In Re Application for Petition for Writ of Habeas Corpus by Ross
In Re Application for Petition for Writ of Habeas Corpus by Ross
Opinion of the Court
Opinion
This opinion relates to the orders of this court dated January 25, 2005, dismissing the motions to stay the execution of Michael B. Ross
The underlying facts and procedural history of this case are set forth in our decisions in In re Application I, supra, 272 Conn. 653, and State v. Ross, 272 Conn. 577, 863 A.2d 654 (2005). In summary, these cases involve attempts by the plaintiffs in error to obtain next friend status in the underlying criminal proceeding against Michael Ross in order to pursue postconviction relief on his behalf, including participation in the ongoing consolidated habeas litigation
The dissenting justices conclude, however, that: (1) General Statutes (Rev. to 1987) § 53a-46b
Whether § 53a-46b (b) creates a nonwaivable right to reap the benefit of litigation brought by others claiming that their sentences of death were the result of “passion, prejudice or any other arbitrary factor” is a question of law over which our review is plenary. See, e.g., State v. Ross, supra, 272 Conn. 598.
To provide context for our discussion of the statute, we begin our analysis with a history of the consolidated habeas litigation. The issue of racial disparity in the administration of the death penalty statute in Connecticut was first raised in Cobb I, supra, 234 Conn. 735.
We also concluded, however, that Cobb could have raised his racial disparity claim under § 53a-46b (b) (1). Id., 761. Under § 53a-46b (b) (1), however, “it would have been necessary for [Cobb] to have made his statistical record in the trial court, and to have subjected it to a full evidentiary hearing, as in [.McCleskey v. Zant, 580 F. Sup. 338 (N.D. Ga. 1984), aff'd sub nom. McCleskey v. Kemp, 481 U.S. 279, 107 S. Ct. 1756, 95 L. Ed. 2d 262 (1987)], before presenting it on appeal. To hold that [Cobb] could raise this claim on appeal under § 53a-46b (b) (1), without having first created an adequate factual basis in the trial court, would be incorrect for many of the same reasons that we reject [Cobb’s] claim under § 53a-46b (b) (3), because it would assume, without any clear indication, that the legislature intended this court to engage in the same extraordinary process of data gathering and fact-finding. Thus, both
We also concluded in Cobb I that, “even though [Cobb] has not created a trial record . . . that would permit him to present, in his direct appeal, his statistical claim under § 53a-46b (b) (1) . . . he should be permitted to do so by way of a postappeal habeas corpus petition .... Although ordinarily habeas corpus cannot serve as a surrogate for a claim that could have been presented on direct appeal ... we conclude that, with respect to the claim that [Cobb] seeks to present by this motion, he should not be bound by that principle because the scope and meaning of § 53a-46b (b) have remained uncertain and, until [1995], have been the subject of only one published decision of this court .... Furthermore, the nature of [Cobb’s] claim of systemic racial bias, and the seriousness and finality of the death penalty, counsel against raising any undue procedural barriers to review of such a claim.” (Citations omitted.) Id., 762-63.
“In Cobb II [supra, 251 Conn. 285], we reaffirmed our holding in Cobb I that a racial disparity claim ‘was cognizable under § 53a-46b (b) (1), but must [be] based on a full evidentiary hearing made at trial in the trial court.’ [Id.], 499. Because [Cobb] had not made such a record [in] the trial court, he was required to proceed by way of a habeas petition. Id. In support of this conclusion, we noted ‘two further aspects of [his] claim. First . . . this claim was brought in Cobb I by motion of [Cobb’s] separate proportionality counsel “because [Cobb’s] other appellate counsel [did] not intend to
In State v. Reynolds, supra, 264 Conn. 1, we considered whether the defendant, Richard Reynolds, was entitled to a hearing before the trial court on his claim that the death penalty is imposed in a racially discriminatory and arbitrary manner in this state. See id., 226. After the jury returned its verdict imposing the death penalty, Reynolds requested such a hearing and indicated that “he was not prepared to proceed immediately with the requested hearing and that he needed ‘several months’ to do ‘detailed research into court records and other similar preparation’ before the hearing. . . . [He] also requested that his sentencing be postponed until after a hearing and decision on his motion for the imposition of a life sentence.” Id., 229. We agreed that Reynolds “was entitled to an evidentiary hearing for the purpose of presenting facts in support of his claim that ... he should be sentenced to life imprisonment without the possibility of release because of the allegedly flawed manner in which this state’s death penalty statute is implemented.” Id., 230. We concluded, however,
With this background in mind, we now turn to the issue of whether § 53a-46b renders participation in the
“(b) The supreme court shall affirm the sentence of death unless it determines that: (l) The sentence was the product of passion, prejudice or any other arbitrary factor . . . .”
We agree with the dissenting justices that these provisions constitute a mandatory directive to this court to review sentences of death. We further conclude that the obligation of this court to review death sentences cannot be discharged by virtue of a defendant’s expressed desire to forgo review. Accordingly, we conclude that, in every case in which a sentence of death is imposed, this court is required, without exception, to conduct a sentence review.
We do not believe, however, that § 53a-46b creates a nonwaivable right to a review of any and all claims implicating the arbitrariness of a death sentence, regardless of when, how and by whom the claim is raised. It is well established that, even in capital cases, the defendant waives claims—including those of constitutional magnitude and those implicating the arbitrariness of the sentence—if the claim is not raised at trial and the record is inadequate for review by this court.
Moreover, our cases discussing the proper procedure for bringing a racial disparity claim do not suggest that a defendant in a death penalty case cannot waive a claim of racial disparity. Rather, they indicate the opposite. We criticized the defendants in Breton and Reynolds for their attempts to delay the completion of the proceedings by bringing their claims at the eleventh hour and clearly indicated that that was the reason that the claims had to be presented in a habeas proceeding. See State v. Breton, supra, 264 Conn. 405; State v. Reynolds, supra, 264 Conn. 231. In other words, we concluded that mandatory review of the claims by this court had been waived. Moreover, although we stated in Cobb I and Reynolds, apparently in the exercise of our supervisory power, that “the nature of the defendant’s claim of systemic racial bias, and the seriousness and finality of the death penalty, counsel against raising any undue procedural barriers to review of such a claim”; Cobb I, supra, 234 Conn. 763; accord State v. Reynolds, supra, 264 Conn. 232 n.204; we never suggested that
We further note that the case cited by Justice Norcott in support of his argument that there is a distinction between mandatory sentence review and appellate review supports the view that claims may be waived in mandatory review proceedings. In State v. Dodd, 120 Wash. 2d 1,838 P.2d 86 (1992), the Washington Supreme Court construed a death sentence review statute that, like ours, distinguished between appellate review and death sentence review, and concluded that the sentence review could not be waived. Id., 20. The defendant in that case, Westley Allan Dodd, had “chose [n] not to present mitigating evidence and so instructed his attorneys.” Id., 9. The Washington sentence review statute required the court to determine “[w]hether sufficient evidence justifies the finding that ‘there are not sufficient mitigating circumstances to merit leniency’ . . . .’’Id., 24. The court concluded that the jury’s determination that sufficient mitigating circumstances did not exist to merit leniency was supported by the record. Id., 25. The court did not suggest that, because its review of the mitigating evidence was mandatory, the presentation of a case in mitigation could not be waived.
In support of their argument that claims that would be subject to mandatory sentence review if raised cannot be waived, the dissenting justices place heavy reliance on the decision of the New Jersey Supreme Court in State v. Martini, 144 N.J. 603, 677 A.2d 1106 (1996), cert. denied, 519 U.S. 1063, 117 S. Ct. 699, 136 L. Ed. 2d 621 (1997). The court in that case concluded that a defendant in a death penalty case could not waive postconviction relief proceedings for certain claims. See id., 613-14. The court recognized, however, that other jurisdictions have not adopted such a rule. Id.; see also Pike v. State, supra, 2004 Tenn. Crim. App. LEXIS *43 (“no jurisdiction other than . . . New Jersey . . . has adopted a bright-line rule mandating post-conviction review in every capital case, even when the challenge is over the objection of the death-sentenced inmate”). In light of our clear precedent to the contrary, we see no reason to join the New Jersey court in its isolation.
On the basis of the foregoing analysis, we conclude that § 53a-46b (b) does not create a nonwaivable right to mandatory sentence review by this court of any and all claims that the death sentence was “the product of passion, prejudice or any other arbitrary factor,” regardless of the time and manner in which the claim was raised.
Over the course of almost twenty years of litigation, Michael Ross never has raised the claim that his death
In this opinion SULLIVAN, C. J., and VERTEFEUILLE and FOTI, Js., concurred.
We hereinafter refer to Michael B. Ross as Michael Ross.
We hereinafter refer to Dan Ross and the office of the chief public defender collectively as the plaintiffs in error. We hereinafter refer to the office of the chief public defender as the chief public defender.
See, e.g., State v. Ross, supra, 272 Conn. 582 n.4 (detailing nature of consolidated habeas litigation).
General Statutes (Rev. to 1987) § 53a-46b provides in relevant part: “(a) Any sentence of death imposed in accordance with the provisions of section 53a-46a shall be reviewed by the supreme court pursuant to its rules. In addition to its authority to correct errors at trial, the supreme court shall either affirm the sentence of death or vacate said sentence and remand for imposition of a sentence in accordance with subdivision (1) of section 53a-35a.
“(b) The supreme court shall affirm the sentence of death unless it determines that: (1) The sentence was the product of passion, prejudice or any other arbitrary factor ....
“(c) The sentence review shall be in addition to direct appeal and if taken, the review and appeal shall be consolidated for consideration. The court shall then render its decision on the legal errors claimed and the validity of the sentence.”
All further references in this opinion to § 53a-46b are to the 1987 revision unless otherwise specified.
We note that the dissenting justices makes no argument that the waiver of postconviction relief is constitutionally prohibited.
We find Justice Norcott’s reliance on the existence of statutes from other states limiting sentence review to proceedings “on the record” in support of the proposition that this court is required to consider matters outside the record to be misplaced. Nothing in § 53a-46b suggests that this court may reverse a death sentence on the basis of a claim that is not supported by the record. Rather, our cases clearly establish that, if a claim was not made before the trial court and there is no record for review, the claim is waived. Such a claim may be brought in a habeas proceeding, but the habeas court may conclude that the claim is procedurally barred, thus precluding any further review by this court. Nor does § 53a-46b or our cases suggest that, if the habeas court does not dismiss the claim, there is mandatory,
We note that, in conducting its sentence review, the court in Dodd considered the mitigating nature of the evidence that had been presented. State v. Dodd, supra, 120 Wash. 2d 25. Similarly, in Michael Ross’ case, this court conducted its mandatory review of his sentence on the basis of the record before it. See generally State v. Ross, supra, 269 Conn. 213. The fact
Although we recognize that the dissenting justices go to some lengths to limit their argument that claims that the death penalty was the product of an arbitrary factor are nonwaivable to claims that the administration of
We further note that the dissent of Justice Norcott states that, “[i]f the defendants who have chosen to participate in the consolidated habeas corpus proceedings are successful, it will be because they will have proven that the administration of the facially nondiscriminatory death penalty statutes violates the equal protection rights guaranteed to all defendants by our state constitution . . . .” The specific claims being raised in the habeas proceeding are not before us in this case, however. We note that § 53a-46b was intended to implement the eighth amendment requirement of a reliable and nonarbitrary death sentence. See State v. Webb, supra, 238 Conn. 494-505. The participants in the consolidated habeas proceeding could prevail by showing that racial bias creates arbitrariness in violation of the eighth amendment without establishing any equal protection violation. Thus, the racial bias claim does not necessarily implicate constitutional protections that are not implicated by other claims of arbitrariness.
We express no opinion as to the merits of the consolidated habeas litigation. We note only that, as of yet, systemic racial bias has not been demonstrated. We further note that, even if it ultimately is determined that systemic racial bias exists, that will not necessarily mean that the death sentences of the participants in the litigation will be reversed. See McCleskey v. Kemp, supra, 481 U.S. 292-97 (statistical evidence relating to imposition of death sentence does not constitute proof that discrimination existed in any particular defendant’s case).
As we noted in State v. Ross, supra, 272 Conn. 577, Michael Ross “has not ‘waived’ his right to further legal proceedings in the sense that he has forfeited the ability to exercise that right in the future. The parties [in the underlying criminal case] are in agreement that [Michael Ross] may exercise his right to file a petition for a writ of habeas corpus at any time and that, if he does so, the execution will be stayed.” Id., 580 n.2.
Dissenting Opinion
dissenting from the order. I previously have expressed my reservations about executing the defendant, Michael B. Ross, prior to the completion of the study about alleged racial discrimination in the administration of Connecticut’s death penalty presently underway in the context of the consolidated habeas corpus proceedings in certain other capital cases. See State v. Ross, 272 Conn. 577, 614, 863 A.2d 654 (2005) (Norcott, J., concurring). In that case, I nevertheless
I initially wrote separately from this court’s otherwise well reasoned majority opinion dismissing the first writ
In an ordinary criminal matter, this court’s decision upholding the trial court’s determination as to the defendant’s competency would provide the defendant with a path to the ultimate disposition of his case unimpeded by the desires of third parties, including the public defender and the defendant’s father, Dan Ross. This case, however, implicates the death penalty, and is, therefore, emphatically not an ordinary criminal case; it is beyond cavil that “[d]eath is different.” State v. Rizzo, 266 Conn. 171, 226, 833 A.2d 363 (2003).
I
THIS COURT AND MANDATORY SENTENCE REVIEW UNDER § 53a-46b
I begin my analysis by examining our statutory obligations under § 53a-46b, and the extent to which the statute requires us to stay the execution of the defendant awaiting resolution of the pending racial discrimination claims. Under § 53a-46b (a), this court is required to “review” and determine the “validity” of “[a]ny sentence
I begin, as usual, with the language of § 53a-46b, which provides: “(a) Any sentence of death imposed in accordance with the provisions of section 53a-46a shall be reviewed by the Supreme Court pursuant to its rules. In addition to its authority to correct errors at trial, the Supreme Court shall either affirm the sentence of death or vacate said sentence and remand for imposition of a sentence in accordance with subdivision (1) of section 53a-35a.
“(b) The Supreme Court shall affirm the sentence of death unless it determines that: (1) The sentence was the product of passion, prejudice or any other arbitrary factor; or (2) the evidence fails to support the finding of an aggravating factor specified in subsection (i) of section 53a-46a.
“(c) The sentence review shall be in addition to direct appeal and, if an appeal is taken, the review and appeal shall be consolidated for consideration. The court shall then render its decision on the legal errors claimed and the validity of the sentence.”
Section 53a-46b clearly indicates that the legislature envisioned death sentence review and direct appeal as two different legal entities, although both are creatures of statute. See, e.g., State v. Perkins, 271 Conn. 218, 234, 856 A.2d 917 (2004) (“[i]t is well settled that a criminal defendant does not have a constitutional right to an appeal; rather, that right exists solely by statute”). Death sentence review, however, is fundamentally different from direct appeal, as well as postconviction collateral attack via habeas corpus proceedings, because death sentence review is not solely an option available to a defendant, but a separate mandatory obligation for this court in all capital cases. The mandatory language of § 53a-46b, specifically, the frequent use of the word “shall,” in conjunction with the word “any,” suggests that our role in the state’s capital sentencing scheme is both unwaivable and separate and apart from any appeal that may be taken by a defendant. Although “[definitive words, such as must or shall, ordinarily express legislative mandates of a nondirectory nature”; (internal quotation marks omitted) State v. Pare, 253 Conn. 611, 623, 755 A.2d 180 (2000); it is well settled that “the word ‘shall’ is not dispositive on the issue of whether a statute is mandatory . . . [and] ‘the use of the word shall, though significant, does not invariably [create] a mandatory duty.’ ” Lostritto v. Community Action Agency of New Haven, Inc., 269 Conn. 10,22,848 A.2d 418 (2004). “The test to be applied ‘in determining whether a [rule] is mandatory or directory is whether the prescribed mode of action is the essence of the thing to be accomplished, or in other words, whether it relates to a matter of substance or a matter of convenience. ... If it is a matter of substance, the statutory
The word “shall” as used in § 53a-46b is mandatory, rather than directory, because the statute imposes a substantive obligation on this court to review all death sentences. Section 53a-46b was enacted in 1980 as No. 80-332, § 2, of the 1980 Public Acts, and the legislature provided for mandatory review by this court in order to add an extra measure of reliability to this state’s capital sentencing scheme, as well as to comport with contemporaneous United States Supreme Court decisions endorsing automatic state supreme court review as a means to that end.
I note that my conclusion that we have an affirmative obligation to review all death sentences imposed in Connecticut, regardless of the defendant’s wishes, is consistent with the holdings of sister state courts construing similar statutes. For example, the Virginia Supreme Court has held that the purpose of mandatory sentence review “is to assure the fair and proper application of the death penalty statutes in this [c]ommonwealth and to instill public confidence in the administration of justice. ” Akers v. Commonwealth, 260 Va. 358, 364, 535 S.E.2d 674 (2000); see also State v. Clark, 128 N.M. 119,146,990 P.2d 793 (1999) (“following
The Washington Supreme Court decision in State v. Dodd, 120 Wash. 2d 1, 838 P.2d 86 (1992), is illustrative of the application of mandatory statutory review. In Dodd, the defendant had pleaded guilty to murdering and sexually assaulting several children, and he had elected to prevent his attorneys from presenting mitigating evidence at his sentencing proceeding. Id., 9. After he was sentenced to death, the defendant wished to waive further appellate review of his conviction and sentence. Id., 13. The Washington Supreme Court nevertheless held that the state’s sentence review statute; Wash. Rev. Code Ann. § 10.95.100 (West 1990); which is similar in structure to § 53a-46b, and requires that “ ‘the sentence shall be reviewed on the record by the supreme court of Washington’ ”;
Having concluded that § 53a-46b imposes upon this court a responsibility to review sentences of death that exists independently of any appeal taken by the defendant, I now turn to the extent to which that statutory duty requires this court to stay the defendant’s execution in the present case pending resolution of the racial discrimination claims in the consolidated habeas corpus proceedings. I, of course, recognize that this court already has conducted a comprehensive appellate review of the defendant’s sentence, including proportionality review as required by General Statutes (Rev. to 1987) § 53a-46b (b) (3). See State v. Ross, 269 Conn. 213, 391-92, 849 A.2d 648 (2004), motion denied, 543 U.S. 1046, 125 S. Ct. 943, 160 L. Ed. 2d 766 (January 10, 2005). I certainly do not insinuate that the efforts of this court in that review were anything less than thorough and fair. See id., 393 (Norcott, J., dissenting) (“I continue to respect the position of the majority of this court regarding this matter”). I conclude, however, that because this court has knowledge of claims of racial discrimination in the administration of the death penalty, and indeed has directed their resolution in the consolidated habeas corpus proceedings, we will not have discharged our responsibilities under § 53a-46b if we allow this execution to proceed.
I begin by noting that our review responsibilities under § 53a-46b are not confined explicitly to the record before the court. The statute provides only that “[a]ny sentence of death imposed in accordance with the pro
II
THIS COURT’S OBLIGATION TO STAY THE EXECUTION BECAUSE OF ITS INHERENT SUPERVISORY POWERS OVER THE ADMINISTRATION OF JUSTICE
I believe that not confining our review under § 53a-46b to the limited record before us, moreover, is consistent with this court’s overarching “ ‘inherent supervisory authority over the administration of justice.’ ” State v. Santiago, 245 Conn. 301, 332, 715 A.2d 1 (1998); see also State v. Hines, 243 Conn. 796, 815, 709 A.2d 522 (1998) (“[o]ur supervisory powers are invoked only in the rare circumstance where [the] traditional protections are inadequate to ensure the fair and just administration of the courts”). “The standards that [are] set under this supervisory authority are not satisfied by observance of those minimal historic safeguards for securing trial by reason which are summarized as due process of law .... Rather, the standards are flexible and are to be determined in the interests of justice. . . . [0]ur supervisory authority is not a form of free-floating justice, untethered to legal principle.” (Internal quotation marks omitted.) Stale v. Santiago, supra, 332-33. “[T]he integrity of the judicial system serves as a unifying principle behind the seemingly disparate use of our supervisory powers.” (Internal quotation marks
The New Jersey Supreme Court decision in State v. Martini, supra, 144 N.J. 603, a case similar to the present matter, is illustrative of a state high court placing its institutional responsibilities to the administration of justice above the wishes of a particular defendant. In Martini, the defendant’s death sentence had been affirmed on direct appeal to the state supreme court and the United States Supreme Court had denied his petition for certiorari. Id., 605-606. At that point, the defendant desired no further appeals or efforts to stop his execution, but his public defender wished to pursue state postconviction relief. Id., 606. The habeas court concluded that the defendant was competent to waive postconviction relief, and denied the public defender’s motion to pursue collateral review. Id. The public defender then appealed to the state supreme court.
The court framed the issue as “whether a defendant who has presented mitigating factors to a jury and has had his conviction and sentence affirmed on direct appeal may waive post-conviction relief . . . .’’Id., 609. Although the court acknowledged the state’s interest in finality, it also stated that “there are some issues that one simply cannot raise on direct appeal and other
The court stated that race discrimination “fit[s] within a traditional category for which post-conviction relief would be granted.” Id., 612. It rejected the state’s argument that the public defender lacked standing to raise the issue, stating that, “the question is not whether the [p]ublic [d]efender has standing to raise an issue on behalf of the defendant, but whether the judiciary, in the discharge of its constitutional and statutory duty to review every judgment of death . . . must consider the issue in order to ensure the reliability of the decision to execute.” (Citation omitted; internal quotation marks omitted.) Id. The court stated that although “[i]t is a natural reaction for some to wish to be rid of an admitted murderer who asks to be executed . . . [t]he [c]ourt is nonetheless required to ensure the integrity of death sentences in New Jersey. . . . The [c]ourt must decide if issues that could not be raised on direct appeal make the prisoner’s sentence of death unconstitutional or illegal.” (Citations omitted.) Id., 614. Noting that its state’s “history and traditions would never countenance racial disparity in capital sentencing,” the court stated that it “is the appropriate branch of government to vindicate that tradition and our own constitutional guarantee of equal protection of the laws under [the state constitution].” (Internal quotation marks omitted.) Id., 616.
I find that the New Jersey Supreme Court decision in Stale v. Martini, supra, 144 N.J. 603, provides exemplary guidance to this court in the discharge of our obligations.
THE IMPLICATIONS FOR THIS DEFENDANT OF THE RACIAL DISCRIMINATION CLAIMS PENDING IN THE CONSOLIDATED HABEAS CORPUS PROCEEDINGS
I also must address the apparent counterargument that there is no hint of racial discrimination in the present case because the defendant and his victims were white, and that the defendant has in fact elected not to participate in the consolidated habeas corpus proceedings. That is irrelevant. If the defendants who have chosen to participate in the consolidated habeas corpus proceedings are successful, it will be because they will have proven that the administration of the facially nondiscriminatory death penalty statutes violates the equal protection rights guaranteed to all defendants by our state constitution, specifically article first, § 20, as amended by articles five and twenty-one of the amendments, as well as the state constitution’s prohibition of cruel and unusual punishment under article first, §§ 8 and 9.
I recognize that the United States Supreme Court has rejected the use of detailed statistical evidence to prove discriminatory application of Georgia’s death penalty scheme, and has required a more particularized showing of “purposeful discrimination” with respect to specific defendants in order to establish violations of the eighth or fourteenth amendments to the federal constitution. McCleskey v. Kemp, 481 U.S. 279, 297, 107 S. Ct. 1756, 95 L. Ed. 2d 262 (1987) (“we hold that the [statistical study conducted by Professor David C. Baldus on the influence of race in death penalty sentences] is clearly insufficient to support an inference that any of the decisionmakers in [the defendant’s] case acted with discriminatory purpose”);
It is not, however, settled that this court will follow McCleskey’s restrictive approach. It potentially may take a more charitable view under the state constitution toward the use of statistical evidence to prove the discriminatory application of Connecticut’s death penalty statutes. See City Recycling, Inc. v. State, 257 Conn. 429, 444, 778 A.2d 77 (2001) (“[although we previously have stated that the equal protection provision under our state constitution provides the same limitations as the federal equal protection provision . . . we note here . . . that this does not mean that ‘the state equal protection provision can never have an independent meaning from the equal protection provision in the federal constitution’ ” [citations omitted; emphasis in original]). Indeed, I recognize that McCleskey has been the target of more than some academic criticism; see, e.g., J. Blume, T. Eisenberg & S. Johnson, “Post-McCleskey Racial Discrimination Claims in Capital Cases,” 83 Cornell L. Rev. 1771 (1998); and more significantly, that at least one other state has rejected it as a matter of state constitutional law, allowing, but not yet validating challenges to the death penalty based solely on statistical proof. See State v. Loftin, 157 N.J. 253, 298, 724 A.2d 129 (1999); State v. Marshall, 130 N.J. 109, 207, 613 A.2d 1059 (1992), cert. denied, 507 U.S. 929, 113 S. Ct. 1306, 122 L. Ed. 2d 694 (1993).
I am well aware that statutes are subject to a heavy presumption of constitutionality. See, e.g., Donahue v. Southington, 259 Conn. 783, 794, 792 A.2d 76 (2002). I
In this case, the defendant’s wishes and “dignity [stand] against the dignity of the law.” R. Bonnie, “The Dignity of the Condemned,” 74 Va. L. Rev. 1363, 1377 (1988).
Accordingly, I respectfully dissent from the court’s order dismissing the motions to stay the execution.
General Statutes § 53a-46b provides: “(a) Any sentence of death imposed in accordance with the provisions of section 53a-46a shall be reviewed by the Supreme Court pursuant to its rules. In addition to its authority to correct errors at trial, the Supreme Court shall either affirm the sentence of death or vacate said sentence and remand for imposition of a sentence in accordance with subdivision (1) of section 53a-35a.
“(b) The Supreme Court shall affirm the sentence of death unless it determines that: (1) The sentence was the product of passion, prejudice or any other arbitrary factor; or (2) the evidence fails to support the finding of an aggravating factor specified in subsection (i) of section 53a-46a.
“(c) The sentence review shall be in addition to direct appeal and, if an appeal is taken, the review and appeal shall be consolidated for consideration. The court shall then render its decision on the legal errors claimed and the validity of the sentence.”
I previously have noted the “pervasive and insidious influence of race and poverty in the administration of the death penalty.” State v. Breton, 264 Conn. 327, 447, 824 A.2d 778 (Norcott, J., dissenting), cert. denied, 540 U.S. 1055,124 S. Ct. 819,157 L. Ed. 2d 708 (2003); see also State v. Cobb, 251 Conn. 285, 545-46, 743 A.2d 1 (1999) (Norcott, J., dissenting) (“I am convinced that the arbitrariness inherent in the sentencer’s discretion is intensified by the issue of race. Indications from the available evidence suggest that the death penally has been imposed in a racially discriminatory manner and has been geared toward minorities and the poor.”), cert. denied, 531 U.S. 841, 121 S. Ct. 106, 148 L. Ed. 2d 64 (2000); State v. Webb, 238 Conn. 389, 566-67, 680 A.2d 147 (1996) (Norcott, J., dissenting) (“I am persuaded that our statutory scheme for [the] imposition [of the death penalty] cannot withstand constitutional scrutiny because that scheme, by its very nature, admits of an unacceptable opportunity for arbitrariness and the influence of racial discrimination to operate in the determination of who shall die at the hands of the state”).
“In State v. Cobb, supra, 234 Conn. 738-39 n.4, which was decided in 1995, the defendant produced preliminary data [supporting his contention] that race has an impermissible effect on capital sentencing because: ‘(1) since 1973, prosecutors have charged a capital felony pursuant to General Statutes § 53a-54b in seventy-four cases, of which only eleven, or 15 percent, have involved the murder of a victim who was black, even though 40 percent of all murder victims in the state during that same time period were black;
(2) since 1973, although there have been eighteen capital prosecutions for murder committed during the course of kidnapping, none was prosecuted where the victim was black; (3) during the same period, there have been twelve capital prosecutions for murder committed in the course of a sexual assault, and only one involved the murder of a black victim; (4) since 1973, twenty-eight cases have resulted in a conviction of capital felony, by verdict or plea, and eighteen of those twenty-eight have proceeded to a hearing on the imposition of the death penalty. Of the twenty-eight capital felony convictions, only four, or 14 percent, have involved the murder of a victim who was black, and of the eighteen that have gone to a penalty phase hearing, only one, or 5.5 percent, has involved the murder of a black victim;
(5) of the sixty-six capital convictions in which the guilt phase has been concluded, twenty-one involved black defendants and forty-five involved nonblack defendants. Of the black defendants, thirteen of twenty-one, or 62 percent, were convicted of capital felonies and fifteen of forty-five, or 33 percent, nonwhite defendants were so convicted.’ He sought ‘the opportunity to demonstrate the number of kidnap murders of black victims and the
“Because of the need for the creation of an adequate factual record as to alleged discrimination, this court concluded that the defendant’s claim in Cobb was more appropriately raised collaterally via a habeas corpus proceeding, rather than a remand from direct appeal. Id., 741. Data collection and analysis by the public defenders commenced shortly thereafter, and in State v. Reynolds, [264 Conn. 1, 233, 836 A.2d 224 (2003), cert. denied, 541 U.S. 908, 124 S. Ct. 1614, 158 L. Ed. 2d 254 (2004)], this court ordered that the Cobb and Reynolds racial discrimination claims ‘be litigated before the same habeas judge and in the same general, consolidated hearing, on behalf of all defendants who have been sentenced to death.’ In December, 2002, Chief Justice William J. Sullivan appointed former Chief Justice Robert Callahan as special master to manage the litigation, including the preparation and submission of the state’s response. Id.” State v. Ross, supra, 272 Conn. 615-16 n.3 (Norcott, J., concurring).
Moreover, in State v. Reynolds, supra, 264 Conn. 1, the court also clarified the procedure by which capital defendants may raise these racial discrimination claims. The court concluded that “it is not appropriate for capital defendants to make such a claim in the trial court before which their penalty phase hearings will be or have been held. Such a claim properly is presented in the consolidated habeas proceeding to which we have referred, so that it may be litigated and resolved at the trial level in one proceeding, rather than several.” Id., 233-34. This court “disavow[ed]” any indication, previously expressed in State v. Cobb, supra, 234 Conn. 763 and n.21, that a “capital defendant should present this claim in the trial court before which his penalty phase hearing will be or has been held . . . .” State v. Reynolds, supra, 234.
In State v. Rizzo, supra, 266 Conn. 226, this court recognized that the “ ‘penalty of death differs from all other forms of criminal punishment, not in degree but in kind. It is unique in its total irrevocability. It is unique in its rejection of rehabilitation of the convict as a basic purpose of criminal justice. And it is unique, finally, in its absolute renunciation of all that is embodied in our concept of humanity.’ Furman v. Georgia, 408 U.S. 238, 306, 92 S. Ct. 2726, 33 L. Ed. 2d 346 (1972) (Stewart, J., concurring). ‘[T]he imposition of death by public authority is . . . profoundly different from all other penalties . . . .’ Lockett v. Ohio, 438 U.S. 586, 605, 98 S. Ct. 2954, 57 L. Ed. 2d 973 (1978). ‘[T]he penalty of death is qualitatively different from a sentence of imprisonment, however long. Death, in its finality, differs more from life imprisonment than a 100-year prison term differs from one of only a year or two.’ Woodson v. North Carolina, 428 U.S. 280, 305, 96 S. Ct. 2978, 49 L. Ed. 2d 944 (1976).”
Practice Book § 61-15 provides in relevant part: “If the defendant is sentenced to death, the sentence shall be stayed for the period within which to take an appeal. If the defendant has taken an appeal to the supreme or appellate court of this state or to the United States supreme court or brought a writ of error, writ of certiorari, writ of habeas corpus, application for a pardon or petition for a new trial, the taking of the appeal, the making of the application for a writ of certiorari or for a pardon, or the return into court, of ihe writ of error, writ of habeas coipus, or petition for a new trial shall, unless, upon application by the state’s attorney and after hearing, the supreme court otherwise orders, stay the execution of the death penalty until the clerk of the court where the trial was had has received notification of the termination of any such proceeding by decision or otherwise, and for thirty days thereafter. Upon application by the defendant, the supreme court may grant a stay of execution to prepare a writ of error, a writ of certiorari, writ of habeas corpus, application for a pardon or petition for a new trial. Upon application by the defendant and after hearing, the supreme court may extend a stay of execution beyond the time limits stated within this rule for good cause shown. No appellate procedure shall be deemed to have terminated until the end of the period allowed by law for the filing of a motion for reconsideration, or, if such motion is filed, until the proceedings consequent thereon are finally determined. . . .”
See Jurek v. Texas, 428 U.S. 262, 276, 96 S. Ct. 2950, 49 L. Ed. 2d 929 (1976); Proffitt v. Florida, 428 U.S. 242, 250, 96 S. Ct. 2960, 49 L. Ed. 2d 913 (1976); Gregg v. Georgia, 428 U.S. 153, 198, 96 S. Ct. 2909, 49 L. Ed. 2d 859 (1976).
I also note that, in 1995, when the legislature amended § 53a-46b; Public Acts 1995, No. 95-16, § 3; to eliminate the requirement of proportionality review, Senator John Kissel spoke in favor of that amendment. He responded to concerns about eliminating that safeguard by stating: “I would just like to assure them that . . . upon a sentence of death when the—the Supreme Court will still conduct a review, it will still have completely within its authority its ability to correct errors that it believed occurred at the trial level and also it will be able to overturn such a decision if there’s a determination by the Supreme Court that that decision was the product of passion, prejudice or any other arbitrary factor.” 38 S. Proa, Pt. 3, 1995 Sess., p. 827, remarks of Senator Kissel; see also id., p. 828 (noting that even with removal of proportionality review, “there are still several very important safeguards built into the system which would continue to allow this state to have this sentence imposed after a great deal of scrutiny”). The House debate similarly indicates that the legislature recognizes this court’s continuing obligation to engage in independent review of death sentences. See 38 H.R. Proa, Pt. 3,1995 Sess., pp. 1090-91, remarks of Representative Michael Jarjura (stating that amendment would not require proportionality review, but amendment “would not preclude the Supreme Court from an independent review”).
"Wash. Rev. Code Arm. § 10.95.100 (West 1990) provides: “Whenever a defendant is sentenced to death, upon entry of the judgment and sentence in the trial court the sentence shall be reviewed on the record by the supreme court, of Washington.” (Emphasis added.) Wash. Rev. Code Ann. § 10.95.130 (West Sup. 2000) governs the review requirements and, in addition to requiring proportionality review, provides in relevant part: “(1) The sentence review required by RCW 10.95.100 shall be in addition to any appeal. The sentence review and an appeal shall be consolidated for consideration. The defendant and the prosecuting attorney may submit briefs within the time prescribed by the court and present oral argument to the court.
“(2) With regard to the sentence review required by [chapter 138, Laws of 1981], the supreme court of Washington shall determine:
“(a) Whether there was sufficient evidence to justify the affirmative finding to the question posed by RCW 10.95.060(4); and “(b) [Proportionality review.]
“(c) Whether the sentence of death was brought about through passion or prejudice; and
“(d) Whether the defendant was mentally retarded within the meaning of RCW 10.95.030(2).” (Emphasis added.)
See also State v. Sagastegui, 135 Wash. 2d 67, 82, 954 P.2d 1311 (1998) (“Under Dodd we are required to evaluate the trial court’s conclusion that [the defendant’s] waiver of general appellate review was made knowingly, voluntarily, and intelligently. In the event we conclude that the waiver was valid, we must then consider the mandatory review questions posed by [the mandatory review statute] for our determination.”).
The Washington Supreme Court redesignated the defendant’s attorneys as amici curiae to aid the court in resolving the issues, including competency, presented by the defendant’s refusal to appeal. State v. Dodd, supra, 120 Wash. 2d 10. The court also appointed separate counsel to represent the defendant’s interests. Id.
I also note that decisions in Washington issued subsequent to State v. Dodd, supra, 120 Wash. 2d 28, have elucidated that racial discrimination is considered a “passion or prejudice” factor to be considered under mandatory review. See State v. Elledge, 144 Wash. 2d 62, 83-84, 26 P.3d 271 (2001) (reviewing record and noting that defendant, victim and “all [twelve] jury members were Caucasian, so there is no issue in this case as to racial bias”).
The legislature also could have followed the lead of Congress and not provided for any mandatory review at all. See United States v. Hammer, 226 F.3d 229,235-37 (3d Cir. 2000) (discussing federal death penalty appeals statute, 18 U.S.C. § 3595), cert. denied, 532 U.S. 959, 121 S. Ct. 1488, 149 L. Ed. 2d 375 (2001).
I note, however, that unlike the court in Martini, I only would order a stay of the defendant’s execution pending resolution of the consolidated habeas corpus proceedings. I would not require this particular defendant to take any further action on his own behalf prior to the disposition of those proceedings. See also footnote 19 of this dissenting opinion.
At oral argument before this court in the writ of error brought by Dan Ross, the state argued that State v. Martini, supra 144 N.J. 603, is no longer a good precedent and that its approach has in fact been rejected by other states. My independent research shows that Martini is still good law in New Jersey, and that its approach requiring a competent defendant to undertake a collateral review of his conviction has been explicitly rejected by only one court, an intermediate appeals court whose decision presently is under review by the state’s highest court. See Pike v. State, Docket No. E2002-00766-CCA-R3-PD, 2004 Tenn. Crim. App. LEXIS 635, *43 (July 15, 2004), appeal granted, Docket No. E2002-00766-SC-R11-PD, 2004 Tenn. LEXIS 1034 (November 22, 2004).
Article first, § 20, of the constitution of Connecticut, as amended by articles five and twenty-one of the amendments, provides: “No person shall be denied the equal protection of the law nor be subjected to segregation or discrimination in the exercise or enjoyment of his or her civil or political rights because of religion, race, color, ancestry, national origin, sex or physical or mental disability.”
Article first, § 8, of the constitution of Connecticut provides in relevant part: “No person shall be . . . deprived of life, liberty or property without due process of law . . . .” Article first, § 9, of the constitution of Connecticut provides: “No person shall be arrested, detained or punished, except in cases clearly warranted by law.” “[I]t is settled constitutional doctrine that, independently of federal constitutional requirements, our due process clauses, because they prohibit cruel and unusual punishment, impose constitutional limits on the imposition of the death penalty.” State v. Rizzo, supra, 266 Conn. 206.
See Roth v. Weston, 259 Conn. 202, 205-206, 789 A.2d 431 (2002) (“[w]e conclude that [General Statutes § 46b-59] is unconstitutional as applied to
This analysis should not be taken as any kind of prejudgment or premature imprimatur of the racial discrimination claims pending in the consolidated habeas corpus proceedings. I offer it only to explain why the potential success of those claims requires the postponement of the execution of the defendant.
See also McCleskey v. Kemp, supra, 481 U.S. 292-93 (“Thus, to prevail under the [e]qual [protection [c]lause, [the defendant] must prove that the decisionmakers in his case acted with discriminatory purpose. He offers no evidence specific to his own case that would support an inference that
I recognize that there is language in the recent decision in State v. Colon, 272 Conn. 106, 864 A.2d 666 (2004), that, implies that participation in the consolidated habeas study is an option that is personal to an individual defendant. See id., 379 (“if the defendant intends to pursue [a racial discrimination] claim, he must do so in a subsequent habeas corpus proceeding”). I do not believe, however, that this conclusion means ineluctably that a defendant who has elected not to participate in that litigation may nevertheless be executed if the study proves that our death penalty is administered
In Underwood, the Mississippi Supreme Court called “insufficient statistical evidence” “statistics from the NAACP Legal Defense Fund from January 31, 1995, showing that thirty-two of Mississippi’s fifty-three death row inmates at the time, 60%, were black, while only 36% of Mississippi’s general population was black. At the motions hearing on May 5, [the defendant] submitted a list of Mississippi’s death row inmates dated March 25, 1995, showing that thirty-six of the fifty-eight inmates (62%) were black. Out of these thirty-six, twenty-one (58%) had victimized whites. Forty-one of the fifty-eight death row inmates (71%) had white victims.” Underwood v. State, supra, 708 So. 2d 37-38.
In State v. Woods, supra, 143 Wash. 2d 619, the defendant alleged that his death sentence was a result of “passion or prejudice” because in the county where he was prosecuted, “ ‘the state has sought death in every aggravated murder case in which the defendant was black, but only in 20% of the cases in which the defendant was white.’ ” The defendant argued that
Professor Bonnie notes that the present case leaves us with “competing moral intuitions. Is it ‘wrong’ to carry out a death sentence in the face of unresolved doubts about its validity? Is it ‘wrong’ to ignore the wishes of the condemned prisoner who wants the state to carry out its promises? The prisoner’s dignity stands against the dignity of the law. Should the choice of whether or not to terminate the process of judicial review be left to the prisoner, or should this decision be taken out of his hands.” R. Bonnie, supra, 74 Va. L. Rev. 1376-77. Professor Bonnie, however, advocated a more circumscribed review than we suggest herein because he “believe[s] that the prisoner’s interest in controlling his own fate should be subordinated to a societal interest in the integrity of the legal process only in situations in which it is necessary to assure that the prisoner has committed an offense for which the death penalty has been prescribed.” Id., 1390-91.
Dissenting Opinion
dissenting from the order. We dissent from the order of the court dismissing the motions to stay the execution. We agree with the majority that the plaintiffs in error, the office of the chief public defender and Dan Ross, Michael Ross’ father, lack standing to raise claims on behalf of the defendant, Michael Ross. We nevertheless would grant a stay of execution, sua sponte, because we disagree with the majority that an individual defendant can waive the benefit of any potential relief resulting from the disposition of the pending consolidated habeas corpus litigation that questions whether the administration of Connecticut’s death penalty system comports with the state constitution, which consolidated litigation was ordered by this court in State v. Reynolds, 264 Conn. 1, 233, 836 A.2d 224 (2003), cert. denied, 541 U.S. 908, 124 S. Ct. 1614, 158 L. Ed. 2d 254 (2004), to be litigated on behalf of all death sentenced defendants. Although the defendant is free to waive possible claims of error specific to his own prosecution, it does not follow that he should be permitted to waive the public’s overriding interest in a system of capital punishment that is fairly, justly and evenly imposed. We conclude that this court’s supervisory authority over the administration of justice empowers it to issue a stay when, as here, there is an active systemic challenge impheating the reliability of the most final of sentences. We further conclude that the statutory mandate that this court review all capital sentences to determine whether they are the product of passion, prejudice or any other arbitrary factor; see General Statutes § 53a-46b (b) (1); requires us to issue a stay until this court has reviewed the conclusions reached by the habeas court.
As fully explicated in Justice Norcott’s dissent, Connecticut’s death penalty statutes require mandatory review of all capital sentences, regardless of whether any individual defendant takes a direct appeal from his
Through our evolving death penalty jurisprudence, it has been established that a claim of systemic unconstitutional bias or arbitrariness in the administration of Connecticut’s death penalty should be raised under § 53a-46b (b) (1); State v. Cobb, 234 Conn. 735, 738, 741, 663 A.2d 948 (1995) (raising claim that “the death penalty scheme has been disproportionately applied to black defendants or to defendants whose victims were
Although his inclusion clearly is contemplated by the order in Reynolds, the defendant in this matter has expressed his willingness to waive participation in the consolidated habeas proceeding. Although criminal defendants routinely are permitted to waive various constitutional rights intended for their personal protection, it nevertheless is fundamental that no one individual is entitled to waive the interests of the public as a whole.
“The public interest may not be waived. Where a law seeks to protect the public as well as the individual,
It is beyond question that all citizens of this state share an interest in a constitutionally administered system of capital punishment, uninfluenced by factors such as race, and, by extension, in any proceeding raising systemic challenges based on the racially biased appli
The public’s interest in ensuring that Connecticut’s death penalty is administered in a manner that comports with our constitution is embodied in the mandatory sentence review requirement of § 53a-46b. Our jurisprudence has established that claims of systemic bias are cognizable under § 53a-46b (b) (1) and that the sole forum in which these claims will be considered is the consolidated habeas corpus proceeding ordered by this court in State v. Reynolds, supra, 264 Conn. 233. By ordering this proceeding to be held on behalf of all death sentenced prisoners, we have conferred upon the defendant the personal rights both to participate therein and to benefit from any potential relief that might issue.
Accordingly, we respectfully dissent from the court’s order dismissing the motions to stay the execution.
This analysis of an individual’s inability to waive a public right, or a right in which the public is intricately invested, is distinct from but supplements the conclusion that Justice Norcott reaches in determining that § 53a-46b provides for mandatory sentence review which, by its nature, is not subject to waiver.
Reference
- Full Case Name
- In Re Application for Petition for Writ of Habeas Corpus by Dan Ross as Next Friend on Behalf of Michael B. Ross in Re Application for Petition for Writ of Habeas Corpus by the Office of the Chief Public Defender as Next Friend on Behalf of Michael B. Ross
- Cited By
- 9 cases
- Status
- Published