Lead Opinion
delivered the opinion of the Court.
In this case, we decide whether Ring v. Arizona,
In April 1981, Finance America employee Brenna Bailey disappeared while on a house call to discuss an outstanding debt with respondent Warren Summerlin’s wife. That evening, an anonymous woman (later identified as respondent’s mother-in-law) called the police and accused respondent of murdering Bailey. Bailey’s partially nude body, her skull crushed, was found the next morning in the trunk of her car, wrapped in a bedspread from respondent’s home. Policе arrested respondent and later overheard him make incriminating remarks to his wife.
Respondent was convicted of first-degree murder and sexual assault. Arizona’s capital sentencing provisions in effect at the time authorized the death penalty if one of several enumerated aggravating factors was present. See Ariz. Rev. Stat. Ann. §§ 13-703(E), (F) (West 1978), as amended by Act of May 1, 1979 Ariz. Sess. Laws ch. 144. Whether those aggravating factors existed, however, was determined by the trial judge rather than by a jury. § 13-703(B). In this case the judge, after a hearing, found two aggravating factors: a prior felony conviction involving use or threatened use of violence, § 13-703(F)(2), and commission of the offense in an especially heinous, cruel, or depraved manner, § 13-703(F)(6). Finding no mitigating factors, the judge imposed the death sentence. The Arizona Supreme Court affirmed on direct review. State v. Summerlin,
Protracted state and federal habeas proceedings followed. While respondent's case was pending in the Ninth Circuit, we decided Apprendi v. New Jersey,
The Ninth Circuit, relying on Ring, invalidated respondent’s death sentence. Summerlin v. Stewart,
II
When a decision of this Court results in a “new rule,” that rule applies to all criminal cases still pending on direct review. Griffith v. Kentucky,
New rules of procedure, on the other hand, generally do not apply retroactively. They do not produce a class of persons convicted of conduct the law does not make criminal, but merely raise the possibility that someone convicted with use of the invalidated procedure might have been acquitted otherwise. Because of this more speculative connection to innocence, we give retroactive effect to only a small set of “ ‘watershed rules of criminal procedure’ implicating the fundamental fairness and accuracy of the criminal proceeding.” Saffle, supra, at 495 (quoting Teague,
The Ninth Circuit agreed with the State that Ring announced a new rule.
A
A ruléis substantive rather than procedural if it alters the range of conduct or the class of persons that the law punishes. See Bousley, supra, at 620-621 (rule “hold[s] that a . . . statute does not reach certain conduct” or “make[s] conduct criminal”); Saffle, supra, at 495 (rule “decriminalize[s] a class of conduct [or] prohibit^] the imposition of . . . punishment on a particular class of persons”). In contrast, rules that regulate only the manner of determining the defendant’s culpability are procedural. See Bousley, supra, at 620.
Judged by this standard, Ring’s holding is properly classified as procedural. Ring held that “a sentencing judge, sitting without a jury, [may not] find an aggravating circumstance necessary for imposition of the death penalty.”
Respondent nevertheless argues that Ring is substantive because it modified the elements of the offense for which he was convicted. He relies on our statement in Ring that, “[b]ecause Arizona’s enumerated aggravating factors operate as ‘the functional equivalent of an element of a greater offense,’ the Sixth Amendment requires that they be found by a jury.”
A decision that modifies the elements of an offense is normally substantive rather than procedural. New elements alter the range of conduct the statute punishes, rendering some formerly unlawful conduct lawful or vice versa. See Bousley,
B
Respondent argues in the alternative that Ring falls under the retroactivity exception for “ ‘watershed rules of criminal procedure’ implicating the fundamental fairness and accuracy of the criminal proceeding.” Saffle,
The question here is not, however, whether the Framers believed that juries are more accurate factfinders than judges (perhaps so — they certainly thought juries were more independent, see Blakely v. Washington, ante, at 305-308). Nor is the question whether juries actually are more accurate factfinders than judges (again, perhaps so). Rather, the question is whether judicial factfinding so “seriously dimin-
First, for every argument why juries are more accurate factfinders, there is another why they are less accurate. The Ninth Circuit dissent nоted several, including juries’ tendency to become confused over legal standards and to be influenced by emotion or philosophical predisposition.
Our decision in DeStefano v. Woods,
The dissent contends that juries are more accurate because they better reflect community standards in deciding whether, for example, a murder was heinous, cruel, or depraved. Post, at 361-362 (opinion of Breyer, J.). But the statute here does not condition death eligibility on whether the offense is heinous, cruel, or depraved as determined by community standards. See Ariz. Rev. Stat. Ann. § 13-703(F)(6) (West 1978). It is eаsy to find enhanced accuracy in jury determination when one redefines the statute’s substantive scope in such manner as to ensure that result. The dissent also advances several variations on the theme that death is different (or rather, “dramatically different,” post, at 363). Much of this analysis is not an application of Teague, but a rejection of it, in favor of a broader endeavor to “balance competing considerations,” post, at 362. Even were we inclined to revisit Teague in this fashion, we would not agree with the dissent’s conclusions. Finally, the dissent notes that, in DeStefano, we considered factors other than
* * *
The right to jury trial is fundamental to our system of criminal procedure, and States are bound to enforce the Sixth Amendment’s guarantees as we interpret them. But it does hot follow that, when a criminal defendant has had a full trial and one round of appeals in which the State faithfully applied the Constitution as we understood it at the time, he may nevertheless continue to litigate his claims indefinitely in hopes that we will one day have a change of heart. Ring announced a new procedural rule that does not apply retroactively to cases already final on direct review. The contrary judgment of the Ninth Circuit is reversed, and the case is remanded for further proceedings consistent with this opinion.
It is so ordered.
Notes
Because Arizona law already required aggravating factors to be proved beyond a reasonable doubt, see State v. Jordan,
Because respondent filed his habeas petition before the effective date of the Antiterrorism and Effective Death Penalty Act of 1996, 110 Stat. 1214, the provisions of that Act do not aрply. See Lindh v. Murphy,
The State also sought certiorari on the ground that there was no Apprendi violation because the prior-conviction aggravator, exempt from Apprendi under Almendarez-Torres v. United States,
We have sometimes referred to rules of this latter type as falling under an exception to Teague’s bar on retroactive application of procedural rules, see, e. g., Horn v. Banks,
Respondent also argues that Ring was substantive because our understanding of Arizona law changed. Compare Ring v. Arizona,
The dissent distinguishes DeStefano on the ground that “this ease involves only a small subclass of defendants deprived of jury trial rights, the relevant harm within that subclass is more widespread, the administration of justice problem is far less serious, and the reliance interest less weighty.” Post, at 366. But the first, third, and fourth of these points are irrelevant under Teague, and the second, insofar as it relates to accuracy, is an unsubstantiated assertion. If jury trial significantly enhances accuracy, we would not have beеn able to hold as we did in DeStefano that the first factor — “preventing] arbitrariness and repression,”
Dissenting Opinion
with whom Justice Stevens, Justice Souter, and Justice Ginsburg join, dissenting.
In Ring v. Arizona,
Teague v. Lane,
The majority does not deny that Ring meets the first criterion, that its holding is “implicit in the concept of ordered liberty.” Cf. Apprendi v. New Jersey,
“Juries — comprised as they are of a fair cross section of the community — are more reprеsentative institutions than is the judiciary; they reflect more accurately the composition and experiences of the community as a whole, and inevitably make decisions based on community values more reliably, than can that segment of the community that is selected for service on the bench.” Spaziano, supra, at 486-487 (footnote omitted).
On this view of the matter, the right to have jury sentencing in the capital context is both a fundamental aspect of constitutional liberty and also significantly more likely to produce an accurate assessment of whether death is thе appropriate punishment.
But my view is not the Ring majority’s view. The majority held only that the jury must decide whether the special aggravating factors that make the offender eligible for death are present.
The majority, however, overlooks three additional considerations that lead me to thе opposite conclusion.
First, the factfinder’s role in determining the applicability of aggravating factors in a death case is a special role that can involve, not simply the finding of brute facts, but also the making of death-related, community-based value judgments. The leading single aggravator charged in Arizona, for example, requires the factfinder to decide whether the crime was committed in an “especially heinous, cruel, or depraved manner.” Ariz. Rev. Stat. Ann. § 13-703(F)(6) (West Supp. 2003); see Office of Attorney General, State of Arizona, Capital Case Commission Final Report (2002). Three of the other four Ring-affected States use a similar aggravator. See Colo. Rev. Stat. § 18-1.3-1201(5)(j) (Lexis 2003); Idaho Code § 19-2515(9)(e) (Lexis Supp. 2003); Neb. Rev. Stat. §29-2523(1)(d) (1995). Words like “especially heinous,” “cruel,” or “depraved” — particularly when asked in the context of a death sentence proceeding — require reference to community-based standards, standards that incorporate values. (Indeed, Nebraska’s standard explicitly asks the fact-
Second, Teague’s basic purpose strongly favors retroactive application of Ring’s rule. Teague’s retroactivity principles, reflect the Court’s effort to balance competing considerations. See
Where death-sentence-related factfinding is at issue, these considerations have unusually strong force. This Court has made clear that in a capital case “the Eighth Amendment requires a greater degree of accuracy . . . than would be true in a noncapital case.” Gilmore v. Taylor,
Consider, too, the law’s commitment to uniformity. Mackey, supra, at 689. Is treatment “uniform” when two offenders each have been sentenced to death through the-use of procedures that we now know violate the Constitution— but one is allowed to go to his death while the other receives a new, constitutionally proper sentencing proceeding? Outside the capital sentencing context, one might understand the nature of the difference that the word “finality” implies: One prisoner is already serving a final sentence, the other’s has not yet begun. But a death sentence is different in that it seems to be, and it is, an entirely future event — an event not yet undergone by either prisoner. And in respect to that event, both prisoners are, in every important respect, in the same position. I understand there is a “finality-based” difference. But given the dramatically different nature of death, that difference diminishes in importance.
Certainly the ordinary citizen will not understand the difference. That citizen will simply witness two individuals, both sentenced through the use of unconstitutional procedures, one individual going to his death, the other saved, all through an accident of timing. How can the Court square this spectacle with what it has called the “vital importance to the defendant and to the community that any decision to impose the death sentence be, and appear to be, based on reason”? Beck v. Alabama,
Justice Scalia’s observation, in his concurring opinion in Ring, underscores the point. He wrote there that “the repeated spectacle of a man’s going to his death because a judge found that an aggravating factor existed” would undermine “our people’s traditional . . . veneration for the protection of the jury in criminal cases.”
On the other hand, Teague recognizes that importаnt interests argue against, and indeed generally forbid, retroactive application of new procedural rules. These interests include the “interest in insuring that there will at some point be the certainty that comes with an end to litigation”; the desirability of assuring that “attention will ultimately be focused not on whether a conviction was free from error but rather on whether the prisoner can be restored to a useful place in the community”; and the fact that society does not have endless resources to spend upon retrials, whiсh (where witnesses have become unavailable and other evidence stale) may well produce unreliable results. Mackey, supra, at 690-691 (internal quotation marks Omitted); see also Teague,
Certain of these interests are unusually weak where capital sentencing proceedings are at issue. Retroactivity here, for example, would not require inordinate expenditure of state resources. A decision making Ring retroactive would affect approximately 110 individuals on death row. Court Hears Arguments in Latest Death Case, N. Y. L. J., Apr. 20, 2004, p. 5. This number, however large in absolute terms, is small compared with the approximately 1.2 million individuals presently confined in state prisons. U. S. Dept. of Justice, Bureau of Justice Statistics Bulletin, Prisoner and Jail Inmates at Midyear 2003, p. 2 (May 2004). Consequently, the impact on resources is likely to be much less than if a rule affecting the ordinary criminal process were made retroactive.
Further, where the issue is “life or death,” the concern that “attention... ultimately” should be focused “on whether the prisoner can be restored to a useful place in the community” is barely relevant. Mackey,
Third, DeStefano v. Woods,
The latter two factors, “reliance” and “effect on the administration of justice,” argued strongly against retroactivity. Retroaсtivity there, unlike here, would have thrown the prison doors open wide — at least in Louisiana and possibly in other States as well. Id., at 634. The Court believed that the first factor — “the purpose to be served by the new standards” — also favored prospective application only. But the Court described that purpose broadly, as “preventing] arbitrariness and repression”; it recognized that some judge-only trials might have been fair; and it concluded that the values served by the jury trial guarantee “would not measurably be served by requiring retrial of all persons convicted in the past” without a jury. Id., at 633-634 (emphasis added).
As I have pointed out, the majority does not deny that Ring’s rule makes some contribution to greater accuracy. It simply is unable to say “confidently” that the absence of Ring’s rule creates an “ ‘ “impermissibly large risk” ’ ” that the death penalty was improperly imposed. Ante, at 356. For the reasons stated, I believe that the risk is one that the law need not and should not tolerate. Judged in light of Teague’s basic purpose, Ring’s requirement that a jury, and not a judge, must apply the death sentence aggravators announces a watershed rule of criminal procedure that should be applied retroactively in habeas proceedings.
I respectfully dissent.
