DARYL RENARD ATKINS, PETITIONER v. VIRGINIA
[June 20, 2002]
Justice Stevens delivered
the opinion of the Court.
Those mentally retarded persons who meet
the law's requirements for criminal responsibility should
be tried and punished when they commit crimes. Because
of their disabilities in areas of reasoning, judgment,
and control of their impulses, however, they do not act
with the level of moral culpability that characterizes
the most serious adult criminal conduct. Moreover, their
impairments can jeopardize the reliability and fairness
of capital proceedings against mentally retarded defendants.
Presumably for these reasons, in the 13 years since we
decided Penry v. Lynaugh, 492 U. S. 302 (1989), the American
public, legislators, scholars, and judges have deliberated
over the question whether the death penalty should ever
be imposed on a mentally retarded criminal. The consensus
reflected in those deliberations informs our answer to
the question presented by this case: whether such executions
are "cruel and unusual punishments" prohibited
by the Eighth Amendment to the Federal Constitution.
I
Petitioner, Daryl Renard Atkins, was convicted
of abduction, armed robbery, and capital murder, and sentenced
to death. At approximately midnight on August 16, 1996,
Atkins and William Jones, armed with a semiautomatic handgun,
abducted Eric Nesbitt, robbed him of the money on his
person, drove him to an automated teller machine in his
pickup truck where cameras recorded their withdrawal of
additional cash, then took him to an isolated location
where he was shot eight times and killed.
Jones and Atkins both testified in the guilt
phase of Atkins' trial.1 Each confirmed most of the details
in the other's account of the incident, with the important
exception that each stated that the other had actually
shot and killed Nesbitt. Jones' testimony, which was both
more coherent and credible than Atkins', was obviously
credited by the jury and was sufficient to establish Atkins'
guilt.2 At the penalty phase of the trial, the State introduced
victim impact evidence and proved two aggravating circumstances:
future dangerousness and "vileness of the offense."
To prove future dangerousness, the State relied on Atkins'
prior felony convictions as well as the testimony of four
victims of earlier robberies and assaults. To prove the
second aggravator, the prosecution relied upon the trial
record, including pictures of the deceased's body and
the autopsy report.
In the penalty phase, the defense relied
on one witness, Dr. Evan Nelson, a forensic psychologist
who had evaluated Atkins before trial and concluded that
he was "mildly mentally retarded."3 His conclusion
was based on interviews with people who knew Atkins,4
a review of school and court records, and the administration
of a standard intelligence test which indicated that Atkins
had a full scale IQ of 59.5
The jury sentenced Atkins to death, but
the Virginia Supreme Court ordered a second sentencing
hearing because the trial court had used a misleading
verdict form. 257 Va. 160, 510 S. E. 2d 445 (1999). At
the resentencing, Dr. Nelson again testified. The State
presented an expert rebuttal witness, Dr. Stanton Samenow,
who expressed the opinion that Atkins was not mentally
retarded, but rather was of "average intelligence,
at least," and diagnosable as having antisocial personality
disorder.6 App. 476. The jury again sentenced Atkins to
death.
The Supreme Court of Virginia affirmed the
imposition of the death penalty. 260 Va. 375, 385, 534
S. E. 2d 312, 318 (2000). Atkins did not argue before
the Virginia Supreme Court that his sentence was disproportionate
to penalties imposed for similar crimes in Virginia, but
he did contend "that he is mentally retarded and
thus cannot be sentenced to death." Id., at 386,
534 S. E. 2d, at 318. The majority of the state court
rejected this contention, relying on our holding in Penry.
260 Va., at 387, 534 S. E. 2d, at 319. The Court was "not
willing to commute Atkins' sentence of death to life imprisonment
merely because of his IQ score." Id., at 390, 534
S. E. 2d, at 321.
Justice Hassell and Justice Koontz dissented.
They rejected Dr. Samenow's opinion that Atkins possesses
average intelligence as "incredulous as a matter
of law," and concluded that "the imposition
of the sentence of death upon a criminal defendant who
has the mental age of a child between the ages of 9 and
12 is excessive." Id., at 394, 395-396, 534 S. E.
2d, at 323-324. In their opinion, "it is indefensible
to conclude that individuals who are mentally retarded
are not to some degree less culpable for their criminal
acts. By definition, such individuals have substantial
limitations not shared by the general population. A moral
and civilized society diminishes itself if its system
of justice does not afford recognition and consideration
of those limitations in a meaningful way." Id., at
397, 534 S. E. 2d, at 325.
Because of the gravity of the concerns expressed
by the dissenters, and in light of the dramatic shift
in the state legislative landscape that has occurred in
the past 13 years, we granted certiorari to revisit the
issue that we first addressed in the Penry case. 533 U.
S. 976 (2001).
II
The Eighth Amendment succinctly prohibits
"excessive" sanctions. It provides: "Excessive
bail shall not be required, nor excessive fines imposed,
nor cruel and unusual punishments inflicted." In
Weems v. United States, 217 U. S. 349 (1910), we held
that a punishment of 12 years jailed in irons at hard
and painful labor for the crime of falsifying records
was excessive. We explained "that it is a precept
of justice that punishment for crime should be graduated
and proportioned to the offense." Id., at 367. We
have repeatedly applied this proportionality precept in
later cases interpreting the Eighth Amendment. See Harmelin
v. Michigan, 501 U. S. 957, 997-998 (1991) (Kennedy, J.,
concurring in part and concurring in judgment); see also
id., at 1009-1011 (White, J., dissenting).7 Thus, even
though "imprisonment for ninety days is not, in the
abstract, a punishment which is either cruel or unusual,"
it may not be imposed as a penalty for "the `status'
of narcotic addiction," Robinson v. California, 370
U. S. 660, 666-667 (1962), because such a sanction would
be excessive. As Justice Stewart explained in Robinson:
"Even one day in prison would be a cruel and unusual
punishment for the `crime' of having a common cold."
Id., at 667.
A claim that punishment is excessive is
judged not by the standards that prevailed in 1685 when
Lord Jeffreys presided over the "Bloody Assizes"
or when the Bill of Rights was adopted, but rather by
those that currently prevail. As Chief Justice Warren
explained in his opinion in Trop v. Dulles, 356 U. S.
86 (1958): "The basic concept underlying the Eighth
Amendment is nothing less than the dignity of man. ...
The Amendment must draw its meaning from the evolving
standards of decency that mark the progress of a maturing
society." Id., at 100-101.
Proportionality review under those evolving
standards should be informed by " `objective factors
to the maximum possible extent,' " see Harmelin,
501 U. S., at 1000 (quoting Rummel v. Estelle, 445 U.
S 263, 274-275 (1980)). We have pinpointed that the "clearest
and most reliable objective evidence of contemporary values
is the legislation enacted by the country's legislatures."
Penry, 492 U. S., at 331. Relying in part on such legislative
evidence, we have held that death is an impermissibly
excessive punishment for the rape of an adult woman, Coker
v. Georgia, 433 U. S. 584, 593-596 (1977), or for a defendant
who neither took life, attempted to take life, nor intended
to take life, Enmund v. Florida, 458 U. S. 782, 789-793
(1982). In Coker, we focused primarily on the then-recent
legislation that had been enacted in response to our decision
10 years earlier in Furman v. Georgia, 408 U. S. 238 (1972)
(per curiam), to support the conclusion that the "current
judgment," though "not wholly unanimous,"
weighed very heavily on the side of rejecting capital
punishment as a "suitable penalty for raping an adult
woman." Coker, 433 U. S., at 596. The "current
legislative judgment" relevant to our decision in
Enmund was less clear than in Coker but "nevertheless
weigh[ed] on the side of rejecting capital punishment
for the crime at issue." Enmund, 458 U. S., at 793.
We also acknowledged in Coker that the objective
evidence, though of great importance, did not "wholly
determine" the controversy, "for the Constitution
contemplates that in the end our own judgment will be
brought to bear on the question of the acceptability of
the death penalty under the Eighth Amendment." 433
U. S., at 597. For example, in Enmund, we concluded by
expressing our own judgment about the issue:
"For purposes of imposing the death
penalty, Enmund's criminal culpability must be limited
to his participation in the robbery, and his punishment
must be tailored to his personal responsibility and moral
guilt. Putting Enmund to death to avenge two killings
that he did not commit and had no intention of committing
or causing does not measurably contribute to the retributive
end of ensuring that the criminal gets his just deserts.
This is the judgment of most of the legislatures that
have recently addressed the matter, and we have no reason
to disagree with that judgment for purposes of construing
and applying the Eighth Amendment." 458 U. S., at
801 (emphasis added).
Thus, in cases involving a consensus, our
own judgment is "brought to bear," Coker, 433
U. S., at 597, by asking whether there is reason to disagree
with the judgment reached by the citizenry and its legislators.
Guided by our approach in these cases, we
shall first review the judgment of legislatures that have
addressed the suitability of imposing the death penalty
on the mentally retarded and then consider reasons for
agreeing or disagreeing with their judgment.
III
The parties have not called our attention
to any state legislative consideration of the suitability
of imposing the death penalty on mentally retarded offenders
prior to 1986. In that year, the public reaction to the
execution of a mentally retarded murderer in Georgia8
apparently led to the enactment of the first state statute
prohibiting such executions.9 In 1988, when Congress enacted
legislation reinstating the federal death penalty, it
expressly provided that a "sentence of death shall
not be carried out upon a person who is mentally retarded."10
In 1989, Maryland enacted a similar prohibition.11 It
was in that year that we decided Penry, and concluded
that those two state enactments, "even when added
to the 14 States that have rejected capital punishment
completely, do not provide sufficient evidence at present
of a national consensus." 492 U. S., at 334.
Much has changed since then. Responding
to the national attention received by the Bowden execution
and our decision in Penry, state legislatures across the
country began to address the issue. In 1990 Kentucky and
Tennessee enacted statutes similar to those in Georgia
and Maryland, as did New Mexico in 1991, and Arkansas,
Colorado, Washington, Indiana, and Kansas in 1993 and
1994.12 In 1995, when New York reinstated its death penalty,
it emulated the Federal Government by expressly exempting
the mentally retarded.13 Nebraska followed suit in 1998.14
There appear to have been no similar enactments during
the next two years, but in 2000 and 2001 six more States--South
Dakota, Arizona, Connecticut, Florida, Missouri, and North
Carolina--joined the procession.15 The Texas Legislature
unanimously adopted a similar bill,16 and bills have passed
at least one house in other States, including Virginia
and Nevada.17
It is not so much the number of these States that is significant,
but the consistency of the direction of change.18 Given
the well-known fact that anticrime legislation is far
more popular than legislation providing protections for
persons guilty of violent crime, the large number of States
prohibiting the execution of mentally retarded persons
(and the complete absence of States passing legislation
reinstating the power to conduct such executions) provides
powerful evidence that today our society views mentally
retarded offenders as categorically less culpable than
the average criminal. The evidence carries even greater
force when it is noted that the legislatures that have
addressed the issue have voted overwhelmingly in favor
of the prohibition.19 Moreover, even in those States that
allow the execution of mentally retarded offenders, the
practice is uncommon. Some States, for example New Hampshire
and New Jersey, continue to authorize executions, but
none have been carried out in decades. Thus there is little
need to pursue legislation barring the execution of the
mentally retarded in those States. And it appears that
even among those States that regularly execute offenders
and that have no prohibition with regard to the mentally
retarded, only five have executed offenders possessing
a known IQ less than 70 since we decided Penry.20 The
practice, therefore, has become truly unusual, and it
is fair to say that a national consensus has developed
against it.21
To the extent there is serious disagreement
about the execution of mentally retarded offenders, it
is in determining which offenders are in fact retarded.
In this case, for instance, the Commonwealth of Virginia
disputes that Atkins suffers from mental retardation.
Not all people who claim to be mentally retarded will
be so impaired as to fall within the range of mentally
retarded offenders about whom there is a national consensus.
As was our approach in Ford v. Wainwright, with regard
to insanity, "we leave to the State[s] the task of
developing appropriate ways to enforce the constitutional
restriction upon its execution of sentences." 477
U. S. 399, 405, 416-417 (1986).22
IV
This consensus unquestionably reflects widespread
judgment about the relative culpability of mentally retarded
offenders, and the relationship between mental retardation
and the penological purposes served by the death penalty.
Additionally, it suggests that some characteristics of
mental retardation undermine the strength of the procedural
protections that our capital jurisprudence steadfastly
guards.
As discussed above, clinical definitions
of mental retardation require not only subaverage intellectual
functioning, but also significant limitations in adaptive
skills such as communication, self-care, and self-direction
that became manifest before age 18. Mentally retarded
persons frequently know the difference between right and
wrong and are competent to stand trial. Because of their
impairments, however, by definition they have diminished
capacities to understand and process information, to communicate,
to abstract from mistakes and learn from experience, to
engage in logical reasoning, to control impulses, and
to understand the reactions of others.23 There is no evidence
that they are more likely to engage in criminal conduct
than others, but there is abundant evidence that they
often act on impulse rather than pursuant to a premeditated
plan, and that in group settings they are followers rather
than leaders.24 Their deficiencies do not warrant an exemption
from criminal sanctions, but they do diminish their personal
culpability.
In light of these deficiencies, our death
penalty jurisprudence provides two reasons consistent
with the legislative consensus that the mentally retarded
should be categorically excluded from execution. First,
there is a serious question as to whether either justification
that we have recognized as a basis for the death penalty
applies to mentally retarded offenders. Gregg v. Georgia,
428 U. S. 153, 183 (1976), identified "retribution
and deterrence of capital crimes by prospective offenders"
as the social purposes served by the death penalty. Unless
the imposition of the death penalty on a mentally retarded
person "measurably contributes to one or both of
these goals, it `is nothing more than the purposeless
and needless imposition of pain and suffering,' and hence
an unconstitutional punishment." Enmund, 458 U. S.,
at 798.
With respect to retribution--the interest
in seeing that the offender gets his "just deserts"--the
severity of the appropriate punishment necessarily depends
on the culpability of the offender. Since Gregg, our jurisprudence
has consistently confined the imposition of the death
penalty to a narrow category of the most serious crimes.
For example, in Atkins v. Virginiafrey v. Georgia, 446
U. S. 420 (1980), we set aside a death sentence because
the petitioner's crimes did not reflect "a consciousness
materially more `depraved' than that of any person guilty
of murder." Id., at 433. If the culpability of the
average murderer is insufficient to justify the most extreme
sanction available to the State, the lesser culpability
of the mentally retarded offender surely does not merit
that form of retribution. Thus, pursuant to our narrowing
jurisprudence, which seeks to ensure that only the most
deserving of execution are put to death, an exclusion
for the mentally retarded is appropriate.
With respect to deterrence--the interest
in preventing capital crimes by prospective offenders--"it
seems likely that `capital punishment can serve as a deterrent
only when murder is the result of premeditation and deliberation,'
" Enmund, 458 U. S., at 799. Exempting the mentally
retarded from that punishment will not affect the "cold
calculus that precedes the decision" of other potential
murderers. Gregg, 428 U. S., at 186. Indeed, that sort
of calculus is at the opposite end of the spectrum from
behavior of mentally retarded offenders. The theory of
deterrence in capital sentencing is predicated upon the
notion that the increased severity of the punishment will
inhibit criminal actors from carrying out murderous conduct.
Yet it is the same cognitive and behavioral impairments
that make these defendants less morally culpable--for
example, the diminished ability to understand and process
information, to learn from experience, to engage in logical
reasoning, or to control impulses--that also make it less
likely that they can process the information of the possibility
of execution as a penalty and, as a result, control their
conduct based upon that information. Nor will exempting
the mentally retarded from execution lessen the deterrent
effect of the death penalty with respect to offenders
who are not mentally retarded. Such individuals are unprotected
by the exemption and will continue to face the threat
of execution. Thus, executing the mentally retarded will
not measurably further the goal of deterrence.
The reduced capacity of mentally retarded
offenders provides a second justification for a categorical
rule making such offenders ineligible for the death penalty.
The risk "that the death penalty will be imposed
in spite of factors which may call for a less severe penalty,"
Lockett v. Ohio, 438 U. S. 586, 605 (1978), is enhanced,
not only by the possibility of false confessions,25 but
also by the lesser ability of mentally retarded defendants
to make a persuasive showing of mitigation in the face
of prosecutorial evidence of one or more aggravating factors.
Mentally retarded defendants may be less able to give
meaningful assistance to their counsel and are typically
poor witnesses, and their demeanor may create an unwarranted
impression of lack of remorse for their crimes. As Penry
demonstrated, moreover, reliance on mental retardation
as a mitigating factor can be a two-edged sword that may
enhance the likelihood that the aggravating factor of
future dangerousness will be found by the jury. 492 U.
S., at 323-325. Mentally retarded defendants in the aggregate
face a special risk of wrongful execution.
Our independent evaluation of the issue
reveals no reason to disagree with the judgment of "the
legislatures that have recently addressed the matter"
and concluded that death is not a suitable punishment
for a mentally retarded criminal. We are not persuaded
that the execution of mentally retarded criminals will
measurably advance the deterrent or the retributive purpose
of the death penalty. Construing and applying the Eighth
Amendment in the light of our "evolving standards
of decency," we therefore conclude that such punishment
is excessive and that the Constitution "places a
substantive restriction on the State's power to take the
life" of a mentally retarded offender. Ford, 477
U. S., at 405.
The judgment of the Virginia Supreme
Court is reversed and the case is remanded for further
proceedings not inconsistent with this opinion.
It is so ordered.
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