United States v. Donald FellUnited States v. Donald Fell
At issuе in this case is whether the Federal Death Penalty Act of 1994 (the “FDPA”), Pub.L. No. 103-322, Title VI, §§ 60002(a), 108 Stat.1959 (Sept. 13, 1994) (codified at
While it is true that the FRE are inapplicable to death penalty sentencing proceedings under the FDPA, the FRE are
BACKGROUND
Donald Fell was indicted on four counts relating to the abduсtion and murder of Teresea King in late November 2000. Counts 1 and 2 charged Fell with carjacking and kidnapping. Because the charged crimes resulted in death, both counts were charged as capital crimes. On January 30, 2002, the government filed a Notice of Intent to Seek the Death Penalty, which set forth certain statutorily defined aggravating factors the government believed to be implicated in the case. In the summer of 2002, following the Supreme Court’s decision in
Ring v. Arizona,
The defendant moved pre-trial to have the FDPA declared unconstitutional on numerous grounds.
See Fell,
The district court next addressed the defendant’s claim that the assertedly relaxed evidentiary standard applicable during the penalty phase of trial pursuant to
DISCUSSION
I. Appellate Jurisdiction
We have jurisdiction to entertain this interlocutory appeal pursuant to
II. Ripeness
Although neither the district court nor any of the parties has addressed the question, as a threshold matter we must determine whether the defendant’s challenge to the FDPA Standard is ripe for consideration, or whether, instead, the district court properly should have dismissed the claim as premature.
See United States v. Sampson,
“Ripeness is a constitutional prerequisite to exercise of jurisdiction by federal courts. The Court, therefore, can raise the issue
sua sponte.” nutritional Health Alliance v. Shalala,
In order to determine whether an issue is ripe for adjudication, a court must make a fact-specific evaluation of “both the fitness of the issues for judicial decision and the hardship to the parties of withholding court consideration.”
Abbott Labs. v. Gardner,
due regard for the rights of criminal defendants compels the conclusion that ... the defendant's] constitutional challenge to the FDPA was ripe for consideration by the District Court and is ripe for our review. First, the defendant's] argument clearly was fit for adjudication. A challenge to the facial constitutionality of a criminal statute is a pure question of law [that] ... [“]is eminently fit for judicial review.”
... [A] defendant suffers practical and legally cognizable disadvantages by postponing a facial challenge to the death penalty until after trial. Quite apart from a defendant’s obvious desire to know in advance whether he will be risking his life by going to trial, ... a defendant may reasonably prefer the ordinary allocation of peremptory challenges — six for the government, ten for the defense — rather than the allocation in a capital case of twenty fоr each side.... [A] defendant may reasonably prefer a jury on which persons who are conscientiously opposed to the death penalty are not excused for cause.
Further, if the death penalty remains a possibility during trial, a defendant may be forced into trial tactics that are designed to avoid the death penalty but that have the consequence of making conviction more likely. Moreover, the possibility of capital punishment frequently induces defendants to enter into plea agreements in order to guarantee their own survival. And the Supreme Court has specifically held that “a plea of guilty is not invalid merely because entered to avoid the possibility of a death penalty.” Accordingly, to the extent that a defendant might be disposed to plead guilty before trial in order to avoid capital punishment, withholding consideration of a facial challenge to the death penalty until after trial, conviction and sentence could cause him substantial hardship.
... Because both of the factors for ripeness set forth by the Supreme Court in Abbott Laboratories were present when the District Court considered the constitutionality of the FDPA, the defendants] constitutional challenge to the FDPA was ripe for consideration by the District Court and is now ripe for our review.
Quinones,
Quinones addressed whether prosecution under the FDPA was unconstitutional, a claim that was raised by a defendant whose prosecution under the statute was certain and imminent. See id. at 52. Although we address a hypothetical eviden-tiary decision that may never be required, we nevertheless believe the reasoning of Quinones applies with comparable force here. Accordingly, we conclude that Fell’s FDPA challenge is ripe for consideration.
III. The Federal Death Penalty Act
Under the FDPA, if a defendant is convicted of a federal offense that carries the potential of a death sentence, the defendant is entitled to “a separate sentencing hearing to determine the punishment to be imposed.”
If the jury finds that the government has sustained its burden in this regard, however, the jury must next
consider whether all the aggravating factor or factors found to exist sufficiently outweigh all the mitigating factоr or factors found to exist to justify a sentence of death, or, in the absence of a mitigating factor, whether the aggravating factor or factors alone are sufficient to justify a sentence of death.
Proof of mitigating and aggravating factors.-
The defendant may present any information relevant to a mitigating factor. The government may present any information relevant to an aggravating factor for which notice has been provided under subsection (a). Information is admissible regardless of its admissibility under the rules governing admission оf evidence at criminal trials except that information may be excluded if its probative value is outweighed by the danger of creating unfair prejudice, confusing the issues, or misleading the jury.... The government and the defendant shall be permitted to rebut any information received at the hearing, and shall be given fair opportunity to present argument as to the adequacy of the information to establish the existence of any aggravating or mitigating factor, and as to the appropriateness in the case of imposing a sentence of death.... The burden of establishing the existence of . any aggravating factor is on the government, and is not satisfied unless the existence of such a factor is established beyond a reasonable doubt. The burden of establishing the existence of any mitigating factor is on the defendant, and is not satisfied unless the existence of such a factor is established by a preponderance of the information.
IV. The District Court’s Decision
The district court held that the FDPA Standard is unconstitutional when viewed in light of the Supreme Court’s decisions in
Ring v. Arizona,
In
'Ring,
the Supreme Court held that the aggravating factors necessary for imposition of the death penalty under Arizona’s analogous state death penalty act were elements of a capital crime, such that they had to be submitted to a jury and proved beyond a reasonable doubt in conformity with the reasoning of
Apprendi. See Ring,
Nevertheless, the district court reasoned that in light of the trend in Supreme Court rulings concerning the Constitution’s Indictment Clause, it was not enough to have the case comply with
Ring.
Rather, consideration had to be given to whether the Supreme Court’s reasoning in these cases affects a defendant’s rights during a capital sentencing phase with respect to the “full” or “entire panoply of criminal trial procedural rights.”
Fell,
Following this line of analysis, the district court found that the inapplicability of the FRE to capital penalty phases was inconsistent with the Supreme Court’s repeated admonition that “heightened reliability” is required of cases that impose the death penalty.
Id.
at 476-77. Both the government and the district court appear to have agreed with defendant that the statements of his dead co-defendant would be inadmissible under the FRE but admissible at the penalty phase under the FDPA.
Fell,
The district court also noted that under the reasoning of
Apprendi,
former sentencing factors that are held to be elements of the crime, such as drug quantity, are thereafter tо be submitted to the jury and found beyond a reasonable doubt.
Id.
at 488,
The district court also held that no alternate construction of the FDPA was possible and, thus, that the constitutional question presented by the FDPA Standard could not be avoided, and further, that the FDPA Standard was not severable from the rest of the FDPA because it was an integral part of the statute and its omission would substantially alter it.
Id.
at 489 & n. 10. As a result, the district court concluded that “the FDPA, which bases a finding of eligibility for imposition of the
V. Flaws with, the District Court’s Reasoning
We fully agree with the district court that “heightened reliability” is essential to the process of imposing a death sentence.
As
the Supreme Court has repeatedly emphasized, “the Constitution places special constraints on the procedures used to convict an accused of a capital offense and sentence him to death. The finality of the deаth penalty requires a ‘greater degree of reliability’ when it is imposed.”
Murray v. Giarratano,
What the district court failed to acknowledge, however, is that the Supreme Court has also made clear that in order to achieve such “heightened reliability,” more evidence, not less, should be admitted on the presence or absence of aggravating and mitigating factors:
We think that the Georgia court wisely has chosen not to impose unnecessary restrictions on the evidence that can be offered at [a death penalty] hearing .... So long as the evidence introduced ... at the presentence hearing do not prejudice a defendant, it is prefеrable not to impose restrictions. We think it desirable for the jury to have as much information before it as possible when it makes the sentencing decision.
Gregg v. Georgia,
Facts relevant to, sentencing are far more diffuse than matters relevant to guilt for a particular crime. Adjudications of guilt are deliberately cabined to focus on the particulars of the criminal conduct at issue and to avoid inquiries into tangential matters that may bear on the defendant’s character.
See id.
By contrast, in determining the approрriate punishment, it is appropriate for the sentencing authority, whether jury or judge, to consider a defendant’s whole life and personal make-up.
See id.
(“Highly relevant — if not essen
The FDPA Standard comports with the reasoning of
Williams
and its progeny by excluding only evidence whose probative value is outweighed by the danger of unfair prejudice to the defendant. This prescription permits the admission of evidence that might be excludable under the FRE but is nevertheless both constitutionally permissible and relevant to the determination of whether the death penalty should be imposed in a given case. This standard рermits “the jury [to] have before it all possible relevant information about the individual defendant whose fate it must determine.”
Jurek v. Texas,
In concluding that the FDPA eliminates a defendant’s constitutional rights to due process and to confront and cross-examine witnesses against him at the sentencing hearing, the district court mistakenly assumed that the FRE are the only means to safeguard these rights and to provide the “heightened reliability” necessary in imposing a sentence of death. In doing so, the district court effectively equated the FRE with a defendant’s Constitutional Rights.
See Fell,
The FRE, however, do not set forth the constitutional parameters of admissible evidence, nor does a criminal defendant have a constitutional right to have the FRE in place. Indeed, the FRE аre inapplicable in several criminal proceedings, including sentencing proceedings before a judge.
See
Instead, as the district court conceded,
Fell,
Moreover, as was true before the FRE were promulgated in 1972 and is true under the FRE, it remains for the court, in the exercise of its judgment and discretion, to ensure thаt unconstitutional evidence otherwise admissible under applicable evidentiary rules is excluded from trial. The FDPA does not eliminate this function of the judge as gatekeeper of constitutionally permissible evidence; nor does it alter or “eliminate the constitutional baseline for the admissibility of evidence in a criminal trial.”
United States v. Matthews,
In short, as the Fifth Circuit observed in
Jones,
the FDPA Standard “does not impair the reliability or relevance of
CONCLUSION
For the foregoing reasons, we vacate the judgment of the district court and remand for further proceedings consistent with this opinion. In particular, to avoid further piecemeal litigation, we instruct the district court to collectively dispose of all of the defendant’s remaining pre-trial challenges.
Notes
. In fact, Judge Winter is of the view that, even in the absence of the express language of the FDPA, the FRE would be inapplicable to a capital penalty phase under
. Title
In a criminal case an appeal by the United States shall lie to a court of appeals from a decision, judgment, or order of a district court dismissing an indictment or information or granting a new trial after verdict or judgment, as to any one or more counts, or any part thereof, except that no appeal shall lie where the double jeopardy clause of the United States Constitution prohibits further prosecution....
The provisions of this section shall be liberally construed to effectuate its purposes.
:
Rules inapplicable. The rules (other than with respect to privileges) do not apply in the following situations:
(1) Preliminary Questions of fact....
(2) Grand Jury....
(3) Miscellaneous proceedings.... [Preliminary examinations in criminal cases; sentencing, or granting or revoking probation; issuance of warrants for arrest, criminal summonses, and search warrants; and proceedings with respect to release on bail or otherwise.