Stephens v. State
Stephens v. State
Opinion of the Court
William Kenny Stephens was tried for malice murder and three counts of aggravated assault in 1980. He was convicted of all counts and sentenced to death for the murder, and his convictions and sentences were affirmed by this Court.
1. We find that the evidence adduced at Stephens’s sentencing trial was sufficient to enable any rational trier of fact to find the existence of the statutory aggravating circumstances beyond a reasonable doubt.
2. OCGA § 17-7-131 (j) prohibits the execution of a defendant who proves that he or she is mentally retarded. Mental retardation was one of Stephens’s defenses at his 1989 sentencing trial. His counsel presented expert testimony that Stephens was mentally retarded, as well as evidence that Stephens’s IQ ranged from 62-72 on several tests, and that he had failed three grades before leaving school in the fifth grade. A dispute arose over the proper burden of proof with regard to Stephens’s mental retardation because OCGA § 17-7-131 (c) (3) specifies that a defendant must prove that he or she is mentally retarded beyond a reasonable doubt in the guilt-innocence phase.
It is the public policy of Georgia, as evidenced by OCGA § 17-7-131 (j), that it is cruel and unusual punishment to execute “those defendants who have met the burden of proving their mental retardation beyond a reasonable doubt at the guilt-innocence phase in accordance with OCGA § 17-7-131 (c) (3).”
In Fleming v. Zant,
The question of what burden applies, beyond a reasonable doubt or preponderance of the evidence, therefore depends on when the trial was held. If Stephens was tried after the enactment of OCGA § 17-7-131 (j), he would be required to prove mental retardation beyond a reasonable doubt. If Stephens was tried before the enactment of OCGA § 17-7-131 (j), he would be permitted to prove mental retardation by a preponderance of the evidence. With regard to this issue, Stephens’s situation is unusual: the guilt-innocence phase of his trial occurred before the enactment of OCGA § 17-7-131 (j), and the sentencing phase occurred afterwards.
We conclude that the timing of the guilt-innocence phase determines which burden of proof applies. This must be so, because the statutory scheme established by our legislature to effectuate the public policy against execution of the mentally retarded requires that the defendant’s claim of mental retardation be decided in the guilt-innocence phase. Like the petitioners in Fleming and Foster, Stephens was unable to avail himself of this statutory scheme. Therefore, like the petitioners in Fleming and Foster, Stephens should have only been required at his 1989 sentencing trial to prove his mental retardation by a preponderance of the evidence. Accordingly, we reverse Stephens’s death sentence, and remand for a sentencing trial where Stephens bears the burden of proving his alleged mental retardation by a preponderance of the evidence.
3. The trial court was not required to vacate Stephens’s convictions due to Stephens’s purported mental retardation. This Court affirmed Stephens’s convictions in 1981 on direct appeal,
4. At the 1989 sentencing trial, Stephens presented psychiatric evidence in support of his claim of mental retardation and mental illness. In order to rebut that evidence, the State presented several doctors who had previously performed physical and psychological examinations on Stephens. Stephens objected, claiming that the use of these examinations violated his Fifth Amendment right against self-incrimination, and his Sixth Amendment right to have counsel be informed of the examinations and their possible uses against Stephens at trial.
In rebuttal of Stephens’s evidence of mental retardation and ill
Because Stephens presented evidence of his alleged mental retardation and mental illness through expert witnesses, there is no Fifth Amendment error caused by the State countering that evidence with psychiatric evidence of its own.
presents [expert] psychiatric evidence, then, at the very least, the prosecution may rebut this presentation with evidence from the reports of the examination that the defendant [relied upon]. The defendant [has] no Fifth Amendment privilege against the introduction of this psychiatric testimony by the prosecution . . . [for] such a limited rebuttal purpose.23
The reason for this is quite simple — in prosecutions such as this one, where the defendant does not testify and asserts a defense of mental retardation through expert testimony, the State could not respond unless it could present other, countervailing, psychiatric evidence.
We also reject Stephens’s Sixth Amendment claim of insufficient notice of the examinations and the possibility that they could be used against him at trial. The 1978 and 1979 examinations were requested by Stephens’s trial counsel at the time, so notice of these examinations was obviously provided to Stephens’s counsel. Stephens
Finally Stephens has waived any objection to the admission of the 1988 examination. The Eleventh Circuit issued its opinion vacating Stephens’s death sentence on April 22, 1988, and shortly thereafter, a physical and neurological examination of Stephens, to “rule out any significant disease,” was conducted in prison by Dr. Slade. A notation on Dr. Slade’s report states that the examination was “requested by AG’s office.” It is undisputed that none of the lawyers representing Stephens were notified about this examination. At trial, the results of Dr. Slade’s examination were elicited by the State from a defense expert on cross-examination. The defense expert testified that he had reviewed Dr. Slade’s report while analyzing Stephens, and the jury heard part of Dr. Slade’s report read to the expert, who denied that it affected his diagnoses of mental retardation and mental illness.
We are not persuaded by the State’s argument that Stephens had no Sixth Amendment right at the 1988 examination because, even though the United States Supreme Court had not yet denied the petition for certiorari, a new sentencing trial was virtually assured in April 1988 when Stephens’s death sentence was vacated by the Elev
Stephens also complains about prosecutorial misconduct because the Attorney General’s office, by allegedly ordering the 1988 examination without notice to Stephens’s counsel, engaged in an ex parte communication with a party it knew to be represented by counsel.
5. Because we have reversed Stephens’s death sentence, we need not address Stephens’s remaining enumerations of error.
Judgment reversed.
Stevens v. State, 247 Ga. 698 (278 SE2d 398) (1981) (Stephens’s name is misspelled in the style of this case).
Stephens v. Kemp, 846 F2d 642 (11th Cir. 1988).
OCGA § 17-10-30 (b) (2).
OCGA § 17-10-30 (b) (7).
OCGA § 17-10-30 (b) (8).
The crimes occurred on January 24, 1979. Stephens was indicted for malice murder and three counts of aggravated assault on January 30, 1979. He was convicted of all counts by a jury on February 15, 1980. In addition to the death sentence for the murder, Stephens received three consecutive twenty-year sentences for the aggravated assaults. After Stephens’s death sentence was vacated by the Eleventh Circuit, the State filed a notice of intent to seek the death penalty on October 10, 1989. Stephens’s sentencing trial was held November 14-22, 1989, and the jury recommended a death sentence for the murder on November 22, 1989. Stephens filed a motion for new trial on November 29, 1989, and a supplemented motion for new trial on June 29, 1990, which was denied on November 6, 1990. Stephens filed a notice of appeal to this Court on November 26, 1990. The case was remanded back to the trial court at the State’s request for a hearing to determine the Attorney General’s role in ordering a state physical and neurological examination of the defendant. The hearing was held on February 10, 1998, and the case was re-docketed by this Court on April 16, 1998. The case was orally argued on July 13, 1998.
Jackson v. Virginia, 443 U. S. 307 (99 SC 2781, 61 LE2d 560) (1979); see also OCGA § 17-10-35 (c) (2).
OCGA § 17-7-131 (c) (3); Mosher v. State, 268 Ga. 555, 558-560 (4) (491 SE2d 348) (1997).
(Emphasis supplied.) Burgess v. State, 264 Ga. 777, 790 (36) (450 SE2d 680) (1994).
Id.; OCGA § 17-7-131 (j).
Burgess, 264 Ga. at 791.
259 Ga. 687 (386 SE2d 339) (1989).
Fleming, 259 Ga. at 691.
Zant v. Foster, 261 Ga. 450, 451 (4) (406 SE2d 74) (1991).
Fleming, 259 Ga. at 691 (4), n. 4; see also Turpin v. Hill, 269 Ga. 302, 304 (4) (498 SE2d 52) (1998).
Stevens, 247 Ga. 698.
Stephens, 846 F2d 642 (holding that Stephens’s trial counsel had not been ineffective in the guilt-innocence phase).
The 1978 examination was in anticipation of an unrelated felony charge for which Stephens was acquitted; the 1979 examination was in anticipation of Stephens’s original trial for malice murder.
Daniels et al. v. Zant, Civ. No. 79-110-MAC (M.D. Ga. June 5, 1981).
Powell v. Texas, 492 U. S. 680, 684-685 (109 SC 3146, 106 LE2d 551) (1989); Hargrave v. Wainwright, 804 F2d 1182, 1192 (11th Cir. 1986); Hammock v. State, 210 Ga. App. 513, 514 (1) (436 SE2d 571) (1993).
Buchanan v. Kentucky, 483 U. S. 402, 423 (III) (B) (107 SC 2906, 97 LE2d 336) (1987).
See Buchanan, 483 U. S. at 424-425 (III) (B).
See id.
Pennsylvania v. Finley, 481 U. S. 551, 555 (107 SC 1990, 95 LE2d 539) (1987) (no constitutional right to counsel after the defendant’s conviction has become final due to the exhaustion of the appellate process).
The report stated that Stephens exhibited normal thought content and emotional tone, and that he knew the presidential candidates. Stephens also told Dr. Slade that he had finished the 12th grade.
Stephens’s habeas counsel had represented Stephens for several years of habeas corpus litigation against the State. One of Stephens’s habeas lawyers was also appointed to be his trial counsel for the 1989 sentencing trial.
Guthrie v. Bank South, 195 Ga. App. 123, 126 (4) (393 SE2d 60) (1990), quoting Hall County Mem. Park v. Baker, 145 Ga. App. 296, 298 (4) (243 SE2d 689) (1978).
See DR 7-104 (A) (1).
Dissenting Opinion
dissenting.
Although the guilt-innocence trial was held prior to the effective date of OCGA § 17-7-131, it was determined by the Eleventh Circuit Court of Appeals that Stephens was not denied effective assistance of counsel during that proceeding. That Court took into consideration the results of a 1979 court-ordered psychiatric evaluation showing “no evidence of a mental disability or disorder.” Stephens v. Kemp, 846 F2d 642, 655 (11th Cir. 1988). The Court concluded that trial counsel’s reliance on that evaluation “was reasonable insofar as the
essentially the same opportunity to litigate the issue of [their] mental retardation as [they] would have had if the case[s] were tried today, with the benefit of the OCGA § 17-7-131 (j) death-penalty exclusion.
Zant v. Foster, supra at 451 (4). However, the plain language of OCGA § 17-7-131 (c) (3), requires that a defendant prove his mental retardation “beyond a reasonable doubt” in order to be found guilty but mentally retarded. See Burgess v. State, 264 Ga. 777 (36) (450 SE2d 680) (1994). Thus, instead of providing a capital defendant with the “same opportunity” as that defendant would have with the benefit of the statutory procedure against the execution of mentally retarded defendants, Fleming and Foster allow such defendants the lesser burden of proving their retardation by a preponderance of the evidence. Therein lies the fallacy. Because I believe the trial court applied the correct standard of proof, I would affirm Stephens’ sentencing trial on this ground.
I am authorized to state that Justice Hunstein and Justice Carley join in this dissent.
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