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Ronald Gene SIMMONS Sr.
Victims
Date of
Murder
Method of
Murder
Relationship
to Murderer
12-22-87
Handgun
Son
12-22-87
Handgun
Wife
12-22-87
Strangulation
Daughter
12-22-87
Strangulation
Daughter
12-22-87
Strangulation
Son
12-22-87
Strangulation
Daughter
12-22-87
Strangulation
Daughter
12-26-87
Handgun
Son
12-26-87
Handgun
Daughter
in Law
12-26-87
Drowning
Grandson
12-26-87
Handgun
Daughter
12-26-87
Handgun
Son
in Law
12-26-87
Strangulation
Daughter/
Granddaughter
12-26-87
Strangulation
Grandson
12-28-87
Handgun
None
12-28-87
Handgun
None
The
murders
Shortly before Christmas 1987,
Simmons decided to kill all the members of his family.
On the morning of 22 December, he first killed his son
Gene and his long-suffering wife Rebecca at his home in
Dover, Arkansas, by shooting them with a .22 caliber
pistol.
Thereafter he killed his three-year-old
granddaughter Barbara by strangulation. Simmons dumped
the bodies in the cesspit he had made his children dig.
Simmons then waited for his other children to return to
the house.
After their arrival, he told them he
had presents for them but wanted to give them one at a
time. First to receive her "gift" was his eldest
daughter, seventeen-year-old Loretta, whom Simmons
strangled and held under the water in a rain barrel. The
three other children, Eddy, Marianne, and Becky, were
killed in the same way.
On the morning of Monday, 28 December,
Simmons drove into Russellville, and at a law office
shot dead the receptionist, a young woman named Kathy
Kendrick, with whom he had been infatuated and who had
rejected him.
He next went to an oil company office
where he shot dead a man named J.D. Chaffin and wounded
the owner, Rusty Taylor, and then drove on to a
convenience store where he had previously worked,
shooting and wounding two more people.
Afterwards he went to the office of
the Woodline Motor Freight Company, where he shot and
wounded a woman, ending his killing spree. Simmons
simply sat in the office and chatted to one of the
secretaries whilst waiting for the police. When they
arrived, he handed over his gun and surrendered without
any resistance.
Simmons was charged with sixteen
counts of murder, found guilty, and sentenced to death.
He refused to appeal his death sentence, stating, "To
those who oppose the death penalty in my particular
case, anything short of death would be cruel and unusual
punishment."
While on Death Row, Simmons had to be
separated from other prisoners as his life was
threatened constantly. This was because he refused to
appeal his death sentence. The other prisoners believed
Simmons was damaging their chances of beating their own
death sentence.
On 31 May, Arkansas governor (later
president) Bill Clinton signed Simmons' execution
warrant, and on 25 June 1990 he died, by the method he
had chosen, lethal injection.
Wikipedia.org
On December 22, 1987, Ronald Gene Simmons began a
killing spree that would be the worst mass murder in Arkansas
history and the worst crime involving one family in the history of
the country. His rampage ended on December 28, 1987, leaving dead
fourteen members of his immediate family and two former coworkers.
Ronald Gene Simmons was born on July 15, 1940, in
Chicago, Illinois, to Loretta and William Simmons. On January 31, 1943,
William Simmons died of a stroke. Within a year, Simmons’s mother
married again, this time to William D. Griffen, a civil engineer for the
U.S. Army Corps of Engineers. The corps moved Griffen to Little Rock (Pulaski
County) in 1946, the first of several transfers that would take the
family across central Arkansas over the next decade.
On September 15, 1957, Simmons dropped out of school
and joined the U.S. Navy. His first station was Bremerton Naval Base in
Washington, where he met Bersabe Rebecca “Becky” Ulibarri, whom he
married in New Mexico on July 9, 1960.
Over the next eighteen years, the couple had seven
children. In 1963, Simmons left the navy and approximately two years
later, he joined the air force. During his twenty-two-year military
career, Simmons was awarded a Bronze Star, the Republic of Vietnam Cross
for his service as an airman, and the Air Force Ribbon for excellent
marksmanship. Simmons retired on November 30, 1979, at the rank of
master sergeant.
On April 3, 1981, Simmons was being investigated by
the Cloudcroft, New Mexico, Department of Human Services for allegations
that he had fathered a child with his seventeen-year-old daughter,
Sheila. Fearing arrest, Simmons fled first to Ward (Lonoke County) in
late 1981 and then to Dover (Pope County) in the summer of 1983. The
family took up residence on a thirteen-acre tract of land that would
become known as “Mockingbird Hill.”
The residence was constructed of two older-model
mobile homes joined to form one large home and was surrounded by a
makeshift privacy fence, as high as ten feet tall in some places. The
home did not have a telephone or indoor plumbing.
Simmons worked a string of low-paying jobs in the
nearby town of Russellville (Pope County). He quit a position as an
accounts receivable clerk at Woodline Motor Freight after numerous
reports of inappropriate sexual advances. He went to work at a Sinclair
Mini Mart for approximately a year and a half before quitting on
December 18, 1987.
Evidence indicates that Simmons bludgeoned and shot
his wife on December 22, 1987. Simmons also bludgeoned and shot his
visiting son, twenty-nine-year-old Ronald Gene Simmons Jr. He then
strangled his three-year-old granddaughter. All three bodies were later
found in a shallow pit Simmons had instructed the children to dig months
before for a third family outhouse.
Later the same day, the Dover school bus dropped off
the younger Simmons children for their Christmas break from school.
Based on crime scene investigation, it is believed the Simmons children
(ages seventeen, fourteen, eleven, and eight) were separated and killed
individually, by strangulation and/or drowning in a rain barrel. Their
bodies, too, were found in the hole for the outhouse.
The older Simmons children had been invited to the
Simmons home on December 26, 1987, for an after-Christmas dinner. Twenty-three-year-old
William H. Simmons II, his twenty-one-year-old wife, Renata May Simmons,
and their twenty-month-old son, all of Fordyce (Dallas County), were
likely the first to arrive. William and Renata were shot, and their
bodies were left by the dining room table, and covered with their own
coats and some bedding. The child was killed and placed into the trunk
of a car behind the Simmons home.
Next to arrive were Simmons’s twenty-four-year-old
daughter, Sheila, and her husband, thirty-three-year-old Dennis Raymond
McNulty, as well as their children, seven-year-old Sylvia (the daughter
of Sheila and her father) and twenty-one-month-old Michael. Sheila was
shot, and her body was laid on the dining room table and covered with a
tablecloth. Simmons shot Dennis and strangled Sylvia. Michael was
strangled and placed into the trunk of yet another parked car.
Later this same day, Simmons drove to Russellville,
where he stopped at a Sears store and picked up Christmas gifts that had
been ordered but had not made it in before the holiday. Later that
night, he drove to a private club in Russellville. Then he went home and
waited out the weekend.
On Monday, December 28, 1987, Simmons drove a car
that had belonged to his son, Ronald Jr., to Russellville. He purchased
a second gun from Wal-Mart. His next stop was the Peel, Eddy and Gibbons
Law Firm. After entering the building, Simmons shot and killed
receptionist/secretary Kathy Cribbins Kendrick.
He next went to the Taylor Oil Company, where he shot
and wounded Russell “Rusty” Taylor, the owner of the Sinclair Mini Mart
where he had worked, and then shot and killed J. D. (Jim) Chaffin, a
fireman and part-time truck driver for Taylor Oil. Simmons shot at and
missed another employee before exiting the building.
Simmons then went to the Sinclair Mini Mart, where he
shot and wounded Roberta Woolery and David Salyer. His last stop was the
Woodline Motor Freight company. Simmons located his former supervisor,
Joyce Butts, and wounded her in the head and chest.
He then took worker Vicky Jackson at gunpoint into
the computer office and advised her to phone the police. Simmons
allegedly told Jackson: “I’ve come to do what I wanted to do. It’s all
over now. I’ve gotten everybody who wanted to hurt me.” He surrendered
to Russellville police when they arrived.
Simmons was sent to the Arkansas State Hospital in
Little Rock (Pulaski County) for a competency evaluation by staff
psychiatrist Dr. Irving Kuo. Kuo found Simmons to be sane and capable of
standing trial. Public defenders Robert G. “Doc” Irwin and John Harris
were appointed to represent Simmons. The prosecuting attorney was John
Bynum. Jury selection for the first trial took less than six hours.
Simmons was convicted on May 12, 1988, in the
Franklin County Circuit Court for the deaths of Kendrick and Chaffin. On
May 16 Judge John Samuel Patterson sentenced Simmons to death by lethal
injection plus 147 years. Simmons refused all rights to appeal.
Simmons was found guilty of fourteen counts of
capital murder in the deaths of his family members on February 10, 1989,
in the Johnson County Circuit Court, with Judge Patterson presiding.
Bynum offered a possible motive when he presented an undated note that
was discovered in a safe deposit box at a Russellville bank after
Simmons’s arrest. The letter seemed to indicate a strong love/hate
relationship between Simmons and his daughter Sheila.
After the judge ruled the letter admissible, Simmons
lashed out at Bynum, punching him the face, and then unsuccessfully
struggled for a deputy’s handgun. Officers rushed him out of the
courtroom in chains. Simmons was sentenced to death by lethal injection
on March 16, 1989. He again waived all rights to appeal.
On March 1, 1989, Simmons was found competent to
waive his rights to appeal his conviction. However the filing of
Whitmore v. Arkansas challenged this right. Reverend Louis Franz
and Jonas Whitmore contended that Simmons using his right to refuse
appeal in fact jeopardized the appellate rights of other death row
inmates.
By 7–2 vote, the Supreme Court justices threw out
this appeal; however, the ongoing legal proceedings had prevented the
execution of Simmons from being carried out. Simmons was watching
television and eating what he thought would be his last meal when the
news of his stay of execution was announced.
On May 31, 1990, Governor Bill Clinton signed
Simmons’s second execution warrant for June 25, 1990. This was the
quickest sentence-to-execution-to-death time in United States history
since the death penalty was reinstated in 1976. Simmons refused all
visitors, including legal counsel and clergy. His last words were:
“Justice delayed finally be done is justifiable homicide.” No family
members claimed the body, so Simmons was buried in a paupers’ plot at
Lincoln Memorial Lawn in Varner (Lincoln County).
The Mass Murder Website:
Ronald Gene Simmons
Around midday on 26 December, the remaining members
of the family arrived for their planned Christmas visit; it was to be
their last Christmas. The first to die was Simmons’ son Billy and
daughter-in-law Renata, both shot dead; then his grandson Trae was
strangled and drowned; then daughter Sheila and her husband Dennis
McNulty were shot. Ronald Simmons’ child by his own daughter, christened
Sylvia Gail, was strangled, and finally grandson Michael. Simmons laid
the bodies of his whole family in neat rows in the lounge. All the
corpses were covered with coats except that of Sheila, who was laid in
state covered by Mrs Simmons’ best tablecloth.
The bodies of the two
grandsons were wrapped in plastic sheeting and left in abandoned cars at
the end of the lane. After popping out for a drink in a local bar
Simmons returned to the house and, apparently oblivious of the corpses
lined up around him, spent the next two nights and the Sunday drinking
beer and watching television.
On the Monday morning Ronald Simmons drove into
Russellville and at a law office shot dead a young woman named Kathy
Kendrick, who for some reason he blamed for many of his problems. Next
stop on his murderous tour was an oil company office where Simmons shot
dead a man named J.D Chaffin and wounded the owner. He then drove on to
a store where he shot and wounded two more people. Now on to another
office where he shot and wounded a woman.
And that was the end of his
killing spree. Simmons simply sat in the office and chatted to one of
the secretaries while waiting for the police. When they arrived he
handed over his gun and surrendered without any resistance.
Simmons was charged with sixteen counts of murder,
found guilty and sentenced to death. On 31 May Arkansas governor (later
president) Bill Clinton signed Simmons execution warrant, and on 25 June
1990 he died, as he had chosen to do, by lethal injection.
In 1981 Simmons and his family
fled town when he was reported for having sex with
his daughter. He was seen giving her more than
friendly kisses good-bye each morning and eventually
she admitted to a school Counselor she was pregnant
with his baby. Charges were filed, but eventually
dropped as the Simmons family disappeared.
Almost a year later, they
surfaced in Dover, Arkansas. Some 15 miles outside
town, in a remote and densely wooded area, at the
end of a rutted, red-clay drive, two old mobile
homes were joined together and barricaded like a
fortress with cinder blocks and barbed wire. For
Simmons and his family - this was his Kingdom, and
he was the King. Simmons called his Castle of
squalor, "Mockingbird Hill".
The driveway was dotted with
several large “No Trespassing” signs. The road
leading to the home was badly rutted red clay, at
times impossible to enter when wet or slick from
snow and ice. The yard area, or area which the
Simmons children kept mowed, was covered in piles of
junk Simmons claimed to be “building materials”.
There were several junk automobiles up on blocks and
in various stages of demolition scattered around the
home. The home itself was actually two separate
mobile homes that had been haphazardly connected
together to make one large structure.
It will be 16 years on June 25,
2006 since Ronald Gene Simmons was put to death by
lethal injection. Yet, the mention of his name
around Pope, Yell, or Johnson county Arkansas still
sparks fear in the hearts and minds of the locals
who remember the news around Christmas, 1987.
He is the “boogy man” in
children’s nightmares, his family was the epitome of
everything Social Service workers and school
Counselors thought they were trained to spot, and
his reclusive and bazaar lifestyle was something you
would assume would have drawn the scrutiny and
concern of people in the area.
Yet this man and his family lived
in this tiny Arkansas town only 1.8 miles in size,
with 1,329 people, 529 households, and 372 families
- unnoticed. His children attended public school,
his wife often attended a local Church, and Simmons
had worked several jobs in the nearby town of
Russellville, Arkansas.
Simmons school age children were
never allowed to attend school functions, friends
were never allowed to spend a night at the Simmons
home, nor were the Simmons children ever allowed to
stay over at a friends home. Yet, this peculiarity
went unnoticed.
Later, school officials were
interviewed about the Simmons children and only
commented on having noticed the children were always
clean and ready to catch the bus in the mornings.
Although none of the Simmons children excelled in
their studies, none drew attention by falling behind
either.
There were no records of
disciplinary actions for the Simmons children, and
their attendance had been near perfect. When
Teachers were questioned about the children in their
class, most commented that they really didn’t know
the children well. It seems incredible that these
children could have attended such a small school for
so long and manage to remain relatively unnoticed
and unknown.
Simmons wife, Rebecca, reportedly
tried to leave him on several occasions. Witnesses
who were interviewed later remarked that they had
noticed bruises on Rebecca’s face and arms on
numerous occasions. Yet, this too, went unreported.
The Simmons home had no telephone, they never
received mail, nor sent mail from their rural box by
the side of their driveway.
Just before Christmas 1987,
Ronald Gene Simmons made a conscious decision to
kill all the members of his family. On the morning
of December 22, Simmons drove to the local Wal-Mart
and purchased a .22 caliber handgun.
When he returned home, he first
bludgeoned and shot his son Gene and his long-suffering
wife Rebecca. For a while, he left their bodies
laying where they had fallen. He next focused his
attention on his 3 year old daughter Barbara.
Simmons strangled little Barbara, and wrapped her
body in a black plastic trash bag.
After having a beer, Simmons
dumped the bodies in the cesspit he had made his
children dig in the back yard several days prior.
Now Simmons sat back and awaited the return of his
other children. When they arrived off the bus he
said he had presents for them but wanted to give
them out one at a time.
Sending all the children to their
rooms, Simmons first summoned 17 year old Loretta,
the oldest daughter still at home. Simmons strangled
and held Loretta under the water in a rain barrel
outside the home until she drowned. The three other
children, Eddy, Marianne and Becky were all killed
in a similar manner, one at a time.
Around noon on December 26, the
remaining members of the family arrived at Simmons
home for their planned Christmas visit with the
family. The first to die was Simmons’ son Billy and
daughter-in-law Renata, both shot dead as they
entered the home, in full view of their son Trae.
Trae was next to be strangled and drowned as Barbara
and the other small children had been.
Arriving at the house less than
an hour later were, daughter Sheila and her husband
Dennis McNulty, and the incestuous daughter Simmons
had fathered with Sheila, Sylvia Gale, and the child
Sheila and Dennis had together, Michael. Both Sheila
and Dennis were shot not long after they entered the
house. Simmons’ child by his own daughter, the
christened Sylvia Gail, was strangled, and finally
grandson Michael, in the same manner as the other
small children had been put to death.
Simmons laid the bodies of his
whole family in neat rows in the living room. All
the corpses were covered with coats except that of
Sheila, who was laid out as if in a formal “viewing”
state, covered by Mrs. Simmons’ best tablecloth. The
bodies of the two grandsons were wrapped in plastic
sheeting and left in abandoned cars at the end of
the lane. Simmons soaked the bodies in kerosene, he
said he believed that it would stop the smell coming
out of the ground and prevent attracting animals and
people.
After going out for a drink in a
local bar, Simmons returned home later the evening
of the 26th. Apparently oblivious of the corpses
lined up around him, Simmons spent the next night
and the following Sunday drinking beer and watching
television. He drove into the nearby town of
Russellville, Arkansas on Monday the 28th, with the
.22-caliber pistol he‘d purchased days earlier.
Simmons drove to a law office and
shot dead a young woman named Kathy Kendrick, age
24, who for some reason he blamed for many of his
problems. Simmons then moved on down the street to
the Taylor Oil Company. Simmons shot dead a man
named J.D. Chaffin, 33 years old, and wounded the
owner.
He then drove to a convenience
store where he had once worked and shot and wounded
two more people. Simmons continued on to yet another
office, Woodline Motor Freight Company, where he
shot and wounded a woman. That was the end of his
killing spree.
Simmons simply sat in the office
and chatted to one of the secretaries while waiting
for the police. When they arrived he handed over his
gun and surrendered without any resistance. No one
at the scene that morning guessed Ronald Gene
Simmons was actually winding down his killing spree.
What appeared to be a contained incident of
workplace violence was far worse. In fact, it had
set a record.
Simmons was charged with sixteen
counts of murder, found guilty and sentenced to
death. On May 31, Arkansas Governor (later president)
Bill Clinton, signed Simmons execution warrant, and
on June 25, 1990 he died, as he had chosen to do, by
lethal injection. To this day speculation runs
rampant as to what Simmons motive had been.
Books such as, "Zero at the Bone:
The True Story of the Ronald Gene Simmons Christmas
Massacre," by Paul Williams and Bryce Marshall
attempt to answer the questions. But even if the
motive is established - there will remain unanswered
questions. How could such a family live and work in
such a small town - and no one notice the signs of
obvious dysfunction?
How could a school system see
these children on a daily basis and notice nothing
odd psychologically, emotionally, or socially?
Perhaps we lull ourselves into believing agencies,
trained professionals, and organizations are in
place to spot problematic families such as this -
and intervene before a tragedy such as this can
occur. But the sad fact is that this sort of child
abuse, spousal abuse, and dysfunction go unheeded
every day.
May 7, 1998 - Ronald Gene Simmons, the hillbilly from
hell, allegedly was the father of his daughter's son. In Christmas,
1987, he killed his whole family after his wife threatened him with
divorce. Gene killed fourteen members of his inbred clan making him one
of the most efficient family annihilators. When he was arrested for two
other unrelated murders, the police sensed something suspicious about
the way he talked about his family. When they went to his property they
discovered the bunch of them dead. (Source: Crimes And Punishment: The
Illustrated Crime Encyclopedia)
Ronald Gene Simmons killed 14 members of his family
during Christmas week in 1987. He was sentenced to death, said he was
willing to die, and refused to appeal. But his scheduled March 16, 1989
execution was delayed when a fellow inmate, also on death row, persuaded
the Supreme Court to block it (while Simmons was having what he expected
to be his last meal) on the grounds that the execution could have
repercussions for other death-row inmates. It took the Court until April
24th of this year to reject that challenge. Simmons was executed on June
25th.
Family Annihilation
By Tom Zoellner - The Arizona Republic
April 22, 2001
The perpetrator of family annihilations frequently
commits suicide after the initial act of violence, academics said. But
not every case fits that mold. Occasionally, the killer survives:
Ronald Gene Simmons killed 16 members of his extended
family in Russellville, Ark., over a course of three days at Christmas
1987. Between the murders he drank beer and watched television. His
daughter had recently embarrassed him by revealing that he was the
father of her child. He was executed in 1990.
The Wacky World of Murder
Ronald Gene Simmons
Just before Christmas 1987, Russellville,
Arkansas, Ronald Gene Simmons made a conscious decision to kill all the
members of his family. On the morning of 22 December he first bludgeoned
and shot his son Gene and his long-suffering wife Rebecca; then he
strangled his three-year-old daughter Barbara. After having a beer,
Simmons dumped the bodies in the cesspit he had made his children dig.
Now Simmons sat back and awaited the return of his other children. When
they arrived off the bus he said he had presents for them but wanted to
give them one at a time. First to receive her gift was eldest daughter,
seventeen-year-old Loretta, who Simmons strangled and held under the
water in the rain barrel. The three other children, Eddy, Marianne and
Becky were dispatched in a similarly callous manner.
Around midday on 26 December, the remaining
members of the family arrived for their planned Christmas visit; it was
to be their last Christmas. The first to die was Simmons son Billy and
daughter-in-law Renata, both shot dead; then his grandson Trae was
strangled and drowned; then daughter Sheila and her husband Dennis
McNulty were shot. Ronald Simmons child by his own daughter, christened
Sylvia Gail, was strangled, and finally grandson Michael.
Simmons laid
the bodies of his whole family in neat rows in the lounge. All the
corpses were covered with coats except that of Sheila, who was laid in
state covered by Mrs Simmons best tablecloth. The bodies of the two
grandsons were wrapped in plastic sheeting and left in abandoned cars at
the end of the lane. After popping out for a drink in a local bar
Simmons returned to the house and, apparently oblivious of the corpses
lined up around him, spent the next two nights and the Sunday drinking
beer and watching television.
On the Monday morning Ronald Simmons drove
into Russellville and at a law office shot dead a young woman named
Kathy Kendrick, who for some reason he blamed for many of his problems.
Next stop on his murderous tour was an oil company office where Simmons
shot dead a man named J.D Chaffin and wounded the owner. He then drove
on to a store where he shot and wounded two more people. Now on to
another office where he shot and wounded a woman. And that was the end
of his killing spree. Simmons simply sat in the office and chatted to
one of the secretaries while waiting for the police. When they arrived
he handed over his gun and surrendered without any resistance.
Simmons was charged with sixteen counts of
murder, found guilty and sentenced to death. On 31 May Arkansas governor
(later president) Bill Clinton signed Simmons execution warrant, and on
25 June 1990 he died, as he had chosen to do, by lethal injection.
Man surrenders to police
Whitmore ex rel. Simmons v.
Arkansas, 110 S.Ct. 1717 (1990).
Simmons was first tried for the Russellville crimes,
and a jury convicted him of capital murder and sentenced him to death.
After being sentenced, Simmons made this statement under oath: " 'I,
Ronald Gene Simmons, Sr., want it to be known that it is my wish and my
desire that absolutely no action by anybody be taken to appeal or in any
way change this sentence. It is further respectfully requested that this
sentence be carried out expeditiously.' " The trial court conducted a
hearing concerning Simmons' competence to waive further proceedings, and
concluded that his decision was knowing and intelligent.
As Simmons' execution date approached Louis J. Franz,
a Catholic priest who counsels inmates at the Arkansas Department of
Corrections, petitioned the Supreme Court of Arkansas for permission to
proceed as Simmons' "next friend" and to prosecute an appeal on his
behalf. The court held that Franz did not have standing as "next friend,"
because he had not alleged facts showing that he had ever met Simmons,
much less that he had a close relationship with the defendant.
It also
rejected both his argument for standing under the Arkansas Constitution
as an aggrieved taxpayer and his assertion that he should have standing
as a concerned citizen to prevent an important legal issue from going
unresolved at the appellate level. In dicta, the court went on to state
that Arkansas law does not require a mandatory appeal in all death
penalty cases.
Franz and another Arkansas death row inmate, Darrel
Wayne Hill, then applied in Federal District Court for a writ of habeas
corpus to prevent Simmons' execution, but the petition was denied on the
ground that Franz and Hill did not have standing.
The State subsequently tried Simmons for the murder
of his 14 family members, and on February 10, 1989, a jury convicted him
of capital murder and imposed a sentence of death by lethal injection.
Simmons again notified the trial court of his desire to waive his right
to direct appeal, and after a hearing, the court found Simmons competent
to do so. The Supreme Court of Arkansas, pursuant to the rule
established in Franz, reviewed the competency determination and affirmed
the trial court's decision that Simmons had knowingly and intelligently
waived his right to appeal.
Three days later, petitioner Jonas Whitmore, another
death row inmate in Arkansas, sought permission from the Supreme Court
of Arkansas to intervene in Simmons' proceeding both individually and
"as next friend of Ronald Gene Simmons." The court concluded that
Whitmore had failed to show he had standing to intervene, and it denied
the motion. Simmons v. State, 298 Ark. 255, 766 S.W.2d 423
(1989). Whitmore then asked this Court to stay Simmons' execution, which
was scheduled for March 16, 1989.
New England Journal on
Criminal and Civil Confinement, Winter/Summer, 1992 - Case Comment:
WHITMORE v. ARKANSAS: EXECUTION OF AN INDIVIDUAL, WITHOUT A PRIOR
MANDATORY APPELLATE REVIEW, DENIED SCRUTINY, by Carol A. Fitzsimmons.
On December 28, 1987, in the Town of Russellville,
Arkansas, Ronald Gene Simmons went on a murderous rampage at four
different locations over a period of approximately thirty minutes.
During this violent spree, Simmons shot five people, seriously injuring
three and killing two. Simmons was later apprehended and a search of his
home was conducted, in which more dead bodies, later identified as
family members, were discovered.
As a result of these findings, the State of Arkansas
filed criminal charges in two counties against Ronald Gene Simmons. On
May 16, 1988, in the Circuit Court of Franklin County, a jury convicted
Simmons of capital murder and sentenced him to death for the murders of
the two innocent bystanders during the rampage through the Town of
Russellville. With respect to this conviction, Simmons made the trial
court aware that he did not wish to seek any direct appeal to the
Arkansas Supreme Court for the purpose of reviewing the validity of his
conviction for capital murder.
In response to this request, the Franklin
County Circuit Court held a hearing on May 16, 1988, at which time
experts testified as to "Simmons' mental competence to make a voluntary
waiver of his right to a direct appeal to the Arkansas Supreme Court."
Upon hearing such testimony, the trial court concluded that Ronald Gene
Simmons was sufficiently competent to voluntarily waive his right to
direct appeal and that his choice to do so was made knowingly and
intelligently.
Subsequently, on February 10, 1989, Ronald Gene
Simmons was tried in the Circuit Court of Johnson County for the murders
of the fourteen members of his family, whose bodies were discovered
December 28-29, 1987. The jury convicted Simmons of capital murder and
sentenced him to death by lethal injection to be carried out on March
16, 1989 at 7:00 a.m.
Following the trial, Simmons notified the trial
judge of his desire to waive his right to appeal. An evidentiary hearing
was held on March 1, 1989, and the trial judge found that Simmons was
again competent to waive his right to direct appeal.
The Arkansas
Supreme Court, pursuant to the rule established in Franz v. State,
reviewed the competency evaluation and subsequently affirmed the trial
court's decision that Simmons had made a knowing and intelligent waiver
of his right to appeal. Although the Arkansas Supreme Court has affirmed
Simmons' right to waive appeal, the execution scheduled for March 16,
1989, has yet to be carried out. Two individuals, Reverend Louis Franz
and Jonas Whitmore sought review of this sentence both individually and
as "next friend" to Ronald Gene Simmons.
495 U.S. 149
After
his trial on multiple
murder charges, Ronald
Simmons waived his right
to direct appeal of his
conviction and death
sentence. The trial
court conducted a
hearing and determined
that Simmons was
competent to waive
further proceedings.
Pursuant to its rule
that Arkansas law does
not require a mandatory
appeal in all death
penalty cases, but that
a defendant can forgo
his direct appeal only
if he has been
judicially determined to
have the capacity to
understand the choice
between life and death
and to knowingly and
intelligently waive any
and all rights to appeal
his sentence, the State
Supreme Court reviewed
the competency
determination and
affirmed the trial
court's decision that
Simmons had knowingly
and intelligently waived
the right to appeal.
This
Court granted Whitmore's
petition for certiorari
on the questions whether
a third party has
standing to challenge
the validity of a death
sentence imposed on a
capital defendant who
has elected to forgo his
right of appeal, and
whether the Eighth and
Fourteenth Amendments
prohibit the State from
carrying out a death
sentence without first
conducting a mandatory
appellate review of the
conviction and sentence.
Held:
Whitmore lacks standing
to proceed in this Court.
Pp. 154-166.
(a) Before a federal
court can consider
the merits of a
legal claim, the
person seeking to
invoke the court's
jurisdiction must
establish the
requisite standing
to sue. To do so, he
must prove the
existence of an Art.
III case or
controversy by
clearly
demonstrating that
he has suffered an "injury
in fact," which is
concrete in both a
qualitative and
temporal sense. He
must show that the
injury "fairly can
be traced to the
challenged action,"
and "is likely to be
redressed by a
favorable decision."
Simon v. Eastern
Kentucky Welfare
Rights Organization,
426 U.S. 26, 38 ,
41. Pp. 154-156.
(c) Whitmore's
alternative argument
that he has standing
as Simmons' "next
friend" is also
rejected. The scope
of any federal "next
friend" standing
doctrine, assuming
that one exists
absent congressional
authorization, is no
broader than the "next
friend" standing
permitted under the
federal habeas
corpus statute. Thus,
one necessary
condition is a
showing by the
proposed "next
friend" that the
real party in
interest is unable
to litigate his own
cause due to mental
incapacity, lack of
access to court, or
other similar
disability. That
prerequisite is not
satisfied where, as
here, an evidentiary
hearing shows that
the defendant has
given a knowing,
intelligent, and
voluntary waiver of
his right to proceed,
and his access to
court is otherwise
unimpeded. Pp.
161-166.
298
Ark. 193 and 255, 766 S.
W. 2d 422 and 423,
certiorari dismissed.
REHNQUIST, C. J.,
delivered the opinion of
the Court, in which
WHITE, BLACKMUN, STEVENS,
O'CONNOR, SCALIA, and
KENNEDY, JJ., joined.
MARSHALL, J., filed a
dissenting opinion, in
which BRENNAN, J.,
joined, post, p. 166.
Arthur L. Allen, by
appointment of the Court,
493 U.S. 804 , argued
the cause and filed a
brief for petitioner.
J.
Steven Clark, Attorney
General of Arkansas,
argued the cause for
respondents. With him on
the brief for respondent
State of Arkansas was
Clint Miller, Assistant
Attorney General. John
Harris filed a brief for
respondent Simmons.
*
[
Footnote * ] Gary B.
Born, Daniel J. Popeo,
and Paul D. Kamenar
filed a brief for the
Washington Legal
Foundation et al. as
amici curiae urging
affirmance.
William Webster,
Attorney General of
Missouri, John M. Morris
and Stephen D. Hawke,
Assistant Attorneys
General, Don Siegelman,
Attorney General of
Alabama, Jim Jones,
Attorney General of
Idaho, Hal Stratton,
Attorney General of New
Mexico, Anthony J.
Celebrezze, Jr.,
Attorney General of
Ohio, T. Travis Medlock,
Attorney General of
South Carolina, and Mary
Sue Terry, Attorney
General of Virginia,
filed a brief for the
State of Missouri et al.
as amici curiae.
CHIEF
JUSTICE REHNQUIST
delivered the opinion of
the Court.
This
case presents the
question whether a third
party has standing to
challenge the validity
of a death sentence
imposed on a capital
defendant who has
elected to forgo his
right of appeal to the
State Supreme Court.
Petitioner Jonas
Whitmore contends that
the Eighth and
Fourteenth Amendments
prevent the State of
Arkansas from carrying
out the death sentence
imposed on Ronald Gene
Simmons without first
conducting a mandatory
appellate review of
Simmons' conviction and
sentence. We hold that
petitioner lacks
standing, and therefore
dismiss the writ of
certiorari.
I
On
December 28, 1987,
Ronald Gene Simmons shot
and killed two people
and wounded three others
in the course of a
rampage through the town
of Russellville,
Arkansas. After police
apprehended Simmons,
they searched his home
in nearby Dover,
Arkansas, and discovered
the bodies of 14 members
of Simmons' family, all
of whom had been
murdered. The State
filed two sets of
criminal charges against
Simmons, one based on
the two Russellville
murders and the other
covering the deaths of
his family members.
Simmons was first tried
for the Russellville
crimes, and a jury
convicted him of capital
murder and sentenced him
to death. After being
sentenced, Simmons made
this statement under
oath: "`I, Ronald Gene
Simmons, Sr., want it to
be known that it is my
wish and my desire that
absolutely no action by
anybody be taken to
appeal or in any way
change this sentence. It
is further respectfully
requested that this
sentence be carried out
expeditiously.'" See
Franz v. State, 296 Ark.
181, 183, 754 S. W. 2d
839, 840 (1988). The
trial court conducted a
hearing concerning
Simmons' competence to
waive further
proceedings, and
concluded that his
decision was knowing and
intelligent.
As
Simmons' execution date
approached Louis J.
Franz, a Catholic priest
who counsels inmates at
the Arkansas Department
of Corrections,
petitioned the Supreme
Court of Arkansas for
permission to proceed as
Simmons'"next friend"
and to prosecute an
appeal on his behalf.
The
court held that Franz
did not have standing as
"next friend," because
he had not alleged facts
showing that he had ever
met Simmons, much less
that he had a close
relationship with the
defendant. It also
rejected both his
argument for standing
under the Arkansas
Constitution as an
aggrieved taxpayer and
his assertion that he
should have standing as
a concerned citizen to
prevent an important
legal issue from going
unresolved at the
appellate level.
In
dicta, the court went on
to state that Arkansas
law does not require a
mandatory appeal in all
death penalty cases. It
did note, however, that
a defendant sentenced to
death in Arkansas will
be able to forgo his
direct appeal "only if
he has been judicially
determined to have the
capacity to understand
the choice between life
and death and to
knowingly and
intelligently waive any
and all rights to appeal
his sentence." Id., at
189, 754 S. W. 2d, at
843.
After
reviewing the record of
the trial court's
competency hearing, the
Supreme Court held that
Simmons had made a
knowing and intelligent
waiver of his right to
appeal. Franz and
another Arkansas death
row inmate, Darrel Wayne
Hill, then applied in
Federal District Court
for a writ of habeas
corpus to prevent
Simmons' execution, but
the petition was denied
on the ground that Franz
and Hill did not have
standing. Franz v.
Lockhart, 700 F. Supp.
1005 (ED Ark. 1988),
appeal pending, No.
89-1485EA (CA8).
The
State subsequently tried
Simmons for the murder
of his 14 family members,
and on February 10,
1989, a jury convicted
him of capital murder
and imposed a sentence
of death by lethal
injection. Simmons again
notified the trial court
of his desire to waive
his right to direct
appeal, and after a
hearing, the court found
Simmons competent to do
so.
The
Supreme Court of
Arkansas, pursuant to
the rule established in
Franz, reviewed the
competency determination
and affirmed the trial
court's decision that
Simmons had knowingly
and intelligently waived
his right to appeal.
Simmons v. State, 298
Ark. 193, 766 S. W. 2d
422 (1989).
The
court commended the
trial court and Simmons'
counsel for doing "an
exceptional job in
examining and exploring
[Simmons'] capacity to
understand the choice
between life and death
and his ability to know
and to intelligently
waive any and all right
he might have in an
appeal of his sentence."
Id., at 194, 766 S. W.
2d, at 423.
The
court also noted that
Simmons' counsel "thoroughly
discussed seven possible
points that could be
argued for reversal on
appeal" and that Simmons
acknowledged those
points but "rejected all
encouragement and
suggestions to appeal."
Ibid.
Three
days later, petitioner
Jonas Whitmore, another
death row inmate in
Arkansas, sought
permission from the
Supreme Court of
Arkansas to intervene in
Simmons' proceeding both
individually and "as
next friend of Ronald
Gene Simmons." The court
concluded that Whitmore
had failed to show he
had standing to
intervene, and it denied
the motion. Simmons v.
State, 298 Ark. 255, 766
S. W. 2d 423 (1989).
Whitmore then asked this
Court to stay Simmons'
execution, which was
scheduled for March 16,
1989. We granted a stay
pending the filing and
disposition of a
petition for certiorari,
489 U.S. 1073 (1989),
and later granted
Whitmore's petition for
certiorari. 492 U.S. 917
(1989).
II
A
This
is not the first time we
have encountered a third
party seeking to prevent
the execution of a
capital defendant who
has decided to forgo
further judicial
proceedings. In Gilmore
v. Utah, 429 U.S. 1012
(1976), we considered an
application for a stay
of the execution of Gary
Mark Gilmore, filed by
his mother Bessie
Gilmore after the
defendant declined to
request relief. A
majority of the Court
concluded that Gilmore
had made a knowing and
intelligent waiver of
any federal rights
available to him and,
accordingly, allowed the
execution to go forward.
Four
Members of the Court,
however, felt that the
standing and other
constitutional issues
raised by the
application were
substantial and would
have given the matter
plenary consideration.
Since Gilmore, we have
been presented with
other applications from
third parties for stays
of execution, see
Lenhard v. Wolff, 443
U.S. 1306 , stay of
execution denied, 444
U.S. 807 (1979); Evans
v. Bennett, 440 U.S.
1301 , stay of execution
denied, 440 U.S. 987
(1979), but until the
present case, we have
not requested full
briefing and argument
and issued an opinion of
the Court on this
recurring issue.
Petitioner Whitmore asks
this Court to hold that
despite Simmons' failure
to appeal, the Eighth
and Fourteenth
Amendments require the
State of Arkansas to
conduct an appellate
review of his conviction
and sentence before it
can proceed to execute
him. It is well
established, however,
that before a federal
court can consider the
merits of a legal claim,
the person seeking to
invoke the jurisdiction
of the court must
establish the requisite
standing to sue.
Article III, of course,
gives the federal courts
jurisdiction over only
"cases and controversies,"
and the doctrine of
standing serves to
identify those disputes
which are appropriately
resolved through the
judicial process. See
Valley Forge Christian
College v. Americans
United for Separation of
Church & State, Inc.,
454 U.S. 464, 471 -476
(1982). Our threshold
inquiry into standing
"in no way depends on
the merits of the [petitioner's]
contention that
particular conduct is
illegal," Warth v.
Seldin, 422 U.S. 490,
500 (1975), and we thus
put aside for now
Whitmore's Eighth
Amendment challenge and
consider whether he has
established the
existence of a "case or
controversy."
Although we have
acknowledged before that
"the concept of `Art.
III standing' has not
been defined with
complete consistency in
all of the various cases
decided by this Court
which have discussed it,"
Valley Forge, supra, at
475, certain basic
principles have been
distilled from our
decisions. To establish
an Art. III case or
controversy, a litigant
first must clearly
demonstrate that he has
suffered an "injury in
fact."
That
injury, we have
emphasized repeatedly,
must be concrete in both
a qualitative and
temporal sense. The
complainant must allege
an injury to himself
that is "distinct and
palpable," Warth, supra,
at 501, as opposed to
merely "[a]bstract,"
O'Shea v. Littleton, 414
U.S. 488, 494 (1974),
and the alleged harm
must be actual or
imminent, not "conjectural"
or "hypothetical." Los
Angeles v. Lyons, 461
U.S. 95, 101 -102
(1983).
Further, the litigant
must satisfy the "causation"
and "redressability"
prongs of the Art. III
minima by showing that
the injury "fairly can
be traced to the
challenged action" and "is
likely to be redressed
by a favorable decision."
Simon v. Eastern
Kentucky Welfare Rights
Organization, 426 U.S.
26, 38 , 41 (1976);
Valley Forge, supra, at
472. The litigant must
clearly and specifically
set forth facts
sufficient to satisfy
these Art. III standing
requirements. A federal
court is powerless to
create its own
jurisdiction by
embellishing otherwise
deficient allegations of
standing. See Warth,
supra, at 508, 518.
1
B
As we
understand Whitmore's
claim of standing in his
individual capacity, he
alleges that the State
has infringed rights
that the Eighth
Amendment grants to him
personally and to the
subject of the impending
execution, Simmons. He
therefore rests his
claim to relief both on
his own asserted legal
right to a system of
mandatory appellate
review and on Simmons'
similar right. Under
either theory, Whitmore
must establish Art. III
standing, see Secretary
of State of Md. v.
Joseph H. Munson Co.,
467 U.S. 947, 956
(1984); Singleton v.
Wulff, 428 U.S. 106, 112
(1976), and we find that
his allegations fall
short of doing so.
Whitmore's principal
claim of injury in fact
is that Arkansas has
established a system of
comparative review in
death penalty cases, and
that he has "a direct
and substantial interest
in having the data base
against which his crime
is compared to be
complete and to not be
arbitrarily skewed by
the omission of any
other capital case."
Brief for Petitioner 21.
Although he has already
been convicted of murder
and sentenced to death,
has exhausted his direct
appellate review, see
Whitmore v. State, 296
Ark. 308, 756 S. W. 2d
890 (1988), and has been
denied state
postconviction relief,
Whitmore v. State, 299
Ark. 55, 771 S. W. 2d
266 (1989), petitioner
suggests that he might
in the future obtain
federal habeas corpus
relief that would
entitle him to a new
trial.
Petitioner's alleged
injury is too
speculative to invoke
the jurisdiction of an
Art. III court.
Whitmore's conviction
and death sentence are
final, and his claim
that he may eventually
secure federal habeas
relief from his
conviction is obviously
problematic. Nor,
although the odds may
well be better, can
petitioner prove that if
he were to obtain habeas
relief, he would be
retried, convicted, and
again sentenced to death.
And
even were we to follow
Whitmore this far down
the path, it is nothing
more than conjecture
that the addition of
Simmons' crimes to a
comparative review "data
base" would lead the
Supreme Court of
Arkansas to set aside a
death sentence for
Whitmore, whose victim
died after he stabbed
her 10 times, cut her
throat, and carved an
"X" on the side of her
face. 296 Ark., at 317,
756 S. W. 2d, at 895.
In
its comparative review
of Whitmore's current
sentence, the Arkansas
court simply noted that
defendants in similar
robbery-murder capital
crimes had also been
sentenced to death. Ibid.
Whitmore provides no
factual basis for us to
conclude that the
sentence imposed on a
mass murderer like
Simmons would even be
relevant to a future
comparative review of
Whitmore's sentence.
Whitmore's theory of
injury is at least as
speculative as others we
have found insufficient
to establish Art. III
injury in fact. In
O'Shea v. Littleton,
supra, we held there was
no case or controversy
where residents of an
Illinois town sought
injunctive relief
against a Magistrate and
a Circuit Court Judge
whom the plaintiffs
claimed were engaged in
a pattern and practice
of illegal bondsetting,
sentencing, and jury-fee
practices in criminal
cases.
The
allegation of
respondents (plaintiffs)
in that case amounted to
a claim "that if
respondents proceed to
violate an unchallenged
law and if they are
charged, held to answer,
and tried in any
proceedings before
petitioners, they will
be subjected to the
discriminatory practices
that petitioners are
alleged to have followed."
Id., at 497. That
contention, which we
think is analogous to
Whitmore's, took us "into
the area of speculation
and conjecture," ibid.,
and beyond the bounds of
our jurisdiction.
We
have likewise thought
inadequate allegations
of future injury
contingent on a
plaintiff having an
encounter with police
wherein police would
administer an allegedly
illegal "chokehol[d],"
Los Angeles v. Lyons,
461 U.S., at 105 , on
the prospective future
candidacy of a former
Congressman, Golden v.
Zwickler, 394 U.S. 103,
109 (1969), and on
police using deadly
force against a person
fleeing from an as yet
uneffected arrest.
Ashcroft v. Mattis, 431
U.S. 171, 172 , n. 2
(1977). Recently in
Diamond v. Charles, 476
U.S. 54 (1986), we
rejected a physician's
attempt to defend a
state law restricting
abortions, because his
complaint that fewer
abortions would lead to
more paying patients was
"`unadorned speculation'"
insufficient to invoke
the federal judicial
power. Id., at 66 (quoting
Simon v. Eastern
Kentucky Welfare Rights
Organization, 426 U.S.,
at 44 ).
Each
of these cases
demonstrates what we
have said many times
before and reiterate
today: Allegations of
possible future injury
do not satisfy the
requirements of Art. III.
A threatened injury must
be "`certainly impending'"
to constitute injury in
fact. Babbitt v. Farm
Workers, 442 U.S. 289,
298 (1979) (quoting
Pennsylvania v. West
Virginia, 262 U.S. 553,
593 (1923)). See also
Lyons, supra, at 102;
United States v.
Richardson, 418 U.S.
166, 177 -178 (1974).
Probably the most
attenuated injury
conferring Art. III
standing was that
asserted by the
respondents in United
States v. SCRAP, 412
U.S. 669 (1974). There,
an environmental group
challenged the
Interstate Commerce
Commission's approval of
a surcharge on railroad
freight rates, claiming
that the adverse
environmental impact of
the ICC's action on the
Washington metropolitan
area would cause the
group's members to
suffer "`economic,
recreational and
aesthetic harm.'" Id.,
at 678.
The
SCRAP group alleged that
"a general rate increase
would . . . cause
increased use of
nonrecyclable
commodities as compared
to recyclable goods,
thus resulting in the
need to use more natural
resources to produce
such goods, some of
which resources might be
taken from the
Washington area, and
resulting in more refuse
that might be discarded
in national parks in the
Washington area." Id.,
at 688. The Court held
that those pleadings
alleged a specific and
perceptible harm
sufficient to survive a
motion to dismiss for
lack of standing, but
also indicated that the
United States could have
been entitled to summary
judgment on the standing
issue if it showed that
"the allegations were
sham and raised no
genuine issue of fact."
Id., at 689, and n. 15.
Even
under the analysis of
the standing question in
SCRAP, which surely went
to the very outer limit
of the law, petitioner's
asserted injury is not
enough to establish
jurisdiction. In SCRAP,
the environmental group
alleged that specific
and perceptible harms -
depletion of natural
resources and increased
littering - would befall
its members imminently
if the ICC orders were
not reversed.
That
bald statement, even if
incorrect, was held
sufficient to withstand
a motion to dismiss,
because the plaintiffs
in SCRAP may have been
able to show at trial
that the string of
occurrences alleged
would happen immediately.
But Whitmore does not
make - and could not
responsibly make - a
similar claim of
immediate harm. We can
take judicial notice of
the fact that writs of
habeas corpus are
granted in only some
cases, and that guilty
verdicts are returned
after only some trials.
It is just not possible
for a litigant to prove
in advance that the
judicial system will
lead to any particular
result in his case.
Thus,
unlike the injury
alleged in SCRAP, there
is no amount of evidence
that potentially could
establish that
Whitmore's asserted
future injury is "`real
and immediate.'" See
O'Shea, 414 U.S., at 494
. Moreover, as noted
above, even if Whitmore
could demonstrate with
certainty that he would
be retried, convicted,
and sentenced, he has
not shown that Simmons'
convictions would be
pertinent to his
proportionality review
in the Supreme Court of
Arkansas.
Whitmore also contends
that as a citizen of
Arkansas, he is "entitled
to the public interest
protections of the
Eighth Amendment," and
has a right to invoke
this Court's
jurisdiction to insure
that an execution is not
carried out in Arkansas
without appellate review.
This
allegation raises only
the "generalized
interest of all citizens
in constitutional
governance," Schlesinger
v. Reservists Committee
to Stop the War, 418
U.S. 208, 217 (1974),
and is an inadequate
basis on which to grant
petitioner standing to
proceed. To dispose of
this claim, we need do
no more than quote our
decision in Allen v.
Wright, 468 U.S. 737,
754 (1984): "This Court
has repeatedly held that
an asserted right to
have the Government act
in accordance with law
is not sufficient,
standing alone, to
confer jurisdiction on a
federal court." Accord,
Valley Forge College v.
Americans United, 454
U.S., at 482 -483, and
489-490, n. 26 ("Were we
to recognize standing
premised on an `injury'
consisting solely of an
alleged violation of a
`"personal
constitutional right" to
a government that does
not establish religion,'
a principled consistency
would dictate
recognition of
respondents' standing to
challenge execution of
every capital sentence
on the basis of a
personal right to a
government that does not
impose cruel and unusual
punishment") (quoting
Americans United for
Separation of Church &
State, Inc. v. United
States Dept. of Health,
Education and Welfare,
619 F.2d 252, 265 (CA3
1980) (citation omitted));
Schlesinger, supra, at
216-227; United States
v. Richardson, supra, at
176-177.
Perhaps recognizing the
weakness of his claim
for standing, petitioner
argues next that the
Court should create an
exception to traditional
standing doctrine for
this case. The
uniqueness of the death
penalty and society's
interest in its proper
imposition, he maintains,
justify a relaxed
application of standing
principles. The short
answer to this
suggestion is that the
requirement of an Art.
III "case or controversy"
is not merely a
traditional "rule of
practice," but rather is
imposed directly by the
Constitution. It is not
for this Court to employ
untethered notions of
what might be good
public policy to expand
our jurisdiction in an
appealing case.
We
have previously resisted
the temptation to "import
profound differences of
opinion over the meaning
of the Eighth Amendment
to the United States
Constitution into the
domain of administrative
law," Heckler v. Chaney,
470 U.S. 821, 838
(1985); id., at 839-840,
n. 2 (BRENNAN, J.,
concurring), and
restraint is even more
important when the
matter at issue is the
constitutional source of
the federal judicial
power itself.
2 We hold that
Whitmore does not have
standing in his
individual capacity to
press an Eighth
Amendment objection to
Simmons' conviction and
sentence.
C
As an
alternative basis for
standing to maintain
this action, petitioner
purports to proceed as "next
friend of Ronald Gene
Simmons." Although we
have never discussed the
concept of "next friend"
standing at length, it
has long been an
accepted basis for
jurisdiction in certain
circumstances. Most
frequently, "next
friends" appear in court
on behalf of detained
prisoners who are unable,
usually because of
mental incompetence or
inaccessibility, to seek
relief themselves. E.
g., United States ex
rel. Toth v. Quarles,
350 U.S. 11, 13 , n. 3
(1955) (prisoner's
sister brought habeas
corpus proceeding while
he was being held in
Korea).
As
early as the 17th
century, the English
Habeas Corpus Act of
1679 authorized
complaints to be filed
by "any one on . . .
behalf" of detained
persons, see 31 Car. II,
ch. 2, and in 1704 the
House of Lords resolved
"[t]hat every Englishman,
who is imprisoned by any
authority whatsoever,
has an undoubted right,
by his agents, or
friends, to apply for,
and obtain a Writ of
Habeas Corpus, in order
to procure his liberty
by due course of law."
See Ashby v. White, 14
How. St. Tr. 695, 814
(Q. B. 1704).
Some
early decisions in this
country interpreted
ambiguous provisions of
the federal habeas
corpus statute to allow
"next friend" standing
in connection with
petitions for writs of
habeas corpus, see, e.
g., Collins v. Traeger,
27 F.2d 842, 843 (CA9
1928); United States ex
rel. Funaro v. Watchorn,
164 F. 152, 153 (SDNY
1908),
3 and Congress
eventually codified the
doctrine explicitly in
1948. See 28 U.S.C. 2242
(1982 ed.) ("Application
for a writ of habeas
corpus shall be in
writing signed and
verified by the person
for whose relief it is
intended or by someone
acting in his behalf") (emphasis
added).
4
A "next
friend" does not himself
become a party to the
habeas corpus action in
which he participates,
but simply pursues the
cause on behalf of the
detained person, who
remains the real party
in interest. Morgan v.
Potter, 157 U.S. 195,
198 (1895); Nash ex rel.
Hashimoto v. MacArthur,
87 U.S. App. D.C. 268,
269-270, 184 F.2d 606,
607-608 (1950), cert.
denied, 342 U.S. 838
(1951).
Most
important for present
purposes, "next friend"
standing is by no means
granted automatically to
whomever seeks to pursue
an action on behalf of
another. Decisions
applying the habeas
corpus statute have
adhered to at least two
firmly rooted
prerequisites for "next
friend" standing. First,
a "next friend" must
provide an adequate
explanation - such as
inaccessibility, mental
incompetence, or other
disability - why the
real party in interest
cannot appear on his own
behalf to prosecute the
action. Wilson v. Lane,
870 F.2d 1250, 1253 (CA7
1989), cert. pending,
No. 89-81; Smith ex rel.
Missouri Public Defender
Comm'n v. Armontrout,
812 F.2d 1050, 1053
(CA8), cert. denied, 483
U.S. 1033 (1987); Weber
v. Garza, 570 F.2d 511,
513-514 (CA5 1978).
Second, the "next friend"
must be truly dedicated
to the best interests of
the person on whose
behalf he seeks to
litigate, see, e. g.,
Morris v. United States,
399 F. Supp. 720, 722 (ED
Va. 1975), and it has
been further suggested
that a "next friend"
must have some
significant relationship
with the real party in
interest. Davis v.
Austin, 492 F. Supp.
273, 275-276 (ND Ga.
1980) (minister and
first cousin of prisoner
denied "next friend"
standing). The burden is
on the "next friend"
clearly to establish the
propriety of his status
and thereby justify the
jurisdiction of the
court. Smith, supra, at
1053; Groseclose ex rel.
Harries v. Dutton, 594
F. Supp. 949, 952 (MD
Tenn. 1984).
These
limitations on the "next
friend" doctrine are
driven by the
recognition that "[i]t
was not intended that
the writ of habeas
corpus should be availed
of, as matter of course,
by intruders or
uninvited meddlers,
styling themselves next
friends." United States
ex rel. Bryant v.
Houston, 273 F. 915, 916
(CA2 1921); see also
Rosenberg v. United
States, 346 U.S. 273,
291 -292 (1953)
(Jackson, J., concurring
with five other Justices)
(discountenancing
practice of granting "next
friend" standing to one
who was a stranger to
the detained persons and
their case and whose
intervention was
unauthorized by the
prisoners' counsel).
Indeed, if there were no
restriction on "next
friend" standing in
federal courts, the
litigant asserting only
a generalized interest
in constitutional
governance could
circumvent the
jurisdictional limits of
Art. III simply by
assuming the mantle of "next
friend."
Whitmore, of course,
does not seek a writ of
habeas corpus on behalf
of Simmons. He desires
to intervene in a state-court
proceeding to appeal
Simmons' conviction and
death sentence. Under
these circumstances,
there is no federal
statute authorizing the
participation of "next
friends." The Supreme
Court of Arkansas
recognizes, apparently
as a matter of common
law, the availability of
"next friend" standing
in the Arkansas courts,
see Franz v. State, 296
Ark., at 184, 754 S. W.
2d, at 840-841, but
declined to grant it to
Whitmore.
Without deciding whether
a "next friend" may ever
invoke the jurisdiction
of a federal court
absent congressional
authorization, we think
the scope of any federal
doctrine of "next friend"
standing is no broader
than what is permitted
by the habeas corpus
statute, which codified
the historical practice.
And in keeping with the
ancient tradition of the
doctrine, we conclude
that one necessary
condition for "next
friend" standing in
federal court is a
showing by the proposed
"next friend" that the
real party in interest
is unable to litigate
his own cause due to
mental incapacity, lack
of access to court, or
other similar disability.
That
prerequisite for "next
friend" standing is not
satisfied where an
evidentiary hearing
shows that the defendant
has given a knowing,
intelligent, and
voluntary waiver of his
right to proceed, and
his access to court is
otherwise unimpeded. See
Gilmore v. Utah, 429
U.S., at 1017 (STEVENS,
J., concurring).
Although we are not here
faced with the question
whether a hearing on
mental competency is
required by the United
States Constitution
whenever a capital
defendant desires to
terminate further
proceedings, such a
hearing will obviously
bear on whether the
defendant is able to
proceed on his own
behalf.
The
Supreme Court of
Arkansas requires a
competency hearing as a
matter of state law, and
in this case it affirmed
the trial court's
finding that Simmons had
"the capacity to
understand the choice
between life and death
and to knowingly and
intelligently waive any
and all rights to appeal
his sentence." Simmons
v. State, 298 Ark., at
194, 766 S. W. 2d, at
423. At oral argument,
Whitmore's counsel
questioned the validity
of the waiver, but we
find no reason to
disturb the judgment of
the Supreme Court of
Arkansas on this point.
Simmons was questioned
by counsel and the trial
court concerning his
choice to accept the
death sentence, and his
answers demonstrate that
he appreciated the
consequences of that
decision. He indicated
that he understood
several possible grounds
for appeal, which had
been explained to him by
counsel, but informed
the court that he was "not
seeking any
technicalities." Tr. 15.
In a
psychiatric interview,
Simmons stated that he
would consider it "`a
terrible miscarriage of
justice for a person to
kill people and not be
executed,'" id., at 29,
and there was no
meaningful evidence that
he was suffering from a
mental disease, disorder,
or defect that
substantially affected
his capacity to make an
intelligent decision.
See Rees v. Peyton, 384
U.S. 312, 314 (1966). We
therefore hold that
Whitmore, having failed
to establish that
Simmons is unable to
proceed on his own
behalf, does not have
standing to proceed as "next
friend" of Ronald Gene
Simmons.
*
* *
At
the beginning of this
century, the Court
confronted a situation
similar to this in which
a concerned citizen
sought to bring an
ordinary civil action to
secure relief for a
condemned man. The
Court's response on that
occasion is equally apt
today: "However friendly
he may be to the doomed
man and sympathetic for
his situation; however
concerned he may be lest
unconstitutional laws be
enforced, and however
laudable such sentiments
are, the grievance they
suffer and feel is not
special enough to
furnish a cause of
action in a case like
this." Gusman v.
Marrero, 180 U.S. 81, 87
(1901).
Jonas
Whitmore lacks standing
to proceed in this Court,
and the writ of
certiorari is dismissed
for want of jurisdiction.
See Doremus v. Board of
Education of Hawthorne,
342 U.S. 429 (1952).
It is so ordered.
*****
Footnotes
[
Footnote 1 ] In
addition to the
constitutional
requirements of Art. III,
the court has developed
several now-familiar
prudential limitations
on standing. See Valley
Forge Christian College
v. Americans United for
Separation of Church &
State, Inc., 454 U.S.
464, 472 -475 (1982).
These limitations are
not involved in this
case.
[
Footnote 2 ] The
cases relied upon by
petitioner to establish
that the strict
requirement of standing,
in some circumstances,
is only a "rule of
practice" that can be
relaxed in view of
countervailing policies
are inapposite, because
they concern prudential
barriers to standing,
not the mandates of Art.
III. See Eisenstadt v.
Baird, 405 U.S. 438, 445
(1972); Dombrowski v.
Pfister, 380 U.S. 479,
486 -487 (1965); United
States v. Raines, 362
U.S. 17, 22 (1960).
Because we conclude that
petitioner has not
established Art. III
standing, we need not
decide whether it would
be appropriate in this
type of action to relax
the general prudential
rule that a litigant "must
assert his own legal
rights and interests,
and cannot rest his
claim to relief on the
legal rights or
interests of third
parties." Warth v.
Seldin, 422 U.S. 490,
499 (1975).
[
Footnote 3 ] One
section of the former
habeas corpus statute
provided that "[a]pplication
or writ of habeas corpus
shall be . . . signed by
the person for whose
relief it is intended."
Rev. Stat. 754; 28 U.S.C.
454 (1940 ed.) (emphasis
added). Nevertheless,
the Collins and Watchorn
courts found an implicit
authorization of "next
friend" standing in 760
of the revised statutes,
which stated that "[t]he
petitioner or the party
imprisoned or restrained
may deny any of the
facts set forth in the
return." Rev. Stat. 760;
28 U.S.C. 460 (1940 ed.)
(emphasis added). At
least one court
concluded that "next
friend" standing was not
available under the old
statute. Ex parte Hibbs,
26 F. 421, 435 (Ore.
1886). Other courts
recognized the ability
of third parties to
apply for a writ but did
not make clear the basis
for their decisions.
United States ex rel.
Bryant v. Houston, 273
F. 915, 916-917 (CA2
1921); Ex parte Dostal,
243 F. 664, 668 (ND Ohio
1917). When Congress
added the words "or by
someone acting in his
behalf" to 754 in 1948,
the revisers noted that
the change "follow[ed]
the actual practice of
the courts." Revisers'
Notes to 28 U.S.C. 2242
(1982 ed.).
[
Footnote 4 ] Some
courts have permitted "next
friends" to prosecute
actions outside the
habeas corpus context on
behalf of infants, other
minors, and adult mental
incompetents. See, e. g,
Garnett v. Garnett, 114
Mass. 379 (1874) ("next
friend" may bring action
for divorce on behalf of
an insane person);
Campbell v. Campbell,
242 Ala. 141, 5 So.2d
401 (1941) (same);
Blumenthal v. Craig, 81
F. 320, 321-322 (CA3
1897) ("next friend" was
admitted by court to
prosecute personal
injury action on behalf
of the plaintiff, who
was a minor); Baltimore
& Ohio R. Co. v.
Fitzpatrick, 36 Md. 619
(1872) (same).
*****
JUSTICE MARSHALL, with
whom JUSTICE BRENNAN
joins, dissenting.
The
Court today allows a
State to execute a man
even though no appellate
court has reviewed the
validity of his
conviction or sentence.
In reaching this result,
the Court does not
address the
constitutional claim
presented by petitioner:
whether a State must
provide appellate review
in a capital case
despite the defendant's
desire to waive such
review. Rather, it
decides that petitioner
does not have standing
to raise that issue
before this Court.
The
Court rejects
petitioner's argument
that he should be
allowed to proceed as
Ronald Gene Simmons'"next
friend," relying on the
federal common-law
doctrine that a
competent defendant's
waiver of his right to
appeal precludes another
person from appealing on
his behalf. If
petitioner's
constitutional claim is
meritorious, however,
Simmons' execution
violates the Eighth
Amendment. The Court
would thus permit an
unconstitutional
execution on the basis
of a common-law doctrine
that the Court has the
power to amend.
Given
the extraordinary
circumstances of this
case, then,
consideration of whether
federal common law
precludes Jonas
Whitmore's standing as
Ronald Simmons' next
friend should be
informed by a
consideration of the
merits of Whitmore's
claim. For the reasons
discussed herein, the
Constitution requires
that States provide
appellate review of
capital cases
notwithstanding a
defendant's desire to
waive such review.
To
prevent Simmons'
unconstitutional
execution, the Court
should relax the common-law
restriction on next-friend
standing and permit
Whitmore to present the
merits question on
Simmons' behalf. By
refusing to address that
question, the Court
needlessly abdicates its
grave responsibility to
ensure that no person is
wrongly executed. I
dissent.
I
This
Court has held that the
Constitution does not
require States to
provide appellate review
of noncapital criminal
cases. Ross v. Moffitt,
417 U.S. 600, 611 (1974)
(citing McKane v.
Durston, 153 U.S. 684,
687 (1894)). It is by
now axiomatic, however,
that the unique,
irrevocable nature of
the death penalty
necessitates safeguards
not required for other
punishments.
See
also Zant v. Stephens,
462 U.S. 862, 884 (1983)
("[B]ecause there is a
qualitative difference
between death and any
other permissible form
of punishment, `there is
a corresponding
difference in the need
for reliability in the
determination that death
is the appropriate
punishment in a specific
case'") (quoting Woodson
v. North Carolina, 428
U.S. 280, 305 (1976) (plurality
opinion)); Eddings v.
Oklahoma, 455 U.S. 104,
118 (1982) (O'CONNOR,
J., concurring) ("[T]his
Court has gone to
extraordinary measures
to ensure that the
prisoner sentenced to be
executed is afforded
process that will
guarantee, as much as is
humanly possible, that
the sentence was not
imposed out of whim,
passion, prejudice, or
mistake").
This
Court has consistently
recognized the crucial
role of appellate review
in ensuring that the
death penalty is not
imposed arbitrarily or
capriciously. In Gregg
v. Georgia, 428 U.S. 153
(1976), the Court upheld
Georgia's capital
sentencing scheme in
large part because the
statute required
appellate review of
every death sentence.
"As an important
additional safeguard
against
arbitrariness and
caprice, the Georgia
statutory scheme
provides for
automatic appeal of
all death sentences
to the State's
Supreme Court. That
court is required by
statute to review
each sentence of
death and determine
whether it was
imposed under the
influence of passion
or prejudice,
whether the evidence
supports the jury's
finding of a
statutory
aggravating
circumstance, and
whether the sentence
is disproportionate
compared to those
sentences imposed in
similar cases." Id.,
at 198 (joint
opinion of Stewart,
Powell, and STEVENS,
JJ.).
See
also id., at 211 (WHITE,
J., joined by Burger, C.
J., and REHNQUIST, J.,
concurring in judgment)
("An important aspect of
the new Georgia
legislative scheme . . .
is its provision for
appellate review . . .
in every case in which
the death penalty is
imposed"). The provision
of automatic appellate
review was also a
significant factor in
the Court's decisions
that same Term upholding
the capital sentencing
schemes of Florida and
Texas. See Proffitt v.
Florida, 428 U.S. 242,
253 (1976) (joint
opinion of Stewart,
Powell, and STEVENS, JJ.)
(risk of arbitrary or
capricious infliction of
death penalty "is
minimized by Florida's
appellate review system,
under which the evidence
of the aggravating and
mitigating circumstances
is reviewed and
reweighed by the Supreme
Court of Florida `to
determine independently
whether the imposition
of the ultimate penalty
is warranted'") (citation
omitted); Jurek v.
Texas, 428 U.S. 262, 276
(1976) (joint opinion of
Stewart, Powell, and
STEVENS, JJ.) ("By
providing prompt
judicial review of the
jury's decision in a
court with statewide
jurisdiction, Texas has
provided a means to
promote the evenhanded,
rational, and consistent
imposition of death
sentences under law").
More
recently, in Zant v.
Stephens, supra, the
Court stressed that its
decision to uphold the
Georgia death penalty
statute "depend[ed] in
part on the existence of
an important procedural
safeguard, the mandatory
appellate review of each
death sentence by the
Georgia Supreme Court to
avoid arbitrariness and
to assure
proportionality." 462
U.S., at 890 . Accord,
McCleskey v. Kemp, 481
U.S. 279, 303 (1987).
See also Clemons v.
Mississippi, 494 U.S.
738, 749 (1990) ("[T]his
Court has repeatedly
emphasized that
meaningful appellate
review of death
sentences promotes
reliability and
consistency").
The
existence of mandatory
appellate review was
also a significant
factor in the Court's
decision upholding
California's capital
sentencing scheme in
Pulley v. Harris, 465
U.S. 37, 53 (1984).
Moreover, although the
Court held that the
Constitution does not
require appellate courts
to engage in
proportionality review,
it nevertheless
acknowledged that Gregg
"suggested that some
form of meaningful
appellate review is
required." Id., at 45 (citing
Gregg, supra, at 153,
198, 204-206 (joint
opinion of Stewart,
Powell, and STEVENS, JJ.)).
See also Pulley, 465
U.S., at 49 ("Gregg and
Proffitt were focused
not on proportionality
review as such, but only
on the provision of some
sort of prompt and
automatic appellate
review"); id., at 54 (STEVENS,
J., concurring in part
and concurring in
judgment) (stating that
this Court's precedents
establish that "some
form of meaningful
appellate review is
constitutionally
required").
Thus,
much of this Court's
death penalty
jurisprudence rests on
the recognition that
appellate review is a
crucial means of
promoting reliability
and consistency in
capital sentencing. The
high percentage of
capital cases reversed
on appeal vividly
demonstrates that
appellate review is an
indispensable safeguard.
Since 1983, the Arkansas
Supreme Court, on direct
review, has reversed in
8 out of 19 cases in
which the death penalty
had been imposed. See
Robertson v. State, 298
Ark. 131, 137, 765 S. W.
2d 936, 940 (1989) (Hickman,
J., concurring);
Fretwell v. State, 289
Ark. 91, 99, 708 S. W.
2d 630, 634-635 (1986) (Hickman,
J., concurring).
Other
States also have
remarkably high reversal
rates in capital cases.
See, e. g., Burt,
Disorder in the Court:
The Death Penalty and
the Constitution, 85
Mich. L. Rev. 1741, 1792
(1987) (Florida Supreme
Court set aside 47% of
death sentences between
1972 and 1984); Dix,
Appellate Review of the
Decision to Impose Death,
68 Geo. L. J. 97,
144-145, and n. 437
(1979) (Texas Court of
Criminal Appeals
reversed conviction or
invalidated death
sentence in 33% of cases
between October 1975 and
March 1979); id., at
111, and n. 92 (Georgia
Supreme Court did same
in 30% of capital cases
between April 1974 and
March 1979). Cf.
Barefoot v. Estelle, 463
U.S. 880, 915 (1983)
(MARSHALL, J.,
dissenting) (between
1976 and 1983,
approximately 70% of
capital defendants who
had been denied federal
habeas relief in
district courts
prevailed in courts of
appeals); Greenberg,
Capital Punishment as a
System, 91 Yale L. J.
908, 918 (1982) (estimating
that 60% of convictions
or sentences imposed
under capital punishment
statutes enacted after
Furman v. Georgia, 408
U.S. 238 (1972), were
reversed at some point
in postconviction
appeals process; in
contrast, federal
criminal judgments in
noncapital cases had a
reversal rate of 6.5%);
U.S. Dept. of Justice,
Bureau of Justice
Statistics, Bulletin,
Capital Punishment 1988,
p. 1 (July 1989) (116 of
296 death row inmates
sent to prison in 1988
had sentences vacated or
commuted during that
year).
These
statistics make clear
that in the absence of
some form of appellate
review, an unacceptably
high percentage of
criminal defendants
would be wrongfully
executed - "wrongfully"
because they were
innocent of the crime,
undeserving of the
severest punishment
relative to similarly
situated offenders, or
denied essential
procedural protections
by the State. See
Greenberg, supra, at
919-922 (listing
numerous examples of
death row inmates
subsequently found to be
not guilty and instances
of capital convictions
and sentences reversed
for violations of
federal or state law).
Our
cases and state courts'
experience with capital
cases compel the
conclusion that the
Eighth and Fourteenth
Amendments require
appellate review of at
least death sentences to
prevent unjust
executions. I believe
the Constitution also
mandates review of the
underlying convictions.
The core concern of all
our death penalty
decisions is that States
take steps to ensure to
the greatest extent
possible that no person
is wrongfully executed.
A person is just as
wrongfully executed when
he is innocent of the
crime or was improperly
convicted as when he was
erroneously sentenced to
death. States therefore
must provide review of
both the convictions and
sentences in death
cases.
II
Appellate review is
necessary not only to
safeguard a defendant's
right not to suffer
cruel and unusual
punishment but also to
protect society's
fundamental interest in
ensuring that the
coercive power of the
State is not employed in
a manner that shocks the
community's conscience
or undermines the
integrity of our
criminal justice system.
See Gilmore v. Utah, 429
U.S. 1012, 1019 (1976)
(MARSHALL, J.,
dissenting).
Because a wrongful
execution is an affront
to society as a whole, a
person may not consent
to being executed
without appellate review.
See id., at 1018 (WHITE,
J., dissenting) ("[T]he
consent of a convicted
defendant in a criminal
case does not privilege
a State to impose a
punishment otherwise
forbidden by the Eighth
Amendment").
As
the District Court
stated so compellingly
on review of the habeas
petition filed on
Simmons' behalf by
Reverend Louis Franz and
Darrel Wayne Hill: "What
is at stake here is our
collective right as a
civilized people not to
have cruel and unusual
punishment inflicted in
our name. It is because
of the crying need to
vindicate that right,
that basic value, that
Simmons should be held
unable `to waive
resolution in state
courts' of the
correctness of his death
sentence." Franz v.
Lockhart, 700 F. Supp.
1005, 1024 (ED Ark.
1988) (quoting Gilmore
v. Utah, supra, at 1018
(WHITE, J., dissenting))
(citation omitted),
appeal pending, No.
89-1485EA (CA8). See
also, e. g.,
Commonwealth v. McKenna,
476 Pa. 428, 441, 383 A.
2d 174, 181 (1978) ("The
doctrine of waiver . . .
was not . . . designed
to block giving effect
to a strong public
interest, which itself
is a jurisprudential
concern[, or to] allo[w]
a criminal defendant to
choose his own sentence.
. . . The waiver rule
cannot be exalted to a
position so lofty as to
require this Court to
blind itself to the real
issue - the propriety of
allowing the state to
conduct an illegal
execution of a citizen")
(footnote omitted);
People v. Stanworth, 71
Cal. 2d 820, 834, 457
P.2d 889, 899 (1969) ("[W]e
are not dealing with a
right or privilege
conferred by law upon
the litigant for his
sole personal benefit.
We are concerned with a
principle of fundamental
public policy. The law
cannot suffer the
state's interest and
concern in the
observance and
enforcement of this
policy to be thwarted
through the guise of
waiver of a personal
right by an individual")
(internal quotation
marks omitted; citation
omitted).
A
defendant's voluntary
submission to a barbaric
punishment does not
ameliorate the harm that
imposing such a
punishment causes to our
basic societal values
and to the integrity of
our system of justice.
Certainly a defendant's
consent to being drawn
and quartered or burned
at the stake would not
license the State to
exact such punishments.
Nor could the State
knowingly execute an
innocent man merely
because he refused to
present a defense at
trial and waived his
right to appeal.
Similarly, the State may
not conduct an execution
rendered
unconstitutional by the
lack of an appeal merely
because the defendant
agrees to that
punishment.
This
case thus does not
involve a capital
defendant's so-called "right
to die." When a capital
defendant seeks to
circumvent procedures
necessary to ensure the
propriety of his
conviction and sentence,
he does not ask the
State to permit him to
take his own life.
Rather, he invites the
State to violate two of
the most basic norms of
a civilized society -
that the State's penal
authority be invoked
only where necessary to
serve the ends of
justice, not the ends of
a particular individual,
and that punishment be
imposed only where the
State has adequate
assurance that the
punishment is justified.
The Constitution forbids
the State to accept that
invitation.
Society's overwhelming
interest in preventing
wrongful executions is
evidenced by the fact
that almost all of the
37 States with the death
penalty apparently have
prescribed mandatory,
nonwaivable appellate
review of at least the
sentence in capital
cases. U.S. Dept. of
Justice, Bureau of
Justice Statistics,
Bulletin, Capital
Punishment 1988, p. 5
(July 1989); Carter,
Maintaining Systemic
Integrity in Capital
Cases: The Use of Court-Appointed
Counsel to Present
Mitigating Evidence When
the Defendant Advocates
Death, 55 Tenn. L. Rev.
95, 113-114 (1987).
1
The
Arkansas Supreme Court
is the only state high
court that has held that
a competent capital
defendant's waiver of
his appeal precludes
appellate review
entirely. Franz v.
State, 296 Ark. 181,
196-197, 754 S. W. 2d
839, 847 (1988) (Glaze,
J., concurring and
dissenting). Furthermore,
since the reinstitution
of capital punishment in
1976, only one person,
Gary Gilmore, has been
executed without any
appellate review of his
case. See Gilmore v.
Utah, 429 U.S. 1012
(1976).
Following Utah's
execution of Gilmore,
that State amended its
law to provide for
mandatory, nonwaivable
appellate review. Utah
Code Ann. 77-35-26(10) (Supp.
1989); see also Utah
Code Ann. 76-3-206(2)
(1978). The extreme
rarity of unreviewed
executions in itself
suggests the
unconstitutionality of
such killings. Cf.
Enmund v. Florida, 458
U.S. 782, 788 -796
(1982) (finding
unconstitutional
Florida's death penalty
for felony murder in
part because only 8 of
36 jurisdictions
authorized death for
such a crime); Coker v.
Georgia, 433 U.S. 584,
593 -597 (1977) (striking
down Georgia's provision
for death penalty for
rape of adult woman in
part because Georgia was
only State with such a
provision).
This
Court has recognized in
other contexts that
societal interests may
justify limiting a
competent person's
ability to waive a
constitutional
protection. In Singer v.
United States, 380 U.S.
24 (1965), for example,
the Court upheld the
constitutionality of
Federal Rule of Criminal
Procedure 23(a), which
conditions a defendant's
waiver of his right to a
jury trial on the
approval of the court
and the prosecution.
The
Court reasoned that "[t]he
Constitution recognizes
an adversary system as
the proper method of
determining guilt, and
the Government, as a
litigant, has a
legitimate interest in
seeing that cases in
which it believes a
conviction is warranted
are tried before the
tribunal which the
Constitution regards as
most likely to produce a
fair result." 380 U.S.,
at 36 .
Society's interest,
expressed in the Eighth
Amendment, of ensuring
that punishments are
neither cruel nor
unusual similarly
justifies restricting a
defendant's ability to
acquiesce in the
infliction of wrongful
punishment. Although
death may, to some death
row inmates, seem
preferable to life in
prison, society has the
right, and indeed the
obligation, to see that
procedural safeguards
are observed before the
State takes a human life.
2
III
Given
that the Constitution
requires mandatory,
nonwaivable appellate
review, the question
remains whether Whitmore
may seek relief in this
Court on Simmons' behalf.
This Court should take
whatever measures are
necessary, and within
its power, to prevent
Simmons' illegal
execution.
The common-law
doctrine of next-friend
standing provides a
mechanism for doing so
without exceeding the
Article III limitations
on our jurisdiction.
3 The Court's
refusal to use that
mechanism suggests that
the Court's desire to
eliminate delays in
executions exceeds its
solicitude for the
Eighth Amendment.
As
the Court acknowledges,
a next friend pursues an
action on behalf of the
real party in interest.
Ante, at 163. Simmons
obviously satisfies the
Article III and
prudential standing
requirements. The Court
therefore does not
dispute that Whitmore,
standing in for Simmons,
would also meet these
requirements. The Court
refuses to allow
Whitmore to act as
Simmons' next friend,
however, because he has
not shown that Simmons "is
unable to litigate his
own cause due to mental
incapacity, lack of
access to court, or
other similar disability."
Ante, at 165.
The
Court suggests, without
holding, that a party
asserting next-friend
status must also prove
that he is "truly
dedicated to the best
interests of the person
on whose behalf he seeks
to litigate," ante, at
163, and perhaps, too,
that he has "some
significant relationship
with the real party in
interest," ante, at 164.
4
Assuming for the sake of
argument that Simmons
was competent to forgo
petitioning this Court
for review
5 and that Whitmore
is only minimally
interested in Simmons'
welfare, I would
nevertheless permit
Whitmore to proceed as
Simmons' next friend.
The requirements for
next-friend standing are
creations of common law,
not of the Constitution.
Ante, at 164-165. Thus,
no constitutional
considerations impede
the Court's deciding
this case on the merits.
6
The
Court certainly has the
authority to expand or
contract a common-law
doctrine where necessary
to serve an important
judicial or societal
interest. Examples of
the Court's exercise of
that authority pervade
our case law. See, e.
g., Harlow v.
Fitzgerald, 457 U.S.
800, 815 -819 (1982) (abandoning
subjective element of
qualified immunity
defense to avoid
excessive disruption of
government and to permit
the resolution of
insubstantial claims on
summary judgment);
Anderson v. Creighton,
483 U.S. 635, 645 (1987)
(stating that Harlow "completely
reformulated qualified
immunity along
principles not at all
embodied in the common
law, replacing the
inquiry into subjective
malice so frequently
required at common law
with an objective
inquiry into the legal
reasonableness of the
official action");
Parklane Hosiery Co. v.
Shore, 439 U.S. 322, 326
-333 (1979) (discarding
common-law doctrine of
mutuality of parties and
authorizing offensive
use of collateral
estoppel to protect
litigants from burden of
relitigating issues and
to promote judicial
economy). See also
Livingston v. Jefferson,
15 F. Cas. 660, 663 (No.
8,411) (CC Va. 1811)
(Marshall, C. J.,
Circuit Judge) (common-law
principle is "a
principle of unwritten
law, which is really
human reason applied by
courts, not capriciously,
but in a regular train
of decisions, to human
affairs, according to
the circumstances of the
nation, the necessity of
the times, and the
general state of things,
[and is] susceptible of
modification"). In this
case, the magnitude of
the societal interests
at stake justifies
relaxing the next-friend
requirements to permit
Whitmore to challenge
Simmons' execution.
Relaxation of those
requirements is
especially warranted
here because judicial
consideration of the
claim that the
Constitution requires
appellate review of
every capital case would
otherwise be virtually
impossible. If a capital
defendant desires
appellate review, he
will undoubtedly obtain
that review in state
court, see n. 1, supra,
and, perhaps, in federal
court on a petition for
habeas corpus. If he
waives his right to
appeal and is found
incompetent, a next
friend will be allowed
to pursue the appeal,
again obviating the need
to decide whether the
Eighth Amendment
requires mandatory,
nonwaivable review.
Although the fact that a
constitutional issue
will never be resolved
may not justify carving
out an exception to
Article III's standing
requirements, surely
that fact, when
considered with
society's commitment to
avoiding wrongful
executions, provides
ample cause for
enlarging the scope of a
federal common-law
doctrine.
The
only purpose the Court
invokes for rigidly
applying the
restrictions on next-friend
standing is preventing
"`intruders or uninvited
meddlers'" from pursuing
habeas corpus relief
"`as matter of course.'"
Ante, at 164 (quoting
United States ex rel.
Bryant v. Houston, 273
F. 915, 916 (CA2 1921)).
This
purpose, however, does
not justify refusing to
allow Whitmore to
proceed as Simmons' next
friend in this Court.
7 First, the Court
need not hold that all
federal courts must
relax restrictions on
next-friend standing;
the common-law rules
could be altered only to
the extent this Court
deems necessary. If this
Court were to hold that
Whitmore has standing
before it, and then, on
the merits, that the
Constitution requires
some form of nonwaivable
appellate review in
state court, at least
one level of review
would be assured for
each capital case. Such
a decision would obviate
the need for relaxing
the restrictions in
federal district courts
and courts of appeals.
8
More
fundamentally, however,
the interest in
preventing a suit by an
"uninvited meddler"
pales in comparison to
society's interest in
preventing an illegal
execution. When, as here,
allowing the "meddler"
to press the condemned
man's interests is the
only means by which the
Court can prevent an
unconstitutional
execution, the Court
should sacrifice the
common-law restrictions
rather than the
defendant's life.
IV
The
Court today refuses to
address a meritorious
constitutional claim by
rigidly applying a
technical common-law
rule completely within
its power to amend or
suspend. It thereby
permits States to
violate the Constitution
by executing willing
defendants without
requiring minimal
assurance that their
convictions were correct
or their sentences
justified. This decision
thus continues the
Court's unseemly effort
to hasten executions at
the cost of permitting
constitutional
violations to go
unrectified. See, e. g.,
Butler v. McKellar, 494
U.S. 407 (1990); Teague
v. Lane, 489 U.S. 288
(1989). I dissent.
*****
[
Footnote 1 ]
Thirteen States, by
statute, rule, or case
law, explicitly provide
that review of at least
the capital sentence
will occur with or
without the defendant's
election or
participation. Ala. Code
12-22-150 (1986); Cal.
Penal Code Ann. 1239(b)
(West Supp. 1990);
People v. Stanworth, 71
Cal. 2d 820, 832-834,
457 P.2d 889, 898-899
(1969); Del. Code Ann.,
Tit. 11, 4209(g) (1987);
Goode v. State, 365
So.2d 381, 384 (Fla.
1978) (construing Fla.
Stat. 921.141(4)
(1989)); Ill. Rev. Stat.,
ch. 110A, 606(a)
(1987); Judy v. State,
275 Ind. 145, 157-158,
416 N. E. 2d 95, 102
(1981) (construing Ind.
Code 35-50-2-9 (1988));
Mo. Rev. Stat. 565.035
(1986); Nev. Rev. Stat.
177.055(2) (1989); Cole
v. State, 101 Nev. 585,
590, 707 P.2d 545, 548
(1985); N. J. Stat. Ann.
2C:11-3(e) (West Supp.
1989); Commonwealth v.
McKenna, 476 Pa. 428,
439-440, 383 A. 2d 174,
181 (1978) (construing
predecessor statute to
42 Pa. Cons. Stat.
9711(h) (1988));
Tenn.Code Ann. 39-2-205
(1982); State v.
Holland, 777 P.2d 1019,
1022 (Utah 1989) (construing
Utah Code Ann.
77-35-26(10) (Supp.
1989)); see also Utah
Code Ann. 76-3-206(2)
(1978); Vt. Rule App.
Proc. 3(b). Twenty-two
States' statutes or
rules employ language
indicating that their
appellate courts must
review at least the
sentence in every
capital case. Ariz. Rule
Crim. Proc. 31.2(b);
Colo. Rev. Stat.
16-11-103(7)(a) (Supp.
1989); Conn. Gen. Stat.
53a-46b (1985); Ga. Code
Ann. 17-10-35 (1982);
Idaho Code 19-2827
(1987); Ky. Rev. Stat.
Ann. 532.075 (Michie
1985); La. Code Crim.
Proc. Ann., Art. 905.9 (West
1984); Md. Ann. Code,
Art. 27, d 414 (1987);
Miss. Code Ann.
99-19-105 (Supp. 1989);
Mont. Code Ann.
46-18-307 (1989); Neb.
Rev. Stat. 29-2525
(1989); N. H. Rev. Stat.
Ann. 630.5(vi) (1986);
N. M. Stat. Ann.
31-20A-4 (1987); N.C.
Gen. Stat.
15A.2000(d)(1) (1988);
Okla. Stat., Tit. 21,
701.13 (Supp. 1989);
Ore. Rev. Stat.
163.150(1)(g) (1989); S.
C. Code 16-3-25 (1985);
S. D. Codified Laws
23A-27A-9 (1988); Tex.
Crim. Proc. Code Ann.
37.071(h) (Supp. 1990);
Va. Code 17-110.1
(1988); Wash. Rev. Code
10.95.100 (1989); Wyo.
Stat. 6-2-103 (1988).
Ohio's rule as to waiver
is unclear. See Ohio
Rev. Code Ann. 2929.05
(1987). In State v.
Brooks, 25 Ohio St. 3d
144, 495 N. E. 2d 407
(1986), however, both
the Ohio Court of
Appeals and Ohio Supreme
Court reviewed the
defendant's death
sentence after the State
Court of Appeals denied
his motion to withdraw
his appeal.
[
Footnote 2 ]
Underlying the Court's
decision may be the
assumption that a
competent defendant
would never waive his
right to appeal unless
he was guilty of the
crime and deserved to
die. See Franz v.
Lockhart, 700 F. Supp.
1005, 1023 (ED Ark.
1988), appeal pending,
No. 89-1485EA (CA8).
There is no reason to
believe, however, that
only defendants guilty
of the most heinous
crimes would choose
death over life in
prison.
[
Footnote 3 ] The
question whether
Whitmore may act as
Simmons' next friend in
this Court is distinct
from the question
whether Whitmore could
do so in the Arkansas
Supreme Court. This
Court cannot impose
federal standing
restrictions, whether
derived from Article III
or federal common law,
on state courts. See
ASARCO Inc. v. Kadish,
490 U.S. 605, 620
(1989); Department of
Labor v. Triplett, 494
U.S. 715, 729 (1990)
(MARSHALL, J.,
concurring in judgment).
The Court's holding thus
affects only federal
courts.
[
Footnote 4 ] Despite
the Court's suggestion,
I cannot believe that
this Court would ever
hold that a defendant
judged incompetent to
waive his right to
appeal could be executed
without appellate review
on the ground that no
one with a sufficiently
close relation to him
had stepped forward to
pursue the appeal.
Rather, a court would be
required to appoint
someone to represent
such a defendant. See
Franz v. Lockhart, supra,
at 1011, n. 2. See also
Carter, Maintaining
Systemic Integrity in
Capital Cases: The Use
of Court-Appointed
Counsel to Present
Mitigating Evidence When
the Defendant Advocates
Death, 55 Tenn. L. Rev.
95 (1987).
[
Footnote 5 ] In
determining Simmons'
competency to waive his
right to seek relief in
this Court, the majority
relies on the Arkansas
trial court's finding
that Simmons was
competent to waive his
right to appeal in state
court. Ante, at 165-166.
At no point, however,
has any court determined
that Simmons was
competent to waive his
right to petition this
Court for a writ of
certiorari. Legal
competency is not static.
Given that Simmons' life
turns on this question,
the Court should at
least require a specific
determination that he
was competent to forgo
petitioning this Court
before it dismisses this
case without reaching
the merits.
[
Footnote 6 ] The
Court suggests that some
restriction on next-friend
standing is necessary to
prevent a litigant who
asserts only a
generalized grievance
from circumventing
Article III's standing
requirements. Ante, at
164. But as long as the
real party in interest
satisfies those standing
requirements, as Simmons
clearly does, this Court
will be presented with
an actual case or
controversy. If the
Court's suggestion were
true, it would
necessitate abolishing
next-friend standing
entirely. In terms of
Article III, a next
friend who represents
the interests of an
incompetent person with
whom he has a
significant relation is
no different from a next
friend who pursues a
claim on behalf of a
competent stranger; both
rely wholly on the
injury to the real party
in interest to satisfy
constitutional standing
requirements.
[
Footnote 7 ] Appeal
to stare decisis
similarly cannot relieve
the Court of
responsibility for
today's disturbing
decision. This case is
the first opportunity
for this Court to
address the next-friend
issue raised here with
the benefit of full
briefing by the parties.
Four times the Court was
presented with this
question in the context
of applications for
stays of executions
filed by parties other
than the defendants.
Three times the Court
denied the applications.
See Gilmore v. Utah, 429
U.S. 1012 (1976); Evans
v. Bennett, 440 U.S. 987
(1979); Lenhard v. Wolff,
444 U.S. 807 (1979). In
Gilmore, the Court
stated only that the
competent defendant had
knowingly and
intelligently waived any
federal rights. 429
U.S., at 1013 . In
Evans, then-JUSTICE
REHNQUIST, in his
capacity as Circuit
Justice, stayed the
execution pending
consideration by the
full Court. 440 U.S.
1301 (1979) (in chambers).
The Court then denied
the application without
opinion, 440 U.S. 987
(1979), with JUSTICE
BRENNAN noting in his
concurrence that a stay
was not necessary
because the State had
not set an execution
date, ibid. In Lenhard,
the Court did not issue
an opinion. 444 U.S., at
807 . In Rosenberg v.
United States, 346 U.S.
273 (1953), however, the
Court did consider the
merits of an application
to stay the executions
of Julius and Ethel
Rosenberg filed by
counsel for a man who
had no connection to the
Rosenbergs and who had
not participated in any
proceedings related to
their case until the
stay proceedings in this
Court. Id., at 288-289 (per
curiam); id., at 291
(Jackson, J., concurring)
("Edelman [the applicant]
is a stranger to the
Rosenbergs and to their
case. His intervention
was unauthorized by them
and originally opposed
by their counsel").
Justice Jackson's
concurring opinion
stated that the Court "discountenance[d]
this practice" of
considering an argument
not originally pressed
by the defendant's own
counsel, where those
counsel were vigorously
contesting the
defendants' death
sentences. Id., at 292.
Far more importantly,
however, the Court did
not dismiss the
application on the
ground that the
applicant did not
satisfy the common-law
requirements of next-friend
status, but addressed
the application on its
merits. Id., at 289 (per
curiam). See also id.,
at 294 (Clark, J.,
concurring) ("Human
lives are at stake; we
need not turn this
decision on fine points
of procedure or a
party's technical
standing to claim relief");
id., at 299-300 (Black,
J., dissenting) ("I
cannot believe . . .
that if the sentence of
a citizen to death is
plainly illegal, this
Court would allow that
citizen to be executed
on the grounds that his
lawyers had `waived'
plain error. An illegal
execution is no less
illegal because a
technical ground of `waiver'
is assigned to justify
it"); id., at 312
(Douglas, J., dissenting)
("[T]he question of an
unlawful sentence is
never barred. No man or
woman should go to death
under an unlawful
sentence merely because
his lawyer failed to
raise the point").
[
Footnote 8 ] The
Court's decision today,
which rests on federal
common law developed in
connection with habeas
corpus cases, ante, at
164-165, apparently
applies to next-friend
standing in habeas cases
brought in federal
district court as well
as to petitions for
certiorari submitted to
this Court. Congress
could amend the habeas
statute (which provides
only that "[a]pplication
for a writ of habeas
corpus shall be in
writing signed and
verified by the person
for whose relief it is
intended or by someone
acting in his behalf,"
28 U.S.C. 2242 (emphasis
added)) explicitly to
permit next-friend suits
in cases of this sort so
as to ensure some form
of review of capital
cases.
Ronald Gene Simmons (top)
killed a total of 16
people, of which 14 were
family members,
including his children
Rebecca, Loretta,
Marianne and Eddie (in
snapshots).