Andrews v. Morris
| Decision Date | 16 November 1983 |
| Docket Number | Nos. 18230,18234,s. 18230 |
| Citation | 677 P.2d 81 |
| Parties | William ANDREWS, Plaintiff, v. Lawrence MORRIS, Warden of the Utah State Prison, Defendant. Pierre Dale SELBY, aka Dale S. Pierre, Plaintiff, v. Lawrence MORRIS, Warden of the Utah State Prison, Defendant. |
| Court | Utah Supreme Court |
David L. Wilkinson, Atty. Gen., Robert Wallace, Asst. Atty. Gen., Salt Lake City, for defendant.
The petitioners in these two cases, which have been consolidated for disposition, have filed essentially identical original petitions for postconviction review in this Court pursuant to U.C.A., 1953, § 78-2-2 and Rule 65B Utah R.Civ.P. Both petitioners were in the process of seeking disposition on petitions for writs of habeas corpus in the United States District Court for the District of Utah when this Court issued its opinion in the case of State v. Wood, Utah, 648 P.2d 71 (1982). Consideration of those petitions was stayed by the federal district court "pending a decision in the state courts as to whether or not State v. Wood ... will result in reversal of petitioners' sentences of death."
The petitioners now argue before this Court that the Utah and federal constitutions require the reversal of their sentences of death because the Wood standard for jury deliberations in the penalty phase of a capital case must be applied retroactively to them to avoid violations of their state and federal constitutional rights to due process and equal protection. The State responds by arguing that: (1) the issues raised by petitioners have either been waived or have already been adjudicated by this Court; (2) Wood should not be applied retroactively to petitioners' cases; (3) if this Court determines to apply Wood retroactively to petitioners, the error resulting from a failure to give a Wood instruction at their sentencing hearings was harmless; (4) the allegation that petitioners' sentences are arbitrary, capricious, and a denial of equal protection should be dismissed as a The petitioners appear in this Court for the third time. Five opinions have been issued related to their direct appeals and writs of habeas corpus. This Court affirmed petitioner Pierre's conviction and death sentence in State v. Pierre, Utah, 572 P.2d 1338 (1977), and those of petitioner Andrews in State v. Andrews, Utah, 574 P.2d 709 (1977). On consolidated petitions for rehearing, the opinion in State v. Andrews & Pierre, Utah, 576 P.2d 857 (1978), was issued, again affirming the convictions of both petitioners. On collateral review, this Court upheld both convictions once again in Pierre v. Morris, Utah, 607 P.2d 812 (1980), and Andrews v. Morris, Utah, 607 P.2d 816 (1980).
matter of law; and (5) if this Court holds Wood retroactive and decides there was prejudicial error in the penalty phases of petitioners' trials, petitioners should be resentenced under U.C.A., 1953, § 76-3-207(4), which was amended on February 16, 1982, after these petitions were filed.
On this second round of petitions for collateral review, the issue is whether the Wood holding must be applied retroactively to petitioners' cases.
In the penalty phase of the Wood trial, the trial judge found that the aggravating factors "preponderated" over the mitigating factors, and specifically indicated that he did not find that the former outweighed the latter beyond a reasonable doubt. He went on to indicate that, having found the aggravating factors to "preponderate," he believed that he was "required" by law to impose the death sentence. The issue squarely posed in Wood, therefore, was "whether a death sentence may be sustained when the mitigating factors are sufficiently strong when compared with the aggravating factors to create a substantial and reasonable doubt that the death penalty is appropriate." Wood at 78. We held that it could not. Our holding was based upon our interpretation of U.C.A., 1953, § 76-3-207, which directs the sentencing authority to consider in the presentence hearing "the nature and circumstance of the crime, the defendant's character, background, history, mental and physical condition, and any other facts in aggravation or mitigation of the penalty," including the aggravating factor(s) under § 76-5-202 already proved at the trial on guilt. We said in Wood:
However, § 76-3-207 does not indicate what weight should be accorded individual aggravating and mitigating factors, or what standard should govern in reaching a decision based on a comparison of the totality of the aggravating factors and the totality of the mitigating factors. The statute does not even state that a comparison must be made. The sentencing authority is simply directed by § 76-3-207 to "consider the penalty." Obviously, however, it is implicit in the statutory scheme that a comparison of aggravating and mitigating factors must be made and a decision reached based on the result of the comparison.
In the absence of specific statutory standards to be used in the above-described comparison process, this Court in Wood undertook to interpret our death penalty statute in a manner consistent with "potential constitutional considerations and legislative intent." We said:
Therefore, construing § 76-3-207, which deals with sentencing in capital cases, in light of the legislative purposes stated in § 76-1-104(3) and (4) and § 76-1-106, we conclude that the stated objectives cannot be consistently achieved in a capital case unless the decision to impose the death penalty is made on the basis of the reasonable doubt standard. To impose the death penalty, notwithstanding serious doubt as to its appropriateness, would create in some cases--as in this case--a substantial possibility of "arbitrary ... treatment" and permit "penalties which are [not] proportionate," a result that is forbidden by the Legislature and that would raise issues of a possible constitutional magnitude.
Id. at 83 (emphasis added) (footnote omitted). Our primary concern in Wood, therefore, was to provide a standard for the sentencing authority to guide it in its comparison of aggravating and mitigating factors, and to ensure that the death penalty would not be imposed where, as in Wood, that authority entertained substantial doubt about the appropriateness of its imposition. Our fundamental objective was to ensure the consistent application of the penalty, and to protect in the future against the circumstances which existed in Wood, namely, the imposition of a death penalty where there existed a reasonable doubt about the persuasive value of and weight to be given to the mitigating factors found by the trial court as opposed to the aggravating factors. We noted in Wood the express findings of the trial court as to mitigating and aggravating factors:
The trial judge expressly found the following three mitigating circumstances: (1) the defendant had "absolutely no past criminal history or record;" (2) he was "somewhat of a sickened individual but not a depraved individual;" and (3) "at the time of the murder, his capacity to appreciate the criminality (wrongfulness) of his conduct or to conform his conduct to the requirements of law substantially impaired as a result of mental disease, intoxication or influence of drugs." As to the absence of prior criminal activity, the trial court stated "that is very mitigating." The single aggravating circumstance the trial judge found was the "ruthlessness and brutality of the murder," 1 and he ruled that outweighed the mitigating factors.
Id. at 78 (footnote omitted). A further factor in our reversal of the death penalty in Wood was our holding that, "as to any class of capital murders under Utah law, 'ruthlessness and brutality,' as an aggravating factor, must be limited to those murders involving an aggravated battery or torture." Id. at 86 (footnote omitted). Inasmuch as no aggravated battery or torture existed in Wood, and because the trial judge failed to specifically find or indicate his reliance on any other aggravating factor in the penalty phase, it was readily apparent in Wood that the mitigating factors should have prevented the imposition of the penalty and that there had to exist a reasonable doubt about its appropriateness on the facts of the case. Indeed, the trial judge candidly observed on the record that he did not "find that [the aggravating circumstances outweigh the mitigating circumstances] beyond a reasonable doubt, but [he found] that the aggravating preponderates." Id. at 78.
We emphasize for clarity that the Wood standard has to do with the degree of persuasion or certitude on the part of the sentencing authority about the decision to sentence to death. It does not affect or change standards relating to the burden of proof of facts borne by the prosecution at either the guilt or the penalty phase of the trial. The truth or accuracy of facts is not at issue in the comparison process which the Wood standard governs. Rather, the Wood standard affects the exercise of the sentencing authority's judgment about the suitable disposition of a defendant under the circumstances peculiar to him and his crime, after the facts establishing his guilt have been proved beyond a reasonable doubt.
Basically, what the sentencing authority must decide is how compelling or persuasive the totality of the mitigating factors are when compared against the totality of the aggravating factors. The sentencing body, in making the judgment that aggravating factors "outweigh," or are more compelling than, the mitigating factors, must have no reasonable doubt as to that conclusion, and as to the additional conclusion that the death penalty Id. at 83-84.
is justified and appropriate after considering all the circumstances.
There is a significant difference, which has been largely ignored in the petitioners' briefs and arguments in this...
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