International Human Rights Law
The cornerstone of human rights is
respect for the inherent dignity of all human beings and the
inviolability of the human person.54 These principles cannot be squared
with the death penalty, a form of punishment unique in its cruelty and
finality, and a punishment inevitably and universally plagued with
arbitrariness, prejudice, and error.
Recognition that the death
penalty violates basic human rights has fueled a growing movement to
abolish capital punishment around the world. Members of the European
Union, for example, are united in their opposition to the death penalty
in all circumstances, considering it an "inhuman, medieval form of
punishment and as unworthy of modern societies."55 Out of the world's
nearly 200 countries, 108 have rejected judicial executions in law or
practice. 56 Less than thirty carry out executions in any given year.
Although the International Covenant on Civil and Political Rights
(ICCPR) does not outlaw capital punishment outright, it specifically
prohibits cruel and inhuman punishment and arbitrary executions, and
limits capital punishment to "the most serious crimes." Forty-one
countries have signed a Second Optional Protocol to the ICCPR by which
they agree not to execute anyone and to take the necessary steps to
abolish the death penalty.57
The practice of executing people of
diminished culpability -- including people with mental retardation -- is
particularly abhorrent. In recent years, the U.N. special rapporteur on
extrajudicial, summary or arbitrary executions has received reports of
the execution of people with mental retardation in only three countries
-- Japan, Kyrgyztan, and the United States.58
Authoritative
interpretations and applications of the ICCPR have established that
respect for basic human rights precludes judicial killing of offenders
with mental retardation. Thus, for example, a 1989 United Nations
Economic and Social Council (ECOSOC) resolution recommended "eliminating
the death penalty for persons suffering from mental retardation or
extremely limited mental competence."59 The U.N. Commission on Human
Rights adopted resolutions in 1999 and 2000 urging states that retain
the death penalty not to impose it "on a person suffering from any form
of mental disorder," a term that includes both the mentally ill and the
mentally retarded.60
The U.N. special rapporteur on extrajudicial,
summary, or arbitrary executions has repeatedly criticized the practice
of imposing the death penalty on mentally retarded offenders. In 1998,
for example, he criticized the United States for executing people with
mental retardation in contravention of relevant international
standards.61 In his report, he stated:
Because of the nature of
mental retardation, mentally retarded persons are much more vulnerable
to manipulation during arrest, interrogation, and confession. Moreover,
mental retardation appears not to be compatible with the principle of
full criminal responsibility.62
The special rapporteur's most recent
report urged governments that continue to enforce death penalties "to
take immediate steps to bring their domestic legislation and legal
practice into line with international standards prohibiting the
imposition of death sentences in regard to minors and mentally ill or
handicapped persons."63
In 1992, the United States became a party to
the ICCPR. It entered a reservation to the treaty, however, asserting
its authority to use capital punishment to the extent permitted under
the U.S. Constitution. The U.S. did agree, however, that it would not
execute pregnant women, as prohibited by the ICCPR.
United States Law
U.S.
constitutional law permits the execution of offenders with mental
retardation. In the 1989 case of Penry v. Lynaugh, the U.S. Supreme
Court reviewed the constitutionality of the death sentence of Johnny
Paul Penry, a man with mental retardation who was convicted of raping,
beating, and fatally stabbing a young woman in Texas. A sharply divided
court decided that the execution of persons with mental retardation did
not constitute cruel and unusual punishment as prohibited by the Eighth
Amendment to the U.S. Constitution.64 The court reversed Penry's death
sentence, however, and ordered a new trial because the judge's
instructions to the jury had not permitted it to "consider and give
effect to the mitigating evidence of Penry's mental retardation and
abused background by declining to impose the death penalty."65
In
deciding on the constitutionality of applying the death penalty to
persons with mental retardation, Supreme Court Justice Sandra Day
O'Connor, writing for the majority, noted that the Eighth Amendment
prohibits punishments that were prohibited historically as well as those
that run counter to "evolving standards of decency that mark the
progress of a maturing society."66 Looking primarily to the "objective
evidence" of federal and state legislation to ascertain how the nation
viewed the execution of persons with mental retardation, Justice
O'Connor concluded that "the two state statutes prohibiting execution of
the mentally retarded, even when added to the 14 states that have
rejected capital punishment completely, do not provide sufficient
evidence at present of a national consensus" against such executions. 67
Justice O'Connor also ruled there was insufficient evidence that all
persons with mental retardation lack the capacity to act with the degree
of culpability associated with the death penalty. 68
In a separate
opinion, Justice Brennan concurred with Justice O'Connor's analysis of
the constitutional flaws in the Penry jury's sentencing instructions,
but he strongly dissented from her reasoning and conclusion on the
broader question of the constitutionality of executing persons with
mental retardation. Justice Brennan argued that all persons with mental
retardation, by definition, have significant limitations on their
intellectual abilities and a reduced ability to function in society. He
concluded, "The impairment of a mentally retarded offender's reasoning
abilities, control over impulsive behavior, and moral development in my
view limits his or her culpability so that, whatever other punishment
might be appropriate, the ultimate penalty of death is always and
necessarily disproportionate to his or her blameworthiness and hence is
unconstitutional."69 Justice Brennan also insisted that the
consideration of mental retardation as a mitigating factor in sentencing
is inadequate to guarantee that a person " who is not fully blameworthy
for his or her crime because of a mental disability does not receive
the death penalty."70
Justice Brennan argued in addition that the
execution of offenders with mental retardation violates the Eighth
Amendment because such executions do not measurably further the penal
goals of either retribution or deterrence. He reasoned that retribution
is not furthered because the death penalty is disproportionate to the
culpability of persons with mental disabilities; and, deterrence cannot
be furthered because the intellectual impairments of persons with mental
retardation preclude their ability to weigh the possibility of the
death penalty in calculating different courses of action. As a result,
"the execution of mentally retarded individuals is `nothing more than
the purposeless and needless imposition of pain and suffering.'"71
Since
the Penry decision, the number of death penalty states barring the
execution of persons with mental retardation has grown to thirteen. 72
(Twelve states prohibit the death penalty for all persons, regardless of
mental ability).73 The U.S. Congress has also prohibited application of
the death penalty to federal defendants with mental retardation.74
Efforts to secure legislation to prohibit the execution of the mentally
retarded are currently underway in several additional states, including
Florida, Missouri, Nevada, North Carolina, Oklahoma and Texas. Public
opinion against executing persons with mental retardation is strong:
polls show upwards of 60 percent consistently opposed to such
executions.75
Today, the two oldest and largest professional
organizations working in the area of mental retardation, the Arc and the
American Association on Mental Retardation, oppose the execution of
persons with mental retardation, as do numerous other mental disability
groups.76 The Arc summarizes its position as follows: "Existing
case-by-case determinations of competence to stand trial, criminal
responsibility, and mitigating factors at sentencing have proved
insufficient to protect the rights of individuals with mental
retardation. The presence of mental retardation by definition raises so
many possibilities of miscommunication, misinformation, and an
inadequate defense that the imposition of the death penalty is
unacceptable."77The American Bar Association in 1989 adopted a
recommendation opposing the execution of persons with mental retardation
and calling for legislation banning such executions.78
All
state-sponsored killings are abhorrent. In addition to all of the
reasons for abolishing the death penalty completely, there are at least
four justifications for specific legislative prohibitions against the
execution of persons with mental retardation: 1) capital trials of the
mentally retarded have an even higher than normal risk of the
miscarriage of justice; 2) the death penalty is disproportionately
severe punishment, and hence unjustifiably cruel, when levied on persons
whose mental disability limits their moral culpability; 3) the case by
case sentencing process does not ensure that persons with mental
retardation will be spared capital punishment; and 4) subjecting the
mentally retarded to state-sponsored killing is not necessary to advance
the purposes ostensibly served by the death penalty. These
justifications are explored in the following chapters.
54 Universal Declaration of Human Rights, adopted by U.N. General Assembly Resolution 217A(III), December 10, 1948.
55
See, e.g., Statement of Rt. Hon. Chris Patten, delivered to European
Parliament, October 25, 2000; Declaration by President, European Union,
February 8, 2000; and other European Union statements on the death
penalty available on the European Union website, www.european.eu.int.
56
See Death Penalty Information Center website for updated information on
the death penalty internationally, www.deathpenaltyinfo.org.
57 U.N.
General Assembly, "Second Optional Protocol to the International
Covenant on Civil and Political Rights, aiming at the abolition of the
death penalty," G.A. res. 44/128, annex, 44 U.N. GAOR Supp. (No. 49) at
207, A/44/49 (1989), entered into force July 11, 1991.
58 U.N.
Commission on Human Rights, "Extrajudicial, summary or arbitrary
executions: Report by the Special Rapporteur," E/CN.4/1997/60, para. 89
(1996); U.N. Commission on Human Rights, "Extrajudicial, summary or
arbitrary executions: Report by the Special Rapporteur," E/CN.4/1995/61,
para. 380 (1994); U.N. Commission on Crime Prevention and Criminal
Justice, "Capital punishment and implementation of the safeguards
guaranteeing the protection of the rights of those facing the death
penalty: Report of the Secretary-General," E/CN.15/1996/19, para. 74,
(1996).
59 U.N. Economic and Social Council resolution 1989/64,
"Implementation of the safeguards guaranteeing protection of the rights
of those facing the death penalty," ESC/RES/1989/64, adopted May 1989.
60
U.N. Commission on Human Rights Resolution, "Question of the Death
Penalty," E/CN.4/RES/1999/61, adopted April 28, 1999; U.N. Commission on
Human Rights Resolution, "The Question of the death penalty",
E/CN.4/RES/2000/65, adopted April 27, 2000.
61 U.N. Commission on
Human Rights, "Extrajudicial, summary or arbitrary executions: Report by
the Special Rapporteur," E/CN.4/1998/68/Add.3, para. 145 (1998).
62 Ibid., para. 58.
63
U.N. Commission on Human Rights, "Extrajudicial, summary or arbitrary
executions: Report of the special rapporteur," E/CN.4/2000/3, para. 97
(2000),.
64 Penry v. Lynaugh, 492 U.S. 302 (1989).
65 Ibid., 492
U.S. at 328. The jury was to determine whether to impose the death
penalty by answering three questions: "Did Penry act deliberately when
he murdered Pamela Carpenter? Is there a probability that he will be
dangerous in the future? Did he act unreasonably in response to
provocation." 492 U.S. at 319.
66 Ibid., 492 U.S. at 330 (citations omitted).
67 Ibid., 492 U.S. at 334.
68 Ibid., 492 U.S. at 336-337.
69 Ibid., 492 U.S. at 345.
70 Ibid., 492 U.S. at 346.
71 Ibid., 492 U.S. at 348 (Brennan, J. dissenting) (citations omitted).
72
Arkansas, Colorado, Georgia, Indiana, Kansas, Kentucky, Maryland,
Nebraska, New Mexico, New York, South Dakota, Tennessee, and Washington
all prohibit such executions. New York state forbids the execution of
the mentally retarded except in the case of a prisoner who commits
murder. See Death Penalty Information Center at
www.deathpenaltyinfo.org, visited February 6, 2001.
73 Alaska,
Hawaii, Iowa, Maine, Massachusetts, Michigan, Minnesota, North Dakota,
Rhode Island, Vermont, West Virginia, and Wisconsin as well as the
District of Columbia prohibit the death penalty.
74 The
Anti-Drug-Abuse Amendments Act of 1988 states that a "sentence of death
shall not be carried out upon a person who is mentally retarded." 21
U.S.C. §848(1). In 1994, Congress passed the Violent Crime Control and
Law Enforcement Act, which expanded applicability of the federal death
penalty but retained the prohibition on the execution of persons with
mental retardation. 18 U.S.C. §3596(c).
75 See Bonner and Rimer,
"Executing the Mentally Retarded." In addition to the polls cited in
footnote 3 above, see the results of the sixteen polls included in Denis
W. Keyes and William J. Edwards, "Mental Retardation and the Death
Penalty: Current Status of Exemptions Legislation," 21 Mental and
Physical Disabilities Law Reporter 687, 688 (1997).
76 The AAMR
submitted an amicus brief of to the U.S. Supreme Court in Penry v.
Lynaugh urging a constitutional prohibition on the execution of persons
with mental retardation. Ten mental heath organizations joined the
brief, including the American Psychological Association, the Association
for Persons with Severe Handicaps, the American Association of
University Affiliated Programs for the Developmentally Disabled, the
National Association of Superintendents of Public Residential Facilities
for the Mentally Retarded, and the Mental Health Project.
77 See The
Arc, "Position Statement on Access to Justice and Fair Treatment under
the Criminal Law," at www.thearc.org/position-statements.htm, visited
February 20, 2001.
78 See Resolution of the ABA House of Delegates
(Feb. 1989). See also American Bar Association, "Q & A's on the
Death Penalty," December 1999, available at
www.abanet.org/media/deathpenaltyqa, visited August 23, 2000.
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