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J. Robert Boatright, Kingsport, Larry S. Weddington,
Bristol, for Appellant.John Knox Walkup, Attorney General and Reporter,
Michael E. Moore, Solicitor General, Amy L. Tarkington, Senior
Assistant Attorney Genera, Nashville, H. Greely Wells, Jr., District
Attorney General, Blountville, for Appellee.
O P I N I O N
In this automatic appeal,1
the defendant, Leonard Edward Smith, raises numerous challenges to the
decision of the Court of Criminal Appeals which affirmed his sentence
of death for the 1984 murder of Novella Webb. After carefully
examining the entire record and the law, including the thorough
opinion of the Court of Criminal Appeals and the briefs of the
defendant and the State, this Court entered an Order limiting review
at oral argument to the following three issues: 2
(1) Whether the trial court was correct in allowing
the defendant to control the presentation of mitigating evidence and
to waive closing argument against counsel's advice;
(2) Whether the admittance of victim impact
testimony and argument at the sentencing hearing constituted
reversible error;
(3) Whether the sentence of death is arbitrary or
disproportionate in violation of Tenn.Code Ann.
§ 39-13-206(c)(1)(A)-(D) (1997 Repl.).
After fully considering the record and the
defendant's claims, we conclude that none of the alleged errors have
merit. Contrary to Smith's assertions, the trial court had no
authority to override the will of a competent and informed defendant
and force Smith to present mitigation evidence and closing argument in
his capital sentencing hearing. Moreover, the trial court did not
err in allowing the State to present victim impact evidence and
argument during the capital sentencing hearing. Finally, the
evidence supports the jury's findings as to the aggravating and
mitigating circumstances, and the sentence of death is not arbitrary
or disproportionate to the sentence imposed in similar cases,
considering the nature of the crime and the defendant. Accordingly,
the judgment of the Court of Criminal Appeals upholding the
defendant's sentence of death is affirmed.
BACKGROUND
In 1984 the defendant, Leonard Edward Smith, his
friend, David Hartsock, and his girlfriend, Angela O'Quinn, robbed two
small grocery stores in rural Sullivan County. Armed with a .32
caliber pistol, Hartsock entered Malone's Grocery alone, while Smith
and O'Quinn waited for him outside the store in Smith's car. During
the course of the robbery, Hartsock shot and killed John Pierce. The
trio left Malone's Grocery and proceeded to Webb's store near the
Carter-Sullivan County line. Both Smith and Hartsock entered Webb's
store.3 Smith
was carrying the gun, and during the robbery, he shot and killed
Novella Webb. The victim and her husband owned and operated the store.
The defendant was charged with two counts of first
degree murder for the killings of Pierce and Webb. The offenses were
joined for trial, and, at Smith's request, venue for the trial was
changed from Sullivan to Hamblen County. Smith was convicted on both
counts of first degree felony murder. At the conclusion of the proof,
the State withdrew its notice of intent to seek the death penalty with
respect to the Pierce murder, and the trial court imposed a life
sentence. However, the jury imposed a sentence of death for the Webb
murder. On his first direct appeal, this Court affirmed Smith's
conviction and life sentence for the killing of Pierce, but reversed
Smith's conviction of first degree murder and sentence of death for
the Webb murder. Concluding that the offenses should not have been
joined for trial and also finding prosecutorial misconduct during
final argument, this Court reversed and remanded the case for a new
trial. State v. Smith, 755 S.W.2d 757 (Tenn.1988) (“Smith I”).
Smith was re-tried and again convicted of first
degree felony murder and sentenced to death for the Webb killing. On
the second direct appeal, this Court affirmed the conviction, but
again vacated the death sentence, finding that the jury had been
improperly allowed to consider the life sentence imposed for the
Pierce murder in considering whether or not Smith should be sentenced
to death for the Webb murder, and that the felony supporting the
conviction of first degree murder had been improperly used to
establish the felony murder aggravating circumstance in violation of
State v. Middlebrooks, 840 S.W.2d 317 (Tenn.1992). The case was
remanded to the trial court for a third sentencing hearing. See
State v. Smith, 857 S.W.2d 1 (Tenn.1993) (“Smith II”).
This case is Smith's appeal from the third
sentencing hearing which was held in Hamblen County.4
The State again sought and obtained the death penalty for the murder
of Novella Webb. The State introduced very little proof regarding the
circumstances of the offense at this third sentencing hearing.5
After waiving opening statement, the State introduced proof to
establish the single aggravating circumstance upon which it relied to
support imposition of the death penalty-“[t]he defendant was
previously convicted of one (1) or more felonies, other than the
present charge, which involve the use or threat of violence to the
person.” Tenn.Code Ann. § 39-2-203(i)(2) (1982 Repl.) [currently
Tenn.Code Ann. § 39-13-204(i)(2) (Supp.1998) ] 6
The State's proof consisted of copies of
indictments and judgments reflecting that the defendant had been
convicted of robbery in Carter County on October 13, 1980, and on
February 21, 1985, and that the defendant had been convicted of first
degree murder for the killing of John Pierce on March 20, 1985. The
reference to the life sentence imposed for the Pierce murder
conviction had been redacted from the copy of the judgment passed to
the jury. The State also introduced the judgment which established
that the defendant had been convicted of the first degree murder of
the victim in this case on August 23, 1989. With respect to each of
these convictions, the State offered identification testimony to
establish that Leonard Edward Smith is the same person who was
previously convicted of the robbery and murder offenses.
As its final witness, the State called Katy Mahoney,
the daughter of the victim in this case. Mahoney testified that her
father and mother had operated the country store Smith robbed for many
years and that her mother had been fifty-nine-years-old when she was
murdered. Mahoney testified that her father was seventy-eight-years-old
at the time of the robbery and murder and that his ribs had been
broken during the episode when he was pushed into a trash can.
According to Mahoney, her father's health had declined “drastically”
after the robbery and murder. He was never able to work again and
eventually sold the store. He died the next year from a brain tumor.
When asked how the family had been affected by her mother's murder,
Mahoney testified that the murder “won't go away,” that “we live with
it all the time” and that “it's caused problems now for eleven years.”
The State rested its case-in-chief at the conclusion of Mahoney's
testimony.
In mitigation the defense called Sullivan County
Sheriff Keith Carr, who in 1984 had been the detective in charge of
investigating the Webb murder. Shortly after his arrest, Smith had
given Sheriff Carr a statement recounting his involvement in the
murders of both John Pierce and Novella Webb. The entire statement,
which the detective read to the resentencing jury at the request of
defense counsel, is set forth below.
I, Leonard Edward Smith, am giving this statement
of my own free will and without any threats or promises being made to
me. On Monday, May 21, 1984, I was with my girlfriend Angie O'Quinn
and David Hartsock, and, we went and got some liquor and went to a
road near the Sullivan-Carter County line. We parked and were just
drinking and talking and smoked some joints. While we were on that
road in my black Ford Pinto which I had painted black because it used
to be orange, David said “Get out, I want to talk to you.” He and I
got out and walked a ways from the car where Angie couldn't hear us
talking and David said, “I can get us a little bit of money here at
this store.” He said, “It's the store down at the county line.” I
asked him if it was Shorty Malone's and he said, “Yes.” Angie and I
drove David down there, and let him off a little ways from the store.
I parked on a little paved road beside the store. David had a .32
caliber chrome-plated pistol with him. The pistol was his pistol.
I heard several shots fired and just a few seconds later David came
running around the store. David jumped into the car and said, “Get
the hell out of here, I had to shoot him.” I figured it was Shorty
because he ran the store. We drove out the road that goes beside of
Malone's Grocery and it dead ends and you can turn left to the
Wautauga area, or right back to Sullivan County. We turned onto the
Wautauga Highway and drove to what is known as Mountain Road. I asked
David if he shot the man, and he said, he shot him one time and the
man pulled a gun and started shooting at him. I don't remember if he
said what money he got. I drunk some more liquor, and made Angie get
out of the car. I started drinking and was just going to drive us
out of the mountain. We came out at some store, and I turned left
and, drove until I realized I was going to [sic] wrong way, and I
pulled it in at Webb's Store to turn. I stopped the car at Webb's
and David jumped out, and I ran in the store behind him. David ran
and jumped on the counter, and knocked the old man over and yelled to
me to, “get that bitch” referring to an old woman at the end of the
counter. I started towards her, and she started throwing things at
me and started spraying paint on me. I fired one shot just to scare
people, but, the old woman just kept spraying orange paint and came
towards me. I couldn't see because of the paint and I held the gun
up and apparently the old lady was trying to get the gun away from me
and it went off. We ran from the store when I fired the second shot.
I didn't really know that I had shot her until we heard it later on
the news. When we were in Webb's Store the old man was hollering,
“help me, help me,” and hollering for his wife. The old woman never
did say anything that I remember. I know that before we left the
store, some man came up to the door, and I told him to get out of
there. I didn't get any money from either store, and David didn't
say if he did or not. David and I left Webb's and went back up
towards Mountain Road, and picked Angie up. I told her we had to get
out of there, and we drove down towards Underwood Park, and set the
car on fire. David cut a hose next to the carburetor and set the car
on fire. David, Angie and me took off on the trails, and really
didn't know which way to go. We came out at a house on Indian Creek.
It was the Johnson residence because my dad had sold them the house.
We didn't go to the house until late last night, and Angie got
Gladys Sheets to take us to the home where we were arrested this
morning. I had never been to the house before but had been in the
area. When Gladys drove us to Dennis Cove, she said she thought we
did it. I had taken my shirt and wrapped my feet so I could walk and
I think I left it in Gladys' car or at the house. Gladys had told us
that Mrs. Webb, and the man at Malone's were both dead. We told
Gladys that we didn't do it and she said, “If you didn't, you better
keep the gun because the news said it was a .38,” and she knew we had
a .32 caliber. I told David to throw the gun out anyway because I
knew we had done it. He threw it out as we went over a bridge, and
we drove on up to the house. We stopped at a grocery store, and
Angie and Gladys went in and got some food for us to take to the house.
We fixed something to eat, and went to sleep, but, I felt like they
knew where we were at. I had cut mine and David's hair with a pair
of scissors Angie had in her pocketbook because I knew they would be
looking for somebody with longer hair. This morning I heard a loud
noise, and I knew we were caught then. I told Angie, “I'm going out,
and you come out too, so we won't get hurt.” Somebody had yelled for
us to come out, and David went out first. All I know is that
everything didn't turn out the way it was supposed to, and it
shouldn't have happened. I am sorry for what happened, because I
know I am a thief, but, I don't think of myself as a murderer. This
is all I know to tell you about what happened.
On cross-examination, Sheriff Carr said that Webb
has been killed approximately forty-five minutes after John Pierce,
and he estimated that the driving time from Malone's Store to Webb's
Store is about thirty minutes. Sheriff Carr had examined the murder
scene at Webb's store and had searched for a bullet in a pool of blood
about an inch deep by using a vegetable strainer. In his search,
Sheriff Carr discovered a mark on the wall behind the counter at
Webb's store which had been caused by a bullet striking the wall. He
also had observed the victim's body and said that the bullet which
caused death entered at the victim's right nasal passage. The .32
caliber gun used in the Webb murder was found underneath a railroad
bridge. Orange paint spots were visible on the gun when it was
recovered, and it had six live rounds in the chamber. According to
Sheriff Carr, the route Smith claimed to have driven after leaving
Webb's store was along a curvy, mountainous, dirt road which was very
treacherous. A day or so after the murder, Sheriff Carr found the
defendant's badly burned car near an area where Smith had been camping
with Hartsock and O'Guinn prior to the murder. Also found at that
site were partially burned articles of Smith's clothing and strands of
Smith's and Hartsock's hair which had been cut to disguise their
appearance. Sheriff Carr testified that Smith, Hartsock, and O'Guinn
were arrested on May 23, 1984, while hiding in a home in an isolated
area of Dennis Cove. Gladys Sheets, one of Hartsock's relatives, had
driven the trio to this location and had stopped along the way to
allow O'Quinn to purchase food and camping supplies. A live .32
caliber round was found in Smith's pocket when he was arrested.
Smith's and Hartsock's hair had been cut very short. At the time of
the Webb murder, Smith was twenty-three-years old. Hartsock and
O'Quinn were eighteen or nineteen years of age. Though Smith said he
felt remorse, Sheriff Carr testified there was nothing indicative of
remorse in Smith's demeanor when he gave the statement.
During the cross-examination of Sheriff Carr, a
jury-out hearing was held to determine the permissibility of certain
questions. During this hearing Smith ordered his attorneys to
present no further proof in mitigation and to waive final argument.
After a lengthy discussion with counsel, the trial court determined
that the defendant was competent to make the decision as to whether to
offer additional proof and argument. After further consultation with
Smith, defense counsel honored his request and presented no further
mitigating evidence.
In rebuttal, the State recalled Mahoney who
testified that during the eleven years since the murder, she had never
seen evidence to indicate the defendant felt remorse. Following this
testimony, the State made a closing argument, but in accordance with
the defendant's instructions, defense counsel waived closing argument.
Based on the proof submitted at the sentencing
hearing, the jury found that the State had proven the aggravating
circumstance beyond a reasonable doubt, and in addition, the jury
found that the State had proven that the aggravating circumstance
outweighed any mitigating circumstances beyond a reasonable doubt.7
As a result, the jury imposed a sentence of death by electrocution.
The trial court entered a judgment in accordance with the jury's
verdict, and the Court of Criminal Appeals affirmed. The case was
then docketed in this Court. For the reasons explained below, we
affirm the judgment of the Court of Criminal Appeals.
I.
WAIVER OF MITIGATION
In this Court, Smith argues that once a defendant
has chosen to be represented by counsel, the decision to present
mitigating proof and argument is a strategic and tactical decision for
counsel, and not a personal right of the defendant. Smith also
argues that allowing a defendant to waive his or her right to present
mitigating proof conflicts with the heightened reliability required in
death penalty cases and impedes meaningful appellate review. Finally,
Smith argues that even if a defendant represented by counsel retains
the authority to waive his or her right to present mitigating proof
and closing argument, such a waiver is valid only if the defendant is
competent to understand the rights being waived and the potential
consequences of the waiver. Smith argues that the waiver in this
case is invalid because the record does not establish competency.
The State responds that the right to present a
defense belongs to the defendant, and a trial court may not force a
competent defendant to follow the advice of counsel and present a
defense. The State argues that the trial court did not err because
the record in this case establishes both that Smith was competent and
that he voluntarily and knowingly chose to waive mitigation and
closing argument. We agree.
The arguments advanced by Smith in this appeal were
recently considered by this Court in a post conviction capital case,
Zagorski v. State, 983 S.W.2d 654 (Tenn.1998). There, Zagorski, the
petitioner, had alleged that defense counsel were ineffective at the
sentencing phase of his capital trial because they had followed his
explicit instructions and had not investigated or presented mitigating
evidence. The proof introduced at the evidentiary hearing on the
petition established that prior to trial Zagorski had asked his
attorneys not to investigate or present mitigating proof in the event
of a conviction because he preferred a death sentence to a sentence of
life imprisonment. Though Zagorski's attorneys advised him of the
importance and need to investigate and introduce proof in mitigation
regarding his family background at the sentencing phase of his capital
trial, he prohibited his lawyers from contacting his family or
investigating his past.
When the jury found Zagorski guilty of first degree murder, he
adhered to his decision and refused to allow his lawyers to present
mitigating evidence at the sentencing phase of his trial. Though
counsel repeatedly advised Zagorski of his right to present mitigation
proof and of the potential consequences of his decision to forego
investigation and proof, Zagorski remained steadfastly committed to
his chosen course of action with full awareness that it very well
might result in a death penalty. Id. at 658-59.
In rejecting Zagorski's claim of ineffective assistance of counsel,
this Court recognized that “[c]ounsel's role in a criminal case is to
assist the defendant in making a defense and to represent the
defendant before the court.” Zagorski, 983 S.W.2d at 658 (citing
State v. Franklin, 714 S.W.2d 252, 262 (Tenn.1986)). However, we
emphasized that “[u]ltimately ․ the right to a defense belongs to a
defendant.” Id. We cautioned that decisions such as “whether to
forego a legally available objective because of non-legal factors are
for the client and not the lawyer.” Id. “[A]lthough [a defendant] may
conduct his own defense ultimately to his own detriment, his choice
must be honored out of ‘that respect for the individual which is the
lifeblood of the law.’ ” Id. at 658 (quoting Illinois v. Allen, 397
U.S. 337, 350-51, 90 S.Ct. 1057, 1064, 25 L.Ed.2d 353 (1970) (Brennan,
J. concurring)). Accordingly, we concluded that counsel will not be
adjudged ineffective for following the decision of a competent and
fully informed defendant who chooses to forego investigation and
presentation of mitigating evidence at the sentencing phase of a
capital trial. Id. at 958. In so holding, we acknowledged the
importance and constitutional significance of mitigating proof in a
capital sentencing proceeding. We distinguished Zagorski's situation
from cases in which attorneys simply fail to investigate and present
mitigating proof. Id. We emphasized that a defense attorney's failure
to investigate and present mitigation proof generally is considered
below the range of competence, but an attorney is not incompetent if
the failure to investigate is “solely and alone” the result of the
defendant's instructions. Id.
Accordingly, in Zagorski, we rejected the arguments advanced here
by Smith-that a defendant who is represented by counsel may not waive
the right to present mitigating proof and that such a waiver violates
the heightened reliability required in death penalty cases. Instead
we held that a defendant may waive the right to present mitigation
proof so long as the defendant is competent. To aid trial courts in
determining whether defendants are competent and fully informed at the
time a waiver is given, we set forth the following procedure for use
in prospective cases:
[C]ounsel must inform the trial court of these circumstances on the
record, outside the presence of the jury. The trial court must then
take the following steps to protect the defendant's interests and to
preserve a complete record:
1. Inform the defendant of his right to present mitigating
evidence and make a determination on the record whether the defendant
understands this right and the importance of presenting mitigating
evidence in both the guilt phase and sentencing phase of trial;
2. Inquire of both the defendant and counsel whether they have
discussed the importance of mitigating evidence, the risks of
foregoing the use of such evidence, and the possibility that such
evidence could be used to offset aggravating circumstances; and
3. After being assured the defendant understands the importance of
mitigation, inquire of the defendant whether he or she desires to
forego the presentation of mitigating evidence.
Zagorski, 983 S.W.2d at 660-61.
Considering the record in this case in light of the procedure
adopted in Zagorski, Smith's contention that he was not competent to
waive his right to present mitigating proof and closing argument is
clearly without merit. Although the trial court in this case did not
have the benefit of our decision in Zagorski, the procedure utilized
in this case to determine Smith's competence and to advise him of the
potential consequences of his decision were substantially similar to
those adopted in Zagorski. After Smith stated, “I'm ready to rest,”
during a jury-out hearing, one of Smith's attorneys advised the trial
court that Smith had instructed him earlier that morning to waive
mitigation. Defense counsel advised Smith against waiving mitigation,
but Smith continued to insist upon that course of action. When the
trial court asked if any expert psychological proof raised question
about Smith's competency, defense counsel responded, “not anything
that would justify any claim that he was incompetent I don't feel like.
If I'd felt like that before today obviously I would have made it
known to the court.” At that point the trial court accurately stated
the law as follows:
Well, this is a bit of a difficult situation. In general, an
attorney must represent a client, and the rule is that the client
determines what is in his interest and what he wants done, and then
the lawyer has an obligation to, first of all, advise the client
regarding alternatives; but, after giving proper and thorough advice,
to follow the wishes of the client. Is that not correct, Gentlemen?
To the trial court's inquiry, Smith's attorneys responded, “Yes,
sir” and “Yes, Your Honor.” Before making a final decision on this
issue, the trial court allowed defense counsel a twenty minute recess
to confer privately with Smith regarding his desire to waive
mitigation. When the hearing reconvened, defense counsel reported
that they had informed Smith that they were prepared to present
mitigation proof, had advised him of the benefits of presenting the
proof, and had warned him of the harm which could result if the proof
was not presented. Despite this advice, Smith had remained insistent
that they “rest the case and waive argument.”
At this point, the trial court attempted to question Smith to
ensure that he understood his rights and the potential consequences of
his decision. Because the trial court had admonished Smith earlier
in the trial to speak only through his attorneys and to refrain from
speaking aloud during the testimony of other witnesses, Smith refused
to be sworn and would not respond to the trial court's inquiries
except through his attorneys. Smith advised his attorney to inform
the trial court that he wanted to rest his case and waive argument.
At that point, the trial court advised Smith as follows:
if you cease putting on mitigating evidence and you instruct your
counsel to not argue and they do both, they don't put on any other
proof, and they do not argue in your benefit, in the court's opinion
this jury will almost certainly return with a verdict of death by
electrocution. And, I guess I've only seen perhaps twelve or
thirteen death penalty cases tried and most of them did not result in
a death penalty verdict. But, from those that I have seen in five or
six death penalty verdicts, actually about half; but if your
attorneys follow your instructions that will be the very likely result.
Do you understand that, sir?
Smith, through his attorney, answered “Yes” to the trial court's
question.
The trial court further questioned defense counsel about the
defendant's competence. On the first occasion, counsel stated, “Of
course, I've known Leonard now for ten or eleven years. He's always
been competent, at least, in my opinion.” After commenting that the
defendant's attorneys had each practiced law for twenty years, the
trial court inquired once again, “And, you have no personal doubts as
to his competency and legal ability to make such a decision I take it?”
Neither attorney expressed any doubt about Smith's competence to
waive mitigation. Before recalling the jury, the trial court
commented that he had observed Smith confer with counsel and actively
participate in the case and once again advised Smith of his right to
present mitigation and of the likely consequences of the waiver.
Smith adhered to his decision to waive mitigation and argument. When
the jury was recalled, the defense rested.
Clearly, the record in this case indicates that the trial court
fulfilled its obligation to ensure that Smith was competent and fully
advised of his rights and of the likely detrimental consequences of
waiving those rights before he accepted Smith's decision. The trial
court repeatedly inquired about Smith's competence and actively
invited counsel to present evidence that Smith was not competent. No
such evidence was presented by defense counsel, because, according to
their responses to the trial court, no such evidence existed. Had
such evidence existed, we have no doubt that these experienced
attorneys would have presented it to the trial court at the jury-out
hearing, particularly in light of the trial court's specific questions
regarding its existence. As we stated in Zagorski, supra, a
competent defendant who knowingly and voluntarily chooses a defense
strategy will not later be able to complain about the detrimental
consequences which result from the decision. The record in this case
reflects that Smith was competent and fully informed when he decided
to waive his rights. Smith may not now complain about the
consequences of his decision. Accordingly, we conclude that Smith's
claim that the trial court erred by allowing him to waive mitigation
and argument is without merit.
II.
VICTIM IMPACT EVIDENCE
The defendant next argues that the trial court erred by allowing
the victim's daughter to testify about the effect of her mother's
death on her family and by allowing the prosecutor to mention this
testimony in closing argument. Smith asserts that victim impact
testimony is barred by the federal and state constitutions and by the
language of the capital sentencing statute. We disagree.
Recently, in State v. Nesbit, 978 S.W.2d 872 (Tenn.1998), this
Court held that victim impact evidence is permissible under both the
United States and Tennessee Constitutions. Id. at 889. In addition,
we held that such evidence is permissible under the Tennessee capital
sentencing statute because it is “relevant to punishment.” Id.
However, we stated that “[g]enerally, victim impact evidence should be
limited to information designed to show those unique characteristics
which provide a brief glimpse into the life of the individual who has
been killed,” such as “the contemporaneous and prospective
circumstances surrounding the individual's death, and how those
circumstances financially, emotionally, psychologically or physically
impacted upon members of the victim's immediate family.” Id. at 891.
We explained that trial courts may exclude victim impact evidence
which threatens to render the trial fundamentally unfair or which
poses a danger of unfair prejudice, and we opined that evidence of the
emotional impact of a murder on the victim's family should be most
closely scrutinized. Id. As a result, we held that the State should
provide pretrial notice of its intent to offer victim impact evidence
to enable trial courts to carefully supervise admission of such proof.
Upon receiving notification, trial courts must hold a hearing
outside the presence of the jury to determine the admissibility of the
evidence. We cautioned that victim impact evidence should not be
admitted until the trial court has determined that evidence of one or
more aggravating circumstances is present in the record. Id. We also
suggested a jury instruction for use in all subsequent cases involving
victim impact proof. Id. at 892. In Nesbit, we also upheld the
constitutional permissibility of victim impact argument by prosecutors,
but we cautioned prosecutors to exercise restraint and admonished that
reversal may result if prosecutors engage in victim impact argument
which is little more than an appeal to emotions and vengeance.8
Id.
In this case, Mahoney's testimony was brief and is contained in
approximately five pages of transcript. In sum, Mahoney told the
jury that her parents were Worley and Novella Webb; that she had been
their only child; that her son, the victim's only grandchild, had
been eleven years old at the time of the murder; that her parents had
owned and operated the small grocery store in Sullivan County for a
number of years; that her parents had lived in a house near to and
visible from the store at the time of the murder; that her mother had
been fifty-nine at the time she was killed; that her father had been
seventy-eight at the time of the murder; that her father had
sustained broken ribs when he was pushed during the murder; that her
father's health had steadily declined after the murder; that her
father had become unable to work and had sold the store after the
murder; and that her father had died the next year from a brain
tumor. When asked if she remembered the day her mother was murdered,
Mahoney said, “I'm afraid I'll go to my grave with it.” When asked
about the effect of the murder on her family, herself, and her son,
Mahoney replied, “Well, it just won't go away. We live with it all
the time, and it's affected us in every way. It affected my dad.
It's affected me. I mean, it's caused problems now for eleven years.”
Though the trial court did not have the benefit of our decision in
Nesbit in this case, it is clear that neither the victim impact
evidence nor argument violates the constraints outlined in Nesbit.
Mahoney briefly and concisely related the physical, financial,
psychological, and emotional impact of this murder upon her family.
The evidence appropriately was not admitted until the State had first
introduced proof of the aggravating circumstance. Clearly, this
testimony did not render the trial fundamentally unfair nor pose a
danger of unfair prejudice. Likewise, the prosecutor's argument in
this case was restrained and appropriate. In fact, the prosecutor
referred to the testimony only once, stating, “You've heard how it
affected the family of the only child of Mr. and Mrs. Webb. Eleven
years later it's still here. It won't go away.” Accordingly, we
conclude that Smith's complaints regarding the admission of victim
impact evidence and argument are completely without merit.9
III.
PROPORTIONALITY REVIEW
We must next consider whether the defendant's sentence of death is
disproportionate to the penalty imposed in similar cases, considering
the nature of the crime and the defendant. Tenn.Code Ann.
§ 39-13-206(c)(1)(A)-(D) (1997 Repl.). In this case, the defendant
argues that his sentence of death should be set aside as
disproportionate because he did not unduly torture the victim but
instead accidentally shot her during the course of the robbery. A
death sentence will be considered disproportionate if, taken as a
whole, the case is “plainly lacking in circumstances consistent with
those in similar cases in which the death penalty has previously been
imposed.” State v. Bland, 958 S.W.2d 651, 665 (Tenn.1997). However,
a sentence of death is not disproportionate merely because the
circumstances of the offense are similar to those of another offense
for which the defendant has received a life sentence. Id. at 665.
Our role in conducting proportionality review is not to assure that a
sentence “less than death was never imposed in a case with similar
characteristics.” Id. Instead, our duty “is to assure that no
aberrant death sentence is affirmed.” Id.
In choosing and comparing similar cases, we consider many
variables, some of which include: (1) the means of death; (2) the
manner of death; (3) the motivation for the killing; (4) the place
of death; (5) the similarity of the victim's circumstances, including
age, physical and mental conditions, and the victims' treatment during
the killing; (6) the absence or presence of premeditation; (7) the
absence or presence of provocation; (8) the absence or presence of
justification; and (9) the injury to and effects on nondecedent
victims. Id. at 667. When reviewing the characteristics of the
defendant, we consider: (1) the defendant's prior record or prior
criminal activity; (2) the defendant's age, race, and gender; (3)
the defendant's mental, emotional or physical condition; (4) the
defendant's involvement or role in the murder; (5) the defendant's
cooperation with authorities; (6) the defendant's remorse; (7) the
defendant's knowledge of the helplessness of the victim; and (8) the
defendant's capacity for rehabilitation. Id. Comparative
proportionality review is not a rigid, objective test. Id. at 668.
We do not employ mathematical or scientific techniques. In
evaluating the comparative proportionality of the sentence in light of
the factors delineated above, we rely also upon the experienced
judgment and intuition of the members of this Court. Id.
Applying these factors, we note that the proof in this case
reflects that the victim died from a gunshot wound to her head. She
was killed while trying to protect her husband and her property, the
family store which she and her husband had owned and operated together
for many years. The defendant's claim that the shooting was
accidental obviously was not believed by the jury. The jury's
rejection of that claim is understandable in light of the fact that
Smith shot and killed Novella Webb within forty-five minutes of the
Pierce robbery and murder for which he had driven the get-away car.
There was certainly no proof of provocation or justification for this
killing. While the victim was trying to defend herself, her only
weapon was a can of orange spray paint. The defendant obviously
realized that the victim and her elderly husband were helpless.
According to the defendant's own statement, Mr. Webb had been pushed
into a trash can and had called out to his wife for help during the
course of the crime. Though the defendant stated that he had been
drinking alcohol and smoking marijuana prior to the crime, there is no
evidence to show that his judgment or abilities were impaired. To
the contrary, after the murder Smith returned to his campsite by way
of a treacherous mountain road. Once there, he and Hartsock burned
Smith's car, cut their hair, and attempted to evade detection by
traveling through the woods to Hartsock's relative's home. These
attempts to conceal the crime and destroy the evidence indicate that
Smith was in command of his senses and not impaired by drugs or
alcohol. The defendant was twenty-three-years-old at the time of the
murder, four or five years older than both Hartsock and O'Quinn.
Smith had a history of criminal activity including robbery convictions
in 1980 and 1985 as well as a conviction for the first degree murder
of John Pierce. After he was apprehended, Smith cooperated with
police by giving a statement about the murders. Although Smith
expressed remorse in his statement, the victim's daughter testified
that she had not received any statement of remorse from the defendant
since the killing. There is no evidence in the record regarding the
defendant's capacity for rehabilitation. In fact, other than the
defendant's statement describing the killing as accidental, there is
no mitigating proof in the record since the defendant waived his right
to present that proof. Considering the nature of the crime and the
defendant, we conclude that imposition of the death penalty for the
senseless murder of this fifty-nine-year-old woman is not
disproportionate to the penalty imposed in similar cases, and that
this murder places Smith into the class of defendants for whom the
death penalty is an appropriate punishment. Based upon our review,
we conclude that the following cases in which the death penalty has
been imposed have many similarities with this case.
In State v. Harries, 657 S.W.2d 414 (Tenn.1983), the defendant, a
thirty-one-year-old man, shot the eighteen-year-old female store clerk
in the head during the course of robbing a convenience store. The
defendant argued that the gun had gone off accidentally and claimed
that he had intended only to rob the store. As in this case, Harries
asserted that he had been under the influence of drugs and alcohol at
the time of the shooting. The jury rejected the defendant's argument,
and, as here, found him guilty of first degree felony murder. The
jury imposed the death penalty upon finding that the defendant was
previously convicted of one or more felonies which involve violence to
the person including armed robbery and kidnapping. Tenn.Code Ann.
§ 39-2-203(i)(2) (1982 Repl.) [currently Tenn.Code Ann.
§ 39-13-204(i)(2) (1998 Supp.) ].10
As in this case, Harries' claim that the shooting was accidental was
not believed by the jury. Also, like this case, Harries' claim of
alcohol or drug impairment was undermined by his calculated actions
after the killing when he divided the proceeds of the robbery with his
friends and family and absconded to Florida.
In State v. Cribbs, 967 S.W.2d 773 (Tenn.1998), the twenty-three-year-old
defendant murdered the victim during the course of a burglary of the
victim's home. Cribbs also shot and severely injured the victim's
husband during the course of the crime. As in this case, the
defendant struggled with one of the victims for the gun. The
defendant prevailed in the struggle and murdered the victim. The
jury imposed the death penalty upon finding two aggravating
circumstances: (1) the defendant was previously convicted of one or
more felonies, other than the present charge, whose statutory elements
involve the use or threat of violence to the person; and (2) the
murder was committed while the defendant was engaged in committing or
was attempting to commit a burglary. Tenn.Code Ann.
§ 39-13-204(i)(2) & (7) 11 (1991 Repl.). As in this case, Cribbs had
been previously convicted of three serious felony offenses including
two convictions of attempted second degree murder, one conviction for
aggravated robbery, and one conviction for second degree burglary.
In State v. Howell, 868 S.W.2d 238 (Tenn.1993), the twenty-seven-year-old
defendant murdered a convenience store clerk by shooting him in the
head during the course of a robbery. As in this case, the jury found
the defendant guilty of first degree felony murder and imposed the
death penalty upon finding that the defendant was previously convicted
of one or more felonies involving violence to the person, including
murder and aggravated burglary. Tenn.Code Ann. § 39-2-203(i)(2)
(1982 Repl.) [currently Tenn.Code Ann. § 39-13-204(i)(2) (1998 Supp.) ].12
Howell had been previously convicted of first degree murder, armed
robbery, and attempted first degree murder.
In State v. Boyd, 797 S.W.2d 589 (Tenn.1990), the twenty-six-year-old
defendant robbed two men at gunpoint in the parking lot of a motel
where the men had gone with the defendant's girlfriend and another
woman. As in this case, the victim struggled with the defendant for
the gun. Losing the struggle for the gun, the victim attempted to
drive away from the scene and was then shot several times by the
defendant. The jury found the defendant guilty of felony murder and
imposed a death sentence upon finding that the defendant was
previously convicted of a felony involving violence to the person,
including second degree murder. Tenn.Code Ann. § 39-2-203(i)(2)
(1982 Repl.) [currently Tenn.Code Ann. § 39-13-204(i)(2) (Supp.1998) ].13
In State v. Coleman, 619 S.W.2d 112 (Tenn.1981), the twenty-two-year-old
defendant shot and killed the sixty-nine-year-old victim during the
course of a robbery. As in this case, Coleman confessed to the crime.
The jury found the defendant guilty of first degree felony murder
and imposed a death sentence upon finding that the defendant was
previously convicted of one or more felonies which involved the use or
threat of violence to the person. Tenn.Code Ann. § 39-2-203(i)(2)
(1982 Repl.) [currently Tenn.Code Ann. § 39-13-204(i)(2) (1998 Supp.) ].14
Coleman had one conviction for assault with intent to commit robbery
with a deadly weapon, three convictions for assault with intent to
commit murder in the first degree, kidnapping, and robbery with a
deadly weapon.
In State v. Van Tran, 864 S.W.2d 465 (Tenn.1993), the nineteen-year-old
defendant killed the victim, a seventy-four-year-old woman during the
course of a robbery of a Chinese restaurant. The defendant shot the
victim once in the lower jaw or neck region and once in the back of
the head. As in this case, the victim was a member of the family
which owned the Chinese restaurant that the defendant robbed. The
jury found the defendant guilty of first degree felony murder and
imposed a sentence of death upon finding two aggravating circumstances.
Tenn.Code Ann. § 39-13-204(i)(5) & (12) (1989 Repl.) [currently
Tenn.Code Ann. § 39-13-204(i)(5) & (12) (Supp.1998) ].
In State v. Dicks, 615 S.W.2d 126 (Tenn.1981), the twenty-one-year-old
defendant was convicted of felony murder. Dicks and his nineteen-year-old
co-defendant, Strouth, robbed a store and during the course of the
robbery, slit the throat of the seventy-year-old male store clerk who
bled to death. The jury imposed a death sentence upon finding two
aggravating circumstances. Tenn.Code Ann. § 39-2-203(i)(5) & (7)
(1979 Repl.) [currently Tenn.Code Ann. § 39-13-204(i)(5) & (7) (Supp.1998) ].
See also State v. Strouth, 620 S.W.2d 467 (Tenn.1981) (A separate
jury also found Strouth guilty of felony murder and imposed a sentence
of death, finding the same two aggravating circumstances.)
In State v. McKay & Sample, 680 S.W.2d 447 (Tenn.1984), the twenty-five-year-old
defendants, in separate trials, were convicted of felony murder for
shooting two store clerks to death during the course of a robbery.
As in this case, there was a struggle for the gun during the crime.
The jury imposed the death sentence in each case, finding three
aggravating circumstances with respect to Sample, and four aggravating
circumstances with respect to McKay. Tenn.Code Ann.
§ 39-2-203(i)(3), (6) & (7) (1982 Repl.)(Sample); Tenn.Code Ann.
§ 39-2-203((i)(2), (3), (6) & (7) (1982) (McKay)) [currently Tenn.Code
Ann. § 39-13-204(i)(2), (3), (6) & (7)(1998 Supp.) (both) ]. See also
State v. Johnson, 762 S.W.2d 110 (Tenn.1988); State v. Goad, 707 S.W.2d
846 (Tenn.1986); State v. King, 694 S.W.2d 941 (Tenn.1985); State v.
Johnson, 632 S.W.2d 542 (Tenn.1982).
As we have emphasized many times, no two cases are identical, but
the above cases have many similarities with this appeal. In all nine
of the cases, the victims were murdered by the defendant during the
course of a robbery or a burglary. Most of the victims were
convenience store clerks or were working at a place of business at the
time the killing occurred. In three cases, as in this case, there
was a struggle for the gun between the defendant and a victim. In at
least one case, the defendant claimed that the shooting was
accidental. Like the present case, the shootings were completely
unprovoked except for the victims' efforts to gain control of the
weapons. Also similar to this case, in six of the nine cases, the
jury found that the defendant was previously convicted of one or more
felonies involving the use or threat of violence to the person.
While it is true, as Smith argues, that this murder was not as
torturous as other cases in which we have affirmed the death penalty,
this fact does not invalidate as disproportionate the penalty imposed
in this case. Bland, 958 S.W.2d at 670 (citing cases). Moreover, we
acknowledge that there are cases in which a life sentence has been
imposed for similar murders or for murders that were perhaps more
atrocious than the murder in this case. Id. Again, however, this does
not invalidate as disproportionate the penalty in this case. Our
role in comparative proportionality review is to identify aberrant
death sentences. As we have repeatedly emphasized, the isolated
decision of a jury to afford mercy does not render a death sentence
disproportionate.15
Id. After reviewing the cases discussed above and many other cases
not herein detailed,16
we are of the opinion that the penalty imposed by the jury in this
case is not disproportionate to the penalty imposed for similar crimes.
IV.
CONCLUSION
In accordance with the mandate of Tenn.Code Ann.
§ 39-13-206(c)(1)(A)-(D), and the principles adopted in prior
decisions of this Court, we have considered the entire record in this
cause and find that the sentence of death was not imposed in an
arbitrary fashion, that the evidence supports the jury's finding of
the statutory aggravating circumstance, and the jury's finding that
the aggravating circumstance outweighed mitigating circumstances
beyond a reasonable doubt. We have considered the defendant's
assignments of error and determined that none have merit. With
respect to issues not specifically addressed herein, we affirm the
decision of the Court of Criminal Appeals, authored by Judge Joe G.
Riley, and joined in by Judge Jerry L. Smith and Special Judge Chris
Craft. Relevant portions of that opinion are published hereafter as
an appendix. The defendant's sentence of death by electrocution is
affirmed. The sentence shall be carried out as provided by law on
the 11th day of October, 1999, unless otherwise ordered by this Court
or other proper authorities.
I respectfully dissent from that portion of the majority opinion
which approves of the admission of victim impact evidence during the
sentencing phase of the trial. Acknowledging the precedent
established in Payne v. Tennessee, 501 U.S. 808, 827, 111 S.Ct. 2597,
2609, 115 L.Ed.2d 720 (1991) that the admission of victim impact
evidence does not per se violate the Eighth Amendment to the United
States Constitution, I stated in dissent in State v. Nesbit, 978 S.W.2d
872, 903 (Tenn.1998), cert. denied, 526 U.S. 1052, 119 S.Ct. 1359, 143
L.Ed.2d520 (1999), that
Payne v. Tennessee, 501 U.S. 808, 111 S.Ct. 2597, 115 L.Ed.2d 720
(1991), controls, I agree with the majority's statement that victim
impact evidence is admissible if adduced within the constraints of due
process and Tenn. R. Evid. 403.
For the reasons stated below, I would hold that Article I, Section
8 of the Tennessee Constitution 1
affords a greater measure of protection than the Eighth Amendment in
this regard, and I am now of the opinion that the admission of victim
impact evidence is unconstitutional unless its admission is
thoughtfully controlled and carefully restricted. Accordingly, I
would overrule State v. Payne, 791 S.W.2d 10 (Tenn.1990), to the
extent that it permits the unlimited (or vaguely limited) admission of
victim impact evidence. In its place, I would impose narrow,
definitive criteria similar to those established by New Jersey in
State v. Muhammad, 145 N.J. 23, 678 A.2d 164 (1996). Thus, Tenn.Code
Ann. § 39-13-204(c)(Supp.1998) 2
remains constitutional so long as applied to carefully control and
thoughtfully restrict the admission of victim impact evidence as
herein outlined.
It is indisputable among civilized societies that every death
includes the potential to devastate those left behind-be they
relatives, friends, or acquaintances. This has even more emphasis
when human life is snuffed out by means of criminal conduct. And
every person has value; every person's death diminishes mankind.3
But as devastating as one's death is to family, friends, and society,
that effect should not be considered in the determination of the
sentence to be imposed upon the perpetrator. Thus, to place emphasis
on the merit and characteristics of the victim and his or her friends
and family serves only to invert the traditional statutory function
that jurors perform in the sentencing process, violates evidentiary
rules of relevance, and runs counter to fundamental goals of
punishment.
The General Assembly, in enacting Tenn.Code Ann.
§ 39-13-204(i)(1997 & Supp.1998), has provided ample criteria for the
determination of punishment. A careful review of the juror's role in
the capital sentencing scheme underscores the uncertainty that victim
impact evidence insinuates into the previously refined statutory
sentencing process.
Absent the admission of victim impact testimony, the jury's
sentencing decision is controlled by the statutory aggravating and
mitigating factors. If the jury determines that the State has proven
beyond a reasonable doubt that the relevant aggravating factors
outweigh any mitigating factors, then “the sentence shall be death.”
Tenn.Code Ann. § 39-13-204(g)(1)(Supp.1998)(emphasis added). But if
the jury determines that the State has not proven that the relevant
aggravating factors outweigh any mitigating factors, then “the jury
shall, in its considered discretion, sentence the defendant either to
imprisonment for life without possibility of parole or imprisonment
for life.” Tenn.Code Ann. § 39-13-204(f)(2)(Supp.1998)(emphasis added).
Thus, the jury's role in capital sentencing is expressly limited to
considering whether or not the aggravating factors outweigh any
mitigating factors. That is why “evidence is relevant to the
punishment, and thus admissible, only if it is relevant to an
aggravating circumstance, or to a mitigating factor raised by the
defendant.” Cozzolino v. State, 584 S.W.2d 765, 768 (Tenn.1979).
The particular “value” of the victim and the amount of emotional
damage and loss suffered by surviving family and friends are not
statutory aggravating factors under Tenn.Code Ann. § 39-13-204(i).4
Additionally, one cannot even suggest that they are implicitly
included in the list. None of the statutory aggravating factors
differentiates between the appropriateness or inappropriateness of the
death penalty based on the perceived value of the victim's life as
reflected in the testimony of the surviving friends or relatives.
Thus, under our statutory scheme, how can we say that victim impact
evidence is relevant to the issue of punishment? We cannot. We
should not.
And yet, in apparent acknowledgment that victim impact evidence
bears no relevance to any aggravating factor, the majority has
heretofore condoned its admission as evidencing the “nature and
circumstances of the crime.” See State v. Nesbit, 978 S.W.2d at 890.
The majority attempts to limit the victim impact evidence to
information which could fall within this characterization. Majority
Opinion at 16; see also, State v. Nesbit, 978 S.W.2d at 891 (discussing
those limits). But, even as limited by the majority, the type of
evidence admissible remains wholly undefined, amorphous, and unduly
prejudicial, a result prohibited by Article I, section 8 of the
Tennessee Constitution.
I fully understand the motivation of those who espouse the
admission of victim impact evidence in capital sentencing hearings and
feel much sensitivity to the pain caused to those whose loved ones are
lost in senseless killings. But in my view, because victim impact
evidence is not relevant to any of the aggravating factors, or to the
nature and circumstances of the crime, its use during the sentencing
hearing can only serve to divert the jury's attention from its primary
role-to determine the defendant's punishment for the crime committed
considering factors of aggravation and mitigation. Such diversion
demeans our capital sentencing scheme and causes it to be unreliable,
inaccurate, and arbitrary, and thereby unconstitutional. See Saffle
v. Parks, 494 U.S. 484, 493, 110 S.Ct. 1257, 1263, 108 L.Ed.2d 415
(1990). As I stated in Nesbit,
Generally, victim impact evidence is unsettling because its use
encourages the jury to quantify the value of the victim's life and
urges the finding that murder is more reprehensible if the victim is
survived by a bereaved family than if the victim had no family at all.
State v. Nesbit, 978 S.W.2d at 903. This shift in focus from the
crime and the defendant to the surviving family and the victim is the
main criticism leveled at victim impact evidence.
By displaying grieving friends or family members (or noting their
absence) to jurors, victim impact evidence invites jurors to deem it a
greater crime (and thereby deserving of greater punishment) to kill
someone whose friends or family, or both, are willing and able to
testify during the sentencing phase about their grief.
Furthermore, the use of victim impact evidence tempts jurors to
become mesmerized by the concept of “victimology.” Through this
concept, the issue of the deceased victim's “innocence” is silently
woven into the sentencing equation. Professor Lynne N. Henderson's
description of “victimhood” is appropriate.
[T]he word “victim” has come to mean those who are preyed upon by
strangers: “Victim” suggests a nonprovoking individual hit with the
violence of “street crime” by a stranger. The image created is that
of an elderly person robbed of her life savings, an “innocent by-stander”
injured or killed during a holdup, or a brutally ravaged rape victim.
“Victims” are not prostitutes beaten senseless by pimps or “johns,”
drug addicts mugged and robbed of their fixes, gang members killed
during a feud, or misdemeanants raped by cellmates․ In short, the
image of the “victim” has become a blameless, pure stereotype, with
whom all can identify.
“The Wrongs of Victim's Rights,” 37 Stan. L.Rev. 937, 951 (1985).
Thus, as an extra-legal consideration, jurors are lured into
determining whether the victim and his or her family fit the
stereotype of “innocent victims.” If they do, this concept entices
jurors to vary punishment according to the perceived “innocence” of
the victim. Thus, rather than orienting punishment to the
perpetrator, punishment is oriented toward the victim.
In the same vein, victim impact evidence informs the jurors about
characteristics of the victim which easily translate into “value of
life” assessments, driven by evidence of the victim's accomplishments,
support of family, civic endeavors, and unfulfilled dreams. These
allusions to the victim's financial condition or social attainment are
simply inappropriate for the jury to consider in determining the
sentence.
And finally, it has been suggested that the admission of victim
impact evidence runs counter to the theory underlying the principles
of punishment. Victim impact evidence provides jurors with the
opportunity to vary punishment according to the degree of vengeance
sought by family or friends. And yet under our statute, the purpose
of punishment is “to prevent crime and promote respect for the law.”
Tenn.Code Ann. § 40-35-102(3)(1997). Accordingly, vengeance has no
place in the determination of the appropriate sentence. Indeed,
vengeance in the sentencing process breeds disparity, and disparity is
an unwelcome intruder into that meticulous process.
The Supreme Court of New Jersey has devised a protocol intended to
reduce the possibility that jurors will misuse victim impact evidence.
State v. Muhammad, 678 A.2d at 179. Under this protocol, before
victim impact evidence is deemed admissible, the following must be
accomplished:
The defendant should be notified prior to the commencement of the
penalty phase that the State plans to introduce victim impact evidence
if the defendant asserts the catch-all factor.5 The State shall also
provide the defendant with the names of the victim impact witnesses
that it plans to call so that defense counsel will have an opportunity
to interview the witnesses prior to their testimony. The greater the
number of survivors who are permitted to present victim impact
evidence, the greater the potential for the victim impact evidence to
unduly prejudice the jury against the defendant. Thus, absent
special circumstances, we expect that the victim impact testimony of
one survivor will be adequate to provide the jury with a glimpse of
each victim's uniqueness as a human being and to help the jurors make
an informed assessment of the defendant's moral culpability and
blameworthiness. Further, minors should not be permitted to present
victim impact evidence except under circumstances where there are no
suitable adult survivors and thus the child is the closest living
relative.
Before a family member is allowed to make a victim impact statement,
the trial court should ordinarily conduct a Rule 104 (formerly Rule 8)
hearing, outside the presence of the jury, to make a preliminary
determination as to the admissibility of the State's proffered victim
impact evidence. The witness's testimony should be reduced to
writing to enable the trial court to review the proposed statement to
avoid any prejudicial content. The testimony can provide a general
factual profile of the victim, including information about the
victim's family, employment, education, and interests. The testimony
can describe generally the impact of the victim's death on his or her
immediate family. The testimony should be factual, not emotional,
and should be free of inflammatory comments or references.
․ During the preliminary hearing, the trial court should inform the
victim's family that the court will not allow a witness to testify if
the person is unable to control his or her emotions. That concern
should be alleviated by our requirement that the witness be permitted
only to read his or her previously approved testimony. Finally, the
court should also take the opportunity to remind the victim's family
that the court will not permit any testimony concerning the victim's
family members' characterizations and opinions about the defendant,
the crime, or the appropriate sentence. Finally, the trial court
should inform the prosecutor that any comments about victim impact
evidence in his or her summation should be strictly limited to the
previously approved testimony of the witness.
Id. at 180.
These clear rules stand in sharp contrast to the thin limitations
on admissibility imposed in Nesbit. In Nesbit, the Court stated as
follows:
Generally, victim impact evidence should be limited to information
designed to show those unique characteristics which provide a brief
glimpse into the life of the individual who has been killed, the
contemporaneous and prospective circumstances surrounding the
individual's death, and how those circumstances financially,
emotionally, psychologically or physically impacted upon members of
the victim's immediate family․ Of these types of proof, evidence
regarding the emotional impact of the murder on the victim's family
should be most closely scrutinized because it poses the greatest
threat to due process and risk of undue prejudice, particularly if no
proof is offered on the other types of victim impact․ (“It would be
very difficult to reconcile a rule allowing the fate of a defendant to
turn on the vagaries of particular jurors' emotional sensitivities
with our longstanding recognition that, above all, capital sentencing
must be reliable, accurate, and nonarbitrary.”) However, there is no
bright-line test, and the admissibility of specific types of victim
impact evidence must be determined on a case-by-case basis.
State v. Nesbit, 978 S.W.2d 872, 891 (Tenn.1998)(footnotes &
citations omitted). Unlike New Jersey, this Court has not limited
the number of victim impact witnesses allowed to testify; nor has it
furnished guidance for using witnesses who are minors. Unlike New
Jersey, this Court has not limited the victim impact testimony to
factual rather than emotional information; to the contrary, it
specifically allows evidence of the “emotional impact of the murder.”
The mere suggestion that the trial court “closely scrutinize”
emotional testimony in no way guides trial courts in implementing this
suggestion. And finally, unlike New Jersey, this Court does not
require that the victim impact evidence be reduced to writing and read
by the witness at trial, a procedure which would go far to prevent
that unconstitutional result noted in Nesbit-“allowing the fate of a
defendant to turn on the vagaries of particular jurors' emotional
sensitivities.”
I would hold that the admission of victim impact evidence during
the sentencing phase of a capital punishment trial is unconstitutional
under Tennessee law unless admitted with precise definition and clear
limitation. As heretofore stated, the adoption of procedures such as
those used by the State of New Jersey would provide such definition
and limitation as would ensure the constitutionality of victim impact
evidence in Tennessee.
I would further hold that victim impact testimony, when admitted
outside of the procedure herein espoused, requires a strict harmless
error review. It is a simple matter, especially in cases with
heinous facts such as the one under submission, to give short shrift
to the harmless error analysis and find, based on those facts, that
the error was harmless. This is easily illustrated by the language
in Payne.
Once [the perpetrator's] identity was established by the jury's
verdict, the death penalty was the only rational punishment available.
Thus, the State's argument was harmless beyond a reasonable doubt. (emphasis
added.)
State v. Payne, 791 S.W.2d at 19. On the contrary, the imposition
of punishment as well as any harmless error analysis should, in my
view, include a painstaking, intensely thorough scrutinization of the
facts and law.
In the case at bar, the victim's daughter was allowed to testify
not only about her parents' background, but also about the suffering
of her father, the fact that the murder had caused her family
“problems for eleven years,” and that she would “go to [her] grave
with it.” Considering this evidence, I conclude that the error more
probably than not affected the judgment and prejudiced the judicial
process. See Tenn. R.App. P. 36(b). To be sure, I draw no
conclusions regarding the penalty imposed in this case; I would hold
only that a jury should be allowed to reconsider the penalty after the
procedures herein suggested have been implemented. Only by such
strict limitation of this testimony can we avoid transgressing on a
defendant's constitutional right to a fair determination of punishment
based on the relevant aggravating factors.
Accordingly, I would remand this case for a new sentencing hearing
conducted in a manner consistent with the discussion herein contained.
APPENDIX
(Excerpts from the Court of Criminal Appeals' Decision) IN THE
COURT OF CRIMINAL APPEALS OF TENNESSEEAT KNOXVILLEAPRIL 1997
SESSIONState of Tennessee, Appellee,v.Leonard Edward Smith,
Appellant.C.C.A. No. 03C01-9512-CC-00383HAMBLEN COUNTYHON. LYNN W.
BROWN, JUDGE(Death Penalty)
FOR THE APPELLANT:
J. Robert Boatright150 Commerce StreetKingsport, TN 37660
Larry S. Weddington200 Seventh StreetBristol, TN 37620
FOR THE APPELLEE:
John Knox WalkupAttorney General and Reporter
Amy L. TarkingtonAssistant Attorney General450 James Robertson
ParkwayNashville, TN 37243-0493
H. Greely Wells, Jr.District Attorney General P.O. Box
526Blountville, TN 37617-0526
OPINION FILED: October 3,1997
AFFIRMED
JOE G. RILEY, Judge
O P I N I O N
[Case History and Evidence at Re-Sentencing Hearing Deleted]
I. SELECTIVE
PROSECUTION
Defendant filed a pre-trial motion requesting that the district
attorney general disclose the standards used to determine whether to
seek the death penalty in murder cases. The assistant district
attorney general explained that aggravating and mitigating
circumstances were examined and weighed in order to determine whether
to seek the death penalty under particular facts. Defense counsel's
request to put the assistant district attorney general under oath to
testify was denied by the trial court.
Prosecutorial discretion used in selecting candidates for the death
penalty does not result in any constitutional deprivation. Gregg v.
Georgia, 428 U.S. 153, 198-99, 96 S.Ct. 2909, 2937, 49 L.Ed.2d 859
(1976); State v. Brimmer, 876 S.W.2d 75, 86 (Tenn.1994); State v.
Cazes, 875 S.W.2d 253, 268 (Tenn.1994). This issue is without merit.
II. RECUSAL OF TRIAL JUDGE
Defendant contends the trial judge should have granted a motion for
recusal since the trial judge was the prosecuting attorney in an
earlier robbery case that the state relied upon as an aggravating
circumstance. A motion for recusal based upon the alleged bias or
prejudice of the trial judge addresses itself to the sound discretion
of the trial court and will not be reversed on appeal absent a clear
abuse of discretion. Caruthers v. State, 814 S.W.2d 64, 67 (Tenn.Crim.App.1991).
A motion for recusal should be granted whenever the judge's
impartiality might reasonably be questioned. Tenn. Sup.Ct. Rule 10,
Code of Judicial Conduct, Canon 3C; State v. Hines, 919 S.W.2d 573,
578 (Tenn.1995).
The issue of recusal was addressed in the extraordinary appeal in
Smith III. We noted that the record did not establish that the trial
judge acted as a lawyer in any matter “in controversy” and further
found no indication of bias. Smith III, 906 S.W.2d at 12. We found
that the disqualification provisions of Article 6, § 11 of the
Tennessee Constitution precluding a judge from presiding “on the trial
of any cause ․ in which he may have been of counsel ․” does not apply
to prior concluded trials. Id. at 12 (citing State v. Warner, 649 S.W.2d
580, 581 (Tenn.1983)). We, nevertheless, concluded that the issue
could be more fully litigated in the direct appeal if the defendant
establishes that the nature of the trial judge's participation in the
earlier prosecution deprived the defendant of a fair and impartial
arbiter. Our review of the record indicates no further evidence of
the nature of the trial judge's participation in the underlying charge.
Accordingly, this issue is without merit.
III. JURY SELECTION EXPERT
Defendant requested the expert services of a licensed private
investigator, two (2) psychologists, a medical doctor and a jury
selection expert. All services were authorized except the jury
selection expert. Defendant challenges this denial.
The decision of whether to authorize expert services lies within
the sound discretion of the trial court. See State v. Cazes, 875 S.W.2d
253, 261 (Tenn.1994), cert. denied, 513 U.S. 1086, 115 S.Ct. 743, 130
L.Ed.2d 644 (1995); State v. O'Guinn, 709 S.W.2d 561, 568 (Tenn.1986)
cert. denied, 479 U.S. 871, 107 S.Ct. 244, 93 L.Ed.2d 169 (1986).
The right to these services exists only upon a showing of a
particularized need. State v. Shepherd, 902 S.W.2d 895, 904 (Tenn.1995);
State v. Black, 815 S.W.2d 166, 179-80 (Tenn.1991). “The defendant
must show that a substantial need exists requiring the assistance of
state paid supporting services and that his defense cannot be fully
developed without such professional assistance.” State v. Evans, 838
S.W.2d 185, 192 (Tenn.1992), cert. denied 510 U.S. 1064, 114 S.Ct.
740, 126 L.Ed.2d 702 (1994).
Our Supreme Court has held that there is no constitutional
violation in the denial of a capital murder defendant's request for
funds for a jury selection expert, absent a showing of any special
need. See State v. Black, 815 S.W.2d at 179-80. There was no
showing of a particularized need for a jury selection expert in the
case at bar. Defense counsel had represented defendant in both of
his prior trials and conducted extensive voir dire in the present
case. The trial court did not abuse its discretion in denying funds
for a jury selection expert. This issue is without merit.
IV. JURY SELECTION
A. Questionnaire on Life Imprisonment
Defense counsel was allowed to submit an extensive questionnaire to
potential jurors prior to the jury selection process. The trial
judge disallowed, however, two (2) questions asking whether the
potential juror believed that a person sentenced to life would spend
the rest of his life in prison, and if not, how many years he/she
thought such a person would serve. One of these questions also asked
whether this would make the potential juror less likely to vote for a
life sentence.
The scope and extent of voir dire is entrusted to the discretion of
the trial judge whose actions will not be disturbed absent a clear
abuse of discretion. State v. Irick, 762 S.W.2d 121, 125 (Tenn.1988);
State v. Poe, 755 S.W.2d 41, 45 (Tenn.1988). Defendant contends
more leeway should be allowed in voir dire so as to enable him to
intelligently exercise peremptory challenges. Although we agree with
this general statement, we find no abuse of discretion in this
instance. Without the opportunity of an explanation from counsel or
the court as to these questions on the questionnaire, this could lead
to unwarranted speculation as to the meaning of a life sentence.
This issue is without merit.
B. Group Voir Dire
The trial judge denied defendant's request for individual voir dire
on all issues except pre-trial publicity and views on the death
penalty. Defendant cites three (3) instances during group voir dire
when jurors stated they would be unable to follow the law. He
contends he was prejudiced by group voir dire. All of these jurors
were ultimately excused for cause.
The trial court's authority to question jurors individually is
permissive, not mandatory. State v. Hutchison, 898 S.W.2d 161, 167 (Tenn.1994),
cert. denied 516 U.S. 846, 116 S.Ct. 137, 133 L.Ed.2d 84 (1994). It
is only where there is a significant possibility that jurors have been
exposed to potentially prejudicial material that individual voir dire
is mandated. State v. Cazes, 875 S.W.2d at 262. Our review of the
record does not indicate any prejudice to the defendant as a result of
group voir dire. The three (3) instances related by the defendant
did not result in prejudicial information being imparted to other
jurors. This issue is without merit.
C. Alternating Voir Dire Questioning
Defendant complains that the trial judge erred in not alternating
the order of voir dire between the state and the defense. This issue
was rejected in Smith II, 857 S.W.2d at 20. We find no abuse of
discretion in allowing the state to proceed first in voir dire
questioning.
D. Sua Sponte Dismissals for Cause
Defendant contends the trial court erred by sua sponte excusing
several prospective jurors for cause. In the instances cited by
defendant, each juror had indicated that he or she could not follow
the law. It is clear that each juror's views would “prevent or
substantially impair the performance of his [her] duties as a juror in
accordance with his [her] instructions and his [her] oath.” Wainwright
v. Witt, 469 U.S. 412, 424, 105 S.Ct. 844, 852, 83 L.Ed.2d 841 (1985).
The trial court's findings on this issue are entitled to a
presumption of correctness since they involve a determination of
demeanor and credibility, and the burden rests on the defendant to
establish by clear and convincing evidence that the trial court's
determinations were erroneous. State v. Alley, 776 S.W.2d 506, 518 (Tenn.1989).
The responses of these jurors gave the judge the “definite
impression” they could not follow the law. Wainwright v. Witt, 469
U.S. at 425-26, 105 S.Ct. at 853.
These jurors met the standard for dismissal. See State
v.Hutchison, 898 S.W.2d 161 (Tenn.1994). Furthermore, the argument
that defense counsel should be allowed to rehabilitate such jurors is
without merit. State v. Harris, 839 S.W.2d 54, 65 (Tenn.1992).
E. Failure to Excuse for Cause
Defendant contends the trial judge erred in failing to excuse two
(2) potential jurors who stated they could not consider mitigating
evidence. Although both potential jurors initially stated they would
have trouble considering certain kinds of mitigating evidence, the
totality of the questions and answers reveals that they could follow
the law in weighing aggravating and mitigating circumstances. The
trial court has wide discretion in ruling on the qualifications of
jurors. State v. Howell, 868 S.W.2d 238, 248 (Tenn.1993). The
failure to exclude these two (2) jurors was not an abuse of discretion.
Furthermore, one of the jurors was excused by defendant's
peremptory challenge. Neither did the other juror sit on the panel.
The defendant exercised only six (6) peremptory challenges out of
the allowed 15 challenges. Therefore, defendant is entitled to no
relief. See State v. Howell, 868 S.W.2d at 248-49.
[V. Failure to Present Further Mitigating Proof-Deleted]
VI. ADMISSION OF WEBB JUDGMENT OF CONVICTION
The state introduced the judgment showing that the defendant had
been found guilty of the first degree murder of Webb. Defendant
contends this judgment was erroneously relied upon by the state as an
aggravating circumstance.
No contemporaneous objection was made to the introduction of this
evidence. The issue is, therefore, waived. Tenn. R.App. P. 36(a);
State v. Walker, 910 S.W.2d 381, 386 (Tenn.1995). We will,
nevertheless, address this issue.
This was a re-sentencing hearing only as guilt had already been
determined and affirmed on the previous appeal. The state was
entitled to show to the jury that the defendant had in fact been
convicted of the first degree murder for which the jury was to
determine the sentence.
Defendant's primary argument is that the state was improperly
allowed to use this first degree murder conviction as an aggravating
circumstance in the same case. The state relied upon one (1)
aggravating circumstance; namely, the defendant was previously
convicted of one (1) or more felonies, other than the present charge,
whose statutory elements involved the use or threat of violence to the
person. Tenn.Code Ann. § 39-2-203(i)(2) (1982) (emphasis added).
Obviously, the state could not rely upon the present conviction as one
of the previous violent felony convictions.
However, our reading of the record does not indicate that the state
relied upon this conviction as one of the prior violent felonies.
From voir dire through final argument the state contended that the
defendant had been convicted of three (3) prior felony offenses
involving violence or the threat of violence; namely, two (2)
robberies and the first degree murder of Pierce. The trial judge
further instructed the jury that the state alleged the defendant had
been previously convicted of murder in the first degree and two (2)
robberies. The trial court was obviously referring to the Pierce
first degree murder conviction which had been made an exhibit. This
issue is without merit.
VII. PRIOR VIOLENT FELONIES
As previously stated, the prosecution relied upon the prior violent
felonies aggravating circumstance. Tenn.Code Ann. § 39-2-203(i)(2)
(1982), the statute in effect at the time of this crime, defined this
aggravating circumstance as follows:
The defendant was previously convicted of one (1) or more felonies,
other than the present charge, which involved the use or threat of
violence to the person.
Defendant contends the state was erroneously allowed to introduce
evidence in support of this aggravating circumstance.
A. Pierce Judgment
Defendant argues that the introduction of his conviction and
redacted Order of Judgment for the first degree murder of Pierce was
erroneously allowed as evidence. Smith I condemned the use of
defendant's life sentence in the Pierce case as evidence in the Webb
case. 755 S.W.2d at 767-69. Upon re-trial the state again failed to
observe the warning in Smith I and related to the jury that the
defendant had received a life sentence for the Pierce murder. On
appeal in Smith II the Court again condemned this evidence and
remanded for a new sentencing hearing. 857 S.W.2d at 25. Both Smith
I, 755 S.W.2d at 769, and Smith II, 857 S.W.2d at 25, recognized the
sentencing relevance of the Pierce conviction but not the Pierce life
sentence.
The trial judge conducted an extensive jury-out hearing and
redacted the Pierce judgment omitting any reference to the sentence.
Upon being asked if there were any objections to the redactions,
defense counsel made no objection. The issue is, therefore, waived.
Tenn. R.App. P. 36(a); State v. Walker, 910 S.W.2d at 386.
Furthermore, the jury was specifically instructed by the trial judge
not to speculate as to the significance of any redactions. The jury
is presumed to have followed the instructions of the court. State v.
Woods, 806 S.W.2d 205, 211 (Tenn.Crim.App.1990).
The admission of the redacted judgment showing the conviction but
not the sentence is in compliance with the dictates of Smith I and
Smith II. This issue is without merit.
B. Direct Participation in Violence
Defendant contends that he did not directly participate in the use
of violence in the Pierce murder as a co-defendant was the person who
actually fired the shot that killed Pierce. He argues that direct
participation is necessary to trigger this homicide as a prior violent
felony. This issue was decided contrary to defendant's argument in
Smith II, 857 S.W.2d at 10. See also State v. Teague, 680 S.W.2d
785, 789 (Tenn.1984). This issue is without merit.
C. Introduction of Indictment
Defendant contends the trial court erred in allowing the
introduction of an armed robbery indictment since the judgment of
conviction was only for simple robbery. This issue has also been
determined contrary to defendant's argument in both Smith I, 755 S.W.2d
at 764, and Smith II, 857 S.W.2d at 20. This issue is without merit.
[VIII. Victim Impact Testimony-Deleted]
IX. PROSECUTORIAL MISCONDUCT
Defendant contends that prosecutorial misconduct undermined his
rights to a fair trial and a reliable sentencing determination. No
contemporaneous objection was made to any of the alleged improper
arguments. The issue is waived. Tenn. R.App. P. 36(a); State v.
Keen, 926 S.W.2d 727, 736 (Tenn.1994). Nevertheless, we will address
these issues.
A. Intentional Murder
Defendant contends the prosecutor improperly argued to the jury
that the homicide was intentional as opposed to being accidental.
Our review of the argument does not substantiate this claim. The
prosecutor merely related the facts and circumstances surrounding the
murder and stated the barrel of the gun “ended up in her nose, and
that's where Leonard Smith pulled the trigger.” This argument was
not improper.
B. Deterrence
Defendant contends the prosecutor unlawfully argued the need for
deterrence. Any argument based upon general deterrence is improper.
State v. Irick, 762 S.W.2d 121, 131 (Tenn.1988); Smith II, 857 S.W.2d
at 13.
The questioned argument was actually an explanation as to why
felony murder was a first degree murder, the most serious offense
under our law. The prosecutor stated that without felony murder,
there would be no protection for those victimized by someone like the
defendant and his co-defendant. We do not view this as a deterrence
argument. This issue is without merit.
C. Webb Conviction
Defendant contends the prosecutor improperly argued that the
present conviction was a prior violent felony which the jury could
consider as an aggravating circumstance. The prosecutor clearly
argued to the jury that the exhibit representing the present
conviction was the offense for which the jury was now going to be
required to sentence the defendant to either life imprisonment or
death. He reviewed the other three (3) judgments as those to be
relied upon for prior felony convictions. The prosecutor did not
argue that the present conviction could be considered as an
aggravating circumstance. This issue is without merit.
X. JURY INSTRUCTIONS
Defendant contends the trial court erred in failing to instruct the
jury on specific non-statutory mitigating circumstances. Further,
the defendant contends the trial court erred in refusing to instruct
the jury to presume that a sentence to life imprisonment meant the
defendant would spend the rest of his life in prison, whereas a
sentence to death would presume death by electrocution.
A. Non-Statutory Mitigating Circumstances
Defendant requested that the trial court give special jury
instructions listing four non-statutory mitigating circumstances.
The trial court declined to do so. Defendant contends this is
reversible error under State v. Odom, 928 S.W.2d 18, 30 (Tenn.1996).
The present offense was committed prior to November 1, 1989; therefore,
sentencing for this capital offense is governed by the statutory law
in effect on the date of the commission of the offense. State v.
Hutchison, 898 S.W.2d 161, 174 (Tenn.1994), cert. denied 516 U.S. 846,
116 S.Ct. 137, 133 L.Ed.2d 84 (1995). At the time of the commission
of this offense, the statute did not require that the jury be
instructed as to non-statutory mitigating circumstances. Tenn.Code
Ann. § 39-2-203(e)(1982); State v. Hartman, 703 S.W.2d 106, 118 (Tenn.1985).
State v. Odom required the jury to be instructed on non-statutory
mitigating circumstances when raised by the evidence and specifically
requested by either the state or the defendant. 928 S.W.2d at 30.
However, Odom was based upon the requirements of the new statute,
Tenn.Code Ann. § 39-13-204(e)(1991). Odom specifically recognized
that neither the United States Constitution nor the Tennessee
Constitution required the submission of non-statutory mitigating
circumstances to the jury. 928 S.W.2d at 30 (citing State v.
Hutchison, 898 S.W.2d at 173-74). We, therefore, conclude that the
trial judge did not err in refusing to charge non-statutory mitigating
circumstances as was allowable under the statute in effect on the date
of the commission of the offense.
B. After-Effect of Verdict
Defendant requested that the jury be instructed that they were to
presume that if the defendant were sentenced to life imprisonment, he
would spend the rest of his life in prison; and that if he were
sentenced to death, he would be executed by electrocution.
Alternatively, the defendant requested that the jury be instructed
that a sentence of life imprisonment meant the defendant would remain
in prison for the rest of his life, and that a sentence of death meant
that the defendant would be executed by electrocution. These
requests were rejected by the trial court. Our Supreme Court has
recently ruled that the jury need not be given information about
parole availability. State v. Bush, 942 S.W.2d 489 (1997). Likewise,
a trial court does not err by refusing to instruct jurors that they
should presume that the sentence they assess will actually be carried
out. State v. Caughron, 855 S.W.2d 526, 543 (Tenn.1993); see also
Smith II, 857 S.W.2d at 11. This issue is without merit.
XI. TAKING EXHIBITS TO JURY ROOM
Defendant contends the trial court erred in allowing the jury to
take the exhibits with them to the jury room for use in deliberations.
More specifically, defendant contends he was prejudiced by the
redactions on the Pierce and Webb convictions.
Tenn. R.Crim. P. 30.1 was in effect at the time of trial. This
rule provides that the jury shall take to the jury room all exhibits
that were received in evidence unless the Court, for good cause,
determines otherwise. Defendant's contention that the jury would
engage in undue speculation due to the redactions on the Pierce and
Webb convictions is without merit. As previously noted, the jury had
been specifically instructed not to speculate concerning these matters.
There was no abuse of discretion in allowing the jury to take these
exhibits to the jury room pursuant to Tenn. R.Crim. P. 30.1.
XII. CONSTITUTIONALITY OF DEATH PENALTY
Defendant contends the Tennessee death penalty statutes are
unconstitutional in the following respects:
(1) the statutes fail to meaningfully narrow the class of death
eligible defendants;
(2) the statutes allow the death penalty to be imposed capriciously
and arbitrarily;
(3) electrocution constitutes cruel and unusual punishment; and
(4) the appellate review process in death penalty cases is
constitutionally inadequate.
Each of these contentions has been rejected by our Supreme Court. State
v. Keen, 926 S.W.2d at 741-44. This issue is without merit.
[XIII. Proportionality Review-Deleted]
We find no reversible error; therefore, the
judgment of the trial court is AFFIRMED.
CONCUR:
JERRY L. SMITH, Judge
CHRIS CRAFT, Special Judge.
FOOTNOTES
1. Tenn.Code
Ann. § 39-13-206(a)(1) (1997 Repl.) provides as follows: “[w]henever
the death penalty is imposed for first degree murder and when the
judgment has become final in the trial court, the defendant shall have
the right of direct appeal from the trial court to the Court of
Criminal Appeals. The affirmance of the conviction and the sentence
of death shall be automatically reviewed by the Tennessee Supreme
Court. Upon the affirmance by the Court of Criminal Appeals, the
clerk shall docket the case in the Supreme Court and the case shall
proceed in accordance with the Tennessee Rules of Appellate Procedure.”
2. Tennessee
Supreme Court Rule 12 provides in pertinent part as follows: “Prior
to the setting of oral argument, the Court shall review the record and
briefs and consider all errors assigned. The Court may enter an
order designating those issues it wishes addressed at oral argument.”
3. Smith
had left Angela O'Quinn alongside the road a short distance from
Webb's store.
4. Prior
to the third resentencing hearing, the trial judge denied a motion for
recusal and sua sponte changed the venue from Hamblen to Johnson
County. The Court of Criminal Appeals granted an extraordinary
appeal, found that the trial court had erred by changing venue without
the defendant's consent, but concluded that the refusal of the trial
judge to recuse himself was not error. State v. Smith, 906 S.W.2d 6 (Tenn.Crim.App.1995).
5. While
trial strategy is a matter within the discretion of the district
attorney, we note that the State should offer some proof regarding the
circumstances of the offense in its case-in-chief when seeking the
death penalty at a resentencing hearing. The proof need not be as
detailed as that offered at the guilt-innocence phase of the trial; however,
some proof is essential to ensure both individualized sentencing by
the jury and effective comparative proportionality review by the
appellate courts. See State v. Nichols, 877 S.W.2d 722, 731 (Tenn.1994)(rejecting
a defendant's claim that proof regarding the circumstances of the
offense is not admissible at resentencing hearings and holding that
such proof is necessary to provide individualized sentencing). In
this case, the defendant offered his statement which included a
description of the circumstances of the offense.
6. The
aggravating circumstance now provides: “[t]he defendant was
previously convicted of one (1) or more felonies, other than the
present charge, whose statutory elements involve the use of violence
to the person.”
7. Though
Smith was not entitled to the “beyond a reasonable doubt” weighing
standard since this offense was committed before the statute was
amended in 1989, any error in this regard inured to the defendant's
benefit. State v. Bush, 942 S.W.2d 489, 506 n. 10 (Tenn.1997).
8. In this
case, the dissent advocates the adoption of procedures utilized in New
Jersey and opines that our decision in Nesbit permits victim impact
evidence which is “wholly undefined, amorphous, and unduly
prejudicial, a result prohibited by Article I, section 8 of the
Tennessee Constitution.” The dissent's conclusion is puzzling in
light of the fact that the procedures adopted by this Court in Nesbit
closely mirror those utilized in New Jersey, with the only apparent
difference being the New Jersey requirement of a written victim impact
statement.
9. Since
the victim impact evidence and argument in this case was so minimal,
the dissent's finding of prejudicial error is equivalent to a holding
that victim impact evidence and argument is inadmissible in all cases.
10. The
jury also found a second aggravating circumstance in Harries, that the
murder was committed during the course of a felony, robbery. However,
under State v. Middlebrooks, 840 S.W.2d 317 (Tenn.1992), the jury
should not have been permitted to rely upon that aggravating
circumstance to support imposition of the death penalty. However,
the Middlebrooks error in Harries previously has been held to be
harmless beyond a reasonable doubt under State v. Howell, 868 S.W.2d
238 (Tenn.1993).
11. FN11. Though
the jury in Cribbs should not have been allowed to rely upon the
felony murder aggravating circumstance to support imposition of the
death penalty, this Court held the error to be harmless beyond a
reasonable doubt. Id. at 789.
12. The
jury in Howell also found a second aggravating circumstance-the murder
was committed during the course of a felony, robbery. Tenn.Code Ann.
§ 39-2-203(i)(7)(1982 Repl.) [currently Tenn.Code Ann.
§ 39-13-204(i)(7) (Supp.1998) ]. Under Middlebrooks, supra, the jury
should not have been permitted to rely upon the felony murder
aggravating circumstance to support imposition of the death penalty,
but this Court held the error to be harmless beyond a reasonable doubt.
Id. at 270.
13. The
jury in Boyd also found a second aggravating circumstance, the murder
was committed during the course of a felony, robbery. Tenn.Code Ann.
§ 39-2-203(i)(7)(1982 Repl.) [currently Tenn.Code Ann.
§ 39-13-204(i)(7) (1998 Supp.) ]. Again, under Middlebrooks, supra,
the jury should not have been permitted to rely upon the felony murder
aggravating circumstance to support imposition of the death penalty; however,
this Court recently held the error to be harmless beyond a reasonable
doubt. State v. Boyd, 959 S.W.2d 557 (Tenn.1998).
14. The
jury in Coleman also found a second aggravating circumstance, the
murder was committed during the course of a felony, robbery.
Tenn.Code Ann. § 39-2-203(i)(7)(1979 Repl.) [currently Tenn.Code Ann.
§ 39-13-204(i)(7) (Supp.1998) ].(Cite to CCA opinion before this
decision released depending upon Court's ruling on this application at
the March conference).
15. For
example, in examining the Rule 12 reports, we discovered a similar
case from Jefferson County, State v. Gene Lynch, in which the jury
imposed a life sentence and the trial judge commented on the Rule 12
report that the sentence should have been death. Lynch waived his
right to appeal. The jury's decision to afford mercy to Lynch does
not invalidate Smith's death sentence.
16. We
have reviewed several other cases in which the defendants received a
sentence of life imprisonment. The similar cases in which the State
sought the death penalty are distinguishable from this case. For
example, in some of these cases, the defendant was a participant in
the robbery and not the person who actually shot the victim. See e.g.
State v. Mona Lisa Watson, C.C.A. No. 24, 1991 WL 153017 (Tenn.Crim.App.,
at Jackson, August 14, 1991); State v. Kevin Watley, C. C.A. No. 37 (Tenn.Crim.App.,
at Nashville, July 3, 1985). In another case, the defendant was only
seventeen-years-old at the time the murder was committed. State v.
Lemuel Emerson Holmes, C.C.A. No. 50 (Tenn.Crim.App., at Jackson,
March 12, 1981). According to the Rule 12 report, the defendant in
still another case chose to present substantial mitigating proof,
unlike the defendant in this case. Lyons v. State, 596 S.W.2d 104 (Tenn.Crim.App.1979).
1. Tennessee
Constitution, Article I, section 8, provides: “[t]hat no man shall be
taken or imprisoned, or disseized of his freehold, liberties or
privileges, or outlawed, or exiled, or in any manner destroyed or
deprived of his life, liberty or property, but by the judgment of his
peers or the law of the land.”
2. Tenn.Code
Ann. § 39-13-204(c)(Supp.1998) states that: “[t]he court may permit a
member or members, or a representative or representatives of the
victim's family to testify at the sentencing hearing about the victim
and about the impact of the murder on the family of the victim and
other relevant persons. Such evidence may be considered by the jury
in determining which sentence to impose. The court shall permit
members or representatives of the victim's family to attend the trial,
and those persons shall not be excluded because the person or persons
shall testify during the sentencing proceeding as to the impact of the
offense.”
3. This
thought was expressed by John Donne in Devotions Upon Emergent
Occasions, Meditation XVII (1624).
4. As a
review of Tenn.Code Ann. § 39-13-204(i) demonstrates, the statutory
aggravating factors focus on the defendant's criminal history as well
as the particular circumstances of the crime at issue.
5. Under
the New Jersey statute, the defendant may introduce evidence
concerning statutory mitigating factors, including what the court
refers to as a “catch-all factor” which is “[a]ny other factor which
is relevant to the defendant's character or record or to the
circumstances of the offense.” N.J. Stat. Ann. § 2C:11-3(b)(5)(h) (Supp.1998).
DROWOTA, Justice.
ANDERSON, C.J., HOLDER and BARKER, JJ.,
concur.BIRCH, J.-See Separate Dissenting Opinion.