execution”
like “burning at the stake” should be declared “categorically
off-limits.” And just as Mr. Bucklew submits here, the dissent
there argued that any other “intolerably painful” method of
execution should be added to this list. 576 U. S., at ___–___
(Sotomayor, J., dissenting) (slip op., at 23–24). Mr. Bucklew’s
submission, thus, amounts to no more than a headlong attack on
precedent.
Mr. Bucklew’s argument fails for another
independent reason: It is inconsistent with the original and
historical understanding of the Eighth Amendment on which Baze and Glossip rest. As we’ve seen, when it comes
to determining whether a punishment is unconstitutionally cruel
because of the pain involved, the law has always asked whether the
punishment “superadds” pain well beyond what’s needed to effectuate
a death sentence. And answering that question has always involved a
comparison with available alternatives, not some abstract exercise
in “categorical” classification. At common law, the ancient and
barbaric methods of execution Mr. Bucklew cites were understood to
be cruel precisely because—by comparison to other available
methods—they went so far beyond what was needed to carry out a
death sentence that they could only be explained as reflecting the
infliction of pain for pain’s sake. Meanwhile, hanging carried with
it an acknowledged and substantial risk of pain but was not
considered cruel because that risk was thought—by comparison to
other known methods—to involve no more pain than was reasonably
necessary to impose a lawful death sentence. See supra , at
9–12.
What does the principal dissent have to say
about all this? It acknowledges that Glossip ’s comparative
requirement helps prevent facial method-of-execution claims from
becoming a “backdoor means to abolish” the death penalty. Post , at 8 (opinion of Breyer, J.). But, the dissent assures
us, there’s no reason to worry that as-applied method-of-execution
challenges might be used that way. This assurance misses the point.
As we’ve explained, the alternative-method requirement is compelled
by our understanding of the Constitution, not by mere policy
concerns.
With that, the dissent is left only to rehash
the same argument that Mr. Bucklew offers. The dissent insists that
some forms of execution are just categorically cruel. Post ,
at 10–11. At first and like others who have made this argument, the
dissent offers little more than intuition to support its
conclusion. Ultimately, though, even it bows to the necessity of
something firmer. If a “comparator is needed” to assess whether an
execution is cruel, the dissent tells us, we should compare the
pain likely to follow from the use of a lethal injection in this
case with the pain-free use of lethal injections in mine-run cases. Post , at 10. But that’s just another way of saying
executions must always be carried out painlessly because they can
be carried out painlessly most of the time, a standard the
Constitution has never required and this Court has re- jected time
and time again. Supra , at 12. To determine whether the State
is cruelly superadding pain, our precedents and history require
asking whether the State had some other feasible and readily
available method to carry out its lawful sentence that would have
significantly reduced a substantial risk of pain.
That Mr. Bucklew and the dissent fail to respect
the force of our precedents—or to grapple with the understanding of
the Constitution on which our precedents rest—is more than enough
reason to reject their view that as-applied and facial challenges
should be treated differently. But it turns out their position on
this score suffers from further problems too—problems that neither
Mr. Bucklew nor the dissent even attempts to address.
Take this one. A facial challenge is really just
a claim that the law or policy at issue is unconstitutional in all
its applications. So classifying a lawsuit as facial or as-applied
affects the extent to which the invalidity of the challenged law
must be demonstrated and the corresponding “breadth of the remedy,”
but it does not speak at all to the substantive rule of law
necessary to establish a constitutional violation. Citizens
United v. Federal Election Comm’n , 558 U.S.
310 , 331 (2010). Surely it would be strange for the same words
of the Constitution to bear entirely different meanings depending
only on how broad a remedy the plaintiff chooses to seek. See Gross v. United States , 771 F.3d 10, 14–15 (CADC
2014) (“ ‘[T]he substantive rule of law is the same for both
[facial and as-applied] challenges’ ”); Brooklyn Legal
Servs. Corp. v. Legal Servs. Corp. , 462 F.3d 219 , 228 (CA2 2006) (the facial/as-applied distinction
affects “ the extent to which the invalidity of a statute
need be demonstrated,” not “the substantive rule of law to
be used”). And surely, too, it must count for something that we
have found not a single court decision in over 200 years suggesting
that the Eighth Amendment’s meaning shifts in this way. To the
contrary, our precedent suggests just the opposite. In the related
context of an Eighth Amendment challenge to conditions of
confinement, we have seen “no basis whatever” for applying a
different legal standard to “deprivations inflicted upon all
prisoners” and those “inflicted upon particular prisoners.” Wilson v. Seiter , 501 U.S.
294 , 299, n. 1 (1991).
Here’s yet another problem with Mr. Bucklew’s
argument: It invites pleading games. The line between facial and
as-applied challenges can sometimes prove “amorphous,” Elgin v. Department of Treasury , 567 U.S.
1 , 15 (2012), and “not so well defined,” Citizens
United , 558 U. S., at 331. Consider an example. Suppose an
inmate claims that the State’s lethal injection protocol violates
the Eighth Amendment when used to execute anyone with a very common
but not quite universal health condition. Should such a claim be
regarded as facial or as-applied? In another context, we
sidestepped a debate over how to categorize a comparable claim—one
that neither sought “to strike [the challenged law] in all its
applications” nor was “limited to plaintiff’s particular case”—by
concluding that “[t]he label is not what matters.” Doe v. Reed , 561 U.S.
186 , 194 (2010). To hold now, for the first time, that choosing
a label changes the meaning of the Constitution would only
guarantee a good deal of litigation over labels, with lawyers on
each side seeking to classify cases to maximize their tactical
advantage. Unless increasing the delay and cost involved in
carrying out executions is the point of the exercise, it’s hard to
see the benefit in placing so much weight on what can be an
abstruse exercise.
Finally, the burden Mr. Bucklew must shoulder
under the Baze - Glossip test can be overstated. An
inmate seeking to identify an alternative method of execution is
not limited to choosing among those presently authorized by a
particular State’s law. Missouri itself seemed to acknowledge as
much at oral argument. Tr. of Oral Arg. 65. So, for example, a
prisoner may point to a well-established protocol in another State
as a potentially viable option. Of course, in a case like that a
court would have to inquire into the possibility that one State
possessed a legitimate reason for declining to adopt the protocol
of another. See supra , at 13–14. And existing state law
might be relevant to determining the proper procedural vehicle for
the inmate’s claim. See Hill v. McDonough , 547 U.S.
573, 582–583 (2006) (if the relief sought in a 42
U. S. C. §1983 action would “foreclose the State from
implementing the [inmate’s] sentence under present law,” then
“recharacterizing a complaint as an action for habeas corpus might
be proper”). But the Eighth Amendment is the supreme law of the
land, and the comparative assessment it requires can’t be
controlled by the State’s choice of which methods to authorize in
its statutes. In light of this, we see little likelihood that an
inmate facing a serious risk of pain will be unable to identify an
available alternative—assuming, of course, that the inmate is more
interested in avoiding unnecessary pain than in delaying his
execution.
III
Having (re)confirmed that anyone bringing a
method of execution claim alleging the infliction of
unconstitution- ally cruel pain must meet the Baze - Glossip test, we can now turn to the question
whether Mr. Bucklew is able to sat- isfy that test. Has he
identified a feasible and readily im- plemented alternative method
of execution the State refused to adopt without a legitimate
reason, even though it would significantly reduce a substantial
risk of severe pain? Because the case comes to us after the entry
of summary judgment, this appeal turns on whether Mr. Bucklew has
shown a genuine issue of material fact warranting a trial.
A
We begin with the question of a proposed
alternative method. Through much of this case and despite many
opportunities, Mr. Bucklew refused to identify any alternative method of execution, choosing instead to stand on his
argument that Baze and Glossip ’s legal standard
doesn’t govern as-applied challenges like his (even after the
Eighth Circuit rejected that argument). Only when the district
court warned that his continued refusal to abide this Court’s
precedents would result in immediate dismissal did Mr. Bucklew
finally point to nitrogen hy- poxia. The district court then
afforded Mr. Bucklew “exten- sive discovery” to explore the
viability of that alternative. 883 F. 3d, at 1094. But even
after all that, we conclude Mr. Bucklew has failed for two
independent reasons to present a triable question on the viability
of nitrogen hypoxia as an alternative to the State’s lethal
injection protocol. First , an inmate must show that his
proposed alternative method is not just theoretically
“ ‘feasible’ ” but also “ ‘readily
implemented.’ ” Glossip , 576 U. S., at ___–___
(slip op., at 12–13). This means the inmate’s proposal must be
sufficiently detailed to permit a finding that the State could
carry it out “relatively easily and reasonably quickly.” McGehee v. Hutchinson , 854 F.3d 488, 493 (CA8 2017); Arthur v. Commissioner, Ala. Dept. of Corrections ,
840 F.3d 1268, 1300 (CA11 2016). Mr. Bucklew’s bare-bones proposal
falls well short of that standard. He has presented no evidence on
essential questions like how nitrogen gas should be administered
(using a gas chamber, a tent, a hood, a mask, or some other
delivery device); in what concentration (pure nitrogen or some
mixture of gases); how quickly and for how long it should be
introduced; or how the State might ensure the safety of the
execution team, including protecting them against the risk of gas
leaks. Instead of presenting the State with a read- ily implemented
alternative method, Mr. Bucklew (and the principal dissent) point
to reports from correctional authorities in other States indicating
that additional study is needed to develop a protocol for execution
by nitrogen hypoxia. See App. 697 (Oklahoma grand jury report
recommending that the State “retain experts” and conduct “further
research” to “determine how to carry out the sentence of death by
this method”); id. , at 736 (report of Louisiana Dept. of
Public Safety & Corrections stating that “[r]esearch
. . . is ongoing” to develop a nitrogen hypoxia
protocol). That is a proposal for more research, not the readily
implemented alternative that Baze and Glossip require. Second , and relatedly, the State had a
“legitimate” reason for declining to switch from its current method
of execution as a matter of law. Baze , 553 U. S., at
52. Rather than point to a proven alternative method, Mr. Bucklew
sought the adoption of an entirely new method—one that had “never
been used to carry out an execution” and had “no track record of
successful use.” McGehee , 854 F. 3d, at 493. But
choosing not to be the first to experiment with a new method of
execution is a legitimate reason to reject it. In Baze we
observed that “no other State ha[d] adopted” the one-drug protocol
the inmates sought and they had “proffered no study showing” their
one-drug protocol would be as effective and humane as the State’s
existing three-drug protocol. 553 U. S., at 57. Under those
circumstances, we held as a matter of law that Kentucky’s refusal
to adopt the inmates’ proffered protocol could not “constitute a
violation of the Eighth Amendment.” Ibid. The Eighth
Amendment prohibits States from dredging up archaic cruel
punishments or perhaps inventing new ones, but it does not compel a
State to adopt “untried and untested” (and thus unusual in the
constitutional sense) methods of execution. Id. , at
41.[ 1 ]
B
Even if a prisoner can carry his burden of
showing a readily available alternative, he must still show that it
would significantly reduce a substantial risk of severe pain. Glossip , 576 U. S., at ___ (slip op., at 13); Baze , 553 U. S., at 52. A minor reduction in risk is
insufficient; the difference must be clear and considerable. Over
the course of this litigation, Mr. Bucklew’s explanation why
nitrogen hypoxia meets this standard has evolved significantly. But
neither of the two theories he has advanced in this Court turns out
to be supported by record evidence. First , Mr. Bucklew points to several
risks that he alleges could result from use of the State’s lethal
injection protocol that would not be present if the State used
nitrogen gas. For example, he says the execution team might try to
insert an IV into one of his peripheral veins, which could cause
the vein to rupture; or the team might instead use an allegedly
painful “cut-down” procedure to access his femoral vein. He also
says that he might be forced to lie flat on his back during the
execution, which could impair his breathing even before the
pentobarbital is administered. And he says the stress from all this
could cause his tumors to bleed, further impairing his breathing.
These risks, we may assume, would not exist if Mr. Bucklew were
exe- cuted by his preferred method of nitrogen hypoxia.
The problem with all of these contentions is
that they rest on speculation unsupported, if not affirmatively
contradicted, by the evidence in this case. Nor does the principal
dissent contend otherwise. So, for example, uncontroverted record
evidence indicates that the execution team will have discretion to
adjust the gurney to whatever position is in Mr. Bucklew’s best
medical interests. 883 F. 3d, at 1092, n. 3; App. 531.
Moreover, the State agreed in the district court that it would not
try to place an IV in Mr. Bucklew’s compromised peripheral veins. Id. , at 820; see Brief for Appellant in No. 17–3052 (CA8),
p. 7. And, assuming without granting that using a cut-down
would raise issues under the Eighth Amendment—but see Nooner v. Norris , 594 F.3d 592, 604 (CA8 2010) (holding
otherwise)—the State’s expert, Dr. Michael Antognini, testified
without contradiction that it should be possible to place an IV in
Mr. Bucklew’s femoral vein without using a cut-down procedure, App.
350. Mr. Bucklew responds by pointing to the warden’s testimony
that he once saw medical staff perform a cut-down as part of an
execution; but there’s no evidence that what the warden saw was an
attempt to access a femoral vein, as opposed to some other
vein.
Moreover, to the extent the record is unclear on
any of these issues, Mr. Bucklew had ample opportunity to conduct
discovery and develop a factual record concerning exactly what
procedures the State planned to use. He failed to do so—presumably
because the thrust of his constitutional claim was that any attempt to execute him via lethal injection would be
unconstitutional, regardless of the specific procedures the State
might use. As the court of appeals explained: “Having taken the
position that any lethal injection procedure would violate
the Eighth Amendment,” Mr. Bucklew “made no effort to determine
what changes, if any, the [State] would make in applying its lethal
injection protocol” to him, and he “never urged the district court
to establish a suitable fact-finding procedure . . . to
define the as-applied lethal injection protocol [the State] intends
to use.” 883 F. 3d, at 1095–1096.[ 2 ] Second , Mr. Bucklew contends that the
lethal injection itself will expose him to a substantial risk of
severe pain that could be eliminated by adopting his preferred
method. He claims that once the sedative pentobarbital is injected
he will “lose the ability to manage” the tumors in his airway and,
as a result, will experience a “sense of suffocation” for some
period of time before the State’s sedative renders him fully
unconscious. Brief for Petitioner 12–13. “It is during this
in-between twilight stage,” according to his expert, Dr. Zivot,
“that Mr. Bucklew is likely to experience prolonged feelings of
suffocation and excruciating pain.” App. 234. Mr. Bucklew admits
that similar feelings of suffocation could occur with nitrogen, the
only difference being the potential duration of the so-called
“twilight stage.” He contends that with nitrogen the stage would
last at most 20 to 30 seconds, while with pentobarbital it could
last up to several minutes.
But here again the record contains insufficient
evidence to permit Mr. Bucklew to avoid summary judgment. For
starters, in the courts below Mr. Bucklew maintained he would have
trouble managing his airway only if he were forced to lie supine,
which (as we’ve explained) the evidence shows he won’t be. (The
dissenters don’t address this point.) But even indulging his new
claim that he will have this difficulty regardless of position, he
still has failed to present colorable evidence that nitrogen would
significantly reduce his risk of pain. We can assume for argument’s
sake that Mr. Bucklew is correct that with nitrogen the twilight
stage would last 20 to 30 seconds. The critical question, then, is
how long that period might last with pentobarbital. The State’s
expert, Dr. Antognini, testified that pentobarbital, too, would
render Mr. Bucklew fully unconscious and incapable of experiencing
pain within 20 to 30 seconds. Id. , at 299–301, 432–433. Dr.
Zivot disagreed; but when he was asked how long he thought the
twilight stage would last with pentobarbital, his testimony was
evasive. Eventually, he said his “number would be longer than” 20
to 30 seconds, but he declined to say how much longer. Id. ,
at 195. Instead, he referenced a 2015 study on euthanasia in
horses. He said the study found that when horses were given a large
dose of pentobarbital (along with other drugs), they exhibited
“isoelectric EEG”—a complete absence of detectable brain
activity—after 52 to 240 seconds. Id. , at 194–196. The
district court assumed Dr. Zivot meant that “pain might be felt
until measurable brain activity ceases” and that, extrapolating
from the horse study, it might take up to four minutes for
pentobarbital to “induc[e] a state in which [Mr. Bucklew] could no
longer sense that he is choking or unable to breathe.” The district
court acknowledged, however, that this might be “a generous
interpretation of Dr. Zivot’s testimony.” Id. , at 822, and
n. 5.
In fact, there’s nothing in the record to
suggest that Mr. Bucklew will be capable of experiencing pain for
significantly more than 20 to 30 seconds after being injected with
pentobarbital. For one thing, Mr. Bucklew’s lawyer now admits that
Dr. Zivot “crossed up the numbers” from the horse study. Tr. of
Oral Arg. 7–8, 11–12. The study actually reported that the horses
displayed isoelectric EEG between 2 and 52 seconds after infusion
of pentobarbital was completed, with an average time of less than
24 seconds. App. 267. So if anything, the horse study appears to
bolster Dr. Antognini’s time estimate. For another thing, everyone
now also seems to acknowledge that isoelectric EEG is the wrong
measure. Dr. Zivot never claimed the horses were capable of
experiencing pain until they reached isoelectric EEG. And Mr.
Bucklew’s lawyer now concedes that doctors perform major surgery on
human patients with measurable EEG readings, which strongly
suggests that Mr. Bucklew will be insensible to pain before reaching isoelectric EEG. Tr. of Oral Arg. 9. Finally, the record
evidence even allows the possibility that nitrogen could increase the risk of pain. Because Dr. Zivot declined to
testify about the likely effects of nitrogen gas, Mr. Bucklew must
rely on Dr. Antognini’s testimony. And while Dr. Antognini did say
he thought nitrogen’s “onset of action” could be “relatively fast,”
App. 458, he added that the effects of nitrogen could vary
depending on exactly how it would be administered—information Mr.
Bucklew hadn’t provided. Indeed, he stated that “depending on
. . . how it’s used, you might get more suffering from
nitrogen gas than you would have” from the State’s current
protocol. Id. , at 460–461.
Of course, the principal dissent maintains that
Dr. Zivot’s testimony supports an inference that pentobarbital
might cause Mr. Bucklew to suffer for a prolonged period. But its
argument rests on a number of mistakes about the record. For
example, the dissent points to Dr. Zivot’s remark that, with
pentobarbital, “ ‘the period of time between receiving the
injection and death could range over a few minutes to many
minutes.’ ” Post , at 4, 6 (quoting App. 222). From
this, the dissent concludes that Mr. Bucklew may suffer for “up to
several minutes.” Post , at 1, 6, 9. But everyone agrees that
the relevant question isn’t how long it will take for Mr. Bucklew
to die, but how long he will be capable of feeling pain. Seeking to
address the problem, the dissent next points to another part
of Dr. Zivot’s testimony and says it means Mr. Bucklew could
experience pain during the entire time between injection and death. Post , at 6, 13 (quoting App. 222). But the dissent clips the
relevant quotation. As the full quotation makes clear, Dr. Zivot
claimed that Mr. Bucklew might be unable to “maintain the integrity
of his airway” until he died—but he carefully avoided claiming that
Mr. Bucklew would be capable of feeling pain until he
died.[ 3 ] To avoid this problem, the dissent quotes Dr. Zivot’s assertions that
pentobarbital might not produce “ ‘rapid
unconsciousness’ ” and that Mr. Bucklew’s suffering with
pentobarbital could be “ ‘prolonged.’ ” Post , at
4–6, 13 (quoting App. 233–234). But Dr. Zivot’s statements here,
too, fail to specify how long Mr. Bucklew is likely to be able to
feel pain. The hard fact is that, when Dr. Zivot was finally compelled to offer a view on this question, his only response was
to refer to the horse study. Id. , at 195–196. The dissent’s
effort to suggest that Dr. Zivot “did not rely exclusively or even
heavily on that study,” post , at 7, is belied by (among
other things) Mr. Bucklew’s own brief in this Court, which asserted
that the twilight stage during which he might feel pain could last
“between 52 and 240 seconds,” based entirely on a citation of Dr.
Zivot’s incorrect testimony about the horse study. Brief for
Petitioner 13.
In sum, even if execution by nitrogen hypoxia
were a feasible and readily implemented alternative to the State’s
chosen method, Mr. Bucklew has still failed to present any evidence
suggesting that it would significantly reduce his risk of pain. For
that reason as well, the State was entitled to summary judgment on
Mr. Bucklew’s Eighth Amendment claim.[ 4 ]
IV
“Both the State and the victims of crime have
an important interest in the timely enforcement of a sentence.” Hill , 547 U. S., at 584. Those interests have been
frustrated in this case. Mr. Bucklew committed his crimes more than
two decades ago. He exhausted his appeal and separate state and
federal habeas challenges more than a decade ago. Yet since then he
has managed to secure delay through lawsuit after lawsuit. He filed
his current challenge just days before his scheduled execution.
That suit has now carried on for five years and yielded two appeals
to the Eighth Circuit, two 11th-hour stays of execution, and
plenary consideration in this Court. And despite all this, his suit
in the end amounts to little more than an attack on settled
precedent, lacking enough evidence even to survive summary
judgment—and on not just one but many essential legal elements set
forth in our case law and required by the Constitution’s original
meaning.
The people of Missouri, the surviving victims of
Mr. Bucklew’s crimes, and others like them deserve better. Even the
principal dissent acknowledges that “the long delays that now
typically occur between the time an offender is sentenced to death
and his execution” are “excessive.” Post , at 16. The answer
is not, as the dissent incongruously suggests, to reward those who
interpose delay with a decree ending capital punishment by judicial
fiat. Post , at 18. Under our Constitution, the question of
capital punishment belongs to the people and their representatives,
not the courts, to resolve. The proper role of courts is to ensure
that method-of-execution challenges to law- fully issued sentences
are resolved fairly and expeditiously. Courts should police
carefully against attempts to use such challenges as tools to
interpose unjustified delay. Last-minute stays should be the
extreme exception, not the norm, and “the last-minute nature of an
application” that “could have been brought” earlier, or “an
applicant’s attempt at manipulation,” “may be grounds for denial of
a stay.” Hill , 547 U. S., at 584 (internal quotation
marks omitted). So, for example, we have vacated a stay entered by
a lower court as an abuse of discretion where the inmate waited to
bring an available claim until just 10 days before his scheduled
execution for a murder he had committed 24 years earlier. See Dunn v. Ray , 586 U. S. ___ (2019).[ 5 ] If litigation is allowed to proceed,
federal courts “can and should” protect settled state judgments
from “undue interference” by invoking their “equitable powers” to
dismiss or curtail suits that are pursued in a “dilatory” fashion
or based on “speculative” theories. Id. , at 584–585.
*
The judgment of the court of appeals is
Affirmed. Notes 1 While this case has been
pending, a few States have authorized nitrogen hypoxia as a method
of execution. See 2018 Ala. Acts no. 2018–353 (allowing condemned
inmates to elect execution by nitrogen hypoxia); 2017 Miss. Laws
ch. 406, p. 905 (authorizing execution by nitrogen hypoxia only if
lethal injection is held unconstitutional or is otherwise
unavailable); 2015 Okla. Sess. Laws ch. 75, p. 244 (same). In March
2018, officials in Oklahoma announced that, due to the
unavailability of lethal injection drugs, the State would use
nitrogen gas for its executions going forward. See Williams,
Oklahoma Proposes To Use Nitrogen Gas for Executions by
Asphyxiation, N. Y. Times, Mar. 15, 2018, p. A22. But Oklahoma has
so far been unable to find a manufacturer willing to sell it a gas
delivery device for use in executions. See Clay, State Not Ready
for Executions, The Oklahoman, Jan. 27, 2019, p. A1. To date, no
one in this case has pointed us to an execution in this country
using nitrogen gas. 2 While the district court
allowed discovery on many other matters, Mr. Bucklew protests that
it did not permit him to learn the identities of the lethal
injection execution team members, to depose them, or to inquire
into their qualifications, training, and experience. Like the
Eighth Circuit, we see no abuse of discretion in the district
court’s discovery rulings. As the district court explained, Mr.
Bucklew argues that there is no way he may be constitutionally
executed by lethal injection, even with modifications to the
State’s lethal injection protocol. And in a case like that,
discovery into such granular matters as who administers the
protocol simply is not relevant. 3 Here’s the full
quotation, with the portion quoted by the dissent underlined: “As a
result of his inability to maintain the integrity of his airway for
the period of time beginning with the injection of the
Pentobarbital solution and ending with Mr. Bucklew’s death several
minutes to as long as many minutes later, Mr. Bucklew would be
highly likely to experience feelings of ‘air hunger’ and the
excruciating pain of prolonged suffocation resulting from the
complete obstruction of his airway by the large vascular tumor.”
App. 222. 4 The State contends that
Mr. Bucklew’s claim should fail for yet another reason: because, in
the State’s view, the evidence does not show that he is very likely
to suffer “ ‘ severe pain’ ” cognizable under the
Eighth Amendment. Glossip v. Gross , 576 U. S.
___, ___ (2015) (slip op., at 13) (quoting Baze v. Rees , 553 U.S.
35 , 52 (2008); emphasis added). We have no need, however, to
address that argument because (as explained above) Mr. Bucklew
fails even to show that a feasible and readily available
alternative could significantly reduce the pain he
alleges. 5 Seeking to relitigate Dunn v. Ray , the principal dissent asserts that that
case involved no undue delay because the inmate “brought his claim
only five days after he was notified” that the State would not
allow his spiritual adviser to be present with him in the execution
chamber itself, although it would allow the adviser to be
present on the other side of a glass partition. Post , at 17.
But a state statute listed “[t]he spiritual adviser of the
condemned” as one of numerous individ-uals who would be allowed to
“be present at an execution,” many of whom—such as “newspaper
reporters,” “relatives or friends of the condemned person,” and
“the victim’s immediate family members”—obviously would not be
allowed into the chamber itself. Ala. Code §15–18–83 (2018). The
inmate thus had long been on notice that there was a question
whether his adviser would be allowed into the chamber or required
to remain on the other side of the glass. Yet although he had been
on death row since 1999, and the State had set a date for his
execution on November 6, 2018, he waited until January 23,
2019—just 15 days before the execution—to ask for clarification. He
then brought a claim 10 days before the execution and sought an
indefinite stay. This delay implicated the “strong equitable
presumption” that no stay should be granted “where a claim could
have been brought at such a time as to allow consideration of the
merits without requiring entry of a stay.” Hill v. McDonough , 547 U.S. 573, 584 (2006). SUPREME COURT OF THE UNITED STATES
_________________
No. 17–8151
_________________
RUSSELL BUCKLEW, PETITIONER v. ANNE L.
PRECYTHE, DIRECTOR, MISSOURI DEPARTMENT OF CORRECTIONS,
et al.
on writ of certiorari to the united states
court of appeals for the eighth circuit
[April 1, 2019]
Justice Thomas, concurring.
I adhere to my view that “a method of execution
violates the Eighth Amendment only if it is deliberately designed
to inflict pain.” Baze v. Rees , 553 U.S.
35 , 94 (2008) (opinion concurring in judgment); ante , at
14. Because there is no evidence that Missouri designed its
protocol to inflict pain on anyone, let alone Russell Bucklew, I
would end the inquiry there. Nonetheless, I join the Court’s
opinion in full because it correctly explains why Bucklew’s claim
fails even under the Court’s precedents.
I write separately to explain why Justice
Breyer’s dissenting opinion does not cast doubt on this standard. Post , at 15–16. As I explained in Baze , “the evil the
Eighth Amendment targets is intentional infliction of gratuitous
pain.” 553 U. S., at 102 (opinion concurring in judgment). The
historical evidence shows that the Framers sought to disable
Congress from imposing various kinds of torturous punishments, such
as “ ‘gibbeting,’ ” “burning at the stake,” and
“ ‘embowelling alive, beheading, and quartering.’ ” Id. , at 95–98 (quoting 4 W. Blackstone, Commentaries *376
(Blackstone), and S. Banner, The Death Penalty: An American History
71–72 (2002)). In England, these aggravated forms of capital
punishment were “ ‘superadded’ ” to increase terror and
disgrace for “ ‘very atrocious crimes,’ ” such as treason
and murder. See Baze , supra , at 96–97 (quoting 4
Blackstone *376). The founding generation ratified the Eighth
Amendment to reject that practice, contemplating that capital
punishment would continue, but without those punishments
deliberately designed to superadd pain. See Baze , 553
U. S., at 97–98. Under this view, the constitutionality of a
particular execution thus turns on whether the Government
“deliberately designed” the method of execution “to inflict pain,” id., at 94, without regard to the subjective intent of the
executioner.
Contrary to Justice Breyer’s suggestion, my view
does not render the Eighth Amendment “a static prohibition”
proscribing only “the same things that it proscribed in the 18th
century.” Post, at 15–16. A method of execution not
specifically contemplated at the founding could today be imposed to
“superad[d]” “terror, pain, or disgrace.” 4 Blackstone *376.
Thankfully—and consistent with Justice Story’s view that the Eighth
Amendment is “wholly unnecessary in a free government,” 3 J. Story,
Commentaries on the Constitution of the United States 750
(1833)—States do not attempt to devise such diabolical punishments. E.g. , Baze , supra , at 107 (“Kentucky adopted
its lethal injection protocol in an effort to make capital
punishment more humane”). It is therefore unsurprising that,
despite Justice Breyer’s qualms about the death pen- alty, e.g. , post , at 18, this Court has never held a method
of execution unconstitutional. Because the Court correctly declines
to do so again today, I join in full. SUPREME COURT OF THE UNITED STATES
_________________
No. 17–8151
_________________
RUSSELL BUCKLEW, PETITIONER v. ANNE L.
PRECYTHE, DIRECTOR, MISSOURI DEPARTMENT OF CORRECTIONS,
et al.
on writ of certiorari to the united states
court of appeals for the eighth circuit
[April 1, 2019]
Justice Kavanaugh, concurring.
When an inmate raises an as-applied constitutional challenge to a particular method of execution—that
is, a challenge to a method of execution that is constitutional in
general but that the inmate says is very likely to cause him severe
pain—one question is whether the inmate must identify an available
alternative method of execution that would significantly reduce the
risk of severe pain. Applying our recent decisions in Glossip v. Gross , 576 U. S. ___ (2015), and Baze v. Rees , 553 U.S.
35 (2008) (plurality opinion), the Court’s answer to that
question is yes. Under those precedents, I agree with the Court’s
holding and join the Court’s opinion.
I write to underscore the Court’s additional
holding that the alternative method of execution need not be
authorized under current state law—a legal issue that had been
uncertain before today’s decision. See Arthur v. Dunn , 580 U. S. ___, ___–___ (2017) (slip op., at 9–11)
(Sotomayor, J., dissenting from denial of certiorari). Importantly,
all nine Justices today agree on that point. Ante , at 19; post , at 14 (Breyer, J., dissenting).
As the Court notes, it follows from that
additional holding that the burden of the alternative-method
requirement “can be overstated.” Ante , at 19. Indeed, the
Court states: “[W]e see little likelihood that an inmate facing a
serious risk of pain will be unable to identify an available
alternative.” Ante , at 20.
In other words, an inmate who contends that a
particular method of execution is very likely to cause him severe
pain should ordinarily be able to plead some alternative method of
execution that would significantly reduce the risk of severe pain.
At oral argument in this Court, the State suggested that the firing
squad would be such an available alternative, if adequately
pleaded. Tr. of Oral Arg. 63–64 (“He can plead firing squad. . . .
Of course, if he had . . . pleaded firing squad, it’s
possible that Missouri could have executed him by firing squad”).
Justice Sotomayor has likewise explained that the firing squad is
an alternative method of execution that generally causes an
immediate and certain death, with close to zero risk of a botched
execution. See Arthur , 580 U. S., at ___–___ (slip op.,
at 17–18). I do not here prejudge the question whether the firing
squad, or any other alternative method of execution, would be a
feasible and readily implemented alternative for every State. See McGehee v. Hutchinson , 854 F.3d 488, 493–494 (CA8
2017). Rather, I simply emphasize the Court’s statement that “we
see little likelihood that an inmate facing a serious risk of pain
will be unable to identify an available alternative.” Ante ,
at 20. SUPREME COURT OF THE UNITED STATES
_________________
No. 17–8151
_________________
RUSSELL BUCKLEW, PETITIONER v. ANNE L.
PRECYTHE, DIRECTOR, MISSOURI DEPARTMENT OF CORRECTIONS,
et al.
on writ of certiorari to the united states
court of appeals for the eighth circuit
[April 1, 2019]
Justice Breyer, with whom Justice Ginsburg,
Justice Sotomayor, and Justice Kagan join as to all but Part III,
dissenting.
The Court’s decision in this case raises three
questions. The first is primarily a factual question, namely,
whether Bucklew has established genuine issues of material fact
concerning whether executing him by lethal injection would cause
him excessive suffering. The second is primarily a legal question,
namely, whether a prisoner like Bucklew with a rare medical
condition must identify an alternative method by which the State
may execute him. And the third is a more general question, namely,
how to minimize delays in executing offenders who have been
condemned to death.
I disagree with the majority’s answers to all
three questions. Bucklew cites evidence that executing him by
lethal injection will cause the tumors that grow in his throat to
rupture during his execution, causing him to sputter, choke, and
suffocate on his own blood for up to several minutes before he
dies. That evidence establishes at this stage of the proceedings
that executing Bucklew by lethal injection risks subjecting him to
constitutionally impermissible suffering. The majority holds that
the State may execute him anyway. In my view, that holding violates
the clear command of the Eighth Amendment.
I
I begin with a factual question: whether
Bucklew has established that, because of his rare medical
condition, the State’s current method of execution risks subjecting
him to excessive suffering. See Glossip v. Gross , 576
U. S. ___, ___ (2015) (slip op., at 13) (requiring “a
demonstrated risk of severe pain”); see also Baze v. Rees , 553 U.S.
35 , 50 (2008) (plurality opinion) (requiring “a substantial
risk of serious harm” (internal quotation marks omitted)).
There is no dispute as to the applicable summary
judgment standard. Because the State moved for summary judgment, it
can prevail if, but only if, it “shows that there is no genuine
dispute as to any material fact.” Fed. Rule Civ. Proc. 56(a); see
also Anderson v. Liberty Lobby, Inc. , 477 U.S.
242 , 248 (1986). On review, we examine the record as a whole,
which includes “depositions, documents, [and] affidavits or
declarations.” Rule 56(c). And we must construe the evidence in the
light most favorable to Bucklew and draw every justifiable
inference in his favor. See Tolan v. Cotton , 572 U.S.
650, 651 (2014) ( per curiam ).
A
Bucklew has easily established a genuine issue
of material fact regarding whether an execution by lethal injection
would subject him to impermissible suffering.
The record indicates that Bucklew suffers from a
congenital condition known as cavernous hemangioma that causes
tumors filled with blood vessels to grow throughout his body,
including in his head, face, neck, and oral cavity. The condition
is rare. One study estimates that hemangiomas in the oral cavity
occur in less than one percent of the population, and that
hemangiomas like Bucklew’s have been identified in five cases. See
Wang, Chen, Mojica, & Chen, Cavernous Hemangioma of the Uvula,
8 N. Am. J. Med. & Sci. 56, 56–59 (2015).
Tumors grow out of Bucklew’s lip and over his
mouth, as well as on his hard and soft palates. One tumor also
grows directly on Bucklew’s uvula, which has become “grossly
enlarged” as a result. App. 225. (The uvula is the “pendent fleshy
lobe” that hangs from the back of the throat. Merriam-Webster’s
Collegiate Dictionary 1379 (11th ed. 2003).) Bucklew’s tumors
obstruct his airway and make it difficult for him to breathe. His
difficulty breathing is chronic, but is particularly acute when he
lies flat and gravity pulls his engorged uvula into his airway. He
often has to adjust the positioning of his head to prevent his
uvula from obstructing his breathing. He sleeps at a 45-degree
angle to facilitate breathing, and he often wakes up in the middle
of the night gasping for air.
Due to the sensitivity of his tumors, even
minimal contact may cause them to hemorrhage. He has described past
hemorrhages as “ ‘squirting’ ” or “leaking” blood, and he
states that the first thing he does each morning is to wipe the
blood off his face that leaked from his nose and mouth as he slept.
Bucklew’s condition is progressive and, due to the risk of
significant blood loss caused by the sensitivity of his tumors,
cannot be treated by surgery.
Bucklew maintains that, as a result of this
medical condition, executing him by lethal injection would prove
excruciatingly painful. In support of this claim, Bucklew submitted
sworn declarations and deposition testimony from an expert witness,
Dr. Joel Zivot, an anesthesiologist. Dr. Zivot provided extensive
testimony regarding the pain that Bucklew would likely endure in an
execution by lethal injection:
Dr. Zivot testified that in light of “the
degree to which Mr. Bucklew’s airway is compromised by the
hemangiomas” and “the particular psychological and physical effects
of lethal injection, it is highly likely that Mr. Bucklew would be
unable to maintain the integrity of his airway during the time
after receiving the lethal injection and before death.” App.
221.
Dr. Zivot explained that, as a result of “the
highly friable and fragile state of the tissue of Mr. Bucklew’s
mouth and airway,” Bucklew “will likely experience hemorrhaging
and/or the possible rupture of the tumor” on his uvula during his
execution. Id ., at 222.
Dr. Zivot added that the “hemorrhaging will
further impede Mr. Bucklew’s airway by filling his mouth and airway
with blood, causing him to choke and cough on his own blood.” Ibid .
Dr. Zivot concluded that “it is highly likely
that Mr. Bucklew, given his specific congenital medical condition,
cannot undergo lethal injection without experiencing the
excruciating pain and suffering” of “suffocation, convulsions, and
visible hemorrhaging.” Id ., at 223.
Dr. Zivot also testified about the duration of
pain to which an execution by lethal injection would subject
Bucklew, describing it as “prolonged.” Id ., at 234.
Dr. Zivot stated that the effects of a
pentobarbital injection “are highly unlikely to be instantaneous
and the period of time between receiving the injection and death
could range over a few minutes to many minutes .” Id .,
at 222 (emphasis added).
Dr. Zivot “strongly disagree[d] with [the
State’s expert’s] repeated claim that the pentobarbital injection
would result in ‘rapid unconsciousness.’ ” Id ., at
233.
Dr. Zivot explained that Bucklew “would likely
experience unconsciousness that sets in progressively as the
chemical circulates through his system” and that it was during this
period that Bucklew was “likely to experience prolonged feelings of
suffocation and excruciating pain.” Id ., at 233–234.
The State asked the District Court to grant
summary judgment in its favor on the theory that Bucklew failed to
identify a genuine factual issue regarding whether an execution by
lethal injection would be impermissibly painful. The District Court
refused. The court believed that Bucklew had adequately shown that
for up to several minutes he “could be aware that he is choking or
unable to breathe but be unable to ‘adjust’ his breathing to remedy
the situation.” Id ., at 827. Recognizing that the State’s
evidence suggested that Bucklew would experience this choking
sensation for a shorter period, the District Court concluded that
the dispute between the experts was “a factual dispute that the
Court cannot resolve on summary judgment, and would have to be
resolved at trial.” Ibid. The District Court was right. The evidence,
taken in the light most favorable to Bucklew, creates a genuine
factual issue as to whether Missouri’s lethal injection protocol
would subject him to several minutes of “severe pain and
suffering,” Glossip , 576 U. S., at ___ (slip op., at
13), during which he would choke and suffocate on his own blood. In
my view, executing Bucklew by forcing him to choke on his grossly
enlarged uvula and suffocate on his blood would exceed “the limits
of civilized standards.” Kennedy v. Louisiana , 554 U.S.
407 , 435 (2008) (internal quotation marks omitted); see also Trop v. Dulles , 356 U.S.
86 , 100–101 (1958) (plurality opinion). The experts dispute
whether Bucklew’s execution will prove as unusually painful as he
claims, but resolution of that dispute is a matter for trial.
B
The majority, while characterizing the matter
as “critical,” says that there is “nothing in the record to suggest
that Mr. Bucklew will be capable of experiencing pain for
significantly more than 20 to 30 seconds after being injected with
pentobarbital.” Ante , at 26. But what about Dr. Zivot’s
testimony that the time between injection and death “could range
over a few minutes to many minutes”? App. 222. What about Dr.
Zivot’s characterization of the pain involved as “prolonged”? Id. , at 234. What about Dr. Zivot’s “stron[g] disagree[ment]
with [the State’s expert’s] repeated claim that the pentobarbital
injection would result in ‘rapid unconsciousness’ ”? Id ., at 233.
The majority construes Dr. Zivot’s testimony
to show only that Bucklew might remain alive for several minutes
after the injection, not that he will be capable of feeling pain
for several minutes after the injection. Ante , at 27. But
immediately following his prediction that the time between
injection and death could range up to many minutes, Dr. Zivot
stated that “beginning with the injection of the Pentobarbital
solution and ending with Mr. Bucklew’s death several minutes to
as long as many minutes later, Mr. Bucklew would be highly
likely to experience feelings of ‘air hunger’ and the
excruciating pain of prolonged suffocation .” App. 222 (emphasis
added). Dr. Zivot thus testified both that lethal injection would
take up to several minutes to kill Bucklew and that Bucklew would
experience excruciating pain during this period. And it is not the
case, as the majority believes, that Dr. Zivot “carefully avoided
claiming that Mr. Bucklew would be capable of feeling pain until he
died,” ante , at 28, particularly given that the record must
be construed in the light most favorable to Bucklew.
The majority also justifies its refusal to
credit Dr. Zivot’s testimony on the ground that Dr. Zivot gave a
response during his deposition suggesting that he misinterpreted a
study of euthanasia in horses. Ante , at 26–27. Bucklew’s
expert, however, did not rely exclusively or even heavily upon that
study; he mentioned it only in response to a question posed in his
deposition. To the contrary, Dr. Zivot explained that his testimony
regarding the pain to which Bucklew would be subjected was
“supported both by [his] own professional knowledge of how
chemicals of this type are likely to exert their effects in the
body as well as by the terms of Missouri’s Execution Procedure.”
App. 222.
Whether any mistake about the importance of a
single study makes all the difference to Bucklew’s case is a matter
not for this Court to decide at summary judgment, but for the
factfinder to resolve at trial. As Judge Colloton pointed out in
dissent below, attacks on the “reliability and credibility of Dr.
Zivot’s opinion,” including “his possible misreading of the horse
study on which he partially relied,” give rise to factual disputes.
See 883 F.3d 1087, 1099 (CA8 2018). Judge Colloton therefore
concluded that “[t]he district court did not err in concluding that
it could not resolve the dispute between the experts on summary
judgment.” Ibid. I agree.
II
This case next presents a legal question. The
Court in Glossip held in the context of a facial challenge
to a State’s execution protocol that the plaintiffs were required
not only to establish that the execution method gave rise to a
“demonstrated risk of severe pain,” but also to identify a “known
and available” alternative method. 576 U. S., at ___ (slip
op., at 13). The Court added that the alternative must be
“feasible, readily implemented, and in fact significantly reduc[e]
a substantial risk of severe pain.” Id., at ___–___ (slip
op., at 12–13) (internal quotation marks omitted).
I joined the dissent in Glossip, but for
present purposes I accept the Glossip majority opinion as
governing. I nonetheless do not believe its “alternative method”
requirement applies in this case. We “often read general language
in judicial opinion[s] as referring in context to circumstances
similar to the circumstances then before the Court and not
referring to quite different circumstances that the Court was not
then considering.” Illinois v. Lidster , 540 U.S.
419 , 424 (2004). And while I acknowledge that the Court in Glossip spoke in unqualified terms, the circumstances in Glossip were indeed “different” in relevant respects from
the circumstances presented here.
A
The plaintiffs in Glossip undertook an
across-the-board attack against the use of a particular execution
method, which they maintained violated the Eighth Amendment
categorically. In this case, by contrast, Bucklew does not attack
Missouri’s lethal injection protocol categorically, or even in
respect to any execution other than his own. Instead, he maintains
that he is special; that he suffers from a nearly unique illness;
and that, by virtue of that illness, Missouri’s execution method
will be excruciatingly painful for him even though it would not
affect others in the same way. These differences make a
difference. First , these differences show that the
reasons that underlie Glossip ’s “alternative method”
requirement do not apply here.
The Glossip Court stressed the importance
of preventing method-of-execution challenges from becoming a
backdoor means to abolish capital punishment in general. The Court
wrote that “because it is settled that capital punishment is
constitutional, it necessarily follows that there must be a
constitutional means of carrying it out.” Glossip , 576
U. S., at ___ (slip op., at 4) (alterations omitted). The
Court added that “we have time and again reaffirmed that capital
punishment is not per se unconstitutional.” Id. , at
___ (slip op., at 16). And the Court feared that allowing prisoners
to invalidate a State’s method of execution without identifying an
alternative would “effectively overrule these decisions.” Ibid. But there is no such risk here. Holding Missouri’s
lethal injection protocol unconstitutional as applied to
Bucklew—who has a condition that has been identified in only five
people, see supra, at 2–3—would not risk invalidating the
death penalty in Missouri. And, because the State would remain free
to execute prisoners by other permissible means, declining to
extend Glossip ’s “alternative method” requirement in this
context would be unlikely to exempt Bucklew or any other prisoner
from the death penalty. Even in the unlikely event that the State
could not identify a permissible alternative in a particular case,
it would be perverse to treat that as a reason to execute a
prisoner by the method he has shown to involve excessive
suffering.
The Glossip Court, in adopting the
“alternative method” requirement, relied on The Chief Justice’s
plurality opinion in Baze , which discussed the need to avoid
“intrud[ing] on the role of state legislatures in implementing
their execution procedures.” 553 U. S., at 51; see also ante , at 13 (we owe “a measure of deference to a State’s
choice of execution procedures” (internal quotation marks
omitted)). But no such intrusion problem exists in a case like this
one. When adopting a method of execution, a state legislature will
rarely consider the method’s application to an individual who, like
Bucklew, suffers from a rare disease. It is impossible to believe
that Missouri’s legislature, when adopting lethal injection,
considered the possibility that it would cause prisoners to choke
on their own blood for up to several minutes before they die.
Exempting a prisoner from the State’s chosen method of execution in
these circumstances does not interfere with any legislative
judgment.
The Court in Glossip may have also
believed that the identification of a permissible alternative
method of execution would provide a reference point to assist in
determining how much pain in an execution is too much pain. See 576
U. S., at ___–___ (slip op., at 12–13); Baze , 553
U. S., at 47, 51 (plurality opinion); see also ante , at
15 (arguing that determining the constitutionality of a method of
execution “is a necessarily comparative exercise”). But
there is no need for any such reference point in a case like this.
Bucklew accepts the constitutionality of Missouri’s chosen
execution method as to prisoners who do not share his medical
condition. See Brief for Petitioner 36. We are informed that this
method has been used in 20 executions, apparently without
subjecting prisoners to undue pain. See Brief for Respondents 5. To
the extent that any comparator is needed, those executions provide
a readymade, built-in comparator against which a court can measure
the degree of excessive pain Bucklew will suffer. Second , precedent counsels against
extending Glossip . Neither this Court’s oldest
method-of-execution case, Wilkerson v. Utah , 99 U.S.
130 (1879) , nor any subsequent decision of this Court
until Glossip , held that prisoners who challenge a State’s
method of execution must identify an alternative means by which the
State may execute them. To the contrary, in Hill v. McDonough , 547 U.S. 573 (2006), the Court squarely and
unanimously rejected the argument that a prisoner must “identif[y]
an alternative, authorized method of execution.” Id. , at
582. The Court noted that any such requirement would “change the
traditional pleading requirements for §1983 actions,” which we were
not at liberty to do. Ibid. It is thus difficult to see how
the “alternative-method” requirement could be “compelled by our
understanding of the Constitution,” ante , at 17, even though
the Constitution itself never hints at such a requirement, even
though we did not apply such a requirement in more than a century
of method-of-execution cases, and even though we unanimously
rejected such a requirement in Hill . And while the Court in Glossip did not understand itself to be bound by Hill , see Glossip , 576 U. S., at ___ (slip op.,
at 15) (distinguishing Hill on the theory that Hill merely rejected a heightened pleading requirement for §1983 suits),
the two decisions remain in considerable tension. Confining Glossip ’s “alternative method” requirement to facial
challenges would help to reconcile them. Third , the troubling implications of
today’s ruling provide the best reason for declining to extend Glossip ’s “alternative method” requirement. The majority
acknowledges that the Eighth Amendment prohibits States from
executing prisoners by “ ‘horrid modes of torture’ ” such
as burning at the stake. Ante , at 10. But the majority’s
decision permits a State to execute a prisoner who suffers from a
medical condition that would render his execution no less painful.
Bucklew has provided evidence of a serious risk that his execution
will be excruciating and grotesque. The majority holds that the
State may execute him anyway. That decision confirms the warning
leveled by the Glossip dissent—that the Court has converted
the Eighth Amendment’s “categorical prohibition into a conditional
one.” 576 U. S., at ___ (opinion of Sotomayor, J.) (slip op.,
at 24).
B
Even assuming for argument’s sake that Bucklew
must bear the burden of showing the existence of a “known and
available” alternative method of execution that “significantly
reduces a substantial risk of severe pain,” id ., at ___
(majority opinion) (slip op., at 13) (alteration and internal
quotation marks omitted), Bucklew has satisfied that burden. The
record contains more than enough evidence on the point to raise
genuine and material factual issues that preclude summary
judgment.
Bucklew identified as an alternative method of
execution the use of nitrogen hypoxia, which is a form of execution
by lethal gas. Missouri law permits the use of this method of
execution. See Mo. Rev. Stat. §546.720 (2002). Three other
States—Alabama, Mississippi, and Okla-homa—have specifically
authorized nitrogen hypoxia as a method of execution. See ante, at 22, n. 1. And Bucklew introduced into the
record reports from Oklahoma and Louisiana indicating that nitrogen
hypoxia would be simple and painless. These reports summarized the
scientific literature as indicating that there is “no reported
physical discom[fort] associated with inhaling pure nitrogen,” App.
742, that the “onset of hypoxia is typically so subtle that it is
unnoticeable to the subject,” id ., at 745, and that nitrogen
hypoxia would take an estimated “seventeen-to-twenty seconds” to
render a subject unconscious, id., at 746–747. The Oklahoma
study concluded that nitrogen hypoxia is “the most humane method”
of execution available. Id., at 736. And the Louisiana study
stated that the “[u]se of nitrogen as a method of execution can
assure a quick and painless death of the offender.” Id ., at
746.
How then can the majority conclude that Bucklew
has failed to identify an alternative method of execution? The
majority finds Bucklew’s evidence inadequate in part because, in
the majority’s view, it does not show that nitrogen hypoxia will
“significantly reduce” Bucklew’s risk of pain as compared with
lethal injection. Ante , at 23. But the majority does not
dispute the evidence suggesting that nitrogen hypoxia would be
“quick and painless” and would take effect in 20 to 30 seconds. The
majority instead believes that “nothing in the record” suggests
that lethal injection would take longer than nitrogen gas to take
effect. Ante , at 26. As I have already explained, the
majority reaches this conclusion by overlooking considerable
evidence to the contrary—such as Dr. Zivot’s testimony that
Bucklew’s pain would likely prove “prolonged,” App. 234, that
lethal injection would not “result in ‘rapid
unconsciousness,’ ” id ., at 233, and that from the time
of injection to “Mr. Bucklew’s death several minutes to as long as
many minutes later, Mr. Bucklew would be highly likely to
experience . . . the excruciating pain of prolonged
suffocation,” id ., at 222. In discounting this evidence, the
majority simply fails “to adhere to the axiom that in ruling on a
motion for summary judgment, the evidence of the nonmovant is to be
believed, and all justifiable inferences are to be drawn in his
favor.” Tolan , 572 U. S., at 651 (internal quotation
marks and alteration omitted).
The majority additionally believes that
Bucklew’s evidence fails to show that nitrogen hypoxia would be
easy to implement. Ante , at 21. But the reports from
Oklahoma and Louisiana tell a different story. The Louisiana report
states that nitrogen hypoxia would be “simple to administer.” App.
737. The Oklahoma report similarly concludes that “[d]eath
sentences carried out by nitrogen inhalation would be simple to
administer.” Id ., at 746; see also id., at 696. The
reports explain that nitrogen hypoxia would “not require the use of
a complex medical procedure or pharmaceutical products,” id ., at 747, would “not require the assistance of licensed
medical professionals,” id ., 736, and would require only
materials that are “readily available for purchase,” id., at
739. Further, “[b]ecause the protocol involved in nitrogen induced
hypoxia is so simple, mistakes are unlikely to occur.” Id .,
at 748. And both studies recommend the development of protocols for
actual implementation. See id., at 697 (Oklahoma report
recommending development of “a nitrogen hypoxia protocol”); id., at 736 (Louisiana report noting that although “the
exact protocol” has not been finalized, the report recommends “that
hypoxia induced by the inhalation of nitrogen be considered for
adoption”); see also Murphy, Oklahoma Says It Plans To Use Nitrogen
for Executions, USA Today, Mar. 15, 2018 (quoting the Oklahoma
attorney general’s statement that nitrogen “will be effective,
simple to administer, easy to obtain and requires no complex
medical procedures”); but cf. ante , at 21.
Presented with evidence such as Bucklew’s, I
believe a State should take at least minimal steps to determine the
feasibility of the proposed alternative. The responsible state
official in this case, however, acknowledged that he “did not
conduct research concerning the feasibility of lethal gas as a
method of execution in Missouri.” Id., at 713; see also
Record in No. 14–800 (WD Mo.), Doc. 182–6, p. 16 (different
official acknowledging that, “to be candid, no, I did not go out
and try to find answers to those questions”).
The majority sensibly recognizes that an inmate
seeking to identify an alternative method of execution “is not
limited to choosing among those presently authorized by a
particular State’s law.” Ante , at 19. But the majority
faults Bucklew for failing to provide guidance about the
administration of nitrogen hypoxia down to the last detail. The
majority believes that Bucklew failed to present evidence “on
essential questions” such as whether the nitrogen should be
administered “using a gas chamber, a tent, a hood, [or] a mask”; or
“in what concentration (pure nitrogen or some mixture of gases)” it
should be administered; or even how the State might “protec[t the
execution team] against the risk of gas leaks.” Ante, at
21.
Perhaps Bucklew did not provide these details.
But Glossip did not refer to any of these requirements;
today’s majority invents them. And to insist upon them is to create
what, in a case like this one, would amount to an insurmountable
hurdle for prisoners like Bucklew. That hurdle, I fear, could
permit States to execute even those who will endure the most
serious pain and suffering, irrespective of how exceptional their
case and irrespective of how thoroughly they prove it. I cannot
reconcile the majority’s decision with a constitutional Amendment
that forbids all “cruel and unusual punishments.” Amdt. 8.
C
Justice Thomas concurs in the majority’s
imposition of an “alternative method” requirement, but would also
permit Bucklew’s execution on the theory that a method of execution
violates the Eighth Amendment “ ‘only if it is deliberately
designed to inflict pain.’ ” Ante , at 1 (concurring
opinion) (quoting Baze , 553 U. S., at 94 (Thomas, J.,
concurring in judgment)). But that is not the proper standard.
For one thing, Justice Thomas’ view would make
the constitutionality of a particular execution turn on the intent
of the person inflicting it. But it is not correct that concededly
torturous methods of execution such as burning alive are
impermissible when imposed to inflict pain but not when imposed for
a subjectively different purpose. To the prisoner who faces the
prospect of a torturous execution, the intent of the person
inflicting the punishment makes no difference.
For another thing, we have repeatedly held that
the Eighth Amendment is not a static prohibition that proscribes
the same things that it proscribed in the 18th century. Rather, it
forbids punishments that would be considered cruel and unusual
today. The Amendment prohibits “unnecessary suffering” in the
infliction of punishment, which this Court has understood to
prohibit punishments that are “grossly disproportionate to the
severity of the crime” as well as punishments that do not serve any
“penological purpose.” Estelle v. Gamble , 429 U.S.
97 , 103, and n. 7 (1976). The Constitution prohibits gruesome
punishments even though they may have been common at the time of
the founding. Few would dispute, for example, the
unconstitutionality of “a new law providing public lashing, or
branding of the right hand, as punishment . . . [e]ven if
it could be demonstrated unequivocally that these were not cruel
and unusual measures in 1791.” Scalia, Originalism: The Lesser
Evil, 57 U. Cin. L. Rev. 849, 861 (1989). The question is not, as
Justice Thomas maintains, whether a punishment is deliberately
inflicted to cause unnecessary pain, but rather whether we would
today consider the punishment to cause excessive suffering.
III
Implicitly at the beginning of its opinion and
explicitly at the end, the majority invokes the long delays that
now typically occur between the time an offender is sentenced to
death and his execution. Bucklew was arrested for the crime that
led to his death sentence more than 20 years ago. And Bucklew’s
case is not an anomaly. The average time between sentencing and
execution approaches 18 years and in some instances rises to more
than 40 years. See Glossip , 576 U. S., at ___ (Breyer,
J., dissenting) (slip op., at 18); Reynolds v. Florida , 586 U. S. ___, ___ (2018) (Breyer, J.,
statement respecting denial of certiorari) (slip op., at 2).
I agree with the majority that these delays are
excessive. Undue delays in death penalty cases frustrate the
interests of the State and of surviving victims, who have “an
important interest” in seeing justice done quickly. Hill ,
547 U. S., at 584. Delays also exacerbate the suffering that
accompanies an execution itself. Glossip , 576 U. S., at
___–___ (Breyer, J., dissenting) (slip op., at 19–23). Delays can
“aggravate the cruelty of capital punishment” by subjecting the
offender to years in solitary confinement, and delays also
“undermine [capital punishment’s] jurisprudential rationale” by
reducing its deterrent effect and retributive value. Id., at
___, ___ (slip op., at 28, 32).
The majority responds to these delays by
curtailing the constitutional guarantees afforded to prisoners like
Bucklew who have been sentenced to death. By adopting elaborate new
rules regarding the need to show an alternative method of
execution, the majority places unwarranted obstacles in the path of
prisoners who assert that an execution would subject them to cruel
and unusual punishment. These obstacles in turn give rise to an
unacceptable risk that Bucklew, or others in yet more difficult
circumstances, may be executed in violation of the Eighth
Amendment. Given the rarity with which cases like this one will
arise, an unfortunate irony of today’s decision is that the
majority’s new rules are not even likely to improve the problems of
delay at which they are directed.
In support of the need to end delays in capital
cases, the majority refers to Dunn v. Ray , 586
U. S. ___ (2019). In that case, the Court vacated a stay of
execution on the ground that the prisoner brought his claim too
late. The prisoner in that case, however, brought his claim only
five days after he was notified of the policy he sought to
challenge. See id., at ___ (Kagan, J., dissenting) (slip
op., at 3). And in the view of some of us, the prisoner’s
claim—that prisoners of some faiths were entitled to have a
minister present at their executions while prisoners of other
faiths were not—raised a serious constitutional question. See id. , at ___ (slip op., at 2) (characterizing the Court’s
decision as “profoundly wrong”). And therein lies the problem. It
might be possible to end delays by limiting constitutional
protections for prisoners on death row. But to do so would require
us to pay too high a constitutional price.
Today’s majority appears to believe that because
“[t]he Constitution allows capital punishment,” ante , at 8,
the Constitution must allow capital punishment to occur quickly. In
reaching that conclusion the majority echoes an argument expressed
by the Court in Glossip , namely, that “because it is settled
that capital punishment is constitutional, it necessarily
follows that there must be a constitutional means of carrying
it out.” 576 U. S., at ___ (slip op., at 4) (emphasis added;
alterations and internal quotation marks omitted).
These conclusions do not follow. It may be that
there is no way to execute a prisoner quickly while affording him
the protections that our Constitution guarantees to those who have
been singled out for our law’s most severe sanction. And it may be
that, as our Nation comes to place ever greater importance upon
ensuring that we accurately identify, through procedurally fair
methods, those who may lawfully be put to death, there simply is no
constitutional way to implement the death penalty.
I have elsewhere written about these problems.
See id ., at ___–___ (Breyer, J., dissenting) (slip op., at
29–33). And I simply conclude here that the law entitles Bucklew to
an opportunity to prove his claim at trial. I note, however, that
this case adds to the mounting evidence that we can either have a
death penalty that avoids excessive delays and “arguably serves
legitimate penological purposes,” or we can have a death penalty
that “seeks reliability and fairness in the death penalty’s
application” and avoids the infliction of cruel and unusual
punishments. Id. , at ___ (slip op., at 32). It may well be
that we “cannot have both.” Ibid. * * *
I respectfully dissent. SUPREME COURT OF THE UNITED STATES
_________________
No. 17–8151
_________________
RUSSELL BUCKLEW, PETITIONER v. ANNE L.
PRECYTHE, DIRECTOR, MISSOURI DEPARTMENT OF CORRECTIONS,
et al.
on writ of certiorari to the united states
court of appeals for the eighth circuit
[April 1, 2019]
Justice Sotomayor, dissenting.
As I have maintained ever since the Court
started down this wayward path in Glossip v. Gross ,
576 U. S. ___ (2015), there is no sound basis in the
Constitution for requiring condemned inmates to identify an
available means for their own executions. Justice Breyer ably
explains why today’s extension of Glossip ’s
alternative-method requirement is misguided (even on that
precedent’s own terms), and why (with or without that requirement)
a trial is needed to determine whether Missouri’s planned means of
executing Russell Bucklew creates an intolerable risk of suffering
in light of his rare medical condition. I join Justice Breyer’s
dissent, except for Part IV. I write separately to address the
troubling dicta with which the Court concludes its opinion.
I
Given the majority’s ominous words about
late-arising death penalty litigation, ante, at 29–30, one
might assume there is some legal question before us concerning
delay. Make no mistake: There is not. The majority’s commentary on
once and future stay applications is not only inessential but also
wholly irrelevant to its resolution of any issue before us.
The majority seems to imply that this litigation
has been no more than manipulation of the judicial process for the
purpose of delaying Bucklew’s execution. Ante, at 29. When
Bucklew commenced this case, however, there was nothing “settled,” ibid. , about whether the interaction of Missouri’s
lethal-injection protocol and his rare medical condition would be
tolerable under the Eighth Amendment. At that time, Glossip had not yet been decided, much less extended to any as-applied
challenge like Bucklew’s. In granting prior stay requests in this
case, we acted as necessary to ensure sufficient time for sober
review of Bucklew’s claims. The majority laments those decisions,
but there is nothing unusual—and certainly nothing untoward—about
parties pressing, and courts giving full consideration to,
potentially meritorious constitutional claims, even when those
claims do not ultimately succeed.
II
I am especially troubled by the majority’s
statement that “[l]ast-minute stays should be the extreme
exception,” which could be read to intimate that late-occurring
stay requests from capital prisoners should be reviewed with an
especially jaundiced eye. See ante, at 30. Were those
comments to be mistaken for a new governing standard, they would
effect a radical reinvention of established law and the judicial
role.
Courts’ equitable discretion in handling stay
requests is governed by well-established principles. See Nken v. Holder , 556 U.S.
418 , 434 (2009). Courts examine the stay applicant’s likelihood
of success on the merits, whether the applicant will suffer
irreparable injury without a stay, whether other parties will
suffer substantial injury from a stay, and public interest
considerations. Ibid .
It is equally well established that “[d]eath is
a punish-ment different from all other sanctions in kind rather
than degree.” Woodson v. North Carolina , 428 U.S.
280 , 303–304 (1976). For that reason, the equities in a death
penalty case will almost always favor the prisoner so long as he or
she can show a reasonable probability of success on the merits. See Nken , 556 U. S., at 434 (noting that success on the
merits and irreparable injury “are the most critical” factors); cf. Glossip , 576 U. S., at ___ (slip op., at 11)
(observing, in a preliminary-injunction posture, that “[t]he
parties agree that this case turns on whether petitioners are able
to establish a likelihood of success on the merits” and analyzing
the case accordingly); accord , id ., at ___ (Sotomayor, J.,
dissenting) (slip op., at 22). This accords with each court’s
“ ‘duty to search for constitutional error with painstaking
care’ ” in capital cases. Kyles v. Whitley , 514 U.S.
419 , 422 (1995).
It is of course true that a court may deny
relief when a party has “unnecessarily” delayed seeking it, Nelson v. Campbell , 541 U.S.
637 , 649–650 (2004), and that courts should not grant equitable
relief on clearly “ ‘dilatory,’ ”
“ ‘speculative,’ ” or meritless grounds, ante , at
31 (quoting Hill v. McDonough , 547 U.S. 573, 584–585
(2006)); see also Gomez v. United States Dist. Court for
Northern Dist. of Cal. , 503 U.S. 653, 654 (1992) ( per
curiam ) (vacating a stay where an inmate’s unjustified 10-year
delay in bringing a claim was an “obvious attempt at
manipulation”). That is hardly the same thing as treating
late-arising claims as presumptively suspect.[ 1 ]
The principles of federalism and finality that
the major- ity invokes are already amply served by other
constraints on our review of state judgments—most notably the
Antiterrorism and Effective Death Penalty Act of 1996, but also
statutes of limitations and other standard filters for dilatory
claims. We should not impose further constraints on judicial
discretion in this area based on little more than our own policy
impulses. Finality and federalism need no extra thumb on the scale
from this Court, least of all with a human life at stake.
The only sound approach is for courts to
continue to afford each request for equitable relief a careful
hearing on its own merits. That responsibility is never graver than
when the litigation concerns an impending execution. See, e.g.,
Kyles , 514 U. S., at 422; Woodson , 428 U. S.,
at 303–304. Meritorious claims can and do come to light even at the
eleventh hour, and the cost of cursory review in such cases would
be unacceptably high. See Glossip , 576 U. S., at
___–___ (Breyer, J., dissenting) (slip op., at 21–22) (collecting
examples of inmates who came “within hours or days of execution
before later being exonerated”). A delay, moreover, may be entirely
beyond a prisoner’s control. Execution methods, for example, have
been moving targets subject to considerable secrecy in recent
years, which means that constitutional concerns may surface only
once a State settles on a procedure and communicates its choice to
the prisoner.[ 2 ] In other
contexts, too, fortuity or the imminence of an execution may shake
loose constitutionally significant information when time is
short.[ 3 ]
There are higher values than ensuring that
executions run on time. If a death sentence or the manner in which
it is carried out violates the Constitution, that stain can never
come out. Our jurisprudence must remain one of vigilance and care,
not one of dismissiveness. Notes 1 A skewed view of the
facts caused the majority to misapply these principles and misuse
its “equitable powers,” see ante, at 30, and n. 5, in
vacating the Court of Appeals’ unanimous stay in Dunn v. Ray , 586 U. S. ___ (2019). Even today’s belated
explanation from the majority rests on the mistaken premise that
Domineque Ray could have figured out sooner that Alabama planned to
deny his imam access to the execution chamber. But see id., at ___ (Kagan, J., dissenting) (slip op., at 3) (noting that the
governing statute authorized both the inmate’s imam and the
prison’s Christian chaplain to attend the execution, and that “the
prison refused to give Ray a copy of its own practices and
procedures” that would have clarified the two clergymen’s degrees
of access); Ray v. Commissioner, Ala. Dept. of
Corrections , 915 F.3d 689, 701–703 (CA11 2019). 2 See Zagorski v. Parker , 586 U. S. ___, ___–___ (2018) (Sotomayor, J.,
dissenting from denial of application for stay and denial of
certio-rari) (slip op., at 2–3) (describing Tennessee’s recent
equivocation about the availability of its preferred lethal
injection protocol); Glossip , 576 U. S., at ___
(Sotomayor, J., dissenting) (slip op., at 29) (noting States’
“scramble” to formulate “new and untested” execution methods); Sepulvado v. Jindal , 739 F.3d 716, 717–718 (CA5 2013)
(Dennis, J., dissenting from denial of rehearing en banc)
(describing Louisiana’s refusal to inform a prisoner of the drugs
that would be used to execute him); Denno, Lethal Injection Chaos
Post -Baze , 102 Geo. L. J. 1331, 1376–1380 (2014)
(describing increased secrecy around execution
procedures). 3 See Connick v. Thompson , 563 U.S.
51 , 55–56, and n. 1 (2011) (intentionally suppressed
exculpatory crime lab report discovered a month before a scheduled
execution); Ex parte Braziel , No. WR–72,186–01 (Tex.
Crim. App., Dec. 11, 2018), pp. 1–2 (Alcala, J., dissenting)
(disclosure by the State of “new information about possible
prosecutorial misconduct” the same day as an
execution). | Russell Bucklew, who was convicted of murder and other crimes, argued that Missouri's lethal injection protocol was unconstitutional due to his rare medical condition. Bucklew only raised this claim days before his scheduled execution, resulting in a stay and a five-year delay. The courts ultimately ruled against him, and he sought to overturn their decisions. The Supreme Court, however, found no legal basis to do so and upheld the previous judgments. |
Death Penalty & Criminal Sentencing | Glossip v. Gross | https://supreme.justia.com/cases/federal/us/576/14-7955/ | NOTICE: This opinion is subject to
formal revision before publication in the preliminary print of the
United States Reports. Readers are requested to notify the Reporter
of Decisions, Supreme Court of the United States, Washington,
D. C. 20543, of any typographical or other formal errors, in
order that corrections may be made before the preliminary print
goes to press.
SUPREME COURT OF THE UNITED STATES
_________________
No. 14–7955
_________________
RICHARD E. GLOSSIP, et al., PETITIONERS v. KEVIN J. GROSS, et al.
on writ of certiorari to the united states
court of appeals for the tenth circuit
[June 29, 2015]
Justice Alito delivered the opinion of the
Court.
Prisoners sentenced to death in the State of
Oklahoma filed an action in federal court under Rev. Stat. §1979,
42 U. S. C. §1983, contending that the method of
execution now used by the State violates the Eighth Amendment
because it creates an unacceptable risk of severe pain. They argue
that midazolam, the first drug employed in the State’s current
three-drug protocol, fails to render a person insensate to pain.
After holding an evidentiary hearing, the District Court denied
four prisoners’ application for a preliminary injunction, finding
that they had failed to prove that midazolam is ineffective. The
Court of Appeals for the Tenth Circuit affirmed and accepted the
District Court’s finding of fact regarding midazolam’s
efficacy.
For two independent reasons, we also affirm.
First, the prisoners failed to identify a known and available
alternative method of execution that entails a lesser risk of pain,
a requirement of all Eighth Amendment method-of-execution claims.
See Baze v. Rees , 553 U. S. 35, 61 (2008)
(plurality opinion). Second, the District Court did not commit
clear error when it found that the prisoners failed to establish
that Oklahoma’s use of a massive dose of midazolam in its execution
protocol entails a substantial risk of severe pain.
I
A
The death penalty was an accepted punishment
at the time of the adoption of the Constitution and the Bill of
Rights. In that era, death sentences were usually carried out by
hanging. The Death Penalty in America: Current Controversies 4 (H.
Bedau ed. 1997). Hanging remained the standard method of execution
through much of the 19th century, but that began to change in the
century’s later years. See Baze , supra, at 41–42. In
the 1880’s, the Legislature of the State of New York appointed a
commission to find “ ‘the most humane and practical method
known to modern science of carrying into effect the sentence of
death in capital cases.’ ” In re Kemmler , 136
U. S. 436, 444 (1890) . The commission recommended
electrocution, and in 1888, the Legislature enacted a law providing
for this method of execution. Id., at 444–445. In subsequent
years, other States followed New York’s lead in the “ ‘belief
that electrocution is less painful and more humane than
hanging.’ ” Baze, 553 U. S., at 42 (quoting Malloy v. South Carolina , 237 U. S. 180, 185
(1915) ).
In 1921, the Nevada Legislature adopted another
new method of execution, lethal gas, after concluding that this was
“the most humane manner known to modern science.” State v. Jon , 46 Nev. 418, 437, 211 P. 676, 682 (1923). The Nevada
Supreme Court rejected the argument that the use of lethal gas was
unconstitutional, id., at 435–437, 211 P., at 681–682, and
other States followed Nevada’s lead, see, e.g. , Ariz.
Const., Art. XXII, §22 (1933); 1937 Cal. Stats. ch. 172, §1; 1933
Colo. Sess. Laws ch. 61, §1; 1955 Md. Laws ch. 625, §1, p. 1017;
1937 Mo. Laws p. 222, §1. Nevertheless, hanging and the firing
squad were retained in some States, see, e.g. , 1961 Del.
Laws ch. 309, §2 (hanging); 1935 Kan. Sess. Laws ch. 155, §1
(hanging); Utah Code Crim. Proc. §105–37–16 (1933) (hanging or
firing squad), and electrocution remained the predominant method of
execution until the 9-year hiatus in executions that ended with our
judgment in Gregg v. Georgia , 428 U. S. 153
(1976) . See Baze , supra, at 42.
After Gregg reaffirmed that the death
penalty does not violate the Constitution, some States once again
sought a more humane way to carry out death sentences. They
eventually adopted lethal injection, which today is “by far the
most prevalent method of execution in the United States.” Baze , supra , at 42. Oklahoma adopted lethal injection
in 1977, see 1977 Okla. Sess. Laws p. 89, and it eventually settled
on a protocol that called for the use of three drugs:
(1) sodium thiopental, “a fast-acting barbiturate sedative
that induces a deep, comalike unconsciousness when given in the
amounts used for lethal injection,” (2) a paralytic agent,
which “inhibits all muscular-skeletal movements and, by paralyzing
the diaphragm, stops respiration,” and (3) potassium chloride,
which “interferes with the electrical signals that stimulate the
contractions of the heart, inducing cardiac arrest.” Baze , supra , at 44; see also Brief for Respondents 9. By 2008, at
least 30 of the 36 States that used lethal injection employed that
particular three-drug protocol. 553 U. S., at 44.
While methods of execution have changed over the
years, “[t]his Court has never invalidated a State’s chosen
procedure for carrying out a sentence of death as the infliction of
cruel and unusual punishment.” Id., at 48. In Wilkerson v. Utah , 99 U. S. 130 –135 (1879), the
Court upheld a sentence of death by firing squad. In In re
Kemmler , supra , at 447–449, the Court rejected a
challenge to the use of the electric chair. And the Court did not
retreat from that holding even when presented with a case in which
a State’s initial attempt to execute a pris-oner by electrocution
was unsuccessful. Louisiana ex rel. Francis v. Resweber , 329 U. S. 459 –464 (1947) (plurality
opinion). Most recently, in Baze , supra , seven
Justices agreed that the three-drug protocol just discussed does
not violate the Eighth Amendment.
Our decisions in this area have been animated in
part by the recognition that because it is settled that capital
punishment is constitutional, “[i]t necessarily follows that there
must be a [constitutional] means of carrying it out.” Id., at 47. And because some risk of pain is inherent in any method of
execution, we have held that the Constitution does not require the
avoidance of all risk of pain. Ibid. After all, while most
humans wish to die a painless death, many do not have that good
fortune. Holding that the Eighth Amendment demands the elimination
of essentially all risk of pain would effectively outlaw the death
penalty altogether.
B Baze cleared any legal obstacle to use
of the most common three-drug protocol that had enabled States to
carry out the death penalty in a quick and painless fashion. But a
practical obstacle soon emerged, as anti-death-penalty advocates
pressured pharmaceutical companies to refuse to supply the drugs
used to carry out death sentences. The sole American manufacturer
of sodium thiopental, the first drug used in the standard
three-drug protocol, was persuaded to cease production of the drug.
After suspending domestic production in 2009, the company planned
to resume production in Italy. Koppel, Execution Drug Halt Raises
Ire of Doctors, Wall Street Journal, Jan. 25, 2011, p. A6.
Activists then pressured both the company and the Italian
Government to stop the sale of sodium thiopental for use in lethal
injections in this country. Bonner, Letter from Europe: Drug
Company in Cross Hairs of Death Penalty Opponents, N. Y.
Times, Mar. 30, 2011; Koppel, Drug Halt Hinders Executions in the
U. S., Wall Street Journal, Jan. 22, 2011, p. A1. That effort
proved successful, and in January 2011, the company announced that
it would exit the sodium thiopental market entirely. See Hospira,
Press Release, Hospira Statement Regarding PentothalTM (sodium
thiopental) Market Exit (Jan. 21, 2011).
After other efforts to procure sodium thiopental
proved unsuccessful, States sought an alternative, and they
eventually replaced sodium thiopental with pentobarbital, another
barbiturate. In December 2010, Oklahoma became the first State to
execute an inmate using pentobarbital. See Reuters, Chicago
Tribune, New Drug Mix Used in Oklahoma Execution, Dec. 17 2010, p.
41. That execution occurred without incident, and States gradually
shifted to pentobarbital as their supplies of sodium thiopentalran
out. It is reported that pentobarbital was used in all of the 43
executions carried out in 2012. The Death Penalty Institute,
Execution List 2012, online at
www.deathpenaltyinfo.org/execution-list-2012 (all Internet
materials as visited June 26, 2015, and available in Clerk of
Court’s case file). Petitioners concede that pentobarbital, like
sodium thiopental, can “reliably induce and maintain a comalike
state that renders a person insensate to pain” caused by
administration of the second and third drugs in the protocol. Brief
for Petitioners 2. And courts across the country have held that the
use of pentobarbital in executions does not violate the Eighth
Amendment. See, e.g., Jackson v. Danberg , 656
F. 3d 157 (CA3 2011); Beaty v. Brewer , 649
F. 3d 1071 (CA9 2011); DeYoung v. Owens , 646
F. 3d 1319 (CA11 2011); Pavatt v. Jones , 627
F. 3d 1336 (CA10 2010).
Before long, however, pentobarbital also became
unavailable. Anti-death-penalty advocates lobbied the Danish
manufacturer of the drug to stop selling it for use in executions.
See Bonner, supra . That manufacturer opposed the death
penalty and took steps to block the shipment of pentobarbital for
use in executions in the United States. Stein, New Obstacle to
Death Penalty in U. S., Washington Post, July 3, 2011, p. A4.
Oklahoma eventually became unable to acquire the drug through any
means. The District Court below found that both sodium thiopental
and pentobarbital are now unavailable to Oklahoma. App. 67–68.
C
Unable to acquire either sodium thiopental or
pentobarbital, some States have turned to midazolam, a sedative in
the benzodiazepine family of drugs. In October 2013, Florida became
the first State to substitute midazolam for pentobarbital as part
of a three-drug lethal injection protocol. Fernandez, Executions
Stall As States Seek Different Drugs, N. Y. Times, Nov. 9,
2013, p. A1. To date, Florida has conducted 11 executions using
that protocol, which calls for midazolam followed by a paralytic
agent and potassium chloride. See Brief for State of Florida as Amicus Curiae 2–3; Chavez v. Florida SP
Warden , 742 F. 3d 1267, 1269 (CA11 2014). In 2014,
Oklahoma also substituted midazolam for pentobarbital as part of
its three-drug protocol. Oklahoma has already used this three-drug
protocol twice: to execute Clayton Lockett in April 2014 and
Charles Warner in January 2015. (Warner was one of the four inmates
who moved for a preliminary injunction in this case.)
The Lockett execution caused Oklahoma to
implement new safety precautions as part of its lethal injection
protocol. When Oklahoma executed Lockett, its protocol called for
the administration of 100 milligrams of midazolam, as compared to
the 500 milligrams that are currently required. On the morning of
his execution, Lockett cut himself twice at “ ‘the bend of the
elbow.’ ” App. 50. That evening, the execution team spent
nearly an hour making at least one dozen attempts to establish
intravenous (IV) access to Lockett’s cardiovascular system,
including at his arms and elsewhere on his body. The team
eventually believed that it had established intravenous access
through Lockett’s right femoral vein, and it covered the injection
access point with a sheet, in part to preserve Lockett’s dignity
during the execution. After the team administered the midazolam and
a physician determined that Lockett was unconscious, the team next
administered the paralytic agent (vecuronium bromide) and most of
the potassium chloride. Lockett began to move and speak, at which
point the physician lifted the sheet and determined that the IV had
“infiltrated,” which means that “the IV fluid, rather than entering
Lockett’s blood stream, had leaked into the tissue surrounding the
IV access point.” Warner v. Gross , 776 F. 3d
721, 725 (CA10 2015) (case below). The execution team stopped
administering the remaining potassium chloride and terminated the
execution about 33 minutes after the midazolam was first injected.
About 10 minutes later, Lockett was pronounced dead.
An investigation into the Lockett execution
concluded that “the viability of the IV access point was the single
greatest factor that contributed to the difficulty in administering
the execution drugs.” App. 398. The investigation, which took five
months to complete, recommended several changes to Oklahoma’s
execution protocol, and Oklahoma adopted a new protocol with an
effective date of September 30, 2014. That protocol allows the
Oklahoma Department of Corrections to choose among four different
drug combinations. The option that Oklahoma plans to use to execute
petitioners calls for the administration of 500 milligrams of
midazolam followed by a paralytic agent and potassium
chloride.[ 1 ] The paralytic
agent may be pancuronium bromide, vecuronium bromide, or rocuronium
bromide, three drugs that, all agree, are functionally equivalent
for purposes of this case. The protocol also includes procedural
safeguards to help ensure that an inmate remains insensate to any
pain caused by the administration of the paralytic agent and
potassium chloride. Those safeguards include: (1) the
insertion of both a primary and backup IV catheter,
(2) procedures to confirm the viability of the IV site,
(3) the option to postpone an execution if viable IV sites
cannot be established within an hour, (4) a mandatory pause
between administration of the first and second drugs,
(5) numerous procedures for monitoring the offender’s
consciousness, including the use of an electrocardiograph and
direct observation, and (6) detailed provisions with respect
to the training and preparation of the execution team. In January
of this year, Oklahoma executed Warner using these revised
procedures and the combination of midazolam, a paralytic agent, and
potassium chloride.
II
A
In June 2014, after Oklahoma switched from
pentobarbital to midazolam and executed Lockett, 21 Oklahoma death
row inmates filed an action under 42 U. S. C. §1983
challenging the State’s new lethal injection protocol. The
complaint alleged that Oklahoma’s use of midazolam violates the
Eighth Amendment’s prohibition of cruel and unusual punishment.
In November 2014, four of those
plaintiffs—Richard
Glossip, Benjamin Cole, John Grant, and
Warner—filed a motion for a preliminary injunction. All four men
had been convicted of murder and sentenced to death by Oklahoma
juries. Glossip hired Justin Sneed to kill his employer, Barry Van
Treese. Sneed entered a room where Van Treese was sleeping and beat
him to death with a baseball bat. See Glossip v. State , 2007 OK CR 12, 157 P. 3d 143, 147–149. Cole
murdered his 9-month-old daughter after she would not stop crying.
Cole bent her body backwards until he snapped her spine in half.
After the child died, Cole played video games. See Cole v. State , 2007 OK CR 27, 164 P. 3d 1089, 1092–1093. Grant,
while serving terms of imprisonment totaling 130 years, killed Gay
Carter, a prison food service supervisor, by pulling her into a mop
closet and stabbing her numerous times with a shank. See Grant v. State , 2002 OK CR 36, 58 P. 3d 783,
789. Warner anally raped and murdered an 11-month-old girl. The
child’s injuries included two skull fractures, internal brain
injuries, two fractures to her jaw, a lacerated liver, and a
bruised spleen and lungs. See Warner v. State , 2006
OK CR 40, 144 P. 3d 838, 856–857.
The Oklahoma Court of Criminal Appeals affirmed
the murder conviction and death sentence of each offender. Each of
the men then unsuccessfully sought both state postconviction and
federal habeas corpus relief. Having exhausted the avenues for
challenging their convictions and sentences, they moved for a
preliminary injunction against Oklahoma’s lethal injection
protocol.
B
In December 2014, after discovery, the
District Court held a 3-day evidentiary hearing on the preliminary
injunction motion. The District Court heard testimony from 17
witnesses and reviewed numerous exhibits. Dr. David Lubarsky, an
anesthesiologist, and Dr. Larry Sasich, a doctor of pharmacy,
provided expert testimony about midazolam for petitioners, and Dr.
Roswell Evans, adoctor of pharmacy, provided expert testimony
forrespondents.
After reviewing the evidence, the District Court
issued an oral ruling denying the motion for a preliminary
injunction. The District Court first rejected petitioners’
challenge under Daubert v. Merrell Dow Pharmaceuticals,
Inc. , 509 U. S. 579 (1993) , to the testimony of Dr.
Evans. It concluded that Dr. Evans, the Dean of Auburn University’s
School of Pharmacy, was well qualified to testify about midazolam’s
properties and that he offered reliable testimony. The District
Court then held that petitioners failed to establish a likelihood
of success on the merits of their claim that the use of midazolam
violates the Eighth Amendment. The court provided two independent
reasons for this conclusion. First, the court held that petitioners
failed to identify a known and available method of execution that
presented a substantially less severe risk of pain than the method
that the State proposed to use. Second, the court found that
petitioners failed to prove that Oklahoma’s protocol “presents a
risk that is ‘sure or very likely to cause serious illness and
needless suffering,’ amounting to ‘an objectively intolerable risk
of harm.’ ” App. 96 (quoting Baze , 553 U. S., at
50). The court emphasized that the Oklahoma protocol featured
numerous safeguards, including the establishment of two IV access
sites, confirmation of the viability of those sites, and monitoring
of the offender’s level of consciousness throughout the
procedure.
The District Court supported its decision with
findings of fact about midazolam. It found that a 500-milligram
dose of midazolam “would make it a virtual certainty that any
individual will be at a sufficient level of unconsciousness to
resist the noxious stimuli which could occur from the application
of the second and third drugs.” App. 77. Indeed, it found that a
500-milligram dose alone would likely cause death by respiratory
arrest within 30 minutes or an hour.
The Court of Appeals for the Tenth Circuit
affirmed. 776 F. 3d 721. The Court of Appeals explained that
our decision in Baze requires a plaintiff challenging a
lethal injection protocol to demonstrate that the risk of severe
pain presented by an execution protocol is substantial “ ‘when
compared to the known and available alternatives.’ ” Id., at 732 (quoting Baze , supra , at 61). And
it agreed with the District Court that petitioners had not
identified any such alternative. The Court of Appeals added,
however, that this holding was “not outcome-determinative in this
case” because petitioners additionally failed to establish that the
use of midazolam creates a demonstrated risk of severe pain. 776
F. 3d, at 732. The Court of Appeals found that the District
Court did not abuse its discretion by relying on Dr. Evans’
testimony, and it concluded that the District Court’s factual
findings about midazolam were not clearly erroneous. It also held
that alleged errors in Dr. Evans’ testimony did not render his
testimony unreliable or the District Court’s findings clearly
erroneous.
Oklahoma executed Warner on January 15, 2015,
but we subsequently voted to grant review and then stayed the
executions of Glossip, Cole, and Grant pending the resolution of
this case. 574 U. S. ___ (2015).
III
“A plaintiff seeking a preliminary injunction
must establish that he is likely to succeed on the merits, that he
is likely to suffer irreparable harm in the absence of preliminary
relief, that the balance of equities tips in his favor, and that an
injunction is in the public interest.” Winter v. Natural
Resources Defense Council, Inc. , 555 U. S. 7, 20 (2008) .
The parties agree that this case turns on whether petitioners are
able to establish a likelihood of success on the merits.
The Eighth Amendment, made applicable to the
States through the Fourteenth Amendment, prohibits the infliction
of “cruel and unusual punishments.” The controlling opinion in Baze outlined what a prisoner must establish to succeed on
an Eighth Amendment method-of-execution claim. Baze involved
a challenge by Kentucky death row inmates to that State’s
three-drug lethal injection protocol of sodium thiopental,
pancuronium bromide, and potassium chloride. The inmates conceded
that the protocol, if properly administered, would result in a
humane and constitutional execution because sodium thiopental would
render an inmate oblivious to any pain caused by the second and
third drugs. 553 U. S., at 49. But they argued that there was
an unacceptable risk that sodium thiopental would not be properly
administered. Ibid. The inmates also maintained that a
significant risk of harm could be eliminated if Kentucky adopted a
one-drug protocol and additional monitoring by trained personnel. Id., at 51.
The controlling opinion in Baze first
concluded that prisoners cannot successfully challenge a method of
execution unless they establish that the method presents a risk
that is “ ‘ sure or very likely to cause serious illness
and needless suffering,’ and give rise to ‘sufficiently imminent dangers.’ ” Id., at 50 (quoting Helling v. McKinney , 509 U. S. 25 –35 (1993)).
To prevail on such a claim, “there must be a ‘substantial risk of
serious harm,’ an ‘objectively intolerable risk of harm’ that
prevents prison officials from pleading that they were
‘subjectively blameless for purposes of the Eighth
Amendment.’ ” 553 U. S., at 50 (quoting Farmer v. Brennan , 511 U. S. 825 , and n. 9 (1994)). The
controlling opinion also stated that prisoners “cannot successfully
challenge a State’s method of execution merely by showing a
slightly or marginally safer alternative.” 553 U. S., at 51.
Instead, prisoners must identify an alternative that is “feasible,
readily implemented, and in fact significantly reduce[s] a
substantial risk of severe pain.” Id., at 52.
The controlling opinion summarized the
requirements of an Eighth Amendment method-of-execution claim as
follows: “A stay of execution may not be granted on grounds such as
those asserted here unless the condemned prisoner establishes that
the State’s lethal injection protocol creates a demonstrated risk
of severe pain. [And] [h]e must show that the risk is substantial
when compared to the known and available alternatives.” Id., at 61. The preliminary injunction posture of the present case thus
requires petitioners to establish a likelihood that they can
establish both that Oklahoma’s lethal injection protocol creates a
demonstrated risk of severe pain and that the risk is substantial
when compared to the known and available alternatives.
The challenge in Baze failed both because
the Kentucky inmates did not show that the risks they identified
were substantial and imminent, id., at 56, and because they
did not establish the existence of a known and available
alternative method of execution that would entail a significantly
less severe risk, id., at 57–60. Petitioners’ argumentshere
fail for similar reasons. First, petitioners have not proved that
any risk posed by midazolam is substantial when compared to known
and available alternative methods of execution. Second, they have
failed to establish that the District Court committed clear error
when it found that the use of midazolam will not result in severe
pain and suffering. We address each reason in turn.
IV
Our first ground for affirmance is based on
petitioners’ failure to satisfy their burden of establishing that
any risk of harm was substantial when compared to a known and
available alternative method of execution. In their amended
complaint, petitioners proffered that the State could use sodium
thiopental as part of a single-drug protocol. They have since
suggested that it might also be constitutional for Oklahoma to use
pentobarbital. But the District Court found that both sodium
thiopental and pentobarbital are now unavailable to Oklahoma’s
Department of Corrections. The Court of Appeals affirmed that
finding, and it is not clearly erroneous. On the contrary, the
record shows that Oklahoma has been unable to procure those drugs
despite a good-faith effort to do so.
Petitioners do not seriously contest this
factual finding, and they have not identified any available drug or
drugs that could be used in place of those that Oklahoma is now
unable to obtain. Nor have they shown a risk of pain so great that
other acceptable, available methods must be used. Instead, they
argue that they need not identify a known and available method of
execution that presents less risk. But this argument is
inconsistent with the controlling opinion in Baze , 553
U. S., at 61, which imposed a requirement that the Court now
follows.[ 2 ]
Petitioners contend that the requirement to
identify an alternative method of execution contravenes our
pre- Baze decision in Hill v. McDonough , 547
U. S. 573 (2006) , but they misread that decision. The portion
of the opinion in Hill on which they rely concerned a
question of civil procedure, not a substantive Eighth Amendment
question. In Hill , the issue was whether a challenge
to a method of execution must be brought by means of an application
for a writ of habeas corpus or a civil action under §1983. Id., at 576. We held that a method-of-execution claim must
be brought under §1983 because such a claim does not attack the
validity of the prisoner’s conviction or death sentence. Id., at 579–580. The United States as amicus curiae argued that we should adopt a special pleading requirement to stop
inmates from using §1983 actions to attack, not just a particular
means of execution, but the death penalty itself. To achieve this
end, the United States proposed that an inmate asserting a
method-of-execution claim should be required to plead an acceptable
alternative method of execution. Id. , at 582. We rejected
that argument because “[s]pecific pleading requirements are
mandated by the Federal Rules of Civil Procedure, and not, as a
general rule, through case-by-case determinations of the federal
courts.” Ibid . Hill thus held that §1983 alone does
not impose a heightened pleading requirement. Baze, on the
other hand, addressed the substantive elements of an Eighth
Amendment method-of-execution claim, and it made clear that the
Eighth Amendment requires a prisoner to plead and prove a known and
available alternative. Because petitioners failed to do this, the
District Court properly held that they did not establish a
likelihood of success on their Eighth Amendment claim.
Readers can judge for themselves how much
distance there is between the principal dissent’s argument against
requiring prisoners to identify an alternative and the view, now
announced by Justices Breyer and Ginsburg, that the death penalty
is categorically unconstitutional. Post, p. ___ (Breyer, J.,
dissenting). The principal dissent goes out of its way to suggest
that a State would violate the Eighth Amendment if it used one of
the methods of execution employed before the advent of lethal
injection. Post, at 30–31. And the principal dissent makes
this suggestion even though the Court held in Wilkerson that
this method (the firing squad) is constitutional and even though,
in the words of the principal dissent, “there is some reason to
think that it is relatively quick and painless.” Post , at
30. Tellingly silent about the methods of execution most commonly
used before States switched to lethal injection (the electric chair
and gas chamber), the principal dissent implies that it would be
unconstitutional to use a method that “could be seen as a
devolution to a more primitive era.” Ibid. If States cannot
return to any of the “more primitive” methods used in the past and
if no drug that meets with the principal dissent’s approval is
available for use in carrying out a death sentence, the logical
conclusion is clear. But we have time and again reaffirmed that
capital punishment is not per se unconstitutional. See, e.g. , Baze , 553 U. S., at 47; id., at
87–88 (Scalia, J., concurring in judgment); Gregg , 428
U. S., at 187 (joint opinion of Stewart, Powell, and Stevens,
JJ.); id., at 226 (White, J., concurring in judgment); Resweber , 329 U. S., at 464; In re Kemmler , 136
U. S., at 447; Wilkerson , 99 U. S., at 134–135. We
decline to effectively overrule these decisions.
V
We also affirm for a second reason: The
District Court did not commit clear error when it found that
midazolam is highly likely to render a person unable to feel pain
during an execution. We emphasize four points at the outset of our
analysis.
First, we review the District Court’s factual
findings under the deferential “clear error” standard. This
standard does not entitle us to overturn a finding “simply because
[we are] convinced that [we] would have decided the case
differently.” Anderson v. Bessemer City , 470
U. S. 564, 573 (1985) .
Second, petitioners bear the burden of
persuasion on this issue. Baze , supra, at 41.
Although petitionersexpend great effort attacking peripheral
aspects of Dr. Evans’ testimony, they make little attempt to prove
what is critical, i.e. , that the evidence they presented to
the District Court establishes that the use of midazolam is sure or
very likely to result in needless suffering.
Third, numerous courts have concluded that the
use of midazolam as the first drug in a three-drug protocol is
likely to render an inmate insensate to pain that might result from
administration of the paralytic agent and potassium chloride. See, e.g., 776 F. 3d 721 (case below affirming the District
Court); Chavez v. Florida SP Warden , 742 F. 3d
1267 (affirming the District Court); Banks v. State ,
150 So. 3d 797 (Fla. 2014) (affirming the lower court); Howell v. State , 133 So. 3d 511 (Fla. 2014) (same); Muhammad v. State , 132 So. 3d 176 (Fla. 2013) (same).
(It is noteworthy that one or both of the two key witnesses in this
case—Dr. Lubarsky for petitioners and Dr. Evans for
respondents—were witnesses in the Chavez , Howell , and Muhammad cases.) “Where an intermediate court reviews, and
affirms, a trial court’s factual findings, this Court will not
‘lightly overturn’ the concurrent findings of the two lower
courts.” Easley v. Cromartie , 532 U. S. 234, 242
(2001) . Our review is even more deferential where, as here,
multiple trial courts have reached the same finding, and multiple
appellate courts have affirmed those findings. Cf. Exxon Co., U.
S. A. v. Sofec, Inc. , 517 U. S. 830, 841 (1996)
(explaining that this Court “ ‘cannot undertake to review
concurrent findings of fact by two courts below in the absence of a
very obvious and exceptional showing of error’ ” (quoting Graver Tank & Mfg. Co. v. Linde Air Products Co. ,
336 U. S. 271, 275 (1949) )).
Fourth, challenges to lethal injection protocols
test the boundaries of the authority and competency of federal
courts. Although we must invalidate a lethal injection protocol if
it violates the Eighth Amendment, federal courts should not
“embroil [themselves] in ongoing scientific controversies beyond
their expertise.” Baze , supra , at 51. Accordingly, an
inmate challenging a protocol bears the burden to show, based on
evidence presented to the court, that there is a substantial risk
of severe pain.
A
Petitioners attack the District Court’s
findings of fact on two main grounds.[ 3 ] First, they argue that even if midazolam is powerful
enough to induce unconsciousness, it is too weak to maintain
unconsciousness and insensitivity to pain once the second and third
drugs are administered. Second, while conceding that the
500-milligram dose of midazolam is much higher than the normal
therapeutic dose, they contend that this fact is irrelevant because
midazolam has a “ceiling effect”—that is, at a certain point, an
increase in the dose administered will not have any greater effect
on the inmate. Neither argumentsucceeds.
The District Court found that midazolam is
capable of placing a person “at a sufficient level of
unconsciousness to resist the noxious stimuli which could occur
from the
application of the second and third drugs.” App.
77. This conclusion was not clearly erroneous. Respondents’ expert,
Dr. Evans, testified that the proper administration of a
500-milligram dose of midazolam would make it “a virtual certainty”
that any individual would be “at a sufficient level of
unconsciousness to resist the noxious stimuli which could occur
from application of the 2nd and 3rd drugs” used in the Oklahoma
protocol. Id., at 302; see also id. , at 322. And
petitioners’ experts acknowledged that they had no contrary
scientific proof. See id., at 243–244 (Dr. Sasich stating
that the ability of midazolam to render a person insensate to the
second and third drugs “has not been subjected to scientific
testing”); id ., at 176 (Dr. Lubarksy stating that “there is
no scientific literature addressing the use of midazolam as a
manner to administer lethal injections in humans”).
In an effort to explain this dearth of evidence,
Dr. Sasich testified that “[i]t’s not my responsibility or the
[Food and Drug Administration’s] responsibility to prove that the
drug doesn’t work or is not safe.” Tr. of Preliminary Injunction
Hearing 357 (Tr.). Instead, he stated, “it’s the responsibility of
the proponent to show that the drug is safe and effective.” Ibid. Dr. Sasich confused the standard imposed on a drug
manufacturer seeking approval of a therapeutic drug with the
standard that must be borne by a party challenging a State’s lethal
injection protocol. When a method of execution is authorized under
state law, a party contending that this method violates the Eighth
Amendment bears the burden of showing that the method creates an
unacceptable risk of pain. Here, petitioners’ own experts
effectively conceded that they lacked evidence to prove their case
beyond dispute.
Petitioners attempt to avoid this deficiency by
criticizing respondents’ expert. They argue that the District Court
should not have credited Dr. Evans’ testimony because he admitted
that his findings were based on “ ‘extrapolat[ions]’ ”
from studies done about much lower therapeutic doses of midazolam.
See Brief for Petitioners 34 (citing Tr. 667–668; emphasis
deleted). But because a 500-milligram dose is never administered
for a therapeutic purpose, extrapolation was reasonable. And the
conclusions of petitioners’ experts were also based on
extrapolations and assumptions. For example, Dr. Lubarsky relied on
“extrapolation of the ceiling effect data.” App. 177.
Based on the evidence that the parties presented
to the District Court, we must affirm. Testimony from both sides
supports the District Court’s conclusion that midazolam can render
a person insensate to pain. Dr. Evans testified that although
midazolam is not an analgesic, it can nonetheless “render the
person unconscious and ‘insensate’ during the remainder of the
procedure.” Id., at 294. In his discussion about the ceiling
effect, Dr. Sasich agreed that as the dose of midazolam increases,
it is “expected to produce sedation, amnesia, and finally lack of
response to stimuli such as pain (unconsciousness).” Id., at
243. Petitioners argue that midazolam is not powerful enough to
keep a person insensate to pain after the administration of the
second and third drugs, but Dr. Evans presented creditable
testimony to the contrary. See, e.g., Tr. 661 (testifying
that a 500-milligram dose of midazolam will induce a
coma).[ 4 ] Indeed, low doses of
midazolam are sufficient to induce unconsciousness and are even
some-
times used as the sole relevant drug in certain
medical procedures. Dr. Sasich conceded, for example, that
midazolam might be used for medical procedures like colonoscopies
and gastroscopies. App. 267–268; see also Brief for Respondents
6–8.[ 5 ]
Petitioners emphasize that midazolam is not
recommended or approved for use as the sole anesthetic during
painful surgery, but there are two reasons why this is not
dispositive. First, as the District Court found, the 500-milligram
dose at issue here “is many times higher than a normal therapeutic
dose of midazolam.” App. 76. The effect of a small dose of
midazolam has minimal probative value about the effect of a
500-milligram dose. Second, the fact that a low dose of midazolam
is not the best drug for maintaining unconsciousness during
surgery says little about whether a 500-milligram dose of midazolam
is constitutionally adequate for purposes of conducting an
execution. We recognized this point in Baze , where we
concluded that although the medical standard of care might require
the use of a blood pressure cuff and an electrocardiogram during
surgeries, this does not mean those procedures are required for an
execution to pass Eighth Amendment scrutiny. 553 U. S., at
60.
Oklahoma has also adopted important safeguards
to ensure that midazolam is properly administered. The
District Court emphasized three requirements in
particular: The execution team must secure both a primary and
backup IV access site, it must confirm the viability of the IV
sites, and it must continuously monitor the offender’s level of
consciousness. The District Court did not commit clear error in
concluding that these safeguards help to minimize any risk that
might occur in the event that midazolam does not operate as
intended. Indeed, we concluded in Baze that many of the
safeguards that Oklahoma employs—including the establishment of a
primary and backup IV and the presence of personnel to monitor an
inmate—help in significantly reducing the risk that an execution
protocol will violate the Eighth Amendment. Id. , at 55–56.
And many other safeguards that Oklahoma has adopted mirror those
that the dissent in Baze complained were absent from
Kentucky’s protocol in that case. For example, the dissent argued
that because a consciousness check before injection of the second
drug “can reduce a risk of dreadful pain,” Kentucky’s failure to
include that step in its procedure was unconstitutional. Id. , at 119 (opinion of Ginsburg, J.). The dissent also
complained that Kentucky did not monitor the effectiveness of the
first drug or pause between injection of the first and second
drugs. Id., at 120–121. Oklahoma has accommodated each of
those concerns.
B
Petitioners assert that midazolam’s “ceiling
effect” undermines the District Court’s finding about the
effectiveness of the huge dose administered in the Oklahoma
protocol. Petitioners argue that midazolam has a “ceiling” above
which any increase in dosage produces no effect. As a result, they
maintain, it is wrong to assume that a 500-milligram dose has a
much greater effect than a therapeutic dose of about 5 milligrams.
But the mere fact that midazolam has such a ceiling cannot be
dispositive. Dr. Sasich testified that “all drugs essentially have
a ceiling effect.” Tr. 343. The relevant question here is whether
midazolam’s ceiling effect occurs below the level of a
500-milligram dose and at a point at which the drug does not have
the effect of rendering a person insensate to pain caused by the
second and third drugs.
Petitioners provided little probative evidence
on this point, and the speculative evidence that they did present
to the District Court does not come close to establishing that its
factual findings were clearly erroneous. Dr. Sasich stated in
his expert report that the literature “indicates” that midazolam
has a ceiling effect, but he conceded that he “was unable to
determine the midazolam dose for a ceiling effect on
unconsciousness because there is no literature in which such
testing has been done.” App. 243–244. Dr. Lubarsky’s report was
similar, id., at 171–172, and the testimony of petitioners’
experts at the hearing was no more compelling. Dr. Sasich frankly
admitted that he did a “search to try and determine at what dose of
midazolam you would get a ceiling effect,” but concluded: “I could
not find one.” Tr. 344. The closest petitioners came was Dr.
Lubarsky’s suggestion that the ceiling effect occurs “[p]robably
after about . . . 40 to 50 milligrams,” but he added that
he had not actually done the relevant calculations, and he
admitted: “I can’t tell you right now” at what dose the ceiling
effect occurs. App. 225. We cannot conclude that the District Court
committed clear error in declining to find, based on such
speculative evidence, that the ceiling effect negates midazolam’s
ability to render an inmate insensate to pain caused by the second
and third drugs in the protocol.
The principal dissent discusses the ceiling
effect at length, but it studiously avoids suggesting that
petitioners presented probative evidence about the dose at which
the ceiling effect occurs or about whether the effect occurs before
a person becomes insensate to pain. The principal dissent avoids
these critical issues by suggesting that such evidence is
“irrelevant if there is no dose at which the drug can
. . . render a person ‘insensate to pain.’ ” Post , at 17. But the District Court heard evidence that the
drug can render a person insensate to pain, and not just from Dr.
Evans: Dr. Sasich (one of petitioners’ own experts) testified that
higher doses of midazolam are “expected to produce . . .
lack of response to stimuli such as pain.” App. 243.[ 6 ]
In their brief, petitioners attempt to deflect
attention from their failure of proof regarding midazolam’s ceiling
effect by criticizing Dr. Evans’ testimony. But it was petitioners’ burden to establish that midazolam’s ceiling
occurred at a dosage below the massive 500-milligram dose employed
in the Oklahoma protocol and at a point at which the drug failed to
render the recipient insensate to pain. They did not meet that
burden, and their criticisms do not undermine Dr. Evans’ central
point, which the District Court credited, that a properly
administered 500-milligram dose of midazolam will render the
recipient unable to feel pain.
One of petitioners’ criticisms of Dr. Evans’
testimony is little more than a quibble about the wording chosen by
Dr. Evans at one point in his oral testimony. Petitioners’ expert,
Dr. Lubarsky, stated in his report that midazolam “increases
effective binding of [gamma-aminobutyric acid (GABA)] to its
receptor to induce unconsciousness.”[ 7 ] App. 172. Dr. Evans’ report provided a similar
explanation of the way in which midazolam works, see id., at
293–294, and Dr. Lubarsky did not dispute the accuracy of that
explanation when he testified at the hearing. Petitioners contend,
however, that Dr. Evans erred when he said at the hearing that
“[m]idazolam attaches to GABA receptors, inhibiting GABA .” Id., at 312 (emphasis added). Petitioners contend that this
statement was incorrect because “far from inhibiting GABA,
midazolam facilitates its binding to GABA receptors.” Brief
for Petitioners 38.
In making this argument, petitioners are simply
quarrelling with the words that Dr. Evans used during oral
testimony in an effort to explain how midazolam works in terms
understandable to a layman. Petitioners do not suggest that the
discussion of midazolam in Dr. Evans’ expert report was inaccurate,
and as for Dr. Evans’ passing use of the term “inhibiting,” Dr.
Lubarksy’s own expert report states that GABA’s “ inhibition of brain activity is accentuated by midazolam.” App. 232 (emphasis
added). Dr. Evans’ oral use of the word “inhibiting”—particularly
in light of his written testimony—does not invalidate the District
Court’s decision to rely on his testimony.
Petitioners also point to an apparent conflict
between Dr. Evans’ testimony and a declaration by Dr. Lubarsky
(submitted after the District Court ruled) regarding the biological
process that produces midazolam’s ceiling effect. But even if Dr.
Lubarsky’s declaration is correct, it is largely beside the point.
What matters for present purposes is the dosage at which the
ceiling effect kicks in, not the biological process that produces
the effect. And Dr. Lubarsky’s declaration does not render the
District Court’s findings clearly erroneous with respect to that
critical issue.
C
Petitioners’ remaining arguments about
midazolam all lack merit. First, we are not persuaded by
petitioners’ argument that Dr. Evans’ testimony should have been
rejected because of some of the sources listed in his report.
Petitioners criticize two of the “selected references” that Dr.
Evans cited in his expert report: the Web site drugs.com and a
material safety data sheet (MSDS) about midazolam. Petitioners’
argument is more of a Daubert challenge to Dr. Evans’
testimony than an argument that the District Court’s findings were
clearly erroneous. The District Court concluded that Dr. Evans was
“well-qualified to give the expert testimony that he gave” and that
“his testimony was the product of reliable principles and methods
reliably applied to the facts of this case.” App. 75–76. To the
extent that the reliability of Dr.Evans’ testimony is even before
us, the District Court’s con-clusion that his testimony was based
on reliable sources is reviewed under the deferential
“abuse-of-discretion” standard. General Elec. Co. v. Joiner , 522 U. S. 136 –143 (1997). Dr. Evans relied on
multiple sources and his own expertise, and his testimony may not
be disqualified simply because one source (drugs.com) warns that it
“ ‘is not intended for medical advice’ ” and another (the
MSDS) states that its information is provided “ ‘without any
warranty, express or implied, regarding its correctness.’ ”
Brief for Petitioners 36. Medical journals that both parties rely
upon typically contain similar disclaimers. See, e.g. ,
Anesthesiology, Terms and Conditions of Use, online at
http://anesthesiology.pubs.asahq.org/ss/terms.aspx (“None of the
information on this Site shall be used to diagnose or treat any
health problem or disease”). Dr. Lubarsky—petitioners’ own
expert—relied on an MSDS to argue that midazolam has a ceiling
effect. And petitioners do not identify any incorrect statements
from drugs.com on which Dr. Evans relied. In fact, although Dr.
Sasich submitted a declaration to the Court of Appeals criticizing
Dr. Evans’ reference to drugs.com, that declaration does not
identify a single fact from that site’s discussion of midazolam
that was materially inaccurate.
Second, petitioners argue that Dr. Evans’ expert
report contained a mathematical error, but we find this argument
insignificant. Dr. Evans stated in his expert report that the
lowest dose of midazolam resulting in human deaths, according to an
MSDS, is 0.071 mg/kg delivered intravenously. App. 294. Dr.
Lubarsky agreed with this statement. Specifically, he testified
that fatalities have occurred in doses ranging from 0.04 to 0.07
mg/kg, and he stated that Dr. Evans’ testimony to that effect was
“a true statement” (though he added those fatalities occurred among
the elderly). Id., at 217. We do not understand petitioners
to dispute the testimony of Dr. Evans and their own expert that
0.071 mg/kg is a potentially fatal dose of midazolam. Instead, they
make much of the fact that the MSDS attached to Dr. Evans’ report
apparently contained a typographical error and reported the lowest
toxic dose as 71 mg/kg. That Dr. Evans did not repeat that
incorrect figure but instead reported the correct dose supports
rather than undermines his testimony. In any event, the alleged
error in the MSDS is irrelevant because the District Court
expressly stated that it did not rely on the figure in the MSDS.
See id., at 75.
Third, petitioners argue that there is no
consensus among the States regarding midazolam’s efficacy because
only four States (Oklahoma, Arizona, Florida, and Ohio) have used
midazolam as part of an execution. Petitioners rely on the
plurality’s statement in Baze that “it is difficult to
regard a practice as ‘objectively intolerable’ when it is in fact
widely tolerated,” and the plurality’s emphasis on the fact that 36
States had adopted lethal injection and 30 States used the
particular three-drug protocol at issue in that case. 553
U. S., at 53. But while the near-universal use of the
particular protocol at issue in Baze supported our
conclusion that this protocol did not violate the Eighth Amendment,
we did not say that the converse was true, i.e., that other
protocols or methods of execution are of doubtful
constitutionality. That argument, if accepted, would hamper the
adoption of new and potentially more humane methods of execution
and would prevent States from adapting to changes in the
availability of suitable drugs.
Fourth, petitioners argue that difficulties with
Oklahoma’s execution of Lockett and Arizona’s July 2014 execution
of Joseph Wood establish that midazolam is sure or very likely to
cause serious pain. We are not persuaded. Aside from the Lockett
execution, 12 other executions have been conducted using the
three-drug protocol at issue here, and those appear to have been
conducted without any significant problems. See Brief for
Respondents 32; Brief for State of Florida as Amicus Curiae 1. Moreover, Lockett was administered only 100 milligrams of
midazolam, and Oklahoma’s investigation into that execution
concluded that the difficulties were due primarily to the execution
team’s inability to obtain an IV access site. And the Wood
execution did not involve the protocol at issue here. Wood did not
receive a single dose of 500 milligrams of midazolam; instead, he
received fifteen 50-milligram doses over the span of two
hours.[ 8 ] Brief for Respondents
12, n. 9. And Arizona used a different two-drug protocol that
paired midazolam with hydromorphone, a drug that is not at issue in
this case. Ibid. When all of the circumstances are
considered, the Lockett and Wood executions have little probative
value for present purposes.
Finally, we find it appropriate to respond to
the principal dissent’s groundless suggestion that our decision is
tantamount to allowing prisoners to be “drawn and quartered, slowly
tortured to death, or actually burned at the stake.” Post ,
at 28. That is simply not true, and the principal dissent’s resort
to this outlandish rhetoric reveals the weakness of its legal
arguments.
VI
For these reasons, the judgment of the Court
of Appeals for the Tenth Circuit is affirmed.
It is so ordered. Notes 1 The three other drug
combinations that Oklahoma may admin-ister are: (1) a single
dose of pentobarbital, (2) a single dose ofsodium thiopental,
and (3) a dose of midazolam followed by a dose of
hydromorphone. 2 Justice Sotomayor’s
dissent (hereinafter principal dissent), post , at 24–25,
inexplicably refuses to recognize that The Chief Justice’s opinion
in Baze sets out the holding of the case. In Baze ,
the opinion of The Chief Justice was joined by two other Justices.
Justices Scalia and Thomas took the broader position that a method
of execution is consistent with the Eighth Amendment unless it is
deliberately designed to inflict pain. 553 U. S., at 94
(Thomas, J. concurring in judgment). Thus, as explained in Marks v. United States , 430 U. S. 188, 193
(1977) , The Chief Justice’s opinion sets out the holding of the
case. It is for this reason that petitioners base their argument on
the rule set out in that opinion. See Brief for Petitioners 25,
28. 3 Drs. Lubarsky and Sasich,
petitioners’ key witnesses, both testified that midazolam is
inappropriate for a third reason, namely, that it creates a risk of
“paradoxical reactions” such as agitation, hyperactiv-ity, and
combativeness. App. 175 (expert report of Dr. Lubarsky); id. , at 242, 244 (expert report of Dr. Sasich). The District
Court found, however, that the frequency with which a paradoxical
reaction occurs “is speculative” and that the risk “occurs with the
highest frequency in low therapeutic doses.” Id. , at 78.
Indeed, Dr. Sasich conceded that the incidence or risk of
paradoxical reactions with midazolam “is unknown” and that reports
estimate the risk to vary only “from 1% to above 10%.” Id. ,
at 244. Moreover, the mere fact that a method of execution might
result in some unintended side effects does not amount to an Eighth
Amendment violation. “[T]he Constitution does not demand the
avoidance of all risk of pain.” Baze , 553 U. S., at 47
(plurality opinion). 4 The principal dissent
misunderstands the record when it bizarrely suggests that midazolam
is about as dangerous as a peanut. Post , at 15. Dr. Evans
and Dr. Lubarsky agreed that midazolam has caused fatalities in
doses as low as 0.04 to 0.07 milligrams per kilogram. App. 217,
294. Even if death from such low doses is a “rare, unfortunate side
effec[t],” post , at 15, the District Court found that a
massive 500-milligram dose—many times higher than the lowest dose
reported to have produced death—will likely cause death in under an
hour. App. 76–77. 5 Petitioners’ experts also
declined to testify that a 500-milligram dose of midazolam is
always insufficient to place a person in a coma and render him
insensate to pain. Dr. Lubarsky argued only that the 500-milligram
dose cannot “reliably” produce a coma. Id. , 228. And when
Dr. Sasich was asked whether he could say to a reasonable degree of
certainty that a 500-milligram dose of midazolam would not render
someone unconscious, he replied that he could not. Id., at
271–272. A product label for midazolam that Dr. Sasich attached to
his expert report also acknowledged that an overdose of midazolam
can cause a coma. See Expert Report of Larry D. Sasich, in No.
14–6244 (CA10), p. 34. 6 The principal dissent
emphasizes Dr. Lubarsky’s supposedly contrary testimony, but the
District Court was entitled to credit Dr. Evans (and Dr. Sasich)
instead of Dr. Lubarsky on this point. And the District Court had
strong reasons not to credit Dr. Lubarsky, who even argued that a
protocol that includes sodium thiopental is “constructed to
produce egregious harm and suffering.” App. 227. 7 GABA is “an amino acid
that functions as an inhibitory neurotransmitter in the brain and
spinal cord.” Mosby’s Medical Dictionary 8 The principal dissent
emphasizes Dr. Lubarsky’s testimony that it is irrelevant that Wood
was administered the drug over a 2-hour period. Post , at 20.
But Dr. Evans disagreed and testified that if a 750-milligram dose
“was spread out over a long period of time,” such as one hour
( i.e., half the time at issue in the Wood execution), the
drug might not be as effective as if it were administered all at
once. Tr. 667. The principal dissent states that this
“pronouncement was entirely unsupported,” post, at 20,
n. 6, but it was supported by Dr. Evans’ expertise and decades
of experience. And it would be unusual for an expert testifying on
the stand to punctuate each sentence with citation to
a SUPREME COURT OF THE UNITED STATES
_________________
No. 14–7955
_________________
RICHARD E. GLOSSIP, et al., PETITIONERS v. KEVIN J. GROSS, et al.
on writ of certiorari to the united states
court of appeals for the tenth circuit
[June 29, 2015]
Justice Scalia, with whom Justice Thomas
joins, concurring.
I join the opinion of the Court, and write to
respond to Justice Breyer’s plea for judicial abolition of the
death penalty.
Welcome to Groundhog Day. The scene is familiar:
Petitioners, sentenced to die for the crimes they committed
(including, in the case of one petitioner since put to death,
raping and murdering an 11–month-old baby), come before this Court
asking us to nullify their sentences as “cruel and unusual” under
the Eighth Amendment. They rely on this provision because it is the
only provision they can rely on. They were charged by a
sovereign State with murder. They were afforded counsel and tried
before a jury of their peers—tried twice, once to determine whether
they were guilty and once to determine whether death was the
appropriate sentence. They were duly convicted and sentenced. They
were granted the right to appeal and to seek postconviction relief,
first in state and then in federal court. And now, acknowledging
that their convictions are unassailable, they ask us for clemency,
as though clemency were ours to give.
The response is also familiar: A vocal minority
of the Court, waving over their heads a ream of the most recent
abolitionist studies (a superabundant genre) as though they have
discovered the lost folios of Shakespeare, insist that now ,
at long last, the death penalty must be abolished for good. Mind
you, not once in the history of the American Republic has this
Court ever suggested the death penalty is categorically
impermissible. The reason is obvious: It is impossible to hold
unconstitutional that which the Constitution explicitly contemplates . The Fifth Amendment provides that “[n]o person
shall be held to answer for a capital . . . crime, unless
on a presentment or indictment of a Grand Jury,” and that no person
shall be “deprived of life . . . without due process of
law.” Nevertheless, today Justice Breyer takes on the role of the
abolitionists in this long-running drama, arguing that the text of
the Constitution and two centuries of history must yield to his “20
years of experience on this Court,” and inviting full briefing on
the continued permissibility of capital punishment, post , at
2 (dissenting opinion).
Historically, the Eighth Amendment was
understood to bar only those punishments that added “ ‘terror,
pain, or disgrace’ ” to an otherwise permissible capital
sentence. Baze v. Rees , 553 U. S. 35, 96 (2008)
(Thomas, J., concurring in judgment). Rather than bother with this
troubling detail, Justice Breyer elects to contort the
constitutional text. Redefining “cruel” to mean “unreliable,”
“arbitrary,” or causing “excessive delays,” and “unusual” to
include a “decline in use,” he proceeds to offer up a white paper
devoid of any meaningful legal argument.
Even accepting Justice Breyer’s rewriting of the
Eighth Amendment, his argument is full of internal contradictions
and (it must be said) gobbledy-gook. He says that the death penalty
is cruel because it is unreliable; but it is convictions ,
not punishments , that are unreliable. Moreover, the
“pressure on police, prosecutors, and jurors to secure a
conviction,” which he claims increases the risk of wrongful
convictions in capital cases, flows from the nature of the crime,
not the punishment that follows its commission. Post, at 6.
Justice Breyer acknowledges as much: “[T]he crimes at issue in
capital cases are typically horrendous murders, and thus
accompanied by intense community pressure.” Ibid. That same
pressure would exist, and the same risk of wrongful convictions, if
horrendous death-penalty cases were converted into equally
horrendous life-without-parole cases. The reality is that any
innocent defendant is infinitely better off appealing a death
sentence than a sentence of life imprisonment. (Which, again,
Justice Breyer acknowledges: “[C]ourts (or State Governors) are 130
times more likely to exonerate a defendant where a death sentence
is at issue,” post , at 5.) The capital convict will obtain
endless legal assistance from the abolition lobby (and legal
favoritism from abolitionist judges), while the lifer languishes
unnoticed behind bars.
Justice Breyer next says that the death penalty
is cruel because it is arbitrary. To prove this point, he points to
a study of 205 cases that “measured the ‘egregiousness’ of the
murderer’s conduct” with “a system of metrics,” and then “compared
the egregiousness of the conduct of the 9 defendants sentenced to
death with the egregiousness of the conduct of defendants in the
remaining 196 cases [who were not sentenced to death],” post, at 10–11. If only Aristotle, Aquinas, and Hume knew
that moral philosophy could be so neatly distilled into a
pocket-sized, vade mecum “system of metrics.” Of course it
cannot: Egregiousness is a moral judgment susceptible of few
hard-and-fast rules. More importantly, egregiousness of the crime
is only one of several factors that render a punishment
condign—culpability, rehabilitative potential, and the need for
deterrence also are relevant. That is why this Court has required
an individualized consideration of all mitigating circumstances,
rather than formulaic application of some egregiousness test.
It is because these questions are contextual and
admit of no easy answers that we rely on juries to make judgments
about the people and crimes before them. The fact that these
judgments may vary across cases is an inevitable consequence of the
jury trial, that cornerstone of Anglo-American judicial procedure.
But when a punishment is authorized by law—if you kill you are
subject to death—the fact that some defendants receive mercy from
their jury no more renders the underlying punishment “cruel” than
does the fact that some guilty individuals are never apprehended,
are never tried, are acquitted, or arepardoned.
Justice Breyer’s third reason that the death
penalty is cruel is that it entails delay, thereby (1) subjecting
inmates to long periods on death row and (2) undermining the
penological justifications of the death penalty. The first point is
nonsense. Life without parole is an even lengthier period than the
wait on death row; and if the objection is that death row is a more
confining environment, the solution should be modifying the
environment rather than abolishing the death penalty. As for the
argument that delay undermines the penological rationales for the
death penalty: In insisting that “the major alternative to capital
punishment—namely, life in prison without possibility of
parole—also incapacitates,” post , at 24, Justice Breyer
apparently forgets that one of the plaintiffs in this very
case was already in prison when he committed the murder that
landed him on death row. Justice Breyer further asserts that
“whatever interest in retribution might be served by the death
penalty as currently administered, that interest can be served
almost as well by a sentence of life in prison without parole,” post , at 27. My goodness. If he thinks the death penalty not
much more harsh (and hence not much more retributive), why is he so
keen to get rid of it? With all due respect, whether the death
penalty and life imprisonment constitute more-or-less equivalent
retribution is a question far above the judiciary’s pay grade.
Perhaps Justice Breyer is more forgiving—or more enlightened—than
those who, like Kant, believe that death is the only just
punishment for taking a life. I would not presume to tell parents
whose life has been forever altered by the brutal murder of a child
that life imprisonment is punishment enough.
And finally, Justice Breyer speculates that it
does not “seem likely” that the death penalty has a “significant”
deterrent effect. Post , at 25. It seems very likely to me,
and there are statistical studies that say so. See, e.g., Zimmerman, State Executions, Deterrence, and the Incidence of
Murder, 7 J. Applied Econ. 163, 166 (2004) (“[I]t is estimated that
each state execution deters approximately fourteen murders per year
on average”); Dezhbakhsh, Rubin, & Shepherd, Does Capital
Punishment Have a Deterrent Effect? New Evidence from
Postmoratorium Panel Data, 5 Am. L. & Econ. Rev. 344 (2003)
(“[E]ach execution results, on average, in eighteen fewer murders”
per year); Sunstein & Vermeule, Is Capital Punishment Morally
Required? Acts, Omissions, and Life-Life Tradeoffs, 58 Stan.
L. Rev. 703, 713 (2005) (“All in all, the recent evidence of a
deterrent effect from capital punishment seems impressive,
especially in light of its ‘apparent power and unanimity’ ”).
But we federal judges live in a world apart from the vast majority
of Americans. After work, we retire to homes in placid suburbia or
to high-rise co-ops with guards at the door. We are not confronted
with the threat of violence that is ever present in many Americans’
everyday lives. The suggestion that the incremental deterrent
effect of capital punishment does not seem “significant” reflects,
it seems to me, a let-them-eat-cake obliviousness to the needs of
others. Let the People decide how much incremental deterrence is
appropriate.
Of course, this delay is a problem of the
Court’s own making. As Justice Breyer concedes, for more than 160
years, capital sentences were carried out in an average of two
years or less. Post , at 18. But by 2014, he tells us, it
took an average of 18 years to carry out a death sentence. Id., at 19. What happened in the intervening years? Nothing
other than the proliferation of labyrinthine restrictions on
capital punishment, promulgated by this Court under an
interpretation of the Eighth Amendment that empowered it to divine
“the evolving standards of decency that mark the progress of a
maturing society,” Trop v. Dulles , 356 U. S. 86,
101 (1958) (plurality opinion)—a task for which we are eminently
ill suited. Indeed, for the past two decades, Justice Breyer has
been the Drum Major in this parade. His invocation of the resultant
delay as grounds for abolishing the death penalty calls to mind the
man sentenced to death for killing his parents, who pleads for
mercy on the ground that he is an orphan. Amplifying the surrealism
of his argument, Justice Breyer uses the fact that many States have
abandoned capital punishment—have abandoned it precisely because
of the costs those suspect decisions have imposed—to conclude
that it is now “unusual.” Post , at 33–39. (A caution to the
reader: Do not use the creative arithmetic that Justice Breyer
employs in counting the number of States that use the death penalty
when you prepare your next tax return; outside the world of our
Eighth Amendment abolitionist-inspired jurisprudence, it will be
regarded as more misrepresentation than math.)
If we were to travel down the path that Justice
Breyer sets out for us and once again consider the
constitutionality of the death penalty, I would ask that counsel
also brief whether our cases that have abandoned the historical
understanding of the Eighth Amendment, beginning with Trop ,
should be overruled. That case has caused more mischief to our
jurisprudence, to our federal system, and to our society than any
other that comes to mind. Justice Breyer’s dissent is the living
refutation of Trop ’s assumption that this Court has the
capacity to recognize “evolving standards of decency.” Time and
again, the People have voted to exact the death penalty as
punishment for the most serious of crimes. Time and again, this
Court has upheld that decision. And time and again, a vocal
minor-ity of this Court has insisted that things have “changed
radically,” post , at 2, and has sought to replace the
judgments of the People with their own standards of decency.
Capital punishment presents moral questions that
philosophers, theologians, and statesmen have grappled with for
millennia. The Framers of our Constitution disagreed bitterly on
the matter. For that reason, they handled it the same way they
handled many other controversial issues: they left it to the People
to decide. By arrogating to himself the power to overturn that
decision, Justice Breyer does not just reject the death penalty, he
rejects the Enlightenment. SUPREME COURT OF THE UNITED STATES
_________________
No. 14–7955
_________________
RICHARD E. GLOSSIP, et al., PETITIONERS v. KEVIN J. GROSS, et al.
on writ of certiorari to the united states
court of appeals for the tenth circuit
[June 29, 2015]
Justice Thomas, with whom Justice Scalia
joins, concurring.
I agree with the Court that petitioners’ Eighth
Amendment claim fails. That claim has no foundation in the Eighth
Amendment, which prohibits only those “method[s] of execution” that
are “deliberately designed to inflict pain.” Baze v. Rees , 553 U. S. 35, 94 (2008) (Thomas, J., concurring
in judgment). Because petitioners make no allegation that Oklahoma
adopted its lethal injection protocol “to add elements of terror,
pain, or disgrace to the death penalty,” they have no valid claim. Id., at 107. That should have been the end of this case, but
our precedents have predictably transformed the federal courts
“into boards of inquiry charged with determining the ‘best
practices’ for executions,” id., at 101 (internal quotation
marks omitted), necessitating the painstaking factual inquiry the
Court undertakes today. Although I continue to believe that the
broader interpretation of the Eighth Amendment advanced in the
plurality opinion in Baze is erroneous, I join the Court’s
opinion in full because it correctly explains why petitioners’
claim fails even under that controlling opinion.
I write separately to respond to Justice
Breyer’s dissent questioning the constitutionality of the death
penalty generally. No more need be said about the constitutional
arguments on which Justice Breyer relies, as my colleagues and I
have elsewhere refuted them.[ 1 ]
But Justice Breyer’s assertion, post, at 10, that the death
penalty in this country has fallen short of the aspiration that
capital punishment be reserved for the “worst of the worst” —a
notion itself based on an implicit proportionality principle that
has long been discredited, see Harmelin v. Michigan ,
501 U. S. 957, 966 (1991) (opinion of Scalia, J.)—merits
further comment. His conclusion is based on an analysis that itself
provides a powerful case against enforcing an imaginary
constitutional rule against “arbitrariness.”
The thrust of Justice Breyer’s argument is that
empirical studies performed by death penalty abolitionists reveal
that the assignment of death sentences does not necessarily
correspond to the “egregiousness” of the crimes, but instead
appears to be correlated to “arbitrary” factors, such as the
locality in which the crime was committed. Relying on these studies
to determine the constitutionality of the death penalty fails to
respect the values implicit in the Constitution’s allocation of
decisionmaking in this context. The Donohue study, on which Justice
Breyer relies most heavily, measured the “egregiousness” (or
“deathworthiness”) of murders by asking lawyers to identify the
legal grounds for aggravation in each case, and by asking law
students to evaluate written summaries of the murders and assign
“egregiousness” scores based on a rubric designed to capture and
standardize their moral judgments. Donohue, An Empirical Evaluation
of the Connecticut Death Penalty System Since 1973, Are There
Unlawful Racial, Gender, and Geographic Disparities? 11 J. of
Empirical Legal Studies 637, 644–645 (2014). This exercise in some
ways approximates the function performed by jurors, but there is at
least one critical difference: The law students make their moral
judgments based on written summaries—they do not sit through hours,
days, or weeks of evidence detailing the crime; they do not have an
opportunity to assess the credibility of witnesses, to see the
remorse of the defendant, to feel the impact of the crime on the
victim’s family; they do not bear the burden of deciding the fate
of another human being; and they are not drawn from the community
whose sense of security and justice may have been torn asunder by
an act of callous disregard for human life. They are like appellate
judges and justices, reviewing only a paper record of each side’s
case for life or death.
There is a reason the choice between life and
death, within legal limits, is left to the jurors and judges who
sit through the trial, and not to legal elites (or law
students).[ 2 ] That reason is
memorialized not once, but twice, in our Constitution: Article III
guarantees that “[t]he Trial of all Crimes, except in cases of
Impeachment, shall be by Jury” and that “such Trial shall be held
in the State where the said Crimes shall have been committed.” Art.
III, §2, cl. 3. And the Sixth Amendment promises that “[i]n
all criminal prosecutions, the accused shall enjoy the right to a
. . . trial, by an impartial jury of the State and
district wherein the crime shall have been committed.” Those
provisions ensure that capital defendants are given the option to
be sentenced by a jury of their peers who, collectively, are better
situated to make the moral judgment between life and death than are
the products of contemporary American law schools.
It should come as no surprise, then, that the
primary explanation a regression analysis revealed for the gap
between the egregiousness scores and the actual sentences was not
the race or sex of the offender or victim, but the locality in
which the crime was committed. Donohue, supra, at 640; see
also post, at 12 (Breyer, J., dissenting). What is more
surprising is that Justice Breyer considers this factor to be
evidence of arbitrariness. See ibid. The constitutional
provisions just quoted, which place such decisions in the hands of
jurors and trial courts located where “the crime shall have been
committed,” seem deliberately designed to introduce that
factor.
In any event, the results of these studies are
inherently unreliable because they purport to control for
egregiousness by quantifying moral depravity in a process that is
itself arbitrary, not to mention dehumanizing. One such study’s
explanation of how the author assigned “depravity points” to
identify the “worst of the worst” murderers proves the point well.
McCord, Lightning Still Strikes, 71 Brooklyn L. Rev. 797,
833–834 (2005). Each aggravating factor received a point value
based on the “blameworth[iness]” of the action associated with it. Id., at 830. Killing a prison guard, for instance, earned a
defendant three “depravity points” because it improved the case for
complete incapacitation, while killing a police officer merited
only two, because, “considered dispassionately,” such acts do “not
seem be a sine qua non of the worst criminals.” Id., at 834–836. (Do not worry, the author reassures us, “many killers
of police officers accrue depravity points in other ways that
clearly put them among the worst criminals.” Id., at 836.)
Killing a child under the age of 12 was worth two depravity points,
because such an act “seems particularly heartless,” but killing
someone over the age of 70 earned the murderer only one, for
although “elderly victims tug at our hearts,” they do so “less”
than children “because the promise of a long life is less.” Id., at 836, 838. Killing to make a political statement was
worth three depravity points; killing out of racial hatred, only
two. Id., at 835, 837. It goes on, but this small sample of
the moral judgments on which this study rested shows just how
unsuitable this evidence is to serve as a basis for a judicial
decision declaring unconstitutional a punishment duly enacted in
more than 30 States, and by the Federal Government.
We owe victims more than this sort of
pseudoscientific assessment of their lives. It is bad enough to
tell a mother that her child’s murder is not “worthy” of society’s
ultimate expression of moral condemnation. But to do so based on
cardboard stereotypes or cold mathematical calculations is beyond
my comprehension. In my decades on the Court, I have not seen a
capital crime that could not be considered sufficiently
“blameworthy” to merit a death sentence (even when genuine
constitutional errors justified a vacatur of that
sentence).[ 3 ]
A small sample of the applications for a stay of
execution that have come before the Court this Term alone proves my
point. Mark Christeson was due to be executed in October 2014 for
his role in the murder of Susan Brouk and her young children,
Adrian and Kyle. After raping Ms. Brouk at gunpoint, he and his
accomplice drove the family to a remote pond, where Christeson cut
Ms. Brouk’s throat with a bone knife. State v. Christeson , 50 S. W. 3d 251, 257–258 (Mo. 2001).
Although bleeding profusely, she stayed alive long enough to tell
her children she loved them and to watch as Christeson murdered
them—her son, by cutting his throat twice and drowning him; her
daughter, by pressing down on her throat until she suffocated. Ibid. Christeson and his accomplice then threw Ms.
Brouk—alive but barely breathing—into the pond to drown on top of
her dead children. Ibid. This Court granted him a stay of
execution. Christeson v. Roper , 574 U. S. ___
(2014). Lisa Ann Coleman was not so lucky. She was executed on
September 17, 2014, for murdering her girlfriend’s son, 9-year-old
Davontae Williams, by slowly starving him to death. Coleman v. State , 2009 WL 4696064, *1 (Tex. Crim. App., Dec. 9,
2009). When he died, Davontae had over 250 distinct
injuries—including cigarette burns and ligature marks—on his
36-pound frame. Id., at *2. Infections from untreated wounds
contributed to his other cause of death: pneumonia. Id., at
*1–*2. And Johnny Shane Kormondy, who met his end on January 15,
2015, did so after he and his two accomplices invaded the home of a
married couple, took turns raping the wife and forcing her to
perform oral sex at gunpoint—at one point, doing both
simultaneously—and then put a bullet in her husband’s head during
the final rape. Kormondy v. Secretary, Fla. Dept. of
Corrections , 688 F. 3d 1244, 1247–1248 (CA11 2012).
Some of our most “egregious” cases have been
those in which we have granted relief based on an unfounded Eighth
Amendment claim. For example, we have granted relief in a number of
egregious cases based on this Court’s decision in Atkins v. Virginia , 536 U. S. 304 (2002) , exempting certain
“mentally retarded” offenders from the death penalty. Last Term,
the Court granted relief to a man who kidnaped, beat, raped, and
murdered a 21-year-old pregnant newlywed, Karol Hurst, also
murdering her unborn child, and then, on the same day, murdered a
sheriff’s deputy acting in the line of duty. Hall v. Florida , 572 U. S. ___, ___ (2014) (slip op., at 1).
And in Atkins itself, the Court granted relief to a man who
carjacked Eric Michael Nesbitt, forced him to withdraw money from a
bank, drove him to a secluded area, and then shot him multiple
times before leaving him to bleed to death. Atkins v. Commonwealth , 257 Va. 160, 166–167, 510 S. E. 2d 445,
449–450 (1999).
The Court has also misinterpreted the Eighth
Amendment to grant relief in egregious cases involving rape. In Kennedy v. Louisiana , 554 U. S. 407 (2008) , the
Court granted relief to a man who had been sentenced to death for
raping his 8-year-old stepdaughter. The rape was so violent that it
“separated her cervix from the back of her vagina, causing her
rectum to protrude into the vaginal structure,” and tore her
“entire perineum . . . from the posterior fourchette to
the anus.” Id., at 414 . The evidence indicated that
the petitioner spent at least an hour and half attempting to
destroy the evidence of his crime before seeking emergency
assistance, even as his stepdaughter bled profusely from her
injuries. Id., at 415. And in Coker v. Georgia , 433 U. S. 584 (1977) (plurality opinion), the
Court granted relief to a petitioner who had escaped from prison,
broken into the home of a young married couple and their newborn,
forced the wife to bind her husband, gagged her husband with her
underwear, raped her (even after being told that she was recovering
from a recent childbirth), and then kidnaped her after threatening
her husband, Coker v. State , 234 Ga. 555, 556–557,
216 S. E. 2d 782, 786–787 (1975). In each case, the Court
crafted an Eighth Amendment right to be free from execution for the
crime of rape—whether it be of an adult, Coker , 433
U. S., at 592, or a child, Kennedy , supra , at
413.
The Court’s recent decision finding that the
Eighth Amendment prohibits the execution of those who committed
their crimes as juveniles is no different. See Roper v. Simmons , 543 U. S. 551 (2005) . Although the Court had
rejected the claim less than two decades earlier, Stanford v. Kentucky , 492 U. S. 361 (1989) , it decided to
revisit the issue for a petitioner who had slain his victim because
“he wanted to murder someone” and believed he could “get away with
it” because he was a few months shy of his 18th birthday. 543
U. S., at 556. His randomly chosen victim was Shirley Crook,
whom he and his friends kidnaped in the middle of the night, bound
with duct tape and electrical wire, and threw off a bridge to drown
in the river below. Id., at 556–557. The State of Alabama’s
brief in that case warned the Court that its decision would free
from death row a number of killers who had been sentenced for
crimes committed as juveniles. Brief for State of Alabama
et al. as Amici Curiae in Roper v. Simmons , O. T. 2014, No. 03–633. Mark Duke, for example,
murdered his father for refusing to loan him a truck, and his
father’s girlfriend and her two young daughters because he wanted
no witnesses to the crime. Id., at 4. He shot his father and
his father’s girlfriend pointblank in the face as they pleaded for
their lives. Id., at 5–6. He then tracked the girls down in
their hiding places and slit their throats, leaving them alive for
several minutes as they drowned in their own blood. Id., at
6–7.
Whatever one’s views on the permissibility or
wisdom of the death penalty, I doubt anyone would disagree that
each of these crimes was egregious enough to merit the severest
condemnation that society has to offer. The only constitutional problem with the fact that these criminals
were spared that condemnation, while others were not, is that their
amnesty came in the form of unfounded claims. Arbitrariness has
nothing to do with it.[ 4 ] To
the extent that we are ill at ease with these disparate outcomes,
it seems to me that the best solution is for the Court to stop
making up Eighth Amendment claims in its ceaseless quest to end the
death penalty through undemocratic means. Notes 1 Generally: Baze v. Rees , 553 U. S. 35 –97 (2008) (Thomas, J., concurring
in judgment) (explaining that the Cruel and Unusual Punishments
Clause does not prohibit the death penalty, but only torturous
punishments); Graham v. Collins , 506 U. S. 461,
488 (1993) (Thomas, J., concurring); Gardner v. Florida , 430 U. S. 349, 371 (1977) (Rehnquist, J.,
dissenting) (“The prohibition of the Eighth Amendment relates to
the character of the punishment, and not to the process by which it
is imposed”). On reliability: Kansas v. Marsh , 548
U. S. 163, 181 (2006) (noting that the death penalty remains
constitutional despite imperfections in the criminal justice
system); McGautha v. California , 402 U. S. 183,
221 (1971) (“[T]he Federal Constitution, which marks the limits of
our authority in these cases, does not guarantee trial procedures
that are the best of all worlds, or that accord with the most
enlightened ideas of students of the infant science of criminology,
or even those that measure up to the individual predilections of
members of this Court”). On arbitrariness: Ring v. Arizona , 536 U. S. 584, 610 (2002) (Scalia, J.,
concurring) (explaining that what compelled States to specify
“ ‘aggravating factors’ ” designed to limit the death
penalty to the worst of the worst was this Court’s baseless
jurisprudence concerning juror discretion); McCleskey v. Kemp , 481 U. S. 279 –312 (1987) (noting that various
procedures, including the right to a jury trial, constitute a
defendant’s protection against arbitrariness in the application of
the death penalty). On excessive delays: Knight v. Florida , 528 U. S. 990 (1999) (Thomas, J., concurring
in denial of certiorari) (“I am unaware of any support in the
American constitutional tradition or in this Court’s precedent for
the proposition that a defendant can avail himself of the panoply
of appellate and collateral procedures and then complain when his
execution is delayed”); see also Johnson v. Bredesen ,
558 U. S. 1067, 1070 (2009) (Thomas, J., concurring in denial
of certiorari). And on the decline in use of the death penalty: Atkins v. Virginia , 536 U. S. 304, 345 (2002)
(Scalia, J., dissenting); Woodson v. North Carolina ,
428 U. S. 280 –310 (1976) (Rehnquist, J.,
dissenting). 2 For some, a faith in the
jury seems to be correlated to that institution’s likelihood of preventing imposition of the death penalty. See, e.g., Ring v. Arizona , 536 U. S. 584, 614
(2002) (Breyer, J., concurring in judgment) (arguing that “the
Eighth Amendment requires that a jury, not a judge, make the
decision to sentence a defendant to death”); Wainwright v. Witt , 469 U. S. 412, 440, n. 1 (1985) (Brennan, J.,
dissenting) (“However heinous Witt’s crime, the majority’s vivid
portrait of its gruesome details has no bearing on the issue before
us. It is not for this Court to decide whether Witt deserves to
die. That decision must first be made by a jury of his
peers”). 3 For his part, Justice
Breyer explains that his experience on the Court has shown him
“discrepancies for which [he] can find no rational explanations.” Post, at 16. Why, he asks, did one man receive death for a
single-victim murder, while another received life for murdering a
young mother and nearly killing her infant? Ibid. The
outcomes in those two cases may not be morally compelled, but there
was certainly a rational explanation for them: The first man, who
had previously confessed to another murder, killed a disabled man
who had offered him a place to stay for the night. State v. Badgett , 361 N. C. 234, 239–240, 644 S. E. 2d 206,
209–210 (2007). The killer stabbed his victim’s throat and
prevented him from seeking medical attention until he bled to
death. Ibid. The second man expressed remorse for his crimes
and claimed to suffer from mental disorders. See Charbonneau, Andre
Edwards Sentenced to Life in Prison for 2001 Murder, WRAL, Mar. 26,
2004, online at
http:/ / www.wral.com / news / local / story / 109648
(all Internet materials as visited June 25, 2015, and available in
Clerk of Court’s case file); Charbonneau, Jury Finds Andre Edwards
Guilty of First-Degree Murder, WRAL, Mar. 23, 2004, online at
http:/ / www.wral.com / news / local / story / 109563 . The other “discrepancies” similarly have “rational” explanations,
even if reasonable juries could have reached different
results. 4 Justice Breyer appears to
acknowledge that our decision holding mandatory death penalty
schemes unconstitutional, Woodson v. North Carolina ,
428 U. S. 280 (1976) (plurality opinion), may have introduced
the problem of arbitrary application. Post , at 14. I agree
that Woodson eliminated one reliable legislative response to
concerns about arbitrariness. Graham v. Collins , 506
U. S. 461, 486 (1993) (Thomas, J., concurring). Because that
decision was also questionable on constitutional grounds, id., at 486–488, I would be willing to revisit it in a
future case. SUPREME COURT OF THE UNITED STATES
_________________
No. 14–7955
_________________
RICHARD E. GLOSSIP, et al., PETITIONERS v. KEVIN J. GROSS, et al.
on writ of certiorari to the united states
court of appeals for the tenth circuit
[June 29, 2015]
Justice Breyer, with whom Justice Ginsburg
joins, dissenting.
For the reasons stated in Justice Sotomayor’s
opinion, I dissent from the Court’s holding. But rather than try to
patch up the death penalty’s legal wounds one at a time, I would
ask for full briefing on a more basic question: whether the death
penalty violates the Constitution.
The relevant legal standard is the standard set
forth in the Eighth Amendment. The Constitution there forbids the
“inflict[ion]” of “cruel and unusual punishments.” Amdt. 8. The
Court has recognized that a “claim that punishment is excessive is
judged not by the standards that prevailed in 1685 when Lord
Jeffreys presided over the ‘Bloody Assizes’ or when the Bill of
Rights was adopted, but rather by those that currently prevail.” Atkins v. Virginia , 536 U. S. 304, 311 (2002) .
Indeed, the Constitution prohibits various gruesome punishments
that were common in Blackstone’s day. See 4 W. Blackstone,
Commentaries on the Laws of England 369–370 (1769) (listing
mutilation and dismembering, among other punishments).
Nearly 40 years ago, this Court upheld the death
pen-alty under statutes that, in the Court’s view, contained
safeguards sufficient to ensure that the penalty would be applied
reliably and not arbitrarily. See Gregg v. Georgia ,
428 U. S. 153, 187 (1976) (joint opinion of Stewart, Powell,
and Stevens, JJ.); Proffitt v. Florida , 428
U. S. 242, 247 (1976) (joint opinion of Stewart, Powell, and
Stevens, JJ.); Jurek v. Texas , 428 U. S. 262,
268 (1976) (joint opinion of Stewart, Powell, and Stevens, JJ.);
but cf. Woodson v. North Carolina , 428 U. S.
280, 303 (1976) (plurality opinion) (striking down mandatory death
penalty); Roberts v. Louisiana , 428 U. S. 325,
331 (1976) (plurality opinion) (similar). The circumstances and the
evidence of the death penalty’s application have changed radically
since then. Given those changes, I believe that it is now time to
reopen the question.
In 1976, the Court thought that the
constitutional infirmities in the death penalty could be healed;
the Court in effect delegated significant responsibility to the
States to develop procedures that would protect against those
constitutional problems. Almost 40 years of studies, surveys, and
experience strongly indicate, however, that this effort has failed.
Today’s administration of the death penalty involves three
fundamental constitutional defects: (1) serious unreliability, (2)
arbitrariness in application, and (3) unconscionably long delays
that undermine the death penalty’s penological purpose. Perhaps as
a result, (4) most places within the United States have abandoned
its use.
I shall describe each of these considerations,
emphasizing changes that have occurred during the past four
decades. For it is those changes, taken together with my own 20
years of experience on this Court, that lead me to believe that the
death penalty, in and of itself, now likely constitutes a legally
prohibited “cruel and unusual punishmen[t].” U. S. Const.,
Amdt. 8.
I “Cruel”—Lack of Reliability This Court has specified that the finality of
death creates a “qualitative difference” between the death penalty
and other punishments (including life in prison). Woodson ,
428 U. S., at 305 (plurality opinion). That “qualitative
difference” creates “a corresponding difference in the need for
reliability in the determination that death is the appropriate
punishment in a specific case.” Ibid. There is increasing
evidence, however, that the death penalty as now applied lacks that
requisite reliability. Cf. Kansas v. Marsh , 548
U. S. 163 –211 (2006) (Souter, J., dis-senting) (DNA
exonerations constitute “a new body offact” when considering the
constitutionality of capital punishment).
For one thing, despite the difficulty of
investigating the circumstances surrounding an execution for a
crime that took place long ago, researchers have found convincing
evidence that, in the past three decades, innocent people have been
executed. See, e.g., Liebman, Fatal Injustice; Carlos
DeLuna’s Execution Shows That a Faster, Cheaper Death Penalty is a
Dangerous Idea, L. A. Times, June 1, 2012, p. A19 (describing
results of a 4-year investigation, later published as The Wrong
Carlos: Anatomy of a Wrongful Execution (2014), that led its
authors to conclude that Carlos DeLuna, sentenced to death and
executed in 1989, six years after his arrest in Texas for stabbinga
single mother to death in a convenience store, was innocent);
Grann, Trial By Fire: Did Texas Execute An Innocent Man? The New
Yorker, Sept. 7, 2009, p. 42 (describing evidence that Cameron
Todd Willingham was convicted, and ultimately executed in 2004, for
the apparently motiveless murder of his three children as the
result of invalid scientific analysis of the scene of the house
fire that killed his children). See also, e.g., Press
Release: Gov. Ritter Grants Posthumous Pardon in Case Dating Back
to 1930s, Jan. 7, 2011, p. 1 (Colorado Governor granted full and
unconditional posthumous pardon to Joe Arridy, a man with an IQ of
46 who was executed in 1936, because, according to the Governor,
“an overwhelming body of evidence indicates the 23-year-old Arridy
was innocent, including false and coerced confessions, the
likelihood that Arridy was not in Pueblo at the time of the
killing, and an admission of guilt by someone else”); R. Warden,
Wilkie Collins’s The Dead Alive: The Novel, the Case, and Wrongful
Convictions 157–158 (2005) (in 1987, Nebraska Governor Bob Kerrey
pardoned William Jackson Marion, who had been executed a century
earlier for the murder of John Cameron, a man who later turned up
alive; the alleged victim, Cameron, had gone to Mexico to avoid a
shotgun wedding).
For another, the evidence that the death penalty
has been wrongly imposed (whether or not it was carried
out), is striking. As of 2002, this Court used the word
“disturbing” to describe the number of instances in which
individuals had been sentenced to death but later exonerated.
Atthat time, there was evidence of approximately 60exonerations in
capital cases. Atkins , 536 U. S., at320, n. 25;
National Registry of Exonerations, online at
http://www.law.umich.edu/special/exoneration/Pages/about.aspx (all
Internet materials as visited June 25, 2015, and available in Clerk
of Court’s case file). (I use “exoneration” to refer to relief from all legal consequences of a capital conviction through a
decision by a prosecutor, a Governor or a court, after new evidence
of the defendant’s innocence was discovered.) Since 2002, the
number of exonerations in capital cases has risen to 115. Ibid. ; National Registry of Exonerations, Exonerations in
the United States, 1989–2012, pp. 6–7 (2012) (Exonerations
2012 Report) (defining exoneration); accord, Death Penalty
Information Center (DPIC), Innocence: List of Those Freed from
Death Row, online at
http://www.deathpenaltyinfo.org/innocence-and-death-penalty (DPIC
Innocence List) (calculating, under a slightly different definition
of exoneration, the number of exonerations since 1973 as 154). Last
year, in 2014, six death row inmates were exonerated based on
actual innocence. All had been imprisoned for more than 30 years
(and one for almost 40 years) at the time of their exonerations.
National Registry of Exonerations, Exonerations in 2014, p. 2
(2015).
The stories of three of the men exonerated
within the last year are illustrative. DNA evidence showed that
Henry Lee McCollum did not commit the rape and murder for which he
had been sentenced to death. Katz & Eckholm, DNA Evidence
Clears Two Men in 1983 Murder, N. Y. Times, Sept. 3, 2014, p.
A1. Last Term, this Court ordered that Anthony Ray Hinton, who had
been convicted of murder, receive further hearings in state court;
he was exonerated earlier this year because the forensic evidence
used against him was flawed. Hinton v. Alabama , 571
U. S. ___ (2014) ( per curiam ); Blinder, Alabama Man on
Death Row for Three Decades Is Freed as State’s Case Erodes,
N. Y. Times, Apr. 4, 2014, p. A11. And when Glenn Ford, also
convicted of murder, was exonerated, the prosecutor admitted that
even “[a]t the time this case was tried there was evidence that
would have cleared Glenn Ford.” Stroud, Lead Prosecutor Apologizes
for Role in Sending Man to Death Row, Shreveport Times, Mar. 27,
2015. All three of these men spent 30 years on death row before
being exonerated. I return to these examples infra .
Furthermore, exonerations occur far more
frequently where capital convictions, rather than ordinary criminal
convictions, are at issue. Researchers have calculated that courts
(or State Governors) are 130 times more likely to exonerate a
defendant where a death sentence is at issue. They are nine times
more likely to exonerate where a capital murder, rather than a
noncapital murder, is at issue. Exonerations 2012 Report 15–16, and
nn. 24–26.
Why is that so? To some degree, it must be
because the law that governs capital cases is more complex. To some
degree, it must reflect the fact that courts scrutinize capital
cases more closely. But, to some degree, it likely also reflects a greater likelihood of an initial wrongful conviction . How
could that be so? In the view of researchers who have conducted
these studies, it could be so because the crimes at issue in
capital cases are typically horrendous murders, and thus
accompanied by intense community pressure on police, prosecutors,
and jurors to secure a conviction. This pressure creates a greater
likelihood of convicting the wrong person. See Gross, Jacoby,
Matheson, Montgomery, & Patil, Exonerations in the United
States 1989 Through 2003, 95 J. Crim. L. & C. 523, 531–533
(2005); Gross & O’Brien, Frequency and Predictors of False
Conviction: Why We Know So Little, and New Data on Capital Cases, 5
J. Empirical L. Studies 927, 956–957 (2008) (noting that, in
comparing those who were exonerated from death row to other capital
defendants who were not so exonerated, the initial police
investigations tended to be shorter for those exonerated); see also
B. Garrett, Convicting the Innocent: Where Criminal Prosecutions Go
Wrong (2011) (discussing other common causes of wrongful
convictions generally including false confessions, mistaken
eyewitness testimony, untruthful jailhouse informants, and
ineffective defense counsel).
In the case of Cameron Todd Willingham, for
example, who (as noted earlier) was executed despite likely
innocence, the State Bar of Texas recently filed formal misconduct
charges against the lead prosecutor for his actions—actions that
may have contributed to Willingham’s conviction. Possley,
Prosecutor Accused of Misconduct in Death Penalty Case, Washington
Post, Mar. 19, 2015, p. A3. And in Glenn Ford’s case, the
prosecutor admitted that he was partly responsible for Ford’s
wrongful conviction, issuing a public apology to Ford and
explaining that, at the time of Ford’s conviction, he was “not as
interested in justice as [he] was in winning.” Stroud, supra .
Other factors may also play a role. One is the
practice of death-qualification; no one can serve on a capital jury
who is not willing to impose the death penalty. See Rozelle, The
Principled Executioner: Capital Juries’ Bias and the Benefits of
True Bifurcation, 38 Ariz. S. L. J. 769, 772–793, 807 (2006)
(summarizing research and concluding that “[f]or over fifty years,
empirical investigation has demonstrated that death qualification
skews juries toward guilt and death”); Note, Mandatory Voir Dire
Questions in Capital Cases: A Potential Solution to the Biases of
Death Qualification, 10 Roger Williams Univ. L. Rev. 211,
214–223 (2004) (similar).
Another is the more general problem of flawed
forensic testimony. See Garrett, supra, at 7. The Federal
Bureau of Investigation (FBI), for example, recently found that
flawed microscopic hair analysis was used in 33 of 35 capital cases
under review; 9 of the 33 had already been executed. FBI, National
Press Releases, FBI Testimony on Microscopic Hair Analysis
Contained Errors in at Least 90 Percent of Cases in Ongoing Review,
Apr. 20, 2015. See also Hsu, FBI Admits Errors at Trials: False
Matches on Crime-Scene Hair, Washington Post, Apr. 19, 2015,
p. A1 (in the District of Columbia, which does not have the
death penalty, five of seven defendants in cases with flawed hair
analysis testimony were eventually exonerated).
In light of these and other factors, researchers
estimate that about 4% of those sentenced to death are actually
innocent. See Gross, O’Brien, Hu, & Kennedy, Rate of False
Conviction of Criminal Defendants Who Are Sentenced to Death, 111
Proceeding of the National Academy of Sciences 7230 (2014)
(full-scale study of all death sentences from 1973 through 2004
estimating that 4.1% of those sentenced to death are actually
innocent); Risinger, Innocents Convicted: An Empirically Justified
Factual Wrongful Conviction Rate, 97 J. Crim. L. & C. 761
(2007) (examination of DNA exonerations in death penalty cases for
murder-rapes between 1982 and 1989 suggesting an analogous rate of
between 3.3% and 5%).
Finally, if we expand our definition of
“exoneration” (which we limited to errors suggesting the defendant
was actually innocent) and thereby also categorize as “erroneous”
instances in which courts failed to follow legally required
procedures, the numbers soar. Between 1973 and 1995, courts
identified prejudicial errors in 68% of the capital cases before
them. Gelman, Liebman, West, & Kiss, A Broken System: The
Persistent Patterns of Reversals of Death Sentences in the United
States, 1 J. Empirical L. Studies 209, 217 (2004). State courts on
direct and postconviction review overturned 47% of the sentences
they reviewed. Id., at 232. Federal courts, reviewing
capital cases in habeas corpus proceedings, found error in 40% of
those cases. Ibid. This research and these figures are likely
controversial. Full briefing would allow us to scrutinize them with
more care. But, at a minimum, they suggest a serious problem of
reliability. They suggest that there are too many instances in
which courts sentence defendants to death without complying with
the necessary procedures; and they suggest that, in a significant
number of cases, the death sentence is imposed on a person who did
not commit the crime. See Earley, A Pink Cadillac, An IQ of 63, and
A Fourteen-Year-Old from South Carolina: Why I Can No Longer
Support the Death Penalty, 49 U. Rich. L. Rev. 811, 813 (2015)
(“I have come to the conclusion that the death penalty is based on
a false utopian premise. That false premise is that we have had, do
have, will have 100% accuracy in death penalty convictions and
executions”); Earley, I Oversaw 36 Executions. Even Death Penalty
Supporters Can Push for Change, Guardian, May 12, 2014 (Earley
presided over 36 executions as Virginia Attorney General from
1998–2001); but see ante , at 2–3 (Scalia, J., concurring)
(apparently finding no special constitutional problem arising from
the fact that the execution of an innocent person is irreversible).
Unlike 40 years ago, we now have plausible evidence of
unreliability that (perhaps due to DNA evidence) is stronger than
the evidence we had before. In sum, there is significantly more
research-based evidence today indicating that courts sentence to
death individuals who may well be actually innocent or whose
convictions (in the law’s view) do not warrant the death penalty’s
application.
II “Cruel”—Arbitrariness The arbitrary imposition of punishment is the
antithesis of the rule of law. For that reason, Justice Potter
Stewart (who supplied critical votes for the holdings in Furman v. Georgia , 408 U. S. 238 (1972) ( per
curiam ), and Gregg ) found the death penalty
unconstitutional as administered in 1972:
“These death sentences are cruel and
unusual in the same way that being struck by lightning is cruel and
unusual. For, of all the people convicted of [death-eligible
crimes], many just as reprehensible as these, the[se] petitioners
are among a capriciously selected random handful upon which the
sentence of death has in fact been imposed.” Furman , 408
U. S., at 309–310 (concurring opinion).
See also id. , at 310 (“[T]he Eighth and
Fourteenth Amendments cannot tolerate the infliction of a sentence
of death under legal systems that permit this unique penalty to be
so wantonly and so freakishly imposed”); id. , at 313 (White,
J., concurring) (“[T]he death penalty is exacted with great
infrequency even for the most atrocious crimes and . . .
there is no meaningful basis for distinguishing the few cases in
which it is imposed from the many cases in which it is not”).
When the death penalty was reinstated in 1976,
this Court acknowledged that the death penalty is (and would be)
unconstitutional if “inflicted in an arbitrary and capricious
manner.” Gregg , 428 U. S., at 188 (joint opinion of
Stewart, Powell, and Stevens, JJ.); see also id., at 189
(“[W]here discretion is afforded a sentencing body on a matter so
grave as the determination of whether a human life should be taken
or spared, that discretion must be suitably directed and limited so
as to minimize the risk of wholly arbitrary and capricious
action”); Godfrey v. Georgia , 446 U. S. 420, 428
(1980) (plurality opinion) (similar).
The Court has consequently sought to make the
application of the death penalty less arbitrary by restricting its
use to those whom Justice Souter called “ ‘the worst of the
worst.’ ” Kansas v. Marsh , 548 U. S., at
206 (dissenting opinion); see also Roper v. Simmons ,
543 U. S. 551, 568 (2005) (“Capital punishment must be limited
to those offenders who commit a narrow category of the most serious
crimes and whose extreme culpability makes them the most deserving
of execution” (internal quotation marks omitted)); Kennedy v. Louisiana , 554 U. S. 407, 420 (2008) (citing Roper , supra, at 568).
Despite the Gregg Court’s hope for fair
administration of the death penalty, 40 years of further experience
make it increasingly clear that the death penalty is imposed
arbitrarily, i.e. , without the “reasonable consistency”
legally necessary to reconcile its use with the Constitution’s
commands. Eddings v. Oklahoma , 455 U. S. 104,
112 (1982) .
Thorough studies of death penalty sentences
support this conclusion. A recent study, for example, examined all
death penalty sentences imposed between 1973 and 2007 in
Connecticut, a State that abolished the death penalty in 2012.
Donohue, An Empirical Evaluation of the Connecticut Death Penalty
System Since 1973: Are There Unlawful Racial, Gender, and
Geographic Disparities? 11 J. Empirical Legal Studies 637 (2014).
The study reviewed treatment of all homicide defendants. It found
205 instances in which Connecticut law made the defendant eligible
for a death sentence. Id., at 641–643. Courts imposed a
death sentence in 12 of these 205 cases, of which 9 were sustained
on appeal. Id., at 641. The study then measured the
“egregiousness” of the murderer’s conduct in those 9 cases,
developing a system of metrics designed to do so. Id., at
643–645. It then compared the egregiousness of the conduct of the 9
defendants sentenced to death with the egregiousness of the conduct
of defendants in the remaining 196 cases (those in which the
defendant, though found guilty of a death-eligible offense, was
ultimately not sentenced to death). Application of the studies’
metrics made clear that only 1 of those 9 defendants was indeed the
“worst of the worst” (or was, at least, within the 15% considered
most “egregious”). The remaining eight were not. Their behavior was
no worse than the behavior of at least 33 and as many as 170 other defendants (out of a total pool of 205) who had not been
sentenced to death. Id. , at 678–679.
Such studies indicate that the factors that most
clearly ought to affect application of the death penalty—namely,
comparative egregiousness of the crime—often do not. Other studies
show that circumstances that ought not to affect application
of the death penalty, such as race, gender, or geography, often do .
Numerous studies, for example, have concluded
that individuals accused of murdering white victims, as opposed to
black or other minority victims, are more likely to receive the
death penalty. See GAO, Report to the Senate and House Committees
on the Judiciary: Death Penalty Sentencing 5 (GAO/GGD–90–57, 1990)
(82% of the 28 studies conducted between 1972 and 1990 found that
race of victim influences capital murder charge or death sentence,
a “finding . . . remarkably consistent across data sets,
states, data collection methods, and analytic techniques”); Shatz
& Dalton, Challenging the Death Penalty with Statistics: Furman , McCleskey , and a Single County Case Study, 34
Cardozo L. Rev. 1227, 1245–1251 (2013) (same conclusion drawn
from 20 plus studies conducted between 1990 and 2013).
Fewer, but still many, studies have found that
the gender of the defendant or the gender of the victim makes a
not-otherwise-warranted difference. Id., at 1251–1253
(citing many studies).
Geography also plays an important role in
determining who is sentenced to death. See id., at
1253–1256. And that is not simply because some States permit the
death penalty while others do not. Rather within a death
pen-alty State, the imposition of the death penalty heavily
de-pends on the county in which a defendant is tried. Smith, The
Geography of the Death Penalty and its Ramifications, 92 B. U.
L. Rev. 227, 231–232 (2012) (hereinafter Smith); see also
Donohue, supra, at 673 (“[T]he single most important
influence from 1973–2007 explaining whether a death-eligible
defendant [in Connecticut] would be sentenced to death was whether
the crime occurred in Waterbury [County]”). Between 2004 and 2009,
for example, just 29 counties (fewer than 1% of counties in the
country) accounted for approximately half of all death sentences
imposed nationwide. Smith 233. And in 2012, just 59 counties (fewer
than 2% of counties in the country) accounted for all death
sentences imposed nationwide. DPIC, The 2% Death Penalty: How A
Minority of Counties Produce Most Death Cases At Enormous Costs to
All 9 (Oct. 2013).
What accounts for this county-by-county
disparity? Some studies indicate that the disparity reflects the
decisionmaking authority, the legal discretion, and ultimately the
power of the local prosecutor. See, e.g., Goelzhauser,
Prosecutorial Discretion Under Resource Constraints: Budget
Allocations and Local Death-Charging Decisions, 96 Judicature 161,
162–163 (2013); Barnes, Sloss, & Thaman, Place Matters (Most):
An Empirical Study of Prosecutorial Decision-Making in
Death-Eligible Cases, 51 Ariz. L. Rev. 305 (2009) (analyzing
Missouri); Donohue, An Empirical Evaluation of the Connecticut
Death Pen-alty System, at 681 (Connecticut); Marceau, Kamin, &
Foglia, Death Eligibility in Colorado: Many Are Called, Few Are
Chosen, 84 U. Colo. L. Rev. 1069 (2013) (Colo-rado); Shatz
& Dalton, supra, at 1260–1261 (Alameda County).
Others suggest that the availability of
resources for defense counsel (or the lack thereof) helps explain
geographical differences. See, e.g., Smith 258–265 (counties
with higher death-sentencing rates tend to have weaker public
defense programs); Liebman & Clarke, Minority Practice,
Majority’s Burden: The Death Penalty Today, 9 Ohio S. J. Crim. L.
255, 274 (2011) (hereinafter Liebman & Clarke) (similar); see
generally Bright, Counsel for the Poor: The Death Sentence Not for
the Worst Crime but for the Worst Lawyer, 103 Yale L. J. 1835
(1994).
Still others indicate that the racial
composition of and distribution within a county plays an important
role. See, e.g. , Levinson, Smith, & Young, Devaluing
Death: An Empirical Study of Implicit Racial Bias on Jury-Eligible
Citizens in Six Death Penalty States, 89 N. Y. U.
L. Rev. 513, 533–536 (2014) (summarizing research on this
point); see also Shatz & Dalton, supra, at 1275
(describing research finding that death-sentencing rates were
lowest in counties with the highest nonwhite population); cf. Cohen
& Smith, The Racial Geography of the Federal Death Penalty, 85
Wash. L. Rev. 425 (2010) (arguing that the federal death
penalty is sought disproportionately where the federal district,
from which the jury will be drawn, has a dramatic racial difference
from the county in which the federal crime occurred).
Finally, some studies suggest that political
pressures, including pressures on judges who must stand for
election, can make a difference. See Woodward v. Alabama , 571 U. S. ___, ___ (2013) (Sotomayor, J.,
dissenting from denial of certiorari) (slip op., at 7) (noting that
empirical evidence suggests that, when Alabama judges reverse jury
recommendations, these “judges, who are elected in partisan
proceedings, appear to have succumbed to electoral pressures”); Harris v. Alabama , 513 U. S. 504, 519 (1995)
(Stevens, J., dissenting) (similar); Gelman, 1 J. Empirical L.
Studies, at 247 (elected state judges are less likely to reverse
flawed verdicts in capital cases in small towns than in larger
communities).
Thus, whether one looks at research indicating
that irrelevant or improper factors—such as race, gender, local
geography, and resources— do significantly determine who
receives the death penalty, or whether one looks at research
indicating that proper factors—such as “egregiousness”—do not determine who receives the death penalty, the legal
conclusion must be the same: The research strongly suggests that
the death penalty is imposedarbitrarily.
Justice Thomas catalogues the tragic details of
various capital cases, ante , at 6–10 (concurring opinion),
but this misses my point. Every murder is tragic, but unless we
return to the mandatory death penalty struck down in Woodson , 428 U. S., at 304–305, the constitutionality
of capital punishment rests on its limited application to the worst
of the worst, supra, at 9–10. And this extensive body of
evidence suggests that it is not so limited.
Four decades ago, the Court believed it possible
to interpret the Eighth Amendment in ways that would significantly
limit the arbitrary application of the death sentence. See Gregg , 428 U. S., at 195 (joint opinion of Stewart,
Powell, and Stevens, JJ.) (“[T]he concerns expressed in Furman that the penalty of death not be imposed in an
arbitrary or capricious manner can be met”). But that no longer
seems likely.
The Constitution does not prohibit the use of
prosecutorial discretion. Id., at 199, and n. 50 (joint
opinion of Stewart, Powell, and Stevens, JJ.); McCleskey v. Kemp , 481 U. S. 279 –308, and n. 28, 311–312 (1987). It
has not proved possible to increase capital defense funding
significantly. Smith, The Supreme Court and the Politics of Death,
94 Va. L. Rev. 283, 355 (2008) (“Capital defenders are
notoriously underfunded, particularly in states . . .
that lead the nation in executions”); American Bar Assn. (ABA)
Guidelines for the Appointment and Performance of Defense Counsel
in Death Penalty Cases, Guideline 9.1, Commentary (rev. ed. Feb.
2003), in 31 Hofstra L. Rev. 913, 985 (2003) (“[C]ompensation
of attorneys for death penalty representation remains notoriously
inadequate”). And courts cannot easily inquire into judicial
motivation. See, e.g., Harris , supra .
Moreover, racial and gender biases may,
unfortunately, reflect deeply rooted community biases (conscious or
unconscious), which, despite their legal irrelevance, may affect a
jury’s evaluation of mitigating evidence, see Callins v. Collins , 510 U. S. 1141, 1153 (1994) (Blackmun, J.,
dissenting from denial of certiorari) (“Perhaps it should not be
surprising that the biases and prejudices that infect society
generally would influence the determination of who is sentenced to
death”). Nevertheless, it remains the jury’s task to make the
individualized assessment of whether the defendant’s mitigation
evidence entitles him to mercy. See, e.g., Penry v. Lynaugh , 492 U. S. 302, 319 (1989) ; Lockett v. Ohio , 438 U. S. 586 –605 (1978) (opinion of Burger,
C. J.); Woodson , 428 U. S., at 304–305 (plurality
opinion).
Finally, since this Court held that comparative
proportionality review is not constitutionally required, Pulley v. Harris , 465 U. S. 37 (1984) , it seems
unlikely that appeals can prevent the arbitrariness I have
described. See Kaufman-Osborn, Capital Punishment, Proportionality
Review, and Claims of Fairness (with Lessons from Washington
State), 79 Wash. L. Rev. 775, 791–792 (2004) (after Pulley , many States repealed their statutes requiring
comparative proportionality review, and most state high courts
“reduced proportionality review to a perfunctory exercise”
(internal quotation marks omitted)).
The studies bear out my own view, reached after
considering thousands of death penalty cases and last-minute
petitions over the course of more than 20 years. I see
discrepancies for which I can find no rational explanations. Cf. Godfrey , 446 U. S., at 433 (plurality opinion) (“There
is no principled way to distinguish this case, in which the death
penalty was imposed, from the many cases in which it was not”). Why
does one defendant who committed a single-victim murder receive the
death pen-alty (due to aggravators of a prior felony conviction and
an after-the-fact robbery), while another defendant does not,
despite having kidnapped, raped, and murdered a young mother while
leaving her infant baby to die at the scene of the crime. Compare State v. Badgett , 361 N. C. 234, 644 S. E.
2d 206 (2007), and Pet. for Cert. in Badgett v. North
Carolina , O. T. 2006, No. 07–6156, with Charbonneau, Andre
Edwards Sentenced to Life in Prison for 2001 Murder, WRAL, Mar. 26,
2004, online at http://www.wral.com/news/local/story/109648. Why
does one defendant who committed a single-victim murder receive the
death pen-alty (due to aggravators of a prior felony conviction and
acting recklessly with a gun), while another defendant does not,
despite having committed a “triple murder” by killing a young man
and his pregnant wife? Compare Commonwealth v. Boxley , 596 Pa. 620, 948 A. 2d 742 (2008), and Pet. for
Cert., O. T. 2008, No. 08–6172, with Shea, Judge Gives
Consecutive Life Sentences for Triple Murder, Philadelphia
Inquirer, June 29, 2004, p. B5. For that matter, why does one
defendant who participated in a single-victim murder-for-hire
scheme (plus an after-the-fact robbery) receive the death penalty,
while another defendant does not, despite having stabbed his wife
60 times and killed his 6-year-old daughter and 3-year-old son
while they slept? See Donohue, Capital Punishment in Connecticut,
1973–2007: A Comprehensive Evaluation from 4686 Murders to One
Execution, pp. 128–134 (2013), online at
http://works.bepress.com/john_donohue/87. In each instance, the
sentences compared were imposed in the same State at about the same
time.
The question raised by these examples (and the
many more I could give but do not), as well as by the research to
which I have referred, is the same question Justice Stewart,
Justice Powell, and others raised over the course of several
decades: The imposition and implementation of the death penalty
seems capricious, random, indeed, arbitrary. From a defendant’s
perspective, to receive that sentence, and certainly to find it
implemented, is the equivalent of being struck by lightning. How
then can we reconcile the death penalty with the demands of a
Constitution that first and foremost insists upon a rule of
law?
III “Cruel”—Excessive Delays The problems of reliability and unfairness
almost inevitably lead to a third independent constitutional
problem: excessively long periods of time that individuals
typically spend on death row, alive but under sentence of death.
That is to say, delay is in part a problem that the Constitution’s
own demands create. Given the special need for reliability and
fairness in death penalty cases, the Eighth Amendment does, and
must, apply to the death penalty “with special force.” Roper , 543 U. S., at 568. Those who face “that most
severe sanction must have a fair opportunity to show that the
Constitution prohibits their execution.” Hall v. Florida , 572 U. S. ___, ___ (2014) (slip op., at 22).
At the same time, the Constitution insists that “every safeguard”
be “observed” when “a defendant’s life is at stake.” Gregg ,
428 U. S., at 187 (joint opinion of Stewart, Powell, and
Stevens, JJ.); Furman , 408 U. S., at 306 (Stewart, J.,
concurring) (death “differs from all other forms of criminal
punishment, not in degree but in kind”); Woodson , supra , at 305 (plurality opinion) (“Death, in its finality,
differs more from life imprisonment than a 100-year prison term
differs from one of only a year or two”).
These procedural necessities take time to
implement. And, unless we abandon the procedural requirements that
assure fairness and reliability, we are forced to confront the
problem of increasingly lengthy delays in capital cases.
Ultimately, though these legal causes may help to explain, they do
not mitigate the harms caused by delay itself.
A
Consider first the statistics. In 2014, 35
individualswere executed. Those executions occurred, on
average,nearly 18 years after a court initially pronounced
itssentence of death. DPIC, Execution List 2014, onlineat
http: / / www.deathpenaltyinfo.org / execution - list-2014
(showing an average delay of 17 years, 7 months). In some death
penalty States, the average delay is longer. Inan oral argument
last year, for example, the State admitted that the last 10
prisoners executed in Florida had spent an average of nearly 25
years on death row before execution. Tr. of Oral Arg. in Hall v. Florida, O. T. 2013, No. 12–10882, p. 46.
The length of the average delay has increased
dramatically over the years. In 1960, the average delay between
sentencing and execution was two years. See Aarons, Can Inordinate
Delay Between a Death Sentence and Execution Constitute Cruel and
Unusual Punishment? 29 Seton Hall L. Rev. 147, 181 (1998). Ten
years ago (in 2004) the average delay was about 11 years. See Dept.
of Justice, Bureau of Justice Statistics (BJS), T. Snell, Capital
Punishment, 2013—Statistical Tables 14 (Table 10) (rev. Dec. 2014)
(hereinafter BJS 2013 Stats). By last year the average had risen to
about 18 years. DPIC, Execution List 2014, supra . Nearly
half of the 3,000 inmates now on death row have been there for more
than 15 years. And, at present execution rates, it would take more
than 75 years to carry out those 3,000 death sentences; thus, the
average person on death row would spend an additional 37.5 years
there before being executed. BJS 2013 Stats, at 14, 18 (Tables 11
and 15).
I cannot find any reasons to believe the trend
will soon be reversed.
B
These lengthy delays create two special
constitutional difficulties. See Johnson v. Bredesen ,
558 U. S. 1067, 1069 (2009) (Stevens, J., statement respecting
denial of certiorari). First, a lengthy delay in and of itself is
especially cruel because it “subjects death row inmates to decades
of especially severe, dehumanizing conditions of confinement.” Ibid .; Gomez v. Fierro , 519 U. S. 918
(1996) (Stevens, J., dissenting) (excessive delays from sentencing
to execution can themselves “constitute cruel and unusual
punishment prohibited by the Eighth Amendment”); see also Lackey v. Texas , 514 U. S. 1045 (1995)
(memorandum of Stevens, J., respecting denial of certiorari); Knight v. Florida , 528 U. S. 990, 993 (1999) (Breyer,
J., dissenting from denial of certiorari) . Second, lengthy
delay undermines the death penalty’s penological rationale. Johnson , supra, at 1069; Thompson v. McNeil , 556 U. S. 1114 ,1115 (2009) (statement of
Stevens, J., respecting denial of certiorari).
1
Turning to the first constitutional
difficulty, nearly all death penalty States keep death row inmates
in isolation for 22 or more hours per day. American Civil Liberties
Union (ACLU), A Death Before Dying: Solitary Confinement on Death
Row 5 (July 2013) (ACLU Report). This occurs even though the ABA
has suggested that death row inmates be housed in conditions
similar to the general population, and the United Nations Special
Rapporteur on Torture has called for a global ban on solitary
confinement longer than 15 days. See id. , at 2, 4; ABA
Standards for Criminal Justice: Treatment of Prisoners 6 (3d ed.
2011). And it is well documented that such prolonged solitary
confinement produces numerous deleterious harms. See, e.g., Haney, Mental Health Issues in Long-Term Solitary and “Supermax”
Confinement, 49 Crime & Delinquency 124, 130 (2003)
(cataloguing studies finding that solitary confinement can cause
prisoners to experience “anxiety, panic, rage, loss of control,
paranoia, hallucinations, and self-mutilations,” among many other
symptoms); Grassian, Psychiatric Effects of Solitary Confinement,
22 WashU. J. L. & Policy 325, 331 (2006) (“[E]ven a few
days of solitary confinement will predictably shift the [brain’s]
electroencephalogram (EEG) pattern toward an abnormal pattern
characteristic of stupor and delirium”); accord, In re
Medley , 134 U. S. 160 –168 (1890); see also Davis v. Ayala , ante, at 1–4 (Kennedy, J., concurring).
The dehumanizing effect of solitary confinement
is aggravated by uncertainty as to whether a death sentence will in
fact be carried out. In 1890, this Court recognized that, “when a
prisoner sentenced by a court to death is confined in the
penitentiary awaiting the execution of the sentence, one of the
most horrible feelings to which he can be subjected during that
time is the uncertainty during the whole of it.” Medley , supra, at 172. The Court was there describing a delay of
a mere four weeks. In the past century and a quarter, little
has changed in this respect—except for duration. Today we must
describe delays measured, not in weeks, but in decades. Supra, at 18–19.
Moreover, we must consider death warrants that
have been issued and revoked, not once, but repeatedly. See, e.g., Pet. for Cert. in Suárez Medina v. Texas , O. T. 2001, No. 02–5752, pp. 35–36 (filed Aug. 13,
2002) (“On fourteen separate occasions since Mr. Suárez Medina’s
death sentence was imposed, he has been informed of the time, date,
and manner of his death. At least eleven times, hehas been asked to
describe the disposal of his bodilyremains”); Lithwick, Cruel but
not Unusual , Slate,Apr. 1, 2011, online at
http://www.slate.com/articles/news_and_politics/jurisprudence/2011/04/cruel_but_not_unusual.html
(John Thompson had seven death warrants signed before he was
exonerated); see also, e.g., WFMZ-TV 69 News, Michael John
Parrish’s Execution Warrant Signed by Governor Corbett (Aug. 18,
2014), online at
http: / / www.wfmz.com /news/Regional-Poconos-Coal / Local /michael-john-parrishs-execution -warrant -signed-by -governor -corbett/27595356
(former Pennsylvania Governor signed 36 death warrants in his first
3.5 years in office even though Pennsylvania has not carried out an
execution since 1999).
Several inmates have come within hours or days
of execution before later being exonerated. Willie Manning was four hours from his scheduled execution before the
Mississippi Supreme Court stayed the execution. See Robertson, With
Hours to Go, Execution is Postponed, N. Y. Times, Apr. 8,
2015, p. A17. Two years later, Manning was exonerated after the
evidence against him, including flawed testimony from an FBI hair
examiner, was severely undermined. Nave, Why Does the State Still
Want to Kill Willie Jerome Manning? Jackson Free Press, Apr. 29,
2015. Nor is Manning an outlier case. See, e.g., Martin,
Randall Adams, 61, Dies; Freed With Help of Film, N. Y. Times,
June 26, 2011, p. 24 (Randall Adams: stayed by this Court
three days before execution; later exonerated); N. Davies, White
Lies 231, 292, 298, 399 (1991) (Clarence Lee Brandley: execution
stayed twice, once 6 days and once 10 days before; later
exonerated); M. Edds, An Expendable Man 93 (2003) (Earl Washington,
Jr.: stayed 9 days before execution; later exonerated).
Furthermore, given the negative effects of
confinement and uncertainty, it is not surprising that many inmates
volunteer to be executed, abandoning further appeals. See, e.g., ACLU Report 8; Rountree, Volunteers for Execution:
Directions for Further Research into Grief, Culpability, and Legal
Structures, 82 UMKC L. Rev. 295 (2014) (11% of those executed
have dropped appeals and volunteered); ACLU Report 3 (account of
“ ‘guys who dropped their appeals because of the intolerable
conditions’ ”). Indeed, one death row inmate, who was later
exonerated, still said he would have preferred to die rather than
to spend years on death row pursuing his exoneration. Strafer,
Volunteering for Execution: Competency, Voluntariness and the
Propriety of Third Party Intervention, 74 J. Crim. L. & C. 860,
869 (1983). Nor is it surprising that many inmates consider, or
commit, suicide. Id. , at 872, n. 44 (35% of those confined
on death row in Florida attempted suicide).
Others have written at great length about the
constitutional problems that delays create, and, rather than repeat
their facts, arguments, and conclusions, I simply refer to some of
their writings. See, e.g., Johnson , 558 U. S., at 1069
(statement of Stevens, J.) (delay “subjects death row inmates to
decades of especially severe, dehumanizing conditions of
confinement”); Furman , 408 U. S., at 288 (Brennan, J.,
concurring) (“long wait between the imposition of sentence and the
actual infliction of death” is “inevitable” and often “exacts a
frightful toll”); Solesbee v. Balkcom , 339 U. S.
9, 14 (1950) (Frankfurter, J., dissenting) (“In the history of
murder, the onset of insanity while awaiting execution of a death
sentence is not a rare phenomenon”); People v. Anderson, 6 Cal. 3d 628, 649 , 493 P. 2d 880, 894
(1972) (collecting sources) (“[C]ruelty of capital punishment lies
not only in the execution itself and the pain incident thereto, but
also in the dehumanizing effects of the lengthy imprisonment prior
to execution during which the judicial and administrative
procedures essential to due process of law are carried out”
(footnote omitted)); District Attorney for Suffolk Dist. v. Watson , 381 Mass. 648, 673, 411 N. E. 2d 1274, 1287 (1980)
(Braucher, J., concurring) (death penalty unconstitutional under
State Constitution in part because “[it] will be carried out only
after agonizing months and years of uncertainty”); see also Riley v. Attorney General of Jamaica , [1983] 1
A. C. 719, 734–735 (P. C. 1982) (Lord Scarman, joined by Lord
Brightman, dissenting) (“execution after inordinate delay” would
infringe prohibition against “cruel and unusual punishments” in §10
of the “Bill of Rights of 1689,” the precursor to our Eighth
Amendment); Pratt v. Attorney Gen. of Jamaica , [1994]
2 A. C. 1, 4 (P. C. 1993); id. , at 32–33 (collecting
cases finding inordinate delays unconstitutional or the
equivalent); State v . Makwanyane 1995 (3) SA391 (CC)
(S. Afr.); Catholic Commission for Justice & Peace in
Zimbabwe v. Attorney-General , [1993] 1 Zim. L. R.
242, 282 (inordinate delays unconstitutional); Soer-ing v. United Kingdom , 11 Eur. Ct. H. R. (ser. A), p. 439 (1989)
(extradition of murder suspect to United States would violate the
European Convention on Human Rights in light of risk of delay
before execution); United States v. Burns, [2001] 1
S. C. R. 283, 353, ¶123 (similar).
2
The second constitutional difficulty resulting
from lengthy delays is that those delays undermine the death
penalty’s penological rationale, perhaps irreparably so. The
rationale for capital punishment, as for any punishment,
classically rests upon society’s need to secure deterrence,
incapacitation, retribution, or rehabilitation. Capital punishment
by definition does not rehabilitate. It does, of course,
incapacitate the offender. But the major alternative to capital
punishment—namely, life in prison without possibility of
parole—also incapacitates. See Ring v. Arizona , 536
U. S. 584, 615 (2002) (Breyer, J., concurring in
judgment).
Thus, as the Court has recognized, the death
penalty’s penological rationale in fact rests almost exclusively
upon a belief in its tendency to deter and upon its ability to
satisfy a community’s interest in retribution. See, e.g.,
Gregg , 428 U. S., at 183 (joint opinion of Stewart,
Powell, and Stevens, JJ.). Many studies have examined the death
penalty’s deterrent effect; some have found such an effect, whereas
others have found a lack of evidence that it deters crime. Compare ante , at 5 (Scalia, J., concurring) (collecting studies
finding deterrent effect), with e.g., Sorensen, Wrinkle,
Brewer, & Marquart, Capital Punishment and Deterrence:
Examining the Effect of Executions on Murder in Texas, 45 Crime
& Delinquency 481 (1999) (no evidence of a deterrent effect);
Bonner & Fessenden, Absence of Executions: A Special Report,
States With No Death Penalty Share Lower Homicide Rates, N. Y.
Times, Sept. 22, 2000, p. A1 (from 1980–2000, homicide rate in
death-penalty States was 48% to 101% higher than in
non-death-penalty States); Radelet & Akers, Deterrence and the
Death Penalty: The Views of the Experts, 87 J. Crim. L. & C. 1,
8 (1996) (over 80% of criminologists believe existing research
fails to support deterrence justification); Donohue & Wolfers,
Uses and Abuses of Empirical Evidence in the Death Penalty Debate,
58 Stan. L. Rev. 791, 794 (2005) (evaluating existing
statistical evidence and concluding that there is “profound
uncertainty” about the existence of a deterrent effect).
Recently, the National Research Council (whose
members are drawn from the councils of the National Academy of
Sciences, the National Academy of Engineering, and the Institute of
Medicine) reviewed 30 years of empirical evidence and concluded
that it was insufficient to establish a deterrent effect and thus
should “not be used to inform” discussion about the deterrent value
of the death penalty. National Research Council, Deterrence and the
Death Penalty 2 (D. Nagin & J. Pepper eds. 2012); accord, Baze v. Rees , 553 U. S. 35, 79 (2008) (Stevens,
J., concurring in judgment) (“Despite 30 years of empirical
re-search in the area, there remains no reliable statistical
evi-dence that capital punishment in fact deters potential
offenders”).
I recognize that a “lack of evidence” for a
proposition does not prove the contrary. See Ring , supra , at 615 (one might believe the studies
“inconclusive”). But suppose that we add to these studies the fact
that, today, very few of those sentenced to death are actually
executed, and that even those executions occur, on average, after
nearly two decades on death row. DPIC, Execution List 2014, supra . Then, does it still seem likely that the death
penalty has a significant deterrent effect?
Consider, for example, what actually happened to
the 183 inmates sentenced to death in 1978. As of 2013 (35 years
later), 38 (or 21% of them) had been executed; 132 (or 72%) had had
their convictions or sentences overturned or commuted; and 7 (or
4%) had died of other (likely natural) causes. Six (or 3%) remained
on death row. BJS 2013 Stats, at 19 (Table 16).
The example illustrates a general trend. Of the
8,466 inmates under a death sentence at some point between 1973 and
2013, 16% were executed, 42% had their convictions or sentences
overturned or commuted, and 6% died by other causes; the remainder
(35%) are still on death row. Id., at 20 (Table 17); see
also Baumgartner & Dietrich, Most Death Penalty Sentences Are
Overturned: Here’s Why That Matters, Washington Post Blog, Monkey
Cage, Mar. 17, 2015 (similar).
Thus an offender who is sentenced to death is
two or three times more likely to find his sentence overturned or
commuted than to be executed; and he has a good chance of dying
from natural causes before any execution (or exoneration) can take
place. In a word, executions are rare . And an individual
contemplating a crime but evaluating the potential punishment would
know that, in any event, he faces a potential sentence of life
without parole.
These facts, when recurring, must have some
offsetting effect on a potential perpetrator’s fear of a death
penalty. And, even if that effect is no more than slight, it makes
it difficult to believe (given the studies of deterrence cited
earlier) that such a rare event significantly deters horrendous
crimes. See Furman , 408 U. S., at 311–312 (White, J.,
concurring) (It cannot “be said with confidence that society’s need
for specific deterrence justifies death for so few when for so many
in like circumstances life imprisonment or shorter prison terms are
judged sufficient”).
But what about retribution? Retribution is a
valid penological goal. I recognize that surviving relatives of
victims of a horrendous crime, or perhaps the community itself, may
find vindication in an execution. And a community that favors the
death penalty has an understand-able interest in representing their
voices. But see A. Sarat, Mercy on Trial: What It Means To Stop an
Execution 130 (2005) (Illinois Governor George Ryan explained his
decision to commute all death sentences on the ground that it was
“cruel and unusual” for “family members to go through this
. . . legal limbo for [20] years”).
The relevant question here, however, is whether
a “community’s sense of retribution” can often find vindication in
“a death that comes,” if at all, “only several decades after the
crime was committed.” Valle v. Florida , 564
U. S. ___, ___ (2011) (Breyer, J., dissenting from denial of
stay) (slip op., at 3). By then the community is a different group
of people. The offenders and the victims’ families have grown far
older. Feelings of outrage may have subsided. The offender may have
found himself a changed human being. And sometimes repentance and
even forgiveness can restore meaning to lives once ruined. At the
same time, the community and victims’ families will know that, even
without a further death, the offender will serve decades in prison
under a sentence of life without parole.
I recognize, of course, that this may not always
be the case, and that sometimes the community believes that an
execution could provide closure. Nevertheless, the delays and low
probability of execution must play some role in any calculation
that leads a community to insist on death as retribution. As I have
already suggested, they may well attenuate the community’s interest
in retribution to the point where it cannot by itself amount to a
significant justification for the death penalty. Id., at ___
(slip op., at 3). In any event, I believe that whatever interest in
retribution might be served by the death penalty as currently
administered, that interest can be served almost as well by a
sentence of life in prison without parole (a sentence that every
State now permits, see ACLU, A Living Death: Life Without Parole
for Nonviolent Offenses 11, and n. 10 (2013)).
Finally, the fact of lengthy delays undermines
any effort to justify the death penalty in terms of its prevalence
when the Founders wrote the Eighth Amendment. When the Founders
wrote the Constitution, there were no 20- or 30-year delays.
Execution took place soon after sentencing. See P. Mackey, Hanging
in the Balance: The Anti-Capital Punishment Movement in New York
State, 1776–1861, p. 17 (1982); T. Jefferson, A Bill for
Proportioning Crimes and Punishments (1779), reprinted in The
Complete Jefferson 90, 95 (S. Padover ed. 1943); 2 Papers of John
Marshall 207–209 (C. Cullen & H. Johnson eds. 1977) (describing
petition for commutation based in part on 5-month delay); Pratt v. Attorney Gen. of Jamaica, [1994] 2
A. C., at 17 (same in United Kingdom) (collecting cases). And,
for reasons I shall describe, infra , at 29–33, we cannot
return to the quick executions in the founding era.
3
The upshot is that lengthy delays both
aggravate the cruelty of the death penalty and undermine its
jurisprudential rationale. And this Court has said that, if the
death penalty does not fulfill the goals of deterrence or
retribution, “it is nothing more than the purposeless and needless
imposition of pain and suffering and hence an unconstitutional
punishment.” Atkins , 536 U. S., at 319 (quoting Enmund v. Florida , 458 U. S. 782, 798 (1982) ;
internal quotation marks omitted); see also Gregg, 428
U. S., at 183 (joint opinion of Stewart, Powell, and Stevens,
JJ.) (“sanction imposed cannot be so totally without penological
justification that it results in the gratuitous infliction of
suffering”); Furman, supra , at 312 (White, J., concurring)
(a “penalty with such negligible returns to the State would be
patently excessive and cruel and unusual punishment violative of
the Eighth Amendment”); Thompson , 556 U. S., at 1115
(statement of Stevens, J., respecting denial of certiorari)
(similar).
Indeed, Justice Lewis Powell (who provided a
crucial vote in Gregg ) came to much the same conclusion,
albeit after his retirement from this Court. Justice Powell had
come to the Court convinced that the Federal Constitution did not
outlaw the death penalty but rather left the matter up to
individual States to determine. Furman , supra , at
431–432 (Powell, J., dissenting); see also J. Jeffries, Justice
Lewis F. Powell, Jr., p. 409 (2001) (describing Powell, during his
time on the Court, as a “fervent partisan” of “the
constitutionality of capital punishment”).
Soon after Justice Powell’s retirement, Chief
Justice Rehnquist appointed him to chair a committee addressing
concerns about delays in capital cases, the Ad Hoc Committee
on Federal Habeas Corpus in Capital Cases (Committee). The
Committee presented a report to Congress, and Justice Powell
testified that “[d]elay robs the penalty of much of its deterrent
value.” Habeas Corpus Reform, Hearings before the Senate Committee
on the Judiciary, 100th Cong., 1st and 2d Sess., 35 (1989 and
1990). Justice Powell, according to his official biographer,
ultimately concluded that capital punishment:
“ ‘serves no useful purpose.’ The
United States was ‘unique among the industrialized nations of the
West in maintaining the death penalty,’ and it was enforced so
rarely that it could not deter. More important, the haggling and
delay and seemingly endless litigation in every capital case
brought the law itself into disrepute.” Jeffries, supra, at
452.
In short, the problem of excessive delays led
Justice Powell, at least in part, to conclude that the death
penalty was unconstitutional.
As I have said, today delays are much worse.
When Chief Justice Rehnquist appointed Justice Powell to the
Committee, the average delay between sentencing and execution was 7
years and 11 months, compared with 17 years and 7 months today.
Compare BJS, L. Greenfeld, Capital Punishment, 1990, p. 11 (Table
12) (Sept. 1991) with supra, at 18–19.
C
One might ask, why can Congress or the States
not deal directly with the delay problem? Why can they not take
steps to shorten the time between sentence and execution, and
thereby mitigate the problems just raised? The answer is that
shortening delay is much more difficult than one might think. And
that is in part because efforts to do so risk causing procedural
harms that also undermine the death penalty’s
constitutionality.
For one thing, delays have helped to make
application of the death penalty more reliable. Recall the case of
Henry Lee McCollum, whom DNA evidence exonerated 30 years after his
conviction. Katz & Eckholm, N. Y. Times, at A1. If
McCollum had been executed earlier, he would not have lived to see
the day when DNA evidence exonerated him and implicated another
man; that man is already serving a life sentence for a rape and
murder that he committed just a few weeks after the murder McCollum
was convicted of. Ibid. In fact, this Court had earlier
denied reviewof McCollum’s claim over the public dissent of only
one Justice. McCollum v. North Carolina , 512
U. S. 1254 (1994) . And yet a full 20 years after the Court
denied review, McCollum was exonerated by DNA evidence. There are a
significant number of similar cases, some of which I have discussed
earlier. See also DPIC Innocence List, supra (Nathson
Fields, 23 years; Paul House, 23 years; Nicholas Yarris, 21 years;
Anthony Graves, 16 years; Damon Thibodeaux, 15 years; Ricky
Jackson, Wiley Bridgeman, and Kwame Ajamu, all exonerated for the
same crime 39 years after their convictions).
In addition to those who are exonerated on the
ground that they are innocent, there are other individuals whose
sentences or convictions have been overturned for other reasons (as
discussed above, state and federal courts found error in 68% of the
capital cases they reviewed between 1973 and 1995). See Part I, supra . In many of these cases, a court will have found that
the individual did not merit the death penalty in a special
sense—namely, he failed to receive all the procedural protections
that the law requires for the death penalty’s application. By
eliminating some of these protections, one likely could reduce
delay. But which protections should we eliminate? Should we
eliminate the trial-related protections we have established for
capital defendants: that they be able to present to the sentencing
judge or jury all mitigating circumstances, Lockett v. Ohio , 438 U. S. 586 ; that the State provide guidance
adequate to reserve the application of the death penalty to
particularly serious murders, Gregg, 428 U. S. 153 ;
that the State provide adequate counsel and, where warranted,
adequate expert assistance, Powell v. Alabama , 287
U. S. 45 (1932) ; Wiggins v. Smith , 539
U. S. 510 (2003) ; Ake v. Oklahoma , 470
U. S. 68 (1985) ; or that a jury must find the aggravating
factors necessary to impose the death penalty, Ring , 536
U. S. 584 ; see also id., at 614 (Breyer, J.,
concurring in judgment)? Should we no longer ensure that the State
does not execute those who are seriously intellectually disabled, Atkins , 536 U. S. 304 ? Should we eliminate the
requirement that the manner of execution be constitutional, Baze , 553 U. S. 35 , or the requirement that the inmate
be mentally competent at the time of his execution, Ford v. Wainwright , 477 U. S. 399 (1986) ? Or should we get rid
of the criminal protections that all criminal defendants
receive—for instance, that defendants claiming violation of
constitutional guarantees (say “due process of law”) may seek a
writ of habeas corpus in federal courts? See, e.g., O’Neal v. McAninch , 513 U. S. 432 (1995) . My answer to these
questions is “surely not.” But see ante, at 5–7 (Scalia, J.,
concurring).
One might, of course, argue that courts,
particularly federal courts providing additional layers of review,
apply these and other requirements too strictly, and that causes
delay. But, it is difficult for judges, as it would be difficult
for anyone, not to apply legal requirements punctiliously
when the consequence of failing to do so may well be death,
particularly the death of an innocent person. See, e.g., Zant v. Stephens , 462 U. S. 862, 885 (1983)
(“[A]lthough not every imperfection in the deliberative process is
sufficient, even in a capital case, to set aside a state-court
judgment, the severity of the sentence mandates careful scrutiny in
the review of any colorable claim of error”); Kyles v. Whitley , 514 U. S. 419, 422 (1995) (“[O]ur duty to
search for constitutional error with painstaking care is never more
exacting than it is in a capital case” (internal quotation marks
omitted)); Thompson , 556 U. S., at 1116 (statement of
Stevens, J.) (“Judicial process takes time, but the error rate in
capital cases illustrates its necessity”).
Moreover, review by courts at every level helps
to ensure reliability; if this Court had not ordered that Anthony
Ray Hinton receive further hearings in state court, see Hinton v. Alabama , 571 U. S. ___, he may well
have been executed rather than exonerated. In my own view, our
legal system’s complexity, our federal system with its separate
state and federal courts, our constitutional guarantees, our
commitment to fair procedure, and, above all, a special need for
reliability and fairness in capital cases, combine to make
significant procedural “reform” unlikely in practice to reduce
delays to an acceptable level.
And that fact creates a dilemma: A death penalty
system that seeks procedural fairness and reliability brings with
it delays that severely aggravate the cruelty of capital punishment
and significantly undermine the rationale for imposing a sentence
of death in the first place. See Knight , 528 U. S., at
998 (Breyer, J., dissenting from denial of certiorari) (one of the
primary causes of the delay is the States’ “failure to apply
constitutionally sufficient procedures at the time of initial
[conviction or] sentencing”). But a death penalty system that
minimizes delays would undermine the legal system’s efforts to
secure reliability and procedural fairness.
In this world, or at least in this Nation, we
can have a death penalty that at least arguably serves legitimate
penological purposes or we can have a procedural system that
at least arguably seeks reliability and fairness in the death
penalty’s application. We cannot have both. And that simple fact,
demonstrated convincingly over the past 40 years, strongly supports
the claim that the death penalty violates the Eighth Amendment. A
death penalty system that is unreliable or procedurally unfair
would violate the Eighth Amendment. Woodson , 428 U. S.,
at 305 (plurality opinion); Hall , 572 U. S., at ___
(slip op., at 22); Roper , 543 U. S., at 568. And so
would a system that, if reliable and fair in its application of the
death penalty, would serve no legitimate penological purpose. Furman, 408 U. S., at 312 (White, J., concurring); Gregg,
supra , at 183 (joint opinion of Stewart, Powell, and Stevens,
JJ.); Atkins , supra , at 319.
IV “Unusual”—Decline in Use of the Death
Penalty The Eighth Amendment forbids punishments that
are cruel and unusual. Last year, in 2014, only seven States
carried out an execution. Perhaps more importantly, in the last two
decades, the imposition and implementation of the death penalty
have increasingly become unusual. I can illustrate the significant
decline in the use of the death penalty in several ways.
An appropriate starting point concerns the
trajectory of the number of annual death sentences nationwide, from
the 1970’s to present day. In 1977—just after the Supreme Court
made clear that, by modifying their legislation, States could
reinstate the death penalty — 137 people were sentenced to
death. BJS 2013 Stats, at 19 (Table 16). Many States having revised
their death penalty laws to meet Furman’ s requirements, the
number of death sentences then increased. Between 1986 and 1999,
286 persons on average were sentenced to death each year. BJS 2013
Stats, at 14, 19 (Tables 11 and 16). But, approximately 15 years
ago, the numbers began to decline, and they have declined rapidly
ever since. See Appendix A, infra (showing sentences from
1977–2014). In 1999, 279 persons were sentenced to death. BJS 2013
Stats, at 19 (Table 16). Last year, just 73 persons were sentenced
to death. DPIC, The Death Penalty in 2014: Year End Report 1
(2015).
That trend, a significant decline in the last 15
years, also holds true with respect to the number of annual
executions. See Appendix B, infra (showing executions from
1977–2014). In 1999, 98 people were executed. BJS, Data Collection:
National Prisoner Statistics Program (BJS Prisoner Statistics)
(available in Clerk of Court’s case file). Last year, that number
was only 35. DPIC, The Death Penalty in 2014, supra , at
1.
Next, one can consider state-level data. Often
when deciding whether a punishment practice is, constitutionally
speaking, “unusual,” this Court has looked to the num-ber of States
engaging in that practice. Atkins , 536 U. S. , at
313–316; Roper , supra , at 564–566. In this respect,
the number of active death penalty States has fallen dramatically.
In 1972, when the Court decided Furman, the death penalty
was lawful in 41 States. Nine States had abolished it. E. Mandery,
A Wild Justice: The Death and Resurrection of Capital Punishment in
America 145 (2013). As of today, 19 States have abolished the death
penalty (along with the District of Columbia), although some did so
prospectively only. See DPIC, States With and Without the Death
Penalty, online at
http://www.deathpenaltyinfo.org/states-and-without-death-penalty.
In 11 other States that maintain the death penalty on the books, no
execution has taken place for more than eight years: Arkansas (last
execution 2005); California (2006); Colorado (1997); Kansas (no
executions since the death penalty was reinstated in 1976); Montana
(2006); Nevada (2006); New Hampshire (no executions since the death
penalty was reinstated in 1976); North Carolina (2006); Oregon
(1997); Pennsylvania (1999); and Wyoming (1992). DPIC, Executions
by State and Year, online at
http://www.deathpenaltyinfo.org/node/5741.
Accordingly, 30 States have either formally
abolished the death penalty or have not conducted an execution in
more than eight years. Of the 20 States that have conducted at
least one execution in the past eight years, 9 have conducted fewer
than five in that time, making an execution in those States a
fairly rare event. BJS Prisoner Statistics (Delaware, Idaho,
Indiana, Kentucky, Louisiana, South Dakota, Tennessee, Utah,
Washington). That leaves 11 States in which it is fair to say that
capital punishment is not “unusual.” And just three of those States
(Texas, Missouri, and Florida) accounted for 80% of the executions
nationwide (28 of the 35) in 2014. See DPIC, Number of Executions
by State and Region Since 1976, online at
http://www.deathpenaltyinfo.org/number-executions-state-and-region-1976.
Indeed, last year, only seven States conducted an execution. DPIC,
Executions by State and Year, supra ; DPIC, Death Sentences
in the United States From 1977 by State and by Year, online at
http : / / www . deathpenaltyinfo .org / death - sentences - united -states-1977-2008.
In other words, in 43 States, no one was executed.
In terms of population, if we ask how many
Americans live in a State that at least occasionally carries out an
execution (at least one within the prior three years), the answer
two decades ago was 60% or 70%. Today, that number is 33%. See
Appendix C, infra .
At the same time, use of the death penalty has
become increasingly concentrated geographically. County-by-county
figures are relevant, for decisions to impose the death penalty
typically take place at a county level. See supra, at 12–13.
County-level sentencing figures show that, between 1973 and 1997,
66 of America’s 3,143 counties accounted for approximately 50% of
all death sentences imposed. Liebman & Clarke 264–265; cf. id., at 266 . (counties with 10% of the Nation’s
population imposed 43% of its death sentences). By the early
2000’s, the death penalty was only actively practiced in a very
small number of counties: between 2004 and 2009, only 35 counties
imposed 5 or more death sentences, i.e., approximately one
per year. See Appendix D, infra (such counties colored in
red) (citing Ford, The Death Penalty’s Last Stand, The Atlantic,
Apr. 21, 2015). And more recent data show that the practice has
diminished yet further: between 2010 and 2015 (as of June 22), only
15 counties imposed five or more death sentences. See Appendix E, infra . In short, the number of active death penalty counties
is small and getting smaller. And the overall statistics on
county-level executions bear this out. Between 1976 and 2007, there
were no executions in 86% of America’s counties. Liebman &
Clarke 265–266, and n. 47; cf. ibid. (counties with
less than 5% of the Nation’s population carried out over half of
its executions from 1976–2007).
In sum, if we look to States, in more than 60%
there is effectively no death penalty, in an additional 18% an
execution is rare and unusual, and 6%, i.e. , three States,
account for 80% of all executions. If we look to population, about
66% of the Nation lives in a State that has not carried out an
execution in the last three years. And if we look to counties, in
86% there is effectively no death pen-alty. It seems fair to say
that it is now unusual to find capital punishment in the United
States, at least when we consider the Nation as a whole. See Furman , 408 U. S., at 311 (1972) (White, J.,
concurring) (executions could be so infrequently carried out that
they “would cease to be a credible deterrent or measurably to
contribute to any other end of punishment in the criminal justice
system . . . when imposition of the penalty reaches a
certain degreeof infrequency, it would be very doubtful that any
exist-ing general need for retribution would be measurably
satisfied”).
Moreover, we have said that it “ ‘is not so
much the number of these States that is significant, but the
consistency of the direction of change.’ ” Roper , 543
U. S., at 566 (quoting Atkins , supra , at 315)
(finding significant that five States had abandoned the death
penalty for juveniles, four legislatively and one judicially, since
the Court’s decision in Stanford v. Kentucky , 492
U. S. 361 (1989) ). Judged in that way, capital punishment has
indeed become unusual. Seven States have abolished the death
penalty in the last decade, including (quite recently) Nebraska.
DPIC, States With and Without the Death Penalty, supra . And
several States have come within a single vote of eliminating the
death penalty. Seelye, Measure to Repeal Death Penalty Fails by a
Single Vote in New Hampshire Senate, N. Y. Times, Apr. 17,
2014, p. A12; Dennison, House Deadlocks on Bill To Abolish Death
Penalty in Montana, Billings Gazette, Feb. 23, 2015; see also
Offredo, Delaware Senate Passes Death Penalty Repeal Bill, Delaware
News Journal, Apr. 3, 2015. Eleven States, as noted earlier, have
not executed anyone in eight years. Supra, at 34–35. And
several States have formally stopped executing inmates. See
Yardley, Oregon’s Governor Says He Will Not Allow Executions,
N. Y. Times, Nov. 23, 2011, p. A14 (Oregon); Governor of
Colorado, Exec. Order No. D2013–006, May 22, 2013 (Colorado);
Lovett, Executions Are Suspended by Governor in Washington,
N. Y. Times, Feb. 12, 2014, p. A12 (Washington); Begley,
Pennsylvania Stops Using the Death Penalty, Time, Feb. 13, 2015
(Pennsylvania); see also Welsh-Huggins, Associated Press, Ohio
Executions Rescheduled, Jan. 30, 2015 (Ohio).
Moreover, the direction of change is consistent.
In the past two decades, no State without a death penalty has
passed legislation to reinstate the penalty. See Atkins , supra, at 315–316; DPIC, States With and Without the Death
Penalty, supra . Indeed, even in many States most associated
with the death penalty, remarkable shifts have occurred. In Texas,
the State that carries out the most executions, the number of
executions fell from 40 in 2000 to 10 in 2014, and the number of
death sentences fell from 48 in 1999 to 9 in 2013 (and 0 thus far
in 2015). DPIC, Executions by State and Year, supra ; BJS, T.
Snell, Capital Punishment, 1999, p. 6 (Table 5) (Dec. 2000)
(hereinafter BJS 1999 Stats); BJS 2013 Stats, at 19 (Table 16); von
Drehle, Bungled Executions, Backlogged Courts, and Three More
Reasons the Modern Death Penalty Is a Failed Experiment, Time, June
8, 2015, p. 26. Similarly dramatic declines are present in
Virginia, Oklahoma, Missouri, and North Carolina. BJS 1999 Stats,
at 6 (Table 5); BJS 2013 Stats, at 19 (Table 16).
These circumstances perhaps reflect the fact
that a majority of Americans, when asked to choose between the
death penalty and life in prison without parole, now choose the
latter. Wilson, Support for Death Penalty Still High, But Down,
Washington Post, GovBeat, June 5, 2014, online at
www . washingtonpost . com / blogs / govbeat / wp /2014 / 06 / 05 / support - for - death - penalty-still-high-but-down;see
also ALI, Report of the Council to the Membership on the Matter of
the Death Penalty 4 (Apr. 15, 2009) (withdrawing Model Penal Code
section on capital punishment section from the Code, in part
because of doubts that the American Law Institute could “recommend
procedures that would” address concerns about the administration of
the death penalty); cf. Gregg , 428 U. S., at 193–194
(joint opinion of Stewart, Powell, and Stevens, JJ.) (relying in
part on Model Penal Code to conclude that a “carefully drafted
statute” can satisfy the arbitrariness concerns expressed in Furman ).
I rely primarily upon domestic, not foreign
events, in pointing to changes and circumstances that tend to
justify the claim that the death penalty, constitutionally
speaking, is “unusual.” Those circumstances are sufficient to
warrant our reconsideration of the death penalty’s
constitutionality. I note, however, that many nations—indeed, 95 of
the 193 members of the United Nations—have formally abolished the
death penalty and an additional 42 have abolished it in practice.
Oakford, UN Vote Against Death Penalty Highlights Global
Abolitionist Trend–and Leaves the US Stranded, Vice News, Dec. 19,
2014, online at https :
/ / news . vice . com / article / un - vote - against - death -penalty - highlights - global-abolitionist-trend-and-leaves-the-us-stranded.
In 2013, only 22 countries in the world carried out an execution.
International Commission Against Death Penalty, Review 2013, pp.
2–3. No executions were carried out in Europe or Central Asia, and
the United States was the only country in the Americas to execute
an inmate in 2013. Id. , at 3. Only eight countries executed
more than 10 individuals (the United States, China, Iran, Iraq,
Saudi Arabia, Somalia, Sudan, Yemen). Id., at 2. And almost
80% of all known executions took place in three countries: Iran,
Iraq, and Saudi Arabia. Amnesty International, Death Sentences and
Executions 2013, p. 3 (2014). (This figure does not include China,
which has a large population, but where precise data cannot be
obtained. Id., at 2.)
V
I recognize a strong counterargument that
favors constitutionality. We are a court. Why should we not leave
the matter up to the people acting democratically through
legislatures? The Constitution foresees a country that will make
most important decisions democratically. Most nations that have
abandoned the death penalty have done so through legislation, not
judicial decision. And legislators, unlike judges, are free to take
account of matters such as monetary costs, which I do not claim are
relevant here. See, e.g., Berman, Nebraska Lawmakers Abolish
the Death Penalty, Narrowly Overriding Governor’s Veto, Washington
Post Blog, Post Nation, May 27, 2015) (listing cost as one of the
reasons why Nebraska legislators re-cently repealed the death
penalty in that State); cf. California Commission on the Fair
Administration of Justice, Report and Recommendations on the
Administration of the Death Penalty in California 117 (June 30,
2008) (death penalty costs California $137 million per year; a
comparable system of life imprisonment without parole would cost
$11.5 million per year), online at
http://www.ccfaj.org/rr-dp-official.html; Dáte, The High Price of
Killing Killers, Palm Beach Post, Jan. 4, 2000, p. 1A (cost of each
execution is $23 million above cost of life imprisonment without
parole in Florida).
The answer is that the matters I have discussed,
such as lack of reliability, the arbitrary application of a serious
and irreversible punishment, individual suffering caused by long
delays, and lack of penological purpose are quintessentially
judicial matters. They concern the infliction—indeed the unfair,
cruel, and unusual infliction—of a serious punishment upon an
individual. I recognize that in 1972 this Court, in a sense, turned
to Congress and the state legislatures in its search for standards
that would increase the fairness and reliability of imposing a
death penalty. The legislatures responded. But, in the last four
decades, considerable evidence has accumulated that those responses
have not worked.
Thus we are left with a judicial responsibility.
The Eighth Amendment sets forth the relevant law, and we must
interpret that law. See Marbury v. Madison , 1 Cranch
137, 177 (1803); Hall , 572 U. S., at ___ (slip op., at
19) (“That exercise of independent judgment is the Court’s judicial
duty”). We have made clear that “ ‘the Constitution
contemplates that in the end our own judgment will be brought to
bear on the question of the acceptability of the death penalty
under the Eighth Amendment.’ ” Id. , at ___ (slip op.,
at 19) (quoting Coker v. Georgia , 433 U. S. 584,
597 (1977) (plurality opinion)); see also Thompson v. Oklahoma , 487 U. S. 815, 833, n. 40 (1988) (plurality
opinion).
For the reasons I have set forth in this
opinion, I believe it highly likely that the death penalty violates
the Eighth Amendment. At the very least, the Court should call for
full briefing on the basic question.
With respect, I dissent.
APPENDICES
A
Death Sentences Imposed 1977–2014
B
Executions 1977–2014
C
Percentage of U.S. population in States that
conducted an execution within prior 3 years SUPREME COURT OF THE UNITED STATES
_________________
No. 14A761 (14-7955)
_________________
CHARLES F. WARNER, et al., v. KEVIN J. GROSS, et al.
on application for stay
[January 15, 2015]
The application for stays of execution of
sentences of death presented to Justice Sotomayor and by her
referred to the Court is denied.
Justice Sotomayor, with whom Justice Ginsburg,
Justice Breyer, and Justice Kagan join, dissenting.
Charles Warner is to be executed tonight. He
and three other Oklahoma death row inmates filed a petition for
certiorari and an application for stays of their executions,
contending that Oklahoma’s lethal injection protocol violates the
Eighth Amendment. I believe that petitioners have made the showing
necessary to obtain a stay, and dissent from the Court’s refusal to
grant one.
I
Oklahoma had originally scheduled Warner’s
execution for April 29, 2014, immediately following its execution
of Clayton Lockett. Both executions were to be carried out with a
three-drug protocol consisting of midazolam, vecuronium bromide,
and potassium chloride. In theory, at least, midazolam should
render a condemned inmate unconscious, vecuronium bromide should
paralyze him, and potassium chloride should stop his heart.
But the Lockett execution went poorly, to say
the least. Lockett awoke and writhed on the execution table for
some time after the drugs had been injected and officials confirmed
him to be unconscious. He was overheard to say, “ ‘Something
is wrong,’ ” and, “ ‘The drugs aren’t working.’ ”
App. C to Pet. for Cert. 6 (App.). Eventually, some 40 minutes
after the lethal injection drugs were administered, Lockett
died.
The State stayed all pending executions while it
investigated what had gone wrong. Ultimately, the State issued a
report that placed much of the blame on the execution team’s
failure to insert properly an intravenous (IV) line, finding that a
large quantity of the drugs that should have been introduced into
Lockett’s blood stream had instead pooled in the tissue near the IV
access point. An autopsy did determine, however, that the
concentration of midazolam in Lockett’s blood was higher than
necessary to render an average person unconscious.
Soon thereafter, the State adopted a new
execution protocol. The protocol contains a number of procedures
designed to better ensure that execution team members are able to
insert properly an IV line and assess the condemned inmate’s
consciousness. The protocol also provides for four alternative drug
combinations that can be used for lethal injections, one of which
is the same midazolam/vecuronium bromide/potassium chloride
combination that was used in the Lockett execution. Whereas the
prior protocol called for the injection of only 100 milligrams of
midazolam, the new protocol now calls for the injection of 500
milligrams of that drug. The State has announced that it plans to
use this particular drug combination in all upcoming
executions.[ 1 ]*
Warner, along with 20 other Oklahoma death-row
inmates, filed a 42 U. S. C. §1983 complaint against
various state officials, contending that the State’s proposed use
of midazolam in executions would violate the Eighth Amendment. Four
of the plaintiffs, including Warner, then requested a preliminary
injunction to prevent the State from implementing the new protocol
and executing them.
The District Court held a 3-day evidentiary
hearing. Two expert witnesses for the plaintiffs testified that
although midazolam could be used to render an individual
unconscious, it was not and could not be relied on as an anesthetic
because the patient could likely regain consciousness if exposed to
noxious stimuli—such as the injection of potassium chloride. For
that reason, the Food and Drug Administration (FDA) has not
approved the drug for use as an anesthetic. As anesthesiologist Dr.
Lubarsky detailed, midazolam is subject to a “ ‘ceiling
effect’ ” such that, no matter the dosage, it reaches a point
of saturation and has no more effect, and at this saturation point
the drug cannot keep someone unconscious. App. C, at 43. According
to these experts, this feature distinguishes midazolam—a
benzodiazepine, like Valium or Xanax—from barbiturates such as
pentobarbital or sodium thiopental, which are often used as the
first drug in a three-drug lethal injection protocol. In response,
the State called a doctor of pharmacy, Dr. Evans, who disputed
these claims. Although Dr. Evans acknowledged that midazolam was
not generally employed as an anesthetic, he contended that it would
function as one if given in a high enough (and ordinarily lethal)
dose.
The District Court denied the plaintiffs’ motion
for a preliminary injunction, concluding that they had demonstrated
no likelihood of success on the merits of their claims. The
District Court found that “[t]he proper administration of 500
milligrams of midazolam . . . would make it a virtual
certainty that any individual will be at a sufficient level of
unconsciousness to resist the noxious stimuli which could occur
from the application of the second and third drugs.” Id ., at
42. Based on that finding, the District Court held that the
plaintiffs had failed to establish that the protocol “presents a
risk that is ‘sure or very likely to cause serious illness and
needless suffering.’ ” Id., at 65 (quoting Baze v. Rees , 553 U.S.
35 , 50 (2008) (plurality opinion of Roberts, C. J.)). The
District Court also concluded that there was a “separate reason”
the plaintiffs had failed to establish a likelihood of success:
They had not identified a “ ‘known and available
alternative’ ” by which they could be executed, as the State
had “affirmatively shown that sodium thiopental and pentobarbital,
the only alternatives to which the plaintiffs ha[d] alluded, are
not available to the” State. App. C, at 66–67 (quoting Baze ,
553 U. S., at 61).
The Tenth Circuit affirmed the District Court’s
order denying a preliminary injunction. The court held that the
District Court had been correct to require the plaintiffs to
identify an available alternative means of execution, and found
itself unable to conclude that the District Court’s factual
findings regarding midazolam’s effectiveness had been clearly
erroneous. 2015 WL 137627, *8–*9, *12 (Jan. 12, 2015). The four
plaintiffs, including Warner, petitioned for certiorari and filed
an accompanying application for a stay of their executions.
II
To grant a stay, we must find a reasonable
probability that the Court would vote to grant certiorari, a
significant possibility of reversal, and a likelihood of
irreparable injury to the applicant in the absence of a stay. See Barefoot v. Estelle , 463 U.S.
880 , 895 (1983). Petitioners’ application met these
criteria.
First, the question whether the courts below
properly read Baze to require petitioners to identify other
drugs that the State might use to execute them warrants this
Court’s attention. The Baze plurality’s statement that a
challenger must show that the risk of severe pain is “substantial
when compared to the known and available alternatives,” 553
U. S., at 61, pertained to an Eighth Amendment claim that the
procedures employed in a particular protocol were inferior to other
procedures the State assertedly should have adopted, see id. , at 51; see also id., at 62 (“Petitioners agree
that, if administered as intended, that procedure will result in a
painless death”). The same requirement should not necessarily
extend to a claim that the planned execution will be
unconstitutionally painful even if performed correctly; it would be
odd if the constitutionality of being burned alive, for example,
turned on a challenger’s ability to point to an available
guillotine. Indeed, Baze did not purport to overrule or even
address Hill v. McDonough , 547 U.S. 573, 582 (2006),
which rejected the argument that §1983 plaintiffs such as
petitioners must plead an “alternative, authorized method of
execution.”
Second, both lower courts alternatively held
that the use of midazolam did not create a substantial risk of
unnecessary pain within the meaning of Baze . As for that
holding, petitioners correctly point out that the decision in Baze was based on the understanding that the first drug in
the three-drug cocktail—there, sodium thiopental—would work as
intended. “It [was] uncontested that, failing a proper dose of
sodium thiopental that would render the prisoner unconscious, there
is a substantial, constitutionally unacceptable risk of suffocation
from the administration of pancuronium bromide and pain from the
injection of potassium chloride.” 553 U. S., at 53 (plurality
opinion). This issue is likewise uncontested here. If the first,
anesthetic drug does not work, then the second and third drugs will
leave the inmate paralyzed, slowly dying in “excruciating pain.” Id. , at 71 (Stevens, J., concurring in judgment).
Petitioners’ likelihood of success on the merits
turns primarily, then, on the contention that midazolam cannot be
expected to maintain a condemned inmate in an unconscious state. I
find the District Court’s conclusion that midazolam will in fact
work as intended difficult to accept given recent experience with
the use of this drug. Lockett was able to regain consciousness even
after having received a dose of midazolam—confirmed by a blood
test—supposedly sufficient to knock him out entirely. Likewise, in
Arizona’s July 23, 2014, execution of Joseph Wood, the condemned
inmate allegedly gasped for nearly two hours before dying,
notwithstanding having been injected with the drug hydromorphone
and 750 milligrams of midazolam—that is, 50% more of the drug than
Oklahoma intends to use. Moreover, since the District Court denied
the request for a preliminary injunction in this case, Ohio
announced that it would no longer employ a similar two-drug
cocktail involving midazolam and hydromorphone, which it used in a
January 2014 execution during which the condemned inmate reportedly
gasped and snorted for more than 20 minutes. See Williams, Drug
Switch May Delay Executions in Ohio, N. Y. Times, Jan. 9, 2015, p.
A15 (Washington, DC, ed.).
Although the State emphasizes that Florida
continues to employ a lethal injection protocol that utilizes the
same drug types and amounts as will now be employed in Oklahoma,
its apparent success with that method is subject to question
because the injection of the paralytic vecuronium bromide may mask
the ineffectiveness of midazolam as an anesthetic: The inmate may
be fully conscious but unable to move. See Baze , 553
U. S., at 71 (Stevens, J., concurring in judgment) (noting
that the use of a paralytic “masks any outward sign of distress”).
The deficiency of midazolam may generally be revealed only in an
execution, such as Lockett’s, where the IV fails to sufficiently
deliver the paralyzing agent.
Moreover, there are numerous reasons to be
skeptical of the evidence underlying the District Court’s
conclusion. As petitioners emphasize, a number of scientific
studies support the conclusion that midazolam does, in fact, have a
ceiling effect, and in part for that reason has not been approved
for use as an anesthetic by the FDA. In contending that midazolam
will work as the State intends, Dr. Evans cited no studies, but
instead appeared to rely primarily on the Web site www.drugs.com.
But see App. H, at 88 (Web site’s disclaimer that material provided
is “not intended for medical advice, diagnosis or treatment”).
Furthermore, his opinion was premised on his belief that
midazolam’s demonstrated “ceiling effect” was an effect specific to
the spinal cord, and that there was no “ceiling effect” with
respect to midazolam’s operation on the brain. But petitioners—who
were not given the opportunity to present rebuttal evidence in the
District Court—submitted to the Court of Appeals an affidavit from
Dr. Lubarsky that explained: “[T]he ceiling effect is
scientifically proven as fact and does not occur at the spinal cord
level, nor has it been extensively studied there. Primary modes of
anesthetic action of midazolam occur in the brain (Perouansky,
Pearce & Hemmings, 2015) where electrical activity
. . . is not further diminished with larger doses.” App.
F, at 1 (emphasis deleted).
I am deeply troubled by this evidence suggesting
that midazolam cannot constitutionally be used as the first drug in
a three-drug lethal injection protocol. It is true that we give
deference to the district courts. But at some point we must
question their findings of fact, unless we are to abdicate our role
of ensuring that no clear error has been committed. We should
review such findings with added care when what is at issue is the
risk of the needless infliction of severe pain. Here, given the
evidence before the District Court, I struggle to see how its
decision to credit the testimony of a single purported expert can
be supported given the substantial body of conflicting empirical
and anecdotal evidence.
I believe that we should have granted
petitioners’ application for stay. The questions before us are
especially important now, given States’ increasing reliance on new
and scientifically untested methods of execution. Petitioners have
committed horrific crimes, and should be punished. But the Eighth
Amendment guarantees that no one should be subjected to an
execution that causes searing, unnecessary pain before death. I
hope that our failure to act today does not portend our
unwillingness to consider these questions. Notes 1 * The State has indicated
that it intends to use rocuronium bromide in place of vecuronium
bromide, but there does not appear to be any dispute that there is
no material difference between these two drugs. SUPREME COURT OF THE UNITED STATES
_________________
No. 14–7955
_________________
RICHARD E. GLOSSIP, et al., PETITIONERS v. KEVIN J. GROSS, et al.
on writ of certiorari to the united states
court of appeals for the tenth circuit
[June 29, 2015]
Justice Sotomayor, with whom Justice Ginsburg,
Justice Breyer, and Justice Kagan join, dissenting.
Petitioners, three inmates on Oklahoma’s death
row, challenge the constitutionality of the State’s lethal
injection protocol. The State plans to execute petitioners using
three drugs: midazolam, rocuronium bromide, and potassium chloride.
The latter two drugs are intended to paralyze the inmate and stop
his heart. But they do so in a torturous manner, causing burning,
searing pain. It is thus critical that the first drug, midazolam,
do what it is supposed to do, which is to render and keep the
inmate unconscious. Petitioners claim that midazolam cannot be
expected to perform that function, and they have presented ample
evidence showing that the State’s planned use of this drug poses
substantial, constitutionally intolerable risks.
Nevertheless, the Court today turns aside
petitioners’ plea that they at least be allowed a stay of execution
while they seek to prove midazolam’s inadequacy. The Court achieves
this result in two ways: first, by deferring to the District
Court’s decision to credit the scientifically unsupported and
implausible testimony of a single expert witness; and second, by
faulting petitioners for failing to satisfy the wholly novel
requirement of proving the availability of an alternative means for
their own executions. On both counts the Court errs. As a result,
it leaves petitioners exposed to what may well be the chemical
equivalent of being burned at the stake.
I
A
The Eighth Amendment succinctly prohibits the
infliction of “cruel and unusual punishments.” Seven years ago, in Baze v. Rees , 553 U. S. 35 (2008) , the Court
addressed the application of this mandate to Kentucky’s lethal
injection protocol. At that time, Kentucky, like at least 29 of the
35 other States with the death penalty, utilized a series of three
drugs to perform executions: (1) sodium thiopental, a “fast-acting
barbiturate sedative that induces a deep, comalike unconsciousness
when given in the amounts used for lethal injection”; (2)
pancuronium bromide, “a paralytic agent that inhibits all
muscular-skeletal movements and . . . stops respiration”;
and (3) potassium chloride, which “interferes with the electrical
signals that stimulate the contractions of the heart, inducing
cardiac arrest.” Id., at 44 (plurality opinion of Roberts,
C. J.).
In Baze , it was undisputed that absent a
“proper dose of sodium thiopental,” there would be a “substantial,
constitutionally unacceptable risk of suffocation from the
administration of pancuronium bromide and pain from the injection
of potassium chloride.” Id., at 53. That is because, if
given to a conscious inmate, pancuronium bromide would leave him or
her asphyxiated and unable to demonstrate “any outward sign of
distress,” while potassium chloride would cause “excruciating
pain.” Id., at 71 (Stevens, J., concurring in judgment). But
the Baze petitioners conceded that if administered as
intended, Kentucky’s method of execution would nevertheless “result
in a humane death,” id., at 41 (plurality opinion), as the
“proper administration” of sodium thiopental “eliminates any
meaningful risk that a prisoner would experience pain from the
subsequent injections of pancuronium and potassium chloride,” id., at 49. Based on that premise, the Court ultimately
rejected the challenge to Kentucky’s protocol, with the plurality
opinion concluding that the State’s procedures for administering
these three drugs ensured there was no “objectively intolerable
risk” of severe pain. Id., at 61–62 (internal quotation
marks omitted).
B
For many years, Oklahoma performed executions
using the same three drugs at issue in Baze. After Baze was decided, however, the primary producer of sodium
thiopental refused to continue permitting the drug to be used in
executions. Ante, at 4–5. Like a number of other States,
Oklahoma opted to substitute pentobarbital, another barbiturate, in
its place. But in March 2014, shortly before two scheduled
executions, Oklahoma found itself unable to secure this drug. App.
144.
The State rescheduled the executions for the
following month to give it time to locate an alternative
anesthetic. In less than a week, a group of officials from the
Okla-homa Department of Corrections and the Attorney General’s
office selected midazolam to serve as a replacement for
pentobarbital. Id., at 145, 148–149.
Soon thereafter, Oklahoma used midazolam for the
first time in its execution of Clayton Lockett. That execution did
not go smoothly. Ten minutes after an intravenous (IV) line was set
in Lockett’s groin area and 100 milligrams of midazolam were
administered, an attending physician declared Lockett unconscious. Id. , at 392–393. When the paralytic and potassium chloride
were administered, however, Lockett awoke. Ibid . Various
witnesses reported that Lockett began to writhe against his
restraints, saying, “[t]his s*** is f***ing with my mind,”
“something is wrong,” and “[t]he drugs aren’t working.” Id. ,
at 53 (internal quotation marks omitted). State officials ordered
the blinds lowered, then halted the execution. Id. , at 393,
395. But 10 minutes later—approximately 40 minutes after the
execution began—Lockett was pronounced dead. Id. , at
395.
The State stayed all future executions while it
sought to determine what had gone wrong in Lockett’s. Five months
later, the State released an investigative report identifying a
flaw in the IV line as the principal difficulty: The IV had failed
to fully deliver the lethal drugs into Lockett’s veins. Id. ,
at 398. An autopsy determined, however, that the concentration of
midazolam in Lockett’s blood was more than sufficient to render an
average person unconscious. Id. , at 397, 405.
In response to this report, the State modified
its lethal injection protocol. The new protocol contains a number
of procedures designed to guarantee that members of the execution
team are able to insert the IV properly, and charges them with
ensuring that the inmate is unconscious. Id. , at 57–66,
361–369. But the protocol continues to authorize the use of the
same three-drug formula used to kill Lockett—though it does
increase the intended dose of midazolam from 100 milligrams to 500
milligrams. Id., at 61. The State has indicated that it
plans to use this drug combination in all upcoming executions,
subject to only an immaterial substitution of paralytic agents. Ante , at 7–8.
C
In June 2014, inmates on Oklahoma’s death row
filed a 42 U. S. C. §1983 suit against respondent prison
officials challenging the constitutionality of Oklahoma’s method of
execution. After the State released its revised execution protocol,
the four inmates whose executions were most imminent—Charles
Warner, along with petitioners Richard Glossip, John Grant, and
Benjamin Cole—moved for a preliminary injunction. They contended,
among other things, that the State’s intended use of midazolam
would violate the Eighth Amendment because, unlike sodium
thiopental or pentobarbital, the drug “is incapable of producing a
state of unawareness that will be reliably maintained after either
of the other two pain-producing drugs . . . is injected.”
Amended Complaint ¶101.
The District Court held a 3-day evidentiary
hearing, at which petitioners relied principally on the testimony
of two experts: Dr. David Lubarsky, an anesthesiologist, and Dr.
Larry Sasich, a doctor of pharmacy. The State, in turn, based its
case on the testimony of Dr. Roswell Evans, also a doctor of
pharmacy.
To a great extent, the experts’ testimony
overlapped. All three experts agreed that midazolam is from a class
of sedative drugs known as benzodiazepines (a class that includes
Valium and Xanax), and that it has no analgesic—or
pain-relieving—effects. App. 205 (Lubarsky), 260–261
(Sasich) , 311 (Evans). They further agreed that while
midazolam can be used to render someone unconscious, it is not
approved by the Federal Drug Administration (FDA) for use as, and
is not in fact used as, a “sole drug to produce and maintain
anesthesia in surgical proceedings.” Id., at 307, 327
(Evans); see id., at 171 (Lubarsky); id., at 262
(Sasich). Finally, all three experts recognized that midazolam is
subject to a ceiling effect, which means that there is a point at
which increasing the dose of the drug does not result in any
greater effect. Id., at 172 (Lubarsky), 243 (Sasich), 331
(Evans).
The experts’ opinions diverged, however, on the
crucial questions of how this ceiling effect operates, and whether
it will prevent midazolam from keeping a condemned inmate
unconscious when the second and third lethal injection drugs are
administered. Dr. Lubarsky testified that while benzodiazepines
such as midazolam may, like barbiturate drugs such as sodium
thiopental and pentobarbital, induce unconsciousness by inhibiting
neuron function, they do so in a materially different way. Id., at 207. More specifically, Dr. Lubarsky explained that
both barbiturates and benzodiazepines initially cause sedation by
facilitating the binding of a naturally occurring chemical called
gamma-aminobutyric acid (GABA) with GABA receptors, which then
impedes the flow of electrical impulses through the neurons in the
central nervous system. Id., at 206. But at higher doses,
barbiturates also act as a GABA substitute and mimic its
neuron-suppressing effects. Ibid. By contrast,
benzodiazepines lack this mimicking function, which means their
effect is capped at a lower level of sedation. Ibid. Critically, according to Dr. Lubarsky, this ceiling on midazolam’s
sedative effect is reached before full anesthesia can be achieved. Ibid . Thus, in his view, while “midazolam unconsciousness is
. . . sufficient” for “minor procedure[s],” Tr. of
Preliminary Injunction Hearing 132–133 (Tr.), it is incapable of
keeping someone “insensate and immobile in the face of [more]
noxious stimuli,” including the extreme pain and discomfort
associated with administration of the second and third drugs in
Oklahoma’s lethal injection protocol, App. 218. Dr. Sasich endorsed
Dr. Lubarsky’s description of the ceiling effect, and offered
similar reasons for reaching the same conclusion. See id., at 243, 248, 262.
In support of these assertions, both experts
cited a variety of evidence. Dr. Lubarsky emphasized, in
particular, Arizona’s 2014 execution of Joseph Wood, which had been
conducted using midazolam and the drug hydromorphone rather than
the three-drug cocktail Oklahoma intends to employ.[ 1 ] Id., at 176. Despite being
administered 750 milligrams of midazolam, Wood had continued
breathing and moving for nearly two hours—which, according to Dr.
Lubarsky, would not have occurred “during extremely deep levels of
anesthesia.” Id., at 177. Both experts also cited various
scientific articles and textbooks to support their conclusions. For
instance, Dr. Lubarsky relied on a study measuring the brain
activity of rats that were administered midazolam, which showed
that the drug’s impact significantly tailed off at higher doses.
See Hovinga et al., Pharmacokinetic-EEG Effect Relationship of
Midazolam in Aging BN/BiRij Rats, 107 British J. Pharmacology 171,
173, Fig. 2 (1992). He also pointed to a pharmacology textbook that
confirmed his description of how benzodiazepines and barbiturates
produce their effects, see Stoelting & Hillier 127–128,
140–144, and a survey article concluding that “[m]idazolam cannot
be used alone . . . to maintain adequate anesthesia,”
Reves, Fragen, Vinik, & Greenblatt, Midazolam: Pharmacology and
Uses, 62 Anesthesiology 310, 318 (1985) (Reves). For his part, Dr.
Sasich referred to a separate survey article, which similarly
recognized and described the ceiling effect to which
benzodiazepines are subject. See Saari, Uusi- Oukari, Ahonen, &
Olkkola, Enhancement of GABAergic Activity: Neuropharmacological
Effects of Benzodiazepines and Therapeutic Use in Anesthesiology,
63 Pharamacological Rev. 243, 244, 250 (2011) (Saari).
By contrast, Dr. Evans, the State’s expert,
asserted that a 500-milligram dose of midazolam would “render the
person unconscious and ‘insensate’ during the remainder of the
[execution] procedure.” App. 294. He rested this conclusion on two
interrelated propositions.
First, observing that a therapeutic dose of
midazolam to treat anxiety is less than 5 milligrams for a
70-kilogram adult, Dr. Evans emphasized that Oklahoma’s planned
administration of 500 milligrams of the drug was “at least 100
times the normal therapeutic dose.” Ibid. While he
acknowledged that “[t]here are no studies that have been done
. . . administering that much . . . midazolam
. . . to anybody,” he noted that deaths had occurred in
doses as low as 0.04 to 0.07 milligrams per kilogram (2.8 to 4.9
milligrams for a 70-kilogram adult), and contended that a
500-milligram dose would itself cause death within less than an
hour—a conclusion he characterized as “essentially an extrapolation
from a toxic effect.” Id., at 327; see id., at
308.
Second, in explaining how he reconciled his
opinion with the evidence of midazolam’s ceiling effect, Dr. Evans
testified that while “GABA receptors are found across the entire
body,” midazolam’s ceiling effect is limited to the “spinal cord”
and there is “no ceiling effect” at the “higher level of [the]
brain.” Id., at 311–312. Consequently, in his view, “as you
increase the dose of midazolam, it’s a linear effect, so you’re
going to continue to get an impact from higher doses of the drug,” id. , at 332, until eventually “you’re paralyzing the brain,” id. , at 314. Dr. Evans also understood the chemical source
of midazolam’s ceiling effect somewhat differently from
petitioners’ experts. Although he agreed that midazolam produces
its effect by “binding to [GABA] receptors,” id., at 293, he
appeared to believe that midazolam produced sedation by “inhibiting
GABA” from attaching to GABA receptors, not by promoting GABA’s
sedative effects, id., at 312. Thus, when asked about Dr.
Lubarsky’s description of the ceiling effect, Dr. Evans
characterized the phenomenon as stemming from “the competitive
nature of substances trying to attach to GABA receptors.” Id. , at 313.
Dr. Evans cited no scholarly research in support
of his opinions. Instead, he appeared to rely primarily on two
sources: the Web site www.drugs.com, and a “Material Safety Data
Sheet” produced by a midazolam manufacturer. See id. , at
303. Both simply contained general information that covered the
experts’ areas of agreement.
D
The District Court denied petitioners’ motion
for a preliminary injunction. It began by making a series of
factual findings regarding the characteristics of midazolam and its
use in Oklahoma’s execution protocol. Most relevant here, the
District Court found that “[t]he proper administration of 500
milligrams of midazolam . . . would make it a virtual
certainty that an individual will be at a sufficient level of
unconsciousness to resist the noxious stimuli which could occur
from the application of the second and third drugs.” Id. , at
77. Respecting petitioners’ contention that there is a “ceiling
effect which prevents an increase in dosage from having a
corresponding incremental effect on anesthetic depth,” the District
Court concluded:
“Dr. Evans testified persuasively
. . . that whatever the ceiling effect of midazolam may
be with respect to anesthesia, which takes effect at the spinal
cord level, there is no ceiling effect with respect to the ability
of a 500 milligram dose of midazolam to effectively paralyze the
brain, a phenomenon which is not anesthesia but does have the
effect of shutting down respiration and eliminating the
individual’s awareness of pain.” Id. , at 78.
Having made these findings, the District Court
held that petitioners had shown no likelihood of success on the
merits of their Eighth Amendment claim for two independent reasons.
First, it determined that petitioners had “failed to establish that
proceeding with [their] execution[s] . . . on the basis
of the revised protocol presents . . . ‘an objectively
intolerable risk of harm.’ ” Id. , at 96. Second, the
District Court held that petitioners were unlikely to prevail
because they had not identified any “ ‘known and available
alternative’ ” means by which they could be executed—a
requirement it understood Baze to impose. Id. , at 97.
The District Court concluded that the State “ha[d] affirmatively
shown that sodium thiopental and pentobarbital, the only
alternatives to which the [petitioners] have even alluded, are not
available to the [State].” Id. , at 98.
The Court of Appeals for the Tenth Circuit
affirmed. Warner v. Gross , 776 F. 3d 721 (2015).
It, like the District Court, held that petitioners were unlikely to
prevail on the merits because they had failed to prove the
existence of “ ‘known and available alternatives.’ ” Id., at 732. “In any event,” the court continued, it was
unable to conclude that the District Court’s factual findings had
been clearly erroneous, and thus petitioners had also “failed to
establish that the use of midazolam in their executions
. . . creates a demonstrated risk of severe pain.” Ibid. Petitioners and Charles Warner filed a petition
for certiorari and an application to stay their executions. The
Court denied the stay application, and Charles Warner was executed
on January 15, 2015. See Warner v. Gross , 574
U. S. ___ (2015) (Sotomayor, J., dissenting from denial of
certiorari). The Court subsequently granted certiorari and, at the
request of the State, stayed petitioners’ pending executions.
II
I begin with the second of the Court’s two
holdings: that the District Court properly found that petitioners
did not demonstrate a likelihood of showing that Oklahoma’s
execution protocol poses an unconstitutional risk of pain. In
reaching this conclusion, the Court sweeps aside substantial
evidence showing that, while midazolam may be able to induce unconsciousness, it cannot be utilized to maintain unconsciousness in the face of agonizing stimuli. Instead, like the
District Court, the Court finds comfort in Dr. Evans’ wholly
unsupported claims that 500 milligrams of midazolam will
“paralyz[e] the brain.” In so holding, the Court disregards an
objectively intolerable risk of severe pain.
A
Like the Court, I would review for clear error
the District Court’s finding that 500 milligrams of midazolam will
render someone sufficiently unconscious “ ‘to resist the
noxious stimuli which could occur from the application of the
second and third drugs.’ ” Ante, at 18–19 (quoting App.
77). Unlike the Court, however, I would do so without abdicating
our duty to examine critically the factual predicates for the
District Court’s finding—namely, Dr. Evans’ testimony that
midazolam has a “ceiling effect” only “at the spinal cord level,”
and that a “500 milligram dose of midazolam” can therefore
“effectively paralyze the brain.” Id., at 78. To be sure, as
the Court observes, such scientific testimony may at times lie at
the boundaries of fed-eral courts’ expertise. See ante , at
17–18. But just because a purported expert says something does not
make it so. Especially when important constitutional rights are at
stake, federal district courts must carefully evaluate the premises
and evidence on which scientific conclusions are based, and
appellate courts must ensure that the courts below have in fact
carefully considered all the evidence presented. Clear error exists
“when although there is evidence to support” a finding, “the
reviewing court on the entire evidence is left with the definite
and firm conviction that a mistake has been committed.” United
States v. United States Gypsum Co. , 333 U. S. 364,
395 (1948) . Here, given the numerous flaws in Dr. Evans’
testimony, there can be little doubt that the District Court
clearly erred in relying on it.
To begin, Dr. Evans identified no scientific
literature to support his opinion regarding midazolam’s properties
at higher-than-normal doses. Apart from a Material Safety Data
Sheet that was relevant only insofar as it suggests that a low dose
of midazolam may occasionally be toxic, see ante, at 27—an
issue I discuss further below—Dr. Evans’ testimony seems to have
been based on the Web site www.drugs.com. The Court may be right
that “petitioners do not identify any incorrect statements from
drugs.com on which Dr. Evans relied.” Ante , at 27. But that
is because there were no statements from drugs.com that
supported the critically disputed aspects of Dr. Evans’ opinion. If
anything, the Web site supported petitioners’ contentions, as it
expressly cautioned that midazolam “[s]hould not be used alone for
maintenance of anesthesia,” App. H to Pet. for Cert. 6159, and
contained no warning that an excessive dose of midazolam could
“paralyze the brain,” see id., at 6528–6529.
Most importantly, nothing from drugs.com—or, for
that matter, any other source in the record—corroborated Dr. Evans’
key testimony that midazolam’s ceiling effect is limited to the
spinal cord and does not pertain to the brain. Indeed, the State
appears to have disavowed Dr. Evans’ spinal-cord theory, refraining
from even mentioning it in its brief despite the fact that the
District Court expressly relied on this testimony as the basis for
finding that larger doses of midazolam will have greater anesthetic
effects. App. 78. The Court likewise assiduously avoids defending
this theory.
That is likely because this aspect of Dr. Evans’
testi-mony was not just unsupported, but was directly refuted by
the studies and articles cited by Drs. Lubarsky and Sasich. Both of
these experts relied on academic texts describing benzodiazepines’
ceiling effect and explaining why it prevents these drugs from
rendering a person completely insensate. See Stoelting &
Hillier 141, 144 (describing midazolam’s ceiling effect and
contrasting the drug with barbiturates); Saari 244 (observing that
“abolishment of perception of environmental stimuli cannot usually
be generated”). One study further made clear that the ceiling
effect is apparent in the brain. See id., at 250.
These scientific sources also appear to
demonstrate that Dr. Evans’ spinal-cord theory— i.e., that
midazolam’s ceiling effect is limited to the spinal cord—was
premised on a basic misunderstanding of midazolam’s mechanism of
action. I say “appear” not because the sources themselves are
unclear about how midazolam operates: They plainly state that
midazolam functions by promoting GABA’s inhibitory effects on the
central nervous system. See, e.g., Stoelting & Hillier
140. Instead, I use “appear” because discerning the rationale
underlying Dr. Evans’ testimony is difficult. His spinal-cord
theory might, however, be explained at least in part by his
apparent belief that rather than promoting GABA’s inhibitory
effects, midazolam produces sedation by “compet[ing]” with GABA and
thus “inhibit[ing]” GABA’s effect. App. 312–313.[ 2 ] Regardless, I need not delve too deeply
into Dr. Evans’ alternative scientific reality. It suffices to say
that to the extent that Dr. Evans’ testimony was based on his
understanding of the source of midazolam’s pharmacological
properties, that understanding was wrong.
These inconsistencies and inaccuracies go to the
very heart of Dr. Evans’ expert opinion, as they were the key
components of his professed belief that one can extrapolate from
what is known about midazolam’s effect at low doses to conclude
that the drug would “paralyz[e] the brain” at Oklahoma’s planned
dose. Id., at 314. All three experts recognized that there
had been no scientific testing on the use of this amount of
midazolam in conjunction with these particular lethal injection
drugs. See ante , at 19; App. 176 (Lubarsky), 243–244
(Sasich), 327 (Evans). For this reason, as the Court correctly
observes, “extrapolation was reasonable.” Ante , at 20. But
simply because extrapolation may be reasonable or even required
does not mean that every conceivable method of extrapolation can be
credited, or that all estimates stemming from purported
extrapolation are worthy of belief. Dr. Evans’ view was that
because 40 milligrams of midazolam could be used to induce
unconsciousness, App. 294, and because more drug will generally
produce more effect, a significantly larger dose of 500 milligrams
would not just induce unconsciousness but allow for its maintenance
in the face of extremely painful stimuli, and ultimately even cause
death itself. In his words: “[A]s you increase the dose of
midazolam, it’s a linear effect, so you’re going to continue to get
an impact from higher doses of the drug.” Id. , at 332. If,
however, there is a ceiling with respect to midazolam’s effect on
the brain—as petitioners’ experts established there is—then such
simplistic logic is not viable. In this context, more is not
necessarily better, and Dr. Evans was plainly wrong to presume it
would be.
If Dr. Evans had any other basis for the
“extrapolation” that led him to conclude 500 milligrams of
midazolam would “paralyz[e] the brain,” id. , at 314, it was
even further divorced from scientific evidence and logic. Having
emphasized that midazolam had been known to cause approximately 80
deaths, Dr. Evans asserted that his opinion regarding the efficacy
of Oklahoma’s planned use of the drug represented “essentially an
extrapolation from a toxic effect.” Id. , at 327
(emphasis added); see id., at 308. Thus, Dr. Evans appeared
to believe—and again, I say “appeared” because his rationale is not
clear—that because midazolam caused some deaths, it would
necessarily cause complete unconsciousness and then death at
especially high doses. But Dr. Evans also thought, and Dr. Lubarsky
confirmed, that these midazolam fatalities had occurred at very low
doses—well below what any expert said would produce
unconsciousness. See id. , at 207, 308. These deaths thus
seem to represent the rare, unfortunate side effects that one would
expect to see with any drug at normal therapeutic doses; they
provide no indication of the effect one would expect midazolam to
have on the brain at substantially higher doses. Deaths occur with
almost any product. One might as well say that because some people
occasionally die from eating one peanut, one hundred peanuts would
necessarily induce a coma and death in anyone.[ 3 ]
In sum, then, Dr. Evans’ conclusions were
entirely unsupported by any study or third-party source,
contradicted by the extrinsic evidence proffered by petitioners,
inconsistent with the scientific understanding of midazolam’s
properties, and apparently premised on basic logical errors. Given
these glaring flaws, the District Court’s acceptance of Dr. Evans’
claim that 500 milligrams of midazolam would “paralyz[e] the brain”
cannot be credited. This is not a case “[w]here there are two
permissibleviews of the evidence,” and the District Court chose
one; rather, it is one where the trial judge credited “one of two
or more witnesses” even though that witness failed to tell “a
coherent and facially plausible story that is not contradicted by
extrinsic evidence.” Anderson v. Bessemer City , 470
U. S. 564 –575 (1985). In other words, this is a case in which
the District Court clearly erred. See ibid. B
Setting aside the District Court’s erroneous
factual finding that 500 milligrams of midazolam will necessarily
“paralyze the brain,” the question is whether the Court is
nevertheless correct to hold that petitioners failed to demonstrate
that the use of midazolam poses an “objectively intolerable risk”
of severe pain. See Baze , 553 U. S., at 50 (plurality
opinion) (internal quotation marks omitted). I would hold that they
made this showing. That is because, in stark contrast to Dr. Evans,
petitioners’ experts were able to point to objective evidence
indicating that midazolam cannot serve as an effective anesthetic
that “render[s] a person insensate to pain caused by the second and
third [lethal injection] drugs.” Ante , at 23.
As observed above, these experts cited multiple
sources supporting the existence of midazolam’s ceiling effect.
That evidence alone provides ample reason to doubt midazolam’s
efficacy. Again, to prevail on their claim, petitioners need only
establish an intolerable risk of pain, not a certainty. See Baze , 553 U. S., at 50. Here, the State is attempting
to use midazolam to produce an effect the drug has never previously
been demonstrated to produce, and despite studies indicating that
at some point increasing the dose will not actually increase the
drug’s effect. The State is thus proceeding in the face of a very
real risk that the drug will not work in the manner it claims.
Moreover, and perhaps more importantly, the
record provides good reason to think this risk is substantial. The
Court insists that petitioners failed to provide “probative
evidence” as to whether “midazolam’s ceiling effect occurs below
the level of a 500-milligram dose and at a point at which the drug
does not have the effect of rendering a person insensate to pain.” Ante , at 23. It emphasizes that Dr. Lubarsky was unable to
say “at what dose the ceiling effect occurs,” and could only
estimate that it was “ ‘[p]robably after about . . .
40 to 50 milligrams.’ ” Ante, at 23 (quoting App.
225).
But the precise dose at which midazolam
reaches its ceiling effect is irrelevant if there is no dose at
which the drug can, in the Court’s words, render a person
“insensate to pain.” Ante , at 23. On this critical point,
Dr. Lubarsky was quite clear.[ 4 ] He explained that the drug “does not work to produce” a
“lack of consciousness as noxious stimuli are applied,” and is “not
sufficient to produce a surgical plane of anesthesia in human
beings.” App. 204. He also noted that “[t]he drug would never be
used and has never been used as a sole anesthetic to give
anesthesia during a surgery,” id., at 223, and asserted that
“the drug was not approved by the FDA as a sole anesthetic because
after the use of fairly large doses that were sufficient to reach
the ceiling effect and produce induction of unconsciousness, the
patients responded to the surgery,” id. , at 219. Thus, Dr.
Lubarsky may not have been able to identify whether this effect
would be reached at 40, 50, or 60 milligrams or some higher
threshold, but he could specifythat at no level would midazolam
reliably keep an in-mate unconscious once the second and third
drugs were delivered.[ 5 ]
These assertions were amply supported by the
evidence of the manner in which midazolam is and can be used. All
three experts agreed that midazolam is utilized as the sole
sedative only in minor procedures. Dr. Evans, for example,
acknowledged that while midazolam may be used as the sole drug in
some procedures that are not “terribly invasive,” even then “you
would [generally] see it used in combination with a narcotic.” Id., at 307. And though, as the Court observes, Dr. Sasich
believed midazolam could be “used for medical procedures like
colonoscopies and gastroscopies,” ante , at 21, he insisted
that these procedures were not necessarily painful, and that it
would be a “big jump” to conclude that midazolam would be effective
to maintain unconsciousness throughout an execution. Tr. 369–370.
Indeed, the record provides no reason to think that these
procedures cause excruciating pain remotely comparable to that
produced by the second and third lethal injection drugs Oklahoma
intends to use.
As for more painful procedures, the consensus
was also clear: Midazolam is not FDA-approved for, and is not used
as, a sole drug to maintain unconsciousness. See App. 171
(Lubarsky), 262 (Sasich), 327 (Evans). One might infer from the
fact that midazolam is not used as the sole anesthetic for
more serious procedures that it cannot be used for them. But
drawing such an inference is unnecessary, as petitioners’ experts
invoked sources expressly stating as much. In particular, Dr.
Lubarsky pointed to a survey article that cited four separate
authorities and declared that “[m]idazolam cannot be used alone
. . . to maintain adequate anesthesia.” Reves 318; see
also Stoelting & Hillier 145 (explaining that midzolam is used
for “induction of anesthesia,” and that, “ [i]n combination with
other drugs , [it] may be used for maintenance of anesthesia”
(emphasis added)).
This evidence was alone sufficient, but if one
wanted further support for these conclusions it was provided by the
Lockett and Wood executions. The procedural flaws that marred the
Lockett execution created the conditions for an unintended (and
grotesque) experiment on midazolam’s efficacy. Due to problems with
the IV line, Lockett was not fully paralyzed after the second and
third drugs were administered. He had, however, been administered
more than enough midazolam to “render an average person
unconscious,” as the District Court found. App. 57. When Lockett
awoke and began to writhe and speak, he demonstrated the critical
difference between midazolam’s ability to render an inmate
unconscious and its ability to maintain the inmate in that state.
The Court insists that Lockett’s execution involved “only 100
milligrams of midazolam,” ante , at 28, but as explained
previously, more is not necessarily better given midazolam’s
ceiling effect.
The Wood execution is perhaps even more
probative. Despite being given over 750 milligrams of midazolam,
Wood gasped and snorted for nearly two hours. These reactions were,
according to Dr. Lubarsky, inconsistent with Wood being fully
anesthetized, App. 177–178, and belie the claim that a lesser dose
of 500 milligrams would somehow suffice. The Court attempts to
distinguish the Wood execution on the ground that the timing of
Arizona’s administration of midazolam was different. Ante ,
at 28. But as Dr. Lubarsky testified, it did not “matter” whether
in Wood’s execution the “midazolam was introduced all at once or
over . . . multiple doses,” because “[t]he drug has a
sufficient half life that the effect is cumulative.” App. 220; see
also Saari 253 (midazolam’s “elimination half-life ranges from 1.7
to 3.5 h[ours]”).[ 6 ] Nor does
the fact that Wood’s dose of midazolam was paired with
hydromorphone rather than a paralytic and potassium chromide, see ante, at 29, appear to have any relevance—other than that
the use of this analgesic drug may have meant that Wood did not
experience the same degree of searing pain that an inmate executed
under Oklahoma’s protocol may face.
By contrast, Florida’s use of this same
three-drug protocol in 11 executions, see ante, at 28
(citing Brief for State of Florida as Amicus Curiae 1),
tells us virtually nothing. Although these executions have featured
no obvious mishaps, the key word is “obvious.” Because the protocol
involves the administration of a powerful paralytic, it is, as Drs.
Sasich and Lubarsky explained, impossible to tell whether the
condemned inmate in fact remained unconscious. App. 218, 273; see
also Baze , 553 U. S., at 71 (Stevens, J., concurring in
judgment). Even in these executions, moreover, there have been
indications of the inmates’ possible awareness. See Brief for State
of Alabama et al. as Amici Curiae 9–13 (describing the 11
Flor-ida executions, and noting that some allegedly involved
blinking and other movement after administration of the three
drugs).[ 7 ]
Finally, none of the State’s “safeguards” for
administering these drugs would seem to mitigate the substantial
risk that midazolam will not work, as the Court contends. See ante, at 21–22. Protections ensuring that officials have
properly secured a viable IV site will not enable midazolam to have
an effect that it is chemically incapable of having. Nor is there
any indication that the State’s monitoring of the inmate’s
consciousness will be able to anticipate whether the inmate will remain unconscious while the second and third drugs are
administered. No one questions whether midazolam can induce
unconsciousness. The problem, as Lockett’s execution vividly
illustrates, is that an unconscious inmate may be awakened by the
pain and respiratory distress caused by administration of the
second and third drugs. At that point, even if it were possible to
determine whether the inmate is conscious—dubious, given the use of
a paralytic—it is already too late. Presumably for these reasons,
the Tenth Circuit characterized the District Court’s reliance on
these procedural mechanisms as “not relevant to its rejection of
[petitioners’] claims regarding the inherent characteristics of
midazolam.” Warner , 776 F. 3d, at 733.
C
The Court not only disregards this record
evidence of midazolam’s inadequacy, but also fails to fully
appreciate the procedural posture in which this case arises.
Petitioners have not been accorded a full hearing on the merits of
their claim. They were granted only an abbreviated evidentiary
proceeding that began less than three months after the State issued
its amended execution protocol; they did not even have the
opportunity to present rebuttal evidence after Dr. Evans testified.
They sought a preliminary injunction, and thus were not required to
prove their claim, but only to show that they were likely to
succeed on the merits. See Winter v. Natural Resources
Defense Council, Inc. , 555 U. S. 7, 20 (2008) ; Hill v. McDonough , 547 U. S. 573, 584 (2006)
.
Perhaps the State could prevail after a full
hearing, though this would require more than Dr. Evans’ unsupported
testimony. At the preliminary injunction stage, however,
petitioners presented compelling evidence suggesting that midazolam
will not work as the State intends. The State, by contrast, offered
absolutely no contrary evidence worth crediting. Petitioners are
thus at the very least likely to prove that, due to
midazolam’s inherent deficiencies, there is a constitutionally
intolerable risk that they will be awake, yet unable to move, while
chemicals known to cause “excruciating pain” course through their
veins. Baze , 553 U. S., at 71 (Stevens, J., concurring
in judgment).
III
The Court’s determination that the use of
midazolam poses no objectively intolerable risk of severe pain is
factually wrong. The Court’s conclusion that petitioners’ challenge
also fails because they identified no available alternative means
by which the State may kill them is legally indefensible.
A
This Court has long recognized that certain
methods of execution are categorically off-limits. The Court first
confronted an Eighth Amendment challenge to a method of execution
in Wilkerson v. Utah , 99 U. S. 130 (1879) .
Although Wilkerson approved the particular method at
issue—the firing squad—it made clear that “public dissection,”
“burning alive,” and other “punishments of torture . . .
in the same line of unnecessary cruelty, are forbidden by [the
Eighth A]mendment to the Constitution.” Id. , at 135–136.
Eleven years later, in rejecting a challenge to the first proposed
use of the electric chair, the Court again reiterated that “if the
punishment prescribed for an offense against the laws of the State
were manifestly cruel and unusual, as burning at the stake,
crucifixion, breaking on the wheel, or the like, it would be the
duty of the courts to adjudge such penalties to be within the
constitutional prohibition.” In re Kemmler , 136 U. S.
436, 446 (1890) .
In the more than a century since, the Members of
this Court have often had cause to debate the full scope of the
Eighth Amendment’s prohibition of cruel and unusual punishment.
See, e.g., Furman v. Georgia , 408 U. S. 238
(1972) . But there has been little dispute that it at the very
least precludes the imposition of “barbarous physical punishments.” Rhodes v. Chapman , 452 U. S. 337, 345 (1981) ;
see, e.g. , Solem v. Helm , 463 U. S. 277,
284 (1983) ; id. , at 312–313 (Burger, C. J.,
dissenting); Baze , 553 U. S., at 97–99 (Thomas, J.,
concurring in judgment); Harmelin v. Michigan , 501
U. S. 957, 976 (1991) (opinion of Scalia, J.). Nor has there
been any question that the Amendment prohibits such “inherently
barbaric punishments under all circumstances .” Graham v. Florida , 560 U. S. 48 (2010) (emphasis added).
Simply stated, the “ Eighth Amendment categorically prohibits the infliction of cruel and unusual punishments.” Penry v. Lynaugh , 492 U. S. 302, 330 (1989)
(emphasis added).
B
The Court today, however, would convert this
categorical prohibition into a conditional one. A method of
execution that is intolerably painful—even to the point of being
the chemical equivalent of burning alive—will, the Court holds, be
unconstitutional if , and only if, there is a “known and
available alternative” method of execution. Ante, at 15. It
deems Baze to foreclose any argument to the contrary. Ante, at 14. Baze held no such thing. In the first
place, the Court cites only the plurality opinion in Baze as
support for its known-and-available-alternative requirement. See ibid. Even assuming that the Baze plurality set forth
such a requirement—which it did not—none of the Members of the
Court whose concurrences were necessary to sustain the Baze Court’s judgment articulated a similar view. See 553 U. S., at
71–77, 87 (Stevens, J., concurring in judgment); id. , at 94,
99–107 (Thomas, J., concurring in judgment); id., at
107–108, 113 (Breyer, J., concurring in judgment). In general, “the
holding of the Court may be viewed as that position taken by those
Members who concurred in the judgments on the narrowest grounds.” Marks v. United States , 430 U. S. 188, 193
(1977) (internal quotation marks omitted). And as the Court
observes, ante , at 14, n. 2, the opinion of Justice
Thomas, joined by Justice Scalia, took the broadest position with
respect to the degree of intent that state officials must have
inorder to have violated the Eighth Amendment, concluding that only
a method of execution deliberately designedto inflict pain, and not
one simply designed with deliberate indifference to the risk of
severe pain, would be un-constitutional. 553 U. S., at 94
(Thomas, J., concurringin judgment). But this understanding of the
Eighth Amendment’s intent requirement is unrelated to, and thus not
any broader or narrower than, the requirement the Court now divines
from Baze . Because the position that a plaintiff challenging
a method of execution under the Eighth Amendment must prove the
availability of an alternative means of execution did not
“represent the views of a majority of the Court,” it was not the
holding of the Baze Court. CTS Corp. v. Dynamics
Corp. of America , 481 U. S. 69, 81 (1987) .
In any event, even the Baze plurality
opinion provides no support for the Court’s proposition. To be
sure, that opinion contains the following sentence: “[The
condemned] must show that the risk is substantial when compared to
the known and available alternatives.” 553 U. S., at 61. But
the meaning of that key sentence and the limits of the requirement
it imposed are made clear by the sentence directly preceding it: “A
stay of execution may not be granted on grounds such as those
asserted here unless the condemned prisoner establishes that
the State’s lethal injection protocol creates a demonstrated risk
of severe pain.” Ibid. (emphasis added). In Baze , the
very premise of the petitioners’ Eighth Amendment claim was that
they had “identified a significant risk of harm [in Kentucky’s
protocol] that [could] be eliminated by adopting alternative
procedures.” Id. , at 51. Their basic theory was that even if
the risk of pain was only, say, 25%, that risk would be objectively
intolerable if there was an obvious alternative that would reduce
the risk to 5%. See Brief for Petitioners in Baze v. Rees , O. T. 2007, No. 07–5439, p. 29 (“In view of
the severity of the pain risked and the ease with which it could be
avoided, Petitioners should not have been required to show a high
likelihood that they would suffer such pain
. . . ”). Thus, the “grounds . . .
asserted” for relief in Baze were that the State’s protocol
was intolerably risky given the alternative procedures the State
could have employed.
Addressing this claim, the Baze plurality
clarified that “a condemned prisoner cannot successfully challenge
a State’s method of execution merely by showing a slightly or
marginally safer alternative,” 553 U. S., at 51; instead, to
succeed in a challenge of this type, the comparative risk must be
“substantial,” id. , at 61. Nowhere did the plurality suggest
that all challenges to a State’s method of execution would
require this sort of comparative-risk analysis. Recognizing the
relevance of available alternatives is not at all the same as
concluding that their absence precludes a claimant from showing
that a chosen method carries objectively intolerable risks. If, for
example, prison officials chose a method of execution that has a
99% chance of causing lingering and excruciating pain, certainly
that risk would be objectively intolerable whether or not the
officials ignored other methods in making this choice. Irrespective
of the existence of alternatives, there are some risks “so grave
that it violates contemporary standards of decency to expose anyone unwillingly to” them. Helling v. McKinney , 509 U. S. 25, 36 (1993) (emphasis in
original).
That the Baze plurality’s statement
regarding a condemned inmate’s ability to point to an available
alternative means of execution pertained only to challenges
premised on the existence of such alternatives is further evidenced
by the opinion’s failure to distinguish or even mention the Court’s
unanimous decision in Hill v. McDonough , 547
U. S. 573 . Hill held that a §1983 plaintiff
challenging a State’s method of execution need not “identif[y] an
alternative, authorized method of execution.” Id. , at 582.
True, as the Court notes, ante , at 14–15, Hill did so
in the context of addressing §1983’s pleading standard, rejecting
the proposed alternative-means requirement because the Court saw no
basis for the “[i]mposition of heightened pleading requirements.”
547 U. S., at 582. But that only confirms that the Court in Hill did not view the availability of an alternative means
of execution as an element of an Eighth Amendment claim: If it had,
then requiring the plaintiff to plead this element would not have
meant imposing a heightened standard at all, but rather would have
been entirely consistent with “traditional pleading requirements.” Ibid. ; see Ashcroft v. Iqbal , 556 U. S.
662, 678 (2009) . The Baze plurality opinion should not be
understood to have so carelessly tossed aside Hill ’s
underlying premise less than two years later.
C
In reengineering Baze to support its
newfound rule, the Court appears to rely on a flawed syllogism. If
the death penalty is constitutional, the Court reasons, then there
must be a means of accomplishing it, and thus some available method
of execution must be constitutional. See ante , at 4, 15–16.
But even accepting that the death penalty is, in the abstract,
consistent with evolving standards of decency, but see ante ,
p. ___ (Breyer, J., dissenting), the Court’s conclusion does
not follow. The constitutionality of the death penalty may inform
our conception of the degree of pain that would render a particular
method of imposing it unconstitutional. See Baze , 553
U. S., at 47 (plurality opinion) (because “[s]ome risk of pain
is inherent in any method of execution,” “[i]t is clear
. . . the Constitution does not demand the avoidance of
all risk of pain”). But a method of execution that is “barbarous,” Rhodes , 452 U. S., at 345, or “involve[s] torture or a
lingering death,” Kemmler , 136 U. S., at 447, does not
become less so just because it is the only method currently
available to a State. If all available means of conducting an
execution constitute cruel and unusual punishment, then conducting
the execution will constitute cruel and usual punishment. Nothing
compels a State to perform an execution. It does not get a
constitutional free pass simply because it desires to deliver the
ultimate penalty; its ends do not justify any and all means. If a
State wishes to carry out an execution, it must do so subject to
the constraints that our Constitution imposes on it, including the
obligation to ensure that its chosen method is not cruel and
unusual. Certainly the condemned has no duty to devise or pick a
constitutional instrument of his or her own death.
For these reasons, the Court’s
available-alternative requirement leads to patently absurd
consequences. Petitioners contend that Oklahoma’s current protocol
is a barbarous method of punishment—the chemical equivalent of
being burned alive. But under the Court’s new rule, it would not
matter whether the State intended to use midazolam, or instead to
have petitioners drawn and quartered, slowly tortured to death, or
actually burned at the stake: because petitioners failed to prove
the availability of sodium thiopental or pentobarbital, the State
could execute them using whatever means it designated. But see Baze , 553 U. S., at 101–102 (Thomas, J., concurring in
judgment) (“It strains credulity to suggest that the defining
characteristic of burning at the stake, disemboweling, drawing and
quartering, beheading, and the like was that they involved risks of
pain that could be eliminated by using alternative methods of
execution”).[ 8 ] The Eighth
Amendment cannot possibly countenance such a result.
D
In concocting this additional requirement, the
Court is motivated by a desire to preserve States’ ability to
conduct executions in the face of changing circumstances. See ante, at 4–6, 27–28. It is true, as the Court details, that
States have faced “practical obstacle[s]” to obtaining lethal
injection drugs since Baze was decided. Ante , at 4.
One study concluded that recent years have seen States change their
protocols “with a frequency that is unprecedented among execution
methods in this country’s history.” Denno, Lethal Injection Chaos
Post- Baze , 102 Geo. L. J. 1331, 1335 (2014).
But why such developments compel the Court’s
imposition of further burdens on those facing execution is a
mystery. Petitioners here had no part in creating the shortage of
execution drugs; it is odd to punish them for the actions of
pharmaceutical companies and others who seek to disassociate
themselves from the death penalty—actions which are, of course,
wholly lawful. Nor, certainly, should these rapidly changing
circumstances give us any greater confidence that the execution
methods ultimately selected will be sufficiently humane to satisfy
the Eighth Amendment. Quite the contrary. The execution protocols
States hurriedly devise as they scramble to locate new and untested
drugs, see supra, at 3, are all the more likely to be cruel
and unusual—presumably, these drugs would have been the States’
first choice were they in fact more effective. But see Denno, The
Lethal Injection Quandry: How Medicine Has Dismantled the Death
Penalty, 76 Ford. L. Rev. 49, 65–79 (2007) (describing the
hurried and unreasoned process by which States first adopted the
original three-drug protocol). Courts’ review of execution methods
should be more, not less, searching when States are engaged in what
is in effect human experimentation.
It is also worth noting that some condemned
inmates may read the Court’s surreal requirement that they
iden-tify the means of their death as an invitation to propose
methods of executions less consistent with modern sensibilities.
Petitioners here failed to meet the Court’s new test because of
their assumption that the alternative drugs to which they pointed,
pentobarbital and sodium thiopental, were available to the State.
See ante, at 13–14. This was perhaps a reasonable
assumption, especially given that neighboring Texas and Missouri
still to this day continue to use pentobarbital in executions. See
The Death Penalty Institute, Execution List 2015, online at
www.deathpenaltyinfo.org/execution-list-2015 (as visited June 26,
2015, and available in the Clerk of the Court’s case file).
In the future, however, condemned inmates might
well decline to accept States’ current reliance on lethal
injection. In particular, some inmates may suggest the firing squad
as an alternative. Since the 1920’s, only Utah has utilized this
method of execution. See S. Banner, The Death Penalty 203 (2002);
Johnson, Double Murderer Executed by Firing Squad in Utah,
N. Y. Times, June 19, 2010, p. A12. But there is evidence to
suggest that the firing squad is significantly more reliable than
other methods, including lethal injection using the various
combinations of drugs thus far developed. See A. Sarat, Gruesome
Spectacles: Botched Executions and America’s Death Penalty, App. A,
p. 177 (2014) (calculating that while 7.12% of the 1,054
executions by lethal injection between 1900 and 2010 were
“botched,” none of the 34 executions by firing squad had been).
Just as important, there is some reason to think that it is
relatively quick and painless. See Banner, supra , at
203.
Certainly, use of the firing squad could be seen
as a devolution to a more primitive era. See Wood v. Ryan , 759 F. 3d 1076, 1103 (CA9 2014) (Kozinski,
C. J., dissenting from denial of rehearing en banc). That is
not to say, of course, that it would therefore be unconstitutional.
But lethal injection represents just the latest iteration of the
States’ centuries-long search for “neat and non-disfiguring
homicidal methods.” C. Brandon, The Electric Chair: An Unnatural
American History 39 (1999) (quoting Editorial, New York Herald,
Aug. 10, 1884); see generally Banner, supra , at 169–207. A
return to the firing squad—and the blood and physical violence that
comes with it—is a step in the opposite direction. And some might
argue that the visible brutality of such a death could conceivably
give rise to its own Eighth Amendment concerns. See Campbell v. Wood , 511 U. S. 1119 –1123 (1994) (Blackmun, J.,
dissenting from denial of stay of execution and certiorari); Glass v. Louisiana , 471 U. S. 1080, 1085 (1985)
(Brennan, J., dissenting from denial of certiorari). At least from
a condemned inmate’s perspective, however, such visible yet
relatively painless violence may be vastly preferable to an
excruciatingly painful death hidden behind a veneer of medication.
The States may well be reluctant to pull back the curtain for fear
of how the rest of us might react to what we see. But we deserve to
know the price of our collective comfort before we blindly allow a
State to make condemned inmates pay it in our names.
* * *
“By protecting even those convicted of heinous
crimes, the Eighth Amendment reaffirms the duty of the government
to respect the dignity of all persons.” Roper v. Simmons , 543 U. S. 551, 560 (2005) . Today, however,
the Court absolves the State of Oklahoma of this duty. It does so
by misconstruing and ignoring the record evidence regarding the
constitutional insufficiency of midazolam as a sedative in a
three-drug lethal injection cocktail, and by imposing a wholly
unprecedented obligation on the condemned inmate to identify an
available means for his or her own execution. The contortions
necessary to save this particular lethal injection protocol are not
worth the price. I dissent. Notes 1 Hydromorphone is a
powerful analgesic similar to morphine or heroin. See R. Stoelting
& S. Hillier, Pharmacology & Physiology in Anesthetic
Practice 87–88 (4th ed. 2006) (Stoelting &
Hillier). 2 The Court disputes this
characterization of Dr. Evans’ testimony, insisting that Dr. Evans
accurately described midazolam’s properties in the written report
he submitted prior to the hearing below, and suggesting that
petitioners’ experts would have “dispute[d] the accuracy” of this
explanation were it in fact wrong. Ante, at 25. But Dr.
Evans’ written report simply said midazolam “produces different
levels of central nervous system (CNS) depression through binding
to [GABA] receptors.” App. 293. That much is true. Only after Drs.
Sasich and Lubarsky testified did Dr. Evans further claim that
midazolam produced CNS depression by binding to GABA receptors and thereby preventing GABA itself from binding to those
receptors —which is where he went wrong. The Court’s further
observation that Dr. Lubarsky also used a variant on the word
“inhibiting” in his testimony—in saying that GABA’s
“ ‘ inhibition of brain activity is accentuated by
midazolam,’ ” ante , at 25 (quoting App. 232)—is
completely nonresponsive. “Inhibiting” is a perfectly good word;
the problem here is the manner in which Dr. Evans used it in a
sentence. 3 For all the reasons
discussed in Part II–B, infra , and contrary to the Court’s
claim, see ante , at 20, n. 4, there are good reasons to
doubt that 500 milligrams of midazolam will, in light of the
ceiling effect, inevitably kill someone. The closest the record
comes to providing support for this contention is the fleeting
mention in the FDA-approved product label that one of the possible
consequences of midazolam overdosage is coma. See ante, at
21, n. 5. Moreover, even if this amount of the drug could kill
some people in “under an hour,” ante, at 20, n. 4, that
would not necessarily mean that the condemned would be insensate
during the approximately 10 minutes it takes for the paralytic and
potassium chloride to do their work. 4 Dr. Sasich, as the Court
emphasizes, was perhaps more hesitant to reach definitive
conclusions, see ante , at 19–21, and n. 5, 23–24, but
the statements highlighted by the Court largely reflect his
(truthful) observations that no testing has been done at doses of
500 milligrams, and his inability to pinpoint the precise dose at
which midazolam's ceiling effect might be reached. Dr. Sasich did
not, as the Court suggests, claim that midazolam’s ceiling effect
would be reached only after a person became fully insensate to
pain. Ante , at 24. What Dr. Sasich actually said was: “As
the dose increases, the benzodiazepines are expected to produce
sedation, amnesia, and finally lack of response to stimuli such as
pain (unconsciousness).” App. 243. In context, it is clear that Dr.
Sasich was simply explaining that a drug like midazolam can be used
to induce unconsciousness—an issue that was and remains
undisputed—not that it could render an inmate sufficiently
unconscious to resist all noxious stimuli. Indeed, it was
midazolam’s possible inability to serve the latter function that
led Dr. Sasich to conclude that “it is not an appropriate drug to
use when administering a paralytic followed by potassium chloride.” Id., at 248. 5 The Court claims that the
District Court could have properly disregarded Dr. Lubarsky’s
testimony because he asserted that a protocol with sodium
thiopental would “ ‘produce egregious harm and
suffering.’ ” Ante , at 24, n. 6 (quoting App.
227). But Dr. Lubarsky did not testify that, like midazolam, sodium
thiopental would not render an inmate fully insensate even if
properly administered; rather, he simply observed that he had
previously contended that protocols using that drug were
ineffective. See App. 227. He was presumably referring to an
article he coauthored that found many condemned inmates were not
being successfully delivered the dose of sodium thiopental
necessary to fully anesthetize them. See Baze , 553
U. S., at 67 (Alito, J., concurring) (discussing this
study). 6 The Court asserts that
the State refuted these contentions, pointing to Dr. Evans’
testimony that 750 milligrams of the drug “might not have the
effect that was sought” if administered over an hour. Tr. 667; see ante, at 28, n. 6. But as has been the theme here, this
pronouncement was entirely unsupported, and appears to be
contradicted by the secondary sources cited by petitioners’
experts. 7 The fact that courts in
Florida have approved the use of midazolam in this fashion is
arguably slightly more relevant, though it is worth noting that the
majority of these decisions were handed down before the Lockett and
Wood executions, and that some relied, as here, on Dr. Evans’
testimony. See ante , at 17. 8 The Court protests that
its holding does not extend so far, deriding this description of
the logical implications of its legal rule as “simply not true” and
“outlandish rhetoric.” Ante , at 29. But presumably when the
Court imposes a “requirement o[n] all Eighth Amendment
method-of-execution claims,” that requirement in fact applies to
“ all ” methods of execution, without exception. Ante, at 1 (emphasis added). | The Supreme Court ruled that death row prisoners in Oklahoma failed to prove that the state's lethal injection protocol, which uses midazolam as the first drug, violates the Eighth Amendment by causing severe pain. The Court affirmed the lower courts' findings that the prisoners did not identify an available alternative method of execution with a lesser risk of pain and that midazolam does not pose a substantial risk of severe pain when used in high doses. |