Lead Opinion
delivered the opinion of the Court.
This case requires us to determine precisely what effect the Florida courts gave to the evidence petitioner presented in mitigation of his death sentence, and consequently to determine whether his death sentence meets federal constitutional requirements.
I
On the afternoon of February 6, 1982, petitioner Robert Parker and several others set off to recover money owed them for the delivery of illegal drugs. There followed a nightmarish series of events that ended in the early morning hours of February 7 with the deaths of Richard Padgett, Jody Dalton, and Nancy Sheppard.
A Duval County, Florida, grand jury indicted Parker, his former wife Elaine, Tommy Groover, and William Long for the first-degree murders of Padgett, Dalton, and Sheppard. Elaine Parker and Long entered negotiated pleas to second-degree murder. A jury convicted Groover of all three first-degree murders, and the judge sentenced him to death on two counts and life imprisonment on the third.
Parker’s jury convicted him of first-degree murder for the killings of Padgett and Sheppard and third-degree murder for the Dalton killing. At the advisory sentencing hearing, Parker presented evidence in mitigation of a death sentence and argued that such evidence also had been presented at trial. The jury found that sufficient aggravating circumstances existed to justify a death sentence as to both the Padgett and Sheppard murders, but that sufficient mitigating circumstances existed that outweighed these aggravating factors. The jury therefore recommended that Parker be sentenced to life imprisonment on both first-degree counts.
The trial judge, who has ultimate sentencing authority under Florida law, accepted the jury’s recommendation for the Padgett murder. The judge overrode the jury’s recommendation for the Sheppard murder, however, and sentenced Parker to death. The judge’s sentencing order explained
On direct appeal, the Florida Supreme Court affirmed Parker’s convictions and sentences. Parker v. State,
“The trial court found no mitigating circumstances to balance against the aggravating factors, of which four were properly applied. In light of these findings the facts suggesting the sentence of death are so clear and convincing that virtually no reasonable person could differ. Tedder v. State,322 So. 2d 908 (Fla. 1975). The jury override was proper and the facts of this case clearly place it within the class of homicides for which the death penalty has been found appropriate.” Ibid.
Parker pursued state collateral review without success, and then filed a petition for a writ of habeas corpus in the United States District Court for the Middle District of Flor
The Court of Appeals for the Eleventh Circuit reversed.
II
Parker presents several related challenges to his death sentence. The crux of his contentions is that the Florida courts acted in an arbitrary and capricious manner by failing to treat adequately the evidence he presented in mitigation of the sentence. This case is somewhat unusual in that we are required to reconstruct that which we are to review. The trial judge’s order imposing the challenged sentence does not state explicitly what effect the judge gave Parker’s nonstatu-tory mitigating evidence. We must first determine what precisely the trial judge found.
A Florida statute defines certain aggravating and mitigating circumstances relevant to the imposition of the death penalty. Fla. Stat. §§921.141(5), 921.141(6) (1985 and Supp. 1990). The death penalty may be imposed only where sufficient aggravating circumstances exist that outweigh mitigating circumstances. Fla. Stat. §921.141(3) (1985). A jury makes an initial sentencing recommendation to the judge; the judge imposes the sentence. §§921.141(2), 921.141(3). Both may consider only those aggravating circumstances described by statute. McCampbell v. State,
The jury here recommended a life sentence for the Sheppard murder. The trial judge overrode that recommendation. In his sentencing order, the judge described in detail his factfinding as to each of the eight statutory aggravating and seven statutory mitigating circumstances. The judge found six aggravating circumstances present as to the Sheppard murder, and no statutory mitigating circumstances. App. 48-60. The sentencing order makes no specific mention of nonstatutory mitigating circumstances. Under “Findings of the Court,” the order states: “There are no mitigating circumstances that outweigh the aggravating circumstances.” Id., at 60-61.
What did the trial judge conclude about nonstatutory mitigating evidence? There is no question that Parker presented such evidence. For example, several witnesses at trial, including witnesses for the State, testified that Parker was under the influence of large amounts of alcohol and various drugs, including LSD, during the murders. Tr. 1401-1402, 1497, 1540-1541, 1619, 1738-1739, 1834, 1836, 1880-1881. At the sentencing hearing, Parker’s attorney emphasized to the jury that none of Parker’s accomplices received a death sentence for the Sheppard murder. Billy Long, who admitted shooting Nancy Sheppard, had been allowed to plead guilty to second-degree murder. Id., at 2366, 2378, 2491-2496. Finally, numerous witnesses testified on Parker’s behalf at the sentencing hearing concerning his background and character. Their testimony indicated both a difficult childhood, including an abusive, alcoholic father, and a positive adult relationship with his own children and with his neighbors. Id., at 2322-2360.
We must assume that the trial judge considered all this evidence before passing sentence. For one thing, he said he did. The sentencing order states: “Before imposing sentence, this Court has carefully studied and considered all the
We also conclude that the trial judge credited much of this evidence, although he found that it did not outweigh the aggravating circumstances. The judge instructed the jurors at the end of the sentencing hearing that they need be only “reasonably convinced” that a mitigating circumstance exists to consider it established. Tr. 2507; Florida Bar, Florida Standard Jury Instructions in Criminal Cases 81 (1981 ed.). We assume the judge applied the same standard himself. He must, therefore, have found at least some nonstatutory
In addition, every court to have reviewed the record here has determined that the evidence supported a finding of non-statutory mitigating circumstances. Both the District Court and the Court of Appeals, in reviewing Parker’s habeas petition, concluded that there was more than enough evidence in this record to support such a finding. See App. 141-142;
Perhaps the strongest indication that the trial judge found nonstatutory mitigating circumstances is that the judge overrode the jury’s sentencing recommendation for the Sheppard murder, but not for the Padgett murder. The jury recommended a life sentence for both murders. The judge explicitly found six aggravating circumstances related to the Sheppard murder and five aggravating circumstances related to the Padgett murder. App. 56-60. The judge found no statutory mitigating circumstances as to either murder. Id., at 48-56. Yet he sentenced Parker to death for the Sheppard murder, but accepted the jury’s recommendation as to the Padgett murder. If the judge had found no nonstatutory
It must be that the judge sentenced differentially for the two murders because he believed that the evidence in the Sheppard murder was so “clear and convincing that virtually no reasonable person could differ” about the sentence of death, see Tedder,
The best evidence that the trial judge did not find any nonstatutory mitigating circumstances is that the sentencing order contains detailed findings as to statutory mitigating circumstances, but makes no explicit reference to nonstatu-tory evidence. There is a likely explanation for this fact. By statute, the sentencing judge is required to set forth explicitly his findings as to only the statutory aggravating and mitigating circumstances. Fla. Stat. §921.141(3) (1985). Florida case law at the time the trial judge entered Parker’s sentencing order required no more. See Mason v. State,
In light of the substantial evidence, much of it uncontro-verted, favoring mitigation, the differential sentences for the Sheppard and Padgett murders, and the fact that the judge indicated that he found no mitigating circumstances “that outweigh” aggravating circumstances, we must conclude, as did the Court of Appeals, that the trial court found and weighed nonstatutory mitigating circumstances before sentencing Parker to death.
Ill
The Florida Supreme Court did not consider the evidence of nonstatutory mitigating circumstances. On direct review of Parker’s sentence, the Florida Supreme Court struck two of the aggravating circumstances on which the trial judge had relied. The Supreme Court nonetheless upheld the death sentence because “[t]he trial court found no mitigating circumstances to balance against the aggravating factors.” Parker,
As noted, Florida is a weighing State; the death penalty may be imposed only where specified aggravating circumstances outweigh all mitigating circumstances. Fla. Stat. §921.141(3) (1985); McCampbell,
The Florida Supreme Court may have conducted a harmless error analysis. At the time it heard Parker’s appeal, this was its general practice in cases in which it had struck aggravating circumstances and the trial judge had found no mitigating circumstances. See Sireci v. State,
But, as we have explained, the trial judge must have found mitigating circumstances. The Florida Supreme Court’s
In Wainwright v. Goode,
Because it is a factual issue, the deference we owe is that designated by 28 U. S. C. § 2254. In ruling on a petition for a writ of habeas corpus, a federal court is not to overturn a factual conclusion of a state court, including a state appellate court, unless the conclusion is not “fairly supported by the record.” §2254(d)(8); Goode, supra, at 85. For the reasons stated, we find that the Florida Supreme Court’s conclusion that the trial judge found no mitigating circumstances is not fairly supported by the record in this case.
“If a State has determined that death should be an available penalty for certain crimes, then it must administer that penalty in a way that can rationally distinguish between those individuals for whom death is an appropriate sanction and those for whom it is not.” Spaziano v. Florida,
It cannot be gainsaid that meaningful appellate review requires that the appellate court consider the defendant’s actual record. “What is important... is an individualized determination on the basis of the character of the individual and the circumstances of the crime.” Zant v. Stephens,
This is not simply an error in assessing the mitigating evidence. Had the Florida Supreme Court conducted its own examination of the trial and sentencing hearing records and concluded that there were no mitigating circumstances, a different question would be presented. Similarly, if the trial judge had found no mitigating circumstances and the Florida Supreme Court had relied on that finding, our review would be very different. Cf. Lewis v. Jeffers,
V
We reverse the judgment of the Court of Appeals and remand with instructions to return the case to the District
As to Parker’s remaining questions presented to this Court, his petition for a writ of certiorari is dismissed as improvidently granted.
It is so ordered.
Dissenting Opinion
with whom The Chief Justice, Justice Sc alia, and Justice Kennedy join, dissenting.
“It is not our function to decide whether we agree with the majority of the advisory jury or with the trial judge and the Florida Supreme Court.” Spaziano v. Florida,
The entire weight of the Court’s opinion rests on a reconstruction of the record the likes of which has rarely, if ever, been performed before in this Court. Once armed with its dubious reconstruction of the facts, the Court proceeds to determine that the Florida Supreme Court’s conclusion that the trial judge found no nonstatutory mitigating circumstances is not ‘“fairly supported by the record.’” Ante, at 320 (quoting 28 U. S. C. § 2254(d)(8)). The Court then relies on that determination to assert that the Florida Supreme Court “did not conduct an independent review here,” ante, at 321, even though the Court admits that the Florida Supreme Court’s review was at least thorough enough to cause it to
First, the Court’s application of the “fairly supported by the record” standard of § 2254(d)(8) is inconsistent with the way that standard has been applied in other cases and gives far too little deference to state courts that are attempting to apply their own law faithfully and responsibly. For example, in Wainwright v. Goode,
There is little if any factual distinction between this case and Goode. Here, the trial judge stated that he found “no mitigating circumstances that outweigh the aggravating circumstances.” App. 61. The majority apparently seizes upon the ambiguity inherent in the judge’s use of the word “that,” arguing that what he must have meant was that there
To state the Court’s argument is to refute it. It is clear that the trial judge’s statement is ambiguous, as was the case in Goode. The fact that the Justices of this Court cannot agree as to the meaning of the trial judge’s statement is strong evidence that the statement is at least ambiguous. Moreover, it is likely that the judge — in following the statutory requirement that he make the weighing determination in writing, see Fla. Stat. §921.141(3) (1985) — was simply tracking statutory language which requires him, if he chooses to impose a sentence of death, to find “[t]hat there are insufficient mitigating circumstances to outweigh the aggravating circumstances.” § 921.141(3)(b). That statement itself is ambiguous because it does not require the trial court to specify whether mitigating circumstances exist but are outweighed, or whether there simply are no such circumstances. I therefore see no reason to disturb the Florida Supreme Court’s conclusion that the trial court found that no nonstatu-tory mitigating circumstances had been established.
Even more troubling in this case is the Court’s creation of a new and unexplained “meaningful appellate review” standard for federal courts to apply in habeas proceedings. The Court suggests that the Florida Supreme Court’s “error” in “misreading” the trial judge’s findings is conclusive evidence that the court did not independently review Parker’s claims and that this failure rendered Parker’s sentence “arbitrary” in violation of the Eighth Amendment to the Constitution.
This holding rests on a faulty assumption about the legal nature of the Florida Supreme Court’s review of the trial court’s findings
Here, the only “error” the Court identifies is the Florida Supreme Court’s “misreading” of the trial court’s findings. The Court does not conclude that the trial court failed or refused to consider Parker’s evidence of nonstatutory mitigating factors.
Of course, entirely apart from the dubious legal propositions relied upon by the Court today, the Court’s house of cards topples if in fact the trial judge’s statements can plausibly be interpreted as indicating that he found no nonstatu-tory mitigating circumstances to exist. In his written sentencing order, the trial judge premised his discussion of aggravating and mitigating circumstances with the following statement:
“Before imposing sentence, this Court has carefully studied and considered all the evidence and testimony at trial and at advisory sentence proceedings, the pre-sentence Investigation Report, the applicable Florida Statutes, the case law, and all other factors touching upon this case.” App. 47.
The trial court ultimately concluded that “[tjhere are no mitigating circumstances that outweigh the aggravating circumstances.” Id., at 61. The Court concedes that the trial court’s prefatory statement indicates that the judge did in fact consider the evidence of nonstatutory mitigating circumstances presented by Parker, ante, at 314-315, but nonetheless asserts that his concluding statement cannot be interpreted to mean that he did not find any nonstatutory mitigating circumstances to exist. As explained above, the Court — hard as it may try — cannot plausibly escape the fact that the statement is ambiguous. Accordingly, as noted above, under Wainwright v. Goode, supra, federal courts are
Furthermore, there is nothing implausible about the interpretation the Florida Supreme Court gave to the trial court’s order. The Court asserts that the trial judge must have found “drug and alcohol intoxication, more lenient sentencing for the perpetrator of the crime, [and Parker’s] character and background,” ante, at 315, as nonstatutory mitigating circumstances, and that “the strongest indication that the trial judge found nonstatutory mitigating circumstances is that the judge overrode the jury’s sentencing recommendation for the Sheppard murder, but not for the Padgett murder.” Ante, at 316. The latter proposition, according to the Court, flows from the fact that although the mitigating evidence with respect to both murders was the same, the judge overrode only one of the sentences. The Court reasons that if the trial judge had actually found that there were no mitigating circumstances in either case, then he surely would have overridden both life sentences. Ante, at 316-317.
This reasoning ignores the differences between the two crimes. The trial court found six aggravating circumstances with respect to the Sheppard murder and five with respect to the Padgett murder. Although superficially that difference may not appear very significant, in reality it is, because the aggravating circumstance that the court found present in the Sheppard murder but not in the Padgett murder was that the Sheppard murder was “committed for the purpose of avoiding or preventing a lawful arrest or effecting an escape from custody.” App. 57. It cannot be seriously disputed that this was the primary, if not sole, motive for killing Nancy Sheppard. This factor goes to the very nature of the Sheppard murder and readily distinguishes it from the Padgett murder.
Padgett was killed in a dispute over payment for illegal drugs. After Tommy Groover and Parker confronted Padgett about his drug debts, they took him to a junkyard
By contrast, Sheppard, a teenager, was essentially an innocent bystander who had no connection to Parker other than that her boyfriend was Padgett. Parker and his accomplices tricked her into accompanying them to the scene of the Padgett murder where they brutally killed her in a pathetic attempt to avoid detection .for the Padgett murder. On Parker’s orders, William Long shot Sheppard in the head as she knelt down near Padgett’s body. Id., at 58, 59. Parker had threatened to kill Long if he did not shoot Sheppard, see id., at 56, 58, 59, a threat driven home by the fact that Parker had previously been convicted and imprisoned for shooting Long, see Tr. 1257-1259, 1340, 1884, 1888, and Parker himself slit Sheppard’s throat to insure that the job was done. App. 58, 59. It is not necessary to resort to the imaginative stretch the Court engages in today to see why the trial court might have chosen to override the jury recommendation for the Sheppard murder but not the Padgett murder.
Likewise, an examination of the record reveals why neither the trial court nor the Florida Supreme Court “must” have found nonstatutory mitigating circumstances sufficiently established to require weighing against the aggravating circumstances. The Court’s reliance on the disparity in the sentence Parker’s accomplice, Long, received is nothing more than another creative reconstruction of the record. The State’s theory at trial was that Long feared Parker and that he shot Sheppard only after Parker threatened to kill him if he did not kill Sheppard. In its written sentencing order, the trial court specifically found that Parker “forced
The Court also suggests that the trial judge must have found “drug and alcohol intoxication” and Parker’s “character and background,” ante, at 315, as nonstatutory mitigating circumstances. Again, however, the record compels no such conclusion. With respect to the “intoxication” circumstance, all but one of the references the Court makes to the trial transcript involve either inconclusive testimony by various witnesses being questioned by Parker’s counsel in an obvious
Furthermore, this testimony is not corroborated by any physical or medical evidence, and it is for the most part inconclusive and equivocal. For example, when Long was asked whether Parker and some of his companions were high at the time they went to get Nancy Sheppard, he replied “[a]s far as I know. I didn’t ask them but they seemed like they were.” Id., at 1402. Denise Long, who was visited by Parker and Tommy Groover after the murders had been committed, was asked whether Parker and Groover were high when she saw them. Her response was “[w]ell, there’s a difference in being high and just like you are hung over. They looked like they were just hung over from being high or drunk.” Id., at 1619. In fact, the State recalled one witness, Lewis Bradley, who had seen Parker and Groover after the murder and he testified that “they seemed like they had been drinking a couple of beers or something, but they seemed like they had control of theirselves.” Id., at 1632.
As counsel for the State urged at oral argument, the trial court reasonably could have concluded that there was insufficient evidence to show that Parker was intoxicated on drugs or alcohol at the time of the crimes. Tr. of Oral Arg. 34. There was testimony suggesting that Parker and his companions had been drinking or had taken some drugs at some point during the time period leading up to the murders, but there was no conclusive evidence that Parker was in fact intoxicated or that his actions were in any way affected by drugs or alcohol.
Finally, the Court attempts to explain away the trial court’s failure to discuss any nonstatutory mitigating circumstances by suggesting that the judge did not discuss such circumstances because he was not required by statute to make written findings regarding them. Ante, at 317. This is a strange suggestion, particularly in light of the Court’s assertion that the judge’s statement that “there are no mitigating circumstances that outweigh the aggravating circumstances” means that the judge found nonstatutory mitigating circumstances but determined that they were outweighed. If that were the case, and the trial court had found nonstatutory mitigating circumstances sufficient to merit “weighing,” it
I cannot countenance the Court’s radical departure from our prior cases and cannot agree with its imaginative reconstruction of the record in this case. Therefore, I dissent and would affirm the judgment of the Court of Appeals.
Notes
Apparently, the Court would agree with the Florida Supreme Court’s interpretation of the trial court’s order if the judge had simply said that there are “no mitigating circumstances to outweigh the aggravating circumstances.” Instead of the word “to” he used the word “that” and the Court seizes upon that fact to reach its conclusion that he must have found some mitigating circumstances to exist. Ante, at 318. The Court’s semantic acrobatics are not well taken. The trial judge’s use of the word “that” obviously could mean either that (1) there were no mitigating circumstances at all (and by definition they could not outweigh the aggravating circumstances) or (2) there were mitigating circumstances but they were outweighed. That being so, the statement is obviously ambiguous and the Court’s creative reconstruction of the record in its desperate stretch to reverse Parker’s sentence is contrary to our cases as well as extremely inappropriate and ill advised.
The Court’s holding also rests upon the faulty factual assumption that the Florida Supreme Court never considered Parker’s evidence of non-statutory mitigating circumstances. In both his opening brief before that court and in his petition for rehearing, Parker extensively argued that his evidence established the existence of nonstatutory mitigating circumstances. See Brief for Appellant in No. 63,700 (Fla. Sup. Ct.), pp. 73, 77-79; Reply Brief for Appellant 23-25; Petition for Rehearing 1-5. Thus, it is preposterous to conclude that the Florida Supreme Court was unaware of this evidence or that it failed to consider it.
This in fact was Parker’s initial argument before the Florida Supreme Court. See Brief for Appellant in No. 63,700, p. 82 (“Nowhere in the sentencing order is there any indication that the court considered any non-statutory mitigating factors”). See also id,., at 73, 77-79, 82-83. Therefore, not even Parker interpreted the trial court’s findings in the manner the Court now suggests is the only plausible interpretation.
The Court’s statement that the State “conceded this fact in oral argument before this Court,” ante, at 316, is misleading. What the State’s counsel said in response to questions regarding the existence of this non-statutory mitigating circumstance was that different defendants did receive different sentences but the State’s counsel ultimately answered that “[t]he trial judge in this case — I think he took it into account and found that it was not a valid nonstatutory mitigating circumstance based on the facts and Mr. Parker’s participation in the Nancy Sheppard murder.” Tr. of Oral Arg. 36. The State did concede the fact that Long “got a life sentence,” id., at 36, but it certainly did not concede, as the Court implies, that the nonstatutory mitigating circumstance had been established.
It is not insignificant that in the trial court Parker argued the statutory mitigating circumstance that his capacity to appreciate the criminality of his conduct, or to conform his conduct to the requirements of the law, was substantially impaired. Fla. Stat. §921.141(6)(f) (1985 and Supp. 1990). The basis for this alleged impairment was intoxication on drugs
“Never, at any time, was it contended that the defendant was insane or incompetent at the time of the crime or at trial — nor was there any evidence or testimony that he was substantially impaired in his ability to appreciate the criminality of his conduct or to conform it to the requirements of the law.
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“The defendant not only appreciated the criminality of his conduct — but acting on that appreciation, he murdered two other persons to prevent disclosure of the first murder.
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“Although the defendant was examined by his private psychiatrist, there was no testimony or evidence that his ability to conform his conduct to the requirements of the law was substantially or even slightly impaired.” App. 52-53 (emphasis added). .
Witnesses testifying as to Parker’s background and character included his mother, grandmother, sister, and a cousin.
Once it is recognized that the Florida Supreme Court’s interpretation of the trial court’s findings is plausible and must be deferred to, then that court’s action in affirming Parker’s death sentence comports with our eases, see Barclay v. Florida,
Although I would affirm the judgment of the Court of Appeals, I would do so for reasons different than those relied upon by that court.
