Williams v. New York
Opinion of the Court
delivered the opinion of the Court.
A jury in a New York state court found appellant guilty of murder in the first degree.
. . Before rendering judgment or pronouncing sentence the court shall .cause the defendant’s previous criminal record to be submitted to it, including any reports that may have been made as a result of a mental, phychiatric [sic] or physical examination of such person, and may seek' any information that will aid the court in determining the proper treatment of such defendant.”
The Court of Appeals of New York affirmed the conviction and sentence over the' contention that as construed and applied the controlling penal statutes are in violation of the due process clause of the Fourteenth Amendment of the Constitution of the United States “in that the sentence of death was based upon information supplied .by witnesses with whom the accused had not been confronted and as to whom he had no opportunity for cross-examination .or rebuttal . . . .” 298 N. Y. 803, 804, 83 N. E. 2d 698, 699. Because the statutes were sustained over this constitutional challenge the case is here on appeal under 28 U. S. C. § 1257 (2). . .
The harrow contention here makes it unnecessary to set out the facts at length. The record shows a carefully conducted trial lasting more than two • weeks in which appellant was represented by three appointed lawyers who conducted his defense with fidelity and zeal. -.The evidence proved a wholly indefensible murder committed by a person engaged in a burglary. The judge instructed the jury that if it returned a verdict of guilty as charged, without recommendation for- life sentence, “The Court must impose the death penalty,” but if such recommendation was made, “the Court may impose a life sentence.” The judge went on to emphasize that “the Court is not bound to accept your recommendation.”
The case presents a serious and difficult question. The question relates to the rules of evidence- applicable to the manner in which á judge may obtain information to guide him in the imposition of sentence upon an already convicted defendant. Within limits fixed by statutes,
Appellant urges that the New York statutory policy is in irreconcilable conflict with the underlying philosophy of a second procedural policy grounded in the due process of law clause of the Fourteenth Amendment. That policy as stated in In re Oliver, 333 U. S. 257, 273, is in part that no person shall be tried and convicted of an offense unless he is given reasonable notice of the charges against him and is afforded an opportunity to examine adverse witnesses.
In addition to the historical basis for different evidentiary rules governing trial and sentencing procedures there are sound practical reasons for the distinction. In a trial before ‘verdict the issue is whether a defendant is guilty of having engaged in certain criminal conduct of which he has been specifically accused. Rules of evi
Undoubtedly the New York statutes emphasize a prevalent modern philosophy of penology that the punishment should fit the offender and not merely the crime. People v. Johnson, 252 N. Y. 387, 392, 169 N. E. 619, 621. The belief no longer prevails that every offense in a like legal category calls for an identical punishment without regard to the past life and habits of a particular offender. This whole country ha? traveled far from the period in which the death sentence was an automatic and commonplace result of convictions — even for offenses today deemed
Modern changes in the treatment of offenders make it more necessary now than a century ago for observance
Under the practice of individualizing, punishments, investigational techniques have been given an important role. ^Probation workers making reports of their investigations have not been trained to — orosecuie but to aid, ^offenders?] Their reports have been given a high value by conscientious judges who want to sentence persons on the best available information rather than on guesswork and inadequate information.
The considerations we have set out admonish us against" treating the due process clause as a uniform command that courts throughout the Nation abandon their age-old
It is urged, however, that we should draw a constitutional distinction as to the procedure for obtaining information where the death sentence is imposed. We cannot accept the contention. Leaving a sentencing judge free to avail himself of out-of-court information in making such a fateful choice of sentences does secure to him a broad discretionary power, one susceptible of abuse. But in considering whether a rigid constitutional barrier should be created, it must be remembered that there is possibility of abuse wherever a judge must choose between life iiúprisonment and death. And it is con
Appellant was found guilty after a fairly conducted trial. His sentence followed a hearing conducted by the judge. Upon the judge’s inquiry as to why sentence should not bd imposed, the defendant made statements. His counsel made extended arguments. The case went to the highest court in the state, and that court had power to reverse for abuse of discretion or legal error in the imposition of the sentence.
Affirmed.
“The killing of a human being, unless it is excusable or justifiable, is murder in the first degree, when committed:
“2. By an act imminently dangerous to others, and evincing a depraved mind, regardless of human life, although without a premeditated design to effect the death of any individual; or without á design to effect death, by a person engaged in the commission of, or in an attempt to commit a 'felony, either upon or affecting- the— person killed or otherwise . . . .” New York Penal Law § 1044.
“Murder in the first degree is punishable by death, unless the jury recommends life imprisonment as provided by section ten hundred forty-five-a.” New York Penal Law § 1045.
,“A jury finding a person guilty of murder in the first degree, as defined by subdivision two of section ten hundred forty-four, may, as a part of its verdict, recommend that the defendant' be imprisoned for the term of his natural life. Upon such .recommendation, the court may sentence the defendant to imprisonmertfcfor the term of his.natural life;” New York Penal Law § lCf45-a:
Other due process requirements mentioned in the Oliver case were that the defendant should be permitted to offer evidence in his own behalf and be represented by counsel. Appellant, however, was represented by counsel both when tried and sentenced, ánd the sentencing judge did not decline, to permit introduction of any evidence. In response to the judge’s inquiry, statements were made by appellant and his counsel.
Courts have treated the rules of evidence applicable to the trial procedure and the sentencing process differently. See, e. g., Snyder v. Massachusetts, 291 U. S. 97, 107, 128-129; Graham v. West Virginia, 224 U. S. 616, 619; United States v. Dalhover, 96 F. 2d 355, 359-360. But cf. State v. Stevenson, 64 W. Va. 392, 62 S. E. 688.
See cases collected in 14 Am. & Eng. Ann. Cas. 968, et seq.; 77 A. L. R. 1211, et seq.; 86 A. L. R. 832, et seq. See also Note, The Admissibility of Character Evidence in Determining Sentence, 9 U. of Chi. L. Rev. 715 (1942).
See Pound, Criminal Justice in America 178 (1930 J.
See Stephan v. United States, 133 F. 2d 87, 100. See also 18 U. S. C. § 3655.
Myerson, Views on Sentencing Criminals, 7 Law Soc. J. 854 (1937); Glueck, Principles of a Rational Penal Code, 41 Harv. L. Rev. 453 (1928); Warner and Cabot, Administration of Criminal Justice, 50 Harv. L. Rev. 583, 607 (1937); Comment, Reform in Federal Penal Procedure, 53 Yale L. J. 773 (1944).
2 Blackstone, Commentaries on the Laws of England (Lewis’ ed. 1897) 1756-1757.
With respect to this policy in the administration of the Probation Act this Court has said:- “It is necessary to individualize each case, to give that careful, humane and comprehensive consideration to the particular situation of.each offender which would be possible only in the exercise of a broad discretion.” Burns v. United States, 287 U. S. 216, 220. In Pennsylvania v. Ashe, 302 U. S. 51, 55, this Court further stated: .“For the determination of sentences,' justice generally requires consideration of more than the particular acts by which the crime was committed ancl that there be taken into account the circumstances of the offense together with the character- and propensities of the offender.” And see Wood and Waite, Crime and Its Treatment 438-442 (1941).
Wood and Waite, Crime and Its Treatment 437 (1941); Orfield, Criminal Procedure from Arrest to Appeal 556-565 (1947). See, e. g., Ill. Rev. Stat. c. 38, §802 (1939); Cal. Pen. Code (Deering, 1941) § 1168.
Glueck, Probation and Criminal Justice 232 (1933); National Probation Assn., Directory of Probation and Parole Officers 275 (1947); .Cooley, Probation an(l Delinquency (1927).
Judge Ulman writing on The Trial Judge’s Dilemma .discusses the problems that confront the sentencing judge and quotes from
“1st. The proteetipn of society against wrong-doers.
“2rid. The punishment — or much better — the discipline of the wrong-doer.
“3rd. The reformation and rehabilitation of the wrong-doer.
“4th. The deterrence of others from the commission of like offenses.
"It should be obvious that a proper dealing with these factors involves a study of each case upon an individual basis. Was the crime a crime against property only, or did it involve danger to human life? Was it a crime of sudden passion or was it studied and deliberate? Is the criminal a man so constituted and so habituated to war upon society that there is little or no real hope that he ever can be anything other than a menace to society — or is he obviously amenable to reformation?” Glueck, Probation and Criminal Justice 113 (1933).
See also 12 Encyc. of Soc. Science, Penal Institutions 57-64 (1934).
The late Federal Judge Lewis B. Sehwellenbach in his article on the difficulties that confront a sentencing judge wrote: “The knowledge of the life of a man, his background and his family, is the only
A publication circulated by the Administrative Office of the United States Courts contains a suggested form for all United States probation reports and serves as an example of the type ,of information contained in the reports. This form consists of thirteen “marginal headings.” (1)" Offense; (2)- Prior Record; (3.) Family History'; (4) Home and Neighborhood; (5) Education; (6) Religion; (7) Interests and'Activities; (8) Health (physical and mental); (9) Employment; (10) Resources; (11) Summary;/ (12) Plan; and (13) Agencies Interested. Each of the headings is further broken down into sub-headings. The form represents a frarpework into which information can be inserted to give the "sentencing judge a composite picture of the defendant. Administrative Office of thé United States Courts, The Presentence Investigation Report, Pub. No. 101 (1943).
A few New York criminal statutes will illustrate the broad statutory limits within which the sentencing judge must fix a defendant’s penalty. Robbery in the first degree is punishable by imprisonment for not “less than ten years” nor “more than thirty years.” New York Penal Law § 2125, Rape in the first degree is “punishable by imprisonment for not more than twenty years.” New York Penal Law §2010. Burglary in the first degree is punishable by imprisonment from ten to thirty years, burgLry in the second degree “for a term not exceeding fifteen years.” New York Penal Law § 407.. .
People v. Stein, 96 Misc. 507, 161 N. Y. S. 1107; People v. Fox, 202 N. Y. 616, 96 N. E. 1126; People v. Johnson, 252 N. Y. 387, 393, 169 N. E. 619, 621. And see Commonwealth v. Johnson, 348 Pa. 349, 35 A. 2d 312. As to English procedure see 28 Cr. App. R.' 89, 90-91. Also see Note, Right of Criminal Offenders to Challenge Reports Used in Determining Sentence, 49 Col. L. Rev. 567 (1949).
What we have said is not to be accepted as a holding that the sentencing procedure is immune from scrutiny under the due process clause. See Townsend v. Burke, 334 U. S. 736.
Dissenting Opinion
dissenting.
A combination of factors in this case impels me to dissent.'
Petitioner was convicted of murder by a jury, and sentenced to death by the judge. The jury which heard the
He should be willing to increase it, moreover, only with the most scrupulous regard for the rights of the defendant. The record before us indicates that the judge exercised his discretion to deprive a man of his life, in reliance on material madp available to him in a probation report, consisting almost entirely of évidence that would have been inadmissible at the trial. Some, such ás allegations of prior crimes, was irrelevant. Much was incompetent as hearsay. All was damaging, and none was subject to scrutiny by the defendant.
Due process of law includes at least the idea that a person accused of crime shall be accorded a fair hearing through all the stages of the proceedings against him. I agree with the Court t.s to the value and humaneness of liberal use of probation reports as developed by modern penologists, but, in a capital case, against the unanimous recommendation of a jury,- where the report would concededly not have been admissible at the trial, and was not subject to examination by the defendant, I am forced to conclude that the high commands of due process were not obeyed.
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