Lead Opinion
delivered the opinion of the Court.
The death sentence of the petitioner in this case was decreed by a judgment that became final before we decided
I
In June 1982, Ray McWilliams and his wife, Nell, were shot to death in their Jackson, Mississippi, home as part of an armed robbery. The petitioner James R. Stringer did not fire the fatal shots, but he did plan the robbery and take part in it. The killing was part of his plan from the outset. The crimes, and their gruesome aspects, are described in the opinion of the Mississippi Supreme Court on direct review of the conviction and sentence. Stringer v. State,
Under Mississippi law the death sentence may be imposed for murders designated by statute as “capital murder.” Miss. Code Ann. § 97-3-19(2) (Supp. 1991). A killing in the course of a burglary or robbery is included within that category. Following a capital murder conviction, the jury in the Mississippi system proceeds to the sentencing phase of the case. For a defendant who has been convicted of capital murder to receive the death sentence, the jury must find at least one of eight statutory aggravating factors, and then it must determine that the aggravating factor or factors are not outweighed by the mitigating circumstances, if any. §99-19-101.
The jury found petitioner guilty of capital murder in the course of a robbery. In the sentencing phase the jury found that there were three statutory aggravating factors. The
“1. The Defendant contemplated that life would be taken and/or the capital murder was intentionally committed and that the Defendant was engaged in an attempt to commit a robbery; and was committed for pecuniary gain.
“2. The capital murder was committed for the purpose of avoiding or preventing the detection and lawful arrest of James R. Stringer, the Defendant.
“3. The capital murder was especially heinous, atrocious or cruel.” Brief for Respondents 4.
The trial court in its instructions did not further define the meaning of the third factor.
On direct review the Mississippi Supreme Court affirmed. Stringer v. State, supra. With respect to the sentence, the court found it was not “imposed under the influence of passion, prejudice or any other arbitrary factor,” id., at 478; “the evidence fully supported] the jury’s finding of statutorily required aggravating circumstances,” id., at 479; and the death sentence was not disproportionate to sentences imposed in other cases, ibid. Petitioner’s conviction became final when we denied certiorari on February 19,1985. Stringer v. Mississippi,
This case comes to us from proceedings begun when petitioner filed his first federal habeas petition in the United States District Court for the Southern District of Mississippi. The relevant claim is petitioner’s contention that the third aggravating factor found by the jury and considered in the sentencing proceeding, the “heinous, atrocious or cruel” aggravating factor, was so vague as to render the sentence arbitrary, in violation of the Eighth Amendment’s proscription of cruel and unusual punishment. The District Court found the claim subject to a procedural bar and, in the alter
Without consideration of the procedural bar question, the Court of Appeals affirmed on the merits, finding no constitutional infirmity in the jury’s consideration of the third aggravating factor because two other aggravating factors were unchallenged. Stringer v. Jackson,
I — l I — i
Subject to two exceptions, a case decided after a petitioner’s conviction and sentence became final may not be the predicate for federal habeas corpus relief unless the decision was dictated by precedent existing when the judgment in question became final. Butler v. McKellar,
When a petitioner seeks federal habeas relief based upon a principle announced after a final judgment, Teague and our
A
A determination whether Maynard and Clemons announced a new rule must begin with Godfrey v. Georgia,
In the case now before us Mississippi does not argue that Maynard itself announced a new rule. To us this appears a wise concession. Godfrey and Maynard did indeed involve somewhat different language. But it would be a mistake to conclude that the vagueness ruling of Godfrey was limited
B
Of more substance is the State’s contention that it was a new rule to apply the Godfrey and Maynard holdings to the Mississippi sentencing process. The State argues this must have been an open question when petitioner’s sentence became final, with Clemons yet undecided. We acknowledge there are differences in the use of aggravating factors under the Mississippi capital sentencing system and their use in the Georgia system in Godfrey. In our view, however, those differences could not have been considered a basis for denying relief in light of precedent existing at the time petitioner’s sentence became final. Indeed, to the extent that the differences are significant, they suggest that application of the Godfrey principle to the Mississippi sentencing process follows, a fortiori, from its application to the Georgia system.
1
The principal difference between the sentencing schemes in Georgia and Mississippi is that Mississippi is what we have termed a “weighing” State, while Georgia is not. See Clemons v. Mississippi,
That Mississippi is a weighing State only gives emphasis to the requirement that aggravating factors be defined with some degree of precision. By express language in Zant we left open the possibility that in a weighing State infection of the process with an invalid aggravating factor might require invalidation of the death sentence. Id., at 890. Although we later held in Clemons v. Mississippi that under such circumstances a state appellate court could reweigh the aggravating and mitigating circumstances or undertake harmless-error analysis, we have not suggested that the Eighth Amendment permits the state appellate court in a weighing State to affirm a death sentence without a thorough analysis of the role an invalid aggravating factor played in the sentencing process.
We require close appellate scrutiny of the import and effect of invalid aggravating factors to implement the well-established Eighth Amendment requirement of individualized sentencing determinations in death penalty cases. See Zant, supra, at 879; Eddings v. Oklahoma,
These principles of appellate review were illustrated by our decision in Barclay v. Florida,
In view of the well-established general requirement of individualized sentencing and the more specific requirement that a sentence based on an improper factor be reassessed with care to assure that proper consideration was given, there was no arguable basis to support the view of the Court of Appeals that at the time petitioner’s sentence became final the Mississippi Supreme Court was permitted to apply a rule of automatic affirmance to any death sentence supported by multiple aggravating factors, when one is invalid.
With respect to the function of a state reviewing court in determining whether the sentence can be upheld despite the use of an improper aggravating factor, the difference between a weighing State and a nonweighing State is not one of “semantics,” as the Court of Appeals thought, Stringer v.
2
Although it made no similar argument in Clemons itself, the State contends now that before Clemons it was reasonable to believe there was no constitutional requirement to define aggravating factors with precision in the Mississippi system. It points to the fact that in order for a jury to find a defendant guilty of capital murder it must find that the crime fits within the narrow and precise statutory definition of that offense. Any additional consideration of aggravating factors during the sentencing phase, under this view, is of no constitutional significance because the requisite differentia
In Louisiana, a person is not eligible for the death penalty unless found guilty of first-degree homicide, a category more narrow than the general category of homicide.
In Lowenfield, the petitioner argued that his death sentence was invalid because the aggravating factor found by the jury duplicated the elements it already had found in determining there was a first-degree homicide. We rejected the argument that, as a consequence, the Louisiana sentencing procedures had failed to narrow the class of death-eligible defendants in a predictable manner. We observed that “[t]he use of ‘aggravating circumstances’ is not an end in itself, but a means of genuinely narrowing the class of death-eligible persons and thereby channeling the jury’s discretion. We see no reason why this narrowing function may not be performed by jury findings at either the sentencing phase of the trial or the guilt phase.” Id., at 244-246. We went on to compare the Louisiana scheme with the Texas scheme, under which the required narrowing occurs at the guilt phase. Id., at 246 (discussing Jurek v. Texas, 428 U. S.
The State’s premise that the Mississippi sentencing scheme is comparable to Louisiana’s is in error. The Mississippi Supreme Court itself has stated in no uncertain terms that, with the exception of one distinction not relevant here, its sentencing system operates in the same manner as the Florida system; and Florida, of course, is subject to the rule forbidding automatic affirmance by the state appellate court if an invalid aggravating factor is relied upon. In considering a Godfrey claim based on the same factor at issue here, the Mississippi Supreme Court considered decisions of the Florida Supreme Court to be the most appropriate source of guidance. In Gilliard v. State,
“In Dobbert. . . the Florida Supreme Court held that even though the lower court considered two circumstances which would not pass constitutional muster and did not amount to aggravating circumstances, there was one aggravating circumstance which existed and that it was sufficient to uphold the death penalty. The only distinction between Dobbert and the present case is that in Dobbert, under Florida law, the judge determined the sentence without a jury.” Gilliard, supra, at 586.
Whether the Mississippi Supreme Court in Gilliard was adopting the kind of harmless-error rule we approved in Barclay,
As a matter of federal law, moreover, the view of the Mississippi Supreme Court that Godfrey’s dictates apply to its capital sentencing procedure is correct. Indeed, it is so evident that the issue was not even mentioned in Clemons. There we took for granted, and the State did not challenge, the proposition that if a State uses aggravating factors in deciding who shall be eligible for the death penalty or who shall receive the death penalty, it cannot use factors which as a practical matter fail to guide the sentencer’s discretion. See Clemons,
Even were we free to ignore the Mississippi Supreme Court’s understanding of the way its own law works, we would reject the suggestion that Lowenfield could form the basis for an argument that Godfrey does not apply to Mississippi. Although our precedents do not require the use of aggravating factors, they have not permitted a State in which aggravating factors are decisive to use factors of vague or imprecise content. A vague aggravating factor employed for the purpose of determining whether a defendant is eligible for the death penalty fails to channel the sen-tencer’s discretion. A vague aggravating factor used in the weighing process is in a sense worse, for it creates the risk that the jury will treat the defendant as more deserving of the death penalty than he might otherwise be by relying upon the existence of an illusory circumstance. Because the
Nothing in Lowenfield suggests that the proscription of vague aggravating factors does not apply to a capital sentencing system like Mississippi’s. Lowenfield did not involve a claim that a statutory aggravating factor was ambiguous, and its relevance to Godfrey, which it did not find it necessary to cite, or the line of cases following from Godfrey, is slight at best.
We also note that the State’s reliance on Lowenfield to show that it could not have anticipated Godfrey’s application to Mississippi is somewhat odd. For Lowenfield, after all, was decided when the petitioner’s conviction and sentence already were final. It is a fiction for the State to contend that in 1984 its courts relied on a 1988 decision. This is not to say that a State could not rely on a decision announced after a petitioner’s conviction and sentence became final to defeat his claim on the merits. It could. Insofar as our new rule jurisprudence “validates reasonable, good-faith interpretations of existing precedents,” Butler v. McKellar,
The State next argues that Clemons’ application of God-frey to Mississippi could not have been dictated by precedent because prior to Clemo'ns the Fifth Circuit concluded that Godfrey did not apply to Mississippi. See Evans v. Thigpen,
The Fifth Circuit’s pre-Clemons views are relevant to our inquiry, see Butler, supra, at 415, but not dispositive. The purpose of the new rule doctrine is to validate reasonable interpretations of existing precedents. Reasonableness, in this as in many other contexts, is an objective standard, and the ultimate decision whether Clemons was dictated by precedent is based on an objective reading of the relevant cases. The short answer to the State’s argument is that the Fifth Circuit made a serious mistake in Evans v. Thigpen and Johnson v. Thigpen. The Fifth Circuit ignored the Mississippi Supreme Court’s own characterization of its law and accorded no significance to the fact that in Mississippi aggravating factors are central in the weighing phase of a capital sentencing proceeding. As we have explained, when these facts are accorded their proper significance, the precedents even before Maynard and Clemons yield a well-settled principle: Use of a vague or imprecise aggravating factor in the weighing process invalidates the sentence and at the very least requires constitutional harmless-error analysis or reweighing in the state judicial system.
We reverse the decision of the Court of Appeals and remand the case for further proceedings consistent with this opinion.
It is so ordered.
Dissenting Opinion
with whom Justice Scalia and Justice Thomas join, dissenting.
Today the Court holds that no reasonable jurist could have believed in 1985, two years after Zant v. Stephens,
I
Under the principle first announced in Teague v. Lane,
Petitioner’s conviction became final for Teague purposes on February 19,1985. He now claims the benefit of the rule that an Eighth Amendment violation occurs when a sen-tencer in a weighing State considers a vague aggravating circumstance, even if the sentencer has also found the existence of at least one other aggravating circumstance that is neither vague nor otherwise infirm. Because this Court never endorsed that position before February 19,1985,1 will discuss the relevant pre-1985 decisions, infra, Part I-A, and
A
The cases determining the apposite law before 1985 start with Godfrey v. Georgia,
After Godfrey came Zant v. Stephens,
The last relevant pre-1985 decision is Barclay v. Florida,
B
The first case in which this Court applied the rule from which petitioner seeks to benefit was Maynard v. Cartwright,
This Court affirmed, holding that Godfrey controlled because the “especially heinous, atrocious, or cruel” circumstance gave no more guidance than the “outrageously or
Cartwright was followed by Clemons v. Mississippi,
In rejecting a more relaxed rule “authorizing or requiring affirmance of a death sentence so long as there remains at least one valid aggravating circumstance,” the Court explained:
“An automatic rule of affirmance in a weighing State would be invalid under Lockett v. Ohio,438 U. S. 586 (1978), and Eddings v. Oklahoma,455 U. S. 104 (1982), for it would not give defendants the individualized treatment that would result from actual reweighing of the mix of mitigating factors and aggravating circumstances. Cf. Barclay v. Florida, [supra, at 958].” Id., at 752.
See also Parker v. Dugger,
Today the Court adds to Clemons’ explanation by reasoning that a sentencer’s weighing of a vague aggravating circumstance deprives the defendant of individualized sentencing because it “creates the possibility ... of randomness.” Ante, at 236. The Court says that a sentencer’s weighing of a vague aggravating circumstance may “ske[w]” the weighing process, ante, at 232, by placing a “thumb [on] death’s side of the scale,” ibid., by “creating] the risk [of] treating] the defendant as more deserving of the death penalty,” ante, at 235-236, or by “creating] the possibility ... of bias in favor of the death penalty,” ibid.
II
Like Godfrey and Stephens, the petitioner in the instant case was sentenced to death after a finding of a vague aggra
It is true that the Court in Stephens reserved judgment on the question whether its holding would apply to a weighing State:
*245 “[I]n deciding this case we do not express any opinion concerning the possible significance of a holding that a particular aggravating circumstance is ‘invalid’ under a statutory scheme in which the judge or jury is specifically instructed to weigh statutory aggravating and mitigating circumstances in exercising its discretion whether to impose the death penalty.”462 U. S., at 890 .
I agree that this statement would have put a reasonable jurist on notice that Stephens’ rule might not apply to a weighing State, but the answer to the question reserved was no foregone conclusion. It is worth remembering that the Georgia jury in Stephens was instructed simply to “consider” all aggravating and mitigating evidence, see id., at 871, leaving it with what the respondent described as “unbridled discretion” at the final stage of sentencing, id., at 875, which this Court found to be no violation of the Eighth Amendment, id., at 875-880. If unguided discretion created no risk of randomness, it was hardly obvious that this risk arose when a vague aggravating circumstance was weighed. To conclude after Stephens that the outcome in Cartwright and Clemons was dictated is a leap of reason.
The leap lengthens when one considers Barclay, for I think a reasonable jurist, in 1985, could have concluded that this Court resolved the question reserved in Stephens when it decided Barclay, which strongly implied that the Stephens principle applied to weighing States like Florida. See
It is also true that the concurrence of Justice Stevens and Justice Powell, who cast the deciding votes in Barclay, stated that Florida law required the Supreme Court of Florida to reweigh aggravating and mitigating circumstances. See id., at 974 (opinion concurring in judgment). But that simply responded to Barclay’s argument that the Supreme Court of Florida failed to perform the quantum of appellate review that the Constitution requires in every capital case (regardless of whether the trial court commits state-law error). See id., at 972-973. Justice Stevens’ opinion merely noted that the principal opinion in Proffitt v. Florida,
Although Barclay may be read as assuming that some appellate test must be passed if a death verdict is to stand in a weighing State despite the finding of an invalid aggravating
In sum, after Barclay, a jurist mindful of the Stephens caveat could reasonably have assumed that weighing one invalid aggravating circumstance along with one or more valid ones need not be treated as significant enough to amount to constitutional error in a State that at least provided appellate review for proportionality. That is dispositive under Teague: a reasonable reading of Barclay bars the conclusion that the result in Cartwright and Clemons was dictated by the cases on our books in 1985.
The Fifth Circuit, indeed, held as recently as 1988 that the rule in Stephens applied to a weighing State. See Stringer v. Jackson,
III
In sum, I do not think that precedent in 1985 dictated the rule that weighing a vague aggravating circumstance neees-
Notes
There are only hints in its opinion of the reason this distinction made a difference. See
The mere fact that an aggravating circumstance inclines a senteneer more towards imposing the death penalty cannot, of course, violate the Eighth Amendment. I therefore read the majority opinion to object to the weighing of vague aggravating circumstances only because they skew the operation of the scheme by their random application from case to case.
1 say vague and not, as the majority does, invalid, see ante, at 230,231. There might indeed have been invalid aggravating circumstances whose consideration, even with one or more valid ones, would have tainted an ensuing death sentence in any reasonable view in 1985. Thus, it would have been unreasonable to believe in 1985 that a capital sentence could stand, without more, if the sentencer had been instructed, say, to consider constitutionally protected behavior in aggravation. See Barclay v. Florida,
Because, in this case, valid aggravating circumstances remained, I need not discuss respondents’ argument that it was reasonable to believe in 1985 that the Mississippi murder statute performed all constitutionally required narrowing in the guilt phase of petitioner’s trial. Cf. Lowenfield v. Phelps,
This was after we announced Cartwright. The Fifth Circuit distinguished that case in the same way the Supreme Court of Mississippi distinguished Cartwright in Clemons. See Stringer,
