In evaluating whether a death sentence
is arbitrary, the Supreme Court has directed courts to evaluate a
defendant's culpability both individually and in terms of the sentences
of codefendants and accomplices [*26] in the same case. See
Enmund v. Florida, 458 U.S. 782, 788, 798, 102 S. Ct. 3368, 73 L. Ed.
2d 1140 (1982). In Enmund, the Supreme Court found the Eighth Amendment
violated when defendants with "plainly different" culpability received
the same capital sentence. It requires proportionality comparison with
others participating in the same crime:
Enmund did not kill
or intend to kill and thus his culpability is plainly different from
that of the robbers who killed; yet the State treated them alike and
attributed to Enmund the culpability of those who killed the Kerseys.
This was impermissible under the Eighth Amendment.
Id. at 798.
The instant case presents the reverse situation where defendants with
plainly similar culpability received different sentences; and,
furthermore, the defendant with arguably the lesser culpability
received the harsher sentence -- the death penalty. Numerous state
courts have applied the Enmund principal to require reasonable symmetry
between culpability and the sentencing of codefendants. See, e.g.,
People v. Kliner, 185 Ill. 2d 81, 705 N.E.2d 850, 897, 235 Ill. Dec.
667 (Ill. 1998) [*27] ("[S]imilarly situated codefendants
should not be given arbitrarily or unreasonably disparate sentences.");
Larzelere v. State, 676 So. 2d 394, 406 (Fla. 1996) ("When a
codefendant . . . is equally as culpable or more culpable than the
defendant, disparate treatment of the codefendant may render the
defendant's punishment disproportionate."); Hall v. State, 241 Ga. 252,
244 S.E.2d 833, 839 (Ga. 1978) ("We find that . . . the death sentence,
imposed on Hall for the same crime in which the co-defendant triggerman
received a life sentence, is disproportionate."). Similarly, the
Federal Death Penalty Act recognizes that a comparison of the sentences
received by equally culpable codefendants improves the likelihood that
the death penalty will not be imposed in an arbitrary or capricious
manner. See 18 U.S.C. § 3592(a)(4) (listing as a mitigating factor
the lack of death sentences for equally or more culpable codefendants).
The principle requiring proportionate punishment has deep roots in our
cultural and biological heritage. Aristotle observed in his Nicomachean
Ethics almost 2,500 years ago that basic notions of [*28]
justice require treating like cases alike:
If, then, the unjust is unequal, the just is equal, as all men suppose
it to be, even apart from argument . . . . This, then, is what the just
is -- the proportional; the unjust is what violates the proportion . .
. . [I]t is by proportionate requital that the city holds together.
Aristotle, Ethica Nicomachea, in The
Works of Aristotle V.3.1131a-1131b, V.5.1132b (W.D. Ross ed. &
trans., 1954); see also Aristotle, The Politics of Aristotle 129
(Ernest Barker ed. & trans., 1946) ("Justice is the political good.
It involves equality, or the distribution of equal amounts to equal
persons."). n1 Recent studies have reinforced this view. In a recent
article, Judge Morris Hoffman and Timothy Goldsmith, a distinguished
Yale biologist, make this point:
[I]t is not
surprising that collectively we struggle to balance the form and amount
of punishment that is appropriate, a struggle that lies at the heart of
what we mean by "justice." . . .
The two faces of justice - to deal firmly with
transgressors, but not too harshly - reflect an intrinsic human sense
of fairness and are important to the political [*29] ideal
of equality. When Aristotle commands that like cases be treated alike,
he is touching both on the personal notion that none of us wants to be
punished more than anyone else (and therefore on our self-interest) and
on the social notion that none of us wants to punish others more than
they deserve (and therefore on the equilibrium between our inclination
to punish and our intuitions about fairness and sympathy). When
sentencing guidelines address the tension between sentencing individual
defendants and coordinating the sentences of similarly situated
defendants, they are touching on this very same duality.
Morris B. Hoffman & Timothy H. Goldsmith, The Biological Roots of
Punishment, 1 Ohio St. J. Crim. L. 627, 638-39 (2004). Coordination of
sentences for the same crime is not simply a rational, legal principal
but a deeply-held concept of justice as well.
The dissent argues incorrectly that the Supreme Court's decision in
Pulley v. Harris, 465 U.S. 37, 104 S. Ct. 871, 79 L. Ed. 2d 29 (1984),
precludes our consideration of the "comparative proportionality" of
sentences in this case. n2 Pulley simply held that the Eighth Amendment
does not require a systematic comparative proportionality review of
sentences in other unrelated cases. Id. at 50-51. Pulley concerned
whether the Eighth Amendment mandates a systematic comparative
proportionality review of a particular sentence to the punishment
imposed on others for the same general type of crime but in unrelated
cases. Our holding neither contradicts this rule nor implicates
systematic comparative proportionality review. Cf. People v. Bean, 137
Ill. 2d 65, 560 N.E.2d 258, 290, 147 Ill. Dec. 891 (Ill. 1990) ("[I]n
reviewing the appropriateness of a death sentence, this court will
examine the facts of that particular case and the evidence introduced
at the trial and death penalty hearing, and, as a matter of reference,
it may consider the sentence imposed on an accomplice or a co-defendant
in light of his involvement in the offense."). Instead,
[*31] we simply adhere to the clearly established principle of
Enmund that, in a capital case with respect to the very same crime
stemming from the very same facts, the Eighth Amendment does not permit
codefendants with plainly similar culpability to receive different
sentences -- especially when the defendant with arguably less
culpability receives the harshest of all sentences, the death penalty.
Following the dissent's view would not only conflict with the clear
mandate of Enmund but would allow less culpable participants in the
same criminal episode to receive the death penalty when the more
culpable participant receives a lesser sentence.
In sum, sentencing Getsy to death, while the arguably more culpable
Santine received a life sentence for the very same crime, violates the
Eighth Amendment, as construed by the Supreme Court in Furman and
Enmund, and its prohibition of arbitrary and disproportionate death
sentences.
State
v. Roberts, 2006 Ohio 3665 (Ohio 8/2/2006) The state supreme court
remands for a new sentencing when the trial
court received the "assistance" of the trial prosecutor in preparing
its sentencing opinion.
At the sentencing hearing, the court
read aloud its sentencing opinion and imposed the death penalty on
Roberts. As the court was doing so, defense counsel noticed that the
prosecutor was looking at a document and appeared to be reading along
with the trial judge. At the end of the court's reading, defense
counsel raised a "vehement" objection to the prosecution's apparent ex
parte involvement with the sentencing opinion.
The trial judge conceded that the prosecution had participated in the
drafting of the opinion without the knowledge of defense counsel. The
trial judge stated that he had given notes to the prosecutor and had
instructed the prosecutor, "[T]his is what I want." The court added
that the opinion had to be corrected six or seven times. The trial
judge apologized to defense counsel for not providing them with a copy
of the opinion before the sentencing hearing.
R.C. 2929.03 governs [*52] the imposition of sentences for
aggravated murder. R.C. 2929.03(F) clearly contemplates that the trial
court itself will draft the death-sentence opinion: "The court * * *
when it imposes sentence of death, shall state in a separate opinion
its specific findings as to the existence of any of the mitigating
factors * * *, the aggravating circumstances the offender was found
guilty of committing, and the reasons why the aggravating circumstances
the offender was found guilty of committing were sufficient to outweigh
the mitigating factors * * *." (Emphasis added.)
Our prior decisions have stressed the crucial role of the trial court's
sentencing opinion in evaluating all of the evidence, including
mitigation evidence, and in carefully weighing the specified
aggravating circumstances against the mitigating evidence in
determining the appropriateness of the death penalty. For example, in
State v. Green (2000), 90 Ohio St.3d 352, 360, 2000 Ohio 182, 738
N.E.2d 1208, we vacated the death penalty because the trial court's
sentencing opinion "was constitutionally deficient." There, the trial
court's sentencing opinion "improperly considered [*53]
nonstatutory aggravating circumstances, and failed to consider relevant
mitigating evidence." Id. We concluded that "the collective
deficiencies in the trial court's decision to impose the death penalty,
as reflected in the sentencing opinion, undermine our confidence in
that decision. * * * These cumulative errors reflect grievous
violations of the statutory deliberative process." Id. at 363-364, 738
N.E.2d 1208.
Similarly, in State v. Davis (1988), 38 Ohio St.3d 361, 528 N.E.2d 925,
we vacated the death sentence because of grievous errors in the trial
court's sentencing opinion. In Davis, we noted, "[T]he General Assembly
has set specific standards in the statutory framework it created to
guide a sentencing court's discretion 'by requiring examination of
specific factors that argue in favor of or against imposition of the
death penalty, thus eliminating total arbitrariness and capriciousness
in its imposition.'" (Emphasis sic.) Id. at 372-373, 528 N.E.2d 925,
quoting Proffitt v. Florida (1976), 428 U.S. 242, 258, 96 S.Ct. 2960,
49 L.Ed.2d 913.
In this case, our confidence in the trial [*54] court's
sentencing opinion is undermined by the fact that the trial judge
directly involved the prosecutor in preparing the sentencing opinion
and did so on an ex parte basis. The trial judge is charged by statute
with the sole responsibility of personally preparing the opinion
setting forth the assessment and weight of the evidence, the
aggravating circumstances of the murder, and any relevant mitigating
factors prior to determining what penalty should be imposed. The fact
that the trial judge provided his notes to the prosecutor to guide the
prosecutor in drafting the sentencing opinion does not change the
result. The various drafts of the opinion that ultimately imposed death
on Roberts involved the assistance of the prosecutor.
The trial court's delegation of any degree of responsibility in this
sentencing opinion does not comply with R.C. 2929.03(F). Nor does it
comport with our firm belief that the consideration and imposition of
death are the most solemn of all the duties that are imposed on a
judge, as Ohio courts have also recognized. See State v. Vrabel (Mar.
2, 2000), Mahoning App. No. 95 CA 221, 2000 Ohio App. LEXIS 803, 2000
WL 246482, *15 [*55] ("The role of this Court in reviewing
a death penalty case is codified by statute and defined by the Ohio
Supreme Court. It is a duty of immense proportions which we undertake
with great solemnity"). The judge alone serves as the final arbiter of
justice in his courtroom, and he must discharge that austere duty in
isolation. The scales of justice may not be weighted even slightly by
one with an interest in the ultimate outcome. Given the prosecutor's
direct role in the preparation of the sentencing opinion, we cannot
conclude that the proper process was followed here.
That conclusion is compelled particularly in light of the trial court's
ex parte communications about sentencing with the prosecutor in
preparing the sentencing opinion. The Code of Judicial Conduct, Canon
3(B)(7) specifies, "A judge shall not initiate, receive, permit, or
consider communications made to the judge outside the presence of the
parties or their representatives concerning a pending or impending
proceeding * * *" Both the trial judge and the prosecutor should have
known that any ex parte assistance in the preparation of the court's
sentencing opinion was wholly inconsistent [*56] with these
vital ethical constraints. See Disciplinary Rule 7-110(B)(2) and (3).
The trial court's consultation with the prosecutor, particularly when
undertaken without the knowledge or participation of defense counsel,
can neither be ignored nor found to be harmless error. Cf. Gardner v.
Florida (1977), 430 U.S. 349, 362, 97 S.Ct. 1197, 51 L.Ed.2d 393
(defendant "was denied due process of law when the death sentence was
imposed, at least in part, on the basis of information [from a
presentence report] which he had no opportunity to deny or explain").
We cannot cure the deficiencies in the preparation of the sentencing
opinion by our own independent assessment.
The trial court's decision to use the prosecutor in preparing the
sentencing opinion constitutes a grievous violation of the statutory
deliberative process. It is so severe a violation that independent
reweighing cannot serve as an adequate remedy. See State v. Green, 90
Ohio St.3d at 363-364, 738 N.E.2d 1208. We find that we must vacate the
sentence because of the critical constitutional interests and notions
of justice that are implicated by the prosecutor's [*57]
participation in drafting the sentencing opinion.
We accordingly sustain Roberts's claim of error in the trial judge's
use of the prosecutor to assist directly in the preparation of the
sentencing opinion. Accordingly, we vacate the sentence and remand to
the trial court for resentencing as set forth expressly below.